United States v. Clarence Stallworth and Johnny Sellers
543 F.2d 1038 (1976)
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Rule of Law:
A criminal attempt requires the intent to commit a crime and conduct that constitutes a substantial step toward the commission of that crime. A substantial step is conduct that is strongly corroborative of the firmness of the defendant's criminal intent.
Facts:
- Rodney Campbell, a convicted bank robber, agreed to cooperate with the F.B.I. as an informant and was provided a vehicle with monitoring equipment.
- Campbell reestablished contact with Larry Peterson, Willie Young, and appellant Johnny Sellers, and the group reconnoitered several banks in Queens, New York.
- The group began preparations by stealing ski masks and surgical gloves, and Peterson acquired a hacksaw and nails to modify a shotgun.
- The group finalized their plan to rob a specific First National City Bank branch, with Young entering the bank to scout its layout.
- The group recruited appellant Clarence Stallworth to be the getaway driver.
- On the morning of the planned robbery, Stallworth joined the group, providing a .38 caliber revolver, while Peterson provided a sawed-off shotgun.
- En route to the bank, the men donned ski masks and surgical gloves and placed gasoline-soaked newspapers in the car to facilitate its destruction after the robbery.
- Upon arriving at the bank's parking lot, Stallworth drove the car to the front of the bank while Sellers, on foot, approached the entrance. Just as an accomplice said, 'let’s go,' F.B.I. agents arrested the men.
Procedural Posture:
- Johnny Sellers and Clarence Stallworth were indicted in federal district court for attempted bank robbery and placing lives in jeopardy during an attempted bank robbery.
- Their co-conspirators, Young and Peterson, pleaded guilty prior to trial.
- At the close of the government's case at trial, the court dismissed the count of placing lives in jeopardy.
- A jury in the trial court convicted Sellers and Stallworth on the remaining count of attempted bank robbery.
- Sellers and Stallworth, as appellants, appealed their convictions to the U.S. Court of Appeals for the Second Circuit.
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Issue:
Does conduct constitute an attempted bank robbery when the defendants have acquired weapons and disguises, reconnoitered the target bank, driven to the scene, and are positioned to enter, but have not yet entered the bank or brandished their weapons?
Opinions:
Majority - Irving R. Kaufman
Yes, the defendants' conduct constituted an attempted bank robbery. The court adopts the two-tiered inquiry for attempt, which requires: (1) the defendant must have been acting with the culpability required for the commission of the crime, and (2) the defendant must have engaged in conduct which constitutes a substantial step toward the commission of the crime. A substantial step is one that is strongly corroborative of the defendant's criminal intent. Here, the defendants' intent to rob the bank was undisputed. Their actions—reconnoitering the bank, stealing masks, arming themselves, preparing the getaway car, and moving into position at the bank—were substantial steps that strongly corroborated their criminal purpose. These acts went far beyond mere preparation, and all that stood between them and the completion of the robbery was the intervention of law enforcement.
Analysis:
This decision formally adopts the 'substantial step' test for attempt from the Model Penal Code within the Second Circuit, moving away from older, more rigid standards like the 'dangerous proximity' test. This shift provides a more flexible standard that focuses on the defendant's manifested intent rather than their physical closeness to completing the crime. By doing so, it clarifies the line between preparation and attempt and reinforces the policy of allowing law enforcement to intervene before a crime is consummated and innocent people are endangered. The case establishes a clear precedent that a series of preparatory acts, taken together, can constitute a substantial step even if the final, irreversible act has not yet occurred.
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