Reform of the Federal Criminal Laws

(1) one is aware that one is engaging in such conduct, that such circumstance exists, or that such result [is substantially certain to occur]; or

(2) [one has a belief unaccompanied by substantial doubt that such circumstance exists or that such result [is substantially certain to occur]]. (d) One's state of mind is reckless with respect to a circumstance or a 6 result if

(1) one is aware of a risk that such circumstance exists or such result will occur;

(2) the risk is of such a nature and degree that to disregard that risk constitutes a gross deviation from the standard of care that a reasonable person would exercise in such a situation; and

(3) one disregards such risk.

(e) One's state of mind is negligent with respect to a circumstance or a result if

(1) one ought to be aware of a risk that such circumstance exists or such result will occur; and

(2) the risk is of such a nature and degree that to fail to perceive that risk constitutes a gross deviation from the standard of care that a reasonable person would exercise in such a situation.

20 §302. State of mind requirement for offenses described in this

(a) The state of mind required for conduct in a provision defining an offense in this title is knowing, unless that provision provides otherwise.

(b) Except as otherwise set forth in the provision defining the offense, the state 25 of mind required for an offense defined in this title as to circumstances or results 26 is the same as the state of mind required for the conduct.

(c) As used in this section, the term "provision defining an offense" includes 28 any provision setting forth the punishment of the offense, but does not include 29 any provision describing Federal jurisdiction for the offense, or a bar, defense, or 30 affirmative defense to a prosecution for the offense.

(d) Except as otherwise provided by law, no state of mind is required to be 32 proved with respect to any matter in a prosecution for an offense.

33 §303. Satisfaction of state of mind requirement by proof of other state of mind

A requirement of proof of a state of mind that is designated by a higher number in the following list is satisfied by proof of a state of mind that is desig

CHAPTER 5-COMPLICITY

Sec.

501. Accomplices.

502. Liability of organizations for conduct of agents.

503. Liability of agents for conduct of an organization.

504. Certain defenses precluded.

[505. Bar to prosecution.]

2 8501. Accomplices

(a) A defendant may be convicted of an offense based on the conduct of another person if

(1) with intent that the offense be committed, the defendant knowing

(A) commands, induces, procures, or aids the other person to commit that offense; or

(B) having a legal duty as a law enforcement officer to prevent the offense, fails to take reasonable steps to do so;

(2) acting with the states of mind required for the offense, the defendant knowingly causes that other person to engage in conduct that would be sufficient for conviction of the other person for the offense if the other person had the states of mind required for the offense.

(b) A defendant is not liable under this section for the conduct of another 16 person if

(1) the defendant is a victim of the offense; or

(2) the offense is so defined that the defendant's conduct is inevitably incident to the commission of the offense.

(c) The requirement by this section of a specific intent that the offense be 21 committed does not include a requirement that one have any state of mind as to

22 whether the objective of the intent is prohibited by law.

23 $502. Liability of organizations for conduct of agents

Except as otherwise [expressly] provided by law, an organization is criminally 25 liable for [an offense] [based on] [conduct] of another person if that conduct— (A) is conduct of the organization's agent, and such conduct—

(1) occurs in the performance of matters within the scope of the agent's employment, or within the scope of the agent's [actual, implied, or apparent] authority, and is intended by the agent to benefit the organization; or

(2) is thereafter ratified or adopted by the organization; or (B) involves a failure by the organization or the organization's agent to discharge a specific duty of conduct imposed on the organization by law. 34 §503. Liability of an agent for conduct of an organization

Except as otherwise [expressly] provided by law, a person is criminally liable 36 for an offense based on the conduct such person engages in or causes in the name 37 of an organization or on an organization's behalf to the same extent as if such

1 person engaged in or caused the conduct in such person's own name or on such 2 person's own behalf.

3 §504. Certain defenses precluded

Except as otherwise provided by law, with respect to any prosecution in which the liability of the defendant is based upon the conduct of another person, it is not a defense that—

(1) the defendant does not belong to the class of persons who, because of their official status or other capacity or characteristic, are by definition of the offense the only persons capable of directly committing the offense;

(2) the person for whose conduct the defendant is being held liable has been acquitted, has not been prosecuted or convicted, has been convicted of a different offense, is immune from prosecution, or is otherwise not subject to prosecution.

15 [§505. Bar to prosecution

[Existence of bar if accomplice's acquittal is based on the grounds of insuffi17 cient evidence.]

(a) Unless otherwise specified by an Act of Congress, the existence of a bar to 22 prosecution described by an Act of Congress does not affect any other bar not so 23 described.

(b) The existence of a bar to prosecution is a question of law. 25 §702. Immaturity

(a) Except as provided in subsection (b) of this section, it is a bar to a prosecu27 tion for an offense that at the time of the conduct required for the offense, the 28 individual who is the defendant had not yet attained the age of 18 years.

(b)(1) If the defendant at the time of the conduct required for the offense had 30 attained the age of 16 years, the bar specified in subsection (a) of this section 31 shall not apply if the court, upon motion of the Attorney General, determines 32 under section 6102 of this title that such nonapplicability is in the interest of 33 justice.

[(2) If the offense is [a violation of section 2301 of this title (relating to

2 murder)], the bar specified in subsection (a) of this section shall not apply if the

court determines under section 6102 of this title upon motion of the Attorney

4 General that such nonapplicability is in the interest of justice.]

(3) A request to be tried as an adult which the defendant makes in writing

6 after advice of counsel constitutes a waiver of this bar to prosecution.

7 $703. Former prosecution under Federal law

(a) This section applies to prosecutions and former prosecutions under any Act

9 of Congress and the criminal laws of the District of Columbia, the Common

10 wealth of Puerto Rico, and the territories and possessions of the United States.

(b) A prosecution is barred by a former prosecution of the defendant if both 12 such prosecutions are based upon the same facts, and if the former prosecution(1) resulted in an acquittal by a finding of not guilty or a determination that there was insufficient evidence to warrant a conviction (and, for the purposes of this paragraph, a finding of guilty of an included offense is an acquittal of the inclusive offense, although the conviction is subsequently set aside);

(2) was terminated by a final order or judgment for the defendant, which has not been set aside, reversed, or vacated, and which necessarily re

quired a determination inconsistent with a fact or a legal proposition that must be established for conviction of the offense;

(3) resulted in a conviction which has not been reversed or vacated, or a verdict or plea of guilty which has not been set aside and which is capable of supporting a judgment; or

[(4) was terminated after the jury was impaneled and sworn or, in the case of a trial by the court, after the first witness was sworn, unless

[(A) the defendant consented to the termination or waived, by motion to dismiss or otherwise, the defendant's right to object to the termination; or

[(B) if the prosecution did not bring about the circumstance with the intent to terminate the trial—

[(i) it was physically impossible to proceed with the trial in conformity with law;

[(ii) there was a legal defect in the proceedings which would make any judgment entered upon a verdict reversible as a matter of law;

[(iii) prejudicial conduct, in or outside the courtroom, made it impossible to proceed with the trial without injustice to either the defendant or the Government;

[(iv) the jury was unable to agree upon a verdict; or

[(v) false statements of a juror on voir dire prevented a fair trial.]

(c) A prosecution is barred by a former prosecution of the defendant although such prosecution is based on facts different from those in the former prosecution,

if the former prosecution

(1) resulted in an acquittal or in a determination described in subsection (b)(1) of this section or in a conviction described in subsection (b)(3) of this section [or was a barring termination under subsection (b)(4) of this section] and the subsequent prosecution is for any offense for which the defendant should under section 708(b) of this title have been tried in the first prosecution, unless the court ordered a separate trial of the charge of such offense; or

(2) was terminated by an acquittal or by a final order or judgment for the defendant which has not been set aside, reversed, or vacated and which necessarily required a determination inconsistent with a fact or a legal proposition which must be established for conviction of the offense of which the defendant is subsequently prosecuted.

16 $704. Former prosecution in another jurisdiction

(a) Unless the court determines, upon motion of the Attorney General, that the 18 interests of the United States would be unduly harmed if the Federal prosecution

19 is barred, when conduct constitutes a Federal offense and an offense under the law of a State or local government, a prosecution by the State or local government is a bar to a subsequent Federal prosecution if—

(1) the first prosecution resulted in an acquittal or a determination described in section 703(b)(1) of this title or in a conviction described in section 703(b)(3) of this title [or was a barring termination under section 703(b)(4) of this title] and the subsequent prosecution is based on the same conduct or arose from the same criminal episode, unless

(A) the law defining the offense of which the defendant was formerly convicted or acquitted is intended to prevent a substantially different harm or evil from the law defining the offense for which he is subsequently prosecuted; or

(b) As used in this section, the term "State or local" means of or pertaining to

§ 705. Invalid or fraudulently procured former prosecution

a State of the United States or any political unit within such State.

A former prosecution is not a bar under section 703 or 704 of this title if such

39 prosecution

(1) was before a court which lacked jurisdiction over the defendant or the offense;

(B) the second offense was not consummated when the first trial began; or

(2) the first prosecution resulted in a termination described in section 703(c)(2) of this title.

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Reform of the Federal Criminal Laws: Hearings, Ninety-second Congress, First ...