7 Inchoate Offenses 7 Inchoate Offenses

7.1 Attempt 7.1 Attempt

Attempt, an “inchoate” offense, lies somewhere between merely thinking about committing a crime and successfully completing it. If they haven't yet acted, how do we know they would have committed the crime? How far should someone have to go before their actions are criminal? How seriously should we punish someone who fully intends and attempts to commit a crime—say, fires a bullet intending to kill a person, but misses? Should they be punished less severly if they are stopped before they fire the bulllet? The cases in this section consider the level of mens rea and actus reus needed for an attempted crime. Notice how the court adjusts these requirements in attempt cases to balance a broad variety of social aims, such as blameworthiness; deterrence; minimizing the arbitrariness of criminal punishment; and giving potential criminals the incentive to change their minds.

7.1.2 American Law Institute—Model Penal Code and Commentaries, Comment to Article 5, (1985), 293–294. 7.1.2 American Law Institute—Model Penal Code and Commentaries, Comment to Article 5, (1985), 293–294.

Article 5 [of the Model Penal Code] undertakes to deal systematically with [the crimes of] attempt, solicitation and conspiracy. These offenses have in common the fact that they deal with conduct that is designed to culminate in the commission of a substantive offense, but has failed in the discrete case to do so or has not yet achieved its culmination because there is something that the actor or another still must do. The offenses are inchoate in this sense.

These, to be sure, are not the only crimes so defined that their commission does not rest on proof of the occurrence of the evil that it is the object of the law to prevent; many specific, substantive offenses also have a large inchoate aspect. This is true not only with respect to crimes of risk creation, such as reckless driving, or specific crimes of preparation, such as possession with unlawful purpose. It is also true, at least in part, of crimes like larceny, forgery, kidnapping and even arson, not to speak of burglary, where a purpose to cause greater harm than that which is implicit in the actor’s conduct is an element of the offense. This reservation notwithstanding, attempt, solicitation and conspiracy have such generality of definition and of application as inchoate crimes that it is useful * * * to confront the common problems they present.

* * * General deterrence is at most a minor function to be served in fashioning provisions of the penal law addressed to these inchoate crimes; that burden is discharged upon the whole by the law dealing with the substantive offenses.

Other and major functions of the penal law remain, however, to be served. They may be summarized as follows:

First: When a person is seriously dedicated to commission of a crime, a firm legal basis is needed for the intervention of the agencies of law enforcement to prevent its consummation. In determining that basis, there must be attention to the danger of abuse; equivocal behavior may be misconstrued by an unfriendly eye as preparation to commit a crime. It is no less important, on the other side, that lines should not be drawn so rigidly that the police confront insoluble dilemmas in deciding when to intervene, facing the risk that if they wait the crime may be committed while if they act they may not yet have any valid charge.

Second: Conduct designed to cause or culminate in the commission of a crime obviously yields an indication that the actor is disposed towards such activity, not alone on this occasion but on others. There is a need, therefore, subject again to proper safeguards, for a legal basis upon which the special danger that such individuals present may be assessed and dealt with. They must be made amenable to the corrective process that the law provides.

Third: Finally, and quite apart from these considerations of prevention, when the actor’s failure to commit the substantive offense is due to a fortuity, as when the bullet misses in attempted murder or when the expected response to solicitation is withheld, his exculpation on that ground would involve inequality of treatment that would shock the common sense of justice. Such a situation is unthinkable in any mature system designed to serve the proper goals of penal law.

 

7.1.3 Notes and Questions - MPC Comment to Article 5 7.1.3 Notes and Questions - MPC Comment to Article 5

  1. Professor Ira Robbins has noted: 

The inchoate crimes of attempt, conspiracy, and solicitation are well established in the American legal system. “Inchoate” offenses allow punishment of an actor even though he has not consummated the crime that is the object of his efforts. * * *

Most American jurisdictions treat inchoate offenses as substantive crimes, distinct and divorced from the completed crimes toward which they tend. Accordingly, attempt, conspiracy, and solicitation are defined broadly to encompass acts leading to the commission of any completed crime. Rather than try to enumerate every act to which inchoate liability attaches, however, legislatures have enacted relatively short statutes containing abstract conceptual terms with universal application. The Model Penal Code’s provision for attempt liability, for example, represents a middle-ground approach to this problem. It prohibits an act that constitutes a “substantial step” toward the completed offense. The Code then fleshes out the abstract term “substantial step” by listing several nonexclusive examples that have application to numerous completed crimes. It has fallen to the courts to elaborate on the scope of inchoate offenses and decide when to administer them.

Thus, the concept of substantive inchoate crimes, by requiring a high degree of judicial interpretation, has vested great discretion in the judiciary. This discretion is similar to that of earlier courts in creating common-law offenses. In both circumstances, the court analyzes the policies underlying the criminal law and decides whether those policies require courts to punish certain acts.

  1. Professor Robbins goes on to explain that inchoate offenses are often broadly and abstractly defined, which leaves quite a bit of leeway for judicial interpretation:

The Model Penal Code's provision for attempt liability, for example, represents a middle-ground approach to this problem. It prohibits an act that constitutes a "substantial step" toward the completed offense. The Code then fleshes out the abstract term "substantial step" by listing several nonexclusive examples that have application to numerous completed crimes. It has fallen to the courts to elaborate on the scope of inchoate offenses and decide when to administer them. Thus, the concept of substantive inchoate crimes, by requiring a high degree of judicial interpretation, has vested great discretion in the judiciary.

 

 Ira P. Robbins, Double Inchoate Crimes, 26 Harv. J. on Legis. 1, 3–4 (1989)

 

  1. After reading the excerpts by Professor Robbins, what are the best arguments in favor of punishing inchoate crimes? What are the types of harm that punishment of these crimes seeks to avoid? How does this map on to our four main justifications for punishment? Are there any that do not apply? 

  2. Have you looked up the definition of “inchoate”? Do you find that the definition of inchoate lends itself to ambiguity? How can we resolve this ambiguity? What are some ways in which this ambiguity might resolve itself in unequal ways? 

  3. Given that law enforcement officers have to make decisions based on limited information, doesn't this lend itself towards systematic or implicit biases? What might we do to prevent this? Do inchoate crimes necessarily risk punishing people for “bad thoughts” or “suspicious looking behavior?” 

7.1.4 Notes and Questions - Comment to § 5.05 7.1.4 Notes and Questions - Comment to § 5.05

  1. Consider the following excerpt from Professor Sanford Kadish’s Foreword: The Criminal Law and the Luck of the Draw:

[A] man who stabbed his son in anger, pleaded guilty and was convicted of a crime equivalent for our purposes to attempted murder. After serving several months of a two year sentence he was paroled. However, three months later his son, who had been hospitalized since the attack, took a turn for the worse and died, whereupon the prosecutor, quite within the law, charged the father with murder, a crime punishable with life imprisonment or death.

What did the father do in jail or on parole that merited the greater punishment? Not a thing. If a good constitution or a good surgeon had saved the son, the father could not have been further punished. The occurrence of the resulting death alone raises the crime and the punishment. In most jurisdictions this same principle operates for all crimes, not just homicidal crimes. In California, for example, an attempt to commit a crime is punishable with half the punishment for the completed crime. Thus, the reward for failing, no matter how hard you try to succeed or how close you come, is a lesser punishment.

 

Sanford H. Kadish, Foreword: The Criminal Law and the Luck of the Draw, 84 J. Crim. L. & Criminology 679, 681–82 (1994).

 

  1. A rise in aggravated assault: According to the Bureau of Justice Statistics, rates of homicides in the United States have largely remained stagnant, however Professor Anthony Harris, the director of the Criminal Justice Program at the University of Massachusetts, notes that rates of aggravated assault have risen exponentially. Professor Harris indicates that discrepancy is largely due to innovations in trauma care. Thus, it follows that what might have resulted in a homicide in previous decades, is today able to be prosecuted as an attempted murder.

Anthony R. Harris, Murder and Medicine: The Lethality of Criminal Assault 1960–1999, 6 Homicide Stud. 128 (2002).

  1. How should we punish attempt: Should the crime of attempt be equal to or less equal in severity of punishment to the target crime? Should conviction or sentencing be influenced based on whether the target crime was thwarted by extenuating circumstances (such as law enforcement interference) or whether the perpetrator abandoned the target crime of their own volition? How might these map on to our discussion about punishment? What might a prison abolitionist say about this? 

7.1.5 Ira P. Robbins—Double Inchoate Crimes, 26 Harvard Journal on Legislation 1 (1989), 9–12. 7.1.5 Ira P. Robbins—Double Inchoate Crimes, 26 Harvard Journal on Legislation 1 (1989), 9–12.

Although the law of attempt has roots in the early English law, its formulation as a general substantive offense is a relatively recent development. * * * Many American jurisdictions now make specific provisions for the punishment of attempts to commit certain offenses, and almost all cover the rest of the field with a general attempt statute. With a few exceptions, these general statutes cover attempts to commit any felony or misdemeanor.

Among modern American jurisdictions, * * * the rule of merger operates * * * to the extent that a defendant cannot be convicted of both a completed offense and an attempt to commit it. All jurisdictions treat attempt as a lesser included offense of the completed crime. Moreover, many jurisdictions have held that a defendant may be convicted of the attempt if the state proves the completed crime, and several states so provide by statute.

* * * The principal purpose behind punishing an attempt * * * is not deterrence. The threat posed by the sanction for an attempt is unlikely to deter a person willing to risk the penalty for the object crime. Instead, the primary function of the crime of attempt is to provide a basis for law-enforcement officers to intervene before an individual can commit a completed offense.

 

7.1.6 Notes and Questions - Double Inchoate Crimes 7.1.6 Notes and Questions - Double Inchoate Crimes

 

  1. Criminal attempt arises in two permutations: incomplete and complete. An incomplete attempt is marked by an actor completing part of what they set out to do, but stopping short, whether of their own volition or because they were prevented from continuing by external factors (i.e. police intervention). A completed attempt occurs when the actor finishes performing the intended criminal act, but is unsuccessful in the intended result. (e.g. rather than exploding, the bomb fizzles). 

7.1.7 People v. Gentry 7.1.7 People v. Gentry

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

First District (4th Division)

No. 84—2718

Opinion filed June 18, 1987.

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

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

JUSTICE LINN

delivered the opinion of the court:

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

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

Background

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Reversed and remanded.

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

7.1.8 Notes and Questions - People v. Gentry 7.1.8 Notes and Questions - People v. Gentry

  1. Requisite intents for attempt. In order to secure an attempt conviction, two types of intent are necessary. The first form of intent is that the action taken by the actor must be intentional. The second form of intent is that the actor must intend to complete the target crime, while committing the acts that lead to attempt. 

For example: Suppose that Jair takes several gallons of gasoline and a box of matches to Lindiwe’s house. Jair dumps the gasoline all over the house, but unbeknownst to him, the matches have been soaked in water and will not light. On these facts, Jair could be charged with attempted arson because 1) the act of dumping gasoline was intentionally performed and 2) this action was arguably performed with the specific intention of committing the target crime (arson). Note that both forms of intent must be proven beyond a reasonable doubt. In most attempt cases, the second intent typically becomes the key mens rea issue. 

  1. Consider another example: Morley points a gun at a target which happens to be behind Vilmar. Morley ends up shooting Vilmar, wounding him. Could a prosecutor in this case charge Morley with attempted murder? What is the mens rea issue here?

  2. Another hypothetical. Consider the circumstances in People v. Thomas

A woman (A)  tells her boyfriend (B)  that the man (C), who lives one floor above them, assaulted her. B goes to C’s apartment and confronts him with a gun, which culminates in C getting shot. 

What must the state establish, beyond a reasonable doubt, to secure B’s conviction for attempt murder? What result if B testifies that he only intended to scare C? What result if B’s gun misfired as he was threatening C?

  1. Model Penal Code. MPC §5.01 is relatively vague, but can be better understood upon a bit of dissection. In order to properly apply this standard, one must first determine whether the case involves a complete or incomplete attempt. If the facts point to a complete attempt, one must establish whether the target offense is a “result” crime or a “conduct” crime. A “result” crime typically has a result evidencing the crime (i.e. a dead body after a murder), whereas a “conduct” crime is one in which the attendant circumstances make it criminal (i.e. drinking and driving). 

When analyzing the MPC, subsection 1(a) should be applied to a completed attempt involving a “conduct” crime, whereas subsection 1(b) should be applied to a completed attempt of a “result” crime. If the crime involves an incomplete attempt, then subsection 1(c) should be applied in tandem with subsection 2, which further develops the meaning of a “substantial step.”

  1. Problem. Rahela wants to shoot a gun at some targets in her backyard. She knows that her neighbors are having a large gathering just behind where she set up her targets. She also knows that she could potentially kill her neighbors’ guests, should she miss her target. Fortunately, no one was injured after she fired several rounds. 

Take a look at the California homicide statute and the attempt statute. Is Rahela guilty of attempted murder? What about under MPC §5.01

7.1.9 Bruce v. State 7.1.9 Bruce v. State

566 A.2d 103

Leon BRUCE a/k/a Anthony Bruce v. STATE of Maryland.

No. 9,

Sept. Term, 1989.

Court of Appeals of Maryland.

Nov. 28, 1989.

*643Gary S. Offutt, Asst. Public Defender, Baltimore, Alan H. Murrell, Public Defender and Kathleen M. Brown, Assigned Public Defender, Towson, on brief, for appellant.

Mary Ellen Barbera, Asst. Atty. Gen., J. Joseph Curran, Jr., Atty. Gen., Baltimore, on brief, for appellee.

Argued before MURPHY, C.J., and ELDRIDGE, COLE, RODOWSKY, McAULIFFE, ADKINS and BLACKWELL, JJ.

MURPHY, Chief Judge.

The question presented is whether “attempted felony murder” is a crime in this State.

I.

On December 2, 1986, three men entered Barry Tensor’s shoe store. One man, later identified as Leon Bruce, was masked and armed with a handgun. He ordered Tensor to open the cash register. One of Bruce’s confederates jumped over the counter, and emptied the drawer of its money. Tensor was then ordered to open a second register. Upon finding it empty, Bruce demanded to know where the money could be found. Tensor testified:

“I said it’s empty, that is all there is and then he took the gun and aimed it right at my face, at my head. And he said I’m going to kill you in a very serious voice, and the gun was continuously held right at my face.
“At that point, I was incredibly afraid and I just tucked my head down and kind of tried to get out of the way and ducked down and moved forward. And at that point, I guess I banged into him or something and he shot me.”

*644Tensor was hospitalized for five weeks from a gunshot wound to his stomach.

On March 10, 1987, Bruce was charged by criminal information with attempted first degree murder, robbery with a deadly weapon, and two counts of unlawful use of a handgun. A jury in the Circuit Court for Baltimore City found him not guilty of attempted first degree premeditated murder, guilty of attempted first degree felony murder, guilty of robbery with a deadly weapon, and guilty of the two handgun charges. The presiding judge (Noel, J.) subsequently granted Bruce’s motion for a new trial on all charges. He concluded that his jury instructions pertaining to attempted felony murder were erroneous because no such offense existed under Maryland law.

Bruce was tried a second time before a jury in the Circuit Court for Baltimore City (Ross, J., presiding). Again, he was found guilty of attempted felony murder, robbery with a deadly weapon, and upon the two handgun violations. For the attempted felony murder conviction, Bruce was sentenced to a life term to run consecutively to all outstanding sentences, and to twenty years- for using a handgun in the commission of a crime of violence. Bruce’s other handgun conviction, as well as that for armed robbery, was merged into the attempted felony murder conviction.

On appeal to the Court of Special Appeals, Bruce argued that attempted felony murder was not a crime in Maryland. We granted certiorari prior to decision by the intermediate appellate court to consider the significant issue raised in the case.

II.

Maryland Code (1982 Repl.Vol.), Article 27, § 407 provides that murder “perpetrated by means of poison, or lying in wait, or by any kind of wilful, deliberate and premeditated killing shall be murder in the first degree.” Section 410—the so-called felony murder statute—provides that all murder committed in the perpetration of, or attempt to *645perpetrate, certain designated felonies, of which robbery is one, is also murder in the first degree. These statutes do not create new statutory crimes but rather divide the common law crime of murder into degrees for purposes of punishment. See Hook v. State, 315 Md. 25, 28, 553 A.2d 233 (1989); Campbell v. State, 293 Md. 438, 441, 444 A.2d 1034 (1982); Wood v. State, 191 Md. 658, 666, 62 A.2d 576 (1948).

We observed in Veney v. State, 251 Md. 159, 174, 246 A.2d 608 (1968), cert. denied, 394 U.S. 948, 89 S.Ct. 1284, 22 L.Ed.2d 482 (1969), that at common law “a killing in the perpetration of a robbery was murder, regardless of intent.” See also Stansbury v. State, 218 Md. 255, 260, 146 A.2d 17 (1958); Clark and Marshall, Crimes § 245 (4th ed. 1940). To secure a conviction for first degree murder under the felony murder doctrine, the State is required to prove a specific intent to commit the underlying felony and that death occurred in the perpetration or attempt to perpetrate the felony; it is not necessary to prove a specific intent to kill or to demonstrate the existence of wilfulness, deliberation, or premeditation. Hook v. State, supra, 315 Md. at 31, 553 A.2d 233; State v. Frye, 283 Md. 709, 712-13, 393 A.2d 1372 (1978); Newton v. State, 280 Md. 260, 269, 373 A.2d 262 (1977); Thompson v. State, 230 Md. 113, 117, 186 A.2d 461 (1962); Thomas v. State, 206 Md. 575, 581-82, 112 A.2d 913 (1954). As we said in Jackson v. State, 286 Md. 430, 435, 408 A.2d 711 (1979), “homicide arising in the perpetration of, or in the attempt to perpetrate, a felony is murder whether death was intended or not, the fact that the person was engaged in such perpetration or attempt being sufficient to supply the element of malice.”

III.

In determining whether attempted felony murder is a crime in Maryland, we note that criminal attempts are common law misdemeanors in Maryland, applicable to any existing crime, whether statutory or common law. Cox v. State, 311 Md. 326, 329-30, 534 A.2d 1333 (1988); Young v. *646State, 303 Md. 298, 301, 493 A.2d 352 (1985); Hardy v. State, 301 Md. 124, 139, 482 A.2d 474 (1984). Under Maryland law, a criminal attempt consists of a specific intent to commit the offense coupled with some overt act in furtherance of the intent which goes beyond mere preparation. Cox, supra, 311 Md. at 330, 534 A.2d 1333 and cases there cited.

In Cox, the question presented was whether an individual could be convicted of attempted voluntary manslaughter. Recognizing that criminal attempt is a specific intent crime, we held that an individual may be convicted of the crime of attempted voluntary manslaughter since the substantive offense is “an intentional homicide, done in a sudden heat of passion, caused by adequate provocation.” Id. at 331, 534 A.2d 1333 (emphasis in original). On the other hand, we noted that involuntary manslaughter is an “unintentional killing done without malice, by doing some unlawful act endangering life, or in negligently doing some act lawful in itself”; accordingly, we held that it may not form the basis of a criminal conviction for attempt. Id. at 332, 534 A.2d 1333 (emphasis in original).

IV.

The elements of wilful, deliberate and premeditated attempted murder in the first degree are the intent to commit the offense and some overt act towards its commission. State v. Holmes, 310 Md. 260, 271-72, 528 A.2d 1279 (1987). In that case, we distinguished this species of first degree murder from murder committed in the perpetration of one of the felonies enumerated in the felony murder statute. As we said earlier, the criminal intent requisite to proving a felony murder is the specific intent to commit the underlying felony. Because a conviction for felony murder requires no specific intent to kill, it follows that because a criminal attempt is a specific intent crime, attempted felony murder is not a crime in Maryland.

The majority of jurisdictions which have considered the question have concluded that “attempted felony murder” is *647not a crime. See, e.g., People v. Franklyn, 157 Cal.App.3d 518, 203 Cal.Rptr. 813, 824 (1984); People v. Viser, 62 Ill.2d 568, 343 N.E.2d 903, 910 (1975); Head v. State, 443 N.E.2d 44, 51 (Ind.1982); State v. Darby, 200 NJ.Super. 327, 491 A.2d 733, 736 (1984), cert. denied, 101 N.J. 226, 501 A.2d 905 (1985); State v. Price, 104 N.M. 703, 726 P.2d 857 (1986); People v. Hassin, 48 A.D.2d 705, 368 N.Y.S.2d 253, 254 (1975); Commonwealth v. Griffin, 310 Pa.Super. 39, 456 A.2d 171, 177-78 (1983); State v. Maestas, 652 P.2d 903, 904 (Utah 1982).

In People v. Viser, supra, 343 N.E.2d at 910, the Supreme Court of Illinois said:

“There can be no felony murder where there has been no death, and the felony murder ingredient of the offense of murder cannot be made the basis of an indictment charging attempted murder. Moreover, the offense of attempt requires an ‘intent to commit a specific offense’, while the distinctive characteristic of felony murder is that it does not involve an intention to kill. There is no such criminal offense as an attempt to achieve an unintended result.” (Citations omitted.)

Similarly, the Supreme Court of Indiana flatly concluded that “absent death the applicability of the felony murder rule is never triggered.” Head v. State, supra, 443 N.E.2d at 50. The Court of Appeals of New Mexico, noting the absence of a mens rea (an intent to kill) in a felony murder prosecution, has held that even when a specific intent to kill is established, the felony murder rule is not applicable to an attempted murder. State v. Price, supra. And the court in State v. Darby, supra, 491 A.2d at 736, bluntly stated that “the purported crime of attempted felony murder is manifestly unintelligible____ The fact is that the concepts of attempt and felony murder cannot rationally be joined.”

These holdings are fully in accord with the rationale advanced by LeFave & Scott, Criminal Law, § 6.2 at 500 (2nd ed. 1986):

“Some crimes, such as murder, are defined in terms of acts causing a particular result plus some mental state *648which need not be an intent to bring about that result. Thus, if A, B, C, and D have each taken the life of another, A acting with the intent to kill, B with an intent to do serious bodily injury, C with a reckless disregard of human life, and D in the course of a dangerous felony, all three are guilty of murder because the crime of murder is defined in such a way that any one of these mental states will suffice. However, if the victims do not die from their injuries, then only A is guilty of attempted murder; on a charge of attempted murder it is not sufficient to show that the defendant intended to do serious bodily harm, that he acted in reckless disregard for human life, or that he was committing a dangerous felony. Again, this is because intent is needed for the crime of attempt, so that attempted murder requires an intent to bring about that result described by the crime of murder (i.e., the death of another).”

Reaching a contrary result is Amlotte v. State, 456 So.2d 448 (Fla.1984) (attempted felony murder is a valid crime). See also White v. State, 266 Ark. 499, 585 S.W.2d 952, 954 (1979) (recognizing the existence of attempted felony murder under that state’s statutory definition of attempt, but noting a distinction from precode cases).

The State maintains that because the evidence in the case sufficiently supported a finding that Bruce harbored a specific intent to kill Tensor, the crime of attempted felony murder was necessarily established. But, as we have said, the criminal intent necessary to convict for attempted murder requires, as one of its essential elements, a specific intent to kill. Consequently, as Maryland does not recognize attempted felony murder as a crime, Bruce’s conviction for committing that non-existent offense must be reversed. Bruce’s convictions for armed robbery, as well as the handgun violations, are unaffected by our holding in this case. Since the court merged the armed robbery conviction into the now vacated conviction for attempted felony murder, we shall remand the case for sentencing on the armed robbery count.

*649AS TO THE CONVICTION OF ATTEMPTED FELONY MURDER: JUDGMENT REVERSED; AS TO THE CONVICTION FOR ARMED ROBBERY: CASE REMANDED TO THE CIRCUIT COURT FOR BALTIMORE CITY FOR IMPOSITION OF SENTENCE ON THE ARMED ROBBERY COUNT; COSTS TO BE PAID BY THE MAYOR AND CITY COUNCIL OF BALTIMORE.

McAULIFFE, Judge,

dissenting.

The jury in this case found that Leon Bruce, in the course of committing a robbery, shot Barry Tensor in the chest with the specific intent to kill him. Had Tensor died, Bruce would have been guilty of murder in the first degree. Ross v. State, 308 Md. 337, 341-42, 519 A.2d 735 (1987). The fact that Tensor did not die does not absolve Bruce of liability for his dangerous and deadly action. Rather, it changes the nature of the offense from murder in the first degree to attempted murder in the first degree.

There are complications inherent in applying the law of attempt to the concept of felony murder. By mechanical application of established principles, one might, in a facially logical manner, reach the result that every assault committed in the course of an enumerated felony is punishable as an attempted first degree murder. The rationale for that result is that if the victim had died, the result would be first degree murder, and because the defendant had taken every step necessary to commit such a crime, the failure of the victim to die should operate only to change the crime to an attempt. The majority properly rejects that possibility. Our cases have consistently held that proof of an attempt requires proof of a specific intent to commit the underlying crime. See, e.g., Cox v. State, 311 Md. 326, 330, 534 A.2d 1333 (1988); Young v. State, 303 Md. 298, 302-03, 493 A.2d 352 (1985). That portion of the felony murder concept which obviates the need for a specific intent to kill cannot logically be transplanted into the law of attempt.

No such abstruse application of the law is suggested by this case. Here, the trial judge correctly instructed the jury *650that in order to find the defendant guilty of attempted murder, they were required to find that Bruce harbored a specific intent to kill Tensor at the time he shot him.1 The relevant instructions given were: *651That instruction is in accordance with our statement in Young v. State, 308 Md. 298, 311, 493 A.2d 352 (1985) that:

*650In order for one to be guilty of attempted murder in the first degree, three things must be shown: it must be shown that the person intended to kill the victim without excuse or justification or circumstances of mitigation. It has to be a specific intent to kill the victim without excuse, without justification, and without circumstances of mitigation. That’s the first thing.
Then it must be shown that that—that a substantial step was taken toward the commission of that crime. A substantial step toward intentionally killing that human being.
And third, in order for it to be attempted murder in the first degree, that intent and that substantial step or act toward the commission must occur during the course of the commission of the crime of robbery or robbery with a dangerous or deadly weapon.
Those are the three elements that must be proved in order for there to be guilt of attempted murder in the first degree. A specific intent to kill the victim without excuse or justification, a substantial step toward the commission, toward carrying out that intent, and both the intent and the substantial step or act must occur during the course of the commission of the crime of robbery or robbery with a dangerous or deadly weapon.
*651A person is guilty of an attempt to commit a crime when, with intent to commit a crime, he engages in conduct which constitutes a substantial step toward the commission of that crime whether or not his intention be accomplished.

Accepting, as I have, and as the trial judge did below, the premise that a specific intent to kill is a necessary element in any attempted murder, the sole remaining question is whether the fact that the murder was attempted during the perpetration, or attempted perpetration, of an enumerated felony operates to make it an attempted murder in the first degree. History and logic compel the conclusion that it does.

At common law, all murder was punishable by death. In 1809, in recognition of the fact that the several forms of murder varied greatly in degree of atrociousness, and with an express desire to match the penalty to the seriousness of the offense, our legislature divided murder into degrees. Ross v. State, supra, 308 Md. at 340-41, 519 A.2d 735; Hardy v. State, 301 Md. 124, 137, 482 A.2d 474 (1984). The legislature considered the following circumstances sufficiently egregious to warrant inclusion of the offense within the highest degree: murder perpetrated by means of poison, or by lying in wait, or any kind of wilful, deliberate and premeditated killing, or committed in the perpetration of, or attempt to perpetrate, certain enumerated felonies. Ross, supra, 308 Md. at 341, 519 A.2d 735. All other murder was murder in the second degree. No significant change in the treatment of this aspect of the law of murder has been made in the intervening 180 years. See Maryland Code (1957, 1987 Repl.Vol.) Art. 27, §§ 407-411.

It is entirely logical to conclude that an attempted murder committed under the aggravating circumstances singled out by the legislature should be treated as an attempted murder in the first degree. Certainly this is true of attempted premeditated murder. Hardy, supra, 301 Md. at 137, 482 *652A.2d 474. It should be no less true of an attempted murder committed during the perpetration of an enumerated felony, provided that there exists a specific intent to kill. This portion of the concept of felony murder, embracing as it does the clear intent of the legislature, translates very nicely into the law of attempts. As Judge Cole wrote for the Court in Hardy, supra, 301 Md. at 139-40, 482 A.2d 474:

If the evidence satisfies the fact finder by proof beyond a reasonable doubt that the conduct of the defendant falls within the proscribed conduct in the statute labeled as first degree murder that did not result in death of the victim, then the crime of attempted murder in the first degree has been established. If the evidence of criminal culpability is something less, the crime proved may be attempted murder in the second degree or attempted voluntary manslaughter. We emphasize that the basic characteristic of an attempt is that it adjusts according to the proof established at trial.

I would affirm the judgment of the trial court.

7.1.10 Notes and Questions - Bruce v. State 7.1.10 Notes and Questions - Bruce v. State

  1. Florida: Perpetually an outlier. Most states agree with the Bruce analysis, with the exception of Florida. The attempted felony murder statute in Florida indicates that “[a]ny person who perpetrates or attempts to perpetrate any [enumerated] felony * * * and who commits, aids, or abets an intentional act that is not an essential element of the felony and that could, but does not, cause the death of another,” is guilty of a “felony of the first degree.”

Keeping in mind that home invasion robbery is an enumerated felony under the aforementioned statute, consider the following scenario: 

Hans decides he wants to break into a home with the intention of stealing the television inside. In the process of checking windows and doors for an easy way inside, he changes his mind and leaves the house. Is Hans guilty of attempted home invasion robbery? 

  1. MPC and attendant circumstances. Here is how the Model Penal Code considers the attendant circumstances surrounding an attempt: 

The requirement of purpose extends to the conduct of the actor and to the results that his conduct causes, but his purpose need not encompass all of the circumstances included in the formal definition of the substantive offense. As to them, it is sufficient that he acts with the culpability that is required for commission of the completed crime.

* * * The judgment is thus that if the defendant manifests a purpose to engage in the type of conduct or to cause the type of result that is forbidden by the criminal law [in the form of strict liability], he has sufficiently exhibited his dangerousness to justify the imposition of criminal sanctions, so long as he otherwise acts with the kind of culpability that is sufficient for the completed offense. The objective is to select out those elements of the completed crime that, if the defendant desires to bring them about, indicate with clarity that he poses the type of danger to society that the substantive offense is designed to prevent. This objective is well served by the Code’s approach, followed in a number of recently enacted and proposed revisions, of allowing the policy of the substantive offense to control with respect to circumstance elements.

Model Penal Code and Commentaries § 5.01 cmt. 2, at 301–03 (1985).

7.1.11 Attempt - Actus Reus 7.1.11 Attempt - Actus Reus

When considering actus reus in the context of attempt crimes, it is useful to note the inherent challenge of line-drawing in these cases. John S. Strahorn, Jr. has noted that “[b]oth as fascinating and as fruitless as the alchemists’ quest for the philosopher’s stone has been the search, by judges and writers, for a valid, single statement of doctrine to express when, under the law of guilt, preparations to commit a crime becomes a criminal attempt thereat."

 John S. Strahorn, Jr., Preparation for Crime as a Criminal Attempt, 1 Wash. & Lee L. Rev. 1, 1 (1939).

7.1.12 United States v. Mandujano 7.1.12 United States v. Mandujano

UNITED STATES of America, Plaintiff-Appellee, v. Roy MANDUJANO, Defendant-Appellant.

No. 74-1445.

United States Court of Appeals, Fifth Circuit.

Aug. 19, 1974.

Rehearing Denied Sept. 17, 1974.

*371Michael Allen Peters, Houston, Tex. (Court-appointed), for defendant-appellant.

William S. Sessions, U. S. Atty., John M. Pinckney, III, Asst. U. S. Atty., San Antonio, Tex., Ron Ederer, Asst. U. S. Atty., El Paso, Tex., for plaintiff-appellee.

Before BROWN, Chief Judge, and RIVES and DYER, Circuit Judges.

RIVES, Circuit Judge:

Mandujano appeals from the judgment of conviction and fifteen-year sentence imposed by the district court, based upon the jury’s verdict finding him guilty of attempted distribution of heroin in violation of 21 U.S.C. § 846.1 We affirm.

I.

The government’s case rested almost entirely upon the testimony of Alfonso H. Cavalier, Jr., a San Antonio police officer assigned to the Office of Drug Abuse Law Enforcement. Agent Cavalier testified that, at the time the case arose, he was working in an undercover capacity and represented himself as a narcotics trafficker. At about 1:30 P. M. on the afternoon of March 29, 1973', pursuant to information Cavalier had received, he and a government informer went to the Tally-Ho Lounge, a bar located on Guadalupe Street in San Antonio. Once inside the bar, the informant introduced Cavalier to Roy Mandujano. After some general conversation, Mandujano asked the informant if he was looking for “stuff.” Cavalier said, “Yes.” Mandujano then questioned Cavalier about his involvement in narcotics. Cavalier answered Mandujano’s questions, and told Mandujano he was looking for an ounce sample of heroin to determine the quality of the material. Mandujano replied that he had good brown Mexican heroin for $650.00 an ounce, but that if Cavalier wanted any of it he would have to wait until later in the afternoon when the regular man made his deliveries. Cavalier said that he was from out of town and did not want to wait that long. Mandujano offered to locate another source, and made four telephone calls in an apparent effort to do so. The phone calls appeared to be unsuccessful, for Mandujano told Cavalier he wasn’t having any luck contacting anybody. Cavalier stated that he could not wait any longer. Then Mandujano said he had a good contact, a man who kept narcotics around his home, but that if he went to see this man, he would need the money “out front.” To reassure Cavalier that he would not simply abscond with the money, Mandujano stated, “[Y]ou are in my place of business. My wife is here. You can sit with my wife. I am not going to jeopardize her or my business for $650.00.” Cavalier counted out $650.00 to Mandujano, and Mandujano *372left the premises of the Tally-Ho Lounge at about 3:30 P.M. About an hour later, he returned and explained that he had been unable to locate his contact. He gave back the $650.00 and told Cavalier he could still wait until the regular man came around. Cavalier left, but arranged to call back at 6:00 P.M. When Cavalier called at 6:00 and again at 6:30, he was told that Mandujano was not available. Cavalier testified that he did not later attempt to contact Mandujano, because, “Based on the information that I had received, it would be unsafe for either my informant or myself to return to this area.”

The only other government witness was Gerald Courtney, a Special Agent for the Drug Enforcement Administration. Agent Courtney testified that, as part of a surveillance team in the vicinity of the Tally-Ho Lounge on March 29, 1973, he had observed Mandujano leave the bar around 3:15 or 3:30 P.M. and drive off in his automobile. The surveillance team followed Mandujano but lost him almost immediately in heavy traffic. Courtney testified that Mandujano returned to the bar at about 4:30 P.M.

II.

Section 846 of Title 21, entitled “Attempt and conspiracy,” provides that,

“Any person who attempts or conspires to commit any offense defined in this subchapter is punishable by imprisonment or fine or both which may not exceed the maximum punishment prescribed for the offense, the commission of which was the object of the attempt or conspiracy.”

The theory of the government in this case is straightforward: Mandujano’s acts constituted an attempt to distribute heroin; actual distribution of heroin would violate section 841(a)(1) of Title 21; 2 therefore, Mandujano’s attempt to distribute heroin comes within the terms of section 846 as an attempt to commit an offense defined in the subchapter.

Mandujano urges that his conduct as described by agent Cavalier did not rise to the level of an attempt to distribute heroin under section 846. He claims that at most he was attempting to acquire a controlled substance, not to distribute it; that it is impossible for a person to attempt to distribute heroin which he does not possess or control; 3 that his acts were only preparation, as distinguished from an attempt; and that the evidence was insufficient to support the jury’s verdict.

Apparently there is no legislative history indicating exactly what Congress meant when it used the word “attempt” in section 846.4 There are two reported federal cases which discuss the question of what constitutes an attempt under this section. In United States v. Noreikis, 7 Cir. 1973, 481 F.2d 1177, where *373the defendants possessed the various chemicals necessary to synthesize Dimethyltryptamine (DMT), a controlled substance, the court held that the preparations had progressed to the level of an attempt to manufacture a controlled substance. In its discussion, the court commented that,

“While it seems to be well settled that mere preparation is not sufficient to constitute an attempt to commit a crime, 22 C.J.S. Criminal Law § 75(2)b, at 230 et seq., it seems equally clear that the semantical distinction between preparation and attempt is one incapable of being formulated in a hard and fast rule. The procuring of the instrument of the crime might be preparation in one factual situation and not in another. The matter is sometimes equated with the commission of an overt act, the ‘doing something directly moving toward, and bringing him nearer, the crime he intends to commit.’ 22 C.J.S., supra at 231.”

481 F.2d at 1181.

In United States v. Heng Awkak Roman, S.D.N.Y.1973, 356 F.Supp. 434, aff’d, 2 Cir. 1973, 484 F.2d 1271, where the defendants’ actions would have constituted possession of heroin with intent to distribute in violation of section 841 if federal agents had not substituted soap powder for the heroin involved in the case, the court held that the defendants’ acts were an attempt to possess with intent to distribute. The district court in its opinion acknowledged that “ ‘Attempt,’ as used in section 846, is not defined. Indeed, there is no comprehensive statutory definition of attempt in federal law.” The court concluded, however, that it was not necessary in the circumstances of the case to deal with the “complex question of when conduct crosses the line between ‘mere preparation’ and ‘attempt.’ ” 356 F.Supp. at 437.

The courts in many jurisdictions have tried to elaborate on the distinction between mere preparation and attempt. See the Comment at 39-48 of Tent. Draft No. 10, 1960 of the Model Penal Code.5 In cases involving statutes other than section 846, the federal courts have confronted this issue on a number of occasions.

Wooldridge v. United States, 9 Cir. 1916, 237 F. 775, involved a conviction for an attempted rape prosecuted under a general criminal attempt provision of the Alaska code. The court reviewed the state authorities and several treatises and then opined as follows:

“In light of these and many other cases that might be cited, it must be held that there was a failure of proof with respect to the doing of an overt act toward the commission of the crime charged. The undisputed evidence of the occurrences at Rose’s store is that no act was done by Wooldridge toward the commission of *374the crime, and although it may have been his intention when he went to the store to have intercourse with the girl, in the absence of evidence of an attempt to carry out such purpose, there could be no conviction of an attempted rape.”

237 F. at 779. Thus, the court indicated that an attempt requires an intent to commit the specific crime and, in addition, an overt act toward its commission. A more recent Ninth Circuit opinion uses language similar to that used in Wooldridge: In Lemke v. United States, 9 Cir. 1954, 211 F.2d 73, 75, 14 Alaska 587, the court states, “Of course it is elementary that mere preparation to commit a crime, not followed by an overt act done toward its commission, does not constitute an attempt.” The definition of attempt in United States v. Baker, S.D.Cal.1955, 129 F.Supp. 684, 685, is also consistent with the language of Wooldridge: “The classical legal elements of an ‘attempt’ are the intent to commit a crime, the execution of some overt act in pursuance of the intention, and a failure to consummate the crime.” Also see Giles v. United States, 9 Cir. 1946, 157 F.2d 588, 590, where the court found no error in the following jury instruction: “ ‘An attempt is an act tending toward the accomplishment, and done in part execution of the design to commit a crime, exceeding an intent but falling short of an execution of it.’ ”

United States v. De Bolt, S.D. Ohio 1918, 253 F. 78, involved an apparent attempt to sabotage the manufacture of war materials in violation of federal law. With regard to the elements of an attempt, the court in this case quoted Bishop’s New Crim. Law (1892) vol. 1, §§ 728, 729:

“ ‘An attempt is an intent to do a particular criminal thing, with an act toward it falling short of the thing intended. Hence, the two elements of an evil intent and a simultaneous resulting act constitute, and yet only in combination, an indictable offense, the same as in any other crime.’ ”

The court also cited Wooldridge v. United States, supra, and United States v. Quincy, 1832, 31 U.S. (6 Pet.) 445, 8 L.Ed. 458, discussed infra.

Gregg v. United States, 8 Cir. 1940, 113 F.2d 687, involved in part a conviction for an attempt to import intoxicating liquor into Kansas. The court in this case acknowledges with apparent approval the definition of attempt urged by appellant Gregg:

“He calls attention to the fact that an attempt is an endeavor to do an act carried beyond mere preparation, but falling short of execution, and that it must be a step in the direct movement towards the commission of the crime after preparations have been made. People v. Collins, 234 N.Y. 355, 137 N.E. 753. The act must ‘carry the project forward within dangerous proximity to the criminal end to be attained.’ Cardozo, J., in People v. Werblow, 241 N.Y. 55, 148 N.E. 786, 789; People v. Rizzo, 246 N.Y 334, 158 N.E. 888, 55 A.L.R. 711; People v. Miller, 2 Cal.2d 527, 42 P.2d 308, 98 A.L.R. 913; State v. McCarthy, 115 Kan. 583, 224 P. 44; State v. Davis, 319 Mo. 1222, 6 S.W 2d 609; Commonwealth v. Peaslee, 177 Mass. 267, 59 N.E. 55; Wooldridge v. United States, 9 Cir., 237 F. 775.”

113 F.2d at 690. The court held, however, that Gregg’s conduct went beyond “mere preparation”:

“The transportation of goods into a state is essentially a continuing act not confined in its scope to the single instant of passage across a territorial boundary. In our view the appellant advanced beyond the stage of mere preparation when he loaded the liquor into his car and began his journey toward Kansas. From that moment he was engaged in an attempt to transport liquor into Kansas within the clear intent of the statute.”

113 F.2d at 691. Also see United States v. Duane, D.Neb 1946, 66 F.Supp. 459.

In United States v. Coplon, 2 Cir. 1950, 185 F.2d 629, where the defendant *375was arrested before passing to a citizen of a foreign nation classified government documents contained in defendant’s purse, Judge Learned Hand surveyed the law and addressed th.e issue of what would constitute an attempt:

“Because the arrest in this way interrupted the consummation of the crime one point upon the appeal is that her conduct still remained in the zone of ‘preparation,’ and that the evidence did not prove an ‘attempt.’ This argument it will be most convenient to answer at the outset. A neat doctrine by which to test when a person, intending to commit a crime which he fails to carry out, has ‘attempted’ to commit it, would be that he has done all that it is within his power to do, but has been prevented by intervention from outside; in short, that he has passed beyond any locus poenitentiae. Apparently that was the original notion, and may still be law in England; but it is certainly not now generally the law in the United States, for there are many decisions which hold that the accused has passed beyond ‘preparation,’ although he has been interrupted before he has taken the last of his intended steps. The decisions are too numerous to cite, and would not help much anyway, for there is, and obviously can be, no definite line; but Judge Cullen’s discussion in People v. Sullivan,1 and Mr. Justice Holmes’ in two Massachusetts decisions,2 are particularly enlightening. In the second of the Massachusetts opinions Holmes, J., said: “Preparation is not an attempt. But some preparations may amount to an attempt. It is a question of degree. If the preparation comes very near to the accomplishment of the act, the intent to complete it renders the crime so probable that the act will be a misdemeanor, although there is still a locus poenitentiae, in the need of a further exertion of the will to complete the crime.’ We have found scarcely any decisions of federal courts, but, so far as they go, they are in accord.3 There can be no doubt in the case at bar that ‘preparation’ had become ‘attempt.’ The jury were free to find that the packet was to be delivered that night, as soon as they both thought it safe to do so. To divide ‘attempt’ from ‘preparation’ by the very instant of consummation would be to revert to the old doctrine.”

185 F.2d at 632, 633. Also see United States v. Butler, S.D N.Y.1962, 204 F.Supp. 339, 343, where the court considered “whether the conduct of the defendant went sufficiently far towards the commission of the crime to constitute an attempt or whether it merely constituted preparation.”

In United States v. Robles, N.D.Cal.1960, 185 F.Supp. 82, 85, a case in which the defendant was charged with using communication facilities in attempting to import heroin illegally, the court enunciated the following test:

“The language of Title 18 U.S.C. § 1403 is such as to compel a conclusion that an attempt may be made by the mere use of communication facilities. To attempt to do an act does not imply a completion of the act, or in fact any definite progress towards it. Any effort or endeavor to effect the act will satisfy the terms of the law. United States v. Quincy, 6 Pet. 445, 31 U.S 445, 8 L.Ed. 458; and see: United States v. Russell, 255 U.S. 138, 41 S.Ct. 260, 65 L.Ed. 553; and Simpson v. United States, 9 Cir., 195 F.2d 721, 13 Alaska 635

The language used in Robles, supra, is drawn directly from United States v. Quincy, 1832, 31 U.S. (6 Pet.) 445, at 464, 8 L.Ed. 458, which involved an indictment under a statute which made it unlawful to attempt to fit out and arm a *376vessel with intent to employ her in the service of a foreign people. The Supreme Court in Quincy further stated that, “The offence consists principally in the intention with which the preparations were made .... And this must be a fixed intention .... This intention is a question belonging exclusively to the jury to decide It is the material point on which the legality of criminality of the act must turn.” 31 U.S. (6 Pet.) at 466, 8 L.Ed. 458.

In Mims v. United States, 5 Cir. 1967, 375 F.2d 135, 148, we noted that, “Much ink has been spilt in an attempt to arrive at a satisfactory standard for telling where preparations ends [sic] and attempt begins,” and that the question had not been decided by this Court. The Court in Mims, at 148 n. 40, did note that the following test from People v. Buffum, 40 Cal.2d 709, 256 P.2d 317, 321, has been “frequéntly approved”:

“ ‘Preparation alone is not enough, there must be some appreciable fragment of the crime committed, it must be in such progress that it will be consummated unless interrupted by circumstances independent of the will of the attempter, and the act must not be equivocal in nature. * * * ’ (Emphasis added.)”

Although the foregoing cases give somewhat varying verbal formulations, careful examination reveals fundamental agreement about what conduct will constitute a criminal attempt. First, the defendant must have been acting with the kind of culpability otherwise required for the commission of the crime which he is charged with attempting. United States v Quincy, supra, 31 U.S. (6 Pet.) at 466, 8 L.Ed. 458 (“The offence consists principally in the intention with which the preparations were made”); Wooldridge v. United States, supra, 237 F. at 779 (“although it may have been his intention”); United States v. Baker, supra, 129 F.Supp. at 685 (“the intent to commit a crime”); Giles v. United States, supra, 157 F.2d at 590 (“the design to commit a crime”); United States v. Coplon, supra, 185 F.2d at 633 (“the intent to complete [the crime] renders the crime so probable that the act will be a misdemeanor, although there is still a locus poenitentiae, in the need of a further exertion of the will to complete the crime” [emphasis added]); United States v. Noreikis, supra, 481 F.2d at 1181 (“ ‘the crime he intends to commit’ ” [emphasis added]); United States v. Heng Awkak Roman, supra, 356 F.Supp at 437 n. 5 (“There is no doubt here, and I so find, that the defendants had the requisite mens rea; that is, that their actions were knowing and intentional, and with the purpose of distributing the heroin.”); People v. Buffum, supra (“the will of the attempter”).

Second, the defendant must have engaged in conduct which constitutes a substantial step toward commission of the crime. A substantial step must be conduct strongly corroborative of the firmness of the defendant’s criminal intent. Wooldridge v. United States, supra, 237 F. at 779 (“an overt act toward the commission of the crime charged”); Lemke v. United States, supra, 211 F.2d at 75 (“an overt act done toward its [the crime’s] commission”); United States v. Baker, supra (“some overt act in pursuance of the intention”) ; Giles v. United States, supra (“an act tending toward the accomplishment, and done in part execution of the design to commit a crime”); Gregg v. United States, supra, 113 F.2d at 690 (“a step in the direct movement towards the commission of the crime after preparations have been made”); United States v. Coplon, supra, 185 F.2d at 633 (“there are many decisions which hold that the accused has passed beyond ‘preparation,’ although he has been interrupted before he has taken the last of his intended steps . . . there is, and obviously can be, no definite line”); United States v. Robles, supra 185 F.Supp. at 85 (“Any effort or endeavor to effect the act”); United States v. Noreikis, supra 481 F.2d at 1181 (“the commission of an overt act, the ‘doing some*377thing directly moving toward, and bringing him nearer, the crime he intends to commit’ ”); People v. Buffum, supra, 256 P.2d at 321 (“there must be some appreciable fragment of the crime committed .... the act must not be equivocal in nature”). The use of the word “conduct” indicates that omission or possession, as well as positive acts, may in certain cases provide a basis for liability. The phrase “substantial step,” rather than “overt act,” is suggested by Gregg v. United States, supra (“a step in the direct movement toward the commission of the crime”); United States v. Coplon, supra (“before he has taken the last of his intended steps”) and People v. Buffum, supra (“some appreciable fragment of the crime”) and indicates that the conduct must be more than remote preparation. The requirement that the conduct be strongly corroborative of the firmness of the defendant’s criminal intent also relates to the requirement that the conduct be more than “mere preparation,” and is suggested by the Supreme Court’s emphasis upon ascertaining the intent of the defendant, United States v. Quincy, supra, and by the approach taken in United States v. Coplon, supra 185 F.2d at 633 (“. . . some preparation may amount to an attempt. It is a question of degree”).6

*378III.

The district court charged the jury in relevant part as follows:

“Now, the essential elements required in order to prove or to establish the offense charged in the indictment, which is, again, that the defendant knowingly and intentionally attempted to distribute a controlled substance, must first be a specific intent to commit the crime, and next that the accused wilfully made the attempt, and that a direct but ineffectual overt act was done toward its commission, and that such overt act was knowingly and intentionally done in furtherance of the attempt.
“ * -x- x- jn determining whether or not such an act was done, it is necessary to distinguish between mere preparation on the one hand and the actual commencement of the doing of the criminal deed on the other. Mere preparation, which may consist of planning the offense or of devising, obtaining or arranging a means for its commission, is not sufficient to constitute an attempt, but the acts of a person who intends to commit a crime will constitute an attempt where they, themselves, clearly indicate a certain unambiguous intent to wilfully commit that specific crime and in themselves are an immediate step in the present execution of the criminal design, the progress of which would be completed unless interrupted by some circumstances not intended in the original design.”

(Tr. Jury Trial Proc., pp. 138-139.) These instructions, to which the defendant did not object, are compatible with our view of what constitutes an attempt under section 846.

After the jury brought in a verdict of guilty, the trial court propounded a series of four questions to the jury:

“(1) Do you find beyond a reasonable doubt that on the 29th day of March, 1973, Roy Mandujano, the defendant herein, knowingly, wilfully and intentionally placed several telephone calls in order to obtain a source of heroin in accordance with his negotiations with Officer Cavalier which were to result in the distribution of approximately one ounce of heroin from the defendant Roy Mandujano to Officer Cavalier?”
“(2) Do you find beyond a reasonable doubt that the telephone calls inquired about in question no. (1) constituted overt acts in furtherance of the offense alleged in the indictment?”
“(3) Do you find beyond a reasonable doubt that on the 29th day of March, 1973, Roy Mandujano, the defendant herein, knowingly, wilfully and intentionally requested and received prior payment in the amount of $650.00 for approximately one ounce of heroin that was to be distributed by the defendant Roy Mandujano to Officer Cavalier ?”
“(4) Do you find beyond a reasonable doubt that the request and receipt of a prior payment inquired about in question no. (3) constituted an overt act in furtherance of the offense alleged in the indictment?"

Neither the government nor the defendant objected to this novel procedure. After deliberating, the jury answered “No” to question (1) and “Yes” to questions (3) and (4). The jury’s answers indicate that its thinking was consistent with the charge of the trial court.

The evidence was sufficient to support a verdict of guilty under section 846. Agent Cavalier testified that at Mandujano’s request, he gave him $650.-00 for one ounce of heroin, which Mandujano said he could get from a “good contact.” From this, plus Mandujano’s comments and conduct before and after the transfer of the $650.00, as described in Part I of this opinion, the jury could have found that Mandujano was acting knowingly and intentionally and that he *379engaged in conduct — the request for and the receipt of the $650.00 — which in fact constituted a substantial step toward distribution of heroin. From interrogatory (4), it is clear that the jury considered Mandujano’s request and receipt of the prior payment a substantial step toward the commission of the offense. Certainly, in the circumstances of this case, the jury could have found the transfer of money strongly corroborative of the firmness of Mandujano’s intent to complete the crime. Of course, proof that Mandujano’s “good contact” actually existed, and had heroin for sale, would have further strengthened the government’s case; however, such proof was not essential.

IV.

Mandujano claims prejudicial error with regard to two evidentiary questions. The first question arose near the beginning of Agent Cavalier’s testimony:

“A. Shortly after we have been talking for awhile, Mr. Mandujano looks at Mr. O’Leary and asks Mr. O’Leary if he was looking for stuff. I entered saying, ‘Yes, I was.’
“Q. In your understanding, what were you talking about, the stuff?
“MR. ALEXANDER [Attorney for Defendant]: Objection. This would be a conclusion on the witness’ part.
“MR. PINCKNEY [U.S. Attorney] : Of his own state of mind, your Honor, not someone else’s.
“THE COURT: How long have you been in the .job that you have?
“A. Since May, 1972, sir, on my present assignment.
“THE COURT: And how many times have you acted in an undercover capacity?
“A. Between November of ’72 and May of ’73 I acted in a total undercover capacity eighty-six times, I believe, sir. .
“THE COURT: In your experience dealing in the narcotics traffic, what have you understood the word ‘stuff’ to mean? I am asking it, counsel, and the record will reflect that you are objecting to it, and the Court will overrule the objection.
“A. ‘Stuff’ on the street, between narcotic traffickers and some of the local people in those streets, ‘stuff’ refers to narcotics.”

(Tr. 24-25.) Mandujano argues that allowing Cavalier to testify as to his understanding of the word “stuff” exposed the jury to the inference that Mandujano dealt in narcotics. In the light of Cavalier’s later testimony that Mandujano said he had good brown Mexican heroin available for sale, if Cavalier would wait until the regular man made his deliveries, and that Mandujano later tried to locate an immediate source of heroin for Cavalier, it is doubtful that Cavalier’s testimony on this point was prejudicial. At any rate, a trial court has some latitude in permitting a witness on direct examination to testify as to his conclusions, based on common knowledge or experience. See United States v. Trenton Potteries, 1927, 273 U.S. 392, 407, 47 S.Ct. 377, 71 L.Ed. 700; Batsell v. United States, 8 Cir. 1954, 217 F.2d 257, 262; Wiley v. United Sates, 8 Cir. 1958, 257 F.2d 900, 908; VII Wigmore Evidence (3rd ed.) §§ 1923, 1924, 1925. The court in this instance ascertained that Cavalier had wide experience as an undercover agent dealing in the narcotics traffic. We conclude that the trial court acted within its discretion in allowing Cavalier to testify as to his understanding of the word “stuff.”

The second evidentiary question developed near the end of Cavalier’s testimony. Cavalier had just testified that “We aborted the deal” (Tr. 31), and the United States Attorney proposed to ask Cavalier why he didn’t try to contact Mandujano again After a bench con*380ference and then a conference in the absence of the jury, the trial court decided to allow the following which was read to the jury by the court reporter:

“Q. Subsequent to the calls that you received on the evening of March 29th, 1973, why did you not again attempt to contact Mr. Mandujano?
“A. Based on the information that I had received, it would be unsafe for either my informant or myself to return to this area.”

(Tr. 40.) The court cautionéd the jury immediately that the answer to this question was admitted “only to show what was in his mind, not as proof to you or any evidence to you that it actually was unsafe, but only what he had been told and why he didn’t go back.” As limited by the trial court, the testimony was admissible to show Cavalier’s state of mind. See VI Wigmore, Evidence (3rd ed.) § 1789. This testimony was not so inherently prejudicial that the trial court should have suppressed it.

For the reasons stated in this opinion, the judgment is

Affirmed.

7.1.13 Notes and Questions - United States v. Mandujano 7.1.13 Notes and Questions - United States v. Mandujano

  1. The footnotes of Mandujano summarize the comments to the Model Penal Code, which develops several formulae regarding where to draw the line in attempt law:

    1. The physical proximity doctrine - the overt act required for an attempt must be proximate to the completed crime, or directly tending toward the completion of the crime, or must amount to the commencement of the consummation.

    2. The dangerous proximity doctrine - a test given impetus by Mr. Justice Holmes whereby the greater the gravity and probability of the offense, and the nearer the act to the crime, the stronger is the case for calling the act an attempt.

    3. The indispensable element test - a variation of the proximity tests which emphasizes any indispensable aspect of the criminal endeavor over which the actor has not yet acquired control.

    4. The probable desistance test - the conduct constitutes an attempt if, in the ordinary and natural course of events, without interruption from an outside source, it will result in the crime intended. * * *

    5. The res ipsa loquitur or unequivocality test - an attempt is committed when the actor’s conduct manifests an intent to commit a crime.

  2. The line between preparation and perpetration is particularly pertinent to the crime of attempt, as it provides a distinction as to when a crime occurred. However, the demarcation of this line is largely left to the court’s discretion. Here are a few examples of cases and articles where the conversation surrounding the application of attempt law varies:

    1. People v. Superior Court (Decker), 41 Cal. 4th 1 (2007):

“Although a definitive test has proved elusive, we have long recognized that ‘[w]henever the design of a person to commit crime is clearly shown, slight acts in furtherance of the design will constitute an attempt.’. * * *”

    1. Expanding on the judgment in (a), People v. Luna, 170 Cal. App. 4th 535, 540, 87 Cal. Rptr. 3d 781, 784–85 (2009):

“In considering appellant's argument, we first note that in a case such as this one ‘[w]here the intent to commit the crime is clearly shown, an act done toward the commission of the crime may be sufficient for an attempt even though that same act would be insufficient if the intent is not as clearly shown.’ * * * ‘[T]he plainer the intent to commit the offense, the more likely that steps in the early stages of the commission of the crime will satisfy the overt act requirement.’ * * * Thus, even “ ‘slight acts done in furtherance of that design will constitute an attempt, and the courts should not destroy the practical and common-sense administration of the law with subtleties as to what constitutes preparation and what constitutes an act done toward the commission of a crime.’”

    1. Francis B. Sayre, Criminal Attempts, 41 Harv. L. Rev. 821, 846 (1928):

“The more serious the crime attempted or the greater the menace to the social security from similar efforts on the part of the defendant * * *, the further back in the series of acts leading up to the consummated crime should the criminal law reach in holding the defendant guilty for attempt.”

    1. People v. Adami, 36 Cal. App. 3d 452, 455, 111 Cal. Rptr. 544, 546 (Ct. App. 1973), disapproved of by People v. Superior Court (Decker), 41 Cal. 4th 1, 157 P.3d 1017 (2007):

“To constitute an attempt preparation alone is not enough but some appreciable fragment of the crime must have been accomplished, i.e., it must be in such progress that it will be consummated unless interrupted by circumstances independent of the will of the attempter. * * * Accordingly, in order to constitute an attempt it must not only appear that the defendant had a specific intent to commit a crime but also that he did a direct unequivocal act toward that end.”

    1. Arnold N. Enker, Impossibility in Criminal Attempts—Legality and the Legal Process, 53 Minn. L. Rev. 665, 674 (1969):

“Cases arising along the preparation-attempt spectrum are handled in terms of their similarities to and differences from the substantive crime attempted, and in terms of analogy to previously decided or hypothetical attempt cases. In deciding, the court weighs several factors, principally: whether the act at issue is sufficiently close to the substantive crime or close enough to potential irreparable harm so as to preclude any further postponement of official intervention; whether the defendant's conduct has progressed to the point that one may be reasonably certain that he is firmly committed to a specific illegal venture rather than merely contemplating the possible future commission of a crime; and whether the act is sufficiently unambiguous to demonstrate the actor's illegal intent.”

  1. Consider this sequences of acts: 

    1. 8 p.m.: Brita changes into all black clothes.

    2. 8:30 p.m.: Brita packs a bag with a pair of gloves, a ski mask, a flashlight, a knife, and a lockpick.

    3. 10 p.m.: Brita places the bag in her car and drives around different neighborhoods.

    4. 11 p.m.: Brita parks her car down the street from a darkened house with no cars in the driveway, and puts on the ski mask and gloves.

    5. 11:15 p.m.: Brita leaves the car and checks the entry points of the house. 

    6. 11:30 p.m.: Brita pulls out the lockpick.

    7. 11:35 p.m.: A car pulls into the driveway of the house.

    8. Seconds later, Brita puts the lockpick away, returns to her car, and drives away.

Is Brita guilty of attempted burglary? At what point in the scenario does the attempt happen? Explain your justification for drawing the line of where preparation ends where you did. Would there have been an attempt if Brita had not completed step g? What result if Brita had left the house of her own volition, rather than at the point of the homeowner’s return?

7.1.14 Commonwealth v. Peaslee 7.1.14 Commonwealth v. Peaslee

Commonwealth vs. Lincoln B. Peaslee.

Essex.

November 7, 1900.

January 1, 1901.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

A. P. White, for the defendant.

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

Holmes, C. J.

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

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

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

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

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

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

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

Exceptions sustained.

7.1.15 Notes and Questions - Commonwealth v. Peaslee 7.1.15 Notes and Questions - Commonwealth v. Peaslee

  1. In Peaslee, solicitation to perform a crime plays a pivotal role. Can solicitation of another person to commit a crime constitute an attempt to commit that crime? What does the court suggest in the Peaslee case?

  2. Changing the facts. Would Peaselee be guilty of attempt if his employee agreed to commit the crime, but turned away of his own volition just prior to striking the match?

  3. Recall Note 1 after Mandujano. Was Peaslee guilty of attempt under the “dangerous proximity doctrine?” What about under the “probable desistance test?”

Model Penal Code and Commentaries § 5.01 cmt. 5(d), at 324–25 (1985) is critical of the probable desistance test. It states that:

Probable Desistance Test. Oriented largely toward the dangerousness of the actor’s conduct * * * [t]his test seemed to require a judgment in each case that the actor had reached a point where it was unlikely that he would have voluntarily desisted from his efforts to commit the crime. But in cases applying this test no inquiry was made into the personality of the particular offender before the court. Rather, the question was whether anyone who went so far would stop short of the final step.* * *

Accepting for the time being the underlying assumption that probability of desistance, or actual abandonment of the criminal endeavor, negatives dangerousness sufficiently to warrant immunity from attempt liability, this test still does not appear to provide a workable standard. Is there an adequate empirical basis for predicting whether desistance is probable at various points in various type of cases? * * * [I]n actual operation the probable desistance test is linked entirely to the nearness of the actor’s conduct to completion, this being the sole basis of unsubstantiated judicial appraisals of the probabilities of desistance. The test as applied appears to be little more than the physical proximity approach.”

  1. Hypothetical. Consider this hypothetical based on State v. Henthorn, 218 Wis.2d 526, 581 N.W.2d: 

Henthorn’s doctor wrote her a prescription for 30 painkillers (codeine). The doctor authorized one refill of the prescription, writing “1” on the refill line. Prior to filling the prescription, Henthorn drew another “1” on the refill line, so it appeared to authorize “11” refills. She then took the prescription into a pharmacy, where the pharmacist noticed that the refills went contrary to the law, which mandates that drugs containing codeine can legally be refilled no more than five times in a six-month period. The pharmacist called the doctor, who confirmed that he only authorized one refill. The pharmacist then called the police and Henthorn was prosecuted for attempted fraudulent acquisition of a controlled substance.

Should Henthorn be convicted? Which of the different Mandujano tests might change the outcome? 

  1. Justice Oliver Wendell Holmes, Jr., in The Common Law, characterized the doctrine of “dangerous proximity” as:

[L]ighting a match with intent to set fire to a haystack has been held to amount to a criminal attempt to burn it, although the defendant blew out the match on seeing that he was watched. * * *

* * * If a man starts from Boston to Cambridge for the purpose of committing a murder when he gets there, but is stopped by the draw [bridge] and goes home, he is no more punishable than if he had sat in his chair and resolved to shoot somebody, but on second thoughts had given up the notion. * * *

Eminent judges have been puzzled where to draw the line, or even to state the principle on which it should be drawn, between the two sets of cases. But the principle is believed to be similar to that on which all other lines are drawn by the law. Public policy, that is to say, legislative considerations, are at the bottom of the matter; the considerations being, in this case, the nearness of the danger, the greatness of the harm, and the degree of apprehension felt.

7.1.16 People v. Rizzo 7.1.16 People v. Rizzo

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

THE PEOPLE OF THE STATE OF NEW YORK, Respondent,

v.

CHARLES Rlzzo, Appellant, Impleaded with Others.

Court of Appeals of New York.

Argued October 17, 1927.

Decided November 22, 1927.


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

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

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

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

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

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

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

 

CRANE, J.

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

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

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

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

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

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

KELLOGG and O’BR1EN, JJ., concur.

Judgment accordingly.

 

7.1.17 Notes and Questions - People v. Rizzo 7.1.17 Notes and Questions - People v. Rizzo

  1. Consider the following excerpt from Michael Fishman’s Defining Attempts: Mandujano’s Error:

“Courts should adopt a proximity approach to attempt if they believe the purpose of punishing an attempt is “to prevent some harm which is foreseen as likely to follow . . . under the circumstances.” Proximity approaches are well tailored to this purpose because they do not punish a defendant “until the defendant has come dangerously close to accomplishing the completed crime.” If “the primary purpose of punishing individuals is to neutralize dangerous individuals and not to deter dangerous acts,” however, the proximity approaches are poorly suited to the task. Consider the defendants in Peaslee or Rizzo. From Peaslee and Rizzo's actions, one can readily determine that they were “dangerous” individuals. There is every reason to believe that both men would have carried out their intended crimes had they not been intercepted by law enforcement. The ability of such dangerous individuals to evade conviction represents the greatest weakness of the proximity approach.”

Do you agree with this criticism of the proximity approach? How does “neutralizing dangerous individuals” differ from “deterring dangerous acts” in the context of attempt law?

  1. Utilizing the dangerous proximity analysis, how should the following cases turn out?

    1. People v. Bishop, 202 Cal. App. 3d 273, 248 Cal. Rptr. 678 (Ct. App. 1988):

Bishop (defendant) arrived at the courthouse where her son (Danielson) was being tried for murder. As deputies escorted her son through the courthouse doors, Bishop leaned in closely to Danielson, keeping her left hand inside her coat. They appeared to touch and the deputies told her to get back. There is no indication that anything passed between Danielson and Bishop, however, deputies then initiated proceedings to arrest Bishop. When they arrested her and searched her vehicle, they found a pistol, some letters from Danielson, and a purse with a handcuff key. They also recovered food, a compass, binoculars, handcuffs, rope, a belt with a knife. 

Bishop was charged with assisting the attempted escape of a prisoner.

    1. People v. Omwathath, 39 Misc. 3d 41, 965 N.Y.S.2d 687 (App. Term 2013):

Omwathath, a school bus driver, reported for work with red, watery eyes, and the smell of alcohol on his breath. School officials suspected intoxication and called the police, who arrested him.  Omwathath admitted he had taken Nyquil because he had a cold. He then performed a series of sobriety tests, in which he “appeared in control of his cognitive faculties and motor coordination.”

Omwathath was convicted in criminal court of attempted endangering the welfare of a child. 

7.1.18 State v. Reeves 7.1.18 State v. Reeves

STATE of Tennessee, Plaintiff-Appellee, v. Tracie REEVES, Defendant-Appellant.

Supreme Court of Tennessee, at Jackson.

Feb. 26, 1996.

*910Charles W. Burson, Attorney General and Reporter, Michael E. Moore, Solicitor General, Michael J. Fahey, II, Assistant Attorney General, Nashville, Guss Radford, District Attorney General, Eleanor Cahill, Assistant District Attorney General, Huntingdon, for Plaintiff-Appellee.

Raymond L. Ivey, Ivey, Parish & Johns, Huntingdon, for Defendant-Appellant.

OPINION

DROWOTA, Judge.

The defendant, Trade Reeves, appeals from the Court of Appeals’ affirmance of the trial court’s order designating her a delinquent child. The trial court’s delinquency order, which was entered following a jury trial, was based on the jury’s finding that the defendant had attempted to commit second degree murder — a violation of Tenn.Code Ann. § 39-12-101. The specific issue for our determination is whether the defendant’s actions constitute a “substantial step,” under § 39-12~101(a)(3), toward the commission of that crime. For the following reasons, we hold that they do, and therefore affirm the judgment of the Court of Appeals.

FACTS AND PROCEDURAL HISTORY

On the evening of January 5, 1993, Trade Reeves and Molly Coffman, both twelve years of age and students at West Carroll Middle School, spoke on the telephone and decided to kill their homeroom teacher, Janice Geiger. The girls agreed that Coffman would bring rat poison to school the following day so that it could be placed in Geiger’s drink. The girls also agreed that they would thereafter steal Geiger’s car and drive to the Smoky Mountains. Reeves then contacted Dean Fouteh, a local high school student, informed him of the plan, and asked him to drive Geiger’s car. Fouteh refused this request.

On the morning of January 6, Coffman placed a packet of rat poison in her purse and boarded the school bus. During the bus ride Coffman told another student, Christy Hernandez, of the plan; Coffman also showed Hernandez the packet of rat poison. Upon their arrival at school Hernandez informed her homeroom teacher, Sherry Cock-rill, of the plan. Cockrill then relayed this information to the principal of the school, Claudia Argo.

When Geiger entered her classroom that morning she observed Reeves and Coffman leaning over her desk; and when the girls noticed her, they giggled and ran back to their seats. At that time Geiger saw a purse lying next to her coffee cup on top of the desk. Shortly thereafter Argo called Coff-man to the principal’s office. Rat poison was found in Coffman’s purse and it was turned over to a Sheriffs Department investigator. Both Reeves and Coffman gave written statements to the investigator concerning their plan to poison Geiger and steal her car.

Reeves and Coffinan were found to be delinquent by the Carroll County Juvenile Court, and both appealed from that ruling to the Carroll County Circuit Court. After a jury found that the girls attempted to commit second degree murder in violation of Tenn.Code Ann. § 39-12-101, the “criminal attempt” statute, the trial court affirmed the juvenile court’s order and sentenced the girls to the Department of Youth Development for an indefinite period. Reeves appealed from this judgment to the Court of Appeals, which affirmed the judgment of the trial court. Reeves then applied to this Court for permission to appeal pursuant to Tenn.RApp.P. 11. Because we have not addressed the law of criminal attempt since the comprehensive reform of our criminal law undertaken by the legislature in 1989, we granted that application.

Prior and Current Law of Criminal Attempt

Before the passage of the reform legislation in 1989, the law of criminal attempt, *911though sanctioned by various statutes, was judicially defined. In order to submit an issue of criminal attempt to the jury, the State was required to present legally sufficient evidence of: (1) an intent to commit a specific crime; (2) an overt act toward the commission of that crime; and (3) a failure to consummate the crime. Bandy v. State, 575 S.W.2d 278, 281 (Tenn.1979); Gervin v. State, 212 Tenn. 653, 371 S.W.2d 449, 451 (1963); Dupuy v. State, 204 Tenn. 624, 325 S.W.2d 238, 240 (1959).

Of the elements of criminal attempt, the second, the “overt act” requirement, was by far the most problematic. By attempting to draw a sharp distinction between “mere preparation” to commit a criminal act, which did not constitute the required overt act, and a “direct movement toward the commission after the preparations had been made,” Dupuy, 325 S.W.2d at 239, 240, which did, Tennessee courts construed the term “overt act” very narrowly. The best example of this extremely narrow construction occurred in Dupuy. In that case, the Memphis police sought to lay a trap for a pharmacist suspected of performing illegal abortions by sending a young woman to request these services from him. After the woman had made several attempts to secure his services, he finally agreed to perform the abortion. The pharmacist transported the young woman to a hotel room, laid out his instruments in preparation for the procedure, and asked the woman to remove her clothes. At that point the police came into the room and arrested the pharmacist, who then admitted that he had performed abortions in the past. The defendant was convicted under a statute that made it illegal to procure a miscarriage, and he appealed to this Court.

A majority of this Court reversed the conviction. After admitting that the defendant’s “reprehensible” course of conduct would doubtlessly have resulted in the commission of the crime “had he not been thwarted in his efforts by the arrival of the police,” Dupuy, 325 S.W.2d at 239, the majority concluded that:

While the defendant had completed his plan to do this crime the element of attempt [overt act] does not appear in this record. The proof shows that he did not use any of the instruments and did not touch the body of the girl in question. Under such facts we do not think that the defendant is guilty under the statute.

Dupuy, 325 S.W.2d at 240.

To support its holding, the Dupuy court quoted a treatise passage concerning actions that constituted “mere preparation,” as opposed to actions that would satisfy the overt act requirement:

In a general way, however, it may be said that preparation consists in devising or arranging the means or measures necessary for the commission of the offense and that the attempt [overt act] is the direct movement toward the commission after the preparations are made. Even though a person actually intends to commit a crime, his procurement of the instrumentalities adapted to that end will not constitute an attempt to commit the crime in the absence of some overt act.

Id. (quoting 14 Am.Jur. § 68 (1940)). To further illustrate the foregoing principle the majority provided the following example: “the procurement by a prisoner of tools adapted to breaking jail does not render him guilty of an attempt to break jail.” Id.

As indicated above, the sharp differentiation in Dupuy between “mere preparation” and “overt act,” or the “act itself,” was characteristic of the pre-1989 attempt law. See e.g., Gervin v. State, 212 Tenn. 653, 371 S.W.2d 449 (1963) (criminal solicitation does not constitute an attempt); McEwing v. State, 134 Tenn. 649, 185 S.W. 688 (1915) (conviction for attempted rape affirmed because defendant actually laid hands on the victim). In 1989, however, the legislature enacted a general criminal attempt statute, Tenn.Code Ann. § 39-12-101, as part of its comprehensive overhaul of Tennessee’s criminal law. In that statute, the legislature did not simply codify the judicially-created elements of the crime, but utilized language that had up to then been entirely foreign to Tennessee attempt law. Section 39-12-101 provides, in pertinent part, as follows:

*912(a) A person commits criminal attempt who, acting with the kind of culpability otherwise required for the offense:
(1) Intentionally engages in action or causes a result that would constitute an offense if the circumstances surrounding the conduct were as the person believes them to be;
(2) Acts with intent to cause a result that is an element of the offense, and believes the conduct will cause the result without further conduct on the person’s part; or
(3) Acts with intent to complete a course of action or cause a result that would constitute the offense, under the circumstances surrounding the conduct as the person believe them to be, and the conduct constitutes a substantial step toward the commission of the offense.
(b) Conduct does not constitute a substantial step under subdivision (a)(3) unless the person’s entire course of action is corroborative of the intent to commit the offense.

(emphasis added.)

The Substantial Step Issue

As stated above, our task is to determine whether the defendant’s actions in this case constitute a “substantial step” toward the commission of second degree murder under the new statute. The “substantial step” issue has not yet been addressed by a Tennessee court in a published opinion, and the question is made more difficult by the fact that the legislature declined to set forth any definition of the term, preferring instead to “leave the issue of what constitutes a substantial step [to the courts] for determination in each particular case.” § 39-12-101, Comments of Sentencing Commission.

In addressing this issue, we first note that the legislature, in enacting § 39-12-101, clearly looked to the criminal attempt section set forth in the Model Penal Code. That section provides, in pertinent part, as follows:

(1) Definition of attempt. A person is guilty of an attempt to commit a crime if, acting with the kind of culpability otherwise required for commission of the crime, he:
(a) purposely engages in conduct which would constitute the crime if the attendant circumstances were as he believes them to be; or
(b) when causing a particular result is an element of the crime, does or omits to do anything with the purpose of causing or with the belief that it will cause such result, without further conduct on his part; or
(c) purposely does or omits to do anything which, under the circumstances as he believes them to be, is a substantial step in a course of conduct planned to culminate in his commission of the crime

Model Penal Code, Section 5.01 (emphasis added.)

The State argues that the striking similarity of Tenn.Code Ann. § 39-12-101 and the Model Penal Code evidences the legislature’s intention to abandon the old law of criminal attempt and instead adopt the Model Penal Code approach. The State then avers that the model code contains examples of conduct which, if proven, would entitle, but not require, the jury to find that the defendant had taken a “substantial step;” and that two of these examples are applicable to this case. The section of the model code relied upon by the State, § 5.01(2), provides, in pertinent part, as follows:

(2) Conduct which may be held substantial step under paragraph (l)(c). Conduct shall not be held to constitute a substantial step under paragraph (l)(c) of this Section unless it is strongly corroborative of the actor’s criminal purpose. Without negativing the sufficiency of other conduct, the following, if strongly corroborative of the actor’s criminal purpose, shall not be held insufficient as a matter of law:
(e) possession of materials to be employed in the commission of the crime, *913which are specially designed for such unlawful use or which can serve no lawful purpose of the actor under the circumstances;
(f) possession, collection or fabrication of materials to be employed in the commission of the crime, at or near the place contemplated for its commission, where such possession, collection or fabrication serves no lawful purpose of the actor under the circumstances;

(emphasis added.)

The State concludes that because the issue of whether the defendant’s conduct constitutes a substantial step may be a jury question under the model code, the jury was justified in finding her guilty of attempting to commit second degree murder.

The defendant counters by arguing that despite the similarity of Tenn.Code Ann. § 39-12-101 and the Model Penal Code’s attempt provision, the legislature intended to retain the sharp distinction between “mere preparation” and the “act itself’ characteristic of such decisions as Dupuy. She supports this assertion by pointing out that although the legislature could have easily included the examples set forth in § 5.01(2) of the model code, the Tennessee statute does not include the examples. The defendant concludes that the new statute did not substantially change Tennessee attempt law, and that her conviction must be reversed because her actions constitute “mere preparation” under Dupuy.

Initially, we cannot accept the argument that the legislature intended to explicitly adopt the Model Penal Code approach, including the examples set forth in § 5.01(2). Although § 39-12-101 is obviously based on the model code, we agree with the defendant that the legislature could have, if it had so desired, simply included the specific examples in the Tennessee statute. That it did not do so prohibits us from concluding that the legislature explicitly intended to adopt the model code approach in all its particulars.

This conclusion does not mean, however, that the legislature intended to retain the distinction between “mere preparation” and the “act itself.” Moreover, while we concede that a strong argument can be made that the conviction conflicts with Dupuy because the defendant did not place the poison in the cup, but simply brought it to the crime scene, we also are well aware that the Dupuy approach to attempt law has been consistently and effectively criticized. One persistent criticism of the endeavor to separate “mere preparation” from the “act itself’ is that the question is ultimately not one of kind but of degree;1 the “act itself’ is merely one of the termini on a continuum of criminal activity. Therefore, distinguishing between “mere preparation” and the “act itself’ in a principled manner is a difficult, if not impossible, task.2 See U.S. v. Dworken, 855 F.2d 12, 19 (1st Cir.1988); U.S. v. Brown, 604 F.2d 347, 350 (5th Cir.1979); Levenbook, Prohibiting Attempts and Preparations, 49 U.M.K.C.L.Rev. 41 (1980); Hall, Criminal Attempt—A Study of Foundations of Criminal Liability, 40 Yale L.J. 789, 821-22 (1940). The other principal ground of criticism of the Dupuy approach bears directly on the primary objective of the law — that of preventing inchoate crimes from becoming full-blown ones. Many courts and commen*914tators have argued that failing to attach criminal responsibility to the actor — and therefore prohibiting law enforcement officers from taking action' — until the actor is on the brink of consummating the crime endangers the public and undermines the preventative goal of attempt law. See People v. Tenell, 99 Ill.2d 427, 77 Ill.Dec. 88, 92, 459 N.E.2d 1337, 1341 (1984); U.S. v. Prichard, 781 F.2d 179, 182 (10th Cir.1986); U.S. v. Stallworth, 543 F.2d 1038,1040 (2d Cir.1976). See generally Wechsler, Jones & Korn, The Treatment of Inchoate Crimes in the Model Penal Code of the American Law Institute: Attempt, Solicitation, and Conspiracy, 61 Colum.L.Rev. 571, 586-611 (1961).

The shortcomings of the Dupuy rule with respect to the goal of prevention are particularly evident in this case. As stated above, it is likely that under Dupuy no criminal responsibility would have attached unless the poison had actually been placed in the teacher’s cup. This rigid requirement, however, severely undercuts the objective of prevention because of the surreptitious nature of the act of poisoning. Once a person secretly places a toxic substance into a container from which another person is likely to eat or drink, the damage is done. Here, if it had not been for the intei’vention of the teacher, she could have been rendered powerless to protect herself from harm.

After carefully weighing considerations of stare decisis against the persuasive criticisms of the Dupuy rule, we conclude that this artificial and potentially harmful rule must be abandoned. We hold that when an actor possesses materials to be used in the commission of a crime, at or near the scene of the crime, and where the possession of those materials can serve no lawful purpose of the actor under the circumstances, the jury is entitled, but not required, to find that the actor has taken a “substantial step” toward the commission of the crime if such action is strongly corroborative of the actor’s overall criminal purpose.3 For the foregoing reasons, the judgment of the Court of Appeals is affirmed.

ANDERSON, C.J., and REID and WHITE, JJ., concur.

BIRCH, J., files separate concurring and dissenting opinion.

BIRCH, Justice,

concurring and dissenting.

I concur in the majority’s statement of the rule to be applied in deciding whether a criminal attempt has occurred. I dissent, however, from their application of that rule to this case.

The applicable standard of review for this case is “[findings of guilt in criminal actions whether by the trial court or jury shall be set aside if the evidence is insufficient to support the findings by the trier of fact of guilt beyond a reasonable doubt.” Tenn.R.App.P. 13(e); see also Jackson v. Virginia, 443 U.S. 307, 319, 99 S.Ct. 2781, 2789, 61 L.Ed.2d 560 (1979) (“[T]he relevant question [in reviewing the sufficiency of the evidence] is whether, after viewing the evidence in the light most favorable to the prosecution, any rational trier of fact could have found the essential elements of the crime beyond a reasonable doubt.”). Applying this standard of review, I would find that under the test adopted by the *915majority for determining whether a “substantial step” was taken, the evidence in this case is insufficient as a matter of law.

Tenn.Code Ann. § 39-12-101, the criminal attempt statute, states, in pertinent part:

(a) A person commits criminal attempt who, acting with the kind of culpability otherwise required for the offense:
(3) Acts with intent to complete a course of action or cause a result that would constitute the offense, under the circumstances surrounding the conduct as the pei'son believes them to be, and the conduct constitutes a substantial step toward the commission of the offense.
(b) Conduct does not constitute a substantial step under subdivision (a)(3) unless the person’s entire course of action is corroborative of the intent to commit the offense.

(Emphasis added). Based upon this record, I would find that the “entire course of action” of these two twelve-year-old girls was not “strongly corroborative” of intent to commit second-degree murder and that the evidence was insufficient as a matter of law. In looking at the “entire course of action,” we should remember that these were twelve-year-old girls, not explosive-toting terrorists.

Accordingly, while I concur in the majority’s abandonment of the rule stated in Dupuy v. State, 204 Tenn. 624, 325 S.W.2d 238 (1959), I dissent from the conclusion of the majority in this case.

7.1.19 United States v. Duran 7.1.19 United States v. Duran

UNITED STATES of America, Appellee, v. Francisco Martin DURAN, Appellant.

No. 95-3096.

United States Court of Appeals, District of Columbia Circuit.

Argued Sept. 4, 1996.

Decided Oct. 8, 1996.

*1497A.J. Kramer, Federal Public Defender, Washington, DC, argued the cause and filed the briefs for appellant. Leigh A, Kenny, Assistant Federal Public Defender, entered an appearance.

Leslie A. Blackmon, Assistant United States Attorney, Washington, DC, argued the cause for appellee, with whom Eric H. Holder, Jr., United States Attorney, John R. Fisher, Brenda J. Johnson and Chrisellen R. Kolb, Assistant United States Attorneys, were on the brief.

Before: WALD, ROGERS and TATEL, Circuit Judges.

Opinion for the Court filed by Circuit Judge WALD.

WALD, Circuit Judge:

On April 4, 1995, a jury convicted Francisco Martin Duran of ten criminal counts, all of which centered on the fact that on October 29, 1994, at around 3:00 in the afternoon, Duran stood on the Pennsylvania Avenue sidewalk in front of the White House and fired at least twenty-nine rounds across the North Lawn with an assault weapon. On appeal, the defendant challenges his convictions on three grounds. First, Duran claims that the district court erred by failing to bifurcate the trial for separate presentation of his merits and insanity defenses. Second, Duran asserts that his actions on October 29, 1994, did not render him guilty of attempting to assassinate the President of the United States under 18 U.S.C. § 1751(c). Third, Duran claims that there was insufficient evidence presented at trial to support his conviction under 18 U.S.C. § 111 for “forcibly assaulting], resisting], oppos[ing], imped[ing], intimidating], or interfer[ing] with” four Secret Service officers who were present on the North Lawn of the White House as he was shooting. We find merit in none of these claims, and affirm Duran’s convictions.

*1498The district judge did not abuse his discretion by denying Duran’s motion to bifurcate the trial, because the defense had not demonstrated that the merits and insanity defenses were so incompatible as to require bifurcation. Nor did the joint presentation of the merits and insanity defenses at the trial result in prejudice making remand for a new bifurcated trial necessary, because the two defenses were not in fact incompatible. Duran violated § 1751(c) by engaging in a series of “substantial steps” towards his goal of killing the President in the days and hours leading up to the afternoon of October 29, 1994. We also uphold Duran’s convictions under § 111 because, viewing the evidence in the light most favorable to the prosecution, a reasonable trier of fact could have concluded beyond a reasonable doubt that as the defendant ran east along the White House fence, spraying gunfire across the North Lawn, he acted with the purpose of putting Secret Service agents on the North Lawn in fear of imminent serious bodily harm.

I. Background

In mid-September of 1994 Francisco Martin Duran, a 26-year-old upholsterer from a suburb of Colorado Springs, Colorado, began to purchase a number of assault weapons. Evidence presented at trial established that on September 13, Duran bought an assault rifle and about 100 rounds of ammunition. Two days later, he bought a thirty-round clip and had the rifle equipped with a folding stock. Thirteen days after that, Duran bought a shotgun, and the following day still more ammunition. On September 30, Duran left work and, without contacting his family or employer, began his journey to Washington, D.C. He purchased another thirty-round clip in Charlottesville, Virginia on October 10, and the next day bought a large overcoat in Richmond, Virginia. Later that day Duran arrived in Washington, D.C., and checked into a hotel. He stayed at various hotels in the Washington area between the tenth and the twenty-ninth of October.

Shortly before 6:00 on the morning of October 29, Duran checked out of the Embassy Suites Hotel in Tysons Comer, drove to downtown Washington, and parked his track on 17th Street, between D and E Streets. By early afternoon, he was standing in front of the north side of the White House, wearing the overcoat he had purchased earlier on his trip. As Duran stood by the White House fence, two eighth-grade students on a field trip, Robert DeCamp and Brent Owens, ran to a point along the fence thirteen feet away. DeCamp pointed toward a small group of men in dark suits standing near the White House. One of these men, civilian Dennis Basso, bore a strong resemblance to President Clinton. DeCamp remarked that the man “looked like Bill Clinton,” and Owens said “Yeah, it does.” Almost immediately after this exchange, Duran began firing the rifle at Basso.

Four Secret Service officers who were stationed on the north side of the White House reacted to the sound of shots by taking cover and attempting to move toward the source of the gunfire. After firing about twenty rounds from his original position, Duran began running east along the fence, continuing to fire in the direction of the White House. Then he stopped, apparently trying to reload a second thirty-round clip — at this point civilian Harry Rakowsky tackled him, and soon thereafter several Secret Service agents arrived to help subdue Duran and confiscate his rifle.

Searching his truck after his arrest, agents found one of the rifles Duran had purchased en route to Washington, several boxes of ammunition, nerve gas antidote, a letter in which Duran had written “Can you imagine a higher moral calling than to destroy someone’s dreams with one bullet?,” a road atlas on which Duran had written “Kill the Pres!,” a cover tom from a telephone book bearing a picture of President Clinton, which Duran had defaced by drawing a circle around Clinton’s head and an “X” on his faee, a handwritten document with the heading “Last will and words,” an order form for the book “Hit Man,” and several books about out-of-body experiences. When they searched his house and office, law enforcement agents found a business card on the back of which Duran had written “Kill all government offices (sic) and department heads” and assorted other pieces of anti-government literature.

*1499II. Discussion

A. Failure to Bifurcate the Trial for Separate Presentation of Merits and Insanity Defenses

The defendant claims that the district court abused its discretion by denying his pretrial motion to bifurcate the trial into two phases dealing separately with the issues of guilt and sanity. We find that the district judge was within his discretion in denying Duran’s motion to bifurcate, and that the court’s failure to bifurcate the trial resulted in no unfair prejudice to either of Duran’s defenses.

1. Denial of Duran’s Motion to Bifurcate the Trial

Circuit law holds that a defendant should have the opportunity to benefit from both a merits-based defense and an insanity defense even when these defenses are incompatible, and thus the court should bifurcate a trial for separate presentation of these two defenses if it appears likely that either would be adversely affected by a jury hearing evidence regarding the other. Holmes v. United States, 363 F.2d 281 (D.C.Cir.1966); Contee v. United States, 410 F.2d 249 (D.C.Cir.1969). District judges must consider the possibility of such prejudice in exercising their discretion to grant or deny a motion to bifurcate, and the motion should be granted when the potential for such prejudice is apparent at the outset; that is, when the defendant demonstrates that he has “substantial,” and incompatible, defenses on both the merits and insanity issues. See Contee, 410 F.2d at 250.

Before trial, Duran made a motion to bifurcate pursuant to which the parties would first try the issue of Duran’s guilt on the merits, and then, if the jury found him guilty, proceed to a second “phase” in which Duran would present an insanity defense. Duran also requested, but did not condition his bifurcation request upon, the impanelment of two separate juries to hear the two different phases of the case.

To show that he was prepared to offer a “substantial” defense on the merits, Duran’s counsel notified the court that he intended to prove that Duran shot toward the White House as part of a “dramatic suicide mission,” rather than as part of an attempt to kill the President or anyone else. The defense described the evidence it would use in support of this theory: the defendant’s disintegrating marriage, his financial troubles, statements he made to his wife just before the incident indicating that he thought she would never see him again, a note with the heading “Last will and words” found in his truck just after the shooting, his statement to the agents arresting him that he wished they had shot him, the low accuracy of his chosen weapon and his careless manner of firing it, and the testimony of doctors indicating that he was suicidal.

The evidence the defendant proffered to the court in order to show that he would offer a “substantial” insanity defense, and that this defense would be incompatible with his merits defense, included a handwritten paean to murder that he had written before the shooting, and reports by two psychiatrists and a psychologist describing him as a paranoid schizophrenic.

In denying the bifurcation motion, the court noted that “the caselaw does not provide a clear definition.as to what constitutes a ‘substantial defense,’” but added that a defense is not “substantial” when it consists merely of “putting the Government to its proof,” or when the government’s case is so strong that it would be “irrational” to suppose that the proffered defense could sway a jury. United States v. Duran, 884 F.Supp. 529, 531-32 (D.D.C.1995) (quoting United States v. Grimes, 421 F.2d 1119, 1123 (D.C.Cir.), cert. denied, 398 U.S. 932, 90 S.Ct. 1831, 26 L.Ed.2d 98 (1970)). The court found that neither Duran’s merits defense nor his insanity defense could be considered “substantial” in light of the strength of the evidence the government intended to introduce at trial. The government had indicated that it would offer two videotapes of Duran firing toward the White House, and would call three experts who would rebut the testimony of Duran’s three experts by testifying that Duran was not suffering from a severe mental disorder, and that Duran was in fact feigning insanity. The court further rea*1500soned that, notwithstanding any question of the “substantiality” of the two defenses, bifurcation was unnecessary because the two defenses were mutually-reinforcing, rather than contradictory.

The district court correctly asserted that our caselaw has not heretofore articulated a precise definition of “substantiality” in the context of this type of bifurcation decision. In Harried v. United States, we stated that a simple denial, by which the defendant merely “puts the government to its proof,” does not qualify as a “substantial” defense. See Harried v. United States, 389 F.2d 281, 284 (D.C.Cir.1967). But as the defendant there had offered only a bare denial of guilt, we found it unnecessary to determine just how much further a defendant must go in showing the. court that he has a potential defense in order to cross the threshold into “substantiality.”

In Contee, this court went a bit further in discussing the “substantiality” of two defenses proffered by a defendant who had been convicted of murdering his wife with an ax. The trial court had denied Contee’s pretrial bifurcation motion, based on two defenses, one self-defense and the other lack of premeditation. Contee, 410 F.2d at 250. Con-tee’s proffered self-defense theory was based exclusively on his own testimony that all he remembered about the event was waking up to find his wife on top of him and blood spurting from cuts on his arms, then pushing his wife off, seeing a “devil” standing over his wife, and passing out. Id. at 251. On appeal after Contee’s conviction, this court held that the trial court was within its discretion in denying Contee’s pretrial bifurcation motion. After reviewing the evidence Contee had proffered in support of his self-defense theory, we concluded: “[i]t is doubtful that this evidence would have required an instruction on self-defense had one been requested. In any event, we think it is too insubstantial to warrant reversal for lack of bifurcation in the circumstances of this case.” Id. at 251. The Contee court thus suggested that a defense which appears extremely weak or implausible, although it goes beyond merely “putting the government to its proof,” may be considered “insubstantial.” Contee had also proffered, in his pre-trial bifurcation motion, the defense of lack of premeditation, which he proposed to support with the same testimony regarding his memory of the events surrounding his wife’s death. Id. This court noted as to that defense that “[t]he Government’s evidence of premeditation, though sufficient, was relatively weak, and [Contee’s] testimony, if believed, negated any consciously formulated design to kill his wife,” and so the proffered premeditation defense was “substantial.” Id.

Fortunately we need not, even if we could, articulate a precise definition of the requirements of “substantiality” in order to decide this case; it is sufficient to note that the central concern underlying the relevant bifurcation cases is the danger that prejudice to a defendant could result from the unitary structure of the trial. That is, our bifurcation cases dealing with defendants who proffer both merits and insanity defenses suggest that a trial judge should not allow the manner in which different defense theories are presented at trial to affect the outcome of the trial. By breaking the bifurcation determination down into the subsidiary questions of the “substantiality” and “compatibility” of various defenses, we endeavor to ensure that any plausible and supported defense will be given a chance to stand on its own. We do not thereby intend, however, on the one hand to mandate bifurcation when defendants proffer only flimsy and patently unsupportable defenses or, on the other, to require trial judges to conduct mini-trials in order to determine how proffered defenses may fare at trial. Trial judges must exercise their sound discretion in deciding whether to satisfy bifurcation requests, based on the information presented to them by the parties and any other information reasonably available to them at the time bifurcation is requested. Such discretion will generally weigh in favor of bifurcation only when “a defendant shows that he has a substantial insanity defense and a substantial defense on the merits to any element of the charge, either of which would be prejudiced by simultaneous presentation with the other.” Id. at 250.

In assessing Duran’s proffered merits and insanity defenses, the trial court may have *1501applied too daunting a “substantiality” standard. With regard to Duran’s merits defense, the court observed that the government was prepared to show the jury two videotapes of Duran firing a rifle toward the White House, and on this basis concluded that “any defense to the acts depicted in the video tapes cannot be substantial.” Duran, 884 F.Supp. at 532. The problem with this rationale is that Duran did not propose to deny committing the acts depicted in the videotapes; rather, Duran proffered a merits defense premised on an assertion about his state of mind while committing those acts. The court dealt with Duran’s insanity defense in one sentence, explaining “[n]or can the Court hold that the Defendant presents a substantial insanity defense, as the Government also intends to call at trial two psychologists and one psychiatrist to rebut the testimony presented by the Defendant on this issue.” Id. Given that the parties intended to present an equal number of experts on the insanity issue, such a terse determination of “insubstantiality” resembles a mere guess at which side’s experts would appear more credible to the jury.

On this record, we would hesitate to uphold the trial judge’s refusal to bifurcate had he based his decision solely on his determination that Duran’s proffered defenses were “insubstantial,” but we find the court’s conclusion that these defenses also were not fundamentally incompatible compelling enough to support the refusal to bifurcate the trial without recourse to the question of “substantiality.” The trial court here noted that, in Contee, this court upheld a denial of a motion to bifurcate when the evidence proffered in support of the insanity theory served to bolster, rather than to undermine, Con-tee’s merits defense of lack of premeditation. Id. at 532-33. In making this determination, the Contee court concluded that “much of [the testimony offered in support of the insanity defense] in fact gave substance and plausibility to appellant’s claim that he killed impulsively and without premeditation,” and declared itself “unable to determine with any confidence whether appellant was on balance helped or hurt” by the cross-pollination of these two defenses. Contee, 410 F.2d at 251-52. The Contee court recognized that, in ruling on a bifurcation motion, “the court must depend largely on defense counsel for the relevant information,” and thus a trial judge may deny the motion when the defendant has failed to convince him of both sub-stantiality and incompatibility.1 Id. at 250-51.

This trial court was similarly unable, when faced with the pretrial bifurcation motion, to determine whether Duran would on balance be helped or hurt by the presentation of his merits defense in tandem with his insanity defense. See Duran, 884 F.Supp. at 532-33. The proposed merits defense was based on the theory that Duran shot toward the White House, not with the intention of killing the President or anyone else, but with the intention of attracting fatal return fire from security agents. The proposed insanity defense theory posited that Duran shot towards the White House, not with the intention of killing the President or anyone else, but with the intention of killing an “evil mist” that his paranoid schizophrenia made him believe was hovering over the White House. The cornerstone of each theory was the lack of an intent to kill any person; they differed primarily in regard to the particular form of mental aberration compelling Duran’s actions, and the defendant did not suggest in his pretrial motions, nor does he argue before this court, that a suicidal mental state is fundamentally incompatible with paranoid schizophrenia. Thus the trial court could reasonably conclude that the evidence regarding Duran’s emotional distress and possible death wish would, if anything, serve to “soften up” the *1502jury for the expert and other evidence offered in support of his insanity defense. In light of the reasonableness of this conclusion regarding the compatibility of the two proffered defenses, the denial of Duran’s motion to bifurcate the trial was not an abuse of discretion.

2. Prejudice Resulting from the Failure to Bifurcate the Trial

Even though a trial court acted within its discretion in denying a pretrial motion to bifurcate, a showing of actual prejudice resulting from the failure to bifurcate may still require a remand for a new, bifurcated trial. See Contee, 410 F.2d at 251; United States v. Bennett, 460 F.2d 872 (D.C.Cir.1972). In Bennett, this court held that the district judge exercised sound discretion in denying the pretrial bifurcation motion of a defendant charged with sexually assaulting a 13-year-old boy. Nevertheless, the court was deeply concerned about the effect that certain evidence presented at trial in support of the insanity defense might have had on Bennett’s merits defense. At trial, Bennett had asserted both that he had not committed the acts charged and that he suffered from a severe mental illness that rendered him incapable of appreciating the wrongfulness of his acts. On appeal, Bennett claimed that the presentation of evidence relevant only to the merits issue had prejudiced his insanity defense, and vice-versa. The government’s presentation of its case on the merits had allegedly prejudiced Bennett’s insanity defense by exposing the jury to the “unpleasant details” of the crime, which this court agreed could make the jury “reluctant to ñnd a defendant not guilty by reason of insanity if the crime at issue is especially heinous,” and which the jury deciding the issue of Bennett’s sanity would not have heard had Bennett’s trial been bifurcated and used two separate juries, as he had requested. Bennett, 460 F.2d at 881. Bennett claimed that his insanity defense had prejudiced his merits defense because it had included the testimony of a government expert who recounted Bennett’s virtual confession to the very acts he denied having committed. The doctor testified that he had concluded that the defendant was sane because the defendant had a “very good recollection of the events of the alleged events. He recalls minutely what happened prior to the offense, of the alleged offense, and following it. He expressed his own version of the story, his feeling about it_” Id. at 878. On appeal, this court observed that “it seems clear that the defense was, in fact, prejudiced by the admission of a confession which could obviously be expected to have an impact on the jury’s determination of the merits.” Id. at 879.

Duran complains of prejudice necessitating a remand for a bifurcated trial based on the prejudicial effect of several items of evidence elicited from witnesses in his trial; he claims that, in a bifurcated trial, these witnesses would not have testified unless and until his guilt had first been determined in the merits phase of the trial. He refers specifically to testimony regarding his prior conviction for drunk driving and aggravated assault, and testimony elicited from doctors regarding Duran’s descriptions of himself, statements about wanting to kill the President, and his “gruesome and graphic” fantasy about killing and mutilating the President and First Lady. Brief of Appellant at 37.

a. Duran’s Prior Conviction

In order to determine whether the introduction of Duran’s prior conviction for drunk driving and assault represented unfair prejudice to his merits defense, we must first determine whether it would, in any case, have been introduced in the merits phase of a bifurcated trial. The process of constructing this hypothetical bifurcated trial requires a close look at the sequence and use by the parties of those witnesses responsible for the introduction of this evidence.

In the course of making its case against Duran for attempted murder of the President of the United States, the government called as witnesses David Millis and Stacy Stallwood, Duran’s co-workers at the Broadmoor Hotel in Colorado Springs. Mil-lis testified on direct examination that Duran “really hated taxes and basically the government,” and that Duran had often talked about wanting to kill the President. Tran*1503script (“Tr.”) 3/21/95 at 14.2 StaUwood testified that Duran “didn’t want to have any government official telling him what to do,” and that Duran had told her that “he hated [President Clinton] and if he had the chance he would kiU him.” Tr. 3/20/95 at 193. Duran’s witnesses included several people who knew him when he served in the military, including former military superiors Ronald Beatty and Manuel Flores, and his father-in-law Wayne Warner. The defense’s direct examination of each witness followed a virtu-aUy identical pattern: after introducing the witness and establishing his relationship with Duran, the defense asked some variant of these two questions: “did [Duran] ever say anything unusual to you about the United States government?” and “did [Duran] ever talk to you about killing or harming the President?” Tr. 3/27/95 at 14, 37-38, 54. Each of these witnesses answered “no” to both questions. In a sidebar conversation foUowing the direct examination of Beatty, Duran’s counsel said that her purpose in calling Beatty was to impeach StaUwood and Millis on the merits issue of Duran’s desire to Mil the President.3

For reasons that are unclear from the record, Duran’s own counsel ehcited the fact of his prior conviction. The parties had previously agreed that the fact of Duran’s dishonorable discharge from the mihtary, wMch resulted from his conviction, would be admissible, but that neither side would seek to introduce the fact of the conviction. The government elicited the fact of the discharge from Flores, but did not eUcit the conviction that underlay the discharge; rather, Duran’s counsel ehcited testimony describing the conviction on direct examination of Duran’s father-in-law, Wayne Warner.

Duran now claims that “neither Flores nor Warner would have been eaUed during the merits phase of a bifurcated trial, as their evidence went only to the sanity issue,” and therefore the fact of Duran’s prior conviction would not have been heard by the jury in a separate merits phase of a bifurcated trial. Reply Brief of Appellant at 4. It is not readily apparent, however, that the testimony of Flores and Warner would have had any value to Duran in his presentation of a separate insanity defense. Flores testified that he had never heard Duran say unusual things about the government or about wanting to kill the President, and that “Duran was a very good man when he was under me.” Tr. 3/27/95 at 41. Warner’s testimony was similar, referring to Duran as being “a little bit unhappy with the government, because he couldn’t change it.” Tr. 3/27/95 at 54-55. Overall, the testimony of Flores and Warner suggested that Duran was well able to understand the wrongfulness of firing an assault weapon across the North Lawn of the White House.

At oral argument in this court, defense counsel elaborated somewhat on the assertion that Flores and Warner would not have been called until the insanity phase of a bifurcated trial, suggesting that the defense had intended to use these witnesses only to help prove that Duran was insane, by demonstrating the radical change in Duran’s mental state between his time in the military and his time as an upholsterer at the Broadmoor Hotel. The record does, in fact, provide some support for this assertion. The defense delivered two separate closing arguments, the first summarizing Duran’s merits defenses and the second his insanity defense; the second closing argument used the testimony of people who knew Duran from his military service to demonstrate the radical change in his mental state that had taken place by the time of the shootings. It seems unclear to us, however, that the defense would have used Flores and Warner solely to set the scene for its narrative description of Duran’s descent into madness in a bifurcated trial. The intuitively much stronger reason for calling Flores and Warner — to rebut government witnesses on the merits issue of Du*1504ran’s desire to kill the President — was the one actually articulated at sidebar by defense counsel during the trial.4 Furthermore, the first defense closing argument, dealing with Duran’s defenses on the merits, reflected a strong desire on the defendant’s part to undermine the testimony of Stallwood and Mil-lis regarding his statements about killing the President.5

Finally, even if the defense had intended to save Flores and Warner for the insanity phase of a bifurcated trial, and even if refusing to call these two as defense witnesses in the merits phase could have prevented the jury from hearing about the prior conviction, the overwhelming evidence presented at trial regarding Duran’s hatred of the government and of the President, his announced desire to kill the President, and the extensive actions he took in pursuit of this desire, make it impossible for us to conclude that Duran’s prior conviction for drunk driving and assault played a significant role in the jury’s deliberations centering on Duran’s attempt to assassinate the President. Therefore, we cannot conclude that the admission of testimony regarding the prior conviction represented unfair prejudice to his merits defense resulting from the failure to bifurcate the trial.

b. Testimony of Doctors Evaluating Duran

Duran’s claim that his merits defense was prejudiced by the insanity-related testimony of Doctors Rappeport and Phillips is a more substantial one. The government cross-examined defense witness Rappeport, and examined its own witness Phillips, regarding the substance of their notes from evaluation sessions with Duran. These notes recorded various statements Duran made to the doctors, including his description of himself as a “hateful” “pervert” and an anarchist opposed to government, his desire “to kill people in a way that might horrify others,” and his fantasy about killing President Clinton “by [his] hands, very privately, intimately.” Tr. 3/29/95 at 43-45. Dr. Phillips related a fantasy Duran had described to him, in which Duran removes the First Lady’s heart from her body and eats it in front of the President, then removes and eats the President’s heart. Dr. Phillips also testified that Duran had á narcissistic and antisocial personality disorder, which he described as not a chronic or severe mental disturbance but rather a condition which made Duran “what we would characterize as not a very nice person, as a person who essentially will do things primarily for their own benefit.... [T]he kinds of individuals that we frequently find in courtroom settings because they not infrequently run aground with the law.” Tr. 3/29/95 at 137.

This testimony admittedly bears a surface resemblance to the expert testimony that provided the basis for a remand in Bennett. In this case, however, the testimony at issue was far less likely to have unfairly prejudiced the defendant. This is because the defendant in Bennett denied having committed the physical acts with which he was charged, and the testimony Bennett objected to directly contradicted this defense by recounting his own statements describing how he felt while committing these physical acts. Duran, by contrast, does not deny that he stood in front of the White House and fired repeatedly across the North Lawn. The only contested issue was whether Duran committed these acts with the state and condition of mind required to convict him for the attempted assassination of the President and the other crimes which the defense contested.

In our discussion of the compatibility of the merits and insanity defenses, we noted that each of these defense theories began with the premise that Duran’s state of mind as he fired his weapon was not that of an assassin acting out of hatred for the President and the government, and that each the*1505ory was premised on the further assertion that Duran was afflicted with an abnormal mental condition that accounted for his severely aberrant behavior. The merits defense, summarized for the jury in the first defense closing argument, described Duran’s mental condition as a delusional state which, regardless of whether it could be labeled a severe mental illness, precluded a finding that Duran had the intent to assassinate the President and to assault the four Secret Service officers named in the indictment.6 The insanity defense, summarized in the second defense closing argument, categorized Duran’s mental state as a severe mental illness rendering him incapable of appreciating the wrongfulness of his actions.7

The jury saw and heard extensive evidence about the defendant’s obsession with the government and the President, including the testimony of Duran’s co-workers at the Broadmoor who heard him say he “would kill Clinton if he had the chance,” cards on which he had written such statements as “[t]ime to take our country back,” a picture of the President on which he had drawn an “X” across the President’s forehead, and a road atlas on which he had written, “Kill the Pres!” The jury heard evidence establishing that Duran had traveled from Colorado to Washington, D.C., purchasing weapons, ammunition, and a bulky overcoat along the way, until the day he parked near the White House, stood by the North Gate with the weapons and ammunition concealed under the overcoat, and then fired at a man who looked a lot like the President.

All of this evidence must have strongly pulled the jury toward the same conclusion reached by Doctors Rappeport and Phillips— that Duran’s mental state was dangerously abnormal and that he had an unhealthy and hostile obsession with the President, even before the doctors took the stand. Furthermore, Dr. Rappeport downplayed the significance of Duran’s gruesome fantasy in a way that likely reduced the force of this evidence, and may have mitigated the impact of other damning items of evidence as well. As the government elicited these statements in its cross-examination, Doctor Rappeport twice stressed that what Duran had said about killing the President described “more of a fantasy than a desire.” This expert characterization of Duran’s hostile statements could have led the jury to find that some or all of the other damning statements by the defendant were likewise merely expressions of Duran’s “fantasies.”

There was indeed “gruesome and graphic” testimony presented at Duran’s trial that would not have been presented during the merits phase of a bifurcated trial. We conclude, however, that Duran was not unfairly prejudiced by this testimony because overwhelming independent evidence of Duran’s murderous hostility towards the President would have been presented in the merits phase of a bifurcated trial, and so the incremental impact of this macabre fantasy was minimal.

c. The Trial Judge’s Conduct Toward Defense Experts

The defense also argues that statements made by the court to the insanity experts exacerbated the prejudice caused by the unitary trial by revealing to the jury the court’s bias in favor of the prosecution. *1506Brief of Appellant at 39-40. The defendant stresses that he makes this claim as a sub-part of his argument regarding bifurcation, rather than as an independent claim for relief,8 urging that the judge’s comments, when added to the other allegedly prejudicial factors affecting his trial, tip the balance toward the conclusion that he deserves some remedy for the failure to bifurcate. But the judge’s comments cannot be the last straw in the bifurcation analysis unless they were improper in their own right, so we must begin by asking whether these comments tended to prejudice the defendant by creating an impression of judicial partiality in the minds of the jurors.

Our eases addressing claims of improper judicial questioning have established that a trial judge is not a “mere moderator,” but rather is charged with assisting the inexperienced laypersons who will render a verdict in understanding the nature and import of the often complex and always conflicting evidence presented at trial.9 To this end, the judge may properly make comments and ask questions designed to clarify testimony or to manage the presentation of evidence, but the judge must avoid any appearance of partiality and must avoid becoming, or seeming to become, an advocate for either party.10

Viewed in context, all but two of the nine allegedly improper comments to defense experts appear to us to have been clearly appropriate efforts to manage the presentation of evidence or to clarify issues for the benefit of the jury.11 Two of the judge’s comments were more problematic, in that they tended to veer away from clarification and towards cross-examination. In one instance, after a defense expert testified that twenty studies of schizophrenia supported his conclusions about the defendant, the judge asked the witness whether he had reviewed any studies conducted by the Menninger Foundation, and seemed to press the witness to acknowledge that it would be appropriate to include a Menninger Foundation study in a survey of studies dealing with schizophrenia.12 At the close of the direct examination of the same witness, the judge interposed a series of *1507questions suggesting extreme skepticism on the expert witness’ claim that the word “sputing,” which Duran had used in the course of a Rorschach test and which the witness had described as a made-up word evidencing Duran’s insanity, was indeed not a legitimate word.

Because the defendant failed to object to these two lines of judicial questioning at trial, we determine whether they created unfair prejudice in their own right under the “plain error” standard elaborated in United States v. Olano,13 which directs us to focus on whether the questioning “seriously affect[ed] the fairness, integrity or public reputation of [the] judicial proceeding[ ].”14 We cannot conclude that these two sets of questions so affected this proceeding. They consisted of two brief and largely peripheral exchanges with a single witness in the course of a long trial and, though arguably improper, the questions were not so hostile or slanted that they could on their own have convinced the jury that the judge was endorsing the government’s case and disparaging the defendant’s.

The defendant’s claim that the judge’s comments exacerbated the prejudice resulting from the failure to bifurcate is based not only on the judge’s treatment of defense experts, but also on the judge’s allegedly more complimentary treatment of the government’s experts, which the defendant says exacerbated the appearance of judicial partiality towards the government. But the three comments singled out by the defense as creating the appearance of favoritism toward the prosecution do not appear likely to have suggested any such partiality, and we find no merit in the defendant’s contention that the judge’s comments to the defense and government experts, taken together, sent the message that the judge believed the govem-mentis experts to be more credible.15 Thus the defendant’s argument that the judge’s comments and questions created unfair prejudice is without merit.

After reviewing all of the elements of Duran’s argument that he was unfairly prejudiced by the court’s failure to bifurcate his trial, and after considering the likelihood that these elements could have created unfair prejudice either individually or in their aggregate effect, we find that the trial court’s refusal to bifurcate Duran’s trial did not create unfair prejudice.

B. Application of the Attempted Assassination Statute to Duran’s Actions

18 U.S.C. § 1751(c) provides, in pertinent part: ‘Whoever attempts to kill [the President of the United States] shall be punished by imprisonment for any term of years or for life.” The defense argues that Duran’s conviction under § 1751(c) should be reversed because Duran shot at Dennis Basso, who is not the President. But under the statute and the common law of attempt which it incorporates, the identity of the person at whom Duran fired his assault rifle is irrelevant, given the overwhelming evidence that, in the days and hours before the shooting, he engaged in numerous “substantial steps” towards his objective of assassinating the President.

Although § 1751 does not define “attempt,” we have deemed it to incorporate the common law definition of criminal attempt.16 We have also noted elsewhere that most federal courts adhere to the definition of criminal attempt outlined in the Model Penal Code,17 which establishes that a defendant is *1508guilty of an attempt to commit a crime if, “acting with the kind of culpability otherwise required for commission of the crime,” he “purposely does or omits to do anything that, under the circumstances as he believes them to be, is an act or omission constituting a substantial step in a course of conduct planned to culminate in his commission of the crime.”18

The trial judge here instructed the jury on the “criminal purpose” and “substantial step” components of attempt,19 and the jury heard evidence indicating that Duran had on numerous occasions expressed, both verbally and in writing, a strong desire to kill the President, and that Duran had purchased a rifle, ammunition clips, and an overcoat large enough to conceal the rifle (all of which he would eventually use in firing toward a man on the White House lawn who resembled the President), then traveled to Washington, D.C. and stood by the White House gate with the rifle and ammunition concealed. The jury had ample evidence, then, from which to conclude that Duran purchased weapons, ammunition, and the overcoat, traveled from Colorado Springs to Washington, D.C., and stood in front of the White House for several hours with the weapons and ammunition on his person, with the purpose of assassinating the President. Furthermore, the jury was entitled to find that these acts constituted “substantial steps” taken in pursuit of this objective. See Lam Kwong-Wah, 924 F.2d at 301 (defendants accomplished a “substantial step” towards completing the crime of drug distribution by negotiating with an undercover agent and giving the agent samples of heroin); State v. Smith, 115 Wash.2d 775, 801 P.2d 975, 979-80 (1990) (holding that the State had made a prima facie showing of attempted murder with $100 bills found in defendant’s pocket, a survival-type knife found strapped to defendant’s leg, a pair of handcuffs in another suspect’s possession, guns, knives, and ammunition found in the passenger compartment of the car the defendant was driving, and several more weapons and survival items found in the trunk of the car). See also Model Penal Code § 5.01(2) (1985) (“the following, if strongly corroborative of the actor’s criminal purpose, shall not be held insufficient [to prove the completion of a ‘substantial step’] as a matter of law: ... lying in wait, searching for or following the contemplated victim of the crime ... reconnoitering the place contemplated for the commission of the crime ... possession ... of materials to be employed in the commission of the crime, at or near the place contemplated for its commission, if such possession, collection or fabrication serves no lawful purpose of the actor under the circumstances.”).

Because the jury had ample evidence from which to conclude that Duran had already completed the crime of attempted assassination of the President before he began firing towards Dennis Basso, we need not decide whether the evidence would have been sufficient to support the conviction had the government been unable to prove that Duran had already taken such “substantial steps” before he began firing. It remains significant that the man Duran eventually fired at resembled President Clinton, because this fact reflected back on Duran’s actions prior to the shooting, helping to show that he bought the weapons, ammunition, and overcoat, and brought himself and these items to the sidewalk in front of the North Lawn of the White House, with the purpose of nearing his objective of taking the President’s life. The fact that Duran was mistaken in thinking that the man he fired at was the President could not erase the multitude of “substantial steps” that he had already completed, and therefore we hold that the jury *1509was presented with sufficient evidence to support its conclusion that Duran violated § 1751 by attempting to assassinate the President of the United States.

C. Sufficiency of the Evidence Supporting Duran’s Convictions for Assaulting Federal Officers

Four Secret Service Officers stationed on the North Lawn took cover, and attempted to approach and subdue Duran, while he was firing across the lawn. On that basis, the government charged Duran with four counts of violating 18 U.S.C. § 111. The jury convicted him on all four counts, and he was sentenced to ten years’ imprisonment on each. Section 111 reads, in pertinent part:

Whoever ... forcibly assaults, resists, opposes, impedes, intimidates, or interferes with any person designated in section 1114 of this title while engaged in or on account of the performance of official duties ... shall, where the acts in violation of this section constitute only simple assault, be fined under this title or imprisoned not more than one year, or both, and in all other eases, be fined under this title or imprisoned not more than three years, or both.... Whoever, in the commission of any acts described [above], uses a deadly or dangerous weapon or inflicts bodily injury, shall be fined under this title or imprisoned not more than ten years, or both.

Persons designated in 18 U.S.C. § 1114 include “any officer or employee of the Secret Service.”

The Model Penal Code’s definition of Assault includes the following language:

“a person is guilty of [simple] assault if he: (a) attempts to cause or purposely, knowingly or recklessly causes bodily injury to another; or (b) negligently causes bodily injury to another with a deadly weapon; or (c) attempts by physical menace to put another in fear of imminent serious bodily injury_a person is guilty of aggravated assault if he: (a) attempts to cause serious bodily injury to another, or causes such injury purposely, knowingly or recklessly under circumstances manifesting extreme indifference to the value of human life; or (b) attempts to cause or purposely or knowingly causes bodily injury to another with a deadly weapon.”20

The defendant contends that the jury was not presented with sufficient evidence from which it could have concluded beyond a reasonable doubt that Duran saw or aimed at any of these four Secret Service officers as he was firing. We agree. There was no evidence that Duran actually saw Officers Persons, Coffey, or Wilson, and only scant evidence that he saw Officer Tejeda.21 The evidence thus did not permit the jury to conclude beyond a reasonable doubt that Duran “attempted to cause ... bodily injury to” any of these officers, because an attempt requires that the defendant have acted with the purpose of completing the attempted crime, and Duran cannot be said to have had the purpose of injuring four complete strangers when there was no evidence that he aimed at them, or even saw them, while he was firing. And although his act of firing twenty-nine bullets across the North Lawn certainly evinced a reckless state of mind with regard to anyone present on the North Lawn, Duran did not “recklessly cause[] bodily injury” to any of the four Secret Service officers, because none of these officers was actually injured.

The jury did, however, have sufficient evidence from which to conclude that Duran fired his last several shots across the North Lawn, as he was running east along the fence, with the purpose of putting the Secret Service officers on the North Lawn in fear of imminent serious bodily injury. More particularly, the jury could reasonably have concluded that Duran’s purpose in firing a bar*1510rage of bullets as he ran along the fence was tó fend off Secret Service agents he knew or had every reason to believe would be present somewhere on the North Lawn, in order to prevent them from apprehending him before he had a chance to reload his weapon.

Ample evidence was presented at trial to demonstrate that Duran was aware that Secret Service agents would be present on the grounds of the White House, and that these agents would quickly respond to shots fired in the direction of the Presidential residence. In fact, Duran seemed resigned to the fact that he would be killed in the course of his attack. Just before leaving for Washington, Duran told co-worker David Millis that Millis probably would never see him again, because Duran “figured he was going to be shot and killed.” Tr. 3/21/95 at 18. Just after the shooting, as the officers wrested Duran’s weapon from him, Duran told them: “I wish you would have shot me.” Tr. 3/22/95 at 161. The officers found a folded piece of paper in Duran’s wallet on the outside of which Duran had written “‘Hey!’ Secret Service.” Ap-pellee Appendix (“App.”) Volume B, Tab 1, Gov. Exh. 155A-2. Inside, the note included Duran’s address and this request: “Please send my truck to my wife and son.” App. Volume B, Tab 1, Gov. Exh. 155A-1. Searching his truck after Duran was arrested, law enforcement agents found a handwritten document with the heading: “Last will and words.” Tr. 3/22/95 at 9.

The jury also was given evidence showing that, between the time Duran stopped shooting and his apprehension by civilian Harry Rakowsky, he was trying to reload his weapon. The jury heard that Duran had purchased a very large amount of ammunition, including extra thirty-round clips that he carried in his overcoat, and that he fired about thirty rounds from one such clip before he stopped shooting. Officer Persons testified, as he watched the videotape being replayed in the courtroom, that Duran was “reaching for his pocket” just after firing these shots. Tr. 3/22/95 at 143. Another witness testified that just before tackling Duran, he saw him look down at his weapon, and move his hand toward it. This witness concluded that Duran “was probably either trying to reload the weapon or unjam it.” Tr. 3/22/95 at 213-14. Officer Tejeda testified that, after the shooting, he saw Duran “holding some dark weapon, a dark rifle”; Tejeda described Duran’s actions thus: “He — I guess he was trying to reload, because he had stopped shoot-ing_” Tr. 3/23/95 at 83-84. All of this testimony provided a solid basis for the conclusion that Duran was trying to reload his weapon just after he stopped firing, which supports the inference that he fired the last several shots with the purpose of fending off Secret Service officers whom he expected would otherwise be close enough to apprehend him before he finished reloading his weapon.

The conclusion that Duran fired while running east along the fence with the purpose of putting Secret Service agents stationed on the North Lawn in fear of imminent serious bodily injury squares with the overall militaristic character of his attack. Duran, who had served in the military, arrived at the White House well-equipped with weapons and a large quantity of ammunition. Until he began running, his firing had been deliberate and focused, peppering the ground and trees around a small group of men. It would have been odd for Duran subsequently to begin firing haphazardly for no purpose at all, and the jury was entitled to reject Duran’s claim that he was firing at an “evil mist.” The testimony of three separate witnesses, one of whom was close enough to tackle Duran immediately after making his observation, supports the conclusion that Duran was trying, just after he fired these last several shots, to reload his weapon. Therefore, the conclusion that Duran fired his last several shots with the purpose of making the Secret Service officers present on the North Lawn fear that they would be struck by one of these shots, and thus that he assaulted the officers by “attempt[ing] by physical menace to put [the officers] in fear of imminent serious bodily injury,” was well supported by the evidence.

Finally, although this issue was not raised by the parties, we recognize the need to provide some explanation not only for the facial applicability of § 111 to Duran’s actions, but also for the application of that portion of the statute describing the crime *1511for which a ten-year sentence is appropriate. Duran received ten-year sentences for each of his four § 111 convictions, and the statute caps the sentence at one year in prison when the acts in violation of the statute constitute “only simple assault.” The Model Penal Code includes the form of assault involving an “attempt[] by physical menace to put another in fear of imminent serious bodily injury” within the category of “simple assault,” and this is the only variety of assault of which the jury could have found Duran guilty beyond a reasonable doubt, based on the evidence presented at trial. Despite its language limiting the sentence for “simple assault” violations to one year, however, § 111 authorizes courts to impose ten-year sentences on defendants who “use[ ] a deadly or dangerous weapon” in the course of “assault[ing], resisting], oppos[ing], imped[ing], intrmidat[ing], or interfer[ing] with” federal officers. Under the Model Penal Code, by contrast, the use of a deadly weapon can ratchet the offense up from “simple assault” to “aggravated assault” only if the defendant used the weapon to “attempt[] to cause or purposely or knowingly eause[ ] bodily injury to another,” and according to the assault theory applicable to Duran’s actions, he used the weapon with the purpose of creating the apprehension of bodily injury, but not with the purpose of actually causing bodily injury. That is, Duran was indifferent as to whether his scattered shots actually hit any of the officers, because his sole purpose was to keep them far enough away from himself that he would have time to reload. Thus, § 111 seems both to authorize the imposition of a ten-year sentence on Duran, by its reference to the use of a deadly or dangerous weapon, and to prohibit the imposition of this sentence in this ease, by its one-year cap for violations that constitute “only simple assault.”

We resolve this ambiguity by reference to another passage from the statute, which we believe demonstrates a legislative intent to diverge from the common-law definition in regard to the significance of the use of a deadly or dangerous weapon in setting the level of the assault. Specifically, the statute provides for a ten-year sentence for defendants who “use[] a deadly or dangerous weapon or infliet[] bodily injuiy” in the course of assaulting, resisting, opposing, impeding, intimidating, or interfering with a federal officer (emphasis added). The disjunctive language in this passage indicates the legislature’s intent to make the use of a deadly or dangerous weapon sufficient, even for defendants who were not attempting to cause, and who did not purposely or knowingly cause, bodily injury, to boost the crime above the level of “simple assault.” Accordingly, we find that the act of using a deadly weapon with the purpose of causing Secret Service agents to fear imminent serious bodily injuiy constituted a crime punishable by ten years’ imprisonment under § 111.

III. Conclusion

The trial judge exercised reasonable discretion in denying Duran’s motion to bifurcate the trial, and the failure to bifurcate the trial did not prejudice the defendant’s merits or insanity defenses. The attempted assassination statute, 18 U.S.C. § 1751, was properly applied to Duran, and the jury had sufficient evidence to find him guilty, under 18 U.S.C. § 111, of assaulting the four Secret Service agents stationed on the North Lawn. Accordingly, the defendant’s convictions are

Affirmed.

7.1.20 Notes and Questions - State v. Reeves, U.S. v. Duran 7.1.20 Notes and Questions - State v. Reeves, U.S. v. Duran

  1. United States v. Jackson, 560 F.2d 112 (2d Cir. 1977):

“The draftsmen of the Model Penal Code recognized the difficulty of arriving at a general standard for distinguishing acts of preparation from acts constituting an attempt. * * * The problem then was to devise a standard more inclusive than one requiring the last proximate act before attempt liability would attach, but less inclusive than one which would make every act done with the intent to commit a crime criminal. * * *

The formulation upon which the draftsmen ultimately agreed required, in addition to criminal purpose, that an act be a substantial step in a course of conduct designed to accomplish a criminal result, and that it be strongly corroborative of criminal purpose in order for it to constitute such a substantial step. The following differences between this test and previous approaches to the preparation-attempt problem were noted:

First, this formulation shifts the emphasis from what remains to be done—the chief concern of the proximity tests—to what the actor has already done. The fact that further major steps must be taken before the crime can be completed does not preclude a finding that the steps already undertaken are substantial. It is expected, in the normal case, that this approach will broaden the scope of attempt liability.

Second, although it is intended that the requirement of a substantial step will result in the imposition of attempt liability only in those instances in which some firmness of criminal purpose is shown, no finding is required as to whether the actor would probably have desisted prior to completing the crime. * * *

Finally, the requirement of proving a substantial step generally will prove less of a hurdle for the prosecution than the res ipsa loquitur approach, which requires that the actor’s conduct must itself manifest the criminal purpose. The difference will be illustrated in connection with the present section’s requirement of corroboration. Here it should be noted that, in the present formulation, the two purposes to be served by the res ipsa loquitur test are, to a large extent, treated separately. Firmness of criminal purpose is intended to be shown by requiring a substantial step, while problems of proof are dealt with by the requirement of corroboration (although, under the reasoning previously expressed, the latter will also tend to establish firmness of purpose).

Model Penal Code § 5.01, Comment at 47 (Tent. Draft No. 10, 1960).

The draftsmen concluded that, in addition to assuring firmness of criminal design, the requirement of a substantial step would preclude attempt liability, with its accompanying harsh penalties, for relatively remote preparatory acts. At the same time, however, by not requiring a “last proximate act” or one of its various analogues it would permit the apprehension of dangerous persons at an earlier stage than the other approaches without immunizing them from attempt liability.”

  1. Model Penal Code § 5.01(2), further develops what constitutes a “substantial step” under subsection 1(c), which applies in cases where the attempt is incomplete. In order for the trial judge to require that the jury be instructed pursuant to subsection 1(c), the prosecutor must demonstrate that conduct enumerated in subsection 2 has been performed. 

  2. Consider the another excerpt from Michael Fishman’s Defining Attempts: Mandujano’s Error:

“The substantial step test's most significant feature was its expansion of attempt liability beyond the common law's standards. Many of the examples of conduct listed by the MPC as sufficient to prove a substantial step include conduct that would have been insufficient at common law. * * * 

The MPC's Commentaries acknowledged that the substantial step formulation would broaden attempt liability beyond the scope of common-law attempt doctrines. This broader definition was included in the MPC itself to facilitate the ‘apprehension of [certain] dangerous persons’ and allow law enforcement to intervene earlier to reduce the risk of harm caused by the criminal conduct ‘without providing [the] immunity’ from prosecution that the offender would enjoy under common-law approaches.”

  1. Test your comprehension with the following three cases: 

    1. People v. Parrish, 87 Cal. App. 2d 853, 197 P.2d 804 (1948):

Defendant (Parrish) planned to kill his wife with a rifle he already owned, so that he could inherit her property and cease paying alimony. He told an accomplice (Mr. Thomas) about his plan, hoping he would accompany Defendant to Mrs. Parrish’s house under the pretext of being interested in buying land in the area. Mr. Thomas told Mrs. Parrish about the plan to murder her, and she subsequently called the police. Mr. Thomas and Defendant met as planned and proceeded to Mrs. Parrish’s home. Defendant carried gloves and the rifle and walked up to the house, where he and Mr. Thomas listened to see how many people were currently in the house. They then returned to their parked car where Defendant told Mr. Thomas to go into the house and choke Mrs. Parrish. Defendant proceeded to explain that once Mr. Thomas completed that, he could leave and Defendant would come in. After Mr. Thomas left, the police arrived and arrested Mr. Parrish, noting the rifle in the rear of the car. 

Defendant was convicted of attempted murder

    1. People v. Ibarra, No. D074167, 2019 WL 2588786 (Cal. Ct. App. June 25, 2019):

Ibarra was a detention officer at Imperial Regional Detention Facility, employed by Management and Training Corporation. He reported an ankle injury to his supervisor, who requested he write a memo detailing the incident. In the memo, Ibarra wrote that the incident happened January 24 between 1 a.m. and 2 a.m. This information was reported to an insurance company in connection with a worker’s compensation claim, which was denied. On appeal, Ibarra took a deposition under oath where he was asked what time the incident occurred. He responded that it happened between 3 a.m. and 4 a.m. He further reported that he had not previously indicated that it happened between 1 a.m. and 2 a.m.

Ibarra was convicted of insurance fraud and attempted perjury. 

    1. People v. Van Buskirk, 113 Cal. App. 2d 789, 249 P.2d 49 (1952):

Defendant Van Buskirk went to his brother-in-law’s (Brown) home armed with a gun. Shortly after his arrival, his wife and their child arrived with Brown and his family. Defendant approached the front of the car and said that he “came out to settle it all” and that he was going to kill them all. Brown escorted the women and children into the house and when he returned outside, Defendant said that Brown “could beat the hell out of him, but [defendant] had a gun and it was loaded.” Defendant then pulled the gun out, aimed it above Brown’s head and fired. Brown continued to try to Defendant down. Defendant said that he knew the police were coming and that everyone would be dead before the police arrived. The sheriff’s car then turned into the property, and Defendant pulled the trigger again, but the gun failed to fire. 

Defendant was convicted of attempted murder. 

For each of the fact patterns above, answer the following questions: 

 

  1. What is the requisite mens rea?

  2. At which point in the series of acts does the defendant cross the line of attempt?

  3. Which of the Model Penal Code tests for attempt is utilized here? 

  4. Would utilizing a different test change the outcome of the case? If yes, which test and how?

7.1.21 United States v. Oviedo 7.1.21 United States v. Oviedo

UNITED STATES of America, Plaintiff-Appellee, v. Martin Molina OVIEDO, Jr., Defendant-Appellant.

No. 75-1899.

United States Court of Appeals, Fifth Circuit.

Jan. 12, 1976.

*882Alan Brown, San Antonio, Tex., for defendant-appellant.

John E. Clark, U. S. Atty., Joel D. Conant, Ray Jahn, Asst. U. S. Attys., San Antonio, Tex., for plaintiff-appellee.

Before GODBOLD, DYER and MORGAN, Circuit Judges.

DYER, Circuit Judge.

Oviedo appeals from a judgment of conviction for the attempted distribution of heroin, in violation of 21 U.S.C.A. § 846.1 Oviedo contends that under the facts of this case, he is not guilty of any criminal offense. We agree and reverse.

Oviedo was contacted by an undercover agent, who desired to purchase narcotics. Arrangements were made for the sale of one pound of heroin. The agent met Oviedo at the appointed time and place. Oviedo transferred the substance to the agent, and asked for his money in return. However, the agent informed Oviedo that he would first have to test the substance. A field test was performed with a positive result. Oviedo was placed under arrest.

Subsequent to the arrest, a search warrant was issued for Oviedo’s residence. When the search was executed, two pounds of a similar substance was found hidden in a television set. Up to this point, the case appeared unexceptional.

A chemical analysis was performed upon the substances seized, revealing that the substances were not in fact heroin, but rather procaine hydrochloride, an uncontrolled substance.2 Since any attempt to prosecute for distribution of heroin would have been futile, the defendant was charged with an attempt to distribute heroin.

At trial, Oviedo took the stand and stated that he knew the substance was not heroin, and that he, upon suggestion of his cohorts, was merely attempting to “rip off” the agent. It was, in his view, an easy way to pocket a few thousand dollars.

The court instructed the jury that they could find Oviedo guilty of attempted distribution if he delivered the substance thinking it to be heroin.3 The jury rejected Oviedo’s claimed knowledge of the true nature of the substance, and returned a verdict of guilty. Although Oviedo argues on appeal that there was insufficient evidence to establish that he thought the substance was heroin, this contention is without merit.4 *883We thus take as fact Oviedo’s belief that the substance was heroin.

The facts before us are therefore simple — Oviedo sold a substance he thought to be heroin, which in reality was an uncontrolled substance. The legal question before us is likewise simple — -are these combined acts and intent cognizable as a criminal attempt under 21 U.S.C.A. § 846. The answer, however, is not so simple.

Oviedo and the government both agree the resolution of this case rests in an analysis of the doctrines of legal and factual impossibility as defenses to a criminal attempt. Legal impossibility occurs when the actions which the defendant performs or sets in motion, even if fully carried out as he desires, would not constitute a crime. U. S. v. Conway, 5 Cir. 1975, 507 F.2d 1047. Factual impossibility occurs when the objective of the defendant is proscribed by the criminal law but a circumstance unknown to the actor prevents him from bringing about that objective. Id. at 1050. The traditional analysis recognizes legal impossibility as a valid defense, but refuses to so recognize factual impossibility. U. S. v. Berrigan, 3 Cir. 1973, 482 F.2d 171.

These definitions are not particularly helpful here, for they do nothing more than provide a different focus for the analysis. In one sense, the impossibility involved here might be deemed legal, for those acts which Oviedo set in motion, the transfer of the substance in his possession, were not a crime. In another sense, the impossibility is factual, for the objective of Oviedo, the sale of heroin, was proscribed by law, and failed only because of a circumstance unknown to Oviedo.5

Although this issue has been the subject of numerous legal commentaries,6 federal cases reaching this question are few, and no consensus can be found.7 United States v. Berrigan, 3 Cir. 1973, 482 F.2d 171; United States v. Heng Awkak Roman, S.D.N.Y.1973, 356 F.Supp. 434, aff’d 2 Cir. 1973, 484 F.2d 1271; Rosado v. Martinez, D.P.R., 1974, 369 F.Supp. 477; United States v. Hair, D.C.1973, 356 F.Supp. 339; see also United States v. Marin, 2 Cir. 1975, 513 F.2d 974.

In Roman, the defendants were transporting a suitcase containing heroin. *884Through the aid of an informer and unknown to the defendants, the contents of the suitcase were replaced with soap powder. The defendants were arrested when they attempted to sell the contents of the suitcase, and were subsequently charged with attempted possession with intent to distribute. The court rejected defendants’ contention that they could not be charged with attempted possession, since it was impossible for them to possess heroin. Recognizing the difficulty in distinguishing between legal and factual impossibility, the court never so categorized the case. Nevertheless, the court concluded that since the objective of the defendants was criminal, impossibility would not be recognized as a defense.

The defendants in Berrigan were charged with attempting to violate 18 U.S.C.A. § 1791, prohibiting the smuggling of objects into or out of a federal correctional institution. Since the evidence established that the warden had knowledge of the smuggling plan, and since lack of knowledge was a necessary element of the offense, the defendants could not be found guilty of violating the statute. The court held that such knowledge by .the warden would also preclude conviction for the attempt, since “attempting to do that which is not a crime is not attempting to commit a crime.” Berrigan, at 190.

The Berrigan court rested its determination on a strict view of legal impossibility. According to the court, such impossibility exists when there is an intention to perform a physical act, the intended physical act is performed, but the consequence resulting from the intended act does not amount to a crime. In this analysis, the intent to perform a physical act is to be distinguished from the motive, desire or expectation to violate the law.8

The application of the principles underlying these cases leads to no clearer result than the application of our previous definitions of legal and factual impossibility. Applying Roman, we would not concern ourselves with any theoretical distinction between legal and factual impossibility, but would affirm the conviction, since the objective of Oviedo was criminal. Applying Berrigan, we would look solely to the physical act which Oviedo “intended”, the transfer of the procaine in his possession, and we would conclude that since the transfer of procaine is not criminal, no offense is stated. The choice is between punishing criminal intent without regard to objective acts, and punishing objective acts, regarding intent as immaterial.

In our view, both Roman and Berrigan miss the mark, but in opposite directions. A strict application of the Berrigan approach would eliminate any distinction between factual and legal impossibility, and such impossibility would always be a valid defense, since the “intended” physical acts are never criminal.9 The Roman approach turns the attempt statute into a new substantive criminal statute where the critical element to be proved is mens rea simpliciter. It would allow us to punish one’s thoughts, desires,..or motives, through indirect evidence, without reference to any objective fact. See Berrigan, supra at 189, fn. 39. The danger is evident.

We reject the notion of Roman, adopted by the district court, that the conviction in the present case can be sustained since there is sufficient proof of intent, not because of any doubt as to the sufficiency of the evidence in that regard, but because of the inherent dangers such a precedent would pose in the future.

When the question before the court is whether certain conduct consti*885tutes mere preparation which is not punishable, or an attempt which is, the possibility of error is mitigated by the requirement that the objective acts of the defendant evidence commitment to the criminal venture and corroborate the mens rea. United States v. Mandujano, 5 Cir. 1974, 499 F.2d 370. To the extent that this requirement is preserved it prevents the conviction of persons engaged in innocent acts on the basis of a mens rea proved through speculative inferences, unreliable forms of testimony, and past criminal conduct.

Courts could have approached the preparation — attempt determination in another fashion, eliminating any notion' of particular objective facts, and simply could have asked whether the evidence at hand was sufficient to prove the necessary intent. But this approach has been rejected for precisely the reasons set out above, for conviction upon proof of mere intent provides too great a possibility of speculation and abuse.

In urging us to follow Roman, which found determinative the criminal intent of the defendants, the government at least implicitly argues that we should reject any requirement demanding the same objective evidentiary facts required in the preparation — attempt determination. We refuse to follow that suggestion.

When the defendant sells a substance which is actually heroin, it is reasonable to infer that he knew the physical nature of the substance, and to place on him the burden of dispelling that inference. United States v. Moser, 7 Cir. 1975, 509 F.2d 1089, 1092; United States v. Joly, 2 Cir. 1974, 493 F.2d 672, 676.10 However, if we convict the defendant of attempting to sell heroin for the sale of a non-narcotic substance, we eliminate an objective element that has major evidentiary significance and we increase the risk of mistaken conclusions that the defendant believed the goods were narcotics.11

Thus, we demand that in order for a defendant to be guilty of a criminal attempt, the objective acts performed, without any reliance on the accompanying mens rea, mark the defendant’s conduct as criminal in nature. The acts should be unique rather than so commonplace that they are engaged in by persons not in violation of the law.

Here we have only two objective facts. First, Oviedo told the agent that the substance he was selling was heroin, and second, portions of the substance were concealed in a television set. If another objective fact were present, if the substance were heroin, we would have a strong objective basis for the determination of criminal intent and conduct consistent and supportative of that intent. The test set out above would be met, and, absent a delivery, the criminal attempt would be established. But when this objective basis for the determination of intent is removed, when the substance is not heroin, the conduct becomes ambivalent, and we are left with a sufficiency-of-the-evidence determination of in*886tent rejected in the preparation — attempt dichotomy. We cannot conclude that the objective acts of Oviedo apart from any indirect evidence of intent mark his conduct as criminal in nature. Rather, those acts are consistent with a noncriminal enterprise. Therefore, we will not allow the jury’s determination of Oviedo’s intent to form the sole basis of a criminal offense.

The government also argues that United States v. Mandujano, supra, although involving a preparation — attempt determination, compels a contrary result. In Mandujano, the defendant negotiated a sale of heroin with an undercover agent. After taking the agent’s money, the defendant set about to find his source. He was unsuccessful, and returned a few hours later with the money and without the heroin. We found the evidence sufficient to take the case beyond preparation, and to support his conviction for attempted distribution.

In making that determination, we recognized that in order to be guilty of an attempt, the objective conduct of the defendant must strongly corroborate the firmness of the defendant’s criminal intent. Id. at 376. The objective acts must not be equivocal in nature. In that case, we had as objective facts defendant’s act of taking money and his personal statements that he would purchase heroin with that money. Importantly, there were no objective facts which made these acts equivocal.

The situation in Mandujano is distinguishable from that now before us. Just as it is reasonable to infer a person’s knowledge and criminal intent from the possession of a substance which is in fact narcotics, United States v. Moser, supra; United States v. Joly, supra, it is also reasonable to infer that same knowledge and intent from an individual’s statements of future intention. Mutual Life Ins. Co. v. Hillmon, 1892, 145 U.S. 285, 12 S.Ct. 909, 36 L.Ed. 706; Shurman v. United States, 5 Cir. 1955, 219 F.2d 282, 290, fn. 9; United States v. Hoffa, 6 Cir. 1965, 349 F.2d 20, 45; United States v. Annunziato, 2 Cir. 1961, 293 F.2d 373, 377. However, just as it is impossible to infer that intent when the substance possessed is not in fact narcotics, it is also impossible to infer that intent when objective facts indicate that the person did not carry out his self-proclaimed intention.

Thus, when Mandujano stated that he would purchase heroin, we could infer that he intended to purchase heroin since there were no objective facts to the contrary. But here, Oviedo stated he would sell heroin and then sold procaine. Based on these objective facts, we cannot infer that he intended to do that which he said he was going to do, because he in fact did something else.

Reversed.

7.1.22 People v. Thousand 7.1.22 People v. Thousand

PEOPLE v THOUSAND

Docket No. 116967.

Argued March 7, 2001 (Calendar No. 9).

Decided July 27, 2001.

Rehearing denied post, 1204.

*151Jennifer M. Granholm, Attorney General, Thomas L. Casey, Solicitor General, Michael E. Duggan, Prosecuting Attorney, and Timothy A. Baughman, Chief, Research, Training and Appeals, for the people.

David E. Fregolle for the defendant-appellee.

Young, J.

We granted leave in this case to consider whether the doctrine of “impossibility” provides a defense to a charge of attempt to commit an offense prohibited by law under MCL 750.92, or to a charge of solicitation to commit a felony under MCL 750.157b. The circuit court granted defendant’s motion to quash and dismissed all charges against him on the basis *152that it was legally impossible for him to have committed any of the charged crimes. We conclude that the concept of impossibility, which this Court has never adopted as a defense, is not relevant to a determination whether a defendant has committed attempt under MCL 750.92, and that the circuit court therefore erred in dismissing the charge of attempted distribution of obscene material to a minor on the basis of the doctrine of legal impossibility. We additionally conclude that, although the Court of Appeals erred to the extent that it relied upon the concept of “impossibility” in dismissing the charge of solicitation of third-degree criminal sexual conduct, the charge was nevertheless properly dismissed because there is no evidence that defendant solicited any person to “commit a felony” or to “do or omit to do an act which if completed would constitute a felony” as proscribed by MCL 750.157b. Accordingly, we reverse in part and affirm in part the decision of the Court of Appeals and remand this matter to the circuit court for proceedings consistent with this opinion.

I. FACTUAL1 AND PROCEDURAL BACKGROUND

Deputy William Liczbinski was assigned by the Wayne County Sheriffs Department to conduct an undercover investigation for the department’s Internet Crimes Bureau. Liczbinski was instructed to pose as a minor and log onto “chat rooms” on the Internet for *153the purpose of identifying persons using the Internet as a means for engaging in criminal activity.

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

From December 9 through 16, 1998, Liczbinski, still using the screen name “Bekka,” engaged in chat room conversation with defendant. During these exchanges, the conversation became sexually explicit. Defendant made repeated lewd invitations to Bekka to engage in various sexual acts, despite various indications of her young age.2

During one of his online conversations with Bekka, after asking her whether anyone was “around there,” watching her, defendant indicated that he was sending her a picture of himself. Within seconds, Liczbinski received over the Internet a photograph of male genitalia. Defendant asked Bekka whether she liked and wanted it and whether she was getting “hot” yet, *154and described in a graphic manner the type of sexual acts he wished to perform with her. Defendant invited Bekka to come see him at his house for the purpose of engaging in sexual activity. Bekka replied that she wanted to do so, and defendant cautioned her that they had to be careful, because he could “go to jail.” Defendant asked whether Bekka looked “over sixteen,” so that if his roommates were home he could lie.

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

On Thursday, December 17, 1998, Liczbinski and other deputy sheriffs were present at the specified McDonald’s restaurant when they saw defendant inside a vehicle matching the description given to Bekka by defendant. Defendant, who was wearing a brown suede jacket and black pants, got out of the vehicle and entered the restaurant. Liczbinski recognized defendant’s face from the photograph that had been sent to Bekka. Defendant looked around for approximately thirty seconds before leaving the restaurant. Defendant was then taken into custody. Two white teddy bears were recovered from defendant’s vehicle. Defendant’s computer was subsequently seized from his home. A search of the hard drive *155revealed electronic logs of Internet conversations matching those printed out by Liczbinski from the Wayne County-owned computer he had used in his Internet conversations with defendant.

Following a preliminary examination, defendant was bound over for trial on charges of solicitation to commit third-degree criminal sexual conduct, MCL 750.157b(3)(a) and 750.520d(l)(a), attempted distribution of obscene material to a minor, MCL 750.92 and 722.675, and child sexually abusive activity, MCL 750.145c(2).3

Defendant brought a motion to quash the information, arguing that, because the existence of a child victim was an element of each of the charged offenses, the evidence was legally insufficient to support the charges. The circuit court agreed and dismissed the case, holding that it was legally impossible for defendant to have committed the charged offenses. The Court of Appeals affirmed the dismissal of the charges of solicitation and attempted distribution of obscene material to a minor, but reversed the dismissal of the charge of child sexually abusive activity.4 241 Mich App 102 (2000).

*156We granted the prosecution’s application for leave to appeal.5 463 Mich 907 (2000).

H. STANDARD OF REVIEW

We must determine in this case whether the circuit court and the Court of Appeals properly applied the doctrine of “legal impossibility” in concluding that the charges against defendant of attempt and solicitation must be dismissed. The applicability of a legal doctrine is a question of law that is reviewed de novo. James v Alberts, 464 Mich 12, 14; 626 NW2d 158 (2001). Similarly, the issue whether “impossibility” is a cognizable defense under Michigan’s attempt and solicitation statutes presents questions of statutory construction, which we review de novo. People v Clark, 463 Mich 459, 463, n 9; 619 NW2d 538 (2000); People v Morey, 461 Mich 325, 329; 603 NW2d 250 (1999).

m. ANALYSIS

A. THE “IMPOSSIBILITY” DOCTRINE

The doctrine of “impossibility” as it has been discussed in the context of inchoate crimes represents the conceptual dilemma that arises when, because of the defendant’s mistake of fact or law, his actions could not possibly have resulted in the commission of the substantive crime underlying an attempt charge. Classic illustrations of the concept of impossibility *157include: (1) the defendant is prosecuted for attempted larceny after he tries to “pick” the victim’s empty pocket6; (2) the defendant is prosecuted for attempted rape after he tries to have nonconsensual intercourse, but is unsuccessful because he is impotent7; (3) the defendant is prosecuted for attempting to receive stolen property where the property he received was not, in fact, stolen8; and (4) the defendant is prosecuted for attempting to hunt deer out of season after he shoots at a stuffed decoy deer.9 In each of these examples, despite evidence of the defendant’s criminal intent, he cannot be prosecuted for the completed offense of larceny, rape, receiving stolen property, or hunting deer out of season, because proof of at least one element of each offense cannot be derived from his objective actions. The question, then, becomes whether the defendant can be prosecuted for the attempted offense, and the answer is dependent upon whether he may raise the defense of “impossibility.”

Courts and legal scholars have drawn a distinction between two categories of impossibility: “factual impossibility” and “legal impossibility.” It has been said that, at common law, legal impossibility is a defense to a charge of attempt, but factual impossibility is not. See American Law Institute, Model Penal Code and Commentaries (1985), comment to § 5.01, pp 307-317; Perkins & Boyce, Criminal Law (3d ed), *158p 632; Dressier, Understanding Criminal Law (1st ed), § 27.07[B], p 349. However, courts and scholars alike have struggled unsuccessfully over the years to articulate an accurate rule for distinguishing between the categories of “impossibility.”

“Factual impossibility,” which has apparently never been recognized in any American jurisdiction as a defense to a charge of attempt,10 “exists when [the defendant’s] intended end constitutes a crime but she fails to consummate it because of a factual circumstance unknown to her or beyond her control.” Dressier, supra, § 27.07[C][1], p 350. An example of a “factual impossibility” scenario is where the defendant is prosecuted for attempted minder after pointing an unloaded gun at someone and pulling the trigger, where the defendant believed the gun was loaded.11

The category of “legal impossibility” is further divided into two subcategories: “pure” legal impossibility and “hybrid” legal impossibility. Although it is generally undisputed that “pure” legal impossibility will bar an attempt conviction, the concept of “hybrid legal impossibility” has proven problematic. As Professor Dressier points out, the failure of courts to distinguish between “pure” and “hybrid” legal impossibility has created confusion in this area of the law. Dressier, supra, § 27.07[D][1], p 351.

“Pure legal impossibility exists if the criminal law does not prohibit D’s conduct or the result that she has sought to achieve.” Id., § 27.07[D][2], p 352 *159(emphasis in original). In other words, the concept of pure legal impossibility applies when an actor engages in conduct that he believes is criminal, but is not actually prohibited by law: “There can be no conviction of criminal attempt based upon d’s erroneous notion that he was committing a crime.” Perkins & Boyce, supra, p 634. As an example, consider the case of a man who believes that the legal age of consent is sixteen years old, and who believes that a girl with whom he had consensual sexual intercourse is fifteen years old. If the law actually fixed the age of consent at fifteen, this man would not be guilty of attempted statutory rape, despite his mistaken belief that the law prohibited his conduct. See Dressier, supra, § 27.07[D][2], pp 352-353, n 25.

When courts speak of “legal impossibility,” they are generally referring to what is more accurately described as “hybrid” legal impossibility.

Most claims of legal impossibility are of the hybrid variety. Hybrid legal impossibility exists if d’s goal was illegal, but commission of the offense was impossible due to a factual mistake by her regarding the legal status of some factor relevant to her conduct. This version of impossibility is a “hybrid” because, as the definition implies and as is clarified immediately below, d’s impossibility claim includes both a legal and a factual aspect to it.
Courts have recognized a defense of legal impossibility or have stated that it would exist if D receives unstolen property believing it was stolen; tries to pick the pocket of a stone image of a human; offers a bribe to a “juror” who is not a juror; tries to hunt deer out of season by shooting a stuffed animal; shoots a corpse believing that it is alive; or shoots at a tree stump believing that it is a human.
Notice that each of the mistakes in these cases affected the legal status of some aspect of the defendant’s conduct. The status of property as “stolen” is necessary to commit *160the crime of “receiving stolen property with knowledge it is stolen”—i.e., a person legally is incapable of committing this offense if the property is not stolen. The status of a person as a “juror” is legally necessary to commit the offense of bribing a juror. The status of a victim as a “human being" (rather than as a corpse, tree stump, or statue) legally is necessary to commit the crime of murder or to “take and carry away the personal property of another.” Finally, putting a bullet into a stuffed deer can never constitute the crime of hunting out of season.
On the other hand, in each example of hybrid legal impossibility D was mistaken about a fact: whether property was stolen, whether a person was a juror, whether the victims were human or whether the victim was an animal subject to being hunted out of season. [Dressier, supra, § 27.07[D][3][a], pp 353-354 (emphasis in original).]

As the Court of Appeals panel in this case accurately noted, it is possible to view virtually any example of “hybrid legal impossibility” as an example of “factual impossibility”:

“Ultimately any case of hybrid legal impossibility may reasonably be characterized as factual impossibility. . . . [B]y skillful characterization, one can describe virtually any case of hybrid legal impossibility, which is a common law defense, as an example of factual impossibility, which is not a defense.” [241 Mich App 106 (emphasis in original), quoting Dressier, Understanding Criminal Law (2d ed), § 27.07[D][3][a], pp 374-375.]

See also Weiss, Scope, mistake, and impossibility: The philosophy of language and problems of mens rea, 83 Colum L R 1029, 1029-1030 (1983) (“[because ordinary English cannot adequately distinguish among the various kinds of impossible attempts, courts and commentators have frequently misclassified certain types of cases”); United States v Thomas, 13 CMA 278, 283; 32 CMR 278, 283 (1962) (“[w]hat is abun*161dantly clear ... is that it is most difficult to classify any particular state of facts as positively coming within one of these categories to the exclusion of the other”); State v Moretti, 52 NJ 182, 189; 244 A2d 499 (1968) (“[o]ur examination of [authorities discussing the doctrine of impossibility] convinces us that the application of the defense of impossibility is so fraught with intricacies and artificial distinctions that the defense has little value as an analytical method for reaching substantial justice”).

It is notable that “the great majority of jurisdictions have now recognized that legal and factual impossibility are ‘logically indistinguishable’ . . . and have abolished impossibility as a defense.” United States v Hsu, 155 F3d 189, 199 (CA 3, 1998).12 For example, several states have adopted statutory provisions similar to Model Penal Code, § 5.01(1),13 which provides:

A person is guilty of an attempt to commit a crime if, acting with the kind of culpability otherwise required for commission of the crime, he:
(a) purposely engages in conduct which would constitute the crime if the attendant circumstances were as he believes them to be; or
(b) when causing a particular result is an element of the crime, does or omits to do anything with the purpose of causing or with the belief that it will cause such result without further conduct on his part; or
*162(c) purposely does or omits to do anything which, under the circumstances as he believes them to be, is an act or omission constituting a substantial step in a course of conduct planned to culminate in his commission of the crime.

In other jurisdictions, courts have considered the “impossibility” defense under attempt statutes that did not include language explicitly abolishing the defense. Several of these courts have simply declined to participate in the sterile academic exercise of categorizing a particular set of facts as representing “factual” or “legal” impossibility, and have instead examined solely the words of the applicable attempt statute. See Darnell v State, 92 Nev 680; 558 P2d 624 (1976); Moretti, supra at 189; People v Rojas, 55 Cal 2d 252; 358 P2d 921 (1961).

B. ATTEMPTED DISTRIBUTION OF OBSCENE MATERIAL TO A MINOR

The Court of Appeals panel in this case, after examining Professor Dressler’s exposition of the doctrine of impossibility, concluded that it was legally impossible for defendant to have committed the charged offense of attempted distribution of obscene material to a minor. The panel held that, because “Bekka” was, in fact, an adult, an essential requirement of the underlying substantive offense was not met (dissemination to a minor), and therefore it was legally impossible for defendant to have committed the crime.

We begin by noting that the concept of “impossibility,” in either its “factual” or “legal” variant, has never been recognized by this Court as a valid defense to a charge of attempt. In arguing that impossibility is a judicially recognized defense in Michigan, defendant *163relies heavily on our statement in People v Tinskey, 394 Mich 108; 228 NW2d 782 (1975), that

[i]t is possible, although we need not decide, that defendants could not have been convicted of attempted abortion; at common law the general rule is that while factual impossibility is not a defense (People v Jones, 46 Mich 441; 9 NW 486 [1881])[14], legal impossibility is a defense. LaFave & Scott, Criminal Law, § 62, p 474. [Emphasis supplied.]

As is readily apparent, our statement in Tinskey regarding “legal impossibility” as a defense to an attempt charge is nothing more than obiter dictum. The defendants in Tinskey were not charged with attempt; rather, they were charged with statutory conspiracy. Moreover, we specifically declined in Tinskey to express any opinion regarding the viability of the “impossibility” defense in the context of attempts. No other Michigan Supreme Court case has referenced, much less adopted, the impossibility defense.

Finding no recognition of impossibility in our common law, we turn now to the terms of the statute. MCL 750.92 provides, in relevant part:

Any person who shall attempt to commit an offense prohibited by law, and in such attempt shall do any act towards the commission of such offense, but shall fail in the perpetration, or shall be intercepted or prevented in the execution of the same, when no express provision is made by law for the punishment of such attempt, shall be punished as follows:
*1643. If the offense so attempted to be committed is punishable by imprisonment in the state prison for a term less than 5 years, or imprisonment in the county jail or by fine, the offender convicted of such attempt shall be guilty of a misdemeanor ....

Under our statute, then, an “attempt” consists of (1) an attempt to commit an offense prohibited by law, and (2) any act towards the commission of the intended offense. We have further explained the elements of attempt under our statute as including “an intent to do an act or to bring about certain consequences which would in law amount to a crime[15]; and ... an act in furtherance of that intent which, as it is most commonly put, goes beyond mere preparation.” People v Jones, 443 Mich 88, 100; 504 NW2d 158 (1993), quoting 2 LaFave & Scott, Substantive Criminal Law, § 6.2, p 18.

In determining whether “impossibility,” were we to recognize the doctrine, is a viable defense to a charge of attempt under MCL 750.92, our obligation is to examine the statute in an effort to discern and give effect to the legislative intent that may reasonably be inferred from the text of the statute itself. People v McIntire, 461 Mich 147, 152-153; 599 NW2d 102 (1999). “When a legislature has unambiguously conveyed its intent in a statute, the statute speaks for itself and there is no need for judicial construction; the proper role of a court is simply to apply the terms of the statute to the circumstances in a particular *165case.” Id. at 153 (citation omitted). Accordingly, if our Legislature has indicated its intent to criminalize certain conduct despite the actor’s mistake of fact, this Court does not have the authority to create and apply a substantive defense based upon the concept of “impossibility.” See People v Glass (After Remand), 464 Mich 266; 627 NW2d 261 (2001).

We are unable to discern from the words of the attempt statute any legislative intent that the concept of “impossibility” provide any impediment to charging a defendant with, or convicting him of, an attempted crime, notwithstanding any factual mistake—regarding either the attendant circumstances or the legal status of some factor relevant thereto—that he may harbor. The attempt statute carves out no exception for those who, possessing the requisite criminal intent to commit an offense prohibited by law and taking action toward the commission of that offense, have acted under an extrinsic misconception.

Defendant in this case is not charged with the substantive crime of distributing obscene material to a minor in violation of MCL 722.675.16 It is unquestioned that defendant could not be convicted of that *166crime, because defendant allegedly distributed obscene material not to “a minor,” but to an adult man. Instead, defendant is charged with the distinct offense of attempt, which requires only that the prosecution prove intention to commit an offense prohibited by law, coupled with conduct toward the commission of that offense. The notion that it would be “impossible” for the defendant to have committed the completed offense is simply irrelevant to the analysis. Rather, in deciding guilt on a charge of attempt, the trier of fact must examine the unique circumstances of the particular case and determine whether the prosecution has proven that the defendant possessed the requisite specific intent and that he engaged in some act “towards the commission” of the intended offense.

Because the nonexistence of a minor victim does not give rise to a viable defense to the attempt charge in this case, the circuit court erred in dismissing this charge on the basis of “legal impossibility.”

C. SOLICITATION TO COMMIT THIRD-DEGREE CRIMINAL SEXUAL CONDUCT

1. ANALYSIS

Defendant was additionally charged, on the basis of his Internet conversations with “Bekka,” with solicita*167tion to commit third-degree criminal sexual conduct. Defendant maintains that it was “legally impossible” for him to have committed this crime, because the underlying felony requires the existence of a child under the age of sixteen.17 The Court of Appeals panel agreed, concluding that it was legally impossible for defendant to have committed the crime because the underlying form of third-degree criminal sexual conduct charged, MCL 750.520d(l)(a), required the existence of a person under the age of sixteen. The panel further concluded that it was legally impossible for defendant to have committed the crime for the additional reason that he did not “solicit^ another person to commit a felony” as proscribed by the solicitation statute.

Our solicitation statute, MCL 750.157b, provides as follows, in relevant part:

(1) For purposes of this section, “solicit” means to offer to give, promise to give, or give any money, services, or anything of value, or to forgive or promise to forgive a debt or obligation.
(3) . . . [A] person who solicits another person to commit a felony, or who solicits another person to do or omit to do an act which if completed would constitute a felony, is punishable as follows:
(a) If the offense solicited is a felony punishable by imprisonment for life, or for 5 years or more, the person is guilty of a felony .... [Emphasis supplied.]

*168The Court of Appeals erred to the extent that it relied on the doctrine of “impossibility” as a ground for affirming the circuit court’s dismissal of the solicitation charge. As we have explained, Michigan has never adopted the doctrine of impossibility as a defense in its traditional attempt context, much less in the context of solicitation crimes. Moreover, we are unable to locate any authority, and defendant has provided none, for the proposition that “impossibility” is a recognized defense to a charge of solicitation in other jurisdictions.18

Nevertheless, the solicitation charge was properly dismissed for the reason that there is no evidence that defendant in our case solicited anyone “to commit a felony” or “to do or omit to do an act which if completed would constitute a felony” as prohibited by MCL 750.157b. Pursuant to the plain statutory language, the prosecution was required to present evidence that defendant requested that another person perform a criminal act. The evidence here shows only that defendant requested that “Bekka” engage in sexual acts with him. While the requested acts might well have constituted a crime on defendant’s part, “Bekka” (or Liczbinski) would not have committed third-degree criminal sexual conduct had she (or he) done *169as defendant suggested. As the Court of Appeals properly concluded:

What is lacking here is defendant’s request to another person to commit a crime. “Bekka,” the fourteen-year-old online persona of Deputy Liczbinski, was not asked to commit a crime. That is, while it would be a crime for defendant to engage in sexual intercourse with a fourteen-year-old girl, a fourteen-year-old girl is not committing a criminal offense (or at least not csc-m) by engaging in sexual intercourse with an adult. Thus, whether we look at this case as defendant asking fourteen-year-old “Bekka” to engage in sexual intercourse with him or as defendant asking Deputy Liczbinski to engage in sexual intercourse with him, he did not ask another person to commit csc-m. . . .
For the above reasons we conclude that the trial court properly dismissed the charge of solicitation to commit criminal sexual conduct. [241 Mich App 111.]

Accordingly, while the concept of “impossibility” has no role in the analysis of this issue, we agree with the panel’s conclusion that an element of the statutory offense is missing and that the solicitation charge was therefore properly dismissed.

2. RESPONSE TO THE DISSENT

In his partial dissent, Justice Taylor opines that our construction of MCL 750.157b(3) renders the second phrase of that subsection a “nullity,” and that this phrase—“or who solicits another person to do or omit to do an act which if completed would constitute a felony”—should be read to encompass “situations where the solicitee could not be charged with the felony, but the solicitor could be.” Post at 181. We disagree.

*170We first note that, pursuant to the plain language of this phrase, it is the act of “another person” that must, if completed, “constitute a felony.” We believe that the plain language of the statute does not support the interpretation our dissenting colleague gives it.

Moreover, our construction of § 157b(3) does not render the second phrase of that subsection “nugatory” or “surplusage.” Rather, it appears that the Legislature, by its use of the phrase “do or omit to do an act which if completed would constitute a felony,” intended to make clear that the solicited offense does not have to be completed.

It is noteworthy that § 157b was substantially amended in 1986, following this Court’s holding in People v Rehkopf, 422 Mich 198; 370 NW2d 296 (1985). In Rehkopf, this Court examined two cases in which the defendants were charged under the former version of § 157b. Defendant Rehkopf had asked an undercover police officer to kill her husband, and defendant Snyder had asked someone to kill his brother. In neither case did the intended murder ever occur. This Court held that the statute was not violated where the defendants’ conduct did not lead to the results the defendants urged—namely, the deaths of Rehkopf’s husband or Snyder’s brother.

In 1985, the statute read as follows, in pertinent part:

Any person who incites, induces or exhorts any other person to ... do any act which would constitute a felony . . . shall be punished in the same manner as if he had committed the offense incited, induced or exhorted.

The Rehkopf majority held that

*171§ 157b does not subject a person to criminal responsibility for utterances that do not result in the commission of the offense sought to be committed. A person who does no more than utter words seeking the commission of an offense is subject to liability only for the common-law offense of solicitation. [Id. at 205.][19]

Justice Boyle and Chief Justice Williams dissented, opining that § 157b contained no requirement “that the solicitation result in either actual incitement or completion of the solicited offense.” Id. at 223.

In 1986, the Legislature rewrote § 157b. The first clause of current subsection 157b(3) (“a person who solicits another person to commit a felony”), apart from using the term “solicits,” is quite similar to the phrase “[a]ny person who incites, induces or exhorts any other person to do any act which would constitute a felony” as used in the prior version of § 157b. However, the Legislature apparently deemed it necessary—reasonably so, in light of the Rehkopf Court’s construction of § 157b—to clarify that the solicited act need not be completed in order to satisfy the elements of the statute. Accordingly, the second clause of subsection 157b(3) provides further that the statute is violated where the defendant “solicits another person to do or omit to do an act which if completed would constitute a felony” (emphasis supplied). It is quite probable that the Legislature believed that the phrase “solicits another person to commit a felony” would not have reached solicitations in which the *172solicited act never came to fruition, and that the second clause was added for this purpose.

IV. CONCLUSION

This Court has never recognized the doctrine of impossibility. Moreover, we are unable to discern any legislative intent that the doctrine may be advanced as a defense to a charge of attempt under MCL 750.92. Accordingly, the circuit court erred in dismissing this charge on the basis that it was “legally impossible” for defendant to have committed the crime.

Furthermore, although we do not agree with the circuit court or the Court of Appeals that “legal impossibility” was properly invoked by defendant as a defense to the charge of solicitation, we nevertheless affirm the dismissal of this charge. There is no evidence that defendant solicited anyone “to commit a felony” or “to do or omit to do an act which if completed would constitute a felony.”

Accordingly, we reverse in part, affirm in part, and remand this matter to the circuit court for proceedings consistent with this opinion. We do not retain jurisdiction.

Corrigan, C.J., and Weaver and Markman, JJ., concurred with Young, J.

Kelly, J.

(concurring in part and dissenting in part). I respectfully disagree with the majority’s conclusion that the doctrine of “legal impossibility” has never been adopted in Michigan. There is ample evidence to the contrary in the case law of the state. Because “legal impossibility” is a viable defense, I *173would affirm the Court of Appeals decision affirming the circuit court’s dismissal of attempted distribution of obscene material to a minor. MCL 750.92, 722.675.

- I would also find that legal impossibility, while a viable defense to solicitation, is inapplicable to the charge of solicitation to commit third-degree criminal sexual conduct in this case. MCL 750.157b(3)(a), 750.520d(l)(a). I agree with the majority’s conclusion that there is no evidence that defendant solicited anyone to commit csc-m. Therefore, I would affirm the Court of Appeals decision affirming the circuit court’s dismissal of the solicitation charge, but on different grounds.

I. “LEGAL IMPOSSIBILITY” IN MICHIGAN

The majority errs in concluding that “legal impossibility” has never been adopted in Michigan. It focuses on language in Tinskey1 pertaining to “legal impossibility” as a defense to attempt, but ignores the reasoning of the decision. Viewing the forest as well as the trees, one observes that the reasoning and the conclusion of the Tinskey Court prove that it accepted the doctrine of “legal impossibility.”

Tinskey held that the defendants could not be guilty of conspiracy to commit abortion because the woman who was to be aborted was not pregnant. Tinskey, supra at 109. The Court reasoned that the Legislature, in enacting the statute, purposely required that conspiracy to abort involve a pregnant woman. It thereby rejected prosecutions where the woman was not pregnant. It concluded that the defen*174dants in Tinskey could not be prosecuted for conspiracy to commit abortion because one of the elements of the crime, a pregnant woman, could not be established.

Significantly, the Tinskey Court stated that “[t]he Legislature has not, as to most other offenses, so similarly indicated that impossibility is not a defense.” Id.2 By this language, Tinskey expressly recognized the existence of the “legal impossibility” defense in the common law of this state. Even though the reference to “legal impossibility” regarding the crime of attempt may be dictum, the later statement regarding the “impossibility” defense was part of the reasoning and conclusion in Tinskey. This Court recognized the defense, even if it did not do so expressly concerning charges for attempt or solicitation.

Moreover, Michigan common law3 is not limited to decisions from this Court. The majority should not ignore decisions from the Court of Appeals. That Court has accepted “legal impossibility” as a defense.

For example, in People v Ng, the Court of Appeals distinguished between “factual impossibility” and “legal impossibility” in rejecting a defendant’s argument that he was not guilty of attempted murder. 156 Mich App 779, 786; 402 NW2d 500 (1986). It found *175that factual impossibility is not a defense to a charge of attempted murder, but observed that legal impossibility is a defense, citing Tinskey. Similarly, in People v Cain, the court distinguished between “legal impossibility” and a defense based on a claim of right. 238 Mich App 95, 117-119; 605 NW2d 28 (1999). It implicitly read Tinskey as acknowledging the existence of the “legal impossibility” defense.4 Accordingly, in this case, the Court of Appeals correctly considered “legal impossibility” a viable defense.

H. INTERPRETATION OF THE ATTEMPT STATUTE

Even if “legal impossibility” were not part of Michigan’s common law, I would disagree with the majority’s interpretation of the attempt statute. It does not follow from the fact that the statute does not expressly incorporate the concept of impossibility that the defense is inapplicable.

Examination of the language of the attempt statute leads to a reasonable inference that the Legislature did not intend to punish conduct that a mistake of legal fact renders unprohibited. The attempt statute makes illegal an “. . . attempt to commit an offense prohibited by law . . . .” MCL 750.92 (emphasis added). It does not make illegal an action not prohibited by law. Hence, one may conclude, the impossibility of completing the underlying crime can provide a defense to attempt.

*176This reasoning is supported by the fact that the attempt statute codified the common-law rule regarding the elements of attempt. See People v Youngs, 122 Mich 292, 293; 81 NW 114 (1899); People v Webb, 127 Mich 29, 31-32; 86 NW 406 (1901). At common law, “legal impossibility” is a defense to attempt. United States v Hsu, 155 F3d 189, 199-200 (CA 3, 1998); Dressier, Understanding Criminal Law (2d ed), § 27.07[B], p 369; 21 Am Jur 2d, Criminal Law, § 178, p 254. Absent a statute expressly abrogating “legal impossibility,” this common-law rule continues to provide a viable defense. Bandfield v Bandfield, 117 Mich 80, 82; 75 NW 287 (1898), rev’d in part on other grounds Hosko v Hosko, 385 Mich 39; 187 NW2d 236 (1971).5

This state’s attempt statute, unlike the Model Penal Code and various state statutes that follow it, does not contain language allowing for consideration of a defendant’s beliefs regarding “attendant circumstances.” Rather, it takes an “objective” view of criminality, focusing on whether the defendant actually came close to completing the prohibited act. 1 Robinson, Criminal Law Defenses, § 85(a), pp 423-424; § 85(b), p 426, n 22. The impossibility of completing the offense is relevant to this objective approach because impossibility obviates the state’s “concern that the actor may cause or come close to causing the harm or evil that the offense seeks to prevent.” Id. at 424.

*177The majority’s conclusion, that it is irrelevant whether it would be impossible to have committed the completed offense, contradicts the language used in the attempt statute. If an element of the offense cannot be established, an accused cannot be found guilty of the prohibited act. The underlying offense in this case, disseminating or exhibiting sexual material to a minor, requires a minor recipient. Because the dissemination was not to a minor, it is legally impossible for defendant to have committed the prohibited act.

This Court should affirm the Court of Appeals decision, determining that it was legally impossible for defendant to have committed the charged offense of attempted distribution of obscene material to a minor, MCL 750.92, 722.675.

m. THE SOLICITATION STATUTE

I further disagree with the majority’s conclusion that “legal impossibility” is not a recognized defense to a solicitation charge. As discussed above, the defense has been implicitly acknowledged in Michigan’s case law. The majority states that no authority supports the proposition that “legal impossibility” is a defense to solicitation in other jurisdictions. However, this fact is unremarkable in light of the rarity with which the defense is invoked. Moreover, “the impossibility issue can arise in all inchoate offenses,” including solicitation. Robinson, supra at § 85(f)(2), p 436.

The language of our solicitation statute demonstrates that an illegal solicitation must concern an act that would constitute a felony if completed. The stat*178ute states, “a person who solicits another person to commit a felony, or who solicits another person to do or omit to do an act which if completed would constitute a felony, is punishable as follows . . . MCL 750.157b(3).

“Legal impossibility” would be a defense if the defendant’s goal were illegal but the offense incomplete due to the defendant’s factual mistake concerning the legal status of a relevant circumstance. See Dressier, supra at § 27.07[D][3][a], p 373 (discussing “hybrid legal impossibility”). In this case, defendant was mistaken regarding the legal status of “Bekka,” whom he believed to be a female minor but who was actually a male adult.

However, defendant’s factual mistake is irrelevant in analyzing the charge of solicitation to commit third-degree criminal sexual conduct. Even if he had made his request to engage in sexual intercourse to a fourteen-year-old girl, defendant, not the girl, would have violated the csc-m statute. Therefore, I agree with the majority that defendant did not solicit “Bekka” to commit an act that constituted a felony within the meaning of the solicitation statute.

I note that this is the same conclusion reached by the Court of Appeals. See 241 Mich App 102, 111; 614 NW2d 674 (2000). That Court erred, however, in applying a “legal impossibility” analysis. It was not defendant’s mistake regarding the minority status of “Bekka” that is significant. Rather, an element of the solicitation charge is missing. “Legal impossibility” is, therefore, irrelevant under the facts of this case. The solicitation charge was properly dismissed because the prosecution could not prove all elements of the crime.

*179iv. conclusion

As judges, we often decide cases involving disturbing facts. However repugnant we personally find the criminal conduct charged, we must decide the issues on the basis of the law. I certainly do not wish to have child predators loose in society. However, I believe that neither the law nor society is served by allowing the end of removing them from society to excuse unjust means to accomplish it. In this case, defendant raised a legal impossibility argument that is supported by Michigan case law. The majority, in determining that legal impossibility is not a viable defense in this state, ignores that law.

In keeping with precedent and legal authority, I would affirm the Court of Appeals decision that it was legally impossible for defendant to commit the charged offense of attempted distribution of obscene material to a minor. Of course, if this view prevailed, defendant could still be prosecuted for his alleged misconduct. He is to be tried on the most serious of the charges, child sexually abusive activity, MCL 750.145c.

With regard to the solicitation charge, I disagree with the majority’s conclusion that “legal impossibility” is not a defense to solicitation. However, the defense does not apply under the facts of this case. Even if the facts had been as defendant believed, defendant did not solicit “Bekka” to commit csc-m. Hence, an essential element of the solicitation charge is missing. The charge was properly dismissed for that reason, not because of the availability of the “legal impossibility” defense.

Cavanagh, J., concurred with Kelly, J.

*180Taylor, J.

(concurring in part and dissenting in part). I agree with the majority’s recitation of the facts and its excellent analysis of why “hybrid legal impossibility” should not be recognized as a defense to a charge of attempt under MCL 750.92. Thus, I concur with parts i, n, m(A), and m(B) of the majority opinion.

However, I respectfully dissent from the majority’s analysis of the solicitation of third-degree criminal sexual conduct (csc-m) charge in part m(c). In my view, defendant may be charged with solicitation on the basis of the evidence that he solicited a person whom he believed to be a fourteen-year-old child to engage in an act of sexual penetration even though a child victim of such an act of csc-m would not be guilty of csc-m for “voluntarily” engaging in the act.

My difference with the majority is in its understanding of the solicitation statute, MCL 750.157b(3). That section provides in pertinent part:

[A] person who solicits another person to commit a felony, or who solicits another person to do or omit to do an act which if completed would constitute a felony, is punishable as follows: .... [Emphasis added.]

As to the first clause (“a person who solicits another person to commit a felony”), I agree with the majority that defendant cannot be considered to have asked “Bekka” to commit the felony of csc-m in violation of the solicitation statute because she cannot commit this felony by engaging in sex with an adult. If an adult and a child aged thirteen to fifteen engage in an act of “consensual” sexual penetration, only the *181adult would be committing the crime of csc-m.1 Thus, an adult who asks a fourteen-year-old child to engage in such an act cannot be considered to have asked the child to commit csc-m. That is, the solicitor has not breached the first clause in this section.

However, regarding the disjunctive clause that follows the first clause, i.e., “or who solicits another person to do or omit to do an act which if completed would constitute a felony,” this language is broader in scope than merely prohibiting a person from soliciting another person to commit a felony. I believe this language makes it unlawful to solicit another person to do an act that if the act were completed would be a felony. While this part of the statute surely is not as clear as it could be,2 we must use statutory construction rules to give it meaning. A primary rule is that we should avoid making the second clause a nullity by giving it the same meaning as the first clause.3 Using this tool, I conclude that the second clause means it is unlawful to solicit another person to join with the solicitor in doing an act that would constitute a fel*182ony whether the solicited party could be guilty of the felony or not.

This all means that the first clause requires that the solicited act would be a felony for which the solicitee could be charged. The second clause encompasses situations where the solicitee could not be charged with the felony, but the solicitor could be. This construction of the statute gives viability to both clauses of the section at issue and is, thus, in my view, not only preferable, but required.

The gist of the majority opinion, with regard to the solicitation issue, is that the second phrase, i.e., “or who solicits another person to do or omit to do an act which if completed would constitute a felony,” is merely clarifying language to make clear that the Legislature did not intend to require that the solicitee actually complete the solicited felony in order for the solicitor to have violated the statute. That is, the majority states that the second clause was “intended to make clear that the solicited offense does not have to be completed.” Ante at 170. Yet, the majority seems to acknowledge that the first clause is also violated by a solicitation to commit a felony even if the felony is never actually completed. This, then, makes the second clause a nullity. It is that outcome that disciplined readers of statutes should avoid.

Also, the majority indicates that my interpretation is contrary to the plain language of the statute because “it is the act of ‘another person’ that must, if completed, ‘constitute a felony.’ ” Ante at 170. I disagree because the majority’s view on this point fails to give meaning to the words “if completed.” If, as the majority argues, the conduct of the solicitee in itself must constitute a felony, then the language of the sec*183ond phrase has no different meaning than if it simply referred to “an act which . . . would constitute a felony.” The reason is that, if the statutory language read “or who solicits another person to do or omit to do an act which would constitute a felony,” then it might well be argued that the solicited person’s contemplated “act,” standing alone, must constitute a felony for the statute to be violated. However, the “if completed” language allows for the imposition of liability where completion of the solicited act by another person would necessarily constitute a felony.

I agree with the majority that the current language of the solicitation statute, MCL 750.157b, seems to be in large measure a reaction to this Court’s interpretation of the preceding statutory language at issue in People v Rehkopf, 422 Mich 198; 370 NW2d 296 (1985). However, that means only that the Legislature intended to include circumstances in which the solicited felony is never actually committed within the scope of the solicitation statute. Indeed, the language of the first clause proscribing a person from merely asking another person “to commit a felony” suffices, by its plain and unambiguous meaning, to accomplish that goal. That does not mean, however, that the Legislature might not have wanted to cover more situations inasmuch as it was acting to broaden the scope of the statute. Accordingly, the discussion of Rehkopf does not alter my view that, in keeping with the canon of construction against rendering statutory language nugatory or surplusage, the second clause must be taken as encompassing more than the first clause, standing alone, does.

Turning to the circumstances of the present case, there was evidence that defendant solicited “Bekka,” *184believing “her” to be a fourteen-year-old child, to engage in an act of sexual penetration with him. In other words, defendant solicited “Bekka” to engage with him in an act of sexual penetration between an adult and a fourteen-year-old child. Thus, defendant solicited “Bekka” to do an act that, “if completed” by the participation of defendant, would constitute the felony of csc-m on defendant’s part. Accordingly, I conclude that such a solicitation falls within the range of conduct in the solicitation statute’s prohibition of soliciting another person “to do ... an act which if completed would constitute a felony.” MCL 750.157b(3).

Of course, I recognize that because “Bekka” was actually Deputy William Liczbinski, an adult, the solicited person could not actually have committed the act envisioned by defendant. However, that is immaterial. There is nothing in the language of the pertinent part of the solicitation statute, MCL 750.157b(3), that requires that it be possible for the solicited person to carry out the conduct that is solicited in order for the statute to be violated. Thus, consistent with the majority opinion’s rejection of the “legal impossibility” defense, I conclude that it is immaterial that the deputy could not have carried out the solicited act.

Accordingly, I agree with the majority’s treatment of the attempted distribution of obscene material to a minor charge. However, I would also reverse the Court of Appeals with regard to the solicitation of csc-m charge, and would remand to the circuit court for trial on that charge.

7.1.23 State v. Green 7.1.23 State v. Green

The State, Respondent,
v.
Benjamin P. Green, Appellant.

Opinion No. 27108.

Supreme Court of South Carolina.

Heard February 23, 2012.
Filed April 4, 2012.

Deputy Chief Appellate Defender Wanda H. Carter, of Columbia, for Appellant.

Attorney General Alan Wilson, Chief Deputy Attorney General John McIntosh, Assistant Deputy Attorney General Salley W. Elliott, Assistant Attorney General William M. Blitch, Jr., of Columbia, Solicitor James Strom Thurmond, Jr, of Aiken, for Respondent.

JUSTICE BEATTY:

Benjamin P. Green appeals his convictions for criminal solicitation of a minor[1] and attempted criminal sexual conduct ("CSC") with a minor in the second-degree.[2] In challenging his convictions, Green contends the trial judge erred in: (1) denying his motion to dismiss the charge of criminal solicitation of a minor on the ground the statute is unconstitutionally overbroad and vague; (2) denying his motions to dismiss and for a directed verdict on the charge of attempted CSC with a minor in the second-degree; (3) admitting certain photographs; and (4) denying his request for a jury charge on attempted assault and battery of a high and aggravated nature ("ABHAN"). We affirm.

I. Factual/Procedural History

On October 13, 2006 at 5:38 p.m., Green entered a Yahoo! online chat room under the screen name "blak slyder" and initiated an online chat with "lilmandy14sc" ("Mandy"). On Mandy's profile page was a picture of a female sitting on a bed. Unbeknownst to Green, Mandy was actually an online persona created by Investigator Tommy Platt of the Aiken County Sheriff's Office as part of the Internet Crimes Against Children Task Force.

In response to Green's initial question, Mandy answered "i hooked up with a 16 year old." Green then asked Mandy, "how young are you?" to which Mandy stated, "14." Green countered that he was "21."[3] Immediately thereafter, the chat turned sexual in nature with Green asking Mandy whether she would have sex with him. During the chat, Green sent Mandy two pictures of his penis and stated that he could "show it to [her] in person."[4] Green then arranged to meet Mandy at 7:30 p.m. on a secluded road in Beech Island, South Carolina, which is located in Aiken County.

When Green arrived at the predetermined location, he was met by several law enforcement officers who arrested him. In response to the officers' questions, Green admitted that "he was there to meet a 14-year-old girl." A search of Green's vehicle revealed a cell phone, a bottle of alcohol, two DVDs, condoms, male enhancement cream and drugs, and handwritten directions to the location.

Subsequently, Green was indicted and ultimately convicted by a jury for criminal solicitation of a minor and attempted CSC with a minor in the second-degree. Green appealed his convictions to the Court of Appeals. This Court certified the appeal from the Court of Appeals pursuant to Rule 204(b) of the South Carolina Appellate Court Rules.

II. Discussion

A. Constitutionality of Criminal Solicitation of a Minor Statute

In a pre-trial hearing and at the conclusion of the State's case, Green moved for the trial judge to declare unconstitutional section 16-15-342, the criminal solicitation of a minor statute, on the grounds it is overbroad and vague. Specifically, he claimed the statute is not narrowly tailored and, as a result, "chills free speech." The judge summarily denied the motion.

On appeal, Green challenges section 16-15-342 as facially overbroad because one can be found guilty under the statute "when he contacts a minor for any one of six activities under 16-15-375(5) or any one of at least twenty-nine activities under 16-1-60." Because the statute does not identify what forms of communication are prohibited, Green claims the content of any communication would "trigger a violation of the statute." Ultimately, Green claims the statute is "so overbroad that it ensnares" protected speech.

In a related argument, Green asserts this lack of specificity demonstrates that the statute is vague. Green contends the provisions of the statute are vague as to "what forms of communications and what content of such communications would be criminalized as solicitations." Because the statute is not sufficiently definite, Green avers that "[a] person of ordinary intelligence would not know what speech, expression or contact would result in a violation of the statute."

"When the issue is the constitutionality of a statute, every presumption will be made in favor of its validity and no statute will be declared unconstitutional unless its invalidity appears so clearly as to leave no doubt that it conflicts with the constitution." State v. Gaster, 349 S.C. 545, 549-50, 564 S.E.2d 87, 89-90 (2002). "This presumption places the initial burden on the party challenging the constitutionality of the legislation to show it violates a provision of the Constitution." State v. White, 348 S.C. 532, 536-37, 560 S.E.2d 420, 422 (2002).

Applying these well-established rules regarding the constitutionality of a statute, our analysis begins with a review of the text of the challenged statute. Section 16-15-342 provides in pertinent part:

(A) A person eighteen years of age or older commits the offense of criminal solicitation of a minor if he knowingly contacts or communicates with, or attempts to contact or communicate with, a person who is under the age of eighteen, or a person reasonably believed to be under the age of eighteen, for the purpose of or with the intent of persuading, inducing, enticing, or coercing the person to engage or participate in a sexual activity as defined in Section 16-15-375(5) or a violent crime as defined in Section 16-1-60, or with the intent to perform a sexual activity in the presence of the person under the age of eighteen, or person reasonably believed to be under the age of eighteen.
(B) Consent is a defense to a prosecution pursuant to this section if the person under the age of eighteen, or the person reasonably believed to be under the age of eighteen, is at least sixteen years old.
(C) Consent is not a defense to a prosecution pursuant to this section if the person under the age of eighteen, or the person reasonably believed to be under the age of eighteen, is under the age of sixteen.
(D) It is not a defense to a prosecution pursuant to this section, on the basis of consent or otherwise, that the person reasonably believed to be under the age of eighteen is a law enforcement agent or officer acting in an official capacity.

S.C. Code Ann. § 16-15-342 (Supp. 2011). Section 16-15-375 defines "sexual activity" by identifying six acts, which include "vaginal, anal, or oral intercourse" and "touching, in an act of apparent sexual stimulation or sexual abuse." S.C. Code Ann. § 16-15-375(5) (2003).

1. Overbroad[5]

"It has long been recognized that the First Amendment needs breathing space and that statutes attempting to restrict or burden the exercise of First Amendment rights must be narrowly drawn and represent a considered legislative judgment that a particular mode of expression has to give way to other compelling needs of society." Broadrick v. Oklahoma, 413 U.S. 601, 611-12 (1973).

In discussing the overbreadth doctrine, the United States Supreme Court ("USSC") has stated:

According to our First Amendment overbreadth doctrine, a statute is facially invalid if it prohibits a substantial amount of protected speech. The doctrine seeks to strike a balance between competing social costs. On the one hand, the threat of enforcement of an overbroad law deters people from engaging in constitutionally protected speech, inhibiting the free exchange of ideas. On the other hand, invalidating a law that in some of its applications is perfectly constitutional—particularly a law directed at conduct so antisocial that it has been made criminal—has obvious harmful effects. In order to maintain an appropriate balance, we have vigorously enforced the requirement that a statute's overbreadth be substantial, not only in an absolute sense, but also relative to the statute's plainly legitimate sweep. Invalidation for overbreadth is strong medicine that is not to be casually employed.

United States v. Williams, 553 U.S. 285, 292-93 (2008) (citations omitted) (emphasis in original). "To put the matter another way, particularly where conduct and not merely speech is involved, we believe that the overbreadth of a statute must not only be real, but substantial as well, judged in relation to the statute's plainly legitimate sweep." Broadrick, 413 U.S. at 615.

In analyzing Green's constitutional challenge to section 16-15-342, we initially note that speech used to further the sexual exploitation of children has been routinely denied constitutional protection as the State has a compelling interest in preventing the sexual abuse of children. In fact, the USSC has expressly stated that "[o]ffers to engage in illegal transactions are categorically excluded from First Amendment protection." Williams, 553 U.S. at 297. Moreover, "[c]ourts have recognized that speech used to further the sexual exploitation of children does not enjoy constitutional protection, and while a statute may incidentally burden some protected expression in carrying out its objective, it will not be held to violate the First Amendment if it serves the compelling interest of preventing the sexual abuse of children and is no broader than necessary to achieve that purpose." Cashatt v. State, 873 So. 2d 430, 434-35 (Fla. Dist. Ct. App. 2004); see New York v. Ferber, 458 U.S. 747, 756-57 (1982) (recognizing that the prevention of sexual exploitation of children and abuse of children constitutes a government objective of surpassing importance).

In view of this compelling interest, the question becomes whether section 16-15-342 is narrowly tailored to achieve the interest for which it was intended. As will be discussed, we find the statute is narrowly drafted to prohibit criminal conduct rather than protected speech.

Significantly, the statute includes the term "knowingly." Thus, it affects only those individuals who intentionally target minors for the purpose of engaging or participating in sexual activity or a violent crime. Conversely, it does not criminalize any inadvertent contact or communications with minors. See United State v. Bailey, 228 F.3d 637, 639 (6th Cir. 2000) (concluding that statute proscribing knowing efforts to persuade minors to engage in illegal sexual activity did not violate First Amendment); State v. Ebert, 263 P.3d 918, 922 (N.M. Ct. App. 2011) (concluding that statute criminalizing child solicitation by electronic communication device was not constitutionally overbroad as "[t]ailoring [was] primarily accomplished through the `knowingly' scienter requirement"; noting that "the statute does not restrict adults from communicating about sex to children, nor does it restrict adults from soliciting sex from one another over the internet," in fact, "the statute prohibits only that conduct necessary to achieve the State's interest"); State v. Snyder, 801 N.E.2d 876, 883 (Ohio Ct. App. 2003) (finding statute that prohibited adults from using telecommunications device to solicit minor for sexual activity is not "aimed at the expression of ideas or beliefs; rather, it is aimed at prohibiting adults from taking advantage of minors and the anonymity and ease of communicating through telecommunications devices, especially the Internet and instant messaging devices, by soliciting minors to engage in sexual activity").

Because the statute does not criminalize protected speech and is narrowly tailored to achieve a compelling state interest, we find the statute is not unconstitutionally overbroad as any alleged overbreadth is unsubstantial when considered in relation to "its plainly legitimate sweep."

2. Vague

In view of our finding, the analysis turns to a determination of whether the statute is void for vagueness.

"The concept of vagueness or indefiniteness rests on the constitutional principle that procedural due process requires fair notice and proper standards for adjudication." City of Beaufort v. Baker, 315 S.C. 146, 152, 432 S.E.2d 470, 473 (1993) (quoting State v. Albert, 257 S.C. 131, 134, 184 S.E.2d 605, 606 (1971)). "The constitutional standard for vagueness is the practical criterion of fair notice to those to whom the law applies." Huber v. S.C. State Bd. of Physical Therapy Exam'rs, 316 S.C. 24, 26, 446 S.E.2d 433, 435 (1994). A law is unconstitutionally vague if it forbids or requires the doing of an act in terms so vague that a person of common intelligence must necessarily guess as to its meaning and differ as to its application. Toussaint v. State Bd. of Med. Exam'rs, 303 S.C. 316, 400 S.E.2d 488 (1991). "[O]ne to whose conduct the law clearly applies does not have standing to challenge it for vagueness as applied to the conduct of others." In re Amir X.S., 371 S.C. 380, 391, 639 S.E.2d 144, 150 (2006) (citing Village of Hoffman Estates v. Flipside, Hoffman Estates, Inc., 455 U.S. 489, 495 (1982)).

As an initial matter, we find that Green does not have standing to assert a facial challenge for vagueness as the statute provided adequate notice that his conduct fell within that proscribed by section 16-15-342. Green, who was twenty-seven years old at the time of the offense, knowingly initiated an online chat with a female he reasonably believed to be fourteen years old. As evidenced by the text of the chat, Mandy represented her age to be 14, Green acknowledged that she was too young to drive his vehicle, and admitted to the arresting officers that he was there to meet a fourteen-year-old girl. Moreover, Green's sexually-explicit conversation was intended for no other purpose than to persuade Mandy to engage in sexual activity as defined in section 16-15-675(5).

Even assuming standing, we find that Green's challenge is without merit. We hold that section 16-15-342 is sufficiently precise to provide fair notice to those to whom the statute applies. The criminal solicitation statute specifically identifies the following distinct elements: "(1) the defendant is eighteen years of age or older; (2) he or she knowingly contacts or communicates with, or attempts to contact or communicate with; (3) a person who is under the age of eighteen, or a person reasonably believed to be under the age of eighteen; (4) for the purpose of or with the intent of persuading, inducing, enticing, or coercing the person to engage or participate in a sexual activity as defined in Section 16-15-375(5) or a violent crime as defined in Section 16-1-60; or (5) with the intent to perform a sexual activity in the presence of the person under the age of eighteen, or person reasonably believed to be under the age of eighteen." State v. Reid, 383 S.C. 285, 301, 679 S.E.2d 194, 202 (Ct. App. 2009), aff'd, 393 S.C. 325, 713 S.E.2d 274 (2011).

Although each of these terms is not defined, we believe a person of common intelligence would not have to guess at what conduct is prohibited by the statute. We also find the Legislature purposefully did not define "contacts" or "communicates," as we believe it sought to encompass all methods of communications. Unlike the solicitation statutes found in other jurisdictions, the South Carolina statute does not confine the method of solicitation strictly to computers.[6] Instead, one charged with this crime could have used a letter, a telephone, a computer, or other electronic means to communicate with or contact the minor victim.

Based on the foregoing, we conclude that Green has not satisfied his burden to prove that section 16-15-342 violates the First Amendment of the Constitution.

We note that other jurisdictions, which have analyzed statutes similar to this state's, have also determined that the statutes are neither unconstitutionally overbroad nor vague. See, e.g., Cashatt v. State, 873 So. 2d 430 (Fla. Dist. Ct. App. 2004); People v. Smith, 806 N.E.2d 1262 (Ill. App. Ct. 2004); LaRose v. State, 820 N.E.2d 727 (Ind. Ct. App. 2005); State v. Penton, 998 So. 2d 184 (La. Ct. App. 2008); State v. Pribble, 285 S.W.3d 310 (Mo. 2009) (en banc); State v. Rung, 774 N.W.2d 621 (Neb. 2009); State v. Snyder, 801 N.E.2d 876 (Ohio Ct. App. 2003); Maloney v. State, 294 S.W.3d 613 (Tex. Ct. App. 2009); State v. Gallegos, 220 P.3d 136 (Utah 2009). See generally Marjorie A. Shields and Jill M. Marks, Annotation, Validity, Construction, and Application of State Statutes Prohibiting Child Luring as Applied to Cases Involving Luring of Child by Means of Electronic Communications, 33 A.L.R. 6th 373, §§ 4-10 (2008 & Supp. 2012) (analyzing state cases that have determined state child-luring statute was constitutionally valid).

Having rejected Green's constitutional challenges, the question becomes whether the trial judge erred in declining to grant Green's motions to dismiss or for a directed verdict as to the charged offenses.

B. Motions to Dismiss and for a Directed Verdict

Prior to trial, Green moved to dismiss the charged offenses. In support of this motion and his directed verdict motion, Green claimed it was legally impossible to "carry out the criminal sexual conduct" because the alleged victim was not a minor but, rather, a fictitious person created by Investigator Platt. During trial, Green also established that the picture on Mandy's profile page was actually that of Lynda Williamson, a twenty-four-year-old former probation officer who provided the photograph to an investigator with the Aiken County Sheriff's Office. Because the woman in the picture was "over the age of consent," Green claimed he could not be convicted of attempted CSC with minor in the second-degree.

As an additional ground, Green asserted the State failed to prove his specific intent to commit CSC with a minor in the second-degree and an overt act in furtherance of the crime. During his argument, Green pointed to the text of the online chat where he stated that he would not pressure Mandy to do anything that she did not want to do and that she could change her mind about having sex.

On appeal, Green reiterates these arguments in support of his contention that the trial judge erred in denying his motions to dismiss and for a directed verdict. In addition, Green elaborates on his claim of legal impossibility. Citing United States v. Frazier, 560 F.2d 884 (8th Cir. 1977), Green explains that this defense applies "where the impossibility of a defendant's successfully committing a crime eliminates the culpability of his having tried to do so." According to this statement, Green claims he should not have been convicted of the charged offenses as he "could not commit criminal sexual conduct with a fictitious person."

1. Legal Impossibility

"[L]egal impossibility occurs when the actions that the defendant performs or sets in motion, even if fully carried out as he or she desires, would not constitute a crime, whereas factual impossibility occurs when the objective of the defendant is proscribed by the criminal law but a circumstance unknown to the actor prevents him or her from bringing about that objective." 21 Am. Jur. 2d Criminal Law § 156 (2008). "According to some authorities, legal impossibility is a defense to a charge of attempt, but factual impossibility is not." Id. In view of this distinction and Green's arguments, we have confined our analysis of this issue to the defense of legal impossibility.

As we interpret Green's trial and appellate arguments, his claim of legal impossibility encompasses both the solicitation charge and the CSC charge. Specifically, the intent element in the solicitation statute and the necessary intent for the attempted CSC charge warrant a similar analysis with respect to Green's challenge that no actual minor was involved. Accordingly, we address Green's claims as to both charges.

Section 16-15-342(D) definitively discounts Green's arguments with respect to the solicitation charge as this provision states, "It is not a defense to a prosecution pursuant to this section, on the basis of consent or otherwise, that the person reasonably believed to be under the age of eighteen is a law enforcement agent or officer acting in an official capacity." S.C. Code Ann. § 16-15-342(D) (Supp. 2011). Thus, based on the plain language of the statute, the Legislature clearly intended to eliminate the defense of impossibility as to the charge of criminal solicitation of a minor if a law enforcement officer impersonated the minor. State v. Dingle, 376 S.C. 643, 659 S.E.2d 101 (2008) (recognizing that in interpreting statutes, appellate courts look to the plain meaning of the statute and the intent of the Legislature).

Similarly, the fact that an actual minor was not the subject of Green's intent did not preclude his prosecution and conviction for attempted CSC with a minor in the second-degree.

A person is guilty of CSC with a minor in the second-degree if "the actor engages in sexual battery with a victim who is fourteen years of age or less but who is at least eleven years of age." S.C. Code Ann. § 16-3-655(B)(1) (Supp. 2011). "A person who commits the common law offense of attempt, upon conviction, must be punished as for the principal offense." S.C. Code Ann. § 16-1-80 (2003). "Thus, the elements of attempted CSC with a minor in the second degree are: (1) an attempt; (2) to engage in a sexual battery; (3) with a victim; (4) who is fourteen years of age or less; (5) but who is at least eleven years of age." Reid, 383 S.C. at 292, 679 S.E.2d at 197.

In discussing attempt crimes, this Court has stated, "In the context of an `attempt' crime, specific intent means that the defendant consciously intended the completion of acts comprising the choate offense." State v. Sutton, 340 S.C. 393, 397, 532 S.E.2d 283, 285 (2000). Accordingly, "[t]o prove attempt, the State must prove that the defendant had the specific intent to commit the underlying offense, along with some overt act, beyond mere preparation in furtherance of the intent." State v. Reid, 393 S.C. 325, 329, 713 S.E.2d 274, 276 (2011) (emphasis in the original).

Based on the above-outlined definitions, we find Green's actions were sufficient to prove the offense of attempted CSC with a minor in the second-degree. As noted, an attempt crime does not require the completion of the object offense. Thus, Green was not required to complete the sexual battery in order to be prosecuted and convicted of the offense. Accordingly, the fact that the intended victim was not an actual minor was irrelevant as the State was only required to prove Green had the specific intent to commit a sexual battery on a victim between the ages of eleven and fourteen years old coupled with some overt act toward the commission of the offense. See State v. Curtiss, 65 P.3d 207 (Idaho Ct. App. 2002) (holding that impossibility did not constitute a defense to charge of attempted lewd conduct with a minor under the age of sixteen in a case where detective posed as a fourteen-year-old girl in online chat room); Hix v. Commonwealth, 619 S.E.2d 80 (Va. 2005) (holding that the fact defendant was communicating with an adult law enforcement officer posing as a child was not a defense to the charge of attempted indecent liberties with a minor).

A decision to this effect is consistent with our state's limited jurisprudence regarding Internet sex crimes. See Reid, 383 S.C. at 300, 679 S.E.2d at 201-02 (recognizing "the policy goal of stopping dangerous persons through earlier intervention by law enforcement by punishing the attempted conduct as a crime, especially in any cybermolester type cases where the conduct also clearly manifests or strongly corroborates the intent to commit such a dangerous object crime").

Finally, other state jurisdictions have concluded that a defendant may be prosecuted for criminal solicitation of a minor, as well as attempted sexual offenses, where the online persona is an undercover officer and not an actual minor. See, e.g., Karwoski v. State, 867 So. 2d 486 (Fla. Dist. Ct. App. 2004); People v. Thousand, 631 N.W.2d 694 (Mich. 2001); State v. Coonrod, 652 N.W.2d 715 (Minn. Ct. App. 2002); Shaffer v. State, 72 So. 3d 1070 (Miss. 2011); Johnson v. State, 159 P.3d 1096 (Nev. 2007); State v. Robins, 646 N.W.2d 287 (Wis. 2002).[7]

C. Sufficiency of the Evidence As to Specific Intent and Overt Act in Furtherance of Attempted CSC with a Minor

Finding that an actual minor was not required for the prosecution of the charge of attempted CSC with a minor, the question becomes whether the State proved that Green possessed the requisite intent and that he engaged in some overt act in furtherance of the charge.

Viewing the evidence in the light most favorable to the State, we conclude the trial judge properly denied Green's motion for a directed verdict as to the charge of attempted CSC with a minor in the second-degree. Green clearly expressed his specific intent to have a sexual encounter with Mandy, a fourteen-year-old female. A review of the online chat reveals that Green was not dissuaded by the fact that Mandy stated she was fourteen years old. Instead, Green continued the sexually explicit conversation and sent Mandy pictures of his genitals.

In furtherance of his specific intent, Green committed an overt act in orchestrating a meeting for the sexual encounter. Green asked Mandy whether her parents would let her out after dark and whether he could meet her at her home. Ultimately, Green arranged to meet Mandy on a secluded street that night at a specific time. Green then traveled to the predetermined location where he was arrested and found to be in possession of alcohol, condoms, and male enhancement products. Accordingly, the trial judge properly submitted the charge to the jury. See State v. Reid, 393 S.C. 325, 713 S.E.2d 274 (2011) (finding attempted second-degree CSC with a minor charge was properly submitted to the jury where appellant, who through a chat with an online persona created by a law enforcement officer, clearly communicated his desire to have a sexual encounter with a fourteen-year-old girl, arranged to meet the fictitious minor at a designated place and time, and travelled to that location); State v. Weston, 367 S.C. 279, 292, 625 S.E.2d 641, 648 (2006) (recognizing that if there is any direct evidence or any substantial circumstantial evidence reasonably tending to prove the guilt of the accused, the appellate court must find the case was properly submitted to the jury).

D. Admission of Photographs

In a pre-trial hearing and during the trial, Green objected to the admission of the two photographs of his penis. Green contended the photographs were more prejudicial than probative and, thus, should be excluded. In response, the Solicitor offered the photographs "to show the furtherance of the conduct to solicit sex from the underage child as a form of grooming, as a form of soliciting sex." The trial judge rejected Green's motion, finding the photographs were "highly relevant" and that "any prejudicial effect" was outweighed.

On appeal, Green contends the trial judge erred in allowing the jury to view these photographs as "the prejudicial value of a visual of [his] computer screen name of ["blak slyder"] through pictures of the same far outweighed its probative value." Although Green concedes the "sexual conversation" in the chat room was relevant, he contends the photographs should have been excluded as they were "inflammatory to both male and female" jurors. He characterizes the admission of these photographs as an "exceptional circumstance" that warrants reversal of his convictions as he was deprived of his constitutional right to a fair trial.

"All relevant evidence is admissible, except as otherwise provided by the Constitution of the United States, the Constitution of the State of South Carolina, statutes, [the South Carolina Rules of Evidence], or by other rules promulgated by the Supreme Court of South Carolina." Rule 402, SCRE. Evidence is relevant if it has "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." Rule 401, SCRE. "Although relevant, evidence may be excluded if its probative value is substantially outweighed by the danger of unfair prejudice, confusion of the issues, or misleading the jury, or by considerations of undue delay, waste of time, or needless presentation of cumulative evidence." Rule 403, SCRE.

The relevancy, materiality, and admissibility of photographs as evidence are matters left to the sound discretion of the trial court. State v. Kornahrens, 290 S.C. 281, 350 S.E.2d 180 (1986). If the offered photograph serves to corroborate testimony, it is not an abuse of discretion to admit it. State v. Todd, 290 S.C. 212, 349 S.E.2d 339 (1986). To warrant reversal based on the wrongful admission of evidence, the complaining party must prove resulting prejudice. Vaught v. A.O. Hardee & Sons, Inc., 366 S.C. 475, 480, 623 S.E.2d 373, 375 (2005). Prejudice occurs when there is reasonable probability the wrongly admitted evidence influenced the jury's verdict. Id.

We find the trial judge did not abuse his discretion in admitting the photographs. Although clearly offensive, the photographs corroborated Investigator Platt's testimony and served to establish Green's intent to solicit the minor to engage in sexual activity. Furthermore, the photographs negated Green's claim that he did not intend to have sex with a minor. After sending the photographs, Green commented that "I can show it to you in person." This comment in conjunction with the photographs provided the jury with evidence of Green's specific intent as to the charged crimes. Accordingly, we agree with the trial judge that the photographs were relevant and that their probative value outweighed any prejudicial impact. See State v. Martucci, 380 S.C. 232, 249, 669 S.E.2d 598, 607 (Ct. App. 2008) (finding no abuse of discretion where trial judge admitted photographs that were relevant and necessary and were not introduced with the intent to inflame, elicit the sympathy of, or prejudice the jury; recognizing that a trial judge is not required to exclude evidence because it is unpleasant or offensive).

Moreover, even if the judge erred in admitting the photographs, we find any error to be harmless given that the text of the online chats, the testimony of the investigating officers, and the evidence found in Green's car conclusively established the elements of the crimes for which Green was charged. See State v. Bailey, 298 S.C. 1, 5, 377 S.E.2d 581, 584 (1989) (recognizing that an insubstantial error not affecting the result of the trial is harmless where "guilt has been conclusively proven by competent evidence such that no other rational conclusion can be reached"); State v. Knight, 258 S.C. 452, 454, 189 S.E.2d 1, 2 (1972) ("[A] conviction will not be reversed for nonprejudicial error in the admission of evidence.").

E. Request to Charge ABHAN

At the conclusion of the State's case, Green requested the judge charge the lesser-included offense of attempted ABHAN. The trial judge denied Green's request on the ground there was "no evidence [or] conduct that could have been construed as an ABHAN."

On appeal, Green asserts the trial judge erred in denying his request to charge as the evidence warranted a charge on attempted ABHAN. Because he believed Mandy was actually a woman in her twenties, based on the online profile picture, and that he did not intend to engage in sexual activity once he met Mandy,[8] Green claims he was entitled to a charge on the lesser-included offense of attempted ABHAN.

"The law to be charged must be determined from the evidence presented at trial." State v. Knoten, 347 S.C. 296, 302, 555 S.E.2d 391, 394 (2001). A trial judge is required to charge the jury on a lesser-included offense if there is evidence from which it could be inferred the lesser, rather than the greater, offense was committed. State v. Drayton, 293 S.C. 417, 428, 361 S.E.2d 329, 335 (1987).

"ABHAN is a lesser included offense of ACSC, notwithstanding that technically ACSC does not contain all of the elements of ABHAN." State v. Geiger, 370 S.C. 600, 606, 635 S.E.2d 669, 672 (Ct. App. 2006); see 3 S.C. Jur. Assault and Battery § 26 (Supp. 2012) (discussing cases involving a jury instruction for ABHAN as a lesser-included offense). "ABHAN is the unlawful act of violent injury to another accompanied by circumstances of aggravation." State v. Fennell, 340 S.C. 266, 274, 531 S.E.2d 512, 516 (2000). "Circumstances of aggravation include the use of a deadly weapon, the intent to commit a felony, infliction of serious bodily injury, great disparity in the ages or physical conditions of the parties, a difference in gender, the purposeful infliction of shame and disgrace, taking indecent liberties or familiarities with a female, and resistance to lawful authority." Id. at 274, 531 S.E.2d at 516-17.[9]

As previously stated, a person is guilty of CSC with a minor in the second-degree if "the actor engages in sexual battery with a victim who is fourteen years of age or less but who is at least eleven years of age." S.C. Code Ann. § 16-3-655(B)(1) (Supp. 2011).

We find the trial judge properly declined to charge attempted ABHAN. As evidenced by the text of the online chat, Green's clear intent was to engage in sexual activity with Mandy, who he believed to be fourteen years old. After Mandy responded that she was fourteen years old, the conversation turned sexual in nature with Green asking Mandy about her previous sexual experiences, whether she would have sex with him, and sending her the explicit pictures. Moreover, when Mandy asked Green, "u aint like gonna kill me or kidnap me r u?", Green responded "lol hell no." Thus, Green intended only to "engage in sexual battery with a victim who is fourteen years of age or less." Accordingly, there was no evidence demonstrating that Green was guilty of the lesser-included offense of attempted ABHAN rather than the crime of attempted CSC with a minor in the second-degree.

III. Conclusion

In conclusion, we affirm Green's convictions for criminal solicitation of a minor and attempted CSC with a minor in the second-degree as: (1) the criminal solicitation of a minor statute is not unconstitutionally overbroad or vague; (2) the use of a law enforcement officer to impersonate a minor victim was legally permissible to support both convictions; (3) Green had the requisite specific intent and committed an overt act in furtherance of the CSC charge under Reid; (4) the challenged photographs were relevant and their probative value outweighed any prejudicial effect; and (5) there was no evidence to support Green's request to charge attempted ABHAN.

AFFIRMED.

TOAL, C.J., PLEICONES, KITTREDGE and HEARN, JJ., concur.

[1] S.C. Code Ann. § 16-15-342 (Supp. 2011).

[2] S.C. Code Ann. § 16-3-655(B)(1) (Supp. 2011).

[3] At the time of the chat, Green was actually twenty-seven years old as his date of birth is December 9, 1978.

[4] The officers executed a search warrant for Green's home computer and discovered the photographs that Green sent to Mandy during the online chat.

[5] Although we have not definitively ruled on an overbreadth challenge to the statute at issue, we have implicitly rejected a First Amendment objection. See State v. Gaines, 380 S.C. 23, 28 n.1, 667 S.E.2d 728, 731 n.1 (2008) (affirming defendant's convictions for criminal solicitation of a minor and stating, "the First Amendment does not prohibit the evidentiary use of speech to establish the elements of a crime or to prove motive or intent").

[6] See, e.g., La. Rev. Stat. Ann. § 14:81.3(A)(1) (West 2012) ("Computer-aided solicitation of a minor is committed when a person seventeen years of age or older knowingly contacts or communicates, through the use of electronic textual communication, with a person who has not yet attained the age of seventeen where there is an age difference of greater than two years, or a person reasonably believed to have not yet attained the age of seventeen and reasonably believed to be at least two years younger, for the purpose of or with the intent to persuade, induce, entice, or coerce the person to engage or participate in sexual conduct or a crime of violence as defined in R.S. 14:2(B), or with the intent to engage or participate in sexual conduct in the presence of the person who has not yet attained the age of seventeen, or person reasonably believed to have not yet attained the age of seventeen."); Utah Code Ann. § 76-4-401(2)(a) (Supp. 2011) ("A person commits enticement of a minor when the person knowingly uses or attempts to use the Internet or text messaging to solicit, seduce, lure, or entice a minor or another person that the actor believes to be a minor to engage in any sexual activity which is a violation of state criminal law.").

[7] The majority of federal jurisdictions have also rejected Green's argument with respect to a similar federal statute, 18 U.S.C. § 2422(b), which prohibits a person from using the mail or interstate commerce to "knowingly persuade [], induce [], entice [], or coerce []" someone under the age of 18 "to engage in prostitution or any sexual activity for which any person can be charged with a criminal offense, or attempt [] to do so." See United States v. Tykarsky, 446 F.3d 458, 466 (3d Cir. 2006) ("After examining the text of the statute, its broad purpose and its legislative history, we conclude that Congress did not intend to allow the use of an adult decoy, rather than an actual minor, to be asserted as a defense to § 2422(b)."); United States v. Hicks, 457 F.3d 838, 841 (8th Cir. 2006); ("[A] defendant may be convicted of attempting to violate § 2422(b) even if the attempt is made towards someone the defendant believes is a minor but who is actually not a minor."); see also United States v. Gagliardi, 506 F.3d 140 (2d Cir. 2007); United States v. Farner, 251 F.3d 510, 513 (5th Cir. 2001); United States v. Meek, 366 F.3d 705, 717-20 (9th Cir. 2004); United States v. Sims, 428 F.3d 945 (10th Cir. 2005).

[8] In support of this assertion, Green references this Court's decision in State v. Drafts, 288 S.C. 30, 340 S.E.2d 784 (1986), wherein this Court reversed the defendant's conviction for assault with intent to commit criminal sexual conduct in the first degree for failure to charge ABHAN based on the defendant's testimony that "he did not want to do anything" with the victim. We find Drafts to be inapposite as the defendant in that case admitted "taking indecent liberties" with the female victim, which clearly would have supported an ABHAN charge. Id. at 33-34, 340 S.E.2d at 786.

[9] In 2010, after this matter arose, the South Carolina General Assembly codified offenses involving assault and battery and these provisions are now applicable. S.C. Code Ann. § 16-3-600 (Supp. 2011).

7.1.24 Notes and Questions - Legal Impossibility 7.1.24 Notes and Questions - Legal Impossibility

  1. Consider the statutory analyses in both the majority and the dissent. Which argument do you find more persuasive?

  2. Factual and legal impossibility defined. While many jurisdictions have done away with the distinction between factual and legal impossibility, it is still important to understand the difference between the two. 

United States v. Oviedo, 525 F.2d 881 (5th Cir. 1976) defines the two concepts:

“Legal impossibility occurs when the actions which the defendant performs or sets in motion, even if fully carried out as he desires, would not constitute a crime. Factual impossibility occurs when the objective of the defendant is proscribed by the criminal law but a circumstance unknown to the actor prevents him from bringing about that objective.”

Kyle S. Brodie provides an example in his article The Obviously Impossible Attempt: A Proposed Revision to the Model Penal Code, 15 N. Ill. U. L. Rev. 237, 238–39 (1995):

For example, if a person were to hold an illicit poker game in a Las Vegas apartment, thinking and intending to break a law against gambling, no attempt has been committed, because it is impossible to gamble illegally in Las Vegas. This is often called ‘pure’ legal impossibility. If, however, a person were to possess a package which he believed to be narcotics, but was in fact talcum powder, then the attempt to possess narcotics would be only factually impossible. Therefore the impossibility of the attempt would be no defense.

  1. Impossibility criticisms. In The Obviously Impossible Attempt: A Proposed Revision to the Model Penal Code, Brodie expands on the aforementioned passage with criticisms of the impossibility concepts: 

In most cases, however, courts could not clearly determine whether the defendant's attempt was legally or factually impossible. The distinction was so ineffective that different courts often found the nearly identical action either factually or legally impossible. For example, a person who shoots a stuffed deer, thinking it to be alive, is not guilty of an attempt to shoot a deer out of season. But a person who shoots into an empty bed, believing that it is occupied, is guilty of attempted murder. Despite the different results, these two cases are logically indistinguishable. In both instances the attemptor has fired a gun at a target, but has been mistaken about what that target represented. In the first instance the hunter thought the deer was alive, while in the second the actor thought the bed was occupied.

  1. In People v. Jaffe, 185 N.Y. 497 (1906), the defendant received goods that he thought to be stolen and was subsequently convicted of attempted receipt of stolen property. Upon appeal, the conviction was overturned because of legal impossibility. Do you understand why?

The Court proceeds to explain:

The crucial distinction between the case before us and the pickpocket cases, and others involving the same principle, lies not in the possibility or impossibility of the commission of the crime, but in the fact that, in the present case, the act, which it was doubtless the intent of the defendant to commit would not have been a crime if it had been consummated. If he had actually paid for the goods which he desired to buy and received them into his possession, he would have committed no offense under section 550 of the Penal Code, because the very definition in that section of the offense of criminally receiving [stolen] property makes it an essential element of the crime that the accused shall have known the property to have been stolen or wrongfully appropriated in such a manner as to constitute larceny. This knowledge being a material ingredient of the offense it is manifest that it cannot exist unless the property has in fact been stolen or larcenously appropriated. No man can know that to be so which is not so in truth and in fact. He may believe it to be so but belief is not enough under this statute.

Do you agree with the Jaffe court’s reasoning? 

  1. Model Penal Code approach to impossibility. Under the MPC, hybrid (legal plus factual) impossibility is not a valid defense. 

As Ken Levy notes in his article, It's Not Too Difficult: A Plea to Resurrect the Impossibility Defense, 45 N.M. L. Rev. 225, 226–27 (2014):

The authors of the MPC and its followers worried that courts were falling for too many defendants' bogus impossibility claims. These defendants had typically tried to commit a crime such as selling controlled substances or committing statutory rape and failed only because the people whom they had solicited were undercover officers. The MPC and its followers reasoned that even though the undercover officers made it impossible for the crimes to be consummated, the defendants should still have been found guilty of attempt on the grounds that they were genuinely guilty of attempting to commit serious crimes and the standard law-enforcement practice of using undercover officers to catch criminals should be encouraged rather than discouraged.

Do you agree with the MPC authors’ concerns about the hybrid impossibility defense? Do you think the impossibility defense should be abolished entirely? Now, apply MPC §5.01 to the facts in Thousand. Does the outcome of the case change? 

  1. More on the MPC. In the Model Penal Code and Commentaries §5.01 cmt. 3(b), at 315–16 (1985), the authors of the MPC developed their argument for the abolition of impossibility as a defense. They argue:

“Insofar as it has not rested on conceptual tangles that have been largely independent of policy considerations, the defense of impossibility seems to have been employed to serve a number of functions. First, it has been used to verify criminal purpose; if the means selected were absurd, there is good ground for doubting that the actor really planned to commit a crime. Similarly, if the defendant’s conduct, objectively viewed, is ambiguous, there may be ground for doubting the firmness of his purpose to commit a criminal offense. A general defense of impossibility is, however, an inappropriate way of assuring that the actor has a true criminal purpose. * * *

[Another] consideration that has been advanced in support of an impossibility defense is the view that the criminal law need not take notice of conduct that is innocuous, the element of impossibility preventing any dangerous proximity to the completed crime. The law of attempts, however, should be concerned with manifestations of dangerous character as well as with preventive arrests; the fact that particular conduct may not create an actual risk of harmful consequences, though it would if the circumstances were as the defendant believed them to be, should not therefore be conclusive. The innocuous character of the particular conduct becomes relevant only if the futile endeavor itself indicates a harmless personality, so that immunizing the conduct from liability would not result in exposing society to a dangerous person.”

  1. Further criticisms. Recall the Jaffe case from Note 4. Consider Arnold N. Enker’s take in Impossibility in Criminal Attempts—Legality and the Legal Process, 53 Minn. L. Rev. 665, 674 (1969):

“Those who would eliminate the defense of legal impossibility from the legal lexicon and would convict Jaffe of attempted possession of stolen goods because he thought they were stolen presumably would convict any other defendant of the same crime with respect to goods that had never been stolen if it could be proved that the defendant thought they were stolen. Having dispensed with the need for establishing the circumstance that the goods are stolen, they must permit this result if there is evidence of guilty belief. Assume two cases in which the sole direct evidence of the defendant's alleged belief that the goods are stolen is a confession or the testimony of an informer or an accomplice. In one case the goods possessed are in fact stolen; in the other they are not. It is reasonably clear that most of us would rest easier with a conviction in the first case than in the second although we might have a difficult time articulating reasons for this distinction. Some of the reasons for this distinction are explored below, but it may also be that possession of stolen goods furnishes some evidence of belief that they are stolen while, clearly, possession of goods not in fact stolen furnishes no reason to believe that the defendant thought they were stolen. * * *

The draftsmen of the Model Penal Code have argued that while eliminating legal impossibility as a defense, the Code adequately takes care of these problems by its separate provision requiring that the defendant's act corroborate his mens rea.. But the Model Penal Code's requirement that the act corroborate the mens rea applies only to cases in the preparation-attempt continuum. Cases such as Jaffe and Lady Eldon are covered by a separate provision which provides that where the defendant does any act which would constitute a crime under the circumstances as he thought them to be, he is guilty of an attempt. The corroboration requirement of section 5.01(2) does not apply to this section. Perhaps the draftsmen assumed that doing the act defined in the substantive crime will always supply at least as much corroboration of mens rea as is present in the substantive crime itself. If so, what they have failed to see is that the act in its narrow sense of the defendant's physical movements can be perfectly innocent in itself-possession of goods, bringing goods into the country-and that what gives the act character as corrob- orative of mens rea is often the objective element or the attend- ant circumstances that the goods possessed are in fact stolen, or that the goods brought into the country are in fact dutiable, or that the goods possessed are in fact narcotics.”

Reporters of the MPC responded to Enker’s criticism in Model Penal Code and Commentaries § 5.01 cmt. 3(c), at 319–20 (1985):

“[I]t should * * * be noted how unlikely it is that persons will be prosecuted on the basis of admissions alone; the person who has behaved in a wholly innocuous way is not a probable subject of criminal proceedings. So the issue posed over Subsections (1)(a) and (1)(b) is more theoretical than practical.”

Which of the two passages do you find more persuasive? Drafters of the MPC believe that a “person who has behaved in a wholly innocuous way” is not likely to be prosecuted. What do you think of this statement? Does it support or detract from the argument of allowing impossibility as a defense?

 

  1. For the following hypotheticals, read through the fact pattern and determine whether or not the defense lies in pure legal impossibility, factual impossibility, or hybrid legal impossibility. 

    1. Jayesh was walking around town searching for a car to steal. He came across a Chevy Cobalt and noticed that the doors were unlocked and the key was in the ignition. He got in the car and drove away, without noticing the sign in the rear window that stated “free car.” He is charged with attempted car theft. 

    2. Verena wants to assassinate the President while he is at Camp David. She sets up a sniper rifle outside the camp, and fires several shots into a few of the windows, believing the president to be in one of the rooms. The President was in the White House that day. Is Verena guilty of attempted assassination of the President?

    3. Gunda’s wife Polymnia is on trial for homicide. During the trial, the evidence overwhelmingly points to Polymnia’s guilt. Gunda decides to take matters into her own hands, and accosts a person she believes to be a juror in the bathroom. She tells the person, “I believe my wife is innocent, and I have $1,000 that says you do too.” This person bears a resemblance to someone on the jury, but is not actually a juror. Gunda is charged with attempted bribery of a juror. 

7.1.25 Commonwealth v. McCloskey 7.1.25 Commonwealth v. McCloskey

Commonwealth v. McCloskey, Appellant.

*578Submitted March 17, 1975.

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

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

No appearance entered nor brief submitted for Commonwealth, appellee.

June 24, 1975:

Opinion by

Hoffman, J.,

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Concurring Opinion by

Cercone, J.:

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

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

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

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

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

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

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

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

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

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

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

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

Spaeth, J., joins in this opinion.

Dissenting Opinion by

Price, J.:

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

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

I would affirm the judgment of sentence.

7.1.26 Notes and Questions - Commonwealth v. McCloskey 7.1.26 Notes and Questions - Commonwealth v. McCloskey

  1. In People v. Kimball 109 Mich. App. 273, 311 N.W.2d 343 (1981), the court makes an argument against the abandonment defense. It indicates that:

“[V]oluntary abandonment is not a defense where the elements of an attempt are already established, although it may be relevant to the issue of whether defendant possessed the requisite intent in the first place. Under this view, once a defendant has gone so far as to have committed a punishable attempt, the crime is ‘complete’ and he or she cannot then abandon the crime and avoid liability anymore than a thief can abandon a larceny by returning the stolen goods.”

Do you agree or disagree with this court’s argument? Should abandonment be permitted as a defense? 

 

  1. At what point in the perpetration of a crime can an individual no longer use abandonment as a defense? How are these abandonments distinguishable from attempt, if at all? Consider these questions as you read the hypotheticals. Use MPC 5.01(4).

    1. Azad stole a jacket from a store. The next day, he returned the jacket to the store. Can Azad use abandonment as a defense?

    2. Demetrios breaks into a house with the intent to steal the contents inside. Once inside the house, he realizes that he does not want to burglarize the house and leaves. Can Demetrios use abandonment as a defense? 

    3. Gwenda shoots her boyfriend, Nogah, in a fit of anger. In the moment, she intended to kill him, but several minutes after firing the gun, Gwenda has a change of heart and calls an ambulance. The ambulance is able to rush Nogah to the hospital and provide adequate treatment, which saves his life. Is Gwenda guilty of attempted murder? Can she use abandonment as a defense?

    4. Jaylen decided to rob a bank with a gun. They walk into the bank, clutching the gun in their jacket pocket. Without pulling out the gun, Jaylen shouts, “Everybody, listen up!” Once everyone’s attention is on them, Jaylen decides they don’t want to rob the bank and they walk out. Is Jaylen guilty of attempted bank robbery? Can they use abandonment as a defense?

7.1.27 Pre-Attempt Conduct 7.1.27 Pre-Attempt Conduct

Solicitation and conspiracy are two inchoate offences that punish criminal conduct before it reaches the “attempt” stage, when the actors are merely preparing to commit the target offenses. Lawmakers have long endeavored to penalize those who threaten criminal acts, with varying degrees of success. In recent years, facilitated by the use of emerging technology (Twitter, Facebook, etc), the challenge of policing “threats” has intensified. Consider the following case.

 

7.1.28 Elonis v. United States 7.1.28 Elonis v. United States

135 S.Ct. 2001

Supreme Court of the United States

Anthony Douglas ELONIS, Petitioner

v.

UNITED STATES.

No. 13–983.

|

Argued Dec. 1, 2014.

|

Decided June 1, 2015.

 

Opinion

 

Chief Justice ROBERTS delivered the opinion of the Court.

 

Federal law makes it a crime to transmit in interstate commerce “any communication containing any threat ... to injure the person of another.” 18 U.S.C. § 875(c). Petitioner was convicted of violating this provision under instructions that required the jury to find that he communicated what a reasonable person would regard as a threat. The question is whether the statute also requires that the defendant be aware of the threatening nature of the communication, and—if not—whether the First Amendment requires such a showing.

I.                

A

Anthony Douglas Elonis was an active user of the social networking Web site Facebook. * * * In May 2010, Elonis’s wife of nearly seven years left him, taking with her their two young children. Elonis began “listening to more violent music” and posting self-styled “rap” lyrics inspired by the music. *** Eventually, Elonis changed the user name on his Facebook page from his actual name to a rap-style nom de plume, “Tone Dougie,” to distinguish himself from his “on-line persona.” The lyrics Elonis posted as “Tone Dougie” included graphically violent language and imagery. This material was often interspersed with disclaimers that the lyrics were “fictitious,” with no intentional “resemblance to real persons.” Elonis posted an explanation to another Facebook user that “I’m doing this for me. My writing is therapeutic.”.* * *

  

Elonis’s posts frequently included crude, degrading, and violent material about his soon-to-be ex-wife. * * *Elonis posted an adaptation of a satirical sketch that he and his wife had watched together. In the actual sketch, called “It’s Illegal to Say ...,” a comedian explains that it is illegal for a person to say he wishes to kill the President, but not illegal to explain that it is illegal for him to say that. When Elonis posted the script of the sketch, however, he substituted his wife for the President. * * *

 

After viewing some of Elonis’s posts, his wife felt “extremely afraid for [her] life.”. A state court granted her a three-year protection-from-abuse order against Elonis (essentially, a restraining order).. Elonis referred to the order in another post on his “Tone Dougie” page[.]* * *

At the bottom of this post was a link to the Wikipedia article on “Freedom of speech.”

 

That same month, interspersed with posts about a movie Elonis liked and observations on a comedian’s social commentary, Elonis posted an entry [about a school shooting, which led to] FBI Agent Denise Stevens [creating] a Facebook account to monitor his online activity.After the post about a school shooting, Agent Stevens and her partner visited Elonis at his house. Following their visit, during which Elonis was polite but uncooperative, Elonis posted another [threatening] entry on his Facebook page, called “Little Agent Lady,” which led to Count Five[.] * * * 

B

A grand jury indicted Elonis for making threats to injure patrons and employees of the park, his estranged wife, police officers, a kindergarten class, and an FBI agent, all in violation of 18 U.S.C. § 875(c). In the District Court, Elonis moved to dismiss the indictment for failing to allege that he had intended to threaten anyone. The District Court denied the motion, holding that Third Circuit precedent required only that Elonis “intentionally made the communication, not that he intended to make a threat.” At trial, Elonis testified that his posts emulated the rap lyrics of the well-known performer Eminem, some of which involve fantasies about killing his ex-wife. In Elonis’s view, he had posted “nothing ... that hasn’t been said already.” The Government presented as witnesses Elonis’s wife and co-workers, all of whom said they felt afraid and viewed Elonis’s posts as serious threats.

 

Elonis requested a jury instruction that “the government must prove that he intended to communicate a true threat.” The District Court denied that request. The jury instructions instead informed the jury that

“A statement is a true threat when a defendant intentionally makes a statement in a context or under such circumstances wherein a reasonable person would foresee that the statement would be interpreted by those to whom the maker communicates the statement as a serious expression of an intention to inflict bodily injury or take the life of an individual.” 

The Government’s closing argument emphasized that it was irrelevant whether Elonis intended the postings to be threats—“it doesn’t matter what he thinks.” A jury convicted Elonis on four of the five counts against him, acquitting only on the charge of threatening park patrons and employees. Elonis was sentenced to three years, eight months’ imprisonment and three years’ supervised release.

 

Elonis renewed his challenge to the jury instructions in the Court of Appeals, contending that the jury should have been required to find that he intended his posts to be threats. The Court of Appeals disagreed, holding that the intent required by Section 875(c) is only the intent to communicate words that the defendant understands, and that a reasonable person would view as a threat. ***

 

*2008 We granted certiorari.

II

 

A

An individual who “transmits in interstate or foreign commerce any communication containing any threat to kidnap any person or any threat to injure the person of another” is guilty of a felony and faces up to five years’ imprisonment. 18 U.S.C. § 875(c) This statute requires that a communication be transmitted and that the communication contain a threat. It does not specify that the defendant must have any mental state with respect to these elements. In particular, it does not indicate whether the defendant must intend that his communication contain a threat.* * * 

B

The fact that the statute does not specify any required mental state, however, does not mean that none exists. We have repeatedly held that “mere omission from a criminal enactment of any mention of criminal intent” should not be read “as dispensing with it.” * * * This rule of construction reflects the basic principle that “wrongdoing must be conscious to be criminal.” . * * *The “central thought” is that a defendant must be “blameworthy in mind” before he can be found guilty, a concept courts have expressed over time through various terms such as mens rea, scienter, malice aforethought, guilty knowledge, and the like. ***We therefore generally “interpret [ ] criminal statutes to include broadly applicable scienter requirements, even where the statute by its terms does not contain them.” * * * 

 

This is not to say that a defendant must know that his conduct is illegal before he may be found guilty. The familiar maxim “ignorance of the law is no excuse” typically holds true. Instead, our cases have explained that a defendant generally must “know the facts that make his conduct fit the definition of the offense,” * * * even if he does not know that those facts give rise to a crime.

 

* * *

 

When interpreting federal criminal statutes that are silent on the required mental state, we read into the statute “only that mens rea which is necessary to separate wrongful conduct from ‘otherwise innocent conduct.’ ” * * *  In some cases, a general requirement that a defendant act knowingly is itself an adequate safeguard. * * *

*2011 C

[5] Section 875(c), as noted, requires proof that a communication was transmitted and that it contained a threat. * * * The parties agree that a defendant under Section 875(c) must know that he is transmitting a communication. But communicating something is not what makes the conduct “wrongful.” Here “the crucial element separating legal innocence from wrongful conduct” is the threatening nature of the communication. The mental state requirement must therefore apply to the fact that the communication contains a threat.

 

Elonis’s conviction, however, was premised solely on how his posts would be understood by a reasonable person. Such a “reasonable person” standard is a familiar feature of civil liability in tort law, but is inconsistent with “the conventional requirement for criminal conduct—awareness of some wrongdoing.” * * *. Having liability turn on whether a “reasonable person” regards the communication as a threat—regardless of what the defendant thinks—“reduces culpability on the all-important element of the crime to negligence * * * and we “have long been reluctant to infer that a negligence standard was intended in criminal statutes,” * * * Under these principles, “what [Elonis] thinks” does matter. 

 

The Government is at pains to characterize its position as something other than a negligence standard, emphasizing that its approach would require proof that a defendant “comprehended [the] contents and context” of the communication. * * * The Government gives two examples of individuals who, in its view, would lack this necessary mental state—a “foreigner, ignorant of the English language,” who would not know the meaning of the words at issue, or an individual mailing a sealed envelope without knowing its contents.But the fact that the Government would require a defendant to actually know the words of and circumstances surrounding a communication does not amount to a rejection of negligence. Criminal negligence standards often incorporate “the circumstances known” to a defendant. * * * Courts then ask, however, whether a reasonable person equipped with that knowledge, not the actual defendant, would have recognized the harmfulness of his conduct. That is precisely the Government’s position here: Elonis can be convicted, the Government contends, if he himself knew the contents and context of his posts, and a reasonable person would have recognized that the posts would be read as genuine threats. That is a negligence standard.

 

In support of its position the Government relies most heavily on Hamling v. United States, 418 U.S. 87, 94 S.Ct. 2887, 41 L.Ed.2d 590 (1974). In that case, the Court rejected the argument that individuals could be convicted of mailing obscene material only if they knew the “legal status of the materials” distributed. * * * Absolving a defendant of liability because he lacked the knowledge that the materials were legally obscene “would permit the defendant to avoid prosecution by simply claiming that he had not brushed up on the law.” * * *  It was instead enough for liability that “a defendant had knowledge of the contents of the materials he distributed, and that he knew the character and nature of the materials.” Ibid.

 

This holding does not help the Government. In fact, the Court in Hamling approved a state court’s conclusion that requiring a defendant to know the character of the material incorporated a “vital element of scienter” so that “not innocent but calculated purveyance of filth ... is exorcised.”  * * * In this case, “calculated purveyance” of a threat would require that Elonis know the threatening nature of his communication. Put simply, the mental state requirement the Court approved in Hamling turns on whether a defendant knew the character of what was sent, not simply its contents and context.

 

 

 Contrary to the dissent’s suggestion, see post, at 2019 – 2020, 2022 – 2023 (opinion of THOMAS, J.), nothing in Rosen v. United States, 161 U.S. 29, 16 S.Ct. 434, 40 L.Ed. 606 (1896), undermines this reading. The defendant’s contention in Rosen was that his indictment for mailing obscene material was invalid because it did not allege that he was aware of the contents of the mailing. * * *  That is not at issue here; there is no dispute that Elonis knew the words he communicated. The defendant also argued that he could not be convicted of mailing obscene material if he did not know that the material “could be properly or justly characterized as obscene.” * * * The Court correctly rejected this “ignorance of the law” defense; no such contention is at issue here. 

 

* * *

 

In light of the foregoing, Elonis’s conviction cannot stand. The jury was instructed that the Government need prove only that a reasonable person would regard Elonis’s communications as threats, and that was error. Federal criminal liability generally does not turn solely on the results of an act without considering the defendant’s mental state. That understanding “took deep and early root in American soil” and Congress left it intact here: Under Section 875(c), “wrongdoing must be conscious to be criminal.” 

 

There is no dispute that the mental state requirement in Section 875(c) is satisfied if the defendant transmits a communication for the purpose of issuing a threat, or with knowledge that the communication will be viewed as a threat. * * *

  

The judgment of the United States Court of Appeals for the Third Circuit is reversed, and the case is remanded for further proceedings consistent with this opinion.

 

It is so ordered.

 

* * *

Justice THOMAS, dissenting.

 

We granted certiorari to resolve a conflict in the lower courts over the appropriate mental state for threat prosecutions under 18 U.S.C. § 875(c). Save two, every Circuit to have considered the issue—11 in total—has held that this provision demands proof only of general intent, which here requires no more than that a defendant knew he transmitted a communication, knew the words used in that communication, and understood the ordinary meaning of those words in the relevant context. The outliers are the Ninth and Tenth Circuits, which have concluded that proof of an intent to threaten was necessary for conviction. Adopting the minority position, Elonis urges us to hold that § 875(c) and the First Amendment require proof of an intent to threaten. The Government in turn advocates a general-intent approach.

 

Rather than resolve the conflict, the Court casts aside the approach used in nine Circuits and leaves nothing in its place. Lower courts are thus left to guess at the appropriate mental state for § 875(c). All they know after today’s decision is that a requirement of general intent will not do. But they can safely infer that a majority of this Court would not adopt an intent-to-threaten requirement, as the opinion carefully leaves open the possibility that recklessness may be enough.

 

* * *

 

The only dispute in this case is about the state of mind necessary to convict Elonis for making those posts. On its face, § 875(c) does not demand any particular mental state. As the Court correctly explains, the word “threat” does not itself contain a mens rea requirement. See ante, at 2008 – 2009. But because we read criminal statutes “in light of the background rules of the common law, in which the requirement of some mens rea for a crime is firmly embedded,” we require “some indication of congressional intent, express or implied, ... to dispense with mens rea as an element of a crime.” * * * Absent such indicia, we ordinarily apply the “presumption in favor of scienter” to require only “proof of general intent—that is, that the defendant [must] posses[s] knowledge with respect to the actus reus of the crime.” * * *

 

Under this “conventional mens rea element,” “the defendant [must] know the facts that make his conduct illegal,” but he need not know that those facts make his conduct illegal. 

 

* * *

Applying ordinary rules of statutory construction, I would read § 875(c) to require proof of general intent. To “know the facts that make his conduct illegal” under § 875(c), a defendant must know that he transmitted a communication in interstate or foreign commerce that contained a threat. Knowing that the communication contains a “threat”—a serious expression of an intention to engage in unlawful physical violence—does not, however, require knowing that a jury will conclude that the communication contains a threat as a matter of law. Instead, like one who mails an “obscene” publication and is prosecuted under the federal obscenity statute, a defendant prosecuted under § 875(c) must know only the words used in that communication, along with their ordinary meaning in context.

 

* * * 

 

 

I respectfully dissent.

7.1.29 Notes and Questions - Elonis v. United States 7.1.29 Notes and Questions - Elonis v. United States

  1. Inchoate crimes and the internet. Consider this  section from  18 U.S.C. § 2261A(2)(A):

“Whoever with the intent to kill, injure, harass, or place under surveillance with the intent to kill, injure, harass, or intimidate, or cause substantial emotional distress to a person in another State * * * uses the mail, any interactive computer service, or any facility of interstate * * * commerce to engage in a course of conduct that causes substantial emotional distress to that person * * * shall be punished * * *”

Now consider the following fact pattern:

Otis was accused of harassment and intimidating conduct after sending defamatory, profanity-laden  texts and emails to his former girlfriend. He even went so far as to post some of these sentiments on Facebook and Twitter for others to see. 

Should this conduct be criminally prosecuted? Where is the line between protecting individuals from internet harassment and protecting First Amendment rights?

  1. Now, take this inquiry a step further. Consider the role that intent plays in the prosecution of inchoate crimes and then read the following passage from Kimberly Kessler Ferzan, Inchoate Crimes at the Prevention/ Punishment Divide, 48 San Diego L. Rev. 1273 (2011):

“The possession of burglar's tools is an example of a preparatory offense. Possession of burglar's tools is a crime, and yet at the time Alex possesses the tools, he has not formed the intention to use the tools illegally. Moreover, there is nothing harmful in the possession of these tools. The justifications for the law are that it allows early police intervention and eases prosecutorial burdens, not that it tracks retributive desert. The state creates new completed offenses, ultimately ignoring that they are mere preparatory steps towards the commission of the crime the state wishes to prevent. As Michael Moore notes,

The problem with . . . “wrongs by proxy” is that [they] give liberty a strong kick in the teeth right at the start. Such an argument does not even pretend that there is any culpability or wrongdoing for which it would urge punishment; rather, punishment of a non-wrongful, non-culpable action is used for purely preventive ends.

Paul Robinson has cautioned that the use of the criminal law for regulatory purposes undermines its moral strength. Moreover, because these offenses may include nonculpable conduct, they risk creating a chilling effect and deterring law-abiding citizens from engaging in permissible activities.”

7.1.30 State v. Kimbrough 7.1.30 State v. Kimbrough

Submitted February 9, 2016,

affirmed April 26,

petition for review allowed October 5, 2017 (362 Or 38)

STATE OF OREGON, Plaintiff-Respondent, v. DUSTIN KIMBROUGH, Defendant-Appellant.

Wasco County Circuit Court

1200238CR; A157030

395 P3d 950

Ernest G. Lannett, Chief Defender, Criminal Appellate Section, and Meredith Allen, Deputy Public Defender, Office of Public Defense Services, filed the brief for appellant.

Ellen F. Rosenblum, Attorney General, Paul L. Smith, Deputy Solicitor General, and Peenesh H. Shah, Assistant Attorney General, filed the brief for respondent.

Before Sercombe, Presiding Judge, and Tookey, Judge, and DeHoog, Judge.

*85TOOKEY, J.

Defendant appeals a judgment convicting him of nine crimes, contending that the trial court erred in denying his motion for judgment of acquittal and entering convictions on four counts of attempted aggravated murder (Counts 1 through 4), three counts of attempted murder (Counts 5 through 7), and two counts of tampering with a witness (Counts 15 and 16).1 Defendant argues that the trial court erred in denying his motion for judgment of acquittal on those counts, because defendant did not take a substantial step toward the commission of each of those crimes, and thus cannot be guilty of attempt. For the reasons that follow, we affirm.

In reviewing a trial court’s denial of a defendant’s motion for judgment of acquittal, “[w]e view the evidence in the light most favorable to the state to determine whether a rational trier of fact, making reasonable inferences, could have found the essential elements of the crime proved beyond a reasonable doubt.” State v. Hall, 327 Or 568, 570, 966 P2d 208 (1998).

Defendant was incarcerated pending prosecution on a burglary charge. Defendant became cellmates with another inmate, Crowley. Defendant told Crowley that defendant “wanted his witnesses [to his burglary case] to not show up to trial,” and that “he wanted people dead.” Specifically, defendant mentioned his father-in-law, brother-in-law, and the Wasco County District Attorney. Defendant asked Crowley whether Crowley knew of anyone who had killed a person before. Crowley responded, “Yeah, I have. I mean, I’ve been to prison. I mean, I know people that have killed people.” Defendant asked whether Crowley “could have somebody killed” and Crowley responded affirmatively. In fact, Crowley did not know of such a person. After hearing that Crowley “might know somebody that could *86do something,” defendant began “writing stuff,” including writing people’s names. Within hours, Crowley sent several inmate request forms to jail staff, asking to speak to detectives because “someone could get hurt.” Sergeant Birchfield visited Crowley, and Crowley told Birchfield what defendant had said.

When Crowley returned to his cell, defendant was writing a letter. According to Crowley, defendant “wrote out a couple letters, and he wanted to get it perfect. His detail about it had to be perfect.” When defendant finished writing the letter, he gave it to Crowley to read, then put the letter in an envelope, placed it underneath his mattress, and asked Crowley if he was a cop. The next morning, defendant gave Crowley the envelope. Defendant believed that Crowley would “put [the envelope in Crowley’s personal] property” and release it to someone outside the prison “so that a hit man could get it for [defendant] and take care of what he wanted [taken] care of.”2 The envelope contained a map of defendant’s father-in-law’s house and a letter stating:

“Dear stranger,
“I have a job for you. I need your help. There are three people I need taken care of. First one is my father-in-law. * * * Second is my brother-in-law. * * * The third is the D.A. (District Attorney). He is a piece of shit, and tears families apart. He is just as crooked as the cops in this town. * * * [My father-in-law] is leaving town October 15 for two [and a] half weeks. [Father-in-law] - Age 64 - address *** - health - bad - has had a [triple] bypass 15 years ago - takes handful of pills a day. (Dead) Net worth 150,000 to 200,000 dollars + life insurance policy. Not sure [of the] value.
“[Brother-in-law] - Age 36 - address - halfway house in Oregon or Washington/Life insurance 100,000 to 150,000. He is a recovering meth addict. Liked doing his meth through a [syringe]. (Dead)
“D.A. (District Attorney) - [first and last name] - Age 40s - (Dead) [Oregon State Bar Number].
*87“Witnesses in my and my wife’s Burg I case. I just want them threatened.
“1) [Witness’s name, address, telephone number, and date of birth]
“2) [Witness’s name, address, telephone number, and date of birth]
“There are three safes in the house. I want you to get the stuff out of the safe. You can hang on to the stuff in the safe until you are [paid]. * * *
“Stuff in safes: 1) guns 2) car titles/1968 Dodge Charger RT/value 150,000 easy 3) jewelry 4) life insurance 5) money.
“Final bill = 80.000 I will be paying you. [Father-in-law]- Natural death - heart attack. [Brother-in-law]- Drug OD. DA-Your choice.
“How I would like it to look.”

(Underscoring in original.) After giving Crowley the envelope with the letter, defendant repeatedly asked Crowley, “Are they coming yet? Are they coming yet? Is he going to do it yet? Why ain’t this done yet?”

Shortly thereafter, defendant and Crowley were placed in separate isolation cells across the hall from one another. Defendant and Crowley exchanged handwritten notes by using strings to fling cylinder-shaped papers into one another’s cells. Defendant wrote, “Any idea when dude is coming man? I decided I’m not going to let DA tear me and my family up.” Crowley responded, “I’ll give you his name [when] I get it then you can go to visit and give him the hit that way [you’re] face to face with the killer and he can talk to you and say what[’]s up.” Defendant wrote, “Ok that sounds good to me. Just got [to] let me know the day [and the] name so I can put the person on my visitors list.”

In another exchange, Crowley asked defendant whether defendant still wanted the district attorney killed even though the district attorney has a family. Defendant responded, “Hell yeah, I can deal with it. Remember toes *88pointing up to the clouds.” Crowley saved the notes that he received from defendant and gave them to jail staff.

Defendant was charged with four counts of attempted aggravated murder, three counts of attempted murder, four counts of solicitation of aggravated murder, three counts of solicitation of murder, and two counts of tampering with a witness. Defendant tried his case to the court. After the state rested, defendant moved for a judgment of acquittal as to the four counts of attempted aggravated murder, three counts of attempted murder, and two counts of tampering with a witness. Defendant argued that the state failed to present sufficient evidence that defendant engaged in conduct constituting a substantial step towards the commission of the charged crimes, as required by ORS 161.405. The trial court denied defendant’s motion for judgment of acquittal and found defendant guilty of the attempted aggravated murder, attempted murder, and tampering with a witness counts. As to the solicitation counts, the trial court found defendant guilty of attempted solicitation.

On appeal, defendant contends that the trial court erred by denying his motion for judgment of acquittal on the counts of attempted aggravated murder, attempted murder, and tampering with a witness. Defendant renews his argument that he did not take a substantial step toward the commission of the crimes of aggravated murder, murder, and tampering with a witness. According to defendant, he “did not meet with a purported ‘hit man,’ he did not engage in detailed planning, and he did not pay money or arrange to pay money,” and therefore his conduct was insufficient to satisfy the substantial step element of his attempt convictions and his convictions for tampering with a witness.3 Defendant contends that “ [h] is desire to meet with someone to make a plan is not a plan in itself, much less a substantial step toward the commission of the objective.” In response, the state argues that defendant’s conduct was “more than enough to amount to a substantial step.”

*89As noted above, our task is to determine “whether a rational trier of fact, making reasonable inferences, could have found the essential elements of the crime proved beyond a reasonable doubt.” Hall, 327 Or at 570. We begin with the text of ORS 161.405(1), which provides that “[a] person is guilty of an attempt to commit a crime when the person intentionally engages in conduct which constitutes a substantial step toward commission of the crime.” In State v. Walters, 311 Or 80, 85, 804 P2d 1164, cert den, 501 US 1209 (1991), the Supreme Court observed that “ORS 161.405 codifies the Model Penal Code’s ‘substantial step’ test for distinguishing acts of preparation from an attempt.” (Footnote omitted.)

To constitute a substantial step, a “defendant’s conduct must (1) advance the criminal purpose charged and (2) provide some verification of the existence of that purpose.” Id. “Under that standard, an attempt *** must be established by conduct that is corroborative of the actor’s criminal purpose.” State v. Carlton, 361 Or 29, 45, 388 P3d 1093 (2017). “[T]he same conduct may constitute a substantial step toward the commission of more than one charged crime, as long as that conduct strongly corroborates the actor’s criminal purpose underlying each charged crime.” Walters, 311 Or at 86 n 9. There is no special rule regarding whether a solicitation is also an attempt: “[U]nder Oregon law, ‘[s]olicitation *** qualifies as a “substantial step” if, under the facts, the defendant’s actions exceed mere preparation, advance the criminal purpose charged, and provide some verification of the existence of that purpose.’” State v. Badillo, 260 Or App 218, 223, 317 P3d 315 (2013) (quoting State v. Johnson, 202 Or App 478, 489, 123 P3d 304 (2005), rev den, 340 Or 158 (2006) (second brackets in Badillo)).

Viewing the evidence in the light most favorable to the state, we conclude that a reasonable factfinder could determine that defendant’s conduct constituted a substantial step toward the commission of the murders of his father-in-law, brother-in-law, and the Wasco County District Attorney. As recounted above, defendant told Crowley that he “wanted people dead,” specifically mentioning his father-in-law, brother-in-law, and the Wasco County District Attorney. *90Defendant then asked Crowley whether Crowley “could have somebody killed.” When Crowley answered in the affirmative, defendant carefully composed a letter to an unknown “hit man” that set out the details of his intended murders. Then, defendant gave the letter to Crowley for the purpose of delivering it to the purported hit man. Finally, defendant inquired of Crowley why the murders were not “done yet.” As the trial court explained,

“With regard to advancing the purpose, it’s very clear from the content of the letter that the Defendant gave great consideration to the details of the offenses. And had he just sat around and thought about that, * * * we’d have no offense here. But he did the next step of writing it all down. And then he went beyond that, delivering it to a third person with the intent that it be carried out, believing that that third person had a relationship with individuals that could carry it out. And he actively inquired about the progress of the events related to his letter.”

Defendant’s contention that his “desire to meet with someone to make a plan is not a plan in itself,” mischar-acterizes the evidence. Indeed, viewed in the light most favorable to the state, the evidence shows that defendant advanced his criminal purpose by seeking out a hit man, and writing and delivering the letter to Crowley, with the intention that Crowley deliver the letter to the hit man; as a result, defendant believed that the letter alone would result in the murders of his father-in-law, brother-in-law, and the district attorney. As the trial court noted, defendant’s letter provided detail with regards to whom he wanted killed, how be wanted them killed, and how the hit man would be compensated, and after delivering the letter to Crowley, defendant repeatedly asked why the murders had not taken place. To explain why the murders were not committed promptly, Crowley later told defendant that the hit man would visit defendant to finalize the details of the murders. Before that point, however, a trier of fact could find that defendant believed that the letter alone would cause the hit man to commit the murders; indeed, defendant’s actions exceeded mere preparation because defendant had done all that he could have done under the circumstances to cause the murders of his intended victims. See State v. Taylor, 47 Or 455, *91459, 84 P 82 (1906) (holding that the defendant’s actions exceeded mere preparation for purposes of attempt where “he had * * * done all that he was expected to do, and his felonious design and action was then just as complete as if the crime had been consummated” and that “failure to commit the crime was not due to any act of [the defendant], but to the insufficiency of the agencies employed for carrying out his criminal design”). Thus, defendant’s actions advanced his criminal purpose in having his father-in-law, brother-in-law, and the district attorney murdered. Moreover, a reasonable factfinder could also conclude that that same evidence of defendant’s conduct verified his criminal purpose. In that way, defendant’s conduct was corroborative of his criminal purpose.

The facts in this case are similar to the circumstances in Johnson. In that case, the defendant solicited a woman he met in a public Internet chat room to kill his wife and daughter. 202 Or App at 481. The defendant reaffirmed his desire during “at least one” telephone conversation with the woman. Id. at 482. The defendant “described his house plan and mentioned that the sliding glass doorway to his wife’s bedroom was not lockable. Further, he stated that it would be easy to continue down a hallway to shoot his daughter.” Id. “A quid pro quo was discussed; once the plan was completed, [the] defendant stated, [the woman] would ‘never want for anything.’” Id. Ultimately, the woman informed the police of the defendant’s conversation with her, and the defendant was convicted of various counts of attempted aggravated murder, attempted murder, solicitation to commit murder, and solicitation to commit aggravated murder. Id. at 482-83. On appeal, we concluded that the defendant’s conduct constituted a “substantial step” for the purposes of proving attempt because “ample evidence would permit a finding that [the] defendant solicited [the woman] to kill his wife and daughter. That solicitation, it could be concluded, served to advance defendant’s criminal purpose—murdering his wife and daughter.” Id. at 489.

Here, defendant’s conduct was similar to the defendant’s conduct in Johnson. It is immaterial that, there, the defendant successfully solicited the woman to kill his wife *92and daughter, whereas here, defendant’s attempt to solicit the hit man failed because the hit man did not exist. As defendant concedes, for purposes of attempt, it is not necessary that conduct constituting a substantial step actually be capable of causing the crime. See ORS 161.425 (“In a prosecution for an attempt, it is no defense that it was impossible to commit the crime which was the object of the attempt where the conduct engaged in by the actor would be a crime if the circumstances were as the actor believed them to be.”)4 Accordingly, the trial court did not err in concluding that defendant took a substantial step toward the crimes of attempted aggravated murder and attempted murder.

Similarly, as to the two counts of witness tampering, a reasonable factfinder could conclude that defendant’s conduct constituted a substantial step toward the commission of tampering with the witnesses to his burglary case. Defendant initially told Crowley that he “wanted his witnesses [to his burglary case] to not show up to trial.” In his letter to the hit man, defendant wrote that he wanted the two witnesses threatened. Following his instruction to threaten the witnesses, defendant included both of the witness’s names, addresses, telephone numbers, and dates of birth. As previously mentioned, the letter also contained information on how the hit man would be paid with the personal property stolen from defendant’s father-in-law’s home. A reasonable factfinder could conclude that defendant’s conduct in instructing the purported hit man to threaten the two witnesses, with the inclusion of specific identifying information about each of the witnesses, and a method of payment, both advanced and provided verification of his criminal purpose; in that way, defendant’s conduct was corroborative of his criminal purpose. Thus, the trial court did not err in concluding that defendant took a substantial step *93toward inducing the witnesses to offer false testimony or withhold testimony.

Accordingly, because a reasonable factfinder could conclude that defendant’s conduct constituted a substantial step toward the commission of aggravated murder, murder, and tampering with a witness, the trial court did not err in denying defendant’s motion for judgment of acquittal.

Affirmed.

SERCOMBE, P. J.,

concurring.

ORS 161.405(1) provides that “[a] person is guilty of an attempt to commit a crime when the person intentionally engages in conduct which constitutes a substantial step toward commission of the crime.” To constitute a “substantial step” toward the commission of a crime, “ah act must be strongly corroborative of the actor’s criminal purpose; that is, the actor’s conduct must (1) advance the criminal purpose charged; and (2) provide verification of the existence of that purpose.” State v. Carlton, 361 Or 29, 45, 388 P3d 1093 (2017). I agree with the majority that, under our case law, defendant’s actions in instructing a hypothetical hit man on the details of the crimes and the amount of compensation to be paid for commission of the crimes and delivering those instructions to a courier were a substantial step toward the commission of those crimes. See State v. Johnson, 202 Or App 478, 487-89, 123 P3d 304 (2005), rev den, 340 Or 158 (2006) (solicitation of crime as a substantial step); State v. Taylor, 47 Or 455, 459, 84 P 82 (1906) (mere preparation exceeded .when defendant had “done all that he was expected to do”).

I question whether this decision and our case law have pushed the substantial step line too far into the territory of conduct that is merely preparatory in nature. Even if actual solicitation of a crime can be a substantial step, how is an attempted solicitation equally substantial? It seems to me that conduct that advances a criminal purpose is conduct that makes the crimes more likely to occur. Defendant’s delivery of the letter to his cellmate did not make the crimes any more likely, even though the delivery corroborates defendant’s intent to commit the crimes.

*94The test that a defendant has “done all that he was expected to do” in determining whether a substantial step has been taken, while suggested by our precedents, should be re-examined and discarded, and the meaning of “advancing the criminal purpose charged” should be clarified.

7.2 Solicitation 7.2 Solicitation

7.2.1 State v. Mann 7.2.1 State v. Mann

STATE OF NORTH CAROLINA v. CHARLIE JOHNSON MANN

No. 755PA85

(Filed 2 July 1986)

1. Criminal Law g 4— solicitation to commit common law robbery — infamous crime

Solicitation to commit common law robbery is an infamous crime within the meaning of N.C.G.S. § 14-3; where a defendant has counseled, enticed, or induced another to commit as degrading an offense as theft from the person or presence of a victim by force or by putting him in fear, he has committed an act of depravity and a crime involving moral turpitude and has demonstrated that he has a mind fatally bent on mischief and a heart devoid of social duties.

2. Criminal Law g 122.2— failure to reach verdicts — additional instructions — verdict not coerced

The trial judge did not coerce a verdict in a prosecution for solicitation of common law robbery and conspiracy to commit robbery where the trial judge instructed the jury in accordance with N.C.G.S. § 15A-1235(b) when first informed that the jury had reached unanimous verdicts on all but one charge; *165defendant concedes that the judge’s instructions complied with the statute; the trial judge did not abuse its discretion or coerce a verdict by inquiring into the jury’s division; consideration of all the circumstances of the case reveals no reasonable ground to believe that the jury was misled; and there is not a reasonable probability that the trial judge’s actions or statements changed the result of the trial.

3. Criminal Law § 138.29— nonstatutory aggravating factor — set a course of criminal conduct in motion which resulted in other crimes — no error

The trial judge did not err when sentencing defendant for soliciting common law robbery by finding as a non-statutory aggravating factor that defendant set a course of criminal conduct in motion by his own actions which ultimately resulted in other crimes where the evidence was sufficient to establish by a preponderance of the evidence that defendant formed the original idea to rob the victim, that he masterminded the plan, and that he counselled and enticed others to rob the victim.

Justice Billings concurring.

On the State of North Carolina’s petition for discretionary review of the decision of the Court of Appeals, 77 N.C. App. 654, 335 S.E. 2d 772 (1985), which found no error in the trial of defendant before Hobgood, J., at the 30 April 1984 session of Superior Court, Alamance County, but remanded the case for resentencing. Heard in the Supreme Court 17 April 1986.

Lacy H. Thornburg, Attorney General, by Evelyn M. Coman, Assistant Attorney General, for the state.

Malcolm Ray Hunter, Jr., Appellate Defender, by David W. Dorey, Assistant Appellate Defender, for defendant.

MARTIN, Justice.

The primary issue raised on this appeal is one of first impression: whether solicitation to commit common law robbery is an infamous crime. We hold that it is and therefore reverse the decision of the Court of Appeals as to this issue.

At trial, the state’s evidence showed that Penelope Dawkins, the fiancee of Richard Lockamy, lived with Lockamy in a Mebane trailer park which was managed by codefendant Keith Barts. In September 1983, while visiting Lockamy’s sister, Penelope and Lockamy met defendant, Charlie Mann. Thereafter, Penelope and Lockamy would, about two to three times a week, help Mann with his sawmill, straighten up his yard, and clean his house. At some *166point, Mann told Lockamy that he knew Lockamy had a criminal record and that Lockamy and Penelope needed money. Penelope testified that Mann told them that he knew an elderly man in Snow Camp who carried large sums of money in his bib overalls and that “[h]e would be an easy man to rob. It would take two men to rob the man. The best thing to do would be to go to a shed and wait for him to come home and after he got out of his truck, rob him from there.” Lockamy told Mann he would think about it. Penelope testified that thereafter the subject came up three or four times a week. Mann would ask Lockamy if he had thought about it, and Lockamy would respond that he had, but that “he hadn’t done anything about it. And, Mr. Mann kept telling him that if he didn’t do it himself, . . . that he would find somebody else to do it or he would do it.” About a week later, Mann picked up Lockamy at his trailer one morning in order to show him where the intended victim, Richard Braxton, lived.

Sometime later, it was discovered that Mann knew Keith Barts. About a week later, Barts told Penelope and Lockamy that he had known Mann for several years and that Mann “had set him up on three jobs,” and he told Penelope and Lockamy “of the jobs he pulled off.” Barts also said “[t]hat the set-up, the job in the country sounded like a good lick.” Then, one Monday night approximately two weeks before Braxton was killed, Lockamy, Barts, and John David “Fireball” Holmes rode to Braxton’s home planning to rob the old man. Their plan was thwarted when they saw Braxton’s son or grandson was with him.

On 20 November 1983, Barts arrived at Penelope’s trailer. He told Lockamy, “I did that job last night. . . . The job in the country, but I think I killed the man.” Barts went on to say that he had gone to the old man’s house, hidden in the shed, and waited for him to come home. When the old man arrived home, Barts jumped him and began beating him. Barts said, “I beat the old . . . until I got plumb tired of beating him. ... I beat him until he quit moving. The whole time the old man screamed, ‘Oh, God, you’re gonna kill me.’ ” Barts said that the old man was strong and that when he “bucked” on him and hit Barts in the back with something, Barts got mad. Barts then said that the only way to know if he had actually killed the man would be to read about it in the newspaper.

*167In exchange for his testimony for the state, as well as for his guilty pleas to conspiracy to commit robbery and armed robbery, all other charges against Richard Lockamy were dismissed. Lockamy substantially corroborated Penelope’s testimony, saying that Mann had told him he probably could tie Braxton up with a rope and wouldn’t have to use any weapons to get the money. Mann also told Lockamy what he considered to be “the best way to do the job.” Lockamy testified that Mann “was very persistent about someone doing the job.” Mann was “interested in some of the merchandise out of [Braxton’s] home or either a thousand dollars.” Mann said Braxton often carried with him $10,000 to $15,000 at a time. Mann also told Lockamy he had previously set up a burglary job for Keith Barts, who went on to actually commit that burglary. After the robbery and killing of Braxton, Barts told Lockamy that he had broken into Braxton’s house “and messed it up quite a bit” and that he had also broken into the tool shed. Barts admitted he’d beat Braxton with a hammer and “some type of tool.”

“Fireball” Holmes testified that on 19 November 1983, he drove Earl and Keith Barts to Braxton’s house, arriving there at about 8:00 p.m. When they left the car, Keith had a baseball bat and a crowbar, and Earl had Holmes’ .25-caliber automatic pistol and a rubber hubcap hammer. Holmes drove the car to a bridge some distance away and waited. About thirty minutes later, Holmes drove into Braxton’s driveway and encountered Earl, who was carrying the baseball bat, a .22-caliber revolver which they had found in Braxton’s house, and some brass knuckles. Braxton had not yet come home, so Holmes returned in the car to the bridge. About one and a half to two hours later, Keith and Earl came barrelling down the road in Braxton’s pickup truck. Keith said they had had to beat the old man. After arriving at Earl’s trailer, the three men split up the money, each taking approximately $1,000.

Written statements given by Keith Barts, Penelope Dawkins, and Richard Lockamy to SBI agent Terry Johnson, substantially corroborating the trial testimony of Dawkins, Lockamy, and Holmes, were read into evidence. However, Keith’s statement indicated that Earl Barts, not he, had killed Mr. Braxton.

*168The assistant chief medical examiner testified that he performed an autopsy on the body of seventy-four-year-old Richard Braxton. Dr. Anthony testified that Braxton had at least six large open cuts on his left forehead which all ran together; both eyes were blackened; there were bruises on his face and chest; defensive wounds were present on his right hand; numerous other small cuts and abrasions were present, and bruises on the body “were so numerous we didn’t actually count or quantitate them.” Dr. Anthony said that the blows to the outside of the scalp broke skull bones, fragments of which had been driven into the brain, and in his opinion, Braxton died as a result of blunt trauma to the head. Dr. Anthony also testified that death was not instantaneous and that Braxton probably lived “for a period of time” after the blows were struck.

Defendant took the stand at trial and denied ever having asked either Penelope Dawkins or Richard Lockamy to rob Mr. Braxton. He said that he had known Richard Braxton all his life, that Braxton was his friend, and that Braxton’s name had been mentioned in conversations with Lockamy and Penelope only because the couple desperately needed money and Lockamy had asked Mann’s sister about the possibility of his doing some painting for Mr. Braxton.

Defendant offered the testimony of several witnesses who testified as to his good character. He also offered the testimony of Hasan Abdus Sabr, one of Lockamy’s former cellmates, to the effect that Lockamy and Penelope, not defendant, had originated the plan to rob Richard Braxton and that Lockamy had told him that Charlie Mann did not know anything about robbing Braxton. Sabr later shared a cell with defendant for a day and a half, but said he had no conversation with Mann about what Lockamy had said.

The jury returned verdicts of guilty of soliciting Richard Lockamy to commit common law robbery of Richard Braxton, not guilty of solicitation of Penelope Dawkins to commit common law robbery, not guilty of conspiracy to commit robbery with a dangerous weapon, and not guilty of feloniously conspiring with Richard Lockamy to commit robbery with a dangerous weapon or common law robbery of Richard Braxton. Defendant was sen*169tenced to imprisonment for seven years for conviction of a Class H felony under N.C.G.S. § 14-3(b).

Defendant appealed to the Court of Appeals, which found no error in defendant’s trial but remanded the case for resentencing of defendant as a misdemeanant. We granted the State of North Carolina’s petition for discretionary review.

I.

[1] It is well established that solicitation of another to commit a felony is a crime in North Carolina. State v. Furr, 292 N.C. 711, 235 S.E. 2d 193, cert. denied, 434 U.S. 924 (1977); State v. Hampton, 210 N.C. 283, 186 S.E. 251 (1936). This is true even though the solicitation is of no effect and the crime solicited is never committed. Id. It has been recognized at common law since at least Rex v. Higgins, 2 East 5, 102 Eng. Rep. 269 (1801) (solicitation to commit sodomy). It is an indictable offense under the common law of North Carolina. N.C.G.S. § 4-1 (1981). There is no question that common law robbery is a felony, State v. Smith, 305 N.C. 691, 292 S.E. 2d 264, cert. denied, 459 U.S. 1056 (1982); State v. Black, 286 N.C. 191, 209 S.E. 2d 458 (1974); State v. Norris, 264 N.C. 470, 141 S.E. 2d 869 (1965); nor is there any doubt that common law robbery itself is an infamous crime, State v. McNeely, 244 N.C. 737, 94 S.E. 2d 853 (1956); Arnold v. United States, 94 F. 2d 499, 506 (10th Cir. 1938); Stephens v. Toomey, 51 Cal. 2d 864, 338 P. 2d 182 (1959); Cousins v. State, 230 Md. 2, 185 A. 2d 488 (1962), as is an attempt to commit the felony of common law robbery, State v. McNeely, 244 N.C. 737, 94 S.E. 2d 853; State v. Best, 11 N.C. App. 286, 181 S.E. 2d 138, cert. denied, 279 N.C. 350 (1971). In order to determine whether defendant in this case is to be punished as a misdemeanant or as a felon, we must now decide whether solicitation of another to commit common law robbery is an infamous crime within the meaning of N.C.G.S. § 14-3.1

N.C.G.S. § 14-3, entitled “Punishment of misdemeanors, infamous offenses, offenses committed in secrecy and malice or with deceit and intent to defraud,” provides, in pertinent part:

(b) If a misdemeanor offense as to which no specific punishment is prescribed be infamous, done in secrecy and *170malice, or with deceit and intent to defraud, the offender shall, except where the offense is a conspiracy to commit a misdemeanor, be guilty of a Class H felony.

N.C.G.S. § 14-3(b) (1981).

N.C.G.S. § 14-3 has remained basically unchanged since 1927. This Court held, in determining that an attempt to commit burglary was punishable under the statute, that if the crime was “infamous,” or is one “done in secrecy and malice,” or is committed “with deceit and intent to defraud,” falling into any one of these categories, it is a felony under N.C.G.S. § 14-3 and punishable as prescribed therein. State v. Surles, 230 N.C. 272, 52 S.E. 2d 880 (1949). Thus, if solicitation to commit the crime 9f common law robbery falls into either of the three categories set out in N.C.G.S. § 14-3, it is punishable under it.

A crime is “infamous” within the meaning of the statute if it is an act of depravity, involves moral turpitude, and reveals a heart devoid of social duties and a mind fatally bent on mischief, Surles, 230 N.C. at 277, 52 S.E. 2d at 883. Other courts, using a similar test, look to the crime to determine whether it “shows such depravity in the perpetrator ... as to create a violent presumption against his truthfulness under oath.” King v. State, 17 Fla. 183, 185-86 (1879); see Sylvester v. State, 71 Ala. 17 (1881) (citing 1 Bishop on Criminal Law § 974 (1923)); Smith v. State, 129 Ala. 89, 29 So. 699 (1900). As the court stated in Grievance Committee v. Broder, 112 Conn. 269, 275, 152 A. 292, 294 (1930):

In Drazen v. New Haven Taxicab Co., 95 Conn. 500, 506, 508, 111 Atl. 861, we define infamous crimes to be those “whose commission involves an inherent baseness and which are in conflict with those moral attributes upon which the relations of life are based. . . . They are said to be those which involve moral turpitude. ... It [the infamous crime] includes anything done contrary to justice, honest, modesty, or good morals. . . .
We define this term again in Kurtz v. Farrington, 104 Conn. 257, at page 262, 132 Atl. 540: “Generally speaking . . . moral turpitude involves an act of inherent baseness in the private, social, or public duties which one owes to his fellowmen or to society, or to his country, her institutions and her government.”

*171Which offenses are considered infamous are affected by changes in public opinion from one age to another, Mackin v. United States, 117 U.S. 348, 29 L.Ed. 909 (1886); Ex parte Wilson, 114 U.S. 417, 29 L.Ed. 89 (1885); State v. Surles, 230 N.C. 272, 52 S.E. 2d 880, and the totality of circumstances must be examined in each case before a determination can be made that a specific crime is “infamous.” Accord State ex rel. Wier v. Peterson, 369 A. 2d 1076, 1079 (Del. 1976). Further, “[i]n determining whether an offense is ‘infamous,’ state courts exercise independent judgment and are not bound by decisions of federal courts as to nature of crimes against federal government.” United States v. Carrollo, 30 F. Supp. 3, 6 (D. Mo. 1939).

In determining whether the offense for which defendant was convicted in this case is infamous, we must, then, look to the nature of the offense being solicited. Our courts in prior cases have followed this analysis and concluded that solicitation to murder is an infamous crime, State v. Furr, 292 N.C. 711, 235 S.E. 2d 193; see United States v. MacCloskey, 682 F. 2d 468 (4th Cir. 1982), and that solicitation to commit perjury is an infamous offense, State v. Huff, 56 N.C. App. 721, 289 S.E. 2d 604, disc. rev. denied, 306 N.C. 389 (1982). The Court of Appeals has held, at the other end of the spectrum, that solicitation to commit crime against nature is not infamous. State v. Tyner, 50 N.C. App. 206, 272 S.E. 2d 626 (1980), disc. rev. denied, 302 N.C. 633 (1981). Solicitation to commit common law robbery lies somewhere between these opposite poles.

Solicitation involves the asking, enticing, inducing, or counselling of another to commit a crime. State v. Furr, 292 N.C. 711, 235 S.E. 2d 193. The solicitor conceives the criminal idea and furthers its commission via another person by suggesting to, inducing, or manipulating that person. As noted by Wechsler, Jones, and Korn in The Treatment of Inchoate Crimes in the Model Penal Code of the American Law Institute: Attempt, Solicitation and Conspiracy, 61 Colum. L. Rev. 571, 621-22 (1961), “the solicitor, working his will through one or more agents, manifests an approach to crime more intelligent and masterful than the efforts of his hireling,” and a solicitation, “an attempt to conspire,” may well be more dangerous than an attempt. Indeed, a solicitor may be more dangerous than a conspirator; a conspirator may merely passively agree to a criminal scheme, while the solicitor *172plans, schemes, suggests, encourages, and incites the solicitation. Further, the solicitor is morally more culpable than a conspirator; he keeps himself from being at risk, hiding behind the actor, as occurred in this case.

Common law robbery, the solicitation of which defendant here was convicted, is the felonious taking of money or goods of any value from the person of another, or in his presence, against his will, by violence or putting him in fear. State v. Black, 286 N.C. 191, 209 S.E. 2d 458 (1974); State v. Norris, 264 N.C. 470, 141 S.E. 2d 869 (1965); State v. Stewart, 255 N.C. 571, 122 S.E. 2d 355 (1961). It is a crime against the person, effectuated by violence or intimidation. State v. Rivens, 299 N.C. 385, 261 S.E. 2d 867 (1980); State v. Smith, 268 N.C. 167, 150 S.E. 2d 194 (1966). Where a defendant has counselled, enticed, or induced another to commit as degrading an offense as theft from the person or presence of a victim by force or violence by putting him in fear, he has committed an act of depravity and a crime involving moral turpitude and has demonstrated that he has a mind fatally bent on mischief and a heart devoid of social duties. It is an infamous crime within the meaning of N.C.G.S. § 14-3 and defendant should be subject to punishment as a felon instead of as a misdemeanant.

We therefore hold that solicitation to commit common law robbery is an infamous crime within the meaning of N.C.G.S. § 14-3. Our extensive research of case and statutory law throughout the nation has revealed no result to the contrary.

II.

[2] Defendant next assigns as error certain of the trial court’s actions and statements to the jury during deliberations, alleging that the trial court coerced a verdict in defendant’s case.

Defendant’s trial lasted twenty-one days; the trial transcript totals 3,236 pages. On 21 May 1984, the trial judge gave his charge to the jury and told the jurors:

I instruct you that a verdict is not a verdict until all twelve jurors agree unanimously as to what your decision shall be. You may not render a verdict by majority vote. You will have a duty to consult with one another and to deliberate with a view to reaching an agreement if it can be done without violence to individual judgment.
*173Each of you must decide the cases for yourselves, but only after an impartial consideration of the evidence with your fellow jurors. In the course of deliberations, each of you should not hesitate to re-examine your own views and change your opinion if it is erroneous, but none of you should surrender your honest convictions as to the weight or effect of the evidence solely because of the opinion of your fellow jurors, or for the mere purpose of returning a verdict.

The jury then retired to the jury room but not to deliberate. After hearing arguments of counsel, the trial judge called the jury back in, gave it further instructions, and sent the jurors to lunch at 12:30 p.m. At 2:00 p.m., court reconvened and the trial judge sent the jury to the jury room at 2:05 to begin deliberations. At 2:30, the jury sent a request for additional instructions as to the elements of each charge and “the steps necessary for conviction of each charge.” The judge so instructed, the jury again retired at 2:55, and defendant renewed his objection to the charge of felonious conspiracy to commit common law robbery. The jury deliberated until 5:02 p.m., and the court recessed for the evening. At 9:35 a.m. on 22 May, the jury resumed deliberations. Court went into recess at 5:31 p.m., at which time the jurors had not reached a verdict as to all charges. On 23 May, the jury continued its deliberations, beginning at 9:35 a.m. At 10:38 a.m., the jury told the trial court it had reached a unanimous verdict on all but the charge of soliciting Richard Lockamy to commit robbery, and the trial judge thereupon instructed the jury:

With respect to that case, your foreman informs me that you have so far been unable to agree upon a verdict. The Court wants to emphasize the fact that it is your duty to do whatever you can to reach a verdict. You should reason the matter over together as reasonable men and women and to reconcile your difference if you can, without the surrender of conscientious convictions, but no juror should surrender his or her conscientious conviction as to the weight or effect of the evidence, solely because of the opinion of his fellow juror, or for the mere purpose of returning a verdict.
A verdict is not a verdict until all twelve jurors agree unanimously as to what your decision shall be. You may not render a verdict by majority vote. You all have a duty to con-*174suit with one another and to deliberate with a duty to reaching an agreement if it can be done without violence to individual judgment.
Each of you must decide the case for yourselves, but only after an impartial consideration of the evidence with your fellow jurors. In the course of deliberations, each of you should not hesitate to re-examine your own view and change your opinion if it is erroneous, but none of you should surrender your honest convictions to the weight or effect of the evidence, solely because of the opinion of your fellow jurors, or for the mere purpose of returning a verdict.
At this time I’ll let you resume your deliberations and see if you can reach a verdict in that case that the foreman has mentioned to me.

At 11:16, the jury asked the trial judge to again “define the elements needed with respect to solicitation and the definition of intent with respect to that file number.” The trial judge complied with its request. The jury resumed its deliberations at 11:40 a.m. At 12:35 p.m., the jury returned to the courtroom before its lunch recess. At that time, it sent a note to the trial judge saying: “The jury is unable to reach a unanimous verdict with respect to file number 84-CRS-4858 only.” The trial judge thereupon asked, “Without telling me how you are voting in that file number, can you tell me the numerical split for the jury?” The jury foreman replied that the last vote was eight-to-four, and the trial judge sent the jury to lunch. When the jurors returned at 2:00, the trial judge asked them to go back into the jury room “and discuss the evidence in this case once again and deliberate and to see if you can reach a verdict as to this particular case.” The jury went to resume deliberations at 2:03 and returned at 3:00 with a verdict. The jury submitted the ten verdict sheets, and each and every juror raised his or her right hand to confirm agreement with the trial judge’s reiteration of the verdicts in each case. Following this procedure, the defense attorney asked the trial judge to poll the jury on the solicitation of Lockamy to commit robbery charge, and the jury was polled. Each juror affirmed his or her assent to the guilty verdict.

Defendant contends that the trial court coerced the jury by, among other things, requesting that it resume its deliberations at *1752:00 on 23 May without once more instructing the jurors at the time of his request that none of them had to give up their convictions in reaching a verdict. “[T]he actions and statements of the trial court, when viewed within the totality of the circumstances,” defendant alleges, “were such that a reasonable juror could not help but feel required to surrender his individual convictions in order to reach a unanimous verdict.” Defendant argues that the trial court’s inquiring as to the numerical split and sending the jurors back for further deliberations without reinstructing them not to abandon their convictions “might easily have been construed as a refusal, on the court’s part, to accept anything less then [sic] a unanimous verdict.” This, defendant maintains, violated the well-settled prohibition against a trial judge’s coercing a jury into reaching a verdict. State v. Lipfird, 302 N.C. 391, 276 S.E. 2d 161 (1981); State v. Alston, 294 N.C. 577, 243 S.E. 2d 354 (1978); State v. Roberts, 270 N.C. 449, 154 S.E. 2d 536 (1967). We disagree.

When the jury first informed the court it had reached unanimous verdicts on all but one charge but had not reached a verdict in case number 84-CVS-4858, the trial court instructed the jury in accordance with N.C.G.S. § 15A-1235(b). N.C.G.S. § 15A-1235(b) provides:

(b) Before the jury retires for deliberation, the judge may give an instruction which informs the jury that:
(1) Jurors have a duty to consult with one another and to deliberate with a view to reaching an agreement, if it can be done without violence to individual judgment;
(2) Each juror must decide the case for himself, but only after an impartial consideration of the evidence with his fellow jurors;
(3) In the course of deliberations, a juror should not hesitate to reexamine his own views and change his opinion if convinced it is erroneous; and
(4) No juror should surrender his honest conviction as to the weight or effect of the evidence solely because of the opinion of his fellow jurors, or for the mere purpose of returning a verdict.

*176Defendant concedes that the trial judge’s instructions complied with the statute. Further, the trial court did not coerce a verdict by his inquiry as to the jury’s division. The making of such inquiry lies within the sound discretion of the trial judge. State v. Easterling, 300 N.C. 594, 268 S.E. 2d 800 (1980); State v. Jeffries, 57 N.C. App. 416, 291 S.E. 2d 859, cert. denied & appeal dismissed, 306 N.C. 561 (1982); see generally Annot. Dissenting Jurors — Instructions, 97 A.L.R. 3d 96 (1980 & Supp. 1985). We find no abuse of that discretion. Our consideration of all the circumstances in this case surrounding the trial judge’s instructions reveals no reasonable ground to believe that the jury was misled, and we do not perceive a reasonable probability that the trial judge’s actions or statements changed the result of the trial. State v. Alston, 294 N.C. 577, 243 S.E. 2d 354. The trial court’s charge to the jury on the matter of further deliberations was proper under the circumstances and without prejudice to defendant. Accordingly, this assignment of error is overruled.

[3] Last, defendant assigns as error the trial court’s finding as a factor in aggravation that defendant set a course of criminal conduct in motion by his own actions which ultimately resulted in other crimes.

At the close of all the evidence, the trial court dismissed the charges against defendant of murder in the first degree, burglary in the second degree, felonious breaking or entering, and robbery with a dangerous weapon. The jury returned verdicts of not guilty of the solicitation of Penelope Dawkins to commit common law robbery and of conspiracy to commit armed robbery. At defendant’s sentencing hearing on the convictions of soliciting Lockamy to commit common law robbery, the trial judge found as a nonstatutory factor in aggravation of punishment that

[t]he defendant set a course of criminal conduct in motion by his own actions which ultimately resulted in the robbery with a dangerous weapon and death of Richard Braxton and the second degree burglary of his dwelling, the felonious breaking or entering of his storage shed, the felonious larceny of his truck and the taking of a large amount of cash money from his person.

Defendant contends that because all of the offenses for which this factor purports to hold defendant responsible were dismissed or *177resulted in acquittals, the factor is not reasonably related to sentencing under N.C.G.S. § 15A-1340. State v. Medlin, 62 N.C. App. 251, 302 S.E. 2d 483 (1983). He further argues that the finding of the factor was not supported by a preponderance of the evidence and violated the prohibition of N.C.G.S. § 15A-1340.4 (a)(l)(o). This statute proscribes as an aggravating factor the use of convictions for offenses joinable under Chapter 15A of the General Statutes of North Carolina with the crime for which a defendant is being sentenced. State v. Lattimore, 310 N.C. 295, 311 S.E. 2d 876 (1984).

A preponderance of the evidence is sufficient to prove an aggravating factor supporting a sentence in excess of the presumptive term. State v. Ahearn, 307 N.C. 584, 300 S.E. 2d 689 (1983); State v. Robinson, 73 N.C. App. 238, 326 S.E. 2d 86 (1985). Here, both Richard Lockamy and Penelope Dawkins testified that defendant formed the original idea to rob Richard Braxton, that he masterminded the plan, and that he counselled and enticed others to rob Mr. Braxton. Defendant thereby set in motion a course of criminal conduct that resulted in the crimes of murder, burglary in the second degree, felonious breaking or entering, and felonious larceny of a truck. This evidence was properly considered by the trial court during sentencing and was sufficient to establish by a preponderance of the evidence that defendant set this course of criminal conduct into motion by his own actions.

Lattimore is inapposite because that case involved the aggravation of the defendant’s sentence based on a joinable offense for which the defendant had been convicted. Here, the court properly considered evidence in support of an aggravating circumstance which supported crimes of which defendant was charged and tried but which were dismissed. State v. Abee, 308 N.C. 379, 302 S.E. 2d 230 (1983). This assignment of error is overruled.

We find no error in defendant’s trial or sentence. Accordingly, that part of the decision of the Court of Appeals finding no error in the trial of this case is affirmed; the order of remand to the superior court for resentencing of defendant as a misdemeanant is reversed.

Affirmed in part; reversed in part.

*178Justice Billings

Because of a long line of cases since this Court’s decision in State v. Surles, 230 N.C. 272, 52 S.E. 2d 880 (1949) and the failure of the General Assembly to amend or repeal N.C.G.S. § 14-3, I feel compelled to concur in the Court’s interpretation of the term “infamous crime” as used in N.C.G.S. § 14-3. However, for all of the reasons expressed by Justice Ervin in his dissenting opinion in Surles, I believe that the interpretation given to that term by the majority in Surles was contrary to the meaning of infamous crime at the time of the original enactment of the statute and that the common law definition was intended. At common law, infamous crimes constituted a fairly clearly-identified group of offenses.

As construed, however, the statute allows the Court to determine what general misdemeanors are to be treated as felonies based upon our perception of the degree of depravity involved in the commission of the offense. It seems to me that this makes it impossible for anyone to anticipate the scope of application of the statute. As the result of today’s decision, we know that solicitation to murder is an infamous crime but that solicitation to commit crime against nature may be “at the other end of the spectrum” 317 N.C. 164, 171, 345 S.E. 2d 365, 369, and not infamous. Apparently, anything in between is potentially covered by the statute.

Justice Martin notes in the Court’s opinion that the defendant has not made a challenge to the constitutionality of N.C.G.S. § 14-3, and, appropriately, the Court has not addressed that issue. I write separately not so much to suggest the unconstitutional vagueness of the statute as to suggest to the General Assembly that some legislative limitation on the scope of the statute as construed in Surles would seem appropriate.

7.2.2 U.S. v. Church 7.2.2 U.S. v. Church

29 M.J. 679

UNITED STATES

v.

Senior Airman William M. CHURCH, FR United States Air Force.

ACM 27324.

U.S. Air Force Court of Military Review.

Sentence Adjudged 16 Sept. 1988.

Decided 26 Oct. 1989.

Accused, a senior airman in the United States Air Force, Was convicted by general court-martial convened at Grand Forks Air Force Base, North Dakota, Stephen R. Bloss, J., of attempted premeditated murder of his wife, and he appealed. The United States Air Force Court of Military Review, Blommers, J., held that evidence supported conviction, although person whom accused attempted to hire to kill wife was undercover agent and accused argued that his conduct never passed threshold from mere preparation or solicitation to attempt to commit offense because there was no dangerous proximity to success of planned murder.

Affirmed.

1. Military Justice

There can be no conspiracy when supposed participant merely feigns acquiescence in criminal venture to secure another’s detection and apprehension by proper authorities.

2. Military Justice

Evidence supported accused’s conviction for attempted premeditated murder of his Wife, although person he attempted to hire to kill Wife was undercover agent and it was claimed accused’s conduct never passed threshold from mere preparation or solicitation to attempt to commit offense because there was no dangerous proximity to success of planned murder; accused obtained services of purported hit man to murder his wife, participated in detailed planning of intended crime, and paid agreed-upon consideration before crime and after he was apprised that crime had occurred. UCMJ, Art. 80, 10 U.S.C.A. § 880; MCM 1984, Pt. IV, H4, subd. c.

3. Military Justice

Variances between attempted murder specification, which alleged that crime occurred at particular Air Force base and alleged dates on or about 25-26 April, and proof of meeting between accused and undercover agent posing as hit man 78 miles from where -base was located and on 22 April, were not fatal variances; companion attempted conspiracy charge that was dismissed alleged offense occurring between 19-22 April at both air base and town in which meeting took place, so accused was not misled so as to affect his ability to adequately prepare for trial and would be fully protected against another prosecution for the same offense.

Appellate Counsel for the Appellant: Colonel Richard F. O'Hair and Major Lynne H. Wetzell.

Appellate Counsel for the United States: Colonel Joe R. Lamport, Lieutenant Colonel Robert E. Giovagnoni and Captain Morris D. Davis.

Before LEWIS, BLOMMERS and KASTL, Appellate Military Judges.

Decision

 

BLOMMERS, Judge:

[1] Before a general court-martial with members, the appellant, contrary to his pleas, was found guilty of the attempted premeditated murder of his wife in violation of Article 80, UCMJ, 10 U.S.C. 880.[1] His sentence, as adjudged and approved, extends to a dishonorable discharge, confinement for ten years, forfeiture of all pay and allowances; and reduction to airman basic (E-1). The principal issue raised before us is framed by appellate counsel as follows:

WHETHER THE MILITARY JUDGE ERRED IN DENYING TRIAL DEFENSE COUNSEL’S MOTION FOR A FINDING OF NOT GUILTY OF THE CHARGE AND SPECIFICATION OF ATTEMPTED PREMEDITATED MURDER, AS THE EVIDENCE FAILED TO SHOW ANY ACTS ON THE PART OF THE APPELLANT BEYOND MERE PREPARATION, NOR THAT ANY ACT OF THE APPELLANT TENDED TO EFFECT THE COMMISSION OF THE INTENDED OFFENSE.

 

Simply stated, it is asserted that the evidence is not sufficient to support findings of guilty of attempted murder. We disagree and affirm. Article 66(c), UCMJ, 10 U.S.C. 866(c); United States v. Turner, 25 M.J. 324 (C.M.A.1987).

This case involves contracting out for the commission of a crime. As appellate counsel note, the facts of this case present an issue of first impression for the military appellate courts in applying principles of law relating to “attempt" crimes. The specification in question alleges that the appellant “did, at Grand Forks Air Force Base, North Dakota, from on or about 25 April 1988 to on or about 26 April 1988, attempt to, with premeditation, murder [his wife] by procuring, assisting, and counseling Nicholas J. Karnezis to commit, for payment in United States currency, the premeditated murder of the said [wife]." In order to be found guilty of an attempt, the evidence must establish “a specific intent to commit the offense accompanied by an overt act which directly tends to accomplish the unlawful purpose.” MCM, Part IV, para. 4c(1) (1984). The act in question must amount to more than mere preparation to commit the offense.[2] A solicitation to commit an offense in violation of Article 134, UCMJ, 10 U.S.C. 934, on the other hand, is committed if one counsels or advises another to commit an offense with the specific intent that the offense solicited be committed. No overt act directly tending to accomplish the unlawful purpose is required. During oral argument, appellate defense counsel conceded that the appellant is guilty of soliciting another to commit murder, but argued forcefully that he was not guilty of attempted murder because no act beyond mere preparation was proven.[3] To resolve this matter, it will be necessary to review the evidence of record in some detail.

Facts

 

The appellant and his wife were married in 1985, and a son was born of this union about a year later. In 1987, they experienced marital difficulties which eventually led to their separation. By an order dated 5 October 1987, the local district court awarded custody of the child to the appellant’s wife, and shortly thereafter she returned with the child to her home in Michigan. The appellant loved his son and desired to regain custody of him, but began to realize it was unlikely he would be able to do so through the courts.

Sometime between Thanksgiving and Christmas of 1987, the appellant, a security policeman, asked Senior Airman Mohon, a former co-worker, if he knew anyone the appellant could hire to kill his wife. Mohon did not take the appellant seriously. Sometime January 1988, Senior Airman Kowalkowski, a co-worker, and the appellant were talking about the appellants, marital difficulties, and the appellant commented that he would be better off if was dead. Shortly thereafter, during another conversation, the appellant asked Kowalkowski if he had any friends from a big city. Kowalkowski did not take the appellant seriously either.

On about 31 March 1988, Airman Meyer, another co-worker, was talking with the appellant in the hallway of their dormitory. The appellant said that since. Meyer was from a big city, he wondered if Meyer knew anybody who could do a job for him. Knowing the appellant’s family situation, Meyer believed the appellant was talking about getting someone to kill his wife so he could regain custody of his son. Meyer replied that he would check around and make some calls, but really did not take the appellant seriously. A couple of days later, he made one call to a friend back in New York in the appellant’s presence. He asked his friend, “Do you know anybody that you could find to eliminate this guy’s wife so he can get custody of his kid?” The appellant gave no indication he had just been kidding around or joking when Meyer asked this question. On another occasion when Meyer was present, the appellant made a rough drawing of the residence where his wife was living and explained how easily someone could gain access to it. On about 6 April, Meyer went with the appellant to the city of Grand Forks to pick up tax returns. During the trip, the appellant said he was expecting an $800.00 refund and implied it could be used to pay for his wife’s killing.

On 7 April 1988, Sergeant Skyberg, a co-worker and friend, received a message that the appellant wanted to talk to him. Skyberg phoned the appellant and asked him what he wanted to talk about. The appellant indicated that the matter was too private to discuss over the phone, and Skyberg arranged to meet the appellant at his dormitory room. After Skyberg arrived, the appellant asked him if he knew anyone “who could . . . [the appellant gestured with his hand, his fingers arranged as if to simulate a gun] his wife.” The appellant indicated that he felt that was the only way he could get custody of his son. He said he was getting out of the service in about a month, and wanted “it” done before he left so he would have a good alibi as to where he was at the time. Skyberg believed the appellant was serious. A few other airmen, including Airman Meyer, entered the room and they changed the subject of conversation. After all had left except Skyberg and Meyer, the conversation about the appellant’s wife was resumed. The appellant talked in more detail about the location of his wife’s home in Michigan, and a hotel close by where someone doing the job could stay. He indicated her house was up for sale, so someone could easily get inside by posing as a prospective buyer. He said he could provide a detailed map of the area, and would be able to raise “a few grand” for the job. The appellant said this was not a spur of the moment thing, but some» thing he had been thinking about for the last few months. Meyer indicated that he had tried to contact someone on the appellant’s behalf. After leaving the appellant’s room, Skyberg and Meyer discussed the matter further and decided to contact the Office of Special Investigations (OSI).

After talking with Skyberg and Meyer the following day, OSI decided to open up an investigation and attempt to place an undercover agent in the role of a hit man. Meyer agreed to assist them by introducing the appellant to the undercover agent. On 15 April 1988, Meyer was instructed to contact the appellant and tell him that his [Meyer’s] friend in New York had found someone to do the job if the appellant was still interested. The appellant indicated he was, and Meyer told him an individual by the name of “Nick” (in reality, Special Agent Nicholas J. Karnezis) would call him on the evening of 19 April. The appellant subsequently borrowed $400.00 from Meyer (money provided by OSI) to help pay the hit man.

Nick called the appellant as planned, and indicated they had some business to discuss. Nick related that he would need a picture of the appellant’s wife, a sketch of the house, and maps of the local area in Michigan. The appellant said he already had the picture and a detailed diagram of the residence, and that he could get the maps. Nick indicated he would need $500.00 up front for expenses. It Was agreed they would meet at the Holiday Inn in Fargo, North Dakota on 22 April 1988 and that the appellant would wear an Ohio State football jacket and carry a Time magazine so Nick could recognize him.

 

The meeting occurred as planned. After some discussion about his family situation the appellant indicated he wanted his Wife killed. The appellant said he had brought the things Nick had asked for and had $1,100.00 with him, $500.00 for the job, plus $600.00 for air fare. After discussing the location of the appellant’s residence, Nick simulated a phone call to an airline ticket agent, booking a flight to Marquette, Michigan. The appellant provided Nick„With pictures of his Wife and son; a spiral notebook containing a list of people who lived in the house and hours they were away from home, two detailed diagrams of the house and surrounding area, and directions on how to get to the house from the Marquette airport; a Rand-McNally road atlas with two different routes from the airport to the house highlighted; and, a local Marquette area phone book, which included the phone number at his Wife’s home. They discussed the schedules of the residents, the vehicles they drove, Where the dogs were located, closets in the house where guns were kept, and other details of the planned murder. They settled on a total price of $2,100.00 if the job went as easily as the appellant indicated it should. The appellant gave Nick the $1,100.00 he had brought with him. Nick asked for ideas on how the killing should be done, and the appellant said it seemed to him the easiest way was to make it look like a robbery and that his wife got in the way. As to the weapon, he indicated a knife or gun could be used. Nick showed the appellant a .22 caliber semi-automatic pistol, equipped with a silencer, that he had in his brief case. Nick asked the appellant if he had any “special requests” as to how he wanted it done. The appellant replied “one in her head and one in her (using a slang term for a private part of the female anatomy). Nick expressed concern about the appellant’s wife’s grandfather, who also lived in the house and did not work. The appellant indicated there should be no witnesses, and that if the grandfather got in the way Nick should take care of him too. The appellant indicated he wanted the job done while he was at work S0 he would be very visible. He provided Nick with his work and dormitory phone numbers, and Nick said he would be in touch, and for the appellant to expect a call around 8:00 to 8:30

Nick called the appellant from K.I. Sawyer Air Force Base, Michigan (a base located close to Marquette) on 24 April. He told the appellant that his wife had moved, and that the job would cost more, another $500.00, since he would have to locate where she was living. The appellant agreed to pay the additional amount. That evening the appellant asked Airman Meyer to call directory assistance in Michigan for him to find out his wife’s new phone number. Meyer did, and gave the new number to the appellant. (A fair inference is that the appellant obtained the number so he could provide it to Nick if Nick was unable to locate the appellant’s wife on his own.) Nick called again the following day, indicating he had located the appellant’s wife and that the job would be done between then and the following morning. The appellant said that was fine. He indicated he had the other $1,000.00, but that it would take a little longer to come up with the additional $500.00.

On the morning of 26 April, the appellant was notified of his wife’s death by his unit commander. According to Airman Meyer, the appellant told him that everyone was sympathetic and that the appellant put on “a Class A act,” including crying and laying down on the first sergeant’s couch. Later that day, the appellant received a message to meet Nick down in Fargo. He proceeded to the Holiday Inn in Fargo. He told Nick he had received notification of his wife’s death. Nick said: “You mean you got the word already!” And the appellant replied: “You do good work.” Nick showed the appellant a picture of his wife laying on the floor with what appeared to be two bullet wounds, one in her head and another in her neck. The appellant confirmed that it was his Wife. After some further discussion, he gave Nick $1,000.00. At that point Nick identified himself as a government agent and apprehended the appellant. The two meetings between- the appellant and Nick at the Holiday Inn were both video and audio tape recorded (the tapes were admitted in evidence at trial). 

An Attempt or Only a Solicitation?

 

[2] On the appellant’s behalf, it is forcefully argued that his conduct never passed the threshold from mere preparation (i.e., a solicitation) to an attempt to commit the offense because there was no “dangerous proximity” to success of the planned murder. See Hyde v. United States, 225 U.S. 347, 388, 32 S.Ct. 793, 810, 56 L.Ed. 1114, 1134 (1911) (Justice Holmes dissenting); Perkins, Criminal Law 572 (2d Ed.1969). Since there is little military authority on point, appellate counsel rely principally on state court approaches to this dilemma.[4] See, e.g., State v. Otto, 102 Idaho 250, 629 P.2d 646 (1981); Hobbs v. State, 548 S.W.2d 884 (Tex.Ct.App.1977); Johnson v. Sheriff Clark County, 91 Nev. 161, 532 P.2d 1037 (1975); Hutchinson v. State, 315 So.2d 546 (Fla.App.1975); People v. Adami, 36 Cal. App.3d 452, 111 Cal.Rptr. 544 (1973); Smith v. State, 279 So.2d 652 (Miss.1973); State v. Miller, 252 A.2d 321 (Me.1969); State v. Laurie, 12 S.W.2d 43 (Mo.1928); State v. Davis, 319 Mo. 1222, 6 S.W.2d 609 (1928). In various factual situations involving “contracting out” for crimes, these courts held that the evidence only established mere acts of preparation not leading directly or proximately to consummation of the intended crime.[5] For example, in Adami the Court concluded that “the contemplated murder would not have resulted in the usual course of natural events since neither the ‘agent’ nor the solicitor [defendant] did any unequivocal overt act which can be said to be a commencement of the commission of the intended crime.” People v. Adami, 111 Ca1.Rptr. at 548.

Typical, and perhaps closest factually to the present appellant’s case, are the companion cases of Davis and Lourie. They involved a plan hatched by two lovers to murder the woman’s husband (Edmon Lourie) so that they could get his life insurance amounting to $66,000.00. The parties resided in Kansas City, Missouri. In furtherance of their plan, Davis engaged a man named Leverton to find an ex­convict who would commit the murder for hire. However, Leverton disclosed the plot to the police. Thereafter, several meetings were held between Davis, Leverton and an undercover police officer, Dill. It was agreed that Dill would kill Mr. Lourie for $600.00 and diamonds valued at about $3,000.00 owned by the Lourie’s. Also, arrangements were made for Dill to meet Mrs. Lourie so they would be able to recognize each other. It was decided that the contemplated assault would occur in Chicago, where Mr. Lourie had gone on business. Davis provided Dill a map showing where Mr. Lourie could be located and two photos of him. If Dill could not locate him, Mrs. Lourie would also travel to Chicago to assist. However, this part of the plan was interrupted when Mr. Lourie returned early from his trip. It was then decided that Mrs. Lourie would persuade her husband to go out for a night on the town, and that they would leave their home at 8:00 p.m. on a certain date. Mrs. Lourie was to have the diamonds on her person so it would appear that robbery was the motive for the crime. She would be “mussed up”, and then faint, permitting Dill time to escape~ On the evening in question, Dill, accompanied by three other police officers, proceeded to the Lourie residence as planned. The Lourie’s were dressed and ready to leave; Mrs. Lourie had the diamonds on her person. Davis, also as planned, was at home in another part of the city in order to have an alibi. Two of the officers entered the residence and took charge of the Lourie S, while Dill and the other officer proceeded to Davis’ residence and arrested him. The Supreme Court of Missouri concluded:

The employment of Dill as agent to murder Lourie was not tantamount to an attempt. Dill not only had no intention of carrying out the expressed purpose of defendant, but was guilty of no act directly or indirectly moving toward the consummation of the intended crime.  He did nothing more than listen to the plans and solicitations of defendant without intending to act upon them. It was not shown that Dill committed an act that could be construed as an attempt. The arrest of Lourie, his wife, and defendant as detailed in the evidence could not be said to be an act involving the consummation of the crime. (Citations omitted.)

 

State v. Davis, 6 S.W.2d at 612. The Court adopted the same rationale in its decision in State.v Laurie. The Court acknowledged that the defendants were guilty of soliciting another to commit murder, a crime not charged. (Apparently under Missouri law that offense is not a lesser included offense to murder or attempted murder.)

Not all authority favors the defense position. A few state courts have upheld attempt convictions in cases involving crimes for hire. See, e.g., Braham v. State, 571 P.2d 631 (Alaska 1977), cert. denied 436 U.S. 910, 98 S.Ct. 2246, 56 L.Ed.2d 410 (1978); State v. Gay, 4 Wash.App. 834, 486 P.2d 341 (1971); State v. Mandel, 78 Ariz. 226, 278 P.2d 413 (1954); Stokes v. State, 92 Miss. 415, 46 So. 627 (1908). These cases stand for the proposition that once the intent that a crime be committed is clearly proved, “slight acts” on the part of the solicitor will Support an attempt conviction. For example in Gay, payment by the solicitor was considered a sufficient overt act directed toward commission of the intended crime.

Appellate defense counsel urge that it would be inappropriate to adopt this minority view under military law. Doing so, it is argued, would violate “the very essence of the requirement that a sufficient actus reus be proven before criminal liability will attach.” Perhaps so, because our law requires “a direct movement toward the commission of the offense," and provides that “[s]oliciting another to commit an offense does not constitute an attempt” (though solicitation can be a lesser included offense). MCM, Part IV, para. 4c (1984).[6]

We are not convinced, however, that military law should extend so far as to hold that a factual situation such as that present in the Davis and Laurie cases will not constitute an attempt to commit a crime. In this regard, we find solace in the reasoning of some of the dissenters in the foregoing cases. In Davis, Chief Justice Walker wrote: “Without limitation it may be said that the defendant did everything within the contemplation of malicious human ingenuity to enable the putative murderer to commit the crime, short of actual participation therein.” State v. Davis, 6 S.W.2d at 616. In State v. Otto (defendant soliciting undercover agent to commit murder, paying him $250.00 up front with promise of larger sum after crime was committed, not sufficient to support conviction of attempted murder), Chief Justice Bakes observed:

[T]he acts here went far beyond an offer of “employment” [a solicitation]. . .. [T]he type of weapon to be utilized and the manner in which the hit was to be made were discussed, an agreement was reached, payment was made, and the defendant completed all necessary steps preliminary to the “hit” being made.

The real question is whether acts of preparation when coupled with intent have reached a point at which they pose a danger to the public so as to be worthy of law’s notice.

Whether a person takes on for himself the task of trying to kill another person, or tries to bring about that killing through hiring another to perform the deed, is in actuality nothing but a matter of personal choice. While the principal is guilty of murder when the contract is performed, an attempt has been made when the bargain is struck…If criminals are going to contract out their services, and if there are persons who will retain those services, there is no reason why the criminal courts should decline to respect those contracts.

 

State v. Otto, P.2d at 653-654.

To a great extent, resolution of the issue we face is dependent upon the facts of the case. United States v. Stallworth, 543 F.2d 1038, 1039 (2d Cir.1976); 40 Am.Jur.2d 830. We hold that under the circumstances present in the case now before us, the appellant’s conviction of attempted murder can be sustained. We have found no military or federal precedent which we believe would require us to reach the opposite conclusion.

As this Court has recently stated, “a criminal attempt attaches culpability to a state of mind consisting of an accused’s criminal intent and the belief that he is acting in such a manner as to achieve that intent.” United States v. Guevara, 26 M.J. 779, 781 (A.F.C.M.R.1988). In United States v. Byrd, 24 M.J. 286, 290 (C.M.A. 1987), the United States Court of Military Appeals relied upon a test adopted by the United States Court of Appeals for the Second Circuit:

[T]o be guilty of an attempt, a ‘defendant must have engaged in conduct which constitutes a substantial step toward commission of the crime’ and that substantial step must be conduct strongly corroborative of the firmness of the defendant’s criminal intent. United States v. Jackson, 560 F.2d 112, 116 (2d Cir.), cert. denied, 434 U.S. 941, 98 S.Ct. 434, 54 L.Ed.2d 301 (1977); see also United States v. Mandujano, 499 F.2d 370, 376 (5th Cir.1974), cert. denied 419 U.S. 1114, 95 S.Ct. 792, 42 L.Ed.2d 812 (1975); ALI Model Penal Code, Sec. 5.01 (1962).

 

See also United States v. Stallworth, 543 F.2d 1038 (2d Cir.1976); United States v. Thomas, 13 U.S.C.M.A. 278, 32 C.M.R. 278, 285-286 (1962). The Court of Military Appeals most recently affirmed reliance upon this test in United States v. Hyska, 29 MJ. 122 (C.M.A.1989)~but the Court did not apply the test to the facts of the case as it was decided on other grounds. See also United States v. Presto, 24 M.J. 350 (C.M.A.1987).

In Mandujano, an informant introduced an undercover narcotics agent to the defendant. After some general conversation, the subject turned to drugs. The agent said he was from out of town, and was looking for an ounce sample of heroin to determine the quality of the material in the local area. Mandujano replied that he could get good brown Mexican heroin for $650.00 an ounce. He indicated he had a good contact, but would need the money up front. The agent gave Mandujano $650.00, and he departed. He returned about an hour later, explained that he was unable to locate his contact, and gave the money back to the agent. The Court found that the request for and receipt of the $650.00 from the agent constituted a substantial step toward distribution of heroin.” United States v. Mandujano, 499 F.2d at 379. Thus, the jury’s verdict of guilty of an attempt to distribute heroin in violation of 21 U.S.C. § 846 was upheld. The Court, noting that the statute did not define an “attempt" assessed the case law and concluded that in order to constitute a criminal attempt, the defendant must have (1) acted “with the kind of culpability otherwise required for the commission of the crime which he is charged with attempting,” and, (2) “engaged in conduct which constitutes a substantial step toward commission of the crime. A substantial step must be conduct strongly corroborative of the firmness of the defendant’s criminal intent.” at 376~377. This test was derived in large part from the Model Penal Code standard.[7]

United States v. Jackson, supra, involved an attempted bank robbery. The Court examined various approaches taken in an effort to distinguish preparation from attempt, and then affirmed the trial court’s use of the Mandujano test. The Court noted that once criminal intent is established, the key question remaining is “the substantiality of the steps taken and how strongly this corroborates the firmness of [the] obvious criminal intent.” 560 F.2d at 120. This determination is a matter of degree, and a mixed question of law and fact.

As noted above, the Court of Military Appeals applied the Mandujano/Jackson test in United States v. Byrd, supra. Byrd met SP4 Calloway (who was a drug suppression team member, though Byrd did not know this at the time) at the Community Center on Fort Gordon, Georgia. After some general conversation, Byrd mentioned Something about marijuana. Calloway asked Byrd if he could get some marijuana for him. Byrd said he knew someone who could get him a five dollar bag for ten dollars. Byrd attempted to contact a certain taxi cab driver for this purpose, but found out he was not working that day. He told Calloway to meet him at the Community Center the following day. When they met, Calloway was accompanied by an undercover military police investigator who was posing as an individual interested in obtaining drugs. Byrd took them to another location on post and introduced them to the cab driver Byrd knew. The Cab driver told them he could get marijuana for them for ten dollars. The investigator then gave Byrd ten dollars. It was agreed that Byrd would meet the investigator at the Community Center in half an hour with the marijuana. The cab driver then took Byrd to an off­post liquor store where marijuana was sold. The stipulation of fact in this guilty plea case provided: “The accused purchased a bottle of liquor with the money . . . [the investigator] gave him because he was afraid he’d be caught lf he tried bringing marijuana back on post.” During the providence inquiry, Bryd explained that on the way to the liquor store he decided not to purchase any marijuana. He did not want to get a reputation as a drug peddler.

Based upon these facts, the Court of Military Appeals found that Byrd’s guilty plea to attempted distribution of marijuana was improvident. Receipt of $10.00 from the undercover agent and traveling to a liquor store where marijuana could be purchased did not constitute conduct going beyond preparation. The Court concluded:

Riding to the liquor store with the other occupants` of the taxi-cab was not ‘strongly corroborative of the firmness of’ Byrd’s intent to distribute marijuana. The act is simply too ambiguous; and too many other steps remained before the distribution could be consummated.

 

United States v. Byrd, 24 MJ. at 290. We believe that Byrd’s renunciation of his criminal purpose was an important factor to the outcome in his case. Chief Judge Everett, writing for the Court, discussed the principle of renunciation and the defense of Voluntary abandonment in some detail. Id. at 290-293.

In United States v. Presto, supra, the accused, pursuant to his pleas, was found guilty of the attempted sale of three kilograms of marijuana. He had previously sold over 500 grams of marijuana to two acquaintances, one a confidential source, the other an undercover agent. They asked if he could get them an additional ten kilograms. He agreed to try to do so, but told them he doubted he could get more than two or three kilograms. He contacted the people he had dealt with, indicated they would try to get the ten kilograms. A couple days later he contacted them again, but they did not have it yet. Later that day he was arrested. The Court stated: “Although placing a call to a potential source in order to determine the availability of drugs tends to corroborate appellant’s criminal intent, we are unconvinced that the statutory requirement of ‘more than mere preparation’ has been met.” United States v. Presto, 24 M.J. at 352. The Court relied upon the test adopted in Byrd in reaching this conclusion. In the case now before us, the appellant’s acts far exceed those of the accused in Byrd and Presto.

Conclusion

 

Applying the test adopted in Byrd and the principles set forth in the Manual (MCM, Part IV, para. 4 (1984)), we are convinced that the trial court’s findings of guilty of the offense of attempted murder should be upheld. See also Article 66(c), UCMJ. The appellant’s conduct in obtaining the services of Nicholas Karnezis to murder his wife, his detailed participation in planning the intended crime, up to advising the agent exactly how he wanted his wife shot, and his payment of the agreed upon consideration, both before the crime was to occur and after he was apprised that it had, constitutes “a substantial step toward commission of the crime,” and establishes the requisite overt act amounting to more than mere preparation. We can envision nothing else the appellant could possibly have done to effect what he believed would be his wife's murder, short of committing the act himself (which is precisely what he did not want to do). As characterized by appellate government counsel during oral argument, the appellant armed a missile (Nick) and fired it off, fully believing it was aimed directly at his intended victim. See United States v. Keenan, 18 U.S.C.M.A. 108, 39 C.M.R. 108, 113 (1969). Or, using an example contained in the Manual: “if A, without justification or excuse and with intent to kill B, points a gun at B and pulls the trigger, A is guilty of attempt to murder, even though, unknown to A, the gun is defective and will not fire.” MCM, Part IV, para. 4c(3) (1984). If we were to accept the reasoning of appellate defense counsel neither appellant nor SA Karnezis ever took any steps or perpetration in dangerous proximity to the commission of the offense planned” because the agent never intended to commit the offense»-no contract for hire criminal scheme could ever be prosecuted as an attempt if the person hired turned out to be a government agent or informant. Cf. United States v. Johnson, 7 U.S.C.M.A. 488, 22 C.M.R. 278, 283 (1957). To place our criminal justice system in this posture defies logic. It is the accused’s criminal intent we are concerned with, not that of the person hired to commit the crime. United States v. Guevara, supra.

Turning to that intent, we find the record replete with evidence establishing “conduct strongly corroborative of the firmness of the defendant’s criminal intent.” The appellant retained whom he believed to be a big city hit man for the purpose of murdering his wife; he paid an agreed upon amount of money up front; he provided photographs, documents and diagrams to facilitate commission of the crime; he helped plan precisely how it would be committed; he indicated the need for an alibi for himself; after being advised that his wife had moved, he agreed to an increase in the contract price and obtained her new telephone number; when notified of her murder through unit channels, he “put on a Class A act;” upon being shown a staged picture of his wife with gun shot wounds, he commended Nick for his “good work,” and paid a further installment on the contract price. The firmness of his intent is clearly established.[8]

We are convinced beyond a reasonable doubt that the appellant is guilty of attempted murder. We further find the sentence to be appropriate for commission of this crime. Our attention has also been invited to issues raised at trial which centered around the composition of the court panel. We find them to be without merit.  Irvin v. Dowd, 366 U.S. 717, 81 S.Ct. 1639, 6 L.Ed.2d 751 (1961); Marshall v. United States, 360 U.S. 310, 79 S.Ct. 1171, 3 L.Ed.2d 1250 (1959); United States v. Smith, 27 M.J. 242, 250 (C.M.A.1988); United States v. Cunningham, 21 M.J. 585 (A.C.M.R.1985), pet. denied, 22 M.J. 275 (C.M.A.1986); United States v. Townsend, 12 M.J. 861 (A.F.C.M.R.1981); Article 25, UCMJ, 10 U.S.C. 825; R.C.M. 502(a)(1), 503(a)(v.

[3] One other matter warrants brief comment. As noted early on in this opinion, the attempted murder specification alleged that the crime occurred “at Grand Forks Air Force Base,” yet the evidence established that the two meetings between the appellant and Nick took place in a motel room in Fargo, North Dakota, a distance of some 78 miles from Grand Forks, North Dakota, where the base is located. Additionally, the dates alleged in the specification were on or about 25-26 April 1988, but the key meeting between Nick and the appellant where plans for this crime were made occurred on 22 April. We do not find these to be fatal variances between pleadings and proof. The companion attempted conspiracy charge dismissed by the military Judge alleged that the offense occurred between 19-22 April 1988 at both Grand Forks Air Force Base and Fargo. Clearly, the appellant was in no Way misled so as to affect his ability to adequately prepare for trial, and he will be fully protected against another prosecution for the same offense. Therefore, there is no prejudice. United States v. Lee, 1 M.J. 15 (C.M.A.1975); United States v. Rath, 27 M.J. 600 (A.C.M. R.1988); United States v. Mendoza, 18 M.J. 576 (A.F.C.M.R.1984).

The findings and sentence are correct in law and fact, and no error prejudicial to the substantial rights of the appellant was committed. Accordingly, the findings of guilty and the sentence are

AFFIRMED.

Senior Judges LEWIS and KASTL concur.

Senior Judge LEWIS took final action on this case prior to his retirement.

 

 

[1] He was also charged with attempted conspiracy to commit premeditated murder, but the military judge granted a defense motion to dismiss that offense as being multiplicious with the offense of attempted premeditated murder. We also note that there can be no conspiracy when a supposed participant merely feigns acquiescence in the criminal venture to secure another's detection and apprehension by proper authorities. United States v. LaBossiere, 13 MA. 337, 32 C.M.R. 337 (1962).

[2] Other parts of paragraph 4c, Part IV of the Manual provide the following guidance:

(2) More than preparation. Preparation consists of devising or arranging the means or measures necessary for the commission of the offense. The overt act required goes beyond preparatory steps and is a direct movement toward the commission of the offense. For example, a purchase of matches with the intent to burn a haystack is not an attempt to commit arson, but it is an attempt to commit arson lo applying [sic] a burning match to a haystack, even if no fire results. The overt act need not be the last act essential to the consummation of the offense. For example, an accused could commit an overt act, and then voluntarily decide not to go through with the intended offense. An attempt would nevertheless have been committed, for the Combination of a specific intent to commit an offense, plus the commission of an overt act directly tending to accomplish it, constitutes the offense of attempt. Failure to complete the offense, whatever the cause, is not a defense.

(3) Factual impossibility. A person who purposely engages in conduct which would constitute the offense if the attendant circumstances were as that person believed them to be is guilty of an attempt. For example, if A, without justification or excuse and with intent to kill B, points a gun at B and pulls the trigger. A is guilty of attempt to murder, even though, unknown to A, the gun is defective and will not fire. Similarly, a person who reaches into the pocket of another with the intent to steal that person's billfold is guilty of an attempt to commit larceny, even though the pocket is empty.

(4) Solicitation. Soliciting another to commit an offense does not constitute an attempt

 

The Analysis to the 1984 Manual indicates that these provisions are based on paragraph 159 of the 1969 Manual. MCM, App. 21, para. 4 at (1984). Paragraph 159 provided in part:

An accused may be guilty of an attempt even though the commission of the intended offense was impossible because of unexpected intervening circumstances or even though the consummation of the intended offense was prevented by a mistake on the part of the accused. The physical impossibility of committing the intended crime does not constitute a defense.

 

MCM. 1969 (Rev.), para. 159 at 28-7.

[3] Among other punishments, confinement for 20 years is authorized for attempted murder, whereas the period of confinement authorized for soliciting another to commit murder is 5 years. At trial, the parties agreed that solicitation to commit murder was a lesser included offense to the attempt as charged, and the court members were appropriately so instructed.

[4] Our research has revealed only two reported military cases involving a factual situation (contract murder) similar to the one present in this case. United States v. Vanderlip, 28 MJ. 1070 (N.M.C.M.R.l989); United States v. Jones, 14 M.J. 740 (A.F.C.M.R.l982). In both those cases the accused was charged with soliciting another to commit murder, not attempted murder. They are not dispositive of the issue we face. See also United States v. Thomas, 13 U.S.C.M.A. 278. 32 C.M.R. 278 (1962) for an excellent and extensive discussion of the various principles developed by courts and legal scholars in an effort to deal with attempt crimes where impossibility of completion of the substantive crime is involved.

[5] It should be recognized that many of these decisions rest, at least in part, upon interpretation of state statutes.

[6] See Annotation, What Constitutes Attempted Murder. 54 ALR 3d 612 (1974) for an extensive discussion of this subject.

[7] Section 5.01 of the ALI Model Penal Code addresses criminal attempt. It provides in part:

(3) Conduct Designed to Aid Another in Commission of a Crime. A person who engages in conduct designed to aid another t0 commit a crime which would establish his complicity under Section 2.06 if the crime were committed by such other person is guilty of an attempt to commit the crime, although the crime is not Committed or attempted by such other person.

 

Section 2.06 deals with liability for conduit of another.

[8] The defense theory at trial was that Senior Airman Church was a peaceful, happy-go-lucky individual, hurting from a difficult divorce, who fell victim to an OSI machine. His counsel forcefully argued this position on his behalf. “This machine was used lo scare, intimidate, and overwhelm Airman Church lo go along with the plan that was designed and created by the OSI. The situation was induced. They create an offense where there never was one." The military judge provided the members instructions on the defense of entrapment.  By their findings, the jury determined this defense did not exist. We agree.

7.2.3 Notes and Questions - U.S. v. Church 7.2.3 Notes and Questions - U.S. v. Church

 

  1. According to Ira P. Robbins, Double Inchoate Crimes, 26 Harv. J. on Legis. 1 (1989):

“The mens rea of solicitation is a specific intent to have someone commit a completed crime. As in common-law conspiracy, disclosure of the criminal scheme to another party constitutes a part of the actus reus of solicitation. But, while the actus reus of a conspiracy is an agreement with another to commit a specific completed offense, the actus reus of a solicitation includes an attempt to persuade another to commit a specific offense. A necessary element of solicitation is the solicitant's rejection of the solicitor's request. Thus, solicitation can be viewed as an attempt to conspire.”

  1. Common law v. MPC approach to solicitation. Ira P. Robbins, Double Inchoate Crimes, 26 Harv. J. on Legis. 1 (1989):

“Solicitation developed as a common-law notion, but American jurisdictions increasingly have defined the offense statutorily. Unlike the common law, which generally and vaguely described the object crimes that solicitation covered as those that breached the public peace, current state statutes define the offense's coverage to restrict judicial discretion. Most states impose penalties for soliciting the commission of any crime, but some states and the federal government apply solicitation only to felonies. Others specifically enumerate the particular object felonies subject to solicitation charges.

 

The Model Penal Code's solicitation provisions broaden the scope of solicitation statutes to reach more behavior, in three ways. First, the Code imposes liability for the solicitation of any crime. Second, the Code incorporates the double inchoate offense of attempt to solicit by making the solicitor's failure to communicate the criminal scheme immaterial as long as he acted on his intent to effect such communication. Third, the Code defines the actus reus of solicitation as acting ‘with the purpose of promoting or facilitating’ the commission of a crime. This language incorporates the crime of facilitation into the solicitation provision. Facilitation, viewed as both a lower level of complicity and as an inchoate crime, punishes the individual who knowingly provides assistance to another who intends to commit a crime.”

  1. Requisite elements of solicitation. The crime of solicitation, like every other crime, involves both an actus reus and a mens rea. The actus reus of solicitation is satisfied when an actor hires, requests, suggests, or encourages another individual to complete a crime. The mens rea of solicitation involves the intent to 1) perform the solicitation of another individual and 2) the specific intent that the solicited individual will commit the intended crime. 

  2. Hypothetical. Jayendra turns to Rolf and tells him, “Wow, I really can’t stand Nanuq. I should break into his house and steal his family heirlooms.” Rolf responds, “That sounds like a plan. I’ll do it.” Is Jayendra guilty of solicitation at common law? How about under the MPC §5.02?

  3. Solicitation and attempt. Can solicitation merge into attempt? Consider the following passage from Model Penal Code and Commentaries § 5.02 cmt. 2, at 368–69 (1985):

“Whether the solicitation to commit a crime constitutes an attempt by the solicitor is a question that has been answered in several ways. One approach to the problem treats every solicitation as a specific type of attempt to be governed by ordinary attempt principles, the solicitation being an overt act that alone or together with other overt acts may surpass preparation and result in liability. A second position is that a naked solicitation is not an attempt, but a solicitation accompanied by other overt acts, for example, the offer of a reward or the furnishing of materials, does constitute an attempt. The third view is similar to the second except that in order to find the solicitor guilty of an attempt the other overt acts must proceed beyond what would be called preparation if the solicitor planned to commit the crime himself. Finally, there is the view that no matter what acts the solicitor commits, he cannot be guilty of an attempt because it is not his purpose to commit the offense personally. Although there has been considerable conflict, even among the decisions of the same jurisdiction, the trend has seemed to be toward the last two solutions * * *.”

 

  1. Hypothetical. Apply the previous passage to this hypothetical: Nasim left drugs on a table for his friend Aravind to find with a note that reads: “There’s more of this if you run out. I think your friends want some.” Is Nasim guilty of solicitation to sell illegal substances? Is he guilty of attempted distribution of an illegal substance? At what point does a solicitation move into an attempt?

7.3 Conspiracy 7.3 Conspiracy

Conspiracy, unlike complicity, is a standalone crime. Its requirements are very minimal: at common law, only an agreement to commit unlawful actions. The agreement, itself, is the actus reus. Under federal law, an act in furtherance is needed to seal the conspiracy. Often, proving conspiracy is much easier than proving a completed or attempted crime, and so conspiracy has become a favorite tool of prosecutors to lower the burden of proof, accumulate charges, or increase the number of people implicated in a crime. As you read these cases, consider the distinctions between conspiracy and complicity. Consider also how far liability extends. What is the mens rea for the crime of conspiracy itself? What mens rea is necessary for the subsequent crimes committed in furtherance of the conspiracy? How do the various formulations of conspiracy liability interact with the justifications of punishment—retribution, deterrence, incapacitation, and rehabilitation?

7.3.2 People v. Carter 7.3.2 People v. Carter

PEOPLE v CARTER

Docket No. 64583.

Argued March 3, 1981

(Calendar No. 2).

Decided December 23, 1982.

*562Frank J. Kelley, Attorney General, Louis J. Caruso, Solicitor General, Edward J. Grant, Prosecuting Attorney, and Bruce A. Barton, Special Prosecuting Attorney, for the people.

State Appellate Defender (by Norris J. Thomas, Jr., Chief Deputy Defender) for the defendant.

*563Fitzgerald, C.J., and Williams, Coleman, and Ryan, JJ.

This opinion was written by Justice Blair Moody, Jr., prior to his death on November 26, 1982. We concur in this opinion and adopt it as our own.

The principal issue presented by this case is whether a defendant may be convicted both of aiding and abetting the commission of extortion, MCL 767.39; MSA 28.979 and MCL 750.213; MSA 28.410, and conspiracy to commit that same crime, MCL 750.157a; MSA 28.354(1). We hold that, under the facts of this case, the defendant was properly convicted under both the aiding and abetting and conspiracy statutes.

In addition to challenging his dual convictions, defendant raises a number of other issues involving alleged errors that occurred before and during his trial. He challenges as impermissibly suggestive the photographic identification which led to his arrest. Defendant further alleges that the prosecution’s failure to indorse and produce a res gestae witness deprived him of a fair trial. Finally, he claims that the trial court erred in allowing the jury to hear testimony that defendant had been fired from his job for assaulting his supervisor.

We find these issues to be without merit. Accordingly, we affirm defendant’s convictions of extortion under an aiding and abetting theory and conspiracy to commit extortion.

I

Alvin D. Carter was charged with aiding and abetting another to commit both unarmed robbery, MCL 750.530; MSA 28.798, and extortion, MCL 750.213; MSA 28.410, and with conspiracy to commit both offenses, MCL 750.157a; MSA 28.354(1).

*564The charges against the defendant arose out of the taking of $1,365.00 from an employee of the Consumers Power Company customer service office in Jackson around noon on December 19, 1975. The employee, Mrs. Peggie Johnson, was approached by a man, subsequently identified as Edward Kimble, who handed her a note threatening her three sons unless she gave him. money. According to her testimony at defendant’s trial, she complied with the demand because she feared for her own safety and that of her children.

Mrs. Johnson also testified that she had never seen Edward Kimble before the robbery, but that she knew Alvin Carter well and regarded him as a family friend. Further, she indicated that approximately one or two months before the robbery, the defendant stopped in at the Consumers Power Company office and "questioned] us about the lunch hours”.

Kimble and his girlfriend, Diane Potter, were arrested the day after the robbery while shopping at a J. C. Penney store located across the street from the Consumers Power Company office. Potter’s identification of the defendant at a photographic showup approximately three weeks later led to Alvin Carter’s arrest.

Edward Kimble pled guilty to unarmed robbery and received a 5-1/2- to 15-year sentence. Testifying for the prosecution at defendant’s trial, he indicated that he first met Carter, who he knew only as "Hank”, at Jackson Prison, where he was serving a sentence for armed robbery and Carter was employed as a prison guard. According to Kimble, he again came into contact with the defendant in November of 1975 at Leake’s Lounge, a *565Jackson bar they both frequented. Kimble testified further that he and Carter discussed the "Consumers Power job” on the afternoon of December 18, the day before the robbery; that on that same evening Carter came to see him at the Sewell Hotel, where he lived with Diane Potter; that during that visit Carter wrote the threatening note that was to be presented to Peggie Johnson; and that Potter copied the note because Carter was afraid the victim would recognize his handwriting.

Kimble admitted taking the note to the Consumers Power office around noon on December 19, presenting it to Peggie Johnson, and receiving the money in a paper bag. He testified that he then met Carter and gave the money to him at a place called "the roller room”, where Carter had been waiting. Both men returned to Kimble’s room at the Sewell Hotel, Kimble arriving about five minutes after Carter, and Carter divided the money.

Diane Potter, who was not charged with participation in the crime,1 corroborated Kimble’s testimony about the events at the Sewell Hotel on the evening of December 18 and after the robbery on December 19. She added that while Carter was drafting the note he and Kimble were "whispering a conversation back and forth”, and that she heard Carter ask Kimble if the content looked all right to him. After she rewrote the note, she tore up Carter’s copy and flushed it down the toilet. Finally, Potter indicated that she had seen Carter approximately 6 to 12 times before the night of *566December 18, both at the apartment and at Leake’s Lounge.

The defendant denied any involvement in the crime and presented an alibi defense. He denied having ever been in Kimble’s room at the Sewell Hotel or having met Kimble while employed as a prison guard. He further denied even knowing Kimble or Potter, other than casually from seeing them at Leake’s Lounge.

The jury, after deliberating for seven and one-half hours, returned a verdict of guilty on all four counts. On July 14, 1976, defendant was sentenced to 7-1/2 to 15 years with credit for 189 days on the unarmed robbery and conspiracy to commit unarmed robbery convictions and to 7-1/2 to 20 years with credit for 189 days on the extortion and conspiracy to commit extortion convictions, with all four sentences to be served concurrently.

In a published per curiam opinion, the Court of Appeals affirmed defendant’s convictions of extortion and conspiracy to commit extortion, but reversed, as violative of the proscription against double jeopardy, US Const, Am V; Const 1963, art 1, § 15, the convictions of unarmed robbery and conspiracy to commit unarmed robbery. People v Carter, 94 Mich App 501; 290 NW2d 46 (1979). This Court granted defendant’s application for leave to appeal his remaining convictions. 409 Mich 867 (1980). The people do not contest the reversal by the Court of Appeals of defendant’s robbery-related convictions.

II

Defendant attacks his joint convictions of aiding *567and abetting the commission of extortion and conspiracy to perpetrate extortion on three grounds, all of which relate to principles of double jeopardy. He argues, in the alternative, that the charge of conspiracy should merge with, or be absorbed into, the charge of the completed crime, and that his conviction of both crimes is in essence unconstitutional multiple punishment for the same offense under federal and state double jeopardy interpretations.

A

Criminal conspiracy occupies a unique place in our criminal justice system. It is defined as "a partnership in criminal purposes”, United States v Kissel, 218 US 601, 608; 31 S Ct 124; 54 L Ed 1168 (1910), a mutual agreement or understanding, express or implied, between two or more persons to commit a criminal act or to accomplish a legal act by unlawful means. While the offense has its origins in the common law, it is now specifically proscribed by statute, which sets forth the penalties for its commission. MCL 750.157a; MSA 28.354(1).2

*568"The gist of the offense of conspiracy lies in the unlawful agreement”. People v Atley, 392 Mich 298, 311; 220 NW2d 465 (1974). The crime is complete upon formation of the agreement; in Michigan, it is not necessary to establish any overt act in furtherance of the conspiracy as a component of the crime.3 However, a twofold specific intent is required for conviction: intent to combine with others, and intent to accomplish the illegal objective. Perkins, Criminal Law (2d ed), ch 6, § 5, p 629.

In spite of the importance of the element of agreement in conspiracy liability,

"[d]irect proof of agreement is not required, nor is it necessary that a formal agreement be proven. It is sufficient if the circumstances, acts, and conduct of the parties establish an agreement in fact. * * *.
"Furthermore, conspiracy may be established, and frequently is established by circumstantial evidence”. (Citations omitted.) People v Atley, p 311.4

*569It is a settled principle of black-letter law that conspiracy is a crime that is separate and distinct from the substantive crime that is its object. LaFave & Scott, Criminal Law, § 62, p 494; People v Tinskey, 394 Mich 108; 228 NW2d 782 (1975); People v Chambers, 279 Mich 73; 271 NW 556 (1937). The guilt or innocence of a conspirator does not depend upon the accomplishment of the goals of the conspiracy. More importantly in the context of the instant case, a conviction of conspiracy does not merge with a conviction of the completed offense.5 Thus, a defendant may be convicted and punished for both the conspiracy and the substantive crime. Pinkerton v United States, 328 US 640; 66 S Ct 1180; 90 L Ed 1489 (1946).

The cited justification for the prosecution of conspiracy as a crime independent of, and often in addition to, the prosecution of the object offense is the alleged increased and special danger to society presented by group as opposed to individual activ*570ity.6 The "greater threat” rationale was detailed in Callahan v United States, 364 US 587, 593-594; 81 S Ct 321; 5 L Ed 2d 312 (1961):

"[Collective criminal agreement — partnership in crime — presents a greater potential threat to the public than individual delicts. Concerted action both increases the likelihood that the criminal object will be successfully attained and decreases the probability that the individuals involved will depart from their path of criminality. Group association for criminal purposes often, if not normally, makes possible the attainment of ends more complex than those which one criminal could accomplish. Nor is the danger of a conspiratorial group limited to the particular end toward which it has embarked. Combination in crime makes more likely the commission of crimes unrelated to the original purpose for which the group was formed. In sum, the danger which a conspiracy generates is not confined to the substantive offense which is the immediate aim of the enterprise.”7

One of the major exceptions to the general principle that conspiracy and its target offense are separately punishable is known as Wharton’s Rule. This rule, which operates as a substantive limitation upon the scope of the crime of conspiracy, states that an agreement by two persons to commit a substantive crime cannot be prosecuted as a conspiracy where the crime itself necessarily requires the participation and cooperation of two *571persons.8 Thus, where concerted activity and a plurality of agents are essential elements of a substantive offense, Wharton’s Rule bars a prosecution for conspiracy to commit that crime. Defendant asserts that, given the offenses at issue in this case, Wharton’s Rule precludes his conviction of conspiracy to commit extortion.

The classic Wharton’s Rule offenses — adultery, bigamy, dueling, and incest — are those crimes where "the conspiracy to commit them is in such close connection with the objective offense[s] as to be inseparable from them”. In re Vickers, 371 Mich 114, 117; 123 NW2d 253 (1963). Additionally, the crimes are such that "[t]he parties to the agreement are the only persons who participate in [the] commission of the substantive offense, and the immediate, consequences of the crime rest on the parties themselves rather than on society at large”. Iannelli v United States, 420 US 770, 782-783; 95 S Ct 1284; 43 L Ed 2d 616 (1975).9

*572The rationale for the rule is based on two different analyses. The primary justification relates to legislative intent; where cooperative action is a necessary component of the substantive offense, it is presumed that the Legislature took that element into account when setting forth the penalty for the offense. Recent Developments, Criminal Law — Multiple Punishment Under the Organized Crime Control Act — A Need for Re-examination of Wharton’s Rule and Double Jeopardy, 52 Wash L Rev 142 (1976). In addition, because the target offense itself requires concerted action, the combination constituting the conspiracy creates no added danger, "because nothing is involved which will not [also] be present whenever the offense is committed.” Perkins, Criminal Law (2d ed), ch 6, § 5, p 620.

In practice, Wharton’s Rule generally operates as a judicial presumption to proscribe a conspiracy charge in the absence of legislative intent to the contrary. Iannelli v United States, supra, 420 US 782.10 The applicability of the rule depends on the *573nature of the target offense that constitutes the object of the conspiracy. Specifically, the focus is upon the elements of the crime rather than upon the factual circumstances of the particular case. Iannelli, p 780. Thus, the test is satisfied when, by definition, the object crime necessarily requires the participation of two people. If the offense could logically be accomplished by a single individual, Wharton’s Rule does not apply. The fact that in a particular case cooperation between the offenders was a practical necessity, i.e., the crime could not have been committed without concerted action or would have been made much more difficult without it, is not sufficient to invoke the rule. State v Huegin, 110 Wis 189; 85 NW 1046 (1901); LaFave & Scott, supra, pp 492-493; People v Davis, 408 Mich 255, 285, fn 6; 290 NW2d 366 (1980) (Levin, J., concurring). See also 408 Mich 255, 320-321 (Moody, J., dissenting).

Thus, to determine the applicability of Wharton’s Rule, "accurate identification of [the] target offense is essential”. People v Davis, p 280 (Levin, J., concurring). The controversy in the instant case arises because the defendant and the prosecution focus on different aspects of the target crime in their analyses, which leads them to different conclusions regarding the applicability of Wharton’s Rule.

The defendant focuses upon the aiding and abetting aspect of the extortion offense. He argues that aiding and abetting necessarily requires concerted action among a plurality of agents. "The sine qua non of aiding and abetting is that more than one person must be criminally involved”. People v Parks, 57 Mich App 738, 743; 226 NW2d 710 (1975). Therefore, the agreement embodied in the conspiracy has no element of added danger that is *574not already present upon commission of the substantive crime. Further, when aiding and abetting occurs, no additional persons are involved in the conspiracy than are required to commit the object offense. Defendant adds that both the aiding and abetting and conspiracy statutes are directed at the same evil, namely, cooperation between perpetrators of crime. Thus, Wharton’s Rule applies, and his conspiracy conviction should be vacated.

The prosecutor, in contrast, focuses on the criminal act of extortion in his Wharton’s Rule analysis. The elements of extortion are: a malicious threat of violence or criminal accusation, and an intent to extort money. MCL 750.213; MSA 28.410.11 No agreement is required to complete the crime; further, the crime may logically be committed by one person. Therefore, Wharton’s Rule is inapposite in this case.

We agree with the prosecutor. Defendant’s emphasis upon the aiding and abetting aspect of the offense is misplaced under these circumstances. The purpose of the aiding and abetting statute, MCL 767.39; MSA 28.979, is to ensure that any person who participates in a substantive offense is held liable as if he had directly committed the offense.12 People v Palmer, 392 Mich 370; 220 *575NW2d 393 (1974). The statute declares that one who "procures, counsels, aids or abets” in the commission of a crime may be "prosecuted, indicted, tried and on conviction shall be punished” as a principal.13 Aiding and abetting is not in and of itself a substantive offense. It is, rather, a means of connecting a person with a completed criminal act, whether that act be extortion, as in the instant case, or any other action defined as unlawful. It takes on criminal characteristics only because of its link to that illegal action.

Reduced to its bare essentials, the basic charge against a defendant is not aiding and abetting, but rather the substantive crime that results from the aiding and abetting. In assessing the applicability of Wharton’s Rule, the target offense to be evaluated is, therefore, the underlying substantive crime itself, not the means developed to hold a person liable for that crime.

In the instant case, of course, the substantive crime is. extortion. Extortion is not a crime of such a nature as to necessarily require the participation of two persons.14 Therefore, defendant’s prosecu*576tion and conviction for conspiracy to commit extortion does not violate Wharton’s Rule.15

In addition, any presumption in favor of the application of Wharton’s Rule is rebutted by the legislative intent expressed in the aiding and abetting statute. As noted earlier, conspiracy does not merge with the completed substantive crime that is its object. The aiding and abetting statute states that in all respects — prosecution, indictment, trial and punishment — one who aids in the commission of a crime is to be treated exactly as if he had directly committed the offense. To provide that conspiracy would merge with the object crime for an aider and abettor but not for a principal would be to provide for differences in the prosecution, indictment, trial and punishment of accessories as opposed to principals. Under such a rule, upon completion of the crime, a principal could be prosecuted, indicted, tried and punished16 for conspiracy, while an aider and abettor could not, in direct *577contravention of the equal treatment mandated by the statute.17

B

Defendant argues further that his convictions of conspiracy and aiding and abetting with respect to the same substantive crime violate his federal constitutional right not to be placed twice in jeopardy for the same act. See US Const, Am V.18

The guarantee against double jeopardy in the Constitution of the United States has been made applicable to the states through the Fourteenth Amendment. That guarantee incorporates three distinct constitutional protections:

"It protects against a second prosecution for the same offense after acquittal. It protects against a second prosecution for the same offense after conviction. And it protects against multiple punishments for the same offense.” North Carolina v Pearce, 395 US 711, 717; 89 S Ct 2072; 23 L Ed 2d 656 (1969).

In the instant case, the question is one of multiple punishment. Under such circumstances the Double Jeopardy Clause operates to protect the defendant from receiving double punishment for *578what is in reality a single criminal offense. People v Jankowski, 408 Mich 79; 289 NW2d 674 (1980).

The problem in multiple punishment cases, as in multiple prosecution cases, is to determine whether the charges at issue constitute the "same offense” for double jeopardy purposes. In Blockburger v United States, 284 US 299, 304; 52 S Ct 180; 76 L Ed 306 (1932), the Court articulated the definition of the "same offense”:

"The applicable rule is that where the same act or transaction constitutes a violation of two distinct statutory provisions, the test to be applied to determine whether there are two offenses or only one, is whether each provision requires proof of a fact which the other does not.”

The Blockburger test focuses on the statutory elements of the offenses involved, not on the particular facts introduced at trial to establish their commission. Iannelli v United States, 420 US 770; 95 S Ct 1284; 43 L Ed 2d 616 (1975).19

Defendant concedes that under a strict application of the Blockburger test, aiding and abetting and conspiracy would be considered different offenses because aiding and abetting requires a completed crime and aiding and abetting by the defendant in the commission of that crime, People v Mann, 395 Mich 472; 236 NW2d 509 (1975), and conspiracy requires a combination or agreement. *579People v Atley, 392 Mich 298; 220 NW2d 465 (1974).

As an offshoot of the Blockburger rule, the Supreme Court has applied a necessarily lesser-included-offense analysis in determining whether offenses are the same for double jeopardy purposes.20 If one offense is necessarily included in the other, it is the "same offense” and cannot be additionally punished. Reference is made to state law for definitions of the offenses involved and also to ascertain whether they stand in the relation of greater- and lesser-included offenses. Brown v Ohio, 432 US 161; 97 S Ct 2221; 53 L Ed 2d 187 (1977). Again, the emphasis is upon the legal elements of the offense, not upon the facts of a particular case.

Under the necessarily lesser-included-offense test, the separate crimes need not contain identical elements to constitute the "same offense”. Brown v Ohio, supra. To be necessarily included in the greater offense, a lesser offense must be such that it is impossible to commit the greater crime without also having committed the lesser. People v Ora Jones, 395 Mich 379; 236 NW2d 461 (1975).21

For the same reasons that aiding and abetting and conspiracy are different crimes under Block-*580burger, they are different crimes for double jeopardy purposes under a necessarily lesser-included-offense analysis. It is true that the two crimes contain certain common elements, i.e., the participation of more than one person and the shared intent to commit the substantive crime. However, aiding and abetting the commission of a crime and conspiracy to commit that crime are legally distinct offenses. The crux of a conspiracy is an agreement to perpetrate the crime. Conviction of conspiracy does not depend on the success or failure of its object. Further, as defined in Michigan, conspiracy does not require any overt act in furtherance of its illegal end. People v Atley, supra.

In contrast, to be convicted as an accessory, one must procure, counsel, aid, or abet the commission of a crime. MCL 767.39; MSA 28.979. Some form of active, overt participation toward the accomplishment of the offense is required, as is a completed crime and a guilty principal. People v Palmer, supra.

It is, therefore, possible to commit either crime without necessarily having committed the other. A person may aid and abet the commission of a crime without at the same time having specifically agreed to commit it. It does not automatically follow that when an offense is committed by multiple defendants the action is taken pursuant to a prior arrangement or agreement. Comment, Conspiracy, 28 La L Rev 534 (1968). Even if, factually, liability as an accessory is based upon an agreement, it does not require proof of such agreement. Iannelli v United States, 777, fn 10. Further, as stated by the United States Supreme Court:

"Aiding, abetting, and counseling are not terms which presuppose the existence of an agreement. Those terms have a broader application, making the defen*581dant a principal when he consciously shares in a criminal act, regardless of the existence of a conspiracy.” Pereira v United States, 347 US 1, 11; 74 S Ct 358; 98 L Ed 435 (1954).22

Conversely, a conspirator is not necessarily liable as an accessory to the completed crime on the basis of the agreement alone. To be liable as an accessory, a person must advise, assist, counsel, or induce the commission of the crime. Such behavior may require more than mere agreement. The fact that, in many cases, conspirators do assume an active role in the commission of the object crime does not alter the legal distinction between liability as an accessory and as a conspirator.23

Nor is the fact that some of the evidence introduced at trial "may have served double duty”, supporting both the conspiracy and accessory charges, material under federal double jeopardy analysis. Nye & Nissen v United States, 336 US 613, 619; 69 S Ct 766; 93 L Ed 919 (1949). What is *582critical is that the offenses are legally different, as tested by the Blockburger and necessarily included offense rules. Thus, defendant’s dual convictions of conspiracy to commit extortion and of aiding and abetting the commission of extortion are not barred by the double jeopardy provision of the United States Constitution.

C

Michigan, unlike some other states,24 has its own specific constitutional protection against double jeopardy. Const 1963, art 1, § 15. Although the language of the state provision is nearly the same as that of the federal constitution,25 there are certain important differences between the state and federal tests used to establish, a constitutional violation. Significantly, the Michigan rules offer broader double jeopardy protection than do the federal standards.26 Thus, the fact that defendant Carter’s federal double jeopardy challenge must fail does not preclude this Court from considering whether he has been multiply punished for the same offense under the Michigan Constitution. People v Jankowski, 408 Mich 79; 289 NW2d 674 (1980). Whitton v State, 479 P2d 302 (Alas, 1970).

As do their federal counterparts, Michigan courts engage in a greater- and lesser-included-offense analysis to evaluate double jeopardy challenges. However, in Michigan the emphasis is not on the theoretical elements of the crimes involved, but rather upon the proof of facts adduced at trial:

*583"For purposes of the double jeopardy analysis, as a matter of state constitutional law, the question is not whether the challenged lesser offense is by definition necessarily included within the greater offense also charged, but whether, on the facts of the case at issue, it is.” People v Jankowski, supra, 408 Mich 91.

Of course, in focusing upon the facts, a court must nevertheless still take account of the elements of the offense. People v Wilder, 411 Mich 328, 348-349, fn 10; 308 NW2d 112 (1981).

In addition, Michigan has an expansive definition of necessarily included offenses for double jeopardy and other27 purposes:

"The common-law definition of lesser included offenses is that the lesser must be such that it is impossible to commit the greater without first having committed the lesser. * * * This definition includes only necessarily included lesser offenses. This definition, however, is generally conceded to be unduly restrictive, and thus most jurisdictions, including Michigan, have statutes that are broadly construed to permit conviction of 'cognate’ or allied offenses of the same nature, under a sufficient charge. These lesser offenses are related and hence 'cognate’ in the sense that they share several elements, and are of the same class or category, but may contain some elements not found in the higher offense.” (Citation omitted.) People v Ora Jones, 395 Mich 379, 387; 236 NW2d 461 (1975).

The fact that a lesser offense contains an element not also contained in the greater does not necessarily preclude the lesser from being included within the greater. The major factor is notice to the defendant; if the relation between the lesser *584offense and that originally charged is close enough to fairly inform the defendant that he will be required to defend against it, the lesser offense may be included within the greater. Further, cognate offenses include common statutory purposes as well as common elements; and, the shared elements must be related to those purposes, i.e., "coincide in the harm to the societal interest to be protected”. Ora Jones, p 390.

Thus, in contrast to the test used in the federal system, the Michigan test for double jeopardy focuses on the facts of the particular case and proscribes multiple convictions of cognate as well as necessarily included offenses.

The Michigan analysis has been applied by this Court to preclude dual convictions of possession and delivery of the same heroin, where the possession was necessarily incident to delivery. People v Martin, 398 Mich 303; 247 NW2d 303 (1976).

Reaching the same conclusion with respect to the sale and possession of the identical heroin in People v Stewart (On Rehearing), 400 Mich 540, 548-549; 256 NW2d 31 (1977), we explained:

"Possession and sale of narcotics are separate crimes which may be separately charged. * * * In a given case, sale may be found without possession. Likewise, possession may be determined without sale. However, depending upon the facts developed at trial, when the circumstance of possession is not severable or apart from a sale and the jury concludes the defendant is guilty of sale, then the possession blends together with the sale so as to constitute one single wrongful act.
"Therefore, from the evidence adduced at this trial, the illegal possession of heroin was obviously a lesser included offense of the illegal sale of heroin. When the jury in the case at bar found the defendant guilty of the illegal sale of this heroin, they necessarily found him guilty of possession of the same heroin.
*585"Defendant Stewart may not be 'doubly punished’ by convicting him of possession, which in this case was a 'necessary’ prerequisite or the sine qua non for the very sale for which he was also convicted.”28 (Citation omitted.)

This Court has also held that multiple convictions of armed robbery, larceny in a building, and larceny over $100, all arising from the same taking, violate double jeopardy. People v Jankowski, supra.29 Finally, in People v Wilder, supra, 411 Mich 342, we held that conviction and sentence for both first-degree felony murder and the underlying felony also contravened the state constitutional provision, because in that case "the evidence needed to prove first-degree felony murder require^] proof of the underlying lesser included felony”.

In the instant case, defendant Carter contends *586that his dual convictions violate double jeopardy in that the two crimes are cognate-included offenses. Further, he argues, the facts introduced at trial to demonstrate aiding and abetting necessarily proved the crime of conspiracy and vice versa, i.e., the facts used to show conspiracy required the jury to find aiding and abetting.

We disagree. Initially we note that aiding and abetting the commission of extortion and conspiracy to commit extortion do not satisfy the definition of cognate offenses set forth in Ora Jones, supra. Although both crimes involve concerted activity, the offenses are not of the same class or category. Nor do they appear to reflect a common statutory purpose. The conspiracy statute punishes the planning of the offense and focuses upon the alleged "special dangers” resulting from group action. On the other hand, the aiding and abetting statute punishes the actual commission of the crime.

In addition, on the facts of this case, neither crime was necessarily included within the other. Neither was a " 'necessary' prerequisite or the sine qua non” of the other. Stewart, p 549. And, proof of either crime did not necessarily require a finding of the other.

In applying the Michigan "factual” double jeopardy test, it is critical to recognize the distinction between what a jury could or did conclude from the evidence and what a jury necessarily found. Thus, in the instant case, when the jury found the defendant guilty of aiding and abetting Kimble in the commission of extortion, it did not thereby find sufficient facts to find him guilty of conspiracy. To convict Carter on the aiding and abetting charge, the jury was required to find that he actively participated in the joint venture and that he *587shared Kimble’s intent to commit the crime. Carter’s participation in the crime was demonstrated at trial by testimony that he had composed the threatening letter in Kimble’s room at the Sewell Hotel, met Kimble after the robbery, and divided the money. However, these facts do not necessarily presuppose or establish an agreement to commit the extortion, the indispensable element of conspiracy. Establishing the agreement required a completely separate inference, or a separate factual finding. Further, unlike the situation in Martin and Stewart, where the delivery and sale could not have taken place without the possession, in the instant case, the aiding and abetting could have occurred without the conspiracy.

By the same token, the jury was not required to find defendant guilty of aiding and abetting the extortion based on proof that he conspired with Kimble to commit it. Certainly the aiding and abetting was not a "necessary prerequisite or the sine qua non” of the conspiracy. In addition, proof of the conspiracy in this case was not sufficient to establish aiding and abetting. Even if the jury used the same facts as a starting point for finding defendant guilty of both charges, an additional fact is required to support a conviction of aiding and abetting, i.e., evidence of the completed crime. In that sense, the instant case differs significantly from other cases in which this Court has found double jeopardy violations. In Martin and Stewart, once the delivery and sale were found, the possession was established without further proof. On the facts in Jankowski, when the jury found that the defendant had committed the taking which constituted an element of the armed robbery, the jury necessarily found, without additional evidence, the facts sufficient to convict on the larceny charges. *588In Wilder, proof of first-degree felony murder necessarily established the underlying felony of armed robbery.

Finally, the factual pattern in the instant case may have allowed the jury to convict defendant of both crimes on the basis of completely different facts. Edward Kimble testified that he met with defendant Carter on two different occasions on December 18, the day before the robbery. According to Kimble, he and Carter discussed the "Consumers Power job” on the afternoon of December 18.30 That evening, they met again to compose the extortion note. The jury could have believed Kimble’s entire testimony, and concluded that the agreement was consummated in the first meeting, making the crime of conspiracy complete. It could then have found the more active participation required for liability as an accessory in the events of the evening meeting at the Sewell Hotel.

In sum, it was both factually and logically possible for defendant to be guilty of either crime in the case — aiding and abetting the commission of extortion and conspiracy to commit extortion— without at the same time being guilty of the other. Cf. Jankowski. These crimes are factually and theoretically independent; they are neither inseparably intertwined, cf. Stewart, nor merely alter*589native routes for creating liability for the substantive crime.31 Neither crime necessarily supplies an indispensable element of the other. Cf. Wilder.

"[Conspiracy may be an evil in itself, [independent] of any other evil it seeks to accomplish.” Dennis v United States, 341 US 494, 573; 71 S Ct 857; 95 L Ed 1137 (1951) (Jackson, J., concurring). In the instant case, this statement describes the facts as well as the law.32 Thus, defendant’s "factual” double jeopardy challenge to his dual convictions must be rejected.33

Ill

In a further challenge to his conviction, defendant contends that the trial court erred in refusing to grant a new trial, despite the prosecutor’s failure to indorse and produce a res gestae witness.

Edward Kimble was arrested as a result of information supplied to the police by Lawrence *590Morris, the manager of the J. C. Penney store located across the street from the Consumers Power office. According to Morris’s affidavit filed in support of defendant’s motion for a new trial, and also his testimony at the evidentiary hearing34 to consider that motion, on two different occasions prior to December 19, 1975, he noticed a black male standing in the lobby between the inside and outside doors of his store, staring at the Consumers Power building. On each occasion, the man stayed for 10 or 15 mintues before leaving.

Morris stated further that on the morning of December 19, he again saw the same black male come into the lobby and watch the building across the street for approximately 15 minutes. Morris testified that he went out to lunch at 11 a.m. on that day, and did not return to his store until after the robbery had occurred. When the same black male, subsequently identified as Edward Kimble, appeared in the store the day after the robbery, Morris called the police, who made the arrest.

In his affidavit, Morris explained that he had noticed this particular black male because he was afraid that the man might be planning to rob the J. C. Penney store. On all three occasions, the man appeared to be alone.

Before trial, defense counsel filed a general demand for exculpatory evidence. He subsequently filed several specific motions for discovery, and received the particular evidence requested.35

*591Larry Morris was not called to testify at trial. Defense counsel first learned of his existence when he reviewed the presentence report following defendant’s trial and conviction.

In denying defendant’s motion for a new trial, the trial judge ruled that Morris was not a res gestae witness, and that further, in view of the "very persuasive” evidence of defendant’s guilt, the failure of the jury to hear his testimony did not affect the outcome at trial.

The people have an affirmative duty to indorse and produce at trial all res gestae witnesses. MCL 767.40; MSA 28.980. While no precise definition of the term has been developed, a res gestae witness has been loosely described as "an eyewitness to some event in the continuum of a criminal transaction and [one] whose testimony will aid in developing a full disclosure of the facts surrounding the alleged commission of the charged offense”. People v Hadley, 67 Mich App 688, 690; 242 NW2d 32 (1976).

The defendant argues that Morris’s testimony would "aid in developing a full disclosure of the facts” by contradicting Edward Kimble’s testimony in two important respects. First, Kimble indicated, in essence, that the conspiracy began on the afternoon of December 18, when he and Carter discussed the Consumers Power job. However, Morris’s statements reveal that some time before that date, Kimble was seen staring at the Consumers Power building from across the street. Second, Kimble testified that "one day” he and Carter surveyed the proposed scene of the crime from the sidewalk. Morris’s testimony would indicate that, on the contrary, Kimble engaged in such activities *592not with Carter, but by himself. Thus, defendant concludes, Morris is a witness who can attest to a crucial fact, i.e., the fact that Carter was not present during the surveillance.

We disagree. Morris’s statements do not necessarily contradict the prosecutor’s case. The fact that Morris saw only Kimble does not require the conclusion that Kimble was surveying the robbery scene alone. Carter could have easily been present, outside Morris’s range of vision. Further, the fact Kimble may have been seen near the Consumers Power office before December 18 is not relevant to any involvement of Carter in the conspiracy.

More importantly, even in terms of the "continuum of the criminal transaction”, Morris is simply too far removed from the criminal event to be denominated a res gestae witness. Morris was not an eyewitness to the crime; moreover, he never even saw the defendant until approximately two years after the crime. In those cases in which individuals were found to be res gestae witnesses in spite of the fact that they did not observe the actual commission of the crime, the connection between what was observed and the criminal event was much closer than in the instant case. In People v Hadley, supra, the witness observed the defendant, a suspicious-looking person, in a parking lot just a few minutes before the defendant broke into an automobile. The witness’s phone call led directly to the defendant’s arrest, and the court found that he qualified as a res gestae witness.

Defendant challenges the prosecutor’s failure to indorse and produce Larry Morris from another perspective. He argues that the people’s nondisclo*593sure of the existence and identity of the witness in the face of a general request for exculpatory material constituted a denial of a fair trial.

Because the government’s ability to investigate and uncover information is superior to the defendant’s, the adversary process has been somewhat modified in the criminal trial context. Focusing upon the unfairness of this disparity and also upon the affirmative duty of the prosecution to ensure that a trial is directed toward fair ascertainment of the truth,36 the United States Supreme Court has held that a defendant has a due process right of access to certain information possessed by the prosecution. The prosecution may not suppress evidence requested by the defendant where the evidence is favorable to the accused and material to his guilt or punishment. Brady v Maryland, 373 US 83; 83 S Ct 1194; 10 L Ed 2d 215 (1963).

In United States v Agurs, 427 US 97, 103-104; 96 S Ct 2392; 49 L Ed 2d 342 (1976), the Court further detailed the standard for prosecutorial disclosure. It identified three different situations in which a defendant’s due process right to discovery may be implicated. In the first situation, where the prosecutor knowingly uses perjured testimony, the failure to reveal the perjury mandates reversal of a conviction ”if there is any reasonable likelihood *594that the false testimony could have affected the judgment of the jury”. In the second type of situation, illustrated by Brady, supra, where a specific request for a piece of evidence is made, the test for reversal is whether "the suppressed evidence might have affected the outcome of the trial”. (Footnote omitted.)

Quite often, however, as in the instant case, a third type of situation occurs: the defendant has no knowledge of exculpatory material possessed by the prosecutor, and, therefore, cannot make a specific request. In these circumstances, where defendant can only make a general request for exculpatory information, or, in fact makes no request at all,37 the standard for what is in effect a voluntary disclosure is more difficult to meet:

"[T]he prosecutor will not have violated his constitutional duty of disclosure unless his omission is of sufficient significance to result in the denial of the defendant’s right to a fair trial.” Agurs, p 108.

The specific test for determining when a prosecutor must reveal exculpatory evidence in this *595situation is governed by the standard of materiality enunciated in Agurs:

"The proper standard of materiality must reflect our overriding concern with the justice of the finding of guilt. Such a finding is permissible only if supported by evidence establishing guilt beyond a reasonable doubt. It necessarily follows that if the omitted evidence creates a reasonable doubt that did not otherwise exist, constitutional error has been committed. This means that the omission must be evaluated in the context of the entire record. If there is no reasonable doubt about guilt whether or not the additional evidence is considered, there is no justification for a new trial. On the other hand, if the verdict is already of questionable validity, additional evidence of relatively minor importance might be sufficient to create a reasonable doubt.” (Footnotes omitted.) Agurs, pp 112-113.

Applying the Agurs test, the trial judge held that, given the overwhelming evidence of defendant’s guilt, Larry Morris’s testimony was not sufficient to create a reasonable doubt regarding that guilt.

We agree. The evidence implicating defendant in the crime was direct and persuasive. The testimony of the victim, describing her friendship with Carter and his knowledge of facts about her family reflected in the extortion note, i.e., that she had three sons, helped connect him with the crime in a manner which corroborated the testimony of Kimble and Potter. Further, for the reasons noted above, the evidence contained in Morris’s statements would not necessarily have contradicted the other evidence presented against the defendant. The omitted evidence, Morris’s testimony, would not have served "to create a reasonable doubt that did not otherwise exist”. The prosecution, therefore, was under no duty to disclose his identity.

*596IV

Defendant was arrested approximately three weeks after the robbery, when he was identified by Diane Potter from a photograph. Defendant challenges the photographic identification procedure as impermissibly suggestive and argues further that there was no independent basis for her identification of defendant at trial.

A Wade38 hearing was held to consider this issue prior to trial. At the hearing, Detective Michael Rand, the investigating officer, testified that he showed Potter a total of approximately 200 photographs on three or four different occasions. At the first showup, held the day after the robbery, she selected the photograph of a person who had been in prison at the time of the crime. At the last photographic lineup, held nearly three weeks later, Potter picked out defendant’s picture. Officer Rand testified that the witness stopped at Carter’s picture, which was the third one in the pack, and did not look at the remaining photographs. This testimony was contradicted by Potter, who stated that she went through the entire pack twice before identifying defendant.

Diane Potter testified that she had given the police an independent description of defendant before viewing the photographs. He was depicted as clean-shaven, about six feet tall with a sturdy build, hair in tight circles, "buggy eyes”, and flared nostrils. Although she remembered him as clean-shaven both in person and in his photograph, in fact defendant, both in person and as pictured, had a mustache and a goatee.

*597Potter testified, somewhat equivocally, that just before the final showup, Officer Rand mentioned that he had a particular suspect in mind, and that she should look over the photographs very closely. After she picked out defendant’s picture, he confirmed that she had selected the right person. Detective Rand, on the other hand, stated that he could not recall making any such comment to Potter at the showup in question.

The trial judge concluded that Potter, having testified that she had seen Carter several times at Leake’s Lounge and the Sewell Hotel, had an independent basis for her identification of Carter. He also held that the photographic identification procedure was "fair under the circumstances”.

Defendant challenges both conclusions. He argues that Detective Rand’s statements to Potter revealing that he had focused on a particular suspect and that she had selected the proper photograph rendered the procedure impermissibly suggestive and tainted her identification at trial.

It is true that comments such as those allegedly made by Detective Rand may lead to error in a photographic identification procedure:

"The chance of misidentification is also heightened if the police indicate to the witness that they have other evidence that one of the persons pictured committed the crime.” (Footnotes omitted.) Simmons v United States, 390 US 377, 383; 88 S Ct 967; 19 L Ed 2d 1247 (1968).

This Court has also recognized the impropriety of this behavior:

*598"Improper suggestion commonly comes about because of three things. First, the witness when called by the police or prosecution either is told or believes that the police have apprehended the right person. Second, if the witness is shown only one person or a group in which one person is singled out in some way, he is tempted to presume that he is the person. Third, as the second factor just discussed above shows, eyewitness identification has inherent weaknesses from the standpoint of the witness’s problems of sensation, retention, etc., and the similarity in appearance of people.” People v Anderson, 389 Mich 155, 178; 205 NW2d 461 (1973). (Emphasis added.)

The great danger of an improper procedure is that an initial misidentification may unduly influence any subsequent identification. Thus, a courtroom identification may be made on the basis of the initial photographic showup or corporeal lineup rather than from an independent recollection of the crime. United States v Wade, 388 US 218; 87 S Ct 1926; 18 L Ed 2d 1149 (1967); People v Anderson, supra.

To guard against this possibility, if a pretrial identification has been improperly conducted, an independent basis for any in-court identification must be established. In People v Kachar, 400 Mich 78, 95-96; 252 NW2d 807 (1977), this Court set forth the criteria to be used to determine whether such an independent basis exists:

"1. Prior relationship with or knowledge of the defendant.
"2. The opportunity to observe the offense. This includes such factors as length of time of the observation, lighting, noise or other factor affecting sensory perception and proximity to the alleged criminal act.
"3. Length of time between the offense and the disputed identification. * * *.
*599"4. Accuracy or discrepancies in the pre-lineup or showup description and defendant’s actual description.
"5. Any previous proper identification or failure to identify the defendant.
"6. Any identification prior to lineup or showup of another person as defendant.
"7. [T]he nature of the alleged offense and the physical and psychological state of the victim.
"8. Any idiosyncratic or special features of defendant.”39

We agree with the trial judge that the photographic identification procedure used in this case was not impermissibly suggestive. First, it is less than clear that the allegedly improper remarks even took place. Not only was Diane Potter’s testimony contradicted by Officer Rand’s, but also it was somewhat inconsistent in itself. At one point in the pretrial hearing, she stated that she was not positive that the officer had said anything before showing her the photographs. Second, even if Officer Rand did indicate that he had a suspect in mind, he in no way indicated who that suspect was until after Potter unequivocally identified the defendant. Finally, any inconsistencies in Potter’s testimony and identification relate more directly to her credibility as a witness than to the alleged suggestiveness of the procedure.

In addition, application of the relevant Kachar criteria reveals that there was a sufficient independent basis for Diane Potter’s identification of Alvin Carter. She had a prior knowledge of the defendant, having seen him on at least six occasions *600prior to the crime. The quality of the circumstances in which she observed him is also more likely to give rise to reliable identification than the emotional circumstances in which a victim views a suspect while the crime is taking place.

Further, although Potter erroneously described defendant as clean-shaven, she did accurately focus on a number of defendant’s idiosyncratic features, such as his "buggy” eyes and flared nostrils. And, in spite of her initial selection of the wrong photograph, when confronted with defendant’s picture, Potter’s identification was clear and unequivocal.

Under the totality of the circumstances, therefore, we hold that Potter’s in-court identification was supported by . a more than adequate independent basis. The trial judge properly allowed this evidence at trial.

V

At trial, Kimble testified that he had first met defendant in prison, where Carter was a guard and Kimble a prisoner. Defendant then called witnesses to establish that defendant and Kimble were assigned to different units of the prison and would have had no contact with each other. One of the witnesses testified from personnel records that Carter had been employed in the trusty division until he was dismissed. On cross-examination, the prosecutor inquired as to the reason for the dismissal. Over defense counsel’s objection, the witness was permitted to respond that defendant had been fired for assaulting his supervisor. The trial court allowed the testimony on the theory that the defense had opened the door by bringing in the employment records.

*601At the conclusion of the witness’s testimony, the trial court, sua sponte, gave a cautionary instruction:

"Jurors, I want to make a cautionary instruction at this time. I’ve allowed the prosecutor to go into the records because the defendant produced them himself, and I thought it was only fair that he do so; however, I want to caution you at this time that you’re not to consider anything concerning what was testified to in reference to any suspension or dismissal in determining whether he is guilty or innocent of this charge. It would be error for you to do so. So, don’t consider anything about that in reference as to whether he Committed the offenses that he’s on trial here for.”

After this instruction was given, there was no further objection.

Defendant argues that the trial court erred in allowing the testimony. Evidence that a defendant has committed another crime or offense is generally inadmissible on the issue of his guilt of the charged offense. People v DerMartzex, 390 Mich 410; 213 NW2d 97 (1973). The purpose of the rule is to guard against convicting an accused on the theory that he is a "bad man”. The probative value of such evidence is often outweighed by its prejudicial effect. DerMartzex, supra.

Under the facts of this case, we find that any error that may have occurred was cured by the cautionary instruction. See People v Richardson, 239 Mich 695; 214 NW 965 (1927); People v Page, 198 Mich 524; 165 NW 755 (1917). The instruction immediately followed the objectionable testimony, and the only further reference to defendant’s discharge by either party was defendant’s testimony that he had been reinstated with back pay after an investigation of the incident. Thus, we find this issue to be without merit.

*602VI

Accordingly, we affirm defendant’s conviction of aiding and abetting the commission of extortion and conspiracy to commit extortion.

The Court of Appeals is affirmed.

Fitzgerald, C.J., and Williams, Coleman, and Ryan, JJ., concurred.

Kavanagh, J.

(for reversal of conspiracy conviction). I would affirm defendant’s conviction of extortion, but would set aside his conviction of conspiracy to perpetrate extortion.

Nothing was added to the extortion by the "conspiracy” to effect it. When the extortion was carried out the charged conspiracy merged into the completed act.

Levin, J., concurred with Kavanagh, J.

Riley, J., took no part in the decision of this case.

7.3.3 Notes and Questions (People v Carter) 7.3.3 Notes and Questions (People v Carter)

  1. In People v. Seewald, 879 N.W.2d 237 (Mich. 2016) the court found that two defendants guilty of conspiracy who agreed to sign petitions, all of which contained valid voter signatures, even though neither had collected the signatures. Although the act if submitting valid signatures was legal, they did so in an illegal manner when they falsely signed that they had collected the signatures. Carter points to this. A conspiracy can be “to accomplish a legal act by unlawful means.” 

  2. Merger. See Model Penal Code § 1.07(1).

  3. Attempted Conspiracy. Is this an offense? How is this different, if at all, from solicitation?

7.3.4 Pinkerton v. United States, 328 U.S. 640 (1946) 7.3.4 Pinkerton v. United States, 328 U.S. 640 (1946)

328 U.S. 640 (1946)

PINKERTON ET AL.
v.
UNITED STATES.

No. 719.

Supreme Court of United States.

Argued May 1, 1946.
Decided June 10, 1946.

 

CERTIORARI TO THE CIRCUIT COURT OF APPEALS FOR THE FIFTH CIRCUIT.

 

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

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

MR. JUSTICE DOUGLAS delivered the opinion of the Court.

Walter and Daniel Pinkerton are brothers who live a short distance from each other on Daniel's farm. They were indicted for violations of the Internal Revenue Code. The indictment contained ten substantive counts and one conspiracy count. The jury found Walter guilty on nine of the substantive counts and on the conspiracy count. It found Daniel guilty on six of the substantive counts and on the conspiracy count. Walter was fined $500 and sentenced generally on the substantive counts to imprisonment for thirty months. On the conspiracy count he was given a two year sentence to run concurrently with the other sentence. Daniel was fined $1,000 and sentenced generally on the substantive counts to imprisonment for thirty months. On the conspiracy count he was fined $500 and given a two year sentence to run concurrently with the other sentence. The judgments of conviction were affirmed by the Circuit Court of Appeals.[1] 151 F.2d [642] 499. The case is here on a petition for a writ of certiorari, which we granted because one of the questions presented involved a conflict between the decision below and United States v. Sall, 116 F.2d 745, decided by the Circuit Court of Appeals for the Third Circuit.

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

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

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

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

 

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

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

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

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

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

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

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

Affirmed.

MR. JUSTICE JACKSON took no part in the consideration or decision of this case.

MR. JUSTICE RUTLEDGE, dissenting in part.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

MR. JUSTICE FRANKFURTER, reserving judgment on the question of double jeopardy, agrees in substance with the views expressed in this dissent.

[1] The court held that two of the counts under which Walter was convicted and one of the counts under which Daniel was convicted were barred by the statute of limitations and that as to them the demurrer should have been sustained. But each of the remaining substantive counts on which the jury had returned a verdict of guilty carried a maximum penalty of three years' imprisonment and a fine of $5,000. Int. Rev. Code, § 3321, 26 U.S.C. § 3321. Hence the general sentence of fine and imprisonment imposed on each under the substantive counts was valid. It is settled law, as stated in Claassen v. United States, 142 U.S. 140, 146-147, "that in any criminal case a general verdict and judgment on an indictment or information containing several counts cannot be reversed on error, if any one of the counts is good and warrants the judgment, because, in the absence of anything in the record to show the contrary, the presumption of law is that the court awarded sentence on the good count only."

The same rule obtains in the case of concurrent sentences. Hirabayashi v. United States, 320 U.S. 81, 85 and cases cited.

[2] See May's Law of Crimes (4th ed. 1938), § 126; 17 Corn. L.Q. (1931) 136; People v. Tavormina, 257 N.Y. 84, 89-90, 177 N.E. 317.

[3] The cases are collected in 37 A.L.R. 778, 75 A.L.R. 1411.

[4] The addition of a conspiracy count may at times be abusive and unjust. The Conference of Senior Circuit Judges reported in 1925:

"We note the prevalent use of conspiracy indictments for converting a joint misdemeanor into a felony; and we express our conviction that both for this purpose and for the purpose — or at least with the effect — of bringing in much improper evidence, the conspiracy statute is being much abused.

"Although in a particular case there may be no preconcert of plan, excepting that necessarily inherent in mere joint action, it is difficult to exclude that situation from the established definitions of conspiracy; yet the theory which permits us to call the aborted plan a greater offense than the completed crime supposes a serious and substantially continued group scheme for cooperative law breaking. We observe so many conspiracy prosecutions which do not have this substantial base that we fear the creation of a general impression, very harmful to law enforcement, that this method of prosecution is used arbitrarily and harshly. Further the rules of evidence in conspiracy cases make them most difficult to try without prejudice to an innocent defendant." Annual Report of the Attorney General for 1925, pp. 5-6.

But we do not find that practice reflected in this present case.

[5] This question does not arise as to Walter. He was the direct actor in some of the substantive offenses on which his conviction rests. So the general sentence and fine are supportable under any one of those. See note 1, supra.

[6] The trial court charged: ". . . after you gentlemen have considered all the evidence in this case, if you are satisfied from the evidence beyond a reasonable doubt that at the time these particular substantive offenses were committed, that is, the offenses charged in the first ten counts of this indictment if you are satisfied from the evidence beyond a reasonable doubt that the two defendants were in an unlawful conspiracy, as I have heretofore defined unlawful conspiracy to you, then you would have a right, if you found that to be true to your satisfaction beyond a reasonable doubt, to convict each of these defendants on all these substantive counts, provided the acts referred to in the substantive counts were acts in furtherance of the unlawful conspiracy or object of the unlawful conspiracy, which you have found from the evidence existed." Daniel was not indicted as an aider or abettor (see Criminal Code, § 332, 18 U.S.C. 550), nor was his case submitted to the jury on that theory.

[1] These of course comprehend the vast variety of offenses prescribed by federal law, conspiracies for accomplishing which may be charged under the catchall conspiracy statute, note 3.

[2] "Whoever directly commits any act constituting an offense defined in any law of the United States, or aids, abets, counsels, commands, induces, or procures its commission, is a principal." 18 U.S.C. § 550.

[3] "If two or more persons conspire either to commit any offense against the United States, or to defraud the United States in any manner or for any purpose, and one or more of such parties do any act to effect the object of the conspiracy, each of the parties to such conspiracy shall be fined not more than $10,000, or imprisoned not more than two years, or both." 18 U.S.C. § 88.

[4] In the substantially identical situation presented in the Sall case as to the indictment and the proof, the Government argued that the conviction on the substantive counts should stand because the proof that the accused had entered the conspiracy amounted to proof that he had "aided and abetted" the commission of the substantive crimes within the meaning of 18 U.S.C. § 550. The court rejected the idea, apparently now accepted here, that "aiding and abetting" and "conspiring" are, and are intended by Congress to be, the same thing, differing only in the form of the descriptive words. But if that is the only difference, then conviction for both "offenses" on account of the same act is clearly double punishment.

[5] The situation is essentially the same as when crimes are defined with such minute distinction as to make them different only in the most technical sense. See District of Columbia v. Buckley, 128 F.2d 17, concurring opinion at 21; cf. Ex parte Nielsen, 131 U.S. 176; In re Snow, 120 U.S. 274.

7.3.5 Notes and Questions (Pinkerton v. U.S.) 7.3.5 Notes and Questions (Pinkerton v. U.S.)

Notes following Pinkerton:

In United States v. Eufrasio, 935 F.2d 553 (3d Cir. 1991)three defendants, Idone (a captain), Eufrasio and Iacona (soldiers/associates), who are a part of the Scarfo family (a branch of La Cosa Nostra) are charged with conspiring to commit racketeering under RICO, a federal law aimed at punishing organized crime that “makes it unlawful to acquire, operate, or receive income from an enterprise through a pattern of racketeering activity.” Stephen Schneider, Racketeer Influenced and Corrupt Organizations Act, Encyclopædia Britannica (May 03, 2015), https://www.britannica.com/topic/Racketeer-Influenced-and-Corrupt-Organizations-Act. Due to its broad definitions, RICO applies to both legitimate and illegitimate enterprises, and has been used against corporations, healthcare providers, Fédération Internationale de Football Association (FIFA), and even police departments. For more on RICO, see Carl L. Steinhouse, RICO: AN INTRODUCTION AND DESCRIPTION. 52 No. 2 Antitrust Law Journal 303-10, (1983). www.jstor.org/stable/40842832.  

 

Eufrasio, Idone and Iacona engaged in a pattern of operating illegal electronic gambling machines, extortion and collecting debts at unlawful rates, predicating their pattern of racketeering activity. Idone alone is charged with an additional conspiracy to commit murder predicate, in furtherance of the same criminal enterprise.

 

Applying Pinkerton, what additional charges could have been made?

 

As an aside, RICO predicates have their own statutory language and different caselaw interpreting that language. The RICO Act itself--not Pinkerton liability--expands liability dramatically for all the actions taken to promote the activities of the organization.

7.3.6 People v. Swain 7.3.6 People v. Swain

[No. S037138.

Jan. 29, 1996.]

THE PEOPLE, Plaintiff and Appellant, v. JAMAL K. SWAIN et al., Defendants and Appellants.

*596Counsel

Daniel E. Lungren, Attorney General, George Williamson, Chief Assistant Attorney General, Ronald A. Bass, Assistant Attorney General, Laurence K. Sullivan, Ann K. Jensen, Ronald E. Niver and Mark S. Howell, Deputy Attorneys General, for Plaintiff and Appellant.

George L. Schraer, Richard Phillips and Charles M. Bonneau, under appointments by the Supreme Court, for Defendants and Appellants.

Opinion

BAXTER, J.

Defendants Jamal K. Swain and David Chatman were each convicted of conspiracy to commit murder and other crimes, stemming from the drive-by shooting death of a 15-year-old boy. As we shall explain, we hold that intent to kill is a required element of the crime of conspiracy to commit murder. In light of the jury instructions given, and general verdicts returned, we cannot determine beyond a reasonable doubt whether the jury found that the defendants conspired with an intent to kill. That conclusion requires us to reverse defendants’ conspiracy convictions.

Facts and Procedural Background

The question before us is one of law; the facts found by the Court of Appeal, summarized below, are not disputed.

*597Prosecution evidence established that a brown van passed through the Hunter’s Point neighborhood of San Francisco about 2 a.m. on January 13, 1991. It slowed down near the spot where the young victim, who was of Samoan descent, and his friends were listening to music on the street.

A young Black male who appeared to have no hair was driving the van. Suddenly several shots were fired from the front of the van. Defendant Chatman and another young man also fired guns from the rear of the van. One of the intended victims had yelled out “drive-by” as a warning of the impending shooting, so most of the people on the street ducked down. The 15-year-old victim, Hagbom Saileele, who was holding the radio from which music was playing, was shot twice from behind. He later died in surgery.

Afterward, defendant Swain was in jail and boasted to jailmates about what good aim he had with a gun: “He was talking about what a good shot he was. [ID ... [H He was saying he had shot that Samoan kid when they were in the van going about 30 miles an hour up a hill.” The area where the shooting occurred is hilly; the van would have had to have been traveling uphill as it passed by the scene of the shooting.

Evidence also established that defendant Swain had used his jailhouse visiting privileges to threaten and intimidate witnesses into changing their stories, so that he would not be identified as involved in the crime.

The abandoned brown van was recovered by police; in the van and nearby were found surgical gloves, expended cartridges, a hooded ski mask, and two handguns—a .380-caliber semiautomatic and a .25-caliber automatic. Defendant Swain’s fingerprint was on the inside of the driver’s side window. The forensic evidence established that whoever had used the .380-caliber semiautomatic handgun, from which the fatal shots were fired, had been sitting in the driver’s side front seat of the van.

The .380-caliber gun was traced, through a series of owners and transactions involving narcotics, to defendant Chatman. Chatman was interrogated by police; he denied any knowledge of the van and claimed he had not purchased the gun. When this story proved false, Chatman admitted he had bought the gun, but claimed it had been stolen from him. Still later, he claimed he had sold it to someone else.

A warrant was obtained for Chatman’s arrest. After waiving his rights, Chatman told police he and two other people, not including Swain, had driven the van to the crime scene in order to get revenge for a car theft by a rival gang. Chatman insisted, to the police and at trial, that Swain had not *598been in the van. He could not, however, explain Swain’s fingerprint inside the van.

The owner of the van testified Swain had never been inside his van prior to the incident, but that Swain had intimidated him into telling police he (Swain) had previously been inside the vehicle, since otherwise “he was going to have something done to him.”

At trial, Chatman admitted he had been in the van, which was driven to Hunter’s Point to retaliate for a car theft attributed to a neighborhood youth who was not the victim of the shooting. The original plan was allegedly to steal the car of the thief. Chatman admitted he had fired shots, but claimed he fired wildly and only in self-defense. In support of this self-defense theory, he testified he heard an initial shot and thought it was fired by someone outside the van shooting at him, so he returned the fire. As noted, Chatman claimed Swain was not in the van.

Swain testified he was not in the van during the shooting and did not do any shooting. He claimed he had entered the van earlier in the evening, but had left because “the smell of marijuana bothered him.” He claimed he took BART (Bay Area Rapid Transit) to Berkeley, where he spent the evening at a relative’s home. He denied boasting about shooting the victim and denied having threatened any witnesses.

The jury first returned a verdict finding defendant Chatman guilty of second degree murder and conspiracy. As instructed, the jury also made a finding that the target offense of the conspiracy was murder in the second degree. Several days later, the jury returned verdicts against defendant Swain, finding him not guilty of murder or its lesser included offenses, but guilty of conspiracy and of attempting to dissuade a witness from testifying by threats. Once again, the jury made a finding under the conspiracy count that the target offense of the conspiracy was murder in the second degree.

At the sentencing hearing, the parties disputed the proper sentence for the crime of conspiracy to commit murder, where the target offense is found by the jury to be murder in the second degree. The trial court ultimately ruled that the proper sentence was an indeterminate term of 15 years to life, that prescribed for murder in the second degree, not 25 years to life, that prescribed for murder in the first degree, as the People had argued.

Chatman was sentenced to 15 years to life for second degree murder, with a consecutive 4-year enhancement for personal firearm use. A sentence of 15 years to life for the conspiracy count was imposed but stayed pursuant to Penal Code section 654.

*599Swain was sentenced to 15 years to life for conspiracy, and an additional 3 years for the conviction of attempting to dissuade a witness from testifying by threats.

Both defendants appealed on several grounds, including the question of whether intent to kill is a required element of the crime of conspiracy to commit murder. More particularly, where, as here, the target offense is determined to be murder in the second degree, does conviction of conspiracy to commit murder necessarily require proof of express malice—the functional equivalent of intent to kill—or can one conspire to commit implied malice murder? The People also appealed, contending the trial court improperly sentenced defendants to indeterminate terms of 15 years to life on the conspiracy counts because, assertedly under Penal Code section 182, every “conspiracy to commit murder” must be punished as a first degree murder, with a sentence of 25 years to life. The Court of Appeal affirmed the convictions and judgments imposing sentence in their entirety.

Defendants and the People each petitioned for review. We granted the petitions, limiting review to two issues: (1) is intent to kill a required element of conspiracy to commit murder, and (2) what is the punishment for conspiracy to commit murder, given the prescripts of Penal Code section 182?

Discussion

I

Defendants contend the jury should have been instructed that proof of intent to kill is required to support a conviction of conspiracy to commit murder, whether the target offense of the conspiracy—murder—is determined to be in the first or second degree. More particularly, defendants assert it was error to instruct the jury on the principles of implied malice second degree murder in connection with the determination of whether they could be found guilty of conspiracy to commit murder, since implied malice does not require a finding of intent to kill. As we shall explain, we agree.

We commence our analysis with a brief review of the elements of the crime of conspiracy, and of murder, the target offense of the conspiracy here in issue.

Conspiracy is an inchoate crime. (See United States v. Feola (1975) 420 U.S. 671, 694 [43 L.Ed.2d 541, 558, 95 S.Ct. 1255].) It does not require the commission of the substantive offense that is the object of the conspiracy. (People v. Manson (1977) 71 Cal.App.3d 1, 47 [139 Cal.Rptr. 275].) *600“As an inchoate crime, conspiracy fixes the point of legal intervention at [the time of] agreement to commit a crime,” and “thus reaches further back into preparatory conduct than attempt. . . .” (Model Pen. Code & Commentaries (1985) com. 1 to § 5.03, pp. 387-388.)

The crime of conspiracy is defined in the Penal Code as “two or more persons conspiring]” “[t]o commit any crime,” together with proof of the commission of an overt act “by one or more of the parties to such agreement” in furtherance thereof. (Pen. Code, §§ 182, subd. (a)(1), 184.) “Conspiracy is a ‘specific intent’ crime. . . . The specific intent required divides logically into two elements: (a) the intent to agree, or conspire, and (b) the intent to commit the offense which is the object of the conspiracy. ... To sustain a conviction for conspiracy to commit a particular offense, the prosecution must show not only that the conspirators intended to agree but also that they intended to commit the elements of that offense.” (People v. Horn (1974) 12 Cal.3d 290, 296 [115 Cal.Rptr. 516, 524 P.2d 1300] (Horn), citations omitted, italics added.) In some instances, the object of the conspiracy “is defined in terms of proscribed conduct.” (Model Pen. Code & Commentaries, supra, com. 2(c) to § 5.03, p. 402.) In other instances, it “is defined in terms of ... a proscribed result under specified attendant circumstances.” (Ibid.)1

Another provision of the Penal Code, section 182, the current version of which was enacted in 1955, prescribes the punishment for the crime of conspiracy. “If the felony is one for which different punishments are prescribed for different degrees, the jury or court which finds the defendant guilty thereof shall determine the degree of the felony defendant conspired to commit. If the degree is not so determined, the punishment for conspiracy to commit such felony shall be that prescribed for the lesser degree, except in the case of conspiracy to commit murder, in which case the punishment shall be that prescribed for murder in the first degree.”

Turning next to the elements of the target offense of the conspiracy here in issue, Penal Code section 187 defines the crime of murder as the “unlawful killing of a human being . . . with malice aforethought.” (Pen. Code, § 187, subd. (a).) Malice aforethought “may be express or implied.” (Pen. Code, § 188.) “It is express when there is manifested a deliberate intention unlawfully to take away the life of a fellow creature. It is implied, when no considerable provocation appears, or when the circumstances attending the killing show an abandoned and malignant heart.” (Ibid.)

*601This court has observed that proof of unlawful “intent to kill” is the functional equivalent of express malice. (See People v. Saille (1991) 54 Cal.3d 1103, 1114 [2 Cal.Rptr.2d 364, 820 P.2d 588] [“Pursuant to the language of [Penal Code] section 188, when an intentional killing is shown, malice aforethought is established.”].)2

Penal Code section 189 distinguishes between murders in the first degree and murders in the second degree. “All murder which is perpetrated by means of a destructive device or explosive . . . , poison, lying in wait, torture, or by any other kind of willful, deliberate, and premeditated killing, or which is committed in the perpetration of, or attempt to perpetrate, [certain enumerated felonies], or any murder which is perpetrated by means of discharging a firearm from a motor vehicle, intentionally at another person outside of the vehicle with the intent to inflict death, is murder of the first degree. All other kinds of murders are of the second degree.” (Italics added.)3

California law, in turn, recognizes three theories of second degree murder.

The first is unpremeditated murder with express malice. (See CALJIC No. 8.30 [“Murder of the second degree is [also] the unlawful killing of a human being with malice aforethought when there is manifested an intention unlawfully to kill a human being but the evidence is insufficient to establish deliberation and premeditation.”].)

The second, of particular concern here, is implied malice murder. (See CALJIC No. 8.31 [“Murder of the second degree is [also] the unlawful killing of a human being when: [*][] 1. The killing resulted from an intentional act, [H 2. The natural consequences of the act are dangerous to human life, and [00 3. The act was deliberately performed with knowledge of the danger to, and with conscious disregard for, human life. [00 When the killing is the direct result of such an act, it is not necessary to establish that the defendant intended that his act would result in the death of a human being.”].)

The third theory is second degree felony murder. (See CALJIC No. 8.32 [“The unlawful killing of a human being, whether intentional, unintentional *602or accidental, which occurs [during] [as the direct causal result of] the commission or attempted commission of [certain crimes] is murder of the second degree when the perpetrator had the specific intent to commit such crime.”] [Third bracket added].)

As noted, the jury in this case was instructed on the elements of murder, including principles of implied malice second degree murder. Under the instructions given, the jury could have based its verdicts finding defendants guilty of conspiracy to commit murder in the second degree on a theory of implied malice murder. The Court of Appeal below concluded it could find no authority supportive of the proposition that the crime of conspiracy to commit murder in the second degree must be accompanied by an intent to kill (i.e., express malice). Instead, the court relied on the holding in People v. Alexander (1983) 140 Cal.App.3d 647 [189 Cal.Rptr. 906] (Alexander), which case suggested that implied malice is “the most logical route" to establishing the crime of “conspiracy to commit murder in the second degree.” (Id. at p. 665.) Alexander, in turn, purported to place principal reliance on this court’s opinion in Horn, supra, 12 Cal.3d 290, interpreting Horn as holding that conspiracy to commit murder in the second degree can be based on a theory of implied malice murder.

As will be explained, Horn, supra, 12 Cal.3d 290, did not so hold. Nor do we find the rationale of Alexander, supra, 140 Cal.App.3d 647, otherwise sound in reasoning or result to the extent it concluded conspiracy to murder can be grounded on implied malice murder. Before turning to those cases, some preliminary observations will shed light on the logical answer to the question at hand.

We have noted that conspiracy is a specific intent crime requiring an intent to agree or conspire, and a further intent to commit the target crime, here murder, the object of the conspiracy. Since murder committed with intent to kill is the functional equivalent of express malice murder, conceptually speaking, no conflict arises between the specific intent element of conspiracy and the specific intent requirement for such category of murders. Simply put, where the conspirators agree or conspire with specific intent to kill and commit an overt act in furtherance of such agreement, they are guilty of conspiracy to commit express malice murder. The conceptual difficulty arises when the target offense of murder is founded on a theory of implied malice, which requires no intent to kill.

Implied malice murder, in contrast to express malice, requires instead an intent to do some act, the natural consequences of which are dangerous to human life. “When the killing is the direct result of such an act,” the requisite *603mental state for murder—malice aforethought—is implied. (CALJIC No. 8.31, italics added.) In such circumstances, “. . . it is not necessary to establish that the defendant intended that his act would result in the death of a human being.” (Ibid.) Hence, under an implied malice theory of second degree murder, the requisite mental state for murder—malice aforethought —is by definition “implied,” as a matter of law, from the specific intent to do some act dangerous to human life together with the circumstance that a killing has resulted from the doing of such act.

Stated otherwise, all murders require, at the core of the corpus delicti of the offense, a “killing.” (People v. Cullen (1951) 37 Cal.2d 614, 624 [234 P.2d 1]; People v. Ives (1941) 17 Cal.2d 459, 463 [110 P.2d 408]; 1 Witkin & Epstein, Cal. Criminal Law, supra, Elements of Crime, § 136, p. 152; 1 Wharton’s Criminal Law (15th ed. 1993) §28, p. 172.) “Murder is the unlawful killing of a human being . . . with malice aforethought.” (Pen. Code, § 187, subd. (a).) But only in the case of implied malice murder is the requisite mental state—malice aforethought—implied from the specific intent to do some act other than an intentional killing and the resulting circumstance: a killing that has in fact occurred as “the direct result of such an act.” (CALJIC No. 8.31.)

The element of malice aforethought in implied malice murder cases is therefore derived or “implied,” in part through hindsight so to speak, from (i) proof of the specific intent to do some act dangerous to human life and (ii) the circumstance that a killing has resulted therefrom. It is precisely due to this nature of implied malice murder that it would be illogical to conclude one can be found guilty of conspiring to commit murder where the requisite element of malice is implied. Such a construction would be at odds with the very nature of the crime of conspiracy—an “inchoate” crime that “fixes the point of legal intervention at [the time of] agreement to commit a crime,” and indeed “reaches further back into preparatory conduct than [the crime of] attempt” (Model Pen. Code & Commentaries, supra, com. 1 to § 5.03, pp. 387-388)—precisely because commission of the crime could never be established, or be deemed complete, unless and until a killing actually occurred.

By analogy, we have reached similar conclusions respecting the nature of proof of the element of malice required to establish the inchoate crimes of assault with intent to commit murder and attempted murder.

In People v. Murtishaw (1981) 29 Cal.3d 733 [175 Cal.Rptr. 738, 631 P.2d 446] (Murtishaw), the defendant was convicted of three counts of first degree murder and one count of assault with intent to commit murder, in violation *604of former Penal Code section 217. (29 Cal.3d at p. 762.)4 The jury was instructed that the crime required proof of specific intent to commit murder, but was further instructed that murder can be based on express malice, implied malice, or felony murder. However, the jury was also instructed that for intent to commit murder, the necessary specific intent “is to unlawfully kill.” (Id. at p. 763.) This court found such instructions, taken as a whole, were contradictory in that they defined the requisite mental element of the offense in two different ways—intent to kill and intent to murder—and by implication defined the latter to include theories of murder not requiring intent to kill, i.e., implied malice murder and felony murder. (Ibid.; accord, People v. Coleman (1989) 48 Cal.3d 112, 137-138 [255 Cal.Rptr. 813, 768 P.2d 32]; People v. Johnson (1981) 30 Cal.3d 444, 447-449 [179 Cal.Rptr. 209, 637 P.2d 676].)

We went on in Murtishaw, supra, 29 Cal.3d 733, to observe that “[established California authority . . . demonstrates that the concept of implied malice, insofar as it permits a conviction without proof of intent to kill, is . . . inapplicable to the assault [with intent to commit murder] charge.” (Id. at p. 764.) We then explained: “In People v. Mize (1889) 80 Cal. 41 [22 P. 80], the court instructed the jury that defendant would be guilty of assault with intent to commit murder if his acts were such that he could have been convicted of murder had the victim died. The court held the instruction erroneous: ‘ “To constitute murder, the guilty person need not intend to take life; but to constitute an attempt to murder, he must so intend.” [Citation.] “The wrongdoer must specifically contemplate taking life; and though his act is such as, were it successful, would be murder, if in truth he does not mean to kill, he does not become guilty of an attempt to commit murder.” ’ (80 Cal. at p. 43.) (Accord, People v. Miller (1935) 2 Cal.2d 527, 532-533 [42 P.2d 308, 98 A.L.R. 913].)” (Murtishaw, supra, 29 Cal.3d at p. 764.) We further noted that “. . . once a defendant intends to kill, any malice he may harbor is necessarily express malice. Implied malice . . . cannot coexist with a specific intent to kill. To instruct on implied malice in that setting, therefore, may confuse the jury by suggesting that they can convict without finding a specific intent to kill.” (Id. at pp. 764-765, fn. omitted.)

Similarly, in People v. Collie (1981) 30 Cal.3d 43 [177 Cal.Rptr. 458, 634 P.2d 534] (Collie), we applied the above noted reasoning of Murtishaw, supra, 29 Cal.3d 733, to the crime of attempted murder. To constitute an attempt, there must be (i) proof of specific intent to commit the target crime and (ii) a direct, ineffectual act done towards its commission. (1 Witkin & Epstein, Cal. Criminal Law, supra, Elements of Crime, § 143, p. *605160.) Concluding in Collie that the trial court erred in instructing the jury it could convict the defendant of attempted murder on the basis of implied malice and without a finding of intent to kill, we explained: “ ‘Specific intent to kill is a necessary element of attempted murder. It must be proved, and it cannot be inferred merely from the commission of another dangerous crime.’ [Citation.]” (Collie, supra, 30 Cal.3d at p. 62; accord, People v. Visciotti (1992) 2 Cal.4th 1, 58-59 [5 Cal.Rptr.2d 495, 825 P.2d 388]; People v. Lee (1987) 43 Cal.3d 666, 670 [238 Cal.Rptr. 406, 738 P.2d 752]; People v. Ratliff (1986) 41 Cal.3d 675, 695-696 [224 Cal.Rptr. 705, 715 P.2d 665].)

Finally, in People v. Bottger (1983) 142 Cal.App.3d 974 [191 Cal.Rptr. 408], the court applied reasoning similar to that employed by this court in Murtishaw, supra, 29 Cal.3d 733, and Collie, supra, 30 Cal.3d 43, to yet a third inchoate crime related to murder—solicitation to commit murder. Solicitation is complete upon the making of the request or proposal, even when the person solicited immediately rejects it. (1 Witkin & Epstein, Cal. Criminal Law, supra, Elements of Crime, § 124, p. 143.) Unlike conspiracy, proof of solicitation requires neither agreement nor commission of an overt act. (Ibid.) Unlike attempt, it requires no direct, unequivocal act toward the commission of the target offense. (Id., § 143, p. 160.) The Bottger court held that, as with assault with intent to commit murder and attempted murder, solicitation for murder requires intent to kill and cannot be based on a theory of implied malice. (People v. Bottger, supra, 142 Cal.App.3d at pp. 980-982; see also People v. Phillips (1985) 41 Cal.3d 29, 77 [222 Cal.Rptr. 127, 711 P.2d 423] [citing Bottger with approval for the proposition that solicitation for murder requires specific intent to kill].)

As noted, the opinion in Alexander, supra, 140 Cal.App.3d 647, on which the Court of Appeal relied in the present case, concluded conspiracy to commit murder can be based on a theory of implied malice murder. (Id. at p. 665.) The Alexander court took note of the holdings in Murtishaw, supra, 29 Cal.3d 733, and Collie, supra, 30 Cal.3d 43, but found them inapposite in the context of establishing malice for conspiracy to commit murder, apparently believing that to do so would run afoul of this court’s holding in Horn, supra, 12 Cal.3d 290. (Alexander, supra, 140 Cal.3d at pp. 665-666.) In this regard the Alexander court erred. We turn, next, to our decision in Horn.

The defendants in Horn, supra, 12 Cal.3d 290, were convicted of conspiracy to commit murder in the first degree, arson, and the unlawful manufacture of a firebomb. At trial the defendants presented evidence suggesting that at the time of the conspiracy they were so intoxicated they lacked the capacity to harbor malice aforethought, thus making their unlawful agreement, at most, a conspiracy to commit voluntary manslaughter. (Id. at p. *606293.) The trial court, however, refused to instruct the jury that diminished capacity arising from voluntary intoxication could reduce a homicide to manslaughter, thus leaving the jury with an all-or-nothing choice on the conspiracy to commit murder count. The Horn court concluded such refusal to instruct on conspiracy to commit manslaughter required reversal of the conspiracy to commit murder counts.

The court in Horn recognized that earlier, in People v. Kynette (1940) 15 Cal.2d 731 [104 P.2d 794] (Kynette), we had stated that . . ‘a conspiracy to commit murder can only be a conspiracy to commit murder of the first degree for the obvious reason that the agreement to murder necessarily involves the “willful, deliberate and premeditated” intention to kill a human being.’ ” (Horn, supra, 12 Cal.3d at p. 298, quoting Kynette, supra, 15 Cal.2d at p. 745.) This was so because, at the time Kynette was decided, premeditation meant merely “advance planning of the crime.” (Horn, supra, 12 Cal.3d at p. 298.)

As of the time Horn, supra, 12 Cal.3d 290, was decided, however, later cases had redefined premeditation as “requir[ing] proof that the defendant ‘could maturely and meaningfully reflect upon the gravity of his contemplated act.’ [Citations.]” (Id. at p. 298.) Furthermore, although a conviction of murder or conspiracy to commit murder in any degree requires proof of malice aforethought, cases postdating Kynette, supra, 15 Cal.2d 731, had held that malice could be rebutted by a showing that the defendant’s mental capacity was reduced by mental illness, mental defect or intoxication, i.e., recognition of the “diminished capacity defense.” (See People v. Graham (1969) 71 Cal.2d 303, 315 [78 Cal.Rptr. 217, 455 P.2d 153]; People v. Gorshen (1959) 51 Cal.2d 716, 727 [336 P.2d 492]; Horn, supra, 12 Cal.3d at p. 299.)

The Horn court looked to these changes in the law postdating Kynette, supra, 15 Cal.2d 731, considered the evidence of Horn’s diminished capacity caused by intoxication, noted the absence of any basis on which to conclude that the jury, as instructed, had rejected such evidence in convicting Horn and his codefendant of conspiracy to commit murder, and concluded it was therefore reversible error to fail to instruct on the lesser offense of conspiracy to commit manslaughter. (Horn, supra, 12 Cal.3d at pp. 300-301.)

More pertinent to our present analysis, nothing in the court’s decision in Horn suggests that conspiracy to commit murder can be committed without intent to kill (express malice). Indeed, looking to the precise facts of that case, because the conspiracy to murder in Horn involved a firebomb and because, under Penal Code section 189 as then worded, “[a]ll murder which *607is perpetrated by means of a bomb ... is murder in the first degree,” verdicts of conspiracy to commit murder in the second degree in Horn would have been contrary to law, and the Horn court so recognized. (Horn, supra, 12 Cal.3d at pp. 299-300.) In short, neither the facts of Horn, its rationale, nor its holding mandates the view that conspiracy to commit murder can be based on a theory of implied malice.

We conclude that a conviction of conspiracy to commit murder requires a finding of intent to kill, and cannot be based on a theory of implied malice.

II

The question remains whether the instructions on implied malice in this case were prejudicial, requiring reversal of defendants’ convictions of conspiracy to commit murder designated by the jury as murder in the second degree. We conclude the convictions must be reversed.

The jury was instructed on theories of both express and implied malice. They returned general verdicts, which do not inform us on what theory they found the requisite element of malice necessary to convict on the charges of conspiracy to commit murder. Under the implied malice instructions, the jury could have found malice without finding intent to kill. (Pen. Code, § 188.) The prosecutor repeatedly referred to implied malice in the closing arguments, stating at one point that “. . . this could very easily be an implied malice case.”

On this record, under the harmless error test traditionally applied to misinstruction on the elements of an offense, namely, whether it appears “beyond a reasonable doubt that the error complained of did not contribute to the verdict obtained” (Chapman v. California (1967) 386 U.S. 18, 24 [17 L.Ed.2d 705, 710, 87 S.Ct. 824, 24 A.L.R.3d 1065]; see People v. Harris (1994) 9 Cal.4th 407, 424-425 [37 Cal.Rptr.2d 200, 886 P.2d 1193], and cases cited), reversal is required, for it cannot be determined beyond a reasonable doubt that the erroneous implied malice murder instructions did not contribute to the convictions on the conspiracy counts. Nor is there anything else discoverable from the verdicts that would enable us to conclude that the jury necessarily found the defendants guilty of conspiracy to commit murder on a proper theory, i.e., based on express malice or intent to kill. (People v. Harris, supra, 9 Cal.4th at p. 419.) Defendant Chatman was convicted of second degree murder, which conviction itself could have been based on a theory of implied malice; defendant Swain was found not guilty of murder and its lesser offenses.

That portion of the Court of Appeal’s judgment affirming defendants’ convictions of conspiracy to commit murder must therefore be reversed.

*608III

We are mindful that conceptually difficult questions remain regarding whether there exists a viable offense of conspiracy to commit express malice “second degree” murder, and if there be such an offense, what is the applicable punishment. The question also remains whether defendants in this case may be retried for conspiracy to commit murder in the first degree given the jury’s determination that they conspired to commit murder and its further designation of that murder as having been in the second degree.

Confusion has arisen in the wake of several key changes to the law of murder and, in particular, to the definition of premeditation, all of which postdated Horn, supra, 12 Cal.3d 290, and which have called into question the continued validity of certain aspects of that opinion’s holding.

First, the characterization of premeditation upon which Horn, supra, 12 Cal.3d 290, relied, namely, a showing that the defendant was able to “ ‘maturely and meaningfully reflect upon the gravity of his contemplated act’ ” (Horn, supra, 12 Cal.3d at p. 298, italics added, quoting People v. Wolff (1964) 61 Cal.2d 795, 821 [40 Cal.Rptr. 271, 394 P.2d 959]), has itself passed into history. Seven years after Horn was decided, the Legislature amended Penal Code section 189 to provide that “To prove the killing was ‘deliberate and premeditated,’ it shall not be necessary to prove the defendant maturely and meaningfully reflected upon the gravity of his or her act" (Stats. 1981, ch. 404, § 7, p. 1593, italics added.)

Second, since Horn, supra, 12 Cal.3d 290, was decided, the Legislature has abolished the defense of diminished capacity. (See Stats. 1981, ch. 404, § 4, p. 1592 [enacting Pen. Code, § 28].) As one court has observed: “Horn, decided in 1974, was premised largely on the continued existence of the diminished capacity defense. In light of the subsequent legislative abrogation of that defense, we question the continued validity of Horn and Alexander [supra, 140 Cal.App.3d 647].” (People v. Miller (1992) 6 Cal.App.4th 873, 878, fn. 2 [8 Cal.Rptr.2d 193].)

It can be argued that the current statutory definition of premeditation is once again akin to the definition of premeditation in effect when this court decided Kynette, supra, 15 Cal.2d 731, namely, mere “advanced planning of the crime.” Thus, the rationale of Horn, supra, 12 Cal.3d 290, would no longer afford any principled basis on which to distinguish between the mental state required for conspiracy to commit murder; the specific intent to agree and conspire with intent to kill—and the mental state of premeditated first degree murder. Stated differently, conspiring to murder with the requisite intent to kill is arguably functionally indistinguishable from the mental *609state of premeditating the target offense of murder. If that be the case, then logically, all conspiracy to commit murder is necessarily “conspiracy to commit first degree murder,” or perhaps more accurately stated, conspiracy to commit murder punishable as first degree murder under the provisions of Penal Code section 182.

The arguably ambiguous provisions of Penal Code section 182, which, by their express terms, purport only to prescribe the proper punishment for conspiracy convictions, but which were construed in Horn, supra, 12 Cal.3d 290, 298, footnote 5, as creating or authorizing conviction of the offense of “conspiracy to commit second degree murder,” have further compounded the confusion. The controversial footnote in Horn states: “Kynette’s assertion that a conspiracy to commit murder is always a conspiracy to commit first degree murder is inconsistent with the present language of Penal Code section 182. When Kynette was decided, section 182 provided simply that conspirators to commit a felony ‘shall be punishable in the same manner and to the same extent as provided for the punishment of the commission of the said felony.’ The current section 182, enacted in 1955, is much more specific: ‘If the felony is one for which different punishments are prescribed for different degrees, the jury or court which finds the defendant guilty thereof shall determine the degree of the felony defendant conspired to commit. If the degree is not so determined, the punishment for conspiracy to commit such felony shall be that prescribed for the lesser degree, except in the case of conspiracy to commit murder, in which case the punishment shall be that prescribed for murder in the first degree.’ [*j0 As this language is written and punctuated, it plainly authorizes the trier of fact to return a verdict finding conspiracy to commit murder in the second degree. Only if the trier of fact fails to determine the degree is a conspiracy to commit murder punished as one to commit first degree murder. Since the Legislature has authorized a verdict of conspiracy to commit second degree murder, it clearly does not believe that crime to be a logical impossibility.” (Horn, supra, 12 Cal.3d at p. 298, fn. 5, first italics added; second italics in original.)

The point made in the Horn footnote might be refuted by concluding that the portion of Penal Code section 182 quoted in italics above was added by the Legislature for the very purpose of effectuating this court’s holding in Kynette, supra, 15 Cal.2d 731, that is to say, by expressly providing that all conspiracy to commit murder is conspiracy to commit murder in the first degree, and that hence all such conspiracies should be punished as first degree murders, with no consequent requirement that the jury further determine the degree of the target offense of murder. The Horn court’s contrary interpretation—that “[o]nly if the trier of fact fails to determine the degree is *610a conspiracy to commit murder punished as one to commit first degree murder . . (Horn, supra, 12 Cal.3d at p. 298, fn. 5)—does seem at odds with the general proposition, embodied in Penal Code section 182, that a defendant should receive the benefit of a jury’s failure to designate the degree of the target offense of the conspiracy.

On the other hand, the relevant language of Penal Code section 182 quoted above, as suggested by the court in Horn, supra, 12 Cal.3d at page 298, footnote. 5, can literally be read as contemplating verdicts of “conspiracy to commit second degree murder.” Nor would such a verdict necessarily be inconsistent with the holding we reach today, for one can be found guilty of unpremeditated murder with express malice in the second degree. (See CALJIC No. 8.30.)

The plain fact remains, however, that the analysis suggested in footnote 5 in Horn, supra, 12 Cal.3d at page 298, was dictum. As already explained, under the particular facts of that case, had the jury returned verdicts convicting Horn and his codefendant of “conspiracy to commit second degree murder,” such verdicts would have been contrary to law as the defendants’ plan to use a “bomb” elevated the target offense to murder in the first degree as a matter of law. Furthermore, the provisions of Penal Code section 182 are expressly addressed to the proper punishment for conspiracy, including conspiracy to commit murder. Punishment was simply not at issue in Horn, supra, 12 Cal.3d 290. “ ‘It is the general rule that the language of an opinion must be construed with reference to the facts presented by the case, and the positive authority of a decision is coextensive only with such facts.’ ”” (Brown v. Kelly Broadcasting Co. (1989) 48 Cal.3d 711, 734-735 [257 Cal.Rptr. 708, 111 P.2d 406], quoting River Farms Co. v. Superior Court (1933) 131 Cal.App. 365, 369 [21 P.2d 643]; accord, Security Pacific National Bank v. Wozab (1990) 51 Cal.3d 991, 1003-1004 [275 Cal.Rptr. 201, 800 P.2d 557].)

Perhaps the lesson bears repeating here. We have determined that defendants’ convictions for conspiracy to commit murder in the second degree must be reversed. The issue of proper punishment for those convictions is therefore no longer in controversy before us and is moot. Moreover, in light of our determination that reversal of the conspiracy convictions is compelled, the question of former jeopardy, or any other question regarding further proceedings, is premature unless and until the People elect to pursue such further proceedings and, in particular, seek to retry defendants on the theory of conspiracy to commit first degree murder. (See People v. McDonald (1984) 37 Cal.3d 351, 383-384, fn. 31 [208 Cal.Rptr. 236, 690 P.2d 709, 46 A.L.R.4th 1011].) We therefore leave the determination of those questions for another day.

*611Conclusion

To the extent the judgment of the Court of Appeal affirmed defendants’ convictions of conspiracy to commit murder, it is reversed. In all other respects the judgment of the Court of Appeal is affirmed.

Lucas, C. J., George, J., and Werdegar, J., concurred.

MOSK, J.

I concur in the judgment.

In this cause, we are presented with important questions concerning the crime of conspiracy to commit murder and the punishment prescribed therefor. I offer the following answers.1

I. The Legal Framework

Let us begin by setting out the legal framework.

The first step concerns the crime of conspiracy. Penal Code section 182 expressly defines the crime of conspiracy to include the situation wherein “two or more persons conspire” “[t]o commit any crime.” (Id., subd. (a)(1).) Penal Code section 184 impliedly defines a conspiracy to commit a crime as an agreement “to effect [its] object.” It also requires that an overt act, “beside such agreement, be done within this state . . . .” (Ibid.) For some crimes, the object “is defined in terms of proscribed conduct. . . .” (Model Pen. Code & Commentaries (1985) com. 2(c) to § 5.03, p. 402.) For others, it “is defined in terms of . . . a proscribed result under specified attendant circumstances . . . .” (Ibid.)

The second step relates to the crime of murder. Penal Code section 187 defines the crime of murder as the “unlawful killing of a human being, or a *612fetus, with malice aforethought.” (Id., subd. (a).) Penal Code section 188, in turn, provides that malice aforethought “may be express or implied. It is express when there is manifested a deliberate intention unlawfully to take away the life of a fellow creature. It is implied, when no considerable provocation appears, or when the circumstances attending the killing show an abandoned and malignant heart.”2 Penal Code section 189 declares that all murder that is (1) “perpetrated ... by any . . . kind of willful, deliberate, and premeditated killing,” (2) “committed in the perpetration of, or attempt to perpetrate,” certain enumerated felonies, or (3) “perpetrated by means of discharging a firearm from a motor vehicle, intentionally at another person outside of the vehicle with the intent to inflict death,” is “murder of the first degree. All other kinds of murders are of the second degree.”3

The third step proceeds from the first and second, and involves the crime of conspiracy to commit murder. Read together, Penal Code sections 182, 184, 187, 188, and 189 define the crime of conspiracy to commit murder— the object of which “is defined in terms of ... a proscribed result under specified attendant circumstances” (Model Pen. Code & Commentaries, supra, com. 2(c) to § 5.03, p. 402)—as the agreement by two or more persons, accompanied by an overt act, to effect a killing that is unlawful under the circumstances as they are believed to be and that is reflective of malice aforethought (see id., com. 2 to § 5.03, p. 394 [stating that “the actor’s liability is measured from the situation as he views it”]). So defined, the crime of conspiracy to commit murder requires two kinds of “intent” strictly so called. One is intent to join together in a common endeavor; else, *613there is no conspiracy to commit murder. The other is intent to kill unlawfully: else, there is no conspiracy to commit murder.4 The offense does not require, as a factual matter, a premeditated and deliberate intent to kill unlawfully. But an intent of such character is present in the context of a conspiracy, practically by definition, because it does not arise of a sudden within a single person but is necessarily formed and then shared by at least two persons. (Cf. People v. Ruiz (1988) 44 Cal.3d 589, 614 [244 Cal.Rptr. 200, 749 P.2d 854] [concluding that murder by lying in wait is, by definition, a kind of “willful, deliberate, and premeditated killing” within the meaning of Penal Code section 189, and does not require as a factual matter a premeditated and deliberate intent to kill unlawfully or even a simple intent to kill unlawfully].)

II. Kynette and Horn

Absent from the legal framework set out above are the two decisions that generate the conflict that we must here resolve concerning the crime of conspiracy to commit murder and the punishment prescribed therefor: People v. Kynette (1940) 15 Cal.2d 731 [104 P.2d 794] (hereafter sometimes Kynette), overruled on another point in People v. Snyder (1958) 50 Cal.2d 190, 197 [324 P.2d 1], and People v. Horn (1974) 12 Cal.3d 290 [115 Cal.Rptr. 516, 524 P.2d 1300] (hereafter sometimes Horn).

In Kynette, we expressly held that “a conspiracy to commit murder can only be a conspiracy to commit murder of the first degree for the obvious reason that the agreement to murder necessarily involves the ‘willful, deliberate and premeditated’ intention to kill a human being.” (People v. Kynette, supra, 15 Cal.2d at p. 745.) Inasmuch as it encompasses malice aforethought, in fact express malice aforethought, such an “intention” distinguishes murder from other homicide. Also, by its very terms, it differentiates murder of the first degree in one of its forms from murder of the second degree.

In Kynette, we thereby impliedly held that the crime of conspiracy to commit murder is properly conspiracy to commit murder simpliciter. Under its reasoning, it is erroneous to speak of a “crime” of “conspiracy to commit *614murder of the second degree”', “a conspiracy to commit murder can only be a conspiracy to commit murder of the first degree” (People v. Kynette, supra, 15 Cal.2d at p. 745). Similarly, it is unnecessary to label the crime “conspiracy to commit murder of the first degree”', there is no crime of “conspiracy to commit murder of the second—or any other—degree” from which it may be distinguished.

In Horn, however, this court—over my dissent—disapproved Kynette on these points. The Horn court recognized a “crime” of “conspiracy to commit murder of the second degree” in addition to one of “conspiracy to commit murder of the first degree.”

In the course of its analysis, the Horn court proceeded to reject, on its own terms, Kynette’s holding that “a conspiracy to commit murder can only be a conspiracy to commit murder of the first degree” because the “agreement to murder necessarily involves” both malice aforethought and a premeditated and deliberate intent to kill unlawfully. (People v. Kynette, supra, 15 Cal.2d at p. 745.)

One of the Horn court’s reasons was, substantially, that an “agreement to murder” might not entail a premeditated and deliberate intent to kill unlawfully because the latter then “require[d] proof that the defendant ‘could maturely and meaningfully reflect upon the gravity of his contemplated act.’ ” (People v. Horn, supra, 12 Cal.3d at p. 298.) In People v. Wolff (1964) 61 Cal.2d 795, 821 [40 Cal.Rptr. 271, 394 P.2d 959], from which Horn’s quotation is taken, we had held that the “true test” of a premeditated and deliberate intent to kill unlawfully was such.

The other of the Horn court’s reasons was to the effect that an “agreement to murder” might not entail a premeditated and deliberate intent to kill unlawfully or even malice aforethought because the threshold of proof therefor had been raised, in practice, by imposition on the prosecution of the burden to rebut any defense of diminished capacity. In People v. Wells (1949) 33 Cal.2d 330 [202 P.2d 53], disapproved on another point in People v. Wetmore (1978) 22 Cal.3d 318, 327, footnote, 7 [149 Cal.Rptr. 265, 583 P.2d 1308], and People v. Gorshen (1959) 51 Cal.2d 716 [336 P.2d 492], also disapproved on another point in People v. Wetmore, supra, 22 Cal.3d at pages 324, footnote 5, and 327, footnote 7, and their progeny, we had established that defense, which was available to negate all mental states other than so-called “general criminal intent” (see generally, 1 Witkin & Epstein, Cal. Criminal Law (2d ed. 1988) Defenses, §§ 208-209, pp. 237-240), including premeditated and deliberate intent to kill unlawfully (see, e.g., People v. Wolff, supra, 61 Cal.2d at pp. 818-822) and malice aforethought (see, e.g., People v. Conley (1966) 64 Cal.2d 310, 318 [49 Cal.Rptr. *615815, 411 P.2d 911]). “[A] conviction of murder in any degree,” says Horn, “requires proof of malice aforethought; since People v. Gorshen (1959) 51 Cal.2d 716, 727 [336 P.2d 492], malice can be rebutted ‘by a showing that the defendant’s mental capacity was reduced by mental illness, mental defect or intoxication.’ ” (People v. Horn, supra, 12 Cal.3d at pp. 298-299, quoting People v. Graham (1969) 71 Cal.2d 303, 315 [78 Cal.Rptr. 217, 455 P.2d 153].) “Since evidence of diminished mental capacity can show that a homicide was committed without premeditation or malice aforethought, reducing that homicide to second degree murder or manslaughter, such evidence may also serve to classify a conspiracy to commit a homicide as one to commit second degree murder or manslaughter.” (People v. Horn, supra, 12 Cal.3d at p. 295.)

In a footnote, the Horn court added: “Kynette’s assertion that a conspiracy to commit murder is always a conspiracy to commit first degree murder is inconsistent with the present language of Penal Code section 182. When Kynette was decided, section 182 provided simply that conspirators to commit a felony ‘shall be punishable in the same manner and to the same extent as provided for the punishment of the commission of the said felony.’ The current section 182, enacted in 1955, is much more specific: ‘If the felony is one for which different punishments are prescribed for different degrees, the jury or court which finds the defendant guilty thereof shall determine the degree of the felony defendant conspired to commit. If the degree is not so determined, the punishment for conspiracy to commit such felony shall be that prescribed for the lesser degree, except in the case of conspiracy to commit murder, in which case the punishment shall be that prescribed for murder in the first degree.’ [<fl] As this language is written and punctuated, it plainly authorizes the trier of fact to return a verdict finding conspiracy to commit murder in the second degree. Only if the trier of fact fails to determine the degree is a conspiracy to commit murder punished as one to commit first degree murder. Since the Legislature has authorized a verdict of conspiracy to commit second degree murder, it clearly does not believe that crime to be a logical impossibility.” (People v. Horn, supra, 12 Cal.3d at p. 298, fn. 5, italics in original.)

What are we to do with Kynette and Horn?

On its very face, Kynette is persuasive. Its words, which are quoted above, need merely be reread to prove the point.

The same cannot be said of Horn,

Judged within the legal framework set out above, Horn has been wanting from the day it was decided.

*616But let me not press the point. For argument’s sake only, I shall assume that, when it was handed down, Horn was good law. It is no longer.

To the extent that the Horn court believed that an “agreement to murder” might not entail a premeditated and deliberate intent to kill unlawfully because the latter then “require[d] proof that the defendant ‘could maturely and meaningfully reflect upon the gravity of his contemplated act . . .’” (People v. Horn, supra, 12 Cal.3d at p. 298), it has been passed by. It is true that, prior to Horn, we had held in People v. Wolff, supra, 61 Cal.2d at page 821, that the “true test” of a premeditated and deliberate intent to kill unlawfully was such. But it is also true that, after Horn, the Legislature overruled us on that very point. Specifically, it amended Penal Code section 189 through the addition of the following sentence (Stats. 1981, ch. 404, § 7, p. 1593), which remains in the provision today: “To prove the killing was ‘deliberate and premeditated,’ it shall not be necessary to prove that the defendant maturely and meaningfully reflected upon the gravity of his or her act.”

Furthermore, to the extent that the Horn court believed that an “agreement to murder” might not entail a premeditated and deliberate intent to kill unlawfully or even malice aforethought because the threshold of proof therefor had been raised, in practice, by imposition on the prosecution of the burden to rebut any defense of diminished capacity, it has been passed by on this matter as well. At the same time that it amended Penal Code section 189 as indicated above, the Legislature added section 28, subdivision (b), to the same code (Stats. 1981, ch. 404, § 4, p. 1592), which expressly abolished the defense: “As a matter of public policy there shall be no defense of diminished capacity . ...” A year later, the people added section 25, subdivision (a), to the code (Prop. 8, Primary Elec. (June 8, 1982) § 4), which abolished the defense even more expressly: “The defense of diminished capacity is hereby abolished. ...”

What remains of Horn is its footnote quoting Penal Code section 182, which in pertinent part is virtually the same now as then: “If the felony is one for which different punishments are prescribed for different degrees, the jury or court which finds the defendant guilty thereof shall determine the degree of the felony defendant conspired to commit. If the degree is not so determined, the punishment for conspiracy to commit the felony shall be that prescribed for the lesser degree, except in the case of conspiracy to commit murder, in which case the punishment shall be that prescribed for murder in the first degree.” (Id., subd. (a).)

When we construe Penal Code 182, as we must, in its full context (see Kopp v. Fair Pol. Practices Com. (1995) 11 Cal.4th 607, 673 [47 Cal.Rptr.2d *617108, 905 P.2d 1248] (conc. opn. of Mosk, J.)), we find therein the Legislature’s acquiescence in Kynette—express as to the punishment prescribed for the crime of conspiracy to commit murder, implied as to the crime itself. We read the provision to contain the words in italics: “If the felony is one for which different punishments are prescribed for different degrees, the jury or court which finds the defendant guilty thereof shall determine the degree of the felony defendant conspired to commit, except in the case of murder. If the degree is not so determined, the punishment for conspiracy to commit the felony shall be that prescribed for the lesser degree, except in the case of conspiracy to commit murder, in which case the punishment shall be that prescribed for murder in the first degree.”

Were we to construe Penal Code section 182 otherwise, we would bring difficulties on ourselves—difficulties that we could and should avoid. As a doctrinal matter, we would be compelled to deviate from the general rule— stated in Penal Code section 182 itself and also in Penal Code sections 1157 and 1192—that gives the benefit of the trier of fact’s nondetermination of the degree of a felony to the defendant. Moreover, as an historical matter, we would be forced to embrace two dubious conclusions. One would be that the Legislature impliedly acknowledged that the “crime” of “conspiracy to commit murder of the second degree” existed about 15 years after we had all but expressly declared in Kynette that it did not. The other would be that the Legislature intended to expose to the death penalty any person convicted of the “crime” of “conspiracy to commit murder of the second degree” who had had the misfortune to be tried by a jury or court that was unable to determine the degree of the “conspired” murder, or that did in fact determine the degree to be the second but failed to so specify. That is because, pursuant to Penal Code section 190 as it then stood (Stats. 1927, ch. 889, § 1, p. 1952), the punishment for the crime of murder of the first degree included death.5

Therefore, to the question, “What are we to do with Kynette and Horn?,” my answer is, “We should overrule Horn and approve Kynette.” Of course, we need not do so as a formal matter. Kynette approves itself. As stated, it is persuasive on its very face. In addition, Horn has been overruled for all practical purposes through the legislative abrogation of its premises. It is now a citation without substance. It falls of its own weight.

III. The Present Proceeding

Let us now turn to the present proceeding.

*618The Grand Jury of the City and County of San Francisco handed up to the superior court an indictment against Jamal K. Swain and David Chatman. In count 1, it charged both Swain and Chatman with the crime of murder; it alleged, inter alia, that the offense was “wilful, deliberate, and premeditated,” and also, for enhancement of sentence, that both men were armed with (Pen. Code, § 12022, subd. (a)(1)), and personally used (id,., § 12022.5, subd. (a)), a firearm in its commission. In count 2, it charged both Swain and Chatman with the crime of conspiracy to commit murder. In count 3, it charged Swain alone with the crime of the felonious intimidation of a witness. (Id., § 136.1, subd. (c)(1).) In count 4, it charged Swain alone with the same crime as to another witness. Swain and Chatman each pleaded not guilty to the charges and denied the allegations. On Swain’s motion, the superior court severed count four for a separate trial. It subsequently ordered dismissal thereof. Apparently, it also ordered dismissal of the arming allegations.

Trial on counts 1, 2, and 3 was by jury. As to count 1, the jury found Swain not guilty of the crime of murder and not guilty of the lesser included offenses of voluntary and involuntary manslaughter; by contrast, it found Chatman guilty of the crime of murder of the second degree, and found true the allegation of personal use of a firearm. As to count 2, it found Swain guilty of the “crime” of “conspiracy to commit murder of the second degree”; it made the same finding as to Chatman. As to count 3, it found Swain guilty of the crime of the felonious intimidation of a witness.

The superior court rendered separate judgments against Swain and Chat-man. It imposed on Swain a term of imprisonment for 15 years to life for the “crime” of “conspiracy to commit murder of the second degree”; it also imposed 3 years for the crime of the felonious intimidation of a witness, to be served consecutively; finally, it imposed a restitutionary fine in the amount of $200 (Gov. Code, § 13967). It imposed on Chatman a term of imprisonment for 15 years to life for the crime of murder of the second degree with 4 additional years for personal use of a firearm in its commission; it also imposed 15 years to life for the “crime” of “conspiracy to commit murder of the second degree," but stayed execution thereof (Pen. Code, § 654); finally, it imposed a restitutionary fine in the amount of $200.

The Court of Appeal, First Appellate District, Division Five, affirmed the judgments against Swain and Chatman in their entirety.

On separate petitions by the People, Swain, and Chatman, we granted review. As will appear, the judgment of the Court of Appeal must be reversed to the extent that it affirms the superior court’s judgments against *619Swain and Chatman convicting them of, and sentencing them for, the “crime” of “conspiracy to commit murder of the second degree.”

The first question, which is general, is whether there is a crime of conspiracy to commit murder simpliciter or instead a “crime” of “conspiracy to commit murder of the first degree” and/or a “crime” of “conspiracy to commit murder of the second degree." For the reasons stated above, the answer is that only the former offense exists.

The second question, which is also general, is whether the crime of conspiracy to commit murder requires an intent to kill unlawfully. For the reasons stated above, the answer is that it does.

The third question, which is general as well, is what is the punishment for the crime of conspiracy to commit murder. For the reasons stated above, the answer is that it is the punishment for the crime of murder of the first degree—which, pursuant to Penal Code section 190, subdivision (a), is now imprisonment for a term of 25 years to life.6

The fourth question, which is specific to this cause, is whether the judgments convicting Swain and Chatman of, and sentencing them for, the “crime” of “conspiracy to commit murder of the second degree” must be reversed. The answer is that reversal is indeed required. Because each judgment involves a “crime” that does not exist, it is unsupported as a matter of law and hence cannot stand. (See In re James M. (1973) 9 Cal.3d 517, 519-522 [108 Cal.Rptr. 89, 510 P.2d 33].) In a given case, it may be possible to determine that a judgment effectively convicts a defendant of, and sentences him for, the crime of conspiracy to commit murder simpliciter, albeit under the label of “conspiracy to commit murder of the second degree.” In a case of that sort, the judgment may be affirmed because the label may be disregarded. This is not such a case. It appears that we could determine that the judgments against Swain and Chatman effectively convicted them of, and sentenced them for, the crime of conspiracy to commit murder only if we could conclude that such judgments rested on an at least implied finding by the jury that intent to kill unlawfully was present. On my review of the record, we cannot so conclude.

The fifth question, which is also specific to this cause, is whether either Swain or Chatman or both may be retried for the crime of conspiracy to *620commit murder without offense to the double jeopardy clause of the Fifth Amendment to the United States Constitution as made applicable to the states through the due process clause of the Fourteenth Amendment. The answer is that both men may in fact be retried. To be sure, the Fifth Amendment’s double jeopardy clause “protects against a second prosecution for the same offense” both “after acquittal” and “after conviction.” (North Carolina v. Pearce (1969) 395 U.S. 711, 717 [23 L.Ed.2d 656, 664-665, 89 S.Ct. 2072].) But neither man was expressly convicted of the crime of conspiracy to commit murder simpliciter; neither was expressly acquitted thereof. Furthermore, as explained in the preceding paragraph, we cannot conclude that either man was impliedly convicted of the crime under the label of “conspiracy to commit murder of the second degree”; neither, I believe, can we conclude that either was impliedly acquitted thereunder.

The sixth and final question, which is specific to this cause as well, is what is the punishment that may be imposed on Swain or Chatman in the event that he is convicted of the crime of conspiracy to commit murder on retrial. The answer is that it is the punishment for the “crime” of “conspiracy to commit murder of the second degree”—which, pursuant to Horn, is imprisonment for a term of 15 years to life. That is because a retroactive application of the law as herein declared would “make[] more burdensome the punishment for a crime, after its commission” (Beazell v. Ohio (1925) 269 U.S. 167, 169 [70 L.Ed. 216, 217, 46 S.Ct. 68]; accord, Collins v. Youngblood (1990) 497 U.S. 37, 42 [111 L.Ed.2d 30, 38-39, 110 S.Ct. 2715]), and would thereby violate the due process clause of the Fourteenth Amendment (see Bouie v. City of Columbia (1964) 378 U.S. 347, 352-354 [12 L.Ed.2d 894, 899-900, 84 S.Ct. 1697]; see also In re Baert (1988) 205 Cal.App.3d 514, 518 [252 Cal.Rptr. 418] (per Arabian, J.)).7

IV. Conclusion

For the foregoing reasons, I join the majority in concluding that the judgment of the Court of Appeal should be reversed to the extent that it affirms the superior court’s judgments against Swain and Chatman convicting them of, and sentencing them for, the “crime” of “conspiracy to commit murder of the second degree.”

Arabian, J., concurred.

*621KENNARD, J.

I concur in the majority’s holding, set forth in parts I and II of the majority opinion, that an unlawful intent to kill (what our law terms “express malice”) is an element of conspiracy to commit murder. The majority, however, does not reach the issue of whether conspiracy to commit murder is divided into degrees with differing punishments. Left unanswered, therefore, is this question: Is there conspiracy to commit first degree murder and conspiracy to commit second degree express-malice murder, or only conspiracy to commit murder? Unlike the majority, I would decide this issue, as it is likely to arise on remand and is of widespread significance to the law governing murder conspiracies, thus necessitating guidance to the bench and bar.

In deciding it, I would adhere to this court’s view in People v. Horn (1974) 12 Cal.3d 290 [115 Cal.Rptr. 516, 524 P.2d 1300] that conspiracy to commit first degree murder and conspiracy to commit second degree murder are separate crimes distinguished by whether the intent to kill reflected in the conspirators’ agreement is deliberate and premeditated or not. I would further conclude that under the Penal Code, each type of conspiracy to murder is subject to the punishment prescribed for the corresponding degree of murder.

I

As relevant here, defendants David Chatman and Jamal K. Swain were charged with murder and with conspiracy to commit murder. The trial court instructed the jury that murder required malice, that malice could be express or implied, and that conspiracy to commit murder required the specific intent to commit first or second degree murder. The instructions thus permitted the jury to find defendants guilty of conspiracy to commit second degree murder on an implied malice theory, that is, without finding they had the intent to kill. The jury convicted Chatman of second degree murder and conspiracy to commit second degree murder; it convicted Swain of conspiracy to commit second degree murder but acquitted him of murder. On the conspiracy conviction, the trial court sentenced each defendant to prison for 15 years to life, the punishment for second degree murder. Defendants appealed, contending that conspiracy to murder requires intent to kill as one of its elements; the People also appealed, contending that all conspiracies to murder were subject to a prison sentence of 25 years to life, the punishment for first degree murder. The Court of Appeal affirmed the judgments in their entirety.

II

I agree with the majority that conspiracy to murder requires proof of an unlawful intent to kill. I would, however, also decide the further question of *622whether there are separate crimes of conspiracy to commit first degree murder and of conspiracy to commit second degree express-malice murder, or whether conspiracy to commit murder is a unitary crime requiring only intent to kill. As I noted at the outset, the issue is a significant one affecting the jury instructions to be given in every murder conspiracy case and will inevitably arise if defendants are retried. As Justice Mosk notes in his concurring opinion, this court has in the past addressed issues likely to arise on remand of a case, and should do so here as well.

Penal Code section 182 (hereafter section 182) makes it unlawful for “(a) . . . two or more persons [to] conspire: [^Q (1) [t]o commit any crime” and establishes the punishment for conspiracies, including murder conspiracies. For crimes divided according to degree, section 182 provides for the following punishment: “If the felony is one for which different punishments are prescribed for different degrees, the jury or court which finds the defendant guilty thereof shall determine the degree of the felony defendant conspired to commit. If the degree is not so determined, the punishment for conspiracy to commit the felony shall be that prescribed for the lesser degree, except in the case of conspiracy to commit murder, in which case the punishment shall be that prescribed for murder in the first degree." I shall refer to this as the punishment language of section 182.

The crime of murder is divided into degrees. At the time the murder at issue in this case occurred, Penal Code section 189 defined first degree murder as (1) “any . . . kind of willful, deliberate, and premeditated killing” (including killings accomplished by any of a variety of statutorily designated methods, the use of which in effect establishes deliberation and premeditation as a matter of law) or (2) murders “committed in the perpetration of, or attempt to perpetrate,” certain designated felonies (commonly referred to as felony murder). “All other kinds of murders are of the second degree." (Pen. Code, § 189.) First and second degree murder have different punishments. (Pen. Code, § 190.) Because murder is a crime “for which different punishments are prescribed for different degrees” (§ 182), the punishment language of section 182 on its face divides murder conspiracies into degrees, just as it does other crimes for which different punishments are prescribed for different degrees.

To understand the debate over whether the current version of section 182 divides conspiracy to murder into degrees, however, it is necessary to begin with People v. Kynette (1940) 15 Cal.2d 731 [104 P.2d 794] (hereafter Kynette), which was decided when a different version of section 182 was in effect. At that time, section 182 provided that a conspiracy was “punishable in the same manner and to the same extent as in this code provided for the *623punishment of the commission of the said felony.” (Former § 182, as amended by Stats. 1919, ch. 125, § 1, p. 170; Kynette, supra, 15 Cal.2d at p. 744.) The defendant in Kynette argued that the trial court improperly excluded jurors with reservations against the death penalty because, he contended, the death penalty (a possible penalty for first degree murder) was not a possible punishment for conspiracy to commit murder. (Id. at p. 744.) Thus, the issue was whether the penalty for first degree murder was a possible penalty for a conspiracy to commit murder.

In Kynette, this court held that the death penalty was a possible punishment for conspiracy to commit murder. (Kynette, supra, 15 Cal.2d at p. 745.) It reasoned that all conspiracies to commit murder were necessarily conspiracies to commit first degree murder. (Ibid.)

In 1955, 15 years after Kynette, supra, 15 Cal.2d 731, the Legislature changed the punishment language of section 182 to provide as follows: “If the felony is one for which different punishments are prescribed for different degrees, the jury or court which finds the defendant guilty thereof shall determine the degree of the felony defendant conspired to commit. If the degree is not so determined, the punishment for conspiracy to commit such felony shall be that prescribed for the lesser degree, except in the case of conspiracy to commit murder, in which case the punishment shall be that prescribed for murder in the first degree.” (§ 182, as amended by Stats. 1955, ch. 660, § 1, p. 1155.) The punishment language of section 182 remains substantially the same today.

Almost 20 years after the Legislature altered section 182, this court addressed the effect of those changes on conspiracy to commit murder in People v. Horn, supra, 12 Cal.3d 290 (hereafter Horn). In that case, the court concluded that conspiracies to kill could take the form of conspiracies to commit first degree murder, conspiracies to commit second degree murder, and conspiracies to commit manslaughter. (Id. at pp. 298-300 & fn. 5.) In doing so, the court relied on three reasons: the existence of the diminished capacity defense; the then-existing requirement that for premeditation to exist the defendant must have “maturely and meaningfully reflect[ed] [on] the gravity of his contemplated act” (People v. Wolff (1964) 61 Cal.2d 795, 821 [40 Cal.Rptr. 271, 394 P.2d 959], italics omitted); and the post -Kynette changes to the punishment for murder conspiracies set forth in section 182. (Horn, supra, 12 Cal.3d at pp. 298-300 & fn. 5.) The court disapproved Kynette to the extent it was inconsistent. (Horn, supra, 12 Cal.3d at p. 301, fn. 8.)

As the majority notes, the first two reasons set forth in the Horn decision (supra, 12 Cal.3d 290) supporting the division of murder conspiracies into *624degrees—the existence of the diminished capacity defense and the “mature and meaningful reflection requirement”—are no longer the law. (Maj. opn., ante, at p. 608.) There remains, however, the punishment language of section 182.

The natural reading of the punishment language of section 182 makes conspiracies to murder punishable by degree, just as conspiracies to commit other crimes are punishable by degree. The first sentence of the punishment language of section 182 (“If the felony is one for which different punishments are prescribed for different degrees, the jury or court which finds the defendant guilty thereof shall determine the degree of the felony defendant conspired to commit.”) requires the trier of fact to ascertain the degree of the crime that is the object of the conspiracy, and thereby impliedly makes the punishment for the conspiracy the punishment for that degree of the crime. The second sentence of the punishment language of section 182 (“If the degree is not so determined, the punishment for conspiracy to commit the felony shall be that prescribed for the lesser degree, except in the case of conspiracy to commit murder, in which case the punishment shall be that prescribed for murder in the first degree.”) states that when the degree is not determined, the punishment is to be for the lesser degree except in the case of murder, which is punished in the first degree. By its terms, the murder conspiracy exception just referred to is limited to cases in which the jury has not determined the degree; it is not an exception removing murder conspiracies entirely from classification and punishment by degree. Thus, Horn correctly concluded that, “[a]s this language is written and punctuated, it plainly authorizes the trier of fact to return a verdict finding conspiracy to commit murder in the second degree.” (Horn, supra, 12 Cal.3d at p. 298, fn. 5.) Nor is there any evidence of a contrary legislative intent underlying the enactment of section 182.

When this analysis of section 182 is coupled with our holding today that conspiracy to murder requires an unlawful intent to kill, the result is that a conspiracy to murder may be either a conspiracy to commit first degree murder or a conspiracy to commit second degree express-malice murder. The degree of the murder conspiracy depends on whether the conspirators’ agreement evidences a willful, deliberate, premeditated intent to kill of the type that distinguishes first degree murder or instead reflects only a bare intent to kill lacking in premeditation and deliberation.1 Reading section 182 as dividing conspiracy to murder into degrees, the punishment for each *625degree of conspiracy to commit murder is that for the underlying degree of murder. If the trier of fact fails to determine the degree, the conspiracy is subject to the punishment for first degree murder.

The reason for this structure of conspiracy to murder is readily apparent. If conspiracy to murder were a unitary crime that required only intent to kill, which is the mental state of second degree murder, but was punished as first degree murder, then conspiracies that involve agreements to commit only the elements of second degree murder (e.g., that lack premeditation and deliberation) would be punished more severely than the completed crime of second degree murder.

There is an additional reason for adhering to Horn’s conclusion that conspiracy to commit murder is divided by degrees. Horn has been the law for 21 years. During that time, the Legislature has not amended section 182 to change the understanding of murder conspiracy set forth in Horn. Therefore, the prudent and preferable course is to retain Horn’s structure of conspiracy to murder as a crime divided into degrees with different punishments for each degree. If the Legislature wishes to alter this structure of conspiracy to murder, it can do so. That significant policy decision, however, should be left to the Legislature.

Finally, I note that as a factual matter the crime of conspiracy to commit second degree express-malice murder applies only to a narrow range of cases—those in which conspirators formed an agreement to kill but made that agreement without deliberation and premeditation. It seems doubtful that any agreement persisting beyond more than the briefest duration would lack deliberation and premeditation, for inevitably the passage of time alone would cause the agreement to become deliberate and premeditated.

III

Justice Mosk, however, comes to a different conclusion than I have reached. He concludes that conspiracy to murder is a unitary crime that requires only intent to kill but is subject to the punishment for first degree murder. He therefore rejects this court’s view (Horn, supra, 12 Cal.3d 290) *626that the punishment language of section 182 recognizes the crime of conspiracy to commit second degree murder.

Although Justice Mosk relies on Kynette, supra, 15 Cal.2d 731, in reaching this conclusion, in my view Kynette does not really support his position. As the majority notes, proof of conspiracy requires proof that the conspirators intended to commit the elements of the offense that is the object of the conspiracy. (Maj. opn., ante, at p. 600.) In Kynette, this court stated that “a conspiracy to commit murder can only be a conspiracy to commit murder of the first degree for the obvious reason that the agreement to murder necessarily involves the ‘willful, deliberate and premeditated’ intention to kill a human being.” (Kynette, supra, 15 Cal.2d at p. 745.) Kynette thus expresses the view that conspiracy to commit murder, as an agreement to commit the elements of first degree murder, requires proof that the conspirators’ intent to kill was deliberate and premeditated, but assumes that the agreement to murder itself will provide proof of deliberation and premeditation.

According to Justice Mosk, however, conspiracy to murder requires no mental state other than intent to kill. He states that “[t]he offense does not require, as a factual matter, a premeditated and deliberate intent to kill.” (Conc. opn. of Mosk, J., ante, at p. 613, italics in original.) In effect, Justice Mosk treats all conspiracies to commit murder as conspiracies to commit second degree express-malice murder—that is, the only mental state required, or relevant, to conspiracy to commit murder, in addition to intent to agree, is intent to kill, which is the mental state of second degree express-malice murder.2

For this reason, under Justice Mosk’s approach, every murder conspiracy would be punished as first degree murder even though the jury would have found only the mental state of second degree murder—intent to kill. Thus, conspiracy agreements to commit only the elements of second degree express-malice murder (e.g., agreements that lack premeditation and deliberation) and conspiracy agreements that reflect the premeditation and deliberation that distinguishes first degree murder would both be subject to the punishment established for first degree murder. As I have noted, this would produce the unjust and illogical result that second degree express-malice murder conspiracies would be punished more severely than the completed crime of second degree murder.

Furthermore, Justice Mosk’s position is contrary to the ordinary meaning of section 182. In justification, he suggests that to follow section 182’s plain *627language, under which murder conspiracies are subject to the punishment for first degree murder if the trier of fact fails to determine the degree of the murder that is the conspiracy’s object, would violate the general rule that when the trier of fact fails to determine the degree of the felony that is the object of a conspiracy, or the degree of a substantive felony, the defendant is only subject to the punishment prescribed for the lesser degree. (See Pen. Code, §§ 182, 1157, 1192.) There is, however, a logical reason why, when the trier of fact fails to determine the degree of the crime, murder conspiracies are punished in the first degree while conspiracies to commit all other crimes are punished in the lesser degree. Deliberate and premeditated murders are murders of the first degree. As Kynette recognized, in the typical murder conspiracy the conspirators will act with premeditation and deliberation in forming an agreement to commit the crime. (Kynette, supra, 15 Cal.2d at p. 745.) Punishing murder conspiracies of unspecified degree as first degree murder conspiracies simply accords with the statistical reality that the vast majority of murder conspiracies will involve premeditation and deliberation.

The deliberate and premeditated nature of most conspiracies, however, does not similarly increase the likelihood that conspiracies to commit crimes other than murder will be first degree conspiracies. Unlike murder, other crimes of degree do not become first degree by being premeditated and deliberate; as to those crimes, the degree of the crime typically turns on the nature of the defendant’s acts rather than the defendant’s mental state. For example, the degree of a robbery can vary depending on the location where the robbery occurs. (Pen. Code, § 212.5.) Thus, the fact that conspiracies to commit crimes other than murder may also reflect a premeditated and deliberate intent to commit the underlying crime does not support a similar “presumption” that the crime, if committed, would be in the first degree.

Justice Mosk also asserts that following the plain meaning of section 182 and recognizing the existence of both first and second degree murder conspiracies would mean that the Legislature, in enacting section 182 in 1955, intended to subject to the possibility of the death penalty anyone convicted of conspiracy to murder merely because the jury failed to specify the degree of the crime. His reading of section 182, however, under which all conspiracies to commit murder are punished the same as first degree murders and his view that conspiracy to commit murder is a unitary crime requiring only intent to kill leads to an even more extreme result, namely, that the Legislature intended to subject all murder conspirators to the death penalty even if they lacked the intent to commit the elements of first degree murder (e.g., premeditation and deliberation).

Finally, Justice Mosk notes that reading section 182 as dividing conspiracy to murder into degrees would mean that the Legislature implicitly *628rejected Kynette, supra, 15 Cal.2d 731, in adopting section 182. In my view, however, there is nothing so unreasonable about this conclusion that would justify this court, in order to avoid it, to depart from the ordinary meaning of the language used in that statute.

In my view, the post-Kynette, supra, 15 Cal.2d 731, punishment language of section 182, the decision in Horn, supra, 12 Cal.3d 290, and the Legislature’s acceptance of Horn foreclose the result that Justice Mosk proposes. Instead, I would continue to adhere to Horn's recognition that, under section 182, conspiracy to commit first degree murder (subject to the punishment prescribed for first degree murder) and conspiracy to commit second degree murder (subject to the punishment prescribed for second degree murder) are both possible crimes.

IV

I now turn to the question of the degree or degrees of conspiracy to murder for which these defendants may be retried, and what punishment they may receive if convicted. The scope of retrial and resentencing turns on the effect, if any, of two constitutional limitations: the prohibition against double jeopardy (Montana v. Hall (1987) 481 U.S. 400, 402 [95 L.Ed.2d 354, 358-359, 107 S.Ct. 1825]; People v. Santamaría (1994) 8 Cal.4th 903, 910-911 [35 Cal.Rptr.2d 624, 884 P.2d 81]) and the due process bar against retroactive increases in punishment (see People v. Escobar (1992) 3 Cal.4th 740, 752 [12 Cal.Rptr.2d 586, 837 P.2d 1100]; Bouie v. City of Columbia (1964) 378 U.S. 347, 352-354 [12 L.Ed.2d 894, 899-900, 84 S.Ct. 1697]).

In convicting defendants of conspiracy, the jury completed two verdict forms with respect to each defendant. First, it completed a form entitled “Verdict” and reading, “We, the jury in the above-entitled cause, find the defendant [name]_of the crime of felony, to wit: violation of Section 182.1 of the California Penal Code (Conspiracy)” by filling in the blank with the word “Guilty.” Second, it completed a form entitled “Finding on Object of Conspiracy” and reading, “We, the jury in the above-entitled cause, having found the defendant, [name] Guilty of conspiracy, find that defendant conspired to commit the crimes opposite the designation of which there has been placed an ‘X’.” There then follows a list of five crimes: first degree murder, second degree murder, voluntary manslaughter, involuntary manslaughter, and auto theft. The jury put an “X” next to second degree murder. Swain was also found not guilty of murder, voluntary manslaughter, and involuntary manslaughter (but guilty of intimidating a witness); Chat-man was also found guilty of second degree murder.

*629Defendant Swain, arguing that the only murder conspiracy crime existing now is conspiracy to commit first degree murder, contends that he cannot be retried because he was impliedly acquitted of conspiracy to commit first degree murder when the jury checked off only second degree murder as the object of the conspiracy. As I conclude that conspiracy to commit second degree express-malice murder is a possible crime, I reject this contention. Defendant Chatman, arguing that both first and second degree murder conspiracies are possible, apparently concedes that he can be retried for conspiracy to commit second degree murder but not conspiracy to commit first degree murder. The Attorney General, taking the position that the only crime at issue is conspiracy in the abstract, contends that the defendants were convicted of the only crime they were charged with (“conspiracy”) and were acquitted of nothing. The Attorney General contends that if their convictions are reversed, there are no limits on the crimes defendants can be charged with on retrial.

The Attorney General’s position lacks merit. It would for example, permit retrial not only of the full range of murder conspiracies that exist under the law (whether that is ultimately determined to be first and second degree murder, first degree murder, or simply “murder”) but also conspiracy to commit auto theft, one of the other options given to, but not chosen by, the jury that convicted defendants. Moreover, in Horn, supra, 12 Cal.3d at page 298, we rejected the view that conspiracy is a crime that exists in the abstract without reference to the crime that is the object of the conspiracy.

Rather, in accordance with my view that we should adhere to Horn’s, supra, 12 Cal.3d 290, division of conspiracy to murder into conspiracy to commit first degree murder and conspiracy to commit second degree express-malice murder, these defendants may be retried for conspiracy to commit second degree murder, the crime for which these defendants were convicted. Doing so will not violate the double jeopardy clause, for these defendants were convicted, not acquitted, of conspiracy to commit second degree murder, the crime for which they would be retried. (Montana v. Hall, supra, 481 U.S. at p. 402 [95 L.Ed.2d at pp. 358-359]; People v. Santamaria, supra, 8 Cal.4th at pp. 910-911.) If they are again convicted, there is no legal obstacle to the trial court again sentencing defendants to the punishment for second degree murder that they received before, as there would be no retroactive increase in the punishment to which they were previously subject. The protection against double jeopardy does preclude retrying these defendants for conspiracy to commit first degree murder, a crime of which *630they were impliedly acquitted. (See People v. Superior Court (Marks) (1991) 1 Cal.4th 56, 71, 74-76 [2 Cal.Rptr.2d 389, 820 P.2d 613]; Stone v. Superior Court (1982) 31 Cal.3d 503, 511 & fn. 5 [183 Cal.Rptr. 647, 646 P.2d 809].)

7.3.7 Notes and Questions (People v. Swain) 7.3.7 Notes and Questions (People v. Swain)

1. Inchoate crimes (solicitation, conspiracy and attempt) involve a dual intent: first, an intent to solicit/conspire/perform an overt act towards the commission of a crime and second, an intent to achieve the object crime. Suppose A is a US Marine who has gone rogue and is attempting to provide insider military information to M, whom he believes is a Soviet intelligence officer. In reality, M is an FBI agent. Can A be convicted of attempted conspiracy to commit espionage? The answer depends on whether the court adopts a unilateral or bilateral theory of conspiracy. For a discussion on the matter, see United States v. Anzalone, 43 M.J. 322 (C.A.A.F. 1995).

 

2. L and M witness their brother N get killed by O. L and M flee but, adequately provoked and in a heat of passion, vow to concoct a plan to kill O together. Have they conspired to commit murder or conspired to commit voluntary manslaughter? Apply the MPC.

 

3. A and B believe that arsenic is the secret compound to making delicious brownies. Even though they don’t want to kill anyone, they, quite literally, believe these brownies are to die for. They are aware that people will die if they ingest arsenic in small quantities. If they bake brownies using arsenic and sell them to customers who eat them and die, what type of homicide have A and B committed under the MPC? Is it attempted murder if they bake and sell the brownies, and their customers who eat them miraculously survive? Can they be convicted of conspiracy to commit murder?

See Model Penal Code and Commentaries § 5.03 cmt. 2(c)(1), at 407–08 (1985).

 

4. X says to Y, “You should buy some of the research chemical 2-CX. I bet you’d like using it and you can sell some to your friends, too!”

Y reads about its effects and says, “Sounds like I’d love it! I’ll buy some to use and sell.”

X helps Y look on the dark web and Y makes the purchase of a quantity sufficient to impute intent to distribute.

Suppose buying and selling 2-CX is illegal. If X and Y know that buying and selling 2-CX is illegal, their actions can constitute a conspiracy to commit these crimes.

But what if 2-CX was a long-time legal drug and neither X nor Y knew of its recent change in status to a scheduled drug, making it a strict liability offense to possess with the intent to distribute. If Y purchases the drug in a sufficient quantity, she would be guilty of possession of 2-CX with the intent to distribute. But, given these facts, can we say that X and Y are guilty of conspiring to possess 2-CX with the intent to distribute? Must they have actual knowledge of the attendant circumstance of the drug’s illegal status to be guilty of conspiring to illegally sell it? In other words, can they argue that they can’t be guilty of conspiring to commit this act (possessing 2-CX with the intent to distribute) without knowing the act was illegal? Argue first as a prosecutor attempting to convict X and Y. Then argue as a defense attorney trying to protect them.

 

Courts are split on the issue of whether a conspiracy can be proven if the parties have do not have knowledge of the attendant circumstance. Some courts require a higher mens rea regarding the attendant circumstance to prove conspiracy as opposed to its target offense. In our example, this would mean that X and Y cannot be convicted of conspiring to possess 2-CX with the intent to distribute unless they knew it was illegal. In other courts, the mens rea to commit conspiracy is the same mens rea required for its target offense. In our example, this would mean that since X and Y intended to possess 2-CX with the intent to distribute it, they also intended to conspire to do so.   

 

The Model Penal Code says:

The conspiracy provision in the Code does not attempt to solve the problem by explicit formulation […] [I]t was believed that the matter is best left to judicial resolution as cases that present the question may arise, and that the formulations proposed afford sufficient flexibility for satisfactory decision. Under Subsection (1) of Section 5.03 it is enough that the object of the agreement is “conduct that constitutes the crime,” which can be held to import no more than the mental state required for the substantive offense into the agreement to commit it. Although the agreement must be made “with the purpose of promoting or facilitating the commission of the crime,” it is arguable, though by no means certain, that such a purpose may be proved although the actor did not know of the existence of a circumstance, which did exist in fact, when knowledge of the circumstance is not required for the substantive offense. Rather than press the matter further in this section, the Institute deliberately left the matter to interpretation in the context in which the issue is presented.

Model Penal Code and Commentaries § 5.03 cmt. 2(c)(ii), at 413–14 (1985).

 

5. In the prior note, we discussed a situation where the actors lacked the factual knowledge that their their behavior was illegal (that 2-CX was a scheduled drug). What if the parties are aware and in agreement of all facts but don’t know that their actions constitute a crime? Suppose, for example, that B, a businessman from country N where it is common to give gifts to seal a business deal, gives G, a government official in another country, an expensive bottle of wine before the closing of their international trade deal. Neither of them know that this violates the bribery laws in country N. Under Swain, can they be found guilty of conspiring to violate the bribery law?

Some jurisdictions utilize what is called the “corrupt motive doctrine,” which says that in addition to the normal mens rea requirement, alleged conspirators must also have a corrupt or immoral motive to be guilty of a conspiracy. Do you find this rule to be at odds with the idea that “ignorance of the law is no excuse”?

7.3.8 People v. Barajas 7.3.8 People v. Barajas

PEOPLE v BARAJAS

Docket No. 124795.

Submitted October 14, 1992, at Grand Rapids.

Decided March 2, 1993, at 9:25 a.m.

*552Frank J. Kelley, Attorney General, Thomas L. Casey, Solicitor General, Jon R. Sahli, Prosecuting Attorney, and Matthew L. Glaser and Ronald S. Pichlik, Assistant Prosecuting Attorneys, for the people.

Gemrich, Moser, Bowser, Fette & Lohrmann (by Scott Graham), for the defendant on appeal.

Before: Holbrook, Jr., P.J., and Mackenzie and Sawyer, JJ.

Per Curiam.

Defendant was convicted, following a jury trial, of conspiracy to possess over 650 grams of cocaine. MCL 750.157a(a); MSA 28.354(1) (a) and MCL 333.7403(2)(a)(i); MSA 14.15(7403)(2)(a) (i). He was sentenced to life in prison without parole. He now appeals, and we reverse.

Defendant’s conviction arises out of a complicated drug deal. Briefly, defendant was to purchase approximately one kilogram of cocaine from Rene Vina. However, before the purchase was completed, one of Vina’s employees, Richard Kellogg, began cooperating with the police. Apparently, *553Vina intended to make two sales on this particular occasion: one to defendant and one to a purchaser to be arranged by Kellogg. Unfortunately for Vina, Kellogg set up the sale with an undercover police officer.

Defendant was arrested, however, before the sale was completed. A search of Vina’s motel room revealed a package intended for delivery to defendant. That package contained over one kilogram of baking soda and a rock of cocaine weighing 26.01 grams. The rock was taped to the inside of the box and the box had a V-style slit in it exposing the rock. Apparently, the purpose of the slit was to allow inspection of the contents by the purchaser (defendant) and was placed so that defendant would test the rock of cocaine and not the baking soda. One of the police officers involved expressed the opinion that Vina was endeavoring to "burn” defendant by delivering a smaller quantity of drugs than for which he had contracted.

Thus, although defendant never possessed the drugs in question, the prosecutor theorized that defendant had reached an agreement with Vina to possess the drugs. Accordingly, the prosecutor charged defendant with conspiracy.

Defendant’s first argument is dispositive. Defendant argues that there was insufficient evidence to establish the conspiracy. We agree. We review an argument regarding the sufficiency of evidence by viewing the evidence in the light most favorable to the prosecutor and determining whether a rational trier of fact could have found the essential elements of the offense proven beyond a reasonable doubt. People v Hampton, 407 Mich 354, 368; 285 NW2d 284 (1979).

A conspiracy is an agreement, expressed or implied, between two or more persons to commit an unlawful or criminal act. People v Bettistea, 173 *554Mich App 106, 117; 434 NW2d 138 (1988). See also People v Atley, 392 Mich 298, 310-311; 220 NW2d 465 (1974); CJI2d 10.1; Dressier, Understanding Criminal Law, § 29.01[A], p 373. Thus, to establish that defendant and Vina conspired in the case at bar, the prosecutor had to show, inter alia, that defendant and Vina had agreed that defendant would commit the crime of possession of more than 650 grams of cocaine. That is, the prosecutor had to establish that both defendant and Vina intended defendant to possess the requisite amount of cocaine.

Proof of the agreement may be established by circumstantial evidence. Atley, supra at 311. In this case, the prosecutor points to the package prepared for delivery to defendant. This is the package that contained over a kilogram of baking soda and the twenty-six-gram rock of cocaine. We would agree that if that package can be considered as constituting a mixture containing cocaine and weighing over 650 grams, combined with other evidence produced at trial that we need not review here, then defendant is guilty of the crime charged. We, however, reject the prosecutor’s argument that this constitutes such a mixture.

The possession of cocaine, as well as other offenses, is punished with regard to the amount of the substance involved — the greater the amount involved, the greater the penalty. MCL 333.7403(2)(a) (i); MSA 14.15(7403)(2)(a)(i) sets forth the penalty for possessing "650 grams or more of any mixture containing” cocaine. (Emphasis added.) Thus, the amount of cocaine within the mixture is irrelevant; rather, it is the weight of the entire mixture that establishes the penalty, without regárd to purity. People v Kidd, 121 Mich App 92; 328 NW2d 394 (1982). Thus, a person delivering a mixture containing 649 grams of baking soda and *555one gram of cocaine is punished more seriously than an individual who delivers 649 grams of pure cocaine.

As stated above, we agree that if the package prepared for delivery to defendant can be considered to be a mixture containing cocaine that weighs over 650 grams, then that evidence, along with the other evidence produced at trial, establishes that defendant and Vina conspired to commit the offense of possession of over 650 grams of cocaine. Unlike the prosecutor, however, we do not believe that the package contained a mixture weighing over 650 grams that contained cocaine. Rather, as will be discussed below, the package contained a mixture containing cocaine that weighed twenty-six grams (the rock of cocaine); it also contained over a kilogram of baking soda.

Where a word is undefined by statute, it is to be construed according to its common and approved usage. People v Troncoso, 187 Mich App 567, 573; 468 NW2d 287 (1991). In doing so, resorting to the dictionary definition is appropriate. Id. The Random House College Dictionary: Revised Edition, p 856, defines "mixture” as follows:

1. a product of mixing. 2. any combination of contrasting elements, qualities, etc. 3. Chem., Physics, an aggregate of two or more substances that are not chemically united and that exist in no fixed proportion to each other. Cf. compound (def. 8). . . . 5. the act of mixing. 6. the state of being mixed. . . . — Syn. 1. blend, combination; compound. 2. miscellany, medley, melange.

Random House, p 856, defines "mix,” in part, as follows:

1. to put (various materials, objects, etc.) to*556gether in a homogeneous or reasonably uniform mass. [Emphasis added.]

Random House, p 143, defines "blend,” in part, as follows:

1. to mix smoothly and inseparably together . . . 3. to mix or intermingle smoothly and inseparably. 4. to fit or relate harmoniously ... 5. to have no perceptible separation ....

In light of these definitions, we conclude, contrary to the prosecutor’s suggestion, that the "mixture” containing cocaine must be reasonably homogeneous or uniform. That is, the cocaine and the filler (in this case, baking soda) must be "mixed” together to form a "mixture” that is reasonably uniform. A sample from anywhere in the mixture should reasonably approximate in purity a sample taken elsewhere in the mixture.1 It should be reasonably difficult to separate the cocaine from the filler material because of the mixing or blending of the two substances.

In the case at bar, the evidence does not support the conclusion that the cocaine was mixed with the baking soda. Indeed, when the baking soda was poured out of the box, the rock of cocaine remained, having been taped to the box. Clearly, the cocaine and the baking soda were easily separated. Further, the concentration of cocaine was not at all reasonably uniform or homogeneous. A sample taken from the baking soda would have yielded a mixture containing zero percent cocaine and one *557hundred percent baking soda.2 A sample taken from the rock of cocaine would yield a mixture containing 67.9 percent cocaine and 32.1 percent filler. Further, the two substances have somewhat differing physical properties. The rock of cocaine is a large, solid object; the baking soda is a powdery solid. Simply put, the package contained two separate items, baking soda and a rock of cocaine, rather that a single mixture containing cocaine.

Furthermore, our view of the definition of "mixture” and its application to this case is consistent with the reasoning behind basing punishment on the weight of the mixture and not the amount of actual cocaine. In People v Lemble, 103 Mich App 220, 223; 303 NW2d 191 (1981), we noted that the "greater the quantity of the mixture, regardless of the degree of purity, the greater the potential harm to society.” Thus, basing punishment on weight without regard to purity serves to advance the legislative purpose of deterring drug distribution. Id. In this case, assuming that the police had not intervened, defendant presumably would not have merely divided the package into smaller quantities for further delivery because most such packages would only contain baking soda.3 Thus, the same danger is riot presented by the package in this case as when there is a mixture that can be divided into smaller packages for sale.

For the above reasons, we conclude that the *558package did not contain a mixture of cocaine weighing over 650 grams. Therefore, the package does not establish an agreement by Vina and defendant for defendant to possess over 650 grams of cocaine. A conspiracy could also, however, be established if it can be shown that Vina did agree to deliver over 650 grams of cocaine to defendant and only thereafter decided to "burn” defendant by delivering less. However, a conspiracy requires that "two or more persons intend to agree and intend that the object of their agreement be achieved.” Dressier, supra, § 29.05[A], p 384 (emphasis in original). Professor Dressier further explains this concept:

Justice Cardozo said that "[i]t is impossible . . . for a man to conspire with himself.” This comment follows from the fact that a conspiracy is an agreement and an agreement is a group act. Unless at least two people form an agreement no one does. The result is that at common law the prosecutor must prove that at least two persons possessed the requisite mens rea of a conspiracy.
The plurality rule also prevents the conviction of a party to a two-person agreement if it is demonstrated that one person lacked the specific intent of conspiracy. If one party to the alleged conspiracy feigned the intent to commit or to participate in the offense (e.g., she was a police officer) or was insane and lacked the requisite intent, the remaining party cannot be convicted. [Id., § 29.06[A], p 389, quoting Morrison v California, 291 US 82, 92; 54 S Ct 281; 78 L Ed 664 (1934) (emphasis added).]

Thus, if Vina had originally intended, at the time of making the agreement with defendant, to deliver over 650 grams of cocaine, then there was *559a conspiracy even if Vina later abandoned that plan in favor of defrauding defendant. However, if Vina always intended to defraud defendant and merely told defendant he would deliver a kilogram of cocaine, knowing he had no such intention and was going to defraud defendant, then Vina merely feigned his intent to participate in the crime of possession of over 650 grams of cocaine. In such case, there was no conspiracy to possess over 650 grams of cocaine because Vina knew at the time of making the agreement with defendant that he would not be participating in such an offense.

However, we have found no evidence, nor has the prosecutor pointed us to such evidence, from which the trier of fact could conclude that Vina decided to defraud defendant only after entering into the conspiracy. As far as the record establishes, Vina may well have intended all along to defraud defendant and, therefore, there never was a conspiracy.

Although it may be that defendant is guilty of attempted possession of over 650 grams of cocaine, there was insufficient evidence to establish defendant’s guilt of the crime of conspiracy. Our resolution of this issue renders it unnecessary to consider defendant’s remaining issues.

Defendant’s conviction is vacated and defendant is ordered discharged from custody.

7.3.9 Commonwealth v. Costa 7.3.9 Commonwealth v. Costa

Commonwealth vs. Brian D. Costa.

No. 99-P-942.

June 10, 2002.

A District Court jury found the defendant guilty of conspiring to destroy property and the malicious destruction of property having a value of less than $250.1 Although the judge imposed a suspended sentence of one year on the substantive offense, he placed the defendant on probation on the conspiracy conviction. As a special condition of that probation, the judge ordered the defendant to pay restitution in the amount of $5,000. On appeal, the defendant confines himself to the conspiracy conviction and argues that the judge erred in denying his motion for a required finding of not guilty and in requiring him to make restitution in an amount that exceeded the jury’s finding on the substantive offense. Concluding that the Commonwealth failed to prove an essential element of the crime of conspiracy, an agreement, we reverse the judgment.

1. The Commonwealth’s evidence. Throughout the night of June 23, 1997, the defendant and his friends, Richard Williams, Greg Barraloni (Williams’s roommate), and Corey Mulansen, patronized various bars in the Fitchburg-Worcester area. As they were driving through Phillipston, they passed The Cycle Design, a motorcycle shop from which Barraloni had been ejected about two to three months earlier because of a dispute with “Doug,” the owner. Upon seeing the shop, Barraloni cried out, “Let’s get back at Doug,” and ordered Williams, who was driving, to stop the car. Williams pulled over, and Barraloni got out of the car, saying words to the effect of “let’s smash some windows.” After Barraloni got out of the car, Williams started to drive away with the defendant and Mulansen, who had passed out from alcohol consumption. Williams drove about one hundred yards up the road, pulled over, and parked his car. He and the defendant then walked back to the shop. There they saw that the windows in the building had been smashed with rocks. While attempting to convince Barraloni to leave, Williams and the defendant threw rocks at the shop. Within minutes, the police arrived, and everyone fled. When the defendant was later arrested, he stated that he had thrown one or two rocks at, but not into, the building.

2. Discussion. “The elements of conspiracy are ‘a combination of two or more persons, by some concerted action, to accomplish some criminal or unlawful purpose .... [T]he unlawful agreement constitutes the gist of the offence ....’” Commonwealth v. Benson, 389 Mass. 473, 479, cert. denied, 464 U.S. 915 (1983), quoting from Commonwealth v. Dyer, 243 Mass. 472, *902483 (1922), cert. denied, 262 U.S. 751 (1923). See also Commonwealth v. Fidler, 23 Mass. App. Ct. 506, 513 (1987) (“[t]he essence of the crime of conspiracy is the agreement of the conspirators”).

Joseph M. Kenneally for the defendant.

Sandra L. Hautanen, Assistant District Attorney, for the Commonwealth.

It is the Commonwealth’s argument that the jury reasonably could infer an agreement from the evidence showing that the defendant heard Barraloni’s statement, “Let’s get back at Doug,” that he returned to the shop after Williams parked the car, that he threw rocks at the building, and that he fled upon the arrival of the police. See Commonwealth v. Stasiun, 349 Mass. 38, 50 (1965) (“conspiracy may be, and usually is, proved by circumstantial evidence”); Commonwealth v. Camerano, 42 Mass. App. Ct. 363, 366 (1997) (“[djirect evidence of a conspiracy ... is rarely available and, typically, the government must rely on circumstantial evidence”). The defendant, on the other hand, argues that, even if that evidence, taken in the light most favorable to the Commonwealth, was sufficient to show his participation in a joint venture, it failed to establish that he had conspired maliciously to destroy property. See Commonwealth v. Cook, 10 Mass. App. Ct. 668, 673 (1980) (“ [accomplice and conspiratorial liability are not synonymous, and one can be an accomplice aiding in the commission of a substantive offense without necessarily conspiring to commit it”); Commonwealth v. DeCillis, 41 Mass. App. Ct. 312, 314 (1996) (the “agreement that must be shown to prove a conspiracy is a meeting of the minds of the conspirators separate and distinct from and prior to the common intent that is implicit in the commission of the substantive crime”).

The circumstances of the commission of the substantive offense were not such that the jury reasonably could infer the existence of an agreement. Instead, they evince spontaneity rather than “planning and pursuit of a prearranged systematic course of action.” Commonwealth v. Cook, 10 Mass. App. Ct. at 677 n.8. Nor can an agreement reasonably be inferred from the fact that the defendant walked back to the shop and joined Barraloni. That conduct does no more than “fit[] the classic paradigm of an accomplice adding encouragement to a crime in progress.” Id. at 672. See also Commonwealth v. DeCillis, 41 Mass. App. Ct. at 314-315, quoting with approval Dickerson v. United States, 18 F.2d 887, 893 (8th Cir. 1927). Although the defendant’s flight from the scene bespeaks a consciousness of guilt as a participant in the rock throwing, it adds nothing to the Commonwealth’s case on the conspiracy complaint. In short, the Commonwealth asks that we conclude that an agreement could be inferred from the evidence of the defendant’s participation in the commission of the substantive offense. On the circumstances presented, such a conclusion “would confuse certain settled aspects of the law of conspiracy and would tend unnecessarily to expand its already elastic and pervasive definition by ‘blur[ring] the demarcation line between a conspiracy to commit an offense and the substantive offense which is the object of the conspiracy.’ Ramirez v. State, 371 So. 2d 1063, 1066 (Fla. Dist. Ct. App. 1979).” Commonwealth v. Cook, 10 Mass. App. Ct. at 676-677.

The judgment on the third count of the complaint is reversed, the verdict is set aside, and judgment is to be entered for the defendant on that count.

So ordered.

7.3.10 Com. v. Azim, 313 Pa. Super. 310 (1983) 7.3.10 Com. v. Azim, 313 Pa. Super. 310 (1983)

459 A.2d 1244

COMMONWEALTH of Pennsylvania v. Charles AZIM, Appellant.

Superior Court of Pennsylvania.

Argued Jan. 6, 1983.

Filed March 25, 1983.

Reargument En Banc Denied June 7, 1983.

Petition for Allowance of Appeal Denied Oct. 3, 1983.

*311Spaeth, J., concurred in result.

Marilyn J. Gelb, Philadelphia, for appellant.

David L. DaCosta, Assistant District Attorney, Philadelphia, for Commonwealth, appellee.

Before SPAETH, BECK and JOHNSON, JJ.

PER CURIAM:

Appellant Charles Azim appeals nunc pro tunc from judgments of sentence imposed for criminal conspiracy and robbery. He seeks dismissal of all the charges brought against him. In the alternative, he requests a new trial on *312a lesser charge of robbery and a vacating of the conspiracy sentence, for resentencing following the outcome of the new robbery trial.

Appellant was arrested, along with Mylice James and Thomas Robinson, on September 18, 1977 for simple assault, robbery, and conspiracy. The victim of the robbery was Jerry Tennenbaum, a Temple University student. Appellant drove a car in which the other two men were passengers. Appellant stopped the car, Robinson called Tennenbaum over to the curb, the two passengers got out of the car, inflicted bodily injury on Tennenbaum, took his wallet which had fallen to the ground, and immediately left the scene in the same car driven by appellant. Robinson and appellant were tried to a jury and convicted as co-defendants in April 1978. After denial of post-trial motions, appellant was sentenced to five to ten years for robbery and five to ten years for conspiracy, the sentences to run concurrently. He received a suspended sentence for assault.

Appellant’s trial counsel did not file a timely appeal on his behalf and on January 25, 1979 he filed a pro se Petition under the Post Conviction Hearing Act, 19 P.S. 1180-1 et seq. claiming ineffective assistance of counsel on the grounds, inter alia, of failure to file an appeal of the conviction. New counsel was appointed, and on October 9, 1980, appellant was granted the right to appeal, nunc pro tunc. The PCHA Petition raised other issues relating to ineffectiveness of counsel which were denied at the PCHA hearing. The direct appeal and the appeal under PCHA are here consolidated.

Appellant’s co-defendant Robinson also appealed from the judgment of sentence. In January 1980 this Court vacated judgment of sentence and remanded for a new trial on the charges of simple assault and robbery; affirmed judgment of sentence on the charge of conspiracy, and remanded for resentencing on conspiracy. Commonwealth v. Robinson, *313284 Pa.Super. 152, 425 A.2d 748 (1980). On July 29, 1981, the trial judge ordered similar relief for appellant.1

In this appeal, appellant presents two issues: (1) that he was convicted upon insufficient evidence; and (2) that his trial counsel was ineffective in the course of the trial.2 The claim of insufficiency of the evidence relates to the charge of criminal conspiracy. He argues that because his conspiracy conviction was not supported by sufficient evidence against him, the charges of assault and robbery must also fail.

Jackson v. Virginia, 443 U.S. 307, 99 S.Ct. 2781, 61 L.Ed.2d 560 (1979) holds that an essential of due process guaranteed by the Fourteenth Amendment is that no person shall be made to suffer the onus of a criminal conviction except upon sufficient proof, which is defined as evidence necessary to convince a trier of fact beyond a reasonable doubt of the existence of every element of the offense. In Commonwealth v. Volk, 298 Pa.Super. 294, 444 A.2d 1182 (1982) (also reviewing the sufficiency of the evidence in a conspiracy charge) our Court maintained that the test to be applied in appraising the sufficiency of the evidence is a two-step inquiry:

First, we must regard all the evidence in the light most favorable to the Commonwealth, accepting as true all evidence upon which the fact finder could have based the verdict and then we must ask whether that evidence, along with all reasonable inferences to be drawn therefrom, was sufficient to prove guilt beyond a reasonable doubt. Commonwealth v. Anderson, 265 Pa.Superior Ct. 494, 402 A.2d 546 (1979); Commonwealth v. Eddington, 255 Pa.Superior Ct. 25, 386 A.2d 117 (1978); Com*314monwealth v. Luther, 266 Pa.Superior Ct. 240, 403 A.2d 1329 (1979). Criminal conspiracy is defined as:
(a) Definition of conspiracy — A person is guilty of conspiracy with another person or persons to commit a crime if with the intent of promoting or facilitating its commission he:
(1) agrees with such other person or persons that they or one or more of them will engage in conduct which constitutes such crime or an attempt or solicitation to commit such crime; or
(2) agrees to aid such other person or persons in the planning or commission of such crime or of an attempt or solicitation to commit such crime.

18 Pa.C.S.A. § 903 (1973).

“The essence of criminal conspiracy is a common understanding, no matter how it came into being, that a particular criminal objective be accomplished.” Commonwealth v. Carter, 272 Pa.Superior Ct. 411, 416 A.2d 523 (1979); Commonwealth v. Anderson, supra. By its very nature, the crime of conspiracy is frequently not susceptible of proof except by circumstantial evidence. Commonwealth v. Carter, supra. Commonwealth v. Kwatkoski, 267 Pa.Superior Ct. 401, 406 A.2d 1102 (1979). And although a conspiracy cannot be based upon mere suspicion or conjecture, Commonwealth v. Anderson, supra, a conspiracy “may be inferentially established by showing the relationship, conduct or circumstances of the parties, and the overt acts on the part of the co-conspirators have uniformly been held competent to prove that a corrupt confederation has in fact been formed.” Commonwealth v. Carter, supra, quoting Commonwealth v. Horvath, 187 Pa.Superior Ct. 206, 211, 144 A.2d 489, 492 (1958) (Volk, at 1184-5).

At trial, the prosecution presented evidence that established that appellant was the driver of the car in which James and Robinson (the men who demanded money from Tennenbaum and beat and choked him) rode. Robinson was seated on the front seat, next to appellant. Robinson rolled *315down the car window, twice beckoned to the victim to come close to the car, and when Tennenbaum refused, the two passengers got out, assaulted Tennenbaum, and took his wallet. Appellant sat at the wheel, with the engine running and lights on, and the car doors open, while the acts were committed in the vicinity of the car. He then drove James and Robinson from the scene (Suppression Hearing T. 77-88; N.T. 4-8).

Among those circumstances relevant to proving conspiracy are association with alleged conspirators, knowledge of the commission of the crime, presence at the scene of the crime, and, at times, participation in the object of the conspiracy. Commonwealth v. Anderson, supra. Conspiracy to commit burglary has been found where the defendant drove codefendants to the scene of a crime and then later picked them up. Commonwealth v. Wright, 235 Pa.Super. 601, 344 A.2d 512 (1975). “Thus, the driver of a ‘get away’ car can be found guilty as an accomplice if it is reasonable to infer that he was aware of the actual perpetrator’s intention. His agreement to effectuate the escape aids the perpetrator in the planning and commission of the actual crime” (Wright, at 515). Commonwealth v. Esposito, 236 Pa.Super. 127, 344 A.2d 655 (1975) upheld the conviction for conspiracy of the driver of a get away car. We find no merit in appellant’s claim that he was merely a hired driver, with no knowledge of his passengers’ criminal activity.

We hold that a rational factfinder could find, beyond a reasonable doubt, that appellant conspired with James and Robinson to commit assault and robbery. Applying the test mandated by Volk, supra, we decline to dismiss appellant’s conviction for criminal conspiracy on the basis of insufficiency of the evidence.

Once conspiracy is established and upheld, a member of the conspiracy is also guilty of the criminal acts of his co-conspirators, even if he is not present at the time the acts are committed. Commonwealth v. Roux, 465 Pa. 482, *316350 A.2d 867 (1976), Commonwealth v. Tumminello, 292 Pa.Super. 381, 437 A.2d 435 (1981). In the instant case, co-conspirator Robinson’s direct appeal resulted in the grant of a new trial on the assault and robbery charges, and we agree with the trial court that it is appropriate for appellant to be afforded the same relief. We therefore find it unnecessary to reach appellant’s additional charges on his trial counsel’s ineffectiveness.

Judgment of sentence is vacated. The case is remanded for a new trial on the charges of assault and robbery, and for resentencing on the conviction for conspiracy, following the outcome of the new trial. Jurisdiction is relinquished.

SPAETH, J., concurs in the result.

7.3.11 Notes and Questions (Com. v. Costa) 7.3.11 Notes and Questions (Com. v. Costa)

1.     Does the court’s reasoning in Costa contradict that of the Azim court?

2.     The Costa court reasons that although there was enough evidence to show that the defendant participated in the crime of malicious destruction of property having a value of less than $250 (as an accomplice), there was insufficient evidence to prove that he conspired to do so. Conversely in Pinkerton, although Daniel Pinkerton and his brother Walter conspired to commit tax fraud together, Daniel was not an accomplice to Walter’s commission of the substantive counts.

Is it possible for someone to be an accomplice in the crime of conspiracy, without being a co-conspirator in the substantive offense? If so, present a fact pattern that demonstrates this scenario.

If a “conspiracy” consists of the people who are working toward a proscribed object, and if one who aids and abets a substantive offense becomes liable as a principal thereto, then it follows that one who aids and abets these men in the attainment of their object becomes liable as a conspirator. […] [T]his reasoning from a faulty premise […] [is] difficult to discover since it is assumed rather than articulated […]. But to aid and abet a crime it is necessary not merely to help the criminal, but to help him in the commission of the particular criminal offense. A person does not aid and abet a conspiracy by helping the “conspiracy” to commit a substantive offense, for the crime of conspiracy is separate from the offense which is its object. It is necessary to help the “conspiracy” in the commission of the crime of conspiracy, that is, in the commission of the act of agreement. Only then is it justifiable to dispense with the necessity of proving commission of the act of agreement by the defendant himself.

Developments in the Law—Criminal Conspiracy, 72 Harv. L. Rev. 920, 934–35 (1959).

7.3.12 People v. Moran 7.3.12 People v. Moran

  People v. Moran
166 Cal. App. 2d 410, 333 P.2d 243 (1958)
SHEPARD, Justice.
Defendants were charged with others by indictment with the crime of conspiracy ‘to cheat and defraud by criminal means, and to obtain money and property by false pretenses and by false promises with intent not to perform such promises, in violation of section 182, subdivision 4 of the Penal Code * * *’.
The cause was tried before the court sitting without a jury. 
 
 
Defendants Moran, Berry, Zarcone, Hubbard and Jackson were found guilty as charged. Probation was granted to all of the convicted defendants for a period of three years on condition that they spend the first eight months in the sheriff's custody, that they pay certain fines, and that they perform certain restitution in amounts fixed by the court in the judgment. An appeal was taken by Zarcone, Hubbard and Jackson from the order denying a new trial, but Zarcone has abandoned his appeal so that the appeal of only Hubbard and Jackson is before the court at this time.
The first specification of error is that there was no sufficient evidence from which the court could lawfully find that the appellants intentionally entered into a conspiracy with any persons to cheat and defraud as indicated by the indictment.
The cause was in trial for approximately one and a half months, 57 witnesses were examined, and the transcript covers nearly 3,500 pages.
 
 
A review of the evidence shows that defendants Moran and Zarcone started a usedcar business in San Diego in the fall of 1956, which was moved to another location with an additional partner (not here charged) in February, 1957, and that this business continued at least until the month of May thereafter. To outward appearance this was a legitimate business.
However, the evidence shows that by a systematic use of false advertising, with full knowledge of its falsity and intent to use it falsely, they induced customers to come to the used-car lot with the idea that they could purchase a car with a $5 down payment. This intent was made clear not only by the pattern of conduct shown through dozens of transactions produced in evidence, but was also directly testified to by a salesman who worked on the lot with these defendants and who heard instructions given at sales meetings. A fair interpretation of the evidence shows that the trial court was fully justified in believing that the advertisement was pure ‘come-on’, with no intent of performance or truth, and that both of these defendants over many weeks of daily work in the business were fully aware of that fact.
The evidence further shows that once in the clutches of the salesman the prospective buyer was systematically and intentionally fed false and misleading information, both of existing facts and of intended future conduct by the firm which the salesman knew was never intended to be performed. This consisted of many different types of representation, including what could or would be done in refinancing, as to what amounts cars would be sold for, and by obtaining customers' signatures on blank contracts and later filling in amounts far different than those orally discussed. Space does not here permit the recounting in even sketch form all of the many transactions, details of which were received in evidence. However, the recounting of two will give a sufficient indication of the general pattern of conduct which marked them all.
George Vogel, a baker, saw the advertisement, responded, located a car on the lot marked $495, had the price confirmed by a salesman, and was transferred to the tender ministrations of Jackson. Jackson put a price of $785 on the purchase order and when Vogel noticed it and objected, Jackson said the salesman was a new man and just didn't know. He allowed Vogel $300 in trade on Vogel's Studebaker. Vogel told Jackson he could only pay $30 per month, and Jackson said his firm would carry the financing. He persuaded Vogel to borrow $400 from another source, which Vogel paid to Jackson. The same afternoon Jackson again phoned Vogel and demanded $184 more. Finally, Vogel examined his purchase order and discovered that the car he originally thought he was buying for $495 had been sold to him at the price of $1,385, and instead of $30 a month his total payments, including the payments on the $400 he had borrowed, were $53.87.
Manuel Anthony Zaragoza, a Navy truck driver, saw the ‘$5 down’ signs, came to the lot, met a salesman, told him he could pay only $70 per month, selected a car at a purchase price of $2,195, and Jackson was introduced as credit manager. Jackson said ‘I am a loan Company’ and would loan Zaragoza sufficient for a down payment. Jackson induced Zaragoza to sign a check for $584.80 although Zaragoza stated he had no money in the bank. He was then induced to sign a blank contract. He paid Jackson $100. Later, he borrowed $585 from a loan company and paid it to Jackson but had trouble getting back the $584.80 check. Jackson assured Zaragoza the payments on the balance of $1,600 would be $50 per month but Zaragoza later discovered the payment had been written in at $70.94 per month. He returned the car for repairs. Returning for it, he found it out for sale and an argument ensued. Zaragoza's total monthly payments ended up at $103 per month, counting the payments to the loan company.
It is understandable that occurrences of this kind might happen once in a great while through misunderstanding, but with dozens of this kind of transactions occurring over a period of a few weeks and with the pattern similar in each of them; with these defendants working together on the same lot with an agreement between them to split their commissions, plus other evidence from within the organization itself in which the whole plan of operation was loosely outlined by glib instructions on how to lie and what steps to take to enmesh a customer; with conferences going on back and forth on purchases of this kind; with this kind of a pattern between these defendants and the owners and other salesmen on the lot, it was not unreasonable for the trier of fact to be convinced beyond a reasonable doubt that those within the organization were conspiring together to cheat and defraud in the manner described in the indictment. Defense counsel say ‘One cannot condone the acts of Appellants', but primarily contend against the sufficiency of the evidence to show conspiracy.
1A criminal conspiracy is an agreement to commit any crime or do any other act denounced by the statute. The gist of the offense is the unlawful agreement between the conspirators to do an act contrary to law, accompanied by an overt act to at least start to carry the conspiracy into effect. Penal Code, § 182; People v. Curtis, 106 Cal.App.2d 321, 325, 235 P.2d 51
It comes into existence in the form punishable by law only when some overt act is committed tending to carry the common purpose into effect. It is not necessary to prove that the parties entered into a concrete written agreement or even that all the parties gathered together at one time for a mutual and immediate discussion and agreement. It can happen that the agreement be arrived at in piecemeal fashion. It is sufficient if by either direct or circumstantial evidence, or both, the trier of fact is convinced beyond a reasonable doubt that the unlawful agreement did, in fact, come into existence and that while it was still in existence an overt act pursuant to the unlawful conspiracy purpose was committed. 
 
 
People v. Goldberg, 152 Cal.App.2d 562, 568, 314 P.2d 151; People v. Curtis, supra; People v. Jones, 136 Cal.App. 722, 726, 29 P.2d 902; People v. Fratianno, 132 Cal.App.2d 610, 624, 625, 282 P.2d 1002.
‘As a general rule, a conspiracy can only be established by circumstantial evidence ‘for, as the courts have said, it is not often that the direct fact of an unlawful design which is the essence of a conspiracy can be proved otherwise than by the establishment of independent facts, bearing more or less closely or remotely upon the common design (5 Cal.Jur. 521); and it is not necessary to show that the parties met and actually agreed to undertake the performance of the unlawful acts (citing authority), nor that they had previously arranged a detailed plan * * * for the execution of the conspiracy’.' (Citaton Removed). 
Jackson contends he only came in after the commencement of the conspiracy and that, therefore, he was only guilty of independent unlawful acts. The evidence sufficiently supports the implied finding of the court that Jackson did act with other members of the conspiracy in furtherance of its purposes and with knowledge of the existence of the conspiracy. Where a conspiracy has already been formed and at a later date a stranger to the original conspiracy associates himself with the conspirators, and with knowledge of the conspiracy joins with the others in committing overt acts in furtherance of the unlawful purpose, he is guilty as a member of the conspiracy.
‘It is of course true that mere association with the perpetrator of a crime is not sufficient to prove a criminal conspiracy. Dong Haw v. Superior Court, 81 Cal.App.2d 153, 183 P.2d 724. An entirely different situation may arise, however, when it is shown that a conspiracy is already in existence and that acts are being committed in furtherance thereof.’ People v. Griffin, 98 Cal.App.2d 1, 39, (17), 219 P.2d 519, 542.
Jackson also contends that he withdrew from the conspiracy and therefore should be exculpated from responsibility therefor. The evidence shows that Jackson was actively identified with at least 14 of the transactions detailed in the testimony, and the evidence is also sufficient to support the finding that he was fully aware of the existence of the conspiracy during most of those transactions. There was no conclusive proof that Jackson ever withdrew from the conspiracy at any time but, even if he had withdrawn, he had already committed acts from which the jury were entitled to conclude that he was actively participating in the conspiracy with knowledge of its purposes.
‘* * * [O]ne who has joined a criminal conspiracy can only effectively withdraw therefrom by some affirmative act bringing home the fact of his withdrawal to his confederates. ‘Some affirmative act bringing home the withdrawal to the knowledge of his confederates is necessary, otherwise the conspiracy once established will be presumed to continue until the ends are accomplished or its abandonment established.’  Loser v. Superior Court, 78 Cal.App.2d 30, 32(1), 177 P.2d 320, 321
The order denying the motion for new trial is affirmed.

7.3.13 Notes and Questions (People v Moran) 7.3.13 Notes and Questions (People v Moran)

  1. MPC. A and B conspire to commit identity theft by falsely collecting social security numbers. They plan to make fraudulent calls posing as the IRS. B is to make the calls and A will use the collected information. Use Model Penal Code §5.03 to determine if B has renounced and therefore has a defense.

 

  1. When B makes his first call, he drops and breaks his cell phone. B has no other way to make the calls. The calls never get made.

  2. After B breaks his phone he takes it in for repair so he can hold up his part of the deal. The repair shop can not fix his phone. The calls never get made. 

  3. B takes his phone to another shop. They tell him they’ll have it ready in two days. In the meantime, the authorities discover A and B’s plan. B is on his way to pick up the phone when he is arrested. 

  4. B finds out the authorities know of his plot. Before being arrested B admits the plot and helps the police locate A.

2. Is Conspiracy Fair? "It is not necessary, in fact, that all the parties ever have direct contact with one another, or know one another's identity, or even communicate verbally their intention to agree." Developments in the Law—Criminal Conspiracy, 72 Harv. L. Rev. 920, 933 (1959).   Does this seem fair? What theory of punishment does conspiracy perpetuate?

 

3. Withdrawing from Conspiracy. In Moran, defendant Jackson claimed he withdrew from the conspiracy. The court found that Jackson had already “committed acts from which the jury were entitled to conclude that he was actively participating in the conspiracy with knowledge of its purposes.” Withdrawal requires an “affirmative act.”

7.3.14 State v. Honken 7.3.14 State v. Honken

25 Neb. App. 352 (2017)

Inbody, Pirtle, and Riedmann, Judges.

 

Riedmann, Judge.
INTRODUCTION
Following a stipulated bench trial, Robert S. Honken was found guilty of two counts of conspiracy to commit first degree *355 murder. The district court for Hamilton County sentenced him to 45 to 50 years’ imprisonment on each count, to be served concurrently. Honken now appeals his convictions and sentences. Following our review of the record, we affirm.
BACKGROUND
This case arises out of Honken’s attempt to hire two different men to kill his wife. The parties agreed upon the following stipulated facts, which were submitted at trial:
On January 16, 2016, Honken contacted Derrick Shirley via text message regarding a construction job. Honken and Shirley met at Honken’s residence on January 18. After meeting, Honken asked Shirley if he would kill Honken’s wife. The parties entered into an agreement wherein Shirley would kill Honken’s wife in exchange for monetary compensation.
Honken and Shirley communicated primarily through text messages. Following Shirley’s subsequent arrest, law enforcement recovered 659 text messages between the parties from Shirley’s cell phone. In the messages, Honken provided a substantial amount of information regarding his wife, her residence and property, and her daily routine to assist Shirley in planning her murder. The parties also discussed how the murder would occur, and Honken requested on several occasions that Shirley make the incident look like a robbery. Shirley admitted that in the course of his agreement with Honken, he drove by Honken’s wife’s residence approximately 20 times.
Honken gave Shirley $400 for the purchase of a firearm to kill his wife. Shirley asked a friend to purchase the weapon, a .22-caliber rifle, for him. The rifle was purchased on February 10, 2016, and Shirley took possession of it. Law enforcement later recovered the rifle from his residence.
The final message between Honken and Shirley was sent on February 16, 2016. In that message, Honken wrote to Shirley:
**696 “I was just wanting to say thank you for backing down when you did. I had a short talk and I think it’s going to *356 lead to more talks and possibly a [sic] end to all of this? I have [a] friend that said I have through the duration of the divorce to prove to her that I want things to work out. I have deleted the messages on my cloud and phone. Thank you again for backing down and I don’t want you to ever reconsider what I requested of you before. I think it was a God [sic] thing that you stepped back. I would like the .22 when it works out because I have a friend down in the Harvard area that said he would keep it so me and the boys can rabbit hunt around his farm! I can’t thank you enough for heading [sic] the call and backing down. This and any other messages will be deleted but I’ll keep your contact information in the event we’re able to work things out and de [sic] the remodel work. Thanks again....”
Shirley later told law enforcement that he did not go through with the murder of Honken’s wife because he “had prayed about it and just did not have the heart.” Shirley had no further communication with Honken after the final message that Honken sent on February 16, 2016.
On February 24, 2016, Honken left a voice mail for Mario Flores regarding remodeling work at his home. In his voice mail, Honken identified himself as “Sam.” Flores returned the call the next day, and the parties agreed to meet at a gas station in Aurora, Nebraska, on February 26. During the meeting, Honken asked Flores if he knew anyone “who could help him kill his wife.” Flores responded that he did know people who could help, but that he would not get involved in it himself.
That same day, Flores contacted the Aurora Police Department to report his contact with “Sam.” Flores met with an investigator from the Nebraska State Patrol, and during the meeting, Flores made a telephone call to “Sam” that was recorded by law enforcement. During the call, “Sam” stated multiple times that he wanted his wife to be killed, discussed the cost of hiring someone to do so, and discussed how and *357 when he would like her murder to occur. “Sam” repeatedly affirmed that he was serious about killing her and identified himself as “Robert,” the owner of a business in Aurora. Honken told Flores that he had previously paid someone else $400 to kill his wife but that person had backed out and taken his money. While Honken stated he did not recall that person’s name, he provided sufficient information that law enforcement was able to identify him as Shirley.
Flores told Honken that he did have the name and telephone number of someone Honken could hire and that this person would contact him in the next several days. Later that day, Honken texted Flores from a different telephone number and stated that he “would like the hitman” to contact him at that number because it was a prepaid cell phone and he intended to dispose of it when he no longer needed it.
On February 29, 2016, an investigator with the Nebraska State Patrol made a recorded telephone call to the number Honken provided and posed as a potential hitman. During the call, Honken identified himself as both “Rob” and “Sam.” Honken advised the investigator that he was in need of his services. The investigator stated that he would call Honken again with a time and place for them to meet, and Honken responded that he would be able to do so.
Several hours later, the investigator placed another call to Honken and instructed Honken to meet him at a truckstop in Aurora. Honken drove to the specified location and met with the investigator **697 in the investigator’s vehicle. The investigator wore a wire during the meeting to record his conversation with Honken.
Honken told the investigator that he wanted his wife “ ‘gone’ ” and that he would like her to be killed by March 4, 2016. When the investigator requested “$3000 up front,” Honken said that he would be able to obtain the money within several days. He provided the investigator with a photograph of his wife, as well as a map of her residence. Honken showed the investigator his driver’s license, identifying him *358 as Honken, and stated that the address on his license was his wife’s current address. Honken provided the investigator with information as to what type of vehicle his wife drove and when she was likely to be home alone. He also requested that the investigator make her death “look like a robbery” and said that he wanted it to be done “ ‘quick and easy.’ ”
The investigator requested $500 for expenses. Honken withdrew the funds from an automated teller machine inside the truckstop and gave them to the investigator.
Honken was pulled over shortly after departing the truckstop and placed under arrest. He admitted to law enforcement that he had hired Shirley and the undercover investigator to kill his wife. Regarding his agreement with Shirley, Honken stated that Shirley had contacted him approximately 3 weeks prior because he had gotten “cold feet” and decided not to go forward with their plan.
In March 2016, the State charged Honken with two counts of conspiracy to commit first degree murder in the county court for Hamilton County. Following a preliminary hearing, the county court found probable cause and bound the case over to the district court. Honken was charged with the same two counts, both Class II felonies, in district court. In the information, the State charged Honken in count I with conspiracy that began on or about January 1 through February 26, 2016. Count II charged Honken with conspiracy that began on or about February 26 through 29.
Honken filed a plea in abatement, asserting that the evidence at the preliminary hearing was insufficient to show probable cause that the alleged offenses had been committed and that he had committed them. At a hearing on his motion, Honken argued that he should have been charged with only one count of conspiracy rather than two. The district court overruled Honken’s motion, finding that there was probable cause for two separate offenses.
Following the denial of his plea in abatement, Honken filed a motion to dismiss either count of the information, claiming *359 that charging him with both counts violated his right against double jeopardy. In response, the State filed an amended information in which it shortened the time period during which it alleged count I occurred. The amended information asserted that the first offense occurred between January 16 and February 16, 2016, rather than between January 1 and February 26.
Honken waived his right to a jury trial, and a hearing on his motion to dismiss occurred simultaneously with his bench trial on the stipulated facts set forth above. The district court overruled Honken’s motion to dismiss, finding that Honken had engaged in two separate conspiracies, and found him guilty of two counts of conspiracy to commit first degree murder. Honken was sentenced to 45 to 50 years’ imprisonment on each conviction, with the sentences to run concurrently. Honken now appeals from his convictions and sentences.
ASSIGNMENTS OF ERROR
Honken assigns, restated, that the district court erred in (1) violating his right **698 against double jeopardy by convicting and sentencing him to multiple punishments for the same offense and (2) imposing excessive sentences. Honken also argues that he received ineffective assistance of his trial counsel.
STANDARD OF REVIEW
1Whether two provisions are the same offense for double jeopardy purposes presents a question of law, on which an appellate court reaches a conclusion independent of the court below. State v. Huff, 282 Neb. 78, 802 N.W.2d 77 (2011).
23An appellate court will not disturb a sentence imposed within the statutory limits absent an abuse of discretion by the trial court. State v. Loding, 296 Neb. 670, 895 N.W.2d 669 (2017). An abuse of discretion occurs when a trial court’s decision is based upon reasons that are untenable or unreasonable or if its action is clearly against justice or conscience, reason, and evidence. Id.
*360 45Whether a claim of ineffective assistance of trial counsel may be determined on direct appeal is a question of law. Id. When reviewing questions of law, an appellate court resolves the questions independently of the lower court’s conclusion. State v. Alarcon-Chavez, 295 Neb. 1014, 893 N.W.2d 706 (2017).
ANALYSIS
Double Jeopardy.
Honken argues that the district court erred in overruling his plea in abatement and his motion to dismiss and subsequently finding him guilty of two counts of conspiracy to commit first degree murder. He claims that his actions constituted one continuous conspiracy and that his convictions for two separate counts therefore violate his right against double jeopardy. Honken asserts that he had the same objective throughout the course of his agreements with both men he hired to kill his wife and that the addition of a new coconspirator did not mean that his original conspiracy with Shirley had ended.
678The Double Jeopardy Clauses of the federal and Nebraska constitutions protect against three distinct abuses: (1) a second prosecution for the same offense after acquittal, (2) a second prosecution for the same offense after conviction, and (3) multiple punishments for the same offense. State v. Kleckner, 291 Neb. 539, 867 N.W.2d 273 (2015). The protection provided by Nebraska’s double jeopardy clause is coextensive with that provided under the U.S. Constitution. Id. Under the Double Jeopardy Clause, the subdivision of a single criminal conspiracy into multiple violations of one conspiracy statute is prohibited. See United States v. Thomas, 759 F.2d 659 (8th Cir. 1985).
91011“The traditional test used to determine whether [two charged offenses constitute only one] offense is the Blockburger ‘same evidence’ test.” See United States v. Thomas, 759 F.2d at 661. See, also, Blockburger v. United States, 284 U.S. 299, 52 S.Ct. 180, 76 L.Ed. 306 (1932). Under this test, the offenses *361 are considered identical for double jeopardy purposes where the evidence required to support conviction on one offense is sufficient to support conviction on the other offense. See United States v. Thomas, supra. However, the “ ‘same evidence’ ” test has been found to be of questionable value in cases involving issues of conspiracy and double jeopardy due to the possibility that prosecutors could rely on the use of such test to draw up two sets of charges that include different overt acts. See id. at 662. Instead, other courts have adopted a “ ‘totality of the circumstances’ ” test that considers five factors: (1) time, (2) identity of the **699 alleged coconspirators, (3) the specific offenses charged, (4) the nature and scope of the activity, and (5) location. See id.
1213141516Neb. Rev. Stat. § 28-202(1) (Reissue 2008) provides:
A person shall be guilty of criminal conspiracy if, with intent to promote or facilitate the commission of a felony:
(a) He agrees with one or more persons that they or one or more of them shall engage in or solicit the conduct or shall cause or solicit the result specified by the definition of the offense; and
(b) He or another person with whom he conspired commits an overt act in pursuance of the conspiracy.
The Nebraska Supreme Court has held that the principal element of a conspiracy is an agreement or understanding between two or more persons to inflict a wrong against or injury upon another, although an overt act is also required. See State v. Henry, 292 Neb. 834, 875 N.W.2d 374 (2016). Section 28-202(3) states that “[i]f a person conspires to commit a number of crimes, he is guilty of only one conspiracy so long as such multiple crimes are the object of the same agreement or continuous conspiratorial relationship.” A conspiracy is ongoing until the central purposes of the conspiracy have either failed or been achieved. Id. Indeed, upon proof of participation in a conspiracy, a conspirator’s continuing participation is presumed unless the conspirator demonstrates affirmative *362 withdrawal from the conspiracy. Id. Such withdrawal must be effectuated by more than ceasing, however definitively, to participate in the conspiracy. See id. Rather, a coconspirator must make an affirmative action either by making a clean break to the authorities or by communicating abandonment in a manner calculated to reach coconspirators and must not resume participation in the conspiracy. See id.
Honken argues that the district court violated his right against double jeopardy because his actions constituted one continuous conspiracy with both men he hired to kill his wife. He claims that he had the same objective throughout and that the only element that changed was the addition of a new coconspirator. Honken asserts that the district court’s finding that his original agreement with Shirley had ended was in error because the central purposes of that conspiracy had neither failed nor been achieved, and therefore was ongoing.
We find little Nebraska case law that is pertinent to the determination of when one conspiracy ends for purposes of double jeopardy. However, looking beyond Nebraska, we find the analysis contained in Savage v. State, 212 Md. App. 1, 66 A.3d 1049 (2013) instructive. In Savage v. State, the defendant was sentenced on two counts of conspiracy to commit first-degree burglary. On appeal, he argued that the convictions violated double jeopardy principles because he was involved in only one conspiracy. The State argued, however, that his agreements with two separate individuals constituted two conspiracies.
1718192021The court in Savage v. State, supra, found that in order to constitute multiple conspiracies, the agreements must be distinct and independent from each other. See id. It held that there may be a continuing conspiracy with changing coconspirators so long as there are never less than two conspirators. See id. Such a gap breaks the continuity and the subsequent appearance of a new and different coconspirator creates a new and separate conspiracy. See id. The court summarized:
*363 [I]t is necessary for one conspiracy to end before a second distinct and separate conspiracy can be formed.... The question is whether there was a “break,” for an “appreciable time, in the sequence **700 of events,” in order to “categorize” the agreements as “separate and distinct.” Purnell v. State, 375 Md. 678, 698, 827 A.2d 68 (2003). As a practical matter, the fact that a conspirator in a two-person conspiracy seeks a replacement for a departed would-be cohort is a strong indication of the failure of one conspiracy and the creation of another.
Savage v. State, 212 Md. App. at 25-26, 66 A.3d at 1063.
22In the present case, while the statutory offenses that Honken was charged with in both counts were identical, the counts alleged that the offenses occurred over different and distinct time periods. The amended information charged Honken, in count I, with conspiracy to commit first degree murder on or about January 16 through February 16, 2016. Count II charged Honken with the same statutory offense, but alleged that it occurred on or about February 26 through 29. As charged by the State, a 10-day break separates the first conspiracy from the second.
The stipulated facts presented at trial further support this break in the timeline. The district court received into evidence copies of the 659 text messages that Honken exchanged with Shirley. The text messages began on or about January 16, 2016, and the last message was sent to Shirley from Honken on February 16. The content of the final message that Honken sent to Shirley repeatedly thanked Shirley for “backing out of the plot” and “ ‘backing down.’ ” It further indicated that Honken had spoken with his wife and believed an end to “ ‘all of this’ ” may be forthcoming. He stated that he did not want Shirley to ever reconsider what he had previously asked Shirley to do. The stipulated facts also state that, while being questioned following his arrest, Honken told law enforcement that Shirley had contacted him approximately 3 weeks before and “said he was getting cold feet and decided to not go *364 forward with killing [Honken’s wife].” Honken then attempted to contact Flores on February 24, and the pair met on February 26. It was during this meeting that Honken asked if Flores knew anyone who would kill his wife.
It is apparent from the February 16, 2016, text that Shirley had advised Honken by that date that he no longer wanted to participate in the murder conspiracy. Ten days later, Honken asked Flores if he knew anyone who would kill his wife. This time period constitutes a break in the sequence of events sufficient to categorize the agreements as separate and distinct. The facts do not indicate that Honken was in contact with anyone regarding his plan to kill his wife during that time nor did he have an agreement with anyone to do so. In fact, his final message to Shirley on February 16 indicated that he no longer wished to pursue his plan to kill her and Honken specifically asked Shirley to never reconsider his previous request to kill his wife. While Honken later entered into an agreement with the same objective, this gap of 10 days between such agreements and the addition of a new and different coconspirator suggests that the later agreement was a new and separate conspiracy. See Savage v. State, 212 Md. App. 1, 66 A.3d 1049 (2013).
Furthermore, under Nebraska law, a conspirator may withdraw from a conspiracy through an affirmative action. One such manner of withdrawal is through communication of abandonment in a manner that is calculated to reach coconspirators and subsequent nonparticipation in the conspiracy. See State v. Henry, 292 Neb. 834, 875 N.W.2d 374 (2016). Here, it is clear that Shirley effectively communicated his abandonment of the conspiracy to Honken, his only coconspirator, and that Honken in **701 fact received such communication, as he acknowledged in his final message to Shirley. It is undisputed that following February 16, 2016, Shirley had no additional communication with Honken nor did he later resume his participation in the conspiracy. These actions constitute Shirley’s withdrawal from the conspiracy, effective *365 February 16. As a conspiracy necessarily requires an agreement between two or more persons, the affirmative withdrawal of one coconspirator from a two-person conspiracy terminates that conspiracy.
We also look to the totality of the circumstances test outlined in United States v. Thomas, 759 F.2d 659 (8th Cir. 1985), and the five factors used there in determining whether Honken had engaged in multiple conspiracies or one continuous conspiracy. The first factor to consider is time. As discussed above, the two counts of conspiracy cover two separate and distinct time periods: the first count occurred from January 16 to February 16, 2016, and the second count occurred from February 26 to 29. The stipulated facts do not allege any overlap between the two time periods, which are separated by a period of 10 days.
The second factor to consider is the identity of the coconspirators. Here, Honken’s coconspirator in count I was Shirley. The evidence indicates that he withdrew from the conspiracy on or about February 16, 2016, and did not resume participation. The second count of conspiracy involved Honken contacting Flores, who then connected him with the undercover investigator that Honken believed he had hired to kill his wife. There is no overlap of identity between the coconspirators involved in counts I and II.
The third factor is the specific offenses charged. Both counts were brought under the same statute, § 28-202(4), as conspiracy to commit first degree murder.
The fourth factor is the nature and scope of the activity. While the objectives in both counts are the same, to kill Honken’s wife, the overt acts taken in furtherance of this objective differ. In count I, Honken’s agreement with Shirley, it is alleged that in pursuance of the objective, one or both of the parties exchanged $400, purchased a .22-caliber rifle, and drove around the residence of Honken’s wife. Furthermore, it is clear from the text messages between Honken and Shirley that Honken provided substantial information regarding the *366 residence and his wife’s routine to Shirley and that Shirley used that information to surveil Honken’s wife and her property and even make contact with her. Shirley admitted that he had driven by her property approximately 20 times during the course of his agreement with Honken.
In count II, Honken’s contact with Flores and subsequent agreement with the undercover investigator, it is alleged that in pursuance of the objective, one or both parties met at a previously specified location to discuss a murder for hire, paid $500 as a downpayment for the murder of Honken’s wife, and provided the undercover officer posing as a hitman with a photograph of Honken’s wife, as well as her address. While there are similarities between some of the overt acts taken in both counts and all of the acts were taken in pursuance of the same objective, there is no overlap between specific acts, and the actors, other than Honken, are entirely different.
The final factor to consider is location. Everything alleged in both counts took place in Hamilton County, Nebraska. However, in count I, the initial meeting between Honken and Shirley took place at Honken’s residence in Aurora and Shirley’s subsequent surveillance of Honken’s wife took place in and around rural Hamilton **702 County. In count II, the initial meeting between Honken and Flores took place at a gas station in Aurora and his meeting with the undercover officer took place at a truckstop in Aurora. The locations involved in each of the two counts are in relative proximity to one another but they do not overlap as to any specific locations.
23After taking all five factors into consideration, we find that Honken engaged in two separate and distinct conspiracies. While there are some similarities between several of the factors, the only one in which there was overlap was the offenses charged. We do not find this factor dispositive. The remaining factors and surrounding facts indicate that Honken participated in two conspiracies that were separate in time, involved different coconspirators, and involved distinct locations and acts taken in furtherance of the conspiracies.
*367 Honken’s reliance on the proposition of law that a conspiracy is ongoing until its purpose has either failed or been achieved is misplaced. He ignores the fact that a conspirator may withdraw from a conspiracy through an affirmative act. We find that Shirley did withdraw from the conspiracy on or before February 16, 2016, which terminated the conspiracy with Honken. Honken did not engage in a new agreement with anyone to kill his wife until 10 days later, at his meeting with Flores. Shirley’s withdrawal and the 10-day break in time between the two agreements indicate that Honken’s subsequent conspiracy was separate and distinct from the first. This is further supported by the differences between the parties involved in each agreement, the specific locations involved, and the overt acts taken in furtherance of the agreements.
Because we determine that the district court correctly found that Honken engaged in two separate and distinct conspiracies, we find no double jeopardy violation and no merit to this assignment of error.
Excessive Sentences.
24Honken argues that the district court erred in imposing excessive sentences. He claims that the court did not adequately consider mitigating factors such as his mental health issues and the lack of violence in the commission of the offenses. Honken also argues that the district court appeared to sentence him for each conviction as if the underlying offense, the murder of his wife, had taken place, rather than sentencing him for the conspiracy to commit such offense.
25262728When imposing a sentence, the sentencing court is to consider factors such as the defendant’s (1) age, (2) mentality, (3) education and experience, (4) social and cultural background, (5) past criminal record or record of law-abiding conduct, and (6) motivation for the offense, as well as (7) the nature of the offense and (8) the amount of violence involved in the commission of the crime. However, the sentencing court is not limited to any mathematically applied set of factors. *368 State v. Dehning, 296 Neb. 537, 894 N.W.2d 331 (2017). The appropriateness of a sentence is necessarily a subjective judgment and includes the sentencing judge’s observation of the defendant’s demeanor and attitude and all the facts and circumstances surrounding the defendant’s life. Id. Traditionally, a sentencing court is accorded very wide discretion in determining an appropriate sentence. State v. Loding, 296 Neb. 670, 895 N.W.2d 669 (2017).
Honken was found guilty of two counts of conspiracy to commit first degree murder, a Class II felony, and was sentenced to 45 to 50 years’ imprisonment on each count, to be served concurrently. He was also given credit for 327 days served. Class II felonies are punishable by a minimum of **703 1 year’s imprisonment and a maximum of 50 years’ imprisonment. Neb. Rev. Stat. § 28-105 (Reissue 2016). Honken’s sentences are both within the statutory limits.
Honken argues that the district court did not give adequate consideration to mitigating factors, such as his use of alcohol, sleeping pills, and OxyContin around the time of the offenses, as well as his prior suicidal thoughts. Honken claims that he had previously been a “law-abiding citizen” with only two traffic offenses on his record. Brief for appellant at 28. He argues that he was diagnosed as having bipolar disorder subsequent to his incarceration and believes his mental health issues had affected his actions in this case. Honken claims that the district court should have considered the fact that there was no physical violence involved in the commission of the offenses and that no one was physically harmed.
The evidence shows that Honken sought out two different men to kill his wife over a month apart and then planned how the murder was to occur in a deliberate and calculated manner. Honken’s actions included frequent contacts with these men, often on a daily or near-daily basis. While Honken alleges that he was using various substances around the time of the offenses, nothing in the record suggests that he was under the influence of any such substances during the commission *369 of the offenses, which took place during a period of greater than 1 month. Similarly, there is nothing to suggest that his mental health was impaired either by his past suicidal thoughts or by any bipolar-related disorder when he committed these offenses.
Honken argues that no one was physically harmed in the commission of these offenses. However, as the district court pointed out at sentencing, that was due only to intervening actors. It is clear from the content of Honken’s messages to the hitmen and the desperation of his tone that Honken’s wife would have been dead if it had been up to him. While Honken argues that the district court improperly sentenced him as if the murder had actually occurred, such argument is not supported by the record. The sentences imposed were properly within the statutory limits for conspiracy to commit first degree murder.
We note that in imposing its sentences, the district court stated that it had considered the factors in Neb. Rev. Stat. § 29-2260 (Supp. 2015), the presentence investigation report, the hundreds of text messages between Honken and Shirley, Honken’s statements to probation and during allocution, the victim impact statement and accompanying letters from the victim’s friends and family, Honken’s diagnosis of unspecified bipolar disorder and unspecified personality disorder, his history of anger issues, the fact that on several occasions Honken sought to have the underlying crime committed in front of his children, the eight sentencing factors specified above, and Honken’s lack of acceptance of responsibility for his actions.
The crimes for which Honken was convicted were extremely serious and put his wife at great risk of bodily harm or death. Honken’s persistence in seeking out someone to kill his wife is alarming, as are the lengths he went to in order to plan her death, such as providing her photograph, a map of her residence, details about her daily routine, and suggestions for how her death could occur. Honken made a lengthy statement *370 both in the presentence investigation report and during allocution, but he shifted blame for his actions onto Shirley, onto a friend who allegedly came up with the idea, and even onto his wife, whom he continued to blame for her shortcomings as a spouse. We do not believe that Honken truly understands the very **704 serious nature of these offenses nor does he understand the consequences that his actions have had on others, including his three children. Because the sentences that were imposed are properly within the statutory limits, we find no abuse of discretion by the district court.
Ineffective Assistance of Counsel.
29Honken claims that his trial counsel was ineffective for failing to raise potential defenses arising out of his mental health issues. He argues that the presentence investigation report indicated that around the time of the offenses, he had been drinking, as well as using sleeping pills and OxyContin; that he had previous suicidal thoughts; and that he had been later diagnosed with bipolar disorder. Although trial counsel raised these issues at sentencing, Honken claims that they should have been raised earlier as potential affirmative defenses.
303132When a defendant’s trial counsel is different from his or her counsel on direct appeal, the defendant must raise on direct appeal any issue of trial counsel’s ineffective performance which is known to the defendant or is apparent from the record. Otherwise, the issue will be procedurally barred. State v. Loding, 296 Neb. 670, 895 N.W.2d 669 (2017). However, the fact that an ineffective assistance of counsel claim is raised on direct appeal does not necessarily mean that it can be resolved. The determining factor is whether the record is sufficient to adequately review the question. Id. An ineffective assistance of counsel claim will not be addressed on direct appeal if it requires an evidentiary hearing. State v. Abdullah, 289 Neb. 123, 853 N.W.2d 858 (2014).
Honken contends that his trial counsel was ineffective for failing to raise his mental health issues as potential affirmative *371 defenses. However, we find that the record before us on direct appeal is insufficient to resolve this claim. We have nothing before us indicating whether Honken’s trial counsel contemplated raising such issues as potential defenses, whether his failure to do so was strategic, when Honken’s psychological evaluation took place, or what the results were of such an evaluation. Accordingly, we cannot determine based on the record before us whether Honken’s trial counsel rendered ineffective assistance.
CONCLUSION
Following our review of the record, we find Honken’s assignments of error to be without merit or without a sufficient record to resolve on direct appeal and therefore affirm.
AFFIRMED.

7.3.15 Notes and Questions (State v. Honken) 7.3.15 Notes and Questions (State v. Honken)

Notes following Honken:

 

1.     Imagine that, instead of Shirley who had backed out, it was Honken who initially changed his mind about killing his wife, sending a text to Shirley saying, “I’m getting cold feet and I don’t want our plan to continue.” In response, Shirley says, “I already got the gun and I want her dead too. I’m still in it if you are.” After two weeks of silence, Honken then seeks out the investigator posing as the hitman for help to kill his wife. Under the ruling in Honken, is this one continuous conspiracy or two? How about under the MPC? See MPC § 5.03 (6)-(7).

2.    Suppose a defendant named Nee concocts a plan to commit a school shooting with another student, Kerns. Before the planned shooting takes place, Nee goes to the police without Kerns knowledge and informs them of this planned attack but places the blame exclusively on Kerns, denying any participation in the plan. The police then arrest Kerns and stop the attack from taking place. Is the renunciation defense under MPC § 5.03(6) available to Nee in this situation? Commonwealth v. Nee, 458 Mass. 174, 935 N.E.2d 1276 (2010).

3.    Is the defense of legal impossibility available to those charged with a conspiracy? For example, imagine Y and S, employees of one company, conspire with L, employee of another company, to provide them trade secrets in exchange for payment. The FBI confronts L, who admits to this relationship. L agrees to participate in a sting operation, where the FBI provides L fake documents bearing “confidential” stamps to give to Y and S. Can Y and S be convicted of conspiracy to commit theft of a trade secret where the documents were fake and did not actually contain trade secrets? United States v. Yang, 281 F.3d 534 (6th Cir. 2002).

 

In jurisdictions that recognize the defense of legal impossibility for attempt charges, can you think of an argument against recognizing the defense in conspiracy cases? Can you think of any arguments in support of allowing the legal impossibility defense in conspiracy cases?