A Synthesization of Criminal Law Criminal Law, Winter 2012, BYU Law, Prof. S. Baradaran Contents I. Introduction ............................................................................................................................................... 4 A. Differences between Civil and Criminal Law ............................................................................... 4 B. Sources of Criminal Law .................................................................................................................. 4 C. Presumption of Innocence .............................................................................................................. 4 D. Punishment Theories ........................................................................................................................ 4 E. Legality ................................................................................................................................................ 4 II. Elements of a Crime................................................................................................................................. 4 A. Actus Reus.......................................................................................................................................... 4 B. Mens Rea ............................................................................................................................................ 5 1. Common Law .................................................................................................................................... 5 2. Modern ............................................................................................................................................... 5 3. Specific Intent and General Intent ................................................................................................. 5 4. Transfer............................................................................................................................................... 5 5. Knowingly .......................................................................................................................................... 5 6. Strict Liability ..................................................................................................................................... 5 III. A. Mistake .................................................................................................................................................... 5 Mistake of Fact .................................................................................................................................. 5 1. Common Law .................................................................................................................................... 5 2. MPC .................................................................................................................................................... 6 B. IV. Mistake of Law .................................................................................................................................. 6 Causation ................................................................................................................................................ 6 A. Actual Cause....................................................................................................................................... 6 B. Proximate Cause ................................................................................................................................ 6 V. Homicide .................................................................................................................................................... 7 A. Murder ................................................................................................................................................ 7 1. MPC 210 ............................................................................................................................................. 7 2. Common Law .................................................................................................................................... 7 Page 1 of 18 3. Penn .................................................................................................................................................... 7 B. Manslaughter ...................................................................................................................................... 7 1. MPC 210.3 .......................................................................................................................................... 7 2. Common Law .................................................................................................................................... 7 3. Penn .................................................................................................................................................... 8 C. Provocation/Intentional Manslaughter ......................................................................................... 8 D. Unintentional Homicide/Manslaughter......................................................................................... 8 E. Felony Murder Rule .......................................................................................................................... 8 F. Misdemeanor Manslaughter ................................................................................................................. 9 VI. Rape ......................................................................................................................................................... 9 A. Common Law .................................................................................................................................... 9 B. Reformed Statute............................................................................................................................... 9 C. Rape by Fraud .................................................................................................................................... 9 1. Fraud in Factum ................................................................................................................................ 9 2. Fraud in Inducement ........................................................................................................................ 9 VII. Accomplice Liability.............................................................................................................................. 9 A. Common Law .................................................................................................................................... 9 B. Modern Common Law ...................................................................................................................10 1. Natural and Probable Consequences Doctrine ..........................................................................10 2. Principal is Acquitted ......................................................................................................................10 3. Principal Convicted .........................................................................................................................10 4. Limits to Accomplice Liability ......................................................................................................10 VIII. Inchoate Crimes ..............................................................................................................................11 A. Solicitation ........................................................................................................................................11 B. Conspiracy ........................................................................................................................................11 1. Mens Rea ..........................................................................................................................................11 2. Actus Reus........................................................................................................................................11 3. Common Law ..................................................................................................................................12 4. MPC ..................................................................................................................................................12 5. Pinkerton Doctrine .........................................................................................................................12 6. Bilateral v. Unilateral .......................................................................................................................12 Page 2 of 18 7. Scope of Agreement .......................................................................................................................12 8. Defenses ...........................................................................................................................................12 C. Attempt .............................................................................................................................................13 1. Mens Rea ..........................................................................................................................................13 2. Actus Reus........................................................................................................................................13 3. MPC 5.01 ..........................................................................................................................................14 4. Defenses ...........................................................................................................................................14 5. Assault ...............................................................................................................................................14 IX. X. Larceny ..................................................................................................................................................15 Embezzlement.........................................................................................................................................15 XI. False Pretenses .....................................................................................................................................15 XII. Defense Categories..............................................................................................................................15 A. Self Defense—A Justification .......................................................................................................15 1. MPC 3.04 ..........................................................................................................................................16 2. Rule of Aggressor ............................................................................................................................16 3. Duty to Retreat (Common Law) ...................................................................................................16 B. Defense of Others, Property .........................................................................................................16 1. Defense of Property........................................................................................................................16 C. Necessity ...........................................................................................................................................16 D. Duress ...............................................................................................................................................16 1. Prison Escape ..................................................................................................................................16 E. Intoxication ......................................................................................................................................17 1. Voluntary (Not Necessarily Widely Adopted) ............................................................................17 2. Involuntary (Broadly allowed, rarely invoked) ............................................................................17 XIII. Insanity..............................................................................................................................................17 A. The M'Naghten Rule: .....................................................................................................................17 B. Irresistible Impulse or Control Test .............................................................................................17 C. Durham Product Test.....................................................................................................................18 D. MPC Test:.........................................................................................................................................18 E. Diminished Capacity .......................................................................................................................18 Page 3 of 18 I. II. Introduction A. Differences between Civil and Criminal Law There are laws that prohibit or require certain actions. Commands are valid and binding on everyone who falls in jurisdiction. The community enforces sanctions for violation of these commands. Conviction is a moral condemnation from the community. Unpleasant physical consequences follow for conviction. Government is always involved with crime. B. Sources of Criminal Law Statutes (Primary source of criminal law) Cases (Common law is not very fair to potential criminals.) Constitutions (are not that detailed) C. Presumption of Innocence Each element of a crime must be proved beyond a reasonable doubt. D. Punishment Theories Utilitarian Retributive Incapacitation Rehabilitation E. Legality Legislatures Make Law Laws Cannot be Vague Rule of Lenity Elements of a Crime A. Actus Reus Conduct + Result, voluntary Exceptions: Reflex/Convulsion Sleep/unconscious Learned reaction Hypnosis Otherwise not a produce of the conscious or unconscious effort of person Page 4 of 18 Omissions are all right, except: Statute imposes a duty Status of relationship Contract Assumes voluntary care/exclude other from aiding Harm B. III. Mens Rea 1. Common Law Mens rea is measured by malice and intent. 2. Modern Purposefully, knowingly, recklessly, negligently. In the absence of statute specifying mens rea, PKR apply, but not N. Proof of greater mens rea proves lesser mens rea. 3. Specific Intent and General Intent Specific intent is when the statue says you steal for purpose of whatever. General intent is the general intent to commit act, the reason being irrelevant. 4. Transfer Intent transfers from person to person, but not necessarily from property to person. 5. Knowingly Knowingly is usually satisfied by willful blindness—high probability that a situation is what it is. However, actual belief that it isn’t the case is sufficient. 6. Strict Liability Legislative intent (absolutely clear) Common Law Nature of conduct (highly dangerous) Severity of punishment (very light—strict fine) Mistake A. Mistake of Fact 1. Common Law Depending on type of crime: Strict liability: mistake irrelevant Page 5 of 18 2. Specific intent crime: mistake as to element = acquittal General intent crime o Not reasonable mistake: mistake irrelevant o Reasonable mistake: If defendant didn’t think there was crime, acquittal If defendant thought it was lesser crime, mistake irrelevant MPC 2.04(1): Ignorance or mistake as to matter of fact is a defense if mistake negatives the purpose, knowledge, belief, recklessness, or negligence required to establish an element, OR the law provides that the state of mind established by such a mistake constitutes a defense. 2.04(2): Belief that person was committing some crime invalidates mistake of fact defense. However, can be punished only at degree of crime he believed. B. Mistake of Law Ignorance of law generally not an excuse. Exceptions: Awareness of law is a mens rea requirement Defendant had relied on an official statement (authorized reliance doctrine) IV. Causation A. Actual Cause But For Causation Acceleration Substantial Factor Concurrent Causes B. Proximate Cause Doctrines De minimis harms Intended consequences Omissions Foreseeability of intervening causes—independent (not foreseeable, thus not responsibility) and dependent (fire kills homeless person I building, guy rushes in and dies, fireman dies, etc.). Apparent Safety Intervention by a free, deliberate, and informed agent Act of God Page 6 of 18 MPC 2.03 (2) and (3) V. Homicide A. Murder 1. MPC 210 a. Purposefully or knowingly b. Recklessly with extreme indifference for human life c. Felony murder 2. Common Law a. Killing with malice aforethought i. Intent to kill/inflict grievous bodily injury ii. Depraved heart iii. Felony Murder Rule 3. Penn a. Malice aforethought b. First Degree i. Specified manner (poison, lying in wait) ii. Willful (intentional), deliberate (quality of your thinking), premeditated (quantity of your thinking) 1. Hot/cold blood: Guthrie: Time period sufficient to make actor conscious of what they were doing? The time period will vary according to jurisdiction. i. Considerations ii. Provocations by the deceased iii. Ill will or previous difficulties iv. Statements made by victim, killer, bystanders v. Lethal Blows afterward (which can mean whatever) vi. Brutal manner? vii. Nature and number of wounds iii. Felony Murder c. 2nd Degree Murder i. Unspecified felony ii. Intent to inflict grievous bodily injury iii. Intent not premeditated iv. Reckless, depraved heart B. Manslaughter 1. MPC 210.3 a. Recklessly, consciously taking a substantial risk (210.4) b. EED/RED: extreme emotional disturbance that is a reasonable emotional disturbance for that situation i. Reasonableness from victim's viewpoint ii. Words can be enough under MPC only 2. Common Law a. Voluntary--heat of passion Page 7 of 18 b. Involuntary c. Misdemeanor (basically similar to felony) 3. C. Penn a. Voluntary: heat of passion b. Involuntary: criminal negligence Provocation/Intentional Manslaughter Calculated to inflame passion of reasonable man. Subjective: Nature of provocation itself Objective: How reasonable person should have reacted to the provocation Requirements: Adequate provocation calculated to inflame, act not out of reason Heat of passion Sudden (no reasonable time to cool off) Causal link between provocation, passion, and homicide Adequate Provocations under Common Law Extreme assault or battery Mutual combat Illegal arrest Injury of a close relative Spouse's adultery D. Unintentional Homicide/Manslaughter 1. Reckless a. Consciously taking substantial and unjustifiable risk with no regard. Dog that ate doghouse. b. Thomas (high probability of death, wanton disregard, anti-social motive) and c. Phillips (endangers a life, conscious disregard for endangerment) 2. Criminal Negligence a. MPC 210.4 b. Accidentally taking a substantial & unjustifiable risk. c. Gross negligence 3. Civil Negligence a. Accidentally taking unjustifiable risk (not necessarily substantial--uneducated people with gangrene baby) E. Felony Murder Rule MPC 210.2: killing during a specified gives rise to rebuttable presumption of recklessness. To analyze: Did killing happen during felony? What limitations? Specified v. unspecified felonies (specified allows you to assume that it was reckless or inherently dangerous) Independent felonious purpose (Merger Doctrine): Assault based crimes are going to merger because of merger doctrine. Page 8 of 18 The felony in question must be Inherently dangerous Proximate cause (required) o Agency approach, majority (person has to have done the killing) o Proximate cause, minority (person dies because of causal chain) This rule designed to encourage felons to be careful. F. VI. VII. Misdemeanor Manslaughter Few states have it, and it is not in the MPC. The misdemeanor would be speeding or selling liquor to a minor. The misdemeanor should be inherently dangerous. Rape A. Common Law Sexual intercourse with woman by force or threat of force against her will and without consent. The common law requires utmost resistance. B. Reformed Statute Sexual stuff with another person without person’s consent. Can be with spouse. Also, if person unconscious, not good. Verbal resistance is all that is required. C. Rape by Fraud State may or may not accept both as rape. 1. Fraud in Factum Person does not realize they are having sex. 2. Fraud in Inducement They know they are having sex, but have been gyped. Accomplice Liability Someone can be held liable for assisting or helping others commit crimes. A. Common Law Accessories are not at the scene. 1st degree principal: perpetrator 2nd degree principal: abettors, aided, counseled, commanded, encouraged Accessory before fact: inciter, abettor (not in presence at time) Accessory after fact (obstruction of justice, harboring a criminal) (protects, assists, helps hinder justice) There are strict logical rules about when the accessory can be tried. Page 9 of 18 B. Modern Common Law Accomplice liability is the theory that allows the state to charge the person for the same crime as everyone else Principal Accomplice Less Serious Crime Principal 1st Accessory Before Accessory After Principal 2nd Accomplice: intentionally assists principal in committing crime: Actus Reus: (mere presence does not suffice) o Physical conduct o Psychological influence o Omission (failure to prevent where there is legal duty in the case of parents, cops, etc.) Mens Rea o Intended to help person o Intended the crime (mens rea required by statute) 1. Natural and Probable Consequences Doctrine Statutes allow conviction if what happens is a reasonably foreseeable consequence, even in absence of intent to commit the crime. 1) Actor intended to promote primary crime and 2) Commission of secondary crime was a foreseeable consequence. Analysis: 1) Primary party committed target offense, 2) Secondary party was accomplice, 3) another crime occurred, 4) crime was foreseeable. 2. Principal is Acquitted There must have been a criminal offense committed by a principal. Even if the principal is not caught, accomplice can be convicted. An accomplice can also get nailed for a higher standard of liability. 3. Principal Convicted Accomplice can get convicted of higher crime because of mens rea differences. 4. Limits to Accomplice Liability Victim cannot be an accomplice. Accomplice can get cold feet and 1) terminate complicity, wholly depriving complicity of effectiveness, 2) gives timely warning to authorities, 3) expresses over disapproval in time to make a difference. Page 10 of 18 VIII. Inchoate Crimes Solicitation, Conspiracy, and Attempt are basically inchoate crimes. Policy is in favor of punishing people for inchoate crimes because the conduct indicates they will cause trouble and you cannot just let people free because they got lucky. Generally, there needs to be both actus reus (beyond preparation and into attempt) and mens rea (requiring both intent to perform actus reus and intent to commit the crime itself. If A solicits B to murder someone, but B does not, A is guilty of solicitation. If B kills or attempts to murder C, A is guilty of murder or attempted murder. If B agrees, but is arrested before attempt, A and B may be prosecuted for conspiracy to commit murder. A. Solicitation Punishment is lower than for attempt. Some jurisdictions can punish solicitation for murder as high as murder. Under common law had more to do with bribery, etc. The actus reus is communication that another commit a crime. The mens rea is specific intent to commit crime and knowledge that crime can be accomplished. Under common law, if it does not reach target, it has not occurred. Under MPC, conduct designed to effect communication is sufficient. There is no such thing as attempted solicitation. B. Conspiracy Conspiracy is an agreement to commit a crime. The only way to really prove conspiracy is through circumstantial evidence of acts. The idea that people are working in groups to plan bad things is scary, so we want to discourage that. You can prove with: Association with alleged conspirators Knowledge of the commission of the crime Presence at the scene of the crime Participation in the object of the conspiracy 1. Mens Rea Intent to agree and intent to perform crime. 2. Actus Reus Overt act in furtherance of the conspiracy and/or two people conspiring to commit a crime or to do a lawful act that is corrupt or immoral. Aiding and abetting or mere presence does not show conspiracy. (The rape case) Page 11 of 18 Distinguish between accomplices and conspirators. Accomplice liability is about committing the crime. Conspiracy is about planning to commit the crime. 3. Common Law No merger and Pinkerton Doctrine 4. MPC Merger. No Pinkerton Doctrine 5. Pinkerton Doctrine Parties to conspiracy are responsible for any criminal act that any partner does in furtherance of the agreement that was in scope of agreement and was a foreseeable consequence. 6. Bilateral v. Unilateral The MPC requires only that the person agree with someone to do a crime. This is interpreted as requiring only unilateral conspiracy. However, some states may require bilateral conspiracy. 7. Scope of Agreement Wheel conspiracy involves a central person who independently conspires with lots of people for lots of crimes. A prosecutor does not like this very much because they cannot get the conspirators to testify against each other in a hearsay. In a chain conspiracy, conspirators can hearsay each other. Also, courts hold that one agreement is one agreement and one conviction for conspiracy even if they are doing lots of crimes in the process. However, there can be multiple convictions if there are separate conspiracy statutes. 8. Defenses Wharton’s Rule: The common law does not have merger. When a crime requires multiple people, there can be no conspiracy. Protected Class: If one party cannot agree to something, they cannot be held to have agreed to a conspiracy. Abandonment/Renunciation: Complete withdrawal not caused by fear or inability. Also requires an affirmative act including preventing or warning authorities, preventing being the majority. Withdrawal: You can withdraw after agreement, but you can be held liable for the conspiracy and not the crimes. Page 12 of 18 C. Attempt People who attempt stuff are guilty and should be punished. Punishing attempts will also discourage people. You usually get punished half, but it is still a felony. Attempt was formerly a misdemeanor, but now it is a felony punishable almost equally with the actual crime. Preparation v. attempt: Person has done everything in power to commit crime Some appreciable fragment of the crime has been committed Slight acts done in addition to preparation Some act done with intent even if innocent without attempt counts More serious crime = earlier attempt sets in 1. Mens Rea Intend to perform actus reus Intend to perform crime 2. Actus Reus Last Act: All acts performed that actor believes are necessary. Most jurisdictions think this is too late. (Murderer has pulled the trigger.) Physical Proximity: The actor has the ability to complete the crime almost immediately. Dangerous Proximity: Similar to above, but you balance the seriousness of the crime, likelihood of the crime, and proximity to the crime. Indispensable Element: Is there any central part of the crime over which the actor does not have control yet? No gun, no murder. Probable Desistance: Has actor reached a point where it is unlikely they will voluntarily stop. Res Ipsa Loquitor: Does the actor’s conduct unambiguously manifest criminal attempt? Would a person act this way without crime? Substantial Step: Are the materials needed near the crime scene? MPC A complete attempt is where they accomplish everything, but somehow, it does not work. An incomplete attempt is where the actor performs some of the necessary acts, but stops is stopped. Page 13 of 18 Punishment is half, 1st degree is 2nd degree. This is not recklessly or negligently stuff on mens rea. There is no such thing as attempted felony murder. 3. MPC 5.01 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 an act or omission constituting a substantial step in a course of conduct planned to culminate in his commission of the crime. 4. 5. Defenses a) Impossibility Factual: There is a factual circumstance unknown to the person at the time. (Pickpocket finds an empty pocket.) Legal: o Pure: The law does not recognize what would have happened as being a crime. o Hybrid: Goal is illegal, but factually not possible. Some mistake makes the real crime impossible. b) Abandonment Some states have this, others do not. Must be voluntary (cannot be some sort of factor where you saw a cop) Must be complete (there must be complete abandonment with no intent to perform crime in the future) Must prevent commission of crime, or make effort. Assault Intent to commit battery Scare person Battery sometimes called assault Page 14 of 18 IX. Larceny Actus Reus: Trespassory taking (meat barrels) without consent and carrying away of personal property of another person with Mens Rea: intent to permanently deprive owner of it. (borrow bike) Custody: Physical control for limited time and purpose. (In armored car robbery, it was important that person had custody rather than possession.) Possession: Control with intent to possess with right to exclude. Constructive Possession: Legal fiction where law deems person to possess something because they have some legal interest. Owner: Person with title Larceny by Trick: Obtain possession by trick or fraud. (Person rents horse with intention to steal it.) Abandoned Property: If person finding property does not take reasonable steps to find owner and has intent to steal, busted. X. Embezzlement Conversion of property received by wrongdoer in a non-trespassory manner. Entrustment, conversion, fraud. XI. False Pretenses Obtains possession through false representation and with intent to steal and title to the property. The victim must intend for the title to pass. The person must have made a false representation. The person must have relied on it. (Doesn’t work if person knew false, relied on other advice, relied on other true reps) XII. Defense Categories Failure of Proof Justification Excuses A. Self Defense—A Justification Imminent threat Proportionate Necessary to save one's self Reasonable (objective and subjective) Page 15 of 18 B. 1. MPC 3.04 Use of force justifiable when actor believes that such force is immediately necessary to protect against the use of unlawful force (death, serious harm, kidnapping, rape, etc.) Limitations on Justifying: To resist arrest that person knows is being made by peace officer To resist force used by property owner or agent under claim. . Except: Provoking the deadly force doesn't get you off. Knowledge that you can avoid necessity of using such force with complete safety, or by surrendering something person asserts a claim to. But not obliged to retreat from dwelling or place of work, or retreat from law enforcement duty 2. Rule of Aggressor Deadly aggressor has no right of self-defense unless withdraws from the fight and informs opponent of withdrawal. (CC and MPC) An aggression is an affirmative, unlawful act reasonably calculated to induce a public fight. 3. Duty to Retreat (Common Law) Apparently, you should retreat to wall, unless your home is your castle. (Castle Exception--got to be in the castle or in the space around home02). Retreat if you can do so safely. (Stand your Ground v. Duty to Retreat.) Defense of Others, Property Generally, defenders have same rights as the other person would have. 1. Defense of Property Can't be using deadly force to prevent theft, though in some places, you can use non-deadly force to prevent imminent, unlawful theft. You may use deadly force to defend home. C. Necessity Act done to prevent a significant evil No adequate/legal alternative Harm caused must not have been disproportionate to harm avoided. It was the lesser of two evils. D. Duress Immediate threat of death or serious bodily injury Well-grounded fear that the threat will be carried out No reasonable opportunity to escape the threatened harm. 1. Prison Escape Prisoner faced with a specific threat of death, sexual attack, or injury in immediate future. Page 16 of 18 E. No time for a complaint to authorities or there exists a history of futile complaints No time or opportunity to resort to the courts No evidence of force or violence used toward innocent persons in the escape. Prisoner immediately reports to the proper authorities when he has attained a position of safety from immediate threat. Intoxication 1. Voluntary (Not Necessarily Widely Adopted) Failure of proof o Involuntary act (rare) (so drunk, body moved in crazy way) o No mens rea (specific intent crimes) Excuse (not common) Insanity (form of temporary insanity, some courts, or permanent if you're completely toasted.) MPC: Intoxication not a defense unless is negatives an element of the offense. Intoxication not self-induced (involuntary) or pathological is an affirmative defense if actor lacked capacity to appreciate criminal conduct or conform. Reckless doesn't matter if you're too drunk to realize recklessness. 2. XIII. Involuntary (Broadly allowed, rarely invoked) Coerced ingestion Accidental ingestion Prescribed medication Pathological intoxication Insanity A. The M'Naghten Rule: Person is insane when they have a defect of reason from disease of mind: (squeezes someone's skull thinking it was a grapefruit) party was laboring under defect of reason as to not know the nature and quality of the act he was doing, AND/OR if he did know it, that he did not know that what he was doing was wrong. B. Irresistible Impulse or Control Test Complete destruction of the governing power of the mind. (They would do it, even if a police officer was watching.) Page 17 of 18 C. Durham Product Test Act was a product of a mental disease or mental defect. This allegedly lead to too many acquittal D. MPC Test: Two circumstances: 1. When as a result of mental disease or defect the defendant lacked substantial capacity to appreciate the criminality of his conduct. 2. When as a result of mental disease or defect the defendant lacked substantial capacity to conform his conduct to the requirements of law. E. Diminished Capacity 1. Mens Rea Variant: You attack the prosecution on the mens rea proof. 2. Partial Responsibility Variant: Person claims less culpability. Page 18 of 18