Materials on Comparative Criminal Law as Based Upon the Penal Codes of Ethiopia and Switzerland

"!_,�. , ....

� �·.. '......, '9<, ..,.l..,.."'1,·�,...;::t, Jit ,i;.J, ,,v:.,-; �'�"119'!*':t --�·'!'. ......-.. r:i:"tl> .... w.,, ,,.,..., ..., _,.N ...,/, ..... �- "I '"' "t.ii...,�., -. ,., ,__ _ e....,... _ . r·:' ;:.'.. : "' :. ;1j .... ..l ; l.;i ·� r.-:J: ?..!.� r;-..? A:t::">r.· �\ "r ...., ; •'i · .: � ·..:: .t,_ .. ; . : ti:-"":� ...� '."...... ·.v� .. ..:/.. .r\( •. •r....; ... ... ..11- - ·; _, .. ,., .., � ... ' -. . ,...,.... . 1 ..... ,,"', r, ::i --�� ... ... ,.._ • .,.... ;;,:....: ,.�. 1,..e ' .,. :�:.,t· ,. ...........:-��� : .•:.z�--:.;,c.- .•=... : , t -• , : ... ;. .. "i .... : .. .. � :..; .;. . l t. 4 ; .. ..,. , ._ ; � ,:-t:<J... ( 1. ,. 1 -.... 1 -� 1 -v ' ,. · · 'f,t ... ; ....,. . .. . ·� · � . • , • • * · , . •.. ',.,...�, •,. �--· __ ...• ••-· __• ___ .• •.. .. "......�....,.. ...-.•• l'l '"'-4• .•. .1 �' ...;,_,..__'"',,,,"'"� "'·f •,iJ.... .� ,,....... ••'t'H,j,.' r-r - ., -, -...,-""'"-" ....a . 4,..1, ,..� · . •· .. .. , .. � " • .. .. :t· ·.,� t t _ .. "' , f'f .. �J .. ... (�' ) • ... ;. . v.:,_,. ... r t> "' •• l,;;:•.,.. '---• _ '-n:l .• l'l • •11 ... . .. , "'"""• '" •t • r / . I ':....,. ,. .. . ... ..... ' ') .. ...,, •• ' C .J''. ' ,\, �� ........ , , I J r:, � _,. , � 1 "•r..,.,. ... .. 1 ;;' . ..., ; �� 'tf ,t,,, . �9, -. � � -, .; , •-"" f, . .. "" • ..,... . :• • .. · , • -�I -,"".,.l. • -. "' °'• _,. ... _•,..W.,.,.,,,_ ·lf •�.. ...,� . ,. J1..,•"$1 ..... '� .. '� ............. ·.... . ._,.,. ... trr,..;. _,..'-· -I •\I• 1 j....... .-:, _ , -1 ,,. . .. ....i-� • •t::... , J.. ...,.r l',.••. •_-· .. •,•V ,•_ •• ....,.,.. . '" .. • .... · . . • '1 ,.. -1.. " . " .J ... ... . t •-•7•"' "" .. ..,.. ..,.-'---· � 1�-·1 � . ...,. .., ..,J •t · l'\':5,;;. • .-. J ,,. ... · 1 · •r.n _� .. •.....-. . ·--•..,.. 't ...... .. · .. .. "'l!l . . Y'J <i •• 1-o• .. � l,, ,_,_.....,, ,_ � .,,-. ,f "'f... , _ ... .i .. f <, • � . '• , y ... _ 1:,.: -,,.,,;1 :u c.,._ . _ Y .., .. .... : .. . ,,t . "' . • . ... . 4 . i .. .. : • • •, "' 1 ..,,.&,, .,_ c, .,.�!f•o.; ... . �, . . . . .. . - ," -,� .. .• ......'�, ;:(f.s):-·-o·:. ., ,,_; ..,,,_.,_.: _ _� ·., .. ·- V· '..•v -� ;::1 • ---, • �,..,.,_,,..,_ ,.Ho -·-- G, ,. , ... �-.:).·-.: · ... ... ,...�·• ,• • ' "l.:t ••:-·-i • ,.,, .._ i· "-�.:.; �.,.:i-....,.,>,J,tc.,:.i.•..,c•..�..�..,_�� �.J.t ....,c;..._.,;,..._¼ .., tr°!' ,w...-. •�,.•. . . . . . .. �,....,;.4,#<o..."1-� .,.• •4r J-::r Jt,.'1, )�-:: · •.. � ....., "' .. ·1 1 � --. t•....J..., ' .. -' ' .... . --..,. .. •� ,.;,.. " , !f ""W < '(. ,•rt "' •• W ""' -... ....... . ....... , ..r� ,,_ .,. IJ I '°' ..i..-. � 4;t i .. ,/ A 4 � .... ..., .. ,.... . . _ • -4. • .. " ! " " . • ' � • • • I"-.... .,,,,,., \-\""fJ...._, ' '2� � .• ...t -.-.:: f .. , � � ...-� .... .... ......,, .. · .... • , l \""' \ _.,,� " .. . f .,._,.,,.,..," .. , •• :...-. -. : : • ... w ,.., .,. .,,. , • •-:. ' � 1. • &•t 1., � "--"' a 11 �,. n �i�.. .., � .11 7 ""· .1 � .. � · • � -A"' ":J 'c. _ �•...-e· 1i,.-:,, ·t, �, � · · · . · . .. , • � - ... .. ...,._ ,1. ·.•.'"' i)"'. '"",. · 1 e;_l. 7:":• �' •,. . _ � - , -� - · ...... • .v. ,._..... .:D:!:.i!;,...i .. ....... ·• 1,. ,� ,.. .�, .•.� � ·1·· ..,...,. ,-.,....... · . . ..,, -".l -.-�-.....,-. · 1 · · · · · ::.. < .-.-1 . . _ , � ,·-· · � -,.. � ·� �··· --� � · , ..-.. . �� . , .••. �+••-·· ·· ·..... --. ---=• · � .. .... � · .. · . .c ... _. J :1 . · __ ,. .. " \ c.ie. ,. ... _ _.,._ _.,.._ ,,1, . .. � "' __ ,....._..,�.-.., .,,._.. r .....,.�1. �r .. • -'t\ �--. .,, 7 ... .... • ..,.; .. . . � 1;" . , -. : ,.., �41 .._ .... . ww � , :J ..,..� . � .. , . -, . . • ... ... . ' • � ;v p. .., h.- -,. •._ ""-..-:'.,. ___ "":'_ ,..1""',rt'..� ½ _..:... �._,;i:.. ,.__-:i.._,, . ...,.,� .....• •• :-r•. 4c.---.� !l'i,;. -,-,.,:,i.•'"'f"' ..,, .--_ :-J!: ""'•·.� J':..... .. ._,,... _. .,.,.,_. , • .,,,_.,"°�-.... __ . .. ....._ ,...,. _... V •·��· ... ..,�..., . ....,.., r-,-. , •, l .,....,......,_.,. .f ... -_,,. ..,_ ._� .. "n --� s ��·u.-"j � . .,,,_�._ "'l'Ii � .._,.,,...,.,.. �-i � _ hof •-,, · ,. , ..,. -� ...... • -� ... -_r •..·•t• •• �•\, u � u 1 ..... ,. ... ,� .. ...., ....i, -., • ..�.-,·•-_.....,... _..,V"',•tH� �\!;t"' •..., .. t.. · �...--... . t . • -;.-: : · ... ,.. : .. _., . 4'o -··1t· · <It' ....... � .. . . ... ... .: ..,. .�.,,., ... ""' ..,.... -tt-.>,.,.,, ...... i:' ... . .., � ,...,_ li ....... -... . -., . , . � -'. -·-·'"",.. . . ..... ... .. . , . . ·· .. ! . . . _ 6 J . .,.... · ,°' .,..._.,_ ... .. o,,,• .._ I -111 �-_ ,11- ..�;':,:',,':''C !9":--j _, .. • • --, ..,, ..,S 4 ........ ""� 11t--.. _ ·�.. oi� •· - ....�..,..J.,.__ ..,.._ ,- ":,,;.... _..,,,., • ;t .---.. llt.o.�__ U ..,. ....... -- •4...,_� ""..__.., ...�.., ,j ,,,,., •1'\ _,T . ?°'..._.,,.. ( It" ......'ff A 11n lo.....a., ..,orl.., •�...• ... '-'l,J • & ._ •.....-� ....... -A .. .--, ";.., ,,.,.. -.., •. . .. ....T' "f..!.l .,,,,.. .......-�;::="" , . · ·' · ·""..,...__ .. ..... .. . . . � ... •• . ....··1:t.. __ . . ',1 --11,. _ .... . l··� ... ,--,.. -�:-C::.1l � . .. .. ��c--.� 4 · "''et. ...... t , ), t; � ·· 11-"' � .... .... .-2...:.>." � .. ,,., . ... .c:-· f. · ,. "i "' t. ,;:���.,.. ... ·1 . .. .... . l: 'l .. " · -· · . .. . · . "' J J . • 1q · .-'i.... :. ;;� .. i... Tl_ t -��:,: ;. .•• t=i:.-.� •-\J-1' f)..,11: :::t. ,..-. �E -;.;:, .� �� i:r.-,-,.:..-!;..,., .1. ·�if:-�:, .. --r��� ,?:-4..t... �·�� .:: � 'l·��.c._,....,.. ....·.,�----·· N., .. rz;:t� ..,, .. !f •-•-.- ..., -_.i..:.; 4 •··-;· .__,,_ -. :f,.. __ l-. ;�.!:�:-...'\ �i;._. C".,"' •.,, ��y .,,. � -., �•� .,.._, ..\;::,. .r::u11. .. • •�'!.. ·' � ... ....; .;..,..., v, "'• :-.:. • · -· ._ ...'1'! ..;,,:�; 1 .. -• 1'.:...,� ,.n!'"�' ••t . .� . -. .. -.. • .. , J ., · l 1 -":!,-S"-�J..,,, , __ ----··.i;; "1:·� ' ., .. .. .. _ -· .. "�""4 ..,. - �,....,. ,..i=; -• l,\:11_. �-· � .. .., "� • . ,.. ..-� '-r • ·••. «" ._ .., • • fT l1.. - · • � ,.. .. • n ·,--•""'--Wit _ . . ,. . . c,.. - -1:; .. · • .,..-·...". ...,.. •. _ .,_.•_ _" ·"\,· -,.··,·1-,, -. "l--"�--·-·, . -- • ........ -... --, .. · _ . . . . . " � · • · . , .. · . � ,., , .. . ....... .. ) . ... _ ... lf .... ,J.!!. ....., " � .. ,. ... .. ,--f. t " ... ·� , ---��,_ ..... _ . ,.. _ .. .... • �� . • • • . � • ,T � _ _ ..._ ---•---, �°l :!a& " C ,! r ......... ... .) • . • ,cn ,,._ : • •---,....�� ,,. . , � • o ,.,.. , ,. ., .. . •t ;. ' . · � • ,.,., • .,,... ...x�--��t=!C ,,.,, -••� _.,.., . ...,.. �.. .J�� ..... . �, .... �.,. ...,,, , ...�. "_ ..... ,..., ... .. :"Jl 'i . �� _ ·_____ �.,. -,, :, 'r.:;I .... ...i..:,.."7.-"<r .. :-::;:,,�- - ..-... ......:-.-_" ___ �, .� · ·- -- . ...• :i- �1:--� lt" .� ... ,_.,, .. · . ..' -_'Ito """'-� -:.... -. --· ..� ..... ._ ..._... -•�· .. .�'--<If � , ·� ....,. 1 ...... ... , l · : � • 4 . . . . � · :r ·;r��C':"""°.! :::::._ • :r:-, �7. -s•::--• !•:i..1• -- ?� � • • �TU· t<__;4 ' :, �;'!--:O,: I· .. . l . �;� 7�l�:.;,, ::;;: :)_..:;" .,,.::,' � �,-1� ':.'.:"> : �r., �.:,::.;;:�•· •· · �-..-,. ' •-..:;:, �;� "l ;)�!r� � ;_ . . ! :. , . � ' " : . · ' [ .�,. � , __,... .;n;... .., -� � • ·� l... .... 1 ... i,"t.... : !,i: _ ---l• • • -� , '!-. . ... -i: � --:i at., .... ... .l " , ... .. .. r :-:� " .... -;:t ........._,,...,.,... .. � .. ... . .......,... '.:" .t... � ... � ... � J; ;;.. & J-_ -.t.!': . -�1 •• • = • � ,. .. . • · .. . . · . .. . . .. , . · · r .. l . . . : "' ' , ,· 1 ..,.c.i,,o.., "" ·r� .,._...,.,.., ..,.., ;.[.,..___. � "1;;.;..;�-",: - _... .. ..;i.__ ... .�.u•'" °"' '""' ._..•-•� .. _ _•'f..,..,. ...,:"2'�'" _., "•-_,,_�,..., , , ......, .._..,..,.,..., ,...""'..,.,.� •• ,-•.. � .---. ...� ,-...._.:._•._ --• il'. -.. ... -:-� '�""' 1,,1, J..-v •• •• � • ..,�.s,I.J;J�" · · . ,...,tW�W---'.,\t..-,T" .. � .. .. � _ 11 -. · .. -·•IA -� . __ .,.,,._,. "I. "4'11, i.;"';j � ....,c__.. -• . . ref .. ; .,,......., c; _.,_ t , , ,. , _ 1-� ••• _ . .. �. .11� ... . · · J"- C\T"r""'..,l,.f � -- -- ..._,_ ..,�i-.,""'..,.� ..,. �.... ....�.-, - . u....__.,. -�-----,.............,� "''ffi1"'"., .•....,,,. ·--.-,,. -<itLl\o\r • · ....... ,- ..i.; -=r:· r.• ,. ,._�--,, .. • . ·:� . t-.�......... .i. . ..., __ · .. .... ..-1q-y·, --= .r,.,- - !'-• � , -_. .....4 ---;-� 1;� ..,..".' ..,� <.•«1'1 · .. . . •.1!,, -..�,,, -:i.-:I :·,·� 't" ...... l • • ,';:"';" � ,,.� ....... .r. _t .. � _ ,...,,.... �"' ·1 . r_h� . :".-. _ . -... . 4 . .. .... "" . .. .. . .,. ' ... """" • .. ' "' � · • " l -1. _ �.,_ ..,. . -· � •· , .. -.. ..,��, .l: !� J ,r '"l. � l : & " "' ' "t H_ " n '" -.'"" l .. -r . -..G.., · ,. " ,H......, .. ... <&., � � ' � · ''I' . ,,. ,· l · - "" ••• .. .,... ..... . ... .. .. _t ••£:.. .,_ 1 ••.....· • .v•. • • !, • •t • .. "t\ �• .' "' ' �·. .,. ·_,._ .,. ffi •� •• •. •-4.,,_t ,. .., .. ,. .... " .._� •:-.t_• t ·"l "I' �;::J -..' _, -••• "I #, .. ,. •.,•,\•-·-V• ••o.• �Qo ... f" ' • � -. ..... ... -... • "l· \· • '!1 � �•• -- -- .._...... _ � 4 ..i � • . � -.., .. � .... .... .. ... ... . " . ... ·. .... � .. ," , / .... .. .......... .. .,. � . "' :...,. , ., ....,. , . -.. ... ..._ , _ . ...... .. 4-,,l!- _.. . .. . ......... ...; ... •:,...,., .,..' ............. . �.&. .,.."" -�� � -. ., "!' �. _·�-� · s . ..."...._....., ...... . . ,.....,_ _ ......,....._ ... --· .... ...._, ·-· �, , � �· · · · ' , ..�"', �.'"'1"''.1.. -· . ... • • r; ...... • .... _ ... , ... .. , ..... . u,-. . ., ... •.. ..ca.,.. ,,::,... �r .. •• ._ -..,...., . .,.. ... -�·� -.,....c·-� �. , t-'11> ....,._ •. ·- 1� '-' · · •...,,_... --...-.... ..,�...,, ..'-=. . f -... . .. .. .. • .. ..... • . .. _ " .. · , ... _ ··- ..... . ,.; . A i.. ' . ----'" . . :t .. · . ... � "' ..... -.: ,::,_ -----· .... • _,.,.,.., ..-., --r ..... � ... _ .l.u..il.; .. .. . ._ , , _ ... : • ... , . ..._ ... .. . ... ..... . t ,,..., +>a�� ..,. . . .. -�.l ..,.. :�, ...... _..., -:,_-t L'lr .. .. ! 1. "' ----__ . "' '"' ........ ... ...._ _,.• .._,. _ _ . .. . ... .. -• ... . _ .. .t: .... .. t'I' ... l .... I!\ ---: .... ..!...., _ ·. ..... -: . ,, • · .. . · .-�-.... 11".. . . -• • � .. .... · • .. . 111 __ •-:,.. -. �� U"J C l ' •l' 1 ""' l. l\ftlf "J l .,--. ,-.-,. _..,._ .,.. ,° U j J -"'." " _:-:).,. ..,. :::--;t! f f' :� 'j;, #?. .... , .. r � �.,..., "'-Ii . it = :,..,-, ""J . 11. • ! � !1: • c-:s .. !':z . . .,. ,. ,t"._"";· � .. ! • ' . t .. ' , ! " \,�,•.. ' · . r · : -i ,, , 1 !. , � · r.. T. .t 1L t1: 11i ";1� ; ...:.�:.... ;;a:-/ � · • � �• -; . :� .,.; ! t> � t :r: , r. .:::i.t � "(1.: : '3; .,. � 1 1 2.��.., t !'!:r:.!--, � i =;;�: ' ,-; t-:. :,_;: (" .:.:��_ � � . .. . ! P • 1 .. � : � . . -� . • .. 1 , 1 E .... '2 ...•-""l ' . ... . ,. L.. .., ,. \.[.L.i .. 4 ... .. .. ... ... .. . ._.__ .. .... . _. -.• - -..,_,.... · - .. !lit _ - � ".., 1 1.-.• '1..- ,• .. · .-..-p•tJ •.,,ci., •-Y••.. ,._,,.-·___ •e.. . • '4 ..,,... •., ..,.""4'11 ..,.l'"""'-.,• �·£, •�- ., ..._...,. ... - � "-? .... • , . • .. " • , · ,. • . . . • • .. -. .. · . -· · . "' • · · .. ! " ' .. . � .. . .. . . "'< .. ... . . , • ...,. .. ., � " ... • �--,; . .. ' S . � ...... -·1•r 1� '; ' "'"!,i J � .. � ;:; -� , � "" ·"'- -""1� � .,, ..,,.1· K � . , . . � i :_li o...,.;,..J ., _ __ . . , � .. , ....-.. . . . .. t . _ .. , .. . .. _ __ . J ,. ' --.. . .. .. , ,. & •"' � _ ... . ............ -,-:1:�· ...... , , .. .,� , • l ., .. __ .. 1 '"" • ... , .. ... � ,,.. t 1: 1 4 .. l .... J ., . .. � -1J � ! [ � ,.. J .. • ... . .. .. _ . .. · · , ' .. . . . -. , . . + .. '" . . . . ,� • ---::; -..,.� "' ,.,. n>ioA ... :-::::-"' .•Ill,. ,...,,...,., � . .. .... �.,J "'f� ••• .., 4-.....,.__ ..... , •.t--t-,. •..t •'"-....' •, •••..i.•.J.,.J . , _C --, - -� .. "",. ,. :J., .,., .....J,_._. ,_J'"..1-�.� ..... -.i: . ,... •_.-• • 1•.1,,. ....... .._..,..._ ...""'I._ ,·· •-i· --- - � -• "..- ....,_. ...,.IL.''"°'• c-� -,•• ......_.,_ , _........,_, """'.,_,i,.... •*• �.,.-....,. .�.,{ -..•.._ -. •. _..-...., ......,....4c..,...- .,_ ,�,.,,.._" .·�;� • •"' •..... -......,_ .._ .,. ... _,.."'t_ •,...,. .- •-·"'.,.. .._,\-o_ .:6•::!...,.:!.- ••:,,.. J ....,: ,. � <4 .-.., ..w..;..� • "l.•""7 ;• .,,,• �• 1;J.!.., � • ..., . . ... ..,. ,4-.. ,.,,__. ,.«"-'P .., • '-• "'i � .. .,. =• _ • .. •"... . ... .i, · �· "'"'· .. . ,, 1 .. . . ... ............ .. - �'\·1 --. .. ..,-.... ,., � ....-- . " �· - ....,.. -• t "' -.i� \l..• " ., ..·-- � -• • ,. .. .. .... .. ... ..... ""'" " 'r.-, � ....... .....,_ ... ..., _...... ... ..• . _ , .. .. .. .... .,,-• .,- · -- ·. ·•r l t -.. · ·-f,.; 1• ..,-.1 �, .. r, --.J .,. ..___ • •',• .� 't> �• - ,..,., , • • . ' , .. ...,. _ ... .._ ,. .... ,. . .,. • . . -• • . ...... , .. . • • . . . . .. . � ,.,.-.-1-._,,,,;.�l.. , . , _ _. • , . , . " • _ """ ., ., . ,.• 'l" .... � ,-__ '.·•·•• f=•J;'l � ,.". l:)"'"''"....,.,, z . •; •_,..,...tJ ..... -- ,, ..,.._ ... •t..x.:r·"\ '---...�-�c!.. , I - ...., ,.-.. ....,. 1 ,•.,...,_ "'c. ,..., ""'"""""' ..... _..,,_.._..,. ""'....."'·.·1·•· · ...... ..t ..'• ..x.r.:l' l"'_ t·':J! ,..�_._ � ,.c ..,•. ..,':t t- ··· ·''-1 ----� ,'" 2"•........, ...;::J 1::.�, ....._..f..."' � :c::: '"" .. �.. ... • � •_,_._ • ....?,...._ Oil ..,'..,...,.,.,_. _ �• _ ,,, "",. •.,-. ....i _.. .,. --•· . •,.'1·l1'i .l�• ...�\ :•� •l1 •I :,.... "':,;,.· · ,1!. 1 , ,.. . .._,;;-.. .. ,. . ...,. '"' , r, 1 ' � ... "' ......·..,. l·•· �· . c1 ·· .. • . � . . . ... � , . . · ., •r·, ,1 "-:1·-... -. • . .._ .. . .. • .. · -;otf..,. .. ... .. • • · .. . ... . .. . , • .. _, • . . .. ,,., .. . ,. . . .. . . , r . i ... ... . .. , � � ' r. :\' ... ., ...... ...., ,. _ ,.. .. � .-: "" .. ... .. .,., .... 1 � M1: � ......,. · i� . .. . J i.. · 111 , .. � ....;..� ... ,,..2."' -,. • -... , -: � � :'l ro. e "" .. • . 1 i.: . ..,.t� .. .. ... , J ,. __ .,...._,.,.J.,. r:1·-c;::r .,,.,,,,_ : -"".,_ .. . .. ,.1o ... .. . ___..>,b ........ . . .., ,.., _ . , ... ._ ,, . � J -.y ,, . _;r. r �.. .._ ,J,yo.,., i.,. _ ... . . ......... .. ' . . ,_,.i . ... ....... . ... . . .. · ,. ...•, ,•·....." • ,..... ... .. .. _ , t •. .. :: . , ., .., • "t! -i .. " '""' � n. .,. ,i•J# . . -\' 1 .. • . M • � T �� ,. ,, , ti r .......... P. • · ·· • --ttl , , .--. , l"' ,ri , <11; j\, o � *'! , •�•:'. "'-.\, . ) ; ,.,. ,.,. . � ... ,._� .. -· • · • · . , , , ...... , � � "t, • •.. •I' •': "!"-• _....,r1 ,..�. ... . ..,. .. _... .-... 1 . .-, . . . . . . ... , __ .. S-' ,. . _., "" . . . . .. . --• •· "-. l,_..· "'-' -1"'"'•-_..,P.,..,'- ., . ...,Aollt .. ,...._ ,.. ,., .....,.""�•-, ...� • 1.. ,.""-"i. .,..,� ... '!' . ....� .. ·:-� "...Ir- ..... ... ,,.1. ...__. ,,•....A- •...., i"'�·r•� .:'1.,,f!' .. "' � .._,... .,._ .., ·•..,,g ....ffi .. ..•� -,-•. �.__ ,._.,."' .. to,J.-;........ • ,,,• f .,� ,. ....-"', •..... ,, " 7•t.."' _, •.,_,. " .� 01,...• .. -•... r:. � ;--. ,... . . . -, "." •. ,,....... ...... • -,- .. ...,,. .·'_ • �\rl"' .., -:--.#J' -"I 1 .,��· .L ,,,. ,.... � .. • � ij..,.,.. , , • II' , , • . . · . .. r • . . ..... .. . .. • -• , , · · .__ •'.f., . ; • _ , '' , , .. ,. .. 1 ,.-;,i...,t .,',, '.....t: " � � � ... ... "" .. ,14 ;,1 .. .. -, :,t_ f . . . t'I ._,..__� r; .... 11 "1 .. . .i , ""' ,. .l: ,1 ,.. -.i.-.. ..c'l'"l' -..: * : , • I 1 ......,,.._ --... f � n � � ... illi,•-, .,/ � ---..1 , . ,.. ... ..., i � ... -.; ., , . -.l _ _ -.i' '! -�· ... i , .... ... ., -,.,.-... .... .. ... I_,....,.. .. � . . .....,_ . .-r: � ,,__,, \IW. ....__ .... .. ,._. iJ -..h � .,. .. . v ,. ., • ,.,.., _ ,., . "' __ ,., . .. _ . . .. ,,,. f .. . .. . . • '1 , _• ...,,_" • • .,- • r....,,...._••••� ..,.... --. ,. ""4_.. .,.,. .. _ ,.""'h'-1-, • t ,... ..... ."-, .1 ..... ... .......... ""•• _ ,.. ,....,...· .,., f ')..;.. ""�"' "'. t• 1t.,. -. .,•t.--... -. .-� _. .., '"...;r" (-t ...... .. -._ ,...,.. "" . .........,_.._ . .,. .. . ........... ...,_,._ •..· •,, ..-_.... .- -"'., . _,.,._ 11• .... ............, ,il l.,.,-, -�·" .-J ..,..,., ••·-•,.--...-• .,.,. ,.....,..• �, .. .. ..... ,. r c:.., -,.....; -., • ..• ." -·• >1... .... • ,..... .�·1--w - •:.,� .y �J,•,,..�,t"'.""!'· ,.. ,..._ r.._.""' ..\",_'. ....,...;.-. , ,.•· .. ......... • ... -. .,.., -1 -• •y ....... .,. __ .. . .-t • •• ......, • .... . ,. . • ....., l, ., ·,::i-. . .. . . ,. ! • r , ' . ,,. , ' . •4•.._� ., •· �'·,• .. ... .,. ;. ' ...,. 11; •._ ., ,.-., .. �.; ... 11 > •,:--( ,.-.. .. , ,. :. J .. ,.;. 'l > 1 ., , __ ._.,,. ,....:......; ,. l� � .. 'l -•·•• • .. . ·., · . .., .... , , -,.._ .' .. . . ... .. • •- . , :',t , - . . ...... ,· .:J. . · r.. . . . .... .... � .;:: . !,-""' • , · -::ot:..··�- . 1 .. :1 1. m....J� ... _ . . . _ .. ... .. 1 . .. ,. . ,. , . .., ; i .. .. ,. t..: · �·� j;.:. � � . ""..ll f':'4.._ l ,r1 � ..:... a; �1... :Ll. :r-"' "'....-....-,. -,�,..µ .�. �._J. :.r-.. .·�.,.,. ... ,,""' .. ., •ft t..... ,. ...,., '•'f.· .,_ ·"E','"_.,�,• t,r..,,..J,....,....� ·.=n ·\ ..• ,\ 'J'.�,1 .. �, ! ·r".!{ ...'1........ ,..., :1 ..·. , ·l .. .,...,.....i.. .n..,.. ...._ ..� _ . ' 2.......... ,, � ... �... •r,tJ..>."l' � I ,..,. ..,, .•.;i--,....,...,h,.,-•7.-... ...... ..... , • ..,.......,...'\,.......,., ..,...... , .. . ... • 7'!.. ....,,. ... .. ... , •,•-r .. · , '1 _ ·· �for t · ·• lJ 'II .., _.. � � ,... ... . � ''" '"' " J ...... ......,·-..,-...,. l·/#·;.... . � . .. · . ,. . ._ � ...,. ,. · · . .. • . . . "' . . , • · �" · " . "' ,1 "'· , . , · · . . . . • . . ,,. 1 ,.,,__.,.., • . ... � .. .. °'"llr ,-� · ... · · � · IP' , .. . -4.,...� ... ' � ... .� . .. ... � . -4 ,...,,,. �· · p .,. J :: �,� ""' • "_ :i • . -.. .. I),.r O . , ,.. .... � ... r' oi· •·.. .............. 11. �·, -"'-. ,, .. \ ,.-•_' '!.,."" _. " .,,.. --.11 / ,..., . . .. .._ .. ' \.-a t(,·� >i lr •..r "!:i •.... . � ..., ... � • ..1.-..,..,. , ._ • ,. , -• ·• 'i. f t . ..-; .� 6 • • . .. . • :?. ,• · . ,.. " • , • . , , · :J c -.. 19..,..,:� ... -. ...; J-1'.� ... ,, c, �•-.-, -... lI.. �, ..r_. . , .. . .. � ' , ,. __. .,. , , ...... ,:i·..·- ....n,_.,...__ _ •• f �"'· · i ·,-....... ........ -.. .. ,... -...:;,"!ti .--� • .. ,,.... �. "' ''1¥<1 11 % .. -... ·;... �-· •...:....· ...,;:;.:;-; ' l... !J..::?!fl " ?.';1 • t'' 'lM" .,"'4� 1,i1 ,.,,.:,..j'� , � -;.. � : • · ,.I;• ,,� ':. r!. ,� � � �' -' "' .! 'l • &, t : • ,. . -::'"� : ' :-:.� J �,r; I: :...... ;.;1� J-;1 --. ,·� :r.z : .,,, � � -� ,.�, t ':J; � f • ·�· v .!:" � � :., :,. : ;:_ .., ;::: . i; : : !::� � ,:�:: ..., �_:-.c::;:. :. .. . , . .; .. . ,. . . � ·;:.;-:- • ··11 l t.. !r:�It· I •' 'ti :,. L'· ql"':l':4.,.r.:;..� •' ...l ••. �-- - c:. r,� l i.....i;. r� r'" � < '! -- ' ,,. :,; •,.,,.i -�- J:•' . '-· -�,. l ...�.., . ·1- ··-:··· - � ·-.•. , ' ·-�7;- ., '� '� .,� . �... -.. ·'-:.i.;.;... x.,-.; ·,::'·:Ji:-1 ·�· • ; 1 ;., -. .'h< .,_..,, :.'·,,!-.n,. \i·. w_ I}..f.r--;i. • ... · " . : t � � i 1 ... � ! .,: -..... ,;___ ., ':t.� .,...,_ : ;-i.rM � � � : � M. -:, ,c. �1.r i ·! , ... � .: � t; "'7.-:. ��___ .::_.;.:: ..•· •· .,..._,!)I j -;. ';\ n ) 1 :. · t.t. � "J', r:-; :-, :,., ; .... it .� : . ; ;:21 ;� ,;: ) � t. ,' t �:: . !2 �� t. "' .2 '.11.:. ' ll ' i.: :;..u; i "' r., .:... ;:; ; " 1; : .. · l-..........,....1 �... ..�__. �•"!\ . . =-· .._: ! o1.-,. � , . ... •l., •:, l'i >."' "'I;;::i . t H....... -••.. _. . •-&r -. ....... • .J::.� ,· ..., ... ;7"•' I ..I '" ·• ..� 90.:U 1•:...•--• .. -!1 .. :..r • ·"·"'r1f'\ i•<.,;:• .. ' ,to •• -t,:l " .-.:. C .,:;: i:. 11.r. --�:..: ...,,c.u1 .a . .,. ..,_,. _. " \ '--:4 .., , -.. ,. : ,f .-_ ' , . , � .. . . . . . ... ,. , . \ '\"'«• .. ,, .. .. , . . . . .. . ., •· '• '••..... I . � ::':I' ·• --- -" .. · " � t-... ' _,. ... . ....., -, •.1 1 • • ....1 ,• ,• . . .. i.,. .,... . 1 _.•_........� ""'-.c..;: .,,...·,�;........... .. ....,· .,, .. " .. 11 ....·;:.• �.,.,... . , • .., .. •.:;.., ..... :. . ....,_. , .,· .,.- .. .-.,,.;;# ... ._'-' �,.�·• -·::,,., . - :. __ - .........,. ....... · ;;.:• ... •- ,-· -� C:,,, -:: _.illh,l. , ,,_.� .. l&-·,"t·,·"'�.'"'?"':: .,. -l"�··..tt.',.•°'"'f-....-.,, ;.,!�:, _,.....q,.l>\,,.,o .,l• .-•....• ...;. ...... ....... .. ,."4�· • . I :�1 .. 1 .. .. .. _ _ • .,.,._ • . , . ..... ,. '" . • , � ., ;,. 11...-. t • ,. _ ,, __ �,.-U'_..., .,, ,.. • "':l �"""�1:Poi\., ._.__ � \ · • ..,. • � . • , , .. • " · • ' �.._. ;, " • .. • "' � t •t< i , 1 1 ..-� _,.--..,. •r.\v,:· .. 'l.;i t \ ,... , , .. , ., . ,. .... � .-. �-._, . �-:-,,_ ... -· · , u � .... l. r "'I � :� "': I ��7 : ;� ... _.._ .......-.:., r-�.,. -, ... ., , .,, \ � ,. ;.: 'Jl. -:.:' -, r u. ,ll�Q.�.•,.,.,,.,,, ..• ...._ .. :,�? : ;-, h � , "-.. -� • ; .. ..,..,.,..._ •• . , .#I""� .. ,� -.. •,__.,.,. -• J. · ·,r· : •,._ J · .J .! 'J �;/ .V'-,1 - ., ,... �-- 1 1i1•• f)..! '-� •-:,•!<f,.-, ..,. _. ._...,.., _,,.,_... . �-... _,,_;,!,,-•" .•., ,...,,._. • -.. ••..., � "'• .. , I" · . . .. .. , .. � . � . "' , • ,. • _._ YI. "'. .. ,,. .,.. '\ -..'!"� • : , , ' ·" ,,.. ]' . . ... i;i..'.,. ,., :� " _ --:! __, • T ' --· 'J.1, ·"q-: .. · , _( . •:. -•,,.. ...... . .......-. _ - ... .. - ..- - .,;_ ...' . .. .....;...::....1 1. .\µ. 1L f't:'!.,':"..t: � ...• :"":\"'·t 1 .., � ;l ,...�". ... ...- x.-� f , -� .....�.. . ,.....' .." ... . . .. ' ...... 'IC "' ;_:-, �.!:.;-=-:� ;_..;.;. _:,.. ....=.�,.� .t -:..;F -,-.:-��� · ,JV�r; ' :i. , .1 � Z, "ir. :---.:�,i. • •";.� !?c-:.. ,_, W.r,' �,:; .�1.1,.:.3 � �: �:;_;;;;;;.� -.:',� !: :�..•, , 1 ::L: ;�; �:.,.-��� ,i:�,.�, !fil "!1' (�:"-"\• ...,�:;,�, ;!-1;; .. ..,. : �;:=::: 1i. ,,.,....:,.;,::_ �:·� . :..:....,.� .. .. ., ... , ••_., ,.. .,. '_ ,,_ .,. ,.. ,._.J � �, _,, ""'. _ .. ..... .. -.. .. . .. �· ....... ., ; · .. . , .. ...... ....a.. ....... ,i/ · ! ... • • � , ... . • ..,. .. · · ... . .. � . ,... � --� . I ... --� . ... .,, ,:--....-,'I' ,,, • •....i -�--�f.i, 1""9 . ... , ..,..J · � Jr,4/'II .. . �"· , t c -.. . ' --. . ,,_ ( I � •. !f -: � ,....__ · \, ) ,. . .. . .. ..• 6+. �.. .,.._ ...,. , . c.__.,..;._.. ... .. . .-.. o1..,. ,.. u .,. :i•• !""'•I .Jo. i,. ..(_Ii • .,. ,_ _._. i-••r\ , . •�,,. ,.,. _.,., • • .,. ..-•. •• •..•..•. _ ,.. ,,.,._. ,.,. ,... ...,_, •,.-"' -• ..,,, _1.., ....- -J -. - . .•• •-..... ...,,.._ .___ ,. '•• _ ,_ .,_, .. .•• -ir.,n,.o· ..,--..,--,. ,... ...,·4, .... .--. . ,_,_ . .....,_ . ., ,,i: -,. , ro,-.· .,... _,..., _ �_._. • , ·I'! - .. ,. '..,"'. t ...••...• t ..•-""' -. _ ;,U)J ...· -...(.,l• _ _ · _ . • . ,. .,,. ..... . . _ . , ,. . , .. , , .. , • • . , .....,.n�-..-... � • " "" • · ... . ..i , • '"l.-r; -.. " .,. ,.._, � t �,.,._ � .. ... ., .,..!.rll. r .... _ ,i_ .. ..., '"'"' .. "' � , .._. ' .""..,""" . " .. - .\ ': "'1 ... rr ......... ... ' "'•• •"l�._. •..••:-,..' •') ·:, ..t• ...-• .. .....J -'"'"': . ... r•• 1 0 , __ ... ......,.._ " •• ,1.. ......... '':' j" - �.,. -.. . ,. 1. "\.;.J:c,t '!' .. .... . tlst-, •:\ -:�•, ... ,.. .........,_ ·'°! "'lj 4...,... " � -..J t '";l . '" J·• � ..., -:, , , : 'I ;:: • .. -, .,.i,,._ , _ ..,, • _ . ··-• -. ,_ ; --..._ t , , -•m1i• :..,,., .... . _ ' • . , ... . .... J _ _ .. ., . ,.• • ,. _.... .. '""• ..,. .. :,_ ._ .,...., .. _,,, .L..• _, . .. . .. ..... .. ., ,..,. _. ltll ..'._. �- •·· -1..t: • r.:-., r.-:•.• • • � fj ,.,_., • .. -"' .#, .. f' • • t: -,.. t ,..,... .,._ •_ .. .. ,.·•. J'�. J...... _:;..t,- ..,. _.._ • f" �"t • •• • •..,. .._� •..-,• •\• 11t• •1 ',,'°'...*.,...,, " It 2... -- � -'IJ---�" , �.,. ..1!:.:...'"J. ..Jr C a� • "'"'-,'l:lt• .._.,.., -,.._ , . ,J • 1 -• '; · .l,-� ('"';I• . " i "' •·'" " - 'V ..• .. .... " ' , . · ��!', - ."' � _.., ,.__, ..... ..... ....... ..; U"\.ll, C-.1 ?! � �· - "'".:':. ... _...: '". ..... :;:::, ..•r:-.. .... � :.;-I."" ·· -�-.-.... .,,- ......... -- .... ,... ·.-·� �·--- .... -:..x::x"' . ...• ..._..,. .:... ....' .... I ...... �. ....,_. ' . •.., :Z -·.....,..-...... � ...... ·,. _.. ft-... ..:: -::_ : . ...'.....I -.. ..': .-. .-;-,·.-:,._ - ,.�...:.: / ,.... -... ._.} ... i."'!t . •..,;� ..,., ... --:;r...,•3.::. .• ,.w•L::• \ � _ · . . ' .. . • .. . ., ... ·s _ ,.. __ • . , _ � _ ..... . . ... � · , , � 'l..; 4:.!, ""r q::�,: u:; i-o,, . _ ... -� z: , r" .. "•• � _ ... ,11 . . . ... • "" . • ,. .., . ..... . -• . , ... .... "". -·-:.:-:·"'•• :-, �· .,c'J!l,&4 .. �{', '"',.• •..· : ••.!..I.':. :O"!'f'l".:.... -/ '..."I...:. l:-- .. ·••�::. �:\,, :-: ;,1 , . . ...... ...-=-- 1.. l' \ . ..:.: :"- :-::r:-:::�....· .,. ......,�� -:-.. .,-..,.·i:·- •.. ...�� "" j_•t� \!I .-: �':.1 . J '::."";/ ,-.,._ ... 7. L r � ... .__ ... . · .. , l : ::-: · :: :1.r.:,,. � � ..,.. \ ;-: .., ! � �� -., :;_'J,.....!...,�!.£ �°t;.. "� :.:.�,; i.kr: ., _; . ±.-:. .;. .: �t..J .J..:.:�-i ::;r L,;. : ' • __ • .\ · . ,-, ..--.�- . . .....,-. ..... - · ---- .. ; • • .. .. '\ ...-o!....•• .. ..- ... • -,,, ·-···-, ,. ... .,,.. ---•• ... ,....... ......• .•·.., ..... • '-'•• .·.. . . _ . ..• - ,-...----. �........ -� ·-�.,·� , . . .. -. ... . .. .. , ..... l, --� _ � -· _ ... . _,.� -.,,. . .. -c. _,, -em -""...-• ...._ , . ' .. .... "r--.... .. .. .. ... --.,. .: :ii)., � -: • � .,...-I ,, : · .,. , r .. -... ,."'l';,... . . .... v ... , .. � , , ., ... .... J..::'" "'-' -� :: -: 7 ,c �--· , · • ........ ... . . . ..; • . .. .. \ . ···•:, .... .... .. .. _ .. � ... ..._ .. . . . . . . . " : .-· . .. 1 • ._ .. .. · 1 .l'..:· . , · " ... ..-:. Jt"' ,..: _�i ... f , · . ,.-.... . . ... ,._,. . . .. ,......._i, • . " . .. � . _ "l t .. ••• .. · . ...... -,1:,,... •� ••1.... ... . . •.• • ' ... ... . .. .. .J • .... · _ ... .: � ,1 �: .. ..._ _ _ . . ·J'� .. ll , l� .. .. ·-----= -_ .... . . . . . • . .. .. 1 • ..,-� :r- .� .....t� , ,...,. �.,., '\ ,·.•'-' • ..,•lo, . ,,. .,..• ., .. � "° • � -• ... ... .., . "• .._.. .,. ,. • o;,_i-• ,....,.--_. .. .,..,.._ .. -· . .. :'t- -..·.. '"\• .....,�• . � .. .... ....!......, .... ,_ .._,_. ... ......,._ ..._ ..., ,..,t,,.... .17• • -... .:._., --.,ar, ..t••.,...:....:=.,;t_::..:__;., i � . . . • '::.'!; , -r ., I "!" --;. -. "' .. .. . . . .. .., .,. 4 " • _ '� .., • ..,. .,.. , • _.._ •t•• , _..,.-•• " .._ • ,i1�••.._f' , u.• ,.._,. .4,,_ • f :1; ' "" • ..... • J 1 f 7-1 t • . . -, rT�lf,"11 • -I .,. ... , � . .a "'; ,) , ,')\·;, . .. _,._, -• -.,a. :..,'\! :;:_ :-...,.._ • ..,_ ,·: .- "j'I" ,c,tf't .,._,• .,., ._ ,1.-�.-.-.. ..._. ..,_·:::: _,.. ,-.. . ., .,·_. •. ,,._:..,,. ,..t,,._4.,, .._.,._•._.._ -..., , _,..� . , • .. -,. ., y. ::.... ., _.. .,- · __l' ,.,..____ · · •i � 1 -"'--:?''5 • \ .."tf\.t.. CP ,•ll> ,.,�.... "11 1•-'4 ,�• .. 1. ..... , ...,.. ..,, •• ..... .._,._•.J-,..., ...� ,..• •.,._ ..,• __ , �·· .· -•·,_.,.� . -,. ., " ,'C._-.., ,.--..•,..:.-� ,4 .,-•·-; . : , ,., t . • ' . . . • _ • J ... • . , , -···.., \ : � . � ,. .., .. . . .._ _ __..,......... . _.., • .. � ,. ,. • .,J..,.1,r j·' .... , , -..._�,.... .,.� _..,_ . .. . .. .._.. ,�. .i ...... :=.. • •• . r . .. .. . .. . . ,. . . . · .... ; • . . � • • . • • jj,... .,__,_ �---• · ,• , · --· ···'""··".. .. . 1, \ ,.. . , • •• - � f • . ,, '!1'"\ -• ••-r •-·.-__._, r .... t, , ... -. ----· .. .., _ . --, . . .. , ... .... f . , . , ,_ , . .. . . .. � ... .... ... -,. , . .. . . • • ., .., • • .. "'1 -, ., � ) _ , . .,._ . ..-.J.._, ... -1 1 •11 -,� : .. •-. ....·.. ..,•-_ • � -� T r,. ._ • .,_-� II' , > -_... .i..o ' ". .... . ,. ,.. -.. • .....t.., -- ..� .... .., -. ),-., 1,,-.... ...,_4 - •-•/ _,.. .... .., .., • .. • • .. •..• -. ......... .. ...� · .- .i ,-.., rI·J ...,J .. , ,. 4'lo •• _..,.• •• .- -_ .... . . . � � .....,.,,• • --••. ,.t -� ,. ... .. ,.- . T�, • ' (�� ._,;.., _ .,_ ._ ., ,.-.. • • .., .. . •. . -. · ' '"' ,-� .. � · � I ., ! ': t .... . ., _ .. . ... . � ,. : .... ,. , ... , � • .. _ .,, , ... . , -• ._ ..,._ ...,_ ¥ .-. _ . ,. � .. . ,.., ., ........ r. , • _ . •- ,..• (••,.,,__,._ •..__· ...• � -... �..-....,�.........,. • -..-..-... . ,4of'... . . .. _."'�-, .. • . - ·- , ... ... - .... ... �,... . , "t 1 ..··., -• ..-, ...---· - • -. ..,.., __�.... ;. ,...: v.., -:...\... -. __..,.._ • S • •""11,: _.,. _ _ ,..__...__..__ .. _, . .. ..,... .... .., . ., ; ...;._: ;. __.._1 ,. • ,_� •. ......;._,. ... .. .. . -.... ., . t I • _•-.,_ •J • • • :f , .. .... I• -,-. ..,. • '" -. ...,....;r-\ __ .,._ ' (, .,. ... -•• -.,.. " • • ( t ..,.,.... .,. • �.!�;:: __..,-.: 0 ,•< •• ! .... """" � � .. ':":.I-�:_ .-..:;.. �\a, ''"'" · ... -�• l _ · .. _,.• • .. •. .... - · - -...lo, • ·• · · .. .. · ·: .,:t.. ..... '(', •-. _ . . •• .. :-•-.... . .. ..� ..,. _ .. .-- . . ... • • • . . ,. . , . . . . . · . -. ; _ _ . _ . ..... .. ... , _ ... .. _ .. · , .� . .. :. :. . , . .. . , . , .. ·.. r.-,:s�---4 • 1 · ., .\ ... � . ... ; � , _ __ ........... � ..... "' 1 .. • .,.•, .,. ,-�. <--,.., T":. 1, ....,............ 4-e-_f _ _ _ .. .,. .. .....� ft,--,·-�.,_•.:f �'°; ... -...._, .. ... t • ..., . ,_··..J,._.,. ..,----· ., I f' l � ,'t',.... 1.,� ..,.., ...... . .. .. ...,'I;• • .. __ __ �· _.,.. 1 ... ••.. ,,,...,'" _ • ,Jit(. • # , • • - ,'l .... );-. .•� \- ·· - -...- _...-..... _ ,, __ ... ..,; , •• · - . ··. --·· "1 ___ _.,.. ,.. .,,.>. ...+� .... ..... .. :. . : ,. ' "-...• ..... •• r.. · . ; , .. , ·• , ., .. ... .. ... ... . .. . .. · · � ...,....., ..... ... !"."'-1' , ..... � ... ---.., -'"""�;...� ,. . oJ •. "4 .,;.,,._. .. .. .... -··--·•--..,,.-,... _ . .. ... ... •• • _ J, ... . . . •• .. .. .... ••• . . ( ..;. __ • • . ,. . ... -. ... J_ .. ,. .. -....... ... - . .. ., �, .. ..... ..1..,,...... --.... -.1-... , . --,..... . . _.. ,.... ...:.• ... .. ., ,,_... ,, • •.-,,;..-----··-. .:.. ..... ..... .� .. .... ,_ . ... _ .. .. .... . ."" .. ......... -· · · ·· � • . . ...•-- ··'--� ..s . . , -, ··.:,, ." ... . : · _ • .._ ....,,., l' 1 ' -1 ·-'ti • ,..,;. ,-. ...... .... · .... ..,_. ... . . !t ........ -, _____ � ... ., . . .. _ · . . , • .. ..... � ,. ,. . , -· . .... ?. · , ... . ....... � _ . . . ,, ...: - ..•. ...... ._..,.. ,• l•'•• ...... •• T.,_,.,., �,,.,..... .,,. .. .. ""___., ...____ • ... ... . . .. . ·- -- : .., .. .... . . � r,.,._ ..... ..,. ,.. , . ..._....__ ,,, . .. .... . .... ... . ·� · ·· . . . ._ ... _.. _ , ..-..•.. . . ... .,., ...t\•..· 1-'•6 .. .... .,. , . 1 ... .__,_ ..... . . .. ___, " " . .. 'f · ...... . , .. r,."--·1· t •.J�-.. .. . _ . · . , , _ ,... .. ;·v. ::. ---l r -.:::.; .. . · .._.:,, ,;_,.":'": · tF,; · t • J -.. 'I . . .. • • __.... = � � ... .... -.t• ..t i •••.,...,r •..... • • l. ' <'.11y ,,_,.., ,...... l"' .... .,, .... . --- ·� ... , ... .. . . • -• '11t , .A,.. , .,..1'llr. ... ,u-111 \,,o..., r• W � �-, •r..•...� --- ·..,. ,..n....,.... ..,.. ,... .. /1• I .....,,.... ..-, ... ., .. -... , , . • .. . , • , . . , • • • . ,. � . >-"1 ..-..• ""'-'.1'"' · .. . . ... . r:• ... .,_..,_ .. ..... ... . . "" .. •-r·1·: •-•J1-, •"" .. ,... , y . , . .... J f t,. : .. . . . • . ,. . ,..� .. , • , ·�, · ,.. _ , _,, _ .. , .. _ '"' · A . _ ,.. . .. . · . ,.. 1 . . .. ., • . t , - i·.�'..•· 1 .'"··'-�'!. ..�--... -.. ., ... �.... .. .. ., J ' f ...__.,, J...- r. .., ......�. . ... .. ..,. __.. _ ;·,.. ..... ...-,._.,. • ....._ 'l..t'I .."'" t••-...---,� - -. -· ..... �,'" ... �, , .... ... ...· , ..,, �ti,_o..... ,..,:.:-.... ....__ __ , .. .. ..... . .. :.--..-:·:--:, ........ ......... .,.. .•• •• .,..,., ,,,·#t••· �1..,..•-, ,.. . ,.._,�; ...• , ...... ....·�.-.,...._ -..·- ··-••·,oto<• t i' ....� . ,.• ....• --1• ....... -·. • • • ..,_ •. _..., ._,........ . ..... _'...... • . --.:;... ... . _ . . . •• , • . ., .... ,, ' T • • ._,,�f::, . _.. _ ._ o..l. • ¼ .. ., , ,. • ,.•.., • • .. ,...,." � -.. ,:oi_, ._.,__, �,:..,"I,... .. ( _..,. • !"'"'"' •; f' , : 4 ... ••et""''I ) .. ..., ,.. .., J::.!-1, .,.. ,... ....-... . � _ ., ,. , :: ,.. ' l.1 . . .. ., ... .... .. .. ' ·- ... ·;. ... .... _...J--..::-·:: :· -- r:· .. ,-: · ...;:s r. .:.-.. ::: . . . .. :-:r.... . .. ..........,..... " , ... . -t ••"'I'-'¥ .. ,,! �l ,. --.r' ,4,,l r !.. • ·: f l , :,. ,-:, 1 , , ---? ....,._� !.., .-... ,. -.1-.. ..,_ , ,. •.... ...... . i.,:.- ,._....-r.7� ......... , 1·' r ..�J--Jr· '' t., '" . · .. · · • ; t.t :r ,.. 1 :.• •1: ,• .. ; 1· ..: :!A.tl.:O t ; ; .._._, ��'tc:,;.r.;;:.� � .a � ':,,.,zi �� 7 . . � Jir .. .' :1; . ... . :: _:": , ;;_ ; l�:,i ... ·"-\,. _,,...,;;. :,..;� , , 1e V. .:i �·. 11,: · -�� -. , , . .. , _ , -:· · �..; .._ � '!' :. .. > ...... � • • . .. · . .;_ .:,. • _..., . .. -. . · , ·• ., .... . · . -,-� . · • · . � . ' .., • • i --� --, •-, '"" :,., . ..., ....., <tt •• Jq •• ,. �....,_,._ .. ...,.. jo.,. ; "' 4'"u ..., .. .._l-J,._ , .., , ,.. . .� "" ., a�:,,....e....-•" :it -• 1. . -� •• • .,. • . .� · · _ . ·· . ••... , i • .. ., _ . �, . ; ._ ,. • . _ ... · • ".. • •,, .- •, • • • ..., . , . � · i � • -w......,. _.. 1!:..._1" .,: _/ _�• •J -. -·• _1 ._,_ , • -:_:•.. �· ·, _-; , ; · :..._" · · \"";,. I • ,..,. • ..,...,.., • 'v......... _...,._ .. , ,..., ,,-:'•.-.-1........ ,, --. � •11··!',, T"&i-'1 l..:_.. .,. ,..i _ , ;_. -; -, -�"II,__,. . ..T• •, Jl-.•. 't· , . · . . . . ..... ;i , , .. •• ., . .. � .. , ,, • _ . .... .. ... , ,,. •" , •.•,... ._-• .. , .., ..,.1.--1-. ..,.,. ··· ."- · •-·�;,1, ..........,...... ........r,:_1.-... ., ... ·&,;.i r • .J ,. .. .,� ....... .i,, ...... l .... � .... -.. :�, : ,. _ .... ,. . .. .,. . ...-:• • • • - · , -... ... ·.... .. .. .. . .. ,:� , _ .. _ . · ____ .. ... .. . . .. . . . . . ::.. . . -...... : · ·-. . . .. . . . . . . . . ,,. .. -· ·7..• • t .... - , _..,,,... ••. .. . . ...... .. " . •• • -• • . .. ,_ • .,. .. ,.,,. ..'1-··, .... .... .. ... . :1.?.. i.:. , ... ... -..J' .... .. 1 , ........... -.. . . . I' -.. \ I r! ' . , f " • ,..,, .... f� ;, I ;:r ._ -- .... •'1-...c ...__,••. nfrt ._ ... ,. ....;...i, � '=1' _ .,., ., �••' ...... ••. ,, .-,.i::: •,•••�..,..,,._.� ..,._..,. ,. .• • ..-;,. . .. , �,; ,. .. ., . _l� ,. . ' • � ,, • • • · , • ' " , . � . . .. -., · · • , . .. .. . ... . .. , . .. . .... ,..._ . · .. . , . .. ..... · ·· • � . r ...., ,... ...·b-·· ... . .. ... · i r • " · . ....... ... , ... . . ,.,,. ,. .... "' ... -"·�··_. . .: • ..."......... __. .. u · .. J. 4 .... r: \ , ... . 11·• .... � ... .. ,.,.. . 41, E-r:· � · �· ....,.. .. . _ . .. --. .. 'f:: • • . , •1 ,,1 , .. r• ..,7 �• · - � .... "' ... ... ... /' '1·-·�·" .. ......... -..... .,.,, .. .,..,. . .. .. _ •· -.. .... • • -. •• ·· -· ,· -.· r • • ..... .. . , • .... : r .,,,r-· ·, · -:- . ... . ...... , ..... . ,. _ . ....... , . . . -.. ... •.� .• ;:"',. • .· ·--',.· v .. . • . .. . ... . .. .. .. .. .. .. ::. : ... ._,i �-.. '" l ..... f . .. . � ... ., , .. ·--·· .. _. . . •. .., ..... . . , •. ... , .. � , .. . • . . . . ..-·• ·• , •·• ·1..,.' '�· · 1·•• t•.· ::i.. "" ' "· _• ....· ... -• · . . . ..' ' I . .J , .:. ...•,� .... \, .. - • .. ...... .. , 1 • •· ·� " •• .• .. .. " ...... ' - . .. :t .. . t- . .. .. -• . ....... ...,. ,.. ,.,,.....•• (I ,• ,'" ·, ..... · '.....· .,,.#. 1. ... .:.L' , ....:, ,,:., . 1.;..;;�, ....tlli . , . . "' "'• '. 1,,• .- ., . ...,.i ·l-"· #-.. .,.. ,.... .. · ··•".•·· "..rt.l. .. ••· •· ._.,,·..., .,_ - .,....... ·t. 'J .. • \ . ..' .. .. _ ·-···· . , . . . . . ...... , . � . • ·� , • . " .. . . ., : -- · · . • . , . . ' . .. : � . , . .. : · · .. 1 . \ , ' , 1 ,. � : ... _ __ .t--� , .. . . �· ·4 .... " ..J ... � t ... . t , " , � .,,..c;. � .. 1 , • , •• ., ...... " j,. .. ,� ,,, .... _ • , . .. r1 :..i • '""' 1... , I .. .. , . . ,, _ .. ... .. ... , -"':"'-' . . , ' ' "' • ... . ... ... . . . . .... .. • "" t'·-·, . .. · . .... � .. .... _. .. .... , , .. • •...,_,_. - ..•,.,. .. ..... . ........... .. :. . .,_·. . .."' -:......:·.. -•...... : . . · , . • ,.,..• • ., • . , . . . · . .. ·· �------ Jf:o4. •1 ...-· · .... ... .. 1··, . J .. . . . • . . . :, .. .... . .. ..... ·, __ · . ; · .. ... • . +. 1.-:.r;: • ... -.. · . · -1 . -· ,, , • _ _ ... 11,,, l rI· .·-' ·-.:J u r : i .. '-.• ,-, .:.... ..... ,,,. ... : "f •· < , � .' · J " · .,, ..: · ·, •,._•,·... -... • e- ....1 .-., •rl• , .., •.. " •'"" !"• I .. ,..•:_,,...., , •, . -,.r(·· ;. ·,'• . • J ., ... . .. ., .. · ,· -: · � · ·'" 71:" . .,. ... ..,........ . ,.. �....,. .,. ,\ · �·-·.j • � " · · � · " '- "•;• ... • • , . , . l'I..........-· ·•t.:_."; �,. :;,;, �• ·• . :-� .� ,..· " .\ � .'•-: · - ····• .;--.,.... . . .. i '. · . w ..., � · t, .. _,_,.. •• <'• .,. •-"• ••-. ••., . .. .. ....... •,-• •·• • .. ,•e •, ,-,. • ,. :.•. . _._,... ....,.1ii.. . . , . . ., ., . ,._ . · -•• ,•. .1 ..,,.. ,.... '" ,. • •.,,-1.,_.,r--. ...••• ....• t,.. rt. ••..••••�,1 _..•...., "',... . ,,....; •·�.,,.. .. ,..• .·, �·.... ..� , · .. . I "... .. _w •- • •• _ ,. .._ ·-·· ... - ·· "� . ' · -__ .._,• <:.._• ••·• ·· .� •......... • .,., , •�, ·"..' ,,...,_.,,. , = ,.�.:::..,_.. , �... ,...,. · , .•• 1;,, ....,.,.. .,rt.• -1.o;•- •�� -.,, .. • \ •-, .. ,. , ., ., . ' •• ... 'i • ... t.,. ? a_.,.-,.l ,,••t ,.. , .. ,...,_��I .. ...... ... • H ) .. 't :t�l 7. r t 1 ; , 't J U·•, .. . • • . 1• .,. !J" .. . . : • •·• . , . . , . . , . •• • \ ,\• • • •�,.-.. ....... -- . - .,. .... .. ......:. .., ,.. ., . . r .�.• :...... • 1 ..:.1.,••--.n .,.. ..,�-...-. ..,• ;-• !.... . • •.,_ ·� - :i• "'!�""'r.! • , ""...o/. .• .� lf• .ro \ft• 11... l'1 4"" ,.....,"., _, _ •J: .. .... •. .�11't/ ._A, •--:,v •"'-'""'J,\; \o tl•J•, ..� ,...,, :• ;""- ":,;' ,,..• f " " ' : i; :: :·..• • • •• 11...'l,...1f• ••Jt'•t"'li .. ,'•�•' "°"' .. • "• ,-•._• -.�..,I-.'•1.:t. • 'l, ; 1/fl>: -4••••,•......,,, 1 .. .. .•-f. .. ,< ... ... .. V.-�· � � · . , .,. . . . ., . . ' . "1 ....• •:·;" ·..,....··. ,::·;...__ ,.. . . . . ' t • � .. ...... · .. ,.. , ._. .. . .., ,• , •• ,_. , •• • • • , • .... • . _,,( "--" lco . • -, v-.ll,, • • �yf ·1 • • .,.,,1 "\l"• , �..., · ,.., l �...._ , . .,. •• ., ( -2 ..., "I • \ •.._. �,. ..,,� . 1. • • ., rtr•,• .1! ••1 •··• • , ,._ .. ..,J ._. . • T � • . · . ,. ...,, '"" . . " . .... .. f ,.. ..c • •·"" l • •.. , ... __ Ht,j f · .--... --. -: 1 • � .. :: , :.. .. ... • ., . " · 1•·1", . .. . .. .... . ... ,. , .. • ..... .. •\ .. . �. -1� __ '· . . • • .. : : · ·· � . . • ... . . -, • u· .•i-l;'lfl .. . ... . . .... · · • . ' · •1 • ...... • . . � . r . . .'"1' • .. ,.. � �: • ••.•• • L • • .;t: .. , •1.....r·. .... . -- ......, ........,....._ _-··· .. .. ...,............ ........ ...., -.. ,-......,, .. ..... I f . .... _ .. .,. ... :: ·... (- ·+ ...,. . ... ...... w,. . .. ....� .. , -· .. ,,..· '""'··-., - . ,,- ,..'\• ,...... ,.., ...,..__...,....,... .....•�, ..•...,. . '. ...... .. � .., ..-, . ,. ..... � . � ....- "i'I�· . . . . ... . . •,.. . ..... . . . .. .. . ··!. . ...... ... . .. . . ---· . ..., . .. . . . . , ... ... . . . . __ ' r . _ � __ _ .. " .. . .. .. , . .....,.. • .. .. .. .. .. .,. • , -· · t..,; __ · -. ° :"r.": .. .. .. • '' . .. • • •· • " \"": .........· .,... •.., .. . :� :: • -- . •- ·. . • ••· : : ':. ?. :': ,. 1 ..� '. : .: ;_ · ..... : • � .:,:;:. ;·� ,.: ..:1• \. ·:7�.. .,··�·:.:.:. �· ... :'.--·:y, _ -·:.,: T:11 :.A : !· ;.{ :'! '::; v�;;: , ...C:•,, ';.. J�_�":: :!--· ::;._ ":'•• !. �·:]�· :; ;;:;, :i.: ..,. :7.. •..T .�. .�.. ..."': :..:::.. _ ;.. � ,:.,:7 t!� t=t .J-.. .� ... . . . . ..... . _ _ .. .. . .. � ... . �· .. ., _ i . , -(f' L. "1 -.. � -r r • .,. e,,:.,1 : • . • ,... .. .i..• •. .,...,-,.;..,., ·r,. •W� c · .,..,. •.• .i .,. ,� •.•,,. , ,.__.v_l,... _ ,,,. . ,;. •• • .• . . ... �..-....... :. . � I... � · · · : •• ... 1 ¼-· .1· · ,•)•·......• .• ..l . ...... · ,.,.,.__...,. . _,.-• .., '-' •· - ..... .•,••• ..,. ,. ,. , ,. �-� ..· ·• r.·( 1"•••• 1'· 1• '• •••·•..,•i·- ·• , ,..t•i �.,._,., ,-... --a.,. • . ..... • 1,. •• • '; • •• • . . ... .. • ··· .. ,';i . 1 • .. .. ., ..,,., •• ., · , • .. · • .. -,.., • ; • 1 --1 • ....... . . . ... . • ••·.11 ���"f'l--t !. •r,A, l'(•,l(,\�• " • · · ·�· . , . � . :.. .-_• �••11 ...-A,. J,r I -.. . .· ','.....-... . ,,4•...,, i .... .. ,•. •. ,.•'c.. ....... ... " ., ... . ... ..; .. . ..7 ...t.. ............. -•1 _... .... � .... ... --.. , ,• . ..... -... . .... .. • , --·,-.....,-, � · .�...... . .,�, .......- r•4. ........... .. • .. ·-t.. i:i.<. . . • · • ... . . . .. -, · .. · · ' .. .. •.. .. � -.M :-. o#.. . ... . . .. .. .. J. . • 1, --1_ .: ,........ .... -.. .. ----:..-,; •M ,....., '.. _.-! . •• -.. t. .. .· , .. ;t: ... .. • •.• � ...•• ,, .. ... .. -r�".J �-<a. . ,. , .. ..'• • •....�I. ,.•.� '�..,�.... •f•...: �' ..,......,.), ...J1..... ,.-:, t .. � ... , . _ 1,1 ...�••• __,"I ..., · •-.· - .·. ... ..., -.... ), \ . .. :..ct . •C.. "-"" ) • • ,..,_,. •• .., .....·•r•la . t • . 1 , .. "11i ... . '"J.,. ,. ,-.. ,. n .., " ' .,...., ,, 1.. .,.. . ; r � _..., � ,... .,. , ,, .. . , • .. . ,1 f ... ' l ' t· • • .,J t14 .. .. · "" l• ..- •• .. J ., , .. " , . . . · . . .. .. · - '.... . ., A ,.:.• ,...,..,• • • ... ....... ,, ._ • .. ,,.•••.. • ,1.#, • •,_., . ., ._.., ,_t, ·-...-J ,t- • t.__ ._ • • · •. f"·J .... •� - ,-•1':"' : • • •· ...,, \j_ .., .(_ '""t . ,_�• �' -'. lJ_"' _,_.r" �� ,i:;; 'I. . .. , . " . _. : � ��·! ': I � : .. : . ... .. .., ,. ' ,.,.. • •·r"'l'· ··, ,, :, ,,. , ! !:" , .. . .. .. · · · -. .. _ • : • ' z: · . ... . - .... . . ,. 1 ,,. 1 • ,;,.· -· ....- l- t..,.• .,.._ .'\., ... ,.. ••.,.._., _.. ,,.,.. •-' , •-· . ;..,;. ._ · ;.•• +. 1-., • •� . - •.. -:,·· _•, .."'-t_,..., '�'· .... .• . . . •, ...... T.,,_,,,._....,_ ........ S•�,..,_., ..,.._,• ._,. , ,�- • r-... ... ..,. ... •• I � •• J • . • • .. ;J... , ,.., r • u ••• •- •• � ' 1"- .." • • 0 , . ."",.t.•• .... �,o).,,rt,1':,,0�� • • "'; .• i • ..., , • ; ....... . • •• • • . .. --• •M .. . . .. . . • -. .. • : ----.. . .. - . ..�. J. .. .. ,.� .... .. .. ....;;... .. �,., •••_..,,., . . ..� .. .,......M '- � · - , . _ . .......... - • •.., .._ ......, ., ••;._... . __....y •••,. . . .... .._,._ - .... • ... · -... , .. . ,.: , .. . ... ::: ,v , .. , ... •1,.-· · · · , "'_ .. ,..., .. ·---. , "' 7'""''-.. . . ,....�,.,"Wlll'� · ,. ... ..,.,• t-. ··: • • , , · ... ' ._._....., .... _ • ., . .. . 4 ·· : , . .� •• .. .., 7 ' ........_,.. ... , ....�. ... .� ... ,. _r:· ·· , .. . ."' . . ···.· :c.1,:-"",•• ,_ _ · . •...,. .. ...... ,,..... r..........., .... ,-. �·-·•·•""· ·• .... • • : . . .9 ,.-.,,. a • � , ....�• • ,�.. 1.,t•-,�, .,�.,. ,v... ,...._, ,,_ .4.,....., ·•:,. ... . .- -,,f. .. _..., • �·•o:, ..__�o.1 \..-.c;.. .. .... . � .., ... . ,. ., ·: , · ,. ... .. . 1 ... • ; ._.. .. . r , . "' · -· . . . ·· -;')-- ""... t:.·�"'"J• ..,.. - ; .. . _........... . ·!; .. "\ ·•t>- ., .t .. , - . . ;... L :. - ... �. •-: :"..-:. -:- ..�·..-.:; � .. . -. ··• _,· .,-r-• • .. ' . . :: "' 1 · · '" · . · , : . · _ .. . . ..... . . . . . . ; . ; .J �. ,,, .\ J o, ..._ ... . :l..-::: ;· ·- . ....... .::� ..... \·:.� .,.!. ��:.:. -:i"f,. .'•"':r.:·...::.-· �::= ::: :-· - • :.-:::=."!:;... .!�· ,... :-·� --:. �_,." , .· •� · -� "'""T'l'" """'-r.� .. ..... . lr; ...... .....•. , ......,.. .... "t;r�-.J...-�.,· _.,.- . •. . •. � ...... .-..:..,•••• .... ....: ... ... . ......., ......... • �2.,.;..: _1-..,.. _ .. ·. .·.� .1t·�...-.... .,.. .. .. .. · .. .. • . . ... .. .... . · � . .. . ....... .. �·-· !., ,..t..,,, .-._., . . . · . .. .. . .. -- ·1 ·· . • • .._... .' . ... ··..... ... ..... -+-· - •.-.. , .. .... ..• : � ·•---···. . ... ....... ��·{ ....., .... .... .. t�..-... • ..�• •...._ ·•"""""•_, _-;,·-.,·1:.:::::rt. ... .,. '1. --·, . _. .......·. ......... ,_..._. ..,- _....... •.• � .,... ... ,.. .. ..... • . .. • . • ... -' , . __, a .... _ · . .... � "'\ , t -t,.,. -.t:;, ., � ., · .. . .. .. -. · . . ..,,.. -..._ -,,• .. • • \ : .. · " . . . . .. .. • • , , • • • • •· ;1 ·�-: :-· • , : �·· .: --, '? .1-,., � .. " . f .. , .., ......, . � ..J � ... , 1 ... -.-�. .. .. . . . l .,. ... t · --· · . . .. .. , , · • . . .. · · .. _.. . .. · ·-� ,. .lf._:;-� I , ��l r · -- ·-:., . . - ... · · :::: -···· · - · . . ,.. . . . . . . , .,· . ... . . . ..... ... ,.. . .,...,. . . ,_ . ., _ .. ,1� • � ,--:=,...,,:..._·�· --··-L.t .. .. .. _ _ . -· · . ... . . .,, , · .. . _ ,. . . . .. . , .. · I _.... _ .,..... . . ,i .... .,, __ . ., ............ ,. � ..._.. .. . ,r;"4 -.. ....·.·... -..... .. ··. . . · -----'i·-...·- ,- · ./ .. , ..., .. �--....:..J..._ .. -:. -·---J-" · � 1-- ... �--... · ·l---....... .... -- ·"'.l . • •• •• · • .... · . ::_ ·!..: :.� ;..-:; .;•.. - !' •; ·::· . ..:�. ;:; i .. • .;: � : • ... �" -......=-� ..•..- •.. . -�: :"':• ".... . J•1 .. ! -::,1,·�!J i -l · -. • I 1 ·:!. ... • .,... . -=--,:.:;.. r:;:.., ,; J:: :;:r..-:-.· .. � •r•• ... . -. f . ""-1 • ( • '1 .. . . . . 'I' . ., __ ,,. ,- ..,,.,. ,,... J �'f... . ..... .. .-, · ..-.-·_ ,,... '1'",-� ... ...l� . ••J .... , ,,, • •; " ··· ··· ·--...... _ ....,...... ,;...... . � ......--..,•.... -, ..- ...... :.....1 . . .. · .. .:• t,-.Lt:"' ' . . .. .. .. ..... : _ .. .-•· . , 1 . . .� ,. . . • > .. , ._. • ., t ... 1 . . ..• • .,.. . . -:-.. /.4�" , -...,....... ..., fr, .. _ t , !'Nl1. ..t "" . , • • --:,. -•, , a-.J _ -., 11, ... � • • • , ·-.., ...... ... ""'"""'" .. .. .. .. .,. . ) , . ,. � ... . . .... . .. .. .. ......... .... .. ·� , .... ... , .. ,-,... .,'f'; - 1 rf:A '"-->·•...., ....,. , . .. ,....., • . ,,. ,, . -,. ., .,...._. • ., ..... ,...._..,..._ • .,..-.,. .. .... • .. • •,._. • ._ .., .,. • .,..., · , , • •.� ·._ ,.•. , ..._ . ·. -.... • ••'- . � .... .. ... _• _, _ ._.. ....._. ... - .,,.-,• •. .. ,.._ : ,.. .. ' J f .. • ,.,....., l• ..,. t •...• -,.. ....• --..- -., ••... . . .. . . l_T"' "" . . J . . . ... 1 ,. ' J . . ' ..J..• -.:,•; \ ·1� 1. • ..... ... .- ...•·., ,• . ..... ......,o,; - · •· ....... . • .. -....- � ... ... ,., .. / .. . ._, ,, ,.... • •. -. · 11-...· .· . . .... . .- . ..., .-· ·- �· ·. . - . .. ·-· --� · -_ -· ..n... . .. ... .... · _ -·:t··•- .........., ., ..... • , � ... r•\ '-r • , .. , ,..... • " " ...... .., .. . .... , -. ... "" ... . , •• . . 4 · ... .. .. . . . - . .. . .. .�. . . , :--: �,.:; : �-t 4, � ·:�t• . �, � :. � • : ·�·::.�::;;. ::.:.:·:: ! ::. : �: ..:-·,- · ;,.. :.::. .. ,. - ... - . .i-= )-:. .,. 1• • •• !.tJ:"'-::,;1 .. .., ··,� � ....": � 41.i · ...·:..�.. :,.i:. 1. t:,: . . . .. . ,*!"'�•'r�1 ,!i':':.. :.: := .... :. :.. :. ; : : � � • . . . .. • . , -· ., _ ... . · . .. •.. ..,_.J..� ·... .• · •- . .•. � - .......... • ... · ··"f"""°"1 - .. ••• -4 ·-·.. -�,. t:r,••--·· -0.._4� •-., -- ..-,,. --•• - - 1�..-'"' ' . "'.., ""'i-.. . .,. ... _..••. .., ....,.• ....�, .....�• -· -• •• '"· }�..::.: ......,•·-• f • . \.._,, ...........••..•. ...... .. .. .. . .,.. .. _ ..�, ........ • .........• ••,....•... .,..,• _•...._.. ..._•,•.. �.,.,.,.. -..; A1�• tt ... .......... _,..� ............f" -•,_.,.. •· •"--•-ti• . _,, ,.. •' • II' •'(•,,. • , _ . ,,.,.,. .,, .., l J r·1 ... ·r ·-· . . • .....,.,,:._ ...::�Y. ,--:·; · -:...{ 1·i·1-:..�, J •••_,_. -,_ ·,. ·.. . .... v.. r..... • ••.••,...,.,......• .�.,.. ..\ ... .,..r,•.. ••. ,.,_., .. -·• .....,. ...... -� • . -·t 11- -.. .... -,.,., -, ·• .,,. � · ·..·-·· ... ..,.,,. .... �.. .',\. ..�:iv-; . _... .·-.. ii-•· �""_., ...,,-... • .._ • __.,, _. ._. _._. ..,,.. ;' I � .._ • • -, .. ., ,. ,. • ... . ... . Y � .. , .. . .,. ....... ,.,_ , _,.,. • .. .. ... _. . , _, .... - •r"\ ....... ...... ----·-� .....·•,!_... , .....-'•.. .. ........,!..-:. ,:..... -_ •., .... , "" ..•. ... . ... ..... ..... .. .. ... ...... ...-., t ·, .i... "'. · . ......""... ,.- '"' ... .-":"' 11 Jt'!"!'l"r.J f1!. 'l.! ....,..-..•.,....__: ... -,. , �'-! _..l ·..... c· •1 --. • - ••. . C.:..i , · ' l �l•f # . . " _ , . ... _ , _ . . . . .. , ... . . .... .......... . .. 4 1 • . ... - ...�-,'·�-:·,· .. · ....... . 1 ,__ ,;\.... , ...... l . . ,. _ ,,,..,,.. ,. 1 , ' \ · , " ....., . _ _ 4 .. , -.. ..-.,... ... -·... . , ... . .. .... .. "· ,u..,..., 1� "':" · � .. :r , , J --·� _.:; . ,.. .. .,,:... , .... . . • • . · .... . . . . . . • . . ,)\ ... .. ......,,.. _ .... ,,., . .. . . - · · · ··-- ·� · ·· "· , -.. - - ·· �..t "" ... \.!1..' ' ...... .. . . . _ .. _ ·-·· ;,.,:. ,,,,. ,..:.... .....-..,.:.. ...· J 1 ••, .......... ..,,...,. - · · --- · ·- ·� . ., , , .. . .. , . , .. ... .....:.,.. · ->-·1 •••.£�.!;..,.;.: ,:, • .fc;::._._.., ·, ... .__ - • .�·'•,r.••• •�'" • • • , ... ..... •f_ ,'.· · · · t .,_,..,#I. ' . ,. .. , .. .. . .,,, , ,••I,1 . • . . • . . ... ..#''-:f"" · • >...-.. , ... � . � • .. .. • I p . •"lft p•• , � . , t / • • , . ... "* • tt 1. ....,. "" ••°' ... . .. ;.,_,.. ,.. ••• ,,... ....... ,. .. , . :t . ,. <t•... .. ... .... _ .. f ..... • . '; ,._, ...... �•� ., .., ..; ., .-11 ...... • · , . . • • . . . • • 4• • ••, •• .... • '"• • . .... I .. ••-•, .• .. . .. , .... • • • ,:• .-•" • • � • • . . . . �• J •: l ( ··.,, . ,... ....._ . ,.""'-' . .. ..... ... ,-�. --- -,,� '( " • "" · • • .• .,... - ,. . .. , · , ,.· • •· - ... ."' � - _... .,r ., ....- ...�·.,.>-. .. •l . . ...... " -'"• '' " "....; ..... 1"-C.,.. ,• ,.""�-.-,. . . •,, l'"o#,,..J ... ... . •. -. ,..1, •.. .: 9..,. .. ... ,.r; ... .... • • ••. . • � . ....... ..__ , , , ...... . .I< • • . 1 • • • ,. . •• . � • . . • , . • .. . . • . .. ... .... � ..... · - ·1 -- � · -"' -••n••t._ :,---v ,. '-1"' .. "',:-,. .., .,.. -- •r.� .... . . ... , . ... , .. • : ""J -:;j;.::• :! ..:!i "• , -: .-.,.. .••v;;;.,.:,;,..\, � t ··-'· .. ':' "' . .••.·c ·- '--- '1''\ .1 \ ....,....,.. .. ...,....,,.,· ,•. ,,_.,,_ .. , ., "t"•·1•· : :: .. ,.· •-- J·. .• . ...""'-.. ,• ...• ..... . .. .... --u• • � . , ,_......-• ·... ..,.... ,. , .,..... .... ·."1.:, r· 11,�, c;J_,C . . S-n._:. : "....!C.3 · ; -.1 . ' · 1 -. .. .. ., • " • •: J � ,' 7 'l · ":! °: "!°;: 1°7:1 '7' 2 .. [ � •J� ' 1 ';"--;':-,' ·..,: .: '::' :!,... i, � � , ; • � =.:.;. ';. � � -;-'°" � ;, 7 -:: : ; •: :' t ' • ' ;�-:, : "" .r " ' l 1t.-• J -: -r...:..; :: .:, ; \ •. :: , r, � -:: ' .__ .. , . ,, o • , . ... � .. • .... • ..., . ...• -• - ! �...' t • •• •�,. ,. ,. . , .,_ .,. ,.. ..•.._,,. �- · ·· .. , . . � ..., , . .. ., . •• .•• '• ,· •: I .-.. .,, .. � -:.<f f• ' 'r-::::.,.. . , '" : · • • . •.l. ..-ii .,. .. ...,. -.,,r••\•t J�. ,.., .,.... ,1-.... .,_ . ,. .....•,...J... \ .l ,.,..............._ .,,...,., _.. ,. ....... .., ,1 •- ,1 ..••,. ,(.., • "'! ..."' · 1 · ., "'ili :.,....,......,�°',...,.-"r" · • ... .. ,_. _ . 1\ \ ,. \ \ -., \ ) ... ..'I. .. .... .... .,... .._ ..-. ... . .. -_>•-..,....... . l' .. · . · _-_.,,,. , ... , ....... ...... ��:. . ;..,., . ,..;..i:; '4 ..... .,J.• -., .. ' t) , ,•• - • -. ......� ... - - · .., . ,,..,� __ J;". . !t: ....: •• ... , •; ..c"'••r i... '" · · 1 , . t• • •• •• ,. _, t"I • (\ • ., J -: l " · �:;7 ! ,_ '\ : 7 • • • .. "� '"'• � -•• • '-•) .... ,. 1 ......_. • ..,..-., , V•-: " ••• ,._., ., . ;. :: .... .,... " •· ' •....../,....,., , J"! • ...· .: .... _ ' , ,. ' • • I • . .., . ' .. .. . . • -:, ", 9' l"r ,-.• .. t � • r .,,.. •r"!' • 1 1 ' .. II .\.._. _...._.,..,. W r: .._ � _ .,'I r• .,.. .. ' ,. � • • � ; , . ,-. . . ;• _ ... -. . -• _..J,. ' I'� ,. · ' · : • .:. 1 '. _ -c_ � • · I · , · , • � • · • • � , '• • , • · . . • " · • • l • : � . · lf' . lf ' •,• : ' • :,° .... t;t .... •"')7 • • . , •. ., , . •,." . ,. • . . . .. . . . .·• .� -•. ••· -.• , ·.... . . ., . ,.,_ ___ •y .1•.. "�, .,-• .• • ...,'. ._...:,. ,.·,-..• .•J W• •"' .Y,._,..,....,.. �. ... \."!:.·! "lo--•( 1of1 't•• , ·. ' � , r .h·-· •�..,,,·...,.i_-.:.,._.,.,... • ':'I I" """ .. ..·• l • ..o , r� __ ..,. 1 _f • .. r -.._ _ . !;1 11 ,. .. , � -. r. ; � '.,... • ...�...-· . �---· : .i� , -'"V• • · > .t ..... ,., .. ..., ..: , _t.:,;.!f ,: '. ,. .. . ; ..,,.. .• .. , .. .,. .. . , .. .. "· • • . •. , .... · · . � . .. · .. , • � : . .., ..... _11 ...... ... { -'1' . _ _ -i .. ...,,. ..· "t • .'.. .... .• "-J· ' t • � • ...· �. • - l, _,.... ..J •""' .. ... ,... ., •... .. . ... .,,, lil-o ...j 1:., 1 · ·•, ., ..,••., ... .. ,....... ..,... ,.,"""' . ... .o,:........ .<....._ • ...f, :. 1. J\i�-�;"J •. ,- .,'"1'_.,,, .. . ., - . ...---..... --. .....-..--... ..... .. . ...._ . ,, ..... --- ·'1,.,'.,.... ..•...•....\,...,. .,. ....--..�. ,.-.. - "''... . . .. ., ..· ,_ ' _....._.. \,l, _ .. .. --• ·-- ...- ··· i.·..-. .· ...,...?. ... . .,· ..- Ii . 1 1, ..<;"',. --;". !..:•,;.x, ....._,... .,. , . _ . • . . • <o, . . , ... .. .. J" l t1-. . · � · fl ... .. · ,.,. •. _ .,� . ... .. .. • -· , .. _ . � . .. .. · · · , , · . , · ,.. - _, , , " • •. . .. , ., • \. " -- -·- - -- - ••- $ •,._ • • • • •••• .. .. •I-•• ·1 ._.. - ·· - • .... -. - :. • • ._ •. t t, • '....l .-"9 -_,., _•.--.i.....,._.•<T••• . J J" .. � t ?�:" "• \ ,. • ,...,_• li/l,"l'"•"'-• • T•.� , 1: !"'"--i-1 ' ..ilo,r-••••I •..·�0,.•..._..i•-• ,, •. • .• _ ,,. ___ ... ; ,_ 1•--• •� _, ... ... �1••-. • • I ..,.. , ___ ... ......,. ..'\•-,.ro.,_\, ••t. ,. -;.:;-1•• ..."tr.i"',",..•..1 ..., • ••,•••. " • -" • -"' ". "• '.,.,--•, .. "• ·• -- •••'"• ••• r. • •.•-,-- . ......�- , ,_• ••A.-- ..II • • ,·-·-·' • • • , •<r ...•,. • ...�• •1•!• -.,• • • • • • ·-· -·-• • . 0 • ,q• •---.............. .. , .... ,., .. ,,.__, . . ,. 1�,. ,.. , 1 .,--..... ..., .. . . . • � • o<o _ . ··J · . " • .. . . ,, • ·.• L . · • • 1 _ . .. .. _ . . . . .. .. . ... -.. .,, "-' _ .. ... ... , .z . ... ..... , . ,. , .,__.. .... . ..... � · . _ ,. ..... , ... ,.., """ .... .. . , . , . .... ......... ... . .. .. . .. .. . ...... . . , .... ... .... .......... . .. _, .. ... _ . ) ..... .... .. . . . • ...... _ _ _ • . .. . , . ' . •...., .�.,� '"! .. _...., -.,.,..,,_ ':,. l n l, .. .. . .. _.. . • •• _,_ .. .. • • •·•·1-:. .:, ... ,.._._ i·· .... .· ·•,.,.. . .. ... .. . . . ....... . c·: · � .... . . . ., . .. . . .. . . ... . , .. .. .. .. �., . .. . , .. ..... . . . .,1_ . .. , i � " .. .. . .. _ __ _ ..... _ , , .. .. . ......... _ · .... •. � · _ _ · _. ___ -; ._. ... _.,_ ,.,..,. ..... ... .. · c 1'" _ . � i ,; _ ... · .1, .. J ....., : : -. f� .. ... ; ·--r--.......... _, v; �:J : ... • -. . � · ___ · . L .• _ ... .,.._·· .· ·..- ,;-. - .... ..· ··.. -,· -_ ___ _ ,. , . ••...• . _. _. : •.. •.• ..... ,,1 ... ,, ,... ..... y...,,.,.. t -.. :'1 ··• , ,· · . ....,. ..... ., ........ ..:.·..-, --· .. . ..., .. . · · --. --·-... ._,.,_ . • .,. ...__ . . M_. .... .-.· ·,-• , .• ••""• .. ., , ... r l..,. �,..� ..a,, .:'.ior-f>.,.. :_l,,f••.. ..• _...iu ,. • ." �.r.;Y , . ,.._, ' " �· ..: , •- I • • • " (•..._ _ . _ .,._, · ...,!l, • I , .. '."1 .... ...,..._ , i.. . , ... • • • • • .. ...... ,.,. .,.r •r • �· • • lO -• ..... ...._,.,.. ., . • • · · . , 11 ,..,.9 -. -. ., --... ,. • • ....1 .�• •... ... _.,.,_..,.·• ,. •• ...... ,.--., _� • • ,.. .(·--,-.-. ., •. • •� •• .. ..........., .. .. " · -· • • ...,,.,, Jii".... :.i -• '• tJ -, .. t. .•:a--...,. ..... . .� �... ,�. ...... . ..... .. . . . .. ...., ......... ,! __ ....... ... � ..- , • "'t·•· -- · r.. ....:...,,i ... ;.:J ..•. __ ..,..._ ..... -... .. , .. ... �, .. · ·� • • . ....,..... .� .. �.......... • , • _ • ... v ...... ¥ .... . ... ., ....... .. • • .;., ..... , .. .. .... .. 1.. '1 ,.._' .. . . .., .. ........... -. t" .. .. ,-. · • · _ . -·, .. · .. ... . ... . .. '$ . , .. . . .. .. , . . · · · , · . . � · . . . · .. . · .. , . .. . . . . . . , , .. . . · . . .. . _ · . · - ...,. .......,-t< .:. ...,•· •.,··_. _ ...' ..I ..,,......._,· .,.-� ,i;.._�.., .."'· t;.:'l ,.'" ,tt"'.f f �.. �. --:.._ ._,... .• '.T" •..."'• •• ,.. ,-,,,_. ....., ... _. �.•.... #;",•,.•.-•,.., ,1·,_... ..,...,. ir,r•.., s•,. --.:,, �.,.� .. ....., ·....._.. ., ·.... .....··..... .. .. ... .....,.-... -__ · _·-·..,1.,.-i."__ ,.,...... _., .,..., ; .•.... . ..:.-! ....,.. .. :'1.., .. ..L �. .�._..__·..... ...J-_...1,....._.. ..,,.,..__ •• 1-.._.or _.. _ �'\ t...---,1 _�,:!(� "..J...,.• •" r...· ...·••...... .. • _•. ._,___ • ·..�-•• -..•..:,•.•... .t.:; •,· �_ •.. .· -.., __ ..1.--. i......... .,.-., -:::r..• �.. .•"'"' · . . , . .... , . :r · : J � · ..,. . .. . 1 · .. . • , ... _ "l -· c ..... ' ;;. ...,.:t._ --, � v .( . :-r"'"' . .... · · ,. .. .• ..... .. � � ,,, � f · "' . , , ... �.., . . . . _.,,. . . . . . :.-... _._ , • • , "' .... .. . .. ,. .... . • , ... .. . ·.:__ _ .. · . .. ,.· .-1.,. · 1 .. . , • . .. . . .. _ . ....... .• . ,• . , ..·:a.. ·4,- ...- •·.. --tr; • . . •..... .. _ , .., . .. ,-.... --.. .. ·1. , ::.... , .... ........ ...._,,__,� .. -" ·, ,..,.. r ,t" · -"'· -·· · · ...... _ .._,. ..., ..•. ... . __ .... •.... , ...•,_.,... . ....... ..,,. ·-,, · . ... • .. ..., ., ... . . . .... ., --.... . ...... < r· "".:f"'+; , • • 'T :....--... �• , • ., ,_. _ .. • _ • • • . .. ... -• • -• .., . . .., ., __ _ 1'• • .,..,. ,� ,. • ___ ! -.-. ;...i .. ,,. • _ _,_I • • ..,..... . .. _ - _,.. .,. ._,.. ",.. -- • " • .:J- . - •' t' ' •·!"'.-,.'---:"\ :-;:•.:.. �· ,. -�• • °"" .......i" . P 1 "" ... :J":� t.: , • • ., ,. L _. ... .,. •, ... .... ... ". ,..,,_ , __ '°: • '", � , • :.,A4' ._ . ,o..;; ", ,. ... I_. * -fl• ... . 0. -. --· • -..-.. .. I • • -• .,, • .. -. .. • • _. • • •, .. J • . . :;:� ; t �.; _.., - .. .... .... .. .. •••., .......... ...1...1·... • � . . . ..... ..,._.., • - ·-- ..... � -· ..·-----.......... • .!,.t.: · · :-..· ..;,;:...,.�;.r. .:",l..-;! • ..� - •-4 -...::...... .....• ,. _ .•�t--• ---, •·-•...• .... •. ..,. • .· ,-. �- - .. -, . · ·... - - ....... .... :....... ..'.!... ·--.. · , · ·-·--.. ··+ • • ...-· ...... ., .... ...., .: .. .•· . \! _ � � . · .. . . ... . .: · . i . ..,... -� -. . . .... ..,... .._!_�... -· .. .. ... . . .. . � .. .. .. . .. ....."....-•·---· • • .. , � . , ··-·•· ··� _ ... - J ..... .. "-.. · · -' J ···••·,. �"� , ., -..\ .,. . .i • "I'.. ,, _ _ I ....-..... ... ,.. :, .._.., " �'1:>"_..... _...1 .......,k .,.,j '",f ... 1··'·-:r.: ..•.· .•-i�.... -."Ii.,..... .... ....- .... _,. 1 1·r•�__ _ ..... . .... __ ·1 · -·--··· -- ·_1...·-":t':J':." .. ... . t:..-_, . . . . . .......·· r...• ..;r-wy -· -.. 4 . � .. ..:--:.. _ ... .. .-.1 ..., • ... t-'. .•1•1: ..... ... . .. , . _ __ . . .., ., .,.. , .. . ,.,_, , • .. v •• , _. .._ • . ._ ., ....,. .. 1 . ,_ -· · . __ ., ___ · ,. -1 .., . ., --· .• • • • • - _.-• ' • .. . ""'. ._ ,.. ..,__ • :, • .-......,-. • .-. -• � -...• , • -lt h ... • ..- • ..,,.�,._.'l: ·• . . •....... _. -__ •·__._ ,..)" ..., • _-·. .••,..-·-. --.,. •... ,.,··• - .,, • • . ---.. i -_. -r.,_,...,.,.... .••• • ..,..L.., · • .., .. _..,. .,..J•.,.••• ... v, "'.., ._,.... ..r..;.,. .. II:'• • - !;-.--.. • l .·'"' •,-• r-"" . ,..._ , ...,.,..1 .J.. • "C-t .,&1"'!:•...,...1•- ._., -._._. , ,A..,.•4•U -...,.. - ,• ..•• ,.. .. ... ___..,_M .,. • ,· •• r-., _ ... ,; •""--.• ....· ... ,:, ... .,.�,· -• _ .. =• r '"i � :-, � " · ,. • ,.. ..,. • .,._ .., , .. .... .. , > 1 11• _ _ ., • • • .. '"• ... .. , •. ..., • -· •• • • . • .. . ' • r.. . ·-, .. ' ,.,. ._..•. ,.. .....,_ .,..,,,_,. _.. ... .., .. . ... ..� � ..; ..o-r - .11, -. . .. .• , � •• -- - �...... --.... ,_. .,•.. _ .....,. , _'1._. . .,, ..., ....... _ · . ,-� ·,;,,'\_. ·-.--. .. ' --� -· . .... -·---r .,. .. ,.. _ _ ..,._. -._,._..__.. ,. __ �-.... ' ----• ,.._ .., · ·· .. 4 l ... . -, • _,.·� -. ,• - ..... ..·---.. fu• .,.;:;,·1.....�........ � · · -- J • '•'"':"'l ---.... • • •4 -.... ·.Jk. - · ----.�...... - -•• �- · · · ·•- "'. .::--:_. ...__. r ·:.r-- r..--..,#••• 111 ·-• -..-.. ....... ..., -l... . _ -. -�· �· , • - -, . . .. f • .... · . r ·-, --.. • .:S • • • �.1-� ...--. _. _ • .--._ · -.,... .,...j••-__ . ...... ., . · " ,.,....-....._�•·y, , .. -·•· ·... • 1 .. • - _ • _ .,. _ ... · · · . -..... , · . .. , ... . ; .. .. . . _ . .. · .. ... ... -. .. .. __ . .... . .. . . . .. .. . . ..,.> ...... ' • , , ... ....... ,. -. .. · .. ...· -,-... ....... , · • . .... .... ,. ,., c1 _ ;,, il ��l �.. � . ·. .-....""4 '---.,.___,.'" ., ,.,_� ..., ," ... ........_ , . ,_ -_.._...__. . _... ,. ··--·-- _,_ -'l -...,,. ,C •.... .• J ., ·· ..- - ...... _- --t ......·· ..__ :.a·-::1 ........... ., .... ,,•.,._ ,...._... ;;.::::..--,:,;:... �.,.,.. ;·.J: "• ........, ... .. ·· -,. , .. . ' -.,,. ......... , .. . . ........ · .... . .. . ..� -.. .... .. _ . _ _ __ .J. , .._ ...,. ... ..., . • . . ....... _ ,. · -.1 · .. .. . . .. . . -· · -.s-r , \ __ ..J . .. ... . ... .. � .. ........... · . .....-. .........-. ....� ...·��·-·--.. .. .,, .,. .,__ ..... ... ·-· .) ......_ •• • 1• • ,. • _ · .. ... :.:r •.. -t- .. .,,... .......--r .... ..... ,..., , •----· J _..,....,. .. _ ] ....it,;,_,...._ .. . • • ,.__, '!: .• ..... -··.., .. .. ___ ;;; , ... ;ot .... . ,:,,.. _ . • . ; _ • • -. I _ '• ••,..__ ,.. _ ..... _.....;.... . · -· · · .._ ,· .__; _ _, __ ,. • • , •. ....-. l.· , . ;,_1 · 1 ..1: '"' "'"" •• .._.,.,.. ..__ . _. ... -.., .- _• ., ....... ...• _ . . ......- . ..,._..,__. .. _ ..-...• ,_ .,......_,._ ...... .. .. ...... .. _i· . •r- - •-"• 4 .;_- . ... ._ ,,_ a,,r• • _. - - � _ _ _ _ . • . t"': • ._ .,. ., .. ., l'· , . . . ... , I ... _, .,._,. __ ..., .. -•1:-r, _ _,..-,. .,-. � ,.. ... ,.. .., . _� ,... -. , l .... . � . .. .... · ---.i,-.,�--. ,7 ---·r. �- ...- ·.--' · · .J .........--.. -- ..,..·_-·,� _ ,,. - .. ..........,._ ..... )�• ......-•.....,... .......... ... .... ....,. , ..•...... ..,,-··· .._. -·---.,. . ·. 1, .·. ... • . .-. .._ "' - -- ---.,..,.. "'�• • .... · ..... , -.. -· .. ., ....,. .. �.. · · ,-. .. . ... · , .. . . · • 1 ... . � "" · -�� ...... ... , _ - -...-: ... .. ... ...... · _ .. . . . . . : . _ . .. . : -' :" -:_ , · . . .. ... • ,,,� · t ."l . -.. .. .. � . . ... -.. . .. ,,. .. .. .. _ _ _ ..., . .. , _ ,,,._ _ · � · ... . � -._... � ... . ...... _, �.- .. . -.Y�. !' .�f. .... ·-· .. ·-··-· .. ..·�r· . .... ........... 11..,.. "i :...... �,.,#'., �,,,.�.,;..; :..,..! ... : : ,---· ......-4'jt..� ..J -.. ...; ....... .e 't'-=1).![l;.4 ·��:l;��-• '-.....4, ,..._! -. .. ..........., .... ._,..... -;- .._ ,e--r-, .... ..... ... -_....-,..-..... ·,. :,•""',...... ;.. .,.. .!-ti_,, ;;'�� .. ..."l"'• •4....••• ........ ·-, --�..,.�•_· .·.·-• :1_; ·....,,....·-.11 ... ...,,__., .. -·-· ... �, • . M_ ... ... 1, · _ •, ) • , ...._ _ , • ·· _ . _ ... · ' .... _ _ _. ....._.._ _ ... ..... "' .. ,. - :...- .. -= .. . ....... . ..-4,-....�_., _,__.,.__ .......,..r--•·l'"',I.. ·� .. ._._... '""" ""'" ,,. .. "l. J . -... ..__ ...• ......, .....--..--' .. .:;-j... ..• ...l. ... ::i�� ,';..J__..::rrr.. "\ ......!·_.. r...- v... --· ··-...·.:·. •·•� ·-·7 J .,.���� _..,.T ..-·.----·. ,. .. . .. ......... • .1,...,.... l'"· • • ,.·.,. of"h�::'.;:. , r,-.;;· • •. -1 rJ .A -.. ...,,.·.. .,..,.. .�.._t .....-"':: ·,., ... • --�.. . · ..... ·-....,.. ,._ ��,. �---.... , .. .......,.'ll·"' .·,. � �.� .....,..._ • ......c. � --c 1,.,.. • . ' , :e., -..,--� "· ___ • _,...._. :� · � -.. ·• _..,,.,.._,. ·· -..... f"l.o.>-• �- ·-" .,. ... .. . . ,.lo..... ', ..•• ,"1..•.,·, •11.,. --., ...� , ' 1· ·... ... ... . __ ·· ··•• ,....,•� •- 1 -:,.; "t-.... C.1- : "< ..,. , ..,u_,.._ .. ,...,.. ·-•..,_ ....,_ _ ,, · ' • · · • • .. .. .., ....., .,. •7 'f ,. �.._ . . .. . •• ._ . . . _ ........ .. • ·..- :o,i --<. .. .. , •....., ...J ; �-r--' .....,., ,..___... .... .. -�-·-:-=-:r · .. ...•...,., · '·· :..... �·.• .... ••, ...... - .._ • ..,... . . ..--.-· ,1 ,..-v..,· . • .-..,._,.. .. _., .....,.i.-- �....-.,� .,'",.'1 .,.A_-:;_-r_-. · -· r ""--- ...·"'"..' _ - 'e - ...· ... ..., · ·r , J... t,:•.,.....i.1-\ .....· 't!.!l", _.__ -· .. •-.." 1•...•ll.' ·. �..,..r:! ..... ..... . -...•.... -.. ...-..�... ..,. r. , -, ... -.. T.._. . ...-__ "'. ,;.;;., . -• .. .... ... . · J "'· ..- �.. ·..-.. · ..... . ,. . .... . . . • .. · • • . . , . : .:::r .5-.. . : ... . ... '� ;J· :.. �,-1r r -r.%,.. • "':l,:.: : . ., • l , I"\ .., ... c. . • ) , "' ' ; " '( , • _ ... .. ... ' a,._ ... • ., .. ... " • • • .... . • ... • • , _ . . , _ ,,.._ . . . , . B r•.. T:!' J . . .... ...., , � " . _·+-..�.. .,. , _ -·r-� ,� . ....-�� .... .... � .. ,..,. ,_1.\'• r • ·.,\.;. , -· ·. ..-. ..,,,.. ..... ""..,. .... • •• .. "' ·- - · -, .... ;-..-- :-r -=�:.: ..:.I.::,.:..,.J � . ... 41'-, ...--. - - ·· _"' *''""-�-.._... ....,. .:......- ...._..._....__ _cc_ · :"t' •• .1 .·. -_ -.. ........,_�.... .--·. . "" l� ........:J. T""W ......., 1 ·,....,............, ": �. . .. .J,..__ : . . .. · .! · � •·-: .. _· -_ .,. > .... � .,..::_ ... ... . .. . ... ... .... .. ·,. ';"!:( : :.. . .. "'r..· _. -, .. ·,�..-�-:!' • . , . .. . ... .. ,. .., • ... .. · •. : . . ..J . . ... ... , . __,,....., . .. _ , • .. .... __ _ · · _· .. _ ... . · ·� ·.., ..-...:.......---.. .... . ., ........ , .. ..__.._ ...· •:;,.. rt::--::-· .,... .... ..... ., ..... , ........ - ·. ..,.aJ.. ..: .....< :- , ...1-.. �----. _ _,.. ,.._,.._ _ • ·· -· ··- . .,,_.,. . ............._ .. -, ..,...• ""' ·,...... -._ . .... .. -�-· ,,..,. .. ".""_.., .. ...,....._, , �,..._• .._ � "-"' ..• ��'!' �-�-• :-.,. ........ .. ._ .... .... ........., .........�..--.a.-...::c:_ ..--.. ""'.a ...._ ..... • .. .,..... .-• ..,. . ... ...--... . .. • •...t .,.... ��·�_ ... .......,.... .. .,. . --� ·:-.,...,_ . .. .... ....1.-... .. . .. .. · . . .. . . .. . . -. .. . . .. .. � -. . t .. . _ . . ....r··· ·., ... ...... l" ' " .. .... i -r.... · · -.. _ , ,.,.... _ ..., , .. -..... "·-· ··· ... ... , . ---· · l� ... . .. .,. " .. �-,·::.:;J w · •1• l.# • ,-c ... ._ . � :-.... : .. -:. · 11� • .uc:i;.J ; . ..... ;.� · · ·-..i -_,._.,.1-... ......... �._,. ... _.. ..... _ .... ... _ · ·-" ,-".' . r..... .. �--- ..· � -..- - -.. ..• .. ...·".v.: -.....1.· ...-. ........ - · --... .... . _. , _•. "'. .....-. .. .. ,,,�t; ·...� '......_. ....., ...-c. ...., •_ __, ,.. -- . . -.. ..........-... � ..... .......,� ........ . . ..... ..,.�· ... _,., -,.�....,.· 1• ... ....... �,... ... _ .. ....... -..-. .." -.. · ·:a...'. ,. 1,..··, ..., . · · ., . T "" . · ., . · • : ... : . . .-•• .a · - ...•..•....,.# -:r; --r !:.. ..! > J.:._. �� -� ...... ... , ,. ,,. _ ><.,; r. c...t.:...�� .,.. , . ·· · . .. .. .....,, ,. ""=-·----.. • 1·•� . .....,..:"""Y ') c'l · � "l't . _ . .. _..... . ,,. __ ' • . • , • · · ,._ . , ,. • . • , .f. • _ .. 1 1:• r--;__:: _,·· ·-..,, ,, . .,........ .,... .,. ••.,,, ,.,. ·. 't� -- ·-·· -.., ·• "' ,. 'r . ""'.. • ••:,••-... ....,. · � ... ,... _.,.. .,.,._,,._. ,.. ..,., .._... ,/.... ,.. 1 ,·•..,. .-• ,-,••.. .· '� ..1.. .,-..-· � .•---• . ,n-. ,,. • •1 .,•..,._.,, ,.. . -.. , ., .._ ,.. .. ,. -� � · · ...i. ... • · _ _. r, " , • · .. .. ,. , . ,.",............ . ., • . " • .. . ... -"" ...,._,. -,-. .. , -. , � flir • ::r-� -t .; l :r t._,....... .. -. ..... .,.. .. -• . . 'l: 7 .. ,, ., ..... ;. r . .. .. . .. . · , -... . · · • • . .. . ... , ... .... -. r. • r · .. .. · ___ , �, -.-.-i ' i;:.· .. .. J . , ............... _ ... ,.. ,.-:.::: : . r, .,, __ .,. _ •• ..-. _ . .. .. ... "" ' .. .. • ,. , ...;i .. , __ · .. --· ··..,_;\-C"'"'" ....,,...,:,i ..,, •_,... - .. .tlt"- "..\ -1 _,. ,... ..,-..,..t- ..\-..•""...,-... ·"' ._"':f_,. . ....r· f.I 11 • ",:;:--•,:11 - t t,:..;;.-:,oc.t;_ t_�"l';.� j f-'G ,,.;,. .../\• •l•••S. .., _ - ............ ..,. .......,.. •,..... ...... . I' "" �� .-., . --�....-..... . ,--i!-.. .,.-., ..• .. ..1·....-•-•,..:.::, .� "'I ,,� _..•_�. ,.,.,._., ..,• 'S• •J • 1. .. •\ •..J .:::!11• .... ••... .... •,.. Js ,.,.f • w• ..... ..• ).__ --w ,__ • �,---� ......•�-;•., •.,._,.._.,_ ._--�• -., _ ,, ..-, . • .. . -� . 1 J .. , .., "J" . .. _• i JJ,. •_.,. t _ . .......... .. " ::r '1' -• ,.,, _, ._ ':t ,. ..... 'J .. ._ :..,.;;. .... ( l -' '1 ,._ ,.• :-" 4\ ,._ -· _•�• rv, ,.._"" •• • .. ? •• . .....:::.-. •• .... • •• · ... � t ·W..•.t 1 . .. .. . " ·""', .. ·.... _,..t,,: • . . ...,' 'l•"°"Y'>.,... .. .. __.,. .. � · ---,_,.. ..._ ""-"!I .. ..... ��·"l...·• .6..,:trw�nT2'T:�1�, "'·... "'!. :. :' �1 . l \j . -.. -;:. u.;:r.;i\ r•y-... •r t'· •�·'J· . ...._.,4, __ _,.....,. - -·.--...... .,,_ .,,.) _ ..__ � ,�· :s ..· �........ 'f......... .. �"""" _'l· . J. . lr.s.-�-· .,. .._.,. ·" ,. � ..,.., r· • . .. .... . .. ,. .. . . r •• . • . , ... -.i. -·-fl"'•• --..-· ... , .. ,,. . . ...... _ .. . .. ,. ..... , Y .. • f ••" .. ,, . -. . . . ai .. . .v ...... t.....�, - .- ... ,_ •••., _..,..., , , • _ .:, � .... · .. 11o, 1 "" "* ... M � ... , .,. , •. ... _ .. . ...., .. ( � ... �. io,.. &. .... .. , .; · ..... .. . � •r-W" �· ,.; . ..,_ ,.._..;..,1-• ' ,. .., .. . .. . . P,. · ..., ... ... . . · , . · , . . .. ,,,...,.... .... .,..... ._ ,• ;,.1• )· ....... ; . • · . . ,. .._ · . .. , , • • .. J .. ., -� ..... .,......,....._...., • ...,.. .__ . • V""o !jf, .+ t,j "" ,. . � ... ....., ....... ,.. ,.. .. _f ., .,. lt"..J ,.,. 1 ,.., .,., � .... " "" .. , ._ ...,� _..,. ,.__, . ,-. -""' , �n,.,. ?-. •.......; ....,. • , -. . J .. _ • •-· • .1o. . . _.._ ..• -- ·· • .. . f _ . • . ""� , a ,.. •r• ...,.,.. ..v",--.,1;!" •t, ., 1 •. • �,'::::!. • • .,...,,. . .. ' "" • • , ... ... • 1 ,.-. - � ·l_.,.. w•. . � .. • ,. ;:;t•..... �••.;. • ., • ...,;,. ... . t " .. · ' , , • ., • __ ,..,.,.... -;--"_-" ..,.. .11-o .,. ...,,._ ... .,.. .. ,. � �.,..,. ,,. ,. """" ...., 1 4 A't" ).., t.., ::.:,,.:, �!..-• ... ..... '!II ,.. ,• i,.., -'-!'f ;• .. ,. J ... r . . .... . • • . . _ . . . _ ' , .. , · ' · 11 •. ".-.. • •1 "' · .... • • .. •.. . :..::..t .'l ,:"1"!1'tt""" .,..,,' "•"'•..,• l "., 1.... · .... �··• iJ,.. • � -· .. , .'"' J.� - ..,.__.. ..,._ 1 ....._.; ... ; .• ,. .._i. ,.,.....,. ...1�., -.. ..:-., ...,. • • ._ ..._ .., _•.. . .._ _ • _. , ,.,...,.. .J. • • ,... • ,.,., ._.."'" ., ,.... .•.,._ "'_.. ........, ••,.,. ·.... .,.· ..;_ : ,.• , .,.. � ·...... _ _ -. .. .. -_ � .. . , -J .. . .. . ,. . .. . . , . .. .... . . . ,. . . ' . ., . , , ... . • . • : . . i r .. ,..., ,. ,. ...,r, ... . _ ......,. .... .. . • .,._ ••• .,. .,,. , . . -r ,,1 _ .......... .., •�\,.• .. . .. .. ,. _ _ ._. _... _..,...,.. N •----... ... ·._·s--�-..... .._ . . .. ... , ,_ _ ,. . i"4 •, -1 , ....... "'T"'" • .:.: . . .. �� ·w ... ,_ ..,.,,_ ... _ l ..,...._'I ,,.,., ' ' ;,:.�.,, .. . .... , .. .... ... : ....:: .,....•,•:5--........_.l,_ .... '; .... 1 ;._.., .... -1 -• "' . , ......_-,.. i,..., >t;'•-.• ,..._J.,. _ ;..:! •.........""�... . ... ,::;r,, ,.,- • .. J11"'l:ll....')'Of• :t •�--. • / :,: _� ..... ..... ....-� ... •�•-;.,.,4'I' -.. ,•..•"'.t .,,J •'.:: ,. .., .-.,.r__ _ __� • ,__....__ _• ,�. ... _,. ,. . ...•<.. . ..... "'- t "f,11 •• .. .11,, .,....,,. --":\ ' t ,.. �, •• 1...•,_• ,•' ,.,.. ;. _ ....... -.7111,. • ,- .,-.. • . .. · ' > • 1 . i';.,. • ""' "'j :-:i � : ... � .. :. ... ... 2 �r ... ,s -=-• .,.._ . i .... ... -... 1 ,.... 1 :c =t" .,::t •· .. ... ,. _,...,. .. , ,11..� _ ... •• · 1o ... . . , . ··i:l 1 . .. .., . · , . .... .. c .., ,., -- .' 'f :s . . . ,. ."'h""'. ., .. - , ,.., ..,__ _.,. - ..· -".. -..·..... .... . ..., . .... ...._ ... . '\· '· li'!"'. """... .. 9 -. ' . ,. ...... , ·•-"it ""'!'F'\J·•�<'l.11• �•• " ,. ..«-·• - ....... .... .., ·...··.. •0w........... ... .... . ... �-.-. .... •--. J , ... .. _ . . of' ... · . "' . . •• � ... ., .., ._., • -. • . · • ..,.. . ' • • ... ,. .. •w .._ .., ..:_. .. ...., � .._, .., .. ,. ; i• •l •:(O: • •># _. ,...,_ ... <111 ,t ...._\,.;...,__1....,. � ,. -. ... ..-.l,r, f '-� • • • .. . .. ..._.. '" " :l ; i , ,.... ....,.,...,\ -.. •:, :,o_.-l , ..,.__ .. . -, .. ...... l .. ., ......, • ..,. .... _ �-4 ! ' 4 " .,i. .. • " • ""' . .. . . . , .A • .. · 1 . .. , 1 -t ..., · l .. ·!� · ,,.1:-!-....• '. . ..... 1 •..,.::...c111--X , ,I .'••!;r · .b.. , !!·.,,)(...: �=:.;.:;·;,�:;·il �:-:;.",,•.,:�. � ; .;; ...,:i� � · : ::· !"'.-l.,.,!. ��.. -::-��� . .r : .,. , r •; :., ,. , �-la.:.: -: l o.. = i::-.::-::.r.; � :: .:.:.:i: ,:-:; -::... ,..;.-;.:;. n· ;-4 .!Col r. :1.: :.':1 � 1 i:2 ... • , ,;·: • � -·"' , · -:: r . ; < � :.-:..::15':,l . : � i :-::; 7.r : ;. • . ! . : • -' " -'-"r'." � W i • • "" ., � : ,' ..., . '/ . :C 'f.. .. ·• .., \ ""' .-.. • , ., -.•••...... -. ,.. _ ., � .. ,, ,, :--'!"'-I;".., .,. ..,. ..., ...J .i,, __ .. 3 l. I ::.-4. • ll.,. a W ..._ . ,. ... .. _,. ............ '• •I ,,. , •·• ·• •·-i: �[ ·�"\-t!"" ..,. ..., ,. ._ .. -'" _ ..,.. r .,. .. l 'l J . · . •.,-r-• .r!, -, . ,. · . t , ' t ,_ . , .. • ,. _ U • •'f ., -. ..r...., 1, .,. -i:-r • a : ..,.._ 1 •-.w-. • t. .B ...,..� 7 l -....,. , _ .. ,& 1 .. "'t1· r"v•• "'.....'l.._J." .., � .., , -.M• "' __ ., _. ....... _. � .. • ,t .. �., ;;t • ,, • • .. -;;;r:., .. . , •lf",/ ..., o _. .. . _ ... ""· · · · - �"' ., .. .. . 'l' • • .. • _ • ., · • . •• . . " . • _ , "• ... ... . .. .. �..,. • ,,.._ , ....... .... ...._ � '7 , ,. � J'f"t", ....... .... • ., . . _ · . . , _ , -. .,._, . • , .. 1 • , O\: .. . i . _,__,.. � . ,. .. .,... , , '" �i:;-:: 'r."' --:: · , ... .. .1-... ......_, . ....... .;. :;� . �"...,,.::: ,1 :,.... -�!.;, ...,,1 ;-=-;"'("'.A§ ..'..1:......�t:.!,.. :r,'.l � ..�,_ r,�...1 t.,.,�=-�l'f:"'� ...... i.=.:: __ ...... �\ � ::-- ..-' �...r� ,:,...... .,,. .., .1� ,..."" ....!t .r ..� �....? ���·�KA "': ':'!�,...,. ...,1-:._::; , ,.. ... ..._ � � ,-' ·1 ..,. t..... · ��. : • ' : !": � .� t.n..r�i� ... � !7.,.: :.,.::_.i .:.:J -= <t .: ;.� r :r::.::::, � t .:.-=� .:· �:; ! .l , .-:i ·�r.1�� � ..::.;:. , i J· ...::: : : ! :. , � B : . .. ! . ... "•' : - • • 'o ,. .... ,.� - I .. -· -- - �� •I. . ,.S" "' w• ., , t:; .,_.l""' ..,.,.._, .. "",.-1,1 _-1 •...· • .•..... ... ._. _.. . ,... ..,- · - ••...-- ••• , 1 _.. ..·_.· -· , ..".1 .... u_.J t.• .. ;;...,or.>-�•- ..,;, o,,.., '-,-�,;";, 1 ...--, --• "T· ·•... .. ,.._t_ -,.,._. ·--, ·-r..-··• •· ""t _ .. _,.,.. .--;a •......... ... .... ---.. . .. �;L,... __ �� . __ .,_ -.., .. .. -.._. _ ..... .l' r, � · .. ,r .., #·-·'),...'..!'.... r t o.l ..,, . .1.,. t....,..II.a ,..._. "" :�, .. •-: ,,i:·-,.;-:t.(!':: ,;r l .. , ·,..,..1 ,., ... -Y .. ... • . .. . 'I )f ' '" .... • l l �·y ""'"" 7 ..,. � •-•�.2 c..,. t : "' . 1o _. • .. .. ........ 1'-,...il,,...c . .. t\ . ,I . c " ..,. •,.. · t 1 ; .., � . . . .. ... . .. . J � . ' "" -·· -·• : 1 i . -. . _ ' , ,... ....!;";1.' '.1-: "'•; •t "' _._ 1J1L-- ....I <..!'� Jt _4r ...•_.•'f.. ..., ._ •,r-" � ' ,--w•4 .. .., l._ ,_ ... , ._. ......... _...... ..,. O!l ...... i: "\ u .,. / �,i� �I K.,,. ,_ , -, . •�• .... • t ........... _., ._. . 't -. .: •-, ' -,_,ij . ..., ,_. , .. � ---• . ,. , • ... · • , \ .. -, · 1 ' _ ... _ _ . \ . .. _.. _.', . , __. .., . . . . - -... . .. _ , • • .. .. ._ ._ .. -• "'i .,. ...,.-----,,. ·r_, .,., ""'.... ...__ __......... . . ,._._ .. 7 ,S t ..-,.,,. :. ·•�:.1 , ,l.tr._.' � .t.--.-J�• ,>.. .. .•, • .... .,� ·- 1 ..... - ... , .... v'T •l l -QT. � . :.."\:.r:.v,• .,.�..,,,., ..... ,. ..... ,-� ; .. . \ • • a ... " .., --,..,-......,....._.,; •.,, .i.• x� � . . "" , , • ; � . , ... ..... -� 1 � . .--.:-"'! . • . .., ..,.., 1 _"" "' .,, j r ... .. . �, ., "'· ... .,. • ,.,..,.,_., ,..,_ .. _.., , . ., ._ .. , ,_ • "" ., 1. , . · · .. . • .. .. • .. : . _ ... · t • " .,,.,. ... .. 1 \ , ..i ,.. ... . "" �·· � .. .,.,-� _ · .... .,.. . � ... .. -.. . . �--... � · '""' ... ..... , ... ..... r � ,:,, ..., . .. ; ... .... ...,. t ... :: : t 't. --� .. -.. ... � � .. .. . � • . .. ...+ '-·. 1 ....,. f• ,--.,-•.,i....,... .,..-,. _. 11,• .,...f.,.. � _,.. t_.. ;..... .,. 1-;.• .., •• • .. _ . - .... . ..'l: ..t- . . .._. ,....,. - .. .. .l -...-... . . . -• ... .. 1l _.,., t•-:•...... ,:; , -, °Z..,,. , -.,.;. I:;,J , ·..J.......,.,5': �·,., ••-·<t-• ,.•-,• ..-_ ...-..- .�N"� , ., ... · • . • "' , .. , .,,_. ' • .. " -....., •,r.:.., .. � • • • .. ,.,.._..: ., .. ....• , • -•,..:t' "' ... . ,..... "" ..... ._ • !l .,... ,.. , ... -:7 , , .,.. i 1 t. "r _: ,. " ,. .:1,.. �,_ � r ... • ..., "°' ... .....,-. u, : • -t". , i!f. l '1 .. L , • "" ._ -.,. u . t !I � , . ,i • ... . . . . ii . _ .. """" . r, . .. .. ,.J ... . . ... .. . . : . "'"•• ":".:'°t _ .... 1.,, .........��., .... .__ ., ...,.,� _,• "'!- • ••>- ..,.,.. ..., ._..,i 1 ;• ... ... . d.. • •• • •l"°•_ ..,...,._.,.._ . .- •..,.. • -t ., � -.. •-,.. �L .. .� · ...""(� "!"' 4.., t' . •. ..".J':",.'!�.... ........ ....lir' '.\ .• .., ..•....._ .....,........., ...... -.�� .. .. .. .... .._. ..l ,..� • .... . , ., .:-. �-. ,,...,..._ __ ....... _r,r._�,, - .� ,,.,,_ ., •.,.. _. ..� ...,.. rlll, .,_, , -f..... ...... ..,-�,.f-iol ., .,,,, � ... .••. :,t -4- •• : Lli · "t "" • • ,. .._. -, • . , ., • • • • � , . • . • • . • _ • ,... -. · • ... ,. -r . --. � , .., .... •• , ..... . ,,....,., . ..,.__'r-'i 11' . ''!;,/ .. ... -�_... ,......, .. ·• ,.. _1,, , • · -� ....... 1,, 1, I .. _ _...... � _. ._. ,_. .., . _ ._ .,.. ;., ,_._ ""\,. 1 .......,;t "1.,._...... , . � ,.· ' · -,.T-• .....,."'� ,.. � :.J '..._. "' J -' r .._, .., ,. ,..,- .., _ --.. 11· •,. -;J ._ ..._.._ � · ,.. , :i,� T : :: .:.t.'l� � �:, •• �:l -:,.,.;. _'t ..,.,..:...., .'1 ·".J V. '- -;\":....,...,,._ , _. .,_ _ _,.._......, -• · __ � � ......� ,......,�---.... •. .... ..a "' ,:"" .,.:;),.: ,:..... ....� .4 � · .-.- .,• ...· . .., ·-.. ---..'lf•..111 •"! ,,--.._\ ;. •,.. _,.. ..,. ., ,��,.... ... -;,1 · .. _ .. .. • . . . . ---.. .....-.1v -.� ... ; ... # . , . ..,. .,. ., • 5., .. , . _..,.. ,. _ .... ,..e .. . .,.._ .. .. ... ,. . · • _ l • . _ , , . . • ..,. . 1 .. • • • • ..�..,, , .or . ...L • • • . , . _�.., ,.... • _ -"'...-·1 ....•_.. ,>-•,s� •All:!•,. .1111 • ..,..._.,.,_.,..;; ..., ,. " J__ __ ....,..,_..5 _.., 1 ,...., ... _.__ � • �• •• • i • •·t v· •·� ,... ,�.. ··� _...-,··u·�_, .,. _ ...._l4,i··< • -··. ....�-� --.... · -- •• ,..., .,. ..._., _ . ,.· .,.. ,,...." ..,.,c0, ._, . . . ··�· ·J • -· ...... ', ..·...._'l.... ·-,..,.�, ·-.� -•. ::;;..:: 1" T -'l '.: · �·,·-· , . ... • · · -- ...,.. ·· · � •:L • ,. • . • " · • ,. • .. "t . . .. 1 • .. .. � , J .. • -.r"° . .._ • "" w ..u •, '• Y . ..... ....ii ,, +. , •• :J'� ' .-. -\.� .... ,�, .... ....... .,._.. . .... • ., •• • ·-"""' ' -.,, -�, .. • '"t -�• • � • .•. · rn � . 1 "' � . � 1..-. ,��-:1.-r.•·-. --·- r.·� -.ir. ,.. ..,....;..-_,.._ '·•• ' ,��:,.:i-..."�--� �- :$..Lt:• .., 1 ":. -� -� ::.'G t:!! _, l:; J'::'1���.: .!..J - - ·�-;: l l� ..1•;;•'2• :t�•t � -,,15 ' ·;;-., • ..-rs. .. :•·� • �":t •.t.lf,-r. ���'L' f, i�IZ' :.t .. ·:i:. � . "1 . · . . �� :-: :..J�.. � : .,.,:• :.-:�.,, ..., :: '" : . -� :;1 -::!3i!: !i_--::!. • Z .!" ....T. � t.. � !;r;.: t: I "! . :: .:r ... :r.:t!:; :�. ; J � . t . . . � 1., · .. �-------� .. • • ... -� �- ..1� �,ffil ......._. ....,......,,..� --.. .__.._ • .,__ ,.,.-•.y•. -1 "' . · · ,- ;t·r-• :: . _... .. ••..-r •· _ .. ·.-� ... , l,•h,i,, ... _ _ • • .. .• -.. ,.1.,.,.,.";I'�,.• - �" ��.. . .-��. -- - -•: 1:; , . . ... . _.. ... , .. ·11.=..,..:i' t; :.:-i 1� ..: .... �..I � . ... ... .. . � ... , .. . .. -�..J . ., .. · • .· · . • .. , ." •..,_-.. ...,. - .. �_,.u . .... . -",..,.... ..... ... -l� . . .,. � ...... " . -..-• .-.. __. ,. ... ,,.» . ... �....._ .,._ . . ....,. _ ... , . .. .. . .... > • • -( . ,:: _,._.._ � s-- ·- ,.. ., .....___ . � '! .,. ..... . .,. r" I P" r _."' ..,••t• � . kv _, ... ... ... .. _...... ..,...,. .., -"'·1:.: .. , .,. ... .. .,.... -I" -.. . .. ... .. . . . . . . _ .. • .. " ,... , _ .. .. · . . � .. �(';t :t ·· � i> -; .,, · ...... : ... � 1,;; ...,.. .. . .. r:ffi . ,-ii • !'I . . . . • · . . .. . -1 . • , . .. -� , _..,... ,._ 1 .._ __ .... .....,, _ ... ...... _ ,... q_ � . ... ..... . .,... .lli 4!: ... . . � · � .. � G .J. -. _._ • __ -,; __ ,._,..,..,._ y � -----... , •. • ..a,,_ .,,. .... ., . ... • • ... ....u...... .. ... .· •u.•_ . , .,,., .. ..-� .... ... . _._-.. -.1. : :.;- '�. ...� "':::t·�- ........ !. I _,, ,�� Y "'"'·"'--.� .. ....... -.. --... ., . .. . : '9 " H•..., ,. ; •:;:.:�• •"', let • ,-. .'• :J . . . .., . .,.. b ..---,...._ ..._ ....,. .,.., . "I! ....._ _ ... .... • r-r_.t.l ::::.=r-::,� � ....,._ -�!'l._.a-r-• ., : ..... -· .._. • ..,,,....., -·.-• -&"""r ...,_" _ \� �• ll-'"1 ..... _- , 1 r _.-__ _.. ..... -r -a-......... ..,.. ..,.. --4.-.;V •., .. __.... .• ._.__ .. 1 ,... -...• .....__ ,.. • ..,• .,._ _ _,.J, ,.. - ....• - - ... ,..... ,. ... .ar-'1' • ._.. . �:;,;z;;_-:=• ..._ .;: _..._. ""1" �t t •� f f•u ' yfc:, 2 •t ,, - ;:. . . . .. . . _ ... , . . . ............ . ...... __ ... _....,..._, '-'· ·-�, ... .. .. , ,,._ • r_,..._.,.. ., .... " ':' .i _.,. '.1.. ......, .... . ,.... _ .... . . .. , ... .. . . -.. .. _ . · 2.m � � ,_ . . ._ • . . · • 1 . 4... " •••;,:• ....., , .., _.-IJ ,.,,.,.._,....,... ....,-_,,,_,,,_., -·� ':t; ._; �--'_.. ,.,. ,.,.,.• t ,•.,, -- ...--�,.-� .... .� �.....:.;,� •,... ! ,.tt_·,_1, ...I_, - --, :r� , .. ,�.,.. -....._... 4-.:....--•...::�..1 �.. · ·�....· .• ... ,•..,-..�...,1.:.d'.,f;a""!dr .'9...· ....... . ......... . _ ni� ....... .. . .....• ..... , ,,, •. "'•"-� "'- .,...rt __, .A .. . .. "....,...... ....!,� ...... .� ... ... .,..,.....,.. , ·\I'• •.,,.._, .... �� -� _ -__ .4 _ I" ;::r"' .:, 4.3 ,t'"3..... t... % !-·- ....�.,� ..... ...-. . �_' ..',.._ .... -·· L ..�-:t_') '.-11!I•2•.,,-.. . "" . _ _ . -..�.J:: .• , . ••1 ...... " 14 ... ff 1 .. _ .. • _ _ ,_ _ ... ....... < .. . ... l ., • .. ... • �-.. . . .. . .... ,_ . .. , · a, 1 { .... .. 11\ ... , , -.. . .. , .. � ·"' .. ... • .-1 .... , , r -..-.. · ... ... _ ... -• • • .. .. , • • · . .. , • . • · ., .. . , ••_• ··- • . •. ,...• . • • • · ·, · · ·. ·. ,. ·_ ,. • , • . . _ , . • ,:.l , • E ,. · . . .. .. .. . _:; r. ' ... . .,3 l'"''" ..r;'r.'.-: ,.._: · .,, , • ;1�.., ,···,··r--•o · ··-·-·� · -.-• •· ·, ••· · ·· . . .. , • • ....,. ,.. · � "· ..... .. . -· .� .. _ H, • ·...,.. ,. ...._ ,...,,..,.-. -il.. .... ..t..�.:.1•... � .1� r .... ...."', -J. ...·� .· ·�...w·..1t ...,. •.. . �-.1. 1 .. ·� t . ..P,"•• ..;>1...•....�. :s..·.:,1...--: · ........ ,.__ . ... , • ..,..,,_,_ _ r.: ·-..,..• .., •......1t1 Ufill,; , ..�.., "� """ _ ....·..4'"'?1� ·-.., ....·.· ..'..._ t!""'. .t--c�, ...,....,.._ ••!j • .·� i:t . •i ·.,.• ..•i...- ....-J _ . . ....___, .. ... . CA � '*"I' ..... r �7' . .,. _, -t \ . 1 -:. .. ..., .. • " ; . -r-.,. ....._..... ... 1, ... .. .. -� "!! :..--.. .. .. ... . .. i., · . . ... .. · ... ... � , ...., .... · � " ... ' .. ... 1 .. .. -··� -� :-.. ... .t."' ,." · ...... .... .. ......,-...,... -. .. -... ..... ....... ...._ ". _ " · vi' , · •· - ... ........ ..r. ..':' ·..' r.---· · ....,xtr:« ""' ·.. .��....r. ·...,- ·.-- ... ._.. ......i........ ��".."_,"• .. ...,. � .- ... .. _., ..---. ...--...,.. .... , ...... L.!"....._, •�.,, ,_ · '·•••, m "1'.......a�•,...,___; .. · " l·1 ·... ".. "". .,.. .. . . , _ __ S:.: •i .. : ... -... :.a � ,;.. � c t �t! . .,._ ... .... , ,-;:, �� ,..,.. ·. .-- ....., , .. ! . . .-. _ "" • . _ ... . - ..� ", �,,.. 1 ' . , " . -. .. · .... .. u .. -a,_ �,..,,... � r .. -� · · ' �.i: ... .. � J . -. : -1/4 '1. " ' . .. • _,.-� 1•• • •" • 1. . -:--,,,. ..) ... . .. .. "' . -...i.i l" (.1� , · 1 .. · • • . .. -• . u ' . .... _ " I I" .. · :· .. -:ii . ;;x-::•.r: �-t ·�:. . ... � ,. .. .. . � .... .. . . , . . ..... ,.. · L ... ... ) .. 1 _ . . , .. . .. . . . ' .. . . .: . . . . . , . • .. · , . .. ;::, . , . � . •·...,. ...,ffi '•-"'1 ... . ".,.. .. .� ... • ..--<•·1 � j ·� ..,�� r.:i·•.cto1 -..,. _,..,,r:i.. 1,:,· "�l • r:::.:"�� .,.�..,.,.,-.. ,.. .., ._,.� _....... �. *" � .. �.,.:,•.Jl....,:i-3 l ':'"•.\•: "1· -.1,......,.. rw•..-. •--...," 1· 1 "'.,_ ...•· '.__.••., •·. tru -1 _. , -· 11r ... � �--:,;_J · ,� -· --,��· .. ..,.- 1 �..,..... .·. ...\t..1.. .... ·t· •·t ,,.,._. .•1:t _ • ,.,.1 � "'i,. �_.,., .. l� . "..· ,,. •..·• • • •!-•• ·".,_ ·" 5, '• ,, � _ • ,.,. &� r�.-·,.r;..r, .,, ,� . ,� "'· � .,. . ,,. � .. .....,.5�.., • ,._... ·•,._-, . ,. • · , � • � 'l r.. --· .. � .. ;,, ::..- ;r.:f., :-1-::r . .:r.:;.. : fi.:�.:: -;.. ,� !� .�� r.... :• --;� �l� 3 r., · :· ""!f :..:. , i:,1� tf91·1.i.-.:::r . • .• � ! i :"Jt:..r :.� . !lt,:t� . . ...�:. l �:.....J, ..rr.:,i !"th.. 7:-;, a;-:-i }; � ;,..,!!'-:.--�:�. .. .:-r P� :. . . . . • 11• ,f:,: ,,... ... . •111•. lil : ... ... ,. .. . , .. · . · 1 . � .., ,!'t ..., . " 5 . t : ' . • • 'V _. ,, '., .. •• . . . , .. . ,. • !1 • ., • ¥ •· •• • • • · • . 1 • � · • J · · _ '...,,. .. .�u - " , ft!''" . .. , ,i! 11;.- ir. • .#f _. _,.. �• -r::· ,-r.:J: · '! Y -...''r, ·•�• - "· - -.. � • ,; ',>�� --,'-rp , ,c •'�::l • � i ,:.1 -.-tun-= U � ,-·... J::_- -:-:,-{i f 'L � ti?�� Ii � t.:; , ;, ;:i· ;co : :1 :�r, * !�;.: !.:!�! �� ;\"�:-t¢,! �u �� ; � ii! .. . ;1J 1. . 11� · , !�:i;i; rL : . 1. � i'.ei1.i!i t 1 ; .. ...i ' .,_a .. • � j"w .....Y,,(l- \ . '1.'"• -;a\'.' t ·,... w•' 1 ., ,,. , , .... .�• . 1 c--, � �:.!.( " .. ,� .�� ..,;j lJ • ,.....,. ., . ' -r. •:fw"'l1. . ,.. ..., •. .1•• · ' • , • .,. ... ... , ...·,....• . _. _ , , ;. · l . • • • • • • •· L•• • • • ' • •. } i • J ·)' "I ... • • ..,. •.. ·.._ • .� ,_,. ,, • -"� ,g � •'• J�C J1 f.,•• ••• {'Jl:r'.fflJI•)'i. -,.., •• �.,. s . _. � .., .,_."1' f. � • ·•; ..,-' • •...,..•• • � ..., ' · ;J. -. vr',. . .. ,. -, ...._., . fl .,..... illH ..-... .. t n ....,.. ... ...., . • . ._ · \, .._ • -... . , · ..,,. · · ' "'"""' ': ,r - '�•· - · -..-•� , �·• - •.1tr.,,.• • • •- , ., ,.,,.. � . .,• ,...., . _ .,.. _ ........,.,_..,. ... ,. .._ ·- ·- -- .. ........ ... . .. .. -.. }! •• ""·-, .,. ,.,.... ...."' � '..., ••-ser1 -4".l'fl! • t• •-U mt "� 't:t •�l;., � "'· '.,., • �·'"!II\ -· ··� • • -•• ... • • :-!' • � • • t , � •>• " • I • • 1, ' " 'JI !i -., H '--' r• � • 1 , ,. •• •• � ' • " . \,•, • 't �.... • �-'l-' .. r S < ' .. , -· . . • .. ...... .,, . .. .. � ............ , ... _ :-JI/ • , ... .. �rli · .... .. . .... .. . . . . • � !�..ft 1 ..-trJ. '- "".. - f • t"� ,...,....-b ..,.J'" J "' ..'-' N "), �t ..... ...... . . 1- � �'.I l \ . ...,....... ._ -.......-.. .__ (\.•....• .••.. ..., _ Jt;•\11'""1'1 ,... � ' , ......... .. i'• '� • • ._._ , . ,,_ ·. fl,ilf' �" I" · .. , � . --ii · -. • -ii • · ' _. . : . .,., ·. , :IQ. � •: -r :..: 1 ,,� ;r�, .· i: .':.�;' �:-.; : r:.. ��:l :.�� , �� � -::...-:...:;.: ".� � : '! '":'.' ... :. � "'.::..-:; ·: ;��,- �J::) •-:)& .•:! :\ , ,. . re,, • l' ,. ,t, ..., ..... -, J \.��.,..,.,.._� ... . .. .. 1. �.., .... • ' ' .. "...:I L": ,. . f...1 1 ..·! \l'.t: .. �:-- ,.,. �.ft"�' f t : · 1� ,;- �. 1�:r : s .:..; � 1!.. \f ::.C:� , · r....�l I"".

r.. .." .. ��� .... fi �-- r-, -� ----........ ,. , .,.. �_",_.,.. -1� . . ' "f·••,• ... "�•.-•� -emt..,..-.. . ·-·a.....----� .... ·,'!..a'.t..� ·· Q·"'·---..- -- .,..�,E--... ····-· ......... � ....,.-,......�..., -�.- ....-.�--� r: ... .... .. � .. � , . � -1:--.. ., . ...-... .....- .. .,. ....- .. .... ,. ,�.. � \ ... " " � ..... · rr-, �-r .. ril:', .;.:.!;i�·· ���· ,. .__1..,. ... 1 -·-• .. , ,..,_. .......... • •-= •r, •,---. ..�•._.-'--1,� � ,.-:a. •.....•-.-: .. • ..., ... . ""' .. ... _ ·,4' _ ._... _. . . 'll.2' �·�-� · -�-- •f' -..... ,-;, � .. -...�-g-· ;. . . ,,•---,j• · ···�. ••--- • . � · -.. , �-� <-,�'�· --. .. · .... ....... -l.:--... • -... • , .. -... ·� � · � ... · . .. . · , L;;-ffi¥.- ... ....·� ,,.. .. . . . ... -: . , � ... , --···.ii. .. .. . ...., ,. .. ., •, �* ,r.•- �. -; -:.1 !', ,j-. ,._ Jl -· ... � -, � , -,.-· ,.�· - • ·i',: -"' .. 1 -- ·- -� . ....-. ..� ... ... .. .. _... --1-· •.l...•..·-.... , . ... .. �..,.......,. .. .. ... .....,.,....,� ........ ""'"' ....... ___.._ _ , .. ... ...._, .. ... _ ...... ... ... . ...... . "" .., ..�_,., .., .. ,....,.. '-">-;'I= .!..I"!"'· •,., ,�-� �...... ..... ...-..,-. � .. -4--· 1:1.··.. -·fl\' :r·. �\'-�.....

11,..

j

•

Ill

1

,*..

· � ... ,. .. 'Ii' ·

,•

\ �� I ,... , _, �, ,1;_ •�

>o•

1,,.

;._ � � .__

..-4 • • • .,.

J

L-

••�� �-.- .- ,. t' � ...:\ .. ·�· · · ....,. I �

,

...

i

• +•

• - ..

�

...... ., � .

-.

•h .., ,

C..'11...jf ,. A

J

-.,.r" 'l ._

!.

i. - ·

: ''� '·:

��

,/).41

ri.. ,.

�_,,, ,,,

,_

·n

·-' · t

"""' ... .. .. _..... ..

, ;' .

... . .,... .

£

H, •r•

1•

C

..... .."

..

• ••

m. ....,� rn'-"•f'f=�.1''I'..,,,.�....�....�·.... �, �... '9

•

•.._ -,,.,. 1,

...-•r••

... I -· ..

l !.

ff.· � •i � , •

.J

a

t-i

<t' , •

IJ,,/'\.

�

.. ,• . _... , • .,... _......,,, .. 11,. . . , .

. . .. . . .."'

...

.

. . . .

. _ .. .

...--

• •

,•

•

�

A, .

• r' •·'I'"-

•..-.

. ....-... _ ·

-

. ._ .

4

. .. .

.. -

I

"' ..

.v'IJ1' . ,.,... .. ... --t"l., 'I> ,., --•-:.

: ;�., ,•.-.,� " ..• 1

�

,, .

............. •• �

. , .. .. . .• .., , • ••,,

.........

-

�

·g

-

..

,

�

- . - .....� - ,

...�

_

.

) .... ........,.\ .� ·;;..,'-:' •

_ ....., _ _ _ ..., •

-.. ... .

-

. ....

. ..

-

.1 . ..

"

,I

•"y

--

... . .,

_....

_.

. ..

,.•

.,.

....

...

�·

·

• • ·�· ••"• "-•

, ..

. . .. . .

,

. , .... .

•• • •, I .. � ' • •

-

.

...

._

.., •..,

· ·=-•· -.::-.1_

�-Jo---... ......._. . .. .. ":"', ..�· ·· · ... _ . _..,._ ·- ·---........... _

_ -· • ·

• · - - .

� ..

, ,..,.__ __

••

•

•

. -.

,

.

.

.... . .

.

· . . :

:.

- \'... .

_ . ,,

· ·

. ..

•.

.

.,1

, .

...

..

.. . . .. . .. ...... .... . . ,

,. , ,

,.

.,. .

. ,

...

•

...

•

. ...- ... _--

•

_" '

�" :. :

.

.

,, ...

�

:,

•,

.

: .. . .

;

•

: � ·

.

..

.. ..

.

,1 ..,

o<I _ . .

•

••, ,.. . ,;: •-• ,.,_,, •

4

•

·�

___

- - -.--,i · -- · ·

.,...____ _

---

. .

.

: - : . .

.

....

-.• • •

.

,.._,, .......,.� ...

.

�

•

.

,.

.

•

.

.- ... .

,

. -•

"'

';

·-

.;

· · · , -..

. . ..,,. ,

" •

• ..,.

• ,.. , ._.

.....

. ... 4

. . .. .

... ... .. _

-- - - ·;: ·

:

·

.. . .. .

, ..

�..-;.

-·

·

\

•1 •.,,_ � .. . , .J .. .. _. ... .. •

•

..

..... ..

j..... ..

•

,0

•

.,r .. �

·•

'

..

, 1

1

• ·

-..-.·-.•

•

"

�.. ,

. .

-

'

....

,

.. ..

..

•

J-

. . . . .. .

• • -..•

o.

,.

•

r,

..

•

..

.. . . ) • .. ... . . .

•

•

..

.. ... _._

.... . .. ..,._ • •. • • • • . ••

.. ..

. • ..

V

• .. .. -,I'

• .,� •I .-

..,

o,

•• • · ·-

• ,...

h••

....... .. .,

• •

-· �

...

. ,.. ¥... . .

I"- •

. .

. .,

,..

..

• •

\

•

O'

....

.. ,

, . .

..

.

.

...

.

.

. .. .

.

..

...

.

__ __

.. . ..

•

.,.

_ .. _

.. ......__ ,...

. .

--- --

.....

. . . ,1 . . ..,.

m·

*m• •

� , .. .

�if,,,.H.' ·i �'rP��j��f:!lTt��!·�� \�.

..

. ..

· ·• ·• � \· ' . •

....... . ...

-- � \

,.... - -· ·

• _,_ •

. . . ..

•

-

-- :- -: , .. .

•

.- _

" ., ..

., • .,,.._ •• -..,..,•

� +

,

-..�=:...

� . ... . .. . . .. . . .. . .,_., ,., � · {

,.

•

•

-·

•

.

......

•

.. .... , ••\ .... .. -

•

.. . . .• . ...

'

•

--·-.t '"" , -, .. ... . ·,--"'(""',.... . ..... . " ----.. -...

_ _ _

. .

- - - .. .. . ..

............

--

.

. ....

........

. .

.

. . . .. . ,.. · - -... ... .. .._

. .

•,1

,.

,

-,1.

...

. .. '"'

_. · .. r 1+•

11\...

••

._ .

-·

-·

;"

• • ••

. .., _._ _

. � , - - �·"" , ....

. .. .

49... ..,...,,.. ,._... ... ..,... - • • � .. , .. ,. • • 1

-·

, ..'<[ .

. . .. . ... . . . .... .. , ..... , :;i, .... •

i, -� .. ...- •• • .- .

-T .. -- .. -· ...

#0

- - -"-

k .• .

• 4 •

4 of � ,

..

,:P ._ _ _ ...,.

,.._

. .. . .

_..,,,.• • . �.... .. ... +

. ......., .. ,. - - .., -

•.- ,_ / ,�

, .

Si•'iJ•� -. :.. - ,. ...,.,. , _.,,--. .. ,...___ ...,..,. ....... .,1;

t

_

. .... .

, • . .....

, , ... ..

"I '

"' • ·1 "' ' ....

\+ .

. .- . ...._, .. • J •

:,�=�

•

•

:.::--·1 ... ......� .... -............ _ ......... .. . ..,�. -...-r-.- - . .... ..,_,...._,•a._.., _ l,,• .L .. .

\s· �.. ,"'. ..

--�i:�, � .,- ' "•• -·· ..·=� -·----· ... . ..�-.... _� -... ,........ --...._. --......,-,..i_..: . ��u,•, . . , --�· .._ .. .....,,,. ... . _ . \-· . . - -· ...... as-· . . , - - �-- ._ ..-... -�- _..,, ........ �.. · -,-_ ....... ·· ·.. -� . ·i----.... ..--�--· .. .... . . ... ,_ .� . -� -

..-.

. . •il.. �. :--, �-.. �.... . . ....... --�. �·�· ==:t.. . �� ,..--¼ij .. ffil I. -· · · · . _ .... .. ... .,., . .. � ... � ""r: ill! • � ..... , n · . . .., ' "I' .,, .,. .:s. ........ •• ¼r ..._,. · .. ·• w .. _ ..., --. � ,. .,... , ... � . ' ........ .. . . • . -m, ·:·�t � r. � , . . .,. ii, . ,,,__ ... 51,. . . .,.. · •• • ... . .. . .. .. . _,.. . .,.....-.. ...,-.,......... ...,,,• m15_:., . ... .. ..... ,._,.._ . _ ..,. ....,,.. . .. ..., .,., ,..__ · ... . -·� . ... ... f�• i ·�· .J � . j.-., . . . ..,.,....,_ -• .. ,-....,. , .,, <#4'1 . � if: · · 1u ... . .. .. .. . . " . . _ .... � . ... .. .. ... . . . �-,..c --= � : ; I · � � -ffi-E�--:...� ,�:: - . l".... · . h . ,,•• Jt.1::-: , ......jf., :,..-:-,,,,:.-,, .. ! � ;;; �,. r!� �[;��--'f�- • -• 1:..:�'�� � :� ::"'.� . 1 !H:1' �· � ,,."&t il,.., ·r.�•g�·•·... ...... ,.,. . ...�" " "I"'!' �r,• . "'!,. -" 118. ,.Jc ag � , .,,, .... e..... - "· .....,,. . � :r-;.:!::· · ::c!.!!:1· '.:: • ��j��� 1� �·.�: : ?t� ��� � ' �:r: � ;�� ���1 �-: · :� : �� t�� �1�r . k�;J� i ! � ��t. �?�� � >i�1:· . . . �l{iI� ; <

... , ..,, .. _

.-..\

•

·----c--- ---.. �....

_

;

: .-....., .. ...-

•

-;

.... . -•

_ __ ... .,. ... � . \ ,. . . �

..._ _ _ . ,

....

..

:r- · -,. .,,... - • --L ••

.. . ,..,., .

_ ..

t

. .

�

•

• -.. •

. . .

. ..... __ ... ...----... .. .. . . .. . -·---.. .........··-..... __ )'__...._..... .. . . ... . ..., ...-, - � .. . · · ... ,, .... , .. ·· ...,. __ ... ,., ... , : . .. 4'____ .· - -J��--·� • .. --� ----=

.,., ......

l"l .., -' r"e - • ., ., ..,.

-

. .. ..� •. J

.. , J .

......, .

1

• • ••• -

, !'.(·-- -- . ·- -· _ ....., ..............-.....�--.. - ....._._,_"?--..·-·-�·---�-

- -

.,

..

-

' • - : -" ' • ,, ·. ••. • .

1 .' "

-r··- ..-, ---:.--------� · - . ... �

'0

_ _ ,.

� . ... -... .. - . _ ..

. ,

·-k..... .. · · · - • ., . .

•

•

..

-1 •

I l"•I•

.

.....

• .-.-

• • .. ;;.; .- ,;;

..

•, •

,

..

# . .. ..... . ..

-4,,.,... T , . !f ... . ....

1 ,i,.

-

.-

.

.. .. . ...

.. . .

.. . ,. •

. . ..

_ ......... _,., , :

,,j ..

-

I

•

J

.. - -

..

�...: ,,. .;"

J · , , . ........ __,,.. . _ .. .. . . . ... .. . ..... . ., .. . _... . .. , , .

,,

•

• ,.

• .,- _. 4

0

- -

----I!

- -·-::-- .

..

• •

.. ..

• •

.:: .. ,,, .., . .. ........_.......... . _ -.-... r··-----·-·- ""--�--..,..__. -r....-�..,,.... , -�-

� · - � - ·

• .....

J

-=-=:::._...,:"� • .:• � ·� -:: -:; "'' . ...;.

. . .o .. . ••

L__. .. . .

-#' • •,.. , •

*.._ .. ....,.... ..

,.. . #._.,_ ,._ 'I. , ... · - · ·--· ..

.....

•"•· --.--...

I

.. 1 --. _ _ _ ••• "?

--:6......_ ""I . ..

"l

• -:- , · · .

it

. . ..

•

• •

.

, -..., · -..

; ·•• �- • ... .'

• • • .. ...,.

.. .. . -

�

••

. . .. _ . . .

•- -�.

___ .._.. ., . ,.--.... - - ,

•

•

oJ

-

. ..

. .

..

.- " " • ,__ .

/r•

M'

.1, '"

Of �

.

.

I- '

__

· . 7

'

. , .._ ,

.. . .

. .

,o

f

. ... .._.....

-·1. .. .,

---- - ,·-

.

.

�= : .,..� --:•-· '

... - •

· , • •, •

.. _

.

·,

•

.

�

.J • .. .,..... ,

- "H' , ·, : �J �- .. :li?.- ' @ z ...........-,... ..., .a.,.. �·-�.. ..-� .... .,,_ .. � ..-. ..... �'.'.,.... !i • =r. H .·.·re --····1i:;_.... -,·i:··· 1-··r�

.. •

....

.

.

L

..

_ ....

. . . ,

- l· - -

4

•

. . ,. ... . � .. .. - ...

,._..__...,,... -• • ... ..... �� ..

. .

t

,..

*

•

, ,._ _

•

,

i- :__

r--... .. -,; ------.

.

•1

"'• .. '" 1 •\

o-

�---·:1. .,. .. '"' , · � --: :- �. . .., ...... -: :. .. i·,. .: ;

-

..

.<t- 1,.. .

• .> .. .. _ - ......... _,...__ ... .. ...... • ........... .. .. _ _ .. , . - j ......:-. ........... . ..

,:/1'.__

-

. . ..

..

.. . \t..,_,• •, . .. ..

.,. _ _ .._

...

.v

• -.. . • � •

1, •

· -

..

-. .. 4 I .. , :

<, ,:,, ----·.,-.,·- · ...•.

' ::'.-2

4

4

·

\ . . ......... . M • .. , . --·" ' '- · · · · ..

_3� -.- - • ,. ....

1. 91• ,. . ..

, .

•

-

. ... ......... .. ; ., , � 1 ..-

. .. ·- ··- ·- ..........

... . . , • ...,,: ....

- - ....... ,

...

.......,... .• ._'"=-��· = ,·-..-... ;. . .

�

.1 ..

... . .,,.

. .,1 ... ..

· ·

I

--

. ............

-

I

........ -� ----• -� ·,·...·•.• • •"':.-..:, - -• ... ... - · -·----,-J...--·• -:-r--... -.-., . �.. -;£ft., ili .... -�. . .. '

. ,4 .. ,. , ,- ., ,,.,... ...,,. ,

....,1' ..

-- • • • ,(" ,(. -.01• - · •� T.., -..-.• • ,

#•

. .

1...1 , -,i, -.

_

-,....•-•

............. . .. _H_... __ ..., -

• .-

.:.... .-•

· •r- · •::, '' ...

. •• ,�...�

•

O'\ "'

-, lr"o,t.• ,.

· ·,i.. ... .................,...--·... .. .

. 1. .

• • • J .. -

•

I - --

.,i;

I"

... ..

k ..

- ..,... . ... .,...... ., . _ .. .. � ,, .. . . ., . ..... ....,, .. . ,,_ , 0...__ O f> ••,• .. • �, • • , . I ...-...... � , ,

·---...---v- . . � ·-...... .,,.._ . _. __ ,.., .,!. -..-.- .. --- 1-.- • •

_i--

... . ..

1•

• \l ;••

'• • \ , . ,...,.

.., ..;"" ·�....,...._.., . � .....'.'r· =-.. m....... ..,. r!�e......��-.- ,-1...�. ...,.,,......... ... .-...... "'"•..,.... . ....

... � .

�·

t� •.....

� a ,,,.. ..

t.

·----- ···r,u,.. , . ..

. .. i,,.. ... . ,

......,., ,·�,.........·oJ....... ;...·.:...·..,...,,-....,;,....,__. .. ... ·m� ..._·m'"' .. ...'"..._. .;...._____

•,

1/1 ..

# ..

.

....;

· -,--

a1· ,, . . ...-,,.. .-.-......_._ ..... � � , , •• • )• ....-...

rr"' .... .... . . ... .. ., . • • .........,...,. ....._ ., ' \" .. -t-•

. .. . , .. ...

-

••

,

_.

, .... , , .,. , ..

T_

,4..� � ..

M

.

ffi•

1' _,.._ • .., ._ .,. ...,.,,., •

-• • •• •

� ..':'(. � •

4,., • ...

I( .

. . �.. . . ..

.,1,

,

..- -,._ . .

w--· � ......,. ..... ,.r� ,:.:..�� : �

-.,.....·"'!•- ... ., �".

, ,.

-. lf ..

• .,,.., ,,...__.. _ _.• • • L•

.. ..... .. .._ _"t.. ........ .

- 1'

7'

.o1....

f t

---....-. .,.... .. _.-""L "... . ....._.. �;n... -.._•...1--. _..,__.......__. ....,. .,..�""'...........,�.. ,..,-m��-.......... _, . ......-�-- .... •

-

· 1 � ;

. . . .. -- t-- .. � . . . ... . . � ,., - · ... - .. ----·""l -�..-. '

--

,i.. . .. .. ... .... . . .. ,,. .,.. __ . :' � ..... ... . .. , ... .. .. ... -•• ,., ,._ .. _ , ,. ,. • .,' . ., ..-.. ... . ,,.. &.... . ... . .. . .... .. �., .. , . �

4\

.I

. � �

� •

M

!'I.,

a.

•1

..... ,. ..

... ..

.

i,.�-

M - .. 1

, .�°'."!""' ""r-:1· ,.,-� ....

. . ............ .

a. .,j ,,_

.. ....,.,. .., .. ,

•A �

ill ...... .. ........ ._ =-,� .. - ,.

. ol�- . ._.,_ .,. .. ... .., ...... .. . , .,

.. ,...

lt •· '!! • !\

'- - '!"'"f A ,.. 1 l'O ... , lt

•

• . •• o J .._ � ., .. . .. ....

i,

..... . ...., ......

Ol li,_.. , .,. - •

.. . .} . �.t, . ... · ... -.. /y �,.,, � --r.�ru . c;�- •,.,•..,'....,.,•-= .... �.. .._ r ' ... · .A,.;.,,,,_r -·-·---, •-<..-... ,.. ,, .. ... ,,, . ... l! " :� � �= >J "rn..__.,,_.- ,:: - .. ... . _ ,, .. ...�,.. h :-,.....

1

. ....� � '' • _., " . ,. . , " --· ie......,. - "" · •�,.,_ _ __..,. --.,,. .._ .. - , .... . .1... .. - .. --· . .. ·- � · ·· . .. . ., ' � ·, ,

.,l> ...� · ... � .. .

,,,,

•. .,"J. _

... "

"'.T'

,..._. .y .

4

""I:.. '\ .. . ,

lll'..

�,•

. . ..

j

.... ,__......,._ _

.I>

..Ill'

- 1.. , .... .

� -

·, �. , .

, , ....

_ _..,. ..

I

1 . ,._ ". '

�-stmi

�� 'I

,., , . .

,_. ii

.i�

--- ...

�

�=;: .

. . . .. ... .

i.... .

�

•

..

, .; ;.

. ..

,.. -

,.. ...-. ..

J ... ..

.

=�:�-�-�-::.

,

•

•, ,

,.

-, ,· '-�� ·T•• . . ?"( n'f�� n--

..,., . -...... .. · - - ·

l \�

-··-1!""'--·

..,._ ..... !...Sn l .. �fr;"t

•

-� ;1.c � . ;ier,,I.

--� ..... ,...)1'1" 1

,�� t:;, .,, :J :.;...

.·!. �,-·• '.j ·....r..:: I-� .:.. ...:. o ·�-. :i i =--· t\ • 1� __ . (

:,;,- ·1 �

.,�1

,.- • ---t ! ...."". ....

j ,__,:. .._-;i .l

71 t. •. ,

.� ...,_..,, i-� -··;1 v,..,.._.�.,, ..

-r.r

l

I

!'

I

_..,.,.,]

7t.,.� -4:1

....'...,... . ,·•-··@ .•..�

.

�

y/

�� Law Library '

Call Number:

Law

-

'

I

11'-:t9-S24,6 1965

Accessiori Number:

-·1a1,319

, ,

'

;: ..

!.

....

. •:

.. .

.: ·�·

I

\I

..' ·.

,

i'

__?£ ,

... . . .

• • • • •,1.. • • • •

·. . :. . :.

•

..

MATERIALS ON

COMPARATIVE CRIMINAL LAW AS BASED UPON

THE PENAL CODES OF ETHIOPIA AND S\VITZERLAND

STEVEN LOWENSTEIN J J- aile Scllassie I University

PUBLJSHE[) BY TI-IE FACULTY Of l.A W HAif_E StLl_1-\SSIE I UNIVERSITY

Addis Ababa, Etl1iopia in association \Vith OXFORD UNIVERSITY PRESS

•

r1ddis Ababa - Nairobi 1965

. ... .. .

.

..

'

�

I

Copyright by tl1e Faculty of Law Haile Sel)flssie I University 1965

All rigl1ts reser,ed , incl11ding tl1e right to reproduce :l1is book or portions tl1ereo� in any fori11

•

Printed at tl1e C:e11tral Printi11g Press Addis AJaba, Etl1iopia

·.

.... �;. :.:' ·:.

.. ·:. ··.-.. · :··

.

�, W

. l.· �

-

f.)

T-L95.:lLte!. l 9 t. �

.. · (. / "

.

•

r

,.

..

.. . . '

For RUSTY

l

...-.:, ...· ,.� ."...

r1

-('\

!

'. 1

I

f1J

t;i:: ">.

) .

...

, ,• ;

.. .

..

,,_.;:_,·.,_

... .

{:,-� .':: ::;- .. �:,

.

. :··

. .

..

.

.

' :

:

.;

i

!

I

I I

Forewo1·d 1 1'Et11 1Jire cl'Etl1io1Jic clLt 23 E11 l11trodt1ctio11 a11 Code JJe11al de c 11cl 1ant l � � .JL11l . et 19'.)7, Je re11dais 11att1relle1ne11t l10111111age a l'At1torite sot1verai11e qt1i ! 1 'I<.e11ovatet1r et re11clt1e a�a1t oeti,rre et l'a,,ait l)Ossibie, a11 vot1lu cette 11ovatrice _ leg1s!ateur de l'Etl1ior)ie''. 1 C,tr l'e11se111L1le 111011t1111e11t·al cle la lecrislatio11 111oder11c de_ l'a11tiqt1� ro>'at1r1�e dtt ''Pretre Jea111 j11ste111e11l fier de s011 Fetl?a 1\feg1rest (Jes LoLs des Rois), co11st1t11e cla11s l'evolt1tio11 cle 1'Ell1io1Jie t111e 1Jrofo11de et verital1le ''revo1 t1tio11 jJaisible'', do11t les frt1its doive11t etre bie11faisa11ls JJOLtr l'a,;e11ir cl11 pays et po11r le jJettfJle etl1io1Jie11. Iv1ais, co11scie11t cles exig:er1ces cle ce JJrocl1e ave11ir et des i11r1ovatio11s et reformes ql1e devait e11trai11er la 11ot1velle legislation, je 11'avais JJtt 111a11qt.1er d'attirer_ l'atte11tior1 SLir celles qt1'a1)pelleraie11t at1ssi e11 cler11iere a11al)1 Se l',tJJ/1/ic"itio,1 des 101s nouvelles et leur juste com1Jrel1e11sio111 a cote cles diffic11ltes cle l[t codificatioJ1 111en1e. Elles s'i11serer1t e11 effet da11s L111e tra1ne r1aticJ11ale, j11ricliqL1r, eco11omiqt1e et sociale ()rofo11de111e11t 11011velle 1 co1nn1e S. Iv\. l1 f:n1r,cret1r i',1vait soulig11e da11s ses directives a la Co1111nissio11 de legislatio11 et l'a. co11fir111c lors de la promulgatio11 d11 11ot1vea11 Code JJe11al e11 1957. ''La codificatio11 des bra11cl1es fo11cla111e11tales cl11 droit 11'est ja111ais r1i 1::11 auc1111 pays 1111e tacl1e aisee - relevait le Sot1verai11 - car elle ctoit avoir ses racines profo11des da11s la vie et les traditio11s de la 11aticJ11, to11t e11 te11<111t compte des i11flt1e11ces, 11011 seulen1e11t j11ridiques, 1nais at1ssi soci,tlts, eco110111i­ ques et scientifiques qtti s011t e11 train cle fa�o1111er 11otre v·ie et celle cltt [Jcl'.{S, et fa<;onnero11t i11evitablen1er1t la vie de cet1x qt1i 11ot1s sL1ivro11t. Ces co11side­ rations valent particuliereme11t tJOLlr le droit !Je11al a lt11e e(JOqtte Otl, a travers le mo11de, l'elargisseme11t des fro11tieres de la societe df1 aL1x a1)J)Orts cle la science, les complexites de la \1 ie moderne et l'accroisse1ne11t corres1)011da11t clt1 volume des lois de111a11de11t qt1e des 1nesL1res efficaces, 111ais l1t11nai11es et libera­ les, soient prises pottr asst1rer qtte les J)rescriJ)tio11s legales atteig11e11t at1 bt1t de regles de condttite qui let1r est assig·11e. Des co11ce1Jts 110L1veaL1x s011t ap\)a­ rus, fruits de la scie11ce juridiqt1e, de la sociologie, de Ia 1)sycl1ologie et, bier1 entendu, de Ia pe11ologie, et ils ne JJe11ve11t etre ig11ores da11s l'elaboratio11 d't111 Code penal qtti, fonde s11r des pri11ci1 )es de j11stice et de liberte, se sottcie de la preve11tion et de la supJJression clt1 cri1ne, du traitement et de la refor111e dt1 criminel'' sans natttrellement aba11donner la pei11e1 e11 raiso11 de s011 exetnpla­ rite, car �Ile doit ''servir d'avertissement at1x deli11q11a11ts''. Songeant a l'a1Jplicatio11 dtt droit ecrit noL1veaL1 sur cle vastes territoires e11 grande partie encore regis par la co11t11me, et a ces sages recom111a11datio11s qt1i devaient guider Ia pratiqtte, j'avais rapJJele Ies mes11res qtti devraie11t etre pri­ ses et dont certaines avaient con1mence cl'etre prises ''1Jo11r assttrer le develo1J­ pement de }'education, Ia formatio11 des elites, le recrL1teme11t des juges et des '

1. Le Code pen,sl d� l'Empire Ethiopien, Introduction a1.1 Cocle JJenal du 23 j11i!Iet 1957, fJtthlie e11 langue frani;aise (version orig inale) par le Ce11tre fran�ais de Droit con11)are, Paris, 19)9, I), 5 :\ 38; conclusion p. 37. Trad11ction anglaise dans 11Jot1rnal of Etl1iopian La,v", vol. I, No. 2, 19()'-I, p. 261 a 298.

-

..

I !

I

I

I

FORE\VORD

\fill

11si qt1'on I'a di t avec ai r, a C '. 1 x' . 1 11a .' bu i tr e. s 1nag1strat s, et la 1 eo r ga ,ii·�at.1·o11 d 1 1ner d'assez bans t do Je11 sse a J L · de O I et J . l p J rn c) ., , . r�ison, 1ne,ne. 11 11 cocle n1ed1 ocre 1 11 1 11st r11 1ts, ec 1 a1re s et fJrus at r ist 1 ag 1 1 s de rar te rat1 L1es , . 1 est a jJ/JliqL r esultats is ts va lta au su m re et de 1er n1 1 do t 1 1Je s de c� L1 s r . e le d il I � e in q l? cle11ts; 111a1s me1ne e . t l 11u es ou ma son con iis itio iJos dis , . es s . SI : lll 1 e1 1 e decevoir {es eSjJera11ces 1111S , � . s 1 e l1 q1 1J ap l 11a 1 es t e te re mal co111 1::>rises, 1nal interp u1 1 e sorte de mise r , ule m for d ce la , J de a fJ ais oy cr 1 ,,e e · · C st pour L1 J l a fo rmation atte1 1tiv e d'un cle ite ess ec 1 1 er I , la !Je a/J r d e t f! i , eii gar_� e· · � Lt JJ Lt o s que l s l egisla teurs attront acr ''lo e qLt ut � ev rel ei, , Ltr ale v ct e d , co r rJs J L1 r1 1que . 11ce r I a_ I e�tr pour ass\t rer e 1nm co � s 1 , e_ tic1 _ a x pr att a r e s ce e, vr ceu r comfJli leu 1 qt1e �e moder111sat10�� du systeme r sto l 1 1 s� 1 rJr 1tr e1 e tt e e c de ble it a ver ces suc le jLtridique, jtidiciaire e� fJ�11ol_ogiqt1 d'u 11 jJay�_ qt11 , /J ndant de�, s1e, c� s, � co11serve le droit et Jes 111 st1tt1 t1011 s l s JJlt1s a11 t1qt1es dt1 111onde . J _aJou�a�� _q�; ''c tt cetivre d la ,nise e11 pratiquE 11 e sera fJas,.d � d�t1x, Ia r11 0111s d 1fr1c1le . Car on imagine J s p r oblemes de �erso1111 s et �:11 1st1 tt1t1 ons qt1e pos� le pas­ sage - JJO Ltvait-on dire e11 sch�1:1a t1�a11t d , 111a111 ere frafJfJa11te. cette 1mme11se 11 tr 1J r ise, - du Code de JL1 st1111 11 )U de I m1Jeret1� Co1 1 stantin, <?U, du, Co�,e de I'e1n1Jereur Za ra Vacob att Code n1 o� r1 1e 9e l �111 pereur_ Haile �el,asste: C'est en eff t jt1 sq L1'a l 'e 1111 Jereur Co11s tant11 1 et Jttsqt1 a L1 co11c1le de N1cee en _ ont 325 qLte la tradition etl1 io1Jie r111e fail r 111_011 t�r l'ori�i11 e. des Lojs _des Rois,. 9 l 'e1n1Jereur Zara Vacob, JJri 11ce ai1 11a11 l la J ust ice et a qui ell s eta1ent fam1 l1eres, fit re1 Ja11 clr e11 Etl,iopie, a u XVIe 111 e siecl , la versio1 1 tradt1ite e 11 langue gheez. La sagess des natio11s dit qL1 1'0 11 conna ft l'arbre a ses fruits: Ieur valeur gara11ti t la qualite de la soucl1e qt1i Jes prodttit. E11 nota11 t done qt1e cette en­ tre p rise de fo r111 ation d'L1 11 e elite sciei1tifiqt1e et de cadres su1Jerieurs etait en coL1rs, j'ex1 Jrin1 ais 1 11a foi cla11s sa reL1ssite ap r es avoir eu tout Joisir pendant /JlLts de deux a11s de col la boratio11 c,J11 stante, cle mesL 1r r la vivacite d'i11telli­ gence et d'assimilatio11, et la jL1stesse dL1 se11 s ju r idiqt1 e de l'Etl1 io1Jie11 . Je rap­ JJelais les resultats deja obt e11L 1 s 1Jar la creatio11 dL t Col lege ttniversitaire et de son Ecol e de droi t, i11aL1gures le 27 fevrier 1951, et par I' allocatio 11 de nom­ breuses bourses aux ''bacl1eliers'' qL1'ell for1nait, e11 vt1 e d e la poursuite et de !'acl7eveme 11 t de leL1 r s etuci s t1 1 1ivers:taires et l'obte1 1tior 1 des grades superiet1rs a l'et1:a11�er! er, atte11da11t l'ot1verture desiree et JJro111ise d't111e U1 1iversite 11atio11ale etl1 1 01 J1 e1111e, l' Universite 1-laile Silassie fer' effectivement co1 1stituee et ouverte d puis lors. 2 C� V� ll �ig�1ifiait !latLtreJJe111e11t atlSSi l'atte11te e t la 11ecessite d'tllle science 1u droit JJenal e!hiopie,i, d'tt11 e doctrin_e q L1i se revelerait et s'amplifierait dans Ies etL1_des co11s_ac�e s at1 11ouveau dro 1t et da1 1s les Co1 n1n 11taires dt t Cocle J)e r1al _� u1 �a1�! la J�r1s1J1�L t?e11c da�1s ses de::isio11s, JJO L1r asst1rer la bonne 1 11arcl1e d � 1 �stitLlLIO s JL1d1c1a!r s , et, l egislativ s no 1 t velles, l'apJ)rofo11disse111e1 1t du droit � receiit, et l J Jrogres ge11eral a L1 qt1 el te1 d tot1t cet ex tr ao rdi 11aire et n1eritoire effort. e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

1

Ce � L t se realis� autot1rct;l1t�i p�isq\te l\1.1� [Jrof esseur Steven LOWENSTEIN, qui i,se1<; l Droit J Jenal etl1101J1e 11 a l'U11 1versite Iiaile Selassie Ier, pttblie le •

e

0 11e

e

�; Vers u!z nouve1u droit penal ethioJJien: D1 la pl1ts anci enn ' / I . , e , · e n Revu 1 · ter�1at1onale de cri irti nolo o"ie et de o lice ec a _a P /{s 1ecen� legislation c� s du. monae, � te h�iqt1e i _Geneve, 1954, N o. 4, IJ. 2:,0 ss., et: D e l antique au nouvea d · , ::::. L �, . . n Pd n ire''. Paris, octobre 1954, jt!d1c1a Nos. 445, e_t 4,�6. Voir a11ss i nosuat;���5P��� ; t ;:;� , s La V!e � _ i · s· f!' 101:1S ans_ . Le_ ;ubile dtt Co11ro nouvelle legislation ethiopienn nn.e1nen I

11

e "La Vie Jud· ,noderne et la codification du 'nouve au droit '

1 �f��;

t imperial et /4 p s 'l�e\��� , :��·1l-n1a1_ 19??• Nos. 525 et 526, et: L'Ethiop ie IJ a , e su1sse , Berne, 1957 No. 4 p. 397 ss.

FOREWORD

IX

pres�11t Ma11t1el desti11e attx etttd ia11ts, attx praticie11s, avocals, fJrocure11rs et mag1strats,_ et au fJt1blic e11 ge11eral. II re11dra effective111e11t ai11si la co11naissa11ce �e ce drott J)lllS aisee et accessible a tOLIS ceux qt1i attl"Oll t i 11 leret a 11e {JaS ignorer son s�11s et ses i11novatio11s, a bie11 le co111J)re11clre cla11s sa lettre et d�ns son. esprit, fJOttr qtt'il soit bie11 a1JJJliqt1c. Je s11is 1Jartict1liere111e11t l1et1ret1x q11elc111es d 1ntrodt11re ce premier Jv\a11uel co11sicleratio11s ge11erales. Elles [Jar _ s01:1l1g11ero11t la co11ti1111ite cle l'effort accc)r11J)li, et Ia co1111111111at1le d'i11s1Jiratio11 qut fJOLtrra se reco1111a1tre 1 co111111e 11011s le sot1l-iaito11s l't111 et l'a11tre, e11lre l'a11teur du Cocle et le n1a1tre cl1argc cle l'ex1)liqtter et cl'e11 ex1Jri111er ficlele111er1t le se11s et le bt1t cla11s s011 e11seig11e111e11l. L'i11itiation a t1r1 clroit a11ssi lotale1ne11t 11ot1vea11 est e11 effet delicate. Car ce dr?it differe dtt droit ell1io1)ie11 tr�1clilio1111el et (ltt droit etl1io1.1ie11 ecrit i11trodt11t par le Code J)e11al cltt 2 11ove111bre 1930 (23 Lel<et11t 1923) qtti avait cle p�omttlgue a l'occasio11 dtl COL1ro11r1e111e11t de l'Etllf)erettr J-Iaile Selassie ler, a11ssi b1e11 qtte dtt droit cle ' com111011 la\x,''. L'es1Jrit, les tecl111iqL1es, les dispositio11s et. le S}1 Ste1ne etl ge11eral releve11t de COllCe(JliOI1S SOlive11t eloig11ees da11s l'(1is­ to1re, le ten1fJS, la 11at11re des i11fractio11s ott la valettr et le se11s cles jJe11alites, ce qtti ne (Je11t q11'er1trai11er ot1 111e111e accrottre le risqt1e de co11fL1sio11s 01-1 d1� n1ale11te11dt1s. La scie11ce co11tem1Jorai11e dtt clroil cor111Jare a JJreciset11e11t jJOttr bll t de I'e Viter O Lt d' )' fe 111 e cl i er. 1

Da11s l' I 11trodttcti 011 ge11erale au Cocle d Lt 23 j 11iIIet 195 7 qLti fait I' olJj et cl� l'e11seigneme11t et de l'ottvrage bier1ve11t1 cle .l\'1. le professeltr Lo\ve11stei11, je 11-1<� SlliS efforce de n1ettre 1Jrie\1et11e11t e11 lt11niere Jes cli-ffere11ces, ai11si qtte l'iclce fJrofonde, lltti se trot1ve11t cla11s les Lois cles Rois co111111e dar1s le Cocle fJer1al transitoire de 1930 et st1rtot1t cla11s le 110L1veat1 Cocle de 1957, e11 cleg�gea11t les grands traits de ''sa strt1ctt1re, ses JJri11ci1Jes et so11 esJ)rit'' (cl1arJilre II, cl1if. I), et j'ai cl1ercl1e a mo11trer e11 qttoi co11sistait la recl1ercl1e cle la ''cor1cilialior1 cle la traditio11 et dtt progres''. 011 y tro11ve rest1111es, cl'lllle JJart l'i11s1Jiratio11 fJllisee da11s la traditio11, ott plus exacte1ne11t da11s la co11ceJJlio11 fo11clar11e11tale lradili0r1nelle dt1 droit et du se11timent i1111e de jt1stice (cl,if. II), et cl'attlre jJart 1111 cer­ tain 110mbre de clisJ)ositio11s caracteristi q11es 111etta11t e11 evicle11ce I' esprit et les besoi11s 11011veat1x (cl1if. III). Ces traits esse11tiels cl11 ''portrait'' cltt droit IJenal ethiopien contem1Jorai11, si 1'011 fJettt etnJJloyer cette i1nage, fo11t 111iet1x afJjJa­ raitre le passage ''dtt plt1s a11cie11 au IJltts rece11t: droit 1Je11al dt1 mo11cle'', tel que I'esquisse de sa pre1niere a11alyse1 e11 1954, te11tait cl'e11 sig11aler la cliffict1l­ te et l'interet. Ce probleme reste le probletne CaJ)ital, et il a ete re1Jris dans }'etude generate qtt'il me ft1t do1111e d'eX(JOSer lors d'un debat entre jt1risles europeens et africai11s qui et1t liet1 e11 octobre 1963 a Ve11ise stir le the111e: ''droit coutumier et droit legal'', et derecl1ef e11 1nars 1964, cla11s u11 cot1rs att Centre Euro peen u11i ve rsitai1-e cle Na11cy s11r ''l'aJJJJOrt ettrofJee11 e11 111atiere de droit penal aux pays africai11s' 1 JJlaces,.. deva11t la tacl1e arcl11e n1ais (Jassio11nante de se donner des Codes 111oder11es.J Ce qtt'il m'avait paru i11dis1Je11sal1le de s<Jtllig11er, e11 ce qt1i co11ce1·11e le 3. Etudes su r le droit co1,tt1mier a/ricain, Colloc1t1e len11 <.ill 3 a11 6 oclol)re 196�� �L la 1:.·011<.lalio11 Giorgio Cini, sur le tl1eme: Droit COUIJ/.1nier ct ,!roil leg,,/: ''" (lroit tr.i,litionnt·I au (!roil 1nodcr11e, orga11isc en liaison avec Ia Societe A fricaine de Cl1ltt1re, s011s le JJatro11age cle l'UnesCl); les clivers raJJ­ ports, Jes debats et Jes conclt1sions parailront clans lcs 11 Quaclerni cli Sar1 Gior1�io" e11 co11r s d'impression (Editions Sansoni, a Flore11ce). Consuller cl'at1lre JJarl 11c1trc vt1e cl'er1se111l1le ati Centre Europeen Universitaire de Nancy (France): /_'apport e11ropccn en niatiere de clroit /Jen:tl aux Pa-vs 4(ri� ains en voie de de_ve{oppeme�t, Co11rs de l '! nJ tit11t (non p\1lJ} ies), et syntl1ese darys_ la uRev11e �!!! , dr?tt penal et de cr.1m1nolog1�", Brt1xelles� Jtt1l!el 1 ? 6'!; t�re a IJart, f). 6 ss. et s,pcc1ale111er1t-1 en ce qut concerne le dro1t co1.1t111111er et la cod1f1cat1on eth101J1e1111e, p. 17, et fl. 32 a 37.

· =· � t, . -··· ..

. - ... .

---c--

�-��-----] �··�-:-:- ,-- ---

i

•

I

!!

FOFEWOfiD

X

}? at if c d i_ n . si a n1ple co le �l � t1 o 11 , sa et e 1 , cl ri droit pei,al etl,iopier1, sa t raditio11 si re, la sY_'!tI1ese, spiritueLLe qu J I 1 e al1 se_ et ��-11t 11 o l d 'i � q e J} m xe 1 e l' t es c' , ee et avai,c l u b e 1 m1Je 1 1 al am re le p s an d _ ee m e s� 1 et e �u er 1J 1 la IJossibilite avait ete tres b e11 a e ;_ 11t n ! et m 16 15 co , 5 s le 1c r! t (a a1 tr 11 0 11 1 e_ ul b rn re a p e . dt.t Code JJenal de 1930 .. C � 1 e.s_ e 11 s 111 s­ g p o at r r t� p _ a ad s 1 t a ev d et t le legislatet.tr etliiopie11 111odern e 1Jot1va1 d�1 but de cor ection qu,1 d1st1ngue �e : et e ic e tst d ji it Jr s1 l'e de re co n e pirai,t Je e 11s alors pr1s o1 1r et. ts 1 ro � � s e s pe 1 1c i1 pr s 1 . Feiha Negi-test, et il relevait _g1 e le 1t sou� e �t , � ne s9 er od m ?n t1 1 f �a d1 co de re t.tv e_ oe pot.tr modele de cette 1Jre1 111er 11�1 able legis­ ve la 11s da s e 1m JJr ex t 11 e uv tro 1 e . s 1 qt 1 e11core tres voisi11s de c e t x 1ent que la v 1 t. so . �e on d an 1 qt. 1t a1 J11 1 o et s pa st 1' e 1 i t . lation etl1io1Jie1111e: Ce qt 1 1t b1bl1 qt.1e e t roma1 10a ur co au 1 ee e l r 1 es is Ro s de l 1 ai1te traditio1 1 des Lois e rd ie ga op le a l1i Et d' 1e cl n a br la nt do ie dr n xa e Al d' ise gl cl1retie11, a tra vers l'E pl t1 s autl1e11tiqi1 e l1eritage . Elle s'y rattacl1e toujot.1rs 1Jar s01 1 i11s1Jiratio11 profonde JJuisee da11s l'An­ cie11 et le Nouveatt Testa1nents, par les ecrits cles Peres de l'Eglise ou des ''Trois Ce11ts Sages'' du concile de i'Jicee, e t JJar le sot.1ve11ir sacre de l'empe­ reur cl1retie11 Co11stanti11. Ce qt.ii 111a.rqt1e ce droit tradition11el, cet te royale cot1tt.1me etl1io1Jie1111e, c'est qt.le fidele a cette origin e elle a edifie t.111 systen1e juridiqtte tres e l eve ,Jar s o11 es1Jrit et tres r emarqt1able pour s011 epoque, cela 1101 1 jJas da11s l'absolt.1 des formule s a bstraites, mais er1 con siderant toujours lei vie co,zcrete. Ses maximes, fa milieres jt1sqt1e dan s leur plus gra11de noblesse, 1Jarte11 t toujot�rs d'exemfJles JJratiqt.1e�, cle faits qt.1otidie11s ott de ''cas d'es pece'', co1n111 e le fa 1t e11core - mittatis mu1a11dis - le syst en1 e de conimon law pris j)Ot1r base de l'e1 1seigneme11t jt.tridiq ue superiett r da 11 s les U11iversites a1 10alaises et a1nericai11es.

11_ m'avait fJart1 co11ve11a ble de le rete11ir aussi com111e un jJOi11t de depart esse11t1e l lorsqt1e, elabora11t le Code pe11al actt1el a Addis Abeba er, 1954 et 1955, et etudia11 t le s sot.trees etl1io1Jiei111 es et le Fetha Neo1,test da1 1� le s travaux �a�a11ts , d'Ig11azio . Ot1idi, je cor1stata is combien de problemes delicats avai en t ete resol_i1s a\rec f111es.:5e da11s l'antiqu� legislatio11 et l1iopien11e, 11otamm e 11t dans le doma_111e dt.1 d�l r�e �al e� d� la negligenc_e, de la 1Jro1Jortior1 e 1 1tre la fat1te et la 1Je1ne, de l 1 11d1v1dual1sat1 0 11 des sa11ct 1011s et des possibilites de 1Jardo11 Ott de racl1at, du JJa rtage de s res1Jo11sabilites da11s Ia JJartici 1Jatio1 1 a u11e rixe etc., c�la en, 1Jarta1 1t des exem1Jles le s plus cottrants les }Jlus fa1 11 ilie rs le s plu� · ' · ' access1bles a tot.ts· , Comme11t f aud r�-t·t·1 Jt.1g · e � ce lt11 qt.11, la 11<;a1 1t t11 1 jav elot sur · blesse ou a fJ ace dt.t m�rclie, tu e 1n1olo1 1t a1re1nent quelqt1'u11 et le b e raer ou !e c l1a sseti. r qui, da_1 1s I� brousse , le j=ta11t co11tre u1 1 fau ve, a ttei11t u11 homme par maiique de precaut1 01 1 ott de prtde11ce? Voila les qt1 estio1 1s ue se ose ans sa sagesse, �elui qui legifere JJ0.1r l'ordre et la securite de la �om1nuiiautJ �Lt peup1e. L e rot le soldat et le laboureur , 1e ma"t t re et I e serv1 te ur, l'orfevre . . et l'artisan le traitre et 1 o1et.1r, le r:1a g1c1�n tron1peur et la prost ituee, aJJfJaraisse11t at1 ce�1tre dt1 droit c�1� n1e les st11ets v1\1 a11ts de la J·ustice · _ q , , t. 11· I e11r e111p1 t.11 1te . Ol·t 1_,1_ eSt j)aS so11 caractere IJOjJtilaire et sa real·te, 1e CI 1 SeL l l , lui-n1etne mais ii est VCCll e� seiit: � l 1 11 a t1 a ve s 1 !le111e11t '_'etudie'' pOllf 1 t. _ 1 re _ ltv a 1 s ava11t tot.it tn , : _ . ' � � s an t n so application deva11 le tri cl · bt1 11 '"e I , 1 l fatt l)a1 tie 1 11tegra11te de la vie sociale. . . �' est ai i1si qt1e nous pot1,,011s ra·ta h 1. e1 1cor� auJot1rd'l1 t.11 la p ensee et les sol t1�1ons n 1oder11es at1 raiso1111 e111e11t :t1�1dI� � J)rat1qt1e JJrOfJres aux n1etl1 ocles d e � 111 { te et a I� rech;rcl1e d es solutio11s cot1 tu111ie r. 011 voit des lors con1bie11 un�r111e�t1011 et n1e111e d excelle nce du droit _ · hode �11a!ogt1e , bi e11 qt.re IJlus evoluee d_o�t etre JJrecieuse IJOur des esrJrits toi1JO t.11 s l1ab1 tt1es a la reflexio11 et a11x de c1s1ons de i1att1r,e co11crete et fo , · · 11 d e es su r des JJrecedei, ts. C'est fJOt.1rquo1 Je l)e11se qtte la 111ethode reteiitt e !Jar 'M. 1 e fJt.ofesseur Lo\venstein fJOu r faire bien 1

FORE\VORD

XI

comprendre et pottr repandre Ia juste ap1Jreciatio11 d11 droit 11ot1vea111 est en l'espece tres recommandable. 11 est bo11 fJ011r cet e11seigneme11t q11i doit etre 1111e i11iti,ttior1 e11 meme temps qu'11ne formation de l' esprit jttridiq11e, de reco11 ri r att S)'Sten1e des ''cas'', des textes et des_ decisio11s prese11tes s011s 1111e for111e direct:e et si111ple, et qtti obli­ gent les at1dtte11rs et les et11dia11ts a reflecl1ir, a se fJOser des q11estio11s, a trott­ ver des s0!11tions a des problen1es etlJ£opie,zs l1ie11 q11e j11ridiq11e111e11t 1111iversels, com1;1� clotv� nt le faire l'avocat lorsqtt'il est co11s11lte, le 1)roc11re11r lorsqtt'il doit reqt1er1r, le Jtrge lorsq11'il doit i11str11ire et jt.tger. II est clair q11e ce raiso1111e111e11t sera pl11s facile a saisir et se fixera fJl11s clt1rable111e11t da11s l'esrJrit lorsq11'011 11e �ose J)as t111 JJro�leme er1 1Jarta11t de -for1nt1les lati11es 011 e11 pre11a11t J)Ot1r 1Jar­ t �es, e11 ca11se Pr1mt1s et Sec1111d11s, 011 Caitts et Pattltts, 111ais la regle si111ple f1xee par le droit etl1io1)ie11 (qui s'est efforce d'avoir des articles brefs 1111 1Jeu semblables a des maximes), 011 la decisior1 cl'1111e co11r etl1io1Jie1111e e11 exa1ni11ant le cas deter1ni11e d't111 j11sticiable a11 11on1 re11co11tre cl1aq11e jo11r, 111is a11x 1Jrises avec les conclitio11s et les di fficttl tes q11oticlie1111es des affaires, d11 marcl1e, de la vie domestiqtte et sociale, se raJJ{Jortant a11x n1oe11rs, aux circo11sta11ces et attx infractions occttpa11 t l1abituelleme11t les trib11na11x. Ainsi le j11sticiable com1ne l'avocat et le magistrat sont e11 q11elq11e sorte co11dt1its JJar la rnain, et le juge 11e recevra pas 1111e sol11tio11 to11te faite et J)e11t-etre mal assirnilee de la tl1eorie, mais ii la co11str11ira 111i-men1e e11 fJarta11t cles do11nees fondamentales qui I' eclairent et qu'il a I'obligatio11 d'a1J IJ rofond i r. U 11 tel mode de faire combi11e l1e11re11se1ne11t et clairen1e11t, a11 stacle de Ia s11bstitt1tio11 du droit moder11e a11 droit tradition11el, le systeme de l'et11de cles ''cas'' CjLti disting11e 1'e11seigneme11t t111iversitaire a11glo-a1nericai11, et eel 11i cle la recl1ercl1e des ''pri11cipes' ou des r'11ormes'' de doctri11e et de droit co 1111Jare en 11sage dans les universites e11ropeen11es et lati11es. 1

On peut ajo11ter que c'est JJ1·ecise1ne11t s11r la voie d't111 se1nblable eq11ilibre que s'engagent nos u11iversites et 11 os 1·esJJ011sables d11 fJrogres des et11cles e11 developpant Ies ''exercices JJratiq11es'' et les ''disc11ssio11s cle cas'' a cote de I'e11seignemen t ex ccitl1edra, - tout co1111ne l'e11seig11e1ne11t s11 JJerie11r des fatnilles de common law, par un processtts analogt1e tnais i11verse qt1e s011lig11e11t l'i11tro­ duction de colloques de droit co1n1)are et les 1Jrojets de ''lv\oclel Pe11al Co(le'' aux Etats-Unis cl1ercl1e a mie11x remo11ter a11x 1Jri11ci1Jes et a aboutir la sy11tl1ese par Ia JJrise e11 co11sideratio11 de Ia doctri11e et cles solt1tio11s d'a11tres S)'Ste111es juridiques ou d'autres JJa)'S. Qu'il me soit permis, e11 co11cl11sio11 de 111e rejo11ir et de feliciter l'Etl1io1Jie -aux destinees de Iaq11elle cel11i qui y a ete acctteilli avec co11fia11ce 1Jo11r tra­ vailler et COOJJerer a ses progres ne pettt ma11q_t1er de restei: att� cl1e, - e11 voya11t . . _ , des maintenant se former u11e doctrine et 11ne sc1e11ce du clro1t f)e11al etl1101J1e11. On en a pour pre11ves des ouvrages. cotnme c; ltti d� M. le j)rofesset1r ½o� ve11stei11, et d'autres eludes ou commenta1res en pre1Jarat1011, et encore des eve11e111e11ts comme la fondation d'-! Journal of, Ethiopian_ Law:. des_ ses . d,ebttt� ,cett� p�tJJlica­ de e lassie tion, qui fait ho11neur a la faculte I Un1v de Drott 1·s1te I-la_1le S_ er, � � _ .. , , a reuni des travaux de qt1alite et s'est placee a 1111 111 veau sc1e11t1f1qt1e qt11 a attire non seulement l'atte11tio11 mais l'estime des juristes etra11gers, et elle est pleine de promesses. Comme la promulgation du Code penal suisse de 1937, dont l'elaboratio11 si serieuse et perseverante a suscite, de1Juis ses premiers projets, t111e doctri11e

-(:.:: ..r.·;� . .·.��:..: · . . . . ·. �.

.

3 II

f'OREWORD

XI I

. � l, 11a e et t!0 cr r t1a nt t pa oi dr le ilt i,l 1if LlJ 1 ei n io at er id ns co tres ricl1e et dig11e de 1 e I e11tree e11 vigueur, qi e ttt do de s or l1 t es ii '' se la titie veritable ''scie11ce st1is 1 qu! se ra1JJJr? cl1; d\1 ��de e1 1_Ji 0 , l1i et l 1a 1 pl d� 1 dt Co 1·ett1de et ]'aJJ plicati�1� oit dr du ce penal ethiop ie:i ien sc b e l ita r ve e 1 ui � 1tr 11t na ro fe s, te co cle , _ stiisse par ta11 t s ,e cl 1 es du an t t. br o1 dr 11 s toutes le s au 1 da s 1ss e l at ca 1rs et ll ai d' ra se con,me ce c hesse qt te coi1 stitt1e ttn e 11semble i r la de c 1cl r o1 p '' of e 1c ie1 1sc Cette '' fJ rise de co1 J du pr ' lo e le' ve ya nt de ro me oie ''v la t es re t 11 e rg , 1 e ve ett c de au de droit 11 ouve l egislatioi1 qu i l'insrJire, qua11 d la de 1 e gr di er 1tr 01 1 se 11 ra ttd vo i qt1 d'u11e scie11ce 1 ouvel le auro11t ete bie11 assimiles. 1 on ati l i� eg te l cet de rit sp I'e et ce Ia substan Ce ,,0:t1 rejoi11t Jes es1Joirs et les JJro111esses du Message imperial ouvrant le Cocle pe11al de 1957 do11i1e e11 prese11t a l'Etl 1i o 1J ie.

Voil a pot 1 rqt1oi 11 ot1s soul1aito11s t111 large sttcc es a cette ceuvre si utile de M. le 1J rofesset1r Lo,x:re11stei11 . Pt 1issent les 11ot1veaux jtt ristes ethiopiens, formes da11s let1 r pa)'S a l 'ecole des 1naitres l ettr ex1Josa11t le systeme, le mecanisme, le se11 s et Jes bi1ts ge11eret1x dtt droit dont ils sat1ro11 t, e11 l'a1Jprenant, qu'il est le leur 1 e! gi1 il� de�ro�t �ervir, �JJJJliquer, �t �11seig11e r a lettr tour, se convai11cre qtte la . 1 leg1sl at1011 etl1101J 1e1111e vise e 11 def11 1tive t111 seul but: Obtenir que ''science et �011�cie_11 ce'' . co1�j �1 �t1ees gage! 1t le r,1·?gres de 1'110111 m�, e ,1 meme ten1 ps qtte des 111 st.1tt1t1011s Jt1d1c1a1res et social es des1ret1ses d'assurer a leur pays une pros1Jerite t.ou1ours 1J ltls gra11de da11s l 'ordre e t la JJaix clo11t l e droit doit et re le garant C'est ainsi qt1e l e droit pe11 al at1r,l JJOLt r objectif SUfJreme non de faire so11ffri; l '!101;11:i7e, 111�is de l 'eclt1qt1er, de le IJroteger au besoi 11 contre lui-meme et d'etre b1en1a1sa11t a l a co1nmt111a11te. 1\tlai, 1965 Geneve, Suisse

Professeur Jean GRAVEN ancien Doyen de la faculle de Droit el ancien Recleur de l'Universite de Geneve ' Juge a la Cottr de Cassation President de I' Association internationale cle Droit penal

111 co11cl t1di11a b 1ny I11 troduc tio11 · o I ti,� p �11a 1 c ode o f _tl1e Em 1Jir e of EthioJ)ia of July 23, l 957, I 11atu rall aid h o a0e 0 t!1e Sov_ere1 g 1 1 wl1 0 l1ad d esired tl1is ,xrorl< of i11,1ovatioi, aiid \xrl�o liad ;et dei d it s ible , ' 'tl1e Renovator ai1d po � _ f i n . Legislator of Etl iiopia ."I TI,e tTioder la S o th IS a11c 1e11t kin gd om of· ''Prester \ Jo\111,'' j11stl y 1Jroi1d of its Fetl" - ./a Negitest (tl1e 'v'. l aw or the J(ing ' s) , f orn1 an 111tegrated , . I l 10 e n h. 1 r 1 l c es do i i11deed re Jresei t i Etl 1 1 a 5 l Or a \V \Y/ 11 S� )', ge11t1ine a11d profound l fJe_aceft1l revol t1 tio11 1' from wliicl, tl ie c o:1 1 Y ai1 d its peo1Jle will, i11 1e ft 1ture, tl cler1ve co11sideral1l e bei,efit. Aware, l1owever, of wl1at tl1e 11ear ft1 tu reforms Vl1icl1 tl1e ne,v laws wcttld re wOtl ld dei11a1 1d a11 d o f th_e changes briii g about, I co ul d not fail to draw \

!

i/�

.1

1- "Le Code penal d i'E e ·mp,re EthioJJi(tl, l11trodu t· o ' ..tn published in I:;l or l v rsion _

e t ) by th e Centre tr���a\� 1? �n� I Code of July 23, 1957" , pp. 5-38; concl�1�l�n1 � �� i � o t r n 1 c t1 b sh rn io11 t . l:1 11 trans gh · ay e fo n l 1 tlle JouCrnompare,� �ar!s, 1959, vol. I, no. 2, 1964, JJP: 267-29 8 · al of Ethiopian Law,

i�

FOREWOf�D

XI r I

alte11tio11, 11ot 0111 )' to ll1e diffic11lties i11l1ere11t il1 tl1e codificatio11 itself but also to tl1ose \V!1icl1 \'{'Ottlcl, i11 tl1e last a11alysis, arise fro111 tl1e e11{orce1ne11t at�d prOJ)er u!1der�ta11d111g of tl1ese la\'v'S. As J-1. lv\. ll1e E1111)eror 111ade clear tl1rougl1 I-Iis d1rect1ves t? tl1e Codificatio11 Con1111issio11 a11cl agair1 011 JJrom11lgati11g tl1e Pe1,al C?de 111 l 95�, tl1e 11e\v la\vs are \vove11 i11to tl1e raf)iclly cl1a11gi11g j11ridical, econorn1c a11d social palter11s of Etl1io1Jia11 life . !l1e coclificatio11 of tl,e {Jri11ci 1)al l)rar1cl1es of la\v· of arty cot111try is always 1 si11ce it 111t.1sl be 1Jrofo1111dly gro1111ded d1ff1ct�lt tasl<," ' 11olecl tl1e E1111Jeror, � 111 tl1e_ life . a11d traclitio11s of tl1e 11atio11 a11d it 111t1st, at tl1e sa111e ti111e, be i11 kee!)111g \V1tl1 �11cl res 1 Jo11sive to tlte i11flue11ces, 1101 011ly jttriclical, bttt also soc!al, eco11om1c. a11c.l scie11tific \�·l1icl1 are i11 ll1e jJrocess of tra11sforn1ing tl1e nat1011 ar1cl ottr lives ar1c.i ,vl1icl1 \x,ill i11evitabl)' slt,l lJe tl·1e lives of tl1ose \-Vl10 c_o 111e a f ler. tis. T l1ese co11 siderati011s a IJ IJ 1 y \'<' itl1 jJartic Lt la r valict ity to IJe 11a l legisla� t1c)11 at a time ,x,11e11 tl1rougl1ot1t ll1e \x1orld, tl1e ex1Ja11cli11g fro11tiers o-f society, � rot1gl·1t abottt tl1rot1gl1 tl1e co11tribt1tio11s of scie11ce, tl1e co111 1Jlexities of n1oder11 life a�,d tl1e co11seqt1e11t i11crease i11 ll1e \'Olt1111e of laws, reqt1ire tl1at effective, yet l11gl1ly l1t1111a11e a11cl liberal 1:iroceclt1res be adopted to e11st1re tl,at legislative prescri [Jtio11s nl:t)' l1a\1 e tl1e efficacy i 11le11decl for tl1e111 as regt1lators of co11dt1ct. Ne,v co11ce 1 Jts, 11ot 011 1 )' jt1ridical, bttl also tl1ose co11tribt1tecl by tl1e scie11ces of sociology, j)S)'Cl1olog)' a11d, i11cleecl, 1)e11ology, l1ave bee,, develo 1Jed a11cl must be tak:e11 i11to co11sicleratio11 i11 tl1e elaboratio11 of a11y crimi11al code ,vl1icl1 \'v'Ot1lcl be i11s 1 Jired b ); tl1e 1 Jri11ci 1Jles of jt1stice a11d liberty, a11d by cor1cer11 for tl1e 1Jreve11tio11 a11cl st11J 1 Jressio11 of cri111e1 for tlte \,,elfare a11cl, i11deed, tl1e rel1abilita­ tio11 of tl1e i11di\1iclt1al accttsed of cri111e.'' Pt111isl1me11t sl1ot1ld, of cotrrse, also be retair1ed for ''it \\:;ill serve as a lesso11 lo 1JrOSJ)ective \vro11g-doers'' by reaso11 of tl1e exa1111Jle it sets. Beari11g i11 mi11d tl1at tl1e ,,e,x, \Vritte11 la\v \,:ras to aJJ[Jly tl1rot1gl1ot1t vast areas still largel )' gover11ed by ct1sto111ar)' la\v, as \X'ell as tl1e ,vise gt1icleli11es set ot1t for its im1Jle111e11tatio11, I dre\x, atte11tio11 to tl1ose 111east1res ,vl1icl1 wo11lcl l1ave to be or l1ad rece11tly bee11 tal(e11 i11 order to ''er1s11re tl1e develo1J111e11t of edt1catio11, tl1e formatio11 of elites, tl1e recrt1itn1e11t of qttalified jttclges a11ct magistrates, a11d tl1e 1·eorga11izatio11 of tl1e variotts co11rts." for, as l1as rigl1tly bee11 said, even a 111ediocre, i11co1111Jlete or ot1tclatecl code ca11 lead to con11Jar­ atively good results \vl1e11 JJUt i11to jJractice b)' co1111Jete11t, e11ligl1te11ed a11cl prLtdent judaes, \-vl1ile eve11 tl1e best of codes \Vilt, if its jJrovisio11s are 011ly partIy u11 de i�tood, i11correct I y i11ter1Jre ted or i 111 JJro IJerly a JJ JJIieel1 prod11ce bad resttlts and fr11strate tl1e l101Jes IJlaced i11 it. • '

1

I tl10L1gl1t it aJJpropriate, tl1erefore, to give \Var11i11g or, rattier, to stress tl1e 11eed to carefully train a body of able lawyers, by observi11g tl,at, ''wl1e11 tl1e legislators l1ave fi11isl1ed tl,eir task, it will be for ll1ose wl10 plt� tl1� la\� i11to effect to take up tl1 eirs i11 01·der to e11su1·e tl1e real st1ccess of tl11s 111stor1c en­ terprise of tl1e modernizatio11 of tl1e le�al, jttdicial a11d pe_11al system o! a �ou� try wl1icl1, througl1 tl1e ce11turies, l1as reta111ed tl1e _ n,o�t �11c1e11t law a1_1d 111st1tut1011s in the world.'' I added tl1at ''tl1is task of putting it 111to effect will not be tl1e less difficult of tl1e t\vo.'' 011e ca11 easily imagi11e tl1e JJroblems, perso11al a11d institutio11al which as we p11t it to sttm tlf) tl1is 1no11111ne11tal t111dertalci11g in a stril<ing ma;,ner, a�con1pany the tra11sitio11 from tl1e Code of }ltsti11ia11 or Co11stantine, or from tl1e Code of Zara Vacob, to tl1e n1oder11 Code of Emperor Haile Selassie. It is, in effect, back to Etnperor Consta11tine a11d tl1e Cottncil of Nicaea in 325 that Etl1iopian traditio11 dates tl,e Law of tl1e Kings \Vl1icl1 Emperor Zara Yacob, a ruler wl10 loved jt1stice1 l1ad translated i11to Ge'ez in the XVlth century and circulated i11 Etl1ioJJia.

I

!

WWW

x

,,, . a ;:::::z=z

FO�E\VORD

XIV

e guara11tees lu eir va tl1 : its fru its ' b) r1 ow J< · 1 e is tre a iat It l·s proverb.ial tl· · th t· g t a 1n th s e ta 0 k f o 11 11 Jo 111 s, l1u T . em th s t ar 1a be tl 1 en _ tl1e quality of tlie sl a I se w es � pr y ex d m e1 1d 111 as w el 111 o1 rs � JJ: le ib ns )O . SJ re 1d traiiiiiig· scliolars a1 t n had prov1d�d ra 1? 1J -0 co 11t ta ns co of s ar ye o as tw � _ faitli j 11 its f ttttire s11ccess, 1ty t1l e sa of tl1 1 h Et ve 101d a1 es 111 1 e _ l<e e tl1 g i11 11g of � ga .)' 1it 111 rt jJo ine \xritli tlie op _ deal111g w1tl1 legal problems. I recalled . 11 m1· 11 d as well as . ' its acc11racy 111 . p1a o ty 1 , f U s1 f 27 1951 , er . 11v y a r11 eb on , 1 1 tio ea � cr e l1 tl1 ug ro tl1 tl,e results acliieved tes its ua t� ad o gr s _ wh 11J sl1 lar ho sc of g ti11 a11 e tl1 gr d an ol College La\v Sclio _ es er re gl l11 eg r d _ 11 ab ta1 ob d a1} ies 1d st1 � d �ad 1ce va 1 ad ete 1Jl m co to \Vere tlitts able n , p1a U 1ty 11o ers Etl an 11v of 111g e11 op d ire ! d ch n1 a11� ecl ect exp t!1e � . peiiding � 1l11cl1 11as 110w 111 fac t be e11 orga n ized an d 'X , 1ty 1 ers 11v U1 I sie llas Se e ail I tl1e i11 a t1g11ra ted . 2 No less desired a11d 11ecessary, nat11rally, was tl1e creatio11 imJJlied i11 tl1is ex1Jectatio11 , of a scie11ce of Etl;iopiari 1e,zal law, of a doctri11e tl1at would ex)Jress itself a11d ex1Jar1d tl1ro11gl1 research. devoted. to tl1e new l�w arid tl1rou�l1 co111111e11taries 011, tl1e Pe11al Code. Tl11s 11e\v science \X,ould guide tl1e cot1rts 1n tl1eir decisio11s pern1it tl1e efficie11t "(1orl<i1 1g of the 11ew legal and judicial i11stit11tions and create a deeJJ t1 11dersta11di11g of t}1e 11ew Code a11d tl1e ger1eral J)rogress wl1ich all tl1is extraordi11ary a11d meritorious effort \X!as aimed at acco111 IJ Iis11i11g. 1

Tl1ese desires come trt1e toda)' t11a11ks to Professor Steven LOWENSTEIN, lect11rer i11 Etl1io1Jia11 per1al law at J-iaile Sellassie I Universit)', wl10 fJublisl1es tl1ese 11 1aterials for tl1e benefit of st11de11ts, legal JJractitio11ers, advocates, fJrose­ c t1tors, jt1dges, a11d the g·e11eral J)t1blic. Tl1is \vork \x,·ill re 11der Etl1iOJJia11 pe11al law 111ore readil)' accessible a11 d 1111dersta11dable to tl1ose wl10 shot1ld be fully a\vare of its mea11i11g a11d i11novatio11s and grasJJ its SfJirit 1 10 less tl1a 1 1 its letter so tl1at it may be jJrOJJerly ap))lied. I am JJarticularly pleased to l1ave tl1 e o IJport t111ity of for11111la ti11 g, b)' \Vay of i11troduction t o t11is b ook, a 11umber of ge11eral remarl<s \X1l1icl1 \xrill stress tl1e co 11 ti11t1ity of tl1e \vork do11e in tl1e field of Etl1iopia11 cri111ir1al law a11d tl1e comm1111ity of i11spiratio11 \Vl1icl1 \xre botl1 hoJJe is aJJiJarent to all, existi11g between the drafter of tl1e C�de a11 d tl1e !Jrofe�sor e11trusted witl1 tl1e tasl< of exrJlai 11i11g it a11d faitl1fully exJJressi110its 0 mea11111g a11d pur1Joses i11 l1is teacl1i11g. 1�1,e i11trodt1ctio11 i 11to a la\xr so tolall)' 11e\v is difficult indeed. Tl1e code differs fro1!1 t!1e ''common la\v" as well as from Etl1ioJJia11 traditio11al la\v a 11 d writte11 Eth101J1a11 la\xr as contai11ed i11 tl1e P�11al Code of November 2 1930 (Tel<emt 23, 1 ? 23) JJro111 u �� ated 011 tl1e coro11atio11 of En1peror Haile Sel�ssie. Tl1e SJJirit, t:c�i17 1qL1es, prov1s!o11s a11d ge11e1·_ al s_;rsten1 of tl1e Code belo11g· to conceptio ns \vhicl1 are ofte11 \v1dely separate 1n l11story arid ti1ne and varyino- witl1 res1Je to ct the nature of offenses or tl·1e value or sig·11ifica11ce I of pena l tie Th ; i 11 evitably is · · · crea tes or a11oo·me11ts . a risk o ·f co 11fus1011 and m1st111derstand111 · l1 the n1oder11 · g wl11c . sc1e11ce of com1Jarat1\1e law atte1n1Jts to prevent or retnedy. In ii,trod�c!11g tlie Pe11al Code of 1957, the basi ·ect n1atter of Profesc su b1 _ sor L O\vens · · te1n s t1n1ely work, I liave e. ndeavored briefly to empl1asize tl1e . . �- ''Vers 11n nouveau droit penal '.ti110 · _·1e�.• d � la plus anc1enn e a la leg1slal1on du n1011cle," in Revue � plus recent e _ Internationale e �11111 °1 1 . de_ P��zce_ Techn1q11-e, Ge11e va, 1954, no. lt. � d p. 255 ff.; "De !'antique au no uveau dro� p en 1&"e t 11?P1�I� , 111 La Vie judiciaire, P aris, ctober 1954_, nos. 445-446. See � � . _ also ourv:·otl�. d r . .1 t_icles �e JUbil dtt Couronnen1ent n1 e�le le gi sl l et at io i n eth opienne" La 1)e ria v i � p �i e f �Et �or 1e n1oderne et la cod if ication dt; ni, :1 :;���red. -�� I SR, Apr 1l-fv\ay 1 ?55, nos. 525-526 and 101 , . ev11e Penale Suisse, Berne, 1957, no. 4, P. 3 9 r .

!1

FOREWORD

X\T

differences a11d tl1e guicling J)ri11ci1Jles, \\?}·1icl1 are fol111d i11 tl1e L(JW of tl'Je J(ings, the 1930 Pe11al Code a11d tl1e 11e\v Code of 1957 by poi11ti11g to tl1e l;ttter's ''structt1re, }Jri11ciples a11cl s1Jirit'' (Part I I, Seclio11 I). I l1ave fl1rtl1er attem1Jted

to sl1ow tl1e 1nea11s by \xrl1icl1 ' tl1e reco11ciliatio11 or traditio11 a11d jJrogress'' ca11 �e brot1ght about. N\e11tio11 was 111ade of tl1e i11SJJiratio11 derivecl fron1 tradi­ !ton o r, more correctly, fron1 tl1e basic traditio11al co11ce1Jtion of tl1e la\v a11cl inborn s�n�e of jl1stice 1 011 tl1e 011e l1a11cl (Sectio11 II) a11d, on t\1e otl1er, son1e c\1aracter1st1c provisio11s \\Jl1icl1 exe1111Jlify c11rre11t 11eecls a11cl tl1e 11e\xr s1Jirit of tl1e Code (Sectio11 Ill). Tl1ese 111�tirt featt1res of t\1e 'i111acre'' of 111oder11 Etl1iopiat1 pe11al law, if 011e \Vill al\o\'<' tl1e ex1Jressior1, illttslrate tl1e tra11sitio11 ''fron1 tl·1e olclest to !he 11e,xrest JJe11al la\v i11 tl1e \x·orlc.l'' \vl1icl1, as I 11olecl i11 a sl1ort stLtCl j; i 11 1954, 111vo!ves JJroble111s at 011ce i11leresti11g ;t11d cliffict1lt. Tl1ese 1Jroble111s are still crt1c1al a11d l1ave bee11 a11aljrzed ag·ai11 i11 a co1111Jrel1e11sive stt1cly \vl1icl1 I JJre­ pared for tl1e n1eeti11g 011 ' 1 CL1sto111ary a11cl Coclified La\v'' l1eld by EL1ro1Jeai1 and Africa11 jt1rists 111 \/e11ice i11 October 1963, as \v'ell as i11 lectL1res g-ive11 i11 Marci, 1964, at tl1e E11rc)r)ea11 U11iversit)' Ce11ler 111 Na11C)', 011 Tl1e Co11tribL11 tio11s of Et1ro1Jea11 Pe11al La\v to Africa11 Co1111tries' wl1icl1 are co11fror1tecl \v1itl1 tl1e ard11ot1s, j et c\1alle11gi11g t:1s!{ of givi11g tl1e111selves n1oder11 Codes.3 1

1

11

1

Wl1at I l1ad felt sl1011lcl be stressed \vitl1 respect to Etl1iopia11 la\x1, its ricI-1 JJast a11d its jJrogressi\re ,t11d cor111Jrel1e11sive coc\ificatio11, is tl·1at it set at1 ex­ ample b)' acl1ieving a spirit11..:ll SJ 11t!Jcsis. Tl1is jJOssibilit-)' l1acl alreacly lJee11 IJer­ ceivecl a11d 11otecl i11 tl1e l1r11Jerial Prea111ble to tl1e 1930 Pe11al Code \'{/]1ich demo11strated (Articles 5, 15 a11d 16) }10\Xf tl1e 111cider11 Etl1io1Jia11 legislator cat1 a11d n1L1st adjt1st \1in1seif to cl1a11g-es a11d )' et still be i11s1Jired bj' tl1e spirit of j11stice a11d tl1e p11r1::;ose of correcti011 \X1 l1icl1 clisti11g,t1isl1 tl1e 1:·e11-1a Net:i1est. 1t 11oi11tecl ot1t tl1at tl1e JJri11ciples of tl1e Et1ro1Jea11 Codes tl1at l1acl servecl as a 111oclel fc)r this first moder11 codificatio11 are still \rery ofte11 close to tl1ose \Vl1icl1 are foL111d ex1Jressed in tl1is ve11erable legislatio11, a fact \,1l1icl1 is 11ot sL1rr)risi11g if 011e recollects tl1at tl1e Lciw of tiJe f{i,igs is tied to t!1e biblical a11cl Ro111a11Cl1ristiar1 traditio11 tl1rol1gl1 tl1e Cl1L1rcl1 of Alexa11dria, tl1e l1eritag·e of \v'l1icl1 l1as bee,, preservecl i11tact b11 its EtI-1ioJJia11 bra11cl1. Tl,e Law of the Ki11gs, deepl11 rooted i11 tl1e Olcl a11cl Ne\xr -resta111e11ts1 the \vriti11gs of tl1e fatl1ers of tl1e Cl1t1rcl1 or tl1e ''Tl1ree I:-lu11clred Wise fvle11 1 ' of tl1e Nicaean Council a11d inspired b)' tl,e reverecl 1ne1nory of t\1e Cl1ristia11 Emperor, Consta11ti11e1 lived 011 i11 Etl1io1Jia11 la\v. Wl1at disti11gL1isl1ed tl1is la\v, tl1is royal custom of Etl1iopia, is t11at, faitl1ft1l to its origir1s, it re1)rese11ts a juridical mo11t1ment lofty i11 spi_rit a11d rernarl{able for its ti111e.. Etl1io1Jia11 traditional law does not ex1Jress itself tl1ro11gl1 abstract jJrecepts, bt1t 1s ce11tered on daily life. Its maxitns, fa1niliar eve11 \X1l1e11 tl1ey co11vey tl1e 11oblest co11ce1Jts, always originate i11 practical illustratio11s, ?aily eve11ts or "cases'' �s does also, mutatis mutandis, tl1e co1nmon law UJJ011 \vl11cl1 adva11ced legal stL1cl1es are basecl in E11glish a11d America11 U11iversities. These prernises were esse11tial, I felt, wl1e11, \vl1ile drafti11g tl,e ne\x,r 1

3. 11 Ett1des sur le droit coutt1n1ier africain," Colloquiu111 l1elLi fron1 October 3-6, 1963 at tl1e Giorgio Cini Foundation on the s11bject: Cuslomary a11d Codifiecl La\xr; fron1 Traditio11al to i\lod­ ern Law. The Colloquium was organized i11 co-01Jeratio11 \'l:Jitl1 the Societe Africaine cle Cultttre 11nder the patronage of UNESCO. The various repor1s, del1at�s and concl11sions \viii arJJ)ear i11 Quaderni di San Giorgio (ed., Sansoni, Florence). See also � ur views e�_pressecl at the Centre Et1ro­ , _ penal at1x Pays peen Universitaire de Nancy (France): "1-'a[Jport eu1:opeen en n1_ at1ere de dro1t africains en voie de developpement", Cot1rs de l'Jnst1lut (llll()Ubl1sbed) and sun1n1ary i11 Revue . _ p. 6 ff. a11d pa.rt1ctilarl) 1 , for c11ston1� Droit Penal et de Criminologie, Brussels, July 1964; reprint ary law and Ethiopian codification, p. 17 and pp. 32-37.

. ...............

.

. .

-·-··--

-·�

#

II

-

&

XVI

FORE\XIORD

1 1d st t1 dyi1�g a 55 19 1d a1 54 19 s �r ye e tl1 _ Code iii Adclis Ababa ks or w _ �y . of _Ignazio 1 la 1o . sc e tl1 1 _11 st it e _eg � N 1 e a i! ? tl e F 1cl a1 Ell,ioi)iai, sotirces 0 1J1 a1 1 leg 1s]at1 on �a d l11 Et 1t 1 e1 1c a1 1 cl l11 \X, 1 1tl w tl et 1b y st e _ Otiidi, I cliscovered tl1 t se e 1 1 ar l1o co 11� 111g ce e bl ta . t 11o os n1 _ e i �l s 1 e 11 l ob 1)r ex solved so niany coin,Jl e fa ul t �nd its sa11ct1011, tl1 11 ee t\v �e 1 01 rl1 Jo o1 e jJr tl1 , ce 11 j 11tei,tio1 1 ai ,d 11eglig·e e ss �11 d re dem1_Jt1011 of offe11ders, 1 e1 1v rg f� e , tl1 1 1 11t 11 isl ne 1 pt of 1 tlie iiidividtializatiot . ese so lt1 t1 011 s contemplated l� t 1 e � , 1 11g l1t fig e of s s ca i11 ilt gu of aiid tl,e sliarii,g e s 1tuat 1 011s for tl1 e j)Opt1lace: H�\v l lab 11� sta er 1cl 1d t11 1 a r lia 11i fai t ri , e tl,e 111ost curr 111arl<et IJla ce a1 1d 111voluntar1ly e tl1 111 ar e s1J a 1S O\X l1r t 10 \X1l e 01, t!, wi to deal 1 1ter \x,}10 tl1rows a l1u tl1e or rd l1e e� sl1 tl1e tl1 \X1i or , 1er otl 11 a ls l<il or s itijttre siJear at a \Xtild be,1st i11 t l1e busl1 a11d l1 1ts a11otl�er t hro_ugl11 _lack. of care or prt1de11ce? Sucl1 are tl1e qt1estio11s \xrl1icl1 t l1e legislator 1� 11s w1sd?m asks i11 order to se cure t l1e order a11cl IJe ace of t l1e co111mt11 11t)'· Tl1e king, tl1e soldier a11cl tl1e IJlot1gl11na11, tl1e 1naster a11d tl1e serf,1 the goldsmitl1 a11 d the artisa11 tl1e traitor a11d tl1e tl1ief, t l1e deceitft1l sootl1sa) e r and tl1e fJrostitute are tl 1e ce;1 tral figt1res of tl1e law a 11d tl1 e livir1g subjects of jt1stice, tl1t1s givi11g it its jJOjJLtlar cl1aracter a11 cl its realit)'· TI1e la\x, is 11ot me re!)' ''stttdied'' for its o,X111 sal<e , but lived a11d felt ; it is see11, 11ot pri11ciJJally tl1rougl1 a book, but tl1rot1gl1 its a1J1Jlicatio11 i11 cottrt a11d it is, tl1 erefore, ar1 i11tegral part of social Ii fe. 1·11e legal reaso11i11g a11d searcl1 for IJractical solt1tio11s, wl1icl1 give custom­ ar)' law its valite a11d cl1aracterize tl,e n1 etl1od b)' \Xtl1icl1 it \X,as cre ated, ca11 tl1t1s still be relate d 110\,,ada)rs to 111ocler11 doctri11e a11d rules. It is evide11t, t l1ere fore, tl1at a si1nila r, tl1 ougl1 n1 ore elaborate 111et11od, \Xtill co1 1trib Lt te mucl1 towards trai11 i11g mi11ds accusto111e d to co1 1cret e tl1i11l<i11g a1 1d decisions based 011 1Jrececle11ts. Tl1is is \,1l1y I believe t l·1at tl1e 111ethod tl1at Professor Lowenstei11 l1as cl1ose1 1 to s1Jread k110\x,ledge a11d t11 1dersta11di1 1g of tl,e 11ew la\v is very ,x,ell st1ited to Etl1io1Jia.

tl1rot1gl1

. As l1is !J_ur1Jose is to trcli1z le gal 111i11ds as \X!ell as t o iriitiate i11 pe11al law, !11s a1J1J_roacl1 1s care!t1lly cl1o�e11 i11 tl1at it set s fortl1 cas e s, te xts a11d judgments 111 a s1m1Jl e a11d direct fasl11on, t l1us co1npelli11g tl1e read ers a11d stt1de11ts to reflect, to asl< tl1en1selves qt1estio11s, to solve Et/;iopian, albeit u11iversal legal 1Jroblems, as �11 advocate ,vl1en _lie is co11st1lated, a prosect1tor wl1e11 lie fJrose­ ct1tes a11d a JLtcl_ge \xrl1e11 lie tr1�s a case a11d passes jt1dgme11t. Qt1ite clear!)', _ e JJts \VIII b� mor_e easily gras1Jed a11d leave a de eper 1nark i11 t l1e e �al �011c l 1111ncl 1f tl1ey. are slt1d1ed_ \xr1tl1 reference, 1 1ot to a case tl1at IJOses itself i11 lati11 f?11_ 111.1la� or 11�volves P�·11nus a11 d Secu11dt1s, or Ca1t1s a11d Pat1lt1s, but to t l1e �1m1Jle 11.1le la_1d dow11 111 t l1� C_ode_ (,xrl1ose J)rovisio11s aim at brevity so as to 1 ese111ble maxims). or to Etl110JJ1an Jt1d��e11 ts i11volving JJerso11s \xrhose names _ 1 be l7 eard eve�)' day, c1.1rre11t co11d1t1011s a11d difficult ies arising i11 busi11ess �a1 111. tlie 111_arl<et or 111 do111es_tic ?r social life , or l1abits, circu1 nsta1 1ce s or offe11se� ,v11tl1 wl11cl1 tl·1e cot1rts ord111ar1ly co1 1cer11 tl1e111se lves. · 1·11e jJarties as \Veil as tl1e advoca' te aii d tl1e 111aa1s trate are co11seqt1ently b I ect b Y t i1e I1a11ct , as 1·t \Xlere a11cl tl1e 1·uctge is 11 ·cte d wit t 0 Jrov1 · I 1 yrea 1 11a ct e d f . a11. cl 1Jossib},,J ill-dige sted ti1e' o1.et te · a1 so 1ut1011s b. t1t n1ust. f'111 ct ti1e a11s\xrer , f ? I· l11111 self, t1si11g J1 is l<tlowledge of tiie ' ci1Jles wl11cl1 l1e mt1st st ttd)' 1n · b ast� . JJrii, . de1)tl1 a11 d froin wliicli 111·s a11swer s1Jr 1 11 as A t a tiine . w, I1e � mo der11 I aw .1s be1. , 11g st1bstittitecl for t raditiotlal la\x, tlii; 1:1 · etl1od co m bi ne s, 111 a st1ccessful a11d clear 111a1111er tll e sttid o f ''c s-� teacl1 �ng ancl tl1e 'searcl, fo; doctri��1 IJeculiar t� Anglo�A1:1erican 11niversity Jf ract1ced i11 Lati11 a11 d Et1ro1)ea11 t1� �� f� �lfJarat1ve ''pr111c1 1Jles'' or ''11orms' ' ive it s I t inay be added tl 1at our u11iversities a11 ct otl1 e r at1 tl1orities responsi ble

XVII

FOREWORD

f�r �he bettern1e11t of legal eclt1cation are moving lO\'(lard a sitnilar co111�1nat1on tl1rot1gl1 the developn1e11t alo11crside of e.Y. cat/1edra lectttres, of fJrac­ t1cal exercises'' a11d ''disct1ssions 'of J)r�ble1ns." As is den1011stratecl, 011 tl1e otl1er l1a11d, by tl1e creatio11 of semi11ars i11 co1111Jarative la\v a11d tl1e America11 :'Model Penal Code'' drafts, �l {JaralleI, tl10L1gl1 reverse process, is ur1der way 1n com�o1� law i11stit11tio11s of l1igl1er learni11g, wl1ere atte1111Jts are 1nade to !race pr111�1ples back to tl1eir origi11 a11d to realize a sy11tl1esis tl1ro11gl1 tal<i11g 1n_to cons1deration legal doctri11es a11d 1)rovisio11s of otl·1er s�)'ste111s or cot111tr1es. - ·--- ·- - ..... .. . . . 11

!vlay I be per1nitted, i11 co11c!L1sior1, to exJ)ress tl1e JJleas11re I feel, botl1 for m) self a11d for Etl1iopia, \\l·l1ose clesti11y is dear to 011e \xrl10111 sl1e l1as \velcomed ar1d trt1sted b)' allo\Xri11g l1i111 to co11tribL1te to lier !Jrogress, at tl1e tl10L1gl1t tl1at a doctri11e ar1d scie11ce of Etl·1iOJJia11 1Je11al law are bei11g developed so soon. Tl1is is e\1 ide11ced l1)' \VOrl{s st1c11 as Professor Lowe11stei11' s a11d otl·1er researcl1 a11d comme11taries tl1at are beir1g jJre1Jared, as \vell as by ev·e11ts s11cl1 as the fo1111clatio11 of tl1e joztrn,z.l of Et/JiOJJian Law. Witl1 its \'er1r first 11L1n1ber, this prornisi11g IJltblicatio11 1 \'Vl1icl1 does l1011or to tl1e La,v fac11ltj' of I-Iaile Sellassie I U11iversit)', l1as collected \1alL1ab1e co11tribt1tio11s a11d attai11ed a scl1olarly level sucl1 as to deserve 11ot 011ly tl1e atte11tio11, b11t also tl1e esteen1, of foreig11 jurists. As tl1e Swiss Pe11al Cocle, prom11lgated i11 1937 after years of 1)air1stal.:. i11g and patie11t {Jre1Jaratio11, 11as, si11ce its first drafts1 l)rovidecl tl1e grot.111cl for a very rich and valuable literature a11d, by tt11if)1i11g tl1e 11atio11al la\v, l1as per111it­ ted the creation of a ge11L1inely ''Swiss legal doctri11e' so tl1e pro111t1lgatio11, stL1dy and implen1e11tation of tl1e Etl1io1Jia11 Pe11al Code, \v<l1icl1 is close to tI-1e S\viss Code i11 so ma11.>' resJJects, \vill 110 dottbt IJertnit tl1e creatio11 of a tr11c science of Etl1iopiar1 penal law. Tl1is \vill occt1r 110 cloubt i11 all otl1er bra11cl1es of Etl1iopia11 la\v' also. fLtll aware11ess of tl1e \vealtl·1 tl1at lies ir1 a n1011L1111ent of sucl1 dimensions as tl1ose of tl1e 11ew Etl1iopia11 Codes is crt1cial to tl1e development of a scie11ce \Vl1icl1, after tJ-1e substa11ce a11d spirit of tl1e Codes has been assimilated, will wa11t to s110\xr itself \X-'Ortl1y of tl1e legislatio11 tl1at }1as inspired it. Tl1is wisl1 accords \xritl1 tl1e desires a11d promises co11tai11ecl in the Imperial Preface \xrl1icl1 opens tl1e Pe11al Code give11 to Etl1io1)ia i11 1957. 1

1 ,

Tl1is is wl1y we l1ope that tl1is very 11sef11l work of Professor Lo\venstein will meet witl1 great sticcess. May tl1e you11g Etl1iopia11 lawyers, trai11ed i11 their homeland by teacl1ers acqt1ai11ti11g �1,em witl1 tl1e. syste1n, str11ct11re, mea11ing and generotts JJUrposes of a la\-q ,x,l�1cl1, as tl1�y \Xltll t111dersta11cl \"v'he11 tl1ey kr1ow it, is their own, and wl1icl1 tl1ey, 1n tt1r11, will serve, a1)fJl)! a11d teacl1, be convinced that this law i11 the last analysis aims at a si11gle goal: to make it possible that science et conscience togetl1er guarantee tl1e jJrogress of man and tl1e development of judicial and social i11st_itutions desi� n�d to e11able tl1�ir �ou11try to prosper in the order and peace wl11cl1 tl1e law 1s 1nte11ded to ma111ta111. Tl1e supreme ambition of penal law will tl1us be, 11ot to make man s11ffer, but to educate him, to protect him from l1imself, if 11eed be, and to make l1im a t1seful member of tl1e community. May, 1965 Geneva, Switzerland

. ..

·-··.--

� ..\

Professor Jean GRAVEN former Dean of the facttlt_y of La\v

former Presictent of the University of Geneva

Judge of the Court of Cassation President of the lnter11atio11al 1\ssociatio11 of Penal La\Y:

Preface Tl�e �acuity of L,l\X' of I-Iailc Sellassie I U11i,,ersil)' i tl1e 11atio11al U11iversity of Etl1101)1a, ,x,as 01)e11ed b)' J-Iis l11111eri,tl Jv\ajest)' 011 Se1)ler11ber 23, 1963. Ne\'\i <;odes l1a� b�e11 f)romulgated several 1,ears earlier l)11t tl1ere \Vas 11ot at that time a11 111d1ge11ot1s lerr,11 literatt1re \Vl1icl1 cot1lcl be ttsed for refere11ce or !e��l1i11g· i11 .tl1e fact1lty..::.lt \Vas stro11gl )' felt b)' tl1ose \vl10 \Vere i11\rolved i11 1111t1al p1a11111ng, tt1at tl1e 1)rer)ar,ttio11 of teacl1i11g tnaterials relatecl to tl1e 11e\v arid. de .velo1)i11g la\X' of Etl1io1Jia \vas of l1igl1 !JrioritJ·· Tl1is booI< is tl1e first rea11zat1011 of tl1at j11ctg111e11t. Tl1e follo\vi11g 111aterials are desig11ed for tl1e tcacl1i11g of tl1e first )'tar co11rse i11 Pe11al La\v. A fe\\;' \x ords co11cer11i11g tl1eir sot1rces, co\,erage a11d or­ ga11izatio11 111ay be 11el IJft1 I. 1

Tl1e starti11g !JOi11t of eacl1 JJroble111 exa1ni11ed i11 tl1cse 111aterials is, of cottrse, tl1e Pe11al Code of 1957. \Vl1er1ever available, 0Ll1er Ell1iorJia11 sotrrces ll1at are l1el1)ful to tl1e ir1terr)retatio11 of tl1e Cocle or to a11 t111clersta11di11g of tl1e ()rol1lems i11!1ere11t i11 its i111ple111e11tatio11 l1ave bee11 t11clt1cled, i11 J)articttlar, jt1clg1r1e11ts of tl1e Higl1 a11d S11pren1e Courts, l1istorical so11rces sucl1 as tl1e fell1a Nag·ast a11d tl1e Pe11al Coe.le of 1930 a11cl tl1e fe\'\' \x1 rili11gs tl1at clo exist deali11g \\.'itl1 matters releva11t to tl1e st11dy of 1)e11al la\X'. rfl1ese sot1rces, l10,vever, are 11c>t sufficie11t lo J)r0\1ide a co1n1)lete 1111dersta11dir1g of 111atl)' of tl1e JJrovisi<>11s i11 tl1e Code; a brief s11m111ary of tl1e l1istor)' a11d JJrese11t statL1s of tl1e Per1al Cocle \vii! l1elp to ex1Jlai11 t]1e 11ecessity for tl1e ir1cl1.1sior1 of st1bsta11tial S\viss ar1(l co111parative materials i11 r11atl)' sectio11s of tl1is l)OOl( . Tl1e drafti11g of tl1e Code \Vas begu11 i11 1954 by Professor Jear1 Graven of Geneva, S\vitzerla11d, a11d upo11 con1JJletio11 ,vas JJrese!llecl i11 fre11cl1 to a Codification Con1missior1 cornposed of distii-1g·t1isl1ed Etl1ioJ'Jia11s a11d foreig·11ers. Tl1e Commissio11 made certai11 cl1a11ges i11 Professor Orave11's origi11al Ava11t­ projet, some of wl1icl1 l1ave bee11 recorded _ i11 11otes tal<e11 i11 1�re11cl1 b�)' Dr. Philippe Orave11, tl1e drafter's son (see AJJl)e11d1x). Tl1e Code \Vas tl1e11 tra11slaiecl into Atnl1aric and E11glisl11 its official la11gt1ages (A111l1aric is co11trolli11g)1 dis­ cussed i11 Parliament, wl1ere debates are, for tl1e 111ost f)art, t111available1 a11cl promulgated witl1 tl1e approval of J-Iis In11)erial Majest1, as Procla111atio11 No. 158 of 1957. Swiss cornmentaries and cases l1ave bee11 i11cor1Jorated i11 tl,e materials \\/}1er­ ever Etl1iopian sources, primarily t11e brief Codificatio11 Co1n111issior1 Notes a11d judicial opinio11s are 11ot available or l1el1JfLtl i11 i11ter1Jreting ar11bigL1ities in tl1e Code. Tl1e Swiss materials are ir1cluded, l1owever, 011ly \Vl1ere it a1J1Jears1 fro111 a comparison of the two penal codes or i11 a fe\v insta11ces, tl1e Etl1io1)ia11 Code with Swiss case law, t}1at the drafter drew l1is i11s1Jiratio11 fro111 S\xtiss s011rces. In such areas, the Swiss materials 11rovide, as it were, a qt1asi-legislative l1ist­ ory enabling the stude11t to determi11e tl1e probable i11te11t of tl·1e drafter a11d1 therefore, also the legislature, as it seems to l1ave n1ade fe\'<' c11a11ges i11 tl1e

drafter's final text.

I I

'

PREFACE

xx

helcss irnet n �s o it 11 , 11 io at et r fJ er 1t i1 s is w S y b d ii Li o t b o 11 is 1 ia 1 o · ' E g 11 in Altl1oug. , � 1, I� 11 e ca b ea m er et d le ab b JJ ro 1a t tl so d e d i t1 e st b e s tr o such ·1ti 11. r1 tl,e Code. To facilita JJorta11t tl1at S\Xttss s t � inqt1iry te an . . . r ttcl es w a l t1 tf b t1 o cl r f o r Jo t d 1 mi,, n1 e t 0e11er al a1 11 . 1g 111 11 ta 11 co ls ia r e at . 1n f tl ·iese o d en ie tl t · a · 1 A 1 1a 1-·1 c, E11glisl1 the Ava rs ea JJ JJ a t n a1J1Je11cl1x p roJe t · . 11 . , e ? o . C l e a P 11 11 Part articles of tlie Etl1io1Jia fre11c!1 as 1t emero1:ned f_r_ 01 11 tl 1e Cod1 f1cat1on Corn. fiiial e 1 ti d a11 ter a f d r of_ tl�e er con1parative sources otl1 a11d 1Jart� r · te cot1n eir S\viss tl1 tl1 1 \VJ r 1e tl e g o t 11 10 1111ss 1 consulted by tl1e drafter. n ' he e) w ed tl1 us 1 al e1 e de b ve l1a s, is r . v S\ 1 a1 tl1 r he ot , ls ia r e at Comparati\,e m t re p_resented l1a , � re t� na y lic po or l_ ca ri o _ st l1i 1 � a1 \Viti, probleins, 1Jrirnarily of 1!s t10 ct 11a f� e s1t t 1d no ov �r ey Th n. 1o at er 1d 11s co er 1d t11 les tic ar by the EtliioJJia11 e v ns to 11_ u1 t1o rs l11 al so _ e t1v ra 1Ja 111 c? d an ls ria ate 111 1 ia1 oJJ l1i Et ir1 readil)' available f Etl�1op1a11 o t!1e. st_ u dy to e 11c e r1 1Je ex 1d a1 l1 JJt de pe11al proble111s \vl1icl1 add f soc1ology o es l111 c1p d1s ted ela r e tl1 o11 11p 1es 1cl to1 it fJeiial la\v.r, 1Jarticularly as psycl1iatry, cri111i11ology a11d pe11olog·y. e siv ces parts d suc a11 1 io1 uct rod i11t a11 ts: jJar 1r fot o i11t d ide cliv The bool< is cleating \vitl1 tl1e g·e11eral 1J rinci1Jles of tl1e Penal Code, tl1e SJJecial Part a11d the Code of Pe tty Offer1ces a11d tl1e dispositio11 o f offe11d ers. The introductio11 is JJri1narily of a textt1al r1at11re \vitl1 the fJU r pose of providi11g a bridg e for tl1e 11 e\X1 la\v stt1de11t fro111 l1is undergrad11at e st11dies to tl1e S[Jecial anal),tical d emands o f legal s11bjects. Tl1e op e11i11g cha1Jter i11trodt1ces l1im to tl1e Codes and to legal sl<ills tl1at \x ill be expected of l1i111 s11cl1 as disti11gt1isl1i11g fact ual situatio11s, deter111i11atio11 of releva11Cy' a11d JJrecisio11 i11 reading·. Tl1e st1cceedi11g chapters c or1cer11i11g· tl1e fL111ctio111 sco1Je, nat11r e a11d l1istory of Etl1iOJJia11 penal law help to 1Jlace tl1e sL1bject of JJe11al law i11 jJersJJective. The second part is most ex­ te11si\1e, coveri11g all basic ge11eral pri11ci1Jles etnbodied i11 the first eigl1ty-four articles of tl1_ e Code exceJJt tl1ose allocated to tl1e co11rse i11 Cri1ni11al Procedure. Tl1e tl1ird_ J)art JJ ro�ides a,, overview o f tl1e S1Jecial Part a11d tl1e Code of Pett y Offe11ces 1n tl1e belief tl1at tl1e stude11t \v.rl10 l1as a sou11d understa11di11a of tl1e ge11eral _1Jri11ci1Jles \Vill be able_ to a1JJJly_ tl1em to any of tl1e l e11gtl1y c�talogue of S1Jec1al �art �11d Pett>, Otfe11ce articles. In tl1e fi11al part, a co11siderable an1oun� of time 1s SJJ e11t 011 tl1e se11te11ci11g JJrocess and tl1e i11stitutior1s wl1icl1 cleal ':x11tl1 the JJ�11al offender. Tl1is aspect o f JJ enal la\v.r is too o ften neglected 11d, 111 _ t l_ 1e _ 01J1111�n of tl1e autl1or1 ofte11 l1as more importa11t co11seqt1e11ces for � tl1e fu11ct101�111g _of tl1e pe11al syst�111. tl1a11 t�1e deter111i11atio11 o f gttilt upon which s� 1�11cl1 t!me_ ts . expe11d e�. r��s 1s pa:t1cular1 1, true in a d evelopir1g nation \vl1e_1 e tl,e 111st1t_t1t_1?ns of d�SJJ0s1t!o11 are 111 tl1eir formative stages, arid tlierefo re, reta111 t�,e p�ss1b1l1ty of J?1011eer1ng toward 11e\xr solutioiis in a field iti \�hich 1nost or tl1e 111dL1str1al 11at1011s l1ave badly faltered. . Tl1e n1etl1od of orga11izatio11 of tl1e materials witl,i i , eac} 1 se on is dect·I s1g11ed to e11cot1r_age st11de11ts to tl1i11l< for tliemselves ca 1 · , re e ftt i ll t d e a c � Y � a_bot1� JJrobl�ms 1n tl,e JJe11al area. Althougli a coiisider.able f � an1oun of tn. 01 m t1011 is jJrov1d ed, tl1e inain ft1nctio11 of tl1e n1aterial JJe11�l law st11dent i11 tl1e esse11tial thou ·l1t att er , s ts t o help to train . t_he ns f _the Iawye r: tl1e ab1l1ty <;> to isolate mat erial facts, to arJply absTract P le 1 be r_eleva11t and to worl< liard aiid iiide eri�:1 JJr111c1ples to tl1ese facts, to itly. R ead y ans�e rs are 11ot J)rov1ded; releva11t sources are ordered aid . se t o� t togetl1er w1tl1 qt1est1011s �11d JJroblen1s to guide tlie stud ent to\vard ce titral 1ss11es. Recommended read111gs, selected from tl,e faculty's librar a Y exploratio1!. Tl1e classroom exprieti�e bii�� 5 lso provided !o e11courag� furtl�er . upon. a fJrev1011s gra1JIJl1r1g \'Vtth the 1nater1als a11c\ provides atl explora · t10 1 111 dept}, o f proble d by tl1e readi11g·s. Tl1e bttrden is al\v n te p re m se s ; ay; ptt ttpon tl,e stt1d e11t to sl1are i11 the 1

1

1-

PREFACE

XXI

a11alysis a11d solL1tion of proble111s wl1icl1 is a11 ex1)erie11ce tl1at is often frustrat­ ing a11d difficult at tl1e ot1tset, bL1t i11 tl1e l011g rL111 er1orn1011sly frLritfttl a11d rewarding for both teacl1er a11d student. �ltl1ot1gl1 the prin1ary pt1rpose of t\1ese 1nalerials is tl1e teacl1i11g of JJe11al la\v in Etl1iopia, it is l101)ed tl1at tl1ey \Vill also serve as a t1sefttl refere11ce tool otttside of Etl1iOJ)ia. Tl1e tra11slatio11 of 11t1111erotts S\viss a11d co11ti11e11tal sources mal<e tl1em available to tl1e E11glisl·1 rea.der for tl1e first tiI11e. Also, a large 11t1mber of Etl1ioJJia11 selectio11s ar1d otl1er lesser l<110\xrr1 comJJarative n:aterials from developi11g 11atio11s j)rovicle i11teresti11g JJers1Jective for tl1e solu­ tion of many pe11al J)roblems. As co111111 t111icatio11 bri11gs 11alio11s closer togetl1er, it beco1nes increasi11gl)' clearer ll1at a great cleal ca11 be learr1ed frorr1 tl1e study of com1)arative J)e11al S)rste111s. finally, I \,1ot1lcl lilze to exrJress n·1y aJJIJreciatio11 to tl1e 1na11y JJeople \Vl10 heltJed bri11g tl1is bool� i11to bei11g·. 111 [Jartic11lar, I \'vOLtld like to tl1a11l, Dea11 James PaLtl first for n1al<i11g the 11ecessary fttnds a\ ailable, bL1t 111Ltcl1 111ore 1mportar1tl)', for l1is \,::ar111tl1, enco11rageme11t a11cl frie11clsl1i1J \vl1icl1 l1ave mea11t so 11111cl1 to 1ne. I \x1 011ld also lilze to tl1a11l< tl1e ford fou11datio11 ai1d tl1e I11sti­ tt1te of l11ternatio11al Edt1catior1 of Ne\'v" Yori< for tl1eir research gra11t tl1at enabled 111e to stttd)-' a11cl tra11slate tl1e S\v'iss sot11·ces of tl1e Et11iopia11 Pe11al Code ir1 S\xritzerla11cl cl11ri11g· tl1e s11111n1er of 1964. Professor i\1\icl1ael J(i11drecl of tl1e facttlty 111ade i1111t11nerable l1el1JfL1l st1ggestio11s arid correctio11s of tl1e initial mantiscript a11d Dr. Pl1ilipJ)e Ora\re11 of tl1e Mir1istry of Jt1stice pro\1ided co11ti11t1al assista11ce 1Jartict1Jarly i11 cl1ecl<i11g all materials tl1at l1acl beei1 translatecl fro111 tl1e fre11cl1. Of cot1rse, fi11al res1)011sibilit)' for accL1racy rer11ai11s witl1 tl1e at1tl1or. I also ver}' 111t1cl1 a1JJJreciate tl1e assista11ce of tl1ose \'<rl10 l1el11ed witl1 JJroofreadi11g, 1Jarticttlar1)' Professors Sta11Iey fisl1er a11cl Robert Sedler, ot1r stt1dent researcl1 assistar1ts, Ato Sl1i111elis i\1letaferia ar1cl Ato Zega_')'e 1-\sfa,x· and the mat1}r otl1ers \X:l10 fot1r1d tl1en1selves cor11erecl \Vitl1ot1t ready exct1se. Tl1a11l<s go also to l\1rs. Pat I<:rt1eger \Vl10 t}'!Jed seen1i11gl)' e11clless ste11cils 0\1er a two year IJeriocl a11d Iv\essrs. T. a11cl B. f\sla11ia11, 0. Ori111alcli a11cl tl·1cir asso­ ciates \Vl10 outclicl tl1emselves setti11g by l1a11cl tl1e cliffict.tlt JJages of tl1is boo\,. final)y, I \VOtrld Iil\e to tl1a11l< 111y stt1de11ls \x;l10 11.ave 111ade 1ny y�ars i11 Etl1io­ pia so pleasa11t a11cl 11ave tattgl1t 111e n111cl1 01 tl'1e1r co1111try a11cl its JJe11al ]a\'v". 1

1

Sr · EVEN

Addis Ababa

lv\ay, 1965 •

, !. ..

' - ...

LO\X1 ENS"fEIN

,

.

.

.. . .

:,

. .. . :- .- ·

' ' .. .

. ,, -

'

-. ...

,

.

- ·. ..

,.

'

Table of Chapters Page

Foreword Preface Table of Contertts Table of Laws Table of Cases

VII XIX XXV XLII[ XLVII

PAFT I

An Introduction to tre Study of Penal Law Chap 1. The Examination and l11terpretatiot of a Code Provisio11

2. 3. 4. 5.

The The The The

function of Penal Law Distinction Between Civil and Penal Law Scope of Penal Law Penal Code of Ethiopia: Sot1rces and form

3 14 32 40 57

PARf II

The General Part 6. 7. 8. 9.

Introduction The Criminal Act Criminal Guilt: The Mental Elemer:t Criminal Respo11sibility 10. The Affirmative Defenses 11. Participation in an Offense

70 77

135 159

206

253

PAR�· III

The Special Part and The Code of Petty Offences 12. The Offense of Bigamy

13. Tl1e Petty Offense

.

.'

.

: \-

., . . .-

.

•· t ,','-"'

.

280 297

I

l

XXJ\1

TABLE Of CHAPTERS PART IV

s r e d n e f f f O o n io t si o p is D Tl1e 14. Sentenci11g 15. The Ideal of Deterrence n o ti a it il b a h e R f o l a e Id e h T t6. Appendix /11dex

312 336 358 385 411

. ..

�··:·.· .. : .· •. ::. · · . :.· . ;...� . · '' . . .. · '. ' . · .; . :.. · . '

...... .. ..

.· ..

.

Table of Contents Foreworcl Preface Table of Chapters Table of Laws Table of Cases

Page

Vil XIX XXIII XJ_J If XLVII

PART I

An Introduction to tl1e Study of Penal 1,avv CHAPTER 1. THE EXAMINATION AND INTERPRETATION OF A CODE PROVISION

Regina v. Dt1dley and Stepl1e11s (E11gla11d)

Questions Problems

Short Statement on Objective a11d Subjective Standards

3

4 -'l

6

Notes:

1. Tenets of Penal Interpretation

Bouzat, The I11terp1·etatio11 of Pe11al La\VS Planiol, Wl1ere the Law Iias Ordai11ed But its lvlea11ing is Doubtft1I America11 Ju1·isprudence, Statutes; I11ter[)retatio11

Questions 2. The Legislative History

Penal Code of Etl1iopia, Art. 71 Notes of the Imperial Codification Co1nmission

Questions 3. The Relevant Foreign Law

Code Penal Suisse, Art. 34 Waiblinger, The State of Necessity Logoz, Necessity Legal, The Defense of Necessity in fre11cl1 JttrisJJrt1de11ce

Q11.estions Problem 4. Excess of Necessity Reconimended Readings

7 7 8

9

9

10 10 10

IO

10

11

11 11 11 12

CHAPTER 2. PRELIMINARY CONSIDERATION OF THE FUNCTION OF PENAL LAW Sect .. A. The Function of Law

Hoebel, The functions of Law Questions

14 19

Sect. B. The Purposes of Punishment

Salmond, The Purposes of Criminal Justice Hall and Glueck, The Aims of Crimi11al Law

..

..

. . ·�: �:/(·-�··/ �... �.·· . :.5 .. .. .·:. • : . . · ·. . .' : ·· : . · · . . .· :.

JO

19 23

•!-! .,£

� £ 0---!.• s=-

•££::W::W::,..:.

-----

TABLE Of -CONTENTS

XXVI

Notes: se po 1-1r �f ts en ,n te f! ta S d ie if od 1. C

l . rt A , e c fa re P , . 1a p o 11 f tl o E Penal Code ), 50 9 c (1 l1 b u 1J e R s le 1J eo P 11 ia ar g n u Peiial Code of tl1e H Sects. 1, 214 , . ct 2) 02 1. 96 Se (1 e d o C l 1a er P el d o M , te u it st A111erica11 La\xr In 2. Tl1e Efficacy of Deterrence t ec ff E nt re er et D s It 1d a1 y lt 1a e1 1 P tl ea D Selli11, 1�1,e 3. Tl,e Importance of Research Iiarno, Tl1e Irnpact of Scientific Researcl1

Questio12s Recontmertded Readings

27 27 28

28 29

30 31

W L LA NA PE D AN L VI CI N EE TW BE N IO CT IN ST DI E CHAPTER 3. TH Tl1e Public ProsecL1tor v. Woz. Atsede Habte Selassie (Et hiopia) 32 Ato lv'\al<o11nen Tacle liaima11ot v. Tl1e Public Prosec11tor (Etl1iopia) 33 Questions · Proble,n Notes: Fu.rtl,er Comment Concerni11g the Distinction Between Civil and Cri11ii1zal Law

1. Blacl<stone, 011 tl1e Distinctio11 Between Public and Private Wrongs 2. V 011 Bar, Tort a11d Crime 3. Williams, The Definition of Crime 4. Cohen, lv\oral Aspects of tl1e Crimi11al Law

Questions ]�ecommerided Readings

CHAPTER 4. THE SCOPE OF PENAL LAW: THE LEGISLATIVE PENALIZATION OF CONSENSUAL HOMOSEXUALITY

Penal Code of Etl1iopia, Art. 600 Sexual Of�ences Act (1956), England, Art. 13 Hom_e Offices of Engla11d a11d Scotla11d, Tl1e Wolfe11den Report Devlin, Tl1e Enforceme11t of Morals Hart, I1nmorality a11d Treason Probleni Notes: Possible Legislative Considerations 1. Public Opi11ion

Tl1e New Have11 Evening Register Col1e11, Robsen a11d Bates, Ascertaini11a tl,e Moral Sense b · of tl1e Con1mu11ity

2. Caitsation and Treat1nent Bow1na11 a11d E11gle, Sexual Deviation Jo11es, l11111ate, Co1111ecticut State Priso11 1 U ni te d States 3. !-]armful Effects freud, A Letter ford, Sex Offe11ses: A n Antl1ropolo Me�d, Con11Jarative StLtd ' of Cult ical perspect1ve 11fe ) Um� ie;�fit 6�; �:tn{ ��m i ttee on Expenditures in J e ;: �ol-fenden ReJJort, Tl1e Effect O f li . o m osexL1al1ty 011 Family Life Qttestions

Reco111,ner1ded Readi:,igs

34 34

35 36

37 38 38 39

40 40 40 42

46 48

49 50 50 51

51 52 52 53

54 54

55

•

TABLE Of CONTENTS

CHAPTER 5. THE PENAL CODE OF ETHIOPIA: SOURCES AND FORM Sect. A. Sources of the Code Graven, The Penal Code of the E111pire of Ethiopia Graven, Modern Etl1iopia a11d tl1e Coclificatio11 of its New La\'q Notes of the Imperial Codificatio11 Co1n111issio11 Qi,estions

Sect. B. Form of the Code Notes of tl1e Imperial Codificatio11 Co111n1issio11 Orave11, Tl1e Penal Code of tl1e E1n1Jire of Etl1iopia Hall, The Three FL111damental Aspects of Criminal Law Questiorls Recomme11decl Re,1di11gs

XXVII

57 63 63 64

64 64

65 67 67

PART II

Analysis of the Tl1eoretical Basis of Penal Law With Specific Refe1·e11ce to the Law of Homicide Tl1e General Part CHAPTER 6. INTRODUCTION TO THE GENERAL PART Sect. A. The Criminal Act and Criminal Guilt: Prerequisites to Liability Logoz, Tl1ree Esser1tial Co11ditio11s for Crir11i11al Liability Williams, The Critninal Act and Criminal Guilt Qztestio,is

Sect. B. Concurrence Between the Criminal Act and Criminal Guilt Thabo lv\eli v. Regi11a (Privy Cou11cil, Bast1tola11d) Palani Oounda11 v. Em1Jeror (l11dia) Q1eestions Problem Notes: Ot/Jer Form1tlatiorzs of tf1e Req1,1,ire1nent of Co,1curre>1ce 1. Bishop, Com bi11ation of Act a11cl l11te11t

70 70 71 72 73 73 13

Questions

74 74 74 75

Questions Recommended Readings

75 76 76

2. Perkins, Co11c11rrence of !vle11s Rea and Actus Reus 3. Hall, rr11e Pri11ci1Jle of Co11cLtrrer1ce

Sect. C. Preliminary Examination of the Ethiopian Law of Homicide Ato Abay11eh Oabresellassie v. Tl1e Attorney General (EthioJJia) CHAPTER 7. THE CRIMINAL ACT Sect. A. Definition Penal Code of Etl1iofJia, Art. 23 a. The Components of an Act Cook, Act, Intentio11 a11d Motive in tl1e Crimi11al La\v Perkins, What Constitutes an Act Problem b. Involuntary Conduct

Gour, Penal Law of [ndia: ''Act''

. ..

.

.

. ..

-·-·/:·: ';.; ;; i,;�-�: .. C. - _ .. : .;_... ,..._ . .:.·.

:.

'

77

77 78 79 79

..

,,

S T N E T N O C f O E L B TA

XXVIII

t. c e S ), 1 � .0 5 2 9 (1 e d o C l � n e P l e d o M , e tt tt ti s In w a L n a c ri e Am

79 80 80

Logoz, Crirni11al 0111ission 52 9 -1 2 -1 f 2 o n io is ec D , rt u o C e m re (J tt German federal S

81 82

Questions Recomme,ided Reading s n io s is m O f o ts c A . B t. c Se t c A to ty u D l a g e L e h T a.

Notes: 1. Otl1 er Sources of Legal D1,1.ty

a) bi am (Z ga an al ap M ge un K 1d a1 a 11g l1u C R. v. M\xrila a) 11i or lif Ca . .D N ., Ct ir. (C s le w 1o K1 v. es at St ed 1it U1

2. T/1 e J,itent Requirement ir1 Omissions

Questions t Ac to ty Du e th of n sio ten Ex ive lat gis Le e Tl1 b. Pe11al Code of Etl1io1Jia 1 Arts. 520, 547

- l1es Legislative Im1Josition of a Dttty to Ai d I Iug Macaulay et. al., A Penal Code Prepared by tl1e Indian Law Co n1111issi011ers 1

Notes: Furtl?er Debate on Legislative Extention 1. Con

Perl<i11s, A Ot1ty to Take Positive Actio11 Colt1111bia La\V Review (Note), The failttre to Rescue Iiolmes, 'fl1e Common Law

2. Pro

St. Lul<e, Tl1e Parable of the Good Samarita11 Bentl1am, 011 tl1e Duty to Act

3. T/1e Concept of Omissior1 Under the F'etha Nagast fetl1a Nagast Questions Problems Reco,n;n.ended Readi12gs

83 84

86 86 87 87 89

91 92 92 93 93

94 94 94

95

Sect. C. Criminal Attempt a. The Intent Requirement

I lol - mes, Tl1e l11te11t Eleme11t in Criminal AttemrJt Wai�li11ger, Cri1ni11al Attern JJt lv1err1_tt v. Con11no11wealtl1 (Virgi11ia, U iiited States)

Qr,estions b. The Act Requirement

95 97 97 98

(1) The Preparatory Act

P: 11al Cocle of Et!,iopia, Art. 25 Zurcl1er, Pre _1Jaratio11 aiid Attempt People v. Miller (Califor11ia, U11ited State s) _ Qr,testio ris

(2) Tl1e Act of Attempt

Pe11al Code of Etl1io1Jia, Art. 27 St1per1. or CoL1rt of tl1e Ca11to11 of . . . Zuricl,, Dec1s10 11 of �0-?9-1943 (S\x,itzerlai,d) W1cl{1l1alder c. Mitlistere ptlbl' IC dtt Ca11to n de Zottg (S\xritzerla11d)

98

98 99

100 101 102 103

TABLE OF CONTENTS Notes: 1. Other Formulations of Possible Tests to Distinguish Preparatory Acts from Attempted Acts

Waiblinger, Criminal Attem1Jt America,, Law I11stitt1te, Model Pe11al Code (1962), Sect. 5.01 Tl1e Rl1odesia a11d Nyasala11d La\v Jour11al, Attempts

to Con1mit Cri111es 2. The Policy Consideratio11s i11 Establis/1i11g a Test Penal Code of tl1e Soviet V rt io11 (1958), Sects. 15, 20 Willia111s, A Critiqtte of tl1e Proxi111ity Rttle Tl1e Ki11g v. Bark:er (Ne\v Zeala11cl) At1sti11, Tl1e Pt11·1)ose of tl1e Act Req11ire 111e11t in Crimi11al Atten11Jt Q11estio11s Problems Recommer1dcd Rei:i,1i11gs

XXIX

105 105 106 l 07 107

108

109

110 110 112

Sect. D. Impossibility: A Defense to Attempt?

Pe11al Code of Etl1io IJia, Art. 29 Webster's N e\v Collegiate Dictio11ary: '' Absol11te'' Imperial Codificatioi1 Com1nissio11 of Etl1io1Jia, Art. 29 Code Pe11al Suisse, Art. 23 Bayard c. Trib1111al Ca11to11al Valaisa11 (Switzerla11cl) Log oz, I 1111::iossib]e Offe11ses Clerc, Absolute l1111Jossibility Q1,estio;1s Problems Noces 1. Apparent Jmpossibilit.)1 2. T/Je Co1nparatirve Treat111ent of Impossibility

Cri1ninal Code of Vt1goslavia (1951), Art. 17 Penal Code of Italy (1930), Arts. 49, 215 Crimi11al Code of Canada (1954), Art. 24

Q1testions Recommended Readi11gs Sect. E. Renunciation and Active Repentence

Penal Code of Etl1i 01Jia, 1-\rt. 28 Ryu Tl1e Ne\V Korea11 Cri111i11al Cocle: Witl1drawal from Cri 1 ne

a1�d Self Denu11ciatior1 Wust c. Mi1 1istere Public du Ca11to11 de Lttcerne (Switzerla11d) Questions Recommended Readings

113 113 113 113 113 1 I .:1

114 115 115 115 116 116 117

117 117 118

118 I 19 120 120

t l d Ac an ina im n Cr ee tw Be ip sh ion lat Re e Th : on ati us Ca F. ct. Se Resultant Harm a. The Causal Formula Penal Code of Etl1iopia, Art. 24

Poor Ricl1ard's Almanac, Poem Logoz, Causation in the Pe11al Law of S\vitzerland Hart and Honore, Tl1e Rise of Adeq11ate Cause Tl1eory in Continental Law Notes: 1. Further Theories Concer11ing Causal Relatio11sl1ip

.: .. '··

�

.

.

121 121 121 122 125

••

aD

XXX

TS N E T N O C f O E L B A T

ip h s n o ti la e R l a ts t a C f o s n o ti la u rm o F d ie if d o C r e th 2 O 1 4 , . 0 4 ts r A ), 0 3 9 (1 ly a Pe11al Code o f It

.

t. c ), e 2 3 S 6 .0 9 2 (1 e d o C l a n e P l e d o M Ainerica11 Law l11stitute,

127

127

128

Qrtestions

129

4 2 . rt , A ia tJ o 1i tl E f o e d o C Penal s) te ta S d e it n U a, 1i r1 o if al (C is ew People v L 27 9 -1 7 1f o 11 io is ec D , rt t1 o C e m re p u Oerma11 federal S

129 130

Probleni b. Intervening Cause

Questions

Problems Reco1nmended Readings

132 132 133 133

CHAPTER 8. CRIMINAL GUILT: THE MENTAL ELEMENT Sect. A. Criminal Intent a. Direct Intention

Pe11al Code of Etl1iopia, Art. 58 Im1Jerial Codificatio11 Co1nmission of Etl1iopia, Art. 58 Penal Code of Switzerland, Art. 18 (fre11ch and Englisl1) Logoz, Direct l11tention i11 Swiss Pe11al Law Banovitcl1 v. Commonwealtl1 (Virginia, United States) Notes:

1. The Ethiopian Concept of Intent in Historical Perspective fetl1a Nagast Pe11al Code of Etl1iopia (1930), Arts. 14, 15 2. ''lvlens Rea''

Questio12s

Problem

b. Indirect Intention (Dolus Eve11tualis)

135 135 135

136 136 139

139 140 140 141

141 Pe11al Code of Etl1ioJJia, Art. 58 142 I1111Jerial Codification Commission of Etl1io1Jia Art. 58 142 Logoz, l11direct l11tentio11 i11 S\xriss Pe11al Law' Crete11oud c. Proc11ret1r Oe11eral du Ca11ton de Vaud (S\xritzerland) 143 145 B01111ard, Note to tl1e Cretenoud Case Notes:

1. T/1e Comparative Codificatior1 of Indirect l11tention Penal Code of Oer1na11y (1871), Sect. 16 146 Pe11al Code of tl1e I-It111garia11 Peoples ReJ)Ublic (1950) Sect. 16 146 ' Pe11al Code of Greece (1950), Art. 27 146 2. '"('he Concept of lnte11t in tl;e Co1nmon Law 146

Q1,1.estions Problen1 Recommencled Reac{i71 gs

Sect. B. Criminal Neglige 11 ce a. Advertent a11d Inadvertent Negligen ce

Pe11al Code of Etl1ioJJia, Art. 59 P�11cl1a11d, Neglige11ce i11 Swiss P e 11 a l La\xr Ato �1al<o1111e11 Woldeyes v. Tl1e p LI bl.IC pI.osect1tor (Etl1iopia ) Qitestions

147

148 148

148

149

149 150

.• . ·.' . . '·

..

TABLE Of CONTENTS

XXXI

b. The Test of Negligence

Pe11al Cocte of Etl1 io1)ia, Art. 59 Panchat1d, Neglige11ce ir1 S\viss Pe11al La\v Co1nmo11\vealtl1 v. Pierce {Mass,tcl1tlsetts, U11itecl States) Tl1e Pttblic Prosect1lor v. }\to Terttt Alen1ot1 (Etl1io1Ji,1)

Notes: 1. TIJe Degree o_f 1\/cgligeJ1ce Req11irecl /�y t!Je Co1rt111011 Law 2. Conipctr,itive St,1te111e11/s of tl1c Test of' NegligeJ1ce

Pe11al Cocle of Greece (1950), Art. 28 Pe11al Cocle of tl1e J-I 1111gariar1 Peo1Jles Rept1blic (1950), Art. 17 A111eric-a11 La\X' I 11s ti it1te, .iv\octel Pe11al Code ( 1962), Sect. 2.02 3. Tl �e _P11-rpose of P1111is!,iJ1 g Neglige11ce \V1ll1ams, \X/l1y Ptt11isl1 Negliger1ce Qteestio11s

Prob! e111s Recom1ne12£1eti Re.1di11gs

151 151

151

152

153 153 154 154 154

156

157

157

CHAPTER 9. CRIMINAL RESPONSIBILITY Sect. A. Absolute lrresponsibil:ty and the Defense of Insanity a. The Present Law and Its Origins Pe11al Code of Etl1iOJ)ia, Art. 48

159 159

Ato Oetatcl1e\v Oiza\v \r. Tl1e f\dvocate Oe11eral (Etl1ioJ)ia) lv\'Nagl1ten's Case (E11gla11d) 161 Perl<ins, Tl1e I 11abili ty to Regt1late Co11dL1ct: Tl1e Irresistible I1nptt lse 163 Notes: 1. Tl1e Forer111111ers of the A1' Nag l1te1z Test Cale11dar of Close Rolls, Eel,var cl I (E11gla11d)

T1·ial of Eclwa1·d Ar11olcl (E11gla11cl) filz J-Ierbert, Ne,v Natt11·a Brevit1m J-Ia,vl{ins, Pleas of tl1e Cro,x1 r1 I-Iale, Pleas of tl1e CrO\X'Il 2. Tl1e Proge11y O)c tlJe Jvl'1V'--ig!Jte1i Test Pe11al Code of Oer111a11)' (1871), Sect. 51 Pe11al Cocle of Czecl10slovalzia ( 1951 ), Art. 11 Pe11al Code of Brazil (1940), Art. 22 Draft Pe11al Cocle of Ja1Ja11 (1961), Art. 15 3. T/1e Psychopat/1 B. v. lv\i11istere Public clu Ca11to11 cle Lt1cer11e (Switzerla11d) 4. Tl1e Expert

Questions Problem

164

16Ll

164

165 165

165

165 166

166 166 166 167 168

b. A Critique of the Present Law

Weil1ofen, W11at is Wro11g \xritl1 tl1e La\v Durl,am v. U11ited States (Ct. of A1JJJ., \Vasl1i11gto11, D.C.) Notes:

1. Tl1e Aftermath of D11,r/1am Blocl<er v. U11ited States (Ct. of AJJIJ,, Wasl1i11gto11, D.C.)

2. Tests Similar to the Durham Rttle

Penal Code of France (1810), Art. 64 Frejaville and Sayer, Art. 64, frer1cl1 Pe11al Code

Questions

169 171 174 175 175 176

TABLE OF CONTENTS

XXXII

Proble,n Recommerided Readings n o ti a ic x to In f o se n fe e D e th d n a y it il b si n o sp e R d e it m Sect. B. Li a . Limited Responsibility

9 4 t. , r ia A p o 1i tl E f o e d o C l a 11 Pe an rl f ze o it w d S aw L: al en P 1e tl 1 i1 y it il b si 11 o . p es R Loaoz Lir,1ited ) 1a p o 11 tl (E la ed T ab le ai I-I . v l Tll� Advocate Oe 11era Questioris

b. The Defense of Intoxication Pe1 1al Code of Etl1io1Jia, Art. 50 f etl1a Nagast, Dru11l<en11ess ce an Fr of w La l 11a Pe e th i11 11 tio ca xi 1to 1 l at Bot1z t en m sh ni Pu m fro pt em Ex s es 111 1 ke t111 Dr ld ot1 Sl1 , �s iat ill W Qr-testions

176 177 178 178 178 181 181

182 182

183 185 186

Problem Recomnierided Readi1'lgs Sect. C. The Defense of Immaturity a. The Legal Setting

186

Pe 1 1al Code of Etl1iopia, Arts. 52, 53 and 56 In1perial Codificatio11 Con1n1issio11 of Etl1iopia, Arts. 52, 53 and 56 Tl1e Vagra11cy a11d Vagabondage Proclamatio11 (1947 O.C.), Art. 8 Pe1 1al Code of Etl1iopia, Art. 471 I-Iigh Cot1rt, Juvenile Divisio11, Crim. file No. 522/53 (Etl1iopia) Penal Code of Etl1iOJJia, Arts. 54-55, 161-182 Higl1 Cot1rt, Juvenile Division, Crim. file No. 550/53 (Etl1iopi;l) 1Votes: 1. The juvenile Coitrt 2. The Treatment of Yo.ttng Offenders 3. T/Je Prevention of juvenile Crime Q1,1,estio11s

Problem b. The Causation of Juvenile Crime

187

188

188 188

189 190 190

191 191 192 192 193

Riley,_ An Evalt1ation of Male Jttvenile Delinqt1e11cy in Etl1iopia 196 Ve\ve1nshet Besl1al1-Wot1red, . . . The Maki11g of Juvenile Delin­ qt1ents in Etl1io1Jia 197 Economic. Co1n�ission for Africa, Rapid Social Change and Jt1ve11 1 Ie Del 1 11que11cy in Africa 199

204 204 204

Questions

Problem RecommendecL Readings

Cl-tAP-fER 10. THE AFFIRMATIVE DEFENSES Sect. A. Tl1e Defense of Superior Orders a. The Defense i11 Etl1iopia Pe1 1al Cocle of Etl1io1Jia, Arts. 69. 70 ' fetl1a Nagast � 1.al Code of Etl1io1, Jia (1930), A rts. 146-149 � l\ itary Pe11al Code of Switzer]a11d Art 1 9 Ato Tatnrat Seyot1 1n v · Tl,e P ubt·IC 'pros·ect1tor (Etl1iopia) Questions ,.

206 206 207 207 207 209

::ci•

TABLE Of CONTENTS

XXXIII

b. A Dramatic Use of the Defense: The Trial of Fritz Fischer, Nuremberg Military Tribunals Tl1e Relevant Law Tl1e l11dictme11t Tl1e Defense of St1perior Orders The JLtdgment Tl1e Sentence

Notes: 1. The Comparative Law of S,,perior Orde1·s 2. Tl1e Defense of Superior Orcfers i11. tl1e Eichmann Trial (1961) Questions Aoblem Recom1ner1ded Readi,igs

Sect. 8. Legitimate Defense a. Defense of Self, Another or Property Penal Code of Etl1io1Jia, Art. 74 Imperial Codificatio11 Co111mission of Ethiopia, Art. 74 Penal Code of S\x,itzerla11d, Art. 33 (fre11cl1 a11d E11glisl1) Logoz, Legitimate Defe11se i11 S\viss Penal Law b. The Duty to Retreat Brown v. U11ited States (St1pre1ne Ct.) Laube c. Kt1rer (S\vitzerla11d) c. The Requirement of Proportionality Koller c. lv\inistere Pl1blic du Canto11 de Saint-Oall (Switzerland) !v\ar\va s/o Rabi v. Rex (Kenya) d. An Objective or Subjective Standard? Sudan Oover11ment v. Ismail Busl1ara Log oz, !v\ istake11 Legitimate Defense Rex v. KajL111a s/o lvlbake (Ta11ga11yika) 1Yotes: 1. Excess of Legitin2ate .Defe1zse 2. Provoc..ttioti Under t!Je Penal Code 3. Self Defense i11 t!?f' Leg"zl f-listory of Ethiopia

fetl1a Nagast Pe11al Cocle of Ethiopia (1930), Art. 145

Questions Problems Recommended Readings Sect. C. The Defense of Mistake

a. Mistake of fact (1 ). The Law Pe11al Code of Etl1iopia, Art. 76 Tl1omas v. The King {At1stralia) Logoz, Esse11tial Error Mi11istere Public dt1 Ca11ton de Lt1cer11e c. X a11d V (S\vitzerla11d) (2) A Difficult Question: Mistake with Respect to the Existence of Spirits Sudan Government v. Abd11llah MLtkl1tar Nttr

.

-

: •; ..

:

----..,,I'

�

209 210 211 215 216 217 219 220 221 221.

221 221 222 222 222 223 224 225 226 227 227 228

228

229 229 230 231

231

232 232 233 233 234

T ABJ_E Of CONTENTS

XXXIV

236

a) d 1a a1 (C e ab 11 0 11 eq ek l1 ac M . Regii1 a v

237

Q11.,estio11.s

w a L f o e k ta is M r o e c n ra o n b. Ig

Penal Code Etl1iOJJia, Art. 78

238

\XI a L 1d a1 t ac f 11 ee \xr et B ce 11 re fe if D e l1 T Willian1s d 1e sl 1i 1 g· 11 ti is D xr a\ L d an �t fa , ll Ia I

238 239

'' w a L '' m o fr d e h is u g n ti is D ' t' c Fa (1) '' (2) The Policy Alternatives

.

.

a) p1 1o tl1 r (E de Ka l de Ab 1d 01 111 al1 M id fa v. 11 ow Cr ie Tl . 1-Iol1nes, Mistal<e of La\v . X c. �l\i1 1istere Public du Ca11to11 d' Argov1e (Switzerland) Oerinan federal S11pren1e Court, Decision of 3-18-1952 Notes:

1 to1J I-Iis ian ?iop Et� in Law of rice ora 1. lgn . Pe11al Code of Etl1101J1a ( 1930), f\t�ts. 12-21 2. Legislative Diversity i11. the Treatmerit of the DeferJ.se of lg12orarice of Law

Penal Code of V11goslav1a (1951), Art. 10 Pe1 1al Code of Korea (1953), Art. 16 Penal Code of Ke11ya (1930), Art. 7

Questions Problem Recornmended Readings

Sect. a. b. c.

D. Other Affirmative Defe11ses Under the Penal Code Acts Authorized by Law or Professional Duty Absolute Coercion Consent of the Injured Party Recommended Readings

CHAPTER 11. PARTICIPATION IN AN OFFENSE Sect. A. Principals, Accomplices and Accessories

Pe11al Code of Etl1iopia, Arts. 321 36 and 39 Ato Asl1enafi Adelah11 a11d otl1ers v. Tl1e Public Prosec11tor (Etl1iopia) Logoz, The [?i�ti�ctio11 B�t\xree11 Co-offender a11d Accomplice Stauffe__1 c. M111_1stere Public d11 Canto11 de Soleure (Switz erland) Tl1e K111g v. R1cl1ardso11 (E11gla11d} Notes:

1. �artic�p_atio!z i�/1 Respect to Ojferises R el a. 7:: t i Jzg to Publicatio12s 2. Pa.rtzc1.patzon z,z tl1e Leg,il HistOlJ' of Etl ?iopia

fetl1a Nagast Pe11al Code of Etl1 iOJJia (1930), Arts. 3 5-41 Questiorts

J)roble1n Reco1nmended Readi1i os

Sect. B. Incitement

C)

Pe11al Co de of Etl1ioJJia, Art. 35 S cl111 ltz, l 11stigatio 1 1 Ger1nan federal SttJJrem e Co111·t, Decisio11 of 7-1 -1955

239 240 240

242

244 245 245 245 245 247 249 250

250

251 251

253 254

254 255

255

256 256 257 257

258

259

260

261 261

TABLE OF CONTENTS

XXXV

Wecl1sler, J 011es a11d l(or11, Crimi11al Solicitatior Questions

262 263

263

Proble,n Recommended Readi1igs

264

Sect. C. Conspiracy a. The Law of Conspiracy in Ethiopia Penal Code of Etl1io1Jia, Arts. 37, 472 Ato Zeryl111n 1\t\al<o1111e11 a11cl otl1ers v. Tl1e Pttl:tic Prosec11tor (Etl1iopia) United States v. falco11e (Ct. of AJJJJ., 2d Cir. 11,d SttfJren1e Ct.) Direct Sales Co. v. U11ilecl States (SttJJre111e Ct.1 Oot1r, Tl1e Req11ire111e11t of a11 Overt Act Wecl1sler, Jo11es a11d Kor11, Overt Act i11 tl1e A1 nerica11 La\v I 11stitute's lv\odel Pe11al Code b. Conspiracy i11 Comparative Law Wag11er, Co11s1Jiracy i11 Civil La\v Cot111tries Harvard La\v Revie\v, Co11spiraC)7 i11 tl1e Co1n11.0 11 La\v Q1,estions Proble1n Reco1nn1e12ded Ret1cli11gs

264 265 266 268 27 l 272 272 274 276 277 278

PART III

The Special Part a11d tl1e Code of Petry Offe11ces S01ne Illustrative P1·oble111s CHAPTER 12. THE OFFENSE OF BIGAl'AY Sect. A. The Function and Form of Family Groupings lviurdock, The U11iversalit)' of tl1e Nuclear fa1Tily Notes: Marriage Patter11s in Ethiopia I. Marriage Urider the Fet!Ja Nagctst fetl1a Nagast, The In11Jortance of Jv1arriag� 2. Aml1ara /11arriage Messing, Tl1e Iiigl1land Plateat1 A1nl1ara o: Etl1io1Jia 3. Tigrean Marriage Rossini, Principles of Eritrean Ct1sto1nary Law 4. Islamic Marriage Levy, Tl1e Social Strttcture of Islan1 5. Galla Marriage . . Huntingford, Galla family a11d Marriage 6. 5idamo Marriage . . Certtlli, Peoples of Sot1tl1--west Etl11op1a Questions Problem Sect. B. The Offense of Bigamy in Ethiopian Law fetha Nagast, Bigamy Penal Code of Ethiopia ( 1930), Art. 390 Penal Code Ethiopia, Arts. 616-617 Civil Code of Etl1iopia (1960), Art. 611 Questions

.� : . --···-·. .... . ... -=-·. ...' .. ... -.. .�.

280 283 284 285

286 287 287 288 288 288 289 289 289 290

I

I

TABLE Of CONTENTS

XXXVI

arative Law p m o C y n i m a ig f B o Sect. C. Tl1 e Offe11se

r \x a L l a 11 e s P is w 1 S i1 1y n a · Loo·oz Bio ) t. C nc r re JJ tt (S s te ta S ed it 11 U . , t Re �,,o'icts s le Republic JJ o e P e l1 T f o w a L e ag ri ar e l1 M T , c11� 11g Cliili-Ja11g . o f Cl1i11a e d o l C 1a e1 P 11 1a d I1 1 1e tl er d 11 U y am ig Ootir B 1a a1 l1 O 1 i1 y n a1 ig f B o x, a\ L e l1 Allott, T

Q1,testio11s Proble111, Reco1nnie1idecl Readings

290 291 293 294 294 295 296 296

CHAPTER 13. THE PETTY OFFENSE Sect. A. Pe tty Offenses in Ethiop i a

297 297 299 300 300

Pe11al Code of Etl1iOJJia, Arts. 691, 702 Tl1e federal Prosect1tor v. Lisci Sofia (Etl1iofJia) Pe11al Code of Etl1iOJJia, Arts. 3, 375 a11d 736 Tl1e Weigl1ts a11d Meast1res Proclamation (1963 O.C.) Questions

Sect. B. The Requirement of Guilt in Pe tty Offenses a. In Etl1iopia

Pe11al Code of Etl1 ioJJia, Art. 697 301 Pe11al Code of S\vitzerla11d, Art. 333 (frencl1 and E11glisl1) 301 Orave11 , Tl1e Classificatio11 of Offe11ses i11 tl1e S,viss Penal Code 302 Logoz, Petty Offe11ses i11 Swiss Penal La\'v 302

b. In Comparative Law

Sayre, Tl1e Sig11ifica11ce of the Ne,xr DeveloJJmer1t of the Reg11lator)' Offe11se 302 304 Bouzat, Petty Offenses i11 fre11cl1 Penal Law 304 Prot1d111a 11 v. Dayn1an {Attstralia). Notes: F1-trtl1er Co7:�ideration of ! he Requirem n of Gr-tilt � !_

/11

Petty Offenses

1. J-l�ll, A Cr1t1que of Strict Respo11s1b1I1ty 2. fr1edma11 11, Strict Cri1ni11al Respo11sibilit.)' and Public \X!elfare Offe11ses 3. America11 La\v I11slitt1te, Model Penal Co de (1962), Sects. 1.03, 2.05 4. �-Ioward, Strict Respo11sibility i11 tl1e J-ligl1 Court of Australia

306 307 307 308 308 309 310

Q11-es tio11.s Proble,ns Rec:on1me11ded Readi11gs

PART IV

•

Tl1e Dispositio11 of Offenders

CHAPTER 14. SENTENCING: THE RAN GE O F JUDICIAL AND ADMINIS TRATIVE FLEXIBILITY WITHIN THE LE GISLATIVE PRESCRIPTION Sect . A. Tl1 e Legisl ative Grading o f O ffenses ,. . . fre1av1lle and Soyer T .

l1e Deter1n1nat·1011 o f tl1e Pe . 1,alty Hart Tl,e Pers1Ject1ve o f tl1e L e g islatt1re Note;: 1

312 313

T ABI.E OF CONTENTS

XXXVIJ

1. T/Je Co1npetirtg Policies Un derlyii1 g ci Se1ite12ci11 Orr Stritclttre Ber1tl1a1n, 011 PL1t1isl11ne11t \Vecl1sler, Correctio11 U11der tl1c Iv\oclel Pe11al Cocle of tl1e A1nerica11 La\v' I11stit11te 2. The lndete-r,ninate Se11-te11ce De1Jartment of Social Affairs, U11ited Natio11s, Tl1e l11deter111inate Se11te11ce In Re Lee (Califor11ia, U11itecl Slates) Qztestions

Problem Sect. B. The Judicial lndividt1alization of Punisl11ne11t a. The Role of the Judge

315 316 317 318 318 319

Saleilles, -r11e I11dividL1alizatio11 of Pt.111isl1111e11t liart! Tl1e Pers1Jecti\re of tl1e Co11rts

319 320

Pe11al Cocle of Etl1io1Jia, Arts. 85, 86 Captain KassaJ·e Le111111a v. The P11l1lic Prosectttor (Ethio1Jia) Woz. Desta Berl1e \'. Tl1e Advocate Oe11eral (Etl1 io1Jia)

321 322 322

b. The Determination of Sente11ce

Notes: 1. Dispii1·itJ1 i,1

SeJite11c1'.11g

32.:1 Rl1odesia a11d N}rasala11d La\v' Jo11r11al, R. v. Se,,e11ty 2. Co1np.1rative Se11te11cing PolicJ' 3'.25 N\an11l1ei111, Con1JJarative Se11ler1ci11g Practice 3. T/Je Predictive Device as a Tool i1l Se11te11ci11g Glueck, Preclictive Devices a11d tl1e I11cli\riclt1alizatio11 of Jt1stice 326 328 Q1,estio11s 329 Proble1J1

Sect. C. The Administrative Role in Sentencing

Frejaville and Soyer, Tl1e DeterlTI i11ation of tl1e Pe11alty f-fayner, Se11te11cing bJ' a11 Ad1ni11istrative Boarcl Q1eestio1is

Recomme1zded Readi11gs

331 333 334 33Li

CHAPTER 15. THE IDEAL OF DETERRENCE Sect. A. Capital and Corporal Punishment a. Capital Punishment

Lowenstein, Capital Pu11isJ11ne11t i11 Ethiopia Orave11, Tl1e Ratio11ale for Capital Pt111isl1111e11t in EthioJJia Temporary New Vorl< State Co1n1nissio11 on Revisio11 of tl1e Pe11al La\xr (1965), TI1e Argt1me11ts For a11d Agai11st Capital Pt111isl1me11t . Sellin, The Deatf1 Penalty a11d Its Deterrent Effect Department of Social a11d Eco1101nic Affairs, United Nations, Cotnparative Statistics 011 Capital Pt111isl1111e11t b. Corporal Punishment Lowenstein Corporal Pu11isl1me11t in Etl1iopia Graven, Tl�e Rationale for Cor1Joral Pu11isl1me11t Revised Constitutio11 of Etl1iopia (1955), Art. 57 Constitution of the United States, Amend. 8 Trap v. Dulles (Supreme Ct., United States) Questions

•

,:_ ,

�

336 336 337 338 338 339

340 340

340

340 341

I

I

TABLE Of CONTENTS

XXXVIII

Reco1111ne11ded Readings y. rt e f ib o L n o ti ic tr s e R e h T . B Sect. a. Ethiopian Penology

3 42

. 1J 0 �1 tl 1 E 11 11 o ti ec rr o . . Ai,dargatcl,ew Tesfa)re, C l. 1 p 1a er 11o p tJ I E 1n an r, o ri te f In o y tr is 1 i1 , M 11s so ri P Departine11 t of a p1 1o 6 f th o 95 E 1 (1 1 e1 st 1 1 Sy so ri P 1e tl of rt l1a C A Ooveri, 1ne11t, E.C., 1963-64 O.C.) .

.

.1a

b. Comparative Penology

34 3 345

11a l1a O n of e1 st Sy l 11a Pe l1e T , 1 o1 is Ey 1 nual Report A1 1e Tl a, 11y Ke of t en m 1 r1 ve Oo , 11t 1 11e rt Prisot1 Depa 011 tl1e Treat111 e11 t of Offe11 ders in Ke11ya (1961) ry tia e11 tl1e 11it of Pe on ati niz ga Or e Tl1 11s 1 tio Na d 1ite 1 U Secretariat, Syste1n i11 tl1e Re1Jt1blic of Mali Ellci11, Pe1 1al Practice in E 11 gla11 d Be 1 11 1ett, Priso11s i11 tl1e U11ited States Ti111 asl1eff, TI1e Dutcl1 Priso11 Syste111

346

Sl1t1 l111 an, Tl1 e Social Structure of Priso11 s and Jails U.N. Co11 gress 011 tl1e Preve11 tion of Crime and tl1e Treat111e 1 1t of Offe11ders, Priso11 Labot1r Ze1na11s ar1d Cavan, l\1arital Relatio11 ships of Prisoners

352

Notes: Criticism of Moderr1 Pe12ology 1. A Critiqtte of Specific Correctio11.al Techniqr,tes

2. The Rationale for Moclerri Correctiorzal Tecl?niqi,es

St1ll1erland and Cressey, Priso11 Objectives a11d Co11ditions Cressey, Tl1e Natttre a11d Effectiveness of Correctio11al Tecl111 iques

Q1-testions JJroble1n Recomn1e1icled Readirzgs

347 347 348 349 350

352 353 353 354 355 356 356

CHAPTER 16. THE IDEAL OF REHABILITATION Sect. A. Tl1e Causation of Crime

Advo�ate_ General's De1)artme�t, Ministry of Justice, Iinperial Eth 1 01)1a 1 1 Oovern111e11 t, Cr1mi11al Statistics fo r Ethiopia (1954 E.C., 1961-62 O.C.) Recl<less, l1 1trodt1ct?r)1 Revie\v of tl1e Searcl1 for Causes De1)artme_1}t of Soc 1 �l and Eco_11omic Affairs, Ur,ited Natioi,s, Pre_ve11t10 1 1 of [Cr 1 n1e] ...111 Less Developed Countr ie s Q1-t es tio11s J)roblen1

Recommc11ded Readi11gs

Sect. B. Prison Innovation Designed to Further the Rehabilitation of Offenders

Bouzat, 01)e1_ 1 l11stitt1tio11s i 11 France Jewell, Mexico's Tres Marias Penal Co Departme11t of Social a,,d Ecoi,omic l t y . A ff ai�rs, U11 1ted Nations, ?rogra 1 11s of Pre-Release Worl< Ey1s011, Tl1e Develo1J1nent o f tl. 1e . p risoi1 System 111 Ol1a11a Notes: Ot/Jer Techniq

ues Cond ucive to tl,e Rel,a bilitation of Of{eriders 1. ]�l1 e Use of Probatio11

De1Jart111e11t of Econornic a 11 d Social Affa1·1·s, U11ited Nations,

358 359 363 368 368 369 370 371 373 375

TABLE Of CONTENTS

rf l1e Selectio11 of Offe11ders for Probatio11

2. The Use of Coriditio,zal Relec1se

Departme11t of Social Affairs, U 11 i ted Natior1s, Parole a11d After-Care Questions Problem Recommended Reacli11gs

Appe1zdix Index

XXXIX

376 379 380 381 382 385 411

' . . . . .- . . �· · ..:· ·. . ..... � . . ,.

'

..

,,

Note On Citation Cases are cited �)' tlJe 11t11nes of t/Jc pttrties 1111/css tbeJ' ,ire unav.,il­ �ble, and then l,y tl1e <l;1/e of· the case. T/Jc foot11otes of tl1e author r1,rt in seq_11ence bJ• c/Japter; tl1ose "vit/Ji11 quottd te:cls ,ire cited in 1,are11t/JeSt'S bot/J 1n t/Je text and at c/1e foot of page bJ• t/;eir origin,tl n111nbcr exact(y as fhe�-.· appe,rred in tl1e origin.rl text. 1111:n_y }ootnotes of quoted texts ,ire onzztteil us11allJ• wit/Jout 11otation. .,.1,nerica11 spellings (111(1 breakings are 11sed hJ' tl,e ,11,tlJor alt/;011glJ spellings i11 quotecl texts /1,ive 1101 been alterci-1. �11I _ tr.111sl,1tions }ro111 tl:Je Frer,c/J are tf:,osc of tl:Je ,rutl,or unless otl:Jcr·r.c:ise 111d1c,1ted. TIJe ,111//Jor gratcf,1l�y ,1ck11owledges tl,e 11se of the followi11g 'i.c:orks and t/)e 1nany ot/Jers inc/11decl in t/Jis boo.�.

MAJOR .. l\BBREVIATIONS1\ND CITATION fORlv\S App. - Appeal Art. - Article Bot1zat or Pinatel, Droit Penal • Pierre Bot1zat et Jean Pi11atel, Traite de Droit Penal Cl de Cri,n­ inologie ( 1963, Librairie Dalloz, France} Brett a11d Waller, Cri111inal Law - Peter Brett a11<.l Peter \Valier, Cases ttnfl 1vlateri.1ls in Cri111i11,il Ltt7....' ( 1962, 811tter\vortl1s, Australia) c. - contra (verst1s, against) C.C.E. - Civil Code of EthiotJia ( I 960) c}1ap. - chapter Cot1r de C.1ssation - Co11rt of Cassation C P.S. - Pe11al Code of S\Xritzerla11d ( 1937) crin1. - crin1inal ct. - co11rt Donnell)', et. al., Cri111inal !�aw - Richard D01111ell)', Jose1Jl1 Goldstei11 a11d Ricl1arcl Scl1\'Vartz, C,·iminal Law: Prob/e,ns for Decision

i11

tl,e JJro,nulgation, lnvoci:ttio,i and .1lcl1ni1 1istratio11 of a La'T.i.1 of

Cri,nes (1962, The free Press of Ole11coe, I 11c., United States)

Dr. - Doctor E.C .• Et}1iopian (j11Jian) Cale11dar (7 years, 8 111011tl1s a11cl 11 cla)·s earlier tl1a11 tl1e Gregoria11 cal· e11dar) ed. - eclition, editor e.g. - exempli gratia {for exa111tJle) Eng. • E11gland et. al. - et a/ii (and otl1ers) etc. - et cetera (and so on) Eth. - Ethiopia Fed. - Federal

fetl1a Nagast - see PauJos Txad11a i11frd for. (f) - foreign frejaville and Soyer, Droit Criminel - lv\. frej aville ancl J.C. Soyer, ivlan11cl de J),-oit Crin1inel (1960, Librairie General de Droit et de J11risprucle11ce, fra11ce)

G.C. - Gregorian Calendar

Hall, General Principles of Criminal La7.� - Jero111e tlall, General Principles of Cri111i11al L,iw (2d eel., 1960, The Bobbs-Merrill Comi)any, I 11c., Unitecl Stal es) Harr10, Criminal Law - Albert Har110, Ct1ses and A1aterials 011 Cri,nint:tl law rtn{/ Procedure (4ll1 ect., 1957, Callagha11 & Co , Unitecl States) ibid. - in the same source as tJ1e citation i111111ecliately prececling idem • in the saltle source at tl1e same page as tl1e citatio11 in1111ediatcly JJrecedi11g

. ,.; . '.

.

��-1...i:•.:�:�:. �.: .-� ... ; :. ... .- :-·. ·.:. . : -- .. .;;

i

Bf'' .

XLII i.e. - id est (that is)

NOTE ON CITATION

l1111J. - I 1111Jerial infra - belO\V i11t. - international inter alia - an1ong other thing·s intro. - introduction S,c1.e· nce (U111·t·ed s tates) . . al Law, Cr1n 1· J. - Jo11rnal d p · l · o tee . an y og o 1zn l of Crzrnz.n na ur Jo . Sci l. Po cl an . i,n Cr L. . i,n J. Cr a'U.J . . . . . J. Eth. L. - Journal of Eth£opian ! ral 1s �e the section on, the ro ma 11 nu at1 t c1_ 111 ; ter ?r rep se ca iss (Sw x au bun Tri JT _ Joternal des part1ct1lar case, a11d the tl1e of ge pa tl1e is er 1nb nt1 b1c ara the , \v) La l na Pe of reports (IV is final elate is that of the year of tl1e report) L. - La\x, Leg. Not. - Legal Notice l Logoz, Comrnentaire du Cod e Penal Suisse: Partie General J_ogoz, Conin1ent,iire dn Code Penal Suisse - Pau (1939, Oelacl1aux & Niestle S.A., S\,1itzerland) sses e Pre itair 7, vers (195 Uni ire enta s zple,n Con eral Gen l Pena it Dro le, Mer er Rog l Pena t Droi le, Mer cle franee, France) /viichael and \Vechsler, Cri,ninal Law - Jeron1e Michael and Herbert Wecl1sler, Criminal Law and Its Ad,ninistration: Cases, Statutes and Co,n,nentaries (1940, SupJJ., I 956, T}1e foundation Press, Inc., United States) Mueller, Compa.rative Crin1inal Law - Gerl1ard lv1ue)ler, Materials on Comparative Criminal Law (1960, Ne\v York University Scl1ool of La\v, United States) 11.b. - nota. bene (note \Veil) no. - number op cit. - opus citatunr (in the previously cited book by tl1e san1e a11tl1or) p. - J)age )Jara. - paragraJJh Paulos Txaclua, Abba, Dr. Pol. Sci., Dr. J11r. 1 Fetha Nagast, provisio11al translation fron1 the Ge'ez (1964, EthioJJia) Paulsen and l(adish, Cri1ni11al Law - Monrad Paulsen and Sanford I(adish Criminal Law and /ts Processes: Cases and A1aterials (I 962, Little, Brown ancl Co., United Stat�s) I).C.E. - Penal Code of Ethiopia (1957) Perkins, Criminal Law - Rollin Perkins, Criminal Larzv ( I 957, Tl1e fo11ndation Press, Inc., United States) JJp. - pages Proc. - Procla1T1ation pt. - part publ. - JJublication Reg. - Regulation Rep. - Reports; Reporter Rev. - Revie\v RO - Recueil Officiel (Official S\viss case reporter· i, c ·t t· · number 1s the l 1e first · } arab1c volu�e nu1nb�r, the rorri�n nt tnlber stai�ds fo'r tl�e ;e�t���' 0 reports (IV is Penal Law), and the f1�al arab,c nun,ber is the page of tile particular ca-e) < :l • sect. - section StqJ. - Supre111e supp. - su PJJlen1ent supra - above trans. - translation U. - University U.N · - United Nations U.S. - United States v · - versus, against vol. - volu111e Vouin and Leat!te, roit Penal - Rob , , ert Vouin a d Jac t tes eaute, f? Droit Penal et Cr£1ninologie (1956, l' �resses _U�11vers1tair es cle France, France) ii q L \X i llian1s, Cri1n1nal Law - Glanvill vens & Sons, l_td., England) e w1·1rianis, Cri,nimal Law: The General Part (2d ed., 1961, Ste-

,

.

'

.·

.' .

. '

.

Table of Laws This table includes 011/y tlJose laws rzv/;ic/J arc fuf!J, or partiall;• set out i,z the text or c:ppendix.

BRAZIL Penal Code of Brazil (1940)

Art. 22. (Crin1inal Responsibility)

166 CANADA

Criminal Code of Canada (1954)

Art. 24. Attempts

117 CHINA (PEOPLES REPUBLIC)

Marriage Law (1950)

Arts. 1-2.

293 CZECHOSLOVAKIA

Czechoslovakia (1951) Art. l l. (Criminal Responsibility)

Penal Code of

165 ENGLAND

Sexual Offences Act (1956)

Art. 13. Jndecenc}· Bet\,·een J\ \en

40

1

ETHIOPIA Constitution, Revised (1955)

Art. 57.

Civil Code of Ethiopia (1960}

Art. 611. Bigamy - 1. Criminal Sa11ctio11 Penal Code of Ethiopia (1957)

Preface Arts. 1-84. see Appendix at pp. 385-410 Art. 85 Princip)e Art. 86. Calct1lation of Sentence Art. 375. Falsification of Weights and Measures Art. 471. Dangerous Vagrancy Art. 472. Conspiracy Art. 520. Refusal to Provide Professio11al Services Art. 547. Failure to Lend Aid to Another Art. 600. Unnatural Carnal Offences Art. 616. Bigamy Art. 617. Exception Art. 691. Petty Offences Art. 697. Conditions for Liability to Punishment Art. 702. Exclusion of Ordinary Criminal Penalties Art. 736. Use of Illicit Weights and Measures Penal Code of Ethiopia (1930)

·

.

. '

Preface, Arts. 14-15

. . . . . . . : . ·. : . ·.; /,:·· .. :' . ' .. . ;-,.,:.::::e,:....,�v...-:-·. ., _, �- ....

...: :: :

·. ·�·.,··. ..-.

340 289 27

321 321 299 188 265

87

87

40

289 289

297 301

297 299 139

TABLE Of LAWS

XI_IV

Art. Arts. Arts. Art. Arts. Art. Art.

3. 12-21. 35-41. 145.

146-49. 390. 442.

rojet -P nt va A , ia op hi f o Et on si is m om Imperial Codification C

339 244 257 229 207 289 34

0 41 . 5pp 38 at x di en JJp A e se . 84 1Arts.

Proclamations

.) .C O 47 19 .; C E. 39 19 of 89 o. n (N io at 1n la oc Pr Vagrancy and Vagabondage Art. 8 ) . C 0. 63 19 ; ( C. E. 55 19 of 8 20 . Weigl1ts and Measures Proclan1ation No Preamble Arts. 3, 8, 12.

188 300 300

Decrees

) . 0.C 3 ( .; 196 E.C 5 195 of 50 . No e cre De es ctic Unfair Trade Pra Arts. 5, 1 I

309

FRANCE Penal Code of France (1810)

88 175

Art. 63.

Art. 64. GERMANY Penal Code of Germany (1871)

Sect. 16. Intentio11 Sec�. 49a. Solicitation to Co111mit a felony Sect. 51 IrresJJonsibility Law of Aug. 3, 1953 (failure to Render Assistance)

146 261 165 89

GREECE Penal Code of Greece (1950)

Art. 27. Intention. Art. 28. Negligence

146 1 53 HUNGARY

Penal Code of Hungary (1950)

Sect. l. The Objects of tl1is Act Sect. 16. Intention Sect. 17. Negligence

27 146 154 INDI..\

Penal Code of India (1860)

Art. 494. (Bigan1y)

���- !?··

294 ITALY

Penal Code of Italy (1930)

�elation of Cat1se a11d Ef feet oncurrence of Cattses · Art. 49. Offence E roneo 1 resttm nd In1possible Offence P ed a y s tt � s Art. 215. De criptio Art 593. Failttre to Lend A id Draft Penal Code of Japa n (1961)

Art. 15. Mental Disorder

127 127 I 16

116 88

JAPAN

166

. :-·-:·. .-..·... . . . . .

: ..

.

.. . . .•. .

XLV

TABLE Of LA\XIS KENYA

Penal Code of Kenya (1930) Art. 7. Ignorance of Law

245 KOREA

Penal Code of Korea (1953) Art. 16. Mistake of Law

245

SOVIET UNION Constitution of the Soviet Union (1936)

89

Art. 130.

Penal Code of the Soviet Union (1958) Sect. 15. Respo11sibilit)' for tl1e Pre1Jaralion or a Crin1e a.11cl for Atten·11Jting to

Con1111it a Crirne Sect. 20. The Airrls of Punishtnent

I 07 107

SUDAN Penal Code of the Sudan (1925)

Art. 55. Art. 58.

SWITZERLAND Penal Code of S\vitzerland (1937)

(the cit.1tio11 includes both Frenc/1 and Eiiglish ttnless otherwise indicated) No Pu11ishn1ent \Xlitl1out Lav;, Art. l. Art. 10. Lack of Respo11sibility Art. 11. Partial Responsibility ,\rt. 12. Exception Art. 13. tv\ental Exan1i11ation Art. 18. lnte11t an(! Negligence Art. 19. Erroneous Concept of tl1e Facts Art. �O. Erroneous Concept of tl1e la\v Art. 21. Inco1npletecl Atten1pt ancl Withclra\\1al Art. 22. ComJJleted Atten1pt ancl Active Re1Jenta11ce Art. 23 Unsuitable Atten1pt Art. 24. Abetting Art. 25. Aiding a felor1y or lvliscle1nea11or Art. 32. Official Duty Art. 33. Self-Defense Art. 34. Present Danger Art. 64. Extent1ating Circu111stances Art. 82. General Provisions (Children) Art. 100. Minors Eightee11 to Twent)r Years of Age Art. 159. Unfaitl1ful Management (English) Art. 191. I111morality \"<1itl1 Cl1ildren (English) Art. 333. Application of tl1e General Provisions to Otl1er Federal Laws Military Penal Code of Switzerland (1927) Art. 18. Sttperior Orders

386 394 395 395 397 }35, 401 406 406 389, 390 389, 390 391 392 393 401 222 404 408 397, 398 398 143 233, 241 301, 387 207, 403, 404

TANZANIA (TANGANYIKA)

Penal Code of Tanganyika (1945)

147 147

Art. 10.

Art. 233.

UNION OF SOVIET SOCIALIST REPUBLICS (See Soviet Union) UNITED STATES

Constitution of the United States (1787)

An1end. 8.

. . .:': .':. .'·: ·c-tc·· ;,· •

••• :....f

•

.. · ,·,.

. ,. ·.·;;·,.". ·

· �.� -,Kb

340

•

XI_VI

TABLE Of LA\X'S

Model Penal Code, American Law Institute (Proposed Official Draft, 1962) Sect. 1.02.Purposes; PrinciJJles of Co11struction Sect. 1.03. Classes of Crimes; Violatio11 Sect. 2.01. Requiren1ent of Voluntary Act Sect. 2.02. General Requirements of· CultJability Sect.2.03. Causal Relationship Between Conduct and Result; ... Sect. 2.05. Effect of Absolute Liability i11 Reducing Grade of Offense to Violation Sect.5.01. Criminal Attempt Sect. 5.02. Cri1ninal Solicitation

28, 317 307 79

154 127 308

105 262

YUGOSLAVIA Penal Code of Yugoslavia (1951) Art.l 0. Error in Law Art. 17. Inappropriate Atte111pt Art. 147.failt1re to Extend Assistance

'

245 116 88

. ., · . .. . . ' . . ' ·. . .. . . \

·•.

..:...

.. .

Table of Cases TJ1is table incl11des 011/y those c,zses w/Jic/J are f,1/ly or 11,trtiall.J• et out i,1 the text.

AUSTRALIA

Proudman v. Day1�1an, J-!igl1 Co11rt (1944) Thomas v. Tl1e King, H1gl1 Co1irt ( 1937)

304 232 CANADA

Regina v. lvlachekeqt1011abe, Higl1 Co11rt or jltstice for Ontario (1897)

236

ENGLAND

C�lendar of CI C?se Rolls, Ecl\varcl I, 7 Ed\v, I 518 (1278) King, The v. R1cl1ardso11 1 Old Bailey (1785) lv\'Naghten's Case, rI011se of Lords (1843) Regina "·· Dudley and SteJJl1ens, Q11ee11s Bencl1 Division (1884) Thabo !vleli v. Regi11a, Privy Cot111cil, (Bas11tofancl, 1954) Trial of Edw·ard ;\ in old, Ki11gston ;-\ssizes (1724)

164 255 161

3

72 164

ETHIOPIA

Abay11el1 Oabresellassie, Ato v. TJ1e Attor11ey General, St11lre111e In1[J!rial Co11rt, Cri111. App. No. 22 1/51 (1963 0.C.) Advocate Ge11ernl, 1 ]1t! \'. I-laileab Tedla, S111Jre111e I1111Jeria.l Cotirt, Ctin1. 1\tJfJ. No. 8/51 (I 958 G.C.) Ashenafi Adelahtt, Ato and otl1ers v. Tl1e JJ tiblic Prosecutor, S111Jre11e I1111Jerial Co11rt' Crirn. /\pp. No. 3::S/52 (1960 O.C.) Criminal AJJpeal No. 29/51 (I 959 O.C.), St1pre111e I1111Jerial Co11rt = t ederal I-Iigl1 Co11rt of Eritrea, Cri1n. Case I(acler, Abdel .Nlahr11011cl Faid \'. T11e Crown, No. 7 l 0/53 ( 196 I O.C.) Desta Berl1e, Woz. \'. Tl1e Aclvocate General, S111 Jreme I111perial Court, Cri111. AJJfJ. No. 68/54 ( 1962 O.C.) Federal Prosecutor, 1·11e v. Lisci Sofia, fecleral S11pre111e l111perial Co11rt, feel. Crin1. App. No. 7/5 l (1959 0 C.) Getafchew Gizaw, Ato v. Tl1e Advocate Oe11eral, Su 1Jren1e I1111Jerial 1:011rt, Crim. 1\pp. No. 95/51 (1959 G.C.) High Court, Jttvenile Divisio11, Cri,11. File No. 522/53 (I961 O.C.) High Court, Jt1ve11ile Division, Cri111 . File No. 550/53 (196 l G.C.) Kassaye Lemma, Captain v. Tl1e PLtlJlic Prosecutor, St1pre111e ln1p\rial Cottrt, Cri111. App. No. 350/53 (196 l O.C.) . Mako11 ne11 Tacle Hai111anot, Ato v. TJ1e Pttblic Prosect1tor, Ii1gl1 <:ot1rt, Cri111. At)IJ. No. 218/53 (1961 O.C.) lvlakonnen Woldeyes, Ato v. The Pt1blic Prosect1tor, S111Jre111e l111 p:rial Co11rt, Crin1. App. No. 335/54 (1962 G.C.) Pt1blic Prosec11tor, Tl1 e v. Ato Terftt Ale111ot1, Sttpreme I1111Jerial <:011rt, Cri111. ApJJ. No. 257/53 (1961 G.C.) Public Prosect1tor, The v. Woz. Atsede J-fabte Selassie, I-ligl1 Cour, Cri111. Ap1J. No. 618/5 I (1959 0 C.) Shawl Demma, Ato v. Tl1e Public Prosec11tor, S11pre111e I111perial 1:011rt, Crin1. At JIJ, No. 103/54 ( 1961 O.C.) Tamrat Seyou1n, 1\to v. Tl1e Pttblic Prosecttlor, Fecleral S11pre1ne Inperial Cot1rt, Feel. Cri111. App. No. 9/53 ( l 961 O.C.) = 1 ecleral St1pre11 1e I111perial r, Prosect1to P11IJlic Tl1e v. otl1ers and Alo 1, Zeryhun Mako11ne1 Court, fed. Cri111 . AfJp. No. 4/53 (1961 G.C.)

75 178 254 229 239 322 297 159 189 190 322 33 149 152 32 19

207

TABLE Of CASES

XLVIII

GERMANY, FEDERAL REPUBLIC

27 9 1 7 1f o on i js_ ec D te na Se l 1a 1i1 i11 t 1s Cr t, ur 1 952 G,,rn '" ·1an federal Supre111e Co 12 2 Dec1s1011 of te na Se l ina in1 t 1s Cr t ur Co 1 e n pre Su l Ger111an Federa Matters of 3-18-1952 al in inl r Cr fo te na Se the of nm en Pl r t' ou ' C Oer111a11 federal Su1J�e111e 55 -19 7-1 of ion cis , De en ch Aa of t ur ict Co str Di t r' ou . · (1921) Oern1an federal Sup1en1e C g Llandovery Castle, Tl1e, Su1Jren1e Court, I_e1pz1

132 82 242 261

218

GHANA

.

Regina v. Ojojo, l 959 Ghana L. RetJ. 208

228 INDIA

73

Palani Goundan v. En11Jeror, Madras (1920) ISRAEL

Attorney General, The v. Adolf Eichmann, District Court of Jerusalen1 (1961) SJ1mtiel Deutsch v. The Attor11ey General, Su1Jre1ne Court (1954)

219 153

KENYA

fvlar\va s/o Robi v. Rex, East Africa11 Cot1rt of Appeals (1959)

225

NEW ZEALAND

I(ing, The v. Barker, Ne\v Zealand Cot1rt of AJJpeal (1924)

108

NIGERIA

Regina v. Joseph Akinye1ni, Iiigl1 Court, fecleral Territory of Lagos (I 959)

153

SUDAN

Sudan Governn1ent v. Abdullal1 Mukhtar Nur, Major Cottrt (1957) Sudan Governn1ent v. Abt1 Ras Teirab ancl others, Major Court Confirmation (1958) Sudan Governn1ent v. Jsn1ail Bushara, Major Court Confirn1ation { 1956)

234 258

226

SWITZERLAND

B. v .lV\inistere Public du Ca11ton de Lucerne, Cot1rt of Cassation ( 1950) Bayard c. Tribunal Cantonal Valaisan, Court of Cassation (1952) Cretenoucl c. Proc11reur General dtt Ca11ton de VaLtd, Cot1rt of Cassation, (1960) l(oller c. Ministere Public du Canton de Saint-Gall, Court of Cassation (1954) Laube c. l(urer, Court of Cassation ( 1960) Ministere Public du Canton de Lucerne c. X and Y, Court of Cassation ( l 959) Stauffer c. Ministere Public dtt Canton de Sole11re, Court of Cassation (1952) Su1)erior Court of the Canton of Zurich, Decision of 10-29-1943 Wickihalder c. Ministere Public clt1 Canton de Zoug, Cot1rt of Cassation ( 1 957) \Xfust c: �i?istere �ublic dt1 Canton de �t1cerne, Cot1rt of Cassation, (195 7 ) X c. Ivl1n1stere Public clu Canton cl'Argov1e, Court of Cassatio11 (1961)

166 113

143 224

223

233 255 102 103 119 240

TANZANIA (TANGANYIKA)

Rex v. I(ajuna s/o Iv1bake, East African Cot1rt of Appeals (1945) UNITED STATES

Banovitch v. <;01nn1011\vealth, St1pre111e Co11rt of Virginia (1954) Blocker v. Ui:11ted States, Court of Ap1Jeals, District of Col11n1bia Cir cuit (1961) Bro\'(111 v. Un1tecl States, Supreme Court (1921) C<;H11111on\vealth v. Pier�e, Su1Jren1e Court of Massacl1t1setts (1884) Direct Sales C<;>. v. Un1tecl States, Supren1e Court (1943) D_t1rha111 v ..Unite� States, Court of ApJJeals, District of Colun f1scher, fr1tz, Trial of, Nuren1berg l\1ilitary Tribt1nals (1947) 1bia Circuit (1954) In R� Lee, Su1Jren1e Court of California (1918) l\1lerr1tt v. Con�111onwealth, Supren,e Court of Virginia Peo1Jle v. L�\vts, Supren1e Cot1rt of California (1899 (1935) People v. Miller, Sttpren1e Court of California (1 ) Reynolds v. United States, St1pren1e Court (1878) 935) S_tate v. Schleifer, St1pren1e Cot1rt of Connec ticut (1923) 1 roJJ v. Dulles, St1JJren1e Court (1957)

227 136

175 222 151

268 171 215

318 97 130 99

291 263

340

•-.. · ;

.

.

. ... ' .. . . '

--· �:· , •

.

.

,'

·:

·-

'

. ..

TABLE Of CASES United States v. Falcone, Court of AJ)peals, 2d Circttit a11d S11pre1ne Cot1rt (1940) United States v. Knowles t Circuit Cottrt, Northern District of California (1864) ZAMBIA (NORTHERN RHODESIA)

R. v. Mwila Cl1t1nga and Kunge Mapalanga, 5 L.R.N.R. 160 (1952) R. v. Seventy, 3 R.N.L.J. 103 (1963)

.

.

.

'

.

. . . .... . ·. . ,, . . .. _., ·:

'

'

IL

266 84 83 324

•

Whatever is l1atefiel un.to tlJee, do it not i,nto thy fellow. Tl?is is che whole law, all else b1t1t conzmentary. Rabbi Hillel, BabJ•lonian Talmucl, SIJabbath 31 a

••

.

,•

>

.

.

•

AN INTRODUCTION 1�0 TI-IE STUDY OF PENAL LAW

•

' .

.:......,

..

• .:._ -�L -··

. ...- ..,.,,.

CHAPTER 1

The Examination and Interpretation of a Code Provision REGINA v. DUDLEY AND STEPI-IENS Qtteen's Be11cl1 Divisiorz, L. R. 14 Q. B. D. 273 (1884) E1igla;zd

INDI CT i\'\.ENT for tl1e 1n ttrder of Ricl1ard Parl<er on tl1e higl1 seas \v¡itl1i11 the juriscliction of the Ad111iralty. At the trial before Huddlesto111 B., at tl1e Devo11 ar1d Cornwall Wi11ter Assizes, November 7, 1884, tl1e jury, at tl1e st1ggestio11 of tl1e leD.r11ed j t1dge, fot111d tl1e facts of tl1e case i11 a SJJecial verdict \vl1icl1 stated ''tl1at 011 J ttly 5, 1884, tl1e JJriso11ers, Tl1on1as Dttdley ancl Ed\vard SteJJl1e11s, \vitl1 011e Brool<s1 all able-bodied E11glisl1 seame111 a11d tl1e deceased also a11 English boy, bet\vee11 seventee11 a11d eigl1tee11 years of age, tl1e cre\v of a11 E11glisl1 yacht, a registerecl Englisl1 vessel, '.;<1ere cast a\vay i11 a stor1n 011 tl1e l1igl1 seas 1600 miles fro111 the CaJJe of Good HoJJe, a11d \Vere com1Jellecl to JJut i11to a11 ope11 boat be­ lo11gir1g to the said yacl1t. That in tl1is boat tl1eJ, had 110 sttpply of \vater and no supply of food, except t\vo 1 lb. ti11s of tttrnips, a11d for tl1ree days tl1ey l1ad notl1ing else to subsist upon. That on the fourth day tl1ey caugl1t a small turtle, upo11 \vhich they subsisted for a fe\v days, a11d tl1is \xras tl1e 011ly food tl1ey had up to the twentieth day \vl1e11 the act no\v in questio11 \vas co111mitted. That on the twelfth day tl1e remai11s of tl1e turtle \Vere e11tirely consu111ed, and for tl1e next eigl1t daJ,s tl1ey l1ad notl1ing to eat. Tl1at tl1ey l1ad no fresl1 \vater, except st1cl1 rai11 as they from time to time caugl1t in their oilsl<i11 capes. Tl1at the boat was drifting on tl1e ocean, a11d was JJrobably more tl1an 1000 111iles away from land. That on tl1e eigl1tee11tl1 clay, wl1en tl1ey l1acl bee11 seven days witl1out food and five withot1t \Vater, tl1e 1Jriso11ers s1Joke to Brool<s as to \vhat should be done if no succot1r ca111e, a11d st1ggested tl1at so111e 011e shot1ld be sacrificed to save the rest, bttt Brooks disse11ted, a11d the boy, to \vhon1 tl1ey were understood to refer, was 11ot co11sulted. Tl1at on tl1e 24tl1 of July, tl1e day before the act now in question, tl1e priso11er Dt1dley (Jroposed to SterJl1ens and Brooks tl1at lots should be cast who shottld be pttt to death to save the rest, but Brooks refused to consent, and it was not put to the boy, and in point of fact there was no drawing of lots. That on that day t11e prisoners spoke of their having families, and suggested it \VOttld be better to l<ill the boy that their lives should be saved, and Dudley proposed that if tl1ere was no vessel in sigl1t by the morrow morning the boy shottld be l<illed. That next day, the 25th of July, 110 vessel appeari11g, Dudley told Brooks that he

I

.,_. I Nl . f<OD UCT ION

4

be tte r ao arid 1,ave a s leeJJ, a11cl 11 1ade sig11s to Ste pl 1e11s a1 1d Brool<s tl·1at the bo�>' 1,ad better be l�illed. Tl1e 1 Jriso11er S� epl1e11s_ agr ee d to tl1e act, bL1t Brool<s dissei,ted fr o1 11 1t. Tl1at tl,e boy \x,as tl1en l)'J_11 g at tl1e bott� 111 . of the boat qtiite J,el iJl ess, a11cl e xtre111ely :X'e al<e11ed by !a1111ne a11d by dr111l<�11 g �ea \x,ater, ai,cl t111able to 1nal<e a11y res1sta11ce! r1or dt� l1e ever asse11t to l: 1s b_�1ng l<illecl. Tlie11 Dttdle)' offered a [Jra_)rer. asl<111g forgive ness for tl1 �m all 1f e 1�l1er of tl 1e 111 sl,ottl d be te111 J)te d to com1n1t a rasl1 act, and tl1 at tl1e1r s0111s n11gl1t lJe saved. Tl1at Dt1dl e)', \X1itl1 tl1e asse 11t of Ste1Jl1 ens, we11t to tl1 e bO)', a11d telli11g l1im tl1 at his ti111e \x,as co111e, J)ttt a l<11ife i11to l1is tl1 roat a1 1d l<ill ed l 1im tl1e 11 a11d tl1ere· tl1at tl1e tl1re e 111e r1 fe d 111Jo1 1 tl 1e body a11d blood of tl1e boy for four da}'S; 'tl1at 011 tl1e fourtl1 clay after tl1e act l1acl been con1 mitted tl 1e boat \X!as IJicl<:ed UJJ by a 1 Jassi11g vessel, ancl tl1e pr iso11ers were rescued, still al i\re, bt1t i11 tl1e lo\xre st state of 1Jrostratio11. Tl1at tl1e )1 \,;;e re carried to tl1e JJort of fal1not1 tl1, a11d co1nn1itted for trial at Exete r. Tl1at if the n1e11 had 11ot fe d t11Jo11 tl1e body of tl1e bO)' tl1e.)' \X!Ottl d IJrobabl)' 11 ot have st1rvived to be so IJicl<e d 111J and rescL1e d, bt1t \VOt1ld witl 1i11 tl 1e fott r day s l1ave died of fan1ir1e. Tl1at t l1e boy, be i11g· i11 a n1i1cl1 \'v'eal<e r co11ditio11, \Vas likel )' to l1ave diecl be fore tl1e 11 1. Tl1,tt at tl1e ti111e of tl1e act in qt1e stio1 1 tl1ere \x,as 11 0 s ail in sigl1t1 r1or a11 y re aso11able IJrospect of relief. Tl 1at t111der tl 1ese circ11mstances tl1ere a1J[Jeared to tl1e 1Jriso11ers every JJrobability tl1at u11less tl1ey tl1e11 fe d or very s0011 fed t11Jo11 tl1e boy or 011e of tl1e111 selves they \X!Ot1l d die of starvatior1 . T l1at tl1ere was 110 afJIJreciable cl1a11ce of savi11g life exce 1 Jt b)' l<illing some 011e for tl1e otl1ers to e at. That asst1mi11g at1.)' 11ecess ity to l<ill a11 ybody, tl1ere \xras 11.0 greater 11ecessity for l<illi11g tl1e boy tl 1a11 a11y of ti1e otl1er tl1ree men.

l i,td

•

•

•

•

Questions

It is crt1cial i1 1 tl 1e study a1 1d JJractice of la\x, to read textt1 al n1aterial witl 1 1Jreci_sio11.. To tl1at_ e11cl a1JfJl y )'Ot1rse lf to tl1e follo\vi11 g si111pl e but i1npor­ ta11t qt1est1011s 111 relat1011 to tl1e Dr-tdleJ' a12d Stepl,ens case: 1.

In \xrl 1at ye ar a11d cot111tr .)' \xras tl1e de cisio11 re11 dere d? Befor e \x,l1icl1 jt1dge a11d cour t?

2.

Wl1 y clo yot1 tl1i11l < for eig11 jt1dg111e 11t s ar e i11clL1ded i11 111aterials desig11ed to teacl1 Etl1io1Jia11 }Je11al l a\x,?

3.

l1t tl 1e actio11 i11 tl1 e Dr-edley a11d Ste phens case? Wl10 are Wl 10 l1as bro 11g . _ 1 s B r oo l W l 1y 1 l <s 11a11 1e 11ot a 1 nong tl1e defe11cta11ts? e 11da11t s t 1e def ? \'Xfl1 at is a11 i11clict111e11t? Tl1e. Acl111iralt),? . · A J·t1 1·,,? . · (n. b. Blttc,e, ,s L aw n·icttoriary, · to l)e �1ottiid 111 t l·1e La\'v' Library, \,:,111 be l1el Jft1l i11 defi11 i1 10· 111 a11y Ie o· al · 1 0 LLer11 1s. for fre 11cl 1 l ega 0 · · 'ct l ter 111i 1 1ol oo,, s ee t l 1 e P 1 1 et i· n· t a t. zc zoJ2Jzazre roit d e D bJ . . . . . · o,1nciire }1trid1q1,1e Fr.-E,1g. - E7zg.-Fr.). Q tte n111e 1, Dicti

4.

5. 6.

Wl1 at \xras tl 1e act for \Vl1icl1 tl1e defe 11dants \xrere itidicted? \Vl1at were tl1e facts \VI11c · I 1 le ct. t·o t]1 e co1n111issio11 of tl1a t act? lntrodtrctory Problen1s

, Ltt JIJ Os e )'Ottrsel ves, for t l1e n101 � 1 1e 11t 0 g.?v�1111ne11t of E11glai1d. \Xlliat argt1111e11 ' "- Lteen s Cot111sel r eprese11ti11g t}1e .1nig·l1t be 111 ade ir1 su 1 Jport of conv1ct111g Dudley a11c\ Stepl1e11s for 11 1 Ltr dets r?

INTERPRETATION Of A CODE I)f�OVISION

5

Now tur11 the tables a11d put forward yot1r best a1·gt1ments on bel1alf of tl1e defe11se. Who clo you tl1i11k shot1ld wi11 the case? Sl10�1ld tnen lil<e Dttdley a11d SteJJl1e11s be consiclered cri1ni11als? Wl1at sort of man 1s a cri1ninal? Wl1at sl1ot1Id be clone \v1itl1 cri111i11als? Witl1 DL1dley a11d Ste1)l1ens? After reading Art. 71 P. C. E. \vitl1 great care, do tl1e followi11g: 1. E1111merate eacl1 of tl1e co111JJ011e11t elen1e11ts of ''11ecessi ty''. 2. Carefttlly a1Jply eacl1 elen1e11t to tl1e fact11al sitt1atio11 i11 tl1e Dudley a11d Stephens case. Does tl1e DudleJ' arid Stepl1er1s case fit \vitl1i11 Art. 71? If 11ot, i11 \Vhicl1 \vays does it not 1 1ar1nonize? Problems of Interpretation

Altl1011gt1 Art. 71 1nay a1JJJear to be co1111Jlete, co11sider wl1ether it satisfac­ torily covers tl1e issues set out i11 a, b, a11d c below: a.

Tl1e source of tl1e ''imn1ine11t and serio11s'' tl1reat. A catastrophe l1as befalle11 Ato Abebe who finds l1imself barely l1olding· on to a pla11k in a stor1ny Reel Sea off tl1e coast of Assab. Ato Tessetna, also struggling for l1is life, atten1pts to grab l1old of Abebe's {Jla11l<, wheret1po11 Abebe, believing (correctly) tl1at two 1ne11 \vill si11l< tl1e pla11l<, pusl1es Tessema off a11d into tl1e sea. ft111eral services were l1eld for Tes­ sema in St. Stepha11os soo11 tl1ereafter. Is the case of Ato Abebe differe11t fro1n tl1at of Dudley and Stephens?

b.

The method of cl1oice t1sed in decidi11g \Vhich man or men sho11ld die. On that same fatef11l day in tl1e l1eavy sea near Assab, Captai11 Worku of the sinl<ing sl1ip, Ethiopia, ordered all 75 {Jersons aboard into tl1e only lifeboat. After a few mi11t1tes afloat, tl1e CaJJtain realized tl1at tl1e lifeboat was overloaded and wo11ld be swamped \Vitl1in a few l1011rs. He ordered his crew to tl1row 10 1Jerso11s overboard, bttt ft1rtl1er ordered tl1en1 not to throw over a11y wome11 a11d 11ot to seJJarate l1usba11ds fro1n wives. Is the case of Captai11 Worktt different frotn tl1at of Due/Ley a12d Stephens? Would it l1ave mattered if ll1e Ca1Jtai11 l1ad cl1ose11 tl1e te11 perso11s to be thrown overboard purely by cl1a11ce? See U. S. v. J-Iolmes, l Wall Jr. 1 (Circuit Court Easter11 District of Pen11sylva11ia, 1884), excerpted in lv1ichael and Wechsler, Criminal Law 60 and Brett a11d Waller, Criminal Law 42.

c.

Who is to decide whether the da11ger was ''i1nmi11ent a11d seriotts'', tl1e defendant who found hi1nself confronted by tl1e da11ger (st1bjective) or one wl10 might be called a ''reaso11able man'' (objective).

ea

�m

6

IN'fRODUCT JON

ards d an st e iv ct je b su d an ve ti ec bj o on t short statemen w r� quite al la a en p i� y it iv ct je 1b st d an y it iv Tile concepts of object 1 n at leas� fo ur d1ffe!ent ed us e s �r rm te e es 1 e tl dg le confti si,,g. To m y k11ow s ou n ri ea e i ngs va m es th te la so i to � se 1t 01 e t� at l fu senses. It \viii be l1elp 11 1o lo gy. rm te i se ec r p e r 1o n 11 o p t1 a11 ct to agree ed be us o nlj' �n ve cti bje su d an ve c ; ob s rm te e _th at 1 !� tl � er ef pr � I would e pl ps an am 1a ex rl Pe Ill \'(! e. ov ab c em bl o pr 1 11 e ar ey tl1 tlie seiise that 11ad been stranded in their 1s e1 Jh e1 St 1 d a1 ey dl Du at tl1 Jielp J iere Assun1 e n e �i th oy gen­ ca d lle k� �y dl D� n JO t� � re l1e w , ys da o tw I 1 ly 01 r lifeboat f� i fe \v�s 111 ''1mm1 nent an d se r1�us �anger. l 's) ley ud (D s hi 1 at tl 11g vi lie be uinely t o [Jrobe _Du� �ey s . mind to ge Jttd a � tts ca uld wo r d a nd sta ve cti bje A st1 1 nt ne 1 1 m1 1 1m s d wa l1e an t tl1a d ve lie be I lly t1a act 1 e er 1 etl 1 wl ine 1 r r1 te cie seriotts'' da11 ger. If l1e did so believe, l1 e \Vould be excused under the clefense of 11 ecessity assu1 ning its o ther co m1Jo11 ents ,vere also proved. To afJIJly an objective sta11dard1 a jt1 dg·e \x,ould clisregard Dudley's thoughts, a11d co11 cer11 l1imself 011ly witl1 \vl1at a ''reasonable man'', that is, a normal, ordi11ary 111a11 i11 tl1is society migl1t I1ave done in the sam e circumstances. To rett1r11 to ot1r example, a jt1dge in applying an o bjecti\1e 1 standard to Dttclley a11d Ste1Jhe11 s might well say tl1at a ''reasonable 1nan' wo uld have waited lo11ger tha11 two days before killing tl1 e cabi1 1 bo y, and therefore 11 0 ''im1ninent and serious'' danger existed, negati11g tl1e po ssibilit)' of reliance UJJ011 tl1e defe11se of 1 1ecessity. It is just tl1is JJro blern o f \'v'hether to aJJfJly a11 objective or s11bjective sta11 dard ir1 Art. 71 to ,vhich \Xie \viii be addressi11g ot1rselves for most of tl1e remai11der of the first few sessions of Pe11al La \V.

A 11t11nber of \Vriters i11 penal law, especially tl1 ose 011 tl1e Co11 ti11 e11t �,ave �sect tl1e tertn ."sL1bjective_" to_ refer to tl1e broad conce JJt of crir11i11al 1!1te!1�101 1. Code� \vl11ch en1�od1_ed _11 1te11 t as a pr i11 1arj' eleme11t of penal l�ab1l1ty \ve1�e sa i d to be sttb�ect!v� 11 1 �P1Jroac}1. It is easy to see the deriva­ t1011 of tl11s se11se �f subJect1v1ty _in that botl1 inte11t and subjectivity co11 cer11 tl!e111 selves _,v1 tl1 a state of m1r1d. 0Ltr no menclatt1re \Viii be clearer, �10\ve_ver, 1 f ,ve reta111 tl1e ,vord i11tent 11ere a11d a void use of subjectivity . 1 11 tl11s sense

1

i

Mo1:e �iffic ult is tl1e t1se of objective t? de1�ote actual 11 arn1 to society _ refer to tl1e da11gerot1s a11d st1b1ect1ve to dtSJJosition of a criminal Again a1� exa1nple 111 ay hel1J .. If a 1na11, tl1inl<ing· a gun to be loaded, pt;lls the trigger of a_ gt111 tl1at 1_s a�tt1ally t11:loaded i11 a1 1 attemrJt to l<ill ai,o tl,er, it could �e sa1 cl tl�at _ st1b�ect1 velj' lie 1s ver)' da11gero us to so ciet , tliat is, he e11terta111ed a cr1111111al 1 nte11.t a11d 111ay do so· ao ·a1· 11, bttt 011 t1 1eY othe1· 11 and, o . o bJeet·1veIy 110 I1 a1.1 n to society to. ol< . IJlace1 tl1 at ' 1·5 , 11 0 ac tua1 JJ I1ys 1· ca1 cl1ar1 a e · · 01 11a11n occt11.rect . 1 11stead of ob1ect1ve a11d subjective I .Y/ Id t the ttse · of tl1e _ter111s da1igero!ts disposition a11d actual J1arm t� e�p��ss t��;f��cept a11 d to avo1cl tl1e conftts1011 referred to above. fi11all)', objective a11d subjective have b · · . e ! 1 mJJ 1o yed_ as wo rds den?trng sta11dards, on tl 1e 01 1e liai,d referrii,o- to 11! J1 .� 1 ua1 attributes o f a single � fJerso,1 st1cl1 as I,is age or bcctt Jatio� (SltbJect i tl1e broacler sta11 ctard of a r easdi,able or �or ve ) a11d, o n . tl1e ot1'1er hat�d, 11 1a I 111an (o bJecti\1e). for 1n­ sta11ce, Art. 59 concernin critnii a 1 11 g li migl1t reaso11abl)' be exiJe�ted ii, ; 11 e _c1�. gence SfJeal<s of ''J Jrecautio ns _ as regard to .. . age, ex1Jerience' edt1 cat rct1msta11 ce _ s o f th e case and l1 av1ng 1011, o cct1pat1o n and rank''. I \vould

INTERPRETATION Of A CODE PROVISION

7

here once again propose a change.Tl1e conce1)t of ''reaso11able11ess'' wl1icl1 \vas considered objective sl1ot1ld 110w be referred to as external, \Vl1ile the per�o_11al attributes formally co11siderecl as st1bjective sl1011ld 110w be labeled individual. In tl1is way, \Ve \Vill l1ave terminology ca1)able of disti11gt1isl1ing ea�h _spe�ific concept wl1icl1 \Viii, I }101)e, in the ftttttre, I1elJ) to clarify our th111k1ng 111 this area. d.

Ass11ming that Art. 71 does 11ot fJrovide gt1ideli11es witl1 res1Ject to ''source of the tl1reat'', 11 metl1od of cl1oice'' or ''objective-sttbjective sta11dard'', l1ow then sl1011ld a11 Etl1io1)ia11 jt1dge deal \vitl1 sucl1 gaJJS or a1nbiguities wl1icl1 lie may fi11d i11 a Pe11al Code article? 111 atten1pti11g to a11swer tl1e above q11estion, co11ce11trate 011 the isstte ?f _the . standard to be aJJI)lied (objective - st1bjective) ancl carefL1lly exa1ni11e tt tn l1gl1t of Art. 2 of tl1e Code \vl1icl1 is tl1e JJri1nary guide to tl1e inter­ pretatio11 of dot1btful l)rovisions \vithi11 the Code. Tl1e followir1g 11otes \Viii botl1 be l1el !Jft1l a11d raise certai11 JJroble111s \vitl1 res1Ject to tl1e 111ea11ing of Arts. 2 a11d 71. Yott may also \visl1 to co11sult tl1e Preface a11d J\rts. 1, 72, 521 and 524 (b) P.C.E. NOT ES

Note 1: Tenets of Penal Interpretation Bouzat, Tl1e I11terJJretatio11 of Penal Laws 1 ( Coritinental La"lv)

86. The Principle of Restrictive ltzterpretatio1i. -Tl1e rt1le Nr.1,ll111n cri1r1e,1, nttllcz poena, sine Lege etnbodies a traditional corollary, \vl1icl1 is tl1at the j11ter1Jretatio11 of penal law must be narro\xr, restrictive, 11ot broad. One mL1st read a11d aJJJJly the texts as they were writte11, \vitl1ot1t going beyo11d tl1e specific ,xrorcls a11d prov1s1ons.... 87. Relaxation in Case of Doubt. - Restrictive i11terpretatio111 \vhicl1 is tl1e primary rule, may be relaxed according to ge11erally admitted 01Ji11io11 \vl1en the penal law is obsc11re to the point tl1at tl1e jttdges are not ca1Jable of grasp­ ing the intent of tl1e legislators. 88. Exclusion of Reasoning by Analogy. - Reasoni11g by analogy is al\vays forbidden in interpreting pe11al material. •

•

Planiol, Wl1ere tl1e La\v Has Ordai11ed, But its Meaning Is Dot1btful2 ( Continental Law)

218. Use of Preparatory Studies. - ...7"l1e fir�t tl1ing to be do11e t_ o dissipate doubt, is to consult the preparatory studies leading tip to tl1e n1al<111g of tl1e t. 2.

'

.

..

.� .

.. '

_.

Bouzat, Droit Penal 93. Planiol, 1 Treatise on the Civil Law, Pc. 1, ( l 2ed., 1939; translation by Louisiana State Law Institute, 1959).

••

8

INTRODUCTION

t en em at e st s of the th s, rt po e re th , rs be m ha C e th re fo be law (the discussions r is ofte11 <e al -m w la e tl1 ed id l1 gu ic 1 l w l1t 1g 01 tl1 e tl1 reasoiis, etc..) Tliere ex jJlai11ecl . 1 e bi11 di11g force imJJt1ted tl ay r t \x s al 11o ve l1a ss le l1e rt ve 1 1e 1 Tliose doc11111e11ts, l 1e. reJJOrt, etc., could t of or tl1 e_ au tl1 e r, < al pe s e tl1 e , ac jJl t to t1ie11 1. In t1,e firs to cl ad re 1le a fa t ve tex l1a , or 1 1g tl1 1 11e 1 so 11 te ot rg fo ve ha 1 1 lia\re bee11 1nistal<:e 1 �d i1 1. examJ? les � f blu11de�s ot ab es l1iv arc ry 1ta 1 :e a11 rli Pa 11 � e11 fr careful!)', etc. 1 bl1 es of a certa111 en ass 1n e all ov ab 1s 1 0 ssI cu dis 1 tl1e 11 tl1e 1d 1 A of tliis sort. ' 1 e tru e i11teI1t to tl ar) 11tr co be y Ina l1 1ic wl s o11 i11i OJJ al d11 ivi i11d ct e fle r size ofte11 s die e stu giv ' or) 1 rat ar1 1s JJa IJre t tl1a d sai y ntl 11e q fre. it is o s al 1d 1 . x r A ie }a\ l of t to all JJarties a1 1d tl1at all sides to a co1:tr�verS)' _tl1ere fi11d ar_guments whicl1 are mt1lt1ally destr11ctive. fi11ally1 a11d tl11s 1 s JJart1c11larly 1.r11e 1n tl1 e case of tl1e 1Jre 1Jarator)' st11dies of tl1e Ci\ril Cocle, tl1e 1nint1tes of tl1e l1eari11gs are ofte11 too brief to be of t1se.... 219. Tl,e Role of Tradition. - I11 the seco11d place, it sl1ould be asked whetl1er or 1 1ot tl1e la\xr-111 al<:er i11te11ded to cl1ange tl1e state of tl1 e la\xr. Did l1e clesire to i1 1trod11 ce a refor111? Wl1at circ111ns ta11ces may l1ave brougl 1t about tl1is refor111? \Xll1at is tl1e goal e11 visaged by t l1e a11thors of tl1 e 11e\x1 law? If tl1ere l1as bee11 110 refor1111 011e 1n11st go bacl< to tl1e JJrevio11s law. It should be assuined tl1at tl1 e old rules l1 ave beeI1 itnJJlicitly retai11ed. Tl1is is \X,l,at is called tl1e a11 tl1orit)' of traditioI1. It does 11ot yield exce1Jt to tl1e extent tl1at a 11e,x, JJriI1CiJJle co1 1trar)' to it is fo1111cl i11 tl1e existi11 g la\v. 220. Mearis of lriterJJretatiort Drawn from the Text Itself- Fi11 ally, wl1e11 t}1ese l wo sources are \xra11ti11 g, a \xrord, a decisio11, a te11 dency, s ometl1i11g 1nust be �ot1 gl1t i11 tl1e text, tal<:en as a wl1ole 1 \xrhicl1 ex1Jlai11s tl1e dot1btful point. Here 1s 01�e of _tl1e great r11les of i11terpretatioI1: l1 e wl1 0 interprets sl1ould tal<e i11to _ f tl1e law i11 its e11tirety i11 order tl1orot1gl1l)' to uI1der­ co11 s1d�rat1011 tl�e !ex� o sta1 1d 1 ts 1 nost 111s1g111fica11t passage. . . . A111erica11 J11ris pr11dence 1 Statutes: l11ter1)retatio11 3 ( Com11ion Law)

_223. l�rim�ry Ru Le of Constructio,z: Le�islativ_e �ztent as Co11-tr0Lling Factor. -- 111 . _ .. � t!1 e 11;ter1J1 etat101 1 of. st�t11tes , tl1e leg1slat1ve \xr1ll IS tl1e all i111 1JortaI1t or co11trol­ _ ractor. I11de_ed, 1t IS freq11e1 1tly stated i11 effect tl1at tl1e i11tentio1 1 of the l111� leg1slatL1re �011st1tt1tes �lie la,x,.... Accordi11 gly, tl1e JJri111ary rule of co11struction of sta�11tes �s to_ ascertaI11 a1 1ct cleclare tl1e i11te11tio11 of tl1e legislat11re ' a11d carry st1cl1 111te11t1011 into effect to tl1 e f11llest degree. 225. Depende11ce of Co1istr1,1ctiori 1-tpon A1r1biguity. - A stat11te is 11ot OJ)er1 to constr11ct 1_ o11 as a 111 at te1· 0·f C�Ltt-s�. I t _i· s 0 Je11 t co11stru ct1o ' • n 11ly \xrl1e re tl1e 0 1 � la . · i1 (r, lt �e .te I eqt11res 111 ter JretatI011 tl1at is . 11sed 1 11 tl1e _ sta t11 s tatute tl1 wl e 1 1er e t : ts O '1111 igtt otis, or_ \Vtll bear t\x,o or 1 11ore co11strt1cti�11s or is of s 11cl1 do11btful .1 obsc11re 111ea11111g · ' . · · tl1 , at re · a ' s o11 b a 0 e l 1 1 1111 d s 1 s 11I a l1t . be e e t1I 1 cer d1s taI ao· 01· 1 r 1 :::, :::, to I·ts 111 ea1 111 1g. . . . 247. Association of W01·ds, pJ'1:ases, an d S.e11ter1ces. - Tl1e 111 ea11i11g of statt1tor)' ter111s cteiJeiic\s Ll}JOtl tlie co111 1ec _ t1on 111 \vl11c l1 tl1ey are 11 sed, a11d i11 tl1e i11terJ.

SO /l nzerican }11rispruclence, Statutes ( 194 4).

--------------------------------· · · ­ . . . .. ·, ;

... '. . _.,.,.

.

. .' ,

.

..

:·· '

.•

INTERPRETATION Of A CODE PROVISION -

9

.

pretatio11 tl1ereof, tl1e doctri11e of co11strt1ction, noscitur a socii;, JJrevails. Iience, the mea11i11g of JJarticttlar tern1s i11 a· statt1te may be asertai11ed by reference to words associated \X'ith the1n i11 tl1e statt1te.. .. . 303._P11rpose of Statute.... - Tl1e pur1Jose for \X1l1icl1 a ;tat11te is e11actecl is of primary 11111)orta11ce i11 tl,e i11ter1Jretatio11 tl1ereof.... Tl,� co11struction of tl1e s_tatute sl1011lcl be 1nacle \XTitl1 re ·fere11ce to tl1e I)t1r1)ose o: the statt1te, or i11 tl1e l1gl1t tl1ereof, a11d i11 l1ar1no11)' and co11for1nily tl1ere\vitl·, i11 order to aid, ad­ van_ce, _ promote, st1bserve, Stlf)!)Ort, a11cl eflectt1ate st1cl1 ai11, design, n1otive, e11d, asp1rat1011s, or object. . 407. Pe1ial Stat1,ttes. - It l1as long bee11 a \xrell settled general rttle tl1at 1Je11al stat11tes are st1bject to a strict constrt1ction. More acctrately, it may be said tl1at SLtch la \VS are to be inter1)reted strictly against tl1e state a11d liberally i11 favor of tl1e accused. Tl1e rttle is fo1111cled 011 tl1e te11den1ess of the law for tl1e rig11ts of i11dividt1als; its object is to establisl1 a cerhi11 rule, by conformity to whicl1 n1anl<ir1d \VOt1ld be safe, a11d tl1e discretio11 of tl1e court li111ited .... Questions

1. Wl1at do yotl t111dersta11cl by nulla poe,ia sirze lege? Ci11 sucl1 a jJrinciple be found ir1 tl1e Penal Code of Etl1io1)ia? Wl1y is a j-1clge 11ot allo\ved to i11terrJret ar1 an1bigt1ot1s j)rovision as lie alo11e sees ft? 2.

Wl1at does analogy n1ea11? Is reaso11i11g by anal)gy jJrol1ibited i11 Eth­ iopia? If \'(le interr)ret Art. 71 to i11clt1de a ''n1etl1ocl of cl1oice'', will \Ve be creating- an offense by a11alog-y?

3.

Does Art. 2 (2) P. C. E. correspo11d to tl1e j)ri11d1Jles of i11ter1Jretatior1 set 011t above? Is tl1ere a rt1le on restrictive i11ter1)reatio11 of pe11al statt1tes? Do tt,e co11ti11ental ancl co111n1011 la\v selectio11s agr�e as to tl1e 1nea11i11g of restrictive interpretatio11?

4.

Careft1Ily consider the sig11ifica11ce of · tl1� three ele111e11ts (Sf)irit, le­ gislative intent, a11d JJt1r1Jose) e11t11nerated 111 Art.2 (2). Do you agree \�·ith tl1is staten1ent fro111 Beccaria's fa1nous Essay on Crimes and Pitnishments 14 (1775): Tliere is 11otl1i11g tnore da11gero11s tl1an tl1e com1non axiom: the Spi­ rit of the l.,1,ws is � o . be considered. To � ct.opt th;s is to gi_ve \Vay to tl1e torrent of OJJ1111ons. . . . Tl1e s1J1r1t of tle la\vs will the11 be tl1e rest1lt of tl1e good, or bad logic of tl1e j11dge; a11d tl1is will depe11d on his good or bad 9i_gestio11; 011 tl�e viole11ce o_f his pas­ sio11s· 011 tl1e ra11I<, and co11d1t1011 of tl1e acctsed, or 011 111s co1111ec­ tions' \X'itl1 tl1e j11dge; a11d on all tl1ose little circttn1stances, \X'l1ich cl,ange tl1e apJJeara11ce of objects i11 tl1e fluct1ati11g mi11d of ma11?

Note 2: The Legislative History Article 71, Pe11al Code of EthiotJit · Read Art. 71 (Ap1Je11dix) i11 botl1 its formative and fi11al versio11s (Avant­ JJrojet, English; Aml1aricJ.

.

.. .

. .. . .

-:.. .

••

��-,

.. ... --

:••,

-.

�...__:

'

J

, .'

_ ._ _. •

..,.

.. . . . ., ...

10

INTRODUCTION

4 n io s is m m Co n o ti a ic if d Co l ia r e I p 1n Notes of tl1e ia p io l1 Et f o e d Co l a 11 Pe , 1 7 Article te 1e ta s tl _ f l1 o it w c e n ls a ­ e es d h ic h w ) 1 7 _ t. r A w o (n 4 6 c011cerniiigenAtrticwleas m ad e tl1at 1t fa.ils to clearly s et o u t tl1e c_r1teria of e e h y! v ie ar el tr sity, tlie comm b 11 s c? t 1a 1e t1 tl to t, 1a tl d e d 1 r o sp re r te af r _ d ''proportioi1ality''. Tl1e st. Tl1ere 1nust be a da11ger 1m p oss1ble to otl1erwise i ex o d ia er it cr t n ie ic suff s sity), and furtl1er more e ec n f o r e a ct ar ch ry ia d si su b e th f o ,, ia er it cr e h (t id o av ed n o d an e y b b ab � to ti, d te ec p �x e b ly ab 11 so a re t o n 11 ca tl1e tl1reate11ed rigl1t d te y p b o r ad ve n se ee b al as l1 1 1 cl l1 \v , la L1 rm fo ad ro b cloer o f tl1e act. Tl1is y rl at th ea e cl it ,ts qu gl ri s w o sh e, d Co s is w S 1e tl ly r a moder11 codes, particul o e ts tw th gh ri n ee tw in be e d a 1n be st u m e ic 1o cl a t must ' be bal a11ced, tl1a o go to to r le fa ab t in no is e on at tl1 1d a1 e, lu va r ei th questio11 by weigl1i11g n tio or s ality op hi pr T . y) lit na tio or op pr of 1 1 io r ite r c 1e (tl 1t protecti11g a legal rigl rds:'' ... excess o w e th by ) 72 r t. A ow (n 65 le tic r A in is also equally included , ) lit ca l al vo d ui oi . eq av to l1 tg ol en ise ec pr be ill w a ul rm fo ·of 11ecessity''.But tl1e

Questions

te s help us no s ion s mi Com o11 a�i i�ic Cod tl1e r � de Co tl1e f o _ Do_ tl1e text� . ard i11 nd sta e tiv jec Sltb a or e t1v Jec ob an er eith ly app to n 1s1o 1n mal{ 111g a dec Art 71? Are we JJermitted to consider thes e sources u11der A rt. 2 (2)? Note 3: The Relevant Foreign Law A rticle 34, Code Pe11al Suisse s l1 and compare Engli and l1 frenc botl1 in 11dix) C.P.S. (Appe 34 ead Art. R _ l·t w1tl1 the P.C.E., Ava 11t-JJrojet and E1 1glish tra 11 s latio11. Waibli11ger, The Sta te of Nece s sitys lf <?11J is in error as to a state of 11ece�sity or a s to tl1e da naer represe11ted by a tl11r (Jerso11, the act of l1elp co1nn1itted is 11ot justified. b Logoz, Necessity 6 . for a sta te of 11ecessity to exi, · t1 tl,e 111 must,. 1n · terest �e111g safeguarded pri11ciple, be more precious or ' a� east' as precious as the interest being 1 sacrificed . . .. Bu t 110w is tl1e jl1 clge to ev�tlta te ti 1� r�s pect1�e . .tt�terests i11 conflict? Acco�plisl1i 1 1g an evalltation b y a 1�rel bJect1ve e s t 1mat1011 o� tl1e v�lue of tl1e r1gl1ts _ i� qL1estio11 is not a totaf1 ) �a�1. 5�acto ry procedure. It 1s JJOSStble to liave a d1st11 1ctio1 1 betweet, tl,e obJee . tive valL1e of a rigl1t and tl1e subjective _ 4.

races-verbal ?f December 17, 1954, .. not . T 77 he . have � n tes d of on the � 1f Co Commissi cation 1 )bet been publ1sl1ed and are available p h 0 on lY for teac 111 e 1 nc Fr u l r in o s n ke ta Tl O 1e re tes we no p sc . y M Ph'1r e Graven, the son of f p d tll e ra t :r, M. Jean Graven. ipp ·. 5. \Va.1 bl1nger, Actcs Licires (III' E tat de Necess1re) 5, F,, · · ·hes jurz·dz·ques Suisses, No. 1206 (1958). 6. Logoz, Con11nentaire d11 Code Penal Suisse 141.

,, . : . '

... .. . '

INTERPREl'ATION Of f\ CODE Pl<OVISION

11

v:alue of tl1e right for one to wl1on1 it belo11gs. A 1netl1 ocl of s11bjective estima­ t101:1 (o�, at least, relatively s11bjective ...) seems preferable. It is tl1is sol11tion \Vh1cl1 1s adoJ)ted by tl1e C.P.S. Tl1e judge mt1st lool< into tl1e q11estio11 of wl1at one would be able ''reasonably'' to require ''i11 the circ111nstances i11 which the �ct was committe_d'' a11d in JJlacing l11n1self in the shoes of· tl1e actor, tl1at is, tal<1ng account . JJart1cularly of tl1e i11sti11ct of self preservatio11 to wl1ich tl1e actor was responcl1ng. Legal, Tl1e Defe11se of Necessity

i11

frer1cl1 J11risJJr11de11ce7

. I� 111ust be �dded-a11d tl1is is a r1ew ele1ne11t of co1n1Jlexity-that if i11 JJr1nc11Jle t11e we1gl1i11g [Jroceeds t111der objective criteria, tl1e j11dge still does 11ot remove all coi1sideratio11 \xritl1 res1Ject to tl1e perso11ality of the actor l1im­ self: tl1e val11e tl1at tl1e defended rigl1t l1acl for hi1n; for exa1TIJJle, tl1e bonds of affection \vith a JJare11t or ,xritl1 tl1e JJerso11s i11jt1red. It m11st also be agreecl tl1at account must be take11 of tl1e 1ne11tal state of a11 i11divid11al ,v;l10 fi11ds J·1im­ se�f in the u11comfortable JJOsitio11 of l1avi11g to 1nal<e a decision in a very fe,v; minutes. 1 t co11ld not be fairly req11ired of l1i1n that l1e clearly \xreigl1 tl·1e possibility of har1n to wl1icl1 lie is s11bjecti11g third persons a11d tl1e fact that he is committing a crime. Questions

Of \vl1at val11e i11 Etl1io1Jia are tl1ese S\viss a11d fre11cl1 excerJJts? Do tl1ey l1elp in ans\xrering 011r q11estion of ,xrl1at sta11clarci to aJJjJly i11 Art. 71? Problem 1

Assuming tl1at 11eitl·1er tl1e drafter s 11otes {tra\ra11x 1Jre1Jaratoires), nor Cocl­ ification Commissio11 notes 11or Parlia111e11tary clebates are a\railable, l1ow wo11lcl yot1, as a jt1dge, determine legislative i11te11t i11 confor1nity \xritl1 Art. 2 (2) i11 the ir1sta11 ce of a doubtf11l JJrovisio11? Note 4:

Excess of Necessity

Note that Art. 72, Excess of Necessit)', is tl1e OJJ!Josite side of tl1e coin from Art. 71 and further incl11des the req11ire1ne11t tl1at tl1e situation of necess­ ity not be brought about by tl1e 'fa11lt of tl1e defe11da11t wl10 is claiming the defense of necessity. Logoz, Com1nentaire du Code JJenal S1t(,isse 140 gives tl1e following example: ''A tl1ief who sets a fire i11 a store to aid l1is actions is not able _ to _rely t1po� the defe11se of 11ecessity wl1e11 � pa11i� ens�es �1111 wl1ic_l1 �lie thief, himself trying to flee, tramples anot}1er \X1h1le saving l11mself. A s11n1lar requirement is quite common in continental co_des, see e.g., Art. 3�, C. P. S.; Art. 54, German Penal Code; and, Art. 54, Italian Penal Code. Consider wl1eth­ er a person wl1 0, tl1rough imprttdence, creates a situation of necessity which threatens his ow11 life, sl1ould be completely denied the defe11 se of 11ecessity when he harmed only property to save himself? 7 .·

Legal, L'.Ecac de Necessite d' Apres la Jurisprudence Fran�aise, 75 Rev11e Penal S,,isse 305-3C(1 (1960) .

....' -'"='--..:... ·� :,.. ' -· .

INTRODUCTION

12

Recommended Readings

ed to fer of u co en e ar e rag di 1gs rea 1 d de . e11 nin i o rec f 0 · 11 0 t1 A broad selec se tho as are e lor of each exp to ai,d ials ter ma ed . 1 a nd o y be stt1�e11ts to. read . n lly era gen are list ey ed Th i i n. the to st ere int r t�� t�� 1 r JJa sttbJect \x,l11cl1 a1 e .Of order of JJreference d an y dle Du Stephens may v. a in gin Re t t1r Co ish 1gl E1 e tli of i iot cis de TI,e be fot111d i11: Brett a11d \Valier, Crimi11al Law 35. Cross a11d Jo11es, Cases 011, Criminal Law 70 (2d ed., 1953). D01111elly et.al., Crimi11al Law 724. I Iall - a11d Olt1ecl<, Crinzirial Law and Enforcement 286 {1958). J-Iar110, CrimiJ'zal Law 394. lv1ichael a11d Wecl1sler, Criminal Law 51. Tttr11er a11d Armitage, Cases 011, Crimi1 zal Law 51 (1953). Interpretation of La\v

Krzeczt1110\X1icz1 A Si1m1nary Tl1eory of Laws with Reference to Ethiopian Legislation as of Jurie J, 1963, Cl1ap. VI (a s�1or!. disct1ssio11 of the inter1Jretation of la\x, witl1 SfJecial reference to Etl1101J1a). Willia111s, Learning the Law 87-95 (1954) (very readable discussio11 of the inter­ JJretation of statt1tes). Bouzat, Droit Perza! 93-98 (co11cer11ing fre11cl1 a11d co1n1Jarative jurisprudence 011 tl1e i1 1ter1Jretatio1 1 of pe11al laws). J-Jdjliger c. Ministere Public et Tribunal Superieur du Canton de Soleure, RO 80 I 113, JT I 955 I 181 (l 954) (S\xriss jt1 ris1Jrt1de1 ice forbiddi11 g a11alogy i1 1 1Je11al la\xr t111der JJri1 1ci1Jle of nulla poerza sirze Lege). Tl1or11stedt, Tl1e Prir1ci1Jle of Legality a11d Teleological Co11structio11 of Statutes i11 Cri111i11al La\xr, i11 4 Scandinavian Studies i,i Law 209 (1960) (a scl1olarly study relating the inter1Jretatio1 1 of la\xrs to tl1e pri11ciple of 11ulla poe11a sirte Lege).

The Principle of Legality

I-Iall, Ge11eral Pri11.ciples of Cri1ninal Law 27-69 (l1istorical an d philosopl1ic l a disct1ssio11 of tl1e 1Jri11ci1Jle of n1,1,lla poena si11e lege). Colr1-1nbia Law Review, Tl1e Use of A11alogy i11 Cri1ni11 al La w L. 47 Co lrt mb ia 1 Rev. �13 ( 1?47) (_a11 article co1n1Jari11g 9ern1a11, Russ ex1�er1e11c� 1n tl11s area; n .b. tl1e Soviet �1 1io11 as ian a11d Aiiglo-American tl1e1r R�v1sed P�11al o�e of 1958, has re_111trodu of tI1 e promulgation of ced the pri i,cifJle of nulla poena sine l�ge 11 1 CI� 1 n1111al law; se e Sovi et P e11al Code, Sect. 3 and Van Bemmele11, 111tro., 3 Law i11. Eiistern Europe 9 (1959). The Defense of Necessity

\Vaibli11ger, Actes Licites (III E ta t ' \xr1.tl 1206 · (l 958) (Swiss docti..11· 1e 1

· de Nec ' essi·, te) Fiches ]1,1,ridiques S,,isses, No. res1Ject to tl1e defe11se o f necessity).

'

-

. .

..

'

INTERPRETATION OF A CODE PROVISION

13

Brett and Waller, Criminal Law 34-58 (i11teresting co11sideration of necessity at beginning of penal law materials). Williams, Criminal Law 737-745 (disct1ssio11 of difficult valtte bala11ci11g that tal<:es place i11 sit11ations of necessity). Hall, General Principles of Criminal Law 415-436 (pl1iloso1Jl1ically orie11ted disct1ssion of the defense of 11ecessity). Voui11 and Leaute, Droit Penal 227-231 (short state111ent 011 tl1e la\v of necessity in fra11ce). Donnelly et.al., Criminal Law 661-732 (i11teresti11g 1naterials 011 u11derlyi11g . values of necessity and several otl1er affirmative clefe11ses i11cluding Soviet Sect. 13, Necessity).

,··

. .

'

. .

.

.

' .

' � .

.

.

• •

CHAPTER 2

Preliminary Consideration of the Function of Penal Law SECTION A. THE FUNCTION OF LAW l�HE FUNCTIONS OF LAW 1 E. Adamson Hoebel

La\v performs certain f1111ctions essential to the n1aintenance of all but tl1e ver)' 1nost simple societies. Tl1e first is to defi11e relationsl1ip among the members of a socie!y, !o assert \vl1at activities are fJermitted and \Vl1at are rttled out, so as to ma111ta111 at least minimal i11tegration bet\veen the activities of individuals and groups \v1ithi11 the society. Tl1e second is derived fro1n the necessity of taming 11aked force and directi11a0 force to tl1e maintenance of order. It is the allocation of autl1ority and tl1e determination of \vl10 may exercise pl1ysical coercion as a socially recog11ized fJrivilege-rigl1t, along \vitl1 tl1e selectio11 of tl1e most effective forms of physical sa11ctio11 to acl1ieve tl1e social ends tl1at tl1e law serves. Tl1e tl1ird is the disposition of trouble cases as tl1ey arise. Tl1e fourtl, is to redefine relatio11s bet\veen individuals and groups as tl1e conditio11s of life cl1ange. It is to maintain ada1Jtability. Purposive definition of }Jerso11al relatio11s is the primary la\v job. Other aspects of culture lil<ewise worl< to tl1is end, and, i11deed, the la\v derives its \vorki11g principles (jt1ral postt1lates) from postt1lates }Jreviously developed in the no11legal SJJl1eres for action. I-lo\vever, tl1e la\v's important co11tribution to tl1e ��sic org:anizatio11. of society as a \vhole is that the la\v SJJecifically and ex1Jl1c1tly defines relations. It sets tl1e expecta11cies of ma11 to ma11 and group t? grouJJ so that eacl1 k110\vs tl1e foct1s a11d tl1e limitations of its demand r1gl1ts 011 otl1_ers,_ its dt1ties to otl1ers, its JJrivilege-rights and JJowers as against otl,ers, and it� 1_mmt1nities and liabilities to tl1e contemplated or attempted ac!5 of otliers .. Tl11s 1s tl1e 'bare-bo11es job'' as Karl Llewellyn likes to call it. It 15 the order111g of the ft111damentals of livi11g together. f o ion operat o ulttir_ e c l1�s � specific starting point in time; yet in tl1e � tl,e first ..f tinct1on it 1s as though me11 \Vere getting together and sayi11g to each 1

I.

Hocbel, The Law or 'J pri, · ni·,·ive Man: A Study zn Comparativ e Legal Dynamics 275-287 (1954),

FUNCTION 01==- PENAi_ LAW

15

other, ''L:ool< l�ere! Let's l1ave a little orga11 izatio1 1 l1ere or \ve'll 11 e,,er g·et ar1y­ where with tl11s mess! Let's have a clear 1111dersta11dir10· of ,x,l1 o's \vl10, \X,'}1at we _ are to clo, a1 1d how \Y/e are goi11g to clo it!'' In it; esse1 1ce it is wl1at tl1e soctal-contract tl1 eorists recog11izecl ,ls tl·1e fo1l11datio11 of social order. 1:"I1e seco11d functio11 of tl·1e la\Y/ - tl·1 e allocatio11 of a11tl1ority to exercise coercive pl1 ysical force -- is so111 etl1ir1a 1 P-s le60·al. b aln1ost 1)ec11 iar to tl1i11 L> Ct1sto111 has reg11 larit)', ar1d so c\oes la,xr. C11sto11 1 clefi1 1es relatio1 1sl1i1Js, a11cl so d�es la\'<1• C11stom is sa1 1ctioned, a11d so is la\xr. B11 t tl·1e sar1 ctio1 1s of la\x, �nay 111 volve j)l1ysical coercio11. La\x, is disti11 gL1 isl1ecl f· ro1 11 111ere cL1sto1 11 i11 tl1at it e11�0\vs certai11 selected ir1di,,idL1 als ,vitl1 tl1e j)rivilege-rigl1t of a1Jl)lyi1 1g· tl1e sanct101 1 of pt1 ysical coercio11, if 11eed be. Tl1e legal, let it be re1Jeated, l1as teetl1 that ca11 bile. Bttt tl1e biti1 1g·, if it is to be legal a11cl 11ot 111ere ga11gsterisn1 , can be do11e 0111 )' by tl1 ose perso11 s to \x,l1on1 tl1e la,v l1as allocated tl1e 1Jrivilege - rig·I1t for tl1e affair at l1a11cl. We l1ave seen tl1 at ir1 1)rt111iti,,e la\v a1ttl1ority is a sl1ifti11g, te1111)orary tl1i11g. A11tl1ority to e1 1force a 11or111 resic\es (for 1Jrivate ,vro1 1gs) \X1itl1 tl1e wro11ged i11dividL1 als a11cl l1is i111111ediate l<i11 s111 en - bttt 011l)r for tl1e d11ralio11 of time 11 ecessar); to follo,v tl1rot1 gl1 tl1e j)rocedLtral ste1Js tl1at lead to reclress or f)L111isl1me11t of tl1e cL1l1Jrit. 111 1Jri1nitive la,v tl1e ter1de11cy is to allocate at1tl1ority to tl1e !)arty \vl10 is directly i1 1jt1 red. Tl1is is do11e i11 j)art OL1t of co11ve1 1ie1 1ce, for it is easier to let tl1e \vro11gecl 1Jarty ass11 111e tl1 e res1Jo11sibility for legal actio11 . I t is also do11e becaL1se tl1e 1Jri11 1itive l<i11sl1i[) groLIIJ, l1a\ri11g a 111ore vital se11 se of e11tity, is 11 atL1 ral1 }' cl1argecl \X1itl1 a !1eavier emotio11al affect. l11 a11 y eve11t, \'<1l1 e11 tl1e co1nn11111 ity qL1a co111n1 u1 1it)' acl<110,,vleclges tl1e exercise of force by a \'<rro11gecl fJerso11 or l 1is l<i11sl1i1) g·rottjJ as correct a11cl 1Jro1Jer i11 a giver1 situatio11, a11cl so restrai11s tl1e ,x,ro11gcloer fron1 stril<i11g bacl<, tl1e11 la,v fJrevails a11cl order tri11111 1)l1s over viole11ce. •

• • •

Po\Xier may so1netimes be 1Jersor1 al, as is tl1e j)O\ver of tl1e bL1ll�l i11 tl1c society of s1nall boys, a11cl as ,vas to s01 11e exte11 t tl1e !J0\1v·er of Willia111 tl1e Co11q11eror. BL1t 1Jerso11al l:j;ra111 1)i is a. rare tl1i11g ct111011g· 1Jri111itives. BrL1te fcirce of tl,e i 11 divicl11al does 1 1ot JJrevail. Cl1iefs 11 111 st !·1 ave follo\X'crs. follo\vers al\v,1ys im1Jose limitatio11s on tl1eir leaclers. E11clt1ri11g· jJO\'v'er is al\,:ra)iS i11stitL1tionalizecl power. It is tr,1nspersonalized. It resides i11 tl1e office, i11 tl1e soci�l statL1s, ra_tl1er tha11 i11 tl1e 111an. Tl1e co11 stitL1tio11 al strL1ctt1 res of tl1e seve;·al tribes exa111111 ecl i1 1 tl1is bool< l1ave all clearly revealed !1 0\xr JJolitical a11cl leg·al aL1 tl1ority are ir1 eacl1 insta11ce clelin1ited a11 d circt11 11scribed. This point is em1Jhasized 011ly to diSJJel a11 y resid11� ?f_ tl1 e l1�ar_}' jJOl�tical pl1iloso1)l1ies t11 at asst1111ed \X1itl10L1t basis 111 fact tl1at jJr11111t1 ve soc1et1es existed 11ncler tl1e rt1Ie of fa11 g a11 d cla\v. I-lowever, tl1 e_ [)ersonal sti�l o?t_rt1des. A11 ''office'' alt}1o_ L1gl! �11 lt11 ra!ly cle-fi11ed . 1s, after all, exercised by an 1r1cl1v1dual� A11cl _,vl10 tl1at_ 111 d1 v1dt1al _ is at a11 y mome11 t certai11ly 111akes a diffe1·e11ce_. �l1ere 1 s leewa)' 111 tl1e �xerct�e o!· 11?111 exercise of power just as tl1ere are l11111ts. A 1 1a1! 111ay be sl<tllecl 1 11 f1 11d11 1g _ _ tl1e evicle11ce a11 d tl1e tr11tl1 i11 tl1e cases he 11111st JLtclge a11cl 111 forn111 lat111g tl1e 11 orms to fit the case i11 l1a11d - or l1e may be all tl1L1111bs. I-le 111 a)' be 011e \Vho thirsts for power a11 d wl10 will wield all l1e ca11 wl1ile gras1Ji1 1g for 111 ore. Or he may shri11k from it. Power defi11ed tl1ro11gl1 allocatio1 1 of !egal a11tl1orit)' is by its 11ature tra11 sperso11alized, }'et by tl1 e 11atL1 re of me11 1t ca11 never l1e wl1olly depersonalized. A franl<:lin Roosevelt is not a Warre11 I-Iardi11g. a

•

•

I

INTRODUCTION

16

r e_ w d po �s econoze li a 1 1 o s er 11 p s ra ''T 1. e1 tt ri \v 1 as l 1e o1 t Tl1u s 1·t 1· 5 as JuliltS S ; and 1 ct v1 11 p co on u ro g h ,it t � 1 i g i1 rt o p ip st · · · 1e L'15e of force' by . 1 o f tl 1111ca adily to 1�a ct_ers re · ·e 1 o m . es a t k s 1 1 0 t1 1c v 11 co g coti versely a g. rouiJ witl1 stro11 ... Parado�1�ally, the11 , t :a11sperso11al1z�t101� s . 1 o1 ti ic 11v co e es ... tli l1 it . idei itified \x, ng_ to t l1 _� sttbJe�ts � d ad y b , 1 01 t1 1c 11v i co fJ ot g;r l1 1t \v �to tl1e pr1 nc1ple \X� tth wh1cl1 b Li ttresses tl,e JJo,ver strt1c�t1re e s to co11form . c1 en 11d te 1r 1e tl , s ie ic ei Sltbn,issioii tetid , e er nc w si po s e ck os 1e th cI 1� , nd !!a r_ l1e ?t e tl1 1 01 , e l_ l1i w d; tliat JJo,ver is idei,tifie t o co�;f? rm to nd _ . te e, pl �1 111 pr 1 _g 11 l1z 1 1a t10 ra 1e tl _ 1 1tl w . d fie 1ti i in po\ver, bei i ,g ide . 1ty . or <:i> 1Lh n at 1 ow c1 r Su ei th ne 111 r1 _ de t1n ey 1 tl1 t g· i11 t t1 flo tliat fJri iiciple, lest by . w la of r1 1o 1 1 ct ft1 11d co se 1 e tl of ct fe ef is tl1e S . t en .. m m . co l e om na tio di ad tle lit r fo lls a c v la\ of r1 tio 11c ft1 l irc rfl1e tl1 1 . 111 tl1ese_ cas�s tl:e 1 i� lt�t so r fo m s e l_ ob JJr \v ne ely lut so ,lb se fJO ses trot1ble ca u at1on 111 s1t t the no 1s s tl11 t Ve e. t 1a 1 1 1 on ed JJr y 1na s 1 io1 1ct fL11 1 d o1 sec 1d 1 first a o11 the t lati no mu is for m ble fJro tl1e icl1 wl1 11 i s sl1e cla al leg st 1no of 11ce sta 11 i tl1e of Ia,v to cover a 11ew sit L1atio11 but ratl1er tl1e a1Jplicatio11 of preexisti ng la\v. 1-1,ese are clisJJosed of i11 accorcla11ce \Vitl1 legal 11orms alread)' set before tl1e issL1e i11 qL1estio11 arises.Tl1e job is to clea11 tl1e case UfJ, to sttfJJJress or pe11alize tl1e illegal be11avior a11d to bri11g tl1e relatio11s of tl1e disJJutants back into bala11ce, so tl1a t life rnay rest1me its 11or1nal course. Tl1is type of law-work has freqL1e11tly bee 11 cotnfJared to worl< of the medical practitioner. It is family doctor stt1ff, esse 1 1tial to l<ee1Ji11 g tl1e social body 011 its feet . 111 more l1omel)r tern1s, Lle\'1elly11 l1as called it, ''garage-reJJair worl< 011 t l1e general order of tl1e groLJJJ ,vl1e11 tl1at ge11eral order n1isses fire, or grinds gears, or eve11 threatens a total breal< do\vi1.<" 6) It is 11ot ordi11arily co11cer11ed \Vitl1 gra 11 d design, as is il1e first la\v-job. Nor is it co11cer11ed witl1 redesig11 as is tl1e fourtl1. I t works to clea11 tip all t11 e little social n1esses (a11d tl1e occasio11al big ones) tl1at reCL1rre11tly arise bet\vee11 tl1e me1nbers of tl1e society frotn day t o d a)'· J\�ost of tl1e trolt�le cases do not, i11 a civilized society, of tl1emselves loon, l_arg� 011 tl1e s0�1al scene� altl_1 ot1gl1 i11 a s111all con1mu11i ty even 011e can le�d _cl_1rectly !O '1 soc1�1 e_xplos1011 1f no t successft1ll )' cleaned tip. I11deed, in a 1)r1m_1t1 \1e soc1et)1 tl1e 111d1v1dt1al case al\x,ays l1olds tl1e tl1reat of a little civil ':�ar if 1)rocedL1re _bt�eal<s do\x11 1, f?r f�·om it s i1 1cep tio11 it sets ki11 grou1J against �111 grou1� -and 1f 1t conies to f 1ght111 g, the 11u1 nber of l<i11 s1nen \x,}10 \Xtill be 111vol\1 ed 1s a1!110s! al_\vays ir1:1nediately e11larged.Tl1e figl1t 111a)' engt1lf a large !Jart_ �f tl1 e tr ibe 1 1 1 111t_er11ec_111� _tl1roat-cu�ti11g·. Relativel)' speal<ing·, eacl1 rt1n-of ­ tl1e-1n1ll troL1ble case 111 JJr11111 t1\re la\x, 11 111Joses ,l 111 ore fJressi 1 10· 0 dema11d for settle111e11t ll!)011 tl1e legal syste1n tl1a11 is t11e case \x,itli tis. \Vliile system a11cl _i11tegratio1 1 are esse11tial, flexibility a11d co11sta11 t revision are_ 110 less so. Law 1s a dy11a111ic fJrocess i11 \x,l1icl1 few solt1 tio11 s can be pe� 1� 11� 11 t.l�etice, tl1e fo i.1rtl1 ft111ctio11 of la\X1: tl1e redefir1itio11 of relatio11s ar1d : Lile 1 eor 1 e11tat1011 of ex1)ecta11cies. 11:itiati\r e \vit!1 sco1Je to \Vorl< mear1s rte\v jJroblerns for tl1e la\ . ,,;r x, Ne 1 ent_10�1s, 11e\v i cleas, 11 e\x, bel1aviors l<ee J cree Jir10· i n EsrJecially d� ne,x1 1 1 . 11ay g e�1av101 s creep 111 sweef) i ii ' w hei, t \VO , u 111·i 1 �e b soct · et1e •• s co 1ne n e\xr1 y t11to . close co11tact. Tl, e;, tlie' 1 . , 15 callecl _LtfJO� t be o dec l1al ide l_ wl1 s pri at Jle 11ci s . 1 applied to C<)ii flicts of cl:11\X s _0 ted _ 111 dt ar ate ct1ltt1res. Do tl1e 11 e\v cla11ns fJ S � n i fit comfortabl)' to tl e 01 c1 f)OS u ates? Mt1st tl1e 11 e\x,ly realized wa)'S of behav-

f

(s) stone,

Province and Function of Law

7 11 -712.

(6) L e \vellyn, The Nor1 native, tl1 e Leoa) and ; ti1 1: " l_aw-jobs: Tl1e Problen1 of Juristic Mer.hod, 49 ::, ' ) a , e f__ ]. 13 75 (1940).

17

FUNCTION Of PENAL Lt\ W

in� be wl1olly rejected and legally SLlfJpressed. becat1se tl1ey are out of l1ar111011y w1tl1 the old values? Or can they be modified l1ere a11d altered tl1ere to gain !egal acceptance? Or can the more cliffic1.1ll 01Jeratio11 of alteri11g or eve11 j1111l<1ng old post11lates to accorn111odate a new \Xlay be faced? Or ca11 fictions be framed that ca11 11111 tl1e mind i11to acce1Jta11ce of tl1e clis1Jarate 11e\v \vitl10L1t !l1 e wre11cl1 of acl<nowledgecl jL111l<i11g of tl1e old? Wl1at is it tl1at is wanted? f 11 e k11own ar1d l1abitLtal, or the JJromise of tl1e 11e,xr a11d 1111tested? Me11 n1ay neglect to tt1rr1 tl1e la\v to tt1e ans\ver of s11cl1 q11estio11s. Bt1t tl1ey clo 11ot for Ion�. Trot1ble cases ge11erated b)' tl·1e 11e\v J,ee1J 1narcl·1i11g i11. And tl1e fot1rtl1 lct\V-Job JJresses for atte11tio11. Reca1JitL1latior1 of j11st 011e Cl1e)re1111e case \Xiill tl1ro\x.' tl·1e jJrocess i11to focus. !l1e acq11 isitio11 of l1orses greatly altered al1 Plai11s I ,,clia11 c11I tL1res. One important Cl1eye1111e basic postt1late ra11, 'Exce1Jt for Ia11cl a11d tribal fetisl1es, all material goods are IJfi\r ate jJroperty, bt1t tl·1ey sl1ot1ld be oe11erot1sly sl1ared witl1 otl1ers.'' Wl1e11 it ca111e to l1orses, tl1is led s0111e 111e11 t; ex1Ject tl1at tl1ey COLtld freel)' borro\v l1orses \xritl1ot1t even tl1e cot1rteS)' of asl<i11g. for l1orse O\X1t1ers tl1is got to tl1e poi11t of beco111i11g a seriot1s 11L1isa11ce, as i11 tl1e cases of Pa\xr11ee a11d Wolf Lies Do\x,11. Wolf Lies Oo,v11 JJt1t l1is trouble case to tl·1e 111embers of tl1e Elk Soldier Societ1,. Tl1e 1, got l1is l1orse bacl< for l1irn \vitl1 a handso111e free-\vill offeri11g of additio11al 1 'da1nages'' fro111 tl·1e defe11cla11t to boot. Tl1e trouble case \Vas 11eatly dis1Josed of. Bt1t tl1e Ell< Solcliers clicl riot stop tl1ere. Tl1ere \Vas so111e JJreventive cl1a1111eli11g of ft1t1.1re bel1avior to be done. He11ce tl1e r'No,v \Ve sl1all 111al<e a 11e\xr rt1le. Tl1ere sl1all be 110 111orc� borrowi11g of horses witl1ot1t asl<i11g. If a11y 111a11 tal<es a11otl1er's goods \,:,itl1ot1t aski11g, \Ve will go over a11d get tl1e111 bacl( for l1i111. lv\ore tl·1a11 tl1at, if tl·1e taker tries to kee1J tl1en1, \xre \viii give l1i111 a \vl1i1J!Ji11g.' I Jere was tl1e fot1rtl1 functio11 of la\v bei11g 1Jerfor111ecl. Tl1e Ii11es for futt1re co11clL1ct re l1orses \Vere 111ade clear. Work under fu11ction IV re1Jrese11ts social fJla11r1i11g l1 rough l i11 to focus b)r tl1e case of the insta11t and ,x,itl1 a11 e),e to tl1e ftitttre. The /)roble111 of reorie11ti11g· co11dt1ct a11d redirecting it tl1rot1gl1 tl1e la\x, when new isst1es emerge is al\xrays tied to tl1e bare-bo11es de111a11cl of basic organization a11d the n1ini111al 111ai11te11a11ce of orcler a11d regt1larity. It may also shade over i11to work colorecl by a greater or lesser desire to acl1ieve 111ore than a mi11im11m of srnootl1r1ess i11 social relatio11s. Wl1e11 tl1is becon1es a11 importa11t asrect of law-\x1orl{, a s1Jecial asr)ect of la\V-\"·ays activit), ma)' be recog11ized: tl1e creation of tecl111iques tl1at efficie11tly and effectively solve tl1e problems fJOsed to all tl1e otl1er law-jobs so tl1at tl1e_ basic valt1es of tl1e society are realized tl1rougl1 tl1e la\v; a11d 11ot frLtstratecl by 1t. Tl1e doing of it l1as bee11 called by Llewell1111 1 'Jt1ristic lv\etl1od''. It is tl·1e method not 011ly of ge,tti11g tl1e law-jobs do11e bt�t doi11g �l1e1n \X1itl1 a SL1re tot1cl1 for tl1e net effect that rest1lts i11 s1nootl111ess 111 tl1e do111g a11d a l1arrnor1ious weddi11g of w}1at is aspired to by 111e11 a11d \Vl1at is acl1ieved throt1gl1 tl1e law. It is the worl< 11ot jt1st. of tl1e craftsrna11 bttt of tl1e 111aster craftsrna11 the kind of ma11 tl1e Poly11esians call Tui Tl1onga, Great Aclept. Skill in juristic metl1od may be tl1e u11iqt1e qttality of a great jttdge or chief wl10 judges for l1is people. In which case yott 111ay l·1ave a si11gle 111an, or occasio11al 1ne11, croppir1g ttp to softe11 l1ardsl1ell Iegalis111. Or it 111ay beco111e ,111 institutional quality of a wl1ole systen1 i11 wl1icl1 a tradition of 111etl1od is to keep 011e eye 011 the ttltimate social goals of men a11d a11otl1er or1 tl1e \xrork­ ing macl1inery to see that it is steering to\vard those goals. for jL1ristic 1netl1od, 1

1

INTRODUCTION

18

' ' ce ti t1s receives its due ''j t 1a tl e se to . 1· t \xror1<S 011 tl,e itn 111 ediate barieva11ce · ' ct fe \XIl11 le ef te o a f · m · 1 11 th tl e · 1 e l tl ·b e social a r as }JOSSl f s a 1 r1 ce is d to d . . 11 als� lool<s beyo 11d bala11ces t11 e ''rig·l1 t s" a s gh ei w It . ce lt1 oc pr iii \v ert d;" . ··d · i ec d · lO !-l rc 1e tl t 1 a tl y 1 l c Jo r o r ct er JJer se and o f d ee 1 n 1e tl st 11 a1 ag se ca r tla r tl 1- 1 ct· 1·cttial j11 tiJis partic,,ar 11izes t]1a t regularit ,, g co re It le. 1o wl a ,LS JJ 1 ot J · c)tl1.e �: 1 1' 1. 11 0.' 1,eecl� of tlie O 1 ,t 1.-1�t111t\ b ; Ltt as ', \Y/111· c11 _ 1· s 1 1 0 Di· ng �rt si·c1, t) ri a la � g re f o e l< a s ie tl r exists not 0111), fo XI� t h at a bsoltite O\ 1 <.Il so 1 a 1t 1t Bt e. 1c 1 e st 1 ex al e . . to social a 11 ct i11 clividt1 JJl1 ysiology. It seel s as be�t it ma to l <eep � _ � :�� �;I:ritjr is itlllJossible ii1 social 1 po 11ts whet e l_ee\vay 1e tl at ay r x e, le \xr lo al to 1 l t1g 1o e1 tii� \XtOrl{itio· Ia,xr flexible a 11d at tl1e san,e t! 1ne it s, n1 a se 1 tl at rt 1Ja to ic br fa � \,rill rtot ca�se tlie social at w so tl1 la . e .. 1 t \Viii tl1 of er fib e tl1 1 1 i s 1es 1 iff st 1t 1 cie ffi st1 it1 a t seel<.s to 111ai11 11ot lose its bi1 1di11g effect. s an by me of od tl1 n1e ich tic wh ris ju c>f es vic de t ea ar l1e t of 1e 1 0 is 11 fictio r ient co11 duct \X1itl1ou t reo to as so es iJJl nc jJri old o i�t 111s 1or a l 1 lea 1 1ew 1 ne,1 fit 1 e u11iversaI j)r actice of tl for Jt cef Ex . tes 1la stt po i11g 11d a st oIon < Lll� j to d 1ee tl1e 1 1 a re actt1 ally !<i1!s1n en } tl1e if as _ ied 1tif 1 ide are ers 1 sid acto1Jtio11 , \v'l1erebjr tL1t e of 1 011 to fug 1ct f _ ter sL1b �lie 011 ly 1 eav 1 l oo t ' to rel) ave 1 l 11ot do 1 1 e 1 1 1 e 1itiv 1 1Jri1 acl1ieve legal cl1 a11 ge. Nevertl1eless, \X!l1e11 tl1e 11 eed 1 s tl1e r e many tribes l1 ave \1ad recoL1 rse to its t1se. b

A11 ot1 tsta11di11 g exa111 1Jle n1 ay be fot1ncl in a dOJ)tive 111arriage a1nong the JJatrilir1eal grottjJS of l11do11esia. Tl1e i111 1Jorta11t valt1e fo r tl1ese jJeo1Jle is to main­ tai11 il1e t111brol<e11 cor1 ti11t1ity of tl1 e 1Jate r11 al li11 eage. To do this, a fa111ily \vit h­ ot1t so11s ado1Jts tl1eir daL1gl1 ter's l1 t1sba11d as a ''so11' \xritl1 tl1e effect tl1 at7 lie r cl1ilclre11 re111ai11 witl1i11 tl1eir cla11 and tl1eir i11 l1 erita11ce \XTill re111ai11 \X it11in t1·1ei r 1i11e. 1

Legislatio11 b)' cot111cil a11d edict by l<i11 g, or a ft 1sio 11 of tl1e t\xro1 also fi11d tl;eir IJ!ac�s _i11 tl1 e growtl1 a11 d reorie11 ta tio11 of 1Jri111itive la\x, 1 a11 d s0 serve as too1s of Jltr1st1c 111 etl1od. Tl1 e 11ot 1111co1n111 01 1 view expressed by Sal111ond tl1 at 1 ''tl1e ft111�tio1 1. of tl1e S tate i11 its earlier co11ce1Jtio11 is to e11{orce tl1 e la\v, 11ot �o 11 1 al�e 1�, �s o":erstated._< 15) Lo,x,ie is t111fort t111ately g·uilty of the san1e ?\'e r ge11 e ral1zat1011 111 l11 s assert1 011 tl1at, ''J-\11 tl1e exige11cies of 11 orn1 al social 111tercot1r_se �re cov�recl _ bj' ct1sto111a ry la,v, a11 d tl1 e bt1si11 ess of st1 cl1 gover11 n1en­ �al 1nacl1111e_ � )� as_ exists 1s rftl1er _ to exact ·obedie11ce to traditio11 al t 1sage tha n to crea�: lle\v' 1J1 e_cede�1ts. Co) Tl11 s _\X'?�1lcl l�e t rt1e for \x,11011 )' static societies; but . , 11ot e\r e11 tl1e very 110 society j)r 11111t1ve, 1 s \vl1 oll:)' static· 11e\xr bel1aviors do all for 11e IJre cedeiits a11d 11ot all �ocieties \,;,ait for acc epta ble J)recede11ts to � f)e l1a11111 1e1 e d ot1t 011. tl1e l1 arcl a11 vil of cases iii jJrocess. Leo·islatiori al\vays b l1as a cl1a11ce to co11tr1 bt1te to jt1ristic 111e t liod. 11

1

1

1

•

•

•

_ Wl_ ,er, tlie la\v-jobs get do11e, tl1ese 11or 1 11s i11 evitabl)' be co 1 ne tl1 e co111111 on c1 e1 10111111ato1·_ of _legal c_t1ltt1re. Bt1t tI-1 e fL111ctio11 s rer t he 11or n1 s of la \xr \X1 l1a te \ · tl iej' 111ay <rive rise to 111 a r1J.' jJ a ·t·lCll Iar society ' co1 1stitt1te tl1 e crt1c1· a I , are \X!l· 1 at Lltliversal eleiiieiits of ti l , � 11 ct Ile sele 11a!f -l1t1� 1dre d tnay soci etie s � � 011e rttle of Ia,xr a11cl 11�� a1��i1 . . _ e ,e nor i a,,ge is ig . wide can e 110 but 11 � _ tl1e la\xi-jobs. 1 11 tlie last atial, 5 � �li� . t tl,e nt rt� l�\ V-)� bs �1rJ o ge _ t 1 do i 1no 11 e re _ is tl1a11 110\v tlie>' are clolie. 1�11 J1. 1!�1!1 , 1111111a� do iiig 1� a11 1 r11 Jer at1ve of social ex1 ste11ce. �fl1eir doii,o0· witl, jt·iris : 1 · ic f111esse ts a11 acl11 eve1ne 11 t of l1 ig 1 sl<ill. l •

_or

(15) Saln1ond, jurisprudence ·49. > (16) Lowie, J ri,nitive Soc iety 358

-359.

FUNCTION Of PENAL LAW

19

Questions

1. 2.

Wl1at does tl1e word '' 1Jri111itive11 cler1ote?

Wl1at_ a1:e tl1e foLtr ft111ctio11s of la\xr e11t1meratecl b)' J-Ioebel? Are tl1ey relevant to cr1 m 1nal I a \xr? W h i c1 1 f Lt11ctio11 see111s 111 ost crLtcial t o t 11e cr i 111i11 cl I 1 a \xr? 3. fr om \Vl1at '11011legal spheres of actio11' 1 (JJ. 14) 111ig· J·1t tl1e crin1inal la\xr be _ to derive its ''jt1ral JJost sa1cl t1lates''? 4. Wl1e11 tl1e 11 \vro11ged fJart),'' (fJ. 15) asst1n1es res 1Jo11sibility to \vl1at exte11t are lioebel's foLtr ft1nctio11s of la\xr satisfied? 5 . 111 tl�e ligl1t of J-Ioebel's article, \vl1at clo J·ou see as tl1e ft111ctio11 of tl1e pt1bl1c 1Jrosect1tor? To \x1l1at exte11t does lie re 1Jrese11t ''tra11s1Jerso11alized fJO\ver'' (p. 15)? 6. Wl1y are 1 'trot1ble cases'' n1ore da11gerot1s to social order i11 loosely org­ a11ized societies tl1a11 i11 more l1igl1ly ce11tralized 011es (p. 16)? 7. To \Vl1at degree is Etl1ioJJia i11volved i11 tl1e fot1rtl1 ft111ctio11 of la\XI (p. 16)? 8. Ho\v does tl1e Etl1io1Jia11 Pe11al Code acco1n111odate itself to tl1e fo11rtl1 ft111c­ tion, tl1at is, in \xrl1at ma1111er does tl1e Code allow for tl1e ha11dli11g of la\x1jobs ancl ):et adapt itself to social cl1a11ge? 9. Do you tl1i11l< tl1at Etl1io1Jia's Codes are close to prevaili11g social values? Should tl,e)' be? I 11 ,x.,}1at ways migl1t tl1ey be brougl1t closer to social valties? 10. Wl1at i� tl1e fu11ction of fictio11 witl1in a legal syste1n? Iv\ay tl1e sa1ne function be ft1lfilled tl1rot1gl1 legislatio11? Evalt1ate the follo\,qi11g qt1otatio11 from Sir He11ry Jv\ai11e, Ancient Law 22 (1861, Mttrray ed., 1911): A general pro 1Jositio11 of son1e valt1e 111ay be adva11ced \vitl1 res1Ject to the age11cies by \vl1icl1 La\v is broL1gl1t i11to harmo11y witl1 society. Tl1ese instrun,entalities see1n to me to be tl1ree in 11t11nber1 Legal fictions, Equity, a11cl Legislatio11. Tl1eir l1istorical order is tl1at in wl1icl1 I have JJlaced tl1em. 11. At page 18, Hoebel SJJeaks of ''edicts of a l<ing'' being ''tools of jt1ristic method''. How 1nigl1t the EmJJeror's Cl1ilot serve as a tool of juristic method? 1

SECTt'ON

8. THE PURPOSES OF PUNISHMENT

THE PURPOSES Of CRIMINAL JUSTICE2 Sir John Salmond; 11th ed.,

Glanville

\f7illianis

Deterrent and JJreventive Pitnishmerlt: Tl1e e11ds of crin1i11al jttstice are fot1r

in number a11d in respect of the pt1r 1Joses so served by it, JJt111isl1111e11t may be disting�isl1ed as (1) Deterre11t, (2) Preventive, (3) Reformative, a11d (4) 2.

Williams, Salmond on Jurisprudence 115-123 (11th ed., 1957).

lNTRODUC1�fON

20

1 d all-i_ 111 r)orta11t 011e, 1 _a l ti n e s _ e es 1 tl �s t rs fi e 1 s tl �o1 e_ all !l1 1ngs dete Ret,ributive. Of tli ese asJJe ct , e, rr 1 e11 t 1s b ef 11 1 t, l 1s 1� 1 t P .. ry e o c ss ac ly re 1e 1 1 tlie otl,ers beii,g a exa� l a nd ld r1 e\ <e � al o t 1S e 11 11 �r f o �� � . j r �01nn11��e� b)' a11d tl1e cl1ief e11d of t]1e la\� -111111clecl wit e s c 11 e 11 n 1. 1 e l< ]1 re a t ia tl , a \var ,i iia to all 1e ti f 0 , w , t 1 r�11gdoer e1 ar J) ap r o al , re ts es er 1t i1 e 1 · .1e as<�11 0 a co11flict bet\x,reen tl r111g tl1is ) d y e _b s ro st ce 11 fe of s 11t e ve JJr 1t e1 1 11n is 111 Pt . e · ro la at · y · et ' O · ci so of e a11 c1 L 1 1 os 1 b a 1 o· tn ct a 1 . e� k m ct s I b · \XI y 1 h 11c 1 1 g1 or 1r t 1e ve O\ y 1e tl 1 l ic 1 l w to s st e coriflict of j 11 ter 1 e;11 ···:. by m�l<111g every tl of s �r do e tl1 t? so al us rio jt1 in 1 are itijurious to otl1ers . e 11d r �e 1 of 1e �n tl M to 1 1 do 1 a r?," ba 1 1 . 1: a ''_ , <e cl Lo . of ds or w e of-feiice, j11 tli ee !< Justice, wl11cl1 !S _tl1e s to 1 e?t 111 t 1 1 e1 c ff1 st1 0 1 1 e av 1 l � i i ijtistice becatise tliey 1 e pL1 _rJJOS� of tl1e cr1m111al Tl it. of et e do 1 tl of at 1 tl 11 a 1 tl o·ood of otliers ratl1e r 1a11 t11 1g 111 tl1e 11ature of \X us 1 tl e ar 1 l ic 1 wl es tiv 1o 1 1 1e tl t ar Ja\v is to stijJfJI)' by thi11 gs. . 1g li1 Its pri1nary ab dis or ve 11ti ve e pr , ce jJla d Punisl1111e11t is i11 tl1e se co11 al eci d sp se a11 rfJO y r. JJ� cl� 1 o1 sec its ar, e f by ter d� to g 1 i1 e b e � rJJO ptt ral e e11 g d 1 a1 is, wl1 erever l)Ossible a11 cl ex1Jecl1e11t, to JJre ve 11t � repe t1t1011 of. \vro11gdo111_g by tl1 e disable1ne1 1t of tl1e offe11 der. Tl1e n1 ost effect i ve 111ode of d1sable 1nent 1s tl1 e cleatl1 JJe 11 alty.... Tl1e OfJpositio11 to tl1 e deatl1 pe11 alty is basecl fJartl)' 011 relig­ ioL1s a11d 1Jartly 01 1 social grot1 11ds; i11 partict1lar, critics JJOi11 t to tl1e morbid excite1 11 e11t cre atecl b)' mt1rcler trials a11 d tl1e ir outco111e. ,\ si1 11 ilar seco11 dary pt1r1Jose exists i11 sttch JJe 11alties as impriso1 1111e11t, forfeitt1re of office, tl1e sL1s1Je11 sio11 of clriving· lice 11se s, and i11 tl1e old penalty of exile. l 11 111 oder11 ti111es tl1e disabli11 g as1Je ct l1 as bee11 e 1nJJl1 asisecl by statutes co11 ferri 11g UJJ01 1 jttdges IJO\XJer to se1 1te 11ce l1 abitL1al offe11ders to JJreve11tive ter1ns of i1 n1Jrison111e11t. In so far as i111 1Jriso1 1n1e 11 t is i11 te 11ded to be 1nerel)' clisabli11 g tl1ere is, of coLtrse, 11 0 11ee cl to 111 al<e it t1111Jleasa11t; and tl1e se se11te11 ces of preve11tive dete11tio11 are serve d L111 der co11clitio11s sliol 0 1 tl); le ss rigorot1s tl1 a11 ordi11ary i1n1Jriso11111 e11 t.

r

g}.f

_ Refor1native JJu1�ishrrient: Ptt11isl1 n1e11 t is i11 tl1 e tl1 ird JJlace reformati\re. Offe_1 1ces are co1nn11ttecl tl1ro�1 gl1 tl1e i11 flt1 ence of 111 otives or by a cl1a11ge of 111 ot1 ves UJJ011 cl1aracter. Pt11 11sl11 ne 11 t as dete rre1 1t acts i1 1 tl1e forn1 er n1 etl 1od· JJ1111isl1111 e11t as refor111ative i11 tl1e latter. Tl1 is curati,,e or 111ecliciiial fL1nctio11 i� �J1:acticalJ)' li !t�d to t\x,o tJ�rticL1lar SJJecies of JJe1 1altJ,, 11a 111el)', in11Jriso11 111ent � �a 111s to tl1e 1cle a_ l\vhere 1t pe1 l ratl1er tl1a11 to tl1e actt1al) a11ct JJrobatio11. It :Votild . see11 1, 11 �\x,ever, �l1 at tl11s as1Je ct of tl1e cri1ni11al Ia\xr is desti11 ed to �11 re�s �1g pr�_11 1111 e1 �e . l l_1e 11e w scie11 ce of cri�,1 �1 1olog)' \x,otild go far to\vards ! : '. 1 disease, 1d�11 �1f)111 g _c1 11:1 e \V1tl a11d \X'Ottlcl \X11 ll111 gl:)' deli,,er 111 a11y classes of cr 1111111 al ot1t of tl1e l1 a11ds of tl1e 111e 11 of la\XJ i11to tliose of tl,e nie11 of inedicin e. . _It is_ 1Jlai11 tl1 �t tl1ere is � 11 ece ssary co11flict be t\XJee11 tile cteterre i1t aiid the 1 :.fo11 1 at_ 1v� t_l1 eor1 �s of _ pt 1 111sl1 111e11 t, a_11 d tl 1at tl 1 e S)'Ste111 of crin1i, 1 al justic e � \v� II \_ a1:)'_ 1 11. i n7 1Joita11t 1 es1Jects ac�ord1 11g· as tl1e for1n e r or tl1e latter J)ri11ci1Jl e !JI eva1ls 111 1t Tl1e jJt1re },, 1 ·e f· o1·111 at·1ve · · ti 1e o 1 Y ad111 1ts · J 1· 0111)' st1ch for111s of JJL111 1s J • . • _ 1�1 �11t _ as ai e Sitbser�iei,t to tlie educatio11 arid cliscipli 11 e of tl1e cri111 i11al a11 d Je a�. tl 1ose \XJl�1c_l1 are JJrofitable o11 l)' as de terre11t or di ;,� ��fs 1 sa 11 g.· De�tl1 is bl i 110 f1tt1 11 1 e11,�It_�'i \Ve 111ust ct1re OLtr cr im i11 al (1 en1. tl l<i ll s, 1 ot 1 : � �� � floooi11 g 1 otl1er co1 jJO! al 111fl1ct1or1s l1 ave alre acl)' be b eer 1 excised fror 11 tl1 e la\Xi t exce1J for assaL1 lts 011 JJr1so11 warde 1· ) f01- ti ie 1g 1.e so d11 11 tl1a deg t ra tl 1 �)' �r e � � a1 1d brL1 talisi11g bot!, to tllose wl; O __su fer � i icl . �1 to 1cl tl 1 os � n1 \Xt , l10 1e tl 1 fl1 11 ct . �o fail i1 1 tl1e cei,tral Ltr Jose o f 1 111111 1 J\1st1ce. In1 1J�·1so11111 e1 1t a11d JJrobat1on, �; 1 11cleed, as already iticiicalect � are e o11 ' 111 1JJorta11 t_ 111 strt111 1e11 ts available for tl1e l)L1r 1Jose of a pt1rel)' r�for111at�i ve � S}ste 111. l 1n1Jr1s011111e11t, 110\ve ver, to be

21

FUNCTION Of PENf\L LAW

fitted for st1cl1 a pt1rpose, reqt1ires alleviatio11 to a dearee qt1ite i11acl111issible i11 �l1e alter11ative system. If criminals are se11t to 1Jris�1 i11 order to be tl1ere tr�nsformed i11to g·ood citizens by fJhysical, i11tellectt1al, a11d 111oral trai11i11g, pr1so11s 111t1st be tt1rned i11to d\Xie}li11g-l1ot1ses far too co11fortable to serve as any effectt1al deterre11t to tl1ose classes fro111 \x1l·1icl1 cri111ir1Lls are cl1iefl) dra\v11. A ft1r_tl1er_ illt1stration of tl1e cliverge11ce bet \vee11 tl1e cieterrert a11cl tl1e reformative theories 1s st11)plied by tl1e case of i11corrigible offenders --r11e 111ost sa11gt1i11e advocate of tl1e ct1rative treatn1e11 t of cri1r1i11als 111t1st aclnit tl1at tl1ere are i11 the W?rld �e11 \xrho are i11ct1rably bacl, 111e11 \xrl10 by s01Te vice of 11alt1re are eve11 111 tl1e1r yot1tl1 beJrond tl1e reacl1 of re-for111ative i11'flt1e1ces, a11cl witl1 \vl10111 crime is ·11ot so 111t1cl1 a bacl l1abit as a11 i11eraclicable i11'.:ti11ct. Wl1at sl1all be do11e \Vitl1 tl1ese? Tl1e 0111)' logical i11-fere11ce fro111 tl1e 1:for111ative tl1eory, if t,1l<e11 by itself, is tl1at tl1ey sl1oulcl be aba11clo11ed i11 cles1)1ir as 110 fit st1bjects for pe11al disci1Jli11e. Tl1 e deterre11t a11cl disabli11g tl1eories 011 tl1e otl1er l1a11d, regard s11cl1 o-ffer1clers as lJei11g· !Jree111i11ei1tly tl1ose \X1itl1 w:10111 tl1e crin1i11ai la\v is callecl LifJ011 to deal. Tl1at tl1eJ, 1nay be jJreclttdecl fro1n ft1rtl1er 1niscl1ief, a11d at tl1e sa111e time serve as a war11i11g to otl1ers, tl1ey ar� jL1stly de1Jrived c)f tl1eir libert11 a11d i,1 extren1e cases of life itself. The a1JfJlicatio11 of tl1e jJLtrely refor,native tl1eory, tl1e·efore, \'<'OL1lcl Ieaci to astonisl·1i11g a11d i11acl111issible res11Its. Tl·1e 1Jerfect S) ste111 of crimi11al jt1stice is based 011 11eitl1e1� the refor111ative 11or tl1e cleterrer1t 1Jri11ci1Jle exclL1sivel.>' 1 bttl is the rest1lt of a co1111Jro111ise bet,vee11 tl1en1. 111 tl1is co1111Jro1nise it is tl1c deterre11 t iJrincipI e wl1ic11 IJ assesses JJreel o111 i11a11t i 11f I LI e11 <e, a11cl its acl \IO ca tes \xrl10 l1ave the last \\'/Ord. Tl1is is tl1e jJri111ary a11d esse11tic:l e11cl of jJL111isl1r11e11t, a11d all otl1ers are 111erely seco11clary a11d accicle11tal. rr·11e JJresert te11cle11cy to altrib11te exaggerated imJJortance to tl1e reforn1ative ele1ner1t is , reac�tio11 c1gai11st tlie former tende11cy to 11eglect it altogetl1er, a11d lil<e 111ost reactio11s it falls into tl1e false!1ood of extremes. It is a11 i1111Jorta11t trL1tl1, t111dtl)' 11eglected i11 ti111es past, tl1at to a very large extent cri111 i11als are 11ot 11or111al a11d l1ealtl1y l1L1111a11 beings, a11d tl1at cri111e is i11 great meast1re tl1e JJrocluct d fJl1ysicc:1l a11ci n1e11tal abnor111ality and dege11eracy. It l1as bee11 too 111t1cl1 tl1e jJ:�1ctice to cleal \X1itl1 offe11ders on tl1e asst1m1Jtio11 tl1at tl1e)' are orcli11ar)' t·y·i:es of l1L1ma11it;'· Tno 1n Llc}1 atten tio n 11as be e11 jJ aid to t11 e cri111e, a11cl too li tt 1 e to the cri111i 11a1. Ve t we mt1st be careful riot to fall i11to tl1e OjJjJOsite extre111e If cri111e !1as become tl1e mo1101Joly of tl1e ab11or111_al a11d tl1e dege�1era�e, a· eve11 tl1e 111er1tally u11sot111d the fact 111t1st be ascr1becl to tl1e selective 1nflt1t11ce of a syste111 of criminal' jt1stice based 011 a ster11er 1)ri11ci1Jle tl1a11 tl1at of refor111atior1. Tl1e more efficient the coercive actio11 of tl1e state beco111es, t1e 111ore SLtccessfttl it is i11 restraining all normal ht1n1a11 �eir1gs fro111 tl1e da11g·�rot1s JJatl1s of crin1e, and tl1 e l1igl1er becon1es tl1e fJro1Jo:t1011 of dege11eracy a1rong tl1o_se \xrl10 _breal< t11e law. Even with our prese11t 1111perfect n1etl1ods tl1e jJrOJJort1011 of 111sa11e fJersons a111011g murderers is v�ry l1ig·I1; �t1t if tl1e s:at_e cotil� l SL1cceed_ i11 mal<ing it impossible to co1nn1 1t murcler 111 a sot111d mind \V1tl1out being indubitably hanged for it after,vard_ s, 111urder \VOLtld soo11 beco111e, \X1itl1 scarcely a11 exception, litnited to tl1e 111sa11e. 1

,

1

•

•

•

• •

It is needfttl tl1en, i11 view of moder11 tl1eories a11c te11ciencies, to i11sist on the primary im1Jorta11ce of tl1e cleterre11t eleme11t i_11 tri111i11al . jt1stice. Tl1e reformative eleme11t 111t1st 11ot be overlool<ed, bt1t 11e1tl1Er r111.1st 1t be allo\xred to assume undtte pron1ine11ce. To wl,at exte11t it may be rern1ittecl i11 JJarticttlar ir1stances to overrule tl1e reqL1iren1e11ts of a strictl)' deter1e11t tl1eory is a qttes­ tion of time, place, a11d circt1msta11ce. In tl1e case of yot1tl1ft1l crin1i11als a11cl first offe11ders, tl1e cl1a11ces of effective reformati011 are greater tl1a11 i11 tl1at o·f

�-· '

INTRODUCTION

22

a l 1t � 1l g o ri JJ 1e im ll rt 1 cl e a1 11c , cc n 11 0 1a tl re 1o 11 � 1e 11 i cr o 1t 1 i ac�1LIlts \ .,1 o 11ave fallei1 1 e ct1 111es, sucl 1 as n So . so al r te ea gr re fo re 1e l t is Jle ci i11 1r · 1 ·1ve Lr .. ea t1 11 e11t t·11a·1 \1e · 1 at . 1 , 111 � 1 or , ' e o ti 1e I f 1 o ti 1 ers. I11 at 1 f rn re o f o )' tl ad re · re 10 11 ·t · 1 1 11 l c a s e ic 1 e 1 sext1al o ff 11 f 1 a de, 111 the _e sa Y _e b _ }' 1a i1 1 io 1s ss ce 11 co s ie it 1 1 i1 1t11 n co g i1 li ic b -a \xr l; id , ai r orcle l ld u O \Xi es be ratal to t1 1e c so 1t e1 1l )1 rl re tu o 111 1 i1 l 1 ic l1 \xr iiiterelts o f refor111ation, tl1e l)ttblic \velfare. ce i11 tl1ree of its sti jt1 al i11 1 i11 cr ecl er id 11s co e 1av l e W •· • ... ·t· - e p1-tJz.,;5f:?Jn", . • · · R'-etri ·b11t1:v 'V ? T _ a e d 1. w h" a1 v , e -:\1e t1 I 11a r1 \ fo re d 11 t, cl1sabli11g·, an e rr te cle as y, el 111 _ 11a as,Jects 1 e. _ Retr1bt1t1ve 1\ 11t 10 tr r� s_ a _ t c_ Je as _ st l� 1 1d a tl1 1 to deal \v'itl, it Ltiider its foL1r � II ),' rational syst�n 1 111 � 1b ss 11i 1 ad ts it 1 cl l1i :x, i11 se 1 1 _se ' i, jJLtiiisliiiiei it, j 11 t11e 0111} n_ of at t1 �1o t� c _ 1o fa en t1s sa e 011 th r fo es rv se 1 l 1!c \v'l _ at tl1 1s , ce sti jL1 g i11 er of admiiiist 1 co1nn:L11!1t1es 1s. st1rre� LI!) b) ' l1} alt l1e l al 111 l1 1c 1 l w 11 io 1at of retribtitive i11clig1 l 1at1011 , \XTl11 cl 1_ exists �1ot ta re or 1ge 1 ve re of 1ct ti1 i11s 1e l t s i,ijLi stice. It gratifie t1c l1e s1 m Jat ten sy of ex 011 J' \V� b}' o als t 1 bt1 cl, 1ge 1 o \xrr 1al iclL liv i11c tl1e 1 1 i y rel 111e 1 ge l1 a� bee11 su1J­ _e1 rev te iva pr of 1 1 1 ste e Sj 1 tl 1 1gl l 10L t Al . ge lar at i11 tl 1e society ll sti a:� 1t ext�,,� in of t r�o tl1e at lay 1at l t s n�t i t_ i11s a1:ct � 11 o oti e111 JJressecl, tl 1e 1 ate fu11ct1011 of cr1m111al 11 ord sub 1 l L1g t110 ct t111 cl1s a 1s it a11d L1re lit1111ar1 11at jtistice to affo:-d tl1e111 tl1eir legiti111 ate_ satisfaction For al thoL!gl1 i11 tl1�ir. la\X1less a11 d 1-111 reo·t1lated exercise a r1 d ex JJress101 1 t11 ey are f LI l 1 of ev1 I! ti:ere 1s 1 n tl1e1n ation, both 1 1one tl1e less a11 eleine11t of good. Tl ,e e1notio11 of retribL1tive i11dig11 in its sel f-regareli11 g a11 cl its sy111 JJat 11eti c forms, is eve11 yet i 11e 111 ai 11s pring of t11e eri 111 i1 1al la \V. It is to tl1e fact tl1at tl1e JJLt 11is11me11t of tl 1 e \Xiro11gdoer is at tl1e sa111e ti111 e tl1e ve11gea1 1ce of tl1 e \xrro11 ged, tl1at tl1e ad111i11istratio11 of justice O\xres a great jJart of its stre11gtl1 a11cl effective11ess. Diel \'\r e jJL111isl1 crin1i11als 111 erely ·frorn a11 i11 tell ect11al ap1Jreciatio11 of ll 1e ex1Jedie11cy of Sl) doing, and 11ot becat1se tl1eir cri111 es aro11se i11 LIS tl1e e111otio11 of· a11 ger a11 d tl,e i1 1stinct of retribt1tio11 , t11e cri111i11al law \XIOL1lcl be bL1t a feeble i11 strL1111 ent. Indignati o11 agai11st i11jt1stice is, 111oreover, one of tl1e cl 1ief co11stitue11ts of tl1e 111oral sense of tl1e co1111 11 t111it)', a11d JJositive 111 orality is 110 less de1Je11de11t 011 it tl1 a11 is the la\xr itself. It is g:oocl, tl1 erefore, tl1at SL1cl1 i11 sti11cts a11d e1notio11s sl10L1ld be e11cot1ragecl a11cl stre11gtl 1ei1ed by tl 1eir satisfactio11; a11d i11 civilised societies �l1is_ satisfactio11 is possible i11 a11J' acleq11ate deg·ree 01 1ly tl 1roL1gl1 tl1e criminal Jt1 st1_ce of t lie state. Tl1 ere ca11 be little q11estio11 tl1at at tl1e })rese11t day tl1e se11t1111e11t of retributive i11dig11atio11 is deficie11t ratl1er tl1ar1 excessive1 a11 d requii�es sti1nulatio11 ratl1er tl1a11 restrai11t. U11q11estio1 1able as l1ave been tl 1e be11 e_ f1 ts _of tl1 at gro\x1 tl1 of altrL1istic se11time11t \x,l1 icl1 cl1aracterises modern soc1et);, 1t ca1111?t be de11iecl tl1at i11 s01ne res1Jects it l1as tal<e11 a perverted course ,t11cl l1as 111 terfered L111 dLtlJ' will, tl1e ster1 1er \1irtt1es. We liave too n1ucl1 �orgotte11 tl1 at tl1e 111�11 tal at�it11cle \x,_l1icl1 best beco111es LIS, \x,I1en fitti11g justice 1s cl o 11e LI fJo11 t11e e vII clo er, 1s 11ot [J1ty, but so le111 11 exLt Itat io 11. . _Tl ie foregoi1:g . e�1Jla11ati?11 o_f ret_ributi\1e pL111 isl1me11 t as essential!}' an 111 s_t1 Limei,t of \ 1t11cl1ct1v� sat1 sfact1011 ts b}' 110 n1ea11s tl1at \x,l1icl 1 receives �1111 versal _ acce1Jta11 ce. It ts a ver>' \x,idelJ' l1el d 0 Ji11io11 tl1at retribt1tio11 is in it­ 1 lf, �) It al tog�tl7er fro111 a1_1y deterre11t or refor111ative i 11fl11e11ce exercised b)' s f:'. a �1.1o;l1t �11�1 1�aso1 1 able tl11 11g· , a11d tl1e jL1st re,x,ard of 1 1 g to Ac co rdi j 1 1iq uit \, ;· tl11s view, 1t 1s r1gl1t a11d \J1·o IJeI,-· \xri·t1 lOLIt reg·ard to t 1 lterior co11seqt1e11 ces ' th at ev1·1 s11ot11c 1 be retL1r11ecl fo · evi·1 ' ai,d tI,at as ld a ma sho 11 dea ls ,x,it otl so 1er l1 s u lie l1 i111self be dealt \xrilll 11 eye_ fo t. ai, eye n1ed_ �11d dee a too is tl1 too for a tl1 a IJlai11 a11ct self-sLtfficien·t le 0 1s al tLir i,a e t1c 11s . ed ard reg 1e l111 11is Pt1 as 11t so J � . 11 0 lo11ger a 11 1ere iiistrunl��� t. fot beco1 ne a11 e11ci itself Tl1e JJ�ti JJo tlie_ at_ta1� 1 11 _e11 t of tl,e JJLtblic \x,elfare, b11t l1as e of v111 ct1 _ct1ve satisfactio11 l1 as bee11 elin1i11a_ted \X1 itl1 out a11J, SLibstitt t eeii l _rov1ded ;te 1 v1 . Tl1 this ose xrl10 ac� \ efJt co1-n 11 1011l)' adva,,ce retri���t� e \X' � ; t 0 tli e first place a111or1g tl1 e var10L1s as Jects of 1 1

l

FUNCTION Of PENAL LA \V

23

�u1,isl1ment, the otl,ers being relegated to st1bordi1 1ate jJositions.Tl1is co11cep­ t1011 of retrib11tive justice still r�tai11s a 1Jromine11t fJlace i11 pop11lar thoug11t. •

•

•

•

. It is scarcely 11eedful to observe tl,at, fro111 tl1e t1tilitaria 11 1Joi11t of view !11ther�o _tal<e 11 tlfJ by 11s, s11cl1 a co11ce1Jtio11 of retributive JJt1nisl11ne1 1t is totally 1 nad 1n1ss1ble. �L�11isl1ment is in itself 1 1 a evil, a 1 1d ca11 be jt1stified only as tl1e me.ans. of . atta1n1ng a greater good. Retribt1tio1 1 is i11 itself 1 1ot a remedy for the m1scl11ef of tl1e offence, bttt a1 1 aggra\1atio11 of it. Tl1e OiJIJosite opi11ion n1ay be regarded_ as a JJrocl11ct of tl1e inco1111Jlete tra11s111t 1 tatio11 of tl1e conception of _reve11ge 1 11to tl1at of pt111isl1me1 1t . It res11lts fron1 a failttre to a1Jpreciate tl1e rat1011al basis of tl·1e i 1 1sti11ct of retribt1tio11 - a failure to refer tl1e emotio 1 1 of retri�Lt�ive . i11dig11atio11 to the trt1e sot1rce of its ratio11al jL1stification- so tl1at retal1at1or1 1s dee111ed a11 e 1 1d in itself a11d is recrcarded as tl1e essential ele111ent i11 the co11ce1Jtio11 of pe 1 1al jt1stice. THE Allv\S Of CRIMINAL LAW3 Livit1.gsto11. I-fall and Sheldon Gliteck

It is obvi 011s that tlie 111 titnate objective of tl1e cri n1 inal law is to JJrotect society b11t OJJi 1 1io1 1s differ widely as to just l10\'v' tl,is goal is to be acl1ieved. Tl1ese differe11ces of opi11io1 1 1 i11 tt1r 1 1, l1ave beer, e1 11bodied i11 variot1s statutes at differe11t times.Tl1e result is tl1at tl1ere is l1ardly a 1Je11al code that can be said to l1ave a si 1 1gle basic (Jri11ci1Jle rt1n 1 1i11g throt1 gl1 it. The criminal la\v grew up at stage i11 l1istory when tl1e disci1Jli11es co11cer11ed \Vith l1t1mar1 co11cluct a11d its 111otivatio11s - biology, JJsycl1iatry1 sociology and crimi 1 1ology (to me 11tio1 1 tl,e 111ore obviotts) - \Vere virtt 1 ally 1 1011-existe 1 1t. Its ultimate basis of JJu11isl1111ent, eve11 \vl1e11 it reacl1ed a sopl1isticated state, was very si1nple.... •

•

•

•

Commentators l1ave fou 1 1d it very difficult to develop a rationale of tl1ese more or less cor1flicti11g theories of retribution (expiatio11)1 deterre11ce (of prosJJective law-violators), disablement (by i1n1Jriso11111e11t or exect1tio11), preve11tion (of repetitio11 of crime by ex-1Jriso11ers), correction (of offe1 1ders), and edttcation (of the public), and !1ave bee11 ttnable to agree L1pon tl1e order of importance of these aims i11 tl,e practical day-to-day ad1ni1 1istration of cri1ni11al justice. •

•

• •

(a) T/1e retribu tive- expiat�ve tl1 eory still oft�n dictates tl,e �CO(Je o� tl1e i!1deter­ minate-sentence spans jJrov1ded by tl1e leg1slatt1re for var1011s cr1 1 nes 111 tl1e statute books a11d codes, tl1e 1nore s1Jecific bttt yet i11cletermi11ate se 1 1tence itn­ posed by tl1e j11dge i11 th� i11dividt�al case, a 1 1d the _ still more s1Jecific se1 1te11ce whicl1 the parole board f111ally decides that tl1e part1ct1lar offe11der sl1ot1ld serve. This fundame11tal j11stificatio 1 1 of JJU11isl1me11t l1as bee11 stated by pl1ilos­ ophers in various terms, depe11dent ttpon tl1eir s1Jecial systetns of valt1es: Punisl11ne11t is necessary, it has bee11 said, as a ''j11st retribt1tio11'' or requital of ''wickedness'' or as a ''correlate'' of 1 'gt1ilt'', or i11 ft1lfilme 1 1t of a ''moral law'' (Kant), or i� the carrying out of a religiot1s dt1ty (de .lV\aistre), or as ''logical 3.

Hall and Glueck, Criminal

Law

and Enforcement 14-19 ( 19 58).

INTRODUCTION

24

o ciety' s se11se of l1ar n1011,, s g 11 ri o f st o re 11s ea n1 or as .a 1 l) ge -le (I · ,ie .· 11 ' i c · o t t'' t· · · e1 ra, 1011a11!at1011 is ev t 1a co 1n. JJ le111e11 1 , t B 11 . t} b ar J \Y..I er I 1e 111 ( cr e .Y..1l11c1 a bee11 dislttrbecl by tl1 d ar w � ac loo k111g a11d b e ar ey th : n _ 1 o 1n 11 co i11 s 1i � � tl � o, st1 I tl1eories l1ave ; sot e r1es tl1eo ide ' co11s ,lb 1ese are l r T i11al. cri111 a l . tl1e � � 11 t11 ier l ) rat ��e)' etll J Iiastz e I e crii,,e l · i,ce tlO\Y..lada)'S, tl1at tl1e ca11ses o f cr i111i11ality are 11u111erotts · e\ride · ot ty J1c· a 11y ,,ca 11se ct'' b Y . tl1e ca1culated wea1{e11ecl b Y tl, e . ' 11 1s 1g 1 11 o d g 11 o r w t ,a tl d n a x e )l , atid c.oi, 1 l11cal consirJerat e ' 1) at 1 11 o fr t ar ap r, ve o re o M · l'' ' il \V e re ''f · i ly te le ip t co f a , o se 1 ct er ex _ o o einot1ona1 11 t a ct ct e t · 1 · 1g -s rt l s 1o a e b to . ed v ro JJ as t) 0 Jl SI le::,o·a' 11/.·�recl veno·ea11ce l1 o 1a 11 )'. co11 ct.1t1• 011ed. � 1 a1 d y a 11 • 1c �g 10 1 e b. ar t a. tl1 : 11s e1 o bl pr , itl \Y..l , iig JJi c o r fo basis s l 11cl1 are based \V ce t1 ac 1Jr of e ur t! fa e_ th f o 11t 11e oq el Statistics, o f reciclivistn are tl1 \V 1? _ t l1e s1 se l1 T t n. e� 1o gr ut !b tr _re or e � nc ea 11g :'e � � ed i al ci o s 1 z . essei,tially 01 l1arge. furtl 1er, 1t sc d1 r e1 t.1 11 J0 tt) e� 1 111 cr 1t 111 111 co to 11e 111 11t c o 111ajority o f JJriso 11ers 1 e �e as to es \ s m o se co be . 11t 1e 111 1sl �11 J)t 11 1e l \V t 1a is a \X1ell-l<IlO\v11 1Jl 1e11o n1e11011 tl 1c at r m l1e �g ot )Jr e a 111 s go o l, or aim t er1 rr te de a 1an l t 1er l t ra e nc ea 11g suggest ve at its fe cle v11 O\ ­ o t ur _ p s. 11d t� y_ eb er tl1 . Y..1 la\ 1e l t_ d a11 ict 11v co to tl1 l oa juries are us rio va t1al of b1t 11 t10 ''ha tra 111s n11 acl 1al ctL ffe 111e t11e ' b) d ate lic i11c t fac t)o se - a o r a fo 11r tl 1 fel o n)'. fin al !}', is f 1t 1e1 nn iso pr im life g li11 Jel m1 o c es tut sta ' o ffe11cler' dua the in o11 ivi 11ti i11d rib ret l of rod · 11g 1ri as1 111e 1e l t y JJJl a to gl1 011 e11 se \vi 1 anyo11e s a11d in n tl1i s t11r 1es ed1 icl{ ! \X of ree deg tl1e t o t 1e11 l111 t1is J)lt tl1e fit to as so case to tl1e degree of freedo111 of \X!ill? for st1cl1 reaso11s tl1e e1n1Jl1asis 111Jot1 retrib11ti\1e j11stice l1as i11 recent }'ears been lesse11ed, es1)eciall)' i11 tl1e se11te11ci11g a11cl rel easi11g jJr ocedures of tl1e 111ore 1Jrogressive j11risdicti o 11s.< 14 J N<:�vertl1eless, refor111ers of t11e ad1ni11istration of cri111i11a1 jt1stice 11111st be realistic. l'l1e la\Y..I dra\Y..IS its life j11ices frotn custom a11d j)t1blic 01Ji11io11. It ca1111 ot be to o far i11 advance of tl1ese \vitl1o ut sl1iiv­ eli11g fron1 \v1a11t of j)ttblic sttJJp ort. Pttbl ic OJJi11io11 is i11 n1a11y IJlaces not )' e t ready to abando 11 tl1e bacl<\vard-orie11ted retrib11tive-exJJiati\re tl1eory as 011e of tl1e bases of tl1e cri111i11al la\xr. Certai11 revol ti11a cri111es aive rise S[)011tar1eot1sl)1 to feeli11gs of otttrage, fear a11d i11clig11atio11, ancl to a de1nand for rL1tl1less vengea11ce. Tl1ese e111 otions, ratio nalized b)' tl1e retribttfive-expiative tl1eor)1, ar� dee1Jly rooted in l1u111an 11att1re. Tl1e best tl1at ca11 be ho1)ed for, t_l1ere�ore, 1s for tl1e Pe11�l Code an� tl1e acln1inistrat o rs of j11stice t o JJlace tl1is co11�t_1tL1e1:1t o f tl1e tl1eoret1c,tl fot111dat1011 o f tl1e cri111i11al ]a\xr i11 a relatively 111inor pos1t1011 111 tl ,e \xrl1ole strLtctttre. i::,

b

t:,

. . (_b) Tl1e 111o�i�e o� deterre11ce plays a11 i1111)orta11t r o le in I eo·isl atio11 and Judicial aiid aclm1111strat1ve I)ractices. It is difficl1l t to 111ea' st1re tl1e�effectivenes· s · of tl1e fear of JJt111 1s in · l11�1e11t . 011 J)rOSJ)ect1ve certa to \x1ro 11g:d as exce ers, fJt o . titor}' v1 xrid \) . fslJ�ea . d stat olat1011s, s11cl1 as j)ett)' 111 o tor \1el 1icl e o ffe11ses black­ Inar <eti,,g,. etc. Clea_ rl y, 110\xrever, a fu11da111e11tal \Y..1eal<11ess · o f tl1e d�terren t · · tl1e feat· aIJJ) 1_oac 1, 1 s t11at 1 t a JJ IJea1s tO b 11t one co11st1tue11t of )Jers o 11altt),: instiiict· 1'1 ,e f 1··tg11 tei,i. i,g n ' eff ect bee of a tl1r eat of 1as l l1ea vy s1rf JJai fer i11g 11f1 1l . rated · · o· :--, rosslY exagoe T l1e . 1s fa ct of t tl1 e 111a tt · ·er 1111e11 1s · l tl · 1at fJLi11is f tl1e fear o . . 'e 1111111b bt1t 011e sniall item · 11 .a .1 a1g n fro t �r of for ce s � 1ne 11 tl1a st t res n1 o tra i11 violati11a tl1e I a = , _ t s a11 l e l11cal l , i fa1 trai 11i11 g, one 's fea r � dis of gra ; � ci11 n y. g ; �;� � �� \ lacl< of 1eecl fo s e b 11 01 dei to Slt)JJ)l )' eco110111ic 11eeds, a11d 111a11y others �r11e l1istory of J)l111isl1111e11t s11 0 \v·',s tl1at tl1ere is r10 necessar)' correlation ( I 4) J\ rcccn t a' nd persuas . ive rrca . t1 11 c n t 0 f . , arian · · .. a ' t Of· rh1s then1e, that "n1oral culpability" should be an essenti. al ele111enc of all c r11n1na1 ity sho,vs l . s· il 1 I l r . st1 ·11 1 1as enor111ous ,,iralin• an1on • lega P � . � lat It General />ri·ncz·pIes ' _1 ?P I1crs. See 1 Iall, u .a . . O; Crzrnrnal Law a "u1i: 101 . co it possiblc' to 1 7 (1 )' sor 9 1llu 47 · : . construct valid cr1 ) "It 1s ::, . tl1eref ore ·n11·na I law thcor). wI11 ·1 e d1'sregard1ng n1oralit)'."

FUNC"TION or= PENAL. l_t\ \X/

25

bet\veen tl1e severity of pt111isl1 me11t a11d tl1e i11ciclence of cri111e. l�l,is is t111der­ �ta11da�le \Vl1e11 tl1e fact of tl1e co11 1J)lexit)' of cat1satio11 is bor11e i11 111i11 d. 011 e 1 s re�111decl tl1at \Xrl1e11 tr\e J)Ltblic l1a11gi11gs of )Jicl<-1Jocl<ets \Vere l1eaviest at _ l,tst?rtc �ybt1_r11 1 _ otl1ers of tl1e ligl1t..fingered frater11it)' \vere cloi11 g a tl1rivi11 g �us1ness 111 l)tcl<111g tl1e IJOCl<ets of tl1 e cro\vd gaJJi11 0· tt)) at the gibbets. Gael< in 1769, Blacl<stone, \var11ing agai11st excessi\re i1111Jle;1e11tatio11 of crin1es \Viti, tlie _deatl1 )Jenalty, said: ''for is it fot111 d llJ)o11 ft1rtl1 er ex1)erie11ce tl·1at ca1)ital pu111sl1111e11ts are more effectttal? \X/as the vast territor)' of all tl1 e Rt1ssias worse regulated t111der tl1 e late et111Jress Elizabetl1, tl1a11 t111der lier 111ore sa11 gt1i11ary predecessors? Is it 110\v, t111der Catl1eri11e II, less civilized, less social, less sect1re? A11d yet we are assurecl, tl1at 11 eitl1er of tl1ese illt1strio11s 1Jri11 cesses have, thro�1gl1ot1t tl1eir \v!1ole acl111i11istratio11 , i11-flicted tl1e 1Je11alty of death: a11 d tl�e latter t1as, _ tIJJOn ft1ll perst1asio11 of its bei11g useless, 11ay, even jJer11iciot1s, given orders tor abolisl1i11 g· it e11tirely tl1rot1gl1ot1t lier exte11sive clo111i11io11s." C 16> . Neve_rtl 1eless, tl1e deterre11 t elen1e11t rnt1st l1a\1e a IJlace i11 tl1e system of aims bel1111cl tl1e crimi11al la\v, becat1se in certai11 ty1Jes of \vicles1Jread violatio11 of la\xr it is see111i11gly effective. 011 tl1e \Vl1ole, l1 owe\1er, tl1 e la\v ot1gl1 t to leave to other social i11 stitL1tio11 s - tl1e l1 0111e, tl1e cl1t1rcl1, tl1e scl100I, tl1e clt1b, tl1 e trade 1111io11, arid tl1e lil<e - 111ost of tl1 e \x,orl< of l1 el1Ji11g )'Ot1tl1s a11d adt1lts to adjt1st to society's clen1a11 cls \vitl1ot1t breal<i11g its la\vs. Tl1e cri1ni11al la\'(/ a11 cl its age11cies are, on tl1e otl1 er l1a11 cl, strategically JJlaced for tl1e tasl< of refor111 and rel1 abilitatio11 of cleli11qt1e11ts a11 cl crimi11als - 1Jerso11s \'\1110, l1 avi11g alread>· defi11ed tl1 emselves as offe11 clers against societ_)1 's la\vs, are \Vitl1i11 tl1 e co11 trol of an agency of jt1stice \vl1ose d11ty it is so to deal \Xiitl·1 tl1en1 as tnost effectivel;', eco11 omicall)', a11d l111111 a11 ely to cot111teract t11eir te11de11cies to t]1at forn1 of maladjt1stment wl1ich is called crime. (c) Dis,1.blement. TI1 e best tl1at ca11 be saicl f<)r tl1is tl1eory is tl1at it ren1oves from circ11lation i11 societ)' JJerso11s deen1ed da11g·erot1s. Bttt i11as11111cl1 as, witl1 tl1e dimint1tio11 of ca1Jital 1J1111isl1111 e11t, tl1e vast 111ajorit)' of 1Jriso11ers 111t1st be rett1rned to society, disable111 e11 t tl1ro11gl1 i11 11Jriso11 me11t, \vithottt acco1111Ja11ying educative a11 d rehabilitative JJractices, ca11 011 1)' 111al<e offenders \Vorse upo11 tl1 eir cliscl1arge tl1a11 tl1ey were \vl1 en com111 itted to )Jriso11 . (d) Prevention of recidi� isn1 tl1ro11g!1 i11 flictio11 o_f. JJai11f11l . 1Ju11 isl1111e11 t l1 as also failed as wit11ess tl1e l11gh JJrOJJortco11s of reJJet1t1011 of crimes 011 the part of tl1ose 'already pt111isl1ed 011e or 111 ore ti111es. follo\,,-111J st11clies amJJl)' de1nonstrate that, as witl1 pros1Jective first offe11 ders so also \vith ex-1Jriso11 ers, the rnotives for abstention fro1n cri1ninalis111 are 1111merot1s a11cl complex. Tl1ey are assuredly not co11fined to the f· ear of ne\xr JJL111isl1me11 t. (e) The theory of correction (or refor111atio11) as tl1e cl1ief ain1 i1 1 tl1e l1i­ erarcl1y of goals of tl1e cri111i11 al _ la\X, rl1as also, t111fortt111atel�,, 11?t as }'�t sl10\v11 very satisfactor)' rest1lts in 1Jract1ce. fl,ose �11 0 l101 cl to tl11_s_ v1e\� bel�eve tl1at tl1is is becat1se tl1 ere I1 as bee11 too 111t1cl1 relia11ce 011 jJt1n1t1ve 111 11Jr1so11111e11 t. Pu11ishment, i11 tl1 e se11 se of the i11flictio11 of J)ainft1l st1ffering does 11ot Sttffi­ ciently and permane11tly affect tl1e cleeJJer,. spri11gs of l1t1ma11 JJersor1alit)r a11cl cl1aracter to bring abot1t permane11t ''refor111," i11 itself. Its t111favorable reactio11s may even exceed its favorable 011es. 011 tl1e 011e l1a11 d, 111a11y offe11clers e1nerge (16)

-1· Bl. Comm. 10.

INTRODUCTION

26

_ s a o m _ _ n , er d 1d sy a1 p t1 ­ o r_ h e 1 tl 1 o e tl 11 0 e. � 1g e1 v J re 1d a1 from priso,1 f Ltll of 1atred t -g 1v 1ng; s� tt1at1ons 1 e1 �rn 1 sl 1n t }J 1t l e ot se { ls 1a clt vi di i11 11e 1 so s n, w 'S ,, io sl m a al) i lias S r d 1 e g fJ e 1 1 1 n _ g l y 1t fr a o 11 so er p ed at se � 11�ciot1s, de e1 J� co 11 u 1 a1 y sf ti sa iii order to 1� e11olog1sts_ are 1 11 d 11 ta ts tt O . 1o d l 1 o �l l1 c y l ar e a serise of gtiilt establisl1ed 1!1 1e correcti onal a1.111 o f tl 1e c1�_1.rn111al law 1s to tl 1f t 1a t l e z i 11 g co re ia to beaiiitiii cl11atry , psycl1ology, sy 1J f o s e rc u s o re l 1e t ll a l ay stt �c eed it 111ust brii1g i11to jJ socia 1 \XIor !( a11d educatio11. in ct ion bet\veen st di e th n i_ ic bl e pu l 1 t of 11 io at uc e� of _ (f) Occasioiially, _tl1� aim 1t 1 1011e d as 011e goal of e rn 1 e1 be l s 1a r 1o a l v 1 be l 1a 11 11 11 r c criinirial a11ct 11011es ratl1_e� th�11 follo ws the ed ec JJr s e 1 i11 et 111 s0 \V la v, e\ vi 1is l t cr in1ii1al jt1sti ce. l11 oral1z 111g 111fl t1e11ce up_on _ 111 a �e gr de 1 1 a 11e 1 _ 110 i11 s i e s rc e xe It jJt1blic 111orals.... e11a!1ze_ a l in e of co11duct to wl11ch p r l ato is leg 1e l t t Le . ge ar l at tlie co111111u11ity ent , or even somewhat er 1ff 11d 1 lly 1o l r \x , se er av y l 1tl g sli 1t t b is l ct1rre11t n1 ora ity s va t majority of e th at tl1 be ll wi t t1l res ate i cl ne 1 in1 tl1e d a11 ed lin favorably i11c e y sir t11e de se t cau o be y rtl IJa ct, a ted ibi ol1 JJr e 1 l t 111 fr i o 11 ra ref i l l tl1e citize11s \Xl ty o bedie11ce ni mu com red e rd o lle \v a i11 e atts bec y l ' t jJar t bt1 11, o cti 1 sa1 avoid tl1e a ed i11d­ b as 11iz og rec is y t ri o l1 at1t ed tt1t i o c 11st ' t 1ll) \vf a l a of 1cls 1 a 11m o1 to tl1e c l1t1s beco n1es l1abitual, a,xr t l tl1e f o e tat dic tl1e to · i11g rm o 1f o1 c ct t1 1d o1 C y. i11g dL1t opposite tl1e to 1 o1 rsi e av al 11or 1 a o1 1i 1 1, Ji 0 011 ti11g reac t1 ct 11cl c o l 1a t 1 l1 abit , a11d co11dt1c t n1a)' gr,1dt1ally gro \v LljJ; i11 otl1er \xrorcls, \xrl1at was originally 011ly a t . o legal clt1ty, gradt1all)' acqt1ires tl1e obligatory f orce of ct1stom to ... Tha wl1icl1 is i11 tl1e first i11sta11ce a source of evil ra1Jidly co 111es to be loo ked UfJOn as a11 evil , a11cl fi11ally as ev il ... a mcil1,1m quia probibit1,1n1 is co 11verted i11to a 111-al 1.n1. per se, i11to a 111oral wr o11g. Tl1e legislato r, tl1en, l1as it i11 l1is po\ver, by l)ra11cl i 11g certai11 acts as cri111es to n1odify, in the cot1rse of a fe\xr ge11eratio11s, tl1e 111oral se11ti111e11ts of tl1e co111111t111ity, a11d it may safely be asserted t l1at i11 tl1e l)ast tl1e J)e11al code l1as bee11 011e of tl1e 111ost valt1able i11stru111ents i11 the moral edt1cation of tl1e l111ma11 race.'' < 17 ) 1

•

•

•

•

1s diffict1lt fo� legis_lators, al\xra) especially so for jt 1dges \vhen a11d It_ is . 1 1111Jos111g_ se11te11ce, t? detern11ne_ \V l11cl1 of tl1ese 111aj or objectives of t l1e criminal la\XI sl1 ould IJ�ed�n1111ate. N ot 111fre qt1e11tly tl1ey te11d to o-ive IJrorni11e11ce to botl1_ tl1e retr1bt1t1ye a11d deterre11t tl1eories, esJJecially si�1ce tl1ey are i11 tl1e pt1bl1c e_ye a11? _s t1b1ect to_ 11 e\vs1Ja1Jer co111111e11t, a11cl are tl1t1s {Jarticularly se11sitive to IJ ttb�� c 01 )�111011. _No ge11eral for111t1la r es1Jecti11g· tl1e relat ive JJroportions of tl,e va, 10L1s 1ngred1ents of t l1e ge11eral JJL111itive-correcti\re ai111 ca11 be \x,orked 0 LI t .

It is tlie 01Ji11io11 of 1:1 a11y of tl1o se \Vl10 l1ave studiecl botl1 t l1e cat1ses of · ci.1111e a,,_cl tl,e r_est1lts of _its treat111e11t b)' 111ea11s of tl1e deat l, jJei,a lt)' a11d the t1s t1_al f01 1115 of 111ca!·c�rat10 11, tl1at fo r tl1 e ,,ast 111ajority of tl1e o·er1eral ru11 of 0 · de 1 111qL1e11ts a11d cr1111111als� ·tl,e· corre�t . !. v e t JeorJ', I basecl e 1Jtio11 of t lJJOt l co11c a . .· 11 ai1d CLtt ativ . e-rel1ab1l1tat1ve treat111e 1 lll ttlti �le cat!S ,at1? on1red 1t sl1 ould cl ear},, .1 . p ' 11ate 1 r1 1e o-1s 1 atI ort a11d i 11 Jttc · Iicia · · I a11cI a.dn11· 111s · ·trat1\re °·le · ' JJra c tices N o otl1er si11·0 �tl 1eot.y 1. s as c 1 ose1y' relatecl to ti le ac tLt a 1 co ,1 cl tt10 · 11s ar1d n1 ecl1a 11is111s of cr 1n1e . , ca Ltsati o11 · 11o otl�e(.. gives as t11t1cl1 JJro_111ise of rett1r11 i110· tl1e offe11der to societ:y i1ot � i tl1 'tl1e c� tltll 0[ pttiitsli:17 e11t-it 1d t1cecl fear bttt \vitl1 tl1e affir�n­ ative ai,cl coi,���t�t\:� �� LII IJITiei, - !Jliy5ical, 111e 11ta l a11d n1oral - for l a\X1-ab1d ­ _ i110-c11ess. Tlitis it, tlie 1 o11g I t11 1, 110 otl1er tl1e ory a 11d IJra ctic e giv e greater pron1ise of 1J rotecting society. 1::,

I

(17)

Oppenhein1cr, 711e l( ationale or 'J pr1 t 11s . hment 293-294

(1913).

FUNCTION OF PENAL LAW

27

· NOTES Note 1:

Codified Statements of Purpose . .

Preface, Pe11al Cocle of Etl1io1Jia The codificatio11 of the JJri11ci1Jal bra11cl1es of law of a11y cot1ntry is always a diffic11lt _tasl<, si11�e it n1t1st be 1JrofoL111dly groL111ded in tl1e life a11d traditi�ns of tl1e �at1011, and 1t mL1st, at tl1e san1e time, be i11 l<ee1Ji11g witl1 a11cl responsive to �he 1nflL�ences, not only jL1riclical, bL1t also social, eco110111ic a11d scie11tific wh1cl1 are 111 tl1e (Jrocess of tra11sfor111i110· tl1e 11atio11 a11cl our lives and \xrl1icl1 will inevitably sl1ape tl1e lives of tl1ose ;1,0 co111e after us. . Tl1ese co11sideratio11s appl)' \vitl1 (Jartict1lar valiclity to JJe11al legislatio11 at a time \vl1en, tl1roL1gl·1out tl1e \vorld, tl1e expandi11g fro11tiers of society brot1gl1t abo11t tl1rough tl1e co11tribt1tio11s of scie11ce, tl1e co1nplexities of 1noder11 life and cor1seqt1ent i11crease i11 tl1e volt1n1e of la\vs require tl1at effective, yet l1igl1ly l1umane ancl liberal (Jroced11res be adO(Jted to e11sure tl1at leg·islative (Jrescri fJ­ tions rnay l1ave the efficacy i11te11ded for tl1e111 as regt1lators of co11clL1ct. Ne\v concepts, 11ot 011\y j11ridical, bt1t also tl1ose co11tribL1tecl by tl1e scie11ces of sociology, fJsycl1ology a11d, i11deed JJe11ology, l1a\1e beer1 clevelo1Jed a11d rnust be tal<e11 i11to consideratio11 in tl1e elaboratio11 of a11)' crin1i11al cocle \Vl1icl1 \vould be i11spirecl by tl1e JJrinciples of jL1stice a11d libert)' a11d by co11cern for tl1e preve11tion a11d st1p1Jressio11 of crime, for tl1e \velfare a11d, incleed, tl1e rel1abilita­ tion of tl1e i11dividt1al acct1sed of cri111e. Pt111isl1111ent ca1111ot be avoiclecl si11ce it acts as a deterrent to critnes; as, i11deecl, it l1as bee11 saicl, 1 '011e \vl10 \Vitnesses the pu11ish111e11t of a wro11g-doer \vill beco1ne JJrLtde11t." It \Y1ill serve as a lesson to JJrospective "vro11g-doers. •

•

•

•

Article I, Pe11al Cocle of Etl1ioJJia Art. I. - Object and Purpose.

Tl1e fJt11·pose of crimi11al la\xr is to e11s11re order, JJeace and tl1e security of the State a11d its i11l1abita11ts for tl1e JJttblic good. It aitns at tl1e preve11tio11 of offe11ces by g·ivi11g due 11otice of the offences and penalties prescribed by la\v and sl1ot1ld tl1is be i11effective by provid­ ing for the pt111ishment a11d reform of offe11ders and 1neasures to fJrevent the commission of furtl1er offe11ces. Criminal Code of tl1e J-It1ngaria11 Peoples RefJttblic (1950)4 .

Sect. 1. - The Objects of t!?is Act.

The purpose of this Ac, t is to JJrotect tl1e political, social a11d eco11omic O'rder of the Ht1ngaria11 People's Rept1blic, the perso11 a11d rights of its citizens, to foster tl1e observance of rttles regt1lati11g socialist coexistence in the socialist State and civic discipli11e. To tl1is end it defines \vl1icl1 socially dangerotts acts are cri1nes and wl1at JJttnisl1me11ts may be i11flicted 011 those committi11g tl1em. -4.

..

Translation, P. Lainberg (Corvina Press) .

INTRO DUCTlON

28

tly en st si e on c _ ad ev s ho t w bu k or k w or w of e bl J)a ca i ot rs )e A _ Sect. 214-. s. o ar tw ye g in ed ) ce t ex no ' t) er lib of ss lo 1 ·t1 . 1 I l \'<' . 1 1ec (1 11s sl1a11 be p111 5 2) 96 (1 e od · te, Mode 1 Pe11al C America,, La\Xr I11st1tu 1. or ti uc tr is o1 C of s le ip nc ri P s; se po ur P

Sect. 1 _02_

e g th in iti rn fin ve de go s on on isi ov pr e of th of es os rp pu l ra 1,e ge ie Tl ( 1) offenses are: (a) to forbid at1d preve11t co11duct that u_11ju_st!fiably and i_ne?'cusably inflicts or tl1reate11s substantial l1arm to 1nd1v1dual or pt1bl1c interests; (b) to sLibject to pt1blic co11trol_ JJer?ons wl1ose conduct indicates that tl1ey are disr)osed to commit crimes; (c) to safeguard condttct tl1at is witl1out fault from condemnation as criminal; ( ct) to give fair war11 i11g of tl1e 11ature of tl1e conduct declared to co11stitt1te a11 offe11se; (e) to differe11tiate on reaso11able grounds betwee11 serious and minor offe11ses. (2) Tl1e ge11eral pttrJJoses of t11e (Jrovisions gover11ing tl1e sentenci11g and treat111ent of offe11ders are: (a) to JJrevent the com 111ission of offe11ses; (b) to promote t11e correction a11d re11abilitation of ofte11ders; (c) to safeguard offenders agai11st excessive, disproportionate or arbitrary I)tt 11is11111ent; (d) to give fair \Var11i11g of tl1e 11att1re of tl1e sentences tl1at may be im (JOsed 011 co11viction of a11 offe11se; (e) to differe11tiate a111011g offe11ders \vitl1 a view to a just individualiza­ tion i11 tl1eir treatme11t; (f) to clefi11e, coordi11ate and l1ar111011ize tl1e po\vers, dttties and functio11s of tl1e c_oL1rts �11cl <?f ad111i11istrative officers and age11cies res1)onsible for deal111g ,xr1tl1 olfe11ders;

•

(g) to adva11ce. tl1e t1se of �eneral1)' acce 1)ted sciet1tific metl1ods and 1<110\vleclge 111 t11e se11te11c111g a11d treat1ne11t of offe11ders; (17) to i11teg_rate res1)011sibility for .the adn1i11istratio correctional n tl1 of e systen1 111 a State Depart111e11t of Correction [or otl1e sinal de a t e r prb me11t or agency]. •

•

•

Note 2: The Efficacy of Deterr ence Selli11, Tl1e l)eatl1 Pe11alty and its Deterre11t Effect6 ).

6·

Propo5ed Official Draft . Sellin ' The Death . pena/I)', A I�eport for the ,�f.ode/ Penal Code 1 Sff. ( 1959).

FUt\Cl'ION Of PEN,.\L LA \Y/ •

•

•

29

•

\Yl1e11 we tl1ink of deterrence,- restrai11t or J)reve11tio11 --- tl1ese tern1s are ttsed 111tercl1a11g·eabl)' - we t1st1ally tl1i11k of tl1e effect wl1icl1 a pt1nishment l1as ( 1) on tl1e ft1tt1re condt1ct of tl1e perso11 pt111isl1ed a11d (2) on tl1e futt1re co11d�ct. O! otl1ers. Some \Vriters distinguisl1 tl1ese two effects by calli11g tl1e one 1nd1v1dt1al and tl1e otl1er ger1eral J)reventio11.111 tl1e case of tl1e executed deatl1 pe11alty individt1al preventio11 is, of cot1rse, co1npletel)' effective. Tl1is is tl1e 011e executed_ J)t111isl1me11t i11 co11nectio11 \vitl1 \X1l1icl1 ge11eral J)reve11tio11 alo11e can be studted. •

•

•

•

If tl1e deatl1 pe11alty carries a l)Ote11tial tl1reat \X1l1icl1 l1as a rest rai11i11g . 111flt1e11ce on ht1ma11 co11duct, \Xie ma)' assume tl1at tl1e greater tl1e tl1reat tl1e 1nore effective it ,vould be .... It seems reasor1able to asst1me · tl1at if the deatl1 JJe11alty exercises a det�r:ent or JJreventive effect 011 proSJ)ective murderers, the follo\X'ing pro­ pos1t1ons \vould be trtte: (a) 1\t\urders shot1ld be less freque11t i11 states tl1at have tl1e deatl1 pe11altj1 tl1an in tl1ose tl1at l1ave abolished it, otl,er factors bei11g eqttal. Com (Jariso11s of this natt1re n1ust be made amo11g states tl1at are as alil<e as )JOssible i11 all otl1er respects - cl1aracter or po1Julatio11 1 social a11d eco11omic conditio11, etc.- in order not to i11trodt1ce factors ·k11ow11 to inflt1e11ce n1t1rcler rates i11 �1 serious n1a1111er but prese11t i11 011ly 011e of tl1ese states. (b) Mt1rders shottld increase wl1e11 tl,e cleat}, pe11alt)' is abolisl1ed arld sl1ould decline wl1e11 it is restored. (c) Tl1e deterre11t effect sl1ould be greatest and sl1ot1ld t!1erefore affect murder rates n1ost powerfully in tl1ose com1nt111ities wl1ere tl1e crin1e occurred and its conseque11ces are most strongly brougl1t l10111e to tl,e 11opt1latio11. •

•

•

•

The data exa1nined reveal tl1at: ( l) 1-1,e level of the homicide deatl1 rates varies i11 different groups of states. It is lowest in the New E11gla11d areas and i11 the nortl1er11 states of the middle west and lies some,vhat l1igl1er in fv\icl1igan, lndia11a a11d Ohio. (2) Within eacl1 �roLtfJ _ ?f .states .l1aving _ si�ila1: social and . _economic conditions and populations, 1t ts 1mJJoss1ble to d1st111gu1sl1 tl1e abol1t1on states from the otl1ers. (3) �fhe trends of tl1e l10111i� id_e deatl, rates of comparable states \X1itl1 or \X'itl1ot1t tl1e cleatl1 per1alty are s11n1Iar. -r1,e i 11evitable co11clt1sio11 is that exect1tio11s l1a\ e 110 discer11ible effect 011 1,omicide death rates wl1icl1, as ,x,·e l1ave see11, are regardecl as adeqt1ate rates. indicators of capital mttrder ' 1

•

•

Note 3:

•

•

The Importance of Research

I-larno, The ImJ)act of Scientifie Researcl17 �[l1e criminal law is tl1e dominant factor i11 crirne rer)ressio11. Tl1e 7.

J-larno, Some Significant Developments in Criminal Law and Procedure in tl1e Last Centur)r, 42 J. Crim. L. Cri1n. an.d Pol. Sci. 140 (1951 ).

.-zz; I

ft F

INTRODUCTION

30

is an �ssumptio n i? h T . w Ia f !1 o o �i es u a q is l o tr n co . assuin ptio i, is tJ1at cri1ne a 0 1s t1 es r qu to av 1i e� f b o al 1n 1� . f cr o ct fa y h w e l1 T d. te t1a al v -e re tliat should be t w u I� B es do s. 11 10 , ct ot n n sa sh li b ta es or to is l w a al n ni i1 cr e th Tlie n,issioi, of 1n f ed act, and the d 11 u o gr e ld b u o It sh . 110 ac . v te era i1i at least sl iottld not, op I 10 et g� e o th of 1 cl u _ im to y cr l1e T . pl �x e; m co y gl . · i� ed ce ex re a facts of critne e d tl1 v1 d1 1n of 1J l; -u ua l<e a llis al m 11t e _ n1 1d a1 l a 1c og ol si 1y pl e th t11ey ir1volve e ar to ktlO\V about e w . If ed at el rr te ll a 111 e ar s or ct fa se I1e T enviro111nent etc. e ak t e m a th tl1 i s im ce cr en flu in l. of na y lit ta to l 1e t t ou ab V O\ l<n st i � m crime \Ve e riv �t to ts tis ga en or ci . �'S s es ze el ni tts re a s or ct fa d ze 11i ga or un . e, dg J-lodgepo ch no hi w i pt to ce s, ex on 1t1 s os on op pr l ra ne ge ed at l e rr te i11 in e da xrle 0\ k11 tJ1eir ve ha al be as du vi he di in e e th . ad did 53 m 1at wl rn lea y a n1 we s 1t1 l , T . 71 1d u1 fo be can s e th lve vo cat in is pli ap Th it. ion 1t o1 ab . do to at \vh t ot1 d fin to is 1 io1 est qt1 xt 11e 1e l T g tl1e as <i1l tal i11s diagnosis. pa be as _ st mu s ces JJro s tl1i d a11 s 1re ast me of [Jropl 11,Iactic on is indicated ati isl leg if. t Bu 11. tiq isla leg for eq ne a r nte cou en J-Iere \Ve ma1, isl ation? Wl1at leg the of ure 11at l ,e t be to is at \Vl1 , ion est qu tl1e tl1ere first is a question of pol icy. l egislative 111east1res JJron1ise to be be11eficial ? This is That factor l1avi11g bee11 establisl1ed, tl1e state (organized society) should then a11d tl 1e1 1 011l y exJJress itself autl1oritatively tl1rot1g l 1 law . It shottld be the aim of tl 1e l aw, t l1us co11ceived in an understa11ding of the facts, to enact measures for crime repression. Tl1e la\v is an applied science. Its 1nissio11 is to coordin­ ate a 11d sa11ction tl1e forc;es for. social co11trol. A11 essential factor i11 this co11ceptio11 is that n1easures designed for tl 1e control of l1un1a11 bel1avior througl 1 la\v mt1st be fou11ded in researcl1. 1

Questions

1.

-·

3.

1\�sL11ni11g t l ,at tl1e jt1 dges i11 tl 1e Dudley and Stephens case \Vere in agreement w1_tl1 Sa l111011d that cleterrence is the JJrimary ai1n of tl1e criminal la\xr, ho\v 1n1gl1t tl1at l1ave affectecl tl1eir clecision? To _\,,l1at extent do yott t l1i11l< pote11tial crimi1 1a l s are deterred by tl1e pu11!sl 1me11t of. tl 1ose \Vl 10 l1ave erred before tl1em? Does tl 1e selection from �;11111 co11c�rn111g �l 1e de atl1 pe11al�y in tl1e U11it�d States (Note 2) shed lt:::.l1t 0 11 t l,is qt1est1011? ls t l1e exper i ence of tl1e U111ted States \Vitl1 respect to tl 1e deterre11t effect of the deat l 1 se11tence releva11L for Ethiopia? W? ttlcl Sal n7 oi7 d agree \vitl1 I-fall a 11d Olt1ecl<'s criticis111 of tl1e deterr ent �ati �i,al_e 011 tlie basis tl 1at it a1)1Jea l s 011l y to fear a11d is therefore relatively 111e f ective (jJ. 24)? Or tl1eir criticis111 t l ,at t l 1e ''ca t1ses of crim inalit)' are . . 11t11nerous a1 1d coin.,J l ex and ti,at \VI.ongd01ng· 1s 11ot t)rpic ally 'c aused' b)' ' a co 1n [Jletely 'free , tlie caI cu1ated exerci se of \viii' , (IJ, 24)? _ po. yo�t feel tl,at tl1e l 101ne, cl1t1rcl1, scl 1ool etc ) . 25 a re tl1e proper (p . , 111st1tt1t1ons for tlie cleterrei,ce of crime? . . W l iat rol e sl1oul d 111oralitY ati d 1-�e1·igiou 1 1a l s · emp teacl ) 11ng s 1e l lay i11 s t J give11 to 011e or aiiotl ier IJur1Jose of tlie t ri crim l i11 W law a l ? l d \vou C 's 1 l 1at s , � s 11 0;1 res1Jo 11se be to s a 1 e ey to tl,e an lex ta/ for 012£ e),e ;: '' a n a11d a tooth for a t�o��- (;_ �;� " . :Eval Ltate J-Ial I and OIti eel<' s re asoi,s for deempl1asizi11g tl1e retributive fac tor 1n pt111isl 11ne11 t (pp. 23 _ 24). 1

4. 5.

6.

(53) S lltI1crland, Pri11ci 1les or 'J Crznu . .noIog)' 3 (4cli -....d., 1 1947) . •

1

·'

t

31

FUNCTION Of PENAL LAW

7.

Ho\v \VOt1ld tl1e corrective or reformative tl1eory deal with recidivism? How does Harno's short excerpt (Note 3) affect tl1e corrective tl1eory?

8.

�l1i�l1 of tl1e fot1r tl1eories 11as bee11 1nost importa11t in tl1e traditio11al cr11n111al la\v of Etl1io1Jia? After 11avi11g read tl1e Preface a11d first article of the Penal Code (Note 1 ), \Vl1icl1 tl1eory see1ns predo111i11a11t i11 tl1e Code? Do tl1e selections from tl1e Cri111i11al Code of Iit111gary a11d tl1e An1erica11 !V\odel Pe11al Code (Note 1) differ basically frotn tl1ose pur1Joses expressed 1n tl1e Pe11al Code of Ethiopia?

9.

Whi�l1 pt1rpose(s) do yott tl1i11l< shottlcl be give11 greatest \veight? Is it possible to harmo11ize I-Iall and Oluecl<'s ''corrective'' theory with tl1e ''deterre11t'' theory of Salmo11d? See contra Sal1no11d (P{J. 20-21). Recomme11ded Readings

Micl1ael a11d \Vecl·1sler, C1·i1r1.i11.al Law 4-20 (excelle11t essay co11cerning inter alia the ft111ction of jJt111isl11ne11t e11titled: Tl1e Basic Proble1ns of Cri1ni11al Law: E11ds and Mear1s). Hart, Tl1e Aims of tl1e Criminal La\v, 23 Law a11d Contempora1y Problems 401-441 (1958). Friedma1111, Law iri a Cl1angi11g Society 177-187 ( 1959) (clisct1ssio11 of tl1e ft111ctio11s of pe11al sa11ctions a11d tl1eir e\1olt1tio11 i11 mocler11 times). Cohen a11d Co l1e11, Readings in Jurisprudence a,zd Legal PiJilosophJ' 320-346 (1951) (readi11gs selected from well l<tlO\'\/tl cri1ni11ologists a11d fJl1iloso1Jl1ers co11cer11i 11g tl1e JJLtrp oses of J)Lt11is11 me11t). Wood, Respo11sibility and Pt111isl11ne11t, 28 ]. Crim. L. 630-640 (1938); also fot111d in I-Iar110, C,-imin,:1,l Law 12-16 (etl1ical a11alysis of {)Ltnisl11ne11t's s011rces i11 social respo11sibility). V011 Bar, History of Contine11tal Cri1r1inal Law, jJt. 2 (1916) (l1istorical stttdy of tl1e ft111ction a11d tl1eory of crimi11al la\v fro1n Oreel< and Ro1nar1 times to tl1e begi1111ing of tl1is ce11tury)._ Stone The Province and Function of Law (1961) (ge11eral worl< of juris1Jr11de11ce, 1i�b. cl1ap. 27, Law and Social Co11trol). Vot1in et Leaute, Droit Penal 93-102 (brief a11al)1sis of tl1e ft111ctio11 of J)ttnisl1ment witl1in tl1e fre11ch crimi11al system). Vidal Cours de Droit Criminel et de Scie12ce Pe11ite12ciaire 9-11 (9t11 ed., 1947) (dis­ �ussion of valttes u11derlyi11g fJUnisl1n1e11t fron1 fre11cl1 jJoint of view).

•

•

CHAPTER 3

The Distinction Between Civil and Penal Law TI-IE PUBLIC PROSECUTOR v. \VOZ. ATSEDE HABTE SELASSIE H,:gh Co1,1rt, Crinzir1al Appeal No. 618/51 (1959 G. C.) Etl1iopia

Se11e l O, 1952 E. C. (June 17, 1959 0. C.); _Jt1dges: Dr. \Yj. B� h�gi�r, f\gafari Bal<ele i\rga\'v', Ato lv\al<o1111 e11 Oetal1 t111 :- Tl11s matter l1 ad its or1g11� 111 tl1e fot1 rtl1 Woreda Cottrt \'v'l1ere 011 a complai11 t by Woz.Abecl1e Woldek1ros, tl1 e Pttblic Prosec11tor cl,aro·ed Woz.Atsede I-Iabte Selassie, tl1e · present respond­ e11t1 ,vitl1 t resrJass t111 der Article 442 of tl1e old Etl1 iOJJia11 Pe11 al Code; witl1 tl1e p rese11t res1Jo1 1de11 t tl1ere \X,as also accused 011 e, Ato Haile1nariam Wodesik. Tl1e facts as disc11ssed i11 tl1 e Woreda Cottrt on \X1l1icl1 tl1 e charge was based are as follo\vs: Woz. Atsede I-Iabte Selassie bo11 g·J1 t frorn Ato Hailen1ariam \XIodesil< a JJlot of land adjace11t to a plot of la11 d belo11ging to tl1e private co1n1Jlaina11 t, Woz.Abecl1e \Voldel<iros.Woz.Atsede liabte Selassie wa11ted to l1ave tl,e bo1111 daries of lier land fixed a11d one S11nday sl1e \ve11t \vitl1 tl1e fJe rso1 1 \X'ho l1 acl sold lier tl1e land, tl,at is Ato J-Iailen1ariam Wodesik, a11 d \Vitl1 the local Oover11or, to lay dow11 tl1 e de111 arcatio11 li11es.\Voz. Abeche Woldekiros co1n1Jlai1 1ed that tl1e bot111claries were 111 arl<ed i11 side lier la11 d, tl1at is at a \vidt! 1 of 18 meters a1 1d a le1 1gtl1 of 24 111 eters i11 side l1er la11d. 01 1 the plea of t!1e acc11sed tl1at tl1is was a civil a11d 1 1ot a cri1 11i1 1al 111 atter, tl1 e Woreda Court rt1led tl1 at tl1e 111atter sl1ot1lcl (J roceed as a crirni11 al 111 atter.from tl1is o rde r . tl,ere was a11 afJfJeal to tl,e Awradja Co11 rt by Woz. Atsede Iiabte Selas�1e a11cl Ato J lail� - 11 1aria111 Wodesil<; tl1e latter did 11ot ap1Jear at all l1eari11gs, b11 t finally tl,e A\Vr�cl�a Co11 rt l1 eld tl1 at tl1 e q11 estio11 bet\vee11 tl1e parties was a 111 atter for t�,e c1v1l co11 rt. from tl1 is order of tl1e A\�'radja Cottrt, Woz. Abecl,e Woldel<1 ros aJJpealecl to tl1e J-Iigl, Co11 rt; as tl1 e case }1ad bee11 through­ ot1 t conclt1 cted ?Y tl�e P�t�lic Prosecutor, tl1e I Iigl - 1 Cotirt ordered tl,e Public Prosec11 to_r to give 111s OJJ1111 011 011 tl1 e �PfJeal lodged b)' tl1 e JJrivate co1nplaina1 1t. T!,e Pt1bl1 c P_1 osec11 tor cl1c_ l so SllfJ(Jort1ng tl1 e appeal.... • •

•

•

Wit!� regard t? tl1e 111 eri ts of tl1e case, tl1 e facts as alleg·ed by tl,e fJrosec1.1 tion _ _ do 1: 0t , 1 11 ot.ir op1n1 011, disclose a11 offe11 ce agai11 st tl 1 e Pe11 aI Code. To l1a ve _ a cri_mtiial ca�e of tresrJass, tl,ere 1nt1st be tl1e i11te1 1 tio11 of deprivi11 g a perso11 _ of _l,is � rOJJet t�. ttiila\X1ft1lly \X11 tl1 tl1e k11 owlec lg e tl1 at tl1 e Ia 11 d fr o1 11 wl1icl1 that 011 1� cleJJi;ved beloi,gs to tl,�t JJerso11.If a perso11 i11 tl e l1onest belief 1 a IJiece O lat7d belotigs to l1 1m, tal<es l1 is cattle to b araze 011 that la11d

il��f

33

CIVIL AND PENAL LA\V

or cuts trees gro\vi11g on that land, tl,at does 11ot amottntto crimi11al tres1)ass; such acts may amou11t to civil tresrJass for \vhich a civil action for damages may lie. Now in tl1e present case, Woz. Atsede I Iabte Selassie l1ad purcl1ased land from Ato I-l�ile1nariam Wodesil< ar1d natt1rally sl1e I1ad evtry ir1terest to l1ave tl1e bot111dar1es marked; sl1e \ve11t 011 tl1e la11d \Viti, l1i1n and \Viti, tl1e local Governor t� lay down tl1e de111arcatio11 li11es. I-Ier i11te11ti,)11 \,qas obvio11sly to take possess1011 of prO[)erty \Vl1ich sl1e believed to be l1er; a11d 11ot to de1Jrive Woz. Abecl1e '\Voldekiros of lier J)roperty. l11 tl1e OJ)i11it>11 of tl1is Co11rt tl1e facts as set ot1t above do 11ot disclose tl1e i11gredie11ts of a :ri111i11al offence, a11cl the order of tl1e A\vradja CoL1rt rnL1st be confirmed.

ATO MAKONNEN T ACLE I-IAIMANOT v. TI-IE PUB�IC PROSECUTOR (Private co1nplai11a11ts:

I-I.E. Afe11egt1s Tal<elle \Volclt J-la\variat a11d Ato Becla11e Se11bata)

High Cor,trt, Criniinal Appeal No. 281/53 (1961 G. C.) Ethiopii-i

Yel<atit 15, 1953 E. C. (Feb. 23, 1961 0. C.); J11dge!: Dr. \X/. 8L1l1agiar, Ato Bal<ele I-labte Micl1ael, Ato fv\al<o1111en Oetal1t111:- Tl1e !)rosecL1tio11 evide11ce ... sl10\vs that tl1e la11d i11 qttestion l1ad been i11 tl1e !)O;sessior1 cf tl1e s,licl Ato Bedane Se11bata for tl1ree years a11d tl1at at tl1e tin·1e )f tl1e offe11ce it l1ad bee11 ct1ltivated \Viti, tomatoes a11cl potatoes. A great ceal of evicle11ce \vas heard as to whose !)fO(Jerty tl1e la11d is; 011 bel1alf of tl1e JJrosect1tio11 it \Vas statecl tl1at the land is the proJ)ert)' of I-Iis Excelle11cy Afe11eg·11s �falelle \Volde I-la\xrariat ancl 011 bel1alf of tl1e defe11ce it \Vas statecl tl1at tl1e land vas tl1e J)ro 1Jerty of Fit. Asfaw Kebede. At this stage it is imJ)Ortant to point ottt tl1at tl1ere is a certai11 amou11t of co11f11sio11 i11 tl1e aJ)!)licatio11 of .\rticle 650 of tl1e Penal Code. I-lttndreds of cases co1ne before tl1e co�rts i11 tl1eir crim­ inal jurisdictio11 where .�tte1n1Jts are 1nade to ()rove tl1e O\vnersl1i 1) of Ia11d i11 disJJttte; ow11ershif) of la11d a11d f)Ossessio11 of la11d are two completely different n1atters; a J)erso11 111a)' be tl1e O\Vntr of la11d b11t 11ot in JJOssession tl1ereof, as for exa1111Jle a la11dlorcl \1ql10 l1as give11 l1is la11cl 011 lease to a farmer; similarly a perso11 111ay be in f)Ossesiion of la11cl witl1ot1t being the O\v11er thereof. No\v tl1e 1nai11 o_bjec� ?f Article 650 is to protect quiet possession of land a11d tinder !l1at Art1cl� 1t ts j)OS�ble to JJrosecute tl1e owner of the land who interferes \v1tl1 tl1e qt11et possess1cn o ·f a j)erso11 \1ql10, like a te11ant, is Iawft1Ily i11 l)Ossession of tl1at la11d by virttte of the lease granted to hitn by tl1e O\vner. In most of tl1e cases, tl1erefore, tl1e q11estion of ownersl1ifJ cloes 11ot arise; it is st1fficie11t-· for tl1e 1:rosect1tio11 to IJrove possession.Tl1e main object of Article 650 of tlie Pe11al Code is tiot. to decicle qt1estio11s of ownership, (t}1is is a matter fitter for tl1e civil co·11rts) b11t to ensttre that no person takes the law i11to l1is O\X111 hancls and tl:ereby caL1se a breach of tl1e peace. Now in tl1e present case, it l1as bee11 establ1sl1ed tl1at Ato Bedane Senbata had bee11 in possession of tl1e la11d for tl1ret year_s arid l1acl bee11 cultivating tl1e land \Viti, tomatoes a11d potatoes;· eve11 ass11ni11g . that tl1e la11d belonged to fit. Asfaw Kebede, tl1e appella11t l1acl 110 rigl·t wl1atsoever to act as he did and forcibly oust tl1e said Ato Beclane Se11·)ata ottt of tl1e land .

- - ··'.

----- - - '

"\ '1 .... ,'

....:j;

·t .. .' .•\ 1 ' -�.

�

--

I

"j

INTRODUCTION

34 \'<,itl1out due process of la\xr. • •

• •

Questions 1.

2.

tl 1 a a se � 1 e dispute tl c . e e4 ts A . oz W e th 11 i t Do yot1 ag·ree witl1 tl1e cotir ? h l co 1 t r t 1 a 11 W · · 111 1 a t \Vere cr a 1 1 1a tl r 1e tl ra l vi ci a 1 1 i d sl1ould be settle e of 2 tl1 44 l . na rt Pe A b. Co . (n de 1? 1 o si ci cle 's rt ou C e 1 tl 1 i 1cl 1 l be 1s o 1 as re e th of 1930 co11 cer11s S\v'i11dli1 1 g: 442. A n1an ,xrl1o iii order to obtain 111 011e:y for hi� ?w11_ adva11tage by t1 11Ia,xrft1l s,xri11 dli11 g re111oves it JJrete11d111g t_l 1at it 1� l11s o,vn or ,vl1o J1a11ds it over to a11otl1er 111a11 or ,xrl1 0 guides tl11 eves a11 d causes tlie1 11 to steal it or wl10 after cat1si11g tl1e steali11g obtai11s a signa ­ ture for tl1 e recei1Jt of tl1e 111011ey sl1all pay a fi11e from 100 to 200 clollars a11 d sl1all be in1 1Jriso11 ed fro1 11 1 to 2 years. Tl1ere is 1 1 0 article specificall)' devoted to crimi11al tres1Jass.) Wl1at do yoLt tl1i11l< are tl1e basic differe11ces between a criminal and a civil offe11se? \X/l1at co11seq11e11ces res11 lt fro111 categorizi11 g a11 offe11se as civil or cri111i1 1al? Do tl1e 1J11 r1Joses a1 1d re111 edies of tl1 e cri111i11al Ia,v differ fro111 tl1 ose of tl1e civil la ,v?

3.

rl�l,e Ato �Makorti1en case states tl1at l1t1 ndreds of cases co111e before cot1rts ii1 tl1eir cri111i11al jL1 risdictio11 ,vl1ere attem1Jts are 1 11ade to {Jrove tl1e ow11er­ sl1iJJ of la11d i11 clis1J11te''. Wl1y do yott tl1i11 l< a citize11 n1ight fJrefer criminal to civil JJroceedi11gs?

4.

Does Blacl<sto11·e (Note 1 infra at p. 35) sttJJfJOrt tl1 e above Etl1io1Jia11 decisions

11

\X1 }1e11 }1e states:

. : . If � cletair1 a field fro111 a11otl1er 11 1a11 1 to ,vl1ich tl1e la\v l1as given 11_1111 a r1 gl1t, tl1 is is a civil i11j LI r)', a11d 11ot a cri1ne· for l1ere 01 1ly tl1e r1g�1t of a11 i1:cli_viclt1 al is co11cer11ed, a11d it is i1 11111 �terial to tl1e pttblic \xrl11cl 1 of tis 1s 111 possession of tl1e la11 d. Problem C ogiiiza,,t of tl·1e Cot1 rt's clecisio11 i11 tl1e Ato Mako1111e11 case, wot1ld you as: a. Pitblic Prosecutor: jJer111it tl1e i11stitt1tio11 of JJroceedi11 as i11 an i11sta11ce ,xrl:ie�e J'OLI believecl tl1at a co1 111Jlai11a11t ,xras atten1 pti11 a to ttse tlie criin'.1��1 J)roc_ _e ss for esse11tially civil e11ds, tl1at is, ,xras �tte1nJJti11g to de_�ei �11111e title to la11cl tl1ro11gl1 tl·1e cri111i11al jJrocess? ee Art. S 42 C 111111 11al Proceclttre Code. b. · 11ge cteter111ii,� : tlie qt1estio11 of title to Ia11d wl1 e11 a case arises u11de� { · r: � �l) (a) 111 ,vl·11 cl1 tl1e con1 1Jlai1 1a11 t stac: tes that Ato X l1a s ctit c· 1.·O:\V·11 111s (tl1e co1111J1a' 1· 11�1 1t's) t ree · 1·t t fac ,vl 1 11 1 i le X tl1at 111ai 11tai ns is 1�,s tree (asst1111 e req111s1.te i1 1t e11t)? _ . c . Legislator: i11cl11de st1cl ? . 1 A 1·t·tc1es. as 65 I �y: W . 0-652 i11 tl1e Pe1 1al Cocle? I-low inio\1t ab ise o f tliese t ret Ar a tic les ? be D int er1 lim J ite tl1 d e oe s ion i11 tl 1e ,,.-1�0 M,1;;�01zrie12 case llelp?

65

1

CIVIi_ AND PENAL LAW

35

NOT ES Note 1:

Further Comment Concerning the Distinction Between Civil and Criminal Law

Blackstone, 011 tl1e Disti11ctio11 Bet\vee, Public a11d Private Wro11gs 1

Tl1e disti11ction <)f public \vro11gs fro1n 1Jrivate, of cri1res a11d n1isde111eanors ·from_ �ivil. ir1j_t1ries, seen1s pri11ci1Jally to co11sist in tl1is: :l1at fJrivate wro11gs, or c1v1l 1nJt1r1es, are a11 infri11ge1ne11t or privatio11 of tl1� civil rigl1ts \vl1icl1 belo11g_ to i11dividuals, co11sidered n1erely as i11dividuals; fJttl:tic wro11gs, or crimes a11d m1sdemea11ors, are a breacl1 a11d violatio11 of tl1e JJutiic rights a11d duties dtte to the \Vl1ole co111n1L111ity, co11sidered as a co1111nt111ity, ir its social agareaate capacity. As, if I detair1 a field from a11otl1er 111a11, to \Y1l1itl1 tl1e law l1asb give11 !1i� � rigl1�, tl·1is is a civil i11jury, a11d 11ot a crime; for l1e·e 011ly tl1e rigl1t of an 1nd1v1dt1al ts co11cer11ecl, a11d it is i1n111aterial to tl1e 1Jublit wl1ich of us is i11 fJOssessio11 of the la11d: bt1t treaso11, 1nt1rcler, a11d robbery are JJroperly rar1l<ed an1011g crimes; si11ce, besides tl1e i11jt1ry clo11e to i11dividt1;Js, tl1ey stril<e at tl1e very bei11g of society, \vl1icl1 ca1111ot possibly st1bsist \vl1ere :.ctio11s of tl1is sort are st1ffered to esca1Je \Viti, in11Jt111itJ'· In all cases tl1e cri111e i11clLtdes a11 inj1.1ry: every jJt1b ic offe11ce is also a [Jrivate wro11g, a11d so1ne�v'l1at 111ore; it affects tl1e i11divi1It1al, ar1cl it li!(e\xrise affects tl1e co111111t111itJ'· ... Mt1rcleris a11 i11jt1ry to tl1e life of a11 i11dividt1al; bt1t tl1e la\v of society considers pri11ci1Jally tl1e loss \Vl1icl1 tl1e st,te sustains by bei11g deprived of a me111ber, a11cl tl1e 1Jer11icio11s exa1111Jle tl1ereLy set for otl1ers to do tl1e lil<e. Robbe1·y 111ay be co11sidered i11 tl1e sa111e viex,: it is a11 i11jt1ry to private property; bt1t, \Vere tl1at all, a civil satisfactio11 i11 :la111ages n1igl1t atone for it; the pttblic n1iscl1ief is tl1e tl1i11g for tl1e 1Jreve11tio 1 of wl1icl1 ottr la\vs l1ave n1ade it a caJJital offe11ce. 111 tl1ese gross a11d atrociQ1s injt1ries tl1e IJrivate wro11g is swallowed up i11 tl1e JJttblic: 'X'e seldo111 l1ear a\y 111e11tion macle of satisfactio11 to tl1e i11dividt1al, tl1e satisfactio11 to tl1e co1nttt111it>' bei11g so very great. Arid, indeed, as tl1e public crin1e is 11ot otl1er\vse ave11ged tl1a11 by forfeiture of life and JJrO[Jerty, it is i1n1Jossible afterwarcl� to mal<e a11y repara­ tion for tl1e fJrivate wro11g, \vl1icl1 ca11 011ly be l1ad frotn tl1e body or goods of tl,e aaaressor. But tl1ere are cri111es of an i11ferior 11att11:, in wl1icl1 tl1e IJLtblic pt1nisl1111�;t is 11ot so severe bttt it �ffords root� to�· _a Jriv�te co1111Je11satio11 also· a11d l1erein tl1e disti11ction of cr1111es fro111 c1v1l 111Jttres 1s· very appare11t. for' insta11ce: i11 tl1e case of battery, or beati11g a11otl1er, �,e aggressor tnay be i11dicted for tl1is at t11e sttit of tl1e l<ing, for clist11rbi11g tl1� jJublic }Jeace, a11d be pt111ished criminally by fi11e and i1n fJrisonme11t; a11d tl1� r-arty beaten may also l1ave l1is fJrivate re111edy by actio11 of tresJJass for tl1e 111jirJ, \vl1icl1 he i11 partic­ ular sustains, a11d recover a civil satisfaction i11 . damages So, also, i11 case of a fJt1blic nuisa11ce, as diggi11g a ditcl1 across a l11�l1way: i1is is JJU!1isl1ab_Ie by indictment as a c0111111011 offe11se to t}1e wl1ole l{t11gdom a11d all 111s n1a1esty's subjects; bt1t if a11y i11clividt1al st1stai11s a11y special dan1afe tl1ereby, as lami11g 11is I1orse, breal<i11g l1is carriage, or tl1e lik�, tl1e.otfe11der _ 111ay be con11Jelled to make ample satisfactio11, as well for tl1e JJrtvate 111Jt1ry as ror tl1e IJt1blic wro11g Upo11 tl1e whole, we may observe that, in taking cornizance of all \Vrongs . : 11ot 011ly to redress tl·1e fJarty viz view, double a has law the acts, unlawful or 4 Blackstone Co.mment.aries 1428-l4JO (Lewis ed., 1897).

t.

�

..

��. -----

-

INTRODUCTION

36

y n b _ vi gi o g , n e n1 l_ l1i : ib ss po a if , 1t gl ri . . s hi n1 Jii . . to ng ri . to es r r e 1 tl e s 111 the precedi11g e1 r1 t11 q 111 IIlJU!ed by f o ct je ob 1e tl as w 1 1g wl1icl1 oi d f O er niani benefit tl1e of pt1blic socie h ·• i eqt1Ivale11t, tl1e ty e t to secure to also but es bool{ _of tl1e�e co111·m��t:{ \ g every breacl1 and vi?lation of tl1ose la\vs wl1 icl� 11 1 i p o r. g 11 1 � rn 1e ve tl go by p 1 eve11 t and en r m fo l1 1s bl ta es to er op pr l1t ug 1o tl tl1e s o\rere1g11 fJO\v' e1· l1as tra11quilit)' of tl1e \v'l1ole. Note 2:

Von Bar, Tort and Crime2

1 gs (i.e. t orts) and 1 ro 'Y l vi ci n ee tw be 11 o i ct i11 st di 1e Tl . Tort a,id Crinze ts en 1g es ?1 pr l v1 re �vr c1 a A . nt re )Ja a)J w no is y all it1 if!1 cr le ab sh wro 1 1g·s JJtttii . d de un ts_ fo it r _ e l1 on 1e� u� wl of � les rd ga re l1t r1g a th \Vt e nc ria va coiiditio11 at t a11 IS ac ­ ial lly a _ ec 111 sp 11:1 cr le 1ab l _ 11s 1 L1 J ) g on \Vr A . ty ali or m o t ry ra 11t a11 actio11 c o ly r�l t 11e bu �e !s not It d an ; 1ty �a! mo _to ary 1 1tr co i11g be as ed ly cl,aracteriz ht. e rig tiv ec bJ su a of ng 1z1 rd pa 1eo a st lea at or ion lat vio necessaril)' a e�el tl1�t the tl1 H \Vi ld_ l1o to t rec or inc it is lly e cia J Es rz 1 ctio tin Dis 's gel He • •

•

•

distit1ctio 1 1 cor1 sists i11 crime bei11g i11te11tio11al wro11 g a11d 111 tort being u111t1tet1tio11al or i1111oce11 t wro 11g. Tl1e positive law sl10\VS tis tl1at tl1ere are acts of 11eglige11ce wl1icl1 are ptl11isl1ed cri1 ni11 ally, at1 d tl1at 011 tl1e otl1er l1and tl1ere are case s of ,v1ro1 1g com111itted quite intentio 1 1alljr \Vl1icl1 t1 evertl1eless remai11 111erely torts; for example, wl1et1 a J Jers o11, openly at1d \vitl1 k11owledge of its illegality1 bt1t witl1ot1t otl1er violence to person o r tl1i11g occtlJJies a piece ofn gr out1d belo11gi11g t o a1 1otl1er, or wl1en one sl1 an1.e lessly refuses to discl1arge a obligatio11 of d ebt t1 1 1cqt1ivocally entered into ....If son1e ll1i11 g is objectively qt1ite trivial a11 d et1tire ly witl1out danger, tl1e11 it would be absolute ly in1pro 1Jer to fJtlt i11to 111otion the clt1 111sy machi 1 1ery of cri111i11al justice wl1icl1 e11 tails such l1 ea\ y ex1Je 1 1se for tl1e cot1 1 1try .... 1

... Ho\'v'ever, one ca 11 asse 1 1t to 1 Iegel's vie\v that inte11 tio11 al acts, in wl1ic_l1 tl1e res11lt i11 qt1estion is i11te11ded, are tl 1 ose \xrhicl1 co11stitute tl1e major 1Jort 1 011 of �ri1nes, �11_d tl1at_ i11 JJrivate la\xr tl1e questio11 of guilt occt1pies a very sc1bord111ate JJOs1 t1ot1. Private la\xr is tl1e la\v as exter11 al re 0·t1lation·1 crim­ !11al l�\v is tl1e Ia,'v' as morality. Bt1t as criminal la\v does not limit itself to tl1e 1nte1 1t1011,. bt1t also tal( es i11to co 11sid eratiot1 tl1e exter11al effect of tl1e act, so to a certa111 e�te11t _the JJrivate l,t_,xr proceed� more le11 ie11tl)' \vitl1 l1i111 \vl10 is _i11noce11t tl1an _ ,v1t!1 l1 1 n1_ \Vl1 ose gt1tlt or 111al 1 ce ca 1 1 be fJ rove11.Crin1inal justice 111ust t1se gt1 1 lty· t 1 1te11t1011 as a fo1111dation, b11t JJrivate Ia,v does 110t require it. •

•

•

•

,Relatio,i of To rt cind c;;rime - Iv\oreover, ot1e n1a)' 11ot as Bi 11 di11g l1as do11e raw 1tlie �ene_ral co11clt1�1?11 tl1at tl1e clistinctio11 bet\vee11 tor t a 1 1ct crin1e is �� a ct �at ion °� IJO��t�ve _la\v, - tl1 at tl1ere is 110 fixed principle 11or e ve11_ a 1 g 1�:�11 b s1 s or tl11s cl1st111ct 1 on, a11d tl1at e\1er), critne l ti sse n e a co ! tl,e i,ta iJlS l e i,t ?� . to,t. 11°wever, �ve ry ,,:,ro11g, even tl1e most i 11sig11 ifica11t, entailin g ��l)� a civ sa1 1ct1 0 1 1, contat 11s 01ze ele11·1et1 t wl1icl·1 as . it jJ mi qti alif gl )' t i ! oss ibl y a 1 e a ; 1� ot1gl1 often o11_ly ?ne: a 1 1d lv\erl(e nt ex te l is re all 1e )' tl co to rr ec t t\1�; 7: ,ce ta z12 ca�es tl1e obl1g:at1011 to JJ3)' Jre da m ag es re ca 11 tl1 e to te w nd J ar ds : ssior1 of ro11g, Jt1st as fJ Lt111 sl1me11t · T ie · r eve I I eg1s · l Y t a or ,vl10 sub1e ct \Voul d \vro11g to criinirla· l IJUJll· s1 1m� 1.1 t. w ottld \-X1 orl( a hardsl1i JJ ttfJ011 l1t1n1a11ity and do 2.

Yun Bar, 1Ii- story

r Contin· cntaI

'I 0

Cr1.n11.11a/ Law 524-533 (1916 ).

37

CIVIL AND PEN Al LA\V

violence to his own at1thority. Sucl1 freedom of action 1.nd omnipotence do not_ belo11g to I1im. Wl1ere gentler means \VOttld accompli,1 1 tl1e same e11d, tl1e legislator commits a grave wrong by i11flicti11g pt1nisl1m!nt. Tl1erefore it is absol�tely correct to say tl1at wl1ere the civil sa11ctio11 is sufficient, tl1ere is 110 meaning to jJunishment. •

•

•

•

•

•

•

It is more in accord \vitl1 actual relatio11s, if 011e pace tl1e natttre a11d purpose of private justice sim1Jly in tl1e adjt1st1ne11t a11d arra11gen1ent of the actu�l or alleged co11ft1sio11 of tl1e SJJ]1eres of rigl1ts of two or 1nore possessors of . r1gl1t.While tl1e ele1nent of guilt is of very co11sid<:rable in11Jorta11ce in private law, )'et it pla)'S 011ly a seco11dary fJart. It is only by a11 artificial and tl1erefore clefective argun1e11t tl1at tl1e duty to i11den111ify i, based upon guilt. •

Crime Distirigitished from Tort - ...According to out conception, a11 act is

i11 JJrinciple JJU11isl1able 11ot becattse it violates a subjeclive rigl1t, but ratl1er because it is co11trar)' to 111orality . ...

. . . l11 a theory \vl1icl1 fot111ds crin1i11al law direct! )' ttfJOn morality, tl1e 1 civil sa11ction receives atte11tio11 sim1Jly as a ''factu111'', a ''factt1111 \\,I1icl1 n1ay have tl1e possible co11seqt1e11ce tl1at tl1e State 1na)' or11it fJ111isl1111e11t. '

•

•

•

•

Note 3: Williams, 1�1,e Defi11itio11 of Cri111e 3 ... It is (Jerl1aps 11att1ral to sttppose tl1at si11ce ''a c1in1e' differs from ''a civil \Vro11g'' tl1ere must be s0111etl1i11g· i11 a crime to 1nal<= it differe11t fro111 a civii wro11g. 1

As everybody k110\vs, tl1ere is one seriot1s l1i11dra11ce to a solt1tio11 of t!1is kind. Tl1is is tl1e overla1J betwee11 crime a11d tort. Si11ce �1e sa111e act car1 be botl1 a crime and a tort, as in 1nurder a11d assault, it is 1n1Jossible to divide the two brancl1es of tl1e la\v by refere11ce to tl1e type �f act. So also it is impossible to divide tl1em by refere11ce to tl1e JJl1ysical conseqt1e11ces of tl1e act, for if the act is tl1e sarne tl1e fJl1ysical conseque11ces 1nt1st be tl1e satne. It l1as occurred to some tl1at tl1ere is a !)Ossible escare. from tl1is cliffict1lty. Altl1ough tl1e act, a11d its cor1seqt1e11ces, are tl1e same, tl1eact a11d co11sequences l1ave a nt1mber of different cl1aracteristics or asJJects; anc it may be possible to identify some of these characteristics as crimi11al a11d_ seine as civil_. Pt1�st1�11g· this li11e of tl1ot1gl1t, two seJJarate asJ)ects l1ave bee11 se1ze4 t1pon as 1de11t1fy111g crime: tl1e aspect of moral wro11g· a11d tl1e as1Ject of datntge to tl1e j)ttblic .... Tl1e proposition tl1at crime is a moral wro11g n1ay I-ave tl1is 1neast1re o-f truth: tl1at tl1e average crime is 1nore sl1ocki11g, a11d l1a� graver social co11sequences, tl1a11 tl1e average tort. Vet crimes of strict I:SJJ011sibility can be committed witl1out moral wrong, \Vl1ile torts and breacl1e; of trt1st may be, and often are, gross moral wrongs. •

•

• •

The second intri11sic difference bet\veen crimes a11d dvil \vrongs fot1r1d b)' son1e writers is in respect of the damage do11e. l11 tort t1ere is al1nost i11var3.

Williams, The Definition of Crime, 19 5 5 Current Legal Problems 107.

b

Ii-JTRODUCTION

38

cl 1 dam age is su ne i 1 r c in s ea r e 1 \X1l not _ iably actual d amage to_ some person · · Aga1r1 th ere are .. ole 1,ity as 2. wl1 1111 11 c 0�1 e tl, to re at be 111g essential, tl1e tl1 . da n1age (s11cl1 as tres pas e equir r ot 1 · 1 o d s t r to s . e . for111ida bl e obJeet··,ons. Som a ge ..Some cr1111 es 1 dan e t riva p e lv irivo d o es are and libel), \vl 11le ;D a11y cr in� 1 11ty altho ugl 1 tl u 11m co1 tl,e of gs liii e fe 1 0: iey 111 pu11is1 1ed as an a 1front to t ,e : tr Lte of the grot1p is Tl1is e wl,ol a s a 1 coi of e _ tli cause 110 d_am a�e t� r ��� Y � e : re 1 em)', atte 1 a l i giotts n1Jt ct: bl�s1J} d ·asp e a c n° 1 r 1 e r _ d1 111 ng: 1 v l1a cri_�es ! e1 1 1 t y and ad ult l10 1110obsc of e u r t e ly a l rg also � I y. ni a g su1c1de , abortion, bi d 0 t cause JJLtblic dainaae: for example, \X'l1e11 a e r de � Lt rI: 1 e 1 Ev .. y lit 1a sex1 e11 eral se11 se of i1 1 security; tl1 e g s 10 1 e t a cre Ji s ·1 1i � ct 11 . c t a11 1 n 1 r l1e ls kil r motlie . tl 1e c]iild, ar1d \vl1etl1 er that is of ti · e loss y t e 1 soc to s los ial ter m� ly on :::.ai1� depe11 cls or1 wl1e ther tl1 e country is uncler econom1call)' a real loss 0� a I� or over-poJJUl ated at tl 1e time . Note 4:

Co1 1e n, Mor al Aspects of tl1e Crimi11al La\v4

... W1 1 at I \Visl1 to i11 sist on is tl1at tl1e crin1i11 �l la\xr_ i s an i�tegral part of tlie legal syste111 ancl is subj ect t o tl1e_ �a111e co11s1de!at!o11s \ �:1ch do and � ca11r1�t be sl1ould i11flue11ce tl1e \Vl1ole. Niore s1Jec1f1ca11r, tl1e cr1�111_a1 la,x; distingtiisliecl fron1 tl1e rest by a11y differei1ce 01. mora l pr111c1 pl;=, Some crimes, to be st1re , a re sl1ocl<ing; but tl1ere are 1nany cr1 n1e s_ t_l1a t. are 1 e lt �o be 1nuch less re1Jrel1e nsible tl1a11 man), outrageot1s forn1 s of 111JLt�t1ce, crL1elry o� fraud, \Xlliicl 1 tl1e la\v does 11ot 1Ju11isl 1 at all, or else 1nal<es tl1e 1r perpetra tor liable to n1o11ey d a 111 ages i 11 a c iviI s11it. . .. Questions

1. 2. 3. 4. 5.

4.

\Xfl1at are tl1 e basic disti11ct io11s wl1 icl1 Blacl<sto11e fi1 1ds sepa r ti1 torts a 1g fro 111 cri1nes? Wl1at is ce11 tral to V011 Bar's co11ceJJtio11 of [Je 11 al liability? Do Willia1ns ancl Col1e11 a gree \vitl1 tl1ese disti1 1ctio 11 s? 1 1 1 act11al soc ial a11d legal Ltsage are torts eas ily se1Jarable frorn crin1e s? Wl1 y a re inte 11t1 n1orality'' 1 'co1n1nt111 ity i11jt1ry as ag·ai 1 1st JJr ivate i11jt1r y", criticized a s clisti11gt1isl1i11g factors? Af_ter readi11g tl1e above No _ tes, \x;J·1at do )'Oll feel acttially dis ti11g11i sl1es cr1111e fro 111 tort? Do yoL1 tl111 1!( tl1at tl 1e JI ig·l1 Cottrt 1nade its clivision bel\vee11 tl1e t\vO 1Jro1Jerl)' \x1itl 1 res1Ject to IJro1Jerty offe11ses? E val�1ate B _ I�cl<sto11e's c?11te�·1tio1 1 tl·1at re Jarati o 11 of a jJri v'ate \'\'ro11g is im­ 1 JO ss 1b le 111 1 11sla11ces ot se l r1ol1s cri1 11e. � l1a� g?\'�r11111 e1�t a l_ boclies ,1re clotl1e cl \vitl1 esta b li sl 1i 11 g tlie JJ e11al-n1or�l icl e i \� 1t i 1 � 11 Etl11op 1a ? Wl1y �a v � tl1_ese SfJecific i 11 � s th i st it u 11 ti o 1 es1Jo11s1� 1l1t:>,? g n b · i s v 1 e 1 e e D o tl1e sa111e 111st 1t11t 1011s est ablis11 tl,e civil order? Constil t t l 1e Rev1secl . Co11stit Ltti01 1 o f Et11io IJ ia of 1955 i11 a1 1S\'<-'e 11 0 i a11c l see 1Jart1c11larl)' Arts. u es t q o· ri 11 is t 11 ::::. 26, 69, 70, 76, 88 and 10 8. 11

',

'

1

1

Cohen, 1'11oral J\sprc ts of the Cri111inal L a,,,, ·19 )·"a lt L.

J.

989-990 (l 940).

39

CIVIL AND PENr'\l. LA \V

Recommended Readings

Mueller, Tort, Crime a11cl tl1e Pritnitive, 46 J. Crim. L. Crim. ancl Pol. Sci. 303-332 (1955) (a11 excelle11t essay co11cer11i11g inter alia tl1e disti11ction be­ t\vee11 tort a11d cri111e). ]ourrtal of ]:>J,1blic Law, Compe11satio11 for Victi1ns of Crimi11al Viole11ce, 8 ]. Public L. 191-253 ( 1959) (see particularly the Silving and M11eller articles). Kenny, Outlirzes of Criminal Lc..w 1-5 (1952) (brief discussio11 of tl1e I1istorical developme11t of the distinction bet\vee11 tort and cri111e). I-lall, Ge11er,zl Principles of Crimi11al Law 240-246 (cliscussio11 of several tl1eories concer11i11g tl1e disti11ctio11 bet\veen pe11al a11d civil l1arm). B0L1zat, Droit Penal 134- 137 (disct1ssion of tl1e disti11ction bet\veen 1Je11al a11cl civil offer1ses in fre11cl1 law). Williams, Tl1e Defi11ition of Cri111e, 1955 Cttrrent Legal Problems 107; also fot111d i11 Elliott a11.d \Xloocl, A Casebook 011 Crimi1'zal La7.v 7-9 (a11 attetnpt to defi11e crime ir1 jJart by disti11gt1isl1i11g it fro1n a civil offense; see excerpt s1,tpra for sl1ort selectio11 fro1n tl1is article). lvlaine, Ancierit Law, Cl1a1J. 10 e11titlecl: 'fl1e Early J-Iistory of Delict a11d Cri111e (1861, N\.Ltrra)' ed., 1911).

•

•

• •

•

• :

, •

•

CHAPTER

4

The Scope of Penal Law: The Legislative Penalization of Consensual Homosexuality •

TliE PRESENT LAW Pe11 al Code of Etl1ioJJia Art. 600. - UJ2J1at1.tral Carnal Offences. (1) Wl1osoever fJerforms witl1 a1 1otl1er fJerso11 of tl1e sa1 ne sex an act corres1Jondi11 g to the sex11al act, or a11 y otl1er i11clece11 t act, is pur1isl1 able \Vitl1 simple in1priso11111 e11 t. •

• •

•

E11gland, Sex11al Offe11 ces Act (1956) Art. 13. - l11decenc; between me12. 1

It is a11 offence for a ma11 to con1 1nit ar1 act of gross i11 dece11cy \Vi�h anotl1er 11 1an, wl1 etl1 er i11 IJt1blic or IJrivate, or to be a [Jart)' to tl1e comn1 1s­ sio11 by a 1 11 an of a11 act of gross i11dece11cy \xritl1 a1 1otl1er 111 a1 1, or _to JJroc11re tl1e co111n1 issio11 b)' a n1 a11 of a11 act of gross indece11 C)' with another ma11 . TiiE WOLFENDEN l�EPORT1 Report of the Co1nn1ittee 012 I-J.0112osex11til Of}e12 ces a12d Prostititti.011 Ho1ne Offices of E11gla11d a11 d Scotla,1d, 1957 •

•

•

•

13. Our pri1nary d11ty l1 as bee11 to co1 1sider tl1 e extent to \xrl1icl1 l1o �o­ sex11al bel1avior a1 1d fe111 ale prostitutio11 sl1 011ld co111 e 1111 cter t11 e conde1n11at1on of the cri1ni11al la\v, a11 d tl1is l1 as pres�1 1t�d 11s \Xtitl1 tl1 e difficulty of deci cling \vl1at ar� tl1e ess�11�1_ �l ele1 nents of a cr1111111al offer 1 ce. TI1 ere a J Jears to be 110 u11 q11est1011 ed def1111t1011 of \Vl1at constit11tes or 0110·]1 t to c011 sti1tti1 a crime. To te defi1 1� it a: ''a11 act \xrl1 icl1 is IJL111 isl1 ed by tl1 e0 State'' . clo es 1 1 ot a1 1s,x;er tlie q11est1011: Wl1at acts 011gl1 t to be }Jt111isl1ed by tl1e re efo tl1e r Sta . te? 1 �/ av e e 1 \,:rorked \xr1tl1 011r o,xr1 1 for1n11Iatio11 of tl1e fu11 ctio11 of tlie criiiiiiial la\v so far as !

�he

"ts

\'( io/Jen�en Report, i?.eport of tlie Con1n1itlee o 3 4 n rlo,nose."i:11aL Offences and 42 _ J)r ostitution 23-24, • , (Auchor1zed An1er1can ed., .1963).

,.

SCOPE Of PINAL L1\ \V

41

it concer11s tl·1e SLtbjects of tl1is inqt1iry. In tl1is field 1 its ft111ctio11 , as \Ve see it, is to 1�r�se1�ve }JLtblic orcler a11cl dece11cy, to protect tl1e citize11 fro111 \vl1 at is offe11 sive or tnJL1�·1ot1s, a11 d to IJrovide st1fficie111 safegt1ards agai11st ex1Jloitatio1 1 a11 cl corru1Jt1 011 of otl1ers, jJ artict11arly tl1ose wl10 are s1Jecially vt1l11 erable becattse tl1ey. are Y�L�11_g, \veak in bo_cly · or 111i11 d, i11experie11ced, or i11 a state of SJJecial IJl1 J,s1cal, orf1c1al or eco11 01111c de 1Je11de11re. 14 .. It is 11ot, i11 ot1r vie\v, tl·1e ·lt111ctio11 of tl1e la\v to i11terve11e i11 tl1e . 1?r1 vate lives ?f citize11s, or to see!< to e11:orce ail)' 1Jartict1lar 1Jatterr1 of bel1avior, _ fL1rtl1e1· tha11 1s 11ecessary to carry ot1t tl1e JJL1r1Joses \Ve l1 ave outlir1ecl. It follo\<1s tl1at :'{le do 11ot believe it to be a ft111 ctio11 of tl1e law to atte1111Jt to cover all tl1 e fields of sext1al bel1avior. Certain for111s of sext1al bel1avior are regarcled by ma11y as si11ft1l, 1 11 orali')' \X1ro110·, or cbjectio11able for reaso11s of co11scie11ce, or of relig·iot1s or ct1ltt1ral traclitii11; ancl st1cl1 actio11 s 111ay be re1Jrobatecl 011 tl1 ese grot111ds. Bt1t tl1e crin1 i11al la\v clocs riot cover all st1cl1 actio11s at tl1e JJreserit ti111 e; for i11star1ce, adt1lter)' a11d for11icatio11 are 11ot offe11ces for \vl1icl1 a perso11 ca11 be [JLt11isl1ed b)' tl1e cri111i11al :a\xr. Nor i11 cleed is JJrostitL1tio11 as st1cl1.2 . 1_5 .. We a1JtJreciate tl1at 01J i11io11s \vill cliffer as to \Vl1 at is offei1sive 1 i11jL1riot1s or 1 n1111ical to tl1e co111 111011 good, arid also as to wl1at co11stitt1tes ex1Jloitatio11 or corrt11J tio11; a11cl tl·1at tl1ese OJJi11ior1S \Vill be based 011 111oral, social or CL1ltt1ral sta11clarcls. We l1ave bee11 guideJ by ot1r esti111ate of tl1e sta11dards of tl1 e co111111t111ity i11 ge11eral, recog11izii1g :l1at tl1e)' \vill 11ot be acce1)tecl b)' all citizens, ancl tl1at OL1r esti1nate of tl1en1 may be 111istal<e11. 16. We have l1ad to co11 sicler tl1e r�latio11sl1i1J bet\vee11 tl1e la\v a11cl pL1blic opi11io11 . It see111s to tts tl1at tl1ere are tvo over-defi11ite vie\vs abot1t tl1is. 011 t!1e 011 e l1and, it is l1elcl tl1 at tl1e la\v ougl1t to follo\xr bel1i11d. JJttblic opi11io11, so tl1at tl1 e la\V ca11 COLlllt 011 tl1e Slll)FOrt of tl1e COITilllllllity as a \Vl10Ie. 011 tl1 e other l1a11cl, it is 11 elcl tl1 at a 11ecessary pL1r1Jose of tl1e la\v is to leacl or fortify pt1blic 01J i11io11. Certai11l)' it i� clear tl1at if atl)' legal e11act111e11t is markeclly ot1t of tt111 e \vitl1 JJUblic opi1 1i1)11 it \,,ill qt1icl<ly fall ir1to clisre1JL1te. Beyo11 d this \Ve sl1ot1lcl 11ot \visl1 to dor111 atize, for 011 tl1e 1natters \v'itl1 \vl1icl1 we are called LljJOi1 to deal \Y/e l1 ave 110: st1cceeded i11 discoveri11g a11 u11eqt1 iv­ ocal ''JJ ttblic OJ Jit1io11," a11 cl \Ve l1ave fet bot111d to try to reacl1 co11clt1sions for ourselves ratl1er tl1a11 to base tl1e11 1 :::>11 \vl1at is ofte11 tra11sie11t a11cl selclo111 JJrecisely ascertai11able. •

•

•

•

48. It is agai11 st the ·foregoi11g tacl<grot111 cl tl1at we l1 ave reviewed tl1e existi11 cr provisio11 s of the law i11 relati)11 to l10111osext1al bel1 avior bet\vee11 1 nale 1�rso11 s. We l1ave fot111cl tl1at \xritl1 tl1e great 111 ajority of these JJrovisio11s \Y/e are i11 con1plete agreeme11 t. We beli�ve tl1at it is part of tl1e ft111ctio11 of the law to safeguard those wl10 11eecl JJ�otectio11 by reaso11 of tl1eir yot1th or some 111ental defect, a11 cl we clo 11 ot \Vi�l1 to see a11 y cha11ge i11 tl1e la\v tl1at wot1ld \Veal<en this protectio11 . N\e11 \VllC! co1111 11it offe11ces agai1 1st sL1cl1 JJerso11s sl1 0L1ld be treated as crimi11al offenclers. Wl1atever 111ay be tl1e caL1ses of tl1eir dis1J ositio11 or tl1e fJroper treatn1ent for it, tl1e law i11L1st asst11ne tl1at the resrJonsibility for tl1e overt acts ren1 air11 tl1eirs, exceJJt \xrl1ere tl1ere are circt1111 stances wl1icl1 ·it accepts as exen1 1Jti11g fron1 accoL111tability. O-ffe11ces of tl1is kir1cl are partict1larly reJJrehe11sible wl·e11 the n1 e11 \X1l10 co1n111it tl·1en1 are i11 JJositio1 1s of special respor1 sibility or trust. \Ve l1ave bee11 n1 ade a\vare tl1at wl1 ere a 1nan is i11volveci i11 an offe11ce \vitl1 a boy or yoL1tl1 tl1e i11vitatio11 to 2.

I11 Ethiop ia, Seductiot1 (Art. 596) ancl Aclu!rery (1\rt. 618) arc punishable.

42

INTRODUCl"JON

r tl l1e at i at i r o m fr lii 1 111 tl1e on fr s ne 1 co es im et s m o t ac e tl1 f o tl1e com1nissio11 d oes not serve ct fa at tl, o s is is tl1 to 1nan. Bt tt \V e believe tl1at eve11 wl1 e11 excul1Jat e tl1e man. e :ve IJUblic orde es JJr to w la e tl1 of r 49. It is also [Jart of the ftt 11ction eliavio� b_etwee11 1nales b l. tia ex os 1n l10 11 he w at tl1 ld a11d dece11C)'· We tl1erefore l1 o 1 1m by cr 11al law . .. . i itl w t al de be o t e u in 11t o c tal<es (Jlace i11 JJttblic it sl1ot1ld d ,1e Sl �io ju e11 m e , _ v ha l e \x, me na e nc fe y, of f o s rie o g te ca o t\v e tl1 es sid . 50 Be ominitted �11 p11blic c es iic ffe o d a�1 es 1il 1 ve jt1 tl1 \xri offences co 111111itted b)' ad11lts 1 ,ad e �o v l1a e giv \xre cl1 1 lo11g 1 wl to e nc ffe o f o ss cla rd thi is a re tl1e e c s, pla 1 al act s c ommitt ed betwee11 t sex mo l1o f o t tl1a is It 1. ti o1 era c 1sid l 1 o1 efi car 1d 1 a adL1lts i11 pri\1ate. •

• • •

•

• • •

52. We l1ave i11dicat ed .... ot1r opi11io11 as t o tl1 e province of tl1e law and its sancti o1 1s a11d 110,xr far it [JrOJJerly a1J(Jlies t o tl1 e s ext1al bel1avior of the i11divid11al citize11. 011 tl1 e basis of tl1 e co 11siderations tl1ere advanced \x1e have reacl1ecl tl1 e co11clt1sio11 tl1at leg·islatio11 \v'l1icl1 covers acts i11 tl1e tl1ird category ,ve l1ave 111e11tio 11ed g·oes beyo11d tl1e JJro1Jer spl1 ere of tl1e law's co 11cer11.We do 11ot tl1i11l< tl1at it is JJroper f or tl1e law to co11cer11 itself witl1 wl1at a 1nan does in JJrivate u11less it ca11 be sl10\v11 to be s o co11trary t o tl1 e IJt1blic good tl1at tl1e la\v' ot1gl1t to interve11e i11 its ft111ctio 11 as tl1e g·uarclia11 of tl1at pt1blic good. 61 .... Tl1ere ren1ains one additio11al ...argt1me11t \v]1icl1 \xre b elieve to be decisive, 11amely, the in11J ortance wl1icl1 s ociet)' a11d tl1e law ougl1t to give to i11dividual fr eedom of cl1 oice and actio 11 i11 matters of pri\1ate 1norality. U11less a. d eliberate atte1n1Jt is to be 1nade by society, acti11g· tl1r ougl1 tl1e age11C)' of tl1e la,v, to eqt1ate the S(Jl1ere of crime \Xiitl1 tl1at of sin, tl1ere must re111ai11 a realm of JJrivate 111orality a11d i 1n 1n orality \vl1icl1 is, in brief and crude terms, not tl1e la\v's bt1si11ess.T o say this is 11ot to co11d o11e or e11co11rage 1Jrivate immorality. On tl1e contrary, to e1n1Jl1asize tl1e p erso11al and fJrivate 11atL1re ?f. �1oral or i1:11n?ral . co11dL1ct is t o e1n1Jl1asize tl1e [J ersonal a11d fJrivate �es1J o11� 1b1l 1ty of tl1e 1 11d1v1dt1al for l1is ow11 actio 11, a 11d tl1at is a res1Jo11sibil1t)' \v1l11cl1 a 1 11att1re a�e11t ca11 IJrOJJerly b e expected to carry for I1in1s elf ,xrith011t tl1e tl1reat of pt1111sl11ne11t fro1n tl1e la\v. 62. W� acc?rdingly reco111me11d tl1at l10111 osext1al bel1avior b et,xreen co11se11t­ 1ng acl11lts 111 1Jr1vate sl1ot1ld no l o11ger be a cri111inal offe11ce. •

TI-IE ENfORCElv1EN1� Of lv\ORALS3 Sir Patrick DevliJi Wliat is tl1 e �01!11ectio11 betwee11 cri111e a11d si11 a11cl at if t 1t, o xt \V 1 e lia e t 1 all, 5 10�1ld tli e �r111111_1al la� of E11gla11cl co11cer11 its of el f en t ,v itl _ e1 1 1fo th rc e em mo1 a 1s a11cl pt1111sl1 s111 or 11n111oralit)' as st1cl1 ? •

•

•

•

· ·: If tl1e cri111inal law were to be refori ned so as t o e 1·1n1 1· 11at e from it everytl11110 ti, t- w, as 110t des1. g_11ed t o IJr eserve order a11d dece11cy or to protect citize11s [;,cl � 1 o 01 outh from corruption), it would overturn y tecll r ; � a fundaJent� : f ; \� 11 1 t ot1 a1� o e11cl a n11111ber of s1Jecific cri1nes. E11t_l1a� 11 a sia, or tl1e l<illi11g of ·a11ot fier at l 11s O\v11 reqt1est, st1icide, atte1111Jtecl sL1ic1de

��1

3.

.

-

1l1acc,1baian Lecture in }uri spr11dence .r o; t1 /:e Br1.. t1slJ Acade1nJ' 4-23 (1959 ).

43

SCOPE Of PENAL LAW

a11 ct. sui�ide pacts, clL1elling, abortio11, i11ces: bet\vee11 brotl1er a11 d sister, are all �cts \xrlitcli can be done i11 private a11 d \vitl1ot1t offe11 ce to otl1 ers a11 d 11eed 11 ot 111volve tl1e corrtI}Jtion or exploitatio11 of ,)tl1 ers.... . I_ tl1ink it is clear tl1at tl1e cri111inal lax, as \X'e l<tlO\V it is based t1po11 1noral fJf!11C!JJle. In a nL1.111ber of cri111es its ft1rction is si111JJly to e11force a n1oral JJr111c11Jle a11d r1otl1i11g else .... 1�1 jL1risJJrt1?e11 ce, as I l1ave said, ever:,tl1 i11g is tl1ro\v11 OJJe11 to disct1ssio11 a11d�_ 111 tl1e belief tl1at tl1ey cover tl1 e \vl1 cle field, I I1ave fra111ed tl1ree i11terrog­ ato11es addressed to 111ysel·f to a11s\ver: 1.

I-las society' tl1e rigl1t to JJass j t1do-n1e11t at all 011 11 1atters of morals? Ottgl1t tl1ere, ir1 otl1er \vords, to be a jJLtblic 111orality, or are morals alwa)'S a 111 atter for private jt1dgne11 t? 2. If society l1as tl1e rigl1t to !Jass judg111 e11 t, l1as it also tl1e rigl1 t to use tl·1e \,:rea Jon of the la\v to e11force it? 3. !f so, 0�1gl1t it to Lise tl1at \x1ea Jo11 i11 all cases or 011 ly i11 so111 e; a11d if only 111 so111e, 011 \vl1at JJrinci1Jles sl1ould it disti11gt1isl1? ... Tl1e la11gt1age t1sed i11 ...tl1e Wolfe1 den ReJJort st1ggests tl1 e vie\v tl1at tl1ere _ot1gl·1t 11ot to be a collective judg111 e11 t abot1t i1nn1 orality JJer se. Is tl1is wl1 a.t 1s n1ear1t by ' Jrivate 111 orality'' a11d ''i11 dividt1al freedo1n of cl1oice a11cl action''? Some peo Jle sincerely believe tl�at l1011 1osext1alit)' is 11eitl1er i111n1 oral 11 or u1111 atL1ral. Is tl1 e ''freeclo111 of cl1oice a11d actio11 '' tl1 at is offered to tl1e i11 divid11al, freedo111 to decide for l1 i11 1sel·. \vl1at is moral or i11111 1oral, society remai11i11g 11eutral; or is it freeclo111 to b� i111111oral if lie \va11ts to be? Tl1e langt1age of tl1 e Re Jort 111 ay be OJJe11 to 1t1estio11 , bt1t tl1 e co11 clL1sio11 s at \vl1icl1 the Com111ittee arrives ans\ver tl1 is qt1esti)11 u11ambigt1ot1sly. If society is not JJrepared to say tl1 at l1omosexuality is 111 orally wro11 g, tl1ere \X'OL1lcl be 110 basis for a la\v fJrotecti11g yot1th fro111 ''corrLifJtio11 '' or jJt1nisl1i11g a 1na11 for livi11g on tl1e ''i111 111oral'' ear11 ings of a l10111ose:\'Llal prostitt1te, as tl1e ReJJort reco111111ends. This attitLtcle tl1e Co111111 ittee 111al<ES eve11 clearer \vl1e11 it comes to deal \Vith JJrostitution. I11 trutl1, tl1 e Report t1l<es it for granted tl1at tl1 ere is i11 existe11ce a pLtblic n1 orality \vl1icl1 co11clen111s l1 0111osexuality a11d Jrostitutio11. What tl1e Report see111s to 111ea11 by priV1te 111orality 111igl1t JJerl1a1Js be better described as JJrivate bel1avior i11 111atters of 111orals. 1

1

1

1

1

1

1

This view - tl1 at tl1 ere is sL1cl1 a tl1 i1g as pttblic 111orality - ca11 also be jt1stified by a jJriori argL1me11t. Wl1 at 111al<�s _a society of any sort i� co1nmL111ity of ideas, 11ot 011 ly fJOlitical ideas bL1t also ideas a_bot1t tl1e ':vay its 111embers sl1011ld bel1ave a11d aover11 their lives; tl1e:;e latter ideas are its 111orals. Every society l1as a moral bstructt1re as \x,ell as � JJOlitical 011e: or ratl1 er, si11ce tl1 at n1igl1 t suggest t\VO indeJJe11 den t syst��1s: I shot1ld say tl1at tl1 e strt1ctt1re of every society is made llJJ botl1 of fJOl1t1cs a11 d 111 orals.... . . . Witl1out sl1 ared ideas on JJOlitic�, 111orals, a11 d etl1 ics 110 societ)' ca11 exist. Each 011e of LlS l1as icleas abo11t vl1at is good a11d \vl1at is evil; tI-1ey can11ot be l<ept private fro111 tl1e society i1 wl1 icl1 we live. If 111e11 a11 d \V0111e11 try to create a society i11 \vl1icl1 tl1ere is ro fL111dan1e11tal agreen1e11t abot1t good and evil tl1 ey will fail; if l1 aving based it en_ com!11011 agree111er1_t, tl1 e ag�eeme11t goes, tl1e society will disi11 tegrate. for_ so_c1_ety 1s 11ot s0111 ethi11g tl,at 1s l<e1Jt togetl1er physically; it is l1eld by the 111v1s1ble bo11cls of _co111111011 tl1ot1gl1t. If tl1e bonds were too far relaxed tl1e 111eD1bers woL1ld drrft aJJart. A con1111011 111orality is part of tl1e ho11clage. Tl1 e bonclage is jJart of tl1e JJrice of societ),;

44.

IN1RODUCTION

. . . . e c ri JJ s it y a }J st u 1n , ty ie c so s d e e 11 1 I c ,i I , ,x " , a11 cl 111anl<i11d 1g i1 d en nt co t in 1a tl � 11 10 o t? _ r fa le tl 1 1 lce ta re e v a_ 1 I· is I t 1a tJ < tll ,i tl ) a, in t Ot . eo1Jle would re a fJ t os 1n l1 1c 1 l 11 1 w 0 1t os op 'Jr a ly y, di 1t al or n1 lic tb jJt t}1e ne xt qu estion S SllC I1 Va tl ll llg as llS SC di to ne ti1 tle lit o to lf se 11i ft le y Ve a Il ' a m · d tl a , y t e 1J _ acc · \VJ 1 1 a t e xte1_ 1 t shouI ct society o · . t y It 1 1 ct · d 'ff 1 r e t a e · e g s 1 t ca _ 1 nay ls 1c j 1 1 1 1 1y a 1 1 1 1 to li wl,ic e tl1 at tl1e answer to the ev li e b t I tt B ? 11 ts � 11 1 · g �d Jt l ra 1o n . s it e rc fo n e to I X \' la e i tl use e b ld ro u p o p a_ a sh d 11 e co s d e ie tl �l 1 1 1 cl l \V d 1 n �n y la \X 1e l t s 1e 1 i 11 _ r1 e t e d i, � firs t qties tio e co11d q�1est1011. Ir socie_ty s 1e _ tl to r �e S\ 1 a1 1e tl te ta _ ic d n,ay ii ,cleed ver y 11ear ly 1st t111 d some �fJe� ial t 1n w la l1� , _ ls r� 11o 1 01 s :t e1 111 lias no riglit to 111al<� Jttclg fi eld of 11101 al 1ty�: 1f l1om ose x al1 ty and prost1tu�1011 1e tl · 1g r11 te 11 e r fo i, � tio ca jtistifi Iy n t o _ e ea tl1 cl ry i vg ve ts la\ s 1t1 r ?1 ve e tl1 1 e1 1 tl 11g ro . \X1 s e lv 1 e ns 1 1e a·re 110t ii1 tl ify to st e excep­ n_ Ju tl1 e1 th of s ct pe as 1 11 a rt i:e st 11 ai ag w la \Xllio \xrarits to fr a1ne a t en m d dg a an Ju <e s al 11a m to it 1t gl ri e tl1 s l1a y et ci so if t 1 Bt t. 1 r 11e 1 at e tr tio11al ci e ty as, s ay, a so to y ar ss ce ne as is ty a.li or 111 d e g 1iz 1 co e r a 011 tl1e basis tl1at v er e m?ralit.}' in �s to pr v la\ l1e t _ e us ay m ty cie so 1 e1 tl1 1 t, 1e1 1 recogi1ized gover1 n 1 s esse11 t1 al to its at tl1 e els 11 ng tl , ) 11 a d ar gt1 e f sa to it es 1 s 1 it t 11e sarne way as d l1e lis th \vi tab all es ly its re 1 ct se is 1 1 o iti os o1: JJr st fir e tl1 e r fo e er 1 tl If e 1 1 c existe . 1 t to legislate agai11st immorality l rig e th s l1a t)' e ci so e i fac 1a 11 i JJr , 1s 1 tio i 1111)l ica as sucl1 .. .. l to its tl1e tica lim ore the set to le sib pos 11ot is it t , tl1a e for e r tl1e 1I<, l 1 1i t l iJO\Xle r of tl1e State to le gislate aga11st immoralit)'· It is 11ot possible to settle i11 adva11ce exce 1Jtio11 s to tl1e ge11 eral r t1le or to defi11e i11flexibly areas of 1norality i11to \vl1icl1 tl1 e la\xr is i11 110 circt1111sta11ces to be allowed to e nter.Societ)' is e11 titl e d b, 1 111ea11s of its la\vs to JJrotect itself frorn da11 ger s, wl1etl1er from \Xtitl1i 11 or \xritl1 out. Iier e agai11 I tl·i11 l< tl1at tl1e fJOlitical JJarallel is legiti1nate. Tl1 e la\v of treaso11 is directe cl ag·ai11 st aidi11g tl1e I{i11g·'s e11e1 11ies a 11d again st seclitio11 fro111 \xritl1i11.TI1e j11stification for tl1is is tl1at establisl1ed aovern1ne11t is 11eces sary for tl1e exis te11ce of societ)' a11d tl1erefore its safe ty agai11st viole nt over tl1ro\X1 111 11s t be secL1red. Bt 1t a11 establisl1ed 1norality is as 11 ecessar1, as good gover111 11 e11t to tl1e \Xlelfa re of s ocie ty. Societies disi11te g·rate fron1 witl 1i11 1nore f!·eqt 1e11tly tl 1a11 tl1ey are br ol<e11 Llp by exter11 al fJress11res.Tl�ere is disi11tegra­ !1011 \Vl1en 110 comn1�11 111orality is obse r\re d a11d I1istory sl1 0\XIS tl1at tl1e loosen­ ! 11 g__ �f n1_oral b?11cls 1s ofte11 tl1e first state of clisi11 tegr atio11, so tl1at society is JL1s t1 f1 ecl 1_11 tal<111 g tl1e sa111e s teJJS to fJreserve its 111oral code as it does to preserve its gover11,111 e11t �11 cl otl1er esse11tial i11s titt1 tio11s.Tl1e SllfJ jJres sior1 of vice is as inttcl , tl 1� la\xr s b t1s1 11ess as ti,� SLif) IJressio11 of st1bve rsive activ ities· it is 110 11 1ore p _ ossible to d_efi11e � �[Jl1ere of JJr ivate 1 11or ality tl1a1 1 it is to define 011e of !JI 1vate st1bvers1ve act1v1ty.... 1_ 11 \X1_l1 at ci �u111sta11ces tl1e Stat<: s l1ot1Id exe rcis e its IJO\xrer is tl1e t11ird of ti� ter1 ?gato1�ies I l1ave f�·a11 1ecl. Bt1 t before I in JJ a I g· e rais t e O to 111us t t it . � �;; ,x l i. 1�11 gl1 t l1ave bee11 b1o t1gl1t lljJ 111 a11y o1 1 e of tl1e tl1 ree J-lo\XI are the · · 10\xr, J ca 1101111al Jttcl 0·1ne11 ts of s ocie ty. to be_ ·:i�c_ei·tait· ie ct? .By _ leav · · 111g 1 t t11 1t 1l 1 · . � asl< it i11 tl�e 111ore liiiiited. foi n, tli:tt is 110\V SL1ff , J e . - Io x,r s 1c 1e11t for 1ny fJLl'"IJo • is the 1 a\v1 · lgii1e11 ts . 11 a 1<er to ascer ta111 tI1e 1not·al JlIC t 110 )' l e 1 r st of is It societ),·? · · e11ot1gl1 tl,a' t tl,ey sl10111 c 1 b ' e r. eac. l1ed by tl1e O fJ1111 • · 011 o f· t} 1e 1na1or 1t),; 1·t \X'O uld be too 111 t1c11 to re Ltire t ,e 1 11 �tvid . ual as �ei,t of ev er �as ,v i Ja 1 l 1gl ) ' is E cit ize 1 11. evolvecl a11d regttla�I · Ltses stai,clar ct 1g ! unt I \Xlh tcli co do es 1:o 1e t l 011 t de _ JJ e 11d of tl1e _l,eacls.It is tliat of tl�ee; easo iti \ lab le 1�1 a11 . d I-I 1s e 1s 11o 11 ft co t b e to � . V � tl1e r at1011al rna11. J -Ie is iiot � Je te � 1ne11t 111a), be lar gely a 1,,atter r 1 f. t? 1 e�s o11 a b ?t1 t a 1 1ythi11g a11d 111s . Jtrd� _e_e ing. It IS tl1e v1e \V[JOi11t of t}1e ma1 1 ,11 the street - or to ltse a11 arcl1ai ( s111 fa,1. 1 1 tl ;l r to all Ia\X')'e rs -tl 1 n Jlia Cl af i 1 e n1a 11 1 1 t l 1e

;

SCOPE OF PENAL LAW

45

omnibt1s= He migl1t also be called the rigl1t-1ni11cled 1na11.for 1ny IJt1r1Jose I sl1 0:1Id like to call l1im .tl1e ma11 i11 tl1e jtry box, for tl1 e 111oral j11dgn1e11t of society m�st be some�h1ng _abo11t \vl1icl1 a1y t\velve 111e1 1 or \V0111e11 dra\v11 at ra11dom m1gl1t after d1sc11ss1011 be ex1Jected to be 1111ar1in1011s.. .. · · · Bt1t -:-- and tl1is brit1gs n1e to tl1e tl1ird q11estio 1 1 - tl1e i11dividt1al l1as a l�ct1s sta11d1 too; l1e ca1111ot be exJJecte:i to st1rre11der to tl1e jt1clg·me11t of so�1�ty tl1e \Vl1ole condt1ct of his li·fe. It is tl1e olcl a11d fa111iliar qt1estio11 of str1k1ng a bala11ce bet\xree11 tl1e rial1ts a11d ir1terests of society a11cl tl1ose of tl1e .:::. i n clividt1al.... ... Tl1ere mt1st be toleratio11 of tl1e 11 1axi 1 11t1111 i 1 1diviclt1al freectc,111 tl1at is co�1si �tent witl1 tl1e i11tegrity of society....l11 all n1atters of co11scie11ce tl1e JJr 1 11c1ple I h �ve stated is ge11erally l1eld to IJrevail.It is 11ot co11fi11ecl to tl1ot1gl1t and speec�; 1� exte11ds_ to _ actio11, as is sl10\v't1 b.>' tl1e recog11itio11 of tl1e rigl1t to C?t1sc1en�1ot1s ob1ect1011 i11 \var-ti111�; tl1is exar111Jle sl10\x1s also tl1�lt co11sc1e11ce will be res1Jected eve11 i11 ti 111e; of 11atio11al da11g-er. �fl1e 1Jri11ci 1Jle a[Jpears to 1ne_ to be (JCCL1liarly a1JI)ropriat( to all qt1estio11s of 111orals. Notl1i11g sh�ttld be pt1111sl1ed by tl1e la\'<' tl1at does rot lie beyo11d tl1e li111its of tolerclr1ce. It 1s not 11early e11ot1g·I1 to say tl1at a maj)rit)' dislil(e a [Jractice; tl1ere 111t1st bi� a real feeli11g of reprobation.Tl1ose \vl10 1re dissatisfied \Vitl·1 tl1e 1Jrese11t !a,x; on ]1on1osexttalit.>.r ofte11 say tl1at tl1e op1Jone11ts of refor1n are s,,:vayecl sii11 1Jl}r l)�l disgt1st.If tl1 at \Vere so it \VOLtld be wronr, bt1t I clo 11ot tl1i11l< Olle ca11 ig11ore disgt1st if it is dee1Jly felt a11d 11ot ma11t1fa:::tured.Its 1Jrese11ce is a good i11clica­ tion that tl1e bottncls of toleratio 1 1 are bei:1g reacl1ed.Not ever;rtl·1ir1g is to be tolerated. No society ca11 do \xritl1011t i11tol�ra11ce, i11dignatio11, a11cl clisgL1st; tl1ey are tl1e forces behind the n1oral la\v, and ii1deed it ca11 be argLtecl tl1at if tl·1ey or so1netl1ing like the 1n are 11ot prese11t tl1efeeli11gs of society ca1111ot be \xreigl1t}' enot1gl1 to cleprive the i11dividual of fr�edo111 of cl1oice.... Every r11oral jt1dg1nent, t111Iess it claims a clivi11e sot1rc�, is si1111Jly a feelir1g tl·1at 110 rigl1t­ minded man cot1ld bel1ave in a 1 1y otl1er \xray \vitl1ot1t acl111itti11g tl1at l·1e \xr,1s doi11g wrong.... Tl1ere is, for exa1111Jle, a ge11eral abl1orre11ce of l10111osext1ality. We sl1ot1lcl asl{ ourselves i11 the first i11stance \vl1etl1er lool<i11g at it cal111ly a11d dispassio11ately, we regard it a� a vie� so abon1ina�le tl�at its. rnere 1Jr�se11ce is a11 offence. If that is tl1e gent1111e feel111g of tl1e society 111 \Xtl11cl1 \Ve live, I clo not see how society can be de11ied tl1e right to eradicate it. . . . ... Tl1e bottndary betwee11 the crim11al law a11d the 111oral la\\l is fixed by balanci11g i11 tl1e case of eacl1 particular crime a11d _[sic] r�ros a11d co11s of legal e11forceme11t in accorda11ce w1tl1 .tl1� sort of co1:s1�erat1011s I l1ave bee11 outlining.The fact tl1at adultery, for11 1cat1on, a11cl _ lesb1a111sm are t111tot1cl1ed by the crimi11 al Jaw does 11ot prove that l1omosext1al1ty ot1gl1t 11ot to be to11cl1ecl. T1 1e error of jt1ris1Jrt1de11ce in tl1e . Wolfen:le_n. RerJort is cat1?ed by t\1� se�rcl1 for some siiigle pri11ciple to ex1Jla1n tl1e cnyis_1011 betwee1! cr1111e a11d s111. �l1e Report fii,ds it in the [Jrinci1Jle tl1at .tl1� c��m111a! law exists for tl1e J?rotect1011 L of i i,dividuals; on tl1is [Jrinci1Jle forn1cat1011111_ 1Jr1va!e bet\ve_ei1 co11se11�111g adttlts is o11tside the law a11d tht1s it beco111es l)gtcally 1ndefe11s1ble to br111g· l101no­ sexuality betwee11 consenting adttlts i11_ private w:itl1in it.Bt1t tl1e trt�e 1)ri 11ci1�le is tl1 at tl1e law exists for tl1e JJrotect1011 )f society. It cloes 11ot d1scl1arge its functio 1 1 by protecti11 g tl1e individttal fron· i_11jt1�y, _ a1111oya11ce, corrt1ptio11_, a11d ex1Jloitatio 1 1; the law must fJrotect als? tl1e 1 11st1tt1t1011s a11_cl tl1e co111111L1111ty_ of ideas, political a11d moral, witl1ot1t _wl1� c!1 Jeo1Jle ca1111ot live. togetl1e!·· Society cannot ignore tl1e morality ?f tl1e tt}d1v1d_t al _a11y more tl1a11 1t ca11 111s loyalty; it flot1risl1es on botl1 and w1thot1t e1tl1er 11 dies. •

IN"fRODUCTJON

46

'

I1\'1!V\ORALll�Y AND l�l{EASON4 J-1. �- A. llart

11 d Prostit11tio11 recoin­ � es 11c ffe O 1 al 1 ex os 1 1 o1 l J1 01 ee Tl e \Y./Ol feii cle,, C oi n111 itt to 1 that l10111osex11al bel1 av1or be t\vee11 co11se11ting � b a i a· · 0rity of 12 111e1 1 c l. e. e's tl f 1 e o 11 e Co 1 . 1ce __ nn 1 1 fe 0 of e i l 1 itt 1a 111 i cr a be . . - · . . )' JVate, , Jsl,otil d 1 10 loriaer ac1 ll· 1 ts· I Tl !)I 111 1 t s 1 e 1Jo1t 111 thi s ct se es 1 p ex as \V 11 1 0 at e nd 1 1 n1 1 co re 1is .. i 01111 cls for tl g 1 1Ja c1 1 1 1 1Jr · · � 1· n 1 al·t 1 >' \VI11c nor cl 1 ., · . a1 · t )' 1 1 ] a 01 1 111 111 e at 1v . JJr o 1 al 11 e r a 11 i f 1a 1 e1 '' r --.: � �y . . Tli e e niust 11 s tl1 e lib e ral !J oint tl ll ca l al 1 sl I ." ss i 11e 1s b1 s w' la e t]1 t b 1 1e f a11 d cri 11de te1-111 5 1·s 110 · f I 1'b e ra I t I 1oug11t I · J o _ es � c1J 111 r IJ_ · er ct 1 e w os 1 tl f n o o i at lic JIJ aJ ial ec SjJ of vie\v: for it is a 11 L1 be r_ty .�\ 1 11 s ��ost fa111 0 11s 0 y ssa e l1is 1 1 i cl ate l 11 J 11 1 for ill JV\ \Vllicll Jo 11 1 Stti art 1 tte e s \X1e1 e. 11 n1 1 Co 1 1 de 11 lfe o W e 1 11 tl a 1 tl Js a1 1 r1 JJe \vords, less cautio11s Tl,e 011Iy jJ11r1Jose for \xrl1icl1 power_ ca11 b_e rigJ-�tfullf e:eercised over a11y 1 11ember of a civilized con11 n11111_ ty aga1 11st_ 11 1 s will 1 to . pre ve11t � 1 ar1 n to otl1e r s. Iiis O\vt1 goo cl, either JJl1ys1 cal or 1 no1 al, 1s not a , 1 t \xrarra11t. I-le ca1 1ro t rigl1 tf11 11y be co111pelled to c lo or for­ sufficie1 bear ...because i11 tl1e o pi11io11 of o tl1ers to do so \vould be \Vise or eve11 rigl1t. C,

'

•

•

Tl1e liberal IJOi11 t of \1i e \v l1 as often bee11 attacl<ed, botl1 before a11d after lv\ill.I sl1all ciisc11ss l1 ere tl1 e re1Jt1diatio11 of it 1nade by Sir Patrick Devlin, in l1is rece 11 t lectt1re, \vl1ic l1 I1as 11 0\v bee11 pt1blisl1e d ....

... Mill's for111t1latio1 1 of tl1e liberal poi11t of vie\v may \xre ll be too sim(Jle. 1'11e grot111 ds for inte rferi11g \vitl1 l1u111 an libe rty are 11 1ore vario11s tl1a11 the s i11 gl e crite rio11 of ' l1 ar1 n to otl1e rs'' s11ggests: cr11 elty to animals or o rga11izing 1Jrostit11tio11 for gain do 11 ot, as Mill l1i111 se lf sa\xr, fall easily 11 nder tl1e descri1J­ tio11 of l1ar111 to otl1e rs. Co11 verse ly, eve11 \Vl1ere tl1ere is l1ar1 11 to otl1ers i n tl 1e 111 ost lite ral se1 1se , tl1ere 111 ay \vell be otl1er JJri11 ciples li1niti11g tl1e e xtent to \v'l1icl1 l1 ar111 f11l activities sl1011Id te re presse d by la\v. So t l1e re are 111ulti1Jle criteria, not a s�ngl_e crite rio11 , de te r:11 i11i11 g· \vl1e11 l1 111 na11 liberty 111ay be restrict­ ed. Perl1a1Js tl11 s 1s \vl1 at Sir Patr:clc 111ea1 1s by a c11 rio t1 s disti1 1ctio11 \\7l1ich l 1 e o!t�� stre ss �s bet\ve�11 tl1eoretical a11 cl /jJracti cal li111 its. B11 t \vitl1 all its _ s1 111pl1c1t1es tl1 e liberal po111 t of vie\XJ is a be tter 0· 11ide tl1a11 Si r Patric!< to clear tl 1ot1gl1t i11 t l·1e jJro1Je r relatio11 of 1 11orality to tl-1� cri111i11al la\x,: for it stresses \Vl1at lie obsc11re s - 11a111eIJ,, tl1e poi11ts at \Vl1 icl1 tl1 011 c0·} 1t is 11eeded be fore \YJe t11 r1 1 !)O(JLtlar 111 oralitJ, i11to cri111 i11 al Ia\v. . N_o _dottbt w_e \�Otrlcl _al l a_gree tl1at a co1 1se ns 11s of 11 1oral o pi11io11 011 certai11 1natte1s is esse11 t1al 1f soc1etJ, 1s to �e \Vortl , Iivir ig· ii i. La\XJS agaii1st m11rder, t�1_eft, a11cl_ _ 1 n11cl1 e lse :v�11ld be of l1 ltle ttse if tl1ey \xrere 11 0t SLljJported by a ,v1del)1 _ d1ff11�e cl co11 v1�t1011 tl1 at \vl1at tl1 ese Ia\v'S fo rbicl i als im inoral. So o 111 11cI 1 is obvio11s.B11t it does 11o t follo\v tl1at everytl1 i11 0· s i cl1 tl 1e 1n oral to \X1l i vet es of ac��J)�ecl_ 111orality attacl� i� o f eq11 al i 111 1Jorta � 1;c e to societ),; 11or is _ t� e� e tl1� sl_1 gl 1test _1 e aso11 fo r_ t l1111l•.11_1g of 111 orality e b: one as \xr at a : nl e es s s 1 \X 11 cl, \v� ll fall to I Jiece s ca rry111 g society \v'it l1 it, 1111 less all its e n11Jl1ati c vetoes re e ,,f 01 ce d �y la\,'. Sttrely e ve11 i11 tl1e face of tl1 e 111 oral f eeli11 0· tl1at is UIJ f0 oii ce rt iJttcl 1 t l1e trio of i11:ole ra11 ce, . e \Y/ i11 di o·11 atio11 a1 1st � di s ar id ' 11 L1 5.. IJattse to tl1 111l<. VI.le 11111st asl< a q11e stio11 at t\;O diffdre11 t leve ls �x,l1icl1 Sir pat1 1 c1 < 11ever clearlJ' e11ouo·J1 1·cleii t'1 . tl1 er a l)ractice \X:lli cl , o ffeOncls 111 · .f es _ or_ se 1J�rates. First, we 1nt1st asl< \X1I:eoral f e el111 g 1 s l1 arn1 f11l, i11 de1Je11 de1 1tl y of i ts 1

O

62 Lislener 162-163 (.J u.l y 30, 19 59).

SCOPE OF PENAi_ LAW

47

re1Jerctissio11 011 tl1e ge11eral 1noral code.Seco11clly, \x,l1at about re1Jercussio11 011 tl1 e m_oral_ code? Is it really true tl1at failt1re to tra11slate tl1is item of ge11eral mo�ality 111to cri1ni11al la\v \x,ill jeopardize tl1e \vl1 ole fabric of 1norality a11d so society? \Y/_e ca1111ot esca1Je tl1i11l<ing abottt tl1ese t\vo cliffere11t qt1estio11s tnerely by re1Je�t1ng to _ot1rselves the vagtte 11ostrL1111: ''Tl1is is part of IJLtblic 111orality a11d fJublt c �noral1ty 111t:st be JJreservecl i·f society is to exist." So1neti111es Sir Patricl< seen1s to _admit this, for l1e says i11 \Vords \Vl1icl1 botl1 Mill a11cl tl1e Wolfe11den �eport n11gl:t l1ave t_isecl, that tl1ere 111t1st be tl1e n1axi1nt1i11 res1Ject for i11diviclt1al liberty cons1ste11t \'v1tl1 tl1e i11tegrity of society. Vet tl1 is, as his co11trasti11g exa11:1ples of. for11icatio11 and l1on1osext1ality sl10\v', tur11s out to 111ea11 011ly tl1at tl1e 1mmor�l1ty :Vl1ic!1 tl1e la\'<I 111ay JJt111isl1 n1t1st be ge11erally felt to be i11tol­ erable. T!11s pla111ly 1s 110 adeqt1ate sttbstitute for a reaso11ed esti111ate of tl1e damage to the fabric of society lil<ely to e11st1e if it is 11ot sUJJ!Jressed. Notl1ir1g_ fJerl1arJs sl10\VS 111ore clearly tl1e i11adequacy of Sir Patricl<'s aJJ­ (Jroacl1 t_o tl11s !J roble1n tl1a 11 l1is coinpariso11 bet\vee11 tl1e SUJJJJression of sexLtal 1n11n_oral1ty. a!1d t_l1e SLIJJJJression of treaso11 or sttbversive activity.Private st1b­ vers1ve act1v1ty 1s, of co11rse, a co11tradictio11 i11 ter111s becaLtse 1 'subversio11'' 1neans overtl1ro\vi11g gover11 1ne11t, \vl1icl1 is a JJLtblic tl1i11g. But it is grotesqtte, eve11 \'<ll1ere moral feeli11g agai11st l10111osext1ality is ttJJ to co11cert pitch, to tl1ink of tl1e 110111osext1al bel1avior of two adults i11 JJrivate as i11 a11y \vay lil<e treaso11 or seditio11 eitl1er i11 i11te11tion or effect. We ca11 1nal<e it seem lil<e treason 011ly if \Ve asst1me tl1at deviatio11 from a ge11eral 111oral code is bot111d to affect that code, a11d to lead 11ot 1nerely to its n1oclificatio11 but to its clestrt1c­ tio11. The a11alogy cot1ld begi11 to be JJlausible 011ly if it \x,as clear tl1at offe11d­ i11g agai11st this item of 1norality was lil<ely to jeo1Jardize tl1e \vl1ole strt1ctt1re. B11t we have an1ple evide11ce for believi11g tl1at JJeople will 11ot aba11don 111or­ ality, will 11ot t11inl< a11y better of 111t1rder, cruelt)', a11d disl1onesty, merely because some JJrivate sext1al JJractice \Vl1icl1 tl1ey abo111i11ate is 11ot JJL111isl1ecl by the law.... Sir Patrick's doctri11e is also ope11 to a \x1ider, JJerl1a1Js a deeper, criticisn1. In l1is reactio11 agai11st a ratio11alist's 111orality and l1is stress 011 -feeli11g, lie l1as I tl1i11k tl1row11 ot1t the baby a11cl l<erJt tl1e batl1 \vater; a11cl tl1e batl1 \Vater may tt1r11 0L1t to be very dirty i11deed.Wl1en Sir Patr�cl<'s lectt�re \'<las first cleliv�r_ed The Times o-reeted it \v'itl1 tl1ese words: ''Tl1ere 1s a mov111g \'<lelco1ne l1t1m1l1ty in the conceJJtio11 that society sl1ot1ld 11ot be asl<ed to give its reaso11 for re­ fusing to tolerate \v'l1at i11 its l1eart it feels i11toler�ble." T11 is dre\xr fron1 a correspo11de11t in Cambridge the retort: ''I am afraid tl1at \Yl_e are le�s _ 11L1111ble tha11 we used to be. We 011ce bttrnt old wo1ne11 becat1se, \v1thot1t g1v111g otir reasonsI we felt i11 ot1r l1earts tl1at \x,itchcraft \vas i11tolerable." Tl1is retort is a bitter 011e, yet its bitter11ess is . saltttary. \V/e are 11ot, I st tpfJOse, likely, i11 Engla11d, to tal<e agai11 t? !l1e b�rn111g of olcl �xron1en for witcl1craft or to jJt111isl1i11g jJeople for assoc1at111g w1tl1 tl1os_e of a drff� rent race or colot1r, or to fJt111ishing people agai11 for _ adultery. Yet tf tl1ese th111gs \ve�e vie\xred with intolerance, i11dig11ation a11d d1_sgt1st, �s tl1e s�co_11cl of tl1e1n. still is in some cot111tries it seen1s tl1at 011 Sir Patrick s 1Jr111c1ples 110 rat1011a1 criticism cottld be opJJosed to tl1e claim tl1at _tl1�y sl1ot1ld be IJL1n�sl1ed by la\x,. We cottld only pray, ir1 his \vords, that tl1e I11111ts of tolera11ce 1n1gl1t sl1rft. It is impossible to see wl1at curiotts logic has l�d Sir Patric!< to this rest1lt. for l1im a practice is immoral if tl1e thot1ght of it mal<es tl1e ma11 011 tl1e Clapham om11ibt1s sicl<. So be it. Still, \X,J·1y sl1ot1lcl \Ve 11ot st1m111011 all tl1e 1

48

INTRODUCTION

. al ic as it cr I el \V te in · as 1a 1 11· 1 1ge d 11 ta ·s ei d bl 1 . !1ce u1 1c t . 1e l t • _· • Ja 1 11 sy . 1, o1 as . re r 1 0L 1 ce of L1r so • re s w l na e ii la , t is lt 11 1 t _ 1t g _ ee a11d �11sist tl 1at be_fore ge 11er_�l . 1�oral _f l fi _0111 _Sir P a� ridQ �� .i���\ Y, tl1e leg _i 111cl l( is­ 1t e1 1 fe 1r d a f o 1y 11 1t rL sc to d Sltb 1111tte )er­ i 11 ig 0 e nc cl ra se , i? ba 1s su . y 1t al or rn ral 1 l ator sl10L1ld asl < wl 1etl1er tl1e g·e11e e c_ 11 n io co 1Jt e ls t 1a fa tl a 1s ho t _ re l1e t _ se r 1e l t l1e \V ; 1g 1 i 1cl 1 a st er 1d 111 is stitio11, or n1 e o ou r s da or l1 i a) ,� 5 \ t1l os r ' 1e e l X! _ o� t 1 1 1 e ar 1 tl 1e \�1l 10 1)r actise \Vl1at it co11 de11111s l an at n l(t a ac bl he ot 1e tl r , s e_ 1 e rt JJa vil 1y 1 a 111 to y er is 111 e tl1 er tl1 l1e \v nd a )'; et ci so e l 1c ia 1 _ fe �t se of _ s, r fo e ar l ly a ci pe il es \Ve , 11t 1e 111 sl i 1 11 )1 l a 1 1i1 in cr J of es 1c e 1 1 1 eq 1s 1 co s ch 11g l11 \V l11 t _ r e Si tl1 _ 11g tri 110 Pa a1 at il1 ck ry 1a 1 li rc ao tr ex l y e tr sl It is cl. oo st er 1d L11 1ty al or e 1n es 1m th t app ear 11s ·a1 ag e at sl gi le \Ve re fo be ed er id 11s sa),5 are to be co 1 ' tic re e 1eo 11_ o _ 'tl al limit s''. al t le , 11s tio ra de 1si 1 co l ica ct ra ''p as e11 ev 11'o,vliere; 11ot a.I y 1n Ia� 1 : ma r1n c _ e be tl1 at tl1 ed us rts s� as 1e, 01 1is l t <e lil l1, 1ic l w r)' 1eo l t 1y a1 To 1al 11t se 1s to es y t_ al1 or 111 society ?f _ 011 at1 erv es JJr t tl1e tl1a 11d 1 o1 on tl 1e vague gr r ly 011 rep uld ny uti sho scr al t1c cr1 be: for ed 11e tl1e ess str to 1its 011 t ye 1d 1 a ?'' 111e 11a tl1y i11 ed itt 111m co ' be y a 111 s 1ne i cr 1at l , \V lity a r Mo ' As l\.1ill sa\v, a11d de Tocq11evi ll e sho\vecl i11 detail 1011g ago i11 ]1is critical bL1t sy1111J athetic stttdy of de111ocrac)', i t i s fatally easy to co11f11se the de1nocratic 1Jri11ciJJle tl1at JJO\ver sl 10L1l cl be i11 tl 1e l1a11cls of t l 1e 111ajorit)' \X1itl1 tl1e utterly differe11t cl ai111 tl1at tl1e 111 ajority, \vitl1 !JO\ver i11 tl1eir ha11ds, need respect no li!11its. Certai11ly tl1ere is_ a s1)ec_ial. risl( i11 _a democracy that tl1e majorit)' n1ay c l 1cta_te _ 110\v all �l1011Id l ive. Tl11� 1s the r1s l� \Ve r1111, a�d shot1 l d gladly run; for 1t 1s . tl 1e _1)r1�e of al l tl 1at 1s so_ g·ood 111 democratic rule. But loyalty to · de111ocrat1c JJrtnctJJles does not req111re 11s to 111aximize tl1is r i sk: ) 'et tl 1is is \vl 1 at_ \Ve s11a l l clo if :ve 111ot1n� tl1e 1na11 i11 tl1e street 011 tl1e tOJJ of tl1e Clapharn o111111 b11s a11 d te11 111111 t 11at 1f o11 I y 11e feeIs s ic l < e11o 11 ah ab o ut \XT11at other !JeOJ)l e do i11 J)rivate to dema11d its s111J1Jressio11 by la\-v 1,; tl1eoretical criticism ca 11 be 111acle of 11is clema11d. 1

1

Problem

Co11 sider carefttll Y tl1e \Visdo111 of tl 1e foIIO\xri rig· 11)' JJO t 11etical l 1aJJJJe11i11gs: A JJ_Li_b�ic ?IJi11 io11 J)oi l is tal<_e11 \Vl1icl 1 cli scloses tl 1 a t tl1e g·reat :ire1Jo11dera11ce of Et�1101� 1a11 JJeOJJ l e feel q111te stro11gly tl1at leisure tir11e s1101 11ld be spent c111�_ t1 LI�t_ively. I_11 �11S\ver to a q11estio11 defi11i11 0· ''co11structive'' tl1e response - t ,e _gi eat 111a1orrt�>' of pe opl e i 11dicates tl1at visitir10· relat i v�s a11d aood �iscL 1ss1 0 11s_ a re co11sider ecl co11strL1ctive e11ter1Jrisesb \x1l 1ereas sci ttino·bi dly ' a11d d rean11110- or \xr a 11cl eri 11ct·' 0 · a1_.e . 11 0t · A .. �0111111 . b 1ttee of Par l ia_111ent carefL tlly co11siders tlii� pol l a,id r·111 111g it acct11 ate drafts tl1e fol l o\v111g· statt1te: 1 , 11 cl ,,idli11g dL1r i11g da;,Iigl1t l1ours i � s11bject to the ;�l �x i!��rs_�:� fo es _ � � . DLtriiig t l 1e Parlia1ne11tary clebates . . . tne lta 11tar1a11 states 111 atlS\X!er to a qL1estio11 as to tl1e llleatlitig of ''i�{ }i�;� t���r: Tl1is l a\v is 111ea11t to ao f art!1 1. ti ,a 1 s11 le 111 Jle JJe op va gr a1 1c) \x r 'a11 \V t e to be JJrodt1cti\1e. Eve 11b tl 1ose s�1 1de�,� r s �ette Lt!J at tl1� U l1ad 1iversity 1 11 ot be jL1 st stai,cli i ,g arotttld bet\ 1 ve ei� cl a ss es l-i if t e y re 11ot l1 av111g a dece11t disc11ssio11 or t l iey,d bet ter \vatcl1 011t. Tl1e. tn e111bers of botl 1 l1 ot1ses . se e 11 1e d to \ie be 111 ab o ag sei,t1111e11t. T l 1e 11e\v l aw is so · r ee 1e n1 e11 1 t t l \x r it l . ea fter ti �[JJJr oved b� I-Iis I1111Jerial Maje st)' ai 1 d dLi l y J)ro1nL1l gatecl i11 tl ie �� 0. ;�i� O azeta by tl1e Ivl1 11ister of Pe11. 0

49

SCOPE Of P[NAL LAW

NOTES I CONSIDERATIONS POSSIBLE LEOISLATI\E Note 1:

Public Opinion Tl1e Ne\v I-Iave 11 Eve 11ing Register5

I-lomo-sexttality is a disease. Most fair-n1i11ded persons, \Ve are snre, \Vould be swift to agree tl1at it is. as a disease alone B11t, for the JJrotectio11 of society, it ca11 11ot be reaarded O n1t�cl1 as \Ve 111igl1t lil<e to clo so a1 1d be11eficial as st1cl1 an attit11 de 1nigl1t t1lt1mately become, \Vere cornJJlete a11d foolproof facilities available for treat­ me11t and rel1abilitation. So, l·1on10-sex11ality m11st be Iool<ed ttfJOtl as a disease- a11d as a crime, J

too.

We thinl< tt1at, l1ere agai11, n1ost fair-mi 1 1ded JJerso1 1s \viii be fo11ncl i11 agree1ne11t on this score. In I-Iartford rece 11tl)' Judge Eln1er Rya11 of 011r city \vas l1a11clli 1 1g a le\vd11ess case. 1 11 sente11ci 1 1g the per1Jetrator of the act at iss11e lie decried a gro\vi11g movement agai11st co11sicleri 1 1g l1orno-se:xt.1ality a cri1ne. We j oin hi 1 n i 11 11is vie\v'. Judge Rya 11 was S\vift to 1nal<e l<11ow11 his opi 11io11 tl1at he did not ex1Ject jail to rehabilitate the l101no-sex11al or t'1e degenerate. We agree, I 00 per ce11t. But, in imposi11g a jail se 1 1te11ce, l1e e1111Jl1asized l1is co11viction that i 1 1divid­ uals sucl1 as tl1ese ca 11not be allo\ved to roan1 free, to JJrey 11po1 1 a11 t1ns1 1 spect­ ing society- or \Vorse yet to JJrey 11pon the yo11ng, tl1e i 1111ocent, tl1e l1elpless. \Vitl1 Judge Ryan \v'e entertai11 tl1e hope tl1at altl1ough jail ca11not s11ccessf11lly rehabilitate it can sta1 1d as a restni 11i11g· influence, a deterre11t. It is eleme11tary fact tl1at a ma11 ca1fi 1 1ed to a pe11_al i11stit11tio11 cannot at the same time be roami11g abroad, a 111enace to society, to clecency and to himself. Of co11rse, it probably would be n11cl1 b_e!·ter_ if \Ve 11ad adeq11ate l1os1Jitals, trai1 1ed a11d eq11ipped for treatme 11t a 11d rel1ab 1 l1tat1on ... as well as a JJlace for enforced confine1nent. But those thi11gs we clo 11ot have tn\v. And there is no prospect that they will be soon at hand. This bei11g so, where tl1e laws o= tl1e State - a11d as Judge Rya1 1 com­ mented 1 where the basic law the Ten Commancl1ne1 1ts - are breached, \Ve must fully utilize our jails 'to prote:t society ·from sucl1 as tl1ese, and to protect tl1em, too, from their ow11 ills tncl weal<t1esses. 5.

Editorial, A Disease, A Crime, New Haven E'll!ning Register 24 col. 2 (Sept. 24, 1957); 111t1cl1 of tl1 e material in these notes is derived from D0111elly et.al., Criminal La,zv pt. 3 B.

INTRODUCTION

50

Co11e11 ,

1g 1 1i i1 ta r e c s A , s te a 1d B a 1 n Robse 6 y it 11 u r11 Se11se o f t l.1e Co1n

tl1e /\/\oral

y it is 11 e leva11t to L1 r _ m m o c e 1 t] f o se 11 se l a cr 1 e 1n tl f o 1t e1 11 1 1 1 ai rt e c as If tlie e r to _ consider or as a l( a 1 1: w la 1e r tl fo 1 1 r1 o 1_ 1 a s a r e _ l1 it e , ss e c o Jr · ig i {i 1r 1 tt c til e la\vi nal Je e, to liunch 11 o to c tt Ie e b t o 11 d e 1e 1 1t : 1a tl w ie v r L1 0 is it \v o ll fo to 1 r1 1 11 0 l� 111ore reliably L1 o c _ es u iq 1 11 cl te e c n ie sc al �i so n 1 11_ode: t 1a tl d 11 'a , 11 io it Li it i i to or e rs1ty of Nebraska 1v 11 U e th m o fr rt o Jp tj st al c1 f 1 nan l1 1t W <. sl ta e 1 tl r fo d e z li ti u be e ly. It \Vas ou; et cr r1 co is th te ra st 11 o m e cl e ct tG j ro p t lo Ji a ! k o o rt e d ri u e w d �y se a u _ \v n1 w no la is n �a tl rs d ke 1o tl e 11 1 le �b li re e er m a p lo !)LirjJose (I) to deve 1 s metl1od, to tl1 l1 1t w ) (2 ; 1 ty 11 11u n1 1 co 1e tl o� e 11s for 1 neas11ri11g tl1e n1oral se l 1e tl ga at le th rs (e al m is rn \v la no by e l ac m n te of n io pt 111 su as test em1Jirically tl1e 1it u1 e m th m of (3) y; co e 11s se al or 1n e 1 tl 1 itl w y 11 o rm l1a 1 i 1 tl1at tl1ey establisl1 are ' s it) l1a ttn m a n1 co e ral th mo at tl1 w e vi d s� es Jr xJ e tof e tl1 l)' al ric to test em1)i ge ro te e is l1e er tl1 it)' , ne re l1e \V d an if, ) (4 ; es 11s se al or 111 nJ' ma 1_ 1 a tl1 er ser1se, ratl1 le op ng pe of ldi fJS I1o oLl gr r l1e 1et \vl n tai er a;c to y, nit 1u 11 'com e tl1 of val11es i1 1 r efere1 1ce to ' b) ied tif en id be dly oa br uld co s l11e va of ts se e sam rougl1ly tl1e e tc.; an d (5) if it is , n1e 1co i 1 1 , o1 igi rel , age as ria e t cri 1t 1 de 1 e1 e1J i11d SL1cl1 otl1er r tl1 e ]a\xr coincides e l1 1et wl 1 1 ai ert asc to , nJJS gro l1 sL1c ish g11 ti11 dis J)Ossible to , a11d ity also u11 nm co1 tl1e in S ttfJ gro cl1 1 st by d l1el s e 1 L1 val e tl1 \x itl1 atl )' of \vl1etl1er tl1e la\xr ge11e_rally tends to coi11cide 1 nore co11sistently \Vitl1 the values of 011e grottJJ tl1 a1 1 \v1 tl1 tl1ose of otl1ers. Note 2: Causation and Treatment • •

Bowma11 a11d E11 gle, Sexual Deviatio,1 7

'fl,� �auses of liomosex11ality are not trnd erstoocl. S01n e i 11 vesti 0o-ators recr.:::.ard · · 1 or alm t h 11 tl1e dev at1011 as \Vl1olly os w o Y const1tL1t1011al a1 1d JJl1ysiolog·ical, even 11o�g_l1_ tliese aspec_ts ai__ e 11ot at IJrese1 1t de111 011strable . Otl1ers co1 1sider tl1e �evi ti 11 t_ o be I)r _n!ari I_ y JJS):cl�ic, cne of retarde d e1 notio1 1al de velo1J1 ne11t or l i o11111g· \Vttli,11 a fan1ily sitt1atio11 �S)'Cf10f°g ci aI coiidtt of fJare11tal reJ· ectio1{ or 1 eversa of tl1e pater11al a11cl 1 nater11al roles. 1 Treat111e11t \Vith sex l1ormo11e s !·as 11 O �ffe_ct. 011 ho111 osexL1al1ty, except for Jioloo·ical e ffe ct 1.11 ti1e 111d1v1 dual case. Ad111!1· 1!s · a JJOssible JJs,,c f o 11 !0 t· t ra J . . • e st1 oge11s to inales \xrtll de crease· ti�eii. sex, di_.i v_e ,_ a 1_1d adn1111 1strat1on ? f a11 drogens to females \X,i]I LISLtall (J1 _od11ce �11asct1l1111 zat1_or1 ; bL1t a11drog·�ns in large doses \Viii i11crease sex cleiir 1.�1 tli_e r:e1 11ale a11d 111 so1 ne cases 1n the male . Psycl1otlieraJJ)' ancl JS clioariale 1 t1 e_a 111e 11t l1ave b e e1 1 su g ge sted to o, t � {.� c � l t 1 L � _ � ery fe\xr i1n1Jrove n1e 11 s 1ave b 1�1Jo1 ted: It 1 11a)' , l:O\xr e ver, l1el1J some 111cl1v1dL1 als \Viti, a111bivale11t drives to atta,ii lie tei osex11al adJust1 11e11 t, si11ce tl1 e)' are 11ot con1pletely se t ao-aiii st it· i'·and_ 1·t. 1 a� li el1J tlie l101 nose stancl u11de r xt1al to . arid acceJJt l1is co1icliti�,� aiicl td \VI ;;1 1 t, as f ·etid IJOi11ted out, altl10L1gl1 it ! does 11ot alter l1is conclition. 1 11 till�<: s eii �e, SLtcl1 ti eat111e1 1t l1as l1ad great valLte. Nevertl1eless, tl1ere is at jJresei,t 1 10 r1 .... e al-CLtt acceJJte d 111edical solt1tio11 to the proble111. •

•

l::,

•

6. 7,

•

•

•

•

VII }011rn,i/ 0'Jr L egal E :.ducat1on. 141-142 (1955) 13O\V111an and Engle' Scv -� Offe nses: T1 e Me,.·I·ica I ai:id Legal I111plicario11s of Sex \Tariations, 25 and Conte,np orarJ• Proble111s 304 (l 960)�

L.1·,i '

.

' .

51

SCOPE OF PEtJAL LAW 8 States Co11nectict1t Jones, Inmate, St,te Pris011, United

�ave you e�er tried goi 1 1g witl1out �x for year iti and ),ear ot1t, ca1 1 you . imagi1 1e \Vhat . tl1is alone does to a fJersc11 , n1uc11 less all tl1e otl1er i te1ns l1e has to d? \v1thout. Well tal<� it fro11 1 n1e, yott liave to I1 ave a very, very strong mind to keeJJ from being of somE\vl1at t111stable from tl1is.A11d I don't care \vl10 the person is, if lie does11 't 111 i5 Sex a11 d clo 1 1't care for it or do1 1't \Vant a11 y, well tl1en, l1e just isn't 11 orrrnl. A11cl \vlien tl1is 011e ite11 1 alone JJresses ?n your_ mi11 d S? n1t1cl1 tl1at yot1 tr)' to satisfy yottr desires witl1 tl1 e only thing _available - 1f yot1 are cat1 gl1t yott are des1Jised by officials and severely fJt1n1shed. Well I l1 ave l1ad 110 �x si11ce i11carcerated l1ere a11 d it l1as drove tne ot1t of my_ mi11 d - Bt1t \vl1at ca11 yot1 do - f\11 you can do is jt1st st1!fer a11 d stiffer t�11t1l yot1 c:acl< tifJ - tl1,t is if yot1 do11't l1 ave a very strong mind. Now you fJile everytl1 111 g else tlIJOn tl1 is, i11 clt1di11g a Parole De11ial, a 1 1d yo11 ca� see wl1y a fJerso1 1 lil<e 111yself- :s very dissatisfied, disagreeable, ttfJset and bitter a11 d very l1ateft1l. Yott realy ca11't t111 dersta11cl tl1is sort of tl1i11g t111less yott yottrself l1ave to live it day l ,y cla)' - l1our by l1ot1r . ... Note 3;

Harmful Effects

Dear Mrs... ,

April 9, 1935

I gatl1er from yottr letter tl1at )'Cttr so11 is a l1omosext1al. I a111 most impressecl by tl1e fact tl1 at yot1 do 11ot 11 1e 1 1tio11 this term yot1rself in yot1r i11formatio11 abot1t l1 i1n. lv1ay I qL1estion }Otl, \Vl1y yot1 avoicl it? I-Io1nosext1ality is asst1redly 11 0 advar1tage, bt1t it is 11otl1i11 g to be asl1.1 1 11 ed of, 110 vice, 1 10 degradation, it ca11not be classified as a11 ill11ess; \xre co11sider it to be a variatio11 of tl1e sext1al ft111ctio11 JJrodttced by a :ertai11 arrest of sexual develo1Jme11t. 1\t\any l1 igl1ly resrJectable i11 dividt1als of 1r1cie11t a11 d modern ti 1 nes !1ave been l1omosexuals, several of tl1 e greatest mE11 a111 011g tl1em (Plato, l\t1ichela1 1gelo, Leo11ardo da Vi11ci, etc.) It is a great irjt1stice to fJersecL1te l101nosext1ality as a crime, and crt1elty too.If :y·ot1 clo 11 ot believe 1ne1 read tl1e bool<s of Iiavelocl< Ellis. By aski11g me if I ca11 l1elp, yot1 1ne1n, I st1I?pose, if I can abolisl1. l1o_n10sexuality and mal<e nor1 nal l1�terosext1al_ty taI<e its place.. Tl1e a11 swer 1s, 1n a ge11eral way, we cannot promise to_ acllleve 1t. In a certa111 11t11nber of ca�es tl1 e bl1gl1ted ger111s of heterosext1al te11cle11c1es we succeed i11 developina 0 which are present in every l101nosext1al,_ :1 1 tl1e i11 ajority of case� it_ i� 11 0 more possible. It is a questio11 of tl1e qt1al1ty a11 d tl1e age of tl1e 1 nd1v1dt1al. Tl1e rest1lt of treatment can11 ot be jJredicted. What analysis can do for you� 1�0�1 rL11!s i11_ a di�fere�t li11e. I! l1e is t1nhapfJY, net1rotic, tor11 by co11fli�ts, 1nl 1b1 ted. !11 l1 1s social life, a11alys1s_ n1ay bri 11 g him l1armo11y peace of mind, , ftll eff1c1ency, wl1etl1 er l1e re1 na111 s a homosext1al or gets' changed. If yoLt rnal<e ttp yottr n1i 11d, lie sl1ot1ld l1ave analysis \Vith me !! I do11't expect yot1 xrill !! he l1as to con1e over to Vien11a. I have 110 intention of leaving here. I-Io\vever, do11't 11eglect to give n1e yottr answer. Sincerely yot1rs \vitl1 l<i11d wisl1es, Frettd9 8. 9.

From Donnelly et.al., Cri1ni11-al Law 164. 3 Jones, The Life of Freud 195 (1957).

ItJTRODUCTION

52

10 iv t c e e p s r e P l a c i g lo o p o r l1 t n A t1 A : s e s 11 e ff ford, S e x O

f e 1n ale, i s q t1ite con,n,only 11d a le a m · · · · otl1er l1a11d, l,oinose � tt �rt tl, bo 1 ),1 l 1e t 011 , it tl1em of it const ome s utes for d 1 a oci et e ies t f o 1y a1 n1 f_ o r � . f reported ��!; ,, � ; to preve11t its occt1rre11ce. About on e� t 1e , i, � th se � se e th lll , m l e b o r_ p m o sexuality, espe. ho f o s ve o r r p ap s i d l i t11 1rd of the soc1et1es 5111\�ye . �;onarl y cl·iilclhood to co111bat any te11dencies �ially_ in _111al�s, a11� at �tn JJts f1,0 Ti. e � tio,1 inlJJosed is rid ic11Je a11d derision sa c e al c [si n l1o � 1. , n tl11s dire e w ar fe so ry ve po op A n. ke ta d se e ar s re su ea � :r :;z ri st fe a 111 altl 1o gl1 eatl 1. 1 11 tl1e re ma11 1der d to tt JJt re a s er 1d 1 fe oi cl . 1 Y \xrt1'1at deotecte . - l10 1nuosex11al_t to . , 1·s co11s·ct er 0 th 11 a 1 1 0 n1 1 0 f ere e n o d 11 1 or v1 l,a. be al tt ex os o1n 1 e s 1 t· 1 e c · , of tl1ese so ! 1 � r s, or at c ertain pe riods 11en 1be 1 1 i 1 a ert r o f abl e cep t ac 11ormal an d soc1ally , alo11g tl 1e li feli 11e. . . 11 re ltu Cu of ' td) Jvlead, Co1n 1Jarative Stt

. . . [T] l 1e co n1JJarati ve s_ t11dy of c1 1_Itures .. . . �a11 c!e�1011strate, fro m data 011 otl1er c11lt11res (a 11d bJ' v1rt11e o f tl1e1r relati ve s1mpl 1c 1ty a11d t]1e exte1 1t to \vl1icl1 tl1ey differ fro tn 011r ow11 c '.l]t1 1re a 11d re1Jrese 11t JJa rallel �evelopme11ts ratl1 er tl1a11 a11cestral or diverge11t 'for111s of 011r O\v11 c11lture, ·JJart1�11la�ly frorn fJri111itive c11ltt1res) tl1at every c11lt1 1re n111st be s ee11 as a wl1o le, \v 1tl1 it� v�l �e systen1 as a11 i11extricable co111po11en t. It can refute a11d bra11d as u11sc1e 11t1f1c, irres1Jo11sibl e1 ar1cl da11g·ero11s t1 1e 11se of cross-c11l t11ral. data for pt 1rposes of cleval11ati11g· a 11y give11 c11]t11ral S)'Ste1n by t ]·1e de 1 11 onstra t1011 tl 1�t otl1er cult_t1res l1ave fJlaced differe11t er11 1Jl1ases arid differe11L valt 1es 011 s 01n e i solated det�,I of bel1a\rior. Historicall y, tl1ose wl10 are desiro11s of breal<i11g down some JJart1cular traditio 11al val11e for 011r socie t)' 11'-ve arra),ed a 1n iscel la11eo1 1s assort1ne11t of diverg·e11t fJractices, sl10\x1i 11g tl 1at tl 1is a11d t11a t otl1er peoJJ]e, or indeed 011rselves at some otl1er periocl i11 11istory 1 regarcled a give11 fJractice i1 1 a differe1 1t 1noral light, argt1i11g tl 1at, tl1erefore, all 111oral JJractices are li111ited i r 1 tin1e a 11 d JJlace a 11d tl1ere­ fore lacl< atl)' 11lti111ate valic li ty Tl1is 1niscl1ievot1s a11 d 1111i 11fo 1·1ned use o f c11ltural material is ofte,1 111istal<e11ly called c11lt11ral relativi ty, b 11t tl1at ·i s exactly \xrhat it is not, for c11_l t11ral relati\1 i ty cle1na11cl s tl1at every iten1 of cul t11ral bel1a\ri�r be see11 as relative to tl1e c11lt11re of \Vl 1icl1 it is a fJart ai 1d i11 tl1 at syste111at1 c setti11g every ite111 l1as positive or 11egative 111 ea11i110· � 11 ct vaI11e. Eve 11 \xrhere ite111s of c11l� 11ral bel1avior, so-call ecl c11l tL1ral traits, I1a�e be en so easy to identify a11d so �ll11r111 g t o tl1e 1ne 111bers of otl1er ct1ltt1res tl1 at tl1ey }1a\,e difft1sed ­ J) 1�ogress1vely borro \'{!ed by tl1e n1en1bers of differe11t c11Itt s tre i 11 co11tact 011e \v 1 tl1 a11otl 1er - 111ocler11 social a11thro1Jol oo·y Ii as sli o\xr i 1 l lO\V a trait \x,hic h a1Jpe� rs t? be_ objectively tl 1e sa 11Je 111aJ, 1,tve n1arl<edly i ffere 11t m ea11ing a n d d ft111ct1011 111 d1ffere11t c11lt11ra l sett111g·s Tl 1e sci e1,ce . o f ctil tu re ca1 1 itisist1 tl 1ere­ fore, tl 1at \Xrl1 e11 we consider co11t1·asti11g· t),pes of be J1 avior \Ve sliall atte11d al \vays to tl 1e co11JJJlete . syste1n 1 ar1d tl 1at ra11clon1 11s of iti ita di tio s c c m r i iii at e cultural contrasts 1n detail_ be strictly recog n ized sti c fo ; oc la w ha t _ ic th on ey ar e, polemic material, am1nu111t1011 for agitators, bu t w ith n o scientific validity. • •

•

•

l 0. 25 Law and Conten1por,ny Prob/en1s 227 ( J ?60). 11. 1v1ead, The Con1parativc Srudy of Cul t,..ue and tliedPtlrp 0�1,,e Cti lt Ideals, Second SJ1111posi111n, C'onferi:uce 011 ic c a r tio c iva . 1o n f n o e D Science> Pli.1OS'OJJt1Jy an . Rel1g1 on 56 (1942).

�1 '.'· · ·'" ...'-.· '.�, ·' ·· 1 .

�'-

.,..:·.

�.-· :> . .,,-...�:,,:;-:-._·_;- ...F

'

'

. ......

' � �

. .

SCOPE OF PENAL LAW

•

•

•

•

53

United States Se11ate Co1rn1ittee 011 Expe11ditt1res in Exect1tive D�1Jart1ne11ts12

Law e11forceme11t officers l1ave i11fcr1necl tl1e st1bcom111ittee tl1at tl1ere are gaiigs of blacl(tnailers \vl10 n1al<e a 1egt1lar IJractice of 1Jreyi11g t11Jo11 tl1e homosext1al. Tl1e n1odt1s 01Jera11di in tl1ese l10111osext1al blacl<1nail cases ttsttally follows tl1e s�me general tJattern.1'he vic:i111, wl10 is a l1on1osext1al, l1as 111a11aged to conce�l 111s perverteci activities a11d 11&1ally e11joys a good re1Jt1tation i11 his c?�mt111_1ty. Tl1e blacl<n1ailers, by 011e 1nea 1 1s or a11otl1er, disco\rer tt1at tl1e v1ct11n 1s acldicted to ho1nosext1alitj, ard 1111der tl1e tl1reat of disclosLtre they �xtort �1oney fro1n l1i m. Tl1ese blacl<111a lcrs ofte11 i1n1Jerso11ate IJOlice officers 1n carry111 � ot1t their blacl<mail scl1e111es. \1\a11j' cases l1ave co1ne to tl1e attentio11 of tl1e police where l1igl1ly res1Jected i11dividt1als l1ave paid out st1bstantial sums o! n1oney to blacl<n1ailers over a lo11f JJeriod of ti111e ratl1er tl1a11 risl< tl1e d1sclostt�e of tl1ei r_ l10111osext1al activities Tl1e JJolice believe tl1at this ty1Je of blacl<n1a1I racket 1s 1nt1cl1 more exte11sivE tl1a11 is ge11erally l<nO\v11, becattse tl1ey have fot1r�d tl1at 111ost of tl1e victi111s arc very l1esita11t to bri11g tl1e 111atter to tl1e atte11t1011 o-f tl1e a LI tl1o ri ties. 111 furtl1er consideri11g tl1e ge11eral sttitabilit)' of JJerverts as Oover111nent em1Jloy�es, it is general!)' believecl tl1ct tl1ose \xrl10 e11gage i11 overt acts of perve1·s1011 lacl< tl1e e111otio11al stability cf 11or1nal JJerso11s. 1 11 aclditio11 tl1ere is an abt111dance of evide11ce to st1stai11 the co11clt1sio11 tl1at i11dt 1lge11ce i11 acts of sex JJerversio11 \veake11s tl1e 1noral fiber of a11 i11dividt1al to a degree tl1at l1e is not suitable for a fJOsitio11 of res1Jo11s:bility. !v\ost of tl1e a11tl1orities agree a11cl )ttr i11vestigatio11 l1as s110,x, 1 1 tl1at tl1e prese11ce of a sex jJervert i11 a Oover1111�e11t age 1 1C)' te11ds to l1ave a corrosive inflttence t1po11 11is fello\v e1nJJlo)rees.... It is IJartict1larly in11Jorta 1 1t tl1at tho11sar1cls of youi1g 111e11 a11cl \vo111e11 \X/110 are brot1gl1t i11to federal jobs 11ot be st1bjected to tl1at t)rpe of i11flt1e11ce \xA1ile i11 tl1e service of tl1e Oover 1 1111e 1 1t. 011e ho111osexttal can JJollL1te a Oover1111·.e11t office. . . . Emi11e11t psycl1iatrists l1ave i11fo·1ned tl1e st1bco1n111ittee tl1at tl1e l101110sext1al is likely to seel< his O\v11 l<i11d be:at1se tl1e fJressttres of societ)r are st1cl1 tl1at he feels u11comfortable 111 1less lie is \Vitl1 l1is O\v11 l<i11d. Dtte to tl1is sitt1a­ tio11 tl1e 11o 1n osex11al te11ds to s Ll rroL11 1d l1i 111self \vitl1 otl1er l101nosext1als, 11ot 011ly in I1is social, bttt i11 11is bt1si11ess life. U11der tl1ese c !rct11nsta11ces if. a I-1 omosext1al attains a fJositio11 i11 Ooverr.111e1 1t \'vl1ere l1e ca11 111flt1e11ce tl1e l11r­ ing of perso1111el, it is almost i11evitablt tl1at l1e \vill atte1111Jt to place otl1er homosexttals i11 Oovernme11t jobs.

T l\� iack

of emotio11al stability \xrl1i::l1 is fot111d i11 111ost sex IJerverts a11d tl1e weal<ness of tl1eir moral fiber1 mal<es tl1e111 st1sce1Jtible to tl1e bla11disl11ne11ts 1ce s t ge1 ert of tl1a elli e exp i11� of the foreign espionage age11t. Jt is tl1e ex1Jerienc _ 1er y n1 101 tl1e a11d do est sel qt1 lled sl<t a by o11 ati og err i11t to le rab lne vt1 rts are perve refttse to talk abottt the1nselves. Ft1rtl1er11ore, tnore JJerverts te11d to co11gregate at the same restaurants 11ial1t clttbs ,1nc bars, \vl1ich fJlaces ca11 be icle11tified _ 1na�i11g it possible for a rec�·t1iting with comparative ease 'in :11y com�t111i1y, d for es1J1011age use 1 be ca1 1cl1 wl1 11Js 11sl tio rela e stin 11de cla to p nt elo age dev p11r1Joses. • • • •

12. Senate Committee on Expenditt1 res in Execuciv·e Departments, En1ploJ 1ment of l-Ioniosexreals and otl1er Sex Perverts in Government 1, 19, S. Doc. No. �1, 81st Cong. 2d Sess. (1950).

.

. .•

.·. .

.�

' .

'

'

. .. . . ' .� ' . . . .• :. . ...

. •.

�

.

54

INTRODUCTION

13 y il m L a n o e if f ty li a u x e s o m o H f o t ec ff e E h T , rt o ep R Wolfenden

et\xree n m al�s ha b r io v a 1 l e b al u s x se o tn ho at 1 tl , 11 o 1 i te 1t n o · d c 11 o ec e s T l1 e av e h d w ha , ev ed idence e d In . ue tr e b l el w a damaging e ffect on family life, inay of rt e JJa th e th sb hu on r a1 1 ct o 1 av 1 el b l · t1a ex os 1 n 1o 1 l cl l1i \V tl 1at it o fte11 is1 cases i11 l so case s in wl1icl1 a e ar e r_ e th 1d �1 , re 1s ra l1as brol<en Uf J a 1narriage are by 110 111ea1 l< ea w rt y l ve ne e iv l1ele ss at l re 1 s 11t e 11 o 1J 1n o c 1a l xt se · tl1e l 101no a ma n i11 wl1om 1e .do e s n ot e11ter u 1Jon l at th ts e tl ou al u derives such satisfactio11 from l 10111osex 1ly con�ummated. We p p_ l1a � an y ll u f s es c t1c a ma rriage \xrl1icl1 migl1 t l1ave bee11 s f society; bt1t case s o 11t 1 11 c s1 b� l1e t as de1Jlore tl1is da111age to wl1at \Ve re gard e n bro k:en UfJ by be s 1a l ge ria ar m a ch are als o frequ e11tly e11cou11tered i11 \xrl1i m e ":'omen , too , so t ttb do no 1d a1 , ife \V e tl1 of rt {Ja l101nosext1al bel1avior 011 tl1e e ven t tl 1e1r marr),i11g. pr to ts le 1t ot 1al x1 e o s m o l1 1n fro derive st1fficie11t satisfacti o11 u s t o beli eve that d lea d l tt \X!O 1 l 1ic \xrl s 11 to v11 10\ W e l1ave l1 ad 110 reaso11s sl e 011 fa mily life g ma da r te ea gr y a11 ts lic i11f es l na 1 1 l101nosext1al bel1avi or betwee1 e s are all reprel1e11. c cti Jra ese Th . ior hav e 1 b 11 bia es r l tl1an adu lt ery, fo r11icatio n o t it is difficu lt to see s ible fro 111 tl1e JJOi11t of view of l1arn1 to tl1e fam il y, bu why 011 t l1is grot111d 1nale l101 nosext1al bel1avio r alone am o11g t l1e n1 sh ould be a cri1ni11al o ffe11se, Tl1is argt1me11t is 11 ot t o b e tal< e n as say i 11g tl1at society sl1ottld co 11do11e o r aJJ{J rove 1nal e l1 0111os exu al b e l1avio r. Bu t \xrl1ere a dultery fornication and lesbian behavior are n ot criminal offenses there seems to us t� be 110 valid grottn�,. 011 tl1e basis of da1na ge to _ tl1e famil y, for so regarding· l1omosexual . bel1av101 betwee11 111e11. lv\ore ove1·, 1t l1as t o b e recoa11ized tl1at tl1e 1nere e�1ste 11ce of �l1e co11diti o11 of ]101nosext1ality i11 011e of th� JJartners c�11 resttlt 1 11 a11 t111sat1sfactory _111arri_age , so tl 1at for a hon1ose xu al to n1ariy _ l<e �f confo_r �1ty w1tl 1 tl1e acce JJted s tr11ct11re of so cie ty or in s11nJ)l y fo r t l1e s a tl1e l1ope of curing 111s co11d1t1011 may re sult i n disast er.

55. ·

'•

0

Questions

· · C o11sideri11g tl1e W 0lfe11de n Report nd tli e cIeb �te which prec ip· itated, 1t · together with the Notes settino- otit 1 nate i�ia of lJOte 11t1 al co11cern to legislators dealir1g \vit11 tliis J) roblem (ancl s 1emente� by outs ide read ing where needed) address yourself t o these que stio��t 1 . Ass11mi11g that basic JJOl ic�>' dee· 5 10· 11 f 01. a s0 1e t o � _ t uc nd co e , th e. (i. )' � _ � be de1101ni11ated as crimi i,a l ai1J 1 e 1 fo m t� w ab sh e ni u i ad i e le m ) ar l? . � � '. the. legislative process , should th!1 e e 11n11ts \v l 11ch beyond or bo1111ds l eg1sl ati o11 sl1 ottld 110t in t rttde? 2. Eval 11ate tl1e ftt11cti011 s of Je t, a1 1 aw . n th e are a of mo ral _offen ses as set i f�rth by the Wolfenden Re'Jort · 1 g1ver 1 by tl, e Rei)ort fo r 110t allJ�f11 �0-41xr ). In_ t11rn exa1 n111e the reasons g la\ to 111terve11e i11 certain areas. . ... 3. 1-1ow s1 1ot1Id tl1e cr1. 1n111a l law vi e \v tl en1 d l ff rob c 1 u lt p d ng an rri r cu e _ ! of tl1e sta te' s relatio11sl 1i J \ xritl1 s 0- 1� i11 ele 111ct1v1d11als wl 10 co mp ose it ? T o \xrhat exte11t sl1ot1ld soc1 · t co 111 ol o t i t l e , b · e and ior l1av als 1 of 1 idt i 1div wl1at exte11t sl1011ld a11 it��i�'Idt1 . a 1 be free t o act as 1 1 e \VISl 1es?. 4. Witl1 respect to 110111os exu a · t a1 1t to draw a disti11ct1on betwee11 co11se11s11al atid ii, 1 lity ' 1· 5 i t· ttnpor 1JOsect 110111osext1ality? Bet\xree 11 l1omosexual l 3. The W/ofjenclen I�eport, (l'P •

Cll.

at p. 44.

_ :;, , . · -".-- ·. ·: t·:·, .. ,c · r . .. · "t: ,..�. ,r , :·,,:�- ,.._:, :�-. '. .. . . , . . _,, ,.

..

1.

i'

.;; •• · •

•••.•

•

.

.

.... ..

-.' .

'

.

'

• .

SCOPE OF PENAL LA \Y/

55

acts amon� adults a11d �hose in wl1ich a yot1nger perso11 is involved? Bet\veen private a11d pt1bl1c acts? 5. How does Justice Devlin know 1hat there is a ''general abl1orre11ce of homosexuality'' (p. 45)? To \vl1at �xte11t has IJttblic OJJi11io11 l1el1Jecl to formulate tl1e penal law of Etl1top.a? 6. Does J11stice Devli11's argt1111e11t 1ss11me agreeme11t 011 n1oral isst1es? What are the imrJlicatio11s of su:11 a vie\xr for a ct1ltt1rally [Jlt1ralistic state 1ike Ethiopia? 7. If ''[Jrivate imn1orality'' is not tl1e co11cer11 of tl1e JJe11al la\xr, as tl1e Wolfe11den Report n1aintains (IJ, 42), 110\v sl1ot1lcl society deal ,x,itl1 such behavior? 8. Granting t!1at public morality is necessary to a society (Devli11, JJ. 43), w�y m11st it be enforced in toto througl1 crimi11al la\v? Will it cease to e�1�t. as moralit)' if 11ot cri1ni11ally e11forced? Co11sider wl1etl1er yo11 stop v1s1t1ng yottr sick 11ncle i11 the los1Jital becaL1se tl1ere is 110 crin1i11al la\v wl1icl·1 con1n1a11ds yott to visit l1im. 011 tl1e otl1er ha11cl, if Art. 600 were repealed ton1orro\v, wo11ld you tl1e11 begi11 the jJractice of 11omo­ sexuality? 9. If as Jtistice Devli11 argt1es, (IJ, 44) moral order is 11ecessary to society

ar1d society is e11titled by its ltws to protect \vl1at is 11ecessary to it, is not tl1e logical co11cl11sio11 that society ca11 go to 11early a11y le11gtl1 in establishi11g and mai11tai11i11g dc1ni11a11t n1oral attit11des? W011ld it r1ot be proper the11 to outlaw ''idling'')

10. Wl1en society tl1rougl1 its

legislators co11te111plates labeli11g certai11 bel1avior as crimi11al, \Vl1at \x,eigl1t sl1011ld be attacl1ed to tl1e l1arr1·1 or lack of l1ar111 caused society by tl·at bel1avior? Sl1011lcl tl·1e 1nere 1Jrese11ce of certain behavior be declared c1i1ni11al if it cannot be sl1ow11 to l1arm society? 11. To wl1at exte11t can co11se11sual l1cmosext1ality be said to 1111der1ni11e tl1e moral order necessary to society a11d therefore l1ar1n it? \v'l1y is Mr. Hart so co11cerned witl1 Justice Devlin's com1Jariso11 of co11se11sual homosexuality \vitl1 treason? 12. Should the ''right mi11ded ma11 . . 011 tl1e Cla1Jl1an1 omnib11s'' (Devli11, _ to Kabena be allo\ved to declare p. 44) or on tl1e No. 10 _fro111 P azza what is JJroper co11duct 1n tl1e 1Jr1vate affairs of all at pai11 of penal sanction for non-conformity? 13. finally, based, upo11 Justice Dev!in's sta11dard that '.'Tl1ere . m11st be _ toleration of the maximt11n indvtdLtal freec�o111 tl1at !s co11s1ste11t \v1tl1 the integrity of society,'' (p. 45)_ evaluate 111s co11cl11s1ons a11d tl1ose. of Hart and the Wolfenden Report \v11l1 res1Ject to co11se11sual ho111osexualtt)7 • Recommended Readings

The following are selected statutory provisio11s witl1 resJJect to l1omosex11al . behavior and offenses of immorality: Danish Penal Code, Sect. 225 (Waaten, 1958). ·.

. .. ' . . --- �·-.. ··· ... ·· ·. · . �. , ': . .. - ·-....,.·· · .,-·. · . � -. . ".....-,/. '

.

':

.'.,

·�

-

..

.

1,

•

'

•.

;

+; .·._.�- • ;'.\.., . •

•. •,.

• ·.' '

·.

•

.

JJ\TRODUCTION.

56

s E a tern iet s�v },ederal ·crimi11a.l La.w of the · E1,trope, 1959). . p ,a ei l I gr ei or o C f s de of es , 1960) ri Se 1 a1 ic er 1n (A 1 rt . 33 A 'e a F e J P L Co e1 1a l Code s, (1961 . P 1 e g1 r ei or f of s e ri Se n ca ri , Sect· 175 (Ar1e ). . L Co.de, e1za. an Pria nc') Ge1·ni ( P 3 21 reposed Offi t. Ar te, titu Ins w La A1nerica11 V11 iorl,

Model Penal Code,

IV, S ect. 12 ( 3 Law i,z

cial

Draft, 1962).

ey es , l 963), (R 0 20 . rt A s, 11-e i J ili Ph e J ti de of · Revised Penal Co a 11cla, CliaJJ. 22 , 19 50 ). Ug of ws La (1 3 t. 14 Ar , l de da na Co Pe Ugari Tf;e Wolfe11den Report: Re1Jort of tl1e Com1nit! ee 011 Ho_mosexual Offences

and ProstitL1tio11, Ap1Je11dix III, (Autl1or1z�d Atn e �icaii ed., 1963 ) for laws co11cer11i11g l10111osexJality i11 A11str1a, Belg1t1m, Greece, Italy, Netl1erlands, Nor\x,ay, S1Jain a11d Sw ed en. The Wolfenden Report: ReJJOrt of the Co1:nmittee 01� I-Iomo sext1al Offences �nd Prostitt1tio11, Pts. I a11d II (At1tl1or1zed A1ner1�a11. ed., 1963) (concern111g fi 11di1 1gs and fully develo1Jed p)sitio11s on pe11al 1zat1011 of co11 se11sual hon10sext1ality). D01111elly et. al., Crimin,il Law 123 ff., Pt 3, e11titled: Co1 1sensual Homosexual Acts Bet\vee11 Adt1lts i11 Private -A Crime? A Probl em for the Legislatt1re. SymposiL11n 011 Sex Offenses, 25 Liw arid Contempo ary Proble11is 215-377 (1960) r in [Jart with the JJroblem (a series of articles of variot1s discipli11es dealing of l1on1osext1ality as a crimi 1 1al offe 11se). Yale Law Journal, Private Co11se11st1a.l I-Io111os ext1al Bel1avior: Tl1e Crime and its E11force�e11t, 70 Yale �- ]. 623-635 (1961) (disct1ssio11 of a specific case concer11111g l1omosext1 al1ty a11d e11tra1Jment i11 \v'asl1i11gto 11, 0. C.). Col1en, Moral Aspects of tl1e Cri1ni11al La\v, 49 Y,ile L. ]. 987 (1940). William s, Tl1e Proper Scope _at1d function of Crimi11al La\xr, 74 Law Qu arterly f!v . 76-81 (1958) (reflect1011s 011 tl1e Wolf enden Report). e Devlin, La\v, De1 noc�·acy, a11_d lvlorality, 110 U. Pen,1 syl·vania L . Rev. 635-649 (1962) (Lord Devlin co11�1ders :l1e role of 111orals \vitl 1i 1 1 le ga l systems). _ I-Iugl1es, �orals a11d tl1e <;r11n111al La\xr, 71 Yale analysis of Lord Devlin s lectL1re attack:i11g t11e L. ]. 662-683 (1962) (critical Wolfe11cte1 1 ReiJort). 1

CI-IAPTER 5

The Penal Code of Etl1iopia: ,. S011rces a11d F 01 111. ,,...

�ECTION

A.

SOURCIS

Of- THE CODE

THE PENAL CODE Of rfJ-IE ElV\PIRE Of ETI-IIOPii\ 1 jea11 Gave,z I. fro,n Traditional Law To 1V!odern La7v: ... U11til tl1e rece11t cla\VIl of

modern times. and tl1e begi1111i11 g of tl1e 11e\xr Etl1iOJJia11 E111JJire, i11cleed, ttJJ to tl1e promulgat1011 of the Pe11 al Cocle of 1930, \Vl1icl1 occ11rred \Xfitl1 tl1e adve11t of tl1e present Emperor, Etl1io1Jia l1acl 11 0 1111ifiecl, \Vritte11 or coclifiecl lea-al syste111. Tl1e pri11cipal origi11s of la\xr \Xere tl1e Fetl1ci Neaast for tl1e Co1Jtic­ Christia11 fJOpt1latio11s of the a11 cie11t jJro\ir1 ces; tl1 e Ivlosler� Jd\v for tl1 e JJOJJ11la­ tio11s of Harrar a!1cl tl1e coastal areas of_ tl1e Red Sea; a11 cl tl1e ct1sto111 ary la\v, for the other reg1or1 s of tl1e cot111try \vl11cl1 are co11 sidered 1nore ' Africa11'' i11 tl1e po jJular se11se. 1

1

1. The ''Law of the Kings'' or ''Fetl1a Negast'': Tl1e fetl1a Negast or (Neguest) is a juridical and social mo11u1ne11t of tl1e first order \vl1icl1 e1nbraces tl1e religious ancl tl1e civil do1nai11s at tl1e sa11e tir11e. Its extraordi11ary i11flt1e11ce 011 Etl1iopia is exrJlai11ed by tl1e fact tl1at t!,:s cot111tr}' l1as, fron1 time in1memorial, attacl1ed itself to tl1e Coptic Cl1t1rcl1 of f\lexa11dria. Its first bisl101J, Saint fru1ne11tius (for tl1e Ethio1Jia11 s, Aba Sali1na, fatl1er of Peace) \vas co11secrated by Atl1anasit1s, defender of tl1e Nicaea faitl1, sl1ortl}1 after l1is JJro1notio11 to patriarcl1 of f\lexandria in 328. Later, i11 tl1e 13tl1 ce11tt1ry, tl1e jJatriarcJ-1 Cyrill III (1235-1243) anxiotLS to i11trodt1ce a �11eral reforn1 of l1is cl1t1rcl1 wl1icl1 l1ad bee11 weakened and tl1reate11ecl fro1n all sides, establis!1ecl a code, or n1ore accttrately, a com1Jilatio11 of religious a11:l civil precepts \xrl1ich \vas to serve as a guide. The sources of tl1e Cyrilia11 Cc,de are tl1e Old a11cl tl1 e Ne\v Testa­ me11ts, a certain nun1ber of a1Jostolic writi11 gs, tl1e canor1s of tl1e first councils and some writings of variotts fathers of tl1e Cl1t1rcl1.... Tl1e Fet/Ja 1Vegast expressly refers to Constantine a11d to 1l1e ''Tl1ree I-Iundred Sages'' or ''Wise Me11'' (Selest Ivieeti, tl1e 318 fathers of tl1e Cl1t1rcl1), \Vl10 are re1Juted by Etl1 iopia11 tradition to be the at1tl1ors tl1emselves.... Tra11slated i11to Oe'ez, the lear11ed langt1age of the Etl1iopia11 Cht1rcl1, and aclo1Jtecl, tl1ey say, tt[J011 the 1.

Graven, Intro, Le Code Penal de /'Empire d'Ehiopie 5-29 (Ce11tre Frans;ais de Droit Co111pare, 1959); English traos]ation, I ]. Eth. L. 268-290 11964).

INTRODUCTION

58

11c e \X1} 1 0 loved just ice ri p a 0) 6 14 26 4 (1 b o ac V a ar Z o r o er fJ nl E of s r e e er ord rd u of m a 1e . tl r 1 fo tl ea av to d sl 1 01 , s l hi X'I at O\ 1d , ed . 11 m le iic co le l t ia tl · 1 mt1cl as w aw c l re � 11 . e Tl s 1_ved as I y. u o u ct t . ss a . ,, K' 1 g iri ;e t/t a oj aw ''L ie tl d ie tid st wl,o e m 1 so . ay 1 1 w ts n te 11 � 1t c? vi in h it w , a w ol la f o e e bl d co y la l lc ai 11 10 trtie ca1 1 11e_ d. a11d cau la e x t, l1 g u ta s st r1 Ju d a� rs la o l1 sc se s, st ie d fJr � 1e tl 1 h ic l, w , ed cr sa arid ez e 10 O 1s e ve l1 T 1 1 beca ine . . . s 11 . 0 t1 a . er 1 e1 g 1e tl . t 11 10 gl to be respected tl1 roLt ed 1r t1 q d ac 1e an tl w 1e la tl thority f au o e 1d t1 g 1e tl l 1c 1 a 11 io at d t1 ti fo for Etlliopia tile . . . . e d o c e 11 iq n t1 d n a e 1 t of a tr . . . " e s tl1 �f 1le s r1 es 11 i an t f. l? e th d by r ei l< th 1c r1 st g in be p el 1 } ot 111 1 ca . .. o11e n w o la li ta s er 1d es 1I u1 1t JJ 1d 1 a ic \xrh \xr ro ar h 11 e l1 � . 1e 11 ti 1e tl 11 it \xr rd co ac t perfec ng as lo en l1 be 1e o1 d n m ti ar ex l1 1e . tl ct to 1 1 10 rt Jo o fJr 1 1 i is 1 1t 1 e lim is tn the IJL n e o1 th fr ifi ly ec ow sp sl c 1ly 01 se p ca lo \re de s \v la r fo d, te ci e ar s se ca te Co,1cre y og at ol th 1e tl of als rt de JJa t 1a th (tl wi '' ry st ui as ''c e tl1 11 1 o fr le ru t ac r st ab to the e er ch tl1 hi ar w pe ap om fr e th 1e 1 ri ct do e th to e) 1c 1 e ci 1s � 01 011 11i er 1c 1 cases co s m on of le sJJ re ob sibility pr g 1i� 1 r 1ce 1 co lly cia pe es 1, e11 th J) rinciJ)les tl1at dictate · . ilt t e ak ta. tl1 ist M to e �n rt1 and J? 01 _ 1 p i�s d . an ty 1al 1 JJe 1 1 o ati cip rti pa , ilt 1 a11d gu 1c 1ty a11d being an pl m co 11, t10 ga st1 111 )', s1t es 1ec 1 d an 1se 1 coercio11, legiti111ate defe me tre 1e ex Tl es . cas of ion rat ide 11s co o 1 int 1 <e tal all are t fac tl1e er aft )' accessor 11owadays, are resolved s ist jur ' rr) wo ll sti 1 1icl wl s, wl bra 1d 1 a s 1se cat g ir1terve11in 1 e ''J)ersonality e. Tl ess fin cal idi j11r and se sen 1on 1111 co1 le l<ab 11ar re1 l1 wit es i11 1 111anc 11 Fa.tl1ers are not to be JJUt to deatl1 i11stead of : i11ed def rly clea is t'' fat1l of tl1e s; a son is 11ot to be pu11·sl·1 ed for l1is fatl1er's cri111e, 11or a fatl1er for. tl1eir s011 1 s.''So too is tl1e 1Jrinci1Jle �f tl1e ''individualization''of tl1e punishment 1 1 s0 l1 is D0 11ot j11dge all cri1 11es witl1 tl-.e sa1ne jt1dg1ne1 1t: tl1e pt1nisl1ment fo r he \vl10 sins by actio11s is 11ot to be tl1e JJunisl1111ent for l1e wl10 sins by word or �e�d." Tl1 ere are certai11 \Vro11gclo:rs agai11st wl1on1 011e 111ust become only 1rr1tated a11d \vl1om 011e 1 1111 st scold; for otl1ers 011e n1ust order the aivina of alms or f�sti11g, still_ otl1ers 1 1111 st be ba11isl1ed fro1n tl1e cl1urcl1 in p;oportion to tl1e cr1111e con1 m1 tt�d; for tl1e '....a\v of Moses does not ii nJJose o1 1e JJunish111e11t fo.r �11 tl1e gL11lty. Tl1e pu11ishme11t for 011 e \xrl1 0 cornn1its a crime vol:111tar1ly _is not tl1e sa111e as tl1� punisl1111e11t for 01 1e \xrho does so i11volur1ta rily. foi so,ne the penalty of deatl1 1s d11e, for so1ne a flocro-i1 10 for some a levy 011 tl,eir goods, a11d for otl1ers tl1e {Jllllisl1me11t of u;e ,7't'a1io11''· tl1ey n1ust stiffer �liat tlie)'. n1ade a11otl1er s11f-:er. 1(110 \v tl1e11 a differe11t IJt1;·1isl11ne11t for ea�1 1 gtiilty o�e 111 order t]1at tl1ere 11ot be a11y ir1iqt1ity 01 1 J, 011r IJart ' for it is sa1c,1 as yo11 Judge, so sl1all y011 b� jttdg·ed." 11

1

11

· n the · Therefore tl1e applicatio1 1 0f tl ie pr1· 11c1ples 1 found la\v t]1e of 1al 1 J)e . r7·' ''Law 01.J: the 1\.i ngs )' 1. 11 1 1gl1t. of Cl1r1� 1 a11 ca1 101 1s a11d cloctr1· 11e co11cer11ing persona I ·c:: t · fatilt atid ·t I _ s re_1J'a1.. at.i·on, is \xrortl1y of atte1 1tio11 a11d is very adva11ced for its time Bea d t 1e co11cl:tio1 1s at tl·1at ti1ne, as \Xrell as the fact tha t l1arsh p11�r�;��e:��s �\� 1 � sIiocl< 1Y01 b.eca11se nce \Vii � acco rda tl1ey \xrere i11 tl1e popt1lar sentin,ei,ts ��d seei,,e� Pet ectly Ile c� be ade q1 mig 1 ate ht wl1 to at tl1e ''crimi11al !Jolie ,, of ti at. e J cli 1. mu 5 l J 1cq 1 i be 1Jr co11ceded tl1at tl1e said Sl � often correspoiid to \x,lia� s 1 �t eqL, 1�. 1�e� tod . e v e�o l ay of a law s11bjectively A1 1cient corporal p1111isl1me11� wa�, itic, of me ti de1 1_ t �lly , 0 tl1e 1 1 tl1e decli11e at . the fJe11etration of westerii icl e s t en res s rep l, g ht. fortress ; \xrl1icl1 Etl1ioJJi� ed, and tl1� Pe11al Code o f � �� \Vlll l1a\re s mo al 1g 1 no trouble lead1 - 9 · effortlessly 11 1to a 1,",ew regim 9 e. • •

•

•

:f

�1�f

2. T/1e First Ethiopian Penal C d ( 192 3�193 0): The _first effort at ino d��� codificatio1 1 i11 Etl1io1Jia was acco�I�1·is 1 1e d 1n tl1e domain of JJenal law. T

PENAL CODE Of ETl-lIOPIA

59

\vas natt1�al, si11ce tl1is is tl1e la\xr wl1icl1 above all otl1ers 11 eeded to be se1Jarated from an_c1�11t ct1 stoms in order to be adapted 11ot 01 1ly to the 11eeds of jJresent day ''cr1m!11al policy," bt1t also to tl1e cle111a11ds of i11clividt1al {Jrotection ancl i11clt1cled to the JJr1_ i11 1nocler11 \xrritte 1 1 la\xr, so as to create legality n ciples of _ tlie cond1t1 01 1s for a better a1 1d n1ore o·e11eral e1 1force1ne11t of tl1e law at a tin1e wl,e11 Etl1iopia was OJJe11i11g its cloo�-s to inter11atio11al relatior1s, trer1ds of modern thot1gl1t and foreig11ers. Tl1e Etl1ioJJia1 1 Pe11al Cocle of 23 Tel<e 1 11t, 1923 (Etl1iopia11 Cale11clar) or of Nove11:ber 2, 1930 (Oregoriar1 Calendar) \Vas JJroclai111ed 011 tl1e occasio1 1 of tl1e Selassie I. cro\v111_11g �f tl1e reig1 1i11g En1 JJeror, I-Iis I mJJerial Majesty I Iaile Co1 1ce_1ved 111 t_he fasl1io1 1 of ottr codes, it i11clt1 cles a11 in11Jorta11t Preamble of 22 art1 cl�s, wl11cl1 exJJresses, accordi11g to tl·1 e Sovereig11 \X1l10 gave it to I-Iis people,_ its reaso1 1 for bei11g, its s1Jirit, its scoJJe a11cl tl1e rest1lts \Vl1icl1 it ex1Jects t? �t�a111. A General Part covers tl1e ge11eral JJri11ci1Jles co11cer1 1ing offe11ces a11d l1 ab1l1ty to pt111isl1ment (Bool< I); tl1e SJJecial Part co11tai11s tl1e defi11itio1 1s a11d tl1e pt111isl1me11t for offe11ces agai11st tl1e State, fJersor1s and 1Jroperty, as well as JJett\' offe11ces. The Preamble, reflecti1 1g a feeli11g for progress a1 1d for eqt1ity, l1as de11_1ons_trated well (i11 its Articles 5, 15 a11d 16) ho\v a 1noder1 1 legislator ca11 still be 111s1J1 red by tl1e spirit of jt1stice a1 1cl correction of tl1e Fetha Negast or of tl1e ''Law of the Kirigs," and it l1as JJoi11ted ot1 t jt1stly (f\rticle 3) tl1at tl1e {Jri11ci1Jles of tl1e 1noder11 Et1ropea11 Cocles tised as 1 11odels are still ofte1 1 very close to tl1ose \,q}1icl1 are fot 111cl ex1Jressed ir1 tl1is ve11erable legislatio11, a fact \xrl1icl1 is 11ot s11rrJrising after \,:,hat we l1ave saicl about tl1e Etl1ioJJia11 jt1dical traditio11 being tied in witl1 tl1e great Cl1ristia1 1 tre1 1d. Wl1etl1er co1nmo1 1 sottrces had been tra11srnitted by \x,ay of Ro111e, as i11 Et1rope, or by Alexa11dri,11 as i11 Etl1iOJJia, 011 ma11y fJOi11ts tl1e Ro 111a11 -Occide1 1tal co11ce1Jtio11, reflectecl i11 the classic Conti11e11tal Codes, a11cl t]1e Orie11t:1l or Alexa11clria11, reflectecl i11 tl1e Etl1iOfJian traclition, joi11ed togetl1er a11d easily allo\ved tl·1e 111oclernizatior1 of tl1e work 011 tl1is grot111 cl. Tl1e Code of 1923-1930 is a first i11teresti11g atten1pt \vl1ich is jJraise\xrortl1y i11 tl1is se11se, as it l1as OJJe11ed tl1e JJatl1s to\varcl the delicate task of 1 11oder11izi11g a11d codif)1i11g Etl1io1Jia1 1 la\xr iii ge11eral. A prirnar)' ft1nda1ne11tal adva11tage of tl1e Cocle is tl1e clefi11ing, i11 a11 exact fashion, tl1e cri111es a11d res1Jective }JU1 1ish111e11ts.... A second attribt1 te of the Code is tl1at it 11ot 01 1ly defi11ed, a11d restricted but also considerably softened a11d it11 1Jroved tl1e penalties..... "':lutilatio11s were ft1nda1ne1 1tally abolisl1ed a11d totally ex<:lt1c�ec!, and �lie rem�1111ng.traces of the talio11 were forbidde11. After mt1 cl1 l1es1 tat101 1, ancl tn l<eep111g \xr1 tl1 tl1e example of otl1er cot11 1tries, st1cl1 as E11gland, 011ly flog·gir1g \Xlas l<e1Jt as a for1n of corpo, ral punishment.... •

•

•

•

•

•

•

•

A tl1ird very i11teresting a11d very accepta_ble aspect in t!1e JJri�ciple,. if �1ot 11 1 tl1 e form i11 wl1icl1 it had bee11 01Jeratecl, 1s tl1e 111a1111er 1 11 wl11cl1 tl11 s first Cod e, withit1 tl1e just idea that one wl10 is l1igl1er JJl_acecl, 111ore cultt 1red or more favored by good fortt1ne is ge11e_rally 111ore gt11 lty a11�l 11:1�st be 111ore seriously pu11ished so tl1at a trt1 e eqt1al1ty a11cl a ten11Jered 1 Jt1 cl1c1al treatn1ent may be assttrecl, l1as strai11ecl to inclivjd1-talize a JJe11alty by 11al<i1 1g _ it_ JJro1Jor­ tionate to tl1e crime, the rank, the dt1t1es and tl1e resot1rces o ·f the cr1111111al.... finally, the Code of 1923 - 1930 has als.o created a well extJressecl Special Part, setting its sights 011 tl1e tl1ree great classic categories of protected i11-

.

.,

60

INTRODUCTION

o Bo 1 to rso 2), pe 27 q 16 I l les 1s tic oo Ar , y I (B vit < cti ( lle co k terests· tlie State aricl 6 41 s to cle ·�t A! , _ IV l< . . rty 8) oo JJe 41 (B JJr d a11 O Oi�e , 5) 41 to 3 27 les , Ill Artic 1 pe11 al!)'· .. . A certain ei tl1 tl1 es wi 11n cr l 1 a 1 1 s1 tl1e of st 111o caii fiiid there iii s 1nt po of as e rv . rt se le to e11 JJa �b be de e 1av l ure, s o11 isi ov JJr se tlie of er 11111nb , de er Co aft w n: 11aturall y 10 tl1e s vis 11 of Jro the _ 1 for 1 1 so �ri n1p co or ti, tio itlS!Jira . ted ap to. ad the d ted n a_ Jl� 1 m_ , co ed IJr�sent iew rev lly 1ca iod l t me e,1 be havi iig s thi t t tl1a �irs _ s 1 1 t vio 11s1 ob 1s 1t tra 1 _ � fo ts. 1 1 11e ory 1 ire q11 _re l ica rid t jt ct a11 cal JJracti _ d _ 1te 1 II se st� p1� too It . 11ts me 11e qu 1n�ny _re r11 e d 1no t s111 t 11o did on ati l egisl l 1st1 c an d r1g1d acc?rd! 11g ma for tl1 bo re :x,e l1 _ 1c wl1 _1;. 1 te S)'� t ie11 a1�c ie l t of_ es tig ves h as s11c tl1e arJp ), l 1cat1 011 419 to es 404 t1c l (At 11 1L10 t1ad f rsal e 11v 11 1 ie11t anc e 1 to t of variotts fi11es a1 1d tl1eir rates, si111ilar to those of tl1e c11sto111ar)' feudal law (Articles 52 to 142), tl 1e ge1�era_l . co_11 ceJJtio11 of exte1 111atir1g �11d aggravating circ11111sta11ces exc11ses and 111st1f1cat1011 1 no l 011ger correspo1 1d1ng· to a11 elab­ orate metl1odic S)'Ste111 for l<eeJJi1 1g a1 1 acco11nt of tl1e exte1 1t of a crime a11d its fJU11isl11ne11t (Articles 46 to 51, 145 ancl 151), or the reg11latio� of homici�e a11d its 1Je 11alt)', still partly basecl 011 tl1e olcl . r11le of agreen1ent w1tl1 tl1_ e _family . sable 1 1de exc1 l1om1c of In of tl1e victi111 a11d 1Ja;,1ne11t of bl oocl mo11ey 111 case tl·1is sort of co 1 111Jro1nise betwe e11 traditio11al jJri11ciples \X7l1icl1 stil l l1ad a 111ark­ ed jJrivate cl1aracter a11d tl1e 1 1ecessity of reg11Iatio11s a11d rnoder11 publ ic order, tl1ere \x,as a11 ele111e11t of 1Jer1Jlexit)' a11d of diffict1Ities \x,l 1ich l 1ad to disappear. 3. The Correctiori of Gaps aJid tl;e Con1ple111.e1zt"iry Leg is!atio11. of r'Proclaniations'': Tl1 e first codification, s11r111ou11ti11g· st1cl 1 a sig11ificant, l1istorical step as tl1at frotn traditional a11cl c11sto111ary la\x, to writte11 law, \Vas 11ot yet able to foresee a11d regt1l ate eve rytl1i11g, a11d tl1at is \X7l 1y it l 1ad to e stablisl1 a11 elastic pri11ciple i11 its j)relimi11ar;r provisio11s. E1n1Jl1asizi11g tl1 e fact tl 1at i11 passi11g over to tl1e ne\v judicial S;1 stem tl 1ere \X'Ottl d be 110 l ac!< of occasion for stu1nbl i1 1g i11to cases 1111foresee11 by tl 1e l a\xr, tl1e Prea111ble SjJecifiecl tl1 at it would be suitabl e, in cleal i11g \vitl1 tl1ese cases, to apJJl y 011 tl1e 011e l 1a11d tl1ose rules \xrl1icl1 by their \X70rdi11g coverecl the case u11der co11sideratio11 (Article 11) and on tl1e otl1er l1a11d, to l1ave e11tirel;' 11e\x, cases \vl1icl1 \vere 1 1ot covered by tl1e \X'Ordi11g of existi11g JJrovisio11s decicled by tl 1e S111Jre111e Court (Article 12). Tl1is sol 11tio11, wise e11011gl1 at that stag·e of tl 1e la\'(/ a1 1d in accord witl 1 tl 1e teacl1ings • of l 1istory a11d tl1e re qt1iren1e 11ts of reaso1 1J wasI 11e edl ess to sa,,JI to be revte \x,ed at t li e ti 1ne of tl1 e defi11iti ve codificatio11 si 11 ce it \vas not co111J)�tibl e �itl1. tl 1e strict 1Jri1 1ci1Jl e of tl 1e ''le g·ality'' of i1 1crin1inatio11s a1 1d penal tie s \vl11cl 1 1s co111mo1 1ly en1bodied i11 exl1at1stive codifications nor \Xlith tl1at of ''se1)aratio11 of ]JO\x1ers'' \Vl 1icl1 , i11 co1111tries tl1at l1 ave \x,�·itte11 l aws, �encls to reserve for tl1e l eg·islator alone tl 1e forn1atio1 1 of tl 1e l a\x, a1 1d avoids 1_ts for�nal ''1Jretoria1 1'' creatio11 by tl1e j11dg·e. BL1t tl 1is \x,as 011Iy 01 1e ste1J, a11d, tl 1e P, eamb _ le al so br_ot1gl 1t oLrt ve ry clear}.>, tl 1at 011e n1ust 1 1ot lose sigl1t ot t!1e i1ecess1ty of 111al,111g· tl 1e f)e11al la\x, l 1ar111011ize \xritl1 tl1e coi1ditio1 1s of his t1111e, recal led by tl1e 1�receJ)t of tl 1e l�l ,ree I-IL111cl re d Sag·es (Articles 2 a11d 5), a11 ? of tl�e fact.tl 1at 1't11 ne 111arcl1 �s 01111 (�\rtic_l e 7): _ It IJroiJose d tliat sterJs. be tal-.eii _vei_ y ca11t1_0L1sl;', as e111_pl 1as1ze d by its d1spos1t1011s regarc li 11 g tl 1e rete11t 1or1 of coi iJ01a! l)Lt_111sl11ne�1t (Artie!� 3, C. P.), tl1e effects of ign or a 1 1ce of tl 1e 11e \X' la\�. ai,cl its 11111ovat1011s (1\rt1cles 14 ff.}, tl 1e 1 11etict1lo1 fines 1s of me as ur e {A1 ti_cl_e s 53 ff.! 158 a11d 159), a11d tl1e fJU1 1isl 1n1e11t of i11sult bodily l1arm a11d 101n1c1de (Articl es 273, 339 atid 494 ff.). ' tfter �lie 1Jerio? of tl1e Ital ia11 occurJatio11, a11d nt 1111 \xri tl1 l is th l re e es tab e of t 1e 11a·io t ii_a1 1:egtii7 e ?11 .�ay 5, 1941, tl 1e Code th e d \Xl as co a1 tn 1 JJl et ed , )e i 1 1 !,1J1��� t�� ]eg,��ativ� a,,d J11d1c1al syste11: \xras JJt1t to tl 1e test by a series of la c: t101 1s 01 SJ)ec,al l aws p11bl isl 1ed i11 the of ficial jo11r1 1al or tl1e

' ..

PENAL CODE Of ETHIOPIA

61

!'fegarit Gazeta -from I 942 to 1952 . . . . 111 tl1is \xray 011e l1as strai11ed to 1neet, !n tl�e best ,xray fJOssible, the most urge11t 1noder11 11eeds; tl1is, 110\xrever, was 1nev1_tably cletrimental to tl1e sin1 1Jlicity of the system as a wl10Ie a11d the co11s1ste11cy of the applicable princi JJles, a11d con1plicated co11siderably tl1e !<no\vle�ge and apJJlication of tl1e JJerti11e11t JJe11al provisio11s witl10L1t even fLtlly improving certain important gaps. Tl1t1s, tl1e Oe11eral Part dicl 11ot deal \vitl1 the scope of the ap1Jlicatio11 of 11ational Iegislatio11 a11d co11flicts witl1 foreign pe11a_l la\v, pe11al responsibility a11d tl1e co11ditio11s a11d for1ns of gttilt, tl1e s1Jec1al tJenal treat1ne11t of mi11ors a11d recidivists, li111itatio11 of tl1e prosecL1tio11 a11d ��11te11ce, 11or witl1 tl1e JJroble111s im1Jorta11t i11 111odern la\xr, of probation, cond1t1?�1al release a11cl rel1abilitatio11 co11ceived as 1netl1ocls of 1Je11al treat1ne11t. 1 ! 1 acld1t1on, tl1e S1Jecial Part of tl1e Code dicl 11ot regulate SLtfficie11tly certain fields, sttch as tl1ose of offences agai11st tl1e la\v of 11atio11s, IJLtblic i11terests (l1ealtl1, _ co�nmt1nicatio11s, acln1i11istratio11 of jttstice, etc.), rigl1ts i11 JJrOJJerty or eco11on11c interests. 4. T/1e Directives for ti;e New Penal Code: St1cl1 \X!as tl1e foL111datio11 lljJ011 \Vl1icl1 was to be bL1ilt a new, co1nrJlete a11cl clear JJe11al la\v i11 accord witl1 ''dir�ctives'' revealecl by J-Iis Imperial Jv1ajesty, tl1e E1nperor, at tl1e ope11i11g sess1011 of tl-ie consultative Co111mission for tl1e 11ew legislatio11 011 1\li.arcl1 26, 1954. . . . •

•

•

•

As for the metl1od to be follo\x,ed,

esse11tial JJri11ci 1Jles \Vere to serve as a guide a11d were reaffirn1ed i11 tl1e I1111Jerial Preface of tl1e 11e\v Cocle. l11 a way, altl10L1gl1 Etl1io1Jia 1nigl1t jL1stl )' claitn 11\vl1at is, fJerl1aJJS, tl1e longest­ standi11g syste1n of la\x, i11 tl1e \vorld today,'' tl1e E111peror observed, ''\Y/e !1ave never l1esitated to adoJJt tl1e best tl1at otl1er syste111s of ]a\v ca11 offer, to tl1e exte11t tl1at the)' resJJ011d and ca11 be ada 1Jted to tl1e ge11iL1s of 011r jJarticttlar i11stitutions''. Tl1at wl1icl1 l1ad bee11 trLte i11 tl1e JJreparatory \'vOrl< of tl1e co11sti­ tutio11, \Vas also to be tr11e for tl1e jJlans of tl1e ge11eral codificatio11. Tl1e a1J JJeal made to Europea11 jt1rists for tl1e elaboratio11 of tl1e varioLts cocle pro­ jects demonstrated that Etl1io 1Jia \va11ted a 111oder11 \vorl<, i11 l<ee1Ji11g· \vitl1 tl1e require1ne11ts of mocler11 scie11ce. BL1t, 011 tl1e otl1er l1a11d, a11d tl1is is i11deed \xrhat must be u11derstood \vl1en s1 Jeal<i11g of adaJJtatio11, tl1e past ancl ex 1Jerie11ce 1nust also kee1 J tl1eir lc1\xrs. ' 1Tl1e poi11t of de JJarture 1nL1st re111,ti11 tl1e ge11it1s of Ethiopian legal traclitio11s and tl1e i11stitL1tio11s \x1l1icl1 l1ave origi11s of L111 JJaral­ leled antiqL1ity a11d co11ti11uity." It wot1ld 11ot be fitti11g si1nJJly to co 1JY foreig11 codes, however good and fa1noL1s tl1ey 1nig:l1t be, \X1itl1ot1t considering tl1e I1istorical and jJolitical develo1J111e11t of wl11cl1 they are tl1e JJroduct or tl1e co11ditio11s and customs for wl1icl1 tl1ey were made, nor tl1ose ofte11 so totally different from the cot111try for \vl1ich tl1ey are i11te11decl. •

•

•

t\'vO

•

Therefore, to summarize, it \-Vas a q uestio11 of elaborati11g a syste111 of pe11al legislation wl1icl1 wot1ld be totally origi11al ancl trt1ly 11_at_i<? 1:al, correspot1di11g to the tradition of justice, tl1e vital neecls a11d tl1e jJoss1b1l1t1es of e11force1ne11t in this cou11try. Tl1is difficL1lt work of co1n1Jl�te 1:e11ovatio1� in l<ee1Jing ,�itl1 tl1e Ethiopian spirit, a11imated by tl1e best co11tr1bt1t1011s JJosstble fro111 fore1g11 legislative ex1Jerience the method of work adopted, and tl1e coorJeratio11 of the Legislative Com�ission were to make JJossible its realizatio11 in s1Jite of foreseeable obstacles. TI1ese were st1rmot1nted i11 a relatively raJJid a11d, \Ve trust, satisfactory manner, since tl1e Commissio11, as \X1e11 as tl1e Parlia1ne11t, considered that this adaptation to Etl1io JJia11 realities and 11eeds l1ad met tl1e demands of tradition and recent progress, of the past and of the ft1ture. •

'

:•

•

•

•

62

JI';TRODUCTJON

g in ed ec pr n co 1 me11tar)' e : Th f re og s Pr d ari ri it:o ad 1·r o{ ,i o · ti a 11 cil·i co R e \ ' . e T J? .., ::> Code·, it· is 110 Iess Pe11al · · 11 · Jia . I 1 iOJ e 1 Etl tl f o t)' e ov 1 1 e 1 tl is eiioL tg.11 t iiidicate 11 1cl1 we l1ave recalled 'X-' 1 ioi dit tra g· 11 o e-l ag tl1e 1 1 0 ts res . ' . . trt1e t! 1at· ti 1?1s Code · · 1 -· f � o ( 11 1 1 111 b a 1 1111g tl1 e 111 c 1t rt an ot 1 1tl e \V :t 1 Itl \v' or l( ea br l)' re iti ei ai,d cottld 110t u1 1 at e res11lts q111te_ OpjJosed to the rt fo t1n \'e ha cl 11l 1 co is 1 T e er ·eater LtjJSet t irs he sse . e v f ser T l d tia ne t<;> g _ si_ s w de de Co of a . e th ich wh ' � tici :�: ds �� � t en ; e b J af J 1 t o 1ca 1s , ns f e _ 1o at 111 ov 1i s it t a11ct e� �r r ve xre 0\ 1 l . 11, io at sl gi le a Jiece of 1s 1 1 n: .As long 1o de tn� \V r fo � 0s 1 tl of s 11 ? ct1 1v1 1 co e 1 tl ! to � )' ar 1tr 1 co 110\ to rt111 1 1, a11d tl1 e 1:1 embe s t10 va 1 se ob 1 1s tl e ad 1n t1 tne sq !te 01 1V_\ is, Lo � ago as tile Esprit des , 1 1 e�x, tl1 e 11at11re and requirements 1 l<_ ll \ve 10 1 ":1 1 , 1 s10 1 11s 1 11 Co ive lat gis Le of tlie 1 cern �s \x,ell _a� by the 1 co t_ 11s 1 _ s tl11 y b_ d 1de g11 ' 1 tl) ta1 11s co re \Ve , try 1 t11 co of tlie 1al 101 l nat lity a11c e 11t1 t1c Jt1s of 011 cot1ld JJt1 1ce c01 l 111c fot pro ir tl1e at i \xrl· of sta,idard acceJJt. 1 co11 c_ep_ts, _ 'X ''11e of tl1e l1 pat e 1 l t i11 1 " 1ly fir1 lf itse set e Cod Altl1 ot1gl1 tl1e 11oted i11 tl1 e I111 1Jerial Preface, i11 o:·der to atta11 1_ tl1e e11cls of t�e 11 �\x, cr!1111nal 1Jolicy, it dicl 11 ot a11d co11ld 11 ot ,a�ritice tl1e 1clea - cleepl)' 111gra11 1ed 1_n the Etl1 iOJJia11 111i11cl a11d traditio11 - of :r1n1 1_11a� fa11lt a!1d d_eterre11 t a11� exJJtator)' JJL111isl1ine11t, si111 1Jly becat1se of tl1 e JJr11 1c11Jles or social readaptat1011 a11 d the te11cle,1 cy to i11al<e tl1e la\'{! systen1atically n1 ilder....

111 tl1 e Etl1io1Jiar1 co11text it \xrould i11 fJartict1lar l1a\re bee11 a11 i11conceivable n1istal<e, a11 cl eve11 a11 i11 11Jossibility, to abolisl1 tl1e deatl1 fJe11 alt)r at tl1e J)resent ti111e. lt is 11ot 011ly 1 1ecessary for social JJrotectio11 , bt1t is based 011 tl1 e very deeJJest feeli11gs of tl1e Etl1ioJJia11 )eople for j11stice a11d for ator1e1ne11t: the clestrL1ctior1 of life, tl1e l1ig·l1est acl1 eveme11t of tl1e Creator, ca11 011ly be jJaid for by tl1e sacrifice of tl1e life of the gt1ilt), JJerso1 1 .... CorJJOral iJU11 isl1n1 e11t (floggi11g), \xrl1ose abolitio11 \Vas already e11visagecl b>' tl1 e Code of 1930, is a11otl1er exa111 1Jle of tl1e co11flict bet\X1ee11 traditio11 a11 d ideas co11 ceri1 i11g JJU11 isl11nents.... After a great deal of l1esitatio11 a11d disct1ssio11, it \xras tl1is traditio11 al co11sidera­ tio11 tl1at eve11tL1ally carried tl1e day before Parlia1ne1 1t wl1 e11 a 111ajority of tl1e Co1nmissio11 l1acl JJreviot1sl)' bee11 i11 favor of abolitio11 . But wl1ile tl1 e Code �f 1957 . retai11s _ca1Jital JJt1r1isl1111 e11t - al\xra)rs SLtbject to In1 J)erial co11 fir111a­ t1011 � \x11tl1 fl�gg111g as a seco11dar? jJt111 isl1 1ne11t, it I1as 11 att1rally tal<e11 great care 111_ regt1l�t1r1g tl1e co11clitio11 s \x1hicl1 fJrovide botl1 for tl1e limitatio11 of tl1e cases 111 wl1 1cl1 tl1e cot1rt ca11 i1111Jose tl1e111 a11d for tl1eir exect1tio11 tinder clece11t a11d l1t1 111 a11e co11 clitio11s .... �tl1 iopi_a11 traclitio�1 is also evice11 t i11 tl1e field o-f pectir1iary f)Unisl1 1ne11t, es�e_ c1ally _ _111 tl1e co�1f1scat.1 011 of JJro_1Jerty, to a li111 ited extei1t, in tl1 e case of sei 1o_tt� c11111 s. aga111st tl1e Sovere1g11 �11 d tl1e State (Article 97), a11 d i11 the � J)r�� s1� 11 s_ fo! tl1e IJay11 1e11t of co 111 pe11sat1or1 fclr da111 age ca11se to tl1e i11jt1red JJai tf,:· I lei e, it \x,as 11ecessar)' t_o tal<e accot1i1t of tl·1e a11 cie11t d j)a)rment JJri \1a te of bl od 111 011ey, or JJecL1n1_ary' re1Jaratio1 1, a jJri11ci Jle � \Vl 1ic l 1 l1 as co11 tinu ed 1 clowii t tlie preserrt cla)'. l l1ese JJassages s110\v 1 � 10 \x, tl 1 e tra11 sitio11 fron1 ctist.0 , 111 a1 y I_a\v t_ o 11 1ocler11 la\xr l1as bee11 carried ot1t, ai, d I i o\v a fuiida11 1e11tal 011_ce1Jt of JL1st1ce_ ca11 _ be 1�efor111 L1lated \vl1ile retai11 e Th i11 g ge i,e ce ra ac . l ce JJt a1 1 11111ts .. et 011 co11f1sc�tior1, 1�1 orcler :o safegt1ard � tli e 1 11 eaiis of subsistence of t 1e_ offe11 cler a11 cl_ 111s. fa1n1ly, a11cl to 1Jreve11t �eiso11 tlie least eiicroacllment 01 1 tl1e J. goocls of a11 111 1_ 1ocer1t f Jers011 , l1a\re bee11 I o1 11 ta l<e i, � cu st cli re ct fr oi l)' n 11 �� �i 3�in1.d by �11� \x1r1tte11 law {for tl1ese \Vere already fJrese11 t i11 Articles tl a which clo,:inat:: tr�di� i i�al ��{ic[\�d �1 fiha ra�teristic of the sense of equ ity 1 e a v�11 tag·es, ev e1 1 fo r tl1 e !Jr ogress of 111ocler11 I a\v wliicl, 111 a,Y so' . iiietinies be g·a111 ed fro111 tl1e i11spiratio11 o a11cie11 t solLtlioi,;_ f 11

f.

f

.

'

.

.

. '

PENAL CODE Of ETHIOPIA

63

Tl1e same can be said of several 1Jrovisio11s regulating the pri11ci1Jle, tl1e extent an� the pL111isl1me11t of. i11divid11al guilt. Tal<ing i11to co11sideratio11 itJVOl­ �ntary n11stakes or exc11sable 1gr1ora11ce of the law (Article 78); lac!< of 111tel­ l�gence or 1111dersta11cling, fJrevious goocl co11d11ct lofty 1notive or si11cere co11vic­ t1011, or 1-epe11tence imt11ediately sl10\v111 bJ, tl1e offe11der as exte1111ating cir­ c.11msta11ces (Article 79); a11d fJerfidy a11d base moti\re or tl1e ab11se of a posi­ tt?n of fJo,ver or fJrivilege as aggravati11g circ111nsta11�es (Article 81 ), are tal<e11 dtre�tly fron1 Etl1io1Jia11 jJractice already sa11ctio11ed by law i11 tl1e Code of 1930 (Article 44 ff.), b11t l1ave bee11 give11 tl1e 111ore abstract a11cl ge11eral for1n s11ited to a 1noder11 systen1 of la\v. I

•

•

•

•

[After a detailed descri1Jtio11 of tl1e 11e,v Cocle a11d several of its i1111ovatio11s, Professo r Orave11 mal{es tl1e follo,vi110· brief state111e11t co11cerni110-b specific . fore1g11 s011rces of tl1e Cocle]:... Every effort !1as beer1 1nade to for11111late each {Jrecept rnet�odica)lJ', i11 a \VaJ, \vl1icJ-1 is easy to gras1J a11d, so to s1Jeal<, po JJttlar, w1 tl1out 111clLtdt 11g tecl1nical or co1n1Jlicated ter111s. I 11s1Jiratio11 l1as been dra\v11 from the metl1ods of Bellot, i11 tl1e Oe11eva11 codificatio11 of tl1e last ce11tury, and of E11ger1e H11ber a11d Carl Stooss i11 tl1e more rece11t Swiss Civil and Pe11al Code... s . {foot11otes 01nitted]. I::,

1\t\.ODERN ETI-IIOPIA AND �fliE CODIFICATION Of ITS NEW LAW2 Jectiz Graven •

•

•

•

Tl1e fo11ndation of tl1e Pe11al Code ,xras 11ot, i11 fact1 a si11gle, fixecl legal system s1tcl1 as tl1e fre11cl1, Anglo-Saxo11 or Swiss. Certai11ly tl1e Co11ti11e11tal systen1 1 a11d its great fre11cl1 111odel i11 jJarticL1lar, 11as been retai11ecl witl1 respect to ge11eral juridical metl1od. •

•

•

•

. . . Also, tl1e grou1J of ex1Jerts a11d tl1e i11s1Jiratio11 tl1at tl1ey derived fro1n 1111derstanding tl1eir O\v11 r1.atio11al .Ja\VS l1ad co11siclerable i11flt1er1ce 011 tl1e new Etl1iopia11 legislation. Tl1e 111ost 1nocler11 codes a11d jJrojects \Vl1ich are ge11erally considered tl1e best - tl1e S\xriss, Oerma11 a11cl Italia11 amo11g otl1ers­ were fJrecio11s sources 1Jrovidii1g n11n1ero11s s11ggestions a11d solL1tio11s. NOTES Of TI -IE IMPERIAL CODIFICATION COMMISSION3 M. Orave11 stated tl1at it [tl1e Pe11al Code of Etl1iopia (1957)] is fo11nded

upo11 a moder11 and co11ti11e11tal base., b11t s11g�estior!s based 11_1Jo11 older codes or Anglo - Saxon -codes \Viii be tal<e11 111to co11s_1derat.1on 011ly rf �l1ey do .11ot run cou11ter to tl1e adOJJted sy-stem... and 1f tl1e1r 11seful11ess ts recog111zed by all. M. Graven f11rtl1er resrJ011ded . ..·by ,citi11g tl1e diverse 11atio11al sottrces wl1ich he h.as used. Tl1e fetl1a Negast, tl1e Penal Code of 1930 a11d all tl1e Negarit Oazeta Proclamations l1ave bee11. exan1i11ed .witl1 tl1e greatest care a11d taken into c,011sideration each tin1e that 1 t- \xras fJOss1ble to do so. 2. 3.

'.

72 Revue Penal Si,isse 404 ( 1957). Pr:oces-vecbal of May 2B, 1954 and Noven1ber 24., 1954, pp. 18, 35.

• •

•

.,

-· .

66

IN'fRODUCTION

en v �·e t 1e a 1_ tl tl is re a t, s e g e s g , t1 r s e I w s _ n a e l 1 w la T ? l \'. v'llole field o. f criin· iiia pri i icijJles \xrl1 1cl1 permeate a11d un1f)1 tl11s bra11cl1 of . d a e11 lllldafi ; ! -� (��/ 1�;·;1ity, (2) I-1a'rm, (3) act (effort), t4) n1e ns rea, (5) _the co11curr 1o at t1s a\X'. 1 e) ai ) ca (6 n, t, uc nd tl1at is' co e th r1n fo to t ac e t11 ith w · (7) . the JJun1ti re11ce of tl1e 111e,zs rea wee11 tl1e condu ct a11d tl1: } 1a1· �' . and ve · · t e b J a causal relatioi,sl,iJ . 'Tl1�se a re tl1e seve11 basic fJr111CtfJles wl11cl1 comJJrise nattlre o f tl,e satictiot1 1n1111al la\X'. · r c 1e · · tl1e fot1 11datio11 of tl 1s rn i11 te d of se es a rt JJr ce ex is w in la . l_ 1a 1i1 1 i� cr 1e tl ?f e ir tt tc rt st . j 1,' � L;tn, tl,e al ci rt pe pa (s es 1l ) d rt an 1e e tl th to p 11 sl 1 01 t1 la re te 1 11 f1 de a ar �e jJr.iiiciples wliic�1 t. : \) la l 1a 11 doctri11es of cr1m a e e, th 1ro ac Et p� st fir pe e n �!1 11 1 _ . es ag nt va ad 11 ai rt ce s l1a e 1n l1e rfl,e above sc e, tt n im bt er cr ch 11c ea co 111 s al 1 1t1 se es is t ha \v 11 o1 fr . ed riv de t 11o is rt pa geii eral 1 cl e. ea im to cr lly r ra fo ne ge ly JJJ aJ , er tl1 1o a1 or 1 o1 as re 1e 01 r fo 1 cl l·i\x,s \vl1i l r \x 1 ile jt1risdiction tt bt , �t jJa al 1er 1 _ ge a11 1Je ro Eu � tl1 i11 ted lis is :xa1nple, jt 1 �i sdictio11 . 1ts 1e1 en el 1al 11t se es r e1 1 tl 1 on fr ed r1v cle t no is co11cer11s all cri111es, it m es fro ipl s i11c pr i11e ctr . do l1 1is 1gt ti1 dis to ls fai o als 1e 1en scl an 1Je ro Et1 Tl1e , ple a1n the r ex fo s. 'ay \ 11t rta 1po 1 i1 ry X ve i11 es iJJl i11c 1Jr rn fro fer dif s i11e BLtt doctr lcs he lac the se cau be tne cri a t 1ni com t no es 1 do 1 so JJer ane i11s a11 t tl1a doctri11e etl1e t1ir m req fro 11 atio aliz 1er ge1 of d l<i11 t 1 e1 fer dif a ely st1r is ty aci cap necessary a st be tnu re tl1e t tl1a e, crim ry eve i11 rea rn a be st ns 111t1 re tl1e ,tt 1 tl e 111e11t ial tl1e s1Jec of 11 atio lific qt1a a as 11ity i11sa of 1 tio1 fica i c s1Je Tl1e 0 1. 1 so a11d 1 1·1ar11 JJart goes to tl1e definitio1 1 of a crin1e; it is esse11tial to tl1e correct legal defi11ition of tl1e SJJecific crin1es. BL1 t JJri11 ciples ,1re mt1cl1 broader notio11s ,xrhich, as stated, i11clt1de doctri11es; and tl1e)' tnay also be vie\ved as sta11di11g ot1tside tl1e JJositive law of cri111es, serving as descripti,,e JJro1Jositio11s of a cri1ninal scie11ce. Tl1us, 1ny second criticis1n of tl1e Et1ro1Jea11 sche111e is tl1at it lumJJS doctri11 es a11cl JJri11 ciJJles i11discri111i11ately i11 wl1at is called tl1e ''ge11eral JJart". �11d, of_ course it follo\xrs, if tl1is criticistn of tl1 e Et1ropea11 scl1e1ne is valid, that 1t l1and1ca1Js the co11strt1ction of a scie11 ce of cri111i 1 1al la\v. It cloes so because it is not l i tnitecl to tl1e esse11tial cl1aracteristics of crimes a11d cri1ni11al la,v but i 1 1trodt1ces ext�·a11_eous 1n,ttters, co11ft1ses doctri11es \xritl1 JJ1·i11ciJJles a11d so, it see1ns to me, it 1s 1 1ot a1� adeqt1ate tl1eor)' leadi11g· to a scie11ce of criI11i11al la,-v. One sl1o�l� 11ot be st1r1Jr1sed tl1 at tl1e Et1ro1)ea11 scl1e111e l1 as son1e Ii111itations b�.c�t�se it IS at least as o�d as tl1e Fre11cl1 Cocle of 1810. Surel:)' after 150 )'ears, c11t1cis1n of tl1at tl1eOr)' \X'tll 11ot be tl10L1gl·1t rasl1. If s0111� itisi�l,t i11to tl·1e for111al side, tl1e arcl1 itectt1re, of tl1e crin1inal la,v lias been �1ve11, it neecl 011ly be addecl tl1at tl1is l1as JJractical i111porta11ce for tlie la:xryei _ becat1se l1e ca1111ot be fan1iliar \x1itl1 ever)' crime i11 tl1e ,x,l1ole catalogtte. I le 1�1ay 11ever l1ave l1ad aI1y occasio11 i11 la,v scl1ool or elsewl1 ere · t o stt1dy tl1e cr11ne of co lt�itei-fet·t··11-1g- 01. tre aso11 or 111a11y otl1er cr11ne 1·t But s. . lcls tlie . oi,e ttticlei.f tai th \'{/i prii, ci1Jl es of \vor cri11 k 1iI1a l la\v to , 011e tool s l1as tl1e . a dt a y�e �\1� cr�!11e. If lie l1_as tl1is eqi1i1)111e11t l1e ca11 asl< \Vl1at is the relevant ��nt� ��at� 111 115 ci 1111e, wliat IS tl1 e l1arm, ,xrl1 at co11dt1ct is �-eqttired ' wl1at abotit ·t tlle Co 1 1ct1 r1 e11ce of· tl1e 1 ne 11 ta1 st· de \ ·it1 , th I t fJer ll f t, les ac i1J T 1d 11c a1 Jri so 1. 01 l1e � � _ a11cl reqttire 011e to asl< tl 1e coriect qtiest1011s e, ir cot s of abot A11d 1t each crim e · . ! · so far as tl1e 1e . . 1evance of tl,is fo r . coiis is · a l . t l rttc t· 111g cr1m11 1a a sc1e11ce of ,v t co11cer11ed, 011e 1,as oi,ly to 1 0 1 ? < at_ atiy b_ool< of JJl1ysics to realize tl1at mos of tl1e IJrog-ress iii tlie J) 1 ysica e o 1 tl l � sciet of ices 1s dt1e to tl1 e formal side s scie11ces. Ti,e laws of JJIl) Sics a atr ' e e o r m c th r 0 a . 11 i a • zed ·111to a systern so tl1 at a m ·1ca1 f )l1 ) 1 sicist, for exam)Jle' 11 evet. . goes 111to a laborator)'· We shall 11ever attain

•.

PENAL CODE Of ETHIOPIA

67

any such rigorous organization of crimlnal law, but that objective is no11etl1eless important. •

•

•

•

Que�tions

Before ans\vering tl1e followi11g qt1�stio11s carefttlly exa111ine tl1e Table of Conte11ts of the P. C. E., givi11g special atte11tio11 to Boal(, Title, Cl1apter a11cl Sectio11 11eadings. 1. What is tl,e relationsl1i 1J bet\veen tl1e Code of Petty Offe11ces a11d tl1e Penal Code? Wl1at article witl1ir1 the Code of Petty Offe11ces cliscloses the difference bet\x,een a fJetty offe11ct a11cl a11 ordi11ary offence? Wl1y 11ot l1ave three codes i11 a triJJartite divisiou? Why 11ot a si11gle code? 2. Why does tl1e Penal Code of Etl�iOfJia l1ave botl1 a Oe11eral a11d a Special

Part? WI1at are tl1e ft111ctio11s of eacl1 part?

3. What is tl1e relatio11sl1i 1J bet\veen tl1e SJJecific definitio11 of a crin1e (Special Part) a11d tl1e broacler pri11ci 1Jles gover11i11g pe11al law (Oe11eral Part)? for instance, consicler tl1e relatio11sl1i 1J bet\vee11 Art. 630 a11cl Arts. 26 a11d 58. lv1ay SJJecial Part articles co11tai11 exceJJtio11s to JJri11ci1Jles establisl1ed i11 tl1e General Part? 4. Is it important, as Hall mai11tain� (p. 66), to distingt1isl1 pri11ci 1Jles ·fro111

doctrines? Are t}1ey easily separable? Co11sider tl1is co11tentio11: All pote11tially cri1ni11al bel1avor sl1ould be exa1ni11ed i11 relatior1 to each of I -Iall's tl1ree tl1eoretical gro uIJi11gs: pri11ciJJles, cl octri 11 es a11 cl specific defi11itio11s (ele1ne11ts of JJarticL1lar crin1es). To fincl crin1i11al liability eacl1 of Hall's seve11 ta.sic pri11ci 1Jles plt1s eacl1 of tl1e specific defir1i11g ele1ne11ts of the crimes 111t1st be JJrese11t \Vl1ile tl1e cloctri11es (primarily irresponsibility, Arts. 48-56 and tl1e defe11ses Arts. 64-78) 111ust be absent.

5. What are the implications of the last (JaragraJJh of Hall's excerpt for legal educatio11? Recommended Readings

Graven, l11troduction, Le Code Penal De l'Empire D'EtlJiopie {Centre Fra11c;ais de Droit Compare, 1959); Aml1aric a111i Englisl1 tra11slatio11, I.]. Eth. L. 207-298 (1964) (the best and most comprehe11sive state1ne11t by tl1e drafter as to the sot1rces, theory a11d spirit of tle Pe11al Code). Graven, Vers Ltn Nouveau Droit Pen1l Etl1iopien: de la plLis 1-\11cie1111e a Ia Plus Recente Legislation du Monde, 8 Revue lnternatioriale de Criminologie et de Police Techniq ue 250-280 (19541 (comprel1e11sive article qttite similar to the Introduction to the Code Pena: supra). Graven, L'Ethiopie lv\oderne et la Cocificatio11 du Not1veat1 Droit, 72 Rev1,,e Penal Suisse 397-407 (1957) (short statement co11cer11ing the backgroLtncl and period of codification of the Penal Code). Graven, De I' Antique au No11veat1 Droi: Penal Etl1ioJJie11, Oct. 18-30, 1954 La Vie Judiciare 445-446.

...

68

l�JTRODUCTION

I-Jilge rt, Le Notivea\t Cod_e Penal Etl1iopien, 9 Revue A1odern de la Police 14 (lv\ April, 1961) (tl11s art1_cle does not add 1nuch to what Professor Grav arch. en l1as ). de e C) tl1 already said co11cern1ng Graver,, La Classifica�io11 des Inf�·cctio1:s du Code Pe��I e� ses Effets, 73 Pe,ial s,,isse I (19�8) (g·oo_d �1�ct1ss1on of tl1e class1f1cat1on of offei,se �evue s , n.b. JJp. 34-41 co11cern111g· Etl11op1aJ . Ii all, Ge7:eral Principles of C1:£mi!2 al Law 1 �-2_6 (broad theoretical statemei,t o n. � of JJr111c1JJle� cr1m1nal Ia\v fur1dame11tal and tl1eir cern1ng orgaiiization in a code).

Part II ANALYSIS OF THI THEORETICAL BASIS OF PENAL LAW WITH SPECIFIC REFERENCE TO THE LAW OF ·HOMICIDE THE GENERAL PART

. '

CHAPTER 6

Introduction to the General Part SECTION A. THE CRIMINAL ACT AND CRIMINAL GUILT: PRE.REQUISllES TO LIABILITY

TliREE ESSENTIAL CONDITIONS FOR CRIMINAL LIABILITV 1 ·

Pail Logoz ( Contir.ental Law)

l'hree esse11tial conditions m11st be realized in order to constitute a cri1n­ inal offense: a) .. The offense must be tl,e ma11.festation ot !Juman activity and tl1is activ­ ity m11st be prescribed by law.... The hun1an activity may also be inactiv­ .it)' as tl1ere are crimes of com1nission a11d those of on1issio11. b) OnlJ' tl1ose acts \Vhicl1 are contrary to law may co11stitute offenses. c) Even \vhe11 tl1e first t\X,o co11ditio11s are realized, there \,;,ill not be an offe11se unless there is guilt (in tl1e form of i11tention or, i11 certain cases, i11 tl1e form of neglige11ce).... THE CRIMINAL ACT AND CRIMINAL OUILT 2 Glanville Willianis ( Com"J1on Law) The necessi ty for a11 act: The cl1ief 1:roblems in tl1e general f)art of criminal law pertain to tl1e requirement of a crin1inal state of mind, 1ne11.s rea; but tl1ese

can11ot be adeq11ately disc11ssed \Vitl10.1t a [)reli1ninary exploration of the nature of an act1,s reus. ... That crime req11ires an act is i11variablJ' true if tl1e f)ropositio11 be read as meaning tl1at a private tl1ougl1t is 11ot sufficie11t to fou11d responsibility. Shakespeare's lines ex1Jress sot111cl leg:tl doctri11e: ''1-lis acts did 11ot o' ertal{e l1is bad ir1tent; And must be bttried bttt as a11 i11tent That perish'd by tl1e way: thougl1ts are 110 subjects, lnte11ts bt1t merely tl1ot1gl1ts. 1

'

1. Logoz, Cornmentaire d11 Code Penal Suisse 30. 2. Williams, Criminal Law 1, 30.

·

71

INTRODUCTION

''So_ long as an act rests1 i11 bare i1te11tio11,'' said Lord Ma11sfield, ''it is not pun1sl1able by our laws' ;< 1> and this is so eve11 tl1ot1gh tl1e intentio11 be abunda11tly proved by the confession o: tl1e accttsed. It is worth JJausing to i11 qt1ire i11to tl1 e reaso11 for tl1is rttle. A reaso11 c�mmo11ly given is the sttJJposed impo�sibility of JJrovi11g a me11tal state. ''A tr1?t111al,'' said Blacksto11e, ''ca1111ot JJt1nsl1 for wl,at it ca11not l<11ow.''<2> So also Br1a11 C. J.: Tl1e tl1ot1gl1t of n1a11 is 11ct triable, for tl1e devil l1i111self l<110\xretl1 !1ot tl1e tl1ougl1t of 1na11.''(3) Bttt Bria11 vas SJ)eal<i11g of a11 inte11t 11ot declared 111 \_xrords or co11duct, a11d or1 a11otl1er occasio11 lie recog11ized tl1at i11te11t can �e. 111ferred frotn acts. Si111ilarly, it ca11 be i11ferred fro111 a co11fessio11. J-Ie11ce it ts 11ot true to say tl1at i11te11t ca1111ot be triecl.Better reaso11 s for tl1e rL1le �xroul� be . (1) tl1e difficLtlty of clisti11guisl1i11g bet\xree11 day-clrea1n a11d fixed 1nte11t1011 1n tl1e abse11ce of bel1aviour te11di11g to\vards tl1e cri111e i11te11ded, a11d (2) tl1e u11desirability of SJJreaclinf tl1e cri1ninal la.,v so \Vide as to cover a mental state that tl1e accttsed n1ig·l1t be too irresolute eve11 to begi11 to translate i11to actio11. Tl1ere ca11 l1ardly be a11y 011e wl1 0 has 11ever tl1ougl1t evil. Wl1en a desire is inl1ibited it 111ay fi11d exJJressio11 i11 fa11tasy; btit it \xrould be absurd to condemr1 tl1is 11att1ral J)S)'Cl1dogical mecl1a11isn1 as illega l. Natt,tre of the 1·eq1!iren1e11-t of n1er1s rea: Tl1ere is no 11eed l1ere to go i11to the remote history of metzs rea; suffice it to say tl1at tl1e reqL1iren1e11t of a gL1ilty state of n1i11d (at least for tl1e 111ore se·ious cri111es) l1ad bee11 develo1Jecl b)r tl1e time of Coke, \vl1icl1 is as far bacl< as tl1e 111odern la\vyer 11eeds · to go. ''If one sl1oot at a11y \xrild fo\vl t1JJ011 a tree, a11d tl1e arro\v l<illetl1 an)' reaso11able creatt1re afar off, \xritl1out a11y e,ril i11te11t in l1i1n, tl1is is per infortitrti1t,11." C 4 J It may be said tl1at a11y tl1eory of cri1nii1al pt111 isl1111e11t leads to a reqL1ire1nent of s0111e l<i11d of n1e12s rea. Tl1e deterre11 t tl1eory is \VOrl<able 011 ly if tl1e culprit has l<nO\vledge of tl1e legal sar1ctio11s; a11d if a 111a11 cloes 11ot foresee the consequence of l1is act l1e ca1111ot aJJJJreciate tl1at JJt111isl1me11t lies i11 store for l1im if l1e does it. Tl1e retribtttive ·I1eory presttJJ()Oses moral gLtilt; i11ca1Jac­ itation st1pposes social da11g·er; a11d tl1e refor111ative ai1n is ot1t of jJlace if tl1e offender's sense of valttes is 11ot \var1Jd. 11

1

<

.

.

. -

Wl1at, then, does legal 1nens rea mea11? It refers to tl1e me11tal eleme11t necessary for tl1 e {Jarticttlar critne, and tl1 is n1ental ele111e11t may be eitl1er intention to do tl1e immediate act or bn11g abot1t tl1 e conseqLtence or (in some crimes) recklessrzess as to sucl1 act or corseqt1e11 ce. In different and more precise language, mens rea means intentio11 or re::l<lessness as to tl1e eleme11ts constitt1ting tl1 e actus reus. These t\xrO concepts, i11te1tion a11cl recl<lessness, l1olcl tl1 e l<ey to the understanding of a large part of c1i1ni11al la\X'.... •

Queit1ons

1. 2.

Do the requireme11ts of a crimi11al act a11d crimi11a_l guilt ex_i�t in Et�iopi�? We have already discussed Logoz second esse11t1al cond1t1011 \Vl11cl1 1s embodied i11 Art. 2 P. C. E. Are the words ''act'' a11d ''actus rets'' sy11onyms? Sl1ot1ld \Xie pt111isl1 a ma11

Scofield (1784) Cald. 402. (2) Comm. iv 21. (1)

(3) (4)

.

.

•

Y. B. (1477) P. 17 E. 4. 2a, pl. 2. Coke, Institutes iii 56 (1628) .

72

THE G:'.NERAI_ PART

ed to nd te 1 in m co lie nit a s at se tl1 es nf co l1t , ted ac t no s 11a if, alt11ougl1 l1e crime? ds or at w th er �t l be ou _c e er d th ? re te A no de J a re s en d m or w 1e t Wllat does ? 1 go un !p nt u1 de d l1e c! ac es at} do . t? hy ? ep W 11c be used to exi)ress tl1is co of cr1n11nal 1nte11t 11 10 t1s cl 1n e t tl1 or pp sL1 t en 1m sl 11i f)U of Do tlle fu11ctio11s within tl1e Penal Code?

AL CT A IN M RI C E TH N EE TW BE CE EN RR CU N O C SECTION B. AND CRIMINAL GUILT THABO MELI v. REGINA ) 54, 19 ( 3 37 p. Re g. En l Al 1 il, u11c Co vy Pri e, itte nim Co Judicial Tl1e jttdgment of tl1eir Lordsl1ips \xras delivered by L�rd Reid. The fo_ur ap1)ellants i 1 1 tl1is case were co11vicled of 111t1rder after a trial before Harrag1r1, J ., in tl1e Higl1 Cot1rt of Basutoland, i11 Jvlarcl1, I 953 . . . . It is establisl1ed by evicle:1ce, \Vl1icl1 \xras believed and wl1icl1 is a1Jpare11tly credible, tl1at tl1ere \xras a J)reconceived plot on tl1e part of tl1e fot1r acct1sed to bri11g the deceased man to a l1t1t and tl1ere to l<ill him; and tl1er1 to fal<e a11 accident, so tl1at tl1e acct1sed shotrld esca1)e tl1e pe11alty for tl1eir act. Tl1e deceased ma11 \xras brot1gl1t to t:1e l1t1t. I-le \vas tl1ere treated to beer and \vas at least partial}), intox i cated; a11d lie was tl1e 1 1 str11clc over tl1e head in accorcla11ce \xritl1 tl1e J)lan of tl1e accusecl.

Tl1ere is 110 evidence tl1at tl1e acct1sed tl1e11 believed tl1at l1e \xras clead, but tl1eir Lordsl1ips are pre1Jared to assn1ne tl1at tl1e.)' clid; a11d it is 0111)' 011 tl1at assumptio11 tl1at a11y statable case ct11 be 111acle for tl1is aJ)fJeal. Tt1e accused took ot1t tl1e body, rolled it over a lo\v kra11tz or cliff, a11d dressed up tl1e sce11e to mal<e it lool< Ii l<e an accident. Ob \1 iot1Sl)' tl1ey believed at tl1at ti1ne tl1at tl1e ma11 was dead, bt1t it appears from tl1e 111edical evidence tl1at tl1e i11juries wl1icl1 l1e received i11 tl1e l1ut \Vere 11ot st1fficie11t to cause tl1e deatl1 a11d tl1at the fi11al cause of l1is death \X1as ex1)ost1re \x1l1ere lie \xras left at tl1e foot of tl1e krantz. . !l1e JJoi11t of la\xr wl1icl1 \x1as raised in tl1is case ca11 be si1npl)r statecl. It !s �aid tl1at t\xro acts were 11�cess�r:')1 a11d \x 1ere se1)�1rable: first, t1 1e attack in the 11ut_, a11d, s�co11dly, tl1e J)]ac111g �r tl�e boci)' ot1ts1cle after\,:,,ards. It is said tl1at, \Vl11le tl1e first act \vas acco�11Ja�11ecl b)' 111e 11s rea, it \x ras 110t tlie catise of deatl1; but tl1at t�1e seco11d ac t, \x,J11le 1t \xr_as. tl1e �at1se of deat!1, \x,as not accoinpatiied . t grou11d rt 1s said tl1a by me�1s I ea,. a11d or1 tl1a t tl1e accttsed are 110t bo·ttilty of �L11y cr1111e exceJJt 1Jerl1aps ct1!1Jable ho111icide. It �PJ)e�rs t? tl1eir Lorclsl,itJS i1111Jossible to divicle Uj) \,,I,at one rea lly \Va s transaction. 1n tl1 1s \Va)'· T�1ere 1s 1:0 dot1bt tl·1at tlie acctised do all se t . ou to t _ tl1ese acts 111 orcle1 to acl11eve tl1e1r JJla11 a11d as j)arts of is t tl · 1 e d JJ r · a 11 ; a 1 n 1 11 t1 c 11 too refined a groti 11d of j Ltdo · n1e 11t lo I I s � t \r 11 � I t t le)' \xrere tJI1der· a niis,apprel1e11s1· 011 at 011e stao·e a11d tl1ot1crl1· t tl1at tlieir be. c at1se r jJurrJose 1,a ct be en ·1· t y 1 gt1 . achieved before in fact it �'as :ichie\red ' t I1 e.i_e"foi e tile)'. a�e to esca1Je �I·1e JJe1 1alties of t\1e Ja\v. Tl'leir LorclsllL i .: . r 1 1J·' do 110 t tliriil< tl1at tl·11s 1s a 1n \x at te h ch r is susce1)tible of elaboratiorl Tl _ a l IJe� s to be_ rio case eitl1er i11 Sot1tl1 . � Africa or E11gla11ct ' or for' tl·ia·t 111.�� ' :: ti e_ Se. \,,;1e1_ e, \'v'l11cl1· rese n1bles tl1e prese11t. b

.,

,

.

'.I.

INTRODUCTION

''

I

·,

•I

73

Their Lordshi1Js ca11 fi11d 110 differe11ce releva11t to tl1e 1Jrese11t case between the law of Sot1tl1 Africa a11d tl1e law of Enaland a11d tl1ey are of OJJi11ion that by both la\vs tl1ere cot1ld be 110 se1Jaratio11 �t1cl1 'as tl1at for wl1icl1 tl1e accused contend, as to redt1ce tl1e crime from 1nt1rcler to a lesser crime, 111erely becat1se tl1e acc11sed were under sotne misa1JJJrel1e11sio11 for a ti111e dttring tl1e cotnJJletio11 of their criminal plot. Tl,eir Lordships m11st, tl1erefore, l111111bly aclvise I Ier Majesty tl1at tl1is apJJeal should be dismissed. PALANI OOUNDAN v. Elv1PEROR3 1920 Madras 862 l11dia

... Tl1e accttsecl str11cl< l1is \vife a bloYv 011 lier l1eacl \Viti, a JJlo11gl1sl1are , \vhicl1, thot1gl1 11ot kno\v11 to be a blow lil<ely to cat1se cleatl1 1 clid, 111 fact, render lier t111co11sciot1s a11d believi11g lier to be deacl, i11 order to lay tl,e fou11datio11 of a false defe11ce of suicide b;' l1a11gi11g, tl1e acctisecl l1a11ged l1er 011 a bean, by a ro1Je a11d tl1ereby cattsed l·1er deatl1 by stra11gt1lation, a11cl it was l1eld by the fttll Be11cl1 tl1at tl1e accused \Vas riot g·t1ilty of eitl1er n1t1rder or ct1lpable l1omicide 11ot an1ot111ti11g to 111t1rcler as tl1e origi11al ir1te11tio11 \Vas 11ot to cause deatl1 bttt 011ly to catise i11jt1r;' a11d tl1e seco11cl inte11tior1 \Vas 011ly to dispose of a SLI!JiJOsedly- dead body i11 a \Vay co11ve11ie11t for tl1e defe11ce whicl1 tl1e acct1secl \Vas abot1t to set Ll l) .... QL1estions

1.

Are tl1e T/1abo Meli a11d JJcilci,1i Gott12d�-1r1 cases disti11gt1isl1able? Wl1at is tl1e defe11se tl1eory bei11g arg·t1ecl ir1 botl1 cases? Wl1icl1 jL1clg·111e11t do yot1 agree witl1? Does Art. 60(1) P.C.E. l1el1J ir1 clarifyi11g tl1e co11flicting l10Idi11gs i11 these cases?

2.

Does tl1e \vordi11a witl1i11 Arts. 57-61 P.C.E. i1n1Jl)' tl1e 11ecessity of cor1currence bet\vee11 °''act'' a11d ir1te11t'' or ''11eg·Iigence'' i11 order to cor1sti­ tute criminal liability i11 Etl1iOfJia? N.b., ''co11ct1rrent offe11ses'' as co11sidered in Arts. 60-63 is a ft111dan1e11tally differe11t co11cept fron1 co11ct1rrence between ''act'' and ''i11te11t''. A qt1estio11 of co11ct1rre11t offe11ses to be solved inter alia t111der Arts. 60-63 111igl1t be tl1e follo\vi11g: A sl1oots at B inte11dir1g to kill' l1im bt1t misses a11cl i11steacl !<ills C, a bysta11cler. 11

Problen1

May Ato Balai be convicted of tl�eft t111der Art. 630 P.C.E.wl1e11 l1e tal<es _ tl1at l1e 111acle a a certai11 article belie\1ing it to be his, and later discovers mistal<e bttt retai11s tl1e article a11yway? See also Art. 643 P.C.E. 3.

As discussed in Gour, 11 1·"he Penal larzu of India 1363 (7rl1 ed., 1963).

THE GENERAL PART

74

NOTES Other formulations of the Requirement of Concurrence

Note 1:

Bisl1ofJ, Co111bi11ation of Act and I ntent4

h tl1e lis ab e, est rul ies rit tl1 t at1 tha tl1e and 1g, oi1 eg for t11e 111 � . It results fro _ . law a 1:1e In cr1 te itu nst co And, to it1e mb co 1st n1t t e11 i11t l evi d . an act . at, gei,erally, perl,aps _ always, tl1e act a11d i11te11t 1nust c?ncur _111_ po_111t of t11ne.... No aino1111t of 111te11t alo11e, or of act alone, IS suff1c1ent, the two must combi11e.... Note 2:

Perki11s, Conc11rre11ce cf lvlens Rea a11d Actus Reus5

One error to be avoided is tl1e false 11otio11 that ''concurrence'', as l1ere t1sed, means 110 more tl1a11 1nere coincide11,:e, becat1se the actual requiren1ent is tl1at tl1e two e1emer1ts of crime 11111st be ''bro11gl1t together'' i11 tl1e sense of a causal relation bet\x,ee11 tl1e n1e11s rea a11d tl1e actr,s re1-,s. Stated in other \X!Ords t}1e actr,s rei1,s n1ust be attribt1table to tl1E 111e11s rea, a11d if tl1is relation is clearly show11 it is u11i1nportant tl1at t11e :.\'v'O were not JJresent at tl1e same time, wl1ereas co-existe11ce is 11ot s11fficie1t if tl1e ca11sal relatio11 is lacking. Tl1e la\v will recog11ize ho1nicide, for exan1ple, altl1ougl1 a long period of time ela1Jsed betwee11 tl1e blow and tl1e deatl1, if it \vas \vithin the establisl1ed '')rear a11d a day," bt1t tl1e l<illing \x,ill be m11rder if, and 011ly if, the loss of life resr.,lted frorn a state of 1ni11d meeting tl1e require1ne11ts of 1nalice aforetl1ot1gl1t. If the blo,v \Vas str11cl< \X1itl1 n1alice a.foretl1ougl1t tl1e resulting deatl1 is n1urder despite tl1e fact tl1at tl1e assaila11t ;11bseq11ently cl1a11ged l1is mi11d and was l1opi11g ver)' si11cerely, before tl1e e11d came, tl1at l1is victim \,1ould survive; wl1ereas, if tl1e blow \Vas str11cl< in privileged self-defense it is i11nocent l1omicide altl1ot1gl1 tl1e defe11der later decided .o kill l1is forrner assaila11t i11 cold blood a11d \Vas searcl1ing for l1i111, 11ns11ccessf11ll)', \vitl1 tl1is tl1ougl1t in mind at tl1e very Il101nent of deatl1. Note 3: Iiall, 1'11e Pri11ciple of Concurre11ce6 ... Tl1e pri11cir)le of conc11rre11ce requires tl1at tl1e 1,7 e71 s rea (the inter11al . fus1011 of tl1011gl1t a11d effort) coalesce \X1itl1 tl1e additio11al 1na11ifested effort (''act''), tl1at. tl1ey functio11 external];, as a 1111it to comJJrise criminal co11duct. As \vas prev1ot1_sl� stated, this is a \xay of mal<i11g certain tl,at tlie defe11dant's co11d11ct \xras cr11n111al, i.e.tl1at l1is co11d11ct actuall)' expressed a n?ens rea. botl1 are , or exam pl to l<i 11 last \'v' ek D decided. X, Toda)', tliey � � � , . climbing a,1 _Al1)1ne 1not111t1a11, D s_ foot slips and injl1res X, the climber below, who loses 111s l1old and falls to l11s deatl1; ar1d D's e\ril i 11te11tion is discovered. 4. Bishop, The C1·in1inal Law 113, 263 (8th ed., 1892}. 5. Perkins, Cri,ninal law 726. 6.

Hall, General Principles of Cri1ninal La w l 8.S-186.

..

..

INTROOOCTION

75

The principle of concurrer,ce bars tl1e additio11 of tl1e mens rea to tl1e JJhysical movement to effect a mecl1a11ical ' 1s111n' of crimi11al co11duct.Tl1is is anytl1i11g but a tecl111icality. Instead, tl,e require11ent of tl1e integration or ''co11c11rrence'' of mens :ea. _and ma11ifesfed effort ( 'act'') prescribes a11 esse11tial _quality of m?r:�Ily .s1gn1f1ca11t co11d11ct - the co11j11ct met i11 Iife-sit11atio11s, wl11ch ca11ses crimtna_l h·ar_ms. Thus, tl,e f11nct-io11 of tl1e JJ1·i11ci1Jle of co11c11rre11ce ...is to · make it q111te clear tl1at cri1ni11al corzd1-tct, not tl1i11king or 111ove1ne11t or botl1 of them 11nrelaled to eacl1 otl1er, is req11ired to i11c11r crin1i11al liability. ••

•

•

•

.

..

..

-

Que,tions

· Which pl1rase forn111latio11 defi11i11�<: co11c11rrence is n1ost acc11rate? Wl1icl1 · would hel1J in solvi11g tl1e Thabo Meli a11d Palarz i Gottrzdan probletns? . . . a.Article 60: Tl1e ...cri1ninal act... flo\xring from a single cri111i 11al . intention or act of neglige11ce ... ,, b.Bishop: Ari act · a11d evil :nte11t mus t con,b.1ne.... 11

11

11

•·

:· •

c.Perkins: '' ... Causal relatior between 1nerzs rea a11d actits reits''; or, actits re1,ts n111st be attri:>11table lo 1nens rea." d.Hall: ''JV/erzs rea ...coalesce \Vitl1 ...act, tl1at tl1ey f11nction exter­ nally as a unit. ..." 11 .•

•

•

SECTION C. PRELIMINARY EXAMINAT:ION OF THE ETHIOPiAN · LAV\ OF HOMICIDE

ATO ABAVNEH OABRESELLASSIE v. THE ATTORNEY GENERAL .

.

Supreme Imperial Court, Criminal Appeal No. 221/55 (1963 G. C.) Etfiopia

.. Tahsas 27, 1956 E.C. (Dec. 25, 1 �63 O.C.); Justices: A1r� 0. Debbas, Ato Haile Aman and Ato Tessemma Negede: - Tl1is is an afJfJeal agai11st tl1e convictio11 and sentence of the J-Iigl1 Cottrt (first Crimi11al Division) dated 24tl1 Ter, 1950, i n Criminal Case No.661 /491 wl1ereby tl1e ap1Jellant \Vas foL111d guilty -of murder...

. . .

-

As stated by the eye-witnesses, the ceceased was heard cryi11g a11d screa1ning in her l1ouse; then she ran 011t from tl1e house a11d fled to the neigl1bo11r's house to which appella11t pttrsued he· a11d dragged lier out to tl1e door a11d stabbed her at tl1e doorsteps. The postmortem exami11ation revealed tl1at tl1ere were scars of beating and l1itti11g on the dead body.. .. Tl1e a1Jpellant started indeed, after lie had stabbed his wife, to cry and weefJ regretti11gly.... Tl1e husband beat his wife first, sl1e ran a�ay to tl1e neigl1bot1rs, a11d l1e fJttrsued her, dragged her out and stabbed her at the doorsteps of the 11eighbours, and then started crying like a child, after le realised what l1e l1ad done....

..

.. '

THE GENERAL PAR·r

76

QtJestions 1.

After careft1 lly reading Arts. 521-�2�, 526 P.<:;:.E., try . �o place Ato Abayi,eh withi1 1 tl,e proper prov1s1011 govern1 1 1g hom1c1de. Would it helJJ to kno\V tl1at the same court that decided the Ato Abayneh case later held i 1 1 tl1e case of Ato Leggesse Tumtu and Ato Argaw Mametcha v. Attorney General, St1preme Imperial Court, Crim. App. No. 643/55 (1964 O.C.): Tliis is a11 apJJeal against tl1e co11viction a11d sentence of tl1e Higl1 Court (first Criminal DivisiJ11) dated 23rd Megabit, 1955, in Criminal Case No. 461/53, wl1ereby both ap[Jellants were co11victed of murder co11trar)' to Article 522 of the P.C.E. of 1957, and sentenced to death. It is importa11t to empl1asizc ever since tl1e beginning that there is not mucl1 to disct1ss in this appeal regarding tl1e question of conviction. Botl1 aJJpellants were convicted 011 the strength of tl1eir own confession to the fJOlice. Tl1e 111urder �as co 11sidered as aggravated in that the beating \Vas repeated and t1e deceased l1ad been wounded in six differe11t places, and fi11ally died as a rest1lt of i11tercranial l1emorrhage caused by tl1e inflicted wou 1ds. The Court considered this beating as brutal a11d passed death se11te 11ce on botl1 aJJfJellants. •

2. 3. 4.

•

•

•

Co11victio11 co11firmed. Do you fi11d any particular order a 1 no 1 1g Arts. 521-524, 526? Are all inte11tio1 1al l101nicides JJunisl1able? (see e.g., Art. 64 P.C.E.) May a deatl1 sente11ce be exeruted 11pon court order alone? Wl1y does Art. 523 11ot mentio1 1 Art. 526? Wl1y is ''viole11t emotion'' or ''i11te11se JJassion'' more excusable tl1an '�prem �?itatio11''? Wl1at degre,� of 11egligence constitutes ''crimi 11al neg­ ligence ? (Tl1e General Part nta�}' l1elp you in ans\vering this question.) Recommended Readings

frejaville and Soye_r,_ Droit Crin1i11el 13-22 (discussion of tl1e Ieo-al material a11d 0 moral prere�t1_1s1tes for cri1ni11c:l liabilit)' in fra11ce; see Art. 23 P.C.E. for 11se of s1n11lar ter1ninology). Bouzat, Droit Pe11al 120-133 (brief stateme11t of tl1e posi tio 11 of tl1e n1aterial a11d moral elen,ent.s of pe11al liability i11 frencl1 la\v). Holm_es,_ The. Con1n1or1 Law 53-57 (discussio11 of act a11d i11tent as elements of l 1ab1l1ty 1n tl1e co111mo11 la\'v'). Harno, Crimin al_ Lt--i'7.o 21-40, Cl1ap. II, e11titled: ''Eleme11ts of Crimi 1 1al Liabilit)'"· _ _ Dession, Crim�11al Law Adn2ir1istra_tiori a11£l Public Order 430-461 ( 1948) (cases a11d materials 011 tl,e act and 111te1 1t prereqt1isites for pei,al liability).

.

.

.

�

I

CHAPTER 7

The Criminal Act SECTION A. DEFINITION

J.>ENAL CODE Of ETI-IIOPIA Art. 23. - Offences.

(1) A crin1inal offence is a11 act or 0111issio11 \xrl1icl1 is 1Jrol1ibited by la\xr. •

•

•

•

a. The Compo1ents of an Act ACT, INTENTION i\ND lv10T VE IN TI-IE CRI1\i\INAL LA \Y./ 1 lV. C'ook It is a common sayi11g t11at every cri111e 111ay be look:ed at as co1nposecl of two elements: (1) a11 act a11d (2) tl1e :11te11tion, or state of mirid \xritl1 \xrl1icl1 tl1e act is done.l11 con11ectio11 \xrit11 tl1e lat:er tl1e questio11 n1ost co111mo11ly asl<ecl is, ''Did or did not tl1e 011e \xrl10 did ·I1e act inte11d to bri11g aboL1t tl1e results 11 \vl1ich actually took place? Was tl1at 11 s i11tentio11? I-lo\xrever si1nJJle a11d clear such statements a11d qt1estio11s may afJpear to be at first sigl1t, a 11101ne11t's reflection reveals that tl1e two ter1ns, a-ct a11d inter1tio11, are by 110 111ea11s free from ambiguity.... first then of tl1e term act: no wod. is 1nore con1rno11ly ttsed by jL1dges and writers upo11 law, as a rule a1J(Jart11tly witl1ot1t 1nt1cl1 tl1ot1gl1t of a11y JJos­ sible ambiguity.Legal literature is full of fJl1rases st1cl1 as 11tl1e crimi11al act," ''an act of l1omicide," ''an act of tresµiss," etc., etc. Let tis ar1alyze 011e of these phrases.Take, for exan1ple, a11 a�t of l1on1icide''.SttJ)pose A n1L1rders B by shooting him witl1 a pistol.What is ''tl1e act''? Tl1e t1sual a11s\x1er \,,ould probably be, ''tl1e act of killing B''.Ere11 a brief consideratio11 sl10\'v'S us tl1at we have here a complex ratl1er than a simple tl1i11g; tl1at if \xre are to t1se \vords in an accurate, scientific man11er we n1L1st recog11ize tl1at tl1e ter111 act is l1ere used so as to include more tl1an 011e 1l1i11g. App,tre11tly it covers (I) \x1l1at 1na)' be called the act (or series of acts) in a rarrow se11se of tl1e word £. e., a 111uscular movement (or movements) willed b:> tl1e actor; (2) so1ne refere11ce to tl1e surrounding circumstances; (3) tl1e co11sequences or rest1lts of tl1e 1nove­ ment (or movements). It seems obvii)llS tl1at if we are to mal(e any care­ ful analysis, we must distinguish bet\xree11 tl1ese tl1ree tl1i11gs; to clo so, \Ve need to have separate names for tl1em Perl1aps we ca11not do better tl1a11 to 1.

- - '-

26 Yale L. J. 647-658 (1917) .

·rHE CRIMINAL ACT sugg es te ?, i. e., so tl1at it e 11 e ov s se ab e ow rr a 11 r e tl1 to t restrict tl1 e word ac s, \'(l e ca11 say that t th do e \V . ed £ll �f w is c.t th t en �1n 0 _111 ar L r1, . � tnea r1s sitnf)l)' a 71111sc

(1)

(2)

a ct (01r acts); e tl1 s1der c 1 to o1 1 e e :1.v w y 1 l1t b1 a l1 l na j11 considerii1g criini s; (4) tl1e actor s s tate of 1 ce e1 11 qu tl1 se co e s ) ; ce (3 11 a st 1 n tl1e conco111ita11t circt1 � tance� and con­ um �c c1 es tl, to ce r en fe r� 1 itl � w t s ac niiild at tl, e time li e 1 tl1 111 s narro\ver g, 111 er 1d 1s 1 co ar e e w c l11 \xr e s ca te e : 1cr _ seque11ces. 111 tl, e co1 r la cu ov us e1ne 11ts m m of s e ri e s a t of s 1 11s co A of ts ac sei,se of tl, e word tl1e tl1 e, e fact tl1at pl am ex r fo , ?e i1 1c lu ces tc.n rns c1,t c£r 1t tar m£ \'(filled b)' A. Tl1e co11co _ a ded, etc., etc. The lo s a w t s ol pi e tl1 1t tl1 l; sto I)t e tl1 B was witl1i11 ra11ge of e1�.)' 11�1nerous; �01 11e _are, for example, v e rs �u c of e ar ts ac s A' of co,isequences ct1on; tl1e trigg er 1s . pull ed back; the re d1 , B' 1 11 ed r11 ttt d a11 d e is ra is tl1e pistol cie s; tl1e bu llet 1s e� pelled fro111 l x1) e d an te d 11i ig � is r e wd po e tl1 ; s l 11an1mer fal ce of B s body a11d rf� su tl1e s 1l<e str B, 2rd r x to\ air t l1e l1 t1g ro 1 ti s e go , _ tl1e IJistol es physi cal cha11ges which go _ r de un dy jo B' s ult s re a ; as e n sa1 e tl1 es _ 1)e11etrat s a11 d 1nany otl1ers are 11g th1 e s tl1e ll a , lly ica 1tif ie1 c s d an tly c i Str l1. t i dea rest1lt n e sam e.... tl1 of ces r-ten seq co11 1e tl y rel e 111 t bu ct, a A's of ts not par WHAT CONSTITUTES AN ACT2 Rollin Perfe£11s �r1·1e \'(!Ord ''act'', lil,e tl1e \'v'Ord · 1l1ome'', is 011e of a1nbiguous i1nport used i11 variot1s se11ses of differe11 t clegrees of gene ralit)'. (I) A J)erso11 wl10 is asked \vl1ere l1is l10111e is by a resicle11t of tl1e s a1n e g e11eral 11eigl1borl1ood ma), rep}), b)' givi11g 111ere ly tl1e stree t and 11-11nber. I n r espo11se to tl1e sa111e questior1 asl<ecl b)' a frencl1111a11 dt1ri11g a casu al co11vers ation i11 Cl1ina, tl1 e same person ma)' a11S\'(ler tha t tl1e U11ited States i, l1is l1om e. U11d e r: o tl1er circ11n1stances l1e ma)' give as l1is l1ome tl1e state of Ne\xr Vorl<, Ne\v Yori< City or the borougl1 of .i\i\a11l1a ttan. Tl1e se \'(lidely differenl forms of expression do not i ndicate a11y cl1ange in tl1e IJlace of l1is abode.Tl1ey invol\re 11 eitl1er missta ten1e11t 11or mis­ t111dersta11di11g. Tl1e word l1as tl1is 1nucl1 elastic i ty a11d tl1e 1na11 ner of its t1se \Vill ordinarily indicate tl1e degree of generality. Hol1nes was incli11ed to li1nit tl1e word ''act'' to tl1e \\7illed 1nove111e11t of tl1e body itself, _as. tl1e mere cr?o1 <i11� of tl1e fi11ger i11 tl1e case . s11gge stecl.(2i Salmor1d te11ds to 111s1st LIJJ011 tl1e 111dus1011 of all factual oc curre11ces occasio11ed by the exertio11 of tl1e will.. ..<3> C:l1sto1nar), usage, eitl1er i11 juridical disct1s2. Perk.ins, Crirninal Lar;.v 4 71-47 2. (I) S almo nd, Jurisprudence, 381 (8th ed., 1930;. (2) "For i�scanc_c, to crool� the forefin�er ,vich a certain force is cl 1e same act -.;vl1etll er the trigger of a pistol ts next to 11: or _ nor. It 1s 011!.1 the. surrou�ding circumstances of a pistol loaded and . cocked, and of a l1t11nan being 1 n sucl1 a relation to 1t as · t hac · co be ma111·fest1y 1·11 (el y to be l 11r, _ a-.. e t1c 1•. l a�t a wrong. ,, J Iolt1 1cs, 11,e Co111r1011 L,1w 54 (lS81). � (3) Every _act 1s �1�dc up of r_l1�ee factors or co n sriru:nc ?arcs. Tl1ese_ are ( 1) its origin i11 son,e 1nental or bodily act1v1ty or pass1v1ty of cl1e deer, (2) its c1rcun1stances, and ·ts conseq11ences. Let u•J ( , 1 3) . . . . . suppose cl1at 1n pract1c1n g with a rifle I shoot son1c person b)' acci·den t Tl1e 1nater1a · ·· l el ements · of . · . . · . 11 · · the fo owing. its or1g1n or Jrunary state ·· ·. ffi), act are · ns, ' na,n ' el Y a series o f muscular concracc1o · bY wh.tc}1 tI1e r1·fle ls · rais · ed and the tric, o-er pulled. '· second Iv 00 · h · . 1, til e c1rcu1nstances, · - of v,.,}11c tl1e cl11el are ti1c f_acts. tI�at. the r 1·fle ts . loacled a n d 1r ,vork1ng order, and tll at til e ersoil l(illc . d is in che line of fire; thirdly, the co nsequen ces, the cl1ief of wl1icl1 arc tl · os1·on le fall o f tpl1e trigger, t1'1e exp . l of rl1c d e , t·he d",sc l1ar_ge of tI1e bull,t, its passage tl1rougl1 the bod y of tl1 e man killed, and � his deac��· :W S a n1ond, op. cit supra note I at 383· Tl,e tra · d.1c1ona 1 de finition of crime uses t I1e . ' . " · . word "act" 111 · n ct con1m · · sense. · t J11s A crime or 1n1s:le n o . :,s 1 cted or omitted, in violao·on of a public law eitl1 er forbidding or con1n1��d:�·; :t. : ; B • C omm. S . . . . t, . .

DEFINITION

•

'

79

sio11 or i11 ordi11ary co11versatio11, lends sotne sLtlJI JOrt to eitl1er view. Tl1e prese11t trend is in the ciirectio11 of tl1e JJositio11 tal<e11 by liolmes ratl1er tl1a11 tl1at b -y Sa . lmo11d. Problem

c;:011sider tl1e follo\vi11g fact sitL1atio11 a11d tl1e11 adclress yoLtrself to tl1e q Ltest 1 OllS bel O\XI: Tl:e aJJpella11t \Vas cl1argecl \X1itl1 a11 offe11se L111cler Art.462 of tl1e Per 1al Code 1n tl1at lie, \Vith tl1e i11te11tio11 of o·etti110· 1nore votes, corrttJJtecl electors by giving tl1em 1no11ey to i11clL1ce tl1e�1 to ;ote f- or l1i 1n i11 tl1e electio11s for 111em?ers of Parli,t111e 1 1t.... Tl1e J-ligl1 CoLtrt fott11d tl1e aJJJJella11t gLtilty of o!fer 111g m_oney to electors tl1rottgl1 l1is age 11ts, co11victed l1i111, a11d serite11ced 11_1111 to a f 111e of E$500 a11cl i11 defaLtlt to a period of i1n1Jrisor1n1e11t for... six 1no11tl1s..../lto S'l1a7.vf De117111,i v. The P1,1,b/ic Prosecutor, SLtJJre111e I1111Jerial Co11rt, Cri111.1\1Jp. No. 103/54 (1961 O.C.). a. Using· I Ioln1es' defi11itio11 of ''\villed, 111Ltscttlar 1noven1e11t'', \vl1at \VOLtld yo Lt sa�>' \Vere tl1e \villecl, 11111scL1lar 111ove111e11ts \Vl1 icl1 made tl1e defencla11t i11 tl1e above case cri111i11ally liable? At \o/l1at jJOi11t \vas 1 tl1e act co1111Jlete? Is I Iol - 111es or Sal111011d's clefi11itio11 of act n1ore ttsefLtl for OLtr JJttrfJOses? b.Wl1at \Vere tr1e co11co111ita11t circLtn1sta11ces st1rroL 111di11g tl1e act \vl1icl1 co11 tribL1ted to its cri111i 11 ality? c.\Vl1at \vere tl1e co11seqL1e11ces of tl1e clefer1cla 11t's act? At \vl1at 1Joi11t do \Xii 11eel, 111 L1sc u lar 1 nove111e11ts e11d a11 d co11sec1 LIe11 ces begi 11? Co11 sicler \Vhether Cool< is rigl1t i11 l1is deter111i11atior1 of tl1e breal<i1 1g· 1Joi11t bet\Vee 11 act a11d co11seqLt e 11 ce i11 t11e ex cerfJt above. d.Wl1at is tl1e cliffere 11ce bet\xree11 a11 act a11d a11 offense? See Art. 23 P.C.E.s11pra.

b. Irivolunta1-y Conduct

PENAL LA\V Of INDIA: ''ACT" 3 Dr. 1-1. S. Go11,r

A11 act is, pro1Jerly s1Jeal<ing, a cletermi11atio11 of tl1e will [Jrod1tci11g an effect i11 the se 11sible world. It mea 11s s0111etl1i11g volL111taril:;r done by a l1Ltman bei11g, as for exa 1nple, wall<i11g, s1Jeal<i11g or \xrriti11g.It i11volves a11 operatio1 1 of tl1e mind as well as of tl1e body....

MODEL PENAL CODE4 Americcin Law I,1stitute

Sect. 2.01. - Requirement of Voluritary r1ct; ... (1) A IJerson is not gLtilty of a11 offe11se u11Iess l1is liability is based 011 Gour, I Penal Law of India 133 (7rh ed., 1963). Tentative Draft No. 4 (1955).

3.

4.

.

<.

. '

'-

.-

-•

-

-

,

TliE CRIMINAL ACT

80

to fo n er o p si r is m o m e r th o ct an y ar nt lu a act v a ? es tid cl in conduct wllich . rm fo er p to le ib ss o p y S ll a a c \v' physi whicl1 it 1 e ni tl1 ea m 1g of this 1in itl w ts y ac ar rt lt1 vo t no e ar g ir1 (2) Tile follow section: ; n io ls u 1 1 v o c r o x e fl re a ) (a ] a? m or [ co ss ne ; us ep cio sle ns co un 1g ri1 du t e11 em ov m ly di bo a (b) c oti p11 l1y m ro f sug ing ult res or gestion; is os JJn hy 1g ri1 du t uc nd co (c) 1ot � product �f the effort 1 is ise er� Jth t tl1a ent vem 1no ily bod (d) a or determinatio11 of tl1 e actor, either conscious or habitual; ... Comments:5

1. Paragrapl1 (1) requ·.res tl1at criminal liability be based on

co11duct and that the conduct which 6ives_ ris� to liabilitr include � voluntary act or the omissio11 to perform a11 act wl1icl1 1t was physically possible to have perfor1ned. This is not, of cot1rse, to say that tl1ese conditions are enough for the establishme11t of liability bt1t only tl1at tl1 ey are essential elements when liability obtai11s. Tl1at penal sanctio11 s can not be etn fJloyed with justice unless these require­ me11ts are satisfied seems wl1olly clear. Tl1 e la\v ca11 11ot hope to deter involuntary moveme11t or to stim11late action that ca11 not fJhysically be performed: the sense of perso11al sec11rity wo11ld be sl1ortlived i11 a societ)', where sucl1 move­ me11 t or inactivity could lead to form1l social condemnation of the sort that a co11 victio11 necessarily entails. People whose i11volu11tary movements threaten l1arm to otl1ers n1 ay �resent a _pt1blic l1 ealtl1 or safety problem, calling for therapy or eve11 for ct1stocl1al co1nm1tment; tl1e)' do 11ot JJresent a problem of correctio11 . •

•

• •

Questions

1. 2.

Wl1 y does tl1 e cri111i11al la\v inclt1de tl1 e \Vill or 1ni11 d as a11 i11gredie11t of a criminal act? Evaluate tl1is co11te11tio11 : a. willed m11sct1lar moveme11t co1 st·t1 utes an 1r1tentional act. b. musct1lar move1nent \Vl1 icl1 is not \villed but \vliic11 could ha\,e been willed (i.e., tl1e movement of o 11e s 1eg) co11stitt1tes a11 0111ission tl1at is eqt1ivalent to a11 act. c. n1usct1lar moveme11t \Vl1icl1 can11ot be \villed (i.e., tl,e 01ovement of one's l1eart) does not co11stit1-tte an act. Consider \vl1etl1er tl1 e follo\vi11g. ar · · · · · · e ac ts D ng ' ' ream : 1_ 1 1g; l11tt med 1 ; 1tat1 01 ! a11otl1 er wl1 ile sleep\xrall<i i,g 1 1 e 1 1YIJllOtized, \'\'l11Ie dru11l<; 11ot 1nov 1ng :� : one's ar111; not nioving orle:s . 1

3.

Recommended Readings

I-lall, General Pri11ciples of Criminal 5.

Ibid. at p. 119.

La7:J 222-228

(pl1 ilosopl1ical ap1Jroacl1 to t}1e

-'

81

DEFINITION

definition and function of actus reis i11 pe11al law). William�, Criminal Law 1-30 (tl1orough textttal co11sideration of tl1e act re­ qu1reme11t in crimi11al law}. Perki11s, Crimi11al Law 470-475 (discussb11 of tl1e necessity for a11d defi11itio11 of ''act''). Bouzat, Droit Pe11a.l 120 (paragra1Jl1 state111e11t cle-fining tl1e 111aterial eleme11t of an offe11se i11 French fJe11al la\v). 1958 Law Quarterly Rev. 20 (cliscttssior of a11 E11glisl1 case, R. v. Cunnir1gl?am, 2 Q.B. 396 \Vl1ich tt1r11ecl tt)J011 tl1e disti11ctio11 betwee11 a11 act a11d its consequence). 1958 Law Quczrterly Re·v. 176 (cliscussio1 of anotl1er E11glisl1 case, Hill v. Baxter, 2 W.L. R. 76 considering tl1e qt1e;tio11 \Vl1etl1er falli11g aslee1J \Vl1ile drivi11g is esse11tially at1ton1atic behavior 1egati11g the \Villed elen1e11t of actio11). SECTION B. Ac s Of OMJSSJON r

a. The Lega: Duty to Act CRIN\INAL OMISSION6 Pa11.,l Logoz In tl1e defi11ition of a11 offe11se, ex)ressio11s st1cl1 as !1L1111a11 111ove1ner1t'' or ''l1uman actio11' 1 mt1st be co11strt1ed broadly to i11clL1de 11egative as \veil as positive action. 11

Witl1out dottbt most i11fractio11s are criines of con1111issio11 in violatio11 of legal proscriptio11s; in tl1ese cases, tlie offe11der cloes tl1at \':rl1icl1 tl1e la\xr prohibits. Bt1t there are other possibilities as \vher1 tl1e pe11al la\v comma11ds - L111der tl1reat of punishme11t - tl1at 011e act.�o violate stich a law one mt1st refrain from acting. Tl1ese are crimes C)f trLte 0111ission. •

•

•

•

There are also, however, cri111es of omissio11 wl1icl1 are not cri1nes of true omission. These are crimes wl1icl1 coniist i11 JJrodt1cing a certai11 l1arm1 by 11ot committi11g an act which tl1e offencier is jt1dicially requirecl to con1mit.To tl1e contrary of trt1e omission, tl1ese l1ave :ertai11 conseque11ces dtte to the i11cri111inating inaction of tl1e offender.Anotl1er 11a111e ofte11 given to tl1is categor1, of crimes by omission is delicta per omi5ionem comr11.£ssa [crirnes of con1missior1 by omission]. In short, tl1ey consist of offe11ses \Vl1icl1, normally, are crimes of commission (intentional or neglige11t l1)n1icide, \villfttl i11jt1r�/, etc.) bt1t \vl1ich in certain cases may be committed by i11actio11. for example, a jailer, \vl10 wishes to kill his prisoner, deprives him of foocl.... l11 cases \vitl1in tl1is category, it is only possible to have s11ch 01nissions if tl1e offe11cler l1as a judi­ cial - by virtue of law or contract etc ....- obligation to ,ict i11 order to avoid tl1e unfortunate harm which he producecl. 6.

.

�-· � ,.·....... ..� . --

�

,

Logoz, Comment.aire du Code Penal Suisse 31-32

TI-IE CRIMif\!AI_ ACT

82

T R U O C E lvl E R P SU L P,A E D FE N A \ OERi\l

2 95 -1 12 2· t of or isi ec D te ?it Se c il ,1 ,ii 1 rj C Jst 7 2) 95 (1 0 15 J ,St. R. 59/50; 2 B. G. I-I. St.

1 d killed l1i1 11self a1 sb l1u t's 1 1 da 11 fe cle 1e Tl JI· i · 1 t11i c Ji1 t ,,r r , ca , . J ,, r,, . y J.tr . 1 rri ro 1 .,"J pp ea 1 e d 111 l1a co be lie er o ft 1c A l11 s. le 1b o1 ntr t1c es 111 clo 1d 1 a l ita ar 111 r J e · ov a b ·ia 1,o-iii ' 1 e defen cla11t tl d, ve s� e11 be ve l1a d 11l co ll sti lie sC��I O ll s' bbut aL t a tinie \v.,]1e11 1an l g. 11m l e s I t l t 11 1� \xras b ·1, 1 t 0 1a t1 s1 e th l ec ! 1v ce er JJ , 1e 1 e sc i e tl . 1 1 aiJIJeared 0 1 1cl1_ w as b 10L1�_ l1t a?o� t w1thoti t l w 1ts e1 e,, o· � se L1r �0 e tl1 _1 e1 1d e1 111 g_ aid. . . . ''qLiite satisfiecl \xritli by 1t e 11g 1a cl to h IS \V t 11o cl cl1 ' 1d ai ' 11' io 11t l·ier iiiter\'e .1

0

•

•

•

1

•

• •

•

t a11 nd e f_ )' de e 1na tl: ve t l1a uc 11d �0 ty 1il g1 cl a11 t e11 1d Je1 cle i11 ' b:'> r, ve \x'e Iio 1 (5) 1al o1 b or 1t� te1 11 , g­ 11e by r l}e e1t 1, �tl �le 1 's '. 1d 1 a 1sb l1L r lie 1g 1 i 11s ca 11 i ecl Jat cij JJarti e 1ce sl1 s S11 l1a 1t. r fo t 11o ble lia l:'>' 1(ll 11 111 cr1 be 1s tl1t 11ld co d an · icle nic 1 110 1t 1 lio e , 1 o� 1�at Jy Jet r JJe iltJ a g11 as 1 b;co111e active i11 a11y \Vay, sl1e ca11not be g11illy 1 d cla1 1gl111g 111 tl1e 11 oose 1 sba l1L1 1s ioL 11sc co t111 r . lie l 111c fot sl1e 1 1 1e \Vl r, tl1e Ra 1 actio1 1 ant tl1e e11d ds to clef lea s J,_ vit cti i11a a11 1 l SL1c v:. cti i11a 1ecl 1ai1 1 re1 l anc ay a\v 11t we slie 1 f sl1e k11e\v tl1at (see 6 a11d s l1er of y dL1t a 1ed 1 \1e 1tra co1 it if ' ilit; liab 1al 1 11i cri1 1 te11t of u11la\Y1ft1l11ess co1 e sa1n t11e l1as ;,, dL1t of 11 o lati vio 1 1 1 i o1 issi 0111 1ce 1 si irifra), as 1Jrol1ibitecl actio11. Tl1at is a 11 1atter of fJrir1ci1Jle. Tl1t1s, if so111ebocly \vllo stoocl i1 1 11 0 relatio11sl1i1J of clL1ty to tl1e clefe11 cla11t's l111sba11 d, wl1icl1 \x:ill be ex1Jlai11ecl 111ore fLtlly belo\xr, l1ad co11clL1ctecl l1i111sel'f exactly as jJassively as the clefe11da11t t111der e)�actl1r tl1e sa1ne circt1111sta11ces, no cri111i1 1al bla111e coLtld be levelled agai11st l1i111, lacl<i11g tl1e special prereqL1isites of § 330c Pe11al Code, a11cl abse11 t tl1 e cri111i11alit�{ of aidi11 g a11d abetti11g a SL1icide, altl1ougl11 deJJe11di11g 011 tl1e circt11 nsta11ces, 111oral bla1ne 1nay \veil attacl1 . Bt1t tl1e legal situatio11 is differe11t \xritl1 tl1is clefe1 1da1 1t. Sl1 e livec1 i11 111arital co11 1111LI 11it:'>' \Vitl1 l1er l1L1sband ancl tl1erefore O\x,ed l1i111 s1Jecial clLtlies. Tl1e critni11al la\xr l1as loi1g l<110\r111 s1Je­ cial relatio11s of dL1t}' \X.'l1icl1 bi1 1d tl·.ose co11cer11 ed, or 011e of tl1 ern, to l1e!JJ eacl1 otl1er, or 011e tl1e otli er, a11d, J11der certai11 circLI 111sta11ces to avert da11aer s tl1reate11i11g tl1e life of tl1e otl1er. Sccl1 a leg·al dL1t11 to aid a11d to avert da1�crer 1 11ay rest on la\v;, \vritte11 or L1 11 \xrrit:e11, arid also 011 co11tract. Tl1e co11te11t :i,ct exte11t of sL1cl1 dL1ties \1 ar)' a11cl de1:er1cl or1 tl1e particL1lar circt1111sta11ces and legal sitt1 atio11s. Tl1eJ' fi11 d tr1eir 1naxi111 al lin1its 011ly ·i11 tl1e stre11otl1 a11cl skill d �1ty-b?L1�1 d JJerso11. 1-11e gLtilt)' violatio1 1 of st1cl1 a dLi ty b111a1r rest on of _tl1c _ act1011 01 01111_ss1011. Tl1e co11�e11t of t1 �1la\vfL1l11ess of tl1is violatio11 of dLtty ,nay be tl1e sa1_ne 111 botl1_ cases. SL1cl1 d.1t1 es, tl1e co11te11t a11cl exte11t of \'\tliicl1 we do 11 � t. \x11s�1 to_ deta1l 11: r�, 111a:'>' at1ac11 to certair1 JJolice officers, tl,e firen1a11, _ _ ! l1e __ s,:r�1n1n111g 11 1_st1 L1cto1 , 111cleecl a!l)' teacl1er, tl1e 111a1 1ag·er of a1 1 edLicatio 11al 11�st1tt1t1011, tl1e cl1recto: of a c!or 1111tor!, scl·1ool or of a 1:;rison, a 1111rse or g o\1e11 1ess, al\xr. ays cle1Je11 d111g or1 tl1e var;,1111g f' act sitLiations. 1-11e. �Id SL1 1Jr_e111e �0L1 rt foL111d SL1cl1 relatio11s of dttty also i i, tlie case of co111111t1111t 1 es for life \x1l11cl1 are o·o\1er11ed b,, . ) tlie dLit·Y o f f a1·ti 1f LI I 11ess. 66 R. O· ° . · S t·. 71, 64· . R · o· St·. 3 1 6·, 641 R.9. S[. 278; 69 R.l�. St. 321; 72 I�.0. St. 373. !1�1s a1�. 1�l1es es1Jec1a_ll)' to ,1!1ar1t�l _co11111·1tl11ities. S JOt i ses O\xre i ties dL Jro rec cal i j i , fo1 n1a1 ital co1n111LI111 t),, § l .):J3 C1 v1I Code, J)at a11d ·t of ,.,'<' 1 11· c11 1s ·ct a1 " a Lt '>' o . · t t d l)I-Otect eacl1 otI_ 1er, acc_ orcl11 1g to tl1eir best abilit�>', i ii life eiidaiio-eriii o· sitti at ions at least as l o11g as 11e1tJ1er SpOLISe l'.aS cl legal riglit to r aiid ajJart, liv e Se pr ra _ te )� · d 1 · a11 as 1 011g as b ot1 1 s 1JoL1ses1 cas l1ere' 1·Iv 1 11 a ct01 ,..1 t e 11e (se � st 1 r c co 111 1it 111 1 t1 0 1 RO · · St · '1'o 7, l8Q) . We 11eec1 1 1ot ascerta1 11 l1ere i11 de tail lio\v far tliis duty 7.

�rranslation,

1vlucllcr, Co,nparatzv · e Cr1·1ni11 · ,1/ La·w 7 5-80a ( 1960).

"

83

ACTS Of OMISSION

·reaclies, a11d to wl1at efforts in wl1at JJerils it bi11ds tlie i11dividt1al SfJOttse. S1:1ffic� it to say that l1ere tlie defenda11t cot1ld liave saved lier lit1sba11d .\v1th little trot1ble and no da11ger to l1erself, b)' ct1tting lii 1n do\x,11, as · sl1e l1ad do11e 011ce before, years ago. I-ler inactivity ,vas not dtte to a cla11ger to herself, or beca11se of a11y lack: of stre11gtl1 for st1cl1 a resctte, bttt 111erely becattse sl1e was i11different abot1t her l1t1sba11d's stticicle or eve11 \xrelcon1ed it. By re1naini11g inactive i11 violatio11 of clt1ty sl,e failed to i11terrttfJt tl,e co11rse of eve11ts set i11 111otio11 by l1er l1t1sba11cl. Tl1ereby sl1e l1as· co-joi11tly cat1sed l1is · death. The l1usba11d's st1icidal i11ter1tio11 does 11ot relieve tl1e defe11cla11t of lier clt1ty to avert tl1e da11ger. His decisio11 co11stitL1ted a da11ger to l1is 1 ife a11d tl1e defe11da11t sliot1lcl l1ave dor1e lier best to cott11ter it. It is true tl1at S/JOttses l1ave ge11eral rigl1ts, as a 1natter of JJri11ci 1 Jle; \x,ritlii11 tlie 11iarital co1111nt111ity eacli n1ay . expect res1Ject for l1is 111oral decisio11s. Bt1t tl1ere is 11otl1i11g in tl1is fact situatio11 wl1icl1 com1Jels 11s to exa111i11e t111der \x1!1at circt11nsta11ces tl1is legal jJri11ci 1Jle wot1ld ·11ave relievecr tl1e clefe11dant of lier dt1t�>' to aid a11d (Jrotect. Tlie · defer1da11t's husba11d \xras 11ot i11ct1rably ill, 11or \Vas lie subjected to a11y otl1er seri011s a11d . ttnbearable danger from \Vl1icl1 tl1ere \xras 110 otl,er \VaJr out. Tl1ere is absolLttely no ci rctt11�sta11ce jJresent \v]1icl1 \VOuld l1ave re11derecl tl1e 1 1usba11d 1 s s11icide decision so exce1Jtio11al tl1at eve11 tl1e SfJOLtsal dut)' of aid a11cl rescL1e wo11ld l1ave bee11 i11a1Jplicable a11d \VOL1ld l1ave fJrecluded pe11al liability.. 1\ccorcl­ ing to the opi11io11 belo\v, tl,e l1L1sba11d l{illed l1imself becaL1se lie cot1lcl 110 longer stand tl1e domestic q11arrels \Viti, \vl1icl1 lie \Xras co11stantly co11fronted . by his wife, l1is da11gl1ter a11d l1is ''s011-i11-la\v11 Mo. reover, l1e l<illecl l1i1nself rjgl1t after sucl1 a q11arrel. Tl1at certai11ly does not justify a11 exe1n1)tion fron1 the· dt1ty to aid. •

· · (6) Tl1e jt1ry· court \viii l1ave to exa1ni11e \vl1etl1er tl1is violatior1 of tl1e dLtty to aid was a guilty 011e. A d11ty resti11g on a SJJecial legal basis ca11 be violated [with gt1i]t], by action or 01nissio11, only by a JJerso11 \vl10 l<rlO\VS tl·1is dL1tj1 a11d its extent. This l10Ids esJJecially trLte i11 cases of oniissio11 i11 violatior1 of d11ty. But it is 110 part of tl1e 1<110\vledge of dt1ty tl1at tl1e defencia11t e11g,1gecl i11 legal reasoning or ·everi be carJable of sucl1. It st1ffices tl1at sl1e l<11ow· tl1e circLtm· stances whicl1 in ge11eral give rise to tl1e S(JOL1sal clt1tJ, to aicl, a11d l<11ow also that spouses are duty-bou11d to l1el1 J each otl1er i11 life-endar1gering sit11a­ ·tio11s according ·to tl1eir best abilities, as s1Jouses indeed l1el1J eacl1 otlier as a rule. . .

NOT ES

-

Other Sources of Legal Duty

Note 1:

R. v. M wila Chunga a11d Kt111ge Mapala11ga , 5 L. R. N.R. 160 (1952) Zambia

LEWEY, C.

J.:

•

•

•

In this case tl1e prisor1ers are a l1t1sba11d a11d wife by Cl1ristia11 marriage, and they are cl1arged witl1 tl1e manslat1gl1ter of tl1eir s1nall daughter Kasango - the charge is based on tl1e JJarents' alleged omissio11 a11d negl_ect \Vith regard to the care a11d treatment, and especially tl1e feeding of . the . -cl1ild •

•

• ••

84

THE CRI l\1IN AL ACT

e tJr es_ent case?. I depe1 1d cl1i�fly upon th _ i11 ow l1 s w11at does tl1e of t11e cl inic, anci on l1n ul C er 1 st a 1d 1s 1 Si l l o r. 1 C by D wliat li as been sworn to _ en ff be su d e ring f r om ha d il 1 cl a d se ce de 1e tl at tl1 1g 1 i ow l1 s it was directed to 11 to ad vise the 1notl,er ke ta en d re be ha ca. le ab er d si 1 1 co at tl1 inaln titritioi, atid e quire d, that the clinic r ild ch e th ch et hi di w t ac ex e th o t s a (the female 'p r isoner) o_ a tte_nd the clinic t r_ he d 1r� qu re d an r, he r fo et di of provided the articles 1 1s evidence further fl d. ue iss be d ul co d o fo y ar ss ce ne 1e tl twice daily so tl1at 1 e c li11ic tliat at es tl 11c da n te at er 1 l up c(J ke to d le fai an sl1owed that the wom s its to the' clinic vi of n io pt um s re ief r b a er aft at th d an she had been sent for, tl1 febrl1ary of tl1is year the child e 27 1 tl 11 0 t t l1a d an y, a aw pt l<e slie again n io11 tha t t1 1e deatl1 was due to i op ite fi11 de his t as i en giv s l1a s 11 lli Co died.Dr. 1 wo uld ha ve been corrected icl wl1 1cy ie1 efic d n tei (Jro to t1e d 1 1 tio 1tri l11t severe ma 1 eficial effect dt1ring the shor t 1 be y ver a l1c:d 11 ad ich wl1 , bed cri s pre et di by tl1e 1 e hospital. The clerk tl to ed t it aclm 11 bee d d ha il 1 cl 1e tl ich wl1 ng uri d pe riod frorn tl1e cli11ic gave evi de11ce as to l1is i11ter 1Jretation to the mother of the t11er understood doctor's a11d sister's instructio11 s, and co11firm ed tha t the mo them. evider 1ce

• •

•

Witl1 regard to t11e \'(!On1an, it see111s to me that she cannot esca pe respon­ sibility,: lier l1l1sba11d ear11ed good w1ges, she also had ration mon ey. Sl1e had tl1e clea rest i1 1strt1ctio11s as to tl1e ta1<ing of those steps which al on e could it seen1 s, l1a ve sa ved tl1e cl1ild 's life, y�t sl1e completely failed to do wl1at �as 11ecessary a11d \'(fl1a t sl1e l1ad been tcld.... I fi11d that the facts prove d i11 t11is case are such as to constitt1te tl1e lesser offenc� of negl�cting, a s a JJare 11t, to provide sufficie11 t food for tl1e deceased bet�g. a cl11ld o! t;11der years and u11able to provid e for l1erself, so as ther eby !O 1n1ure the cl11ld s l1 ealth, a11d I therefore convict l1er of an offence under Sect1011 148 of tl1e Pe11al Code. •

U11ited Slates v. K11 0\vles

Circuit Coz,rt, Northern District of Califor11ia, 26 Fed. Cas. 801 ( J 864)

Uriited States

fl�L[?, CI RC�IT J UST_I CE (Cl 1argi11g jury): Tl1e de fe11da11t is cl1araed . 1n the 111d1ctment \v1 tl1 tl 1e crime of 111t1rder ttfJOil tl1 e 1 1io·}1 seas I t a11 �es tl1at tl1e d efe11dant was, on t.l1e fir st day' of AfJril , 18 64, cap ° ta1·11 o · .. f t1 1e• A mer1can . ns cf tl1e U11ited States · tl1at tl1e s1 11· p 1 1ad on ship CJJarger b� I011g1· 11g. to c1t1ze board ten mar111ers a1id amo 1 tl m 011 J o� in P.S\x,ai.'11s011; tl1at the ship was ;� } \vit1 1 tl 1 r�e provided boats ;r 1: . P I .o�ection a i,d safety of tl1 e lives of tl1e persons 011 board · , iii ca�e of a'-c 1de11 t ; a11 cl t 11at it \V as t·1 le d �t Y 0f tl1e de fend a11 t to ma1 1age a11d control tlie s1,i J ai,d b at so as to sure su ch t� A i � protectio n and safety; that on the f rst of pril 18 6 �] 1e �aid S\va1nson \X� , S employed as sea1na11 ttjJOtl tli e ro· al- a rd-arm of tl1 e � }1e sl11 p � 1a1n111ast of in fur l ing the royal-sail ; tllat wl,ilst �i tii e e d he acc1de ntal_ l y fell into the �� ft( ; sea; and that the defendant willfully 0 to s top the ship, or � o lower either _ of the boats, or t o m a ke anv atteni t to sct1e as a son 11 , d 11 S\v sav a1 e \'(ras 111s d l1ty to do; tliat S \X,air,son., \vould �iav_e �ee ha_ d n re sc u sa ed ve d a nd the defendant stopped his s hip and l owe re � ttlier 1s 11 of n th e fr bo ot at s, d r1 a � 11egligence a11d on1issioti i ii tliis recp � e ct' \v.a111son was d ro\vn ed. _As )'Ott \vill t l1us perceive, gentleme5 n , t l1 e . . f c o l 1 a i 1 ge ts cleat l tl1at t1 1 e S\va111son was occasio11 ed by tl1e \Villfttl omis s1·011 of tl1e defe11dant to stop tl1e �i:-,

1

,

ACTS Of OMISSION

I

.

� X

85

ship, lower_ t�e boats, and rescue l1im, or to mal<e any atte111pt for l1is rescue. In tl1e ma1or1ty of cases wl1ere ma11slatgl1ter is cl1arged, tl1e deatl1 alleged l1as resulted from direct violence 011 the p,rt of tl1e acc11sed. Here tl1e death is charged to have been occasio11ed by· the willfLtl 01nission of tl1e clefenda11t to perform a l)lain duty. There may be in the 01nissior1 to jo a fJarticLtlar act 1111der s0111e circL1111stances, as well as i11 tl1e co1n1nissio11 )f a11 act, sL1cl1 a degree of cri111i11ality as to re11der the offender liable to i11cict111e11t for 1nanslaugl1ter. Tl1e law on the subject is tl1is: tl1at wl1ere deatl1 is tl1e direct a11cl i111111ediate result of tl1e omission of a JJarty to JJerfortn a plai11 clLtty i1n JJosed 11po11 hi rn by law or co.ntract, he is guilty of a felo11io11s }101nicide. Tl1ere are several fJarticulars in this stateme11t of tl1e law, to ,vl1icl1 your attentio11 is directed. In the first place, tl1e dL1ty 0111itted 111Ltst be a 1Jlai11 clL1ty, by wl1icl1 I me�n tl1at it m11st be 011e tl1at clo€s 11ot ad111it of any discL1ssio11 as to its obligatory force; 011e upo11 wl1ich cliffere11t 1ni11ds 111Ltst agree, or will generally agree. Wl1ere doubt exists as to ,vl1at C)11dL1ct sl10L1ld be fJLtrsLted i11 a fJarticular case, and intellige11t me11 differ as to tt1e pro1Jer actio11 to be l1ad, tl1e Ia\V does not imJJUte guilt to a11y 011e, if, fro1n 01nissio11 to ado1Jt 011e coL1rse instead of anot11er, fatal co11seqt1e11ccs follo\v to otl1ers. Tl1e la\v does 11ot enter into any co11sideratio11 of tl1e re1so11s gover11i11g tl1e co11dt1ct of 111e11 i11 such cases, to detertnine ,xrl1etl1er tl1ey are c11l1Jable or not. In tl1e second JJlace, tl1e dLtly ,)mittecl 111ust be 011e \vl1icl1 tl1e JJarty is bo11nd to perform by law or contract, arid 11ot 011e tl1e JJerfor111a11ce of \vl1icl1 depends simply 111Jo11 l1is l1uma11ity, or l1is sense of jL1stice or JJrOJJriety. l11 tl1e absence of SLtch obligatio11s, it is 1111drubtedly tl1e 1noral cl11ty of every JJerso11 to exte11d to otl1ers assista11ce wl1e11 in cla11ger; to tl1ro\v1 for i11sta11ce a JJlar1l< or rope to a drow11i11g 1na11, or mal<e otl1er efforts for l1is rescLte, a11d if SL1cl1 efforts sl1ould be on1itted by a11y one \Vl1en tl1ey co11ld be 1nacle \'v'itl1ot1t imperiling his ow11 life, 11e ,xrould, by l1is co11cluct, dra\v LtjJOtl hi111self tl1e jL1st censure and reproacl1 of good 1ne11; bit tl1is is tl1e 011ly jJL1nisl1111e11t to \vhicl1 l1e would be subjected by society. •

•

•

•

Now, in the case of a 1Jerso11 falli11g overboard from a sl1ip at sea, whetl1er the passenger or sea111a11, \v :1en l1e is 11ot l<illed by tl1e fall tl1ere is no question as to the d11ty of tl1e corrma11der. I-le is boL111d, botl1 by la\v a11cl by contract, to do everytl1i11g co11sis:ent witl1 tl1e safety of tl1e shifJ and of the passengers and crew, necessary to rescL1e tl1e person overboard1 a11cl for that purpose to stOJJ the vessel, lower tl1e boats, a11d tl1ro\v to l1in1 s11cl1 buoys or other articles wl1icl1 ca11 be readily obtai11ed, tl1at n1ay serve to support l1im in tl1e water 1111til he is reacl1�d b>' tl1e boats a11cl savecl. No matter what delay i11 the VO)'age may be occas1011ed, or \xrl1at ex1Je11se to tl1e owners may be ir1curred, notl1ing will exct1se tl1e comm�11der for a11y omission to take tl1ese steJJS to save tl1e person ov�rboard, jJrov1ded tl�ey ca11 be tal<e11 with a d11e regard to the safety of tl1e sl11p a11cl otl1ers re111a111111g 011 board. Subject to tl1is condition, every perso11 at sea, \X1 l1etl1er passe11g·er or sea1nan, has a right to all reaso11able efforts of tl1e co1nma11der of tl1e vessel for l1is rescue, in case he should by accicl�nt fall or be thro'\q11 overboard. A11y neglect to make sttch efforts would Je cri1ninal, a!1d if followed by tl1e loss of the person overboard, whe11 by tl1em lie 1111gl1t have bee11 saved, tl1e commander would be guilty of mai1sla11ghter, a11d n1igl1t be ir1clictecl anc\ punished for that offense. •

•

• •

T 1-1 E CR I i\11 N A J_ ACT

86

Omissions in me nt eq uir e R Int en t The

Note 2:

al 0�11 issio11 s is tl1e ex� e11t to wliich i11 . 11' cri 1 tl wi ed olv iiiv iii e bl o r (J_ ie Oi . . 1 at tl11s problein �l 11 see be y l dil \X!Il rea It 11. tio ivic coi is for t 1t 1 q tiired 11 1110!1 1r1s ar1ce of 0111issioii co1 for a , r la\x of_ e ra11c igiio of tl1at to �l � �;0� ;1 y !lli� 1 l1 c does 11ot kno 1cl wl1 y al dt1t leg a 1ll ft1lf to its 11 01 1 011e w e i· ,-r!ie ,� · · JJrec1se )' 1s . . 1 t· 1e1 t e11 · t s · a · 1c 11s l tl er 11s co 11 le1 ob jJr 1s tl1 t1t bo exists. In tllii il,iiig a . . . Tliese difficulties are 11 1ore a1JiJ�re11t tl1a11 real. --r11ey are a revel­ atioii of tlie tti1fortt111ate te11cle11cy \x1 l11cl1 �ese!s men ge11e� all)'. a11d jurists iii p artict1lar to co11strt1ct g�11 eral1zat1011 s_ fro_m 1 d_1v1dt1al � 111 staiices a11 d tl1e11 to stifJfJress or a\ro1d tl1 e fres\1 111s_ta11 ce which de­ fies tl1e ge11eralizatio11. Tl1e co11cept of meris rea and 1 �s S_LlbconseptsJ 111teiitio11 a11d recl<less11ess, \Xtere cc>11 stru�te? as �e11 eral1zat1011 s, or the i11sta11ces of liability for offe11 ses of co1�1 11�1ss1011._ l l1ey c a11 11 ot be rl�ently aJJJJlied to offe11ses of 0111 issio11, a11d 1� 1s a 1n_1stake to att�mpt _to do so. Tl1 e real co11cer11 sl1 ot1ld 11 ot be \X11th tl1e c1rct1mst a11 ce 1n \1vl1 1cl1 an on1issi011 111 a�>' JJro perl) ' be clescribed as i11 te11ti011 al but wi tl1 those circt1m­ sta11ces i11 \vl1icl1 a11 0111issio11 is exct1sable or 0L1gl1t to be exct1sable. 8 •

•

•

•

See also, Ger111 a11 federal St11Jre111e Cot1rt clecisio11 of 2-12-52 s1tpra and I Iall, Ge11 eral Priizciples of Crim.i11.a,/ Law 200. Questions 1.

May 110111issio11" be clefi11ed i11 tl1e sa111 e 111 a1111er as '' act' ? Is it as 11nportant to JJrol1ibit illegal 0111issio11s as illegal acts? .A.re sucl1 om1ss1011s prol1ibitecl L111cler tl1 e P.C.E.? 2. Sl1oulcl tl1e crin1ir1al law clistir1g·t1isl1 bet,x;ee11 ·11011 1icide c at1sed by a 1na11 wl10 _JJt1sl1es a11 otl1er from a cliff a11 d l10111 icide caused by a 1na11 ,x;ho, l<110,x1111g tl1e prcse11 ce of tl1e cliff, i11te11 tio11ally fails to \Varn l1is \valki11g co111 pa11io11 of its existe11ce? Wot1lcl )'Ott arrive at tl1e sa111 e co11clusion if tl1e failt1re to ,varn ,x1ere clt1e to 11eglige11ce? 3. Wl1at do y'OLl see as tl1e disti11ctio11 bet,vee11 trt1e 0111issio11s and crin1es of c�111111issio11 by 0111issio11? Witl1i11 ,vl1icl1 categor)' \'vOL1lcl tl1e Oer111ar1, tl1e /11wzla C!?i,12ga a11d tl1e K11owles cases s1,pra fall? \X/ ould violation of Arts. 520 or 547 P.C.E. be a trt1e on1ission? 4. ls a legal cltJt�>' reqt1ired i11 Et\1io\Jia for co11v iction of cri1ninal omissio n? U11de ! Art. 23 111ay tl1e legal 1Jrol1ibitio11 be fo t11 1d ot i ts id e of the Penal J Code l\t\a� tl1 e legal dt,t)' \vl·1icl1 gives rise be to ac tl ie t ob lig to at io n fot111d ot1ts1cle of tl1e Pe11 al Code? Wl1 ere di d th tl1 e e w ife in 's du ar t\ is r e 1 Ger1na11 case? 5. �n tl1 e ab ve Note cases try to decide if a legal dut ' existed. \Vl1erc \X'as � ? ) . 1t fot111d. Ilo\v \x10L1ld )'OLI resolve boll1 cases t1iicler tlie P.C.E.? 6. �ow e�f�ctive ca11 t\1 � crimi11al law b e i11 solvi11g jJrob]enis of Liiider11ou r1s�111 e11t 111 a clevel J111g· cot1r1tr)r? Do )'OLl tli· iiil< SLtCll decisioris as /vfwi la � � _ � 1,nga l1ave de!et I e11t effect? CoL1ld tlie defeiidai1 ts ii , aiiv o f tlie abO\ie 1ree cases be said to be da11 gero L1s iJerso11 s? 8 . I-Iughcs, Crin1inal 01nis l-ions, 67 Y,1le L . ] . 605-60 6 ( 1958).

1

•

•

'-

ACTS OF OMISSION

7.

87

Who caused the deatl1 i11 eacl1 of tl1ese cases? To establisl1 crimi11al liability; mt1st tl1e pt1blic prosec11tor JJrove that an on1issio11 caused tl1e l1arm proscribed by law? I-low 1nigl1t 011e prove tl1at tl1e caJJtai11 i 1 1 the K11owles case cat1sed the death of tl1e sea1na11, Swai11s011? It shottld be reme1nbered 1 co11ce1Jts of JJe11al la\v s11cl1 as tl1at traditio11al ''causatio11 ' a11d '''i 1 1te11t'' cleveloped witl1 respect to cri1nes of co111n1issio11. Are sucl1 co11ce1Jts usefttl i11 relation to omissio11s? Is their ada1Jtatio11 to fit tl1e sitt1atio11 of 0111issio11 esse11tially a11 exercise i11 legal fiction?

b. The Legislative Extension of tl:1e Duty to Act '

PENAL CODE Of ETI-IIOPif\

Art. 520. - RefHsal to provide JJrofessio11al Services. (1) A11y doctor, pl1ar1nacist, de11tist, veteri11ar)' surgeo11, mid,xrife or 11urse, or any otl1er JJerso11 la\xrft1ll)' e11titled to re11der 1Jrofessior1al atte1 1tio11 a11d care, \x1!10, contrary to l1is duty a11d \Vitl1out jt1st cattse, refuses to provide l1is services i11 a case of seriot1s 11eed, \Vl1etl1er from i11dif­ fere11ce, selfisl1 1 1ess, CLtIJidity, l1atred or co11te111pt, or for a11y otJ-1er si1n­ ilar n1otive, is IJL111isl1able \Viti, fi1 1e a11d, i11 tl1e eve11t of repetition of tl1e of-fe11ce \vitl1 si1111Jle in11Jriso11me 1 1t 11ot exceedi11g 011e montl1, \vitl1ot1t prejt1dice to recovery i11 tl1e civil cot1rts of da111ages for tl1e i11jt1ry done. (2) Notl1 i11g i11 tl1is Article sl1all affect tl1e 111ore severe 1Jrovisio11 (Art. 547 (2) ) 1Ju 1 1isl1i11g failt1re to le1 1d aid to a 1Jerso11 i11 grave a11d irri­ mine11t peril of l1is life, 1Jerso11 or l1ealtl1. Art. 547. - Failiere to lerid aid to arzother.

Whosoever i11te11tio11allj' leaves witl1ot1t l1elp a person i11 i111n1ine11t a11d arave peril of l1is life, perso11 or l1ealtl1, \'v'l1e11 lie could l1a\'e le11t l1i111 :ssista 11ce, direct or i11direct, witl1out risl< to l1i111self or to tl1ird parties, is j)U11ishable witl1 simple i1nJJriso111ne11t 11ot exceedi11g six months, or fi11e. (2) Si 1nple im1Jriso11me11t sl1all be in additio 1 1 to tl1e fi11e, and sl1all be from one month to 011e year, \vl1ere: (a) tlie victi1n l1as bee11 wou11cled by tl1e offe11der l1imself no 1natter i 1 1 wl1at circt1mstar1ces or by wl1at n1eans; or (b) the offender was u11der an obliga· tio 1 1, jJrofessio11al or contractt1al, medical, marititne or otl1er, to go to the victi1n's aid or to lend him assista11ce. (I)

•

LEGISLATIVE IJv1POSITION Of A DUTY TO AID9 Graham Hughes

Judicial extension of liability for· 11omicide by 1 1eglect is 011e way in whicl1 9.

'

cl"""-' .

Hughes, Criminal Omissions, 67 Yale L.J 631-634 (1958).

TJ-IE CRIMINAL ACT

88

­ n t 1 . a ed 1 t1l 1 im st e tl1 e b ss ay re co m st d 1 i i1 1 i a1 1n \v llo fe 's 1e 01 , d ai ut to d ,e tl ted a�ot� t tl,e l1a e av l1 to s em � n o se · Ja11si 1 of e� d l1o et _Jrog� ess moi,-la\� cour, tries, tl,is n1 1tl11_ 11 tlie w er t l! � 11· f e of ?l pa ca 111 rs ea � JfJ aJ 1d a1 ei,d of tl,e last ce11 tury ct 1s re di ty g le i slative 1l1 1b ss e fJ<? r t1v te !1a al 11 A l . or . < w 11e 1 _ existii,g co i icepttial fra 1 1 co n m I m 11. 1 la � � e p \'v' coti_11_ 111 s o e 1 t 1 a cl to re Lt l 1 fa I r a o f Y' t i i . . i 01JJOsit i O 11 0f 1iab p t 111 moto rist ce ex 1 o1 s es pr ex 1 � 1 et 1 ! �0 1:0 d t ve ce r� : tries, tliis proiJosal has_ o nable. 11 sl ly fa ng s1 1 ea 1c 11 1g 11 1n co be 1s cases. BLtt iii Et1ro1Je, 1t f e� r a failt1re to os 11J in s wa y l lit bi 4 lia 19 , � of v la\ )' cll Vi a by 111 frai,ce, l ost l:1s ltf� or s11f_ fered on rs pe at tl1 e 1er \v1l ril 1Je i11 1 o1 rs 1Je a t o give assista 11ce 145> �fter tl1e l1bera t1on, tl11s law t.: ec gl 11e serioL is bodily l1ar111 as a rest1lt of tl1e 1 xty-tl1ree of tl1e Code Pe11al: s le tic ar as 1d t1r o f be o t \v 110 is d a11 \'v'as remocleled ''Wl,oever is able to 1Jreve11t by l1is im111edia te actio11, \vitl1out risk to l1i111self or otl1ers, tl1e co111111issi o11 of a seriotts cri111e or offense ag·ai11st tl,e JJerso11, a11d volt111tarily 11eg·Iects to do so sl,�11 be liable to i1111Jriso11111e11 t fro111 0 11e 1no11tl1 t o tl1ree years a11d a f111e of 24, GOO to 1,000,000 francs, or 011e of tl1ese pe11al ties 0 11ly. '·TI,e satn e IJt1n is11111en ts are aIJIJ1 icable to o11e \'v'11o v o11111 tarily 11eglec ts to give to a 1Jerso1 1 i11 fJeril assista11ce \xrl1icl1 lie c o t1lcl render \Vitl10L1t risl< t o l1i111self or otl1ers \v1l1etl1er by l1is JJersonal actio11 or by IJrOCL1ri11g aid."(ltlfi)

rrl1e Oalloz editor co1n111er1ts tl1at tl1e article cloes 11ot s1Jecify the ca11se or 11at11re of tl1e peril; it is e11011 gl1 tl1a t it be i1n111i11e11t e t co11stant et necessite 1111e i11terve11tion in1 111ediate."< 147> It l1as bee11 applied to a doctor \vl10 refL1sed to go to a JJerso11 \v\10 was cla11geroL1sly ill< 148l a11d a l1os1Jital director wl10 refL1sed to adn1it a JJatie 11t _\vl1om � doctor_ cleclarecl to be da1 1gerot1sly ill.(119J· 011 tl1e otl1er l1a11cl, a1 1 acc1de11t \v1t11ess, l11n1self i11jt1red a11d in 11eed of treat111e11t, \X1as relieved of l1is dL1ty to aid a victim .( 1 50l 11

Agai 11 article 147 of tl1e V11goslav Crin1i11al Code 1Jro\1ides tl1at '',vl1oever . fails to offer l1el1� to a JJerso11 exJJosecl t? in1111ediate da 1 1g·er, al tl1ougl1 l1e \X'aS able to do so \v1tl1ot1 t a11), danger to l11111self or a11y otl1er [Jers o11 ' sl1all be JJL111isl1ed by dete11tio11 for 11ot 111ore tl1a11 011e ),ear."(151) And the Italia11 Pe11al Code of 1930, article 593, IJrovicles tliat: aba�1do11ecl or lost, a cl1il_cl L111cler tl,e age of te11 years, Wl1oever fi11ds, _ or a11otl1e1 jJerson 111ca1Jable tl1rot1gl1 d_1sease of 111i1 1d or bocly, or tl1roL�gh ?ld ag� or otl1 �� ca_11se, of lool<111g after l1i1nself, a11d 11eglects 1 give 11n d�ate 1 11e 1ot1f1cat1011 to tl·1e aL1 tl,orities sl,all be pLtnisl1ed to _. _ w1tl1 1Je11al se1v1tL1de LIJJ to tl1ree 111011ll1s or a fi i ,e .... 11 b�d)' . \xrliicl, is or aIJJJears to be ''.A11y 1Jer�o11 \X1l10, a l1t1111a fi 1cli11g _ � _ lifeless, 0 1 a _ 1Je1 so�, \VOL11 1decl or otl1er,,;;1se 111 clai,o·er 1,ealects to afford 1 y ass1sta_11ce or to g·ive i111111ecliat� 1�c>tificatioti to tlie tl1e 11 :cessa . aut\1011t1es, sl1all be liable to tl1 e sa 1 ne jJetialtJ'·'' 1

11

( I 45) (146) ( 147) ( 148) (149) ( 150) (151)

Donncdieu de Vabres, Traite cle Droit Cri,ninel 7 3 (3d C.d ,, 1947) Cod e P'enal arc. 63 (53d ed., Dalloz 1956). TransL.1.r·o I n by tl1e au · t I1or .. .. Code Penal arc. 63 (53cl ed., Dalloz 1956). <=:our de Cassation _(Ch. cri1n.), lvlay 31, 1949, [ 1949] Dal io z }1111.·.:,/> 1. 11clence 347; correc . Tribunal . . ' t1on · ,lle Feb. 6' l. 9S?- , [ 19.:> 2] Da IIoz }ur1spr1:clence 481 · nel de Charlcv 1�r1b unaI correcc1onnel de Doua1, Dec. 20 1951 [19�?] D ] al/oz. 01� · : · ·53. : Tribunal correc�ionncl de Rauen, Marcl1 3 1 , 19�9, [:95 0 / Dalloz �on1n1a1!res 9. Sec Donnelly, 1 he Ne\\' Yugoslav Crin1inal C0de, 61 l'' _ a e L.J. .:>1 0, 526, 534 (1952). 1natre

89

ACTS Of OMISSION

''If by reaso11 of tl1e gttilty perso11s' co11 dt1ct a perso11al i11jury resttlts, the pttnishment sl1all be i11creased; if deatl1 rest1lts, tl1e JJe11 alty shall be dottbled."( 152) . A Soviet con1mentator has co11jectt1red tl1at a si rnilar dt1ty is imposed by article 130 of tl1e Co11 stitt1tio11 of tl1e U.S.S.R.: ''It is tl1e dt1ty of every citizen of tl1 e _U.S.S.R. to abide by tl1e Co11stitt1tio11 o·f tl1 e U11io11 of Soviet Socialist Rept1bl1cs, to observe the la\vs, to r11ai11tai11 labot1r disci 1Jli11 e, 11onestly to fJer­ form pttblic cluties and to res1Ject tl1 e rt1les of socialist i11tercot1rse. Tl1e co1n1nentator \vri tes: ''Illegality of a failt1re to act 111ay be based 11ot 011ly 011 S(Jecific reqt1irements of the la,x, . ..bttt also 011 tl1e ft111 da1ne11 tal f)ropositions co11tai11ecl ir1 art. 130 of tl1e Co11stitt1tio11 of tl1e U.S.S.R. Tl1e Court, cle 1Jending 011 the co11crete 1Ject1liarities of a given situatio11, mt1st establisl1 \X1l1etl1er a give11 perso11 is reqttirecl to re11der assistance to a11other from tl1e 1Joi11t of vie,v of tl1e relatio11sl1i 1J ,vl1icl1 ot1gl1t to exist in a socialist society (i11 accorda11ce ,vith tl1e rules of con11nunity life uncler socialis111 ). for exa111ple it ,vottld violate art. 130 of tl1e Co11 stitt1tio11 of tl1e U.S.S.R. if a 11ealtl1y fJerso11 wl10 l<11e,v l1ow to S\vi11 1 failed to re11 der aid in tl1e sum1ner ti111 e to a11otl1er f)erso11 ,vl1 0 \Vas dro,v11 ing ir 1 a river 11ot far frotn the ba11l<.' 153) I11 tl1e Oerma11 federal Re1Jt1blic, a la\V of 1953 fJrovides: ''Whoever fails to re11cler assista11ce i11 case of accide11 ts or co1n111011 da11ger or e111 erge11cy, eve11 tl1 ot1gl1 sucl1 assista11ce \Vas reqL1ired and l1e coulcl be exrJected to re11der it t1nder tl1e circt111 1sta11ces, J)artict1larly \Vitl1 out co11siderable da11ger to l1in1 self and \vitl1ot1t violati11g otl1er i1nporta11 t clttlies, sl1a!l be fJLt11isl1ecl witl1 in1 1)riso11 1ne11t LIi) to one year or by fi11 e.'<154> In 1952 tl1e Bt111desgericl1tsl1of I1eld tl1at a sin1ilar earlier fJrovisio11 clid 11ot apfJ]y to a \Vife \Vl1 0 l1ad qttarrelecl ,vitl1 lier r1L1sba11 d a11d did not co111 e to l1is aid wl1 e11 sl1e fot111 d hin1 l1a11gir1g l1i11 1self.( 155) Tl1 e cottrt's decisio11 ,vas basecl on the view tl1at stticide cottld 11ot be regarcled as a11 accident \vitl1in tl1e meaning of the jJrovisio111 bttt on tl1is fJOi11t tl1e fi11cli11g l1 as bee11 11 0w reversed. 11

1 (

1

A PENAL CODE PREPARED BY TI--IE INDIAN LAW COMMISSIONERS 10 MacarJlay a12d other Indian Law Com1nissioners

Early in the progress of tl1 e Code it beca11 1e 11_ecessary for tis to co11sider t11e following question: Wl�en acts are 1nade pt1n1sl1able 011 tl1e grot1!1 d tl1 at those acts produce, or are 111te11decl to JJrodttce, or are . l<�O\xr11 to . be likely to produce certai11 evil effects, to wl1 at exte11t ougl1 t 01111ss1011s ,vl1 1cl1 produce, wl,ich are intended to produce or whicl1 are k11ow11 to be likely to fJrodttce (152) Quoted in Michael and Wecl1sler, Criminal �aw ancl its Adr�inistration. t 304 (1940). , 1\1al�r1,ils on Soviet La7.v 54 (1947).Sec also ard Haz 1n ted quo , 38) (19 392 vo Pra k oe ans zl,d l Gra 1 ( 153) Note Failure To Rescue: A Comparative Stucly, 52 Col1t1nbza L. Rev. 631 (1952). Tl1e extract is from' a Soviet text on civil law, and it is therefore not clear that tl1e commentator is implying a criminal sa11ccion. (154) Law of Aug. 3, 1953 [1953] B 1-1ndesgesetzblatt pt.1 at 735. Tl1is represents a dcnazified version of the Law of June 28, 1935, [l 935] Reichsgesetzblatt pt. 1 at 833, ,vhich l1ad imposed a duty to assist when there was a duty ''according co the people's sound sentiment" .... ( 155) Decision of Bundesgericl1tshof, Feb. 12, l 952. · .. 10. Noce M, 103-106 (1838).

.

.. . -.--fb ,.,..: .

....

..L:.,, .

- �

90

TliE CRIMINAL ACT

s l1able? p1111i 111ad e be . tl1e same ev11.• 1 effects to f h o t ese e om_ s th�t omissions t, rs fi 1t; evide1 be to . tal(e T,xr, o tl1111gs . we 1 ac ts are pu 11isl1 l 11c wl 1 11 er 1111 ma e a1n s tl1e ed· ly act ex 1 i d I s 1 JJu oug \1t to be ;; t1�ese I o11�issio1 1s ougl1t 11ot to be p1111ished. It will _l1ardly b� s�co 11dly, l1 at a �tl1at a ·aoler wl10 volt111tarily caus es tl1e death of a prisoner b y g d1st?t1�ed � nt 10 lu wl vo rily causes s 1r e. n1 a or , od fo 1 tl wi 1er o1 s i JJr \ om1tt 111g _ to SLIJJIJ .Y tl1at to take it out of a in itt om by re ca r g l1e to d te 1s trL e11 1 11fant f a . as ty uil d ate of tre _ be to n1u l1t_ g der r 01� , len fal s lia g it ��� �� �:a�r �:�t0 wI,icl, 1ld o1 an be m sh p a at th d 1e 1 1_ 1e ta 1 1s1 1 un a1 1n be ct y dl ar 1 1 ill \v it nd lia r e ti ti 1 011 r, eve11 tl1ougl1 tl1ere a gg be a e ev eli r to ed itt 01n · 11e e s i as a �1�r�erer be::�at ar \xras t e effect of tl1is gg be l1e t _ of l1 at _de e 1 tl at t\1 f oo r p � 1,,iglit be tl,e clearest ew at s _ kn tl! e �Im th e tl1 ve gi at to de 1 d tte 1 on 0 1 \vl a11 1n e h tl1 i at tl t 11c a i,, io iss om n. It ll 1o wi 1ss ly om r� e ha tl1 of t ec be eff e tl1 be to I ely il< \xra s r ga be i e tl of g r derer fo� ref us 111g to n1u � as ted ea r t be to l1t 1 ot 1 1 eo t1r s a at g g inaii1tai,,ed tl1 1�, altl�o11gl1 _ 1t should be t10 era OJJ a11 rm r-fo JJe to t1t r e_ Me to itta go froin Calct absoltitely certai11 tl1at t\11s s11rgeo11 \vas tl1e only pe1 son tn I11d1a who . coul� r so1: ,xrl10 r equired 1t JJe the d me r fo r JJe 11ot re \Ve it if t tl1a l a11c it, 111 for r JJe \Y/Ottld die. It is cliffict1lt to say \xrl1etl1er a Pe11al Cocle \v'htch _sl1ould put 110 0111issio11s 01 1 tl1e sa111e footir1g \X1itl1 acts, or a Pe11al Code wl11cl1 sl1ould put all on1issio11s 01 1 tl1e sar11e footi11g· \vitl1 acts \xro11ld JJroduce co11sequences more absttrd a11d revolti11g·. Tl1ere is 110 cou 11try in \v1hicl1 eitl1e r of tl1ese prii1ciples is aclo1Jtecl. l11deed, it is l1arcl to co11ceive l10\v1, if eitl1er \Vere ado1Jted, society could be lielcl tog·etl1er. It is JJlain, tl1erefore, tl1at a 1nicldle co11rse m11st be tal{e11. B11t it is not easy to determi11e ,v1l1at tl1at midclle cot1 rse ot1g l1t to be. Tl1e abs11 r dit), of the t\VO extre 111es is obviot1s. Bt1t tl1ere are i1111t 1 1nerable i11ter1nediate JJoi11ts; and \x1! 1erever tl1e li11e of cle 111arcatio 11 n1ay be dra\X,11 it \xrill, we fear, i11cl11de so1ne cases wl1icl1 we 111igl1t wisl1 to exemJJt, arid \Vill exetnJJt so111 e wl1icl1 we migl1t lil<e to inclt1de. lv\r. Livi11gsto1 1's Cocle 1Jrovides, tl1at a persor1 s l1all be considered as gt1ilt)' of l10111icide wl10 01nits to save life, \'.vl1icl1 l1e co11ld save '',x,itl1ot1t per­ s0 1'.al dange_ r, . or JJecttniary loss''.< 1> Tl1is rule aJJIJears to LIS to be 01Je11 to ser1ot1s ob1ect1011 . Tl1ere 1nay be extren1e i11co11ve11ience \v'itl1011t tl1e s111alles t perso11al da11ger, or tl1e s1nallest risl< of }Jec1111iar)' loss, as i11 tl1e case ,xre lately JJL1t of a st1rgeo11 st1 1111no11ed fro1n Calct1 tta to Meerut, to }Je r for1n a11 0 J1 eration. I-le 1nay be offered sucl·1 a fee tl1at lie ,x,ot1ld be a ai11er by oi1 1 . lie 1nay g g g �ave 11 � grou 11d to a1J1Jrel1e11cl !l1at lie sl1011ld rt111 a11y greater JJe rso11al risk by JOt1rney1_1 1g to ti,� U1�1Jer Prov 11 1ces tl1�1 1 b), _co11ti1111i11g· to reside in Be11gal. But l1 e 1 s. abo _ t1t_ to IJt oceed to Et�rOJJe 1111111ediatel ', o r li e expects soine mem­ bers_ of 111 s fa 1ly by _ tl!e 11e t. s111JJ, a11d ,vislies )to be at tl, JJres ncy_ to id e e . � receive tl1e111. � I le, tl1e1 efo1 e, 1 ef11ses to g·o. Sttrely, li e otigl,t 110 fo so ref11 s111g, t, r to be ti. eated as � n,11 rderer. It \XIOL1ld be s 01new 11a t i11 co 11s iste11t to nu11isl1 one inai, for ti ot s taY111g; tli ree n1011tl1s i11 l11dia to to a1 sa 1d ve tl 1 a1 lif e 1o of e tl1 �r le_av e _\xrl1olly t1 11pt1 11 1sl1ed a 111a11 ,vl10, er1 joyi to e 11 �e a1 fu 111 s Jle w ea ou lt 1 l1 ld sl g cl1sbt11 se a11 a111 1a to sa' ve t11e fife of a,,otiier may A · 1t . ga1 11 · 1 tl1a t aJJp t ea us rs ' to be r·It t o _ 1Jtt11 1· s1 , a 1Jerson as a 111t1rderer fo 11 r g ca a t 1 i11 si om 1 1 itt de by at 11 a '· t \Vl11 ch ca1111ot be JJer ac 6 · for 1ne d \XI. I·t1 JOLI� 1�erso1:al da11g �r, or pecttnia ry loss. A pare11t 1,-1a>' be ttiiable to JrO� Ll e fo o _ d t fo t a1 1 et 1n fa 11t h \X1 ey 1tl . 1o 1 n1 t1t 01 JJare1 1t, if li e 1 ,as tlie me'at�s, is � V f . OLtt1 d to f11r111sl1 tl1e in fa11t witl1 food, a11d 1

(1) See Living , ston, Co· cleo'J'C11 ··n1es an d Punz·.sl1n 1ents' Art. · rllde,r,Ct' . 4 · 8 4 , · C in 18 7 ]11r1sp 3 ), ii, 126-127. 01nplete Works in Cri111i11al (

ACTS OF 1)MISSION

91

.

'

.' \•

,.

''

' '' I

1

.,

{

', •

.

,,

'• '.

by otnitting to do so l1e vol1111tary ca11ses its deatl1 l1e tnay witl1 propriety be �reate� as a 1n11rderer.A 11urse l1ired to attend a JJerson s11fferi11g from an �nfect�ous disease can11ot perform lier dt1ty \Vitl1011t r11n11i11g s01ne risl< of 111fect1on. Yet if sl1e cleserts tl1e sicl< fl:!rso11 and tl111s vol1111tarily causes l1is deatl1, we sl1ould be disposed to treat ·1 er a� a 111ttrderer. We jJro1101111ce \vitl1 co11fide11ce, tlierefore, tl1at tl1e li11e 011gl1t 11ot to be dra\vn_ where Mr. Livi11gsto11 has clra\vr it. B11t it is witl1 great difficle11ce tl1at we �r111g !or\'<:'ard. 011r O\v11 fJrOJJositio11.It is 01Je11 to objectio11s: cases 1nay be p11t_ 111 wl11cl1 1t \Vtll OfJerate too severelr, a11d cases i11 \vl1icl1 it \xrill OJJerate too le111ently: b11t we are 1111able to devise 1 better. Wl1at \Ve fJrOfJOSe is tl1is, tl1at \vl1:re acts are 111acle JJtt11isl1able or1 the gro1111d that tl1�y l1ave ca11sed, or l1ave bee11 i11te11cled to ca11se, or l1ave bee11 l<t1C?w11 to be ltl<ely to ca11se a certai11 �vii effect, 0111issio11s \vl1icl1 l1ave cattsecl, \Vl11cl1 l1ave bee11 i11te11ded to ca11se, or \vl1icl1 l1ave bee11 l<110\X111 to be lil<ely to ca11se tl1e san1e effect sl1all be JJLtrisl1able i11 tl1e sa111e ma1111er; JJrovided tl1at such omission \Vere, 011 otl1er grot11ds, illegal. f\11 0111issio11 is illegal if it be a11 offense, if it be a breacl1 of so111e directio11 of la\v, or if it be s11cl1 a \Vrong as wo11ld be a good grou11d for a civil actio11. . . We a1·e sensible tl1at i11 sotne of tl,e cases wl1icl1 \Ve l1ave pLrt 0L1r rLtle may appear too le11ie11t. But \Ve do not tl1i11l< tl1at it ca11 be 111ade 111ore severe, withot1t disturbi11g tl1e \vl1ole order of society.... It is, i11cleed, most l1igl1ly desirable tl1at me11 sl1011ld 11ot n1erely abstai11 from doi11g l1arm to tl1eir 11eigl1bo11rs, Jut sl1011ld re11der active services to tl1eir r1eigl1bo11rs. 111 general 110\vever tl1e JJenal la\v n111st co11te11t itself '\{1 itl·1 l<eepi11g 1nen from doing IJOsitive I1ar1n, and 1111st leave to IJUblic 01Ji11ior1, a11cl to tl1e teachers of 1norality and religio11 , tl1e dfice of f11r11isl1i11g 111e11 \vitl1 1notives for doing positive good. It is evide11t tl1at to attempt to 1Ju11ish 1nen by la\V for 11ot rendering to otl1ers all tl1e service \vl1icl1 it is tl1eir dt1ty to re11der to otl1ers would be preposterous. We 111ust granJ in11Ju11ity to tl1e vast n1ajority of those omissions \Vl1icl1 a be11evole11t 1norality \x1011ld pro110L1nce re1Jrel1e11sible, a11d must co11te11t 011rselves \xritl1 JJt111isl1i11r s11cl1 0111issio11s 011ly \Vhe11 tl1ey are disti11guisl1ed from tl1e rest by some circ11n1stance wl1icl1 marl<s tl1em 011t as peculiarly fit objects of JJe11al legislatio_1. No\v, no cir�11111sta11ce a1JtJears to 11s so well fitted to be tl1e marl< as tl1e circu1nstance \vl11cl1 \Ve have selected. It will generally be fou11d i11 th� 1nost a1rocio11_s �ases of �n1i_ssion: it will scar­ cely ever be fo11nd in a ve111al case )f om1ss1011: a11d 1t 1s more cl�ar _and certain tha11 a11y other marl< tl1at l1as o:c11rred to us._That tl1ere are ob1ect1?ns to the line whicl1 we proJJose to draw, we l1ave ad1111tted. But there are obJec­ tions to every Ii11e wl1icl1 ca11 be dra\Vll, and some line 1nt1st be draw11. 11

Nor ES fURTf-IER DEBATE ON LEOISLATIVE EXTENSION Note 1:

Con

Perkins, A D11ty to Tal<e Positive Action 12

The failure of the law [common 1,w] to impose a dttty [to resc11e] l1as 11. TJ1e views expressed by the Indian Law Comnissioners were enacted into the law of India: See Art. 5 9 3, Indian Penal Code ( 19 30). 12. Perkins, Criminal Law 5 16.

TI-IE CRil\1INAL ACT

92

a tl, wi r l1e rat d Jle uJ co o11 oniti pr fin de of y ult fic dif e th to e du jJrobablY b.ee11 1 1t starved to death in a i11f y. 1 ph A1 so ilo JJl1 s ,es i si bu ,11. · ou 11ced m111d-yOLtr 0,v o t y ar 11 · ss sta ce su 11e 1 l od e ife. tl1 fo tl1 w1 1t ly (Jp SLl t 1,o d di s i,t Cl,i·cago.. Its JJare \ e e Ver e re Tl1 111o r it. fed o 11 icag tha Cl1 N i11 o11e o < el · it e · f cl blo N o o11 e 111 tl 1e · . t I es w 10 a ct St · d 1d n te i · U 111 e t th le 11o op JJe 1 1 10 ill m t,, 11 \re se id i a d , ·e l 1 1 c . o11e l1 L111 . · 1 s Y · v o LI 1t wotl I d be b 1 s o . . d 1 11 e a t r 11 o of ts 11 ta I ab !1 111 e ]1 t n O ti 11 e feed it, 110t t O 111 t1� 11t ca 1fa 1 be 1_ � e �bo tl1 no l1 of at de y e tl1 l e� t1s ca 11e )ro er ev at tl1 y sa to absurd i ll be no d11r1culty 111 w e er tl1 es 11c sta n1 ct1 c1r al SLt 1L1 Lt1 of e 11c fed it.In tlie abse r tl1e l1e rt. of fat pa of e tl1 011 tl1e re t }1e ac e tiv ga 11e d ize gn co re y all leg a 1,g fiiicti _ 1 e n. we ld t1? l1e ua s1t e y tl1 al� t !eg ou ab ew l<11 y_ rel 111e 10 \v;] rs 1bo igl 11e t if BLi . cl,ild s_ 0L1 g 1c1 l111 of off dd me d_ en 1n no be t gl1 m1 re t!1e 1, atl de tl1e ti1 wi le ab rge clia rs 1bo d 1gl a11 ts ne e11 as 1 pa 1 ee1 to l\v be 11t 111e ree ag d1s a of tse caL be s 111e l10 1er otl wl1at cl1i Idre11 sl10L1ld eat. \V

. .

"

.

•

•

13 cue to Res e lttr fai Tl1e te), (No iew ColL1111bia La\xr Rev

The 111ost basic objectio11 asserts tl1at it is a for1n of slavery, to 111al<e one ser\re a11otl1er.It is socially 11ecessary to restrict tl1e freedom to act, tl1e ar­ gL1111e11t goes, bL1t to reqt1ire actio11 rt111s too stro11g·ly agai11st tl1e grain of tl1e A11glo-A1 11erica11 i11 dividt1alistic traclitio11 .... 111 tl1is co1111ectio11, it is i11teresti11g to 11ote t!1e Soviet e111JJl1asis 0 11 remal<i11g· 111e11 i11to ''socialist'' me111 whicl1 seen1s to 111ea11 tl1e sort of n1e11 \xrl10 aid otl1ers1 \Vl10 consciously co11tribute by tl1eir labor to tl1e society of \xrl1icl1 tl1ey are a part, a11d \,rl10 JJUt tl,e i11terests of tl1e state abo\re tl1eir O\v11. 011 tl1e oll1er l1a1 1d1 it is doubth1l \,rl1e­ tl1er tl1e i11clusio1 1 of Article 63 i11 tl1e frencl1 Pe11al Code l1as ail)' significa11t relati o11 sl1i IJ to co1 1ce pts \XTl1icl I exalt tl1 e state at t11e expe11se of tl1e i11 dividL1al or \xrl1icl1 l1ave a ''socialist'' or a ''totalitaria11' co11tent. And tl1e e11actment of f\rticle 63 i�1 tl1e_ face _ of _its i11trodL1�tio11 i11to fre11cl1 la\X' by the Vicl1y gov­ er11111e11t aff1r111at1vely 111d1cates tl1at i ts jJL1r1Joses are co11siste11t \xritl1 tl1e e11ds of cri111i11al la\,, i11 a de 111ocratic societ),. A11otl1e� obj_ec�io11 c_ c11ters arot111cl tl1e 1Jossibility of false fJrosect1tio11s.fear of l_egal act1011, 1t IS said, \XTOL1lcl cattse i11dividt1als to i11terfere officioLtsly i11 affairs of otl1ers.Peo1Jle \XIOLtld 11ot 1<110\xr \,,11etl1er in tl1e situatio11 co11fronti11 0· them_, a dt ty to r scue_ had arisen._. A_side from !11e possibility of maladmini­ st1at1011 b); . tl1e e :ecut1ve, - . a JJO?s1b_1l1ty_ JJreser 1 t 111 tl1e e11force111e11t of any la_\xr_ - tl1� 1 eal g1�ot11�d or tl11s ob1�ct1011. IS vagL1e11ess: tl1ere is a11 inesca,Jable d1ff1cL1lty 111 for111ulat111g a rLtle \vl11cl1 \VIll cover 0I1ly tl,e bel,avior ain1 ed at. 1

•

•

•

•

. Still a tl�ircl. objectio1 1 ste111s fro111 tl1e JJossibilit)' tl,at 111ore tlia11 011e person _ t l1ave l\110,vledg"'e of da11o 1111 gl1 · e r to a11.otl1e1· a11ct tl,e ab·1· a . 1 1t y to aver t or 1111·t·1ga te . . 1t.. Tl1e v1e\xr l1as bee,1 adva11cec_l tl1at 111 SLtcl1 a sitLiatio 1 1 110 ''legal'' cluty to act coL1ld rest Ltj)011 all pote11t1al resct1ers beca' Ltse 1 1·t all att en1 IJt<...:ed rescLte ·t wot1ld fa1· 1, a11d 1· f 011ly 011e atte1111Jted it, tl1e otl,ei·s " lld scarceIy be heId cOL liable. . .. II- ol 111es, �rl,e Co n 1111011 La\vt4 Altl10L1gl1 a mar1 l1as a jJerfect rigl,t to star1d b y a11cl see I1is 11eigl1bor's 13. 14.

Note, T he Failure to Rescue: A Con1parac ivc Study ' 52 C0Iurnb,a · L. Rev. 641-643 (1952) . Holn1es, The Co,nn1 on L,1.w 278 (1881).

'. .'

93

ACTS OF OMISSION

'...' 11'

proJJerty destroyed, or, for the matter of that to watcl1 l1is neighbor perisl1 for want of his hel1J, yet if he once i11termeddle� }1e no Io11ger l1as, the san1e free­ do1n. H e ca1111ot witl1dra\v at will. To give a more s1Jecific exa�ple, if a surgeon from be11evole11ce cuts tl1e u1nbilical cord of a ne\xrly-bor11 cl11ld, l1e ca11n�t stop tl1ere a11d watcl1 the JJatie11t bleed to deatl1. It \VOL�ld be 1nt1rde1· w1lft1lly to allow death to co1ne to pass i11 tl1at way, as 1nL1cl1 as if ll1e i11te11tio11 has bee11 entertained at tl1e tin1e of cL1.tti11g tl1e cord. It wottld 11ot 111atter whether the \Vicl<ed11ess bega11 \vitl1 tl1e act or \vitl1 the st1bseqL1e11t 01nissio11.

l

'i \

Note 2:

Pro

St. Lttl<e, Tl1e Parable of tl1e Ooocl Sa111aritan15 30. A11d Jestis a11s\veri11g said. A certai11 ,nan we11t do\xrt1 frorn JerLtsalem to

. J er1cho, a11 d fell an1ong tl1ieves, \Vl1icl1 stri f)ped l1i111 of his rai111e11t, and

\'vOU

11cl­

ed !?im, a11d departed, leavi11g l1i11i half dead. 31. A11d by cl1a11ce tl1ere came dow11 a certai11 JJriest tl1at \xray: a11cl \vl1e11 l1e saw l1i111, l1e passed by 011 tl1e otl1er side. 32. A11d lil<e\vise a Levite, \vl1e11 l1e \vas at tl1e place, can1e a11d lool<ecl art l1i111., and jJassed by 011 tl1e otl1er side. 33. BL1t a certai11 Sa1narita11, as l1e joL1r11eyed, came \Vl1ere !1e '\v1as: a11d wl1e11 l1e sa\v him, l1e l1ad co1111Jassio11 011 l1im, 34. And \Ve11t to him, and boL111d ttp l1is w·ot111cls, [)OLtring i11 oil a11d \vi11e, and set I1ir11 011 his O\Vl1 beast, a11d broL1gl1t l1i111 to a11 i1111, and tool< care of him. 35. A11d on tl1e 1norro\v wl1en l1e de1Jarted, l1e tool< out t\VO 1)e11ce, a11d gave them to tl1e l1ost, and said Lt11to l1i1n, Tal<e care of l1i111; a11d \vl1atsoever thot1 spe11dest more, \vl1e11 I co111e again, I \viii re1Jay thee. 36. Whicl1 no\v of tl1ese tl1ree, tl1i11l<est tl1ot1, \Vas 11eigl1boL1r t1nto l1in1 that fell among tl1e tl1ievess 37. And I1e said, I-le that sl1ewed 111ercy on l1i111. Tl1en said Jesus L111to l1im, Oo, and do tl1ou lil<ewise. . Be11tha111, 011 the Dt1ty to Act A woman's l1ead-dress catcl1es fire: water is at l1a11d: a ma11, i11stead of fallin_g assisti 11g to quench the fire, lool<s on, a11� l_augl1s at it. A dru11l<�11 man, _ . with liis face down\vard into a fJt1dclle, 1s 111 da11ger of sttffocat1on: l1ft111g l11s head a little 011 one side would save I·1in1: a11otl1er ma11 sees tl1is a11d lets hi111 lie. A qt1a11tity of gu11powder lies scatt�red a_bout a r?om: a _ 1na11 _is goi11g into it with a lighted candle: anotl1er, k11ow1!1g tl11s, lets 111m �o 111 w_1tl1ot1t \var1_ 1ing. Wh o is there tl1at in any of tl1ese cases wottld th111l< jJu111sl11nent 1n1sapplied?16 Every man is bound to assist those wl10 l1ave 11eed of assista11ce, if }1e ca11 15. 16.

_·

..

.. . . .. --· -; �=-·

�

'

Holy Bible, Sc. Luke 10; 30-37. Bentham, Principles of Morals and Legislation 323 ( 1823, 1948 ed.).

'

94

TI-IE CRIMINAL ACT

. T l1is obligation is ce n ie 11 ve n le co ib in ns se to osiiig do it witho. tit d r e fo , th r te ea e gr on e tl1 is er ng da an e tl1 as 11 e�b Jortioi, o 1 e d ul wo cl be s 1 1 r. tl �� l1e S� e ot fo e t� s les ca � e tl1 : ;fi�bl� 0f P�r!servii,g 1,im . e tl1 es g tl1 ein clo se al du v1 of d1 1n an d an the e fir e tli ar 1 11e g · n pi f a man s _e e : tl1 em e tl1 i1n cr g in sh ui 1g ou ti1 w ds ex ar w to ld i11 a tl1 11o g · ii, do 0 . d , r e _ • , a �f1rst catcl1 f11 e, 1 1· d I e11ess, but from n ro f y p 1 111 1 t s 11o 1g t11 ac 11 o1 fr d iie be greater 1·t lie refrai. . . . 17 . st re te 11 1 ry malice ·or some pecu111a }1irr1 �elf

Note 3: The Concept of Omission Under the Fetl1a Nagast

fetlia Nagast, J-iomicide a11d Its Cor1Joral a11d SJJiritual Punishment 18

.... Tlie serva11t wl10 atte 1 111Jts to take tl1e life o� l1is m_aster must �e thro\v11 j 1 1to tl,e fire; true, tl1e serva11t \vl10 l1�ars tl1e . cries of his master wl�1le 1,e is bei11g l<illed, or l1e l<11e\v and was aqt1a111tecl with :vhat was happen111g to his n1aster a11d did 11ot re11der l1el1J ....mt1st be pun1sl1 ed. Questions 1. 2. 3.

4.

Wl1 at factor distingt1isl1es Art. 547 (1) from 547 (2) (b)? On wl1 ich side of tl1e li11e wo11ld Arts. 520 a11d 625 fall? Wl1at reaso11s 111igl1t be give11 to sttJJJJort tl1e followi11g assertion: Not all 0111issio11s sl1ot1ld be pu11isl1ed; s0111e l1owever must be punished? Tl1e difficulty co111es in drawi11g tl1e legal li11e at a11 equitable middle JJOsitio11. Wl1ere do tl1e I11clian Law Com 111 issio11 ers draw it? Where do tl1e Pe11 al Codes of Etl1io1Jia, tl1e Co 11ti11e11t, a11 d tl1e co111mon la\v dra\v tl1 e line of crimi11al liability for 01nissio11s? l11 wl1�t respe_ct�, if a11r, ?oes tl1e JJroble1n of for1nulati11g a just criterion for d1fferent1at1ng cr1n1111al fro1n 11011-crin1i11al acts differ fron1 tl1at of _fo�·mt1lati11g s11cl� a test for differe11 tiati1 1g criminal from 11on-cri1ninal on1 1ss1011s? Wl1ere, ideally sl1ot1ld st1cl1 a li11e be dra\xin? Has Etl1iopia go11e too far or 11ot far e11ot1gl1 i11 1Je11alizing omissio11s? Problems

I_ s a11_\veal_tl1y ma11 i11 Etl1ioJJi� wl10 con1es ll{JOn a beggar appearii1g to 11 1mm111e11t a 1 1d grave 1Jer1l of l1is to o·ive al1ns I1ealt}1 leo·aIIJ, obl·o·ed be 111 0 to !1,at beggar? M11st tl1e wealtl1y man gi\,e e11ottg}1 bmoi,ey t� restoreb the beg­ gar s l1ealtl1? �11st l1e_ ta�<� tl1e beggar to tl,e J iospital? Does tl,e matl 1,ave to be \vealtl1y to 111cur l1ab1l1ty t111der Art. 547 P.C.E.?

Is a d c or to be l1_eld crin1 i11al!y liable in Etl1iop . . ia P. t11 1 de A rt r . � 52 0 i C E \YI 1,en l ,e t e ttses to atte11 d a ser1ot 1sly ill patient d tt e to l1is desi· re to be prese11t at : 1 a. l1is s011 s \Y1eddi11g? b. his son's ft111eral?

17. 18.

Bentl1am, Specin1e11 of a Penal Code in Works 164 (1843). Cl1ap. XLVII.

'

\

I

95

ACTS OF 1)MISSION

N?te_ tl1at motive, quite exceptionally, is i ti clLtcled as a11 essential eleme11t of cr1m111al liability tinder Art. 520. Can tl,is doctor also be JJrosect1ted tinder Art. 547? Wl1e11 does a ''1Jrofessio11al cbliob ation'' arise u11der Art. 547 (2) (b)?

I

Recomme11ded Readings

Dawso11, NegotiorLtm Oestio: Tl1e f\ltrListic l11tern1eddler, 74 llarvard L. Rev. 817-865, l.073-1129 (1961) (a cor11Jrel1ensive clisct1ssio11 co1111Jari11g the Anglo-An1erican la\xr \vitl1 Oer1na11, Swiss a11d Italia11 law i11 tl1e area of u11solicitecl i11terve11tio11). Hall, _General Pririciples of Crir,1ir1al Law 190-205 (excelle11t discL1ssio11 of 01nis­ s1ons i11clt1ding co11sideratio11 of ti,� JJroble111s of cat1satio11 a11d i11tent). Largt1ier, fre11cl1 Pe11al La\v a11d tl1e D.1ty to Aid Perso11s i11 Da11ger, 38 Titla11e L. Rev. 81-90 (1963). 1-Iarvard Law Re·view, fre11cl1 Statt1te Ir11Josi11g Cri111i11al Liability for Volu11tary failt1re to Assist Perso11s i11 Peril J.pplied to Pl1ysicia11s, 63 1-I,:irvard L. Re·v. 886-888 (1950). Bot1zat, Droit Perial 120-129 (discussion of 0111issio11 i11 fre11cl1 law inclt1di11g recent jL1ris1Jrude11ce irz re Art. 63 •)f tl1e fre11ch Pe11al Code). Vot1i11 ancl Leat1te, Droit Perial 180-186 (classification of a11d pl1iloso1)l1y bel1ind 01nissio11 ir1 fre11ch law). I-Iofstetter and Marscl,all, A111e11dn1e11t :o tl,e Belgia11 Code Pe11al: 1-1,e Ot1ty to RescL1e Perso11s i11 Seriot1s D,nger, 11 .1-l111erican ]. of Co171paratZ:'Ve L. 66-72 (1962). I<:i rch l1ei mer, Cri1ni11al 0111issi 011s, 55 llarvard L. Rev. 615-642 ( 19.:12) ( exceller1 t cliscussion of 0111issio11 in tl1e cri111i11al law of A111erica). Shmuel Deutsch v. Tl1e Attor11eJ1 Ger1eral, 2 Selected Judge111erzts of tfJe 5·1-1pre1rze Court of Israel 92 (1952) (decisio11 co11sid�ri11g liability for cat1si11g cleatl1 tl1rot1gl1 unla\vful, neglige11t omissio11). SECTION C. CR MIN Al ftt Tl.EMPT

a. Tlie I,iterl'; Requirement THE INTENT ELEJv\E.NT [N CRIMINAL ATTE/v\PT19 Oliver iVer.dall lioln-1,es Attempt an? intent,_ �f course, a1�e two disti11_ct tl1i11gs. I ! 1tent _ to comn1it a crime is r1ot itself cr1rn111al.Tl1ere 1s 110 la\v aga111st a 1na11 s 111te11d111g to co111ct. l1 als d 1du \yit y A11 �01 011l la\v e rfl1 v. ro\ nor to-r � r afte day the er trd mL a mit tl1e. atter111Jted cr1n1e _111 tl1_1s, tl1at tl1e attempt is an overt act. It differs -fro1n 1 e g1 cl1a e11 the 1t I1av ­ 1 ttld 1ch \VO wl1 L1 res tl1e � t1t abo 11g bri to ed � act has fail acter of tl1e prir1c1pal critne. If a11 atternpt_ to 1nL11�der resLtlts 1n deatl1 ... 1t is mLtrder. If an atten1rJt to steal resttlls 1n carry111g off tl1e O\v11er's goods, it is larcer1y. 1

19. Holmes, The Com,1non Law 65-69 (1881). Sec r\rts. 21-22 C.P.S. (Appendix) for the source of Art. 27 l'.C.E.

96

'fHE CRI!vlINAL ACT

e r . t ec ff e _ le t 1 �b ob J)r . 1 ra l a 1d 1 tt1 de 1a 1 e l1 t . 1 t cl li � If an act is cloiie of \X1h� e ,_ tl 1e cr1n� 11 1al law m cri 1 1 � ve st tan a bs of t 1 e1 1 11 1sl1 l p , i circuii, sta i,ces is tl e acco1n I 11t 1ne 1sl1 r� J)Lt 1f of ty t 1e act eri sev tl1e e rat de 111o 1_ l g 1 1ot 1 i e i y \X lll ile it na y l)ro Jerl l togetl!er fro m 11 a_ a1 st ab ly rd 11 , l1a ca se ca r la 1 ct 1 rt J)a e tli lias 110t tliat effect iii 1 1 ac tt1 _ al 11 1ten� 1 s al l tliat a t l d 1a t t� gL ar 11 e _ s be 1a l t '. I r) eo JJltll isliiiig it 011 a11y tli e rf 1t tl1 Bt � s. ew 1 ce a vi st l 111 1c st \� 1 liicli 11 r te ac ar 1 cl l 1a 1 i im cr : : a t ac � ti, cai, give _ 1 d, tl1 e sa 111e J)r11 1cIJJles t11 so _ e 1 at 1te gl l 1 1. 1s 1 11� _ 1 1d 1 a er 1rd 11t � I liave advaiiced as to 1 1 1eral. Acts sl 1ot1ld be ge 1n ts ac O! ty 1 l na 1 n 11 cr e l1 t 1e 1 1ni ter de OLtglit logical lj' to 11 ot by t l1 e actu al s, 1ce ta1 ms ct1 1 1 c1r x1 0\ <11 l e tl1 er 1cl t11 )' C _ 1 1 de judged b)' tlieir ten i11te11 t \X1l1icl1 acco1 nrJa11 1es tl 1e111. 1 11 pts , as els ew�ere, tl 1e la\'\T began e att of 1 io1 reg the i 11 1at l t te trt ay be 11 1 t I t he 1no st ob vio us 011 es But it are es cas e s tl o 1 as 1t, 1 e 11t i al t L act of es cas l1 \,,it . 1 e · 1 t l to t e ) ce tan mol ogical ca1111ot sto1) witl1 tl1e1 11 , t1 11l ess if attacl 1es 1 11ore in1JJor u p les of nish1 ne11t. _ ciJJ _ 11 pri l era g�n t 1e l to an 1 l t mea11i11 g of tl1e worcl attenzpt Accordi11gl )' tliere is at least color of at1t hor1 ty for tl1e pro 1Jos1t1on tl 1at an act is IJL111 isl1abl e as a11 attem1Jt, if, s11 p1 Josi11g· it to l1ave 1 )rodt1ced its 11at11ral a11d IJrobable effect, it \x,011ld l 1ave a111ot11 1ted to a s t1 bsta11tive crin1e. 8L1t s11cl1 acts are 11ot tl1e 011ly l)t1nisl1abl e atte111pts. Tl1 ere is anotl 1er class i11 'X,l1icl1 act11al i11te11t is clearl y 1 1ecessary, a11cl tl1e e xiste11ce of tl 1is class as \xrell as tl1 e 11 a111e (atte111 1Jt) 1 10 dot1 bt te1 1ds to affect tl1e \Vl1ol e doctri11 e. S0111 e acts 111 aJ, be atte1111 Jts or 1nisde111ea11ors \x1l1icl1 co11l d 11ot l 1ave effected tl1e cri111e 1111less follo\X1ed by otl 1er act s 011 tl 1e IJart of t he \'{!ro11 g-doer. for insta11ce, l igl1 ti11g a n1 atcl1 witl1 i11te11t to s et fire to a l 1ays tacl{ has been l1el d to an1ot111t to a crimi11al attem1Jt to bt1r11 it, altl1 ot1o·J1 tl1 e defe11dant ble\xr out tl1e 1natcl: 011 . se�i11g tl1_at lie was watcl1 ed.t2> So tl1e p11rcl1ase of dies for n1al{ing coL11 1terfe1t co111 ts a 11 11sdemea11or, altl1011 gl1 of co11rse tl1e coi1 1 \'{!Oul d not be co1111terfeited 1111less tl1e dies were 11sed.<3> . 11 1 sucl1 cases tl1� la\v _goes 011 a 11 e\v JJrinciple, differe11 t fro111 tl1 at gov­ e1 1 1111g 1nos t substa11 t1 ve crimes. Tl1e_ rea_s011 for IJt111isl1 ing a11Jr act 1nust ge11: e1 ally_ be to_ !)reve11t so111� l1ar1:1 \x,_111 �!1 1s foresee1 1 as lil<ely to foll o\v t l1 at act L1i1de1 tl1 e c11 c�111 1sta11 ces 111 \xrl11cl1 1t ts do11e. 111 1 11ost st1bsta11 tive cri1 nes tl1 e groL111d 01 1 \xrl11cl1 tl1at l il<�lil1ood sta1 1cls is tlie con1 n101 1 \x,orl{iilg of nat ural c�Lises_ as s_ l1own by exper1 e11ce. Bttt :vl1e11 a1 1 act is \Jt111isl1ed tl1 e 11 at ural effect _ icli is 1 1ot l1a�r,:ift1l Lt11cler tl1e c1rct.1n1 sta of \yli 11 ces , tl1 at grot111d alor1e \Vill 11ot Slt ff1ce. Tl1e JJrobab1 !1ty cloes 11ot exis t u11les s tl,ere are o-rot t nds for exiJecti11a tl1at tl1 e act do1 1e \X11 ll be followed bJ' 0tliet. ac_ts 111 · co111b1ect 1. 011 \X11. tl 1 \X1l 11. cl 1 its . b effect will be 11�;.111fu1' ltl:011g1, 1 1ot so otl1er\,r1 se. Bt1t as i11 fa t 110 s t1cl1 acts c � l1ave followed l n1 o 111 ge11 eral be a ss 11111 ed, fro111 tl·1 e tne re doi11 g of \ Vhat ' \VOLtlcl l1a\ , l1a' s been do11� , tl 1�f t � eJ' re follo\,ied if tl1 e act 01· 1 1ad 11 0t b ee11 1·1,terrLtjJed Tl1 ey \VOLtld iiot 1 e fO11 \ rec1 .it Ltt l ss t l1 e actor l1ad cl·1 ose11, a11d tl1e l e x O I v �� 011 J, way geiierally a,,ailabl o \XI �liat 11.e ''1 ? ttl l1 av e cl1_ose11 t o do tl1e1 11 is _b O � sl1owi11g tl1at lie iiitei,cl�d to do t��� 111 \ l.1e11 e did \x�r l ia t lie Li 1 d. Tl 1e acco111 1)any111g l � . i11te11t i11 tl1at case reiiders tl,e otlleI- XTl e 111 11o ce 1 1t ac t l1ar111f11 l , beca11s e it rais�s a JJrobability tliat it will be f 110:X!ec� t Y SLicli ot l' 1 �r acts a11 d eve1 1t s as ,xr1ll all togetl1er resLtlt iii l iartn Tf 1 1 JJ I. e n of · O _ tl1e 11 1te11t is 11ot to s l1 0,v tl1at e �� l� ��xr tl1 e act was wicl<ed, but to sl, iat it was l tl<ely to be fol lo\Xled by hurtfi1I co1 1seqt1ences. It will be readil y see11 tl1at tl1ere a1·e 1·11n1. ts to tl1 is l<i11d of l iabil it)' The · ) ((; Reg. v. T,1ylor, I F. & F. Sl l. ) Reg. v. Roberts, 25 L. J. M. C. 17 _...

ATTEMPT

97

law _does 11ot p11nisl1 every act wl1ich is do11e witl1 t]1e i11te11t to bri11g aboLtt a _cr!me. If a ma11 starts from Bosto11 to Ca1nbriclge for the JJttrpose of co1n­ mttt111g a _murder wl1e11 l1� gets t!1ere, bt1t is sto1Jped by tl1e.dra\v a11d goes home, l1e 1s no 1nore JJLtn1sl1able tl1a11 if l1e l1acl sat ir1 l1is cl1a1r a11d resolved to shoot s01nebody, bttt 011 seco11cl tl1011al1ts l1acl given 111J tl1e 11otio11... . ° 'y/e have see11 what amou11ts to a11 atte1npt to bt1r11 a l1aystacl<; bt1t it \Vas said in tlie same case, that, if the defenda11t l1acl go11e 110 ft1rtl1er tl1an to bt1y a box of tnatches for tl1e IJttrpose, l'te \VOt1ld not l1ave bee11 liable. Emine11t jt1dges l1ave bee11 JJUzzled \v;l1ere to dra\v tl1e li11e, or e\1e11 to state the pri11ciple on \vl1icl1 it sl1ot1ld be dra\v11, bet\vee11 tl1e t\vo sets of cases. B11t tl1e pri11ciJJle is believed to be si111ilar to tl1at 011 \vl1icl1 all otl1er li11es are drawn by tl1e la\v. Pttblic poliC)', tl1at is to_ say, legislative co11sideratio11s, are at the botton1 of tl1e n·1atter; tl1e co11sideratio11s bei11g1 i11 tl1is case, tl1e 11ear11ess of the danger, the great11ess of tl1e l1ar111, a11d tl1e clegree of a1J1Jrel1e11sio11 fe lt. Wl1en a ma11 bt1ys matcl1es to fire a l1aystack, or starts 011 a jour11ey n1ea11i11g to mt1rder at tl1e e11d of it, tl1ere is still a co11siclerable cl1a11ce tl1at lie \Xiii! cl1ange l1is n1i11d before l1e co1nes to tl1e JJOi11t. Bt1t \vl1e11 I-1e l1as strLtC!( tl1e matcl1, or cocl(ed and aimed the pistol, tl1ere is very little cl1a11ce tl1at lie \v;ill 11ot persist to the end, a11d tl1e da11ger beco111es so great tl1at tl1e la\v ste1)s i11. With a11 object \X,hicl1 cot1ld 11ot be t1secl i1111oce11tl)', tl1e poir1t of i11terve11tio11 migl1t be JJLlt further back, as in tl1e case of tl1e jJL1rcl1ase of a die for coi11i11g.

CRIIV\.INAL ATTEMPT20 1\1ax Waiblinger

Tl1e i11tentio11 11ecessary to tl1e existe11ce of a11 atte1111Jt - tl1e 1<110\vleclge ancl will te11di11g toward tl1e ft1lfill1ne11t of tl1e act-11111st 11ot or1ly be clirected witl1ot1t ambigt1ity i11 tl1e directio11 of tl1e goal to be attai11ecl, bt1t 111t1st also be irrevocable to a !1igl1 degree. Tl1is i11st1res tl1at tl·1e i11te11tio11 \x1ot1Icl l1ave JJassed the critical n10111e11t \'v'l1e11 tl1e actt1al cri1ni11al act \X!OL1lcl l1ave bee11 consL1mmated, tl1at it \vas directecl to\varcl tl1e accon1JJlisl1111e11t of tl1at act..... . . . for an atte1nJJt, i11direct i11tentio11 is ·:;t1fficie11t i11 tl1e sa111e 1na11r1er as for a completed crime. . .. .. . A negligent attemJJt is 11aturally inco11ceivable.

MERRITT v. CO!v\MONWEALTI-I Supreme Court of Virginia, 164 Va. 653 (1935_) United States

• • • • ... The indictable atte1npt exists 011ly \vl1e11 tl1e act, sl1ort of tl1e st1bsta11ti\re crime, proceeds from the SJJecific i11te11t .to do tl·1e_ _ e11tire evil tl1i11g, tl1t1s imparti11g to so m11cl1 as is do11e a srJec1al ct1l1Jab1l1ty. Wl�e11 \Ve say tl1at _a mat1 attempted to clo a given w_ro11g, �e 111ea11 _tl1at lie 1_11te11cl�d to cl� 1t specifically; and proceeded a certain wa�, 111 tl1e_ do111g. Tl1e 1r1te11t 111 tl1e 1n111cl covers tl1e thing in full; tl1e act covers 1t 011ly 111 JJart. .. . 20. Waiblinger, La Tentative (I, Generalites) 3 Fiches juridiq1,es Suisses, No. 1199 ( l 957).

.

..

.

TliE CRIMINAL ACT

98

Questions

1-Iow does atte1111Jt differ fro111 1nere i11te11t? I-low does attempt differ from 1. tl1e con11Jletecl, s11 bsta11tive cri111e? t. r Ar de ? 1111 27 al eg de ill n1a 1pt en ad att Re of s sse cla tJ1e O t\xr tl,e are t lia \Xl 2. 11 of nto Ca tl1e of t �1r Zuricl1 i1iJra Co r �io pe St1 tlie by ecl case decid . 1 s q11est10 1i. 1 tl 1g 1r er \v 1s a1 re fo be 1 lly ft re ca 11 1it ''irrevocab le to a e i1it of ger lin aib W t e11 int l t11a ''ac of. - n1es s1Jeal<s 3. 1 Iol 1 lt/1 w�a _of mon v. Com t rrit Me ''specific i11 ge jttd tl1e 1 1cl 1 a ree deg 1 liig nl� tt yo th1 1s do __ 1at mea11t by \Vl t. mp atte e tut 1 1st1 co to er ord in 1t 1 i tite 11 r111g st1cl1 a l11gl1 degree of t req for 1s so1 rea tl1e are 1at \X'l 1 11s? ter sucl1 JJroof witl1 resJJect to i 11te11t? for wliicl1 class of attempt does Hol1nes does lie deal with tl1e other class feel a11 actt1al i11te11t is 1iecessary? I low of atte111JJt? Does tl1e str11cture of Art. 27 s111Jport I-Iolmes' view? 4. Iio\xr \xrould a JJt1blic fJrosect1 tor go abo11t provi11g i11tent i11 tl1e abse11ce of a con11Jletecl act? I Io\xr \vo11 ld lie fJrove i11 I-Iolmes1 l1)rpotl1etical that tl1e 1i1a1 1 wl10 lit tl1e 111atcl1 actuall)' i11tended to fire tl1e l1aystack? 5. Wl1at i11te11t is reqt1ired for Aggravated I-lon1icide, Art. 522? How is sucl1 an intent proved? 6. Wo11ld Ato I-Iaile iv\aria111 be guilty of atte111pt \vl1e11 l1e, \Vhile a bit drunk tried .i1 1 jes� to sl1_o�t a bottle fro111 tl1e wall in a 11earb)' tej bet bt1t, i1� fact, JlISt 1111ssecl l11tt111g a custon1er \xrl1e11 tlie bttllet we11t astra),? ;

1

11

;

1

'

b. TJJe Act Requirement (1) Tl1e Preparatory Act

I

PENAL CODE Of ETHIOPIA Art. 26. - Prep.;.ratory Acts. Acts �l1icl1 ,tre 1nerel)' desig·11ecl to IJreJJare or 111al<e fJossible atl offeiice, by JJro�uriiig tlie 111ea11s or creati11g tl1e cor1ditio11s for 1·ts co111n11·ss·1· 011 are not· JJLtn1sl1able u11less: .,. (a) i11 tl1e111selves ,l1ey co11stitt1te ar1 off e1 1ce defi11ed b,

•

• •

•

PREPARATION AND ATTEMPT21 E. Ziircl1er

q

Q

•

0

Still \vitl1i 11 tl1e reaJ 1,-1 of fJre Jarator, . . . . ac ts a� e tl1e _fabr1cat1on of tl1e 1rn[Jle�11e11ts of substa11ce tl1at \x,ill be {i sed [t ) co1111111t a r 11:1e] or furtl1er, to 111ee� 11i a JJlace wl1ere a JJrO[JOsecl a1.tacl< \'(/ �_ _ illo Occur. Bttt 1a 1 1s 1ng 011e s arn1 1r1 ordei 21. Zi.ircl1cr, Cocle Penal Suisse Ex pose' des 11,10!1 s de l'A·v ' . . , Alfred �,( J ··n111-P1.o;et . 58-59 (Frencl1 translation Gauticr, 190S).

ATTEMPT

99

to hit a!1ot_l1er, or drawi11g a l<nife i11 tl1e f)rese11ce of a cl1oie11 victim co11stitL1tes tl1e beg111111ng of exect1tio11 [con1me11ce111e11t d' exect1tio11]. PEOPLE v. J\1lILLER S1,tprer1ie Coitrt of Califorr1ia, 2 C,il. 2d. 527 (1935) U,zited States •

•

•

•

Tl1e evide11ce is fJractically \xritl1ot1t co11flict. 011 tl1e clay i11 qt1estio11 tl1e defe11dant, sornewl1at L111der tl1e ir1flt1e11ce of liqt1or, a11d i11 tl1e J)rese11ce of otl1ers at tl1e fJOstoffice i11 tl·1e tO\X1t1 of B001,eville, tl1re1te11ed to l(ill Albert J ea11s for reasons avo\ved by tl1e defe11da11t tl1at Jea11s a 11earo l1ad bee,, a1111oying l1is \vife a11d tl1at tl,e at1tl1orities \v'Ot1lcl 11ot tal(e ch(lrge of tl1e �atter. Jea11s ha� s0111e associatior1 \vitl1 tl1e clefe11da11t a114 otl,er \vl1ite 1Jeo1Jle 1n that co1111nt1111ty for a 11L1111ber of years.011 tl1at day ta,,s \Xtas e1111Jloyed 011 the l1op ra11cl1 of Oi11ocl1io, \vl10 \Vas tl1e co11stable of B0011eville.f\bot1t 4 o'clocl< tl1at after110011 \x1l1ile Co11stable Oi11ocl1io, Jears ar1cl otl1ers \vere fJla11ti11g l101Js, tl1e defe11da11t e11tered tl1e l10JJ field of Oi11)cl1io carryir10- a .22 caliber rifle. Oi11ocl1io was abot1t 250 or 300 yards a\vay a11d Jeans abottt 30 yards beyo11cl l1i111. Tl1e defe11da11t \xrall<ed i11 a direct ln1e to\x/ard Oi11ocl1io. Wl1en tl1e defe11cla11t l1ad go11e abottt 100 yards lie stojJJed a11<.! a1)1Jearecl to be Ioadi11g l1is rifle.At 110 time dicl l1e lift l1is rifle as t1ot1gl1 to tal<e ai111. Jeans, as soo11 as l1e 1Jerceived tl1e defe11da11t, fled 011 1 li11e at ctbotit rigl1t a11gles to Ivliller's li11e of a1J1)roacl1, bttt \X1!1etl1er before )r after tl1e stoo1Jir1g motio11 n1ade by tl·1e defe11cla11t is 11ot clear. rfl1e defe11dar1t co11ti11ttecl to\vard Oi11ocl1io \Vl10 tool< tl1e gt111 i11to l1is O\v11 1Jossessio11, tie clefe11da11t offeri11g 110 resista11ce. Tl1e gL111 \Vas fot111d to be loctcled \'v'itl1 a .22 caliber 1011g, or l1igl1-speed, cartridge. Tl1e foregoi11g are tl1e salie11t fac:s stated witl1out tl,e color afforded by tl1e e1Jitl1ets a11d la11gt1age t1sed by tl1e :lefe11dant i11 111ctl<ing his tl1reats. •

•

•

•

\Vl1ere tl1e crin1e ren1ai11s t1r1fi11isl1ed a11d tl1e clefe11ca11t is cl1argecl \xritl1 attempt, two i1n1Jorta11t ele111e11ts are esse11tial: �\ specific_i11_te11t to con1mit tl1e crin1e a11d a direct i11effectt1al act do11e to\vard its co1111111:s1011. 1\i\ere i11te11tion to comtnit a s1Jecified cri111e cloes 11ot a111ot111t to a11 atte111Jt.Pre1Jar,ttio11 alo11e in 11ot sufficier1t. ''Sometl1i11g n1ore is reqttired tl1a11 111ere me11aces, preparatio11 or JJla1111ir1g." (30 Cor. Jt1r. 13) ''Tl1e JJre1Jaration co11sjst� i1 clevisi11g or arra11g­ ino- tl,e mea11s or measures 11ecessar)' for tl1e com1111ss1ol of tl1e offe11se; tl1e at�n,pt is tlie direct moven1.e,zt to\varcls tl1e co1n111issio11 ater tl1e jJre1Jaratio11s are niade.. .. Tl1erefore, tl1e act n1L1st reacl1 far e11<.)t1gl1 tox,ards tl1e acco111plisl1rne,,t of tl1e desired result to an1ot111t to tl1e co1nn1e11ce11e11t of tl1e co11st1111mation." (8 R.C.L., JJJJ. 278, 7 2 9). ' Tl1ere 1n�1st be some a1JJJreciable frag·1ne11t of tl,e crirne co111n1itted, ar1d it 1nust be 111 st1cl·1 jJrOfress tl1at it \xrill be co11sum1nated L111less ir1terr11JJted by circu111sta 11ces i11de l)t11 de11t of t11e \Xii 11 of the attempter.'' (Wl1arto11's Crin1£12al L�t7.v, 12tl1 ed., vol. I, jJ. 280.) It is also stated i,1 tl,e same \'<'Ori< at jJage 292 of volttme 1: ''If t\e 1Jreparatio11 is 11ot of itself indictable or will 11ot of itself, if t111i11terrt11Jted extra11eously, rest1lt ir, crime t!1e weiaht of reasoni11g is tl1at it can11ot be 111a�e per se i11clictable as a11 attem'pt. for first, tl1ere is 110 evi�ence as a ge11er�l rttle, tl1at ca11 jJrove tl,at a particLtlar preparation was des1g11ed for a jJart1cL1ar e11ct.· Tl1L1s a gt111 may be bot1ght as well for l1t1r1tin� as for_ l10111icide.Nor ca11 \Ve lay do\v11 a11y intelligible li11e betwee11 preparations wl11cl1 betray 1no·e clearly a11d tl1ose 1

.- , .. .·--�

.

�

THE CRl�\INAL ACT

100

1 d l y, b et ween _ J)re1)aratio11 1 o 1 ec . � r t _ s� po s t1 io 1 _p lo fe a : \xrliicl·i betray less cl early 11c e ca n11 ot fill u p so as e 1d rt 1J l 1s a 11 tr n 1 11 Jt c 1 h r c 1 l J ai,d exectitioii tl iere is a ga1 1w1se. T l1 �re 1nay be a cl1ange ? f pt1r1Jose, o r tlie to n,al<e 01 ,e co ii tititiot1 s offe 1Jreca t1011ar y east1_re, to � l_1 cl1 �l1e law caiin<)t u ! 11 � j)reiJaratioi, 11 1a)' be � �agt1� _ Lt 1 I t) act. . . . g to 1 11 11 r 1 e p to y ad e 11 t, e r t 1 1 1 aJ)IJ e11d a fJO sitive cr I n111 1al • • • 1:1ove1 n�11 t i11 executio11_ of tlie or t ac t ec ir l c e n1 so It still 1JresttJJposes a� tl s 1e intended le l � l11 w 1 1 01 at r . Ja e1 JJr e er 111 , �� fr 1ed : : l 1 is desigi,, as disti11 gt _ t d 11 ec t �t 1 ac f1 e t t!1 o\x:ard 1 ce e1 1n 1n co to 1 1 9 1t1 1d 1 co 1e l t i 11 ' 11) . assailai,t 01 1 1g ev1 de11 ce of a direct act 1 1r qu re r fo 1 o1 as re ,e 11 1. g1 si de co1 1st11u1 natio 11 of l1 is , 1e d is, a� te in i11 cr JJo ed 11d te otit 11 i 1e l t of 11 tio 1 11a 1 111 t 11s co rd wa t o t l1 lio\vever sl iol1�t i11 tl·1e 111ajority of cases up to � , iw Lc l a. irz £1n Cr s 11' to ar l1 W 1 i �r by tl1e at1tl1 1 nere l )' of ac ts of preJJaration ng 1 t s1s 11 co t, 1 1 1 da fe1 de tl1e of 1 ct t 11d co tl1at ti1ne tl1e ] 1as 11ever ceasecl to be eqtti\rocal ; a 11d t l 1is is necessaril y so, irrespective of t st be l acki11g tha n1u al oc t1iv eq i11g be of ity l a qtt t tl1a is It 1i. 1 1te l1is clecl ared i1 before tl1e ac;t beco11 1es 01 1e \vl 1icl1 111ay be sai cl to be a co1 11meJ1ceme11t of tl1e a11y fragme1 1t of tl1e cri1ne co1n111issio1 1 of t l1e cri111e, or a11 overt act, or before itself l1as bee1 1 cot111 11itted, a11d t l 1is is so for tl1 e reaso11 t l 1at so 101 1g as tl1e l1 certai11 ty \vhat tl1e i11 te11t of t l1 e eqt1i vocal qttal ity re111ai11s no 01 1e ca11 sa)' \xrit ::;ord, 34 fed. 26, 27, ''tl1 e i11te11tio11 l v. es Stat ited U 11 1 1 i d defe11da11t is. As state of tl1e actor ca1 1 alo11e be cl early ascertai11ed by tl1e 1noven1e11 ts \xrl1 ic l1 lie l1ad 111ade to co1111) lete l 1is desig11." 111 tl,e earl y case of Peo1)le v. fv1ttrray, 14 Cal . 159, a co11victio11 of attem1)t to cor1tract a1 1 i11cestt10L1s 1narriage was reversed. In clisct1ssi11g tl1e disti1 1ctio11 bet\x,ee11 J)re1Jaratio11 a11d atte_111 JJt, it was sai?: ''To i llL1strate: a IJarty ma)' pt1�·cl1a� � ar1cl load a gL1 11� \Vttl1 tl1e declarecl 11 1te1 1tio11 to sl1 oot his 11eigl1bor; �Lit L11 1t1l s_o11:e 111ove111�11t 1s 1 11acl e to Ltse tl1e \xrea1)011 ttjJOn tl1e f)erson of l 1is 1�1te11ded v1c t11 11, tl1ere 1s 01 1ly j)reparatio11 a11 cl 11ot a11 atte111 1Jt. for tl,e JJre para­ t1? , l1_e 1�ay ·be l 1el d to l<eeJ) t l 1e JJeace; bttt l1e is 11ot c l ,argeabl e \X1itl1 a11y � , 11. _ (11 tl 1e _case of Stol<es v. State, it \xras l 1el d tl1 at, the �tte1111Jt _to l-.1 �11tent be11 1�_ �l ea1, tl1� tal<1 11 g of a loadecl gt111 a11d goir1g i11 searcl 1 of tl1e . 7 decl victin� co11st�ltt!ec l a11 atte1npt. Jt1stificatio11 for tl1 e decision i11 tl1at 1 11tei cas � �1.. 1ybe said to lie 1_11 tl �e _possibili ty of tl1e jt1 ry's fi11di1 1g t 111 der t l1e facts tl1e1 e 11� v� l ved that tl1e. IJI e1)a1 at1 011 for t l 1e assat1l t \Vas \'l;litl1ot1t a 11y equivocalit)', a1 1d tl1 e _ 111te11 t t l 1t1s be111g j)rov�d, tl1e JJre1Jaratioi, \xras sttfficieiit to coristitute tlie ovei t act. Tlie s� 1�1 e reaso1111 1g a1)pl ies to tl1e cases of PeoJJle v. La1 1zit, 70 C al · ·'JI). �?8, \� 1 �1e� 111 tl1e clefe1 1da11t _ l1 acl j)rer)ared a bo11 1b for t l1e {Jt1r1Jose .xr }e f i<Iti1 cl � ad 1) ;��ai��l � � {)l��: dPeo1) l � v. Stite�, 75 Cal . 570, \'l;f l 1ereir1 tl 1e defe11dant 1a1111 te o11 . -catl\ . Va)' tracl<s, a1 1d in bot l 1 of \X1l1icl1 f; co11vi ctio 11s W'ere lll) l;el cl. 1ese ases 1; l Ll strate tl,e s111all c lass of cases \xrl1ere t. l1e acts of j)re1 )a( r�tio11 tl1e111sel eves c1early i1 1dic Jte ti 1e cert 11 . uot1 s g 1 1 b 1an 11 a1 t · . . � .. 111 tl1e 1Jrese11t case Lt ) to the 111te1 1t a1 1cl sL1 ff ice to coiistiti1 te tl ·ie a. tt e1111Jt ] 1110.11e11t tl1e gt111 \vas tal<eii fro, 11 tlie cl . , � 1 1? y 0 1 certai 1e n� cot 1 l d say l1 \x,it ; \Vl1etl1 er tl1e clefe11cta11t Jiacl coi,,e i ti to � �� �. ie��� t o carry OL1t 11 1s tl1 reat to_ !{ill Jea11s or 111 erely to cl ertlatid liis arres.t by t l l co 1e� , i,s t_ a b or1 t l e. 1 U1 1 de 1 tl r at t l 1e tl1erefore, tl 1e acts of tlie defelldalit do 110t� coi 1 st1tt1 te a11 atte 1 111Jt to co1 n1n1t 111t1rcler. [1\:\ost citati oi,s orliitted]. •

1

1

11

Questions

1.

At \'(/11at f)oi11t cloes a11 ac. t b�co111 e st1bject to l egal liab ility? Wl 1e11 does JJre1Jaratio11 eiid aild.t11e c r 1 111111a I act begi11 t1 11 der t 11e p. c. E.?

101

ATTEMPT 2.

After exami11i11 � tl�e fact� in PeoJJle v. Miller \X1itl1 great care a11d assu1ni11g _ tl1at tl1e req111s1te 111te11t 1s J)1·ese11t, cor1sicler the followi11g: a. Wl1at. \Vere the ac�s fJer1Jetrated by tl1e defe11da11t, Miller, b e said to be lead 111g to\vard tl1e sl1ooti11g of J ea11s?

\X1 l1icl1

co11ld

1)

b · Whicl1 act(s) brot1gl1 t tl1e clefe11cla 11t closest to co 111n1itti11g !1o111icide? c. Did lv1iller proceecl far e11ot1o·J1 to l1ave co111n1ittecl a crin1i11al act, tl1at is, clicl he IJroceecl be),ond tl�e stage of 1 Jre 1 Jaratio11: { l) U11der tl1e test set 011t i11 Art. 26? (2) U11cler tl1e test set 011t i11 Art. 27?

(3) U11der tl1e tests citecl b)' tl1e S11 1 Jre111e Co11rt of Califor11ia? (4) U11cier atl)' of tl1e tests e1111111erated i11 Note 1 i,ifra? (5) U11cler yot1r O\V11 test? 3.

Wl1y does Art. 26 as a g·e11eral 1Jri11ci 1 Jle exe1npt fJre1Jaratory acts fro1n JJt111isl1n1e11t? Are s11cl1 S 1Jecial Part Articles as 254, 269 a11d 286 i11co11siste11t \vitl1 Art. 26?

4.

Wl1at is tl1ere i11 tl1e fJt1r1)oses of fJt111isl1111e11t 9.S statecl b)' tl1e Soviet Cri1ni11al Code (J\rt. 20) \Vl1icl1 leads tl1e So\1iet U11io11 to IJ.L1r1isl1 1Jre1Jara­ tory acts (Art. 15)? See Note 2 i,1jr:i. \X/l1at otl1er reaso11s 1nigl1t be give11 for f) LI 11isl1 i11g pre jJarato r)' acts? (2) The Act of Attempt

PENf\L CODE Of ETI-I IOPIA Art. 27. - Attempt

(1) Wt1oever i11te11tior1ally begi11s to co111111it a11 offe11ce a11d does 11ot jJLtrsL1e or is 1111able to fJt.trstte l1is cri111i11al activity to its e11cl, or \vl10 jJt1rs11es l1is cri111ir1al activit)' to its e11cl \vitl·10L1t acl1ievi11g tl1e resttlt 11ec­ essary for tl1e co1nJJletio11 of tl1e offe11ce sl1all be g11ilty of a11 atte111 1 Jt. Tl,e offe11ce is clee1ned to be begt.111 \Xrl1e11 tl1e act performed clear­ ly ai1ns, by way of direct co11seqt1e11ce, at its co111n1issio11. (2) A11 atten1pted offence is al\vays JJt111isl·1able save as is otl1erwise JJrovid­ ed by law. A mere attemJJt to i11stig·ate or fJartici 1 Jate i11 a11 offe11ce does not co1ne witl1ir1 the provisio11s of tl1e la\v 1111less it is expressl)' {Jrovid­ ed to t}1e co11 trary. (3) l11 tl1e case of an attempted offe11ce tl1e offe11cler is liable to tl1e JJtt11is]11nent attacl1i11g to tl1e offe11ce lie i11te11decl to co111n1it: Provided tl·1at if circun1sta11ces so jt1stif)' tl1e co11rt may reduce the pL111isl1me11t witl·1in tl1e limits JJrovidecl by law. (Art. 184).

TliE CRIMINAL .ACT

102

22 H I R U C Z f O N O C T N A O E li T R f T U O C R IO R SUPE· 239 (1944)

·

. pr ris ]1-t de e iss S1-e v. Re 40 43 ·19 ' -29 J0 D ecisio11 0'J.t Switzerland

y 1 i a� t� � w ac ns gi 111 be cl jJt te hi w at e 1 is 1 l T y. er rg fo 1. 25 . rt A e Petial Cod 1 s nt te or 111 at tr on Je rJ 1e jJe to tl s se O JiJ Lt! do es pr 1t bL )' er rg fo d ar w to d dire cte . e g ta n a v d a l fu w a 1l 11 t 11 a 1 1,arm or to gait 1 1g attempted to vi ha 1 itl w ed rg 1� �l as t w 11 a _ 11d fe de e t11 t1 tio 111 t l ,e iiifori na l fu w a 1la 11t u1 1 va a1 �d g ge 111 1n y ga b. 1 _of 1 10 nt 1te 1 i 1 e tl tl1 \'v'i t 1 , e iin cL forge a do 1 e t10 1 er� of }11s tl1 sta � r or tte le a lf se 1 �1 te ro \v 1 J-Ie ts: ac 1g 1 \Xli lO � doii,g tl,e fo ter l1e s let aff i xed t l 1e tl11 To . 43 19 , .:)0 l Jr1 A1 ted da ., Co & . .W -0 ein,Jloyer A. 1 1 e signature. t t ye tl no 1t bL /s ''li y a11 111p co e tl1 of er 1ag 1 1na 1t 1 a ist 111ar l < of tlie ass 1ad emplo),e d y l an mp e co tl1 at th t ec eff 1e tl to 1 1 tio na 1 r 1 1fo i 1ed 1 i T l iis letter co11ta 1no11 tl1, '':Vit l 1 a 2 per ce11t deduc­ a 510 fr. at 3, 194 1, y iV\a of as 1t 1 1da fe1 de ie l t 11 1 ed tl1 at tl 1e _defendant 1sl abl est 11 bee has it As 1. 1 atio e11s n1J co1 s los ge wa for ,1 tio to i n fL1rtl1er a ted obt m1J atte 1d 1 a 3, 194 1, ay \ l\t 011 d frau by it cred d ai11e obt credit by fraLtd 011 May 3, 1943, it is to be asst1 med t11 at l1 e likewise i11tended to 11se tl1 is letter for fra11dule11 t pLtr1Joses i11 order to prove a matter of legal sig11ifica11 ce. Tl1e S L11Jerior Court l1 as acquitted tl1 e defe11da11t of tl1e cl 1arge of atte1111Jted forgery. Art. 251, JJara. 1, Pe11al Code, IJt111isl1es for forgery a11 ybody wl10 ''falsely 111 al<es or falsifies11 a clocume11t \Vit\1 tl1e intet1tio11 of l1arn1i11g so1nebod)' i11 l1 is iJrO[Jerty or otl1er rigl1 ts, or to obtai11 a11 u11la\vfL1l ad\1a11tage. Tl1erefore, tl1 ere is a1 1 i11com1Jlete atte n11Jt of forgery wl1en tl1e (Jer1Jetrator l1as com 1ne11ced l1is falsificatio11 witl1 tl1e i11te11tio1 1 of co1npleti1 1g it, but l1as 11ot )'et cotnfJleted it (Art. 21, {Jara. 1, Pe1 1al Code). 111 tl1is case tl1e defe11da11t be o·a11 to \Vrite a letter 011 tl·1e statio11er)' witl1 t11e letterl1eacl ''\V.A.-f. 1 He affix�d tl1ereto tl 1e marl< of tl1e assista11 t ma11ager of t l 1e W. Co111 1Jat1)' a11d falsely stated t l1erein tl1at �s of 1\1\ay, 1943 lie was to . be en11?loyed ''definitely' at a salar)' of fr. ?10._ fl1e defe11se cor1te11cl s tl1 at tl11s co11st1t11tes 1nerely a IJreparatory act. Tl1at 1 s s1 m1Jly not s�, eve1 1 tl10L1g l 1 t l 1e letter lacl,s a sig11ature, a. rubber stan1 1J a11d tl,e co11cl L1d1ng se11te11ce, a11d eve11 tl10L1 0·! 1 11ot eve11 t l ,e text itself l1as bee1 1_. co 1n1J!etecl. �atl1er, JJresLt!JiJOsi11 g tl1at tl1ere is tlie 1 1ecessary inte11t reqt111 ed by Art. 251, Pe11al Cocle, \vl1at tl 1e defe11da 11t lias do iie ii, tliis case a1nounts _to tl1e co111111�11ce111e11t of tl1_e execLitio11 of forger),., If itl addition tl1e lette, wo L1lc.I co11ta111 tl1e co11clL1d1110°· rei na' rl<s , tlie 1-11bber sta1 njJ a11d tl1e · 1e \VOL t1 cl 11ave bee11 co111pleted siil ce t l 1e ac t ua use of tJ1e s1·g11a tL ire , t I11· s cr1n 1 ' · r Lt L forgery for f a d tlei, t JJLtr1Joses 1s 11ot JJart of tl1e defi1 1itio11al el e1ne11ts. �fl1e defe11se co11 te11cls tl1at i11 case of tlie jJrocl Li ct·1 11t a11 011 e f o a ocum f ·a d I se_ atte1111Jt is co1 1stitL1ted o11l)' wl1 e11 a fa' l se sig1 1atu·i e l 1as do e b W ee1 1 affixed · 1 1_0t agree. Q Li t te a1Jart fron1 tl1e fact t1 1at i,, e case of ti,e aff.i xi fal s · f '. a ,· · i ig O s1gr1at11re for frat1d L 1le11t IJt1riJoses tile criii,e \XIO , Ll ld 11ave bee11 _co111rJl te d, 1 t � is necessary to l<ee1J i,1 ,nii,cl tli at 110t e,,er, do un Ratl1er, a11y sort of affixtLtre iil tei iclecl to �o11.v1� 1e11 t 11eeds a s1g11at111 e.. · i 11c e s0111 ebody tl 1at tl1e ac tua issuer is a bae1.111i1 1e isstter of tl ie doc L1111e11 t \x,111 0 . s tt ff ic b t:cl( e ver (T l 1or 1 I 1111 na [ Das Sc 1wezzerzsc/1e Strafgesetzbitcl? (' !{ n . ) 1g40/41 ], ref. . 20) N. 251, to Art. Tl1is crime is con, JJleted \Viti , tlie f�lsl1 �i ca . -:-� : 10 1 1, a11 atte 1111)t lies \xritl1 tl 1e coin. 1

',

1

1

o

22.

Translation, Mueller, Co,npartZtive Cri,nin,' ,l LttW 18. 6- 18 7 (1960).

ATTIMPT

103

· ·cat·ton merlcement o f tl1e fals1t1 , a ter (H f Schweizerisc,?en [Lehrb1tch Strafrechts des . 1937/43] Besonderar Tei!, f). 600). Ho\vever, as I-Iafter f)Oi11ts 011t, t 1 ere is \Vl1e11 the falsification l1as bee11 , . . . comn1e11ced' 'an attemJJt O 11 1 Y ,,.1f 111te,1t1011 to 1 t t}1e 1e tl1 w1 ator acted )erpetr . l d0 harm _ o r to acquire a11 1111 la\vft1l act,a atte111J)t jL1st as a11 of 11tac case r e '' l11 mLt c11. a s 111 tl1e case of tl1e co1111Jleted off � 11 s·e ' tl1e i11te11tio11 111L1st cover all · m ater1a 1 e 1 e1ne11ts of t11e cri n1 (0 . � ijre�h t, . er11· a 111 1 , Da� Verbrec!?e i L"! ncuen Str1._,r,, � p. 188). Tl i e esse_1.1ce of a ct1m1 . r1al �tte111JJt 1s tl1e st1bJect1ve a11d obJect1ve re1at · 11 0f a erta1n co11clt1ct t? a certair1 cor_JJ1ts cleli (liafter, Allge1r1ei,zer Tei!, cti l �� ). Wliei�e 110 st1cl1 relat1or1 ca11 be fot111d tl1 e 1Jri11ci1Jle of certai11ty of a den1a11cls_ !l1 t tl!ere be 110 co11vi_:ti_o11 (I-I;fter, op. cit. s1,1pra). 'fl1is is st1cl1 a. :ase. Tl1 e 111ro�1 mat1on n1erely says ''JI: 1s to be assu111ed'' tl1at tl1e clefe11da11 t 111�ended to t!se tl1 e letter for fra_L1dt1lert IJL1r1Joses. 1�11ere is 110 JJroof sLtjJporti11g tlits assL1n11 Jt1011. l11deed, tl1 e trial court rested tl1e defencla11t's co11victio11 of f�rg�ry merely on l1is ad111issior1 tl1at vitl1 tl1is letter l1e l1acl 111ea11t to co11vi11ce 111s f1ancee tl1 at l1 e 11 ,td a steady job. Co11trary to tl1e trial coL1rl's 01 Jir1io11, it �oes 11ot follow l1erefro111 tl1at tl1e c efe11cla11t also inte11ded to i11clL1ce l1is f1a11c�e to act i11 a \XT�Y sl1e \VOLtld riot l1t'ie acted l1ad sl1e l<110\X111 tl1e trL1e facts, nor 111cleed, _,vo�tld tl11s fJrove tl1at l1e i:1te11decl tl1t1s to gai11 a11 t111la\X1ft1l aclvar1tage fro�, 111s f1a11cee. !l1e jJrosect1ti11g office itself does 11ot mal<e a11y sL1cl1 assu1n1Jt1011 s, altl1ot1g·l1 1t l<ne\.v tl1e defE11da11t's assertio11. Ratl1er, it refers to tl1 e fact _that 011 May l a11d 3, 19431 tl1 e dEfe11da11t obtai11ed, or atte1111)tecl to obtai11, credit by frat1dt1le11t state1ne11ts, a11d frc,111 tl·1at it i11fers tl1at tl1e clefe11cla11t 111ea11t to 11se tl1e forged letter lil<e\xrise for fralldL1le11t JJurposes. Bt1t tl·1is is 011ly ,1 gLtess. The defe11da11t 111ust be acqt1itted of tl1e cl1arges of attem[Jtecl forgery.

f·

WICKII-IALDER c. l\'1INISTERE PUBLIC DU CAN-fON DE ZOUO RO 83 IV 142, JT IV 99 (1957) .Swit;_erla,1d

A. from Augt1st, 1954, to febrL1ary, 1955, Josef Wicl<il1alcler, s0111eti111es in tl1e com1Ja11y o-f Karl Rogenmoser, his ,x1ife Maria Wicl<il1alder-Tl10111a or alone coin111 itted a large nLt111ber of c:iverse offe11ses, JJarticL1larly tl1eft and robb�ry. S0011 after the 21st of Ja11t1ar{, 1955, 11� ag·reed _\x1itl1 Roge11moser �o atten1pt to rob tl1ose [Jerso11s tl1at tl1(y could f111d wall<111g alo11g a certa111 street. AccomJJanied by I1is wife, l1e 11-et Roge11111oser 11 ear Baar 011 tl1e ca11y l< re trg tl1e too ll1e rbL ( \' of Baa t res fo tl1e of e edg tl1e 1 at 1 ei1 L1l1 Ne to te al ton rou s ut cl ces l1o ite st1c i11g wit \va l1av ter Af _ �r. ol\ rev a cl rie car r de hal cki Wi u1J watcl1. ard 11 ve t�1 e tow to ga mo be )' tl1e 1 , n_ t1 I1c a for 11r I10 a11 of er art for about a qu Baar-Sil1lbrt1gg ca11to11al rot1te. Before reacl1111g t�1e ro,ad, tl1ey �!Jotted a cycl list movi11g alc)11g tl1e ca11to11al rot1te . to\xrtrcl Net1l1e1n1. _1 �1ey l1ast1ly rett1r11ec to the Netilieim ro11te by a sl1 ortcL1t 111 t}-e l1ope_ of arr1v11�g soo11 e110Ltgl1 to �e 11 st ow �l1 l<11 11, cy tl1e L111 t10 cta 1r_ pe ex tl1e to _ ary 11�r Co k. ac att ir tl1e t oti able to carry . y cl cl< l1e 11e 11 l ba d tL1r tl1e 11le a11 wl e ttl i l � for ed ait \:V ey th ; etn did not JJass tli 1 alo11g tl1e ca11tonal road, acl Jro ap to t1n v1c 1 1er otl a11 for Ltt ko resumed tl1eir Ioo but did not 111eet witl1 a11y success. of 1 to11 of 1 l tl1e Ca 111a l ibt 11a Tr Pe ior Jer �111 tl1e ry, ua br Fe of tl1 26 B. On the e rs ri­ fiv yea e11t clep a1�d 1m so1 pri i111 rs vea e fiv to r lde il1a ick W 11ed Zoug condem vation of civil rigl1ts for tl1eft a11d ,ttemf)ted tl1 eft com1111tted J?ttrst1�11t to criminal agreetnent and for robbery ard atte111pted robber>' co111n11tted 111 tl1e same manner. • • •

•

104

TiiE CRiMINAL ACT

erior Pe11al Tri bur i p it S e t 1a th l t_ y 1e o: tl � 1 tl �n al . e� al jJe ap er ld ha l<i ic W f . C s 1n y 1e er tl b b ro t e 1 d e at 11 Jt 1 ca fo e 1 o 1 v1ct111g l11m 1 co 11 i \XI la al er d cl fe te viola . .. t is cl cy 1 1 \X1 tl1e t111l<110 d te th ic 11v co r d e l1a ity or l t11 1a 1 fe au de o 11t ca e id aso ,,;11·g·· 1 · rfl1 Re .r ,., . 1 · c '_ o; . ry a n 11 J/,t11 . e1 11pted ro bb e1 y _ becai1s� l1e Iiad, t at of lty 1 1 gi 1 e1 be iig i v aiit 011 aiJl)eal for 1,a e to N e_u l1e1 1n , not f�r from l ut na 1 ro to 1 ca _ e tl1 1 _ 01 , 55 19 , soo,, after Jatittar)' 21 111 by r1s 111 rp < st1 �l ta at e r t� de r o _ cl 111 ati s� 1 cl cy Jl ' v o\ 1 1 1J, 11 i a11 lil ttg so Baar 1at l11s . de sig n 01 1 �lie_ roacl cottld 11ot t1 111 ts Jec . ob r de 1al <il icl W i s rob Iiiin To tli omJJ11�h1ng tl1e crim e. c �c 1n p ste e iv cis de 1cl 1 a e at 1 11 i 1 1 lt e 1 tl be coiisidered as l1 s 11c wa '-Y1 m 1ot 1 _ l11 re fo be d se t11e s JJa cl l1a st cli cy e 1 tl if at tl1 1 1s ai nt 1ai I-le 1 1 . t ty o r b 111 o rtu him o . pp e . 1 o t1 . d 11a e av 1 l 1 e1 th l case - J 1e \'Xi'icl<il1alder, \X/Ottlc 1 1tio11 was not d i re cte� to\vard t1 1is victi1n . e i11t l1is t tl1a s e t sta lie , e r 11� 1 furtl·ier 1at co1 1st1tt1tes tl1e beg i11ni11g f \x,r] o 1 1 tio s e qi1 o a i11t lf i e ts es olv res e cas e .. . Tli of exect1t io11. a) Accordi11g to Ar ticle 21 1 Jara. 1 C.P.S.,. a11 atte1n1Jt req_uires tl1at tl1e actor co1 n1ne11 ce tl1e execut io11 of a felo11y or 1 n1sden1ea11o r. 111 tl11s respect, 011e· i11clt1des 01 1 tl1e si cle of executio11, tl1 e act \'{!l1icl1 , in tl1e fJlan of tl1e actor, re 1)rese11 ts tl 1e ulti111ate and deci sive ste1J leading to tl1e success of tl1e ve11t LTre a11d at \X1l1i cl1 !Joint, i111der ge11 eral r Ltles, 011e is 110 longer able to re110 L111 ce. Exce1Jt i11 cases \vl1ere si1cl1 re11i111ciatio11 was 1Jrompt ed b)1 external circumsta 11ces \,,l1i cl1 re11derecl tl1e execut io11 of tl1e inte11tio11 1nore diffict1lt or i 111possible (RO 80 IV 178, JT 1955 IV 84 ...), tl1 e juclge 1n11st co11sider tl1e JJerso1 1ality of tl1e offe11der and tl1e circu1nsta11ce s of the case be fore l1i1n i11 order to detern1 i11e, i11 tl1e 1nind o-f tl1e actor, \v'l1etl1er t11e stacre r eacl1ed is a 11011-1Ju11i sl·1a�le JJreJJarator)' act or \vl1etl1er tl1e activi ty l1as go11; too far. ... A 11 L11 nber of Jttdg111e11ts are_ fou11ded 011 actttal e x 1Jerie11 ce, 0 11 tl1e ord i11ary cottrse of eve11ts, to detern1111e \'{!l1etl1er tl1e defe11da11t \v'Ould ]1ave con1111itted tl1e offe11se If,. a� so1!1e l1ave said, tl1e s11bj ective JJoi11t of view sl1ould be �n1pl0)1 ecl to d1�t111gt1!sl1 a }Jre11aratory act fro111 tl1e exe ct1tio11 of tl1e offense, 1t \VOL1ld be qL11te i1111111 11orta11t \Vl1 etl1er tl1e crin1 i11 al desio0·n of tlie offender \xras ap 11are11t to ll1e \1icti111 or \'{!i t11esses. . b) 1�1,ere i s_ 110 �lo_ubt i11 tl:is case tl1at tl1 e a 111Jellant re11ot111ced tl1e acco1n­ !1l1sl1111e11t of 111 s cr1n1 11 1al des1g11 dt1 e solely to exteriial circ11111sta11ces. Tl1 e . irrevocable . cl1aracter of 111s decisio1 1 to act cliscloses liis d ete rinii1atio11 to co1n1)lete 11 1s J)_la11. �ot 011 ly. dicl lie see tlie Lt ill<IlO\X'Il cyclist 11 1ovino· aloiig· tlie ca11t�11al road towa1 d Net1l1e!111 , bttt rt1sl1 ecl littrriedly b)' a slio rtcLit t� the place \xrl1 e1 e 11� 1)ro 11osed t_o si1r1Jr1se tl1e C)'Cl ist a11d eve1 1 niore, a1r ad involve on d e ��e r����11 ;i a�{ ��e �e�\��, ��\ to tl�e JJIac e \x,�1e11 l1e tl1ot1gl1 t tl1at 11� l1eard so1ne· i e· f ' t , 1, L c 1t a 1evo 1 ver \X11tl1 11i111 also de 1no11st rat·es _1 1· s fir1.11 I i11te1�tio11. to execttte l1is cr i111i11al 11la1 1.\,ll1etl1er . II�. s _oo· t11 1.s _ 1 :v'3:S loaded ? I nrot _ of little 11n 1Jorta 11ce; it \x,as C,l11able of i11 ti 111 ida� · 11 1o. tl 1e �1 ct1m. 111 _tl11s, . W1cl<.111alder \VclS acti 11 g \xr it]1 cotlljJaiiio ils·' \x,lio ve e, . � � 1 11 tl1 1s case, 111s \X11fe a11 d . l�oge11111oser \Y/e l<tiow fro111 ex 1Je . ietice _tliat \X1l 7 �n se ve ra l JJe rs o11 s act tc>getl1er, tl1e JJOssibility of o11e of tl,e i,1 11 11 1 tl, i r_ cor1111�011 iJlan at t.l1 e last . � fi f �� �i l)f 1ni 1 1t1te_ is cli111 i11is11ed Notl ,itl <J' a J 1 ;; 1 ef:e11 cla11t s bel1 alf b>' \r;ay of . exce 1Jt 101 1 to tl1is rttle fi,ially tli e fa t at _ cl<1 _ I 7 al�er did 11 ot restrai1� hin1s�lf. to a si11gle atte11,1)t, bttt �01111nitt�d 1,1 \ 1 a s 01 t t11ne, a \ v' l1 ol e series of � s11111lar robberies, forces tis to tlie pos iti robbed tl1 e t111l(110\v11 C)rclist 011 tli e 1.oa 0�1 t�at 1,e_ \'{!�ttld l1ave attacl<ed a11d tl,e s1Jot \vl1ere W icl<il1alder \'?as 11 a·1 d..0 �ul1 e1n1 tf tl1e victi1 n ]1acl JJassed � � tai i 1.11 g 11 1 � _Ioo 1<0 11 t. D es11ite tl1e fac_ t tl1at �11 I Y exter_11al ci r�tl111sta11 ces liav e 1e ; 0 l, i s de ts10 11, _ tl1e ca11to11al atitl1 or1 t.y c? r· 1ectly clec1cled tl11s case \rx lie11 tli eJ\, 11e � 11 c tl7at W1cl<1 l1 alder l1ad tal<:e1 tl1 decis ive 1 e

r:

w.

105

ATTENlPT

step to\xrard tl1e · realizatio11 of l1is crin1e a 1 1d was, tl1erefore, guilt)' of attetnJJted robber)'· •

•

•

•

Cottr d e Cassatio11 - M1iv i\ ·1. f�asler, Mul1ei1n, Bacl1tler, Perri11 and Grisel. NOT ES Note l:

Other Formulations of Possible Tests to Distinguish Pre1;aratory Acts fro1n Attempted Acts Waibli11ger, Cri rni11al Atte111 (Jt23

Accordii1g to Art.21 (Jara. 1 C.P.S., tl1ere is a11 tnerely JJre1Jarat_ory acts \vl1e11 tl_1e offe11der ''\'(!ill I1ave tlie felo11y or 1n1sde111ea11or''. Tl11s (Jl1raseology is close Pe11al Code - \X'l1icl1 states tl1e test: ''co1nme11ce111e11t

atte1111)t a11d 110 10110-er begt1n tl1e exect1tio11 ° of to Art. 2 of tl1e fre11cl1 of tl1e executio11...."

America11 La\xr l 1 1stitL 1 te, Moclel Pe11al Cocle ( 1962)24 Sect. 5.01. Crinzinal Att e,ript. (1) Defii1itioti of Att emJJt. A jJerso11 is gt1ilty of a11 atte1n1)t to co111111it a cri1ne if, acti11g \xritl1 tl1e l<i 1 1d of ct1IJJability otl1er\vise reqt1ired for co1111nissio11 of tl1e crime, lie: •

•

•

•

(c) pt1r1Josely does or 0111its to do a 1 1ytl1i11g \xrl1icl1, t1 11cler tl1e circt1 1 11sta11ces as he believes tl1e111 to be, is a11 act or 0 1 11issio11 co11stitL1ti11g a st1bstantial step in a cot1rse of co11duct jJla1111ed to ct1l 111i11ate i11 l1is con11nissio11 of tl1e cri1ne. (2) Condit cl Whic/1 May Be J-Jeld Sr,1,bstarztial Step U11cler Subsection (1) (c). Co11clt1ct sl1all 11ot be l1eld to co11stitt1te a st1bsta11tial step L111der St1bsectio11 (1) (c) of tl1is Sectio11 t1nless it is stro11gly corroborative of tl1e actor's cri1ni11al JJLlrpose. Without negativing tl1e st1fficie 1 1cy of otl1er co11dt1 ct, tl1e follo\xri11g, if stro1 1gly corroborative of tl1e actor's cri1ni11al pL1rpose, sl1all 1 1ot be l1eld i11st1fficie11 t as a n1atter of Ia w: (a) lyi11g i11 wait, searcl1i11g for or follo\xri11g tl1e co11ten11Jlated victi111 of the cri111e; (b) er1tici11g or seeking to e11t� ce tl1e c�nt� 1n1Jlated victi 1 n of tl1e cri1ne to go to tl1e JJlace co11ter111Jlated for its co1nn1 1ss1011; (c) reco11 1 1oiteri1 1g tl1e JJlace co11 te111JJlatecl for tl1e con1rnissio11 of tl1e crime; (d) t111lawful e11try of a strL1ctt 1 re, ve!1icle or e 1 1clost1re i11 \X1l1icl1 it is co11ten1JJlated that tl1e crime will be co111n11tted; (e) possessio11 of mate'rials to be e111ployecl i11 tl1e cornmissio11 of tl1e cri111e, 23. 24.

Waiblin ger, La Tentative (ll) 1, Fiches Juricliq11es Suisses, No. 1200 (1957). Proposed Official Draft.

THE CRIMINAL ACT

106

ich wh or 1 ca1 e us ful law 11n 1 v ser cl su e for . ed 1 no i sig de ly ial Jec wl1 1c h are Sf s; ce circ um stan tl1e 1111d er acto r tl,e . a\1 Vfll 1 f)Urf)OSe of . . s to be employed ial er at m of n t1o 1ca br fa or 1 in o1 cti lle co n io s s � ss ed for its com• at pl em nt co (f ) p� e ac tJl e th ar ne or at e in i cr .' collecti·on or fabr1c tl1e. c. omn11ss1 on of' tl,e sess10 · at1· on s erves 110 1a\Vful pur11, s IJo cl, su e ei· 1 1 . _ t1mstances., \V/ , 11 10 ss 11 n c 11 c 1e tl r e ci 11 11 r to c a ,e . . pose o f tl . 1 ut t t1t uc ns nd co co 1 ng 11 ge an ga en to t eel en ag t en oc 1 1 in 1 a1 tig iti (g) solic me11t of tl1e crime. •

•

•

•

2s it m m to Co s im pt Cr m tte es A l, na 11r Jo w La d Th e· Rl,odesia a11d N yas ala11

Some bra11cl1es of tl1e la\v \Vill never be perfect, for tl1ey deal witl1 sl1ades of grey tl1at n111st 11 evertl1eless be classified as black_ or \V_hite.. Contributory 11eglige11 ce, remote11ess of da1nage a11 d attempts_ to C_?mm1t crimes lead the field whe11 tl1is tyJJe of difficltlty comes up for d1scuss1on, a11d any c�se that lays do\v11 or afJIJlies a si1n1Jle �est _ i� t� be welcomed, but 11ot w1thot1t a warni11 g of tl1e da1 1gers of over-s11111Jl1f1cat1011. first, tl1e welco1ne. Beadle J. (witl1 wl1 om V ou11g J. concurred) l1ad to clecide \X1l1 etl1er certai11 acts co1n1nitted by a bl1tcher were sttfficient to consti­ tute tl1e cri111e of atte111pted tl1eft of five l1ead of cattle. I-Iavi11g considered R. v. SclJoon1bie, 1945 A.D. 541, R.v.B., 1958 (1) S.A. 199 (A. 0.) a11d R. v. Hlatwayo, 1933 1'. P.D. 441, tl1 e Cot1rt resisted tl1e te1n1Jtatio11 to juggle \vitl1 words such 1 as ''acts of (Jre1Jaratio11 ' , ''tl1e com111encen1e11t of tl1e co11su1nn1ation''1 ''the end of tl,e begi11 ni11g a 11 d tl1e begi11 ni11g of the end'' a11d other unhelpful co1nbi11a­ tio11s, a11d Beaclle J., at 35, set tl1is sitnple test: ''It see111s to 1ne tl1at if tl1e 011 ly reaso11 able i11 ference wl1ich can be dra\v11 from tl1 e overt acts of a11 accusecl is tl1at l1e would l1ave com­ pleted tl1e crime l1ad he 11 ot been i11terrurJted tl1en tl1ere can be no doubt but that he is guilty of a11 attempt to comn1it tl1 at cri111e." He drew tl1is test fro111 tl1e judg1ne11t of Watern1eyer C.J. in R. v. Schoom· . (supra ) a11d_ fro111 Ke11 11y's Outliries of Crimir1al Law, l6tl1 ed., p. 81. J. W. C. bie Tur11er_ (wl10 introduced t�1at }Jassage i11to Ke1111y's in1tnortal \vork) has 1nade tl�e I)011 1t cl_ear to ge�1 er�t1011 s of C� 1 nbridge stude11 ts by a s l<i iig t}1e1n to i�a­ g 111e the e�1de1 1ce t111fold1n _ g on a c111ema scree11. At a certain poii ,t the f 1ln1 breal<s.. If tl1ey l1 ave 110 1 easo11able dol1bt tliat \x,}1e11 tl,e film is recor111 ected tl1ey \Vtll see the accus �d con1 111i_t a tJartict1lar cri i ,,e tl,en I,e is alread)' gt1ilty ' of a11 atte1111Jt to co111m1t tl1at cr1111e. . Nex�, tl1e \xrar11i11g. Tl1 � first 11otes of tl,is \vere s outided by Beadle J. l11r11 self, 111 a passage follo\xr1r1g sl,ortly after tl,a, t qt10tecl above: ,,Tl1 .1s a1J1Jroacl1 111ay 11 ot be a1J iJlicable to all cases for exa111ple in ot ne s:s -�I,e ac�t1sed t11 ay still be gt1ilty of a11 atten11Jt even \ l er f e volca V ; e Lin ar i >' desists froin carryi11 g ot1t l1is origi 11al ir1te11tio11, as in � t 1e case of R. v. B. (srt, pra). ,, A ft1rtl1er \Var11 i11 g 111t1st be sot i i,ded B eadl . }ue e J,· s test co11cer11s itself x�d · sively wi tl1 tl1e ''overt acts'' of t i,e. accuse d a1 1 d ca11 011 ly b. e used . to dec i e \VJ I1eti1 er tI1e actus reus of tl1e atten, Jt ' d. It he I,as bee i , fJt.ove t or I f 1 s s t i ll rema11 Cro\v11 to tJrove tI1 e 11ecessarJ,, mens rea. . . . 25.

R.H.C., Atten1pts to Commie Cru11es ' 1961 R11 , 0" Ie�..ia a11d NJ1asa1and L. J. 8-9.

1

I

j

I

10'7

ATTEMPT

Nc>te 2:

The Policy Considerations in lstablishing a Test

The Penal Code, of tl1e Soviet U11ior1 (1958)26 Sect. 15. Responsibilitv fIor Y J •

f1

c-rzrne.

t!? e

· . pre'Parat1011 of a crime

a,id

1 1for

· .

atten1pti11g

to coni1nit ,z.

reiJ r�tio1_ 1 of a critne is tl1e seel<i1 r.r or · is otl 111e or 1er\ a11s 1Jro � of '(/ cur i11g e .. ' \v 1If Lt Y r 111g111 g about tl 1e co11clitio11s fir co111 n1 itti11 g a c r i111e. A� �ttemJJt to co111rnit a crirne is �,1 inte11tio11al act directly airned at ll1e . . . com1111ss1011 o f a critne , ti 10L1g.11 tl1e cr1111e 1s 11ot con11Jletely carried OLtl 0\\1111g . . to caLtses \x,l,1cl1 are 1 1 1de1Je11cle11t of tl1e \Xlill of tl1e offe11der. re_para�io n a1,d tl1e atten1JJt\11 of a crirne are pL111isl1ed accordi11g to tl1e � � , _ _ 1a�x,. \Vlitcl:, regLt_lates tl1e res1)011s1b1l1ty for tl1e [co1111Jleted] crin1c. I11 cleter111 1n111g tlie fJL1111s�1111e11t tl1e COL1rt will tal<e i11to accoL111t tl1e cl1aracter �l1 1 cl exteiit of _tl1 e social_ d�11ge1� i11l1e_rent i11 tl1e actio11 of tl1e offe11cler, tl-ie poi11 t Llp to wh1cl 1 tl1e cr1rn111al 111tent1on \Xia, carriecl 0L1t ' a11d tl1e caLtses \vl 1 icl1 prevented tl1e com1Jletio11 of tl1e crime. •

•

•

•

Sect. 20. T!Je ai,ns of p1111islJ111ent. Pu11isl1rner1t is not 011ly retaliatio11 for a cri111e co111111itted bL1t Ji11·1s also at _refor111ing arid re-edL1cati ! 1g tl1e convictecl f)erso11s i11 tl1e SfJirit of a,1 l1011est att1tt1de to\vards labour, strict observan:::e of tl1e la\v, a11d resJJect of tl·1e rt1le::; of the socialist societ)'; a11d also at j)reve11ti11g tl1e co111111issio11 of otl1er crirncs as \vell by tl1e convicted JJerso11s as by otl 1 ers. Punisl1mer1t does 11ot ain1 at tl1e irflictior1 of 1Jl1ysical SL1fferi11g· or at tl1c humiliatio11 of l1uma11 dignit}'· \Villiams, A Critique of tl1e Proximity Rule l 1 1 a ratio11al systen1 of justice tl1e fJOlice wot1ld be give11 every e11coL1rage� me11t to i11terve11e early \vl1ere a sL1spect is clearly be11t 011 cri111e. Vet i11 E11g­ land, if tl1e police con1e 011 tl1e sce11e too early tl1ey may fi11d tl·1at tl1ey can clo 11otl·1ina with tl·1e inter1di11g offe11der except admo11isl1 hi111. Tl1is is largely becat1se of tl1e rttle tl1at a11 attempt, to be i11dictable, 111t1st be st1fficie11tly 11 proxi111ate', to tl1e crime i11te11ded, ... (?11� is_ led to asl< \xrl1etl1er tl1ere is any real �,eed for the rec1t1ireme11t of prox111 11ty 111 tl1e la\x, of atte111pt. QL1ite arJart fron1 tl1is requiren1er1t, it 1:rit1st be _proved beyond reaso11ab!e clot1bt tl1at the accused ir1ter1decl to co1nn11t tl1e cr1111e ... a11cl tl1at lie cl1d so111e act to \Y/ards c O111111 itt j 11g it. If o11 I y a remo · � act ? f _ f)re IJ arat ior1 is alleged a ga_inst . l1im, that will weigI-1 with tl1 e co�1rt 111 clec1cl111g \v1l1etl1er lie l1a _ ci tl·1e t1r1:1 criminal inte11tio11 allegecl agai11st l11r11 If, 110\vever, tl1e cottr_ t _ f111ds tl1at tl11s intent j on e� isted, is t}1 er� a11y reaSOll Wll!- ' tJ1e WOlllCl-�_; CrllTI I11a} Sil OLI lei 11 ot be dealt w1tl1 by t}1e JJOl1ce a11cl by tl1e c1 11111nal co11rts?-

Ar1otl1er way of sLtJJfJOrting the proxi1nit)1 rL1le is to say tl1at it restilts

26. 3 Law in Eastern £11rope 45, 47 (1959). 27. Williams, Police Control of Jnte11ding Crin1inds, 1955 Cri,n. L l?..ev. 69.

THE CRIMINAL ACT

108 .

l1as ' 11ot iet) Soc . r ong tl1o \'(/ le ,ab ,isl JJtii i J uo· a t . as e 1 it n I r c f o t. � 1 1 0, I fro1:1 t 1e 110 . o " S 0 1 01 1� Y: e 1 . d w� too �s 111e11t 1 1 sl tl pur1 1 e of e J 1 la\x, sco ie .i t ! c _ n te ex desi rable to 1 rcu msc r1pt1011 of c tl11s a its m, i,, live ibtt r tlie \XJas jJLtrely detei 1 e iit Or r�t r ese1 1t clay , wl1en cot 1rts Iiave J) tlie At ed. stifi i jt S lia)) r JJ of_fence of atte�iJJt \x,as. r_ e d_ broa a for said e b meas to , mttcl is ttre tliere 1� of 1 o t _ o J of s w_ e J J tde \Xl ( � !_ I �:t d�11 e \'(/itl1 tl1e fixecl inttnti?11 of comn11tt111g a cr\me, r es1Jo11s1b1l 1 ry. A11Y r e111ote 1t n1ay be f rom the cr1 n1e ever liow it r fo t· 1 a1:cl by. :i·ay of �re1�a �� �:-� i 'Tlie ratiotial cot1 rse �ould be to catcl 1 �11te1 c � 1l i ni ial. te ea r t e b l ei \v might the m of tl1e1r evil 111g cur t1t abo set a11d e sibl ,,os as i,,g off�11_�er s as 1 e gr o1111d _tl1_at �l1eir acts ar e 1nere 1 t1 011 iie alo 1e� 1' 1 te1 1de11c1�s . 1ot t no e 011 is gen 1111 rally l1eld OfJ s thi t t]1a , r eve l1ow d · 1 sa , be '1 t mus t . 1 01 1 at 1Jrepar 28 · 1. 1 1 s 0 es f o r l p ga le i,i tlie

!���

1

Tl1e I(i11g v. Barker l N. Z. L. R. 865 � 192 eal, App of 1rt Co1 la11d Zea New New Zealand 111 tlie abse11ce of ex1J ress at1tl1o rity tl1_e true 11att1re of t_l1e distinctio n i ii qttestion (bet\vee11 atte1npt a11d_ pre1Ja_rat1 �11) ca11_ be ascerta111e� only by refere11ce to tl1e fJLt rfJOse of tl1 e l,tw 111 mal<111g 1t. I-Iav111 g regard to t�'.1s _IJL1 r1)ose, I tliitil< tl,at tl1e JJri11ci1Jle 1na y be tl1tts for111t1lated: _At� act done \v1tl1 111te11t to con1 111it a cri111e is 11ot a cri111 i11al atte111 1Jt 1111 less 1 t 1s of _ sL1cl1 � 11a_tu�e as to L1e i11 itself sufficie11t evide11ce of tl1e c r i111i11al i 11te11 t \xr1tl1 \X1l11cl1 1t 1s don_e. A crin1i11al attem1Jt is a11 act \X1l1 icl1 s1 1 0\XJS cri1ni11al ir1te11t 011 tl1 e face of 1t. Tl1e case mt1st be one in \vl1icl1 res. ipsa Loq1titur. 1\11 act, on tl1e otl1 er _ l1a_11d, \x,1 1· icl1 is i11 its O\x:11 11alL1re a11d 011 tl1e face of it i1111ocer1t is not a cr11n1n al atte1nJ Jt. It ca 11not be brot1gl1t \'(litl1i11 tl1e scope of cri111i11al atte1111Jt by eviclence ali1t11 de as to tl1e cri111i11al pL1r1Jose witl1 \X1l1ich it is done. A c r i1ni11al atte1111Jt is crin1i11al i11te11t n1ade ma11ifest b:>' tl1e very 11att1re a11d circt1r11star1ces of s0111e a ct do11e in JJt1rs t1ance of tl1at i11te11t. Tl1e law does 11ot JJt111 isl1 rne11 for tl1eir guilty ir1te11tions or resolt1tio11s i11 tl1e111selves. Nor doe s it co111111011ly punish tl 1 em eve11 for tl1e expres sior1 , declaratio111 or co11fession of st1cl1 i11te11tio11s or resolutio11s. Tl1at a ma11's Lt11ft1lfillecl cri111 i11al JJLtrJJoses sl1ould be JJU11isl1able tl1 ey mL1s _t be 1na11ifested _ 11ot by. l1i� :vords 111erel:)', or by act s \X1l1icl1 are i11 �l1�m­ selves of 111noce11t or an1b1 gL1ot1s s1 gn1f1cance, bt1t by' o\,er t acts \vl1icl 1 are suff1c1 ent in tl1emsel_ves to declare a11cl JJroclain1 tl1e gt1 ilty JJL1 rpose witl1 wl1icl1 tl1ey are done. U11t1l lie l1as so far con1111itted l1in1self to l1is cr i i ni i ial de sia 11 as to l1ave �a11ifested a11cl d�cl ar e_ d it b;1 l1is_ ac t s lie ltas 1 1ot IJassed beyo of lin e tl1 e i�d 11111oc� 11t 1Jreparat1 011 111t_o tl�e reg1 011 of c ri1ni11al attein iJt , r eserves a, JJ id st ill lie for 111111 self a locus _poe11_1te11tzae. Tl1e r ea_s011 fo_r t11� 1 s lioldi ii g a ma11 in1�ocent ,, \vl10_ d?es a11 ac� \'<'ttl1 11 1te11t to con11111t a cr11n e 1 s t} 1e dai,ger involved 111 tl1e ad1111ss1on �f ev1de11ce llj)O!l \Vl1icl 1 l1e lllct)' be n1 Pl lll is l tl1 e 1e d i1 fo 1 \X1 r l1i ac cl ts 1 selves a11cl 111 a1J1Jearance a re rJerfectl:>' in11oce1 1t . . . . !o bt1 y a bo>c of matcl1es \x1itl1 i11te11t a 1 1i to r1 ,, u se b iii tl u ,e 1 i r g h a :> st . ack 1s r1ot a.11 . a t ten11.J t t o co1n111 it arso11 , ·fo1- 1·t 1·5 111 · . ·t 1 seIf a11 d 111 · a 1Jpearance a11 11111oce11t act, tl1ere be111g 111a11y otlier r e aso es . n s t· I tch 1an a a r . . · m, so , ·. . 1 1 f y11 or 1 1g t b · 1e Tl act does 11ot SfJeal, fo1 itself of a11y . o· ti 1s i lt y d t e · 1 . 1 s 1 g te1 o . 1 1 · . n Tl I 1 . � e n c . I . a r n1 1 110 t man1·f est . ed b:>' a11y ove1 t act st iff1c1e11t fo i· tl1a t )J Lt r JJose. 8 ut 1 1e \Y/I·1o tak. es ma tcl1es t o a I 1aystac I< a11d tl1 ere l1. gl-1ts one of tlietn a i ,d blows it otit 011 fii1 d1ng 28. Willi,1n1s, Crin1in,1l

Law

632.

ATTEV\PT

•

109

. tl1at he is observed l1as do . act w 11cl1 speal<:s for i tself, a11d 11e is guilty � c o f a rimi11al attein'i)t ac cor f1, ;�;. As already i11dicated a 11 �c t wl1 1· . . cl� 1· � 011 tl1 e face of 1t 11 11 1ocent or ambiguoL1s ca1111 0 t be trai ,sfo � c 1 11t? � cri111 11 1al rattempt by evide11ce alit1nde as to . th e cri1ni1,a l i i ,tent wi tl� �:1 c; 1 it 15 dci7 e. r1,e IJU rcl1aser of 111atcl1es woL1ld ii not b e g L1 il t1, of atten,pted . arson �ve i i f _ lie declared to tl1e ve11dor or to a11y otl1er f)erso11 tlie gLtilt Y. f)Ll t J )O e \'(!I_tl, .\,l11 cl1 l i e boL1gl1t tl·1en1. SL1 cl·1 evide1 1c e S is relevai,t for tl e p ll JO Se o satt t tisite crir11i11al e qL 1e lit re t j ll1a ry g jt1 S t.t r f}' r _ � l; i11te11t existed bL it 1 1 10t i e\ at t 117 leter111i11 g tl1e 1)rio 1� qL1estio11 of la\xr i11 . _c � , e : o � tl 1 er \'(!l1e tl, e ct cliar · d a�lOLiti ts 1�1 lax, to _a11 . atte1111Jt or_ 1 s t_oo re11�ole for tl1at jJLtr{)OSe. for tl,i� )ll�I�Ose tlie Otl)' C\1 1cle11ce of cr1. 111111al 111 tc 11t 1 s to be l fot111d itl tlie na' ture a11c 1 c1 1 cL1111sta11ces )f tl,c act itself. Austi11, Tl1e PLtrf)OS e o= tl1e Act Rec1L1ire1nent i1 1 Cri n, i 11a Atlem !J t 29 · _ . · Attem1)ts are_ evide11ce of tl1c fJart,;,'s ir1te11t1·011·, a11 c,I co11s1c· lcrecl 1· 11 that I tgll t, are, stY 1 ed 111 tl1 e Er1glisl1 L�\X:, ''overt c:cts''. _Wl1er� a_ cri111i1 1ali'. i11te11ti� 1 1 is e1icle11�ecl by a11 alten11)t, tl1e fJart.> ,. is . pu111shed 111_ 1 es1Ject . 01 tl1 e c!·1111t11al r 1te1:t1011. So111eli1T1es lie is jJL111isliecl as sever�ly as i f l1e l1ad acco1111Jl1sl1ecl tl1e obJcct . BLtt 111 ore cor11r11011!y· \Viti, less sever i ty. Wl1y the party sl1ould be 1::it111isl1ec i11 res1Ject of a 111ere i11ter1lio11, I w· i ll try to exJJlair1.... Tl1e reason for reqt1irir1g a11 att�111)t, is jJrobably' tl1e cla11ger of adr11itti11g a mere co11fess1 011. W\1e1 1 COLIJ)lecl \v·1tl1 ,t11 overt act, tl1e co11fessio r 1 is illL1stratecl and_ SLIJJported by tl1e latter.\X/l1e11 11ot it 1 naJ' IJroceed fror11 i11sa11 ity or 111ay be 111 ve11ted by tl1 e wit11 ess to it. •

•

•

•

I l1ave a11y k110\vleclge, �t 1nere icl1 w\1 of 1 1 te1 sys e itiv iJOs r1 every I .. . . 111te11tion to forbear i11 tl1e fLtlLtre is i1 111ocent.Ariel a1 1 i11te11tion to act i11 tl1e ft1lL1re is 11ot i1npitted to tl1e party, Lt11less it be follo\,;,ecl by a11 act; Lt11less it be ,1 a11 ct or se, by 1Jo JJt1r ate im L1lt l1is 1 es sl 1Jli o1n acc icl1 \'(!l 1 act a11 ed by follow 1r1Jose. l 11 ate [JL i111 t t1lt t\1a 1 isl 11Jl on acc to r 1 ot a\r de er1 or \Vl1ich is a1 1 attempt 1 1 is coLifJ!ecl ,vitl·1 ar1 act: 1tio 1 e i11t e t\1 ;e 1 L ca be , ilty g,i s i eitl1er case, tl 1 e party i 11 . For, tl1ot1g l1 sta ab or r ea rb fo to eli o/?i s e i 1 l l1 1ic \x,l g a11d witl1 a11 act fron1 1n r fro ea ed rb to lig fo ob e is 1 l 11, tio e,1 e :11t tl1 1 11 fro r ea rb l1e is 11ot obli!Y 0 ed to fo 1 ,ls 11ig\1t ts 1 ac cl 11 sL1 o1 fr as i l as \ve , or 1ti 1 1te 1 i at endeavoitrs to accom1Jlisl1 tl1 accompl i sl1 his inte11tior 1 directly. 1l1etl1er we n1i f;t be o_blig·ed to f�rbear w , re g Witl1 ot1 t, tl1 en, stay i 11g to i11qui 11 1g conclL1s1 011: a w llo e fo tl1 t, en es IJr e tn r fo e 1n 1 frorn nal<ed inte11t i o11 I assL . ce ti ac l :Jr sa er 1iv t 11 r o al er 11 ge co11clt1sion wl1icl1 acc;rds \'(/ith 11o t of_itself \Vro11g! or breacl1 is s, es 1 1 1 sl ra or s es 11 ss le ed I nte11tion, negligcr1c e, he 1e pred1can1e11t _of tl 111 y rt !)a e tl1 e ac fJl el{ its · of it of d _ uty or obli gation; 1 1or does 11 tliat 1Jred1c­ ed 1 ac pl be 11 ay 1 y rt IJa e 1 tl at 1 tl gt11lt or in1 {JLttability. l 11 order ed to rr t fe us be re m s, es 1n sl ra or s e� sn � dl ee 1 l ament, l1 is i i ,tention, negligence, 1· e cause. tl as w t 1 1 cl l1 w f o 1 1 o si is 1 a11 act, forbearance, o r 01n 29.

63). 2 /lttstin on Jurisprudence 120-121, 146-147 (21 ed., 18

THE CRIMINAL ACT

110

Questions 1.

2. 3.

4. 5.

s se 1 as tl cl o b ?f er � � le u ab attempt h is t� p .) .E .C P 3 38 . rt (A Is forgery 1 er 1p t� St of _ or on t1 s1 1e tl po �s at r h ou W C ? t 27 � . rt A iti ed at er m eiiti t? in hy po _W 11s tl as 11 w _0 la s ts �\X' e th 1e tl to ct Je s1 re � , iti \V , cl tri Zt i,, ed 1tt 111 1n co lie ts ct ac fa 111 1f se c ca b 1c 1r Zt 011_ e tl1 i11 d te iit qt ac t an deferid t? fJ m te at e. et Jl 11 11 o 1c i1 an g 11 stitt1ti e'' t111der 1-\rt. 11s fe 1 of a1 _ 1it 111 �n c _ to in eg ''b t? d i_ sa be 11e eo n1 so Wlie11 111ay se a11 fen of 111 r e at 11e ge c1p rt1 pa y or all te gc: st1 111 to t 11J e11 att an is liy \X/ 27? no t a11 offe11se itself? e cas r ile lde wh iha ick W the only i11 fJt etn att of 1g di1 fi11 a tify jt1s lt )'O n Ca the ing son Is rea ra? e sup cas of ller Mi :l1e i11 s act ry ato par pre of g din a fin es tl1e do 1se se1 Court use 1at wl In ? i11g inc 11v co er 1 / ald cki i11 Wi urt tl1e co tl1e ter111s ''objective'' and ''st1b:ective''? Do 1yot1 agree \vitl, tl1e Court's a1Jplicatio11 of a sta11dard? Would you co11\ ict Wickihalder for atten1pt t111der Art. 27? Wl1at are tl1e reaso11s give11 b} A11stin and tl1e Cot1rt i11 the case of T!?e J{i11g v. Barker (Note 2) for r=qL1iri11g a stro11g rule of proximity? Wl,at is tl1e prescribed pt111isl1ment for attemJJts? Consult Arts. 27, 31, 184, a11d a11y S1Jecial Part article in a 1sweri11g tl1is questio11. Problems

Carefttlly analy�e the followi11g problem in ligl1t of tl1e above readi11gs a11d tl1e relevant articles of tl1e P.C.E. Orcra11ize yottr tl1ot1ghts witl1 care and support yot1r co11clt1sio11s \Viti, sot111d reasins. Several years ago, i11 tl1e yea� 1958 to be exact there lived 011 a vast stretcl1 of la11cl_ i_11 tl,e 1nytl1ical J)rovi11ce of Sl1arar i 1 1 Etl,iopia a \videl)' re11ow11ed bt1t d1slil<ed ma11 na1ned Ato Habtan1u. J11 tliose saine days, quite 11earby, dwelled two scou11drels of tlie 11ames Ato I(etafi a11d Ato Wasl10. A1�yo11� wl1? mig·I,t l1ave bee11 JJ;tssi11g· tl1e I1ouse of Ketafi arid Wasl,o on a certa111 111gl1t 111 tl1at year probably \'<'OLtld Iiave O\rerlleard tliese aticrry words 0 )Jass l)etwee11 tl1e1n: Ketafi: ''1\greed, \Ve 111t1st fi11isl1 Iiabta11itt bttt )'OU, JJla,, \x,ill 110t sticceed. n Was11o: ' '0. K., t11en, if :)'oLt won' t wor l< \Vit 11 ine, I' 11 do it my ow11 way!" · the Tl1e rest of tlie story is \Vel1 l<n O\·vn t 0 citizens · · · 111 wide far a11d Provi11ce of S1,arar: · Ato Ketafi, i11 J)ttrsttit of l1is o-;1�111 J)Iai,, 1ay 111 wait alo11gside a path tl1at IIa - btan1Lt often tool< 0 11 afte ·110 11 wal s. d l1te sig n l1e W 1 11t s ta1 \va ab I Il< ° i aJJproximately 100 ya' rds d O\Vn 111e tJatl1 Ketat· · cIu b \X,ith · d } 11s 1 raise ' 1 . . l1 ·1e i11tended to liit Ii bta t 1, b L t. wl11c . t tl1a 1n 1n1 ed 1at el) ' 11o tic t1p i11g o11 � 0 11,ei� I�a - btamu was accotTIJ)anied J)erso11, lowered tl1e clttb a11d d1sa1JJJeared i11to tl,e \voods. 1

ty

1f/as'1:10, 011 tl1e otl,er liand J) ttrcl,as ly ed de ad a sn 1al l of a11 1o u1 1t I) diso11 a11d gave it tO AL O 1:e tt� \vl,o was liabtan1t1's cool< telli11g liirn Ato

111

ATTEMPT

that it \Vas a rare a11d deliciot15 SfJice fetto witl1out exa 11 1 ini11g tl1e SfJ�ce, clroJJfJed it i11t0 tl1e b�1bbli11g watt bei11g JJrepared for �LlfJIJosed , _ I� btamtt s dinner. Most f· ortL111at�ly 110\vever J-labtamtt rett1r11ed l1ome ,xritl,out a11 atJfJetite a11d so refLtstd 1tl1e cleadly watt.

�fhe qtiestio11 \Vl1icl1 ca111e before tl1 e l1igl1est cot1rt of you are asl<ed to caref11lly a11alyze is a� follo\vs: Coiisideri11g. eacl1 case se1Jarate'J', l1 as Ato I(etafi, fetto com1111tted a11 atte1111Jt ttndtr Etl1io1Jia11 JJe11al

Sl1arar, a11d \xrl1icl1

Ato Was110, or Ato la\v?

Ass11mi 11g t11 at J'011 are 110\v a jttcl�e 011 tl·1e l1igl1est court of Sl1 arar, 110\V \VOLtld you decide eacl1 of tl1e cases give11 belo\v tt11 cler tl1 e follo\vi11g tests of p1-oxin1ity: I. Art. 27? 2. Tl1e S\viss (Contine11tal) test of ''co 11n1e11ce1ne11 t of tl1e executio11'' (Note 1 )? 3.

Tl1e American La\v l11stit11te IVloclel Pe11al Code test of 'st1bstar1tial ste1J'' (Note 1)?

4.

Tl1e test of tl1e ' 011ly reaso11able iufere11 ce' sug·.gested i11 tl1e RJ;odesiti ci11d 1Vyasaland Law Jourrzal (Note 1)? a. A, sta11di11g next to a I1aJrstacl<, ligl1ts a 111atcl1 a11cl tl1 e11 blO\v'S it out UfJ011 discoveri11 g tl1at l1e is obstr\red. b. B places exrJlosives at tl1 e side of X's clrive\vay desig11ed to ex1Jlocle whe11 X's car trips a \Vire i11 t1e clrive\'va)'· X cloes 11 ot retLtr11 l101r1e tl1at eveni11g, a11d \xrl1ile re1novi11.� tl1e ex1Jlosive, B accide11 tally tri1Js tl1e mecl1a11is111 a11d is I1i111self i11jt1red. c. C, after tal<i11g out a fJolicy of fire i11sL1ra11ce, ir1te11tio11ally bt1rr1 s clo\v11 I1is O\vn bar11, bttt is arrested bEfore a11y clai111 is 111acle to tl1 e i11st1ra11ce co111pany. d. D fJLtrcl1ases dies \Vl1icl1 are 11orB1ally t1sed for tl1e 1nalci11g of cot111 terfeit coin. e. E, \xrliile in battle, sl1oots witl1 inte11t to l<ill l1is superior officer, bt1t, i11 fact, l1its an e11e111y soldier.

1

1

1

f. Tl1e facts in tl1e Wicliihalder case. cl 1 of tl1e foregoi11g , g ea in_ rea de tsi ot1 111 fr? ? ed er ov sc di ve Iia ay m As yott _ s e D 111 of se tl1 B, t11 A, ca �, co a by ed cid de . ly al tt1 ac e, 11c ta bs cases was, in su h 1 le 1 11 tl1e case of C, no \V , pt 111 te at 1 1 a be to e er th ld 1,e an d E the courts attempt was fot 1nd. Wit11 respect to tl1ese judicial deci5ions do yot1 feel tl1at: _ B ai,d E ai·e siinilar cases? U11der \x,l1icl1 class of atte111pt do tl1ey fall? - C ca11 be reco11ciled witl1 C? - C ca11 be distingt1isl1ed fro 11 f? _ it is possible to disti11gu�sl1 D from tl1e bt1ying of a box of matcl1es i 11 tl1e haystacl< case? It 1s commo11ly co11cecled that if A i11 tl1e

TI-IE CRI/\1INAL ACT

112

s ev 1e e11 wit11 cl at 1n a of x 1t bo gl 1 t bo y JJl tn �i tile act 1 1 lia)rstack case t 11o be l 1Ic Ot \XT , l1 e cl< ta )rs ilt l1a gu e tl1 y e r i f of to it i ite i t avo\Xied atte111 jJt.)

th tl1 e har o11izin g wi . 1· e tl1 ge to ity im ox pr of sts e t � _ 1_s.1de� 11· 1�a tlie variotts Co es, wl1ere do you tl11 1l< tl1e cas i,g goi fore . tlie . iii Jles c i rii a_11d cl st 1 ngt11sl1111g �? , 1 p i,c r ac re ts m ot e i 011 gl1 or eJJ t ar ato ry to JJ a be t n att e f 0 e 1m c1 e 1 tl 11 ee r x t\ e be 1111 dra\xrn? t s pu fo tor r\vard by fac e e tl1r tl1e 11t oL acc 1to 1· <e tal to 1 1 · 1s \x, ay 1n V01 liol1nes: 1. tl1e 11ear11ess of tl1e dange r; 2. tl1e great11 ess of tl1e l1arm; 3. tl1e degree of a1Jprel1e11sion felt. 1

1

1

1

1

1

Recommended Readings

Mi71 istere P>t-blic dit Carito11 d'Argovie, R,) 80 IV 173, J! IV 84 �1�55) (earlie_r S\viss jt1ris1JrL dence co 1cer11ir1g atte1111Jt tljJ011 \xrl11cl1 tl1e Wzckz/Jalder dec sior, is based). 1

1

1

Wecl1sler, Jo 1es a11d Kor11, Tl1e Treatment of . I11cl1oate Cri1nes i1� . tl1� Model Pe 1al Code of tl1e A1nerica11 La\xr l11st t11te: Att empt, Sol c1tat10 1 a11d Co11SJJiracy, 61 Columbia L. Rev. 571-614 ( 1961) (a11 excelle11t co11sideration of tl1e basic jJrobl e111s of cri111inal atte1 11JJt; rz.. b. Sects. D-0). 1

1

1

1

1

Willia1ns, Crinzinal Law 614-663 (tl1orct1gl1 exa111i11ation of att emJJt i11 E 1glisl1 law). 1

frejaville a11d Sayer, Droit Criniinel 29-35 (sl1ort discussio11 of attemJJt i11 frencl1 law). B0L1 zat, Drnit Perial 207-214 (sl1ort tre,.t111e11t of atte1n1Jt i11 frer1cl1 }Je11al la\xr). Brett a11d Waller, Cri1ninal Law 372-LlOl (co11sicleratio11 of cri111i 11al att e1npt in ligl1t of tl1e A11stralia 1 a 1cl E11glisl1 cases 011 tl1e st1bject). J-Iall, _General P_rin_ciples of C'rin?i11al La7!J 558-586 (l1isto rical a11d a11alytical discLtS­ s10 1 of cr n1 11al atte1111Jt 1n tl1e co 1 11 111011 la\v). PaLtl�en a11d Kadisl1, Crin1.i,1al La7.v 438-466 (statt 1 tory a11ct case la\v of atte1n 1Jt 1 tl1e co 11111011 law). S 11itl1, _ �\VO �robl�tns i11 Cri1n�11�I At:etnJJts, 70 ) H ar v ar (1 d 9 . L . 4 R 22 ev -4 . 48 57 �a1 t1cle d sct�ss 11� tl1e JJoss b l1ty :>f 11 egli o·e1 i fa 1t ct at te 11 1 JJ of t n 0 at is ta id l< e 111 atten1 pt s t11at 0 1s). 1

1

11

1

1

1

1

1

1

1

1

1

1

1

1

Oottr, IV The Pe11al Law of Inditi 2735-51 (7tI1 ed ., 1963) . (co 1111�reI1e11sive if JJractically oriented COi1sideratio 1 o f tl1e law o f a tte n1 1Jt 111 l 11d a) . Reyes, Revised Pe,1al Code or · ·,1es 79-91 (1963) 'J ti: ?e p111 z·ti1,i (a 111otated co11side ration of tl1e Pl1ilipi 1e la w of atte n1Jt). 1

1

1

1

1

4l

I �

. . : .. . . .

- . . ......,.. .

.

�

-,

,

IMPOSSIBILITY

113

SECTION D. IMPOSSIBILITY: A DEFENSE TO CRIMINAL ATTEMPT?

PENAL CODE Of ETI-IIOPIA Art. 29. - Offence impossible of completio1i.

Wl1 en. an offe11der has atten11Jted to co111111it an offe11ce by 11 1 ea11s or against �11 obJ�ct of sttch 1 1att1re tl1at tl1e co1 11111issio11 of tl1e offe11ce \Vas absolt1tely 1m1Jossible, the cot1rt 111ay, \X1itl1ot1t restrictio1 1 redt1ce tl1e JJt111isl1me11t . ' (Art. 185). N? �t111isl1111e1:t s11�1 1 be in1iJose l \Vl1er1 tl1e offe11cler, from SLIJJerstition � _ ?r O\X11 11g to tl:e s1 mpl1c1ly of 111 s 111111cl acted by t1sing 111ea11s or 1Jrocesses 1n tl1emselves 1nnoct1 ot1s \x1 l1ich cot 1 ld i1 1 110 case I,ave a I1ar111ft 1l effect. ABSOLUTE3° Absolute: . .. Positive; certai11; ... free fron1 li111it, restrictio11 or qt1alificatio11 ...

not de1Je11de1 1t or relative; ttltimate.

THE SOURCES Of TI-IE LAW I111perial Codificatio11 Com111issio11 of Etl1iopia Art. 29. - Infraction i1r1possible. Lorsqtte l'autet1r a te11te de co111 111ettre tine i11fractio11 par u11 111oye11 ou contre un objet tels qt1e l'accom1Jlisseme1 1t de cette i11fractio11 etait abso­ lttment imfJOssible, le juge pourra atte11t1er libre11 1e11t la 1Jei11e (Art. 185.) •

•

•

•

Code Pe11al Sttisse Art. 23. - Delit Impossible.

ui cel qtti ard de a l'eg 66) rt. 11e pei Ia ent : 11 re1 lib � ter ent att a ttrr po � Le juge aura te11te de com111ettre u11 crime ou ttn del1t fJar t111 1 11oyen ott co11tre tin t en ttm 11 it sol tio ab eta rac te i11f cet de 1 o1 ati etr rJJ 1Je la e qtt le tel objet de nature impossible. •

•

•

•

BAVARD c. TRIBUNAL CANTONAL VALAISAN RO 78 JV 145, JT JV 105 ( 1952) Switzerland

[After initial discussio11 of the facts involving an in�ufficient dose of poiso11, the court states at p. 108]: Article 23 of the Swiss Penal Code de111a11ds the use of totally t1nst1itable 30·. Webster's New Collegiate Diction.ary (1951 ed).

. ... . . . . .. .. . •·.- -. . ...... .'.... ·-.. .,. . ' . . . . . . , . , ,, ·. .:'. .- . . ._,:

•

:

: •: '

.

'•, •

.

I •

•

.... '

.

.

114

THE CRIMINAL ACT

e . e �� i11 1e l t_ ta ob si le to r ib i )' ss el po u m d ol r 1 n,eai,s ' a ineai,s witl1 \'<' 1icl1 it_ is a?�1e11t : re so_ beca,us� of.a11 11��1v1 dt1a l stilt n f1c e ef a li ai 11 _ ly : v ! _ ti la re g x,I Means \ ,icll are , e v 1 1 1e t 1c 11s ff 1 1 )' 1tl 11 g, t10 c l1n a_ nd 1a e1 to l i,t 1111 1J1:op e., (i. e tis r Je OJ iJr iin due to 1s � a1 e _ ar n1 . e tl1 ab 1f �e 1e l t t_ ca soltitel y 1 1 1 IS cl 1 ) t , . S . . ) ii,sttfficiet lt dosage to ng _ )ti ll n1 1 _ l<1 te �t 1 1 a d sl 1 11 so ur l t eo o m f t� l10 p� le . \xr 1e 1 0 s, lti Tl ttiisuitab le ly te lu s� ab IS 1n1Jossible I r It fo lt, l su re c t� 1Ja 1 1 c 1t 1 a e th 1 cl oa does 1101 eve11 aiJIJr 1 �11sl1e. � �ess sever.ely p� � be �o ab l en tl1 IS er 1d 1 fe of e tl1 to ki l l by tl, is n1ea11s; qt 1 1tted 1f 1 a 1 � b1 ss s IJ? wa d 1 a1_ sini­ ) S. P. C. 1 . ra JJa 23 rt. (A � � b)' the jtidge ... , se 1t _ca \x,e 1 e 1 ho ver, \vlie n ff� a d1 te 1 1 ts qt It }. .S P C. 2 . ra a iJ_ 23 rt. (A l JJ l icity of niiiic _. 1 e atl1; tn this case, the offe nder d t u o_ ab g 11 br 1 to 1 s0 1 JJ0 1t 1 e ici 011e tises it1suff ed en pp be �to s a 1 h_ bt t_ , l1alf way m� 1 cr e tl1 of 1ts ne 1 1 ele tl1e e iz l Jias begtit1 to rea 1 1su ff1 c1e1 1t to 111s en d exactly as 1 s a11 me ed . �ts l1e as _ 1 1 e i1 cr 1e l t ing let mp co to one \v l10 l1 its a11otl1er \v1t l 1 too little iOrce.... Cot1r cle Cassatio11 sitti11g as a Cottrt of Pt1b l ic Law-MM. Nageli, Fassler, Logoz, Ar11ol d a11d Tsc l 101Jp. 31 SES fEN Of :: IBL IMPOSS Patd Logoz

1111-possible offenses due to mearzs used; Absolute imJJoss ibi li ty: A wa11ting to

sl1oot B. ai 111s l1is gt 1 11 a11 d IJLt l ls tl1e trigger, but tl1e gun l1ad already bee11 discl1arged \vitl1ot1t l 1is l<nowledge. Or A tries to l<ill B througl1 111ea11s of sorcery. Rela_tive _iinfJ?Ss�bility: Tl1e l1ot1sebreal<er does 11ot realize tl1at tl1e jimtTI)'

tl1at _ l1e 1s us 111g 1s incapable of breal<i11g tl1e money box, tl1 e co11te11ts of \'{! l1icl1 l1e 1s after. Or t l1e defe 11da11t \Vl10 1 war1ti11g to l<il l administers too s1nall a dose of fJOison to l1is victim. [See R() 78 IV 145, JT IV 105 (1953) supra] . . lnipossible offenses due to . object . iJf tl?e ?ffense; Absolute imIJOssibility: Tl1e (Jet s011 w l1om tl1e offe11der be l ieves 1 s slee1J111g a11cl \xrliom I1e stabs, is, i11 fact, already dead. Or tl1e \xron1a 11 \x1 l 1orn a doctor atte1111Jts to abort is ' ir1 fact ' 11ot eve11 (Jreg11ant. [See RO 76 IV I 53, JT IV 74 (1950) ]. 1

Relative in1 1Jossi1?ility:_ Wa11ti11g to l<ill B, A 1na l <es I,i111 tal<e IJOison, w l1icl1

altl1o_t1gh tl1e dose g1ve11 1s t1sual l y enot1 o·I1 to l<ill · · · 1,as no effect 011 B. Or A tries to rape B \xrl10 resists a11d force� A a\Y1ay. ABSOLUTE I\I\POSSIBILITY12 Fra11.t·ois Clerc

. I_mposs ib ilit�>' is said to be 1 1ab sO1 Ltte,, . 11e11 · . · . · . 1 l111 a 1 1y w1� \YJ 111d1 jJlaced . v1 dt1al, tl1e c 1 rct1msta11ces iri w liicli tlie off 1 de1 ac ecl w e v 11e ot 1 acl ld t to 11o le b e ab _ � 11is cri1:,i!1�l d�sig·n eitlier becatise 01 �11 obJect'. itself or ed . o _er np n1e _ t l l1e a1: 1 s y J�poss 1b 1l1 ty 1s said to b e ''relati v e ', \XT ie� �1111ply becat1se of a forttiitotts circttt� , ai, e, tl,e acc?m1Jl1sl11 n ent ts 1m1Jo ss1dbl: t l 1e g_tt11 1s lo ad ed but tl1e �ffen er 1s �tofJ}Je_d before lie JJLtlls tl,e trig·g ;;..� , e JJOot_ box of a cl1urcl1 wl11c l1 011e believes 1s ft1ll, i11 fact li as beei, empt'ie d soine t11ne before. '

.1

31. Logoz, Comme tair dse Code Penal .Sseisse 89-90. � � r 32. Clerc, lnt ocluct1.on a l'Etude du Cod e P'enal Jl( ll.SSe: Part1e G eneral 62 (l 94·2).

l.lv\ POSSll3ILITY

115

Ques oions

1. 2.

3.

1 J' 1)' is Art._29 co11siclered a (Jartial defe11se to tl1e cri111e of attetnJJt? Mt1st ,e JJrosect1t1011 JJrove attetnJJt befo re defe11se evide11ce as to i111possibility becomes releva11t? Is it itnporta11t to disti11gt1sh bet,vee11 01ie ,vl10 JJttlls tl1e triaaer of a11 0 Ltt;loaded gt111 \vl1icl1 lie believes to be loaded a1icl 01ie \vl,; (JUlls tlie tri_gger of a1i ttnloaded g·t111 \vliicl, lie 1<110,x,s is t11iloacled? Is tlie state of rr11 11cl of tl1e offe1ider clealt ,vitl1 i11 Art. 29? �ron1 tl1e above readi11gs, ho\v ,vo1ld yot1 co11strt1e tl1e \vord absolt1te'' 111 Art. 29 ?_ lio,v ,vot1lcl �)'Ott jt1stify .)'OLtr refere11ce to Swiss jt1risprt1de11ce? , Do the S,v1ss co111n1e1itators ao· bree ls to ,vl1ere to clra,v tl1e li11e betwee11 abso1 Lt e a 1ic l ''relative''? \X/aiblit1ier states tl1at ''tl1e disti11ctio11 bet,xreen absolttte a11cl relative i1111Jossibilitr is al,vays t111certai11 arid vague a11d depe11ds 011 aleator_)' ele1ne11ts."33 11 �O\V \yottld 1�t11�isl�111e11t differ if i11 offe1ise is saicl to be ''absolt1tely 11111Joss1ble or if 1 t 1s lielcl to be oily ''relatively'' ir111Jossible? 11

II

4.

t

C.

II

Problems

After consideri1ig tl1 e above qttesti,)ns, a1 1cl exa11ii11i11g 1\rts. 27, 29, 77, 532 a1 1d 594 P. C. E. address yot1rself to tl1e solt1tio11 to eacl1 of tl1e follo,vi11g fJroblems: a. A man sl1oots at a tree stttITifJ tl1i11l<i1 1g it to be a 1Jersor1. b. A doctor attem1Jts to 1Jroct1re a11 abortio11 t11Jo11 a ,xro1na11 ,vl10 is 1 1ot preg11a11 t. • c. A man atte1n1Jts tl1e tl1 eft of l1is o,v1i t1111brella tl1i11l<i11g it is someo11e else's. d. A picl<pocl<et reacl1es i11to a11 e1111Jty IJocl<et. e. A ma11 1Joiso11s a dri11k \vitl1 tco s111all a dose to l<ill l1is i11tendecl victim. f. A n1a11 l1as sext1al relatio11s \vitl· a sixtee11 year old girl ,vl1om lie believes to be fourtee11 years old. g. A sixty-seven year old n1a11 acct1sed of ra1Je raises and establisl1es a defense of i1nJJote11cy. NOT ES Note 1:

Apparent Impossibility

It is itnfJorta11t to disti11gt1isl1 tl1ose i11sta11�es. i11 \':"l1i�� a S1Jecial . Part article calls for certai11 s1Jecific ele1n�11ts for cr11n11 1al l1ab1l1t� and ord111�ry sittiations of impossibility. If a 1nate1�1�l. �le1ne1 1t t111cler a S1�e�1al Part article is missing, there is, of cottr�e, no l1a: 1l1 ty Lt11_der tl1at 1Jrov1s1011. Art. 38? (a) reqttires a ''falsely executed 111strt1me11l a11d tl11s ?ffe11se n:ay 11ot be establ1sl1�d by proof tliat a11 itidividual thot1gl1t tl1at lie \vas 11s111g a11 1 '111str11 1nent'' \vl·1e11, 111 fact, lie was not. To l1ave actttally 11sec) a11 ''ir1strt1111ent'' is a material elen1e11t of 1

1

33. Waiblinger, La Tentative (I[T, Le Delit Imp ,>ssible) 2, Fiches ]1tridiques Suisses, No. 1201 (1957).

TJiE CRIMINAL ACT

116

1 io1 vis pro l10 wit 1 t 511cli 1 s tl1i 1 1 er 11d y ilit liab 110 be , i Art. 383 (a) a11d tl1ere ca llSe. Note 2: The Comparative Treatment of Impossibility Cri111i1 1al Cocle of V11 goslavia (1951 ) 34 f\rt. 17. - l11appropriate Atten1pt.

] i [ t sic m a co i to im ed cr JJt m te at l na er 1d fe1 of e tl1 y eb 1er \vl 11s ea _ _ 1n e tli If 1 ss1011 were sucl1 m co e t ted 1p e11 � att te 1 icl wh _m 1st 1 i ga � . offence or tli e object cl1 tl1 su a \v1 n1e ed 11s or itt mm co en be ve ha 1ot 1 11ld co 1ce 1 e off al 1 i ni1 i tli at a cr t. en m sl1 ni pu e tl1 it m re ), 1na t 11r Co e tl1 t, jec ob 1 1 a agai11st sucl1 Pe11al Code of Italy (1930)35 Art. 49. - Ojfe11ce Erroneo1-1sly Prest1-n1ed a11d Impossible Offence.

A JJerso11 \vl1 0 cotnmits an act \vl1icl1 does not constitute an offence, u11der tl1e erro1 1eo11 s itnJJressio11 tl1at it does co1 1stitute a11 offe11ce, is 11ot punisl1able. Liability to JJL11 1isl1 111e11t is lil<e\vi�e exclt1ded wl1e11, O\vi1 1g to tl1e u11st1 it­ abilit:'.}r of tl1e act or tl1e 11 01 1-existe1 1ce of tl1e object tl1ereof, the injt1riot1s or da11gerous occt1rre11ce is i11 11Jossible. If i11. tl1 � cases co11tem1Jlate � i11 the JJrecedi1 1g provisio11s tl1e act com1Jrises tl1e const1tt1 t1ve elen1e1 1ts �f a d1ffere11t offence, tl1e JJt1nisl11ne11t fJrescribed for

tl1e offe11ce actt1ally comn11tted sl1all cfJply. In tl1e case SJJecifie� i 11 tl1 e_ secoi1d paragra1Jl1, tl1e judge may order tl1at a11 acct1 sed 1Jerso11 \Vho 1s acqu i tted l:e subjected to police measures. Art. 215. - Descriptio1i. Perso11al JJolice 1 11east1res are clivided i1 1to clete i iti,,e a i id 1 1on-dete11 tive. Dete11 tive IJO]ice 1 neasures are( ; ) Assig�11111e11t t� a,, agrictiltt1 rat settlen1e11t or labour esta blisl1n1e1 1t. '( _ ) f C 011 ·11 1erne11t 1n a11 establisl1111e1 1t for treatiii e ii t a ii d cttsto dy. _ (3} Co11f'.11e111 e11t �11 ,1 cri111i1 1al lL11atic as_),lttlll. Co11f111e111e11t 111 a cri111i11al refor i nator)'. t4) No11-dete11 tive JJolice measures are(1) Liberty Ltncler sttj)ervisior,. (2) Prol�ibitio11 to resicle i ii o i,e or 111ore co1nmt111es, or i11 011e or 111ore JJro\r111ces. 34. As tra11slated i11 10 The Ne'lv r·1tgosl .os. 3 L . 13 , N -4 (1959). 35. As translated in 1vlichael and \'{iecl 1sla� � c1, Ca1zn�na/ La7.u 628, 631.

(3)

IMPOSSIBILITY

117

Prol1ibitio!1 to freqt1e11t in11 s and pt1blic establisl1me11 ts for t11e· sale of alco11ol1c beverages. (4) Ex1Julsio11 of a foreigner from tl1 e State. law pre� ib_es a police measure without indicating its description, the j�:�n s�:�l ? reIer 1 � et_ ty_ tttld�r sttJJerv1s1011 t111 less, in tl1 e case of a fJe rso11 convict;d o f crime, h1e _ t 11111 l<s fit to order relegatio11 to an agrict1ltt1ral set' 011r esta bl1s11n1e11 t. tlement or lab Crimi11al Code of Ca11acla (1954) Art. 24. - Attempts.

. (1) E very on_e \Vho, l1avi11g a11 i11te11t to con11nit an offe11ce, does or omits to do a11 ytl1 1ng f?r tl1e JJtirJJose of carryi11g 011t l1is i11te11 tio11 is guilty o! a11 attetnJJt to co1nm1t tl1e offe11ce \Vl1 etl1er or 11ot it \vas possible t111der tl1e c1rcumsta11ces to co111 111it tl1 e offe11ce.

Tl1 e q11_estio11 \Vl1 etl1 er ar1 act or 0111issio11 by a JJerso11 \vl10 l1as a11 1nte11 l to commit a11 offe11ce is or is 11 ot mere JJreparatio11 to com111it tl1e offen�e, a11d too remote to co11stit11te a11 attemJJt to commit tl1e offe11ce, is a q11est1on of la\v. .

(2)

Questions

1.

2.

Wl1 ich of the Note 2 code fJro\1isior1 s carries tl1 e follo\vi11g se11 ti11 1e11t of Waibli11 ger (also apJJlicable to tl1e P.C.E.) to its log·ical cor1clt1sio11: Acco rdi11g to tl1e subjective co11ceJJtio11 \vhicl1 I1olds S\vay ir1 Switzerla11 d, tl1e absolt1tely i1nJJOssible offe11se is also JJt111 isl1able, as it is equal!)' tl1e expressio11 of a cri1ni11ally da11gerot1s \v'ill \vl1icl1, if it is 11ot subdt1ed, \Viii be tra11slatecl i11to l1arn1ft1l actio11.36 l isest? \Vl·1icl1 r11ost e 1 tl \X is feel )'Ott clo io11s ovis r p e cod e 1 tl \v'l1 icl1 of 11 ear ly app roximates Art. 29 P.C.E.? Wl1at is. your positior1 \xritl1 res1)ect to tl1e clefe11se of im1Jossibility? Do yo11 feel \'{'1tl1 tl1e Ca11adian Parlia111er1t that tl1e defense shot1ld be abolisl1ed; do you \visl·1 \'v'itl1 tl1e Vt1goslavs ­ 11s !e of JJia itio dd 1io )os 1ni Etl tl1e fer 1 fJre 11 yo do or iota it i 1 to retai1 n e l 1 of tl1 e rli l1 eac de 1ic t111 \X1! ies lic JJO tl1e are t l1a W ,? l Ita ) d an a1 S\vitzerl 1 d above JJrovisio11 s? Recommended Readings

Waiblinger La Tentative (III Le Delit Im1Jossible}, Fie/Jes ]rtridi.qites Sr.tisses, No. 1201 (1957) (excellent' statement of tl1e S\viss tJositio11 011 i111 1Jossibility). Boss c. Miriistere Public dit Ca11to1i clu Lucerne, RO 87 IV 16, Jl� IV 86 (1961) ( 1n o st recent Swiss j11risp1·ude 11ce co11 cer11 ing in1 possibi Iit )'). Wecl1 sler, J011 es and Ko rn, The Treatn1 e11t o:f I 11choate Cri111es i_11 . tl1� Model i Attem1Jt, Sol1c1tat1011 a11d Penal Code of tl1e America11 Law I11 st1tt1Le: Conspiracy, 61 Columbia I:· Rev. 578-585 (1961) (excelle11t disct1ssion of 36. Waiblinger, Ibid. at p. 5.

THE CRIMINAL ACT

118

s 11ate mi i el tl1e icl1 , wl1 5.01 t. Sec ii, isio defe )rov e d i,se o l C l Pei, a tl1e Model of in11Joss i�ility). 1 11pts, _78 U. fe_n7:-sylva e Att 1al 1 Cri111i 011 ility Jossib ,1ia _ Stral1or11, Tl1e Effect of IrnJ (aood, broad co11siderat1o 1 111Joss1b1I1ty, i. b 1 of n 1 93 l . ( b 8 ) 962 -99 Rev . L. fJp. 966-969). · . 1 0 11 o f tl1e co1nm o 1 1 I aw case s ss t1 c is d d oo (g 3 5 -6 5 63 Willia 1ns, Cri 1ni 11al Law · 011 i 1 111Jossibilit)r). · · · b 1 1 of 1mposs 1 1 1ty ssion disct e (treatis i11 489-494 the w La al i i1 inz Cr s, i11 rl< Pe co 1n111 o 1 1 I a\X!) • 43 -44 v Re 5 L. ard rv J-Ia ,_ . pts ?? �em At 8 l ina i111 Cr 1 1 j ns Smitl, T\VO Problet e ens def as a to criminal 1l1ty s1b Jos 11n1 of 1 1ce a ept acc l ai,c i , sio ctis (dis (lQS7) attemJJt). · PaLtlsei, at,d Kadisl,, Crinzi11-al Law 467-486 (tl1e Anglo-A mer1ca11 case 1a\xr of imJ)Ossibility). . . Merle, Droit ])enal 160-165 (discL 1 ssio1: of tl1e _ tl1eo!·y . and Jur. 1s1Jrude11ce of i ii,,Jossibility j 1 1 fre11cl1 la\xr i 11clud 1 11g exte11s1v� c1t�t1011 t? ft encl1 sot1rc :s). Oottr IV P e ,ial Law of Jridi,i 2745-46 (7tl1 ed., 196_)) ( d1scuss 1 on of tl1e Indian 1�\XI of i 1n jJOSSibility). SECTION E. RENUNCIATION AND ACTIVE REPENTENCE

PENAL CODE Of ETI-IIOPIA Art. 28. - Reriunci.:itio n arid Active ReJen ten ce. (1) If a11 offe11der of his ow11 free \vill renou 1 1ces tl1e JJurst1it of l1is criminal activity tl1e coL1rt sl1all redttce tl1e IJL111isl1 1 ne11t \Vitl1i11 tl1e li1nits J)rovided by la\v (Art 184) or 1 nay reduce it \xritl10L 1t restriction (Art. 185) if circL1 1nsta 11ces �o jt1stify. No pL1 11isl1n1e 1 1t shall be in11Josed if tl1e re11L1 11ciatio1 1 \Vas JJro1n1Jted by reason of l1onesty or l1igl1 motives. (2) If a11 ?ffe11der, l1avi11g co 1�1)leted l1is cri 1r1i1 1al activit l1is O\Xln of ,, 1 free \xr 1ll preve1 1ts, or co11tr 1bL1tes to fJreve 1 1t t 11e co 1 1seque11t rest1lt, tl1e cot1rt 1 na)' \xritl1ot1t restriction redt1 ce tl1e pt111 isl11ne 1 1t. (Art. 185). (3) Tl1is Article sl1all als? afJfJly to ar 1 i 1 1stigator or a 11 acco1nplice (Ar�. 35_ a�1d 36) \xr _ !10 of 11 1s O\Xttl free \xrill re11ot1 1 1ced tlie JJL1rst1it of l1 1s cr1n1 1 11al act1v1ty o_r l1as do11e e\rer),tl1i JJreve11t tl1e con11n1ss1_ 011 of tl1 e offe 11c 1 1g i i,ctin,bei1t lljJOr1 l1im to e.

TI-IE NEW l(OREAN CRI.\t\INAL CODE: WITiiDRA WAL FROM CRil\i\.E AND SELI::: DEN UNCIATIQN37 •

•

• •

Pa11,l l(iclJyu12 R 11,1J

Wl1ile ge11er·ally te 1 1di 1 1g to a1JJJ},,i 11a ; b cri tll irtal s a11ct·10 1 1s spar11· 1a1 y 50 as to . . s afegLtar d a 1nax1n1L11n of 1·1 1c1t\ rt dLtal freedom_, tlie A nglo-Americai, la\� i ii s0_1ne i11sta11ces ad1nits pu11isl1111e1 1t wl1ere 1l1 e c o1 1t111e1 ,tal EtiroJJe l at law grai,ts 1n137.

Ryu, Tl1e New I<.orea11 Criminal Code cf October 3 ' l953, 48 292-293 (1957J.

J. Cri1n. L. Crirn . ancl Pol. Si·ct,

,,

RENUNCIATION AND ACTIVE REPENTENCE

119

. rnt111ity or a redttcti 0� 0f pei,aIt Y- St1cl1 exte11 sive aJJplicat1011 of cri111i11al sa11ctions i n tl11s . cotti,try �s tl1e restt!t of tl1 e jt1risprt1de11tia vie\v tl1at crin1 i11 al law l 11 as ai, objective qt1al 1ty or, as 1s sometitnes said, tl1 at tl1e law is para1no u11t. '<l t J;:�x--�b}ective :'iew of critninal la\� is expressed i 1 1 tl1e non-recognitio11 of \ i l, I ro 111.ct ltne a11d self-de11t111c1atio11 as a 11 1itigati11g factor, on tl1e one 11a 1 1 d, and of cr1111e UJJ011 corn1Jlai11t, 011 tl1e otl1er. Vot1 11tar)' desi_ste11ce fro 1 11 cri1ne is 11ot a grot111cl for 111 itigati11 g 1Junisl1n1ent . 111 tl1 e nglo-An1er1ca11 la\v. Tl1t1s, if a 111a11 resolves 011 a cri1·ni11al e11 ter1Jrise ' · · · and JJroceed s so far 111 it tl1at l11s act ,111ot111ts to a11 i11dictable atte1n1Jt, it does ,��!. ) ce_ase t? be st1cl1 , �l1ot1gl1 l1E volt111tarily aba11do 11 s tl1e evil pt1r­ pos_e._ Of cot11se, a 1nore liberal te11ce11cy 11 1ay be reflected i11 se11le11ci11a !Jolicies. By co11trast, tl1e Oer1na11 la\xr fJregoes l)L111 isl1n1 e11t of atten1 1Jt entirely 111 cases of aba11donme11t of a cri111i11al inte11tio11 a11 d preve11tio11 of tl1e i11 jurious res11lt (Sect. 46 of Oer1na 1 1 Pe11al Code) .. Tl:e Korea11 . C?de adoJJt� an i11·er11 1ediary solt1tio11 i11 1Jrovicli11g for rn1t1gat 1 on or rem1ss1011 of J)L1n1sl1111e11t :11 cases of clesiste11ce fro111 a cri111 i11al cor1clt 1 c� �r of JJreve11tio11 of its com1Jl�tio11 (Art. 26.) Witl1 regard to self­ den_L1nc1at1on, tl1e Code aclorJts a11 extre11 el)' flexible attitt1cle. It J)rovides ir1 Article 52: 11

(1) Wl1e11 self-de11 t111ciatio11 is 1nade to con1pete11t at1tl1orities \v1l1icl1 l1ave

tl1 e resJJOnsibilit)' to i 1 1vestig;:1te tl1e co11 11nissio11 of cri111e, tl1e IJLt11isl1me11t may be mitigated or re1ritted. (2) Tl1 e prececlir1g sectio11 sl1all aJJJly wl1e1 1 volt111tary co11fessio11 is made to tl1e injured JJarty i11 cases of cri1nes wl1icl1 ca1111ot be J)rosect1ted over tl1e objectio 1 1 of tl1e victin1. l 11 addition, \Vitl1 1·egard to certai11 SJJecific crin1 es, tl1e Code j)rovides for rna11datory 1nitigatio11 or re1nissio11 of r-t111 isl1 111ent in cases of self-de1111r1ciatio11 or volt1ntary co 11 fessio11. •

•

•

•

WUST c. lv1INISTERE PUBLIC DU CANTON DE LUCERNE RO 83 IV 1, Jr IV 70 (1957) Switz�rland

1 nouncecl to SL1va tl1 at sl1e !1ad been a1 : us W 1 etl zab Eli , 56 19 5, ry L1a Jan 1 01 1 �11ded pay1 ne11t of 111st 1 rance n de e sl1 , 19 ' ar) 11t1 Ja 1 01 t. e11 cid ac an of tl1 e victim 1 e craftily co11cealed tl1e fact tl1 at sl r, -ve \ve lo I . 14 ry t1a 1 1 Ja l 1ti 111 for tlie period . re l1e rl< r ew wo e lie els lu of va e tl: ed ver co re e sl1 1 t, e1 cid ac e t\VO days after th 1 ve_ of S11va \xrent to see tl1e 11e\v 1 tat r ESe JJr re , a 20 y 1ar nt Ja Q 11 tlie morni r,g of , �e t va ro to tl1 us w Su be _W 1za El y, da e m sa e tl1 of n oo rn employer. } 1 1 tl1e afte 1. g Sl r 1 e had a1n c1n lie �I L1� no s re wa e 1 �l t l1a t _ , ed ag 11r co 1 witl10L1t ,aving beer1 e11 t ta 1 011 of wl1 1cl1 no one ca n en es pr 1 e tl 11t 10 1tl \v rd 1 ca 11ot yet sent t 1e accident be co1npe1 1sated.

Summary o f Reasoning: Uncler �r_ticle 21. para. 2 C.P._S., tl_1e judge 11:ay aq11it a11

i11dividtial \vl1e11 of Iiis ow11 i11it1 at1ve, r.e renounces his cr1m11 1al act1v 1ty before completing that activity. A11 actor desist� of l1is ow11 i11itiative wl1en l1is decisio11 (102) Glover

'V.

Commonwealth, 86 Va. 382, 10 S. E. 420 (1889)

at 386.

TI-IE CP.IMINAL ACT

120

not to cor,tir,tte l,is activity is fot1nded 011 l! is ow11 free will not to attai,1 Jiis ei,ct \xrlier, , ii, fact, 1,e is qtiite cap� b_le _of � o do111 g. 01 1 tl1_e o!her l1 _ a�d, �1 e can110 be � 1 ve th ca 1n 1111t1a c1s1011 O\X't1 �e whe 1 e l:1s d� 1 s t � 1s determined said to reriottiice of 11 by exterilal circtii,,stan ces i11deJJe11de11 t of _his will a!1d w11 � ch, 111 fact _ oi: aIJfJearai,ce , 1 n1ot 1 . T11e re11 fJla1 _ve� behin d 1 e 0 tl x t1nc1 ,, ht� of at 1 11 IJreve t e ecutio,1 re itn � _ , 11 1aterial to tlie decision wl1etl1er ren�11c1at1011 was of !11� ow11 free :Vtll. Vet moti\re cai, be tal<et1 i11 to ac cou11t \X,1:l1 respect to clec1d 111g t1pon pt1111shinei,t. Tl,e afJfJellaiit clid 1 1ot re�,0�1 1 ce of her O\V� i11 itiati_ve, for sl1e l1 ad reas011 to tl,ii ,1{ tl,at St1va \xras quest10111 11g her declarat i on. Tl11s blo cked lier way to realizatio11 of I1er cri111inal activity. In effect, Suv� preve11ted her b)' �iscovering I1er cleceit i11 mal<i11 a false stateme11ts a11d eve11 tf tl1 e apJJellant \Vtsl1ed she cot1ld 1 1ot tl1e11 attain tl1e goal tl1 at she 11ad wa11ted . 111 this ligl1 t, it i� not possible to exe1111Jt tl1e aJJJJellant frot7 JJt111isl1ment. Cour de Cassatio1 1 - l\l\M. Fassler, lvluheim, Ba cl1 tler, Perri11 a11 d Grisel. Questions

Wl,at is t l1e cliffere11ce between j're11t111 ciation1 ' a11 d ''acti\re repe11tence"? Witl1 i11 \X1 l1at ti11 1e fJeriods i1 1 the cri111e of atte111 1Jt 111aJr JJL111isl11nent be redL1ced for re11t111 ciatio11 a 11d for active re1Je11te11 ce? 2. lvlt1st l1 ar1 11 1 i11 fact, be preve11 ted before (Jt111isl1 me11 t cai1 be reduced t1r1der Art. 28 (1) or (2)? Ivlay a11 offe11 ,jer actively re1Je11t tl1e crime of Material forgery (Art. 383)? 3. Note tl1 at tl1e fre11cl 1 text of tl1e P.C.E. and tl1e C.P.S. botl1 use tl1e \vords de s012 propre. 1noi,vemerit. Wl1 at is tl1e position of tl1e Wust case \xritl1 resr)ect to tl1e 111_ea11111g _ of . tl1ese \_ vords? Ca11 ):OU thin!< of reaso11s that n1igl1t lead tts �11 . Et_l1101J1� to 111terpret ''of 1 1 1s O\v11 free \Xtill'' differe11tly from tl1e way 1t 1s 1n Switzerland ? 4. Wl,at fJLlffJOses li�. bel1i11 d Art. 28?

1.

Recomme11ded Readir,gs

. Perki11 s, Cri112i11al Law 510- 512 (d tsctt.,SIOil of loczJs pe,iitentiae i11 tl1e con11no11 la\xr). Willia111s, Cri111inal Law 620 621 (sl1ort stateinei7 t co11 cer11 . 11. b. rep ent 1r1g enc �, c itatio11s i11 foot11otes 8-9). Wecl1sler, J0 11 es a11d I(or11 , Tl,e Treatt1eti t f 1 ncl,oate . . C_ r 1_ 11 1 e� 111 tl1e lv1odel ?e11 al Code of tl1 e A111 erica11 Law I ,,stijtite· �(tte111 ? 1 cy, , So _ p1r l 1 a c I 1ta 1s t10 Co 11 1 1 a1 d 61 Co/1,1,mbia L. Rev. 614-621 ( 96 i) r al er sid 1 Pe 011 at1 el of e od tl1 M � i Code sub-sectio11 coi,ceri,i ,,g rei, ilciati t�)� Bottzat, Droit Pe11al 2 l4-217 (sl,ort clic� cu55.1011 0 f vol11ntary desiste11ce i11 fre11 ch pe11al law). Reyes , Revised Penal Code of tf?e Pni .e .. . . lipi.ne!� 88 _91 (d 1. sct1ss1o n of tl1e Pl1 1 l1p1n Penal Code, Art. 6 co11ceri,i· 1 1cr 112ter a ia ''Sf Jo ntaneotts d esiste1 1ce''). Gour, IV Pe12al Law �f India 2748 (?JI . e d case la\v co11cer111ng rei,u i,ciatiotl)� ·, 1963) (1Jarag·ra1Jl1 setti11 g ottt I11 d1a11 '

l::,

'

:•

,. '

CAUSATION

121

SECTION F. CAUSATION: THE RELATIONSHIP BETWEEN CRIMINAL Acr AND RESULTAN"f HARM

a. The Causal Formula PENAL CODE Of ETI-IIOPIA Art. 24.- Relationship of Caitse ancl Effect. .

f

(l)

17 ca_�es \vl1ere tl1e co1n1nissio11 of a11 offe11ce reqLtires tl1e acl1ieveme11t 0 g_i�en re5 Lilt tl1e <?ffence sl1all be dee1ned to I1ave bee11 com1nitted 0� Y tf t_l,e resL1lt acl11eved is tl1e co11seqL1ence of tl1e act or 01nission . \Vt t 11 wl11cl1 tl1e acct1sed IJerso11 is cl1arged. Tl1e relatio11sl1iJ? �f cat1�e . a11d effect sl1all be 1Jresu1ned to exist \X1he11 tl1e act or om1ss1011 \X11tl1111 tl1e fJrovisio11s of tl1e law \XIOLtld i11 tl1e normal cot1rse o·f tl1i 11gs, JJrodLtce tl1e rest1lt chargecl. 1

•

•

•

•

POOR RICI-IARD'S ALMANAC38

for wa11t of a 11ail tl1e sl1oe is lost for \Va11t of a sl1 oe t11e 110rse is lost for \va11t of a l1orse the rider is lost. for rider tl1e 1nessao· \va11t of a be is lost I I 1or \X1a11t of a 111essage the battle is lost tl1e \var is lost - tl1e fatl1erla11d is lost. CAUSATION IN TJ-IE PENAL LAW Of SWITZERLAND39 Paul Logoz

for an offe11se to exist, tl1e la\Xl most ofte11 1·eqL1ires tl1at tl1e offe11der prodt1ce a certai11 l1arm. . . . Someti1nes also, bL1t less ofte111 certai11 activity of a11 offender co11stitL1tes a crime by itself.... n , tai a rn1 cer es l1a ) 1Jli im ion 1iss on or 1 io1 iss n1m co (of se e11 off the if But iIJ of sh se on a cau ati , rel rm l1a tl1e d a11 act 1l xrft la\ t1n e th 11 ee tw be there 1nt1st be 11 ee t tw tl1e be tl1a be y n1a It x. Jle n11 co ite qu be n ca ifJ sl1 ion lat re and effect. This , or re of tu a11 11a ts, m ac r ht1 he ot 1, r11 l1a al in i1n cr tl1e d a11 act of the defendant l1ave contribt1ted to tl1e bringing abotit of tl1e l1arn1. 11 t d ree ac a11 t\x ist ct be ex fe ef d a11 e us ca of JJ l1i ns io lat re Wl1en does a legal l1arm? e, or t, it ef t1s er cl 1n n tl1 an tio tes qt is tl1 to d on sp re t Tl1e S\viss Code does 11o e. tic ac JJr d an s se ca 1e tl to e nc re be resolved by refe •

38. )9.

-

•

•

•

1S in Cri1ninal aJ Ess r, in elle Mu ted quo as 7 175 ), c ana ( Alm Benjamin Franklin, Poor Richard's Science 169 (1961). Logoz, Commentaire d.Jt Cocle Penal Suisse 32-34.

Tl-IE CRIMINAi- ACT

122

s bei11 g tl1 e legal cause of a cerlaii i a act at1 lilttll a · der 111 order to co11s1 this witl1out act, ay: le to s ab tl1e . � j, 1e 0 1 at liarm ti 1 1 · 1 e11o tig l1 a1·in, l t 1·s 11ot · S d l a uc oc t· r1 11e would 1 of 1 non). qua sine 1ditio 1 (co · ed r _ t11 ,xro t 1lcl 1 1ot l1ave oc� · exatnJJle for if broadly. too B 1sibility 1 resJJ0 decided al 1111 r O f extend tl1e � rea -� � � de railed, it wot1ld be goin g trai 1 wa s tlie 1 and to A ue to talce � trtfJ by 1 a111 e n 10 wl hed ris B of pe ath de tl1e d 1se i cat ) ally (leg tl 1 too far to say tl1at� A l1as eras 11. . e t� n �io io no s i ec 11 of legal JJr l1 t _ wi te ea lt11 de to r)' sa es 1ec 1 , re fo re tlie It is i 111 f ra11 ce to d1 st111gu1s!1 between ed IJos IJ�O 1 1 bee . as ' l 1 ·t , so d O o T cat1sat1. on'. . · s a11 e ve11t or a fact · I t 1 c, sa 1 ee 1 b s l1a it 1 01 1 t 1 id · coi A 011 • 1 t· ' d 1 1 1 • ca Ltse a11d co · . en t a ev .o� fact wl11�11 \-vrl,icli allo\VS aiiotlier eve11t to be (Jrodttced; ca��e ts an co 11d1t1011 a1 1d tl1at wl11cl1 follo\vs 1t' tl1e 1 1 wee Bet lf itse ])roel LICeS SOITI et1 11·1.1o· O • · } JJro 1 1 ·t d 1 1c 1 s, w . uce h t a ·t}1 ere 1s tl,ere is a jJossibilit),; bet,veen tl1 e ca�1se ancl t 1nore: tl1ere is a relatio11sl1ip of 11 ecess1ty. 111 a11 a11alogot1s se11se, bttt \vitl1 111ore JJrecis i?111 tl1 e tl1eory ter17; ect ' ''aclequate catise ' . . . c�11siders a hu11 1a1: act as .� e111g tl1e lega! cause or a certairi 1 1 ar1n Oill:'/ �,11e11 1 t a1JfJears tl1at, 111 tl1e c11 ct1ms ta11ces or eacl1 case, tl1e act woL1ld 11o r111ally JJroduce tl1at result. Tl,is is tl1e co11ceJJt of cattsality wl1 icl1 l1a s bee11 adopted by the federal Tribu11al 1Jartict1lar ly i11 civil cases tile JJri11ci1Jles of ,vl1icl1 are also ca1Jable of bei11g a1JJJliecl to 1Je11al la\v. •

•

•

•

Tl1 e tl1eory of adeqL1ate caltse allows sati sfactory res olutio 11 of tl1e problen1disc t 1ssed before - of causal relatio1sl1ip \vitl1 res 1Ject to comn1issio11s by 0111issio11. It is clear tl1at from tl1e poi11t of view of fJl1y sical la\x, an omissio11 is 11ot causal: ex nihilo nihil fit. for exan11Jle in tl1e ca se of i11fanticide tl1rough lacl< of care, it is 11ot - fro1n tl1e poi11t of vie,xr of 11att1ral cat1satio11 - the 0111issio11 of care \vl1icl1 cat1sed tl1 e deatl1 of tl1e cl1ilcl; it is deatl1 fron1 cold or l1t111ger. But law l1as JJLtrpo ses otl1er tl1 a11 tl1o s e of 11att1ral scie11ce. To acl1ieve tl1ose JJUrJJoses, law is able to Ltse a 11otio11 of cat1sality i11 quite a different se11se frotn tl1at attribt1tecl to 11att 1ral la\vs. It co11 s iders i1 1actio11 as ''causal" fro1n. its jJOi11t o� ,,iew \vl1en tl1 at i11 actio11 JJreci (Jitated tl1e develoJJme11t of certa111 eve11ts wl11cl1 tl1e111selves \Vere tl1 e 11att1ral cat1 se of the cri111 i11al harm. l11 appl_yi11g tl1 e _tl1eory of adeqt1ate cat 1se, 011e \X!Ottld sa>' tl1at i11 actio11 is cat1sal ,vl1e11 111 tl1e c1rct11nsta11ces of tl1 e case 011e is forced to ad111it tl1at the 011 1issio11 - and tl1e �nciividt1a� l1avi11g tl1e legal obligatio1 1 to act - ,vould 11ormally l1ave - tl1at 1s according to all (Jrobabilit)' - JJ reve1 1ted (if carried out) tl1e cri111 inal l1 ar1n wl1 icl1 i11 fact was JJrod Ltced. TliE RISE Of

A ADEQUATE CAUSE �1-I-IEORV IN CONTINENTAL LW 1-l. L. A. I-fart a.ncl A. M. Honore

40

Tl1e tl1 eory of adeqttate cattse arJJeared to offer b� tl1 a ·JLIS·1 ·1 01 1 fo r a11d''a · t· tea t t· 111ore fJrecise for1nl1latio11 o f v o1 1 Bar's-ref,ere11ce to tl1e reguI ar cot1 . rse of eve1,ts · It \XIas ti,1e f.ie·t t Lir� JJ1 11'51·01 ogist vo11 _ l(ries \xrl1 0 firs t advanced tl1is theory in . l s. s nterested 111 �l1 e n1atl1e1natical tl1eory of probabi� i ��� a��� i. 11. ��� ' :ti�� a � ty J, ects Of sociology and .co 11s1·ct ei· ect tl 1at tl1 e 1 1ot1.on of JJrobab1l1ty cot1ld be ap{Jlied to tlie 1a\ v a1so . Ob1e . ct1v e JJ ro b ab ilit)' (Moglicl,kezt.J'

�;:f

40. I-lart and 1-Ionore, Causation in tl,e La'l.v 4:2_417 (1959).

. . .' ...•

123

CAUSAilON

lie arg�ied � n1ust be d_i�tin&"ttished fro1n stbjective ()robability ( Wah rschei rzlich.�eit) for obi J ective probab1l1ty ts a relatio11ship bet\vee1, eve11ts i11de pe11de11t of ottr know ed ge. . \/ 011 Kries a J)pears to ttse ''o_bjective' to t nal <e at least tl1 ree differe11� f)�i11ts: (t) t 1 1at a stateme11t of tl1e relative frec t1e11cies of classes of eve11ts 1s 111de­ pende_nt of ou r kno\vled ge or ex1)ectati::>11. Tl1 L1s if a clie sl1 a1Jed as a regttlar ctibe i s tl,ro�11 a large r1t1mber of tin1es it is fot 111d tl1at a six t11r11s UIJ arJproxi­ mat�ly 011 e-s1xtl1 of tl1e total 1111n1ber d tl1ro\vs· l1e11ce tl1e relative freqt1e11cy of sixes to tl1rO\X'S is abottt 011e-sixtl1. G 11 tl1e b�sis of a 1< 110\vledge of tl1is r re q�, e ncy 011 assert �l· 1 at tl1e obability of a partic11lar tl1row being e 111igl1t (J f . a six was ab o11t one-s1xtl1; tl11s \v'Ottld be to alJIJl.>' to a fJartic11lar case a statetnent of regt1�ar freq_t1encies a11d so to afJfJl)' an objective relatio11 bet\veen classes of eye11ts 111 mal<tng a JJartic11lar J)robability staten,ent. 011e in1porta11t sort of J?art 1_ct1lar_ probability state111ent s i11 cieed a state 1ne11t aJJIJlyi11 g relative fr�q1�enc1es 1 11 tl11s \X1ay a11d vo11 Kries's fJOi11t is tl1erefore of i 1111Jorta11ce; bL1t thi� 1s 1 1ot tl1e 0111)' \Va)' i11 \vl1icl1 tl1e probability of a 1JarticL1lar occt1rrence is estimated. It is imJJorta11t to realize tl1at freqt1e1cy ge11eralizatio11s1 tl10L1gl 1 ''objective'', are relative to tl1e class of eve11ts cl1osE11 for co1111Jariso11 a11d to tl1e clescrip­ tion of tl1e class.Tl1us, tl10Ltgl1 011 e n1i£l1t loosely sp eal< of tl1e ' freqL1e11C)' of deaths from tubercL1losis'', i11 o rcler to esti1nate j)robabilities we rnust l<IlO\'v' tl1e freqt1e11cy as a pro portio11 of so1ne otl-1er class, e.g. cleatl1s fron1 all cat1ses in Great Britain i11 a given )Tea r .Tl1is fJrOJ)ortion \Vill clearly 11ot be tl·1e sa1ne as the relative freqL1e11C)' of cleatl1s fron �11bercL1losis to tl1e total 11L1n1ber of perso11s i11 Great Britai11 i11 a give11 )Tear. Tl1ere i� 11otl1i11 � i11 !lie state111ent �l1at tl1e relative freqtrenC)T of ordi 11 ary tl1ro\x.s of a_ die a�1d sixes 1s abot1t 011e-s1�tl1 inconsiste 1 1t \vith tl1e possibility tl1at a 111acl1111e 1n1gl1t be co11strt1cted wl"11cl1 would always o r 11early al\vays tl1r?\'<' a . six. Tl1e rela.tive fregt 1e11C:)' _of tl:ro�s witJ; t/1e ,nac/1i1ie a nd sixes \VOt1ld cl 1ffer ·ro1n tl1e relat1_ve freqt1e11cy of ord111a1 y thro\vs a11d sixes. Iie 11ce wl1ile state11tents of relative !reqL1e1 1Cy' are tr�1e, \Vhatever 011 r kno\vledge a11d exJJectatio1, s�ate1ne11ts aJJjJl:)'111g s11cl1 freqt1enc1_�s alone to determii,e tlie probability of a part1ct1lar ev�11t are al\vays based 011 111complete info rmatioi,, since the JJerso 11 1111l<:i11g tl�e est! 1nate l<nO\vs _011ly tl 10.t tl,�re has beet, or wi ll be an event of 011� cla;s a11d 1s 11s11�g tl1e relative freque1 1c1es to determine tl, e probability tliat tl11s al;o \xras or will be a11 eve11_t of a11 otl1er c as 1 s. If the pe1-so 11 ma 1 < 1· 11g the esti1nate l<11e\v 1nore abo11t tl1e c1rct1111sta11ces ; 011 tl1e relative f requencies of tl1e t\vo classes he \VOU Id not need t o re 1 y me1-e1,, of events. · · · · 1 of ascertai11i11g relative L1lt:) iffic d tl1e rut 1e 1 0 Von_ Kries's po 111t 1s· a g oocl frequencies and of sett 1ng 1 . tl 1e d es�rir·.· tio11 of tl1e classes of eve11ts bet\veer1 \v)1icl1 th e freq11e11cies hlJld 1s very great. · · · · · · · . . e 11 we say tl1at a partict1lar e\re11t wl1 t tlia e aliz e r o t _ · · · nt ....It 1s importa . l,=-r ever,t A \Ve are 11ot al\Va:)'S 1nerely B 1s more or less JJrobable given at iot of events of classes A a11d ies � ttei,c fr e v t t a l �e � th applying our k11owledge of 11 f r om a ge11era lizatior1 o clusi i t o c ·atiJe n t a_ B. We .may inst�ad be. d:a\xrt ng 1fferi11g st t \Vl1? is tl1a X say we ti wlie : �s tSIV ,clt for which the evidence 1? 111� 1 attse tl1ere is strong but bec id blit e ·om b, y fron1 a certai11 disease will probabl ' o11e \x1l10 s11ffers from ery ev t tlia on ati e eti g e t tl, no c?nclt1sive evidenc� for ances is tl1e fact tl1at a t ii,s se tlie �� tl, io non i _ the disease b ecomes blind. Com et e k i1owledge; 1pl o11 inc of s asi b tl,e n o ad par ticular p1·obability state1:1ent is � �t , ge11e raliz atio n avail­ b est t, h e e ecaLt s b er h t e e but tl1e knowledge may be 111comp e1 1

p

1�

. .

Tl-IE CRIMINAL ACT

124

r for a !)a rtic u � h it e e c _ n , d e i e v l1 e _ t e s a c b o r la 1cie� � � �t e1 1 t q e fr f o r la u ic rt a able is a stateinent P . ro e p v s1 u } c 11 c 1 n ab s � 1 b it , _ il t1 � z ? l1 r, a r_ e 11 e g l a rs e mere!� 1 a r fa o s s fact or for a univ e e s th n e s y s K s e n n o v e v ti 111 c e J b _ o " � e ll a c statements may be s. zat1on 1 eral 1 ge1 i,cy aiJIJl)' freqtte y as it il � a� b 11s ro co p e iv ti e tuent ct j _ b o f o t 1J e c 11 co 1e tl s y011 Kries api)lie t1 1 11 n_ge11cy \"Xrill e1 co _ 1v g . _ A ar w 1 11 'Y o ll fo 1e: tl 1 i1 � 111 ents e at st l sa tt ca of t i, e rn e le n o d1t1011s:_ (i)_ it co tw e fi s 1 at s 1t 1f _ Y }1 1 0_ 1d ai if � 111 ar l1 f o e , its ca te i,a eq ad e i tl be sed th e . objective 111 cr e� e v a 11 t s 1 u n 1t )_ 1 _ (1 , _ rm a h 1e t1 f o on n a tt q ie si 1 a e b 111 ust e 1d e� of i11creasing h T t. 11 ou am nt ca f1 1 11 s 1g a by JJrobability'' of t1 1e l1arrn '>: 1ng exam p�e: a o ll fo f1e t y b e ar cl e d a m e b s J _ a1 l1 objective IJrobabilit)' 1nay per e 1g, suffer fro_m , tu be rcu�os1s; from t his is 11 b . 11_ na u1 1 l of n io rt Jo oi IJr n certai suffe r_111g from tubercu­ s g 11 1 e b an tm ht a of ty 1l1 ab ob inferred tl1e objective pr o s 1s and tl1e objective ul rc be tt1 om fr e r ff su rs 1e ii m of losis. A I1i0al1er JJrOJJOrtion e nc J e r. e t I_ ea a gi: s ly 11' 11g i _ n1a d n_ po es rr co is 1g ri1 fe f _ st1 so r's e i11 probability of a 1n u ng hi tc s 1 ca rc l1 be of tu ty ­ 1l1 ab ob JJr 1e tl se ea cr in to id sa is er i11 n1 a g becor11ir1 , er a g i11 in rn to m e co be b r fo t bu it t gh 1 t ca e av 1 l t 11o d t1l \VO e li f i' losis a11d, e ba re relat io 11shiJJ sig,1ified b)' Th e. s a se di e th g 1in tcl ca is 1 l of e us ca te tl1e adeqt1a es as a causal rela­ i Kr n vo d by e at tre is 11 t io i 11d co ry ssa e c 11e or sine qua 11011 l" 11ta ide or ' inc : te' ''co ua d eq -a 011 ''11 as tse cat e at qt1 e ad m fro d e isl1 1 g1 ti11 tio11sl1i1J dis tendincr , at by ies Kr 11 vo s say , ect ish abl :!St 0 e b 1 ca1 ion lat e r e at qu tl1is 11011- ade solely to tl1e IJarticular case witl1ou t aJJplyi11g ge11eralizatio11s. Vo11 l(ries f11rtl1er claims tl1at tl�e rest1lts reacl1e d by applyi11g 11is 11otio11 of a�eqt1aC)' �re very simila1: to_ tl1ose \vhicl1 a la:)rma11, a 11d still more a law), er w1tl1 _a tra111ed sense of JL1st1ce \VOtild reacl1 by ap1Jealing to tl1e teacl1ings of ex1Jer1ence _a11d tl1 e reg11lar course oi events, and offers l1is tl1eory as a rational !·eco11�trt1ct1011 . of tl1ese more . intt1iti ve . 11otio11s. Indee d tl1e adequacy t heOJ")' itself 1s so1net11nes _ �late� 11ot 111 tl1e strict for1n given above but i11 tl1e loose for1n tl1at a co1� d1t1011 ts tl1e adeq�ate cat1se of a conseque11ce if it l1as a te11dency, accord111g to l111rnan e x1Jertence a11d i11 tl1 e orcli11ar:)' cottrse of even ts, to be follo\ved by a co11seqt1e11ce of tl1at sor t.

Tl,e res_t1lts ob!ai11e� by tl,e t\X:o a1Jproacl1es will i11deed ofte11 co11verge. Thus beco111111g_ a m111er 1s tl1e adequate cat1se of catcl1 i110· tt t berculosis becau se ff. tl,e SLtb5la11 t1ally grea!er freqt1e11cy ,vitl1 \x1l1icl1 111ir1e1; catcl1 it tl1a11 l1t1n1an e!i,gs wl as 7 ole. It 15 also true tl1at tl1e cond itioi1 s \vl1icl1 togetl1er \Vith a . � 11 etc. 11 , SL t ffice t� IJ oduce tuberc11losis, e.g. Jrol onged ex1 )os ure 1 J t; ��atct:�f are SLtcl7 as n111�e1�s are freqt1e11tly expo sed to. Stich conditi ons 1nay be ca11 e d normal for 1n1.11ers. I-Ie11ce 1·t. . \VI 1 o f·te11 be trt1e tl1at, wl,en a . ·1 co11dition l1as ii,creasecl tile obJeet.ive IJI.obab_ility of a co11seque11ce, the co11se· quence will be fotii,cl to 1 1 e o cti red in t!1e ord i11ary course of even ts witl1ot1t tl1e i11terve11tioi1 of �� Y a _1� 101� n,a1 cont11 1gency. Tl 1ere will, 1 10\xrever, be a cliverge11ce if a coilse c 0: t}l� c l SS ?f \Vl1ic]1 t}1ere is greater J�robabiJity OCCLll"S, bttt Otll)' or��; �O 1 �e 111_te 1�vent1on_ n­ of a1 1 abnor111al co t111ge11cy, e.g. a inan tal<es a · ob as a miner 1 11 a ce rta11 1 !own \vl1e re l1e i:neets _ a11_d n1arries a girl fron, \xrll�tn Ile 11 1 ct_s t t rc be 1los1s. I-Iere becon11ng � � a � t m111er is tl,e adeqt1ate cattse of ca 1111 the dts � not l,as e isea se 0 se d but tl1 e occurred in the orcti11ar)' cottrse of ; .ve11ts (for a mi,, er). Von Kries gives as a11 exa111IJle f 11on a of -ad eqt 1at cas e e cau sation tl1e coach1na11 wl10 i11 breacl, of dut f 1�s asle ep so tl1at the coach deviates front a Y_ tl1e agreed rottte; duri11g tlie co 1 se f tl1e deviatio11 tl1e pa ssen ge r is struck by ligl1tning, wl1icl1 he wot1l�1 er 1 0 l1ave bee11 on 1 ' J . tl1e correct rot1te -I e ''fallin g asleep'' as OpfJOsed to 'k eep.ttlg a\val<e'' d oes not significantl y i11c rea s e 1

'

f� f

'.

..

125

CAUSATION

!�;u�{o�abi_lity ?f ''pass�nger being strttck by ligl1tning''. Tl1e cl1ances of beir,g y ligl1t111ng are. tn fact small wt ether �l1e c?acl1m�11 is. asleep _ or �wake , and .if tje passenger 1s .1n fact strttcl· by I ord1 11ar1l be y will tl11s 1gl1tn 1ng d_e crt.be as sometl1ing ot1t of tl1e ordi�ar 1, course of eve11ts1 a11d tl1e fact tl1at t 1 ig_ tnttlg s_truck at that particular Sf)Ot xrill lJe treated fro1n a co111111011-sense · point of view. as a C?1nc 1·cte11ce. Here a clivergence bet\-vree11 tl1e t\vo 111etl1ods 0 f a�pr_?ach 1s avoided 011ly becattse tl1e Iight11inoi11 tl1e i11co rf)O rate d is 0 descr1pt1on of tl·1e co11sequeiice. He11ce, tl'1ouo0·}1 tl1ere 1s not a co111plete corres1Jonde11ce bet\veer1 von . Kries's the or y a11d vo11 Bar's a1)1Jeal to tl1e 11or111al course of e\re11ts tl1ere is often a co11verge11ce.V 011 Kries i11deed 1l1i11l<s tl1at tl,e ttse of tl1e 11otio11 of tl1e nor�al co1:1rse of· events ha_s bee11 \,:,ell i11s1Jirecl a11d lie adn1its tl1at l1is stricter . not10 11. of increase� probab1l1t y ca1111ot ·Je a(JIJlied witl, 1natl1e1natical acc L1rac;1; tl1ere ts t10 cle ar l111e bet\vee11 adeqt1ate and 11011-adeqt1ate cat1ses. •

Note

•

•

•

further

1:

Tl1eories Concerning

CaL1sal

Relationsl1ip

A. The Theo,J1 of Condition: Tl1e tl eory of co11ditio11 \Vas for111ulated a11cl a�v��ted by the At1stria11 Glaser and tl1c Oer1na11 vo11 811ri. ]t corres1Jo11ds i11 all s1g111f1cant respects to [tl-1e] A11glo-A111erica11 sirie q1,t,a nort tl1eory: ever�>' co11di­ tio11 whicl1 ca11not be imagi11ed absent \Vitl,out a ccrrespo11ding· failL1re of tl1e result, is a necessary co11dition or cat1s� for tl1e 1J rodt1ctio11 of tl1e l1arm.. .. Tl1is tl1eory l1as bee11 the favorite of tl1e Oer111a11 SL11Jre111e Co11rt in cri1ninal matters. Tl1e Spanisl1 SttjJretne Cot1rt l1as follo\x,ed suit. Steaclfastl;r it l1as mai11tained tl1at tl1e cattsal nexus is not i1n1Jaired or alterecl by any 1)re-existi11g conditions, like the patl1oiogical co11d;tion of tl1e victim; 1Jredispositions, or the physical constitution of tl1e victin1; 11or is it affected b;r a11y co11co111ita11t or related st1bseque11t events, sucl1 as l1cl< of medical treat1nent, su1Jerve11ing causes like tetanus, p11eumo11ia, or ga11gre11e. •

•

•

•

•

•

•

•

The co11ditio11 theory, tl1ougl1 \videy acceptecl i11 variot1s jt1risdictio11s, l1as bee11 subjected to m11cl1 cri"ticism. Its n1ajor defect lies i11 tl,e exte11sio11 of causal imputation ad i1ifir1it1,m, flo\Y1in� from tl1e very 11att1re of fJl1e11ome11al conditions wl1icl1 succeed 011e a11otl1er i11 an t111limitecl seqt1e11ce. It is tl1e establishment of a limit wl1icl1 create� tl1e major JJ roblem for tl1e propo11e11ts of this theory. The refttsal of this theory to acce{Jt, \vitl1 r�re exce_ptio11s, interruptions of tl1e causal cl1ai11 eitl1er tl1rot1gl1 tl1e volu11t�ry_ 111terve11t1011 of a tl1ird party or through tl1e occurrerc� of a�11oi:mal or 1nc1dental �v�nts, or of grossly neglige11t acts, l1as rendered 1ts appl!cat!o11 t111reaso11ably r1g1d..... To demonstrate the poi11t, suppose that A 1nfl1cted_ a blow . ltfJ011 B \Vl11_cl1 caused him seriotts injuries.· B is t�ken t? the l10s1J1tal. Wl11le tl1ere, a �ire breaks out in whicl1 B suffocates.A 1s co11s1dered tl1e a11tl1or of tl1e st1ffocat1on death, for jf A had not injured B, tl1e latter \voulcl _11ot l1ave bee11 brot1gl1t to the hospital in which l1e died. Bindirg redttced tl11s tl1eory ad absurdttm by arguing the necessity of pu11isl1ing for adultery 11ot only tl1e 1nan wl10 slee41JJ S witl1 the woman and the woman, but also tl1e carpe11ter who made tl1e bed. 41.

Mueller, Causi,ng Criminal Harm, in Mueller, Essays in Criminal Science 189...191 (l 961).

126

T J-1 E CR'l.\1IN1\L 1\CT

al us 1 ca of i at el n io s _ us s� cti o11 l1e T [in e: iis Ca � e at e ini th o Pr of � ry eo �h _ Je 1 T/ e as a· matter o us B. ca to ct 1te l1m 1 e1 be s ha t 111 fJ0 · f tl1i s ·

. · · s r f o se co111n1011 1a\V] .. . to a t1 a c g i a ve as t n i o ra ct n e s 11 o c 1 e a � 1c ct r t ul i t Jt e iv ce re l il \Xl s fact. N o act a a se t t1 at ca m a e b y er a 1n 1t t f tt o b f, o � r _ ct 1e tl fa se u ca . a ct fa in tii,less it is es 1 tl 1g 1 1o e_ a1 ll 1a er cl e n f o I _ . h to ineet � t sL as n 1o 1t 11 g co re al g le y \vitl,otit receivii,g 1e tl e !l e h ar \Xl ':1 an t, tl h iere for g f1 st f1 1l f1 w la n u an r fo t JO I,it n i t, a secltictect Sf , 1e g t1 11 11 \x, t1 la l1 g l1 f o e k es o ro d st a b t ct no le il l< is r 1e t} o � ,e tl se this ptt rfJo e 1e t ll tl ? 1a 11 cl ad e . H ng . 1 tl ea ct f o e be ,e u ca n 1e tl as er 1g i lle ia cl ,e tl recogi,ize i m e a11d_ l1e11ce would t 1e tl a� re 1e ! x, \ _ se �l 1 e1 be e_ �v h 111acte the deceased \x,011lct 1 tl 111 ea ct 1 1e cl tl v su e\ v1 a al 1c 1d t1r J se ca e th 11 h1 1t w 1t b1 d; lle l<i 11 , 11ot 1,ave beer )' . rt e JJa tl1 1e Tl of t ac us e ill tl1 om fr ­ tra ot ri 1ct a1 e 1c e1 ict ov Pr of 11 is ''by visitatio er 11g le al e ch �h _ pp If l1a n. r1 fo ect e11 e e� tr e� e or 1n i11 e act 111 be ly si tio11 could ea at o ct 1e tl1 th 01 \Vt 1t1 e1 m 11t be t e 1 gh tt i m 1t ck lo ed w of 1t 01 r11 bo e11 be ve 1,a to , r11 en d bo be a11 ve ha t no nc he ld e ou \v l1e ple o JJe r l1e ot o tw of t ac l f11 1inla\v ed , 11d ot cl SJJ se at tl1 d an to y 110 11e 11r jo 110 E, 1g le1 al cl1 110 e11 be ve l1a d t1l \X10 tl1ere . far e so 1is se Tl t, 11o nd fou ld ou sh ct a11 , ot nn ca e ej, al leg e th ly 11s vio deatl1. Ob '' a tur (in cta xim spe pro sed la\v sa cau ota rem non e jur z ''ir : xim 111a tl1e i11 ex1Jressio11 for ). 1d rie A1 ed 1tu ard ce1 reg s is se cau e 1at xin JJro tl1e t b11 se cau te no 11ot tl1e re1 1 ' to se' e ate cau icat xim i11d 1Jro ' ase pl1r tl1e d use ve l1a rs ite \Xlr and rs tye j11dges1 la\X a cause of wl1icl1 tl1e law \Vill take 11otice. •

•

•

•

1·1,e fo11r ''tests'' or ''clues'' of Jroximate cause i11 a cri1ni11al case are (1) ex1Jedienc):, (2) isolatio11, (3) foreseeability and (4) i11tentio11. Of tl1ese (1) and (2) are tests of exc111sio11 \x,l1ile (.3) and (4) are tests of i11cl11sio11 - that is eitl1er (3) or (4) may bri11g i11to tl1e area of proximate ca11se \vl1at otl1er\vis� would be excl11decl by (1) or (2). Neitl1er (3) 11or (4) is 11eeded for a11y other jJ11 r1J ose. Tl1e starti11g fJOint is that exce pt for tl1e r11le tl1at under certain circum­ st�nces tl1e act of 011e may be im putecl by la\v to a11otl1er a11d the rule tl1at the failure �f a legal�y-requ�r�d fJerforma.nce . (11egative act) is b1r law regarded as tl,� _eq111vale11t of � �os1t1ve a�t, no 011e 1s held to be tl1e fJroxitnate cause of l1a 1m, so far_ as cr1m111al law ts co11cer11ed, 11nless his act \Vas i11 fact a cause tl,ereof. If l,1s act was i11 fact a ca11se of tl1e l1ar1n it is also tl1e jJroxim ate _ 11se t_l1ereof 1111less excl11ded by ( 1) exiJediei ,cy ca 1,is act, If isola or tioi,. (2) _ 11 11 ai, �cttial catise of tl1e h.1r1n, \vas fro1 be 1 t;� to trivi al too 11 first tl1e :n 1 � � t0 110tice, or altl,ougl1 11ot so trivial at tl1e start l1ad come to rest in . a pos1t1o11 of �P (Jare11t safety, it \vill 11or1nall)' be reo0·arded as remote because it \X as · ' • • 1 1 ot a st1bsta11t1a l factor of tl1e rest1lt· Atld ever, ·1t i· t . \Vas a substant i al factor 1n �r111gi11g abo11t tl1e resttlt I,is act _w 11 tlor 1ta1 1)' be reg·arded as retnote if bet\vee11 1t and � pen d r,t i tl1e l1arn1 tl,ere w'as a n t': , '' le va e1 ui rv eq t te 1g 1i1 e, i an rc or fo . e \Xtl1icl1 was itself tl,e' irni�eJ��t: If it 1 . m rely thereof co11tr1b11tor)') cause \vas a substantial factor ai,d b . (i,� ti g1_ t �01 t tl1e result directly, ... it is the JJroxin1ate ca11se of tl,e li arr,i e�� • 1� _,e ;1ar111 r n� ble foreseea was 11eitl1er i11te1 1_ded. 011 t11e otl,er llat id : . 5 . 1 ue11c eseeable e or 111te11ded co11seq proximate regardless of circttn,stai,ce!�;

tt

'

•

•

•

•

· n . at1o C. The Tl.Jeory of Releva11ce· Tl ie tl1eory . of adequacy seeks a 'lim1t of tl1e swee1Ji11g sc o pe of ti,� tl,��r t of cep of cond1t10 con Y 11 i11 ge11eral the adeq11acy, determi11ed by laws of l1a11d, co11siders resort to sue11 la1l\xa,�lti re. Tl,e tl1eory of releva11ce ' 011 tl1e ot�hnearI I a,x,s tl1emselves 1 i11 defi i ,ii ,g tlie va i _ .� as 11!111ecessary, claiming· tl1at tl1e pions IJtt s crimes, give a clue to \vl1at condit 42.

Perkins, Crin1ina/" La7.v 601, 64 8.

CAUSATION

127

should be deen1ed ''relevant'' as ''cat1ses'' Nor need ''cat1se'', in tl1e sense of that c?ndition which a statt1te determine; to be releva11t as ''cattse'', be the same 1� all _crirnes. What is releva11t as ''cat1se'' i11 a partict1lar situation is determined 111depende11tly by the Sf)ecific l)rovisio11 \vl1icl1 governs. This tl1eory, develop_ed_ partict1larly b)' Mezger, is bei11a i11vol<ed in Oer111a11y i11 attempts at �od1fy111g tl1e judicial11, acce1Jted doctri�e of co11ditio11s i11 cases i11volvi11g particular types of crime... _.13 Note 2:

Other Codified formulations of Causal Relationsl1ip

Penal Code of Italy ( 1930)44 Art. 40.- Relatio,1 of Carese a,zd Effect. No one may be [JL1nisl1ed i11 res1)ect of a11 act cleerned by tl1e la\v to be a11 offence, if tl1e injt1rioL1s or da11gerot1s eve11t upo11 \xrl1icl1 tl1e existe11ce of the o·ffe11ce de1Je11ds is 11ot tl1e cor1seqt1e11ce of l1is act or 0111issio11. Not to prevent a11 eve11t, \xrl1icl1 it is legally obligatory to J)reve11t1 is equivale11t to causing it. Art. 41. - Corzcurretzce of C,tttses.

Tl1e conct1rre11ce of JJre-existi11g or sin1t1ltar1eot1s or SLtJJerve11i11g caLlses, even thot1gl1 i11derJe11de11t of tl1e act or omissio11 of tl,e gLtilt)' [)erso111 does not exclucle tl1e relatio11 of ca11sality bet\xree11 ll1e act or 01nissio11 and tl1e occurre11ce. St1pervening causes exclttde tl1e relation of cattsality 011ly \vl1e11 they have been by tl1en1sel\res st1fficie11t to determi11e tl·1e occtlrrc11ce. In tl1is case, if tl1e act or 0111ission J)reviottsly co1n111ittecl co11stiltltes of itself a11 offence, tl1e pt111isl1me11t prescribed i11 resrJect of it sl1all be aJ)pliecl. Tl1e 1)recedi11g provisio11s sl1all also aJ)JJly \xrl1e11 tl1e pre-existi11g or simultaneotts or SLifJerveni11g cause co11sists of tl1e L1nla\vf11l act of anotl1er person. American La \Y/ I11stitL1te, l\!\odel Pe11al Cocle ( 1962)' 15

Sect. 2.03.-Causal Relationship Between Condr,tct a12d Resitlt; Divergence Between

Result Designed or Conte1nplated and .llctr,al Result or Between Probable and Actual Result.

(1)

Co11clL1ct is t}1e cause of a resttlt \Vl1e11: (a) it is an a11tecedent bL1t for \xrl1icl1 tl1e rest1lt i11 questio11 \'v'Ot1lcl not have occurred; a11d (b) the relationsl1ip bet\veen the conduct and rest1lt satisfies a11y ad­ ditional causal reqttirements imposed b)' tl1e Code or by the la\v defining the offense.

1lvania L. Rev 793 (195 8). �sJ �en U. 106 Law l ina im Cr -43. Ry� Ca.usation .in f 4 4. As translated in Michael and Wechsler, Crin1znal Law 1293-1294;. see a1so oot11ores of Nino Levi concerning causation in the Italian Code, Micl1ael and _Wechsler, 1de111. 45. Proposed Official Draft; see also Comments on Tentar1v.e Draft No. 4 (1955) of chis provision in Paulsen and Kadish, Criminal Law 310-312.

,

128

TiiE :RIMINAL ACT

sult is an elem e re ar ul i� rt g � pa in us ca y �I in w 1o 1 k or tlt (2) Wl1e11 puriJosely element is 11ot esta�l1shed 1f tl1e actual result is tl1e not e, i1s offe an of r to ac e th les un n of 1o at s: pl em 11t :::0 e th or e os rp pu \'v'ithitl tl1e or e nt d co ne sig de at tl1 m )la fro m1 rs ffe di ted as lt su re al tu ac (a) tl1e n r� a ffe di at th t t ec sp e re th rs in pe 1ly 01 on' or , be ay . 01 se ca t11e e at tl1 th r or �u ed 1n ct fe af or y d 1re 1jt 1 or 1,arm i is ty Jer oJ pr nt differe e or m us en rio be se ve d ha t1l wo or more 1ed pla e1n 11t co or desigi1ed ; r d o se au c t 1a tl n 1a tl e v si n te x e y ur of or inj 1d m ki1 e l1ar sam tl1e as that es olv i11v ult res l ua act (b) tl1e ote , rem or too t n? is ac�id��tal in d an d late mp 11te co or d desig11e . its occt1rrence to l1ave a [Jt1st] bearing on the actor s l1ab1l1ty or on the gravity of l1is offense. 1 1tly causi 1 1g a par ticu lar result is an element lige neg or ' ss!) kle rec 1en Wl (3) of an offe11se, tl1e element ls 11ot establisl1ed if the actual result is not within tl1e risl{ of whicl1 the actor is awa re or, in tl1e case of negli­ ge11ce, of wl1ich lie shot1ld be aware ttnless: (a) tl1e actt1al rest1lt differs from the probable · result 011ly in tl1e respect tl1 at a differe11t person or different property is injured or affected or that the r-robable injury or l1arm would }1ave been more se.riot1s or more extensive than tl1at caused; or (b) tl1e actt1al result i11vol1ves the sa1ne ki11d of injury or l1arm as the IJrobable resttlt and is 11ot too remote or accidental in its occur­ re11ce to have a [just] jearing 011 the actor's liability or on tl1e gravity of l1is offense. (4) Wl1e11 causing a JJarticular result is a material element of an offense for w!1icl1 absolute liability is i 1 11posed by law, tl1e element is not establ1sl1ed unless tl1e actL1al rest1lt is a probable conseque11ce of the actor's co11duct. Qt1estions

1.

2. 3.

�l1a� rela_tio��l1i1� must exist bet\x,ee11 ''act'' a11d ''harm'' to co11stitute cr1m1nal l1ab�l1ty 111 Etl1i?pia? U1 1der Art. 24, mtist a prosec EtlliOIJia in ut or prove cat1sat1on to convict for forgery (Art. 383)? Ho� wotild you di5tinguisl1 ''cause'' fro111 ''co11d 11 ?· Is tl1e existe1 1ce of iti o1 1 a window tl1e cat1se or co11 d·1t·1011 of there be1· 11g · l1gl1t i 1 1 the room? · Coulcl tl1e horsema11 \X1l10 l1ad fai·1,ed t O 1· ns 111 . tl1e little JJoem fro 111 oor Richards Aln1ar1ac1Ject tl1e l1oofs of l1is 1nare t \V f l1i f cl e 1 le lo d ss to tl1 e o h fatherland be said to 1a a d tl1e. l�ss of tl1e fa�l1er_ land? Was the loss_ of tl1e fat l1erlai,d '' tl ie c ;: s� �: ce t 111s a i Is )? 24 t o ( n' s1o t. 11s r Ar on � e11ough to 1Jrove tl1at ''tile 1�5 ult ac t ed iev is _ac l1e f tl1e t nce o que 1se co1 d . or omissio 11 ' for leg al causat io:1 un er Art. 24? W ha t is Logoz' posit ion on tl1is question? . . \v'l1at is tl1e test of legal catisat . . � . . i on 1 1 1 �tl11�JJ1a? Ca n you g1,,e mean1n� to the \X!Ords ''i11 the normal cou rse of things ? Does tl1e term ''pres umed l1ave procedural sigiiificaiice? Logoz states tl1at the t 11eor o federal Tribt111al of S\X,itzeiYi i ,,Adequate cause'' l1as bee11 adopted b y th� aiic as M. J. Graven used tl1e tl1eo r)' 0 1

4.

f�

1

1

5.

CAUSATION

6.

7.

129

:'adequate cause'' in the P.C.E.? What do you understa11d to be the mean­ ing of ''adequate cau�e''? Does it differ st1bstantially from otl 1er t11eories _ n set out 1n � cat1sat1o Note l? Is it possible to qt1a11tify the verbalization � 1n the normal course of things''? Tl1e selection fron1 I--lart and I--Io11ore is co11cerned primarly witl1 an ''o?jectiv�'' theory· of adequacy.Many com1ne11tators have i11terpreted vo,1 Kries to 1ncorpc)rate a sttbjective eleme11t of fault or foreseeability in l1is tl1eory o� adequate cause:16 Do )'Oll tl1i11k it would be \vise to allo\v intent and r1egl1gence to enter tl1e questio11 of wl1etl1er certai11 activity \VOttld ''in tl1e normal cot1rse of tl1i11gs'' fJrodt1ce a certai11 rest1lt? Iv1a)'· a defe11dant be crirni11ally liable for a chai11 of cat1satio11 tl,at reacl1es beyond tl1at \vl1icl1 lie intended? See Art. 58 (3) P.C.E. Problem

Would the defe11dant, J-Ieigl10, i11 the followi11g case be co11sidered to l1ave cat1sed tl1e deall1 of tl1e 1notl1er -i11-law if tl1ese eve11ts l1ad tal<e11 place in Etl1iopia? . .. According to tl1e evide11ce, petitioner, ar1ned \Viti, a pistol and accompanied by 011e Miller, \ve11t to tl1e ho111e of 011e Barton to question the latter about remarl<s wl1icl1 lie \Vas sttpj)osecl to l1ave made derogatory to petitioner's cl1aracter. Petitioner rang Barton's door­ bell. Barton \Ve11t to tl1e door and, as l1e \vas aboL1t to ope11 it, tl1e cleceased, Barton's motlier-in-law, wl10 \Vas tl1e11 11ear l1i1n1 exclaimed, ''011 1 l1e !1as a gun." Barton opened tl1e door and \Vent 011 tl1e porch. After lie had denied that he had said anything about {Jetitioner tl1at \Vas untrue or not common talk, petitioner struclc l1im i11 the face \Vith l1is fist. Barton staggered and fell i11to tl1e screen door. WI1e11 he arose, petitio11er strt1ck him again a11d tl1ey cli11cl1ed. Barto11's wife separated the1n a11d orderecl petitio11er a11d Miller off tl1e pre111ises. Tl1e deceased \Vas tl1en at tl1e cloor crying, ''I-le will kill you. " Barto11 and his \x,ife \ve11t to her. She \Vas tl1en on her knees, apparently t1nable to rise. SI1e began spitti11g blood. A physician \Vas called, bttt \Vas t111able to l1elp her, and sl1e died \'('itl1i11 30 minutes from tl1e time that petitioner appeared on the scene. Tl1e physician \vho performed the post mortenz testitied tl1at she l1ad a11 aneurism of the asce11ding aorta, wl1ich had rt1ptt1red i11f'o tl1e superior vena cava, causi11g her death; and that excitement was 011e of tl1e tl1ree principal causes of such a result. At no time did j)etitioner attack or threaten the deceased. In re Heigl?o, 18 Idaho 566 (1910), United States. Would your answer be different under the statutory formulatio11s in Note 2?

b. Intervening Cause PENAL CODE Of ETHIOPIA Art. 24. - Relationsl?ip of Cause and Effect· •

•• •

•

(2)' Where there are co11current causes or in tl1e case of an intervening -t6.

See Mueller, Causing Criminal Harm, in Mue]l� r, Essays in Criminal Science 193-196 (1961); Ryu, Causation in Criminal Law, 106 U. Pe11nsydvan1A L. Rtv. 791-793 (1958).

CAUSATION

131

interve11ed, not produced by tl1e first \VOu11d or related to it i11 other tl1a11 a ca�t�al \vay, tl1en defendant is guilty of a l1omicide. But, if the \voundecl conditio11 011ly afforded an OpfJOrtt111ity for another t1nco1111ected fJerso11 to l<ill, def�ndant \VOttld not be gt1ilty of 3. ho111icide, even tl1ot1gl1 !1e l1ad i11flicted a mo1tal \vouncl. ln st1cl1 case, I thi11l<, it \'\IOtilcl be trtte tl1at tl1e defe11da11t \vas thus prevented fro1n l<illi11g. •

•

•

•

: : · \Yhy is it that 011e \vl10 i11flicts a \VOt111d 11ot n1ortal is gt1ilty of a l1om1c1de, tf tl1rougl1 n1isconclt1ct of tl1e patie11t or u11sl<ilful treat111e11t ga11gre11e or fever sets i11, JJroduci11g a fatal tern1i11ation, \Vl1en, if it ca11 be clearly made to �ppear tl1�t tl1e meclici11e, a11cl 11ot tl1e \VOt111d, \Vas tl1e cattse of tl1e cleath, l1e 1s 11ot guilty of a l1omicide? Ir1 eacl, case, if t\·1e \VOL111cl l1acl 11ot beer1, tl1e treatment would 11ot have bee,1 1 a11d tl1e 111a11 \vould 11ot tl1e11 l1ave died. 111 each case tl1e \VOL111d occasio11ed tl1e treatme11t \x1l1icl1 cat1secl or co11tribt1ted to the death. The reaso11, I thin!<, is fou11d it1 the \xrords aclvisedl)' t1sed i11 tl1e last sentence. I11 the 011e case tl1e treatn1e11t causecl the deatl1 a11d in tl1e otl1er it merely contribt1ted to it. 111 011e case the treat111e11t aggravated tl1e \':tOt111d, bt1t tl1e �ottnd tht1s aggravated jJrodt1cecl cleatl1. 111 tl1e otl1er tl1e \VOL111cl, tl1ot1gl1 tl1e occa­ s1011 of tl1e treat1ne11t, did 11ot co11tribL1te to tl1e cleatl1, \vl1icl1 occLtrred \vitl1ot!t a11y fJresent contribL1tio11 to tl1e 11att1ral effect of tl1e 111edicir1e fro111 tl1e \X'Ot111d. Take, for i11sta11ce, the giving of a dose of mor 1Jl1ine, by n1istake, st1fficie11t to end life at once. In st1cl1 case it is as obvious tl1at tl1e treat111ent 1Jrodt1cecl de�tl1 as it \vould have been l1ad tl1e 1Jl1ysician cttt off l1is JJatie11t's l1eacl. Bttt see People v. Cook, 39 l\1\icl1. 236. 111 tl1is case it ap1Jears tl1at clefe11cla11t l1acl i11flicted a da11gerot1s \VOt111d, bL1t it \Vas co11te11clecl b)' tl·1e defe11se tl1at cleatl1 \Vas caL1secl by a11 overdose of morJJl1i11e. Defer1cia11t askecl a11 i11strt1ctio11 as follo\vs: ''If tl1e jttf)' believe tl1at tl1e i11jt1ry i11flictecl by tl1e 1 Jriso11er \VOt1lcl have bee11 fatal, but if deatl1 \Vas actLtally 1Jroclt1cecl b)' r11or 1Jl1i11e 1 Joiso11i11g, tl1ey must acquit." Tl1e i11strt1ctio11 \Vas reft1secl, bttt tl,e jt1ry \,-'ere told tl1at if the \vound \vas not in itself mortal, and deatl1 \vas cat1sed solely b)' tl1e 111or­ phine, tl1ey mL1st acqLtit. Tl1e actio11 of tl1e trial coL1rt \V,lS st1stai11ecl 011 tl1e ground tl1at a 111ortal wot1ncl l1ad bee11 give11, \vl1icl1 11ecessitatecl n1eclical treat111e11t; tl1at tl1e IJl1ysicia11s \Vere con11Jete11t, a11cl acted i11 good faitl1; a11cl tl1at it \vas riot made clearly to a1Jpear tl1at tl1e n1or 1 Jl1i11e solely 1 Jrodt1ced deatl11 a11d tl1at tl1e \VOt111d did not at all co11tribute to tl1e deatl1 at tl1at tin1e. Under the autl1orities tl1is was eqL1ivalent to a finding tl1at tl1e \vou11d clid ,,ot contribute to the deatl1. Tl1is case differs from tl1at i11 tl1is: tl1at l1ere the intervening caL1se, \v'l1icl1 it is allegecl l1aste11ed deatl1, \'<'as 11ot medical treatn1e11t, desig11ed to be I1el1 JfL1l, a11d \Vl1icl1 tl1� deceasecl \Vas co111 1 Jelled to IJ�·octtre because of the wot111d, bLtt was a11 act 111te11decl to 1)roclL1ce cleatl1, a11d cl1cl 11ot result from tl1e first \'<'OLtnd in the 11atural course of evei1ts. Btit \V/e l1ave reached the co11clusion by a cot1r�e of argt11nent t111necessarily JJrolix, except from a desire to fully consider the earnest a11d able argument of tl1e clefe11cla11t, that the test is-or at least, 011e test-\'<'l1etl1er, \vl1e11 tl1e deatl1 occLirred, tl1e wottnd inflicted by t11e defe11cla11 t dicl_ contri bt1 te to tl1e eve1_1t. If it did, althot1gl1 other ii1derJender1t causes also co11tr1bt1ted, tl1e cat1sal relat1011 bet\veer1 tl1e tin­ \vl·1er1 tl1e lawful act of t11e defe11da11t and tl1e death has bee11 111acle OLtt. I Iere, throat was cut farrell was 11ot merely la11gt1isl1i11g fro1n a 111ortal \VOL111cl; lie was actually dying; and after the throat was ct1t lie co11ti11ued to la11guisl1 from both wounds. Drop by drop the life curre11t went OLtt fro1_11 b_otl1 \vOt111ds, and at the very instant of death tl1e guns_hot \VOL111d \vas contr1bt1t_111g to tl1e eve11t. If the lhroat-ct1tting had bee11 by a thrrcl pers011, L111�01111ect_ecl \Vtlh tl1e defe11cl�11t, he migl1t be gttilty; for, alt!1011gl1 a 11:an ca11not be l<1llecl t\vtc�, t\vo 1)ersor1� �ct1r1g· i11depet1de11tly, may contribute to 111s deatl1, a11d eacl1 be gt11lt)1 of a l101111c1cle. 1\

132

··rrlE CRIMINAi.. ACT

e is h if ir1 y d ; t, d u _ b le il e g from k b y 1a n d an , fe li i it perso i , d.Yinba is still e cont ribtited t� l1av to said be ly per pro y ma h bot , er anotl, b .. y 11 ve g1 d n \xrou l1is deatl1.... . d e r r u c n o c ., J J , d n la r a 1-Ie11sl1a\'<' a11d N\cf r

f R U O C E M E R P SU L RA E D E F N OERN\A 27 19 71of i tl is ec D te n& o Se al in nJ ri C 1st 41 7,) 92 (1 4 90 JD 679/26; 5i ]. W. 1 1i1 e itl tl1 lie \v t_ us m alm 1 1 re ai_ ch al 11s of ca e tl1 of ils ta de 1 . w1 110 ,k 111 The at th se e lo th sc di fen 11 de 10 111 op e th dant in th \xri ts fac l1e [T e. nc rie JJe ex commo11 \'v'as the constr11ctio11 ma11ager.] ...Accordino· to tl1e facts as 1ou11d by the trial court, as a result of the ?f th e ?n ati hi p:j loc oints. dis a red ffe stt R tim vic tl1e cl{ sta e ok s1n a of pse colla �d. et1z sth be D1!r111g or ane to l1ad l1e ts join tl1e ng etti re-s of es 1Jos fJt1r for after tl1e a11esthesia JJarts of the stomacl1 or moutl1 co1 1te11ts got 1 nto l11s lungs \vhicl1 tl1ere ca11sed a dist11rbance, wl1ich turned i11to a pulmonar)' inflamation a11d resulted ir1 tl1e cleatl1 of R. (So-called asJJiratio11 p11eumo11ia.) According to the iJOsitions tal{en i11 a li11e of decisions of tl1e S11preme Court, the co11ciete, 11ot tl1e abstract cot1rse must be viewed in a11}' consideration of tl1e causal cl1ai11 and its JJredictability. Of course, the predictability of every 011e of the cletails of tl1e concrete cot1rse of ev�nts is 1111importa11t. It st1ffices that even tl1e 11npredicted details of tl1e causal cl1ai11 are \xritl1in the realm of comn1on ex1Jerience....Vie\x,ed i11 tl1e light of tl1e Supreme Court decisio11s, tl1e reaso11ing of tl1e trial court on tl1e natter of JJredictability is u11assailable.The trial court does not restrict itself to mal<i11g a common-J)lace statement tl1at tl1e col_la1)se of � srnol<e s_ tack always n1ay l1arm a hu1na11 bei11g so severely that his deatl1 ts a11 easily JJred1ctable result.St1cl1 reasonina ,ve 0 \Vould not st1ffice as l1ave i11ti111ated.Ratl1e�, t�1e trial co11�t reaso11ed tl1at by co111111on exrJeri�nce the occurre11ce of an as1J1rat1on pne11mo11ia1 as a res11lt of anestl1esia is 11ot an event far ot1tside any co1111ection \'v'itl1 t l1e orio0·i11al ca11 se tl1e coll� 1Jse of the smol{e stacl<. And tl1e respo11sible �onstr11ction manaaer' m11st realize that in !l1e _case of sloppy con�trt1ctio11 an accid�11t \vith tl1e co1�sequences here discussed ts ltl{ely to occt1r. W_1tl1_ �11cl1 reaso111ng tl1e JJredictabilty of tl1e concret e coi,seqtiences l�as �een Jur1d1cally prorJerl)' deter111i11ed.If tl1e ap1Jella11t seel<s to asser_t tl1at as1J1rat1011 p11et1n1oni� is sticli a rare oc cti rreiic tl, nobody need at e co11s1der _s11cl1 _a l1aJJpe11-stance, 1t 1 11erely OfJJJoses a tl,e trial b) ' de fac te rm t in ed cot1rt \vl11cl1 binds tl1e apJJellate tribun al. Questions

1.

W ot1ld it be prorJer under A�·t; ? t oa 4 ·, to tl1r co11sider of act Farrell's ct1tti11g as a11 ''ii ,tervenitig· a i e , tter 1na e i� e D . ? r'!' o sup s _ s wi oe Le v pl P_ ' � , . � wl1 etl1er an intervenitl g catts accide11tal act? How \VOt ild ��teco151d�red as an 111tent1011al, negl1ge11t 1°r 1� ewis � e_ r case 1111d be disposed of P.C. E.? I -lo\v wotild yott deal . witl, niore extre1ne sitt1ations of a s1rn ilat type such as tl1e follo\vii ,g:

4 7. Translation, Mueller, ComJJarative Cr1m1na1 . . Law 84-85 (1960).

CAUS·ATION

133

The defendant in the nighttime fo11gl1t with his \vife, and beat her severely. She left to go to tl1e l1ome of l1er father. Wl1e11 sl1e reachecl a point a�out two hundred yards from her father's house, she for some reason, did not want to go in tl1e l1ouse until morning, laid down on a bed cover, which she had \Vrapped about 11er, till claylight.The weather \Vas cold a11d the next n1orning s11e could 11ot \val!(, nor mal<e herself kno\vn. She afterwards died.... State v. Preslar, 48 Nortl1 Carolina 421 (1856), United States. 2. Would the defenda11t in the above German case be l1eld to l1ave cattsed death tt11der Art. 24? Do tl1e \Vords ''in itself st1fficient11 exclt1de a11y co11sideratior1 of the origi11al \VOL111d or offe11se? If A \Y/Ot111ded B a11d B \Vas 90% dead \vhe11 C added tl1e extra 10% to cause deat\1 could C's wo1111d be said to be ''in itself sufficie11t to IJrodttce t\1e rest1lt''? 3. Assuming that the original \x,ottnd \x,ould l1ave cat1sed deatl, 1 is it \vise to exc11se tl1e original offe11der fro1n liabilit)' for l10111icide becat1se a second wot111d was inflictecl \Vl1icl1 l1astened cleatl1? If tl1e cot1rt hacl l1eld cliffere11tly in tl1e Le·1.vis case, fi11di11g interve11ing cause, \VOttld it cl1a11ge the �seft1lness of fJt111isl1ing Le\vis for l1omicide? Wl1at is tl1e correct disposi­ tion under tl1e P.C.E. of a11 origi11al offe11der \xrl10 \v'Ottld l1ave caused death if an extra11eous cause 11ad not interver1ed? Problems

Decide each the follo\ving cases ttnder the tests of Art. 24: a. A11 adult gives a Ioacled gttn to a six year olcl cl1ild wl10 JJulls t\·1e trigger l<illing a b)1sta11der. b. A man is shot and l<illed by t\XtO bullets e11teri11g vital parts of his body at tl1e same instant. c. X wot111ds V, tl1e 11or111al course of sucl1 woL111d t1st1ally JJroclt1ci11g cleatl1. V is tal<e11 to tl1e 11earest l10s1Jital \X1l1ere a doctor treats the \vound neglige11tly allowi11g ir1fectio11 to set in, \vhich bri11gs abot1t death sooner than it wottld have occurred from X's \VOt111d. d. A man is injured by t\VO \VOttnds neitl1er by itself capable of {Jroducing deatl1. Tl1e effect of botl1 togetl1er 110\vever does rest1lt in deatl1. e. D set fire to T's tt1l<ul \Vitl1 i11te11t to bt1rn tl1e l1011se. All persons escaped from the tukul, but 011e n1a11, mist�l<e11l� �el�eving a cl1il� \v;as left behind, re-entered tl1e house and rece1vecl 1nJLtr1es from wh1cl1 he later died. Recommended Readings

e, rly siv ola 1en sch rel mp 59) (co (19 4 -36 292 Law the in tion usa Ca e, and nor Ho Hart material on causation in cri111inal law). Hall, General Principles of Criminal Law 247-296 (excellent treatme11t of cattsation and its case law). Ryu, Causation in Criminal Law, 106 _U. Pe:znsylv_aniti L. Rev. 773-805 (1958) (excellent philosophical and historical discussion of the roots of the con­ cept of causation in penal law; n.. b. Ryu's preferred ''teleologica.l theory'' at p. 796 ff.).

134

THE C1IMINAL ACT

ien.c e 169 Sc l a in m ri C r le iri el s u ay M ss E 1 , i1 , 1n ar 2 1 H l 1a i1 m ri C ti g si 4 au C · er ll m lv\tte m e th th o o b co n in o ti sa f u o ca n i ss 11 and cu o is d h g u ro o th d ( 19 61 l (goo b 0 p. at 20 " ry ). eo tic ff. th is al in "f d re er ef pr r's lle ue civil law; n. . M . o i of w la 1e t tl ca t g u t o in se r ti sa � ch t ap t � r h n (s _ o 111 8_ 17 616 l ert P it ro D Merle, � e ) at se u u ca . eq f o 11 ad 10 ss cu _ 1s d a g 1n d t1 cl 1n , French cr1m111al }a\xr o s se d ca an ng ti es er n nt (i 14 4te 12 8 s au L al in m con­ ri C r, le l1s ec W lv\icliael a11d cer11ing cat1satio11). n io ct le ol (c 3; of 96 (1 2 . Pt 9, -6 58 ric r Af t u an ed oc Pr id a, w La al 12 i im Cr Seidtnan, cases 011 cat1sation). ry eo e tl1 of th of g i lin ox pr 11d l1a e t:s ea mate (tr 0 65 659 w La l ina inz Cr Perl<ins, cause i11 tl1e common la\xr). •

•

Cl-JAPTER 8

C1¡in1inal Guilt: The Mental Eleme11t SECTION

A.

CRIMINAL INTfNT

a. Direct Intention PENAL CODE Of ETJ-IIOPJA

Art. 58.

Cri,nincil lr1te11tio11.

(1) A person inte11tio11ally comtnits an offe11ce \vl1e11 lie fJerforms a11

11r1la\vft1I a11d p1111isl1able act \vitl1 ft1ll !(110\vledge a11d i11te11t. . .. . ,.

TI-IE SOURCES Of TliE LAW

Im jJerial Cod ificatio11 Co1n111issio11 of Ethio1Jia Cielpabilite i11tentio11.nelle.

Art. 58.

( 1) Co tn rnet in te11 tio1111el le111 e11t u11e i11-fractio11 eel ui q tl i agit avec la

conscience et la volo11te d'accon1plir t111 acte illiciie et pt111issable et d'en obtenir le resultat. . ..

.

.

Code Penal Suisse Art. 18. - Intention et negligerzce. Sauf disposition exrJresse et co11traire de Ia loi, est seul pt1nissable celui qui commet intentio11nellement un critne 011 u11 delit. Celt1i-la commet irite11tionnellement un crime ou un delit, qui le commet avec co11science et volonte. Penal Code of Switzerla11d 1 Art. 18.

Intent and Negligence.

If the law does not explicitly provide otl1erwise, a perso11 is pttnishable only if he commits a felony or misclemea11or \xrith intent. Whoever 1.

Translation, Friedlander and Goldberg, 30

J.

Crim. L. Cri,n. and Pol. Sci., Stipp. (1939).

CRJMINAL GUILT

136

a felo11y or inisde­ s it m ly m ng co li il w 1d a1 ly 1g i1 w t1o k corntnits an act n1ea11or \'Xfitl1 inteiit. 2 A L W L A N E S P IS W S N IN IO T N E T IN CT E IR D Pa1,1l Logoz

: 1e 1ts 01 e1 n te em in el o tw of n d tio se 1)o 1n ally co is 11 io 11t te iii Otiilt by e' e et nt ' 1c lo e1 vo s . 11 ci . co ec . av '' it . s it 1n 1n co e li 11 he \v e ns fe of 1 a1 co1 111;1it; ly t e on e 1:o ud th cl in t us im m cr '' ce e11 ci in al 1 s 1 o ''c .. . e m l1e sc s i tl Withiti i le ab e to ic tl1 pl ap be so l al su t s re 11 1n t : bu of , er 1d 1 fe of e tl1 of 11s io iss om or acts sality . b_etween tl1e act u ca y ar ss ce 11e _ e tl1 to o s al ly nt ue eq 11s co d tlie activity (an ry 1u rm 1n l1a or or lt st1 pl 1 re acing 1 1 rta ce a e, s ca e tl1 11 te of is s a if, ) ult s re and e. 11s fe of e th of s t en em el e tl1 of 1e 1 0 s i er 11g ir1 da s t will not only t11e n1u e t on tl1a in ' te' lon ''vo for aid s be y ma e am s Tl1e cri1ninal activity, but the res11lt as well. •

•

•

•

•

•

It must be reme1 11bered, tl1erefore, that i11 eacl1 case, it is tl1e exact defini­ tion of tl1e offe11 se in tl1e S1Jecial Part of the Code wl1ich determines the nat11re a11d object of tl1e i11te11tio1 1. To constitute guilt by inte11tio11, it i s not necessary tl1at the actor be aware tl1at l1e is co1111nitti11g a fJt1 nisl1able act, 11or .... tl1at he be a,-qare of the rele­ va1 1t penal fJrovision.lg11ora11ce in tl�is regarcl i s ... irreleva11t. •

•

I11tentio11 al so exists wl1en tl1e :1.ctor believes tl1e result certai11 and co11scio11sl)' acce1Jts it as a 11ecessary con seque11ce of l1is act.

. . . ..

�l1u? if 01 1 a street, A throws a sto11e at B's \vindo\xr i 11 order to l1it B ,vl10_ ts . 11! the room! the . t,x,o res 11ltii1g da111ages - tl1at to tl1e }Jroperty and bodily 1111ury - are 1ntent1oi1al. BA NOVIT CH ,,

COMMON\VEALTli

Supreme Court o} Virginia, 196 Va. 210 (1954) Uniled States

BU Cii ANAN, J.· · · Atl i _tidictme11t tinder tl1e n1ai1nina s tat t1te Sect O ' • 18• 70 of the Code, was retL1r11ed against th, e de.fer1dai,t , J osepl1 E. Ba1 1ovitcl1, cl1arg1n g tl1at i11 J11ly, 1952, lie 11111awfullY ma.1e _an assault on Lucy and Ha zle wo L. od by the use of cer tain sal e a 1 1 1c i es 11 11la ry, ju in i ly l�y di fu ed bo �s er l ca \X, , � 1f�; ! J,c n l �' ,vitl1 tl1e i11tent to mait� d 1 · t1 ,e 11e r. ?•1 l1� s tr ia l t? � j�try he \Va,� . nt, f �und �ttilty of 1111tawfttl \VOttti J�11_ ::. ,i as cl a ed i 1 11 tl1e w1 th1 11 11 1d 1ct1ne i _ � g . his fJt1!11sl1me11 t fixed at five years 1 tl e ce d ten pen1tent1 se ary and was he n accordingly. On this appeal he a11eg�i...� t� · 1 1 1at error_was co1n1nitted... i11 holdi11g the evidence to be sufficietit to sus t11 t11e verdict · · · · Defe11dant claimed to be a ined :cal c ra . �o ct or bt tt to wa s ec no l s t lice11 p tice in Virginia ....[I-I]e made a dv _ medici11e for tl1 e treatinent of c ' ce ei tised a1 1d sold, a1no11g otl1er thi11gs , a u i {. �t, remedy co11sisted of tl, ree salve w 11c lder a registered trade-1 nark.Tl1e can cer2 h lie called Blacl< Devil No. 1, N o . 2.

Logoz, Commcntaire du Code Penal (' ,.JUls. se . 6,,.(-6 5.

INTEN·r

137

Or�en and No.3 Brown.An advertiseme11t or label was introduced sl1owing a p1ctu�e of defendant, stating tl1e co11te11ts of tl1e salves a11d giving directions for their 1:1se.The JJri11ted directions were tliese: ''P11t Cancer Ointme11t (No. �) on a piece of ba11dage 1 /4 of an i11cl1 tl1icl<, size to cover tl1e ca11cer.Leave tt 011 for 24 l1011rs. Remove a11d a1JtJly Oree11 Salve (No.2) i11 tl1e san1e ma11ner eve:y 24 l1ours u11til the cancer starts to ru11, tl1e11 aJJply 3 or 4 tin1es a day t1nt1l t_l1e ca11cer drops 011t.No\v a1Jply I IealinoSalve (No. 3) 011 ba11dage 3 or 4 times a day.The ofte11er yott clress tl1e sore the q11icl<er it will l1eal.'' . . . I 11 Febr11ary or N\arcl11 1952, lvliss I l- azlewood visited tl1e defe11da11t a11d to�d l1i1n sl1e l1ad ca11cer....Abo11t tl1e last of J1111e or first of Jul}', 1952, Miss Hazlewood \Vent to defe11da11t's l1ome and told l1i111, accorcli11g· to l1is statement to tl1e officers, tl,at sl1e l1ad ca11cer of tl1e 11ose....I-Iis 111etl1od of diagnosis, he said, \Vas to a1Jply tl1e Blacl< Devil No.1 salve and if tl1at caL1sed itching then cancer \Vas prese11t.·r11is treat111e11t Iastecl five or six \veel<s, during \Vhicl1 period tl1e defenda11t lived for tl1e 111ost JJart i11 tl1e I-Iazlewoocl l1ome and \Vas i11 Miss Hazle\vood ' s room ofte11, alo11g \vitl1 111e1nbers of l1er fa111ily. Some three weel<s after tl1e treatme11ts bega11 tl1e defe11da11t ancl Jv1iss I-Iazle\vood became engaged to be married. He gave l1er a11 e11gageme11t ri11g....Miss J-Iazlewood died on N\ay 19, 1953, after tl1e indictme11t but before the trial, from a cause not sl1own in the record. Defe11da11t's descriJJtio11 of tl1e treat111e11t, as made to tl1e officers, \Vas tl1at l1e first fJUt tl1e Black Devil No. 1 salve 011 lv\iss Hazle,vood's nose a11d l<e1Jt it on for eight l1ours; tl1en lie IJUt 011 ll1e No.2 Oree11 salve a11cl \vl1e11 the cancer came out }1e put tl1e No.3 Bro\vt1 salve 0111 and \x1l1en it l1ealed jJart of her nose was 1nissing. I-Ier sister said lier 11ose \Vas IJracticall}' gone.... An analysis of the salves used by tl1e clefe11da11t 011 Miss I-Iazle\'\'Oocl sl10\vecl tl1at Black Devil No. 1 co11tai11ed a large ar11ot111t of zi11c cl1loride, a stro11g corrosive chemical t}1at \vould eat tiss11e, flesl1 or eve11 1netal." Its con1111on use is as a flux to clea11 metal prior to solclering. No. 2 Oree11 consisted of animal fat and \Vax. No. 3 Bro\v11 contained carbolic acid, also a corrosive when in pure forn1.... The medical testimony \Vas tl1at tl1e dictg11osis of cancer by tl1e 11se of tl1is salve \Vas in1possible and tl1e treat1ne�t of �ancer by t}1e apfJlication of these salves \Vas not ap1Jroved or recog111zed 1n tl1e medical profession. 11

On November 131 1952, tl1e defenda11t 1Jrese11ted to tl1e Ba11l< of LL111enburg and cashed a cl1eck drawn by Miss Iiazle\x,ood a11d payable to l1i1n in tl1e sum of $3 384.36 whicl1 was all the money sl1e l1ad in lier checl.;:ing acco1111t at that time.'Tl1ere was no explanation of tl1is checl< in tl1e evidence.... Microscopic examinatio11 of tiss11e tal<e11 from. tl1e 11ose of Miss I-Iazle\vood after her death disclosed 110 evidence of a11y mal1g11a11cy.... At tl1e conclu­ sion of the evidence tl1e co11rt instructed tl1e jury \vitl1011t objectio11 tl1at if the defendant applied the salve to Miss Hazle\vood \Vith a corrLtpt a11d evil intent of maiming or disfiguring her perma11ently, and.11ot as a cLtre for _ so_me disease he may have thought she h_ad, tl1en he \Vas gt11Ity of t111la\vft1l ma11n111g as charged i11 the indictment. The Jury were also told tl1at tl1e Co1n1nor1\vealtl1 must prove beyond a reasonable dott�t tl1at. tl1e defe11da1!t tnade a11 assa11lt upon /v\iss Hazlewood ''with the partrc_ular 111te11t to maim �r JJerma11e11tly disfigure her before he can be found guilty of unlawful \Vound111g· as charged in the indictment."

Cl�ll\lINAL GUilT

138

l i w ey th 1d is a1 11s co e se tl1 of ca t l w 1 tl itl tn ,t ca <: be � l1e 7, 1- l,ese itlstrtictions 76 a. V , 4 h 13 lt ea . w n o 1m n l er o ac C l v 1 11 < T � t1 l1 T 77 � 01 ]. ic [s cl ii la ie tl f \v o la sa1cl: is it 505, 114 S. E. 504, ''Wliei1 a stattite 111al<es a!1 offen_se . to co11sist of a11 act com bitied . 1·ti 1 a iJartic1,1Jar ii1te11t, tl1at 111 te11t 1s Just as 11ecessary to be proved as ct itself ai,d 111t1st be fou11d as a 1natter of fact before _a co1 1viction c��1 �e liad; 'ai,cl 110 i11te11t i11 la\v or mere legal fJresun11Jt1011, differing froi,, tlie iiite11t i 1 1 fact, c,1r1 be allo\vecl to SLlfJply tl1e place of the latter." at es tl1 id if ov y perso n jJr e, an t1t at st g 11 i 111 ai 111 e tl1 , de Co e tl1 of 0 -7 18 Sectioi, r, or he y b _ o� a!1 1d 1 y _L1 a11 \VO 1 or t ct mean s �, sta t oo sl1 ly ul \vf ila tti 1 or n,aliciously e, t1r ble -f1g isa _ d d1s , 111! or kill 1na to t en 111t tl1e tl1 \X1i )', ttr J inj y dil bo cause ii111 1 _ 11 I-Iarr1s v. Con1111 on­ �s. r1b e�c r fJ e tt1t sta tl1e as d l1e J iiin, lie sliall be JJU11is !e trL he d: ''T sai purpose and 1s 1 t_ 5, 35 4, 35 E. S. 142 , 585 , 580 . Va \vealtl1, 150 1nea11 i 11 g of tl1e statt1te \x,as dot1 ttless co11ce1ved to be _to def111e . and pu11ish d e ere dem 1s1d co1 m1s n bee re a11ors ofo ret tl1e l1ad icl1 wl1 s act se tl1o 1 ies i felo ;:is us nio tl1e s felo \va re tl1e intent t tl1a ecl Jear ap1 also it ere wl1 es cas se tl1o ir1 oi1ly to 111aim, disfigt1re, disable, or l<ill."

�T

Proof of tl1e specific i11tent is 11ecessary to a co11viction 1111der the statute. ... Tl1e specific i 11 te11t may, lil<e a11y otl1er fact, be sl10\v11 by circL1mstances. J11 te11t is a state of 11 1i11 d \xrl1icl1 can be evide11 ced 0111)' b) r tl1e \vord or co11duct of tl1e 1Jerso11 \X1l10 is clai111ed to l1ave e11 tertai11ecl it. Tl1t1s \xrl1en a person \vitl1out a11y 1Jrovocatio11 stril<es a.11 otl1er \Viti, a deadly weapon or thro\xrs a corrosive acicl in l1is face a11d tl1ereb)' 111ain1s or disfigt1res l1im, lie is 1Jrest1med to l1ave i11te11ded to 111aim or disfig11re becat1se tl1at \XJas the 11 att1ral and probable co11seqt1e11ce of l1is a:t. I-lo\vever, a11 i11te11t to 1nai1n or disfigLtre ca11 11ot be 11rest1111ed fro111 an act \X'l1 icl1 does 11ot 11att1rall)' bespeak st1ch i11tent. Tl1e color of tl1e act determi11es tl1 e com1Jlexio11 of tl1e inte11 t onl)' i11 those sitt1atio11 s \xrl1 ere co11 1mo11 ex11erie11ce l1as fot111d a reliable correlatio11 between a 11artict1lar act and a correspo11 ding i11te11t." I-Iubbard v. United States (9t11 Cir.), 79 f. (2d) 850, 853 .... 11

It is argLted for tl1e Co111mo11\vealtl1 tl1at tl1e n1otive of tl1e defenda11t for c?11'.111itti11g tl1e cri111e charged agai11st l1i111 \Xlas to obtai11 11101,e)' fron1 his v1ct 1 1�1 . To co11cecle tl1at tl1e evide11ce establisl1es st1cl1 a 111otive is not to say tl1at it also IJroves i11 te11t. N\oti,,e is tl1e n1ovi11 0- cat1se wl1 icl1 indu ces action, \x,\1 ile i 1 1tent is_ tl1e f)t1r1Jose to ttse a JJartict1l�r 1nea11s to effect a defi11ite re�ttlt. Tl1e ev1cle11ce d?es s110\v tl1at tl1e defe11dar1t obtained n1011e)' f�otn Mis; .I:�zle\voocl, �Lit 1t cloe? 11ot s1 10\v \xrl1y it \xras give11. At tl1at t1 111e !l1 e1 \�ei e e11g�ged to be 1�1arr1ecl 1 1 1d l1e l1ad bot1gl1t prOJJert)' i11 tl1e coL11 1t ) ' in \Yili,cli sl1e_ lived. If ar1y 111ferencE ca11 be dra\,,11 fron1 tl1is tra11sactio11 it \x,ould be inore logical to st11J1Jose tl1at tl·e 1110 1 1ey \x,as to l1elp J)ay for tl1e f)fO!Jerty. It woLtld , L1e r�11 l< s1)ec�1latio11 �o _ c o 11 clt1de tl1at it JJro\res a pla11 or pt1rrJose on defenda11t s jJat t to 111,11n1 or cl1sf1gure Miss I-Iazle\xrood. 1 e tr atnieiits li�d bee11 over for 1 fot 1r n1o r1tl1s \xrl1e1 � , 1 tlie c iec \: le aiid M1ss I Iaz - le\vo

tl1e defe11dant receive d ocl \xrere tl1e11 e11 ga o-ed to be married and for �1� ::,e i vicleiice slio\xr s tl1 at e11gag·E111 e11t co11ti11t1ed t�1 til it was ended by Iler e 1· .f�e11 . inotitlis after tlie trea1 n1e11 ts we to re � co 1 1 clt1ded l1e we11t witl1 lier a' iospi a 111 Nortl, Carolirla a11 :l stay r o s ek \xre ed \X1 itl 1 lier dt11·1· 11 00- tl1e ·t\XIO · n1ore sl1e \xras tl1ere. WI11·1_e � I ie was · e1ne � 1t 111 tl1e l10s eng 1J_ i tal ag sl1e tl1e gav e ring to lier 111otl1 er b LIt. it 1�. 110t e th o sl,o t \x _ r i1 . <_ tl1a t 1t was e\1er g·ive11 bacl defe11claiit. It is Sliowii tliat aftet she retL1r11ed fro111 tl1e l1 os1Jital l1e visited 11er 1

1

INTENT

139

irt l1er l1on1e and tl1eir relations to each otl1er ap1Jare11tly did 11ot cl1a11ge ttp to the time of her death. _TI,e evidence i11 tl1is case does 11ot fur11ish JJroof...that tl1e defenda11t applte� the salves to tl1e JJerso11 of Miss J-lazlewoocl witl1 tl1e s1Jecific i11te11t to maim or disfigttre her, nor does it JJrese11t facts fro1n \Vl1icl1 sttch i11te11t may _pr_operly be presun1ed. For tl1e abse11ce of that )Jroof tl1e jt1dg1nent of conv1ct1011 of ttnla\vful \VOttndi11g 1nt1st be reversed .... For tl1e reasons stated tl1e jt1dg111ent belo\v is reversed a11d tl1e case is rema11ded for a ne\v trial on charo·bes of assa11lt and battery if tl1e Co1nmon' \V ealtl1 be so advised • Reversed and re111a11decl. NOT ES

Note 1:

The Ethiopian Concept ot Intent in Historical Perspective

Fetha Nagast, IIomicide and Its Corporal a11d S 1 Jirit11al Pt111isl1tne11t3 Co11cerning 011e \vl10 l1as no inte11tio11 to l<ill 11or to bea.t anotl1er; �is intention, in fact, being directed to tl1e l<illi11g of a \Vild a11itnal or tl,e beat­ ing of a beast. If st1cl1 ar1 ir1dividt1al l1afJfJer1s to l<ill a l1t1ma11 bei11g, tl1e consideratio11 of l1is case falls i11to t\xrO (Jarts.Tl,e first fJart co11cerns tl1e l<iller wl10 k11ows tl1at a11 accicle11t may occt1r ...as \vl1e11 011e sl1oots clll arro\v at a bird or a \xr ild animal that l1as ru11 a111011g jJeo1Jle 111 tl1e middle of a to\xr11. This 1nan, si11ce his main i11te11tio11 \xras 11ot to l<ill a fJerso11, ...sl1all be j11dged as 011e \Vho l<illed i11volL111tarily ...a11d l1is g11ilt is less tl1a11 01,e \xrl10 1nurders ar1other.Similar cases are tl1ose ir1\rolvi11g top1Jli11g· \Valls, ill-11att1red slaves, beasts which kill, mt1les and ca111els \xrl1icl1 l<icl< a11d oxen \vl·1ich \X10t111d people by use of l1orns \xrl1e11 tl1e ow11er does 11ot tal<e due care 11or provicle proper war11i11g. Tl1e Jv\osaic la\xr at tl1e e11d of tl·1e Cl1a1Jter correspo11di11g to Abtelis 38 ft1rtl1er provides a si1nilar jJL1r1isl1n1e11t for tl1ose \Vl10 dig a \Vell i11 the street witl1out coveri11g it or \vl10 mal<e stefJS for external t1se \vitl1011t building a raili110-. Tl1e second fJart co11cer11s jJeOjJle \Vl10 do 11ot l<tlO\V tl1at they can cause deatl1, as one who, witl1 i11tentio11 to beat a beast, beats a ma11 accidentally \vl1om lie did riot see or shoots i11 a desert or lets a wall fall upon someo11e tl1inkir1g tl1at it \vas stro11g. Tl1e fJL111isl1111ent of tl1e ma11 w J10 beats or shoots is to be exiled; tl1e n1a11 who had no ill-11atured slave nor dangero11s beasts . � or \vas tl1e . \-x1. ell i11 the street nor the steps delapidated has 110 resrJ011sib1l1ty beyo11cl g1v1ng tl1e servant or tl1e beast to to the relatives of tl1e inj t1recl fJerso11. Part IX:

Per1al Code of Ethiopia (1930) 4 Art. 14. Among the peoJJle of the prese11t da)', tl1e n1en wl10 do \vro1:1g 1111.i11t­ e11tionally are more in nttmber tl1a11 the me11 \vl10.clo \vro11g 1nte11t1011e11t shall 11ot be ally ar1d so it is 011r purJJose tl1at a severe fJL1111sl1m r itl1out }' onall \x te11ti uni11 esti1natir1g his 1g wro1 do11e l1as giv�n to a ma11 wl10 3. Chap. XLVII.

4.

. · ·t,

�

Preface.

CRIMINAL GUii_ T

140

ee w b et 1 a i_n� 11 \'<' 0 1 l1 s 1i_ g i11 d to se ist o u 1rp t JL r o is i it 11 L1ndersta11cli11g. Also s u l l 1 an d t lf .. 1 o t t w l s Y, ac . 0 11 1 d o o 1 w 11 c n sti a � 1n h g i l, . acts \XtilfLtll aiid ai,other J an tn a11d) 111te11t1onally ury wh X, · Y is do1e (? 1 \ hicl · J· u i icli y n 1 15 . be t\XIee 1 1 a11 , se o t rp 11 JJU f 10 1 · o by sud den \X 0 r l<, wtt e dl 1d n1 e 1 tl 11 i y ll na io i,t te i, ni u doi,e 1 l11 ess. L tf e g r fo y b d ti a t i, e id acc 1

Art. 15. 1 \vs mu ch sl1all be 0 <1 l o h w t he tl1a el srJ Oo e 1 tl i11 d sai Our Lord 1,as 11 ow s little sl1 all be JJU 1 iisl1 ed little . (St. k 0 1 \vl lie t bti , tcl mt JJunisl,ed L11l<e, 12, 47 .) Note 2: ''Mens Rea'' Tlie terin ''nie11s rea'' is ofte11 fDttnd i 11 tl1 e literature concerni1 1g criminal gtiilt. Altliougl1 it is imJJorta11 t to u11dersta11d tl1 e mea11in� o� . tl1 is maxim, its 11se is qt1ite detri1ne 11tal to the developrr:i�11t of a sc1ent1f 1 c nome11cla­ t11re wl 1 icl1 fits moder 11 social a11 d legal real1t1es. Tlie \X1ords ''mens rea" co11 11ote a u11 ifor111, g11ilty mi11d a11d im(Jly, as \Vas widely tho11ght in the 1 1ineteentl1 ce11tt1ry, tl1at 111e11 freely will tl1 eir cri111e�. Modern soci?logical evidence is raJJidly clisJJrovi11g tl1is co11te11 tio 11 a11d requires ne\v terminolog y tliat acc1 1 rately expresses tlie exact 111e11tal state in q11estio11 . Each cri1ne in the S1Jecial Part of tlie Penal Code defines tl1 e type of intetit proscribed a1 id it is to tl1is precise inte11t tl1at refere 11ce sl1011ld be 1nade and 1 1ot to tl1e all inclusive legal maxi ni ''mens rea''. Co11sider tl1e follo\vi11g statement 111acle sevent)r-fi\,e years ago by one of E11gla11d's 11iost fa1i1 011s judges: ... Tl1011 gl1 tl1is JJlirase (niJn esc re1-ts, riisi 1nens sit rea) is in cotnmon 11se, I tl1i1�l< it . n1ost L1 nfort1 1 11ate, a11 cl 1 1ot 011ly lil<ely to 1 nislead, but. act1 1 ally 1111slead 1 11g, 011 tl1e follc\vi1 1g gro1111ds. It 11aturally st1ggests tl,at, apart fron1 all fJarticL 1 lar defi11itions of cri1nes, st 1 cl1 a tl1 i 1 ig exists as a '.'tnens rea:', or ''g11iltJ, _11�i�d'', \X1l1i�li _is al\Va)'S expressl)' or b )' i111plicati on 11ivolvecl 111 everJ, d�f1n1t1011. !!·11s 1s obvioL1sly 11 ot tlie case, for tl1e 1 ne11tal ele1i1e11ts of d1ffe:e1it crimes differ \Videly. ''M ens rea'' 111eans, in the case ?f n1urder, n1al1ce aforetlio11 gl1 t; in tl1e case of tl1eft, an inte11tio n to _ steal; 111 tl1e �ase of rape, an i11te11tion to l1ave forcible co11nectio 11 \Vttl1 a \V01i1a11 \v1tliot1t lier co11se11t; atid i11 tl,e case of receivi1 1g stolen goods� 1< 1 10\vl_edge tl1at tl1e goocs \Vere stole11. 1 11 son,e case it de11otes s !nere 1 11atte1it1on. fo: insta11ce, in tl·1e case of 111ai,slat e e n ne gl i ta by l,t er o· c 1t 1nay 1:ie�11 _forgett1 1 1g to 11o!ic: a sig·1 1al. It a J Jear s �o iif tt sina to c�ll so l I !na11y d1ss1 1111la: states of 111 1 r1d by 011e 11a11 1 e. It seeiiis ;ontradictory 1n9eecl to desc1�1be_ a n1er� a?sei!ce of 11 1ii,d )' gL til t as a or ''t re iie a' tis ', 1n11id. Tlie exp1 ess1011 aga111 1s lil<ely to at an ,d · T o ft 11 d d I o e 1 �nlegal r1 1i11d it st1ggests tl1at by :lie la\v of' E 0·� � 11 b 11 no a :t /� � �:in�e \X1l1icl1 1s co l ne f ro111 laL1dable 1noti\res' 111 . esse11 t1a . 111oral.1ty 1s ·I · 0tl1e1. \'<'Or ds, tl1at 11n to criine.s Questions 1. 5.

Eval11ate tl1e follo\vi110- co11c1 Ltsions dra\v11 fro1n Arts.57 a1 1d 58 : Stephen, J., Queen v. Tolson ?3 Q · B · D · 1)5 , ) · 18 b

6 ( 1889).

141

INTENT

A crin1i1 1al act (Art. 23 ff.) fJlus gt1 ilt (Art. 57 ff.) (ass11111i11 g ca11satio1 1) res11lts i1 1 crin1inal liability exce1Jt i11 tl1ose cases wl1ere irresrJ01 1sibility (Arts. 48-58) or legal justificatio11 or exc11se (Arts. 64-78) ap1Jlies.

2. 3.

Criminal g11ilt eq11als cri1 11i11al i11 tentio11 or cri111i11al 11eglige1 1ce (a11d tl1erefore exclt1cles force 111aje11 re or acciclent). I··Io\v is cri1ni11al i11tent de-fi11ed i11 Art 58? Usi11g tl1e first clefi11ition, are botl1 1'fttll 1<110\'(lledge'' and ''i11 te11t'' req11 irecl for liability? Tl1e \X'Ords ''full 1<110\vledge a11cl i11te11t" i1 1 f\rt. 58 (1) were tra11 slated fro111 tl1e fre11cl1 l.z co,1scie11ce et lei ·volorite \xrl1icl1 a1J1Jears i11 botl1 tl1e Etl1 io1)ia1 1 Ava1 1t- 1Jrojet ancl the Pe11al Code of S\vitzerla11cl. I-las Art. 58 fJro1)erly translated t�1is fre11 cl1 tern1i1 1ology? I-lo\v did frieclla11cler a1 1cl Oolclberg render tl1ese terms? 1\re there otl1er cliscreJJancies bet\vee11 tl1e fre11cl1 a1 1cl Er1 glish versio1 1s of 1-\rt. 58 (1)?

4.

What tyrJe of ''k1 10\vledge'' is requirecl by f\rt 58? lvl11st 1<1 10\vledge exte11 d beyond acts to tl1e res11lts of activity? M11 st 01 1e l1ave 1<110\vledge tl1at his acts are illegal? Is tl1e ''f11 ll k1 10\xrledo· req11 ire111e11t a11otl1er \xray of stat 0 e'' ir1g Art. 76?

5.

\Vhat is tl1e mea11 i1 1g of tl1e \Vord ''i11te11 t'' or ' \X1illi11gly'' as otl1er translatio1 1s re1 1cler it? M11st ''inte11t'' or '\vill1 exte11cl to tl1e res11 lt? Sl1011 lcl tl1e cri111i11al law ta I< e 11o tice of s11 bco1 1sci011s i11te11tio11 ? 1

1

'

6.

Is ''i11te11t'' syno11)11no11 s \Viti, ''111otive''? May 1 11otivatio11 tl1 rov1 light 11 1Jo11 i1 1tent? At \vl1 at JJOint i11 tl1e Etl1ioJJia11 cri1ni11al j)rocess is 111otivatio1 1 of considerable im1Jorta1 1ce?

7.

May son1eone be convictecl of i11te1 1tio11al l101 nicicle \Vl10, cles1)ite tl1e ·fact that death occ11rs1 JJleacls a11d JJroves tl1at lie 011ly i11 te11clecl to i11jt1re? Nla)' s11 ch a jJerson be co1 1victed of 11 eg·lige11t l10 111icicle? Is tl1e rec111 ired i11ter1t tl1e same for eacl1 offe11se clefi1 1ed i11 tl1e Sr)ecial Part? Problem

tl1at Ivliss I-Iazle"�oocl s11fferecl lier i11 dig11 ities i11 Etl1iOJJia, co11 ld Assumino· 0 Banovitch be co11victed of grave \vilf11l i11j11 ry u1 1der Art. 538 P.C.E.? Carefully consider the evidence tl1at ca1 1 be bro11gl1t forwarcl to prove tl1e reqt1isite intent.

b. Indirect /11,tention (Dolus Eventitalis) PENAL CODE Of ETI-IIOPIA Art. 58.-Criminal lritention. ( 1) . . . .

Criminal inte11tion exists also when tl1e offe11 der bei11g a\x,are tl1 at l1is act may ca11se illegal and p11nisl1able co11seq11 e1 1ces, co111111its tl1e act regardless that s11cl1 consequences may follow. •

•

•

•

CRIMINAL GUil T

142

6 W A L E TliE SOURCES Of TH

a pi io th E f on o si is m om C n io at ic if od ImJJerial C . e ll e n n o ti n te in e it il b a Art.58. - Culp (I)

L;it�t�i,tioii delictuelle est son acte (Jeut entrai11 er l'accomiJlit 11eanmoi11 s en se fJroduiraient. •

•

realisee a1;.1ssi lorsq�e .l'_auteur, sach�nt que j1 es consequences 1ll1c1tes et pun1ssables acceptant celles-ci pour l'eve11tualite ou elle�

• •

7 W L LA A N PE S INDIRECT INTENTION IN SWIS

Pzul Logoz

More difficult is the question cf the actor who _simJJly fores_ees t�e. harm s t n ec_ 1s1o 111s aff dec 1 1cl �o wl1 , y�r \�e 110 , a�m 1 l e l b_ ssi po t tl1e rio is It le. sib pos as s t i t .. .bec�use 1n �JJ_ acc �e , 1l1ty s1b pos the g 1 11 lt1d exc ot1t 1 l wit but .. .. act; sJJite of tl1 e risk, he does not wisl1 to renounce 111s act1v1ty.The class1c�l ex­ a1nple is tl1at of tl1e l1 t111 ter wl1 0 does not wa11t to lose a clear shot despite the fact tl1 at there is a person sta11di11g near tl1e game.Tl1 ere are otl1er conceivable cases also such as the sypl1ilitic who has sext1al relations with a woman and d a11d l1a ble possi as t resul tl1e een fores had 1 e act, l tl1e e befor lier; es minat conta accepted tl1e JJossibilit)' should it eventuate [by co11tinui11g witl1 the act]. •

•

•

•

Indirect i11 te11tion le do! e·ventv.al and recklessness la negligence co1zsciente both l1ave one tl1ing in con1mon.111 botl1 , tl1e offender acts desJJite tl1e fact tl1at l1e foresees tl1e tJossibility of a crimi11 al l1arm rest1lti11a from his act.But tl1ere is also a differe11ce i11 tl1 e two forms of gt1ilt \Vhicl1° becomes apparent \'v'he11 011e asks tl1e qt1estio11 : wl1 y in 011e case or tl1e otl1er does foresigl1t of the possible co11 �eque11ces n?t pre,ent tl1e offender fron1 'acti11 g? A differe11t answer must be g1ve11 depend111g \Vl1etl1 er'it is a case i11volvi11g · indirect intention or recklessness. . In tl1 e case of c1irect i11te11 tio_n, the i11l1ibiting·, 11egative valt1e of tl1e l1ar1n e11 v1saged by tl1e ?ffe11 der ... 1s \veal(er tha11 tlie fJOsitive valt1e tl1at lie attaches_ to acco1npl1�hme11 t of t�e act. I 11 cl,oosi11g bet\x,eer1 t\VO disagreeable a�te�11 at1ves (re!1ounc111 g tl1 e desired activity or acc o111 piisliing tl1e act while r1sl<1ng a certain l1a�1n) tl1� offe11der cl1ooses tl,e secotid. for liim, the l1ar m broug�t . abottt by liis �ct 1s, in sl1o�t, tl1e lesser of t\vo evils. One is tl1t1s able to �ef i nttel)'.say _that,. 1 11 _tl1e case of i11 direct intentio11, it is selfis/11zess \Vl1ich mot1vates 11 1s action cles JJ1te tl1e conseq t1ences. 011 tl ot 1e l1e r l1a11 d, i11 tl1e case of recl<lessness, I·1 IS ore m . essness · t t l h oug h tllal · l Self15I111ess tl_ a t inotiv· at�s tl1 e actions of tl1 e offend alt realizes he l1o er ua ; l1 tl1 e u11fortu11ate 1 est1lt tl1 at will be broual,t abot1t b in e s c y 1 · 11s 1 · 11s ° act. n t 1 � e �de r effect, tl1 e 11egative valt1e of tl1e IJOssibl; harm · 1 s s ro1 1 °·er f·or tl1 e 01 f t tl1a' n tl1e JJOsitive \ia1tie attac 1 ied to accon1plisl1 n1 e11t of tl1 e act. If l1e \xrotild 6. 7.

·�b

The concept of indirect intention (do !Jf.s . c-v e. tJ 1· ) 1 · 15 ' :ta � not codified i11 Switzerland. It l1a.s develop ed, througl1 t l1e jurisprttdence of the Fed e ae .· 1 11 una' see Crctenoud on T Cant du c. Proc#tr eur Geni'Tal Vaud infra; n. b. note fol lowing b)' C l,a B . d 0 1n ar . . Logoz, Co,n,nentair e ds, Cocle Penal Suisse 6,_66.

INTENT

143

have tl1ot1ght tl1at t�e l1a:� woulcl really con1e abot1t, l1e \VOt1l� l1av_ e \vithout ! doubt, re11ou11ced 1 11s act1v1ty.But in fact J1e did not tl1i11I{ of 1t.I-11s Judgm ent was poor_. I-le tl1ot1ght certainl)' that tl1e har111 would 11ot cotne abo11t so that the fo_re�1gl1t wl1icl1 he_ h�d �t first was clearly 1111able to influence l1is mi11d. . . Tl,tis it ts said tl1at tl11s 1nd1v1d t1al acts not selfishly but tl1ot1gl1tlessly; l1e l1as riot reflected carefully e11ot1gl1. As 011e 111t1st l1ere t111cover \'v'l1at 11as passecl tl1rot1gl1 tl1e mi11d of tl1e persoi:i who foresaw, tl1e qt1estio11 of l<11owing wl1etl1er a case of indirect 1nten!1011 .or 11eglige11ce exists is jJractically q11ite diffict1lt to resolve. If the jt1dge remains 111 doubt after careft1l exa111i11atio11 of tl1e 111e11tal JJrocess of the of­ fender, he n_1t1st resol_,,e st1cl1 dot1bt in co11formit)' with tl1e fJrinci JJle in cli,1-bio pro reo, tl1at 1s, to decide i11 favor of 11eglige11ce ratl1er tl1an i11te11tio11 .. .. CRETENOUD c. PROCUREUR GENERAL DU CANTON DE VAUD RO 86 IV 12, JT IV 74 (1960) S1.vitzerla,zli

from At1gust 1, 1957 to A t1gt1st 25, 1958, Crete11ot1cl l1ad beer1 etnployeel b)' Scl1midt-Agence S.A., of Oe11eva , as tl1e manager of a s111all store on Nestle Aver1ue i11 Montret1x. His job was to sell 111ercl1anclise jJrovicled by l1is employer (11e,vspapers, tobacco, cl1ocolates) a11d to give the jJrofits to said employer. His salary \vas abot1t 6 50 fr.!)er 111011tl1. from the start, Crete11oud IJroved 11eglige11t a11d lazy i11 ft1lfilli11g tl1e clt1ties assig11ed him by his e1111Jloyer. lie did 11ot ope11 at tl1e set time i11 tl1e morr1i11gs, frequently tal<ing coffee or si1111Jly sporti11g. I -le left tl1e store sotne­ times i11 the l1a11ds of cl1ildre11, accou11ted 11eglige11tly and retL1r11ed t111sold news1Japers to l1is etnfJloyer too late for rei111burse111e11t. The sitt1atio11 deterior­ ated raJJidly a11d, by tl1e n1ontl1 of febrt1ary, 1958, Crete11oud \Vas 110 lo11ger ]<eepi11g accot111ts. I-le was u11able to accou11t for 7,826.50fr. 011 At1gt1st 25, tl1e day wl1e11 he left l1is positio11. 0 1 1 Sept.2, 1959,the Correctional 8 Police TribL111al of Vevey co11victecl Cretenoud for Unfaitl1ft1l i\t\a11agen1ent a11d se11te11ced l1i111 to six montl1s impriso11ment. Cretenoud is here bri11gi11g aJJJJeal fron1 tl1at j11dgme11t....Tl1e ap1Jeal is reject.ed. Summary of Reasoni,ig: 5 ....Neglige11ce of duty is 11ot sufficient to constitute

ttnfaithful management under Art. 159 C.P.S. Tl1e offender must I1ave cat1sed damage i11tentionally. The cantonal judgment did 11ot fi11d i11te11tio11 on tl1e jJart of tl1e a1Jpellant, 8.

.

. "'

.

-·

Art. 159. Unfaithful Management: "Whoev e� dissipat�s the res1 ot1rces of anotl1 er person ea1truste? to him by law or contract shall be confined 10 t he prison. 1f t 1e o ff end er acred. f ron1 selfi s 1 mot.Ives, he s hall be con.fined in the prison for noc over five years an? fined. Unfait hful managemen_t. to t he disadvantage of a relative or a member of t he (san:ie) fam1l); shall be pro�ecuted on pet1t1on ooly." Translation, Friedlander and Goldberg, 3G ]. Crim. L. Crim. and Pol. Sci., Supp. (1939).

CRIMJ:\JAL OUIJ_T

144

!_1oud li� d bee te re t C a _ th e a.t . s� s a it 1�, o ti 11 te 1 i1 t n ec � 1 e to I form ir ,� i, ,d i fi id d it but L1 1I s 11 fa t 1 1a 1 s dtities tl }1 es __ 11 te L q se 11 co g ii � �� aware of tile darna.gt a1 f Lt 11 . 1 . U . . 1 1 er a1 ay m 11p e1 s i e h ag f inent o _ es 11 1 L rt fo 1e tl \VOLtld !,ave 011 o l1 er Y. w y � lo 1J m � em th f o u ts o y es er 1t 11 e ar 1e tl to y it el d fi in coi,sists i,1 ly g 11 l1 1l w d � an gl ai 111 ag � 10 i ist t he l<1 . d te a: e v a 1 l t t1s 1n er engaged.Tile offe i,d 1� �L1_st b e giiilt)' of 1 ; n 11 l1 1 _ 11 ed �l f1 11 co 0 l1 w e 11 0 1e tl f o ts es er ,t ii ry ia ti Lt ec p rer ? 111terests.. ... It ) lo p 1: is e1 h f o l a ), � _ r _ et is b f o rt so e 1 1 1 50 , ii disloyalty, se a 1n ca . 1t e1 es of 1 p e b 1 1 51 a1 c _ n 11s 10 1t e 11d i)l co 1 cl su t ,a tl e se diffictilt to of us 1e tl 1o sc 11 t tie co ac dLt �e tl s s 1t m n1 co he lie 1 1 e 1 1 \V 1 e1 ev 11, io ,,t te i,, ct i,,dire e11t cau�es damage _m ge 1a a1 n1 yt er 1g gl ne by 0, l1 \v r ge 1a a1 n1 1,as assLttned.Tl1e e ! 111 tl1 r1c s st es 1ln e 1fL 11� 1tl se fa Lt� of of lty 1 L g· ot n _ is it, 11g 1ti a1 \v l)' al re \vitho11t 1 seque11ces of 111s att1ttide. r co le ib ss po e tl1 es ag 1s 1v e 1 l1e 11 l1e tl,e ter111 eve11 \v 1 tl1orities feel l aL ra ve s� , ter at 1:1 is tl1 1 01 �r i _ sit JJo 11 11a 1 r Oe Tl,is is \xrl1>r i11 tl1e e ..1l ag 1fi a11 1ll 1 m 1fa t. u e en ut m t1t 11s co to t e11 1 c ff1 st1 t no is 1 o1 1ti te1 i11 tl1at i11direct ct tio ire e11 i11d at int tl1 11 is is o11 i11i OJ) eld l· ly de \vi st 111o . e tl1 Nevertl1 eless, t er tl1e OLr ov n wi re 1s mo io1 rat ide 11s co l ica act pr , lly ttia Ac .. .. t 1 ic1 ffic sL1 1 ft1l 111anagen1ent. 111 the tl fai t111 to ct JJe res tl1 wi sed rai s 1 t ltie fic dif cal eti tl1eor 1 imself is 11ot 11ecessar\' l er end off e 1 tl of 1t 1 11e1 ve mo tl1e n, 1tio 1te1 1 i ect dir case of t too eren is 11ot diff ess fttln \vil 1 1a.l 11i cri1 tl1E t tl1a s ow foll It e. 11ag 1 da se to cau fron1 tl1at wl 1icl1 exists \'{/l1 e11 tl1e sa 111e da111ag·e is created by i11direct i11te11tion. l�he cliffere11ce is very little to distingL1isl1 pL111isl1 i11g tl1e first case a1 1d 11ot the seco1 1d. It is eve1 1 less jt1stified i11 that it occttrs 1nore freq11e11tly tl1an direct ir1te11tio11 a11cl creates a 111ore co11siderable 11eed for pe11al protectio11. 6._ I11 9irect . i11te11tio1 1 n111st� 11 0\xrcver, be clearly a11d 11arrowly i11terpreted to avo i d its being co11 ft1sed w1tl1 re:l<less11ess.... Tl1 e Oer1na11 doctrine and jL1risJJrude11ce is qttite i11sister1t 011 this JJoi11t (Sect. 266 Oerma11 Pe11al Code). . . .011e te1 1ds to fi11d i11dire�t i11tentio1 1, as is ge11erall)' done, as s0011 as a11 _ offe11d�r l1as acco111n1odated l11mself to tl1e fJOssible resLtlt of Jiis act. 011 e \vho acts \'Yttl1 recl(less11 ess also realize� tl1at the objective elemeiits of tl1e offense ma� be JJroclt1 ced a1 1� acco111 1 11 odates l1i111self to sL1cl1 a result i11 tl1e case \vl1ere l1e 11 1 fact 1Jrodt1 ces it.

�f �'0-

as lield iti .�l1e case of Elst.isser 011 lv'ia1, 21, 1943 (RO 69 s t is _ � ; � V l 7 9 ? ff), tl1e offe11 cler 111L1st 11 ot 011] 1·, · I1ave t:al'e" 11 seriot1sl>' the I . '. J � It bLtt 111 · act d1 t1on 111t1st !,ave co11se11ted 1Joss. 1b1l1ty of .JJrodt1. c1110. o a '. cert'a1·n 1· Lt, to 1ts l1a 1J1Je1 1111g. It 1 s tl11s last 1Jo1 nt \xrl1icli cat e c en er cl f 1 'f e ' 1es ti 1� d 1v d 1s · · ec . . fro111 recl(less11ess \xrllere tll ff 11 d.=--1.,_ fat 1al _ e ve11tt fron1. to tl1e co11se11t1�g . resttlt of Jiis acts', 011 tl,e c�i ,t�-ai�Y 1 eftt ses to believe tl1at 1t, 111 1e con \Xltll fact, · · - • 01. conse11t o f t 1 1e off eii cter 1-a1ses abot1 t· Tl1 is 1·eftisal t· ac, f f o qL1est a 1011 accordi110-0 to tli e case c·i ted a bove o11 e . 1 s 11 o t a b I e t o f·111c · 11 t 1011 e t · 111 1 1 t d · 1 · · 1rec I · ' tlie acto r <t1 le\v t1 1at a c e_ t·ta ·1_1 1 I�ar111 _1111gl1� fron1 tl,e 1Jroof tl,at �rodttced· be 011 e c1111 1ot rely 011 tliis awareness i i, order to . fttid 1nd1rect 1 11te11t1011 ; tl11_s creates a t111 iqt1el)' st1bjective eleiii eilt of .,11� ffei,se.It t11 L1st, at least be reqLttred tl1at , tl1 e probability of tl1 e restilt occt11�\ug� be so_ clear tl1at tl1e offe _ of state 11de r's n1i 11d \VOttlcl 11 ot reasoi,ably be a e tO be 1 1 1ter1Jreted otl1e r 1 1 as l1av1ng tl1a conse11 ted. c

l.

Accordir1g to tl1e jtidg111ei,t itl tli e 1O\'\,,er_ e tl� co I1ad rt, tl1e _ a JJJJe lla11 t . a\�are1 1ess tl1a� lie. \Vas caLtsitig clani ca e to tli e 111te1�ests of 111s etnJJ}o,rer b)' '115 :> 1 • fa1lt1re to f11lf1 ll l11s clt i ties · Tl,e cotu t \X'e1 1t a 11 ; 1 f ar 11t inte �s to l ct fi!7c clire I3t1t !lie <;:ourt of. C�ssatio11 of Vatld clid' 1 0 � � 1 tf) tl1 e fi rst Jttdge's f111d11 1g tl,at Creteiio L1d 1,a � t go _so far. It did, 1 10\vever, veated 1<11 ow111g·Iy a 1 1d deliberately viol

INTENT

145

I1is dt1ties \vitl1ot1� beir1g mistal<e11 as to tl1e co11seqtte11ces wl1icl1 st1cl1 a violatio11 wotild have for h1s em1Jloyer.I-Ie l1ad ft1rtl1er admitted tl1at l1e l1ad bee11 made aware of tl1ese co11seqt1e11ces, bt1t l1ad 11ot so n1t1cl1 as 1nodifiecl l1is attitt1de a11d l1ad co11sciot1sly acce1Jted tl1e resttlt.U1Jo11 evide11ce of tl1e l1igl1est 1Jrobative valu�, we ca11 l1ere find indirect i11te11tio11 eve11 accordi11g to a strict clefi11itio11. As IS a1Jpare11t from tl1e cot1rt of first i11sta11ce, Crete11ot1cl l1acl bee1i 1i1ade awa1·e of tl1e consequences of l1is faili11o·s b1, l1is frie11d ''A'' lierself a 111a11ager of a kiosk in Mo11tret1x. Sl1e l1acl rerJeatedly' \var11ecl Jii1;,, b�gi1111i11g· soo11 after he started worl{, but lie res1Jo11decl by lat1g·l1i11g at lier. Tl1tts tlie datnageable :est1lt� of tl1e 11eglect of l1is clt1ties ...l1ad bee1i qt1ite earl)' brot1gl1t to l1is 111ten�1011 _b)' l1is friend; lie l1ad, tlirottgli deliberate desig11, 11eglected tl1ese \varn111gs 1n st1cl1 a way as to 111a11ifest l1is co11ser1t to tl1e l1ar111 \vliicl1 rest1lted. His extre_111e blitl1e11ess was cle111011stratecl b)' l1is 1Jersiste11ce i11 l1is attitttde after a st1bord111ate ...l1ad sto1J1Jed \'?Ori< dtte to l1is 11eo·Iio·e11ce.Tr1e ele111er1ts as 111t1cl1 sttbjective as objective, i11 t111faitl1fttl 111a11age111�11t t111cler 1\rt. 159 C.P.S. are tl1erefore ft1lfilled i11 tl1is case. Cot1r de Cassatio11 - Ml\t1.Fassler, l\1t1l1ei111, Bacl1tler, Perri11 a11cl Grisel. Note by CL. Bonriard to the above CL'zse: It 111ay see111 at first g·la11ce, tl1at tl1e

preceding case is a tt1r11i11g fJoi11t i11 tl1e case la\v of tl1e federal Tribt111al \v'itl1 res1Ject to tl1e 11otio11 of i11direct i11te11tio11. After tl1e decisio11 RO 69 IV 79-80; JT 1943 IV 76-77, a11 offe11cler acted with inclirect i11tentio11 \X1]1e11 lie serioL1sly foresa\v tl1e jJossibility of tl1e l1arm a11d wis/1eli it to co111e about.Tl·1is defi11itio11 \xras retai11ecl t111til 1955....Tl1e decision RO 73 IV 102-103; JT 1948 IV 20 clid riot sa;' tl1at tl1e offe11cler 111t1st wa,1.t tl1e t1arm i11 tl1e case \v'l1ere lie jJroduced it, btit tl1at l1e 111t1st be i11 accord witl1 tl1e eve11tt1ality of its bei11g realized .... I:-lo\vever, tl1e t\vo exrJres­ sions are 111ucl1 tl1e sa111e....Tl1e \vill re111ai11ed 111L1cl1 tl1e sa111e as i11 tl1e case of direct i11te11tio11. Tl1at \vl1icl1 cl1a11g·ecl \xras 0111 ), tl1e 111a1111er i11 \vl·1icl1 tl1e actor sa\v it, l<11e\V it or re1Jrese11ted it (RO 86 IV 11; Jl� 1960 IV 66). Tl1L1s until 1955, tl1e .federal Tribt111al l1eld a 11arro\v vie\v of ir1direct i11te11tio11, reqttiring tl1at the offe11der 1nL1st \xra11t tl1e l1arm i11 tl1e case in \xrl1icl1 it actt1,1IJ1 , resulted. In a case of J ur1e 17, 1955 (RO 81 IV· 20; JT 1957 I\/ 25) tl1e federal Tribunal seemed to favor a sligl1tly broader defi11itio11 o-f i11direct i11te11tio11. It held t}1at indirect intentio11 exists wl1e11, \X1itl1ottt bei11g certai1i tl1at tl1e objective elements of tl1e offense will be realized by l1is act or c111issio11, tl1e offe11cler seriously believes tl1e har1n jJOssible a1id acco111111odates l1in1self i11wardly to the rest1It. It is, tl1erefore, 11ot necessary tl1at tl1e offe11der l1ad wa11ted tl1e l1arn1. It is st1fficie11t that l1e accom111odates l1in1self to it ....Tl1is 11e\v defi11itio11 is less 11arro\v. One can say in any case tl1at tl1e jt1dge is allo\ved 111ore flexi­ bility with tl1e evidence co11cer11i11g wilft1l11ess a11d ca11 fi11d inclirect i11te11tio11 in a larger 11umber of cases. The i11stant case marks a certain rett1r11 to tl1e forrner JJositio11 \vl1e11 it reaffirms tl1at indirect intention mt1st be ''clearly a11d 11arro\vly i11ter1Jreted' and 011e must 11ot find i11direct i11tentio11 \vl1e11 ''tl1e offe11der is si1111Jly accommodating l1i1nself to the JJossible rest1lt of l1is act," bt1t 011ly \vl1en tl1e offender has ''consented'' to the result in tl1e case \xrl1ere i11 fact it is brot1gl1t abot1t. The decision RO 86 IV 11; JT I 960 IV 66 co11fir111s tl1is restrictive tendency in stati11g tl1at in indire_c t !nte11t_io11, tl1e offencler 111t1st \va11t the rest1lt that is actually brougl1t abot1t by }11s act1011.... 1

CRIMINAL OUILT

146.

NOTES •

Note 1:

ntion te In ct re di In of ion at fic di Co Comparative

Pei,al Code of Germany (1871)9 Sect. 16. - Intention. or , at gly llin st wi lea and ly ing ow dee k11 ed ms de tl,e tes a u t c e ff · e r e v e o s o l1 . W acts intentio1 it 1ally . ·sks r1 g y n v1 I ro Jp a1 , ut b le ib ss O )J ly on 1 1 io 1 tl1 e effecti at Pe11al Code of tl1 e Iiu11garian Peo1Jles Republic (1950) 10 Sect. 16. - lrztention.

\VI,oever sllall commit a cri1ni111l act wisl1i11g tl1e consequences of his con­ e ed to 11av em de be ll sl1a comes e11c 1 q1 1se co1 se tlie ii, g 1 1 sci Liie acq or dLict tnitted tl1e cri111e \xrilfL1 lly.

1

I

Pe11al Code of Greece (1950) 11 Art. 27. - !1iterztiorz. ( 1) W11 osoever \xrilli11gly effect11'-tes those facts wl1icl1 accordi11g _ to statutor)' defii 1itio11 are tl1e elen1e11 ts cf tl1e crime, or \Vl1osoever realizes tl1at by I1is conduct lie n1ay effectua:e tl1em a11d, i11 tl1at case, \vould approve tl1ereof, acts i11 te11tio11ally. (2) Wl1enever tl1e statute reqttires ele1nent, a co11ditio11al i11 tention tl1at tl1e act be committed for JJer1Jetrator 1n11 st l1ave i11te11ded

t11e l<nowledge of a defi11itive fac �ual does 11ot s11ffice; \XTl1en tl1e la\v requires tl1e effectuation of a certain harm, tl1e to ca11se tl1is l1ari11.

Note 2: The Concept of Intent in tl1e Comn1on law Tl1 e com 111on la\xr, 1111 lil<e 111ost co11tir1e11tal syste111s, does not S)Jecific al!Y JJrovide for indirect i11 te 11tion. Witl1i11 i11tentio11 itself, is i11clL1ded tl1e \':till _ bri 11g des to abo1 1 t a res11lt. I(no\vledge of surro1111di11 a fact is a11 esse ntial ign or eleme11t of cri111i11al inte11tio11 as it is 011 tl1e Conti11e11t a11d it� Etl1 iopia. Commo11 la\xr i11te11tio11 furtl1er i11clL1des tl1ose situatio11s \Vl1ere tlie actor does not i11tend tl1e res11lt but \Vl1ere its l1afJ!_Je 1 1ing :s a virt11al certainity, i.e., tl1e doctor :X'ho re111oves tl1e heart from a IJat1e11t bL1t does 11ot i11tend tliat 11e s}1otild die. l11direct i11te11tio11 i11 com1110_11 . la� \xro11ld fa1 l \X1itl1i11 ''recl<less11ess''. Tl co1n1noi1 la\'<' ,e do�s 11_ot mal<e a d1st1 11ct101 1 bei\'<'ee1 adve1ia11t 1 1eglige11t cotid result of tl1 e uc t wl11cl1 ts a1JJJroved a11d tl1at tl1_e re� ult of w _ l1icl1 is rejected. Botl, woiild fall i11to tl1 e c�tego�y of . recl<lessn�ss wl1 1cl1 ,1s a l11gl1 degree of ne bet\vee11 gl ig ly ei in ic g e direct 111te11t1on a11d s11111Jle 11egl1ge11ce. The co1111110n law 1,as tl,erefore, tl1ree 1

9. 10 1 l.

As trans !ated in Mueller, Comparative Crininal Law 116. Translatton, P. Lan1berg (Corvi11a. Press). As translated in Mueller, Con1parative Crinin,:l Law 119.

INTENT

147

d�gree� of crimi _ �al !Ilenta_lity; t l1e _ conti11e1 1tal S)'Stems a11d Etl1iopia have four: direct 1ntent1011, 1nd1rect 1nte11t1on, adverta11t 11eglige11ce (reckless11ess) and in­ ad verta11t negligence. Tl1e follo\xring penal provisions of Tanzania are tyJJical of the co1nmon law approach to the mental element i 11 crimi1 1al law: • Art. 10. Subject to the express provisions of tl1is Code relati11g to neg1 igent acts a11d omissio11s, a perso11 is 11ot criminally responsible for an act or omission \xrhicl1 occurs i11dependently of the exercise of l1is \xrill.... Art.233. Any person \xrl10 in a 111a11ner so rasl1 or negligent as to enda11ger l1t1ma11 life or to be lil<ely to cattse l1arm to a11y otl1er person [does tl1e follo\vi11g]: •

•

•

•

is guilty of 111isde1nea11or. Questions

1.

2. 3.

4.

5. 6.

7.

Are tl1e English and French versions of Art.58 (I) 2nd para.ide11tical? Do yot1 tl1ink the drafter intended tl1is provision to i11corporate the concept of ''i11direct intentio11''? What \VOt11d be the clearest \vording of tl1e concept? See Note 1 infra. Of wl1at must one be aware to co11stitt1te ''i11direct intentio11''? Is tl1ere a 11 similar requireme11t t111der ''direct i11te11tio11 ? Could Crete11oud be co11victecl tinder tl1e awareness require111e11t of Art. 58 P.C.E.(indirect i1rte 1 1tio11)? Wl1at do you t1ndersta11d to be tl1e 111ea11i11g of ''indirect i11tention''? I-low is it differe11t from \vl1at is ter111ed ''recl<lessness''? \Vl1ere is 11 recl<lessr1ess'' found in the Pe11al Code? Wl1at disti11guisl1es ''indirect i11tention'' fro111 ''direct i11tentio11''? Does ''direct i11tention'' receive a l1eavier fJe11alty tl1an ''indirect i11tention'' u11der tl1e Code? Why was Crete11oud not co11victed for directly intending to mismanage under Art. 159 C.P.S.? What evide11ce te11ded to prove ''indirect intention'' in the Cretenoud case? Ho\xr certai11 must such proof be? Consider tl1e follo\xring statement from the Swiss jurisprudence: The judge 1nust believe that the offender foresa\v the possibility of the har1n as so probable t11at l1is actions could 11ot be i11terpreted other­ wise tl1a11 l1a ving accerJted tl1e rest11t.Fle1,rie1· Watch Co. S. A. c. Bei,rat, RO 84 IV 127, JT IV 115 ( 1958); see also tl1e Cretenoud case sitpra. Wl1at is t}1e useft1l11ess of tl1e �011cept of ''indirect intentio11''? Do yoL1 feel that it is preferable to tl1e co1111no11 la\xr fJOsition give11 i11 Note 2? Whicl1 system is easier to administer? Sl,ould the post-1957 jurisprudenc� o_ f S\vitzerla11d be co11sider�d in interpreting the Penal c;=od_e of. Eth1�p 1af �hould one co11cer11 himself more in the case of ''1nd1rect 1 ntent1on , \Vttl1 the pre-1955 - post-1960 position of the federal Tribunal or the period of 1955-1960, \xrithin \vhich the P.C.E. was promulgated? Wl1at is the purpose of including Art. 58 (3) in tl1e Penal Code?

CRltv\:NAL OUIL T

Problem •

ve r1 to a: 11g at l1i t is bu , w ne yo an s hi e 1 r jt1 i11 to iig iti ai w Ato X, i,ot _ es throt1gl1 tl1e Piazza at 100 k11ometres an gir l hotir frierid's hotise on tin1e, �riv . cl il li c a f o , tl a e d 1e g tl in s cat1 e co!1v�ction of � to X for ·th t to 11_ e l v re be l tlc Ot \XT e � i1c de \ri _ . Wl,at sort of e al 1 111 nt 11n te cr 111 of 0 1t1 e 1. f1n d 01 58 . rt A te e Sta tl1 � e r 1d 1 u e id ic m 1,o l i,a io i,t ii,te t gh ou a br e rw fo 11c 1d e e ev . tl1 rd of y nc e va l re e tl1 r fo s on as brief l y your re Recommended Readings

?,

54 I J l 1 IV 80 RO l�, ric Zu de_ � ton Can du c '{ bli _ Meierhofer c. Mi1zistere P1,t . e enc def1n1ng indirect rud 1risp J ss Swi 1 tl e 1!1. e cas nt Orta im[J � (a11 5) (195 i11te11tio11 in insta11ces of n1al1ci0us prosecut1011).

Ministere J)1-,blic du Cantor1, de Bale-vi!Le c. Zimmermann, RO 86 IV 10, JT IV 66 (1960) (recent case disti11g11is l 1i11g direct from i11direct i11tention). Legros, L'Elemerit Moral Dci11s les Inftactions 89-151 (1952) (compre l1ensive treat-

1ne11t of i11te 11t i11 tl1e pe11al law of France). Merle, Droit Pe,zal 223-236 (sl1ort discussion of bot l1 dir ect a11d indirect inten­ tion in frencl1 pe11al law). An1erica11 Law l11stitt1te, Model Pe1ial Code, Sect. 2.02, Proposed Official Draft . (1962); see also, co1111nents to Sect. 2.02, T ent. Draft No. 4 (1955) in PaL1lse11 and Kadis11 , Crimindl Law 233-237 (careft1l discussio11 of a new legislative proJJosal 011 cri111i11aJ 111e11tality tl1at lies between tl1e common l,lw and co11ti11e11tal syste111s). Hall, General Principles of Crimi1zal Liw 70-145 (excelle11t disct1ssio11 of crirninal i 11te11t). Wi l iiarr:is, _Criniinal Law 30-100 (thor:>ugl1 treatme11t of inte11tio11 a11d reckless11ess 111 tl1e common la\xr). Vo11 Be111me le11, Intro., The Federal. Crinzi!zal Law of tf1e Soviet Unio11, 3 Law i1i East�rn E1,1,roJJe 12-13 (1959) (d1scuss1on of t l 1e eleme11ts of inte11t in th e Soviet. .Pe11al Code of 1958). feldbrL1gge, Soviet Cri�11i1ial Law, ? [...aw iri Eas. terrz. Europe 172-175 (1964) (short state111e11t co11cern111g t l 1e Soviet l aw of inte11t). SECTION 8 . CRIMINAL NEGLIGENCE

a. Advertent ana I1iadvertent Ne l£ en g g ce PENAL CODE Of ETliIOPIA Art. 59. ,

Crimi11al Neglige11.ce.

(1) A (Jerso11 is gt1ilty of a crir,,iiial i,e . _ g1.tg.e11ce act [si.c] \Vl 1ere, b_ y a cri 1ninal lacl< of foresiol,t

or 11 !1 P 1udei,ce, . l1e acts \xritl1ot1t cons1deration or i11 disreo6ard of tl,e JJOssi bl e co11se q11e1ices of l1is act. . • l::,

• •

•

NEGLIOEl'-fCE

149

NEGLIGENCE IN S\VISS PENAL LAW 12 Andre Panchaud

. Ut:der Article 18 para. 3 C.P.S. tl1ere are two types of 11eglige11ce set out: ft� st, 111adverte11t (inconscie11te) 11egligence co11cerni11g 011e wl10 acts without be1n� a\vare of the conseq11e11ces of l1is act; tl1e second, adverte11t ('co11sciente) 11egl1ger1ce co11cerr1ing 011e \Vho acts i11 disregard of tl1e co11seque11ces of l1is act. ATO Jv1f\KONNEN \XIOLDEVES v. TI-IE PUBLIC PROSECUTOR Supreme Imperial Coitrt, Crin1inal Appeal No. 335/54 (1962 G. C.) Ethiopia

Oe11bot 6, 1952 E. C. (May 13, 1960 0. C.); Justices: Afe11eg11s Taddesse Mengesl1a, Dr. \V. Bul1agiar, Ato Tacldesse Tel<le Oiorgis: - Tl1e a1JJJella11t was charged before tl1e I Iigl1 Co11rt \xritl1 tl1e offe11ce of l10111icide by 11egli­ genc� p11nisl1able 1111der Article 526 of tl1e Pe11al Code; 11e \xras found g11ilty, co11v1cted ancl se11te11ced to tl1e 111axi1n111n JJeriod of imJJriso11n1e11t of fi\re years 1111der tl1e seco11ci paragra1)!1 of Article 526, 11nder \vl1icl1 tl1e offence of l101nicide by 11eglige11ce is aggravated \xrl1ere tl1e l10111icide is ca11sed by a person \vho l1as a special jJrofessio11al d11t)' to sa'feg·11ard life. Tl1is is ar1 aJJIJeal from tl1e jt1dgment of tl1e I-Iigl1 CoLtrt.

•

Tl1e grou11ds of appeal are (a) tl1at tl1ere \Vas 110 s11fficie11t evide11ce 011 \vl1ich tl1e Higl1 CoLtrt co11lcl co11vict, (b) tl1at tl1e I-Iigl1 Co11rt \xras \vro11g· i11 law in coi1victi11g tl1e ap1)ella11t u11der ])aragra1Jl1 (2) of Article 526 \xrl1e11 tl1e charge referred only to Article 526, a11d (c) tl1at tl1e seco11d paragra1Jl1 of Ar­ ticle 526 is 11ot a1)!)licable to il1e aJJj)ella11t (a driver of a b11s) bLtt is applicable only to doctors, 11urses etc. \xrl10 carry 011t tl1eir cl11ties i11 a 11egliger1t \Vay. Tl1e facts as fo11nd by tl1e I-lig11 Co11rt are as follo\vs: tl1e ajJfJella11t is cl bus driver by f)rofessio11; 011 Nel1asse 11, 1953, tl1e a1JJ)ellar1t was drivi11g Bus No. A A 6135 a11d at tl1e I 26th l<n1. 011 tl1e road fro111 Alaba l(Ltlite to Addis Ababa, at about 15 111i1111tes after 111idda)r, lie ca111e i11to collisio11 \X1itl1 a car Voll<S\xragon No. 9956 co111ing fro1n tl1e opJJosite directio11; a11d as a result of this collision tl1e tl1ree passengers i11 tl1e \/oll<S\�'ago11 \xrere l<illed. There were no fatal accidents amongst tl1e passe11gers i11 tl1e bt1s drive11 by tl1e af)j)ella11t. The appella11t was drivi11g l1is _ b11s bel1ir1d _ a11otl1er 111otor -\1el1icle,_ \Vl1i�l'. :�as s01ne distance i r 1 front a11cl wl11ch \Vas ca11s111g lots of clL1st re11der111g v1s1b1l1ty very poor. The aJ)f)ella11t was tryi11g· to o�ertal<e the otl1er motor-_vel1i�le, an(.l in doing so, went partly 011 tl1e wro11g _ side of tl1e road; _at tl11s_ t1n1e tl1e Volkswago11, \X,hich \Vas on tl1e jJro1?er s1cle o-f tl1e roa�, co_ll1decl \xr1tl1 the b11s i 1 driven by tl1e a pJJellant. The alI ega t1011 of t 1e JJrosec11ti� 11 1s tl1a t tl1e a1� p_el_ l�11t was negligent in trying to overtake t}1e otl1er 1notor-vel11cle \xrl1e11 tl1e v1s1b1l1ty 12.

Panchaud, Code Pe na l Suisse Annote J 9 (2d ed., 1962). Arc. 18 C.P.S. reads in pare cts follo\vs: •

•

• •

•

•

•

Celui-la comn1et un crime OU un delit p:ir negligence, qui, par une in1prevoyance coup:1ble, agit sans sc renclre compte ou sans tenir co1npte des cunseqt1ences de son accc.... Art. 59 of M. Jean Graven's Avant-projet, clearly modelecl on the S,viss provision, states: Commet une infraction par negligence celui qui, par une i1nprevoyance ou tine imprudence coupable� agic sans se rend.re compte ou sans tenir comprc des conseqttences de so11 acce.

-

'.

•

150

C

hr f h at of de e e at th tl1 t1s o ca 11d st, d tl1e a e tl1 Lt t ee \v·as poor as a resttlt of 's nt la el ly Jp e ct a1 to th i re gl di ne e du is 1 11 ge o1 ag w l<s ce. ol V e tl, s ii, er lg ei ss pa ar cle ? an nt e . ci_ s ffi wa su re tte de �vi t ur Co s nce 011 tlii of oti it,i O() 1 rl tl,e d. e di n er 1t Th s1o lu e 1s 11c tl1 co to e no 111 co . d ul co contrat tir Co h lig I e th wl,icll ere d. Th tte nt mi ella sub aJJp can the as be no ses nes wit tlie gst 1 1 0 d.1ct·1011 a1n . ' · . . er t ov a �o I {e 1 _to t1y 1ve dr a oth for an t en l1g eg er car 1 1 ry ve is it t uestioi, tl,a 1 111 g traffic du e to the dust. Tlie n co on of t ou l{ Ioo r pe ()ro a t 110 � 1 1 1 l,as 11t lla s pe wa e ap tl1 at tl1 g din lig fi11 11eg in l1t rig e, or ent. ref tlie s, wa t tir C� �i ;� rrI,e ap()ellai,t stibmitted tl1�t. tlte I-ligl1 Court was wrong in co_nvictin g aph f agr o _ IJa� ond sec th� of �rt1cl� ?26 s 1011 v1s JJro e 1 tl er und ant Jell aiJf tl,e ial 1s . It ent . ess 526 111 cr�minal icle Art to lly 1era ge1 ed err ref rge cl,a tlie 1 er \Xlll cases tl,at the accused sl1ould l{ncw \Vl1at cl1arge l1e 1s asked to meet;_ in the IJresei,t case tl1e cl1arge does 11ot alle ge t_l1at tl1e app_ellant \vas� at the time of tlie offe11 ce, acti1 1g i 1 1 a special profess1011al capacity. T�e first_ �nd second IJaragrapl1s of Article 526 deal with tl1� same offence� tl1at ts, hom1c1_de by �e g­ lige11ce, bt1t tl1e seco11 d JJaragra 1Jl1 contains an aggravating element which subjects tl1e offe11der to a l1igl1er JJU11isl1meut. Tl1e accused sl1ould know whether the prosect1tio11 is cl1argii1g l1i1n \V.ith the aggravatio11 and . \Vhen the prosecutio_ 11 inte11ds to do so 1ne11tion tl1 ereof sl1ould be made 1n the cl1 arge. In this respect tl1 e cl1arg� is defect_ive, but for reasons \vhich will_ be �iven la!er t_ he defective cl1arge l1as not 1n tl1e prese11 t case led to a m1scarr1age of Justice. The ap1Jella11t subtnitted as a11otl1er ground of appeal tl1at tl1e seco11d 1Jaragra1Jl1 of Article 526 a 1JIJlies to electors a11cl 11t1rses wl10 carry out their dt1ties in a 11eglige11t 111a11ner a11 d does 11 ot appl)' to tl1e aJJpellant, tl1e driver of a btts. Tl1e seco 1 1d 1Jaragra1Jl1 of Article 526 provides for a l1igl1er pt1nisl11ne11t wl1ere tl1e 11egligent l1 01nicide l1as bee11 ca11sed b)' a person wl10 l1as a s1Jecial professio11al duty to safegtta:d life. 011 reading tl1is paragrapl1, tl1e per­ s0 1 1s wl10 first co1ne to 011e's 1ni11d as havi11g a SJJecial professional duty to safe­ gt1ard life are doctors a11d 11urses;bt1t tl1e said paragrapl1 does not li1nit tl1e respon­ sibility to doctors a11cl 11t1rse�; tl1 e word '' 1 Jrofessio11 al'' is t1sed in the wide sense and ap1)lies to 1Jerso11s \x,l1 ose job reqt 1ires s 1 Jecial care to safeat1ard the life of per­ sons wl1ose pl1 ysical i11 tegrity is ten11 Jorarily ttnder tl1eir care� Tl1e word ''profes­ sional'' ap1J_lies to_ fJerso11s lil{e the pilot of an air 1 Jlane, bt1s drivers arid drivers of otl1er I):1bl1c vel11cles. Tl1e dttty of st1cl1 JJersons is not, 110\vever, towards any JJerson 1n tl1e \vorld; tl1 e dt1ty of sncl1 professio11al persons is SfJecially towards tl1ose perso11 s !or wl1 0 1 11 tl1ey are r�s1Jo11sible, st1cl1 as JJassenaers in a11 air1Jla ne or IJ�sse11gers 11: a �us; SL1cl1 (Jrofessio11a_l fJerso11s do no t O\v0e a siJecial du�y to\v�1ds _ pedestrians, tl1e clt1ty to p<:destr1ans or otl1er persons 110t in tl1e publi c \ el11cle 1s a ge11eral d�tty, 11ot a special clL1 ty. Tlius ii, tlie presetit case the . app. ella11t O\ved a special professional dL1ty to tlie IJassei ,g· i er i i J iis bus, but s ?\ved 011ly a general �clt1 ty to\vards otl1ers outside ons fJe tli rs e bu tli s su e as cl i 1n _ t �1 e Voll<s\x,ago11. I-o r tl1ese reasons tl1e aJJjJellant sl ,o t�l 1 ,ave been fot1nd d gu1lrr of an offe1�ce t111der_ 0,-rticle 526(1) of tlie Pe ' ie re b_ ) tia l l C od is he e, ai id �011v1ct d t1�der tl1at fJro�1 s1011.. As to sentei,ce, tl1 1s tl iis tl, C at ot ir is t id co i er s � 1s a ver) ser1ot1s offe11ce \x11tl1 ser1o.t1 s cotiseqLlences · ent m n a 1 1· d 1e tl · JJU111s 1nax1 mum �1n der· tl1e f11 ..st JJ�ragra�l1 of_ Art i cle 526 sl1o t n ul d Je ll b e p it if li ct tl a ed ,e an d i a !s se11tencecl to s11n_1)le 1n11Jr1s0 1 11 11 ent fo r tl al ir ee J ye af ar Jf s. , i I tl tl ,e se iis i,s e e 1s allowed a11d tl1e Judg111ent o f tl1c Iiigl1 Cotl rt 1s · va r1· ed accor ct·111'g1y. 1

Questions

1.

After re-readi11g tl1e selection f�otn Lo goz sr"pra a t IJ, 1421 \Vliat disting uisl1es

NEGLIGENCE

151

''advertent negligence'' (Art. 59) from ''i11direct inte11tion'' (Art.58)? Whic'l1 words of Art. 59 indicate · tl1at botl1 adverte11t a11d inadvertent negligence are pun_ishable? Wl1at is the relatio11sl1ip betwee11 tl,e · first paragraph of Art. 59( 1) a11d tl,e seco11d? J-lo\v mt1ch lack of foresight or i1nprt1dence constitutes ''cri1ninal lack of foresigt1t or im1JrL1dence''?

2. Was Ato Mako1111en guilty of adverte11t or i11adverte11t 11eglige11ce? What evidence 1nigl1t be broltgl1t for\xrard to SlllJIJOrt yoltr conclttsion? Wl1at is tl1e relatio11sl1ip bet\veen Art. 526 a11d Art. 59? Do )'OU agree \Vith the l1oldi11gs in tl1e 1vf.akonnerz case?

b. Tl1e Test of Negligence F>ENAL CODE Of ETHIOPIA Art.59. - Cri1nir1al 1Yeglige11ce. (1)

•

•

•

•

.

A perso11 is gL1ilty of crimi11al iieglige11ce \vl1e11 l1e fails to tal<e sLtcl1

precautions as 111igl1t reaso11ably be expected i11 the circt1111stances of the case a11d l1avi11g regard to l1is age, ex1Jerie11ce, education, occLtIJa­ tion a11d ranl<. •

•

•

•

13 NEGLIGENCE IN S\Y/ISS PENAL LA W .

A12 dre Pa12chaucl

The clL1ty ·to take care \vl1icl1 is 11ecessitated b}' exter11al circttmstances constitutes tl1e objective ele1ne11t of neglige11ce; ... tl1at necessitatecl by tl1e personal sitL1atio11 of tl1e defe11da11t co11stitl1tes tl,e SLtbjective eleme11t. \Vith respect to the latter, a jltdge n1t1st take into accou11t t]1e t111clersta11ding of the actor togetl1er with his fJerso11ality develoJJme11t and his social ar,cl economic situation, etc. COMMONWEAL TH v. PIERCE

Supreme Coitrt of 1vfassacl;1,1sets, 138 A1ass. 165 ( 1884)

'

United States

•

• •

•

Per Holmes, J.: - So far as civil liabilit}' is concer11ed, at least, it is very clear tl1at what we l1ave called tl1e external standarcl \X'Ottld be a1J!Jlied, and that if a man's conduct is sucl1 as \'v'Oltld be reckless in a ma11 of ordi11ary prudence, it is reckless in l1im. Unless lie can bri11g l·1i!11self \vithin s01ne broadly defined exception to general rL1les, the law deliberately leaves l1is 13. Pancl1aud, Code Penal Suisse Annote 20 (2d ed, 1962). Art. 18 C.P.S.: ... L'imprevoyance est coupable quand !'auteur de l'acte n'a pas use des precautions com­ ma.ndees par les circonstances et par sa situation personnelle. Art. 59 Avant-project, also modeled upon the Swiss provision, reads: Son attitude est coupable lorsque l'aureur n'a pas pris Jes precautions que l'on pouvaic raison­ nablement exiger de lui, du fait des circonsta11ces et de sa situation personnelle, notamn1ent de son ige et de son experience, de son instruction, de sa profession ou son rang.

152

rily s umes that l1e. l1as as muc as pto em per 1ci 1 a tnt cot a f h id 10s�11cr�s 1 � s otit 0_ � for�see conseque11ces as a man ?f ordinary pru cte, o ice d 11 a e g id J� y to 1t c a 1) ca dal, C. J., ''Inste Tin of e ttag lang tl1e In . 11 atio 1 itt s ad, \vould l1ave 111 tli � san1e d be . coextensive shoul negligence for ity liabil i e tl tliat therefore, _of sayi,ig as v be ariable as the would wl1icl1 l ividtta nd i ch f \Vitl1 tl 1e Jttdgn,e,,t o ere adh to to er rath ht oti� ;,e the ual, ivid d . rule i t i l� eai f t _ o fo ie t� lengtl1 of 1 t1011 such a s a man of ord i nary t a c to d regar a e s , as � �l ,vl1icl1 requires in a , . N.C g. 3 Bin ve, , r1Io 468 Me ; 475 v. n glia Vau . S.C . ve i se b o d tl Ot \V e 1c 1 e d t1 j)r 4 Scott, 244. d istribution of los ses, whicl1 the re to rd rEga iii d opte d a I e . I Lt · 1e · ti s 1 s i th If · o a c Iear reason to b f ce a I sen 1e t 111 fall they e re t \v}1 s re to s 11 o a 1icy souricl l)O al 1·eason for ado1)ti1 1g it in equ st lea at be to m see d ottl � w e 1 e 1 tl y the contrar · tl1e· criminal' law, wl1ic,l1 l1as for its i 1 nmed_ iate ? b.�ect a 11d tas k t to es tabl.is11 a o·e1 1eral s ta1 1 ctar ct, or a, t least ge11era negat ive 11 rn its , of conduc for tl1e com;,t111ity, i1 1 tl1e i11terest of the safety of all. .

'

'

CRIM:NAL GUILT

.

TI-IE PUBLIC PROSECU--:-OR v. ATO TERFU ALEMOU

I

I

Su.preme Imperial Court, Cri1niaal Appeal No. 257/53 (1961 G.C.) Et/1iopia

Iia1nle 121 1953 E.C. (J ttly 19, 11)61 O.C.); JL1stices: Ato Ab_erje Debalk, Dr. W. Bt1 l 1agiar, Ato Ka s sa Beye11 e: - Tl1i s is an aJJpe al fro� � Judgme1 1t ?f the High Cot 1rt acqL1 itting tl1e respondent 01 1 a cl1arge of l1om1c1de by negl1 ge1 1ce uncler Article 526 of tl1e Penal Cocle. Tl1e facts are tl1at 011 I-larr1le 20, 1952, a child of 20 montl1s was taken to tl1e filo\val1a 1-Io s1)ital \vl1ere, by virtt1e of a 11 order give11 by Dr. Rigsbi, the res1)011d ent gave tl1ree injections of penicilli 1 1 to tl1e sai d child. Tl1e respo11de11t is a 11t1rse in tl1e saicl hospital \xrhere h e l1as served for a period of 27 years; accordi11g to tl1e evidence given bj' PW/1 he is efficie11t in his work.

Tl1e evide1 1ce regarcli11g tl1e aLttopsy s110\vs tl1at tl1e cat1se of death \vas tl1e penetratio11, i1 1to tl1e blood cell s of tl1 e l1eart, of tl1e 1nedici1 1e adrni11istered bj' tl1e injectio11s, tl1at is, pe11icilli 1 1. Tl1ree injectio 1 1s \Vere i 1 1 fact given; after . the first t,vo, tl1e cl1ilcl \Vas well, bL1 t beca1 11e \v eak after tl1e tl1ird injection The res1)011de11t tl1en tool< tl1e cl1ilcl to tl1e cloct or (PW/1) bt1t tl1e cl1ild died soon afterwards. Accorcli1 1g to 111 eclical evide1 1ce, the reaso'n for tl1 e medici11e reacl1i11g tl1e l1e�rt \Va s tl1�t tl1 e _clir�ctio11 of t l1e injecting 1 1eedle \vas oblique ratl1er t!1a1 1 lijJr1gl1t. Jvlecl1�al ev 1de1�ce, I1owever, also sl1o,ved tl1at this t!1ay l1ap1Jen 1_11_ the .case. of � �h 1 ld ,,,110 1s 111oving ,vit}1 tlie res ttlt tliat at tl1e time tl1e 1ned1c111 e ts being 1 11Jectecl tl1� direction of the 1 1eedle niay cl1ange as as rest 1 lt of tl1e 1 nove1ne11t of tl1e cl1 1ld. Tl1is evidence also sllo\ved that i 1 1 casece _ eatl1 is clt1e n1ore to accident tl,ar, to the negligen sucl1 as tl1e 1)rese1 1_t _tl1e d iof tl1e J)erson acl1 11. 1111 ster1r1g t!1e mecl:ci11e. (See evidetice of Dr. Cadeleoncinn1a�' PW/2). Also Dr Robert Rigsby ( P\V/I) stated tliat sttch an accide11t !1a1J1J e11 to aI:Y doctor , eve11 tl1e most qt t alified. U tider tl,ese circumsta1 1ces, ofit ca11!1ot be said tl1at tl1ere l1as bee11 cri1nitial 1 1egligeiice witliin the meani11g Article 59 of tl1e Pe1 1al Code. for tl1 e above reaso1 1s e th of tl,e a(JJ)eal is d istnissed ancl t l1e jt1dg·1 neni I-Iigl1 Cot1rt co11firmed.

NELIOENCE

153

NOT ES The Degree of Negligence .Required by the Common Law

Note 1:

Altho�tgh both contine11tal and co111mo11 la\v systems pt1nish negligence as an except1011, 14 the co1nmon la\v ge11erally · adds the requiretnent tl1at both adve_rtant and inadverta11t 11egligence mt1st be ''gross''. The higl1 degree of 1:egl1gence required by virtt1e of tl1e adjective ''gross'' mea11s tl1at the neg­ ligent conduct 1n11st diverge \Videly from tl1at \Vhicl1 would have occt1rred if a reasonable ma11 had acted in tl1e sa1ne circt11nsta11ces. The followi11g are two head11otes tal<e11 fro111 cases decided witl1i11 co1n1no11 law inspired JJenal systems: · Tl1e effect of tl1e fJrovisio11 i11 sectio11 217 of tl1e Criminal Code Ordinance, 1936, tl1at ''a11 t111la\vft1l omissio11 is a11 omissio11 an1ot111ti11g " is tl1at a perso11 to culpable 11eglige11ce to discl1arg·e a duty (of care) ... can be convicted of tl1e offence of 1na11slat1gl1ter [11egligent hon1icide], defined ir1 section 212 as 11causi11g the deatl1 of anotl1er person by ar1 unlawft1l act or 01nissio11'', only wl1ere it is fJroved: a.tl1at the lack of care on tl1e fJart of tl1e acc11sed amounted to ''gross 11eglige11ce'', tl1at is to s,ty, \Vas a serious divergence from the standard of reaso11ble care. Shmuel Deutscl? v. Ti;e Attorney-Gerteral, Supreme Court, Cr.A.1/ 52 (195Ll) Israel, I I Selected judgnients of tl?e S1,tpre1ne Cottrt of Israel 92. •

•

•

•

TI1e accused on a \vet day clrove a van at st1cl1 speed tl1at it \'v'as 11ot possible for l1im to pull tlfJ \Vl1en l1e tool< a tt1r11i11g. Tl,1e rest1lt \Vas that tl1e va11 got out of his co11trol a11d eve11tt1ally l1it a11d l<illed a police­ man on duty. HELD: Tl1e co11dition of tl1e road at the 1Jarticttlar tin1e 1nust be taken into consideration a11d altl1ot1gh SfJeecl is a releva11t factor it is not decisive. A very high degree of 11egligence m11st be proved to grot1nd tl1e offence of manslat1ghter. Regina v. Joseph Aki,1.yemi, I-Iigl1 Cot1rt, LA/15C/1959, federal TerritOf)' of Lagos, 1959 Lagos Law Reports 70.15 Note 2:

Comparative Statements of the Test of Negligence

Art. 28. - Negligence.

Pe11al Code of Greece (1950) 16

Whosever fails to exercise that care \Vhicl1 l1e is bound to exercise u11cler the circt1msta11ces and \Vhich l1e ca11 be expected to exercise, and for tl1at reason does not foresee the conseqt1ences of l1is acts, or altl1ot1gh he might consider such conseq11ences as possible to follo\v, trttsts tl1at they will not follow, acts negligently.

14. See Art. 59 {2) and che Index, P.C.E. for the fe,v crimes cl1at can be committecl by negligence. A different principle, however, applies with respect to petty offenses, see Art. 697 P.C.E. I 5. For the English jurisprudence see the leading case of D. P. P. v. Andrews, 2 All Eng. Rep. 522 (1937); for the American, Commonwealth v. Welansky, 316 Mass. 383 (1944). 16. As translated in Mueller, Comparati,.,:e Criminal Law 120.

CRIMINAL OUILT

154

17 50 9 (1 c li b u ep s R le n p ) ia eo ar ·r g 11 t e Crinlinal Code o f th H 1

Sect. 17. - Negligertce. e consequences �s th se re r fo to ra et rp e pe tl1 if ce en ig gl 11e to f\ crime is dtte t ill no w ey su t th 1t 1a en e1 tl id 11f e co ly ss or le ck re is if t bu t ttc nd co of llis of la ck of reasonably e us ca be es 11c ue eq s r: co h tc st e se re fo lle fails to . 11 0 t1 c e p s 1n u c ir c r o e r · a c exJJectable American Law Institute, Model Pe11al Code (1962) 18 Sect. 2.02. · - · General Requirements of Culpability. ( 1) Minimum Requirements of C1tlpability. Except as provided in Section_ 2.05, a person is not gt1ilty of an offense u11less he act_ed pu�posely, knowingly, recklessly or negligently, as_ the law may require, with respect to each material ele111e11t of the ofrense. (2) Kinds of Culpability Defined. • • • •

' •

•

(c) Recklessly. A person acts recklessly \xritl1 respect to a material element of an offense \vhen l1e consciously disregards a substantial and unjust­ ifiable -risk tl1at the material element exists or \Vill result from l1is condt1ct. Tl1e risl< 111ust be of sucl1 a nature and degree that, co11sideri11g the natt1re and purpose of the actor's conduct and . tl1e circumstances l(nown to him, its disregard involves a gross deviation from tl1e st[ndard of conduct tl1at a law-abiding person wo11ld observe in the actor's situation. ( d) Negligently. A IJ�rson acts neglige11tly with respect to a material element of a11 ��fe11se :'7hen l1e shottld be a\vare of a substa11tial and u11just1f1able risk tl1at tl1e rnaterial eleme11t exists or will result from his condt1ct. Tl1e risl( mt1st be of st1ch a natt1re and degree that the acto�'s fail11re to JJerceive it, consideri11g· tl1e nature a11d purpo se of his co11dt1ct a11d the circt1msta11ces know11 to him involve s a gross deviatio11 fro1n tl1e standard of care tl1at a rea�onable per­ s011 \X'OLtld observe in tl1e actor1 s sitt1ation. • • • •

Note 3: The Purpose of Punishing Negligence Willia111s, Wl1y Pt111isl1 Neglige11cet9 The use of . tl,e cri111i11al. la\v to pt111isl1 ne ed . en g gl ig ch en al ce l ha be s en An America,, \Vr1ter expressed tl1E objection as follows: ''If tl1e defe11da11t, being n1istal(e11 as to material facts, is to be pun ish17. Translation, P. Lamberg (Corvi 11 a Press) 18. Proposed Official Draft. 19. Williams, Crin1inalLaw 122-124.

NEOLIOEN(.:E

155

ed becat1se 1·1is 1nistal<e is 011e \Vl1icl1 a11 a\rerao·e 1 11a11 \Y/OLtlcl 11ot 111al<e, IJU_11isl1111cnt will s01neti111es be i11flictecl \vl1 e11 t11t cri1ni11al n1ind cloes 11ot ex:st. SL1cl1 a result is co11trary to fL111dat11e11tal JJri11ci11Ies, a11d is jJlai11ly for a ma11 sl1ould not be l1eld cri1ni11al beca11se of lac!< of �1 111Just, ntelligence."i 1) Tlie retribLttive tl1eory of JJL111isl11ne11t is OJJe11 to 111a11y obj<'ctio11s, \Vl1icl1 are of e\re11 greater force \v1l1e11 a1)1Jliccl to i11acl,1erte11t 11eaJ jo·e11ce tl1a11 i11 crimes reqt�iri11� 111e11s rea. So111e JJeople are bor11 recl<less, cl11�1S)', tl10115;l1tless, inat­ tentive, 1rre�po_nsible, \v1itl1 a bJcl 111e1nory a11cl a slo\v ''reaclio11 time:''. Witl1 tl1e _best ,v�ll 1n the \v'Or\cl, \'-:·e all of LIS at s0 111e ti111es i11 011r lives 111al<e 11egl1ge11t m1stal<es. It is l1arcl to see 110,v jt1stice (as disti11ct fro111 s0111e t1tilitariLt11 reason) reqt1ires mistal<es to be jJL 1 r1isl1ecl. A�a� 1 1, tl· 1e deterrent jt1stificalio11 t\1eory, \X1l· 1 icl1 is 11or111ally acceJJtecl as a _ f�r cr1n1111al jJL1111sl1n1e11t, fi11cls itself ir1 so111e clifficL1lty \vl1e11 aJJ11liecl to 11e_g·­ I1gence. At best tl1e deterrer1t effect of tl1e leo·a\ sa11ctio11 is a 1r1atler of fait\1 ra_tl1er: tl1an of fJroved scie11tific fact; bttt tl·1f:'r� is 110 deJJart111e11t i11 \Vl1icl1 tl1is fa1tl1 1s less firrnly grou11cled tl1a11 tl1at of 11eglige11ce. I-Iarclly a11>' 1notorist bttt does 11ot fir111ly believe tl1at if l1e is i11volvecl i11 a11 accicle11t it \vii! be tl1e otl1e�· fello\v1 1 s fault. It 111ay see1n, t\1erefore, that tl1c tl1reat of IJLt11isl1111c11t for negligence must r1ass l1im b1·, because l1e cloes 11ot realise tl1at it is 8.clclressed to him. Even if a perso11 aclrnits tl1at l1e occasio11all)' 111al<es a 11egli1�e11t 111istal,e, how, in tl1e 11att1re of tl1i11gs1 ca11 1J1111isl1111e11t for i11advertence ser,,e to clet�r? One 1nay go even fL1rtl1er a11cl Scl.)' tl1at tl1e doL1bts atte11clont t1po11 tl1c pt1nisl1mer1t of negligence a111Jly also, i11 so 1nc degree, to tile 111111isl1111e 1 1t of recklessness. SttjJerficially it lnay aJJjJear to be 111ore jt1st to fJL111isl1 recl<less11es;;- tl1�11 tc) pu11isl1 i11adverte11t 1 1eglige11ce. Vet tl1e tr11t11 is ll1at t\1is clisti11clic>11 111ay r11crcly involve a cliscri111i11atio11 bet\v1ee11 JJerso11s s11fferi11g fro111 e111otio11:.i.l i11stabilil>' or Iacl< of \Xlisclorn a11cl JJerso11s sL1fferi11g fro111 11oor i11telliger1ce. Ari t111i11tel­ Iigent rJerso11 111a)' fail to foresee a co11seq11e11ce, a11cl so l)e acc111itt.ecl of recl<­ lessr:ess. An i11tellige11t perso11 1r1a_), foresee tl1e co11seq11e11ce, or at least tl1e possibility of tl1e co11seque 11ce, a11cl yet, O\vi11g· to lacl< of jt1dg111e11t, believe that lie ca11 so act as to avert it. IIis ''fa11ll" 111ay· co11sist i11 a11 i1n1Jett1osity \vhicl1 pre,,ents l1i1 n from restrai11i11g l1in1self a11cl \'v'aiti11g till tl1e clanger is 1Jast. This in1pett1osity is jttst as mucl1 a co11stitt1tio11al deficie 11C.)' as lacl< of foresigl1t • Tl1e ar g ume 11 t i11 favo Lt r of IJ LI 11is I 1 �1e11t is t 11at, jLtst as i t i s . 1 ) ossi�1e .for punishment to ca11se a person to ex�rc1se g·reate_r co11trol ove�- 111s acts 111 vte\v r of the l<no\vr1 da11gers, so it is 1Joss1ble for jJt111.1sl1111e 11t to br111g _a�oL1t greate _ foresigl1t, by ca11si11g tl1e SL1bject to sto1J J.11cl t\11 111< be-fore co111rn1tt111g l11111self to a course of concluct. A sup1Jorting consideratio11 is tl1at jJL111isl1111er1t . 111a1 �Jeter . i11 respect of some subsidiary rt1le of 1Jruder1c� _ tl1e _ breacl1 . of \v\11cl1 1s 111t_e11l1011al. f\ltl1011gl1 the har1nful result of careless dr1v111g IS 11ot 111te11decl, tl1ere IS ofte11 a11 ele111e11t in the careless driving tl1at is inte11ded, (e.g., _ p11lli11g OL1t � 11 a bli11cl cor11er), and the punisl11nent, coLtpled with a recollect1011 of t�1e �1rc1t1nsta11ccs of tl1e accident, may ''co11dition'' tl1e driver 11ot to repeat l11s _ 1n1stal<�, a11d 111a.)' e,� e11 caL1se him to be more careful i11 other resrJects. Co11ce1vabl)' 1t 111ay also 1n1•

(l)

Keedy

in

0 a1'd L. .l�ev. 84. 22 Ifar1., -

CRIMINAL GUILT

156

e that wa s m k ta is m e th of to e ow 111 c k� ho w o rs l1e ot a de. rove tl,e coi,dtict of 1 r eat of J)t1111sl1me11 t ma y not be able to make P1 n ti1 e sam e \'v, tl tl1e t v,ay, al g·l1 l,oti ·1 t may caus ' n, tte e me so to d f a go y I re or a v� l1a I at th ng l,i et 11 1 rne reii,eii,ber so . et t rg o fo n do I t 1a tl 1d i1 1 1 1 y 1 1 1 1 i1n IJress a fact 01 1 advertenc e d?es not go very far, t 1 1 i _ of 1 e m sh 11i 1 _ pt e tl1 r fo 1 1-1,is jttstificatio1 e1 1 t. except1on�l. Eve11 wl,ere 1m 1sl 1n cl1 J)L st1 1 11g al< 111 1 i1 ly se \-v-i aricl tl,e la\x, acts e rat1 ng as a \Xt�rning op 1e, f11 a 1 of r�1 fo e h t_ <es tal st be it d, se JJo itll i-:lLinisliinei,t is _ st. pa l1e r_t ss t fo Lo 1 1 1 sh111en pu l of libe rty t1a ta.n bs st1 a as a11 tl1 er tli ra for tlie futtire ertently. If tl1 e of­ dv 1!1a rm se l1� cau �o wl o�e 1 tl for re 1 ast 111e is 110t a 11 ecessary cial _da 11 �er 111 his prese11 t occ�rJatio n, so E. be to as 1t 1 te JJe om iiic so is r feiide er metl1ods of correct101 1 fail) ld 111:1 f 1 ( t 1 b1_ �im �e e:"a arc inc to 11ot is y 1ed tlie re11 1 1g e r. cla a ts he 1 l 11c \Xrl 1n 1ty t1v ac tl1e 1n fro 1 n 11i e c to ex ltid •

•

•

•

•

Ot1est1ons

1. I l

2.

Is it 11seft1I a11d 1)ro1) er to parapl1 rase tl1 e Art. 59 test of neglige11ce as fo}}O\VS:

Did tl1e defe11da11t, l1 avi11 g a certain ag e, exp erie11 ce, education, occupa­ tio11 a11 d ra11l<, fail to take s11cl1 1)recat1tio11 s as 1nigl1t reasonably be ex1Jected of sucl1 a n1an in tl1 e circ11msta11ces of tl1 e cas e? Wl1at does Pa11cl1at1d 1nean by tl1e objective a11d subjective el ements of 11 eglige11ce? S ee supra at f)jJ. 6-7 for J)referred t er111i11 0Iogy. Wl1icl1 star1dard is i11cor1Jorated \xritl1i11 Art. 59? \Vl1 at objectio11 s can yo11 s ee to applyi11g a1 1 excl11sivel)' exter11al or a1 1 e:cclt1sively individual standard? WI1icl1 stand­ ard best 11 1Jl1olds tl1e Art. 1 JJlll'JJ ose of ens11ri11 g ''order, peace a11d tl1e sect1rity of state... '? Wl1 at is J11stice I Iolmes' co11c ern \vitl1 tl1e ap1Jlica­ tio11 of a11 i11 clivid11al standarcl? J\ssu1ne in tl1e case of Ato Te 1fu tl1at tl1 e t\xro doctors' testimo 11 )' \'1/'as as 1

3.

fo}}O\VS:

'.'lncide11t� suc11 as that i11 :he i1 1sta11 t case haJ)JJe 11 ver)' rarel)' i11 n1ed1cal 1Jr�ct1ce;_ tl1e)' 111ay occJr, 11 0\xrever, if a doctor does 11 ot carefully 11old l11s 1Jat1e11 t, tl1ereby ca.usi11 g obliqt1e i11jectioi1. Sl7ott!d f\to TerfLt be co11\1 !ctecl of 11eglige11t l101nicide t111der Art. 526 P.C.E., �t\1e11 tl:e _above test1111 c11y? Was tl1e co11rt i 11 tl1 e Mako11nen case correct 111 co11 v1ct1ng· for 11egliger1t l10111icid e? 4. Does Art. 59 :eqt�i� ·e a l1ig·h clegree of 11eg·1igeiice? Se e Note 1 for the co1n111011 la\v 1eqt111en1 e11t of ''cross1 11eo·1 1·o·etlc e ,vr 1 o o . vv 1 at 1· s ti1 e p 111. pose of ·· 1g- a I 11g t: . ·1 eqt11· 111 · -11 degree of 11eot 1o-0erice?• o;ct 1 A to l\,,. 11a1< or1 n e11 co1n1n ·t 1 wl1at , c. mio·e11t be ca'- 11 ed , ,g1.oss, 11eg1.1 ge nce? 5. \X'11at I Jt1rfJ ose is served . b Y fJ L 11 1· s111· 11 g Ato J\t\ al< t 1 11 \YI o is 1 11 1 u ? 1 J) 1 e 1 1 11 1n at e 1 �v1 1,o ll1 e 1 b. e ·linJJ�s e d o r1 1·1 I m u11 d er t11e JJ ri11 ci I) 1 es set o u t i11 t i1e p .C r::.?1 vv. ot1· ld 1 t be \Vtser .·as sL10ob -o-e.sted . 1· 11 N 0te 3 , to re1nove Ato Mal<o11 ne11 fr.on his JOb as a bus cl1 iver or 111val1date l1 is dri vir10 . o- 11·ce11s e ? 6. Ca11 011 e be co11victecl of neo-1·0 1 ·e11ce _\xr1·t11 resrJect to a11 y cri111e e11umerat� d atl1 �E 11egl I o i 11 tl1e S 1 Jecial Par tt ? t o Sl1 · · ld . · . . · e 11 c e 1s1 d • . o f th cor e O 111Jt11 e e b ct JJa.1 ty erect 1r1 deter111 1 11111o· tlle 1- b1'l·1 t Of s tl,e e def ing 1t da1 d in cee pro n 1 r1 cri l ina as it is 111 �ivil jJt:iceediti��? Y 11

'

----------------------------------------NEGLIGENCE

157

Problems is of tl1e guilty actor each D�terrni11e tl1e of followi11g cases \Vl1etl1er in . �1 rect 1n te11tio11, i11direct i nter1ti011, adverte11t neglige11ce or i11adverte11 t 11eg­ ltgeiice ttnder Arts. 58 a11d 59 P.C.E. if he is eitl1er: 1. a res1Jonsible adult livi11g· i11 Addis Ababa, or 2. a rather poor farn1er of sixty years \x,l10 l·1as rece11tly co1ne to Addis i-\baba fro1n tl1e 1110L111tai11s 11ortl1 o-f Oo11clar to visit l1is so11's family. a. A, \);1}1ile JJlayi11g \v'itl1 a gt1r1 tl1at lie tl·1i11l<s is t111loaded, poi11ts it at a frie11d a11d IJt1lls tl1e trigger c,1t1si11g· l1is frie11d's deatl1. b. B, ave11gir1g a11 i11st1lt to his s0111 sl1oots the 111ar1 \vl10 tittered the ins11lt. c.

C, a l1t111ter, sigl1ts a lio11 bt1t also 11otices a11other l1t1nter 11earby; 11ot \xra11ti11g to lose l1is lior1, l1e sl1oots a11y\vay, l<illi11g tl1e otl1er l1t1nter.

cl.

D ligl1ts ca11clles in l1is l101ne a11d, bei11g called away, leaves tl1e111 burni11g, causi11g a fire \vl1icl1 bur11s do\v11 l1is 11eigl1bor's l1ot1se.

e.

E shoots i11to a te_j bet, i11te11cli11g to frigl1te11 tl1e occttJJa11ts, bt1t i11 fact l<ills a ct1sto111er.

f.

F, believi11g tl1at l1e is a goocl driver a11cl \x,ill not l1t1rt a11yone, drives tl1roL1gl1 tl1e Piazza at 90 !{i!o1netres a11 l1011r a11cl l<ills a peclestria11.

Vot1 are a Pt1blic Prosect1tor \vitllir1 a certai11 jt1risclictior1 ir1 Etl1ioJ)ia. Several relatives of a certai11 old 1na11 co1l1e to yot1r office a11cl relate tl1e fol­ lowi11g sad facts: Ato A, a respo11sible official i11 a goverr1n1e11t 111i11istr)', \vas qttite late to a11 a1JfJOi11t111ent \Vitli a foreig11 ditJlo111at. A l1ailecl a taxi a11d, t11Jo11 reacl1i11g l1is desti11atio11, rapicil)' OfJe11ed tl1e door of his taxi \Vitl1ot1t lool<i11g to the rear. A11 auto111obile approacl1i11g fro1n bel1i11d at a 11or111al dista11ce a11d speed, i11 order to avoid l1itti11g 1\to A, l1acl to S\verve to tl1e side of tl1e road \'v'here 1111fortL1t-f<1tely a11 olcl ma11 \Vas sta11cli11g. Tl1e old 111a11 was !(nockecl clo\vn a11d serioLtsly i11jt1red. Se\1 eral perso11s standi11g nearby cal­ led a policen1a11 \Vl10 rt1sl1ecl to tl1e site of tl1e .accide11t. I11 l1is attempt to l1elp tl1e old 1na11, wl10 \Vas tl1e11 co11sciot1s, tl1e JJOlice1na11 lifted l1in1 LIIJ to carry l1im towarcl a hospital. He l1acl 11ot, 110_\'v'ever, grifJIJecl _ l1in1 fi� ·�1ly and t}1e old ma11 agai11 fell to tl1e grou11d \Vl11cl1 aggravated 111s co11cl1t1011 and led to his cleatl1 soo11 tl1ere,1fter. Set out exactly how yott wottld JJropose as Pttblic Prosect1tor to best prove a case agai11st Ato A t111der Art. 526 P.C.E. CarefL1lly relate, \vl1erever releva11t, the facts to tl1e la\v. Remember tl1at ''causatio11'' 1nay be esse11tial to tl1e proof of your case. Recommended Readings Schonbrod c. Prociireur General dJt Canton de Berne, RO 88 IV 4, Jl� IV 39 (1962) (recent Swiss jurisprttdence not allowit1g probatio11 ir1 tl1e case of r1eglige11t

''

..

158

'

CRIMINAL GUILT

clriving due to i11toxicatio11; n. b. comprehe11sive r1ote by Heim foll o,:vii i g case). Baumarzrz c. £11c/J et Procureitr Gerzera[ du Can�on de Berne) RO 85 IV 24, JT IV 107 (1959) (Swiss c�se concern111g negl1ge!1t maltreatment_ of an animal \xrliicl i also briefly cl1sc11sses adverte11t and 111adverte11t 11egl1ge11ce). Rytt, Tl,e Ne\'v' I(orean Cri1ni11al_ Coc!e of 9ctober �, I 953, 48. ]. Crim. L. Cri,n. and Pol. Sci. 280 (1957) (�r1ef d1sct1ss1011 of cr1m1nal 11egl1gence in Koreai, Oer111an a11d Anglo-A111er1ca11 law). Willian1s, Crimi,ial law 53-67, 100-124 (clear statement of tl1e law of 11egli0oence in tl1e comn1011 law). I-Iall, Gerzeral Priticiples of Cri1ninal Law 105-146 (tl1ougl1tf11l discussion of the tl1eory a11d case la\v of crimi11al 11egligence). Merle, Droit Penal 243-252 (sl1ort disct1ssio11 of neglige11ce i11 frencl1 penal Ia\xr). feldbrttgge, .Soviet Criminal Law, 9 Law in Easter1z Europe 175-180 (1964-) (sl1ort state111e11t 011 neglige11ce i11 Soviet crimi11al la\'v').

.

..

-,

.

.·

-.

CHJ1PTER 9

Criminal Responsibility SECTION A. ABSOLUTE IRRESPONSIBIUTY AND THE DEFENSE OF INSANITY

a. Y:fz e JJ resent Law ancl its Origins PENAL CODE t)f ETJ-IIOPIA A rt. 48. - Cri,nirzal Responsibility a1zd lr1esporzsibility.

(1) Tlie offender \Vl1 0 is res1Jo1is:ble for l1 is acts is alo11e liable to IJL1r1isl1merit u11cler tlie IJrovision� of cri1i1i11 al law. A IJersori is riot resJJ011 sible fo1 l1is acts t111 der tlie la\v \Vlien o\viria to age, ill1iess, ab1iormal delay i1 l1is develo1J1iie11t or deterior;tio11 of liis me1ital faculties, lie \Vas i1ica1Jable at tl1 e ti1ne of liis act of t111der­ sta1iclirig tl1 e 1iatt1re or co11seqt1e1ices of liis act, or of reg�1lating .... l1is conduct accordirig to sucl1 t111 de�standi1ig. (2) Tl1 e Court 1nay order iri re�pect of a11 irrespo11sible person st1ch

suitable measttres of treat1ne11 t Qr protectio1i as are JJrovided by law. (Art. 133-135).

ATO OETATCiiEW GIZAW v. TI-IE ADVOCATE GENERAL S1,pren2e lraperial Court, Criminal Appeal No. 95 / 51 ( 19 5 9 G. C.) I ]. EtIJ. L 11 ( 1964) Etl:iopia

Vekatit 3, 1951 E.C. (febrttary 11, 1959 0.C.); Jt1stices: Afe11egt1s Tal<elle Wolde Iia\x,ariat, Dr. W. Bul1agiar, Blatta Bakele J-labte Iv1ic11 ael: - This is an appeal against tl1 e judgment of tl1e Iiigh Cot1r·, wliicl1 fot111d tl1e appella11t gt1ilty of homicide i11 the first degree a11 d by mcjority se11 tenced tl1e appellarit to death; according to the minority judgment a �r1 te1ice of rigorous impriso11 ment for life \Vas considered a more sttitable {JUnisliment in tl1e circt1mstances of tlie case. The facts in this case are 11ot contestecl by tl1e appella1it; i11deed there can be no doubt wl1atsoever that tlie apJella11 t l<illed Liet1tena11t Tsigeh Oetanel1 by sliooting l1 im i11 tl1e back. Tl1 e 01ily defe11ce in tl-1e I Iigl1 Cot1rt was, broadly speaking, one of i11 sanity, anc expert \vitr1 esses \Vere called by tl1e defence to support tl1is jJlea. Tlie evide11 ce of Dr. Niel< A. Capotas, the at Addis Ababa, is Medical Director of tl1 e Emanuel StatE Me1ital J IosrJital the relevant a11d material eviderice on tl1 e JJoint. The co11 clt1sio11 of this medical expert, who l1ad the appella11t 1nder observatio11, is that the aJJpellant

--:.'

.

.,

J

160

I'

Cf{IMINAL RESPONSIBILITY

11ion of t 11 e x Ji 01 l na fi 1e ll tl e fu ot qu o T th rt, is a ''co,is tittitio,,al 1Jsycl1op�all)''. b_�lo11gs to tl1e _ g ro up of tl1 e emot�ioipe , c1 . ' 1Je ally e s __ e ,, 0r 111 it tlie aJJJJellai 1 e 11ature _or co�1trol s tl _1n ct fe by de ed 1z 1 e �t ra l1a JJatliological JJer soi ial i ti�s1 � 11ct1011 of the pe�s011al1 ty.,_ they are 1m�ulsive of ft1 id ai e tiv c fe af t or l iia io 1 tile e11 o c al, 1Jsycl1olog1cal, J)rofes­ s1 in l1y ra (p d st 11 a ss re st of t 111 t 11o excitable. Tl,e ttsti al a1 al rm _ d le 11o al 1 d!\1id uals, :c i1 · so e. 01 ·ag e� av e tl� in 1 l , ic 1 l · \x, ) e' 11 li iJJ c s sional, 'niilitary di 1 0_11 , 1s , fo r t!11 s k11 1d of co11st1ttitiotia l t ac r� 1al 1 r1 11o ab )' atl would 1 10t elicit 1 1c reased stre11gtl1 ?f tl,eir 1 e �h to r l1e e1t 1g 11 0� ?, a11 , 1g 1 JJsycl,opatliy, too stro c o11trol a�d restra 111 tl,etn ly ate Jr1 o1 !Jr aJJ to ty 1 1l 1ab 1 1 e 1 tl to or s ive instinc tttal dr 1 1de nc y to y1el� to impulses te ced ui1 i1o Jro y all 1 1 1st t11:t an t1t abo _ _ rr�a;' bri11g . s so c iety. to ou er ng e da om c be us tl1 1d 1 a i nt ra st re ut of v1ole11ce \X1ttl1o 11

1

Tl1e grot1ncls of ap1Jeal are st i bsta1 1tiall);: (a) tl1at tl1 e Higl1 Cot1rt \vro11gly inter1Jreted tl1e p rovisions of Articles 48 a11d 49 i1 1 tl1at it co1 1fi11ed itself to tl1e consideration and interpretation of tl1 e 111edico-legal pl1 rase ''me11tal disease'', a11 exp.ression \X1l1icl1 does not a1J1Jear i11 tl1ose artic les; (b) tl1at tl1e I-Iigl1 Co11rt failed to disti1 1gt1 isl1 betwee11 ab11ormalities of the cog11itio11 fro111 those of affec tivit)', a tnate rial element \X1l1 ic h is warranted by botl1 tl1e said Articles 48 a1 1d 49; (c) that tl·1e I-I igl1 Co11 rt l1ased its decision on tbe standards of a normal perso111 wl1 ic�1 is co1 1t rary to Article 51 and also ignored the fi11 ding of tl1 e exrJert witness a11cl overlool<ed t\1e defi11ite fi11 dino0 tl1 at tl1 e ap1Jellant is a ''co11 stitt1 tional ps)rc l1opat11 ''.

No\XI u1 1cler Article 48 of tl1e Pe11al Code a person is 11 ot respo11sible for acts a1 1d tl1erefore 11ot pttnisl1able if: (i) at the ti1 ne of tl1e �ct l1 e \xras i11c apable of t1ndersta1 1ding tl1e nat11re or co11 seq 11e11ces of 111s act or of reoa l1 is c o1 1duc t accordi11g to b ulati1 1 0 sucl1 1111dersta1 1ding, a11ct (ii) suc1 1 sta_te i� dt1e to_ ag·e, ill1 1ess, ab11 or1 nal delay i11 l 1is develo1Jme11 t or deter1 orat1 or1 of 111 s n1 e11tal facultie s. Siinilarl� 1!1 1der Article 49, a JJerso11 i s 11 ot liable to tl1e full pt1nisl1ment, l1ecause of l11111tecl re s 1Jo11sibility, if: (i) at tl7 e lit77 e of tl1e act, lie \,:,as not fully c apable of u11ders ta11 di11 g the natttre a iid conseq�1e11ces tl1ereof or reo·t1 lati1 1g l1 is conduct accordin °· to st1cl1 t111ders ta1 1ct111 g·, ar i d (ii) s t1 cl1 stale \Vas dt1e to a ct ei·ai,gen · 1 e11 t of l11s · mi1 1d or understa1 1d1 ng, 0.1 aii art.es tec1 11 1ental develop1ner1t or a11 ab11orn1 al or deficient co11 ditio n. . Tl1 e advocate for tl1 e aJ)jJella t c .1 1.ectlY fJOln ted �t1t tl 1at 11 �itl1er of t_l1�s_e A rticles 1ne11tio1 1s ''niei ital diseases''·nt ' ;n.J�r these t\vo Art1 cl_es �l1e 1 rre�1Jons1b1l1 ty o r partial resrJ01 1sibility of tlie off e_i 1 5 based 011 t\xrO cr 1 ter1 a1 tl1at 1s, tl1 e ps)1c � o ­ logical criterio1 1 affectiiio- tli e iiit�lt _.1· g.f11 e aiicl th psychological crit erion affecti ng volitio11. \Vl1 etl1er tl,ese f,vo crite:,i ta 01�m fJ_art of� the er the und bra 11cl e 1 1 n1e dic of i1 ge11eral l1eadi11g of me i,tal dis e _ s r 1 ot IS here; �oo tecl11 settle 1 ical to t a poi 1 1 i 1 1deed it l1as 11o beari iig� 011 ��� f?11 l solt i t 1 d t , t 11 s of be tl1e e a _ . may n�atter It ? � � r ,x, 1 e t ho\X ever, tl,at t 1 se t o c iteria 11 ve be_ 11 1 1 1troduced 1n rn?der1 1 leg�isl� t , on as � 111od_er11 medic�-legal sciei,ce lias f011 1d i f le t 1 c, 1 . y sar p 11c1 ces to 1 t JJr admi the l)art1 al res1)011s1bilitJ' dti e to ce 1·ta11. 1 ;.act O rs 1�11 t11e 11 Lt m a11 mind a 11d body \V h 1ch O

b

----------------------------------------ABSOLUTE

161

IRRESPONSlBllITY

P.r�dt1ce a state or co11dition not amot111ti11g to insanity, bt1t \Vl1icl1 fortn a de­ t1111te bra1 1cl1 of medical J)sycl1ologJ,, N\odern scie11ce l1as n1ade jJrogress in tl1e study of _the l1t1n1a11 mi11cl, its po\vers a11d \veal(t1esses, a11d distinguisl1es bet\vee11 ab11o�mal1�y of mind, me11tal res1Jot1sibility, e111otio11al instability, gross 1Jer­ so_nal1ty disorder, and so fort!,. The tern, '' IJsycl101Jath'' as t1sed in 1noder11 sc!e11ce l1as 11ot really a defi11ite n1ea11i11g \vl1icl1 i11dicates exactly tl1e state of mind or the {Jsycl1ological set-t11J of a l)artict1lar 1Jerso11; it is still a vagtte term a11d does 11ot i11dicate a JJarticular st,tte of 111i11cl or co11ditio11. l11 tl1is particttlar case ex1Jert evicle11ce is to tl1e effect tl1at tl1e a1Jpella11t is 111ore i11cli11ecl to give \way to l1is insti11cts tl1an ar1otl1er JJerso11 \vl10 is nor111ally referred to as ''11orn1al''. He ft1lly t111derstancls tl1e 11att1re and cor1seqt1e11ces of l1is acts; lie is 11ot subject to act 011 a11 irresistible in11Jt1lse; l1e is simply i11cli11ed to use less resistance t]·1a11 another IJerson to do \vl1at lie 1<110\vs is \X1ro110· eve11 l<n0Yvi11g tl1e co11seq11e11ces of l1is acts. It is also clear t!-1at tl1is state or �011clitio11 is 11ot dt1e to age, c)r illness, or ab11orr11al clelay i 1 1 l1is clevelo1J111ent or cleterioratio11 of l1is 111e11tal fac t._tlties; the a1JfJella11t ca11 11ot, tl1erefore, rely 011 absoltite irres1Jo11sibility tt11der Article 48 botl1 becat1se tl1at 1-\rticle cloes 11ot cover tl1e cat1ses of l1is state or co11 �iiion . and also because l1e ca1111ot be said to be c1l1solutel.J, i11ca1Jable of co11troll1ng l11s acts or regt1lating l1is co11dttct accorcli11g to l1is u11dersta11cli11g. Nor is t}1ere t1r1der Article 49 a dera11ger11e11t of mi11d or Lt11clersta11di11g or arrestee! mental develo1Jn1ent; a11d tl1e 011ly n1atter to be co11sidered is \'(/l1etlier tl1 ere is an abnormal or deficie11t co11ditio11 \Vitl1i11 tl1e 111ea11ir1g of tl1at 1-\rticle. Tl1e medical exrJert stated tl1at tl1e t:i/1Je of co11stitt.1tior1al fJSycl101Jatl1 to \X1 l1icl1 tl1e appellant belongs is i11cli11ed, i11 certai11 circt11nsta11ces, to yielcl to i111pL1lses of viole11ce witl1out restraint, \Vl1ile st1cl1 circt1111sta11ces wo11ld r1ot elicit arl)' abnor1nal reactio11 in tl1e case of tl1e so- called ''nor111al'' i11divid11al. Tl1is state or co11dition may arise 011t of variot1s cat1ses; tl1t1s a perso11 \vl10 is 111orally perverted is rnore or less i11ca1Jable of controlli11g l1is i11stir1cts, b11t it is 1111i­ versally acknowleclgeci tl1at sucl1 a fJerso11 is r1ot protectecl by tl1e 1Jrovisio11s of Article 48 or 49. Article 49 is 11ot i11tenclecl to cover a case of \'(/eal<11ess of cl1aracter \vl1ich, l1avi11g regarcl to a nor111al i11cliviclual, 111aj' be saicl to be ''ar1 ab11ormal or deficie11t condition." Tl1e ca11se of tl1e abr1ormal or deficier1t cor1ditio11, within tl1e mea11i11g of Article 49 1nt1st be dt1e to sor11e biolog·ical factor and not sucl1 factors as t1pbringi11g or at111ospl1ere of living. Neitl1er Article 48 11or Article ,19 cover tl1e prese11t case; tl1e aJ)pellant 1nL1st be co11sidered to be ftrlly res1Jo11sible ancl tl1e Iiigl1 Cot1rt \Vas rigl1t i11 fi11ding l1itn. guilty of i11te11tional l1omicide in the first degree. Witl1 regard to sente11ce, Article 522 of tl1e Penal Cocle JJrovides for tl1e sentence of death or the se11tence of rigorot1s imJJriso11111e11 t for life. Tl1e facts in this case justify tl1e sente11ce of cleatl1. The a1J1Jeal is, tl1erefore, dismissed, and the co11victio11 and tl1e sentence of tl1e Higl1 Court are co11firmed. (Se11tence of deatl1 co11fir 1ned by I-Iis I111perial Majesty i11 accordance \vitl1 the Revised Constitutio11 of Etl1iopia, Art. 59, a11d tl1e Code of Crin1i11al Pro­ cedure, Art. 204. - ed.). •

M'NAOI-ITEN'S CASE I-louse of Lords, 10 Cl. and F. 200 (1843) Englaricl [The defendant \vas indicted for. tl1e mttrder of Ed\XJarcl Drt1n11no11d, secrc-

->ONSIBILITY f{ESJ Cl<l iv\ lN1\L

162

. d_ ev le e e nc id e e f_ . l he de T t n er ob e . e . P i � of ac Pririie I v\i i 1ister, S �- R le ti tar, lo i d delusions. rb mo n tai l1 cer w1t 11 , s10 ses ob s i h rly The . cusec , ) 1 s ·1 11 sa11 ·1t;,,, particLtla · · 1 arge to .the Jury state · 1 a _ 1s c , · 1 h 1n 1 ct 11 e T c ti s u J f ie h C d · Li dae Lord s ·ct· a t ac 1n q� tl1e � 1 at tl est e r t1m l1e e w wh is ion d e 11 i 11 1 ter e ct ' s � �� ���s {i01 ; to be i nd ta rs de s un hi e e of , tl1 us ng t no d a 1 so l or as d l1a to r ie i iso pr e tli · , d e ·tt 1 1n n1 co , · JL s 1r e o s r o · I d t If th c u a <e 1c Id . h r o . g b 11 e . ro . w a of 1g i1 o cl :X' as w e li t la tl W l<tlO c 1tt l1e m e om tim e tl1 ed , at le 1b 11s se 1t, t 1o 1 t _ l iat as \v r 11e iso JJr e tli iat l i t opi i iio i . d ul l1e wo e11 1 tl1 a1 1 e , d b_ m a1 od O l tit of en _ tl1 bo ed XIS . la\ e tli ig i i at ol vi 11 e w as re :ve of ey , o th ry 1�1 ra op nt co e th n tliat 1 0_1 1f, J 1t bi 1r; oi fav is 1 11 j to a verdict d sta te_ of m1 11d , tl1en �he i r verdict u11 so a n 1 s \va e 1 l t ac tl1e ed itt nrn i wlie i i 1,e co ot y, of '�N ilt 1ct gu rcl ve d on the e . � rn tL1 re ry jLt 1e Tl " 11 ]1i1 1 1st niti st be agai i1t i o�1 an d the verdict e _ att le rab ide ns co d te rac att e cas e Tl1 ." 1ity 1 o·rouiid of i11 sa 1 sa11 1ty was debated in al 11 leg of 11ce efe d 1 e tl of m ble jJro l era 1 ge1 e 1 tl as ell r \x :s d s \Vere i11vited to attend the r . Lo Law tl1e L1lt res a As rds Lo of 1se IoL 1 the to rs certain qL1estions 1 swe a1 g 1 ri1 ive del of e s po jJL1r the for ds Lor of IioLtse 1 w d 1 n i1 . fou e is tl1_ '' rule ans 1 te11 gl 'Na er ' 1 0L1s fan Tl1e . 1 . en 1 tl to d � prOJJOL1nde 1 ] ce i t }Lts 1ef 1 dal Cl Trn d . Lor by ed 1ver clel ons esti 1 d c1i ir 1 tl d 11 a 11d to tl1 e seco VoLtr Lordsl1iJJS are pleased to i11 qL1ire of us, seco11 dly, ''Wl1 at are tl1 e pro­ JJer qL1 estio11s to be sL1 b111ittecl to tl1 e jLtry, \vhere a perso11 alleged to be afflict­ ed \Vi tl 1 i 11 sa11e delusio 1 1 res1Jecti11 g 011e or n1ore JJarti<;Ltlar subjects or perso 11s1 is cl1arged \X1it l1 tl1e co11 11nissio 11 of a cri11111e (mLtrd er, for example), a 11d i11 sa11ity is set i11J as a defe11ce?'' 1\nd, tl1ird ly, l11 wl1at terms ougl1 t the question to be left to t l 1e jLtr)' as to tl1e priso11 er's state of mi11d at tl1e time whe 11 tl1e act was committed ?'' A 11 d as these t\XIO questions apJJear to us to be 111ore co 11 venie 1 1tly a11 swered togetl1er, we l1ave to submit our opi11ion to be, tl1 at tl1e jL1rors ougl1t to be told in all cases tl1at every 111a11 is to lJe 1JresL1med to be sa11e, a1 1d to JJossess a sufficient deg-ree of reason to . be :espo 1 1sible for l1is cri111es, i111til the co 11trar)' be proved to tl1eir sal1sfact 1 0 1 1; and tl1at to establisl1 a defence on tl1e g·roi1nd of i 1 1sa nity, it mLtst be clearl)' proved t\1 at, at tl1 e ti1ne of tl1 e comn1itting of tl1e act, tl1e party acci1 sed \Vas labot1r11 1g Lt11der SL1cl1 a defect of reason fron1 disease of tl1e mi 1 1cl_, as 1 1ot !O lc 1 10\v tl1e_ 11atL1re a11d qL 1 alit)' of tl1 e a�t lie \v1as doi11g; or, if l1� d 1cl.1 < 1 10\v 1t, tl1at lie d id 11 ot 1< 1 10\v l1e \v;as cloi i ig wliat \Xlas \Xlrong. Tl1e mode or pL1tt111g t l1e latter JJart of tl1 e qL1estio11 to tl1e jLtry 0 1 1 t l 1ese occasio11s has g�11erally been, \Vl1et l1 er tl1e accused at tl1e ti111 e of d oi 11 o· the act k new tl1e d1ffereiice_ bet\vect� rigl·1t �11 cl �ro 11g: \vl1icl1 n1 ode, tl10L1gl1 r�rel)', if ever leading , \X1 1 tl1 tl1e JL1ry, 1s 11 ot, to a 1 1y 1n1 stal\� as \Ve co iiceive, so accurate \vl1e1 1 put ge 1 1erally _ a1 1cl 11 1 tl1e abstr�ct, as \vl1en jJLlt \Viti, reference to tlie JJarty's l<tlO\X'l­ edge_ of rig!:t ai,d \Vrotig i n res1Ject of tl1e very act \xritl1 wl1 icl1 l1 e is cl1arg·ed. If t l 1e. quest10_1 1 \Xrere to be jJLtt as to tlie l<IlO\vled ae of tli e acctlsed solel and )' 1 excl�1s1\ el)' \V 1 t_ l 1 re_fere11 ce to t l1 e ]a\v of tlie latid � it riiiglit te confo ttnd to iid tl1e Jltry, by 1 1 1dL1c111g �l1e11! to believe tliat a 1 1 actLtal l<iio th e ]a\V of w le dg e of t l 1e la11d was esse1 1t1 al 111 order to lea'd to a e )a\V · t10n; 1 ti conv1c 1ereas · w 1 . is aci 1 11i 11is tere · d :lJ�O1 1 tl· ie I)r111c · 11Jle tl1 at ever)' one m11st be tal<e11 conclL1sivel)'. t0 l<tlO\xr 1t, w i t l lOLtt. IJroof tl1at lie does 1< 1 10\v nco \xr as it If ac cu 1 tl se e d . sc i ous tl1 at t l1 e act ',):,as 0 1 1e \xrliicli lie otigJ1t 110t \X,as at t · ? act . o, d If �1 the 1 cl tl1e sa 1 ne ti111e co1 1trar)' to tl1 e la\x, of tl1e l a :d al usu· , tl1e lie 1s a11d JJ\I t 11sl 1 able; � course tl1ei·efore lias beeii to lea\, . lie . rt qt teS l i on to tl1e J L1ry, \vl1etl1er e tl _ 1 � IJa { ,tccL1sed l1ad a stifficietit deg·ree 1 1 ea 11 t a 11 c w l 11o a . l g_ 1 at 1 1 1 lie d s o t wa · < � ? \ � t!1at was \vro11g: a1 1d tl1is COL1 rs ·V e f111nk IS correct, accon11Ja11ied \XT i tl1 sue h

ff

'

.

l.

Paulsen and

Kaclisl1, Cri1ninal Ltzw

31.2.

163

ABSOLUTE IRRESPONSIBILITY

observations and expla11ations as tl1e circumstances of each partict1lar case may require. THE INABILITY TO REGULATE CONDUCT: TI-IE IRRESISTIBLE IMPULSE2 Rolliri Perki,is

\

... A \VOrd \vith reference to tl1e 1nea11i11g of the tern1 ''irresistible im­ pt1lse'' may serve a Ltsefttl pt1r1Jose.... Does ''irresistible imfJL1lse'' 111ea11 one th_at cot1lcl not be resistecl tt11der a11y circu1nstances, or 011e tl1at can11ot be res1stecl u11der tl1e 1JarticL1lar circL1111sta11ces? If tl1ere is 111eclical evicle11ce i11 a larce11y case to tl1e effect tl1at tl1e defe11da11t tool< tl1e JJroperty as tl1e result of an irresistible im1Julse, \VOLtld it be fair to asl< the exJJert: ''Could the impulse to take the fJroperty have been resisted if there l1ad bee11 a JJolice­ man in uniform sta11di11g 11earby?'' If tl1at is not a fair qL1estiot1, tl1en certainly the cot1rt \Vas correct in saying: ''BLtt if a11 i11flLte11ce be so JJO\verfLtl as to be termed irresistible 1 so mttch tl1e 111ore reaso11 is tl1ere \vl1y \Ve sl1ot1ld 11ot \vitl1dra��, .a11y of tl1e safegt1ards te11cli11g to coL111teract it." In otl1er \vords some cott rts l1ave reft1sed to recog11 ize irresistible i111 IJL1lse as a defe11se to a criminal cl1arge because tl1ey \Vere 11ot co11vinced tl1at tl1ese imJJttlsive urges cannot be inhibited . . .. What seems to be tl1e earliest clear-ct1t recognitio11 of irresistible in1pLtlse as a JJossible groL111cl of defe11se 011 tl1e jJart of 011e \xrho l<11e\xr \vl,at l1e \Vas doi11g and u11derstood tl1at it \vas \Vrong, is f0Lt11d i11 an instrt1ctio11 give11 by CI1ief JLtstice Oibso11 to a Pen11sylva11ia jury in 1846. I-le saicl: ''But tl1ere is a moral or l,omicidal i11sa11it)', consisting of an irresistible inclination to kill, or to commit so1ne other particttlar offe11se. There may be an t111seen ligame11t pressing on tl1e 111ind, clra\vi11g it to co11seque11ces \Vhicl1 it sees but ca1111ot avoid, a11d jJlaci11g· it 1111der a coercio11, '\vl1icl1 \Vl1ile its rest1lts are clearly JJerceived, is incapable of resista11ce."< 14) A fe\V years later tl1e matter \Vas JJUt i11 tl1is la11gt1age by Chief J ttstice Dillon, of I O\va: ''Bt1t if from tl1e observation and co11curre11t testimony o-f medical me11 who' m�ke the stLtcly of i11sa11ity a SfJecialty, it sl1all be clefi11ite1y established to be trtte, that tl1ere is a11 u11sot111cl co11ditio11 of tl1e n1i11d, - tl1at is, a di­ s eased co11dition of the mi11d, in \vl1icl1, tl1ot1gl1 a perso11 abstractly l<nows that a given act is wrong, he_ is yet, by an _i1i�a1ie i,np1!lse, tl,at is, an i_m f?Ltlse proceeding from a �isease� intellect! 1rres1st1bly dr�ven to� commit 1t, .­ the law must modify its anc1e11t doctrines and recognize tl1e lruth, and give to tl1is condition, when it is satisfactorily sl1own to exist, its excL1lpatory 11 < 15> effect. The insane irresistible impttls-e test, let it be en11Jhasized, l1as 11ever been viewed as a substitute for M'Naghten but only as an additional defe11se in cases of mental disorder. 2. Perkins, Cr;minal law 758-760. ( 14) Commonwealtl, v. Mosler, 4 Penns-ylvan.ia 267 (1846). (15) Statev. Filter. 25 Iowa 82-83 (1868).

..

-

..

164

Cl{IMJN.AL RESPONSIBILITY

NOTES st e T n te h g a 'N M e th f o rs e n n Note 1: Tl1e Foreru 3 1 1, d 'X ar , Cale11dar of Close Rolls Ed 7 Edw. I 518 (/1278)

E12gland

e n d _ isy l1 Ivl _ ug of er I-I liv de to er rd �eyton O . m l1a 11g tti No of iff er To tlie sli 1 , l 1s da ugl1ter1 111 bail l) ce C1 1 atl o! de the for _ 1] 1 an � (sic), iniprisoried at Noti 1 1g[l 1all ma1nper1: to 1�ve l1im before tl1e sl 10 \vl 1ty 1 t1 co t tl1a of 11 me e to twelv , a t him o 111s d ,vh aga ak spe . sl1all t? sl1 � \vi e on ai1y if t 1 l rig to nd sta kiiig to tl1e g as Kin , ne yo an lear11s by _ ure 1n1 r t eaf l1er t 11 ll sl1a l1e t tlia � 1naiiiper11 _ � i,iqtiisition tal<e1 1 by the Jt1st1ces to deliver Not1ng[l1a111] ga ol that Hug�1 hanged J1is dat1gl1ter \vl1ilst st1ffering macl11ess, a11d no t by felony or of malice aforetl1ot1gl1t. 1

.

'

Trial of Ed\vard Arnold J(ingston Assizes, 16 I-low. St. Tr. 695, 764 (1724).

l 1

England

JUSTICE TRACY, cl1argi11g tl1e jt1ry: ...If a man be deprived of l1is reaso11, a11d co11seqt1e11tly of l1is i11te11tion, lie can11ot be guilty; ...punisl1me11t is i11tended for example, a11d to deter otl1er [)ersons from \vicked designs; but the fJt111isl11ne11t of a madma11, a person tl1at hatl1 no desig11 1 can have no exan11Jle. Tl1is is 011e side.On the other side, \Ve must be very cautious; it is 11ot every frar1tic a11d idle ht1mour of a ma11, tl1at \Vill exempt l1im fron1 jt1stice, a1 1cl the punisl1me11t of tl1e la\v. Wl1en a ma1 1 is gt 1 ilty of a great of­ fence, it n1L1st be very plai 11 and clear, before a man is allo\ved sucl1 an exen1ptio11; tl1erefore it is not every ki11d of fra11tic I1t1 1 11our or sometl1ing L1naccot111table ir1 a ma11's actions, tl1at )Joints hi1n out to be sucl1 a madman as is to be exe111pted from jJt1 11isl11ne11t: it 1nt1st be a ma11 tl1at is totally de­ prived of l1is t111dersta11dir1g a11d men1ory, ai1d dot!, 11ot k11ow \vl1at l1e �s _ _ doing, 110 1nore tl1a11 a11 111fa11t1 tl1a11 a brute ' or a \Vild beast' sucl1 a 011e 1s never the object of pt111isl11nent. . . . Fitz I Ie - rbert, Ne\v Natt1ra Brevit1 m (1794)4 Ai7 d lie wl1o shall be said to be a sot and idiot fron1 l1is birtl1, is st1ch �. JJerso11 wl1_0 ca,'.111�t accot1nt or 11t1n1ber t,x,ei,ty J)et,ce, nor can tell \vl,o \xras 111s fat11er o1 111o c.11e 1 , 1 1or 11o \V o I ct )1e is e tc . s O a · . , , s 1t n1ay appear t l1at I1 e hat h 110 �11derst a11d.1 11g of reaso11 \X1l1at sliall be for his Joss : lii pr s of fo it, r \v or l,a t bttt tf l1e hatl1 suc�1 u11cle�·sta11di11g, tliat lie l<tiow ers, le tt ai ,d tii hi icl s er st an d and read by teacl11ng or 1 nfor1natio11 of another J 1 e is m tl ti an, ien 1 1 ·t me see not a sot 1 1or a 11atural idiot. 3. 4.

Tl1e materials in this Note are t.iken fre in M"ichaeI and Wecl1sler, Crin,inal La 807- O. 31 w 9cl1 ed., p. 233.

ABSOLUTE IRRESPONSIBILITY

165

Ha\vkins, Pleas of the Cr0\'<:11 (1824)5 . The g�ilt of offending against any la\v wl1atsoever, necessarily supposing � \Vtlful disobedience, can never justly be i1npi1ted to tl1ose \Vl10 are eitl1er tncapable of t1nderstanding it, or of co11formi110- tl1e1nselves to it. Tl1erefore, b�fore . I co111e to tl1e several l<inds of offe11ces, sl1all sl1e\v \Vl1at degrees of d1scret1on and freedotn are reqLtired i11 tl1e cornmissio11 of tl1e1n. for tl1e better �nderstanding wl1ereof, I sl1all co11sider \X1l1at offe11clers are excL1sable. - first, 1n respect to their want of reason. - Secondl)', in res1Ject of tl1eir subjection to the po\ver of others.

I

Sect. 1. As to tl1e first Point, it is to be observed, that tl1ose \vl10 are

u11der a natL1ral disability of disti11gL1isl1i11g bet\vee11 good a11d evil, as i11fa11ts Ut:de_r tl1e age of. discretion, idiots, a11d lu11atics, are not JJLt11isl1able by any cr1m1nal prosecut1011 \vl1atsoever.... Hale, Pleas of the Cro\-v11 (1847)6 It is very difficult to defi11e tl1e i11cli\1isible Ii11e tl1at clivicles !Jerfect a11d parti�l insa11it),; bL1t it m11st rest i1po11 circ11111sta11ces dt1ly to be \veigl1ed a11d considered both by tl1e jLtclge a11d jur)', lest 011 tl1e 011e side tl1ere be a l,i11d of inhumanity to\vard tl1e defects of l111111a11 nature, or on the other side too great an indL1lgence given to great crimes: tl1e best measL1re tl1at I can tl1inl< of is this; s11cl1 a person as labouri11g 11nder n1elancl1oly cliste1npers hatl1 yet ordinarily as great u11dersta11ding, as ordi11arily a cl1ild of fot1rtee11 years l1atl1, is such a perso11 as 111ay be g11ilt)' of treaso11 or felo11y. Note 2:

The Progeny of tl1e M'J\Jaghten Test

It is clear from comJJarison of tl1e Ava11t-projet of IV\. Jea11 Orave11 a11d Art. 10 of tl1e C.P.S. tl1at the 111ost direct so11rce of Art. 48 P.C.E. ,vas tl1e Swiss Pe11al Code. Art. 10, as 11u1nerot1s otl1er si111ilar articles i11 variotts codes - a few of wl1icl1 are set out belo,v to sl10\v tl1eir overwl1elmi11g si111ilarity despite wide geograpl1ical distrib11tio11 � �te1n11_1ed i11 fJart fro111 tl1e considerable i11fluence tl1at the I-louse of Lords dec1s1011 1n the M Nagl1te11 case l1ad 011 the Continent and eventually thro11gl1out mttch of the \X1orld. Germany (1871): Sect. 51 -:- �n act does not co1:stitute a11 offense _if the actor at the time of tl1e comn11ss1on of the act \vas e1tl1er unable to realize tl1e forbidden 11ature of l1is act or 11nable to act i11 accorda11ce witl1 pro1)er 1111derstanding because his cor1sciousness \vas in11Jaire� ?r �ec�use l1e has sL1fferecl either pathological mental dera11gement or n1ental 111f1rm1ty. Czechoslovakia (1951): Art. I l - A fJerson is 11ot cri1ninally resJJOnsible for his act if at the time of this act, being mentally deranged, he \vas not able t o discern that his act was da11gerous to society or coLtld not co11trol l1is actions.7 1

5. 6. 7.

Vol. 1, p. 4. Vol. 1, p. 30. As translated in Keedy, Irresistible Impulse as a Defense in the Criminal law, 100 U. Pennsyl'Va11ia L. Rerv. 970, 971, 97 4 ( 1952); see this article also for a variety of other national provisions with respect to the insanity defense. r

166

J QNSIBILlTY RESf AL CRIMIN

. rt 22 _ One is exe1n1Jt from punishm en t wl1e 11, at the . . . Brazil � 1 �4. 0). � �o11 of r11 e11tal disord e_r ?r reta rded 1:1enta! dev�lopmen t 1 t1111e of act_1110 ' by r a o' n i o 1 11s te ac f ar ch t al ac 111 1m o cr e tl1 11d o r t a st er 1d t11 to e bl a 11 t1 1 y e 1r 1t 1 h e \xras e1 . . · 1g d 11 n ta s r e d 11 t1 is 1 l t 1 tl i \V e c n a d act i n accor son wl10, �s a res er p a by d te t !_ m � c o s ct � ) ult . a an ( 1961 ): Art. 15 _ (1 at e as t o th e propriety of his 111 1m c1 d1 s o t t,, c1 ,Ja ca 1 . · · • 1 a1 d'1so 1·dei·, la' cl<s of mJe1Pt n e n o t punt· sh able.a ar 1o at 1n 11 11 cr 1s d 1 cl u s to condtict or to act accorcli11g Note 3: The Psychopatl1

Tlie psycl1opatl1 l1as pr_ ese11ted �0!1�id erable problems with i:espect to the scope of tt1e defe11se of �rr�s1Jo11s1b1_l1ty. Psycl�o�atl1y, toda)', �s t1suall_y 11ot coi,sidered a ''diseas e," as 1t 1s essentially a stat1st1cal ab11ormal1ty m�11_1fested 01,ly by bel1avioral IJatte�·11s. It .is ofte11,. l1ow_ever, all ow ed . as . a_ m1t1gatir1g circt1111stance. Tl1e follow111g S\xr1ss cas e 1 s typical of n1 t1cl1 J ur1sp1udence o n tl1e subject i11 st1bsta11tial agree111e11t with the Getatchew Gizaw case: B.

'V.

Mi12istere Public du Canton de L11CerJ'1.e 9 RO 76 IV 34, JT IV 60 (1950�) Switzerlarzd

A. - In tl1e prosect1tion agai11 st B for in cest and fornicatio11 with l1is sister, a girl below tl1e age of 16, tl1e cot111ty JJl1ysicia11 , Dr . .l\11eyer, and 011e further ex1Je rt, Dr. Naef, convi11ced tl1emselves tl1at the m er1tal a11d m oral develo1Jment of tl1e defenda11t \vas so deficie11t tl1at l1is ability t o ap1Jreciate tl1e u11la\vful11ess of l1is co11dt1ct a11d to act i11 accorda11ce \xritl1 such an aJJJJ1- eciation was reduc­ ed by 30 JJer ce11t. Tl1e cri1ni11al co11rt of tl1e Cant o11 of Lt1cer11e, by judgment of Jt1ne 24, 1949, gra11ted tl1e defe11 dant a deJJreciati on of his ca1Jacity accord­ ingly a11d mitigated l1is JJt111isl1me11t drastically. It itTifJOsed t\VO years in1prison­ me11t. �)' �IJJJeal B asl<ecl for a ft1rtl1er 111e11tal exan1i11ation, relying 011 a 1Jri\1 ate 1 exa1n111at1 111ad 011 e by Dr 1 Bla1 1 l<arts , nt acco rdi11 cr t o \'\lliic 1 tl,e defe11da s . . b aJJac1ty ,,\x:as re d ttcecl to a son1e\vl1at greater exte11t." Tlie aIJJJellate cot1rt �re1ected tl1e req11est beca11se a res t1lt 111 ore be11eficial fo r tlie d efe11da11t coltld 11ot be expected. It convicted B 011 Oct. 5, 1949, aJJfJlying Arts. 11, 66, .68, 191_. l a1:d 2, a11d 213 Pe11al Code, se11te11c.111g lii111 to 011e ai,d 011e 1,alf year s of 1m1Jr1son111ent. •

•

•

•

Nate 4: The Expert

•

Art. 51 P.C.E. JJrovides tl1at i11 cases of dou of b t ·b·11 · ty a s 1 t o tl 1e respo11s1 . . 1e d �fe11 cta11t , ''ti tl c . 1e o t1 , 1 t sl1all obta111 exJJert evideiice · . rm·. coi,fo n · 1 · · · · s 1 15 Th· , 1 ty \V 1tl1 tl1e S w1s s Pe11 a1 c O ct e a ' rl d th e 1ead.111g case of R1,1bi c. Ministere P,,b,r.c d B "l c . RO 6 1 l,. JT IV 68 ( 1943) \Vl1icl1 stat es tl1at ''By virtue : of A:t_e-l3a;f;;_n�,C.P.S. gif X,e� 15 do �1 �t as to t_lie res 1Jo d, t1s e ac c 11s ib tl1 ili e ty of tl1e judge m11st liave J1 i� inei,ta� co11d 1t1011 e xa1n111ed b )' exJ) erts." S.

9.

Draft P�nal Code of Japan, (American Serie s of F01; . 1· ::,0 n Penal Codes, 19 Translat1011, Muc-ller, Coniparat i,z:e Crim 64). ·inal Law 1 2- l S 2a; see also Model Pen,al Code, Ame ric an Law Inscicucc, Sect. 4.0 l (2}.

ABSOLUTE IRRESPONSIBILITY

167

Art.5 l (3) P.C.E.furth�r binds tl1e judge to the ''defi11ite scie11tific fi11di11gs'' of the expert but not to 111s ''apJJreciation ...of legal inferences to be draw11 therefrom.'' This is to some extent a departure from Swiss practice \vhere Logoz states that: ''The report of the expert never binds the judge," Commentaire du Code Penal Suisse 48; see also RO 75 IV 148 JT V 117 (1949), and RO 81 IV 1, JT IV 130 (1955). Questions

1.

Wl1y does Art. 48 pe11alize 011ly tl1ose saicl to be respo11sible for tl1eir acts? Wl1at is tl1e ft111ction of a test of crir11inal respo11sibility; who sl1ot1ld be placed on 011e side of tl,e li11e arid \x,}10 on tl1e otl1er?

2.

l\t\.ust tl1e fJttblic prosecutor 111al<e a sl1owi11g of sa11ity as an essential element of every case tl1at lie brings to court? Co11sicler tl1is state1nent from Logoz, Com,nentaire du Cocle Pe11al S11isse 37-38:

In princi1Jle, tl1e prosecutor does 11ot have to prove that the accused is res1Jonsible. Tl1e existe11ce of respo11sibility is in fact tl1e normal case. It is fJresutned. All doubt existi11g relevant to tl1e point of tl1e defenda11t's res1)011sibilit)' goes tO\'(!ard tl1e clestructio11 of tl1is prest1m1Jtion .. . 3. \Vl1at does tl1e Getatcl1ew Gizaw case tell us mt1st be f)rovecl to n1ake out a case for tl1e defe11se t111der Art. 48? Are factors otl1er tl1a11 ''age, illness, abnormal delay i11 c!evelo1)1ne11t or deterioration of ... 1ne11tal fact1lties'' excludecl by Art. 48? Does tl1e Of)inio11 of tl1e Sttpreme ltnJJerial Court st1ggest a11 a11s\ver? Does ill11ess n1ea11 f)l1ysical ill11ess? f\re sttch labels as the above accurate n1edical categories of cat1satio11 \vitl1i11 \vl1icl1 a doctor can easily fJlace a 111e11tal fJatie11t? 4. Is tl1e test set out i11 Art. 48 st1bstantially tl1e same as tl1e so-called ''right and \vrong'' or !<110\'(!}edg·e'' test first jJromttlgated ir1 tl1e M' Naghten case? What is the meani11g· of tl1e verb ''to t111dersta11d''? Does it incorporate emotio11al as \veil as intellectual ap1Jrehension? Jvlt1st tl1e clefendant's lack of understanding go to both the 11att1re a11d co11seqt1ences of l1is act or \Vill either be sufficie11t? Do tl1e ''11att1re or co11seqt1e11ces of I1is act'' inclttde an u11derstandi11g of t111la\vft1lness or \vro11gfulness? 5. Wl1e11 is 011e i11ca1Jable of ''regulati11g l1is co11dt1ct accorcli11g to ...u11derstandin a''? Wl1at reaso11s did tl1e Su1Jre1ne Im J)erial Cot1rt give for excluding psychopatl1s fron1 this ctefense of i11abilily to regi1late conclttct? Where did the Court derive tl1e term ''absolute'' i11ability to regulate conduct \vl1en this \v'Ord does 11ot ap1Jear in Art. 48? Does ''absolute'' also refer to understandi11g the nature or conseque11ces of one's act? 11

0

6.

7.

.�

-

Do you feel tl1at the A_rt. 48 test of irrespo11si�ility.is better tl1ar1 tl;e earlier tests enumerated 1n Note 1? At \'(/hat t11ne 1n tl1e defendant s history are we concer11ed \vitl1 l1is responsibility? See botl1 Art.48 (1) para. 2 and Art. 51 (2) para.2. What is the role to be played by tl1e expert in Etl1iopia i11 those cases where the defense of irrespo11sibility is raised (see Note 4)? Wl1at ''terms of reference'' shall the court set for tl1e expert? ls l1e tl1e proper vel1icle tl1rough which the crimi11al process is to fit the acttial 111ental state of the offender into the legal motel of irresponsibility?

.168 ' 8.

9.

) ONSIBILI-r\' SJ RE AL CI�Itv\ lN

y 1c o[ a1 v e_ e ·el 1 e _ id th ct ev fe af , 11 t ili ib s _ 11_ J0 ? sJ �e re 1 of Is st te l ga le e tli Does of 1011 11 res 1Jons1bilit y? 111at er1n det t11e to t ecl 1 st 1 . l \x,el . , � etn tl1e ad\re1satj syst ll 1a 1i1 be in cr ed to y irre�l)�ni11 m er s et er d _ nd fe of of 11 tio si Jo sJ cli Wli at is tlie by bound expert court tl1e 1s op111 136, Art. 11der 1011 U ? 3 4. · · t Ar· · 1:. d . s 1'ble 1111 e · t to co11t1nu111g conf·�nement or tr�atc _ Je s1 re 1 1t1 w s 1g 1 i 1d fi1 or aclmi t iistrative 1 11st the possible a ag t ec o JJr d l1e to l1s �b t es _ ds ar �� fe sa � ment? Are tliere 1 1de1 _A 1t. 136 (3), are there U �? e11 e1n 111 11f co '' te 1 1 f11 de ''in i ·b·1trar1, t se of on es e? dg Do �u a a oc 11 rev by t10 evoca ti ary r itr arb t e11 ev pr ::,y coiitrols to r de un ed ts 1n Ar 11f co 1ce 01 . s wa 133 ff. 10 \X1l 1 o1 rs pe d se lea re j' an refer to or 011lj' to sttb·art. (2) JJrobatio11? Prob?em

X J 1as co1ne before your clivisio11 of tl1e I-Iigl1 Cot1rt \Xil1icl1 is sitti11g in

Acldis Ababa. I-Ie is cl1arged \vitl1 Aggra�at�d I-Io�11i�ide �1r1der A1�t. _5_·22 P.C.E. bti t seel<s to defe11cl l1imself b)' establ1sl1111g cr11111nal 1rres1Jons1b1l1ty tinder Art. 48. Tl, e defe11 da11t' s testi 1 n oIl)' disclosed t1 1e fo11O\Vi11g: X tl·1e defe11da11t, 011 tl1e 11igl1t of lia111le 7 i11 tl1e year 1952 E. C. l1it V t \;ice on tl1e l1ead \x1itl1 a woocle11 sticl< wl1icl1 led to l1is cleatl1 several cla)'S later. On tl1e 11igl1t i11 qt1estio11 X l1acl come to tl1e village i11 \'\1l1ich V, a dis t a11t relative, \x,as livi11g a11cl asl<ed to s ta)' tl1e nigl1t i11 Y's l1ouse. V co11se11tecl ar1d offerecl X din11er. S01ne time after dinner, X said that l1e \Visl1ed to go ot1tside for a\x,l1ile. It hacl bee11 rai11i11g a11d V sL 1 ggested tl1at it \Vas foolisl1 to g·o ot1t, bt1t X insisted a11d went a11y\xraJ'· After a IJ (Jrox i 111ate1 y a 11 11o Lt r, V \XIent o LI t to lo o !{ for X fi11di11g 11in1 some l 00 )7 ards fro111 tl1e l1ot1se. T l1e rai11 l1ad stOJJpecl a11d tl1e 1110011 \x,as jtist a1J1Jeari11g. X \Vas qt1 ite \xret a11cl V tolcl l1in1 to co1ne bacl< to the l1ouse. X �-eft1sed a11cl V tool< l1is ar111 a11d bega11 to jJt 1ll l1i1n. X r�acl1ecl f:or a �t,cl< tl1at l1a1Jpe11ecl to be lj,,i11g· 011 the grot11 1d i1earby a11d l11t Y_ t\'v'tce \v1tl1_ great force t11Jo11 tl1e I·1ead. X ren1ai 11ed at tl1e SJJOt \xritl1 V l}1111g t111co11sc1ot1s for abott t t\vo l· 1ot1rs and tl1e11 called a 11eio0 ·l1bor to l1el1J \vitl1 V. Tl1e neigl·1bor callecl tl1e police a11d X \,,as tal(e11 i11to ct1stody'· Tl1e dc:fe11da11t's n1otl·1er testifieci as follo\x1s: X is abot1t tYve11 tj1 -seve11 )'�ars olcl a11cl l1as al\,,,l)'S li\'ed \vitl·i li is 111otl1er a_11_cl f_clt_l, r (\:<1 l1. o rece11tly c!�ecl). fro111 tl·ie earliest }'ears X see111ect strange. � r t�Jc ccl . to tell_ 1111n tl1at tl1e I 11s fatl1e 1 11001 1 1 as it \";as close to ]1ea\ren, :Xt t1lcl _ l1el1) _L oo_tl1e 111111 ,1r1cl 111,1lze \·1i111 feel better x cle a cr av'­ ve lo . iJe � ci � i _ !110 for tl1e s1b l1t of _tl1e 1110011 a11d \x1ot1ld becoine irr violent ev ita aii eii bl d e 1f 11ot a�loYvecl to sit OLtt at 11igl1t. Ile - J1as I-lit several JJeOJJle before but 11ever \VItl1 a da11g·erot1s object . Tl1e 1Jsycl1iatric evicle11ce basecl Ltf)o11 several \X'eel<s 0. \'.\ ,, 11 ·1 c1 1 tl,e d e1e 11dant .· � l c t11111;::;. \vas t 1 11der observatio11 is as follo\x,s: l'\ see1ns to be st1fferi11g fron1 scl1 izoiJli rei,ia:� rl"'e . ·1 111. es to t · is t a b su ec. J t bizarre tl1ot11Jl1t jJatterr1s a11d delt1sio11� IIe a1·1d �1s upset capa . bl e \V 1e11 l . ·. nioo.ct 0f ��t-' t· 11g \X1Itl1 coi,siderable viole11ce t11Jo11 li ttle' provocat ion. riis 1ne1:ta{' ? 11 1 �011. see1ns to l1ave ariser1 on1e � i1 1 be ea c rl y cl 1il a1 d 1d l1 o o d 1no1e se11011s 111 1ecer1t )rears. Q 11 tli· e o tl-ier li atlfl, lie fttiictioils · qLiite \Xtel l

ABSOLUTE IRRESPONSIBILITY

169

i� day-to-day life a11d_h�s.t_t11dersta11di11g a 1 1d aJ)preciatio11 of tl1e world about l�1m a11d tl1e respons1b1l1t1es reqt1ired of him are 11early 11or1nal at most times. It is difficult to say wl1ether at tl1e time of tl1e act he u11derstood the natt1re or conseque11ces of I1itting y \vith tl1e sticl<, bttt I think he probably did. . Assttming that yot1, as jt1dge, l1ave believed a11d accepted tl1e foregoi11g ev19e11ce presented by the defe11se, \Vrite an OJJi11ion for tl1e tl1ree jt1clge cot1rt ruling t11)011 tl1e defe11da11t's irrespo11sibility t111der Art.48. If you feel tl1at additio11al evidence is reqt1ired state tl1e evide11ce tl1at yo� 11eed a11d briefly \Vl1y it is 11ecessary a11cl tl1e11 JJroceed as if tl1e 11eeded evidence had been prese11ted and acceptecl duri11g tl1e trial.

b. A C1·itiqt,e of the P1·esent La1.v WH1-\ T IS WRONO WITH Tl-IE LAW 10 Henry Wei/10/en

..�robably 110 brancl1 of tl1e cri111i11al la\v l1as bee11 tl1e st1bject of so mt1cl1 cr1t1c1s1n a11d controverS)' as tl1e clefe11se of i11sa11ity.It is cl1argecl tl1at tl1e rtLles of Ia,v gover11i11g i11sa11ity as a clefe11se to cri111e are vagt1e a11d co11ft1secl; tl1at i11 so far as tl1ese rt1les are clear, tl1ey are clearly 1111sot111d, in that tl·1ey are based UfJ011 11otio11s of 111e11tal disorder discredited by 111ocler11 scie11ce; a11cl tl1at tl,e proceclural macl1i11ery for tr1ri11g cases \vl1ere tl1is defe11se is raisecl is inefficier,t a11d bltt11deri11g in its rest1lts. Ambi g1,ity and Co1zfitsio11. of tf1e La7.v.Tl1at the st1bsta11tive rL1les of crimi11al

la\v gover11ing insanity are a1nbigttot1s a11d co11f11sed is testifiecl to by tl1e con­ star1t stream of cases in \x l1icl1 tl1ese rt1les are dis1Jt1ted. Wl1at, for exa1nple, is tl1e law upo11 tl1at mt1cl1-clisct1ssecl st1bject, tl1e legal ''test'' of res1Jo11sibility? It is ttpon this c1trestio11 tl1at E11glisl1 a11cl A111erica11 cot1rts, legislators, a11cl legal \xrriters l1ave spe11t tl,e greatest efforts to attai11 clarity a11d tt11ifor111ity i11 tl1e law. As 1011g ago as 1800, tl1e brillia11t Lord Ersl<i11e, i11 l1is argt1ment as cottnsel i11 tl1e trial of I-Iadfield, tried to lay clo,v11 a tt11i,,ersal test of responsibility i11 cases \vl1ere tl1e clefencla11t strffered fro1n 111e11tal disease. Delusion, lie said, in cases wl1ere tl1ere is 110 fre11zy or ravir1g n1aclness, is tl1e tr11e cl1aracter of i11sa11ity. 111 1843, folloYving tl,e se11satio11al trial of Da11iel M'Naahten for tl1e assassi11atio11 of tl1e secretary to Sir Robert Peel, the House of Lo�ds resorted to the extraordir1ary ex1Jedient of asl<i11g tl1e opi11io11 of all the judges of England upo11 tl1e la\v r�lating to .insa11it1, as a defe11se t? crime. In the famous Opi11io11 of tl1e Jtrdges, 1t \vas said tl1at l<nowleclge of r1gl1t ancl \vrong as to the act charged w�s tl1 � test to _be arJpliecl. At tl,e sa1ne time, two of tl,e ablest of early Amer1ca11 Jttdges, Chief Jt1st1ce Sl1a\xr of Massacl1trsetts and Chief Jt1stice Oibso11 of Pe1111sylva11ia, \Vere :x.,riting careft1l_ cl1arges, i11 \Vl1icl1 they attem1Jted to lay do\vn tl,e rt1les for tl1e Jtlr)' to follo\v 111 st1cl1 cases. They also made knowledge of : igl1t a11d wrong tl1_ e test of_ res1?o�sibil_ity, but tried, in additio11, to deal \o/1tl1 cases cl1aracter1zed by 1rres1st1ble 1mpt1lse, ''l1omicidal mania," etc .... Yet the sttbject remains today (1954] alrnost as co11ftrsecl as ever. Ers!{i11e's 1

10. Weil1ofcn, Menial Disorder as a Criminal Defense 1-1 (1954).

CRIMINAL RESPONSIBILITY

170

(

e els or xed mi n, tte go d an for in with ed on 11d aba , r . 11 bee delusioi, tl,eo y 1 as . e_ e th dg of Ju s s er w e_ 1s th ; a1 es r1 llo fo eo tl1 11t e t is wing ns co 1 ys other 110t alwa ur at sl gi le n �1 , w es id s do la st te e y ar , or ut at st e tl1 ll sti d . ai , se Ca 's eii lit ;g ,N M s � e been ritte n on ha s1 c1 de f �s 0 an l 11s ? . : ts _T 11r co . .. e :w tl1 . 1 beii,g iii teri)reted by t 1s ye tl1 1d , a a1 ty m 1l1 re s1b on e 1 sp 111s of st te l g one e l t ec r� co e tl1 l \xrl � layii,g do _ . .. . . te a b e d 1 fo s lc.l e f1 of tl1e n1ost fertile at � Th th sts ''te er. rd iso '' D l ta en M ic of wh ept nc C h l ga Le of ? ses Ba d ite ed scr Di _ t an 1s nd �e ne de sa a t no or r l1e g 1et ou w_l en g 1!1 111 h n1 . ter de in y da to )' J)l ap courts ,_ tl1 at w1 oi: st t lea l1c 11f , co ds are ee 1sd 1n s not 111 r fo . le sib 011 Sf) e r eld i l to be c tr1 h1a le yc o� r�s d kn an l �c� log l1o yc �ge, is ps rn de mo , of l1t Iig e tli in applied . , e ut eed sp I11d di 1t �o d. �1e .1s one al1 qu t no are rs ye r x la\ l1 1ic wl o11 up a charge f )t t _ n ce1 me con 1f1c e11t sc1 n der mo 1 the of dy stt1 y sor �,1 .disorder cur . a � \vli icI-1 even 1ty of an n 111s tio ep 1s based nc co al leg 1e Tl 1e. tr1 as t tni ad to m \xrill force the upon ve11erable precedents, decided at a tim� \xrhen eve11 the most enligl1te.ned scl1olars l<11e\xr co11siderably less abo11t the n1111d than we do 110w. A1ner1c an e ton cl<:s and Bla , i11 turn ject s11b the 011 e to11 cl<s Bla cite l stil ay tod 11 eve es cas cites as l1is a11thority Lord Hale, \xrl10 lived i11 tl1e l 600's and who shared tl1 e belief of l1is ti111e tl1at l1111atics were affected by cl1anges in tl1e phases of tl1e n10011.<1) Iiale's idea of ''l1111acy'' still J)lays a11 important role in the law1 altl1ougl1 it \xras bor11 of a clay \xrl1en 1nedieval ideas of demon-possession, of \vitcl1craft, a11d of sorcery were still i11 vogt1e; \Vhe11 priests and judges were 1nadly tryii 1g to stamp 011t fie11ds a11d devils from tl1ose wl10 were ''possessed'' b)' recot1rse to tort11re and tl1e stake; and wl1en tl1e entire jt1risprudence of i11sa11ity \Vas obsc11red by tl1e popular fre11Z)'. Vet it is to tl1e jurisprudence of tl1at dismal, superstitiot1s day tl1at ot1r moder11 legal concepts can be traced. Tl1e leading autl1ority today is not Hale or Blacl<stone, but the Opinion of the Jt1dges follo\xri11g M1 Nagl1ten 1 s Case. Tl1is opinion \Vas writte11 at the comJJarativel:i>' recent date of 1843. But even tl1at \xras before the science of psycl1iatry \Vas bor11. It \Vas a time wl1e11 Francis Gall's fa11tastic theory of 1Jl1renolog� \xras at tl1e l_ 1eigl1t of its popularity. Accordi11g to this doctrine, eacl1 ft111ct1on of tl1e 1n1nd was localized i11 its o,vn cor11er of tl1e brain and tl1e JJ11re11ologist cot1ld 1_11easure a man�s ''ambition," ''an1ativeness," ''docility,1 or \xrl'. at 11ot, by mea�11r i 11g tl1e respective bu1np on tl1e skull.Tl111s, tl1e tl1eor)' conce1v�d. of tl1e bra111 as a bt111clle of f1111ctio11s, eacl1 \VOrl<i11g indepe11dently. The Op1111on of tl1e Jttdges reveals tl1at they acc e 1Jted a similar vie\v for they refer co1:sta11tl� to a j)erso11 s11fferi11g fro1n delusion, ''and not' ii1 otl1er , . respects insane .we l<11ow toda>' tl1at 110 sucl1 perso11 exists. Tl1 e mi11d is a \Vl1ol�, a11d delt1�1ons a1:e a s>rn11Jto111 of tl1e existence of some n,ore fundamen­ tal d1_sturba11ce. r11ere 1s _ no st1cl1 tl1ing as a man sufferi,,a from ''partial delt1:1011s 0!1ly, _a11cl 11ot 1n other res1Jects i11sai,e. '' Vet it i� this discarded f�11c1ft1I bra111-c,11ld o� _a11 ecce11tric Vie1111ese pll)'Sician of a 1,undred ar1d thirt y 1 ears a_g� .tl1at t111de1 li es tl1e cor11ersto11e of our la\v govertiina tlie cri1nin al respoi1s1b1l1t)' of tl1e me11tall)' 1111sotind . Tl1e rule tl1at l1as tl11is co1ne do\xrn to 11s 1·5 psych.1atr1ca d, par· 11 y t1nsot1n . . · 1·ts ovei emJJ 1 1as1s t.1ct11arI y 111 · 01 1 tl1e 111tellectLtal aspect of n1er1ta1 act·I\'I·ty a11d . · . 1·ts f a1_·1t i re to 1ecog111ze tl1e role ()layed by volitioi,, tlle emot tl1e 11nan d io ns consc1ous. 1

1

b

(1)

"The moon," said Hale, "hath a great influenc k'nd this l l a c tseases of the brain, especi �lly 1n of �e1nentia: such person, cominonl � in the f�lfnan_ d change of the moon, especially about clle equinoxes and summer solstice are {is all on)s d ers t p r e l 1 e uch ight of their isten1per.... Bue s t Y as have their lucid incer,,als ( ;hic\1 � 1 ii,a ri1 ,appens between t.l1e full a11 change of che mo�� d Y i 11 such interval s J1ave usually at leas� a competent use of reason. . ." . Pleas of the Crown, P·

r

.

·

ABSOLUTE IRR:.SPONSIBILl1"Y

171

DURI-IAl\i\ v. UtJITED STATES Coitrt of Appeals ( District of Colitm!ia Circ1Jit), 214 F. 2d 862 (19 54) UriZ:tecl States

B1-\ZELON , Circ11it Jttclge. lv\011te Dt1rl1a111 \Vas co11victed of l1ot1se-breal<ing b): tl1e District Cottrt sitti11g \vitl1ot1t a jttry.Tl1e 011ly clefe11se asserted at tl1e trial was tl1at Dt1rham \Vas of t111sot111cl 111i11d at tl1e ti111e of tl1e offe11se. \Y/e are no,v ttrged to reverse tl1e co11victic11 (1) becat1se tl1e trial cottrt did not cor�ectl� a1Jply existi11g rttles gover11i11f tl1e bt1rde11 of JJroof on tl1e defe11se of 111sa111t)', and (2) becat1se existi11g tests of cri1ni11al resJJ011sibility are obsolete and shottlcl be st11Jersecled. Dt1rl1am l1as a long l1istory of i1n 1Jriso11111ent a11d l10s 1Jitalizatio11. J11 1945, �t t!1e age of 17, lie \vas discl1arged fro1n tl1e Navy after a fJsycl1iatric exa1111na�1on had sl10\'v'11 tl1c1t he sttffered n·o111 a JJrofot111d jJerso11ality disorder \':'h1cl1 re11der_s l1in1 t111fit for Naval service." 111 91 47 he JJleaded gt1ilty to viola­ ting tl1e National Motor Tl1eft Act arid \x,as JJlacecl 011 probatio11 for 011e to t!1ree years. I-Ie atte1ne 1Jtd st1icicle 1 \Vas tal<e11 to Oalli11ger I-Jos1Jital for observa­ tion, and \vas tra11sferrecl to St. Elizab:tl1s I Ios1Jital, frot11 \Vl1icl1 l1e \'v'as clis­ charged after t\vo 111011tl1s. In Ja11t1ary of 1948, as a rest1lt of a co11victio11 ir1 tl1e District of Colt11nbia Mtt11ici 1Jal CoJrt for JJassi11g· bad cl1ecl<s, tI-1e District Cot1rt revol<ed l1is 1Jrobatio11 a11cl lie m111111e11cecl service of l1is 111otor tl1eft se11te11ce. Iiis co11dt1ct \vitl1i11 tl1e fir:t fe\'v' days i11 jail led to a ltt11acy inquiry i11 tl1e lv\.t1nici 1Jal Cot1rt \'v'l1ere � jttry fot111cl l1i111 to be of t1nsot111d n1ir1d. U1Jo11 corn111it111e11t to St. Elizabetl1s, l1e \'v'as diagr1osed as st1ffering· from ''psycl1osis witl1 psycl101Jatl1ic jJerso11ali1y.''After 15111011tl1s of treat1ne11t, li e \'v'as dischargecl i11 Jt1ly 1949 as ''recovered ''a11d \'v'as rett1r11ecl to jail to serve the bala11ce of l1is sente11ce. 111 Jt111e 1950 le \x1as co11ditio11ally released. I-le vio­ lated tl1e conditio11s by leavi11g tl1e Dislrict. Wl1e11 l1e lear11ecl of a \'v'arra11t for l1is arrest as a jJarole violator, I1e fled to tl1e 11 Sot1tl1 a11d J\tlicl\vest obtai11i11g mo11ey by fJassing a nt11nber of bad cl1�cl<s.''.f\fter l1e \vas_ fo�111d a11cl rett1r11ed to the District, tl1e Parole Boarcl refer1ed 111111 to tl1e D1str1ct Cot1rt for a lttnacy i11qt1isitio11, \Vl1erei11 � jttry ag_air fot111cl l1i1n to b� o! t111s0L111� 111i11�l. I-le \vas read1nitted to St. El1zabetl1s 111 febrt1ary 1951. TI11s t11ne tl1e d1ag11os1s \Vas ''\'v'itl10L1l me11tal disorder, JJS)'Cl1qJathic 1Jerso11ality.'' I-le \XJas cliscl1argecl for tl1e tl1ird time i11 N\.ay 1951.Tl1e l1)Ltse-breal<i11g \Vl1icl1 is tl1e SLtbject of tl1e prese11t a1Jpeal tool< place t\'v'O mo11:l1s later, 011 July 3 1 , 1951. 11

l l1i1n i11 Se pte1nber f\ccording to I1is 1notl1er_ a11�l JJS)'_chiatri�t \Vl10 exa1ni11ec _ 1 9 51 }1e sttfferecl fro1n I1allL1c111at1011s 1rJ1n1ed1ately after l11s May 1951 cl1scl1arge , er , 11t in tob 51 111e 9 1 lie \Vas Oc lict i11c t s:11 pre tl1e 11g \vi llo fo s. i etl· zab Eli m, fro St. . c r de 42�L1 of /itle 18 !-1,S.�., t111 gs cli1 ce JJr i11 � � 11d n1i � � 11d ? sou u11 of d adjudge , ll!JOn tlie affaclavits of two psycl11atr1sts t_l1at lie st1ffe1 e� ft 0111 1Jsycl1os1s \v1tl1 1s etl zab St. for tl1e fot1rt\1 �l1 to cl 1tte mn co Js \Y;a Je _ " ty. ali son fJer jJsycli oJJatl,ic 11t 11e ted th :­ 6 1 1 1: 11t1 las no 1nn 11s c? Tl :y. ra tl1e n L1li � i11s � 1 cl< l1o bs stt time ar1ct give11 tiiitil February 1953 - \vl1e_11 he \V�S rel�ase �l to tl1e c11�t�dy � �- tl1e D1str1ct Jail _ , that li e on tlie certificate of Dr. Sill<, Act111g S.11Je11nte11cle11t of 0t. El1zabetl1s lt 1st1 to e 1tl1 el v' co1 \' abl 111s . cot .. a11d al tri nd sta to r1t ete niJ coi lly s wa 111e11ta to properly assist i11 l1is ow11 defense." 11

•

•

•

•

is t ex 1 tl1a a11 t!1� i11g ts 1rl1 tes i11 D for el 1s � tt co _ by � d tte arg _ ly ! ab s ei, ha be It . 1ty z. 1Jo b1l is1 ·es 1a e., tl1e so­ 11r cr1 � g 111r 1111 ter r de � � for bia ltim the District of Co se 1 l I1' ble Jul st1 test, are 11ot es1 1rr tl1e J b1 l tec en lem pp st1 t g tes on called rigl,t-wr

;

di

'

.

.

,. .

. • •

.

•

172

CRIMINAL

RESI)ONSIBILITY

e a_ W t . l)'' ili e r al si� i11 on im sp cr e g e 1: i11 1rg 1i1 rn le d to de � r fo ria ite cr satisfactory case. Tl11s tl11s ?n �l1e retrial conte o d te Jl fJ a 11tioi, e b I to ! st te t ii adoi)t a differe . 11. 11 r 11 l10 fo fo 1ta re ag of y i1r nt ce a 1)' ar 11e 1,as belii i ,d it i11 2, 18? ion ict is? s n thi j\1r i_ \V �ct oy pt� aJJ t, tes g o11 wr litrig �s the ,e Tl A. _ a bi lum of Co 1ct t1l e str 111 l111 th D1 y l1t b1 1s1 Jo1 19'29 s re l i11a irn cr 1 of t tes excltisive ry t_ nta tes 11e 1e1 1n fJp stl I a t �s tes it lse St11 pt1 im 1 v. ble sti esi irr the ed rov afJp whei1 \Ve t l1as tes g its on \xrr l1te_ r1g Tl1 ]. roots iri 29) (19 548 2d f. [36 tes United Sta England.Tliere, by tl1e first ql1�rt�r o! tl1e11e1gl1teentl1 cen_tL�;Y! an �ccl1se1� esca1 Jed " l, evi a�1d od go sl1 gt11 t111 cl1s 11ot 1ld coi l1e if ,; e., if h� doth 11ot ptinishme11t ... a \Vtld beast. Later, 111 the sa111e ktlO\V wl1at I1e is doing, 110 111ore tl1a11 ce11tur)', tl1e ''wild beast'' test was abando11ed a11d '.'right a11d wro_11g" \Vas of tl1e die cl m 1 tl1e 11111etee1 1th ard tow An cl .'' evil a11d od ''go for ted titu ttbs s century, tl1e I-louse of Lords in the fan1oi�s lv\'�aghte11 _ c ase rest�tecl what l1ad beco111e tl1e accepted ''rigl1t-wro11g'' test 1n a iorn1 \Vl11cl1 has s111ce been fol­ lo\ved, 11ot 011ly i11 E11gla11d but i11 most American jurisdictions as a11 exclusive test of crimi11al respo11sibility. As early as 1838, Isaac Ray, one of tl1e fot111ders of the A111erican Psycl1iatric Associatio11, i11 l1is 110\xr classic Medic,11 Jurisprt1de11ce of Insa11it)', called k11owl­ edge of rigl1t a11d \xrro11g a ''fallaciot ts'' test of crin1inal reSJJ011sibilit)-'. Tl1is vie\v l1as 1011g si11ce been substa11tiated by e11orn1ot1s develo1Jme11ts i11 l<nO\vledge of 1ne11tal Ii fe. I11 1928 Mr. Jttstice Cardozo saicl to tl1e N e\v Yori< Acaden1y of Medicine: 11Everyo11e co11cedes tl1at tl1e prese11t (legal) defi11ition of i11sa11ity l1as little relation to tl1e trutl1s of mental life." Medical-legal \Vriters i11 large 11i1mbers, Tl1e Report of tl1e Royal Con1missio11 011 Capital Punish111er1t 1949-1953, and Tl1e Preli111i11ary Report by tl1e Co111111it­ tee on fore11sic Psycl1iatry of tl1e OrottfJ for the Advance111e11t of Psycl1iatry present co11vi11cing evide11ce that tl1e rigl1t-\xrro11g test is ''based or1 an entirely obsolete a11d rnisleadi11g conce 1Jtior1 of tl1e nature of i11sa11ity." The science of psycl1iatry 110w recog11izes tl1at a ma11 is a11 i11tegrated personality a11d tl1at reason, \Vl1icl1 is 011ly one ele111e11t i11 tl1at fJerso11ality, is 11ot tl1e sole deter111i11ant of l1is co11dl1ct. Tl1e rigl1t-wro11g test, \xrl1icl1 considers l<110\x1ledge or reaso11 alo11e, is tl1erefore an i11adeqt1ate gi1ide to 111e11tal res1Jo11sibility for criminal bel1avior. As Professor SI1eldon Olt1ecl< of tl1e Iiarvard La\v School poi11ts oitt i11 discussi11g tl1e rigl1t-\vro11g test, \x1l1icl1 lie calls tl1e l<110\X1ledge test: ''It is evide11t tl1at tl1e 1<110\xrledge tests ttr1scie11tifically abstract out of tl1e me11tal mal<e-ttIJ but 011e I Jl1ase or ele111e11t of 111e11tal life tl1e coo·11itive1 \vl1ich, i11 tl1is• era of dy11an 1ic • (Js,rcl the no· J 1oloo· by l is beo·i1111i b b to b� 1·eo· b ard�d as 11ot . most 1111porta11t factor 111 co11duct a11d its disorders. 111 brief tl1ese tests proce�d i11Jo11 tl1e follo\xring qi1estio11able assL1m1)tio11s of a11 ot1t\vor11 era in psycl11�try; (1) tl1at_ lacl< of 1<110\vledge of tl1e 'natltre or qLtality' of a11 act (assi1m1ng tl1e_ 1n�a11111g of si1cl1 ter111s to b� clear) or incapacity to l<110\v' rig_ht fr?n1 wrong, 1s tl1e sole or ever� tl1e 111ost �n1p?rla11t sym1Jto111 of me11tal d1s01 der,_ (2) tl1at sttcl} 1<11owledge 1s tl1e so I e.1n st 1gator a11ct gt1ide of co11dL1ct, or at least_ ti�� 1nost �11�1Jort�,1� _ ele111e11t tl�ere111_, a11_d co11seqtte1itl)' sl1ot1lcl be tl1e sole �r1te1 ton of.1 es1J?11s1b1l1ty wl1e11 111sa111ty 1s ii,volvecl; a11ct (3) tl1at tl1e �aJJac1ty of l<11ow111g r1gl1t fro111 wro11g ca11 be con11)letel>' i11tact a11d fL111ct ion111� f)erfectly eve11 tl1oi1gh a defe11da11t is otl1er\vise demo1 1strably of clisorcler eci m111d.'' Nii,e years ago \Ve said: 11Tl1e 1�1oder11 scie11ce of JJs>rcl1olog)' ... do es 11ot coi,ceive tl,at tl1ere is a separate little ma11 i11 tl1 to e 1) of one's }1ead ca lle d

173

ABSOLUTE IRRESPONSIBILITY

reaso_n wl1ose fu11ction it is to gttide another unrttly little ma11 called instinct, emot1011,. �r impuls� i11 the \Vay lie should go." By its misleadi11g empl1asis on !l1e c�gn1t1ve, the r1gl1t-\vro11g test requires court and jury to rely upon what is, �c1entifically speaking, inaclequate, a11d most ofte11, invalid and irrelevant test1mo11y in determining criminal respo11sibility. . }he _ft111damental objection to the rigl1t-\Xlrong test, l1owever, is not that cr1m1n�l 1rres1Jo11sibility is n1ade to rest u1Jo11 a11 inaclequate, invalid or in­ detern1111able sym(Jtom or 111a11ifestatio11 but tl1at it is n1ade to rest Ltpon aJry partict1lar sympto1n. In attern1Jting to defi11e ir1sa11ity i11 ter111s of a sy111ptom, tl·1e cottrts l1ave asst1111ecl a11 in11Jossible role, riot merely 011e for wl1icl1 tl1ey l1ave 110 special con1pete11ce. As tl1e I�oyal Comn1issio11 e1111Jl1asizes, it is da11ger­ ous ''to abstract particular n1e11tal faculties, a11d to lay it dow11 tl1at unless tl1ese jJarticular fact1lties are destroyed or gravely im1Jaired, a11 acctised persor1, \Vl1atever tl1e 11att1re of his me11tal disease, 1nust be l1eld to be crin1inally respo11sible ....'' In this field of la\X' as in otl1ers, tl1e fact fi11der should be free to consicler all infor1nation adva11ced by relevant scientific disci rJlines. Despite dema11ds i11 tl1e 11ame of scientific advance, tl1is court reft1sed to alter the rigl1t-w'rong test at tl1e tt1r11 of tl1e ce11tury. But i11 1929, \Ve re­ considered i11 response to tl1e cry of scie11tific experts'' a11cl added tl1e irresistible impulse test as a SLljJplernentary test for detern1i11i11g crin1inal res1Jo11sibility. Witl1ot1t l1esitatio11 \Ve declared, in S111itl1 v. U11ited States, ''it is to be tl1e la\xr of tl1is District tl1at, i11 cases \vl1ere i11sa11it:>' is i11ter1Josed as a defense, and tl1e facts are sufficie11t to call for tl1e a1Jplicatio11 of tl1e rtile of irresistible i1111Julse, tl1e jttr)' sl1ot1ld be so cl1arged. We saicl: '' ... Tl1e 1nodern doctrine is tl1at tl1e degree of i11sa11ity \vl1icl1 \viii relieve tl1e accused of the conseque11ces of a crimi11al act mt1st be sucl1 as to create in l1is mi11d an u11co11trollable i111pt1lse to co1111nit the offe11se charged. This impt1lse must be sucl1 as to override tl1e reason and jt1dgment a11d obliterate the se11se of rigl1t a11d \vro11g to tl1e extent tl1at the acct1sed is deprived of tl1e power to cl1oose bet\vee11 rigl1t ancl wrong. Tl1e n1ere ability to disti11guisl1 rigl1t fro111 \Vrong is 11� lon�er. tl7.e correct test eitl1er in civil or criminal cases, \Vl1ere tl1e defense of 111san1t)' 1s 111terposed. Tl1e accerJted rttle in tl1is day a11d age, witl1 tl1e great adva11ceme11t in medical scie11ce as a11 enligl1tening inflt1e11ce 011 tl1is st1bject, is tl1at tl1e acct1secl must be i11capable, not 011ly of clisti110-uisl1i11g betwee11 rig·l1t a11d \Vro11g, bttt tl1at lie \Vas 11ot i1111Jelled to do tl1e act by a11 irresistible in1pt1lse, wl1icl1 1neans before it will justify a verdict of acquittal tl1at l1is reaso11i11g. fJO\v�rs \Vere so _ f ar dethroned �y his diseased mental co11ditio11 as to de1Jr1ve 111m of tl1e \Vtll po\ver to resist tl1e insane impulse to perrJetrate tl1e deed, though kno\ving it to be \Vrong." (36 F. 2d at 549). 11

11

As we have already indicated, this l1as si11ce bee11 tl1e test i11 the District. • •

•

•

We find tl1at as an exclttsive criterion tl1e rigl1t-\vro11g test is inadequate in that (a) it does not tal<e sufficient account of psycl1ic realities a11d s�ie11tific knowledge, (b) it is based LliJO� 011e sympt�_r11 a_11� so .ca1111ot val1d!y be applied in all circt1mstances. We f111d . t_l1at tl1e 1rres1st!ble 11npt1lse te�t 1s also inadeqt1ate i11 that it· gives 110 recog111t1on to 111ental 1ll11ess cl1a1:acter1zed by brooding and reflectio11 a11d so relegates acts cattsed by st1cl1 1ll11ess to tl1e applicatio11 of the inadequate right-wrong test. We co11clt1de tl1at a broader test should be adopted. 11

· CRIN\INAL RESPONSIBILITY

174

{

na m s st te of of r1 ti? i 1 e 1 la cr tl 1 11t r f? ia i 1b t1n ol , l B. In the District of C 1 ew test, we i ii vol< 1 a 1g 1 1 Jt , OJ 1 1d 11 a� a1 ts ttr co e 1 tl e to d te us 1tr e1 is ty li bi si on resp 1a11ge JJros1Ject1vely . cl e 1 tl e l< 1a 11 to ottr inhere11t fJower is of tl: ca al s e and ii, tri re e tl1 on ied 1Jl a1J be st 1 t 1n ld ]1o Tlle rt ile \V/e 11ow c 11 l ps re am t Ii ur co ew 1e N tl si by d 11 w llo fo e e t l1a l<e l 1li 11 t t 11o is s ftttttre case 11 sible if l1 is t1 11lawft i l o sp re ly al i11 im 1 cr ot 1 is e� ts ct ac 1 1 1870. I t i? si111 1Jly tl1at a t. ec ef l d ta 11 1e r 11 o se ea is d al 1t e 1 1 11 of act \vas tl,e 1Jrodt1ct 11 \Vl1 ic l1 is co11sidered ca1Jable tio di 1 1 co a of e 11s se e tl1 in We 11se ''disease'' 11 tl1e se11se of a i _ t'' ec �f ''d e u� e W . 1g 1 i at or ri te de or of eitl1er i1111Jroving 1 er 11111?r?v111g or deteriorati11g l e1t of e bl pa ca ed er sid 11 co t no is . co11 ditio11 \vl1icl1 e th y, or ur tnJ u sid of re lt su e re al tl1 or al, 11t 1 e 1g 1 co 1 er l eit be ay 1 11 l1 1ic a11d wl effect of a JJhysical or me11 tal disease.

e 1 at tl1ose tl uir req rld \Vo rn ste \xre e 1 tl of 1s io1 dit tra ral Tl1 e legal a11d mo d 1 1 s rea), me lle ca es tim 1ne (so nt 1te 1 i il ev tl1 \Vi d an ll \vi e fre 1 1 ow eir 1 tl of \x,l10, ble for 11si po se res tl1o ll)' na n1i cri be ll sl1a v, la\ tl1e e lat vio l1 1ic \vl s act co111111it 111 and are tl1e fro m ste s act l1 st1c ere \vl1 at 1 tl e uir req o als 1s io1 dit tra acts. Ot1r 1Jrodt1ct of a 111e11tal diseas e or defect as tl1 ose ter111 s are t i sed herei11 , 111oral lJ1 a11 1e sl1 all 11 ot attacl1, a11 d l1e11ce tl1ere \v;ill 11ot be cri111i11 al res1Jo1 1sibility. The rL1le we state i11 tl1is OJJi11io11 is desig11 ed to n1eet tl1 ese reqt1ireme11ts. [citatio11s 0111itted]. Reversed a11 d rema11ded for a 11 e\v trial. •

•

•

•

NOT ES Note 1: The Aftermatl1 of Durl1an1 Tl1 e J?1�rl;am rt1le l1a s itself bee11 s11bject to co11 siderable criticis111. Jt1dge Burger, s1tt111g 0!1 tl1e same court tl1at l1ad decided D1trha1n l1ad tl1is to say ' a co11ct1rri11g OfJi11io11 : s eve11 )'ears later 111 .·.· Tl1e �Lile \ve __ado1�ted i11 l954 is based 01 1 tl1 e pren1ise tl1 at tl1e c1 1�1cal tl11 esl1old_ 1� s L1e 1_s \vl1etl1 er _tl1 e defe1 1da11t I1 as a ''meiital diseas e or de!ect. . OL1� OJJ111!�11 cl1 �l !1ot . clef111e. tl1ese ter1ns exceiJt to say tl1at the or fo111 1�r 1 s. a co11�1t1011 \vl11 cl1 1s co11s1derecl c,11Jable of eiti1 er ii,1 provi11 0· · · . deter1orat111°·'' wl1 1le. t]1e Iatr. · e1· \Vas · t· 1x� d a11cl SLtbJect 11e1tl1er to 11111Jrove· . c t. e_1.1ora cle_ 11or t_ 1 11 1e11t 0 11 Tl11s 111 erel)' cl1sti11guislies ''disease'' fro11 1 ''clefect" _ \X11tl1 0L�t clef1111��g e1tl1er ter111. Not bei11g· jLtdiciallJ' defi ii ed, tliese tert11s 111ea11 111 a11y_ g1ve1 1 cas_e -��1]1· atever _tl·1e �XIJert \'litiiesses saJ, tile)' 1 11ea11. \Y/e l<I}OW a,1,so tl1at IJS)1cl11at1 1s ts are 111 ct1sag·ree i ne11t 011 \x,liat i s a me11tal di sease, a11d eve11 wl1etl1er tl1ere exists s·tcli a def p;'· :f.ble a11 d Ia s1·r·iabl co _n dif tio11. So clistir1gL1isl1ecl a11 autl1 orit)' a� Dr· 11 JJ Q . �oc�1 e aL f11 o o T!?e Crimir1al 1vf£71d, \Vl1icl1 recei·ved tl1e' Isaac Ra,,J A I\Var ct f·r o1n tl1'e A I.111 e1!1·ca11 c: ' P syc 1 11· at 1-·1c A ssoc1· at1·011 , sa .i cl as recen tly as 1958: · '' I will say tl:e 1e · i s 11e1·t·}1er st1cl1 a tl1 1· 11 g as ''ins'"a1 1ity'' 11 or a tl1i ng as 111 e11 ta I d1 sease '' Tl1 ese terins d ° �10t ·1 cte11t1· f)' e1 1tities l1 avi11g s e1Jarate exi s te11 ce tliet,i sel�es · · · ''l\'1. e,,tal 11111�ss'', a 1nedical term, borro\Xted fro1n tl1e 111ecl1a1 1i sti� o11ce1Jts o clas_s1cal JJll)'Sical disea s e, refers to � _ a11 altered i11 te r11 al stat s tl,e 1, 11cli v i dua vi�-a-vis _l1 is exter11�l \X10.rld as i11terpreted by otl;ei�� ff1 a \V,lY t�,e te_i� l11 1 s a 1n1s1101ner, s111ce the _ . 1ne11tal ill11ess is 11 0t act ·Lta 1 Y s01 11etl1 1 11g l1 1111ted to a JJlace callecl the 11

1

0

11

l,

ABSOLUTE IRRESPONSIBILITY

175

''�1ind'', but rather it is a changed i11terrelatio11shifJ of tl1e i11dividt1al w1tl1 l1is fellow creatt1res....To the ps>rchiatrist the 111e11tal ill11ess ca11 l1ave a mea11ing only i11 the sense of \xrhat i11 the ft1tt1re \vill be do11e to or witl1 the patient to relieve l1im a11d those arot1nd l1im. Symposium on Criminal Res1Jo11sibility a11d Mental Disease, 19th A11nt1al La,v Institt1te, U11iv.of Te11n.1958, i11 26 Te1111. L.Rev. 221, 240-41 ( 1959). The literatt1re 011 tl1e st1bject since 1954 abot111ds \vitl1 si111ilar C?mme11ts. Tl1is is r1ot to st1ggest ,xre ca1111ot rely 011 so t111certain a11 ''1nfa11t s�ie11ce'' as IJS>rcl1iatr>' bttt ratl1er to st1ggest tl1at 110 rttle of I a,v can IJoss1bly be sot111cl or ,xrorl<able \Yl1icl1 is de1Je11cle11t t11Jo11 tl1e terrns of a11otl1er clisci1Jli11e \Vl1ose 111e1nbers are i11 1Jrofot111cl disagree1ne11t abottt wl1at tl1ose tern1s 111ea11.... �fl1is is 11ot sin11Jly a 111atter of experts clis­ agreei11g 011 opinio11s or 011 cliag11osis, \vl1icl1 ofte11 occurs, bttt disagree­ ment at the tl1resl1old on \vl1at tl1eir O\X111 critical ter111s 111ea11. Tl1e fallacy of jttdicial relia11ce 011 ter1ns st1cl1 as ''disease'' or ''dis­ order'' is furtl1er illustratecl by a series of cases i11 tl1is cottrt, i11clt1di11g tl1e first trial a11d appeal of tl1is appella11t. In Blocl<er's first trial tl1ree psycl1iatrists \Vho testified saicl l1e l1acl 110 111e11tal disease11 I an1 110\v satisfiecl tl1at ottr reversal of Blocl<er's fi·rst co11\rictio11 011 tl1e statecl grottnds \vitl1ot1t rnore, ,vas a11 error (a11cl 011e i11 \vl1icl1 I 1)artici 1 Jated at tl1e time). 111 l1olding as \x,e clicl, \Ve tacitly co11ceded tl1e IJO\ver of St.Eliza­ betl· 1s HosJJital Staff to alter drastically tl1e sco1Je of a rt1le of la\v by a ''week:e11d'' cha11ge i11 110111e11clatt1re \x,l1icl1 \,,as \X1itl1ot1t a11y scier1tific basis, so far as ,ve l1ave a11y record or i11for111atio11 .... Blocker v. U,1itecl Stcites, 288 f. 2d 853 (District of Colt1111bia Circt1it, 1961).

•

11

Note 2:

•

Tests Similar to the Durl1am Rule

Aside from Ne\v Ham1Jsl1ire \vl1ich aclo1Jted a rt1le 11ot t111lil<e D11rl1am i11 1870 (State v. Pike, 49 N. Ii.399) very fe\xr jt1risclictio11s i11 tl1e U11ited States have bee11 persuaded by tl1e D11rl1a1rt case. See, 110\vever, tvlai11e Rev. Stat. C. 149, Sect.38-A. Art. 64 of tl1e fre11cl1 Pe11al Cocle states: If the 1Jerso11 cl1argecl ,vitl, tl1e co111111issio11 of a felo11y or i11iscle­ mea11or was tl1e11 i11sa11e ... r10 offe11se l1as bee11 co:11111itted.11 frejaville and So>rer l1ave tl1is t_ o say about � rt_ . 64 wl1icl1 is ratl1er similar to tl1e Durha112 test a11d ,xras 111cor1Jorated ,v1tl1111 tl1e fre11cl1 Code at its inceptio11 (1810) 1011g before tl1e M'Nag/Jtert case \vas clecided i11 E11gla11cl: Insanity is a11 alteratio11 in tl1e me11tal fact1_lty in st1cl1 a 1na1111er tl1at the insane individual is 110 lo11ger a\vare of l11s acts.Tl1e determi11atio11 as to wl1etl1er an indiviclt1al is i11sa11e is a qt1estio11 for tl1e n1agistrate to decide \Vi thout appeal in each case. I 11 practice, 110\vever, j ttdges call for the testimo11y of ex1Jert cloctors, bltt tl1ey are not bot111d b>' this testimony. Similarly a11 insa11e �ndivi� ltt� I � ve11 L111cler i11terdictio11 111ay be declared cri111i11� lly resp�11s1_ble, if it 1s sl10,X111 tl·1at l1e co111mitted an i11fraction dL1r111g a lucid 111terval. 11.

The French Pen.al Code (American Series of Foreign Penal Codes, 1960).

176

CRJM II\JAL. RESPONSlBJlITY

Article 64 is distii,. of 1 tio1 l1 t�e lica wit a1Jp y t_ l _ icu diff e cipl prin The 1 os e states bord�ring tl ty 1 m 11_ sa fro of �11 n 1o l1t 11c co al tt1 ac o-Liisl,itig a11 1 e 111enta_l fac.�lty, :'Vill o tl 101: rat of er1o det � duc pro icl1 ,X1li r �n iiisaiiity 1 yster1a, so n1n an1bt1l1sm, 1ntox1cation l y, 1Js e 1l_ e1J , JJl� atn ex r fo . emotions: . y 1t r1 a 1s 11 1m se f o s e as c ll a d an

Bet\X1ee11 cor11plete insa11 ity and comfJl�t� l1 ea!tl1, tl1ere exist a 11 u111ber e h Ar rsuc �,1� 1sa 1-11 sem ?f states to te� sta _ tl1e , tes sta te clia r11e iter i i of ? e 1ty TI1 b1l 11s1 1Jo Pe11al Code res 111a I m cr1 1g y11 tro des as d ere ,sid coi be has 110t provided for tl1is sitt1atio11. Tl1e _cot1rts gener�ll_y h_old it: SL1cl1 cases tl1at tl1 ese states are to be co11s1dered. 12 as m1t1gat111g c1rc un1. stances goi11g to tl1e redt1ctio11 o'f {JL111isl11ne11t •

• •

•

Questions 1. 2.

3.

Wl1y are Dr. Weil1 ofe11 a11 d Jt1clge Bazelor1 i11 tl1e_ D14: rham c�se so critical of tests lil<e tl1at i11 Art. 48 P.C. E.? Mat1)' fJS)'Cl11atr1sts believe tl1at sucl1 tests do 11ot i11clt1cle ,xritl1i11 tl1eir sco1Je the recognized JJsycl1otic co11ditions of 1Jara11 oia and 111anic-de1Jressive JJsychosis. W ot1ld tl1is be trt1e of Art. 48? Wl1at are tl1e stre11gtl1s a11d weal(11esses of tl1e D1-trl1an1 test (see Note l)? Mt1st tl1e defe11 da11t u11der Dttrhanz JJrove tl1 at tl1e n1e11tal disease or defect caused tl1e 1Jrol1 ibited co11duct? A test of crimi11al res1Jo11sibility 111t1st fit a variety of actual me11tal states i11to a legal 111old \vl1icl1 classifies certai11 JJersons as res1Jo11sible a11 d certain as irrespo11sible. Does yot1r co11ce1Jtion of tl1e ft111ctio11s of pt111isl1n1e11t affect tl1e drafti11g of sucl1 a test? What test wot1ld yot1 recom111end? Does tl1e co11ce1Jt of crimi11al res1)onsibility assume tl1at 111en are capable of freely willi11g tl1eir acts? Is tl1is co11siste11t \vitl1 tl1 e fi11dincrs of 111oder11 social scie11ce? Wl1 at in1 plicatio11s n1icrl1t your ans,ver to tl1e foreaoina qt1estio11s l1ave \vitl1 respect to tl1e organizatio11 of tl1e crimi11al trial IJrtcess? Consider tl1is co11tention: It is u11just_ to exe�1�t tl1e i11sa11e ,x1l1ile not exe1111Jti11g tl1e sa11e person :xr l1 0 commits a cr1n1111al act clt1e to adverse t1pbri11o·i11cr a11d st1rrot111d1ngs. 011e a11 !i-social individt1al is 1Jri11 1arily tl1e ,�·oduct of l1 eredity; tl1e otl1er, _e11 �1ro11 111ent_. \Xiii;' sl1ould so radical a disti11ction be 1nade by_ t�1e cr1111 1n�l. la\v 111 favor of l1ereclity? See co,1.tra Hall, Ge,zercil Prz,nciples of Crzmz.nal Law 415 a11d foot11 ote 1. Problem

You are a member of a Parlia111e11 tar)' co111111ittee bl e JJo co ss i 11s id er in g ame11dn1ents to tl1 e Pe11al Cocle. A colleacrue of th e yo ur s ' 0 ni ri al se <es ai s ,d follo\vi11g im1Jassio11ed co111111e11ts: c 11 sider Art. 48 o r i11 fact tl1e M'Na l ? ten o r Ditrh ini rt1le doe s g no real� .l e lfJ tis very n111cl1. It is clear in al th at cr in tl 1 1 e co 11c �f ep t . 1 r spoi,si6__ 1. 1� Y. 110 lo gei� l1as a JJlace i11 cri1 t ce 1J 11 in al co 11 la \x It ,. 1 , li e tl l<e � o me,1s , ea, 1s a11 a1�cl1a1c re11111ant of a d 1· ved 1 . II ay ., b w that me11 freely willed tl1 eir crinies. To day \V; 1;��\x, iet�::. \Ve � l�� tild

yo

12. Frejaville and Soy er, Droit Cri,ninel 116· 117.

r\BSOlUT.E. IRRESP.ONSIBILITY

·.t.77

build a system of trial i11 t\vo JJ1rls: tl1e first wot1ld deter�i11e wl1ether tl1e defe11dant l1ad e11gaged in :l1e fJrohibited co11dt1ct, \Vttl1ot1t regard to l1is state of mi11d; tl1e seco1d wot1lcl cletern1i11e the clis1Jositio11 to be made _of tl1e co11victed defe1clant, JJlaci11g tl1e decision as to nature a11d le11gtl1 of treat111e11t i11 the l1a11ds of a board of ex1Jerts. V ot1 are asl<ed to state )'Ottr view: 011 l1is remarl<s co11sidering careft1lly validity o-f l1is asst1m1Jtio11s a11d tl1e wisclo111 of l1is JJrOfJOsition. Recommended Readings

Weil1ofe11, lvferttcil Disorder as a Crin1i11al Defei1se (1954) (a11 excelle11t bool<; ri.b. Cl1a·p. 2 ot1tli11i11g tyfJes of 111e11tal :lisorder \vl1icl1 is 11ecessary backgrot1nd read111g for t111dersta11di11g tl1is section of tl-1e materials). Lind111a11 a11d Mcl11tyre, The Mental�y Disabled a11cl the Law 330-335 (1961) (good state111e11t \Viti, criticisn1 of variotts tests of crin1i11al res1Jo11sibility and tl1eir imple111e11tatio11 i11 tl1e trnl process). Hall, Ge,ieral Pri11.ciples of Cri1ninal Law 449-529 (careful disct1ssio11 of tl1e issues a11d tests i11 valved i11 establisl1i11g irres1Jo11sibility). El1renzweig, A Psjrcl1oa11al )'Sis of tl1e I1sa11ity Plea ..., 73 Yale L. J. 425-441 (1 <;)64) (a11 excelle11t state111ent 011 i11sa11ity relating tl1e defe11se to tl1e pt1rposes of pt1nisl1111e11t). \Villiams, Crinzirial law 428-559 (con1prel1e11sive treat111e11t of mental disorder in tl1e crin1i11al la\v of E11gland). Donnelly, et. al., Cri1rzirzal Law 733-847 (interesti11g collectio11 of n1ateria1s co11sideri11g the defense of i11sa11ity fro111 variot1s JJersJJectives). Krasl1 1 1-1,e Dt1rl1an1 Rt1le a11d Jttdicial Ad111i11istratio11 of tl1e I11sa11ity Defense i11 the District of Colt1111bia, 70 Yale L. J. 905-952 (1961) (cliscussio11 of 1 the Durl1am rule s effect 011 tl1e cri111ir1al trial fJrocess in \Vasl1ington, D.C.). Hall, Psycl1iatry a11d Cri111i11al Res1Jo1sibility, 65 Yale L. ]. 761-785 (1956) (carefL1l co11sideratio11 of JJS}·chiat1y 1s relatio11sl1i1J to tl1e legal tests of crimi11al res1Jo11sibility). Silving, Tl1e Crimi11al Law of Me11tal l 1ca1Jacity, 53 }. Crirn. L. Crim. and Pol. Sci. 129-163 ( 1962) (consideratio11 of tl1e fJractical afJplication of the legal tests of res1Jo11sibility). Oral1am, What to do \vitl1 the Psych0Jatl1, 53 ]. Cri,n. L. Crim. a11d Pol. Sci. 446-452 (1962). Bouzat, Droit Penal 238-252 (sl1ort statE111ent co11cer11i11g tl1e defense of i11sa11ity in French criminal law). Vidal, Droit Criminel 306-320 ( 194 7) �1,istory a11d developn1e11t of Art. 64, French Penal Code). Feldbrttgge, Soviet Criminal Law, 9 Law in Easterri E1Jrope 180-186 (1964) (Soviet cri1ni11al law of insa11ity). Sudan Gover1ime1it v. Mor-tsa Ada1n Is/tJa[, (1958) Sudan L. ]. 1 (excelle11t case stating tl1e Sudanese tests of crin�inal irres1Jonsibility wl1ich lie between the knowledge test of Etl1io1Jia a11c the Durharn rule). ( � 11 App. Ct. Rex v. S1"nday Onioni, XII West . Africar _ 1949) (tl1e leadi11g case _ . on tl1e defe11se of i11sa11ity 111 N 1ger1an law wh1cl1 ts quite close to Art. 48 P.C.E.). .

. .', '. . '

.,.

.

=n'?Jr,-. �·-- ::, .J.....

CRIJ\11NAL RESPONSIBILITY

t sta t 2) 1or 96 (sl emertt (1 -14 10 ria ige a N i of w l i L_ 11-� rin c_ the to

Hedges, lritroductio1i ). a r1 e 1g 1 N 11 y it 11 a 1s i1 f o r \x la 1e o11 tl 1 de, Co al min an tl1e Cri Gh er tind a se fe11 Oe L. f.42 · a as y t 11· · et nsat , n1an 1 . ct S · f th e o 11 M t10 ' l1ca .,,._ the g r a1Jp 1va 1g n11 h cer con ten· rule e11t tem sta ort (sli 0) ( 196 in Ol1a11a . ) er, ell ays in Criminal Mu Ess a, i11 ali str Au i11 ty ani I11s of ise fet De e Tli Morris, Scie1ice 273-298 ( 1961 ). SECTION B. LIMITED RESPONSIBILITY AND THE DEFENSE OF INTOXICATION

a. Limited Responsibility PENAL CODE Of ETHIOPIA

Art.49. - Limite d Resporzsibility. (1) I-le \xrl10 owi1 10- to a dera11aeme11t of his n1i11d or Lt11dersta11di11g1 an arrested 1ne11t�l develo1Jme�1t or a11 abnormal or deficie11t c?ndition \Vas 11ot at tl1e ti 1ne of l1is act, fL1lly capable of u11dersta11d1ng tl1e 11atL1re �ncl conseqLte11ces thereof Or :egt1la�i11g his C011duct as�ording to st1cl1 t111dersta11di 11g sl1all not be liable 111 full to tl1e pun1sl1ment s1Jecified for tl1e offe11ce co1n111itted. Tl1e Court sl1all \vithout restriction reduce tl1e punisl1ment. (Art. 185). (2) l11 adclition to a 1Je11alty tl1e Cottrt 1nay order sucl1 appropriate meas­ ures of treatme 11t, correctio11 or 1Jrotectio11 as are provided by law.(Art. 133-135). LIMITED RESPONSIBILITY IN TI-IE PENAL LAW OF SWITZERLAND 13 Paul Logoz

..: Betwee11 the cto1:1ain of co1111Jlete ab11or 111ality \X1l1icl1 re11ders 011 e ir­ respo11s1ble a1 1d tl1e do1na 111 of tl1e 11orn1al, tl1ere is a11 i11ter111ediate zo11e \X,}1 1_ ch co1 1cer11s 111e11tal l1ealtl1 a11d J)erce1)tio11 a11d i11cludes so-called ''defectives'' for ' wl1on1 treatme11t n1ust differ fro111 JJerso11s co11sidered '' ii orinal.'' find to r11L1st ... cat1se i_ c al exist for bio�o able a a judge be But to � . . . l1m1ted respo11s1b1l1tJ,, _It wot1lcl 1 1ot be a case of li 111ited resiJoi1sibility sim1Jly beca�1se tl1e accttsecl 1s a 1norally J)erverted i11clividual or tl,at 1,e is 1nore or less incapable of co11trolli11g l1is insti11cts. TliE ADVOCATE GENERAL

IiAILEAB TEDLA Supreme lniperial Co1,ert, Crimi1ial Appeal No. 8 / 51 (19 5 8 G. C.) \r.

Eihiopia

de Wol C. (A(Jril E. 13, Haile 1951 1958 O. C.) ; J 5, Ltstices: Blatta Miazia I 3. Logoz, Commentaire du Code Penal Suisse 4? 44 · -, • Tl1 e source o f A re. 49 1s Arc.

11

C.P.S. (Appe nd. i.t),

J_JMITED

RESPONSIBILITY

179

Ki_cla11e, Dr. W. Bul1agiar, f\to ML1lat Besl1a:- Tl1e respo11(le11t \v'as cl1arged i11 tl1e Iiigl1 Court \XTith 111t1�der. of 011e Ato A)rale\v' Degaga a11cl \v'itl1 attem1Jted niurder of Mr. Frederic P1ffard a11d of !v1r. Tl1omas Reyliff. Tl1e defence of the respo11dent \v'as i11sa11ity by rcaso11 of \v'l1icl1 I1e \Vas 11ot res1Jor1sible for l1is act. TI1e rligl1 Cot1rt by majority fot1r1cl tl1at it \vas not able to say tl1at the respondent \Vas respo11sible for tl1c offence cornmitted and, i11 accorda11ce ,vitl1 tlie provisions of Article 48 of tl1e Etl1io1Jic.tn Pe11al Code, se11te11ced tl1e to t\vo years meclical treat111e11t at St. E111111a11L1el J Iospital, at tl1e end respo11dent _ Tl1e report ,vas to of _ \vl1 1cl1 be sL1b111itted to tl1e Cottrt. n1eclical JJeriod a _ . 1n111or�ty Jt1dgm�11t fot111cl tl1e res1Jo11cle11t J)artly respo11sible for tl1e offence con11111ttecl a11d, 111 accorda11ce ,,:,itl1 ll1e 1Jrovisio11s of Article 49 of tl1e Penal Cocle, tI1e res1Jo11der1t ,v·as se11te11cccl to le11 years i1111Jriso11me11t \Vitl1 the _ st1s1Je11s1011 of tl1e se11tence pe11di11a tl·1e cure of tl1e res1Jo11cle11t at tl1e n1e11tal hospital_ t111lil I1is recovery, st1cl1 periocl at tl1e l1os1Jital to be cleclucted fro111 tl1e jJer1ocl of te11 ):ears im1)riso111ne11t.

Tl1e Aclvocate-Oei1eral appealecl fro111 tl1e jt1clg111e11t of tl1e 1 -Iigl1 Cot1rt or1 - }1 CoL1rt cloes 11ot \varra11t the tl1e groL111d that tl1e 1nedical evide11ce i11 tl1e IIio· fi11d!11g tl1at tl1e_ respo11de11t \Vas 11ot res1Jo11sible for l1is acts or \vas 011ly 1Jart1ally resrJons1ble bt1t tl1at 011 sL1cl1 evide11ce tl1e I Iigl1 Cot1rt sl10L1ld have fot111cl tl1at tl1e res1Jonde11t co111111itted tlie offe11ce i11te11tio11ally a11cl tl1at tl1e respo11de11t \'?as fLtlly res1Jonsible for tl1e offe11ce co1n1nitted. fro111 tl1e evide11ce addL1ced before tl1e I-Iigl1 CoL1rt, tl1ere ca11 be 110 cloL1bt tl1at the res1Jonde11t clid k:ill, by sl1ooli11g, tl1e said 1\to Ayale,v Degaga a11d \VOLtndecl, by sl1ooti11g, tl1e said Frederic Piffarci a11d 'fl10111as Reyliff. -r 11e or1ly qt1estio11 to be consiclerecl is tl1e state of 111ind of tl1e res1Jo11cle11l at tl1e ti111e of tl1e l<illi11g a11d \VOt1ncli11g. Tl1e a11s\ver to tl·1is qt1estio11 clepe11ds 011 tl·1e 111edical evicle11ce give11 before tl1e JIigl1 CoL1rt ar1cl 011 otl1er circL1111sta11ces \vl1icl1 te11cl to sl10\v' tl1e state of 111i11cl of tl1e res1Jor1cle11t at tl1e releva11t ti111e The medical evide11ce \vas give11 b)' Dr. Nici< R. Ca1)otas \'v'l10 l1a(l tl1e res1Jonde11t u11der obser\ratio11 at E111111a11t1el I-Ios1Jital for a 1Jeriod of sixteen days, tl1at is, from iv1ay 29 to June 1L1, 1958 (Or. Cal.). Dr. Carotas acqL1ired dttring tl1is period frag111e11tary i11forn1alio11 regardi11g tl1e life l1istory of tl1e responcle11t fron1 tl1e respo11der1t's moll1er a11cl sister a11d frorn tl1e brother of tl1e cleceasecl. from sL1cl1 i11forn1atio11 ancl fron1 t!1e behavioL1r of tl1e res1Jo11dent, Dr. Capotas sL1spected son1e for1n of e1Jile1JS)', a11cl 011 sL1cl1 SLISJJicio111 l\VO e1Jilepsy tests ,vere carried ottt 011_ fv\a)' 7, 1958 _ a11d 011 M�y 14, 1958. Botl1 tl1ese tests \vere 1Jositive for e1J1le1JS)'· fro111 111s observat1011 a11d from tl1e tests carried ottt Dr. Capotas ca1ne to tl1e co11clL1sior1 tl1at tl1e res1Jo11de11t was sLtfferi11g fro111 epileptic eqt1ivale11ts \vl1i�I� i111JJ!y st1dde11 shifts of n1ood, irnpredictable psycho-motor attacl<s a11d t\vtl1gl1t states (report by Dr. Capotas dated June 19, 1958). It \Vas str�ssed i11 tl1is re1Jort tl1� t s1Jo11ta11eous . maj�r fits had 11ot bee11 reported to l111n 11or observed by 1111n. l11 co11clud1ng 111s said report Dr. Capotas stated tl1at, talci11g into accoL1nt tl1e above 111entio11ed psycl1osis witl1 its clinical implicatio11s 011 tl1e 011e hand and tl1e st�te111enl of PW l \vl10 gave evidence to the effect tl1at tl1e res�o11dent, at tl1e_ time _of the shooting was acting like one \vho had rL111 a1nolc {Yvl11cl1 110\vadays 1s considered _ as identical witl1 epileptic twiligl1t states), 1t could_ �1ot be _ exclt!ded tl1at the respondent was acting tinder an ab11_orma� cond1t1011 \Vtth d1stt1rbed_ con­ sciousness, aggressiveness, etc. Conclt1d1ng l11s report, Dr. Capotas replied t o the qttestions put to him by the Co11rt as follo\vs: (a) The respondent dicl 11ot comn1it tl1e alleged_ acts of l1omicicle a11d attempted l1omicide wit�1 fLtll l{tlO\vledge a11d 111tent, i.e., witl-1 capacity •

'

. '

180

I I I

'

'

I

I

I I I I

CRIMINAL

RESPONSIBILITY

g t l1em; in ll o tr f 11 o o c d n a ts c a J 1is g n i d il a s r e 1d t o f 111 b no u e d al o C en P d e f co th o 8 le ic l rt r 4 A d n u t y e i il b si e n o t sp e t rr ) (b otal i l te le 1� m y co as 1t w e1 or d 11 o sp re e 1 t tl rt pa er l1 e ll ia li w t ti b d e Y ttd excl t, r u o C e th s to a o t p a C . r D y b ft le s a w le irresponsib e sponsible, he r ir 1 ly al ti ar r p o 1 1y f1 aS \X! 1t e1 d 11 o as sp w re l1e t r e l1 et li w (c) '. ) t ie c o s to s 11 o r e 1g 1 a ct s ta Jo in a1 <; r. D s y l1i b_ t _a d e v _ ri ar po re . s 1_ o1 si lu rt 11c co d an l<s ar i in re T le 1 11s . ev1d�11ce given before tl1e 11igh 1 11 ed 1 f1 jJl 1 1 a1 e er \xr d a ted J 1111e 19, 1 �58, as r. e ot D 1c ap e1 � 1d ev :11s tl pl ex 11 I i ned a . 58 19 , 18 1e 111 J 1 of g 1 11 . ar 1e 1 e Cottrt at t l 1 �1ca l _ fo rm s! t_ l1at 1s (a) majo r fit, cl e re 1 t l . to i11 d e d vi di tliat epilei Jsy ca11 be g o 111 f od 1ft 1o _ n sh a_ . 1 ts cl l11 w _ 11t 1 9ttit� a le va t11 eq i c _ i 1Jt le �p ) (c d (b ) stnall fit , an n al v1 s 1bl e �ause, 1t also 1 n 1 pltes r te �x . a11 11t 10 ttl \xr d 111 m of sudde11 cha11ge _ �; t� 11c of ac c1e ns e co le th vio of 1t. gl nce r1l1 t\x d lle ca so d a11 s cl{ ta at or 1 IJS)'cl1o- 11 ot ed 1f1 n tl1e third 1 ss cla . be to s wa t en 1d o1 sp re e Th . e l ib ss po e ar in t l1is state tly � en l1e q� e1t r fre c11 o r even oc ay m it f _ . s_ t 1_ le1 va A ui eq tic lep e 1Ji grotlfJ, tl1at is, n 1festat1on 1 n such a a m l ua 11s a t 11o 1s de 1c1 s11 le; ab t 1 ic red 1 111J once 011 ),; i t is 1 1 al. I 11 cross-examinatio11, the us1 is s 1er otl ls arc tow s 1es ve1 ssi e gr 1 r. a t u state b t may last from s sor tl1i of fit a t tha t d ate s as, t po Ca . Dr s, 1;es \vi t expert 111in utes to l1 011rs witl1 s11bs eque11t loss - JJartial or tot al - of memory of the a fit does not eve11ts. Dr. Ca1Jotas we11 t on to sa)' tl1at a perso11 acti 11 g tinder lose l1is 1Jerso11ality; l1e is not JJrecl11decl fron1 tl1e capacity of distinguishing a11d ide11tifyi1 1g fJerso11s; l1 is activ ity is, ho\xrever, automatic. Dr. Capotas \Vas preJJared to ad111it tl1at tl1e r esJJondent, at tl1e releva11t time, under stood the 11ature a11d conseq11e11ces of l1is acts but that l1e l1ad no co11trol of l1is acts. finally i11 re plyi11g to q11estio ns to tl1e Co11 rt, Dr. Capotas stated that tl1e fact !11at _tl1e respo11de11t l1ad been acti11g i11 a stat e of epileptic attacl< implies 1nsan1ty as l1e \va s not able to control his acts . I can11ot tl1erefore 1 exclude total irrespo11sibility nor can I exclude partial irresponsibility.

No\xr tl1e res�lt of tl1e �xpert evide11ce is tl1at tl1e respondent, at tl1e time of tl1e_ acts comn1 1tted b y l11m, \xras sufferi11g fro1n a n1 e11tal iII11ess as a result of \xrl_11cl1, altl10 11gl1 l1e \�as ca1Jable of t111cler s tat1di11g t l1 e 11at ure and co11 sequences of lits act ?, he was 111capable of reg11latin g l1is conduct accordi11g to su ch 1111d�rst �11d111 g._ Tl1e ex1Jert was 11ot , l10\vever, defitii te iii excltidincr tota l or part1a_l 1n�apac1t):·. No:v, 1111der Art icle 51 (3) of t l,e Pei,al Code tl1eb Court in reacl1 111g 1 �s �ec1s1 011 1s boL1 11d solelJ' by def i i, i te scie titific find i; 5 aiid 11ot by tl1e aJJJJrec1 at1011 of tl1e ex1Jert as to tl1e Ieg·al infere1ices to be dra;,n t herefron1. T e PJJeal of tlie Aclvocate -Oe11 eral is based 011 tl1e fact tl1at as the 1 � f s b to e t hi� v i�tin1s, he should be held _ to b_e fully � �:!��� si��e f :: hi� �t s _ Tf i� � e1 i d n e cl e arly sl1ows tl1at 1n a fit su_ ch ev t � . as tl1e respo11de11t was sttfferin o��f rn tli_ e evic t i n1 doe s 11ot loo se his J)erso nahty but he 1nay lose caiJacit to ; 1 �� t 1J s c 1 1 e e t 1 ct. ? ct t t er x 011 l1e basis of t� {I � e vide11ce tl1 is Co11 rt ca111;0 t bt i � 1� iat _tl1e 1espo11de11t \xras suffering fr 9n1 a derange ment of 1ni iid \xrli icli )rec lttde i g ulat n 1, a reg t leas t fro1 n JJart ially, ;a l1is cond11ct. Tl1e aIJJJe al of t lie' Ad_voca1e-t ene s ral in 1nu st dis 1ni be sse o. ler d as sucl1 appeal asl{ s t li is Cottrt t o f t d tliat 1 ons �l1e res re_ s 1J po 11d e11t f11l ?a ly wa s for 11 �s acts. Tl1e 11ext qttes tioti t o �e atn t iied 1s \xrl1etl 1er the res1Jor 1de11t \� : x fully 1rres1Jonsible for Jiis acts a f otin� 1 by tl1e e 1 Hig majority j11 dgn1e11t of tl Co11rt or only JJartially irresJJoi,:·1 ble as f 0 11 11d b)' tl1e m i11 ority judgme nt. . . . . In det� 1 m1111 11g tl11. s pOi11 t tI·1 II C n t OLt: tnu st tal<e i nto consideratio ad releva11t ev1de11ce i1ntned iately b e f01�e, dttrt iig· a11 d after tl1 e acts of tl1e respon ·

1\:

-, "'

Lll\l\lTED RESPONSIBILITY

181

ent. Tl,is evidence shows tl,at before firi11g at PW 1 tl1e res1Jo11de11t asked ''\vl1icl1 of you is a BBC SP)'?'' - after sl1ooti11g at him· a11d \vou11ding l1im he asked l1im to stop rt11111i11g rot1nd a tree a11d JJromised 11ot to fire a11y � o:e; the responde11t \Vas able to select l1is victi1ns; after tl1e wounding a11d k1ll111_g, lie ran away fro1n tl1e sce11e of :l1e offe11ce by stO[Jpi11g a car a11d we11t to J1mma. from all s11cl1 evide11ce, fl1e Co11rt fi11ds tl1at tl1e reSJJ011dent was 011ly partially t111able to regulate l1is co1dt1ct. for tl1is reaso11 tl1e Cot1rt l1olds tl1at tl1ere was limited respo11sibility 111der Article 49 of the Pe11al Code, as fottnd by tl1e minority j11dg1ne11t of tl1e J.-Iigl1 Cot1rt. Tl1is Court, tl1ere-fore, co11firn1s tl1e 111i11ority judgme11t of tl1e J.-ligl1 Court a1�d the se11tence i11flicted i11 tl1at j11cgn1e11t, tl1at is 10 years i1111Jriso11me11t \xr1tl1 a s11s1Jensio11 of tl1e se11tence JJercli11g tl1e cure of the res1Jo11de11t in at mental l1 ospital, any JJeriod for cure i11 s11cl1 l1ospital to be dedt1cted fron1 tl1e period of imJJriso111nent. Queitions

1.

\Xll1at are tl1e differe11ces bet\xreen Arts. 48 a11d 49? Is Logoz' stateme11t tl1at ''a biological cause 11111st exist for a j11dge to be able to find li1nited 1 res1Jo11sibility valid i11 Etl1iOJJia? '

2.

011 wl1at basis did tl1e S111JremE Im1Jerial Co11rt declare Ato Haileab Tedla to be fJartially irres1Jo11sible under Art. 49? Wl1y was lie not ft1lly irrespo11sible? Were tl1e jt1dges bot11d by all of tl1e expert testin1011y of Dr. Capotas? What was tl1e Advocate-Oe11eral's IJOsitio11? Was tl1e fi11al dis­ position of tl1e defe11da11t proper 1111der Art. 49? b.

T/,;e Defenst of Intoxication

PENAL CODE Of ETiiIOPIA 14 Art. 50. - lnte1itional or Citlpable lrrespozsibi!ity.

(I) TI1e rJrovisio11s excludir1g or redL1ci11g liability to p11nishment sl1all not apply to tl1e perso11 \Vl1c in order to con1111it a11 offence inte11tionally 1Jut l1i111self i11to a co 1ditio11 of irrespo11sibility or of li1nited res1Jo11sibility by 1nea11s of alcol1ol or drt1gs ?r by a11y otl1er means. The general provisio11s of tl1 is Code are a1J[Jl1cable i11 sucl1 a case. (2) If a11 offe11der by l1is ow11 fa1lt l1as pt1t 11imself into a conditio11 of irresponsibility or of limited res1Jo11sibility \Vl1ile l1e \Vas a\vare, or could and sl1011ld }1ave been t\vare, that l1e \Vas exposi11g l1imself, in sucl1 a cot1dition to tl1e risk of committi11g an offence, l1e sl1all be tried arid p11nish�d under tl1e c1rdinary provisio11s gover11i11g neglige11ce if the offe11ce committed is pt:nishable on sucl1 a charge. (Art. 59). contetnfJlated nor inte11d­ wl1icl1 was neitl1er In the case of an offe11ce ) (3 ed arid was committed i11 a state of complete irreSf)Onsibility i11to wl1 icl1 tl1e offender put himse f by l1is O\Vn fault, Article 485 of the 14.

''

. Lr.... ;p. . ;

.

The source of Art. 50 ( 1) is Art. 12 C. P. S. (Appendix). Art. 50 (2) and (3) are not codified in Switzerland; see, however, Swiss jurisprudence set out in recommended readings infra.

CRIMINAL

182

RESfJONSIBILITY

SJJecial Part of tl1is Code relating to offe11 ces against Public Safet)' sl1 all a1J[Jly. DRUNKENNESS 15 Fetl?a Nagast

;

'

l

· So also, tl,e drt111 l<, as l1e is to b� co11 sidered as 11_ot l1 avi11 g tl1e _t1se of reasoii, slJall 110t be _l<illecl; tl1e clrunl<, 111deed, l1as l<:>st 111 s �easo11 by _ 111s ow1 1 \viii· wl,ereas i11 tl1e case of tl1e de111ented and the teeble-m1ncled, their reason fJeri'sl,es \xritl1ot1t tl1eir will. ·r11e pu11isl1111e1 1t of tl1e for!ner [th� drunl<] shall not be tl1e san1e as tl1at of tl1e latter. Reason tells tl1at 1f 01 1e 1s acct1sto111ed to drt111Jze1111ess a11d if 011e is furiot1 s, 011e's fJt11 1isl1 me11t shall not be tl1e sa111e as tl1e JJt111i�l1111e1 1t of tl1e de111e11 ted a11d feeble-111ir1cled, 1nore so in tl1e case \vl1ere tl1e dru11 l< has l<illed before i11 a state of drt1 nke1111ess, a1 1d \XThen, be­ tweer1 l1 im a11d tl1e victi111 tl1ere \xras a q11arrel before. But if tl1ere is 110 k11 0\v­ i11g tl1at l1e is furiot1 s or tl1er_e \xras 11 0 q11arrel b�t\veen. tl1e1n, l1e sl1all be IJt111isl1ed accorcli11 g to the pt1111 sl1 111e11t of dr1111ks; l11s pun1sl1n1 e11t shall be as tl1e JJU1 1isl1111e11 t of 01 1e \xrl10 l<ills i11 volu11 tarily. '

INTO XI CATION IN TI-IE PENAL LAW Of fRANCf 16 Pierre Boitzat Differerit Types of lritoxicatioJz ... I11toxication res11lti11 g from tl1e absor1)tion

of alcol1 olic beverages (tl1is con1n1011 for1n of i11toxication is co11tinui11g to expa1 1d desJJite tl1e effort 1nade by tl1 e legislature to combat it); intoxicatio11 resulti1 1g from tl1e use of drttgs (mor1Jl1ine, cocai11 e, l1ashisl1). Alco/1 olic lritoxication ... It is tl1is for1n of i11toxicatio11 \\7l1icl1 raises the

•

' 't

more i1nporta11t a11cl diffict1lt proble1ns.It is 11 sefL1l to disti11guisl1 an1ong sev­ eral l1ypotl1eses:

fI ;

•

' •

•

A. Wl1e11 alcol1olic i1 1toxicatio11 actL1ally falls \xrithi11 tl1e area of insanit y (alcol1olic i11sa11ity, cleliri11m tre111e11 s), it is a true i1 1sa11it)' re11derinab one irres1Jo11sible witl1in tl1e mea11i11 g of Art. 64 of tl1e Pe11al Code.17 . B. Tl1e seco11d l1yr)otl1esi� caL1 ses 111t1cl1 111ore difficttlt)'· It concer11s tl1e drttnk­ arcl wl10 011ly loses 111s reaso11 for a sl1ort j)eriod \x,J 1ile u11der tlie inflt1ence of_ liqt1_01� a11d tl1e11, \Xll�en_ cl1:t1�1 l< 1 co11 11nits a11 offe1 1se (ofte11 1,on1 icide or \v1 lft1l 1n111 ry).Mt1st tl11 s 111d1v1dual be considered res1)011 sible? a. Tl1ere are t\xro cases for \vl1icl1 tl1e solutio11s are certain: 1. If tl1e i11divicl11al dra11l< specificall )' to give l1imself t11 e cot1rao·e to c?n11 nit tl1� cri111e,. tl1is i11_toxication does not reiider hirn irre�pon­ 1i1 ce cons1clerecl a1 1 , 1 111 fac aggravati1 but, circtinista11 1 g s1ble � � _ . d1cat111g pren1ed1tat101 1. 15. 16. ·17.

Cl1ap. XLV1I. Bouzar, Droit Penal 252-254. Tl1e Frencl1 law is quire close c · O t}1e E} · p1a "t 11o · n 10 t l11s · area. F·or Art. 64, Frenc l1 Penal Code, see p. 17 5 supra.

LIMITED RES)ONSIBILITY

2.

183

If, 011 the co11trarjr, tl1e i11dividL1al clrir1l<s \X1itl10L1t being a\vare of tl1e inebriating qL1alities of tl1e alcol1ol \vl1icl1 I1e co11sL1111es, lie is 11ot resJJ011sible for acts \vhicl1 lie co1n1nits i11 tl1is state of ac­ cide11tal drL111l<e 1 1r1ess.

b. Tl1e other cases are less clear, 111cl it is tl1ese \vl1icl1 caL1se n1ost of tl1e d�fficulties, a11d \Vl1icl1, L111fort1111ately, are tl1e 111ost frec1L1e11t. A11 i 1 1di­ v1dL1al dri11ks, l<110\vi11g fL1ll \Ve I tl1e i 1 1ebriati11g effect of liqL1or and co111mits, \Vl1ile i11 a state of co1111Jlete drL111l<e1111ess, a crin1e wl1icl1 l1e l1ad no i11te11tio11 to co111n1it ancl \v'l1icl1 I1e certai11ly \VOLtld 11ot l1ave coin1ni tted \Vl1e 1 1 sober. Tl1e rL�les \vl1icl1 l1ave 1011g jJrevailei l1old tl1at a drL111l<arcl wl10 is 11ot aware of 11 1 s acts ca11 1 1ot co1111nit a 1 1 i1 1:e11tio11al crime sucl1 as l10111icicle or wilful injt1ry; l1e ca11 011ly co111111it a11 L11i11te11tio11al cri1�1e as for i11sta11ce 11eg­ ligent 110111icide or 11eg·lige11t i11jL 1 ry. Today, wl1en \Ve desire 111ore a11d nore to co111bat alcol1 olic i 1 1toxicatio11, stricter rLtles are te11di11g to JJrevail. l11 fra 1 1ce, as i11 otl1er coL111tries, it seems i11creasi11gly 11ecessary to jJur1isl1 011e, xrl10 tl1roL1gl1 l1is O\vr1 faL1lt beco111es drL111l<, equally \Vilh tl1e sober 111a11.So11e believe tl1at tl1e act of beco1ni 1 1g drt111l< sl10L1ld be regarcled as tl1e begi111i 1 1g of tl1e execL1tio11 of tl1e offe11se \X1l1icl1 is co1nn1itted afte1·\vards, but tl1is \'v'OLtlcl be too great a11 ex1Ja11sio11 of tl1e bot1ndaries at tl1e begi1111i 1 1g of a11 offe 1 1s<. Otl1ers, witl1 111ore reaso11 ...believe tl1at tl1e i11diviclual \vl10 tl1roL1gl1 l1is O\x1r faL1lt beco111es clrL111l< sl1ot1ld l1ave beer1 able to foresee tl1at l1e \Vas lil<ely to c0111111it a cri1ne i11 sL1ch a state a11rJ, there­ fore, sl10L1ld be co11siclered as I1avi11g co1n1nittecl tl1e cri111e witl1 cL 1 l1)ability even thoL1gl1 it was not co1n1nitted \Viti· ex1Jress deliberatio11. SI-IOULD DRUNI<ENNESS EXElvlPT fROlvl PUNISli1v\ENT? 18 Glariville Willianis It is 110w acce1Jted tl1at drL1nl<e11nESs is 1 1ot ge 1 1erally a11 aggravatio11 of crime, a11d may 01Jerate to redL1ce fJLtrisJ-1rne11t. Larce 1 1y by a clrL111l<ard cloes not \Vear qLtite tl1e sa111e co1111Jlexio11 a, larce11.>r by a sober perso11, a 1 1d 011e wl10 com1nits a brL1tal assaL1lt i11 a drL111ke11 rag·e is 11ot 1norally so lo'vv as 011e who bel1aves tl1e same way i11 cold blo)d a 11d \Viti, fL1ll l<11owledge of \Vl1at lie is doing. The ft1rtl1er qL1estion is \Vl1ether crL111l<e1111ess sl10L1lcl 11ot i11 a1JfJropriate circL1n1stances rLtle 0L1t pt111isl11ne11t altogetl1er, eve11 tl10Ltgl1 a tecl111ical co11vic­ tion is JJrOJJerly registered. If a n1a11 i: fJL111isl1ed fo: doi11g so!netl1i11_g \Vl1e11 drttnk tl1at !1e \XTO Lt Id 11ot l1ave do11e \Vl1e11 sober, 1s l1e 11ot 111 pla111 trut\1 pu11is11ed for getti11g drL111k? Marl<by, a11_�\veri11g tl1is qLtestion i� tl1e affir1native, criticised tlie la\v 011 the groL111d tl1at 1t n1al<es clrL 1 11l<e1111ess itself an offe 1 1ce, witl1 fJUt1isl1ment varyi11g witl1 the co11;eqL1e11ces of tl1e ac� � 011e. Blacl<sto11e:s explat1ation - tl1at 011e crime sl10L1ld 11ct_ be allo\ved to _1Jr1v1lege �11otl1er - 1s no longer a1JJJosite since drt11� ken11e?s IS �ot 110\v a cr1111e; a11d It begs tl1e questio11 whetl1er the drunkard s act 1s 1. cr1111e. The explanation given by tl1e Cr ri: 1i11al �a:" Co111 rnissio11ers \Vas tl1at, however tl1e matter may sta11d pl1ilosop11cally, 1t 1s 11ecessary to exclude a ge1118.

Williams, CrZ:,ninal Law 564-568.

184

J

' :l I

1 ' 1 • J

l

l I II I'

CRIMINAL

RESfJ QNSIBlf_lTY

. W se 11 ab of y e it il er b 1e si tl os JJ of sttcli a se u ca be ss 1e 111 l<e tri rt d eral JJlea of JJlea acl111itted, al< _a clo as r d fo to r!e so re comniittl1 n _ ta 11s co be d ttl \XIO e c eii et JJr ''tile , 1s se or t w l1a y; w e 11t tl1 t11 1p 1 111 1tl w al re �s ag 1tr 01 ity le ib rr 1,o t os 1 n ti1,0. tlie 1� t _tl ?s m t� �y fe to sa 11o 1re 1s� �1 to u rio 1ly 01 t s 11o ed rr i ct iii be wo�ild es r1 Jtt ith 111 w s e ou th c1 ro ct a� fl1 111 t t? ea 7 gr e1 1 tl · 1g er li1 ab 1 e1 r fo it bt s, er ild ·ffe o 1 ot1trage _wot1ld afford a1 of 1ty 1tal brt 1ve :ss exc y ver e 1 tl cor ifidence; ai,d g in ne el ;� 1; fe 1 u1 l 1� as �1 1 o1 as re _ of ul e wo nc se ab d l ta to e tl1 of e ic ei id ev sucll <) s. al 111 n 11 1s ot cr 1n l1e t os n1 1e tl f o l ta it qu ac teiid to tl1e e 11c sta to is n i_ th i11 ve s ha em se �s 11e io run iss m 111 Co 1 e tl of ce 1 e1 1 qt elo Tlie . se eir Tl ca th 1 e fear _of te sta er ov y i11l rta ce _ t ?s alm ey tl1 r fo , em tl, 1 away witt t t no res es do on � sag pa? c?11v111tl1e of 1g 1 11�1_ 1 g1_ be tl1e at d sse Jre ex[ sttbterfuge t e on tha . every tr1bun�I 1s 11 Jt10 ceJ de of 1ty b1. ss1 JJO tl1e se ca� be cii,g groui1ds, 4) Tl1e fear tl1at a per�o 11 w!10 _ 111te1 1ded to commit < 11e. 1ss any 011 e fac to lias . 1 1l<en_ness. w�re if dr� tt, 1g tt11 1n1 com ore bef < 111l drt get ly ttal act uld wo e 11 1 cri a t 1 t 1neb_r1at1011 l tha sl1g ts ges s�g ?11e No d. rate gge exa atly gre also is , ttse a11 exc s11ot1ld affect gt1ilt or JJt111 isl1111e11t: tl1e qt1est1on arises onl)' for one wl10 1s very drt1nl<. It see111 s 1111lil<ely tl·1at a crimi11al would choose to get drunk before a critne, becat1se (a) l1is drt111 l<e11 11ess 111ay lead l1im to forget l1 is pttrJJose; (b) it will re11der l1 in1 111ore clt1111 sy i11 carryi11g out his p11rrJose, and tl1us i11crease tl1e risl< tl1at l1is i11tentio11 111iscarries; (c) it will increase the risl< of bei11 g found ot1t. Altl1ot1gl1 drt111l<e1111ess is freque11tly regarded as a grot111d for 111itigation of JJL111isl1111e11t, tl1ere is 11 0 evide11ce tl1at cri111i11 als get drt111I< before the cri111e i11 order to tal<e adva11 tage of tl1is mitigatio11 . Tl1ey do freqt1e11tly drink before co1111nitti11g a crin1e, bt1t tl1e pttrfJDse is to dam 1Jen i11l1ibition. The effect of dri11l<ing is also to redt1ce i11 tellige11ce, a11d i11 ma11 y cases a crimi11 al \x,110 l1as tal<e11 alcol1 ol 111al<es little or 110 atte1n1 Jt to l1ide l1 is gt1ilt. As a _ 111atter of history tl1 e true reaso11 \xray drt1nl<e11 ness \Vas disregarded \vas tl1at 1 t _ was tl10�1gl1t tl:at drt1rl<e11ness bei1 1g a vol11ntary act, a11d being, 1 11oreover 1 111111 1oral tf 11ot illegal, ct1ght 11ot to be a11 exct1se. It \x,as 011 tl1is JJri1_1ci1Jle that i11 volt111 tary_ drt111l<e11 11ess \x,as regarded as excusi 1 1g·. Vet i11sa11ity, \x,l11cl1 exct1ses fr?:11 fJL1111sl1ment, _ r1�y so_meti111 es be qt1asi-volu,1tary. It is \vell k_11 0\xr11 tl1 at S_)'_pl11 l1s n1 ay rest1lt 111 111san1t)' (ge11eral [Jaresis), a11ct t11e co11trac­ t1011 of sy1Jl1 1l1s 111ay be tl1 e result of a conscious ru11 11 i11a of risk· but the sttf!erer !ro ge�1 eral [Jaresis receiire� tl1e sa111 e exe111JJtio11 a� a11 y otl�er i11sane !Jet so11. I Io\X�1eve1 , tl1e cat1sal co1111ect1011 bet\'\fee11 sexual intercotirse \vitl1 an 111�ect�d fJerso11 a11cl general par�sis is 111 ore 1Jrolo11aed tlian tliat bet\x,e en 0 clr111l<111g a11d clrt111 l<en11ess. Tl1e_ swee1Ji11g rt1le tl1at volt111 tar)' dru11l<e1111ess is 110 excuse overlooks tl1e co111 1Jle 1ty _ of tl'.e 1Jro le111 . 1:- 11L1111ber _ of cases 1na)' be jJut ill wl,icll it \x,ould be clea1�l.y 111eqt11table �to 111ete ot1t JJL111 1sl1 n1e11t to tl,e drtiill<ard in tlie san1e \'\f�Y a_s tc) a sober fJerso11. SttfJIJOse tl1at a 11 1a11 \vl1 e11 j 11 dr ir ,l< cori,inits s01ne 1111scl11ef tl1at (1) lie \X10t1lcl 11ot l1a.ve do11 e \x,l1e11 sobe . (?) 1 d"d t desire 1 to _clo \xrl1e11 !1e l1�ca111 e drttnl<, (3) lie did 11ot l<no\xr 1,��s�lf le of Jab f �� �e f O do111g \x,he11 In dr111l<. Eve11 t111der tl1e la\V as it star1ds } a d] ·oof of E tl1ese facts \'v'Ottld be acln1issible i11 111 itigatio11 of JJ�tnisl� t n��t, ��� ;�,e p��bative

r·

(3) �r_in1inal_ La\V �0111r�., �tl1 Rep. ( 1843) Parl. l)ap. xix 23. (4)

S1mulat1on of 1ntox1cat1on to avoid liability for a · n1·c · er·inie Pf rthc5 upposes high intelligence, l11srr1� ability and careful calculation · Eve11 a stper f"1c.1al survey o . e re·p_O rted cases s1ows · ebr1:ire I r1at l 10 o ff·e11 dcrs I,ave tl1e very opposite qualitie: _ tl,e ), are v.,eak:, 1n1pt1ls1ve, and freque11tly abnorrna·]''·· I-Iall, Genera.[ Principles of Cri,ninal La1.v 531 _

--------------------------------------LIMITED

185

RESPONSIBILITY

•

diffict1lty (tl1e risl< of a concoctecl clefence) is tl1erefore 11ot regarcled as i11st1�erable. What is tl1e o�ject of i11flicti11g a11y JJL1nisl1111ent at all? . It ca1111ot ser1ot1sly be tr1ot1gl1t the r1sl< of st1cl1 pt111isl11ne11t \viii cleter fJeOfJle 111 ge11eral from getti11g drt111k. Tl1e most it ca11 do is to deter tl1e partict1lar offe11der fro_tn �etti11g drt111k ar1other tin1e. Yet for tl1is jJt1r1Jose it 1nigl1t be eqttally _ eff1cac1ous to r1ave a rt1le co11fi11ing JJu11isl1111e11t to a 111a11 wl10 co1111111ts a second n1isdeed \Vhen ir1 dri11I<. •

•

•

•

Tl·1ese 1Jroblems arise 011ly 011 a pttrely cleterre11t or jJttnitive a1J1Jroacl1. If a . ma11 com1nits seriotts 1niscl1ief \vl1e11 i11 dri11l<, society 111t1st tal<e ste1Js agai11st l11n1, even tl1ot1gl1 those steps n1ere1 1, i11volve IJt.1tti11g l1i111 on JJrobatio11 \vitl1 a co11clitio11 to take treatme11t for alcol1olis111. Bt1t tl1e ct1l1Jrit can11ot be placed 011 probatio11 t111less he is dee111ed to l1ave com111ittecl a cri1ne. Questions

I.

Shot1lcl a disti11ctio11 be 111acle \vitl1 res1Ject to !JL1nisl1n1er1t betwee11 011e n1an \vl·10 con11nits a11 offe11se \Vl1ile drt111l< a11d a11otl1er \xrl1ile i11sa11e? Is sucl1 a clisti11ctio11 based 011 tl1e tl1eory tl1at me11 car1 freely \vill to clrinl<, b11t 11ot to beco111e i11sa11e?

2.

\Vl1at distinguisl1es eacl1 of tl1e st1b-sectior1s \Vitl·1i11 Art. 50? Wl1at co11seqt1e11ces restilt fron1 JJlacir1g a11 i11dividt1al \vitl1i11 011e or a11otl1er of tl-iese st1b-sectio11s? Is tl1e follo,vi11g a correct re11deri11g of Art. 50: State of

Offender

3.

State Induced By

Offense Comn1itted

Legal

result

Sub-sect. ( l)

Con1plece or lin1ited ir­ responsibiliry

O,vn fault (inrc11c)

Intentionally

i\pplication of general Code prov1s1ons ex­ cept t\ rcs. 48 and 49.

Sub-sect. (2)

Complete or limited ir­ responsibility

Own fault (intent or 11egligence)

Negligently (a,vare or sl1ould l1ave bee11 aware chat state of irresponsibility 111ight lead co commission of offense)

of Application . . prov1s1ons gov­ erning negli­ gence if offen­ se committed for a l lows such. Arts. 4 8 and 49 provicle no defense.

Sub-seer. (3)

Co111plete irresponsibility

Own fault

Acciclentally (neitl1er con­ templated nor inte11ded}

Application of Arc. 485.

(i11tenc or 11eglige11ce)

What relatio 11sl1ip exists betwee11 Art. 50 a11cl tl1e JJreceding Arts. 48 a11d 49? Does Art. 50 exclttde tl1e aJJIJlicatio11 of Arts. 48 a11d 49 in all cases of volt111tary intoxicatio11? Note tl1at Art. 50 (3) n1er1tio11s only co1111Jlete irresponsib ility''. 11

4.

,. ','

..

-

Is tl1e followi11g a valid co11tention u11der tl1e P.C.E.: There are essentially tl1ree ways in wl1icl1 intoxicatio11 111ay be t1secl as a defe11se:

CRIMINAL RESPONSIBILITY

186

that article of the S1Jecial Part a. _ a ch 1 ge d . s e11 11 111 1ic tre wl 1 m l _ it e r e s i_ fi c 1 L fttl Od P: 1 o1 ? lls ti ca xi o 1t 1 i f o te sta ie b. If tl 1l 1 ty unde r A rt . 48. o 1b J s1 ns re 1r te 1 l1 so ab of s ite 1is t J1e 1Jrereq1 limited res1J o11sibil ity uncler tlie s 1ce dt o 1:r 1 o1 ti ca xi 1to 1 i f o If t lie state C. reqt1ireme11ts of Art. 49. t. 50(2) b11t has f\ in th wi . l s fal o wh 1 1 1 1a a ! of 1 o1 i sit o Wliat is tlie dis1J e committed negl1ge11tly (e.g. Art. b t o r11 ca l1 1ic wl e 11s e ff o 1 a 1 cominitted t purpose lies l1a W 5? 48 t. Ar to e lat e r 3) 50( t. Ar es do w I-lo 1l t)? 5441 Assat t i o11 \X!here a man s tua tl1e tl1 wi al e d L1 o y 1 ld 1 o w \X' I-lo ? 485 bel1 11d Art. vol 1t11tar l�/ dri11l{s b11t 9oes 1 1�! realize that tl1e .. al�ol1ol wi�l . have an i1iebriati11g effect, as l1e ts overt1�e d or l1as a const1tut1onal def1c1e11cy? MiP-l1t tl1e roots of- Art. 50 be ir tl1e f etl1a Nagast? Are tl1e fre11cl1 l egal co;ce1Jts i11 tl1is area as set o .tt i11 B ouzat co1 1sistent \.Xlith those of Etl 1io1Jia? D o you sutJ I Jort tl1e fre 1 1cl1 or comtnon la\V positio11 \,,ith res1Ject t o tl1e defe r 1se of i11toxicatio 1 1? ed �y J i qu re 11t 1te 1 i e i l t s te . If it 1 1ega e 1 1 1g b 1s 1t a1 1d 1 fe e d e l 1 t 1 l 111,der \X1liic

5.

i

i

i

6.

Problen1

V 011r Mi11ister is co ncer11ecl \X1itl 1 tl1e problem of dru1 1l.;:e11ness a11d has rece11tl:>' read Wil liams 1 cl1aJJter or tl1e sttbject. He aslzs J'Oll for a sl1ort n1emora11d11m s11JJJJ orti11g or reft 1ti11g t l1e follo \ving assertio 11 of Will atns i11 ligl1t of ts prese11t le gal JJOsitio 11 a11d tl1e cle velopme11t of cri111i 11al law i11 Etl1iop a: . .. ''If a n1a11 is p11nisl1e,j fo r d oing sometl 1i11g \v}1e11 dr1111l< tl1at lie \Xt'Ottl cl not l1ave d o11e \X1he11 sober1 is lie 11o t i 11 IJl ai11 trutl 1 p1111isl1ed for getti11g dr1111 l<?' i

i

• , • J

i

1

Recommended Readings

Sc!?o11br�� c. Procure1,tr G �n{ral du �a- , 1tor1 d e BerrJ.e, �O 88 IV 4, JT IV 39 ( 1962) (S\x,1ss case. co11ce1111ng . 11egl1g�_ 11ce d11e to 111toxicatio11 follo\,red by an excelle11t 11ote by W. I-Ie1m sett111 o0· 011t tl 1e s,v,v,1·c: v s la'",v' o f·111t o x·1cat··io11) . Geroud c_. M_in��ter� J)r,blic dit <;a,1to12 de Ge1�ev e , RO 85 IV 1 JT IV 7 (1959) (Swiss 1111 1 s1J111de11ce l 1ol cl111 g tl·1al a. driver \vlio co 11su111es al co l10 l I<110\v11·11g . " tl1at . I1e \VI·11 I1ave to d1.1ve · co111 1111ts 11eo·OJ1o· oe 1 1t 110 1111· c1·ct e \Y/I1 e 11 l1e I< 1·11 s a C)'Cl1s t \Vl11· 1 c. dr1v · ·1 11g. 110111e. :) Tlie sa111e restilt \VOLtl d be I.,eac l 1ed 1· 1 1 Etl1101J · · 1·a uncler Art. 50 (2) P.C.E.). I

!(.

c. Mi n istere Prt,�li� fit Ca11t?11. de L1-tcer,z e, RO 75 I\/ 145 , JT IV l l5 (1949) and W. c. Minist ere Pitblic du Canto1i de Lr.1c . 7·) �g O 1 . 1 V. 5 0 , J T IV R . ( 1 952) (S\XIis s j LI risfJ rLIde11ce }- 1 0 1 cti11g t1, at 11e·it��;;'_ l1 le simp r 1nosext1al1t r� y � \X1 eal<11ess of cl1arac ter geiierally \Xi _ � . _..l-11 coti5t it..i1te l1 1111tecl res1)0 11s1b 1l1tv) . . . · P1,1, b Pro l1c c1 s e of ecto . 1, tz Dir r . 01is v. Br.ard 1920 A I) p. Cas. 479, · 11 1 d 1 . 11 1 f o a l so Micl1ae l a11d _We�l1sler_, Crirn irzal �a� 903_911 ( -00d 11gl 1sh E o staten1e11t 0 l 1e f t o la\v co11cern111g 1 11toxtcatioi,).

<J

S1,1.dari Gover,im.ent r-u. De11g M ar1g11e,! 1961 s da .i L l· ie t , _ of 17 111 1t st e1 ( ate ]. · _ r,1, • • ? IJositio11 of tl1e defe11s e o f·111to). 1cat1011 111 Suda11ese l a\v).

LIMITJ:D

RESPONSIBILITY

187

Paulsen a11d Kadisl1, Crimina.l Law 353-362 (n1aterials on tl1e intoxicatio11 clefe11se i11 tl1e common la\v. i11cludi11g tl1e Model Pe11al Code JJroposal 011 the st1bject). Perkins,_ Criniinal Law 777-795 (comprehe11sive statetnent concerning tl1e defense of 1ntoxication i11 the commo11 law). Micl1igarz Law Review, Neglige11t Ho111icide, 50 A1ichigarz L. Rev. 769-772 (1952) (comrnon law l1andling of factL1al sitL1atio11 tl1at \VOL1ld fall \Vitl1i11 Art. 50(2) P.C.E.). Co lu,nbia Law Review, I11toxication as a Cri1ni11al Defe11se, 55 Co /1,1111bici L. Rev. 1210-1221 (1955) (a discL1ssio11, \Viti, reco1n1ne11datio11s, of intoxicatio11 as a defe11se i11 tl1e co1n111011 Ia,,:t). feldbrugge, Soviet Cri,ninal La7.v, 9 Law irt Easterri Europe 186-189 (1964) (sl1ort statement on tl1e fJositio11 of drL111l(e1111ess i11 Soviet cri111i11al la,v). SECTION C. THE

DEFENSE

OF IMMATURITY

a. T/1e Legal Setting PENAL CODE 01= ETJ -IIOPIA Art. 52. - lrifa11cy: Exoneraliori fro111 Cri1,1iiial Provisions. Tl1e fJrovisions of tl1is Code sl1all 11ot afJjJly to i11fa11ts 11ot l1avir1g attair1ed tl1e age of 11ine years. Sucl1 i11fa11ts are 11ot dee1ned to be res1Jo11sible for tl1eir acts 1111der tl1e Ia,v. \Vl1ere a11 offence is com111itted by a11 infant, ap1Jro1)riale ste1Js may be tal<en by tl1e family, scl1ool or guardiansl1i1J autl1ority. Art. 53. - Special Provisior1s Applicable to Yoii,1g Persons. (1) Where a11 offence is co111n1itted by a )'OLtng IJerso11 bet,vee11 tl1e ages of 11ine a11d fifteen the 1Je11alties a11d 111easL1res to be i111posecl by tl1e Cot1rt sl1all be tl1ose IJrovided i11 Boo!< II Cl1apter IV of tl1is Code (Art. 161-173). Vo1111g perso11s sl1all 11ot be s1tbject to tl1e orcli11ar)' jJe11alties aJJ­ JJlicable to adLtlts 11or sl1all tl1e1, be l(ept in CLtstod)' \vitl1 adLtlt offe11ders. (2) No order may be 1nade under Art. 162-173 of tl1is Code 1111less tl1e offender is convicted. Art. 56. - Offenders Over the Age of Fifteen. (1) If at the time of the offence tl1e offe11der \Vas over fifteen bttt Linder

eighteen years of age lie shall be tried Linder tl1e ordi11ary provisio11s of this Code. (2) Tl1e Cot1rt may, in assessi11g sente11ce, tal<e i11lo accottnt tl1e circu1n­ stances of tl1e case, i11 1Jartict1lar tl1e age of tl1e offe11der, l1is i11cor­ rigible or da11gerot1s disposition a11d tl1e lil<elil1ood of l1is refor1n, eitl1er by a1Jplying the ge11eral provisio11s regardi11g ordi11ary 111itiga-

CRIMINAL RESPONSIBILITY

188

e tl1 ia of ec sp e yi l pe1,alties 1g on 1 pl ap b · 1 c 4) 18 . rt (A ? es lti tia JJe tiotl of 11s. (At ts.L 70-173). 1Jer so 11g 1 yo1 for specified

A PI IO I IET Of ON SI IS M M CO ON TI CA fI IMPERIAL CODl p . es al s en on ti i 'i po is d es E d n. io us cl ex e: nc fa Art.52.- 1i

11t pas afJplicables aux e11fa11ts s0 1 1 de co t e11 es JJr dt :, Les disJJosition� !.... . . s . lu . vo 1e s f an 1 1 1 1e e d e ag l t 11 1 te at s 11 aya11t pa 1

. nts sce ole ad x au les cia ;pe s o12 iti pos dis s de p 1i io at Art.53.- A plic t.1 l I ,'

• I 1 I ' I

1i11ze a 11s revolus. • q1 a 11f ne de 11ts sce ole acl et 1rs 1e1 i 1 m (1) Les •

•

•

•

•

•

•

j ortie civile. a i n la a qit' jus e air edi term Art. 56.- Periode i12

a e r te11 t l'au etai g 11, de ctio a fr l'i11 s 11ni co11 ila l Ol 11t me (1) Si att 111o 1 111i t a11s re volus.... dix de 1s 1 i mo de is 1na s a11 IJl�1s de q11i11ze •

•

•

•

TJ-IE OFFENSE J rocla1natio11 I e ondag 'lagab a11d 11C)' Tl1e Vagra No. 89 of 193_9 E. C. ( 1947 G.C.)

• • "

I

Art. 8. (i) A j11ve11ile fo1111d wa11deri11g abroad witl1out bei11g in reg11lar e111plO)'· me11t a11d 11ot resident \vitl1 l1is 1Jare11t 01· pare11ts or lawful guardian or g11ardia11s sl1all be tal<e11 before tl1e Court \vl1icl1 ma)' iss11e an order for l1is retur11 to tl1e custody of l1is JJarents or guardia11s . (ii) I f sucl1 juve11ile is agai11 fo1111d \,,a11cleri11g \vitl1011 t emrJloyme11t l1avi11g left s11c11 c11stody, he sl1all be co1n111itted to a reformatory scl1ool 1111til 11e attai11s tl1e :ige of 18 )'ears or u11til sucl1 earlier date as tl1e Court n1ay order. (iii) If tl1e j11venile is a11 orpl1a11 tl1e Co11rt rnay se11d l1in1 to an or1Jl1anage. Penal Code of Et11 iopia Art. 471. - Da11.gern1ts Vagra.11cy. (1) \Yl�osoever, 11avi11g 110 fixed abode or occu Jatior1 a11ct 110 regula r or 1 v1�1ble 111ea11s of sttIJ port, a11d bei11g able-b odied, liabituall)' a11d_ of _ . set ��11 JJO�e le�cls a life of_ vagra11cy or disorderl ' bel1avi 1ves i or ot ir, ) by . l11s w1�s 0 1 by 1ne11d1c� 11c)', ref11s11_ 1g to tal<e 110 11est, tJaid \vork wl11cl1 li e 1s ca1Jable of dc,111g, tl1ereby co11stit to law ut i otl· ii 0 i re a at a11d order, is {Jt111isl�ble witl} co 1111J : ulsory labour \x,it11 restrictioi, of fJerso i ,al liberty (Art. 10-:l) or \v1tl1 s11nple i 1nJJriso11111e11t 110t exceedii,g six 111011tl1 s. (2) �l1ere tl1e o_f!e11der is fot1rd i11 IJO�sessio1 1 of s e1 1t 111 n \v ea ii, p st oi _ r or ,s f i tted by !l1e11 11_at111_� to tl1e cotntntss1011 of a i , offeiice ' tli e JJunis11 rnen_ t sl1all be s1111ple 11111Jr1so11111<:11t 11ot exceect i·ng tl1ree years, w1·ti 1011t preJ-

IN\MA TURITV

189

udice to tl1e application of tl1e JJrovisio11s co11cer11i11g co11ct1rre11ce wl1ere tl1e offender has t1sed threats or coercio11, or }1as co111111itted or l1as attempted to commit violence or assat1lt agai11st individuals. (3) The preventive measures of restrictio11 of liberty (Arts. 148 to 153) may be ordered, to accon1pany tl1e JJe11al se11tence, \vl1erever tl1e cir­ ct1mstances indicate that tl1e1, are a1JJJropriate. (4)

Wl1ere tl1e offe11der l1as alreacl1, been co11victecl a 11t1111ber of ti111es, \'v'hetl1er for da11gerot1s vagrancy or for a11otl1er inte11tio11al offe11ce1 tl1e Cot1rt sl1all order l1is i11ter11me11t (Art. 128). IiIOI-1 COURT - JUVENILE DIVISION Crin1i,zal File No. 522 /53 (1961 G.C.) Et!?iopia

[Exact date u11l<110\v11]; Judges: Dr. W. Bul1agiar1 Ato Bal<ele Iiabte Ivlicl1ael, Ato Mal<o11nen Oetal,un:- Tl1e six juve11iles \Vere cl1argecl \Vitl1 a11 offence tinder Article 4 7 1 of t 11e Pe11a I Code a11d t111de r Proclan1atio11 No. 89 i11 tl1at tl1ey l1ave been fot111d \Vanderi11g about tl1e to\X111 of Adclis 1\baba late at 11igl1t. All tl1e acct1sed JJleaded 11ot gt1ilt1,. 011e \X1it11ess \x,as callecl by tl1e prosect1tio11 wl1ose evide11ce i11 effect \Xtas tl1at tl1e six jt1\,e11iles I1acl bee11 see11 \va11deri11g abottt late at 11igl1t i11 ce11tral fJlaces i11 Adclis Ababa st1cl1 as tl1e Piazza a11d arott11cl ci11er11as a11cl tl1at tl1ey l1ave asl<ed for 111011e;' fro111 O\X111ers of n1otor cars \xr l1icl1 l1ad bee11 left jJarl<ecl \vl·1ile tl1e O\v11ers \Vere i11 tl1e ci11en1a. Tl1ere were otl1er \xrit11esses bttt tl1e jJrosect1tor i11for111ed tl1e Cot1rt tl1at tl1eir evicle11ce \'v'Ottld 11ot add a11ytl1ing to \xrl1at tl1e \X1it11ess l1earcl l1acl statecl. l�l1e accttsccl l1ad 11otl1i11g to say i11 tl1eir defe11ce a11d l1acl 110 \X1it11esses. It sl1ould be stated tl1at all tl1e acct1sed !1ave JJare11ts or relatives i11 or near Addis Ababa; accused No. 3 ad111itted a 1JrevioL1s co11victio11 for vagr�t11cy a11d acct1sed No. 5 ad,nitted tl1ree fJreviotts co11victio11s for vagra11cy. NO\XI as reaards tl1e offe11ce Ltt1der Article 471 of tl1e Pe11al Cocle tl1ere are varioLts ing�edie11ts \X1l1ich tl1e prosecL1tio1� 111L1st prove before a JJerso11 can be fot111d guilty of an offence u11cler tl1at article; tl1ese are: (a) that a perso11 !,as 110 fixed abode or occLtfJatio11; (b) tl1at a fJerso11 !1as 110 regt1lar or visible 111eans of SLIJJJJOrt; (c)

tl1at a person is able-bodied; (d) tl1at a perso11 l1abitL1ally a11d of set IJt1r1Jose leads a life of vagra11cy, or disorderly bel1avioL1r, or li\res by l1is wits or by 111e11dicanc;r; (e) that a person refuses to tal<e l1onest, fJaid \xrorl< \Vl1icl1 l1e is caJJable of doing; and (f) tl1at as a result of all tl1e above, that JJerson co11stitt1les a tl1reat to law and order. In tl1e present case not all tl1�se ing. reclie11ts are JJrese_r1t; in tl1e firs_t pl�ce the accused l1ave a fixed abode w1tl1 their pare11ts or relatives a11cl co11s1cler111g their ages tl1ey are 11ot persons wl10 are SLtjJJJosed to l1ave a fixed occt.tJJatio11 exce1Jt atter1di11g school. Boys of tl,e age of tl1e accLtsed are de1)e11cle11t for their sttpport on their JJare11ts ancl are not J)eOJJle wl10 ca11 be ex1)ectecl to

190

i'l I, '

•

f

' • '

I

J l I

I

CRIJ\11NAI- RESPONSIBII_ITY

1ile tl1e acc� sed are. able-bodied J l rt. Jo W of s 11 ! SU ea 1n I le sib vi 1,ave realilar ai ,d d w�rk as tl1er i pa t ta to es d k 11 e l10 se f re s ve l1a J ey tl1 e t i tha d i sai i,; be , a t it c d to tl1en1. N or can 1t be_ said tlla re fe of er be s l1a rl< wo y a11 t 110 evidei,ce tl,at . d; acc� rd1ng t? e ov r p· s e 1 ) 1 b l1a e (d l1 1p gr ra tJa 111 d _ tile 11e io 11t tlie ii,grecliei,t 111e d ate _ 1Jersons wl10, no t being subJected se cu ac e 1 tl 1rt ol C e tl1 evidei,ce before 11gl1t to co llect s o_m e mo11e)' whic l1 � t a _ t Olt go_ s , 1:1e l10 ir e tl1 in e to ai,y discijJlin e1 r th fo t et o bu ck 1 l 1 l1o po d ve l . r t1.a eg r rno11ey. _r 1 e tl1 r fo l1 11c � m so t is ltsed no ad eventt1ally to a tht eat to law ai,ct le y 1na life � cl1 1 st t tl1a e tru It may be der 471 of the Penal Code 1,as tin r e a g cl1 tl1e t tl1a d sai e b t 1no 1 ca order bltt it bee11 JJroved. As regards tl1e JJrovisio11s of Articl� 8 o_f P roclam ation No. 89, the Court 1 11ay u11der tl1is Article or der th�t [11� 1uye1111e be r eturne� to the custody of l1is JJare11t or gt1ardia11 if st1cl1 1uve111le 1s fou11d wa11der111 g abroad \xritl1out bei 11g in regLtlar em1JlO)'tne11t a11c not resident_ wit� his parents_ or la,vful crt1ardia11. ft1rtl1er, tl1e Cot1rt 111ay order tl1at a 1uve111le be committed to a ;efor111atory scl1ool wl1e11 tl1e jLtvenile is fot1 11d wanderin g having left tl1e cttstody of l1is JJare11ts or gt1ardia11 as ord ered 011 a previot1 s occasion b)' tl1e Court. Now, exce1Jt for accused Ne. 3 and No. 5, none of tl1e accused l1ave bee11 broL1gl1t before a Cot1rt for vagra11cy un der Article 47 l of tl1e Penal Code; accttsed No. 3 a11d No. 5 w<:re convicted 011 tl1is cl1arge. Sucl1 a co11\ric­ tio11 rnay be co11sidered tl1e eqt1ivale11t to a11 order u11der Article 8 of Proclamation No. 89. for tl1e above reaso11s tl1e CoL1rt acquits acct1 sed No. 1, No. 2, No. 4 a11d No. 6 a 11d i11 res1Ject of acct1sed No. 3 a11d No. 5 tl1e Cot1rt orders, tinder Article 8 of Procla111atio11 No. 89 t�at tl1ey be com1nitted to tl1e Reformatory Scl1ool for a JJe rio d of four years from to day,, tl1at is ' Maskaram 18 ' 1954 ' by \X1l1icl1 ti1ne they \x,ill be about i 8 years old. 1rt co11side_rs_ tl1at a rest11:1e of this jt1dgm e11t shottld be se1 1t to Tl1e CoL . li 1s. Excelle11cy, tl1e M 111_1ster of I11ter 1 or a11d I-lis Excellency, tl1e Minister of J11st1ce, t!,r?ttgl� tl1e _Pres1d�nt of th e I-Iigl1 Court, togetl1er \Vitl1 ex1Jlanatio11s ?f tl1� d1ff1c1.1lt1es w1tl1 \X1h1cl1 tl1e Jt1ve11ile Cot1rt is face d in de ali11ab �:itl1 111ve111les t111cler tl1e existi 11 g legislatio11.

TliE DIS POSlTION

Pe11al Code of Etl1iopia (Arts. 54-55, 161-182)

1 1- 101-1 COURT - JUVENILE DIVISIOl"l Criminal File llo. 550/53 (1961 G.C.) Et/Jiopia

Masl<ara1n 18, 1954 EC (SeiJten· ber 291 19 6 1 0 1 ag1ar, .C.); Bul Ju d ges: W. Dr. Ato Bal<ele I Iab - te l\l\icli a�l · Ato �<o 1 ne ed r� eta hu n:ch a Th � e is ac cu sed ; � g with theft under Article 63o of t 11 s o ain d 1 1 ag < 1 tl 1, at 1 e l1e_ s tal l1a 1 � tl1e will of tl1e O\x,11er, I,is n,aste;-- tl,: asum f E$800 wl11Ie tl1 e 1 naste r \x,as ? a\xray fron1 l1is l1ouse. Tl,e accltsect' P 1ea, de , d g u ilt)' to tl1e charge. . , ; 011 1 11s O\X111 fJlea tl1e Cotirt find s ti e . . . a ts Ccl 1 s ed 11. i h1 _g111lty a11 d co 11victs � · cl1arged. I 11 tl1e opitiioi, of tl l is C t' 111 5 case 1 s qltite grave becau se thJ a1nol111t of 111011ey stolei, is cotlside��\ . } tl1e trt1st JJ\aced in li i111 as a ser,,ai,t 0� f urtli� rmore, tl1e accused l1as abused t 1e aggrieved party \X1l10 l1ad tl1e acc tise 1

0

IMMATURI·rv

191

it� 11is em1)loy for several )'ears. for tl1is reaso11 tl1is CoL1rt co11siders that i11 VL�\'v of tl1e gravity of tl1e case, tl1e offe11ce is j)t111ishable \x,itl1 rigoroL1s im­ priso111ne11t for a JJeriod 11ot exceeding· five }'ears as laid clow11 i11 Article 630 of tl1e Pe11al Cocle. 011 tl1e otl1er l1a11d it is to be tal<e11 i11to co11sicleratio11 that tl1e acct1sed is just belo\v the age' of eigl1tee11 years, lie bei11g bor11 011 Tekemt 13, 1936 E.C. a11d tl1at tl1is is J·1is first offence. U11cler tl1ese circt1111sta11ces, tl1e J)rovisio11s of f\rticle 181 of tl1e Pe11al Cocle a1J1Jly a11d tl1ere sl1ould be a reclt1ctio11 of tl1e {Je11alty to be i1111Josed. Tl1e CoL1rt, tl1erefore, ap1Jlyi11g tl1e j)rovisio11s of Article 18Ll(d) of tl1e Pe11al Code se11te11ces tl1e accttsed to si1111Jle i1111Jriso11111e11t for a jJeriocl of six 111011tl1s. Tl1e Cot1rt, after tal<i11g i11to cor1sicleratio11 tl1e degree of i11dividL1al guilt of tl1e acct1secl, \vl10 fra11l<l)' adr11itted to tl1e CoLtrt tl1e tl1eft \'vitl1 wl1icl1 l1e is cl1argecl, a11cl after tal<i11g i11to accot111t tl1at tl,e acct1sed is 11ot of a da11o·eroL1s dis1Jositio11, a11cl co11siclerii1g· tl1at tl1e acct1secl is L111der tl1e age of eial1te�1 a11d tl1at to comn1it l1i111 to 1Jriso11 for tl1e JJeriocl above 111e11tior1ed \vl1�11 tl1ere is 11ot i11 tl1e orcli11ary 1Jriso11 tl1e segregatio11 11ecessar)' to e11st1re tl1at tl1e acct1secl 11ot be co11ta111inated by ideas of l1arde11ed cri111i11als a11cl also tl1at tl1is is tl1e first offe11ce of tl·1e accL1sed, is of 01Ji11io11 tl1at tl1e se11te11ce of six mo11tl1s i111priso11111e11t sl10L1ld be st1s1Je11cled for a /Jeriocl of 1Jrobatior1 t111cler Article 196 of tl1e Pe11al Cocle. U11der tl1ese circL1111sta11ces tl1e Cot1rt is satisfied tl1at tl1e st1s1)e11sion of tl1e ser1te11ce \'(iill JJroclL1ce goocl rest1lts a11ci for tl1ese reaso11s tl1e Cot1rt orders tl1e st1s1Jensio11 of tl1e se11te11ce for a jJeriod of jJrobatior1 of t\X'O years from tl1is clay, J\!\asl<ara111 19, I 954, st1bject to tl1e accL1secl e11teri11g i11to a forn1al t111clertal<i11g to be of goocl co11dt1ct \vitl, a sec11rity co11sisti11g· i11 a 1Jerso11al bo11d for E$200 give11 by a g11ara11tor. Tl1e articles acqttired by tl1e stole11 111011ey a11cl all rno11ey recoverecl are to be deliverecl to tl·1e fJrivate co1TIIJlai11a11t frotn \Vl10111 tl1e n1011ey \X'as stole11. NOT ES Note 1:

The juvenile Court

Before 1961 0. C., Jro1111g offe11ders \Vere tal<e11 before ordi11ary aclL1lt cot1rts wl1ere the offe11se co111mittecl \X1as of co11siderably 111ore i1111Jorta11ce tl1a11 tl1e \,Velfare of tl1e child. 111 1961, a SJJecial tribu11al of tl1ree I-Iigl1 Co11rt jt1dges was constitLtted to l1ear juve11ile cases t111der tl1e 11e\v Crin1i11al Proceclt1re Cocle; · tliis court ft111ctio11ed L1ntil Dece111ber 1962, \Vl1e11 a special Jt1ve11ile Cottrt \Vas establisl1ed by order of I-Iis I1n1J�rial lVlaj�s�)' to sit t\x,i�e a \xreel< i11 A_dclis Ababa. Tl1e Director of Social Defe11se 111 tl1e 1\ll1111str1 , of Nat1011al Co111111u111ty Develo1J­ me11t !,as bee11 appointed a Woreda Cot1rt jt1dg·e for r:'11rposes of l1eari11g cases in the Ju\renile Court. In tl1e JJrovi11ces, yot1_11g offe11ders ar� still l1eard before adttlt cot1rts. for s1Jecial rL1les of proceclt1re 111 cases co11cer11111g yot111g· JJerso11s see tl1e Crimi11al ProcedLtre Code of 1961, 1-\rts. 171-180.

Note 2:

The Treatment of Young Offe11ders

TI1e only institt1tion ir1 Etl1iOJJia cor1cer11ed witl1 tl1e rel1abili_tatio11 _of jttve11ile offei1ders is the Trainir10- School a11cl Re111a11d I-Iorne est,Lbl1sl1ed 1n 1942 i11 Addis Ababa. U11til lv\ay 1964, the scl1ool \Vas closeIJ, co1111ected \vith tl1e Prison Adtninistration of t11e Ministry of _ I! 1te! ·ior, . bt1t ro�1siste11t \xritl·1 tl1e gro\ving pl1 ilosorJ11y of e(lucatior, a119 1·el1ab1l!t�t1on, rt was,. 111 1964, tra11sf_erred to tl1e Divisio11 of Social Welfare 111 tl1e M1n1stry of Na1'1011al Co111111u111ty DeveloJJ-

CRilv\!NAl- RESPONS!BILI'fY

192

1 1e l1Ltndred bo),s eitlier 0 on for ati od 1n1 )11 acc es vid Jro · 111e 11t. 'fl 1e 1. 11st 1ttit . ,·011 1 wl1ose ages tlJJOtl ad 1n1·ss1· on ra 11ge fron1 g to 18 years· • co 1n1111·tted or O1 1 i·eiuai,d . .· ... b in · _s e1 ff 1c an o ct 1 1 10 a t J at b o O d a1 r t I e nti } 11t 1 xr \ _ r , Je 1 1 ( stt a e . by d fe af st Tl ie school is ­ c E 1 1 11 M 1e ry l t st a l1 n 1 g 1o ot of 1r at tl t1c e i dt l erne_11tary . � e e id ov IJr io r \x l rs of teacli 11t of tl 1 rapy and 1 o1 arn ll a 1a d sn an 11g 111 tra.1 c 1 n 1 e l ac ac · 1e fro111 son1e t·ion. As1c 11 officers, the boys do 11ot receive io bat JJro o tw tlie b,r d ; · . case \XTor 1( JJrov,·cl . · · e nn . · 1 so I . JJe ct Ii 11e 1 a a 1 t k of s lac ou 11 a t) 1b e dtt 1a 1 · 15 1 l el ns 1 . t o ' d co . . any gt11ctaiice aii . . · ·t e 1· 1ted.T 1rn 111 q 1 e a s ! e t1. 1 1 f ac l1e 1e� l _ ot r 1c. 1 a {s l ac is rr ba 1 iai l Ita cl ol ill l ec id JJrov s en A el1 pr rs. 1n 1ve reor­ de co fen e of 11l 1 1 ve Jt e tl1 of 1 JJ -1 x r lo\ l fo or re ca er aft little . e y 11 pr�par ed by be 1tl ce 1 re s ? l1a l l1o Sc e tl1 r fo 1 1 a JJl 1t 1 11e 1 1J lo v gaiiizatioii aiid de 11 1ty De vel op1 ne11 t, see Ril ey, Final t1 11n Con l 11a tio Na of t�·y 1is 1 N\i tlie ill j. Riley , Cl1ap. II 1.rifra. Report ... e

e

e

e

e

•I

,

''I

''

Note 3: The Prevention of Juvenile Crime

•

Etl1iopia is 110w co 1ni11g to tl1e realization that tl 1e JJrevention of. j11ve11ile deli11qt1ency is a11 i 1111Jortant fttncticn of gover11n1e11t. Tl1e Sec?nd five Year DeveloJJ111ent Pl a11 ( 1955-59 E. C., 1963-67 0. C.) sets as one of its goals: Tl1e rel1abil itation of yot 1tl1 so tl1at deli11quency a 11d vagrancy amo11g tee11-agers is controlled a11G sucl1 yot1tl1 s are l1elp d to become useful 111 111b rs of soci ty (fJ. 30�). Son1e \xrorl( l1as been begt111. Tl 1 p:>l ice force 11as O[Je11ed a SJJecial d part111ent for jL1venil es.Tl1e Mt111ici1Jality of .A.delis Ababa, a 11cl sucl1 organizations as tl1e Y."t-,/\..C.A.a11d Scot1ts l 1ave b gt1n to form co1nmt1nit)' ce 11ters, clubs and other facilities to 1Jrovid activity a 11cl trai 11ing for ),011tl1s. A 11ew, con1prel1e11sive 11 Cl1ild W l fare Act'' is no\xr badl y 11eeded 11ot 011ly to give at1tl1ority a11d gt1ida11ce to tl 1 figl1t agai11st i11cr asi11g juvenil e del i11qt1 e11cy, bt 1t to set 011t tl 1e JJrinciples gov r11i11g tl1e care and rel 1abil itatio11 of yo1111g offe11ders. for a stateme11t 0 11 co1111)arativ l egisl atio11 of tl 1is natt1re, see 7-8 frzt. Rev. of Cri1n. Policy 36 (1955). e

e

e

e

e

e

e

e

e

e

e

"

• ' ' I I

e

e

Questions

�l1_at ar _ tl1e i_n11)orta 11t age �1tegories \xrl1icl1 deter1ni11e \vl1etl1er an in· d1v1dLtal 1s a11 1r1fa11t, a yo1111g 1J rso 11, an off 11cter b t\,:ree11 tl,e ao·es of 15-18 or a n1at:1�e off 11d r? 0,J tl·1e fre11cl1 a 11d A 111t1aric texts aare� \Vitl1 respect to SJJec 1f1c ages? �t _\x,hat ti111e is age d tern1i11ecl? Wl1at c� 11s qt1en· ces attacl 1 to JJlac 111e 11t \'v 1tl1111 acl1 cat gory? 2. l\11t1st a J'0\111g· 1Jerso 11 �e co11v:cted 1111d r tlie ordii,ar)' IJro\1isio of tl 1 iis �o? bef01 Arts. 53-::>5 �1- 1d 161- _173 � c_on:i ii,to IJl a),? Uiider \vl at pr oe , _ · 1 on v 1s1 s \X 1e tl1e )'OL111g off 11d�rs 111 Cr 111111 1al file Is d? cl ia N 52 ' rg o 2/ 53 · · Art · 8 of Proc No · 89/39 EC · s.-·11 1 go · od la\xr 1 11 Etl 1io1Jia? Why is tl1er no · · P 11a . 11 1. 11 tl1 .JJrov1s . 10 l Code similar to Art · 8?: Is ·t .b le ti· 1 at JJrov·51 1·011s 1 IJo s'· s 1 sL1cl1 as · A1·t• 8 ca11 be asil. y ab 11sed? If A · . · t·a11t \X,11at 1 t • 8 were x1s · 1 1011\X'OLtld tlie juv iiil j Lldo0· c1O wi.t 11 yotiiigsters . Ar t r \x r l10 l un di c d 1 1o l fa t l 471 P.C.E.? 3. �liy . does tl,e C?de n1 al< _ SfJecial JJ ro th v e is io r1 is fo r ju \V v e1 l1 at 1i le . s? SJJ c1al IJt 1r1Jos to be acl11ev d (f\rt.54)' ' referred to in J\ rt. 161? 4. Wl1y l1as a s1Jecial co11rt witl i cl·ff 1. e 11t a ) JJr oc dL 1 re to be d e es 1 1 tab lis l,� l-1 r � tl1e cases of jtiv iiil s (Note l); ��,at 11e rerne d1es ve11 1 are Jt tl1e avail able to CoL1rt? 1.

e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

e

li\i\J'v\1-\ TURI'f V

193

5.

Wl1at are tl1e pri11ci1Jles to be tal<e11 i11to accou11t i11 se11te11ci11g jL1ve11iles? ls sucl1 se11te11ce to be co11sidered cri111i11al? Is it IJOssible to a1JJJly several m�asures to a youtl1ft1l offe11der; are safegLtards establisl1ed to tJrever1t mi �ttse of Art�. st1cl1 as 168 or 170? Wl1e11 may a cot1rt a[JIJly tl1e more ser10L1s penalties enumerated i11 Arts. 171-173 to youtl1ft1l offe11ders?

6.

Do you feel tl1at the disrJositio11 of tl1e offencler i11 Cri111i11al file No. 550/53 E.C. \'v'as pro1Jer? Wl1at cliscretio11 l1as tl1e coLtrt i11 se11te11ci11g of­ f enders bet\vee11 tl1e ages of 15-18?

7.

I� tl1e treatme11t of juve11iles i11 Ett-1io1Jia (Note 2) co11siste11t ,villi tl1e [Jri11-

c11Jles set ot1t in tl1e Pe11al Cocle? \Vl1at t)' l)e of l1el1J do )'OLI tl1i11l< wot1lcl l1e best for )'Ot111g offe11ders? I-low ca11 st1cl1 treat111e11t be develo1Jecl? Problem

Tl1e follo\yi11g are actt1al case records of t\VO Etl1io1Jia11 boys, Ato 1-\ a11d Ato B. A1Jply111g the 1Jri11ciples elaborated i11 Arts. 54 a11cl 161 to botl1 A and B, atten, pt to deterrni11e a /Jro1Jer sente11ce under Arts. 162-182. I�easons �l1ould be given to jt1stif)' eacl1 dis1Jositio11. If yott feel tl1at 111ore i11formatio11 ts needed, state .\vl1at it is ancl \,1 I1y it is importa11t, tl1e11 aclo1Jt reaso11able facts, and proceed as 1f these facts l1ad bee11 /Jrese11tecl i11 accorda11ce \Viti, Art. 55. Tl,e Case of Ato ''A'' ,A.to 1-\ is 110\v tl1irtee11 _)re,1rs old a11d l1as bee11 brot1gl1t before tl1e cot1rt a11cl co11victecl 011 a cl1arge of vagratlC)'· Bet\v1ee11 tl,e ages of 11i11e a11cl tl1irtee11, Ato A l1ad com1nitted several 111i11or offe11ses, bee11 piclced LtjJ a 11t1n1ber of times for vagra11cy, a11d l1ad esca1Jed fro111 cL1stody 011 tl1ree se1Jarate occasio11s. 1-\ is the seco11cl child i11 a fa111ily of 6, a11d \Vas bor11 ot1t of legal \vedlock. Born in 011e of tl1e to\x,ns st1rrot111di11g Addis Ababa, lie l1acl 11ot ex1)eriencecl life in Addis Ltntil J1e \vas 8 years old. \Vl1e11 lie ca111e, l1e tool\ to tl1e 11e\v l<ind o ·f life with zest and e11tl1usiasm. U11til then everytl1i11g· see111ecl normal, l1is age of \Vall<ing a11d tall<i11g a11d l1is relatio11sl1i1J \\1itl1 l1is 1Jare11ts. 111 Adclis he started trt1a11ting fro111 scl1ool ancl goi11g to tl1e ci11en1a a11cl tl1ereby n1eeti11g other boys of tl1e same interest. Someti11�es l1e stay�d a,vay fro111 l·10111e t11'.til late at r1igl1t. �fl1is \vas not take11 sy1111Jatl1et1c�:ll)' b.)' l11s fatl1er \'v'l10 lasl1ecl l11n1 a11cl accepted 110 ex1Jla11atio11 fro111 tl1e boy. J-I1s .fatl1er sta1�tecl to Ltse cor1Joral jJt111isl1me11t for a11y l<incl of faLtlt l1e fot111d 111 tl1e cl11lcl. It \Vas t1suallj' co11sidered crtiel bj' his motl1er, caL1si11g co11sta11t qt1a_rrels bet,\,ee11 -father a11cl motlier wl1ich resulted i11 1Jer111a11ent breal<-LtJ) a11d divorce. Previously tl1e fa111ily livecl i11 a jJOorl)' ft1rr1isl1ed t,vo roo111 l1ot1se. Tl1e sleeping facilities \Xtere 11early st1bl1u111a11. After the break-up, A \Vas made to live witl1 l1!s fatl1er, a11d J\'s 111otl1er went ''away'' \vith tl1e yot1ngest cl1il_d.. Tl1e ol�e_st child \Vas se11t ottt of Acldis 1 to live \X-'ith his aur1t. The fatl1er s l1v111g co11d1t1ons hacl 11ot cl1anged bttt tl1e mother's had. She \,qe11t to live (and still is) i11 a 11otoriot1s area in Adclis. The st1rroundir1g is known for its con1mo11 [Jrostitutes a11d la\vless clrt1nl<arcls. A seems to l1ave realized tl1is earlier tl1ar1 ex1Jecteci for l1e describecl l1is 111otl1er as a ''bad woman'' of wl1om l1e is ''asl1a111ed' He rarely \x,e11t to lier a11d 111ost of tl1e time he \vanted to stay OLtt ratl1er tl1an go to eitl1er l1is fatl1er or 1 •

CRil llNr\L RESPONSJBILITY

194

v

t tn t p O 1 l ad no as l1 j) d rc an d o s iv or d 11 t a p s � l1i i r� 1 J e1 l1 w l o o 1 y � sc ft le e I-l r. 1 11otlle ne to cat t�e d a11_ s eet st1 tl1e 111 coi e 01 1 11 ,sta ed r 1de nt \X1a1 J lie ice i -Ie o bac I . t o a 1 11g l1e 1y th1 r . 1cy ra1 l for vag he n l1i1 h ed . est arr d l \X i· < l,o � � ce . ] Jol . e t 1 o f . \,r e vI . I . 111 1 a · 1e d e t 111 ., 1es l . t a 11s � , e 1 y v I 1t e 1 s t 1 1 10 a cle a f . o r a r fe s a J \X . e 1 11 0 11 1 11 0 d f bt 1· n­ w 11t se 111 t llr CO , e 111 tl1 1 cl to l11 , ol 1o cl l1e g. i11 S i11 � �y � �:co11�i11g fro111 tl�e .r1-ra . d ce 11 t1 I o jJ ed n 11 o e1 se 1 1 11 11 11 0 1e 1 l1 1J ever tl,e effect of disc1 11 n1 as l1i 1 1 dif bi 1:i sc y de fJl tn s� ficult by s ve � A, but Botl, J)are1 1ts exct1se tl1e111sel d e te tl1 ec ot p1 or ed l� l 11e ot sl m 1 er er 1 ev 1 s l1a er tl1 fa 1e TJ ''. or ''itll!Jossible rty JJe o _ r jJr l1e d of e an 111 s0 1 1tl w ed ld ar so Je J sa di A at 1 tl J 1 1 t til s . re e tl, 1 it \XJ 11as i d of 111111. The fatl1e r is ra s af em se o als d a11 n1 l1i 1 1 1 fro e id 1 l to it. No\XI si1e tries . o s s re a1. l1� em se A 1 by 1 to ow k11 11g be 10 ct fa a le, sti l1o d 1 a1 � nt 11a ig 1d i i OJJeiil)' 1 e1 1s JJe1 l1aps, 1nore tl1a11 l 1e fat Tl A. cl a11 r l1e fat e tl1 1 1 ·ee t\x, be a l<iiid of jealot1sy the 1 11otl1er, e111otio11ally t111stable. ny to n 1�1� l1i1 led 11 soo frie11ds A of its l1ab 11g eri 11d \xra and 1 1g i fer 'flie }Jil \xrlio lived tl1 at \xray. Wl1e11ever l1e esca1Jed fro111 ct1stody,. l1e J0111ed tl1e111. I-Ie11 ce l1e l1ad alread}' beco111e a 111e111ber of a loosely orga111zed ga11g. A is reserved but ca1 1 be ratl1er domi11eeri1 1g·. lie is l1 t1mot1rless, easily irritable a11d qt1icl<l}' borecl. I-Ie is a superior yot1tl1 bt1t witl1 u11solved desires a11 cl 111e11tal co11flict. I-Iis edt1catio11al attai1 1111e11t ir1 tl1e sl1ort ti111e tl1at he has bee11 at scl1 ool is ren1arl<able. But l1is i11tellige1 1ce, t111fortt111atel }', has been 11 sed for evil tJttrposes. I-le l1as created t\XIO selves a11d ca11 1nal(e anyo11e believe tl1at l1e is a 1nost ge11 tle )'OL111g n1a11. Tl1is deceJJtive 11att1re is tactfully used for acqt1iri11g trt1st \Xtl1icl1 is LISLtally ill keJ)t by l1i1n. A is of a 11or111al pl1)rsiq11 e a11d altl1ougl1 he l1as several ti1nes bee11 sicl( (typl1us), etc., tl1ere are 110 a 1JJJare1 1t after-effects. 1 11 a case like tl1at of A, tl1e JJrese11 ce of 1nt1lti1Jle factors tl1at l1ave sl1a1Jed l1is cl1ildl1ood 111 al<e it i1111Jossible to JJi11-1Joi11t tl1e cause of l1is anti-social bel1a\riot1r if s11 cl1 cattses are ever ca1Jable of bei11g· JJi11- 1Jointed. There l1as bee11 \V�11t (111 aterial �s \x,ell as e1notio11 al), overcro\,1di11g, defective fa111ily relation­ sl111J, 11 1effe�t11al1t� of 011e (J�rent (tl1e 111otl1er, \x1l10 l1as al\vays bee11 JJassive a1:cl . e?Ccess1vel)' 11��11l�e11t), Jealous)' or1 tl1e 1Jart of tl1 e fatl·1 er, defective d1sc1 pl1 11e �1 1d. co11rl1ct111g valt1es of [Jare11ts. It also see111s tl1at tl1e 111igration of tl1e fa1 111l:) 11 1to to\v11 l1as I -1el 1Jed to bri11 g· A 1 s diffictilties to Iio·]1t. Tl1ere is 11 0 d_o11bt tl1�t, alt�1011gl1 .l\ \vas attrac�ed by tl1e ci11e111 a a11d otl;er jJeOJ)le �f tl1e t?\xr11 (wl10 \xr�re l<111 cler t.l1a11 111� !atl1e.r), lie \,,as rt11 111i11g a\Va:)' fror11 111s fatl1e1. 011e \X1?1 1de1 s :'{ll1 y lie cl1cl 11ot 101 11 111 s 111 otlier \Xlliei, slie \'fe11t to live by !1erself_. This lie tr1�cl t11 1til _ l1e realizecl tl1 at tliere also 111e11 ca111e. lie t11r11ed aga11 1st 111s 111otl1er \'(/Jtl1 co1!s1der�ble viole1 1ce \vl,icl'i lie sa)'S tl,at lie does 11ot regret. lie fot!1 1cl a11 exct1se 111 say11 11g tl1at sl·i e \Vas a JJrostitt i te (\,,I,icli slie \vas, bL1t abot1t \Vl11cl1 A see111ecl to be jealot1s). \iie\'(/ o s�cl1 liabilities o11e 111 ay \X1011der if for ce cl1 ar1 tl 1 er a11 � e ! is y ti . 1 � 1 � ortll Of .· � l1� a iis\xrer 15. �es. J -Ie is a diffict1lt case a11d l1is st1 Jerior 1 . 111te111ge1 1ce 111ah.es 111111 1nore cltff.icttlt to deal ctae .: I e ·· \Vt th l<IlO\'<' , b Lit 1 e \X11tl1 tl tl1,at _\v.;· e ]1ave a t101,1 t I1t1 111 a1 1 bel1av1ottr (ilO\':rever 1·1 1111·te han.ce c d air ) f · , ti 1ere a · 1s of 11 1s refor111. 111 A's case ti,e 1.eSll 1ts a i.e clear aft 1 tl \xr1 { er \xro rl tl 1 ree ye of ars � 111·m,. he n1a)1 ta 1<e a11otl1er t\vo or tliree years. 11

I

1, I t I " (

I . I'

' • I I J

1

!11

z:,

Tl1e Case of Ato ''B''

Ato B is fiftee11 years 0ld ar1 d lias come before tl1 e court for tl1e -fir5l

195

l1\1MA TURI TY

titTie. Tl1e jLtdge l1as fou 11d l1in1 gL1ilt)r of jJetl)' tl1 eft 11 11der Art. 806 of t11e Pe11al Code.

.,

!3 \x,as bor11_ in Aclclis Ababa of \Vealtl1y jJare1 1ts. Iiis bi�·tl1 a11cl ages of :�all<t17 g �11d tall(1ng \,,ere 11ormal. Not 111L1cl1 is !(110\v11 aboL1t !11s early bel1av­

IOLtr. It 1s, 110\·cever, l<n0\'\111 tl1at l1is 111otl1er \x,as only 17 \vl1e11 lie \vas bor11 ar�d tl1at l1er l1t1sba11d l1ad desertecl l1er \Vl1e11 B \Vas t\vo. B \\'las se11t lo live \X1 1 tl1 l1is fatl1er a11d his 11e\x, ''\vife''.

lt seer11s tl1at B's parer1ts \Xlere 111arriecl to eacl1 otl1er 11ot to satisfy tl 1 eir 0\•'.' 11 11eeds �L1t tl1ose of B's j)ater11al g·ra11cl1Jare 11 ts, \vl10 t11Jo11 seci 1 1g B's fatl1er liave t\vo cl11lclre 1 1 fro 111 a11 irregt1 l::tr L111ior1 a11 cl that \X1itl1 a \vo 111a1 1 \vl10 clicl riot belo1 1 g to tl1eJr faitl1 1 orclerecl l1 in·1 to r{1 arry a girl of tl1eir a1J1Jroval. I le clid a 11cl B_ \Vas bor11. f\VO J'e1rs after tl1e 111 arriag·e, l i e co 1111J!etel)' joi11ecl l1is for111 er col1ab1tee a11d se1Jaratio11 \,:,as g·ra11tec!. B)' B's jJare11ts1 religion, a cli\rorce ca1 1 11e\1 er be gra11ted. B's 111otl1er is still co11siclerecl 111arriecl to B's fatl1er a 11cl is 11ot allo,x1ecl to 1 11arr)' ag·ai11. B's fatl1er 110\v l1as 6 cl1ilclre11 fro 111 l1is col1abitec· B lived \vitl1 tl1e1n. 1

1 g a \Va 1 1cierer a 1 1d Prior bei1 of reptttatio11 tl1e l1ad l1e us, to co111i11g B's to _ a . l1ab1tt1a� trt1a11t. I-le also stole a11J ll1i11g· lie fot1 1 1cl '\vitl 1 e 1111Jl1asis bei11g· 011 l11s fatl1er s mo 1 1e)1 a11d a \'rate!,. I-Ie l1acl bee1 1 to 6 scl1 ools, L1 of \,,!Jicl1 \\'ere boardi11g·. J Ie - abscor1clecl fro111 all of tl1e111. 1

I-Iis scl1ool recorcl is \1 erJ, j)Oor. No cl1ro11ological accot1 1 1 t of liis scl1c)oli11<">. l1as bee11 l{ept bt1 t tl1e fact tl1at lie cl 1 a11g·ecl scl1ools so 111a11y ti111es slio,v·s ti,�� l1is J)rogress \Vas poor. Tl1e reaso 1 1s \ ;;l1J, l i e cl1a11gecl scl1ools so freqt1entJJ, are 11ot clear. Altl10L 1 g·l1 11ot tl1e "official'' reaso 11s fc)r l 1· is clis 111issal, i11 all tl1e scl1ools lie l1acl bee11 to, tl1ere l1as aJ,,va}'S bee11 a11 i 1 1cicle11t of ste;1li11g. 1

I-le l1�ts 1 10 0L1tsta 1 1di 11g cl,aracteristics exce1Jt l1is clesire to be l1carcl. Altl1ot1gi1 jJl11 sically above averag·e, 111e11tall)' l 1 e is aboLtt 13 J,ears olcl. J-Iis frie11ds l1ave al\\::a)'S bee11 older a11cl jJOorer tl1a 1 1 lie a11cl tl1is l1as createcl troL1 ble. His teacl1ers also over-assessed l1i111 a11d \Vere clisa1J1Joi11tecl ,,. l1e 1 1 B dicl 11ot ft1lfill tl1eir reqt1ire111e11ts a11d ex1Jectalio11s. 1

Wl1e11 \x·e came to 1<110\xr l1 i111 (at 15) lie l1acl 110 e1111JloJ'111e11t a11d \Xi as 11ot atte11cli110· scl1ool. J-Iis fatl1er said lie ''l1J.d triecl l1is best to jJLt11isl1 l1in1' bL1t tl1at B \;as i11corrigible. J-Ie also 111e11tio11 ecl l10\v riclict1 loL1s it \Xlas ll 1 at "l1is so 11 \\1/1tl1 everytl1ina i11 tl1e \VOrlcl, tl1a11I< Goel, coL 1 lcl be so bad." J\ re111arl<, ''e,1ery­ 1 1 tl1i11g? ' 111acle hi111 a11gr)' a11cl lie clicl 11ot sa)' 111L1cl1_ 011 tl1_at claJ'· B s 111otl1cr was \Vilh tl i e fatl1er; sl1e Iool{ecl a11cl bel1avecl 111ore l 1 l<e a sister tl1ar1 a 111otl1er. S11 e i s \X:o rI< i1 1 g a11 cl ea r 1 1i 11g ' 'q Lt i te e r1 o ti g·!·1 ''. 1

B was assessed to be a JJroclL1cl of a brol<e11 l10111e by desertio 1 1. I Ie - is also a jJrodL1ct of clefecti\re comes fro 111 a hot1se of jJle11ty 111aterial151• J Ie di.: cipline as B: s fatl1er used tl1e \X1l1iJJ to 111a!{e e� er)' ,x,ro11g: rig·l1t. B is abo\1e all a procltict of the fact tl,at l1is fall1er ,,,as 111arr1ecl to a g1_rl lie 11ever lo\1ed and B is t11e result. I-le \Vas un\'v'a11ted by botl1 jJarei1ts. Tl11s \Vas 111ade clear duri11o· intervie\VS \Vitl1 tl1en1. As all cl1ilclrc11, B se11sed tl1is rejectio11 a11cl started to retct. J-lis first reactior 1 \\1/as self l1ate. I-le see111s to believe tl1at if lie \xras riot born l1is pare11ts could l1ave forgo_tl�11 e�cl1 otl1er lo11g· ago. I-le tries 1111ot to exist'' by sellii1g ]1is clotl1es a11cl l1v111g 111 _rags. Bel\vee 11 tl1e ag·es o-f te11 ancl fiftee11 lie l1as scJ!cl l1is clotl,es aboLtt 10 t1111es a11cl stole 1 1 1Jro1Jert)' f· ro1n tl,e liot1se 6 ti111es. Tl1e reaso11 lie gave: ''I l1ave a s111ol<ir1g l1abit. ]-Iis !,ate was 111ai11ly clirecteci to\-qarcls l1is fatl1er. I Ie - is jJerl1arJs ar1g·ry tl1at l1is fatl1er 1

. .

'

CRIMINAL RESPONSIBILITY

196

n seems to say io ct a , re is I-I . er s th 11i fa e av le t 11o d L1l co • • • · , n10 tl,er 'IY.'1,11· e 1,e • 1 eft 111s t o t t an B r po 1m tha11 tl1eir e ot 11s e1 m se m l11 of ' 11 ''I ca11 , . B s fJar e.iits' 1·e1· ect10 rejectio11 of eacl1 otl·1er.

b. The Causatiorz, of Juvenile Crime 9 P O I TH t N I I Y E C N E U I Q N L E D A A N EVALU ATION Of MALE JUVENILE ], Riley s on ati on rv up se ob 1 ai1 m i e ter th ma ly ief al br is y ar m 111 si1 g iti ow ll fo Tlie ol ho d g Sc an 1in ai1 Tr e tl1 at d Rema11ct ne tai ob es t1r fig of sis aly a11 gatliered [from lio111e, Addis Ababa]: m me co fro ts e11 the qu lin de age ile e11 jt1v le 111a of 11 tio Jor 1Jro a. tl,e largest 1 grottfJ 12 y ears- 16 years; b. theft is res1Jonsible for a stlbsta11ti:ll fJart of jt1ve11ile d_e�inqt1e11cy in _Etl1iopia­ vagra11C)' is 11ot 110w bei11g JJttrs-1ed by the at1tl1or1t1es very actively; it is JJrobable tl1at tl1ere is a s1nall bLtt gro\xri11g i11cide11ce of the more seriotts and IJositive forn1s of juve11ile deli11qttency, e.g., damage to property ... etc.; tl1e home bacl<ground of jttvenile delinqt1e11ts is revealed to be that a st1bstantial 11t11nber are l ivi11g i11 a11 i11complete or defective fa1nily situa­ tio11; sligl1tly fewer, thoL1gl1 still st1bsta11tial 11un1bers, are living outside of fa1nily i11flL1e11ce; only 18% of j11ve11ile deli11quent cases exami11ed lived \x,ith botl1 JJare11ts; !he first 3_ 1:no11tl1s of separatio11 fro1n tl1e family \Xias see11 to be i1nportant 1n determ�11111g wl1etl1er a boy beco1nes deli11que11t or 11ot; after 18 1nontl1s of separat1011 fro111 tl 1e famil y tl 1: cl1a11ces of del i11qL1e11cy rise co11siderab ly; juve11ile cleli�1que11_cy is s_ 110\x,11 1s largely an t1rba11 [Jroblem; tl 1e greater 11t1111be!· of _1uve111_le del 111qL1e11ts originate fro111 tl 1e urba11 districts; bt1l �a11y JL1ve111l� del 111que11ts are to be fot111d i11 tl1e situatio11 of rural migra� t1on to tl1e city;

c.

d.

e. f.

eco11omic t1,�,c�er fJrivileg·� [sic] i_s see11 to be associat ed \xritl, jttvenile delin­ qLte�1cy. as fat as a boy s ear11111gs are co11cer11ed - 110 i11forrnatio11 L1pon fa1111ly 1nco111es; 11. ill iteracy or low grade ed11catio11 is associated \Xlith jt1ve11i deli11qt1e11C)'; le t111 �1nployrne11t a11d lacl< of gainfL1 l occu fJatioi, is l. as so e d w itli j11v e11ile ci at de 1 111qt1ency ...; com IJaratively few boys re-off·e1·ct e-d afte1· t·11. ]. st a 1Jpeara11ce at co11rt; k. t11e ex iste11ce of co11t i11ti a 1 cti1-ect, fan�t· 1 · 0 t ble 111 1r� flt 1e_ 1 1ce \Va fav s ot cl1a11ces of gai ilftll occti Jcat_!1011 (a11d the1 � so ef or 10 11) de l 1n fJr qt ev 1en e11 cy . t far as boys t111der 14 )'ei't_ s \ve1 e co11cer11e � ver o d ; it bo in at ys te re fo d le r ss tl1at aoe · g.

1::,

•

•

19.

•

/

•

Riley, �nitcd Nations Consultant on .So.I nal -·a 1 Defe11se, Final ReJJo1"t atio 1 Com1nu11ity Development ltnJJeri N of To The J.1inistr) a. ' -I Et' .111,.op1,1n G o-,:ernn1e11t 23-25 ( 1965).

IMMATURI1·y

197

m. tl1ere is a possibility of tl1e jL1ve11ile delinque11cy ir1cide11ce i11creasi11g;. tl1e trend may already be sho\ving; n. !l1e absence of serious offences sucl1 as ''robbery \x1itl1 viole11ce'', ''break­ ing and e11tering'' and ''ga11gsteris111'' is noted; 0.

p.

q. r.

ts �espect for aL1tl1ority d\vindli11g? tl,ere ap1Jear to be sig11s tl1at it is beg111111ng to do so, thougl1 11ot to a sizeable degree; tl1ere is a com1Jarativel1, l1ea\ry Ltse of tl1e JL1ve11ile CoL1rt i11 Addis Ababa, of tl1e Traini11g Scl1ool, 111L1cl·1 less ttse of a 1Jrobatio11 service tl1a11 is to be e_x(Jected; so111e (Jeriods of co111111ittal to tl1e Trai11i11g Scl1ool 111ay be co11s1dered lo11ger tl1an is LJSLtally reqLtired for rel1abilitation a11cl trai11i11g; i11 tl1e• jJrovi11ces, . tl1e jL1ve11ile deli11qt1e11cy i11cicle11ce is licr 0l1t tl1ot1gl1 ir1creasing - some JL1\1e11ile deliqt1e11cy is Lt11cletectecl or 11ot JJLtrsLted - 011e or t\vo areas of l1eav)' jL1ve11ile deli11qL1e11cy i11cicle11ce is 11oted; petty theft ?f a variety of l<i11ds is tl,e 111ai11 for111 of jt1ve11ile deli11qt1e11cy 1� the 1Jrov1r1ces - some juve11iles 110,v visit fJrostittttes - a cl1a11gi11g at­ t1tt1de to\vards at1tl1ority is 110\v emergi11g 1Jartict1larly a111011g scl,ool boys (tl1ese obser\1atio11s also afJIJly to Adclis Ababa);

s.

jttvenile offe11ders are 111ai1111r dealt \vitl1 t111officially by tl,e jJOlice, fe,v are dealt \X1 itl1 by the cot1rt - very fe\v se11t to priso11 - t1st1ally 110 facilities of se1Jarate acco111modatio11 are JJrovided for bO)'S i11 tl1e 1Jriso11;

t.

tl1e street boy sitL1atio11 - tl1e lac!( of boardi11g· facilities for scl1ool boys fro1n rural areas - tl·1e lac!< of occu1Jatio11al op1Jortt111ities (botl1 leist1re-ti111e pLtrsuits a11d e111IJIoy111e11t) - tJ1· e eco11 o111ic sitLtatio11 of ti, e t111cler1J riviIeged - tl1e lac!< of adult leadersl1iJJ a11d fa111il)' co11tact - all 111e11tio11ecl as IJOS­ sible co11tributor1, cat1ses to jL1venile cielinqL1e11cy; tl1e i11flLte11ce of traditio11 a11d tl1e cl1urcl1, tl1e lac!< of SOJJ11isticatio11 11amed as respo11sible to some co11siderable degree for tl1e existi11g lo\v juve11ile deli11qt1ency rate, in a social sitt1atio11 \x,rl1icl1 might be exrJected to prodt1ce a heavy incide11ce - tl1is situation is begi1111i11g to cl1a11ge.

u.

THE CAUSES AND CONTRIBUTING FACTORS TO TI-IE MAKINO Of JUVENILE DELINQUENTS IN E TI-IIOPIA20 Yeweirzsf;et Bes/Jal?- if/01,trecl The Background: I11 for111er ti 111es (a11d i11 rL1ral co111111t111_iti_es of JJrese11t day society) tl1ere was a stro11g bo11d created by.� co111111011 rel1g1011 and a comn1011 national l1eritage of folk-lore, so11gs and trad1t1011s tl1at bou1:� togetl1er peop�e of differe11t social status. families or groLtJJS of related fan11I1es cO-OfJerated 111 working for tl1e material needs of tl1eir_ co_m111u1:ity. Tl1e fa111ily a11cl commt111ity provided for tl1e hazards of deatl1, dest1tut1on, s1cl<t1ess and old age.

In the traditional pattern of E thiopia11 society marriages _\vere arra11ged by parents a11d elders. The 111arriageable age \vas 8-14 for_ tl1e girl and_ 14-18 for the boy. U11less the marriage rit� s �ere JJerf?rmecl 111 cl1L1rcl1,. ?Ivorce _was common but fan1ily and commu111ty ties re111a1r1ed strong. Illeg1t1mate b1rtl1s 20.

Woz. Yeweinshet Beshah-Wourcd, So,ne of the Causes anlL Contributing Factors to tlJe Making of ]1,venile Delinquents and Prostitutes 2-5 (1964).

CRI/\1INAL RESPONSIBILITY

198

1 t tl1ere was 110 stig111a attacl1 ed b1 of, ard 1he 11 1 l \)' a ctic pra �v ·e • • l)e1.r. 01e 111ar1••1ag·e ,v,ei 1 e ct ce · or 1v _a . as \xr 1r s tl ·f l1e birlli 1e 1e 1 0 _ 111 111s or l cl 11 l . c e at t . ·ti 1 ti illegitii11 a 1 1? tl1e girl an � ag r1 ar e 111 11c to ra 1 l 1cl 1 a t _ 11o : l l i c st is d l ii l c ,, �1 e at 1� 1 0 1 i egi 1 cl 11_ot liaJ)!)e 11s tl f I . se 11e el eo 111 so 01 1 Id 1 cl r ie l n of � er tl, fa ie l t er tll ei r inar y t t sta d sel l 11 l11 1g "tella" wo e sl1 r, lie rt JJJo suJ to e bl na 1 . 1 , re . . a11d l1e.1 1Jaretits ,x,e 1 1 t1 011. it st ro JJ f o l fe i a rt a st or ''tej'' a1 1cl so 1 1 _of l iv\ 11g a11d tlie r tte JJa l d l :e_ b is ta es e tl1 to i11 ed iat 1it . Tlle )'Ottrig \xrere i1 d 1 011al or de 1 . Soc ial sar1ct1 0115 t tra e l1 t )t �: ac to 1ed 1 r Iea l l r � gro,x,iiig bo y or g_i l1e _acceJJted sta11dar_ ds of t to 111 o1 11f co t 11o 1 j d 10 \'(/1 se 1o l t 1st \Vere effective aga11 d rte rl ta a s gi _ at a tl1 rt l ife of so re t l as ry ve a as y l 1 1 0 s \xra it d aii tr ot vi bel,a l 1er village. t 1o ,11 r fo 11e 1 l10 ve :ea r l1e e ad 111 11 te of 1 l 1Jrostit11tio1 1 \xrl1ic 1 1g e l 1as fa� reacl1ing 8. , is cl1 tl1 1 �d a n& 1gi 1a1 l c is r cle . or olcl 1e Tl Social C/1.in.ge: 1 1cl 1v1cl11al. TI1e 111ost ser i ous rest1lt 1 1e l t d a11 111 ity 1 111 11 co1 tl1e ect aff l1 l1ic ' \'v restilts l 1eritage; so cial cl1a11ge brino-s rai lt11 1 ct 1eir l t n1 fro fJle JJeO of a ti11 o is tl1e 111)ro abot1 t clisi11tegr�tio11; if tl1e cl1a11ge is slo\xr tl 1e 11e\xr ele111e11ts i 11 tl1e c11lture c;n be easily absorbecl, b11 t ofte11 tl1e c·1a11ge is ra1Jid a11d results i1 1 n1t1 cl 1 co11flict. A society is able to \vitl1 sta11d tl1e disi11tegrati1 1g JJO\ver of cl 1ange (1) if it ca11 be certai11 of its core of val11 es (2) if it is able to tra11sn1it a sufficient!)' stabl e core of attitudes a11d val11 es to tl1 e co111i11g ge11eratio11. Tl1ese co11ditions are 11ot easily ft1lfilled ancl tl1e old order cl1a11ges 01 1l y to give \Vay to a cl1oice of val11es as 110 col1 ere11t set of \ral-1es is [)rese1 1ted to ref)l ace tl1e old. Tl1e fatnil y as tl1e 1111cl e11s of 211 o tl 1er social orga1 1izatio11s, and 11ot the i11divid11al , is tl1e real u1 1it of society. Perso11al values are lear11ed a11d the 1 11ea11i1 1g of 1 )erso11al livi1 1g 111 1derst )od \vitl1 i1 1 its co11text. It is tl1rouo·l1 tl1is fu11 da1 11e11tal 1111it tl1at tl 1e traditiors of society are LlJJl1eld. 111 tl1e !);st1 tl1e eco11 o mic syste1n n1ade for tl1e st;.1bility of tl1e fa1 11ilJ' bt1t 11e\v' eco110111ic and so cial f orces are infl 11 e11ci11g tl1e fat7ily \xrl1icl 1 is l osi11 g· co1 1trol over its 111e111bers. Tl1t1s tl1e ct1lt11 ral f o t111dati o1 1s of tl1e traditio11 al fan1il)' are beir1 g t11 1der111i11ed. Tl�e i1111)rove_111e11t ?f roads a11d co111111t111icatio11s a11d tl1e i1111Jact of 111odern ed11cat1011 l1a,,e g1 ve11 v1llag·� 1)eo1Jl e a11 al ter11 alive to tl1 eir 111eager existence. J\��11 a11d \X101 11e11 are leav111g l1017e fo r better O!)!)Ort11 1 1ities i 11 to\v1 1s and c1 t1 es a11d �l1 e very sys�e1n of ed11cati o11 11,1s bee1 1 a factor iii tl ie breal<it10· up o f tl1e f�1n1 ly bJ: re111?v111g J'OL111g b8:)'S a11d girl s fro111 t l ieir 1101 11e eti\riro1,;1 ent. Ole� so_cial rel�t 1011sl 111Js based 011 neigl1bo 11rli11ess ,lre clestroyed. [\rlt i tti al social o bl1 gat1?11_s __ a1e 110 l o 11ger res1Ject�c l _ a11cl self-i i iteres t aiid deiiial of social · res1Jo11s1b1l1tJ, l1ave beco111e t l1e . gl·11d11 10· 1J1·111c 1· 1 )1-:,e s of tl I e 1· r1 ct·1v 1·ct11 a1 . o1·s1· 11 te · 6 . . · . . . · 1ess a11 cl slL1111 co11d1t10 1s are tlie li·1 g1 at1011, d1st r·o1n l } 111 a I-1{ 0 f. I a f)·ct I Cl1a 11 ae - Tl . w I11·c }1 ro l l o w t1 11e11 11) l0J1 111e11t, cr1 111e a11cl disease. 111 tl1e sl1al<y fra11 1e\x1orl< of a cl1a11o i· rt(Y soc i· r 1 et:) L b a l 1e adolesce11t 1s 11 1 tie 1 nost vL1l11 erable l)Ositio,, · It rs · · 1. 1 e 0. 1 sl1e \,,J1o feel s tl 1e s ·ra t 11 1 of 111odern, livi11g r11 ost. Tor1 1 bet\vee1 1 l oJ'alt t 1 llS . j)a rei · �ts atld desire to be LljJ-to-date' � t}1e cl1ild cloes IlOt LlllClers tatld,,ll·1� JJl Oj)er ro 1 e 111 onal tl1 jJe e rs co 1 n 1 111 1it I Ii 1 )'. 1 s cl,1i1ns 111al<e it difficttl t f· o ·�' 1 1·11 11 to r e sI)ect t l1 e c1 · I 1e · T a111 1s . · o 1 f 1 1 t ty 11 t l co1 1e 1 _ 1 1 1 c\ 1a11 gi11g 1 11etl1ods o f jJroclLtcti oti )O )ttlat·1 011 11' . ove_11 1e1 1ts a11d tl·1e !'11 l? act 0f 111�der11 edt1catio11 lia\,e crea ted i i\s�cJrit, · _T � �a 1 1: 1l y, u1 1stabl e as 1t 1s,. can 11 e1 tl1er IJrovicle affectior1 110r aJ)jJly Jro,';�1 a�1sc .1J_ Jl1 r1�. Pare11t s_ are . son1� t111� es too far a,vay o r are IJreveiitecl frot� tal<1 _11 act i ve 11 1terest 1 r1 tl1e1r cl11ld 1 �n beca11 se of ec o110111ic jJressures or ·are ove i � w i 7 el n1ecl by tl 1e cle111ar1 ds of n1ode 1 n livi11g. . _ The Impctcl of Jl1odern Education·. \XI.1t . . l l 1 tl1 e 1 11creas111g· 11t1111be r of cl11 !dtel

_

1 ::.

I I' I' I' [

[ I

I

' I'

l

' • •

J I

r

0

,l

•

i.

11

•

199

I.lv\lv1ATURITY

a�te11dir1g a scl1ool 11ot 011ly are 11ew icleas J)e11etrati11g so111e of tl1e re1notest villages bttl the desire for eclttcatio11 l1as raisecl tl1e 111arriageable age for botl1 boys a 11d girls. .Nloder11 edt1catio11 l1as \,:,eal<e11ecl tl1e fa111ily by creati11g· a wide c11ltt1ral ga1J bet\xreet1 ge11eratio11s. The scl1ool sta11cls aJ)art fron1 tl1e com1nt111ity \X1l1icl1 11nclersta11cls r1eitl1er tl1e teacl1i11g co11ter1ts 11or tl1e J)LirJJose of tl1e school. I g11orant pare11ts are t111able to assess tl1e jJrogress tl1eir child is 111,ll<ing at sc�ool a11d all too reaclil)' give LtjJ tl1eir resJJ011sibility for eclt1catio11 arid ciisci­ iJl111e. -r11e cl1ilcl i11 tt1r11 is asl·1a111ed to acl<110\vleclge fJoor a11cl ig11ora11t parer1ts. Tl1e sl1ortag·e and JJoor qttalit)' of available teacl1ers l1as so far 11ot alloYvecl any efforts to briclge tl1e gaJJ bet\,:,ee11 sc\1001 a11cl co111n1t111ity, a11d scl1ool cl11lclre11 are left ver)' 1nt1cl1 to tl1e111selves (eve11 \Vl1e11 livi11g \Vitl1 tl1eir JJare11ts) a11d are t111certaii1 of t11e role tl1at is ex1Jectecl of tl1e1n. No co1n111011 sta11clards of bel1aviot1r are ex1Jectecl of cl1ildrer1 as s01ne 1Jare11ts are over­ i 11 cl Lt 1ge11t a11d 1Je rmissive a11cl ot1 1ers over-strict a11 d at1t 11orita ti ve. Cl1ildre11 at scl1ool are co11fro11ted \x1itl1 tl1e JJroble111 of ''l<ee1Ji11g tllJ \xritl1 tl1e Jorieses'' a11d i11dt1lge i11 st1cl1 seemi11gly l1ar111less cor1tests as \Vl10 brir1gs tl1e 1nost 1no11e:>' to scl1ool? \Xfl1ose fa111il)' l1as a car or chat1f-fet1rr \Vl1icl1 cl1ildre11 clress better? f\11d so 011. Tl1e scl·1ool tak:es little 11otice of st1cl1 tl1i11gs and most 1Jare11ts do 11ot see111 to realize 110\v l1ar111ft1I tl1is is for tl1eir cl1ilclrer1 a11cl tl1at SL1cl1 co11tests ca11 be tl1e cattse of l) i11g, JJilferir1g a11cl otl1er ttndesir­ a bl e bel1av io LI r. 1

It is ofte11 a cat1se for \V011der wl1y i11 s1Jite of l1avi11g receivecl a11 eclL1ca­

tio11 yot1ngsters fall i11to cleli11qt1e11t bel1aviot1r, bttt l1ere \Ve te11cl to co1rft1se 111ere literacy witl1 a real eclt1catio11. Edt1catio11 111L1st be eclL1catio11 for citize11sl1i1J. It mt1st teacl1 tl1e cl1ild: (a) to earr1 a livi11g (b) to develOfJ 111oral icleals (c) to beco111e a Ltseftil a11cl \Veil adjttsted citize11. As JeffreJrs i11 a treatise 011 the pt1r1Jose of eclL1catio11 i11 111ocler11 societ)' sa) S 1 ''1 11 a11y society peo1Jle 11eecl tl1ree tl1i11gs: - a job b)' \xrl1icl1 tl1ey ear11 tl1eir claily bread; a vocatio11, \xrl·1icl1 is a n1ea11s of self-ft1lfiil111e11t tl1rot1gl1 service to tl1e con1111L111ity; a11cl leist1re, i11 \xrl1icl1 tl1e)r ca11 relax tl·1e s1Jecial te11sio11s of tl1eir \Vorl< a11d re-create tl1e111selves1 '. I11 particttlar tl1e eclticator sl1ot1ld never lose sigl1t of tl1e mear1ing· a11cl irnporta11ce of the fa111i]J,, a11c� s1Jecial e1111)!1asis sl1?t1lcl ?e laid 011 religiotis eclt1catio11 a11d eclt1catio11 for marriage a11d fa1111ly relat1011sl111Js. 1

RAPID SOCIAL CI-IANOE 1\ND JUVENILE DELINQUENCY IN AFRIC1-\21 Economic Commissiori for Africa, U,zited Natio11s

Factors Co11tributirig to Juvertile Deli1iq_ 11,e1zcy_ : -r1 1eories of ?elinqt1e11� cat1satio11

are 110w ge11erally co11sicler_ed to be soc1ol?g1�al or eco1101111c or n1ed1co-1Js)1cl10logical i11 11att1re. Sot1:� believe tl·1a� a co111b111at1011 of tl1ese factors offers a better exfJlanatio11. Tl1e JJos1t101� today 1s ti,�! ot1�· 1<11�\vledg� l1as 11ot aclva11ced stifficie11tly far to cletern1_1ne _the ' cat1se� _ of J t1ve�11le del111qt1e11�Y· At_ best \Xie _ _ 1 may only speak o! ''co11tr1b_ttt1!1g fact?rs .. fl1e1 e are. so 1:1a11)' va11a�le? 111v_ol_ved, and tlie complexity of tl1e1r tnteract1on 1s so be\,:,1lder111g, tl1at 1t 1s clrff1ct1lt to arrive at tl1e real aetiology. 1

21.

.

.

-

Economic Con,mission for Africa, Rapid Social Change ancl Juvenile Delinquency in Africa, E/CN. 14/SODE/4, pp. 22-31 (1964).

cr�IMJN 1-\L RESPOl\JSIBILIT V

200

e li 11c1 ue11c y as bei,iod 1 1il e 1 \v ve j1 vie to _ g 1 cli1 11 te r x E J ert 1) ·1 1 ioti is 11 0\ as 111 11cl1 as of a selecte d set of factors. Delin tl1e bqtie ess ,it o jJroc of a 1ea1�111-1 10. 1. es11 lt x1 . 1·ti l l· 11 ot b ct e It. 1 d 1 ca 1 1_ 1 0 a � 111 � 10 1 111 e 1 Jl· 1111 er _ ed lat iso 1 11 a ot � 11 � � { is 11r 1 io l be av � � ; e 1 1 s l s _o _ es 1 1 1 l)�rl1ct1l 1 c y e 1 1 en qt \v _ e 1 e t1 1? 1 .1 r x ,, n 11 1 J t_t . ar l , t1r1related to tl1 e socia h 11 t 1 y. T __l,e A f1 1 ca re�1 01 1 lias t1 c co . ea 11 1 1 1 E ev or 1 1_ 0 1 g_ re cllaracteristics ii i eacl, 1 1 e11 t of c11me and del111 quenc\, at1 d tre an y 1d stt i ts 1 1 1 1 · c1 i 11t 1 1 11 ot ad va 1lced very · • 011 w1_• tl1 a , 11 11 n1 ber o f o tl 1e r _po1 1t1· cal and 1 t 1Ja 1 t cc -o Jre r iJartl)' becatlse of its 1 e tl1 sic ba or l1 1 t c m r d�ta fron i l l \.s .ac t 1 se au c be )' rt! JJa d ari 15 1 e, eco11 0111 ic IJrobl t l1 e de velo1J1 11er1t or its soci al r fo cl de 1 1 �e � ar cl1 l11 r \x s ce e11 i sc tlie otl ler s ocial s e1 1te d bel o:V, tl 1erefore, e pr s or t _ fac 1g 11 t 1 1b1 1 1tr co e 1 tl of s defetlCe. Tlie a11a}),si 1 t att e1 11J Jts to st1111111a1�1se th� obser­ � s e_ 1el rtl ve 1 1 e t 1 b1 11 , tio ita 1 Ii11 s tlii st.tffers fro1 11 11 t l 1e Afr1 ca11 s1tt1ation. 0 < eal to sp ed 1 1 f al q11 ost 1 1 1 e os l1 t of es 11 c e i vatio1 1 a11 ct exiJer 11 t c a1 1not, l10\xrever 1 await sci­ 11e at1 tre and 11 tio 11 ve JJre for res 1 as1 n1e l ca Practi 1l 1at 1<110\vledge is 1 \'\ 1 0 d cee pro st 1 1 1 11 1 1 atio availistr 11 11i ad1 e1 1tific JJrecisio11 , a11d abl e of tl1 e co11 tribL1 ti11g factors. Tl1e first 111ajor observatio11 tl1 at may be 1 11ade is tl1at tl1e en1erge11 ce and i11crease of j11ve11 ile deli11qt1e11 C)' (a11:i crin1e ge1 1erally) is associated \X,itl1 tl1e ra 1Jid social cl1a11 ges tl1at are tal<i11 g· JJlace side by side \,1itl1 tl 1e accelerated 1 1t i1 1 tl1e Africa regio11. Sin1il ar trends o J111e l devt 11ic 1 0 11 eco cl 1 a1 l ca JJoliti of Jace 1 1 i 1 1 cri111 e a1 1d del i11qt1e11cy } 1 ave been observecl i11 tl1e eco1 10111ically l ess devel01Jed regio11 s of Asia a11d Lati1 1 At7erica \Vl 1icl1 are also u1 1dergoi11g rafJid so­ cial a1 1d econo1nic tra11sfor1 11atio1 1. 111 e t111derlyi11 g factors are to a great extent differe11t fro11 1 tl1ose ct1 rre11 tl )' co1 1t1ibL1 ti11 g to a1 1 i1 1crease of jt1 ve11 ile delin­ q11e11 cy i11 tl1 e eco11 on1 ical ly n1 ore adva1 1ced co1111tries.

°

I' I'

'' '. I

EL1ro1Jea11 colo11isatio11 of i\frica, tl1 e rise of Africa1 1 1 1atio11 alism a11d the acl1ieveme11t of 11atio11 al i11clepe1 1de11 ee by 111ost co1111 tries i11 t h e reo·i�11 \vitl1in ll1e last decacle , l1 ave all set i11to 1 11)tio11 po\xrerft1l forces 111 aki11 er f�r far-reach­ i11 g �co1101nic, jJOlitical, ct1 lt11ral _anc soc i�l cl1a11 ge. for exa1111Jle: tl1e traditio11 al s t1bs 1ste1 1ce eco11 on1 )1 aro1111 d \Vl 11 cl1 tl1 e v1 llao·e social s tr11 ctL1 re a11 d tribal tradi­ tio11s ;:ve1_·e bt1il t l1 a? bee11 forced to give \xray to a 1 11 arl( e t a11 d 111011e y econ­ o�TI)'· f l1 1s cl1a11ge 1s by �-,o 111 ea11s eo1 111Jlete a11 d, ir1dee d, is lil<ely to be delib­ e1atel.>1 s1Je�decl __Lil? to br1 �1g· about greate1� eco11 0111ic grO\'?tl1 Tl1e 11e\XT iJatter n . o_f e�o11011 11c act1 v1t)1 11�s 111 dt1ced n�as s m1gratio11 (iii tertial as \xrel l as iriter-ter­ r1 tor1 al), _tl1e c?11ce11trat1 011 o� JJOptrlatio11 _ i11 to\vris aiid cities, tlie establis J1111 ent of _1n_ode 111 fo1111s. o_f co1111 11e� c1al e111er1Jr1 se a 11 d ii ,dt i strial fJrodti ctioi,, a11ct the tra1 111 11g of lab·ot11 1 11 11e \v l<11 1cls of sl<ills a1 1cl 11abr·ts 0f \VOrI<. O ver1 ay111a · i11·s · t b,as1 c eco11 01 11 1c revo } t1 t1· 011 1. s tl1e eqt1ally j111 Jo1·t t 11 · � 11:. 1r1·t tia1 sp 1 11 t e . 1 I d t1 l a 1 ec a1 � _ . . , o Llt by t i1 e jJ 1 cse l y t1 z1 11 o· revolt1tio11 brot1cal1t ab act1 v1t1·_e� of CJ11-1· st·1· 11 1 111·ss1· ?na1·1· es, tl1e diss e11 1i 11 atio11 of 11e\v sl<ills of leariliJlo· �1id 1 � :, 1e\xr i 1 deas � 0 11 d \'lays of t_l1ou_ght _ tl1 rot1 gl1 a 11etworl< of scl,ools , colle Jes a i1 cl otl_ 1e1 11 1ass 11 1ed1 a or co1 11 m11 111cat1 011 . D r

It \'{fas i11 evitable tl1 at al l tl1 ese ct" 1Of i letits . .tn�· �bot1t cl1a11g·es . \�Ottld br l i11 fa1:1ily life a11cl s ocial rclatioils. P o1�'tfc J eco 1 1 �:11cs a1 1c� re l1 g1 011 l 1ave tl1 t1� con1 b1 11ed to s1,al<e lliJ ar,cl re-sl,aiJe tradit1�'011 al °. A! 1_ 1 ca1 1 s oc 1et)' Large 1 11asse s or tl1 e JJeo 1Jle l1 ave bee11 affectecl by tliese c · on dt t10 1 :s b1 1 t_ �l1ey l 1�ve yet . t �d�qt1 atel)' �djt1st to a1 1ct assitliilate tl,e. tle\v , ele�11_e11ts of l1 ,,1 11g. Afr1ca11 s0�1e_t�) 1 s 111 tl1e 1111 dst of a cttl ttiral ecoi ,otn atld fJOlit1 ca l transition . It is a fl u1 cl1 c, dy11 a111ic a11d creative JJ l,ase 'bti t 110 e�f e1 111se t�lecl a11d 11_1 1s�ttli_r1g, a11d c�n­ dttcive to tl,_e e111 erge11ce or i il creas� 0} c I et e11t types of cr1111111 al1 ty and de li nqt1e11 t bel 1av1ot1 r.

f.�i �

It �l1 ot1 ld be 11 oted, lio\vever tll a . _ . . t ci 1111 111 altty a11d d el i11 q11e11 c)r are n� t 11 ecessar 1 ly a co1 1seqt1e11ce of soc·� 1' c1 iatiges acco1 11 )a 11 yi11 g· eco r1omic devei· 1

D

IlvlMATURI-fY

201

opn1e11t. Social cl1a11ges a11d eco1101nic develoJJ111e11ts are botl1 i11evitable a11d :Velc�1n�, and, u11der JJro1Jer co11ditio11s 111ay eve11 co11tribL1te to a clecrease 111 cr11n111alit)', in-so-far as crimi11al te11de11cies a11d activity l1ave bee11 sti111L1lated by tl1e lacl< of certain basic eco110111ic 11ecessities a11d social a1ne11ities. The crt1cial as1Ject of social cl1a11g·e ,vl1ich ap1Jears to be associated witl1 tl1e growth of deli11qt1e11t bel1aviot1r lies i11 tl1e 111a1111er ar1d rate of cl1a11ge. Tl1e fi11di11gs of tl1e Seco11d UN Co11gress 011 tl1e Preve11tio11 of Crirne ar1cl tl1e Treatn1er1t of Offe11ders are tl1at ct1lt11ral i11stability, tl1e ,veal<e11i11g of JJrin1ary social co11trols a11c1 tl1e exJJOSLtre to co11flicti11g· social sta11dards are related to cri1ni11ality, a11cl tl1ese featt1res are i11te11sified \X'l1e11 social cl1a11ge is disorclerly, ,vl1e11 tl1e clegree of social cl1a11ge is l1igl1, a11cl \-Vl1e11 the gaJJ bet\vee11 tl1e breal<do\,;,11 of old social i11stitt1tio11s a11d tl1e creatio11 of 11e,v i11stitt1tions is great.<83> Social cl1a11ge is st1bject to a certai11 clegree of cor1trol and sl1ot1lcl be a 111atter for 11atio11al jJla1111ing. Econon1ic clevelo1J111er1t is accon11Ja11ied b)' 1nigratio11 (es1Jecially i11ter11al mig·ratior1), Ltrba11izatio11 a11cl ge11erall)' also b)' incltrstrializ,ttio11. Tl1ese tl1ree as1Jects l1ave often bee11 erroneot1sly asst1111ecl to be direct co11tribL1tive factors to juve11ile clelir1qL1e11c}' (a11d crin1i11alit)'). Tl1e vie\x,poi11t tocla)' is tl1at it is 11ot n1igratio11, JJer se, tl1at is co11dt1cive to crimi11alit)', bLtt 1Jerl·1a1Js tl1e ct1ltt1ral i11stability, tl1e weal<e11i11g of 1Jri111ary social co11trols ai1d tl1e ex1Jost.1re to co11flictir1g sta11darcls of bel1aviour associated \vitl1 111igratio11 \vl1icl1 are to be ide11tifiecl \Vitl1 cri111e caL1satio11. Tl1e sa111e co11clt1sio11 is also to be a1J1Jliecl to 11rba11izatio11 a11 cl i11dLIStria Iizati011. Tl1 e breal<d O\vn o-f social i11stitt1tio11 s a11d n1etl1ods of social co11trol (st1cl1 as tl,at exercisecl by tl1e fan1il)' a11d tl1e tribe) 1 a11cl tl1e failure to establisl1 eqL1all)' effective 111east1res i111111ediately \Vere \vl1at mattered. T l1e re 111e dy i 11clica ted ,vas JJ la1111i11g· for t1 rba11izati 011 a11 cl i11clLIS traliza­ tion a cco n1 [Ja 11ieel by 111igratio11 bt1t \Vitl1oLI t social breal<clO\v11 a11cl c ri 1ni11 a Ii t�/.

Tl1e 1111favoLtrab Ie resLI Its \V l1 icl, 111a)' acco111 [Ja11 )' ra IJ icl 111igrati o 11 to Ltrba11 ce11tres 111ay be a111elioratecl by IJrovicli11g· tl1e rt1ral (1reas \Vitl1 tl1e social a11cl eco110111ic advantage in searcl1 of \X1!1icl1 tl1e r11ral ir1l1abita11t leaves tl1e lar1d for the cit)'· The social i11tegrity of tl1e rLtral 111igra11t i11to a11 t1rba11 area is assailecl immediately by tl1e L111-fan1iliarit)' of tl1e t1rba11 setti11g· a11cl its \xray of livi1�g. It l1as bee11 noted tl1at the bt1ll< of tl1e crimi11al 1Jrosect1tio11s i11 certai11 1\frica11 (a11d Asia11) con1111u11ities \Vere for 11011-co1n1Jlia11ce \\/itl1 regt1latio11s 1JecL1liar to L1rba11 Iivir1a, a11d little t111derstoocl b}' tl1e jJeOfJle rece11tly arrivecl fro111 rt1ral settings. It l1as bee11 recon1me11decl tl1at rt1r�l 1n�gra11ts n1igl·1t be tJre1Jared for tl1is exrJerie11ce a11d tl1at tl1e L1rba11 co1111nL1111ty itself sl1ot1lcl also be jJre1Jared to receive tl1en1. Tl1is is a tasl< i11 wl1icl1 tl1e co111111t111it)' develorJme11t orga11iza­ tio11 a11d services coLtlcl JJlay a11 i111porta11t role. Urba11 JJre1Jared11ess \VOLtld i11volve tl1e provisio11 of rece1Jtio11 a11d orie11tatio11 services, i11clLtdi11g tcn1porary sl1elter; t o\v11 pla1111i11g, i11clt1ding l1ot1si11g; eclt1catio11al a11d vocatio11al OjJf:iort1111i­ ties for tl1e new pOfJLtlation; and family a11d cl1ild welfare services. Tl1e t111pre1Jarecl11ess of rL1ral jL1ve11iles for tl1e 1trb�11 ex1Jerie11ce i� eve,� greater a�1cl tl1e resulti11g· cultural shoe!< LtJJsets tl1e social a11d n1oral 1ntegr1ty of tl1e 111dividLtal more readily, a11d mal<es l1i111 111ore deli11qL1e11c�>' {Jro11e. The co11flict of cL1ltt1res and t11e breal<clo\v11 of traditional 1nores L111der tl1e impact of westerr1isatio11 a11d tl1e co11seqt1e11t effect of tl1is LlfJOt1 tl1e Lip­ bringing a11d develop111e11t of chilclre11 has bee11 cited. qLtite freqt1e11tly i11 stt1dies of juvenile deli11qt1e11cy in the regio11. Rib)1 -Willia111s, for exa1n1Jle, \vrit­ ing on the situatio11 i11 Ghana describes i11 s0111e detail tl1e i11flL1e11ce of co11te111(83)

a

.

-�

UN Report on Second World Congress, etc. op. cit., AICONF, 17/20, p. 62, Sect. 3, para. 4 .

---- - �

CRIMINAL RESPONSIBILITY

202

of lL1e ict va 11fl co d tl1e s a11ct code a11 o11 ati t1c ed l 1oo scl ted ei1 ori !Jorary \xres te rll s i k o11 ati 1er a11d ge1 yo r 1 1ge tl1e t1 l a11c 111a ler olc e . , es t le . . . . 0f COild llC t a5 bet,,\x eeti tl, 11g 11�\v'_ S)'Stems of v 1 11r b ac y , ]f 11 111 1 qL t 1c · .· l11 �e c _ l1e ''T alu es i: follO\v'iiig observatioi 1011 f111ds l11111self 11atu 1 ally cttt a,va\, fro m at edL1c J1sl1 . E11 0 o of · 1 . a11d 'tl1e 111,a0o··ic l<ey' r . I d i:e t d ea 1 ea r · th n1o e, a g1 111 1 e 1 e t \XII m f � e 11c � t1e 1fl . e o! 1 1 1al o 1 rso JJe i cl ai, tlie s Jirit c? mes t111certa,n be e 111 ; l1� !l� 1 e _!1 ol 1 s I-11 ._ l�d ol 1tr 1 co and , tl,aii cari be sociall)' , _ 1erra J.AP. flainand 11g· _loyal�1es .( � Ev ely 11 P t1 l1c 11f co iJs lo ve e d lie 1,attirall)' 9 r( 111 l<a c)' Da t q_ e11 1 l1n ··) also str de le 111 ve Jt1 of )' 1cl stt eir tl1 ess i11 , inb llo Co ai,d 11.1at wl d 1, 01 a11 at1 e)' t1c tl1 r11 ecl ste \xre terin as by ed t1s ca s ire ltt cti . of t tlie co,,flic er to reg�rcl Jt1ve11ile cl elin­ ef JJr ey Tl1 '. 1:t' 11e st1 ljt1 lac 1na l cia ''so t tlie coiiseqtieii 1 1t1all� traun1atic en­ ote ''JJ tl1e to e_ dtt '' 011 at1 t a1;, d la_ _11�a ! cia ''so as qtieiic)' n1ore 1naladJust111ent of the tl1e t e tl1a iev bel ey Tl1 1 1 . at10 1l1z c1v 1 1 ter \v'es 1 1 \v'it r cou11te 11or _ 111 s a11d dei11g ilat im ly ass ful i11 lty 1 fict dif ir tl1e to cl11e is 11s ica Afr you11g 111a,1ds ct1lt11rall)' fore ig11 to tl1e111, a11cl co11clt1de that tl1e JJ:roble �1 1s 1Jrima rily 011e of ecl11catio11 . Lil<e Rib)r-Willia111s tl1ey s tate tl1at tl1e 111trus1011 of \western civilizatio11 l1as clisr111Jtecl tl1e traditio11al tribal systen1 of ed11catio11 wl1ich 11i a11cl Pierra Zt1111bacl1 i11 tl1eir was for tl1 e 11eeds of tl1e grotIJJ. S. P. Tscl101111g95 ) a11d Abclellatif El Bacl1a in ( rot111, Ca111e tl1e 1 1 i 1cy 1q11e1 1 deli ile j11,,e11 of st11d)' 96) al s o stress tl1e sa1ne < co lv1oroc i11 ct1ltural q11e11cy 1 cleli1 1ile 1 j11\re of l1is st11dy factors as contribt1ti11g to tl1e e111erg·e11ce of tl1e proble111 i11 tl1e Africa region. Tl1e weal<11ess a11 cl i11stabilit)' of fa111il)' life a s a major factor contribL1tive to j11ve11ile deli11qt1e11c )' l1as also bee11 citecl i11 recent studies. Abdellatif El Bacl1a, for exa1111Jle, l1as tl1is to say of tl1e sit11atio11 i11 Morocco: A11otl1 er disq11 ieti11g jJl1 e110111e11011 is tl1e collarJse of tl1e traditional fa111ily str11ct11res, tl1e tra11sfor mat i o11 of tl1e tribal fatnily i11to tl1e fan1ily o-f t\v'O. Tl1 e l1eteroger1eit)' of tl1e JJrese11t is re1Jlacing tl1e l1on1oge11eit)' of o rta11c tl1e f?ast._. Tl1 e !n11J_ e o·� 011e's !atni_ly, clecreases as tl1 e in11Jlicatio11s of tl1 e 111ev1table 1. 11c1de11tals of 1node111 life beco111e n1ore pro11ot111ced: the �c\1 00�, . tl1e factor)', tl:e trade. t111io11 , tl1 e JJolilical IJarty, a11d so fortl1. The 111stab1l1ty of tl�e fa1n1l;' re ma111s a seriot1s 1Jroble111 i11 tl1 e 11e\xr l\t\orocco. Tl1e 111o_st reacl1ly a1J1�are11t_ a11d tl1e gravest co11seq11e11ce of tl1ese various factors 1s tl1e 11011-sat1sfact1011 of e111otio11al 11eeds. \X/ 1,at tl1e 111aladjt1st ed yot111g Morocca11. ofte11 11eecls above all �s 111ore affectio11. TI1e fJare11ts are 110 lo11g�r able to co1Je; freq11e11tly tl1 e1r reactio11 is to tal<e tl1e li11e of le�st resistance a11cl lo abclicate tl1eir re s1)011s ibilities for dealiiio· \xritt1 tl1eir b c1111dre111 s IJrob I e 111 s ." (97) 11

•

•

•

•

1 e�l<e11!r1g of tl1 e W itl tl1 \x 1 e fa111il)' a11cl 1,i11sl,i I J ties ai,d cotltrols a )'outh . 111 t11e 11rba11 sett111g 1s es1Jeciall)' iiifltieiiced .b,) ti 1e 'es of his \ ct a tie l co s ,d , ai co11te1111Jorary '' 1 Jee.r'' . gr. 0 LI I J: I 11 tl1 e ct·isorgai11zed setti11g of 11rban s111111s1 the Jeer rott J ver,J 11 � o11s a_s a g��11 �, con1_111itti11g· JJett)' cr�111es, or a, ized �· ! �a11cta1is111'. a11d e��\� s�� ����-==- as tl1e \v'tll1 11g a 0 1 11nals. cr of 11 fJr of al es 1 s10 · 0 e11ts 1 S ttc11 !Jeer grot11Js 11 1ay also be Ltsed as carriers ties I va of soc a1JJJ iall rov y ed a11cl goals. '

Tl1e lacl< of ecl11catior1al facilities a11d O{Jf)Ort1111ities 111ay also co11tr ibt1te to

(93) Interuational Review of Cri 1ninal J) /1· 1'J 6 , 19=>4, PP· 2-3. 'J_', (94) Ib id., No. 20, 1962' pp. 33•34 · (;ng 1 1s11 5u111111ary) (95) Ib.:d··, PP· 45-46 (Englisl1 Sun11 11ary). (96) Ib�d., PJJ. 22-23 (Englisl1 Su111111ary) . (97) lb1.d., p. 23.

°·

J

IMMA1URITV

203

jtivei,ile _deli11 qt1ency. BLtt tl1ere is a clircctio11 i11 \'«l1icl1 edL1catio11 actt1 ally see111s to ·.ccontr1 bL1 te to jt1ver 1ile cleli11qt1e11cJr, Eclticatecl yo11 tl1 fro111 tl1e rt1ral areas drtit t� tl1 e tow1 1s a11d sea1Jorts i11 seard·1 of 11011-1na11t1al or ' 1\vl1 ite collar'' jobs. 1:"t1ese Jobs are eitl1 er scarce or tl1e job-seekers do 11 ot l1ave a11 acleqt1ate eclL1 ca­ tioi7al bacl<grou1 1d to qt1alify for tl1e111 (l1avi11g le-ft scl100I too earl;r). Co11se­ qtie11tl.)1 tl1ey te11cl to drift fro111 JJlace t J JJlace or live i11 co1111Jarative iclle11 ess, a ri � s0011er or later ,tre drive11 to co1Tnnit cleli11qt1e11 t acts, sL1cl1 as tl1efts. \X/. �ltfford_ re1Jo!·ts tl1 at eve11 �rfter several JJeriods i r 1 JJriso11 tl1e yot111g 1Jriso1 1ers l1e l1ad _ 111terv1 e\"ved \x,ere still 1 1ot j:)re1Jarecl to acce1Jt \x,orl< \X1l1 icl1 tlie)' reg·arclecl as l�av11 1g 11 0 s�at11s. Tl1 ey preferred to clress \"veil a11cl to l<eep 111J ap1Jeara11ces b): illegal p�·act,ces_ ratl1er tl·1a11 to acce1J: tl1e level i11 society \vhicl 1 \X1011ld otl 1er­ \v11se be their lot (t.e., by ei 1gagi11g· i11 1t11sl<illed labo11rers1 jobs).(104 > Tl111s i11 tl1e sl1ort r1111 beca11se t:1e ed11catio11al systen1s are i11 con11)lete . � 11 tl1 at . tl1ey are 11ot cli\rersifiecl e11ot1gh c11rrict.1 !11111-\xrise ar1d 11 ot ada1Jtecl to 111cl11str1al, co111n1ercial a11 d agric11llt1ral develoi:>111e11 t, ar 1d, also beca11se enot1gl 1 en11?loyment opport111 1ities of tl1e l<i1 1cl so11gl1t after by Africa11 ;'OL1tl'l are riot available at tl1 1s stage of eco1101 11ic gr)\vtl1, \Xie l1ave a sitL1 atio11 i11 \x,J1icl·1 tl1e �rn1y of 11r1e1nplo)recl scl·1ool-Ieavers is 6ro\vi11g·. Tl1is also is a stro11 g contribt1 t111 g factor to tl1e e111erg·e11ce a11 cl i11crease of ju\re11ile cleli11q11e11 cy . . . A 1Joir 1t tl1at l1 as bee11 \v1ell 1 11acle ir res1Ject of 11rba1 1 occLt{Jatio1 1al OJJportt1111t 1 es for yot1th a11cl \xrl1 icl1 is direct! )' :elatecl to delir1q11e11cy JJror1e11 ess, is tl1at yoL1tl1 is sht111 ted i1 1to JJrecario11s e1111Jloy1ne11t, o-fte11 011 tl1e -fri11ge of Iegalit�>', and very ofte1 1, i1 1 setti11gs of co1 1s:derable 11 1oral l1 azarcl. Vo11 tl1 is also freqL1e11tly eco110111icall)' exJJloited a11 d gravitates to\varcls jobs i11 street tracles or cafe bar service, or as tools i11 orga 11 ized crin1e. A direct co11tribL1tio11 to tl1e JJreve1 1tio11 of Ltrba11 .)'Ot1tl1 ft1I cri111irality \xrot1 lcl be to i11crease O!J!JOrtL111itics for yoL1tl1 e1111Jloyn1e11t i11 socially clesi1able e11ter1Jrises, vocatio11al 1Jre1Jaratio11 for sucl1 e1 111Jlo)rme11t a11 d tl1e ft.ill s11rV:illance a11 d co11 trol o-f tl1e e11·11JIO)'l 11er1t Of )TOUtJ1. The eeltt catio1 1a I a1 1cl e111JJ I 0;11 11 e11t factors co11trib11ti11g to j Ll ve11 i Ie deli11qL1e11cJ' are 1natters \Vl1icl1 \,1011 lcl l1ave: to be dealt \,1itl·1 i11 a co1n1Jrel1e11 sive ma11ner L111der a 1 1atio1 1al eco11 0111ic a1 1j social develoJJ111e11t IJla 11. Tl1e cle1110grapl1ic strL1ctL1re con11Jlicates tl1e solLtio11 for tl1e 1.\frica11 l)?!Jttl,ttio11 is a ''yoL1tl1-fL1 l fJOfJL1latio11' about 45 1Jer �_11t are 1111 cl�r 15 years ot age. Tl1 e g·a1J betwee1 1 JJopulation gro\x,tl1 a1 1d eco110111c growtl1 1s large. 1

-

Tliere are also otl1er e1 1viro11n1e11tal co11clitio11s s11 cl1 as stresses of fa1nily fJOverty, jJOOr l1ot1 si1 1g, a11cl lack: of recreatio11al facilities \,rl1icl1 _c? 11tribt1te to jLtve11ile deli11qt1e11cy. It is t11ore tl1 a1 1 fJr?ba_bl_e tl1at st1cl1 �011d1t1011s l1ave a direct beari11g 011 tl1e clevelo1J111ent of th� 111d1_v1dt1 al _1Jerso11al1_ty. I-Iowever, t\vo ir1ves tigators(I08) are co11 vi11 cecl t l1a t tl1 e J tl ve111 Ie de_I111 q ue1� t, 1 11 t l1e Ca 111e !-� t.111 at least, does 11ot stiffer fron1 cl1a_racte! a11 d bel1a\110L1r d1st11 !·ba11ces reqt.11 r_111g costly reliabilitatio1 1 a11d very i11cliv1 clt1a!JZed a11cl �l1orot1gl1 111ecl1 cal 1Jsycl10l�g·1cal treat1ne11t st1cl1 as tl1at provicled fc)r 11 0\v-a-da1 ,s 11� Et1ro1Je a!1 cl tl1e _eco1101 n1cally more affltient cou11tries. Accordi11g to 11-1en1, del111qL1e11t ch1ldre11 111 Ca1nero1111 are merely t111eclt. tcated arid 11ot ill-brecl ,1 1cl 011 ce tl1 ey_ are edLtcatecl, tl1 e.),_ ca11 be­ co1ne extremely' valLiable citize11s. J-Iovev�r, tl1e f1_elcl of . IJS)�Cl1o!og1cal . a11cl fJsyc11iatric aspects of jt1ve11ile de)i11q_11�n�y 111 t_l1e �fr1 ca reg·1011 1 s still relatively t1r1explored a11 d awaits carefttl sc1e11t1 f1c 111 vest1gat1011. (I 04) ll08)

'.

_, v

�

.,

.,•

..

Jnter,zational Review of Cri,n£nal Polt.'cJ', _No. � I, 1964, p. 24. Section (e). �rciclc by \X1. Clifforcl. S. P. Tscho11 ngui and Pierre Zumbach 111 thur study of Can1croun, op. cit. pp. 45-46.

CRIMINAL

204

RESPONSIBILITY

Questions •

J j

•

•

or ati tiv ses mo cau �lie of . ing or1 a11d rst de ut1 for 1 1 a a t tl,a 1 fee 1 . D� �,ou _1 1tence a1 1d/or to effect l l se s 11e 1 1 11 ht deter · to ry 1ecessa is · . · cl11 ld s cr11ne 1 s 1 · UV �111·1 e crim e on f J o 1 101 sat 1 cau ,e f t o 1g d1 1 11 sta der ttti . · · ai, a · ·· · re l1ab 1 i 1t·at·to11?· Is · 1 ts for· s m ra g pre o vei f n Jr 1ti t o a io 1 t 11 i1 I e 1 tl oi,? to 1t 1 a rt o iJ im el v le al et soci J O rtant fi11 di11g s unimf re o m_ th� for nt 1 ot accc 1l< tl1ii t yot 2. \Vhat factors clo 1 e�e f1nd�1 1g� seetn to be related to tl of l1 l1ic W t? or rep 's ey Ril e . d iii 1 0[J_1a? D? � Ott .agree \'7ith 1 Et_l 11 1 n1e i cr_ �:e e11 jt1v of 11 tio isa f1�: ��tLtal cat 10 1 1 1n Eth1 ?JJ1a? _Wl1�t otl,er �t us ca 1e 111 cr e 1 1 1 ve jL1 of sis aly an . t's Veweii,sl,e it mm oc co to ti-s 1ld an cl1 a ial acts? d lea t gl1 mi ty cie so 1 1 tJia l,io Et factors ii, ia? e Ar iop Eth to the e. 1 iqt �11 t fac me cri 1ile o�s 1 ve 1 jt of s ise cat se tl,e e Ar 3. coi,tributi1 1g to jL1 ve11ile deli11qt1e11cy 11 1 �fr1_ca as a whole, as set out 111 E.C.A.'s report, eqttally atJ[Jlicable to Etl1101Jia? lar tic� I?ar �ocie_ties o� a�e l1in wit s. sse stre :>f o11 ecti refl a ly I ical bas ne crii s 4 its roots and cattses 111 1iversal? Do you tl1i1 1l< tl1 at 1uve11ile crime In Etl11op1a is lil<ely to l1ave 011e or numerous cat1 ses? 5. I-lo\v' woL1lcl yott 1Jro1Jose to 11 1dertake tl1� pr�ventio1 1 of ju�en.il� criine in Et 11ioJJia (Note 3 supra)? Wl1at tyJJe of legislat101 1 do )'OU tl111 1k IS co11tem­ IJlatecl by tl1e last paragra1Jl1 of tl1e Iiigl1 Co11rt's OfJinion in Criminal file No. 522/53? Problem

J I

•

011e tl1eory concer1 1i11g jt1ve1 1ile crt1 11e in A111erica is briefl)' as follo\vs:

Lower class cl1ildre1 1, \v1l10 co111n1it most crin1es, are required to attend scl1ools wl1ere tl-1eir teacl1ers a;e fro111 tl1e 111iddle class a11d tl1erefore i11still 111idclle class values st1 cl1 as a good job, home, \Vife a1 1d cl1ildren, further edt1 cation, }Jrogress, etc., in tl,ese cl1ildre11. Tl1ere are barriers i11 tl1e society wl1icl1 JJreve11t tl,ese lo\'v'er cla,s childre11 fro1 11 attai1 1i11 0· tl1e o·oals set for tl1e1 11 by tl1eir teacl1ers. frt1str1tio11, guilt a11d 1·ese11t111e1�t are 1�·odL1ced and tl1e cl1ildre11 atte1111Jt to stril<e bacl< at botl1 tl1e basic valt1 es and at tl1os e \vl10 l<eep tl1em fro111 attai1 1ing tl�ese values. Tl, is 111ay {Jartially eXJJl�i n \x,l1y yo111_1g 1Jeo1Jle ba11d tog�H1 er 111 ga11gs a1 1d cor11init cri111es fro1n \xr!11ch tl1ey1 d�r1ve 110 perso11al ga1 1 sucl1 as at tacl<i1 10- JJeoiJle on streets and 6 destroy;111g (JrO(Jerty. As �11. :'ideas �an'' i1 1 tl1e i\t\i11�stry of Nati?1 1a! Co111muiiit Develo pin�nt, y co11s1der :<'het l1e1 _ tl1e stresses tJlaced _u1�011 EtI11 o1Jian socie 1 s1on int rt tl, by ty e of \X1est_e�11 c11_l_tt11 e 1 11ay_ 11ot crea:e s1r1 11lar frustratio1 1 so, If nt . ar re id se nt ni e l10\V 1 11 1gl1t c! i111e' JJa!· t1ally ca11scc� . by_ sLicl, factors, 1 1 l cl be pr ai ev , te ei d 0\X' w, oL1ld yott fJI octe � ct w1t 11 t l1e rel1aJil1tat 101 1 of tl1ese yot1 11g offe11ders.? Recommended Readings

Riley, Final Report to tl?e J.1iriistry of N�tiona · l C om 1111 l111, ty rne11t, De ve lop . Et.l?iorhiarz G o '7. J err1 1ne rit · (19 J 6" ) (t-ne on) . 1 '" se1n1-co1nprel1 e ns 1 ve st Lld )' of 1 c r 11 11 e 1 11 E t 1 iopia) . Imperial Etl1io1Ji,t11 Oover11111e11t Staten1 e11t s LIb1n 1·tted to tl1e Social 1

I· mperi·al J uven1 1e

Defence·

--------------------------------------IMlv\ATURITY

205

st!m1:1a­ �\�eti11g· J-I�ld. ir1 Mo11rovia,_ Liberia {Attg., 1964) (te11 IJ�ge staterrye11t _ r12111g tl1e 1nctdence, ca11sat1011 a11d preve11tio11 of juve111le cr1111e 111 Etl1101J1a). Logoz, Con1.mentaire di, Code Penal Stiisse 329-385 (a aood discttssion of Arts. 82-100 C.P.S. \vl1ich served as 111odels for tl1e P�11al Code of Etl1iopia). Zurcl1er, Co�e P_enal �uisse, Exp�se des Jvlotifs de l' Avant-Proj�t 27-39 . (�ets ot1t tl1e leg1slat1ve l11story bel1111d codification of tl1e Swiss prov1s1011s 011 yot111g offe11ders}. Remy, Vers U11 Droit Penal S1,1isse Pl1,1,s Racio,112el (1960) (a co1111Jrel1e11sive critique of tl1e Swiss la\v concerni11g juve11iles). Jea1111eret, Iv\inet1rs Deli11qt1a11ts (II a11d III, E11fa11ts a11d Aclolesce11ts), fiches ]itridiques St,isses, !'Jos. 342-343 ( 1942) (good state111e11t of tl1e S\viss la\v \vitl1 resJJect to >'Ot1tl1ful offenclers). Eco11omic Co111 missio11 for Africa, First Africari Trainirzg Cottrse on lnstitutiorzal Treat1nent of ]ttverzile Offetzders (1964) (a series of sixtee11 JJam1Jl1Iets \Vritte11 in Cairo JJrin1arily by Egy1Jtia11 scl1olars 011 a variety of sttbjects relatecl to tl1e treatn1e11t of jt1veniles). U11ited Natio11s, Tl1e Preve11tio11 of Jt1ve11ile Deli11qt1ency, 7-8 l1zt. Rev. of Crin1. Policy (1955) (see other isst1es of tl1is same review a11d also tl1e i11dices of tl1e ]. Cri1n. L. Cri111.. and Pol. Sci. for ft1rtl1er articles i11 tl1is field). Col1en, Delinq1,tent Boys (1955) (a t111iqt1e and tl1ottgl1tfttl i11ter1Jretatio11 of tl1e ca ttsati011 of jttvenile cri111e i11 111ocler11 A111erica.) Rubin, Crime and ]itverzile Deli11.quer1cy (1958) (a carefttl a11alysis of IJroble111s related to jttvenile deli11qt1e11cy). Abral1an1se11, The Psychology of Crinie 56-90 {1960) (good staten1ent co11cer11ing cattsative factors of jt1ve11ile crime i11 tl1e West). 01{011l<wo a11d Naisl1, Criminal Law of Nigeria 119-123 (1964) (sl1ort state111ent 011 tl1e position of jt1ve11iles i11 tl1e Crimi11al la\v of Nigeria). feldbrt1gge, Soviet Crin1irzal Law, 9 Law in Eastern Eitrope 189-194 (1964) (statement co11cer11ing tl1e Soviet 1Je11al la\v \vitl1 resJJect to 111i11ors). •

Cl-JAPTER 10

The Affir111ative Defenses SECTION A. THE DEFENSE OF SUPERIOR ORDERS

a. T/J e Defense in Et!?iopia

•

"

PENAL CODE Of ETHIOPIA f\rt. 69. - Respor1,sibility of Persor1, Giving an Order.

J11 tl1 e case of an offe11ce t111der tl1is Code cotnmitted 011 the express order of a IJerson of l1igl1er ra11l< \Vl1etl1er a�111i11istrati:' e or military to a s�bordi11ate the 1Jerso11 wl10 gave tl1e order 1s res1Jo11s1ble for tl1e act perror111ed by l;is subordir1ate a11d is liable to ]Jt1nisl11ne11t so far as t11e subordi11ate's act did 11ot exceed tl1e order given (Art. 58 (3)).

' •

• I

I

•l

Art. 70. - Respor1,sibility of t/t;e Subordinate. (1) Tl1e subordi11ate \xrl10 l1as carried ot1t a11 order to co111mit a11 offence t111der tl1is Cocle sl1all be liable to ]Jt111isl11ne11t if he \Vas aware of the illegal 11ature of tl1e order or k11e\xr tl1at the order \Vas give11 witl1out a11tl1ority or l<11e\xr the cri1ni11al 11att1re of tl1e act ordered, st1ch as in cases of l10111icicle, arso11 or a11y otl1er grave offence against persons or JJro1Jerty, esse11tial pt1blic i11terests or i11ter11atio11al la\xr. Tl1e Cot1rt 111 a)', witl1ot1t restrictio11, redttce tl1e tJenalt)' (Art. 185) \xrl1e11 tl1e jJerson \Vl10 )Jerfor111ed tl1e act ordered \vas 111ovecl b)' a take sl1all se11se of dt1ty Court dictated by disciJJli11e tl1e or obedie11ce· , . 111to accot111t tl1e co1111Jell i11g 11att1re of tl1e dt1ty. (2) �l1e Co11rt 1nay i1n_1Jose 11? (JL111isl1111e11t \xrl1ere l1avi11g regard to all the c1rct1111sta11ces arid 111 f)art1ct1lar to tl1e stri11o·e11t exio·e11cies of State or n1ilitary disci1)li11e, tl1e jJerso11 co11cer11ed ctLtld 11otcdiscuss tl1e order received a11cl act otl1er,vise tl·1a11 l1e did. (3) 111 tl1e eve11t of a11 �rder beir1g i11te11tio11all)' exceeded tl1e 1Jerso11 \vlio exceedecl tl1e order 1s alo11e res1Jo11sible for tl1e excess.

TI-IE SOURCES Of THE LAW f etl1a Nagast1 Wliosoever is co1111)elled by force to kill l1as 11 resp o \x,h he if o11sibility, 0 1.

Cl1ap. XLVII.

SUPERIOR ORDERS

207

�01111Jellecl l1in1 is master (e.g., a slave). If a11otl1er gives orders arid l1as ai1tl1or­ tty over l1.i1n \Xtl10 is ordered, tl1e fJt111isl1111e11t is to I1i111 \x ,l10 orders; if l1e l1ad 110 at1tl1or1ty over him 11or tl1e latter fears I1in1 the }Jt111isl1me11t is to l1im \x,!10 obeyed. Pe11al Code of Etl1ioj:iia (1930)2 A1·t. 146. Exc�pt i11 tl1e case of tal<i11g· life and great cri111es \Vl1icl1 are recl<o11ed as eqi11valent to tl1e tal<i11g of life, tl1ere is 110 IJL111ish111e11t for a crin1i11al \x,!10 l1as received a11 order fro111 l1is 111aster a11d carried out tl1e orcler. Art. 147. Eve11 if tl1e order were a11 im1Jro1Jer 011e, if tl1e perso11 receivi11g tl1e order honestly tl1ot1gl1t that it \Vas 11ecessary ar1cl 1Jro1Jer for l1i111 to obey Art. 148. l1is master, tl1ere sl1all be 110 jJUr1isl1111e11t for l1i111. Nevertl1eless it is 11eces­ sary tl1at a fJerson receivi11g a11 order sl1ot1ld ]1011estly exa111i11e it a11cl be aware \vl1etl1er it is pro1Jer or i1111Jro1Jer. Art. 149. If a perso11 receivi11g a11 order goes be)ro11cl wl1at is allowed l1im arid ordered l1i111 a11d co111n1its a cri111e, tl1e order giver1 l1im a11d tl·1e exte11t to \vl1icl1 lie exceeded it l1avi11g bee11 \veigl1ed, lie sl1all be IJt1r1isl1ed, bttt \vitl1 a redttced se11te11ce. Military Pe11al Code o f· S\vitzerland Art. 18. - S1-tperior Orders. 1. If tl1e exect1tio11 of a11 order to act co11stitt1tes a felo11y or 111isde1neanor, tl1e sr,tperior \vho gave tl1e order is fJt111isl1able as the at1tl1or of tl1e of­ fe11se; 2. Tl1e subordirzate is also jJt111isl1able if l1e \Vas aware i11 execi1ti11g tl1e order tl1at l1e \vas fJarticifJati11g i11 tI1e co111n1issio11 of a felo11y or 111is­ den1ea11or; in tl1is case, l10\vever, tl1e jt1dge 111ay freely 111itigate tl1e pu11isl1me11t, or eve11 acqttit tl1e st1borcli11ate. The judge shall co11sicler each partict1lar case (tl1e hierarcl1y a11d military disciJJli11e) i11 whicl1 tI1e offe11di11g st1bordi11ate found himself. ATO TAMRAT SEVOUM v. TI-IE PUBLIC PROSECUTOR Federal Supreme l1nperial Court, Criminal Appeal No. 9-/ 53 ( 1961 G. C.) ·

Ethiopia

Tekempt 21, 1954 E.C. (t'1ove111ber 1, 1961 0.C.); Jitstices: 1?,fe11egt1s Taddesse Mengesha, Dr. W. Btthagiar, Ato_ Bereket-ab_ J-Iabte Sellass1e. Tl1e aJJ�ella11t was at tl1e releva11t time performing tl1e dt1t1es of accou11ta11t and cashier of tl1e Asmara Civil Aviation a11d was cl1arged witl1 tl1e follo\x1i11g offe11ces, viz: 2.

See also Art. 34, Proc. No. 68/44 G.C. and Reg. 71(2), Leg. Not. No. 269/62 G.C. both of wl1 icl� require lawfulness for obedience by a subordinate and may have been consulted in the drafting of Art. 70 P.C.E.

208

•

SES N E F E E D IV T \ li/\ IR F F A TI-IE

ct a , s 2 2 le 4 ic rt A 1 4 6 er d st 11 t1 u tr f o 1 1 64 _ 0 ia tiotl and breach . it, ab eg s� wh d (a) m1sappI an 195 0 le, lvl. 95 am 2 1_ n , H ee tw be n il h at t i o sttm of tl1e o f tl1e ? e�1a l . C . 1ated n1isaJ)_ p r�JJr _ E$26,607.66 l1e s, dtttie l officia 1 s h g 11 1 1 n r f o r e JJ . l1ad bee11 e11trt1sted to 1 11. 111 111 tl1e execution o f his duties,· and fro m n1011e)' 'v/l11c l1 a11d 3?7 of tl1 e Penal 3 38 s le ic rt A . r de tin 1:s e1 111 cu do b f r ·er , of pttblic , 1952, i11 l1is above 1nent1011ed ca 1Jac1ty h� received a r 30 . ed H 1 0� t ia tf 1 ] 1 � Cod 8�7. 88, convert1 1�g to his , 4 $ E ! o 1 1n st 1e tl e rc o f ir A s te ta S l ec it 1, u ,e tl froin 1m st 1 e issued ch l l11 w t 11s a1 ag 8, 8 57 24 $ E a f o e nc la . a b e ' ' th e tts l · JJerso11a 1 • · p s e1 on a' t l Lt� e the , : t 11 r e nv co 0 _ g b ' y · re . th 0, e 37 receiJJt N o. 55188 fo r E$2, d 1n the su111 of E $ 2 6 , 607 . 6� refet red tO 1n the 1 de lt 1c (i1 8 8 7. 45 2, $ E of e i,c a l a b first cl1arge). e th nd on co 11t se lla JJe c l1 arge ap e tl 1 ed tt tti cq a _ ra 1a sn A f o t tir o The I-Iigl, C 2 of $ E 1t 0, 000 u11 der te1 ex e tl1 to ge ar 1 cl s1 f1r e 1 tl n o y a11ct fo tttid 1,im g·t1 ilt o de . C l na Pe 1e tl of ) (b 2 4 6 1cl 1 a ) 1\rticles 641 (b , 20 of 000 \Vas that $ E 11t ou am id sa e t l1 1 1 1t 0 la 1 l JJJe a l1 e t of 1 ce 1 Tlie defer ordere� l1im _to give d l1a , . 011 ti via A: vil Ci of r o t rec Di e 1 tl r, l1is st1perior office o l1 11n \v1l1 1cl1 loan t 11 loa -111 m stt d sai 1 e tl 1t 1 e rtm a J De tl1e of e 1 saf tl1e of out e the enc d by def 11ie that t de no 'aS Q \' It s. clay few a 11 i 1 l wit Jaid reJ be \x,as to the st11n of E$20 ,000 wl1 icl1 bel o11ged to tl 1e Departme11 t l1 ad bee11 paid out to the Director, bt1 t it \va s s11bmitted tl1at tl1e a1JJ)ella nt could not comply witl1 tl1e orders of his superior o fficer. Tl1e lower co urt impo sed a se11tence o f 01 1e year's i1n1Jriso11me1 1t. Tl1e grou11d of a1JJJe al is tl1at t�1e a1Jpellant \'Q'as acqt1itted o f the JJri11cipal cl1arges, tl1at is, 111isappropriatio 11 (1:rest11nabl y t111der Articl e 422 o f tl1 e Penal Code) ancl forgery a11d tl1 erefore l1 e cot1ld 1 1ot be co11victed of tl1 e acc e ssory offe11 ce of breacl1 of trt1 st (tinder Article 641 ). Tl 1ere is no fou11datio11 for this grou11 d of a pJJeal. It is trt1e tl1 at tl1: a pJJella1 1t as a JJublic serva11t cottld have b�e11 fo_u1 1d guilty o f _"a1JJJro 1Jriatior a 11d misaJJjJropriation i11 tl1e discl1arg e of 11 1s duties'' 11ncler Article 422, bt1t 111e fact tl1 at the Cot1rt did 11o t fi11d l1i1n guilty u1 1der tl1at sectio11 do es 11 ot 1nea11 tl1 at l1e co11 ld 11ot be convicted for brea cl1 of trt1st t111 der Article 64 ·_; tl1ere is 110 q11estio11 of principal and a ccessory offences bet\vee11 Articles 422 a11d 641. Tlie ap1Jella11t also JJr��>'s for 1nitigatio11 of se1 1te11 ce. U11der Article 70 of tl,e Pei,al Co cle, � st1bord111ate \vl1c l1a s ca rried otrt a11 order to com111it an o ff e r,c.e sl1all be l ia�le to JJU 1 1isl1 n1ent if l1 e \x,as a,"are of tl1e illegal 11ature of tl,� � 1 der 0_r l<11e\x, tliat tl1e order was give11 \X1itl1o ut authority or l<11e\X' the c r11 n111al i1at�1re of tl1e a ct orclered. No\x,, tl1ere is no qt1estio n i11 tl 1is c as e th�t t l1 e a1JJJella11t k11e\x, tl1 at '· tl1.e o i·dei· 0c·1ve1 1 to l 11· 1n b)' l1 1s · \vas ·111egal·, 1n · sttJJer1or fact I,e d1·d 11ot,. \Va11t to g_1 ve o ttt the E$20 ,00 0 as al ill g a e \ lie l<1 1 e\v that it x, s t,o g·1ve 1 oa11s or st1 cl1 a big atiiott_ 11·. t0 11· 1 ct· f . t · ott o t1se .1v1 ct Ltals JJriva te for tl 1 eir . . public fti d u d A tic!� t tha (h 0, but eref ore , t�e a ble app el pun la ish nt is · sa1 ne Artfc1! privi�es ;or 1 t1 t1011 of n ers p t]1e JJL1 111s l1111ent i11 cases wl1ere � wl10 perfor111ed the a ct _ c e:e � was 111 . d ate c! o d 1 ved by a sense of dttt)' { clisciJJli11e or obedieiice �het e .15 a o coi 111t uotli er n1att er l<en a t w l1 be icl to is 1 sideratio11· it is ditf· c 1·t t und t . �rS �­ no expla1{ation wh; �e 1�1 es�11 i land, and the pro secution gave this a<;;ou 5 aJ JJJ el l a11 !, a s, yo t111 g n1a n o f 24 year \xr s 1� t _ gled ot1t for t1�e cl,ar of 1111sa e ce � 1JJJ I' O JJr 1 r a a t10 d 1 1 a o l1 f E$ l1e 20 e11 ,0 \vl 1 00 signed by the Direct�� l1 g 10 11e a a J ct: said ��ella 11t 1 tl1e o rder, for tl1e n 1�1,e lo\xrer Co11rt acce,J\e� t�1e � tl1e 1no11ey to l1is SLtJJerior \X1l1 �f ...t��e given ?Y tl1 e apJJella 11 t �l1at 1,e o_, if 0 re½t111 ed tl1e said a111ot111 t as a private loan

g;

fJ

!�,�

·

I

SUPERIOR ORDERS

209

tl1is_ receipt was 11ot a gen11i11e 011e, tl1e prosect1tio11 l1act tl1e 01Jportt111ity of calling tl1e Director as a \Vit11ess bt1t did not do so; the only i11ference tl1at can be d�a\v11 from this is tl1at tl1e receiJ Jt \Vas a get1L1i11e 011e and \Vas signed by tl1e. Director. Tl1 is Cottrt, tl1erefore, tal<ing i11to co11sideration tl1e fact tl1at tl1e offence \Vas committed b>' the a J J l)ellant i11 l1is official capacity a11d also, 011 tl1e other har1d, tl1e fact tl1at tl1is is tl1e first offe11ce a11d tl1at Article 70 !)rovides for redt1ctio11 of 1Jenalty in cases lil<e tl1e fJresent 011e a11cl tl1e fact tl1at tl1e blan1e l1as . bee11 JJlaced solel)' 011 tl1e a1)pella11t \vl1ile 110 actio11 l1as so far bee11 taken aga111st tl1e JJerso11 \X1l10 gave tl1e illegal order, l1olds tl1at tl1e pt111isl1111e11t of one year's in11Jrison111e11t is excessive. Tl1is CoL1rt co11fir111s tl1e co11victio11 t111der Articles 641 a11d 642(b) a11d alters tl1e se11te11ce to fot1r 111011tl1s i111priso11111e11t. Questions

1.

2.

3.

4.

Is tl1e more lil<ely sottrce of Arts. 69-70 Etl1io1Jian legal traditio11 or S\viss 111ilitary penal law? Do tl1e jJrovisio11s \vitl1 res1Ject to sttJJerior orders i11 tl1e fetl1a Nagast, Pe11al Code of 1930 a11d tl1e IJrese11t Pe11al Code re­ flect cl1a11ges i11 Etl1iopia11 societ),? Under Art. 69, to \vl1at exte11t is a SLtjJerior cri1ni11ally liable for a11 order give11 to a subordi11ate? U11der Art. 70, \xrl1e11 is a st1bordi11ate cri111i11ally liable for carrying oLtt l1is sttfJerior's order? Do tl1e three jJrereqt1isites for tl1e liability of a subordi11ate t111der Art. 70( 1) reqLtire actual a\vare11ess or \X'Ot1ld tl1e a\vare11ess of a reaso11able man be SLtfficient? Are botl1 SLtjJerior a11d stibordi 11ate to be pt111isl1ed for tl1e co111111issio11 of one cri111e? Does Art. 70(2) destroy tl1e fJri11ciple laicl do\v11 i11 Art. 70(1)? Was tl1e co11rt correct i11 tl1e Tanirat case i11 111itigati11g tl1e defe11da11t's pLt11isl1me11t t111der Art. 70(2)? Sl1ot1ld tl1e cot1rt l1ave tal<e11 i11to accoL111t the fact tl1at tl1e Director l1ad sig11ed a recei1Jt a11d l1ad l1i111self 11ot bee11 1Jrosect1ted? Wotild the Director, if l1e had bee11 prosect1ted, be cri1ni11ally liable 1111der Arts. 641 a11d 642(b )? Wl1at polic.>' co11sideratio11s, do yot1 tl1i11l<, lie bel1i11d the drafting of 1-\rt. 70? Wl1y, \xritl1 resJJect to JJetty offe11ses, does Art. 699 allow sttJJerior orders as a con11Jlete defe11se?

b. A Dra,natic Use of the Defense: T/1e Trial of Fritz Fischer, Nuremberg Military Tribunals THE RELEVANT LAW3 Co11trol Cou11cil Law No. 10 (1945) Art. II (1) Each of the following acts is recog11ized as a crime: •

•

•

•

(b) War Crimes: Atrocities or offenses against perso11s or fJroperty 3.

Donnelly et. al., Criminal law 62-63.

TJiE AFFIRMATIVE

210

DEFENSES

constitutiiig violations of tl:e laws_ or_ :ustoms of war, ir1cludi11g but not lini e to 111ttrder, . i!I-treatme 1 1t . 01 ?_epor t at1on. to slav_e labour or for �ny otli er it r­ct U P occupied f101n _te_ r r1tory, on 1 mL1rder or !)OjJLilat ill-treatme nt [)Ose, of civilian prisoners of war or J)ersons 011 t_ l,e �eas, l< 1 l� 1 1:g of l1ostag�s,. plu11der of J)Ub of lic of Ltc�1on c1t1es, dest1 11 _ t on towns 01 w� villages proi)ert)', , or devasta­ or pri,,ate tio1 1 not justifiecl by m1 l1tar)' 11ecess1ty. i , L1d es cl n� n i_ fe f o_ d s ng an ie it oc tr b A ut y: zit ,i1 m t 1, not H_ �t irz ga A es i 1n (c) Cr 1 011, . 1 1:1 pr1sonment, torture at rt /JO 1 t, ?e 1 e1 11 ve l� 1s e 1 1 1, 10 at 1n rm lin1ited to 111Lirder, exte 1y c1v1I1a11 jJOp�Iati 011, 0; a1 t ns ai ag ? t�e 1 m 1n co ts ac . ra,Je or _otl1er i11l1u1:1�1 1e t er tl1 or 11o he s 111 w nd ou gr la s 1 vio 1 0L tion l1g re or al c1 1·a , al t1c 1 l 1Jo 11 0 11s t10 cu se IJer d. te ra et rp e pe er 1 l \v y tr Ltn co 1e tl of s ,x, Ia of tl1e domestic

e ov ab 1 1tioned ma me es im cr e th of )' at1 of 1 y ilt gL d 1 1 fou (3) A 11y l na e to bu t)1 tri by b d ne e jusr mi ter de be all s}1 as d l1e t1is j)U be ion ict nv co · tlp011 1 wi 1g: llo e fo tl1 of e or 1n or 1e 0 of st 1si 1 co ay m 1 1t 1 e m sl1 Sucl1 pL111i (a) Deatl1. (b) Irnpriso11n1ent for life or a term of years, witl1 or witl1out hard labour. (c) fine, and impriso11men1 \vit11 or \Vitl1out l1ard labour, in lieu tl1ereof. • • •

•

1Jerso1 1

(d) forfeiture of property.

(e) RestitL1tion of pro1Jerty wrongfully acquired.

(f) De1Jrivation of some or all civil rights.

•

•

•

•

(4). The �ff_icia_l position of an)' person, \Vl1etl1er as Head of State or as a

respoi,s!b!e. official 1 n _a Oover1 1mer.t Depart 1 11e11t, does 11ot free l1im fron1 resrJoi,sibil1 ty for a cr1 1ne or entitle l1im to mitigatio11 of pL1 11isl1me11t. •

• •

•

(b) The fact tl1at any pers:>11 acted pL1rst1ant to tl1e order of his Oover11ment or of a SLIJJ . erio�· does 11 0t free I 11·m fro1n res1)011sibility for a crime, b ut may b e co11s1 dered 111 1nit igatio11 .

TliE I\f DICTMENT.i

. The_ sec. . s A az..11st Humanity: Co1-t12ts Two a11d Three: W. . ar_ c. .-z·7nes a,zd Cri1ne g 011d and t l,ird cottnts of tl.1e 111�dtct ui ei,t cl,arg·e t l1e commissio11 es crim \var of and cri 1nes ag ' 'ainst liL1 1na111 ty 111e cot1n.t s are 1ct for e 1 1t 1 · caI 1· 11 co11tent, exceJ)t · tI1e fact tl1at in coLtii t two ti,e. �cts \vlitcl1 es harg c the are rnade tl1e basis for are alleged to li ave bee11 01111�11tt�d 011 d ''ci vili a 1 1s a11d 111e111bers of the arm_e forces [of natio�s] tlie11 a� wa e i 's c er ex l1 e ] tl1 �:* [:. a1 e tl1 1n 1 er O 1 Reicl1 in 1 �t of bellige re11t control ' ' \VI ie_reas ged alle in ' cot int thr are ee tl1e acts crim al i11 to ha,,ve been commi·tt ed aga111st n · ''G r co er otl1e man c · 1 1ans iv1 ud · and nationals of tr_i· es. Witl1 tl1is disti i ,ctioi , :, bot I, cot1nts will be treated as one an b 0 serv -d, discussed togetlier. Cou11ts t,vo and tl1ree allege, ii, Substa11ce, tl1at bet\veen SerJtember 1939

4.

ll Trials of tl1e ll7ar C . in r11n . aIs 174-lSO.

SUF> ERIOR ORDERS

211

a11d AJ)ril 1945 all of tl1e clefe11dar1ts '',vere l)ri11ci1)als i11, accessories to, ordered, ab_etted ! tool< a co11senti11g part i11, a11d \Vere co1111ected \Vitl1 J)lans a11cl e11ter­ pr1ses 111volvi11g medical ex1)eri111e11ts witt1ot1t tl1e st1bjects' co11se11t * * * i11 the cot1rse of ,vl1icl1 exJ)eri111e11ts tl1e clefe11da11ts co111mitted mttrders, brt1talities, cr11elties, tortttres, atrocities, anc.1 ol1'1er i11littma11 acts'' It is averred tl1at ''st1cl1 ex1)eri111ents included, bt1t ,x,ere 11ot lin1ited to'' tl1e -follo\xri11g: •

•

•

•

(E) S1,{.lft1zila,nide Experinzerzts: fro111 abottt J Ltl)' 19Ll2 to abottt Se1)te111ber 1943 ex1)er1111e11ts to i11vestigate tl1e effectiveness of st1lfa11ila111ide were co11dt1cted at tl·1e Rave11sbrt1ecl< co11centratio11 ca1n1) for tl·1e be11efit of tl1e Oer1na11 !\r111ed fo_rces. Wot111cls cleliberatel)' i1rflicted 011 tl1e ex1)eri1ne11tal sttbjccts \Vere 1�1fected \V1tl1 bacteria sucl1 as stre1)tococcus, g· a s ga11gre11e, a11d tetant1s. Circt1la­ t1011 of blood \Vas i11terrt11)ted b)' tyi11g off blood vessels at botl1 e11cls of tl1e \VOL111d to create a co11ditio11 si111ilar to tl1at of a battlefield \vou11d. I11fectior1 \Vas aggravated b)' forci11g \XlOOd sl1avi11g·s a11cl grot111d glass i11to the \VOL111ds. Tl1e i11fectio11 was treated \vitl1 st1lfa11ila111ide a11cl otl1er drt1gs to cletermine tl1eir effective11ess. Some subjects diecl as a rest1]t of tl1ese ex1)eri111e11ts a11d otl1ers SLtffered seriotts i11jt1r)' a11d i11te11se ago11y. Tl1e defe11da11ts I<arl Bra11dt, J-Ja11clloser, Rostocl(, Scl1roeder, Oe11zl<e11, Oebl1arclt, Blo111e, Rt1dolf Bra11dt Nlrtrgo\vSI<)', PopJ)e11dicl<, Becl<er-freyse11g, Oberl1et1ser, a11d fiscl1er are cl1arged with s1Jecial res1)011sibilit)' for a11cl f)artici1Jatio11 i11 tl1ese crimes. 1

(f) Bo11e, Jvf.itscle, arzd Nerve Rege11.erat/01i aJid Bo,ie Trar1s1-1lt,1,Jitcttiori Experinie,its: from abottt Septe111ber 1942 to abot1t Dece111ber 1943 ex1)erin1e11ts \vere condt1cted at tl1e Ravensbrt1ecl< co11ce11tratio11 ca1111J, for tl1e be11efit of tl1e Gern1ar1 Armecl forces, to stt1cly bo11e, 111t1scle, a11cl 11erve reg·e11eratio11 a11d bo11e trans1)la11tatio11 fro111 011e j)erso11 to a11otl1er. Sectio11s of bor1es, n1t1scles, and nerves \Vere removed fro111 tl1e sttbjects. As a rest1lt of tl1ese 01)eratio11s, ma11y victi111s suffered inte11se ago11)', mt1tilatio11, a11d j)er111a11e11t clisability. Rostocl<, Oebl1arclt, Rt1clolf Brandt, TI1e defenda11ts I<arl Bra11dt, IIa11dlbser, Oberl1et1ser, and fiscl1er are cl1arged \vitl1 SJ)ecial respo11sibility for and j)ar­ ticipatio.,n i 11 t 11ese cri111 es. •

•

•

•

Cot111ts two anci tl1ree of tl1e i11clict111e11t co11clt1cle \Vitl1 tl1e averme11t tl·1at tl1e crimes a11d atrocities \Vl1icl1 l1ave bee11 deli11eatecl ''co11stitL1te violatio11s of inter11atio11al co11ventions * * *, tl1e la\VS a11d ct1sto111s of war, tl1e ge11eral principles of cri111i11al la\xr as derived fro111 _tl1e _cri111i11�l la\v� of all civilizecl nations tl1e inter11al pe11al la\VS of tl1e cot111tr1es 111 \vl11cl1 cr11nes \Vere con1mitted ,'and of Article II of Control Cot111cil Law No. 10. THE DEFENSE Of SUPERIOR ORDERS5 Extracts from the Closing .Stateme,it of t� e Prosecrtt� Z:on: Rt1dolf Bra_11dt also pleads

superior orclers i11 1nitigatio11. Tl1ere 1s 110 ev�cle11ce tl1_at I-l11n111ler o�·clered Bra11dt to particiJJate in any cr!me. B_r�11dt d1cl so \Vtllfttlly. Tl1e1:e 1s 1�0 evide11ce that Brandt retai11ed l11s pos1t1011 ottt of fear. I-le flot1r1sl1ed 111 it. Nothir1g would have bee11 easier for l1im tl1�n to be . re1)laced by request or feig11ed inefficie11cy. Bra11dt was 11ot a S?lcl1er 011 tl1e f1elcl � f battle. His activities were far removed fron1 the co11f11s1on of tl1e fro11t l111es. Ile did not act in tl1e spontaneous heat of passio11; l1e had full ti·n1e to co11sider 5.

I Trials of the War Criminals 958-970.

212

TliE AFFIRMATIVE DEFENSES

m � po si hi ti s co nt n in in ue e d n. fr o ac tio H of 1 rs e co u 933 hi s n up o . ct and. refle tl1a11 . 12 y e ars. Tl11s fact alo less 110 5, 194 i1 i es i All iie \tr1t1l 111s arres� b{ tlie t � randt wa s or t�a 111g un1 r, a�s ove e r Mo o11. i t tiga i der 111 ed for i s a 11 1 e111oves � Y ' .l. 11 . -1,al acts i e tl1 e s11bJ ect of tl11s tr ial, wl1e11 tl1 ere is ar ich wl · '. · · · to co1111n1t tl,e c1 11 v o l s 11 t t 1f es 1 e re d'c, e11 � b f � Y e, p · a r nc t d1e tc obe 1p d1s afor l risa rep } �� of � J r R ; no fea 111a y . n a r_ lf , u o. t . e d� ctrine w1 � . cas 1e tl is cl1 SL1 e. 1 i11 tio11 i11 t.l1e. cr l e w 1er st1c 1 l 101 t 1 t 1111 1ga 111 e d ler l1 1s1c ma co1 be t g11a1,t 1110 ca1 s r de r o to � r 0 f· 5 u1Je 1 d rt1tl1l essl y co m111itted over a1 sly oL1 11u ti 1 co1 11 e be e liav ,es 1 r · a11d 11u111 e1 oLts ci·l a per iod of 1nan)' years. dt a1JtJlies eqttal_ly to the def e1ida i,t 11 Bra to ct e J es1 r l1 it r \x 1 cl sai 11 e be Wliat ,as t th e t11 ne he performed !I ew kn �e _ rs. de or r rio pe su s ad ple o Fischer who als rime : H e l<!1e\xr tl1e . })�in , � a 11g itt1 1nm co s w� e l1 t 1 ; 1_ l t_ s ei1t im r e exp tli ese l his nta ich me wh er, exp to th dea of . nsk v1ct1ms and , ltty ab1 dis , t n disfigureme . 1-Ie cot1ld have ref�sed to JJ a1:t�c11Ja!e 111 _tl1e �!per1me11ts ed t ec sttbj \xrould be . _ Tl11s h e a�1n1tted _ 111 say111g, . I t wa s 11ot �ces t1e1 1seq co1 of r fea \xritllOL tt an)' fea r of a deatl1 se11te11ce or anyth111g l1l<e tl1 at, bt1t tl1e choice co11front111g me \Vas to be ob edie11 t or disobedie11t dt1 ri11g \xrar, a11d tl1ereb)' set an exa1nple, an die11ce.'' (Tr. p. 4374). Stich a11 a dmissio11 rem oves a11y basis exainiJle of disobe . for 111iti gatio11 A solclier is al\vays faced \xritl1 t� e a! te�·11ativ� ?f obeying or di sobeying a11 order. If l1e l<IlO\v'S the ord er ts c r 11n111al, 1t 1s surely a hollo\xr excL1se to say it mt1st be obeyecl for tl1e sake of obedience alone. Extracts fro11z tlJ e Final ])lea for Defertdarzt Fischer: Tl1 e defe11dant Fiscl1er

participated i11 the ex1Jer in1 e11ts for testi11g the effect of st1lfa11ilamide upon orders of l1is 111edical a11d 111ilitary s111Jerior Karl Oe bl1ardt. It i s recognized i 11 tl1e pe11al codes of all civilized 11atio11s tl1 at actio11 11 fJOn or d ers re1Jresents a reaso11 for exem 1Jtio11 fro1n gt1ilt, eve11 if tl1e orde r itself is co11trary to la\v, but bi11ding for tl1e st1bordi11ate. In exa mi11i11g tl1is leg al qt1est io11, 011e fJroc eeds f ro111 t11e principle tl, at tl1e court clisre �ards tl1e reaso11s of j11stification and exe1npti o11 from gt1ilt }Jttt for,xrard by 1ne i11 tl1e c ase of tl1e defe11da11t Karl O eb­ l1ardt a11d . considers tl1 at botl1 tl1e orcler gi ven to tl1e d efe11da11t Karl Oebl1ardt l11n1self, as also tl1e JJass i11g 011 of tl1is orde r to tl1e defe11dant fr itz fiscl1er, are contrary to law. Tl1e acll1ere11 ce to � bi11di11g orde r, eve11 tl1ot1gl1 it be co11trary to la\v, on tl1e part of tl1e st_1bord111 at e creates for l1i1n a reason of' exernptio1z fror,1 guilt and, �lJerefore, renders l1i1n al�o exen1pt fro�n p1,1,11ish,11e11.t. Tl1is qt1esti o11 is disjJt1tecl 011ly 1nsofa�. as . �011;,e co11s1der tl1e . act_1011 of tl1e st1bord i11ate 11ot 011 lJ' exct1sed but eve11 JL1st1f1ed .. ft1rtl1er exa1111!1at1011 of tl1is qt1est io1 1 at issL1 e see1ns, l10\Xiever, 11ot necessary 111 tl1ese jJroceed111gs, s.ince tl1e resttlt is tl1e sa tl1 cases bo i11 111 e 11a111elY, tl, e JJer petrator's exe1n fJtio11 fro 111 JJ Ll 11 is 111 e 11 11t. The decisive questior1- i11 tl1e case 011 l1a11d tl1eref or e is \xrl1etl1er a11d to what ex�e11� th� ''order' for tl1e st1lfa11ilan1ide exp erin1e11ts w as bi71.di120 fo r tl1e JJer sons , 0 ca1 ry111g 1t ot1t. n view of the fact tha t! in principl is tim e, e th e th e la \v at in fo rce a J J!l le a t h e!endants ltved und the m, er _th is th e la w \ fo an r � d it w as binding 1 �1 e f q'ue' st��� is'-r/ e, to be examined _within th e fran1e 3 1 h t of e A rt ic 4 le w of or k 7 German M 1 nal,, C 0 o Ac w co rd ing e to this provision, a subord inat obeys is li��1: 0 :e pun!s ect � : as an accessory if it is known to him that t � order given b the s 1� �1 c� tl ceri, ed a11 act wl1icl1 t e J OS J l1as for its JJLtf comn1it a getie �al or 1�\��1ta t y Clttn e or offe11se.'' I I- o,x,ever, it is 11ot correct' . 7 4 as 1· t 1· s so met1111e 1 e rtie 1 s acce1Jted, t 1at A 1

t

?f·

SUPERlOR ORDERS

213

of ll1e Oern1a11 lv'\ilitary Code itself settles tl1e qL1estio11 i11 110\v far 111ilitary orde_rs_ are eitl1er bindi11g or not bi11dii1a. Tl1is is a qt.1estio11 of JJt1blic a11d ad m1111st rative la\v. BL1t it 111t.1st al\vays �011cer11 a11 ''order regardi11g service ma�ters," tl1e sa111e as in otl1er 111ilitar)' co11ditio11s, tl1at is to say, s0111etl1ing \Yl11cl1 ''pertair1s to n1ilitary service." rfl·1ese asst11111Jtions are i111111ecliatel)' JJrese11t bot11 in tl1e case of tl1e defe11cla11t I<:arl Oeb]1arclt a11d i11 tl1at of tl1e clefe11da11t fritz fiscl1er. Botl1 \'(/ere r11edical officers of tl1e Waffe11 SS, tl1ere­ fore _a L111it of tl1e Oer111ar1 Wel1r111acl1t i11 \'Xll1icl1 es1Jecially tl1e 1Jri11ci1)le of obed1e11ce \Vas stro11gly 1)ro11ot.1ncecl. I(arl Oebl1ardt \Vas Fritz Fiscl1er's i111111ecli �te s111)erior; ir1 matters of dt.1t1,, l1is orcler to assist \,:,jtl, tl1e 111edical ex1?er1111e�1ts to be t.111clertal<e11 ,vas a bi11di11g order for tl1e yot111g· medical officer f1scl1er. •

•

•

•

Tl1e evicle11ce l1as sl10\vt1 that tl1e order for testi110· tl1e effective11ess of � t.1lfa11 ! I ,1111id e e 111a11ated fro111 t11e 11igl1est a LI t11ority, 11a111el)'� fro 111 t11e Co111111a11de r 111 Cl11ef of the \Vel1r111,1cl1t 1)erso11all)'· Tl1e reaso11s of jt1stificatio11 of tl1e jJrob­ able accepta11ce of the warti111e states of e111erge11cy a11cl tl1e bala11ci11a 0 of i11terests, as clisct1ssed ft1lly already i11 tl1e i11vestigatio11 of tl1e case of tl1e clefenda11t Karl Oebl1ardt, gai11 i1111Jorta11ce i11deJJe11cle11tly first i11 tl1e 1Jerso11 of tl1e defe11cla11t fritz fiscl1er. But tl1ey l1ave i11flt1e11ce, of cot.1rse, 011 tl1e legality or illegality of tl1e order. Tl1e i11vestigatio11 of tl1is qt.1estio11 l1as sl10\v11 tl1at t}1e give11 orcler as st1cl1 \Vas leg,il. Eve11 if 011e \VOttld 11ot \va11t to tal<e tl1is for gra11ted, 110\ve\.rer, for a SLtborclinate even a11 illegal order of a bi11dir1g 11atL1re is of 111 o111 e 11t . Article 47 of tl,e Oer111a11 Military Pe11al Code, as already obser\recl, lets the JJL111isl1111ent of tl1e st.1borcli11ate sta11d, if ''it \Vas l<110\v11'' to tl·1e latter tl1at the orcler of tl,e SLtperior ''concer11ed a11 act \Vl1icl1 !1ad for its jJt.1r1Jose to co111111it a ge11eral or 1nilitary cri111e or offe11se.'' l11 all otl1er cases tl1e jJt.1nisl1me11t toL1cl1es only tl1e con1111a11di11g SLlJJerior. •

•

•

•

•

•

•

•

Tl1en, in regarcl to the partict1lar jJositior1 of tl1e clefe11da11t fritz fiscl1er, tl1e mea11i11g of a11 order of tl1e imn1ediate nzilitary s1tJJerior is to be i11vestigated. At tl1e beai1111ing of tl1e ex1Jeri111e11ts, the defe11da11t fritz fiscl1er l1acl tl1e ra11l< of a first lieL1te11a11t. I-le tool< j)art i11 tl1e ex1Jerime11ts at tl,e clirect co111111ancl of his n1ilitary a11cl 111eclical st.tj)erior wl10 l1eld tl1e ra11l< of ge11eral. l11 vie\v of tl1e sur1Jassi11g a11tl1ority of tl1e clefe11da11t I<arl Oebl1ardt, as st1rgeo11 a11cl Cl1ief of tl1e I-Iol1e11lycl1e11 Cli11ic a11d i11 vie\v of l1is l1ig·l1 111ilitary positio11, a refttsal was completely ot1t of tl1e q11estio11. 111 aclditio11 there was tl1e s1Jecial fra111e\vorl< i11 \vl1icl1 all tl1is tool< place. fritz fiscl1er l1�cl been released fron1 tl1e con1bat t111it 011 accoL111t of seriot.ts ill11ess ar1d l1acl bee11 ordered to tl1e I-l0l1en]ycl1e11 Cli11ic. I -le was L111der tl1e immediate i1111Jression of l1ard ex1Jerie11ce _ at tl1e f�·o11t. 111 ��ol1e11lycl1e11 lie foLtnd himself i11 a cli11ic wl1icl1 operated 111 peacet11ne co11d1t1011s t.111der tl1e e11ergetic directio11 of a 111a11 extra�rdi11aril_y gifted _i11 organ_izatio11al and _ scie11 _ tific matters. Every bLtilding, every 111stallat1011 of tl11s recog111zecl model 111st1tt.1te, the nLtmerous cli11ical i1111ovatio11s a11d 111oder11 n1etl1ods of treat111ent, every 011e of tl1e ma11y successful treat111e11ts of Hol'le11lycl1en \Vas i11seJ)arably b0Lt11d 11p \vith tl1e name of tl1e cl1ief j)hysicia11 Karl Oebl1ardt a11d gave 1111co11clitional and u11limited value to l1is \Vord a11d l1is at1thority i11 l1is e11tire e11viro11111e11t. for all tl1ese reasons, the defe11da11t fritz fiscl1er cot1lcl l1ave l1acl 110 dot1bt at all bt1t that tl1e performa11ce of tl1e order giver, l1im \Vas fro111 t11e 111eclical

..

TrlE AfflR1V\A'flVE DEFENSES

214

t J y l'1e sel eci 0 re Pr asu ar me 1 e11 . ble ssi w 111i Jer . car ct ·i ryingqL 1 . a11 e sit i e · 1 a s ta11 dpo 1 nt . , 11 · t } w es 1· e_ ex c1 us 1· 01 1 of _evtr �, t 1 1 1 111 ea st l e1 1ta 1 1 Je r1 1 ex dLit Y. o L1t of tlie iiidividtia l i o s wa 1 · vi 1cl s pro wl1 ult res tl1e of ded ort re1J , tlie v -,; f r 111 o f· secrec)r as ell as .{'. tl1e 1 11g 01 · 1 orLtm f 1 cr1t1ca a 1est before d e military exectit. ' also a d \'a�i�e atld t1st distr a11y 1 i1 b11d of the 11i1J t to e d sttite h is t · · ially esiJec lifi· 1 e ei· w c 1a 11s , · 1 1 ys 1 \J . 1 1t f 1-·tz a1 ct 1 c e1 f p· f 1s o ti e d d 1e · l 111 111 r. 1e 1e tl 111 ts 1 e1 111 i r iJe ex e es catioti of tli \N

•

•

ed i� Germany at t xis e ich wh law_ lic b _ pu of ns itio nd co the : : : T i le special w ere expl a1� ed by Professo ey . fh ed on nti me be to t gh ou r ion act time of the at1on�l � 1\ttary T nbunal i ern the Jnt � fo1 be ech spe ing en op n : Jahrreiss in his _ . r sso Pt ofe et Jah oth s. and 1 11;; e1 n e1ss thereOo ; an1 rm lie t u1s aga s ing d the procee by reJJresented tl1e follo\xrt11g JJ0111t of v1e\v: ''State orders, \xrl1etl1er tl1ey lay do\'<111 rt1les or decide i11dividt1al cases can always be 1neasured aga inst the. existing written a nd un_written law: bttt also aaai11st tl1e rules of 111ter11 at1011al law, 1norals, a11d rel1g1011. Some011e, eve11 if 011 tl1e co11scie11ce of tl1e jJerso11 givi11g t11e orders, is a1\1,ays asl<i110·: I-las tl1e perso11 givi11g· tl1e order ordered something wl1icl1 lie l1ad 110 ri�l1t to order? Or l1as l1e for111ed a11d publisl1ed his order by a11 in­ adtni�i ble jJrocedure? B11t a11 1111avoidable probletn for all gover11menta1 syste111s lies i11 tl1is: S11ot1ld or can it gra11t til1e members of its l1ierarchy, its officials a11d offi cers, tl1e rigl1t - or even impose 011 the1n t11e duty to exa1ni11e at a11y time any order wl1icl1 dema11ds obedience from tl1em, to deter111i11e wl1etl1er it is lawfL1l, a11d to decide accordi11gly \vl1etl1er to obey or ref11se? No governmental system which has appeared in historJ' to date ha s. giverz art ajfir1na.tive ariswer to this question. Onl)r certai11 me1nbers of the l1ierarcl1y \vere ever gra11ted tl1is rigl1t; a11d tl1ey were 11ot gra11ted it ,vith011t li1nits. Tl1is was also tl1e case, for i11sta11ce, 1111der tl1e extre111ely dem. ?Cratic co11stit11tio11 of tl1e Oer111an Reich during tl1e Weimar Re1Jublic and 1s so today 11nder tl1e occt11Jation rt1le of tl1e four great I Jowers over Oer111a11y.

In as far as suc/tJ a right of examinatiori is not 0a1·anted to niembers of the l1ierarcl1y, t/Je ore/er l1as legal force for ttJenz. •

•

•

•

I repeat: An order of tl?e F1,tehrer's was bi11di11g - and i1zdeed legally bind· . ng -1 to n 0 tl ?e person to wIJom it was given, eve1l if t!'Je dire r � co1zt ra ) was ctiv e _ .

international l,:iw or to other traditiorial val1,1es."

.. S� 111 l1� l, for tl1e state111e11ts of Professor Jal1rreiss befor the Ir1terr1ation al e Mtlitai Y Ti tbL1t1al. Tl1e clevelo1J1ne11t JJrese11ted l1e particularly be re se to e1n s v nt f � � ! � es �r the _cas e _of the d efend ant Fischer, since he himself in the w itness ci t�ed lits att1t11de towards tl1e fL1el1rer's co 1, bel \Y/ l1i c w ay n1 a n1 i11 a1 1d cat1se of \11s very· yot1 ti7, l11· s ·1 clea1·1sttc 1 h's d an · . co nc ep du tio ty n of life an ' d 1na11 1 y co11fess1011, was JJartict1larly co nvi11ci11g·. • •

•

•

At tl1e ti1ne of tlie11· - ac t·tons th� YI r I a, ma de n f . e ndants w ere subject to Ge according to · l1;�11 ti e gre v of th eir d re an sp on sib d : e ility wa s determin � : , � �� f today, must j s � b - r erre bac � to that moment. Th follow ing sho u_l .0 15 e emphasized ho\X·ever n ase t the v1s Tri bun , a ro l n sho uld al ' not apply the l eg p i force at the lime \ t f \o of the Control Coun�il �� act! b!,!t should base its judgment on La w No, ro· 11i bitio11 o f retroa' ctive ; J 1.oug_l, it represents a ma11ifest violatio11 o f the P I P 1 teat1011 of JJe11al laws. . Eve11 fro111 tl1e ab ove-.i,ain ed }Jrov1sio11 o f tl1e La\Y/ o tl Co11trol Cotu,cii' f 1e

215

SUPERIOR ORDERS

tl·1e. pri11 ciple ca1111ot be derivecl tl,at every co11111 1a11d of a sttJJerior sl1ot1ld, ui,oer th_e as1Ject of pe11 ,tl la\V 1 be irrelevant t111der all circt1111star,ces. This a_lso applies to tl1 e fJroblen1 of tl1e exen1 JJtioi1 fro111 res1Jonsibility a11d exen11J­ t1011 fr�n1 JJe11alty. The fJrovisio11 011ly states tl1at tl1e existe11ce of st1cl1 a co111_ 1 d i,z itself does not exe11 11Jt 011e fro111 tl1e res1Jo11sibility for a cri111e; it ma1 �oes 11ot, t10\vever, fJreclttde by a11 y n1 eans that i11 co1111ectio11 \vitl1 otl1 er facts it may be releva11t for tl1is tJroblen, as \Vell. •

•

•

•

Rei11l1 ardt fra11 I<, tl1e great Oer111a11 cri11 1i11 ologist, ]1as \xritl1 regarcl to the problem of tl1e so-callecl co11flict of clt1ties establisl1ecl tl1e 111axi1n, ' l11 as far as tl1� con·flict of d_ t1ties has not bee11 ex1Jressl)' regt1lated tl1e 11 1axin1 sl1011ld 1Jre­ va1l_ tl-1at tl1e l1 1g·l·1er, tl1e 1nore sig11 ifica11t, tl1 e 111 ore i11 11Jorta11 t dttty is to be fttlf�lled at the ex1Jense of tl1e less l·1igl1 011e a11d tl1at, tl1erefore, on1 issio11 to fulfill tl1e latter 011e is riot co11 trary to la,xr." 1

\Viti, goocl reaso11 it l1as al\vays bee11 e1111Jl1asizecl tl·1at i11 s11cl1 a sitt1atio11 of ��11flict of diversified clttties tl1e decisio11 is, i11 tl1e e11d, 11ot to be fot111d i11 pos1t!ve la\xr, bttt it is of ar1 et/Jical 11.ature. Tl1at is \vl1y1 i11 sL1cl1 a sitL1atio11 1 a certa111 Iee\vay n1 t1st be left to tl1e f)erso11al co11 scie11 ce; it is 11ot fJOssible l1ere t<? .arrive at everytl1i11g tl 1 rot1g·l1 tl1e coarse 111 ea11s of a11 out\Xlard JJe11 al 1Jro­ v1s 1 o 11 . . . •

•

No

•

•

ft1rt!1er argt1111e11t sl1 ot1ld be 11eedecl for cle1no11 strati11 g tl1at j11st from an etl,icaL 11oi11t of vie\v 111easL1ri11g of st1cl1 perso11al decisio11s bJ, sta11clards of pe11al law is ot1t of tl1e qt1estio11 . TI-IE JUDOMENT6 The Case of Fritz Fischer: Tl1e defe11 da11t fiscl1er is cl1 argecl 1111der cot111 ts two a11cl tl1ree \vitl1 St1lfa11 ila1nide a11cl B011e, l'vlttscle a11cl Nerve Rege11eratio11 and B011e Tra11 s1Jla11tatio11 Ex1Jeri11 1e11 ts.

fritz Fiscl1er joined tl1e Allg·e111ei11e SS i11 febrLtar)' 1934 a11 d tl1e NSOAP in 1939. 111 tl1e latter year l1e joi11ed tl1e \Vaffe11 SS a11cl \'vas assig11 ed to tl1 e SS 1111it i11 tl1e J-Iol1enlycl1e11 J Iospital as a pl1ysicia11 st1bordi11ated to tl1 e defe11da11t Oebl1ardt. 111 Jt111e 19Ll0 l1 e \X1as tra11sferrecl to tl1e SS regin1e11 t Leibsta11darte ''Adolf J-Iitler'', a11 d rett1r11ecl tl1e sa111 e year to I-Iol1e11lycl1e11 as assistant fJl1ysicia11 to Oebl1ardt, wl1ere lie re111 ai11ed 1111 til May 1943. I-Ie tl�e11 servecl as a surgeo11 011 botl1 tl1 e easter11 a11d \vester11 fro11ts and, after. l1av111g been wot111 ded i11 At1gt1st 1944-, ca11 1e bacl< _to I-Iol1e_11lyc�1e11 as_ a fJat1ent. 111 Decen1ber 1944 he \Vas assiP-11ed to tl1e Cl1ar1t)' I-l0s1J1tal 111 Berl111, bLtt retur11 0 ed again to I-Iohenlycl1e11 as Oebl1ardt's assista11t �11 f\fJril 1945. 111 tl1e Waffe11 SS he attai11ed the ra11l< of Stt1rmba1111ft1el1rer (111a1or). Su lfanilamide Experiments: Oebl1arclt,. as sl10\v'! l el�e\�l1 ere i11 . tl1 is j_ uclg111 e1�t, \Vas in persor1al charge of tl1e \vorl< being clo11e 111 tl11� f1el? by l11s � ss1sta11t Fritz Fischer. That the latter performed most of tl1e st1lfa111_la111_1cle ex1)er1111e11tal \xrorl< is not de11ied by hin1; on tl1e contrary l:e freely acl!111ts 1t. Tl1e defe11se offered i11 his bel1alf is two folcl: that tl1e ex1Jer1111e11tal sttbJects \Vere to l1ave alleged death se11te11ces, tl1en impe11di11g, comn111ted to so111ethi11g less severe in tl1e 6. II Trials of tl1e War Crim.inals 296-297.

. ,

.,. .• ,• '

.

'

.

ENSES F E D E IV T A M IR F F A THE

216

r as e w h c ti is ac F t g n n a d n u fe e d at d th n d n a ; ts n e im r e p x e e th d e e d ses • 1 se � be!i h e hav u n ef e T . rdt a h Geb e 1 t r t f r, fice ' � � _ o ev_ !� i y -� ior er sup his t. en m �1 g d ju is e rom th f o ts ar p er th o in ed ct je re y el at ar p se �d a e� �r J sf ��n tr f n o o C l II o le c ti r u f o A o C ) (b l i c 4 n h p a r g a r a p t a th , e v e w r o h , e u tr It is

Law No. 10 reads: f e o r l1is gove r11_ d r o e th to t _ _ 11 a 1 u r L jJ d te c a _ 1 � 1 o rs e , p y 11 a t 1a tt t c fa m t e 1l1 r 1b il fo 11s T J0 y s cri J re m fro 1n l11 e, e re ot t 1 s oe r, � . : at1011. ment, or of a 511rJerio 1n 1g t 11 n d e r e id 1s 1 o bt1t n1ay be c nts _ tl1at migl1t be 1� n: 11 rg a 1e l tl l r e w 11 a d 11 � a p � u e k ta to ry a s s e c e It is u1111 1 i:;a h ? n of sentence 11 m a to ed tl tl e1 1s � er h c is F t o � r o er h et h w n o p u 0 11. I-le acted t1 a 1g presented 1t m l1 c su f o is s a b e l1 t s a d e im la c s e c 11 ta s 1 11 11 c ir c due to tl1e \V� S fL 1 11dam e11tally 1g i1 o d s a w 1e l _ 1 at l 1 \'X at th e g d le \v 0 11 1< te le 1J m co \xrith 1nost m u sta 11ces his rc 1e c1 tl r e d n U r. o r1 e ljJ SL a by d e ct e ir d 11 011 10 t\ 11 e v e l 1a cri111i 1 1 a s charged. ty il u g e b to d l 1e l e b lie must 1d 1 a , d e ct j; re e b st 1 1 m clefe11se l1ese experiT z: or ti ta n la sp rz ra T e on B 2d a1 on Bone, Mitscle and Nerve Rege11erati t an d en ­ e ef eb d th G f o se ca 1e tl 1 l it w n o ti ec 1 1n co in 1ne11ts l1ave bee11 discussed i scl1er. Testimony and f t n a d en ef d 1e tl y b 1 i1 l1ardt, \Vl10 w as assisted tl1ere l tl 1at Fischer a ve re se ca s 1i tl 1 i1 rd co re 1e tl exl1ibits now co11stit11ti11g parts of nal con11ection i im cr , ed de In e. rg 1a cl e th l1as offered 110 s1tbsta11 tial defense to l11des tl1e defendant's 1c ir on si is m ad e tl1 1d a1 d, tte ni \Vitl1 these experiments is ad 1 l1e OfJerati on s. t of e om s t s a le at ed m or rf fJe ly n al 1 011y tl,at lie perso own testi 1 1 11 above-m en tio ca ifi ec sp e tl1 on at tl1 lcl l1o to It only remai 11s for tl1e Tribu11al tioned tl1e defe11dant fiscl1er is gL1ilty. not re we er cl1 s fi 11t da fen de b y d tte ni 1111 co s me cri 1e l To tl1e extent tl1at t war crimes they were crime s agai11st l1u1na11ity. nt me ict ind tl1e of ur fo 1 11t t co r de Un n: tio . A1e_mbershif in Criminal Organiza 1crin d are l dec 1 1 tio 11 iza a org a11 of b 1 er 11 n1e a n �r1tz f1scl1er_ 1s cl1arged witl1 bei g SS. the ely, 1am 1 al, 1 bu1 Tri y it,lr Iv\il 1al tio1 rna e I11t_ tl1 of 1 t 11en g 1nal by_ tl1e 1ud � 1934 i11 SS tl1e of er b n1e111 1e a ecan b l1er F1sc fritz tl1at Tl1e ev1de11ce sl1c1ws of 1ber men a As war. the of 1d 1 e tl1e l 1ti 1 u io11 1 1izat ancl remained in _ tl�is orga es crin1 d n a s crime \X?ar of n 11issio 1 tl1e con1 1 1 tl,e _ SS he \x,as �r1n1111ally im1Jlicated i aga111st l1uman1ty, as charged 1111der coL111ts t\vO a11d tl 1ree of tl1e i11dictn1e11t. fritz Trib11 1 1al I finds a11d adjuclges t l1at tl1e defe11da11t Military lusion_: Con � . _ fiscl,er 1s guilty 1111der co11nts two, tl1ree, a11d foL1 r of tl1e i11dict1ne11t. [s ig11ed] WALTER B. BEALS Presiding Jt1dge. HAROLD L. SEBRING e. J ttclg D R O F W A R C . O T S N N H JO J Lid ge. TH E SENTENCE1 Fritz FISCHER, Military Trt"btinal I li as fotind a n d adj11dged yoLI g ut·1ty 7·

Ibid. at p. 300.

SUPERIOR ORDERS

217

of \Var crimes, crimes against 11t1manity a11d 111en1bers]1ifJ in an orga11izatio11 declarecl crin1i11al by tl1e jt1clgn1ent of tl1e ]11ter11atio11al Militar)' Tribt111al, as cl1arge� t111der tl1e indictr11e11t l1eretofore 'filed agai11st yott. for yottr said cri111es on \X1l11�h you l1ave been a11d 110\v sta11d co11victed Iv\ilitary Tribt111al I se11te11ces j'Ou, �r1tz fiscl1er, to impriso11111e11l for tl1e fttll ter111 a11d period of yottr nat­ ural . life, to be served at st1cl1 fJriso 1 1 or priso11s, or otl1er afJ(Jl"OfJriate fJlace of co11f111eme11t, as sl1all be deter111i11ed by co1111Jete11t .1t1tl1ority. NOT ES Note 1:

The Comparative Law of St1perior Orders

Dt1ri11g tl1e t\ve11tietl1 ce11tt1ry tl1ere l1as bee1 1 a fair an1ot1nt of bet\X1 ee11 legal S)1 Sterns tl1at s11 1Jerior orders to co111n1it ttnla\vful 11ot co11stitute a total defe1 1se. Tl1e fJositio 1 1 i11 fra11ce as set ottt Droit Penal 266-267 is as follO\XfS:

agree1ne11t acts does i 1 1 Bot1zat,

Tl1e (Jroblen1 (of sttjJerior orders] i11 tl1e case of tl1e 111ilitary J·1as been subject to se\1 eral scl1ools of tl1ot1gl1t. A. Passi'Ve Obedierzce: Tl1e 111ilitary 11ever qt1estio11s regttlar orclers received fro111 tl1eir l1ierarcl1ical stt(Jeriors; by tl,e sa111e tol<e11, if tl1 ey are obe)red, tl1ey are justified. Tl1is scl100I is da11gerot1s becat1se it creates at1to1natic obedie11ce bet\vee11 SLtfJerior a11d suborcli11ate. It is co111111only co11ceded tl1at i t is 1 1ot st1fficie11t tl1at a1 1 order l1as been give11; it 1nt1st also l1ave bee11 legal. B. The Sc/,;ool of tl1e ''lntelligertt l,ifarttry'': Co 1 1trary to ''f\11 above, this scl1ool of tl1ot1gl1t l1olds tl1at st1bordi11ates J·1ave tl1e right a11d cluty to qt1estio11 tl1e legality of orders \Vl1icl1 tl1e), receive a11d i11 co11seqt1ence are not justified, t1nless they l1ave bee11 sttbject to ge11t1i11e 111oral coercio 1 1, i11 exect1ti11g ar1 illegal order. Tl1is scl1ool also 1nust be set aside as it weal<e11s military disci1Jli11e. C. A tl1ird scl1ool Iyi 11g betwee11 tl1e otl,er t\vo seems tlie wisest. It wot1ld distingt1isl1 bet\vee11 1na11-ifest illegality arid non-manifest illegality; a11 order 11ot ma11ifestly illegal give11 by a sttJJerior \X10t 1 ld l1ave to be obeyed i11 good faitl1 by a suborcli11ate. •

•

•

•

Wl1e11 tl1e questio11 of t111la\vft1I acts com1nitted by soldiers u11der orders from sttfJeriors i11 no11-1Jolitical situations l1as bee11 brot1gl1t before the courts, they have bee11 very relt1cta11t to jt1s_tify st1cl1 acts. Tl1ey l1_ave 011Iy occasionally justified eve11 tl1ose acts co1111111tted 111 1der moral coerc1011. With respect to civilia11 officials,_ courts h�ve decide� i!1 accorclar1ce witl1 tl1e general rt1le, tl1at they remain res!Jons1ble _ for cr1m111al acts tl1at they co1nmit tinder illegal orders fro1n tl1e1r st1per1ors. Althottgh co11flicting precede11ts exist, tl1e rttles of la\xr extracted fro1n E11glisl1 cases are: (a) that persons carrying arms and usi11g tl1e111 i11 tl1e 11a111e of autt1ority, if they kill, may nevertl1eless i11 E11glisl1 la\v, be guilty of m11rcler. {b) tl1at tl1e orders of a sttperior to fire are 11ot, qua orders of a

218

1·1-IE AFFIRMATIVE DEFENSES

t o rebu t tl1e cl1arge, bu t t l1at lawful n o i cat i tif s jlt . . i1t e ci i f orslt jJer1o t., a Sltf . . • en t c1 ff. t Slt o s e a1 r o r1 1Je Sll ders of a on s end the dep _ ers ord the of y alit leg legality of the e sinc (c) that, s by a SltJJer1�r 1s 011ly . relevant to tl1e 1: orde f_ o vii1g i g tl,e tlle firii,g, c? 11s1dered comtJet be se rw1 e otl1 t 11o 1t m1gl ring i t f 1 o1 IJers ei1t exteilt tl,at t 1e ear11, Tl1e Order to fire and tl1e Defe nce J-I .. 1 .. o1 ti s e qlt e tt1 to decide . 2) 96 (1 59 . . ] L rzd la sa ya N id ar ia es od :J l 2 R , rs e Slt!Jerior Ord ost of tl1e Brit ish 1? _ and ca, Afri 1 lttl So , , tes Sta d e 1it 1 U e tl1 f o oi, siti . 111e IJo 1 sl1. H earn, ibi_d. al_ p. 58. Tl1e pre­ g1 En e tl1 of at 1 tl t o lar i n1 i s s i tl1 eal Com111011\,? d1 ed 11 1 t he German bo �m wa s ct e j ub s e tl1 I 1 1 0 la,xr 1 11a1 1 r Oe . Worlcl War I o C de (Leipzig, 1 1t ry's M1l1tary P e11a l 1 coL at 1 l f t o o11 ati ret erp int 's urt o C 1 e 1 1 Jre Sltl

1921 ):

...Tl1e Col1rt \xras tryi11g two liet1te11a11t_s, part of tl1�. s_l1 ip's company of a Oer111a11 U-boat \xrl1 icl1, dt1ri11g tl1 e period of l1ost1l 1t1es, had sunk tl1e Llaridovery Castle, a Britisl1 l1osp i tal sl1iJJ. In accordance :X7 itl! tl1e o�ders Co1n1na11der to le ave 110 trace, tl1e two JUt11or officers of tl1 e Sltbrnari 11e's 1 gave orders to fire 011 tl1e l10SJJital sl1i1J S l if eboats. Tl1e CoLtrt... state d i11 its jt1dgme 11t tl1at the Co mmande r's order to l eav e 110 trace did 11ot free tl1e accltsed fro1n guilt. A subordi11ate ,vho obejred tl1e order of l1is SltJJerior off i ce r \xras l i able to pu11 isl1ment i f it \Xlere l<110\xr1 1 to l1i 111 tl1at sucl1 order i11volved a contrav e11ti on of tl1e la\v, i11 tl1is case i 11ternatio11a1 la\xr. Tl1is a)J[Jlied to t l1e t\xrO accu sed, tl1e judg1ne 11t co11ti11l1ed, tl1ol1gl1 it sl 1011lcl be urged i11 favour of militar)' subor­ di11ates tl1at tl1ey are u11 cler 1 10 obligat i on t o qt1 estio11 tl1e order of a SllJ)erior officer a11d tl1ey ca11 col111 t 011 its legality, bu t no sucl1 co11fidence ca11 be l1eld t o exist i f Sltcl1 a11 order is 1111 i versally kno\xrn to ever)1body, i11clL1cli11g tl1e accltsecl, t o be \v1itl1 o t1t a11y doubt wl1ate v er agai11st the law. Tl1 is l1a))])e11s onl.)' i11 rare a11d exceptio11al cases, but th is case is preci sely 011e of tl1ern, f or i11 tl1e JJrese11t insta11c e i t ,vas tJerfectly clear to tl1e accl1secl tl1at l<illing clefe11celess JJeO[Jle i11 tl1e lif eb oats could be notl1i ng else but a breacl1 of tl1e law. 1 11 esti 111 ati11g tl1e IJl111 i sl1 1ne11t it sl1ot1ld b e bor11e ir1 1nind tl1a t tl1e J)ri11cipal glti lt rests ,vitl1 tl1e Sl1b1nari11e's C o1 nma1 1d er u11der \X1l1ose orders tl1e_ accl1sed acted. Tl1�y sl1ol1ld c_ertai11l.)' l1ave r eft1sed to obey tl1e orde�. Tl11s \X!Oulcl l1�ve r_ �qt1 1red a s1Jec1ally l1igl1 d eg·re e of resolut io11, a11d this fa�t �11�refore Jltst1!1es tl1e rec og11iti011 of 111 i tigati11 g circu 1nsta11ces i11 de­ te 1 1 11 111 111g tl·1e jJl1111sl·1111e11t l111cler tl1e Stat e P e1 1al C o de. A se vere se11tence 111l1st, l1owever, be IJassed. Lo rd Rl1ssell Th() Trial of Adolf EicIJ 11iann I " 310-312 (1962). I_nterestii,gly, a1�1011g tl1e 011ly exce1Jtio 11s to tl1e d 111 o i11a11 t position \xrill1 1 esJJect t_o SllJJe�·1or orders \X1 �r e tl1 e Bri tisl1 a 11d An1erica11 M i litary ManL1al s of l 9l4 wlitcli statetj tl1at Sl1 1�er1or orcle rs :xras a de f e11se to illegal 1 ni litary _act s. Tl,ese _1 n�tlltals stood des1)1te tl1e follo\xr111g sta t e1n e11t by the 1919 International C01n1 n1ss1011 011 Res1)011sib i li ti es: . _We cles i re �o. �ay tl1at civil a11d 111ilitary ­ iev re l be au th 1n ori tie s ca1 ot d fio111 re�poi75 ibility b)' tl1e 1 nere fact tl1a e t a l1io-l1er at1tl1or i ty 1nigl1t h av � e1 c nv 1c -�ie�l ie�t a ted of the s�n1e offence. It will b e for the Court to d eci de f1 om res]Jo(Jl�a. �f Sll[Jer1or orclers i s Sl1fficient to acql1it tl1e J)erso n cl1arged 11s 1btl1ty. · Botl1 tl1e Britisl1 a11d A nieric a11 Manl1als \V ere a1ne 11ded in 1944 a1 1d brott gh t

SUPERIOR ORDERS

•

Q·l9

•

int? li�e with acceJ)ted doctri ,,e wl1 ich gave rise to cl1arg·es .of ex post facto leg1slat1011 dtt ri11 g tl1e N uren, berg Trials. f

I

Note 2:

The Defense o'f Superior Orders in the Eich1nann Trial (1961)

Tl1� defense .of SUJJerior orders \x,as raisecl agai11 rece11 tly i11 tl1 e · trial of Adolf E1cl1m�1111 111 Israel; District Cot1rt. of Jert1salen1, Cri111ir1 al Case No. 40/61. The cot1rt reJected tl1e defense i11 tl1 e -follo\xri11 g \'v'Ords: 216.l�l,e accusecl's fJri1 1ci1)al defence is tl,at all lie clid, \xras in accord­ a11ce wit!! orders -fro111 l1is SLlf)eriors. Tl1 is l1e regarcls as ftrll jt1stificatio11 for all his deeds. I-le ex1)lai1 1s that J 1is SS trai11i11 0- i11ct1lcated in l1im tl1e idea tl1at bli11d obeclie11 ce is of f)rir11ary i1 n1)ortar�e, obeclier1ce lJased 011 bot111dless co11 ficle11 ce i11 tl1 e \Vise jt1dg11 1e11t of tl1 e leadersl1 ip, \X1!1 icl1 \xrill always k110\v wl1at tl,e good of tl1e Reicl1 cle111a11ds, a11 d \Viii g·ive its orders accordi11gly. •

•

•

•

...TI1 e atte111 pt to tt1rn a11 order for tl1 e exter111i11atio11 of 111illio11s of i1111 oce11 t JJeOf)le i11to a jJolitical act \'vitl1 tl1e ai111 of tl1 t1s exe111ptir10fron1 tl1eir JJerso11 al cri111i11 al respor1 sibility tl1ose \Vl10 gave, a11 cl tl 1ose \xrl 1� carried ot1t the order, is of 110 avail.... •

•

•

•

...Accorcli11g to tl1e J)Ositive la\xrs of tl1e State of Israel tl1 ere is 110 st1cl1 jt1stification, to excuse tl1e accusecl fro111 res1Jo11 sibilit:}' for tl1 e cri111 es l1 e committed, altl1ot1gh co111111itted at tl1e co1111 11 a11cl of 011 e of tl1e State au t11orities. •

•

•

•

220.... In civilised cot1 11tries, tl1 e rejectio11 of the defe11 ce of ''sttfJe­ rior orders'' as exe1111Jti11 g co1111)letely fro11 1 cri1ni11 al resJJ011 sibility, l1as 11 0\xr become ge11 eral. Tl1 is \xras also acl<no\xrledged by tl,e Oe11 eral Assembly of tl1e U11 ited Natio11 s, bei11g 011 e of the 1Jri1 1ci1Jles of tl1 e Lo11 do11 Cl1 arter a11d of tl1e Judgme11t i11 tl1 e case agai11 st tl1 e Iv1ajor War Cri11 1i11als (Resolt1 tio11 of tl1e Plenary Sessio11 1 No.55, clatecl 11.12.46). Perl1a1Js it is 11ot a vai11 l1ope tl1 at tl1e more tl1is convictio1 1 beco111 es rootecl i1 1 tl1e 111i1 1cls of me11 tl1 e n1ore will tl1e)' refrai11 fro111 followi11g· criminal leaclers, a11d tl,e Rt1l� of Law a11 d order i11 tl1e relatio1 1s bet\vee11 11 atio11s \Vill be stre11gthe11 ed .accoreli11gly. It is to be poi11ted ot1t l1ere, tl1at ev_en tl1e jt1rists of tl1e TI1ird Reicl1 ,did not dare to pt1t 011 JJajJer tl1 at obedience to or�l�rs co111�s _above all. They did 11ot repeal Sectio11 47(2J of tl1e German 01l1tary Cr1!111!1al Code, ·wl1ich states tl1at whoever con1 m1ts a11 offe11ce aga111st tl1e Cr1m11 1al La\xr, t11rot1gl1 obedience to a st1perior's order, is JJL111 isl1able as a11 acc?1111J_lice to a cri111i11al act if ]1e l<11ew tl1at tl1e order co11cer11ed a11 act \xrl11cl1 1s a crime or an offet�ce accordi11g to tl1e ge11eral 1\llilitary La\xr.Tl1is jJrovisio11 was applicable also to SS men, accordi11g to tl1 eir 1a\xrs of jt1risdictio11 (vide exhibit T /1402/a, p. 15, 21-22). 221. Of course, the acct1sed well k11e\X' tl1at tl1 e orcler for tl1e pl1ysical extermination of the Jews was manifestly ttr1la\vft1l, and tl1 at by carryi11g out this or.der l1e was co111 mitti11g criminal acts 011 an e11or111ot1s scale.... •

•

• •

220

THE AFFIRMATIVE DEFENSES

_f crime s comr,,i tted o es ri ]e o se a l1 t w u b e, im cr le g n si Tliis \�as not a accused l1ad m o re tl1�n enougl1 time _ t o co11sider 11is over tlie years. TI:e �r�m tl1em. But he did not stop; a s t11ne went 011 Ile t is es d to id ai s n o ti ac . y t i v i t c a s i 1 l d e s a even incre • • • • 011 ly obedience 10 t. 1� l t_ e_ tis nc vi on c _ to d ie tr _ ed 1s cL ac .11n 1 11 all l11s ac t1v1t1e�, tl1at �nly b!i 22s. BLtt tlie 1 ii d 1 l_ ec d Lit f 1d 1 a d te \ra ti orders mo 1e , 1s t1 1?) g a1 11n rs tl o l1 ge er av ad ce cl (K 11 hi 1e w 1 ed ob e il< -l er av ad ''c e obedieiic f l_ as 1 i11signifi­ se a! m h1 ed 1t e1 es e 1 �r I hy � is t l1a T e. silei,ced 1{is cot1scie11c h it 1ch he liad rs l1 w te w at l m al 1n n ow s hi of 11 io 1 1 1Ji 0 · no cant official with . rk o is w l1 in e v ti ia it in ll a in g 11 to deal, and as lacl<i 11t co111ext, when re ffe di a in n tio ga le al is tl1 d se us sc di We l1ave already _ so at at al th pe i re rd e ga � re v o\ N 11g . s g_ i11 do al tu ac s d' se cu ac e tl1 g tin eval11a s ed to l1a tri he h a\'{/ tc dr \Vh re 1 L ct for p1 1 e tl , ri< \�O s hi to de itu att l1is inner cl 1 obedience as su ve ga d se ct1 ac e th at tl1 e tru is It e d. rt sto di ely us is entir n an ma SS in \vl1om as d an ist ial oc l-S 11a tio Na :l o<'. go a 1n fro ed was de mand t an no es me t do tl1a t tha he t 8L1 d. ate L1lc inc ly e1J de s wa nce die e ob 11d bli 1 01 1 e contrar)', tl so. do to d ere ord s \va l1e e at1s bec 1ly 1 0 l< tas l1is d e fulfill lie carried it out, at every stage, also becattse of an i11ner co11victio11, wl 1olel1eartedly and willingly....

Tl1e court \ve11t on pair1stal<i11gly to docume11t each of its conclusions. for the releva11t Israeli legislatio11 see, Sect. 19, Criminal Code Ordi11a 11ce ( 1936) a11d Sect.8, Nazis a11d Nazi Collaborators (Pt1nishme11t) Law (1950). Questions 1

2.

3. 4.

5.

Is C_o11trol �01:111cil Law No. 10 as ado1)tecl by tl1 e fot1r major allied po\v. e rs 1_11_ Berl 111 111 1945 ex post fcicto l e gislatio11 (see Note 2)? U11der \'vhat IJrov 1s1011(s) of- tl1e Pe11al Code or Co11stitt1tion of Etl1io1Jia mial1t it be a�tacl<ed?. ShoL1ld fiscl1er be juclged t111der Gern1a11 la\x, at tl1e ti�e \vhen l11s experime nts \Vere acco1nplisl1ed? \Vere tl1ere otl1er alternatives to the enact1ne11t of Control Cot1ncil La\x, No. 10 i 11 1945? Are tl,e basic provisi�ns _of Co11tro1 Co\11 1ciI La \XI No.1 O i r1corporated \vithin t �e p elial Cod� of Etl11 ?P 1 a? Cottld Et l1io1Jia asst11ne jt1risdictio11 a11d tr)' fritz · f1scl1er f·or crimes aga 111st l1L1111a 111·tY a11 ct c1v · · re \xre · er · cl1 1 1· f1s 1 a11 t10 1f 1s 1 1la JJt IJO . t0. be foui, d wit· h.1 11 _ti,� territory of Etl1io1)ia? Do es Art. 17 P.C.E.co11forn1 WI tl1 t! ,e gei,eral prt nci pies of cri1n in al j tt risdictio11 in i11ter11atio11al la\'\/? . Is Art. 70 better frariied to r e�oiict. 1e d1ff1 .. cult a11d co11flicti11g jJOlicy . 1 Cou11c 1l La co11sideratio11s tlia1·1 Co11t 10 · o tl1er \x,r 1e N 10 t J or ) (b o A (4 , . rt. II ) con11Jarative legal positiolis ,as set OLl t c 1. 11 Note 2? Are yoL1 1Jerst1aded by tlie a gu e11t t \X/l r fo er t1 �11 e fis � , itz 1,s fr te cte of � resrJect t_o su,Jerior order s? w 0 Tct e 1Jtance of t�1s de fense logically lea �cc to_ excus111g all but Adolf I-litle� for 1 . l1 _ i r Ger . man otl1e atro c1t1es? 011 tl1e a� d? 1111gl1t 11ot e xteiisioi, of tlie 1J 1 os ctitioi, lt. gui al argu n1ents lead to L111ivers Does Art. 70 solve tl,is ct·l t a�. o by the District Cotirt of J e���sa� etn �111 }'OU �gree \Vitl1 the position taken tlie E1cl1n1a1111 trial (Note 2)? 111 you,r_ o1J1.11 1.on, was tl1e ·t1cl ·. . l i tary Tri bu11als i11 tl,e case 1 0f gf�1 1t �n d se11 te11ce of tl1e Nt1 rem be rg �i\ l 11tz f1sc l1er jttst?

221

SUPERIOR ORDERS

Problem

What are the best argume11ts \vhich could l1ave been fJttt for\vard u11der Art. 70 (assuming it had existed at tl1e time) for botl1 tl1e prosect1ticn a11d the defe11se of a fascist colonel \vl10 l1ad con1mitted atrocities on order of l1is commandi11g general in Etl1io1Jia clt1ri11g tl1e occupatior1? Recommended Reaclings

l-Iear11, The Order to Fire a11cl tl1e Defe11se of Stt(Jerior Orders, 2 Rl? oclesia arld Nyasa/arid L. ]. 53-75 (1962) (a good, altl10Ltgl1 no11-1Jrofessio11al, state1ne11t of tl1e co1111Jarative Ia,v of su1Jerior orders ,xritl1 res1Ject to a11 order to fire 011 civilia11s cattsing fJLtblic clistt1rba11ce). U11 ited States, I ar1d I I Trials of tl?e War Cri,rii,zals Before the Nure111berg 1Vlilita.,y Tribt11zals (extensive transcri(Jts of tl1 e 111edical cases). Woetzel, Tl,e N11re1nberg Trials i,z lnternatio1ial Law (1962) (a con11Jrel1e11sive treatme11t of tl1e Nt1re1nberg trials u11der tl1e 1Jri11ci1Jles of i11ter11atio11al la\v). Do11nelly et. al., Criminal Law 62-71 (111aterials 011 tl1e medical ,var crimes trials at Nuretnberg). Lord Rttssell, The Trial of Adolf Eic!?1narzn 310-314 (1963) (a sl1ort historical treatn1e11t of tl1e defe11se of st11Jerior orders). Pearl n1a11, The Ccipture a,2d Trial of· Adolf Eich111a11,z ( 1963) (a very reaclable ac­ COLt11t of tl1e CI!tire dra1na of tl1e Eicl111 1an11 trial). Oern1a11 Foreign Office, Manital of Gern2a1z Law 81 (1952) (sl1ort state111e11t of Germany's prese11t JJOsitio11 ,x,itl1 reSJJect to tl1e clefe11se of st11Jerior orders). feldbrugge, Soviet Crinzi11al Law, 9 Law i,z Easter12 E1-,rope 122-124 (1964) (SLljJe­ rior orders in Soviet cri111i11al law). SECTION B. LEGITIMATE DEFENSE

a. Defense of Self, Anothe1· or P'roperty PENAL CODE OF ETHIOPIA Art. 74. - Se lfDefence. An act do11e u11der the 11ecessity of self-clefence or tl1e defe11ce of anotl1er person agai11st an im111i11e11t a11d u11la,v-ft1l �ssattlt or a tl1reat of �n assau!t directed agai11st a legally protected belo11g111g sl1al� 11ot be pun1sl1a�le 1f tl1e assat1lt or threat could not l1ave bee11 otherwise averted and 1f tl1e defence \xras proportionate to tl1e needs of_ tl1e case, in particular �o tl1e da11ger and gravity of the assault a11d tl1e importance of tl1e belo11g1ng to be defended. Tl-IE SOURCES Of TI-IE LAW

•

Imperial Codification Corn111issio11 of Etl1iopia Art. 74. - Legitime defe12se.

N'est pas pt111issable I'acte co111mis dans la 11ecessite de defendre soi-meme

222

TliE

AFFIRMATIVE

DEFENSES

. ne attaque ott d' L111e menace d'attaq�1e imminente et contr aire ott a Ltt1:u1 d'L ou taque sa c at l' s1 ge, prote e11t quem uridi mena · 1 t bie11 e u11 re at1 drott co11t ' por t· pro t es ne 1on a · d · e e s1 'f ens 1 et e ' t aux 11e. IJeut e"t.ie ecartee aL1tre1nen ue a e tt q t a a l' ' e ·t' d a 1 1 e a av 1 l'' et gr ' er ng da t L or mp a t en 11m ta1 110 · s , e. 1c a1 s t n o rc c1 ta11ce du bie11 attaqtte. Code Pe11al Suisse Art. 33. - Legiti1ne defense.

Celui qtti est attaque sa11s droit ou me11ace sans droit d'une aJtaq�e irnmiiiente a le droit de repousser l'atta9ue par d�s moyens proport1onnes aux circonsta11ces; le me111e droit appart1ent aux tiers. •

•

•

•

Penal Code of Switzerla11d8 Art.33.- SelfDefense. If a JJerso11 is assaulted witl1011t cause or is presently threatened with an assault, tl1e assaulted JJerso11 a11d everyone else (around him) are authorized to resist tl1e assault by suitable means. . . . LEGITIMATE DEFENSE IN SWISS PENAL LAW9 Paul Logoz

Legitimate defense u11der Art.33 exists wl1en a legal right is attacked (i.e., property, sexual ho11or, liberty as well as life or limb) ....The defense of a11otl1er, in cases wl1ere it is legitimate, is not obligatory.011e who witnesses a11 L1nj11st attack directed against a third JJarty is not bot111d to i11tervene but l1e l1as tl1e rigl1t to do so.If he interve11es to reJJUlse tl1e attack, l1is act is as lawf Ltl as if he \xrere defe11di11g l1i1nself. Legitimate defe11se is a defense. It presttpposes, tl1erefore, a11 attack a11d - as a11 act of private jL1stice - an im1nediate attacl<, tl1at is either actual or at least, im�inent ....As soon as tl1e da11ger l1as passed, legitimate defe11se 110 longer ex�sts.If, tl1erefore, tl1e aggressor l1as fi11isl1ed l1is attack (if for exa1nple tl1e rape 1s co11su1n1nated), tl1e victim \xrl10 tl1e11 stril<es the aaaressor commits a11 illegal act; tr1is wot1ld be an act 110 longer of defe11se bu t0�f vengeance. •

•

•

•

b. The Duty to Retreat BROWN v. UNITED STATES Supreme Court, 25 6 U. S. 335 ( 1921) United States

[Reversing a co11victio11 for t)lLtrder i11 the second degree]; JJer Holmes, 8. 9·

Translation, Friedlander an d Goldb · er0o' 30 J• Crim · . L· Crim · d . · an . Po . I Lo·o::,oz,, Corn1nentair Sc 1-. ' Supp· (1939). e dII Code Penal Suisse 133134.

LEOITIMt-\'fE DEFENSE

223

J:. ···The

other qt1estio11 concer11s tl1e i11strt1ctio11s at tl1e trial. Tl1ere l1ad be�11 trouble betwee11 I-Iermes a11d tl1e defenda11t for a Io11g ti111e: Tl1ere was evidence that Hermes had t\vice assat1lted t11e defe11clant \Viti, a l<11ife a11d l1ad made tl1reats commu11icated to the defe11cla11t tl,at tl,e 11ext ti1ne, 011e of tl1en1 \vould go off i11 a blacl< box. 011 tl1e day ii1 qt1estio11 tl1e defe11da11t \vas at t�e place above menti·o11ed st1perinte11ding excavatio11 \v'Ork for a fJOstoffice.111 v �e\v of I-lern1es's threats l1e l1ad tal<en a IJistol \Viti, I 1im a11d l1ad laid it on his coat LtJJOn a dttmp. I-Iermes \Vas drive11 111J by a \witness, i11 a cart to be loaded, a11d tl,e defenda11t said tl,at certain eartl, \vas 11ot to be re1noved, \vl1eret1po11 I-Iermes came to\varcl l1i111, tl1e clefe11da11t sa1rs, \Viti, a l<11ife. Tl1e clefen�ant_ retreatecl some t\ve11ty-five or tl1irty feet to \Vl1ere l1is coat \Vas a11cl got 111s JJtstol. Her111es \vas stril<i11g· at l1i111 a11cl tl1e clefe11da11t firecl fottr sl1ots a11d l<illed l1im. Tl1e jt1dge i11strt1cted tl1e j11ry a111011g otl1er tl1i11gs tl1at ''it is 11ecessary _to re1nen1ber, in co11sicleri11g tl,e qt1estio11 of self-defe11se, tl1at a jJarty assa11lted ts al\vays t111der tl1e oblio·atio11 to retreat so 10110- as retreat is 01Je11 to l1in1, JJrovided that he ca11 do �o \Vitl1ot1t st1bj�cti11g l1i�1self to tl1e da11ger of death or seriot1s bodily l1ar111. Tl1e i11strt1ctio11 \Vas rei11forced by tl1e f11rtl1er i11timation that ttnless ''retreat \VOttld l1ave ap1Jearecl to a 1na11 of reaso11able JJrude11ce, i11 the positio11 of tl1e defe11dant, as i11volvi11g da11ger of deatl1 or seriot1s boclily l1arm'' tl1e defe11da11t \vas 11ot entitled to star,d l1is grot111d. A11 instrt1ction to tl1e effect tl1at if tl1e defe11cla11t l1acl reaso11able grot111ds of apprehensio11 that lie \Vas in da11ger of losi11g l1is life or of sufferi11g serio11s bodily 11ar1n from Hern1es lie \Xtas not bou11d to retreat \\'las reft1secl .... •

•

•

•

... Tl,e failt1re to retreat is a circt1111stance to be co11sidered \Xtitl1 all tl1e others in order to deter111i11e \X1l1etl1er tl1e defe11da11t \ve11t fartl1er tl1a11 J·1e \Vas jt1stified i11 cloi11g; 11ot a categorical jJroof of gt1ilt. TI1e la\v l1as gro\v11, a11d eve11 if l1istorical n1istal<es l1ave co11tribt1ted to its gro,vtl1 it ]·1as te11cled i11 tl1e directio11 of rules co11siste11t \Xtitl1 l1t1111a11 11atL1re. Ma11y res[Jectable \Vriiers agree tl1at if a 1na11 reaso11ably believes tl,at lie is in in1111ediate cla11ger of deatl1 or grievot1s bodily l1arm fro1n l1is assaila11t l1e may sta11d l1is grot111d a11cl tl1at if he !<ills l1in1 lie l1as not exceeded tl1e bot111ds of la\vfttl self-clefe11se.... Detached reflectio11 ca1111ot be cle111a11cled i11 tl1e JJrese11ce of a11 LljJlifted l<nife. Therefore i11 tl1is Court at least, it is not a cor1ditio11 of i1nn1u11ity tl1at 011e in that sitt1ation sl1ot1ld pause to co11sider \vl1etl1er a reasonable man 1nigl1t 11ot thi11k it possible to fly with safety or to disable his assailant ratl1er tl1an to kill hitn.... LAUBE c. KURER

RO 86 JV 1, ]T JV 144 (1960) Switzerland

After having J1 ad so1ne trot1ble \Viti, Lau?e, Kttrer \Vas drivi11g off in l1is car wlien liis adversary ca111e for\vard and ft1r1ot1sly grabbed tl1e l1a11clle of tl1e door intending to begi11 a figl1t. 111 so.doing, Lat1be's glove arid l1a11d beca1ne caugl,t in the handle \vl1icl1 forced l11m to �t111 a11d be clragged by tl1e car whicl, kept i,,creasing its speed.After about f1ftee11 meters, he fell on tl1e eclge of the sidewalk and was injured. Laube having preferred a charge for .bo�ily i11jury, tl1e Tribt1nal of tl1e District of Zurich se11tenced Kt1rer for v1olat1on of Art. 125, para. 1 of tl1e Pe11al Code. 011 appeal, the co11de1nned man \Vas acqt1itted by tl1e Ca11to11al Tribunal, wl·1icl1 applied Art.33, para. I of the Pe11al Code.

224

TliE AfflR!V\ATIVE DEFENSES

e of o sf tran he r _ t , sion the deci this of rsal case reve t for Laube appealed o 11 e 1t1 tl1 a1 gr 1d e a1 ed tl1 1s g of ct ac g 111 f 1c e1 11t se d atn tl1e Cat1t011al Tribtti,al for ages to tl1e plai11tiff. Tl1e ajJpeal is rejected. Sunz11zary of Reaso12i12g: Tl1e aJ. Jl Jell�11t i_s of . tl1e 01Jinion tl1at tl1e p rovisio11 on self-defe,,se does 11ot a1JtJly to this s1tt1at1011 111 -tl1at Kttr� r l1ad fled. He states t11at self-defeiise can be bt1t a11 act of clefe11se a11d 11ot fl1gl1t, for l1e \Vl10 flees reft1ses to defe11cl l1i111self (RO 79 IV 152, JT 1954 IV 37). �fhis reaso11i110-0 is correct as far as it ad1nits tl1at, as sucl1, flight i11 the face of a11 attacl< cloes 11ot co11stitt1te a11 oppositio11 to the legally p rotected i11terests of tlie assaila11t a11d tl1at, to tl1is exte11t, it ca1111ot be a defe11se accordi11g lo tl1e se11se of Art. 33, {Jara. l of tl1e Pe11al Code. Ho\vever, fligl1t a11d defe11se are 11ot 11ecessaril�>' i11co1111Jatible. Tl1e JJe rso11 \x,ho is attacl<ed or directly tl1reat­ e11ed \X1itl1 a11 agg ressio11 and wl10 does 11ot i11tend to JJ reJJare l1i1nself for a figl1t, bt1t ratl1er to bacl< ot1t of it by fleei11g, mt1st not necessarily forego all resista11ce. I-le may rt1r1 a\xray a11cl >ret defe11d l1i1nself by merely coveri11g l1is esca1Je by ar1 act directed agai11st l1is assailant to pre,re11t l1i1n from attacl{i11g or fro111 carryi11g 011 l1is attacl<. Even lie \xrl10 defe11ds l1imself 011ly fo r tl1at J)L1 r1Jose re1Julses tl1e attacl< in tl1e se11se of A rt. 33, JJara. l of tl1e Penal Code a11d, if tl1e otl1er co11ditio11s are ft1lfilled, ca11 i11vol<e self-defense. Tl1is is a case \xrl1ere flight a11d a11 act of defe11se tool< place si1nt1lta11eous­ ly. Kt1rer, wl10 \x,as slowly d rivi11g ot1t of tl1e yard, did 11ot sto1J \\7l1e11 tl1e aJJJJella11t 111otio11ed l1i1n to do so becat1se lie wa11tecl to avoid comi11g to grips \xritl1 a 1na11 \X1l1ose }Jl1y1sical st re11gtl1 \Vas SllJJerio r to l1is. Wl1e11 Lat1be, i11 a rage, tl1re\x1 l1in1self 11JJ011 tl1e 1-igl1t l1a11cl doo r of tl1e car a11d tried to 01Je11 it by force in .order to mal{e K11rer get ot1t, tl1e latter i11creased l1is S{Jeed to IJ�otect l1i_1nself bJ' jJreve11ti11g tl1e assaila11t from carryi11g ot1t l1is \Jla11. lie used 1'11s car, s1111ulta11eo11sly, as a 111ea11s of escaJJe and of defe11se. Cot1r de Cassatio11. - .l\1M. Fassler, lvlt1l1ei1n, Bacl1tler, Perri11 a11d Grisel

c. T1ae Requireme1it o ProJ.DoJ·tion(tfity f

KOLLER c. MINIS�fERE PUBLIC DU CANTON DE SAINT-Oi\LL RO 79 IV 148, JT J[/ 34 (1954) Swi1.zerlcc.11d �i1 tl1e 26tl1 of October, 1951, a'fter 10 fJ.111., Otl1111a11 Lel1n1a1111, a bt1tc! 1er, bor11. _111 19�0, a11cl I-la11s Sole11tl1aler, caretal<er of a scliool bor,1 iti 1917, both 1111de1 tl1e 111flt1 11c� of alcol-101, 111et t_\x,o fifteer1 >'ear ol d bo Al red Sala orni ys f , � atid �rl Scliltii_n_pf, \Vl�o were retL1r11111g· fro111 a bO)' 1a1111, Le l1n sc n1e ot eti 1t 11g � . accoi_c ! 11�,,. to 111s state111e11ts to Sole11tl1aler, \Xlas ''lot1d· 111 at 01 11e tl1 11t at m�tit�1111g , Ii� tl7 e11 follo\X,ed tl1e bo>,s a11d tool . · · . < 1i tl1 Sa e la bi or cy 1 cl of e [ �fte1 tl1e btC)'Cle �as tal<e11], tl1e boys, \xr\10 l1e of di d r 11o 1-1 ei t 10 tl1 \x, e t cl 1 1111l< n1e11, \X'e11t to f111cl t11.ei 1- c�tl t clite · e vralte r Koller, a11\ 111s · f , ,\rv Jl en 1 t1r a11 ce 1 oy� bor11 i11 1925 a,,d as1<e_c1 11 nn 1 .or he\p.. Ko in ol Ile r pu pi t st a lo W ad al th ed er his pocket in' order' e n hei� if It :vas necessary and they left to try to find the bicycle Aft��- � i! ,? io / u I s an d 111 the s he oy co m b pa ny tw of th o e n1et Leh1nann a;,d Solenthal:.1 \Vllo \,,e1 e leav111g a 11e\v1 clr1r1l<ino· establ1s1'1111 en t b

..

. .

'

LEG11-Ilv1ATE DEFFNSE

225

ancl beg·i ni1 i11g to w�Ik along tl1e Iiei111ats:rasse \xrl1ile jJLtsl1i11 g tl1 e stole11 b icycle. Karl Schltrn11Jf JJol1tely asl<ed tl1e two n1e11 to give l1 i111 tl1e bicycle. Bt1t Le lima1111 a11 d Solentl1aler beg·a11 to botl1e 1 tl,e t\vo boys, 01 1e of \x,1·10 111 received a blo\v. �lie n I<oller asl<ed cal111 I)' a11d · 1 1 a very fJro1Je r to11e -for tl1 e rett1r11 of ! l1e bic ycle, tl1ey refttsecl. Koller orcle :ed o11e of tl1e boys to fJl10 11e to tl1 e fJOlt�_ e � bti� 11� was t111 able to as lie cocl� 11ot fi11cl a t\v�11ty ce11ti111 e J)i�ce. Dttr1 nb tl11s t1 11 1e , S0Ie11 tl1aler beca111 e ftu·1ot1s, S\'{!e ari 11 g· v1ole11 tly a11cl exc1te d 1111 to SL1cl1 art _ext e1 1 tl1 at l�e began to rt1 sl1 u1Jo1 1 Koller. �oiler bac_l<ecl L �l1n1a _ ! a\x ay a,,d tool< tl1e JJ1 stol rror11 !11 s 1Jocl<ct arid .. . fired a \var11111 g · sl1ot 111 to ! I,e grotttid. Lel1 n1a1111 l1avi11g· seized l1i11 1 by the tl1 roat, lie fired a seco11d ti111e 111 to_ tlie grot111d. I11 tl1 e cot1rse of tl1e e11 �t1i11g· figl1t \vliile tl1e co111 batants \Vere :01111:g 011 tl1 � grot111 d, I<olle r, \Vl10 l1 aci 1 -cld tl1 e JJistol i11 l1 is l1 a11ci, ir1volt1 ntar1ly fired a tl-1ird sl1 ot i11to tl1e cl1est of L�l 1ma1 111 l<illi1 1g l1i111. Tl1 e Ca11to1 1 al Trib�111 al of Sai11t-Oall convictecl I<oller for 11 egligent l10111icide . (Tl1e Cottr� of Cas_s�t1011 rever�ed, stating· i11 JJart tl1at tl1e qt1e stioi 1 of self­ clefe11 se,_ be111g SL1bs1 c! 1�r)' to jJol1 ce jJroce�s, 111t1 st be se JJarated fro1n tl1e t1se of prOJJOrt_1011ate 111ea1 1s 111 actual se lf-defe11� a11cl \XJl1 e11 011e balar1ced 11 ot or1ly t l1e se r1o_t1 s11 ess of tl1 e attacl< a11cl the in11Jorta11ce of tl 1e right attacl<ed, bL1t also the rmfJOrta11ce of t� 1e rigl1t tl 1at tl1 e defe11 se jeo1Jarclizes or JJL1ts i 11 dailger, t�1e means Ltsecl b)' Koller L11 1der tl1e circtmsta11 ce s 111 L1st be co1 1siclerecl 1JrO[JOr­ tio11ate.] lvlARWA S/0 R1)Bf v. REX East Africarz Court of AJJjJe1.-Ls, 195 9 E. .11. C.A. 660 l(e11)'"

Tt1e follo\ving· jt1clgn1 e11t \vas reacl b) clire ctio1 1 of tl1 e court:Tl1 e afJfJella1 1t \Vas convicted of 111 t1rC:er bJr tl 1e SttjJret11e Cot1rt of I<e11J,a on May 12, 1959, a1 1 d \Vas se11t encecl to deat l1. J Ie - l1 as a1J1Jealed to tl1is cottrt 011 t\VO grot1nds: first, tl1 at tl1 e lear11 ed irial jL1 clg·e 11 1isclirectecl l1 i111self as to the la\v apfJlicable to case s of l10111 icicle i1 clefe11 ce of JJro1Jertj,; a11cl, seco11 clly, tl1at t11 e lear11ed jttdge erre d i11 fi11 cli11 g· that tl1ere \,,as 11 ot SL1 f-ficie1 1t jJrovoca­ tio11 to redLtce tl1e offe nce to 111 a11 slat1g·l1 ter. Tl1e facts are at abot1t 1 jJ.tn. 011 November 15, 1958, tl1e decease cl le ft tl1e bo1 na of 011 e Cl1acl1a s/o Ngoso a11cl \vert to\,,ards the borna of tl1 e a1Jpe lla11 t, \vl10 was l1is fat} 1er-i11 "law. Tl1 e a1JJJella11 t'3 bo111a \x,as abot1 t 1/4 1nile dista1 1t fron1 that of Cl1acl"1a. Shortly afte r tl1e de ce asecl le ft, Cl1 acl1a l1 eard a sl1ot1t from tl1e directio11 of the aJJjJe !la11t's bo11a, a11d, 011 goi11g i11 tl1at clirectio11 , met the dece ased w·I10 \x,as st1fferi11g fror1 a s1Jear \Vot111cl tl1rot1g·l·1 l1 is rigl1 t tljJper arm i11to i1is che st. Tl1e cle cease d \'.\all<ecl \Vitl1_ Cl1acl1 a for s0_1ne clistar1ce towarcls tl1e latter's bo111 a tl1e11 collapsed, lost co11sc1ot1s11ess ancl died. 011 }Jost 111orte1n e xatni11ation tl·1e dece asecl \Xlas fo11r1cl to l1ave a11 i11 cised \X/OL111cl six incl1 es 1 011g througl1 tl1 e sl<i11 a11d 111 11scle of_ tl1 e rigl1 t arm _a11 cl a stab \X!OL1_11d into the rig!1 t side of tl1e cl1e st abottt seve·1 1r1cl1e s _lo11g goi11g be t\x,ee n tl1e ribs a11d e11te ring the 1niddle a11d lo\ver !obes o·� tl1e r1gl1t lt111g:. Tl1e caL1 se of cle atl1 \Vas haemorr11 age fro111 the \'v'OU11cls 1 11 tl1 e r1gl1_t ar111 a11 d r1gl1t cl·1est. Tl1 e t\xrO v1ounds a1Jpearecl to have been cat1sed by _ a s111gle blo\v of a lo11g sl1aftecl weapo11 suct1 as a sJJear. Wl1en charg·e d \\'1tl1 tl1e 11 1t1rcler of tl1e deceased tl1e appellar1t said i11 a11swer to tl1e cl1 arge: ''I wisl1 _to Sa)' tl1at I SfJeared n1y son­ in-law Oati s/o Maf1 anga to de ath''.. At :lie �rial tl1e a1JJJella11 t 111ade a11 t111swor11 stateme 11t in tl1e coLtrse of \x,l11cl1 he said:

'!

-' . . .

.! •

'

.

.. ' . ·.,..... • • .

226

TliE AFFIRMATIVE DEFENSES

tl1e e ta1< tle s cat wa to i11g 11e go d sai by a11d e 1 1 ca1 force cl e eas clec 1 ''Tl e 1 ot obe y wl1at tl1e elders told him a11ct 1 lcl wou i: . d ease clec Tlie take attle by force a nd that is to c the rted a st nd a a bom '111y ���a::· t� \'-:' 11e11 I I<i11ed 11 i111." ing us ca , ed e the as th ce d a de e r_ e sp wounds a nt ell pp a the t tha _ ar It is cle cle ar also that the 1s It nd. so fou g� 1ud rned a le the nd a , in died he fro which appel\ant and the the een te tw pu be dis the a of ult res the as d spearing occurre 1t la1 ap Jel tl1e s to d 11e l1a go 1 sed cea boma to d� tl1e 1 e11 \vl , tle cat er ov ed cleceas . . . . ed 111 a1 cl ed as ce de e tl1 1 cl l1i ' \'-: e ttl get ca rred to s. 18 of tl1e . Penal Code, \X'l1ich i"i,� iear11ed j11do·e correctly refe provides that crin1i n;l responsibility for the use of force 111 defence of person or JJro1Jert)' sl1all be determi11ed accordi11 g to the princi1Jles of Englisl1 coin111011 la\XI, a11 d }Jroceeded: ''Wl1ilst not attemJJtino· to set out a comprel1ensive statement of the la\XI tl1e broad 011tli11e of the E11glish co1nmo11 law is tl1at it is a good def�11ce tl1at tl1e battery \vas co1nn1itted by tl1e prisoner in defence of l1is 1Jossessio11, force 1nay be OJJ!Josed by force, b11t only s11c_l1 f_orce is just­ ified as is 11 ecessary for tl1e defe11ce of tl1 e 1Jro1Jerty, tl1at 1s, 1t must 11ot be excessive. See Arcl1 bold, 33rd ed. JJ. 998.... Tl1e assessors were 11nan­ i111011s i11 tl1eir OJJi11io11 tl1at Oati clid 11ot receive l1is i11 j11ries under circ11111sta11 ces wl1icl1 establisl1 ... defence of his propert)' a11d I agree 1 1 1 1 witl tl1eir OJJi1 io11 a1 d so fi11d.' •

•

•

•

•

•

•

•

•

•

•

•

...Altl1ougl1 ...it 1n11st assu111ed i11 tl1e appella11t's favour tl1at tl1e deceased l1ad 110 legitimate claim to tl1e cattle, yet it is clear on the evide11ce that tl1 e deceased believed l1e l1ad a claim of rigl1t to tl1e cattle. Tl1e disp11te \X1as 11ot a 11 e\v 011e a11d tl1 e deceased did 11 ot act i11 a stealtl1y ma11ner. He we11t 01Je11ly to tl1 e aJJ{Jella11 t's boma to exercise a rigl1t to \xrl1icl1 l1 e ob\1iously be_lieyed l1 e \,:,as e11 titled. 111 tl1 ese circ11msta11 ces he \VOttld not be guilty of a11y cr1m111 al offence: Penal Code, s. 9. Nevertl1eless l1is act a11101111ted to a serioi1s tres1Jass, a11cl we tl1i11l( tl1 e aJJpella11t was e11titled to tal<e reasor1able steps to preserve l1is JJro1Jerty. Tl1e cases relati11g to tl1e steJJS \X1l1icl1 n1 a;' be tal<e11 to 1Jreve11t tres1Jass, so far as tl1ey are available to 11s i11 dicate tl1 at only so 1nuch !�rce as is reaso11 ably 11 ecessary i11 order to tt1r11 � tres1Jasser 011t will be just1f1ed. . .. ... No doubt in clrivi11g off tl1e ·cattle tl1e deceased \xras co111n1itti11g a tresJJass, b11t tl1e 1nea11 s aclopted by tl1e aJJjJellant to 1·esist t1 1 e taki11 a of tl1 e cattle s�e1ns to u_s to l1ave bee11 11tterly 011t of }JroiJortion to tl,e tort \xrhicl1 \xras be111g con1rn1tted ....

d. An Objective or Subjective Sta12dard? SUDAN OOVERNIV\ENT v.ISI\1\AIL BUSHARA Major Co1,1,rt Confirnzat£on, A C-CP-140-195 6 1961 Suclart L. ]. 22 Si1.dan.

· :· AB� R�NNAT C. J · July 15, 1956: - The facts in the Summar r of Salie� acts ai e {Jl oved beyoi1d reaso11 able do11bt.The acc11sed {Jleads tl1e right

....

.

-.

.

.

I_EQITilvlATE DEFENSE

227

of private defence. Tl1e facts are sl1 ortly t 1ese: In the early l1 011rs of tl1e 111 or11i11g, \X11ile tl1e acc11sed a11d l1 is JJeo1Jle \Vere aslee 1), tl1 e deceasecl a1 1d three ?f his com1::c11 1ions raided tlieir lierd a11d tool< by f orce cattle a11 d a mare belo11g1 11g to tlie 1cc11secl. Tl1e tl1 ree con1 1Ja11io11 s drove tl1e cattle iii fro11t of tl1e1:1 a11_d \ve1 1t. T ie cleceased \'v'e11 t to tl1e grass li11t \vl1ere the accused a11cl 1 11s \xr1fe \Vere fast aslee1J. I- l e \'v'as carryi11 g a broacl bladed sl1 ar1J spear a11 d started to jJl1111ge it i11to tl1e grass l1 11t 1111til l1e ca11secl sligl1t i11 j11 ry to tl1e acc11sed's l1ead. J I- e also i11s11 Ited tl1e acc11sed by c11 rsi11g }1im i11 a 1011 d voice a11 d clialle11gecl l1i111 ·o co111e 011t. Tl1e acc11secl tool< l1is l<nife a11 d \,;;e11t 011t of tl·1e l1 11t. I-le 111et tie deceasecl i11 tl1e clarl< a11cl stabbed liitn several times 1111til tl1 e cleceased cliecl 011 tl1e SJJOt. Tl1e acc11sed's life \x,as tl1e11 at great risl<. I tl1i1 1I< t 11e acc11sed acted \X'i tl1i 11 11is rigl1t of IJr i vate clefe1 1ce 1111 der S11da11 Penal Cocle, s. 55.10 The deceased a11 cl l1i� con11Ja1 1io1 1s were robbers. Tl1e ac­ cused \Vas e1 1titled to ca11se deatli beca11 se tl 1e act to be re1Jelled \Vas a1 1 attacl< \x,·l1icl1 ca11secl reaso1 1able a1J1Jrel1e11 sio11 of deatl1 or gr i evo11s l111rt. Aclmittedly the acc11 secl stabbed tl1 e cleceasecl i 1 1discri11i11ately, but a11y 1Jerso11 \x,110 was in l1is JJositio11 co11ld 11ot do otl1 er\vise. I have, tl1erefore, re:fused tl1e co11fir11·atio11 of tl1e fi11 cli11g of g Ltilt)' tt11cler Sudan Penal Cocle, s. 253, a11 d direct tl1 at tl1e acc Ltsed be set at liberty fortl1\Vitl1. The case \Vas well tried. MISTf\KE N LEOITl l\tlA.TE Part! Loioz

DEfENSE 11

If any indivicl11al bel i ev�s b� 111istal<e tl1at lie i_ s 1111l�w_f1�ll� attacl<ecl _or 1111la\vf11lly tl1 reate11ed \Viti, an 1 111111111 e11 t attacl<. a11 ci l<1lls 01 111 J111 es _tl�e _ 1111�tal<e1 1 aggressor, he Jails 1111der Art. 19 C.P.S. (fV11stal<e ?! fact]. !lie 111Jt�1Y is 11o_t IawfLtl as it }ias not bee11 i11 flicted i1 1 a st,te of leg1t1111ate self-clefe11 se, l10\veve1, it l1as 11 0t been inte11 tio11ally ca11 sed a11 d tie offe�1cle�· 1nay, tl1erefore, 01 1ly be p11nisl1ed for negl ige11ce if tl1e circ11111 sta1 1ces so Jttsttf)'· REX v. KAJUNf\ S/0 l\ BAKE 1

East African Court of Appea:s, 1945 E.A. C.11. 104 Tangany·ka

J D l\ E NT e1·tver ct b SIR JOSE::>-J I SJ-IE RIDAN, C.J.) - TI1e acc11secl 1 e I 11. to atl de 11 ced 1te 1 cl se a11 e al< l\t\b r l1e fat } is 1 �f was r 1 1 �de conv1cte U (? d of 1e m L . . 11as appealed to tl1is CoL1rt. Tliere is 11 0 i ubt \Vliatever tliat lie deliberately � L .1 1e for tl,e JJLirjJose of doi1 1g killed his fatl:er! l1ay i11 g set 0.11 � 011 a �o��'· -r� �c �� 11; favo Ltr of tlie acc11sed the a so. The co1 1v1ct1on 111 oLtr �1)111 1011 w 11 0 1 i11 tliis case tlie acc11 sed l1 ad a11 Iear1ied trial J11dge stated: � In rny OJJI. 1_.

if

10.

Arts. 55 and 58, St1da11 Pena! C�de read: _ te d efence. d 111 t11 e l avful exercise of c}1e rig}1t of priva e on 15 ch wl 11 o ce fen of an act is 55. N _ r · o of more harm than it is 58. The rig c e 10 no case extcn cls to tile- inflictina · ht or private c Ieienc necessary co inflict for rl1e ,purpos � o f d e fence I l. Logoz, Co,nrnenLaire du Code Penal S11isse 136.

.

'

�-

l

'

J

·r HE AFFIRMATIVE DEFENSES

228

1 e l<illed 11is fatl1er t hat } at tl1e e ief tim bel 11, al<e 1ist 1 1 . . . . ibt dot l1011est, t!,o1 1 gl1 1 al 11s t mea t;�r d er11a cl1il s111J by as l1is i11g s l l<il 1t 1 1rely � � 11e 11101 . tl1e. latte1 \x,as a l1 at Tl1 a1 East JOn. weaJ l � a letl1a g t1sin of act Afric tl1e . 1 i11 l1i1n as if l1e l1ad see;1 l 11s JJOtnt, tl1ot1gl1 it t d ide w, dec l<11o I as far so er nev as 1 C_?tirt _of AJJ1Jfi l ' 0r aiiotl�er in ma11y cases i11 this Territo l1e ry 1 l1abita11t s �1 _ , t r111 a11s�s _11 1 o11e d_ bue 1 t_l1 a firn1 \V im ft and cra tc11 i w_ i� <ed l soa are as are e Iaro e · 1 1 . eal p ap 1t ?n t up pu ll wi IS int po ,be the if d�t ub do No s. irif rsp l e�� r l� �� . ief h bel 1n s 111s d use tl1e acc er 1 iat etl wh er s on 11 tur to in ct ded· It w· � 11Id see l1e cl1 ild was 11ot only t re inju to er 1 ord 1 i rits SjJi l evi of 1 1 0 1 t· oca . 1 v 11 . 1nalevo1 en t -· . · ·1· t · 1s a 1e fJt t 1 t 1 1a 1 1m f t e act h 1ve 11t ot1 acc A 1r _ 1 10 .11est b 1 t reasoi,able tal<111g 111 to . 1 s1cs, which I do 11ot proph) 1neta 011 Q" eri11 bord tion qttes · a d11· ct1·cult' '-" can. T11 at� 15 · · 1 b 1 sue 1 f' ct· tl t f a_ 1a e 1e 1ng . . 1s not Jose to discuss 1,ere.I sl1all 1nerely mal<e a ·1n n 1s1o 1ny dec et to ttps 1f I a1n l pea Ap of t our tl1e to it e leav atid ble oria �eas C

f�

\Vro11g. . . . •

•

•

•

The aJJpeal is dismissed. NOTES Note 1:

Excess of legitimate Defense

Art. 75 gover 11s tl1 e disposition of offe11ders wl10 l1ave excee�ed tl1e rigl1t of legiti111ate defe11s_e_ (the title an� ttse of the �er�11 ''self-defe11se' 1s tl1rougl1� u_ t 1 11 leg1t1111ate clefe11se ). To fall \xr1tl1111 Art. 75, l1owever, a leg1t1take 11 to 111ea11 1nate state of defe11se n1ust exist \Vl1 icl1 l1as tl1e11 bee11 exceeded. Waiblinger states in No. 1205, FiclJes Juridiq1,t,es Sitisses 10 (1958): It is 1 1ot excess of legitimate defense \vhen tl1e co11ditio11s of leg iti111ate defense are 11ot present, for example, \Vl1en 011 e allegedly defe11ds l1 i111sel f after a 11 attacl< i s already co111pleted. ... Art. 524 (a) is tl1 e Special Part article t1 1 1der \vl1ich a person wl10 has exceeded legitimate defe11se i 11 protecti11g ''tl1e jJri\racy of l1is l10L1se or 011t b1 1ildings'1 is cl1arged. 1

Note 2:

Provocation Under the Penal Code

Tl1e borderli 11e bet\vee11 legitin1ate defe 11se or its excess and a11 offense co1n1nitted LljJ011 JJrovocatio11 is 11ot \vell defi 11 ed. Sl1ot1ld tl1e fol lo\xri11g facts tal<et� from tl1e Ol1 a11aia11 case of Regi11a v. Ojojo, 1959 208 be Re p. G L. ha . n a co11s1dered excess of self defe11se or provol<ed l10111icide: �'I brottght a _ wife from Nigeria a11d a certain man from Toboasi is l <�efJlt�g her as l·1 1s O\v11 l1011se w - ife. Wl1e11 sl1 e co11ceived I sent l1er to N1ger1a ... . 011e Su1 1day I \xre11t to n1y cass tl1 e in av \v a as fa a1 rm 1d far1n \Vl�e11 t�1e !�ll?w ca111e_ by tl1 e foot1Jat}1 11ted 1! 11e ta ar tli a_ e ca 1 1d ss av a 111 e say 1 11g Tl1 1 s fello,v still here ,vl1 0 ca 1 11ot l1ave con11 ect 1 011 w1tl1 a 1 1 \voma11. I-le ft1_rtl1er told 1ne tl1at \vl1e11 111 re n ilc l y 1 cl ,v ife \V lio as se go ,g , i t t wl-�o acco 1111Ja11 1 ed belo11gecl to local fJeo se tl · 1 o p le at id th if at I d ic se li ,'t e cli: ilcl�e1 1. \vere brotigl1t bacl< I 1nyself old t \-v I o u ld b e . lo fa st rn tl 1 i1 1e 1 h1111 Will J1011 (Jrove to_ 11 1� t l1ose n Jd r� w l1 0 cl 1i ar e tl 1e fatl1ers o f tl1e \xrliom � liav seiit to N1ger1a' e ,x r if I fu y � rt l1 e m r to ld hi111 that \"Vl1e11 was lieie tliat. \vas llO\X' l1e 11sed to bel1ave i11 tl1e saine way b y telli ng 111e

.

. . .

.

,

.

. ..

� ,. . '

'

'

LEGITIMATE DEFENSE

229

t� at he r preg,, ancy was 11ot by n1 e . W 1e11 I saicl tl1is tl1e fello\v tried to f1gl1t �e - He li ad a CLttlass a11 d tri ed to Ltse tl1e cutlass 011 111e bt1t I �as q� icker to l<noc l{ �wa �, l1is c11tlass fro111 I1is l1a11ds a11d I t l1e1� l<ille d 1 ass . ct1tl 1 at 's all I liav e · o say .... 1 111y with 1 h111 " ' A11 offeri �e. co tnr 11itted i11 legitimate cle:e11se is 11ot IJL111isl1able ; \Vl1e11 i11 it 11'f! ate de fe nse, tl 1e J JL1r1isl1 111 e1 1t 111 ay be re dt1cecl (A rt. 75 (1)) or leg f ? xcess e no pt1n1sl1me11t 1m1Jose d \'{!l1e 11 '.'clt1e to e.:c11sable fear, st1r1Jrise or excite­ me11t · : . · (�rt. 75 (2)). P rovocat1011, 011 tl1� otl1e r l1a11 d, is co11siclerecl only as a m1t1gat111 g factor t111de r �r�.79, Oe11 er1l Exte11t1ating Circu111sta11ces, a11d Art. 524 (b), Ext_e �itiate d I-Iom1c1d e .TI1e 01111 available a11tl1oritative i11ter1Jreta­ tion of t�e fJ ro �1s1or1 s cor1cer 11i 11 g· fJrovocatio11 \Xtas decicled i11 Cri1ni11 al f\ jJJ Jea l No. 291/:J� (19°9 0.C.) by tl1e SttfJre111e hn1Jerial Cot1rt. Tl1e Cotirt l1eld in tl1e follo\v1n g \Xi'O rds, tl_1at co 11flicti11 g· e vide11ce \Xtitl1 res1Ject to a11 i1 1st1lt did not an1ot1nt to fJrovocat 1011 \v1l1er1 clefe11 da1 1t sl1 ot a11 otl1er \vitl1 wl10111 l1e l1ad been l1 aving a dis pt1te ove1· land: Ir1 cleali11g witl1 t l1e q11estio11 of 1:rov ocatio11 tl1e I-Iigl1 Cot1rt c a1ne to tl1e cor1cl11sion tl1a t tl1 e cie fence \vit11 r.sses were 11ot reliable i11 stati11 g th at tl1ere \Vas a11 argt1 1ne11t bet\veer1 tl1e a1JfJella11t a11cl tl1e cleceased a1 1 cl tl1at tl1e de ceas ecl l1 acl 11tterecl \x,orcls ol i11 st1lt to tl1e ap1Jella11t; tl1e J-Iigl1 Cot1rt g·ave reaso11s for co111 ir1g to tl1is co11clt 1sio1 1 a11cl tl1is Cot1rt fir1 cls 110 re aso11 for not ac ce 1Jt i11g tl1e co11clt1:;io1 1 of tl1e Higl1 Cot1rt; ft1rtl1er­ more, tl1e J-Iigl1 Cot1 rt a dde d, tl1a t i11 c cat1tio11 s state111 e11t 111 ade to tl1 e IJOlice duri11g t l1e i11v e stigatio11 tl1e a1J1Jella 11t l1acl said 11otl1i11g· abot1t tl1ese alleged i11 st1lts . Also, tl1e J-Iigl1 Cot1r t :i.dclecl tl1at, assttmi11g for tl1e sal<e of argt1me 11 t tl1 at sucl1 i11 st1lts had tale11 fJlace, tl1e afJfJella nt l<e1Jt cal111 at t he ti111e· l1 e did not r e act at all. It was 011ly \vl1e11 tl1e b11s reacl1ed Nazaretl1 tl{a t tl1e aJJjJella11t lost l1is te 111 Jer a1 1d sl 1ot tl1e deceased; t111cler su cl1 circ u111sta11ces it can11ot b e saicl tlut tl1e a 1JfJella11t a_cted t111der tl:e inflt1e11ce of a I1eat of blo od re st1lti11g· fro111 tl1e fJrovocat1ve \V�rds. I t ts also clear fr om tl1e evide11ce tl1at tl1 e a1:1Jella11t l1a� for . s0111e t1111e fJast, 1on1 \vl ple fJeo 1 1t l \v 1 1 t10 !·sa 1ve o1 c in s; iou er s 11 g . tl1i e 111 the idea of doi11 a so 1ne11t \V1tl1 tl1e tle �et a 11g 11 cl rea tt) \v vie a 1 tl \vi cl lie tl1e apiJella nt aJJfJ;oac e a l a11 l b_ d ttl s \VO 11 tl 1 at tl d l<e r 11a e r 1e l te 1 1J1 , s � cli decease d o ve r the Iai,d 111 cls tl1 1 s _ Cot11 t t o gr e 1 e� tl 1 01 1 . ,d cl ea r t 11o s \xra 1t of blood if a sett le in e 1 n es \Vl11cl1 ca11 c ta 11s ti1 rc c1 1 0 1 e r a � r e 1 tl at 1 l t t ir t C · I1 o agre es w1· th tl1e 1-1 1g . - .. n1 t a11 ce. 1 s 1 ct c1 11g t1 t1a 1 1 e e xt n a as 1 or ti a oc amou11t to prov •

•

Note 3:

•

•

ia p o hi Et of ry to is f-l l ga Le e th Self Defense in

12 1t e1 m i l1 s 11 t1 P al a11c l SJJirittt tl r o p o r C s It 1 d 1 a e fetha Nagast, J-lomicid 1 o�e _ l is l1 1t o ir s e tn c o l, o w i ai n i No guilt ... f alls t1pon � n � 11 0 l<ills 1 ose of defe11 d111 g l1 1s p r tt fJ e l, t r fo s i it y, as at nigl1t for tl,e purpose of 111Jt11':1 own life. ) 0 3 9 1 ( ia fJ O t �i E f o e d T l1 e Penal Co Art. 145. c rin1e i11 de fer1di11g a s t i 1n 1 11 o c There i s no pun1.s I 1me nt for the tna 1 1 wto

· 12· Chap. XL . VJI

' •-

' .:. ....' •

.

••

N

•

I

i

230

TliE AffIRlv1ATlVE DEFEi'�SES

. 1st a stro11 0 1e tl1i11l<s tl,at l1e is gt1a rding a1 1d saving l if 11an 1 a 1 l11111seIf aga11 . 11 d ·famt·1 y. a o1 1e y m l11 s oi 1r, l1is life a1 1d l1011 .

Questions

1. 2. 3.

4. 5.

6. 7.

8.

9.

h l au rd ss ''a wo e t'' t Is ? t. 74 Ar r fo ed us le tit er oJJ pr as a '' 1se e, f cle lfe Is ''s C E. . p . 54 4 Ar t. Se e ar t? of n 1 a ter 11d pr d e 1_ o erty from y Ma ''? r1g 11gi _ o bel d te tec JJro ly gal ''le 1� � a is Wliat . � d h 11c JJ 1 1 se 111 the e 1 1n on sp rre co �l1e 1 1s at l � e? ras jJl, s tl,i � r de � attacl< ttii _ y e1t unde r Art. 33 01J of 1J1 1 fe 1se cle 1t rm JJe iss Sw e 1 tl Do ? Avai,t-JJrojet C.P.S.? t1l f v_ a11d u nla\ nt ssault_ o a min m ''i_ a11 i11st aga be self of e i,s defe st Mti 7 ally 1_ otected � , belo11g111g p tl,reat of a11 assat11t''? Mt1st a tl1re at aga11 1st a 1 leg be ''itn111i11er1t a1 1d t111la\1vft1l'' t1r1d er Art. 74? W l1 y does Art. 74 11ot read as follo\x,rs: A11 act clo1 1e t111d er tl1e 11ecessity o·f self-defe11se, tl1e defe11se of anotl1er or tl1e defe11se of a legally {Jrotectecl belo1 1ging agai11s t a11 immi11ent a11d u11la\x,'ft1l assat1lt or t11reat of a11 assat1lt sl1all 11ot be JJU11ishable. . . ? Wl1 at is tl1e exte11t of tl1e JJ eriod \Vitl1 i11 wl1icl1 01 1e may legitimately defend hin1sel'f t111der Art. 74? Wl1y is Art. 74 restricted to acts of defense? Does Art. 64 (c) JJrovid e a broader defe11se to tl1e d efe11dant? See also Art. 1148 C.C.E. Is tl1ere a11 obligatio11 to 1·etre at u11d er Art. 74? Does tl1is actually n1ean tl1 at if a tJerson fi11d s l1i111self i11 da11ger a1 1d l1as a11 ave1 1t1e of retreat, l1e l1as a legal cll1ty to b e a co\vard at }Jai1 1 of pe1 1al sa1 1ctio11 for riot so bei11g? Wl1at does tl1e l(oller case mea11 wl1 e11 it states t·11at ''self-defe11se [is] st1bsidiary to JJolice !Jrocess''? \Xll1at does tl1e fa11 1ous 1Jl1rase 1'detacl1 ed reflectio11 ca1 111ot be d e111a11ded in tl!e. prese11ce of a11 t1pliftecl 1<1 1ife'' 111ea11? \VJot1ld you reacl1 t11 e sa1ne de­ c1s1 011 t11 1der Art. 74 as IIol - 1 nes reacl1ed i11 tl1e Browr1s do 1 at W1 cas e? e tl1e case of Laube v. J(urer acld to ot1 r t111 clersta11 di11g· of tl1e dt1ty to retrea t? W11at 1nust be bala1 1ced i11 order to cle cicle \'Xll1etl1 er leaitin1ate defe11se \vas JJro1Jortio11al? _Is t11e ''ass�t�l�'' as ttse cl \Xtitl1 resJJect toO !JfOJJortio11ality i n Art. 7�1 referr111g to tl1e 1111t1 al attacl( or tl1e defensive res1Jonse? id the cottrt 111 �l1 e l(oller case bal,1 11ce tl1e rigl1ts of tlie victiin a11d deDfend�nt I)roperl� _if s�1cl1 case l1ad been gover11ed bJ, A rt . 74? agree \Vtth :)'O U D o tl1e d ec1s101 1 111 tl1e case? Will: res1Ject to tl1e A1arwa case, 1 10,v does 01 1e n i r)' in ju va lue life or relat1011 to p�·o1Jerty� Is tJro1Je rty ever 111ore 1 arin I al va lt1 l1y ab si le tl c 1a n p !O l1t1111a11 be111gs? \V11at re111 ecl ' d oe s tlie Mar 5 1n e f w a ) r to ec le d av is io e ii ar 1 11 Ke 11 ya \vl1ose cattle are bei11g tal<e11 a\vay? D? es tl1 e cas of {s1r1tiil B1,1-sl1ara adOJJt a1 rd da 1 1 1 a � s ob je ct . ive or st1bjecti ve t :v1tl1 1 _es1Jec t to_ IJ_r1 ate defe1 1se? Tl,is et n sy s� ca : se � is in t) o 'IJ st ic o al f t 11clL1 c\11; g tl_1e_ Swiss, � ee Logoz, op . cit. at fJ. 133 a 11d \Vaiblir1o·er, op. cit. at !)·.!· �'\!l,at_ st i,dai:ct 1 � ad e o1 Jt�d b)' tl1e Pe11al C ode o f 1930 (Not � e 3)? D� � f\1t. 7-:J, be111g st1 b1ect1 vely or 1er1te d, in11Jl)' a1 1 objective sla11dard i11 Art. /41

.

.

. . .

.

.'

'

.

'

·

LEGITI1\I\A TE

DEFENSE

231

10. If an inclividual inistakenly believes tl1 at l1 e is i11 da11aer a11 d defends l 1im­ self b)' killing ano ther, sl1ot1 ld lie be co11 victecl o f i11tentio11al l1omicid� tinder the P.C.E .? May l1 e be co 11 victed o f 11 eo·!iae11t l10111icide? Wo ttld tl1 e Kajit1ia deci� io11 b� co rrect if it hacl been decid� d i ,1 EtlJiOJJia? J-Io\xr \XTOttld yott deal w1tl1 KaJt11 1a under tl1e P.C.E.? 11. \Vl1 at disti11gt1ishes legitimate defe11 se (Art. 74) fro111 11 ecessity (Art. 71 )? Problen1s

Numerotts _IJroblems of first i11 sta11 ce co111 e before tl1e JJractici11 g la\vyer or jttdge fo r so lt1t1 011. Assttme tl1at tl1e follo\xri11 g· 11o vel IJOi11 ts i11 Etl1io1Jia l 1 ave bee11 [Jresented to )'Ott f o r reso lt1tio11 t111cler tl1 e P.C.E.: a. Can Ato A rel)' 11 1Jo11 1\rt. 74 \vl1e11 J 1 e \Vas Iegiti111ately defencli11g l1 i111se If from attack by Ltse of a g·L11 1 , bLtt i11 sl1 oo ti11 g l 1 e 111 issecl 11is assaila11 t a11d l<illed a11 ir111 oce11t bysta11 der? b. Do es Art. 74 IJro vicle a defe11se to a cl1 arge t111 der Art. 653 \vl1 e11 Ato B sl1o t a do g \vl1icl1 l1 ad attacl<ecl l1i1n 011 tl1e fJublic road?

Is Ato C JJrotectecl by Art. 74 wl1 e11 lie defe11 ded anotl1 er perso11 s pro perty w l1 icl1 l 1e cot1ld 11ot avoid doi1 1g a11 cl did \Viti, reasonable fo rce? ct. Ca11 Ato D defe11 d l1 imself t111 der Art. 74 fro111 a cl1 arge of Co1nmo11 Wilful I11 jL1ry (Art. 539) wl1 e11 lie l1 it_ a 111 a11 lie l<11_e\xr to_ be a fJolice111a11 \Vl10 \Vas pt1rs11i11 g l1 i111 011 a darl<: 111 gl1t to qi1est1 011 l1 1111?

c.

e.

1

Sho11ld Ato E fall witl1 i11 Art. 524 (b) \vlie1 i lie l<illed a fJerso11 \vl-1 0 had i11st1lted l1in1 (see Note 2 a11 d Arts. 574 ff.)? Recommended Readings

Wa1'bl'1nger, Actes Li·c1·tes (II, La. Lea 0itime Defe11 se) Fic/1es ]1-tridiqites Sttissess No. · · · 1 1 f e 1 1 s e e 1se 1 d \VIs 1 t · na 1 t1 eg . of 1205 (1958) (a co m iJrel1e11 s1 ve treat111e11 t fJe11 al Ia\V). 1 1111 g tl1e frencl1 la\v of r rice co t e11 1 ten sta od (go 5 25 Bouzat , Droit· p� 2 25 l eria . legitimate defe11 se). .. . . ., fre1av1·11 e and S 0)1er, D 1·oz·t Crimirzel 121-124 (sl 1o rt d1 sct1ss1 01 1 o f Ieg1t1111 ate defense in fren cl1 fJe11al Ia w). . • . .c • . . . 1 t1 mate de1e11 se 111 Amer1 g Ie f o ig lii r,d lia e tis ea (tr PerkIns, Crim 0 ..Jaw 883_92 . inal l cai, law). . l L a7.v 378_418 (tnaterials on defense of life, JJerson . Paulser1 a11d Kad1sli, Crimirza . and pro perty i1 1 th e com111011 ! aw). e to ens No Def d Hel t fac f e t I o 1· < a IS R N i · ersi·ty of Pennsylvarzta· L aw eview' Univ : ev -5 5 R e (m (19 ista L 63) 09 k 06 . l nsy n Tl1ird Degree Assault, 11 1 U. Pe 1 1otl1 er beir1 g a of se 1 1 defe 1 1 <e· l \� :is o of fact l1eld 11ot to be a defe11se t ed by plai11clotl1es po l i ceniati). ck ta at . 11 cases and mat­ rica (Af ) 963 (l 119 4_ 8 Se1dm an, II Crimi ri al Law and Procedure erials on legitimate defense). Peldbrugge, Soviet Criminal La . 9 Law in Easter12 £•1," rope 110-118 (1964) (tl1e ). w la l a n ii tT ri c t e i v o S 111 , 7;; rigl1t to ''necessar}' defense t7'

.. .'

' . .

�

.

.

.

--

•

.

·i.

I

THE AfflRMATIVE DEFENSES

232

.r J,idia 421-494 (7�h ed., 1963) (tl1e rigl1t of private defense Oot1�, I P �nal La,,w 0}'l cl1 i Eng ve 1 and C ommonwealth law of l1sl 1 )rese 11tat re is 1n I 11d1a11 1 aw w 11 . . on tl1e st1bject). . ode, 5 ]. Indian L. Inst l 11a Pe ian C Ind tl1e tn 1se fe1 De a as Kelkrar P rovocatl-011 319' _357 ( 1963). n /a sa d ya a an si N de d 3 a, ho si R L. �e ]. 23. ho R n_ er th or N in n io at oc ov Pr Scoble f d oo an pr of . the en rd e bu th th wi pro ng alt de e icl art 0 t or (sh per ) 63 (! 2 ). on ti ca vo ro of s p se ca i11 e 1c a1 1iz g1 co scOJ)e" of jLidicial

5

SECTION C. THE DEFENSE Of MISTAKE

a. Mistake of Fact (1) The Law PENAL CODE Of ETHIOPIA 13 Art. 76. - Mistake of Fact. (1) Wl1osoever co1n111its a11 offe11ce t111der a11 erro11eous appreciation of the true facts of tl1e sitL1atio11 shall be tried according to sucl1 appreciation. Wl1ere tl1ere is 110 cri111inal i11te11tio11 tl1e doer sl1all not be punisl1able. W11ere l,e could l1ave avoided tl1e mistake by taking sttch precautions as \vere co1nmanded b}' his personal }JOsition and the circumstances of the case (Art. 59), l1e shall be pu11ishable for negligence in cases where such negligence is JJe11alized by law. (2) Mistal<e as to a fact wl1icl1 constitutes a specified offence shall not exclude t11e \)l111is}1me11t of the doer for a11otl1er offence constituted by the act l1e I)erformed. (3) Tl1e offe11ce is com111 itted wl1ere tl1ere is a mistake as to · the ide11tity of tl1e victi1n or tl1e object of tl1e offe11ce. TiiOMAS v. THE KING High Court, 59 C. L. R. 299-300 (1937) A1f.stralia �er Dixo11, J .. : . Wl1e11ever a legal sta11dard of liability includes some exercise o� _ e J)ress1_0�1 of. tl1e \Vt. ll, some st1bsidiary rules of law mL1st be � } adOJ)te� wit i _1 SJ)ect to 1n1sta_l<.e. States _of volitio11 ar 11e depe11de nt ce � e ss ar ily tll)Oil states of fact, a11d a 1111stal<e11 bel1,ef ir1 tl1 mstances e cir ex cu is te of t1c e catii,ot be se1Jarat�d fr?n1 tl1e 111anifes tatio11 . ts 1n1 � of tl 1 e will whicl1 it pro W11e�l1e_r. co11�e11t, 111te11�101!, or n1otive, is tl,e rion cr ite el em ei, le t ga \v l,i l a ch o f liability _ 1nclt1 des,. 1t ts _ t111de11iable tl ay � t 1a t fa a c m is ap of pr eh en si o1 1 !)roduce a state of n111�d wl11�l1 tl1ot1gl1 aJ n tio Jp r ar e1 1t ly de of th e required sc �p 15 yet really of an eti t ire_ l� d1f_fere11t qttality. Tl1t1s, th e assent r11volved tn an lt \ 0 ll s pe flc thing founded, as it_ s, U up on i a ��r:t��;�� 0 t �: t � g � be lie in f th i e co nt � .�� iti , eco111es, wl1e11 tl1e belief proves mistak l l en, so e nttrl; 1 13. Tl1e source of Art. 76 P.C .E . is Arc. 19 CP · ·S · (A ppen d. ,x) .

" '

MISTAKE .OF f;\CT

233

· 11ot that it does op r�nt diffe erate in tl1 e f�t 1. 1:1at. 1 on of a contract of sale. If an i11ter1t 1on to pay over a stim of m o e ) tli t is, to i11vest tl1e fJayee witl1 tlie pro1Jerty i11 tl1 e n1oney is fotinde� ',llJJor;_ a belief i11 a state of facts wliic }1 rend the er paye d r' liable to al e tl Ja me11t, a11 d \voul 1r11s out tl1 at the tt it ): I ,e { � belief is mistal{e11 , th e 11attire of tl n _ tent 0 11 1 s so affected tl1 at tl1e fJa),me 1 1t is 110 longer vol11ntary and n,ay b e 1 covt � cl.· · . Tl1ese are 0 1 1ly exam1Jles � of tl1e ge 1 1eral recognitio11 \X'liicl, tlie ��:-vr gi�es to tl 1 e trt1tl1 tl1 at tl1e 11 att1re of a11 act of volitio11 n1ay be of a ' 11 t 1 1 el� differe 1 1t descri1Jtio 11 if it is based on mistal<e of fact. Tlie state ] 1acts s u 1 11_ed 1nt 1 st of�e 1 1_ enter i11�0 tl1e . � nat i _ o1 1 . the _ o f deter�i \vill. It \v'�tild be ,trai,g : e tf 011r cr1m111 al la \'\! did 11 ot contal 11 tl11s pr 1 r1 c11Jle a11ct treat ' ·1t as f tine1a111e 1 1tal.... E S SENTIAL ERRORI·I Paul Logcz

We ar_e co11cer 1 1ed [i 11 . S\vitzerla11d] \Yitl , ''essei,tial''' error tl,at tl1e judge , t�to accot 1 nt. \X/1tl1 respect to '' 11011 -esse nt·taI ' error, several cases mt1st take may be e 1 1v1saged.. .. a) Error \Viti, respect to_ tl1 e object - Exam1Jle: believing v \ 1lat lie tool<: to be. \Vtt l�ottl great valt 1 e, X r11Js an origi11al 11 1aster,Jiece beloi,giiig to ai,otlier. This 1n1stake does not exc1 1se X fro1n co11·1 1·ct1·011 for ct a1nage to pro1Jerty. •

• •

•

. b) Error_ wit�, respect to perso 1 1 .- ExaI11ple: A \va 11ts ·10 kill B but J,e sl1oots C instead m1stal<1r1g l�1m for B. Tl1 1s error of identity is irreleva 11t. 111 certai11 cases, l1?wever, a mistake as to person i, relevant; i.e., \Vl1e11 it re lates to a mater�al element of an of!e11 se wl�i�l1 l1as bee 11 objectively co11 1 1 11ittecl (for ex_ample.A corr�pts B, _wl1 0 1 s a 11 off1c1al, but A tl1ot 1 g l 1t hin1 1 1ot to be 01,e); mistake of fact 1s applicable (as A ca 11nJt be co11victed for i11 tentionally corrupting an official). MINISTER E

PUBLIC DU CANTON DE LUCERNE c. X AND V RO 85 JV 76, ]T J/ 105 (1959) SwitzerlaJ.d

15 mal<es provisio11s for ligl1 ter (3) 1 19 t. Ar 1. Sum1nary of Reasoni,1g: 1at tl1 e cl1ild tl e ak ist m by ng vi lie Je d te ac s ha 10 penalty in the case of 011e wl 1g tl1 e 1 ki ta r by ro at er 1 tl cl de oi av e a, 1 l d ul co is at least 16 years ol d but \-vrl10 e ,h x \ 11 his 1 isl1 able 11 pt ns ai m re re cfo er l1 t er 11d necessary precat1tions. Tl1 e offe 1 tl�e se 1 1se of Art. i1 e 1c e1 ig gl ne o t_ !c dt is im . wrong idea of the ag e of tl1e vict to 1r t ct no o� id d r ro er an f o ty 1 l b1 s1 s JJo e 1 . 1�, para 3 C.P.S. That is, \vl1e11 tl 1 1 s or t10 au ec y pr ar ss ce 11e 1 e tl 11 ke ta e l 1 ad 1 him wl1 ich he w ou ld have realized I 1 1trary �o his . dt1ty, co ed li re e li , m h: to when, althougl, tlie id ea did occttr s av o1 cla�le 1_ r ro er e th , ly nt ue q e _ s cn C e. upo11 his acctiracy at estiinati 11 g ag 1 f according ), (3 1 19 . rt A to ng 1 rd cc ac an d the offender must b e punisl1 ed

14· Logoz, Commentaire du Code Penal S,,isse 75-76. . t�1at tl e cl11l. d was at ef li be � us eo on rr e 1e 1l in s! en off e th ed I 5. Art. 191 ( 3): ''If the offender conlmitr r he sl1all ro is er th d oi av to d te ec e xp be d t1l co n' hi least sixteen . yea.rs o f age b uc I'f, by due cautio1and n,. L. Cr1.n1. and po.l r, , 30 g, er ldb J C . o G d an e1 be _ confined in th e prison." Translation, Fricd Sci., Supp. (1939).

. -­

''; .

l

Tl-IE AFFIRMATIVE DEFEi'-JSES

234

sitt1atio1 1 1 l1e cot1ld 11 ot be certai1 1 tllat· perso11al · l1is t i,d ' t'l11ces to tl1e c1rcu1 · 11 s,l . 1a ct I . to contra1y, bttt, 0 1 1 tl1e old, take years · 11 . 16 1t0 least at 1e was c 11 11 tl 1 c . o a pr ec eg I t · l t b 1 · t· n 1 to er 1 e d tg u1 m -11 t1 1e sl � _ It is . ibilit)' tl1at ss JJo t ll lt ttl e acco ble · JOSSt for l1ave bee11 ld· I f wou 1 tm to 1t 1 l1er \xrl1et 10,v, , 1 to ti1 111 11 (Jorta 11 t· " 19 1� 1 1 · g � ·ct cc A to .. e al l1 ag tu ac t. 1ty Ar 1 a1 e rt � ce 1 deterinitie iii ti111e aricl \Vtth 1 e1: 1nqt1 1re into tl1� age of t d rtl no d_1 ft1 e 1 l e t1s ca be t 11o le tab _ (3( lie is JJLtllisl 1 e p ev 1 1t l11 m from t 11o cl dt 1 d l1e tcl 1 ha wl s bt 1 t do e tl1 se 1 t ca tl,e cliild bttt be y. 1c e1 ec to d y ar tr 11 co is at 1 tl t ac 1 a1 co111mitti1�g 1 io1 of ess JJr ex the ial tl1e fac y all eci esp yot111g e, 11c ara JJe a1J cal ysi JJll e l�I, 2 1 at s11 � was at least 16 tl 11 sio 1 1clt co1 11 tai . cer a to d lea a11s 111e 10 1 by ''Z'' �otild yea;s olcl. f-ler beari1 1g \VOLtld l1a\re a11tl1or1 zed st1cl1 a dedt1 ct1 on 01 1ly if the )'OLt11g girl had a iJJJeared. to be, beyo11d a dot1bt, over 16_ years _ of age .�11 ct tl,e 1Jossibility of lier be11 1g )'Ou11ger was 011t _of tl1 e qt1est1011. Tl11s cond1t10111 ' e ized l1av real t mus ''Z 39, tl1at d J age sed, 1 acct tl1e , llecl ft1lfi bee 11 1a avi1 1 11 ot wl10 was � stra11ger to tl1 e111 1 cottld 11ot l1ave reacl1ed tl1e age limit_. (RO 84 IV 104; JT IV 153 (1958). As i11 fact tl1e)' l1ad doL1bts, tl 1ey thougl1t 1 t 11ecessar)' er, tl1ey sl1ould 11ot }1ave to ex1Jlicitly asl< tl1e )'Ot111g girl lier age. I Io\x,ev relied 011 l1er sa)ri1 1g tl1at sl1e \X,as 17 years olcl. Tl1ey had e1 1ougl1 exJ)erience of life to 1<110\xr tl1at yot111g girls e11jO)' bei1 1g tal<e1 1 serio1:1sly a11d courted by olcler n1e11 a11d tl1 at tl·1ey ofte1 1 l1ave a te11de11 cy to co11 ceal tl1eir youtl1 b)' clai1 11i11g to be older tl1a11 tl1ey really are to l<ee[J LI[J tl1e interest \X1l1icl1 tl1ey 11a\re arousecl. Tl1e otl1er sta te111e11 ts of ' 1Z 1 ' \xrere by 11 0 mea1 1s of a nature calct1 lated to ease tl1e clot1bts tl1e)' \X1ere bo1111 d to l1ave as a result of tl1e girl's aclolesce1 1t featt1res. Tl1e fact tl1at sl1e stated tl1 at sl1e was an office worker \X1as 1 11ucl1 too vague to draw fro1n lier professio1 1al sitt1atio11 a defi11ite co1 1clt1sio1 1 as to her actt1 al age. I-Ier stateme11t to tl1 e effect tl1at she l1ad already lived \xritl1 a 1 nan a1 1d tl1 at sl1 e l1ad a boy frie11 d called for scruti11y; it could be t1 11derstood \xritl1011t 11 lterior motive, b11t, on the other ha11d, if it was n1ade \X1 itl1 tl1e i11 te11tio11 of i11dicati1 1g sext1 al ex1Jerie11 ceI it 111ade it seem jJossible tl1at.tl1e you11g girl wa11ted co11 sciot1sly to n1al<e l1 erself out to be older tl1a11 sl1e really \xras. Under tl1 ese circt1111 sta11ces the accused cot1ld not acce1Jt, in good faitl1 , tl1e fact tl1at ''Z11 in s1Jite of her )'Outl1ful a1Jpeara1 1ce \Xlas over 16. Cot1 r de Cassatio11-MM. fasler, Mt1 l1ein1, Bachtler, Perri11 a11d Grisel. \V

•

•

(2) A Difficult Qltestion: Mistake Witl1 Respect t� tl1e Existence of Spirits SUDAN OOVERN!v\ENT v. ABDULLAli lv\UKiiTAR NUR A1cr.jor Co11-rt, DC-Maj. Ct.-3-195 7 1959 Sudart L. ]. 1 S1,1da11.

. Ju_dg,rierzt: Tl1e acct1sed is a yci1111g 111 at1 of twe·11 t)'· He liv in Liat Village ed ly111g 1 11 tl1e s�t1tl1 e_r11 area of l!.111 Kaddada ct·istri old a11 ct . T l,e \v de as ce as ed \v?rn�i, :X'110 l_ived 111 �1 1otl1e�· village i11 tl1e sani 11 s io e re lat cli st ri ct 0 , a l1a 11 11 d d 01 l)t ev1ot1 s 111trodt1 ct1 01 1 \x,1tl1 t11 e accttsed . e Tl1 b ef o re ti ·de nt e JI ese 1 t . 11 n c1 t · } · acct1sed 11earcl frotn 11i5 1110t1ie. r a11 d tl1 e v1. lla o·ers tl1at tl1ere was a 0al1ost (Afrz.eta) . · . 1·1 1 tl1e. at ea a11d 1t fo11gl1t witl1 a cert.�i 11 Mo harried Ral,nia (P.W 2 . .' ) 011 t\1e 1 1ig1'1t of 26t11 A 1 r·1 I 1 g 5 6 · · · I 1 t at s al oor 11g 1 t 1 11 1 e be e (tl1 l1 ril A1J 26t , J 14tl1 11iglit of tlie. lioly n,01 1 �1 1 0f Rar 11ada1 1) tl1e acc11 sed rode l1is do1 1l<ey a11

.. ...

.

'

.

MIST Al(E Of fACT

235

\v ent to the valley i11 .searcl1 of a 111 is si i ,g CO\':l. I-le \vas 011 J i is \vay to tlie vil­ lage_ w l. i e,, I1 e m et a figti re wall<i11 g tO\'Varc:s 111111 clr es secl i11 blacl< a11 cl carryi 11g 1 T e cl i < _st ac ct 1s ecl �JJOl<e to tl1 e figti re, x,1,ich 1 a i re ft sed to re1Jt1,. I-Ie beca111 e r 11e h _ cl t� g to ol 1 tl1 <. e ftgt1 re for tl1e gl1ost 111c l f , started beati11g it \xritl1 a sticl< . t 111t1 I 1 t fell mot1011 less to tl1 e_ grot11 1cl. T l iE ac cti se cl tli e11 \ve11t to tl1 e village c a11 l brol<e tl1e 11e,vs to tl1e v 1llao·ers. TI1 eJ, \v e1 1t \vitl1 !1 i111 to tl1e s ce11e to fi11cl tl1at tl1 e ''gliost'' \Vas 1i o11e otl1�r tl1 a1 1 tl1( olcl \VOt11a11 Nt1 r Za111al. Sl1 e \vas dead. Tl1e acct1sed \v'as co111 n1 itted for trial u11cler se ct io 11 251, St1cla11 Pe11al Cocle (111urder). I-le was fo1111cl 11ot g t1ilt)' of a1 1J, offe11ce a cl 11 discliargecl. 15 tl1 J�11 uary 1957 .. Abc/11. ! Ral?i1n J).J. (Preside11t of M tl1 ajo e r Co 1 rt) i11 t cot1 rse of Jt1 dg111 e11t sai d: - 11 1 this case ve believe tl1 e state11 1e11 t of tl1 e ac­ ct1sed tl1a� li e 11 1ist_ool< tl1e deceasecl for a gl·1ost \x,l1 icl1 li e l1 eard abot1 t i 11 tl1 e village. I-I1s alle ga t1011 ,vas SLtfJIJOrted by P.W.3 a11d P.W.6. l11 the 11 1ea11ti1 11e it was JJrovecl by the evide1 1ce of P.\Xl.2 tint lie sa\v a gl1ost l1 i11iself a11d tal­ ked abot1 t it to P.W .1, ti1 e Presicle1 1t o: tl1e Native Cot1rt, \\1110 co1 1fir111ed tl1 e SL1perstitio11 ab ot1 t tl1e g·I1osts a11d tl1at li e sa,v 1i1ovi11g fires i11 tl1e valleys. It \Vas also fJrovecl tl1at tl1ere \Vas 110 rela io11 \x,rl1 atsoever be t\'v'ee1i tl1e jJarties . 11 cicl tl1 i e e11t Tl1 e evicie11ce is clear tl1 at a gre at a111ot 1 r1t of cri 111i1 1al before force was tised. Tl1e accL1sed \Vas frigl1te1ed a11d i111 agi r 1ecl tl1at lie hacl r11et tl1e ai,ost. lie \Vas- 110 doLtbt i1 1flL1e11cecl by ll1 e tales he l1earcl abot1 t tl·1e gl1 ost i11 the clistrict. It \XTas JJroved tl1at tl1 e cl�ceased \x,as \);;eari11g· a blacl< clotl1 a11d was car1-)ri11 g a 1011 g sticl<, a11cl tl1 at sl1· e \Vas \Vall<i 11g afte r 111icl r1 ig·I1 t to li er l1 ouse. Co11 sicleri11 g tl1ese facts \Ve tre Sctlisfied tl1 at tl,e acct1secl l1 acl grot1r1ds for believi11g· lie \Vas de;llir1g· 1.'(litl1 � g·I·1ost. J-\fter tl1 <� fight l1is bel1aviot1 r \vas s o s i111ple tl1at lie \x,er1 t to tl1e v1 Ilage a11 d JJrot1cll�>' brol<e tl1 e news of Jiis victory. fro111 tl1is act \XTe . irfer tl1at the acc_ttsed acte d . i11 g�od faitli aricl in the l1 011est belief tl1at lie l<tll�d tl1e g!1 ost \'(/�tl1 ot1 t ar1 y 1 11te11t1 011 of killing a l1.t11n�11 bei11g. Tl1e cct�secl _fot1 11d 11 1_111 s�lf 11 1 _ ar 1g·e r a11 d :yas_ � � 1 tl act 1s t� I \'<'ay. v�t101i \vas _Ia"bo.t1 1 111g le driven by tI1 e 111st111 ct of self-pre�e1 tinder tli e belief that li e \Vas f1gl1 t111 g a gl1 �st .. Oot1.1 at iJ. 249 11'.e 11t1011 ecl a case in \vli ici1 a fatl1 er l<illed l1 is so1 1 _ bel1ev111 g 11 1 1'.1 t? be a tiger ancl ie fatlier \Vas acqLi ittecl fro111 a,.cl1arge o· _1 11t1rcler. (Cl11 ra111ee v. State). Tl'1er� tl · case of \Varya111 S 11igl1 1nert1011 ecl . at jJ. �49 of tl1e 1955 ecli­ 1s tl ��011� l� t�fs case tli e accLise cl \ve 11t . \vitl1 l1is \V1fe at r11g·l1t to tl1e. grave. of I ·1d Ii er ci i ·, \ 1 0 1 a I clied tl1 e fJrev1 ous 111011tl1, to l1ave a \Vasl1 Sl1e \Vas · 1· act ·f1 sli e cli ·ct so lie r ftit-1r e cl1i• ldre11 \VOt1Icl live. Wl,ile lier u11der th e b eY/1:I ef tli · tooI< f or a · l1 I1e 1111s Ii usb aii d· \ xrsa IJ o�i rri ,g Y/\ ater over li er lie S:t\xr a f1 gt1 re \Y/I1 1c �i Tli e 11ustarid �as acqttittecl as lie l1ad no i1 1te11tio1 1 g os h t' and b eat 1 t to d. eaLl. of killi11g a ht1 ma11 be1 11g. 1 ), it is stated tl1at a 1 itio ed 48 (19 i im Cr of w a L I 1 a t . . A t p. 148 .of R a a11 , 1 is exam1Jle: - if a n1an for tl 1ed 1 ertio J-Ie 1 r1 e . f · c . . e,i. de !11Istake of fact 1s a go�d a 111e111ber of l1is 1 nst�11ce i11 t �ndi11 g to k1I_I a tlii e.f 111 1115 ()\'(Ill li otise, l<ills family by n11 stake, he wi ll be gt11 lty of no Offei,ce. . . e acct1secl 1 s 1 1ot a11 offence tl1 of ,ct e th t tha . d f" te · Accord11 1gly '\Ile are s� tis 1 e St1da11 Pe11al Code. tJf o1 1 44 0 ct se • er 1 1c t11 and li e shot1ld be set at liberty · · · · fi1 1 di11g of r iot gt1il t1, \vas tl1e -J-57) (AC-CP 2 · On Refere12ce for Corifirrnatio1 confirmed· 1 ion tl,_e ac_qt1i ttal. is jt1sti.fied . ... OfJi1 n1y 11 1 _ J. · z Son 9t11 febrt1ary 191:J7. R. C. 1 · Tl1ere are cases qtroted by tl1 e ear·ne-d Prtsider,t in wh1cl1 111 l11 d1 a acqt11ttals .

.

)

.

.... ' .. .. ... . . . . ... '. . •

••

. .,

-' r.

TI-IE AFFIRMATIVE DEFENSES

236

his 11 ng 1na t, killi a of fac so a11d e tak 111is a of L r1d t 1 were made 011 t 1 e gro eeti11g a tiger, etc. Last ye ar \xre l1ad a sim r n 111 ila 111 of · f li'e be se ca n <e tl1 e m1· sta 1 s s a h T w 1 1 . 1e q ta a t 11t eld IJ d _ U · a L fro � l1e · · e 1n n ca ) re i a � it e 1er \vl \xr 110 I forget ( / Law at J) c w ri m o k s 11 b o in 1n a 1a l 1 l e 1 v 11 la O in ittal 9 1 • ' CQ111met1 t 011 acqu 7 lV b e ct � y th e President. ot q se ca s h' g in s· ya ar ts w 2 . . 1 te 11o ot 11! fo i11 _ Tl1e case q11oted g n . t1 1t u t q l1 1n g ac r1 as \):; rt u o C 1e tl t 1a tl 1 I atn of tl,e oiJir1io1 . d e rm 1g fi i1 11 o 1d c i1 f . e re g a I .NJ. A. Ab i1, Ra,inat C. ].: (Acquittal confir med) REGINA v. MACI-IEKEQUONABE16

}-Jig!; Court of Justice for Ontario, 28 Ont. Rep. 309 (1897) Cariada •

•

•

•

_ ember �f a tribe It a1JJJeared fr o tn tl1e evide11ce tl1at _tl1e JJrisoner \�as � m d r1t the l SJJ1 clo evi 1n l111man an of nce ste exi tl1e i11 ed iev bel 1 0 1 \Vl s ia1 Ind a11 of paa 0 flesl1, or i 11 l1u111an for111 callecl a We11digo \vl1icl1 would eat a l111man bei11g. Tl1 at it \xras reJJorted tl1 at a \Ve11 digo l1ad bee11 see11 and it was supposed was i11 tl1e 11eigl1bo11rl1ood of tl1 eir camp desiring to do tl1em harm. Tl1 at a111011g otl1 er 1Jreca11tio11 s to protect tl1en1selves, guards and sentries, tl1e priso11er bei11g 011e, were fJlaced out in fJairs armed with firearms (tl1e pri­ so11er l1 avi11g a rifle); tl1at tl1 e prisoner sa\xr wl1at a1Jpeared to be a tall l1uman being rL11111 i11g i11 tl1e distance, \xrl1ich l1e st11Jposed was tl1e Wendigo; tl1at he a11 d a11otl1 er lnclia11 gave cl1ase, and after cl1allengi11g tl1ree tirnes and receiving no a11swer fired a11d sl1ot tl1e object, wl1e11 it was discovered to be l1is O\Vll foster fatl1er, \xrl10 died soon after\xrard. Tl1e j11ry fot111cl affirmative a11swers to tl1e following questions: Are yot1 satisfied tl1e priso11er did kill tl1e I11dia11?

Did tl1e fJriso11 er believe tl1e object l1 e sl1ot at to be a Wendigo or SfJirit? Was it tl1 e (Jriso11 er's belief tl1at the Wer1di0ao could be killed by a bt1llet sl1ot fro111 a rifle?

Did lie believe tl1e S(Jirit to be e111bodied it1 huma11 flesl1? t­ exis tl1e \Vas tl1e jJriso 11 er sa11e a1Jart fro111 tl1e de1Ltsio11 or belief in e11 ce of a We11dig·o? Tl1e lear11ed trial jt1clge tl1e11 (Jroceeded \xrit1 1 ll is cll arae as follo\vs: b Asst1n1i11g tl1ese facts to be fot111d by )'OU I tl,itil< I must direct )'ou as a 111atter o_f _law t�at tl1e:e is 110 j ustificati�tl l,ere for til e killi11 g; and ct 1l1Jable l1om1c1de w1tl1 011t J11stificatio11 is n1a11 s1attgllter, so tl,at unless you 16 . A listing of cases similar to lt 1e above is given ches \\?'ic s as follows . \Tasd ev, Gl10 sts, Ev·1 rit . ' 1 S p1 and tl1c Law _of Hon1icide in the St1dan, 1961 tt S dan L· J· i;38 ( footnote 4 ) . . Sot1t1 I Afr1ca· edeb (19l 5)AD 9 lf ',abt, q l ek _v. Jvl,1ch � � ; 4J) . D f: an1ini (1955) IS.A. 120; Canada: R 6 28 Ont. 309 R(1894) [szc] E. · ( l k owa (1951) EA ·. Afi1ca. · __ Kuz � E·rz.a Gz, a J _1a. Bond .. 175·' T nd'. .. AI R . patna 64; \f/a1J1arn Si ngh (1952) A . B n1er s11J1t.l . IR N ag am United m: gdo Kin 1ted U11 8; 2 pu_r · · · ' l Bl , os S th Smi ase v C R. , Gh t . ( l 04) 4 ac"stone, Conin7entaries 201 6 ; 'V, u1 Hot en Sta U11 tes: ited States, 186 U.S. 413 ( 1 9 01).

'

.

,'

. .

MIST Al(E OF fACT

237

can SL1�gest to yot1rselves s_on1ethi11g :tatecl i11 tl1e evicle11ce, or clra,\711 fro1n tl1e evidence to ;-varra11t a d1ffere11t corcl11sio11 , I tl1i11l< it \Viii be J1011r d11ty ! O rett1 rn a verdict _of ma11slaL1gl1te r. Yott 111ay co11fer an10 11g J'Ottrselves 1f you please, a 11d if J'Oll tal<e tl1at vi�\v I \'v'ill reserve a case for co11sideration by tl1e Court of A 1 J1Jeal as t� \x,J 1etlier lie was pro1Jerly co11 victed upon tl1is evidence. Tl1e jL1ry fot1 11cl tl1e 1Jriso11er g11ilty of 111a, 1s1a t 1 1 1g 1ter reco111111e11cli11 g l1i 11 to mercy a11d tl1e lear11ed J11dg e· reserved a case for co11siclerati 11 wl1 etl 1 er Lt/J01 1 o 1_ g 1 1d s of th 1 i e j11ry i11 a11s\ver to tl1 e �11estio11 lie l 1acl s11bn1ittecl a11 cl 111)011 tl1e fi l1is cfirect10 11 to tl1e111 a 11d 111 Jo11 tl1e eviderce tt1e jJriso1 1er \'(/as j)rO/Jerly fot111d g11ilty of n1 a r1sla11gl1ter. •

•

•

•

]. K. I(err, Q. C., for tl1e prisoner: Tl.e evide11ce sl10\X1S tl1 e I11dia11 tribe \Vere 1Jag·a11s, a11d believed i11 a11 evil SJJiri: clotl1ecl i11 l1 L1111a11 for111 \vl 1icl1 tl·1ey called a We11digo, and \Vhicl1 attacl<ecl, i<il eel a11d ate l1t1111a11 bei11gs. Tl·1e 111a1 1 tl1at was sl1ot \xras tl1011g·l1t to be a We11di5·o, a s1 Jirit as clisti11gt1isl1ed fro11 1 a h111nan being. It is tr11e tl1e re \Vas a 111istace, bt1t tl1ere was 110 i11te11tio11 ever1 to l1arn1 a l111111a11 being r11 11cl1 less to l<ill. Tl1e evide11 ce s11 0\'(IS tl1e 111istal<e \'(las not 1111reaso11able. At com1110 1 1 Ia,v tl1e folb\vi11g of a religio11s belief \XIOL1ld be a11 exct1 se. The trial J 11dge \X1 ro11g·J y directecl tl1e jt1ry to fi11d tl1 e fJriso11er gt1ilty. Tl1ere sl1ould be a 11e\v trial at least.... Armo 11r, C. J. cleliverecl tl1e j 11dg1 11�1 1t of tl1e c�11rt: U 1)011 _tl 1e CcLse r�servecl if there \Vas evidence 111Jo 11 wl1icl1 tl1e JLtr} co11ld f1�1d _tl1e pr1s011er g111�tj1 of it is not oper1 to 11s to reve·se tl1 at f111cl111g·, a11 d tl1e qt1est1011 \Ve manslauo-l1ter 0 have to decide is \x1l1etl1er tl1ere \Vas s11 cl1 evicle11ce. We t}1i11}< tl1e re \Vas, a11d tl·1erefore ,lo 11ot see 110,v \'(le ca11 say tl1at tl 1e prisoner was riot JJI"OfJerly co11victecl of 111i.11sla11gl 1te. r Qt1estions

I ? e f o _ tal< fact 11 _\'(1! 1at n1is 1se 1 o! e def tl1e 111it per 11s 1 te w1 1y do all 1Jeii al sys 1 as co111 1111tted a cr1 111e \v1tl1ot1t f11ll ways may 0 11e d e·fe11cl Jiiinself if l1e . ;. · · 1 t• 76 aiic·I Art· 58?: A t b 11 1< 110\vledge of fact? Wl1 at relatio11sl1 11 J exists e \vee d 1 2. May a m ai, "Y1·th out fi 1 ll l<llO\vledg·e o: fact still be prosect1te 111 der . Ar� ; tra. 1? Wl1at cloes tl1e \'(!Orel ''obJe�t 76? Is exce1Jt 1011 m ad e to Art · 76( 1) IJ: 'fi L z' ll . no r111 t1al of es IJl se ex e at og o 1 1 w ee 1 ag t1 yo mea11 i 11 Art. 76(3 )? Do error co11cerni11g ''object''? r t. de d Ar tin lve . o; so be Y a12d X c. rte ·er L ,1 u ori ,zt Ca 3. How \VOttld tl1e c ase of th e . 11ld tl1ey be co . CE p · (1) 595 Art · · d i ' · · ce ii tt e rg a cl1 76? If X a nd V l1ad bee11 convicted? . . aii,st tl1e co11v1ct1011 of me11 4. What argume11ts ca11 be m ar�1,a IIedt foil�· atid agNl 10 ac 11abe? Wl1y was lie l<e qt r o ttr a kl 1 1 1 i1 1 tl1e positio11 of A bd.ull al1 , e :io, abe ,vas convictecl? Abdt1llal1 a cq11itted \vh1 Ie Iv1ac 11e 1... q . . . . . · . . 11d1scr1111 111ate s11oot11 1 g of i t11e it erm y cte so 5. Ca11 a cultura lly fJlt1ral1stic :10 P st bttt tnistal<e11 belief tl1at tl1ey are gl1osts a11d wendigos upo_r, tl,e .1��ctit criinii,al irite11tio11? Wl1icl1 solulior1 l1a rmf11l? Yet, c a11 it co11vtct me� vester11 setti r,g? Wl1icl1 1 1 -, 110 a to w a better ada pts western bo r ro\xre e? d o C l a en P ie tl �f s se po m ore completely fulfills tl1e pttr 1.

1

1

. .-

..

.

. ..

.

,

i i

I •

l

TI-IE

238

A l:: Flf{MP.l·· 1VE

DEFENSES

t n e g li g i e m n o f h o de ci d te ic v n o e c b ts n a d n fe e d e v o b a e th 11der Art. 7 6 r L1 e f J) O r . o J) . it e1 1 1 I s ? ett ia JJ O c 11 1i tl ou 1 E C i1 6. . cl e tt 1i 11 1n o c 1 1 e e b s '� 11 ! 1reason able ''? i d s l it ir p s s r c o a o s 1 li ig c 1 d Lt e if � � 11 w : f e li e b t ia tl e h id c n e d 1o n 1s u c e t: d er d a t ld e u o our w , ia p io th for a f t E in e c la p e k ta to re x re as e· \; c 1adia1 1 or Suda1 1es e dispositio11 ? a 1 c 1 s1 f Ca1 l tl1e to 1 se l o c e b e d o C 1a l e1 P d e 1 rg a 111der if h e c b l1 a ll 1 L d b A ld L1 0 1 l s rt a P l a i c e ) s 1 · e tl 1 f 11 o ld 1 I 1 -0 1s 11 · · . o u · 1 p 1 w ov1s e 1 s s1 · o . 1� JJ f t)I ? U JJ t 1a WI . 1a JJ 0 7. Wl1 at 1 :h E 1 i 1 ' t' · s o l, a '' s t · 1, 11 b 1( 1 11 ded ur1der Art e f e d e b e b a 11 0 11e \XTere t o 11 q e e l< h c a \1 r o l1 a ll tt d b A ld ll 111e11 t ser\re.? Co 48? Art. or 71 Art. 74,

w a L f o e k ta is M r o e c n b. Ignora 17 A I P O II PENAL CODE Of ETI-

. w a L of e 1c tr or 1z lg d 11 a 'lv a L Art. 78. - /11.istake of

. e c n e f e d 10 1 s i w la 1e tl (1) Ig11ora11ce of 5) t. t 18 Ar ( en 1m sl 1i 1 11 p ,e tl e 1c 1 d re 1, r estrictio1 t 11 0 l1 it \xr l al l1 s rt u o C Tlie l1t to g ri a a? l1 e h _ ed v ie el b l1 it fa d o o g 1 i1 aJ)JJlicable to a JJer so11 \X1l10 err o11eous is th 1g 11 ld o h r fo s 1 1 o s a re e at act at1d l1ad cl efi11ite a11c l adequ b elief. um rc 1 ci e tl 1t 1 u co ac o 1t 1 i 1g i1 l< ta ty al Tl1e Cot1rt shall detern1i11e tl1e pen ar, t11e circ11msta11ces tl1at led to sta11ces o f the ca se and, in particL1l tl,e err o r. od go d 1 a1 e 1 c 1 ra 1o 1 ig e bl ia tif s jL1 1cl a1 (2) 1 11 exceptional cases of ab3olL1te se po i1n ay m t ur Co 1 tl,e 1t 1 e ar JtJ t a 11o s i 1t te1 11 i 1 faitl1 a11d wl1ere crimi11 al 110 pu 11isl, 111e11t. illy civ 1 1 ai 1n re ll l1a s \XT la e tl1 of 1 cl ea br (3) Tl1e 1Jerso11 \XTl1 0 co111n1itte c tl1e li able for tl1e i11j11 ry caL1sed. (1)

''fact'' Distingt1isl1ed From ''Law''

18 W LA TI-IE DIFFERENCE B:.TWEEN f A CT AND Gla.1z r,;ille 1,flillia1ns

the y saril s ece 1 1 11g 111i stal<e) of la\1' is 11ot Tl1e effect of ig11o�·a11ce (i11cl11cli to = sary es 11ec s�1n_e as_ tl1e e'f fect of 1g1 1ora11ce o fact; a11d at the 01 1tset it i s e th by e d1shngu1� h. the1n. qenera!ly sp�akiug a . fact is son1ething perceptibl be 1nay 1 1 1ctio �e11ses, \Xtl1 1le law 1s a11 idea 11 1 tl·.e 111111ds of 1 11e11. Tl1e di sti1 a r tl1e e \X,I1 1 1111 ��-at_ecl by re'fere11ce to 1 narria ge a11d O\'vtiersliitJ. A 111i stake as to � of al<e mist inat I ia g� lias b_f:e11 celebrated 111ay be eitl1er a 1 ni stal<e of fact or a n 11o e ce ! a\XT. It 1_5 a 1n1s� al<e of. fact if 1 10 ,::ere1no11 J, l1as bee11 ]Jerformed; a r ! a!\e_Y �s a fact, of_ wl�icl1 a c 111e 111atogra1Jl1 }Jictur e cot1ld be tal<e11. B11t tl1e r1115tmisis 011 e of la\xr rf, tl10 11gl1 tl1e c ere11 011y l1as bee1 1 fJerfor111ed, tl1ere is a

>'

bli�1es

Tl1e source of Art 78 p". c o- ·E ·. is b aSi· call �rt. 20 C.P.S. (Appendix) altl1ougl1 Art. 78 es5ca a general pri11c . iplc . l · tl)a't i ::, noiance O f l 'JW is no dcfe11se" wl1icl 1 is abse11t in Art 20 C.p · · 11· 1s Cr11nzna. Law 287. 18. w·111an

17.

-' .

IGNOR1\NCE Of LAW

239

unclerstandi11g of tlJe rt1les of Ia,v g o veri,ii,g tl,e validity of the ceremo 11 y. In t!1e same \X'ay, a mtstake as to o,v11ersl1i1J 1nay be eitl1 er a mistal<e as to wl1 e­ tl1er. a deecl of co i,veyaiic � l1as bee11 exect1ted, \vliicl1 is a qLtestio11 of fact, o r a 1111stal<e as to tl1e la,v o f property in its itn)Jact on a JJartictilar deed of con­ ve)1 a11ce. . . . -�he . defi_11itio 11 �f a fact as so n1ethi11g perce1Jtib]e by tl1e se11 ses 11eeds qttaltftc�t 1 o11 111 one 1 es1Ject. A state of 111i11d is also a fact , tl1ot1gl1 11o t directly l)erce1Jttble by tlie se11ses. If A believes tl1 at B l1as a certai1 1 i11 te11tio 11 wl1e11 i11 trt1tl1 lie J-1as 11ot, tl1ere is a 1nistal<e o f fact. fACT AND LAW DISTINOUISI-JED19 jeronie I-fall ct1 In dis t n re_ o 11 s of �ri1 11i11al law tl1eory, it is sometimes argtted tl1at ttssi � � _ .ig1zora11tza ;uris rzemtizenz exct,sat 1s a11 arcl1ais11 1 tl1at sl1 ot1ld be discarded. Tl1is doc_tri11 e _ seen1 s t o l1o ld 111o�ally i1_ 1 11?cent 1Jerso11s cri111i11�lly liable, a11cl to do so 111 rel1a:1ce L1 po 11 a11 obv1ot1s f1ct1 011 - tl1at e,,erJro11 e 1s prest1111 ed to 1<110,v tl1e law. Bt1t if tl1 e mea11i11g o f ign ora11t£ci j1tris differs greatly frotn tl1at of ig,iorarztia. Jacti, tl1eir respective ft111cti o 11s sl1o t1lcl also be very differe11t. Tl1e first step to,vard tl1 e solt1tio 11 o f tl1is 1Jroblen1 is to elttcidate tl1e ter1ns tl1at disti11 gt1isl1 tl1 e t\vo doctri1 1es. Certai11 differer1 ces bet,vee11 fact arid la,v are easily rec o g11izecl. La\v is ex­ ))ressed i11 disti11ctive jJrOJJOsitio11s1 \'v'l1ereas facts are qt1alities or eve11ts occL1rri11g at defi11it e !Jlaces a11cl ti111 es. facts are 1Jartict1lars directly se11sed i11 jJerce1Jti o 11 and i11tros1Jection. Legal rules are g·er1eralizatio11s; tl1ey are 11ot sensecl, bt1t are u11dersto ocl i11 tl1 e !Jro cess of cog11 itio11 . La,v a11d fact are, of coLtrse, closely i11 terrelated - la\v is ''abot1t'' facts, it gives disti11 ctive 111 ea11i11g to facts. fo r exam1Jle, tl1at A l<ills B is a fact; tl1 at tl1is is n1t1rder is sig11ifiecl by certain legal pr o positio11 s. (2) The Policy Alternatives

TJ-IE CROWN v. fAID .l\1AI-IMOUD ABDEL KADER Federal Hig/1 Cour t of Eritrea, Cr£1r1i11al Case No. 710/53 (1961 G.C.) Ethiopia

o as, At b� . 9. De .l\1r es: dg Jt1 ); C. O. __ 61 19 , 22 tly (JL . E.C 3 195 e 15, mi I-Ja o1 1 v1cted of _ c d 1s se ctt e ac 1_ Tl : _ m g1a L1 y Be ris cl I v. Ca ra , ait fer tn Te _ woldese 1 fess1011, co 11trary 1 co vn o, l11s of sts ba e 1 tl 1 01 x Ta failttre to pay the federal Salt lt l Sa ra e de tl1 fe cl of an 7 6/4 14 . No . oc Pr x Ta lt to Article 4 of th e federal Sa Tax J-\me11 dment Decree No. 38/52. is 1 a1 at lie tl1 ct fa e 1 �l cl, tse ct ac e �l1 of y rt ve IJo Co nsidering the extreme 1t1ty of salt tl1at _l1e ,yas 1 1a c1t e bl ra 1�e m e tl1 , 1y ar ig11oratit .shepherd, and particttl . e c o11f1scat101 1 tl1 at th ct fa e tl1 11g 1 er 1cl ns c · o , 11, . 01 transpoti 111g, i.e., l 6 sacks J,· · h 1s .· g s1 1 e1 1 ct , �n co d 1se ct e ac tl1 t o · y J 11a pe � l iia tio of tlie salt shall tnea,, a,, addi ys e x d si da th an rt t ot C 1e tl to o n si es nf · · co · te a 1 · ·1y respo 11 s1·b·1 fam1 · nmect . 1 1 ty, h.1s 11 . a1•t1·1 1g t11 e ope11 ·111 g of aw e, m o l Ile t1seIessIy spen t 111 · Asmara awa· y from 111 s 1 19.

. ,. . . ' . .. ;:

. .' '

•,

.

'

Hall, General PrinciJJles of Criminal Law 37 6.

I

�

Ii

�

l

. lRMATI·VE DEFENSES Tf-lE A,ff

240

to e t , adop � d� 1 �eci u11a1 usly in1o we e i i es; orit l r autl1 i il i t 1 Jete i1t 11is file by t e com i ::, $1 n1 l1. l11 Et 1e y f11 1tl 1 e1 co qu se e r 1 \x . 1d a1 or n att·1 ttlde t O\v'ards t1Je acct·ise.d·' . f ro m to day'·· w_e f t1rt l1� r ?rder the t as 11 1e � 11 s0 r1 1J 11 11 s ay d 7 t, defau. lt of jJa),nl etl l ria p1 pe 11o Im Etl r . tl1e of ou fav 111 a11 t sal of Govt l<s sac 7 16 tlie · of 1011 t· f 1sca co11· 14 c. . o 6/4 ro ax N P f t al S l ra le ec f 1e tl of 4 le tti,der Artic •

•

•

•

lv\ISTAKE Of LAW20

Oliver Wendell Holmes

... Ig11ora11ce of tl1e la\xr is 110 excuse for b real< i 11_g it. Tl1is substantive l)ri ii ciJJle is so111eti111es pt1t i11 tl1e form of � rule of evidence, tl1at eve� y one is 1Jrest1n1ed to l<11ow tl1e la\xr. It l1as accord111gl)'. be�n defe11_ded by Austin a11d i r res . t11e fact to be equ 1ce Jttst If f. JJroo of y ct1lt diffi of d ot111 r g 1 tl1e otl1ers 01 ascert�i necl, the difficulty of doi11g so is 110 g rou11d for refusing �o try. Bttt every 011e 111ust feel tl1at ig11ora11ce of tl1e law . cot1ld 11ever �e a?n11tted as an exct1se eve11 if tl1e fact cot1ld be proved by s1gl1t and l1ear111g 1n every case. ft1rt 1l e�·more, 110\xr tl1at JJarties ca11 testify, it n1a)' be doubted \xrl1etl1er a ma11 's 1<110\vledge of tl1e la\v is a11y l1arder to investigate tha11 man)r qt1estio11s \Xlhich are go11e i11to. Tl1e diffict1 lty, st1cl1 as it is, \vould be met by tl1ro\v1i11g the bL1rden of proving ig11ora11ce 011 tl1e la\v'-brealzer. Tl1e JJ ri11ci 1Jle ca1111ot be ex1Jlai11ed by sayi11g tl1at we are 11ot 011Iy co1n­ ma11ded to abstai11 from certain acts, but also to. find out tl1at \Ve are com1na11ded. for if there \Vere sucl1 a second comma11cl, it is ve ry clear tl1at tl1e g11i lt of failing to obey it \v'OLtld bear 110 JJro1Jortio11 to tl1at of disobe)ri11g tl1e JJri11cipal co1111na11d if 1<110\X,n, yet tl,e failt1re to l<no,v \VOt1ld receive tl1e same pu11ish1ne11t as the failt1re to obey tl1e J)rinci 1)al la\v' . Tl1e t rue ex1Jla11atio11 of tl1 e rt1le is the same as tl1at wl1icl1 accot111ts for the law's i11differe11ce to a ma11's 1Jartict1lar ten1perame11t, faculties a11d so forth. Pttblic JJolicy s,tcr i fices tl1e i11dividt1al to tl1e ge11e ral good. It is' desirable that tl1e burde11 of all sl1ot1ld be equal, bt1t it is still 1nore desi rable to pt1t a11 e11d to _robbery �n� 111ttrde r. It is 110 dot1bt trtte tl1 at tl1 ere are n1a11y cases in \X1l1 1cl1 t_l1e cr1m111al cot1ld 11ot l1ave l<110\v>11 tl1 at lie \Vc,s breal<i11g tl1e la\v, but to admit tl1 e exctt?e at a ll wot1lcl be to e11cot1rag·e ig11ora11ce \Vl1e re tl1e la,�­ rr�al<er l_1as _deter111111ed �o mal<e 111e11 1<110,v a11d obeJ,, a11d justice to tl1e ind1v1dt1al 1s r1gl1tly ot1twe1gl1ed by tl1e larg·er i11terests 011 tli e other side of the scales. X c. MJNISTERE PUBLIC DU CAN1�0N D'AROOVIE RO 86 IV 212, JT IV 82 (1961) Switzerla.11d

__S�1m_mary. of Reas�ning: �orrectly, tl1e a )JJella11t do as a tha t es 1 di sp 110 tit t e st1a11ge1 (ltal1a1�),_ l1e _is stt�Jec.t to tl1e JJrovisio11s f:o r od e C of tli Pe e iia S\X l ,is s of_fe11ses . co111n11tted 111 Sw1tzerlat1d, accordi11g n· na 1 1 to He A rt . s. ( 3 1) C . p. ta1n� on tl1e otl1er l1�11d, tl1at tl1e J'Ot111g girl, 15•/ s w, � l1e ye ar 11 s \X1 of ac ' 0 re witl1 l101 1 e 1s 1a l v111g se · xt1al r"'...lat1011s, was aIreactY ca Jable of2 co11t racti11g 1nar riage as s 'l 1 1

2C. I-Ioln1es, The Common Law 47_43,

.

.

.' .

'

..

IGNORANCE

LAW

241

under Italian j11risdictio11; tl1at sl1e was I1) lono·er a cliild u11der 191 1 of ( ) 21 . .S the � P . at:d that _tl� e refore, he l1ad not led ab cl1ild astra)' accorcli1 1g to tl1e 1nean111g of tl11s prov1s1011. It is trtte tlJat tl1e ca1Jacity of a yot110- girl to e11ter upo11 a 111arriage cor1tract, according to tl1e Co11ve11tio11 O' �[lie J-Iao·ue of Jt1r1e 1? , 190 is ?....., ..... croverned bY (l ier) nat 1· 011a1 law a11d tl1at Art 84 c tl1e Italian Civi l Code of ers a \xron1an ao ·ed 14 at l 1e1· cor1std · • 1ast· b1rtl1day ' · i:• as capable of co11tract1ng marria�e (RO 75 1 �4, JT I 424 (1949) ). J-Io\xever, it is tl1e S,viss Pe11al Cocle wl1icl1 exclusively d e tern11r1es \xrl1at is to be t1nder�ood by (tl1e tern1) cl1ild witl1 res1J ect to Art. l 91 of tlie C.P:S. Acc0rdi11g· to tl1e t�xt a11cl tl1e !JL1r1Jose of tl1is provisio11, ariy boy ati d ar,y g·1rl of less tl1ar1 16 )'ears is protected. Tl1e la\xr does 11ot eser ve ·tl1e s e seek to pr . Xt1a , I 111 · teg1· -·t 1 y of sttl1 1Jerso11s 111erely 1n cases wl1ere · . _ , �ttt the), _ are �till tiot pl1)1 s1call)� 1 11att11e al;o \Vl1ere tl1ey l1ave alread)' reacl1ed pl1ys1olog1cal sex�al 1natt1rtt)1; a11d tl11s ?Y virtue of ex1Jerie11ce \Vl1icl1 sl10,vs tl1at adolesce tits )'OL111ger tl1a11 16 are _ still 11ot adeq11atel)' develo1Jed 111e11tally ar1� tnorally so as to ?e eq11al to fac111g tl.e boclily a 1 1d JJsycl1ological attacks \Vh1cl1 threaten_ tl1e111 111 tl1 e case of JJre1n,tt1re sex11al i11terco11rse. Art. 191 is tl111s _basecl, 11e1tl1er 011 tl1e . arrival of sexual n1at11rit)', tl1e capacity to contract 1�ar_r1ag·e,. no_r 011 tl1e_ fJll)'Stcal a11d 1noral cevelo1Jme11t or tl1e cl1aracter of tl1e v1ct1!n [��tat10 11s omrtted]. 011ly tl1e li1nit11g age of 16 is decisive for tlie apfJl1cab 1 l1ty of pe11al protectio11. b

•

�lie fact tl1at, ac�or9i11g to l1is 11atio1,al law, tl1e a1J1Jella11t cot1Id l1ave n1arr1ed tl1e YO\lt1g girl 1s co11seq11e11tly of 110 l1el1J to l1im. Neitl1er the capacity of tl1 e )'OL111g girl to co11tract n1arriage 11Gr tl1e inte11tion of tl1e ap1Jella11t to marry _her ca11 alt er tl1e fact tl1at tl1e yot111r girl, agecl 15 1/2, \Vas still a cl1ild accord111g to Art. 191 of tl1e C.fJ .S. ancl t1at tl1e aJJ1Je!la11t l1as com1nittecl a11 indec e11t assat1lt according to s11b-sect. 1, par,.. I of tl1is )Jrovisio11 by l1aving sext1al relatio11s with l1 er. Art. 191 of tl1e C.P.S. \xrould 110 lo11ger ap1Jly 011ly if tl1e perpetrator had married tl1e 1,ou11g girl b e·bre l1avi11g sex11al relatio11s \Viti, l1er1 since i11 tl1is cas e the cl1aracteristic of i11dtcent assa11lt, wl1icl1 does 11ot exist between husba11d and wife, wot1ld be abse 1t. Wl1 en tl1e a1J1Je lla11t b ega11 to l1ave se:xual relatio11s witl1 tl1e yot111g girl, he k11e\xr that sl1e was 111 1der 16 a11d tl1at, i11 S\vitzerland, such relatio11s are forbidden a11d pt1nishable. If, i11 SfJite of a 1, lie started \vith tl1e idea tl1at lie 22 2 .S. rt. \ 1C.P to. g· rdi�1 nt acco o11s 0 e r�as ici suff ,, l1ad tl1e right to act i11 tl1is \va1 were lacking. J-Iis b elief \vas based sole])' UJJ0�1 tl1e con_s1derat1011 that _sext1al intercot1rse witl1 a11 Jtalia11 caJJable of cor1t1act111g· a 1narr1age was 11ot JJL1n1sl1able under Italian la\xr. H e l1is 11ever claimed, ho\Ve\rer, tl1at l1e believed l1i1nself to be subj ect, as far as l1is be l1avior in Swit2erla11d was c?11cer11 ed,1 _to tl1e Ita_lia11 Penal Code and 11ot to tl1 e Swiss Penal C,)cle, a11d 11otl1111g gave 11m to believe that lie could 1nai11tai11 tl1at tl1e S\viss Pen,I Code wo11ld exceptionally leave e ev e11 \Vl1e11 ag of_ rs 5 yea of_ l 1 gir lit1 Ita 1 an l1 wit rse ou erc i11t unpu11isl1 ed sexu al the partners i11te11d ed to marry. He sl1ould have ser1oi1sly co11s1ci ered tl1e JJOS21. Arr. 191. J,nmorality with Children - '. 'I. \�hoever ab�ses _a chilcl tinder _sixt�en years of age f'?r 1s the student, pupil, ld cl�1 the If ry. 1t1a _ 1ce1 the )en 1n cl f1ne con be ll sha , act tio copula n or similar -cl11ld, the ward or the foster apprentice, domestic servant or rl1e cl1ild, �rand�h1lf, adopt�d o� step less than three years. child of c]1e offender ]1e shall be confined 1n the penitentiary for not p. ( t 939). Translation, Friedlander' and Goldberg, 30 ]. Crin1. L. and J)o/. Sci., Sup 22. Art. 20. Erroneous Concept of the Law - If the olfcnder cornmi�s the act believing l1e l1as leg_al or may refrain justification for it the court in its cliscretion may .r.duce the pun1shn1ent (Art. 66) frGm imposing se�tence. 'franslacion, Friedlander an:l Guldberg, idern.

.

. ... '

.. ·� · ... "-

I

24.2

TliE AFFIRN\ATIVE

DEFENSES

n;_ dde . .. . orbi f _ as act also tl1e �as , 1ces a 111atter ta1 uins circ e . tlies s1b 1l1ty tl1at, u11det . 1 1 11te11tto 11 to 1�a1 ry l1ad speof s 11 w l<i,e o wl, er otl, 1 ,, s ·irl' g o_f _fact, the yott1�g111ishable cl1a�acte1· of hts be� 1 avior )t e 1 tl 1 tio1 atten l l1is as c1f1cally brot1g l1! to i· e liad t1is first sext1al relat1011s \X'itJ t be-fore iti a ag· 11 e 1 ti d 1 far bacl{ as 195 t �11 i ,g· _ arid l1ad }1e l1ad tl1e co11scie 11tio uswari,i ' ·vocal 11 1eq t 11 t 1 s tl1 tl 1e cl11·1ct · After Id 1 t sl101 1ave lie 1s Italia 1 l1er11 Sot1t at leas t ass le-cl ,,idcl 1 of t ec J J 1 1ess o1:1e ex w der l1er wo11 wl1e! to l1i111 ted ) n1 1 J)ro l1e l1ave ld � wot1 tl1at as s t �11t�r�a11 1�d dot� . 1 1ted h 1m fro111 be­ reve ) 1 l1ave 1 0t 1 ld \X and o11s relati .· 11ate 1 Jttst�fied 117 l7 av! g As l1e (1959)). IV 105 I1:as b�·o11gl1t 76; JT �� IV 85 RO 1 · d l1e s a l1av111g abo11t, tl1 ro11g1 1 l11: s ( O\'v·'Il fat1lt, tl1e error i11 law, he ca1111ot base 111s cla1 1n o11 f\rt. 20 of t l1e C.P.S. . c��tr cle Cassatioti _ MM. Fassler, Bacl1tler, Perri11, Grisel a1 1d Reichlin.

�� S

GERMAN FEDERAL SUPREME COURT 23

Pleriuni of tl1e Senate for Criminal Matters of 3-18-52 2 B.G.ll. St. 194, 5 N.]. W. 593, 7 j.Z. 335 (1952)

(a) Tl1 e JJositio 1 1 of tl1e Reichsgericht, accorcling t� \Vl1icl� a per1Jetrator 11eed 110t 1 ,ave bee11 a\x,are of tl1e t1n]a\x,ful1 1ess of 1 11s act, 1s l1ereby overr11led. ·'

(b) Tl1e excusable error abo11t tl1e 1Je11al la\'v' excl11cles tl1e gt1 ilt of tl1e jJer1Je­ trator; tl1e c11l 1Jable error abo11t tl1e 1:>e11al law 111a)' i11,. all cases lead to rnitigatio11 a11d IJLt11isl11ne11t for tl1e attern1)tecl offe11ce (Sect10 11 44, Pe1 1al Code). (c) 111 tl1e case of sectio11 240 of tl1e Pe11al Code tl1e per 1Jetrator mL1st 11ot onl)' l1ave l<11 ow11 tl1e factt1al circt11nsta11ces of t l 1e defi11itio 11 of sectio11 240.1 of tl1e Pe11al Code - of wl1icl1 tl1e 1111la\x,ft1l11ess itself is 110 part - bttt l1 e 1 nt1st also l1ave l1ad tl1e aware11ess, or by a f)ro1Jer searcl1i11g of l1is con­ scie11ce sl1ot1ld l1ave l1 ad tl1e a\vare11ess tl1at \X1itl1 tl1 e duress lie \X!as doi11g \vro11g. [011 jJp. 194, 195 the co11rt stated tl·1e facts of tl1e case: A11 attor11 ej' l1 ad co11 tractecl to coi 1 cl11ct tl 1e defe11se of a client a11d l1acl beg·u1 1 l1is \vorl<. I1n1ne­ diately jJrior to tl1e trial tl1e attor11e)' ref11sed to 1Jrese11t tl1e cli 1 11less she 1 e11 t wot1ld r11al<e a11 ,1clva11ce 1Jay111e11t of l·1is fees. Wl1er 1 tl1e cli e 1 1t aJJIJeared \vitl1 a smal l dow111Ja)1 111e1 1t, tl1e attor11ey den1a11ded t l 1at sl1 e sig 11 a 11o te to tl1e a1 11oun t of Dl'v\ 400.00, fc>r re1nai11i1 1g fees, tl1reate11i11 0· ao·ai11 to \x r itl 1d ° ra fr \v 1n tl1 e case o if she \X10t1lcl 11ot co1npl)'· 011 JJIJ. 195 to 199 11,; co11 to r's rt di sc le us gi sla se tl 1 d e 1 ttse of tl1e ter111 'L111la,x 1ft1ll),'' in tl1e defi11 itio11 of tl 1 e cri i ne of d11ress and coercio11, fi11di 11g it to be 1nerel y clescriJJtive of tl 1e 1 111la\X1fti lr 1 ess \X1l1icl1 every cri1 ne 11ecessari l y co11 stitL1tes, \xrl1etl1er tl1e ter1 n is co 11 or 11t ai 1it 1 io 1e d de 1 1 1 i e tl 1 fi 1 1ot. 011 l)IJ, 199, 200 tl1e co Ltrt re\1ie,vecl tl1e l1istory of tl1e 111axi111 ·''error of j::)e11al _la\v . does 11ot exc11se," stati11 g· tl1at tl1e bee_11 111 cl1sag·ree111e11t \x1itl1 tl1e coLtrts of tl1is scie11ce of crimitlal la\xr had aI,x,ays jJOi11t. Tlie cot i rt revie,ved the var1ot1s legislati·ve exceptio11s to tl ·1e 111axi1 11 . T l1 e Error Decree o f 1917, sec . 395 of llie Reve11t1 e_ Law, sec. 71.2 of t l 1e fo re ig 1 1 C11rre11cy Exc l 1a1 1g e La w, sec. 26a of tl1e Eco1101111c Pe11 al La,v, a11cl se c. 12 of tl·1e Law o f Violatio11s.] Pei7 alt)' JJrest1JJIJOses gt1ilt. 011ilt is bla111e\'v'Ortl1i11ess. Witl1 tl1 e bla111e the 23. Tra11slation, Jvlucllcr, C on:paratZ:ve CrZ:n1inal La7.u l 66- l 68a.

'

.

243

IGNORANCE )F LAW

l)er 1 Jetrator is accus ed of 11ot l1avi11g actej Ia\vftilly t1'1at l1e chose tt1 1la\vft1l11ess altl1ottgl·1 l1e cot1lcl have acte d la\vft1IIJ', cot 1 !d lla\re cl1ose11 la\vft1l11ess.Tl1e i11 r1er �e�so11 fo r tl1e attacl11ne11t of bla1 ne lies ii, tl ,is: tl1at tl1e l1t1111a11 being is co,,clit1o11_ed f o r f ree, respo11sible a11cl 111oral self-deter111i11atio11, a11d t]1at, tl1ere ­ for�, li e is ab !e to decide for r ig·l1t a11d cg ·ai11st \vro11g·, i. e ., to adjt1st l1is be­ liav1.or a �co1:�1ng to tl1e 11or111s of_ law f't1 l ''ougl,t'', as soo11 as lie l1 as reacl1 �d 1TI? 1 al.111,ttt11 1_tJ,, a11d as 1011g as 11 1s 1Jredi�1Jositio11 for free 1noral self-cleterm111a�1 011 _is 11 ot 11111Jedecl te�11porarily or dest 1oyecl Jer Jett 1ally by 011e of tl1e 1nor­ 1 1 _ 1 stu 1 1 cl ba11ces recog1 11zed b>' sectio11 5J o f tl,e Pe11al Cocle.... Bttt, tl1e b rJ a\varei,ess to do \vro11g ca11 als o be abse11t i11 a l1ealtl1J' Jerso11, 1 1a 1nely wl1ere 1 e cl oe s 1 11ot l· 1<110\xr of tl1 e legal JJrol1ibitio11 or \X1!1ere lie cloes 11ot !(110\xr it pro1J _ erly._ 111 SL1cl1 cases .. .as \,;;ell, tl1c 1Jer1Jetrator is t111able t o 111al<e a deci­ s1 011 aga1ns� tl1 e \vro r1g. Bt1t 11o t every error abottt a prol1ibitio11 exclttdes blan1e\vo rtl111 .::::, lie s abot1t to t111dertake I li e l1as to n1al<e • 1e ss.... For ever\J tl1 i 110a11 eva It1at 1011 as to \vl1etl1er o r 11ot it is re:011cil::tble \xritl1 legal ''ot1gl1t Dot1bts _ e resolve d by tl1inl<i11g a11d by i11vEStigation.For tl1is I1e 111t1st searcl1 l1is mt1st b cor1sc1e 11ce, and tl1e 111easure of searcl1i11g is de1Je11de11t 011 tl1e circt11nsta11ces of eacl1 case, as \'v ell as 0 11 tl1e experie11c� of life a11 d tl1e [Jrofe ssional stalio11 of eacl1 i11diviclt1al. If des1Jite st1cl1 a11 ex1:ected searcl1i11g of tl1e co11scie11ce lie is t1nabl e to cotne to tl1e realizatio11 of tl1e t111la\x,fttl11ess of l1is act, tl1e11 tl1e error was i11vi11 cible, tl1e act u11avoidable.l11 sL1cl1 a case 110 blar11e can attacl·1. If, l1owever, \vitl1 tl 1e reqt 1irecl a111ot1 11t of searcl1i11g tl,e co11scie11ce tl1e 1Jer1Je­ trator sl1ot1ld have realized tl1 e t 111la\vft1l11css of l1is act, ll1e11 tl1e error as to tl·1e jJrol1ibition \will 11ot e xclttcle gttilt. Bttt tl1: 111e ast1re of blan1e \xrill be lo\vered accordi11g to tl1e an1 o t111t \Vl1icl1 tl1e pe11Jetrator fell s l1ort of searcl1i11g l1is co11sc1 ence. Awaren ess of u11la\vft1l11ess does 11ot 111ea11 !(110\x,Iedge of JJe11a]\YJOrtl1i11ess, 11or does it 1nea1 1 tl1e 1<110\vledg e of tl1 e 111le of la\v \Vl1 icl1 co11tai 11s tl1e fJro­ hibilio11. 011 tl1e otl1e1� l1ar1d, it do es 11ot ,trffice tl1at tl1e 1Jer1Jetrator merely is a\X,·are that his act is mo rally r e 1Jrel1e11sibl�. Btrt tl1e 1)er1)etrator 1nt 1s t 1(110\v, o r witl1 a re qui site searcl1i11g of l1is co11sciei1ce ot1g·l1t to !(110\v, that l1is act is 1111laYvft1l - 1 1ot by le gal-tecl111ical s ta11da1ds, bt1t at least by lay stanclarcls 0 11 tl1e level of l1is O\v11 tl1i1 1l<i11g (IJI), 200-20:). [0 11 PIJ. 202-204 tl1e cot1rt di scttssecl _ t�e rt1l� o� _tl1e old Reic/Jesg�ricl1t t111der wl1ich it was possible to st1bje ct t o cr11r111al l1ab1l1 ty tl1ose \xrl10 vrolatecl tl1e e11ess oi tl1e rt1les. I11 tl1e 1 ?tl, ce 11tt1ry tl1e ar a\v t111 1t 1 ce 1r1o 1 i a 1 1 1 1 law t11rotio0 danger of sticl1 ii1n oce11t co11victio11s \v'as re 111ote. (Qtrery) W!tl1 tl1e adva11ce of econo1nic regt1latio11 by law tl1e rule th�t �verybody _ 1s IJ!·est11ned _to 1<11 ow th e law I1as be come absttrd. Tl1e 011ft1s1011 111 tl1e legal 01der \Vas 111creased by the Re ichsge1·iclJt's.disti11ctio11 bet\vee11 �rror of_ JJe11al la\v . a11d error of rion-iJeiial la\v. It is amaz1 11g tl1at 11o t 11ore I1a1111_ has 1 e st1lted t�11 �L1gl1 st1cl1 an illooO-ical ctis tii,ction. Tl1e court f ot111d re xt tl'.at 1t l1as tl1e po\ve1' to 1nod­ ify or abolisli tI,e existing rt1le, si 11ce t.1 e l �g1slator l1ad f)Ltrposel} left sec­ 1re develor)mer1t b}' tl1e tt ft1 e bl s1 s r )O o f e gu va e d , tion 59 of the Pei al Co courts....] 1

1

11

•

efi11itio1 1al ele1nent s d e tl1 ts fec ef 11 1y lli wi d a11 _ . y gl ii, 5 ow Tl�e· �ctor wlio ki1 1 1 tl t, , l 1 a ac q­ s or \X f re o es : 11 _ t1l � wf 1l1 ttr : e tl1 ew 1 ki J1e of tlie crime is gttilty if 1 zed �t, �11d_ tf, n_�v�1_tl1eless, l re� ye a J11ld _ co , 1ce e1 ci l s n uisite searcliing of l is co .1 ol t 0 o t of JJ . 11b1 1 11 ex­ r e et 1�l 11 1v1 11 1e Tl i t. � ac the it l1e freely dec ded to comm g oes not exclttcl e tl1e d tt bt t uil e tl1 r� we o l r t rro e le �lttdes the gttil , t11e vincib 111tenti.on. (p.209) • •

.. . .

..

�

•

•

,1

244

TliE

Al::-FIRMATIVE

DEFENSES

NOT ES Note 1:

ry to is H n ia p o hi Et in w La f o e Ignoranc

1 ce of tl1e Iav.: wa s carefully set 1 ora ign 0, 193 of de out Co i,al Pe U 1der tile 1: ) r1t s ve ee se of gr de g i11 ry va i11 ce 1 as a 1�itigati,1 g circL11nsta1

Art. 12. The 1na11 \vlio offe11ds after lear11i11g an� k11owing tl1e la� of t�e �overn­ n at1o lam c _ tl1e JJro with 111s ow11 1ng hea or law tl1e g di11 rea : r afte ai,d t, men . ent hm l n1s e ful fJU eiv rec ll sl1a d an r 1 de e1 off l lfL1 wi a is ears , Art. 13. for a 1na11 wl10 is \Veal< and forgetful, wl10 is unable to l<eeJJ on remen1beri119· and observi11g tl1e law, tl1ot1gl1 l1e sees \Vitl1 l1is eyes tl1e law of tl1e Oover11 me11 t and l1ears it \vitl1 l1 is ears and does not fail to be prese11t at tl1e courts, 011e tentl1 of l1is JJL1nisl1me11t shall be remitted. Art. 14. Tl1e cot1ntry111a11 \xrho does 11ot live i11 town, \xrl10 l1as 11ot seen with his o\v11 eyes 11 0\xr tl1e worl< is do11e and completed but only l1ears by report tl1 e law and ordinance of tl1e Oover11me11t, sl1all have two te11ths remitted Art. 15. Tl1e 1no11l< wl10 lives i11 a sa11ctuary, and tl1e l1ermit, wl10 is far from tl1e la\v and ne\xrs of tl1e world, sl1all l1ave tl1ree tenths remitted. Art. 16. Tl1e poor n1an \vl10 is unable to attend and l1ear \vl1at goes on in an)' kind of court a11d is u11able to l<11ow the la\v a11d ordi11ance of tl1e Government by reaso11 of l1is poverty a11d differe11t 1node of livi11 g shall l1ave four te11ths re111 itted. Art. 17. Tl1e stra11ger wl1 ? l1 as con1e fron1 a foreig11 coL111try, \xrl10 l1 as 11ot heard tl1e law a11d ord111ance of tl1e Oover111ne11t (for a JJeriod of six 1nonths), shall l1ave five te11tl1 s remitted. Art. 18. Tl1e woma11 wl10 l1 as 11ot lear11ed tl1e la\v a11 d ordi11ances a11d does 11ot go 011t to tl1e co11rts sl1all l1ave six te11tl1s remitted. Art. 19. Tl1e ma11 wl10 is t111able to l<t1 0\V fJroperly tl1e edicts at,d law of th e Oover11 1ne11t by reaso11 of l1is bei11g 1ne11 tally deficie11t tli rougl1 illi1ess or any otl1er cause sl1all, l1ave seve11 te11tl1 s ren1itted. Art. 20. rl-l1e co1111try1na11 wl10 co11v_erses i11 tl1e la11guage of Jiis O\xrn cou11try a11d does 11ot k r ic>w tl1e Atnl1ar1c la11g11age i11 wl1icl, tlie edicts ai,d law of tl1e Oovernm�11t are n1a�e sl1all l1ave eigl1t te11tl1s remitted; tl,is present la,xr l1o�ever ts only valid for a !Jeriod of tl1ree years begi ri ning fron, the date of 1�s enact1nent; after tl1ree )'ears tl1e fJlltlisliment s1,all be decided ac­ cord 111g to la \V.

'

IGNORANCE ()f LAW

245

Art. 21. He wlios e age is from 9 to 12 years sliall have ni11e te11tl1s ren1itted. :3t1c� P:0visi<?n s �ss_un1e considerable in1portatice i1 1 tlie ad1ni 11istration of pe11al Justice 111 a !•ng_u1st1cally a11d �ultt1rally IJltralistic 11atio1 1 witl1 l i tni ted facilities !or comn1un1cat1 01 1 and education. Is Art. 73 P.C.E. (1957) better st1ited to 1neet1ng sucl1 problems tl1a1 1 were Art s. 12-21 p .C.E. (1930)? Note 2:

Legislative Diversity in the Treatm(nt of tl1 e Defense of Ignorance of Law

The Pe11al Code of Y�goslavia (1951 )24 Art. 10. - Error in Law. Tl1e Cot1rt may im1Jose a redt1ced 1=t1 11i sl11ne11t 011 tl1e 1Jer1Jetrator of a crimi11al offence \11]10 for just ified rea;o 11s did 11ot 1<1 10\v that sucl1 a11 act was prol1i bited, and it may also re111i : the pu11ish1nent. Tl1e Pe11al Code of Korea (1.953)25 Art. 16. - Mistake of Law. Wl1ere a perso1 1 co1nmits a cri111e i11 tl1e belief tl1at I1is co1 1duct cloes 11ot constitute a cri 1ne ttnder ex isti1 1g lav, lie sl1all 11ot be pu11isl1able 011ly wl1e11 l1is mis take is based 011 reaso11,ble grou11ds. Tl1e Pe11al Code cf Ke11ya ( 1930) 26 Art. 7. - Igrzorance of law.

Jcrnora11ce of tl1e la\v doe s 11ot afford a11y excuse for a1 1y act or 01niss io11 .;hich \VOttld other\vise co11stitt1 te a11 offe11ce t111less l<nowledge of tl1e la\v by tl1e offender is expressly declared to be an eleme11t of tl1e offe11ce. Questions

1.

What do you see as tl1e difference bttwee11 fact and_ la\v?_ Remember th�t in pr inciple, mis.take of fact is a go)d defense ,vl11le m1stal<e of law ts not. Do the follo\vi11g concern fact 01 law: a. b.

A trespassed on B's property, tl1inl{ing that B has not yet signed the 11ecessary deeds? C m ce or fro iv s a � B' t�1 1 �i1 i11 tl� on i X, ict id s ri jt1 in . B d rie ar m A � � x 1 ct 10n d 1s I JU 1n d l1 be va ld ou w V n io ct di s ri ir1 ju

c.

A killed B?

d.

A committed homicide?

24. As translated in 1 O The New Yugoslav Law 11, l'fos. 3-4 (1959). 25. Tht: Korean Penal Code (American Series of Foreig� �en� l _Codes, 1960). 26. This provision is typical of those in common law 1ur1sd1ct1ons.

.. .. . -' .' .. • ��-

I

TI-IE AffIJ�N\ATlVE DEFENSES

246

2. 3.

4.

5.

6.

1 d? 1 i rn f o te ta s s l' a Lt e. A 11 i11d i vid a 1 1d i1 1te11 t''? e g d le w o 11 l< ll t1 ''f d ar cl 11 a f. Tl,e st g in ? 11 \\ lO al i ' c) 1e def ens 1 11 tl ie1 le � ar w to . te ta ili n1 s 1 1 tio ra cle isi e \XII t JJolic\' coi ? \xr ]a e f o ak st g 11 in n w lo al t o r1 e 1Jl 1 ci _ of ��ct \xrli iie i11 fJri1 1 ?ra11 ce' ' be qt!ate 1 ''i ou Sh ? 78 rt. of � le rt1 !� d l era 11 � � - Wliat is tile 1 ge 1 JJl;' 1n 1 gl1t al 1 leg es Do ? 78 t. A1 er 1d t11 rio·ht? law of \x;itli ,,111 istal{e '? e' at t1 eq 1d ad a1 e it 1 i1 ef ''d is at l1 w Who decides ow l<n tl1e to ve a i 1 1 l 1 e ov JJr 0 cl I i t o sions W ? 1 1: ea 111 '' ce 1 1 ra 10 1 ''ig es _ Wl,at do r ou e xr? tl1 la\ \X7 10 Do l<t to > id sa be to J1a o1 see l1i Et of tl,e Peti al Cocle of 1at n1igl1 t be called 11ial11-m in se wl 11 ree t\x be ct 1Je res s tl1i i11 ce 1 e1 fer a dif . E . 0 C P. 70 rt. e A Se s? 1 1se fe of ;' or 1 t lat g· re , tty [Je d a11 offenses 1lahn1oud 1Jro1Jer tinder Art. 78? l\ d fai of 1 o1 siti 1Jo dis 's t1rt Wa s tl1e Co Wl 1at reaso1 1s dicl tl1 e Cottrt gi\re to sup1Jort its dis1Jositio11? Wl1at argu­ me11ts 111igl1t be made botl1 011 bel1alf of tl1e prosect1 tio11 a 1 1d tl1e defense i11 tl1e case of Paid Mah11zoitd? It is ofte11 said tl1at tl1e doctrine ''ig11ora11ce of tl1e la\v is 110 defense" is based t11Jo11 tl1 e fictio11 tl1 at everyo11e is fJrest1 n1ed to l<11 0\Y1 tl1 e la\v. Is tl1 is accurate a11 d if so, is it \X!ise? What ratio1 1ale wot1 ld I-Iol1 11es give for tl1e fictio11? Is it j11 st, I1owever, to fJe11 alize n1en lil<e Faid J\1 iah111ot1d? Exce1Jtio11s to tl1e ge11 eral rLtle tl1at ig11 ora11ce of la\v is 11 0 defe11se are ofte11 11rgecl. Wot1ld tl1 e follo\x1ing· exce1Jtio11s be allo\xred u11cler Art. 78; if 11ot, sl1 ot1ld tl1ey be allo\xred: 11

'

a. b. c.

1

t,

A 11ew la\xr? A11 i11 defi11 ite or vag11e law? La\vs gover1 1i11 g ''fJt1blic welfare'' offenses s11cl1 as Arts. 781, 788 etc.)?

(i.e.,

reg·ulator)' offe11ses

d.

A mistal<e concer11i11 g a la\xr recently decla1·ed 111 1co11stitutio11 al by tl1e co11 rts or tl1 e legislatt1re?

e.

A n1istal<e of law based 111Jo11 tl1e advice of a lice11 sed la\xr}'er?

:X'ould it be l1 el1Jf11l to asl< tl1at la\'v'S be reg·uiarl;r ptiblisli ed aii cl exJJlained 111 jJOjJ11lar 1 1e\VSfJafJ �rs or allo\xr tl1e clefe11 se of io· r1 oraiice of la\v for one year aft C.r _ 1�ro11111Igat�o11 ? f\re tl1ere ot1'1er \'<'a)'S j 11° \vli icli tlie gei,eral rule ca1 1 be 1 eta111 ed yet its l1arsl1 11ess softe11ecl? 8. :X'11Y· did tli e �oii rt 1_ 1ot at lea�t red11ce tl1e JJt111isl1111e11t of tl1e defenclant 111_ tl1e Cci11to,z cl Argovie case t111d _ er tl1e very Ietiie i it S\xriss JJrovisio11 on 11�1 stal<� of la\y? I -lo\xr \Vo11ld tl11s case be decid ed ll11 de 1. A I·t . 78.? Wh)' d Id t11 ls ca.:,e tt11.n 011 1111. stal<:e of la\v wl11. le tli e carz t.01i, o; . , cas e 51,,pra L ,. r 11.ce1,2e ' \'(/as co11 s,dered 111istal<e of fact? . . 9. WOttld it be better to al e ' low . ig·1 101·a1:ce of a\v 1· 11 n11·t1g ti 1 tl an ra tl1 er 1 at 1 1 0 1.i. ,,.? WoLild it be 1 . Art · 78(2) .s ° 1utio \\ri se to 11 1cor1)orate a 1Jrovisio1 1· 011 11egl . ) ge1 1ce s11n1 ar · to b· tl 1 at · 1 i 1 A rt ... 76 : so tli at 11eg 11 ge1 1t 111 istal(e \XIOLtld 110t. . 1 . . . excL·i sed \Vl1e1 e�s 11011 -11 eg.l1g·.e11 t 1111 stal<e \V it s a OL tld 78 be?· D oe s Art· 1 110\v sta11ds, arrive at esse11 tially tliis resttl t? 10. Wl1 at is tl·1e ratio11ale bel i i ii d oer11 y 1a11 's 1 1ew ap1Jroacl1 to i. gnor ance 0f 7.

C:

•

i

l

'

I

----

. .- . ' •'

"

,

IGNORANCE 1)F LAW

247

l�w? The di�tiii�tion betwee,1 ''vi11cil: le a 11 d invi11 cible'' ig11 ora11 ce i1 1 con. . t1 11ental law 1s d1sc11ssed i11 I-Ia11, . . Law 368 ff. al Crimi12 l . of les p Ge12�ra c1, n Pr1 Would �,0t recoiTimetid tI1 e 1 1e,v Oerrr1a11 otl 1er afJ f Jroacl1es the of atl)' or � set O t te 2, for Etl1 iOfJia? Sl1 01ld Arts. 12-21 P.C.E. ( l 930) (Note 1) � be re:�n��teel, Art. 7oo P.C.E. 1st fJa·a. re versed?

•

Problen

Ol t are an afJpellate j11 dge i11 Etl1iopia. Tl1e follO\Y/i11a J1,rpotl1etical case O J -0 f Ty he A ttorr1ev Genera L 'V • .c._'1to Gi'de Leh I 1as bee11 aJJjJealecl to yoLtr co11rt by tl1e d_efen dai, t- a�JJ_:,,I e lant, Ato 01cleleh. \Vrite a11 01Ji11io1 1 for tl1e aJJIJellate co11rt ettl1 er s11sta111111a a (.111 \Y/ l 10I e or 1· n JJart) tl1e JLtclg1ne11t of tl1e coLtrt o or re\rers1·11o belo w. Be Sltre to address yo11 rself to tl·1( JJOi11ts of error raisecl by clefe11da11t­ arpell�1�t and t? a11)' otl1 er iss11es tl1at ,olt tl1i11I< esse11tial to tl1e correct 1 d1spos1 t1011 of tl1 ts case. ]1tdgr11ent of tl1e Lower Cottrt

Tl1e ;.\ttor11 ey Oe11eral v. Ato Oidelel1 Cri1ni,zal File No. ·1744/55 E.C.

The facts i11 tl1 is case are as follo\vs: Ato Oidelel1 lives 11ear Acldis Ababa a1 1d _o\v11 s several gasl1as of la11cl i11 vario111 jJarts of tl1 e En11Jire. I-le l1as recer1tly obtained a 11 ew jJIO\V a11d jJla111 1ed to test it 011 a IJlot of Ia11cl \Vl1icl1 l1 e l1as 11ot see11 for a 11u111 ber of years 1 1ear Naz1retl1. Ato Oidelel1 testifiecl tl1at 011 arrival at wl1at l1 e believed to be l1is la11c, l1e 11 oticed tl1e re111 11 a11ts of a11 old buildi11 g tl1at n1 ay l1ave bee11 a cl111rcl1 a11:l a 1 111111 ber of sto11es lyi11g aboLtt. He fLtrther testified tl1at lie clicl 1 1ot re111e111ber l1avi1 1g see11 tl1e old b11ilcli11a and sto11es 011 l1is Iancl before a11 d tl1011glit tl1eir JJrese11ce 1Jec11liar, but \x1e1 1t al1ead ,vith l1is JJlO\vi11 g a1 1J'\Va1 l1 1 acttalily, tl1e la11 d \Vas 11ot tl1at of Ato '0idele11, b11 t a11 old b11rial gro111 1d \vitl1 e,cl1 of tl1 e sto11es 111arl<i11g a grave ir1 ,vl1at l1ad once bee11 tl1e coL1 rtyarcl of a c1L1 rcl1. Ato Oidelel1 l<1 1ocl<ed over a number of grave stones ,vitl1 11 is plo\x a1 1d 111 1fort1111 ately 1111covered a11 d crumbled tl1 e re1nai11 s of a h1111 1a1 1 sl<eleta1. Several 1Jerso11 s ra11 fro111 11 earby - did, b11t was reJJortecl ho11ses a11d yelled for Ato Oidelel1 to stqJ !1is jJlO\V. I le to tl1e police for des fJOi)i11g tl 1e grave)1 ard a11 d later cl1arged \vit11 violatio11 of Art. 487 of tl1e Pe11 al Cocle. 1 1cl {c) by ''viola­ a (b) 7 t. 48 f\r d late vio s l1a 1 le1 cle Oi o At t tl1a ar It is cle 11 1 1g a,�? defilit;g _a_ f11neral di gra ''de 1 1; �o 1?er d dea a of ce ing pla g the restin t , 1 a def1 l111g a11 cl 1cl 1; 1non11 1nent;'' '' f) rofa1 1ing a1 1d 111ut1 lat111 g 1 clead JJerso1 striking a huma11 cor1) se.' The difficult questio11 arises witl1 the defe11ses of 111ist�l<e of fact_ (Art. 7?) and ignorance of law (Art. 78) pLtt fo1\varc! by Ato 01deleh. This case 1 s �efinitely one of ig11ora11ce of la\V _as Ato 01delel1 sl1011ld l1ave l<110\v11 t11 at tt was wrong and illegal to defile a �r�v�yard a11 d a clead JJe�sor1. We wottld certainly expect me11 living in a O,r1st1 a11 co1111try, . 11ear Addis Abab�, and owning land to u11dersta11d tl1 is. A_rt. 78 states tl1at 1g1 1or�nce of �aw 1 s no defense, and certair1ly in this_ case, . 1t :l1oulcl 11ot be_. �, to 01del�l1 cl1d 11ot have 'adeq11 ate reasons for holding his �-ro11 eo11_s belief, a1 1d_ tl11 � \Vas 1 1?t ''absolute and justifiable ig1 1orance;' there:ore, 11e1ther the amel1orat1 11g 1Jrov1 s1

•

1

1

1

..,,. .

·.

'

,.

G

i

I I

i

248

TI-IE 1\f�FIR1W\ TIVE

DEFENSES

. e s a s c 1i ly to tl p p a 78 . rt A f o ) io1 1s of SLtb-article (1) o r (2

1 ld mer ely be L O \XT it , ct e f k fa o ta is m , ed er d 11 si co a e er \x, s ii tl if i et Ev o w e th fe d of an e , _ ns rt )) A (3 76 e 1c . fe of ( e d 1 '' til tl t f o ct je b o '' . e · i mistal<e ::1s to tl f ct would 1 10f o <e fa al st 1 m d d te an it m m co n ee b ve l1a to tliere-fore, b e ctee1 11ed afJIJly. ne . 1 ld expect Ot O 11t \X' ge i _ gl 11e as w l1 le d� Ci to A at tJ1 r, It is clear, 110\veve 1 1l< to take the ra d 1 an 01 t1 1Ja cu oc 11 , t10 :� 1 L ed e, 1c 1 e r1 a 111a11 of liis age, ex1Je 1n11�11ts_ of tl 1e churcl1 bttild ing re e 1_ tl d ce t1 11o d l1a e _l1 e 1c 0! 1 1ecessar)' jJr ecaL1 tio_11s 1 1d1 ng, tl1erefore, tl1 at Ato f1 y m 1s It ). 59 . rt (A ld fie 1 11 a11d tl1e sto1 1es Iy111 g l ec to gn ec si ot de pr is 1 cl t l1i w 7 the 48 rt A ed at ol vi y 1tl 1 e ig gl ne as 1 l Oiclelel1 resti1 1g jJlaces of our dead. for tl1e above reaso1 1s a1 1cl in ac�orda11ce \xritli the JJt111isl1n1ent JJrescribed by Art. 487, a fi1 1e of E$ 1,000 is in1p:)sed upo11 Ato Oideleh. $e1 1e 27, 1955 E.C.

Memorancu111 of Appeal

Respectfull.J, submitted by ufendarit-Appellant, Ato Gideleh.

Tl1e lo\xrer cot1rt i1 1 tl·1 e case of T/1e .1lttor11ey General v. Ato Gideleh l1as e rrecl i1 1 tl1e followir1g fJarticttlars: 1. The proJJer defe1 1se is 011e of 1nistal<e of fact (Art. 76) ratl1er tl1an ig11ora11ce of la\xr (Art. 78). Article 76(3) is i11a1Jplicable i11 tl1i s case. 3. Tl1ere sl1ot1 ld be 11 0 1Junisl11 11e1 1t i1 111Jose d 1111der tl1e defe1 1se of mistake of fact. 4. If t�e d!f e 11clant is liab1e to any p111 1isl1111en t, it is for 11eglige11ce u11der Articl e 16 a11d 11ot 1 1 11der tl1e SfJtcial Part Article 487. _I, ther�fore, ht1111bly 1?eg tl1 is co11rt to reverse tl1e jL1 dg111e11 t of tl1e Io,ver cot1 1 t a11d 1 n1 1Jose 110 fJLt111sl1111e1 1t LtjJa1 defe1 1ctant-aiJ IJellaiit, Ato O i delel,. Oer1bot 15, 1956 E.C.

2.

To test Y?Ltr ability to 11 se tl1e affir111ative defe11ses as a block, address yottrself to tl11s fJroble11 1: �' a1� official i11 tl1e Departiieilt of Oef e1 1se 1.1 1 State X, ot.de1.s B, a 1na11 11 1 1 11 s sectioi, , to obta1- 11 a t 1 11 costs a ce1·ta1· 11 secr et do�t1n1e11 t fron1 tl1e E111 bass 1, of z. Relatio,1s be_.. \:e,ei, X _a,id Z l1av� bu�st into_ o�t\xra�d hostilit)' several ti i nes iti tl,e . last fe\y 111 011 tlis. B obta111s a JOb as 1an1 tor 111 1 ' of . z. o11e eve111 110· xrl11 l e B is lo_o I(1· 1 tl 11.OL1g.1 1_ a safe, C, a tl 1e E1 1 bassy 1 _ ar g�1 d, l1afJj:)e1 1s 111 t0 tl1 e rooi,1. bB fi e s atid C, 1 eal1z�11 1g ll1at B 1s a spy,_ P\111s h i s gt111 a1 1cl sl,oots t,vice. 8 is I1t, . �Ltt 1 11ai ,ages to get 11t b111ld1ng tl1e of 0 a11d locate a tel e (Jllo,,e to call 0 lits .doctor, ex1)lai1 d 1 i11g tl1e sit11atio11 a111 asl(i11g for l1el rJ. o fi i ,isl·ies '11is di1111 e1 ai,d leaves abo ut a 1 1 l1ot1 r after B s call. By tl1e ti1ne o arrives B ln s 10st so 1nt1cl1 t 1en 1 ma per i11j11ry rest1lts alt 1 1otio·Ji D i� abl e t o save B's life blood tl1 at . !\, 8, C a11 d D l1a,,e bee11 d·1aro-ed i tl1 cri11 1 es. Ass11111i1 10- tl1at the w Pt1bl1 c ProsecL1tor ca,1 fJrove eacl1 cIiarge, 11 011 as defe11se coL1r1�el, ar111 e d t:,

t:,

..

,.

•.

IGNORANCE Q= LA \YJ

249

\-vrith Arts. 64-78 P.C.E., are asl<ed to �ttt fortl1 tl1e best defe11se f)Ossible on bel1alf of each defetidant. Recommended Readinos t:, Mistake of Fact an d 1 gnoran <e or Mistake of law

Williams, Crimin,il Law 140-214 287-345 · · (e xc_elle1 1t treatise l1a11dl1ng of tl1e . common la\-vr l)Ositioi,s \-vri · tt,' 1 es1)ect t:> m1stal<e of fact a11d ig11ora11ce of la\v). · · Hall, Gerzeral Principles of Crinzi,1 al La 36J 41 e 4 1ng t er e11 ter 1d ell a1J 11s xc cl1 co � . w · , i both 1Tiistake of fact ai cl 1 a\v fion , ai, l11stor1cal a11cl )oli viewp oi11t). cy l Legros, L'El"e nierit 11 \ ora. l cl,t11s Les l1zfractiorzs 19-81 (1952) (tl1orot10-l1 co11siderati ' on c f t f · f · th f e e ec o m1stal<e of fa' ct a11d 1g 1 1ora11ce of la\v 111 Belgia11-frencl1 o fJetlal la\v). Bouzat, Droit Penal 191-195 (sl1ort state1ne,t 011 bot!, in1s · taI <e of fact ancI I a\v i11 fra11ce). Ryt1, The Ne\v �orean Cri1Tii11al Cod_e of October 3, 1953, 48 ]. Cri,n. L. Crim. arzcl Pol. _Sci. 280-281 (195�) (brief stlte111e11t co11cer11i11 g mistal<e of fact . and law 111 tl1e Korean Cr11n1nal Code a11d i11 coiTiparative la\v).

'

Mistake of :act

Vasdev, Ol1osts, Evil Spirits, Witcl1es and tl1e La\v of J-Io111icide in tl1e Sudan 1961_ S1,1.da_n L. ]. 238-244 (a11 i11t_ere�ti11g a11alysis of coin parative case� dealing \Vttl1 ghosts, etc., as tl1e obJect; of n1istal<e of fact· 1z.b. the co11clt1sio11s at p. 244 do 11ot disti11guisl1 tl1e cases of Abd11Lla/1 Mukhtar Nitr and 1

Machekeqr,torzabe).

Oko11k\VO arid Naisl1, Crimirial Law in Nig�ria l 06-115 (1964) (stateme11t of the law of mistal<e of fact i11 Nigeria). feldbrttgge, Soviet Crin1.irzal Law, 9 La7.v ir1 Easterrz Europe 194-196 (1964) (sl1ort stateme11t concerni11g 111istal<e of fact i.1 tl1e Soviet U11ion \Vl1ere tl1ere is no codified penal fJrovision). Ignorance or Mist,ke of law

Logoz, Com1nentaire du Code Penal ,Suisse ,7 (statement of tl1e S\viss position co11cerning ig11ora11ce of la\v). Thommen c. Ministere Public du Cantorz clu lale-Campag11.e, RO 78 IV 170, JT IV e 11c of v la\ ora t will ign tl1a _ a ng ali l�i r �o n�e e 11c de rt1 isp jur � 79 (1953) (Swiss us eo ld a11 o11 l1o err to son rea t e11 1c1 t1rf 111s ts re tl1e if se cu ex 11ot mitigate or belief). Legal L'Evolution de la Jurisprudence fra 1c;aise e11 Matiere d'Erret1r de Droit, e 1 rin cl e ct e11 tl1 do of fr n io t1t ( ol ev lhe 0) 96 (1 1 32 031 sse i l 77 Revue Pena Su of ignora11ce of law from strict non-e:xcttse toward an a1Jproacl1 similar to Art. 20 C.P.S.). Ryu and Silving, Error Juris: A Comparati/e Study, 24 U. Chicago L. Rev. 421 (1957). Andenaes, Jgnorantia Legis in Scandi11avia11 Criminal Law, in Mt1eller, Essays in Criminal Science 217-231 (1961).

.

..

.

..

.

.

'

..

Tl-IE .i\fflRN\ATIVE DEFENSES

250

9 ] L r1. da Su 60 9 . � , rs he ot d an ed oh .N. am . b a 1 a/ / if S le! e b A . v t e,1. ,im er ov G Sudan P e1 1a l Code, softe1 1111 g tl1e legal 1 a1 1d St 3, 19 . ct Se of (cotistrtictioti

maxim

. t) sa ti c x e 11i 0 17 s g le a ti 11 a igrzor

SECTION

E TH A N ER PE D S N SE U L CODE EN EF D E IV AT M IR FF A ER TH 0. O

y ut l D na io ss 1-o fe P or w La by d ze ri l1o ut /l a. Acts , d a11 law ary se lit tl1o 1ni or te sta c, rea­ Jli fJtt by ed riz tl1o at1 are ,...\cts , i11e i1Jl or on isc d _ cti i11_ the i:re co of l1t rig tl1e of ise erc ex tl1e i11 so1 1abl)' clo11e . 1 1d 111 tl1 � exercise o_f 1Jrofess1onal a law )Y_ ed niz og rec ts 1 l rig e vat pri of se rci exe 1 ot st1b1ect to pu1 11sl1_ me11 t (Arts. 1 are e ttc (Jrac ted e1J acc l1 \X,it e a11c ord acc duty i11 64, 65 P.C.E.; sot1rce, Art. 32 C.P.S.} Altl1ot1 gl1 each of tl1 e material elements of a11 offense n1 ay be made ot1t by tbe (Jrosect1 tio11, Arts. 64 and 65 provid e a co1nplete defe11se.011e of tl1e 111 ost d ffict1 lt JJroblen1s wl1icl1 arises tt1 1der tl1ese Articles is tl1e exte1 1t to \Vl1 icl1, if an), a l1t1 sba11d is ca1Jable of defe11 di11g l1 in1self fron1 a cl1arge of \vilfttl i11jt1ry after l1aving beate11 l1 is \vife.Art.64(b) ex­ ct1 ses ''acts reaso11ably do11e i11 exerci,i11g the rigl1t of correctio11 or disciJ)line." Tl1e rigl1 t of st1cl1 correction or discipli11e 1nt1 st be fot11 1d i1 1 tl1e Civil Code of Etl1 io1)ia; see Art.3347 C .C.E. U()JTI i11 terrJretatio1 1 of st1 cl1 pri11 ciples i11 tl1e Civil Cocle as ''tl1e \vife O\xres l1i111 [tl1e l111sba1 1d] obedience ... " (.A.rt. 635) lill tt1 r11 tl1e de­ . \X etc 636) (Art. '' ... t reSJJec otl1er 1 O\X!e eacl ses 1 a11cl ''tl1e s1)ot fe11 se of la\x,ft1l acts t1 11 cler Art.64(b) of tl1e Pe11 al Cocle. f\rt. 64(c) sin1 ilarly lool<s to a defi11itio11 of private rigl1t� i11 tl1e Civil Code, i.e., Art. 1148 C.C.E. Art. 64 overla1)s \v1itl1 several otl1er rffir111 ative defe11ses, 1i.b., Art. 64(a) a11 d Art. 70; Art.64(c) a11cl Art.74. \vl1 icl1

b. Absol"Jte Coercion Art. 67 1Jrovides tl1at if a11 offe1 1�e is co1 111 11ittecl 11 11der ''absolL1te JJl1 )rsical coercio_11'' tl1 at �CJt1lcl 11 ot IJ?ssibl1r be resisted by tl1e offe,ider, }1e is 11 ot liable to j)t!r11 sl1_111�11t; tf tl1 e _coercion was o·I a 111oral l<ir1d it 1n11 st still be ''absoltrte" a11d 1rres1 st1ble, a11d e1tl1 er ___110 jJt111 isl1n1e11t 111 a)' be itllJJosecl or IJLltlisl1 n1 e1 1t 111ay be re�lt1ce�1, t11 1cle1_- Art. 18:J_. (Tl1 e Avar1t-1Jrojet 11 ses tli e \\?Ord ''s1,all'' ratl1er !l1a11 . 1:17ay ). If e1tl1er pl1ys1 cal or 11 1cral coercior1 is cteen1ect 110t to J1ave b een 1rres1st1_ble, �rt.68 gove1:11s, a11 cl t�1e co11rt 111a)' redtice tli e jJelialty j11 accorcl­ �nce \X'Itli A! t. l 85._P�1)'Stcal �oerc1 011 111 a)' be disti1 1g11isl1ed fro1n 111oral coercio11 1 1� tl1at JJl1 ys1 cal c��1 c1011 1 1ta1ls a11 _a:ttral, itiiniecliate tlireat of (Jli· ysical forc_ e � directed at tl1e coe1 cecl offe1 1cler \vl11 lf:- 1 11oral coe i·c·101 1 Is · dis t a 1 11 ore 11 1 ct·1rec , . tant tl.11.eat t i1at 11a11n . 111ay occt1 r 1f a' specified act 1· s 110t per forrne d. · a� Tl1 e ljective ''absolt1 te'' a11 cl. tl1e .Jlirase ''Ile co Lt1 cl 110t 1Joss1'bl)' .Ies1st'' sev. . . defe11 ere},, restrict tl1 e t1se .of coeicioit as 1 total erco se tl1e by tl1 0re at qt 11 1ir i _ iv ·ct cect;t· 11 ct· \ tta1 1 iave vI1�tt1ally 110 alternative before co 111 11 1itti1 10· c�erced o fe s . a . f ne b A st1 bJeet1\,e st·a11 clarcl 1s ado1Jtecl wit!' resiJeet t O r_es1· sta11ce rds \,,o tl1e 1 at tl 1 1 i ''he · 1ld 1·1ot .JJos· sibl · · cot ,. ,) res1·st'' al.e tis:d. Tl,e s1Jec1fic sitt1at1011 of tl1e co erced 111ct !VIctlla1 IS Cl llClal, 110 lo11ger 111llSt 0 1 be t 1 ie co11st 12tis imus vir of Roman . � � la\v to be11efit fro111 tlie clefetise . O cce t cioti. Tl�e coerca_ s_ 1 01 1 itself, l1�\veyer, n1tl�� { be actt1al a1 1d ''absol Lt te''· it is 1 10 eno Ltgll tl1at tl· 1 fe el) i e 1v of fe st1 b1 1d 1 ec er t ' tl1at lie \vas i1 1 datiger. 1

c

J

••

.

<

LA\VFUL ACTS, COERCION AN D CONSENT

251

TI1e i11dividt1al wl10 ''com 1 ,, satne �ord c�n�raint e s ?r coer_ � es. anotl1er (tl1 l us ed i,1 is . tlie frencl, tnaster �ext) _ i s ? p1 111c11)al offe11 de1� a11d liable for tl e 1 . crime cotnmitted b the coer ed v1c d1 111 l 1al 1 cler J:\rt. 32(c). Tl1 e coerced t11 Y t f · l iiidividtial may re y 011 tlie de ei,se_ of absol11te coercion to exc11se eve11 the tal<itig of a third part 's intioce11 t life. See co mn1011 la\v co11.tra. Y . . A s \vitl1 Art. 64 it is .it,,portai,t to 111ter1s a close ren1e1nber tl1at tl1ere relatio11s!1i IJ bet\veen' c er 1 aiid a 11t 1 1 er 1 ativ_e_ clefer1ses, par­ 11 of fir 1 af l er 1 ot � 1 : (1 tict1larly sttperior orcle�s . t. 70), 11ecess1t}' (Art. 71) a11d leg·1t11nate defe11 se (Art. 7L1) · at times severa1 O } tliese defenses 111ay be capabl of a1J1)licatio11 i11 e a single 'case. fina11y it is i1n port(a11t to c1 ISL1ngt · ,. · · 11s· 11 care-fttlly bet\xree11 coerc1011 as a clefe11se 1111c I er' tl1e Cod e a11cl coerc1·0r1 as a SLIb st a11 ·1ve t· crime clef111ecl 111 tl'le S1Jec1al · · · Part (Arts. 552_556).

C. Co1isent of the Injured Party Ar�. ?6, stating· tl1at 'tl1e co11se11t of tl1e i11jt1red jJarty to tl1e commissio11 ?f a cr1m1nal o�fe_11ce . · .. cl�es 11ot relieve tl1e offe11der of cri111 i11al liabilit�>1'' 1 �s tl:e 011 ly 11e�at1ve article 111 tl,e catalogt1e of defe11ses. ·r11ere are cert(1i11 1mpl1ecl exc�1Jt1011s to 1-\rt. 66. Laci< of co11se11t is a11 esse11tial ele111e11t for se\reral S1Jec!al_ P�rt offe1:ses SL1c\1 as ra1Je_ (1-\rt. 589), tl1eft (f\rt. 630), etc.; tl1ere­ fo!e, _ co11 senL, 1f tre�ly given, \xrtll co11st1tL1te a con1J)lete defe11se to tl1e co111m1ss1on_ of t]1ese �r�1nes. f\ 111111,ber of offe11ses 111aj' be 1Jrosect1ted 011ly LIJJ011 co111pla111t or the 1r1Jured _1Jart)' \vl10 bj' co11se11ti11g to tl1eir co111111issio11, ca11 therebjr preve11t jJrosect1t1011 1 see Arts. 216-222 P.C.E. a11 d f\rt. 13 Cri1ni11al Procedttre Code. Several 1Jroble111s arise clue to tl1e t111eqt1ivocal \vordi110· of 0 Art. 66 \xritl1 res1Ject to tl1 e tecl111ical co1n111issio11 of certai11 offe11ses. f\11 obvi OLIS exan1 JJle migl,t be tl1e JJrosecutio11 of a barber LI 11der il\rt. 539 (2) (a) for tl1 e offe11se of ct1tti11g !1air. 111 n1ost fJe11al systems, co11se11t \v·ot1lcl be a defe11se to tl1is sort of tecl111 ical i11fractio11. Si111ilar q11estio11s arise \Vitl1 res1Ject to rougl1 sports, aesil1 etic i11jt1ries s11cl1 as tatooi11g or scarificatio11, a11d 1nedical operations a11d ex1Jerime11 ts. Prest1111ably eitl1er co11se11t n1t1st be co11 siderecl a defe11 se or f\rt. 539 111t1st be i11ter1Jreted to exclttcle sL1cl1 tecl111ical i11 -fractio11s as the ct1tti11g of l1air i11 tl1at Parlia111e11t qttite clearIJ' dicl 11ot i11te11d to JJe11 alize st1cl1 acti\rit}'· Et1tl1a11 asia1 011 tl1e otl1 er l1a11cl, is l10111icide uncler tl1 e Pe11al Code, as Art. 66 rttles ottt a defe11se of co11se11 t; st1c11 activities as dttelina ar id fial1ti11g are s1Jeci-fically ot1tla\vecl by J\rts. 549-551 P.C.E. See also Arts� 298 (2)� 530 (2) a11d 605(a) \vl1icl1 SJJecifically 111 e11tion co11se11t. for materials co11 cer11i11g the defe11se of 11ecessity (f\�·t: 71), 1 see Pt. I., ChaJJ. . 3. JJjJ at a 1 3-1 s1 01 -pr 1s1 ov Pr de Co a of 11 tio ta re r1J te I11 1., Tl1e Exa1ni11ation a11d

.

1

Recommended Readings al Duly Acts Authorized by Law or Profession

( 1958) (a good I 204 o. N . es, iss Su s ue di tri ji es ch Fi (I) 9 Waiblinger, Actes Licites l ). r \x 11a s l,t )Je is Sw 111 1ty dt .I 1a 01 s1 es of JJr 1cl a1 ts discussiot1 of la\vftll ac A nJ 'zen c. 1vfinistere P1,t,b/ic clu Ca11t0Ji de Var4-d, RO �5 IV 125, JT . IV 99 (1959) d) 11l cl a of g in at be 1e tl r fo . .S .P C (convictio11 1111 der Art. 12 3 i1 1 g tl1at on e !d se l1o ca ss wi (S 7) 94 (1 51 IV JT 6, . 17 Sutter c. Hurzold RO 72 IV lls 1e lf1 s 01 ft1 es hi of r, pr l1e ac te a as 1 e1 1 ! \X1 c a11not be 'sued for defamation . .... .

.

•'

I

!

I I

252

TJ-JE AffIRMA�IVE

DEFENSES

o te ). la x s re se er tt 1a 11 g in � � li ac te y b ty al ll u d sio . pos1t1011 011 the defe11se of lawft 1l acts). ...., --- ,tl1e . frencl1 · eria I. ?63-?69 B OLtza · t, Droit p, . . · 869-883 (d1sct1ss1m of tl1e defenses of public and domestic . · l Law Crinzina P er l<111s, · . ). w autl1ority i11 the comino11 la . 4 -12 122 e rop (1964) (sl1ort Eu tern !,as 9 �n w av � L� , al nir1 1 Cri iet feldbrtigge, Sov al ). 111 w la 1m et cr vi So 111 1ty dt l ga le 1 01 11t ne ei at st Consent of th? Injured Party

Loo-bozI Comm'entaire. dit Code Penal Sitis;e 129-131 (tl1e positio11 of conse11t as a clefense i11 Swiss 1Je11al la\v). Waibli,1ger, Actes Licites (IV, Co11se11t�1ne11t du Lese), Fiches fu:idiq11,,�s S11,,isses, No. 1207 ( 1958) (good discussio11 of tl1e defense of _co11sent 1n $\v1ss penal law). Bottzat, Droit JJe,1al 283-290 (the clefe11se of co11se11t i11 French penal law). Oer111a11 foreig11 Office, Mariual of Gernan Lciw 81 ( 1952) (sl1o�t . statement 011 Oerma11y's 111iddle JJosition \xritl1 re;1Ject to co11se11t of tl1e 111Jttred party as a clefense). Willia111s, Crimirz.cil Lr:iw 770-774 (co11sid:ratio11 of the requisites of co11se11t and co11se 1 1t to cri 1nes agai11st fJroperty i11 E11glisl1 la\v). Perl<i11s, Criminal Law 852-861 (a ge11erll discussion of tl1e injt1red party i11 tl1e co111mo 11 la\V ). Absolute Coercion

Clerc, I,1troduction d l'Etude clu Code Penal S11,isse, Partie Gerieral 78 (brief disct 1ssion of coercio11 i11 S\xriss jJe11al la\v). United States 111ilitary Governnzent v. B(J'ger, U 11ited States Ct. of AJJp., Allied liigl1 Con11nancl for Oerma11y, 8 U.S. Cts. Oer111. 425 (1950), also found in Iv1t1eller, Co,npara_tive. Crin1inal Law 170 (a11 excellent case cotnparing the defe11se of coerc1011 1 11 German, fr� 11cl1 a11d tl1e co1111non la,v). Bottzat, Droit Pe,1al 256-262 (goocl discussion of coercio11 in frencl1 1Je11al la\xr) lv1erle, Droit Penal 256-262 (sl1ort state111t11t on tl1e defense of coercio11 i11 fre11cl1 jJe11al law). Willian1s, Crin1in.a.l La7.v 751-770 (tl1e de·fe11ses of clt1ress a11d co ish er 11 Enal cio i n 0 la\Xl). Hall, Genera ! Pri11ciple_s. of Crim£71a! Lav 436-L148 (a ca re f til discussion of tl1e _ sco1Je of a11d 1Jol1c1es t111derl),111g· the defe11se ot coercio11). Brett a11d W�lier, Crimi11a.l Law 5 70-595 (con11no11 se la de ,v ni fe at n er ia tl 01 ie ls 1 of coerc1011).

'

•

'·

.

CHAPTER 11

Participation in an Offense SECTION A.

PRINCIPALS, ACCOMPLICES AND ACCESSORIES PENAL CODE OF E-fI-IIOPIA1

Art. 32. - Pri11cipal Act: Ojfe,ider a11d Co-ojfe,zders. (1)

� [Jerson sl1all be regarded as l1avi11g com111itted a11 offe 1 1ce a11d fJL1 n-

1sl1ecl as s11cl1 if: (a) l1e act11ally com 1 11its tl1e offe11ce eit}1er directly or i 11directly' for example by rnea11s of a11 a 1 1i111al or a 11at11ral force; or (b) he witho11t [Jerfor111�11&" tl1e cri111i1 1al act itself f11 lly associates }1im­ _ self w1tl1 tl1e con1 1111ss10 1 1 of tl1e offe11ce a11d tl1e i11tended result· or (c) he employs a me 1 1tally cleficie11t JJerso11 for tl1e comn1issio11 of a11 offence or l<110\vi11gly co1npels anotl1er jJerson to com1nit a11 offe11ce. (2) Wl1ere tl1e offe11ce co1n1nitted goes beyo11cl tl1e i 1 1te11tio 1 1 of tl1e of­ fe11der lie sl1all be tried i11 accorda11ce \vitl1 Article 58(3). I

(3) Wl1ere several co-offe11clers are i11vol vecl tl1ey sl1all be liable to tl1e same pu11ishment as pro\1ided by law. Tl1e Court sl1 all tal<e i11to acco11 1 1t tl1e fJrovisio 1 1s gover11i11g tl1e effect of perso11al circ11msta11ces (A.rt. LlQ) a 1 1d tl,ose gover11i11g tl1e a\x,ard of pu11isl1n1e11t accordi11g to the clegree of ir1divicl11al g11ilt (Art. 86). Art. 36. - Accomplice.

( 1) An accotnplice is a [Jerson \xrl10 . l<110\vi11gly assist� � pri11ci1�al offe1 1der either before or cl11ri1 1g tl1e carry111g 011t of tl1e cr1111111al des1g 1 11 \xrl1etl1er by informatio11, aclvice, SLifJ[Jly of 111ea11� ?r 111aterial aid or assist­ ance of a11y ki11d wl1atsoever i11 tl1e co1n 111 1ss10 11 of a11 offe11ce. (2) An accomplice in an inte11tional offe11ce sl1all al\va)rs be liable to p1111isl1ment. (3) The punisl,me1 1t to be imposed sl1all be tl1e p1 1 11isl1 111e11t for tl1e of­ fence \vl,etl1er attempted or comJJleted i11sofar as s11cl1 offe11ce does 11ot go beyond the accomJJlice�s i11te11tio 11 (Art. 58(3)). Tl,e Co11rt may, taking into acco11 11t tl1e c1rcumsta11ces of the case, red11ce tl1e 1.

'

The sources of Arts. 32, 36 and 39 P.C.E. are basicall}' Arrs. 24-2? and Art. 305 C.P.S., altho1.1gl1 the Ethiopian provisions are more fully developed. Arc. 40 P.C.E. 1s modeled upon Art. 26 C.P.S.

I

I

254

tl1e limits 1 s 1Jlice witl1i11 accon a11 to pecifie respect d by i11 111e11t JJt111isl1 la\xr. (Art. 184-).

Art.39.- Accessory after tiJe Fact. s ist an �ss ed de itt e11 �ff mm 11 co bee r either s l1a ce e11 � · of a11 er aft r . \Vll osoeve ?Y h1� or n1s _JJu ?11 t1t1 e ap sec e11t esc JJro t 111 1 or 11_ 1 11g l1J1 c l1e or 1 ,i11 iig b)' liidi _ 111 � a, he 01 111s � p11 l l be 1c sl1a e da1 e11c off e with s 1 11_ of ds cee 1Jro i e 1 tl g ii receiv � 11g al1 1th de \X e s Cod tl11 of sucl1 acts. t Par al i ec Sp tl1e of s 1 r io vis tile JJro (1\rt.439, 454 a11d 647). ATO ASiiENAfl ADELf\1-IU AND CTHERS v.TI-IE PUBLIC PROSEC UTOR Sttpre1ne lr11,perial Court, Crinii1.al Appeal No. 35I52 ( 1960 G.C.) Eihiopia

J-Ieclar 21, 1953 E.C.(Dece111ber l, 1960 O.C.); Justi�es:_ Blatta I-Iaile \V�lde I(ida11e, Dr. W. B11l1agiar, f\to Tesse11111a Oosl111: - T_l11s ts �11 aJJpeal aga i nst convictio11 a 1 1cl se11te11ce 011 a cl1arge of 111urder, tl1at ts, cat1s1ng tl1e deatl1 of 011e Tal<:ele · Wolcle Ayter1efis11. �fl1e Higl1 Co11rt 1111a11i111011sly fo11nd tl1e tl1ree aJJJJella11ts g11ilty of tl1e cl1arge a11d, by 111ajority, se_11te11�ed il1e first t\vo ap1Jella11ts to deatl1 a11d tl1e tl1ird a1J(Jell1nt to 15 years 1111pr1so11111e11t; tl1e se11tence accordi 1 1g· to tl1e 111i11ority opinio11 is 15 )'ears impriso11111e11t for tl1e first t\x,o a1JJJella11ts a11d 10 years imJJriso11me111 for tl1e tl1ird a1JJJella11t. Tl1e evide11ce for tl1e JJrosec11tior s110\VS clearly tl1at i11 tl1e earl5, 111or 11i11g of !v1egabit 26, 1948, tl1e tl1ree aJJJJelh111ts \Vere see11 1 ar111ed \xritl1 a rifle bet\x,een tl1e111 1 011 tl1e SJJOt fron1 \X1l1ere tl1ree g11n sl1ots \Vere l1eard a11d \Vl1ere later tl1e said Takele Walde Ayte11efis11 was fcu11d clead \vitl1 tl1ree \VOL111ds i11 l1is body. Accordi11g to tl1e 1Jrosec11tio11 \vit11e�ses, tl1e first shot \Vas b)' tl1e first a1J­ JJella11t wl10 \Vas l1eard boasti11g a11d sayi11g: ''I, s011 of Tagezab, did so." The first a1J1Jella11t tl1e11 ha 11ded tl1e rifle 1o tl1e seco11cl apJJella11t \x,}10 agai11 shot at tl1e deceased a11cl boastecl sa)1i11g: ''I, s011 of Aclellal,a, did so.'' It is 11ot clear \X1l1etl1�r tl1e otl1er sl1ot \V�s fired by tl1e tl1ircl ap1Jella11t, but it is certai11 tl1at tl1e tl11rd a1J1Jella11t \X!as w1tl1 tl·1e first t\VO.... •

•

•

•

I_1� tl1.e 01Ji 11ic)11 of tl1_is _ Co11�·t, tl1t _tl1_ree a1JJJellants \Vere rig1 1 tly co11\rict�d, tl1e f11 st two a1JJJella11ts fo1 l1av111g d�f1111te}5, sliot at tI1 e deceased a11cl tlie tl11rd apJJella11t as a11 acco1111Jlice, eve11 if 11: clid 11ot fire a il)' sliots at tlie decea e l. sc 2 1 IC TI-IE D s-1-INCTION BEl'WEEN c:O-Ofl::-ENDER AND A CCOMPL E

Pail Logoz

M_tl _'lie �?11sicl�r. as co-_off�11der, o 1 1I )' tl·iose \v l io accotllJJlish...a11 act in � exec11t111b tl:e c1 1111e?_l l11s-obJect1ve-co11ceiJti 1 1al o oi 1 ca \); iit , as tli at tli of 111 e of ai ,y cocles befo1 e tl1e S\v 1 ss Pe11al Code \,:,a·, ei,acted od e cai 1d al so ti C . er111a11 ·· 1 a t. o· f tl ·1e o f 1871 .o e \x1�_t1ld �01_1� 1 der as a co-offe11der cl �t e tl1 rJe er r 1 o1 1ly ''c tl o\v 1o . o l10 se �-11� - ctly' �11 _ tit_ l1e. eY,ect1t1011 Cocle of Ge i 11e. ,e va , cr 11 18 74 A rt tl, . e 43 l) of ( Tl1 1s def1111l1011 l1as tl1e aclva11tag·e oi JJer initti tl g � rl e i il geil(er�l to distiiiguisl1 2.

Logoz,

Con11nenttt:re du Code

Penal Sitisse 949 s.

PRINCIPALS, ACCOMPLICES AND ACCESSORIES

255

e��:ly betwer,. a C�-offei,der a11� a11 aCCOI11f)lic dot1btful cases are f)OS­ Ve e. t � � t . l tt�� ei 11 �or�,.a IJa!-ttci1Ja11t wl10 l1as take 1 1 110 part i 1 1 tl1e exect1 tio 11 11 1 e he ess le, Y 1 1 � �Lttlt a 11d tl1e da11a er \Vl1icl1 lie reJJrese11ts, to be 0 not a 5ecoI1dary, b ttt a pr1r1c11Jal offeiider. e_ e It r��, therefore,_ preferable to en1pl1asize the i11t 1 sity of tl1e cri1 ni 11al . � e1 �VI1 1 (st1 Je Ive cotice1Jtio11) a 1 1d to co11sicler as a co-offe11der \vl1oever - \Vl1etl1er � 1 e or ,as 1 _ _ . �s �ot ta�<e11 P�rt in tl1e actt1al exect1tio 11 - associates l1imself \vith �ie PI ITTCIJJa t Y beirig e1tl1er JJart of tl1e decisioI1 from \X1l1icl1 tl1e cri111e etlSLted_ or part of t_l,� exe�t1tio11 of tl1e cri111e. l�l,e acco 1 111Jlice, on tl1e otl1er llaiid, 15 not a 1Ja:t1 c 11Ja11t 111 tl1e pri111ary 1Jla11.I Iis partici1JatioI1 is seco1 1clary; he \Var,ts to provide 0 11ly assista11ce to tl1e offencler....

f�

STAUFFER c. MI�ISTERE PUBLIC DU CANTON DE SOLEURE RO 78 IV 6, JT IV 134 (1952) Switzerla11.d Summary_ of �easoriing: 011e is gttilt )' of co111JJlicity u11der Art. 25 C.P.S. wl1e11. one ''1 11te11t 1or1_ally a?sists i11 tl1e coininissio11 of a felo11y or n1isdeinea11or'', tl1at IS, \vl1er1 011e II1te 11t10 11all )' 1,·el1Js tl1e cor11I11issio 1 1 of a felony or mis­ demea 11or. Tl1e acts ir1 qt1estio 11 of tl1e ap1Jella 1 1t co11stitt1te tl1e objective ele111e11ts of con11Jlicity; lie put Jt1ditl1 Gerber i11 tottch \Vitl1 tl1e 1Jroct1rer, Ineicl1e11, wl10 gave her, dt1ring tl1eir visit, tl1e address of tl1e abortio11ist Wyss, a11d i1 1formed Wyss that she \VOttld coine to l1ir11 a11d reco 1 11111e 1 1ded her to I1i111. Wyss tl1e 11 atte 1 n1Jted tl1e abortio 11. Tl1e act of tl1e defe11da11t is 011e of tl1e li11l<s ir1 tl1e cl1ai11 \Vhicl1 e11ded i 11 atte 1111Jted abortio 11. It is of little im1Jorta 11ce tl1at l1e did 11ot give Juditl1 Gerber tl1e address of tl1e abortio 11ist I1imself. It is eqttally \X1itl1out i 1111Jorta 11ce tl1at Jt1 ditl1 Gerber already l<ne\v l11eicl1e11 a11d cottld l1ave located l1im witl1ot 1 t the l1el1J of tl1e aJJJJella1 1t. Art. 25 does 11ot reqttire tl1at tl1e offe 11se cottld 11ot l1ave bee11 co111111itted \vithottt tl1e aid of tl1e acco,nJJlice; it st 1 ffices tl1at tl1is aid, in tl1e circumsta11ces of tl1e case, l1as l1el1Jed tl1e commissio11 of tl1e felo 11y or 111isden1ea 1 1or. Tl1e qttestion of \vl1etl1er tl1e assistance l1as a11 adeqttate cattsal relatio11sl1ip to tl1e l1ar 111 does 11ot arise. . Article 25 is apjJlicable \vl1e 11, i n fact, a�sista11ce is i 1 1 cat 1 sa_l relation witI_ 1 the l1arm and wl1e1 1 tl1e \Viii of tl1e acco 1111Jl1 ce \Vas to l1elp bring about tl1 1 s harm, even if, in tl1e ordi 11ar,J, cottrse of tl1i 1 1gs, tl1e aid give11 was 11ot really st1ited to the resttlt obtai11ecl.... •

•

•

•

a 11d Tscl101Jp. ld no z, Ar go Lo er, ssl Fa li, ge Na . M M n tio Cour de Cassa TJ-IE KING v. RICHARDSON Old Bailey, 168 All Eng. Rep. 296 (1785) Engla1zd 1 1iel Ricl1ardson a 1 1d Samt1el Da , 85 17 11 io ss Se ne Jtt it, At the O ld Bailey y er ay 1\v bb gl on ro l1i a r fo er tll Bt ce sti 1 Jt r. [V\ re fo be d Greenow \vere indicte Jol111 Billings. It appeared i ri evidence tl1at tl1e two [Jriso11ers accosted tl1e prosect1tor as he was walking along the 'street, by aski 11g l1i1n, in a jJeren11Jtory man11er,

..

'

'

? ':.'�- .

,.."i..:�·

I

.

PAf-{Tit:IPA TION

256

at th 1e I1 act onl l n� n yi s J o pl l1i re t a I . ! et �l ck _ · po T y . wliat motiey he 1,ad iii l1is tl1e 1Jr1s 11--.p 1 s 11n111ed1a f "I ? to e . 1d th s� �y te tli , er � 1 1e of 0 ', i ni Je r lflia i ) e JJe tc otw g � 11 1 an l: 11 it te w 1e r1 If 10 _ tt1 d 1 as d 1 a1 1 t 1a tl to e l ta ( t 11o o o ct. e, or 1 11 ' 110 s lie reall ) lia , d 1ob1?ed l11m of tile o1 an ut ec e os tl1 }Jr ed Jp o1 st r 1e 1 o a\xray; bttt tlie otlier 1Jr1s } y 1e 1 ad ab ot 1t l11n1 .. But tlie �ro­ lie ?1 n1 e 1 t l al as w: 1 cl l:i w t\xrO-JJetice lialf-JJei111y, 1 ed 11s � 11s d 1 l1a JJr at ex as tl w Ii 11 e1 tl1 si es of 1 , cl l1I on \v 1 1 a1 rt ce as t 110 d til sectttor co 11s pocket. l 11 o1 ny fr en -1J lf e l1a nc pe otw e 1 tl 11 l<e ta ad 1 l 1 110r \X,l,ic 1 of tl1e1 11 tl1 e of bo tl1 l ta tit qt · e iso ac tl1 pr to es go w rs la ne of t i11 JJO 1e Tl : ·r1-IE COURT 1 1d 011e of them , be: a , m b l1i . ro to nt 1te 1 i 1 itl w er tl1 1o 1 a t t1l for if t\x,o 111 e11 assa 1 1t of w�at l1e is JJe re e, ad m �e e It tak to 1: fe of or ', 1ej 01 111 of d a11 fore atl)' detn 1 1t, he ca11not be Involved te In cl1 su of 1 1 1c. t1t ec os 1Jr e tl1 1 I1 fro doi11g, and d esist . y; r ne fo l1e e mo tl1 es e tak ang s cl1 d ar erw a·t d 10 wl 11 1Io Ja1 111 co I1is of 1 i1 1 tl1e g·ttilt , s 1ce wa fe1 e of th committed. tes ple rn co 1 1icl wl t, ac tl1e e for be 1 1 tio l1is evil i11te11 10 1s s wl tl1t wa it d, o iste tw des tl1e )f er 1ev 1 icl wl , ore ref tt1e er 1 so1 JJri at Tl1 t r 1no 1to t _ c�1 sec pro . ascertain tl1e a11d e; arr 1 cl 1t se1 JJre tl1e of ltj, gt1i be t ca1 111o wl10 it was tl1at tool< tl1e 1Jro1Jerty. 01e of tl1en1 1s certainly guilty, bt1t \Vhicl1 of tl1e111 JJerso11all)' does 11ot aJJIJear. lt is lil(e tl1e Ipswic!? case, \X1l1ere five me11 \Vere i11dicted for mttrd er; a11cl it aJJ1:eared, 011 a special verdict, that it was rnurder i1 1 01 1e, bt1t not i11 tl1e otl1er fot1r; but it did 11ot a1Jpear which of the five l1ad .giver1 tl1e blow wl1icl1 causec tl1e deatl1, a11d tl1e Court tl1ereL1 pon said, tl1at as tl1e 1na1 1 cot1ld not be clearly a11d JJOsitively ascertai11ed, all of the1n 1 11 t1st be discharged. Tl1e t\vo priso11ers were accordi11gly acqt1ittecl. 1

NCTES Note 1: Participation with Respect f(j Offenses Relating to Publications . Arts. 41-47 �.C.E. are modeled u1Jo11 Art. 27 C.P.S. wl1icl1, i11 tur11, is cler1ved fr?111 Belg1a11 a11d fre11cl1 JJrovisio11s of tl1e san1e 1 1att1 re. These Articles �re except1 011s to tl1e 1 1or111al 1Jri11ci1Jlcs of IJartici rJatio11 \Vitl1 tl1e pt1r1Jose of, 111 tl1e w·o1�?s of Art. 41, ''e11sL1ri1:g· �reed.om of ex1Jression \vl1ile JJreve11ting �bt1se. · ·: Tl1e at1 tl:o: of� f�t�bl1ca:1on 1s l1eld JJri11ci 1Jall)' liable bt1t if l1e !11 11ot ava1la?le, st1 bs_1 d1ary l1�b1l1tj, attacl1es to tlie editor of a JJeriodical a11d, 1 11 tt�r11_ , to tl1e pt1bl1sl1er JJr1 11ter a11j distribtttor of a 1 1011_1Jeriodical. Tl1ese ! prov1s1�11s. liave _lJee11 . SLtbJect to_ co1 1siderable criticis111 01 1 tl1e ·Conti11e11t i11 tl1at tl1 ey p1 �v1 de fo1 JJL1 111 sl1111e11t \V1 ll1ot1t gt1 ilt. Art. 43(2) P.C.E is qtiite different 1 Ait., 27 C.f).S. a1 1�l att e 1�11Jts to a11s\xrer st1cl1 critic 011 isn1 bttt i1 1 so doing, � tl 1 \v�al... ens a11_cl c_o11fl1 cts \Vttl1 Ar t. 43(1). f\ltl,ottg·li Art�. 41_47 ei,courag e � respo1 1s Ible l�Ll � l 1cat 101 1, tl,e)' 111ay als) lead to co11 servative safe pttblication, tl1ereby restr1 ct1110 · t1 1e f· ree discttssio 11 0f I) LI bl"1c 1·ssLI es. for a1 cl isct1 ssi o11 of f\� rt. 27 c· p: s ·, _ se _� L:>goz, Coni,77 e77 taz.re dr-e Code Petzal S1,1.isse 111-118· for citatior1s to ti 1e 5 w1ss JLlI 1s1J1 Ltcle11ce, see Pa11cJ·iaLtd ' Cocle Pt�Jl'"·•l Suz.· ,se ed ., (2d 4 26 _ 1212 ote A L. / ' 1962). 1::o

_

•

1")

Note 2: ''Partici1Jation'' in the Legal History of Ethiopia fetl1 a Nagast, I Io - n1icide a11d its (:or1Joral a11d S1Jiritt 1 al Pt1nisl1111e11t3 · · · Deatl, is tile IJei,alty for OtlE ,vl10 sl 1elters th e 111t1 rderers of tl1e faiill3.

Cl1ap. XLVli

'

PRINCIPALS, ACCOMPLIC:S AND ACCESSORIES

257

ful, aiid, for ?11e wl10 is solicitot1s i11 h ElfJi1 1g tl1eir e1 1en1ies, a1 1d reveals tl1eir \vork� ar,d tlieir secrets, for 011 e wl10 111akes tl1 e mea11s of war, lil<e sl1i 1Js, for tl1 e �i,emi�s aiid wl 10 sells weaJJ011 s a11d st1ch tl1i1 1gs to tl1 e1 11. Tl1 ey 1nt1st be jJt11 11slied In tlte sa 1 11e 1 na1111 e� tl1at tl1ey l1ave si11 11ed so tl1 at i1 1 tl1 e1 n may be a lessoi, t ? otliers wl10 desire to co1nn1it the sa11 1e offe11se; 1 11ay tl1is jJtt11isl1r11e11t be a relief to the l<insma11 of tl1e 1nt1rclerecl! ...

Art. 35.

Pe11al Code of Ethio 1Jia ( 1930)

T �e law c �1 1cer 11 i11 g tl1e co�111issiou o·f 01 1e cri1 11e by ma11 y 1Jerso11s. If two or tno 1 e pe_rs�1 1s co111 1111t a cri1re togetl1er, eacl1 011 e sl1all be co11sid­ ere� to be _ a (Jr 1 nc1 1Jal _offe11 der as if lie acted by l1 i1 11 self, a1id lie sliall be pt111 1sl1ed with tl1 e fJt1 111sl1111 e11 t laid do\xr11 for tl1is cri1ne. (fit.Neg.). Art. 36. Tl1e 1nea1 1i11g of tl1 e \xrords ''tl1 ose i.vlio com1nit a cri1ne togetl1 er'' is as fol}O\VS.

Art. 37. 1st. T 11 e y are t11ose \V1 1o say ''We wiil give )' ot1 1no11ey if yo Lt wi11 co 1111nit tl1is crin1e''. Art.38. 2nd.Tl1ey are tl1ose \vl1 0 i11stigate encottrage a1 1d i1iti111 idate b)' threats a11 d viole1 1ce, sa yi11g, ''We \Vil I rt1i11 )' ou if yott do 11 0 t co11 1 mit this crime''. (fit. Neg.). Art. 39. 3rd. Tl1ey are tl1ose \xrl1 0 fire g·t111s, jra\v S\vords or tl1 ro\v SjJears togetlier for tl1e comn1issio11 of a crime. Art. 40. 4t11. Tl1ey are tl1ose wl1 0 afford a ccttse for a cri1ne bei1ig con1 mitted. Ati. 41. 5tl1. They are tl1ose \vl10 s11 0\v tl1e. \vay to con11nit tl:e cri111 e or afford inforn1atio11 a11d wea1Jons tl1at tl1e cr11ne 1nay be co111 11 11tted. QuestiDns

1. Wl1at factors disti11guis]1 tl1e 1najor cat_egories of (Jarticipation: pri11ci1Jals (co-offe11ders), acco1nplices and acces,orres after tl1e fact? 2. l 11 \Vhat ways 1nay o11e becotne a pri1 1ciJJal or co-offe11 der? Wl1y_ does the 11 se of a ''me1 1tally deficient perso11 '' 11ot fall_ \Vithi11 A1�t.32 (1) (a)? Was it fJroper in tI1e Ato Ashenafi case to categorize tl1e tl1 1rd aJJ)Jella11 t as an accomplice? 3. A1ust one actually participate i11 . tl:e. � xecL1tio11 of a crime to fall \Vitl1i11 ''fLtll associatio,1''? Is f11 11 assoc1at1 on esse11tially eqttal to i1 1tent? Whe 1 1 C hands a weapon to A, not wa11 ti11g B to die, b11t \vishi11g to oblige A, wl10 l1 as asl<ed t,im for tl1e weaJJOn, is C a co-offe11der? l\.111st all co­ offe11ders be p1111isl1 ed equally? 11

,, .

' . �

'

,·

,.

..

258

PAR'f:CIPATION

c e� ict 11v co be JJ1 i al gs ed ici 11 ce o · .to as rty jud pa a o­ 4. 1\1a)' a JJersori 1 10t a 1 1 1111mar r1_ed JJers a ay r t. M de Ar 111 6? 44 try rJt JJe of e iin cr 011 e offe i ider iii tl, 11 of _rape? Is Ar t. 34 esse11t1ally a re­ �a wo A ? 1ny ga bi of be coi,victed ? : se 1Jo t 1s s 1r it l1a p1 W 39 1d a1 36 , 32 s. rt A stateiiie i,t of a1 Av �, 1 �-projet ti_siiig Se ? 36 i1 1 1 t. a1 Ar me _ ly' ng wi 11o ''l< r�l \X!O tl,e es do 5. \X/hat k 1 1ow1ngly assists'' es do \xr_ . 1x) Ho 11cl pe (P.p erit em ell n11 tio cert 1 i, rcl wo frei,ch ' r uce 11 d _ tl1e [Jro t_ vic con 1 ld 1 o! a film yo1 1 Wo ? ' 11 io ciat asso f 1ll 1 differ from 1�e deJJ tcted in cr t tl1e m1 to c�� ys. bo l era sev d late 1 t stim ich \xrli 11e 1 cri on l1t? de es1g cl11 1 �or 11 1 ,1 1gly 10,x ''l<1 Ca11 011e e� Do e? Jlic o111 acc 1 1 a as n i 1 tl,e fil be a1 1 acco1n1Jlice by 11eglige11ce? A co-offe1 1der by 11egl1gence? 6. Must assista11ce 1111der Art. 36 l1ave ca11sal relationship \X1itl1 tl1e l1 arm? Are \X,ords of advice e11ougl1 or must they be heeded by the JJrincipal offender? Note tl1e follo,vi1 1g state1ne11 t \xrit1: reSJJect to tl1 e C.P.S.by Prof. Schultz in No. 1191, Fiches }itridiques Sitisses 2 (1957): Art. 25 requires tl1at tl1e acron11Jlice le11d assista11ce in tl1e co1nmission of a felo1 1y or 1nisde111ea11cr.... The act of tl1e accomplice mttst l1 ave forged a li11 l< i11 tl1 e clni11 of eve1 1ts leacli11g to the pri11 ciJ)al act. See also Lo}roz, Com1nentaire du Code Penal Suisse 104. W Ottlcl it be wise for Etl1iOJ)ia to follow tl1e above Swiss doctri11 e? 7. Would yot1 l1old a storel<:eeper as a11 accomJJlice \XTl10, suspecting the crin1i11al J)t1rpose of l1is c11 stome�, sells l 1im tools wl1ich are tl1emselves in11oce11t, but \Xthicl1 ca11 be ttsed f1)r l1011 sebreal<:i11 g? Wl1at are the con1peti11g IJOlicies 1nilitati11g for a1 1cl against co11victio1 1? Wo11 ld it matter if A shared \xritl1 B his advice to tl1e effect tl1at B co11ld easily rob tl1e State Banl< a1 1d several days later - 01 1e day before B actt1ally robbed tl1e bank - told B l1e really did1 1't tl1i11l< it ,x,as a good idea a1 1y n1 ore? 8. Does �rt. 27 (�) JJreve11t 011e fom bei1 1g ar 1 acco1n1Jlice to an attempt? Wl1at is tl1e rat1 01 1ale bel1i11d Arts. 38 and 40?

Wl1at !s tl1� differe11ce_ b�t\x,�e11 ,1 1 acco1 nrJlice and an accessory after the fact? Wl1y 1 s sucl1 a d1 st111ct1on 11ade a1 1d less IJt11 1isl11ne11t o·enerally aiven to tl1e.a�cessory? Is 1<1 10\xrledge a prereq11 isite to co1 1victi�n u11derb Art. 39 as 1t 1s 1 1_11der Art. 36? Ivlt1st tl1ere be a [Jri11ci 1Jal crin1e before one ca11 be co1 1v_1cted. as a1 1 accessory? Art. 305 C.P.S. !Jrovides, iJzter alia, tl1at a cl�se relat 1 �nsl11 p bet\xreen _tl1e 1)ri11ci 1Jal offe1 1der a1 1d accessory JJer1nits tl,e Judge to 1 1npose 110 JJL1 11 1sl1111�11 t. Is tl1ere a si111 ilar JJrovisio11 i11 tl1e P.C.E.? Is st1cl1 a defe1 1se to accessorysl1i 1J \'<1ise? 10. [?o. you agre.e ,xritl1 tl1e COLtrt's solt1 tio11 i11 tlie Ricl?ardsori case? Sl1ould s1 1n1lar reaso11111 g l1ave acq11itted tl·e tl1ird aJJiJellar1 t i ii tl,e Ato Ashen.aft case? 11. Are yo 1 i1 1 agree1ne11t. :xritl1 tlt� jJOlicies 111 1derl;ri i,g Arts. 41-47 (see Note 1).� Ca11 st1cl1 JJrov1s101 1s be 11 11ple111e1 1tecl toda;' itl EtliioJJia? 9.

Pr)blem

U11der \Xi'!1icl1 category of JJarticip,1tio11: Art h eac · 32 l _c 36 I . ll or . O 39 \V: p E · C · · of tl1e follo\v11 10b· fot1r defer1 da1 1ts fa1 1 ·f tl 1 e1. 1. ' acts l1 a d occ11rred i1 1 Etl11ofJJa: Acct1sed No. 3 a11ct Accttse · N o. gested to tl1 e1n ai,d to Acctisedc N o. 4 stated tl1at Accused No. 1 su0gf2 to go with hirn to tl1e l1ot 1se

-

--------. -- - - - - - -

PRINCIPALS, ACCOMfJLICES AND ACCESSORIES

259

liis ex-mistress_ , Voncli Kassa, to b�at deceased, \vl10 re1Jlaced l1i111 i11 tl1e love of V 011d1 Kassa a11d \Vl10111 he ex1Jected to fi11d s l eeJJi11g \Vitl1 lier. Ac�ttse cl No. 3 a11d Accttsed No. 4 said tl1ey did 11ot agree to tl1e _ Sltggestion of Accttsed No. 1; bttt Accttsed No. 2 did. Acct1secl No. 1 ar� cl Acct1sed No. 2 accordi11gly \vent to tl1e liot1se of Vo11di Kassa ar111ed \Vttl1 11kkazes. They fot111d deceased i11sicle tl1e l1ot1se. Acc11secl No. 1 cl,alleiige9 deceas_ed to co111e ot1t \�l1icl1 tl1e latter relucta11tly clid. Deceased 1,acl a k111fe 011 l11s ar111. Acct1sed No. 1 a11cl deceased started to i11st1lt eacli other Ac_ct1sed No. 2, seeir1g deceased \Xras ar111ed witl1 a l<11ife a11d _. ,va_s tot1cl1111g it as lie tall<ecl to Acct1secl No. 1, realisecl deceased was 11ot gotiig to be a11 easy jJre)'· So Ac:11sed No. 2 left Accttsed No. 1 a11d deceased �11st1lti11g eacl1 otl1er a11cl \xre11t to P.W. 6, Bal<i Bringi, a11d a�·ot1sed 1111n fro1n l1is slee1J a11d b1Dt1gl1t l1i111 to tl1e sce11e \Vitl1011t telli1 1g 1 11m \Vl1y lie \Vas \Va11ted. P.W. 6 ca111e to tl1e scer1e u11ar111ed. Tl1ey found Ac�t1sed No. 1 and cleceasecl still excl1ang·i11g l1ot i11s11lti11g words. Deceased see111g lie \\:tas the11 sta11cli11g ag·ainst tl1ree jJerso11s got excited a11d again started to IJL1t l1is l1a11cl or1 l1is l<rife. Acct1sed No. 2 atten11Jted to tal<e a\vay tl1e knife fro111 deceasecl's ar1n, \Xrl1ere111Jo11 deceased dre\v !1is l<r1ife �n_d stabb�cl Acc11sed No. 2 011 tl·1e bacl< of !1is rigl1t leg, i11flicti11g a,1 111Jttry 3 111cl1es 1 011g reacl1i11g tl 1 e 111L1scle. P.W. 6 \vl10 \vas only 1Jlayi11g tl1e role of a I-Iaggaz \va11ted to take tl1e l<11ife fro1n cleceased a11cl i11 tl1at attempt tl·1e l<11ife i11j11red l1is fi11gers. Deceased, tl1i11l<i11g P. \'7. 6 \Vas hel1Ji11g Acc11sed No. I a11ci Acc11secl No. 2 stabbed 1i- im on tl·1e bacl<. P.W. 6 fell to tl1e g·rot111cl. Tl1e11 Acct1sed No. l a 1 1d AccLtsecl No. 2 started to l·1it tl1e deceased \Vitl1 tl1eir tall ar1d l1eaV)' t1l<l<azes. Deceasecl was tl1e11 at a disaclva11tage as l1is k11ife coLtlcl 11ot reacl1 l1is assaila11ts. At that stage Acc11sed No. 3 a11d a11d Acc11sed No. 4 ca111e rt11111i11g· arrnecl \Vilh Ltl<l<azes a11d joi11ecl Acc11sed :'Jo. 1 a11cl Acct1sed No. 2 i11 striki11g deceased. Deceased colla1Jsecl to 1l1e gro1111d as a result of tl1at joint beati11g. The11 Acc11sed No. 3 a11d Acc11sed No. 4 tied cleceased's l1a11cis bel1ind l1is back and left I 1i1n i11 tl1at state. Deceased 111a11aged to clrag himself to tl1e n�arb)' !111t of P.W. 4 \Vl1ere lie sl1ortly died, affectecl b)r tl1at l1ard beati11g. Sr,Jlta,i Gover11nie1it v. Ab1,t Ras 'Teirab a1id Others, 1961

Sudan L.J. 117-118.

Recommended Readings

IV 22 JT IV 8�, 77 RO �, ovi u!g Th de 11 nto Ca du c bli P,t e ter nis Mi c. Brullnzann Y ! p 11e � om \V1 or of ect dir al rc1 m� � n co tl1e ng 1 ldi � : ( 1952) (S\viss case ho a JJrincipal offeiider, as altl10L1gl1 11� dtd n?t actu�lly 1n1x_ tl1e \v111e _\�1tl1 1 io1 c1s tl1 f tl1e de \'v't sel l11m ed iat oc ass lie v, la\ l 11a 11to ca of 1 or ati l vio in \Vater to do so). Schmid c. Ministere Public clu Ca11ton de Soleure, RO 85 �V 130, JT IV. 142 (1? 59) (Swiss case holding that o,,e \vl·10 wa_s r�ot at a f_1 re� b11t gav� 111strt1ct1ons and i,if lammable n1aterials, is a pr111c11Jal! as it ts 1n?re 11n1Jorta1:t to co,,sider intei,tion t11a11 act11al fJartici1Jatio11 tn tl1e exec11t1011 of tl1e cr1111e). iVova-werke Junker and Ferber c. , Bra,n_ de11berger and Co,isorts , RO 80 IV 22, JT _ IV 82 (1954) (Swiss case �ol�111g that a11 acco111p l 1ce jJresL!IJposes the existence of a pui,ishable JJr1nc11Jal offe11der, bttt the accompl1ce may be punished eve11 if tl1e principal is not).

260

r:iARTIClPATION

•

3) (Swiss case 9� (1 84 , IV JT IV 69 RO s, oi r1i tce Li ic bl JJu Piffar·etti c . JliJiJi istere ii d g 1� ld l1o ,. at S. th rt 5 A P. 30 C: t, fa . e l ai r te � af i :1 . coilcerri i i,g· acce�sory g . ::, rt 30 A l1 1n lls et !a 1th wh w s 11g d1 ee er oc JJI l tl,e na Je cl oi av 1 to ai,ot l,er ). ty il u r g o t 11 e c 1o 11 i1 is t 11 fe11da 1Jrii1ciiJal de y c. Mi?iistere /Jublic du Ca1ito1i d'f1rgovie, RO 87 IV 49, JT IV 122 (1961) (Swiss jtirisJJrtide iice co11strt1i11g Art. 26 C.P.S., tl1e cot1nterpart of Art. 40 P.C.E.) Rytt, T l ,e New I(orea11 Cri1ni11al Code . of qctober 3, 1953, 48 ]. Cri,n. L. Crini. arld Pol. Sci. 287-290 ( 1957) ( co11s1derat1011 of the German, Anglo-Ameri­ can a11d Korea11 law of participatio11).

Reyes, T/1 e Revised Penal Code of t(-Je P�il�ppines 377-44� ( l 963� (c_o11strt1ctio11 of 1 Jrovisio11s 011 JJarticiJJatio11 qt11te s11n1lar to tl1ose 1n Et l 1101J1a). \Vil l iams, Crimi12al Law 346-427 (con1 1 Jrel 1ensive treatn1e11t of JJarticipatio11 in the co1111non la\v). Merle, Droit Pe1ial 181-219 (disct1ssio11 of fJarticipation i11 frencl1 pe11al la\v).

fe l dbrt1gge, Soviet Crimirzal Law, 9 Law irl Eastern Europe 139-155 (1964) (discus­ sio11 of t l 1e Soviet cri111i11al la\v of JJartici 1 Jatio11).

01<0111<\VO a11d Naisl1, Cri111inal Law of Nigeria 156-183 (1964) (the parties to a11 offe11se i11 Nigeria). Bottzat, Droit Pe,ial 604-623 (1Jartici 1 Jation in tl1e penal la\V of franee).

Oern1a11 foreig11 Office, Ma12ual of German. Law 86-89 (1952) (tl1e parties to a11 offe11se i11 Oer1na11 l aw). SECTION B. INCITEMENT

PENAL CODE Of ETiilOPIA4

Art. 35. - lncite1nents. (1) W l 10s_oever i11te11tio11�l l y indttces a11otl 1er JJerso11 \Vl1ether by persuasio11, JJroin1ses, mo11ey, g ifts, tl1reats, or otl 1er\vise to co111111it a11 offe11ce sl1al l be regarded as gt1ilt)' of l1avi11g i11cited t11e commission of tl1e offe11ce. Tlie perso11 \xrl10 i11citec l t l 1e co111111issio11 of a11 offe11ce sl1all be liable to pt111isl 1n1e11t jJroviclecl tl1e offe11ce \Vas at least attempted. (2) !he fJL1nisl 1me11t to be in1 1 Josed sl1al l be t11at IJrovided by la\v for tl1e ! 1�tei,d e� _ offeiice. It 111ay be red t1ced \xritl1i11 tl1e Ii n1its s JJecified by l 1f tl1e c11cL1111sta11ces of tl1e case jtistify stic li a reductioti. (Art. 184).aw (3) :,X' he1 tl e JJe1 s01: \X'i10 co1nmitteci t l 1e offe11ce \X1e11t beyo11d \x I1at \ ,as x , ; � ; 11t_e1 ec by t ,e i ns_t i gator tl,e l atter sl1al l be liable to fJt111isl 11ne11t 11 ) 0 1' .}.o 1 {1 ,e offe11ce 1ie 111 te11ele ct o r cot1ld foresee. (Art. 58 (3) ) . ct1 l · o ffencler s l ,�1 1 alo11e be a11S\X1erable fo r tl1e inore seriot1s JJl!1,�e "v:��l 11cl1 l 1e co1nm1tted. 4.

Tl1e source of Art. 35 P.C.E. is Ar t 24 · p S (A ppend"ix) al cl1ot1gl 1 cl1e Swiss Code requi·re : in· ducement to con11nit a felony \Vll ile A ·c 35 · t 111d �ceme11t to com111it an)' offe11 se. T!1e l·ctha Nagase also dea l� ·.,virl1 inciteinent in �l;a L mu 5c Sca p ting t_l kill 1 ar, " ... ro wJ10 one i11cice s . be judged in tl1e same 111an11cr as 011e wl10. comn1 _ its 11on11c1cle. . .. "

c i· X �:

-

•I •

261

INClTENENT

INSTIOATION5 1-Iaris Schultz

_Tlie i_nte 11tion of _ tl1_e i 1 1stigator is geired to tlie aim of leacli11g a11otl1er to . tlie 111tent1 011al _comm1ss1011 of _a11 offe11se.Tl1is i11te11tio11 is qLtite differe11t frotn tl1at of ai, ord111ary offencler 111 tl1at it joes 11ot ai1n to,xrard tl1e co1n 111ission of a1} � ffe,ise itsel f, b11t attetnJJts to exercise a11 i11 flL1ence over a 11otl1er to co111111it a cr1m 1nal act. . . . ..

TI 1e ii1stigator mL1st co11vi11ce a11otl1:!r to co1n 1 nit a11 offe1 1se. 'Co11vi1 1ce' 1 mea,is to jJrovol<e a decisio11 to act. Tie i11stigator acts crin1i11ally wl1e11 l1e clearl)T n1al<es k110\ y11 l1is \v'ill to i11fl1.1e11ce. Oe11erally tl1is is acco1111Jlisl1ed tl1ro11gl1 ?ral or \�r1tte1 1 _ex Jressio11 i11 clear la11gL1age. Exce1Jtionally, a gestL1re ,nay s11ff1ce.: .. fr1 e cr1 1nJ111al act 111L1 st al,xra)'S be of co1111nissio11; or1e is 11ot able to co11v11 1ce tl1ro11gl1 0 111issio11. Co11trary to fre11cl1 la\x, (Art. 60 jJara. 1, Pe11al Code), Oer111ar1 la\v (Sect. 48, Penal Cocle) a11d Austria 11 la\v (1\rt.24 Jara.11 Pe11al Cocle) tl1ere is ;10 li1niti 1 1g catalogue of mear1s [1111der /\rt. 24 C.P.S.] ll1roL1gl1 \xrl1icl1 tl1e i11 stigator r11L1st effect l1is i11flL1e11ce. Tl1e i 11stigator 111L1st i 11te11tio1 1a]ly co 11vi11ce a11otl1er to co111 111it a s1Jecific cri111e.f11rtl1er, l1e must al,vays acldress l1is i11stigatio11 to 011e or se\1eral specific perso11s.... Oe11erally, tl1e offe 11se \x1l1icl1 \xras co111 111itted 1111.1st be tliat \vl1icl1 \Vas urged ...a11d tl1e victi111 to be attacl<ed 111ust be clesig11atecl b�>' tl1e i11stigator.... It \VOltld be e11ot1gl1, l10\vever, if tl1e i11stigator asl<ed tl1e 1Jrir1ciJJal offender to com111it a cri 1 11i11al act agai11st tl1e first JJersor1 tl1at lie fi11ds .... l11stigatio11 to JJartici1Jatio11 is also jJL111isl·able. 011e is not fJL1nisl1ab]e for i11stigatio11 of a jJri11ci1Jal offe11cler ,vl10 l1as alreacly clecided to com111it tl1e offe 11se ... Tl1is \X1011lcl be a11 i1111Jossible instigation. The instigation is co111plete wl1e11 the fJri11ci1Jal offe11cler co111n1its tl1e of­ fe11se envisaged. Co1n1nission i1 1 tl1e se 11;e of Art. 24 C.P.S.is acco 1nplisl1ecl \'Vl1e11 tl1e o ffe11se is at Ieast atte111JJted. 1

OERN\AN FEDERAL SUPREME COURT 6 District Co11,rt of Aacl;en, Decisiorz of 7-1-1955 2 St. R. 172/ 55; 8 N.j. W. 1485 (1955) •

•

• •

1la)' a11d rob lvlrs. 0.Wl1ile l 1 e ) \X1a :o ed 1111 fJla 1t 1 e 1cla 1 f cle e the cas s In tl,i wantecl to commit the robbery1 lie did 11ot \xrisl1 to do so alo11e. T!1ere-fore _lie askecl C to particirJate. Jiis solicitatio11 \xas t11r11ecl do\v1�1 bL1t �1: c�1 � 11ot give UJJ his pla,1. Rather, he tLirned to I-I.a11c [\.1\.\Vl10 decla1ecl tl1e!.1 \v1ll1ngr1e�s to co 1 1v1cted 1tly s 1gl 1 \va le '· I er) bb ro tl1e ed 1JJt e11 att 1 1 tlie lie ern te. th ipa ith tic W par of this atten1pt.... 1 1 JJre1Jaratory i rta cl ce cte bje su s l1a r ato isl leg e tl1 7 de Co l na By Sect. 49a, Pe

5. 6. 7.

.

·-,

·'·

.... . ,;-

.

-�

isses, No. 1190 ( 19 57). Schultz, Participatio n. (II, !'Instigation) 1-4, Fiches /uricli�ues S11 • . ::,. -18 1�4 La al · w ,nin Cri e ativ par Com . . r, Tran5lation, Muelle . 0 ate anoche1 . ,1.'\1 to comn11t 1 1nst to t1ng n1p atte y ::, • bod , . An • I • · / J.·, e o r · a · t · · om,ni • • . ;.., t· "c C to • sect. 49a. ..,o icitatton 11e to cl1c 1ons app 1·1ca) · prov1s an act pun1s · hable as a feJ ony,• sJ1 all be punished in accordance w1rhJ!nthe · I:' et• n penal c- 1es ,I .1.·or o; ..,er ttn 1ertc g e · Cod al Pen ( man Ger 1 e atrempted fe 1ony (sects. 44 , 45) " TJ Codes, 1961 ) .

262

PARTICif- ) ATION

activities to jJLlllisl11 11 ent becattse of _t11eir dar1 ger?usness. 111 such cases tli e crii,,iiial irltei ,t is sttl)IJosed to _be JJL1111 s] 1ed befo:e 1t has JJrogressed to the at­ t 1 n1�tt1red }1as e11 1 \v1 1 11 to a preparatory actio n tenlj)t stage, tl,at is, of jJrotected interest. But tl1e JJe1 1al law co,iside lesser cta11ger to t11e legally rs tl,is dai,ger 011 Iy if it does not st1bs_eqt1�11tly lead to gr_eater da11g�rs to the itite r­ est by an atte1 111Jt or eve11 to a v1 olat1 011 1?Y complet1011 _o_ f the 111te_n?ecl crim e. Tlius, eve11 ir1 its 1Jrese11t forn1, Sect.49a 1s 011ly a11 aux1l1 ary _prov1s1on, reced­ iiig \X1l1e11 tl1e ir1te11t itself leads ft1rtl1er to attem1Jt or co1nplet1011.

it,' is· legally i1 1sig11ifica11t tl1at_ subseque11tly t11e instigator did 11ot commit the criine witl1 Cl. as pla1111ed, bt1t w1tl1 otl1er JJersons. from the very outset it had e11d, his bee11 l1 is !)lan to rob Mrs. 0. All. of I1is actio11s wer e direct�d to tl1is one 1\. . t1ng I and I 1tac lly 1 coI sft l\ ces st1c l1is , Cl of 1 as \veil LtI1successft1l solicitatioI1 as tlie sL1bseqt1e11t actio1 1s co1 11mitted \Xtitl1 tl1em, resulti1 1g i11 a criminal attempt . Tl1 t1s, accordi11g to l1is pla1 1, all of l1is activities_ tl:reate11ed one a11d tl1e same legally J)rotected i11terest. Tl1erefore, 011ly a conv1ct1on of attempt, the strongest tl1reat evicle11ced, is possible.

A1 1otl1 er consideratio1 1 leads to tl1e same resttlt. Si11ce H. and M.l1ad responded to 11 is iI1stigatio11 to [Jartici1Jate i11 co1n1nitti11g tl1e felo11y, l1e, of coL1rse, ca1111 ot be co11victed of i11stigatioI11 becattse he l1 imself is pu11isl1able as a co- 1 Jri11ci 1 Jal. Tl1e sa1ne \Xtould l1old trtte if Cl. l1ad respo11ded to tl1e i11stigation. Tl1e old SL11Jre111e CoL1rt l1as fJro1)erly pointed ottt tl1at it \xrould not be i11 accord \Xtitl1 tl1e 1nea11i11g of Sect. 49a, Penal Code if in case of a successftel solicitatio11 tl1 e 1Jri11ci 1 Jal J)er1Jetrator cot1 ld 11ot be puI1ished for i11stigatio11 to participate, bt1 t, besides l1is co11 victio11 for tl1e atte1n1Jted or com1Jleted offense as a perpetrator, could be pt111isl1ed u11 der Sect.49a for a11 unsuccessfi,l solicita­ tio11 (Si11Jreme Court [1906] J.W. 487 No. l; also 60 R.O. St. 88, 92). CRii\tllNAL SOLICIT ATION8 1-ferbert Wecl;sler, William }011es, Harold Kor11.

Sect. 5.02. - Crin1i11al Solicitatiort.

. (11 De/irzitio 7z of solicitation. A IJerso11 is g·uilt)' of solicitatio1 1 to con1mit a crime if w1 tl1 tl1e IJL1r_1)ose of (Jro111 oti11g or facilitating· its coinmissio11 he com 1�a�1 ds, e11coL1 rages . 01 reqt1ests �11otl1er (Jerso1 1 to e i,gag·e i i, specific cotiduct \X1l1!cl1 would co11st1_tt1te st1 cl1 cr1111e or a, 1 atten,,Jt to co ini,,it sttcli crime or \vl11cl1 woi1lcl establ1.sl1 .tl1e co1 nplicit)' of st ic}1 otl,eI· f)erso11 · 1 s con1m1·551· 011 111 ·t . or atte1 11 1Jted con11n1ss1011. [A111er1 ca11 La\xr J11 stitute, l\r\od el Peiial Code]. Tl1 ere l1as bee11 differe11ce of opi11 i011 . as to \Xt, . ial soc l · 1etl 1 eI a gent11ne cla1 ,ger is fJrese,,ted by 5�1-1c1·t at·t ?IJ to . �0111n1 1t a cri111e. It l1as bee11 argLtecl, �n tl1 e o11e• l1a11d , tl1at r. st1cl1 011d LICt 1. s 11ot da11 0 a \vi ii aerous becat1se ti1e rests · · 1· 11.:::. t . of. a1.1 1 11de1Je11de 11t 111 oral age11t Is 1 11te I_posed bet \X co111' e e:.n t I·ie so I_1c e I· t d J 1 1 a _ t · · or 1 1n1ss1o11 of tl1e cri1ne tl1at is l1 is ob·ect · B') t !1e e � t at a s m e I< t o 1 s tl rged t11 t I 11 e f r I 1 i i to so c a n 1 1 if es t i 11 11g i s reI Ltcta, 11 ce Jto co1nn11 t tl1e c 1 • sio · 1 11ri m a I· t If b ... . n� IS ·, l!n1s� e · . 1 ca11t Ine11ace.Tl1e OfJJJosi11g view e is tl1at . a soltc1tatI0 r 11 1s, 1f a11ytl1 11 1g, n1? 1 da11gerotts. tl1a . 1 a dir. ect att ' ein,Jt, b ecattse It 1nay o-i\re 1on at er · coop c. . � rise t 1a ti t . an1011g cr1n1 111als \Vl11cl1 is a Sj)ecial l,azard . 1 · So11c1tat10 11 ma)' 1 11cleed be tl10 L1gIt 1

8.

I

\Yechsler, Jones and I(orn, The Treatinenc . ,_ of I11 I1oace_ Cr 1.n1es 111 1 _ cl1e J\1odel Penal Code of che An e r1ca11 Law Jnst1ct1ce: f\tce1npr, Solicitation � d ' an ons1)iracy, 61 Co/11,nbia L. Rev. 621-622 ( 1961 )·

•'

INCITEll\ENT

263

· · . .. . of as a11 attetnpt to conspire. Moreover, tl,e sol1c1tor, worl<111 g hts \VIll tl1ro11 gI1 one or n1ore ager,ts matiifest� ai, .�f)f?r)_acl, to crime more i11 tellige11 t a11 d masterful tl1an tlie �fforts of ,i s_.1 11 _1elttig. li,deed exatTIJ)les clra\v11 fro1n the . controversial fields of f)Olitical J tatJOll -�llCl_ !abor llllrest St1gg est as a 11011COJ1· troversial l eSSOJ1 tl1at t]1e i mp 5 10 1 of iabil1 ty for crin1i11al solicitatio11 1 11 ay be a11 importa11 t 111eai,s by \V1ltc\1 t\ ,e leaclersl1 1 J of a 1nove1 11 e11t cleen1 ed cri1 minJ! rnay be SLLl)fJressed. . . . Tl1ere shoLtld be 1 1o dotibt 011 . tiits . . SSlte. P�11. IJOseful sol1c1tat1on presents . . danaers calli110- for JJrevei,tiv 1 t vei,tioi, ai7 d_ 1� s_11_fficie11tly i11dicative of. a dis1Jbosition to:ards crii,,inal �c /!v�;Y t? call foi lia_b1l1ty. Moroever, tl1e fort111ty that tl1e person solicited does 1 0t gtee t C01!7 �11 1t or �tte_11:JJt to co1n111it tl1 e � solicitor of l1ab1l1ty, \vl1e11 otl1erYvise incited cri111 e fJlainly sl,ottld 1 1O ; 1.e fieve ll�c: lie would be a cor,spirator Or a11 acco111 pl1ce.

°.

�f

Questions

1.

2. 3.

4. 5. 6.

Wl,at type_ �?f ii,tei7 tio11 is req11ired by f\rt. 35? B�>' wl1at n1eans 111ay i 11 cite111 e1 1t be efrectecl . t111der f\rt. 35? \}/}1at act is reqttired for inciten,ei,t? iv\a� o�,� be con._vrc_tecl U�fer Art. 35 for i11citi11g a cro,vd in general or for 11,c1t111 g a JJI 111c1JJal 011e11cler \xrl1c, l1ad already deciclecl to co1111nit tl,e offe11 se?

Wl1at �isti11 guisl1 es Ar!.35 fro11 1 Ari. 36 (Accon11Jlice) or 1-\rt. 37 (Coris,Ji­ rac)r)? \Vl1at are tl1e d1ffere11 ces i11 iJL111isl11 11e11t attacl1ed to eaci1 of tl1 e three offences?

Does tl1e cri1:ne �f i11 cite1ne11t dil11t� tl1 e 11act'' reqL1 iren1 e11t 1nore ti1a11 atternJJ_t? Wl1 1cl1 1s furtl1er fro111 �1 1:i-social bel1avior? Is it JJOssible to r_eco11 �1Ie Arts. 269, 474 or 480 \xr1tl1 Arts. 26 a11d 27? Wl1at is tl1e rela­ t101 1sl1 1p of J-\rts. 269, 474 a11cl 480 to ,.-\rt. 35?

Co11 Id tl1e defe11 cla11t i11 tl1 e Oer111 a11 case be co11victed for attemJ)ted i11cite­ me11 t of CI. if l1 is acts l1ad tal<e11 JJ:ace i11 Etl1 ioJJia? U1 1der Art. 35 ' ca11 011e be fJUnishable for botl1 i11cite111e11t a11d tl1e co1n1Jleted offe11se?

What p1111 isl1me11t is JJrovidecl for i11cite111e11t? See J-\rts. 269, 474, 480 a11d Decree No. 45 of 196 l O.C.

Wl1 at is tl1e p11 rpose of JJt111ishi11 g incite1ne1 1t? Wl1y r.eqt1ire tl1at tl1e pri11ci1)al offe11se be at least attetnfJted before pt1 11isl1i11g tl1e i11cite111 e11 t? \Vl1 at is a 1 '111 ere attempt to instigate'' Art. 27(2)? Wl1y is it 11 ot fJe11alized? Problem

1 otl1er co11ntries. i1 11s io at tu si r bo la in en is ar Inciteme11 t offe11 ses ha ve ofte11 1 der tl1 e P.C.E.? 1 1 t 1 l it w lt ea d e b s ct How \VOttld tl 1 e followi 11 g fa ... Tl1e accttsed, inte11 di11 g to e1 1cl[r1g·er t_l1e f)t1bl_ic JJeace _a11d to i11cile a11d proc11re tli e coinn1ission and per1 Jetrat1011 of divers felo11 1es a1 1d aggra­ vated crin1 es al<ii1 to felonies, did 11 11la\vft1lly solicit, urge, co1111 11 a1 1d, co11nsel a11d e11 deavor to iiicite ca11se and JJ�oc11 re some or all of a large nu111 ber of persons asseinbled, 'to tl1e State's Attor11 e)' t1nl<11ow11, to perpetrate nr

'

264

PARl"ICIPATION

attenii)t to l)eriJetrate tl1e crimes of mt1rder, .ro�bery, aggravated assct atllt 1 s wea1Jo11s, � ssa11lt w1_th 1nte11t to murde� a11 as­ 1 ero 11g da y c or witll leadl d ate rav 11g 1es agg be1 or o11 ne fel sa1 _ tl1e crimes akin , rob to ,1t 1te . sattlt witll j 1 s as ow foll 111 11ce ge sta gua sub la11 11 1 : ''Yo tt will s �res adc l ora by s, to feloi,ie 11ever \viii tlie stril<e \X11tl1 soft 111etl1ods. Yot� you_11g n:1e11 011gl1t to go out le l nk. al< el11J or coa Bre 1nd 11se s, egg foreinei, 's 11se 1't Oo1 i ge. brid e 011 tl, \virido\XIS at tl1eir l10 1 11 es. Watcl1 tl1e scabs \Vl}e11 tl·1ey co1ne fron1 work, lay for tlietn, es,Jecially 011 _1Jay clay. Tal<e �l1e1n 111 a dark alle)'. a11d l1it tl1e111 \Vitli a lead jJijJe. Tl1at 1s tl1e _ �oftest tl1 1 �1g yo11 ca11 use., Reimb urse your­ selves for \xrl1at we l1ave sacrrf1ced for five �1011tl1s. Don t forget to btimp off a few nO\V a11d tl1en, so Mr. Pearso11 will l<now that you are 11ot get. ti11o- cold feet. V011 car men k11ow l1ow to take a bral<e-shoe off. Tal<e the bral<e-shoe a11d jJttt it 1111der s01netl1i11g tl1at will p11t tl1e ca1·s off tl1e iro11s. A little sa11d or e111ery i11 tl1e jo11rnal boxes \Y1ill l1elp greatly. D011't be sat­ isfied \vitl1 trin1n1ing tl1e e11gi 11es. P11t son1e of tl1e cars 011 tl1e b11 m. Also if co11ve11ie11t, JJt1t sometl1ing in bet\vee11 tl1e frames a11d rods of engi11es 0 11 sidi11gs. Get b11sy yo1111g fello\xrs, a11d trim tl1ese scabs. Tl1i11gs are r11n­ ni 11 g too smootl1 0 11 tl1e Ne\v Have11 road, b11t let 111e l1ear from you \Vl1ile I a 1n here. Go al1eacl a 11d ri1J tl1i11gs and do11 't let tl1e i11junctio11 stop you fro1n tri1n111ii1g· tl1ese scabs.D0 11't forget to tie tl1e111 LllJ \vith derailme 11ts. Yott boys 011gl1t to c11t tl1e1n all ttjJ ....State v. Schleifer, 99 Con11ectict1t 432 ( 1923), U11ited States. Recommended Readings Dubi c. froc_ure!1:r General du c_a,zton de Ber11e, RO 72 IV 27, JT IV 3 (1947)

(S\�1ss _Jur1_sJJr1�de11ce l1?lcl!11g tl1at it is not JJOssible for 011e to be guilty of 1nst1gat1011 1f tl1e pr111c1pal offe11der l1ad already decided to commit tl1e offe11se). Eggler c .. Mi1!ist?re Pr,tblic du Ca7:ton de Zurich, RO 82 IV 129, JT IV 98 (1956) (Swiss 111r 1s 1 Jr�1d�11ce l1old111g tl1at a11 instigator may be p1111isl1ed eve11 l1ough t!1e fJr111c1pal offe11der is 11ot pt1 11isl1ed or 11ot ide11tified). ! . _ Williams, Cri1ni12al Law 609-613 (sl1ort cl1a1Jter 011 i11cite1ne11t i 11 E 1 1o·lisl1 la\xr). American Law Reports, Solicitatio11 to_ C?m111it Cri111e, 5 1 A.L.R. 2d 953-962 (1957) _ (s11o1 t statement of t11e I aw of 1 11 c1t e1nent i 11 t11e U 11ite ct states). SECTION C.

CONSPIRACY

a. T/Je Law of Conspi1·acy in Etl -Jiopia PENAL CODE Of ETI-IIOPIA 9

Art. 37. - Critni12al ConspirctC)'· (1) Wl1ere l\VO or 11 1ore fJersoi s_ e t e . . t111lawf11I desig,1 or to co 11 i tl t . _ir,to a11 ag·reen1ent to acl1ie \1e an 1t tici1Jatio 11 a 11d agg ra · \ratio 1� � an . 0ffei,ce tl1e provisio11s regardi11� iJa� circ1 1 n1sta11ces are arJplicable. X��i.s 1;���(t �lue to tl1e above me11t1one )

f

9. Consp!racy in Swiss penal Jaw consists of the aog1 _ avat1on of several Spec corn1n1ss1on pursua11t to criminal ir the fo r ial s of Pa fen rt se agrce111c11c. O

•

_.

CONSPIRACY

265

(2) T�e fo:eg·oi11g pro:1isio11 sl1all, 110\vever, not affect tl1e provisio11s co11-

taii7ed 111 !l1e. Special Part of this Cocle relati11g to co11spiracies agai11st tlie essential _ 111_terests of tl1e State a11d its defe11ce, the for111i11g of Lt11lawfLtl_ as_soc1at1ons a11cl tl1e J)artici1)atio11 tl1erei11, as \vell as to tl1e orgai7 izat1011 of ga11gs or associations of \vro11gdoers. (Art. 269' 286' 313 and 472).

Art. 472. - ConspiracJ'· (l) Wlios�ever cor1s1)ire� �vitl1 011e or 111ore perso11s for tl1e pLtrpose of J)re1Jar111g or con11111tt111g seriot1s o'ffe11ces agai 1 1st JJLtblic secLtrity or lie�ltl,, t�e JJer�o11 or JJroperty,, or JJersuades a11other to joi11 SL1cl1 co11sp iracy, _ 1s �L1r11sl1able, J)rovided tl,at tl·1e co11s1Jiracy 111aterialises, witl1 stmJJle 1mrJr1so11111e11t for 11ot less tl1a11 tl1ree mo11tl1s a11cl fi11e. for tlie. JJUrjJose of tl1is Article, ''serioLts offe11ces'' are offe 11ces \vl1icl·1 are PLt111sl1able \villi rigorotts i1111Jriso11111e11t for five years or more. (2) Wl1ere �lie co11s1Jirators are 11L1111erot1s, or \vl1ere tl1ey are ar111ed or possess 111strL1111e11ts or 111ea11s fitted byr tl1eir 11atL1re for tl1e co111mission of a11 offe11ce, or. \x1l1ere tl1e co11s1Jirators are foL111d to be carryi11g \Vea�o11s,_ or sucl1 111strt1111e11ts or 111ea11s, tl1e fJL111isl1n1e11t sl1all be sim­ fJle 1n11Jr1so11111ent for six 111011tl'Js or a fi11e of 011e tl1ot1sa11d dollars at least. (3) Where tl1e da11geroL1s 11atL1re of tl1e co11s1Jiracy !1as bee11 cle111011stratecl

by the con1111issio11 of a seriotts offence, wl1etl1er agai11st life or JJerso11, public safety or jJrOJJerty, b>' tl1e co111111issio11 of a series of crin1es, \vl1ether or not of tl1e san1e l<i 11d, or b>' acts st1cl1 as traffic ir1 ar111s, 11arcotic st1bsta11ces or JJerso11s, the Cottrt sl1all ]Jro110L111ce the maxi­ mum se11te11ce JJroviclecl by la\v, tal<i11g i11to co11sideratio11 tl1e 11rovis­ io11s relating to co11cL1rre11ce (Art. 62 a11d 63).

ATO ZERYHUN MAKONNEN AND OTHERS v. TI-IE PUBLIC PROSECUTOR

Federal Supereme Imperial Co1,1,rt, Fecleral Crimi,1cil Appeal 1Vo. 4153 (1961 G. C.) 1 ]. Eth. L. 195 (1964)

Ethiopia

neg es: tic Afe Jus .); 0.C 62 19 24, er 111b 1Jte �s (Se . E.C 54 _ Masl<aram 13, 19 : 1s s1e Tl1 l�s bte Sel Ha b t-a_ el<e Ber Ato , iar !1ag Bt1 . \Y/ . Or e ,a, Taddess lv1ei1gesl

is a11 appeal fro m conviction a11d sente11ce. Ltncler a_ J_L1�gment delivered by tl1e Federal I-ligl1 Court in Eritrea i11 its Ad1111ralty D1v1s1011. The a1Jpella11ts I1ave 11ot filecl a full lv\en1orandum of Appeal a11d tl1e grot111ds of a1J_p �al 111L�st be e 11c 1t 1de 1e1 ev ff1c t sL1 s 11o wa re tl1e t tl1a , ion ict 11v co s ard d reg oo rst as de u11 to be, on wl1ich th e Cotirt could convict and, as regards se11te11ce, tl1at the sentence awarded by the trial CoL1rt was excessive. : 1ts t11 11g co \vi llo e fo tl1 of ed ist ns co s nt lla pe ap The charge against tl1e ty Jer d o1 an 1 11r o1 rs pe st ain ag s ce fen of LlS rio se it m m co (a) consJJiracy to contrary to Article 472 of the Penal Code; (b) cattsing wilful bodily injury contrary to Article 538 of tl1e Penal <!ode; and

.' . .

'\ .

I • • • • ,. • '•

I) ARTICIP ;\ TION

266

cle Arti )' to trar 653 con Jerty jJrOJ ar 1 d Article to 1age cta11 Ltl \Xtilf (C) CallS t.no. e d o C l a 1 1 e P e 1 tl f o 65L1 l ra gl1 de Hi fe rd . of co l1e re e tl 1 L Co ed i11 arn ex trt and � lly fLi as i l t Tliis Cour t d1 1 1g s as to facts. ec f1n rr e co tl1 at d ve ri ar rt ou C at tli is satisfied tli at red nte e _ s r1t lla r et pe fo� a1J tog e tl1 at tl 1 l1 �r the ed ov JJr itly iei ffic sti It \vas st nt fir lla e J tl1 pe t 1 ap g; tha rl<1 1 wo s wa ed 11 I 1rn 1 1 t l1a N\o iim 1 i1 Arn o store \xrliere At 1 1e; tl1at tl1 e _ tl� ree otl1er aJ)J)ellai,ts, bo sal 11a e 1 tl of J 1re ct1 fra a 1 ii11 sed ai,cl cau ted by 1pa t1c t, par a11l l1 ass assoc iating s1ic 11 i t JJar ive act J 11 a o· 11 i tal< 1 i altliotio· 1 0t t11 e11 1sclves iii ti 1e �ssa11lt. Si111ilarl)' as regarcls tl1 e assa11lt 011 Ato Teele Oabre ­ s, t io11 l t11s 1 e first and l con era sev is, t tl1a es, 11ri j 1 i1 t 1 i l osl d fere suf o \xrli tos cris seco11d apJ)ella11ts tool< �11 active part i11 �lie ass�11 lt an? tl1e fo11 r_th_ aJJpellant associated l1irnself i11 tl1e assa11It b)' 11ot directly 1nterfer111� b11t g1v1 ng moral SLtJJIJOrt. Tl1e assault 011 Mr. El<rtol1 resulted �n grave bodily l1arm, that is, �n itijur)' to tl1 e e1 e; tl1 e first appella11t was assisted by tl1e otl1 er apJJe}la11 ts 111 tl1is assault. Tl1 ere is also no clo11bt tl1at tl1 e appellants caused damage to JJrOJ)­ erty of tl1e -fir111 Veiclel<l<e Co.; tl1e cost of re1Jairing st1 cl1 damage a1nou11 ts to bet\v1ee11 E$250 a11cl E$300, b11t as a res11lt of sucl1 da1nage tl1e \xrork of the fir111 \vas s11s1Je r 1ded for t\vo days a11d tl1 e da1nage is calculated to be about E$5,000. As regards tl1 e cl1arge of co11 spiracy tl1 ere is s11fficient evide11ce fro111 \vhicl1 tl1 e federal I-Iigl1 CoL1 rt could i11 fer tl1at the appella1 1ts had 1Jla11 11ed botl1 tl·1e assa11lts a11 d tl1 e da1nage to JJrOJJerty. Tl1e federal High Co11 rt very rig·I1- tly held tl1at tl1 e co11SJJiracy co11ld or1l_j' be in reSJJect of tl1e assa11lt 011 Mr. El<rtol1 (\vl1 ich rest t lted i11 g·rave bodily i11jur_j' punisl1able u1 1der Article 538 of tl1e Pe11 al Code) a11 d in respect of da1nage to proJJert)' J)t111 isl1able 11 11 der Article 654 of tl1 e Pe11 al Code, tl1 ese bei1 1g tl1e serious offe11ces \vitl1in tl1 e 111 ea11 ing of Article 472 of tl1 e Pe11 al Code. Tl1at bei110- so this Col1rt poi11 ts 011t tl1at 011 ce tl1e fecleral Higl1 Court found tl1 at tl1 ereb \xras con­ s1Jiracy i11 tl1 e cornrnissio11 of these offe11ces it \Vas i11 co11 sister1t \xritl1 co11viction u11der_ Article. 472_ to l1 old that tl1 e seco11d, tl1ird a11d fourtl1 ap1Jella11ts were _ ; 111 v1e\v of t11e co11sJJiracy tl1e \Vere co-offe11clers. acco1npl1ces It sl1 ot1ld finally be 1ne11 tio11 ed tl1 at as tl1ere is 111 aterial co11c11rre11ce of offe11 ces co1 11n1itted by tl1e a1Jpella11 ts tl1� Co11rts i11 assessi11 0· se11te11ce sl10L1ld l 1ave tal<e11 i1 1to consideratio11 tl1 e JJr�visio11s of �\rticl es 82 :i1 d 189(c) of the Pe11 al C�d�! tl1e _Co11rt 1!1a;' l1ave do11 � so \xritl1011t specificall)' 111al<i11g refere11ce to st1�l1 c11t_1cles 11 1 tl1 e JL1clgrne11t. Tl1 1s CoL1 rt, l1 avi r1 g· tal<e11 iiito co11sideration !l1e said art_,cles a11 cl otl1 er 111 atte_rs co1 1cer11i11 g· tl1 e jJartici Jatio11 of tlie aJJ Jell nts _ a i i 111 _ tl1e var1�11s ?ffe11 ces o[ \X�l1 1cl1 tlie;' lia\,e bee11 foti ticl gtiilt accejJts tl1e y, _ _ JJ� t 1ods of 111 11J11s01111 1�11 t 111fl1�tecl _011 eacl1 of tl1 e a JfJellai,ts ral fe tli e by de _ l _ II1g l1 �0L11 t,_ s11 cl1 JJe11ocls_ of. 1r11 _1Jr1so11n1 e11t are by 11 0 n,e,lilS excess e. for iv tl1 ese 1easo1_ 1 s tl1e aJJfJeal 1s d1s11 11ssed a1 1ct tlie J·tido·me Iii0o·h t ·a l 11 f f b 0 ie e et, 1·1 d Co11rt co11 f1r111ed. O

1

UNITED STATES v. fALCONE10

Ur1ited SLcttes Co1,trt of· Appeals, 2d Circ1,tit, 109 F.2d 579 (1940) Sitprenie Cortrt, 311 U.S. 20J (1 940) Ur1,ited States [ Defe11 da 11 ts \Vere co11 \1icted of a cotlS jJI·r�acy to OJ)erate illicit stills. one 10. Fro111 Paulse11 and Kadish, Criminal [a7.v 508-51 o.

••

.. . '

,

CONSPIRACY

267

g:o�tp of �e fenda11ts were acttial distillers; tl1e otl1e r st1JJplied tl 1e 1n a11d other �1st111� rs '-_X' ttl1 sttgar, yeast a11d c ans, 011t of \vliicl1 tl1e alcol 1ol was distilled or 111 whicli it w as sold. Tl1e Cotirt of Aj)peals i11 a11 01)i11io11 by Jttdg e Lear11 ed H a1 1d, reversed as to tl 1e latter grott jJ, stati�g:]

. _· · · [I]t is_ ap1)are11t tl1at tl1e first qt1estio11 is \Vhetl1er tl1e seller of goods, 111 tli e inselves_ 111noce11t, becon1es a co11s1Jirator \xritl 1 - or, wl1at is i11 st1bsta11ce tlie san,e tl111 1g, ar1 abettor of - the buyer becat1se lie 1<110\vs tl1at tl1e bt tyer � ea�is t? us e the goocls to co111111it a c1·i1ne. Tl1at ca111e LIIJ a 11t1n1ber of ti111es 111 circt t tt cot1rts of a1)1Jeal wl1ile tl1e Ei:rl1tee11tl1 A111e11d111e11t \vas i11 force a11d tl7 e _ ailS\'<'er was 11ot e11tirely t111iforrn. T;e first case \Ve l1ave fot111d is Pattis v. United Sta �es, 17 F.2d 562 (C.C.1\. 9) "?here, altl1ot1gl1 tl1e acct1s ed a1J1)ears to have beet1 111 fact rnore c_losel)' co1111ect�d \vitl1 tl1e btt}'er's cri111e tl·1a11 1nerely as a seller, tl1e. cot t rt aff1r111ed a cl1arge to tl1e jury tl1at lie \vas gt1ilty if l1e 1nerely l1ad 1 1ot1c� o� tl1e ft1tt1re desti11atio11 of tl1e goods. Tl1at ap1Jears to be tl�e settled doctr111e 111 tl1at circtiit [a11d of tl1e Seve11tl1 a11d tl1e Sixth]. Tl1e F1ft_l1 ha s! 110\xr�ve�, l1eld otl1er\vise, thot1gl1 by a divic!ed cot1rt, Vot1r1g v. U111ted Srates, :i Ct r., 48 F.2d 26. We are ot1rselves co111mitted to the vie\v of tl·1e fiftl1 Circt1it. U11ited States v. Peoui, 100 f.2cl 401. l11 tl1at case \Ve tried to _ tr�ce do\v11 tl1e doctri11e as to abetti11g a11d co11s1Jiracy, as it exists in ottr cr1111111 al la\v, a rid co11cluded tl1at tl1e seller's 1 <110\vlec!o-e \Vas 11ot alone e11ouo-l1. Civil!)', a ma11's_ liability extencls to a11y i11jt1ries \vl1ici1 lie sl1ot1ld l1ave a1J1�e­ he11de d to b e likely to follo\v fro111 l1is acts. If tl1ey do, lie 1nt1st excttse I1is co11dt1ct by sho\vi11g tl1at tl 1e i11t er est \X1l1icl1 lie \V as JJro111oti11g· out\veigl1ed tl1e da11gers \xrhich its prot ectio11 i1 111Jos ed t11Jo11 otl1ers; bt1t i11 civil cases tl1ere l1as bee n a loss, and tl1e 011ly qt1estio11 is \vl1etl1er tl1e la\v sl1all tra11sfer it fro111 tl1e sufferer to a11otl1er. TI1 ere are inde<:d i11sta11ces of cri111i11al liability of tl 1e sa1ne ki11d, \xrhere tl1e la\v i111rJoses l)Lt11isl1n1e11t 1ner ely becat1se tl1e acc11sed dicl not forbear to do tl1at from \Vl1icl1 tl,e \X1ro11g \vas lil<ely to follo\Xi; bt tt ir1 prosect1tio11s for co11s1Jira C)' or abetti11?, l1is attitt1de to\varcls tl1e forbidde11 undertal<ing mt1st be 111ore 1Jositive. It :s 11ot e11ot1gl1 tl1 at l1e does not forego a 11ormally lawful a ctivity, of tl1 e frttils of \vl1icl1 l1e l<11ows tl1at otl1ers will mal<e a11 u11la\vft1l use ; lie 1nt1st i11 s0111e se11 se JJro111ote tl1eir ve11tt1re l1i111self, 1nal<e it I 1is O\xr11 l1a ve a stal<e i11 its ot1tco111e. Tl1e disti11ctio11 is es1Jecially 1itl1i11 tl1e drag-1 et fJ \'< S\x;ee o t. �eel< rs ect1to 1Jros y 111a11 o 1 e s 1 � �l1 y t tocla rtan imfJO of conspiraC)' all those wl10 l1ave be e11 associat ed 111 a11y cleg·ree \Vl1atever w1tl1 the m ain offenders. We may agree tl1at 111orally tl1e defendants at bar sl1ot1ld I1ave refused to sell to illicit clistillers; btit, botl1 morally and legally, to do so was toto coelo differe11t fro 111 joi11i11g with tl1e111 i11 rt11111i11g the stills. [Tl1e SttfJrerne Cott rt, i1 1 a1 1 01Ji11io11 by Mr. Jtistice Sto11e, affir111ed, stati11g i11 part:] Tl1e qt1estion prese11 ted by tl1is record is wl1etl1�r one \X1l 10 _sells materials \Vitl1 1<110\vledge tl,at tl1ey are i11tended for tt � e or \V tll be t1sed 1_n tl1e fJr?duc­ tion of illicit distilled SfJirits 1na y be co_11v_1cted as �. co-�ons �Jtrat?r \Vttl1 a distiller wh o co 11s tJi red witl1 oth ers to d1st1ll tl1e SfJ1r1ts 111 v1olat1011 of th e reve11ue laws . Tl1e Government does riot argt t e l1 e1·e tl1e_ poi�t \X1l1icl 1 see_m� to be itTif)li�it in tl1e questio11 raised by its .pe tition for cert1orar�, tl1at �0_11�1ct1?11_ of co11sp1! ·­ acy ca11 rest 011 proof alone of k11owi11gly SLlJJJJly111g a11 1ll1c1t d1st1ller, wl10 1s 11ot co11spiring witJ1 others. In s ttch a case,. as tl 1e Oover111nent co1 1cedes, tl1e act_ of supplying o r some otl1er JJro�f 1nt1st �n1port !3-11 a greeme11t or co11cert of act1011 between bttye r a11d seller, wl11cl1 ad1n1ttedly 1s not prese11t l1ere. Bttt tl1e ·.

.\

'

268

PARTICIPATION

n of ge l e� 1 t 10 ow w h a \xrl k1 1e 1 ) 0 ! at co l t 1d 1 e sJ 1 11t ir acb� co tii es do Oo,,erti eiit ls _ to a consJJirator_ l <1 10\xr11�g. tl1at_ tl1 ey will ria te na ls . r l e _ s ts iri SjJ to dis till ill icit tl1e of _ _ c o11 s l?1racy. It 1s _said tl,at . he gt!1lty lf e 1s n 11 l s 1 , · ig ii is, tised it, tl·ie distil l 1 1 11b1 ne_d w1t l1 ]11s act1 �1 1 n1 al<es 11m � JJarticipan co ge ed wl <iio l iis l t eitl,er becattse at or 1 s. t he same thing lie is y, wh rac JJt �1S co e tl1 is 1 l c ii_ l w a iii tlie agreeii,er,t )I riiici::,al ii i tl,e co11sp1racy as a11 aider or _abett ?r ?Y �1;1tue of Sect. _ 332 of the W l1o ev d er s. e 1r h Jt 1 1d l _ ic . ov _ _ ec w 0 . t tly com­ 55 c Se . .A I C S. U 18 e, od C a l iri ni Cri 1s e �ef1 11 ed 11 1 a11y law O! tl1e U11 1_ t e� States, e1 off 1 a1 1g 1 ti 1 t1 ,sti cor act a,,y tnits s its co1nm1ss1 011, is e c11r fJ1·o or 1 ces 1 dt i1 , s d 11 na 1 11 co 1 , ls se 111 co1 ts, a or aids, abe JJrir1ci jJal.'' Tlie arg11 111 e11t, tl1 e 111erits of wl1icl1 we do 11ot co_ns ider, overlooks tlie facts tl1 at tl1 e OfJinio11 belo\xr JJroceeded on tl 1e as sumJJt ton that the evide1,ce s ho\xred 0111 )' tl 1at resJJ011de1 1ts 01· s01ne of tl1 em l <11 ew that tl1e 111aterials sold wo11ld be 11s ed i11 tl1e di,still atio1 1 of illicit SJJit·its, a1 1d fell s l1ort of sl 1owing res1Joi1de1 1ts ' 1Jartici1Jatio11 i11 t!1e co1 1s 1Jiracy or t l1 at tl1 ey knew of it . We did 11ot bri1 1g tl1 e case l 1ere to revie\v tl1 e evide1 1ce, b11t \Ve are sat isfied tl1 at the evi­ d e11ce 011 wl1icl 1 tl1e Oover11111e11 t rel ies does 1 1ot do rnore tl 1an s l1ow knowledg e by res1Jo11de1 1ls tl1 at tl1e 111 aterials wot1l d be 11s ed for illicit distill ing if it does as mucl1 i11 tl 1e case of s01 ne. Tl1e gis t of tl 1e offe11se of co11s1Jirac)' as defined by Sect. 37 of tl1e Cri1n­ i 11al Cocle, 18 U.S.C.f\. Sect. 88, is agree111e11t atnong tl 1e co11s 1Jirators to com­ n1it an offe11 se atte11ded by a11 act of one or rnore of the conSJJirators to effect the object of �he co11s 1Jiracy. Tl1ose 1 1avi1 1g 1 10 1<11 0\vl ecl ge of tl 1e co11spiracy are 11ot co1 1s1J1rators . .. a11d 01 1e wl10 \xritl1011 t 1nore f11 rnisl 1es supplies t o an il licit distiller. is not gL1ilty �f co11SJJ irac)r eve1 1 tl 1011gl 1 l1is sale 111ay l1ave fL1r­ tl 1e�·ed the obJec� of a conspiracy to \vl1icl1 tl 1e distil ler was a JJarty b11 t of \x1l11 cl1 tl1e s11 1JJJl1 er l1 ad no l<11owl edge. 011 tl1is 1·ecord we l1ave 11 0 occasio1 1 to decide a11y other qi1estio11 . DIRECT SALES CO. v. UNITED STATES Supreme Court, 319 U.S. 703 (1943) United States

f:11r. J11 stice R11 _tl�dge deliver�d tl1 e OJJi11io11 of tl1e co11 rt: Petitio11er, a cor­ JJOrat101 1, \Vas co11 v_1c_t ed of co11s1J1 racy to viol ate tl,e Iiarrisoii Na tic Act. It rco cl 1 all e11ges tl1e s11ff1c1e1 1cy of tl1e evide1 1ce to susta1·1 1 ti1e COllVIC · 1011. B ecaLlse of · t· · . l" f · d · · asset te co11 1ct \Vttl1 U1 11 ted States v · falco 11 e, cert1· orar1· \xra s g·rant ed. . Pet�tio11 er �s a register_ed clr11 g· 1 11 a11 11facttirer aiid \Xlllol esaler· It coiid ucts a 11 at1011 \v1de 1 11 a1l-ord er bL1s11 1ess fro111 Bttff · a l o , New y orI<. T tes l a 1 e ' · ce . 1 l e 1 1 e e v 1 d c11 ·1efI')' to 1· ts tr..t1 1sact1. · 011s \x,1 tl1 or1e Dr · Jo1111 v · T 1 1 ·t 1 w t a e 1cr s ar1 d 11 1 . . .· . 11 . . 1 s ea d · others. I -Ie \xras a 1 eg1 stered jJll')'S1c1a1 1 }Jracticii,g. · 11 1 C al l1 0�111 �alls, SoL1tl1 ca 1·oi�_ l �11a, a co1111nL�11 i t y of abo L tt 2000 er;o1 1 ;. H e. d1s1Je11 s�d- ill egally v�st _q L1a11t t ties of 11 1or1Jl111 1e s11l1Jl1 a.t e IJLtrcl1 ast1 b ' n1ai1 fro men in JJet 1t 1d1c t 1 T 0 11 er. 11 e l 1 1a ·cl rged \Jetitio1 1er, Dr. Tate aiicl tl,ree �tliers l acl<, J�l111 so11 a1 1_d_ fos ter, t? at1ct � ' tl 1ro11gl1 wl1 0111 Tate ill egall y clis trib1 t d tl,e ct 1 11 �s , \V1tl1 consJJ1r11 1g to viola te Sects. 1 a11d 2 of tl,e Act over � -� 10d e tendii,g frat� 1933 e to I ?�O. faster \ Vas gra1 1tecl a severa11ce, 's1ac l< a�d r0111 s oix Dr. Tat e were co1 1victed. Direct Sale{ a loi,e: fJle�d ed � g·t11 lty a11� IJ�t1 t1011er_ an� ot ar JJJ ea tt le �i. C oL 1 T I1e C rc t 1 11 1 J.\pfJeals affir11 1ed. Tl1� JJarties l 1 ere are at odds co11 cern n 0 tl ie effect of tl 1e Falco11e deci sio as a1JJJl 1ed to tl1e facts JJroved i11 tl1 i s c i1 10 as e. The salient facts are t l1at Direct b

.

269

CONSPIRACY

Sales sold morpl1i1 1� st1�1)l1ate to Dr. Tate 111 sticl, quantities, so freqt1e11tly and over so lo11 g . a pe �1od 1t 111 t1 st l1ave bee1 1 l<Ilow11 lie cot1ld not disJ)e11 se tl1e tl1 e drug � mottnts received 111 lawful f)ractice a11:l \Xlas tl1 erefore distribi1ti11g illegally. Not 011ly so, bttl it actively stimt1lated Tate's J)t1rcl1ases. Ot� tliis evide11c�, tl1e .Oover11111 e11 t i1 1sists tl1 e case is i11 differe11t j)OSlttre ft.on, tliat JJresented 1r1 Un1tecl States v. falco11 e. It ttrges tl1at tl1e effort tl1ere \x,as to. co1111 ect tl�e _res1)011cle11 ts \X1itl1 a co11 s1)iracy bet\vee11 tl1 e distillers 01 1 tlie ?asis of tl1 e �1d11 1g ,1r:d abetti11g statt1te. Tl1e atte1111)t failecl becattse tl1e C �t �It lielcl. tl1e ev1der1ce cl1d 11ot establisl1 tl1e respo1 1cle1 1ts l<11e\X1 of tl1e distil­ �eis co1 1s1J�i_ acy ..Tl1ere '\;,,as no _atle111 1Jt to Ii11 l< tl,e sttj)j)lier a1 1d tl1e distiller _ 1 co 1s1J1 1 acy 111 t�r sese. �tit 111 tl1is case tl1at ty1)e of j)roblem is 1)rese1 1ted. 1. 11 � . D11_ect Sales \Xtas tried_, a1 1cl its co11 \rictio11 l1 as bee1 1 sustai11 ecl, accorcli11g to tl,e cla1n1, 011 t!1e tl1 eory 1t cot1 lcl be co11 victecl 011 ly if it \Vere fot11 1cl tl1at it a11 d Tate co11 s 1J1red.togetl1er to st1bvert tl1e order for1n provisio11 s of tl1e J-larriso1 1 Act. As tl1e brief J)Ltts tl1e Oover1 11 11e1 1ts vie\v, '' 1 )etitio1 1er's gt1ilt \Vas 1 1ot made to depe1 1d at all 111Jo11 a1 1:/ g·uilt of Dr. Tate g·rowi11g ot1 t of l1 is relatio11 sl1 ip to �efe11 da11!s otl1er tl1 a11 j)etitio11er or UJ)01 1 \x,l1etl1er tl1 ese otl1er defe1 1da11 ts \Vere l111k:ed \v1 tl1 tl1 e Tate-Direct Sales co11 s1:iracy." 01 1 tl1e otl1�r l1�11d, j)etitio11er ass�rts tl1is case falls sqt1arely \vitl1 i11 the f· acts a11 d tl1 e rt1l111 g 11 1 tl1 e falco11e case. It i11sists tl1 ere is no 11 1ore to sho\v co11s1Jirac)1 bet\vee11 itself a11 d Tate tl1ar tl1 ere \Vas to sl1 0\v co11s1)iracy betYvee1 1 the reSJ)011cle11t sellers a11 d tl1 e j)t1 rcl1a�i11Q' clistillers tl1ere. At rr1 ost it ttraes tl1ere were 011 ly legal sales by itself to Dr. Tate, acco1 111)a11ied by 1<11 0\vledge lie \Vas distribt1ti11g goods illegally. Bt1t tl1is, it co11 te1 1ds, ca1111 ot a1noL111 t to co11s1Jiracy 011 its fJart witl1 l1 i1 11, si11 ce i11 tl1e falco11 e case tl1e respo1 1de11 ts sold to tl1 e distillers, l<110\X1i1 1g tl1ey wo-1 Id Ltse tl1e goods i11 illegal clistillatio1 1. ....,

I

b

I

Petitioner obviously 1 nisco1 1strt1es t:,e effect of tl1e falco11 e decisio11 i1 1 01 1e res1)ect. Tl1is is in regardi11 g · it as decidi1 1g tl1at 011e \Vl1 0 sells to a11otl1 er with l<nowledge tl1at tl1e bt1 yer \Xlill use tl1e article for ar1 illegal pt1 r1)ose can1 1ot, t111 der a1 1y circt11 11sta11ces, be fot11 1d gt1ilty of co11s1)iracy \Vitl1 tl1 e buyer to fL1rtl1er I1is illegal e1 1d. Tl1 e asst1111ption seetns to be tl1 at, u11cler tl1e ruli11g, so 1011g as tl1e seller does riot l:11 0\v tl1ere is a co1 1spiracy bet\vee11 tl1e bL1yer and otl1ers, l1e ca11not be gL1 ilt)' ::>f co11S[)iri1 1g· \v1itl1 tl1e bL1 yer, to ft1rtl1 er tl1e latter's illegal ai1d l<110\v1 1 i11 te1 1cled t1se, by selli11g goocls to I1 i1 11 . Tl1e falco1 1e case creates 110 SL1cl1 s\x1ee1)i1 1g insLtlatio11 for sellers to k11 0\X1n illicit ttsers. Tl1at decisio11 co11 1es do\r1 1 111erel)' to tl1is, tl1at 01 1e does not beco111e a J)arty to a cons11iracy b)' aidi11g a11d abetti�1g it, tl1 rot1gl1 .sales of 1 racyi a11 d tl1e 1nferen�e stt[)plies or otl1er\vise, ur1less l1e l<tlO\V5 of the co11s1) 1 <11 0\x,-ledge tl1e bttyer \X!Ill m fro y rel 17e 1 1 \v dra be t of sLtch l<nowledae ca1111o t1se t 11 e goods illegally. Tl1e Ooverr1 n1e11t did 11 ot co11tend,. i1 1 tl1 ose circt1111sta11ces, as tlie O IJi11io11 poi11ts ot1t, tl1at tl1ere \x,as a c�11s1J1racy _bet\vee11 tl1 e btt)'er a1 1d tl,e seller alone. It conceded tl1at 01 1 tl1e ev1de11 ce 1 1e1the1: tl1e act 1 aracter as 11npor!ed cl a l1 st1c of as \x, of pro 1er otl the of sttjJplyi11g itself 1,or a1 1 acrreemetit or co1 1ce 1-t of actio11 bet\x;ee11 tl1 e bt1yer a1 1d tl1e seller amot1nt1ng to c�11 spiracy. Tl,is \vas trtte, 11ot\vitl1s:a11ding so1ne of tl1e reSJ)011 de1�ts _cot1ld l s ga 111 ed od ille 1as go rcl fJtt e 1 tl· e tts tild wo rs 1ne sto ct1 be tal<ei1 to know their distillation. Tlie scoJJe of the co1 1cession mttst be 1nea�t1recl i11 the ligl1t of tl1e ev­ ide11ce \Viti, referei,ce to wl1icl1 it was :nade. Tl11s related to botl1 tl1e volt11ne of tl1e sales arid to casttal a11d unex1Jl,1ined meetings of so111e of tl1e r�Sf)-0�1de11ts \vitl1 otliers wtio were convictecl as co11SJ)irators. TI1e Court -fou11d this e'\11cle11ce

.!

••

' ,., .. ' ..

..

270

PARTICIPATION

ts en 1d 1 o n k1 �p di in g e re th a t ew r J _ J f S to o ? l! I f tlie in rta , ,ce l ii t d i a ie gt va ; too 1 s a1!c es to �u�tain 1r e m 1n t e so ua d eq a 111 t 1o 1 1 1 gl ot l1 t one distil lers' cotlSJJiracy, �l eg r 1ll fo s e d od tl1 e 1sti ll iii g. go tts d l ou w r ye 1 bt e 1 tl xr e, l<n It er l tl,at tlie se l e v1den�e as ii e . m e ed sa tl1 �d ga 11t re e _ 11m er o_v O e t l1 isuf. mtist be tal<etl also tl1at e bu ye r, by sell11 1g to 1 tl1 1tl ly w ct i re d �d Jtr Sf 1 1 co r ll� s� him ficieiit to sl ,ow tli e . e s l u a g le 1l d e d 11 e 1t 11 s 1 11 ,1,itl1 1<110,vledge of n sio es d nc an is co 1 tl1 i1 i g ak n1 11 regarct. i11 t en �s� 11s co s wa it t no or r l,e ,et Wl e selle�s k11ew of and tl1 t _ at l1 ow sh to 1 t e1 1 1 c ff 1 st as ,ce er iilo· tlie san, e evid t e1·1al. N or 11eed 1t be deter mined a n1 t no is g· 11 ri 1g li1 l sti di ' jotied tlie bttyers 1c l 1. W e do 11 ot no w t111dert ake to 111t o to d de 1ce 1 co t 11 111e r11 e v Oo \vl,etl,er tl ,e c l i11ed to sa:y i_ n tl1e Falcone de re e fo �r l1 t d an <ed l as ot 1 ! s wa rt 1 say wl ,at tl1e Cot t hat case wa s st1ff_1c1e11t to st1 stain 1 1 1 cl e 11t e es pr 1ce 1 e v1d e tl1e t tl1a case , nan1el y, e 1· a11d the bt1 ye r inter sese. for, ! sel l1 t � 1 �e1 tw be cy Jira 1 s 1 co of g din fin a 1 e than the cl1 r mu mo w e sl1o cas 1 1 s l t 111 ved fJro ts fac tl1e , ,at l t of regardless evide 11 ce dicl tl1 ere. Tl1e comn1oclities sold tl1e re were articles of free commerce, sttgar, cans etc. Tl1e y were 11ot restrict ed as to sale by ord er form , registration, or othe; reqL1ire11 1e11 ts. \Xfl1e11 tl1e y le ft tl1e seller's stock a11d passe d to tl1 e fJUrcl1aser's l1a11ds, tl 1ey \Xtere 11ot i11 tl 1en1selves restricted com1nodit ies, i1 1capable of further legal 11 se except by co1 111 Jlia1 1ce \Xtitl1 rigid 1·egul atio11s, st1ch as aJJply to mor­ JJl1i11e sL1l1 Jl 1ate. Tl1e differe1 1ce is l ike tl1 at be t\xre e11 toy pist ols or l1t1nting rifles and 1nacl1i11e gt111s.All articles of commerce may be JJLi t to illegal ends.But all do 11ot l1ave inl1erently tl1e same susce 1Jtibility to l1armf111 and illegal use. Nor, by tl1� �a111e tol<e11, do all e111body the same capacity, from their very 11ature, for g1v111g tl1e seller not ice tl1e b11yer will use tl1em u11la\vfulIJ'· Oa11 gsters, 11ot l1L1nters or s1n�ll boys,. com1Jrise tl1e 11 ormal JJrivate rnarket for macl1 ine �uns.So drt1� acld1cts f11r111sl 1 tl1e 11 ormal outlet for n1or1Jl1i11e wl1icl1 gets out­ side the restricted cl1a1111els of legitimate trade.

1�1,is differe11 ce is i1n1Jortant for two jJttrposes. 011e is for 1nal<i11a certain tliat tl1e seller 1< 110\x,� tl1e bt1ye r's i11tended illeg·al 11 se. T l1e o tl1e r is bto s110\,q t�1 at by . t lie sa!;" lie 111 te1 1cls to ft1rtl_ 1er, pro111ot e a11 d coorJerate i11 it.Tl1 is i11tent, :vlie11. gi ve i�. efrect by ove rt act , 1s tl1e g·ist of consJJiracy. \Vl1ile it is not identical wit!, n1ere l<rio,vledge tl1at a11ot l1 er fJL1r Joses t111la\vf11l ac tion, it is not 1 1111 r_e late ct to Sltcl, l<tlO\vle clge. Witl1011t tl1e 1<110,vle do·e tl 1e inte1 1t cannot exist. O ' 1 1 e . U1 t d - tates . v · falco11e, 311 u · s . 205 .... futl1er1nore to establisl1 the t tl5 v ei e of 1<.11_o\x,le dge mt1st be clear, nol eq{1ivocal. Ibid. This, g��;:��e ��, a'� g �� �� co11 SJ)11acy are 11.ot t o be 111 a de ou t b y p 1·1·1 11g· 1·1 1 fe 1·e11ce 11 I)o11 i11f ere11 ce t11Ll5 f I 10 · 111· 11 g. \vl1at, 111 tl1at case , \x,as called a dragnet to dra\xr i11 all substa11ti've cri11�s� Tl1e differe nce bet,vee11 511 aai., ca s, ai . e, d tra l o tl al 1e1 m r, or l ic tic e 1 1 ar of s · : 011 the 011e l1a11d,a,,d narcotic drttb_ s, a d _11��cl� 1 1 1� gt111 s a11� s t 1cl1 restricted con1mo­ dities,011 tl 1e otl1er,arisi,ig frorn tlfe 1a�t- .5 _ 11111e1 �1 1t ca1Jac1 ty for l 1ar1n and fro1n_ th very fact tl1 e)' are restricted 1,,al <es � d1�} � re i ere to sl10\v 1<110\vledge tl ,at tli e bt �� \X'.1. 11 i��e 11 1 tl1e qt1a1 1tit y of jJroof requ na Llttltze tl1e article t111l a\vfull)'· Additio · facts, st1cl1 as qti atitity sales /11g : 5 e S JJte tr a e sal s _ cre e 1 n 1 i1 e l t s, l1od l n1a 1or ab1 S li11 tl1e size of tl 1 e bti yer's J)ti'rcl 1-a�es r o , � t c.,_ wl·i�c}1 wot1ld be· \Vl1o s ou 1oc t1 1 lly in 11?t n1ore tl1a11 groLtiid for s t ts tcto , tn 1 elat _io11 to t1 11re strict ed aoods, m a )' fur· 111s11 co11clt1sive evidei ,c e ii , rf Je c � tl1e bL1yer l1as a11 illeo·�I obj!'c_t ati�o re stri ct �d arti c les, tl1 at the sel ler l<nO\v'J e i ,ter1Jr1se. 1(110\'<lleclae e qt1ivocal a n 1111certai11 as to one be�oines s e th to tli e is otl 1er . ge So far a� 1<110\vled fot111datio11 of ir1te11t, the latter �l�:r! tY also become s tl1e 111ore se ct1re.

't· .•

CONSPIRACY

271

Tlie differe11ce i11 the co1n1noclities !,as a f Lirtl,er beari11 g LljJOtl tl,e existe11 ce a11d tl1e JJr �of of i11te11t. Tl1ere 111 ay be circLit11sta11 ces i11 \xrl1icl1 ti,� evide11ce of l<11owleclge is c;lear, yet tl1 e fL1rtl1er steJJ of fi ridi11g tl1e reqLtired 111te11t ca1111 ot be tal <e11. Co11cecledly, not ever>' i11sta11 ce of sale of restricted goods, l1ar111 ft1l as are 01Jiate�, i11 wl1icl1 tl1e seller l< r1 0\X1S tl,e bt1Jrer i 11 tencls to ttse tl1 e111 u11la\vft1Ily· , \Vt ll SLIPfJOrt a cl·1arg·e of co11 spiracy. Btit tl1 is is 1 1ot to say tl1at a _seller of l1 ar111fL1l restricted g·oods l1 as lice11se to sell i 11 t111 lin1itecl qt1a11tities, to st1mul_ate s_L1cl1 sales by a�l tl1e l1igl1-1Jresst1re t11 etl1ods, legal if 11ot al\x,ays a1J­ {Jro1Jr1 ate, 111 tl1e sale of_ tree co111111oclitics; a11cl tl1 ereby bri11g abot1t st1bversio11 of �lie order for�1 s_, \xrl11cl1 otl1er\vise \VO Ltlcl 1Jrotect l1 i 111 , ,t11cl violatio11 of tl1e Act s otl· 1er restr1ct1 011s. 'v�l1e11 �lie evicle11�e. d}scloses st1cl1 a syste 1n, \Vorl<ir1g i11 1Jrolo11ged co­ ?perat1oi1 \v1tl1 _ a _JJl:y_s1c1a 11 s t1 11l,t\X1fL1 l IJL1 r1Jose to S LIIJ!Jly l1i111 \vit/1 l1is stocl< 111 trade �· or 111 s 1ll 1 c1t e11ter1Jrise, tl1ere is no legal obstacle to fi11di11 g· tl1at tl1e SLIJJJJlier 11ot 0 111 )' i<11 0\X1S a11d acqL1iesces, bt1t joir1 s botl1 111 i11 cl and l1a11cl witl1 l1i 111 to 1nal{e its accon11)lisl1111 e 11 t IJOssible. Tl1 e ste1) fro 111 1 <11 0\vleclge to i11 te11t a11d agree111e1 1 t 111a>' be tal<e11. Tl1ere is 111 ore tl 1ar1 sL1s1)icio11, 111ore tha11 1<11 0\vledge, acqL1iesce11ce, careless11 ess, i11 cliffere11ce, lacl< of co1 1cer11. There is i11formed a11cl i 11 terestecl coo1Jeratio11 , sti111L1latio11 , i11 stigation. f\ 11 cl tl1ere is also 11 a ''stal<e ir1 tl1e ver1tL1re \vl1icl1 , eve11 if it 111 a)' riot be esse11lial, is 11 ot irrele­ va1 1t to tl1e qt1estion of co11s1Jiracy. Petitio1 1er's stal<e here \-vas i 11 1nal(i11 g· tl1e j)rofits \vl1icl1 it l<11e\v cot1lcl co111 e only fro1n its e11courage111 e11t of Tate's illicit OJJerations . I 11 sL1cl1 a 1Jost L1re tl1e case cloes r iot fall dot1 btft1ll)' 0L1tside eitl,er tl1 e sl1ado\vy borcler bet\x,ee 11 lawfL1 l coo1Jeratio1 1 a1 1cl cri 111 i11al associatio11 or tl1e no less elt1sive li11 e \Xil1icl1 seJJ,arates co11s1Jirac)' fro1 n overla1J1Jir1g for111s of cr i 111 i11a l coop era tion . Tl1is bei11a true, it ca11 1nal<e r10 differe 11 ce the agree111 e11t \x,as a tacit t1r 1 dersta11 di11 0- c7-eatecl by a 10 11 g cot1rse of co11clt.1ct a11cl execL1ted in tl1e sa 1 ne \Xia)'· Not tl;e forrn or 111a1111er i11 \vl1icl1 tl1e t11:cler�ta11c.li11g·_ is n1ade, bL1t tl·1 e fact of its existe1 1ce a11d tl1e ft1rtl1er 011 e of 111 al<111g 1 t effect1\1e b)' 011ert co11 dt1ct are tl1e crt1cial 1natters. Tl1 e IJroof, b)' tl1 e verJr r1at L1re of tl1e crir11e, 111 L1st be circt1111sta11tial a11d tl,erefore, i 1 1fere11tial to a1 1 exte11t varying \Villi tl1e co11ditioi1s L111cler \x1I{icl1 tl1e crime 111ay be com111itted. Bt1t this cloes 11ot 1 nea11 eitlier tl1 at tl1e evide11ce may be eqt1ivocal or. tl1at 1Jetitio11 er is exen11Jt fro111 its effects \vl1e11 it is 11 ot so, 111erely becat1se 1 11 tl1 e abse11ce of excesses s L1cl1 as \xrere com111 ittecl a11d i11 otl1 er circt1111sta11ce� tl1e order !�r111 ;vo L1ld !1ave _ _ giver, it jJrotection. It follo\xrs tl1 e mere fact tl,at 11 01,e of fJet1t1011�1 s re_1J r ese!1t­ atives ever 111et Dr. Tate face to face or l1eld fJers_onal com1nt�11 1011 \v1tl1 11 1�11 is immaterial. ConsJJiracies, i11 �l1ort, c�n be co1n1n1tted by 1!1a 1 l and by 111 a1l­ orcler Jiotises. This is true, notw1tl1sta11 cl11 1g tl1 e overt acts co1�s�st solely of sal�s, \xrliicJ1 btit for their volun1e, freqt1er1 cy a11d jJroJ011ge�l re1)et1t10 1�, cottjJled \X11tl1 tlie seller1 s tttilawful j 11te11t to ft1rtl1er tl1e bttyer s jJro1ect, wo11lc1 be \x1l1 olly la\x,­ ful transactions. Accordi1· 1gly, the jt1dgn1e11t is affir111ecl. THE REQUIREMENT Of AN OVER�f ACT 11 Dr. I-I. S. Gour Tlie doing of an overt act, i11 depe11dent of tl1e agreeme11t, is a ste1J furtl1er 11.

. �:. ,·: . .

Gour, I Penal Law of India 569 (7th

ed.,

1963).

272

PARTIClPATION

as it i1 i1n {JS cr m sta d a11 y ac 1al Jir 1s 1 co 1 e . . tl1 of tli wi t jec in ob e til f 0 111 JJI osec�i t·1011 1 1dia]. Tl1 is overt act l1er e m I of de Co al 1 1 Pe A ?O uste tiot, [l 0 e 11 a 1 e agreem e nt. tl y el er m Jr to e g 1 ?:7 i1 11d 1 te · at tl� Th g� s �1�1 ;�;.���00. � i !fi�1ct froi; of ch ea es 11c sta m c11 cu e se tl1 ca 1 o1 · t1p t e11 i1d Fo JJe de r t fac of ' e 1 1 o 1 s ques t.1 o11 n ee e b w t t ss h 1Ja I 1 t rs at em te et I , C r as de t1r 1n to to e re aa B · nd a o A · · 11. 1 s tance I··r sp n 1e ti f co o ce y an 1 tl ac f er ir r tt 1 11 . ts . ac t er . v . o e ar C f o s 1t e1 1 1 e1 v o � to tlle W A N L A IC R E M A E li T IN T C A T OVER 12 E D O L C A N INSTITUTE'S MODEL PE

n o1· l( d ol ar H s, ne Jo nt ia ill W , ler hs ec W rt Herbe

ri,� . precise

significa11ce o_f tl1e overt. act requireme11t and_ \X1}1ether it co11stitutes a1 1 elen1e11t of tl1 e cr11ne of co11SJJ11-acy l1as been tl1 e subJect of some disJJLtte i1 1 tl1 e decisio11s. It is certai�1 _ t l1 at a co11spiracy can rarely be e�tablished \x1itl10L1 t proof of some overt act1v1ty, anci. oyer� _acts serve a11 1mpo_rt�11t fttnctio11 in affordi11g a bas i s for ve11ue a11d Jt1r1sd1ct1011 and for ascerta1n111g tl1e duratio11 of the co11 spiracy....

111 its 1nost rece11 t expression on tl1e st1bject, in Yates v. United States, tl1e [Supre111e] CoLtrt said: Tl1e fu11ctio11 of tl1e overt act i11 a conspiracy prosecution is simply to manifest ' 1tl1 at tl1e co11 s1Jiracy is at worl<'' . ..a11 d is neitl1 er a project still resti11g solely i11 tl1e n1 i11 ds of the co11 s1Jirators nor a fully completed OJJ­ eratio11 110 lo11ger i11 existence. (195)

. . . St1bsectio11 (5) [of tl1e Model Pe11 al Code] requires a11 overt act i11 the view, sin,ilar to tl1at of tl1e Yates decision, tl1 at it affords at least a minimal a_dded �sst1ra11ce, be}'Ot1d tl,e bare agreeme11t, tl1at a socially da11 gerot1s co1nbina­ t1011 exists, a11d \Ve believ_e tl1 a_t tl1is aclded assurance n1ay be dispe11sed \vith wl1e11_ tl1e agreed-t1pon crime 1s grave e11 ougl1 to be classified as a felo11y of tl1e first or seco 11d degre� a11d. tl1e imJJorta 11 ce of fJreve11 tive interventio11 is pro tanto greater tl1a11 in dealing w1tl1 less seriotts offe11ses.... •

I

•

•

b. Corispiracy in Comparative Law CONSPIRACY IN CIVIL LAW COUNTRIESI3 1'f7iet1czJ1s/a7.v Wagner

It w�: rev_ealed, at tl1e NL1re111b�rg Trial, tliat tlie ai)proac to tl, JJroblem e l, . co of 11s1J11acy 1 11 co111111011 la\v a11d 111 ci\1il la\v coti11t 11es -· 1s · d'1ffere1 1t. ... Tl1e co 1 1ce1Jt o·� co11s1Jir�c)',. iJL111isl1 a?le _eve11 \Vl er 1 e 11 0 cri1 11 e l1as bee 11 co111n1itted, i11 its b1 oad a1J1Jl 1cat1011 as liistorically de\reloiJed ii, coniinor, } a\X' Wecl1_sler, Jones and Korn, Tl1e Treatmeilt . of Inc I1oate . Ci.·im es in . tl1e Model Penal Code of t he · American Law Institute·· Attelllpt, So]1c ' 1tat1on ' an • d Cons1)1·.!acy, 6l Columb'ra L. Rev. 100-10-? (19.61)·' Sect. (5) reads: ''Overt .1lct. - No .O e, ay be crim con vict ed a of COn com spir aC)' mit tO Otl1er tl1an a felo11y of tl1e first or re�� d ry . spiracy is alleged and proved to J1ave b�:n c eg, ee, unl_ess an overt ace in pursuance of such_ con ; done by I11n1 or by a person vvith wh ( 195) 354 U. S. 298, 334 ( 1957). om l1e co nspi red. 13. \X1agner, Co11spiracy in Civil La w Count · ries, 4-? J Cri·ni. L. Crz1n.a1zd 83 (1951). Pol. Sci. 171, 178-179, 182-1 12.

CONSPIRACY

273

co�nt� !es, is. _ 11 ot l< 11 0\v11 i 1 1 �lie traditio nal civil law syste111. Historically, the tet r.11 COilSJJtI ��y \Vas as_soc1ated, i11 co11tir 1e 1 1tal Et1rope, witl1 so111e fJolitical pu�fJOses. Political co11s1Jiracy n1ay be defi1 1ed as a ''secret combi 1 1atio11 of p� isons for tl1 e IJt1r1Jose o_� cl_1a11gi11 g tl1 e for111 or Jerson11 el of gover11me11t by violence or ?tl1 er t 1 11 co 11 stitt1t1on al n1ea11 s." J-lo\vev1er, son1e statt1tes e11 acted i11 many cotii,tries. ma �e tl1e co 11ce1Jt of co11 s1Jiracy closer to tl1e common la\v co11cept, extendi 11g 1t beyo11d the field o : JJolitical JJ]ots. 11

•

•

•

•

lt,ilic:11. Law: Tl,e I talia11 Pe1 1al Code of 1930 is jJerl1aps tl1 e best reflection

�f _ tl,e �tv�l law aJJproc1cl1 to tl1e JJroble11· of co11 spiracy. Art. 115 reads, in its f11st IJaiagrapl1 , as f ollo\vs: "ExceJJt \X1l1 ere tl1e la\v jJrovides otl1erwise, \X1l1en­ ever. � \�O or 111o re . perso 11s agree for tl1 : IJLtrJJose of co111111itti11g a,1 offe11se, a11d it is n o t c o 111n1 1ttecl, none of tl1e111 is IJL11 1isl1able f or the sole fact of 111aki 11 a art �greeme11t;'' tl1 t 1 s, _it lays do\v11 tl 1 e g: 1 1eral 1Jri11 ci1Jle tl1at co11sJJiracy is not ! Ju111s l1a_ble! bt1t jJrov 1 des for exceptio11� to tl1 is rt1le. Besides, it allO \'v'S tl 1e Judge (111_ its JJa_rag·ra1Jl1 2) t o aJJjJly a jJolice 111easure i 11 a case of agree111e11 t to �omm1t a cr1i:ne. Tl1e sa111 e JJr ovisio11s are a1J!Jlicable "in tl1e case of i11sti­ gat1on to com1111t an offense, if tl1e i11�tigatio11 l1as bee11 favorably received, bt1t tl1e offe11se l1as n ot bee11 co11 1mitted' (paragra1Jl1 3, art. 115).

Accordi11g to tl1e traditio 11 al Et1ro1Jeai1 ap1Jroacl1 , tl1e 111ost im1Jorta11t exce1J­ tions relate to ''crin1 es agai11 st tl1e i11 terratio 11al 1Jerso11ality of tl1e state." Art. . 302 of tl1e Cocle deals \Viti, i11stig·atio11 to co 1 11111it st1cl1 crimes (e11L1merated in tl1e Code), a11d art. 364, e11titled ''Politic<.tl co11 s1Jiracy by 111ea11 s of an agree1ne11t,'' pu11isl1 es by im1Jriso11111 e11 t fro111 one to six years a1 1 agreeme11 t co11clt1ded bet\vee 1 1 ''several jJerso11 s1 i11 order to :0111 n1it a crime inclicated i11 art. 302, ,even if sucl1 crime is 11ot 1Jer1Jetrated. According to art. 305, tl1e fJe11alty is increased (five t o t\velve )'ears) for 1Jerso11 s \xrl10 tool< a11 active jJart i11 tl1e orga11ization of an as sociatio11 11 t1n1 berirg tl1 ree or 111ore me111bers \vitl1 tl1e pLirJJose of co1nmitti11g st1cl1 crii11es; tl1e fact itself of bei11g a 11 1e1nber of st1cl1 association is pt1nisl1ed by im1Jrisonme11 t fro1n two to eigl1t years. '

Art. 306 establisl1es 1Jei1 alties for fori11i11g a11d partici1Jati11g i 11 ar111ed bands, organized witl1 tl1e JJUrJJose of cotn111 itti11g· st1cl1 cri1nes; art. 307 111akes pt1nisl1able assistance to conspirat ors and me111 bers of tl1 e ar!11ed ba 1 1ds, and the next two articles specify cases \vl1ere 111e1nbers of coi1s1J1racy a11d armed bands sl1all be relieved from pt1 11isl1111e11t. t a ort n t case of co11SJJi_racy 111_ade crim_i1 1al even tl10L1�l1 it ,?oes 11_o An imp . 111volve t]1e secLirity of tl1e state 1s JJrov1jed for _ 1n �rt._ 416, e11 t1tle� Assoc1a­ tio11 for PttrJJose of Delinqt1e11cy," \X1l1icl1_ n1ade 1t cr1m11}al to assoc1�te for the 1 ed JJe11alt1es accord­ sl bl1 sta a11� , 1ne cr1 e 011 � n tl1a re o n1 se ng purpo of committi ing to tl1e degree of partici1Jatioi1 i11 sucl1 assoc1at1011 . Tl1ese provisior,s are con1parable t_ o .tI1e article� �f tl1e frencl1 , Penal C�de ed IJl1 ere aJJ ey \X Tl1 l . s i1a !111 cri f o 1 s 1 at10 1 c_ o s as_ d a11 deali11 g witli arm ed bands 1e ed tl by ot om s, jJr or lat o -vi law of 11S t10 za 111 ga or 1 mostly agairi st tl,e Sicilia1 1\i\afia. Bes ides, curiotisly en otigli, ac cordii1g to tl1 e w?rding of _the . Italian _Pe11�l Code, the has. is of the liability f or a11 atlemfJt to give _or to 1ece1 ve a_ bribe 1s ·similar to tliat in tl,e case of c oi1 spirac),; art. 322 fJt 1 n1sl1es both p�r�ies of . a11 agreeme11t to give an d t o recei�e a bri_be. i 1 1 tl1e �e.rforma11ce of off1c_1a� �L1t1es, ever1 if tl1e crime is not committed; sttnilar JJrov1sio11s refer to a brib111g of a · \Vitness, expert or i11 terpreter. (art. 377). '' '

.

.. .

:�

• ' . ,. ;'• '

..

PARTICIPATION

274

t c rc t i11 at a a av 1 1 0 sta n be �· g� e nc 111 cy ): ra if pi � � ?; he lf f 1 1 1 otll er cases, coi1s � v 1 s1 011s o ar . ro . p o t 1 11 1e r co · g ac , d te it 11 1 1 11 criine has beetl co

1 1al co• 1 1ti11ental leg al sys ten 1, con.·spi.racJ, , \Xia"::, itio tJ 1e trad . . ] pu1_1�ose: C.11 m11 1al code a · 1c 1 1 11 so111e_ po 1·t ta at to J ec� 111 �1 1 it _ 1 1 1e s JJUtlisli able 01 1 ), w 1 1e \X11tl11 11 the bot:n p ns s, co to 1e t 11 1!r co 1y 1 a n1 1 1 � , n� 1 1 cr a ds aiid stattites 1 11acle it 1 ge ous to · tl1e society 1 _ da ly ar ul 1c jJ rt as , s _ 1al 1 1 111 1 cr of S _ ljJ . ot � � . . of orgaii ized gr e t11 y un an co s n1 1�1 1ed 1 de oa tl1e b1 1s 01 1 �s ov 1Jr l scop e tec ac 11 e )' ,tl i ce re 501 11 e 111ore 1 bl1c IJeace or to tl1e co1n111is­ pt of 1ce 1 ba tt1r d1s tl1e to s ate rel it of crii,,e \'v'lletl l 1 er exceptions be rat to ar JJe r, ap ve \'1e l10 , ses ca tl1e l Al s. ine cri jor 11a sioi, of 1 tl1a1 1 tl1e rule. It 11 1ay be said, as a ge11eral JJr?JJ?sitio1_ 1 , tl:a� it is easier _for a public pro­ sect1tor to obtai1 1 a co1 1victio1 1 of cr1111111als 11 1 c1v1l la\'v' tl1 a11 1n co111mon law coti11tries· tl1e court is 1 1ot restricted by all tl1e rigorous rules of evidence, and i11 1 11ost �ou11tries \Xtl1icl1 still retai11 tl1e jt1ry system, tl1e verdict reacl1ed by tl1e n1 ajority of the jt1rors suffices to obt�i11 a co1 1viction. I-I_owev�r, in _tl1e case 111 1s mucl1 m�re str1ng�11L aga1 11st tl1e of co11spirac1,, tl1e co11 111101 1 law syste . 111 civil la\v cot111tr1es, the cr1111e of conspir­ 111 cri111i11al tl1a11 tl1e civil la\Xt syste acy - if recog11ized by law - is dee111ed to be co1nmitted 011ly wl1ere there \Xtas a11 �ctt1al agree111e11t bet\vee11 tl1e co11SJ)irators. Co1 1\1iction of co1 1spiracy i11 cases si111ilar to Rex v. MeJ,rick arid Ribujfi, 21 Cr. AJJp. R. 94, 45 T.L.R. 421 (E11gla11 d, 1929], wl1ere tl1e defe11da11ts bribed a J)Olice officer witl1ot1t being i11 direct con1n1 t11 1icatio11 \vitl1 eacl1 otl1er a11 cl \'7ere helcl guilt)' - wo11ld be i11co11ceivable i11 Et1ro1Je; tl1e co1 1ce1)t of a co111111 011 desig1 1 to acco1111)lisl1 a con1111or1 l)Urpose is 11111(110,x,11 i11 civil la\v cot11 1tries. f11rtl1ermore, a co11s1Jirator in tl1e civil la\Y., cot111tries wl10 infor1ns tl1 e autl1orities of tl1e existe11ce of tl1e co11SJJiracy is 11s11ally relieved fro1 11 /JL111isl1111e11t. Moreove1·, tl1e co1 1cept of tl1e ''un­ la\vfL1l11ess'' of tl1e act 1 1ever re1Jlaces, in E111·01Je, tl1at of tl1e ''c1-iminal act'' ....

In · ·C1·1•!510.. ·cOJ1 11.

•

•

•

•

_Tl111s, ext�11sive a1JJJlicatio11 of the doctri11e of co1 1s1Jirac)', given tl1e broad­ est 1nter1Jretat1011, 111ay be a co11ve11ie11t i11str11n1e11t i1 1 the l1a1 1ds of tI1e pros­ ec11 _tor,_ bttt seen,� l1arclly to sqt1are \vith tl1e fJri11ci 1Jle of a fair ad111i1 1istratio11 of Jttst1c�. As l)_o111ted ot1t by 1\llr. J11stice Jacl<so1 1,c31) tl1e crin1e of co11s1)iracy, as �111de1s_!o?_9 1171 n1ocler11 co111111011 la:v _s:yste111s, ''is so vague tliat it al1 nost ?ef1es def1 11�t1011 ! 111a� su1Jerse?e tl1e l1ab1 l1ty based 011 aidiii g arid abettir1g, and 111tr_od11ces 1�111J_l1ecl cr1111�s. It _1s do11btft1l \v'lletl,er sticli lliiderstarld ig of the ii 11ot1011 of cr111111 1al co11s1J1rac1, 1s clesirable.14 CONSPIRACY IN TI-IE COMI\!\.ON LA\xris Harvard Law Re·view . Tl1e l1istor)' of co11s1Jiracy [i11 tlie co111111 0.1 1 I · .. Justice n s0 "/ _a\x ] I Jac < as Mt JJ0111ted ottt exe111,Jlifies tli e ''t 1 ct ei,cy of a tli JJri e 1Jle rtci to to . lf 1d itse 1)a1 ex �� ''(7) Origiiiati Ii1 11it of its loo0ic • i ,o 111 a s tatt1te of 1305 8 ' < ) w l1ic l1 JJrol1ibited con1

{31) Concurring opinion in I<.rttlewitc/-; v· Un�'ted S l�altes, 336 U. S. 440 ( 1949 ). co nsideration of Frencl1 ' Gerina• an p 14. For ° is 1 conspiracy see Wagner, op. cit. at PP· 171-177, 179-182. 15. Crimi11al ConspiraC)', 72 1-Iarvard L· R\.l?�V. 92 /-9 .... ?5 (1959) · l · / T/ ( 7) 1,,_ru e·w1JClJ v. United .)tates, 336 U. S. 440 445 ( 19 . 49 ) (c o1 1curr1ng opinion) (quoting CARDOZO, The Narure ?f tl1e �udical Process 51 (l 9ll)). _ (8) Ord1na11ce <ll Consp1racors, 1305, 33 Ed w. 1.

-CONSf-> JRACY

275

. tn1e11ts, c o11 federacies fo r tl1e false a11 d 1 11alic·10 is J) .O L1r 1 11 11 t � 11. 1cl1c ira sp cy ot � � C t t x l beca1ne a coi nrnoi -la\r criii,e 011 1y at. t�,c beg11111111 g: of tl1 e seve11teen tl: c e11 tL1ry. Wl1ereas JJrior to tl,at titne tl,_e :v �it of c o11s )1r�cy \v'OLtld 11 ot lie L111 less 1 the victim 1,ad ac tLtall, pbeei 1 in cl icted aiid acqL11ttecl, 11 ber Cl1a1 Star tl1e clecided 11 tl1e Iai,c l i11 'arlZ Ot,1, Lterers C i ase11)> of 1611 ti 1at ti 1e ag1·ee 111 e11 t ·t1 seIf \xras • . pt1111sl1able eve11 if its pLtr/ J �s � �en ,aii ,ecl Ltti�x_ectttecl. 011ce tl1e focal poi1 1� of tl1_e offe11se l1ad s1,ifted froin 1, bi�ct of the c1gr een1 e11 t to tl1e ag·ree�11 e11t 1tsel_f, 1t \vas a sl1ort steJJ to tlie J)ro )O SI- 10� �I,�t ai, agree111e11 t to co_1111111t ail)' cr1rne \Vas a cri1ni11 al co11s,Jirac)'. 1 1e ea b ei iie�� of tl1e coLtrts, JJart1 cL1lar l y th_e Star Cl1amber, to exteiicl tl, e sco1 Je 0 f coiisJ)n acy \Vas a11 asJJect of tl1 e excerJt1011ally viaoroL1s bo-ro\xrtl, of tl·ie c1.1· 111 1- 11 a1 la\v rreneralJ, d ir · r g ti1_e seve1 1tee11tJ1 ce11 tL1ry � i t ' J b . � arid a reflect ion of tlie coii te IllJ)<.11 a1 )' te11cle11c)' to 1 cle11t1fy la\v \vitl1 mora l it)'· ' 1 1e factors jJrobablY accoL111t also for tl1e \xr·1deSJJJ·eacI a 11 cI f)e1·1 11a11 e11 t. acTl·1e sa1 ceJJta11 ce accorcled a staten ,eiit of 1_la\,;.1 l<n1s, . < 1_ 1 ) do_ . t1btfully sttf)JJorted by JJrev1ot1s case la\x,·1 tl1 at tl1 e acts coii te111 1) l atecl by a co11s1J1rac)' 11 eed 11 ot tl1 emselves be c1_.1m1.11 a1 bLIt 1.1eect 011 1 J,, be ''\vro11 O0-fLil'' 11· 1 orc I er to 111 ak e tl1e cons IJ irac}' p Lt11 is1 1able.

f

�

·

Possibly tlie coi,cerJt of c o1 1s1Jiracy i11 st1cl1 a l1io·l1 l)' ge11eralized for111 coLtld l1ave bee11 clevelo1Jed 0111)'. \vitl1i11 a s�,�te111 of jLidge-ri,acle la\v. r,, ai,y event, _ a c o�n 1�arably broad doctr111 e of- co11s1J1 raC)' l1as 11 ot e11 1erged i 11 civil-la\v cot1 �tr1e�. EL11 opea11 fJe1:al codes freqL1 e11tl}' 111al<e co11certecl actio11 a basis for agg1 avat_111 g the 1Je11 alt1es for co111 1Jleted SLtbsta1 1tiv e cri111es, bttt \vl1 e11 1 10 st1bst a1:7t1 ve offe11 se l1 as be e11 C?ITIJJletecl, 011 1 ;' certai11 t;'fJes of co11srJiracies �1 re JJroscr_1bed - 11 otab l y. tl1 ose cl1 rec�ecl agai11 st tl1 e secLtrity of tl1 e state 1 tl,ose 1nyolv1ng n1a1 1y fJart1 c11Ja1 1ts �rga111ze�I for tJ-1 e f)ttrJJose of co111rnitti 11g 1 1t1111 erous cr1111 e�, an cl tl1 os� co11 t en1plat1_ n g· l?art1c _t1 arly. serio11s offe11ses, B;' aJJJ)lyi11 g· tl1e co11 s_p1racy doc�r1ne 011 1}' 111 s1tL1at1011s 111volv1 1 1g a ver)' great da11 o·er tcJ society cont1_11 er1 tal leg,s lators se e m to l1ave \Vise l )' Ii111 ited tl1e cri111e to tl1e sco 1;� reqL11red by its u11 de rlyi11g ratio11 a l e.

Tl1e l1eart of tl1 is rationale lies i11 the fact - or at least t l 1· e asst11111)tio1 1 -­ that_ collective actio11 toy:.:rard a11 a1 1tisocial e11cl i11volves a greater rislc to society tha11 i11 cliviclt1al actio11 to\vard tl1e sa111 e e11d. Primarily, tl1 e state is concerned \vitl1 pL111 is l1i11 g co11clt1ct tl1 at has actLtally resultecl i11 a11tisocial co11 seqL1ences. It is relL1ctan t to i11 terve11e as 1011g as tl1 e actor ca11 still \vitl1dra\xr �11 d as l011 g as l1 is co11 dL1c t is stil l co11siste11t \';;itl1 tl1 e abse11 ce of a1 1y cri111i11 al as actio11 towarcl a c rir1i11al e1 1d 11 ears exect1 tio111 a 1Joir1t is 1nte11 t. I Iowever, reacl1 ed at \xrl1 icl1 tl1e ir1 creasi11 g risl< to societ>' is tl1 0Ltgl1 t to 0L1t\xr eigl1 tl,e dimin isl1 i11g lil<elil1ood of a cha11 ge of l1eart or of a 1 11isreadi11g of i11ten t, a11 d at this fJOi11t n1ere ''1J re1Jaration '' beco111 es JJU11isl1 able as "atte111 1)t11 Wl1e11 tl1 e defe11 da11 t l1as c l1 ose11 to act in co11 cert \xri:11 otl1ers, ratl1er tl1a11 to act alon e, tl1 e JJoi11 t of justifiable in terve11 tio1 1 is reacl1 ed at a1 1 earlier stage. In tl1 is sitt1atio11 tl1 e reason s for whicl1 tl1 e law is relt1c ta1t to i11terver1e are co11siderably \X eal<er. The agreemen t itself in tl1eory at least, IJrovides a substar1tiall)' 11n ambigL10L1s manifestatio11 of i11 te�t; it also recl11ces the jJ robabilit)' that tl1 e defe11 dan t c a11 stop the wl1 eels lie l1 as set i11 motio11, si11 ce to restore tl1 e status quo \vould now require the acciuiesc er1c e a11 d c o-oper�t_io11 of _otl1 er \vil}s tl1 a11 l1 is ?\v11 . More i1111Jortant, tl1e collaboration n1 ag11 1f1 es t l1 e r1sl< �o soc iety botl1 by 1 11c reasi11 g tl1 e lil<elihood tl,at a give11 qJa11 tL1m of l1 arm \v1II _ b� sL1ccessf11lly Pr? dL1ced an d by increasing t]1 e amo11 n t of harm tl1�t ca11 b� 1 nfl1cted. A con­ spirator wl1 0 J1 as con1 mitted himself tc SLIJJJ,ort 11 1s associate s 1nay be less •

1

(10) 9 Co. 556, 77 Eng. Rep. 813 (Star Cha1nber, 1611). (l4) Hawkins, Pleas of rl,e Crown 446 (8tl1 ed., 1814),

'

.

..,

PARTICJPf\ TION

276

e v ri ! l U j) a i se J v re re 1 y to ld e u b o w e l1 1 1 11e1 1t_ t _ 1a1 at t 1i 11 11 1 co is th te la li l<ely to v io 11J_J)Ort of t 1e grotl!) _ s1 l a r _ o 1 1 a t 1 e1 n 1 e g a 1 1 �1 co ! 11 e � e 1 t � , er v o � x de cisiot,. Iv\ore 1e tl e, 1 e 0 1 � i 1 st 1 e tl e1 ! b u F 1n e 1 : n e of 1 cl e _ f � � : � e 1c ar ' er v . �e · � l)e stre ti gtliei,s tlie J)I0 1 n? te tl1e efr�cie ncy 1; 1c 1 l t o \V b la f ? 1 1 10 1s v 1 cl : a s t� cL rt rl ac f _ , tl o b s er Ilttrnb 1 d 1nal\.es p o ss 1� le th e atta 111 ,n1ei it a1 , d 1e s1 1 _ 1 ?L e b 1 1 ca witli \Xlliich a gtve11 obJect a11 � a 1n_bl1t1ous tl1a11 _would oth�rw1se !Je attaiiiable. of objects 111 ore elaborate cial r1sl< �lso 1Jr�v1des a JJoss1ble ·1 at1011al e for the so ed as re 1c ii f o 1 1 o i t l'lie 11 o ot � t 1a � tl �c n� f co o ld _ ou �s 1J n ty ii ai e c rt 1 11 1 1g·a ge e to s 1t e� 11 1 ee r · ag of i t fJLtiiislin en 1 �1 t 1 011 aga111st stich ]1 ·0 p1 c 1 f c1 Je s1 1 1 1 _a of e 11c se ab e 1 tl otlier\x,ise be cri111i11al, s111ce s1 11g l� JJerso11 \Y;ill a t 1a tl od 1o l1l l<e 1 l_ 1e tl at tl1 coii duct 1 11 ay be d11e to tl1e fa�t har111f11l 11n1Jact wl1e11 e11gaged 111 by a sino-J e e11 aaae i11 it is s111all, o r tl1at its e 01 1 social press;re nc lia re at tl1 be ' a) 1n e al 11 tio ra er 1 l 1 rt ft fJe;si11 i s sligl1t. A 1 11warranted \vl1e11 1 es m co be 1 ct d1 11 co al ci so 1ti a1 of ns r1 alo1 1e to deter certai11 fo f. el 11J its o1 gr l ia or at ir sp 1 1 co e tl1 of at tl1 by d e r 1le t11 tl1is press11 re is co 1 ]il< e tl1ose of a1 1 attempt u1 , cy i ra 1sp 1 co a of e s ti ali 1ti 1 te 1Jo l cia Tl1e a11tiso y i ven ti111e'. a11 at g d ate 1Jl m e nt co ]]y ica cif e s1J ts jec ob tl1 e are 11ot co11 fi11ecl to ing inu a 11t al es co id foc ov JJr es os r1J jJt1 al i11 1n cri r fo 11g JJi 1 o1 gr a of 1ce 1 Tl1e existe )' e t 1n e dia im e os tl1 l to l tec ela 11r 1 L or cl ate rel r 1Joi1 1t for furtl·1er cri1nes e i tl1e s t 1es 1s1 tl1a h io1 suc 1sc 1 co e 1 tl by l cec t 1 od pr s 1es si 1 1ea 11 t tl1e r, ve reo I\/\o . ecl sag i 1 e 1v e ct. Co11seq11ently, tl1e eff al oci tis a11 t 1 1 rta 1Jo i1n a11 e its lf i11 is st exi s i11g groL11J 1 ond its interest be) a11d ve abo y rac s1Ji 11 co 011t sta.te l1as a11 i11terest i11 stan11Ji11g i1 1 JJreve1 1ti11g tl1e con1 1nissio1 1 of a1 1y specific substa11tive offens e. Tl1is add i­ tio11al i 11terest 111ay ex1Jlai 11 , for exan11Jle, \vl1y son1e courts l1 ave i 111posed cu111t1lative se1 1te11ces for a co11s1Jiracy a11d for tl1e crime 'Xrl1icl1 was its object. •

•

•

•

Questions 1

2.

3. 4.

5.

�s tl1e s11bsta11ti\,·e cri111e ?f crin1i1 1al co11s1Jiracy disti11ct fro111 JJarticipatio11 � 11 a11 offe11 �e or. aggravat1 011 of jJL111isl1111e11 t for co 11curre1 1t offe11ses? What is tl1 e relat1011sl11 1J bet\X1ee11 tl1e de fi11it io11s of co11spiracy give11 iI1 Arts. 37. (1), 8_1 (�l) a11d 472? l\t\a)' �Ile be botl1 a co 11s1Jirator u11der Art. 472 a�d?a �Jr1 ,7 c11J�! or c �-offe11�er 111 tl1e cr i 111_e of l10111icide tinder Arts. 522 or 5 .....3. \Xfl:at ai ticles \,,�11ld gover11 tl1e (Jt1111sl1 m e11t to be 1ne ted out for the co1n1111 ss101_1 of c1�r1s1J1racy an� l10111icide coiictirrerltly? Wliat is tlie dif­ fere iice betweeii tii7la\xrft1l cles1 g11'' a11 d ''co111111it a11 offe1 1ce'' in Art. 37? Is • tl1e Zeryl1111z Makonnert case co·1 rect 111 c · · · ar 0· t 11· 110· tl1at co11\rictio11 tor co11s1J1racy �tI1cler -�rt. 472 ,1ecessitates a f i11di�o- ir co-offe11ders ratl1er tl1an �cco111IJl1��s \'<'l� 1 res1Ject to tl1e oll1er s1 1bsta�t ive crin1e con1mitted? Why 1s co11sp11 acy 111cI tidecl \X' i t l1 i ,1 t I ,e c 11a1Jter of tl1e Cocle concer11 i11 g· !Jar· ticipatio,,? ._ I� co11SfJiracy as clefined iii Arts. 269 (b) , 2 86 (b;\ a11 d 313 closer to fJ1.e1J aia t1011 or to atte1111Jt?· Wli at 1.e1 at·1011 1iave tliese Articles to Art. 26? • . . CO W I1s 1 t11tes a cri1 11iiial ao·r e r ie i .1.t? l1a t t 1 s I,a . 1e 01 W 11 t 1e 1a tl ' ay d I_ 1n �e sa It . . ' , � t ) ''? o l 11 s d c 1 W re at r)i is tl i _ e ' l Osi i o . of tli e Falcone case? Wl1y did J11clge H�nd reJ e ct tl1e argt1111eii t tl i at OI e l io lias l O a is 1 1 o· g si de e e l \v dg al of e ill <tl V \ l e O · co11s1)i.ra. tor?· l\t\.ust a1 ' 1 ag of ' · i e 111e11t b e express t o sat1s t t e�. Falcone tl1e y f · g? co11sp1 r111 Wl1at policJ' coiisidera1.1 011s do you on isi dec tl1e feel affect ed i11 tl·1e Falco,1e case? . Are yo11 able to disti11g11isl1 tl1e facts Ill 111 ose 1 tl tl1e_ Falco,ze case fron1 Direct Sciles'i- Does Justice Rttlledc o·e's co1 1strt1 ctI011 of tli e }alcone decision c

e. ·• \ . .

CONS[-> JRACY •

6.

7.

8. 9.

277

•

n;�:�

convince )'OLt? Wriat legal l1 oldi11gs e1 era 11 0e from the Direct Sales case? It l1 as bee11 said tl1 at a ,,st a1<e .1 11 tl1e JJL1r1Jose'' test 1nay be a 1niddle grot111 ct betw <11_ 0:vledg_e . a11cl forma� agree1ne11t. Wot1l_d sucl1 a a ee�1 � test be a oo 1c . f:01 . decicling cases 11l<e Ftilco1ie a11cl Direct Sales? \Vottld it Ji�l i J itl �-e--�011c11111g tl1ese t\vO \XIOttld yot1 re test cases? Wl,at cOin �11 e � d tO de ter 111 111 e w 11e11 o11e ' 'co11s J ires' ' t111der Art. 472? i · · · · · · Is tl1e 111tent reqt1ired for �? 115JJtr acy 1 11cor1Joratecl \X/1 tl1111_ . tl1e cr11n1!1al aa en1e11t itself 0 re . · - ?· Iv\ ,, ay llie ag1 ee11:er 1t be tl1ot1gl1t of as a JJos1t1ve \Vh1cl1 act . . . . den1011 s tra tes , t, J 1e . · · · JJLtt·rJose [i11. te11t] · of jJ re IJar111 g or co1 11 1111ttIng ser IoLts ?ffei,ses. · · .· Ai e tl1 ere actt1ally t\)10 i11te11ts· a11 i11te11t to agree a11d a11 111tei7 t t? f_tilfill tl1e object of tl1e co11s1Jiracy? Are botl1 i11t;1,ts 11ecessary t o co 11v1ct 1on Lt11 cl er Art. 47 2? \Vliat is a se�iot1s offe11se accorcli11g to f\rt. 472 a11d tl1 e Zeryl1it11 Mako11nert case? Are s�rtotis offe11ses i11 areas otl1er tl1a11 tl,ose e11t1n1erated exclt1ded fro111 tl,e cr1n1e of cor1s1Jirac;,? I1°�v ��t1ld yot� co1:s�!·t1� t};e \X!Ords '1Jrovide�l tl1at tl1e consJJiracy mate­ rialtses -. Do es , 1:1 ale1 1� I1se m ea11 tl1at t 11e obJ ect of t11e co11 sJJi racy 1 11 LIS t be realt�ed, that Lile offe11se 1_11t1st be at least atte1111Jted (see Art. 35), tI-1at a11 overt a�t 1 nt�st be co1111111tted JJL1rst1a11t to tl1e agree11 1ent or tl,at t\1e agree1 nent. itself 1s e110�1 g·l1? Does Art. 472 (3) s\1ed l1gl1t 011 tl1is qL1estior1? Under wl11cl1 co11strt1ct1011 of '111ate�ialise" wot1ld tl1e IJL1r1Jose of tl1e 1\rt­ icle be best fL1lfilled? ?l1 ot1lcl �11y act i11 pt1rst1a11ce o� tl1e co11s1JiraC)' be l1eld st1fficier1t to satisfy tl1e reqt11ren1 ent tl1at tl1e co11s1J1racy 111t1st ' 111aterialise''? Sl1ot1ld a tele1Jl1011e call (Smit/1 rv. UJ1itecl States, 92 F.2cl 460 (9t11 Circt1it, 1937)) or atter1da11ce at a 1 neeti11g (Yates rv. United States, 354 U.S. 298 (1957)) be e11ot1gl1? If A and B agree to co1 n1nit ra1Je a11 d go ot1t to lool< for a victi1111 bt1t i11steacl l1afJjJe11 tipon a ricl1 1na11 a11d co111mit a robbery, ca11 tl,ey be cor1victed for co11s IJ iracy to rape, co1 1s1Ji racy to co111111it robbery or 11eitl1er? If 011 e witl1 dra\xrS fro1 11 a co11s1Jirac)1 \xrl1icl1 co11ti11L1es to\,:,arcl its object a11y­ \Va)', n1ay one ttse st1cl1 witl1drawal as a defe1 1se to a cl1arge L111cler f\rt. 472? Wot1lcl it r11atter \xrl1etl1er tl1e co11s1Jiracy was saicl t0 l1 ave 1naterial­ ised''? Wl1en does tl1e JJeriod of li1nitatio11 rt1n \vitl1 respect to a conspir­ acy (see Arts. 225-232)? Wl1 e11 111ay a co11s1Jiracy be said to l1ave ended? I-las Etl1ioJJia tended to follo\xr_ tl1e _co11111101 1 _or co11 tin�11tal la\'<'.' \v_itl,, res1Ject to consfJiracy? What do )'OLl tl111 1l< 1s tl1e rat1011ale bel11r1 d Etl1 1op1a s a1JJJroacl1 to co11 s1Ji racy? Do yot1 su1JJJort such a,1 a1Jproacl1? ary ce irn pr o IJla t �l<, tl1i U_ )'O do , e ; i si, cle rs ato isl leg _ e tl1 d di � 111 Art._ 472, 1 1m1t se11ot1s offe11 ses or tl1e 1 co to ts e11 111 ee gr ''a g 111 rr te de e11 1pliasts UjJOtl t r fo t1n co tt ac yo do \xr ? es J-lo lv 1se en tl1 es 11s fe of com1nissio11 of the seriot1s � ra pi y 11s is l1y �0 W '�? es lis ia er at m cy ra i : 1 _ 11s co e tl1 the phrase ''IJrovided tl1 at 1 11cl1oate cr1111es exist er 1 l ot at 1 l W e? im cr e at 1o cl 1 ofte1 1 referred to as a1 1 i1 1 1 of tl1 ese crimes in a o iti ol ab e th r vo fa u yo t111der t11 e P.C.E.? Wottld redrafti11g of tl1e P.C.E.? 1

1

10.

11.

1

11

12. 13.

Problem 11 s1Jiracy t111der Art. co of C 1cl a1 B , A to A t ic r1v co Wot1ld you, as judge,

.. . .. ,· · .- ·:.

;,.

' './

.

''

PARlICJPATION

278

472 P.C.E. if tile followir1g facts \xre,e jJt1t i11 evide11ce; two had ntly sold rece ado 1ner: tl1e g·uns to Ato i11 er iJ el<ee stor At A a of at tl1e t]1e �itne tl1�t, l ifie� t tes_ sale, lie had A Ato c. Ato and 8 C be t � of tyJJe tore l1 s _ wl11c g 11 gu 11!� s1 O 1s ct d is d C L ,d l ai B overl,eard . do. tl1ey The 11ad to Job tl1e e polic for ealed co,1c arrested 111ost easil)' A B atid c soon afte� B a_11d C left A's store and c11arg ed tli e,n witli coiisJJiri,1 g to co1111111t rob)ery. It was lear11ed f�on1 t]1e ap1)rO!Jriate recorcls tJ1at B a11d C were shifti� w110 l1ad b_een JJrev1011sly _ co1:vic ted for carryi,,g ot1t a 11u111ber of robberies 011 tl1e l11gl1ways of Etl1101J1a .

°

!��

RecommEnded Readings

Bouzat, Droit Pe12aL 602-603 (sl1ort tr1:atme11t of co11spiracy ir1 frencl1 JJenal Ia\x,). Willia1ns, Criminal Law 663-713 (co1111Jrel1ensive discussion of cor1s1Jirac)' in tl1e com1no11 la\xr). Brett and Waller, Crin2i12al Law 440-�78 (interesting materials 011 consJJiracy in a co1n1no11 la\xr jt1risdictio11). Michael a11d Wecl1sler, Cri1ni12al Law 636-687 (a good collection of comn1011 la\xr n1aterials 011 co11s1Jiracy). Nizami, Tl1Je Pakistari Penal Code 104--_06 (5tl1 ed., 1963) (sl1ort discussion of tl1e law of co11s1Jiracy in Pal{ista11 wl1ich is tj'[Jical of ma11y co1nmo11 la\v jttrisdictio 11s). Laila J/1iria 11ifawji and another v. Thr Queeti, Judicial Cornmittee of t]1e Pri\'Y Cot1ncil, P. C. AJJpeal No. 9 of 1956, 1957 J. Africa,2 L. 116, E11gla11d­ Ta11ga11yil{a (a11 i11teresting case vitl1 respect to tl1e rece1Jtio11 of foreig11 la\xr ?eali11g witl1 \v'l1etl:er a l1t1sbt11d a11d \Vife of a fJOtentially fJO!ygamous n1arr1age n1ay be convicted of cc11spiracy to con1111it bigan1y); see also 73 Law Quarterly Re·v. 140-141 (1957). Yates v. [!11ited Sta�es, 354 U.S. 298 1 1 La \Y/)rers ed. 2d. 1356 (1957) (a11 i11terest�11g 1\1ner1ca11 case �eali11g· \X1itl1 Co1nmt111ist Party conSJJiracy; n.b. tl1e d1sct1ss1on of tl1e requ1reme11· of overt act at p. 334).

[!?

Part III THE SPECIAL PART AND THE CODE OF PETTY OFFENCES SOME ILLUSTRATIVE PROBLEMS

..'.. ..-

. .. ' ..

,·

.

'

�, �

.. '

�'

.

'

CJ-JAPTER 12

y m a ig B f o se n e ff O e I1 T Y IL PI M U A f RO S G F G N O M R FO r�D A N O TI C N FU f SECTiOf� A. Tl-I r

1 Y IL M A f THE UNIVERSALITY Of TiiE NUCLEAR Georgt J\1urdock

111 1011 resi �ence , eco11ornic � co by e cl iz er ,ct r 1 � cl tIJ. ot r g_ l cia o s a is TI,e fa,nily at le s, st xe !l1 t\v se o bo r ts t1l ad es 1d 1 clt 1 1 It 1. 1 t10 �c od e pr r � � 1d 1 a 1, o1 r co-o pe ati _ 1011 sl1 11J, a11d o�e ?I i:noi e lat re 1al e xt s Ed ov r jJ aJJ lly c1a o s a i11 1ta ai1 1 n of \X1l1om 1 e 1am1Iy 1s to Tl s. t1lt ad g 1 tir bi -l1a o c )' all e s xt 1e tl f o d, te o 1J ad r cl,ildre11 O\v11 o er 1 ter111g UjJc 1s ton ct1s of x Jle n11 co a is · 1icl \xrl , e · iag r r n1a n1 fr o 1ed 1isl t o· ti,; dis be h i11 the \'7it lts ad� of r pai 1� 1 i t a_ oci ass .y t1al sex a 1 e e 1 \'(f bet 1J 1 sl1i 1 tio �la r . 011 tl1e 117.g �t1cl1 a 11 1 1 1�� 1 �er a�d 1ng 1 l bl1s of st� e e 1 r 1 1 a1 111 tl1e s ine clef e · iag rr fa111ily. Iv1a relatio11sl1 i1J, tl1e normative bel1avio r �nd rec11Jro cal obl1gat1011s w1 tl11r1 1t, ai1d tl1e locally acce1Jted restrictions L1 po11 its JJerso 1111el. Usecl alo11e, tl1e ter 111 ''fa111ily'' i� ambiguot1s. Tl1e lay111a11 and eve11 the social scier1tist ofte11 afJfJly it t111discri11inati11gly to seve ral social gr ou1Js \X1l1ich, des1 Jite fu11ctio11 al si111ilar ities, exl1ibit in1 1Jorta11 t 1Jo i11 ts of cliffere1 1ce. Tl1ese 1nt1 st be laid bar e by a11 al�,r sis b efore tl1e te 1m ca11 be use d i11 rigorous scie11 tific dis­ COLI rse. Tl1 re e disti11ct ty1Jes of fan1il)' org11 1izatio11 e111 er g·e fro111 011r survey of 250 re1Jre sentative l 1L1n1 a11 societies.TI1e first a1 1cl 111ost basic, called here\'v'itl1 tl 1e nuclear family, co11sists ty1Jically of a n1 ,1rriecl rna11 a11 d \v'On1a11 \Vitl1 their offs1Jri11g, altl10L1gl1 i11 i11diviclt1al cas�s _011e or rnore aclditio11al 1Jerso 11s n1 a)' resicle \xrith tl1em. .. . A111011g tl1e 111aJ o r1 ty o f tl1e peo1Jles o f t l·1e eart l1 ... n11clear fam­ ilies are co1nbi11ed, lil<e ato 111s i11 a 1nolecL1le, i11to Iarcrer ao·o·reaates. Tl1ese co111 po�ite for111s of t_J-1e fa111 ily fall ir1tc t\vo t)'fJes \'v'llicl1 diffe r i; tl;e pr i11ci1Jles by ':vl 11cl1 tl1e co11st1tue11 t 11t1clear f�r 1ilies _a_re affiliated. A polyga,noi-ts fa,n£�y con�1sts of two ?r 111ore 11t!clear fa1111l es aff1l1ated by JJlttral rnarriages, i.e., b)1 l1av11 1g 011e 1nar r1ed jJare11t 111 co111 n1 011 _ U11der IJOIJ,g·am)', for iii staiice , 011e 1 nan fJlays tl1e rol_e o f l1t1sba11d a11d fatl1er 111 s everal 11Ltclear fa111 iiies a11cl tl1e reby t111ites tl1e111 �11t_ o � _large�---f�111 ilial gro t1J. A11 exce,zded Jamil.J, coi,sists of t\VO or r�1ore _11t1c�ea1 fa11:1l! e � aff1I1 ated tl1rot1rl·1 _a11 e xte11sio r1 of tl,e pareilt-cliil d rel�­ _ t1ons l111J, i.e., by J?t11 111g tl1 e 11L1cle ar f1111 1ly of a 111 arried adt to tliat of 111s tlt fJa ·e1_ 1ts. Tl1e 1Jatr1local exte11ded fa111ily, ofte1 1 called th e )Ja riarcli al fa1ni , t !Y � t f :1 111�hes a1� excelle11_t e xa11:1Jle. It �n1 brac�s, tyiJically, ati o lde t· mail, li is \Vtfe � t111n arr1ed cl11l_dre11, _111s 1na 01 \v'Ives , l1 s ren rri ed d 50 1 cli 1s, il a11 ct : d i t ai e l wi i e v s � _ lat t tl1e of . e1 . ctTl.11 ee · ge11er at1011s ' 11. 1clu:li11g· tli e IlLtclea, r f a.in 1·1·1es of fatl1 er ar1 d s or1 s 1 I1ve L1r1 e1 a s111gI e roof or 1 11 a clt1ster of ad · J ac c e11 t C1\v , e 11·111g·s. . t . '"'ror1nat1'011 is Of tl1e 192 socie ties of Ollr sam,)le fo r ,v,J11'c] 1 r • sttrf·1c1 e1 1 1n \V

1.

In Bell and \Toge), .!l iVlodern Introduction to t>e F(/milJ 27 _44 ( 1960). '

:

281

BIGAMY

availabl e, 47 J- iave _ !1orn1ally 011ly tl1e 11L1clear fa1nil)', 53 l1ave fJOlyga1110L1s bL1t not extended fa1111l1es, a11d 92 JJossess so11 e form of tl1e exte11de cl fa111ily.... Tile n�i �Ie ar fa111ily is a t111iversal I1.1111a11 social grou1Ji11g·. Eitl,er as tl1e sole prevailii�� forn1 of tl1e fa111il)' or as tl1e basic u11it fron1 \x1hicl1 1nore com�lex fa, �iliar _forms are co111 JJOt111dec, it exists as a clisti11ct a11 d stro11gly f�111ctt f11al gr�ttJJ �11 every l<1_ 10\X111 societ)' No ex ce1Jtio11, at least, I1as co1ne _ to 1 e �re se1 1tat1ve . ct1lt t1res st1rve)r ed for tl1e 1Jrese11t sttidy, \Vl11cl1 l!gli t n _t li e t1111s_ coi rob?IaLes th e conclt1s1011 of L0\vie:(3) "It does 11ot 1natter \X1}1etl1er 1narital �·elat1011s are _JJern1ane11t or te1111:orary; \X1l1etl1er tl1ere is JJolyga111y or _ r e �t1al l 1c�nse; \X1l1 e�l1 er c orclitio11s are co111jJ !ic ated by tl1e adcli­ s 1 �O �) andty' � _ t1 011 of 111'"'mb e1 s 11ot 111 c lt1ded 111 01tr fa 111ily circ le: tl,e 011e fa ct sta11 ds ot1t be)1 01:cl all otl1_ers that every\X1!·1ere tl1e ht1sba11 d, \Vife, a11d im111att1re c l1ildre11 cor1st1tt1te a t1111t a1Jart fro111 tl 1 e ren1ai11der of tl1e con1111t111ity.

-�?

11

•

•

•

•

�fl1e re�sot�s f�r its t111iversality clo 11ot beco1ne f11lly ap1Jare11t \vl1e11 tl,e !l LlCle_ar fan11 l1 1s v1e\Xte� 111 er�ly as a so,:::ial gro11 jJ. 011I)' wI1e11 it is a11aIysed into its C?11st1tt1e11t rel,tt1011sl�11Js, a11cl tl1ese are exa111ined i11dividt1ally as \veil a� colle�t_1vely, does 011�. ga1_11 a1� a�l�qtrat<; co11 ce1Jtio11 of tl1e fa111ily's ma11y­ s1d �d 11t1l1ty and tl1t1s. or 1 t� 1r1ev1t�b1l1ty. 1-\ social groLIJJ arises \xrher1 a seri es of. 111ter1Je rso_11al relat1011sl111Js, _ \X1 l11c l 1 111c1y be clefi11ecl as sets of reci 1J roc all)' ]1ab1tt1al respo11ses, b 1r1ds ,l 11t1mber of J)arti c i1Ja11t individttals collec­ aclJLtsted _ t 1vely to 011e a11otl1er. 1 11 tl1e 11 uclear fa111il)', for exa111ple, tl1e clttsterecl relatior1sl1i1Js are eigl1t i 11 n1.1n1L1er: I.-[t1sba11cl-\x1 ife, fatl·1er-so11, fatl1er-dat1gl1ter, 1notl1er­ s011, 1notl1er-da11gl1ter, brotl1er-brotl1er, sister-sister, arid brotl1er-sister. Tl1e n1embers of ea c l1 i11teracti11g pair are li11ked to 011e anotl1er, bot!, clirectly tl1ro1.1gl1 reciprocalIy re i 11 for ci11g bel1avior a11 d i11directIy th ro11gl1 tl1e relatio11 sl1i1Js of ea c l1 to every otl1 er 111e111ber of tl,e fa1nil)'. A11y fa c tor \vl1icl1 stre11gtl1ens tl1e tie bet\vee11 011e 111 e 111ber a11d a seco11cl also O[Jerates i11clirectl)' to bir1d t h e for1n er to a t l1ircl n1e n1ber, \Y/ith \X' 11 c111 t 11e sec o11cl 111 ai11tai11s a cIose reIatio11sl1i1 J. f\n ex1Jla11atio11 of tl1e socia l 11tility of tl1e 11t1c lear fa1nily, a11cl tl1us of its u11iversal ity, 1111.1st co11seq1.1e11tlyr be so1.1gl1t 11ot alone i11 its ft111 ctio11 as a collec tivity bt1t a lso i11 tl1e services a11cl satisfactio11s of tl,e relationsl1i1 Js betwee11 its constitt1e11t members. Tl1e relatio11sl1ip bet\vee 11 fatl1er and 111otl1er i11 tl,e 1111 clear fa1nil y is solid­ ified by tl1e sexual JJrivilege \vl1i�l1 a!l s_c�ieties a ccord to_ mar1�iecl S[?Ottses. As a (Jowerfttl im1J11ls e, often (Jre ss111g 111d1v1dt1als �o �el1av1or d1 srt1p t1ve of tl1e CO-O[J erative relatio11sl1ips t11Jon wl1ic l1 l1t1n1_an_ social life rests, sex c a11 11ot safely be left witl1ot1t restrai11ts. A ll l<110\v11 soc1et1es, co11seq11entl;', !,ave sot1gl1t to bri11g its ex1Jressio11 u 11d er c o11trol by s11rro1111di11g it wit!, :estric tio11s of various ki11ds. On tlie otli er ha11d, reg11latio11 11·.11st .11ot be �arr1ed to e xcess or tJ1e soc iety \Vill suffer tJ1rot1o·l, rest1lta11t 1Jerso11al1ty 111aladJL1stme11ts or througl1 1n­ st1fficie11t reproduction t� n1aintai11 its jJOJJLtla�io11. f\11 JJeo�Ies l1ave faced tl1e problem of reco11cil i11g tl1e 11eed of co11trol w1t_l1 .tl1e OJJjJ0�111g need of expres­ sio11, arid all J1av e solved it by c11ltt1rally def1111!1g a s�r1es of sex1.1al taboos and JJer111issions. Tliese c l1e cks a11d bala11ce s cl1ffer \Vtd�l)' fro_n, c11lt11re to culture, but \Vithout exceptio11 a large 1ncas11re of _sex11al liberty 1s eve_rywl1ere granted to tlie marrie cl fJare11ts i11 the 11uclear fa1111ly. I I-usba!1 d a11 � \�1 1fe 1111�st a_dl1ere to sexual etiquette an d n111st, as a r11!e, observe ce�ta111 per1od1 c restr1c­ t1ons sttcl, as taboos U(JOn i1,tercot1rse d11r111g 1ne r1str11at1or1, f?regna11 cy, a11d lactatio11, but 11ortnal sex gratifi catio11 is 1ever fJer111a11e11tly dent ed to tl1em. •

..

"

'.·

. : , .. . . ',

•

•

•

(3) R. H. Lowie, Primitive Society (New York, 1920), PP· 66-67. · · ·

I

282

THE �PECIAL PART

J or eve11 as t l 1e most i111JJorta11 t factor, sole 1e t . as ex 1 . IC s . on T0 I.ega . e . I . b 1n d d 1er 1n an n1arr1age s . tl tore tl wo111a11 1em a . 111t 0 tl1 e a i,d c • t I 1 at. br111 gs a n1a11 It CLI 11res 11 error. a If srr1ous a ... be pro l cl • • liibit ecl '"'OLi • t ·e v-1 • I Ll c rt1 t · f a1111 1y s I · · . I · • I l 1e 111ar1ta re at1011 s 11p, SLtch· 111 t pt exce se oL1r terc i ii al t sexL d an a11 d JJe1 1a1.1ze · I t· II y :, · tea 1a 1·s 1s e1111J tl1 But not c. l 1ab 1 reaso tl1e 0 1 see11 -1,t · 1 11 case 1 1 1 o t. 1 t. ass 1111p · · · . . · I I · 1 1 ·1s ava 11 abIe, 65 allon,, f 111 at10 1 11c orm for es \V/ 1et1 soc 250 r t OL A. rr1011a ti· 1 0se of I 11a :, sex 1n 1 011 · ter e free d mat Jlet 1 cc11 s s, a11ct 20 so11 · fJer 1 ated irel ti L icl i a d e 1 1 a .C: 1 t1111n · 1 sapJJroye [Jre111arit 1 or 1 54 f b'd ct· or on y l lt 1 1 \xr t, 1 se1 11 co alified i qt al give ti 5 s x w e rel_at1011s bet ween allo of thes 1 1y na d 1 a1 � , ives elat or1r 1 1 eeti Y i bet\ �al:i,,s 1 ere pre111ar1tal l1ce1 1se [Jrevails, 1 s111s. Wl t. ) s-c cros as 1 sticl , . ves elati i d 1e ·f· 1 Jec s1 · · e ng people into f · orc d r1v1 ary 1 1 !Jr11 tl1e as ged alle be 1ot 11 ca1 1Iy i ai cert sex 1natrimo11y. b

\'I

•

J1 1 view of tl1 e freqt1e11C)' \v;it l 1 wl1ich sext1al r�Iat�o_1 1s are. permitted out­ side of m arriag�, it ':voL1ld see111 tl1e [Jart of sc1e1:t1f1 c c�11�1?n to as�u.n1e nierely tl1at sex 1s a11 1111porta11t, bt t 11ot tl1e �xclt1s1ve, facto1 111 ma1.11ta111111g tl1e 1narital relatio1 1sl1 ip \X1itl 1i1 1 t l 1e 1t1clear fa1111ly, a11d to look elsewl1ere for aLtxiliary sLIJJ IJort. 011e st1cl1 sot1rc� is fot111d i1 1 �co1 10_111ic co-orJeratio!1 , . base_d 111Jo11 a clivisio11 of labor by sex. S11ce co-operat1011, l1l<e sexual �ssoc1at1011, 1s 1nost readily a1 1d satisf actorily achieved by [Jerso11s \v;l10 l1ab1 tual ly reside toaetl1er tl1e two activities, each d�rivi11g· fro111 a basic biological need, are qt�te c�1111Jatible. l1 1deed, tl1e gra:ificatio1 1s fro111 eacl1 serve admirably to reinforce tl1e otl1 er. •

•

•

B>r virtt1 e of tl1eir [Jrin1ary sei<: differe11ces, a 111a11 and a won1a1 1 n1ake a11 exce1Jtio11ally efficie11 t co-01Jerat 11g Ltnit. Ma11, witl1 l1is su 1Jerior [Jl1ysical stre11gtl1, ca11 better t11 1dertal<e tl1e n1ore stre1 1uot1s tasl<s, st1cl 1 as lumbering, mini11g, qt1arryi11g, la11 d cleara11ce, a1d l1ot1sebt1ildi11g. Not l1 andicapped, as is \x,10111 a11, b)' tl1e 1Jl1 ysiological burdens of IJreg11 a11cy a11 d 11ursing, lie ca11 range fartl1er afield to l1L1 11t, to fis l1 , to l1 erd a11cl to trade. Wo ma11 is at no disadva11tage, 1 10»:rever, i11 ligl 1ter tas l<s \xrl1 icl1 can be Jerfor111ecl i11 or 11ear tl1e l 1om e e.g., 1 tl1e gat l1 eri11g of veg·et able JJrodt1cts, tl1e fetcl1i11g· of \Xlater, tl1e pre Jaratio1 1 of 1 food, and t l1 e 111antrfactL1 re of clotl1ing a11 d t1te11 sils. All 1{110\x-·1 1 l1L111 1a11 societies l1ave develo1Jed s1Jecializatio11 a11d co-OJ)eratio11 bet\veer1 t l 1e sexes roual1ly a lo11� tl,is . b.i�Iogic�l ly deter111 i11ecl l n 1e of cleavag . e . .. Tl1e ad\1 a 11tages i1�1er­ er1t 11 1 a d1v1 s1011 ot labor by sex JJ1est1 n1 c1bly accot1r1t fo r its t11 1iversality. .. . .sextt�l t111ior1s \xritl1ot1 t eco11011 1ic co-01Jeratio1 1 are co,n ino11, a11d tl1ere are rel at1onsl11 1J_s. be!\v;ee11 11 1e11 a11d \X10111e11 i11vol\ri11 g· a divisio ut \Vi tl1 o lab 11 of or sext1al grat1 f1cat1 01 1, e.g., bet\x,ee1 1 br)tl1er an d sister, tn as te a r i id 111aidser\ra nt, or emJJloyer and .secret_ ary, bL tt 111arriag·e exists oi ily . \Xr lie 1 11ic and ec ,1 on t l -1e o �he sex�ta l are L11 1_1lecl 111 lo 011 � re lat 01 1sl111J, a11 cl tl ii s CO lll i rs only bi oc iia c t ti oi 1 1 11 rnarr1age. Marr1ag··e, tl1tts clef11 1ecl i; fot111c t 1·1 1 evei·,, . I · et) ' I i O J so < ll n c \XI 11 1 1 ll 111 a 1 l . · alI of tl1 e111, 1 11oreovcr, 1 t 11 1vol ves resiclei1 tia l coli 'lb i·tat ·i o1 1, a 11 c II of them . a l · 111 1·t f 01.1 11s tI1e b as1s · o ·f tl1e 11t1 cl ear fa n 1I)' Ge1·1 t11·1-1e ct.1Itt1ral t1 111· versaI s a1·e ex, ce. . . . · . ec1111gIy 1.�1 e� I : 1s · all tl1e 1 11ore str1 l�1 1 1g, ·tl,at \Xie 1 1 er not . 1 e tl ie fi 11 ii se d o ve f ra l 011ly 01111111J1 ese11 t bt1t ever,'J \x1 l1 ere luil<ed to · 01-1e ac. 11 oti1 er 1· 11 ti1 e san1e fas 1 ·o n li · 1

c

•

•

•

ll

•

Sext1al col1abitatio1 1 leacls i11evit·b ' l). ' to tl,e b11 ' ·tl·1 o · f o ffs JJ r1· 11g. Tl1 ese 1nu.st . . be 1 1t1rsed , te11cl ecl , a11 cl 1 earecl to J)l�ys i ca l ai id soc·1a1 111 a tL tr1·t)' 1. f ti· 1 e IJaren ts ,al·e to 1·e'llJ , tlie afore-111e11t·1·01 1e d adv·1 1t ' ' a g· e s E ve1 1 1·t t i·1e burde1 1s of repr odt1c. . t.1 011 an ct c J·11·1ct ca,e ot1 t,x,e1g · l1 tl1e selfsli bo·ai,is t o ti a 1c .JJare11ts ' tl1e soc1e · ty as . , al<e 1.1 , \V , JlO1e 11as so J1eavy a st 1 tli e nac i ri te"ii· cl Ltrce a IC e o so . f · i ts a r 1 t1 11 1b as er of st.I e11gti1 a11cI se s - cLt .1 1· t y 1· t ,x,1. II 1. 11,·ist t 1-1 at ' . I)a 1 e 1 1 t s f· tl If .I I I t 11ese ob 1I. g. at·I 0 ns. J

<.:

•

I

�

BIGA/,tY

283

Ab?rtion , infa11.ticide, atid 11eg;Iect, Ltnless co11fir1ed withi11 safe litnits, tl1reate11 tl1e entire. c?n11nun1ty a11d a rouse. tts 1nen1bers to aJ)f)ly severe social sanctions to tl1e reca�c1t1ant p�rei,ts. fea r ts tl1t1s added t o self-interest as a 1no tive for the rear111g of _ch1ldre11. Pare11tal love, basecl on variotis cle rivative satisfacti o11s, can11ot be igno�ed as _a ft1rther 1notive, it is certai11 ly 110 111ore 1nysteriot1 s tha� tl1e affect1011 la_v1sl1ed by n1 a11y f)eOJ)le 011 bttrdetiso111e a11i1nal l)ets, wl11cl1 are a�le t o g!ve far less i11 retur11 . l11 clivicl t1al a11d social adva11tages lht1s operate .1n � va_riety . of \'(,'_ay� to slre11 gtl1e11 tl1e re1Jrodt1ctive aspects of tl1e pa rent-child 1elat1011sl1 11)s \Vttl1 11 1 tl1e nttclear fan,ily. • • •

•

•

•

. . No l�ss in1J)Orta11! tha11 t_l·1e JJl1)rsical c,1re of offsJJri11g, a11d f)robably 1nore ?tff1ct1lt, ts tl1e1r social r�a_r111 g . Tl1 e )'Ot1 r1g l1t1111a11 a11i111al n1t1st acq t 1ire a11 1m�e11se _am�t111t of . trad1 t1011al 1< 110\vledge a11d sl<ill, a11cl 1nt1st lear11 to subject l1 1s 111bo rn 11111Julses to tl1e 111a11y disciJJli11 es fJrescribed by l1is ct1ltt1 re, before he ca11 asst1111e l1is JJl::tce as a11 ad t1lt 111e111ber of l1 is so­ ciet)'· Tl1e bt1rde11 o! eclt1 catio11 a11 cl socializatio11 ever)rwl1ere falls JJri1narily Ll!JOil t l1e 11t1clear fa1n1ly, a11cl tl1e tasl< is, i11 ge11eral, 1nore eq t1ally distributed tl1a11 is tl1at of f)l·1),sical care. Tl1 e fatl1er 111t1st particiJJate as ft1 lly as tl1e mothe r becat1se, O\vi11g to the divisio11 of labor by sex, l1e alo11e is ca1Jable of trai11i11g the so11s i11 tl1e activities ar1d clisci1Jli11es of ad t tlt 1nales. Older sibli11gs, too, play an im1Jorta11t role, i1111Jarti1 1 g 1< 110\vleclge ar1cl disci1Jli1 1 e tl1rot1gl1 daily interactio11 i11 \xrorl< a11cl !Jla)' . Perl1afJS 111ore tl1a11 a11 y otl1er si11gle factor, collective responsibility for edt1catio11 and socializatio11 \Velds tl1e variot1s rela­ tio11sl1ips of tl1e fa1nil)' togetl1er. Ir1 tl1e r1uclear famil)' or its co11stitt1<:11t relatio1 1sh i1Js1 \Ve tl1t1s see asse111blecl Jour ft1nctio11s ft111cla 111 e11 tal to l1 LI 1na11 s0cial Iife - ti,e sex t 1al, tl1e economic, the reproductive, a11cl tl1e edt1catio11al. Witl1ot1t 1_1ro�isio11 for tl1e first a11d tl1ird, society \X'Ottlcl becon1e ex ti11ct; for tl1e second, l_ife 1tsel-f \VOL�lcl ce��e; for tl1e fot1rth 1 cultt1re \vould co111e to a11 e11cl. Tl1e 11nn1e11se social t1t1l1ty of tl1e 11t1clea r family a11 d tl1e basic reaso11 for tts t111iversality tl1t1s begi1 1 to e111erge i11 st ro11g relief. •

•

Tlie above-tne11tio11ed f t111ctio11s are ·)y 110 111ea11s. tl1e . 011ly 011es fJerfor111ed by tlie Ilttclear fai,,ily . As a fir1n social co1�stellat1011, 1� f:eqt1 e11tly, bt1t no: 11 tl1e � ent �1 e oft 1s 1t 1us Tl �. 011 ct1 1 ft1 1er otl 1s 1 rio va : elf ttniversal]y, dra\xrS to its . 11na 1y e p1 tl1 y be 111a It t. 1es J)r y 111l fa1 as r l1e fat tlie ti, \Vi of religious \VorsliifJ 11d 1nore 1Je y de s 1na tu sta ial So . o11 ati re rec or , � ce a11 ge eri it titi in landholdii,a 'v 1�se Tl 1. 01 so d . An t e11 em 1ev cl1 al jt i v di i11 il JO LlJ ! � a11 tli . upon farn ily J)ositi� n tl1e family, tl1 to 1g e1 1 st d se ea cr 111 g 111 br r, ct1 oc additiotial ftttiction s, \vliere tl,ey thot1gl1 they do not exJJla in it.

NO TES MARRIAGE PATTERNS IN ETI-IIOPIA Note 1: Marriage Under the Fetha Nag a5 f 2 e g ia rr a lv1 f o e c 11 a rt o r Im e l1 T t, s a g a N a th fe

f y 1d o e1 ar m ri JJ 1e tl t 1a tl er b em m re t s 1u 11 Before dealing witl1 marrl·age w e

2·

•'

.C ':.-. t'

•

...

-

Chap. XXIV, Betrothal, Dowry and Marriage.

TliE SPECIAL PART

284

•

i of spr off on ati cre the . is t pro firs ng in orde r e th 1 gs: i1 tl 1 o tw ses pas e1 1con1 111arr1ao-e . b tl 1e Y b ate d rd d str wo on en em be s ha of l1 11c . \vl e ct Go ag 1,e . 1• 1 . the to jJI eserve . 1· (0 ' 1· I · ' . en d p y tt e 1 t as an m re . , nc ,1 . 28 rs 1 to ]. 1 1 e 11113 . Wl,o said to tl,e first JJrog the s ern nc c d co con on e sec Tl1 or1. 1 s upi t1n al 11 car cence by t bti e Jlac I ca11no · t t a.{e I · · y ion ma un b I na 1 f or · re car d es e the is sat re; 1 t1 11a fie al in1 · ati · d1 11 1 ted oo 1 · IS 1 · l . 11C 1 W. · e �s1·t·1es; f"1rst, c ne o w f ·ct 1 �s or ov pr t s 1 1 Tl . 11g 1 r [J ·�s of the ai,d throtig11 it coin es n !o at r� d oc 11 a11 r pr 10 fo un al r11 ca s econd, by e 1c 1 e sc 1 11p 11c co e tl, of satisfactioi, 1at1ng �he _ burdens v le al f r le o up co e tl1 11 e� tw be e c _ a JJl s l<e · tlie sll ariiig \Vll icl, ta ho W st id sa he e 1g _th I-l of tn rd wo e tl1 re_gard by ted ra 1st 1 1110 cte is ,is Tl of life. ke Us let ma , ne alo for be ld l11m a ot1 sl1 am Ad t tl1a il \ve 10t 1 is ''It . to Aclan1 ry ds �n ma of marria ge pri e Tl1 . 18) 2: en. (O n '' l1i1 J l1el y ma o 1 comfJati i�11 wh 1 1d to remove co nc upiscence ... . a l� l1e al 1 1t1 n1t e giv to , ate cre JJro e to ar Note 2: Aml1ara Marriage 3 ia iop a Eth of l1ar Am teau d Pla 11 l1la Messi11g, Tl1e J-Iig

Fa11zily arzd l(i1-zship irt Social Or:anizatioJ-2: The emphasis 01 1 the e xtended

fa1 11 ily a1 1d l{in relatio11s an1ong· tl1e .\n1l1ara can hardly be exaggerated. In all 1Jroble1n s of life tl1e An111ara first tttrns to family a11d kin. While the pat­ rili1 1eal-patrilocal exte11cled fa1nily is considered of first importance, consa.nguineal l<infoll< on tl1e motl1er's side ranl< only slig11tly less in obligation and duties o,xred b)' tl1e i11dividt1al, and i11 be11e:its for \xrl1icl1 he ca11 appeal. In co11trast, affinal relatio11sl1i[JS are regarde d as :onsiderably less important in obligations a11d be11efits. Tl1is attitt1 de is reinforced by t11e traditional la\x, wl1icl1 empha­ sized inheritance i11 co1 1sanguineal re:ationships, even distant 011es, over closer affinal relatives; and by tl1e relative!)' easy divorce from tl1e com1n o11 semanJ'a 1 narr1age . •

•

•

•

M':'rr_iage Patterns: T�ere are tl1rEe predominant types of marriage: 1) the eucl1ar1st1c cl1urc!1. n1arr1age, qurban, engaged in 011ly by a minority, sucl1 as so1ne of_ tl1e no�1l1ty, �o_m_e of tl1e . cider persons, a1 1d all of tl1e priestho o d; 2) tl1e l<111-11egot1ated ( c1 v1l ) marrtafe, se1nanya1 swor11 before tl1e chequa s!JHm, headma1 1, and most con1mon; 3) !lie lemporar)' n1arriage for wliich the man en­ gages to JJay regt1lar l1ot1sel<ee 1J11 1g xrages, dti,noz, especially common among tl1ose ,vl10 travel to 1narl{ets. _ 1, e ma 11y_a literall)' means ''80'', �11d is t11us also called tl,e ''eiglity-bo id ar . i m ­ . r1_ a91e . T_l11: refe r_s to tl1� oatl1 ,vl11 cl1 1 11clt1des tl1 e JJlirase ''M eror En ip tl, e ay die , [JerJL11 y _ against :xrl11 ch usecl to be JJenalized by wha e e11orth tli \V t en as 111o_us. sttm of 80 Marta Tl1e 1�esa_ Tl1al�rs. �t is also calle ract"). ('' d co i,t ba se by ra t, Tl11s 1s tl1e 1nost co11111101 1 fo1 n1 of ·11arriao-e d e 1a 11 01n 'o , 1·ty of . · ex t d I co b . a mp y . · k·,1.1sI 11p a1 ra1:1e.ae1ne11 ts ...a11d d1 vorte is [Jossible . . 11 s tio tl 1a t· o1.ouc. 1 h nego 1 ar 1 m 1 s . . a1.1 d ''parcell111a otit'' of . botl 1 g_oods 11 1d cliildren. 1nof T l1e re 1im is 1 m um · a i d1v1ct ua1 e m1J11a ° s1· s 1· 11 ti 11s 1narr1ao-0e re goti'at·ion, · lly i1 1 a first marr1a· ge_, es1) ec1a for the l<i11 of botli sides must be sa , t·1 s f1ed and ''1101101-�d'', thou gh there 15 s01n � eleme11t of original cl,oice tli rough inf01. es ma tak l co urt cl1u sl11 JJ. rch Th e cog111za1 1ce by se11di11 ocr a jJriest to bless tl1e couple. Qurbarz 1narriage is 11ot t1 roe· d b ti f 1 e c o 1 1ur h c us e on laj , be ca m e11 JJa , r tl_ y tl1e sace rdotal cl1aracter of tl1e ocl1ur� , J ar l _ I t Y b ecat1se tl1e eucl1ar1 st1 c sacramen ts 11

3.

Pp. 398-400, 455-459 (1957).

.

Ph� .- .

.

.

'I

''

285

BIO'A \i\ V

a:e considered s� l1?lY that ?nl y seriotts, n1ature , fttl ly adt1lt perso11s are ad­ vised t� e11gage. 1n 1t, a11d divorce cannot be gra11ted. At this sacrame11�1 tl1e couple_ 1s rebapt1zed, a11d may, 011 all holy clays, wear the aklil cro�11.W1do\vs a11d w 1do\vers may remarry, b11t a J)ries: \vl·io beco111es a \vidower IS ex1)ected to ass11111e monkl1ood.The IJri_est wl,o blesses a semariya bride ancl groom n1ere­ Iy ex1Jresses tl1e fJray_erf t�l \v1sl1 tl1at 111Jocl will sllO\xr tl,e \vay'' to tl1e l ay 111 l10 l 1ave gone time. \v 111 cottf}le toward qurban, co11,J]es fact, iniddle-aged _ tl1ro11g;l1 several divorces a11d l 1ave fi11ally clecided defi11itely to SJJe11cl tl1e rest of tl1e1 r �ays togetl1er, n1ay take tl 1e alzl;l i11 qierba,1• Qterbar1, for lay JJeo1Jl e, e.�., deacons� ts fJe�formed 11st�al l1, 011l y 40 ca)'S a fter tI1eir sen1arrya, to �al<e certa1!1 that tl1e1r marriage bo11d IS stro11g a11d real a11d tl1at 110 rift I1as ar1se11 (e.g., i f the bride has beer, fot111d 11ot a virgin). Damoz marriage (l it. \vage) is wl1at tl1e ter111 ii111Jlies. 1\t1ost co111111011ly the arra11gen1e11t is fr?1n mo11tl1 to mo11tl1, but 1nay be for l o11ger or shorter IJeriods, such as tl1e dt1rat1or1 of a carava11 trip, or ar1 exter1ded stay at a 111ajor 111arl<et, \vl1ere tl 1e damoz \vi fe of fers tl1e best a 1cl ofter1 tl1e 011ly available l1otel ancl restaura11t services.(Sl1e is si1nilar to tl1e Biblical lady i11 the cit)' of Jericl10).... IndividLial arra11ge1ne11ts are freest i11 dcinioz, also i11 q11.rba.n tl1ot1gl1 so�e­ times l ess so, a11cl least i11 se111a11ya. B11t i11 all tl1ree forms of 1narriage, the \V 1fe retains her 1naide11 11ame a11d does 11ot a.sst1me tl1at of lier l111sba11d.... The damoz is 11ot co11sidered contradlctor)' to mo11ogamy, whicl1 may ex1Jlai11 1 1 lier resrJectability desrJite 1Jrohibitio11 of co11ct 1 binage i11 tl1e 'fetl1a �agast' • • •. • Religious 1Jerso11s \viii exrJl ai11 tl1e jJaradox by qt1oting frotn Oenes1s1 ''Be frt11t­ 1 ful a11d 111ul tiply '. Note 3:

Tigrean Marriage

Rossini, Pri11ciples of Eritrea11 C11ston1ary La\V 1 •

•

•

•

Marriag e: Its Two T.Jpes: I 11 �tl1io1Jia. tl1ere are_ two ty1Jes of marriage; a

solemn, formal one, and a 1narr1age for com1Jensat1011. Tlie first tyrJe Jias, as its basis, a sol e11� 1 1 agree1ne11t, attestecl by tw_o stic�<s; the secon d cons1s · ts o f a co,,ventio11 by wl11cl1 tl1e wo1na11 JJasses to l ive w1tl1 a ma11 for a specified co1111Je11satio11, a11 d, 11511 a11Y for a sp�cif'1 ed.1Jeriod of time a 1 so tl 1rough e 1s ag rri ma of Je tyr t fi·s 1e l t A second met1 10d of perf ormina O ·• • r�ligious marriage._Bt1t as a rttl e, t!,e re;!g�0}15 as Ject is not part of tl1e marr 'tl�e validity and l egal ity of the r1age contract a11d 1s not an esse11tia 1 p<Jtn un1011. · , at or, gin nic ori eth e11t fer f di e 1av l lv bab pro Tl1e _two typ� s of marriage s, tom cus tic mi Ha or tic mi Se 1n fro ted l u res ve Ila least, while tl1e !1 :st type may tct1s der of ai11 rem the be y ina ,pe t ) d 11 eco s th� e (th latter prevailing, perhaps) oms imported from a11cient Arabia. · · · · · · • d ne tio 11c be sa o als y 111a e ag rri 1na n l em so ct I a11 Religious Marria ge: Tl1e forma b_y rel igion. Except fo� the_ clergy , w11 are exJJressly obliged to celebrate mard ly t1se on mm co t no s i e ag rri ma us o tgi re r1age by virtue of their pr1esthood ,

°

f.

4•

. . .�·' .

.·,... . .

t , -:, ... �

6); translation, Ato (l 91 1 -25 247 91 , J -· 190 a re · ri 1 l/'E e · d, · ,arzo Rossini, Princi pi di Diritto Consuetudzn Zerabruk Aberra .

TliE SP:CJAJ_ PART

286

.. . , of dissolvi11g s11:l1 marriages. As a 1·ule, it is c� le b rate d d11e to tl1e d1 ff1 c11lt) 11 w1e1 1 the solem11 a11d form al marriage ) that ofte 1d 1 a cl e o· \xrl1e1 1 a co11_1Jl_e are_ �0 re. befo ral s seve year ed brat cele as \Y/ , e g 1a r 1 1a 11 is to say1 c1 v1l · · · · . l ,. r . i11. 1r,or Compensation: We l1 ave already pointed out that next to ConJ r,tga u; no .. n1 .. for JJle re a sin1 mo is ere 1 tl e riag tnar 1 11 en I so c tl1e forn1al a11 I 1 sation:'. I� e11 tai!s a wo�a11 , � itli er 111 is i<IlO\Y/t1 as ''for con1 r?e1 for s Thi . . . l 1 juga 1 1 11111 con to live 111 0 0g n JJled w s tive 1 tl1 a rela 1,er -1 direct1y _or tl t oug 1 1na11 1 f01 a JJler1· o d, 11s11 ally JJre-a;·ra11g:d, �1d against payn1 en t of a given amou11t. · · � · · s, 1ere there is centre wl major the in 1sed I 11 I tS S 1111 J) lest fo 1•1 n i es1Jecial},, J • 1 , a11 d a11101 1g soldiers, tl1e woman, :vi• t}1 ou t s1Je c1. a}_ _ cerr tlatio JJOJJt of i, flttcttiatio . e1 110 111es, g0es to 11·ve \vitl1 tl1e 111an ,s .soo11 as l1e1 co11 se11 t111g to tl1e vat 1ous . 11·s ov_ers1·m�1·,_ te rins ai,cl cor,ditio11s of tl1e co11 tract, gives a ��ara11 tor. B11 t, ti ficatio11 st10 11Id 11ot mislead 11 s. In p11re Ab)rss111 1a11 usage w_l;�11 dealt11 � with ... JJe rsor,s of so111 e in1JJorta11ce, al nost all of tl1� f�r1nal1 L1es �11d rite� of forinal marriage are co11cl11 ded, starti11g fron1 tl1e obl1�a_t1 011 of tl1� 11 1te rmed 1a1_-)', \Vlio, ii, tliis case, 111ay also be a \xro111a11 , �o tl1 e JJrov1s1on�l retu1 11 of tl1e \v1fe to l1er father's }10L1se after tl1e co11s11nmat1011 of tl1e n1arr1age. •

•

•

•

Note 4:

Islamic Marriage

Levy, ·r11e Socia· StrL1 ctt1 re of Isla1 n5

Tl1e areatest of Mt1 l1 a1 nmad's refor111s affecting tl1e status of \VOn1 e11 came i1 1 tl1e 1 nftt er of tl1 ei r relatio11sl1i1Js \'vitl1 tl1 e OfJjJOsite sex. from tl1e Koran it \VOL1ld see111 tl1at l1is e 11actn1e11 ts 011 tle q11es tio11 of marriage \xrere desig·11ed to bri11g Isla 111ic 1Jractice i11 to li11e \vitl1 xrl1 at l1eld in Jt1 daisn1 a1 1d Cl1ristia11ity as l1e k11e w tl1e1n, tl1011 gl1 tl1ere were ieat11 res - notably tl1e fact tl1at i11 Islan 1 marriage is a sec11lar co11tract a11 d 110: a religio11s rite - \Vl1 ich 111acle for differ­ e11ces. Tl1e tnost i11 11Jorta11t of tl1e 11 e\x r11le s \Vas tl1e restrictio11 01 1 tl1e 1 1umbe r of wives wl1 icl1 tl1e Musli111 1 nigl1 t at a11y 011e tin1e l1 old i1 1 la\vful 111arriag· Before e . 1 J\ l11l1a1 n111ad, tl1e ca1Jacit1, of tl1e Arabs JJLtrse \VOt1lcl a1Jpe jJrovide d ar to ha ve tl1e 011I�>' lin1itatio11 to tl1e 11 t1111 ber of his ,xrives, a11 d tl101 estab­ 1o· I1 tl1 \xre er re e lisl1ed co11ve11 tio11s abo11 t tl1e stat11s of \v10 1ne11 l1e 1 11a rr i ed tl1ere were neitl1er co11ve11ti o11 s 11 or la\xrs _ to clictate to l 1i11 110 \xr 111 a11 y tl i ey sl�oLtld be .T l1e Kora11 e11 acted tl1at a 111a11 1111g·l1t 111,1rry t ,vo, :l 1ree or foLtr \V iv es at or 1e tin1e altl1011gl1 it also recog·11izecl tl1at l1e 1 nigl1 t fi11cl it cliffic11 lt to tr ea t ni or t} 11 'o ne wife e 1a \vitl1 i1n l)artiali ty.... •

•

•

•

· f� r 1 narr_i�g e \X1itl1 111 ore tl1 a11 tl1 E JJer 1nitte d 11uinber of \Vives no jJLtnisl1· 1 11e11t is_ �1Jec1f1.e cl beyo1_ 1d _. tl1e �e 11 e ra� tl1 reat of _I1eJ lfire for \xrroi,gdoe rs. _Bt1t tl1e !Jos1t1 ?11 of tl1e offs1)1 111 g of� a11 Illeg·al 1 n�rriage \xras !Jrobab l! 1 n�o ta l< e ly co11 s1�era�1011 , altl1_ottg!1 tl1e �<0 _ 1 a11 says _ 11ot} 1111g· of it. 111 1 1 ce JJ ac ra tt ct ta i l r11 ocle 1 (1 t11�1e_s e co1 1 o 111 1c c o1 1d1 t1o11s 1 nal<e ., 1 t co111 IJa ra tivel 1n _ co1111t�1e s for a 111a11 �o l1ave 111_ore tl1ai1 0 y r a re i11 inO5t lv\ LIsl 1 11e \xrife a t a tilne ; for 11 0t ever )' 1na n ca11 1J 1o v1 �e tl1 se1Ja1 ate �stabl1sl11 ne111s \x rl 1i cJ 1 tli e la\vbool<s as \xrell a s ct1stom ; a11d e x1Jecl1e11c1 cle111a1 1d for eacl- 1. 1\t\or eove r, tl,e gro,vtl, of fJttblic coiis cience 5.

}) p. 100-102 (1957).

'

j

,

287

BIOA,v\ Y

. . · . and the spread of wester11 edt1cat · 1 0 1 1 :1.ve 111 s 0111e Islamic co1111 tr 1es led to t � ! Iegislatio11 of a restrictive cl,a 1. c ei_ wl,i:I, I1 �s 111 ade tl1_e � arriage witl1 more , . wife a one at titne � f diffi tl1an t .t w tl,ott deft 11tely forb 1 dcl111g wl1at tl1e Kora11 sanctio11ed.T l1e famotis tnocle� 1 15 t ri for i er, t t l 1an1111 acl Abd1111 ( 1848-1905), on � the strengtl1 of 11 is i11teriJretat; 011 0 ; l etn or.iv\ -'13, 128) wl1icl1_ de � ai s c ge ( 1 s� as � ,! _I( i � clared it diffic11lt for a 111a11 to act vt �l, 1111 J art1a l Jttst1ce to a fJl11ra l 1ty of wives, 1 . � red that tl i e Proi)llet 1 111� se1 11r1 Josecl _1 11 011oga1 11 )', a view ,vl1icl1 l1as conside 11ot fou11 d ma11y follo,vers. pO ; g� ni y \V�s abol1_sl1ecl i11 Tt1r l<e)' \'v'ill1 ll1e i11tro­ ct 11 ction of tl1 e S\viss Civil C Je 111 1 _?2�, a tcl _tl 11as beco111e 1 n�re cl iffict 1lt i11 r . Egypt, Syria, atid Persia \Vll�r , . e,. rc� tt i_ctiv leg1slat1011 li_as b�e11 111troclt1c_ed. l11 � the U.S.S.R. ar 1 ct Cltii,a ') I O } } o0 a111y 1s •!l(gal, l)ttt tl1ere t s ev1 de1 1ce tl1at 111 tl1e tv\uslim states of ce11tral f\s tl e l \ rs fr t1e11tl)' evaclecl. l 11 cot_ i11tries \v l 1ere � X' _ �� Islamic ca11011 Ia,v is tl1e l,1 ,�1 o : t lie l ai;d,. f1 �gt1e11t cl1a11g�s of \Vives are co111mor1, bei11g 0 11lY li1nited bY l l1e l 1t1sba11c.l s l1ab1l1t)' to JJa)' al1 ino11y for tl1e '-X'0111a11 . l,e d1vorces. Note 5:

Galla Marri,1ge I-I tt 1 1ti11 gforel, Galla Fc.111i I)' a1 1d nilarriageti

Life c_ycle: T11e Galla are or�a 1 1ized i11 a strict syste111 of age-sels a11cl gracles called g,zda . ...At . tl1e s�111e l1�11_e tl1e: recog11ize, a11d l1 ave 1 1a 111es for, t lie natural age �ate g·or1es. C1rc_11111c1s1011 cl�es 11ot tai(e JJlace till after 111ar1l1ood has been atta111ecl, a1 1d 1n arr1age co 11 1es before circt1111cisio11 .... . !fins/1i�; T_l,� basis of . Galla societ.>, :s tl1� �rottf? callecl 1.varr,1, ''fa1nily," or ida J root, wl11c l1 co1111Jr1ses JJater11al l( 11, cl1st111g111s l1ed as t l 1· ose of tl1e ,zcler,i or fatl1er's brotl1er, a11d 111ater11al l<i11, di sti11gt1is l 1e d as tl1ose of tlie es1,111a or mother's brotl1er. Affi11es are ca l led fir,i (Art1si, boro), a11d tl1e affi11al crro111J fir11mci.Tl1e ele1ner1tary fa 111ily liv·es by itself Lt 11der tl1e co11tro l of t l1e fatl·1 er1 wl10 l1as tl1e rigl1t to ex1Je ct con11Jlete cbedie11ce. . . . Reg11lation of M,irriage: Marriage of 11ear relatives ... \vas 111ore or less forbicl­ de11 t l1ro11g l1 out Galla la11d... . Tl1e Galla i1 1 ge11eral l1ave 011 ly 011e \vi-fe; tl1is, ... was orclai1 1ed by Ood, a11d t l 1e IJractice of tal{i11g severa l \Vives \vas ''ta11ght by tl1e dog." Cl1ildre11, 110\vever, are a social 11ecessit)', a1 1d tl1e 111ore c l1ildre11 a11d gra11dc l1i ldre11 a 111a11 l1as1 :l1e greater l1is 1Jrestige ii, tl1e co1111ci l . J 1· ave r11a11y cl1ilclre1 1 a11cl y ma y tl1e t tl1a so es, \Viv l era nce He tl 1e ricl1 }1ave sev ensure the st1rvival of tl1eir li11 e. Tl1e firs t \vife is al,vays tl1e c l1ief \vife, and l1er son is the eldest s011 fo r tl1 e jJt1rrJoses of at1tl1ority a11d in l1erita11ce. Riel, Galla also keep co11cubi11es (sejeta) who 11e ver live i1 1 tl1 e same l1t1t as a \vife. e11 �, as a result , jJcrl� �fJS of t ex d 1 _ �te i11 l a o t y m ga ly The Arusi practice po 11 g to a ma11 s ab1l1ty to 1 rd co ac s rie va s ve wi of er sle 1b lvlo m i11fluence,· th e 11 un . pay for an d maintain tl1e1n; so m e l1ave as 111 a11y as six or seve 11. 1

. .

.

..

Note 6: Sidamo Marriage

7 ia 1) o 1i tl E st e -w th u Cerulli, 1Jeo1Jles o f So

1 l itl a tl r . w o bt . y . 1e o1 m in er tl1 ei id pa is l1 lt Among the Sidamo bridewea

6. Huntingford, Tht Galla of Etl,iopia: The Kingdons of Kafa and J,,njero 7· Cerulli, Peoples of SoutlJ -west Etl,iopia and Its Buderl,znd 121 (1956).

·. ..

.

: ,. ' . ' '':",:.:

·.

. .

f. .:,••·;•• :...

.

7,.

'·

:.

33-38 (1955}.

288

THE SPECIAL PART

1egotiatio 1 s tal<e plac e between the fatl1ers of the 1 e riag Mar or severaI shee1J. . 1e t ti par 1 1· I d tng 01 1agg · o · an . 1 a) f cle ti l1 1e girl's . i ,g pe IJ 1e witl, 111ttc t yot O es irtu 1 d qualities of his da u g a1 ble 1e1,t 1 v t11 inn ,e l t ,g· · ".1 ' r 1 · 51 1 f \xrO hter, atl1er who ' a fter I J i ·(l • . . reac · y ct h 11 ent f • 111a 1s agreem e , When tl1e prrce ed o·gerat fatlier ' o exa a11 t l 1e11·as 1<S · S t· I ti 1ve, pa)' er · re a 1e 1 1e, an o Id 11) l1as . st1ptilate d lie if or , id i a b ts. 1t o f tl1e futt11.e 1 goes s, · d · f r1en t o 1 1 1· ecl by l1 1s J J a n f co ac e�ch I,is 1 , a1 m g 11 t1 o y ie tl i, e tl, id IJrice at 1 ome, accompa ni ed b l r e. he for n be de g.tr sa mu tl1e , i i liim y ets nie b · d SI 1 In ter. 1 e even tl b�1t d h hea w1! S c.\V i11-l 1 s?1 er 1 ] . ing a it1ts atio o \xrli ;:r, t l �o 1,�: 1 11n1e11t3. _Polygan1y ts w i despread. A man may ta ter e11 tl1 wi , en giv banqttet is IJossess 011e wife for eacl1 farm or l1cld111g.

I

1.

2. 3. 4.

J,

Questio,1s

Wl1at does Mt1rdoc l< 1nea11 by t l1E ''11uclea1· family''? Wl1at does he see as its u11iversal fu11ctio11s? Mu1·docl< �tates (p. 281) tl1at ''All peoples have faced the JJroble1n of reco11cili1 1g t l 1e t�eed of control witl_1 �he opJJ O�i11g need of ex1Jression, a11d all l1ave solved 1 t by ct1I turally def1111ng a seri es of . s_ex_ual taboos a11d 1Jer1nissions.'' Do Artt. 614 -626 re1Jresent such a reconc 1l1at1011 for Et l 1iopia11 society? I11cest 1Jrol1ibitio11s seem to be t11iversal. Wl1 at result would you foresee if societies did 11ot pe 11alize incest (see Art. 621 )? W l 1icl1 of t l1 e ft111ctio11s of tl1e fatnily are fJ rotected by penal la\v? Which by ci\1il l aw? Mig·l1t st1cl1 a comJa1·iso11 i11dicate whicl1 fu11ctio11s of the famil)' are co11ceived of as more i1nportant? liow in1porta11t is tl1e fatnily i11 Etl1iopia? Wl1y does. tl1 e Revised Con­ stitutio11 i11clt1de a J)rovisio11 (Ar:. 48} co11cer11ing tl1e Etl1ioJJian family? Are the forn1s tl1at famil)' grotfJing·s assume unifon11 tl1rougl1out the world? Are tl1ey t111ifor1n witl1i11 Etl1io1Jia? Sl1ould tl1e fa1nily receive eve11 greater JJrotectio11 fron1 tl 1e J)e11a:· law tha11 is 110\X, tl1e. case or sl1o uld J)rotection a11d regt1latio11 be left :o the civil law a11d otl1er i 11 stitutio11 s of Etl1iopia11 society s11cl 1 as religio11. ed11catio 1 1, etc.? Iiow is 1narriage definecl by l\1u�docl<? W l 1at are tl1 e fu11ctio11s of mar­ ria ge? I_ s its ft111ctio11 different i1 Etl 1io1Jia tl1 a11 elsewl1e cl1ar­ W l1a t 1·e ? acter1st1cs appear n1ost freqt1e11tly i11 Etl1io1)ia11 n1arria ge patter11s? Problem

Usi11g _a� a11a l ysis si1nilar to �l1at �rnployed \V . it ] 1 resiJect to ''tlie family," 111 yot1r op111 1 011· wl1y do st1cl1 articles as 630 (Tli . ef e t) ai id offe11s o tl · y proper r e 1. , t . ar t1cI es appear 111 ti 1e E-t 1 11·op1a · 11 Pe11al Code? SECTION B. THE OFFENSE Of BIGA MY IN ETHIOPIAN LAW

BIO�l\1V8 Fet!Ja Negast Part 5: A ma11 sl1all 11ot 11ave t'w·o w ives. Tlie ei,tering ii,to mai,y marria ges 8.

Chap: XXIV, Bctrotl1al, Dowry and M ar riage.

BJGAl\1Y

289

(polyg:amy) is for tl1e satisfaction of co11ct11Jisce11ce a11d 11ot f �r tl1 e l1avi11g of offspr111g as God l1as ordered. If 011e is JJolyga111ous, l1e sl1al1 be forbiclclen to receive the Et1cl1arist a11d to e11ter tl1e Cl1urch; lie sl1all 11ot e11ter tl1e com­ n1L1nity t1ntil l1e is se1Jarated from tl1e seco11cl \von1a11 a11cl liv�s \vitl1 tl1e first, one takes two wives together or if l1e takes tl1en1 in sepalate l1ot1ses, or if l1e �ee1Js � wife a11� a C?11cubi11e, lie sl1all be cle1Josecl from iis JJriestl1ood if l1e is a 1Jr1est a11cl 1f lie 1s a layma11 lie sl1all be exclttclecl \-om con11nt111io11 witl1 tl1e people (Romar1s 9). Tl1e wo111ar1 \vl10 a1Jproacl1es a11 ) tlier nia11 \vl1ile her l1t1sba11d lives is an adulteress ar1d a breaker of tl·1e la\v IR0111a11s 7). PENf\L CODE Of ETI-IIOPlf\ (1930) Ai-t. 390. If a Cl1ristia11 l1avir1g 011e \Vife sl10L1ld 1narry a seco11d \vif� i rl additioi,, lie sl1all be impriso11ecl fron1 3 mo11tl1s to 1 year. PENAL CODE Of ETJ-IIOPIA (1957) Art. 616. - Bigcinry. ( 1) Wl1osoever, bei11g tied by tl1e bond of a valid 111arri:_ge i 11te 11 tio11ally co11tracts a11otl1er 1narriage before tl1e first t111io11 11�5 bee11 dissolvecl or a1111ulled, is pt1nisl1able \vitl1 sim1Jle i111priso111ne�t, or, it: grave_ cases, a11c.i es1Je­ cially \vl1ere tl1e offe11der l1as l<110\v111�ly 1:n1slecl 111_� part11er i11 tl1e seco11d t111io11 as to l1is trt1e state, \v1tl1 rigorous 1n 1Jriso11n1e11t 11ot exceedi11g five years. (2) Any t111111arried perso11 wl10 �arrie? anot_I1er l1e l<:IO\-Xs to be tiec l by the bond of a11 existi11g 1narr1age, 1s JJUn1sl1able \VItl, 3i111JJle in1priso11me11t. (3) Limitatio11 of crimi11al JJroceedi11gs is sttSJJeiidecl U11il sucl1 ti111e as one of the two 1narriages sl1all l1ave bee11 dissolved O:- a1111tilled. Art. 617. - Exception. The JJrecedi11g Arti�l� sl1all 11ot a1JJJl y iii cases \vl1�re (Jolyga1ny is anized u11der c1v1I la\v i11 co11for1nity witl1 tra 1ition or moral recob t1sage. CIVIL CODE Of ETJ-IIOPIA (1961)9

Art. 611. - Bigamy. - 1. Criminal sanction.

(1) An officer of civil status or authority haviiig c_elebra:e d tl1e marriage _ of a person bot1nd by tl1e . bo11�s of a previous 11a�r1age, sl1all be liable to the IJU11ishme11t prov1� ed 111 tl,e Penal Code, tf lie l<11ew or should 11ave known of such c1rcun1sta11ce.

9.

.

..

;',

.

,

..

See also tI1e following legal provisio ns in co njunction wit 1l tbis ;�1 a[;fr: �:;.sed Constitution , Arts. A res. 5 Y 1 1 era gen E . •., C.C 6; -62 614 40, 48; P.C.E., Arts. 528-536, ' 3 ' Proc. No. 13 o f 1942 G.C. and Proc. No. 62 of 1944 G.C.

Tl-IE SPECIAL Pr\RT

290

(2) Tlie SIJOLtses, t11e JJe�·s011s \vho l1ave C?11se11ted to tl�e ma� riage a iid tli e \vitn e sses sliall be liable to the pu111sh111e11t prov1d�d 111 tl1e Penal Code, if t:I1e)' l< 1 1ew or sl1ould l1ave l<11ow1 1 of such circumstance. Questions

l. Wli at re latio i isl1iiJ exists betwEe11 Pe 11al Code Art. 611?

Code A1·ts. 616-617 and Civil

d t. an 1 Ar 61 E. . .C 6 P 61 t. E Ar C. C. i11 } m . a g bi of 11s tio 1i fi1 de e tl1 er 2. U11d itt n1 ed biga1ny? g m in co r av fo d ste re ar � e l a 1 dL vi 1:> di i11 1 1 a ay _ 1n t i11 jJO at \v'l1at 5 22 rt. s (A ) 11g ff. d1 ee oc 1 pr gi1 l be 11a 111 r11 : 1 of 11 tio J ta 11i Ii1 e tl1 es do 1 1e1 W y e at da th th m y 11 fro am ru big t 11o 11 io 1Jt c1i es JJr l 11a jJe es do l1y W to rt111? is con1mitted? 3. lv\ay a11 i 11dividt1al defe11d l1imself fro1n a �l1ar_ge of bi?"amy _by_ stating _ tl1 at, altl1011gl1 a cot1rt l1as 11ot SJ declared, l11s first m� rr1ag� 1s 1nval1d? Ma)' biga1ny be co111n1itted n e5ligentl),? To \vhat articles 111 the Pe11al Code do yo11 point to sL1p1Jort ro1 1 r co11cl11sio11? To convict an unmarried JJerso11 of big·a1 ny u11der Art. 616 (2), must l1e 11ave act11al knowledge tl1at l1is jJart 1 1er is married? \Vl11t is tl1e p11rpose of tl1is sub-sectio 11? 4.

Is tl1e offe11se of big a1ny a1Jplicable to all cultural a11d religio11s grot1pi11gs i11 Etl1io1Jia toda),? As of \xrl1at date? \Vl1at was the positio11 of fJrior pe11al legislatio11? Do es .il\.rt. 611 C.C.E. imfJlieclly repe al Proc. No.62 of 1944 O.C.? Wl1 at reaso 1 1s can be give11 to s11 p1Jort 11ational applicability? Is JJolyga1ny i 11con11Jatible \X1itl1 :lie ft111ctions of marriage and the famil)1?

5. Are tl1e 1nodern Cocles respon;ive to tl1e f11nctio11s and various forms of tl1e tradiiio11al Etl1io1Jia11 fa 111ily; tl1at is, l1 ave tl1e Codes co 1 1forn1ed to tl1e worcls so \Visely stressecl J)' I-Iis l1n1Jerial M aj e sty i11 11is Preface to tl1e Pe11al Code: _ eJJ_art\1re 111 ust r en1ai11 tl1e genius of Etl1iOJJia11 legal Tl1e. I?Oi 11t of d trad1t1011� ar�d 1nst1 tt1t1011s \'\111icl1 I1ave orig·i11s of un1Jat·alleled a11tiquity a11d co11t111t11ty? SECTION C. THE OFFENSE OF BIGAMY IN COMPARATIVE LAW

BI0Al\1V IN S\VISS PENAL LAw10 •

•

•

•

Pail Logoz

. . .Certai11 for111er ca11to11al codes co i,sidered b 1b · o- a111y as a 11 1no 1•a I'' offense. Tl1 e ''Code O e11ovois'' for i i,star, , (At.t. 283) as \Veil as tl1e fre11cl1 Pen al � � . _ fe ses Cocle (Art. 340) classified it t 11 � ce i ga de i11 st 1 or r, itl 111 i w 1g s o1 al al � , �� � � cl Tl assat1lt, rape, etc. is classi a 101 1 JS quest101 1able. 1 1 1 realit bigamy .. 15 y, · 10.

1

· an,J·· Logoz, Com,nentaire du Cocle Penal Suisse pa·t.z· S�ec ' r.a:e · l 4 o 3 (1956); Art. 215 C.P.S. states: "�tg WJ1oever, being alreacly n1arricd marri;s a f . rot 1 er pei son sl1all be co11 fined in rl1 e pe11itenr1a 1r �or not over five yea 10 . rs or i11 tl1e prison 01 n�. 1 ess tllan tl1ree 111o nth T11 s. e unn1 arried person "'/ lu1owingly con tracts a marriaoe witll a a d e �·son s}J?}l be confined in the penitent iary IC l� p not OVer tl1ree ye ars or in �Il e pris�1 • ;r a } ils ario11, Friedland er a1 1d Goldberg, 30 J. CrzllJ- · Cri,n. and Pol. Sci., Sup1). (1939).

r

291

BIOAlv\Y

an infraction against the ptiblic order \vl1ich exclttdes official IJolygamy. Even. n1ore accurately, ... it is a11 i11fractio11 agai11st tl1e fatnily: it is tl1e ne�at1011 of mo11oga1ny upo11 whicl1 tl1e family - as \ve co11ceive it - is based. It 1s, th�refore, rigl1tly _tl,at tl1e C.P.S. classifies bigamy amo11g offe11ses against the fa�11ly �nd _rela�es 1t not only to ir1cest ar1d adttltery, bttt also to offenses comm Itted 1n v1olat1on of fan1i Iy dttty, abdt1ctio11 of a 111i11or, etc. REYNOLDS v. UNITED STATES S1,epren1e Court, 98 U.S. 145 ('1878) Urzited States

Mr. Chief Jt1stice \Vf\ITE delivered tl,e opinio11 of the court: Tl1is is an i11dictme11t for bigamy t1ncler Sectio11 5352, Revised Statt1tes, \vl1icl1 0111itti11g its exceptions, is as follo\vs: ''Every perso11 havi11g a l1t1sba11d or wife livi11g, \vl10 111arries anotl1er, \vhetl1er married or si11gle, in a Territory, or otl1er !Jlace over \vhicl1 tl1e United States �,ave exclt1sive jurisdictio11, is guilty of bigamy, a11cl sl1all be pttnished by a f111e of 11ot 111ore tl1a11 $500, a11d by i1111Jriso11111e11t for a ter111 of 11ot 111ore tl1a11 five years.'' •

•

• •

Or, trial, tl1e rJlaintiff i11 error, tl1e accused, proved that at tl1e ti111e of l1is allegecl seco11d n1arriage lie \Vas, and for 111a11y years before l1ad beer1, a 111en1ber of tl1e Cl1urcl1 of Jesus Cl1rist of Latter-cla)' Sai11ts, co111111011ly called tl1e Mor111011 Cl1urcl1, a11d a believer i11 its doctri11es; tl1at it was acceJJtecl doctri11e of that Churcl1 Tl1at it \Vas tl1e duty of male 111en1bers of said Cl1urcl1, circL1msta11ces permitting, to practice polygamy; ...tl1at tl1is clttty \vas e11joinecl by different books wl1ich tl1e 111e111bers of saicl Cl1t1rcl1 believecl to be of divi11e origi11, a11cl amo11g oll1ers tl1e J-Ioly Bible, a11d also tl1at tl1e 111e111bers of tl1e Cl1L1rcl1 believed that ti1e practice of polyg·am)' \vas directly e11joi11ed u1Jo11 tl1e male 111en1bers thereof by the f\lmigl1ty Ood, in a revelatio11 to JoseJJl1 Smitl1, tl1e foL111der and 1Jropl1et of said Cht1rcl1; tl1at tl1e faili11g or refL1si11g to IJractice jJOl)rga111y by st1cl1 male 1ne111bers of saicl Cl1t1rcl1, \vl1er1 circt1111sta11ces \,,ottld acln1it, \VOLtld be 1Ju11isl1ed, a11d tl1at tl1e pe11alt)' for st1cl1 failLtre a11cl refL1sal \xrould be damnation in the life to come." He also jJroved Tl1at lie l1ad receivecl permis­ aLtthorities in said Cl1t1rcl1 to e11ter i11to polygamous sion from the recoa11ized 0 marriage; ... tl1at Da11iel J-1. \Velis, 01�e I1aving �L1tl1ority in saicl Cl1t1rch to 1Jerforn1 tl1e 111arriag·e cere111011)', 111arr1ecl tl1e s�1d defe11dant 011 or abot1t the time tl1e crime is alleged to l1ave bee11 con11111ttecl, to some \voma11 by the name of Schofield, and tl,at suet, marriage ceremony \Vas performecl under a11d pttrst1ant to the doctri11es of saicl Cl1t1rcl1." 11

11

UrJon tl1is proof lie asl<ed tl1e coL_1rt to i11strt1ct tl1e jtl: Y tl1at if tl1ey fou11d from the evidence tl1at he '',vas marr1ecl as cl1arged ...1n fJUrsua11ce of a11d in conformity \vith \vhat lie believecl at the time to be a religious dut)', tl,at the verdict mt1st be 'not gt1ilty.' ''Tl1is reqt1est was refttsecl, and tl1e cot1rt clid charge ''That there must !,ave bee11 a �ri111i11al _i11te11t, �tit tl1at if tl1e def�11d� 11t, under tl1e influence of a religious belief tl1at tt \'v'as right - u11der a11 111s1J1ra­ tion, if yott please, that it \Vas rigl1t - deli_berately marri� d. a second time, l1aving a first wife living, the \'v'ant of consc1ot1_sr1_ess of �vtl 1nt_ent, the \va11t of understanding on l1is part .tl1at lie \Vas _com!111tt111g a _cr!111e,. dtd r�ot exct1se him; but the law inexorably in such case 1n1pl1es tl1e cr1r111nal 111te11t.'

T f-f E Sf-ECfAL PAf<T

292

tl 1e qt1estion is raised, wl,etl rge c11a tt) al 1s reft ld at i er . · . · ' U JJ O 11 t I1 IS C1 I a. l·ge ' 1 f1cat1on o f an ov ert ac t ma d e cri miii a t L s a I� J � e iJt ce c� ac l 1.eli. 0_.totts belief cail be r of C o11gre ss o we po e s a tl t 1 to 11o 1s y t11r nq 1 ,e l T ld t b,,> bt 11e 1aw .of ti·1 e l 'at • � • • .. • • s , b11t as to tl1e gu1·It of 011e wli o 1e 1to1 1 1e, 1e l t for s ' · 1aI law . . . . 1Jre·scr. 1'b e cr111111 · d , e th 1 cte ena e1 e ly OfJ ent 11 JJI n rtai 1c l1 has bee s \X,I1 la\v a 1 a ' tes · a O VI )' 1 g . 1 \v' 1 1 l< 110 . �. 11 o t \V IS ' \X l a e 1 tl t 1a tl f e li e b reliabiot1s c t e 1 tl rri Te t of o en s � _ rie rn e ve l1 t go r fo wl v _ i _ la\ i 1 � Coi ig·res s ca11110t fJas s � 1 1t to tl1e C onstine d1 1en a11 st e f11 Th . 1 1 g10 el · 1 of e ci s er ex · . .1 · s 111a11 JJro I 11 bi't tl·ie f,·ee e · is 11t · 1 · �1a gu ed 1g1ot1 s f ree ct on l Re . 1 1 c1 lat s 1 ever)'Ieg 1 l c st1 s id rb fo . sly s e tti tio ri exJJr s co 1 1gr es s1onal interference is a _ far � s s te Sta . cl 1ite U1 e 1 l t t ott gli ,«l iere t li rou l1e law no\v u11der r t he 1et \Vl 1s, ed 1 1 1 _ 1 �1 tcr c.ie J be to 1 1 tio s e 1 qt coiiceriied. T ·1e co1 1sic leratio r1 co111es \Vit l1 i11 t l1is jJrol11b1t1011. .

•

•

•

•

... It is i1111Jossible to believe t1at tl1e �onstitutio11 al gu�ra11 ty o� religio us freedo111 \Vas i11te11ded to JJro l1ibit legis latio11 1 11 res1Ject to tl11s n1 ost 11111Jo1-tant feature of social l ife. 1\1arriage, \Vl1ile fro111 its very natLtre a sacred obligation, is 11evertl1eless i11 111ost civilized 11atiJns , a civil co11tract, a11d ttsually regttlated _ by l a,v. Upo11 'it societ� n1ay ?e �aid to be bLti_lt, an� out �f its fruits spri11g s ocial re latio11s a11cl soci al obl1gat1011s a11d clL1t1es , w1 tl1 wh1cl1 gover11me11t 1s 11ecessaril)' reqt1ired to deal.... 111 OLtr OJJi11 io11 tl1e statt1 te i111111ediately t111der co 11sideratio11 is \X1itl1i 11 the l egislati,,e JJO\Ver of Co11gress . It is �0 11s titt 1 tional and valid as JJrescribing a rule of actio11 for all tl1ose residi11 g in tl1 e Territori'es and i11 places over \V l1ic l1 tl1e U11itecl States l1as exclt1sive co11trol. Tl1is bei11g so , tl1e 011ly q11estion \vl1ich re111ai r1s is , wl1 et l1er t l1ose wl10 n1al<� fJolyga111y a part of their religion are exceJJted fro111 tl1e o JJeration of the s1atL1te. If tl1ey are, the11 tl1ose \Vl10 do not 111a l<e JJ0])1g·a 111y a JJart of tl1eir religio11s belief n1ay be fou11d guilty and pt111is l1ed, v1!1ile tl1os e \V ]10 cl o 11111st be a:qttitted a11d go free. Tl1is would be in­ trod11ci11g a 11e\v ele111e11t i11to cri1ninal la\v. La\vs are made for t l1e aovernme11t of actio11s, a11cl wl1ile t l 1ey can11ot i11 tErfere \Vitl1 1nere re l io·iot1s beli�f a11d opin­ io11s, tl1e)' 111ay \vit l1 JJractices . SL1pJose 011e belie,,ed tl1at l111ma11 sacrifices \'Vere a 11e_c�ssary JJart of religiotts \Vc>rs l1i1J, \vo1 1ld it be serio11sly' co11tended tl1at ti!� c1v1 l g�ver1111�e11t t1! 1c�er \vl1ich lie Ii,,ecl cou l cl 11ot i 11 terfere to JJreve nt a sacr1f1ce? Or 1f a_ \V1fe re l 1g·1ot1sly b=lieved it \Vas }1 er dttty to btirn l1erse lf t11Jo 11 tl_1e ft1 11e�al p i le of lier deacl l1t1 :ba 11�, \VOLtld it be be yo nd tlie power of . t l 1e c1v1l gove1 11me11t to JJreve11t l1er carry111g· ]1er belief i ii to practice? . So l1ere, as_ a l a\v of tl�e ?rg·anizctio11 of societ)' Llilder tJ1e exclusive do1nin1011 ,of t l1e U111ted States, 1t _1s jJro\, elect tl1at JJlttral inarriag·es sliall 11ot b_e al_ lo ,ved. � 1 a 111a11_ e:<_ctts� 111s fJract.ces to t l1e contrary be ca s e of his rel! ­ u � g! oL1s bel! e �. To J?.e1111_,t t l11s \v'Ot tld be to m a l<e t li e fJr o fess ed do ctri iies of rel t· g_1��1s beli ef st11Je1 1or to tl1e la� of ti1e Ia11 ct, a11ct in ef fe ct t o JJermit e\rery c 1 t1ze11 to be �o111e a Ia,v1 t111to l11111self. Oover111nei,t c · 1 11ame ott lc l exi· s t 011 l, 11 ) t111d er SLtcl1 c1rct1 111sta1 1ces. A cri1ni11a l i11te11t is g·e11erall)' ai 1 eleineiit o · f 1 an is cri ine , Ll ry ev b t e pres t1111ecl to i11te 11cl tl1e 11ecess ary ard Ieoitimate f at Ile co1 1s nces f eqt1e o l<1 10\vi11 . do e gl s.I-Iere t l1e accused l<11c\v y \X' , J 1,; l 1at 1 ad . t b · ee ' d 1 1 a11 . 011c e mar d e r1 ' st �·1fe \v� s :,1 �v·111g. 1-Ie als o !< 111· f 11 11e'V tl1at l 1 is s eco1 1d t de � i xr fo na rb rr as ia ' oe d \ n ,x · r b1 I a . W l1e11, L l1e1 efore, ]1e 111arr1ed ·lie sec ii 0 . e o d hav t· tm · e, o 1 t e 1 IS JJr ct es ttm e · te11cle cl to b·1 ea\J· ti1e J a\v. A11d tl1e bt·eal<i r1g· 1n . ery o f tl ie Ev 1 , aw . IS m ct � i tl1 e act 11ecessar)' to_ co11stitt1te t l1e crin1e xras l< .· , 11o w i11o s \X,a a l y d me o e, 1 1 i a11d tl1e cr t l1erefore' l <11ow111g l)' co1111nittecl · 1 giiotaiice of a fact n1 ay so metimes be taken

293

BIGAMY

as evide11ce of a \va11t of crimi11al i11te11t, bttt 11ot igr1ora11ce of tl,e law. Tl1e only defer1se of tl1e accttsed in this case is I1is belief tl1at tl,e law ot1gl1t not to have been enacted. It matters not that !1is belief was a jJart of l1is profes­ sed religio11; it \Vas still belief, a11d belief 011ly.

TI-IE lv\ARRIAOE LAW Of TI-IE PEOPLES REPUBLIC Of CI-IINA11 Ch,ing C/1ih-Jct11-g •

•

•

•

0onogamy is a good syste1n, bttt it l1as 11ever really bee11 !Jut i11to practice . 111 tl11s cot111try. DL1ri11g tl1e reig11 of ti1e i111perial dy11asties a11d tl1e old ''Pel<ing G_over111ne11t'' polygamy \vas clisgt1isecl i11 tl1e for111 of C'l;ien Tiao,O) co11ct1b111ag� a11d adt1ltery \Vere eitl1er recognizecl or tolerated by la\v.Tl1e reactio11ar1, I(uo1n1ntang regime l1ypocritically prol,ibited by la\v tl1e afore111e11tionecl poly­ gamotts JJractices, bt1t ir1clirectly jJermitted tl1e1n to co11ti11t1e. So polygamy ir1 f �ct a11d mo11oga111y i11 la\v existecl side by side. St1cl·1 JJraclices JJrevailed es1Je­ c1ally a111011g tl1e \vealtl1y. 111 Ne\v Chi11a st1cl1 JJl1e110111e11a 1nt1st be resolt1tely \Vipecl ot1t.Ot1r 1\t\arriage La\v at tl1e very ot1tset la1,s eqt1al e1111Jl1asis 011 tl1e free cl1oice of JJartners a11cl 011 111011ogamy a11d clearly JJrol1ibits JJolyga111y a11d co11cubinage. Bt1t disguisecl a11d l1iclcle11 JJolygan1y clid 11ot occt1r \vitl1ot1t cat1se. 111 order reall)' to t111dersta11cl tl,is qt1estio11 of 1Jolyga111y, \Ve 111t1st vie\v it in tl1e Iigl1t of its cat1ses. �fl1e relatio11s of JJrodt1ctio11 i11 society are its ft111cla1ne11tal catrse, while tl1e lack of freedo1n of n1arriag·e is its clirect cause. So, i11 solvi11g tl1e problen1 of JJolygamy, \Ve mt1st at tl1e sa1ne tin1e \VijJe ot1t tl1e causes \Vl1icl1 give rise to this qt1estio11. The Co,nniurzist 1vf,i,1ifesto said: Tl1e abolition of tl1e prese11t syste111 of [Jroductio11 111ust bri11g \Vitl1 it the abolitio11 of tl1e co1nrnt111ity of \X101ne11 s1Jringi11g from tl1at system, i.e., of prostitt1tion, botl1 pttblic and jJrivate. Tl1is is viewed f ro111 t11 e relati o11 bet\vee11 tl1e relat io11s of fJroclLtctio11 a11 cl mo11ogamy [sic]. Engels, vie,vi11g tl1e relatio11s of tl1e t,x,o \Viti, tl1e freeclo1n of marriage, said: Wl1at \Viii 1nost defi11itely clisa1Jpear fro111 n1011oga1ny, 110\x,ever, is all tl1e cl1aracteristics sta1n1Jed 011 it i11 co11seque11ce of its I1avi11g arise11 ottt of tl1e property relationsl1ips. Tl1ese are: firs_tly, tl1e do1ni11ance of �l1e man, and secondly, the indissolttbility of 1narr1age.... If 011ly mar� 1ages _ tl1at are based on love are moral, the11, also, or1ly those are moral in wl11cl1 love continues. 11.

Chang Chih-Jang, A Mucl1 Needed Marriage L� w, Peop{es Daily, Peking, Ap. 17, 1950 as tran­ slated in The Marriage Law of the Peoples Repub!; ' of China 16·1� (1959); Arts. _1 a� d 2 of the Marriage Law of May 1, 1950 read: Art. 1 - Tl1e_ f�udal n1arriage system which i� based on arbitrary and compulsory arrangements and the supcr1or1ty_ of ma_n over won1an �nd !gnorcs the childrens' interests shall be abolished. 111e New-Democratic marriage srscem, which 1s based on the pro­ che free cl1oice of partners, on monogamy, on eq�1al rights for both s7xes, and tection of the lawful inrerests of women and children, shall be put into effect. Art. 2 ''Bigamy, concubinage, child betrotha!, inte� ference . with the re-1narria�e. of '::idows, and the exac­ tion of money or gifts in connection with marriages, shall be proh1b1ted. "Chien Tiao" (lit. ''concurrent ancestral hall'') m_ eans that the son of. one brother or cousin was _ cousins, 1n order to provide n1ale descendants for the or brothers "shared" with the other heirless several families' lineal descent through several concurrent marriages.

�?

(1)

TliE SPECIAL PART

294

1n do ee fr ch of l1i e i11 w er Jl1 s1 110 at1 1 ar a1 m i11 riage 1Iy 01 at 1 tl ·ct . 1 sa . · It ca11 be ges be e11sured So, r1a a1 f y 111 1Jp 1 1a o r 1be 1n n1 e tl1 ii, . . JJreva1.1 s ca11 a11 11· 1 crease · . · as ac tl 1e y b c 1 e m w as N f 1e e D 1 t 1c o : 11 0 ? 1g 11 CO y Jld r r i a c le a c s lil ft . e , tl 111 o . t aIJa I·t f om d e . o . f e f r m a is _ g o y n r o f 2 1 o m marr1ag r t to d t 11 o c e le b a s 11 e 1J is 1d tio11, tl1e one i1 • • • •

BIGAMY UNDER TI-IE INDIAN PENAL CODE13 Dr. :{. S. Gour • • • •

t 1a is wl ce O! fe 0 of k11 e tl1 1 \v1 es s}1 1rJi jJt in _ 11 � io ct se 1e Tl lv: lci' s ot,1, og A,zal e to b ca pl1 a1J tl1e 111 rly ea ! c e�c ts off 1 r11 t � � at e tl1 1t b1 , ," my iga ''b as _ xr la\ E i ,glisl, l, 1ly ga �r !le ss t ce bu 11e ge r1 ar 1n , ich 1d wh ca � se a es 111 s11 � as it r fo ed ib scr de re he ot ts t, 11 ien e tl1 Or i 111 sar ces I OJJ JJe e ly tl1 � ?f 111s sto c11 � � tl1e to ard reg 1,aving _ l)' bl 1ol e, l1ca wl or pp ref 1na tl1e e 1s, y _ to a1n g b1 t 111s a · ag le r11 sl1 gli En e Tl1 tl1e case. . r, ve we ll, l1o It ly wi app 1. 101 1as rs1 to JJe er ev 1at \xrl of ic iat As 1 ia1 ist l1r 11-C 11o a l1 )' bot a am big a11d si11 a11d e rul tl1e is 111 ga1 11o 1no 1 011 \vl1 gst o11 am s Cl1ristia11 a cr1111e.

.. .

. . Scope ancl applicability: Tl1e Ia,xr treats bigam)' as an offe11ce i11 order to

e11s11re co11j11gal l1a1JIJi11ess amo11g tl1ose \Vl10 belo11g to monogamo11s communi­ ties. Tl111s, a11 offe11ce 1111der tl1is sec:io11 cottld 011IJ, be comn1itted b)' persons \xrl1ose 1Jrevio11s 1narriage 01Jerated a, a bar to another. So, for all JJractical IJL1r1Joses, tl1is section, \Vl1en enactec, a1J}Jlied 011Iy to Cl1ristia11s. Subseqt1e11t leg·islatio111 l1owever, l1as altered tl1e )ositio11. Si11ce tl1e passi11g of tl1e B01nba)' Preve11tio11 of I-Ii11d11 Bigamot1s Mar1iage Act (B0111bay Act No. XXV of 1946 as a111encled L1y Bon1bay Act. No. X:(XVI II of 1948) a11d tl1e Madras (Bigamy Preve11tion a11cl Divorce) Act of 194(, J I-i11d11s i11 B01nbay a11d Madras could be a11d Divorce 1Jur1isl1ed for a co11travention of tl1is sectio11. Tl1e Parsi l\1arriaae b Act (Act X\1 of 1865), s11bseq11ently re1Jlaced by the Parsi lv1arriao· O e a11d Divorce Act: (III of 1936) prol,ibited pol)rg·a111y a111011g·st Parsis also a11d made the1n p11111sl1a�le 1111der tl1is sectio11. Tl1e SJJecial l\l\arriage Act of 1872 (Act III of 1872) �11� its a1ne11ded jJrovisio11s, e11acted as Act XXX of 1923, brougl1t abot1t � s11111lar res11lt, b11t 011ly i11 respect of perso11s \v}1ose n,arriag·es \vere sole1n111sed 1111der tl1e act. Tl1e S1Jecial .N\arriao·e Act of 1872 }1as 110\xr bee11 r�placed by tl1e Spec ial Marriage Ac: , 1954 (A;t No. XL III of 1954) at1d 111ar­ _ r1ages ?ole111111sec! 1111der tl1at Act are s11bject to tlie fJro\risioti s of tl,is secti o11. Tlie J-I111�tl Mari;age �ct (A�t No. )0V of 1955) 111al<es 111011og·a111y tl1e rL1le fo_r all I I111d11s, BL1cldl11sts1 Ja111_s a11d )11<1 1s a11d tli e provisiotis of tllis section \VJ 11 .co11seq 11e11tI y apJJly. to _t11e1r n1ar1iag·es also. T O s u 111 uIJ tliis section 110\� a1JfJl1es to all co111111t1111t1es 111 I11dia e{ce1)t tl,e [\1\tisli i ,is ....' TI-IE LAW Of B[01-\l\1 V IN OliANAt4 A11tary Allott The jurisdictiort of t!Je co1,1,rts i,z 11iat1•077071 z·,,,.,... l causes .· Tl 1e S 111Jren1e Co11rt exerc1·ses . ·iated · Sever�! coun�ries st1ch as Tunisia and Ttirl{ ., v.,} · · . 11c l1 31.e predon1 1na11rly lvloslem, l1ave also 1n1c Cf experiments 1n outlawing bigamy. 13. Gour, IV Tl,e Penal law of India ?55 I (7 I· e 10 • J _c_ d 1 •, _ 9 63 ); A_r t. 49 4, rea Ind ds ian Pe1 Co 1al de, : "\'Y/ ever, having a J1usbancl or \vife livi,;ob > i11atrHs in an "d bY rea son y case. in w 101 . l · 11c . } 1 sue 1 · , n1arr . . 1s I 1age . ta I{11. 1g pa of 1ts l. ce du r1110::, clie life of suc l1 I· usb ancI . . . ,, or wife s0111uent , s 1a l 1n1pr1 11 e b witl1 . pt1n1s.1c . I d o f e1t . 11er descr1�,t1011 f·or a tern1 wli icll 1Tiay . 1xce11d ro se,,en J1,cars, a11d sl1all a so b e 1·1able co fine. . . 1 14. A 11otc, EssaJ'S 111. 11/rrcan La'l.v 209• J 10 , 212 _ -21 3, 21; (196C). 12.

BIGAMY

295

juris�ictio_n, by virtue of the Courts Ordinance, cap. 4, in divorce and other ma�r1mon1al matters (i) wl1ere the marriage l1as been concluded according to !YPtcal Western monogan1ot1s forms, eitl1er otttside tl1e cottntry or i11side Ol1ana !n accordance with tl1e Marriage Ordir1a11ce, ca }J. 127, and (ii) tl1e relief sougl1t 1s that provided by English la\v. As. regards proceedings co11cer11i11g or arisir1g ottt of 1narriages ir1 accord­ ance w1tl1 ct1sto111ary law, tl1e r1ative cottrts exercise exclusive jt1risdictior1, as the Courts Ordi11ance, sectio11 18, JJrovides tl1at tl1e Supreme Court is 11ot to exercise jttrisdiction in civil cattses or n1atters '' 1)ro1Jerly cognizable by a Native Court'', \vl1icl1 expr�ssion i11clt1cles cases co11cer11i11g cttstomary marriages; a11d a !1on-nati_ve court is obliged to refer tl,e parties to st1cl1 a case to tl1e appro­ priate native court for l1eari11g a11d determinatio11 of tl1e dis1Jute. •

•

•

•

T_ypes of 1narriage recogr1ized by Ghana law: In brief Ol1ana la\v recog11izes

(a) ' 1Cl1ristia11 marriage'' and (b) ' 1 nor1-Cl1ristia11 marriage." (a) Christian marriage: tl1is category is \vider than tl1at of 111arriage tinder the Ol1a11a Marriage Ordina11ce, whicl1 is i11clt1ded i11 tl1is categor1r. Rougl1ly, Cl1ristian n1arriage is 1narriage as recog11ized by the la\v' of Englar1d. (b) Non-C/1ristian marriage: tl1is covers marriage by Africa11 cttstomary la\v, a11d by Islamic la\v. As regards 1na1·riages contracted witl1in tl1e confines of Ol1ana, tl,ere are tl1erefore three t1,pes to co11sider: ct1stomar)' marriage; ordi11a11ce marriage; a11d Islamic marriage. An Africa11 (Ol1a11aia11) l1as ge11erally an electio11 as to \v'l1etl1er lie s}1all be governed b)' E11glisl1 or ct1sto111ary la\v. Tl1is electio11 operates i11 relation to marriage also: a11 African 111ay freely cl1oose (1t11less l1e is already married by native law and cttsto1n) ,vl1etl1er lie \viii 1narry by his ct1sto111ary law or under tl1e Ordi11a11ce. Tl1is a1JJ)lies \vl1etl1er or 11ot he is a CI1ristia11 a11d eve11 wl1ere l1e himself is tl1e offs1Jri11g of a marriag·e under tl1e Ordi11a11ce. •

• • •

The law of bigamJ' ,in1 cognate offences: Bi��n:1Y is a11 offe11ce u� �e_r tl:e

Criminal Code, cafJ. 9, sect1011 440, a11cl b)' def1111t1011 (tl1ot1gh tl1e def1nit1011 1s a little obscure) is limited to cases ,vl1ere a perso11, bei11g already a part11er in a Christian marriage, goes tl1rougl1 tl1e ceremo11y of Cl,ristian marriage to a third party.... •

•

• •

Questions

1.

What does Logoz mai11tai11 is tl1e re� so11 that the S\viss Pe11al Code places bigamy among offe11ses such as incest and adultery? Is the S\viss position similar to the America11?

2.

What is the issue posed by Reynolds v. U. S.� Is it sati� factor_ily res� Iv�d? Is the act of going to churcl1 on Sui1day practice or b�l1e�? lv\1ght a _ s1� 1lar question be raised under Arts.40 and 48 of the Etl1iopia11 Constitution?

3. Does China's approach to bigamy provide ratior:ial� for E�l1iopia? What reasons are given to support Arts. 1 and 2 of_ China s Marriage �a\v? Do you tl1ink that such bigamy laws can substantially effect economic devel­ opmei1t? In what ways?

'

'

296

TliE SPECIAL PART

of tl1ose pre close to ons sduti n -Civil aia Oliati Code d n a 11 ia cl In 4. Are tl1e : Etl1iopia? · 1 e differences amo tl to te ed crea help e hav l ee f 011 y o ng . d 5. Wl1at fac o.15 to z tl1at Sw er clos ce O of sta11 i 1 JJian I:t1 er ern inod I ile ? � it t s tl1 ese IJOStt1011s . . y. m 1ga o · t i t t b' ? s re 1 Jec w1 na l1t a-O d1 In or 1 a ' 1 1 11· c1 11ca, I a11d-A1ne.· Problem

the Prime .Minister to draft a bigamy Vou a1.e asl<ed as Ieooal advisor t) . . e I arg no a t ts Af 1a country b ut ras . 1s1a Afr of te sta cal tlii my the for statute contai iis a considerable number of :::ultural and religious groupings some of w hicl1 practice polygamy. Give reasons to support each provision witl1in your draft statute. Recommer1ded Readings

Logoz, Comrner1taire du Code Penal Sui�se, Par_tie Spe�iale 403-407 (1956) (careful co11sideratio11 of tl1e offense of b1ga1ny 1 1 1 S\vttzerland). farra11, Matrimonial Laws of the Sudan 3-32· (1963) (good disc11ssion of polygamy i11 S11da11ese law ). Bi11et, Le Marriage en Afriqite Noire 61-110 (1959) (interesti11g discussion of IJOlyga1ny i11 West Africa) . B.actciiffe-Bro\xrt1 and f orde, African S ')Stems of Kinsl?ip arid Marriage (1950) (comIJrel1e11si ve treat me11t of nine Afri::an family systems). Lewis, /vlarriage arid the Family irt Nor,hern Son1aliland {1962). fur111ston, Polygam y and tl1 e Wi 11d cf Cl1a11ge, 10 l12ter11atiorzal and Coniparative L. Qr,1,arterly 180-186 (1961) (con�ideration of tl1ree cases involving poly­ · ga 1 11y \v1itl1 fJartict1lar refere11ce to co11flict of la\v proble111s). Sl1ro1Jsl1ire, Prim.itive Marriage and E-tropean Law 129-143 (1946) (i11teresting treatn1ent of tl1e cor1flict bet\veei1 tl1e ct1sto1nary a11 d E11ro Jean la\v of 1 bigamy i11 Sot1tl1 Africa). Bartl1olo1ne\xr, Tl1e Origi11 a11d D�velo1:x1:e11t of tl1 e La\xr of Biga1 1)', Qua� terly 74 1 L. Rev. 259-271 (1958) (s hort art i cle s e:t111g ot1t tl1e l1 istory of bio-amy in E11gland). Bartl1olomew, Re�og11itio11 of Polyga11ot1s lv\arriag·es i ii Ca11actba, 10 Jnterrtatio11al a12d Co1nparatzve L. Quarterly 305-�27 ( 196 l ). Bartl1? lomew, 1\ecog11it�o11 of Pol)rg·a nous ]\1\ar 1a­ ri ag es Jn ter 1 1-\ in it l er 13 ic a, tional arid Co,nparative L. Q1-tarter6 1022-1 075 ( 1964). Ed wa��s., Me11? Rea a11cl Biga1:1y, 2 Curre,i t Legal Problems 47-67 (1949) (a11 a1 t1cle �111cl1 ex IJ lores t 11e 1 1 1te11t t·equire 111 e11t i 11 bigaln )' u11d er E11 gI isl1 } a\r x ). fyze�, Outlines of Muhan1.rnada12 Law 'i2-l Io ( 1949) ( CO · tlsideration of · marriage 111 Mos Ie111 la\V). Ol<o11l<wo a11d Naisl11 Crimi1;al Lciw ir z ,Vigeria· 277-280 ( l 964). (til e } a\V of biga1ny i1 1 ·_ Nigeria).

CHAPTER 13

The Petty Offe11se SECTION

A. PETTY OFFENSES IN ETHIOPIA

PENAL CODE Of ETJ-IIOPIA Art. 691. - Petty Ojfe,ices. � �erso11 comn1its a JJetty offe11ce \vl1e11, by a11 act or an 0111ission l1e infr111ges tl1e ma11d�tory or JJrol1ibitrve JJ rovisio11s of a reg·tilation, drde r ? r cle�ree la\xrfttlly 1sst1ecl b)' a co1nJJete11t at1tl1o rit)', a11d st1cl1 i11frir1gen1e11t ts sttbJect to 011e of tl1e (Je11alties JJrovided belo\v (A rt. 702-732). Art. 702. - Exclusion of Ordi,iary CriminaJ Perialties. (1) P �tty offe11ces �l1all 11ot be JJL111 sl1ecl witl1 co r1Joral JJU11isl1mer1t, i111p r1s011m �11t or 111ter11111_e11t JJ reser becl fo r ordi11ary offe11 ces. Petty of­ fences differ fro1n o rd111ary offences by reaso11 of tl1e differe11t 1Je11alties tl1ey me rit. •

• •

•

TI-IE FEDERAL PROSECUTOR

\1.

LISCI SOFIA

Federal Siepreme Imperial Co1,trt, Federal C,inzirial Appeal No. 7/51 (19 5 9 G. C.) Ethiopia

Hedar 3, 1953 E.C. (November 13, 1�60); J Ltstices: Afe11egt1s Tal<elle Wolcle Hawariat, Dr. W. Bt1l1agiar, Ato Berel<et-1b J-Iabte Sellassie: - Tl1is is a11 ajJ­ peal by tl1e federal Prosecutor agai11st a jt1dgme11t of the federal J-Iigl1 Cot1rt of Asmara acqt1itting the respo11de11t 011 vc1.riot1s cl1arges in con11ection \vitl1 the alleged offence consisti11g i11 tl1e fact tl1at tl1e res1Jo11dent l1acl in1ported into the Empire of Etl1io1Jia E$1,060, in additio11 to E$150 permitted byr la\v, and tl1t1s contravened tl1e provisio11s of 2.rticle 8(c) of tl1e Ct1rre11cy Ame11d­ me11t Regulations, 1949, JJt1blisl1ed as Lega.l Notice No. 127 of 1949. There \Vere also otl1er counts i11cluded_ in tl1e charge wl1icl1 are deJJe11de11t 011 the first one. Tl1e Federal Higl1 Cottrt i11 Asmara acqttittecl tl,e . responde11t on the grot1nd that article S(c) of the Ct1rre11cy A1ne11d111ent Regt1lat1ons, 1949, \Vas 11ot valid law in that it \Vas e11acted by· tl1e lvli11ister of fina11ce beyo11d tl1e fJO\vers vested in l1im by law. . The Currency A1ne11dment Regttlations, 1949, \Vere e11acted by the Mi111ster of finance by virtue of tl1e powers conferred on l1im by Article 3 (iii) of the Currency Proclamation, 1942 (Proc. No. 31) as ame11ded by the Currency

•

- CODE Of PETTY OFFENCES T IIE

298

I f� e se b tt to _ ay 7 t . m I _ o ) set out N c. ro . (P 99 4 f o 1 1 19 Ainendtnent Procla111atio � 1 le 1 s 1c !t t s. � 1e title of 1o at am cl o o t e s � 1e � tl _ w f. o � 11s o s� 1 1ere briefly tt1e provi at v 3 e ro p cl h t1 ar id , se e n s �u o 1 cl t1 n f e t d_ 1e tl ! 1s , 2 e cl ti ar ; is i io tl,e Proclainat e, n o JJ erson, except. an 1c a1 f 1n � o f tr 1s 1 l !V e 1 tl f o 1 1 o � exc e iJt \vitl, tli e fJe_r111issi ell, any. f?retg n s r_ o d 11 Ie , r ::xr o 1 ro bo 1 0 IY bL �o o wed l al 15 , er al e cl ed is r ho lt aL r ; ar ti cl e 4 prol11bits the e al d e ed 1s 1 l �r 1t at c11 t o n 1s 1 0 l cti rreticy to a,,y fJe rso11 w cy en rr or s cu t� no 1 te 1 , k no ba in co s y, 1� 1 _ c, or m y a� of e r i J 1 m E e , tl of ,t tra,,sfer o1, 11 curre�cy, �: bonds, 1g re fo r_ ts o en 1 n t1 tr 1s 1 1 le � a _ t1 o g e n an)' clieques, bills, drafts, le tic ar b) e; su 1s (11 1 e r l1c e of cl t1n t e p e c tl, :x es 1 t 1 1r ct e s or s 11t ra ar \xr r sl,ares beare 11y ma1111er, be tran s­ a in , ay tn gs in th le cb lJtt va o n at tl1 said a�ticle 4 JJrovides rontiers . ?f th� .. Em­ f _ or es �i da Ltn bo s om t� c� e tl1 ss ro ac d ported or tra11sferre le r1c ar 1; b1tl st1 w (11 1) of d e i pl m co e ar s tie 1 l na 1 r o f 1s on st ct1 1 ai1 pire u11less cert o m ake regulatio11s by t er w po e th 1ce a1 1 fi1 of er ist in lv\ e tl1 s ve the sa1ne article gi 1niniste r tl1e y ad to ar ss ce ne be ay m as :a ze Oa rit a g· Ne e notice published i11 tl1 u at es th al id ''v ov pr 4, le ab le tic ar me sa e tl1 of ) (iv cle rti b-a su n; o ati lam oc Pr 1 y article of value a1 1d any goods a1 es lud inc ) (ii e cl rti b-a su in ed s u as '' s tl1i11g s, negotiable aft dr ls, bil s, ue eq cl1 , ney : mo lud i11c ot 1 1 s e do t bu e s 1di or n1ercl1a1 i11strt1me11ts or foreig11 currency, 11 cr any bo11ds, sl1ares, bearer warrants or secL1rities.Article 5 is a penalty clau�e.

It is abu11da11tly clear tl1at the said Proclamations co11tain nothing to pro­ l1 ibit tl1e importation witl1in tl1e E1npire o f money ·(notes). The ,vl1ole object of tl1e P rocla1natio11s is to fJrol1ibit tl,e export of tl1e mo11ey, 11otes, etc., tl1erein n1e11tio11ed and to e11sure tl1at a11y fo:eig11 cur rency acquired by the export of valttable tl1ings is given UJJ to the autl1orised dealer. If it is argued that tl1e wor ds ''tra11sported or transferred across tl1� ct 1 stoms and bou 11daries of the Empire" as t1sed i11 article 4 (ii) apfJly to transpor tation and tra11s fer in and out of the E1:1 1Jir th<:·n it is to _be 11oted _ that t�e provision applie s only to ''valuable tl�1ngs wl11ch accord1n� �o article � (1v) does n ot incl11de money, cl1eqt1es, b i lls, etc.furtl1e rmore, 1t 1s to be 11cted tl1 at from tl1e co 11text of ar ticle 4 (ii) tl1ere can be no �oubt tl1at �lie wares ''tra11sported or tr ansferred across tl1e cttstoms, b?t1n�ar 1e s or fro11t1ers . o_f t:1<: E_mpire '' arJply or,Iy to tl1e exfJOrt of valttable tl11ng�, tl1e wl1ole JJro v1s101 1 1s intended to e11s11re that ar1y foreign cur rency acq�1red tl1 rot1gl1 tl1e tra11s 1J)rt or tra11sf er is to be paid or assigned to tl1e authorised dealer. �,

1

!h�t b�ii,g tl,e IJOsitio11 L111d�r .. l 1e Proclamations tl1e 11ext point to be . ide i �d t s tl,e pow�r of tl1e N\1111�ter of cons fi 11a11ce to n1al< e reat1lations . Tl1is o'Y:er g_1ve11 ui,der article 4 (iii)_ is li 11ite d ''to i ss t1e ...st1cl1 teat1Iations and · � i s ma ete r111� 11e to be ne �essa1·y to admirzister the Ct1rren cy d '� p�� �����rin l�is p �wer to _1 sst1e ·egt1lat1 ?n s and des ignations to administer tl1e Proclamatio11 ma b ex�r �1 e - f�r variety of fJt1r 1Jos es b11t sucl1 purposes mL1st be Iitnited to fl1e �c d�n! i,i sfra�101 0� the P_roclan1ation. Tl1is power does not i11clt1de tl1e O\V:� t � ci : ne x, 0! f ices \Vl:tcl1 are 11ot contemplate� _ in t_he_ �oe b� o ����1 J� Proclamatio 11; ex ci e . b _ )' t1d tl1 e po\ve : ot adni111ister1 -�g � the Proclan1ation. Tl,e po\ver to! n:ie la\x 5 . is by the in d veste tl1e legislative o rga11; atid 110 ersoi,_ or officer or att Const1tut1ont·l1e po. wer th o rity l1as m t.o al<e any legislatiori tt iilesf lle 1� ex1Jressly autl1or ise d s o to do b)' the laws e11acted by the le ·s 1 �t·t e org·a�i; ai 1d wl1en a to •: giv e st1 �l JJO 1 is \ve r perso11, at1tl1ority or offic�; 5 ic�1 JO\x,�t 111 u5i be 1 the \X,itl111 exercised ictly r st litnits co11ferred. In the case f t\ ,e tt reti , 1 2 s, e Ar1_ 11 _ 1 � 11d111 C)' gt1latio nt e Re _ ?49 (Legal Notice N o. 1 7 o f 194�) tl, 111111ster n io ovi f o s s . r p F111ance in making regarding tl1e JJrohibitioi, o.f im �rt i g m_ e h t ed o i,ey , cu r ren cy, etc., exceed }Jowers conferrecl o11· Iiin1 b )' tlie �ro_� ;ainat1 on; s uch fJrovisions .create new Of�

f

tt

TliE CODE Of PET"fY OFFENCES

299

fences 'X1l1ich are beyond tl1e po\vers of issui1 1g regt1latio11s a11d desig11atio 11s ne�essa ry to adminis ter tl1e Proclamatio 1 1. Stich are tl1e J)r ovisio11s co11tai 1 1ed in articles. 8(d) a11d 8( e) of tl1e said Regtllatio11s; tl1ey are, tl1erefore, ttltra 'Vires arid void. Being void, tl1 ey are of 110 effect l1ave no legislati ve coe rcio11 and ar e ':ot_ binding on tl1e subject; tl1er e ca11, tl;erefore, be 110 offe11ce tinder tl1ose !Jrov 1s1011s. Tl1e re�po11clent cannot be fot111cl gtrilty of a11 offe11ce i 11 tl1at sl1e tinpor ted E$1, 060 1 11 excess of ,vl1at is alleaecl to be allo,xred, tl1at is, E$15 0. Sucl1 a11 offe 11ce ca 11 be c reated 0111)' by ti,� legislative orga11. Tl1e res1Jonde11t \-vras also �l1a rged \vith s111uggli11g ,t golde11 bracelet; ,vitl, regard to tl1is tl1e F e�l eral High Cot1rt of Asmara J1elcl tl1at this bracelet was a 1)erso11al effect. Tl11s Court agrees ,vith tl1is. The judgme11t of the Fecleral Court ·firmed a11d tl1e apJJeal is dismissed.

of

As111ara mt1st tl1erefore be co11-

PENAL CODE OF ETI-IIOPIA A rt. 3. - Otl,er Pen,zl LegislatioJ2 .

Nothing jn tl1is Code sl1all affect Police regt1Iatio11s a 11d s1Jecial la,vs of a JJer1al 11ature: Provided that the ger1eral JJrinci1Jles en1bodiecl i11 tl1is Code are a1Jplicable to those regulations a 1 1d la\vs exceJJt as other \vise expressly jJrovided tl1erei11. Art. 375. - Falsi;'icatio,1 of WeiglJts arid Meas11res. (1)

Whosoever, witl1 inte11t to deceive anotl1er : (a)

falsifies w·eigl1ts, balances, measL1 res or otl1er i 11stru111er1ts i 11te11ded for use i11 commerce or trade; or

1 fuJly1 affixes thereto a 111ark or i1111Jr i11t clenoti11g official t111lat\ (b) cer tification or v7a rra11ty, o� forges sucl1 1nar l<s; or ( c) k.no-.vingiy makes use of SL1cl1 forged or falsified instrt1n1e 11ts, is punishable with rigorous im1J r ison111e 11t 11ot exceedi11g five years.

(2)

In pett}' cases, the offender is punisl1able \Y1itl1 simple imJ)riso11me11t L" or 11ne.

Art. 736. - Use of Illicit Weig/1ts aJ1d lvfe4s1ires. Whosoev er, apart from the cases punishable Ltnder tl1e Penal Code (Art. 375) .

(a) makes use in his relations v;;ith tl1ird parties of seals, weights or m east1res which were not officially controlled or \vl1icl1 are 11ot i11 conformity with the relevant rules and regulations; or (b) ge11erally, contra\,enes the regulations or rules issued for tl1 e stamping, control and use oi official weig i1ts and measures,

is p11nishable with fine or arrest without prejudice to confiscation when j u.stiried.

'

.

.

::'.

. ..

S E C N Y T FE T F E O P f O E D O C TI-IE

300

T N E M H lS L B A T S E E R H O T E F ID O R P V A PRO CLAl\�ATION TO U S A E S M D T S N H E A R IG E f W O S D R A D N A T S Of UNIFORM No. 208 of 195; E.C. (1963 G.C.) � fo e e tl1 id ov pr s to b U to ta e es at Jri rq ?p aJ hlis d ne e1 se s l1a it S, WI-IEREA d ie pl ap be ro s to th re su ea d m ug an 1t� gl 1 e u \v ho of t ds ar 1d 1 a st m or ,if ttr 111e11t of 1 1d a ; ia p io th E f o e ir 1J n E 1 1e tl ha ve approved a law ies t1t e1J of D r be am Cl1 d an te 11a Se ttr O \v'J-IEREAS s; d ar 1d a1 1 st rn o if 11 t1 1 cl su f o t n 11e �1 sl li ·for tl1e estab d an 34 les 88 tic of Ar tl1 wi ce an rc co Our ac in , RE fO RE -IE TI NO W te na d Se a11 t1r O of ns a1n tio Cl1 lu so e r ber tl1e e ov JJJr a We , ion t1t tit 11s C� 1 ed R evis s: w llo fo as 1 i11 la oc pr by re l1e e W d an s, of Deputie

3. Tl1e 111etric system is l1ereby adqJted as tl1e leg al sys tem of ,veights and 1neast1res for tl1e E 1 n1Jire of Eil1iopia, a11d sl1all l1ereafter be apfJlied throug}1• ot1 t said E1111Jire i11 accorda11ce \Xlitl1 tl1e JJrovisio11s of tl1is Proclamatio n. 8.

12.

•

•

•

•

•

•

•

•

No jJerso1 1 shall: (a) alter, obliterate, detacl1, obsct1re or conceal a11y seal, stamp or 1n1rk affixed, attached or i111pressed 11pon a111r weig}1t, measttre or weio-I1 i11a· or n1eas11ri11g instrt1me11t wit1ot1t the prior ,vritte11 co11se11t of ;{, In� s jJector; (b) 1 1eglect, fail or !·ef�1 se to proci1ce_ a11d_ exhibit for i1 1spection a 1 1y \Veigl1t, meas�1re or we 1 g!11ng _or n1�a311r111g 1 11strt1me11t wl1ich is st1bject to in­ s1Ject1011 as JJrov1ded 111 this Procla1natio11 t1po11 demand bei11g made tl1erefore by a11 Inspector for J)t1r1Jose of i 1 1SJ)ectio11; or (c) obstrt1ct, l1inder or molest 111 Inspector in the performa11ce of l1is d11ties. •

•

•

•

•

•

•

•

(b) All breaclies, violatio1 1s, or ro11trave11tions of tl1 is Proclamation or of tl1e regulatio11s made thereu:1cler sl1all be JJU11isl1able in accorda11ce \vitl1 the releva1 1t JJrovisions l)f tl1e P e 11al Code of Etl,ioiJia. Questions

·w 1 1at is a petty offe1 1se t 1r1der tl1e p · C ·E? ,,v,.,.111at JJe 11ait ·1 es are aJJP 1·1cable to 1 Jetty offe1 1ses?. 0o tl1e g·e1�era JJri t1ci 1··Jles of t 1 1e Pe 1 1al Code aJ) ply to jJ etty offe11ses ?. Ca 11 011e be 1n11 J.·1501 1�d for tlie co1n1nissio11 of a JJetty : . offe11se? Why is ''atte 1 11 Jt'' 11 ot rtc og11 1 zed \v'ttl1 res1Ject to pett)' offe11ses? Com1Jlicity? 1\t\istake of '1a,v? . . 2. Pett)' off ens e s 11a,,e bee 11 IabeIed , ,:�--gLt1at0 1_ Y· offe11 ses," ''c1 \r1I '' ''qua si-cr imes , offe11ses," pttblic \velfare off eiises tc Wl y lla\re 1e 1? atta st1c c l1 Ia bee l els d? 11 � � Are tl1ere offenses j 11 tI-ie Coct e' 0 pett) 11ot be Offences \Vl11cl1 would co 1 1siclered ''regttlatory''? \XII .e co J etty offe11ses fa \vi ll t 1 1 respect to the � �� � disti11ctio 1 1 betwee 1 1 cri�es 1 t ) rt.5·. W Ottld yott co11sider petty offe 11ses jJrimarily n1alum in se or ?nalum prJ?J./.biti4m?. 3. Where ca 11 011e fi11cl tliose [Jett ffet,ses tha t p1a are Et l1io JJr ol1 ib� � t-ed in Is_ ·it J)?S-sible for bqclies or oftiJa1 . otl1e1_ 1 tl1e tl1a n tog e tl1e leg isla tur e, w 1tl1 I-Its l1nrJerial Majesty ' to IJ.1on,tt�gate fJe11al Ia,vs? Wl1at is tl1e positio11 1.

' .,

THE CODE OF PETTY OFFENCES

4.

5.

301

of the Lisci Sofi,i case? What po\x,ers sl1ot1ld a legislatt.1re be allo\x,ed to delegate to otl1 er bodies? Is tl1 e Weigl1ts and i\t\easttres Pro�la 1 11atio11 si1,pra (Jena! i 11 11att1re? Is it regt.1Jatory? Do tl1e definit, ions of olfenses t1r1der Sect. 8 of tl1 e Procla111 a­ tio11 co11flict \Xlith tl1 ose t111 der Art;. 375 a11 cl 736 P.C.E.? Wl1 at is tl1e rela�io,:sl!ip of Art. 3?5 (2) to tl1 e Code of Petty Offe11 ces? J-Iow _sl1 ould a11 1nd1v1clt.1al be JJt111 1sl1ecl for viola:io11 of Sect. 8 of tl1e Procla1nat10 11 ? I-lo\v does Art. 3 P.C.E. affect tl1e Weicrl1ts a11d Meast1res Procla 1 natio11? Do yott tl 1 i11k tl1at tl1e \x,ords ''tl1 is Cocl� i11 f\rt. 3 i11 clude tl1 e Code of Petty Offe11ces? Does Art. 3 apply 0 11ly to ''Police regt1latio11s and special la\vs of a pe11 al nature'' e11 acted before tl1 e co111 i11g i11 to force of tl1e Penal Code? Would a special la\v of a p:11al 11att.1re \X1hicl1 clid 11 ot confor1n to tl1e ge11eral JJrinci1Jles of tl1 e Code be :1 t1ll and void? Sl1ot1ld a jt.1dge tal<e it UfJ011 l1i 1 nself to co11 for1n st1cl1 a la\x, to tl1 e ge 1 1eral 1Jri11 ci1Jles en1 bodied i11 tl1 e Code? Sl1ot1Id lie use tl1e Ge11eral Part of tl1e Code of Petty Offe11 ces if tl1e proclamatio11 is i11 tl1e i1att1re of a IJ:tt;r offer1se? What are tl1e i1n1Jlicatio11s of tl1e last clat1se of Art. 3, ''excerJt as otl1 er\x,ise ex1Jressly provicled tl1 erei11 ' ? Is the Pe11 al Cocle of 1930 still i11 force in Etl1iopia? Wl1 at clistingt1isl1es ''an1 e11 dments11 to tl1e Pe11 al Cocle o: 1930 (rer)ealed by tl1 e P.C.E. ( 1957) fro 1 n ''SfJecial la\vs of a JJe11 al 11atttre' retai 11 ecl by Art. 3 P.C.E. (1957) )? 1

'

1

1

SECTION B. THE REQUIRElviENT OF GUllT gN PET1·y OFFENSES

PENAL .CODE Of ETiiIOPIA A.rt. 697. - Conditio1zs for Liabilif;), to PuJiislJ 111e;it. (1) Perso11s wl1 0 are irreSfJ0 1 1sible (Art. 48) sl1 all not be pu11isl1 abJe. (2) A 1 1y otl1 er offe 11 der sl1all be liable to tl1e pt1 1 1ish111 e11ts prescribed by law. He sl1 all be pt.111 ishable \�l1 etl1 er lie contravenecl tl1 e la'X1 i11 te11 tio11ally or 11 eglige11 tl)' (Art. 57 to 59) save i11 cases \i1here tl1 e la\x, ex1Jressly exen1 JJts frorn liabilit)' :o jJt111isl11ne11t i11 res1Ject of 11 eglige11ce. • •

•

•

CODE PEN1-\L SUISSE Art. 333.... Appl£cation de la partie ge11er:ile dit code penal a1,1,x a11,tres Lois f ederates. •

•

•

•

•

•

•

•

Les contrave 11tions prev� 1es, JJar � 'at1tres loi� tecterales, sont_ fJt1nis; _ables meme qt1and elles 011t ete com111 1ses par negl1ge11 ce, � mo1ns q,u 1! �e ressorte de Ia disJJOsition aJJJJlicabl: qtte · la co11 travent1on est repr,mee seuleme11t si elle a ete com 1nise i 11tentio11 nelle1ne11t. PENAL CODE Of SWITZERLAND 1 Art. 333.- "4pp lication of the General Prorvisions to Other Federal Laws. .. ... Minor offe11ses pt.1 11isl1able accordi1 1g to otl1 er la\x,s shall be sentenced, 1.

.

.

Translation, Friedlander and Goldberg, 30 ]. Crin. L. Crim-. and Pol. Sci., Supp. ( 1939).

TI-IE COl)E o :: PETTY OFFENCES

302

everl if co111 111itted 11egligently, t111less accordin_g to the mear1i11g of th e JJrovisio11 011Iy wilfLtl co111111it1nei1t shall be punishable.... l�IiE CLASSIFICATION Of OFFENSES IN TJiE SWISS Jean Graven

PENAL CODE2

...Tllis apiJlicatio11 [aJJIJlicatio 1 of tl1e ge11eral pr�11ciJJles � f tl1e General Part] to JJetty offe11ses (contraventior.s) does _ 11ot 01!ly include federal Petty Offei1ses'' ratlier close to 111isde1ne:1nors with wh1cl1 .on� rel�te� _tl1em, but also all coJztraven.tions witl1i11 s111JJJleme11tary JJenal leg1slat1?n, 111f111!tely more 11u111erous, a11d gover11ed by Art. �33 JJa1·a. 3 C.P._S.,vh1ch req�11res a rule co11trary to tl1 e ge11eral syste1n: '_'Mi1or �ffenses JJ� 111shable according to_ other la\vs sl1all be se11te11ced eve11 1f CJmn11tted negligently, unless according to tl1e rnea11i11g of tl1e JJro�ision 011ly wilf11I co1n1nitment shall �e pu11ishable," \Vl1icl1 is, as is well l{11own, not t1s111lly the case for contraverztions. PETTY OFFENSES IN SWISS PENAL J_AW3 Pcul Logoz Tl1e r11les of Article 18 are also aJJ!Jlicable to contrave12tions in tl1e C.P.S. (Art. 102) a11d, i11 JJri11ciple, to i11 fractions JJrovided for i11 otl1er federal laws (Art. 333 }Jara. 1). Ho\vever, in 11)11co11formity \Vitl1 Art. 18 para. 1, tl1e co1itrave1ztio11s JJrovided for i11 otl1er federal laws (Art.333 para. 2) are equall)' IJt111isl1 able wl1e11 tl1ey l1 ave bee11 co11111itted by 11eglige11ce, unless tl1e applic­ able JJrovisio11 states tl1at tl1e contra-,e11tio11 111ay be punisl1ed only if it l1as been corn111itted inte11tio11ally. exists - in tl1e sense tl1at it eliminates tl1e system l�l1 L1s clear regulation _ used 111 Germany, tl1at is, a syste111 wl1ereb}' jJUnisl1n1e11t is of E1folgs�Jaftu11g : IJOss1ble .111 . tl1e �bsenc� of an}' guit - concer11i11g an importa11 t question in the_ a1Jpl1cat1011_ ?T S1Jec1al Part JJer1al legislatio11 i11 tl1e Co11federatio11 and on wl11cl1 the dec1s1ons of tl1e federal lribu11al 1 1ave ofte11 \vavered. •

•

•

•

•

•

•

•

. Tl1e C.P.S.p11t an e11 d to tl1is t11certai11 ty by exte11di110· to federal legisla�1011 of a fJe11al 11at1�re tl1e r11le: 110 p1111isl1111 e11t \Vit11011t o·L1Ut1 tl1at is at least 111.tl1� forn1 _ of 11egl1ge11ce. Tl1e exist�11ce of ''strict liability'' aer, i11 l�n no is _ 0 JJr111c11Jle, ex1sta11t (111 S\vitzerlancl. ]

b. In Conparative Law . TI-IE SIGNI�ICANCE OF TliE NEW DEVELO PMENT OF l I-IE REGULATORY OfFENSE4 Fraicis Sayre

... Tl1e developme11t is 11 ot tl1e 11 11nat11ral result of two pronou nced 2. 3. 4.

Graven, La Classification des Infractions 8. du Code pena , 2 � l e et S1us s Ses Eff ecs, Pen .al . 195 8 RevJ.te Logoz, Con1111entaire d11 Code Penal Suiss e 6 _62 Sayre, Public Welfare Offenses ' 33 Coli .,mbz:·i L ·· R \.eV. 67-69 (1933).

;

303

TI-IE CODE Of P:TTY OFFENCES

m? vem e11ts wl1i�l1 marl< t\v entietl1 ce11tury cri111i11al acltninistration,. £.e., {l) tl1e s01ft of em1Jl1as1s frorn tl1e JJrotectio11 of i11cliviclt1al i11terests wl11cl1 111arl<ed n111�tee_r1tl1 ce11tt1ry crimi11al adn1i11istratioi1 to tl1e 1Jrotectio11 of jJttblic a11d social 111terests, a11d (2) tl1e gro\vi11g t1tJizatioi1 of tl1e cri111i11al la\xr n1acl1i11 ery to e11force, 11ot 0 11ly tl1e trt1e cri111es of tl1e classic la\v bttt also a 11e\xr ty1Je of tw e11tieth c e11tt1ry regulatory 1neast1re i 11volvi11g r10 1110ral deli11qt1e1 1cy. 1

All cri 111i 11al law is a co1111Jro111is e bet,x,e e1 1 t,vo ft111da111e11tally co11flicti11g 111terests, - tl1at of tl1 e pttblic ,x,l1icl1 d� 111ar1cls restrai11t of all \vl10 i11jt1 re or 1:1en ace tl1e social \veil-being a11cl tl1at of tl1e i 11clivicl L1al \Vl1icl1 cle1na11cls 111axi111t1n1 lib erty a11d _fre�do111 fro111 i11terfere11ce. Tl·1e l1istory of cri111i11al law sl1ows a co 11sta11t S\v111g111g of tl1e 1J e11dt1lt1111 so as to favor 110\xr tl1e 011e 110'\v' the otl1er, of tl1e_se OfJjJosi 1 1g· i 11 ter ests. 01 1ri11g tl1� 11i11etee11tl1 ce11l:11ry it \Vas tl1e i 11clivi­ dt1al 111t eres_t \�l1icl1 J·1eld tl1e stage; t:ie cri 1ni11al la\xr 111acl1i11ery \Vas over­ btt rcle 11 ed \VItl1 111 n11 n1e rab1 e cl1ecl<s to p reve11t ]JossibI e i11j LI s tice to i11divid t1al def e11cl,t11ts. Tl1e scales \Vere \veigl1t ed in l1is fa\ror, a11d, as \Ve l1ave fot111cl to ottr sorro\v, tl1 e JJLtblic \V elfare ofte11 st1ffered. I11 tl1e tYve11tieth ce11tt1ry1 ca1ne �eactio11. \Ve ,tr e _ tl1i11!(itig toclay 111ore of tl1 e jJrotectio11 of social a11cl jJLtblic 111terests; _a1:cl c �11 1ci? e11t ,x,itl1 the S\xri 11ging of tl1e 1Je11cl11IL1111 ir1 tl1e fielcl of legal ad1n111 1strat1on 111 tl1is directior1 111ocler11 criminolor.rists are teacl1i110· that tl1e obj ectiv·e t1nclerlyi11g correctio11al trcat 111er1t sl10L1lcl cha11r>"e fror11 tl·1e bctrre11 aim of _JJL111isl1i11 g l1un1an bei11gs to tl1 e frt1itft1l 011e of ]Jrotecti 11g social i11terests. f\s a direct rest1lt of tl1is ne,x r e111JJl1asis LI]JOr1 jJL1blic a11d social, as co11trasted \xritl1 i11clividt1al i11t erests, cot1rts l1ave natt1 rally tendecl to cor1ce11trate 1 11ore LlJJor1 tl1e i11jt1rious co11clL1 ct of tl1e clef: 11da11t tl1a11 t11Jo11 tl 1e ]Jroble111 of his i11ciividt1al g11ilt. I 11 tl1e cas e of trt1e cri111es, l10\vever, altl10 L1gl1 tl1e e1111Jl1asis may sl·1ift, cot1rts ca11 11ever aba11do11 i11siste11ce 111Jo11 tl1e evil i1 1 te11t as a jJrere­ quisite to cri111i11ality, jJarll)' becat1se i11clivicl11al i11terests ca11 11evcr be lost sigl1t of a11cl partly b ecat1 se tl1e real 11�e11ace to social i11terests is tl1e i11 te11tio1 1al, 11ot tl1e i11i1oce 11t, cloer of l1ar111. B11t tl1 e 11e\v e 1111)!1asis bei 11g laicl t11Jo11 tl1e 1Jrotectio11 of social i1 1terests fosterej tl1 e gro,vtl1 of a s11ecializecl ty]Je of r egt1latory offe11se i 11volvi11g a social i11j11ry so direct a11cl ,viclcs1Jreacl ancl a IJenalty so Iigl1t tl1at i11 st1cl1 e xce1Jtio11a cases courts co11lcl saf el)' overricle the i11terests of i 11n oce11t i11clividt1al defe11cla 11ts a11cl IJL1r 1isl1 ,v1itl1ot1t j)roof of a11y guilt)' inte11t. .

1

111 tl1e seco1 1d fJlac e tl1e g·ro\vi11g· comJJlexities of t,ventietl1 ce11tt1ry life l1ave clema11cled ar1 i11creasi11a social reg.1latio11; ancl for tl1is IJt1r1Jose tl1e e xist­ i11g macl1in ery of tl1e crin1�1al la\v l1as b ee11 seiz ecl ttjJOil a11d t1tilizecl. �fl1 e origi11al obj e ctive of tl1e crir11i11c1l la,v \vas t� ke_e1J t�1e !Jeace; a1 1d u11cler tl1e strong cl1t1rcl1 i 11flL1e11ce of tl1e lvlicldle Ages its tt111ct1011 \Vas exte!1cled to ct1 rb moral cleli1 1que11cies of 011 e l<i11d or a 110:l1er. for thes e iJLtrJJOses 1t dev�IO!Jed a st1itable JJrocedt1r e, reqL1iri11g proof of 111or�I bla111e_wortl1 1 1: ess or a _ c r 11n111al i11t e11t. But today tl1e cro\xrcled co11clitio11s of lif e reqt11r� social reg�1lat1 011 to a degree never before attemJJtecl. Tl1e i11ver tio11 a11cl_ extens 1 v� tts e of l 1 1gl1-1?ower�cl at1to1nobiles reqttire 11e\xr for111s of traffic regt1lat10 11; tl1e _11�cr eased social e\'_I!S from dri11I< dtt e to tl1e 111or e cro\vdecl and co1111Jle x co11cl1t1011s of 111oclerr1 lire rec1t1ire r1ew for111s of liquor r egt1latio11; tl1e �levelo1J111e11t of 1_11_ocler11 1:n eclical science a11d tl1e co11gested livi11g acco111n1od(1t1011s of 111ocl er11 c 1t1es r eqt11re 11�w for1ns of sa11itary a11d l1ealtl1 r eg·t1lation; tl1e gro\xrtl, of 111ocler11 -fac_to�1es require 11e\v for111s of labor regt1latio11; tl1e clevelo!J1n e11t of 111ocler1 1 btt�ld�11g constrt1ctio11 ancl tl1 e arowtl1 of sl<yscraJJers reqt11re r1ew for111s of bt11ld111g· regt1latio11. Tl1e old ct1�brot1s 111acl1i11ery of tl1e cri 111i11al l�\XI, clesig11ed to tr)' tl1t. subjective bla1newortl1iness of i11 dividt1al offe11clers, 1s 11ot ada1Jtecl for

. .

304

THE CODE Of PETTY OFFENCES

· s ale s cale; a11d con seque11tly a co ole \Yl1 a 011 · t1 tio n · exerc1s111g JJetty i·eoo·t·tla e p c a_ 11 ee _ ct I b 1· l I 1: a s 1a g 10 e tt 11 u11de J1 r o el g ev d r 1 s 1i tl adf o 1t 111 0 11 le a1 ab er d si n l c w 11_ , l aw 1 e c f I _ a t _11 l 11n h ro y : h t 11a 1 tt1 or f 1_ � t11 early it Bt l. ro i1t co e iv at miiiistr ' , g 111 er 1g a1 1d i 1 r e1 11 st 01 ct g_ e ob tl1 0s � tl1 1 = Ki g s tini es liad been 11sed to JJt1111s� s !urb1�g tl1 e JJeace by reason d1 or :l1 al l1e 1c bl fJU e tl1 of liiol· ,wa)', tlireate,1i11g r 11t e _ fo m � �1t r_ 1e st fo 111 en en 11v co � s a rcii,g a 11 J0 t1J l ec i� se ii,toxication, \X,as l 1a ts 111 t1r 1n co t c1 a e ul 1 s s A _ n. e 1to �r 1la gt 1·e today tty (Je 1s tl1 of rt JJa al ,ti i sttbsta 1 ey we re ne ve r designed to l1 c tl 11_ wl s se ca of s od flo t ea gr S\x,atlljJed \xritl, . . . in . ra st e tl1 er d 11 t1 s l< ea cr )' er 11 l1i ac 1n l1a11dle; tl1e 5 L W LA NA PE CH EN PETTY OFFENSES 1:--J FR

Pier-e Bouzat

Co11.traver1tioris in the Broader Sense: . . . Co1itraventions, at least in appeara nce

co11sist of si1nple breacl1es of tl1e lav's a11d regt1latio11s. This l1as sometimes lect courts to clesig·nate tl1e111 fal sely as pt1rely material i11fractio11 s . 111 fact, tl1ey all 1JresLtjJpose a11 offe11se, at least JJresu111ed, a11d cease to be pu11 isl1able i11 cases i11volvi11g a11 act of God, ci1ct1111stances ot1tside 011e's co11trol a11d tl1e fault of a tl1ird jJarty. Ma11y of tl1e,e cont1·a·ventions w h icl1 involve inte11tio11 are, 110\xrever, classified alo11 g witl1 11011-i11 te11tio11al i11fractio11s, and rigl1tl)' so, for i11 tl1e case of tl1ese acts of little in1portance, it i s advisable to spare tl1e jud­ ges tl1e \VOrry of sometimes delicate JJSycl1ological 1·esearcl1. Fiscal Infractions: ( Offe11 ses \Vl1icl1 ca11 be of a

nature, ir1 matters of c11sto111s, i11direct taxatio11, forest a11d \v'ater\xrork s , postal matters). One of tl1eir cl1 aracteristics is tl1at ''tl1ere is 110 ex::use based LlfJ011 1nte11tio11'' a11d tl1at tl1ere­ �ore, tl1e mag·istrates do 11ot l1ave to, in deali11g \'<ritl1 tl1e111, e11ter upon jJsycl1olog1cal researcl1 or f,1t1lt. I l-o\xrever, becatse tl1e)r ofte11 co11sis t i11 acts \XTl1icl1 l1ave b�ee11 tl1ot1gl1t ot1t a11d car�f�tl!)' JJlan11ed, tl1e)' are 11ot 11011-inte11tio11al b)' 11ature. l l1ey l1ave beco111e so, art1f1c1all)', tl11ougl1 legal rt1li11gs. s eriotts

PROUDJ\I\.AN v.DAYMAN

Hig!? Cou rt of A1,1,straia, 67 C.L.1.1{. 536 (1944) A.,strtt Lia

[Daym�n lai_d a11 i11. for111at_io!1 agai · 11st lvlrs. Protidmatl, cllarging 11 er \xritl1 tl1e statt1to 1 y offe11ce of 1)er11 11tt1110· a1 t111Iice11sed ct.· car . t t · d or ve r1 o ver 11 1110 a . c:. . SI ie '>,as co11 v_1· ct�c 1, a11cl a1Jpe�le_d to tl1e S111Jre111e Cot 1r of t So 1 At1stralia. t1t l Clela11 d, J., set aside tl1 e co11\11ct1011 011 tl,e g·i·otii·1ct tl J 1er ct t 1a 10\ve ti · e 1 l ·d s e11ce ev1 . t.o } 1ave be1·1evec,I 0 11 1 easo11able o·rottids tl,at ti d 1.· 1r t f O d se s 1. i � tl1er a1Jpeal _ to tl1e_ f11ll Cot1rt, tl-ie <Dil\;icti; 11 : ��� � in a t� ���[0�:� · as ott P tl1e11 s011gl1 t SJJec1al leave to afJJJea' l to tlie 1 -1·1g .· 1 cOL1rt of At1 s tral1a.] l . . . . . d lv1 CT I ER N A l'r I J. : . . 1 tI 1� d ef I11 my O' j) i1 101 t 1 · e 11d a11 co t 11v wa s rig l1t c e · ly Tl1e st1bsta11ce of tt{e · ajJjJl· ai t s coi te1 etio 11. is tl1a t mens rea i s a11 i1:gr · i i i w �� clie11t o-f the offe 11 ce itl i w lli e 1 l d a 1 17d efe 11t \ ; �1ca as app 1 cl ct e · arg � < ' cl tl1e _ a11 tl1erefore l1acl a g·oocl co111 11-i 011 la\! id t'· fei cel 1 tl at 1s, tl1 e defe11ce of a m1sta 1\e i 5.

Bouzar, Droit Penal 18 7-18 S.

TI,E CODE OF PETTY OFFENCES

305

of fact n1ade i11 goocl faitl1, tl1e 1nistake bei11 g tl1at sl1e believecl tl1e driver \Vas the holder of a lice1 1ce to drive tl1e car. Tl1e fttll Cot1 rt tl1ot1gl1t tl1at tl1e evi­ de11ce failed to sttfJfJOrt tl1e defe1 1ce. Bt1t, i11 a11y case, I agree tl1at tl1e defe11ce \VOttld 11ot 111eet tl1e cl1arge. TI1e defe11ce is based 011 tl1e co1 1te11tio11, \vl1icl1, to state it 1 11ore ft1 lly, is tl1at the 11 _att1 ral OfJeratio11 of tl1e \vorcis of s. 30 is restrictecl by tl1e 1 11 axi111 act1,es non fa­ cit reu11i 1zisi 11lens sit rea. Bt1t is tl1 is 111axi111 a1)J)licable to tl1e co11strt1ctio11 of s. 30? 1·he 111axi1n is 11ot of ge11eral arJplicatio1 1 to 1nocler11 statt1tes: see Cu11dy v. Le Cocq ( 1884), 13 Q.B.D. 207, at f). 210; 1-lobbs v. Wine/Jester, (1910) 2 K.B. 471, at p. 483. It ca11 11ot be presu1ned tl1at tI·1e legislatt1 re l1as 11ot stated witl1 precision \Vl1at are tl1e elen1e11ts of the offe11ce createcl by s. 30. Tl1e i11te1 1tion of tl1e sectio11 (I refer to tl1e n1 aterial {Jart) is to n1 al<e it a11 offe11ce for a11y perso11 to per1n1t a1 1otl1er perso11 \Vl10 is i11 a forbidde11 class, tl1at is, JJerso11s \xrl10 do riot l1old licences, to clrive a car. It 11eed riot be do11bted tl1at tl1e \Vord '' 1Jer­ mit'1 is t1sed i11 the ordi11ary mea11i1 1g, bt1t I ca11not i1 1fer fro111 tl1e \Vords of s. 30 tl1at tl1e ?ffer1ce, \Vl1icl1 is createcl, is to fJer1nit a J)erso11, \vl1om tt1e def­ enda11t 1<1 10\vs 1s 11ot tl1e l1older of a lice11 ce or I1as 11ot reaso11able 0aro1111 d for believir1g to be tl1e l1older of a Iice11ce1 to clri\re a car. . . . \Xie I1ave tl1e adva1 1tag·e of a ver)' fttll revie\v of tl1e fJro\1isio1 1s of tl1e Act by tl·1e Cl1ief J11stice of Sot1tl1 At1stralia. It is 01 1e of tl1e J)lai11 objects of tl1e 1\ct to preve11t a11y fJerso11 bt1t tl1e l1older of a lice11ce fro1n drivi11g a n10tor car on a road. Tl1e JJrol1ibitio11 is i1n1Josed i11 tl1e i11terests of 1Jerso11s t1si11g the roads. Tl1e object of s. 30 is to 1Jreve11t tl1e drivi11g of cars by a1 1y perso11 except lice11secl drivers. It is \vitl1 tl1at object tl1at tl1e sectio11 rnal<es it a11 of­ fe11ce for tl1e JJerso1 1 \Vl10 co11trols tl1e car to drive it 1111Iess lie is lice11sed, a11d also mal<es it an offe11ce to JJer111it a11y JJerso11 \Vl10 is i11 fact 1 1ot lice11sed to clrive tl1e car. If tl1e sectio11 also 1 11ade it a1 1 offe11 ce for tl1e O\vner of a car to per1nit an 1111sl<illecl clriver to clrive l1is car it co11 ld l1arclly be co11ter1clecl that there \Vas a1 1 i1111Jlied qt1 alificatio11 01 1 tl1e O\v11er's liability tl1at lie \XIOLtlcl not be gLrilty of a11 offe11ce if l1e believed tl1at a 1Jerso1 1 \xrl10111 he 1Jerr11itted to drive \Vas a skilled ciriver, bt1t l1e \'(las i11 fact quite 1111s!<illed. Tl1e only i11te11tio1 1 wl1icl1 is to be fot111d i11 tl1e sectio11 and \X1l1icl1 is tl1e 1 11 e11tal eleme11t requisite to a co11victio11 is tl1e inte11tio11 to JJer111it a person \Vl10 is 11ot in fact licensed to drive, to drive tl1e car 011 a road. . . . 11 1 recent times tl1e fJresu1n1Jtion of 1neris rea i11 statutory offences l1as st1ffered sucl1 an eclipse tl1at a lear11ed \vriter l1as \varned _ Iegislatt1r�s to be very circt11nspect to see tl1at_ tl1e ne_ce�sary \Vords are inserted 111 _ statutes creating offences if tl1ey w1sl1 to l11 n1t tl1e 11t1mbers of pote11t1 al Ia\xrbreal<ers. In my opi11io11 tl1e defe11da11t \Vas _rigl1tly convictecl becattse ttf?01 1 the tr11e constrt1ctior1 of t11e sectior1 her cruilt did 11ot deper1d 011 tl1e qt1est1 011 \xrl1etl1er she l(new or believed 01 1 reason�ble grot111ds that tl1e driver \Vas 1 1ot tl1e 1101der of a licence. Sl1e was gui]ty becat1se it_ \'(l�S fJrove� tl1at lie \Vas 11ot tl1e holder of a Iice11 ce a11d t!1at sl1e clid per1111t 111 m to drive the car on a road. Tl1e rnens rea justifying tl1e co1 1vi�tio11 co_11sisted �f _tl1e i11te1 1t to do a11 act which is proliibited by s. 30, that 1s, to give JJerm1ss1011 to a person \vl10 was not tl1e l1older of a licence to drive the car on tl1e road. . .... .

'

. . ' '' '

.

•

'

Tl-IE COl)E O F PETTY OFFENCES

306

I\OTES y Offenses tt in Pe ilt t u f en G o em ir u q R2 e th f o n io flirtller Considerat

Note 1:

6 y lit bi si I-fall, A Critiqt1e of Strict Res1Jon

ee�1 n1 ad e i11 _SLlpj Jort of b ve at l1a th 1ts 1 ne 1 g1 ar al tic ac JJr e tli 111 ,tfJjJr aisiiig 1 e 1s 01 as t� 1 : pl t em e gl1 tl1 sl1 to ! tee vo de ss ne be cl 1ee 1 e of 11 ti1 tle lit :)', lit bi l a i strict 1011s 1:1et 1n refer e11ce to Jt ce ex s ou ge tr� 0L1 tl1e 111 1 fro t Jar a e t lie pei, alt)'· QLiit 1 �. et1 e og c Qn Ol y 1tl aJJ a,, un der­ te1 fJa s 1 _ 1 01 t 11a a Jl e� at tl1 s, 11e 1 i cr 1 variotis 111ajor 11ore establ1sl1ed JJr11 1c1JJles; but it is 1g to s lge JL1c e tl1 d 1ce 1 lue i11f it , o\x i l nd sta 1 i11 some circt ) s n1a tie 11al JJe t gl1 Sli y._ ilit li�b ict str of ini� certai11l>' 110 jt1stificatio11 sta11ces st1o ·o·est tl1e 11eed for a s1111Jl1f1ecl fJrocedLtre a11d eve11 \Varra11t the ren1oval ot1Jrocedt1ral safegttards 11orn1ally i11sisted on.TI1ey can11ot be relied 011 to cliscard ·ratio11al 1J e11al liabilit1. •

i-\.notl1er arg·t1me11t i11 SLIJJfJOrt cf strict liabilit)' is tl1e claim tl1at it serves . els a JJrocl to sti111t1late i11creased ca1e a11d effici e r1C)' - even by tl1ose \Vl10 are al reacly careft1l a11cl efficie11t . ... Bnt tl1is argt1n1 e11t, lil<e certai11 m) tl1s, is just too goocl to be trt1e. It rests \X1l1olly 01 1 assL1111ptio11s tl1at l1ave 11e1v·er been establisl1 ecl. Tl1at tl1ere is a l\x,ays rO(!tTI for in1 1Jrovement of bt1sir1ess O/Jerations is at best a ver)' loose ge11eralization; fr eqt1e 11tly it is qt1ite fallaciot1s. Tl1e cost of 01) eratio11 is 011e seriot1s li111itatia1. 011ly ' 1i11 tl1e abstract'' is it JJOssible to e111ploy cl1e1nists, bacte riologists, etc.i etc., to a11alyze ev e r)' ca1 1 of food sl1i1 Jpecl fro111 all tl1e f,lctories i11 A111erica. Actt1a ll)' st1cl·1 car e a11d efficie11cy are in­ co1111Jatibl� \vit l1 ?IJerati11g a bt1si11es; at all. Tl1us an ele1ne11tary discrimi11ation ?f \X1l1 at. 1s poss1bl_e tal<es tl1 e form of \X1l1at is reaso11able - else \Xie merely 1ndt1lge 111 exl1ortat1011 11ot actt1al JJI"Jble111 sol\ri11g. •

•

•

1

•

•

•

•

�l1t1s,_,as 011 e fJr�bes fa!· so111� ratio11al g·rot111d of strict liability (ot1tside of to1 ts), 1r beco111 es 111cr eas111gly l1lie tl 1e fJrO\rerbial searcl1 i11 tl1 e dark room fo: t_he blacl< ca t, tl1a� is11't there. ... I 11as111_t1cl1 as strict liability 111ea11s tl1at reb a1dless of _Iacl-. of 111tent, 1�ecl5I_ess11 ess, r1eg·I1ge11c e, tl1e 11se of SLIJJerior l<no\xr­ l�dge _ai,d sl<ill, e_t�., /J_e11�I. l1a?1 l1ty 111t1st r1011etl1eless be i111 1Josecl, it is i111fJOS­ s1lJ!e ro clef�11d strict l1ab1l1t:), 111 tern1s of or b>' refere,,ce to t li e 011Jy criteria tl,at �re avail,ibl� to evalLi a te tl1 e i11flt1e1 1ce of leg·al co11trols 011 l1t1 111 a11 co11duct. \Vl1at tl1e11 re111a111s bL. 1t tl1e 111>rtl1 tl1:1.t tl iroti;:cr:, li cj r,.\.., v·IOLIS, Lill1,\.110\XT!l \x1ays son1e · . . . . . 1 . · o·o 1e o st d lt 1 s f 1011 st11ct 11ab1l1t>, 1 11 '' i Jei,al'' la ,,? y , . ·t is 0 t a h · t . l · e . a b 1 es t t o1 1 11c I er, . . '\v . . . . 111y tl1 dies l1arcl, a11cl ti1� Iebo ·al 1.efo 111e1 is s0111et1 1 11es con11Jellecl to gt11de his c1.a ft by 1na1<:1. 11l;· co11cess1011s to a ccrre11t irratiorlal it:)'. A11 itn IJ o rt ct11 t c1Lt e to \XI , 11at ' · · is ,. ,c Lta t · 11 1 1a· )' t I ie strict /Jr111c11Jal of SLt JJJort · jJrov,·d ecl by tl1e fac t b·1 11· ty 1s · ti· 1�t 1·0111 t l1 e ver>' b eg· 1.'11111r· 1g·l of fJL1bI1c f�re · l \X 1 e ; offe11ses to tl1e rJresei,t ti,,, lliei e �,as be�11 tl ;e a on 11 t 1 11v e c a r:)r i11 sis i 1 1g;_ te 11 diffict1lty of IJro�,iiig 771e715 1 to JJe r tn _it SL1cl1 a clere11se \VOLtld be to allo\v every violator to a vo·1 cl f· a I tt ner 1 d n b a e clg pl ,I i e 0\x e it1f{ acl 1<11. lacl< of ,�( ): j, tl1t1s, jJracticall)' , 11tillify tli e st�a tLtt,e j . \,en 0_ , J e T l · 1 t 1 5 a 1 1a t .... 1 es 1 1 Jl t me 1t 1n11 rg· . · · . tl1ougl1 1ne12s rea exists it is itn JO 5 . 1· · to r 1 )1 ave_ e it, tl1er IJres _ u e � 1 t1_ s _ 11abl �r a bec � disti11ctive features i,1 stic li c1se! \�le;t ina 1< e tl11s IJroof fJe ct1l1arly d1tf1ct1lt. Bu

;lz·

b1.·'

t/�

6. Hall, General Principles of Cri,ninal L ,,.. .., ��-2, (63) Note, 42 lvlicb. L. Rev. 1 lOJ, 1 106 4

344-345, 348-349.

..

THE CODE OF PETTY OFFENCES

307

� f \Ve �PJ)raise tl1e actt1al situatio11 i11 tl1is resJJect, witl1ot1t JJrejt1dgi11g it, it is 1mposs1ble to attac� a11y great \Veigl1t to that argt1me11t.It a1not111ts _to 110 1no�e than a bare assertion or a mere g·t1ess. It is obviot1sly at odds w1tl1 wl1at ts act� al ly do11e in cottntless 1)rosect1tiors. Moreover, a gla11ce at tl1e law 011 var1ot1s 111ajor cri111es reveals ma11y sitt1atio11s \vl1ere seriot1s diffict1lties 111t1st be overcon1e in provi11g me11s rea, e.g., receivi11g stolen goods, 11t1111erot1s i11sta11ces \Vl1ere ig·11orance of f act is a defense, a11d i1111t1111erable statutory fJrovisions \vl1ere l<no,vledge must be sl10\X111.... . . .. Tl1is branc11 of ottr l a\v is so thorot1gl1ly disorga11ized, rests so largely on c_onJectt �re a11d dt1biot1s IJS)rcl1ology: a11d effects st1cl1 gross i11jt1stice as to reqtt1re maJor reform. •

•

• •

Note 2: Friedmann, Strict Crin1inal Res1Jo11sibility a11d Pttblic Welfare Offe11ces7 •

• •

•

. It is_ clear th at, as a grottp, tl1is t11Je of offer1ce [1Jt1blic \velfare offe11ce], \Vl11le go111g u11cler tl1e ge11eral label of c�i111i11al la\v, is of ar, essentially differe11t character from tl1e crin1i11al offe11ces basecl 011 i11dividt1al \vro11gdoi11g. Like all la\v, tl1e co11ditio11s t111cler \vl1icl1 cri111iral liability is in11Josed depe11d 111Jon a bala11ce of valttes in a given society. Even tl1e i1111oce11t l<illing of a n1a11 l·1ar1ns tl1e society, bt1t tl1e la\x, ge11erally co11siclers tl1at a severe fJenalty for mtirder or manslat1gl1ter sl1ot1ld 11ot be i1111Josecl, exce1Jt 011 proof of i11dividt1al gt1ilt. Public \Velfare offe11ces are, by co11trast, esse11tially star1darclised. 111 tl1e bala11ce of valt1es, it is ge11erally co11siclered 111ore esse11tial tl,at violatio11s of traffic rt1les or food l a\VS sl1ottld be strictly pJ11isl1ed, i11 tl1e i11terests of tl1e pt1blic, ratl1er tl1a11 that the clegree of i11dividt1al gttilt sl1ot1ld be n1east1red i11 eacl, case. lv1oreover, a vast fJrO[Jortio11 of tl,esc.: offe11ces are no\x,raclays i1111Jt1table to corporatio11s ratl1er tl1a11 i11dividuals i11 st1cl1 areas as social i 11st1rance obliga­ tio11s, safety a11d l1ealtl1 sta11dards, a11d 11,e lil<e. It is socially e11tirel)' desirable tl1at the cor1Joratio11, tt11der \Vl1ose 11a111e tl1e bt1si11ess is co11dt1ctecl, shottld be the carrier of respo11sibilit)' ratl1er tl1a :1 tl1e i11diviclt1al, altl1ot1gl1 tl1e JJerso11 immediately res1Jo11sible may, of cot1rse, be_ st1bject to co11ct1rre11t. liability. Oive11 tl1e e11ormous 11u1nber of offences fall111g Lt11der tl1ese categories, st1cl1 as violatio11s of traffic regt1latio11s, tl1ere is also tl1e sl1eer jJractical difficulty i11volved i11 tl1e li1nitless 11u1nber of trial.,, i11 \vl1icl1 i11dividual gt1ilt \v'Ottld l1ave to be measured. On a bala11ce of social i11terests, tl1e \X1ides1Jread - tl1ot1gl1 by no mear1s u11iversal - ter1de11cy of 111odei11 statt1tes to i1n1Jose strict liability for violation of public welfare laws is tl1erefore jt1stifiable .... Note 3:

American Law Institt1te, Nlodel Pe11al Code (1962) 8

Sect. 103. Classes of Crimes; Violat£011. • •

• •

e s tt1t o� St ate tl1i sta :er otl a11y by ?r dE Co s tl1i by ed fi11 de se e11 off An (5) x,· tl1e 1n or la\ de Co s tl11 tn ted a ign des so is it if ion lat vio es a tut sti _ con _ defini11g tl1e offe11se or if no otl1er senter1ce tl1an a f111e, or f111e a11d for7.

8.

'

Friedmann, Law in a Changing Society 198-199 (1959). Proposed Official Drafc.

308

Tf-lE CODE

o:·

PETTY OFFENCES

i � o ti ic 1v 1 co 11 r 1 o o ed or tl up s z · 1 if 1 1a lt y s �Lt e it l 1) J vi ci r ,e feitLtre or ot d ? e C _wl 1icl1 nO\V J)fOVI?es tl1at tl e 1 1s t 1 11 a l1 t r e l, t o , · � ecl =by a statLtte .r ..le..111 lat1 1 do es not c_ o11s�1�u te a c ri111 v1o A . 0� ne cri a ite tt ,sti coi e offe11se sl al not a 1 1y d1sab1l1ty or lega to rise 11ot e giv ll sl11 1 1 o lati ! \1io : l a1!d co11 v1c�1011 of a e. ns fe al i11 of i1n a cr of 1 ia ct vi 1 1 co 1 1 o , ed d1sadva11tage bas •

•

•

•

. . . Effect of .Absol11-te liability in Reducing Grade of Offense to Violatiorz.

Sect. 2.05.

.. ­ ub d an law s g e les tin s of un xis on isi a o:v r _1:x· l1e ot ' ) _ at, (2) Not\vitl,sta1 1cti,ig seqt1 e11t statt1te otl1erw1se 1Jrov1des. to l1 Ject a11y material wit res1 d ose i1111 is ility ) liab te olti abs hei, , \x (a) eleinei,t of a11 offei1se d efi1 1ed by a �tat_t1_te otl1 er tl1a11 tl1e Code a11d a coi,victio11 is based tlJJOl sucl1 l1ab1I1 t)r, tl1e offe11se constitt1tes a violatio11.... •

•

Note 4:

•

•

9 of alia ot1rt C Attstr Higl1 tl1e 11 i lity 11sibi Res1Jo - 1ard, Strict 1 Io\'\

...A cot1rt faced witl1 tl1e tasr of cl eciding i11to \1?hicl1 class a 11e\v minor statt1tory offe11 ce falls, 111ay fi11? itself in a d iff_ict1 lt)1 • . If it decicles tl1 at tl1e of­ 1 t 1 fe11ce reqt1ires ft1ll 1neris rea, 1 1ay j)llt a 11 11111Joss1 ble b11 rde11 UjJOt1 P a11d tl1ereb)' virt11ally 11ullify tl1e leg·islatic11. B11 t if it d ecides tl1 at P need JJrove 110 111 e11 tal elen1e11t at all, it r111 1s tl1e ris< of J)e11alising innoce11t and guilty alike, to tl1e detri111e11t of jt1 stice a11d respect for tl1e la\v. Vet tl1is diffict1lty is ofte11 illus1)ry. ''Tl,ere is a half-\vay l1ouse bet\x,een niens reci a11cl strict res1Jonsibility \X1l1i::.:l1 l1as 1 1ot yet been jJro1Jerly 11tilised, and tl1at is res1Jo11sibilit)' for 11eglige1 1ce.'<4) TI,e object of most of tl1ose offe11ces for \X1l1 icl1 011 e is 11 0w strictly resJJOrsible is to i1111Jose a l1ig·I1 standard of care. Notl1i1 1g is to be gai1 1ed by co1 1victing D if l1e j)ro\1es tl1at l 1 e tool< reaso11a ble care, o_r, if tl1is IJe ?esired , a!l JJossible care.To i1111Jose strict 1·esponsibilit)' in sucl_ 1 c1 rct1 111sta11ces 1s_ to pt11 11 sl1 a t1�eft1l 111 e111ber of society for a co11seq11 ence \v·l11cl1 lie l1 as _ do11e 111s t1t1nost to avoid , \x1l1 icl1 is a iJOir1tless exercise. If the da11ger to soc1e_ty_ fron1 atl)' error at all is so great, t11e11 tlie activity it self sl1ot1ld ?e JJro\11�1 tecl; )'et no 011e serot1sl.)' s1 1 g·g·ests tJ1 at tl,e sale of 111ill< sl1ot1ld b_e _ a_bol1 sl1�cl. If. 1 !1 tl1e cases \X1]1e_re �trict resJJOt1sibilit.)' is 1le , respon­ rt IlO t11 e \V s1?1l 1ty fo1 1 1egl1ge11ce l1acl bee11 11 111JJsecl ir1 stead, tli 11 110 be er e e \v' ha Ot ve tld tl1�11 g �o. _preve1_ 1t _tl1e sta11�lar_cl o-� car� bei�ig· set \re 1 ght tl! ot r) ' lli co g· tir tli l i, if e t th1_ s des11able 11 1 tl1e jJL1bl1c 111 .t� 1 est; 111cl if tJ1e bt ir cte 1 1 ltjJOil p \Vere still too g1 eat, D cot 1lcl l1ay� bee,1 reqL11recl to jJrove the ai l) 01 ' 1 or ot 11 ii ex i ct of d ll jJa ., ti o 0 bala11ce of 1Jrobab1l1 ty. •

•

•

•

Questions 1.

Does Art.697(2) reqt1 ire a fi11cli1 g n o f ti o i1 1t en v t ic o r co 1 11 1 e oIi ge11 c e fo r of a !Jetty offeiise? 1 1 1 \Vliat Wa)'& do e s tl1 is A r ti c lebd iffer fro111 Art. 59(2)?

9. 76 La'l.v Quarterly Rev. 547-548 (1960) (4) \'v'illiatns, Cri111ina! Law: TlJe Gener

al Part,) , 21_

...

.

.

.

'

"fliE CODE OF PETTY OFFENCES

309

Is it_ possible to fJU_nisl1 tl1e accidetitc.l co1111nissio11 of a !Jetty offense? I-lo\v are 1 11te11t a11d negl1gc�nce to be defir.ed for (JLtrrJoses of tl1e Cocle of Petty Offe11ces? Does Art. 697 arJIJly to [Jeiial [Jrovisioi,s exter11al to tl1e Code of Petty Offences? Do Art. 333. C.P.S. a11cl tl1e state111ents of Mlvl. Orave11 a11d Logoz l1el1J to i11terpret Art. 697(2) P.C.E.? Is the Etl1i_O[Jia 11 [Jositio11 \Viti, respect to tl1e reqt1ire111e 11t of gt1ilt i11 [J_ett)' offe11ses \xr1se? Wl1at wot1ld a IJLtblic jJrosectitor J,ave to JJrove to co11v1ct a perso11 L111der Sect. S(a) of tl1e \Veigl1ts a 1 1cl Measttres Proclan1atio11 supra?

2. 3.

Wl1_y _do \'<' � fi11? a t�arJidly gro\xri11g 11t1111ber of !Jetty offe 11ses i11 n:iost soc1et1es?. �!,at ts tl1e1r J?L_1r1Jose? Sl1ot1ld i11te11t or 11eglige11ce be reqt(Irecl for co11v1ct1or1 of a traffic of fe11se st1ch as failt1re to jJarl< a car 1n a IJro jJer IJlace? Wl1y clo 111ost S.)1sten1s 111ai11tai11 tl1a1 offe11ses of a regt1latory natt1re do not a11d sl1oulcl 11ot reqt1ire a fi 1 1cli11g of eitl1er i11tent or 11eglige11ce? Wl,at argt1111e11ts 1nig·l1t be 111acle for a11d agai 11st strict liability? Wl1at was Mrs. Prot1cl111a 1 1's defe11se (pjJ. 304-305), a11cl \vl1y \vas it 11ot allo\x1ed? Wot 1 ld it be allo\ved i11 Etl'.io1Jia? Does Etl1io1Jia's solt1tio11 fall bet\vee,, strict liability a11d tl1e aJJ!Jlicatio11 of ae 1 1eral fJe11al pri11ciples? Does it satisfy tl1e criticis111s set fortl1 by I-Iall (pjJ. 306-307)? Wot1Jcl it l1el1J to require less 1Jroof i 11 est�blishi 1 1g 11�gli­ ge 1 1ce i11 petty offe11ses tl1a11 i 11 jJe 11al 011es? Of \vl1at valt1e 1s tl1e �\111er1ca11 La\xr I 11stitute's 1Jro1Josal to ''destign,'"tize" pett)' offe11ses by treat111g· tl1em as ''violatio11s'' ratl1er tl1a11 ''crimes''? Is f\rt. 697(2) real!)' feasible i11 ligl1t of tl1e gre�t ancl i11_creasi 1 1� _11L1111be1: of petty offe11ses? lvligl1t it perl1a1Js _t� 111o!·e sat1sfa�tor)1 1f co11v1ct10 11s fo1 sucl, offenses \xrere !1a11clled by ad1111111strat1ve age 11c1es ratl1er tl1a 11 by tl1e crimi11al fJrocess?

4.

5. 6. 7.

8.

Problems

A DECREE TO PROVIDE FOR PROI-IIBITION Of UNff\JR TRADE PRACTICES No. 50 of 1955 E.C. (1963 G.C.)

•

11

•

•

5. (a) No deaIer s 11 aII: • •

•

•

in or a b ' ecl fix t tl1a i11g eed exc ) rce jJr a at le tic (iii) sell a11y declarecl ar 111a1111er ordered by tlie Mii,iSler. · · · · la­ y gt1 a11 Re of or ee cr De is tl1 of 11s io vis l I. \V hosoever contrave_nes tlie I J 11 co11viction be liable , all 0 sli er id ttt ere tl, b d �? e 1 t1011s, orders or 11ot1ces preset . 57 of 19 de l Co 11a Pe e tli of i,s sio vi ro P t e a Jr1 o1 pr to !JL111ishme11t t111der tl1e ap as ame11ded. · · · · . e 0 ov $2 ld ab E so . be to t no '' le tic :ir d 1 ec Assurne th at article X ts a ''d s, is t h e 1ce fe1 Of tty Pe of de Co 5 4 7· 1 t per arti�le, a11d f u�th er assume tli � e. re ec D e v o ab _ e tli f o ' 11 ·t · ec 5 111 appropriate JJrov1s1011 referred to •

t��

. .

' .

.. .'"... · .... . ·. . .. . ;_._: .

310

THE CODE Of PETTY OFFENCES

e cre d De rea l1 d t1g ha l1o alt he f : an No. 50 of X, e icl art , i11 r ale de Ato A is a es titi a11 of qt1 d d ge sol a11 lar w, l t article X tl1a of 2 ts ten con tl,e t 1, ao 3 196 , e foro at a price of E$25 fJer art1. cI e. Wl,at will it be 11ecessary for t1e fJublic prosecutor to prove in order to coi,vict Ato A t111der Sect. 5 (iii) or tl1e Decree? SttpfJOrt your ans\xrer with reference to all 11ecessary articles of tl1e Pe11al Code, Code of Petty Offe11ces, a11d tl1e Decree i11 qttestion. As legal counsel to a Parlia1nenta·y Com�ittee ct1rrently worki11g o� sev­ eral fJrovisions of tl1e Penal Code, yo,1 are assigned tl1e task of presenting a 11ew draft of Art. 697(2) togetl1er with your comme11ts justifying your positio11. Recommen1ed Readings

Willian1s, Criminal Law 215-266 (a comprel1ensive and imrJortant chapter on strict res1Jo11sibility; n. b. pfJ. 261-X>5 for Williams' suggestions witl1 respect to tl1is problem). Hall, l11terrelatio11s of Crin1i11al La\v ,nd Torts, 43 Co/1,1.mbia L. Rev. 986-996 (1943) (caref11l co11sideration of tl1e roots of strict -liability in tl1e areas of both tort a11d crime i11 tl1e co1n1no11 la\v). Legros, L'Element Moral Dans Les l1zfiactions 152-173 (1952) (co11sideration of petty offenses i11 fre11ch !Jenal la\X). Merle, Droit Penal 252-254 (brief treat.nent of petty offe11ses in fre11cl1 fJenal law). Perl<ins, The Civil Offense, 100 U. Pe,:n�ylvania L. Rev. 832-851 (1952) (ge11eral analysis of jJetty offenses in tl1e U11ited States). Brett and Waller, Criminal Law 523 -571 (i11teresti11g case a11d textual material on tl1e question of strict liability .11 the co1n1no11 la,v). Borre, Public Welfare Offe11ses: A Ne\V A[)proacl1, 52 J. Crinz. L. Crim. a11d Pol. Sci. 418-422 ( 1961) (co11sideratio11 of mistal<e of fact a11d la ,v in {Jetty of­ fe11ses). 1958 Law Q1,1arterly Rev. 342-343 (attern1Jted justificatio11 of strict liability in t11e construction of an E11glisl1 crin1i11cl statute). Binavince, The Etl1ical fou11 �atio�1 of =:rimi1!al Liability, 33 Fordham L. Rev. �7-34_ _ (1 �64) (excellent l11stor1cal and fJl11loso1Jl1ical consideratio11 of strict l1ab1l1ty 1n regulatory offe11ses). Starrs, Tl1e Regt1Iatory Offe11se in I-Iis1orical Pers1Jective, i11 Mtteller, Essays i1z Criminal Scie1zce 235-267 (196 I).

-

Part IV

•

TI-IE DISPOSITION OF OFFENDERS

l

.

•

�·'.,.

I'· •

CRAFTER 14

Se11te11cing: The Range of Judicial a11cl Ad1ninistrative Flexibility witl1in the Legislative Prescription SECTION A. THE LEGISLAflVE GRADING OF OFFENSES

TI-IE DETERMINATI 1)N Of THE PENALTY 1 Ad. Frejaville a1id ]. C. Soyer Discretio11ary a11d Fixed Perialties: fo u11_dersta 1 1d t]1e 1!1odern system, it is

to exa111i1 1e tl1e two systems wl11cl·1 are tl1eoret1cally opposed as to tl1e determi11atio11 of tl1e penalty: l. T/1e SJ'Sten1 of discretio1iary pe nalties a1Jplied i11 . pre-revol11t!o 1 1ary_ fre1:cl1 la\v. Tl1e JJe11alty is 11ot cletermi11ed bf tl1e la\v; tl1e Judge establ1sl1es 1t tak11�g i11to accoL111t tl1e 1Jartic11lar circ11111starx::es 111 1der wl1ich tl1e offe11se was commit­ ted a11d tl1e 1Jersonality of tl1e offe11dcr. I-le 1 11ay, for i11sta11ce, tal{e i11to accot111t tl1e bacl<grot1 11d of tl1e offe1 1der, l1is �e 1 1eral cl1aracter, tl1e reasons for \x1l1icl1 ti1e i 1 1fractio11 was co111mitted1 etc. Tl1is systen1 would allo\V tl1e pe11alty to be fittecl to tl1e g11ilt of tl1e offe11der, to tl1e IJOssiblities of l1is refor111 or, as \Ve \XIOL1 lcl say today, to tl1e 1 1eeds of ''sociaJ rel1abilitatio 1 1'' - i11 brief - to acco1111Jlisl1 a11 ''i 1 1dividualizatio11 of tI-e jJe11alt)r' It has, 011 tl1e otl1er l1a11d, tl1e disadva11tage of te11di11g towards tl1e arbitrary and of \veal{e11 i11g tl1e i 11ti 111 idati01 1 val 11e of tl1e JJe 1 1alty. 2. _Tl1e syste� of fi>e:ecl pe,ialties adoptecl b)' tl1e legislators of tl1e fre11cl1 revolt1t1011ary per1ocl wl11cl1 co11sists i11 tl1e leo·islative deter111ination of the pen­ ,tlty. to be aJJjJliecl. to tl1e i11fractio 1 1 \xiitl1ot1t :1 1)' possible 1 11odification desigt:ed to fit tl1e JJerso 1 1al1ty of tl1e offer1der. Tl1is syste111 l1as tl1e adva11tage of be111g stro11g·Iy deterre11t a11cl tl1erefore of n1ai11tai11i1 10· t11e f11ll inti1nidation value of i11ef­ eve11 tl7 e IJe11alty. I Io\x a11d ever r l1as it tl1e t111just clisadva11tage 1g bei of 1 ! _ fecttial by 11 ot allo_\v111g tl1e JJe11alty to be fitted to tl1e offense co1nmitted b)' tl1e offe11der a11cl 111s cl1a11ces of refo1i-n. The A1odern System: Moder11 JJe11al law l1as e11deavored to borrO\X ' from both �ys�ei_ns; �1,tts tl_,e _IJ_e11alty i_s i11 IJrirci1Jle establisl1ed by tl1e legislature �tit di , idtt aliz e?. tive s1g 17 1 f1ca 1 xec 1tly ti 11: its e aJJJ lica tio 1 1 � the by the judge or �� _ tlie s1Jecifi� offe11der. r,11s allows for tl1e s11ccessive particiJJation of the legi_ slator, tl1e Judge a 1 1d tl1e acl111i1 1istrative at1tl1oriti es. The l'?.ole of tl?e Legislator: The lefislator e11 acts basic pe11alt.ies. Tl1is scheme 1 1ecessary

1

I•

•

Frejaville and Soyer, l)roit Criniinel 45-46.

,

TI-IE LEOfSL,-\ TfVE ROLE

313

�t1ara11tees agai11st arbitrar)' actio11 by jttclges, at least i11 tl1e se11se tl1at tl1e J ttdge ca 1 111ot sente11ce beyo11d tl1e max.mt1n1 JJerialt)' JJrovicled by la\x;. S t1 cl1 a schem_e also allo\vs for deterrence b)' provicl ing·, \X' l1e11 11ecessary, very severe )Jenalt1es. 111 estab·Iisl1i11g tl1e scale of JJe11alties tl1e legislator tries to set tl1e pe11alty accordi11g to tl,e seriot1 s11ess of tl1e offense.... Of cottrse tl1e legislator ca 1 1 establ:sl1 tl1is scale i11 a11 abstract way 011ly; tl1e _law, be�at1se of its ge11eral aJJJJlicatio11, ca11 1 1ot talce i11to accot1 11t all of tl1e part1c11lar c1rc11mstances of i11cli\ridt1al ::rffe11ders. Tl·1e la\v, exce1Jtional11r, talces 111to_ accot 1 !1t. certai11 give11 facts; for i11sta11ce it i11creases tl1e 1Je11alt;' of all !1ab 1 t11 al cr1m111als a11d, 011 tl1 e co11trary, mitigates tl1e JJe 1 1alty of 111i11ors. Tl1is !s c_alled ''leg·islative individualizatio11 o: tl1e JJe 1 1alt)r''. I-Io\xrever, the i 11 clividual1zat1011 operates only i11 relatio 1 1 to objecti\re criteria valid for a \vhole cateo·ory of fJerso11s a11d is 11ot really clirectecl to \vl1at is JJartic t1 lar i11 tl1e i11divi�lt1al offender.

TJ-IE PERSPECTIVE Of TI-IE LEOISL1-\TURE2 1-fe1irJ' 1-1art !11 deter111i11i11g _\vl1at de�cribecl co11:lt1 ct sl1all co11stit t1te a crime, a Iegisla­ tttre _mal<es r1ecessar1l)' tl1e first a11d tl1e 1 11ajor decisio11 abo t1t tl1e aJJfJrorJriate sa11ct10 1 1 f �r a violatio11 . �f its directio11. for it clecides tl1e11 tl·1at co111r11t111it)' co11de 1 n11ation sl1all be v1s1ted LIJJ011 acljttclgecl violators. Bttt tl1ere re111ai 11 l1osts of q ttestions abot1t tl1e degree of tl·1e co11cle11111atio11 a11 cl tl1e 11Jtt1re of tl1e autl1orized JJLt11 is1 1iTI e11 t, or treat111e11t i 1 1-{'.011 seq LI e11ce-of-vioI at i 011. Entar1gled \xritl, tl1e JJroblen,s of tl1e aJJJJro1Jriate ai1ns to be jJL1rst1ecl \X1l1ich are i11volvecl ii1 tl1ese q t1estio11s are jJroblen1s of tl1e a1J1Jro1Jriale assig11n1e11t of [JO\vers to mal<e clecisio11s i11 carr) i11s· o t1t tl1e ai111s. 1�o \X'hat exter1t sl1o t1ld the Iegislatt1re t111derta!(e to give bi11ci11g clirectio11s abot1t treat111e11t wl1icl·1 will foreclose tl1e exercise of a11y later cliscretio11? To \X hat exte11t shot1ld it depe11d, i 1 1stead, ttfJ011 tl1e j t1dg111e 1 1t a :1d cliscretio11 eitl1er of tl1e se 1 1te11ci11g cot1rt or of tl1e correctio11al a t1tl1orities wl10 \viii beco111e res1Jo11sible for clefen­ da11ts after tl1ey are se11te11cecl? 1

1

It is axio111atic tl1at eacl1 agency of decisio11 ot1gl1t to 111al(e tl1ose decisio11s \vl1icl1 its positio11 i 1 1 tl1e i11stit t1tio11al strt1ct11re best fits it to 111al<:e. Bttt tl1is, as will be see11, depe11ds in part t1po11 tl1e criteria \X l1icl1 are to guide decision. 1. Tl1e traditional cri111inal la\v recognizes cliffere11t grades of offe11ses, st1cl1 as felony a11d 1nisclemeanor, a11c n1oder11 statt1tes recog11ize differe11t degrees \Vitl1in tl1e g·rades. If tl1e crin1iral law \vere c?11cer11ecl ce_11trally \Viti, reforming crimi11als, tl1is \VOL1ld scarce:y be a1J!J_ro1Jr1ate: a co11f11�mecl_ p�tt), tl1ief may J1ave much greater 11eed o:· · r�for 1 nat1011 tl1an a 011�e-1n-a-l1fet1111e manslat1gl1terer. If tl1e tl1esis of tl1is p� 1Jer 1 s acceJJte�, l10\ve�er, 1t follo\vs �!,at grading is not only fJro1Jer, bttt esse11t1al; tl1�t tl1e leg1slatt1re 1s tl1e _ a1Jpro!Jr1ate institt1tion to do tl1e gradi1 1g; tl1at tl1e gracl111g sl1ot 1ld be do11e. \v1tl1 fJr1mary regard for the relative blame\xrortl1i11ess of offe11ses (a factor \vl11�l1,_ of cottrse, will take into accoL111t tl1e relative exten: of tl1e l1ar1n cl1aracter1st1cally do11e or threatened to individttals and, tl1t1s, to the social orcler b;' each tyJJe of offense); that the gradi11g should be deter1ninative of tl1e relative severity of the treatment authorized for eacl1 offe11s�. 1

2. .',.

1-Iart, The Aims of tl1e Criminal Law, 23 Law ind ContemporarJ' Proble,ns 425-427 ( l 958) .

314

1 I-IE SENTE\JCINO PROCESS

1 a s: 1n in re 11 e tio th 1es 10w qt s, 1se f(1 of far UjJ of 1g <it nl ra ?. o·1ve i st tell a ld i shou 11t tme l wh of le11 trea tl1e ity or rity seve ' o sible s ..., O e jJ of · e l a · SC e t h 11 d OW or. · 11ts to be favor me 11sh ere JJL11 sev e y l e d 1v rat nJJa co1 ? or . Are . · · ved . o at 1 ay b e 1n · o 1c� _ 1c I· I· f b u · t l1 1cl1 is 1! o 10 � ques p a 1s 1-Ier e p o11e _ s ? 1 t . qt1est1on, com1Jaratively le11ie1 _ 1 t s card 1nal aims sliou ld t 11s 0 11 l t1re . t Ieg1 sla · pre-e1n1· 11e11 tl 1\r for· tlie · . ,. ot1ld be seve1-e. e1 1o �g I 1 t o 1mp 1·es_s iiot s11 1ts e1 1:1 l1 s 111 Pu be its cardinal gttide. l 1_e grav1t_ y of d, t 111 m c l e_ ub tl1 11 J0 ttj 1� bt d, 111 1 1: p 's nt da 1 i 0111y ttfJOll tlie defet 1 �b_le bel av 1o r.. B_u_t t l 1e ult1mat; aim of 1 JJ� es 1!·r 1 ?f . � io at 111 e11 society's co11ct � l 1e treat111ent of T y. l1t b1 1s1 o1 es t r fo 11�g 111 tra ts p y l1t b1 1s1 1 coiiden1 11j 11g irresiJ0 e th ve l oJJ�e11t of e, de s _ o cl_ r� a11 fo th er tl1 r a , ge ur co e11 cl l 1 01 sl1 , re efo er critiiiiials, tli l 1ty of refo� rna t1?11, or b1 ss1 po tl1e r fo _ 11ce a l o\v Al . ity l ibi 11s JJ0 res tl·ieir seiise of ases becomes at tl11s jJ0111t, in c of 1ty ral 11e ge 1e l t i11 r cte ara ch of formatiot1 atio11 wil l J}Oint i11ex­ r de nsi co 1is T l . tlon a 1 er sid co1 11g idi err ov a11 otl1er wot�ds 1 ishment a11d 1ninimizir1g botl1 JJU1 al t i_ ca i11g 11�t i111i l e of io11 ect dir p 1 th� 1 i l y b ora t l1e occasio11s a11d t l 1e l e11 gtl 1 of 111 car,erat1011. 3. Sl1ot1 l cl tl1 e l egislature JJrescribc a si11gle definite a11d u11varying form of treatn1 er1t for eacl1 t;'JJe of offe11se? T1e a l 111ost 1111iversal jt1dgment of 111oder11 1 es of considera ­ t; Two 11ot. 1011ld l s it ea;t, at l y l 1ari ordi1 that, p is legal SjiSletns tio11s see111 to t111derlie tl1 is judg1ne11t.Tl1e first is t l 1e 11eed of maki11g tl1e treat111 e 11t fit t l1e cri1ne. Stat11tory defi1iitio11s of offe11ses are, of necessity, higl1ly genera] categories coveri11g a l1ost of varia1it circu1nsta11ces w l iicl1 are releva11t to tl1e blarr1eworthi11ess of 1Jartic11lar cri1nes.All tl1e circt111ista11ces whic l 1 are relevant i 11 a JJartict1lar case ca1111 ot be l<110\xr11 t111til tlie case l1as bee11 tried.Tl1e seco 11d tj'IJe of co 1 1sicleratio1i is tl1e 11eed of mal<i 1 1g tl1e treatment fit t l 1e cri1ni11al, so as to ta l<e i1 1to acco1111t not 011ly tie l<i 1 1d of t l1i11g lie did, but tl1e ki11d of jJerso 11 lie is. 0 11ly i11 tl1is \X,ay can iOOn1 be allowed for t]1e effective j)la)', 011 tl1e basis of i11divicl11al ized judgn.· e11 t, of t l 1e cri1ni11al la\xr's Stlbordi11ate ,1i111s of refor1ni11 g offe11 clers 01· of di;abli11 g t l 1em \'X'l1 ere a s1Jecial period of d!sabl e�11e11 t see111s to be 11eeded. Bctl 1 ty1Jes of co11sideratio11s ir1 dicate tl1at d1scret1011 sl1ot1 ld be left to trial cot11ts or correctional at1tl1 orities, \xritl1 respect botl1 to. tl1e tj1 JJe of treat11!e11 t - fi11 e i1n1Jriso11111e11t 1 1Jrobatior1, or tl 1e like a11d to its exte11t or durat1011. �- Sl1011 l cl t l 1e l egis l atL1re fix tl1e n1,txin21,1,ni JJL111ish111e11t, or tl1e 1naxi111t1m s�ver1ty of tl1 e �reatn1 e11 t at1tl1orized, for partict1 l ar t)'!Jes of crin1es? Basic con· s1_clerat1011s �f l 1bertj' as well as tl1� logic of tl1e aims of tl1e cri1nir1al I a,x, d �tate tl1at 1t sl1ot 1 l?. Me 1 1 sl1ot1lcl 11)t be JJttt to deat l1 or i1n1Jriso11ed for a ci: 1n1e .11nless _the__ leg1slatL1re l1 _as s,111cto11ed tl1e 1Je 11a l t;r of deatl1 or i1111)rison· 111 11� for tl,at ci tt11e. �ve11 \xr_ 1tl1 res1Ject to 1Je11alties of a11 al1tl1 orized t) 1 pe, the ITic:lXltlltttn . of t lJe 1Jer111 1tted f111e or ter11·1 of i1111Jriso11111 ent s l 1ot1ld be fixed by la�,.Otily 111 tl1 1s way ca11 tl1e i11tegrit{ of tl1e leo·islatt1re's scl1en of gradt1ation ie ?f Offe11se_s a�1d of t 11 e 1111de rl)' ir1g }Jti 11c iJJ1e tl1 at IJ er1alties s11o 11ld corres! )o11d 111 �on,_ e fas11 1011 t� tlie _ degree of b la111e\x,ortl1i11es s de of fe ts' co11dt1 ct be 11d a11 111 a1n ta111 ed 111)' 111 tl1 1s "v' ay ca11 1·00111 be a 1 l o\x,ed for ,v'. a01Je r · ben ef1c t e11t l 1e · 0 . . eoi ·ies of refor111 at1011, · 11, 0f tli t10 5 ie wl1ie s l 1t1tti11g 1 e1 r1d tl· 1 t clo e tl1 or t o ei r e c ._ t O\':Jard crt1elty. . 5. S I 1 ott Id t 11 e Ieeris I '·t tLt re IJ_ 1.e.scri· t t1 . 1n; 1 e ie e 1111,rz irnu tl . m. or JJt11 1me 11s nt, l , n i111t1111 severity of tl.,eb treat rne11t to . . m es be Tl,e jJroblen1 I!ere is to 111al<e s11re inetecl ot1t, for partictr l ar ty p es of cri ,;io· ra th at so ci et y th do e es de 11o te JJr 0 a t · ec i ty o·f 1·ts o,x,11 Jttcl cr111e11 ts of co11 r1 t d etn1 t· . 1011 se� � t tl1ro b)' 1gl1 tl1e O itnJJ :n. n sitio t·I::,�;..0 Pfi_t. io· na ci 11cr jtid o·es of ct:� 1 te ly tn 1 via l pe na in lti es . of V et , th e virtues ualizatio; have , t o. Ptrlia1Js a s11s1Je11ded JJrisor1 se11te11c e,d \�vIt�·1 !Jrobatio11, 11, ay be tli� ��:� fot�in of , r ere tre atn 7e1 1t 11rd . eve11 for a cor1victed 111 ,ls it certai i1 ly rna:y1 lJe f 01. a coi,vrc t ej 11 1a11slat1g l 1terer. . . .

�-. :

'

•

315

TI-[E LEGISLATIVE ROLE

.

?·

lr1 cases in wl1 icl1 co1 1victecl fJerso11 s are to be se11 tenced to a term of 1mp�1so11me1 1t, l1ow sl1ot1ld f)ower be divided betwee11 tl1e se11te11 ci11g jttclge (or Jtlr)r ) a11d JJriso11 a11d JJarole at1tl1orities i11 cleter1ni1 1i 11 g tl1e actt1al dt1 ratio11 of tl1e incarceratio11? NO f ES Note 1:

The Competing Policies Underlying a Sentencing StrL1cture

Be1 1tl1a1 11, 011 Pt 1 11isl1n1e11 t3 Puni �h 1 11e11 ts may be too s1 11all o r too great; a1 1d tl1ere are reaso11s for not mal<111 g tl1 e1 11 too s111 all, as ,veil as 1 1ot 111al<i11cr tl1 ern too o-reat. Tl1 e terms 1niriim1,1rn and nzcixin1.14n1, n1ay serve to 111 ark: ti,; t,vo extre1 n�s of tl1 is qt1estion, wl 1 icl·1 reqt1ire eqt1al atte11tio1 1 .

, • .'

. \Vitl1 a vie,xr of marl<i11 g ot1t tl1e li1nits of jJLt11 isl1111e11t 011 tl1e side of tl1 e first of these extremes, ,x,.e 1 11 ay la)' it d o,v11 as a rt1le:

•

I. That tl?e VLt.!1te of the JJ1,t1zishn1e11t 17.ust riot be less i,2 s1,fji'cient to outweigl? tl1at of tl1e profit of tl:;e offe,2ce.

L

t1J1)'

c,ise th,1n 7.v/1at is

By tl1e profit of tl1e cri 1 11e, 111 t1st b� 1111 derstood ri ot 0111 )' pecL111iar)' 1Jrofit, but ever}' adva11 tage, real or afJfJare11t, ·\vl1icl1 l1as OJJerated as a motive to tl1e com 1 11 issio 1 1 of t11 e cri111e. Tl1e fJrofit of tl·1e criine is tl1e fore� ,vl1icl1 t1rges a 111 a11 to clelinqL1ency tl1e JJai11 of the fJU 1 1isl1 111e11t is tl1e force e1111Jloyecl to restrai r1 l1i111 fro1 11 it. If tl1e first of tl1ese forces be tl1e greater, tl1e cri111 e \viii be co1 11111 itted; if tl1e seco11 d, tl·1e crin1e ,xrill riot be co1n111i:tecl. If tl1e11 a 111a1 1, l1avi11g reapecl tl1 e profit of a crime, a11 d Lt11 clerg·o11e tl1e fJL111isl11 11e11t, fir1 ds tl1 e for111er more tl1a11 equivale11t to tl1e latter, lie \Viii go on offe11 cli11g forever; tl1 ere is 11otl1i11g to restrai1 1 l1im. If tl1ose, also, wl1 0 bel1old l1i111 , recl<o11 tl1at tl1 e bala1 1ce of gai1 1 is in favour of tl1e deli11qL1e 1 1t, the fJt111 i,: l1 1 11e11 t \x,ill be L1seless for tl1 e fJL1r1Joses of exan1rJle....

,. •• " '

Rule I I I. Whe,z two offe1zces come iri ;0111petition, the p1,f,1zisl11ne1it for the greater offence raust be suJ1ficient to induce a man t� prefer the less. T\XIO offe11ces 111 ay be saicl to be i11 cor11JJetition wl1 e11 it is i11 tl1e fJO\X- 'er of a,1 i11dividt 1 al to con1mit both. Wl1e1 1 tl1ieves breal< into a l1ot1s�, tl1ey 111ay exect1te tl1eir JJLtrfJOse i11 different man11ers; by simply steali11 g, �.Y tl1eft �cco1 11pa1 1ied \xritl1 _bodily i 1 1jt1ry, or mt1rder 01· i11cendiaris111. If tl1 e JJt11 11�l1111e11t rs t]1e same for s1m1Jle tl1eft, as for tl1eft a;,d 111urder, yott give tl1e tl1iEves a n1oti_ve_ for co111 111 itti11 g 111t1rder, becattse tl1is crime adds to tl1e facility of con1n11tt1ng tl1e for111er, a1 1d tl1e chance of imfJLtnity wl1e 11 it is con1n1ittecl.

,

The great i11co1 1ve11ieJ1ce rest1Iting fro_rn tl1e _i1 1flictio 11 _of great fJL111isl1me11ts for small offences is, tl1at tl1e power o f 1ncreas11 1g tl1en1 1 11 JJro1Jortio 11 t o tl1e magnitude of tl1e offe1 1ce is tl1ereb1, lost. }

Rt1le IV. The punishment sl1ould be adjusted in sttch nianrier to eacl? particular

offence, that for every part of the miscl1ief there may be a moti7Je to restrain the 3.

.

'.' ;.

'

Bentham, Principles of Penal L.aw, in 1 Bentham'; \Vlorks 399-402 Bowring ed., 1843).

316

TI-IE SENTEN:INO PROCESS

tl1e 11� adjusti f)Uni mple, in exa fer sl1 t1s, 1 Tl it. ment to birt/1 -1 • iv . fffend(r tom g •;J shme l e pun t n the agn1 of tude i be deter n the t l oney n of _or S et inrha a�aun t of the ;urn stolen. If for stealing t en shillings an offende; 111 1ed ' e tl1e of ai1 rem 1i11g five !lS rJ)ll111S. 1'i1ed 110 1,,ore tt1a11 for stealing five, tl1e steali11g · . l fJU111s 1men t 110 tl 1 1c 1ere 1s w 1 at h' or f all. off e11c e a11 is ,gs slii llit of tllose teti t ha is w an ce th 1ie re mo be to e cci 1ic ry ssa in t gh ou to nt ne 1 � 1 / riis pu e Th Rtile V. e ov ab les e ru tl1 f . O of .. en . giv 1e he opr les ru e th ? t/ wi , ,.tr'\ ",.,, rm , o . . n,r i co J o t · bri1· z a L·l i1z I t 1 f t o s . 1 1. . 1m l � t 1e m t ou l 1111 < m 1ar 1 1 to e rv un1 se ay m st fir tir fo . e !)Ortioti, tli . l1 1?e 111s to m1 t d1 no g! 1 t ot1 t ; ed �11 l11n 11i� pu tl1e a l1 1ic \vl xr lo\ be s ,it lii, e tli e_ sid ts 111 l11 e e ov th e ab n sid t1r x1m l 1na 1ic \xrl e tl1 1 on ts ni li1 e 1 tl it ot r1< 111a ll fiftl1 wi 11ot to be i11creased. it ot1a bl1t Tl,e mi11i1nt1m of }Jt111isl1me11t is :nore clearly marl<ed tl1a11 its 1naximt1m. Wl1at is too little is 1nore clearly obse�ved tl1a11 what is too much. \Xfl1at is 11ot sufficie11t is easily see11, b11t it is 110� fJO,sible �o exact�y_ to_ disti11guisl1 a11 excess: e l1e _ t forc 1n of te1n1)ta­ 1es ar1t g�l 1rre 1 Tl � d. a111e t at_ be ca11 011ly 1 tio1 i1na rox aJJfJ a11 tio11s co111pel tl1e legislator to 111creaS= 1 1 1s pun1sl1ments, till tl1_ey are merely sL1fficie11t to restrai11 tl1e ordi11ary desi�es of men, but also tl1e v1ole11ce of tl1eir desires \Vl1e11 t111usually excited. Tl1e greatest da11ger lies i11 a11 err ,)r 011 tl1e rni11imt1m side, because i11 tl1is case tl1e {Jt111isl1111e11t is i11efficaciot1s; ·)ttt tl1is error is least lil<ely to occur, a sligl1t degree of atte11tion st1fficing for its escape; a11d \xrl1e11 it does exist, it is at tl1e sa111e time clear a11d ma11ifest, and easy to be remedied. An error 011 the 1naxin1i11n side, 011 tl1e co11trary, ls tl1at to wl1ich legislators a11d me11 i11 ge11eral are 11att1rally i11clinecl: a11tiJ)atl1 :7, or a want of cornJ)assion for i11dividt1als \Vl10 are re1Jrese11ted as da11gerot1s and vile, fJt1sl1es tl1em 011ward to a11 u11due severity. It is 011 tl1is side, tl1erefore, 111at \Ve sl1ould take tl1e most precautio11s1 as on tl1is side tl1ere l1as been sl10\xrt1 tl1e greatest dispositio11 to err. By way of supplement and ex1Jla1atio11 to tl1e first rule, a11d to make sure of givi11g to tl1e 1Junisl1 me11t tl1e SUJJcriorit:)' ove1· tl1e offe11ce, the .. . foll o\v­ i11g rttles 111ay be laid do\xr11: Rt1l_e VII. T�at the v�l1-1e of tl1e pu1zishme11.t 1na:J 01,f.t·weigh the profit of the ojf�11ce, it n1it�t be i1zcreased 1.1i poi 11t of mag1zititcle, i1z p,·oporlio1z as it falls short in poznt of certairity.

.

Rtt�e VIII. Punish1ne1i� n11,{.st be fitrl�er irLc1·eased iri point of 1nagnitude, in propor_ tion as it ft:-lls short. in poz7:t of proxin11ty. Tl1e profit of a crin1e is co1n111011ly n1ore certa111 tl1a11 its JJ_t1111sl1 111e11t; or, \xrl1at amot111ts to t11e san1e tl1i11a, apJJears 0 s to t�1e_ offe11d�r. It 1s �e11erall:)' �11c,re in1n1ediate: tl1e tern1)tatio11 to offe11d is � JJI e_se11t, tl1e JJt1111sl1111e11t 1s at a d1stt11ce. I-Ie11ce tl1ere are t\xro circt1111sta11c es. \vl,icli weal<e11 tl1e effect of JJt111isl1111t:nt, its u1icertainty a1 1d its distan ce.

JJ

Wecl1sler, Correctio11 U1der tl1e Model Pe11al Code of tl1e A111erican Law I11stilt1te4

1 11. tl, e legislatLire declares condt1ct to th e cri111i11al it affirtns a JJLtrp ose '% t f I lt �11� to meet �efi�11_ce of the e111 11afJr oh co ib 11d iti o1 1 1n tl1 or by e al tf011°�f co c o d a J ta; dt ct ou s lJ? pl th ic e at io n of th th sa at e nc tio ns ; provides l�� \� �\ �/1at i_s � �1na11ded tl tl1a ts tl1 at . tl 1 e ca st di sp os so iti o1 be 1 ; e gravity of does 11ot cleprecia�e ti tl1e offe11se1 wl1 atever tl1 at may be, a11d tl-iUS · 4.

Wechsler, Correctio11 U11dcr tl1e Model Pen;l Code, ·109 U. penn sylvan,..a L. Rev. 468 -469

(19 61),

THE LEOISL.\ TIVE ROLE

317

imp]y a lice11se to cotnmit it. Bttt 11 0\xr 111t1cl1 1nore tl1a11 tl1is tl1e JJrol1ibitio11 shot1ld be take11 to co11 11 ote is obviottsl)' i11 cleter111 i 11 ate. Deterre11ce (botl1 ge11 eral a11d �pecial), i11ca1Jacitatio11, a11cl correctio11 are all jJOssible objectives of .tl1e sa!1 ct1011s tl1 at 11 1ay be e1111Jlo)red i11 deali110· \vitl1 offe11ders; all are 1nea11s to crime jJreve11tio11 a11 d as st1cl1 are e11titled to be \X1eio-l1ecl. Bt1t 11 ot eve11 cri111e preve11 tion is tl1 e sole valt1e to be servec. Tl1 e rel1 abilitatio11 of a11 i11 dividt1al \Vl10 has i11 ct1rred tl1e for111 al co11clem11atio11 of tl1e la\v is i11 itself a social valtte of i1nporta11 ce, a value, it is \,,ell to 11ote, tl1 at is a11d ot1gl1 t to be tl1e 1Jrime goal of �orrectio11al adrni11istratio11 a11cl tl1al ofte11 will be sacrificed u11dt1ly if tl1 e cl101ce of sa11 ctio11s is dictated 011ly by deterrence. fi11ally, it st1rel)' is itn/JOrta11t tl1at tl1 e_ deprivatio11s i11 cicle11t to dis1Josilio11 s 11ot be arbitrary, excessive, or dis­ proport1011ate, 11 1east1red by tl1e co1111non se11 se of jt1stice. A 11 cl arbitrari11 ess, I scarcely 11eed add, 111 ay i11l1 ere 11 ot 011ly i11 disti11ctio11 s dra\v11 a111011 g· offe11ses or offe 1 1ders t11Jo11 i11 st1fficie11 t grott11cls bttt also i11 tl1e abser1ce of disti11ctio11s wl1en st1bstantial grot111cls for 1nal<i110- tl1e1n arise. Tl1e Cocle sets fortl1 tl1ese multiple objectives i11 its state111e11ts ;f tl1 e JJt1r1Joses of the fJrovisions 0o-over11 ing tl1e se11 te11 ci11g· a11d treatn1e11 t of off�11 ders.... s The

Note 2:

lndeter111inate Ser1tence

United Nati 011 s, DeJJa rt111e11 t of Social Affairs, Tl1 e I11deter111i11a te Se11 te11 ce6 •

•

•

•

\Ve mL1st 11 ot forget tl1at t! 1 e i 1 1deter111i11 ate se11 te11ce, lil<e Jar1t1s, l 1as t\'vO faces. Tl1e first object - \Vl1 icl1 is also : 1 istorically tile first if \ve cor1sicler its applicatio11 i11 1noder11 times - is tl 1 e possibility to exte 1 1cl a IJenalty for as 1011g as tl1e 1Jerson cletai11ecl co11ti11t1es tD co11 stitL1te a cla1 1ger to society. P..s tl1e Norwegian Re/JOrt states, i11 cleter111 i11ate se11te11ces \xrere i11 11Josecl "solely for reaso11s of jJttblic safety; se11 te11ces of tl1at 11 atL1re \Vere 11ot i1 1 flt1e11ced b)' co11siderations of tl1e n1 ost a/JfJro1Jriate trea1r11e11 t." TI 1 is attitL1cle, 111ost 1Jro111 i11e11t in tl1e aL1tl1oritarian systen1 s, is 11 0 lo1ger tl1e ge11erally acce1Jtecl apJJroacl1. 5.

6.

'·

•. � .

Sect. 1.02 reads as follows: "Purposes . ..

.. . -

(2) The ge11eral purposes of the provisions governing rl1e sentencing and treatment of offenders are: (a) co prevent t.he con11nission of offenses; (b) to promote correction and rchabilitatio:i ?f offend_crs; . . or (c) to safeguard offenders against excessive, d1sproporr.1onare arb1tra1)' punishment; . . (d) to give fair warning of cl1e nature of the sentence's chat may be 1n1poscd on conv1ct1on of an offense· (e) to differentja�e an1ong offenders witl1 a vie"' ro a just_ individualiz�tion in their treatment; (f) to define, co-ordi11atc and harn1onize tb.e po"'.ers, duties a?d fu�ct1ons of tl1e cot1rts ancl of administrative officers ancl agencies 1cspo11s1ble for dealing with offenders� (g) to advance the use of generally accepted scientific methods and k_n owledge 1n the sencencin<Y and treatment of offenders; . . (h) to iotearate responsibility for rhe adruinistrarion of cl1e correctional system 111 a State Depart�cnc of Correction [or orl1cr single department or agency].

e, sec 23 l F�r · s�ggestions of H. I-Iart as to modification of Sect. 1.02 of cl1e Model Pena Cod Law and Conte,nporary J:Jroble,ns 440-441 (1958). s: (1) coral U.N. Publ., ST/S01\/SD/2 p. 35 (1953) . Tl1e leindererminate sentenc_e" has _ r,vo mean1�g indeterminacy in w]1 ich rhe legislature does not ;e� _any length for 1n1pr1sonn1cnt leav1ng co_n1plete discretion in the judiciary and correctio�al aurhor1c1es, and (2). the n�orc . common n1_�an1ng . _?f period. of 11npr1son111ent leav1ng pa, �1al cl1e for the term, in which che legislature establishes bound � _ _ the �on1p�rat1ve For r . tl1er 1n w1tb se � discretion in the judicia.ry and correctional authcr1t1es to choo application of the indeterminate sentence, see ibii at pp. 27-36. For �entenc1ng altc� ·nat1,,es 1_n_ tl1e P.C.E., i e., simple a. o d rigorous imprisonment, capital and corporal pun1sh1nenc, probac1on, cond1t1onal release, etc., see Chaps. 15 and 16 infra.

THE SEN-rE :�CINO PROCESS

318

n f o n io p ct e u th ed r t e th ts s: r u es t e i ch � hi n w al ct e y j b o r e th o e th ay is it d o T v e� d s tr se ve . o e � ve ab h o W pr m t e s rt o i f � e e n th � w o 's er nd e ff o e through th de_term1nate sen ten c 1� e e of th s at ?c v ad n ca n e m e, � t s r fi e . th of es iv ct obje t, a rs fi nt se e� e ag r� st g th c in en w llo fo e 1e tl 111 of d 1e fi1 de be d ttl co whicll 1·ove; seco11dly, the � 1m e to m ti e: . t�d fe cf 1e tl 11g vi gi ii,determii,ate duratio11, y, a dl ob 11r pr tl _ d l; an 1d ua 1v io 1 �d _ at 1 i11 as r na e<:I ew vi y er 11d fe of e 1 tI of tl io edttcat he ill at w tl1 � ov et pr g m to 111 1� om id pr s l11 his tl JO tlf er 11d fe . of e th release of se l1e . � �, on ar s1 v1 er d 1p st ue 111 de 11t in co t? �t , je ed 1b st le l1i w e, as le re r te af s way rm te de e 1n th th s te bo rd 1na ga re __ as n, 1o n­ at se 1sl 1eg 11 er od 111 y er ev of s tl,e aim . . . . e as l le na re 1o 1t 11d cJ d an 11, io at ot 111 1 co te11ceI i11 its strict ion lut e of so th rn ce the dis to us ow all prin­ 1s io1 rat ide 11s co se tl1e r ve Moreo in 1 r11 the ete to nd i _ ard ate sen­ reg in en ris a _ s ha h 1ic wl n1 ble pro cifJal qualitati�e eed s ha ind en It oft y. ers ov 11tr co been de wi ked vo JJro l1as l1 1ic wl a11d tence as d an act of le11ie 11. we vie be t1ld sho ce tc11 sen te i11a rm ete i11d tl1e er asked \Vl1eth cy or conversely, as 011e of severity :owards tl1e offender co11cerned. fro111 positive ex1Jerie11ce, it is cea r tl1at it is, or can be, either. Tl1e prob­ le111 is 11eitl1er 011e of legal defi11ition nor of sociological qualification, but solely 011e of cri111i 11al !JOlic)'· Tl1e i,1jeter1ninate se11te11ce ca11 be used for tl1e si 11gle JJur1Jose of 11eutralizing or elitninati11g the da11gerous offender. A11d it ca11 eqt1ally well be a1Jplied as a meai1s of 1Jrovidi11g a curable offender witl1 re111edial a11d re-edt1catio11al treat1ne11t IN RE LEE

S1,tpreme Court of Caliprnia, 177 Cal. 690 (1918)

U11iied States •

•

•

•

. . . . It is 11ecessary to co11sider the nature ancl JJLtrJJOses of the indeter­ n1111ate �e11te11ce law. It is ge11erally recog11izecl by tl1e courts a11d by moder11 penologists tl1at tl1e pt1r1Jose of tl1e i11deter111inate se11te11ce law like otl1er n1oder 11 . la\xrs i11 rel_atio11 to tl1e ad111i_:1istrati?n of tl1e crin1i11al law, i� to mitigate tl1� JJt11�1sl1111e11t \Vl:1cl1 \X10t1lcl otl1er\v1Se. be 11111Josed tl}J011 the offe11der. Tl1ese laws pl�ce e1n1Jl1�s1s t11Jo1: t�1e reforn�at1on of tl1e offender. Tl1e)' seek to rnake tl1e l�L1111sl1111�!1t fit. th� cr1�n1nal . ratl1er tl1ar1 t_l1e cri 111 e. Tliey etideavor to fJUt befot e tlie P1 1s011e1 �1 eat 111ce11t1ve tc \X1ell-do111g i11 order tl1at l1is will to do \xrJ:ell s�1ottld be. co11'f1r1ne� a11cl stre11g_tl·1e11ed b)' tl1e l1abit of \\:,ell-doing. Instead 01 try�i,g to b� eal< tl1e \V_tll o· � t l1e of·e11der a11d 111al<e hi111 subn1issi\'e, t11e fJUf· �����-5 . 1 st1 engthen his will to do right and lessen his temptation to do �. Q11estions

1.

Wl1apt c is tl1?e role jJlayed. b)' ti�e I egis .· 1 ator 1n · tl1e se11te11cing process u�d�r tl1e E.. WI . 1y 1ias t_he leg1sl,tor assu1 ned such a role? Does the ri�1d establisl; m nt of penalties an� h _ e at!fl ent by legi s lators or crreater indiv1d· ualizatio � es os e p p he ll ur ut lfi d e f t d be r te t u t��eU�!n�7 C ao �tlllSTaltv a horiti s embodie� d Are tl1e cot1rts or tl1e legi·s1 t·t v ·f­ 1 a pro � ces � s better suited to establishing . ferent degrees of !Jenalty fo1 d ins Iue re11 or t . tyJJ es of er·tmes.? Do Ieg1·slat dl. vi·ctua 1·tze IJU 1 11sl1me11ts to any degree?

ix

2.

r=> . ·

THE LEOISI_,-\ 1·1vE ROLE

3.

4.

319

I-low m L tcl1 discretio11 sl 10L1ld tl1e leo-islator leave to judges ar 1d ad1nini­ str�tors? Ho\v n1L1cl1 has bee11 left t11;der tl1e P.C.E.? Wot1ld it be wise for legisl�tors to f)rovicle co1111Jletely i11deter1ni11ate se11te11ces for s01ne cri t nes _ or cr1 n11nals (see Art. 136 P.C.E.)? Sl1ot1ld legislators establisl1 a rnaxin1t11 n pe11alty for eacl1 cri1 ne? A 1ninimt11n JJei1alty? \Xll 1at are tl1e in11Jlicatio11s of the l)Ositio11s tl1at yott asst11ne? Do yot1r a11 swers to tl1ese qL1estio11s cle1)e11cl t11Jo11 tl1e goals tl1at yott \visl1 to 11111Jle111e11t? Wl1at soltttions l 1ave bee11 acloJJted by tl1e P.C.E.? Proble1n

. As a legislator, )1 0LI are asl<ed to state your opi11io11 \vitl1 respect to the !Jur11sl1!11 e�1t tl1at sl1�t1ld be legislatively JJrescribed for tl1e follo\vi11g offe11ses 11 1 Etl 11 01J1a: defamation, ra1Je a11d auto111obile tl1eft. . Set out tl1e pri11ci1Jles 11 po11 \Vl1icl1 yot1 made tl1e above decisio 11s botl1 \v 1tl1 res1_Ject to t_l1e forrn of JJe11alty (i.e., 1naximum-1ni11i111111n) a11cl tl1e dif­ fere11 ces 111 jJe11alt1es a111011g· tl1e tl1ree offe11ses. _ fi11ally, slate yo11r reaso11s for s111J1Jorti11g or rejecti 11g a syste111 of basing p�1n1sl1ment 011 tl1e _ 11at11re of t!1e crin1e co1111nitted. If yo11 reject s11cl1 a system, d1sct1ss tl1e alter 11at 1ves tl1at m1gl1t be available to tl1e legislator. SECTION 8.

THE JUDICIAL INDIVIDUALIZATION OF PUNISHMENT

a. The Role of the ]1-tdge TI-IE INDIVIDUALIZATION Of PUNISiitvlENT 7 Ray1norid Saleilles

T.J,pes of individualizt1tio,1 .... On \X1l1at basis sl1all tl1e i11dividttalizatio11 of

jJLI r1is l1 me11t IJ ro ceed? T l1is qLt es tio11, i1 1 t11 r11, i znjJ I ied a seco11d, c IoseI y a11ied to it: By wl10 111 sl1all tl1e ir1dividualizatio11 of jJLt 11isl11ne11t be 1nade? Sl1all it be done i11 adva11ce b)' tl1e la\v? If so, it jJroceec!s 111Jo11 fJresumptio11, i11 ig11ora11ce of tl1e indivicluals co11cer11ed, a11cl 11po11 tl1e jL1dg111ent of tl1e111 tl1ro11gh tl1eir actio11s. It groLtJJS tl1e111 accorcling to JJrescribed classes, arid tt ndertal<es a1JIJrox­ imately to set tl1 e 1Ju11isl1111e11t a11d to adjL1st it to tl1e i11dividual cri111inal.Tl1is woL1ld be a system of legal i11dividt1alization. On tl1e other ha11cl, tl1e judge is co11fronted 11ot by an abstract and name­ less individ11al, b11t by a11 actL1al cri111inal co11sci_ot1s of l1is crime a11� its signif­ icance. SI1all tl1e j11dge then 11ndertal<e tl1e adJt1stme11t of tl1e fJt1111sl1ment to the meas11re of sltrvivino- morality still available for reform a11d moral rein­ state1nent? Tl1is would be a system of j t t dicial individL1alizatio11. Or sl1all we go farther still a11d leave tl1e individt1�lizatio11_ to tl1� priso11 authoritie s, on the ground tl1at tl1ey can observe tl1e 1Jr1 so11_er 111 conf1nemen�, �arefully adjLtst the [Junishme11t to tl1e � rogress 1nade, �11_d 1,11 dL1e course 01n!t It when they consider tl1e reform establ1sl1ed a11d rel1ab! l!tat1on sec11re?_ for It m�y be found that t}1e judge is 11ot in a_ favorable JJ?s1t1on to apJJreciate _tl1e criminal, because he knows nothing of 1 11 111 b11t tl1e single fact of tl1e crime 7.

t

Saleilles, The lndivid1ta iization of Punishment 12-13 (Jastrow translation, 1911).

TJ-Il: SENTE\JCI!'�G PROCESS

320

c i m L g 1 i11 1Ja 1y m t �ir co h i ac w i 1 c tl t its s l al ow 1 l<r , co111111itted; 1 1d t llotig11 J1 e 1tici Jati11g t l1e (JrolJable effect of JJt1n1 sh1n sta i e . e11t 1• • 1 a for s i· bas Tl·ii�s' t� c t e . 1 1 • • o · I 1e l1 as 11 · · 1 ve 11 1d 1 v1 dLta 1 1zat101 1. at r t 1s 1 1 11 ln ac of n ei \X/Ollld . be a S)' St . 1 are the i111J Jorta 11 t is sttes; yet there 1 Suc : ools Sch tl?e 1 s: a , is d Objecti e · 1esti?11 o-f a1JJJlicatio11, :<1l1icl is beset \,,ith q1 l s�1c 1 1 tl1a t 11 a ort J � ai,otl�� ,���;; j 1111 t 1011 sets fo r th a11 1mpo1 ta11t trLtth or J ce cor c ssi cla e 1 Tl1 • s ibt dot · . • co11sc1·e11t·1 o Lts 11cl1 SllOll Id' be C I ear I Y �r�sped . 'l'he t th trt �J S, t \XIO , elf rat t ct. ac to SJJeal< tnore e rso�al1 t_ y of th_e �r1m 1nal the evil _1J f o 1e 1 ) t 1t 1 1 e 11d Je e1 11d 1 1cl a1 lf se t 1 i j fir st is tl,at 1 t o t l1e ro1:111�u11 1t,y wl11ch 1s _tl:e v1ct1 n1 of_t l1e criine. r)' 1jtt 1 i al 1 t t ac 11 a s rie car doi,e 1 11 a11:r: rel1 g1 0\IS or pl11 Ioso1_ Jliical 011 1 1at erJJ an 1 1 1 fro rt �1Ja ite t qt Tli is irijLiry, . h � e _ sc1 1 . c 1 l 1ce con pt1b e 1 tl b)' ow de� nan de1 1f 1 _ 1 ct!o s�a t t1 sa a e se,,se, requires coiisideratio11 o f tl1e 11 1d1v1dt1al prev11 I s above t l1e reparat1011, wi ll not the JJ o licy eiicottr,1ge otl1ers to co1!ti1 1uE i11 � cri1:1inal career� A 1 1d . for soci et1,, \xrill tlii s 11 ot fJrocl11ce a n1oral d1 sorde� w_I11cl1, l1k_e a contag1 ot1 s d1s_ea�e, t e11ds to s1Jreacl? A 11 additio11al qt1 er� or ob)ect�o1 1 aJJ(Jl1es; �amely, tl1e d1ff1ct1lty of divest i11g t l1e o rdi 11ar)'. co1 1cetJt101 1 of_Jt1�t1_ce from a �ind ?f abstract 1:7atl1ema­ tical eqttality. Accord111gly, tf two 1nd1v1 duals receive d 1ffere1 1t pu111 shme11ts for tl,e sa1 11e offe11se or are differently treat ed, it wot1 ld seem as tl1ot1gl1 equity !1ad bee11 clisregarded, a11 d tl1at caprice l1ad re1Jlacecl jtistice. How sl1all tl1ese exacti11g reqtt irements cle111a11decl b; society be reconciled to t l1e equal!)' i11dispe1 1sable 11ecessit)' of tal<i 11g accJunt of tl1e i11dividual? How sl1all tl1ey be rec o11cilecl t o tl1e lil<e 1·eqt1ireme 1 1t, of JJrOJJortioning tl1e pu1 1isl1n1ent, not to tl1 e objective cri1ne commi tt ed or to tl1e tnaterial i11jur y · do1 1e, bt1t to the i1 1l1erer 1t cri1 11inalit y of tl1e crin1inal, tJ s t1 ch latent or real cr i1 11i11ality as 1nal<es l1 i 11 1 cla11 gero11s to l1is fellowme11? Iioxr, i11 brief, sl1all they be adjL1sted to tl1e degree of 111orality, or if we n1ay say so, of 1101·mality, a11d t o tl1e JJr o spects o f reg·e 11eratio1 1 \xrl1icl1 it l1olds ot1t? ;t1cl1 are tl1e several a s rJects of tl1is very : Iarge JJroble1 11 of tl1e i11dividualization of pt111isl, ment .

TI-IE PERSPECTIVE Of TliE COURTS8 Herzry Htirt •

•

•

•

A judg·ment of convictio11 l1avi11 0- bee11 e11tered tl1e trial judge n1ust next face tl1e l1arsl1 realities of in1 1Josition°of se11tei,ce. ' If wl1a� l1as be�1 1 said is correct , tl1e j11dg·e, in doi11g· this, sl1ot1ld be gt1ided b)' t\vo tna111, a_ 11d 111terrelated, objecti\res. first, is tl1e overrid 11 0· 1 1ecessity of i a sei,teiice wl11cl1, tal<e11 togetl1er \Vitl1 tl1e j11do·n1e 1 1t of co 1 1victio11 itself 1 ade­ qt!ately ex1_ Jresses t l1� co111n1L111ity_'s ·,ie\xr of tl1e g·r av i t y of tl1e d efen da11 t's tnis co i,�tt ct. Seco_11d, ts tl1e r1ecess1ty of a se11te11c rable \XT fa e l1i vo cl 1 be \xr as ill a_s IJOSSible, co11 s 1s�e11tly \xritl1 tl1e first objective bilita ­ re to l1a tl1 e de 's 1d t fe 1 a1 1 ti?11 _as a .res1Jotistble_ a11d ft1 11ctio1 1i11g· n1 e 111b�r of l1i s co1 11111t1nity. The fir5 t ?Ject ive st.i esses t l1e 11,terests of t l 1e cornn1 . u 1 1it), b11t it do es 11ot ignore th e i � terests 0 !. tli e defetida11t as a11 ir1dividt1al, si1 1�e l1is rel1abilitatio1 1 reqtiire s l 11s recog111t1011 of co111111t1111·tY 111 · teres ts a11d of t l1e oblio·atio ns of co1nn1L111ity · 6 11fe . Tl,e se�otid stresses tlie i11terests t bu of tl1e· defe11d ua l; ·1 t does 11o t 1 g1 1ore t 1d iv · a1 id 1t cas a1 1 i1 · l1ose. of tlie 01 111 1111· tY s_ 11 e tl1e d t eres � t 1 1 i )' is 111it 11111 �� con , L � � . . i11 tl1e clefe,,claiit ' rea1 izat1·o11 of 1 11s po te1 1t1al1t1 es as a l1t1m 1 1 being a1 d i a tl1e c o 11tributio'.1s f,e 1 n cai, 111al <e to corr111t11 1ity life. 8·

I-Iart, The f\i1ns of tl1e Cri 11 1 inal L · aw, ac pp. 438-440 for fttrtll er stio �.�esrion · s �)unisl,ment.

? 3 La'.l'. and Cont 1 emporarJ1 Problems 437-438 (1958); se� 1·b·d f ° conceinii,g tl1 e role of tl1 e jud ge in cJ1 e indi,1 iduaJiz arion

�-· ,•

•.

321

THE JUDICIAL ROLE

Tl1e co1nmt1 nity's co11de1 1111ation of tl1e defe11 cla11t's co11 duct ca11 be exJJressed �11 four mai11 \vays: first, by tl1e legislatt1re's prior gradi11g ancl cl�aracterizatio1 1, 111 general tertns, of t l1e of·fe11 se of w: 1icl1 l1e l1as bee11 fot111cl g·t11lty; secortd, by tl1e trial jt.1 clge's forn,al exJJression of co11de11111atio11 of tl1 e jJarticttlar co11dt1ct, t� l<i11 g i11 to accot111 t all tl1e SJJecial circt1 111stances of i t; tiJird, by a deter111 i11a­ t1011 that the clefe11c l a1 1 t sl1al l be vt1l11erable to t1111Jleasant co11seqttences in t!?e future if l 1is bel1avior tl 1ereafter fai ls t) confor1 n to jJrescribed cor1clitions; a11d, /01,trth, by a determi11atio11 tl 1at t l1e defe11cla11t sl1 all presentl.J, a11 c l fortl1with t111dergo Lt1 11Jleasa11t co11seq11er1ces, suc l, as fi11e or i111 1Jriso11111 e11t. U11cler 1nocler11 stat�1tes, tl1e jL1c l ge's exercise of discrEtio11 i11 ser1te11ci1 1g \xrill co11sist largely of cl10 1ces abot1t t l,e t.1 se to be 111 ade of the tl1ird and fot1 rtl1 for1ns of co11 de1n11 a­ !io11. T!1is 1Japer \Viii 11ot atte1n1Jt a cletailed a11alysis of tl1e jt1clge's JJroblems 1n �al<111 g tl1ese choices, bt1t a fe\v br·oacl st1g·gestio11s i11 l ine \Vitl1 tl 1e ge11eral tl1 es1 s of t�1e paJJer 111 a)' be apJJropriate l y 1nade. 1. It i s first to be observed tl,at tl1e best JJossibili ties of a,, i1nagi11 ative a_n� effecti\re reco11 ciliatio11 of tl1e co11n1 L111it),'s i11terests a11d tl1 e i11dividttal s in f1x1ng se11ter1ces \vi ii lie ordi11arily i1 1 tl1e Ltse of tl1 e tl1irc l of tl1e for1ns of co11de11111atio11 jt1st descri becl. To clec l are tl1at tl1e defe11cla11 t is to be vt1l11erab l e to ft1tt1re jJt1 11isl1111e11t ca,, be, i11 itself, a,, i1111Jressive ex1Jression of tl1 e co1 n­ tnt1 11 ity's n1 oral c li sa1J1Jroval. At tl1e sa111e ti111e, tl1 e co11 ditio11al st1 s1Je11 sion of t l1e JJL1 11isl1111 e11t, \Vl1ether it be a fi11 e or ter111 of i1 11 1Jrison111e11t, ca11 JJrovide a11 e11viron 111e11t favorable to rel1abilitc.tio11 1 bot l1 b)' co11 veyi11 g to tl1 e clefer1da11t a se11se of tl ,e co1n11 1t11 1ity's co11 ficle11 c� i 11 l1 is abi l ity to live responsi bly and by gi vi1 1g l1i 1n a s1Jecia l i11ce11tive to do so. It \'eot1l c l see111 to fol l o\v tl1at a st1spe11ded se11te11 ce \vitl1 1Jrobatio11 sl1)t1 ld be tl1e jJreferrecl fortn of treatme11t, to be cl1ose11 al\vays t1 11Iess tl1e circurnsta11 ces jJlai11l)' ca ll for greater severi ty. 1

•

•

•

•

b. Tl1e Detern1 ination of Sentence PENAL CODE Of ETJ-IIOPIA9 Art. 85. - Principle. T l1e pe11alties a11 d other n1 easures JJrovided by tl1is Code must be a1Jplied i11 accorda11 ce \Viti, tl1e spirit of tl·is Code a11 d so as to acl1ieve t l1 e pt1r1Jose it has i11 vie\v (Art. 1 ). Tl1ey s l1all al\vays be in l(eepi 11g witl 1 the respect due to 11uman dig11ity. Art. 86. Calc1,1,/ation of Se1zteJ1ce. Tl1e Cottrt sl1 all deter11 1i11e tl,e jJe1alties and otl1er measures i11 confor1ni ty \1,itl1 the JJrovisi o11s of tl1e Genera� Part. of tl1is Cocle a11 d tl,e special JJrovisio11 s defi11i11g offe11ces a11d their IJt1111sl1ments. Tl1e jJe11alty sl1all be detern1i11 ed accordi11� to . t_l,e degree of i 11dividt1�I gt.tilt, ta king i11to accottnt tl1e dar,ger?tts d1spos1 t1 01� of tl1e offe11der, I,!s antecede11ts motive a11d pttrJJose, 111s personal c1 rcumsta11ces and l11s standard of edttcation, as \Veil as tl1e gravity of I1is offence a11d the cir-· cumstances of its com1nissio11. 9.

For the range of judicial alternatives i� s�ntencin� adults, see P.C.E., Arts. 79-84, 183-19? (mitiga­ tion and aggravation), Arts. 88-119 (pr1nc1pal punishments), Arts. 120-127 (sec ondary p� n1shme �ts), _ Ans. 128-132 (measures applicable to recidiviS1S), Arts. 133-137 (measures appl1cable ro 1r�espons1ble persons), Arrs. 138-160 (general measures), Art;. 194-205 (suspended sentence and probation) . •

322

Tl-IE SE,NTENCINO PROCESS

T U C SE O R C T PR O LI E B H v PU E A , M l\!\. E L Y A SS KA CAP-rAIN 1 6 9 3 .) /5 (1 0 l o. .C 5 ea 3 G N p l .Ap 1a ir m ri C t, tr oi C al ri Sif.preme Impe Ethitpia : Vi�e _JLtstices ; O.C.) 1961 :9, Afe11egLis r _(Octobe E.C. 1954 , Tel<emfJt 8 11s Tl : ael cl-i e bte M1 J-Ia app <ele Bel o At al_ is , 1ar l1ag BL1 W. . Dr , l.:: bal De Abeje 1 �ed b)' tl1e Htg\1 �e1 sen d ed an arg cl1 en be has 10 \Vl 11t lla !Je aJJ tl,e by brouglit Cotirt ptirs11a11t to }\rticle 641 of_ tl1e Pe11al Code of_ Eth10JJ1a for breacl1 . of n ella t s a1Jp wa t 1le los wl1 s wa n st1 \vork111g 1ch wl1 , .35 471 $7, of 11 1 s11 tlie 11 i trtist as Cl1ief Casl1 ier for tl1e Central Priso11 DeJJartment. JL1dgme11t has been re11dered ag ·ai11st aJJ!Jella11t d11e to l1is ow11 co 11 fessio11. •

•

•

•

.. . Tl1e 1 J1111 isl1111ent }Jrescribed t1njer Article 641 is simJJle in1prisonment fron1 te11 da)'S to tl1ree years a11d i11 se�io11s cases, rigorous im1Jrisonmer1t up to five )'ears. 111 tl1 is case the offe11dEr l1as cotnmitted his first crime; full p111 1isl11ne11t was, 110\xrever, inflicted by 111e lo\ver co11rt. Tl1e aJJpellant has not bee11 a 1 Jroble111 and l1as co11 fessed to tl-.e crime of l1is ow11 free \x,ill; moreover, we are of tl1 e 01Ji11io11 tl1 at, due to the yo11th of tl1e aJJpella11t, pu11isl1me11t ca11 1neet tl1 e reqttired rel1 abilitative e11 cls. L1.stly, tl1is Cot1rt feels that si11ce p1111isl1mer1t is to deter as \xrell as to preve 1t the cri111i11al fro1n committing sucl1 acts i1 1 tl1e fut11re, tl1e aJJJJella11t, bei11g 1 1n e1n ber of the Police force l1as suf­ fered loss of re1 Jt1tatio 11 . We, tl1erefore reduce tl1 e pu11ishme11 t rendered by tl1e J-Iigl1 Cot1rt, wl1 icl1 l1 ad se11 te11ced tl1e a1Jpellant to five years, to three ;'ears. We also order that a COJJY of tl1is judgme11 t be sent to tl1e Higl1 Court. \XIOZ. DESTA BERi-IE v. THE ADVOCATE OENE RAL S1,tprenie Imperial Court, Criminal Appeal No. 68/54 ( 1962 G.C.) Ethi,)pia Tal1sas 27, 1954 E.C._ (Ja11 t1ary 6, 1962 O.C.); Justices: Afe11egt1s Taddesse ['1engesl1 �, Dr. W. Bt1hag1ar, Ato I-IeroLi Tebebt1: - Tl1e aJJIJella11t \xras charo-ed 0 111 tl1 e J-I 1gl1 CoL1rt: (a) witl1 �11 _ offe11ce t1nder Article 656 of tl1e Pe11al Code tl1at is \Vitl1 obta1n1 11g fron1 Ato Gila _Iv1ichael tl1 � su111 of E$300 tl�rougl1 ; 11 1aid se_rva11t, �l1011 1 sl1e se11t w1tJ-1 a letter 111 tl1e 11 a111e of Woizero Abeba I(1fle Egz 1 . (b) witli a11 atte1111Jtecl offe11ce Lt11 d�r tl1e san1e article to obtain fro111 Ii.E. Abebe Retta tl1e st1tn of E$600 after a tele1Jl1011e co11versation i11 \vl1icl1 tl,e a1JJJella11t represe11 tecl l1erself to be Woizero Abeba Kifle Egzi. l e I Iig li C ot ir t _fotttid_ tl1e aJJJJellan� g11i_lt)' of tl1e sa id offences, con 1icted � � \ her 1 · ·se11 ei lce_�l 1 ei t? et l t 1no11tl1s 11n w Jr itl 1s 1 o1 111 1e 11t \ , 01 1 cl tl 1a 1e fi rg 1 rs e, t � l � ct ai a d t1 1a _pei ioc. . of _11�JJ)rtso11 1 11e11 t of four n1011t 1e t hs of , � t11 1d 9 A er 1 rt ic le 8 Petlal 1 s1c at1 _11 of tl1 e. c �1ct1rrent off:e11 ce i11cluded 1 1 tl1 e _seco11l d i cl1 arge; �11:t1 1� ;11�i;� �fIe 1 f1 I1 C0111 t _ ed , JJos a f111e of E$300 convertible to LTI � ' . , tl1ree n,oi tlis · e 1 1�11_1 of such fine. This is an ap· ��t d!�f e � � �i ��� J;z J p al from tha; 1 l e As reg,lrds n ·t· g t · 1 1 r A i · ticle 1 84 of tl1e. Pena l Code, tl1e advocate �� for the a1Jpe1 latl; �1!g :.e� �11�� e O ffei,ce tinder Article 656 of tl1e Pe11al Code

l

f

��J��:�

323

THE JUDICIAL ROLE

is IJL111ishable with simple impriso11 mer1t and t1' 1 erefore, under Article 184(f) cot1ld be co11verted into a fi11e. Tl1is c:ot1rt �at111ot accept tl1is argume11t (a) becat1se tl1e offe11ce tinder Article 656 :s IJt111isl1able accordi11g to the gravity ? f tl1_e case, witl1 rigorot1s im1Jriso11n1ent a11cl fine �nd 11ot only witl1 sin1ple 1rnpr1s011111er1t, and (b) becaL1se the JJrovisio11s of Article 184 can apply only \Vl1er_e. tl1e la\v provi�es tl1at tl1 e Cot1rt 111ay mitigate tl1e JJe11alty; 110\v, tl1e 1Jrov1s1011 s of la\xr ,vl1 1cl1 lay do\v11 i11 \vhat circt1111sta11ces tl1e Court may reduce tl1 e JJe11 alty are tl1 ose i11 Article 79 of t11e Pe11al Code, a11 d tl1e advocate for tl1e a_1Jpella11 t l1as 11ot satisfied tl1e Cot1rt tl·1at an5, of tl1e circt1mstances therein ment1011ed aJJPl)' to the prese11t a1J1Jella·1 t. �s regards tl1e st1s1Je11 sio11 of tl1e se11te11ce tl1 e advocate for tl1e appellant st1b1111tted tl1 at tl1 is is tl1e first offe11ce of tl1e aJJIJellant, that sl1e is married arid l1as fot1r cl1ildre11 receivi11g edt1catio11; lie also st1b1nitted tl,at tl1e new Penal �ode of EthiOJJia l1 as ir1trodt1ced a ne,i co11ceJJt a11d is i11s1Jired by the prin­ CifJl�s ?f tl1e rel1abilitatio11 of tl1 e offe11der and 11ot only by the jJrinciples of JJL1111sh111g the offe11der to JJrevent a11d stlfJIJress crime. for these reasons lie prayed_ tl1at. tl1e se11te11ce of i1nprisonmE11t be st1s1Je11 ded t111der the provisions of Articles l 9Ll et. seq. of tl1e Pe11al Code.

l11 rep!)' tl1e PLtblic Prosectttor st1Jported tl1e se11te11ce of tl1e Higl1 Court a11d st1b1nitted tl1 at tl1 e sente11ce \Vas ra:l1er le11ie11 t. This Cottrt ca1111ot of cot1rse co11de:11e tl1e offences con1111itted by the ap­ p_eII a11t, JJarticularly wl·1e11 sl1 e is a 1Jerso11 of a certai11 social standing, of fina11c1al n·1ea11s a11 d of a certai11 edt1catio11 a11d i11 tellige11ce; bt1t tl1e prosect1tio11 has, i11 tl1e opi11io11 of t! 1 is Cottrt, tal<e11 too seriotts a vie,v of sucl1 offences; i11deed tl1e PL1blic Prosecutor ir1 tl1e J-Iigl1 Court l1as go11e so far as to demand tl1 e maxin1t1m fJt111 ish111e11 t fJrescribed by Article 656, tl1at is, five years in1prisonmeT1 t. It shot1ld be co11sidered, l10\xrever, tl1at tl1e amoL111t tl1e a1Jpella11t obtai11ed Ltnder tl1e first cl1arge \x,as E$300, \vl1ile t111 cer tl1e second cl1arge tl1 e offer1ce \..;·as 011ly an atte1npted or1e. As ca11 be see11 frorn tl1e 111a1111er i11 ,v1l1icl1 tl1e cl,arge is drafted (\vl1 icl1 co11tai11s 111atters \vl1 ic:1 clo 11ot co11cer11 the st1bsta11ce of tl1 e charg·e) tl1e prosect1tio11 l1as bee11 inflt1e1ced by extraneoL1s circumstances \'\ l1icl1 are com1Jletely outside tl1e scope of the cl1arge agai11st the aJJpellant. Sucl1 cir­ ct1msta11ces ca11 r1 ot be tal<e11 i11to co11sideratio11 by a Court i11 cletermi11ing the degree of JJU11isl1111e11t. St1bsta11tiall)' tl1e a1JJJella11t l1as been found guilty of frauclt1Ie11t representatio11 a11 d tl1us obtai11i11g ES300 a11d attempti11g to obtain E$600. Tal<ing the circt11nstances of tl1is crse i11to co11sideratio�, particularly . the fact tl1at this is tl1e first co11viction of tl1e cppellant, tl1at sl1e, being a \voman \Y11th a fa111ily a11d of a certain social sta11di11g, ,viii be deterred fro1n tl1e ; om:11issio_n of a11other offer1ce after the ex1Jerie11ce of tl1e ordeal of the presenL trial, this Court consiclers tl1at tl1e conditional sus1Je11sio11 of tl1e !Jenalty is more likely to i11dt1ce tl1e reform a11 d tl1e rei11stateme11t of appellant tl1a11 a period of impriso11mer1t. This Cot1rt tl1erefore1 while confirming tl1e sentence of the High Cot1rt orders tl1at �uch sentence as rea2.rds tl1e i1npriso11ment for a period of 0 4 and 8 mo 1 1ths, be st 1 spe11ded for a period of two years under tl1e provisior1s of Article 196 of tl1e Penal Code. In accordance with the fJrovisions of Article 20_1 of the__Pe11al Code, tl1e suspe11sion of the se11te11ce st1all be tinder the foll?w1ng cond1t1ons, namel)' that the apJJellant shall enter into a formal u11dertak111g to be of good condt1ct with a sectirity for such undertal<ing to tl1e exte11t of 011.e tl1ousa11d . dollars (E$1,000), that slie reiJay to Ato Oila Michael the SLII� of E$300 wl11cl1 sl1e obtained from him, sucli uridertaki11g a11d payment to be g1ve11 and made not later 1

1

..

,

.

•'.

TliE

324

SF.:t-.!TEtICING

PROCESS

of l1e () id sa 11_ � t11i _wi t if o tl1a eri ed rn w1 d s i 11t lla i JJe aJJ tl,ai, Tet. 1 19. 54_ T. l e s 1011 s he brea ks tl , c1 de s tl11 of te da the n1 fro · 1 e t\x, )� e r_s, '�vhtc� a�f to rt11 e, enc r off tl1e ano t 1mi s con sl1e sl1e if or t � dttc con will d � � goo t e O g cii, ta tine � 1 of to d an tl1e , _ ed 11d pe y st1s reb s l1e los s i 1 ic1 wh e be liable _t o set•ve tl,e sei,tenc fro111 ary pLtnisl1me11t to wl11cl1 s 11e may be liab e l art aJJ $l 000 E , f o t y r1 u ec s . e 1 tl· . d te 1t n 11 11 o c e c 11 e ff o \v e for t11e 11 NCTES Note 1:

Disparity in Sentencing Rl1ode sia a11d Nyasala11d ....a\v Jot1r11al, R.v. Seventy 10

111 tl1is case a11 u11t1st1al situatio1� aro se in tl1at a more severe sentence altl1ot1gl1 i11 tl1e view of tl�e High Co-1rt. a JJrope1· on�, was set aside . in part, \'>?hile a se11te11ce tl1at tl1e I-ltgh Cot1rt considered too lenient was left undi sturbed. In tl1e exerci se of tl1e Higl1 Cour:'s revisional fJO\vers u11der the Criminal

Procecl Ltre Code tl1e lear11ed CI1ief Jtt�tice of N ortl1ern RI1odesia called for and examined tl1e r�cords of two acc11sed co11victed i11 separate cases by tl1e resi­ de11t maaistrate at Ndola of drivi11g t inder tl1e i11fluence of i11toxicating liquor. �fl1e fact; i11 eacl1 case were similar bit tl1e sente11ces were very differe11t. •

•

•

•

111 l1is revie\v j11dgme11t tl1e lea·11ed CI1ief Justice tl1ought tl1e sentence imposed u1Jon tl1e Africa11 \Va.s tl1e pr,)per one for tl1e offence committed .... I-lowever, tl1e lear11ed Cl1ief Jt1stice fa1nd tl1at tl1e circu111 stances of eacl1 case were so similar tl1at l1e wa s \xrl1olly at a loss to 1111ders tand tl1e distinction be­ tween tl1e l)Lt 11isl1rn e11t im fJosecl Ll fJ011 1l1e Europea11 a11d tl1at i mJJo sed ttfJOtl tl1e Af rica11. In l1is vie\v tl1e Africa11 was, if at1)rtl1ing, e11titled to be dealt with 111ore l e11iently as lie \Vas a 1na11 i11 et111Jloy111e11t with depe11dants, he was by jJrofe ssio11 a driver a11cl l1ad been d1ivi11g witl1out co11victio11 for t\ve11ty-six .)'ears. Tl1ese mitigati11g· factors were not prese11t i11 tl1e case of the European, a11d yet tl1e Ettropean \Va s dealt witl1 111t1cl1 more le11ie11tly .... ... T l1e dis1Jarity was so wide as to rais e tl1e i11fere11ce tl1at the maaistrate acted u1Jo11 a wro11g JJri11ci1Jle, a11d a i:0111rJarison of tl1e severe witl1 tl1ebligl1ter se11te11ce cottld 011ly give ri se to a se rse of inj11stice in tl1e public mi11d. Tl1e lear11ecl Cl1i�f JL1stice, a1JJJlyi11g· tl1e oft-qt1oted JJriticiiJle en11nciated by Lord I-Ie art �-.C·!: 111 R. v. S1,tssex _(1f.stices, ex parte McCarthy [1924] 1 K. B. � 256, 259 tl1at JL1st1ce sl1011ld 11ot only be do11e, bu t sl,ould ma11ifestly and u,,doubtedly be see11 to be clo11e," set aside fo11r \xreel<s of the Africa11 accused's se11te11c� �11d qt1asl·1ecl that fJart of tl1e 111ag·istrate's order reqt 1g JJa ssi 1 tli iir e iti cr b of a dr1v111g test. It i s � s well to ref!le11:1�er, in tl1ese ti111es of ra fear­ fre e, JJi d cl 1a a th ng at e, le ss ai,cl 111de1Jet1de11t JL1d1c1ctry ca11 be tr11sted to see tl1at justice is do11e as

bet\xreei, mat, ai�d ma11, \:'l1etl1er or 11ct tl1ose co 11c er11ed are of different races. ! t tn ay 11 ot be tiiapJJt:opriate to say that i11 7 s11 su cl 1 ca e se s as tl1ese 1·ustic 0\\ S ttse lf to be colour blind. 10.

Ada111, l)isp a riry

i11

Sentences, 3 R/1odesia anl Nyasa /an d L.

J.

103-104 (1963).

•

�

-

.

.

-

325

THE JUDICIAL ROLE

. It is also \VOrth 1�oti 1 1g tl1at tl1 e le1r11ed Cl1ief Jt1stice, despite l1is stro11g fee!111gs 011 tl1e necessity for stern IJL111 isl1me11t of drL111l<e 1 1 drivers, gave greater weigl1t to tl,e 11 ecessity for ren1ovi1 1g a11y se 11se of injLtstice from accused 1Jerso11 s a11d tl1e pttblic. Note 2:

Comparative Sentencing Polic}

Man1 1hei 1 11, CoinJJarative Ser1te 1 1ci1 1g Practice' 1 . . . �lie I11ternatio 1 1al Penal a 11 d Pe11 itentiary Com111issio 1 1, at its Ni 11 th Congress 1 11 Lor1do 1 1, in 1925, h,td 011 it� JJrogram tl1e questio11 : Wl1 at 111east1res cottld .be tal<e11, i1 1stead of im1Jriso11rnent, witl1 regard to offe11 ders \vl1 0 l1 ave co 1 11m1t�ed a JJ�tt �, of�fe 11ce or a11 offe11ce wl1icl1 does 11 ot co11 stitt1te a danger to pt1bl1c sect1r1ty? l l1e a11s\ver \xras: Tl1 e l101Je is expressed tl1 at every e11 deavor will be made to st1bstitute other pe11 alties ir1 jJlace of in1rJriso1111er1t for sl1ort ter1ns. It is to be reco1n­ me11cle cl 11otably tl1at: 1. Tl1e systen1 of JJrobatio11 shot1ld be exte11cled to tl1 e t1t111ost exter1t. 2. !I1 e l?O\ver of tl1e cot1rt tc i 1 111Jose fi11 es i11 stead of im1Jrison1ne11 t 1n st 1 1table_ cases sl1 ot1ld be exte 1 1decl, a11d tl1e machi11ery for pay111ent of f111es sl1oulcl be developed so as to elimi11ate as far as JJossible i 1 11JJriso11 111e11t i 1 1 defat1lt of 1Jay 111e11t. for habitt1al and dangero11s offe 1 1clers a11 cl 111 e11 tally ab 11or1nal JJersor1s, measLrres of JJreve11 tive dete 1 1tio11 a11d sit7ilar 1 11east1res of sect1 rity l1ad ge11 erally been i11trodt1cecl i11 tl1e earl}' decades of tl1 is ce 11tt1ry i11 several Et1ro1Jea 11 cot111tries, 1 1otably Great Britai11 , Nor\va;, Belgit1n11 Italy a 1 1d Oer 1 nar1)'. Tl1 e over-all ter1 clency was 11 111nistakable, a11 d, togetl1 er witl1 tl,e , ge11eral directives for tl1 e g11ida11 ce of tl1 e courts inclt1ded i11 several 1noder11 JJenal codes, it was lil<ely to be reflected i11 jLtdicial se11te11 ci11g jJOlicy. It is 11ot sur­ prisi11g, tl1 erefore, to fi11 d in tl,e 11atio11,l statistics a decli11 e i11 the JJroportion of very sl1ort fJrison sentences and tl1eir JJartial re1Jlaceme11t by fi11es a1 1d sorne for1n of probatio11 , or sttrsis, as \Vell as a decrease of very 1011g prison sentences and tl1 e a1Jpeara11ce of measures of sect1rity i11 tl1eir JJlace. Wl1at is surprising, i11 view of tl1e strer1gtl1 of tl1e criticism of tl,e old syste111, l1 owever, is tl1 at tl1e cha11ge i11 j11dicial IJractice l1as, i11 so111 e cou1 1t�ies not been . mucl1 more stril{i11 g tl1an it appears to l1ave bee11 . Tl1e expla11at1011 111ay be, 1n IJart, that the new policy, witl1 its 11 ew penalties a11d measL1res, has 11 ot yet . sto�d the test of experience, ir1 that it l1as not ;et !ed to a general red�ct1on In tl1 e crime rates - \vhich may of cottrse, be attribt1table to eve11 ts entirely beyo 11d the po\vers of any pe11ai' system. In fJ�rt, it rnay als� be a_ttribt1table to the failure of legislators and administrators In n1a11y cou11tr1es to implement a11otl1 er of the resolutior,s of tl1e Lo11do11 Co11gress of 1925: J Ltdicial studies sl1ot1ld be s111J�lemented by. cri111i1:ol. ogical 011es.. Tl1e study of criminal psychology and soc1ology, fore11s1c � ed1c1�e a11d.psycl}ta�ry, and pe11 ology, sl1ould be obligatory for all wl10 wish to Judge 1n cr1m1nal cases. 11

11. ,,

,. '

..

' .

'

'

In 23 Law and Conteniporary Problems 558-559 '.t 958); for specific sentencing pr:ictices of Aus r!a, � Denmark, England, France, .Italy, Netl1erlands, Scotland, Sweden, Wales and West Germany see zbid. at pp. 562-581.

326

11-1 E

SEN1·E:-.JCINO

PROCESS

1 ld devote the1nselves solely and perma11ently to slio1 SL 1 cl1 jt1dge· s tliere sl1ot1ld re sufficie11t OfJIJortu11ity for adva11cem ent criminal la ,xr a11d i11 this bra11cl1. eir tl1 ete pl m 0 co 1<11 to l ed 1 lis tab g es ed \xrl be 1ld ot sli e · s re tll lec C0L1rses of s son pri f o and sin1ilar ge d e 1 ow l<11 l ful a � l1av l 11lc slio ey Tli f . . . tocry . y tl n e u q e ir fr e th it is v ld u ,o sl . �,st���1����1� ;.,ci 1 ave a full know. l d ul 1o sl lty f:a P� e tl1 � 1ir 1i1 rn te de re fo be The jLtdge al e ci tl1 e so lif d 11s an h 10 of 1t 11d co t c_ hi yc e ps d an �l ic ys 1 iJl e tli of ledge 1me. cr e th r fo es v 1 t o 1n 1e tl d an acct1sed •

•

•

1_ th e fir st tl1e exami1 1ai1 : rts fJa o tw o int ,j ide div be to t ah ou The trial d on e tl1 sec _1n e; e ac n o_ pl e tak �d the ou sl1 ilt gL1 l1is to as � io1 cis de ct 1 a11 tioi rt c tl1e s pa bli thi pu om fr . ed and fix d a11 d sse c11 dis be l 11lc sl10 t pu11ishme11 tl1e i11jured JJarty should be excluded. • .. Altl1ougl1 progress l1as u11doubtedly been made, ... ·. it has been slo,ver a11 d more u11 even tl1a11 ex1Jec:ed. Many of tl1e ol� tradit_1ons, dogmas, a!1 cl prejt1dices still 1Jersist; a11 cl, i11 partic�tlar, com�ar�t1vely little l1as been do11e i11 s0111 e co11 11tries to bring the teacl1ings of cr1m1nology a11d penology 11earer to jttdges a11d 11 1agistrates, 011 who1n_ �l�e s11ccess of the n�w sy?ter� so largely de1Je11 ds, and to provide adeq11tte fac1l1t1es for presentence 111vest1gat1ons. •

Note 3: The Predictive Device as a rool in Sentencing 0111eck, Predictive Devices and the I11dividt1alization of Justice 12 •

It is beco1ni11g belatedly evident to scl1olars and practitioners i11 tl1e ad111i11istration of crimi11al jttstice tl1at tre most JJervasive and co1nplex issue is 11 ot so mt1cl1 tl1e defi11itio11 of crin1es a11 d the ma11r1er of tl1eir proof, but ratl1er -l1ow to obtai11 a 1 11 ore efficient a 11d just system of sente11 ci11 g. The familiar cliche about tl1e 11eed to ''i11dividt1ali2= j11 stice'' l1ad wor11 tl1i11 before it was qL1ite clear exactly wl1at individualizat·o11 i11volves. J -Iow can a co11rt individualize tl1e se11te11ce? Tl1is ft1ndan1e11tal questio11 has been all_ too lig:l1tly treated i11 tl1e littrat1 1 re, tl1e statutes, a11d J)enologic c?n­ gresses. It l1as JLtst_ bee11 assL1n1 ed tl1at, give11 a JJrobation officer's i11vestigat1on r�port 01� tl1e fJart1ct1lar offe11der before hi1n for se11te11ce, the jt1dge will, by his lear11111&" a11d experie11ce, be able .· o decide tl1e exact penal or correctio11al 1:1e�st1re suited_ to tl1e JJartict1lar fJersJ11 t1ndergoi11g se11te11 ce, as well as tl�e l 1 n11ts of t11e t11ne tl1e offe11der 11eed� to be s11bjected to sucl1 treat1ne11t 111 order to refor1n or be 1·e11clered 11011-ca11g·ero11s. But truly t� ''i11divid�alize'' tl1e ,e11 tence i11 tl1e cas e of a11y SJJecific _ of· feticler 1 ea11s,_ first, to differentiate l1i1n from otl1er offe11ders in JJersonality, � c_l,aractei, soc_1o�t�ltural bacl<gro1111d, tl e 1notivatio11s of is cri1n and his �ar· l1 e, .ticular JJote11t1_aI1t1 s fo� _refor1n or 1:ec 1divis1ni and cl1, \vh i ne . de se co ter 11d mi to ly, ainoi,g- a i _ ar,ge of� IJL111 1 t1v_e, corrective psycl11atric ts be s� es , 1n a11 ea so d s11 cia r l ad 1Jted to solv� tl1e SJJecial set of JJrobletns fJr clt sti in r es ented by tl1at offende �\vay as materia e 1 lly to tl re dt 1ce tl1 e in pr cb ab ili ty of l1is committing crimes fLlttire. Wl,en 11e fJatises to reflect or al l tl1at this itnplies, it becomes evi dei,t

°

12. In 23 law and ContenzporarJ, proble1ns 461�4t2, 466, 470-473 (1958).

•

t •..

�

. '

THE JUDICIAL

•

ROLE

327

tl1at to speak glibly about ''i11dividttalizatio11'' is 011e tl1i1 1g; to be able to ac­ complisl1 it is qttite a11 otl1er.

•

It is time, tl1erefore, tl1 at reformers of tl1 e cri1nir1al la\v faced tl1e fact tl1at

the feasibility of a reliable tecl111 iqt1e of i11dividttalizatio1 1 is crttcial to tl1e e11 tire !Jro_g�atn ?f s_cientific a1 1cl l1t1n1a11 e cri111i1 1al jt1 stice. If, i11 fact, a reaso11ably sot11 1cl 111d1 v 1 dual1�at1011 ca11 not be acco1 11 1J lisl1 ecl by tl1e 1 11ea11s at l1a1 1d, tl1e11 des 1 Jite the lofty �1 111s <?f �oder11 correctio11al iJl1iloso1 Jl1)', a11 d regardless of tl1e 11 1ost elaborate 1 11 vest1gat1ons a1 1cl case l1istories, tl1e syste111 will 11 ot worl(. It is no \V01 1cler tl1at, co11sideri1 1g tl1 at i11dividt1alizatio11 is a ver)' clifficL1lt art, tl1e jJrodttct of jt1dicial discretio1 1 i11 tl1e se1 1te11 ci1 1g· jJrocess l1 as 1 1ot bee11 good.It reflects a certai11 g·t1ess\vorl< a11d eve1 1 arlJitrari11 ess.... Discretior, tl�ere �l1 ot1ld certai11ly be; bt1t tl1e JJroble111 is to (Jrovide a tecl111iqt1e wl1ereby 1 scret1 on sl1all be allo\'<1 ed a111 1Jle creative scorJe a11 d yet be sttbjected to ra­ � t1 011al exter11al clisci1Jline or self-clisciJJli11e.

l

•

•

. '

•

•

•

-rhis bri1 1gs 011 e to a stril<i11g, yet t1st1ally overlookecl, as1Ject of tl1e l1istory of pe11 of ogy a11 cl code drafti1 1g; 11a111ely, tl1at all tl1 e refor111 devices of tl1e pre­ sent cer1tLtrJ' - tl1e jt1ve1 1ile cottrt, fJrobatior1 tl1 e i11cleter111i11ate se11 te11ce classifi­ catio_1 1 \x,i_tl!in institt1tio11 s, JJarole - depe1 1cl for tl1eir efficiencj' 011 tl1e re�sor1able precl1ctab1 l1 ty of ht1111a11 bel1a\1ior t11 1der aive1 1 circt1111 sta11ces. Vet all tl1 ese for­ \Varcl-lool�in� a�lclitio11s to tl1� a1J 1 Jarattcs 1;f cri111i11 al jL1stice \Vere' acloJJtecl long before tl11 s !11 d_1 s1Je11 sable basis for tl1eir sttccess - fJreclictabilit)' - \v'as available, a11d tl1ey still 1g11ore or 111ini111ize tl1e crttcial ele1ne11 t of 1Jredictability. 1

•

. . .. .

S01 11e An1erica11 a11d a fe\v foreig11 cri111 inologists believe tl1 at tl1 e a11s\xier lies i11 tl1e JJrog11ostic i11strt11 11e11 t l<tlO\Vtl as tl1e JJredictio11 table. 111 several fol­ low-tlJJ researcl1es \x1l1icl1 l1 ave cl1ecl<ed 01 1 tl1 e JJost-treat111 e11 t careers of \1arioL1 s classes of ex-1Jrisor1 ers, Dr. Elea11 or T. Olttecl< a11 d tl1e \vriter l1 ave constrt1 cled a series of prog·11 ostic i1 1strt1111 e11 ts \vl1 icl1 tl1ey believe give reasonable 1JrC}11 1ise of t1lti1 11ately brir1 gi11g abotct better se11te11ci11g practices a11 cl treal1ncnt resL1lts tha11 are acl1ieved at JJrese1 1t.... In tl1eir first stt1 dy, 500 Cri1rzi11al Careers (1930], 13 tl·ie)' thoroL1 gl1 I)' i11 vesti­ gated tl1 e pre-i1 1stitutio11al life l1istories of 500 fortner i11 111ates of the lv\assacl1 t1setts Reformatory for yot11 1g adult felor1s during a five-}'ear 1Jost1Jar0Je ''test pe­ riod'' follo\ving tl,eir discl1 arge fro111 tl1at i1 1stitt1 tio11. Son1 e fifty factors in tl1 e co11stitt1tion, social bacl<grot11 1d, a11 cl bel1avior of tl1ese offe11ders, fro,n cl1ildl1 oocl throtcgh tl1e jJarole a11d /JOst1Jarole {Jeriods, \Vere ex1Jlored a1 1d a11 alyzed. By mea11s of correlatio11 tables, tl1 e degree of relatio11 sl1i1J betwee11 eacl1 of tl1ese biologic a11d social factors a11d tl,e fJOStfJarole bel1avior of tl1 e 1 ne11 \Vas deter­ mi11ed. To give 01 1e examJJle, i11 res1Ject to tl1eir JJrereforrnatory i11dt1 strial l1 ab­ its tl1e mer1 were st1bclassified i11 to ''o·ood \xrorl<er," ''fair \xrorl<er," a1 1cl ''1 Joor \Vorl<­ er.1''By correlati11 g eacl1 of these i1 1d�1strial categories \vitl1 tl1e cri1ni11al bel1 avior of tl1e me11 during the five-year test fJeriocl,_ it � as fot111 d_ tl1at of tl1e good worl<­ ers, forty-tl1ree fJer ce11t conti11t1ed to com1111 t cr11nes �Lc!·111g tl1e jJost1Jarole test period; an1 or1g the fair \x,orl<ers, fifty-r1i11 e per cer1t rec1 cl1vatecl; a1 1d of tl1e JJOOr_ workers, sixty-eight per cent were cri1ni11alistic: T]1ese jJerc� ntag·es \Ve call ''fa1lt1re-scores, '' because tl1ey i11dicate the (Jro1Jort1011 of tl1e cl1ffere11t sttbclasses of 1 J.

Ocl1er lacer works bv S. and E. T. Glueck incl11dc: One Thousand ]u'venil� Delin9nc1its ( 1934 ), 1=·i·ve Hundred Delinquent 'il7omen (1934) Later Criminal Careers (1937), jtf.venzle Delinquents Grown Up (1940), C'rirninal Careers in Retrosp;ct (1943), A/ter-Cond1,ct of Discharged Offenders (1945) and Un­ ra'Veling Juvenile Delinquency (1950).

'

'

'.

' ''

.

' .

'

'

1· 1-IE

328

SENTEi'Cl ��O

PROCESS

f v �ew of tl1eir stat us o :t e i1 m o o t� p fr j re e id 1s 1 o c met, \X!lio failed to 1 1ts. b 1a a r1 ry 1 1 d st o 11 u at n 11 fo 1·e re p s a r o ct it, resfJect to sucI1 a fa ee n ea cl 1 of tl 1e fift)' biolo gic tw be ed i�h bl ta es e er w 1s Siinilar correlatioi J le ro JJa St al JJO t11 e _ac cJ_ th be , an 1d l1� \, 1e 1a 01 e 1 tl i_ or, 1 01 s, or ct fa ic ai,d socioJog . to ar b� 1d 111 fo e1 o1 s e. ry w ct ve fa .y a1 m at tl1 lt tl lit 1 s1 re e e tli i itl r \x r, lie ot e 011 tl, . 1o at c1 n so as 1 1 gl l1 ry e a er ve tl1 ed �\v s11 e n1 th so wi e 1il \xrl relatiotl to recidivis111 , or 1at rn e fo �l1 re � to r1c y, tra e11 tl1e 11g edi ec fJr ts bi l­ fo l1a l ria tst dt ii, to ti tio di ad 111 10 11sl11_fJ to _ JJOstparole cond uct, lat 1·e st ate ��e of e os tl1 1g 101 a11 s, tor lo\xriiig five fac s ge 1 Jud 1cl uld co wh le a tab of 1 use irt 101 1c� tr1 11s co e tl1 1 J 1 i ,ed l0) J 1J e11 were t 1 e11 of or c:y ref en pre q11 d fre a11 ess to 1na 1sn 10L r se_ ry (1) rs; de e11 off of 1g 1 1ci 1 1te 1 se tlie 1 1ce 1�l 1te1 wh se1 for 1se 1 e_ to tlie off the 111g ced fJre s n1e cri for est arr (2) cri111e; refor111ator)' l1ad been in1 1Josed; (3) pe1al exper1e11ce JJreced1ng reformator y in­ tl1e ce to ten at sen orm ref i11g ced pre � or)', ilit 1sib JJ01 res nic 1101 eco (4) ; 11 atio cer car a11d (5) 1ne11tal ab 11 or1nality. reforrn ,

•

•

•

•

•

•

•

•

Si11ce tl1is first table \vas JJ11blisl1ej 1 Dr. E. T. Ol11ecl< a11d tl1e writer l1ave i1nJJroved a11cl refi11ed 1na11y jJredictive i11str111ne11ts a11d have JJre1 Jared them for eacl 1 of tl1e existi11g ty1)es of correctim - e.g., 1Jrobatio 11 \X1itl1 a11d witl10L1t sL1s­ IJe11ded se11 te11ce, jail, ind11strial scl100, reformatory, prison, a11d JJarole - for jJredicting varied res1Jo11 se \vl1e11 offenders reacl1 differe11t ages, a11d for suc­ cess or fail11re cl11ri11g a fiftee11-year fo low·-11 1) s1Ja11. By co11sulti11g a batter)' of tables coveri11g all available for1ns of pe110-correctional treat1nen t, a j11dge coulcl bri11g to bear 011 tl1e in sta11t case tl1e 1dded lig}· 1t of systen1atizecl a11d objecti­ fied ex1Jerience, glea11ed fro1n l11111drecls of prior cases, regardi11g tl1e bel1avioral (Jote11tialities of tl1e i11divicl11al before bi111 for se11te11ce. Que;tions

1.

2. 3.

4.

5.

6.

Wl1�t �s tl1 e role IJlayecl b)' tl1e jtdge i11 tl1e se11te11cing· JJrocess 1111der tl1e Etl110 1 J1an Pe 11al �ode? Wl1.)' l1as tl1e j11dge bee1 1 allocated sucl1 a role? Wl1at tools l1as a Jttdge 1111der tl1 e Pe11al Code to individ11alize }JL111isl1me11t?

Do yo feel tl1a_t a_ !a\v-t�·ai11_ed j-1dg·e. is tl 1e best fJerso11 to establisl1 a �. Sl1 ot1ld 111d1v1clL1al 1zat1011 1alt Je 1 � be sl11fted to 50111e exte11t to correctional 1 . aLitl1orit 1es? W011ld tl1e totally i11cleter111i11ate se11te11ce effect sucl1 a shift? :,Xfliat !JLtr_ 1J9ses or valttes sl1011ld u11 clerlie tl1e deterr11i 11 atio11 of a se11te11ce 111 Etl� i OJJ !'. Re-re_�cl_ CI 1aJJ. 2, JJJJ. 14-31 s1,pr . Wl1at criteria 111a y be apJJlied �-1, a J Lt �g_�� e 11 1 fu!f1lli11g tl1 e ,,al11es er1 t1111 erataed above? Sl1011ld tl1ese crite1 1a be \'ve1gl1ted 111 accorcla11ce ,x,itt 1 tl1ose \'alttes? · · Is tl1e i11divid11alizatio11. of a se 11 teuce rno1.e 1111 · 1Jorta11t tl1a11 11111fo · r1111ty 111 � n te� es?. . Wl1 Y c 1 O �lts�arate serte11 ces for tl1e sa111e or sin1ilar crin1es � tt1 �i of JltStice? Does Art. 4 P.C.E. allo\x, for i11dividt1ali a z � ti�11 -r ��\� t:i��::? Were tl1e criteria ttJJ011 w 11 icl1 tiie sttJJ_re 111: · ln1 Jer1al Court s�11te11 ced tI1_e 1 offe11der i1 1 tli e Ca taiJi l( a JJ Je1 ? Wl1at fJL1r Jo se s did tl1e cou1 t J a O I � e · e 1 ay ss stress as bei11 g i11;1Jo1· ta11t t o 1t s se11tence? out ct \V t Id e · 011 )'O l t 1ave I 111e tl1e san1e se11teiice to tl,e cl efe11 da1t. 1111d er Art. 86? . - . . May a11 aJJJJeal be tal,e11 from se1 1e11 e ce lat Jel 1 11 p l Et 10 1 L a J1a · 1 ? Sl10 1ld an 1 : cot1.rt st1bstit11te its J·l1do·1 :::, 11e11t as t c se11te11ce for tl1at of tl1 e lo\ver cotirt

'' '

,.

.

I

THE JUDICIAL ROLE

,,

329

or sl1ot1lcl a11 a1JJJellate cot1rt establisl1 grave error i11 the se11te11ce of tl1e lo\ver cot1rt before overturni11g it? 7.

J?o you agree \v'itl1 I-lart (JJ. 321) a 1d Tl1e I11ter11atio11al Pe11al and Penite11t�ar)' Co1nmission (p. 325) tl1at tl1e ;t1s1Je11cled se11tence togetl1er \Vitl1 fJroba­ t1or1 sl1ot1ld be the JJreferred form of treatme11t? Wot1ld st1cl1 a dispositio11 ft1lfill tl1e pt1r1Joses L111derl),i11g IJUn sl1me11t? Wl1e11 111ay tl1e jt1dge apfJly a SLISJJe11ded se11tence i11 Etl1iopia? Wl1at otl1er alter11atives aside fro111 fi11e a11d in1priso11ment are available to a jt1dge i11 Etl1iOJJia? 8. \Vere tl1e criteria LlfJ011 \vl1icl1 tl1e 3t11Jre111e I1111Jerial Cot1rt st1s1Je11ded tl1e sente11ce of \Y/ oz. Desta jJroper? for \vl1at reaso11s did tl1e cot1rt SLIS)Je11d se11te11ce? Were tl'1e co11clitio11s \vl1icl1 \Vere establisl1ed for tl1e 1Jroba­ tio11ary JJeriocl co11clt1cive to rel1abilitatio11? Did tl1e cot1rt consider deter­ rence? Wl1at \Vas tl1e l1olding of tl1e cottrt \vith respect to mitigati11g circt1111sta11ces? Do )'Ott agree \vit.1 tl1e cot1rt's dis1Jositio11 in tl1is case? 9. I-lo\'« cloes a jt1dg·e provide l1ims�lf \Viti, tl1e i11for111atio11 11ecessary to arrive at at1 i11tellig·e11t a11d jt1st se11te11ce L111der tl1e criteria e11L11nerated in Art. 86? \"\lhicl·1 grottjJ or i11stitt1tio11 cot1lcl 1nost accurately a11d co11venie11tly provide tl1is i11for111atio11? \X/l1at sl1ot1ld be i11cludecl i11 st1cl1 a reJJort? 10. ls tl1e \Vorlc of tl1e OIL1ecl<s and otl1ers i11 creati11g 1Jrog11ostic devices l1elrJft1l i11 arrivi11g at a se11te11ce'r Cot1ld sucl1 tables be develo1Jed in Etl1io1Jia? \Xi'l1at otl1er t)'!Jes of researcl1 111igl1t be l1elrJft1l to tl1e se11te11ci 11g IJrocess? Problem

Atte1111Jt, as carefLtlly as 1Jossible, t J arrive at a se11te11ce for tl1e l1y1Jotl1e­ tical cases of X a11cl V by a1JfJlying tl1e criteria e11L1meratecl i11 Art. 86 a11d kee1Jing i11 mi11d tl1e broader fra111e\xrorl< of tl1e jJL1r1Joses . of se11te11ci11g a11d fJt111isl1me11t. I11 decidi11g t1po11 a se11ten:::e you sl1ot1ld co11s1der: a. b.

Wl1at alter11atives are available to you t111der tl1e P.C.E. Eacl1 criterio11 establisl1ed i11 1-\1·t. 86 i11 ligl1t of tl1e i11for1natio11 avail­ ab le concer11ing tl1e defe11da11t.

c. cl.

Wl1ether all criteria shot1ld be give11 eqt1al \veigl1t. Wliat ftt rther i11 for111a tio11 co11 cer11 i11g tl1e defe11da11ts is 11ecessary to arrive at a11 inforrnecl se11te11ce.

e.

To wliat exte11t yot1r O\v11 fJerso11al 01Ji11io11s a11d JJrejttdices I Jlay a part i11 )'Our sente11ce. Tl1e Case of Ato ''X''

Ato X, forty-sever, years old, l1as bee11 cl1ar�ed an� �011victecl of n1ttrder in t11e second degree (Art. 523). He l1as no prev1ot1s cr11111nal record. Q11 tlie tiight of Sene 12, 1954 E.C, Ato X \X,e11t to dri11l< \xritl1 friends _at a \Veil l<tiow11 coffee house in Addis Ababa. After sev�r�l I·1ot1rs of qt11et cl1atting, a certain Ato Q came ir1 through tl1e door a11d J0111ed tl1e grot1p at . .. '

330

THE SENTENCING PROCESS

d pe o l_ ve de n d io ss ate di _ cu l1e 1 s nt tte ce nL rni l ra e v_ s� eri r1 g r fte A le. tab s X' Ato � 1te 0s JJJ OJ e e o on _ t sid er d A w i Q s ar X to A of the . cs 1 t 1 l JJo l iia io at r,, 1te abottt j 1 t? , A X X to lts s A su l at in ra ve se �e ed rl hu med to Q to A r te af 1d 1 a it et arguin es e tim �·e tl1 ed d bb Q a11 st� th le wi tab e tl1 a _ m fro J U cake d JJe ITI jtl , I ad 11e s lii e los 1e l10SJJ1tal. It \xras re 1Jorted tl y 11 1 da xt 11e e th ed di Q le. tab e t11 1 l<tiife Iyi,,g 01 1ps of coffee eacli c1 4 ed um ns d l1a co r1: ese pr s 1er otl tl1e tl1 \X1i 1 a tli at x alo1 flavored \x1itY1 a bit of Irisl1 \Xll1iskey. ing ern nc al co tri his exam­ tl1e at rt pe ex c tri hia )rc ps tl1e of y 1 o1 ti1n TJ1e tes inatio11 of Ato X revealed tl1e followi11g: e. 11c ba tur l dis nta me of y tor his s iou ev pr 10 1 s l1a X to A 1. 2. lie co11ld 11ot be said to fall witl1in tl1e Arts. 48 or 49 meaning of irrespo11sibility. - see1ns to s11ffer from poc ,r imJJulse control a11d is easily irritated, 3. J Ie b11 t i11 otl1er resJJects seems ·o be nor.ma!. 4. Tl1ere is 110 evide11ce of org,nic patl1olog),. 1�11e Police Re1Jort concerning At) X states tl1at l1e was bor11 near Oor1dar of a 111iddle i11come family. I-Jis father is a farn1er a11d still living. His motlier is 110\xr deacl but \xras clivorced fron1 his fatl1er \vl1en X was still a yoL1r1g boy. X's fatl1er ren1arriecl, b11t X never go: alo11g \veil witl1 l1is stepmotl1er. X at­ te1 1ded fJ ri111ary a11d seco11dary school t111til the te11 tl1 grade i11 Oo1 1dar \xrl1ile l1e l1el1Jed l1is fatl1er 'Y1ith tl1eir land. X's fatl1er states tl1at X \Vas al\vays a ''good bo)r'' and ca1111ot imagi11e l10\v SLtch a tl1i11g could l1ave haiJpened. At tl1e age of sixtee1 1, X came to Adcis to Ii,,e \-x,itl1 a11 t111cle a11d fi11isl1ed seco11da ry scl1ool. After school, X ottai11ed a clerk's JJOsitio11 \xritl1 tl1e local brancl1 of a11 i11s11ra11ce con1pany. I-Ie tl1 en \'(rorkecl for a fe\v years \Vill1 tl1e g�ver111 ne_n_t, b11t retur�ed to tl1e i11s111a1 1ce com 1Ja11y \x,l1ere l1e l1eld a low exec­ ut1ve JJos1t 1o11 at t11e t 1 111e of t11e stab bi11g. X 11ever 1narried, b11 t l1 is frien'1s report tl1at l1e al\vays e11joyed tl1e con1pa11)1 of _wo111e11 a11d seemed to te qt1ite 11orn1 al in tl1is resrJect. X l1 ad a 11111 nber of friends wl10 all testified to l1is good cl1a r acter a11ct J1011esty. Tl1e)' stated tl1at lie s1 Je11 t 1 nost �f his leis111e ti1 ne tall,i, 1 g· \Xlitl1 frietids a11d ridi11g l1orses at Ja11l1oy Meda, wl11cl1 was a SJJecial l1 obby of 11is. _M r .A, X's SLlJJerior at �lie i 11s11rctn_ce comrJa11)', reported tl1at l1e liked X ve1 y 111t1cl1 ,a1 1d 11ever �ot1cecl a11ytl·111g· partictilarly 1111ustial abottt I1irn. J -Je s t_ ated tl1at � de111a11cled _ go?d wo rl< f:0 111 tli ose belo\v lliill ari d 11ad several t1n1es lost l11 s te1111Je r w1tl1 _ 111co1111Jele11t s ttbo r di1i ates. I-le said io\vever, that X J , · l1a_d al\vays d o11e a good Job a 11d t! 1�re \Vas 11 0 . I easo1 1 t o sus fJect ti 1at l1e inigl1t con1init st1cl1 a c riine. �'s � oiidttct iii !? riso11 aw�iti,1_ g tral, i11 tl1e 110s Jit r al d1 1ri 1 1Q l1is 1JS 1 cl1iatric exam111at 1 011 a11d clu1111g tl1e tri al it self see111 ed . l1 it .> t ._, 1 e t q1 1e , \VJ 1ve. e was Je11 1 1 1_ . 1 dra\v11 • a11d eve•11 n,ooct,,J • J-I e ct·ic1 1. 1ot. see111 s to 1 at \,,a I rea ll w · ct d 1 an t e1s 111 Y , l1aJJJJe11111g to 1111n and testifjed 1· 11 1.11s ::> \'<'11 def.e 11 s e o 1 1 t 11 e \XIi t11ess sta11d t11at 11e cot11 ct 1 10t be1 ·1eve t.11at 11e Ji ad real1 stabbed Q. 1 Tl1e Case o= Ato ,,y,, Ato Y i s t\ve11t)1 -11ir1e years ol d ai1ct i as .. been cl1arged a11d convicted of mi1r dei

'

.

.

!. I 1'

TI-IE JUDICIAL ROLE

331

in tl1e seco11d degree (Art..523). I-le l1a� bee11 co11victed once before, in 1952 E.�., for tl1e cri111e of petty tl1eft tArt. 806) a11d se11te11ced to 10 clays in 1J r1so11. Tl1e JJolice l1ave qt1estioned 11 i111 tl,ereafter several ti111es co11cerni11g 11i s act i viti es. For a 11t1111ber of )'ears V l1as believed tl,at T \xras l1is e11e111y. T's father had lost land to Y's fatl1er n1any years ago, a11cl T l1ad stated several times tl,at Y 11ad ''better be careft1l." V al\vays avoided T if IJOssible, a11cl tl1ere l1ad b�e11 110 previotts trot1ble. 011 tl1e 11igl1t of Vel<atit 22, 1954 E.C., V \Vas leaving 111s l1ot1se, ,L sn1all hot1se \vith co1111Jot111d in Addis Ababa, \x1l1e11 a 111a11 SfJOl<e to Y fro1n the shado\xr s at tl1e side ol tl1e co1111Jot111d. V's zebaro,a \Vas 11ot arottnd, a11cl V \Vas ratl1er frigl1te11ed. T ide11tified l1i1nself, a11d saicl tl1at l1e !1acl corne to tall< \v'itl1 V. V st1dde11l)' picl<ed tlfJ a sticl< Iyi11g 11earby and l1it 111 t11e directio11 of T's voice \Viti, 4 str:)i<es, 011e of wl1icl1 l1it T 011 tl1e l1ead. T tofJplecl for\varcl bleeding fron, tl1e l1ead. V ra11 for !1elp, bttt wl1e11 lie rett1r11ecl abot1t 10 1ni11utes later with a doctcr, �r \Vas dead. Y later testified at tl1e trial tl1at l1e l1acl bee11 very frigl1te11ed by T a11cl l1acl believecl T to be ar111ecl. A psycl1iatrist \xras co11s11lted a11d :;tated tl1at V, altl1ot10-l1 of lo\v intel0 lige11ce, seemecl to be a 11ormal i11dividLa1 .

Tl1e Police Re1Jort states tl1at ·v wc.s bor,1 i11 Addis Ababa. I-le lived l1is early years \vitl1 l1is 111otl1er a11d several sisters. He l1as ,,ever l<110\v11 l1is fatl1er '\vl10 desertecl l1is 1notl1er before lie \Vas bor11. Y got alo11g· pretty \veil \Viti, l1is 111other, bt1t several ti111es, \vl1e11 LlJJset, ra11 a\vay fro111 l10111e 011ly to be rett1r11ed by tl1e fJolice a fe\v clays later. V l1acl a 11t1r11ber of frie11ds some of \Vl1om were regt1larl)' co111111itti11g cri111es. I Ie - \Xias a co11ti11t1al trt1a11t fro1n scl1ool and left altogetl,er after tl1e fot1rtl1 grade. He l1ad do11e very fJoorl)' i11 scl1ool a11d always 1nai11tai11ecl tl1at lie '/1atecl'' it. I-lis 111otl1er tried qttite l1ard to SUfJJJort lier daugl1ters a11cl s011 by \X10rl<i11g i11 a local lat111dr)', bt1t of cottrse l1ad to be away fro111 l10111e a11d lier cl1;ldre11 ever)' day. - l1as V supported l1in1self after tl1e age of 14 by obtai11i11g odcl jobs. J Ie - 111arried at tl1e age of 11ever worked steadil)' a11d ofte11 is \vitl·ottt \VOrl<. J Ie 21, bt1t left l1is \'Vife soon tl1ereafter. I-le is still legally m<:1rried, bt1t does 11ot l<11ow \vl1ere his \xrife is livi11g. V's frierds are of lo\v class \vitl1 little eclL1ca­ of time c ri11l<i11g, and several of tl1e1n l1ave bee11 deal d goo a 1d SJJe1 y . Tl1e tio11 • • 1n jJr1son. Y's bel1avior l1as bee11 good d11ring trial a11d i11 tl1e period i11 1Jrison a\va'iti11g trial. SECTION C. THE ADMINISTR,\ TIVE ROLE IN SENTENCING

THE DETERMINJ-\ TION OF TI-IE PENf\LTY 14 M. Fre_javille a1,d ]. C. Sayer Th e Role oj the Ex ecr,t,tive A u tf1or�ty: \Vl1e11 tl1_e JJe11alty is being ap1�Iie_d, tl1e . vary 1e 1mpl�me11tat1011 of the. pe11alt� \V!tl11n �l1e exectttive authority may t} bourids established by tile jttdge. There 1s a gttarantee aga111st arb1tra1y action 14.

Frejaville and Soyer, Droit Crimine/ 47-49.

332

TI-IE SENTEi-JCll'�G PROCESS

r ea se tl1 e maxi c in , ot is it 11n t ca 1a l t , itv r o 1 tl au m um ectttive x e e 1 tl f , 0 t r e l t on s tl1u th it, fur e uc can red e it r ind ivic 1 icl \xl1 i 1 1 ys wa e r a l� e pel � al.� ��owever ther n s ' ate n' er tio op za ali 1 d1 vi e di i11 tiv 1 i11 t 1is 1 1 1i dn ''a ma ,is · ' Tl Y lty ,a i e j) tl 1e y llal IZI 11g ways: e nal ti es may, throtigli p ll A : on rd Pa h ug ro Th rt io at iz Admirtistrative Jrzdividual 11 f11 _ l ly JJardo11ed. Th is � ev or ce 1 d d1 1·� �e e , at St l 1e t of '' { Jardot,'' b)' tl,e J-lead 11sp1red by cor1 s1der at to ns re a_1 ted to the 1 s ay w al t 1o 1 is d an i s at, act of n,ercy r ve this purpose se ay rn on 1·d a JJ 1e r TJ . �� fen of e tl1 of 11 io at fJOssibilit)' of rel,abilit e11�e11t_ 11pon good ;JJ , _ on rd l pa 1� o1 1t� nd co of se ca e tl1 1 1 i � 1 ,o\vever, sttcl, as r e- e du�at1ng obl 1gat1 ons such as n a1 rt c� of e 1 1c a 1 n r fo r JJe 1e l t or cot,dttct ... r at!e11d1 11g le�tures. 01 1 p rofe ssional o s ce p]� 1t e1 sem n11 1 a 1 1 tai cer g ti11 e11 qu 11ot fre 1ed wi th d_1ffere11t mo t_ ive b1 1 1m 1 e oft s 1_ r, e s v we ho 1, 1 do 1�ar T 1e l trait1ii1g .... 11 on the occasion of a nat1011al do JJar 1 ve · llec (co re 1atu 1 al it1c 1Jol a of are wl1icl1 feast for insta11ce ) or l1uma11itaria11 11att1re 15 (con1m11tation of a death JJenalty \vl1icl1 l1as created a stro11g JJt1blic OJJi1io11) .

Admirzistrative I,2diviclualization Thrcugh the Periitentiary System: The exect1tive at1thority \X1l1icl1 is i11 cl1arg·e of tl 1e exect1tion of JJenaltie s involvir1g lo ss of freecl o1111 has 11ere also vast f)Ower becri11g on t]1e term of the se11tence. It has at its dis1Josal a ta11gible \vay of calibrati 11g t 11e severity of tl1e sentence by affecti11g tl1e n1etl1od of executio11 wl1 cl1 1nay percepti bl}' modif}' the judge's se11te11c e.Tl1ere is, for insta11ce, a co11;iderabl e difference between assigni11g a 1Jriso11er to a11 agrict1lt11ral farn1 (priion witl1ot1t bars ) a11 d a formal pri so11, bet\v1ee1 1 gra11ti11g certai11 f)rivileges s11ch as 011tings, 011tside \vor k, semi-free­ do 1n, etc.

. Admi,iistrative Individualization . Thr�1,1,gh Conditiorzal Release: Again tl1e exec ­ Ltt1 ve ag e11cy l 1as g·reat JJower at its d1s1)osal - JJO\ver bear ino- 011 tl1e le11 ath of tl1e sente11ce - si11ce it may red11ce tl1e ter n1 of im1Jriso1,;e11t by 0arar1th 1g a co11ditio11 al release. Co11ditio11al release is tl1 � _s�1�JJe 11sion of a IJenalty of i1 1carceratio1 1 for good condttct where tl1ere are IJOss1b1l1t1_ es of rel1abilitatio11.Tl 1is JJresLtJJIJOse s tl1at jJart of t he s�e11te11ce _ l 1�s be_e1 1 servecl 111 accorda1 1ce \'vitli tl 1e seriousi iess of tl,e of­ of tl 1e JJe11itf11tiary, follo\vi11g· an 01-cter of tl,e i\1inis­ fe11se. l l1e _ad1111 �11strat1_011 . try of . J ti stice, [11 1 Etl1 101J1a tl1e Cot1rt, 111)on r eco111n1endatio11 of ad111inistrative �titliorities, Ar t._207 P.C.E.] _111ay g·ra11t tl1e JJriso11er freedon, 111 1der tl1e co11dit1011 tl1at lie \x,1 11 not abt1 se 1t a11cl tl1at I·1e \Vill use it to reliabilitate 1,i111self. Tl1 �1s tl1e d�cre� of co11c!itio 11al r el�ase 111a)' be g r arlted r a tri al period fo . tl1e l11n1t of wl1 1c l1 1s deter1111 n ed by la \x, It ma)' esta bl ts I 1 certa1·11 S!Je�1· al obl'ga tio11s (sL1cl1 as tl1at of i1ot associati110 �v1 itl1 certac in � t ) co11 · JJerson a 11 1 s , c e r t · . ::::i • . 1re s (s11cJ1 as. ti ia t O f tio t restctiug· 111 a IJarticul ar 111 r.> ast ertai11 c di an st ric d t) blig a.t·1011 s of ass\�tance (st1cl1 as acc�JJti11g so1ne so 1·t of 111oral or material � LI ard 1a 11 s 111· JJ •) • . . . 0

-�i

· · on, 111 tl1e i11s t a11ce of a 11e\v violatiO!i or 1 b 1011-? 1gat1 a11ce sery bl o _ 1 of 1 a tl1e co11ditio11al release 111ay be i·e\,;]<ec· tl,e coi, tl v�ct �11! de l1av by a� 1 e to :e revocatio11 a11cl serv e all or fJart of tliE' se1 1teii c e 1 ema1111 11g· at tl 1e time of his co11ditio11al release · If 011 tlie contrar}' 110 1 ocatio re\ n 1 1as 1·11terve11ed, tl1e re· ' Iease, at tl1e e11d of t11e trial fJeriod, b �cotnes fit,al.... 15. See Arts. 239-241 P.C.E. for I)ro,,isioils o- pardo conee.r11n . . . 1a. . n a 0 d n 1 E am nes ty 111 ·t1 16 · See Arrs. ·112 , 206-215 PC 1op . s • · ·E· fot· p1.ov1. s1on •·oncer· n111g cone11t1 . .011a I release in Ethiopia.

RP· ,

7"' .

1

. ,..'

-

' '

333

TI-IE ADMINISTRATIVE ROLE

.'

SENTENCING BY AN ADMINISTRATIVE BOARD 17 Norrnan I-Iayner

In most jurisdictio11s of tl1e U11ited States a11d its territories, co11victed crimi11als are se11te11ced by jt1dges alone. Tl1e i11determi11ate-se11te11ce laws of �n increasi11g nt1111ber of jt1risclictio11s, ho\vever, jJrovide a s1Jread bet\v1ee11 1ni111mu111 a11d 1naxin1t1m ter111s, tl1t1s givi11g tl1eir jJarole boards res1Jo11sibility for deter1ni11i11g tl1e actt1al tin1e a fJrisoner \v'ill serve.... •

•

•

•

. After a bloocly 1934 riot at Wasl1i11gton State Pe1 1itentiary, ti1e state leg1slatt1re e11acted a la\v \Vl1icl1 tl1e I-Iaxraiia11 Board 110\xr reo-ards as a mode[. TI1is legislatio11 establisl1ed a11 incle1Je11je11t ft1ll-ti1ne Board of Priso11 Terms a11d Paroles, cotTifJosed of tl1ree membe·s to be a1J1Joi11ted for staggerecl six-year terms by tl1e Oover11or, st1bject to apfJroval by tl1e Se11ate. \Vitl1 certai11 offe11ses exce1Jted, it is still tl1e dt1ty of tl1e triai court jt1dge to clecicie \xrl1etl1er lie \Vil! grant jJrobatior1 or ser1cl a co11victed offe11der to jJrison. If l1e cl1ooses the Iat­ t�r cot1rse, 1 10\xrever, he 111a>' set 011ly the maxi11111m sente11 ce, \vl1icl1, to a co11s1derable extent, is deter111i11ed by law. Tl1e Board 1nt1st set tl1e 1ni 11 in1t1111 \xritl1i11 six mo11ths of tl1e i1n1Jositio11 of tl1e maxi111u111 se11tence. Origi r1 all)', after tl1e 111i11imt1111 se11te11ce \xras fixed, it was 11ot st1bject to cl1a11ge, exce1Jt for mir1ors; but flexibility \xras adcled b)' a rece11t a111e11clme11t, \'\il1icl1 fJrovicles tl1at \vitl1 tl1e exception of 1na11datory-life-i1n1J1iso11111e11t, l1abitt1al-cri111i 1 1al, deaclly-\vea1J011 a11d certai11 e1nbezzle111e11t cases, 1ni11i11t1111 se11ter1ces 111ay 110\xr be reco11sidered after 011e year l1as bee11 served, at \xrl1icl1 1irne tl1e)' ma)' be redt1cecl or exte11ded. 0

1

•

•

•

•

Se11tenci11g by a11 ad111i11istrative boc:rcl ca11 l1ave tl1e follo\vi11g disaclva11tages as con11Jared \x,·itl1 to1J -qt1ality jt1dicial s�11te11ci11g: 1. Tl1e salaries 111ay be so lo\xr or the gover11or's jJolicy i11 111al<i11g a1J1Joi11t­ me11ts so political tl1at tl1e 111e1nbers \viii 11ot jJOssess tl1e jJerso11al qL1alificatio11s equivale11t to those of l1igl1 judicial off icers, edt1catio11al b,tcl<grot1r1ds broad e11ot1gl1 to [Jrovide 1<110\vledge of tl1ose fields 111ost closet)' relatecl to correc­ tio11 - e.g., psycl1iatry, ps)rcl1ology, social \xrorl<, sociology, _eclL1catio11� 1.a\v or -:1 011 experie11ce in [Jrobation, fJarole, law e11forcement, or correct1011al ad1111111strat • 2.U11cler sL1cl1 circ11n1sta11ces, 111e111bers 1nay lac!< tl1e jL1dgn1ent 11ecessar;' to mal{e wise decisio11s or tl1e cl1aractEr to resist JJressttres fro1n jJrosecL1tors or influential fJOliticia11s \xrho de1na11d favorable actio11 \xritl1 res1Ject to tl1 eir clier1ts. Where salaries are co1n1Jarable to tl1 ose of jt1dges a11d \vl1ere sta11dards influenci11g aJJJJointme11ts are l1igl1, l1owever, se11te11ci11g by a11 aclmi11strative board has the follo\vi11g adva11tages: 1. Decisio11 abottt the se11te11ce can be delayecl t111til a sig11 if icant bocl)' of l<11owledge co11cer11i11g tl1e offe11cler I1as beet: collected a!1cl org�11izecl. If tl1is is do11e by tl1e professio11al staff of a re:eJJtto_n ce11ter, 1t ca11 1nclt1cle \v1l1at a trai11ed probatior, officer migl1t . i11corJJCr�te 111 a fJr� se11t_ence re1Jo1�t JJIL1s tl�e result of weeks of observatio11, 111terv1ew1ng·, a11d test1!1g 11: tl1e �d1111ss1011 t1111t. Having 1nore facts, the Board is able to 1nal(e 111ore 111tell1ge11t Jt1dg111e11ts. 2. One of the weal<11esses of sentenci11g by jt1dges is tl1e \xricle variabilit)' i11 ser,tences for offei1ders wl10 I,ave cDtn1nittecl similar critnes, l1a\re sitnilar 17. In 23 Law and Contemporary Problems 477-478, 493-494 (1958) . ..

334

TfiE SENTEl'CINO PROCESS

e 11 tl1 he . 1dg W 1 J· ics ist ter ac ar cl1 l 111e ra rso pe nts .., a1· 1 1· 111 .. . 1· s of . ve lia d . . 11 . IJ r1o r 1 eco 1·d s, a rm u_ b e o t m � 1 1 o y 1 · 1 1 . 1 _ e 1 e ce . 10 · a1 1 · 1s ec � 1 at 1 1n 1f t1 t1l c � 1e tl , ed ol Jo e ar s er 11b l tliree 111e1 d ge e JU 011 at Of 1S 101 CIS de t]1e fe be d1f l Lt}C \X!O reilt 11 tl1a c es · ·111 COn1 J)cl, I.a bl:.e cas . )' 1 i t e1 1 d · e1 d 1 ep a 11 1g t · 11 er JJ O es g td Jt y 11 1a 11 times or tlie decisioi1s of t 11o 11 e!y to tlie er ve m gi 11 be ca 1 o1 1ti te1 at . s, ct fa te 11a eq ad ,.., \X/itll 1,,ore to e tl1 ar 1l1 ct s pe di 1n 111 le ob to pr �o t al dt vi 1t b1 al l, rc co re l 1a 1i1 i11 cr e tli d aii · critll� offe11der. 4. Wlie11 Ja,'v's are st1fficie11tly fle)<ible, se11te11ces can later be reconsidered i11 tl1e Iigl1t of JJrogress a11d 1·eadjt1sted a1JJJropriately.

Qutstions 1.

2. 3. 4-.

5.

Wl1at. role i11 tl1e se11te11ci11g JJrocEss l1as bee11 give11 to correctio11al a11tl1o r­ ities i11 Ell1ioJJia? Wl1y l1as s11cl1 a role bee11 allocated to tl1e1n? Witl1i11 \'v'l1icl1 bra11cl1 of gover11111e11t are 1:orrectio11al at1tl1orities? ls it \'(!ise to dis­ tribt1te se11te11ci11g· f1111ctio11s a111011; tl1e tl1ree bra11cl1es of gover11ment?

Does tl1e cl1ief exectttive i11 Etl1ioJJia l1ave a right to gra11t JJardo11 a11d a1n11esty? Wl1at JJltrJJOse does st1clt a right serve? \Vl1at are tl1e resJJective roles or correctio11al a11tl1orities a11d courts i11 gra11ti 11 g co11 cli ti011al release i11 Et bioJJia?

Sl1ot1ld greater respo11sibility be give11 to correctio11al autl1orities witl1 re­ s1)ect to tl1e deter1ni11atio11 of p:iso11 se11te11ces? \Vo11Id )'OU favor tl1e deferral of JJriso11 se11te11ces t111til ti,e rel1abilitative JJote11tial of tl1e offe11der ca11 be eval11atecl? Sl1011ld Art. 136 be exte11ded to aJJfJly, i11 additio11 1 to all 1)ersons se11te11ced to JJriso11? �0�1ld_ yo11 recom1ne11d se11tenci11g b y a11 admi11istrative board of inter­ cl1sc11Jl111ary ex1Jerts? Wl1at \X!OLtld tl1e aclva11taaes of sucl1 a11d disadva11taaes 0 0 a se11te11ci11g board be i11 Etl1iojJia? Recommended Readi11cr 0s

De1Jart1ne11t of Social Affairs, U11itecl \Jatio11s, T/Je frt deterrninate SeJi ten.ce, U.N. Ptibl., ST/SOA/SD/2 (1953) (tl1e be�t state111e11t co11cer11i11 g se11te11cing JJolicy i 11 co1111Jarati ve Ia\'v'). S.>'ITIJJOSi11111 on Se11te11ci11g, 23 La7.v a ci <:;o,1 te,np o rary Pro blenis 399-582 (1958) � (a11 excelle11t series of articles co11�1der1i1g· tlie JJroblen, of sei,teiiciiig from a variety of JJers1Jectives). B011zat, . Droit Pe�2 l 29_3-583 ( exte1�dec discussioii of of ste m tl, re e a nc 5 f l, y JJ1�111�11111e_11t 111cILtd111g t1 1e var 1ety O f a Iter r1ative 5 ava1· Iab Ie to the french cr1111111al JLtdge). Ma11nl1eim 1 S0111e AsJJe_cts o·� Jt1dicial �e11teticii,g 1 198 Po lic 96 J 67 y· L l ( 1958) (excelle11t d1sc11ss101 1 of tli e JJOlicy coi,si y . a . g · c te . 111 1 t' c · 1 a 11 o 11 e e s · 111 ·t 11 e s · · ) . R11b111, T/Je Law of Criminal Co··ecti·on 73- 15 1 ( e 11s1� 9 l �3) e JJrel1 (a er ratl1 co111 co11sideration of tlie senteii�i 11g 0·= of. fei . ,ders in ss 111 JJr tl1 oc e e cr i1n i11 al A111erica). R11bi11, Tl1e Moclel Se11tetlCI· iig Act, 39 New York U. L. Rev. 251-262 (1964)

.-.. '

I

THE ADMINISTRATIVE ROLE

335

(sl1ort article explai11i1 1g tl1e 11e\v Model Sentencing Act of tl1e Natio11al Cot1ncil 0 1 1 Crirne a 1 1d Delinqt1ency, United States). Bennett, Pilot Se11tenci11g l 1 1stit11 te, 50 J. Crini. L. Crim. arld Pol .. Sci. 385-387 (1959) (a legislative i11novation in tl1e United States dealing \'<'ttl1 tl,e prob­ lem of se11te11ci11g). Oilliero11, Le Role cl11 J11ge dans l'Exect 1tio 1 1 des Peines, 70 Rev1-te Pe,ial Suisse 267-278 (1955) (a brief co 1 1sideratio11 of tl1e role of tl1e jttdge i1 1 tl,e co 1 n­ n1on la\v, Italy, France, Portt1gal a11d several Swiss ca 1 1to 1 1s). \Vecl1sler, Sente 11cing1 Correction, a 1 1cl tl1e Model Penal Code, 109 U. Penrisyl­ vania L. Rev. L165-493 (1961). Cohe11 and Cohe 11, Readi12gs irl ]1,trispr1,ede,1ce a11d Legal Pl1ilosophy 358-361 (short selections fro 1 11 Becle, Saleilles and lv1. Col1e 1 1 0 1 1 tl1e i11dividt 1 alizatio 1 1 of p11 1 1ishment). Kadisl1, Legal Norin a 1 1d Discretio11 i11 the Police a11d Se 1 1te11ci1 1g Processes, 75 Harvard L . Rev. 915-931 (1962) (argt1 1ne11t for more procedt1res a11d sta 11clards to co11trol tl1e broacl jJolice artcl jttdicial discretion in tl1e crimi 1 1al JJrocess i 11 Atnerica). Col1,t1nbia Law Review, Statt1tory Structt1res for Sente1 1cing· felo 1 1s to Prison, 60 Columbia L. Rev. 1134-1172 ( 1960) (carefttl cor1sideratio11 of various fJatter11s of legislative fJrescri(Jtion i 1 1 se 1 1ter1ci1 1g). Seid 1 na 11, I Criminal Law a12d Procedure 74-130 (1963) (interesti 1 1g comparative arid f\frican materials 011 tl1e st 1 bject of se11te11ci11g). Ol(Otlk\VO a11cl Naish, Crimi11al Law in Nigeria 41-45 (I 964) (sl1ort sectio11 on sentenci 11g i 1 1 Nigeria). Sl1ol1am, Sente11ci11g Policy of Cri1ninal Courts i11 Israel, 50 ]. Crim. L. Crinz and Pol. Sci. 327-337 ( 1959). J-Iood, Sentencing irz 1vlagistrates' Courts (1962) (a stttcly of tl1e variations i1 1 the ser1te 1 1ci 1 1g policies of 111agistrates' co11rts i11 E1 1gland).

I

'i

.

'

. .

.•. '

.

.

.

CHAf-TER 15

The Ideal of Deterrence SECTION A. CAPITAL Af\D CORPORAL PUNISHMENT

a. Capita: Punishment CAPITAL PUNISI-I;v\ENT IN ETHIOPIA 1 Steve,z Lowenstein • • •

•

Ca1)ital fJL1nisl1me11t I1as bee11 r etai11ed by t l 1� Penal Co de_ [of 19�7]. �I1e Cocle J)rovicles tl1 at it sl1all be exec11t(d by l1a 11g 111g and may, 1n tl1e d1scret1011 of tl1e coL1 rt be carried 0L1t i11 !)Ltblic to set a11 exan1ple to ot hers (Ar t. 116). 111 tl1 e IJast, 'traditio11 a11d publ ic se11ti11e11t i11 Et hiopia l 1ave tended to consider 11 1urder a fa111ily n1atter to be dis1Josej of eitl1er by pay1ne11t of ''bl ood 111011ey1 ' or reve11ge on tl1e 1Jerpetrato1·, of1en i11 tl 1e satne ma1111er i11 wl1icl 1 l1e l1ad l<illed l1is \1ictin1. Tl1ese feeli11 gs \xrere so s tro11g· tl1at it l1as bee11 re1Jorted tl1at after e11act111e11t of tl1e 1930 Pe11al Code, a n1ember of tl1e 111urdered n1a11's fa111ily was al lo\x,ed, i11 a IJrescribecl place, to fJUll tl1e trigger \XTl 1icl1 carried 1 011t tl1 e co11rt s se11te1 1ce of deatl1 .(26) It 1n11st be 11oted, 110\xrever, tl1a t tl1e deatl1 se 11te11ce may 11ot be i11f l ictecl 011 JJe rsons 1 111der tl1e age of eig l1tee11 or of li111ited respo11sibility (Art. 118). a 11cl b)tl1 t radi tio11ally ancl u11der Article 59 of tl·1e Revisecl Co11stitt1tio11 of 1955, no se11te11 ce of deatl1 ca11 be exect1ted \vitl10L1t tl1 e co11 firn1atio11 of tl1e Em1Jeror. According· to tl1e Priso11 Statistics of 1956, E.C._ (1963-64 O.C.), 997 1Jerro11 s were l1eld i 11 1Jriso11 under se11te11ce of deatl1 wl11le or1 ly 39 cleatl 1 se11terces \Xrere executed. A l tl1oua tl1is 111ay 0 l1 IJartially be d11e to i11efficienC)' i11 obtai11i110· co11fir 1natio11s tl 1e n1ore l il<el)' reaso11 is tl1e q11ite traditio11al le11 ie11c)' of tl 1� E 1n1Jeror i t 1 {1se of His 1Jardo11 a11cl a1111 1esty IJOwers.<27> 2 ETI-IIOPIA TI-IE RATIONALE FOR CAPIT,\L PUNISli.N\ENT IN

Jeci1z Grave11 •

•

•

I

. l11 tl1e Etl 1io1Jia11 context it \X'Ottld i11 IJartictilar 11 ave bee11 an inco11ceivable � 1stal<e, _a11cl eve11 a11 i1111Jossibilit)', to_ abol isJ1 tlie deatli (Jerial ty a t tlie fJrese11t t1111e. It 1s 11ot 0111)1 11ecessary for soc11l IJrotectio11, btit is based 011 t11 e ver)' �;:5e)nsre j,,? Tjhe Phenall S \t��111 ?f. Etl1iopia, i1 Milner, Penal Systems of Africa (to be published in an - . El . • ( \v 111ter, 1965). ( 26) Perhan1, Tl1e Govern1nc11t of Ethiopia 142 ff. (27) An11ual Report of the Pris on De1Jarrn1ent, 1vinisr ry of Interior. 2. Gravc11, Intro., Le Code Penal de l'Erllpire d' �tl - ,·101J1· e,. eng1·1sl1 trans at10 I . 11, 1 ] . Eth. L. 28 9 (1964). I•

1

t

.� ' . ---. .

I, ·. .

'

r..

' .. .

I­ t

CAPIT.I\L AND CORPGRAL PUNISI-IMENT

,

337

deepest feeli11gs of tl,e Ethiopian JJeOJJle for jttstice a11cl for ato11e1ne11t· tl tl,e 11 i l1� st destrt1ctio11 of !.ife, acl1ieve n 1e_11t of tl1e Creator, ca11 011ly be · pa;� � _ for by tl1e sac11f1ce of_ tl,e life of the gu1lty JJerso11. As i11 t]1e Cl1ristia11 Ettro­ pea11 S)'stem of ti,� Iv\iddle A�es, deatl1 is al\xrays a 11ecessary co11clitio11 for t11e JJardo11 a11d s�lvat1�11 _of the s11111er, and also for ex1Jiatio11 for tl1e evil \vl1icl1 lie has_ c�1111111tted; it 1s acce1Jtecl �11cl a1Jproved by all, a11cl i11 tl1e first IJlace by tl1e cr11111n_ al \x,_110 l1as cleserved 1t, a11cl is carried OLtt i11 a dig11ified atmo­ SfJl1ere qt11te d1ffere11t fro111 tl1at of ottr for111er exect1tio11s \vitl1 tl1e axe or tlie 1 1oti11e. . . i 1 at I:> TI-IE ARGUMENTS FOR J-\ND AO(-\INST CAPITAL PUNI Siilv\ENT3

Te,nporary New York Stcite Co1111nissiori on Revisiori of tl;e Penal Law (1965) .A-1ajority Report: The qt1estio11 \vl1etl1er tl1e co111n1issio11 sl1ot1ld recom111e11cl

the abc>litio11 or the rete11tion of ca1Ji_tal_ pt111isl1111e11t i11 Ne,v Yori< State IJre­ se11ts tl1e gravest problem ottr co1111n1ss1011s call 011 tts to face. As is tI1e case \Vitl1 111ost great _issttes i11 tl1e fiel ? of la\v a11d gover11111e11t, tl1ere are argu­ ments 011 botl1 sides of tl1e quest1011. 'Tl1ose argL1111e11ts are fairly 111arsl1aled in tl1e staff re1Jort, \vl1icl1 also fairly SLtnmarizes st1cl1 i11for111atio11 as tl1ere is to aicl ot1r jt1dg111e11t. l11 tl1e e11d, \xre are obliged to cl1oose bet\veer1 con11)eti110valt1es 011 tl1e basis of i1n 1Jerfect clata and ottr cl1oice, 011 bala11ce, is to vot� for recomme11di11g abolitio11. Ottr reasons are as follo\xrs: First: T he exect1tion of tl1e 1Je11alty of cleatl1 calls i11esca1Jably u1)011 tl1e

agents of tl1e state to IJerpetrate a11 act of SLtlJre111e violence 1111der tl1e circL1m­ stances of tl1e greatest crt1elty to tl1e i11dividL1al involvecl. 011ly tl1e clearest co11victio11 that st1cl1 actio11 is esse11tial to tl1e !)Ltblic \x1elfare possibly ca11 justify a 111easure of tl1is l<i11d. We see 110 h1sis for l1oldi11g tl1at co11victio11. Tl1e social need for tl1e o-rievoLtS co11de11111alio11 of the gravest cri111es ca11 be 111et, as it is 111et i11 abolitio11 states, witl1ot1t resort to barbaris111 of tl1is l<i11cl. Second: Tl1e rete11tio11 of tl1e deatl1 pe11alty l1as a seriously ba11efLtl effect 011

tl1e ad1ni11istratio11 of cri111i11al justice. Tl1e very . fact tl1at life is at stal�e intro­ dttces a morbid a11cl se 1 1satio11al factor i1 tl1e trial of the accL1sed a11d 111creases the da11ger that jJttblic sympatl1y \vill be arottsecl_ for tl1e defe11_dant, regardless of his g11ilt of tlie crime cl1arged. Ttis n:orbtd fac! or carries througl1 tl1e period precedi11g exectttio11 a11d fJLtblic se11t1111e11t, \vh1cl1 sl1? Ltld SLllJJJort tl1e la\v a11d its administration, is often 111arsl1aled on the otl1er side. Third: Some erro11eotts conviction, are i11evitable i11 the co11�se of the_

enforcement of tl,e jJei1a1 la \Xl a11ct error sometimes ca1111ot be _ establ1sl� e� t11� t1l time has passed. Sttcl, errors ca1111ot be_ correcte� after execut1011. A11 1nJt1st1ce of this l<ind destroys tl1e 111oral force Oi tl1e e11t1re j)enal law. d re m ste acl �11i ot be 11n ca lty 11a JJe 1 atl e d_ the at tl1 11 ow sh s Foi,rth: Experience 1,a in tlie Utiited States \vitll even rotigh e�t1al1ty. All �tates }1ave fo1111� 1t 11eces­ sary that the penalty be 011e tli at is discretio11�ry \Vttl1 tl1e court �r JLtry; even if tl1e sentence is itnposed, tlie cJ,ief exect1t1ve 11111st \Vrestle \v1tl1 de111ands 3·

'

1ission on Revision of the mn Co te Sta ary por · Tem Excerpt ' ent 'sh rn uni p l · ap1ta C s from tI1e Report on - , 1965 l arcl1 ?Q I e New york T"1n1es, M in Ti ed ort rep as Penal Law and Code of Criminal Procedure, p. 23.

.

'

•• •

•

.,

.,

•

TI-IE IDE/'.\L Of DETERRENCE

338

l u of ec r ex be 1e d. m 1te 11u 1 a1 io g 1 s is ii1 n 1�1 te of r is y ,1c ne ei cl ,c a, l fo r clenie,,cy . I l a 11 1 s Y l 1e 11 e r t x e ce, e11 1 L co 11seq d d lea d 11s to tavor abolition, te ul sta wo ve l1a we 11s tio a er Fifth· Tlie coiisicl cy ica eff er1t e1·r r det ate gre a tl1a 11,s J tl1 clea 11 tlie of t rea 1 t · tlie · ot 11 1 o . · er ti 1 · · e l 1 \VJ � l 11c h w s 111 se , ch ca ed su be de 111 y, ma re · !1e iq �n l . 11t ne !11 ue so Jri l itl iig lo of l tllreat ve we l1a _ as ta 1 �a ._ 1cl ted S� rri er ca e:x _ es as­ e11 be _ ct fa 111 s 1,a r Y«e JJO d eterreiit e. 1c a1 e 1c 1f t1v gn 1ta s1 nt 1a qc · 01 aJ 1n 110 s l1a or ct fct Sltraiice tl,at tliis lvlinority Report: for reasons e1111 111crated belo:W! the undersigned members of tl�e TeiniJorary State Con11nissio11 c_11 �l1e Revision of the Pe11al Law_ and Critnitial Code clo 11ot joi11 \'{,'itl1 tl1e_ n1aior1ty of tl1e memb�1-s of the _comm_1ssio11 in tl,eir reco1n1ne11dation tl1at caJJital p11111sl1me11t be e11t1rely abol1sl1ed 111 the State of Ne\v Yori< at tl1is time.... Ca1Jital pt111isl1n1e11t is as �1arsl1 :t p11nishment as murder is he�11ous a cri111e. Becat1se \xrar1to11 1n111·d er 1s so extremely morally wrong, tl1e JJU111shment therefore 1nt1st re111ai11 JJrOJJortio11ately extremely severe to emphasize to otl1er \VOttl d-be 1nt1rderers tl1e l1igl1 oc1trage :l1at society feels against tl1e commissio11 of sL1cl1 crit11es. Co11versely, a1 1y 1111jt1s:ified lessening of the severity of pL1n­ isl1111e11t for n1t1rder i11 aJJJJrOJJriate sitt atio11s co11ld be tal{e11 by tl1e murderer a11 d by otl1ers as a11 i11dicatio11 tl1at ot1.· society no lo11ger regard s sucl1 murders as the 1nost l1ei11ot1s of cri111es. Hun1a11 11att1re, bei11g· \X1l1at it is, m11.;t be 1111cierstood to dema11d, 011 occasion, a re\1ersio11 to earlier jJe11al co11ce1Jts cf retaliatio11, vengeance, and tl1e placa­ tio11 of a11 OL1 tragecl con1mt111ity. Tl1e experie11ces of otl1er states tl1at l1ave, over tl1e years, abolisl1e d caJJital pt111is:1n1ent a11d later 1·etur11ed to it because of tl1e occt1rre11ce of s01ne one JJartic11 ar 1nt1rder, sl10L1ld serve as a sig11ifica11t war11i11g to Ne\v York tl1at abol ition shot1lcl 11ot be e1 1tered t1po11 eitl1er ligl1tly or 011 grot111cls tl 1at do 11ot f11Ily tal<e iJ1to accot1nt the frailities [sic] of hLtman 11att1re or the con11Jlexities of tl1e society a11d the disturbances of tl1e times i11 \xrl1icl1 \Ve live.... Tl1ere is_ n1o�·e cri111e in tl1e State )f Ne\v· York tl1a1 1 any\v]1ere else 'in tl1e · \VOrlcl. Tl_1e l11�tor1c�I re�sons a11cl jl1stif:catio11s tl1at l1ave l<eJJt tl1e deatl1 pe11alty for certa111 c�1111�s 111. tl11s state to tl1e 1Jrese11t titne sl,ould riot be sudde11Iy a11d _st1111m�r1l� 1!1val1dated or 11L1llifiecl b)' ttntestecl a11d tlnfJroven claims of t l1e l1t1111ar1 1tar1a111sm of otl1er 111et l1od � of p111iis11111e11t or the ir,effectiveness o� tl1e ? ld 011es.Nor sl1ot1ld tl1e Leg·i�lat11re be S\xrayed by clever serna11tics 1�1 et�1:d111 g to_ s�1ow tl1�t tl1e s�ate l1a, tl1e bttrcle11 of JJroving to the aboli · ­ . t10111sts tl1at c,11J1tal JJL1 111sl1111e11t ts a cl e:erre11t to criii,e. •

•

•

•

TI-IE DEATI-I PENALTY AND ITS DE1�ERRE N T EFFECT Tl?orstei Sellin.

(see fJjJ.23-29 supra) .

COMPARATIVE STATISl�ICS O N CA PITAL PUNISiiMENT4 Departr;zent of Social and Ecoionzic · · AfjrJ, .raz·rs, u r r12i·ted N.atz·o11.s The first cases of the total aboliticn of the death penalty by statute date 4.

Departme11t of Social and Econ o 111 ic A.·ffai· rs, UI'li·ted Nations, Ca S1'/SOA/SD/9 pp. 28-30 ( l 96Z). pital Punishment, U . N. PubI.,

l

'

'

CAPITAL AND CORPORAL PUNISHfv\ENT

339

fi:om the late eighteenth ce11tt1ry; in 1786, Leopold II of Tt1scany J)romt1lgated his celeb�ated code, tinder tl1e direct i11spiratio11 of Beccaria, a�d this \Vas follo\ved 1n the next year by tl1e J)e11al code of Jose1)h I I of A11str1a.... · · . C�J)ital �rimes are still relative! )' 1111n1erot1s.The 11t1mber of cot111trie�, [110\�eyer], 111 wh1cl1_ offe11ces otl1er tha11 mttrder are pu11isl1able by deatl1 1s decl111111g, thot1gl1 this re1nark sl1ot1ld be qttalifie cl by a refere11ce to 011e of the outsta11ding feat11res of tl1e legal sociology of the last tl1irty years: tl1e rea1)pe�ra1}ce of tl1e deatl1 j)er1alty for l)Olitical cri1nes.Tl1e tre11d to\vards a11 author1tar1an system of cri111inal la\v \Vhicl, cl1aracterized tl1e first l1alf of tl1e twe11tieth cent11ry has cl·1ecl<ed tl1e slc\v 111ove111e11t towards gradttal abolitio11 tl1at was beco1ning altnost 11niversal. As a res11lt of a variety of circt1111sta11ces, many bttt not all of ,vl1ich are clue to tl1e i11fl11e11ce of tl1is at1tl1oritaria11 tre11d, the death f)enalty l1as s01neti1nes reappearecl i11 a 111ore or less per111a11e11t mariner i11 co1111tries \vl1ere it l1acl 011ce bee11 abolisl1ecl, a11d i11 certain otl1er cot111tries its applicatio11 has bee11 extecded to 11e\v cases. T_J1ere are practically 110 cot111tries ·,x,l1ere tl1e deatl1 fJenalty l1as 11ever exist­ ed, w1tl1 tl1e exceptior, of certai11 territories [of tl,e U11ited States], \vhicl1 have recently becon1e states, s11cl1 as Alasl<a a11d I-la\vaii. In fact, tl1e deatl1 pe11alty existed even in tl1ese territories before they beca1ne states. Abolitior1 i11 la\v l1as very ofte11 bee11 preceded by abolitio11 de facto . ... l11 certai11 otl1er cases, tl1e death pe11alty was first limited to certait1 exceJJtio11al cases before bei11g fi11ally abolisl1ed.... (This study lists 64 jt1risdictio11s ot· fJarts tl1ereof \vhicl1 retai11 tl1e deatl1 pe11alty, 35 jurisdictio11s \X1l1icl1 l1ave abolisl1ed it by ex1)ress co11stitl1tio11al or legislative e11act1ne11t a11cl 9 jt1risclictio11s wl1icl1 l1ave abolisl1ecl it in /Jractice or l1ave virt11ally done so. 1-1,e stt1dy ir1clndes 011Jy tl1ose jltrisclictio11s \Vl1icl1 re­ spondecl to a U11ited Natio11s ql1estio11111ire. for a co1111Jlete listi11g1 see C..lpitcll Punish1ner1t, U.N. Pt1bl., ST/SOA/SD/9 JJf). 7-9)

b. Corporal Punis/Jment 5 l,£\ IOP ETii IN T .1EN ISI-Il PUN AL CORPOR

Steveri L�we,1stein •

• • •

Althot1gl1 tl1e earlier emJJl1asis on rEtribt1�io11 is begi1111ing _to cl1ange t_oclay, certai11 stro11gly retrib11tive i11stit11tio11s_ remain, tl1e most obv1 ot1s of \vl11cl1 _ ts years ago; flogging floggi11g. Mutilation l1ad bee11 disco11t1uued a n11111ber of 22 has however bee11 retai11ed i11 tl1e Pei1al Code of 1957.( > Tl1e drafter l1acl exciuded flogging fron1 l1is origi11al Ava11t-projet, bt1t tl1e Codificatio11 Com�is­ sio11 and Parliame11t rei 1 1trodttced tl1e pe11alty.Tl1e stro11gest arg111ne11ts g1ve11 in its belialf were tliat it is i11 l1arn1011y witl1 traditio11s of })t111ishme11t, that its (to be published in Lowenstein, The Penal System of Ethjopia, in 1/Iilner, Penal Systems of Africa . 1965) and 2 J. Eth. L. (Winter, 1965). . J (22) Flogging was also an enumerated punishn1�nt _in _tl1e Pena� Code of 1930, but �It 1 t h e proviso 1� o;1gl1 it nt Art. 3 (pt t ): "T J1 e sentence of flogging 1s stil. 1n t!se w1tl1 a. few ocher governme � Th our is certainly our purpose that the sentence of flogging shall 1n tl1e f�ture b� abolis�1cd _ 1n e1 co been l 11th has 1t as ng, g1 flog of ce te!1 sen the rved rese ctly stri e hav _ country, for the present we . _ ch yet does e wl11 crim administered, for the punishment of chose wl1o have con1m1tted some great not deserve sentence of death."

5.

. . .... . . ..

·

'

.

)

.

�

t�

..

.

..

THE IDEAL OF DETERRENCE use is restricted to very rep�1g11ant .crin1es .and tl1a� it ha� a strong �eterre nt 1t e i t arl1a i 111 clebate finally 111clt1ded n1 ! _ was w1tliiii the effect.<23> After 111ticl .P Cocle as Art. 120A(2,1) a11cl aJJpl1ed only 111 111stances of_ A�g;�·avated Theft (Art. 635(3) ) aiid Aggravated Robbery (Art 637(1) ).. Tl1e 111fl1ct1o_n of flogging is liinited to 111a]e offe11clers betwee11 tl1e ages of e1�l1tee11 a11d. f�fty an d 1nay 1101 exceecl forty laslies to b� carried ot1t tinder 1ne�1cal SllJJerv1s1011; t}1e . flogging may be stoJJfJe? at a11�r t11ne tl1at tl1e. doctor co11s1_ders �1ealtl1 to be_ 1n Jeopardy. A decree \vas 1 sst1ed 111 I 961 exter1d1rg tl1e jJUn1sl11ne11t of flogging to seven otlier offe11ses \xrhicl1 tl1e Decree categorizes as ''offe11ses \xrl1ich relate to tl,e clisttirba11ce of JJt1blic OJJi11io11''.<25) Tl1e D�c1·ee states tl1�t t_he I-Iigl1 �o�rt 111ay st1bsti tt1te floggi11g for tl1e JJe11alty jJ1ov1ded a11d t!1at it 1s to be 111fl1ctecl in accorcla11ce \Vitl1 Article 120A, bt1t 11ot to exceed tl11rty lasl1es. •

•

•

•

TI-IE RATIONALE FOR CORPORAL PUNISiiMENT6

Jeari

Graven

. .. CorJJoral JJt111isl1111e11t (flogging), wl1ose abolitio11 was already envisaged by tl1e Cocle of 1930, is a11otl1er exam1Jle of the conflict bet\xree11 traditio11 a11d 1 ideas concer11i11g pt111isl1ments. It ca11 be regarded as a ''barbarot1s i11stitution, co11trary to f)rese11tly acceJJted ideas aJot1t legal jJrogress and respect for l1t1111a11 dignit)' \vl1ose demoralizi11g natt11: 1nt1st tnal<e tis react fro1n it; but it is 110 less JJossible to regard it as a t1se:ul i11stitutio11 a1nong a proud and coura­ geot1s }Jeo1Jle \vl10 are .afraid. 11ot of sufferi11g but of loss of respect, a11d :vl10 \�Ot1ld. a1J_1)rove of 1t, prec1sel¥ b�at1se of its ethical i111plicatio11s i11 cases 111volv111g v1lla111y, base11ess or cynical brutality by tl1e o ffender.... '

REVISED CONSTITUTION Of ETHIOPIA Art.57. No 011e shall be sttbjected to crttel a11d i11l1t1111an pt111isl1 me11t.

TI-IE CONSTITUTION Of TI-IE UNITED STATES

A111e11d . 8. Excessive bail sl1all 11ot be reqt1 red , 110 1• excessive fi11es i1nposed, 11or c rLt e I a11cl t111 t1st1aI fJ t111is1 1111e11ts i 11fict ed.

TROP v. DULLES

Supreme Co,{,rt, 2�6 U.S. 86 (l957) UrzZ:teL Stcites

[J11 l1oldi11g de11att1ralization a cruel and 1 ti n the t1 st 1a 11 l i p 1 is u w 11 n it m e 11 t 111ea11i11g of A1ne11cl111ent 8 of tl1e (:011st i lt t ti 0 11 of tl 1e United States, tl1e SttJJre1ne Court stated]: • •

•

•

,1 1

(2 3) Proces·vcrbal of tl1e Codificatio 11 Co · · 1)1 1;� 10 A P 11 · 9, 1954 G.C. p. 3; Proceedinos of tl1e Senate, Ha111le 1, 1949 E.C. (July g 1957 G � 0 ' ina res Utl_Oil, Hainle 8, 1949 E .( �:. (July 15, 1957 G.C.), ? (24) Ic is the 011ly article wirli an "A" 1n _ · · d:tcat1no0 Iar Iiamenta . ry · 111clus1.011. (25) Decree No. 45 of 1961 G.C. 6. Gr�vcn, I11tro ' Le Code Penal de l'E 111 pi. te . d ,�::.r hi. opie . ; e11glisl1 translation, 1 J. Eth. L. 289 (1964)-

·-. . ·

L

'

..

' I

CAPITAL AND CORPORAL PUNISliMENT

I,

341

The exact scope of tl1e constitutional phrase ''cr11el and unusual'' l1as 11ot �een detailed by this Co11rt. Bt1t tl1e basic (JOlicy reflected i11 tl1ese words is firmly establisl,ed in tl1e A11glo-An1eri:an tradition of crimi11al j11stice. Tl1e pl�rase i11 ot1r Co11stitt1tio11 \Vas tal<e11 directly fron1 tl1e E11glish Declaratio11 of Rights of 1688, a11d tl1e 1)ri11ci J Jle it represe11ts ca11 be traced bacl< to tl1e Mag11a Carta. �l1e basi � co11 ceJJt t111 clerlyi11g the Eig·l1tl·1 A111 encl111e11t is _11otl1ir1g . less tl1a11 tl1e d1g111tJ, or 1na11. \Vl1ile tl1e State I1as tl,e jJO\X'er to p11n1sh, tl1e Amendn1e11t sta11ds to asst1re tl1at tl1is JO\ver be exercised \vitl1i11 tl1e li111its of civilized sta11dards. fi11es, i1111Jriso11111e11: a11d eve11 exect1tio11 may be imposed depending 11po11 tl1e e11or1nity of tl1e cri;11e, bt1t a11y tecl1niqt1e ot1tside tl1e bou11ds of tl1ese _traditio11al jJe11alties is co11stitt1tio11ally s11s1Ject. Tl1is Cot1rt l1as l1ad lit­ t�e occas1011 to give JJrecise cor1te11t to tl1e Eigl1tl1 A111e11cl111ent, a11d, i11 a11 e11l1gl1tenecl democraC)' st1ch as ot1rs, tl1is is 11ot s11r1Jrisi11g. Bttt \X1l1e11 tl1e Co11rt was C<?11fro11ted \X1itl1 a JJL111isl1111e11t of 12 years i11 irons at l1ard a11d JJai11f t1l labor 1n1posed for tl1e crime of falsifying· JJLtblic recorcls, it clicl 11ot l1esitate to declare tl1at tl1e JJe11alty \Vas cruel i11 its excessive11ess a11d L111t1st1al i11 its cl1ar­ acter. \Vee111s v. U11ited States, 217 U.S. 349, 54 L. ed. 793, 30 S. Ct. 544, 19 A11n. Cas. 705. Tl1e Co11rt recog·11ized in tl1at case tl1at tl,e words of tl,e A1ne11d­ me11t are 11ot precise, a11d tl·1at tl1eir sc)1Je is 11ot static. Tl1e a111e11d1nent 111L1st dra\v its 1nea11i11g fro111 tl1e evolvi11g· s1a11dards of dece11cy tl1at n1arl< tl1e jJro­ gress of a 111att1ring society.

'

.,•'

'

•

'

'•

'

'

-

,..

,

•

• •'

•

•

• •

•

Questions

1.

2.

I

I

:.'

.

3.

Wottld it be helpful to study tl1e effect of abolitio11 i11 tl1ose cou11tries wl1ich no lo11ger have tl1e deatl1 penalty? To wl,�t _ exte11t ca11 tl1e arg11111e11ts of eacl1 side i11 tl1is age-old co11troversy be e1111J1r1cally tested?

4.

Wl1at are the corporal J Jt111isl11ne11ts retai11ed i11 Etl1i?1Jia today? Wl1y \x,as flogging retained i11 tl1e Pe11al Cocl� of_ 1957 a11d its 11se ex1Ja11ded b)' Decree No. 45 of 1961 ? Does tl1is IJL11�1s�11�e�1� l1ave deterrent effect� \�1,�t is its effect 011 the offender 011 wl1c111 it 1s 1111'!1cted? 011 tl1e cro\�cl, 1f . it_ 1s performed i11 public? Do yot1 tl1i_r1k tl1at Parl�a111e11t reflects fJUbl1c OJJ1111on i11 Etl1iopia concerr1ing tl1e question of flogging? What arcbru1nents ca11 be made for and agai11st floggi11g? Does Professor

5.

.. ,.'·.

I

'

. ' .

Who \Vas ca1Jable of JJro11ot111ci11g a sei1te11ce of ca1Jital jJL111isl11ner1t before the Penal Code of 1930? Wl1y do<:s tl,e E1n1Jeror l1ave to co11fir111 a deatl1 sente11ce before it ca11 be exec11ted ) for \x1l1at cri111es t111cler tl1e P.C.E. ca11 tl1e deatl1 pe11alty be inflicted? Is :Jublic 01Ji11io11 i11 Ethiopia stro11gly i11 favor of tl1e deatl1 JJe11alty? Iiow do yot1 1<110\v? Wll)' are so fe\Y/ cleat!, sentences exec11ted i11 Etl1io1Jia? Do yo11 agree \Vitl1 Professor Orave11's rationale for tl,e rete11tio11 of tl,e ceatl1 JJer1alty in Etl1io1Jia? Wl1at are tl1e stro11gest arg t1111e11ts tl1at ca11 be 111ade for rete11tio11 a11d for abolition of caJJital JJt111isl1111e11t? Would yott sti1J1Jort tl1e 1\1ajority or Mi11ority Re1Jort of tl1e Ne\v Yori( Con1111issi_o11 011 tl1e Revisio11_ of tl1e Pe11al Law? Are tl1e reasons tl1at are set fortl1 111 tl1at Re1Jort a1Jpl1cable to Etl-1iopia? Ho\v mL1ch \veio·ht ca,, be JJJt 011 tl1e stro11gest retentio11 argu111e11t of deterrent effect? D;es tl1e Mi11ority Report adi11it tl1e i11effective11ess of deterre11ce \Vhe11 it states that Ne\x, Yori< l1as botl1 tl,e l1igl1est rate of cri111e i11 the world a11d tl1e deatl1 pe11alty? 011 \xrl1icl1 side of tl1e co,,troversy do you tl1i11l< CI1rist woL1lcl l1ave stood)

342 6.

THE IDEAL Of DETERRENCE ur yo is g? t i11 ha sit gg W to po flo ct Je s n? re 1 io tl 1 \-qi nd sta a l<e ta 11 \re Ora 1 1ne11 t und_er Ar t. 57 of . tl1 e Revis ed isl 1 1 pu a11 111n 1 i11l d a11 Is floggii,g· crttel 1 � d�tern11ne w ha t constitutes ''cruel 01 e, do _ ow H ? 55 19 of Cori stittitioi, of ce 11r n s0 rt. 1o A e ut tl1 t1t ns Co 1 1 ? a 57 1c er 111 A e 1 tl Are Is '? ti' na 111 1 J in d ati ve ha tld wo tl1e tes ed. Sta 11it v. rop ? l Eightl1 ca_ 11ti ide ecl 11� ! : f[ s rcl tlie \Xto ds 1 ?! a_ 1 nd ce1 sta de g vtn ev of cy l1t l1� 1 11 tJ1at ted Jre ! er 111t 1 1t 1e1 c\11 � 1 . 1 e1 An Would this m1l1tate for aboli� y. e� ct s� 1g 11 11r: at rr;1 a of ss re og JJr ie marl< tl or _85 7 P.C.E. help t. r 77 A: es a? Do p1 11o Etl 1 11 1g 1 1 gg flo 1 of 1 tio 11 te re or tio11 n? 1o ut t1t e ns tl1 Co of . 57 rt A of ds or w e tl1 g. 1 it1 interpreti1 Recommerrled Readings Capital Pur1ishment

Beda11 T/1e Deat/1 Pe11alty in America (1964) (a broad anthology on various st�bjects related to the deatl1 JJe1 1alty incl11di11g sections with arguments for a1 1cl agai11st tl1 e 1Je11alty, its deterr:1 1t effect and a bibliograpl1y).

Ca1nus, Reflections on tlJe G1,1,illotine (1J59) (a fan1 011s frencl1 writer states l1is OJJinio1 1 on capital JJU11ishment). Koestler a11d RolJJl1 , Hariged by the .Veck (1961) (a11 excellent book argui1 1g for abolitio11 of the deatl1 fJenalty�. Beccaria, EssaJ1 01i Crimes and PunislJme2ts (1764) (011 e of tl1e early a1 1d influen­ tial attacl<:s on capital p1111ish1ne11t:.

ft1-Sl1t111 Li1 1, Co111 1111111ist Cl1i11a's E11ergi11g ft111damentals of Cri111i11 al La\v, 13 Anierican ]. of Compara.tive L. E8-90 ( 1964) (brief co1 1sideratio1 1 of ca1Jiial j) t111 is 11 1 11e11t i 11 Co n11111111is t Cl1ina ).

Tttttl.e, Tl1e Cri,sade Agai11.st Capi_tctl P1J,islJrrierit in Great Britairz (1961) (An r1istor1 �al acco11nt of tl1e abol1t1011 111cvement i11 Great Britai11, inclt1dina bib0 l1ograpl1)r).

Blocl<, A12cl May God Have Alle�CJ! ... (1962) (a ge11eral co11 sideratio11 of tl1e deatl1 JJe11alty a1 1d tl1e abol 1 t1 011 nnven1e11t, i 11 cl11di11 g bibliografJl1jr). Joyce, f:�pitcil f!uriislimen.!: /l if/orld Vi,w ( 1961) (an i1 1teresting treatme1 1t of caJJttal p11111 sl1n1e11t 1 11 Et1ropea11 and A 11g·Io-An,erican Ia\xr). Corporal PunisJ1111er1 t

Abebe 0�1 11got1l, Cr11el �11cl l1�l1�1 111an PuiiisI-1111e11 ts ii, Et arcf1 (re se ) lli OJ 96 (l Jia 5 � . 1Ja 1Je1_ or _t l1e co11rse 111 Cr111111 1al r�oced11re, fac11lt)' ssi e Se lla La \xr of I-I ail e ' l U 111 vers1 ty .) · R11bi11 ' T/1e Law of Cr·in�z·,i,il· C0 rectzo ri J)59-390 (1963) (careful treat1ne11t of cruel, 7: tlnt1s11a1 a11d excess1ve JJt11 11 s11 11 1ent i11 tl1e U11 ited States). i'Veems v. United States, 217 U.S. 349 r:4 L . Su Ed 3_ s 79 · ate · 9) St 90 (1 1 . d (U 1 1te 1�re111� Co11rt case I,oldin tile ' ;cc ss oi y (11 11 1Jr1 s01 11ne11 t wit]1 cllaiil sffo. r. th. e ci�1111e JJU1 1_1sh_n1e11t of_ cadena temporueaf f f� ls 1 fy111g· J)Ubltc records ''cr � a11d 111111s11al'' under tl,e :. Co t l led de mo en be d ha i ch wh n tio tu ns n i ,_ ; /i � e ftl� s t upo th American Co n t

\ #!

'

MODERN PENOLOGY

343

SECTION B. Tl-IE RESTRICTION OF LIBERTY

a. Et/1iopian Penology CORRECTION IN ETI-IIOPIA7 Andargatclxw TesfaJ,e •

•

•

•

W_l1_en a prisoner is bro11gl1t to a priso11 \Viti, a re111a11d \Varra11t, tl1e JJriso11 a11tl1or1t1es mal<e a thoro11gl1 searcl1 of tl1e JJriso11er . After l1a11di110· over all l1is �elo�gings wl1ic!- � are registerecl a11cl l<E J Jt as '' J )rol1ibited articles,'? tl1e priso11er 1s g1ve11 a medical cl1ecl<-Lt(J. U11less, d11e to traces of certai11 co11tao-ious ?isease?, tl1e doctor orclers tl1e priso11er to be l<ef)t ir1 a special \vard, he is 1111med1ately se11t to tl1e classified sectio11 wl1ere l1e belo11gs. Tl1ou &"� n <?t b �sed 01! sci�11tific assessn1e11t f)risoners, of tl1e 11eeds of tl1e _ some class1f1cat1011 ts fJract1ced 111 tl1e (Jr1so11s. 111 111ost of tl1e 1)riso11s tl1e follo\vi11g standards are more or less acll1ered to: 1.

Tl1ose awaiti11g trial are l<ept se1Jarate fro111 otl1er fJriso11ers an(l are 11ot expected to do a11y labor.

2.

female priso11ers are l<ef)t i11 a se J Jarate ward, b11t tl1ere is 110 separa­ tion of female priso11ers accordi11g to age a11d degree of cri111inality, save i11 so111e exceptional case�.

3.

111 places \vl1ere tl1ere are 110 5e J Jarate i11stit11tions for yo1111g cl1ildre11, special \vards in tl1e JJriso11s a�e reserved for tl1en1.

4.

Priso11ers se11te11ced to tl1e deatl1 JJe11alty are separated from ti1 e rest of tl1e priso11 pOfJt1lation.

5.

Lifers (i11 Etl1io1Jia tl1ere is 110 S J Jecified jJeriod for life i1111)riso11111e11t) are also se1Jarated. Tl1ose tl,a: are fo1111d to be dangero11s a11cl are great esca1Je risl(s are exe111 ptEd from priso11 labor as are co11cle1n11ed pr1so11ers.

Prisoners witl1 t11berc11losis a11d otl1er co11tagio11s cliseases are l<e1)t i11 special wards \Vl1ere tl1ey 1111dErgo 111edical treatn1e11t. 011ce inside tl1e instit11tio11, all pri�o11ers exce1Jt tl1ose segregated for spe­ cial reaso11s a11d those awaiti11a trial, are exJJected to do son1e 'Y1orl<. 1 11 most of the large priso11s there are trai11i11g a11d \vorl< OfJportt111ities i11 �a.rio11s crafts, but only priso11ers witl1 fairly lo11g· se11:e11ces are allowecl to fJart1c11Jate. 6.

TI1e mai11 JJriso11 i11dt1stries are: 1. 7.

'. . .

� '·

'

'

', ,

carpentry - this is a l1igl1ly developed i11dt1stry a11d tl1e fJriso11ers are

Andargatchew Tesfaye, Correction in Etl1iopia, in IIT C11rre11l Pr?}_ects in � he Prevention, Co�lrol, ctnd Treatment of Crime and Delinquency 8-9 ( 1963} For legal prov1s1o�s w1tl1 respect to prisons, see . Proc. No. 45 of t 944 G.C. and Arts. 105-115 P.�.E.; fo�· otl1er pen�lr1es, see _Arts. 88-101 (pecuniary _ penalties), 102-104 (pecuniary penalties combined \V1tl1 restr1ct1on of liberty), 1 I 6-119 (de�tl1 penalty), 120-127 (secondary punishments)_, 138-160 (general rn�asur�s). A new, con1prel1ens1ve Prisons Proclamation has been drafted and 1s p:esently under cons1derat1on.

TliE IDEAL Of DETERRENCE

344

2. 3.

4. 5. 6.

; t li d a y o u o q g f o s le c ti r a t trai11ed to tur11 ot1 ; l{ r o w l a t e in d 11 a h it tn blacl{s tiv old mi pri the 11g ll sti usi e 11·e s loo son JJ1·i . the ms. 0 e lier _ . 11 · o v1 · ea \xr 111 . d ustry,. i t t ttr ns _ ou t 011 I y t] 1e ki ii d 11 . 1so p� t es rg la e tli is . Tl,ottgli it 1an J J_ 10 1 l Et s l es �a dr t1o e _ 11a t}1 of . 1rg al< 1n w e Ho tl1 ­ 1 i1 ed tts l ria ate m of especially for m�ter1al, 1s ' n tl 1 tor wo1 1c en a1 1n e _ d at re s g e 1 tl to e u d ever, nt ou of am ble era 1 1 s1d co a 1te 1 mo11ey to qt s 111g br try tts i11d . clothes, tl,e tl1 e JJriso11s; je\velry; • rug maki11g or weaving; flour 111 illi11g a11d bal{i11g.

Tl1ougl1 tl1ere is son1 e attemJJt a1 vocational training, the main emphasis is 011 JJrod11ctio11. first JJriority in thESe industries is given to prisoners who already l<now a craft. Tl1 e selection of prisoners for trai_ning is not based_ ?n the a1Jtitudes of the prisoners, but 01 the random choice of the author1t1es co11cerned. ft1rtl1ern1ore, tl1ese i11dt1stries are 11ot gea1·ed to tl1e rel1 abilitation of the prisoners after tl1eir release. It is left 10 tl1e individual prisoner l1imself to try to 1nal{e use of l1is ne\xrly lear11ed vocation to earn his livi11g. The prisoners get about ten percent of tl1e p1·oceeds from tl1 e differe11t crafts sl1ops. Sl1ort tertn priso11ers a11d ot11ers not abso1·bed into the priso11 i11dustries, are tnade to \Vorl{ i11 tl1e gardens and farn1s tl1 at are attacl1ed to the JJriso11s. Usually, _ 110 t�·ai11i11g is giv�11 011 scientific farn1i11g n1ethods; I1 owever, i11 some of tl1e big pr1s011s located 111 r11ral are1s witl1 Iaro-e far11 1lands quite a nt1rnber of ag·ricult11ral experts are being t1sed botl1 to t�in tl1e JJris� 11ers and to in­ crease tl1e produce of tl1e farn1s. liowever, s11ch jJ1·iso11s are i11 tl1e mi11ority. . All the JJrisons lacl{ _prog·ra1ns of in.>' sort after locl<-U}) time. Tl1is is d11e , 1Iy t� tl1e_ lac}{ of tra111ed JJerso1111el to l1a11dle s11ch J)rog·ran1s. l11 addition, 1na11 . locl<-11p t11ne 1s q111te early beca11se of tl1e fear of escaiJes. _Welfare ame_i,ities ii, the !Jriso11s are fe\v. T free ol1e i ve J)r 11 is ar o1 e 1e rs . m edical treat 11 11ei,t. _111 111ost of tl1e big priso11s tl1ere are f11llti1ne n1edic:1 doctors. ln some of t 1e JJr1s011s tl1ere a · · · e s or 1·s s a · c t r _ p 1es v1t : us ro e r ge s tl1 �o 1 1 les da _1 � o11.ers. Rece11tly s0 111e JJriso11s, II1ave estab f o 1t l 1sl 1ed . be 11e lib f rar ies e for 1 tl JJr1sone1.s w1 10 1 I1 {e to borrow bool{s, periodicals a 11 d t1ews1Japers. Most of tl1e tl1i11gs tl,a' t are inis · · · . . 1, l · 5 ing 11� wi t 01 11· JJr ed 1so 1 di 1 s sp ca · en be n s bt1t tl1e main difficttlt th la�I� of trattied correctional adn1i11istrators. At prese11t 111ost · of ottr 1{i.i�� n a�11111 1 15tra:or s liave a police ou y od c1 1st an d tlo ok is tl1eir 1nain coiicer,,. ••

• •

•

I

..... .

�..

'·

.

-'. · • ••+ · ;,

.

�

.

�

•

·

- -

..

T"

----;" ----

.-, •,;,-

'

A CJ-I ART OF THE PRISON SYSTEl'v\ OF ET Ii IOPIA (1956 E. C., 1963-64 0. C.) 8 Depcirtrrtent of JJrisons, /\lliriistrJ1 of l12terior, I1npericil Et/1iopian Governme11t

No.

Death sentencc9

Name of prison

. life •

unpnsonmcnt 10

Eth.

:rvr

1

467 2 16 77 1 38 69 52

Addis Ababa

2 Shoa l)rovince

1--·-

Wollo

))

4 rlara.r 5 -·Tegre ·--

»

6 Begemdir -J Gojam

5

Wollege

9 llubabor

10 Keffa 11

>> ))

8

))

4 11

))

13

Arussi

14

Bale

15 Ogaden 16 Robi Farin

))

))

>> ))

Tot:cls 8 Corrected Tot,1/s -. = •

I ·-

10

-

1

I

989 8 ro::-:xr--=:w:·.--

Etl1.

:rvr

365 203 -- 238 2 216 1 350 - - 350 105

21 1 55 l 32 I 27 1 8 2 52 ..,.J 31 - - --

})

Gon1t1 Gofa »

12 Sidamo

F

Etl1. -M

27 :

Light scntencel2 (under 5 years)

I-Ienvy scnreucell (over 5 years)

lt)b

166

305 146 124 252

F 7

3

3

2 8 2

?

�

5

4 3 1

2 63- I

F.

fM

-

Eth. NI IF

Prisoners .. a\ValCJllJj juclgn1cnc

Eth. M II F

921 - 21 -772 -450 10- 819 367 9 805 I 402 6 -644 258 14 187 392 7 221 197 Li• 712

5

19()

�

:)

19 13 7 13

For.

i'vl

F

I

4

Erh. M F

28 l 22 7 12 12

I

�

4

7

365

3 I

Eth. M

272 27 46 78

86

55 24 77 19 - 118 69 31 83

118 I 99 124 2 359 8 8 8 158 - I 146 8 499 4 839 l 1 I 4 -- 232 6 291 8 I 323 5 102 5 32 340 30 542 6 156 52 -, 285 I - 127 7 4991 I 20 7 I 24 0 I 8 157 52 I I 9 I I 184

I I

IC

272 3821 45

Prisoners . . Prisoners Prisoners Prisoners rece1v1ng Death .. . . dead rccc1v111g imprison- dead senceuce before after full parmenr cxejudgjudgdon13 rcduccuced17 6 ment15 ment 1 1 tion '�

5041 3321 I 87;WW--=:::::::::r:::«r"C:::S:O:...,.,,,,

:::;»f">OP*WWW ..... W

-1

8. Totals in italics arc corrccrccl additions. Eritrea was originally listed; tl1c only figures given ·were 40 imprisonment reductions. See Central Sratis1ical Office, Imperial Ethiopian Governn1ent, Statistical Abstract of Ethiopia 159-162 (1964) for prison star.istics for die years 1953-1956 E.C. 9. There were no foreign male or fcn1ale prisoners under death sentence. JO. There were no Ethiopian female or foreign n1al.: or female prisoners for life. 11. There were no foreign fe111alc prisoners v.·1th a heavy scotcnce (over 5 years).

�

I

-

c,r-r:n

Ech. M

917 15 20 4

3 4 16 9

Ech. Ecl1. M . M

3 13 9 12

..

::,

3 13 1

3 10 7

I 3

4 2

I

2

3

?-

2 1

2

3

11?. '

4

3

3 4

122

5

I

2

2 75 -39 ttZTi

a:

Present prisoners

Tora!

I

For. Eth. M IF!w1IF

3090 1514 1507 1324 1 26 891 1028 131 982 JO 787 15 6 411 844 14 858 483 12 495 1514 1497 17 829 19 848 519 7 526 882 36 156 52 1126 557 I 558 16952 1291 1641 52 17459 3035 1488 1487 1302 865 1015 972 772 405

49 26 20

'2tl

6

I

I

3: 0 0 tTJ ;:r:,

z

'"O

rn

z 0 r-

0 a -<

i

•-.,;g• " .;==,::::rn:r::;::--:w:,e:::n:);;;

12. There ,verc no foreign n1alc or female prisoners with a light sentence (under 5 years).

13. There were no full pardons given to foreign maks or females.

1-1. 'fhcrc 15. There 16. 1-here 17. There

,vere no imprisonn1ent reductions given co Ethiopian fen1ales or foreign n1ales or females. V.'erc no Erhiopian ien\ale or foreign n1ale or fen1ale prisoners v,,ho died before judgn1ent. \Vere no Ethiopian female or foreign n1alc or fcn1ale prisoners ,vho died after judgn1.cnt. v1crc no Ethiopian female or foreign male or female prisoners v.•ho were execured.

uJ � U1

+ w '

�

�"

. ,, ;.

,

THE IDEAL

346

)f

DETERRENCE

b. Comparitive Penology TI-IE PENAL SYSTEM Of OHANA 18 ]. Eyison 11 al services i 11 We st Africa are m ore io r(ct cor t tlia 1( 11 i 1 tJ to d l a111 1. 11c1ine u ich of wl1 ies tntr 1 m a coL ste ·11 We n t11c in se tllo of ber rtl atte J e or less 011 th I . . . . . 1 nce the late s . · 11e 1 tly 0 en co rec 1 I 1 s· t u1 re we es tr1 11 u co 0 f West Africati 1 1ew sha pe. There has been on a n take las 1 a 1 · Ol1a in tem sys aI pei1 e 1 l t\x,e11t 1es ·t . · · e y J un1·t·Ive to J 1 1 1 mp r1so1 1me1 1 t was pur 1 w.1e s · day the in . fro 011 · 1 t olu I ev ua d I o . · a a . 1 01 1 of the offe11 der.... t· a f _ orm re tl1e on IS is 1as n1Jl 1 e 1 e1 wli day it set ti,; Jre · r11er'e are iii O J1 a1 1a some 34 Pr1so11 s Tl!ese are scattered �II over the co_unt ry and 1,ave bee1 1 classified i 11 to foL1 r ma11 1 group�, i:iamely. Central Pr1s011s, Local Priso11s, Priso1 1 Can1JJS and the Borstal l1 1st1 tut1on....

Tl1e state of recidivism

•

first offenders

•

•

• • 111

1J60 was as follows: •

•

•

•

•

•

•

•

011 e JJrevious conviction .

•

•

•

•

•

•

•

•

•

•

2,899 persons

Two prev1ot1s co1 1victions

•

•

•

•

•

•

•

•

•

•

1,208 persons

•

•

•

•

•

•

1,936 persons

•

•

•

•

Tl1ree or more previous corwictions.

•

11,102 persons

•

•

A11d here a word on classification of prisoners. It is done simply on tl1e basis of se1Jarati1 1g males from females, a1iults from juveniles and first offe1 1ders from recidivists. •

•

•

•

I11dt1strial traini11g· is 1 1ot all tl,�t tl1 e JJriso11s do for tl1 e be11efit of tl1e priso11er.Tl1ere are also facilities for l1is cultL1ral a11d ed11catio11al develoJJ111e11t. 1-1,ere are facilities for religio11s servi::es, a11d literacy classes for ad11lt JJriso11ers rttn by Co1n1nunity Develo1Jme11 t Officers have bee11 i11 troduced....Every JJriso11 l1as a s1 nall library wl1icl1 is at t1e disposal of JJriso11 ers \XTl1 0 care to use it. Tl1e After Ca�e systen1 jJrovides 1 service of org·a11 ised helfJ a1 1d gL1ida11�e to tl1e released 1Jr 1so11er or tl1e boy or girl wl1 0 co111es out of tl1e l11dt1str1al Scl1ool s� that �e o� sl1 e ca11 recover l1is JJlace i11 tl1e con11nu1 1ity. liere in Ol1a11a tl1 1s service 1s 1111dertal<e11 by tl1e De1Jart1ne11t of Socia \Velfare and l Co1nmu1 1ity Develop111e11 t for botl1 tl1c JJriso11s a11d tl1e sc l1 ools. • •

•

•

Wl1 e'.e a fJriso1 1er may 11eed tools 01· clotl1 ing on l1! 1n e1 di 1a sc bl l,a e rg to e to e11ter into e1nploy1n�nt a11d to lead a r1or1 \V !II , na l lif e, th e D Bo is ar cl d ia rg e ttJJ011 tl1e reco1n1�e11dat1?11 of tl1e After Care h1 1n A g· e 11t , or fo r de r st a ip pl y fr 1 n stocl<s of 1ndtistr1 al tools �11d clot l1i 11 g fJrovided by tl,e Oover11 ment � tl11 ou_gl, tl1e qe1Jart1 11e11t of Social Wel fa re a1 1 d Coin111 u1 1i ty Develop111e nt. Wl1e1e mo11e:y ts r1eeded to jJay for tbe e p as sa C ar g e 1 l o m e, A ft ag er ai 1, e 1 1 tl Age11 cy provides ft111ds to 1 neet tl1e 11 �e d . .. . . .

18 · Eyison, Correctional Ser vices in West Afric,, in · Drake a.nd On1ari, Social Work 79-82 (1962).

i1i

West Afiricd

I .l\10DERN PENOLOGY

347

THE ANNUAL REPORT ON THE TREATMENT OF OFFENDERS IN KENVA (1961)19 Prisori Department, Government of Kenya

Tl1e year 1961 may perl1a1Js best be described as a year i11 \xrl1icl·1 tl1e modern ap1Jroacl1 to tl1e treatme11t and trai11i11g of priso11ers i11trocluced dL1ri11g· the latter JJart . o! tl1e JJreviot1s year became firmly establisl1ed. Staff 1-iave b_e�o11�e apprec1at1ve ?f tl,e n-ietl1ods of training \'v'itl1 tl1e result tl1at tl1e clas­ s1f1cat1011 and segregat1on of fJriso11ers accordi11g to tl1eir age, l1istory a11d cl1ar­ _ �cter, the progressive stage system, earni11g scl1e 111e a11d otl1er 11e\xr i1111 ovatio11s 1ntrodt1ced are 110\v a1Jplied correctly a11d \vitl1 e11tl1usias111 . . Progress on t!1� e11actme11t of tl,e new Priso11 Legislatio11 tJre1Jared ,vitl1 a _view to .1:1oct_ern1z111g tl1e existing Priso11s Ordi11a11ce by providing for, i,1ter alia, classrf1cat1on, stage syste1n, earni11gs, JJarole, co111pulsory st1 1Jervisior1 , extr�-1n_ural penal employme 11t, Yottth Corrective Trai11i11g Ce 11tres a11d Borstal I!1st1tut1ons w�s l�eld up by tl1e fJriority reqt1ired to be give,, to tl1e IJre1Jara­ t 1 011 of const1 tt1t10 11al 1 11stru111ents, arisi1 1g from cl1a11ges i11 tl1e LegislalLtrc made after the La11caster I -louse Co11fere11ce.... • •

• •

. The total 11t11 nber of 1Jerso1 1s convicted a11d se11te11ced to i1111Jriso1 1111c11t during tl1e year \Vas 28,697 as agai11st 27,499 i11 1960. Tl1e 1 111111ber of JJerso11s \vho are sentenced to i1nprisonme11t for (Jeriods of 12 montl1s or 111ore ir1creas­ ed from 3, 412 to 5,222 fron1 tl1e previotts year, a11d tl1e 11t11 11ber of (Jerso11s se11te11ced to tl1ree years or 1nore i11creased fro 1n 701 to 1,168. THE ORGANIZATION OF TiiE PENITENTIARY SVSTElvl IN T I -IE REPUBLIC Of MALI 20 Secretariat, Uriited Natior1s

Tl1e penitentiary system of tl1e Repttblic of lvlali (for111erly part of fre11cl1 West Africa) consists of tl1e followi11g institt1tio 11s: tl1e Ce11tral Priso1 1 ir1 Ba­ mal<o, twenty-seven outlyi11g jJriso11s in tl1e cl1ief to\vns of acl1ni1 1istrative JJrovi11ces (circonscriptions), the Kida! Pe11ite11tiary a11d a reformatory for jt1ve11ile of­ fenders. •

• •

c­ ial a fL111 !od y CLts aril g jJrim �in ser as ed_ ard reg ger lon no is ent nm riso Imp tion· efforts are now being made to or1e11t (Jr1soners to\xrards tl1e1r eve11tL1al rele�se. Individualizatio11 of treatment is 11ecessary for tl1is JJttrpose, as well as training programmes \Vl1icl1 are currently restricted by Iacl< of. !ttn�s. As tl·1e 1 011 sl10L1lcJ at 1l1t at 1ab s rel ort eff , try t111 co al ur t1lt ric ag a11 Republic is essentially be directed towards far111i1 1g. The average population of tl1e Ce�tral Priso� is 600, represe_11ti11g a(Jprox�­ mately one-tl1ird of tl1e priso11ers l1eld 1� tl1e territory. Fe1nale _prisoners ';ons�� ­ tute 1.5 per cent of t}1e priso11 fJOfJt1lat1011. Tl1ere are no SfJec1_al \vo111e11 s_ p11sons; accominodation consists of a separate room for wo111e11 1n eacl1 JJr1s011 . After a trial two-year period, Tl1e Penite11tiary Service, wl1icl1 had bcer 1 set up on 1 January 1951, was formally establisl1ed by Order of 29 Dece111be1·

I

I

l l

I

1

lI· :

19. P. 1. 20. In 1 Int. Rev. of Crim. Policy 151 (1960).

,

.. rr.- . I .. t

•

.

.

.

'

..

Tl-IE IDEAL Of DETERRENCE

348

. 59 ry f _ a of u 1 ssi 2 cla ct A: � e � th n t J ica 3 by ed A ioi1 ov pr ap 1 et be s ha 1952 and 1 1�l 1, d w ::> he 19 1s l 1 b_ 11 re ta tl1 es s \\'a e <o 11 al a1 B te ca at ­ s r 1e o1 J is Jr ile t r fo 11 e1 s st es 1 te 11 ce d f)r1s011ers. ri 1 of se go te 1 ca 1 ve se 1d a1 s er on /ories of rema i id JJris 1 tenced 1111 der . statute la\xr, \xrith 1 se rs 1e o1 is �Jr l al r fo y Worl< is cotnjJttlsor 01 1 ers. work _o�it­ 1s JJr d ce n e_ 1s. 11t o1 as Se re l. 1c 1 ed n r fo _ 1ly 01 exenlptiotls gra11ted � k of or 1t w In semi-lib­ e1 1n r1 11 A s. 1Je ct ex oJe pi l<s or w 1c bl JJU on is i side tli e JJriso t had s11bs�q11en�ly to be abando�e d 1 _b1 , 52 i11 19 o al< 11 1 Ba at erty \xras started y str In �e fo ts �c 1 o, , rk J)r 51 wo 19 1ce Si1 s. w i th­ J)t em att eft 1 tl cl. a11 JJe ca es to ig i i ow 1 e SUJ)erv1�1011 of a s111gle guard Iiave tl r de 1111 rl< w·o 11 1 far _ 111 d a11 out stll)ervisioti 1 ers worked for J )r1vate 1 1s0 of pr er 1nb 1111 . a 2 95 1-! 195 g r111 Du 1Jrove11 511ccessfttl. ym plo r, em eve .xr u!1 ·. r. Ho ou e _ lab e11t :re to d led JJa1 y all rm 11o ge \xra tl1e for 5 11 fir1 1 1cally useful and 11 no eco n bee 1 had 1cl \Yl1 r, o11 lab l1 suc of nt 1ne 1 do1 1 t to tlie aba productive. Sicl< JJriso11ers are ca1·ed for in dispensaries and l1ospitals and n1 inor ail1ne11ts are attended to in tl1e i11 firmares. 1\1\.edical care apJJropriate to tl1e case is also exte11ded to lepers a11 d tl1e disabled. Prisoners are also afforded accident JJrotectio11 u11 der the social laws. Religious care is ad1ni11 istered by ministers of tl1e various religions, who are autl1orized to visit tl1e priso11ers cf their respective faitl1s. Serious efforts i1 ave been 1nade witl1i11 tl1e last 11ine years to improve penite11 tiary JJolicy i11 tl1 e co11ntry. To. tl1 is. end, special re-education centres will be set LtJJ i11 wl1 icl1 priso11 ers \xril be classified into gro11ps accordi11g to tl1eir se11te11ces, bacl<gro1111ds a11d cl1 ancter, a11d eacl1 gro111) \\'7ill be give11 ap1) ro f) riate treat1nent. It is fL1rtl1er s11ggested tl1at tl1e 1:risoner' s fainil y co11 tacts be i 111 proved by .. J)resent, certai11 fJr?vidi11 g f11rlo11gl1s to priso11 ers wl1 0 l1ave ear11ed tl1em. .�.t tl1e last t\v o JJr1s011ers are allo\x,ed tl1 ree-ho11r f11rl011gl1s on Sundays d11ri11a 0 1no11tl1s of tl1eir de11te11tion.

PENAL PRACTICE IN ENOLAND21 Wirlified Elkirz Acco _ rdi11g �o tl1 e Priso11 R11les, ''fl 1 e JJLlrJ)oses of trai11i11g a11d treatme nt of co11v1ctecl_ pr1so11e_rs shall be to est1blisl1 i11 t 1 e111 tlie \Vill to lead a good a11cl 11sef11l life 011 d1scl1 arge, a11d to fit the111 to 1do so.'' ... •

•

•

•

Tlie c�asli bet\x,ee11 !l1e _refort?ative a11d deterre11t tl1 eory of fJUt1ishme11t c i,,es moie_ to tl1e fo�e . 111 d1 sc t1s _ s10 1 1; of JJriso11 treat1ne11 t tl1a11 in discussi�11s 0�. ai ,_y °t!1e 1 �spec� of t!,� {Jer1al sy�:e1:1 . People \vill ac ce tl 1 e reformative pt . �- tlClJJ1e 111. JJI o�atiot: _or 111 the 1�1 str.11t1011 �l treatment of )'Oung offend ers a_ s ! 1�c 11t atl� Pl OJJer,. btt t tlie co11ce1Jt1011 of JJr1s011 as a JJlace i11te11ded 1)rim r1l)1 a <ed for JJttr�i 5liinei1 t _ !S so dee1Jly 1·ootec tl1at a11 lo ol y de pa is rt fr ur it om e LtJJ011 w1tl1 sus1J1c1011 by tl1e ge11eral 1:11blic. . for Y ba et sis if th d soun ere 1s any tl1e argun1e11 t elaborated ·In ti1 r·11.s . t. cl,_a1Jter, tl1 at fe\v pote11 tial cri1ni11als a�t witl1 sufficiei{t cleliberat· n t o � restra111 this , ed by ent tl1e fea pu of r nis l1m in11st apJJly to i1n1Jriso11��.e11t as o a11y otl1 er form of f)e11al treatme1 1t. . .. . The e11 sui. 11g disc11ssio11 is admitt�dly based o11 th e ass11m1Jtio1 1 that reha-

f

21. Elk.in, Tl'Je English Penal SJ,stem 128�132 (19l7).

MODERN PENOLOGY

349

bilitati?n �l1ould in ge1 1eral be tl1 e overricli1 1g IJUfJJose of tl1 e jJriso11 system. If tl1at aim ts accepted, one tl1i11g is certain: priso1 1ers ca11 1 1ever be tattght to cope \Vit.h life by n1eans of a systern \Y1l1icl1 clema1 1ds 01 1ly itnfJlicit obedience to rt1les and orders and leaves notl1i1 10· to indiviclual decisio11 or individttal res1Jonsibility.Yet it is tl1at k:i1 1d of co11trol tl1at still do1 11i1 1ates t11e routine of tl1e closed local JJriso11s. 111 tl1e 11e\v O[Jen prisons a11cl the trai1 1i11g 1Jriso1 1s, 01 1 tl1e otl'ler l1a11d, life . 1s based or1 a fu11da1ne1 1tally differe11t co11ce1Jtio11 of clisci1Jli1 1e, bttt this develop­ ment_ l1as coo1e abot1t only d11ri11g rece11t years, a11d eve11 to-day the 111ajority of tJr1 so11 ers are hottsed i11 i11stit11tio11s \xrl1 ere tl1e olcl dispe11satio11 still l1olds sway. It is tl1 e old regi111 e, tl1erefore, \v' 11icl, JJrovicles tl1 e logical starti1 1g-poi1 1t for a co11sideratio1 1 of priso1 1 life. Tl1e clifference i1 1 point of vie\v bety,iee11 tl,e old a11d tl1e 11e\v is \Veil illustrated by an ofte1 1-qt1oted story of 011e of tl1 e Borstal Governors \Vl10 \Vas watcl1ing the boys being 111arcl1ed do\xr11 to tl1eir \vorl(sl1ops, \Vl1en it st1 dde1 1ly strt1cl< hin1 1 10,xr abst1rcl it \Vas to try a11 d teacl1 tl1e111 to be 1Ju11 ctt1al if it \X!as mad� impossible for tl1em e\rer to be late.(1) fro111 tl1at day tl1e 01 111 s of arriving 011 time was placed 011 tl1eir sl1ot1lders. Tl1e attitttde to respo11sibilitj' e1Jitom­ ized i11 tl1is tale I1as beco1ne a con1n10111Jlace i11 the Borstal i11 stitt1tio11s a11d it is recognized no\v in tl1e ope1 1 a11 d trai11i11g priso1 1s, bttt i1 1 t}1e closed local priso11s tl1e aJJ!Jroach is still very differe11 t. Tl1e 1Jriso1 1er 11ever l1as to tl1i11l< for !1im­ self or act 011 his ow1 1 i11 itiative. J-Ie !1as to lear1 1 i11stead to st1b1nit !1is ,vill e11tirely to tl1 e ,viii of otl1ers a1 1cl to acce1Jt constant st11Jervisio11. Tl1e 111ore lie st1bdt1es a11 y feeli11 g· lie l1as for i11de1Je11de11t actio11, tl1e less risl( tl,ere is tl1at lie \X!ill get i11to trottble. It l1as bee1 1 said tl1at ''111 e1 1 l<e1Jt for weel(s, 1 11ontl1s, 1,ears t111der a severe exter11al pressure, a11d jJraised a11d e1 1cot1raged i11 1Jroportio11 as tl1ey s11br11it ·to it, are i11 a direct cottrse of jJre1Jaratio1 1 to yield to otl1er for1 11s of 1Jresst1re as soo11 as tl1e1r 1Jrese11t tl1e1nselves. Tl1ey go i11 \veal<, or they ,vot1lcl 11ot probably be JJriso11ers, a1 1d tl1e1 , co11 1e out still tnore e1 1feeblecl."(2) It is st;;lrt­ ling to realize tl1at tl1at \Vas \vritte11 over a l1t111clred j1 ears ago, bt1t it is 1 1evertl1eless distressi1 1gly ap)Jlicable to-da1r • • • • •

•

.

. . -

•

•

Tl1e cle1 11oralizi11 g effects of this l(i11cl of existe1 1ce are i11te11sifiecl by tl1e lac!, of positive de1na1 1ds 11 1ade 011_ tl1e priso1� ers from otl1er_ a1 1�les. Tl1e orgar1izatio1 1 of [Jrison \X!Orl< a1 1d JJr1so1 1 edt�cat1011 are clealt ,v1tl1 111 a _ later cl1apter, bt1t the crttcial )JOi1 1t must be n1 e11t1011ed l1ere. I1 1 tl1� local jJr1so1 1s tl1e \X!Orl(i11 g \veel< is g·e11erally li111ited_ to 22 l1ours, a11? eve111 11 g classes . are restricted by t11e sl1ortage of staff. This n1�a1 1s tl1at d11r11 1g tl1e d�y very little e1 1ergy 11eeds to be exerted a1 1d that the pr1 so11ers ar� locl(ed tlJJ 1r� tl1e�1_ cells fro1n 4 or 5 i1 1 tl1 e after1 1001 1 to 6 tl1e 11 ext 111or11 111g perl1aps five t1111es a week .... Wit!, so little exrJected of tl1e JJriso11ers 1norally, 1ne11tally, or physically, they become flabby i11 s1Jirit, 1ni11d, and body.

PRISONS IN TI-IE UNITED STf\TES 22 James Bennett

[

There are few priso,1s or correctional i11stitt1tio11s in A11 1erica tl1at are 1 1ot (I) Report of Prison Commissioners, 1935, p. 62. (2) ?vlaconachie, Cape. K. H., Crime and Punish1:1ent, ! 84�, P· 29. . _ 22. Bennett After Sentence _ What? 45 J. Crim. L. Crrni. and Pol. Sci. 538 539 ( 1955-)

E C N E R R E T E D f O L A E THE ID

350

d equipment, d evoi an e ur ct ru al st ic ys ph n : d fed f ta rs e d n u , d e d w overcro ds. fun reo Mo g tin era op ve r fo r d tve sta tt 1eir and ' ·t· 1 n Jort t JJ of real _wo rl( O I ! t �!rgely of �erious, l1abitual a 11d psycl1op_athic offeiid ers JJOJJt1lat1011 now co11515t5 1 ave been sl<immed off by tl1 e ever-widening use of es a c ft1l J o l1 11_ o re 1 l 1e T f� ! pr�f essional criminal, the l1andicapped and the war ped probation , leav111g tl1 • . • . i , "t 1 w a I e d o t 11 o is r 1Jerso11a l·1t·1es fo1· tl1· e JJ obsolete

TJ-IE DUTCH PRISON SYSTEM23 N. . ! Timashejf , ica ll er cia pe Am in es n ow y kn un t os with aln is m ste sy l na pe tch Du The as ll fu d an f imitable o od go as r ve we l1o is It ts. n e pm lo ve de nt respect to rece ly ed gh ais l1i pr e ar ich in the wh en ed Sw or rk 1na en D of se t11o as patteri,s United States. Lil(e tl,e two systems just mentioned, and to a large extent also the Britisl1, tl1e Belgia11, tl1e Swiss (nowtdays also the Oe�man) penal sy� te�s, tl1e Dutcl1 syste1n is tl!e fruit of a gr�nd style m�ven:ent �n European_ cr1�1n?logy very little l< now11 111 tl1e U.S. This was_ the so�1o_Iog1ca� school in_ c�1m1nolo­ gy'' which crystallized in the Inte·nat1onal Cr1m1110!0� 1cal . Asso�1at1on and insJJired tl1e progressive criminologists not only until its d1ssolut1on (as one of t l1 e co11seqt1e11ces of the first World War), but also many years later.... •

•

• •

Tl1e Dt1tcl1 priso11 system is l:ased on these principles: I) complete cen­ tralizatio n ; 2) differe11tiation of institutio11s; 3) centralized a11d rational distribu­ tion of th e i11dividt1als to be t rea1ed i11 tl1e particular institutions; and 4) a p redominantly ct1rative approach to the treatment of the individual inmates, by large well trained and well paid sta ffs - in the frame\vork of a penal code v:rhich pays due r espect to the ge11enl preventive fu 11ction of punisl1ment... . Centralization; All tl1e priso11s of Holla11d form 011e \veil structured system.

All ge11eral di rectio11s, the selection o f th e perso1111el, a11d the distribt1tio11 of tl1e i!11:1ates _ among t_he institt1ti�n s are 1Jerfor 1ned b)' a ce11tral board, the Prison Adm1n 1 stra�1on_ forming tl1e Tl1!r? [epart1ne11t of the Mi11istry o f Justice. But tl1e ce11tral1zat1on leaves a s t1ff1c1ent 1naro-in of freedom to tl1e directo rs of the. indivi�t1al_ ins�itt1tio11� oft e11 assisted by cotnmittees of experts. This cen­ tral1�e� d1rect1on _ 1s co11s1clere� ?Y tre . Dt1tcl1 cri111inologists to be a functi onal requ1s1te of a rat1011al a11d eff1c1e11t p rison syste1n .... Diffe 7:ent!atioJ't of P7:ison.s: Tl�e t111i1s of w11ic11 the sy ll a sm are co ste ns m ist s a11� spec1al1z_ ecl. T!1e l1�t of J?r1s011s ,s of December 31 1953 , con n s 43 it e ms; tai tl1e� r. total popt1l�t1011, 1!1clud1 11g tl10 detaii,ed ii, e xp ec ta tio r ial and t!1e of t n � JJ ol1t1cal of�e11�_e1 s . co11s1sted of 4,�62 JJersoi,s, so th e average number o f 111inates . pe� 1 n_stttti_t1o11 \Vas 108, \Vtth 110 institu tio 11 l1a l1an 300. rb t m or or in e g Each 1 11st1tut1011 1s . devoted to tl1e jetention e ai ,d tr e atment o f one (in som cases, two) categories of offe11d er or detain ee. . .. o s c Tl,e JJrisoti i11. Letiwarde11 acce1Jts only prisoners with lon g senten e wh e ac l p 1e a e 1io ever not t11vet�rate recidivis1s. Tl1e prison in Oroninaen is tl ll)' � y a ent o co11 111eme11t of pers1ste11t off e11de·s and of a c ertai11 categoory of m 23. In 48 ]. Crirn. L. Crim. and. Pol. Sci. 608·613 (1958).

..

351

1\10DERN PENOLOGY

.

de!ective j)erso11s JJlac�d at tl1e diSJJosal of the gover111ne 11t.l11 tl1e prison No. 1 111 �l1e I-Iagt1e 011e f111ds 011Iy 1Jriso11ers se11te 11ced to six 111011tl1s or 111ore, especially_ tl1ose lt�fit for fJredo111i11a11tly com111t111al life, \Vl1ile J-Iarle 1n harbors tt1ose e11t1rely u11f1t for con1n1L111ity life. To tl1e priso11 Bar1l<e11boscl1 i11 Norg are se11t tl1ose offe11ders \Vl10 l·1ave been se11tencecl for 111ore tl1a11 six 111011tl1s a11cl ,1re fit for co 111111t111ity life, as \'(/ell as tl1ose se11te11ced to tl1ree to six 1110 11tl1 s_ .Tl1e prison Esserl1eern i11 Norg receives 1Jriso11ers se11te11ced to 111ore tl1a11 six rno11tl1s wl10 are fit for co111111 t111it)' life b t1t \Vl1ose 1Jrog11osis is ratl1er unfavorable as \veil as tl1ose se11te11ced to tl1e \xrorkl1o t1se. Jr1 a s1Jecial division o _f tl1e priso11 at Vt1gl1t all 1Jriso11ers \Viti, dttrable (cl,ronic) bodily (not n1e11tal) s1cl<11esses are conce11tratecl. Tl1e )'Ot1tl1 1Jriso11 i 11 Z t1t1Jl1e11 serves for tl1e treat1ne 11t of yot11�g n1e 11 (18-25) \xritl1 cri111inal a11tecede11ts, bttt \xritl1 relatively favor­ a1?Ie prog11os1s. Tl1e ''asyle'' i11 1-\verest receives ''psycl101Jatl1s" [Jlaced at tl1e disposal of tl1e gover11n1ent.Tl1e ''l1o t1ses of dete11tio11' so 111etin1es recei\1e only persons detained for trial, so11 1eti 111es 1Jerso11s se11te11cecl to less tl1a11 tl1ree mo11tl1s, son1etimes botl1.

''

1

'

As tl1e res t1lt of this cliffere11tiatio11, tl1e fJOjJLtlatio11 of a1 1 i11stitt1tion forrr1s a ho1noge11ot1s grot1p (s01neti111es, it combi 11es t\Y/O st1cl1 groLtjJS) to \'<1hicl1 a com111011 treatn1e11t ca11 be ratio 11ally a1J1)lied. •

•

•

•

TI1ose se11tenced by tl1e co ttrts to 1)riso11 are clistrib t1tecl a1no11cr tl1e i11stitutio11s by five ''selectio11ers'' belongi11g to tl·1e staff of tl1e Priso11 bAd111i11is­ tratio11. Tl1ey act i 11 coorJeratio11 witl1 t11e jJrosec t1tors !1avi11g· l1a11dled tl1e cor­ res1)or1cli11g cases a11d witl1 officials of tl1e Ivli11istry. T\vice a 111ontl1 tl 1ey come togetl1er in tl1e ce11ter of il1e cot111try to disctiss ge 11eral jJO]icies a11cl tl1e 111ore diffict1lt cases. If tl1ey st1s1Ject psycl101Jatl1y overloolcecl by tl1e coL1rt, they ca11 se11d tl1e offe11der to the Observatio11 Cli11ic i11 Utrecl1t. Wl1e11 111aking tl1eir decisio11s, tl1e selector 11111st, first of all, follo\xr the directions of tl1e la\V a11d tl1e ordi11ance of tl1e N1i11istr)' t1 11derl),i11g tl1e differe11tiatio 11 of 1Jriso11s clescrilJed above.Tl1ey study tl1e acts, tal<e i11 accot1nt tl1e reports of tl1e l1eads of tl1e hot1ses of detentior1 a11d, wl1er1ever 1Jossible, tl1e desires of tl1e offe11clers. 1·11ese desires 111ay be decisive as co11cer11s tl1e cl1oice bet\vee11 t>'JJologicall)' ide11tical i11stitutions: n1ost com111only tl1e offe 11ders asl< to be 1Jlacecl as close as JJossible to tl1eir resiclence so tl1at tl1ey \VOt 1ld not be e11tirely deJJrivecl of visits of rela­ tives or frie11ds. �fl1e JJriso11er's desires are also co11siderecl as to !Jlacen1ent i11to a11 i11stitutio11 \'<1itl1 fttll, Iirnitecl or 110 co1111nunity life. No for 111al selectio11 takes place relative to offe11ders se11tenced to less tl1a 11 tl1ree n1011tl1s; tl1ese are directed to the closest l1ot1se of dete11ti011. •

• •

•

... Tl1e major fact [co11cer11i11g t!1e Ot1tcl1 �ri_son system] is tl1e ratio11al arra11crement of tl1e i11dividt1al iten1s 111to a11 eff1c1e11t systen1. No efforts are wasted 011 u1111ecessary treat1ne11ts, and tl,e cl1oi�e of tl1e 111o_st IJro1nisi11g treat­ n1e11t is 11ot left to cha11ce decisio11s of t111coorcl111atecl age11c1es.

.

l

Of course, tlie system is by _no 111ea11s perfect. Tl}e lead�rs lc,10\v tl1is and try gradtially to adapt wJ1at exists to patter11s derived ft 0111 co11te1111Jorary scientific views in the fields of cri111i11ology and JJe11ology a11d to ex1Jerience gathered ''011 tl1e job''.

[

f

I

As elsewl,ere, tl,e greatest l1andicaJJ . is the existence _of still solid a11d_ i11l1a?itable buildings erected durir1g � JJer1od wl1e11 fJenology was based 011 views . quite at variance witl1 tr1ose preva1I111g today..·

t

[\ t.

.� . . ...

·

[''

'

. '

TI-JE IDEAL Cf DEl"ERRENCE

352

N CT E S CRITICISi\1 Of MJDERN PENOLOGY Note 1:

24 es u iq n ch e al T n o ti A Critique of Specific Corre<

St1 Ltlina11, Tl1e Social Structure of Priso11s a11d J ails25 Assuinii,g t11at \Xie l1acl withi11 1Jri�ons an� jails tl1e ki11ds of prisoners :<'} 10 \vere by ai,d Iarg� _ 1·el!abilit� b�e, we \�.ou_ld still. be unable to go very_ far 111 a progra111 of rel1ab1l1tat1011 _\v1tl1111 th� exist111g social strL1ct11_re ?f our pr1s?ns a11 ct jails. Tt1at social strL1cture 1s a f_unct1011al respor1se to tl1e 0�1ect1ves of punishment a11ct secLtre c11stody. It co11s1sts of two sep�rate s�c1al . � tructt�re�, that of officialdom a11d tl1at of JJriso11ers. Tl1at of off1c1aldom 1s n11l1tar)' 111 its orga11i­ zatio11; tl1at of 1Jriso11ers is feLtdal, bei11g . co1n1Josed of competing·_ grou�s and ba11cts wl10 recog11ize 110 secure lcadersl11r:i a11d among _ w l1om d_om1na11ce 1s deter1ni1 1ed by force ratl1er th�11 by co11se11sus or democratic selection. Relatio11s betwee11 tl1e priso11er cc1nmL111ity a11d tl1e official cornmur1ity are clistant a11cl strai11ed. Tl1e object of the official co1nmL1nity is to mai11tai11 its co11trol S)'Sten1 over tl1e prisor1er co11m1111ity a11d the object of tl1e prisoner con11nu11ity is to 11egate tl1at co11trol syste111. U11der tl1ese circumsta11ces, social relatio11s bet\x,ee11 tl1e t\VO gro11ps is 11or111ally 11ot for the pL1r1Jose of serving tl1e \x,elfare of all, bL1t to acco1n1Jlish tl1e objects of eacl1 separately. The ob­ jects of officialdo1n are to accon11Jlisl1 tl1e assigned daily routines and to 11se tl1e i111nates for pttrJJoses of infor1natio11. Tl1e objects of i11mates are to reduce tl,eir duties to tl1e bare 1ninin111m necessary to escape ce11sure or infractio11 reJJOrts, to ''con'' tl,e official g·rou1J i11to forgetfulness of r11les or i11to tacit overlool<ing of i11fractions, and to obta.11 i11dividual favors a11d benefits. Between botl1 groLtJJS tl1ere is a11 1111easy rel�tio11sl1iJJ of clomi11atio11 a11d sL1bmission cl1aracterized by no11-fraternizatio11 011 the part of tl·1e official aro111J save for tl1e iss11a11ce of 11ecessary orders a11d for tl1e mai11te11a11ce of co�trols. Tl1is str11ct11re of social relationsl1i1Js cloes 11ot e11courao·e co11strL1ctive social lea_r11ing, }Jrod11ctivity, i11itiative :1nd i11di\rid11al gro\vtl1. Tl1�re is 110 escape for tl1e 111111ates from tl1e for1nal bL1reat1cratic str11cture or f ro1n tl1e i11mate social. st_rL1ctL1re tl1ro_L1gl1 �ocialized agrressio11 sucl1 as co1111Jetitio11 11or thro11gl1 u11s?c1al1zed aggression, s111ce 011e is 11)t e11co11raged a11d tl1e otl1er is, of cottrse, JJL11�1sl1ed._ Escape, �l1ere·�ore, for .tl1e jJriso11er is fJOssible 011ly tl1rot1gh ps)rcho· logical w1tl1drawal 111to 111trovers1011, or \Vorse, i11to JJS)'Cl1osis. Secretariat of tl1e firstr U11ited Natio11s Co11gress 011 tl1e Preve11tion of Crime a11d tl1e freat111e11t 1)f Offenders, Priso11 Labour26 : ··It \'.v'as r�cog11izecl tl1at, altl1oog·11 tl1e s11bject [1Jriso11 labot1 r] l1ad been

_ e­ 11011 was st11dted at Ie11gtl1 _111 tl1e J)ast, tl1e acttal jJositio11 i11 1nost coL1r1tries !11eless 111ost ui,�at�sfactory. l1: 111a11y !Jtiso11s jJriso11ers \'(!ere l<ept con1fJletely i?!e; ficart1 was 11 1 otliers, tl1ey \Vere only partially en11J oyed; i11 1na111, cases tl1e work

24. The followino- tl1ree excerpts a e c11t ·1 r · .· 1ca_ · 1 o f rep�·esentat1ve · are as of prison administrati on. S1m1 ad criticism coul�l as \veil ·b e I-e� e le d at pris 1rcl11teccure, classification systems, tl1e recruic1nent an training of staff'. ecIuca tion, t h crapy and on after-care. 25. Sh n, \'71,at is "Yrong witl1 A1nerican Prsons an d Jails, 4-5 ]. Crim. L. Crim. and Pol. .5ci. 664 (l ;�� � 26. U.N. Publ., A/CONF/6/1, pp. 30 -31 (1955).

••

r

I

1\1\0DERN ?ENOLOGY

353

ially created, far too m�11y priso11ers bei11g etnJJloyed, for exa111pl�, 011 111ai11tenance work.It \Vas po1ntecl 0L1t tl1at �ve 1 1 i11 1Jriso11s \Vl1ere tl1e 1Jr1s011ers l1ad a11 OJJ!JOrtu11ity to work, labot1r n1etl1ods a11cl tecl111iqt1es \Vere ofte11 i11ferior. Tl1e JJrobl_er11 of re111L111eratio11 l1ad not bee11 satisfactorily solved.Pris�11ers did 1 1ot be11ef1t as tl1ey sl1ot1ld from tl1e systen1 of social secL1rity a1J1Jl1cable to otl1er \x1 orl<ers, a11d vocatio11al trai11i11g \Vas ofte11 i11adeqL1ate or \Vas give11 l1ap­ hazard i11sL1fficie11t ,tttentio11 beir1g fJai:l to tl1e JJrisoner's ca1Jacities a11d l1is fJrOSJJects of e1111Jloy111e11t llJJ011 release [sic]. Zemans a11d Cava11, Marital Relatio11sl1i1Js of Priso11ers27 TI1e_ I?l1ilosopl1}' a11d JJractices of IJ�11ology are ra1Jidly shifti11g from l1arsl1 a11d !Jt1111t1ve to l1ur11a11e a11d rel1abilitative. To \vl1at exte11t are 111arital relatio11sl1i1Js of 1Jriso11ers utilized as a n1ea11s :o better adjust111e11t? •

•

•

•

. TI1e pl1ilosorJl1y_ of tl1e at1tl1ors ... is tl1at 111arital a11c1 fatnily co11tacts are a vital 1J,1 �t of tl1e I1fe_ of a11y l1t1111a11 teir1g. 1\tlarriage gi,,es slrt1ctL1re to one's jJerso11al 11fe arid fulfills l1ur11a11 11eeds for affectior1, er11otio11al security, e11coL1rage1ne11t a11d afJiJroval, sext1al ex1Jr�ssio11, a11d so fortl1. Otl1er satisfactio11s co1ne \vitl·1 1Jare11tl1oocl. Tl1e sa111e 11eeds are j)rese11t a111011g 1Jriso11 i11rnates as an1011g free peorJ!e, but tl1eir fulfill111ent is 11eglectecl. l\.1oreover, \vl1e11 a 1Jriso11er is relec.secl lie is t1st1ally i11 11eecl of i1111nediate fJerso11al arid social accepta11ce by a s111all frie11dly groltjJ.Tl1e fa,nily is tl1e ideal grottiJ to l1elrJ l1im mal<e tl1e trarsitio11 from co11fi11en1er1t to freeclon1. It n1a}' fail, 110\vever, if tl1e fJerso11al relatio11sl1i1J l1as faded a\vay dt1ri11g tl1e ter1n of im fJriso11 n1e11t. Note 2:

The Rationa!e fo r Modern Correctional Techniques

St1therla11d and Cressey, Prisc11 Objecti,1es a11d Co11ditio11s28 TJ-1e success of tl1e fJriso11 in deterri11g tl1e ge11eral jJL1blic fro111 cri111e is probably 111t1cl1 less tl1a11 its Sltccess i11 i11capacitati11g cri111i11als. It certai11ly l1as s01ne deterre11t effect but it is difficltlt to co1n1Jare tl1e cleterrc11t effects of dif­ fere11t prison JJOlicie� or to isolate tl1e effect of _ a_11y JJriso11 policy from tl1e effect of t]1e wl1ole process of arrest a11d co11v1ct1on. Perha1Js tl1e deterrent effect of imprisonme11t i11creases sligl1tl)' \villi tl1e l1?rrors o� �riso11_ life, tl1oug:l1 this is Iil<ely to be off-set by tl1e diffictt ty of secltr111g co11v1ct1011s 1f tl1e public feels that tl1e J1orrors of impriso111ne11t are greater tl1an_ �lie l1o_rr�rs o_f tl,e cri1nes. Perhaps tl1e fact of i11carceratio11, regardless of co11d1t1011s w1tl1111 pr1so11s, is tl1e most imJJorta11t factor i11 deterrence.... Tl1e sttccess of im1Jriso11111e11t as a 1nea11s of refor1natio11 is_ very sligl1t, althoLtgh this, also, is diffic11lt to deter1!i11e a�ct1rat�Iy.!t a_ct_t1ally_ 1s not l<11ow11 treatme11t whetl1er reciclivistn is decreased by 1Jr1so11s 1_ n \vl1_1cl1 111d1v1dL1al1zed _ 111etl1ods 1,ave developed. Tl1e statistics 011 tl11s JJ0111t are 111adeqt1ate, bltt tl1ey indicate that the metliods tJ111s far develo1Jed l1ave 11ot bee 11 atte11ded by ve�·y 6 6 JJerce11t of tl1e fJerso11s co1111111tsig11ificar1t chaiiges j11 recidivism. In I 958, 6 .

.•

II

t

'

l

27. In 49 ]. Crim. L. Crim. and Pol. Sci. 50 (1958). ). For 1neasures rl1at can be taken ( 60 19 83 2-4 48 ogy nol i,ni 28. Sutherland and Cressey, Principles of Cr with respect to recidivists in Ethiopia, see Arts. 128-132 P.C.E.

l

• ' I ,,.f.

�· .

i . ,

·.

TI-IE IDEAI- Of DEl'ERRENCE

,..,.:)�-4

ite � States ] h a � U e. i th or e n at s [i rm e fo r 1d a1 11s i so JJr d l ra de fe or te to a st d te . ns t1o t1tu 1ns y tor ma or or ref 1al Je1 to ts 1 a11 ct tl,is e11 itm inm co 1 of 1Jrev1ot1s recorc s na 1 1 ng · E 1s tn ro _ f 1 e d l rg d" 1 1a r ys bo �c 1 tl r fo . i e e f et O 1Jl 1,1 � co 111 )' reco . rd .is certai-til e r eco11v1cted at l east onc e w1th 111 fiv e we1 l1alf ttt l abo tor1es 111 1938 944, e n reI ea_sect conse ctt_ n1 g 1 un o f yo o 5 nt e rc e fJ .7 63 at tl1 ,ears.<39) Oltiecl{ fotttld s erious offei,se_s _ ed 1tt y n1 or m at co m or ef S -� te t s t e � s 1t1 cl sa � i i vely frotll tli e Iv1as e-)r ear fJOSt-1Jarole period, tl1at a11 addif1v a 01 d r1o Je le ro pa 1 . et·ti1e1. dt 1 r1·11g tl,e . e o� post- J)ar ole · I t o JJa � th · ·t1 111 r e s 1e t 1se e1 ff o or 111 m ed 1tt 1n n1 co ti oi,al 20.8 perce11 t erious or minor offe1 ,ses s of rd co re 110 d l1 nt e rc 1 e p .5 15 11) 01 IJeriod ai,d tl,at ' 40 es somewhat tl1e nu mbe� of t ra g� ag ex s ap rl1 e JJ i s l1 T _ > .< s� lea re to sttbsequei,t ec��se amo11� tl�e serious b lly e c1a es J d, o::> rst de t111 1 1ly 1ar d11 or as serious cri tnes ­ d , 1:7 e fro e v t1c 1t1 1us e fug 1 e , sct r or es pe e sc, e d r '' lt1d i11c _ � IJost-iJarole cr itn es are erious automobile s a11d , y_ nav a11d ny ar1 e t:1 1n fro e rg cl1a d1s e l rab 11o sl10 i ct or 11 tio 1 e ser 1ot1 s post-parole crimes. tl1 of e nt J�rc e 23 tt1t 1sti co1 I e s tl1e a11d s' offet1se Larce11y, bt1rglar)', a11d robb ery co11s1itt1te 80 percent of tl1e offenses for which offe11ders wr1ere com111i tted to tl1e ·eformatory a11d only 60 perc e11t of tl1e seriot1s fJOst-1Jarole offe11ses. Anotl1e r stt1dy also i11d icates tl1at tl1e crimes ordi11arily co11sidered ''serious'' are de�reas ed by in1prisonmer1� _a11d parole._ Of 3,424 Pe1111sylvani a fJarolees who v11)lated fJarol e by com1n1tt111g 11e\Xl crimes i 11 1946-1956, 2,265 l1acl ori ginally con1mi tted 1·obb ery, raJJe, burglar)', or l1omi­ ci de; bttt tl1 ese cri 1nes \X! ere r epeated by only 1,626 of tl1e parolees, a decrease of 28.2 JJerce11t. Of tl1e 1,626 offen,es, 45 perce11t \v er e con1mi tt ed by me11 origi11ally co11victed of so1ne otl1er cr in1 e.<41) Tl1e hi gl1 fai lur e rate sl1ould 11ot be regarded as tl1e resJJonsibi lity of tl1e last i 11st i tut ion \vhich d ealt w itl1 tl1ese offenders. No ir1stitt1ti o11, receiv i11g '.l1e failures of the rest of society, sl1ould be ex1Jected to reforn1 a ve1·y larg e Jro1Jortio11 of them. Also, the reformatory ca11not JJrOJJerly be gi ven tl1e cred it for tl1ose \vho do refor111 after im1Jrison111e11t. There is a te11d e11cy to b elieve JJriso11 is a success if it does 11ot make offe11ders worse. •

•

•

•

Cressey, The Natt1re and Effec1ive11ess of Correctio11al T ecl111iques29 . I t mt1st be err��l1asize? tl1at stt lJJJ::>rt for co11ti11t1i11g· tl1e pt111itive reaction to crime or for SJJec1f1cally . 1n1plen:1e11ti11g tl1is r eactio11 by impriso11n1ent i s al\vays based _011 _son1e value \xrl11ch JJ_L1111sl1n1ei1_t ge11erally or tl1e S[Jecific l<i11d of pt111ish­ m�11t ! 11fl1cte? by. tl1e f�ct of 111carcerat1011 is ass11.1ned to l1ave. \Ve do 11ot have a11y obJ�ct1ve, sc1e1:1t1f1� . ev1de11ce tl1a� i11fl icti11g· JJain 011 critnii,als is an efficie11t �yst�!11 f?r 1na111ta111111g, or 1·estor1_11g1 social i11teg·ratio11. We do not know tl1at 1111�115011117g met, cleters otl1ers, re1r1forces a11ti cr i111inal va lu es corrects crimi nals, , '. ! 1 1 so tn e ot l e_ r \x,ay jJr?n1otes soci1l solidarity. N either d� \Ve know tl1at in­ � f lictii,g otlier l(tiids of pa111 corrects crin1i11als or t)'· so cie o·e ne s e ra gr lly in e at t 0 ' • M or eov•er 1 \Ve do 11ot k,",•ow tl1a' t 1·1·1f11·---t·111g· pa·in' b · er 1 ti o y • 1m som JJ1·1 • • so1 e 1111 ent or 111ea11s 1s a1. 1 z1iefficie12t syste111 for acl1i,e\ri11g tl ,e desir ed ei,ds. �11 �-e e11t y�ars, tl1ere l1as beeu a d isti11 ion no t ct tr en e � d a\ tl1 va y fr om ti,at 111fltc 111g pa111 refor111s cri 111i11als. Also, it is 110\V fashio11able to argue tl1at (39) A. G. Rose·, Five I-Iundred B orsta l B oys (Cix f·ord : Basis Blackwel l, 1954), p. 21. (40) Sl1 eldon and Eleanor T . Glu _ eck., Five Hindred Criminal Careers (New York: Knopf, 1930) PP· 167-169, 182-192. ( 41) Willia111 L . Jacks, "\'o/l1y ar . e Parolees Retu1I1ed to Priso n as Parole Violators?'' American Jou rna/ o'Il Cor'.ection, 19:22-24, December, 1957 · 29. In 23 L-··,iw and Contempor· ary prob lems 756, 764 (1958).

- - - - -----

.

..

\•

(1'

'.

\

.' '.•'. .' '.

' '1

\\

':, '

.'

•

. '. ' . .. \

.• • '·'" . .' '...

..,

.. '

. ·, .., '' '

'

,_

.

" .,

-. .'".. -

Ii

I'

-� ... ..

"·

'

..,.' ,

..,.

,"

--, I ,

355

MODERN :JENOLOOY

\t.

·,

,,

•

1'

; /

.

. ,,. ,,

'

I :

-. i

f· f

1

�

'f

I,- -

pris�n.s do 11ot correct and t11at, t11erefore, t11ey sl1ould be abolishecl or so m�d1f1ed t11at they become 11ospitals rather tl1a11 JJ1aces of (Jt111isl1me11t. Bt1t ne1tl1er the tre11 d nor the fasl1io11able argt1ments are based 011 scientific evi­ de�ce. tl1at punis11ment is not effective as a ge11eral correctional tecl111iq11e. TI11s t s true simJJly becat1se tl1ere never }1as bee11 a11 acce1Jtable 111east1re of ''efficie11cy.'' I-low mt1cl1 i11tegratio11 is 11ecessar)' before a society is i11tegrated? How lo\v must a recidivism rate be before it ca11 be said to be 111 i11i111al? This l{ind of fairy-tale qt1estio11 ca11 lead 0111)' to fairy-tale a11swers: s0111e," ''enougl1 1'' ''lower than at (Jrese11t." 11

•

• • •

I � correctio11al \Vorl< were scie11tifi:, eacl1 correctional tecl1nique \VOt1ld be es�abl1s l_ 1ed on _a ratio11al basis. We \vculd be reaso11ably s11re tl1at 111e11 com111it cr1111e 111 certain clescribable circ11msttnces a11cl 11ot i11 otl1ers, a11cl tl1en \Ve could set O t!t to 111odify these cri111e-rJroduci11g circL1msta11ces. Utilizatio11 of eac_h . correct1011al tech11ique wottld be a11 experi111e11t desig11ed to test tl1e val1d1�y of a tl1e_ory of crime ca11sation. Stated in a11other way, from a tl1eory of cr1111e ca11sat1on, \Ve \VOttld predict tl1at certai11 tecl111iq11es \VOLtlcl \Xlorl< a11d ?thers \v' ,Ottld not. If tl1e tech11iq11e \Vere carefully admi11istered L111der exper1mentally-controlled co11ditions b11t J,,et dicl 11ot cha11ae cri111i11als \Ve b would be a�le to conclude eitl,er tl1at (a) tl,e tl1eory 011 wl1icl1 tl1e tecl111iqL1e \Vas based 1s \vro11g, or (b) tl1e tecl1 niq11e 11sed \xras 11ot co11siste11t \vitl1 tl1e theory. Beca11se correctio11al worl< is carried out t111der tl1e ki11cl of co11ditio11s \Ve l1ave already described - conditio1s \Vhicl1 ca11 scarcely be cl1aracterizecl as scientific - \Ve are 1111able to dra\v either co11cl11sio11. Tl1e tecl111ic1t1es i11 t1se certai11ly are 11ot derived from jJrecise stateme11ts of cri111i11ological tl1eory. I

Que,tions 1 Witl1 resrJect to Ato A11dargatche\xs descrifJtio11 of Etl·1io1Jia11 priso11 prac­ 1. tice: Is it wise to se11d tl1e 11ew 1Jriso11ers immediate!)' to the classified sectio11s to wl1icl1 tl1ey belo11g? W.1at ratio11ale ca11 be give11 for tl1· e clas­ sifications mad e i11 Etl1io1Jia11 prisc11s? Wl1at is tl1e jJLirJJose of tl1e \Vorl< chosen for prisoners? Wl1at otl1er facilities are JJrovided i11 Etl·1io1Jia11 prisons? 2. What do you see as tl1e possible it111ctio11s of jJrisons? I-Io\v' do s11cl1 f11nc­ tions relate to tl1e JJt1rposes of JJt1nisl1 me11t? Do co11flicts bet\vee11 differe11t aims of pt111ishment mal<e it diff cult t� im!Jlement rational prison JJI �� ­ grams? Do Etl1iopia11 prisons co11form pr1111ar1ly to a deterre11t or _rehab1l1tative JJl1ilosopl1y? Does tl1e jJrison syste111 co11for111 to tl1e requ1reme11ts 1at Jia? Wl 1io1 Etl i11 od la\v go l . stil 4 194 of 45 . No c Pro Is ? .E of tl1e P.C n tio tra of 11is !17i tl1e ad i11 s ge an cl1 for . ke . 111a tt yo 1lcl t s wo on ati nd recomme g 1111 n er1 t1o 11c co 1sla leg \v 11e of or fav i11 be 1 t yo tld t o W ? ns n iso pia pr Ethio prisons in EthioJJia? ­ ac em o Jia se l1i Et of em rst S) 11 iso 1 Pr tl1e of t 1ar Cl e tl 3. Do th e e11tries on 1 all d s sm an ce e11 1 11t se atl cle of r be 1m n1 ge lar e tl1 r fo ts 1 u1 curate? Wliat acco s a11 ce tl1 e11 11t l1 se at de e or 1:1 y a11 n1 re the e ar l1y W ? ns io number of exectit s to ce en 11t vy se ,ea l _ of 1 o1 rt� Jo o1 pr e tl 1 es Do 1t? e1 m 1 1 _ iso terms of life impr e1 11 to l1ave st r1 sy 1so pr 111 I 1 t tts � t1n 1t I, ?. ce �. Iigl1t sentences have significan so e ar l1y t W e11 gm td Jt g 111 a1t aw rs 11e 1so � p e 1 r between 1/3 and J/2 of tl 1 ce111ed � bout tl�e 1 co be 1e 01 d t1l 1o Sl 1? ve1 g1 s _ many full and partial JJard o� s 1 1n 11e 1so of )Jr er 1b 1n 11t l ta to e tl1 Is t? en 1 n dg t Jt figure of 112 deatl,s before Etl1ioJJia surprising?

356 4.

8.

TI-IE IDEAL Of DETERRENCE

of Gl1ana, Keiiy s� tl10 m fer o f1· dif s o11 s i pr 's fJia lliO Et a I 11 \'v'l1at _ w, s do an e�1c al Am pen 1 lisl a11d Eng _ ctice? i1a:e i pra 11 do1 � s tor fac ? at 1 a11d Mali. Wo ? tem son S)'S pri tch of the Du cs u isti ter rac cha d . l 11ar Jri1 e I What are til al fJe11 ign fore tl1e of ti a11y prac )f 11 ces Y JJtio ado 11e of t d 1� e 11 1 1 11 o . c )' 0 Ll re . ? . J 1a 1 o 1 tl I E 1 11 1s n te s y s e s tl1e . . . . 1s?_ w so1 I-lo pr1 1s 1a11 11op Etl to tl1e ble lica aJJp 1 te No maritl n · 1 1s · t · ic cr1 s t1 1e 1iO[Jia? Do es a l11g h rate of recid Etl in tl1 wi alt de 111 ble JJro � aI a11d sext 1al . . · 1t a e 1e1 ? tl s h . . 1g h · es. I . qu 1 tee 1n1 1 a e 011 rat ct1 rre co e tiv of fec ,ef 1 1· . ate c cti· . 1 · . . 1V1s 111 11 f n or ve gi ? eac h 1g I 1t b e m e a 1 011 1 f o r,t t ha tl1e W · tJia liio Et 1· 1 1 m 1s 1v ·ct· 1 c re . · · · y 1a t ? e WI t �. f _ o on · 1s 1. fJr a1 p1 re 1o se tl1 E ar ch 111 d se 1 t es tic ac JJr l iia tio correc � . em 1 st 01 sy l 1s 11a pr t10 ra re 11o a g i11 ild bu i11 l Jfu 1el inig11t be 1 i Pioblem

Vo Lt 1,ave bee11 asl<ed by the M�� ist�r o:, I 11terior _to draft a s�c�io11 for a �he ass1g�n1ent . SJJ�c1f1cally asks 1 1e\xr Priso11s Procla 1natio11 011 ''class1f1cat1on. you to set 0L1t tl1e broader fJUrJJoses \X1l1icl1 [JU111sh1nent 1n Eth1op1a must serve a11d to carefully relate )'Otlr classificatio11 systetn to tl1ose fJUr[JOses. Recommmded Readings

Lowenstei 1 11 Tl1e Pe11al Syste111 of Eti1iOfJia, i_ 11 Mil11er, Per1.al Systenis of Africa (to be )Ltblisl1ed i11 1965) and 2 ]. Eth. L. (Wi11ter, 1965) (a11 article deal­ i11g \vith botl1 yot 111g a11d adLtlt offenclers, tl1e ptITJJoses of {JL1nisl11ne11t a11d tl1e legal setting i 1 1 Etl1io 1Jia). Sy1111)osiu1n 011 Crime a11d Correctia1, 23 Law and Conten1porary Proble1ns 583783 (1958) (a series of article;, JJri1 narily critical, · co11cer11ii1g various aJJ1Jroacl1es to tl1e correctio11 of offe1 1clers). Jol1nso1 1, Crime, Correction, anci Society 515-620 (1964) (a g·ood treatn1e11t of J)ris011s a11cl tl1eir JJrogra111s, J)ri111a1·i y i11 tl1e U11ited States). Kor 11 . a11d l\l\.cCorl<le, Crinzir1olog_y aria Pe11.ologJ1 358-414, 458 -530 (1961 ) (dis�tlS· s1011 of tl1e tl1eory a11d l1istory o f iJL111isl1111ent and tl1e curre11t i11st1tu­ tio11 alizatio 11 of offe11ders). B0L1zat, Droit JJenal 355-415 (a su1·vey of tl1e JJrison S)'Ste1ns i11 fra11ce). H Ltgt 1�11�)' �11.cl A11cel - I-I ttgL1e11ey, je Vabres a11d A ti eel, Les Grands SJ,stenies Pe7:ztentzazres J-lct1Jels (1950 a11d 1955) (descri1Jtions i1 1 fre11cl1 of nt11nerous JJr 1 so1 1 syste111s t 11roLlg 11oLtt t11e \Yo rI ct). Aiicel, Les Noti,01:s d� Pre'!er1tio11 clu Crin1e et de Tr Oelinqua11 ts ai te 111 de e1 s 1t cla,�s les �eg1sl_at1011s EL1 roJJee11ries lv\oder11es, 71 R evite Penal Suisse 1-16 ( l 9:::>6) _(d 1scLts5 1 �11 of Et 1ro1Jea11 theories an d e11 t co 11c er t1· ni ea 11c tl1 trn e r b JJreve11t1011 of cr1111e). De1Jartine,,t of Eco110111ic a11cl Soci1l A ff ai Lcibotir, rs , n l.[ 11i te N d Pr at iso io 11s , U .N. _PLibl., ST/SOA/SD/5 (1955) (co1n ent tin Jre l1e 11s tr 1 ea i\1 e co an e m d JJa ra tiv of JJr1so11 I aboLtr). Cletlltne_r,. Tl1e Prz:so,i Con m1,1,rzity (195 e th 3) f (a 11 o ex � ce y ll e 11t so ciological stt1d soc�ety of _JJr 1s011ers 1 11 a11 A 1ner: can JJriso11). Syl<e�, Tl?e Soc iety of Captives ( 19 n 5 8 ) 't l1 e st t 1 d y o f a 1n ax i1 Lltn security fJris o _ n 111 the U111ted State s). Sn1it�1 , 1:\7�111.e11. i�i _Prisori (196 s 2 ) er (t l1 e o n 11 is to ry ri s a11cl stattts of female p 111 01 eat Br1ta 111). !

--357

MODERN P:NOJ_oov

Pillai, Problems of Priso11 Labot1r i11 Under-Develo1Jed Cot111tries, 14 Int. Rev. of Crim. Policy 3-9 (1959). Teeters, Penology from Panama to Cape HJ rri (1946) (a descri(Jtive stttcly of tl1e priso11 syste111s in Lati11 A1nerica). Teeters, Tl1e Priso11 Systetns of E11gla11d, 41 J. Crini. L. Crim. a12d Pol. Sci. 578589 (1951). Cava11 a11d Zen1a11s1 Marital Relatio11sl1i1J, of Priso11ers in T\ve11ty-Eigl1t Cot111tries, 49 ]. Cri,n. L. Crim. a11cl Pol. 'ici. 133-139 {1958). Rose, Tl,e Struggle for Pe11al Rejor1n (1961) (a l1istory of j)e11al reform \vitl1 SJJe­ cial refere11ce to tl1e I-lo\vard Leagt1e). MacCor1nicl<, The Prison's Role i11 Crin·e Preve11tio11, 41 ]. Crinz. L. Cri1n. a,zd Pol. Sci. 36-48 (1950).

..

.

II

CHAPTER 16

The Ideal of Rehabilitation SECTION A. THE CAUSATION OF CRIME

CRIMINAL STATISTICS FOR ETHIOPIA (1954 E. C., 1961-62 0.C.)

Advocate General's Department, Minisu-y of Justice, Imperial Et!'Jiopian Government CONVICTIONS

INDICTMENTS2 PROVINCE

-;d '."!:! ... Inten-

tional Bodily

0 u

a

·L:J ·c:

.s�

.. 0

Harm

Proper ty Petty Offen- Offen- Totals4 ses ses..:>

-

-

ACQUITTALS

lntcn- Prop- Petty Inten- Prop- Patt o y ·- u cional erry ... ·- tional ercy OffenTotals C E Bodily Offen- Offen- Tot als 6 Bodily Offen· i• 0 � 0 ses ses ses Harm Q'T" .,.. Harm ses a-

Cl)

'""Cl C ·• u

.

a:

0

C-0 ·-

i.,·-

--

I

5249 23 1720 132 3168 1834 2399 12493 7 800 909 1919 9 1780 --1877 399 5565 1 L99 1158 271 20-1:2 5 1029 Addis Ababa · a 523 l ' l -13 525 3 67 1213 8 9 I l 31 9502 2269 I I 8 1967 Shoa (-AA) . 104 1269 1546 410 6892 3 391 645 116 2009 I ] 394. Sida1no 77 - 694 ' 1280 126 4.379 1 367 687 IO 1 2005 4 46 Gojan1 25 3910 76 1096 786 12 294 ·\YJollega 330 12 1386 9 359 35 54 699 81 571 126 1762 61 127 835 280 380:>- 5 Ti< re --?61 751 3 f<:affa (-GE) 1135 739 4097 238 _, 3 1321 21 575 · 1 ·4 1 1 24 526 853 1193- 2874 I 354 593 661 1768 1 Be"'c1ndcr 57 4 4 \'v'ollo 8 8 3 699 123 - 2917 256 503 71 -1505 7 14 74 ----- -· 36 544 Arussi639 198 2710 10 178 264 46 878 4j 142 • Bale 17 249 -- 377 34 148467 125 14 -52 8 37Go1nt1-Gofa. 52 388 --402 48 1913 179 24-1 23 815 r-123 r Illuba.bor-26 293 579 72 1678 87 278 22 577 2 62 Geleb 1-'1.wr. 5 40 58 12 290 15 34 7 115 1I - l 875 1394:7 15179 7189 64-509 65 4562 814.614126 25551 8814994 I-Iarrar

I

I

1

il

I

j

507 280 10 I 337 1 200 254 98 921 3 9 105 l I 0 60 182 209 75 151 1 2 19 6 131 31 7 50 76 13 69 21 61 3 2541' I 205

4851 I

4457.. 2285 2032 1782 398 1209 696 1211 322 418 667 282 541 282 82 l 665�

1. T�e. following cl_1:1rt is adapted fro1n fin·ures obtai rhe . f ent ned b " )'clie Police and recorded .1n the Advocate Ge neral's Departm � a M1nJstry of Justice 1954 E c is th e lb . ast )'.e ar fo r w hicb statistics are available. On the original charc convicrions for rruscell;� ncous offens es a cc �untcd f�r �ore ti1an tlllrty potenri f o p er cent ,f all offe . s . n · oses 1cano . como1 1ttcd . T1lere are several Jnd " inaccuracy: on I y one J ntencional homicide . \•tn e . co vJc . on is res , o f ed figu b�ore r o :ir _ Addis Ababa during the yea r 1954 E. C.; ep rc for _"burglary" which is not a crime set ou t � l1 in t lC pena Code; Jostaoccs of neglinent ini'urics are ieporred by the Fohcc a trial has determined t11c e·xistence of neg1· b 1gcnce, etc . 2. Cate?cor._1 es for "investigations starte ?4 616) d" (total 104 8 44 } u·uve5 rigat1on l o • (t , p . " s not con1 leted" ( total 5 719) "files closed ta - ' and trials not completed" (total, 22 '30 ' ' . ' , .' ' 3)' a1tI 1oug h on . . tl:e or1g.1n al chart, I1ave not been .inc . n luded. :nsl 3. us categor , on th e origina• l stau·st'1cal ,.,, a ag s . c h ar t n . i c uc I I e ed · ob 7 ff b . . b · cry, ur�I ary, tl1ef t of anin1als and simple theft . 0 nse · P ossessio n . immovable property (Arts. 649-652 p.C E) . were no t listed. 4 . The totals show all crimes co. . -' . . ted . mm 1t '·cJ, WJJI J O E. u11op J. n and t n . ch rcfhre,. .11;1 I ude the �ollowiog statistics from t.h e orig inal are not cor ded on the aboye chn r: an co ' a. e il: r fi r r emp ed hon1ic ' omJ cl de bY negligenc . n ce, seru. ng another �: rsons property, "crim neglige , . bodily harn1 by e es touching th e spirit" an! misc 1 e aneous offe nses. 1

°

CRl1v1E C.AUSA'f ION

359

INTRODUCTORY REVIE\V OF TJ-IE SEARCI-I FOR C1-\USES5 l'<7alter Reckless Scl1olars I,ave soL1gl1t to ex1)lai11 crime for 1na11y Jrears. Prior to tl,e eigl1t­ ee11th ce11tury, tl1e ex1Jla11atio11s te 1 1decl to be de1no11oloo·ical (JJossessio11 by a11 evil s1)irit) or 11atL1ralistic (a11 affected brai11). DL1ri11g ti,; eigl1tee11tl1 ce11tL1ry, tl1e so-call�cl Classical Scl1ool of Cri1ni11olo�·y en1ergecl. Its r11ai11 ex1Jone11ts \vere Beccaria (I tctly, 1735-95) a11d Be11 tl1a111 (Er1gland, 17L!S-1832). Tl1e Classical Scl1ool was really _ based 011 ratio11alisn11 accorcling to \vl1icl1 111a11 contracts i11tellectL1ally to _e11ter 111to certai11 relatio11sl1i1Js \vith l1is fello\XIS (tl,e co11tract tl1eory of sc.)c1ety). J-Ie \Vas JJresL1111ecl t o !1ave tl1e JJO\v;er to cl1oose rigl1t fro111 \vrong. TI1e J)least1re-1Jai11 tl,eory of 111ar1's actious (l1eclo11is1n) \Vas also i11corJJorated ir1to tl1e tl1eories of _tl1e Classical Scl1ool of Cri1ni11ology. 1\t1a11's bel1avior \Vas SLIJJfJosed to be gt11cled b}' \x1 !1at broL1ght l1in1 JJleasLtre, a11cl lie \Vas sLtJJ[JOsecl to t�1rr1 a\vay. fro111 tl1e tl1i1 1g·s \Vl1icl·1 JroL1gl1t !1i111 JJai1 1 ar1cl JJe 1 1alties. 0 1 1e reacl1ly recog·111zes tl1at 111oder11 cri111i11al lclw is basecl 011 tl1e prest11111Jtio11 tl1at mar, l1as tile JJO\ver to cl1oose rig·J1t fr0111 \xrro11g (t111less l1e is i1 1sa11e at tl·1e ti rne of the corn 111issi 011 of tl1e deecl). As tl1e vario tis scie11ces bega11 to g10\xr1 JJarticL1larly biolog)', anth ror)ology, socioIogy, [JSye l1i atr)', jJS)1 cl10Iog·)', statistics, tl1e exJ)Ia11atio11s soo11 shifteel fro111 ratio11alis1n to caL1ses \x1l1icl1 exist i11 tl1e l1ereditary, co11stitL1tional, a11cl psyc!Jo­ logical 1nal<eL1p of ir1clividt1als as \Veil as tl1e cat1ses \vl1icl1 exist i11 tl1e plJ}'Sical a11d social e11viro 1 1 rne11t of 111a11. At one JJoi11t i11 tl1e earl)' 11i11etee11t!- ce11tL1ry·, geogra1)l1ers beca111e i1111Jress­ ed witl1 tl1e variatio 1 1 of crin1e accordi11g to clin1atic co11ditio11s. SL1cl1 a tl 1 eory became l<110\v11 as tl1e ''tl1ern1al tl1eory1 1 accorcling· to \vl1icl1 cri111es agai11st the perso1 1 \vere co11sidered to be i11clL1cecl by l1otter cli111ates a11cl cri111es agai11st fJfOfJert)', b)' colder cli111ates. Begi1111ir1g aboLtt 1830, \vl1e11 statistical reporti11g 011 st1cl1 tl1i11gs as cri111e beca111e a JJart of gover11111e11tal fL1 1 1ctio111 several statis­ ticia11s becan, e i 111 IJressed \Xriti, tl1e variatio11 i11 cri111 e rates by variOtts secli 011 s or provi11ces of Et1ro1)ea11 cou11tries a11d callecl atte11tio11 to tl,e variatio1 1s i11 socioeco11on1ic co11clitio11s \Vl1icl1 see1ned to caL1se !1igl1 or low cri111e rates. To\vard tl1e e11d of tl1e 11i 1 1etee11tl1 ce11tL1 �y, statistically orie11ted researcl1ers re­ latecl tl1e yearly flL1ctuatio11s i 1 1 t�1e vo!Ltr_,e of crirne \vitl1 t_l,e early flL1ctt1at�o11s i11 the price of grain - \vl1en gra111 was l11gl1, tl1ere \Vas a l11gl1 volL1111e of cr1111e; whe11 lo\v, a low crin1e volL1me. Tlie most sensatio11al tl1eory of tl1e late ninetee1 1tl1 ce11tury wl1icl1 broke tl1e bacl< of ratio1 1alistic theory, \x,as tl1e 011e IJrOJJOt11 1ded by Lo111broso (Italy, c. 1876). It sl1ot1ld be re111e111bered tl1at. Dar\vi11ism (�l1e?ry of evolt1tio!1) _\:'as jLtst co111i11g of age a11d tl1at a11tl1ro1Jolog1sts were beg111n1 _ 11g to _stt1dy J)r11111t1ve JJeoples and atten1pti11g to \VOrl< OLtt a scl1e1ne of social e�olut1or1: �ombroso, reflecti11a tl1ese frarnes of refere11ce, 1Jro1Jos1 ed that tl1e ser1ot1s cr11111nal, es1Je­ 1ninal J-�e co11te11�ed_ tl1�t tl1e 1Jl1ysical cri 11 cially tl1� mttrderer, was a ''bor _ and mental cl1aracteristics (? t1g111ata or 1110111al!�s) \V�re ,/11d1cat1� e ?f �, tl1ro\:"­ back to primitive ma11 (atavism). Later l1e 1�1od1f1ed l11s bor11 c1111:111al tl1eo1y r. v1o y l1a A11d he ?11 log be tl1o 1Ja 111 Jra d an y ps ile ep of s ect to allow for tlie eff ls; re ly 111e s 11a on \Ve m1 r11 cr1 b re we ls na n1i cri ? all t 11o t ? tha ll sti later re cogiiized _ . e11t 11g 111n alo 110 a bad of e11v es 1 ssu pre tl1e d ere 1s1d co1 rk wo 1 t 1ni cri 1aloids. I lis las with l1ereditary criminality. '

'.

5.

Reckless, The Crime Probleni 233-238 (3d ed., 1 S61).

N IT IO IL T B A A H �E f O L A E ID E TH

360

e Scho_ol _ of Crimi11al Sociology, wl1erea s . tt i11 recl e 11 . 15 1 f et ri (l�a�,, c. 1884) l \X, gy olo op tl1r A11 1i 1al 1n1 11 (wl Cr of cl1 l 1oo Scl t tl1e o it d e r e l 15 � a so r� tn Lo � a l Bi?logy in E11 ro Je) i11 i1n l of Cr 1oo Scl tl1e s a \Vll l<tlO : lle J . cat ge11�1 at�01 1s lat: 1 1se s 111 tl1e social e11• ca1 the to o11 atte11ti calling by e cas � 11 is es t 110 did rr f� i _ i e 11viro11ment al 1 ysic JJl· ; i11 e exist tl1e d i e 1 s ca1 at tl d as 11sist e 1 0 1 5 a · e 1 1 . · v1ro11111e11t · tl _ 1 I 11s ! 1. f n� a1 k se 1p m o e1 � e, Ferri n1 I 11 01 t1 tu t1 11s co 1d a1 ry ta di re well as tile lie . alt11011gli 1,e too broke as dtd Lo1nbroso, w 1tl1 ra t1011al1sn1.Tlie · · \Vas a11 ec e1ct1c, · Y t 1 s o f 1 10 Off 1 m te f r1 l o 11 0 s I c · · c 10 c 1l a 1c ll ss e la d C 1e tl 1d ai 111 lis tla tio ra 1 b.e 1 < 1·ti ,, tn 1 l1t e tl· ug so e e 1· s red 1 1 se he ca \v t 1at r e ita t ca di i11 . v,11 1-cl l 1·s 111ea11t to . . � JI PtOSI�t1v : 1s1n, \\, " 111 h1s e 11v1ro11me11 t, a11d that 11 as e w 1s 11 n1a of · u1J lce a 1n l 1ta JJl1 )'stca I' a1 1d 111e1 · · · · \v s 1 · t ( s e 1 po 1a r 1 01 t e ra f h t 11 to o c • I w1 ee se fr 1oo 11s 10 1b d1 e tl1 s 1ct e1 c iis tra i y or tl,e e tl betwee11 rigl 1t a11d wro11g). ferri's emp11asis 011 Cri111i11al Sociolog)'· l1as bee11 c_ar1·ied f?rwa �d to tl1e 1 n e r 1ca11 soc1olog1sts _s�art­ A_ The s. la� scl1o an ope Eur by ly cial e esJJ . .. JJreseiit, atte11t1011 to tl1e bad co11d1t1011s ed fro111 tl1is JJoi11t of vie w, 11a111ely b� _call111&" a11d JJressures i11 tl1e social e11viro11 1nert, bu! f1 11�ll)' beg�n �o get a closer focus 011 tl1eir target. first, tl1ey foc11se� on s?c1al d 1s?r�a111zat1on._ ..Later_ tl1� foc_Lt_s was 11arro\ved to s11cl1 ca11ses as d1ffe re11t1al assoc1at10 11 a11d d 1frere11t1al 1de11t1f1catio11 delinq11e11t s11bc11lture, lacl< of co11trols, botl1 i1111er (self) a11d outer (social), f ailure to de velop a11 i!1s11lati1�� self-co11ce1Jt.S?me A 1nerica!1. sociologists felt it \Vas necessary to e xJJla111 SJJecrlic orde1·s of crime or spe c1f1c or l10 1no­ geneous o-rottJJS of offenders, tl1i11l<irg tl1at tl1e formt1latio11 or a11 ade q11ate ge11eral tl1�ory to acco11nt fo1· all forn1s of crime is \X:ell-11igl1 imJJossible.... •

•

•

•

011e sl1ould note tl1at Cl1arle s Oo�ing (E11gla11d, c. 1910) de 1nonstrated b)' 1neast1rement a11d statistics tl1at the cr111ial a11d skeletal characteristics of bor11 crimi11als as observed by Lo111broso 1lid 11ot a1JJJly to 3000 E11glisl1 co11victs. I -le did fi11d s01ne 1·elatio11sl1iJJ bet\xrte11 1Jl1ysiq11e and t)11Je of cri 111e, JJretty 11111cl1 011 tl1e basis of a certai11 type ), f JJl1ysiqu e being 11aturally selected for certai11 kinds of activities. In additio1·, Oori11g fot11 1d tha t 11w eal<-n1inded11ess'' was JJrobably tl1e 1nost i1nporta11t fa ct)r i11 cri111i11ality. His findi11gs also poi,1t­ e � to tl1e fact that social co11ditio11s Ind v ery little to do with crimi11ality.Tl1is piece of ':'70rl<, altl1011gl1 great exceptio11 ca 11 be take11 \vith it i11 regard to tl1e 1ll-det�rm�11ed n1east1re of 11 we alc-n1i11clecl11ess'' a11d tl1e J)Oorly SJJecified 1neas1 1res of social 111fluence, goe s dow11 i11 l1ist)ry as a 111ode l of re sea1·cl1 i11 cri111i11ology.

. .. Ma11y st11dies, falli11g� \vitl1i1 1 tl1e Scl1ool of Crimi11al Biology, l1ave a_t­ . nfJted to JJro tet ve tl1e l1ere d1tar)' clet ern1i11atio1 1 of cri111i 1 1al bel1avior. Tl11s atte111pt _l1a? 11ot �ee11 give11 1 11L1cl1 cre:lit i 11 tl1e U11ite d Stat es altl1ougl1 Euro­ fJea11 cr11}1111olog1sts, fJsycl1iatrists, bi)loo-ists a11cl ps)rc believe sti lio ll lo o· i sts stro,,g·Iy 111 tl1e hereclitary deter 111i11atio11 �f the s e ri ou s, r e [Je titive criminals.

Et . trOJJe_ �n medical !11e 11, IJS)rcl1ia:rists, a11d JJl1ysical a11thropologists sub­ s ribe 11ea itily to tl,e 11 1 11 of_ tl 1e ' 1retl cr 1 in 1 i11 al ', \X1l10 is l1i gl 1ly rep etiti� e and fo'-:'s early _ � � � 1 el �tJse afte 1 be111g 1·elcased from {Jrison T � � ec1fy tl1e e y l1ave tr ied to . h JJll)'S_tcal a11cl n1e11tal const tl1tion o f tl 1 as · l \v ei 1e as cr rr ea im ' 1 l inal' · · of t l1e n1ore ser1011s a11d I ess. se · _ r iot is O ffe11de!·s. Tl1e cri111i11al const1t11t 1011, a�s a fiction o.f ti ,e S c11001 o_f Cr1 n11 ro 11a l B; ol og )' 1 1 o 11 . E1 11· J ne 0 oe is L i·e al a ly 11b sian co11st 11 1ct. Tl1e d1fftcl1lty is , 1 . . 11 l a e r ti a1 tlie cr11111nal co11stit11ti?11 or the � . . cri1ni11al'' is tnticl1 tnore of . l1ar d 1� a cl 1111':!:l const1·1 1ct tl1a11 a realtt)'· It 1s SfJecify it by researcl, eas11r e1n 11t r l1 tl1eo e e }, e 1·t� tl1e_ x1� wl10 � : � act ,ls if tl1e co in1 Jone11� of s11 bscribe to a e} cr 111 t]i 111 1cl cl1 co ns t1t ut (\v 1 l11 on ar e ide r1tifiable really are not).

-

P-

'I '

361

CRI!v\E CAUSATION

!lie �tro11g fatalistic belief i1 1 tl,e ''real cri111i11al'', tl1e crimi11al co1 1stitt1tio1 1, tl1� 1�l1er1ta11ce of weal<:11esses for mal<i11 g acljt1st1 11ents i11 life, a1 1d tl1e deter­ n1111at1 �n of pl1ysical gr?\V�l1 a11 cl tl,e f)erso11ality by dt1ctless gla11ds...a1 1d the sl,rft from Lo1nbros1a111 s1n a11d tl1e Scl1ool of Crin1 i11 al A11tl1ro1Jology to neo -Lob111rosi,t1 1ism a11d the Scl1ool of Cri111i11 al Biology e1 11erged i1 1 tl1e 1920's. All tl1�se fictio11s still a(J(JI)' i11 Et1ro1Je toclay, frotn Swede11 to Italy, i1 1 a most fJer \ras1ve \x,ay (altl1ot1gl1 fJrobabl)' 11ot ir1 Soviet Russia, \x,l1ere otl1er fictio11s r:>re vail) .. I-Io\x,ever, tl1ere are 1 1otable exceptio11s to biological fatalis111 a111011g tl1e 111ed1cal doctors, tl1e (Jsycl1iatrists, a11d (Jsycl1ologists of Wester11 Et1rope. Tl,e belief is not very stro11g· i11 E11gla11d, a11d otl1er i111 1Jorta1 1t islands of (11 011co11 stitt1tio11al) ()Sycl1oge11ic tl1eory ca1 1 be fou11d i11 De1 1111 arl<, i11 Vie1111 a, i11clt1cli11g tl1e follo\X!ers of frettd a11cl Alfrecl Acller, a11d i11 Zt1 ricl1, i11clL1di11g · tl1e disci1Jles of Pestalozzi a11d Carl Jt111g.

,

co111pared tl1 e a11tl1ro1Jothe fJl1ysical a11 tl1ro1Jologist at I Iarvard, I Iooton, 111etric 111east1res (skeletal a11d cra11ial) of America11 fJriso11ers \vitl1 civilia1 1 \xrorl<ers and was led to co11clt1cle tl1at tl1 e \X1]1ite cri111i11als (11ot tl1 e Negro) sl1 0\xred defi11ite sig1 1s of biological i11feriorit:>', \xrl1icl1 \Vas prest1 111ecl to be i11!1eritecl. he lea/JS fro111 statistical differences bet\vee11 co11victs a1 1d civilia11 rnales 1 Io\v to biological ir1feriority is 11ot scie1 1tifically clear. follo\X/i11g i11 l1is footste1Js, Sl1eldo11 i1 1ve11ted a metl1od to SJJecify so1natoty1Jes a11d co1 1te11decl tl1at 111e11tal a11d ten1 pera111ental co11ditio11s as well as deli11 qL1e11cy a11d crit11 e are relatecl to certain g·rouJJir1g·s of so111atot)'IJes, JJartict1larly tl1e 111 eso111or1Jl1ic. Tl1e deter­ mi11atio11 of s01 11atotype is fJrobably 1 11t1cl1 111ore accurate tha11 tl1at of other n1e11tal a1 1d te1111Jera1 11e11tal co11ditio11s. Tl1e OILtecks deterr11i1 1ed tl1at delir1qt1e11ts \Vere l1eavily co11centrated i11 tl1e l1eavy ineso111or1J11ic ra11ge of so1T1atot)'JJes a11d also 1nade certai11 SJJecific co11clt1 sio11s i11 refere11ce to tl1e deli11qt1e11cy many sociologists a11d psJ,_ pote11tialities of tl1e otl1er so111atoty1Jes. J Jo\vever, cl1iatrists as \veil as fJsycl1ologists si1111Jly clo 11ot SLtbscribe to tl 1e Oltiecl<s fi11dings a11d are \vaiti11 g for stticlies \X1l1icl1 \xrill dis1Jrove tl1eir co11 te11tio11s. Tl1e years dttring \vl1icl1 I-Jooto11, Sl1eldo11 a11 d Oltteclc \Vere most active are roL1gl1ly from 1936 u1 1til 1957 (1Jttblicatio11 dates). Tl1ese scie11tists 111al<e tl1e An1erican bicl for tl1e irnporta11 ce of tl1e co1 1stitutio1 1al com1Jo11e11t i11 deli11qL1e11cy a11d cri1ne and may be co11trasted \xritl1 tl1e Et1 ropear1 Scl100I of Crin1i 1 1al Biolog)', \;l,icl1 e1111Jl1asizes l1eredity \Veal<nes_ses a11d _co11stitL1tio1}al \veal<1�e_sses i11 describing tl1e real cri111 i11 al. Tl1e An1er1ca11s arrtvecl at tl1e1�· JJro1Jos1t1011s by fJai11stal<ir1g measureme11ts a11d resea�cl1; the Euro1Jea11s, �y cl1 n1cal l 1t11 1cl1es frorn a restricted nt1111ber of cases. Ne1tl1er grouJJ l1as a final a11s\ver. Eacl1 is probabl)' very \vide of tl1e target. Tl1ere is a scl1ool of tl1i1 1l<i110· i1 1 tl1e field of 111e11tal ill11ess as \veil as i11 crimi11 ology wl1icl1 mig·l1t be c� ll;d tl_1e �sychoge11ic Scl1?ol. Tl1e PS)1chiatrists, ps),cl1oa11alysts, ai1d fJS)'Cl1olog1sts. ot tl1_1 s _scl1ool cor1ce1ve ?f cl�aract�r a11cl perso1,ality as a ft1 11 ctio11 of ex1Jer1e11ces 111 1 11 �er1Jerso11al relctt1011sl111Js �1tl1 tl1e n1other, fatlier, ai,d siblir1gs d� 1rir1g· early cl11 lcll1oocl ar�cl n?t deter1�1111ec l ?Y . _ l·1eredity ancl pl1ysical co11 stitt1t1011 . Tl1e ter111 pSJ cl1oger1ic 1 1111Jl1es tl1at tl1e traits and patterns of JJersonalitJ', includir1g eg? a11 d Sttper_ego, �re a 1J_r_odt1 ct_ of ex1Jerie11ce _ after one is borr1 . Me11tal 1 ll11 esses _\X1l11cl1 a1 e . a�qt111_ ed f1 om stresses and strains of living are also callecl ft1 11ct1 onal,_ to cl1 st11 1gt1 _1sl1 tl1e1n from rnental illriesses dtte to brai11 i1111Jairme11ts _rest1lt111g from_ disease. or damage. Functional aricl psychoger1ic are terms \v_l1� cl1 a�e .clo�e 111 mea11_111g. Psycl1ogetiic tisually refers to develo1J111e11tal co11drt1011s \vl11cl1 1 eacl1 bacl< 11 1 to early cl1ildhood. 1

N IT IO T IL B A A ii E R F O I� A E ID Tl-IE

362

a nd serious crit ive tit JJe re , 1ed er1 nc co s ii­ . ii1 tr 1 S) J .. . As. far as '�t�� (o personalit) disorders of JJsycl:oge!1ic origi�, \x,J1icl1 ' JJsycl1oses but wl11ch 111cl t1de_ d1stu 1 11_al1ty !�. ofte11 Jrel a1 rb 111c y o� ie fic de l 1ta 1 e 111 1 _ 1o a 1e def1 11tely perso nal i ty, passiv e � ble a _ unst al ly emoti o11 lity, , a Jersor J ce_s _sttc;_ , as 111a eqt1atesex a1·e. a mo�e careful rs de sor i d ese Tl1 1. tiJ1 a vi de ual ' it 11al o JJer ) st agg a ll d1ag 11ost1c basl<et tch a c tl1e i11 ed L1d ind be i ' to i ;. �� sed t -�� 1 x,l at t o � w ev a ng pr i�i 1e l c t d, e 1e vi o1 1ti e1 m n ee J . i ;}�eS) ,1 �c; J�\�ic JJ ;rsoilality." As l1as · 1 c are JJsycl1oge 11_1c. Ho\veve r, rs de so d1 ty l � a 11 rso JJe at th f\ 111et.t· ca_ �, I JS cliiatry is rcl10JJatl11c JJerso11ality ) ps t a tl1 ew i v tl1e of rs lde lio · al tlJJ c vo Y y i ve e m so te a e er · 1 1 t _ · } · ) · th e 1n b c 11 e1 r ai 1og t a p n r . o . a ry 1t · ed . �r . 1 (l ys '(fa l\ a tl JJ · d ge a n t cl a f o is tlle restilt a ke good adjust 1n t 11o do s r e_ rd so di y lit 1a o1 rs fJe n ot fr Persoi,s sttfferi11g 1 1: So m _ e become very aggres­ 1 a nt co to rd a l1 e ar y l 1e T . ns tio 11,e,,ts to life sittta tc�. perso11s l1ave St 1. ttl _ e \V liv to rd l1a ry vE 11d a e, 1�g a1 sive, very diffict1lt to 111 _ ve 1t1 t e et 1n :JJ co �d be fet of em tl1 of �rs. y a� 111 r1d a al, 1 1 1t te JJo e i1n cr 1 gl lii a fairl y . s e_ r 1e1 o::> ur �l a11x 1et1�s, 11e o _ ch Jsy n1 fro g. ·1n 1 ffe sL1 ns rso tJe to st a 11tr co Tliey are itl a 111s1ns �rd111a r1ly �o 11ot 111cl1 me ?n rs1 1ve 1 co d 1 a 1 _ e tiv cia so dis s, oi1 cti rea J)l,obic 1c 1necl1 a11 1sm takes t t1ro 11e tl1e n he W . 1 1cy e 1 qt1 l11 de 11d a tne cri in 1 volve tl1e n tic y Ltro ma al ne the ste 11 , the on cti a or re e lsiv pt1 n co1 e siv ses ob 11 a of 11 1 for tl,e 1 . set fires Ust1 ally tl1e expectatio11 is t 1at _the net1rotic is so \1Vell contained tl1at 1,e sttffers a11d ago11izes a11d feels r.orr1bly u11co1nfortable. But he does not ordi11arily act ot1t l1is 11et1rosis i11 crine. Tl1e JJsycl1ologists a11d fJsycl1iatrists wl10 l1a ve followed i11 tl1e footsteps of freud - 111ore particttl arl)' fret1d s disciple, Aicl1110 rn - call atte11tio11 to faulty develo1J111e11t of tl1e ego a11d superego, \xrl1icl1 rnal<es it difficult for tl1e is a JJroduct of 1Jerso 11 to contai11 l1is in1JJt1lses. E�o a11d sttJJerego f ailure fattlty 111Jbringi11g, i11 tl1e very early years of cl1ilcll1ood. Deli11qt1e11c)' results fro111 tl1e inability of tl1e ego a1 1d SllJJerego to co1 1trol in11Julsive11ess. Of all tl1e neo-fre11dia11 for1nt1latio11s basecl 011 tl1e f ail ttre of tl1e bel1a vior control system to l1a 11dle tl1e id (tl1e i11sti11ct�, i111JJt1lses, drives), tl1e one b)' Redl is JJerhaps the best tl1011gl1t 011t a11d },as tl1e best JJossibil ity for treat1ne11t aJJ­ JJl icatio11. Bt1t Aicl1l1or11, J.\lexa11der, friedla11der, to 111e11tio11 a fe\v of tl1e 11eo­ freuclia11s, are also gia11ts i11 tl1e field. Tl·1e sociolog·ist \vo1 1 ders wl1etl1er tl·1e neo-freuclia11s li l<e Aicl1l1or11 or Redl 1 1 a�e a n1ore realist_ ic for111t1 latio1 1 tl1a1 do tl1e g·e11eral run of An1erica11 JJS)rchi­ atr1sts \x,] 1 0 st1?s�r1be _to tl1e co11ce1)t of JJerso11al ity distL1rba11ces. Botl1 grot1ps are JJSy'cl1oge11 1c 1 11 JJ011 1t of refere1 1cE. Botl1 see ,:l clislurba 1 1ce at \VOrl<. Both �re a1Jt .to co11te11cl tl1at a large JJa1t of tl1e j t1ve11ile a11d adtiit offet1ders fit 11 1t?_ tl�e_1 r c 11str_\1�ts. Wl:ereas tl1e so::io!o�ist is a1Jt to say l iat 0 11ly a sn�a ll t � JJa1 t of tl1 e 1e1J�t1t1v� clel1r1qL1e11 ts a11d cr 1 rr11 11als fit tl1e 11eo-frettdiar1 for111t1lat1on or_ tl1.e _JJ� 1�so11al_1ty _cl1sor�er tl1eor)'. At ,1111, rate,_ tl1e Psycl,ogei ,ic Scl,ool, if \v;e re JJ�1111_1tted ..t_o _ l,tbel . 1t as SLtcl-1, E111erged \'<'ltl1 gro\ving fttrictioi ,alism. a11d �- ret1 d 1a111s111 afte1 W01 l cl W ar I a11d l1as bee11 growii 1g ii, st atttre ever s111ce. _ . Co�seqttei,�ly, tl1 ere a re r�ally tl1ree scl1ools wl1icl1 ar e ct11·re11tly battliiig for SLll_ Jt e_inacy 1 r1 tl1e ex1Jla11a.t1011 of cri111i11al a11d deli1 e 1q 11t behavior ; tl, L1e Co11st1tt1t 1011al Scl1ool, tl1e Ps),cl1oge1 1ic Scl l oo · 1 l · · ,oo . l S . a , 11 1 c d t l 1e og· S 1 ca oc10 1 . . · (in. ostly _ A_. inet 1c� 11) · 1 11 ti 1e U. 111. te� St::tes, 1t 1s }Jrobab]y true tl1at the JJri1 1cqJa1 strt1g �le !s bet, x,ee11 tl1� Soc.1olog1cal Scl1ool a11d The 00 I. t l1 Ps e Sc yc l1 l1o ae ni c ° c 0 11 st1ttl t1or1al Scl1001 1s 11ot relativelv n o C J . er f l 1e ·t1 I · 1 11 EttrOJJe, l10\X1ever, t1 . ?\'(/ stitL1tio11al Scli ool (C_ 1.· 1n1·1:1a1 81.o1ogy).ts t n !11e asce11da11cy a11d the Psycl1ogen1c Scl1ool a11d tl1e Soc10\ og_1ca1 Sc l1001 ::01n oo r JJ e ' 11 1 a ve r) JJ0 01 se co11d a11d a tl1 ird.

.

•

•

•

•

An1erica

CRIN\E CAUSATION

363

PREVENTION Of TYPES OF CRilv\ltJALI�rv RESULTINO FROM SOCIAL CI-IANOES AND ACCOJ\I\PANYINO ECONOMIC DEVELOPMEI'JT IN LESS DEVELOPED COUNTRIES6 Secretariat, Depcirt1ner1t of S<:cial arzd Eco1zo111ic Ajfciirs, U,1ited .JVatio11s •

•

•

•

TiJe Concept of �ociaL Disorgtz11ization· It is ger1eral!)' recog11ized tr1at 1Jro111_ 1ne1 1t amo1 1g tl1e social cl1 aracteristics ide11tified witl1 a tra11sitio1 1 to a 111oder1 1 ty)Je of �co1101ny ac_com1Ja1 1ied b)' socia cl1a11ge are to be foltnd tl1e JJl1e11on1e11 a o� cr1111e a11d del11 1qt1e11cy. Cri111e a1 1d cleli11qt1e1 1cy are, of cot1 rse, 11ot 1Ject1 liar to this _1Jrocess; tl,e)' l1ave existecl tl1 rot1g 1 ot1t recorclecl l1 istor)'· Nor cai1 all cri1ne an� clel1 �19t1e11cy occurring·_ \X1itl 1i11 a setti11g of ra1)id social a11d eco1 10 111ic cl1ange _ be ident1f1e_d as res�1lti1 1g directly or indirtctly fro111 tl1is fJrocess. It is clear, hO\V­ ever, not\v1tl1sta1 1dir1 g tl1 e i11adeqt1acy of cri111inal statistics and tl1e cleartl1 of coinfJeter�t resea rcl1, t_ l1a t 111 os t cot111 tries st1bj ected today to gross cl1a1 1ge ac­ com1Ja11y11 1g econon1 1c de\1 elo1J111e11 t are co11sciot1s of \Xlide-SJJreacl fJroble111s of crime a1 1d deli11qt1e11 cy as JJri111ar)' or seco11clary conseqt1e11ces of tl1is ra[Jid cl1a11ge. !Vla11y cot1ntries are partictilar] y disttirbecl at tl1e i11vol\re111e11t of yotitl1 ir1 aggressive a nti-social bel1aviot1 r. It is generally assL11 11ed, 111oreover, tl1at it is i11evitable tl1at tl1e social cl1ange \Vl1icl1 acco1111Ja11 ies eco110111ic develo1J 1 11e11 t \Vill l1ave as a co11co1 11itar1t a 1narl<ed i11crease i11 cri111e alo,g \X1itl1 tl1e e111erge11ce of ty1Jes of cri1 ni11ality 11ot sig11ifica1 1tly obser\1ablE i11 tl1e JJast. Tl1is asst11111)tio11 is seldom cl1allenged, prin1arily becat1 se c�i111e l1as al\vays bee1 1 a cl1ar,lcteristic of society i11 tra11sitio11. l11 its si111pltst for111 tl1e co11tentio11 is tl1 at tl1 ere mt1st be social breal<do\v1 1 before 1 1e\X1 S•)cial codes a11cl social i1 1stittitions car1 be created, and tl1at tl1is lag breeds cri11e. It re111ai11s to be deter1 11i1 1ecl, 110\v­ ever, \vl·1etl1er the i11evitable, a11d gererally \X1elco1ne, social cl1a11ge 1 11l1st fJroceed i11 a n1a11 1 1er so l1apl1azard as to JJrodtice clisastrolts ga1Js ir1 social cor1trol. The tirge11t qL1estion is \vl1etl·1 er society ca11 develo1J tl1e tecl111iqt 1es and tal<e tl1e meast1 res 11ecessary to allo\X' for orderly social cl1a11 ge, \vl1ile n1ai11taini11g all tl1e elements reqt1irecl for assuri11g a stable society. To determi11 e the feasibility of sucl1 a 1JrOJJositio11, le: alo1 1e tl1e tecl111iqLies ancl 111easl1 res 1nttst be dir� ct�d required, a great deal_ more 1 1atio1 1al _ ar1 d i_11ter11atio1 1al effort _ to\vard a11 understar1d1ng of tl1e relatio1 1�l11p bet\vee11 social cl1a1 1ge a11d cr1 m1 11ality. _ Urbanization: It is sometimes assu 1ned tl1at _tl1e i1 1crease_ i1 1 cri1:7i1 1ality and deli11quency observed in Jess dev_ el?JJe 9 cot1 11tr1es u11dergo1 11g· rapid ec� 11om1c development results froi11 i11dt1str_ 1al1zat1_on a11d tl1e atte11cla11t conce11trat1011 of population. There is, l1owever, ] 1 ttl� ev1de11ce tl!at tl1ese pl�enon1ena, of tl1e �­ selves, are directly responsible for 1 11creased �rim� a11d �el11�qt1e11c�. Ratl1er,_ 1t _ on \X1h1cl! �rov1de is the social cl1anges an d tl1e co11sequ_e11t socta_l d1sorga11izat1 \vl11 cl1 are defined as cr1m111al or our avi beh of ms for for nd ou tl1e backor b delinque11t i11 tf1e ttrban setting. al , ces eci 11 pla i11g sp ba liv 11r of y xit J]e mf co the at tl1 r ve reo It is true mo ­ 1 ai1 or a11 to ii1t er ma ord i11 al dt1 ivi ird tl1e o11 t1p 1ts 1 e e� uir o req cti restri ns ai�d _ 1 ndersta1 1d. tl1e neces­ t to er ell 7 d\' y cit ew n the for sy ea t 11 is It rly de 0 society. _ sity of tI1em a11ct to develop tl1 e read111ess a11d com1Jete11ce to sub111it to tl1em. 6.

Second United Nations Congress on the Prevention of �rime and the Trcat ent o� Offendc�s, � U.N. Publ., A/CONF.17/4 (1960). See also, Ra)id Social CJ1ange ancl fuventle Delinquency 111 Africa supra at pp. 199-203 and generally, Chap. 9, Sect. C supra at pp. 187-205 .

364

THE IDEAL Of REI-IABILIT AT ION

.

tl1e of ence res1Jo 11eglig wilful eve11 or nsibil cte11tal ilies · · acci 111 . t I Lt res ), T l11s n1a . . t 1011 ecu pros · 1n st, arre a11d 1ates 1111 l cu . 11tly IJUtl ue tsh . o f· Ltr·ban 1 1\11. 11g, a,,ct freq 11 ct· ve g 111 t ee es or str 11c 1f 1ce a; d an gs 111 1 tl 1 cl su othe r of . re • . 111 e 11 t • Tl11s 1. s trL . . 1 estr1ct·ions o f t he use of cl11·1 d ]abo tir s, coce 1 at101 sai11t , l ,x,it 1 1 ce .. 1 t rades co1n1Jl·a, 1 a1 11s b h·b·t· d 1 10 1 o an · ur JJr requ1r to 111 or 11f co ' e1ne to nts s re ilu fa se ' 1 tl e 1a e t c. T1 t . . 1 mm 1as co o e as w h I tt on e d l ua . d. d tvt 111 tl1e a11 of 11 oftio ica f t1' 1 1cte · 1 e · • · tl1 1 .es Lt It ·111 � . . s, iou e t ser , h n mo e If eve 1ts 111 ev ow r11 11ce co er 1s 1ot ser ·is of r· tte nla , a s fe11ce 1 ' · · d 1v1 · d s I I ua 111 t · . 1e st d ain ye ms ag plo the res en asu e 111e elv s r t tlla' t t lie iJLttiitive · ti1 e rac t ·11 1 t· ·t i ac a f � eg 1� · · , t10 o d · y_ s1 1ca �n en t 1_ 1 � . at! 11 ti� ev en L�a et r1J IJe 1 a j 1 lt sti �} re tl ofte I al s a a_ du 1 1v1 d 1n11 tl1e 111_ cr1 of 11 a l a:10 c f1_ 11t1 1de ' and itl a \xray of life. Tl,e social g t111 set the rs �f �lie lock-up 111 de e11 off 11t st: ns1 c� of ty cie so 1 e tl to llis exiJosLire en t of a criminal career. pn1 elo dev tl1e b e c1v 1dL1 co1 1ly 1igl l are l gao the and Tliis sLiggests two seJJarate afJIJr01cl1es. �he. f�rst is �o prep�re people for tlie req11ire111e11ts of 11rba11 livi11g·, both tl1ose 111d1v1duals 1n tl1e village �110 a�e co11te1111Jlating migration to t1rba11 are�s a11d tl�ose wl1? have already arrived 1n tl1 e scl1e111es and prog·ram111es of local leader�htp, espec1a�ly rural �nd urban co1n1111111 ity develo1J111e11t progra1n111es, abct1t wl11cl1 more will be said later. Tl1e seco11d a1JfJroac11 wot1ld be n1ore radical. It \lro11ld call fo·r otl1er n1east1res of a 11on-1JL111itive c l 1aracter for gaini11g comJJliance \'(rith t1nfamiliar t1rba11 restrictio11s a11d req11iren1e11ts. Par t of tl1is aJJproach would be to devise 11 1easures \xrl 1ereby co1nplia11ce \vould be great ly facilitated. for example, tl1e l ice11sing of street trades might be 111c:1de sin1JJler and less costly, eve11 elimi11 ated i11 so111e i11sta11ces. The pollt1. tio1 of waters could be largely avoided by tl1 e 1Jrovisio11 of easie1· access to sa11i1ary facilit ies, etc. A11other p l 1ase of this approacl1 \VOttl d be to l1andle tl 1e trarsgressor \vitl1 greater flexibility a11d Ieni­ e11cy1 st1bstitL1ti11g admi11istrative corrective 1neasures for JJunis l11ne11t. A11alyses of so111e crimi11 al sta tistical data for e:rtai11 Asia11 and African communities re­ \real tl1 at ofte11 the bull{ of criminal prosecutio11s ir1volve 11011co1npliance \Xlitl1 reg11latio11s w11icl1 are pec11lia 1· to t1rta11 Iiving a11d wl1 icl1, in tl1e majorit y of cases, are very l ittle t111derstood b)' fl1e JJOpt1lation recently arrived from the rLtral setti11gs. 111 tl1is con11 exio11, tl1e railL1re of the t1rban wacre earner to pa)' l1is taxes is a SJJecial case, since poor pla1111i11g·1 gross fi11a11cial limitatio11 and a lacl< ?f ��areness of t11e :espo11sibility ofte11 rest1lt i11 tl1e complete i11ability of tl 1e 111 d1v1d11al to 111eet 111s tax obl igation. . Rela_ted to tl1is as a �at1se ?f i11creased crirne and deli11qt1ency i11 urba11 . ll 1 tl1ere 111a), be 0111)' 011e recognized code sett111gs 1s tl1e fact_ t l1 at \v'l11Ie ?ff�c1a of law f?r t l1e entire coL111try, 1t 1s often a fact t l 1at tl1is I1ad 11ot been accepted a� _ a b�s1c aSJJect of t�1 e r11ral ct1ltL1re: .11 tl11.s respect, the rapid growtl1 of some c1t1es 111 Afr1ca11, �at111 A�1er.1ca11, M1cdle Eastern a11d Asia11 cottntries prese11ts JJrobl��ns a11cl c_o11fl1cts wl11�l1 r,�re_ l y ap Jear i11 t}1� �co110111ically hig11Iy developed co1111 t1 1es, wl1e1e tl1e patte111 of life as 1 far as cr1n1111al law is concer is very 11e ct 1nucl1 tl1e san1e tl1 ro11g l 1out tl1e cot111t·y . •

\X!l1 ile it ca11_not be exJJected t l 1at tl1ere cot1ld or sl,ould rat e se pa 't\X be ,o . legal codes a1J!Jl 1cable to 011e socie t, it is � i111perative tI1at 11atioiial fJOli cy _ � l10L�lcl tal<e 1nt? accou11t tl�e 1·eal soc1al a11d ct1lttiral situation a11ct s1,ottld 11� t J� d ge _all. bel 1av1o_t1r �y a s111gle set oi standat·ds. T liis 1i11 d w th ou e ld fo ca r ll v1clL _ 1al1zat1?1� . of Jtt�t!ce to a l 1igh degree. TI,e la\v would. llave to allow for � 1 e �t f l exibility, giving �o tl1e co 11rts \xride latitude i11 t l1 e administr ation of l \tst 1ce . 111 the ha11ds of 1nadeqL1ately trai1,ed or impr u­ d vi op iii er di ly m ot iv at ed -� s, st1cl1 fJO\ver coLtld be dangerousl)' abused. t un 1n o T l1u pa s ra it is of i1n1Jorta11ce tl1at there . sl 1ot1ld be dev1elo 1Jed a corps o f adn1ir1istrators and

I

P.....

. .

' ..

CRINlE CAJSA l'ION

365

1ner:11bers of tl1 e jttdiciary \Vl10 are l1 ighly trai11 ed i11 an t1 11dersta1 1di11g of the social a!1d cultt1ral dy1 1amics at \vork i11 cot1ntries t111clergoi11g rapid social a1 1d eco11 on11c• cl1ange, so tl1at tl1e,, J \VOttld l1ave tl1e i11 sicr bl1t I tocr betl·1er witl1 the po\verI to prescribe 111east1 res afJjJrorJriate to tI-1e special social a11d cultt1ral factors i 1 1volved. Acts of viole11ce as a 111a11i festatio1 1 of ve11 gea11ce by 011e grot1p upo11 a11otl1er, f: o� examrJle, 1,:iay l1 ave grossly cliffere11 t 111ea 1 1ings i11 t1rba11 a11 d i11 rural. societies; arid ,x,!11le they ca1111 ot be co1 1do11 ecl i11 either setti11 g, tl1eir mea11111g and tl1 e aJJjJroacl1 to tl·1ern 1 11ust be qttite different. It is sometin1es overlooked tl1 at, eve11 tl1 ot1gh tl1e offence occurrecl i 1 1 an urba11 setti11 g, tl1e standards of behaviot1r a1 1d tl1e cocle of l1 01 1ot1r serving as back:grot111 d for tl1e act \Vere _as_ truly rt1ral or tribal as if it had occttrred i11 tl1at ty1Je of setting. Indeed, 1t 1s l<nO\'X n tl1at i11 s0111e cotintries, tl1is partict1lar n1 atter !·1as bee11 recogr1ized to be of major imJJorta11 ce aud a solution is bei11g t1rge11 tly sot1gl1 t. T/Je Dem_ograpl,ic Imbalance i11. Mig ratiiJ11.: A factor \Vl1 icl1 is widely recog 1 1iz­ ed as c_ ontr1bt1t1ng to . crin1ir1ality ,xrh<:re ra1Jid social cl1 a11ge acco1111Ja11y1i11 g economic �ev�lopn1e11 t 1 11 less develo1Jec cot111tries is tal<i1 1g jJlace, is tl1e g·ross de1nograJJl11c 11 nbala11ce of tl1e t1rba1 1 JJopulation. Tl1 e 0cre1 1eral 1Jatter11 is tl1 at the !irst to arrive in tl1e city fro!n tl1e rural area are tl1e yot111g 1ne11 t111 accon11Jai1�ed by an1, r11 embers o-f tl 1 e1r fa111i]ies. Jfte1 1 tl1 eir stay i1 1 tl1e city l1acl beei1 111te11ded to be 011ly1 te1n1Jorary1 bttt ge11erally, after occasio11al brief rett1r11s to tl1e rt1ral se_ttir1g t1rba11 reside11 ce beco11 1es per111ar1e11t. Next co1ne tl1 e \VOmen, ge11erally wives !Jla1111 i 1 1g· to join tl1eir 111ates i1 1 tl1 e city. Tl1e11 co111 e the child­ ren of tl1ose L11 1io11 s. Tl1e elders arrive le.st, if at all. Tl1is 1Jatter11 1Jresents a 1 1umber of crin1 i1 1oge11ic sitt1atio11 s. TI1e yot111 g· rnen arrive \xritl1 ot1t ties, \vitl·1ot1t visible res1Jo1 1sibilities a11 d \vitl1 ot1 t tl1 e strt1ctt1re of social co11 trol to \vl1icl 1 tl1ey are accusto1 ned. I11 respo11se to a drive for co1npa11io11sl1 ip a11 cl sext1al satisfactio11, jJrostitt1tio11 flot1risl1es. Col1abitatio11 i11 tl1e city becornes a sttb­ stitt1te for the fatnily i11 tl1e villag·e a11cl ofte 1 1 tl,e origi11 al res1Jo11sibility to tl1e legal family is 11 ot rest1111ed. Wl1e1 1 tl1e w · ife arrives ir1 tl1 e city, sl1 e 111ay be rejected or forcecl i11to a11 i11ferior role from wl1 icl1 sl1 e seel<s i1 1 de1Je11dence. Whe11 tl1e chilclrer1 arrive, tl1e fa111ily situation is not co11ducive to [Jro1Jer care. The mother may be requirecl to \vorl<; 2t a11)' rate, sl1 e l1as 11ot available tl1 e ma1 1y n1embers of tl1e exte11cled fa111il}', esJJeciall)' tl1e elders, 011 \vl1om sl1 e l1,ld traditionally relied heavily for tl1e care, i11 strt1ctior1 a1 1d gt1ida11ce of tl1e chilcl­ ren. The children 1nt1 st largely fi11d tl1 eir O\VI1 resottrces a1 1d ofte11 tl1e resources thus available are tl1ose wl1icl1 are l1igl1ly co1 1dt1cive to deli1 1qt1ency. 1

1

How far any policy can be carried ottt for tl1e jJreve11�io1 1 of tl1is i11:bala1 1ce is a complex qttestion i11volvir1 g a great r1u1nber of s?ctal and, I?ar�1� t1 larly, economic factors. If it is fot1nd in11JossiblE to co1 1trol tl1e 1mbala1 1ce s1g11 1f1ca1 1tly, compe1 1satory programmes \vill be called for. On_e \VOtil_d b� a <::?11 certe_d effort to keep the you1 1g migrant male c.osely associated w1tl1 hz_s family. Tl1 1s could be done in part by devisi1 1g ttrban e1 11rJlo111�1e11t and _recrt11t111e11 t so tl1at tl1ere would 11ot be areat dista1 1ces betwee11 tl1e city of res1de11 ce a1 1d tl1e co1n­ mu11ity of origi11 . A,;other wot1ld be to fucilitate_ regular visits by tl1 e ttrba11 ite to his village. The ties witl1 tl1e villag� com111un! tr COttld be. stre11gtl1e11ed by activities of tribal associatio11s a11d societ:es. Pol1c1es of l1ot1s1ng, e111plo�}'1 ne11t, education and assista1 1ce i11 child care cculd be so orie11ted as to e11courage the early reu11ion in tl1e city of tl1e woman and her cl1ildre11 \yitl1 tl1e urba11_ \Vor­ ker. Rural developme11t programmes tnight inclttcle preparat101 1 of tl1e wife to play the required rol� of t1rba11 wife a11d urba11 motlier. Because' witl1 the breakdo\v11 of the extended family structt1re, tl1e elderly ..:. .

.

,_.

.

366

Al'ION l'liE IDEAL Of F. E JIABILIT

1 er e wot1ld b e con­ tl o11 n e te, t1p tl1e c sta bt _ ial 1 11c ti: fj1 � a11d ial are a JJoteiitial soc _ _ ear11e1 to e11courage a1 ge 1cl tl1e wa to_ ter n1a 1 ? g 1 v 1 1 g· _ for 1 io1 cat tifi e lbl jtts sider, e h�ld. There ,v ould t1s l1o rs 111 l11s eld an _ ttrb e tl1e � lt1d 111� to e dat 11i111 at a,1 early t e elder� wo ul� 111 tt1r11 make a tha th 1g 1 11_ t111 ass s, tl11 i11 e · 1tag 1 a adv al be tllttttt _ co11siderable co11tribt1tio11 to tl1e 111a111te1a11ce of family stab1l1 ty a 11d tl1e care of tl1e cl1 ildre11. •

•

•

•

T/Je Jvfairiteria1zce of t!Je Exterzded Fan:ilJ, Systeni or Alterr1.atives to it: P1·ever1tio1z of Disritptive Policies: �ractically all studies of_ social cl1,tng_e accom J)a�),i11g

ecor10111ic develo1)111e11t 1n less develo1)e d cot111tr1es J)lace_ � maJor �m1Jl1as1s 011 tl1e difficulties rest1lti11g fro1n tl1e breal(dow11 of tl1e trad1t1011al family strt1cture a11d tl1 e abse11ce of otl1er social i11stitutio11, to carr)' tl1e fu11ctio11 of e11t111ciati11g a11d a set of sta11dards of bel1aviot11·. It wottld seem to be a n1atter of e11 forci110· 0 11rg·e11c)r, tl1erefor e, tl1at first atte11tion sl1ot1ld be giv�n to devisin�- metl1?ds for eitl1er tl1e co11ti11t1ed existe11ce of tl1t e xte11cled family or tl1e raJJtd creat1or1 of social i11 stitt1tions to fill tl1e void. Pssociate d \xrith tl1is wot1Id be tl1e scru­ ti11)' of social a11d eco110111ic JJrogran1n1es a1 1d JJolicies to e11sure tl1ey do not, t111 will i 11gl)' a11d t11111ec essarily, co11t1·ib11te to tl1is disruptio11. I11d11strial a11 d extractive jJrojects (n1i11es, oil fields, etc) tl1at e11cot1rage tl1e migratio11 of 011ly tl1e able-bodied 1nale labottrer (a11d even re11der it itTIJJOssible for l1im to con­ ti11 t1e tl1e origi11 al fa111iI1, relatio11sl1i1J) 1re a case i11 fJOi11t. Housi11g deve101J11 1er1ts so desig11ed as to allow 011ly tl1e co11jt1gal fa1nily to resicle togetl1er are a11otl1 er i11sta11ce of ho\v tl1 e breal<dow11 of tl1e traditio 1 1al fan1ily u11it may be accel erated. It 111ay b e diffict1lt to reco11 cile des:rable social objectiv es wit11 eco11omic r1ecessities, but it is evid e11t tl1at some errors tl1at l1ave bee11 n1ade \xrould l1ave bee11 avoidable and probably wot1ld l1ave bee11 f)reve11ted, if tl1ese social values a11d conseque11ces l1 ad bee11 u11derstoo1:l and give 11 co11sideration in 11atio11al IJIa11 11 i 11 g·. Alternatives: Even accepti11g· tl1e inevitability of a certain d egree of disru1J­ tion a11d accelerated cl1a11ge, at least a partial solutio11 can b e fottnd if tl1e 11eed re111ai11s upJJer1nost i 1 1 tl1e 1ni11 ds cf tl1e fJla1111ers. In tl1is co1111e xio11 tl1e Report on the World Social Situation, fJt1blisl1ed by tl1e U11ited Natio11 s in 1957, declared tl1at ''tl1 e possibilities of JJromotilg volt111tar)' orga11izatio11s a11d assisti 1 1g grou1)s tl1at develOJ) s1Jo11ta11eously a11j JJrovid e g·ro\xrina fJOints for social :eorga11iz�t!o11 l1ave bee11 barely exJJlore � as . 111eans_ of l1elpi11g 1nig·rant farnilies 111 tl1e c1t1es of less develoJJed cot111t11es 111 tl1e1r ada1Jtatio11 to tl1e urba11 e11 viro11n1e11 t''. 011e im1Jorta11t co11sicleratio11 , \Vl1icl1 see1ns to l1ave bee11 o·iven bt1t little att �11�io11 as a JJote11�ial st1b�titt1te for tl1e exte11 ded fa1nil)' i11 certai r1 fu11ctio11s of def1�1111g a11d en!orc1!1 g social sta11dards,_ s tl1at �\re1� i11 l1igl1ly t1rbanized agglo111erat1011 s, rece11t 1111 1n1gra11ts te11d to co11t1rt1e to live 111 s111all con1n1t1nities ti1at are relatively l101noge11eot1s a11d receive first loyalty fron1 tl1 eir 111embers Tl1is is of pri111e in11)orta11ce, si11 c_e it fJrovide s l social i11stit11tio11 tl1 rotig11 \;l,icl1 tl1e J \Vhicl1 a 11at11re a11d s1Jeed of social cl1 a11g·e car be co11trolled a11cl tl1 rotio· 6 1 JJositive social force ca11 be 111ai 1 1tai11ed. seg·ments of tl1e JJopulation still cities, Asia11 ma11y 111_ . !arge , �xa111J)l for_ � _ .1e s1 �e _111 wl1at an10 �11ts t? 1nd1v1dt1al v1llcges and_ retai11 tl1ereby 111a11y elements of_ tl1�1r folk_ �L1ltu �e wl11cl1 er1able tlJen1 !o. rema111 more or less itTifJervious to tlJ e d1sorga111z_111g_ fact?rs of �1rba11 life. . l!1s IJl1e11on1e11011, too, cleserves i11 ten­ sive stt1dy fo1 !lie gt11da_11c� 1t_ 1nay offer 111 the develo1J1ne11t of social J)Olicy fo1 _ tl1e preve11t1011 of cr1n1111al1t),.

p

CRIJ\i\E CA USA TI ON

367

l1ave Tribal l1ad associations ocial a11cl ec o110111ic successes in aidi11g s n1any . tl1e1r members to COJJe witl1 ttrban life. 011e ft111ctio11 l1as bee11 t o ease emer­ ge11cy eco110111ic fJresst1res i11 individttal cases· a11othe r l1as bee11 to jJrovide t}1e social cohesi o11 tl,e tnigrant t1rge11tly 11eeds i11 a 11ew a11d com1Jlex e1 1viro11111ent. � otl1 of tt1ese co11sideratio11s are closely related to tl1e pre,,e11tio11 of crime, s111ce tl1e failt1re to fi11d solt1tio11s t o Ltrae11t socio-eco110111ic JJroblems rnay JJreci1Jitate cri1 ni11al acts. Tl1e co1 1tribt1tio11s of tribal associations to a11 orclerly process of urba11izatio11 deserve stt1dy ,vitl, a vie\v to tl1e fJOssible stro11g s11p­ p ort of tl1e_m by Ooverr1n1e11t as 011e fJl1ase of social 1Jolicj'. 111 s11cl1 a11 exan1i11a­ t10n, atte11t1011 ,vi11 11eed to be directed seJJarate1 y to t lie variOtts elen1e 11ts of the activities of tl1e tribal associatio11s, si11ce it may be tl1at 011ly so111e of tl1e1n re1Jre_s� 11t a positive co11tribt1tio11 ,vl1ile otl1ers 1nay, i1 1 fact, i1n1Jede ar1 orderly tr �11s1t1011 by �lie rttral fJeople to 11rba1 1 life. The latter 1 11igl1t be tl1e case if t ribal assoc1at1011s worl<ed against tl1e attai1 11ne11t of eq11ality of ,xron1e1 1 or e11co11ragecl tl1e ex1Jloitatio1 1 of cl1ildren. Tl1ere l1ave eve11 beer1 i 1 1stances in ,xrl1icl1 t�ibal associatio11s l1ave co1 1trib11ted to cri111ir1al activity by re-establisl1i11g i11di­ v1d11_als in illegal practices in1n1ecliatel)' follo,vi1 1g tl1eir release from gaol after �erv1ng se11te11ces tl1 ere for tl1ese same illegal fJractices. At a11y rate, tl1e var­ i ous elen1er1ts of tl1e prog·ra1111 11es of tribal associatio11s 111erit caref11 I evaluatio11 to determir1e tl1ose as1Jects deservi11g SLifJfJOrt as i11strun1e11ts for tl1e fJreve11tior1 of cri1ninal activity in co1nmttnities 111 1dergoi 11 g 11 rbanizatio11 . 1

t:,

•

•

•

•

Tl1e lrnp,tct

01z

Rttral Life of Social Cl1ai1ges l1cconJ.pa71ying Eco110111ic Develop1r1er, t:

The pr o ble1 n of 11rba 11izatio11 l1as o,,ersl1ado,ved tl1e q11estio 1 1 of cl1a11ges i 1 1 tl1e livi1 1g fJatter11s of tl1e i11l1abitar1ts of tl1e r11ral areas ,xrl10 do 11ot 1nig·rate to tl1e cities a11d very little atte11tio11 l1as bee11 give11 to cri111i 11 oge11ic factors inv olved in tl1is sit11atio1 1. l\t\.oreover, the social cl1aracteristics a11d tl1e criine rates of rt1ral c om 1 11t1nities vary greatly 011e fro111 tl1e otl1er a11d so,ne areas are 11otorio11s f or tl1eir illegal activities, c111ite irres1Jective of a11y i1111J act of urbanism or progra 111 111es of eco 110111ic devel o1 J111e11t. U11fortt111ately an anal} sis of Ltrban as com1Jared ,xritl1 r11ral cri1ne rates is so severely l1a1n1Jerecl l1y statistical a11d otl1er tecl1nical difficulties as to re11der a11y co11clt1sio11s l1igl1l1r te11tative. Nevertl1eless, certain fact ors ass o ciatecl wit!, social cl1a11ges accom1Ja11yi11g· eco1101nic devel o 1Jme11t sttggest fJrobable dist11rbi1 1g eleme11ts tl1at may contri­ bute to crimi1 1ality i11 rt1ral areas. 'fl1e n�ig_ra1_ 1t \X1 orker 'X_'l10 ret11r1 1s to l1is village \xritl1 new a11d ge11erally 111 ore 111ater1al1st1c v_ alttes, ,xr1tl1 grossly altered c oncepti ons of i11dividt1 al liberties a11d go�ls, d1st11rbs _tl1e. settled fJat_ter11s of village autl1ority and s ows tl1e se�cls of_ discord a1 1d r�Je�t101� of establ1sl1ed 11orms of bel1aviot1r. Tl1is need 11 ot 1 n,1ar1ably lead t o cr1m111al1t�>' b11t, t1 11less prOJJerly i 11terpreted a11d dealt \Vith, 1:1a)' ver� Iil<ely d o s o. 11 1 tl1ese circu1n­ star1ces, local leadersl1ip (a11 d tl1e g·t1_1da11�e g1v_e11 _ t � tl1e local leaclers) 1n�1st be JJrepared to aid the rL1ral jJOjJUlat1011 1 11 1na111ta111 1 11g a JJr oper _ jJerspect1ve and i1 1 evalt1ati11g tl1e trtte ,xrortl1 of tl1e 11�\xr valt1e sy�te1n_ to \Vh1cl1 tl1ey � re indirectly exposed. By tl1e sa1ne tol�e11, 1� apfJears 111ev1tabl_e _ tl1at r11ral l1f _ � must itself ,velcome tl1 ose cl1a11aes ,xrl11cl1 \YJill lead to,xrarcl f11If1ll1ng tl1e leg1t1mate aspirati o11s of tlie con1mt11�ity, a11d _IJartict1larly of y ot1tl1. It \'<:' OLtld be 11ot _ only t111wise but futile to atte1n1 Jt t o is olate tl1e r�ral co 1 1111111111ty f1 0111 tl1e social clia,1ges etnanating largely !rom tl1e Ltrba_11 sett11 1g; ratl1�r, tl1ey 111t1�t be anticipated, evaltiated and tal<en int o accot111t 111 the st1_ uctu1 e of tl1e village life. 1

Tl1e sliarpest impact on_ tl1� rLtral .co11?mL111ity is 111a?e by �l1e develo1J1ne11t of manufacturing or extractive 111dustr1es 111 tl1e rural a1 ea. I leie, SLtdde11ly, a11

I

TiiE IDEAL Of �EHABILIT ATION

368

. and eco11omic wa� of lif� is introduced_, with no atteinpt .. e11t1_1 ely 11ew soci a l e inl 1ab1tants to seek it out. To prevent tl1 of JJart the 1 1av111g be 1 1 111� 1e und gro g for edin bre the ides r-rov 1 crim 1 cl1 \vhi \Vn e, (-dO b��: r tl1e t ) pe o so��f r�l ru a !l1e are ng ari �p in h pr bot !o� e , n do e b the to e v 1a l \Vt e 1 or 1 n11 _cl1 r 111g the 111d1 1str1 al adm1111stra1ctu str1 so i11 arid _ ry ttst itid e 1 l a ar 11va1 of ar0ae 5 c r ato p ens m y co 1 d 1z a1 1m e d progr 1n · m e · · 1 • 1l w b 1 ts 1 e 111 ame el ng Jti ui sr di tioii tl,at tlie 11 1es 111ade availa b le. Tlie sttccesses a11d fail11res acl1ievErl by thos� i11dustrial und�rtaki: 1 gs w�1ich have already atten1 JJted to a11tici1�at e and provide for tl1e social d 1slocat1ons associated \Viti, tlie ir ve11tures. m�r.1t st.1dy for �l1e developme nt of _a compre1 ,ei,sive JJolicy t]1at \XTOttld s1g111f1ca11t�y co11tr1bute to the prev�nt1on of tl�e t)'IJ es of crimii1alit y res11lti11g from so?al cl1anges a11d accompanying economic develoJJn1e11t i11 less developed cou11tr1ts.

°

•

•

•

•

Que,tions

1.

2.

3.

Wl1at is t l1e 1·eleva11ce of crime ca11Satio11 to tl1e rel1abilitation of offenders? Does it l1ave sig11 ificance witl1 rESjJect to the prevention of crime? Can effective correctio11al tech11iques bE established with little or 110 understand­ i11 a of cri111e ca usatio 11 ? Is a uniior1n tl1eory of behavior, crime causa­ tio� 1 and correcti o11al t ecl111ique ess;ntial to a rational JJenal syste111?

Wl1icl1 cri111es a re 1nost freq11ently co1nmitted in Ethiopia? I11 which prov­ inces? Are tl1e fig11res i11 the C.imi11al St atistics for Etl 1 io1Jia accurate? Does com1Jariso1 1 of tl1e se figures wi tl1 tl1ose i11 the P1·ison Cl1art supra at p. 345 indicate IJotential inaccuiacy?

wl1icl 1 l1ave been tl1e comi11ant tl1eories of crime causat io11 i11 IIistoricall)' Europe a11d A111erica? Wl1ich tl1e1)ries pre vail today? Are sucl 1 tl1eories a JJIJlicable to Et l1iopia? Do )'OU tl1irl< tl1 at t l 1e causation of crime in i11dus­ tr ialized, urba1 1ized societies is simil:1.r t o tl 1at in develo1Jing socie ties? Does t l1 e last qLtestion i 111ply a bias in favor of social-psychological causatio n? What are tl1e JJrin1ary ca11ses of c1i111e in develo1Ji 11 0- a reas? Is tl1e causa­ tio11 of crin1e_ i_11 otl1 �r de�elo1Ji n g· :::0111 1tries releva1 1t to Et l1 ioJJia ; tl1at is, l1as tl1e tr ad1t1o nal 1solat 1on of Ethio1Jia created ir1st itut io11s \vl1icl1 are t11 1 iq11e, a11 d tl1erefore, affect offe11ders 1111iquely? Protlem

. A \xrealtl1y fou11 da tio11 l1 as offered 111011ey to Etl1 io1Jia i 11 tl,e hope that � r1111e ca1 1 be IJreve1:tecl a11d offe11der s �t1ccessf11ll)' rel1abilitat ed. Before givi11g its ?'ra11t , 11 0\vever, 1t l1as asl<ed tl1at a ne111ora nd11n1 be fJrepared ii, the fol­ low111 g areas; 1. Ex1�la11at_io11 _ ?f. \Vl:Y cr imes agai11st :Jropert_y and \x1ilfttl injttry are most 11u111e 1 oL!s 111 Etl1 1o jJ_1a a r1d \xr1 1y so ma1 1y c r1111 es are cOmin itte ct JJr OJJO rtio11at e1 y 111 the Prov111ces of Sl1oa a11d Iiarrar? 2. l�ol �ti ? n of tl1e JJrimar): factors �allsi11 g cri111e i1 1 Etl1iopia includi11g co11side1 a�1 01 1 ?f tl1e follo_w1n�. jJote11t1a. factors togetl1er \X,itli ideas as to l1ow eacl1 fact o1 ca11 be sc1e11 t1f1cally verified b)' fi eld researcl1 : a. Cl1a11ges \x,itl1 i11 the tradit icr1al famil y.

• CRIME CAUSATION

b.

C. d. e. f. g. 11. 1.

J. k. I. m. n. o. p. q. r.

369

Living away from 011e's traditional fa1nily and village. Cl1a11ging role of \xro1ne11. Tl1e at1tl1oritaria11 strt1cture of tl1e fan1ily and society. Cl1a11ges within the traditicnal valt1e structt1re. Sl1ifting of the ct1lt11ral s011rce of \Visdom from elders to yot1ng, educated men. Mixed religious, etl1 11ic a11c[ 11 atio11 ality grottf)S of tl1e cities. Rapid cl1 a11 ge causi11g ''a11cmie'' a11d ''ct1ltt1ral shoe!<''. Rapid t1rbani zatio11 and conseqt1e11t u11emplo),ment. Oa1J bet\veen tl·1e \Vealtl1y ,.11d tl1 e jJoor. \Vestern edt1catio11 a11d filrns, etc. Laci< of recreatio11al facilities. Demogra1Jl1ic i1nbalance in cities. Tl1e role of religion. Concern \Vitl1 JJerso11al l1onor. Co11cern \Vith la11 d and JJrcperty ownershifJ. Moder11 tech11 ology. In1personality of the city.

3.

A jJroposal as to 110\v tl1 e 1najor cattsative factors ca11 be l1arnessed to ret1abilitate offe11ders a11d fJrevent crime before it becomes a11 acute problem in Etl1iopia.

4.

A fJlan for tl1e collectio11 of accurate data 011 tl1 e commission of cri1ne i11 Ethiopia and tl1e effectiveness of rehabilitative a11d preve11tive efforts. Recommended Readings

Johnson, Crime, Correctio,z, and Society 3-314 (196 4) (011 e of tl1e rnost rece11t and careful a11alyses of cri111 e i11cide11 ce a11d cat1satio11 ). Tappa11, Crime, justice, and Correction 3-234 (1960) (co111 1Jrel1e11 sive co11sideratio11 of tl1e incidence a11d cattsation of crirne in the West). Sutherland and Cressey, Principles of Criminology 3-250 (I 960) (a careful con­ sideratio11 of tl1e study of crime i11c[t1ding its relatio11 to various i11 stitu­ tions of society). Ster111ing, Documentary Survey of Crir1e i11 Kam(Jala, Uganda, U.N. Publ., SEM/URB/Af/13 (1962). Kor11 a11d McCorl<le1 Criminology and Pe;1ology 198-353 (1961) (revie\v of tl1e basic t]1 eories 0 f crin1 e catrsation ir1 t11e West). 1n. ]. i 40 , Cr or vi ha Be al in rim C of t�e at C c si Ba 11, io Abrahamse11 , fatnily Tens L. Crim. and Pol. Sci. 330-343 (1949). Christiansen Industrialization a11 d Urba11ization i11 Relatio11 to Crime and Jttven­ ile Deli�q ttericy, 16 Int. Rev. of Cri7:1. Policy 3- 8 (19?0) _(discttssion of tl1e cat1ses for the rise in cri1ne rates 1n 1nany cot1ntr1es 111 the last twe11ty years).

'

THE IDEAL OF REHABILITATION

370

. -� 11umber of a consideration of tl1eo ( . (1958) rie s re. 1 gy o zn m ri C al ic Vold, Theoret . ) 11 10 t a s 11 a c e 11 i1 r c d o e t t la . . . . . Crim of . . Rev · Int. 16 7, 194 cy Poli ce Sin 47 n ista -53 Pak t as E 1 11 e m ri C 1, 1n Kar ( I 960).

t11e to h roac app su nch mea Fre (a re -306 144 . · ' 30 89-1 ment l , a r1, Pe oit Dr el, Pi1 1at . a11d causation of crime)· . z12 · and causation incidence . (the (1963) I of crime a 3-30 , A1 r. ' c rz ( ; tJ tJ.t J� ne. rz1 freed, C iii Soutl1 Africa). f Co72tinerztal Crminal Law 379-495 (19� 6) (an hi�toric al V 011 Bar, ..,..1 HistorY 0J ' treatn1e11t of the maJ·or tlieories of pu11isl1ment and crime causation on tl1e Conti11ent). (' ·o log (Kelly trans·1 1917) (an Italian scholar, who has l1ad · ·naf JOcz f err1· crz1nz Y ,, · o the at1on foun d h f &h t tl1rou ce practi r11 � 1 1 mode 0 11ce posi-· infI11e �reat tivist scliool,'' deals witl1 c1·ime, iis causation and early reforms 1n penal [Jractice). Lombroso, Crime: Its Causes and Remedies, (Horto11 trans., 1918) (a bas_ic W?rk of tl1e Italia11 a11tl1ropologist who was one of tl1e founders of the b1olog1cal scl1ool of cri1ne ca11satio11). Tarde, Peria! Philosophy 215-422. (Howell : trans., 191 �) (a great French .crimin­ ologist co11siders tl1e ca11sat101 1 of .cr11ne and arrives at the conclus1on that socio-1Jsycl1ological ca11ses predominate). Ma111 1hei1 n Pioneers i12 Criminology (1950) (short biograp}1ies of ma11y of the Ieadi11g thinl(ers i11 the histor)' of cri1ni1 1olog),). .

SECTION B. PRISON INNOVATION DESIGNED TO FURTHER THE REHABILITATION OF OFFENDERS

OPEN INSTITUTIONS IN fRANCE7 Pierre Boitzat

1-Iistorical Sumniary: I11 foreig1 1 cot1111ries 0 1Je11 fJriso1 1s have existed for a 1011g ti1ne, fJ artic11 Iarly i1 1 tl1e forn1 of ag·rict:ltural color1ies (i.e., Witzwill in Switzer­

la1 1cl, Cl1i11? i11 Califor11ia, a11d Leyl1ill :r1 E 11gla11d); fra1 1ce is just beg·i1111ing st1cl1 ex1Jer1n1e1 1ts. fra11ce 110w l1as a1 1 11nporta11t ag·ricultural i11stit11tio11 at Casa­ bi�1 1da, Corsica_ w]1ic11 tal<es forty fJerso 1 1s a �ear (effective capacity of 150 de­ ta11 1ees), a1 1 agr1ct1lt11ral estate ,lt Etape 1ea1· A1 x-e11-P 1·ove1 1ce wI1 ic11 tal<es fiftee11 prisoners a �ear, . the institution of Oer ningen, which, although classed un�er the rubric or pnson-school , has n1any of the ch aracteristics of an open insl!tu­ tio11. Convicts Per,nitted to Eriter Opert /r1,stitttiorzs: 0 Je1 n ot b� p�oper for an pe so n s convicte of 1 1 i1 1stitutio 11s wo11Id of course,

crime. . At first, assign�ent to a� ( r OJJe1 1 11 1st1tt1 t1 01 1 co11st.1t11te d 01 1e stage : 11 JJrogress1ve steJJS toward relea se: 1t was a ste_1J _ beyo11d release fro111 a close:d JJri so r1 and a step before semi-liberty and cond1tto �al release. !he prison ad11 in istr�ti o n, after having used this sys­ tem several tunes at Oe1 m1ngen, aba nd:ined 1t because it seemed to have a 7.

Bouzat, Droit Penal 397·398.

' .

371

PENAL f'.EFORM

bad effec � ?n c�r tai11 JJriso ne rs \'(/1 10 1nerited in1J)riso11me11t i11 01)e11 _institutions. !lie_ ad_n11n�strat1on adopted a seco11cl ap1)roacl1 \v1l1e re place tne11t 111 a11 open ! nst1tt1t1on 1 s r eser �ecl for ce rtai11 ty1)es of deli11qt1e11ts, 11 ot as a 1nea11s of J)t1111sl11ne11t, bttt as be111g b etter s t1ited to 111eir J)erso11alities. •

•

•

•

M�tl1 ods Used ir! Operl J71stitittiorzs: Tl1e 1Jri11ci1Jle \Xtl1icl1 t111derlies 01Je 11 est ablis h1 11e11ts is tl1 at co11s1clerable co nfide11ce is !)laced i11 tl1e abilit y of i11111ate s to bette r _ t l1en1selves; tl 1is co11ficl e 11ce is ex1Jressed pri111 arilj' by tl 1e lacl< of most of tl1e e�ter 11al i11clicatio11 s of J)riso11 s. Res1)ect for tl1e fJerso11ality of eacl1 j)riso11er is g1:1e11 n1t1c_l 1 111ore e1111Jl1asis tl1a11 i11 a closecl at1110s1Jl1ere. l111nates do 11ot \Vear 1Jr1so11 un1for1 ns; tl1 ey J)re1Jare tl1eir O\X111 foocl a11cl 1nove freely abot1t tl1e gro t111cls (1800 l1ectares i11 Casabia11da). SL1rveilla11ce of i11111ates does riot e xist at 11igl1t ar1d is r edL1ced t o three roll calls a cla,,. 1\1.EXICO'S TRES lviAR:As PENAL COLONV8 Doriald Jewell _Introduction: l\1e�ico

lier rel1abilitative 1Jl1ilosopl1y fJar ticL1larly at Tres lv1ar1as ....Tl'1e ' l l 1re e l\tlarys11 are aclL1ally four isla11ds aroLtfJed aboLtt ni11e­ t y 111iles off tl1e \Ves t coast of Mexico. 011},, tl1e Iaro·est' i�Ia11cl Jv\aria lvlaclre 1s CLtrre11tly L111cler develo1J111e11t.It is ricl 1 \'(/itl1 troJJical veg·etatio11.

•

1

s1 1 0\vS

•

•

•

I

b

J

•

I

•

T/-;e PrZ:so,zers of Tres 1i1arias: Tl1e jJriso11ers co111e fr o111 fecleral jJenite11tiaries tl1rougl1out Jvle xico. 1-\t t l1is \xrriti11 g tl1ere ar e eigl 1t l1t111 drecl there, i11 clL1di11g 11earl}' six !1 L111dred fro1n 1\1e xico City. Oe1 1erally t l1e varioL1s JJe11it e 11tiaries c.CCL1 111 t1late several fJrisoners \xrl1 011 1 tl1 ey 11 :tve d esig11ated for Tr es l\tlarias before e111 bar king tl 1e11 1 for t he islar1cl. rl-hey select /Jriso11 e rs \vitl1 l011g re corcls of 1Jr�vious offe11 ses, or \xrl10 are co11 victed of lcilli11g, assa11lts or otl1e r serioLIS cri111es; a11cl 11early always witl1 se11te11ces of t\ve11ty or more }'ears. Exce1)tio11s are cc.ses se11te11ced directly to rfres l\t1arias by a cottrt, or tl1ose \'(/l10 are sec t1rity risl<s. J\1\a11j' \X !10 L1lti n1ately go to 1-res Ivia rias 111ay serve se ve ral years of tl1eir �e11te11ce before bei11g tra11s1Jort ecl tl1ere. Fo I I O\xri 1 1g JJsycl1 o1 og·ical a 11cl ]J l1;rsical scree11ing they ar� tra11s J)Orted Lt,� �!er 11: i1i tary escort to tl1e coast a11 d tra11sferred to a s111all sl 1 11J, t he "Nayar, \Vl11cl1 \xras bL1 ilt by 1Jriso11 labor 01 1 tl1e is la11d. Women JJriso11ers are also acce1Jted at Tr es J\/\arias. T\xre11ty are tl1ere at prese 11t. The Tres Marias JJrograrn: UpOil 1-iis _arrival a! l\t1aria Mac�1.·e, t l1e ! Jriso11 er is tern1Jorarily assig·11ecl to a bar_r� cl<s._ I-, e 1nay_ live_ tl1ere �111t1l lie w1sl1es to _ 1 select a site for l1is ! 10111e i1-i a11t1c11Jat1011 of l 11s fa1n1ly s arrival. TI1ey will be fJer1nitted to joi11 I1im after l1e l1as sl-io\v 1 six 1no11tl1s of good bel1avior. 1

At ti1e prese11t tirne 011e l1L111dred fifty JJriso11ers l1ave tl1eir fa111ilies at /\,\aria Madre. Tl1e p riso11 er 11 as co111 IJI ete freed�111 o11 tl_ , e is1 �11d s tl!irty-fot1r t l1_�t1sa11cl _ eqt111 e11 e 1t acres.IIe 1 - is free to /JLJrsL1e a11 occtl/Jatton of l11s choice.Tl1e 0111)' _ � � _ is to observe regt1lar ,vorl<i11g l10L1rs. I·Ie 1 11ay far111 or establ1sl1 l11111self 111 bt1s i11ess , tax free. I

8. In 4 8 J. Crinz. L. Crirn. .:znd Pol. Sci. 4 10-41 3 ( 1957).

,

THE IDEAL 01= REI-IABILITATION

372

1 1Jloyme11 t witl1 tl1e He11equin Eiiteren e(Jt acc to also . .·tsoi e is free rl�h � icific a JJrivate i11dL1stry of tl1e isla11d. Tl1irty JJerce11t of his 1e a fJt tse O g r l1a sc di or e. le ro s hi n pa JO d U[ 1e 1r 1 ·et 1 id 1 ai \Xr·ages \Vl.11 be d i·sco�tiited h, _ _ fis , t es_ u for 1an _ n it� the nt l1u y _ 1na tu fac 1er sor 1Jri re e. 1 tl e 1 ti11 n ow liis On e at 11J 1 a 111 t1c p_ ), ld ,_ r� 01 �o er Jo 1 s_ lv si ll, 1e s, sl f (o or 0s 1r1 _c1 or tre ilL ri, ftt ao rovecl r! let1 ate atl1 the re ct11 c 1 g p_ v111 a 1no d ts fiel [JOr sLtp 1 s, d 1 1sla Tl,e i,. tio rea rec o'tl;er 1 st te an1 s ft om schools on a11 ecl ag ay pl n te of e ar es in Ga ai,cl a boxii,g rii,g. tl1e 111ainlat1d. Most prisot1ers fJt1rs11e a litnited part tir_n_e. bu�i11ess and dedicate their \VOrl(iticr lioLirs to the lear11 ing of trades. fac1l1t1es 111clude a ta1111ery, a ship­ yarcl, a tailor a11 d sl1oe sl1op, �11r11aces f?r mal<i11g brick, tile, fJOttery and lime, a brass ai1d steel foL111dry, a d1esel-electr1c plant, carpe11try a11d sl1eet metal sl1ops, a11d a11y other tracles or crafts \vl1ich prisoners tl1emselves 1nay elect to teach. A moder11 scl1 ool, constr11cted of co11rse by [Jrison labor, is also accessible to the priso11ers as \xrell as all otl1 ers of ihe isla11d. from 1950 to 1955, 653 jJerso11s, 1111 der tL1telage of tl1 e school's five te_acl1ers, passed through its first six gracles. Tl1ere are currently 011e l1unclred fifty st11de11ts of all ages e11rolled.

,· � I�:

A 111oder11 , beaL1tift1l, co11crete tl1ree story l1ospital is 110w t1r1der construction.

Priso11er sttJJervisio11 is l<e1Jt at a 1ni11i111t1m. Tl1e>' are expected to retire at 11i11e o'clocl< ta1Js, a11d 1n11st aJJJJear for revie\xr 011ce a montl1 . It is 011ly 011 revie'Y1 daJ, tl1at they wear tl1e cl1aracteristic 1111i-form.

Disci 1Jli11e co11sists ge11erally of de1Jrivatio11 of JJrivileges a11d assig11n1e11t to tl1e salt mine. Tl1 e latter, i11 earlier days JJa1·ticularly, was a partic11larly severe IJL111isl11ne11t becat1se tl1e jJriso11ers were 11ot allo\xred to \Wear sl1oes. J\r\.orale is reportecl to be relatively 1 1igl1, a11d has been co11firn1 ed i11 tl1e \vriter's i11terviews witl1 ex-1Jriso11ers i11 Niexico and tl1e United States. Tl1e �reatest te11�io11 area apJJears to be related to tl1e female JJriso11 ers. Violent f1gl1ts so1net1111es occur an1011g 111 en wl1 0 \xroL1ld 111 arr)' tl1en1. Prostitt1tio11 is strictly forbidde11 011 tl1e islar1d ' a11d co11juaal relationsl1ips 0 rigidly 1noralizecl. L

Tl1ere l1ave �ee11 110 s�1_ccessf_L1� esca1Jes fr?111 Tr�s !\!\.arias, a11 ct or,Iy tl1ree 1 atte11 1pts: Tl,� 111a211la11d s g1 eat cl1sta11ce, co1nb111ecl \v11tl1 fear of sharl<s discot1r­ ges � 1n1111 111�: [\vo of t�1e a�te11 11Jts \XJ_ere discovered i11 tl,e !Jla1111 j 11 g, a11d � tl111 . �d oc�111_1_ecl te11 yea1 s ago wl1e11 six_ n1 e11 stole a sn,all boat for tl·ie pttr­ tl1e _ ca1Jt11re tlJJ011 la11d111g 011 tl1e 11 1aiiilaiid. iJOse. Tl1e effo1 t led to Pris�1_ 1ers c_a1: serve ''g?ocl ti111e, 1' . \vl1icl1 \XTill allo\v t1'1e1n elicribil y for it 1Jarole after se1 v111g t\vo tl11rcls of tl1e1r se11te11ce 1-,..,v1..{any, of. b se1v . e 11·fe coL 1rse · ' . se11 te11ces a11d are bt1r1e· d 111 · tl1 e 1sla11d's ce111etery.

. U 1 Jo11 leavi11g· tl1�. isla_11 cls tl1e i11n1 ate 1nt1st give LtfJ a11 d hi s Je rti Jro es 1 r _ <e \xr1tl1 l111n ,tll 111e1nbers of tl,e fa bt1s111ess a11d tal n, 1·1 Y. If , 11 0\vever 11 e l1ad 111a 1·riecl a . JJI-·1sor1er, ti · 1e s1Jot1se 1n11st re11 1ai11 bel1itid arid is 111 arr)' · fr tb ee a11otl1er pr1s011er. fron1 JJriso11ers a11d staff ti ,e f·oII . O\V111g rel1 abilitative infl11e11 ces seemed to l1ave bee11 realized: 1. Remo�al_ froin critnii,ally orie11 ted environ1ne11t a11d 1·11 flue11ces maki112:...., fo r cr11n111a1 be11a \'i or.

M. .. .. .

.

.

373

PENAL �EFORM

2.

A gaining of self-res(Ject arid dignity by being treated \Vitl1 res1Ject a11d \VitllOLlt SUS!)icio11.

3.

Tl1e lear11ing of a trade a11d satisfactio11 from doi11 g co11strL1ctive a11d creative work.

4.

Obtai11i11 g an acadernic edL1catic1 1 \vitl1 st1bseqL1e11 t feeli11g of co11fide11ce ancl stattts.

5.

Tl1e Iearni11g of 11 e\v values ,111cl morals fro111 tl1e jJriests, teachers, a11d otl1 er staff 1ne1nbers. Ne\xr insig·l1ts gai1 1ed tl1rot1gl1 r1editatio11 .

6.

Tl1ere a1J1Jear to be r1 0 statistics i11 clicati11g tl1e clegree of rehabilitative s11ccess. l\.1ar1y of tl·1ose \vl1 0 leave Tres Nlarias are riot follo\vecl Lip for variot1s reaso11s, and only a fe\v \vl10 get into furtl1er difficL1lty are rett1r1 1ecl to tl1e isla11d. •

•

•

•

Concl1,tsioJ1: A I tl1oLtg11 a11 y corrective i11stit LItio11 111 LI st LI [ti 111 ately 11 1eas LIre . its_ s�1ccess by tl1e clegree to \x1J 1icl1 its :·eleasecl i11111ates a\1oicl ft1rther cri111es, t!11s IS probably for tl1e JJres�nt a11 t111realistic a11 cl u11fair criterio11. J\ 1an;' i11 stitt1t1ons �re too. greatly l_ 1ar1cl1ca1)!Jed by i11st1fficie11t f11 11ds to be able to ajJjJ!y corrective n1etl1 ocls \Vl1 1cl1 are l<110\v11 to be Iacl<ing: Evalt1atio11 mLtst co11seque11tly be 111acle i11 a 1nore s11bjective 111an11er, based upo11 \vl1at is bei11g clo11e \'<1itl1 \Vl1 at is 1vailable. There ca1 1 be little clot1bt tl1at in tl1is regarcl Tres lvlarias is clemo1 1strati11g ot1 tsta11di11 g· resoL1rceft1 !1 1ess, i11f.re11= 11 ity, a11d origi11ality. l�res Marias shO\VS 111any evicle11ces of bei11g a jJrogressive a11d enlight­ e11ecl i11stitutio11. fe\v corrective facilitie�, if any, allo\v SL1 cl1 a clegree of free­ dom to its priso11ers witl1 tl1e co11co111ita11t Opf)ortt111ities for !)L1rsui 11 g nor1nal Iife. Morale is l1igl11 self-co11 ficle11ce is instillecl a11d1 i11 the \Vorcls of one rcce11 t­ ly IJaroled after tl1irtee11 }'ears at Tres l\.1arias. Tl1ey teacl1. }'OLl the valtte of a free, dece11t life. 1

11

11

PROORAl'v1S Of PRE-RELEASE \VORK9 Deparlmertt of Social and Eco1?0nz£c Affiiirs, UJ1itecl Nations \Vithi11 the last clecacle 1111ique a11d sig11 ifica11t ex1Jeri111e11 ts in jJre-release work u11cler co11ditions i11v�lvir1g a largt 111east1re of freedon1 have beer1 carried out i11 a r1u1nber of E11rorJea1 1 cot111tries. Witl1ot1 t_ exce1Jtion,_ _rest1l�s !1ave bee11 sttccessfttl e11ottgl1 to e11cot1rage !lie several Pr1so11 A�n1 11 11 strat1?11s to co11tem,Jlate going be)ro11 d tl1e ex1Jer1111e11tal_ st�ge . to tl1 e �1 1corJJorat1on of st1cl1 work JJrogrammes as regt1Jar as1Jects of 111st1t11t1011al reg1111e11 s. Tl1e develop111e11t of !Jre-release 1Jrogra111 n_1es on large1_· scales \v'Ould re1Jr�­ ser1t an extremely importa11t step i11 tl1e direct1011 of redt1c111 g: further tl1e tradi­ tional isolatio,1 from society \Vl1icl1 l1as l1 eretofore bee11 tyJJ1cal �f tl1e statL1s -of offenders subjected to incarceratio11. Sucl1 111east1res as gra11t111 g access to 9.

....

Departm.enc of Economic and Soci.al Aff.a.irs, Unjced Nations, Prison Labour, U.N. P.ubl., ST/SOA/ SD/5 pp. 22-23, 26 (1955) .

N IO IT T A IL B A I-I E R F O L A E ID THE

374

'f o f ,, 11 io 1s u 1 te rlo e ex th , 11 o si s, is gh sm 1 v a1 \1 tr s es i el ir w , 01 s. , JJet.· od .ca 1 s, atld JJen of t1se 11 1 i11i 1num. tl1e as O ll we as s, e g· vile pri · i l i � �?1 ng _ a1 1� c�111 : t1111 catioi tt 1 11cl1·ed :)'ears, to l1t 1e o1 t las tl1e g rin clt1 11d tre a rd f wa 1t 1 e res ·e1J 1 1 � � 0 t. 1 t �ect1r1t): tt1st1t 1 g society is 1 di bi t'-a la\ m fro on ati ol 'is ete JJl 1 o po 11 co r at 1 tl 1 t g c re 111 c_ rea 1 g ct ) x is g· in · 1 be 1e1 iso fJr e e 1 ty �1-1 cie so J at tl1 e to Os 1 r1 tu . re �� ; �� al � _ 1 t r� � 1 i _fo 1 1 1 at ar e1J JJt 1 es a11 d co1 1ditio11s of ti1 1 t 1·o tl1e to n l1i1 11 to1 us acc � to iJroce � Lt_I es clesigi,ed to 11 g de1na11 d that i ist rs JJe 's ty cie so 1g 1 i or 1 ig1 , r ve \ve ho " .tllOLtt ·, . . .., . 11o rn1a 1 l 1v111g '"'t 1 1 t. a1 t1 es 1 y il d o b er 1 d 11 t d ce la JJ e b serious offe11ders r ot1 e lab n as ri JJe ele e� e-r tJr e 1 �li r, e1 ve 1 ts \ve ho , es t1r as 1ne e ov l ab the {e lli i U 1 t e11t1rel:)' a\va)' e1_ sp e ar rs 1 1 l ot g kin wa 's er 1 1 iso fJr e 1 J tl lf l1a inean t 1at at least 1 cts, but of free 11v c? r he t o_ of t 11? , 11y pa com 1 e tl 1 1 i es 1 1 11fi co 1 fro111 i i,stittitior 1 er 1s obliged to . follo\v tl1e s01 pr1 tl1e , ily da 1 rs t 1 l1o te1 or t 1 · l eig r fo \vorl(ers. l1er tl1a11 plodd111g throt1gl1 i ·otitiiies a11d 11 1eet tl1 e res1Jo11sibilities of freedom, rat ti1e e11ervati11g 1Jatter11s of the institt1tional clay, however 11 1uch tl1 ose patter11s are rel ieved b)' \Vireless IJ1·ogramn1es 01· letters fro1n. ho1 11e. Moreover, as prese11_tly acl1ni11istered, tl1 e JJre-release sche111es e11able {Jr1 s011ers to occt1py productive roles i11 the State's ordi11ary eco11omy, to ear11 \Xtages co1npar�ble to tl1ose of free \XtOrl(ers, a11d to rei1nburse the State fo1· board a11 d lodg111g. S,x,eden \Vas aJJ[Jare11tly tl1e first State to at1 tl1 orize private pre-release \VOr](. Sectio11 53 of tl1e Act of 21 Dece1nber 19�/.5, Concernirzg tl?e Exec1-ttioJ1 of In1JJrisori1n erit, etc. JJrovides t l1 at: ''Wl1en it a1Jpears st1itable, i11 vie\v of tl1e le11gth of tl1 e :se1 1tence or for otl1er s1Jecial reaso11, and it 1nay be asst1111ed tl1at 110 risk of abt1se is JJrese11t, tl1e Priso11 Ad1 11i11istratio11, 01· by its autl1orizatio1 1, tl1 e director 111ay, in JJre1Jaratio11 for release, per111it a JJ1·isone1· to e11gage i11 \vorl{ witl1 a11 e1111Jloj,er outside the i 11stitt1 tio11.''( 1) •

are:

•

•

•

Salie11t featt1res of tl1e several pioneeri11g scl1e1nes [in pre-release worl(]

l) Priso1 1ers selected for tl1e 1Jroo-ra111111es are li1nited to i11divid11als \Y1l10 are believ�d to be. l1igl1Iy reliable a 1�d \Vl10 are 11eari1 1g con1JJletio 11 of tl1eir !er11:1s ?f 111 carcerat1011. Tl1 e_ develo1J1ne11t of n1edi11111 a11d 111ii1imt1111 sect1rity 111st_ 1t t1t: 011� �as 111ade _JJoss1 b�e by t! 1 e realizatio11 tlia t itidividtial JJriso1 1ers \1 a1 Y g1 eatly � 11 es�a1 e-r1 sl<; fJr1 s01 1 reg·11 11e 11s co1 1seq11e11tl:)' ca 11 be organized ir1 � a_ccorda1:ce \X1 Itl1 tl11s fact, a11d tl1e 1Jre-release scl1e111es 1·e1Jrese11t furtlier recog1 i 1 ­ t101 1 of 1 t. �) Sec t1r_it_ y n1east1res are virtL1ally eli111i11ated dttri11g tli e \'vO 11 e Oi v rl< -d a)' · , . c,1�efL1_l_ se l ect1�11 1.Jr_ oc�clL1 res, tl1e costl.)' a11d cliffi_ctilt tasl< of JJr ov ii g ctistody id i for_ !�. �so,1;er.s 11 t1a11s1 t a1 1_cl at wo1·l< car1 be avoided. J)riso 11 er s fJroi)erly c l iose11 � � fo1 . ft ee \�01 k sel d _ o111 vi olate t l1· � trttst fJ l �c�d in tI1e11 1, coi,trai·y l ief be tli e to sl1a1 eel by •tl1e fJL1.bl 1c and s0111e 1Jr1so11 ad1111111st1·ato 1·s 11 · · va tli r at ' • c 1 0 1 1 11 VI · C . S I . • t W 1a . b} Y f J ee 1 · f · s t11 \7 e1lla1 1 ce 1s relaxed eve11 1no111e1 1tari ly. 3) Ii,inates JJartici1Jati11g· i11 t l 1e 1Jrogr· a111111e are l1011sed aJJart fro111 ot l1er

(I) Tl1is provision is bt1t one of seve ral in clie A ct. speci· f"ic a 11 )' desi· gned to redt1ce isolation of priso ners fro1n society; see esiJecially Section� _ _ 31 ( .e d in g 1at��·1a l) ' 33 (su1Jpor fo�· d�pend (let[e rs), 35 (visits), 36 (con1passionate leave) 34 en cs) , � 1 , and ;,.,., ( ea1 y t1 ansf er to ope11 inst1tut1 ons).

-

---�------,-----

'

375

PEN.L\L REFORlv\

fJriso11ers, tl1 1der red LI ced secttrity acco1111nodati 011s. Trttst JJlaceel i11 tl1e1n dttri11 g tl1e day is accordecl tl1e jJriso11ers at 11 igl1t. ... 4) Wag·es a11cl \vorl<i1 1g co11ditio11s are ide11tical \vitl1 tl1ose of free e1 n1Jloye­

;.s doi_11g sirr1ilar \X!Orl(. Not 011ly cloes tl1is (Jer1nit (Jriso11ers to OCCll!)Y posi­ tl011� 111 tl1e State's regttlar eco110111 )', bt1 t it te11cls to reclt1ce co1111Jlai11ts of t111fa1r co11 11Jetitio11 i11 t1si11g ''cl1ea1J'' 1Jriso1 1 labot1r. •

\

•

•

•

TI-IE DEVELOPIV\ENT Of TI-IE PRISON SVSTE1'v1 IN OI-If\NA 10

'

]. Eyison •

•

•

•

1�,,� 11ext questio11 is, are \Ve i11 \Vest Africa doing· er1 ot1gl1? No dot1 bt \xre

i1 1t1st still loot< al"Jeacl for i111 1Jrove1 ne11 t. for i11sta11 ce, Oha11a l1as rece11tly bt1ilt \vl 1 at may be described as a 1r1 oder11 fJriso11 at Nsa\\'la111, 11 evertl1eless the 11eecl to _re-tl1i11l< _tl1e \:1l1 o_le qt1estio1 1 of 1Jriso11 clesig11 , in tl1e lig·ht of tl1 e IJLir[JOses \vl11cl1 a jJr1s011 1 s 111 te11decl to serve i11 tl1 ese cla)'S, is still very 1Jressi11 g.Tl1e dt111 g·eo1 1 tyJJe of cell sl1011. lcl give \xray to sometl1 i11 g \vl1icl1 e11l1ances tl1e clig·11 ity of 111a11 ; anci tl1ere 111t1st be adeqt1ate jJrovisio11 macle i1 1 tl1 e e11tire strt1cture to facili tate social a11d ct1ltL1 ral cle\1elo1J111 e11 t. E11 viro11111 e11 t n1 akes tl1 e 11 1ar1 and priso11 arcl1 itectL1 re 11 1t1st 1 jJerforce, be co11 cluci,,e to \xrhat \ve seel< to acl1i eve. Prison staffs 11eed re-orie11ta l io11 agai r1s t regin1 e11 tatio11 i11 ot1 t Io o I< ar1 cl agai11st tl1 e i1 1tra11sige11 ce \Vl1 icl·1 so ofte11 cl1aracterises tl1 em; a1 1cl \xre 111t1st fro111 110\xr 01 1\varcls lool< for tl1e calibre of jJerson \Vl10 ca11 be a111 e1 1able to trai11 i11 g at least in tl1ose as1Jects of social ,x,orl< ,vl1 icl1 are releva1 1t to 1Jriso11 acl111 i11istra­ tio11. Social \vorl<, to 111al<e a, 1 1, co11tribt1tio1 1 to tl1e rehabilitatio11 of tl·1e offe11cler, mt1st co11 sist of real \'Yelfare \VOrl< clo11 e \vitl1i11 tl1e 1)riso11s a11 d tl1 e scl1ools based t1po11 tl1 e pri11ciJJles of case,vorl< i11 a grottJJ\x,orl< setti1 1g. This is a settir1g \vl1icl1, altl1 01Jgl1 it is co11g·regatio11al i11 11 att1re, 1 nal<es 1Jrovisio11 for i11 timate co1 1cer11 for tl1e i11 cliviclL1 al a11cl l1 is acljt1st111e11t to tl1e g·rot1p of wl1i cl1 lie is a fJart. If 11 ot, 110\v best coL1lcl tl1e fJriso11er be jJreJJared for acce1Jtable life ot1t­ side tl1e fJrison g·ates? After-care services 1nt1st aim at JJrese11ti11 g to tl1e co111111 L111it)' me1 1 of dig11ity and pt1rpose - tl1e proclt1ct of a realistic fJriso,� trai11 i11 g ,vl1 icl1 is se11 sitive .to indt1strial co11ditio11 s ot1tsicle - a11cl sl1ot1ld also 111clt1cle a fJrograrnn1e for social edttcation directecl to tl1e IJL1blic a11cl, 1Jarticularly, to ernr)�oyers a11cl e1nployees 011 tl1e 11eecl for tl1 eir accepta11ce of tl1e t111 fortt111ate ex-1Jr1so11er. Tl1ese a11d a11y otl1er meast1 res !or i!111J_ro� e1ne11t \vl1 icl1 ca11 be conte111plated 111 t1st be aaains t a bacl<g·roL1nd \vl11cl1 1s 1 11 d1ge11ot1s. I-Iere, I ,vot1ld advocate the for111atio11 of a West f\frica11 bocly of social \xrorl<ers1 \Viti, ��mbers dr�\v11 from tl1e \Vl1ole territory, \X1l1icl1 \Vill set itsel� tl1e taslc of_ exa1n1 11111 g fro� time to ti111e our basic attitt1cles to\varcls the ex-1Jr1s011 er �11cl, if 11 eecl b�, advise 011 ,vl1 at tre11cls ot1r Correctio11al Services sl1 ot1lcl tal<e. Tl11s 1nay �OL�11d Itl<e � � rea1n. But lio\xr best ca11 \Ve, as a JJeo1Jle, n1eet ott� JJroblems real1st1cally \v1tl111� tl1e setti11 g of otir iciiosyr1cracies? A11 cl in S? clo11 1g \Ve 1nay be able to cor1tr1bt1te to tl 1e \vorld's effort at meeti11g a bt1rr1111g 1Jroble1n - wl1 0 lc11 0,vs! . and On1ari, Social il7ork in \V/est Africa 83 ke Dra , in · ca · Afri est ,vr v.· n v 1 ., -· J'::.y 1son, · Jf\ ces 1 er 10na ,orrecr S J C · · ent ancI re f orm _ erim o exp �c f I f ran 1e c o 1vc <•csc suo el)' n1er i·n '. aoa oo e e, ar , ns (, 19" ect1o · r · . 'J 2) • Tl1e ab ove se I reforn1. 1n penal syscc 1ns; see tJ1e recon-:.1nended ··ea ::,· ·inf,·a for coverage of- or J1cr areas or prison • d 1" 11r,s

------

"

:: REJ-J;\BILITAl-ION 1 0 L A E Tl-IE ID

376

N OT E S OTI-IER TECHNIQUES CONDUCIVE TO TI-IE REI-IABILITATION Of OffE NDERS The use of Probation

Note 1:

io d at 11s, te N ni U s, ir ffa A al ci So 1d 1 a ic n1 1o 1 o Ec of 1t DeJJartrne1 11 n io at Tl1e Selectio 11 of Offe11ders for Prob 1'\vo legal i11stitt1tions l1ave left a dee1J a11d lasting i�pression 011 _tl1e ad­ n1i11istration of crin1i11al j11stice i11 tl1e first l1alf of the twent1etl1 century: Jt1 \1enile cotirts a11d probatior1. In tl1eir origi11 and ft1rtl1er developme11t th_ey \Vere closely associated, a11d· in ma11y cot1 11tries botl1 grew tip �ogetl1er._ Juve11 1le co11rts 1nade i1 1creasi11g 11se of probatio1 1 officers, who, by social. e11qt11 r1�s a11d 1Jerso11al care a11 d su1Jervisio11, l1el1Jed tl1 e jt1ve11ile co11rts to achieve their JJt1r1J?se of re�a­ bilitati11 g deli11qt1ent a11d \x,ayward youth. More than �11)' tl1eore�1cal doctrine of a crirni11ological scl1 ool, juver1ile courts and pro ba t1on rnacle Judges a \X1are of tl1e JJerso11al 11eeds a11d social JJroblems bel1i11d tl1e legal co11ceJJts of crime and p1111isl11nent. Tl1e resort to co1 1str11ctive metl1ocls of treatment i11 jJreference to punitive meast1res \vl1ich was tl1e avo\vecl ai111 of a universal juve 11 i l e-c ourt 1 nove1 ne11 t, a11cl tl1e co11 ti11t1ot1s s t1b1 niss i01 1 of socia I report s by' JJ rob ati 011 offi­ cers a11d allied services have created a 11e,x, attit11 de to\x.·ards offenders ar1d exte11ded tl1 e legitima te fu11ctions of t l1e acl mi1 1istratio11 of jt1stice far be)'Ond tl1e assess111e11t of g11ilt a11d tl1e meti11g 011t of tl1e aJJpropriate se11te11ce. •

•

•

•

Tl 1e basic l egal conceptio11 of JJrobatio11 ap1Jlies to a combi11ation of two !hing�, st1s1Je11sio� of pu11isl1n1e11t a11cl perso11 al care a11d s111Jer,1isior 1 . Probatio n !s �e1tl 1er JJrotect1ve. st11Jervisio11 \Xritl 1011t tl1e JJO\xrer of tl1e la,v bel-1i1 1d it, 11or 1s 1t a mere sus1Je11 s1 011 of JJt 111isl1me11t lilce a co1 1ditio1 1al disc!·1a rg -e or a sus­ pe11ded se11te11 ce. Tl1e esse11ce of JJrobatior1 lies i1 1 tl·1e co111bi1 1atio11 or ir1 tegratio11 ?f t_l1 es� two _el en1er 1 ts. 'fl1�s _defi11i ti o11 is s11 fficie11il )' concrete to ciescribe a l eg· al 11 1st1tt1t1 01 1 \X11tl1 cl1ar_ac�er1 st1� feat11res of its o,x,,11. It is also wide e11 ougl1 to al lo": for a1n1JI� var1at1ons 111 tl 1e act11 a.l forn1 of tl1e t \x,o ele1ne1 1ts. Tl 1e sus­ fJ�nsion ?f pu111 sl1me11t 1na_)' t_al<e fJlace cl11ri1 1g t l1e sta ge of 1Jrosect1tion befor e ti_,al beg11 1s, or _after t11e f1r1d 111g· of g11ilt before se11le11ce is aiven or before a g·iven sei,tence 1s. exec11ted. l'l1e j)erso11al care a11d s111Jervisii11 1 11ay be u11der­ ta�<e_r7 by_ profes_s101:al or vol1111tar)' \xrorl<ers, b)' a service attacl·1ecl to tl1e ad­ m1111 st rat1011 Jtis�tce ?r to :x,elf,Jre _ aL1tl 1orilies, a11d 111ay be locally or ce11trall y co:itroll ��l. All ed f1111ct1ons ltl<e socia l e11quiries, !Jrob t id ar n o su io a rJe r na rv � y isi . _ ina� Jris 11e is aftei-caie be ass1 g11ed to different services or co1nbi11ed i11 the f1�11 3 s of a � ei,eral social . \vorl<er o f tl·le cot1rt . It is \v t l1 reg·ard to these dei t iled �eat ttr es tliat _fJrobat1 01 1 111 t1st be ad a1) te � d t o tl1 e traditio1 1s a1 1d a ttitu des o JJart1cu 1 ar co1111tr1 es a11cl to tl1eir Ieg·al syst ems. 1

°�

•

•

•

•

Tl,e Sf)read of probatio11 a11d the i11te11s ifica tio11 of its methods in the years 11· U.N._ �ubl., ST/SOA/SD /7 p p. t-8 (1959) Tl1 e use of pro . . . . . · · bation 1n con�1t1on� establisl1ed in Arts Etl11op1a 1s l1m1ced by t·he 194_ 195 p · c· · E· For tl1e a ppl icac1· susPcns1c) n) 1n £-c}11·oi)1a, sec ·onal o n · d of pro 1t1 ar1on con ( b · Arts. 194_205 P.C.E. ·

·�

··

-

• +

377

PENAL REFORM

wl1ich followed tl1e Second World Wa r are a remarl<able feature of prese11t-day penal ref orm. It 11as bee11 tl1e jJrinci1Jal purpo se of tl1is moveme11t to introduce and to exter1d a co11strt1ctive treatment of offe11ders outside prison walls. Tl1e increase in social services a11cl tl1e refi11e111ent of casework metl1ods facilitated st1cl1 a develo1Jment. Inter11atio11al disct1s;ion and co-operation \'v'ere inte11ded to l1e!p co11r1tries to venture tl1e step from tl1e 11eaative aim of avoiding sl1ort p rison sentences to the fJositive IJL1rpose of a co11st;t 1 ctive t reat111ent of offenders 1n tl1e open.... •

•

•

•

. Pr obatio11 tl1en sl1011lcl be defi11ed, for co1111Jarative IJLtrposes, as a co1nbi1 1_atio r1_ of �11spensio11 of JJL1r1ish111e11 t ar,cl 1Jerso11al care a11d stlfJervision. Proba­ t1011 111 tt11s se11se l·1as develo1Jed i11 E11g·la11d a11d tl,e U 1 1ited States at a tin,e \'v'l1e11 most of tl1e civil la,v co t111tries fo!l o\ved tl1e Belgia11 a11cl fre11cl1 jJreced­ e11ts of 1�88 a11cl 1891 a11cI adoJJted tl·e sttrsis, tl1e co11clitio11al or StlS/Jended se11te11ce 111 tl1e se11se tl1at a fixed seute11ce is aive11 bt1t tl1e actt1al jJrison comn1ittal is st 1 s1Je11clecl \vitl1 tl1e co11ditio11 tl1at 110 f t1 rtl1er offe11ce is co1nn1itted \--V-itl1i11 a JJrescribeci jJeriocl. Tl1e cliffere11t starti11g JJoi11ts of tl1ese t\VO Ii11es of legislation led to cliverg·e11t res11lts Tl·1e cor11111011 �la\v 1Jrocedt1 re \Vitti its interval bet\vee11 t\vo distir1ct clecisio11s - co11victio11 a11d se11tence - facilitated a sus­ fJe11sio11 of tl1e pron1ulgatior1 o-f a se11tei1ce, a11d tl1is abste11tior1 fro111 eve 11 a l1ypothetical pL111ishn1er1t stre11g·the11ecl the rehabilitative forces of 1Jrobation. Courts \Vere 11ot restricted i11 tl1e t1se of 1J·c>batior1 by statt1tor)' li111itatio11s. SLtjJer­ visio11 beca111e i11clisper1sable a,,cl tool< 111ore a11d more tl1e for111 of professio11al case\X,·ork by trai11ecl social \,;,orl<ers of tlr� COLtrt. The s11rsis, 110\xrever, 11ever lost its cl1aracter of a partic ttlar act of le11ierc)' gra11lecl to offenclers \'<'ho cleserved it in exce1Jti(> 11al circL11T1star1ces. Legislatic)r , tl1erefore, pro\riclecl gL 1 ara11tees against abuse by t111warrar1ted a1J1Jlicatio11 of this 11east1re.Statt1tory provisions restricted tl1e aclmissibility of a sL1s1Je11sio11 of a jJriso11 co1n1nitlal t o ser1tences of a Iimitecl Ie11gtl1, made a rescissio,, of tl1e st1s1Je11sio11 111a11clatory ir1 certai,1 pre­ scribecl circt1n1sta11ces, a11d exclttcled ce1tai11 groLIIJS of offenclers or t)'I Jes of offe11ces altog·etl,er fro111 tl1e be11efit of a st1s1Je11sio11 of tl1e exect1tio11 of tl1eir se11ter1ces. Tl1e fi11al remissio11 of tl1e se 1 Jte 1 1ce ot1ght to be cleservecl by blame­ less co11dt1ct. Tl1ere a/JjJearecl to be 11c roo111 for tl1e SLIIJIJOrt of tile \Veal( offe11der by tl1e friend!)' i11te�ve 11tion o_: a social :X-'orl<e�-- Perso11al c�re and st1pervisio11 had its place outside a 1Joss1ble co1111ex1011 \v1 tl1 leg� l l)lt111sl1me11t; protective Sllf)ervisio,,, liberte S!trv· eiL!ee, SclJutza1tfsicl1t \Vere ed�1c�t1011al 111easures for waywarci ancl cleli 11qt1e11t jL1veniles. T 1ere ar� close as�oc1at1011s, 011 tl,e _on� ha11d betwee11 sttSfJens ior, of tl1e act of se11 te11c1 11g, a \, 1de range of aclm1ss1bility a11d fJerso11al care a11d SLI/Jer\1isic11 ar,cl, 011 tl1e o�l1�r l1and, bet\veen suspensi on of the exect1tion of tl1e se11tence, statt1tory restr1ct1on a11d 110 super­ vision at all. 1

The spread of /Jrobatio11 i11 tl1e civil l_a _\v cou11tr!es of tl1e Eu_r opea11 con­ tinent take s tl1e for111 of adafJting· the trad1t 1 011al sttrsis to _tl1e _ 11e\v 1de�. � ec�nt tendencies i11 E11ro1Jea11 legislation sl10\x_, 1 gradtt_al loose11111g 11: t11e �t�1ct l1m1t_a­ tions of s 11s1Je11cted sente11ces, a11d tl1e_ 111a11g11rat1 on . �f a special se1 vice at tl1e dis1Josal of the cotir ts with tl1e f11nct1011 of s11perv1s1ng offenders \'v'l1ose sen­ tences are suspended .... Probation, althougl, it is very _flexibl� tl�r?ttgh_ t�,e rJossibil�ty _ of d_iffere,,t additional reqtiirements a11d tl1e h! gl1ly 1_ncl1v1d11al1st1c case\vorl... s1tuat1on be­ tween fJrobation officer arid proba tioner, 1s no JJanacea for e� ery off�nde1. or for grotip s of criminals or types of offence i11 ge11eral.Probation l1as its place,

= REiiJ,BIJ_lT ATION o L .t.\ E TliE ID

378

1 1al an d corre ctive pe of r1 ter sys d . i,te ent fer dif 11, a iii etl , e i, o t 7 1 1e 1r rn ro a 11d a JJ of treat zation iduali i11div of n1e1 r ee 1t deg· ,able 1 . Tl}' s0 1 :: re 11 s a r fo d . e · 11 · 1g es 1 c l s oc med suittible for probat io dee ers er,d ojf tlJe . tre o ? W! ,: ioi est qti n,') leacls to tl1e c 1ec.1s1ve. ds tl1o 111e ent atm ceed tl,A tre 011 !Jro s clie stu l ica log r,o n,i cri . . ,, .\., ' Tl,e 1no1e . 11se 1a 1Jo t· 1 res e11 e1 1 .ff ers d 1 ''ct , e1 1s · · ff · c 1e l t ava t1t bo · a · ila� · e o· 1 Ieci • \'v lO <J O e bl . · · 1 nore rel 1a bl e ss1 po 1es or o11 bec ch ear 1·es e nec g 1cir 1te1 se1 . ssa to ry ' cli ·oa JjJi 1 a t \x 1e 1 a 1 c 11 b le a ·. ·. · 111c 1v1 ·ct 1e g t}· l t111 1· t1a en ev r 1J of · 11 1t10 1 e off ve JJre l tia 1 r l nde c ivi �r l 1 . 5 of ii,d o 1 1g ��!1� r. traditio11al_ airn 1 a 1e n_ 0! 1Iy 01 1I:' ai1 t 1� e . is c , ig· s . fr��1 ����-t��e1: \vroiig·c loir _ 1f1ca11ce. It 1 s t 11 s1g 1g s11 1 ea 111c of 1 1 10 ra: 1de r1s co li e a i l . eI ,tI t l,otio o . . · 0 f l) ll 11 (· S 11 111 · . . .h � . 1 1 d s�IJJerv! s10 11 o f a _ a e r ca e t to s 1 e . 1d 1 of 1 le 1 1�g tt 111 n1 co leaclii,a prii,ciJJ le iii of ve ce t Jt1 ac 1 11J_ e co tirts. 1 1t pr 7e at!1 tr� 1e l t �es 11a n1i do it 1ct a 1 _ er, � fic of n probatio log 1ca l 1 esearch to f 111d \V_ays o 11n n _ cr1 of ct JJe 1 o 11t a rt 1Jo ii11 1 1 a e It is tlierefor 1 atn en f tr� m t of for 11 r�1 ctt r Ia rt1 pa 3. _\X')11ci1, for c ers l en off 1g 1 i ect sel of a11s ai,d 111e i ii tl,e Iig·J1t of ex1Jerie11ce, t l1e best �est1lts ca11 be ex1Jecteo for tl1e 111d1v1dL1a l la \v-brea l<er. •

•

•

•

for 1na 11y cri1ni11ologists 1 the a11�\ve1· to tl1ese questions lies i11 a further develOJJ1ne11t a1 1d a1J1Jro1Jriate a1Jplicatlon of statistical predictio1 1 111ethods. Botl1 i11 tl1e U11ited States a11d, 111ore receutly, in E11g la11d muc l1 progress l1as been macle i11 t l1is field of researcl·1. I-lo\x,�ver, eve11 \X1itl1 tl1e f11rtl1er fJerfectio11 of 111et l1ods a11d tecl111iq t1es1 c ri111e JJredictio11 alo11e cloes not offer a con11Jlete solu­ tio11. lt is a scie11tific device whic l1 jJ rovides a11 a11s\:ve r to tl1e first questio11 a11d deter1 ni11es t l1e risl< i11ct1rred by a 11L1n1erical qt1a1 1titative 111easureme11t based 011 objective facittal data. T l1e risl< i111 1 Jlied i11 jJL1tting an i11dividt1al offender 011 JJrobatio11 is one an1011g ot1 1er JJd 1 1ts to be co11sidered 1 a11d, i1 1 t l1ese com­ JJre l1e11sive co11sicleratio11s, it ca11 be of sotne val t1e to see as clearl)i a11cl object­ ively as JJossible t l1e dar1gers t l1at lie a l1eacl. To face st1ch a sitL1atio 11 is al\'7a)'S better _tl1a11 t_o rel)' 01 1 JJerso11al i11111itio11. ·r 1 1e JJS)rcl1ological effect on tl,e jJr_obat1� 11 officer ca 11 \vor l< in eitl1e r of t\vo \xrays. Tl1e 1Jrobatio11er \x;itl1 a bad cr1111e risk n1�)' be a c l1alle11ge to tl11: 1J robatio11 office r to n1al{e a 1Jartict1larly gr_eat effort 11 1 a11 atten11Jt to resct1� t l1e offer1der f ron1 a l ife of JJersistent cr1111e. I1:1 otl1er �ases, ''tl1 e_xct1se of t l1e 1<110\vleclge'' 1na)' te1 11J)t l1i111 to c l a111JJ � do\v11 1 11s zeal 111 a fatal 1st1c 111oocl 01 1 t l1e asst1n11Jtio11 tl1at tl1e bad ris l< is l10 1Je less and tl1e goocl risl< \xrill st 1ci:eed a11 ,I10\xr. \Xl l 1at is 11101·e im1Jorta 11t is 1 tl1�t an acct1rate _assessn�- e11� of tl1e 1:robabi lit)' of ft11·tl1er offer1ces bei11g co 111rnitted_ c �oes 11ot l�1!1g to 111d 1cate tl1e 11clividt1al offe11der's st1sce1Jtibi lity to a1 1d neecl fo i, a SJ)ec1f1c for1n of �reati:,e!-t to \x1]1icl1 l1e 111a;' res1Jo11 eve11 if l1e l1as d 11ot yet reacl1ecl t l1e e11c l of l11s cr1n1 11a l career. ft1rt l1er co 1 1side ratior1s are tl1ere ­ fore 11eces.�ary for tl1e gt1icla 11ce of t l·ose res Jo11sib le fo r t l 1e selectio1 1 of treat · 1 meii t, to friicl ati a 17s\xrc:r to t l1e second q11estio11 i.e. t l1e decisio11 as to \x7 l10 0 :,g�t t_o b�. JJ_Lit o 1 J)rob atior1 . 1� 1 1· e�e co11sider�tio11� 1 11;1y \Veil 11eed a' basis -� . \'< 111c_l1 1 5 dtffei � 11t_ fro111 t l1e acceJJtec l basis of cr i 111e 1Jredictio11 A 01 1e-sided e111 · I) 11 asIs o r1 J). red Ic. 1� 1o. 11 ca�.r1 ea s1· 1)' le�cI 1I0 a te11 · 1 re · d . fat e u 1 1C)' to a11d asse sttc ss ces s i ii te ri,,s 0 lO\'v a,i�l li i gl, 1.eco11\1 1ct1) . 11 of rc1 te s 1se al 1 o1 1e o r 1e t re to l st ric t J)t.obat·1011 �to safe r 1sl<s oiil)' . s oc 1·a1 . . . ct · ces a � JL 1 st 1 11e r1t . JJr o is a 1 0· ex } l 1ly 1 co 1111 l J Profess 11c l_ M•s _ 1g· a 11t l1oriti . · 0lttec l<, __ t l1� lead1 e 1a v l es 11, � o1 ed 1 �r ic i1 ti 11e o r JJ � ct s1 10 \v11 f1� � 1 � t1 ies o1� c 1 1111_111,l l 1· c, re er s t 1a l t t , l 1e re � r i ca 11 te n be :; a1 , 1c of . l s c� siclerab le J1 r .11 11 Jro s c1al a_ lJLt _ 1 1 ' 1l ) far11 < v : e11t vem its, 1 i1 l1ab \ o rl 1 relatio11s1 1/p T11l fifli 1\'� f?1 11 1a� � : e�1� l O 1�at �ot7 s - _e ve11 i11 tl1e f . � 1 1e or more ;: � ace , 0 of l ; fLtrtl1· er co11 -t a JIJeara , 1 0 dei t� JJrov 1de be st OJJJ Jor 1 11u tt1 tal<e11. If a]l I Jrobatiot, cas· 1 1iti ris es, ks es 1a / si: _tisfac_to_r)' OL1tcon1e, t l1e se 11te11ci11g JJ�· ac� tice of tl1e cott rts \v'Ottld 1 ,ave ; iai ed 111 a11 1111 Jorta 11t as1Ject of JJe11a l J)o licy. . . . . 1

1 . ·f

p:;.

I 'I

PENAL REFORM

379

Note 2: The Use of Conditional Release Department of Social Affairs , Parole a11d After-Care 12 Ge 1 1erally s1Jeaki1 1g, parole is clefintd as tl1e co1 1ditio11al release of a se­ lected convicted perso1 1 before con1 1Jletior of tl1e ter1n of i1 111Jriso111ne11t to \Vhicl1 l1e l1as bee 1 1 se 11te11ced. It in1plies tl1at the 1Jerso11 i11 questio11 co11ti11t1es in the ct1stocly of t�e Stat_e or its _age11t a1 1d tl1at lie 1nay be rei1 1carcerated i 11 tl1e event of __1n1sbehav1ot1r. It 1s a JJenol�gical 1neast1 re desig11ed to facilitate tl1_e t �an s1t1011 of tl 1 e offe 11 der from tl1e higl1ly co11 trolled life of tl1 e penal in­ st1tut1011 to tl,e freedo1n of commt 1 11 ity living.It is 1 1ot i 11 tended as a gestt1re of le11iency or forgiveness. U 1 1der parole, tl1ere may be 0 11ly a si11gle co11ditio11 i1111Josed, 11amely, that tl1e offe11der m _ tt_st refrai11 fror11 co1nmitt:1 1g a ne\v offer1 ce, or tl1ere 1nay also b� .- a11 d tl11s ts mo_re ust 1al - several specific conditio11s reqtriri11 g the ir1d !�1 dt1al to co1nply \V 1tl1_a �Lttnber of ohligatio1 1s or prol1 ibitio11s. Parole con­ d1t1ons l1 ave tl1e dt1al ob1ect1ves of e11 st1 ring fJublic safety a11d co11tributina to tl1e rel1 abilitation of tl1e i11dividt1al. Tl1 e tise of individt 1alizecl co11ditiors of release as \veil as tl1 e factor of selectivity for JJarole mt1st rest LtJJ0 1 1 a social stttdy. It is tl1 e basis for fJarole decisio 1 1s. Parole also implies a fJarticttlar l(i 1d of st11Jervisio1 1 i11volvi11a 0 guida 11ce a11d assista11ce wJ1icl1 sets it a1Jart fro 1 11 1)'/Jical fJolice ft1nctio11s. 0

• •

•

•

Parole is to be distingt1isl1ed fro111 fJ :·obatio11 i11 tl1at the latter is g·ranted by tl1e court as ar1 alter11ative to i 11 carceratio 1 1. Parole is also to be distinguisl1 ed from JJardo 11 , \x1!1icl1 is a11 act of forgive11 ess a11 d re1nissio1 1 of IJL111isl11nent, freeing the i11 dividt 1al from res1Jo11sibility to tl1 e State \Vitl1 res1Ject to tl1e re­ mainder of tl1is se 11 te 1 1ce. .. . . .

...Society is obliged at least to 111i11 i 111ize tl1 e im1Jact of the process of deterioration prodt1ced by im1Jriso11n1e1 1t. Tl1e conseqt1e11ces of tl1e fJrolonged in11Jriso1 1111e 11t of l1 usba11d, fatl1er a11 d/or chief supporter of a fa1nily co11stitute a11 �qually urgent problem . Sucl1 in1priso11me 11t may frustrate a11y possibility for the social ancl . moral rei!1tegration of a family faci 1 1g the danger of 1Jermane11 t breal<dow,1.S11 1ce ma11y 1mr_Jonderable factors are i11volved i11 tl1 is JJrocess, ever cotnJJletely adequate 111ater 1al support given to deJJende11ts can 011ly partially a:reviate tl1e sitttation. Parole offers an opportt111ity for tl1t practical appli�atio11 ?f rel1abilitation programmes prior to tl1e expiratio11 of se11te11ce.A 1 1y JJ_r1so11er 1s, to a gr�ater or lesser deo-ree mot1lded by rt1les a11d sta11dards \vl1 1cl1 are e11 forced e 1 tl1er by tl1e managem�nt of the penitentiar)'. or by �lie fJriso11ers tl1e�s�lves, but whicl1 prevail i11 an unnatural co11:mt11�1ty, bear111 g 011ly a �t1perf1c 1al res� n1blance to free society. Modern JJen1tent1ary systems t1sually a1 111 at confront111g 12. U.N. Pub!., ST/SOA/SD/4 pp. 1-5 (1954). Conditional release und_e!· the P C.E., �rts. 112, 20_6-2_ 15, of a cl1ar1table organ_izat_ion is combined with a period of probation usually \nde� tl1e superv1s1on t of the 1nsc1cuand ma be app 1· ed fter two thirds of the sentellce ts served and the, lnanagemen and offers grounds for the t100 i t · afe. el tha . c- che offender's beiiavior J1 as improved anyd· ch e cour _ na I reIcase I1as been · use o f concl.1t1o expectation O f continued 1·mprovemenc on probation• Tl1e , }"1car1o ' n. app t rec cor its co as ent eem agr dis to e du ed tail cur n u · in Ethiopia but beg

;

. . ;:

I

ATION IT IL B A li E R f O L A E ID E H T

380

. o11 pris e 1 tlld side wor . ot1t l wal t1e s, ir1 ain obt n tliat orins 5 : 1 rn 11o tl, \xrt rs 11e 1s0 1Jr least l1ad re at � befo 01· 11 t.now 11ot ,ot 1 d 1a ob I es t serv111111a . , . • ' . tlie f · l1 5 111e O . l11c w . l 1a y f1c gl pa er 111 1p im st nd Jo 1 s1 ct re c a · o 1Jy 01 ed. 5 uc11 e fforts ofteii liave a ion i11 posit s elf find l1ims l idua i11di\ to the t,, deci de Socie 1 to · J • 1 r1 Lt • U. fJOr1 re t e b ur f f o I 1av1o es o d mo ety vari . er wid tl1an h tnt1c a 11g 1· the fac , , se · u1 · co 11s · 011 l . · th e ct· ct· 1ng n, co11 inc u 1s1o I erv ;t1p 1t10 ole Par . 1 l1in 11s of r offe d otil . C 11 10 ll t· I t·t 5 111 . . . I 1a ewo soc cas e t h y . 1· 1 ecta esp Jttt r k . , l1ed bl1s esta 1nv ,1 bee olve 11av c ·c1, 11 · w • · 1.e1ease , 1 · · aJJP1·1cat1011 111 dailt, · JJa 1·ole, assist tlie i11dividual 11 ma 1<t11g a rea 1c 1· t IS · · · ed 1n · ; . 011 . t1t ut1 111s e t l 1e 111· t 1 to tlie R ur1 ted oca adv s ard 11d sta tr iot iav bel the life of iiistittitioi, may folio\,, failure _to oh;erve �hes� stan�ards. Tl1e pros1?ect of JJarole [also] e11cot�rag�s �l1e 1Jr1s011er to ma1nta1n max1n1um contact w1tl1 the \,rorld ot1tside tl1e 111st1tt1t1on.

°

• •

•

•

The fJrospect of {Jarole sti1nulate� t�e priso11er to de�ive 1naximt1m benefit fro111 tl1e facilities IJrovided by tl1e pr1so11 as fJreparat1on for parole. The individt1al JJriso11er may have availabl� to hi111 a variety of edt1catio11al, voca­ tio11al, religious, recreatio11al 01· otl1er se:vices to whicl1 l1e \x.rill. re�1�011d with a1Jathy or e11tl111sias1n, depe11di11g tlJJ01 111s ge11eral ot1tlook. Tl1e 1.nd1v1dual \�·ho l1as tl1e pros1Ject of parole before hin1 is more inclined to apply hi1Tiself, con­ sciot1sly or u11co11sciot1sly, to tl1e utilization of st1cl1 services. Parole offers assista11ce to tl1e i11clividual UJJ011 release from prison. l�hro11gl1 tl1e st11Jervising age11t, tl1e parolee n1ay 1·eceive both material a11d jJS)'Cl1ological assista11ce. It is 11ot t111li lely tl1at the assistance received, esJJecially tl1e advice and stlpfJOrt give11 by tl1e parole officer, may be a ke)' factor in tl1e st1ccessft1l fJost-institutio11al adjt1stn1ent of many i11dividuals. Tl1e fJOssibility of fJarole revocation acts as a deterrer1t . Tl1e merits of tl1is co11ce1Jtio11 of {Jarole are fJrese11tly i11 dispute. Althougl1 it is possible, �v�11 pr�bable, tl1at co�rcio11 1nay co11tr i bute to maki11g parole a success, since 1t 1s unltl<el}' tl1at a11y 111a11 cottld be \Vl1oll)' i11differe11t to tl1e risl{ of bei11g se11t ba�l< to J:>riso11, it is qt1estio11able \vl1ether tl1e existe11ce a11d a1JfJlicatio11 . of _ coercive 1neasures are 111 ke_eJJi11g \Vith acce1Jtecl JJri11ciples of JJarole practice. It .is a?"reed, 1. 1owev�r, _tl1at fJarole a11c after-care, as t111derstood toda do not y, pr1mar1ly derive tl1e 1 r 1m1Jorta11ce fro11 tl1e tl1reat of possible pa re\rocation. ro le • • • •

Parole offers tl1e O!J(JOrtt111ity to re-evaluate tl1e 1·0Ie tr ea in tst of itu tio 11a l 111 11� a11d tl1e rel�tive n1erits of alterriatives. Parole, al 1io oi 11 ,g · co w � rn tl, itl pa e l 1 sei vice of _1:>robat1011, l1as den1011strate:l the effica c) ' ­ of 11 tr 01 ea 1-i t 11s ti tt1 ti on al �e11t of offe11d_e�s. Tl1e5.e r1:east1res l1c\�e led _to a 111creasecl sc_etJt1c1s1n r�gard111g· tl1e 111er1ts of 11n sliift ii, em,Jliasis, includi11g o·reater relia11ce 1)riso11111e11t ai,d 6 o11 11o 11- JJ Ltn1 t 1 ve tec 11 11 1 q 11es. •

•

•

•

Qu�stions 1.

_Eva_Iuate eacl1 of tl1e follo\vi11g a s1 Jects o f tl1e P 1-·1 so11 sys tem ·111 . 1 Etl1·1 opia 1 n 1 g·11t Of 1Joss·1bI e t 11eor1es of · c1i111e causation a n d its pote11tial rehabili t tive effect: aa. Isolati!7 g 111.e11 frotn wo me11 witl1i11 tl1e fJriso11 a11d fro outs e co11tact w1tl1 w1 ves, etc. (Art. 1 Q m id Q ( 1) ). b. Poor l1011si11 g facilitie s.

-----------·-===

;;

\

PEN AL REFORi\i\ C.

cl. e. f.

g.

11. 1.

381

Tl1e lack of trai11ed staff a11d IJrog·ran1s of tl1eraJJy. Classificatio1 1 01 1 tl1e basis of s�11te11ce. Restrictio11 of freedom of mov�me11t. Pris o11 cliscipli 11e (f\rt. 111 (1) ). Priso11 regime11tation. Privileges for good co11clt1ct (Art. 111 (3) ) . Conditio11al release (JJarole) \Vitl1 a jJeriod of probatio11 (Arts. 112, 206-215).

2.

Wl1y is . the Dt 1tcl1 JJe 1 1a� syst�nJ (!JjJ. 350-351 s1,epra) co11sidered very good by pe !1 olog1sts? Does JJL1bl 1 c 01J1 111011 l1ave a sttbsta11tial effect on tl1e type of pr1so11 S)1 Ste1n tl1at a cot1 11try n1aint�ins? Ca11 jJttblic 01Jinion be 1110Ltldecl? \Vl1y l·1ave most 1Jriso11s provecl gererally so t1r1sL1ccessft1l i11 rel1abilitati1 1g offe 11ders? Wl1at cl1a 1 1ges can be 111acle i 11 treat111e11t tl1at \Viii l1ave ar1 effect 011 l1igh rates of recidivism?

3.

Wl1at are tl1e jJri111ary cl1aracterist cs of ''01Je11'' i11stitutio11s? Are st1cl1 i 11stitt1tio 1 1s compatible \vitl1 _ tl1e 11eed to protect society from criminals? _ Sl1ot1ld 011ly tl1e ?est 1Jr1so11ers bi: se 1 1t to ''ope11'' i11stitt1tio11s? Sl1ot1lcl _ fJr1so 1 1ers \Vear L1111for 1 11s? ?l1ot1ld they l1a\re thi11gs do1 1e for tl1ern or be encotrragecl to do a11d tl1 111l( for :l1emselves? I-lave "ope11'' i 1 1stitutions been successfttl i 11 rel1abilitatio11 effGrts?

4.

I-lo\xr migl1t syste 111s of pre-release \vorl< be l1el1Jful i 1 1 rel1abilitatio11? Ca 11 st1cl1 S)'Stems be gearecl to payi 11g for tl1e 1 11ajor costs of SLIIJiJOrti1 10- a fJriso 1 1er? Sl1ot1 ld jJriso11ers be asl<ed to re1Jay as best tile)' ca 1 1 tl1e jJerso�(s) wl1om tl1ey l1ad i 1 1jt1recl i 1 1 tl1e co111n1issio11 of tl1eir crin1e?

5.

Ho\v sl1ot1lcl tl1e staff of jJe11al i 1 1stitutio11s be recrt1ited a11d trai 11ed? Sl1ould tl1ere be after-care of jJriso1 1ers \X1l1en tl1e)' leave jJriso11s? What sl1ot1 lcl be gi.ve1 1 a fJriso1 1er LtjJ0 11 release fror1 priso11? Sl1ould lie fi1 1d l1is O\v11 job after release?

6.

Wl1y is fJrobatio11 co11sidered 011e cf tl1e great adva 1 1ces i1 1 pe11al 1Jractice i 11 tl1e 20th ce11tt1ry? Wll)' dicl it devEI01J l1istoricall)' \vitl1 the jt1 venile cot1rt? Does JJrobatio11 l1el1J to i11dividt1alize treat111e11t? I-Io\v sl1ot1lcl jJersons be cl1ose11 for JJrobatio1 1? Are tl1ere lin·its set t1po 11 \Vl10 ca11 be selected for probatio11 i 1 1 Etl1iopia? Shottl� l_J�·oba1io11 be preferred over JJrison sentences in all cases that offer a poss 1 b1l1ty cf success?

7.

Is conditio11al release a usefttl i1 1stitL1tion? Mt1st it be combined \vith JJrobation i11 Etl1iofJia? Wl1at t)'JJe oi conditio11s sl1ot1ld be s�t. for persons released? Ca 11 conditio11al release bt revokecl? Sl1ot 1ld co1 1d1t1onal release be conceived of primarily as a reclt1·:tio1 1 of ser1te 11ce for good bel1avior?

8.

Does a fi11e (Arts. 88-Q6) l1ave d� terrent . or �el1abilitative eff_ect? Sl1ot1ld fines be preferred to eitl1er fJrobat101 or 11n1Jr1so11ment? Do f111es l1ave a discrimi11atory effect agai11st tl1e poo:· (see Art. 94)?

•

•

Problem

This is yottr final assig11m_ent LtJJ011 c?mfJletio11 of � )'ear_ of P�nal Law. You have studied tl1e principles governing tl1e la\v w1tl1 \Vh1cl1 society

•

382

I T A N IT O IL B .A. H t R f O L A E THE lD

. it . corisiders inost sacred. Your _last job is t o try to un 'f Y i h f m at t1·e e protects that wl1tcl1 th th t m wi en ste sy e tli o g in rly de ttti t o s se se o p Ll: J) al 1t e1 am d n fu 1e tl who have vio lated it. mation whicl1 set cla Pro 11t me eat Tr w 11e a for 11 itte wr be s t 1S \ ID e c a f e r p A ir d the an law al fJen ci pre tl1e of se ses rfJo f)Lt e 1 rela tl· ­ of 1 t coi,cep ur ut ave sl1 establi you tl1at ll w 1tions ed h institt � �� e creativ � Y<? it and in al 1 o s . s r e d n e ff f o o t 11 e tm a e tr ,e tl ��; ;:�c:�n ;�i:;1 for Recommended Readings Penal Reform

ns, tio st d Na ite Fir U11 rs, fai United Na­ Af l cia So a11d c mi 11o o Ec of Department N U , ent end of atm Off Tr� . s t�e me Cri and of . n itio rver Pre the on ress . g Con s tion et: _ ns_ of Publ., A/CONf/6/1, pjJ. 23-40 ( 1955) 1(1tl1e discussion a11� res�lut1o tl,e C ongress 011 the subject of ''open penal and correct1onal 1nst1tut1 ons a11d priso11 labour). J-libbert, The Roots of Evil (1963) (an e11tertaining treatment of penal history a11d reform). Kor11 a11 d McCorl<le, Crimi12ology and Pe11ology 532-645 (1961) (the trends a11d issues i11 n1odern correctio11al treatment). Reckless, The Crime Problem 589-627 (3d ed., 1961) (recent trends in punisl1ment). Muller, Work of Rel,abilitation (Reclassering) in the Netherlands (1964) (pamphlet explai11i11g i11 l1istorical JJerspective Dutcl1 rel1 abilitative tech11iques as em­ ployed in their priso11 system). I-lopper, Tl1e Conjt1gal Visit at Mississippi State Pe11itentiary, 53 ]. Crim. L. Crini. and Pol. Sci. 340-343 (1962). Bal<er, Inmate Self-Oovern1ne11t, 55 ]. Cri1n. L. Crim. and Pol. Sci. 39-47 (1964). Ya.le Law Jourrzal, T o ward Rehabilitatio11 of Crirninals: A1Jpraisal of Statutory Treatment of Me11t�lly Disordered Recidivists, 57 Yale L. J. 1085-1113 (1948) (a plea for wider i1se of psycl1iatric techniques in tl1e treatment of recurre11t offender s). Probation and Conditio11al Release

DerJartmei,t of Social Affairs, U11ited Natior1s, Pr lres, M ea sr ob at ion Re la ari ted d �.N. PubI., ?T ISOA(SD ( 1951) (a11 excellent d i sc t1s sio 1 of probatio11 and 1 · its c ompar,Lt1ve a1Jpl1cati o11). Der) 11t of Social Affairs, Pa,·ole aJ2d After-Care 55-61, U.N. Publ., ST/SOA/ � ��: ( 1954) (1'z.b., _ tl�e S\x,1s s federal a11d ca11 to11al IJractices witl1 respect to . the pa�ole a11d af_te1 -care of offe11der s ). Uiiite atl Oll s, Europea.n Seminar on Probati l .C /l � o1 1-, � U .N S . E R P u S b T l. !T , A A / ( ) (11· b ·, fJfJ. 212-216 011 tl1e S\'<'i s s syst e 11 .1 o f sursz.s· ·). . Del) artn1ent of Soc1al Affair s. ' U111 · / A s·t ct e N a t· 1 01 1 s , P ra ct nc . ica za l R es Fi ul 12a t:; .i1 2d p ects 0'Jr Adzi lt Probat101z in Selec ted Cou11tries, U .N. Publ. ST JSOA/SD 3 (19 ). / . 54 D epartme11t of Ec o11omic and . . . : So a1 Affairs, U111ted Nat1011s, The Selection °1.1 et Offenders Jor probatz.on,' U · N· P t1bl., ST /SOA/SD/7 (1959). Newman, Sourcebook on Pro bation'. pa .'?l e an d Pardons e11ent readi11g 1naterials 011 botll (2d (exc ed., 196 4) p r O bat1011 a11d {Jaro le).

.

;a.

' I

PEN AL REFORM

383

TapJJan, Crime, ]1,1,stice, and Correction 539-584 709-750 (1960) (JJrobation and parole in tl1e U11ited States; n.b., bibliog�aphy at IJP, 751-762). Clegg, Probation and P,zrole, Principles a11d Practices (1964) (a good overview of the Ltse of JJrobatio11 a11d parole in the United States). Rttbin, The Law of Cri,ninal Correction 151-220 543-568 (1963) (a discussion of probatio11, the SL1spe11ded se11te11ce and p�role). Jol111so11, Recent Developments i11 tl1e L1w of Probation, 53 ]. Crim. L. Crim. and Pol. Sci. 194-206 (1962). SL1tl1erland a11cl Cres�ey, Principle� of Crin,_i110 /ogy 421-444, 566-589, 590-6�4 (1960) (treatme11t of cr1111e preve11t1011, probatio11 a11d IJarole together \v1tl1 sug­ gested reaclings). Reckless, Tl?e Cri,ne .Problen1 429-452, 480-5 l 1, 531-561 (3d ed., 196 I) (a discus­ sio11 of crime co11trol and 1Jreve11tic11, probatio11 a11d IJarole). Pa11 tor,, Use of tl1e MM PI as a11 I 11dex to Successful Parole, 53 ]. Crim. L. Crini. and Pol. Sci. 484-488 (1962) (evaluatio11 of a recently develOfJed fJre­ dictive device for deter111ining st1ita ·Jility for parole). Ort1nl1ut, Probatio,i a11d .ivlerital Treatme12t ( I 963). Berger, Le Syste,ne de Probatiori Ang Lais et le Sursis Co11tine11tal (1953) (a thesis for tl1e Doctor of La\XIS degree at tl1e U 1iversity of Geneva comparing the sys­ tem of probatio11 ,vitl1 tl1at of s11,rsis:. Ton1l<i11s, Probation Si11ce 1fl'orld lfl'ar II: . 4 B£bliograplry (1964) (a bibliography of American a11d foreig11 materials available 011 probation).

''

.,

'

'

.. . ..

.

•

,

,

,

I