ATTRIBUTIONOFCRIMINALITY
CONTENTS Preface
Acknowledgments
Special Notice
INTRODUCTION
A.TheCareer of aCriminal Case
1.ProcedureBeforeTrial
DonaldDripps,Criminal JusticeProcess
2.SubstantiveLegal IssuesBeforeTrial
3.Procedureat Trial
4.SubstantiveLegal IssuesonAppeal
B.Sourcesof Criminal Law
1.Statutes
2.Precedent
3.Constitutions
C.TheAnalysisof Criminal Liability
1.ThePurposeof Analysis
2.TheModel Penal CodeScheme
3.TheGermanScheme
D.Burdensof Proof andDueProcess
THEPURPOSESANDLIMITSOFPUNISHMENT
A.AnIntroductoryProblem
NotesandQuestions
B.Utilitarianism andRetributivism
JohnBraithwaite& PhilipPettit,Not Just Deserts: ARepublican Theoryof Criminal Justice
C.UtilitarianPunishment
1.TheUtilityPrincipleasaLimit onPunishment
JeremyBentham,TheTheoryof Legislation
2.Deterrence
JeremyBentham,TheTheoryof Legislation
JamesQ.Wilson,ThinkingAbout Crime
AnthonyN.Doob& Cheryl MarieWebster,SentenceSeverity and Crime: AcceptingtheNull Hypothesis
LouisSeidman,Soldiers,Martyrs,andCriminal Law: Utilitarianism andtheProblem of CrimeControl
RandolphRoth,AmericanHomicide
NotesandQuestions
3.Rehabilitation
DavidRothman,TheDiscoveryof theAsylum
EdwardL.Rubin,TheInevitabilityof Rehabilitation
FrancisA.Allen,Criminal Justice,Legal Values,andthe RehabilitativeIdeal
Elliot Currie,ConfrontingCrime: AnAmericanChallenge
Michael Tonry,MalignNeglect: Race,Crime,andPunishment in America
NotesandQuestions
4.Incapacitation
JamesQ.Wilson,ThinkingAbout Crime
AlfredBlumstein& JacquelineCohen,Characterizing Criminal Careers
FranklinE.Zimring& GordonHawkins,Incapacitation: Penal Confinement andtheRestraint of Crime
MarkusDirkDubber,Recidivist StatutesasaRational Punishment
NotesandQuestions
D.Retribution
1.RetributionasaLimit onPunishment
H.J.McCloskey,ANon-UtilitarianApproachtoPunishment
JohnRawls,TwoConceptsof Rules
GuyoraBinder & NicholasJ.Smith,Framed: Utilitarianism and Punishment of theInnocent
Herbert Packer,TheLimitsof theCriminal Sanction
AlanH.Goldman,TheParadoxof Punishment
DavidDolinko,ThreeMistakesof Retributivism
Michael L.Corrado,TheAbolitionof Punishment
Kansas v. Hendricks
NotesandQuestions
2.RetributionasanAffirmativeJustificationfor Punishment
a.TheAppeal toIntuition
Michael Moore,LawandPsychiatry
NotesandQuestions
b.TheArgument from Social Contract
Herbert Morris,OnGuilt andInnocence
JeffrieMurphy,Marxism andRetribution
NotesandQuestions
c.TheExpressiveArgument
Joel Feinberg,DoingandDeserving
JeanHampton,Punishment asDefeat
NotesandQuestions
E.BeyondUtilityandDesert: EducativeTheoriesof Punishment
Herbert Morris,APaternalisticTheoryof Punishment
R.A.Duff,TrialsandPunishments
JohnBraithwaite,Crime,Shame,andReintegration
NotesandQuestions
F.Proportionality
Graham v. Florida
NotesandQuestions
Kennedy v. Louisiana
NotesandQuestions
Ewing v. California
NotesandQuestions
Miller v. Alabama
NotesandQuestions
G.ModernGuidelinesSentencing
KevinReitz,Sentencing: Guidelines
1.DueProcess,theJury,andSentencingDesigns
Apprendi v. New Jersey
NotesandQuestions
2.The Blakely-Booker RevolutioninSentencing NotesandQuestions
THECRIMINALACT
A.TheNeedfor anActusReus
Proctor v. State
NotesandQuestions
B.Omissions
Jones v. United States
NotesandQuestions
C.Possession
United States v. Maldonado
NotesandQuestions
State v. Barger
NotesandQuestions
D.TheRequirement of Harm
Lawrence v. Texas
NotesandQuestions
E.TheRequirement of Voluntariness
People v. Newton
NotesandQuestions
Martin v. State
NotesandQuestions
People v. Grant
NotesandQuestions
F.TheProhibitionof “Status”Crimes
Robinson v. California
NotesandQuestions
Johnson v. State
NotesandQuestions
G.Legality
Keeler v. Superior Court
NotesandQuestions
United States v. Hudson and Goodwin
NotesandQuestions
Rogers v. Tennessee
NotesandQuestions
H.Specificity
Chicago v. Morales
NotesandQuestions
3
THEGUILTYMIND
A.TheRequirement of aGuiltyMind
People v. Dillard
NotesandQuestions
United States v. Wulff
NotesandQuestions
Lambert v. California
NotesandQuestions
B.Categoriesof Culpability
Regina v. Faulkner
NotesandQuestions
Model Penal Code§§1.13and2.02
NotesandQuestions
C.MistakeandMensReaDefault Rules
Regina v. Prince
NotesandQuestions
People v. Ryan
NotesandQuestions
Elonis v. United States
NotesandQuestions
D.“Mistakeof Law”
1.IntroductiontoMistakeof Law
2.Mistakeof LawandMensRea
People v. Bray
NotesandQuestions
United States v. Baker
NotesandQuestions
Cheek v. United States
NotesandQuestions
3.Mistakeof LawasanExcuse
Commonwealth v. Twitchell
NotesandQuestions
E.Capacityfor MensRea
Hendershott v. People
NotesandQuestions
State v. Cameron
NotesandQuestions
Montana v. Egelhoff
NotesandQuestions
4 CAUSATION
A.“But-For”Causation
Regina v. Martin Dyos
NotesandQuestions
R. v. Benge
NotesandQuestions
B.Violent Acts
Hubbard v. Commonwealth
NotesandQuestions
C.ProximateCause: ForeseeabilityandRelatedLimitations
Commonwealth v. Rhoades
NotesandQuestions
D.InterveningCauses
Commonwealth v. Root
NotesandQuestions
United States v. Hamilton
NotesandQuestions
Stephenson v. State
NotesandQuestions
People v. Kevorkian
NotesandQuestions
E.CausationbyOmission: Duties
Commonwealth v. Levesque
NotesandQuestions
III HOMICIDEOFFENSES
Kan.Stat.Ann.§§21-5402through21-5406
Ala.Code§§13A-6-2through13A-6-4
Cal.Penal Code§§187through189,191.5through192
Pa.Cons.Stat.Ann.,Tit.18,§§2502through2504
IllinoisCompiledStatutesAnn.720ILCS5/9-1through720 ILCS 5/9-2.1
MinnesotaStatutesAnn.609.185
Model Penal Code§§210.2through210.4
NewYorkPenal Code§§125.10,125.12,125.15,125.20,125.25, 125.27
5 INTENTIONALHOMICIDE
A.Intentional Murder (SecondDegree)
Francis v. Franklin
NotesandQuestions
B.PremeditatedMurder (First Degree)
United States v. Watson
NotesandQuestions
C.VoluntaryManslaughter
1.TheTheoryof Mitigation
People v. Walker
NotesandQuestions
2.“CoolingTime”
Ex Parte Fraley
NotesandQuestions
3.Adulteryas“AdequateProvocation”
Rowland v. State
NotesandQuestions
4.ProvocationUnder Reform Rules
People v. Berry
NotesandQuestions
5.Cultural NormsandtheReasonablePerson
People v. Wu
NotesandQuestions
UNINTENTIONALHOMICIDE
A.InvoluntaryManslaughter
1.Negligent andRecklessHomicide
Commonwealth v. Welansky
NotesandQuestions
2.InvoluntaryManslaughter inContemporarySettings
State v. Williams
NotesandQuestions
B.RecklessMurder
Mayes v. The People
NotesandQuestions
C.HomicideintheCourseof Another Crime
1.FelonyMurder: AnIntroduction
State v. Martin
NotesandQuestions
2.Causal Limitations
People v. Washington
NotesandQuestions
People v. Hickman
NotesandQuestions
People v. Gladman
NotesandQuestions
People v. Cavitt
NotesandQuestions
3.DangerousFelonyLimitations
4.TheIndependent FeloniousPurposeLimitation
State v. Shock
NotesandQuestions
5.TwoVariantsof FelonyMurder
a.Misdemeanor Manslaughter
b.Death-AggravatedFelonies
7
CAPITALMURDERANDTHEDEATHPENALTY
A.AHistorical andConstitutional Summary
B.TheNewCapital Statutes
1.TheStructureof “GuidedDiscretion”: AnExemplaryCase
Olsen v. State
NotesandQuestions
2.MitigatingCircumstances
3.WeighingtheCircumstances
C.Categorical LimitsontheDeathPenalty
1.TheMensReaLimit: ARepriseonFelonyMurder
Tison v. Arizona
NotesandQuestions
2.Victim/RaceDiscriminationandtheEighthAmendment
McCleskey v. Kemp
NotesandQuestions
IV
JUSTIFICATIONANDEXCUSE
A.DistinguishingJustificationandExcuse
B.Justification,Excuse,andthePurposesof Punishment
C.CombiningJustificationandExcuse
DEFENSIVEFORCE,NECESSITY,ANDDURESS
A.DefensiveForce
1.ElementsandRationales
People v. La Voie
NotesandQuestions
People v. Gleghorn
NotesandQuestions
2.TheReasonableSelf-Defender: TheCaseof the BatteredSpouse
State v. Leidholm
NotesandQuestions
3.RepriseontheReasonableSelf-Defender
People v. Goetz
NotesandQuestions
4.DefensiveForceandLawEnforcement
Tennessee v. Garner
NotesandQuestions
People v. Ceballos
NotesandQuestions
B.Choiceof Evils—Necessity
1.TheMoral Issue
The Queen v. Dudley & Stephens
NotesandQuestions
2.Escapefrom IntolerablePrisonConditions
People v. Unger
NotesandQuestions
3.“Political”Necessity
State v. Warshow
NotesandQuestions
C.Duress
State v. Crawford
NotesandQuestions
State v. Hunter
NotesandQuestions
MENTALILLNESSASADEFENSE
A.Introduction
B.The M’Naghten RuleandCognition
People v. Serravo
NotesandQuestions
C.CognitionandVolition: TheRoadfrom M’Naghten andBack
Smith v. State
NotesandQuestions
D.Reprise: ReassessingtheInsanityDefense
E.“Quasi-Insanity”Defenses
1.Alcohol andOther Drugs
2.Post-TraumaticStressDisorder
3.Postpartum Psychosis
4.“MultiplePersonality”Disorder
5.TheAntisocial Personality
10 ATTEMPT
A.ThePunishment for Attempt
1.WhyPunishAttempt?
2.TheEmergenceof Attempt Liability
GeorgeFletcher,RethinkingCriminal Law
3.TheGradingof Attempt
Model Penal Code§5.05
B.TheMensReafor Attempt
State v. Lyerla
NotesandQuestions
People v. Bland
NotesandQuestions
C.TheActusReusof Attempt
1.Preparationvs.Attempt
People v. Murray
NotesandQuestions
McQuirter v. State
NotesandQuestions
People v. Rizzo
NotesandQuestions
2.Abandonment
People v. Staples
NotesandQuestions
3.Solicitation
People v. Lubow
NotesandQuestions
D.Impossibility
Booth v. State
NotesandQuestions
People v. Dlugash
NotesandQuestions
People v. Thousand
NotesandQuestions
11
COMPLICITY
A.TheAccessorial Act
State v. Ochoa
NotesandQuestions
State v. Tally
NotesandQuestions
State v. Formella
NotesandQuestions
B.MensReaof Complicity
1.Intent toAidor Encourage
People v. Beeman
NotesandQuestions
2.TheMental Element of theOffense
Wilson v. People
NotesandQuestions
3.CombinedStandardsandUnintendedHarm
State v. Etzweiler
NotesandQuestions
4.Culpabilityfor SecondaryCrimes
Rosemond v. United States
NotesandQuestions
People v. Kessler
NotesandQuestions
C.Relationsof Parties
1.ThePerpetrator IsExcused
2.ThePerpetrator IsJustified
3.ThePerpetrator LacksMensRea
4.Discrepant MensRea
5.Oneof thePartiesLacksaRequiredStatusfor theCrime
D.Criminal Liabilityof Corporations
1.Respondeat Superior andthePremisesof CorporateLiability
State v. Christy Pontiac-GMC, Inc
NotesandQuestions
United States v. Hilton Hotels Corp.
NotesandQuestions
2.TheMPCandthe“CorporateMind”
NotesandQuestions
12
CONSPIRACY
A.TheNatureof Conspiracy
State v. Verive
NotesandQuestions
B.TheAgreement
1.Proof of Formation
Griffin v. State
NotesandQuestions
2.Terminationof theAgreement
United States v. Recio
NotesandQuestions
C.TheMensReaof Conspiracy
People v. Lauria
NotesandQuestions
D.Special MensReaProblemsof Conspiracy
E.TheIncidentsof Conspiracy
United States v. Diaz
NotesandQuestions
F.ThePartiestoandObjectsof Conspiracy
1.Bilateral andUnilateral Conspiracies
2.TheScopeof theConspiracy
a.Singlevs.MultipleConspiracies
b.Chains,Wheels,Etc.
United States v. Caldwell
NotesandQuestions
G.TheRICOStatuteandtheFrontier of Conspiracy
1.TheStatute
2.Elementsof Racketeering
3.RICOConspiracies
United States v. Neapolitan
NotesandQuestions
ADDITIONALOFFENSES
13 RAPE
A.Introduction
1.DefiningRape
2.SomeFactsAbout RapeintheUnitedStates
3.TheEvolutionof RapeRules
B.TheRequirement of “Utmost Resistance”
Brown v. State
NotesandQuestions
C.“Reasonable”or “Earnest”Resistance
People v. Dorsey
NotesandQuestions
D.Force
People v. Barnes
NotesandQuestions
E.Nonconsent
State v. Smith
NotesandQuestions
F.Lackof AffirmativeExpressionof Consent
In the Interest of M.T.S.
NotesandQuestions
G.IncapacitytoConsent
State v. Moorman
NotesandQuestions
H.RapebyExtortion
Commonwealth v. Mlinarich
NotesandQuestions
I.RapebyFraud
Boro v. People
NotesandQuestions
J.MensRea
Commonwealth v. Fischer
NotesandQuestions
K.EvidentiaryReforms
14 THEFTOFFENSES
A.Theft
1.TheMeaningof Theft
Commonwealth v. Mitchneck
NotesandQuestions
2.TheDevelopment of Theft Offenses
The Case of the Carrier Who Broke Bulk Anon v. the Sheriff of London
Rex v. Chisser
The King v. Pear
NotesandQuestions
B.Fraud
1.FalsePretenses
People v. Sattlekau
NotesandQuestions
2.SchemetoDefraudinFederal Law
Durland v. United States
NotesandQuestions
3.BankFraud
United States v. Phillips
NotesandQuestions
C.Extortion
People v. Dioguardi
NotesandQuestions
McCormick v. United States
NotesandQuestions
D.Robbery
Lear v. State
NotesandQuestions
E.Burglary
State v. Colvin
NotesandQuestions
15
PERJURY,FALSESTATEMENTS,ANDOBSTRUCTION OF JUSTICE
A.Perjury
Bronston v. United States
NotesandQuestions
Stuart Green,Lying,Misleading,andFalselyDenying: How Moral
ConceptsInform theLawof Perjury,Fraud,andFalse Statements
NotesandQuestions
B.FalseStatements
United States v. Moore
NotesandQuestions
Brogan v. United States
NotesandQuestions
C.Obstructionof Justice
1.TheOmnibusProvision—§1503
United States v. Aguilar
NotesandQuestions
United States v. Cueto
NotesandQuestions
2.Section1512andthe Arthur Andersen Case
Arthur Andersen LLP v. United States
NotesandQuestions
AppendixA ANOTEONTHEMODELPENALCODE
McClainandDanKahan,Criminal LawReform: Historical Development intheUnitedStates
AppendixB
THEMODELPENALCODE
Table of Cases
Table of Model Penal Code Sections
Index
PREFACE
As is the tradition for this book, as it moves into its fourth decade, Criminal Law: Cases and Materials aims tointroducestudents tothebasic purposes, concepts, doctrines, and analytic techniques of the substantive criminal law.Our foundational premiseisthat thesubstantivecriminal law is a statutory as well as a “common law” subject. While the substantive criminal law, like other basic lawcourses, introduces students to the art of common law reasoning, this book not only teaches lawyers-to-be to construe and apply express legislative rules of liability but also to understand the fundamental concepts that are just as often presupposed in criminal codes. We expose students to alternative statutory formulations of offenses and defenses and enable students to become familiar with the influential Model Penal Code. This book emphasizes the crucial skills of element analysis, and illuminates the considerations of social policy and moral principle that inform the interpretation, application, and evaluation of criminal statutes.
Of course, this book participates in the classic pedagogic tradition of relyingonappellatedecisionsinactual casestoexplicatethedoctrinesand policy dilemmas of the criminal law. The book’s introduction explains just how these cases arise, what kinds of substantive criminal law issues come up on appeal, what sources of law appellate courts bring to bear on these issues, and what methods of reasoning and argument the courts use to resolve them. We continue to include some of the most venerable of the illustrative cases, but we also add very recent cases that capture newer developmentsinthisconstantlychangingfieldof law.
Since its inception, however, this book has always been more than a collection of cases. It continues to interweave judicial opinions with statutory material, sociological accounts of crime, historical accounts of the development of the criminal law, and philosophical arguments about criminal justice. Thus, we continue our commitment to place the substantive criminal law in a realistic social setting in which inequality— whether basedonrace,gender,or poverty—playsanundeniablerole.
But our commitment is also to pedagogical clarity, so we include throughout the book introductory and transitional material that provides straightforward explanations of the alternative rules applied in each doctrinal area. The notes that follow principal cases are organized and labeled by legal issue so that students’ thinking can be focused on the most pressing questions raised by the cases. And at key points in the text, we interweave problems and exercises to help students master the analytic skillsemphasizedthroughout thebook.
Chapter 1, on the purposes and limits of punishment, continues to focus on the policy controversy over historically high incarceration rates, along with the causes and implications of fluctuating crime rates. It includesacomprehensivetreatment of EighthAmendment proportionality, nowenrichedbythe important newSupreme Court cases onthe legalityof life-without-possibility-of-parole sentences for juveniles. As in the previous edition, we place our discussion of proportionality limits on death sentences in this chapter (with references back to it when we turn directly to capital murder in Chapter 7) so as to provide a unified picture of thethemesof proportionality.
Chapter 2, “The Criminal Act,” continues its coverage of voluntary acts, possession, harm, omissions, status crimes, prospectivity, legality, and specificity. In addition to our very contemporary treatment of possessiondoctrine appliedtocomputer files,we enhance the relevance of this material with an important newcase on void-for-vagueness attacks on statutes governing the homeless, as well as a deeper historical account of overbreadth.
Chapter 3, “The Guilty Mind,” continues to explore the question of whether and when criminal liability depends on culpability. It distinguishes different culpable mental states and trains students to construct the mental elements of statutory offenses. Finally, it examines the special problems of mistake of lawandcapacityfor mens rea.Wehave added the striking new case of State v. Adkins on Florida's controversial strict liability drug laws, as well as the important new Supreme Court Elonis caseondefault mensrea.
Chapter 4, on causation, continues to pose the problem of why and how we assign causal responsibility for harmful results. It also analyzes the doctrinal structure of causation by exploring the nuances of causationin-fact,proximatecausation,direct causation,andcausationbyomission.
Chapter 5, “Intentional Homicide,” continues to illustrate the concepts of intent and premeditation. It explores the moral dilemmas posed by the problem of whether and how emotional distress can mitigate murder liability in a society riven by controversies over cultural diversity andgender inequality.Inparticular,weaddnewcommentaryexploringthe so-called“gaypanicdefense”and“transpanicdefense.”
Chapter 6, “Unintentional Homicide,” distinguishes involuntary manslaughter, extreme indifference murder, and felony murder. The section on felony murder is informed by research on the historical and normative underpinnings of felony murder liability, reported in Guyora Binder’s new book Felony Murder (2012). In addition, we now break out theiconicPeoplev.Washingtoncaseasafull principal case,soastobetter framethevariouskiller-victim permutationsthat complicatethisarea.
The newly streamlined Chapter 7, on capital murder, now narrows its focus to the operation of capital murder statutes as sentencing schemes requiring a structured assessment of aggravating and mitigating factors. While the last few years have not produced striking new changes, we include an eloquent dissent by Justice Breyer that offers a searing critical reassessment of thestateof Americandeathpenaltylawandpractice.
Chapter 8, on necessary force, lesser evils, and duress, adds a new note on so-called “Stand Your Ground” laws, as well as a the dramatic Erdemovic caseinvolvingduressandmilitaryorders.
Chapter 9, on insanity, continues its enhanced focus on the newer cognitive tests.It adds newmaterial onthe state of the lawinregardtothe various relationships between insanity and intoxication, and on multiple personalitydisorder.
Chapter 10, “Attempt,” adds new commentary on the the doctrine of reckless endangerment, as well the California case of People v. Bland, which comprehensively but efficiently captures the forms of “transferred intent”for inchoatecrimes.
Chapter 11, “Complicity,” continues its approach of separately examining the actus reus and mens rea of complicity. It adds as a new principal case the Supreme Court’s recent decision in Rosemond v. United States on accomplice liability for secondary crimes. This chapter includes abrief treatment of thecriminal liabilityof corporations.
Chapter 12, “Conspiracy,” adds to the original closing section on the federal racketeering enterprise (RICO) law an up-to-date treatment of the
very aggressive “street gang enhancement” laws that are modeled on RICOprinciples.
Chapter 13, “Rape,” continues to take account of law reform efforts and scholarly research in this rapidly changing field of law; it also continues to offer a comparison and precise element analysis of the broad range of alternative definitions of sexual assault offenses. It now includes the recent history of efforts by the American Law Institute to revise the verydatedModel Penal Coderuleonrapeandmovetowardanaffirmative consent standard
Chapter 14, “Theft Offenses,” continues to include lively case law on theft-based white collar crimes, including mail fraud and bribery. Its treatment of white collar crime and fraud now includes a provocative set of opinions by Judges Posner and Easterbrook in a bank fraud case that occursinthewakeof themortgagecrisisof 2008.
Chapter 15, “Perjury, False Statements, and Obstruction of Justice,” continues to focus on federal criminal law. In recent decades, federal prosecutors have increasingly and controversially used their investigatory powers to incriminate suspects in these collateral crimes. This practice poses some of the same fundamental questions about law enforcement discretion raised by the vagrancy, possession, attempt, and conspiracy offenses explored in earlier chapters. We have added several new perjury and obstruction cases, including the very controversial prosecution of baseball star BarryBonds.
The point at which government takes a person’s life or liberty and justifies it by denouncing that person’s actions, purposes, and character is the law’s most powerful manifestation. The criminal law therefore poses the most important challenge to our responsibility as citizens to understand, to evaluate, and to improve the law that is enforced in our name.Wehopethisnewbookhelpsour studentsmeet that challenge.
Guyora Binder Robert Weisberg
September 2016
