9 IX. Expanded & Group Liability 9 IX. Expanded & Group Liability
9.1 Attempt 9.1 Attempt
Attempt, an “inchoate” offense, lies somewhere between merely thinking about committing a crime and successfully completing it. How far should someone have to go before his actions are criminal? On the other end of the spectrum, if someone fully intends and attempts to commit a crime—say, fires a bullet intending to kill a person—why should he punished less because he missed, or because he grievously injured but did not kill the target? Why does the law take into account the actual result at all, if the act and the mens rea are the elements that establish individual blameworthiness? The cases in this section consider the level of mens rea and actus reus needed for an attempted crime. Consider how the court adjusts these requirements in attempt cases to balance a broad variety of social aims, such as punishing blameworthiness; deterrence; creating incentives for abandonment; minimizing the arbitrariness of criminal punishment; and giving potential criminals the opportunity to change their minds.
9.1.1 Smallwood v. State 9.1.1 Smallwood v. State
Dwight Ralph SMALLWOOD
v.
STATE of Maryland.
Court of Appeals of Maryland.
[513] Julia Doyle Berhardt, Asst. Public Defender (Stephen E. Harris, Public Defender, on brief), Baltimore, for Petitioner.
Mary Ellen Barbera, Asst. Atty. Gen. (J. Joseph Curran, Jr., Atty. Gen., on brief), Baltimore, for Respondent.
Argued before MURPHY, C.J., and ELDRIDGE, RODOWSKY, CHASANOW, KARWACKI, BELL and RAKER, JJ.
MURPHY, Chief Judge.
In this case, we examine the use of circumstantial evidence to infer that a defendant possessed the intent to kill needed for a conviction of attempted murder or assault with intent to murder. We conclude that such an inference is not supportable under the facts of this case.
I
A
On August 29, 1991, Dwight Ralph Smallwood was diagnosed as being infected with the Human Immunodeficiency Virus (HIV). According to medical records from the Prince George's County Detention Center, he had been informed of his HIV-positive status by September 25, 1991. In February 1992, a social worker made Smallwood aware of the necessity of practicing "safe sex" in order to avoid transmitting the virus to his sexual partners, and in July 1993, Smallwood told health care providers at Children's Hospital that he had only one sexual partner and that they always used condoms. Smallwood again tested positive for HIV in February and March of 1994.
On September 26, 1993, Smallwood and an accomplice robbed a woman at gunpoint, and forced her into a grove of trees where each man alternately placed a gun to her head while the other one raped her. On September 28, 1993, Smallwood and an accomplice robbed a second woman at gunpoint and took her to a secluded location, where Smallwood inserted his penis into her with "slight penetration." On September 30, 1993, Smallwood and an accomplice robbed yet a third woman, also at gunpoint, and took her to a local school where she was forced to perform oral sex on Smallwood and was raped by him. In each of these episodes, Smallwood threatened to kill his victims if they did not cooperate or to return and shoot them if they reported his crimes. Smallwood did not wear a condom during any of these criminal episodes.
Based upon his attack on September 28, 1993, Smallwood was charged with, among other crimes, attempted first-degree rape, robbery with a deadly weapon, assault with intent to murder, and reckless endangerment. In separate indictments, Smallwood was also charged with the attempted seconddegree murder of each of his three victims. On October 11, 1994, Smallwood pled guilty in the Circuit Court for Prince George's County to attempted first-degree rape and robbery with a deadly weapon.[1] The circuit [514] court (Nichols, J.) also convicted Smallwood of assault with intent to murder and reckless endangerment based upon his September 28, 1993 attack, and convicted Smallwood of all three counts of attempted second-degree murder.
Following his conviction, Smallwood was sentenced to concurrent sentences of life imprisonment for attempted rape, twenty years imprisonment for robbery with a deadly weapon, thirty years imprisonment for assault with intent to murder, and five years imprisonment for reckless endangerment. The circuit court also imposed a concurrent thirty-year sentence for each of the three counts of attempted second-degree murder. The circuit court's judgments were affirmed in part and reversed in part by the Court of Special Appeals. In Smallwood v. State, 106 Md.App. 1, 661 A.2d 747 (1995), the intermediate appellate court found that the evidence was sufficient for the trial court to conclude that Smallwood intended to kill his victims and upheld all of his convictions.[2] Upon Smallwood's petition, we granted certiorari to consider whether the trial court could properly conclude that Smallwood possessed the requisite intent to support his convictions of attempted second-degree murder and assault with intent to murder.
B
Smallwood asserts that the trial court lacked sufficient evidence to support its conclusion that Smallwood intended to kill his three victims. Smallwood argues that the fact that he engaged in unprotected sexual intercourse, even though he knew that he carried HIV, is insufficient to infer an intent to kill. The most that can reasonably be inferred, Smallwood contends, is that he is guilty of recklessly endangering his victims by exposing them to the risk that they would become infected themselves. The State disagrees, arguing that the facts of this case are sufficient to infer an intent to kill. The State likens Smallwood's HIV-positive status to a deadly weapon and argues that engaging in unprotected sex when one is knowingly infected with HIV is equivalent to firing a loaded firearm at that person.[3]
II
A
In Faya v. Almaraz, 329 Md. 435, 438-440, 620 A.2d 327 (1993), we discussed HIV and the Acquired Immune Deficiency Syndrome (AIDS) in detail. There, we described HIV as a retrovirus that attacks the human immune system, weakening it, and ultimately destroying the body's capacity to ward off disease. We also noted that
[t]he virus may reside latently in the body for periods as long as ten years or more, during which time the infected person will manifest no symptoms of illness and function normally. HIV typically spreads via genital fluids or blood transmitted from one person to another through sexual contact, the sharing of needles in intravenous drug use, blood transfusions, infiltration into wounds, or from mother to child during pregnancy or birth.
Id. at 439, 620 A.2d 327. In Faya, we also described AIDS and its relationship to HIV:
AIDS, in turn, is the condition that eventually results from an immune system gravely impaired by HIV. Medical studies have indicated that most people who carry the virus will progress to AIDS. AIDS patients by definition are profoundly immunocompromised; that is, they are prone to any [515] number of diseases and opportunistic infections that a person with a healthy immune system might otherwise resist. AIDS is thus the acute clinical phase of immune dysfunction.... AIDS is invariably fatal.
Id. at 439-40, 620 A.2d 327. In this case, we must determine what legal inferences may be drawn when an individual infected with the HIV virus knowingly exposes another to the risk of HIV-infection, and the resulting risk of death by AIDS.
B
As we have previously stated, "[t]he required intent in the crimes of assault with intent to murder and attempted murder is the specific intent to murder, i.e., the specific intent to kill under circumstances that would not legally justify or excuse the killing or mitigate it to manslaughter." State v. Earp, 319 Md. 156, 167, 571 A.2d 1227 (1990). See also State v. Jenkins, 307 Md. 501, 515, 515 A.2d 465 (1986) ("[T]he intent element of assault with intent to murder requires proof of a specific intent to kill under circumstances such that if the victim had died, the offense would be murder."); Franklin v. State, 319 Md. 116, 126, 571 A.2d 1208 (1990). Smallwood has not argued that his actions were performed under mitigating circumstances or that he was legally justified in attacking the three women. He was properly found guilty of attempted murder and assault with intent to murder only if there was sufficient evidence from which the trier of fact could reasonably have concluded that Smallwood possessed a specific intent to kill at the time he assaulted each of the three women.
To evaluate the sufficiency of the evidence in a non-jury trial, we must review the case on both the law and the evidence. Wilson v. State, 319 Md. 530, 535, 573 A.2d 831 (1990); West v. State, 312 Md. 197, 207, 539 A.2d 231 (1988). In making this inquiry, we will not set aside the trial court's findings of fact unless they are clearly erroneous. Wilson, supra, 319 Md. at 535, 573 A.2d 831; Maryland Rule 8-131(c). We must determine "whether the evidence shows directly or supports a rational inference of the facts to be proved, from which the trier of fact could fairly be convinced beyond a reasonable doubt of the defendant's guilt of the offense charged." Wilson, supra, 319 Md. at 535-36, 573 A.2d 831.
An intent to kill may be proved by circumstantial evidence. "[S]ince intent is subjective and, without the cooperation of the accused, cannot be directly and objectively proven, its presence must be shown by established facts which permit a proper inference of its existence." Earp, supra, 319 Md. at 167, 571 A.2d 1227 (quoting Davis v. State, 204 Md. 44, 51, 102 A.2d 816 (1954)). Therefore, the trier of fact may infer the existence of the required intent from surrounding circumstances such as "the accused's acts, conduct and words." State v. Raines, 326 Md. 582, 591, 606 A.2d 265 (1992); Earp, supra, 319 Md. at 167, 571 A.2d 1227. As we have repeatedly stated, "under the proper circumstances, an intent to kill may be inferred from the use of a deadly weapon directed at a vital part of the human body." Raines, supra, 326 Md. at 591, 606 A.2d 265; Jenkins, supra, 307 Md. at 513, 515 A.2d 465 ("Numerous cases make it clear that evidence showing a design to commit grievous bodily injury, such as using a deadly weapon directed at a vital part of the body, is sufficient because it gives rise to an evidentiary inference of an intent to murder.") (emphasis in original).
In Raines, supra, we upheld the use of such an inference. In that case, Raines and a friend were traveling on a highway when the defendant fired a pistol into the driver's side window of a tractor trailer in an adjacent lane. Raines, supra, 326 Md. at 586-87, 606 A.2d 265. The shot killed the driver of the tractor trailer, and Raines was convicted of first degree murder. Id. The evidence in the case showed that Raines shot at the driver's window of the truck, knowing that the truck driver was immediately behind the window. Id. at 592, 606 A.2d 265. We concluded that "Raines's actions in directing the gun at the window, and therefore at the driver's head on the other side of the window, permitted an inference that Raines shot the gun with the intent to kill." Id. at 592-93, 606 A.2d 265.
[516] The State argues that our analysis in Raines rested upon two elements: (1) Raines knew that his weapon was deadly, and (2) Raines knew that he was firing it at someone's head. The State argues that Smallwood similarly knew that HIV infection ultimately leads to death, and that he knew that he would be exposing his victims to the risk of HIV transmission by engaging in unprotected sex with them. Therefore, the State argues, a permissible inference can be drawn that Smallwood intended to kill each of his three victims. The State's analysis, however, ignores several factors.
C
First, we must consider the magnitude of the risk to which the victim is knowingly exposed. The inference drawn in Raines, supra, rests upon the rule that "[i]t is permissible to infer that `one intends the natural and probable consequences of his act.'" Ford v. State, 330 Md. 682, 704, 625 A.2d 984 (1993) (quoting Davis v. State, 204 Md. 44, 51, 102 A.2d 816 (1954)). Before an intent to kill may be inferred based solely upon the defendant's exposure of a victim to a risk of death, it must be shown that the victim's death would have been a natural and probable result of the defendant's conduct. It is for this reason that a trier of fact may infer that a defendant possessed an intent to kill when firing a deadly weapon at a vital part of the human body. Raines, supra, 326 Md. at 591, 606 A.2d 265; Jenkins, supra, 307 Md. at 513, 515 A.2d 465. When a deadly weapon has been fired at a vital part of a victim's body, the risk of killing the victim is so high that it becomes reasonable to assume that the defendant intended the victim to die as a natural and probable consequence of the defendant's actions.
Death by AIDS is clearly one natural possible consequence of exposing someone to a risk of HIV infection, even on a single occasion. It is less clear that death by AIDS from that single exposure is a sufficiently probable result to provide the sole support for an inference that the person causing the exposure intended to kill the person who was exposed. While the risk to which Smallwood exposed his victims when he forced them to engage in unprotected sexual activity must not be minimized, the State has presented no evidence from which it can reasonably be concluded that death by AIDS is a probable result of Smallwood's actions to the same extent that death is the probable result of firing a deadly weapon at a vital part of someone's body. Without such evidence, it cannot fairly be concluded that death by AIDS was sufficiently probable to support an inference that Smallwood intended to kill his victims in the absence of other evidence indicative of an intent to kill.
D
In this case, we find no additional evidence from which to infer an intent to kill. Smallwood's actions are wholly explained by an intent to commit rape and armed robbery, the crimes for which he has already pled guilty. For this reason, his actions fail to provide evidence that he also had an intent to kill. As one commentator noted, in discussing a criminal case involving similar circumstances, "[b]ecause virus transmission occurs simultaneously with the act of rape, that act alone would not provide evidence of intent to transmit the virus. Some additional evidence, such as an explicit statement, would be necessary to demonstrate the actor's specific intent." Note, Criminal Liability for Transmission of AIDS: Some Evidentiary Problems, 10 Crim. Just. J. 69, 78 (1994). Smallwood's knowledge of his HIV-infected status provides the only evidence in this case supporting a conclusion that he intended anything beyond the rapes and robberies for which he has been convicted.
The cases cited by the State demonstrate the sort of additional evidence needed to support an inference that Smallwood intended to kill his victims. The defendants in these cases have either made explicit statements demonstrating an intent to infect their victims or have taken specific actions demonstrating such an intent and tending to exclude other possible intents. In State v. Hinkhouse, 139 Or.App. 446, 912 P.2d 921 (1996), for example, the defendant engaged in unprotected sex with a number of women while knowing that he was HIV positive. The defendant had also actively concealed his [517] HIV-positive status from these women, had lied to several of them by stating that he was not HIV-positive, and had refused the women's requests that he wear condoms. Id. 912 P.2d at 923-24. There was also evidence that he had told at least one of his sexual partners that "if he were [HIV-]positive, he would spread the virus to other people." Id. at 924. The Oregon Court of Appeals found this evidence to be sufficient to demonstrate an intent to kill, and upheld the defendant's convictions for attempted murder.
In State v. Caine, 652 So.2d 611 (La.App.), cert. denied, 661 So.2d 1358 (La.1995), a conviction for attempted second degree murder was upheld where the defendant had jabbed a used syringe into a victim's arm while shouting "I'll give you AIDS." Id. at 616. The defendant in Weeks v. State, 834 S.W.2d 559 (Tex.App.1992), made similar statements, and was convicted of attempted murder after he spat on a prison guard. In that case, the defendant knew that he was HIV-positive, and the appellate court found that "the record reflects that [Weeks] thought he could kill the guard by spitting his HIV-infected saliva at him." Id. at 562. There was also evidence that at the time of the spitting incident, Weeks had stated that he was "going to take someone with him when he went,' that he was `medical now,' and that he was `HIV-4.'"
The evidence in State v. Haines, 545 N.E.2d 834 (Ind.App.1989), contained both statements by the defendant demonstrating intent and actions solely explainable as attempts to spread HIV. There, the defendant's convictions for attempted murder were upheld where the defendant slashed his wrists and sprayed blood from them on a police officer and two paramedics, splashing blood in their faces and eyes. Id. at 835. Haines attempted to scratch and bite them and attempted to force blood-soaked objects into their faces. During this altercation, the defendant told the officer that he should be left to die because he had AIDS, that he wanted to "give it to him," and that he would "use his wounds" to spray the officer with blood. Id. Haines also "repeatedly yelled that he had AIDS, that he could not deal with it and that he was going to make [the officer] deal with it." Id.
Scroggins v. State, 198 Ga.App. 29, 401 S.E.2d 13, 15 (1990), presents a similar scenario, where the defendant made noises with his mouth as if bringing up spittle and then bit a police officer hard enough to break the skin. Immediately after this incident he informed a nurse that he was HIV-positive and laughed when the police officer asked him if he had AIDS. Id. The Georgia Court of Appeals found that evidence showing that the defendant "sucked up excess sputum" before biting the officer was "evidence of a deliberate, thinking act" and that in conjunction with the defendant's laughter when asked about AIDS, it provided sufficient evidence of intent to support Scroggins's conviction for assault with intent to kill.[4] Id., 401 S.E.2d at 18.
[518] In contrast with these cases, the State in this case would allow the trier of fact to infer an intent to kill based solely upon the fact that Smallwood exposed his victims to the risk that they might contract HIV. Without evidence showing that such a result is sufficiently probable to support this inference, we conclude that Smallwood's convictions for attempted murder and assault with intent to murder must be reversed.
JUDGMENTS FOR ATTEMPTED MURDER IN THE SECOND DEGREE AND ASSAULT WITH INTENT TO MURDER REVERSED; COSTS TO BE PAID BY THE RESPONDENT.
[1] In two additional indictments, Smallwood was charged with the rape and robbery of the two women who were attacked on September 26 and September 30. Smallwood pled guilty to attempted first-degree rape and robbery with a deadly weapon in those cases as well, and the judgments entered pursuant to those pleas are not before us on this appeal.
[2] The Court of Special Appeals concluded, however, that Smallwood's conviction for assault with intent to murder should merge into the conviction for attempted second-degree murder based upon the same event. Because we find that the evidence was insufficient to convict Smallwood of either of these two crimes, however, the issue of merger has become moot.
[3] Smallwood also argues that the legislature preempted the crimes of assault with intent to murder and attempted murder with respect to transmission of HIV when it enacted Maryland Code (1982, 1994 Repl.Vol.) §§ 18-601.1 of the Health General Article, which makes it a criminal offense to knowingly transfer or attempt to transfer HIV to another individual and sets a maximum sentence of three years imprisonment. For this proposition, Smallwood relies on State v. Gibson, 254 Md. 399, 254 A.2d 691 (1969). Because we reverse Smallwood's convictions of attempted murder and assault with intent to murder on other grounds, it is unnecessary to address this argument.
[4] The last two cases cited by the state involved inferences that are markedly different from the one at issue here. In Commonwealth v. Brown, 413 Pa.Super. 421, 605 A.2d 429 (1992), the defendant was convicted of aggravated assault after throwing a cup of his fecal matter into the face and mouth of a prison guard. Id. 605 A.2d at 431. The defendant had been diagnosed as carrying HIV and Hepatitis B and had been informed by them of the means by which these two viruses may be transmitted. Id. The inmate testified that he intended to punish the prison guard for "messing with [his] mail." Id. The Pennsylvania Superior Court found this evidence to be sufficient to demonstrate an intent to cause serious bodily injury. Id. Although this issue was not discussed by the Pennsylvania court, Brown also dealt with the possible transmission of two distinct viruses, Hepatitis B and HIV, and therefore with a correspondingly higher probability that the defendant's actions would cause the victim to become infected with at least one of them. An increased probability of infection would strengthen the inferences that could be drawn from the defendant's knowingly exposing his victim to the risk of infection.
The state also cites State v. Stark, 66 Wash.App. 423, 832 P.2d 109 (1992). There, Stark was convicted of second degree assault for engaging in sex without a condom after being informed that he was HIV-positive, and after a cease and desist order had been obtained ordering him not to engage in unprotected sexual activity. In that case, however, the issue of intent was whether the defendant had intentionally exposed his sexual partners to HIV, not whether Stark intended to kill them.
We have no trouble concluding that Smallwood intentionally exposed his victims to the risk of HIV-infection. The problem before us, however, is whether knowingly exposing someone to a risk of HIV-infection is by itself sufficient to infer that Smallwood possessed an intent to kill. In this inquiry, Stark is not helpful.
9.1.2 McQuirter v. State 9.1.2 McQuirter v. State
McQUIRTER
v.
STATE.
Court of Appeals of Alabama.
Windell C. Owens, Monroeville, for appellant.
Si Garrett, Atty. Gen., and Maury D. Smith, Asst. Atty. Gen., for the State.
PRICE, Judge.
Appellant, a Negro man, was found guilty of an attempt to commit an assault with intent to rape, under an indictment charging an assault with intent to rape. The jury assessed a fine of $500.
[389] About 8:00 o'clock on the night of June 29, 1951, Mrs. Ted Allen, a white woman, with her two children and a neighbor's little girl, were drinking Coca-Cola at the "Tiny Diner" in Atmore. When they started in the direction of Mrs. Allen's home she noticed appellant sitting in the cab of a parked truck. As she passed the truck appellant said something unintelligible, opened the truck door and placed his foot on the running board.
Mrs. Allen testified appellant followed her down the street and when she reached Suell Lufkin's house she stopped. As she turned into the Lufkin house appellant was within two or three feet of her. She waited ten minutes for appellant to pass. When she proceeded on her way, appellant came toward her from behind a telephone pole. She told the children to run to Mr. Simmons' house and tell him to come and meet her. When appellant saw Mr. Simmons he turned and went back down the street to the intersection and leaned on a stop sign just across the street from Mrs. Allen's home. Mrs. Allen watched him at the sign from Mr. Simmons' porch for about thirty minutes, after which time he came back down the street and appellant went on home.
Mrs. Allen's testimony was corroborated by that of her young daughter. The daughter testified the appellant was within six feet of her mother as she approached the Lufkin house, and this witness said there was a while when she didn't see appellant at the intersection.
Mr. Lewis Simmons testified when the little girls ran up on his porch and said a Negro was after them, witness walked up the sidewalk to meet Mrs. Allen and saw appellant. Appellant went on down the street and stopped in front of Mrs. Allen's home and waited there approximately thirty minutes.
Mr. Clarence Bryars, a policeman in Atmore, testified that appellant stated after his arrest that he came to Atmore with the intention of getting him a white woman that night.
Mr. W. E. Strickland, Chief of Police of Atmore, testified that appellant stated in the Atmore jail he didn't know what was the matter with him; that he was drinking a little; that he and his partner had been to Pensacola; that his partner went to the "Front" to see a colored woman; that he didn't have any money and he sat in the truck and made up his mind he was going to get the first woman that came by and that this was the first woman that came by. He said he got out of the truck, came around the gas tank and watched the lady and when she started off he started off behind her; that he was going to carry her in the cotton patch and if she hollered he was going to kill her. He testified appellant made the same statement in the Brewton jail.
Mr. Norvelle Seals, Chief Deputy Sheriff, corroborated Mr. Strickland's testimony as to the statement by appellant at the Brewton jail.
Appellant, as a witness in his own behalf, testified he and Bill Page, another Negro, carried a load of junk-iron from Monroeville to Pensacola; on their way back to Monroeville they stopped in Atmore. They parked the truck near the "Tiny Diner" and rode to the "Front," the colored section, in a cab. Appellant came back to the truck around 8:00 o'clock and sat in the truck cab for about thirty minutes. He decided to go back to the "Front" to look for Bill Page. As he started up the street he saw prosecutrix and her children. He turned around and waited until he decided they had gone, then he walked up the street toward the "Front." When he reached the intersection at the telegraph pole he decided he didn't want to go to the "Front" and sat around there a few minutes, then went on to the "Front" and stayed about 25 or 30 minutes, and came back to the truck.
He denied that he followed Mrs. Allen or made any gesture toward molesting her or the children. He denied making the statements testified to by the officers.
He testified he had never been arrested before and introduced testimony by two residents of Monroeville as to his good reputation for peace and quiet and for truth and veracity.
[390] Appellant insists the trial court erred in refusing the general affirmative charge and in denying the motion for a new trial on the ground the verdict was contrary to the evidence.
"`An attempt to commit an assault with intent to rape,' * * * means an attempt to rape which has not proceeded far enough to amount to an assault". Burton v. State, 8 Ala.App. 295, 62 So. 394, 396.
Under the authorities in this state, to justify a conviction for an attempt to commit an assault with intent to rape the jury must be satisfied beyond a reasonable doubt that defendant intended to have sexual intercourse with prosecutrix against her will, by force or by putting her in fear. Morris v. State, 32 Ala.App. 278, 25 So.2d 54; Burton v. State, 8 Ala.App. 295, 62 So. 394.
Intent is a question to be determined by the jury from the facts and circumstances adduced on the trial, and if there is evidence from which it may be inferred that at the time of the attempt defendant intended to gratify his lustful desires against the resistance of the female a jury question is presented. McCluskey v. State, 35 Ala.App. 456, 48 So.2d 68.
In determining the question of intention the jury may consider social conditions and customs founded upon racial differences, such as that the prosecutrix was a white woman and defendant was a Negro man. Pumphrey v. State, 156 Ala. 103, 47 So. 156; Kelly v. State, 1 Ala.App. 133, 56 So. 15.
After considering the evidence in this case we are of the opinion it was sufficient to warrant the submission of the question of defendant's guilt to the jury, and was ample to sustain the judgment of conviction.
Defense counsel contends in brief that the testimony of the officers as to defendant's declarations of intent was inadmissible because no attempt or overt act toward carrying that intent into effect had been proven.
Defendant's grounds of objection to this evidence were that it was "irrelevant, incompetent and immaterial." Proper predicates were laid for the introduction of each of said statements. In the absence of a ground of objection calling the court's attention to the fact that the corpus delicti has not been sufficiently proven to authorize admission of a confession such question cannot be reviewed here. Edgil v. State, Ala.App., 56 So.2d 677 and authorities there cited.
Moreover, if any facts are proven from which the jury may reasonably infer that the crime has been committed proof of the confession is rendered admissible. Rutland v. State, 31 Ala.App. 43, 11 So.2d 768; Ratliff v. State, 212 Ala. 410, 102 So. 621; Hill v. State, 207 Ala. 444, 93 So. 460.
We find no reversible error in the record and the judgment of the trial court is affirmed.
Affirmed.
9.1.3. Model Penal Code sec. 5.05
9.1.4. Jones v. Commonwealth
9.1.5 Jones v. Commonwealth of VA (Ct. App. Va. 2019) [Optional, through PDF p. 21, or H20 para. 39] 9.1.5 Jones v. Commonwealth of VA (Ct. App. Va. 2019) [Optional, through PDF p. 21, or H20 para. 39]
Present: Chief Judge Decker, Judges Humphreys, Petty, Beales, Alston, Huff, Chafin, O’Brien, Russell, AtLee and Malveaux
Argued at Richmond, Virginia
DUSTIN SCOTT JONES
OPINION BY
. Record No. 1764-16-2 JUDGE ROBERT J. HUMPHREYS MAY 7, 2019
COMMONWEALTH OF VIRGINIA
UPON A REHEARING EN BANC
FROM THE CIRCUIT COURT OF THE CITY OF PETERSBURG
Dennis M. Martin, Sr., Judge
Aaron M. Vandenbrook, Assistant Public Defender (Shaun R. Huband, Deputy Public Defender, on brief), for appellant.
Craig W. Stallard, Assistant Attorney General (Mark R. Herring, Attorney General, on brief), for appellee.
This appeal permits us to review and clarify our jurisprudence with respect to the quantum of evidence sufficient to constitute an attempt to commit a crime in the Commonwealth.
On June 28, 2016, appellant Dustin Scott Jones (“Jones”) was convicted by the Circuit Court of the City of Petersburg (the “circuit court”) of conspiracy to commit robbery,1 attempted robbery, and use of a firearm in the commission of attempted robbery. Jones argued on appeal that the evidence did not prove attempted robbery because the evidence did not establish that he
1 The record reflects that Jones was indicted for conspiracy to commit robbery, and although he does not contest his conviction for that offense, we also note that the final judgment order of the circuit court reflects that Jones was convicted of robbery, not conspiracy to commit robbery. Although the sentencing order reflects that he was sentenced for conspiracy to commit robbery, we will remand this case and direct the circuit court to correct any clerical errors in these orders.
performed an overt act in furtherance of the intended robbery. Jones also contended that the evidence was insufficient to sustain his conviction for use of a firearm.2 A three-judge panel of this Court agreed with Jones and reversed and dismissed both of his convictions in an unpublished opinion. On October 30, 2018, we granted the Commonwealth’s petition for a rehearing en banc.
I. BACKGROUND
At approximately 5:45 a.m. on October 6, 2015, Petersburg Police Officers Binford and Seabridge observed a white Mercedes drive into the parking lot of a housing complex that they had under observation. Officers Binford and Seabridge were in full uniform but driving in an unmarked pickup truck. The officers then observed a man exit the white Mercedes and walk across the street. A few minutes later, two other men, who were later identified as Jones and Phillip Boyce (“Boyce”), exited the white Mercedes and “adjust[ed]” their clothing for four or five minutes before starting to cross the street in the same direction that the first man had gone.
Officers Binford and Seabridge followed Jones and Boyce to an alley between two residences. They witnessed Jones and Boyce at the corner behind one of the houses, but not near the door. When Jones and Boyce saw the police officers, Jones and Boyce started to walk down the alley toward the street. Officers Binford and Seabridge subsequently exited their truck and identified themselves. At that point, Boyce stopped walking and Jones fled. Officer Seabridge witnessed Jones run in and out of a fenced parking lot before returning to the white Mercedes.
Officer Seabridge then saw Jones get in the white Mercedes and drive away.
2 Specifically, Jones phrases his two assignments of error as follows: 1) “The evidence was insufficient to prove that appellant attempted to commit robbery........................................................................ As the use of a
firearm charge is dependent upon the attempted robbery conviction, the use of a firearm charge should be dismissed as well[;]” and 2) “[t]he evidence was insufficient to prove that appellant used a firearm in the commission of attempted robbery.”
Another police officer conducted a traffic stop on the white Mercedes and apprehended Jones a short time later. After responding to the site of the traffic stop, Officer Seabridge searched the white Mercedes and recovered a yellow bag with a ski mask. Officer Seabridge also located another ski mask in a street that Jones had travelled before Jones was stopped.
Several hours later, in response to a telephone call, Officer Seabridge searched the fenced-in area where he previously witnessed Jones running and found a sawed-off shotgun under a bush.
Detective Thomas Ewers interviewed Jones after his arrest. During the interview, Jones gave conflicting statements about the incident but eventually admitted that he and Boyce went to the housing complex to “make sure Trip didn’t get hurt.” Jones explained that “Trip,” the third person from the white Mercedes, had intended to rob a known drug dealer, Austin Strickland (“Strickland”). At the subsequent bench trial, neither party presented evidence regarding where Strickland lived.
The circuit court determined that Jones’s statement to the police that he accompanied Trip to protect him during the planned robbery made Jones “part of the robbery.” Therefore, in addition to finding Jones guilty of conspiracy to commit robbery, the circuit court also found Jones guilty of attempted robbery and use of a firearm in the commission of attempted robbery. On October 25, 2016, the circuit court sentenced Jones to a total of twenty-three years in prison, with twenty years suspended.
II. ANALYSIS
A. Standard of Review
When presented on appeal with a challenge to the sufficiency of the evidence, an appellate court reviews the evidence in the “light most favorable” to the prevailing party at trial, in this case, the Commonwealth. See Commonwealth v. Hudson, 265 Va. 505, 514 (2003)
(citation omitted); see also Sullivan v. Commonwealth, 280 Va. 672, 676 (2010) (emphasizing
that this deferential standard applies “to any reasonable and justified inferences the fact-finder may have drawn from the facts proved”). “Viewing the record through this evidentiary prism requires [an appellate court] to ‘discard the evidence of the accused in conflict with that of the Commonwealth, and regard as true all the credible evidence favorable to the Commonwealth and all fair inferences to be drawn therefrom.’” Bowman v. Commonwealth, 290 Va. 492, 494
(2015) (quoting Kelley v. Commonwealth, 289 Va. 463, 467-68 (2015)).
“When reviewing the sufficiency of the evidence to support a conviction, the Court will affirm the judgment unless the judgment is plainly wrong or without evidence to support it.” Bolden v. Commonwealth, 275 Va. 144, 148 (2008) (citing Coles v. Commonwealth, 270 Va.
585, 587 (2005); Burns v. Commonwealth, 261 Va. 307, 337 (2001)). The issue on appeal is
“whether the record contains evidence from which any rational trier of fact could have found the essential elements of the crime beyond a reasonable doubt.” Young v. Commonwealth, 275 Va.
587, 591 (2008) (citation and internal quotation marks omitted).
B. The Court of Appeals Panel Opinion
On October 2, 2018, a three-judge panel of this Court reversed and dismissed Jones’s conviction for attempted robbery and his related conviction for the use of a firearm in the commission of a felony. Regarding Jones’s conviction for attempted robbery, the panel cited our decision in Rogers v. Commonwealth, 55 Va. App. 20 (2009), which articulated the
well-established precedent that “[a]n attempt in criminal law is an unfinished crime and is composed of two elements, the intent to commit the crime and the doing of some direct [or overt] act toward its consummation, but falling short of the accomplishment of the ultimate design.” Id.
at 24-25. Mindful of Rogers, the panel found that the evidence was sufficient to establish
Jones’s intent to commit robbery. However, it also concluded that the evidence did not show that Jones committed a direct or overt act in furtherance of that intent.
The panel noted that this Court’s decision in Hopson v. Commonwealth, 15 Va. App. 749
(1993), and its companion case, Jordan v. Commonwealth, 15 Va. App. 759 (1993), controlled
its judgment. Those cases involved co-defendants whose convictions for attempted robbery were reversed on appeal. More importantly, however, Hopson and Jordan grappled with the legal
point of when preparation to commit a robbery becomes an attempt to commit that crime, and thus when criminality attaches.
Hopson and Jordan concerned a situation in which police officers witnessed two men,
later identified as Hopson and Jordan, outside a store “behaving suspiciously and repeatedly peeking around the corner of the building.” Hopson, 15 Va. App. at 752. The evidence also
revealed that Jordan wielded a pistol and that Hopson was wearing a mask that covered his face. Id. Further, “[o]n several occasions, apparently to reconnoiter it, Jordan entered the store.” Id.
When the police officers approached Hopson and Jordan, “both men quickly tried to leave the premises[,] . . . failed to stop at the officers’ command and were detained forcibly.” Id.
While both Hopson and Jordan were arrested and convicted of attempted robbery, this Court reversed their convictions on appeal. As this Court explained, the evidence only proved that Hopson and Jordan intended to rob the store. Id. We also noted, however, that the evidence
was not sufficient to prove the second element of attempted robbery: “[A]n overt, ineffectual act which ‘must go beyond mere preparation and be done to produce the intended result.’” Id.
(quoting Tharrington v. Commonwealth, 2 Va. App. 491, 494 (1986)). More specifically, we
determined that neither Hopson nor Jordan entered the store or attempted to enter the store with the purpose of initiating the planned robbery. Id. The Hopson/Jordan Court found that, given
the particular facts of the case,
Hopson and Jordan committed no act directed toward the consummation of a robbery. Rather, the evidence discloses nothing more than preparation to commit the crime. They remained behind and beside the store and made no move toward
the door. They peeked around the corner several times, an action consistent only with scouting the store. Neither man made any move toward realizing the ultimate purpose of robbery.
Id. Therefore, we held that the evidence was “consistent only with scouting the store” but did
not demonstrate an overt act necessary to support Hopson or Jordan’s convictions for attempted robbery. Id.; see also Jordan, 15 Va. App. at 762 (“They were diverted from their purpose before
they committed any act toward its accomplishment.”).
Applying Hopson and Jordan to the facts of this case, the panel found that “the evidence
did not prove that [Jones] had begun the actual robbery or that its execution was otherwise imminent.” The panel reached this conclusion by noting that the Commonwealth did not present evidence that Strickland, the intended victim of the thwarted robbery, lived in the area where Officers Binford and Seabridge encountered Jones and his co-conspirators. Thus, the panel concluded that “the evidence showed only some possible preparation for the intended crime, rather than any overt act.” Officers Binford and Seabridge “intervened before the intended robbery occurred.”
Finding that the evidence did not establish the second element of an attempt to commit offense, an overt act in furtherance of criminal intent, the panel reversed and dismissed Jones’s attempted robbery conviction. As a necessary consequence, the panel also reversed and dismissed Jones’s related conviction for use of a firearm.
C. The Elements of Attempted Robbery
In resolving the issues before us, we think it important to undertake a thorough review of the Commonwealth’s jurisprudence with respect to the attempted commission of a crime, including our prior precedent on this subject.
“The crime of robbery in Virginia is not defined by statute.” Johnson v. Commonwealth,
209 Va. 291, 293 (1968). “Consequently, we look to the common law for its definition.” Pierce
v. Commonwealth, 205 Va. 528, 532 (1964) (citing Fleming v. Commonwealth, 170 Va. 636,
639 (1938); Butts v. Commonwealth, 145 Va. 800, 811 (1926)). The common law defines
robbery as the “taking, with intent to steal, of the personal property of another, from his person or in his presence, against his will, by violence or intimidation.” Jay v. Commonwealth, 275 Va.
510, 524 (2008) (citations omitted).
Similarly, what constitutes an attempt must also be ascertained from the common law.3 See Johnson, 209 Va. at 293. The English common law doctrine of criminal attempt can be traced back to the eighteenth century.4 Over time, however, courts have blurred the line between mere preparation to commit a crime and the type of act sufficient to establish an attempted offense. This is, at least in part, a consequence of courts throughout the nation utilizing a wide and not entirely consistent variety of phrases to describe the type of act required. These phrases include a “step toward the commission of the crime,” an “act in part execution of the intent,” a “direct movement toward the commission of the offense,” an “act in furtherance of the crime,” a “substantial step toward the commission of the offense,” and “some appreciable fragment of the crime.” Wayne R. LaFave, Criminal Law § 11.4 (5th ed. 2010) (citations omitted).
Even so, the common law generally informs us that “to constitute an act of attempt, the act must possess four characteristics: first, it must be a step toward a punishable offense; second,
3 “Much has been written on the law of attempts to commit crimes and much more will be written for this is one of the most interesting and difficult problems of the criminal law.” Edwin R. Keedy, Criminal Attempts at Common Law, 102 U. Pa. L. Rev. 464, 464 (1954) (citing, among other works, John S. Strahorn, Jr., Preparation for Crime as a Criminal Attempt, 1 Wash. & Lee L. Rev. 1 (1939); Thurman W. Arnold, Criminal Attempts-the Rise and Fall of an Abstraction, 40 Yale L.J. 53 (1930); Francis Bowes Sayre, Criminal Attempts, 41 Harv. L. Rev. 821 (1928); Leon A. Tulin, The Role of Penalties in Criminal Law, 37 Yale L.J. 1048 (1928); Walter Wheeler Cook, Act, Intention, and Motive in the Criminal Law, 26 Yale L.J. 645 (1917)).
4 See Wayne R. LaFave, Criminal Law § 11.2 (5th ed. 2010) (discussing Rex v. Scofield, Cald. 397 (1784), which rejected a defendant’s argument that an attempt to commit a crime was not a crime and held that “[t]he intent may make an act, innocent in itself, criminal; nor is the completion of an act, criminal in itself, necessary to constitute criminality”).
it must be apparently (but not necessarily in reality) adapted to the purpose intended; third, it must come dangerously near to success; fourth, it must not succeed.” J. H. Beale, Jr., Criminal
Attempts, 16 Harv. L. Rev. 491, 492 (1903). This case, as well as Hopson and Jordan, focuses
on the third of these characteristics. However, how near to success any effort to commit a crime must come before criminality attaches is obviously a question to be determined in each case upon the specific facts of the case and the elements of the intended crime. In an attempt to find a legal test to satisfy this question, most courts and commentators on the subject agree with Justice Oliver Wendell Holmes, Jr.’s observation that “[a]s the aim of the law is not to punish sins, but is to prevent certain external results, the act done must come pretty near to accomplishing that result before the law will notice it.” Commonwealth v. Kennedy, 170 Mass. 18, 20 (1897).
With these principles in mind, it follows that to convict a defendant of attempted robbery,
the Commonwealth is required to prove beyond a reasonable doubt that [the defendant] intended to steal personal property from [the victim], against his will, by force, violence, or intimidation.
Additionally, the Commonwealth must prove beyond a reasonable doubt that [the defendant] committed a direct, but ineffectual, act to accomplish the crime.
Pitt v. Commonwealth, 260 Va. 692, 695 (2000) (emphasis added) (citing Johnson, 209 Va. at
293).
The direct but ineffectual act is commonly referred to as an “overt act.” Jay, 275 Va. at
525 (citing Sizemore v. Commonwealth, 218 Va. 980, 984 (1978)). The overt act requirement
distinguishes an attempt to commit a crime from “mere preparation” to do so, which is not a criminal offense. See Sizemore, 218 Va. at 983. However, “[t]he question as to what is [an
overt] act, is often a difficult one to determine, and no general rule, which can be readily applied as a test to all cases, can be laid down..................................................................... Each case must, therefore, be determined upon its
own facts.” Jay, 275 Va. at 525 (quoting Hicks v. Commonwealth, 86 Va. (11 Hans.) 223, 226
(1889) (reversing a defendant’s conviction for attempted poisoning and concluding that
obtaining a poisonous substance and soliciting another to put it in an intended victim’s coffee amounted to mere preparation)). As a result, criminal attempt “is more intricate and difficult of comprehension than any other branch of the criminal law.” Hicks, 86 Va. (11 Hans.) at 226.
In its endeavor to define an overt act sufficient to transition from preparation to an attempt, our Supreme Court has been consistent with the conclusion of Justice Holmes on the subject and repeatedly emphasized that the act must reach “far enough toward the accomplishment of the desired result to amount to the commencement of the consummation.” Jay, 275 Va. at 526 (quoting Hicks, 86 Va. (11 Hans.) at 226-27); see also, e.g., Howard v.
Commonwealth, 207 Va. 222, 227 (1966); Merritt v. Commonwealth, 164 Va. 653, 657 (1935);
Thacker v. Commonwealth, 134 Va. 767, 769-70 (1922). Put another way, the “overt act” must
be an action that begins (commences) the execution (consummation) of one or more elements of a crime but does not complete all of them.
Here, only the second element of attempted robbery is at issue. Jones concedes his intent to rob Strickland. Specifically, in his brief to this Court, Jones states that “[w]ith all reasonable inferences drawn in favor of the Commonwealth, the evidence at trial established that [Jones] and his codefendants . . . intended to rob a drug dealer[.]” Jones argues only that he did not undertake some overt act in furtherance of his intent. The Commonwealth disagrees and argues that the circuit court’s judgment that Jones had committed an attempted robbery was not plainly wrong and was supported by credible evidence.
In its petition for rehearing en banc and in its brief, the Attorney General argues that the panel failed to properly consider controlling precedent from our Supreme Court and that the two cases relied upon by the panel, Hopson and Jordan, were wrongly decided and misapplied case
law regarding the requirement of an overt act for an attempt conviction.5 According to the Attorney General, an overt act is established if the prosecution proves any “slight act” done in furtherance of a defendant’s criminal intent. While the General Assembly is free to define an overt act or the law of attempt more broadly than the common law if they choose to do so, in the absence of such action on their part, the courts of the Commonwealth remain bound by the common law as it is historically understood. The construction the Attorney General and apparently the concurrence would place on that phrase however, is inconsistent with the overwhelming body of common law jurisprudence on the subject.
In support of its argument, the Attorney General cites our Supreme Court’s decision in Lee v. Commonwealth, 144 Va. 594 (1926), where it affirmed a defendant’s conviction for
attempted murder. In Lee, the defendant expressed his intention to kill his first cousin, Loving,
after being ordered to leave Loving’s home. Id. at 598-99. The defendant then returned to his
own home, armed himself with a loaded shotgun, went back to Loving’s home, and crept around the corner of the house. Id. at 601-02. “He thereupon stationed himself outside the door with his
gun held in position to shoot.” Id. at 602. During a subsequent scuffle between the defendant
and Loving, “the gun was discharged and the barrel burst.” Id. at 598. The defendant was
subsequently convicted of attempted murder.
5 In a footnote, the Commonwealth also argues that “[i]t is possible for this Court to conclude that Jordan and Hopson were wrongly reasoned but not wrongly decided.” The Commonwealth posits that this Court could determine that the evidence in those cases “was insufficient to establish the intent of the co-defendants and would then not need to address the issue of an act in furtherance in those cases.” We need not determine whether, or to what extent, Hopson and Jordan were wrongly reasoned or decided. Both of those decisions were heavily dependent on the facts before that Court and the analysis was sparse. Because we take the occasion here, sitting en banc, to more fully address the law as it pertains to crimes involving an attempt, we need only say that, to the extent that Hopson and Jordan are inconsistent with this opinion, they can no longer be considered good law.
On appeal, our Supreme Court analyzed the difference between preparation and attempt. In doing so, the Lee Court quoted with approval the following statement from the Supreme Court
of Mississippi in Stokes v. State, 46 So. 627 (Miss. 1908):
[W]henever the design of a person to commit a crime is clearly shown, slight acts done in furtherance of this design will constitute an attempt, and this court will not destroy the practical and common sense administration of the law with subtleties as to what constitutes preparation, and what an act done toward the commission of a crime. Too many subtle distinctions have been drawn along these lines for practical purposes. Too many loopholes have been made whereby parties are enabled to escape punishment for that which is known to be criminal in its worst sense.
Lee, 144 Va. at 600; see also Stokes, 46 So. at 629.
The Attorney General emphasizes the Lee Court’s use of the phrase “slight acts,” but that
phrase should be considered in the context of Stokes. In the Stokes case, the Supreme Court of
Mississippi upheld a defendant’s conviction for attempted murder even though the defendant never shot at the intended victim. Id. at 628. Rather, the defendant hired an assassin. Id. On the
night that the killing was to occur, however, police officers arrested the defendant outside of the intended victim’s home as the defendant was handing a loaded gun to the would-be assassin, who had secretly informed the police of the defendant’s plan. Id. Relying upon its so-called
“slight acts” standard, the Supreme Court of Mississippi determined that the defendant had committed an overt act sufficient to sustain his conviction of attempted murder. Id. at 629.
The defendant in Stokes also contended that because he did not actually shoot at the
intended victim, he could not be held guilty of attempted murder. In disposing of that issue, the Supreme Court of Mississippi stated,
[w]here a party is indicted for an attempt to murder by shooting with a gun, at what time shall it be said that such party has committed an overt act. Is it necessary, in order to convict, that a party shall be allowed to proceed to do all towards the accomplishment of his crime, except actually to pull the trigger? If
not, then when may it be said that an overt act has been committed? When it is proved that a party has the design to kill and has the means to accomplish that design, shall it be held that no crime is committed unless that design is frustrated at the very instant it is attempted to be carried out? Must the citizen be required to imperil his existence up to the time of the actual menace before he can claim the protection of the law and procure the punishment of the offender? The mere buying of the gun would be preparation and not attempt. The mere buying of a gun and loading it might not constitute an attempt. But when the facts show, in furtherance of the design, that a gun has been procured and loaded, and the party so procuring and loading the gun has armed himself and started out on his mission to kill, but is prevented from carrying out his design by such extraneous circumstances as that the party he intends to kill does not come to the point where he expected to carry out his design, or if the party designing to kill is arrested and prevented from carrying out the design, he is clearly guilty of the attempt.
Id. at 628. Our Supreme Court in Lee quoted the entirety of this passage from Stokes. See Lee,
144 Va. at 601.
Aside from quoting passages from the Stokes opinion, however, our Supreme Court did
not attempt to comprehensively analyze the occasionally subtle differences between mere preparation and an attempt to commit a crime. Rather, our Supreme Court noted that it “heartily concur[red]” with most of the principles outlined by the Stokes court and subsequently affirmed
the defendant’s conviction for attempted murder. See Lee, 144 Va. at 601-02.
The Attorney General also relies upon subsequent Virginia case law approving of the “slight acts” standard originally explained in Stokes and adopted in Lee. For example, the
Commonwealth cites Martin v. Commonwealth, 195 Va. 1107, 1112-13 (1954), where the Court affirmed a defendant’s conviction for attempted “pandering.”6 The Martin Court explicitly relied
upon and quoted Stokes and Lee in its analysis. See id. at 1112. Further, the Attorney General
6 We recognize that the “slight acts” standard from Lee and Martin has permeated into other attempt cases from this Court and our Supreme Court. See, e.g., Sizemore, 218 Va. at 985; Whitt v. Commonwealth, 61 Va. App. 637, 662 (2013) (en banc); Parsons v. Commonwealth, 32
Va. App. 576, 582 (2000); Tharrington, 2 Va. App. at 495-96.
cites examples from this Court, as well as our Supreme Court, where the word “slight” is used as a descriptive word in similar contexts, such as the amount of corroboration necessary to support a conviction following a defendant’s confession. See Watkins v. Commonwealth, 238 Va. 341,
348 (1989) (“[W]here, as here, the accused has fully confessed the crime, only slight
corroborative evidence is necessary to establish the corpus delicti.” (emphasis in original)); see
also Cherrix v. Commonwealth, 257 Va. 292, 305 (1999).
To convict Jones for the crime of attempted robbery, the Commonwealth had to prove beyond a reasonable doubt not only that Jones intended to rob Strickland, but also that Jones undertook some “direct, but ineffectual, [overt] act” toward the consummation of taking property from Strickland against his will by force, violence, or intimidation. See Jay, 275 Va. at 525-26
(quoting Pitt, 260 Va. at 695). “While the overt acts of the accused [need not be] the last
proximate acts necessary to the consummation of the crime, they [must be] direct overt acts well calculated to accomplish the result intended.” Id. at 526 (quoting Granberry v. Commonwealth,
184 Va. 674, 678 (1946)). As our Supreme Court first explained in Hicks and more recently
reiterated in Jay,
[t]he act must reach far enough towards the accomplishment of the desired result to amount to the commencement of the consummation. It must not be merely preparatory. In other words, while it need not be the last proximate act to the consummation of the offence attempted to be perpetrated, it must approach sufficiently near to it to stand either as the first or some subsequent step in a direct movement towards the commission of the offence after the preparations are made.
Id. (emphasis added) (quoting Hicks, 86 Va. (11 Hans.) at 226-27); see also Glover v.
Commonwealth, 86 Va. 382, 386 (1889) (“It need not, therefore, be the last proximate act to the
consummation of the crime in contemplation, but is sufficient if it be an act apparently adapted to produce the result intended. It must be something more than mere preparation.”).
We agree with the Attorney General and the concurrence that an act constituting an attempt can be “slight.” Our discussion with our concurring colleagues is focused on whether the overt act, however slight, must implicate one or more elements of the offense or merely the underlying criminal intent. Unfortunately, our Supreme Court has not been consistent in the language used to describe the parameters of an overt act in the context of an attempt to commit a crime. In Lee, Martin, and Sizemore, the cases relied upon by the concurrence, that Court
ratified the phrase “slight acts done in furtherance of [the] design” as originally explained by the Supreme Court of Mississippi in Stokes. See Sizemore, 218 Va. at 985 (emphasis added)
(quoting Stokes, 46 So. at 629); Martin, 195 Va. at 1112 (same); Lee, 144 Va. at 600 (same).
However, in more recent cases, our Supreme Court has clarified the point by using the phrase “overt act” instead, which it in turn defined in the specific context of an attempted robbery as a “direct, but ineffectual, act toward the consummation of taking property . . . against [the victim’s] will by force, violence, or intimidation.” Jay, 275 Va. at 526; see also Secret v.
Commonwealth, 296 Va. 204, 228 (2018) (“An attempt [is] any overt act done with the intent to
commit the crime, and which, except for the interference of some cause preventing the carrying out of the intent, would have resulted in the commission of the crime.”); Commonwealth v.
Herring, 288 Va. 225, 235 (2014) (same). The analyses in these latter cases clearly indicate that
an overt act constituting an attempted crime must have linkage to an element of the offense, rather than merely the overall criminal intent.
Moreover, the Hicks standard does not provide comprehensive guidance with respect to
distinguishing an act amounting to preparation to commit the crime from the attempt to do so, and the “slight acts done in furtherance” language used in Lee, Martin, and Sizemore, and
missing from later Supreme Court cases has given rise to some confusion. This is because any overt act analysis requires two important considerations—the nature of the overt act and its
timing in relation to the elements of the intended crime. Further, in some conceivable situations, it is difficult to harmonize Hicks with the “slight acts” standard from Lee, Martin, and Sizemore.
Taking the Attorney General and the concurrence’s position to its logical extreme, Lee, Martin,
and Sizemore plausibly stand for the proposition that once a defendant’s subjective criminal
intent is established, any slight act irrespective of its nature, time or location is sufficient to move beyond the threshold of criminality and indeed, the Attorney General conceded as much at oral argument. Such a standard, however, is overly broad and fails to consider important evidentiary distinctions in attempt cases—whether the evidence objectively demonstrates “the commencement of the consummation” or, stated another way, the beginning of the commission of the intended crime itself. See Jay, 275 Va. at 526 (quoting Hicks, 86 Va. (11 Hans.) at
226-27). Therefore, we recognize that confusion surrounding the difference between preparation and attempt is, at least in part, due to less than precise language and abridged analyses regarding the type of slight or overt act that satisfactorily manifests a defendant’s commencement of the commission of a crime.
In summary, the difference between our analysis and that of our concurring colleagues is whether, to constitute an attempted crime, an overt act, “slight” or not, must be in furtherance of the commission of the crime itself or merely in furtherance of the criminal intent to commit it. In seeking to rectify the confusion on this point that may be found in our own jurisprudence, we accept the more precise guidance from our Supreme Court and elsewhere which clarifies that, in order for a crime to be attempted, and thus for criminal liability to attach, the intended crime must be in progress to some extent. In Lynch v. Commonwealth, 131 Va. 769 (1921), our
Supreme Court explained that “[t]o make the act an indictable attempt it must be a cause as distinguished from a condition. And it must go so far that it must result in the crime unless frustrated by extraneous circumstances.” Id. at 774 (emphasis added) (quoting Wharton’s
Criminal Law § 181 (11th ed. 1912)); see also Cause, Black’s Law Dictionary (10th ed. 2014)
(defining the word “cause” as “something that produces an effect or result”). Additionally, as explained by our Supreme Court in West v. Commonwealth, 156 Va. 975 (1931),7
[t]he failure to consummate a crime is as much an element of an attempt to commit it as the intent and the performance of an overt act towards its commission. . . .
There is quite a difference between preparation for the attempt and the attempt itself. Preparation consists in arranging the means necessary for the commission of the crime. The attempt is the direct movement towards its commission, after the preparations have been made. An act, to amount to an attempt, must reach far enough towards the accomplishment of the crime to amount to the commencement of the consummation. It need not be the last proximate act to the consummation of the crime attempted to be committed, yet, it must approach sufficiently near to it to stand either as the first or some subsequent step in a direct movement towards the commission of the crime after the preparations have been made.
Id. at 978-79 (emphasis added). Therefore, it is clear to us that preparation ends and attempt
begins once an overt act commencing an element of the intended crime is initiated with the requisite intent.8
We also find additional guidance from Justice Holmes in his 1881 published lectures “The Common Law.” There, Justice Holmes addressed the point where criminal liability attaches by framing two hypothetical problems. In the first hypothetical, Justice Holmes stated that,
7 In West, the defendant drove a truck-load of supplies to within several hundred yards of an illegal still, which police raided the previous morning. Id. at 977. The defendant was then convicted of violating multiple prohibition laws. Id. at 976-77. On appeal, our Supreme Court reversed and held that the evidence “neither sustain[ed] the charge of attempting to manufacture ardent spirits, nor of aiding and abetting another in manufacturing ardent spirits.” Id. at 978.
However, the Court did not consider the issue of attempted aiding and abetting.
8 Our concurring colleagues assert that this choice of words means that “the element must be completed.” This assertion is simply incorrect.
lighting a match with intent to set fire to a haystack has been held to amount to a criminal attempt to burn it, although the defendant blew out the match on seeing that he was observed.
Oliver Wendell Holmes, Jr., The Common Law 67 (1881). In the second, however, Holmes
observed that,
[t]he law does not punish every act which is done with the intent to bring about a crime. If a man starts from Boston to Cambridge for the purpose of committing a murder when he gets there, but is stopped by the draw [bridge] and goes home, he is no more punishable than if he had sat in his chair and resolved to shoot somebody, but on second thoughts had given up the notion․
Id. at 68. In a continuing discussion on the proper resolution of these hypothetical questions,
Justice Holmes noted that “[e]minent judges have been puzzled where to draw the line,” but also illustrated what, in his view, it takes to constitute a criminal attempt by observing as follows:
When a man buys matches to fire a haystack, or starts on a journey meaning to murder at the end of it, there is still a considerable chance that he will change his mind before he comes to the point. But when he has struck the match, or cocked and aimed the pistol, there is very little chance that he will not persist to the end, and the danger becomes so great that the law steps in.
Id. at 68-69. Holmes’s latter hypothetical also expresses the basic public policy that encourages
would-be criminals to abandon their efforts by not attaching criminal liability to their actions until they actually begin the commission of the intended crime.
Mindful of the authority referenced above, this Court has already distinguished preparation from attempt in a manner that avoids the pitfalls of Lee, Martin, and Sizemore, as
well as the limitations of Hicks. In Lewis v. Commonwealth, 15 Va. App. 337 (1992), this Court
concluded that for preparation to end and attempt to begin, some element of the intended crime must have commenced. In that case, we reversed a defendant’s conviction for attempted delivery of marijuana to a prisoner because the defendant merely received and possessed money intended to purchase marijuana. Id. at 338-39. No evidence proved that the defendant possessed
marijuana, made arrangements to secure marijuana, or “did any other thing connecting his possession of the money to marijuana.” Id. at 340. In reaching our conclusion, we explained
that “[p]reparation alone is not enough, there must be some appreciable fragment of the crime committed, it must be in such progress that it will be consummated unless interrupted by circumstances independent of the will of the attempter, and the act must not be equivocal in nature.” Id. at 340 (quoting People v. Buffum, 256 P.2d 317, 321 (Cal. 1953)); see also Sheng
Jie Jin v. Commonwealth, 67 Va. App. 294, 304 (2017); Bloom v. Commonwealth, 34 Va. App.
364, 371 (2001); Parsons v. Commonwealth, 32 Va. App. 576, 583 (2000).
Our decision in Lewis clarifies the language from Pitt that to support an attempted crime,
any overt act must be a direct act to accomplish the crime. Only then does preparation become an attempt. The difference between preparation and attempt lies between an act in preparation of a crime—one yet to take place or commence—and an act in the commission of a crime. Of course, the “act in commission of a crime” can be “slight” yet enough to constitute an attempt.
Threatening actions such as cocking a gun or pointing one at an intended victim or an unsuccessful demand for money or personal property, coupled with an implied threat, are examples of acts that would be insufficient, standing alone, to constitute a completed robbery. With the addition of the requisite criminal intent, such acts would certainly be enough to satisfy the elements of attempted robbery.
Moreover, expanding the definition of an overt act as urged by the concurrence and the Attorney General would effectively eliminate “mere preparation” as a discrete concept. This is necessarily the case since, under such an expanded definition, every act done in preparation to commit a crime is also by definition an act in furtherance of the criminal intent. Although our concurring colleagues flatly state otherwise, they offer no limiting principle that would
distinguish an overt act “in furtherance of the criminal intent” constituting preparation from one they would consider an attempt.
The concurring opinion in this case relies upon language from Sizemore to propose what
is essentially a “we will know it when we see it” analytical approach. One result of adopting the concurrence’s definition is that one could be convicted of attempted robbery despite the lack of any victim being placed in fear and any demand for personal property made. In other words, this approach could result in affirming a conviction for attempted robbery where none of the elements of robbery have yet been commenced. Moreover, such an imprecise definition of an attempt would undercut the common law principle that “[t]he law does not punish every act which is done with the intent to bring about a crime.” Oliver Wendell Holmes, Jr., The Common
Law 68 (1881).
Further, the parameters of attempt crimes encouraged by the Attorney General would effectively obviate the common law policy consideration that previously allowed one to abandon a criminal enterprise without consequence at any time before actually creating a victim. While erroneous in our view, the Attorney General candidly argues, and our concurring colleagues do not disagree, that once the criminal intent is formed, every act to effectuate that intent constitutes an attempt. This, as previously explained, is neither the result that the common law requires nor desires. Hypothetically, in the Attorney General’s view, acts triggering criminal attempt liability would include actions that were historically considered mere preparation, such as acquiring a weapon or a mask, driving to the location of the crime, parking a vehicle to facilitate a quick getaway, and walking toward the entrance of the location of the robbery with a gun and/or mask in a pocket.
While the line between preparation and an attempt may not be as bright as may be desirable, neither is it as dim as the concurring opinion suggests. Of course, the elements of the
crime and the facts of each case will determine whether an attempted crime has occurred, but whatever the luminosity of the line between preparation and attempt, it is far more definite than the concurrence submits. It seems axiomatic to us that preparation is every act, slight or not, that serves as a prelude to the commission of the crime. Thus, preparation necessarily ceases when the commission of that crime actually begins through the commencement of an act—not the “last proximate act” as asserted by our colleagues—that constitutes one or more elements of the crime. In response, our concurring colleagues postulate a third, very gray area, where they suggest that preparation has ceased but no execution of an element of the intended crime has yet commenced. The concurrence, however, offers nothing to distinguish the parameters of this gray area except a purely arbitrary proposition that any act in furtherance of the criminal intent they consider subjectively close enough in space and time to the locus of the crime is sufficient to constitute an attempt.
Additionally, as previously noted, current public policy does not attach criminal liability for a substantive offense until the point where a crime is actually commenced. In the context of a robbery, despite having the intent to do so, if no person has been subjected to force, violence or intimidation and no demand to part with personal property made, neither robbery nor attempted robbery has yet occurred, although as noted in connection with the concurrence’s hypothetical, other crimes may well be complete. At the other end of the spectrum, if both have been accomplished and personal property taken, a completed robbery has occurred. Between those points, if an act constituting any of those elements has commenced, the crime of attempted robbery has occurred even if the enterprise is abandoned or interrupted before completion.
Returning to the present matter, we hold that the evidence does not show that Jones committed an overt act sufficient to constitute the commencement of the consummation of the crime of robbery despite having the requisite criminal intent. At no time did Jones or his
co-conspirators use force, threat, or intimidation in any manner against, or seize property from, Strickland. Rather, the record demonstrates that Jones and his co-conspirators never encountered Strickland or even entered Strickland’s residence. Furthermore, the record contains no evidence that Strickland lived in the vicinity where Officers Binford and Seabridge encountered Jones and his co-conspirators. While it is possible that Jones and his co-conspirators were in the vicinity of Strickland’s residence and may have been moments away from the process of commencing the planned robbery, the record does not even objectively reveal those facts.9 Therefore, without speculation, even in the light most favorable to the Commonwealth, we cannot conclude that Jones’s presence and actions went beyond preparation to commit a robbery or otherwise reached far enough towards the accomplishment of the desired result to amount to the commencement of an element of that offense. Accordingly, we reverse Jones’s conviction for attempted robbery and dismiss that indictment.
D. Use of a Firearm
We now turn to Jones’s second assignment of error that the evidence was insufficient to support his conviction for use of a firearm in the commission of a felony, in violation of Code
9 An ancillary but important factor in any analysis of whether Jones’s actions constitute an attempt to commit robbery is the fact that, on the record before us, Jones and Boyce would be principals in the second degree to any completed robbery, and thus their criminal liability is at least partially derivative of the actions of any principal in the first degree that they intended to aid and abet in the planned robbery. See Dunn v. Commonwealth, 52 Va. App. 611, 617 (2008) (en banc) (“A principal in the second degree is one not the perpetrator, but present, aiding and abetting the act done, or keeping watch or guard at some convenient distance.”); see also Dusenbery v. Commonwealth, 220 Va. 770, 771-72 (1980) (“Although conviction of a principal in the first degree is not a condition precedent to conviction of an accessory, Code § 18.2-21, before the accessory to a crime can be convicted as such, it must be shown that the crime has been committed by the principal.” (internal quotation marks and citation omitted)).
The concurring opinion relies upon this fact as the principal reason it would nevertheless reverse the judgment below. The record clearly reflects, however, that Jones engaged in overt acts in furtherance of his criminal intent and thus, using our concurring colleagues’ own logic, there ought not be any impediment to affirming the judgment in this case. The concurrence provides no explanation for this analytical inconsistency.
§ 18.2-53.1. In relevant part, that statute makes it “unlawful for any person to use or attempt to use any pistol, shotgun, rifle, or other firearm or display such weapon in a threatening manner while committing or attempting to commit” a number of enumerated felonies, including robbery. Code § 18.2-53.1 (emphasis added). The circuit court determined that Jones possessed the sawed-off shotgun found by Officer Seabridge in the course of an attempted robbery.
Consequently, the circuit court convicted Jones of use of a firearm in the commission of that attempted robbery. On appeal, Jones argues that the evidence was insufficient to prove that he used, attempted to use, or displayed a firearm in the commission of a felony.
To convict a defendant of violating Code § 18.2-53.1, the Commonwealth must prove beyond a reasonable doubt “that the [defendant] actually had a firearm in his possession and that he used or attempted to use the firearm or displayed the firearm in a threatening manner while committing or attempting to commit robbery or one of the other specified felonies.” Startin v.
Commonwealth, 281 Va. 374, 379 (2011) (quoting Yarborough v. Commonwealth, 247 Va. 215,
218 (1994)). “Possession of a firearm is an essential element of the statutory offense[.]” Yarborough, 247 Va. at 219. Further, proof of a defendant’s “‘actual’ possession of a firearm
under Code § 18.2-53.1 may be established by circumstantial evidence, direct evidence, or both.” Byers v. Commonwealth, 23 Va. App. 146, 150 (1996) (citing Yarborough, 247 Va. at 216-19);
see also McBride v. Commonwealth, 22 Va. App. 730, 735 (1996).
If possession is established, the plain language of Code § 18.2-53.1 permits conviction under one of two theories. The first theory criminalizes “us[ing] or attempt[ing] to use” a firearm. Code § 18.2-53.1. According to our Supreme Court, a defendant uses or attempts to use a firearm within the meaning of the statute “if he or she employs [or attempts to employ] it.” See
Rowland v. Commonwealth, 281 Va. 396, 401 (2011). The second theory criminalizes
“display[ing]” a firearm “in a threatening manner.” Code § 18.2-53.1. “A person ‘displays’ a
firearm if he or she manifests it ‘to any of a victim’s senses.’” Rowland, 281 Va. at 401-02
(quoting Cromite v. Commonwealth, 3 Va. App. 64, 66 (1986)). Additionally, to convict a
defendant under either theory, the use, attempted use, or threatening display must occur “while committing or attempting to commit” one of the statute’s enumerated felonies. Code
§ 18.2-53.1. The qualifier “while” limits the applicability of the statute to use of a firearm “during” the commission or attempted commission of those felonies. See Rowland, 281 Va. at
401.
Here, Jones concedes that, “[c]onstruing all facts in the light most favorable to the Commonwealth,” he “merely possessed” the sawed-off shotgun discovered by Officer Seabridge. It follows that we need only analyze whether Jones used or attempted to use the sawed-off shotgun or displayed the sawed-off shotgun in a threatening manner, while committing or attempting to commit robbery.10
Since we have concluded that the evidence is insufficient to sustain Jones’s conviction for attempted robbery, we also hold that the evidence is insufficient to sustain Jones’s conviction for use of a firearm in the commission of an attempted robbery. Viewed in the light most favorable to the Commonwealth, the evidence does not reflect that Jones manipulated the
sawed-off shotgun in any manner prohibited by the statute while committing or attempting to commit robbery. Further, even though Jones possessed the sawed-off shotgun, his possession of it only amounted to preparation to commit robbery and not attempted robbery as required by Code § 18.2-53.1. Accordingly, we reverse Jones’s conviction for use of a firearm in the commission of an attempted robbery and dismiss that indictment.
10 Possession of a sawed-off shotgun is a Class 4 felony, but it does not appear that Jones was ever charged with that offense. See Code § 18.2-300(B).
III. CONCLUSION
For these reasons, we reverse Jones’s convictions for attempted robbery and use of a firearm in the commission of attempted robbery and dismiss those indictments. However, we remand the case to the circuit court and direct that court modify the sentencing order consistent with this opinion and correct any clerical errors in its orders regarding Jones’s conviction or sentencing on the unchallenged conviction of conspiracy to commit robbery.
Reversed and final judgment and remanded.
Beales, J., with whom Decker, C.J., and Russell and AtLee, JJ., join, concurring in the judgment.
I concur with the majority that the conviction of attempted robbery (and of possession of a firearm in the commission thereof) must be reversed because the evidence was insufficient to prove that Jones committed attempted robbery. However, I cannot agree with the majority’s new test on what constitutes an overt act.
A. The Common Law and the Crime of Attempt
Code § 1-200 states, “The common law of England, insofar as it is not repugnant to the principles of the Bill of Rights and Constitution of this Commonwealth, shall continue in full force within the same, and be the rule of decision, except as altered by the General Assembly.” As the majority notes, robbery is not defined by statute in Virginia. Consequently, we derive the definition of robbery from the common law. Likewise, “what constitutes an attempt must be ascertained from the common law.” Johnson v. Commonwealth, 209 Va. 291, 293 (1968).
However, “the crime of attempt is a relatively recent development of the common law.” Wayne R. LaFave, Criminal Law § 11.2 (6th ed. 2017). “Blackstone, publishing the fourth book of his
COMMENTARIES in 1769, makes no mention whatever of the modern doctrine of attempts.” Francis Bowes Sayre, Criminal Attempts, 41 Harv. L.R. 821, 834 n.51 (1928). The Supreme Court
in 1889, however, defined “attempt” as follows:
An attempt in criminal law is an apparent unfinished crime, and hence is compounded of two elements, viz.: (1) The intent to commit a crime; and (2) a direct act done towards its commission, but falling short of the execution of the ultimate design.
Glover v. Commonwealth, 86 Va. 382, 385-86 (1889) (citing Uhl v. Commonwealth, 47 Va. 706,
707 (1849)).
The evidence in this case clearly supports the first element of attempt – the intent to commit a robbery. Jones admitted to Detective Ewers that his co-conspirator, Trip, planned to rob Austin Strickland and that Jones planned to aid in this endeavor by giving Trip protection during the
robbery to “make sure Trip didn’t get hurt.” Thus, the central issue in this case is whether the evidence was sufficient to prove that Jones committed an overt act (“a direct act done”) in furtherance of the robbery.
B. The Established Law on “Overt Acts” and the Supreme Court’s Already Established Framework
While I agree with the majority that the Commonwealth has not proved attempted robbery in this case, I must respectfully depart from the analysis of the majority on the new test it has created for determining when an action amounts to an overt act. I disagree with the majority’s conclusion that years of common law and Supreme Court precedent regarding what constitutes an “overt act” required for an attempt should now be “[p]ut another way” to mean an action that begins “the execution” of “one or more elements of a crime but does not complete all of them.” While simultaneously suggesting that courts have created “a wide and not entirely consistent variety of phrases to describe the type of act” sufficient to establish an attempted offense, the majority has decided to throw its own hat into the ring by introducing its own test. It now invites litigants to grapple with the requirement that attempt “begins once an overt act commencing an element of the intended crime is initiated with the requisite intent.” While the majority indicates that it endeavors to clarify the law of attempt, I strongly suspect that today’s opinion will have the exact opposite effect.11
The majority’s new test attempts to create a bright-line rule on the law of attempt. This runs contrary to its own statement that “how near to success any effort to commit a crime must come before criminality attaches is obviously a question to be determined in each case upon the specific facts of the case and the elements of the intended crime.” More importantly, it violates the Supreme
11 While the majority attempts to maintain that its new test is similar to the “commencement of the consummation” test repeatedly stated by the Supreme Court (by stating that this is simply the Supreme Court’s test “[p]ut another way”), there is no doubt that this test is an entirely new and different approach.
Court’s instruction that “no general rule can be laid down which will serve as a test in all cases. Each case must be determined on its own facts.” Sizemore v. Commonwealth, 218 Va. 980, 985
(1978). In lieu of a bright-line test, the Supreme Court has already provided us with a framework which we are bound to use to analyze the crime of attempt and overt acts. In Hicks v.
Commonwealth, 86 Va. 223, 226-27 (1889), the Supreme Court explained as follows:
[T]he act must reach far enough towards the accomplishment of the desired result to amount to the commencement of the consummation. It must not be merely preparatory. In other words, while it need not be the last proximate act to the consummation of the offence attempted to be perpetrated, it must approach sufficiently near to it to stand either as the first or some subsequent step in a direct movement towards the commission of the offence after the preparations are made.
In Lee v. Commonwealth, 144 Va. 594 (1926), the Supreme Court instructed us how to
determine when the crime of attempt has been committed in cases where a defendant’s intent has been clearly shown. In 1926 (and in the decades following), the Supreme Court stated:
Whenever the design of a person to commit a crime is clearly shown, slight acts done in furtherance of this design will constitute an attempt, and this court will not destroy the practical and common sense administration of the law with subtleties as to what constitutes preparation, and what an act done toward the commission of a crime. Too many subtle distinctions have been drawn along these lines for practical purposes.
Lee, 144 Va. at 600 (quoting Stokes v. State, 46 So. 627, 629 (Miss. 1908)); Martin v.
Commonwealth, 195 Va. 1107, 1112 (1954); Sizemore, 218 Va. at 985.
The majority dismisses the Supreme Court’s guidance on the “slight acts” test – essentially attributing it to “less than precise language and abridged analyses.” The majority also labels the test “overly broad” and insufficient for taking into account “important evidentiary distinctions in attempt cases.” It states that, if this test were taken to the logical extreme, the test would “plausibly stand for the proposition that once a defendant’s subjective criminal intent is established, any slight act
irrespective of its nature, time or location is sufficient to move beyond the threshold of criminality
. . . .” However, this “logical extreme” incorrectly assumes that the slight acts test would be applied in a vacuum and without regard to a defendant’s proximity to accomplishing the crime.
The slight acts test does not change the requirement that the action must still be more than mere preparation in order to be an “overt act,” nor does it permit courts to convict a defendant who has taken some minuscule step toward the start of crime. Instead, the knowledge of the defendant’s intent simply changes the meaning of his actions. A seemingly small, potentially innocent act – such as lighting a match near a haystack – can be an overt act when the defendant’s ultimate intent is clear.12 Conversely, when a defendant’s intent is unclear, the overt act must provide evidence of both the defendant’s intent and the immediacy of the crime. See Tharrington v. Commonwealth, 2
Va. App. 491, 494 (1986) (“An overt act is required to prove an attempted offense because without it, there is too much uncertainty as to the accused’s actual intent.”). We cannot and should not disregard this strong guidance from the Supreme Court, which has been reiterated repeatedly in Virginia case law since the Supreme Court’s decision in Lee in 1926. See, e.g.,
Sizemore, 218 Va. at 984-85; Martin, 195 Va. at 1112; Whitt v. Commonwealth, 61 Va. App. 637,
12 Contrary to the majority’s claim that the slight acts test was one of the “pitfalls” created by the Supreme Court in Lee, Martin, and Sizemore, the example referenced by the majority shows that the slights acts test is rooted in the common law. The majority references the following example given by Oliver Wendell Holmes, Jr.:
lighting a match with intent to set fire to a haystack has been held to amount to a criminal attempt to burn it, although the defendant blew out the match on seeing that he was watched.
Oliver Wendell Holmes, Jr., The Common Law 67 (1881). This example illustrates that the knowledge of the individual’s intent changes the criminality of the act. With his intent known, the potentially innocent act of lighting a match near a haystack becomes an overt act. “The accompanying intent . . . renders the otherwise innocent act harmful, because it raises a probability that it will be followed by such other acts and events as will all together result in harm.” Id. at 67-68. See also Joel Prentiss Bishop, Commentaries on the Criminal Law § 729 (6th ed. 1877) (“We have seen, that an act may be evil in itself, or evil by reason of the intent prompting it, or being in itself evil may be rendered more so by the intent.” (footnotes omitted)).
661-62 (2013) (en banc); Parsons v. Commonwealth, 32 Va. App. 576, 582 (2000); Tharrington, 2
Va. App. at 495-96.
The majority’s new test is also problematic because it seems to require all but the “last proximate act” to complete the crime – a position contrary to established law. See Commonwealth
v. Herring, 288 Va. 59, 78 (2014) (“We have long rejected the position that the overt act can only be
the ‘last proximate act to the consummation of the crime in contemplation.’” (quoting Glover v. Commonwealth, 86 Va. 382, 385-86 (1889))).13 The examples provided by the majority make this
clear. The majority states, “In the context of a robbery, despite having the intent to do so, if no person has been subjected to force, violence or intimidation and no demand to part with personal property made, neither robbery nor attempted robbery has yet occurred . . . .” (Emphasis added). Although the majority claims that its test only requires that the overt act “have linkage to an element of the offense,” the attempted robbery examples used by the majority show that the majority’s new test actually requires that the overt act be the commission of at least one of the elements of the offense – not just linked to an element of the offense. Under the majority’s test, a defendant detained by the police after walking into a convenience store while wearing a mask and holding a shotgun with his finger on the trigger would not be guilty of attempted robbery if there were no customers in the store and the clerk was unaware of the defendant’s entry because he was elsewhere at the time, such as in the backroom or the bathroom. Despite the hypothetical defendant’s obvious intent and dangerous proximity to completing a robbery, he would not be convicted of attempted robbery under the majority’s test because no one was yet subject to intimidation and no personal property was yet demanded. While I agree with the majority that “[t]he law does not punish every
13 See also 22 C.J.S. Criminal Law: Substantive Principles § 159 (2019) (“The act that goes beyond mere preparation need not constitute an element of the target crime and need not be the ultimate step toward the consummation of the design; instead, it is sufficient if the conduct is the first or some subsequent act directed towards that end after the preparations are made.” (emphasis added)).
act which is done with the intent to bring about a crime,” Oliver Wendell Holmes, Jr., The Common
Law 68 (1881), the law does punish every act committed with the required intent where the act is
more than mere preparation and is “apparently adopted to produce the result intended,” Herring, 288
Va. at 78 (quoting Martin, 195 Va. at 1110-11).
While scholars and courts have struggled for many years to find the line that divides preparation and attempt,14 the majority suggests that it has found a solution to this problem that has confounded so many others for so long. Today the majority declares that for “preparation to end and attempt to begin, some element of the intended crime must have commenced,”15 and criticizes
14 See e.g., United States v. Dworken, 855 F.2d 12, 16 (1st Cir. 1988) (“The invariably elusive nature of what constitutes an ‘attempt’ has long been the subject of judicial chagrin.”); John S. Strahorn, Jr., Preparation for Crime as a Criminal Attempt, 1 Wash. & Lee L.Rev. 1, 1 (1939) (“Both as fascinating and as fruitless as the alchemists’ quest for the philosopher’s stone has been the search, by judges and writers, for a valid, single statement of doctrine to express when, under the law of guilt, preparation to commit a crime becomes a criminal attempt thereat.”); Oliver Wendell Holmes, Jr., The Common Law 68 (1881) (“Eminent judges have been puzzled where to draw the line, or even to state the principle on which it should be drawn, between the two sets of cases.”); see also Sayre, supra at 846 (finding it “manifestly impossible to lay down any mechanical or hard and fast rule for the drawing of the line between preparation and indictable attempts”).
15 In an effort to make their test appear to be rooted in existing law, the majority cites to Lewis v. Commonwealth, 15 Va. App. 337 (1992). However, Lewis does not stand for this proposition. While this Court reversed Lewis’s conviction for attempt to deliver marijuana to a prisoner, it did not conclude that Lewis must have commenced an element of that crime in order for his conviction to be upheld. In fact, this Court implied that the evidence may have been sufficient if there had been evidence that “Lewis possessed marijuana, that Lewis made arrangements to secure marijuana, or that Lewis did any other thing connecting his possession of the money to marijuana.” Id. at 340. Each of these actions falls noticeably short of commencing the delivery of the marijuana, which would seem to be the required step under the majority’s new test based on the language of the test and its examples regarding attempted robbery.
Furthermore, this Court in Lewis, did not, as the majority indicates, somehow alter or clarify the “slight acts” test set forth by the Supreme Court in Lee and Martin. The “slight acts” test is only relevant when criminal intent is clearly established, and Lewis’s criminal intent to deliver marijuana was not clearly established. In fact, the evidence was consistent with his having the exact opposite intention as the Court found the evidence was “consistent with [the] hypothesis” that Lewis intended to commit a completely different crime – i.e., a “shakedown type fraud practiced by this guard on the inmates in which he never had any intention to deliver marijuana.” 15 Va. App. at 341 (emphasis added).
us for not deciding the exact point where preparation ends and attempt begins in all cases. However, whether an overt act has been committed must be determined on a case-by-case basis, viewing the totality of the circumstances in each case. That is why the Supreme Court has clearly
said that there can be no bright-line test for all attempt cases to determine when an action has moved beyond mere preparation. For all these reasons, I cannot join the majority’s effort to create such a bright-line test.
C. The Evidence is Insufficient to Uphold Jones’s Conviction for Attempted Robbery, Given the Complete Lack of Evidence About the Purported Victim’s Whereabouts
Given that Jones’s intent was clearly established through his confession – and not challenged on appeal – we consider the rule that “slight acts done in furtherance of this design will constitute an attempt.” Lee, 144 Va. at 600. Even applying this test, however, the evidence
in this case is insufficient to uphold Jones’s conviction for attempted robbery, primarily because the record is completely devoid of evidence as to the whereabouts of Strickland, the intended target of the planned robbery, and the record does not actually show whether Jones had yet reached the scene of the intended crime. As discussed supra, the slight acts framework does not alleviate the requirement that the actions taken be more than “merely preparatory.” Hicks, 86
Va. at 226-27. Here, we cannot conclude that Jones’s actions were more than “merely preparatory” as the Commonwealth simply failed to put on any evidence that Strickland was present in one of the homes or loft apartments in this neighborhood when these events took place. Not only do we lack evidence of Strickland’s actual location during the relevant time, we cannot even discern from the record precisely where or why the trio believed they would encounter Strickland in order to commence a robbery. The Commonwealth presented absolutely no evidence that would allow the factfinder to conclude that Strickland lived in, or otherwise frequented, the nearby homes or lofts – or that he was expected to make an appearance in the
alleyway or at some other location where Boyce and Jones were following Trip on foot.
In addition, the Commonwealth presented no evidence that Trip was found at the scene when Boyce and Jones were apprehended. Trip’s absence suggests that the co-conspirators had not yet reached the intended scene of the crime because Boyce and Jones would need to be near Trip in order to effectuate their plan to protect him during the robbery.16 For these reasons, I agree with the majority that the conviction for attempted robbery must be reversed. I also agree that the conviction for possession of a firearm in the commission of attempted robbery must be reversed.
D. The Companion Cases of Hopson and Jordan Were Wrongly Decided
While I agree with the majority on the final disposition of this appeal, given the paucity of the evidence put on by the Commonwealth as to the location or presence of any victim in this case, I must also depart from the majority’s analysis because of the importance of definitively overturning this Court’s 1993 decision in the companion cases of Hopson v. Commonwealth, 15
Va. App. 749 (1993), and Jordan v. Commonwealth, 15 Va. App. 759 (1993). The majority
opinion states that “to the extent that Hopson and Jordan are inconsistent with this opinion, they
can no longer be considered good law.” It is abundantly clear, however, that Hopson and Jordan
will remain completely intact as binding precedent in Virginia after today’s decision. According to the majority, “if no person has been subjected to force, violence or intimidation and no
16 Trip’s apparent absence highlights another gap in the Commonwealth’s evidence. In its brief before our full Court, the Commonwealth acknowledged that Jones admitted only to his intent to act as a principal in the second degree. “Our law is clear that no one can be convicted as a principal in the second degree or as an accessory unless the evidence establishes the commission of the offense by a principal in the first degree.” Sult v. Commonwealth, 221 Va. 915, 918 (1981); see also Dusenbery v. Commonwealth, 220 Va. 770, 771-72 (1980). While a fact finder could reasonably infer that Trip was the third individual in the white Mercedes, who got out of the vehicle first and “walked across the street” to an unknown location, there is no evidence as to what Trip did or where he went – or even if he was headed toward Strickland.
Because the Commonwealth failed to prove that there even was a principal in the first degree who committed attempted robbery or robbery, Jones could not be convicted of that crime as a principal in the second degree.
demand to part with personal property made,” attempted robbery has not occurred. Hopson and Jordan had completed their preparations and were then peering around the corner toward the entrance of the store – one with a gun in hand and the other wearing a mask – but the police interrupted them before they could complete the “last proximate act[s]” of robbery and subject the clerk and customers to force, violence, or intimidation. Therefore, under the majority’s test, Hopson and Jordan remain good law. I write separately because, in addition to disagreeing with
the majority’s new test, I believe that Hopson and Jordan must be overturned.
Applying the Supreme Court’s framework to the facts of those cases involving two
co-defendants, I respectfully must conclude that they were wrongly decided. It is important to note that the three-judge panel of this Court that decided the case presently before us reversed Jones’s conviction because the panel determined that Hopson and Jordan mandated that outcome.17 “[W]hile published panel decisions of the Court of Appeals are precedent binding on
17 Hopson and Jordan were distinguishable in other cases where we have upheld attempt convictions, such as Rogers v. Commonwealth, 55 Va. App. 20 (2009), and Reaux-King v.
Commonwealth, No. 0734-14-2 (Va. Ct. App. Apr. 28, 2015), but their continued viability as binding precedent has led to a confusing amalgam of case law. We are rightly hesitant to overturn previous decisions of this Court, but there are occasions, when sitting en banc, where clarifying our case law and correcting a wrongly decided case demands it. The problems created by Hopson and Jordan are especially apparent in Reaux-King. In that case, the evidence demonstrated that Reaux-King met a convenience store clerk outside of the store and told her that he intended to rob the store during her shift. Id. at *1. He showed her a machete that he told her he intended to put against her throat during the robbery. Id. After the clerk went back into the store, Reaux-King paced around the outside of the store and entered and exited the store twice “looking around without buying anything or using the restroom.” Id. at *4. He remained near the store, and the clerk testified that her manager called the police just as Reaux-King leaned behind the ice machine where he had hidden the machete. Id. He was also leaning behind the ice machine when the police arrived. Id. While the panel majority correctly distinguished Hopson and Jordan, the dissent disagreed, stating that “binding Virginia jurisprudence necessitates a reversal in this case” and adding, “Accordingly, I respectfully dissent from the majority opinion because it is inapposite to our holdings in Hopson v.
Commonwealth, 15 Va. App. 749 (1993), and Jordan v. Commonwealth, 15 Va. App. 759 (1993).” Reaux-King, Record No. 0734-14-2, at *7 (Humphreys, J., dissenting). The fact that the dissent in Reaux-King found that these companion decisions would prevent the Court from upholding convictions for an attempted robbery that is as clear as the attempted robbery is in
other panels of [this] Court, the precedent remains subject to review by the Court of Appeals sitting en banc . . . .” Armstrong v. Commonwealth, 263 Va. 573, 581 (2002). Given that we are
now sitting en banc and given the problems with these companion cases involving co-defendants (decided on the same day in 1993), this Court can and should use this opportunity to actually overturn those decisions.
The panel that decided Hopson and Jordan concluded that “[n]one of the two men’s
actions can be regarded as an act toward the consummation of a robbery.” Jordan, 15 Va. App.
at 762. I simply cannot reconcile that conclusion of law with the facts of those cases. I would conclude that the facts were certainly sufficient for a rational factfinder (the jury) to find the evidence sufficient and to establish at least one overt act by the defendants that went beyond mere preparation. The two men were not just “behaving suspiciously,” as the panel suggested. Hopson, 15 Va. App. at 752. Jordan had already entered the store “[o]n several occasions,
apparently to reconnoiter it.” Id. Viewing the facts in the light most favorable to the
Commonwealth (as the party that prevailed at trial), when the additional police officers arrived as back-up, the reconnoitering was by then well completed after already several trips inside the store to check it out. At that point, Jordan was wielding a revolver in his hand and Hopson had pulled a mask over his head as they looked around the corner of the store toward the entrance. Id. Given that “the design of [those defendants] to commit a crime is clearly shown,” Lee, 144
Va. at 600, according to the panel deciding the case, by their hanging around behind the store, reconnoitering the inside of the store several times already that day, and trying to flee when they heard an ambulance siren and as the police arrived, the panel should have applied the slight acts
cases like Reaux-King exemplifies why not explicitly overturning Hopson and Jordan will continue to muddy Virginia case law on attempt crimes.
test.18 In doing so, the panel certainly should have concluded that Hopson’s act of pulling a mask over his head and Jordan’s act of wielding a firearm in his hand (while peering around the side of the building toward the entrance of the store) were both at least “slight acts” done in furtherance of the attempted robbery.
As the majority acknowledges, “the aim of the law is not to punish sins, but is to prevent certain external results, the act done must come pretty near to accomplishing that result before the law will notice it.” In Hopson and Jordan, the defendants came very near to accomplishing the
result. If this Court is to follow the common law and the Supreme Court’s guidance, Hopson and
Jordan cannot stand. Unlike the uncertainties in the case now before us, those defendants were
clearly at the scene of the crime, their preparations were completed, and they were ready to complete the “last proximate act” of the crime of robbery. It was only the intervention of the police that prevented their intended result. Therefore, for all of these reasons, I would overturn this Court’s decision in the two companion cases of co-defendants Hopson and Jordan as they were wrongly decided, and any continued viability of those companion cases will muddy the case law of what constitutes an attempt in Virginia.
E. Conclusion
Our Court is bound by the common law and the decisions of the Supreme Court, including those decisions providing that no bright-line test can or should be made. This Court must continue to apply the framework provided by the Supreme Court in Hicks v.
18 The three-judge panel in Hopson and Jordan should have applied the slight acts test because Hopson’s and Jordan’s design to rob the store was clearly shown. I would note, however, that even using the “commencement of the consummation” standard, it is very difficult to see how Jordan’s wielding a firearm in his hand and Hopson’s having put a mask on his head (as they peered around the corner of the building looking toward the entrance of the store) was not a “commencement of the consummation” of what would have been robbery if the police had not arrived.
Commonwealth, 86 Va. 223, 226-27 (1889), and in Lee v. Commonwealth, 144 Va. 594 (1926),
and, therefore, I cannot join in the majority’s new bright-line test.
I concur in the judgment of this Court, however, because the evidence in this case was insufficient to sustain Jones’s conviction for attempted robbery or use of a firearm in the commission thereof. On the attempted robbery charge, the record is completely devoid of the location of the intended victim. The Commonwealth failed to present evidence of Strickland’s whereabouts, or even of the co-conspirators’ beliefs as to Strickland’s whereabouts, to allow us to infer that the robbery was about to commence or that the co-conspirators had even arrived at the scene of Trip’s purported attempt to rob Strickland. As no evidence was presented even to show that Jones had reached the scene of the intended crime or of where the potential victim was, his conviction for attempted robbery should be reversed.
Finally, I write separately as I would overturn the wrongly decided decisions in the companion cases of Hopson and Jordan because of the importance of ensuring clear guidance in
our jurisprudence dealing with the crime of attempt. Applying the Supreme Court’s slight acts framework, Hopson’s and Jordan’s actions of putting on a mask, wielding a gun, and peering around the corner of the store to its entrance were overt acts that went beyond mere preparation. Although the majority suggests that its new test would limit these cases as precedent to some extent, today’s opinion has no impact on Hopson’s and Jordan’s continued viability and
seemingly actually reaffirms them under the majority’s new test.
For all of these reasons, I concur only in the judgment of this Court reversing Jones’s convictions for attempted robbery and use of a firearm in the commission of attempted robbery.19
19 Jones’s conviction for conspiracy to commit robbery is not before us on appeal and, consequently, remains in place unaffected by our decision today.
In the Court of Appeals of Virginia on Tuesday the 30th day of October, 2018.
Dustin Scott Jones, Appellant,
against Record No. 1764-16-2
Circuit Court Nos. CR16000048-00, CR16000064-00 and CR16000065-00
Commonwealth of Virginia, Appellee.
Upon a Petition for Rehearing En Banc Before the Full Court
On October 16, 2018 came the appellee, by the Attorney General of Virginia, and filed a petition requesting that the Court set aside the judgment rendered herein on October 2, 2018, and grant a rehearing en banc on the issue(s) raised in the petition.
On consideration whereof and pursuant to Rule 5A:35 of the Rules of the Supreme Court of Virginia, the petition for rehearing en banc is granted and the appeal of those issues is reinstated on the docket of this Court. The mandate previously entered herein is stayed pending the decision of the Court en banc.
The parties shall file briefs in compliance with the schedule set forth in Rule 5A:35(b). The appellant shall attach as an addendum to the opening brief upon rehearing en banc a copy of the opinion previously rendered by the Court in this matter. An electronic version of each brief shall be filed with the Court and served on opposing counsel. In addition, four printed copies of each brief shall be filed. It is further ordered that the appellee shall file an electronic version and four additional copies of the appendix previously filed in this case.1
A Copy,
Teste:
Cynthia L. McCoy, Clerk
original order signed by a deputy clerk of the
By: Court of Appeals of Virginia at the direction of the Court
Deputy Clerk
1 The guidelines for filing electronic briefs and appendices can be found at www.courts.state.va.us/online/vaces/resources/guidelines.pdf.
Present: Judges Russell, Chafin and Senior Judge Clements Argued at Richmond, Virginia
DUSTIN SCOTT JONES
MEMORANDUM OPINION* BY
v. Record No. 1764-16-2 JUDGE JEAN HARRISON CLEMENTS OCTOBER 2, 2018
COMMONWEALTH OF VIRGINIA
FROM THE CIRCUIT COURT OF THE CITY OF PETERSBURG
Dennis M. Martin, Sr., Judge
Aaron M. Vandenbrook, Assistant Public Defender I (Shaun R. Huband, Deputy Public Defender, on brief), for appellant.
Craig W. Stallard, Assistant Attorney General (Mark R. Herring, Attorney General, on brief), for appellee.
Appellant was convicted in a bench trial of conspiracy to commit robbery, attempted robbery, and use of a firearm in the commission of attempted robbery. He argues on appeal that the evidence did not prove attempted robbery because the evidence did not establish that he performed an overt act in furtherance of the intended robbery. He also contends that the evidence is insufficient to sustain his conviction for use of a firearm. We agree, and reverse and dismiss both convictions.1
BACKGROUND
At about 5:45 a.m. on October 6, 2015, Petersburg Police Officers Binford and Seabridge saw a white Mercedes drive into the parking lot of a housing complex that they were observing.
* Pursuant to Code § 17.1-413, this opinion is not designated for publication.
1 Although appellant included the circuit court case number for his conspiracy conviction in his notice of appeal, he has not in fact contested that conviction.
They were in an unmarked pickup truck, but wearing full uniform. A man exited the car and walked across the street. Two other men, who were later identified as appellant and Phillip Boyce, got out of the car a few minutes later and “adjust[ed]” their clothing for four or five minutes before starting to cross the street in the same direction that the first man had gone. The officers followed the men to an alley between two residences. They saw appellant and Boyce at the corner behind one of the houses, but not near the door. When the men saw the officers, they started to walk down the alley toward the street. The officers exited their truck and announced their presence. Boyce stopped walking, but appellant fled. Seabridge saw appellant run in and out of a fenced parking lot before returning to the Mercedes and driving away.
Another officer apprehended appellant a short time later. Seabridge then searched the Mercedes, recovering a ski mask. He located another ski mask in a street that appellant had travelled before he was stopped. Several hours later, in response to a telephone call, Seabridge searched the fenced-in area where he had seen appellant running and found a sawed-off shotgun under a bush inside the gate.
After he was arrested, appellant gave Detective Ewers conflicting statements about the incident, but eventually admitted that he and Boyce were there to “make sure Trip didn’t get hurt.” According to appellant, Trip had intended to rob a known drug dealer, A.S. No evidence was presented at trial regarding where A.S. lived.
The trial court determined that appellant’s statement to the police that he accompanied Trip to protect him during the planned robbery made appellant “part of the robbery.” The court said that if appellant had said nothing, the evidence would be insufficient to convict him.
ANALYSIS
When reviewing a challenge to the sufficiency of the evidence, this Court considers the evidence in the light most favorable to the Commonwealth, the prevailing party below, and
reverses the judgment of the trial court only when its decision is plainly wrong or without evidence to support it. See Farhoumand v. Commonwealth, 288 Va. 338, 351, 764 S.E.2d 95,
102 (2014).
An attempted crime “is composed of two elements, the intent to commit the crime and the doing of some direct act toward its consummation, but falling short of the accomplishment of the ultimate design.” Rogers v. Commonwealth, 55 Va. App. 20, 24-25, 683 S.E.2d 311, 312-13
(2009) (quoting Johnson v. Commonwealth, 209 Va. 291, 293, 163 S.E.2d 570, 573 (1968)).
Here, because appellant has not challenged the sufficiency of the evidence to prove intent to commit robbery, we are concerned only with whether the evidence proved an overt or direct act. If the intent to commit a crime is clearly established, “slight acts done in furtherance of this design will constitute an attempt.” Tharrington v. Commonwealth, 2 Va. App. 491, 494, 346
S.E.2d 337, 339 (1986) (quoting State v. Bell, 316 S.E.2d 611, 616 (N.C. 1984)). Whether
conduct is an overt act is determined by the specific facts of each case. See Jay v.
Commonwealth, 275 Va. 510, 525, 659 S.E.2d 311, 320 (2008). The act must be more than
mere preparation, but it need not be the last act necessary to accomplish the crime. See id. at
526, 659 S.E.2d at 320. However, the act must be a “step in a direct movement towards the commission of the offence after the preparations are made.” Rogers, 55 Va. App. at 25, 683
S.E.2d at 314 (quoting Hicks v. Commonwealth, 86 Va. 223, 227, 9 S.E. 1024, 1025 (1889)).
We agree with appellant that his case is controlled by Hopson v. Commonwealth, 15
Va. App. 749, 427 S.E.2d 221 (1993), and Jordan v. Commonwealth, 15 Va. App. 759, 427
S.E.2d 231 (1993). Those cases involved co-defendants whose convictions for attempted robbery were reversed on appeal. The two men were observed outside a store “behaving suspiciously.” Hopson, 15 Va. App. at 752, 427 S.E.2d at 223. Hopson was seen wearing a
mask at one point, and Jordan had a gun in his pocket and had surveyed the store. Id. But they
did not attempt to enter the store, and they made no “move toward realizing the ultimate purpose of robbery.” Id. We held that the evidence was “consistent only with scouting the store,” but did
not demonstrate an overt act to support attempted robbery. Id.
Similarly, here, the evidence did not prove that appellant had begun the actual robbery or that its execution was otherwise imminent. The evidence established that Officers Binford and Seabridge saw a man get out of a car that had been driven into a parking lot and then walk across the street. A few minutes later, they saw appellant and Boyce get out of the car, adjust their clothing and put on hooded sweatshirts, and then walk down an alley between two buildings in the same direction as the first man had gone. However, there was no evidence presented that the planned robbery was imminent or that the intended victim lived in the area of the alley, or was expected to be there at that time. Thus, the evidence showed only some possible preparation for the intended crime, rather than any overt act. “The [attempted] crime must be ‘in such progress that it will be consummated unless interrupted by circumstances independent of the will of the attempter, and the act must not be equivocal in nature.’” Bloom v. Commonwealth, 34 Va. App.
364, 371, 542 S.E.2d 18, 21 (quoting Lewis v. Commonwealth, 15 Va. App. 337, 340, 423
S.E.2d 371, 373 (1992)), aff’d, 262 Va. 814, 554 S.E.2d 84 (2001).
The Commonwealth’s reliance on Rogers is misplaced because the facts in the case are
distinguishable from appellant’s case. In Rogers, the victim saw appellant and another man
standing outside his apartment building. A short time later, the victim’s doorbell rang, and when he looked out the peephole in the front door, he saw appellant and the other man. The appellant put a black bandana over his face. The victim told his wife to call the police. Looking out the peephole again, the victim saw a third man who appeared to have a gun, and appellant had a baseball bat in his hands. The men continued to ring the doorbell, but the victim did not open the door. The three men fled in a car as the police arrived. This Court held that the evidence was
sufficient to convict appellant of attempted robbery because the completion of the crime was foiled by the appearance of the police. See 55 Va. App. at 29, 683 S.E.2d at 316.
In appellant’s case, the police intervened before the intended robbery occurred, but evidence that appellant performed a direct act was lacking. As in Hopson and Jordan, the
evidence here did not establish the requisite overt act to prove attempted robbery.
Because we find the evidence insufficient to sustain appellant’s conviction for attempted robbery, we also must find that the related conviction for use of a firearm fails. “Under the plain language of Code § 18.2-53.1, there can be no conviction for use or attempted use of a firearm when there has been no commission of one of the predicate offenses enumerated in the statute.” Jay, 275 Va. at 527, 659 S.E.2d at 321. See Hopson, 15 Va. App. at 752-53, 427 S.E.2d at 223
(holding that defendant’s conviction for use of a firearm in the commission of attempted robbery could not stand because it was “contingent upon proof of the underlying felony,” and such proof was lacking).
For these reasons, we reverse and dismiss appellant’s convictions for attempted robbery and use of a firearm in the commission of attempted robbery.
Reversed and dismissed.
9.2 Complicity 9.2 Complicity
9.2.1 Hicks v. United States 9.2.1 Hicks v. United States
HICKS v. UNITED STATES.
ERROR TO THE CIRCUIT CQURT OF THE UNITED STATES FOR THE WESTERN DISTRICT OF ARKANSAS.
No. 971.
Submitted. November 16, 1893.
Decided November 27, 1893.
H. .was indicted jointly with. R. for the murder of C. Before the clay of trial R. was killed, whereupon H. was tried separately. It was clearly proved at the trial .that H. did not kill C. nor take any part in the physi- ' cal struggle which resulted in his death at the hands of R. There was' evidence tending-to show that by his language and gestures H. abetted R., but this evidence was given by persons who stood at some distance from the scene of the crime. H. denied having used such language, or any language with an intent to participate in the murder, and insisted that what he had said had been said under the apprehension that R., -who *443was .in a dangerous mood, was about to shoot him (EL).- The court instructed the jury that it was proved beyond controversy that R. fired the gun, and continued: “If the defendant was actually or constructively . present at that time, and in any way aided or abetted by .word or by advising or encouraging the shooting of C.-by R., we have a condition which under the law puts him present at-the place of the crime; and if the facts show that he either aided or abetted or advised or encouraged R., he is made a participant in the crime as thoroughly and completely as though he had with his own hand fired the shot which took the life of the man killed The law further says that if he was actually present at . that place at the time of the firing by R. and he was there for the purpose of either aiding, abetting, advising, or encouraging the shooting of C. by R., and that as a matter of fact he did not do it, but was present •at the place for the purpose of aiding or abetting or advising or- encouraging his shooting, but he did not do it- because it was not necessary, it was done without his assistance, the law says there is a third condition where guilt is fastened to his act in that regard.” Helcl, that this in- ■ struction was erroneous in two particulars :
(1) It omitted to instruct the jury that the acts or words of encouragement and abetting must have been used by the accused with the . intention of encouraging and abetting R.;
(2) Because the evidence, so far as the court is permitted to notice it, as contained in the bills of exception, and set forth in the charge, shows no facts from which the jury could have properly found that the rencounter was the result of any previous conspiracy or arrangement.
Under the provisions in the act of March 16,1878, 20 Stat. 30, c. 37, H. at the trial offered himself as a witness in his own behalf. In charging the jury the court said: “The defendant has gone upon the stand in this case and made his statement. You are to weigh its reasonableness, its probability, its consistency, and' above all you consider it in the light of the other evidence, in the sight of the other facts. If he is contradicted by other reliable facts, that goes against him, goes against his ‘ evidence. You may explain it perhaps- on the theox-y of an honest mistake or a case of forgetfulness, but if there is a 'conflict as to material facts between his statements and the statements of the other witnesses who are telling the truth, then you would have a contradiction that would weigh against the statements of the defendant as coming from such Witnesses.” Held, that this was errqr, as it tended to defeat th.e wise and humane provision of the law that “ the person charged shall, at his own request, but not otherwise, be a competent witness.”
The exception to the judge’s chax’ge does not embrace too lax’ge a portion of it, and is not subject to the often sustained objection, of not being sufficiently precise and pointed to call the attention of the judge to the particular error complained of.
The case is stated in the opinion.
*444Mr. A. H. Garlmid for plaintiff in error.
Mr. Assistant Attorney General Gonrad for defendants in error.,
delivered the opinion of the court.
In the Circuit Court of the-United States for the "Western District of Arkansas, John Hicks, an Indian, was jointly-indicted with Stand Rowe, also an Indian, for the murder of Andrew J. Colvard, a white man, by shooting him with a gun on the 13th of February, 1892. Rowe was killed by the officers in the attempt to arrest him, and Hicks was tried separately and found guilty in March, 1893. We adopt the statement of the facts in the case -made in the brief for the government as correct and as sufficient for our purposes:
“It appears that on the night of the 12th of February, 1892, there was a dance at the house of Jim Rowe, in the Cherokee Nation; that Jim Rowe was a brother to Stand Rowe, who was indicted jointly with the defendant; that a large number of men and women were in attendance; that the dance continued until near sunrise the morning of the 13th ; that Stand Rowe, and the defendant were engaged in what was called £ scouting,’ Viz., eluding the United States marshals who were in search of them with warrants for their arrest, and were armed for the purpose of' resisting arrest; they appeared at the dance, each armed with a Winchester rifle; they were both Cherokee Indians. The deceased, Andrew J. Colvard, was a white man who had married a Cherokee woman; he had been engaged in the mercantile business in the Cherokee country until a few'months before the homicide; he came to the dance on horseback on the evening of the 12th. A good deal oP whiskey was drank during the night by the persons present, and Colvard appears to have been drunk at some time during the night. Colvard spoke Cherokee fluently, and appears to have been very friendly with Stand Rowe and the defendant Hicks.'
“ On the morning of the 13th, as the party were dispersing, *445Colvard invited Stand Rówe and Hicks to go home with him, and repeated frequently this invitation. -Finally, he offered as an inducement to Stand Rowe, if he would accompany him home, to give him a suit of clothes, and a hat and boots. The urgency of these invitations appears to have excited the suspicion of the plaintiff in error, who declared, openly, that if Colvard persisted in his effort to take Stand Rowe away with him he would shoot him.
“ Some time after sunrise on. the morning of the 13th, about Y o’clock, S. J. Christian, Benjamin 'F. Christian, Win. J. Murphy, and Robert Murphy, all of whom had been at the dance the night .before and had seen there Colvard, Stand Rowe, and the defendant, were standing, on the porch of the house of William J. Murphy, about 414 steps west from the house of Jim Rowe, and saw Stand Rowe, coming on horseback in a moderate walk, with his Winchester rifle lying down •in front of him, down a ‘ trail,’ which led into the main travelled road. Before Stand Rowe appeared in sight the men who were on the porch had heard a £ whoop ’ in the direction from which Stand Rowe came, .and this ‘ whoop ’■ was responded to by one from the main road in the direction of Jim Rowe’s house. Stand Rowe halted within five or six feet of the main road, and the men on the porch saw Mr. Colvard and the defendant Hicks riding together down the main road from the direction of Jim Rowe’s house.
“ As Col vara and .Hicks approached the point where Stand Rowe'was sitting on his horse, Stand Rowe rode out into the road and halted. Colvard then rode up to him in a lope or canter, leaving Hicks, the defendant, some 30 or 40 feet in his rear. The point where the three men were together on their horses was about 100 yards from where the four witnesses stood on the porch. The conversation between the three men on horseback was not fully heard by the four men on the porch, and all that was heard was not understood, because part of it was carried on in the Cherokee tongue; but some part of this conversation was distinctly heard and clearly understood by these witnesses; they saw Stand.Rowe twice raise his rifle and aim it at Colvard, and twice he lowered it; they *446heard Colvard say, £I am a friend to both of you;’ they saw and heard the defendant Iiioks laugh aloud when Eowe directed his rifle toward Colvard; they saw Hicks take off his hat and hit his horse on the neck or shoulder with it; they heard Hicks say to Colvard, £ Take off your hat and die like a man ;’ they saw Stand Eowe raise his rifle for the third time, point it at Colvard, fire it; they saw Colvard’s horse wheel and run back in the direction of Jim Eowe’s house, 115 or 116 steps; they saw-Colvard fall from his horse; they went to where he was lying in the road and found him dead-; they saw. Stand'Eowe and John Hicks ride off together after the shooting.”
Hicks testified in his own behalf, denying that he had encouraged Eowe to shoot Colvard, and alleging that he had endeavored to persuade Eowe not to shoot. -
At the trial the government’s evidence clearly disclosed that John Hicks, the accused, did not, as charged in the indictment, shoot the deceased, nor take any.part in the physical struggle. To secure a conviction it hence became necessary to claim that the evidence showed such participation in' the ■ felonious shooting of the deceased as to make the accused an accessory, or that he so acted in aiding and abetting Eowe as to make him guilty as a principal'. . The prosecution relied on evidence tending to show that Eowe and Hicks cooperated in inducing Colvard to leave the house, where they and a number of others had passed the night in a drunken dance, and to accompany them up the road to the spot where the shooting took • place. Evidence was likewise given by two or three men, who, from a house about one hundred yards distant, were eyewitnesses of the occurrence, that the three men were seated on their horses a few feet apart; that Eowe twice raised his gun and aimed at Colvard; that Hicks was heard to laugh on both ' occasions; that Eowe thereupon withdrew his gun; that Hicks pulled off his hat, and, striking his horse with it, said to Oolvard : “Pull off your hat and die like a man;” that thereupon Eowe raised his gun a third time and fired at Colvard, whose horse then ran some distance before Colvard fell. As the horse ran, Eowe fired a second time. When Colvard’s *447body was subsequently examined it was found that the first bullet had passed through his chest, inflicting a fatal wound, and that the second-had not taken effect.
The language attributed to Hicks, and which he denied having used, cannot be said to have been entirely free from ambiguity. It was addressed not to Rowe, but to Colvard. Hicks testified that Rowe was in a dangerous mood, and that he did not know whether he would shoot Colvard or Hicks. The remark made — if made -—• accompanied with the gesture of taking off his own hat, may have been an utterance of desperation, occasioned by his belief that Rowe would shoot one or both of them. That Hicks and Rowe rode off together after seeing Colvard fall was used as a fact against Hicks, pointing to a conspiracy between them. Hicks testified that he did it in fear of his life ;• that Rowe had demanded that he should show him the road which he wished to travel. Hicks' further testified, and in this he was not contradicted, that he separated-from Rowe a few minutes afterwards, on the first opportunity, and'that he never afterwards -had any intercourse with him, nor had he been in the company of Rowe for several weeks before the night of the fatal occurrence.
Two of the assignments of error are especially relied on by the counsel of the accused. One arises out of that portion of the charge wherein the judge sought to instruct the jury as to the evidence relied on as showing that Hicks aided and abetted Rowe in the commission of the crime. The language of the learned judge was as follows:
“We are to proceed then to see whether the defendant was a party to the killing — that is, whether he was connected with it, or so aided or assisted in producing the act, as under the law he is responsible by the rules of the law for that act, as well as the man who fired the fatal shot if he were alive. We go to the first proposition where the crime of murder has been committed, which asserts that he who with his own hand did the act which produced the result is guilty. The second proposition is, that if at the time that-. Andrew -J. Colvard was shot by Stand Rowe, the defendant was present at that time and at the place of shooting, that, of course, *448would not alone make him guilty — the mere fact that he "was present. Yet it is an element that we are to take into consideration to see whether his connection with the killing was such that’he is guilty of the crime, because he could not be guilty unless present actually or constructively. Then we are to see whether he was present at the place of the killing. That does not mean that he had to be right at the man who was shot, right by the side of Stand Eowe, but that, he was ■ so near to that place as that he could in some way contribute to the result that was produced by some act done by him or by some words spoken by him. First, then, we inquire if. he was present at the place of the shooting, and then while so present whether he aided, abetted, or advised, or encouraged the shooting of Andrew J. Colvard by Stand Eowe. Now, that is the second proposition I have asserted. Stand Eowe, as the proofs show beyond controversy, (and ■ when the proof showa. anything beyond controversy I may allude to it in that way,) is the man who fired the gun. If the defendant was actually or constructively present at that time, and in any way aided or abetted .by word or by advising or encouraging the shooting of Colvard by Stand Eowe, we have a condition which under the law puts him present at the place of the crime; and if the facts show that he either aided or abetted or advised or encouraged Stand' Eowe, he is made a participant in the- crime as thoroughly and completely as though he had with his own hand fired the shot which took the life of the man killed. That is the second condition. The law further says that if he was actually present at that place at the time of the firing by Stand Eowe, and he was there for the purpose of either aiding, abetting, advising, or encouraging the shooting of Andrew J. Colvard by Stand Eowe, and that as a matter of fact hé did not do it, but was present at the place for the purpose of aiding or abetting or advising or encouraging his shooting, but he did not do it because it was not necessary, it was done without his assistance, the law says there is a third condition where guilt is fastened to his act in that regard.”
*449"We agree with- the counsel for the plaintiff in error in-thinking that this instruction was erroneous in two particulars. It omitted to instruct the jury that the acts or words of encouragement and abetting must have been used by the accused with the intention of encouraging and abetting Eowe. So far as the instruction goes, the words .may have been used for a different purpose, and yet have had" the actual effect of inciting Eowe to commit- the murderous act. Hicks, indeed, testified that the expressions used by him were intended to dissuade. Eowe from shooting. But the jury were left to find Hicks guilty as a principal because, the effect of his words may have had the result of encouraging Eowe to shoot,- regardless of Hicks’ intention. In another part of the charge the learned judge did make an observation as to the question of intention in the use of the' words, saying: “ If the deliberate and intentional use of words has the effect to encourage one man to -kill another, he who uttered these words is presumed by the law to have intended that effect, and is responsible therefor.” This statement is itself defective in confounding the intentional use of the "words with the intention as respects the effect to be produced. Hicks no doubt intended to use the words he did use, .but did he thereby intend that they were to be understood by Eowe as an encouragement to act ? However this may be,-we do not think this expression of the learned judge availed to cure the defect already noticed in his charge, that the mere use of certain words would suffice to warrant the jury in finding Hicks guilty, regardless of the intention with which they were Used.
Another error is contained in that portion of the charge now under review, and that is the statement “ that' if Hicks was actually present at that place at the time of the firing by Stand Eowe, and he-was there for the purpose' of either aiding, abetting, advising, or encouraging the shooting of Andrew J. Colvard by Stand Eowe, and that, as a matter of fact, he did not do it, but was present for the purpose of aiding or abetting or advising or encouraging his shooting, but he'did not'do it because it was not .necessary, it was done without his assistance, *450the law says there is a third condition where guilt is fastened to his act in that regard.”
Ve understand this language to mean that where an accomplice is present for the purpose of aiding and abetting in a murder, but refrains from so aiding and abetting because it turned out not to be necessary for the accomplishment of the common purpose, he is equally guilty as if he had actively participated by words or acts 'of encouragement. Thus understood, the statement might, in some instances, be a correct instruction. Thus, if there had been evidence sufficient to show that there had been a previous conspiracy between Ilowe ■ and Hicks to waylay and kill Colvard, Hicks,'if present at the time of the killing, would be guilty, even if it was found .unnecessary for him to apt. But the error of such an instruction, in the present case, is in the fact that there was no evidence on which to basé it. The evidence, so far as we are permitted to notice it, as contained in'the bills of exception, and set forth in the charge, shows no facts from which the jury could have properly found that the rencounter was the result of any previous conspiracy or arrangement. The jury might well, therefore,.have thought that they were following the court’s instructions, in finding the accused guilty because he was present at the time -and place of the murder, although 'he contributed neither by word or action to the crime, and although there was no substantial evidence of any conspiracy or prior arrangement between him and Rowe.
Another assignment seems to us to present a substantial error. This has to do with the instructions by the learned judge to the jury, on the weight which they should give to the testimony of the accused in his own behalf. Those instructions were in the following words:
“ The defendant has gone upon the stand in this case and made his statement. You are to weigh its reasonableness, its probability, its consistency, and above all you consider it in the light of the other evidence, in the light of the other facts. If he is contradicted by other reliable facts, that goes against him, goes against his evidence. You may explain it perhaps on the 'theory of an honest mistake or a case of forgetfulness, *451but if there is a conflict as to material facts between his state- - ments and the statements of the other witnesses who are telling the truth, then you would have a contradiction that would weigh against the statements of the defendant as coming from such witnesses. You are to consider his interest in this case; you are to consider his consequent motive growing out of that interest' in passing upon the truthfulness or falsity of his statement. He is in an attitude, of course, where any of us, if -so situated, would have a large interest in the result of the case,, the largest, perhaps, we could have • under any circumstances in life, and such an interest, consequently, as might cause us to make statements to influence a jury in passing upon our case that would not be governed by the truth; we might be led away from the truth because of oúr desire. Therefore it is but right, and it is your duty to view the statements of such a witness in the light ■ of his attitude and in the light of other evidence.”
The learned judge therein suggests to the jury that there was or might be “ a conflict as to material facts between the statements of the accused and the statements of the other witnesses who are telling the truth,” hnd’ that “then you would have a contradiction that would weigh against the statements of the defendant as coming from such witnesses.”
The obvious objection to this suggestion is in its assumption that the other witnesses, whose statements contradicted those of the accused, were “ telling the truth.”
The learned judge further, in this instruction, .argued to the jury that, in considering the personal testimony of the accused, they should consider “his interest in this case.” “You are to - consider his consequent motive growing out of that interest in passing upon the truthfulness or falsity of his statement: lie is in an attitude, of course, where any of us, if so situated, would have a large interest in the result of the case, the largest, perhaps, we could have under any circumstances in life, and such an interest consequently as might cause us to make statements to influence a jury in passing upon our case that would not be governed by the truth; we might be led away from the truth because of our desire. Therefore it is *452but right, and it is but your duty to review the statements of such a witness in the light of his attitude, and in the light of the other evidence.”
It is not easy to say what effect this ’instruction had upon the jury. If this were the only objectionable language contained in the charge, we might hesitate in saying that it amounted to reversible error. It is not unusual to warn juries that they should be careful in giving effect to the testimony of accomplices; and, perhaps, a judge cannot be considered as going out of his province in giving a similar caution as to the testimony of the accused person. Still it must be remembered that men may testify truthfully, although their lives hang in the balance, and that the law, in its wisdom, has provided that the accused shall have the right to testify in his own behalf. Such a privilege would be a vain one if the judge, to whose lightest word the jury, properly enough, give a great weight, should intimate that the dreadful condition in which the accused finds himself should deprive his testimony of probability. The .wise and humane provision of the law is that “ the person charged shall, at his own request, but not otherwise, be a competent witness.” The policy of this enactment should not be defeated by hostile comments of the trial judge, whose duty it is to give reasonable effect and force to the law.
These strictures cannot be regarded as inappropriate when the facts of the present case are considered. The only substantial evidence against the accused, on which the jury had a right to find him guilty, was that of witnesses who testified to words used by him at a distance of hot less than one hundred yards.- Apart from the language so attributed to him, there was no evidence that would have warranted a jury in condemning him. His denial of his use of the words and his explanation of his conduct should, we think, have been submitted to the jury as entitled to the most careful consideration. There was nothing intrinsically improbable in his statements; and it is not without significance that the inculpatory words were not testified to by the witnesses at the preliminary examination before the commissioner when the incident was fresh in their, recollection.
*453It is urged in the brief filed for the government that the exception which is the subject of the first assignment of error should not be considered by this court because it embraces too large a portion of the judge’s charge, and cases are cited in whieli this court has censured wholesale exceptions to a.charge. It is justly said that the exception ought to be so precise and pointed as to call the attention of the judge to the particular error complained of, so as to afford him. an opportunity to correct any inadvertence, in form or substance, into which he may have fallen. And it is further said that the revising court ought not to be compelled to search through long passages in an exception to reach errors that may be contained therein.
Conceding that such criticisms have often been- justly made, we yet think that they do not apply to the exception under consideration. To enable us to form a just view of-the error complained of, it was necessary, or" at least useful, to cite the entire passage of the charge that covered it. To have selected certain obnoxious sentences as the subject of special exceptions might have justified the very opposite criticism, that the omitted context would have explained or nullified the error.
The learned judge below seems to have been satisfied with the shape in which the exceptions were presented to him, and we think .they sufficiently raise the questions we have considered.
The judgment of the court- below is
Reversed and the cause remanded, with directions -to set aside the verdict <md award a new trial.
with whom concurred Mr. Justice Brown, dissenting.
I dissent from the opinion and judgment of the court in this case. It seems to me that the opinion proceeds in disregard of rules long ago established in regard to the conditions under which an appellate court will review the instructions given on the trial. Take the first matter referred to in the opinion. A page or so of the court’s charge is excepted *454to, and the exception is taken in this way: “ To the giving of which, charge to the jury the defendant at the time ex- . cepted.” No particular sentence, or proposition on this page is excepted to; no ground of objection is noted; the attention ■of the trial court is not directed to any matter, whether of .statement or omission, which the defendant claims is objectionable, and so no opportunity given to correct the alleged mistake.
I understand the rule of law to be well settled that the attention' of the.trial court must be called to the specific matter which is claimed. to be objectionable, and so called that an opportunity is given to make a correction. Non con-stat., but that if the attention of the court is thus called to the particular matter it will correct, and thus remedy any supposed error. Now, as stated, this whole page is objected to, and no grounds of objection given —no particular matter pointed out as erroneous. And yet there can be no doubt that much of what is said,-and some, at least, of the propositions found in this portion of the charge, are unobjectionable. What is there wrong,, for instance, in these declarations of law :
“We go to the first proposition where the crime of murder has been committed, which asserts that he who with his own hand did the act which produced the result is guilty. The second proposition is that if at the time that Andrew J. Colvard was shot by Stand Eowe the defendant was present at that time and at the place of the. shooting, that, of course, would not alone make him guilty—the mere fact that he was present.” “Yet it is ah element that we are to take into consideration to see whether his connection with the act of killing was such that he is guilty of the' crime, because he could not be guilty unless present actually or constructively.” “Then we are to see whether he was present at the place of the killing. That does not mean that he had to be right at the man who was shot — right by the side of Stand Eowe — but that he was so near to that place as that he could.in some way contribute to the result that was produced by some act done by him or some words spoken by him.”
*455The decision of this court is that in the latter part of the charge on this page there was an omission of certain matter which wTas necessary to make'the statement of the law full and accurate. What- is the omission ? Simply this, that when the court spoke of aiding or abetting “ by word or by advising or encouraging,” it did not add that “the acts or.words of encouragement and abetting must-have been used -by the accused with the intention of encouraging and abetting.” Can a party “advise” another to kill without intending to encourage the killing ? Does not the word “ abet ” imply an intent that the party shall do that which he is abetted to do ?' Bouvier (vol. 1, p. 39) says : “ To abet another to commit a murder is to Command, procure, or counsel himfo commit it.” We are not dealing with the mock scenes and shows of the-stage, but with real life,, and-in that who does.not understand that the significance of the word “ abet ” is as Bouvier defines it, and carries with it the intent that the party shall do that which he is commanded, counselled, or encouraged to do % But whatever of technical criticism may be placed upon this lan- • guage, can there be any doubt that twelve ordinary men, sitting as jurors, would understand that there was implied the intent on the párt of the defendant to bring about the homicide by the use of the words ? If the counsel for defendant thought there was any possibility of the jury being misled, or that any juror -would understand the court as meaning to tell them that a party who, with no thought of murder, makes some casual remark, upon the hearing of which a third person is prompted to shoot and kill, was also guilty of murder from the mere fact of this accidental remark, all that would have been necessary would have been to call the attention of the court to the matter, and to avoid the possibility of misunderstanding a correction would unquestionably have been made.' It seems to me that great injustice is being done to the government and wrong to the public when verdicts of guilty are set aside by reason of an omission from the charge, which probably did not mislead the jury, which would unquestionably have been corrected if Called to the attention of the court, which was not specially- excepted to, which affects but *456one proposition among many, all of which were challenged by only a single exception running to them as an entirety, which was not noticed in the motion for’a new trial or in the assignment of errors, and is evidently an afterthought of counsel, with the record before them studying up some ground for a reversal.
With regard to the second error, said by the court to exist in this page of the charge, it is found, as clearly appears from the opinion, only in the last sentence, and as an independent proposition. No 'separate exception was filed to that proposition. Could anything more clearly emphasize the fact that by this opinion the court is reversing the rule heretofore laid down as law in the quotations presently to be made, than thus jMcking out a single sentence containing an independent proposition, not especially excepted to, and declaring that a general exception to an entire page brings this error up for review. And that, too, when it is conceded that the objectionable woi’ds stated a proposition of law correctly applicable to some cases, though, as claimed, not to the facts of this. And here it is well to note the language of rule 4 of this court: “ The judges of the Circuit and District,Courts shall not allow any bill of exceptions which shall contain the charge of the court at large to the jury in trials at common law, upon any general exception to the whole of such charge. But the party except-i irjg shall be required to state distinctly the several matters of law in such charge to which he excepts, and those matters of law, and those only, shall be inserted in the bill of exceptions; and allowed by the court.”
What matter of law was distinctly stated in the bill of exceptions % I understand the court to concede that the rule is substantially as I have claimed, but hold, that it is inapplicable here, and that in order to present a just view of the error complained of, it was necessary, or at least useful, to cite the entire passage of the charge that covered-it. The law is good, but it ought not to be enforced. When, as here, the entire -charge is preserved in the record it is not necessary to extend an exception to a whole page in order to see the bearing of the particular matter o,f alleged error. Even if the entire *457charge was nob preserved, and we had only this page before us, and the consideration of the entire charge was .necessary to disclose the bearing of the particular sentence or proposition claimed to be erroneous — conceding all this, it. does not obviate the difficulty that the specific error now complained of was not called to the attention of the trial court. And, after all,'the rule is as shown in the quotations following, that an objection must be made in such a way that the trial court knows- what it is that is objected to, and has an opportunity to make a correction.. Nothing of that kind is possible when a party excepts to a whole page of the charge, and in the appellate court, for the first time, calls attention to the specific matter in a portion of that page which is said to be objectionable.
The suggestion that, because the learned judge below was satisfied with the shape in which the exceptions were presented to him, this court must consider them as sufficient for any matter which the ingenuity of counsel may, since the trial, ■ have discovered, has certainly the merit of novelty. No one can say, from this record, that the questions which have been argued and upon which the reversal is ordered were ever suggested to the trial court at the time the instructions were given, or on the motion for a new trial, and they are not named in the assignments of error. And yet, because the trial judge did not direct that the • exceptions be prepared in some other way, this court holds that they are sufficient to bring all thq matters involved in this page of the charge before this court.
In the case of Carver v. Jackson, 4 Pet. 1, 81, the entire Charge was placed in the record, with a general exception to each and every part thereof. This practice was strongly condemned, and in the opinion Mr. Justice Story uses this language, quoted approvingly by Chief Justice Marshall in Ex parte Crane, 5 Pet. 190, 198:
“ If, indeed, in the summing up, the court should mistake the law, that would justly furnish a ground, for an exception. But the exception should be strictly confined to that misstate^ ,ment, and, by being made known at the moment, would often enable the court to correct an erroneous expression, or to *458explain or qualify it in such a manner as to make it wholly unexceptionable, or perfectly distinct.”
In the case of the First Unitarian Society v. Faulkner, 91 U. S. 415, 423, this court said :
“ Two or throe passages of the charge, it must be admitted, are quite indefinite, and somewhat obscure; but they are not more so than the exceptions of the defendants, which are addressed'to nearly a page of the remarks of the judge, without any attempt to specify any particular paragraph or passage as the subject of complaint; nor does the assignment of errors have much tendency to remove the ambiguity.
“Instructions given by the court to the jury are entitled to a reasonable interpretation; and they are not, as a general rule, to be regarded as the subject of error on account of omissions not pointed out by the excepting party.”
In Railroad Company v. Varnell, 98 U. S. 479, 482, a similar matter was presented to the court and disposed of in these words:
'“ Three exceptions are, embraced in the first assignment .of error, and the complaint is that the court erred in failing to give the defendants the full benefit of their evidence as to the contributory negligence of the plaintiff.
“ Turning to the record, it appears that the first exception to the charge of the court is addressed to nearly a page of the remarks of the presiding justice, with nothing to aid the inquirer in determining what the complaint is, beyond what majT be derived from the exception, which is in the following words : £ To which instruction the counsel for the defendants then and there excepted.’
“Much less difficulty would arise if the assignment of error contained any designation of the precise matter of complaint; but nothing of the kind can be obtained from that source. Certain portions of those remarks appear to be unobjectionable ; as, for example, the judge told the jury that they must first determine whether the plaintiff was a passenger on the railroad of the defendants, and he called their attention to the testimony of the conductor, that the plaintiff was not in the car in which it seems he claimed that he had been riding just before he received the injury.”
*459In Mobile & Montgomery Railway v. Jurey, 111 U. S. 584, 596, the rule is thus stated:
“ Conceding that the charge in respect to the rate of interest was erroneous, the judgment should not be reversed on account of the error. The charge contained at least two propositions, first, that the measure of damages was the value of the . cotton in New Orleans, with interest from the time when the cotton should have been delivered ; second, that the rate of interest should be eight per cent. It is not disputed that the first proposition was correct. But the exception to. the charge Avas general. It Avas, therefore, ineffectual. It should ha\Te' pointed out to the court the precise part of the charge that was objected to'. cThe rule is, that the matter of exception shall be so brought to the attention of the court, before the retirement of the jury to make up their verdict, as to enable the judge to correct any error if there be any in his instructions to them.’ ”
See also Bogk v. Gassert, 149 U. S. 17, 26.
And this, I understand, is the rule in all appellate courts! I think it should be strictly adhered to, and that this court should, not notice an exception Avhich runs to a page of the court’s charge, which points- out no sentence or clause Avhich is objected to, and specifies no ground of objection.
Again, in that portion of the charge calling attention to the weight to be given to the testimony of the defendant, I think the court committed no error. The statute makes the defendant a competent Avitness. It affirms nothing as to his credibility. I understand the rule to be that a court is always at liberty to refer to any matters, interest, impeachment, contradiction, feeling, or otherwise, that .bear upon the question of the credibility of any Avitness. When the defendant becomes a witness he subjects himself' to the same liability to criticism. Stress is laid upon these pvords “ the other Avitnesses who are telling the truth,” and'it'is said that there Js an assumption that the witnesses who contradict the defendant are telling the truth. If the first “the” had been omitted, and the language been “ other Avitnesses,” etc., no such implication would arise. Is not this a refinement of criticism which offends com*460moa sense ? Does any one suppose. that the jury understood the court to instruct them that th'e witnesses for the government were telling the truth, and that the defendant ivas lying when he testified differently? Is it not clear that they would understand simply that their attention was called to the effect on his credibility of a contradiction between his testimony and that of disinterested witnesses ? I-Ias it come to this that the use of the “definite article” in a charge is sufficient to set aside it verdict and overthrow a trial? It is indisputable that where the government calls an accomplice, it is the right, if not the duty, of the court to call the attention of the jury to his relationship to the case,, and the bearing which • such relationship has upon .his credibility. If it may and ought to do that to protect the defendant against the danger of perjury on the part of witnesses of the government, may i't not, and ought it not to, do the same to protect the government against the, at least equal, danger of perjury on the defendant’s part? It is the duty of the trial court to hold the scales even between the government and the defendant, and, generally speaking, what it may and ought to do on the one side it may and ought to do on the other. For these reasons I dissent.
I am authorized to say that Ms. Justice Drown concurs with me in this dissent.
9.2.2 Rosemond v. United States 9.2.2 Rosemond v. United States
Justice Kagan delivered the opinion of the Court.[1]*
...
The Government charged Rosemond with, inter alia, violating §924(c) by using a gun in connection with a drug trafficking crime, or aiding and abetting that offense under §2 of Title 18. Section 924(c) provides that “any person who, during and in relation to any crime of violence or drug trafficking crime[,] . . . uses or carries a firearm,” shall receive a five-year mandatory-minimum sentence, with seven- and ten-year minimums applicable, respectively, if the firearm is also brandished or discharged. 18 U. S. C. §924(c)(1)(A). Section 2, for its part, is the federal aiding and abetting statute: It provides that “[w]hoever commits an offense against the United States or aids, abets, counsels, commands, induces or procures its commission is punishable as a principal.”
[T]he Government prosecuted the §924(c) charge on two alternative theories. The Government’s primary contention was that Rosemond himself used the firearm during the aborted drug transaction. But recognizing that the identity of the shooter was disputed, the Government also offered a back-up argument: Even if it was Joseph who fired the gun as the drug deal fell apart, Rosemond aided and abetted the §924(c) violation.
[The district judge instructed the jury] that it could convict if “(1) the defendant knew his cohort used a firearm in the drug trafficking crime, and (2) the defendant knowingly and actively participated in the drug trafficking crime.” Id., at 196.
The jury convicted Rosemond of violating §924(c) ... . ...
The Tenth Circuit affirmed. ...
We granted certiorari, 569 U. S. ___ (2013), to resolve the Circuit conflict over what it takes to aid and abet a §924(c) offense. [W]e find that the trial court erred in instructing the jury. We therefore vacate the judgment below.
II
The federal aiding and abetting statute, 18 U. S. C. §2, states that a person who furthers—more specifically, who “aids, abets, counsels, commands, induces or procures”—the commission of a federal offense “is punishable as a principal.” That provision derives from (though simplifies) common-law standards for accomplice liability. ... And in so doing, §2 reflects a centuries-old view of culpability: that a person may be responsible for a crime he has not personally carried out if he helps another to complete its commission. ...
As at common law, a person is liable under §2 for aiding and abetting a crime if (and only if) he (1) takes an affirmative act in furtherance of that offense, (2) with the intent of facili-tating the offense’s commission.
The questions that the parties dispute ... concern how those two requirements ... apply in a prosecution for aiding and abetting a §924(c) offense. ... The prosecutor must show the use or carriage of a gun; so too he must prove the commission of a predicate (violent or drug trafficking) offense. ... Rosemond therefore could assist in §924(c)’s violation by facilitating either the drug transaction or the firearm use ... . It is inconsequential ... that his acts did not advance each element of the offense; all that matters is that they facilitated one component. ...
[A]n aiding and abetting conviction requires not just an act facilitating one or another element, but also a state of mind extending to the entire crime. See infra, at 11. And under that rule, a defendant may be convicted of abetting a §924(c) violation only if his intent reaches beyond a simple drug sale, to an armed one. ... And the canonical formulation of that needed state of mind—later appropriated by this Court and oft-quoted in both parties’ briefs—is Judge Learned Hand’s: To aid and abet a crime, a defendant must not just “in some sort associate himself with the venture,” but also “participate in it as in something that he wishes to bring about” and “seek by his action to make it succeed.” ...
We have previously found that intent requirement satisfied when a person actively participates in a criminal venture with full knowledge of the circumstances constituting the charged offense. ... So for purposes of aiding and abetting law, a person who actively participates in a criminal scheme knowing its extent and character intends that scheme’s commission.[9]
The same principle holds here: An active participant in a drug transaction has the intent needed to aid and abet a §924(c) violation when he knows that one of his confederates will carry a gun. In such a case, the accomplice has decided to join in the criminal venture, and share in its benefits, with full awareness of its scope—that the plan calls not just for a drug sale, but for an armed one. In so doing, he has chosen (like the abettors in Pereira and Bozza or the driver in an armed robbery) to align himself with the illegal scheme in its entirety—including its use of a firearm. And he has determined (again like those other abettors) to do what he can to “make [that scheme] succeed.” Nye & Nissen, 336 U. S., at 619. He thus becomes responsible, in the typical way of aiders and abettors, for the conduct of others. He may not have brought the gun to the drug deal himself, but because he took part in that deal knowing a confederate would do so, he intended the commission of a §924(c) offense—i.e., an armed drug sale.
For all that to be true, though, the §924(c) defendant’s knowledge of a firearm must be advance knowledge—or otherwise said, knowledge that enables him to make the relevant legal (and indeed, moral) choice. When an accomplice knows beforehand of a confederate’s design to carry a gun, he can attempt to alter that plan or, if unsuccessful, withdraw from the enterprise; it is deciding instead to go ahead with his role in the venture that shows his intent to aid an armed offense. But when an accomplice knows nothing of a gun until it appears at the scene, he may already have completed his acts of assistance; or even if not, he may at that late point have no realistic opportunity to quit the crime. And when that is so, the defendant has not shown the requisite intent to assist a crime involving a gun. As even the Government concedes, an unarmed accomplice cannot aid and abet a §924(c) violation unless he has “foreknowledge that his confederate will commit the offense with a firearm.” Brief for United States 38; see also infra, at 15–17. For the reasons just given, we think that means knowledge at a time the accomplice can do something with it—most notably, opt to walk away.[10]
Both parties here find something to dislike in our view of this issue. Rosemond argues that a participant in a drug deal intends to assist a §924(c) violation only if he affirmatively desires one of his confederates to use a gun. [A]ccording to Rosemond, the instructions must [permit the jury to find] that although the defendant participated in a drugdeal knowing a gun would be involved, he did not spe-cifically want its carriage or use. That higher standard, Rosemond claims, is necessary to avoid subjecting persons of different culpability to the same punishment. Rosemond offers as an example an unarmed driver assisting in the heist of a store: If that person spent the drive “trying to persuade [his confederate] to leave [the] gun behind,” then he should be convicted of abetting shoplifting, but not armed robbery. Reply Brief 9.
We think not. What matters for purposes of gauging intent, and so what jury instructions should convey, is that the defendant has chosen, with full knowledge, to participate in the illegal scheme—not that, if all had been left to him, he would have planned the identical crime. Consider a variant of Rosemond’s example: The driver of a getaway car wants to help rob a convenience store (and argues passionately for that plan), but eventually accedes when his confederates decide instead to hold up a national bank. Whatever his original misgivings, he has the requisite intent to aid and abet bank robbery... . The same is true of an accomplice who knowingly joins in an armed drug transaction—regardless whether he was formerly indifferent or even resistant to using firearms. The law does not, nor should it, care whether he participates with a happy heart or a sense of foreboding. Either way, he has the same culpability, because either way he has knowingly elected to aid in the commission of a peculiarly risky form of offense.
...
The Government, for its part, thinks ... the jury should convict such a defendant even if he became aware of the gun only after he realistically could have opted out of the crime.
But that approach, we think, would diminish too far the requirement that a defendant in a §924(c) prosecution must intend to further an armed drug deal. Assume,for example, that an accomplice agrees to participate in a drug sale on the express condition that no one brings a gun to the place of exchange. But just as the parties are making the trade, the accomplice notices that one of his confederates has a (poorly) concealed firearm in his jacket. The Government would convict the accomplice of aiding and abetting a §924(c) offense if he assists in completing the deal without incident, rather than running away or otherwise aborting the sale. See Tr. of Oral Arg. 40. But behaving as the Government suggests might increase the risk of gun violence—to the accomplice himself, other participants, or bystanders; and conversely, finishing the sale might be the best or only way to avoid that danger. In such a circumstance, a jury is entitled to find that the defendant intended only a drug sale—that he never intended to facilitate, and so does not bear responsibility for, a drug deal carried out with a gun. A defendant manifests that greater intent, and incurs the greater liability of §924(c), when he chooses to participate in a drug transaction knowing it will involve a firearm; but he makes no such choice when that knowledge comes too late for him to be reasonably able to act upon it. ...
III
[T]he District Court erred in instructing the jury, because it did not explain that Rosemond needed advance knowledge of a firearm’s presence. ...
It is so ordered.
Justice Alito, with whom Justice Thomas joins, con-curring in part and dissenting in part.
I largely agree with the analysis ... but ... I reject the Court’s conclusion that a conviction for aiding and abetting a violation of 18 U. S. C. §924(c) demands proof that the alleged aider and abettor had what the Court terms “a realistic opportunity” to refrain from engaging in the conduct at issue. ... This rule represents an important and, as far as I am aware, unprecedented alteration of the law of aiding and abetting and of the law of intentionality generally.
... I begin with our case law on the mens rea required to establish aiding and abetting. There is some tension in our cases on this point. Specifically, some of our cases suggest that an aider and abettor must act purposefully or with intent. ...
On the other hand, there are cases ... that appear to hold that the requisite mens rea is simply knowledge. ... The Court refers interchangeably to both of these tests and thus leaves our case law in the same, somewhat conflicted state that previously ex-isted. But because the difference between acting purposefully ... and acting knowingly is slight, this is not a matter of great concern.
[H]owever, the Court veers off in a new and ... most unfortunate direction. The Court imagines the following situation:
“[A]n accomplice agrees to participate in a drug sale on the express condition that no one brings a gun to the place of exchange. But just as the parties are making the trade, the accomplice notices that one of his confederates has a (poorly) concealed firearm in his jacket.” Ante, at 15.
[Tje Court asks, "If the accomplice, despite spotting the gun, continues to assist in the completion of the drug sale, has the accomplice aided and abetted the commission of a violation of §924(c)?"]
The Court’s answer is “it depends.” [T]he Court says that if the risk of walking away exceeds (by some unspecified degree) the risk created by completing the sale and if the alleged aider and abettor chooses to continue for that reason, the alleged aider and abettor lacks the mens rea required for conviction. ...
The Court confuses two fundamentally distinct concepts: intent and motive. It seems to assume that, if a defendant’s motive in aiding a criminal venture is to avoid some greater evil, he does not have the intent that the venture succeed. But the intent to undertake some act is of course perfectly consistent with the motive of avoiding adverse consequences which would otherwise occur. ... People wake up, go to work, balance their checkbooks, shop for groceries—and yes, commit crimes—because they believe something bad will happen if they do not do these things, not because the deepest desire of their heart is to do them. A person may only go to work in the morning to keep his or her family from destitution; that does not mean he or she does not intend to put in a full day’s work. In the same way, the fact that a defendant carries out a crime because he feels he must do so on pain of terrible consequences does not mean he does not intend to carry out the crime. When Jean Valjean stole a loaf of bread to feed his starving family, he certainly intended to commit theft. ...
I respectfully dissent from that portion of the Court’s opinion which places on the Government the burden of proving that the alleged aider and abettor of a §924(c) offense had what the Court terms “a realistic opportunity” to refrain from engaging in the conduct at issue.
9.2.3. Model Penal Code sec. 2.06
9.3 Conspiracy 9.3 Conspiracy
Conspiracy, unlike complicity, is a standalone crime. Its requirements are very minimal: at common law, only an agreement to commit unlawful actions. The agreement, itself, is the actus reus. Under federal law, an act in furtherance is needed to seal the conspiracy. Often, proving conspiracy is much easier than proving a completed or attempted crime, and so conspiracy has become a favorite tool of prosecutors to lower the burden of proof, accumulate charges, or increase the number of people implicated in a crime. As you read these cases, consider the distinctions between conspiracy and complicity. Consider also how far liability extends. What is the mens rea for the crime of conspiracy itself? What mens rea is necessary for the subsequent crimes committed in furtherance of the conspiracy? How do the various formulations of conspiracy liability interact with the justifications of punishment—retribution, deterrence, incapacitation, and rehabilitation?
9.3.1 Actus Reus & Mens Rea 9.3.1 Actus Reus & Mens Rea
9.3.1.1 People v. Lauria 9.3.1.1 People v. Lauria
THE PEOPLE, Plaintiff and Appellant,
v.
LOUIS LAURIA et al., Defendants and Respondents.
Court of Appeals of California, Second District, Division Two.
[473] Thomas C. Lynch, Attorney General, William E. James, Assistant Attorney General, Evelle J. Younger, District Attorney, Harry Wood and Robert J. Lord, Deputy District Attorneys, for Plaintiff and Appellant.
[474] Jay Plotkin, under appointment by the Court of Appeal, Patrick Coleman, Apple & Dobrin and Irving D. Apple for Defendants and Respondents.
FLEMING, J.
In an investigation of call-girl activity the police focused their attention on three prostitutes actively plying their trade on call, each of whom was using Lauria's telephone answering service, presumably for business purposes.
On January 8, 1965, Stella Weeks, a policewoman, signed up for telephone service with Lauria's answering service. Mrs. Weeks, in the course of her conversation with Lauria's office manager, hinted broadly that she was a prostitute concerned with the secrecy of her activities and their concealment from the police. She was assured that the operation of the service was discreet and "about as safe as you can get." It was arranged that Mrs. Weeks need not leave her address with the answering service, but could pick up her calls and pay her bills in person.
On February 11, Mrs. Weeks talked to Lauria on the telephone and told him her business was modelling and she had been referred to the answering service by Terry, one of the three prostitutes under investigation. She complained that because of the operation of the service she had lost two valuable customers, referred to as tricks. Lauria defended his service and said that her friends had probably lied to her about having left calls for her. But he did not respond to Mrs. Weeks' hints that she needed customers in order to make money, other than to invite her to his house for a personal visit in order to get better acquainted. In the course of his talk he said "his business was taking messages."
On February 15, Mrs. Weeks talked on the telephone to Lauria's office manager and again complained of two lost calls, which she described as a $50 and a $100 trick. On investigation the office manager could find nothing wrong, but she said she would alert the switchboard operators about slip-ups on calls.
On April 1 Lauria and the three prostitutes were arrested. Lauria complained to the police that this attention was undeserved, stating that Hollywood Call Board had 60 to 70 prostitutes on its board while his own service had only 9 or 10, that he kept separate records for known or suspected prostitutes for the convenience of himself and the police. When asked if his records were available to police who might come [475] to the office to investigate call girls, Lauria replied that they were whenever the police had a specific name. However, his service didn't "arbitrarily tell the police about prostitutes on our board. As long as they pay their bills we tolerate them." In a subsequent voluntary appearance before the grand jury Lauria testified he had always cooperated with the police. But he admitted he knew some of his customers were prostitutes, and he knew Terry was a prostitute because he had personally used her services, and he knew she was paying for 500 calls a month.
Lauria and the three prostitutes were indicted for conspiracy to commit prostitution, and nine overt acts were specified. Subsequently the trial court set aside the indictment as having been brought without reasonable or probable cause. (Pen Code, § 995.) The People have appealed, claiming that a sufficient showing of an unlawful agreement to further prostitution was made.
[1] To establish agreement, the People need show no more than a tacit, mutual understanding between coconspirators to accomplish an unlawful act. (People v. Calhoun, 50 Cal.2d 137, 144 [323 P.2d 427]; People v. Yeager, 194 Cal. 452, 484 [229 P. 40].) Here the People attempted to establish a conspiracy by showing that Lauria, well aware that his codefendants were prostitutes who received business calls from customers through his telephone answering service, continued to furnish them with such service. This approach attempts to equate knowledge of another's criminal activity with conspiracy to further such criminal activity, and poses the question of the criminal responsibility of a furnisher of goods or services who knows his product is being used to assist the operation of an illegal business. Under what circumstances does a supplier become a part of a conspiracy to further an illegal enterprise by furnishing goods or services which he knows are to be used by the buyer for criminal purposes?
The two leading cases on this point face in opposite directions. In United States v. Falcone, 311 U.S. 205 [85 L.Ed. 128, 61 S.Ct. 204], the sellers of large quantities of sugar, yeast, and cans were absolved from participation in a moonshining conspiracy among distillers who bought from them, while in Direct Sales Co. v. United States, 319 U.S. 703 [87 L.Ed. 1674, 63 S.Ct. 1265], a wholesaler of drugs was convicted of conspiracy to violate the federal narcotic laws by selling drugs in quantity to a codefendant physician who was supplying them to addicts. The distinction between these two [476] cases appears primarily based on the proposition that distributors of such dangerous products as drugs are required to exercise greater discrimination in the conduct of their business than are distributors of innocuous substances like sugar and yeast.
In the earlier case, Falcone, the sellers' knowledge of the illegal use of the goods was insufficient by itself to make the sellers participants in a conspiracy with the distillers who bought from them. Such knowledge fell short of proof of a conspiracy, and evidence on the volume of sales was too vague to support a jury finding that respondents knew of the conspiracy from the size of the sales alone.
In the later case of Direct Sales, the conviction of a drug wholesaler for conspiracy to violate federal narcotic laws was affirmed on a showing that it had actively promoted the sale of morphine sulphate in quantity and had sold codefendant physician, who practiced in a small town in South Carolina, more than 300 times his normal requirements of the drug, even though it had been repeatedly warned of the dangers of unrestricted sales of the drug. The court contrasted the restricted goods involved in Direct Sales with the articles of free commerce involved in Falcone: "All articles of commerce may be put to illegal ends," said the court. "But all do not have inherently the same susceptibility to harmful and illegal use.... This difference is important for two purposes. One is for making certain that the seller knows the buyer's intended illegal use. The other is to show that by the sale he intends to further, promote, and cooperate in it. This intent, when given effect by overt act, is the gist of conspiracy. While it is not identical with mere knowledge that another purposes unlawful action it is not unrelated to such knowledge.... The step from knowledge to intent and agreement may be taken. There is more than suspicion, more than knowledge, acquiescence, carelessness, indifference, lack of concern. There is informed and interested cooperation, stimulation, instigation. And there is also a `stake in the venture' which, even if it may not be essential, is not irrelevant to the question of conspiracy." (319 U.S. at pp. 710-713, 87 L.Ed. at pp. 1681, 1682.)
While Falcone and Direct Sales may not be entirely consistent with each other in their full implications, they do provide us with a framework for the criminal liability of a supplier of lawful goods or services put to unlawful use. [2] Both the element of knowledge of the illegal use of the [477] goods or services and the element of intent to further that use must be present in order to make the supplier a participant in a criminal conspiracy.
[3] Proof of knowledge is ordinarily a question of fact and requires no extended discussion in the present case. The knowledge of the supplier was sufficiently established when Lauria admitted he knew some of his customers were prostitutes and admitted he knew that Terry, an active subscriber to his service, was a prostitute. In the face of these admissions he could scarcely claim to have relied on the normal assumption an operator of a business or service is entitled to make, that his customers are behaving themselves in the eyes of the law. Because Lauria knew in fact that some of his customers were prostitutes, it is a legitimate inference he knew they were subscribing to his answering service for illegal business purposes and were using his service to make assignations for prostitution. On this record we think the prosecution is entitled to claim positive knowledge by Lauria of the use of his service to facilitate the business of prostitution.
[4] The more perplexing issue in the case is the sufficiency of proof of intent to further the criminal enterprise. The element of intent may be proved either by direct evidence, or by evidence of circumstances from which an intent to further a criminal enterprise by supplying lawful goods or services may be inferred. Direct evidence of participation, such as advice from the supplier of legal goods or services to the user of those goods or services on their use for illegal purposes, such evidence as appeared in a companion case we decide today, People v. Roy, ante, p. 459 [59 Cal. Rptr. 636], provides the simplest case. When the intent to further and promote the criminal enterprise comes from the lips of the supplier himself, ambiguities of inference from circumstance need not trouble us. [5] But in cases where direct proof of complicity is lacking, intent to further the conspiracy must be derived from the sale itself and its surrounding circumstances in order to establish the supplier's express or tacit agreement to join the conspiracy.
In the case at bench the prosecution argues that since Lauria knew his customers were using his service for illegal purposes but nevertheless continued to furnish it to them, he must have intended to assist them in carrying out their illegal activities. Thus through a union of knowledge and intent he became a participant in a criminal conspiracy. Essentially, the People argue that knowledge alone of the continuing use of [478] his telephone facilities for criminal purposes provided a sufficient basis from which his intent to participate in those criminal activities could be inferred.
In examining precedents in this field we find that sometimes, but not always, the criminal intent of the supplier may be inferred from his knowledge of the unlawful use made of the product he supplies. Some consideration of characteristic patterns may be helpful.
[6] 1. Intent may be inferred from knowledge, when the purveyor of legal goods for illegal use has acquired a stake in the venture. (United States v. Falcone, 109 F.2d 579, 581.) For example, in Regina v. Thomas, [1957] 2 All Eng. 181, 342, a prosecution for living off the earnings of prostitution, the evidence showed that the accused, knowing the woman to be a convicted prostitute, agreed to let her have the use of his room between the hours of 9 p.m. and 2 a.m. for a charge of £ 3 a night. The Court of Criminal Appeal refused an appeal from the conviction, holding that when the accused rented a room at a grossly inflated rent to a prostitute for the purpose of carrying on her trade, a jury could find he was living on the earnings of prostitution.
In the present case, no proof was offered of inflated charges for the telephone answering services furnished the codefendants.
[7] 2. Intent may be inferred from knowledge, when no legitimate use for the goods or services exists. The leading California case is People v. McLaughlin, 111 Cal. App.2d 781 [245 P.2d 1076], in which the court upheld a conviction of the suppliers of horse-racing information by wire for conspiracy to promote bookmaking, when it had been established that wire-service information had no other use than to supply information needed by bookmakers to conduct illegal gambling operations.
In Rex v. Delaval (1763) 3 Burr. 1434, 97 Eng.Rep. 913, the charge was unlawful conspiracy to remove a girl from the control of Bates, a musician to whom she was bound as an apprentice, and place her in the hands of Sir Francis Delaval for the purpose of prostitution. Lord Mansfield not only upheld the charges against Bates and Sir Francis, but also against Fraine, the attorney who drew up the indentures of apprenticeship transferring custody of the girl from Bates to Sir Francis. Fraine, said Lord Mansfield, must have known that Sir Francis had no facilities for teaching music to apprentices [479] so that it was impossible for him to have been ignorant of the real intent of the transaction.
In Shaw v. Director of Public Prosecutions, [1962] A.C. 220, the defendant was convicted of conspiracy to corrupt public morals and of living on the earnings of prostitution, when he published a directory consisting almost entirely of advertisements of the names, addresses, and specialized talents of prostitutes. Publication of such a directory, said the court, could have no legitimate use and serve no other purpose than to advertise the professional services of the prostitutes whose advertisements appeared in the directory. The publisher could be deemed a participant in the profits from the business activities of his principal advertisers.
Other services of a comparable nature come to mind: the manufacturer of crooked dice and marked cards who sells his product to gambling casinos; the tipster who furnishes information on the movement of law enforcement officers to known lawbreakers. (Cf. Jackson v. State of Texas (1957) 164 Tex. Crim. Rep. 276 [298 S.W.2d 837], where the furnisher of signaling equipment used to warn gamblers of the police was convicted of aiding the equipping of a gambling place.) In such cases the supplier must necessarily have an intent to further the illegal enterprise since there is no known honest use for his goods.
However, there is nothing in the furnishing of telephone answering service which would necessarily imply assistance in the performance of illegal activities. Nor is any inference to be derived from the use of an answering service by women, either in any particular volume of calls, or outside normal working hours. Night-club entertainers, registered nurses, faith healers, public stenographers, photographic models, and free lance substitute employees, provide examples of women in legitimate occupations whose employment might cause them to receive a volume of telephone calls at irregular hours.
[8] 3. Intent may be inferred from knowledge, when the volume of business with the buyer is grossly disproportionate to any legitimate demand, or when sales for illegal use amount to a high proportion of the seller's total business. In such cases an intent to participate in the illegal enterprise may be inferred from the quantity of the business done. For example, in Direct Sales, supra, the sale of narcotics to a rural physician in quantities 300 times greater than he would have normal use for provided potent evidence of an intent to further the illegal activity. In the same case the court also found [480] significant the fact that the wholesaler had attracted as customers a disproportionately large group of physicians who had been convicted of violating the Harrison Act. In Shaw v. Director of Public Prosecutions, [1962] A.C. 220, almost the entire business of the directory came from prostitutes.
No evidence of any unusual volume of business with prostitutes was presented by the prosecution against Lauria.
Inflated charges, the sale of goods with no legitimate use, sales in inflated amounts, each may provide a fact of sufficient moment from which the intent of the seller to participate in the criminal enterprise may be inferred. In such instances participation by the supplier of legal goods to the illegal enterprise may be inferred because in one way or another the supplier has acquired a special interest in the operation of the illegal enterprise. His intent to participate in the crime of which he has knowledge may be inferred from the existence of his special interest.
Yet there are cases in which it cannot reasonably be said that the supplier has a stake in the venture or has acquired a special interest in the enterprise, but in which he has been held liable as a participant on the basis of knowledge alone. Some suggestion of this appears in Direct Sales, supra, where both the knowledge of the illegal use of the drugs and the intent of the supplier to aid that use were inferred. In Regina v. Bainbridge (1959) 3 Week.L. 656 [(C.C.A. 6) [3 All Eng. 200, 123 J.P. 499, 43 Crim. App. 194], a supplier of oxygen-cutting equipment to one known to intend to use it to break into a bank was convicted as an accessory to the crime. In Sykes v. Director of Public Prosecutions [1962] A.C. 528, one having knowledge of the theft of 100 pistols, 4 submachine guns, and 1,960 rounds of ammunition was convicted of misprision of felony for failure to disclose the theft to the public authorities. [9] It seems apparent from these cases that a supplier who furnishes equipment which he knows will be used to commit a serious crime may be deemed from that knowledge alone to have intended to produce the result. Such proof may justify an inference that the furnisher intended to aid the execution of the crime and that he thereby became a participant. For instance, we think the operator of a telephone answering service with positive knowledge that his service was being used to facilitate the extortion of ransom, the distribution of heroin, or the passing of counterfeit money who continued to furnish the service with knowledge of its use, might be chargeable on knowledge alone with participation in a scheme to extort money, to distribute narcotics, or to [481] pass counterfeit money. The same result would follow the seller of gasoline who knew the buyer was using his product to make Molotov cocktails for terroristic use.
Logically, the same reasoning could be extended to crimes of every description. [10] Yet we do not believe an inference of intent drawn from knowledge of criminal use properly applies to the less serious crimes classified as misdemeanors. The duty to take positive action to dissociate oneself from activities helpful to violations of the criminal law is far stronger and more compelling for felonies than it is for misdemeanors or petty offenses. In this respect, as in others, the distinction between felonies and misdemeanors, between more serious and less serious crime, retains continuing vitality. In historically the most serious felony, treason, an individual with knowledge of the treason can be prosecuted for concealing and failing to disclose it. (Pen. Code, § 38; 18 U.S.C. § 2382.) [11] In other felonies, both at common law and under the criminal laws of the United States, an individual knowing of the commission of a felony is criminally liable for concealing it and failing to make it known to proper authority. (4 Blackstone 121; Sykes v. Director of Public Prosecutions [1962] A.C. 528; 18 U.S.C. § 4.) [12] But this crime, known as misprision of felony, has always been limited to knowledge and concealment of felony and has never extended to misdemeanor. A similar limitation is found in the criminal liability of an accessory, which is restricted to aid in the escape of a principal who has committed or been charged with a felony. (Pen. Code, § 32.) We believe the distinction between the obligations arising from knowledge of a felony and those arising from knowledge of a misdemeanor continues to reflect basic human feelings about the duties owed by individuals to society. Heinous crime must be stamped out, and its suppression is the responsibility of all. (Backun v. United States, 112 F.2d 635, 637.) Venial crime and crime not evil in itself present less of a danger to society, and perhaps the benefits of their suppression through the modern equivalent of the posse, the hue and cry, the informant, and the citizen's arrest, are outweighed by the disruption to everyday life brought about by amateur law enforcement and private officiousness in relatively inconsequential delicts which do not threaten our basic security. The subject has been summarized in an English text on the criminal law: "Failure to reveal a felony to the authorities is now authoritatively determined to be misprision of felony, which is a commonlaw misdemeanour; [482] misprision of treason is punishable with imprisonment for life.... No offence is committed in failing to disclose a misdemeanour....
"`To require everyone, without distinction, as to the nature and degree of the offence, to become an accuser, would be productive of inconvenience in exposing numbers to penal prosecutions, multiplying criminal charges, and engendering private dissension. It may sometimes be more convenient that offences should be passed over, than that all should indiscriminately be made the subject of prosecution; and a law would be considered to be harsh and impolitic, if not unjust, which compelled every party injured by a criminal act, and, still more so, to compel everyone who happened to know that another had been so injured, to make a public disclosure of the circumstances. Here, therefore, there is reason for limiting the law against mere misprisions to the concealment of such crimes as are of an aggravated complexion.'" (Criminal Law, Glanville Williams (2d ed.) p. 423.)
[13] With respect to misdemeanors, we conclude that positive knowledge of the supplier that his products or services are being used for criminal purposes does not, without more, establish an intent of the supplier to participate in the misdemeanors. With respect to felonies, we do not decide the converse, viz., that in all cases of felony knowledge of criminal use alone may justify an inference of the supplier's intent to participate in the crime. The implications of Falcone make the matter uncertain with respect to those felonies which are merely prohibited wrongs. See also Holman v. Johnson (1775) 98 Eng.Rep. 1120 (sale and delivery of tea at Dunkirk known to be destined for smuggling into England not an illegal contract). But decision on this point is not compelled, and we leave the matter open.
[14] From this analysis of precedent we deduce the following rule: the intent of a supplier who knows of the criminal use to which his supplies are put to participate in the criminal activity connected with the use of his supplies may be established by (1) direct evidence that he intends to participate, or (2) through an inference that he intends to participate based on, (a) his special interest in the activity, or (b) the aggravated nature of the crime itself.
[15] When we review Lauria's activities in the light of this analysis, we find no proof that Lauria took any direct action to further, encourage, or direct the call-girl activities of his codefendants and we find an absence of circumstance from [483] which his special interest in their activities could be inferred. Neither excessive charges for standardized services, nor the furnishing of services without a legitimate use, nor an unusual quantity of business with call girls, are present. The offense which he is charged with furthering is a misdemeanor, a category of crime which has never been made a required subject of positive disclosure to public authority. Under these circumstances, although proof of Lauria's knowledge of the criminal activities of his patrons was sufficient to charge him with that fact, there was insufficient evidence that he intended to further their criminal activities, and hence insufficient proof of his participation in a criminal conspiracy with his codefendants to further prostitution. Since the conspiracy centered around the activities of Lauria's telephone answering service, the charges against his codefendants likewise fail for want of proof.
In absolving Lauria of complicity in a criminal conspiracy we do not wish to imply that the public authorities are without remedies to combat modern manifestations of the world's oldest profession. Licensing of telephone answering services under the police power, together with the revocation of licenses for the toleration of prostitution, is a possible civil remedy. The furnishing of telephone answering service in aid of prostitution could be made a crime. (Cf. Pen. Code, § 316, which makes it a misdemeanor to let an apartment with knowledge of its use for prostitution.) Other solutions will doubtless occur to vigilant public authorities if the problem of call-girl activity needs further suppression.
The order is affirmed.
Herndon, J., concurred.
Roth, P.J., concurred in the judgment.
9.3.2 Prosecutorial Advantages 9.3.2 Prosecutorial Advantages
9.3.2.1 Pinkerton v. United States 9.3.2.1 Pinkerton v. United States
PINKERTON ET AL.
v.
UNITED STATES.
Supreme Court of United States.
CERTIORARI TO THE CIRCUIT COURT OF APPEALS FOR THE FIFTH CIRCUIT.
[641] John S. Tucker, Jr. argued the cause for petitioners. With him on the brief was Thomas E. Skinner.
W. Marvin Smith argued the cause for the United States. With him on the brief were Solicitor General McGrath, Robert S. Erdahl and Leon Ulman.
MR. JUSTICE DOUGLAS delivered the opinion of the Court.
Walter and Daniel Pinkerton are brothers who live a short distance from each other on Daniel's farm. They were indicted for violations of the Internal Revenue Code. The indictment contained ten substantive counts and one conspiracy count. The jury found Walter guilty on nine of the substantive counts and on the conspiracy count. It found Daniel guilty on six of the substantive counts and on the conspiracy count. Walter was fined $500 and sentenced generally on the substantive counts to imprisonment for thirty months. On the conspiracy count he was given a two year sentence to run concurrently with the other sentence. Daniel was fined $1,000 and sentenced generally on the substantive counts to imprisonment for thirty months. On the conspiracy count he was fined $500 and given a two year sentence to run concurrently with the other sentence. The judgments of conviction were affirmed by the Circuit Court of Appeals.[1] 151 F.2d [642] 499. The case is here on a petition for a writ of certiorari, which we granted because one of the questions presented involved a conflict between the decision below and United States v. Sall, 116 F.2d 745, decided by the Circuit Court of Appeals for the Third Circuit.
A single conspiracy was charged and proved. Some of the overt acts charged in the conspiracy count were the same acts charged in the substantive counts. Each of the substantive offenses found was committed pursuant to the conspiracy. Petitioners therefore contend that the substantive counts became merged in the conspiracy count, and that only a single sentence not exceeding the maximum two year penalty provided by the conspiracy statute (Criminal Code § 37, 18 U.S.C. § 88) could be imposed. Or to state the matter differently, they contend that each of the substantive counts became a separate conspiracy count but, since only a single conspiracy was charged and proved, only a single sentence for conspiracy could be imposed. They rely on Braverman v. United States, 317 U.S. 49.
In the Braverman case the indictment charged no substantive offense. Each of the several counts charged a conspiracy to violate a different statute. But only one [643] conspiracy was proved. We held that a single conspiracy, charged under the general conspiracy statute, however diverse its objects may be, violates but a single statute and no penalty greater than the maximum provided for one conspiracy may be imposed. That case is not apposite here. For the offenses charged and proved were not only a conspiracy but substantive offenses as well.
Nor can we accept the proposition that the substantive offenses were merged in the conspiracy. There are, of course, instances where a conspiracy charge may not be added to the substantive charge. One is where the agreement of two persons is necessary for the completion of the substantive crime and there is no ingredient in the conspiracy which is not present in the completed crime. See United States v. Katz, 271 U.S. 354, 355-356; Gebardi v. United States, 287 U.S. 112, 121-122. Another is where the definition of the substantive offense excludes from punishment for conspiracy one who voluntarily participates in another's crime. Gebardi v. United States, supra. But those exceptions are of a limited character. The common law rule that the substantive offense, if a felony, was merged in the conspiracy,[2] has little vitality in this country.[3] It has been long and consistently recognized by the Court that the commission of the substantive offense and a conspiracy to commit it are separate and distinct offenses. The power of Congress to separate the two and to affix to each a different penalty is well established. Clune v. United States, 159 U.S. 590, 594-595. A conviction for the conspiracy may be had though the substantive offense was completed. See Heike v. United States, 227 U.S. 131, 144. And the plea of double jeopardy is no defense to a conviction for both offenses. Carter v. [644] McClaughry, 183 U.S. 365, 395. It is only an identity of offenses which is fatal. See Gavieres v. United States, 220 U.S. 338, 342. Cf. Freeman v. United States, 146 F.2d 978. A conspiracy is a partnership in crime. United States v. Socony-Vacuum Oil Co., 310 U.S. 150, 253. It has ingredients, as well as implications, distinct from the completion of the unlawful project. As stated in United States v. Rabinowich, 238 U.S. 78, 88:
"For two or more to confederate and combine together to commit or cause to be committed a breach of the criminal laws, is an offense of the gravest character, sometimes quite outweighing, in injury to the public, the mere commission of the contemplated crime. It involves deliberate plotting to subvert the laws, educating and preparing the conspirators for further and habitual criminal practices. And it is characterized by secrecy, rendering it difficult of detection, requiring more time for its discovery, and adding to the importance of punishing it when discovered."
And see Sneed v. United States, 298 F. 911, 912-913; Banghart v. United States, 148 F.2d 521.
Moreover, it is not material that overt acts charged in the conspiracy counts were also charged and proved as substantive offenses. As stated in Sneed v. United States, supra, p. 913, "If the overt act be the offense which was the object of the conspiracy, and is also punished, there is not a double punishment of it." The agreement to do an unlawful act is even then distinct from the doing of the act.[4]
[645] It is contended that there was insufficient evidence to implicate Daniel in the conspiracy. But we think there was enough evidence for submission of the issue to the jury.
There is, however, no evidence to show that Daniel participated directly in the commission of the substantive offenses on which his conviction has been sustained,[5] although there was evidence to show that these substantive offenses were in fact committed by Walter in furtherance of the unlawful agreement or conspiracy existing between the brothers. The question was submitted to the jury on the theory that each petitioner could be found guilty of the substantive offenses, if it was found at the time those offenses were committed petitioners were parties to an unlawful conspiracy and the substantive offenses charged were in fact committed in furtherance of it.[6]
[646] Daniel relies on United States v. Sall, supra. That case held that participation in the conspiracy was not itself enough to sustain a conviction for the substantive offense even though it was committed in furtherance of the conspiracy. The court held that, in addition to evidence that the offense was in fact committed in furtherance of the conspiracy, evidence of direct participation in the commission of the substantive offense or other evidence from which participation might fairly be inferred was necessary.
We take a different view. We have here a continuous conspiracy. There is here no evidence of the affirmative action on the part of Daniel which is necessary to establish his withdrawal from it. Hyde v. United States, 225 U.S. 347, 369. As stated in that case, "Having joined in an unlawful scheme, having constituted agents for its performance, scheme and agency to be continuous until full fruition be secured, until he does some act to disavow or defeat the purpose he is in no situation to claim the delay of the law. As the offense has not been terminated or accomplished he is still offending. And we think, consciously offending, offending as certainly, as we have said, as at the first moment of his confederation, and consciously through every moment of its existence." Id., p. 369. And so long as the partnership in crime continues, the partners act for each other in carrying it forward. It is settled that "an overt act of one partner may be the act of all without [647] any new agreement specifically directed to that act." United States v. Kissel, 218 U.S. 601, 608. Motive or intent may be proved by the acts or declarations of some of the conspirators in furtherance of the common objective. Wiborg v. United States, 163 U.S. 632, 657-658. A scheme to use the mails to defraud, which is joined in by more than one person, is a conspiracy. Cochran v. United States, 41 F.2d 193, 199-200. Yet all members are responsible, though only one did the mailing. Cochran v. United States, supra; Mackett v. United States, 90 F.2d 462, 464; Baker v. United States, 115 F.2d 533, 540; Blue v. United States, 138 F.2d 351, 359. The governing principle is the same when the substantive offense is committed by one of the conspirators in furtherance of the unlawful project. Johnson v. United States, 62 F.2d 32, 34. The criminal intent to do the act is established by the formation of the conspiracy. Each conspirator instigated the commission of the crime. The unlawful agreement contemplated precisely what was done. It was formed for the purpose. The act done was in execution of the enterprise. The rule which holds responsible one who counsels, procures, or commands another to commit a crime is founded on the same principle. That principle is recognized in the law of conspiracy when the overt act of one partner in crime is attributable to all. An overt act is an essential ingredient of the crime of conspiracy under § 37 of the Criminal Code, 18 U.S.C. § 88. If that can be supplied by the act of one conspirator, we fail to see why the same or other acts in furtherance of the conspiracy are likewise not attributable to the others for the purpose of holding them responsible for the substantive offense.
A different case would arise if the substantive offense committed by one of the conspirators was not in fact done in furtherance of the conspiracy, did not fall within the [648] scope of the unlawful project, or was merely a part of the ramifications of the plan which could not be reasonably foreseen as a necessary or natural consequence of the unlawful agreement. But as we read this record, that is not this case.
Affirmed.
MR. JUSTICE JACKSON took no part in the consideration or decision of this case.
MR. JUSTICE RUTLEDGE, dissenting in part.
The judgment concerning Daniel Pinkerton should be reversed. In my opinion it is without precedent here and is a dangerous precedent to establish.
Daniel and Walter, who were brothers living near each other, were charged in several counts with substantive offenses, and then a conspiracy count was added naming those offenses as overt acts. The proof showed that Walter alone committed the substantive crimes. There was none to establish that Daniel participated in them, aided and abetted Walter in committing them, or knew that he had done so. Daniel in fact was in the penitentiary, under sentence for other crimes, when some of Walter's crimes were done.
There was evidence, however, to show that over several years Daniel and Walter had confederated to commit similar crimes concerned with unlawful possession, transportation, and dealing in whiskey, in fraud of the federal revenues. On this evidence both were convicted of conspiracy. Walter also was convicted on the substantive counts on the proof of his committing the crimes charged. Then, on that evidence without more than the proof of Daniel's criminal agreement with Walter and the latter's overt acts, which were also the substantive offenses charged, the court told the jury they could find Daniel guilty of those substantive offenses. They did so.
[649] I think this ruling violates both the letter and the spirit of what Congress did when it separately defined the three classes of crime, namely, (1) completed substantive offenses;[1] (2) aiding, abetting or counseling another to commit them;[2] and (3) conspiracy to commit them.[3] Not only does this ignore the distinctions Congress has prescribed shall be observed. It either convicts one man for another's crime or punishes the man convicted twice for the same offense.
The three types of offense are not identical. Bollenbach v. United States, 326 U.S. 607, 611; United States v. Sall, 116 F.2d 745. Nor are their differences merely verbal. Ibid. The gist of conspiracy is the agreement; that of aiding, abetting or counseling is in consciously advising or assisting another to commit particular offenses, and thus becoming a party to them; that of substantive crime, going a step beyond mere aiding, abetting, counseling to completion of the offense.
These general differences are well understood. But when conspiracy has ripened into completed crime, or has advanced to the stage of aiding and abetting, it becomes easy to disregard their differences and loosely to treat one as identical with the other, that is, for every purpose except the most vital one of imposing sentence. And [650] thus the substance, if not the technical effect, of double jeopardy or multiple punishment may be accomplished. Thus also may one be convicted of an offense not charged or proved against him, on evidence showing he committed another.
The old doctrine of merger of conspiracy in the substantive crime has not obtained here. But the dangers for abuse, which in part it sought to avoid, in applying the law of conspiracy have not altogether disappeared. Cf. Kotteakos v. United States, post, p. 750. There is some evidence that they may be increasing. The looseness with which the charge may be proved, the almost unlimited scope of vicarious responsibility for others' acts which follows once agreement is shown, the psychological advantages of such trials for securing convictions by attributing to one proof against another, these and other inducements require that the broad limits of discretion allowed to prosecuting officers in relation to such charges and trials be not expanded into new, wider and more dubious areas of choice. If the matter is not generally of constitutional proportions, it is one for the exercise of this Court's supervisory power over the modes of conducting federal criminal prosecutions within the rule of McNabb v. United States, 318 U.S. 332.
I think that power should be exercised in this case with respect to Daniel's conviction. If it does not violate the letter of constitutional right, it fractures the spirit. United States v. Sall, supra. I think the ruling in that case was right, and for the reasons stated.[4] It should be [651] followed here. Daniel has been held guilty of the substantive crimes committed only by Walter on proof that he did no more than conspire with him to commit offenses of the same general character. There was no evidence that he counseled, advised or had knowledge of those particular acts or offenses. There was, therefore, none that he aided, abetted or took part in them. There was only evidence sufficient to show that he had agreed with Walter at some past time to engage in such transactions generally. As to Daniel this was only evidence of conspiracy, not of substantive crime.
The Court's theory seems to be that Daniel and Walter became general partners in crime by virtue of their agreement and because of that agreement without more on his part Daniel became criminally responsible as a principal for everything Walter did thereafter in the nature of a criminal offense of the general sort the agreement contemplated, so long as there was not clear evidence that Daniel had withdrawn from or revoked the agreement. Whether or not his commitment to the penitentiary had that effect, the result is a vicarious criminal responsibility as broad as, or broader than, the vicarious civil liability of a partner for acts done by a co-partner in the course of the firm's business.
Such analogies from private commercial law and the law of torts are dangerous, in my judgment, for transfer to the criminal field. See Sen. Rep. No. 163, 72d Cong., 1st Sess., 20. Guilt there with us remains personal, not vicarious, for the more serious offenses. It should be kept so. The effect of Daniel's conviction in this case, to [652] repeat, is either to attribute to him Walter's guilt or to punish him twice for the same offense, namely, agreeing with Walter to engage in crime. Without the agreement Daniel was guilty of no crime on this record. With it and no more, so far as his own conduct is concerned, he was guilty of two.
In another aspect of the case, this effect is thrown into even clearer light. The indictment here was filed after a prior one for conspiracy alone had been dismissed. This in turn came after petitioners had been tried, convicted and had been successful in securing reversal on appeal for errors in the charge. Pinkerton v. United States, 145 F.2d 252. Following this reversal they were reindicted and tried in the present case. The Government now says, as to the plea of double jeopardy on this account (which the trial court overruled on demurrer), that the two indictments were for different conspiracies since the first one charged a different period of time as covered by the conspiracy; charged 16 as compared with 19 overt acts in the second; and an additional object was added in the latter, that is, intent to violate another section of the revenue act. In other words, there were two different conspiracies by virtue of these minute differences in the detail of the allegations. Hence, there was no double jeopardy by the second indictment.
But later, in support of the conviction here, relative to the bearing of the various statutes of limitations upon proof of the overt acts, charged also as substantive offenses, the Government points out that the earlier indictment was framed on the assumption that a three-year statute of limitations applied to the conspiracy as first charged; and the convictions were reversed for failure of the trial court to instruct the jury on that basis. Then the District Attorney discovered the decision in Braverman v. United States, 317 U.S. 49, 54-55, and decided to revamp the [653] indictment to include details making the six-year period applicable. He did so, and added the substantive counts because, so it is said, in the view that a six-year period applied he felt there were enough substantive offenses within that time which he could successfully prove to justify including them.
It would seem, from this history, that to sustain this conviction as against the plea of former jeopardy by virtue of the earlier indictment and what followed, the Government stands, and must stand, upon the idea that two separate and distinct conspiracies were charged, one by the first and one by the later indictment. See United States v. Oppenheimer, 242 U.S. 85, 87-88. But to sustain Daniel's conviction for the substantive offenses, via the conspiracy route, there was only a single continuing conspiracy extending over the longer period, in the course of which Walter committed crimes, which were also overt acts, some of them running back of the period charged in the former indictment, others being the same but later acts which it had charged as overt acts against both.
For these now Daniel is held responsible, not merely as a conspirator, as the prior indictment charged, but as both a conspirator and a substantive offender.
What this lacks by way of being put twice in jeopardy for the same offense, I am unable to understand. For not only has Daniel been convicted for conspiracy for the same overt acts, and illegal ends, as the first indictment charged. He has had those acts converted into substantive offenses. I do not think the prosecutor's technical, and it would seem insubstantial, variations in the details of the indictment should be permitted to achieve so much.[5]
[654] This, of course, should not relieve Walter of the conviction for the substantive offenses. But his sentence for conspiracy should be annulled. So also should Daniel's sentence on all counts.
MR. JUSTICE FRANKFURTER, reserving judgment on the question of double jeopardy, agrees in substance with the views expressed in this dissent.
[1] The court held that two of the counts under which Walter was convicted and one of the counts under which Daniel was convicted were barred by the statute of limitations and that as to them the demurrer should have been sustained. But each of the remaining substantive counts on which the jury had returned a verdict of guilty carried a maximum penalty of three years' imprisonment and a fine of $5,000. Int. Rev. Code, § 3321, 26 U.S.C. § 3321. Hence the general sentence of fine and imprisonment imposed on each under the substantive counts was valid. It is settled law, as stated in Claassen v. United States, 142 U.S. 140, 146-147, "that in any criminal case a general verdict and judgment on an indictment or information containing several counts cannot be reversed on error, if any one of the counts is good and warrants the judgment, because, in the absence of anything in the record to show the contrary, the presumption of law is that the court awarded sentence on the good count only."
The same rule obtains in the case of concurrent sentences. Hirabayashi v. United States, 320 U.S. 81, 85 and cases cited.
[2] See May's Law of Crimes (4th ed. 1938), § 126; 17 Corn. L.Q. (1931) 136; People v. Tavormina, 257 N.Y. 84, 89-90, 177 N.E. 317.
[3] The cases are collected in 37 A.L.R. 778, 75 A.L.R. 1411.
[4] The addition of a conspiracy count may at times be abusive and unjust. The Conference of Senior Circuit Judges reported in 1925:
"We note the prevalent use of conspiracy indictments for converting a joint misdemeanor into a felony; and we express our conviction that both for this purpose and for the purpose — or at least with the effect — of bringing in much improper evidence, the conspiracy statute is being much abused.
"Although in a particular case there may be no preconcert of plan, excepting that necessarily inherent in mere joint action, it is difficult to exclude that situation from the established definitions of conspiracy; yet the theory which permits us to call the aborted plan a greater offense than the completed crime supposes a serious and substantially continued group scheme for cooperative law breaking. We observe so many conspiracy prosecutions which do not have this substantial base that we fear the creation of a general impression, very harmful to law enforcement, that this method of prosecution is used arbitrarily and harshly. Further the rules of evidence in conspiracy cases make them most difficult to try without prejudice to an innocent defendant." Annual Report of the Attorney General for 1925, pp. 5-6.
But we do not find that practice reflected in this present case.
[5] This question does not arise as to Walter. He was the direct actor in some of the substantive offenses on which his conviction rests. So the general sentence and fine are supportable under any one of those. See note 1, supra.
[6] The trial court charged: ". . . after you gentlemen have considered all the evidence in this case, if you are satisfied from the evidence beyond a reasonable doubt that at the time these particular substantive offenses were committed, that is, the offenses charged in the first ten counts of this indictment if you are satisfied from the evidence beyond a reasonable doubt that the two defendants were in an unlawful conspiracy, as I have heretofore defined unlawful conspiracy to you, then you would have a right, if you found that to be true to your satisfaction beyond a reasonable doubt, to convict each of these defendants on all these substantive counts, provided the acts referred to in the substantive counts were acts in furtherance of the unlawful conspiracy or object of the unlawful conspiracy, which you have found from the evidence existed." Daniel was not indicted as an aider or abettor (see Criminal Code, § 332, 18 U.S.C. 550), nor was his case submitted to the jury on that theory.
[1] These of course comprehend the vast variety of offenses prescribed by federal law, conspiracies for accomplishing which may be charged under the catchall conspiracy statute, note 3.
[2] "Whoever directly commits any act constituting an offense defined in any law of the United States, or aids, abets, counsels, commands, induces, or procures its commission, is a principal." 18 U.S.C. § 550.
[3] "If two or more persons conspire either to commit any offense against the United States, or to defraud the United States in any manner or for any purpose, and one or more of such parties do any act to effect the object of the conspiracy, each of the parties to such conspiracy shall be fined not more than $10,000, or imprisoned not more than two years, or both." 18 U.S.C. § 88.
[4] In the substantially identical situation presented in the Sall case as to the indictment and the proof, the Government argued that the conviction on the substantive counts should stand because the proof that the accused had entered the conspiracy amounted to proof that he had "aided and abetted" the commission of the substantive crimes within the meaning of 18 U.S.C. § 550. The court rejected the idea, apparently now accepted here, that "aiding and abetting" and "conspiring" are, and are intended by Congress to be, the same thing, differing only in the form of the descriptive words. But if that is the only difference, then conviction for both "offenses" on account of the same act is clearly double punishment.
[5] The situation is essentially the same as when crimes are defined with such minute distinction as to make them different only in the most technical sense. See District of Columbia v. Buckley, 128 F.2d 17, concurring opinion at 21; cf. Ex parte Nielsen, 131 U.S. 176; In re Snow, 120 U.S. 274.
9.3.2.2 United States v. Alvarez 9.3.2.2 United States v. Alvarez
UNITED STATES of America, Plaintiff-Appellee, v. Augustin ALVAREZ, Oscar Hernandez, Mario C. Simon, Rolando Rios, Ramon Raymond, Eduardo Portal, Victoriano Concepcion, a/k/a “Macho” Defendants-Appellants.
No. 83-5333.
United States Court of Appeals, Eleventh Circuit.
March 20, 1985.
*835Manuel Mari, Miami, Fla. (Court appointed), for A. Alvarez.
Nurik, O’Donnell & Lazarus, John F. O’Donnell (Court appointed), Fort Lauder-dale, Fla., for 0. Hernandez.
Anthony T. Carbone, Miami, Fla. (Court appointed), for M. Simon.
Thornton, Rothman, Adelstein & Moreno, Federico A. Moreno (Court appointed), Miami, Fla., for R. Rios.
Peter C. Clemente, Miami, Fla. (Court appointed), for R. Raymond.
Leon E. Tozo, Miami, Fla. (Court appointed), for E. Portal.
Humerto J. Aguilar (Court appointed), Fernandez Caubi, Fernandez & Aguilar, P.A., Miami, Fla., for V. Concepcion.
Stanley Marcus, U.S. Atty., Jon May, James G. McAdams, Linda Collins-Hertz, Asst. U.S. Attys., Miami, Fla., for plaintiff-appellee.
*836Before KRAVITCH and HATCHETT, Circuit Judges, and HANCOCK *, District Judge.
On December 2, 1982, in a run-down motel in the Little Havana section of Miami, Florida, a cocaine deal turned into tragedy when a shoot-out erupted between the dealers and two undercover special agents from the Bureau of Alcohol, Tobacco, and Firearms (BATF). During the shoot-out, one of the BATF agents was killed and the other agent, along with two of the cocaine dealers, was seriously wounded. Appellants Augustin Alvarez, Mario Simon, Vic-toriano “Macho” Concepcion, Eduardo Portal, Oscar Hernandez, Ramon Raymond, and Rolando Rios were convicted after a trial by jury on various charges arising from the cocaine deal and shoot-out. All of the appellants were convicted of conspiracy to possess with intent to distribute cocaine, 21 U.S.C. § 846, and possession with intent to distribute cocaine, 21 U.S.C. § 841(a)(1). In addition, Alvarez and Simon were convicted of first degree murder of a federal agent, 18 U.S.C. §§ 1111(a) and 1114, assault on a federal agent by means of a deadly and dangerous weapon, 18 U.S.C. §§ 111 and 1114, and use of a firearm to commit a felony, 18 U.S.C. § 924(c)(1). Portal, Concepcion, and Hernandez were convicted of second degree murder of a federal agent, 18 U.S.C. §§ 1111(a) and 1114, and assault on a federal agent by means of a deadly and dangerous weapon, 18 U.S.C. §§ 111 and 1114.
The appellants now appeal their respective convictions, raising numerous claims of error. Among the issues raised by this appeal are (1) whether BATF agents are protected under 18 U.S.C. § 1114, (2) whether the district court committed plain error by instructing the jury that the government was not required to prove that the appellants knew that their victims were federal agents, and (3) whether the second degree murder and assault convictions of Portal, Concepcion, and Hernandez were based on an improper extension of Pinkerton v. United States, 328 U.S. 640, 66 S.Ct. 1180, 90 L.Ed. 1489 (1946). After careful consideration of these issues and the others raised by the appellants, we conclude that the district court did not commit reversible error and the appellants received a fair trial in every respect. We therefore affirm the appellants’ convictions.
I. FACTS
On December 1, 1982, at about 6:00 p.m., BATF Special Agents Joseph Benitez, Joseph Tirado, Ariel Rios, and Alex D’Atri, each acting in an undercover capacity, met with appellants Rolando Rios and Ramon Raymond in the parking lot of a convenience store in Homestead, Florida. The purpose of the meeting was to continue previously initiated negotiations for the purchase of two kilograms of cocaine. Raymond informed the agents that he had obtained a source for the cocaine, but that delivery would be delayed by about a half hour. Raymond attempted to telephone his cocaine source but was unsuccessful. Agent Tirado then asked appellant Rios if he knew when the cocaine would be delivered. Appellant Rios also attempted to telephone the cocaine source but, like Raymond, was unsuccessful. Appellant Rios asked Agents Rios and Tirado to take him to the source’s residence. The three men drove to a house about two miles away, but, finding no one there, returned to the parking lot. Meanwhile, Raymond continued to assure the remaining agents that the cocaine would be delivered shortly. At one point, Raymond suggested that the deal be moved across the street because he thought that there were too many cars in the parking lot.
A short time later, appellant Eduardo Portal arrived at the parking lot and began speaking with appellants Rios and Raymond. Portal informed Agents Rios, Tira-*837do, and Benitez that he could make immediate delivery of two kilograms of cocaine. Portal then made a telephone call to appellant Victoriano “Macho” Concepcion. After the call, Portal told the agents that delivery of the cocaine could be made by noon the next day. The agents departed after agreeing to call Concepcion the next morning to arrange the details of the cocaine delivery.1
The next day, at about 12:00 noon, Agent Rios telephoned Concepcion and arranged to meet with Concepcion and Portal in the parking lot of a restaurant in the Little Havana section of Miami. Agents Rios and D’Atri met with Concepcion and Portal shortly before 2:00 p.m. D’Atri told Concepcion that he wished to purchase three kilograms of cocaine. Concepcion answered that the cocaine was available at a price of $49,000 per kilogram. The four men left the restaurant parking lot and proceeded, in two separate cars, to the Hurricane Motel on West Flagler Street in Miami. The agents advised their surveillance team of their destination by means of a portable radio concealed in their car.
Shortly after 2:00 p.m., Agents Rios and D’Atri and appellants Concepcion and Portal arrived at the Hurricane Motel. Concepcion advised the agents that only one of them would be allowed inside the motel to complete the deal. The agents refused to proceed under those circumstances, and Concepcion agreed to allow both agents to be present. Concepcion and the two agents entered the motel office, while Portal remained outside. Surveillance agents stationed near the motel observed Portal acting as a “lookout.” The agents saw Portal closely watching passing cars and pedestrians, and noticed a handgun-shaped bulge on Portal s left side, under his shirt.
Inside the motel office, Concepcion and the two agents met appellants Augustin Alvarez and Oscar Hernandez. Hernandez was the manager of the Hurricane Motel, and Alvarez and Hernandez shared an apartment that adjoined the motel office, Alvarez told the agents that he was not the cocaine source, but that he would make a telephone call and arrange the cocaine delivery. Alvarez made the call and informed the agents that the cocaine would be delivered shortly. The five men waited in the living room of the Alvarez-Hernandez apartment. While they waited, Alvarez and Agent Rios conversed in Spanish, with Agent Rl0S translating into English for Agent D’Atri’s benefit. According to D’Atri’s testimony at trial, Alvarez stated, “In this business, you have to be careful. R s a dangerous business. You have to watch out for rip-offs and Federal agents.” Alvarez also stated that he would never go back to prison, and that he would rather be dead than go back to prison. D’Atri answered, “It’s always better to be alive than in prison.” Alvarez then spoke to Hernandez in Spanish, and D’Atri asked Hernandez what Alvarez had said. Hernandez replied that Alvarez had said that he could never go back.
After twenty- or twenty-five minutes, D’Atri decided to make a telephone call to let the surveillance team know that the cocaine deal was still pending. D’Atri asked Hernandez for permission to use the telephone. Hernandez spoke to Alvarez in Spanish, and then indicated that D’Atri could use the telephone in the motel office, After completing the telephone call, D’Atri returned to the living room and joined the other men in general conversation. At one point, Alvarez went into a bedroom, got a sample of cocaine, and asked D’Atri if he wanted to test the sample. D’Atri replied that he wanted to test the cocaine that was about to be delivered, not Alvarez’ sample,
After twenty more minutes, D’Atri, who was becoming increasingly concerned about the prolonged delay, announced that he and Agent Rios were leaving. Hernandez said, in English, “Don’t worry, he’s coming. If he says he’s coming, he will be here.” At the same time, appellant Mario *838Simon drove into the motel parking lot. Hernandez said, “He’s here,” and the men all laughed. Simon entered the living room,2 and D’Atri asked him whether he had the three kilograms of cocaine. Simon answered, in English, “I have to make a phone call.” After making the call, Simon told the agents that he could deliver the cocaine, but that it would take one hour. He also said that he would deliver one kilogram of cocaine at 4:00 p.m., and one kilogram every hour after that. The agents agreed to return to the motel in about one hour.3
Agents Rios and D’Atri drove to a nearby restaurant and met with Special Agent Michael Casali, one of the members of the surveillance team. During the meeting, Agent Rios expressed concern about a leather pouch carried by Simon, which Agent Rios thought might contain a weapon. The agents then discussed their plans for effecting the intended drug arrests. The agents decided to place $50,000 in the trunk of their car. Once the cocaine was delivered, Agent Rios would go out to the motel parking lot and remove the money from the trunk. Upon observing this signal, the surveillance and backup agents would wait forty-five seconds to a minute, and then move in to effect the arrests.
At about 4:15 p.m., Agents Rios and D’Atri returned to the motel, but Simon had not yet returned with the cocaine. The agents drove around the area of the motel for several minutes. At about 4:25 p.m., the agents noticed Simon’s car in the parking lot of the motel. The agents entered the motel and found Simon, Alvarez, and Concepcion in the living room where the earlier meeting had taken place. Agent D’Atri asked Simon whether he had the cocaine, and Simon replied, “Yes, it is in the car.” Simon went out to his car, and returned with a plastic bag. Concepcion took the bag from Simon and removed a cardboard box from the bag. Concepcion handed the box to D’Atri, who opened the box and found another plastic bag containing what appeared to be about one kilogram of cocaine. D’Atri then asked Agent Rios to go out to their car and get the money.
Agent Rios returned to the living room and handed the money, which was in a paper bag, to D’Atri. D’Atri noticed Simon, who was partially seated on and resting against the armrest of a couch, looking out the window and nervously fidgeting with the leather pouch that was suspected to contain a weapon. The other men were all seated on the couch. D’Atri took the money out of the paper bag, stood up, and began to count the money. Again, D’Atri noticed Simon looking out the window and fidgeting with the pouch. At about this time, the surveillance and backup agents began to converge on the motel.
D’Atri heard the surveillance and backup agents arrive at the door of the motel office. Suddenly, Agent Rios shouted, “No,” and D’Atri heard a gunshot. D’Atri drew his gun and held it on Concepcion and Alvarez. Meanwhile, out of the corner of his eye, D’Atri saw Simon and Agent Rios engaged in a struggle. D’Atri heard another gunshot, and he turned to help Agent Rios.4 D’Atri lunged at Simon, but, as he reached Simon, he felt tremendous pain in his forehead and left arm. D’Atri fired several shots at Simon, emptying his weapon in the process. D’Atri then looked up and saw Alvarez aiming a chrome-plated .357 Magnum pistol at him. Alvarez fired one shot at D’Atri, hitting him in the chest. D’Atri saw Alvarez take two steps *839toward him and fire another shot. The impact of the second shot caused D’Atri to careen into the wall of the living room, where he blacked out.
During this time, the surveillance and backup agents were attempting to force their way into the motel. The agents finally shot the lock off the door of the motel office and entered the living room. The agents found Agent Rios on the couch with a gunshot wound in the face. Agent Rios had also been shot in the finger and the left thigh. Agent D’Atri was lying on the floor in a pool of blood, with four gunshot wounds. Simon, who was covered with blood, was leaning against the wall near a hallway that led to the bedrooms. A carbine rifle was at his feet. Alvarez was running down the hallway toward the bedrooms. Agent Casali yelled, “Freeze, police,” but Alvarez ducked into a bedroom. Casali drew his gun and entered the bedroom. Alvarez looked up, saw Casali, and reached for a shotgun that was lying on the bed. Casali shot Alvarez. Casali then instructed Agent Switzer to watch Alvarez while Casali searched the other bedroom. When Switzer turned his back on Alvarez to help cover Casali’s entry into the other bedroom, Alvarez again went for the shotgun, and Switzer shot him.
The surveillance and backup agents tried to administer first aid to Agent Rios, but he died before medical help could arrive. Agent D’Atri, Alvarez, and Simon were taken to the hospital, and eventually recovered from their wounds.
The cause of Agent Rios’ death was determined to be the gunshot wound in the face. The bullet had lodged in the back of Agent Rios’ skull. Expert testimony at trial indicated that the bullet that killed Agent Rios was fired from Alvarez’ .357 Magnum pistol.
The appellants were indicted in the United States District Court for the Southern District of Florida as follows:
Count I: Conspiracy to possess with intent to distribute cocaine, 21 U.S.C. § 846 (all appellants);
Count II: Possession with intent to distribute cocaine, or aiding and abetting the same, 21 U.S.C. § 841(a)(1) and 18 U.S.C. § 2 (all appellants);
Count III: First degree murder of Agent Ariel Rios, or aiding and abetting the same, 18 U.S.C. §§ 1111(a), 1114, and 2 (all appellants except Rios and Raymond);
Count IV: Assault on Agent Alex D’Atri by means of a deadly and dangerous weapon, or aiding and abetting the same, 18 U.S.C. §§ 111, 1114, and 2 (all appellants except Rios and Raymond); and Count V: Use of a firearm to commit a felony, 18 U.S.C. § 924(c)(1) (Alvarez and Simon only).
In connection with Count III, the district court also instructed the jury on the lesser-included offense of second degree murder. The jury found all of the appellants guilty as charged, except that Portal, Hernandez, and Concepcion were found guilty of second degree murder under Count III. The district court sentenced Alvarez and Simon to life plus 50 years in prison, Hernandez to 30 years in prison, Concepcion to 25 years in prison, Portal to 22 years in prison, Raymond to 10 years in prison, and Rios to 8 years in prison. Each of the appellants also received a special parole term of 3 years as mandated by 21 U.S.C. § 841(b)(1)(A).
The appellants now raise numerous challenges to the validity of their respective convictions. All except appellants Rios and Raymond contend that (1) the murder and assault counts, Counts III and IV, should have been dismissed because BATF agents are not protected under 18 U.S.C. § 1114, and (2) the district court erroneously instructed the jury concerning the crimes charged in Counts III and IV. In addition, Portal, Concepcion, and Hernandez contend that (3) their convictions on Counts III and IV were based on an improper extension of Pinkerton v. United States, 328 U.S. 640, 66 S.Ct. 1180, 90 L.Ed. 1489 (1946), and (4) the district court erred by giving the lesser-included offense instruction in connection with Count III, thus allowing the jury to *840reach a “compromise” verdict. Rios, Raymond, Portal, and Hernandez claim that (5) the evidence was insufficient to establish their knowing participation in the drug conspiracy. Hernandez also claims that (6) the district court erred by admitting coconspirator hearsay statements against him in violation of United States v. James, 590 F.2d 575 (5th Cir.) (en banc), cert. denied, 442 U.S. 917, 99 S.Ct. 2836, 61 L.Ed.2d 283 (1979). Portal alleges that (7) the weight of the evidence supported his defense theory of entrapment, and the evidence was insufficient to establish his predisposition to commit the crime of conspiracy. Rios and Raymond contend that (8) the district court should have granted a severance so that they could have been tried separately from the other appellants. Finally, all of the appellants argue that (9) the district court should have granted a change of venue, (10) prosecutorial misconduct tainted the trial, (11) the district court erroneously admitted the statements translated by Agent Rios for the benefit of Agent D’Atri, and (12) the district court should not have allowed the BATF agents who testified at trial to remain in the courtroom during the closing arguments.
II. DISCUSSION
A. Are BATF Agents Protected Under 18 U.S.C. § 11U?
Both the federal murder statute, 18 U.S.C. § 1111(a),5 and the federal assault statute, 18 U.S.C. § 111,6 apply to crimes committed against “officers and employees of the United States” as listed in 18 U.S.C. § 1114.7 The appellants who were convicted of the murder of Agent Rios and the assault on Agent D’Atri contend that the failure of Congress to mention explicitly BATF agents in section 1114 indicates that the murder or assault of a BATF agent is not a federal crime, and that Counts III and IV therefore should have been dismissed. We disagree.
The argument that BATF agents are not protected under section 1114 was rejected by the Second Circuit in United States v. Lopez, 586 F.2d 978 (2d Cir.1978), cert. denied, 440 U.S. 923, 99 S.Ct. 1251, 59 L.Ed.2d 476 (1979). The Lopez court explained that, prior to 1972, the functions of the BATF were conducted by the Internal Revenue Service (IRS), and IRS agents, officers, and employees were explicitly mentioned in section 1114. See id. at 979. In 1972, the Secretary of the Treasury ordered the transfer of IRS functions relating to alcohol, tobacco, firearms, and explosives to the BATF. Treas.Dept. Order No. 221, 37 Fed.Reg. 11696 (1972). After the 1972 transfer, Congress did not amend section 1114 to add BATF agents to the list of protected persons.
Such an amendment, however, is unnecessary. The situation is governed by 5 U.S.C. § 907(a), which provides:
A statute enacted, and a regulation or other action made, prescribed, issued, granted, or performed in respect of or by an agency or function affected by a reorganization under this chapter, before the effective date of the reorganization, has, except to the extent rescinded, modified, superseded, or made inapplicable by or *841under authority of law or by the abolition of a function, the same effect as if the reorganization had not been made____
Under 5 U.S.C. § 907(a), any statute, regulation, or other action already in effect prior to the date of an executive reorganization of agency functions continues to have the same effect as if there had been no reorganization. United States v. Irick, 497 F.2d 1369, 1372 (5th Cir.1974), cert. denied, 420 U.S. 945, 95 S.Ct. 1325, 43 L.Ed.2d 423 (1975).8
Thus, the 1972 transfer of certain IRS functions to the BATF did not render section 1114 inapplicable to persons performing those functions. Rather, under 5 U.S.C. § 907(a), the designation of IRS agents in section 1114 also includes BATF agents. Lopez, 586 F.2d at 980; see also Irick, 497 F.2d at 1372 (reaching identical conclusion with respect to the 1973 transfer of functions of the Bureau of Narcotics and Dangerous Drugs to the Drug Enforcement Administration). We therefore hold, as the Second Circuit did in Lopez, that BATF agents are protected under 18 U.S.C. § 1114.9 Accordingly, the district court did not err when it denied the appellants’ motion to dismiss Counts III and IV.
B. Did the District Court Erroneously Instruct the Jury Concerning the Murder and Assault Charges?
Those appellants who were convicted of murder and assault under Counts III and IV also contend that the district court erroneously instructed the jury concerning those counts. According to the appellants, the court should have instructed the jury that the government was required to prove that the appellants knew, at the time the shoot-out occurred, that their victims were federal agents. The appellants argue that, under United States v. Danehy, 680 F.2d 1311 (11th Cir.1982), the court’s refusal to give such an instruction requires the reversal of their murder and assault convictions.
1. The Appellants’ Requested Instruction
The appellants alleged at trial that they mistakenly believed that the undercover agents were members of the Mafia, and that the shootings of Agents Rios and D’Atri were in self-defense.10 At the *842charge conference, counsel for the appellants requested the following instruction as to the assault count, Count IV:11
That to establish the offense of assaulting a federal officer in the performance of his official duties as charged in the indictment there are four essential elements which must be proved beyond a reasonable doubt:
First, that the defendant forcibly assaulted with [sic] any federal officer described in the indictment.
Second, that the individuals were federal officers then engaged in the performance of their official duties as charged.
Third, that the defendant did such acts willingly.
Fourth, that they did it knowingly. The court refused to give this instruction because of the inclusion of the fourth, or “knowledge,” element. The appellants now contend that, under Danehy, the court erred when it refused to give this instruction. In our view, this contention reflects a basic misunderstanding of Danehy and the federal assault statute, 18 U.S.C. § 111.
Knowledge of the victim’s status as a federal officer is not an element of the federal crime of assault under 18 U.S.C. § 111. See United States v. Feola, 420 U.S. 671, 684, 95 S.Ct. 1255, 1264, 43 L.Ed.2d 541 (1975); United States v. Young, 464 F.2d 160, 163 (5th Cir.1972); Bennett v. United States, 285 F.2d 567, 570-71 (5th Cir.1960), cert. denied, 366 U.S. 911, 81 S.Ct. 1087, 6 L.Ed.2d 236 (1961). As the Supreme Court stated in Feola:
[I]n order to effectuate the congressional purpose of according maximum protection to federal officers by making prosecution for assaults upon them cognizable in the federal courts, § 111 cannot be construed as embodying an unexpressed requirement that an assailant be aware that his victim is a federal officer. All the statute requires is an intent to assault, not an intent to assault a federal officer. A contrary conclusion would give insufficient protection to the agent enforcing an unpopular law, and none to the agent acting under cover.
420 U.S. at 684, 95 S.Ct. at 1264 (footnote omitted).
Of course, it is a well-established proposition of federal criminal law that, when a defendant presents evidence in support of a claim of self-defense, the absence of self-defense must be proven beyond a reasonable doubt by the government.12 See United States v. Jackson, 569 F.2d 1003, 1008 n. 12 (7th Cir.), cert. denied, 437 *843U.S. 907, 98 S.Ct. 3096, 57 L.Ed.2d 1137 (1978); United States v. Corrigan, 548 F.2d 879, 883 (10th Cir.1977); United States v. Johnson, 542 F.2d 230, 233 n. 4 (5th Cir.1976); Frank v. United States, 42 F.2d 623, 629 (9th Cir.1930); see also Davis v. United States, 160 U.S. 469, 488, 16 S.Ct. 353, 358, 40 L.Ed. 499 (1895) (burden of proof on government with respect to defendant’s sanity). Accordingly, the Feo-la Court emphasized that, in certain circumstances, the defendant’s state of knowledge may become relevant to a prosecution under 18 U.S.C. § 111:
We are not to be understood as implying that the defendant’s state of knowledge is never a relevant consideration under § 111. The statute does require a criminal intent, and there may well be circumstances in which ignorance of the official status of the person assaulted or resisted negates the very existence of mens rea. For example, where an officer fails to identify himself or his purpose, his conduct in certain circumstances might reasonably be interpreted as the unlawful use of force directed either at the defendant or his property. In a situation of that kind, one might be justified in exerting an element of resistance, and an honest mistake of fact would not be consistent with criminal intent.
420 U.S. at 686, 95 S.Ct. at 1264 (footnote omitted).
Nevertheless, even a claim of self-defense based on lack of knowledge of the victim’s federal status does not make knowledge an element of the crime under section 111. When such a claim of self-defense arises in a section 111 case, the government may attempt to negate the claim by proving that the defendant knew of the victim’s federal status. See, e.g., United States v. Ochoa, 526 F.2d 1278 (5th Cir.1976). That is not, however, the only way in which the government can negate such a claim of self-defense. For example, the government can do so by proving that the defendant was the aggressor or used excessive force:
[WJhere a defendant charged with violating § 111 claims that he was unaware that the victim was a federal officer, the question becomes: would the defendant have been justified, because of the agent’s actions, in using force against the agent had the latter, in fact, been a “civilian.” If the defendant made an honest mistake of fact with respect to the agent’s status and the defendant’s use of force would have been justified against a private citizen, then he cannot be held criminally liable under § 111____ If ... the defendant would not have been justified in using force against a private citizen or if the defendant used more force than the law permitted, see United States v. Perkins, [488 F.2d 652, 654-55 (1st Cir.1973)], his mistake as to the agent’s status would be no defense to an action under § 111.
United States v. Hillsman, 522 F.2d 454, 460 (7th Cir.) (emphasis added), cert. denied, 423 U.S. 1035, 96 S.Ct. 570, 46 L.Ed.2d 410 (1975).
Our decisions in Danehy and United States v. Young, 464 F.2d 160 (5th Cir. 1972), are consistent with these general rules. We did not hold in those two cases that the government was required to prove that the defendant knew of the victim’s federal status. On the contrary, in Da-nehy, we emphasized that proof of such knowledge is merely one of the government’s options:
[T]he all-important point [is] that in a prosecution under 18 U.S.C. § 111 the defendant must either (1) know the person he is impeding is a federal officer or (2) engage in conduct towards that individual which would constitute a crime even if he were not a federal officer.
680 F.2d at 1315 (emphasis added).
Although some of the language in Da-nehy and Young may have engendered unnecessary confusion on this issue, we find that language to be no more than an attempt to tailor the standard self-defense instruction to the factual circumstances *844present in those two cases. For example, in Young, we held:
[T]he jury should have been clearly instructed that it could not find Young guilty of the offenses charged unless the jury believed that Young intended to threaten or attempted to injure [the federal agents]; and that Young could not intend to threaten or attempt to injure [the agents] if Young acted out of a reasonable belief that [the agents] were strangers who intended to inflict harm upon Young____
464 F.2d at 163. Our suggested instruction in Young did not purport to make knowledge an element of the crime; instead, it simply restated the law of self-defense in terms applicable to the facts of the case.13 The instruction we proposed in Danehy was identical to the one in Young. See Danehy, 680 F.2d at 1315.14
We acknowledge the possibility that, upon some extraordinary set of facts, the government might be required to prove that the defendant knew of the victim’s federal status in order to obtain a conviction under 18 U.S.C. § 111. For example, if the undisputed evidence showed that the federal agent was the aggressor, and that the defendant used a reasonable amount of force in response, then the government might be able to negate the defendant’s claim of self-defense only by proving that the defendant knew that his victim was a federal agent. In such a case, an instruction similar to the one here requested by the appellants might be proper. This is not, however, such a case. Here, the government was not required to prove the appellants’ knowledge of their victims’ identities in order to negate the appellants’ *845claim of self-defense.15 We therefore hold that the court below did not err by refusing to give the appellants’ requested instruction.
2. Plain Error
The appellants also contend that, even if their requested instruction was improper, the jury charge given by the district court constituted plain error under Danehy and Young. The appellants’ challenge relates to the following portion of the charge:
It is not necessary to show that the defendant knew the person being forcibly assaulted was at the time a federal officer carrying out an official duty, so long as it is established beyond a reasonable doubt that the victim was in fact a federal officer acting in the course of his duty and that the defendant willfully committed forcible assault upon him.
It is true that, in Danehy and Young, we held that the district court committed plain error by including similar language in the jury charge. The appellants’ argument, however, ignores the fundamental principle that, in determining the correctness of a jury charge, a reviewing court must examine the entire charge. See United States v. Rackley, 742 F.2d 1266, 1273 (11th Cir. 1984); United States v. Abravaya, 616 F.2d 250, 251 (5th Cir.1980). Such an examination reveals that, viewed in its entirety, the charge in the instant case differs significantly from the charges that were found to be plain error in Danehy and Young.16
In Young, the district court instructed the jury as follows:
... It is completely unimportant whether this defendant did or did not know that these men were FBI agents on such occasion. He didn’t have to know that. Whether he knew it or not if he did what the government contends that he did whether he knew that they were agents at the time or not would make no difference as to whether he is guilty or innocent.
An intentional or unlawful threat or attempt to commit injury upon the person of another when coupled with an apparent present ability so to do and an intentional display of force such as to place the victim in reasonable apprehension of immediate bodily harm constitutes an assault. An assault may be committed without actually touching, striking or committing bodily harm to another.
Unlawfully as used in this instruction means either contrary to law or without legal justification; thus a person who in fact has the present ability to inflict bodily harm upon another, wilfully threatens or attempts to inflict bodily harm upon such person, may be found guilty of forcefully assaulting such person.
The essential elements required to be proved in order to establish the offense charged in the indictment are first the act or acts of forcefully assaulting an agent of the Federal Bureau of Investigation while the agent was engaged in the performance of his official duties as charged, and second, such act or acts wilfully which means with bad purpose to disregard the law.
*846Knowledge of the identity or official character of the person assaulted is not an essential element of the offense. If the defendant assaults a federal officer in order to be guilty it will not be necessary that the defendant should know that they were federal officers to be guilty of the offense charged.
464 F.2d at 162-63. We explained that these instructions “permit[ted] the jury to find Young guilty of the offenses charged even if the jury believed Young’s testimony that he thought he was being harassed by local rowdies,” id. at 163, and held that the jury charge as a whole constituted plain error, id. at 164.
In Danehy, the district court gave the following instruction:
It is not necessary to show that the defendant knew the people being forcibly resisted, opposed, impeded, or interfered with were, at that time, Federal officers carrying out an official duty; so long as it is established beyond a reasonable doubt that the victims were, in fact, Federal officers acting in the course of their duty and that the defendant willfully resisted, opposed, impeded, or interfered with them.
680 F.2d at 1315. Relying on Young, we again held that the jury charge as a whole constituted plain error. Danehy, 680 F.2d at 1315.
A crucial factor in Young, however, was that the district court failed properly to instruct the jury on the elements of self-defense. The government argued on appeal that the definition of “unlawfully” as “either contrary to law or without legal justification” served as an effective substitute for a self-defense instruction, and thereby “remove[d] the sting from the [improper] portion of the charge.” Young, 464 F.2d at 164. We rejected the government’s argument on the grounds that a single brief reference to “legal justification” could not alter the fact that, “[a]t best, the charge was confusing and contradictory”:
We conclude that the charge, considered as a whole, failed “to define with substantial particularity the factual issues,” and failed “clearly to instruct the jurors as to the principles of law ... to apply in deciding the factual issues involved in the case before them.” United States v. Hill, 5 Cir.1969, 417 F.2d 279, 281. The failure to instruct properly on the issue of intention effectively deprived Young of his right “to have presented instructions relating to a theory of defense for which there is any foundation in the evidence.” Perez v. United States, 5 Cir.1961, 297 F.2d 12, 14-15.
Here, in sharp contrast to Young, the district court gave the jury a complete and accurate self-defense instruction. After explaining the elements of first and second degree murder, the court charged the jury:
If the defendant was not the aggressor and had reasonable grounds to believe and actually did believe that he was in imminent danger of death or serious bodily harm from which he could save himself only by using deadly force against his assailant, he had the right to employ deadly force in order to defend himself.
By deadly force is meant force which is likely to cause death or serious bodily harm.
In order for the defendant to have been justified in the use of deadly force in self defense, he must not have provoked the assault on him or been the agressor [sic]. Mere words, without more, do not constitute provocation or aggression.
The circumstances under which he acted must have been such as to produce in the mind of a reasonably prudent person similarly situated the reasonable belief that the other person was then about to kill him or to do him serious bodily harm.
*847In addition, the defendant must actually believe that he was in imminent danger of death or serious bodily harm and that deadly force must be used to repel it.
If evidence of self defense is present, the government must prove beyond a reasonable doubt that the defendant did not act in self defense.
If you find that the government has failed to prove beyond a reasonable doubt that the defendant did not act in self defense, you must find the defendant not guilty. In other words, if you have a reasonable doubt whether or not the defendant acted in self defense, your verdict must be not guilty.
We conclude that this lengthy self-defense instruction provided the appellants with an adequate basis for arguing their theory of the case to the jury. Unlike in Young, the jury charge in the instant case, viewed in its entirety, did not deprive the appellants of the right “to have presented instructions relating to a theory of defense for which there is any foundation in the evidence.” 464 F.2d at 164.18 While we do not condone the district court’s failure to follow the course we set out in Danehy and Young, we hold that, because the self-defense instruction cured much of the potential harm caused by the improper “knowledge” instruction,19 the jury charge as a whole did not constitute plain error.
We take this opportunity to reemphasize, however, that when a defendant in a prosecution under 18 U.S.C. §§ 111 or 1111(a)20 raises a claim of self-defense based on lack of knowledge that the victim was a federal agent, the jury should be instructed about the relevance of the defendant’s state of knowledge. As discussed in the preceding section, the government may negate such a claim of self-defense either by proving that the defendant knew of the victim’s federal status or by proving that the defendant’s conduct would not have qualified as self-defense even against a private citizen. The jury charge in such a case, therefore, should include (1) an explanation of the essential elements of a claim of self-defense, and (2) an instruction informing the jury that the defendant cannot be convicted unless the government proves, beyond a reasonable doubt, either (a) that the defendant knew that the victim was a federal agent, or (b) that the defendant’s use of deadly force would not have qualified as self-defense even if the agent had, in fact, been a private citizen.
C. Were the Murder Convictions of Portal, Concepcion, and Hernandez Proper Under Pinkerton v. United States?
Appellants Portal, Concepcion, and Hernandez contend that their murder convictions under Count III were based on an unprecedented and improper extension of Pinkerton v. United States, 328 U.S. 640, 66 S.Ct. 1180, 90 L.Ed. 1489 (1946). Under Pinkerton, each member of a conspiracy is criminally liable for any crime committed by a coconspirator during the course and in furtherance of the conspiracy, unless the crime “did not fall within the scope of the unlawful project, or was merely a part of the ramifications of the plan which could not be reasonably foreseen as a necessary or natural consequence of the unlawful agreement.” Id. at 647-48, 66 S.Ct. at 1184; United States v. Johnson, 730 F.2d 683, 690 (11th Cir.), cert. denied, — U.S. -, 105 S.Ct. 186, 83 L.Ed.2d 119 (1984); United States v. Moreno, 588 F.2d 490, 493 *848(5th Cir.), cert. denied, 441 U.S. 936, 947, 99 S.Ct. 2061, 2168, 60 L.Ed.2d 666, 1049 (1979). The three appellants argue that murder is not a reasonably foreseeable consequence of a drug conspiracy, and that their murder convictions therefore should be reversed. We conclude that, although the murder convictions of the three appellants may represent an unprecedented application of Pinkerton, such an application is not improper.21
1. Standard of Review
We note initially that' the scope of our review is limited. The application of the Pinkerton doctrine to a particular set of facts ultimately is for the jury to decide. See Nye & Nissen v. United States, 336 U.S. 613, 618, 69 S.Ct. 766, 769, 93 L.Ed. 919 (1949). In the instant case, the district court submitted the murder count to the jury with a proper Pinkerton instruction,22 and the jury found the three appellants guilty of murder. We must determine whether the court erred in deciding to submit the Pinkerton issue to the jury. Our standard of review is whether the evidence was sufficient for a reasonable jury to have concluded, beyond a reasonable doubt, that the murder was a reasonably foreseeable consequence of the drug conspiracy alleged in the indictment. See United States v. Bell, 678 F.2d 547, 549 (5th Cir. Unit B 1982) (en banc), aff'd on other grounds, 462 U.S. 356, 103 S.Ct. 2398, 76 L.Ed.2d 638 (1983).23 In making this assessment, we must view the evidence in the light most favorable to the government, Glasser v. United States, 315 U.S. 60, 80, 62 S.Ct. 457, 469, 86 L.Ed. 680 (1942), and accept all reasonable inferences and credibility choices made by the jury, United States v. Gonzalez, 719 F.2d 1516, 1521-22 (11th Cir. 1983) , cert. denied, — U.S.-, 104 S.Ct. 1312, 79 L.Ed.2d 710 (1984).
2. Reasonable Foreseeability
Upon reviewing the record, we find ample evidence to support the jury’s conclusion that the murder was a reasonably foreseeable consequence of the drug conspiracy alleged in the indictment. In making this determination, we rely on two critical factors. First, the evidence clearly established that the drug conspiracy was designed to effectuate the sale of a large quantity of cocaine. The conspirators agreed to sell Agents Rios and D’Atri three kilograms of cocaine for a total price of $147,000. The transaction that led to the murder involved the sale of one kilogram of cocaine for $49,000. In short, the drug conspiracy was no nickel-and-dime operation; under any standards, the amount of drugs and money involved was quite substantial.
*849Second, based on the amount of drugs and money involved, the jury was entitled to infer that, at the time the cocaine sale was arranged, the conspirators must have been aware of the likelihood (1) that at least some of their number would be carrying weapons, and (2) that deadly force would be used, if necessary, to protect the conspirators’ interests. We have previously acknowledged the “nexus” between weapons and drugs, see United States v. Montes-Cardenas, 746 F.2d 771, 776 (11th Cir.1984), and we have also recognized that weapons have become “tools of the trade” for those involved in the distribution of illicit drugs, id. at 777. As the former Fifth Circuit has stated, “Experience on the trial and appellate benches has taught that substantial dealers in narcotics keep firearms on their premises as tools of the trade almost to the same extent as they keep scales, glassine bags, cutting equipment, and other narcotic equipment.” United States v. Perez, 648 F.2d 219, 224 (5th Cir. Unit B) (quoting United States v. Wiener, 534 F.2d 15, 18 (2d Cir.), cert. denied, 429 U.S. 820, 97 S.Ct. 66, 50 L.Ed.2d 80 (1976)), cert. denied, 454 U.S. 1055, 102 S.Ct. 602, 70 L.Ed.2d 592 (1981); see also United States v. Lippner, 676 F.2d 456, 463 (11th Cir.1982) (gun and brass knuckles admissible in drug conspiracy trial because they were “tools for the execution of the crime”). In light of these observations, and in view of the amount of drugs and money involved in the instant case, the jury’s inference was both reasonable and proper.
In our opinion, these two critical factors provided ample support for the jury’s conclusion that the murder was a reasonably foreseeable consequence of the drug conspiracy alleged in the indictment. In addition, we note the evidence at trial indicating that at least two of the conspirators were extremely nervous about the possibility of a rip-off or a drug bust. During a lull in the negotiations, Alvarez observed, “In this business, you have to be careful. It’s a dangerous business. You have to watch out for rip-offs and Federal agents.” Alvarez also stated that he would never go back to prison, and that he would rather be dead than go back to prison. Alvarez’ statements clearly implied that he contemplated the use of deadly force, if necessary, to avoid a rip-off or apprehension by Federal agents. The evidence also indicated that, immediately prior to the shoot-out, Simon looked nervously out the window while fidgeting with a leather pouch that was suspected to contain a weapon. The jury properly could take this additional evidence into account in reaching its conclusion about the foreseeability of the murder.
Because we find that the evidence in this case was more than sufficient to allow a reasonable jury to conclude that the murder was a reasonably foreseeable consequence of the drug conspiracy alleged in the indictment, we hold that the court did not err by submitting the Pinkerton issue to the jury.
3. Individual Culpability
The three appellants also contend that, even if the murder was reasonably foreseeable, their murder convictions nevertheless should be reversed. The appellants. argue that the murder was sufficiently distinct from the intended purposes of the drug conspiracy, and that their individual roles in the conspiracy were sufficiently minor, that they should not be held responsible for the murder. We are not persuaded.
It is well established that, under the Pinkerton doctrine, “[a] co-conspirator is vicariously liable for the acts of another co-conspirator even though he may not have directly participated in those acts, his role in the crime was minor, or the evidence against a co-defendant more damaging.” United States v. Gagnon, 721 F.2d 672, 676 (9th Cir.1983); see United States v. Monaco, 702 F.2d 860, 881 n. 38 (11th Cir. 1983); United States v. Poitier, 623 F.2d 1017, 1023 (5th Cir.1980). Thus, in a typical Pinkerton case, the court need not inquire into the individual culpability of a particular conspirator, so long as the sub*850stantive crime was a reasonably foreseeable consequence of the conspiracy.24
We acknowledge that the instant case is not a typical Pinkerton case. Here, the murder of Agent Rios was not within the originally intended scope of the conspiracy, but instead occurred as a result of an unintended turn of events. We have not found, nor has the government cited, any authority for the proposition that all conspirators, regardless of individual culpability, may be held responsible under Pinkerton for reasonably foreseeable but originally unintended substantive crimes.25 Furthermore, we are mindful of the potential due process limitations on the Pinkerton doctrine in cases involving attenuated relationships between the conspirator and the substantive crime.26
Nevertheless, these considerations do not require us to reverse the murder convictions of Portal, Concepcion, and Hernandez, for we cannot accept the three appellants’ assessment of their individual culpability. All three were more than “minor” *851participants in the drug conspiracy. Portal served as a look-out in front of the Hurricane Motel during part of the negotiations that led to the shoot-out, and the evidence indicated that he was armed. Concepcion introduced the agents to Alvarez, the apparent leader of the conspiracy, and was present when the shoot-out started. Finally, Hernandez, the manager of the motel, allowed the drug transactions to take place on the premises and acted as a translator during part of the negotiations that led to the shoot-out.
In addition, all three appellants had actual knowledge of at least some of the circumstances and events leading up to the murder. The evidence that Portal was carrying a weapon demonstrated that he anticipated the possible use of deadly force to protect the conspirators’ interests. Moreover, both Concepcion and Hernandez were present when Alvarez stated that he would rather be dead than go back to prison, indicating that they, too, were aware that deadly force might be used to prevent apprehension by Federal agents.
We find the individual culpability of Portal, Concepcion, and Hernandez sufficient to support their murder convictions under Pinkerton, despite the fact that the murder was not within the originally intended scope of the conspiracy. In addition, based on the same evidence, we conclude that the relationship between the three appellants and the murder was not so attenuated as to run afoul of the potential due process limitations on the Pinkerton doctrine. We therefore hold that Pinkerton liability for the murder of Agent Rios properly was imposed on the three appellants, and we decline to reverse their murder convictions on this ground.27
D. Did the District Court Err By Giving the Lesser-included Offense Instruction In Connection With Count III?
Appellants Portal, Concepcion, and Hernandez contend that the district court erred by giving a lesser-included offense instruction in connection with the murder charges in Count III of the indictment. The lesser-included offense instruction defined the elements of second degree murder. The three appellants argue that, under the Pinkerton doctrine, the jury had only two legitimate options: it could find them guilty of the crime committed by their coconspirators, or it could acquit them. The appellants claim that the lesser-included offense instruction allowed the jury to reach an improper compromise verdict. We find this contention meritless.
The Federal Rules of Criminal Procedure provide that a defendant “may be found guilty of an offense necessarily included in the offense charged____” Fed.R.Crim.P. 31(c). In the instant case, the court decided to give the lesser-included offense instruction because the evidence at trial could have supported the conclusion that the shot that killed Agent Rios was fired without premeditation.28 Failure to give *852such a lesser-included offense instruction might well have constituted reversible error. See Keeble v. United States, 412 U.S. 205, 208, 93 S.Ct. 1993, 1995, 36 L.Ed.2d 844 (1973); Sansone v. United States, 380 U.S. 343, 349, 85 S.Ct. 1004, 1009, 13 L.Ed.2d 882 (1965). The lesser-included offense instruction was requested by the government and by appellants Alvarez and Simon, but the court properly could have given the instruction even without a request and over the objections of all of the appellants. See United States v. Iron Shield, 697 F.2d 845, 848 (8th Cir.1983). We must therefore reject the contention of appellants Portal, Concepcion, and Hernandez that the lesser-included offense instruction should not have been given. See United States v. Bey, 667 F.2d 7, 11 (5th Cir. Unit B 1982) (“If the lesser included offense was supportable by the evidence, then the defendants have no ground for objection under Rule 31(c).”).
The actual basis for the three appellants’ claim of error seems to be not the lesser-included offense instruction itself, but the fact that the jury was allowed to return an inconsistent or “compromise” verdict finding them guilty of second degree murder while finding Alvarez and Simon guilty of first degree murder. Inconsistency in a verdict, however, is not a sufficient reason to set it aside. See United States v. Powell, — U.S.-, 105 S.Ct. 471, 476-79, 83 L.Ed.2d 461 (1984); Harris v. Rivera, 454 U.S. 339, 345,102 S.Ct. 460, 464, 70 L.Ed.2d 530 (1981). As the Supreme Court has stated:
[WJhere truly inconsistent verdicts have been reached, “[t]he most that can be said ... is that the verdict shows that either in the acquittal or the conviction the jury did not speak their real conclusions, but that does not show that they were not convinced of the defendant’s guilt.”
Powell, 105 S.Ct. at 477 (quoting Dunn v. United States, 284 U.S. 390, 393, 52 S.Ct. 189, 190, 76 L.Ed. 356 (1932)).
The Supreme Court has directly addressed the issue of inconsistent verdicts involving codefendants in a joint trial. In United States v. Dotterweich, 320 U.S. 277, 64 S.Ct. 134, 88 L.Ed. 48 (1943), a corporation and an individual who served as the corporation’s president and general manager were jointly tried for violating the Federal Food, Drug, and Cosmetic Act. The corporation was acquitted, but the individual, Dotterweich, was convicted. On appeal, Dotterweich argued, inter alia, that the jury’s verdict was inconsistent. The Supreme Court rejected this argument:
Equally baseless is the claim of Dotterw-eich that, having failed to find the corporation guilty, the jury could not find him guilty. Whether the jury’s verdict was the result of carelessness or compromise or a belief that the responsible individual should suffer the penalty ... is immaterial. Juries may indulge in precisely such motives or vagaries.
Id. at 279, 64 S.Ct. at 135 (citing Dunn, 284 U.S. at 390, 52 S.Ct. at 190); see United States v. Colson, 662 F.2d 1389, 1393 (11th Cir.1981); United States v. Kohlmann, 491 F.2d 1250, 1253 (5th Cir.1974) (“[E]ven if we assume that the jury's verdict is inconsistent or is the result of a compromise, this is not cause for speculation or inquiry into the verdict on our part.”).
In the instant case, the jury properly could have convicted Portal, Concepcion, and Hernandez of first degree murder under Pinkerton, but chose for some unknown reason not to do so. If anything, the three appellants benefited from this inconsistency in the jury’s verdict. We see no reason to disturb the jury’s verdict, and we reject the appellants’ contention that the district court erred by giving the lesser-included offense instruction to the jury.
*853E. Was the Evidence Sufficient to Convict Appellants Rios, Raymond, Portal, and Hernandez of Conspiracy?
Appellants Rios, Raymond, Portal, and Hernandez contend that the evidence presented at trial was insufficient to convict them of conspiracy under 21 U.S.C. § 846. To convict a defendant of participation in a drug conspiracy, the government must prove that a conspiracy existed, that the defendant knew of it, and that, with knowledge, the defendant voluntarily became a part of the conspiracy. United States v. Rackley, 742 F.2d 1266, 1272 (11th Cir.1984); United States v. Bland, 653 F.2d 989, 996 (5th Cir.), cert. denied, 454 U.S. 1055, 102 S.Ct. 602, 70 L.Ed.2d 592 (1981). In the instant case, the four appellants do not deny that a conspiracy existed; rather, they contend that the government failed to prove that each of them knowingly participated in the conspiracy.
We note that the government need not prove that a defendant had knowledge of all details or phases of the conspiracy. Rather, it is enough that the defendant knew the essential nature of the conspiracy. Blumenthal v. United States, 332 U.S. 539, 68 S.Ct. 248, 92 L.Ed. 154 (1947); United States v. James, 528 F.2d 999, 1011 (5th Cir.), cert. denied, 429 U.S. 959, 97 S.Ct. 382, 50 L.Ed.2d 326 (1976). Furthermore, direct evidence of the elements of a conspiracy is not required. A defendant’s knowing participation in the conspiracy may be established through proof of surrounding circumstances, such as acts committed by the defendant that furthered the purpose of the conspiracy. United States v. Bain, 736 F.2d 1480, 1485 (11th Cir. 1984); see also United States v. Garcia, 721 F.2d 721, 725 (11th Cir.1983) (“A defendant’s involvement as a conspirator may be shown through knowledge of the conspiracy and association with coconspirators combined with other circumstantial evidence.”).
1. Appellant Rios
The evidence at trial established that appellant Rios was present at the meeting with the undercover BATF agents at the convenience store parking lot on December 1, 1982. The purpose of this meeting was to negotiate the sale of two kilograms of cocaine. Raymond told the agents, in appellant Rios’ presence, that Raymond had obtained a source for the cocaine. After Raymond tried to contact the source, Agent Tirado asked appellant Rios if he knew when the cocaine would be delivered. Appellant Rios then attempted to telephone the cocaine source and, when the attempt proved unsuccessful, led Agents Rios and Tirado to the source’s residence. Finally, appellant Rios returned to the parking lot and was present when Portal arrived and arranged to sell two kilograms of cocaine to the agents.
In our opinion, this evidence was sufficient for a reasonable jury to conclude, beyond a reasonable doubt, that appellant Rios had knowledge of the essential nature of the conspiracy. Furthermore, the jury could properly infer, from the circumstances surrounding the meeting and the actions of appellant Rios, that he knowingly participated in the conspiracy. We therefore hold that the evidence was sufficient to convict appellant Rios of conspiracy under 21 U.S.C. § 846.
2. Appellant Raymond
The evidence at trial established that Raymond also was present at the meeting in the convenience store parking lot. Raymond told the agents that he had obtained a source for the cocaine, but that delivery would be delayed by about a half hour. Raymond then unsuccessfully attempted to telephone his cocaine source. Several times, Raymond assured the undercover BATF agents that the cocaine was coming, and asked the agents to wait a little while longer. At one point, Raymond suggested that the cocaine deal be moved across the street from the parking lot, because he thought that there were too many cars in the parking lot. Finally, Raymond was present when Portal arrived and ar*854ranged to sell two kilograms of cocaine to the agents.
We find the evidence against Raymond even more convincing than the evidence against appellant Rios. The evidence showed that Raymond was the initial cocaine contact, and it was Raymond who conducted most of the negotiations with the agents at the initial meeting. Hence the evidence was sufficient to convict Raymond of conspiracy under 21 U.S.C. § 846.
3. Appellant Portal
The evidence at trial established that Portal arrived at the parking lot on December 1, 1982, and spoke with appellants Rios and Raymond. Portal then told the undercover BATF agents that he could make immediate delivery of two kilograms of cocaine. After telephoning Concepcion, his cocaine source, Portal told the agents that he could obtain the cocaine by noon the next day. On December 2, 1982, the day of the shoot-out, Portal was present at the meeting with Concepcion and Agents Rios and D’Atri at the restaurant parking lot. At the conclusion of this meeting, Portal rode with Concepcion to the Hurricane Motel. Portal remained outside the motel, acting as a “lookout,” and the evidence at trial indicated that he was armed. Finally, when the first meeting at the Hurricane Motel ended, Portal drove home to Homestead, Florida, in Concepcion’s car.
This evidence was more than adequate for a reasonable jury to conclude, beyond a reasonable doubt, that appellant Portal knowingly participated in the conspiracy. We therefore hold that the evidence was sufficient to convict Portal of conspiracy under 21 U.S.C. § 846.
4. Appellant Hernandez
The evidence at trial established that Hernandez was the manager of the Hurricane Motel, and shared with Alvarez the apartment where the cocaine deal and the shoot-out occurred on December 2, 1982. Hernandez was present for much of the first meeting with the undercover BATF agents,. Alvarez, and Concepcion. Hernandez entered and left the room several times during the meeting, and acted as a translator for statements made in Spanish by Alvarez and in English by Agent D’Atri. At one point, Alvarez, in the presence of Hernandez, produced a sample of cocaine for D’Atri to test. When the agents became concerned about the delay in the delivery of the cocaine, Hernandez told them, “Don’t worry, he’s coming. If he says he’s coming, he will be here.” Finally, when Simon arrived, Hernandez announced, “He’s here.”
Hernandez contends that the evidence established nothing more than his “mere presence” at the scene of the crime, and therefore was insufficient to support his conviction for conspiracy. We do not find this contention persuasive. Although “mere presence,” standing alone, will not support a conspiracy conviction, see United States v. Sarro, 742 F.2d 1286, 1298 (11th Cir.1984), presence is a factor to be considered with other evidence in evaluating the “totality of the circumstances,” see United States v. Blasco, 702 F.2d 1315, 1332 (11th Cir.), cert. denied, — U.S.-, 104 S.Ct. 275, 276, 78 L.Ed.2d 256 (1983), by which a jury can determine whether a defendant is guilty of conspiracy. United States v. Castro, 723 F.2d 1527, 1534 (11th Cir.1984); see United States v. Kincade, 714 F.2d 1064,1065 (11th Cir.1983) (“[P]resence is a material and probative factor which the jury may consider in reaching its decision.”). In our view, the evidence in the instant case established much more than Hernandez’ “mere presence.”
The evidence at trial overwhelmingly supported the inference that Hernandez knew that his roommate, Alvarez, and the other men in the apartment were conducting a cocaine deal. In addition, as manager of the Hurricane Motel, Hernandez could have prevented the cocaine deal from taking place on the premises. His failure to do so allowed the jury to infer that he willingly provided the location for the consummation of the cocaine deal. Finally, Hernandez played an active role during the first meeting at the motel, acting as a *855translator during part of the meeting and reassuring the agents that the cocaine source would arrive soon.
Based on the “totality of the circumstances,” we find the evidence sufficient for a reasonable jury to conclude, beyond a reasonable doubt, that Hernandez was not simply an innocent bystander to the cocaine deal that took place at the Hurricane Motel on December 2,1982, but knowingly participated in the conspiracy. Accordingly, we hold that the evidence was sufficient to convict Hernandez of conspiracy under 21 U.S.C. § 846.
F. Did the District Court Err By Admitting Coconspirator Hearsay Statements Against Appellant Hernandez?
Hernandez contends that the district court erred by admitting certain coeonspirator hearsay statements against him. Specifically, Hernandez challenges the admission of (1) the conversation between Hernandez, Alvarez, and Agent D’Atri concerning use of the telephone in the motel office, and (2) the conversation between Alvarez and Agents Rios and D’Atri, during which Alvarez said that he would never go back to prison. Hernandez contends that these statements were inadmissible under United States v. James, 590 F.2d 575 (5th Cir.) (en banc), cert. denied, 442 U.S. 917, 99 S.Ct. 2836, 61 L.Ed.2d 283 (1979), and that the erroneous admission of the statements requires us to reverse his convictions. We reject this claim.
The test for admissibility of coconspirator hearsay is well established in this circuit. The hearsay statements will be admitted only if the government presents substantial, independent evidence demonstrating (1) the existence of a conspiracy, (2) that the defendant and the declarant were both members of the conspiracy, and (3) that the statement was made in the course of and in furtherance of the conspiracy. United States v. Castro, 723 F.2d 1527, 1532 (11th Cir.1984); United States v. Yonn, 702 F.2d 1341, 1348 (11th Cir.), cert. denied, — U.S.-, 104 S.Ct. 283, 78 L.Ed.2d 261 (1983); James, 590 F.2d at 581. A trial court’s determination that the James standard has been satisfied is a finding of fact, subject to the “clearly erroneous” standard of review on appeal. Yonn, 702 F.2d at 1348; United States v. Bulman, 667 F.2d 1374, 1379 (11th Cir.), cert. denied, 456 U.S. 1010, 102 S.Ct. 2305, 73 L.Ed.2d 1307 (1982).
Hernandez argues that the second prong of the admissibility test was not satisfied because there was insufficient independent evidence to demonstrate that he knowingly participated in the conspiracy. We conclude, howevei, that the district court’s resolution of the admissibility issue was not “clearly erroneous.” In fact, we completely agree with the district court’s determination that Hernandez’ knowing participation in the conspiracy was demonstrated by substantial, independent evidence. In our previous discussion of the sufficiency of the evidence, we recited the independent evidence that, in our opinion, amply demonstrated Hernandez’ knowing participation.29 On the basis of that previous dis*856cussion, we hold that the district court did not err by admitting the coconspirator hearsay statements against Hernandez, and we decline to reverse his convictions.
G. Did the District Court Err By Refusing to Grant Appellant Portal's Motion for a Judgment of Acquittal Based on Entrapment?
Portal contends that the weight of the evidence at trial supported his defense theory of entrapment, and that the government presented insufficient evidence to establish his predisposition to commit the crime of conspiracy to possess with intent to distribute cocaine. Portal therefore contends that the district court should have granted his motion for a judgment of acquittal based on entrapment. We disagree. Our review of the record satisfies us that the government presented sufficient evidence of Portal’s predisposition, and we conclude that the district court did not err by submitting the issue of Portal’s entrapment to the jury.
The rule in this circuit is that, “when entrapment is at issue, the focal point of the inquiry is on the predisposition of the defendant.” United States v. Dean, 666 F.2d 174, 180 (5th Cir. Unit B 1982) (quoting United States v. Webster, 649 F.2d 346, 348 (5th Cir.1981) (en banc)), cert. denied, 456 U.S. 1008, 102 S.Ct. 2300, 73 L.Ed.2d 1303, 457 U.S. 1135, 102 S.Ct. 2963, 73 L.Ed.2d 1353 (1983). To establish entrapment, the defendant must first present evidence of a prima facie ease by showing that the government conduct created “a substantial risk that the offense would be committed by a person other than one ready to commit it.” Dean, 666 F.2d at 180 (quoting United States v. Tobias, 662 F.2d 381, 384 (5th Cir.1981) (quoting United States v. Mosley, 496 F.2d 1012, 1014 (5th Cir.1974)), cert. denied, 457 U.S. 1108, 102 S.Ct. 2908, 73 L.Ed.2d 1317 (1982)). If the defendant carries that burden, then the government must prove beyond a reasonable doubt that the defendant was predisposed to commit the crime charged. Dean, 666 F.2d at 180; Tobias, 662 F.2d at 384; United States v. Dickens, 524 F.2d 441, 444 (5th Cir.1975), cert. denied, 425 U.S. 994, 96 S.Ct. 2208, 48 L.Ed.2d 819 (1976). The government may prove the defendant’s predisposition by evidence of the defendant’s conduct at or preceding the commission of the crime. See Dickens, 524 F.2d at 445.
In the instant case, Special Agent Joseph Benitez, who participated in the meeting at the convenience store parking lot on December 1,1982, testified about Portal’s conduct at that meeting. Benitez stated that he was introduced to Portal by Agent Rios. Portal assured Benitez that he could make an immediate delivery of two kilograms of cocaine. Portal then made a phone call to Concepcion, and told Concepcion that he had somebody who would buy the “powder.” Finally, after completing the phone call, Portal told Benitez that his “connection” could deliver the cocaine, and that the cocaine would be available by the next morning.
The testimony of Agent Benitez was sufficient to satisfy the government’s burden of persuasion on the issue of Portal’s predisposition to commit the crime of conspiracy to possess with intent to distribute cocaine. Although Portal later testified to a different version of the events that occurred at the parking lot that night, the jury was free to choose between the testimony of Agent Benitez and that of Portal. See United States v. Goodwin, 625 F.2d 693, 698 (5th Cir.1980) (“Once the government comes forward with sufficient evidence that the defendant was predisposed to commit the crime rather than entrapped, the case may go to the jury.”). Our role is simply to determine whether the evidence was sufficient for the district court to submit the issue of Portal’s entrapment to the jury.30 conclude that the evidence of Portal’s predisposition was sufficient, and *857we hold that the district court did not err by refusing to grant Portal’s motion for a judgment of acquittal based on entrapment.
H. Did the District Court Err By Refusing to Grant a Severance So That Appellants Rios and Raymond Could Be Tried Separately?
Appellants Rios and Raymond contend that the district court erred by refusing to grant a severance so that they could be tried separately from their codefendants. The two appellants claim that the evidence concerning the murder of Agent Rios, a crime with which they were not charged, was so highly prejudicial that it necessarily “spilled over” and prevented them from receiving a fair trial. The two appellants urge, therefore, that their convictions be reversed. Although the possible effects of “spillover” prejudice in the instant case are somewhat troubling, we cannot say that the district court abused its discretion by refusing to grant a severance. We therefore decline to reverse the two appellants’ convictions.
Joinder under Rule 8(b) of the Federal Rules of Criminal Procedure is proper where, as here, an indictment charges multiple defendants with participation in a single conspiracy and also charges some but not all of the defendants with substantive counts arising out of the conspiracy. United States v. Zielie, 734 F.2d 1447, 1463 (11th Cir.1984), petition for cert. filed, 53 U.S.L.W. 3530 (U.S. Oct. 26, 1984) (No. 84-1049), cert. denied, — U.S. -, 105 S.Ct. 957, 83 L.Ed.2d 964 (1985); United States v. Weinrich, 586 F.2d 481, 495 (5th Cir.1978), cert. denied, 441 U.S. 927, 99 S.Ct. 2041, 60 L.Ed.2d 402 (1979). Furthermore, the general rule is that defendants who are jointly indicted should be tried together, and this rule applies with particular force to conspiracy cases. United States v. Walker, 720 F.2d 1527, 1533 (11th Cir.1983), cert. denied, — U.S.-, 104 S.Ct. 1614, 80 L.Ed.2d 143 (1984); United States v. Howell, 664 F.2d 101, 106 (5th Cir. Unit B 1981), cert. denied, 455 U.S. 1005, 102 S.Ct. 1641, 71 L.Ed.2d 873 (1982). Nevertheless, severance may be granted in the discretion of the district court under Rule 14 of the Federal Rules of Criminal Procedure if the court determines that prejudice will result from the joinder. Zielie, 734 F.2d at 1464; Walker, 720 F.2d at 1533. Denial of a motion for severance is reversible only for an abuse of discretion. Zielie, 734 F.2d at 1464; United States v. Phillips, 664 F.2d 971, 1016 (5th Cir. Unit B 1981), cert. denied, 457 U.S. 1136, 102 S.Ct. 2965, 73 L.Ed.2d 1354 (1982). Appellate courts are reluctant to second guess a district court’s denial of a motion for severance. Zielie, 734 F.2d at 1464; Phillips, 664 F.2d at 1017.
In deciding a Rule 14 motion for severance, a district court must balance the right of the defendant to a fair trial against the public’s interest in efficient and economic administration of justice. Zielie, 734 F.2d at 1464; Walker, 720 F.2d at 1533. Severance will be granted only when the defendant can demonstrate that a joint trial will result in “specific and compelling prejudice” to the conduct of his defense. Zielie, 734 F.2d at 1464; United States v. Marszalkowski, 669 F.2d 655, 660 (11th Cir.), cert. denied, 459 U.S. 906, 103 S.Ct. 208, 74 L.Ed.2d 167 (1982). It is not enough for the defendant to show that acquittal would have been more likely had the defendant been tried separately, since some degree of bias is inherent in a joint trial. Walker, 720 F.2d at 1533; Marszalkowski, 669 F.2d at 660. Furthermore, a defendant does not suffer “compelling prejudice” simply because much of the evidence at trial is applicable only to his codefendants. Zielie, 734 F.2d at 1464; United States v. Berkowitz, 662 F.2d 1127, 1135 n. 8 (5th Cir. Unit B 1981). Rather, “[t]he remedy of severance is justified only if the prejudice flowing from a joint trial is clearly beyond the curative powers of a cautionary instruction.” Phillips, 664 F.2d at 1017 (quoting United States v. Morrow, 537 F.2d 120, 136 (5th Cir.1976), cert. denied, 430 U.S. 956, 97 S.Ct. 1602, 51 L.Ed.2d 806 (1977)).
*858In the instant case, we must decide whether the jury could follow the district court’s cautionary and admonitory instructions and determine the guilt or innocence of each defendant solely on the basis of that defendant’s conduct. See Phillips, 664 F.2d at 1017. When the government sought to introduce tangible evidence relating to the murder of Agent Rios and the assault on Agent D’Atri, the court cautioned the jury not- to consider that evidence in deciding the guilt or innocence of appellants Rios and Raymond:
I will be instructing you, ladies and gentlemen, that you may, in consideration of the case and the issues before you, consider this evidence as it relates to the issues of Counts III and IV in which counts ... Mr. Rios [and] Mr. Ramon Raymond are not charged.
In other words, this evidence will be considered by you when you decide and determine the issues involved in Counts III and IV but not in Counts I and II.
[T]hese two defendants are not charged in Counts III and IV.
So, in other words, this evidence is only being admitted for the purpose of being considered in the allegations of murder and assault with a deadly weapon.
You may not consider it when you are considering the cocaine conspiracy allegations and the cocaine distribution allegations of Count I and II____
Shortly thereafter, the court issued another cautionary instruction:
Ladies and gentlemen, you will recall that ... Rios and Ramon Raymond are not charged in the complaint with anything to do with weapons; that is, the murder or the allegations concerning use of a deadly weapon in the commission of a felony or the allegations of an assault, so any items, that is, guns, ammunition or these other exhibits you have been looking at that pertain only to those counts, should not be considered in any way against [Raymond] or [Rios].
That is to say, should not be considered with respect to Ramon Raymond or Rolando Rios.
The court also refused to allow the government to introduce particularly inflammatory or prejudicial evidence, such as artist’s sketches of the shoot-out and several photographs of Agent Rios’ body. At the end of the trial, the court instructed the jury that the guilt or innocence of each defendant should be determined separately and individually, and that the verdict as to any one defendant should not have any bearing on the verdict as to the other defendants.
In our opinion, these cautionary instructions and rulings minimized the risk that appellants Rios and Raymond would be harmed by the possible effects of “spillover” prejudice. Although we cannot say with certainty that the two appellants suffered no prejudice from the district court’s refusal to grant a severance, we conclude that they did not suffer “compelling prejudice” and that their rights to a fair trial were not infringed.31 Accordingly, we hold *859that the district court did not abuse its discretion by refusing to grant a severance, and we decline to reverse the two appellants’ convictions.
I. The Remaining Claims of Error.
Finally, all of the appellants raise several additional claims of error, none of which merit extended discussion. The appellants contend that the district court should have granted a change of venue because of pre-trial publicity concerning the murder and funeral of Agent Rios. This contention must be assessed in accordance with due process standards established in Irvin v. Dowd, 366 U.S. 717, 81 S.Ct. 1639, 6 L.Ed.2d 751 (1961). See United States v. Gorel, 622 F.2d 100, 103 (5th Cir.1979); United States v. Capo, 595 F.2d 1086, 1090 (5th Cir.1979), cert. denied, 444 U.S. 1012, 100 S.Ct. 660, 62 L.Ed.2d 641 (1980). Mere juror exposure to news accounts concerning the crimes with which the appellants were charged does not create an automatic presumption of a denial of due process. Gorel, 622 F.2d at 103. Rather, the appellants must demonstrate either that community prejudice “actually invaded the jury box,” Capo, 595 F.2d at 1090, or that “highly inflammatory publicity” or “intensive media coverage” created “pervasive community prejudice” such that prejudice in the jury box should be presumed. Id. The appellants have completely failed to demonstrate either of these prerequisites. In addition, the fact that the appellants failed to use all of their allotted peremptory challenges indicates the absence of juror prejudice. See Gorel, 622 F.2d at 103-04. We therefore reject the appellants’ change of venue claim.
The appellants next contend that prosecutorial misconduct tainted their trial. The appellants concede that none of the alleged instances of misconduct, standing alone, would warrant the reversal of their convictions. Nevertheless, the appellants contend that the cumulative effect of the incidents rendered their trial unfair. See United States v. Blasco, 702 F.2d 1315, 1329 (11th Cir.), cert. denied, — U.S.---, 104 S.Ct. 275, 276, 78 L.Ed.2d 256 (1983). We find this contention meritless. “While due process of law mandates that a fair trial be provided to the appellants, there is no constitutional right to a perfect trial.” Id. (quoting United States v. Ragsdale, 438 F.2d 21 (5th Cir.), cert. denied, 403 U.S. 919, 91 S.Ct. 2231, 29 L.Ed.2d 696 (1971)). A review of the record in the instant case reveals that the appellants’ trial comported with the highest standards of fairness and professionalism. Most of the alleged instances of misconduct were so minor that they could not possibly have affected the outcome of the trial. In addition, the trial judge admirably discharged his responsibility to cure any prejudicial effect that might have resulted from the incidents. We hold that the appellants are not entitled to a reversal on the grounds of prosecutorial misconduct.
The appellants also contend that the district court erred by admitting into evidence the statements translated by Agent Rios for the benefit of Agent D’Atri. According to the appellants, the translations constituted hearsay inadmissible under Rule 802 of the Federal Rules of Evidence. We disagree. In United States v. Da Silva, 725 F.2d 828 (2d Cir.1983), the Second Circuit rejected a nearly identical *860argument, reasoning that the translator was acting as an “agent” of the defendant and the translation was therefore admissible under Rule 801(d)(2)(C) or (D).32 The Da Silva court explained:
[Provided the interpreter has a sufficient capacity, and there is no motive to misrepresent, the interpreter is treated as the agent of the party and the statement is admitted as an admission unless circumstances are present which would negate the presumption of agency.
Id. at 831-32 (quoting 4 J. Weinstein & M. Berger, Evidence It 801(d)(2)(C)[01], at 801-158 n. 34 (1981)). The court also stated:
Where, however, there is no motive to mislead and no reason to believe the translation is inaccurate, the agency relationship may properly be found to exist. In those circumstances the translator is no more than a “language conduit,” United States v. Ushakow, 474 F.2d 1244, 1245 (9th Cir.1973), and a testimonial identity between declarant and translator brings the declarant’s admissions within Rule 801(d)(2)(C) or (D)____ The fact that [the translator] was an employee of the government did not prevent him from acting as [the declarant’s] agent for the purpose of translating and communicating [the declarant’s] statements to [the witness]. See Restatement (Second) of Agency § 392 (1958) (dual agency permitted).
Da Silva, 725 F.2d at 832. We find the reasoning of the Da Silva court persuasive, and we cannot accept the appellants’ claim that the translations constituted inadmissible hearsay.
The appellants finally contend that the district court should not have allowed the BATF agents who testified at trial to remain in the courtroom during the closing arguments. The appellants claim that the presence of the agents either may have reinforced the impact of the agents’ testimony or may have influenced the jury by creating an atmosphere of retribution. We reject this argument for several reasons. First, it is wholly speculative; the appellants have presented no evidence tending to show that the presence of the agents actually had an effect on the jury.
Second, the appellants have cited no authority for the view that spectators with a more than casual interest in the outcome of a trial cannot attend all phases of the trial.33 The Supreme Court has held that, “[ajbsent an overriding interest articulated in findings, the trial of a criminal case must be open to the public.” Richmond Newspapers, Inc. v. Virginia, 448 U.S. 555, 581, 100 S.Ct. 2814, 2829-30, 65 L.Ed.2d 973 (1980). Here, the agents were members of the public, and the appellants have raised no “overriding interest” justifying the agents’ exclusion from the courtroom. Moreover, it is irrelevant that the agents may have been motivated by a desire for retribution. The Supreme Court has acknowledged that people may choose to attend criminal trials for exactly such reasons:
When a shocking crime occurs, a community reaction.of outrage and public protest often follows____ Thereafter the open processes of justice serve an important prophylactic purpose, providing an *861outlet for community concern, hostility, and emotion____
Civilized societies withdraw both from the victim and the vigilante the enforcement of criminal laws, but they cannot erase from people’s consciousness the fundamental, natural yearning to see justice done — or even the urge for retribution. The crucial prophylactic aspects of the administration of justice cannot function in the dark; no community catharsis can occur if justice is “done in a corner [or] in any covert manner.”
Id. at 571, 100 S.Ct. at 2824 (citations omitted).
Finally, the fact that the agents had been witnesses earlier in the trial is of no consequence here. The Federal Rules of Evidence provide that “[a]t the request of a party the court shall order witnesses excluded so that they cannot hear the testimony of other witnesses____” Fed.R. Evid. 615 (emphasis added); cf. Geders v. United States, 425 U.S. 80, 87, 96 S.Ct. 1330, 1335, 47 L.Ed.2d 592 (1976) (purpose of Sequestration Rule, which preceded Rule 615, was to prevent witnesses from “tailoring” their testimony to that of earlier witnesses and to detect testimony that was “less than candid.”). By its own terms, Rule 615 is inapplicable after all witness testimony has been concluded. Cf. United States v. Brown, 547 F.2d 36, 37 (3d Cir. 1976) (“Rule 615 relates exclusively to the time testimony is being given by other witnesses,” hence inapplicable during opening arguments), cert. denied, 431 U.S. 905, 97 S.Ct. 1698, 52 L.Ed.2d 389 (1977). As Professor Wigmore has succinctly stated, “the time for sequestration begins with the delivery of testimony upon the stand and ends with the close of testimony.’’ 6 J. Wigmore, Evidence § 1840 (1976) (emphasis added). We hold, therefore, that the court did not err by allowing the agents to remain in the courtroom during the closing arguments.
III. CONCLUSION
On the basis of the foregoing discussion, we hereby AFFIRM all of the appellants’ convictions.
9.3.2.3. Model Penal Code sec. 5.03
9.3.3 Conspiracy Scope, RICO 9.3.3 Conspiracy Scope, RICO
9.3.3.1 Kotteakos v. United States 9.3.3.1 Kotteakos v. United States
KOTTEAKOS et al. v. UNITED STATES.
NO. 457.
Argued February 28, 1946.
Decided June 10, 1946.
*751Henry G. Singer argued the cause for petitioners. With him on the brief was James I. Cuff.
W. Marvin Smith argued the cause for the United States. With him on the brief was Solicitor General McGrath, Robert S. Erdahl and Beatrice Rosenberg.
delivered the opinion of the Court.
The only question is whether petitioners have suffered substantial prejudice from being convicted of a single general conspiracy by evidence which the Government admits proved not one conspiracy but some eight or more different ones of the same sort executed through a common key figure, Simon Brown. Petitioners were convicted under the general conspiracy section of the Criminal Code, 18 U. S. C. § 88, of conspiring to violate the provisions of the National Housing Act, 12 U. S. C. §§ 1702,1703,1715, 1731. The judgments were affirmed by the Circuit Court of Appeals. 151 F. 2d 170. We granted certiorari because of the importance of the question for the administration of criminal justice in the federal courts. 326 U. S. 711.
The indictment named thirty-two defendants, including the petitioners.1 The gist of the conspiracy, as alleged, was that the defendants had sought to induce various financial institutions to grant credit, with the intent that the loans or advances would then be offered to the Federal Housing Administration for insurance upon applications containing false and fraudulent information.2
*753Of the thirty-two persons named in the indictment nineteen were brought to trial3 and the names of thirteen were submitted to the jury.4 Two were acquitted; the jury disagreed as to four; and the remaining seven, including petitioners, were found guilty.
The Government’s evidence may be summarized briefly, for the petitioners have not contended that it was insufficient, if considered apart from the alleged errors relating to the proof and the instructions at the trial.
Simon Brown, who pleaded guilty, was the common and key figure in all of the transactions proven. He was president of the Brownie Lumber Company. Having had experience in obtaining loans under the National Housing Act, he undertook to act as broker in placing for others loans for modernization and renovation, charging a five per cent commission for his services. Brown knew, when he obtained the loans, that the proceeds were not to be used for the purposes stated in the applications.
In May, 1939, petitioner Lekacos told Brown that he wished to secure a loan in order to finance opening a law office, to say the least a hardly auspicious professional launching. Brown made out the application, as directed by Lekacos, to state that the purpose of the loan was to modernize a house belonging to the estate of Lekacos’ father. Lekacos obtained the money. Later in the same year Lekacos secured another loan through Brown, the application being in the names of his brother and sister-*754in-law. Lekacos also received part of the proceeds of a loan for which one Gerakeris, a defendant who pleaded guilty, had applied.
In June, 1939, Lekacos sent Brown an application for a loan signed by petitioner Kotteakos. It contained false statements.5 Brown placed the loan, and Kotteakos thereafter sent Brown applications on behalf of other persons. Two were made out in the names of fictitious persons. The proceeds were received by Kotteakos and petitioner Regenbogen, his partner in the cigarette and pinball machine business. Regenbogen, together with Kotteakos, had indorsed one of the applications. Kotteakos also sent to Brown an application for a loan in Regenbogen’s name. This was for modernization of property not owned by Regenbogen. The latter, however, repaid the money in about three months after he received it.
The evidence against the other defendants whose cases were submitted to the jury was similar in character. They too had transacted business with Brown relating to National Housing Act loans. But no connection was shown between them, and petitioners, other than that Brown had been the instrument in each instance for obtaining the loans. In many cases the other defendants did not have any relationship with one another, other than Brown’s connection with each transaction. As the Circuit Court of Appeals said, there were “at least eight, and perhaps more, separate and independent groups, none of which had any connection with any other, though all *755dealt independently with Brown as their agent.” 151 F. 2d at 172. As the Government puts it, the pattern was “that of separate spokes meeting in a common center,” though, we may add, without the rim of the wheel to enclose the spokes.
The proof therefore admittedly made out a case, not of a single conspiracy, but of Several, notwithstanding only one was charged in the indictment. Cf. United States v. Falcone, 311 U. S. 205; United States v. Peoni, 100 F. 2d 401; Tinsley v. United States, 43 F. 2d 890, 892-893. The Court of Appeals aptly drew analogy in the comment, “Thieves who dispose of their loot to a single receiver — a single ‘fence’ — do not by that fact alone become confederates: they may, but it takes more than knowledge that he is a ‘fence’ to make them such.” 151 F. 2d at 173. It stated that the trial judge “was plainly wrong in supposing that upon the evidence there could be a single conspiracy; and in the view which he took of the law, he should have dismissed the indictment.” 151 F. 2d at 172. Nevertheless the appellate court held the error not prejudicial, saying among other things that “especially since guilt was so manifest, it was ‘proper’ to join the conspiracies,” and “to reverse the conviction would be a miscarriage of justice.” 6 This is indeed the *756Government’s entire position. It does not now contend that there was no variance in proof from the single conspiracy charged in the indictment. Admitting that separate and distinct conspiracies were shown, it urges that the variance was not prejudicial to the petitioners.
In Berger v. United States, 295 U. S. 78, this Court held that in the circumstances presented the variance was not fatal where one conspiracy was charged and two were proved, relating to contemporaneous transactions involving counterfeit money. One of the conspiracies had two participants; the other had three; and one defendant, Katz, was common to each.7 “The true inquiry,” said *757the Court, “is not whether there has been a variance in proof, but whether there has been such a variance as to ‘affect the substantial rights’ of the accused.” 295 U. S. at 82.
The Court held the variance not fatal,8 resting its ruling on what has become known as “the harmless error statute,” § 269 of the Judicial Code, as amended (28 U. S. C. § 391), which is controlling in this case and provides:
“On the hearing of any appeal, certiorari, writ of error, or motion for a new trial, in any case, civil or criminal, the court shall give judgment after an examination of the entire record before the court, without regard to technical errors, defects, or exceptions which do not affect the substantial rights of the parties.” 9
Applying that section, the Court likened the situation to one where the four persons implicated in the two conspiracies had been charged as conspirators in separate *758counts, but with a failure in the proof to connect one of them (Berger) with one of the conspiracies, and a resulting conviction under one count and acquittal under the other. In that event, the Court said, “Plainly enough, his substantial rights would not have been affected.” The situation supposed and the one actually presented, the opinion stated, though differing greatly in form, were not different in substance. The proof relating to the conspiracy with which Berger had not been connected could be regarded as incompetent as to him. But nothing in the facts, it was concluded, could reasonably be said to show that prejudice or surprise resulted; and the Court went on to say, “Certainly the fact that the proof disclosed two conspiracies instead of one, each within the words of the indictment, cannot prejudice his defense of former acquittal of the one. or former conviction of the other, if he should again be prosecuted.” 295 U. S. at 83.
The question we have to determine is whether the same ruling may be extended to a situation in which one conspiracy only is charged and at least eight having separate, though similar objects, are made out by the evidence, if believed; and in which the more numerous participants in the different schemes were, on the whole, except for one, different persons who did not know or have anything to do with one another.
The salutary policy embodied in § 269 was adopted by the Congress in 1919 (Act of February 26, 1919, c. 48, 40 Stat. 1181) after long agitation under distinguished professional sponsorship,10 and after thorough consideration of various proposals designed to enact the policy in *759successive Congresses from the Sixtieth to the Sixty-fifth.11 It is not necessary to review in detail the history of the abuses which led to the agitation or of the progress of the legislation through the various sessions to final enactment without debate. 56 Cong. Rec. 11586; 57 Cong. Rec. 3605. But anyone familiar with it knows that § 269 and similar state legislation12 grew out of widespread and deep conviction over the general course of appellate review in American criminal causes. This was shortly, as one trial judge put it after § 269 had become law, that courts of review “tower above the trials of criminal cases as impregnable citadels of technicality.”13 So great was the threat of reversal, in many jurisdictions, that criminal trial became a game for sowing reversible error in the record, only to have repeated the same matching of wits when a new trial had been thus obtained.
In the broad attack on this system great legal names were mobilized, among them Taft, Wigmore, Pound and Hadley, to mention only four.14 The general object was *760simple: To substitute judgment for automatic application of rules; to preserve review as a check upon arbitrary action and essential unfairness in trials, but at the same time to make the process perform that function without giving men fairly convicted the multiplicity of loopholes which any highly rigid and minutely detailed scheme of errors, especially in relation to procedure, will engender and reflect in a printed record.
The task was too big, too various in detail, for particularized treatment. Cf. Bruno v. United States, 308 U. S. 287, 293. The effort at revision therefore took the form of the essentially simple command of § 269. It comes down on its face to a very plain admonition: “Do not be technical, where technicality does not really hurt the party whose rights in the trial and in its outcome the technicality affects.” It is also important to note that the purpose of the bill in its final form was stated authoritatively to be “to cast upon the party seeking a new trial the burden of showing that any technical errors that he may complain of have affected his substantial rights, otherwise they are to be disregarded.” H. R. Rep. No. 913, 65th Cong., 3d Sess., 1. But that this burden does not extend to all errors appears from the statement which follows immediately. “The proposed legislation affects only technical errors. If the error is of such a character that its natural effect is to prejudice a litigant’s substantial rights, the burden of sustaining a verdict will, notwithstanding this legislation rest upon the one who claims under it.” *761Ibid.; Bruno v. United States, supra, at 294; Weiler v. United States, 323 U. S. 606, 611.
Easier was the command to make than it has been always to observe. This, in part because it is general; but in part also because the discrimination it requires is one of judgment transcending confinement by formula or precise rule. United States v. Socony-Vacuum Oil Co., 310 U. S. 150, 240. That faculty cannot ever be wholly imprisoned in words, much less upon such a criterion as what are only technical, what substantial rights; and what really affects the latter hurtfully. Judgment, the play of impression and conviction along with intelligence, varies with judges and also with circumstance. What may be technical for one is substantial for another; what minor and unimportant in one setting crucial in another.
Moreover, lawyers know, if others do not, that what may seem technical may embody a great tradition of justice, Weiler v. United States, supra, or a necessity for drawing lines somewhere between great areas of law; that, in other words, one cannot always segregate the technique from the substance or the form from the reality. It is of course highly technical to confer full legal status upon one who has just attained his majority, but deny it to another a day, a week or a month younger. Yet that narrow line, and many others like it, must be drawn. The “hearsay” rule is often grossly artificial. Again in a different context it may be the very essence of justice, keeping out gossip, rumor, unfounded report, second, third, or further hand stories.
All this hardly needs to be said again. But it must be comprehended and administered every day. The task is not simple, although the admonition is. Neither is it impossible. By its very nature no standard of perfection can be attained. But one of fair approximation can be achieved. Essentially the matter is one for experience to work out. For, as with all lines which must be drawn *762between positive and negative fields of law, the precise border may be indistinct, but case by case determination of particular points adds up in time to discernible direction.
In the final analysis judgment in each case must be influenced by conviction resulting from examination of the proceedings in their entirety, tempered but not governed in any rigid sense of stare decisis by what has been done in similar situations. Cf. United States v. Socony-Vacuum Oil Co., supra, at 240-242. Necessarily the character of the proceeding, what is at stake upon its outcome, and the relation of the error asserted to casting the balance for decision on the case as a whole, are material factors in judgment.
The statute in terms makes no distinction between civil and criminal causes. But this does not mean that the same criteria shall always be applied regardless of this difference. Indeed the legislative history shows that the proposed legislation went through many revisions, largely at the instance of the Senate,15 because there was fear of too easy relaxation of historic securities thrown around the citizen charged with crime. Although the final form of the legislation was designed, and frequently has been effective,16 to avoid some of the absurdities by which skilful *763manipulation of procedural rules had enabled the guilty to escape just punishment, § 269 did not make irrelevant the fact that a person is on trial for his life or his liberty. It did not require the same judgment in such a case as in one involving only some question of civil liability. There was no purpose, for instance, to abolish the historic difference between civil and criminal causes relating to the burden of proof placed in the one upon the plaintiff and in the other on the prosecution. Nor does § 269 mean that an error in receiving or excluding evidence has identical effects, for purposes of applying its policy, regardless of whether the evidence in other respects is evenly balanced or one-sided. Errors of this sort in criminal causes conceivably may be altogether harmless in the face of other clear evidence, although the same error might turn scales otherwise level, as constantly appears in the application of the policy of § 269 to questions of the admission of cumulative evidence.17 So it is with errors in instructions to the jury. Cf. United States v. Socony-Vacuum Oil Co., supra, at 239, 241.
Some aids to right judgment may be stated more safely in negative than in affirmative form. Thus, it is not the appellate court’s function to determine guilt or innocence. Weiler v. United States, supra, at 611; Bollenbach v. United States, 326 U. S. 607, 613-614. Nor is it to speculate upon probable reconviction and decide according to how the speculation comes out. Appellate judges cannot escape such impressions. But they may not make them sole criteria for reversal or affirmance. Those judgments are exclusively for the jury, given always the necessary minimum evidence legally sufficient to sustain the con*764viction unaffected by the error.18 Weiler v. United States, supra; Bollenbach v. United States, supra.
But this does not mean that the appellate court can escape altogether taking account of the outcome. To weigh the error’s effect against the entire setting of the record without relation to the verdict or judgment would be almost to work in a vacuum. Cf. United States v. Socony-Vacuum Oil Co., supra, at 239, 242. In criminal causes that outcome is conviction. This is different, or may be, from guilt in fact. It is guilt in law, established by the judgment of laymen. And the question is, not were they right in their judgment, regardless of the error or its effect upon the verdict. It is rather what effect the error had or reasonably may be taken to have had upon the jury’s decision. The crucial thing is the impact of the thing done wrong on the minds of other men, not on one’s own, in the total setting. Cf. United States v. Socony-Vacuum Oil Co., supra, at 239, 242; Bollenbach v. United States, supra, 614.
This must take account of what the error meant to them, not singled out and standing alone, but in relation to all else that happened. And one must judge others’ reactions not by his own, but with allowance for how others might react and not be regarded generally as acting without reason. This is the important difference, but one easy to ignore when the sense of guilt comes strongly from the record.
If, when all is said and done, the conviction is sure that the error did not influence the jury, or had but very slight effect, the verdict and the judgment should stand, except perhaps where the departure is from a constitutional *765norm19 or a specific command of Congress. Bruno v. United States, supra, at 294. But if one cannot say, with fair assurance, after pondering all that happened without stripping the erroneous action from the whole, that the judgment was not substantially swayed by the error, it is impossible to conclude that substantial rights were not affected. The inquiry cannot be merely whether there was enough to support the result, apart from the phase affected by the error. It is rather, even so, whether the error itself had substantial influence. If so, or if one is left in grave doubt, the conviction cannot stand.
Discussion, some of it recent,20 has undertaken to formulate the problem in terms of presumptions. In view of the statement quoted above from the House Committee’s report, it would seem that any attempt to create a generalized presumption to apply in all cases would be contrary not only to the spirit of § 269 but also to the expressed intent of its legislative sponsors. Indeed, according to their explicit statement, whether the burden of establishing that the error affected substantial rights or, conversely, the burden of sustaining the verdict shall be imposed, turns on whether the error is “technical” or is such that “its natural effect is to prejudice a litigant’s substantial rights.” Indeed the statement, in entire accord with the letter and spirit of § 269, is an injunction against attempting to generalize broadly, by presumption or otherwise. The only permissible presumption would seem to be particular, arising from the nature of the error *766and “its natural effect” for or against prejudice in the particular setting.
It follows that the Berger case is not controlling of this one, notwithstanding that, abstractly considered, the errors in variance and instructions21 were identical in character. The B erger opinion in deed expressly declared: “We do not mean to say that a variance such as that here dealt with might not be material in a different case. We simply hold, following the view of the court below, that applying § 269 of the Judicial Code, as amended, to the circumstances of this case the variance was not prejudicial and hence not fatal.” 295 U. S. at 83.
On the face of things it is one thing to hold harmless the admission of evidence which took place in the Berger case, where only two conspiracies involving four persons all told were proved, and an entirely different thing to apply the same rule where, as here, only one conspiracy was charged, but eight separate ones were proved, involving at the outset thirty-two defendants. The essential difference is not overcome by the fact that the thirty-two were reduced, by severance, dismissal or pleas of guilty, to nineteen when the trial began and to thirteen by the time the cases went to the jury. The sheer difference in numbers, both of defendants and of conspiracies proven, distinguishes the situation. Obviously the burden of *767defense to a defendant, connected with one or a few of so many distinct transactions, is vastly different not only in preparation for trial, but also in looking out for and securing safeguard against evidence affecting other defendants, to prevent its transference as “harmless error” or by psychological effect, in spite of instructions for keeping separate transactions separate.
The Government’s theory seems to be, in ultimate logical reach, that the error presented by the variance is insubstantial and harmless, if the evidence offered specifically and properly to convict each defendant would be sufficient to sustain his conviction, if submitted in a separate trial. For reasons we have stated and in view of the authorities cited, this is not and cannot be the test under § 269. But in apparent support of its view the Government argues that there was no prejudice here because the results show that the jury exercised discrimination as among the defendants whose cases were submitted to it. As it points out, the jury acquitted some, disagreed as to others, and found still others guilty. From this it concludes that the jury was not confused and, apparently, reached the same result as would have been reached or would be likely, if the convicted defendants had been or now should be tried separately.
One difficulty with this is that the trial court itself was confused in the charge which it gave to guide the j ury in deliberation. The court instructed:
“The indictment charges but one conspiracy, and to convict each of the defendants of a conspiracy the Government would have to prove, and you would have to find, that each of the defendants was a member of that conspiracy. You cannot divide it up. It is one conspiracy, and the question is whether or not each of the defendants, or which of the defendants, are members of that conspiracy.”
*768On its face, as the Court of Appeals said, this portion of the charge was plainly wrong in application to the proof made; and the error pervaded the entire charge, not merely the portion quoted.22 The jury could not possibly have found, upon the evidence, that there was only one conspiracy. The trial court was of the view that one conspiracy was made out by showing that each defendant was linked to Brown in one or more transactions, and that it was possible on the evidence for the jury to conclude that all were in a common adventure because *769of this fact and the similarity of purpose presented in the various applications for loans.23
This view, specifically embodied throughout the instructions, obviously confuses the common purpose of a single enterprise with the several, though similar, purposes of numerous separate adventures of like character. It may be that, notwithstanding the misdirection, the jury actually understood correctly the purport of the evidence, as the Government now concedes it to have been; and came to the conclusion that the petitioners were guilty only of the separate conspiracies in which the proof shows they respectively participated. But, in the face of the misdirection and in the circumstances of this case, we cannot assume that the lay triers of fact were so well informed upon the law or that they disregarded the permission expressly given to ignore that vital difference. Bollenbach v. United States, supra, 613.
As we have said, the error permeated the entire charge, indeed the entire trial. Not only did it permit the jury to find each defendant guilty of conspiring with thirty-five 24 other potential co-conspirators, or any less number as the proof might turn out for acquittal of some, when none of the evidence would support such a conviction, as the proof did turn out in fact. It had other effects. One was to prevent the court from giving a precautionary instruction such as would be appropriate, perhaps required, in cases where related but separate conspiracies are tried together under § 557 of the Code,25 namely, that the jury should take care to consider the evidence relating to each conspiracy separately from that relating to each *770other conspiracy charged.26 The court here was careful to caution the jury to consider each defendant’s case separately, in determining his participation in “the scheme” charged. But this obviously does not, and could not, go to keeping distinct conspiracies distinct, in view of the court’s conception of the case.
Moreover, the effect of the court’s misconception extended also to the proof of overt acts. Carrying forward his premise that the jury could find one conspiracy on the evidence, the trial judge further charged that, if the jury found a conspiracy, “then the acts or the statements of any of those whom you so find to be conspirators between the two dates that I have mentioned, may be considered by you in evidence as against all of the defendants whom you so find to be members of the conspiracy.” (Emphasis added.) The instructions in this phase also declared:
“It is not necessary, as a matter of law, that an overt act be charged against each defendant. It is sufficient if the conspiracy be established and the defendant be found to be a member of the conspiracy— it is sufficient to allege overt acts on the part of any others who may have been members of the conspiracy, if those acts were done in furtherance of, and for the purpose of accomplishing the conspiracy.” 27
*771On those instructions it was competent not only for the jury to find that all of the defendants were parties to a single common plan, design and scheme, where none was shown by the proof, but also for them to impute to each defendant the acts and statements of the others without reference to whether they related to one of the schemes proven or another, and to find an overt act affecting all in conduct which admittedly could only have affected some. True, the Court of Appeals painstakingly examined the evidence directly relating to each petitioner and concluded he had not been prejudiced in this manner.28 That judgment was founded largely in the fact that each was clearly shown to have shared in the fraudulent phase of the conspiracy in which he participated. Even so, we do not understand how it can be concluded, in the face of the instruction, that the jury considered and was influenced by nothing else.
All this the Government seeks to justify as harmless error. Again the basis is that because the proof was sufficient to establish the participation of each petitioner in one or more of several smaller conspiracies, none of them could have been prejudiced because all were found guilty, upon such proof, of being members of a single larger conspiracy of the same general character. And the court’s charge, in all the phases of its application to the facts, is regarded as “no more than a misnomer” which “cannot in itself be considered prejudicial.” Stress is also placed upon the fact that, because the only kind of evidence to show petitioners’ “membership in a conspiracy” was evidence that they themselves “had performed acts of direct participation in a conspiracy,” in its finding that they had “joined a conspiracy, the jury at that point must have credited evidence which completely established guilt.” All this, it is said also, the Berger case sustains.
*772We do not agree. It is true, as we have said, that taken in abstraction from the particular facts the cases are alike in these respects: The indictment charged a single conspiracy only; the proof showed more than one; the instructions told the jury erroneously that on the evidence they could find the defendants guilty of a single confederation ; must find that each defendant joined it, in order to convict; must consider the evidence as to each separately on this phase; but, once satisfied concerning that, could attribute to each one found to be a member any act done by any other co-conspirator in furtherance of “the scheme” as an overt act, again in obvious error; and in neither case, of course, was there precaution to keep separate conspiracies separate. It is also true that, again abstractly taken, the indictment here might be considered, as was the one in Berger, literally to cover each of the conspiracies proved, if taken by itself. But obviously a much greater stretch of imagination is needed to regard an indictment charging thirty-six people with conspiring together as meaning that only three or four or even five did so, than was needed to say that one charging four as agreeing with each other in terms covered each of two agreements by three of the four, one conspirator being different in each proved offense. And even more would be needed to look upon the former as charging eight or more conspiracies than upon the latter as indicting for two.
These are the abstract similarities. They are only abstract. To strip them from the separate and distinct total contexts of the two cases, and disregard the vast difference in those contexts, is to violate the whole spirit, and we think the letter also, of § 269. Numbers are vitally important in trial, especially in criminal matters. Guilt with us remains individual and personal, even as respects conspiracies. It is not a matter of mass application. *773There are times when of necessity, because of the nature and scope of the particular federation, large numbers of persons taking part must be tried together or perhaps not at all, at any rate as respects some. When many conspire, they invite mass trial by their conduct. Even so, the proceedings are exceptional to our tradition and call for use of every safeguard to individualize each defendant in his relation to the mass. Wholly different is it with those who join together with only a few, though many others may be doing the same and though some of them may line up with more than one group.
Criminal they may be, but it is not the criminality of mass conspiracy. They do not invite mass trial by their conduct. Nor does our system tolerate it. That way lies the drift toward totalitarian institutions. True, this may be inconvenient for prosecution. But our Government is not one of mere convenience or efficiency. It too has a stake, with every citizen, in his being afforded our historic individual protections, including those surrounding criminal trials. About them we dare not become careless or complacent when that fashion has become rampant over the earth.
Here toleration went too far. We do not think that either Congress, when it enacted § 269, or this Court, when deciding the Berger case, intended to authorize the Government to string together, for common trial, eight or more separate and distinct crimes, conspiracies related in kind though they might be, when the only nexus among them lies in the fact that one man participated in all. Leeway there must be for such cases as the Berger situation and for others where proof may not accord with exact specifications in indictments.29 Otherwise criminal con*774spirators never could be brought to halt. But if the practice here followed were to stand, we see nothing to prevent its extension to a dozen, a score, or more conspiracies and at the same time to scores of men involved, if at all, only separately in them. The dangers of transference of guilt from one to another across the line separating conspiracies, subconsciously or otherwise, are so great that no one really can say prejudice to substantial right has not taken place. Section 269 had no purpose to go so far. The line must be drawn somewhere. Whether or not Berger marks the limit, for this sort of error and case, we are clear that it must lie somewhere between that case and this one.
In so ruling we are not unmindful, as the Court of Appeals has held more than once,30 that the problem is not merely one of variance between indictment and proof or of the right application of the policy of § 269 for freedom of judgment, but is also essentially one of proper joinder under § 557 of the Judicial Code. When we look at that section’s requirement for separate statement in different counts of related but distinct “acts or transactions of the same class of crimes or offenses, which may be properly joined, instead of having several indictments,” our conclusion is reinforced.
Section 557 too is a relaxation of rules of strict regularity. When to this is added the further relaxation of *775§ 269 for criminal causes, all technical advantage for the accused deriving not only from detailed specification of the offense in the indictment but also from separate statement of distinct offenses would seem to be lost. But this too may be carried too far. For, potentially at any rate, § 269 carries the threat of overriding the requirement of § 557 for substituting separate counts in the place of separate indictments, unless the application of § 269 is made with restraint. The two sections must be construed and applied so as to bring them into substantial harmony, not into square conflict.
We need not inquire whether the Sixth Amendment’s requirement, that “in all criminal prosecutions, the accused shall enjoy the right ... to be informed of the nature and cause of the accusation,” would be observed in a more generous application of § 269 to a situation governed also by § 557 than was made in the Berger ruling. Nor need we now express opinion whether reversal would be required in all cases where the indictment is so defective that it should be dismissed for such a fault, as the Court of Appeals said of the indictment in this case, taken in the trial court’s conception.
We have had regard also for the fact that the Court of Appeals painstakingly examined the evidence relating directly to each of the petitioners; found it convincing to the point of making guilt manifest; could not find substantial harm or unfairness in the all-pervading error or in any particular phase of the trial; and concluded that reversal would be a miscarriage of justice.
With all deference we disagree with that conclusion and with the ruling that the permeating error did not affect “the substantial rights of the parties.” That right, in each instance, was the right not to be tried en masse for the conglomeration of distinct and separate offenses committed by others as shown by this record.
*776It may be, as the Court of Appeals found, that the evidence concerning each petitioner was so clear that conviction would have been dictated and reversal forbidden, if it had been presented in separate trials for each offense or in one or more substantially similar to the Berger trial in the number of conspiracies and conspirators involved. But whether so or not is neither our problem nor that of the Court of Appeals for this case. That conviction would, or might probably, have resulted in a properly conducted trial is not the criterion of § 269. We think it highly probable that the error had substantial and injurious effect or influence in determining the jury’s verdict.
We have not rested our decision particularly on the fact that the offense charged, and those proved, were conspiracies. That offense is perhaps not greatly different from others when the scheme charged is tight and the number involved small. But as it is broadened to include more and more, in varying degrees of attachment to the confederation, the possibilities for miscarriage of justice to particular individuals become greater and greater. Cf. Gebardi v. United States, 287 U. S. 112, 122 n. 7, citing Report of the Attorney General (1925) 5-6, setting out the recommendations of the Conference of Senior Circuit Judges with respect to conspiracy prosecutions. At the outskirts they are perhaps higher than in any other form of criminal trial our system affords. The greater looseness generally allowed for specifying the offense and its details, for receiving proof, and generally in the conduct of the trial, becomes magnified as the numbers involved increase. Here, if anywhere, cf. Bollenbach v. United States, supra, extraordinary precaution is required, not only that instructions shall not mislead, but that they shall scrupulously safeguard each defendant individually, as far as possible, from loss of identity in the mass. Indeed, the instructions often become, in such *777cases, his principal protection against unwarranted imputation of guilt from others’ conduct. Here also it is of special importance that plain error be not too readily taken to be harmless.
Accordingly the judgments are reversed and the causes are remanded for further proceedings in conformity with this opinion.
Reversed.
Mr. Justice Black concurs in the result.
Mr. Justice Jackson took no part in the consideration or decision of these cases.
with whom
Mr. Justice Reed agrees, dissenting.
It is clear that there was error in the charge. An examination of the record in Berger v. United States, 295 U. S. 78, shows that the same erroneous instructions were in fact given in that case. But I do not think the error “substantially injured” (id., p. 81) the defendants in this case any more than it did in the Berger case.
Whether injury results from the joinder of several conspiracies depends on the special circumstances of each case. Situations can easily be imagined where confusion on the part of the jury is likely by reason of the sheer number of conspirators and the complexities of the facts which spell out the series of conspiracies. The evidence relating to one defendant may be used to convict another.
Those possibilities seem to be non-existent here. Nothing in the testimony of the other defendants even remotely implicated petitioners in the other frauds. Nothing in the evidence connected petitioners with the other defendants, except Brown, in the slightest way. On the record no implication of guilt by reason of a mass trial can be *778found. The dangers which petitioners conjure up are abstract ones.
Moreover, the true picture of the case is not thirty-two defendants engaging in eight or more different conspiracies which were lumped together as one. The jury convicted only four persons in addition to petitioners.1 The other defendants and the evidence concerning them were in effect eliminated from the case. We have then a case of two closely related conspiracies involving petitioners and two additional conspiracies in which petitioners played no part — -but all of the same character and revolving around the same central figure, Brown. If, then, we look at what actually transpired before the jury rather than at what the indictment charged, we have a case approaching in its simplicity the Berger case. And the strong and irresistible inference that the jury was not confused is bolstered by their failure to convict six of the thirteen defendants on trial before them.
As I have said, it is plain that there was error in the charge as to the conspiracy. But I agree with Judge Learned Hand, speaking for the court below, when he said (151F. 2d p. 174):
“There remains only the question of the court’s error in directing the jury that they must find that there was one conspiracy, or that they should acquit all. That was of course an error, as we have said, but it favored the accused. To suppose that these appellants suffered from it we should have to say *779that, if the judge had told the jury that they could convict any of the three for conspiring with Brown alone, they might have acquitted one or more of them, in spite of the fact that they convicted them all of a conspiracy with Brown and the other applicants. That is incredible; indeed, it is nonsense. Brown being the only liaison between the appellants and the other applicants, the jury could not rationally have drawn the appellants into the net with all the others, unless they had believed that the appellants and Brown had conspired together. The rest was surplusage, which may be disregarded.”
The trial judge did improperly charge the jury not only that there was one conspiracy but also that the overt acts of any one conspirator were binding on all. But only if we consider the question in the abstract would we hold that was reversible error. For the charge made clear that before the jury could impute the acts of one conspirator to another, they were required to find that the particular defendant had first joined the conspiracy. The evidence shows that each of petitioners, acting through Brown, had made a fraudulent application for a loan. When the jury found that each of the petitioners had entered into a conspiracy with Brown, it made a complete determination of guilt as to that petitioner. The error in the other parts of the charge therefore did not reach the essential factors by which guilt or innocence must be determined. The situation would be different if membership in the conspiracy were shown by slight evidence of knowledge and association and the acts of others would need be imputed to a defendant in order to establish guilt beyond a reasonable doubt. And I would agree that reversible error would be established if the record left a lingering doubt on that score. But in view of the clear proof implicating petitioners, the simplicity of the transactions, and the fact that the jury must have credited evidence which completely established guilt in order to find that petitioners *780joined the conspiracy, I cannot believe the erroneous charge was prejudicial.
There are, of course, further possibilities of prejudice. As stated in the Berger case, supra, p. 82, “The general rule that allegations and proof must correspond is based upon the obvious requirements (1) that the accused shall be definitely informed as to the charges against him, so that he may be enabled to present his defense and not be taken by surprise by the evidence offered at the trial; and (2) that he may be protected against another prosecution for the same offense.” But no surprise is shown. The overt acts charged in the indictment against petitioners were those implicating them in the conspiracy in which each participated. All of the overt acts charged were established by the evidence. And it would seem evident on the face of the indictment that petitioners would know that they must be prepared to defend against proof that they conspired with at least one of the other defendants. It is difficult to see how petitioners would be more misled here than if a single conspiracy had been charged but some of the defendants were not shown to be connected with it. And it is clear that petitioners were adequately protected against a second prosecution. The indictment and the evidence are available to disclose the proof on which the convictions rested. Parole evidence is likewise available to show the subject matter of the former conviction. Bartell v. United States, 227 U. S. 427, 433.
The several conspiracies could have been joined as separate counts in one indictment. For they were plainly “acts or transactions of the same class of crimes or offenses” within the meaning of 18 U. S. C. § 557. The objection that they were not so joined but were lumped together as one conspiracy is purely formal, as the Circuit Court of Appeals said, where, as here, it appears that there was no prejudice.
9.3.3.2 United States v. Bruno 9.3.3.2 United States v. Bruno
UNITED STATES v. BRUNO et al.
No. 339.
Oircuit Court of Appeals, Second Circuit.
July 10, 1939.
*922Herbert Zelenko, of New York City, for appellant Bruno.
Salvatore J. Iannucci, of New York City (M. Michael Edelstein, of New York City, of counsel), for appellant Iacono.
John T. Cahill, U. S. Atty., of New York City (Joseph P. Martin, Abel I. Smith, Jr., and William F. Young, Asst. U. S. Attys., all of New York City, of counsel), for the United States.
Before L.. HAND, AUGUSTUS N. HAND, and CLARK, Circuit Judges.
Bruno and Iacono were indicted along with 86 others for a conspiracy to import, sell and possess narcotics; some were acquitted; others, besides these two, were convicted, but they alone appealed. They complain, (1), that if the evidence proved anything, it proved a series of separate conspiracies, and not a single one, as alleged in the indictment; (2) that unlawful telephone “taps” were allowed in evidence against them; (3) that the judge refused to charge the jury properly as to the effect of their failure to take the stand; and (4) that there was not enough evidence to support the verdict.
The first point was made at the conclusion of the prosecution’s case: the defendants then moved to dismiss the indictment on the ground that several conspiracies had been proved, and not the one alleged. The evidence allowed the jury to find that there had existed over a substantial period of time a conspiracy embracing a great number of persons, whose object was to smuggle narcotics into the Port of New York and distribute them to addicts both in this city and in Texas and Louisiana. This required the cooperation of four groups of persons; the smugglers who imported the drugs; the middlemen who paid the smugglers and distributed to retailers; and two groups of retailers — one in New York and one in Texas and Louisiana— who supplied the addicts. The defendants assert that there were, therefore, at least three separate conspiracies; one between the smugglers and the middlemen, and one between the middlemen and each group of retailers. The evidence did not disclose any cooperation or communication between the smugglers and either group of retailers, or between the two groups of retailers themselves; however, the smugglers knew that the middlemen must sell to retailers, and the retailers knew that the middlemen must buy of importers of one sort or another. Thus the conspirators at one end of the chain knew that the unlawful business would not, and could not, stop with their buyers; and those at the other end knew that it had not begun with their sellers. That being true, a jury might have found that all the accused were embarked upon a venture, in all parts of which each was a participant, and an abettor in the sense that the success of that part with which he was immediately concerned, was dependent upon the success of the whole. That distinguishes the situation from that in United States v. Peoni, 2 Cir., 100 F.2d 401, where Peoni, the accused, did not know that Regno, his buyer, was to sell the counterfeit bills to Dorsey, and had no interest in whether he did, since Regno might equally well have passed them to innocent persons himself. Rudner v. United States, 6 Cir., 281 F. 516, 519, 520; Jezewski v. United States, 6 Cir., 13 F.2d 599, 602. It might still be argued that there were two conspiracies; one including the smugglers, the middlemen and the New York group, and the other, the smugglers, the middlemen and *923the Texas & Louisiana group, for there was apparently no privity between the two groups of retailers. That too would be fallacious. Clearly, quoad the smugglers, there was but one conspiracy, for it was of no moment to them whether the middlemen sold to one or more groups of retailers, provided they had a market somewhere. So too of any retailer; he knew that he was a necessary link in a scheme of distribution, and the others, whom he knew to be convenient to its execution, were as much parts of a single undertaking or enterprise as two salesmen in the same shop. We think therefore that there was only oije conspiracy, and it is not necessary to decide how far Berger v. United States, 295 U.S. 78, 55 S.Ct. 629, 79 L.Ed. 1314, would independently have covered the situation, had there been more than one.
The next question concerns the admission of evidence alleged to have been incompetent, because derived through the unlawful tapping of a telephone. Nardone v. United States, 302 U.S. 379, 58 S.Ct. 275, 82 L.Ed. 314. This consisted of the record of a dictagraph machine which had been interposed in a circuit leading from a telephone in a room used by a government agent who was posing as a buyer of narcotics. The agent was present when a conspirator used the telephone, and testified to what he heard; the record was used to corroborate him. His testimony was that while he was bargaining with LaRose — one of the New York distributors in New York —LaRose said that the drug — cocaine— was in Bruno’s possession. LaRose then called up Bruno, who was also in New York and talked to him in Italian which the agent could not understand. The record confirmed the fact that LaRose had called up Bruno and that they had talked in Italian, but no more. In United States v. Weiss, 2 Cir., 103 F.2d 348, we held that the statute, 47 U.S.C.A. § 605, did not extend to intrastate telephone talks, and that alone would be enough here; but against the possibility that the Supreme Court may take another view, we think that, even though the record was incompetent, its admission was not serious enough error to justify reversal. True,Jt did confirm the agent’s testimony that LaRose talked to Bruno, and that in turn corroborated what the agent said La-Rose had told him of Bruno’s part in the sale. We do not believe, however, that the result would have been different, had the agent’s testimony stood alone, for, although the only other testimony incriminating Bruno was of accomplices, there was nothing to shake the agent’s testimony, or any reason, except possible excess of zeal, to doubt the truth of what he said. The proof of guilt was too strong to upset the verdict for such an error, if it was an error at all.
Finally as to the judge’s charge. Fie was asked to tell the jury -that they should not take it against the defendants that they had not testified in their defense. This he failed to do, and told them instead that it was a defendant’s privilege to testify, but that when he did so, his credibility was “to be determined in the light of his interest which ***is***a matter which may seriously affect the credence that shall be given to his testimony.” It must be confessed that this was not the equivalent of what the defendant had requested. We have not been able to find much that is helpful by way of interpretation of the statute, § 632, Title 28, U.S.Code, 28 U.S. C.A. § 632. In Stout v. United States, 8 Cir., 227 F. 799, 803, 804, it was assumed that if such a request were made, it would be error to refuse it; and in Hersch v. United States, 9 Cir., 68 F.2d 799, 802, that was definitely held, though apparently less because the instruction was itself important, than because an earlier comment of the judge had made it so. On the other hand in Swenzel v. United States, 2 Cir., 22 F.2d 280, we held that such a refusal did not require us to reverse. The statute is primarily intended to prevent the affirmative use of the accused’s failure as an inference of guilt; and it would not be an error to refuse to charge the jury that they must not make that inference — at least it would not be except under some unusual circumstances that we cannot foresee. The important thing to bear in mind is the probable futility of the instruction. When an accused does not take the stand, everybody knows that he fears to do so, for a man will not forego anything that may exculpate him. Sometimes no doubt he may merely be Afraid that he cannot get out the truth on the stand, but that is very seldom. Ordinarily, it is because he fears the disclosure which will result. Everybody knows this, and nobody can fail to make the inference, if he thinks about it at all; the accused’s only safety is in having his failure kept as much as possible in the background. Hence the real protection, and the only practical protection, is in pre*924venting the prosecution from using it as the basis of an inference of guilt. That is indeed a very real protection, for the prosecution’s freedom would be a very deadly weapon; but the advantage derivable from an admonition by the judge that the jury shall make no such inference is wholly illusory; and only serves to put before them what will generally harm the accused, if it does anything at all.
The last point is as to the sufficiency of the evidence. There is nothing to be said about this as to Bruno, who was plainly guilty. Iacono was probably guilty also, but the evidence to establish his guilt was tenuous. All that was shown was that he had received in New York seven money orders from members of the Louisiana retailers, some of them taken out in assumed names. They were for about $6,800 in the aggregate, but it did not appear that they covered the proceeds from the sales of narcotics. Even if these documents were enough to convict Iacono of complicity in some sort of illicit enterprise — itself a somewhat gratuitous assumption — the accused were shown to have been a disreputable lot and all sorts of ventures may have been afoot among them. The remittances should have been more closely interwoven with the sale of narcotics. The case is close, but we think that not enough was shown.
Judgment reversed as to Iacono.
Judgment affirmed as to Bruno.
9.4 Guest Visit: Randall Eliasson, Former chief of Public Corruption Unit (DC) 9.4 Guest Visit: Randall Eliasson, Former chief of Public Corruption Unit (DC)
9.4.1. MPC 2.07
9.4.2 Commonwealth v. Beneficial Finance Co. 9.4.2 Commonwealth v. Beneficial Finance Co.
Commonwealth vs. Beneficial Finance Company & others.
Suffolk.
May 25, 26, 1971.
November 4, 1971.
Present: Cutter, Spiegel, Reardon, & Braucher, JJ.
*199Raymond W. Bergan, of Virginia, & Edward B. Hanify (Thomas M. Joyce & Francis X. Hanlon with them) for Household Finance Corporation; Walter J. Hurley, for Nathaniel W. Barber, was also with them and submitted a brief.
Edward O. Proctor (George J. Leary & Daniel B. Bickford with him) for Beneficial Finance Co.
Daniel F. Featherston, Jr., for Liberty Loan Corporation.
Lawrence R. Cohen (Newton H. Levee with him) for Local Finance Corporation.
James W. Kelleher (William C. Madden & Daniel H. Kelleher with him) for Francis T. Glynn & others.
Francis J. DiMento for James S. Pratt.
Robert V. Mulkern for Lyle S. Woodcock.
Robert F. Muse for Martin J. Hanley, & Martin J. Hanley, pro se.
John Curtin, Jr., William C. Young & Henry S. Healy, Special Assistant Attorneys General (Ruth I. Abrams, Assistant Attorney General, with them) for the Commonwealth.
We have before us appeals emanating from two separate series of indictments and two separate jury trials of various individual and corporate defendants..
All of these appeals were taken under G. L. c. 278, §§ 33A-33G, and are before us because of the convictions of a number of individuals and corporations. The corporations convicted in the first trial were Beneficial Finance Company (Beneficial), Household Finance Corporation (Household) and Liberty Loan Corporation (Liberty). The individuals convicted in the first trial were John M. Farrell, Francis T. Glynn, Nathaniel W. Barber, James S. Pratt, Lyle S. Woodcock, Morris Garfinkle and Martin J. Hanley. In the second trial the corporate defendants convicted were Beneficial, Household and Local Finance Corporation (Local). The individuals convicted in the second trial were Hanley, Farrell, Glynn, Barber, Pratt and Edward R. Newhall.
These cases have become generally known as the “small loans” cases. In each case the defendants were charged with various offences under numerous indictments returned in 1964 by a special grand jury. The offences charged were offering or paying, or soliciting or receiving, bribes, or conspiring to do so.1 These indictments were presented to the special grand jury as a result of an investigation developed by the Massachusetts Crime Commission (Commission). The Commission was specifically created by the Legislature “to investigate and study as a basis for legislative action the existence and extent of organized crime within the Commonwealth and corrupt practices in government at state and local levels.” Resolves of 1962, c. 146, approved July 27, 1962.
Some insight into the sheer detail involved in reviewing the proceedings may be gleaned from the fact that “[p]retrial motions on these indictments were heard for sixty-five *201court days ending May 9, 1966. The transcript of the pretrial proceedings covers 4,730 pages. The decisions disposing of the various motions cover almost 700 pages. . . . [After hearing the judge made extensive findings and rulings on the pre-trial motions.] Forty-nine of the indictments were grouped for [the first] trial which began on July 18, 1966. The trial lasted about five months and generated a voluminous record.” See Barber v. Commonwealth, 353 Mass. 236, 237-238. The transcript of evidence consists of 103 volumes containing more than 7,500 pages.
The evidence in the first trial, pertinent portions of which we summarize in detail later in this opinion, is here synopsized. This evidence tends to show that during the year 1962, several licensed small loans companies (corporate defendants), together with certain of their officers and employees (some of whom are defendants), conspired to bribe Hanley and Garfinkle in their capacities as public officials. The purpose of the alleged conspiracy and the payment of the bribe money was to insure the maintenance of a maximum interest rate which companies licensed to do business in the Commonwealth were permitted to charge. Hearings on this matter were conducted by the Small Loans Regulatory Board (Rate Board) in 1962 and the bribe money allegedly paid to Hanley was intended to “fix” the results of these hearings.
The second trial began on July 17, 1967, and required 222 trial days (over a period of about twelve months). Twenty-one of the indictments were grouped for the trial. The transcript of this trial consists of 223 volumes containing more than 11,800 pages. Collectively (pre-trial and both cases), the defendants took more than 5,400 exceptions and assign about 700 numbered multiple assignments of error. The findings, rulings and decisions of the judge (covering all proceedings) contain more than 1,400 printed pages.
The evidence in the second trial, set out in detail in the subsequent portion of this opinion, tends to show that *202over a period of some seven years (1957-1963) a number of small loans companies (including the corporate defendants), together with a number of their officers and employees (including the individual defendants named in the conspiracy indictment), allegedly conspired to bribe Hanley. His office as a public official clothed him with extensive powers to approve or disapprove the activities of small loans companies doing business in the Commonwealth. The bribes were alleged to have been paid to Hanley over this period to induce Hanley (1) to approve various requests pertaining to routine matters; (2) to refrain from taking action adverse to certain of the defendants and co-conspirators at rate hearings held during 1957; and (3) to obtain approval of various changes in small loans regulations.
Although these cases were argued consecutively, some of the issues involved necessarily overlapped. The pre-trial issues in both cases were argued jointly. In the interest of lucidity and conciseness this opinion consists of three parts.
First, we treat with the pre-trial issues raised by all or some of the defendants whether in the first or second trials. Subsequently we deal with specific issues raised in the first trial and finally with issues raised during the second trial.2
Prior to dealing with the issues involved in these appeals, we believe it to be opportune and fitting to make some general observations.
Many of the exceptions are but conglomerate fragments which are obviously of little, if any, merit but in any event are not worthy of discussion and would merely serve to needlessly clutter this opinion. Others present a facade of substantial issues, but when considered in depth, present no problem requiring our comment. Others may show some technical error but are, at best, harmless. We have endeavored to consider and to give scrupulous attention to *203every assignment of error argued by the defendants. If some assignment of error is not specifically referred to in this opinion, a conclusion that we did not reflect on it would be far from accurate. We recognize the formidable task facing defendants’ counsel, as well as the prosecution, in arguing these appeals. We commend counsel for the defendants, as well as counsel for the Commonwealth, for the excellence of their briefs and their obvious devotion to the task confronting them. The briefs filed and the oral arguments of counsel were noteworthy and of valuable assistance to us in the writing of this opinion.
In the case of Barber v. Commonwealth, 353 Mass. 236, 239, we indicated that defendants’ counsel were vigilant throughout a lengthy first trial in their efforts to protect the rights of the defendants. This has been equally true throughout the second trial. However, it should be borne in mind that although “a defendant is entitled to a fair trial, he is not guaranteed a perfect one. Root v. Cunningham, 344 F. 2d 1, 3 (4th Cir.). Johns v. Smyth, 176 F. Supp. 949, 952 (E. D. Va.).” Barber v. Commonwealth, supra, at 240.
PART I.
Pre-trial Issues.
All but two of the pre-trial issues raised have been argued extensively by Household. The other defendants in many instances confined their arguments to an adoption of Household’s. For this reason, these issues may be most efficiently dealt with by treating with them as argued by Household, listing for each issue the other defendants who have adopted Household’s argument on the specific issue. We deal finally with the pre-trial issues which have been raised separately by other defendants and which are not covered in the Household brief.
Household raises three issues attacking the validity of the indictments because of the various aspects of the method by which evidence was presented to the special grand jury.
1. The first of these is the allegation that “[Fjhe indict-*204meats were invalid because legislative agents, paid by legislative funds, utilized a legislative investigation to prepare and develop a case for presentation to the special grand jury and then presented that case in violation of [¡art. 30 of] the Declaration of Rights.” Beneficial, Liberty, Local, Barber, Pratt, Glynn, Farrell, Woodcock and Newhall have all adopted Household’s argument on this point. It was raised in the pre-trial proceedings by motions to dismiss filed by six corporate defendants. The judge heard seventeen witnesses and admitted in evidence twenty-six exhibits relative thereto. He made extensive findings of fact and rulings of law and denied the various motions.
First, Household argues that at the time of its investigation into the small loans companies the Commission was preoccupied with law enforcement rather than remedial legislation to an extent that was in derogation of art. 30 and its mandate “to investigate and study as a basis for legislative action” (emphasis supplied). This objection was raised in the case of Gardner v. Massachusetts Turnpike Authy. 347 Mass. 552. There, the respondents cited the Third Report of the Commission (cited also by Household here) in support of a similar contention. We rejected it, holding that “[¡t]he practice of the Commission as to use of the evidence to convict wrongdoers does not take its program outside the resolve [¡expressly authorizing the Commission to submit evidence to the Attorney General or other law enforcement agency] or violate art. 30. . . . [¡W]e think that the respondents show no more than a commission determined to be effective in its assigned legislative task of the discovery of corruption in government and, in connection therewith, rightly and lawfully dealing with evidence of corruption which that task brings to light.” P. 558. Similarly, in the case of Commonwealth v. Favulli, 352 Mass. 95, 101-102, we held this same report consistent with the Commission’s legislative function.
Household argues that these cases are not dispositive because it has presented the court with much more evidence of “the Commission’s drive to expose, indict and punish” *205than was present in the records of those cases. However, the evidence to which it refers (statements from Commission reports and from the minutes of the Commission meetings, as well as statements made by the Chairman of the Commission under various circumstances) was also cited to the judge. They are contained or referred to in the judge’s findings of fact. In dealing with them he noted that the statements, taken in context, "are coupled with further language which indicates clearly that the Commission recognizes that it has no power or authority to conduct criminal prosecutions, that such power and authority is vested in the Attorney General, and that it is speaking in terms of cooperating with the Attorney General in submitting evidence of criminal activity to him for his decision whether he will prosecute.” On this basis the judge concluded that “ [t]he Commission never stated, contended, or took the position that it had the authority, power, or duty to prosecute persons shown by its investigations to have committed crimes. . . . The Commission, which belonged to the Legislative Branch of the government of the Commonwealth, did not exercise, or attempt to exercise, any powers of the Executive Branch in the matter of the enforcement of the criminal laws, the prosecution of criminal offenses, or in any other matter.” This conclusion is supported by the evidence as a whole and is dispositive of the issue of the claimed inconsistency between the Commission’s concern with the indictment and conviction of lawbreakers exposed by its investigations and its primary legislative purpose.
Secondly, Household attempts to demonstrate that the Commission improperly dominated the grand jury proceedings through the medium of Mr. Simonds, who was simultaneously investigating the case as an agent of the Commission while he presented the evidence to the grand jury as a special assistant attorney general. The findings of the judge on the conduct and control of the grand jury proceedings, however, clearly bring this point within the holding in Commonwealth v. Favulli, 352 Mass. 95, 102-103, that par*206ticipation of the Commission in grand jury proceedings was not improper as long as control remained in the Attorney General. These findings establish, as in the Favulli case, that the decision to present the matter to the grand jury was that of the Attorney General and that he at all times “conducted and controlled the presentation of this case to the Special Grand Jury.” The judge found that the Attorney General exercised this control through bis assistants Mr. Skinner and Mr. Travers, the latter being directly in charge. The function of Mr. Simonds, as special assistant to the Attorney General, was only “[to assist] to the extent required by [Mr.] Travers.”
Since the relevant question is power and not participation and since the judged findings establish that power with respect to the grand jury proceedings rested at all times in duly authorized members of the Executive Branch other than Mr. Simonds, there is no significance in a possible “merger of the powers” in the person of Mr. Simonds. Furthermore, any such inference is precluded by the judge’s finding, amply supported by the evidence, that Mr. Simonds’s appointment as a special assistant attorney general “was an appointment in fact and in law; and it was not a sham to enable the Crime Commission to present evidence directly to a Grand Jury.” “In appearing before the Special Grand Jury, [Mr.] Simonds did so as a Special Assistant Attorney General, under the direction and control of the Attorney General; and not as counsel for the Commission.”
2. The second issue raised by Household is directed at the grand jury proceedings in that “the indictments should have been abated because of the presence of an excessive number of prosecutors while the Special Grand Jury was deliberating and voting and because of the conduct of the prosecutors during such deliberations.” Beneficial makes a similar argument, while also adopting that of Household. Liberty, Barber, Woodcock and Pratt have likewise adopted Household’s argument. The issue was raised by pleas in *207abatement (filed separately by Household and certain individual defendants), focusing respectively on the presence and conduct of the prosecutors.
Motions to dismiss the indictments filed by certain corporate defendants also raised this issue in addition to the issue previously treated with by us. The assignments of error which raise this point are directed to the judge’s two decisions on the pleas in abatement and his decision on the motions. Each of these three decisions overruled so much of the various pleas and motions as rested on the grounds here argued by Household.
The facts as found by the judge in these three decisions relative to the presence and conduct of multiple prosecutors before the grand jury and the conclusions he drew from them are as follows. At all times during the grand jury deliberations and voting, which took place on May 7, 1964, and the next day, at least two or three, and at most five, prosecutors were present in the grand jury room. The five were the Attorney General, Assistant Attorneys General Travers, Skinner and Bachman, and Special Assistant Attorney General Simonds. All five had been present at some poiiit during the presentation of evidence to the grand jury and each one of them, except Mr. Skinner, had participated at some point in the examination of witnesses, Mr. Travers and Mr. Simonds having played the leading roles in this process. The judge made findings as to the procedure followed in reading to the grand jury the 129 indictments, which had been prepared in advance by Mr. Simonds and Mr. Travers, and in having them signed by the Attorney General. The judge concluded that “the number of prosecutors present before the Special Grand Jury at any one time during its hearings, deliberations, and voting was no greater than was necessary. All of the prosecutors who were thus present were there in their official capacities, discharging their public duties in connection with this case, and their presence before the Special Grand Jury was necessary at all times when they were present.” He then held that the grand *208jurors were not intimidated, coerced, or influenced by the presence of the several prosecutors.
On the alleged impropriety of the conduct of the prosecutors before the grand jurors, the judge found that there was none. Since “[t]here is no law which requires that a Grand Jury adopt a vote requesting a prosecutor to prepare an indictment before a prosecutor may do so,” he ruled that it was proper for the prosecutors to draw up the 129 indictments in advance, as a means of assisting the grand jury in dealing with a very complex array of evidence. In presenting the indictments to the grand jury in groups of fifteen to twenty, he found that a prosecutor would refer the jurors to “the area of the evidence on which they were being asked to deliberate and consider the indictments being offered” and that it “was not a statement of what the evidence was or had been on that phase of the case, but it was a reference sufficient only for the jurors to identify the part of the case in connection with which they were being asked to consider the indictments. It was not a summation or argument on the evidence. It served only to identify that phase of the case on “which the indictments were being offered from any of the other phases oil which the jurors may have heard evidence over the preceding three months.”
These findings, all of which are supported by the evidence and the conclusions drawn from them, are not erroneous as matter of law and are dispositive of the objections raised. The test we stated in Commonwealth v. Favulli, 352 Mass. 95 (decided after these findings were made), regarding the circumstances under which multiple prosecutors may properly be present before the grand jury applies equally to presence at the voting stage as to presence during presentation of the evidence and deliberations. The distinction Household attempts to make between voting and the other stages is not supported in our law. Indeed, in the Favulli case,- as here, it appears that multiple prosecutors were present while the grand jury voted. The “controlling principle,” we articulated there, is that “[t]he prosecutor has discretion as to the use of assistants and . . . may have *209present from time to time such reasonable number as he deems appropriate.” P. 106. Under this standard the finding of the judge that "the number of prosecutors present before the Special Grand Jury at any one* time . . . was no greater than was necessary” clearly negates the contention that an improper number was present.
The Favulli case also states the "controlling principle” to be applied to the conduct of prosecutors: "In presenting cases to the grand jury the prosecutor and his assistants must scrupulously refrain from words or conduct that will invade the province of the grand jury or tend to induce action other than that which the jurors in their uninfluenced judgment deem warranted on the evidence fairly presented before them.” P. 106. The findings of the judge, although not worded in precisely these terms, clearly establish compliance by the prosecutors with this standard in their conduct before the grand jury. His conclusions are likewise consistent with our earlier holding in Attorney Gen. v. Pelletier, 240 Mass. 264, 310, a case of extreme and clearly improper conduct by a prosecutor, that a prosecutor present during grand jury deliberations "cannot participate in the deliberations or express opinions on questions of fact or attempt in any way to influence the action.”
3. Having argued the foregoing two issues Household further maintains that "[t]he record as a whole demonstrates that . . . Qt], and others similarly situated, have been denied the equal protection of law guaranteed by both the Federal and State Constitutions.” Liberty, Barber and Pratt adopt Household’s argument on this point. This identical point was raised by various defendants in seeking amendments to pleas in abatement and in their challenges to the array of grand jurors. After a hearing on the pleas and challenges in their entirety, with particular reference to the alleged violation of constitutional rights, the judge ruled that "there was no such denial of the constitutional rights of any of such defendants.”
The evidence at the hearing consisted of a stipulation *210entered into by the parties which contained specified portions of evidence previously introduced at certain hearings on particular issues raised by the pleas, plus certain documentary items. In ruling on the issues raised the judge did not make separate findings of fact or rulings of law. He relied instead on findings of fact made by him in eight previous decisions on specific issues raised by the various pleas, and on portions of his .findings of fact made in bis decision and order on motions to dismiss the indictments. In addition the judge referred to his findings of fact and rulings of law in other decisions on various pleas in abatement “which may relate to the constitutional issues now under consideration.” These adequately disposed of the constitutional objections raised, without requiring further discussion on our part.
In their argument before us the defendants have centered their constitutional objection on eight aspects of the grand jury proceedings. Five of these are embodied in the two issues raised by them dealing with the grand jury proceedings which we have considered above. The other three aspects of the proceedings objected to by the defendants are the fact that Mr. Simonds revealed to personnel of the Commission, and to others, matters occurring before the grand jury; that, while acting as special assistant attorney general, Mr. Simonds continued to receive compensation from the Commission; and that the indictments were re-, turned by a special grand jury sitting simultaneously with the regular grand jury for Suffolk County. The first two of these latter three objections were disposed of as separate issues by the judge in bis decisions on pleas specifically raising these issues which were incorporated by reference in bis decision on the constitutional questions raised by the pleas in their entirety. The findings of fact contained therein are supported by the evidence, and the rulings of law drawn from them are devoid of error.
The only objection that remains is the one directed at the simultaneous sitting of a special grand jury and a regular grand jury. The permissibility of this practice varies *211from State to State, depending on their relevant statutory and constitutional provisions, but it presents no Federal constitutional problem. Commonwealth v. Favulli, 352 Mass. 95, 107-108. We discovered no basis in this Commonwealth for objection to the practice.
Having disposed individually of the objections on which the defendants base their allegation of a constitutional violation, we cannot see that they gain any additional strength by cumulation.
4. Household focuses its pre-trial objections on an even earlier stage in the proceedings: the selection of the special grand jury which returned the indictments. Household raises two objections to the procedure used, the first being that “the jury lists from which the jurors were drawn were prepared in violation of the requirements of the statutes of this Commonwealth and of the Constitution's] of the United States and this Commonwealth.” Household’s argument, which is directed also at the array of petit jurors in the two trials, has been adopted by Beneficial, Liberty, Local, Barber, Pratt, Glynn, Farrell, Woodcock, Hanley and Newhall. It was raised on numerous occasions by Household and other defendants prior to and during both trials by pleas in abatement, challenges to the array of grand and petit jurors, challenges to the panel of talesmen, motions for a lawful jury, and motions to discharge venire, all of which were unsuccessful. The judge on at least one occasion held a hearing on the factual allegations made therein. With respect to other pleas, the evidence was stipulated. Following a hearing held on certain “pleas in abatement and challenges to the array of grand jurors alleging that they were drawn from lists of registered voters in violation of applicable statutes,” the judge made extensive findings of fact, which are summarized below. Although these findings deal only with the procedure used to prepare the 1963 jury list for the city of Boston, from which twenty-two of the twenty-three members of the grand jury were picked, that procedure involves all the features which the defendants allege are in *212violation of statute and of the Federal Constitution in the drawing up of the lists from which the grand and both petit juries were chosen. No other procedure need therefore be detailed.
The 1963 jury list for the city of Boston contained about 9,000 names, of which about 3,000 were not carried forward from prior lists. To obtain these 3,000 names the Boston board of election commissioners (election board) started from the current list of registered Boston voters, containing 309,082 names, and picked 18,000 names from it according to a random selection process which is not here under attack. The names picked were then narrowed down to 3,000 by eliminating those exempted from service by G. L. c. 234, § 1; those over the age of sixty-five and under the age of twenty-five;3 women who requested to be excused under G. L. c. 234, § 4; Federal, State and county employees who requested to be excused; and others who so requested or for whom requests were made by public officeholders on the ground of economic hardship.
The election board had available to it but did not use as a source for the jury list the 1963 police list for Boston, which contained the names of persons resident in Boston as of January 1, 1963, of age twenty or over who were not registered voters. The fist contained 438,776 names, 129,694 more than the list of registered voters. Of these, the judge found that eleven per cent (48,265) were not qualified to vote and therefore were ineligible for jury duty, without estimating the number in addition who were exempt from duty under G. L. c. 234, § 1. The election board used the voter list in preference to the police list because it felt that if the police fist were used “it would result in a larger number or percentage of those summoned being rejected or eliminated for lack of qualifications to serve as jurors than would be the case if the fist of registered voters were used.”
First, Household argues that the election board’s use of *213the list of registered voters as a source rather than the police list violated G. L. c. 234, § 1, as amended through St. 1949, c. 347, § 1, which provides in relevant part that, “A person of either sex qualified to vote for representative to the general court, whether a registered voter or not, shall be liable to serve as a juror.” We agree with the judge, however, that § 1 is not mandatory and adopt his ruling that “[although c. 234, § 1, fixes the outer limits of the group of persons ‘liable’ for jury service, it does not require or compel the persons charged with responsibility for preparing annual jury lists to include thereon persons from every group, class, or category of persons liable for jury service. . . . [Although the Board did not avail itself of the largest group available, or of the longest list of names available, when it used the fist of registered voters as the source of the names of persons placed on the 1963 Jury List, it did not thereby violate the applicable statutes.”
Such a reading of §. 1 does not make the 1924 (St. 1924, c. 311, § 1) amendment, which adds qualified but non-registered voters, “ineffective,” as Household argues. The amendment permitted the election board, by drawing from such a pool, to compile a jury fist containing names of people who before the amendment would have been ineligible to serve. Since 1967, the election board has in fact used the police fist as its source for the jury list.
Secondly, Household argues that the election board’s elimination of 15,000 names from its fist of 18,000 was improper because some people were automatically excluded who were not within the legally exempt categories listed in § 1, and some were excluded at their own request or the request of others for whose exclusion there was no statutory basis. However, the categories of exempt persons in § 1 are not preclusive. The defendants cannot complain that some public employees were excluded at their own request since they have shown no harm stemming from this practice. In addition, the judge specifically found that Federal, State, county and city employees were represented on the jury list. Nor was it improper to exclude some persons at their *214own request, or that of public officeholders, when, as the judge found, on adequate evidence, the reason for their exclusion was the economic hardship which jury service would entail.
In reducing the list from 18,000 to 3,000, there is no evidence that the election board abused the discretion clearly left to it by the statutory scheme. The statute does not mandate a specific procedure, but simply lists persons eligible and exempt, and from this group directs the election board to prepare a list of persons “of good moral character [and] of sound judgment” whom it determines to be qualified. G. L. c. 234, § 4, as amended through St. 1955, c. 38, § 1.
Finally, Household claims that the jury chosen as a result of the procedure used was substantially different in composition from that which would have resulted had it been drawn from the police list and had only those legally exempt or unsuited in character been excluded. For this reason it is argued that the procedure was constitutionally defective. This contention fails because, as the judge ruled, the defendants have not proved “that there has been any systematic or intentional exclusion of any- economic, social, religious, racial, political, or geographical group in the community.” 4 Ballard v. United States, 329 U. S. 187, 195. Hoyt v. Florida, 368 U. S. 57, 59. Swain v. Alabama, 380 U. S. 202. Young v. United States, 212 F. 2d 236, 238 (D. C. Cir.). Dow v. Carnegie-Illinois Steel Corp. 224 F. 2d 414, 425 (3d Cir.). Commonwealth v. Slaney, 350 Mass. 400, 402. The notion that unregistered voters constitute such a class was rejected in Gorin v. United States, 313 F. 2d 641 (1st Cir.), in language which is thoroughly applicable to this issue and which was quoted at length by the judge. The mere fact that a different method of selection might have resulted in a jury made up somewhat differently in *215no way implies that the method used did not yield “a cross-section of the community,” which is all that the Constitution requires. Commonwealth v. Ricard, 355 Mass. 509, 512. Thiel v. Southern Pac. Co. 328 U. S. 217, 220.
The judge determined that the elaborate statistical tables prepared from published lists by an expert for the defendants and designed to compare the composition of the 1963 jury list, the 1963 registered voter list, and the 1963 police list did not present sufficient evidence on which to base any findings on this point. It was within bis discretion not to be convinced by these tables, no matter how carefully and accurately they may have been drawn as a matter of statistical analysis. In light of his extensive discussion of them in his rulings, we are unable to discern any substance to the argument that the judge dismissed them peremptorily.
Likewise, the judge acted within his discretion in refusing to admit similar tables based on interviews with persons not before the court. The defendants concede that the tables were based on hearsay evidence and can point to no statute or case in this Commonwealth requiring their admission. The fact that some commentators have recommended -admission of properly conducted surveys, and that some courts in other jurisdictions have admitted them, does not mean that the judge here was in error in excluding tables based on data from a private survey specifically conducted in behalf of the defendants.
5. Household’s second objection to the selection of the special grand jury is directed at the questioning of prospective members by the probation department of the county of Suffolk and by the police of the city of Boston after their names had been drawn from the jury fist by the election board. Household’s argument that this procedure was in violation of G, L. c. 234, § 24, has been adopted by Liberty, Barber, Pratt, Glynn, Woodcock and Farrell. The issue was raised by “pleas in abatement based on alleged improper or unlawful questioning of prospective grand jurors,” filed by Household and certain individual defendants. The judge held a hearing on the factual issues raised therein, *216after which he made findings, rulings and an order denying the various pleas.
The judge found the following facts regarding the questioning objected to, and the evidence is sufficient to support bis findings. Each of the twenty-eight prospective grand jurors drawn from the city of Boston received a “juror’s identification card” from the probation department of the.county of Suffolk asking for his name, address, age, date of birth and birthplace, occupation, height and weight, parents’ names, and marital status. All these cards were received by the various jurors before they started to serve, with the exception of a card sent to one Joseph D. Casey. There was no evidence as to why these cards were sent out by the probation office or what use was made of them.
In addition to the probation office, the police commissioner of Boston was supplied by the city clerk with a list of names drawn. The police thereupon made up for each name a “Police Questionnaire” which inquired into the personal habits and character of the subject as well as routine statistics relative to him. These were eventually completed and returned to the office of the commissioner. Duplicate copies were kept by the commissioner and the originals were sent to the office of the district attorney for the county of Suffolk. Again, there was no evidence as to what use was made of the questionnaires, or whether any member of the Attorney General’s office ever saw them prior to the hearing on the defendants’ motions challenging the grand jury.
Eight grand jurors were visited and questioned by a police officer. Seven were asked only their name, address, marital status, business or occupation, name of employer, and, in some instances, whether they had previously served on a jury. Juror Casey was further asked as to his education, lodge affiliations, and political views. The judge found that all eight had been questioned before they had received a summons under G. L. c. 234, § 24, notifying them that they had been drawn to serve as grand jurors. Three other members received telephone calls from persons asking similar *217questions, but there was no evidence as to the identity of such persons. The eleven members so called or visited testified that they had not been influenced thereby in their service as jurors. In addition the judge found that the above procedures involved no “intimidation or attempted intimidation” and that “no pressure or improper influence [was] brought to bear upon any such juror.”
Household’s objections are based on G. L. c. 234, § 24 (as amended by St. 1956, c. 278), which deals generally with individual notification of prospective jurors. The last sentence of § 24, added by St. 1956, c. 278, provides, that “[a]fter the service of such venire has been made, no person shall, except as otherwise provided by law, question any person so summoned for the purpose of obtaining information as to bis background in connection with his jury duty.” Assuming arguendo that this amendment applies to grand jurors as well as petit jurors (see G. L. [Ter. Ed.] c. 277, § 3), the objection raised is almost entirely obviated by the facts found by the judge and by his conclusion, “that the prohibition against questioning starts after a juror has been summoned” pursuant to the summons having been issued by either of the two methods detailed in the first part of § 24. We agree with the judge that this interpretation of the phrase “[a]fter the service of such venire,” used as it is in conjunction with “any person so summoned,” refers to “service of the venire on the municipality/’ and is more consistent with the language of § 24 than that which the defendants urge. As the judge noted, “At that time no juror has yet been drawn, and of course no person has been summoned to serve as a juror. Even after the municipality has made its drawing and listed the persons drawn to serve as jurors, there is no one who fits the statutory description of ‘any person so summoned.’” It follows, therefore, and it was so held by the judge, that none of the juror’s identification cards sent out by the probation office could have been in violation of § 24 with the exception of the card sent to juror Casey. Similarly, the questioning by the police *218was not in violation of § 24 because it occurred before notification of the jurors. Of the telephone calls allegedly made, only that to juror Spanoghe occurred after she was summoned under § 24-
Since the police questionnaires were not sent to the jurors and could not, therefore, constitute questioning of “any person so summoned,”5 the sole questions left for decision are whether the juror’s identification card sent to juror Casey and the telephone call to juror Spanoghe were in violation of § 24.
The judge ruled that the identification card sent to juror Casey did not violate § 24 because the questions contained on it were not “for the purpose of obtaining information as to his background in connection with his jury duty,” the only form of questioning prohibited by § 24. The judge concluded that the questions asked did not bear on juror Casey’s “background in connection with bis jury duty,” since they sought only “information commonly required in all inquiries dealing with personal identity.” We believe this conclusion is sound. It interprets the phrase “background in connection with . . . jury duty” in a way that is consistent with the purpose of the statute — to prevent in*219quiry which would tend to detract from the jury’s impartiality. It follows, therefore, that the identification cards involved here are harmless and fall outside the prohibition no matter when they were sent.
With respect to the telephone call to juror Spanoghe, the judge made no finding as to what questions she was asked. However, he made a subsequent ruling that the pleas were not legally sufficient, which is dispositive of that issue as well as of all the others raised by the questioning here involved. The ground for this ruling was that § 24 does not require as matter of law “that the return of an indictment by a Grand Jury ... be declared invalid and set aside for the sole reason that a member of that jury was previously questioned in violation of § absent, as in this case, any actual coercion, intimidation, or improper influence on the juror, and absent any impairment of the impartiality of the juror.” Without expressing an opinion as to whether prejudice must be shown in every case, we agree that it must be shown where the statute has been violated by one who is not connected with a party adversary to the party protesting the violation. Since, therefore, the judge found that “there was no evidence from which any responsibility for . . . [the call to juror Spanoghe] can be placed on the Commonwealth or any of its public prosecutors,” it cannot form a basis for abating the indictments, even if we should assume that it was in violation of § 24.
6. Household and several other defendants argue that the joinder of indictments in both the first and second trials was prejudicial to them and that their various pre-trial motions for severance should have been granted.6 The groupings were as follows: Forty-nine indictments involving a total of *220sixteen defendants were joined in the first trial. These contained conspiracy charges and substantive charges against several finance companies and individuals for bribing Hanley or, alternatively, Garfinkle; conspiracy charges against Hanley and Garfinkle; and felony charges against Hanley and Garfinkle separately for requesting and accepting bribes. This grouping was the result of a motion for joinder filed by the Commonwealth. After hearing, the judge allowed the motion on March 25, 1966.
The joinder at the second trial was the result of a similar motion by the Commonwealth. This grouping consisted of one conspiracy indictment against six corporations and eight individuals, one substantive indictment for bribery against Local alone, and nineteen substantive indictments against Hanley relating to his requesting and accepting gifts and gratuities.
The defendants Household, Beneficial, Liberty, Woodcock and Local have severally argued a total of four grounds to support their contention that the joinder in one or both trials was improper, and that severance along the lines that they sought should have been granted. Barber and Pratt have adopted Household’s arguments with respect to both trials. We deal seriatim with the four grounds raised, identifying with respect to each ground the defendants who have raised it.
The first ground alleged, as expressed by the defendants Liberty and Woodcock in their consolidated brief covering the first trial, is that ‘ "[t]rying the defendants with others on an indictment of conspiracy gave unfair tactical advantage to the prosecution in that a substantial amount of prejudicial evidence was presented to the jury which was inadmissible against these defendants.” Local makes a similar argument with respect to the second trial grouping, alleging in addition that although other defendants were also prejudiced by the joinder Local should have a new trial even if the other defendants do not “because certain items of prejudicial evidence . . . were not only damaging in the extreme, but were also unique as to Local.”
*221It is true that joinder of conspiracy indictments with substantive indictments allowed evidence to be admitted against some defendants which was inadmissible as to others. However, this fact is not in and of itself enough to compel severance. Commonwealth v. Sacco, 255 Mass. 369, 413. Commonwealth v. Bingham, 158 Mass. 169, 171. Katz v. United States, 321 F. 2d 7, 8 (1st Cir.). Caton v. United States, 407 F. 2d 367, 372 (8th Cir.). At the time of the trial, joinder of conspiracy and substantive indictments was permissible.7
Another ground urged is related to the one stated above. Liberty and Woodcock in the first trial, and Household in the second trial, object in particular to the fact that the defences of certain of their codefendants (especially Hanley in the second trial), were antagonistic to their own. Thus, evidence which was prejudicial to them and which would not have been admissible had they been tried separately was admitted because it was relevant to the defence of others. However, this feature of joint trials, like the more general feature of evidence submitted being admissible against less than all of the defendants, does not require severance. Commonwealth v. Millen, 289 Mass. 441, 459-460. Dauer v. United States, 189 F. 2d 343, 344 (10th Cir.).
Thirdly, Liberty and Woodcock allege that the joinder in the first trial of indictments in which they were named as defendants with “a vast number of indictments in which they were not mentioned necessarily created improper prejudice.” It is contended in particular that the joinder of indictments against them and other defendants relating to the giving of bribes, with indictments against Hanley and Garfinkle relating to the soliciting of bribes, “resulted in the seepage, nay transference, of evidence-not otherwise admissible against these defendants.” Liberty and Woodcock’s reliance on King v. United States, 355 F. 2d 700 (1st Cir.), seems to us to be misplaced. In that case severance was *222required because the two indictments involved, one against one defendant and one against the same defendant and another, related to two separate transactions. The court stated that joinder was permissible (even where proof of the other criminal transactions charged would not be admissible in a separate trial) where joinder of the indictments resulted in sufficient benefit to the court, as where there was “an overlapping of issues.” P. 704. The example given of such an instance — “when some defendants are charged with transporting stolen goods in interstate commerce, and others are charged with receiving the goods, so stolen” — is closely analogous to the case at bar.
The fourth ground alleged by Liberty and Woodcock in the first trial is that “trying these defendants with other defendants deprived them of the constitutional right to call other defendants as witnesses on their behalf.” They cite no case, however, supporting this proposition. There are, on the contrary, cases in the Federal Courts refusing severance despite the fact that one defendant is thereby deprived of another defendant as his witness. Olmstead v. United States, 19 F. 2d 842, 847-848 (9th Cir.). Gorin v. United States, 313 F. 2d 641, 645-646 (1st Cir.). The instant case is not one in which the defendants seeking severance have shown that their codefendants were in possession of exculpatory evidence. Compare United States v. Echeles, 352 F. 2d 892, 897-898 (7th Cir.). Nor has Liberty or Woodcock displayed any other substantial need for their codefendants’ testimony. Compare United States v. Gleason, 259 F. Supp. 282, 284-285 (S. D. N. Y.). Indeed, they have failed to demonstrate even that any of their codefendants would have been willing to testify on their behalf in a separate trial.
Liberty and Woodcock further argue that joinder deprived them not only of the favorable testimony of their codefendants but also of the right to cross-examine co-defendants whose extrajudicial statements inculpating Liberty and Woodcock were admitted through the witness Heath. They argue that the rationale of Bruton v. United *223States, 391 U. S. 123, should be extended to this case. The statements here in question, however, were admitted under a recognized exception to the hearsay rule for statements of co-conspirators in furtherance of a conspiracy, unlike the confession of one codefendant in the Bruton case. The court in the Bruton case explicitly declined to intimate that the exclusionary rule it required in that case should extend, under the Sixth Amendment, to evidence admitted under “any recognized exception to the hearsay rule.” P. 128, fn. 3. Cf. Dutton v. Evans, 400 U. S. 74. We see no reason to so extend the Bruton rule.
We have dealt separately with all the grounds stated. We are aware of the disadvantages accruing to the defendants from joinder, and cited to us as reasons why joinder was improper. We believe that our foregoing discussion demonstrates that none of them standing alone requires severance. The question then remains whether the judge, in considering the disadvantages cumulatively, was compelled to grant severance. It is our view that it was for the judge to weigh all the factors, which were reasonably foreseeable, against the probable benefits of joinder as sought by the Commonwealth. The decision was for him to make as matter of discretion, and we reverse him only if there has been “a clear abuse of discretion” — that is, “[i]f it clearly appealed] . . . that . . . [the] defendant . . . [would] not receive a fair trial without a severance when all the circumstances . . . [were] considered in the light of sound judicial discretion and common sense.” Baker v. United States, 329 P. 2d 786, 787 (10th Cir.). Johnson v. United States, 356 F. 2d 680, 682 (8th Cir.). Commonwealth v. Geary, 352 Mass. 427, 431. Commonwealth v. Fancy, 349 Mass. 196, 204-205. Barber v. Commonwealth, 353 Mass. 236, 240-241. “The protection of defendants' rights . . ., while of paramount importance, cannot be considered without reference to the orderly transaction of judicial business. . . . The judge had to consider . . . the cost to the public of a multiplicity of trials.” Barber v. Commonwealth, supra, at 240. The Commonwealth, in ask*224ing for joinder in the first trial, stated the following grounds: (1) the indictments pertained to the same basic factual transaction, involving the same witnesses, and grouping them would therefore provide a workable and not unduly long trial (see Commonwealth v. Maloney, 348 Mass. 610, 613); (2) there was a logical nexus among the witnesses and the defendants; (3) complexity and hardship on the defendants would be avoided; and (4) there was a near coincidence of dates and time spans covering the allegations of criminal conduct. Similar grounds could have been cited to support the second trial grouping. Weighing these considerations against the disadvantages to the defendants arising from joinder, from the point of view of the judge when he decided to grant the Commonwealth’s motions, and even in the fight of hindsight, we believe that the defendants have not demonstrated sufficient prejudice to them to override the overwhelming benefits of joinder. There was no abuse of the judge’s discretion.
7. The final pre-trial issue raised by Household relates only to the second trial. Household, Glynn, Farrell and Newhall argue that “Qffjhe trial of Indictment 11908 should have been barred by principles of double jeopardy because of the prior conviction for a legally identical offense in the trial of Indictment 11900.” Accordingly it is contended that it was error for the judge to deny Household’s and other defendants’ various motions to dismiss which raised this issue. Beneficial, Barber and Pratt have adopted Household’s argument on this point.
Indictment 11900, tried in the first grouping, charged eight corporations and eight individuals with conspiring to bribe Hanley in his official capacity during a period of six years “next preceding the finding and fifing of this indictment.” Four co-conspirators were named but not charged in the indictment. Indictment 11908 charged seven corporations and eleven individuals in identical language with a similar conspiracy from January 1, 1957, “continuing up to and including the day of finding and fifing of this indictment.” Eight others were named as co-conspirators but not *225defendants in that indictment. The two indictments had in common eleven defendants (six corporations and five individuals), and four named co-conspirators.
At the request of several defendants the Commonwealth filed bills of particulars with respect to both indictments. In addition, well before the filing of any motion based on double jeopardy in the second trial, the Commonwealth filed ‘ Representations of Evidence in ¡TQupport of Motion for Joinder or Grouping.” This document, together with the various bills of particulars, established that the conspiracy which was the subject of the first trial was a narrow conspiracy to bribe Hanley in connection with the Rate Board proceedings of 1962. By contrast, the conspiracy at which No. 11908 was aimed was continuing. Begun in 1957, it involved yearly payments to Hanley in order to insure in general that his official acts were in the best interests of the small loans industry.
In these circumstances the defendants’ various motions were properly denied. Despite the identical charging language, the indictments were sufficiently dissimilar on their face with respect to dates and persons named to raise a question of fact as to whether the conspiracies charged in the two indictments were the same. Had there been no question that the indictments stemmed from the same occurrence, the issue of double jeopardy would have been one of law to be decided from the face of the indictments by the judge. The test would have been whether the same facts which would support a conviction in one indictment would likewise be sufficient to support a conviction in the other. Commonwealth v. Roby, 12 Pick. 496. Morey v. Commonwealth, 108 Mass. 433. Commonwealth v. Robinson, 126 Mass. 259. Commonwealth v. DiStasio, 297 Mass. 347. Commonwealth v. Mahoney, 331 Mass. 510. In the instant cases, however, where the indictments were as consistent with two factually distinct offences as with one, and where the Commonwealth put this question directly in issue by its replication (Commonwealth v. Wermowth, 174 Mass. 74, 78), the burden was on the defendants to establish the identity *226of the facts involved. Commonwealth v. Daley, 4 Gray, 209. Commonwealth v. Wermouth, supra. They did not satisfy this burden in the face of the evidence submitted by the Commonwealth that No. 11908 referred to a conspiracy distinct from that for which the defendants had been convicted in the first trial. Although both indictments were framed in sufficiently general language so that the same facts could have been used to support a conviction for both, this did not entitle the defendants to a ruling that the first conviction was a bar to the second indictment, where further inquiry demonstrated that the two offences charged were not in fact the same. Commonwealth v. Fredericks, 155 Mass. 455, 457. Commonwealth v. Wermouth, 174 Mass. 74. Commonwealth v. Sutherland, 109 Mass. 342, 343. Short v. United States, 91 F. 2d 614, 624 (4th Cir.).
8. Three of the four foreign corporate defendants, Beneficial, Liberty, and Local, have raised the issue whether the court could exercise jurisdiction over them, and even if it could, whether service of process was properly made on them. Liberty and Local rely on Beneficial’s statement of the applicable legal principles, detailing separately only their particular corporate structures against which they would have such principles applied, and the agent on whom service was made. The issue was raised by special appearances, pleas' to the jurisdiction and motions to quash process filed separately by the three corporate defendants and others. Hearings were held on the various pleas, on which the judge made extensive findings of fact relative to the corporate defendants “doing business” in Massachusetts and to the agents on whom process was served. In each case the judge concluded that the court could exercise jurisdiction and that service had been properly made.
We agree with the judge’s rejection of the defendants’ preliminary argument “that Massachusetts cannot in any event acquire jurisdiction over them in any criminal case for the simple reason that it has no statute providing therefor, or giving the Court such jurisdiction.” We think it is irrefutable, as the judge held, that “having jurisdiction over *227the offense charged, . . . the Court need not rely on any statute. It has many powers not found in express language of statutes.” See Commonwealth v. New York Cent. & H. R. R.R. 206 Mass. 417, 428-429; Crocker v. Justices of Superior Court, 208 Mass. 162, 171-172.
The second part of the defendants’ argument on the question of jurisdiction is that they, the parent companies, were not doing sufficient business in Massachusetts to enable a Massachusetts court to exercise jurisdiction over them, as opposed to the subsidiary business trusts through which all three operated in this Commonwealth. However, we see the question of jurisdiction as indistinguishable from that whether under relevant principles of corporate responsibility, applied to the participation of agents of each corporate defendant in the offences charged, the particular corporate defendant may be held accountable. If under the applicable substantive law a foreign corporation is responsible for the acts of individuals which constituted a crime in this Commonwealth, it is inconsistent with the inherent power of a court to prosecute criminal offenders to insulate the corporation from liability on the basis of the manner in which the corporation generally runs its affairs.8 Of course, *228the general corporate structure and its operational features are highly relevant to the question whether the acts of a given individual, who is formally the employee of one or of several subsidiary members of the network, may be attributed to the parent corporation. However, that network and structure in and of itself is not conclusive on the question of jurisdiction.
There is no need to further discuss the findings of the judge as to the corporate structures of the three defendants, or their arguments that the judge erroneously held that these structures established sufficient contacts with the Commonwealth to warrant the exercise of jurisdiction. We refer instead to that part of the opinion, infra, p. 253, wherein we deal with the corporate defendants’responsibility for the acts of their agents in this Commonwealth in furtherance of the conspiracy and discuss the corporate network of the several defendants to the extent that it is relevant.
Finally, we discern no substance to the defendants’ claim that service was improperly made. Once power in the court is established, it may be implemented by any appropriate means. G. L. c. 220, § 2. The summonses used in this case were appropriate and sufficient to give the defendants fair notice of the indictments against them, as required by due process of law. Commonwealth v. New York Cent. & H. R. R.R. 206 Mass. 417, 429. United States v. Standard Oil Co. 154 Fed. 728, 731 (W. D. Tenn.). See International Shoe Co. v. Washington, 326 U. S. 310, 316. The only requirement that remains is that service be on appropriate agents of the defendants,9 and the judge’s findings cover this matter. *229In the case of Beneficial, one Frank J. McCann, trustee of all three of the Massachusetts business trusts, vice-president of Beneficial Management Corporation and supervising director for all of Beneficial’s Massachusetts loan offices, was served. In the case of Liberty, service was made on the divisional supervisor of the fifteen Massachusetts business trusts through which it did business in Massachusetts. Similarly, in the case of Local, it was made on the district supervisor of the New England division of Provident Management Corporation, a subsidiary of Local which controlled the operations of the Massachusetts loan offices. We see no basis for reversing the judge’s determination that each of these three men was a proper agent for service on the parent corporation.
9. The final pre-trial issue we treat with is raised by Liberty and Woodcock and relates to a “Motion for Leave to File Motion to Dismiss” and an accompanying “Motion to Dismiss.” 10 This issue is unique to them. These motions were filed on September 28, 1966, the thirty-fourth day of the first trial. They claim that “as there was insufficient evidence presented to the grand jury, it was error of constitutional dimension to deny [the] defendants’ motions.” This contention is based on the testimony of one William F. Heath contained in the grand jury transcript which had been made available to the defendants two days before filing their motions. At the hearing on the motions these defendants also submitted the “Commonwealth’s stipulation” which they maintain established that this portion of the transcript contained all of the evidence incriminating them which was presented to the grand jury. The stipulation in fact stated that “[i]o the best of the Commonwealth’s knowledge” this portion was the only testimony relating these defendants to “the events occurring on October 17, 1962.” It further stated, “[5P] he Commonwealth does not recall any other grand jury witness who testified to any talk with Lyle S. Woodcock other than William F. Heath, either *230before or after October 17, 1962, relative to the matters on trial” (emphasis supplied).
■ The judge correctly ruled that under Rule 101A of the Superior Court (1964), 11 the motion was not timely. In addition he cited G. L. c. 277, § 47A, and a number of cases in support of his action. Both defendants had previously entered pleas of “Not Guilty,” and the time for filing special pleas and motions had long since expired for both of them. The motion was therefore addressed to the sound discretion of the judge. He did not abuse this discretion in ruling that despite the fact that “the defendants did not receive the Grand Jury transcript until September 26, 1966,” they had made “no showing of any reason sufficiently strong or impelling to require . . . [him] to exercise . . . [his] discretion to permit the defendants to file their proposed ‘Substitute Motion to Dismiss’ at this stage of the proceedings, and dining the course of the present jury trial.” Return of an indictment on insufficient evidence is not an error of constitutional dimensions such as to compel a judge to consider an untimely motion. Costello v. United States, 350 U. S. 359, 363-364. Lawn v. United States, 355 U. S. 339, 349-350. Furthermore, assuming arguendo that a defendant may, at least in some cases, attack an indictment as based on insufficient evidence and that the portion of the transcript here submitted was insufficient to sustain the indictments against the defendants, the judge was correct in noting that the “stipulation does not state that there was no other evidence before the Grand Jury bearing on these indictments; and it does not exclude the possibility of such other evidence or of inferences from evidence. The *231records in this case show that these grand jurors were convened or impanelled on January 27, 1964, and that these indictments were returned on May 8,1964. However, except for what is contained in . . . [¡the portion of the transcript submitted by these defendants], this Court has no information or knowledge of what evidence was before the grand jurors, or what knowledge or information they had, before they returned the indictments.”
PART II.
The First Trial.
A. The Evidence.
We summarize pertinent portions of the evidence most favorable to the Commonwealth.12 In 1962, the small loans *232industry in Massachusetts was regulated by the Commissioner of Banks (Commissioner) who was head of the division of banks and loan agencies within the Department of Banking and Insurance. G. L. c. 26, §§ 1, 2. At that time, the law of this Commonwealth provided that any person who sought to engage in the business of making small loans had first to obtain a license from the Commissioner. G. L. c. 140, § 96. The Commissioner was also authorized to appoint a deputy to serve as supervisor of loan agencies. G. L. c. 26, § 4. In 1962, and at all times material to this case, the supervisor of loan agencies and Deputy Commissioner of Banks was Martin J. Hanley.
The permissible interest rate on small loans was regulated by the Rate Board which was within the division of banks and loan agencies. G. L. c. 26, §§ 1-5A. The Rate Board consisted of the State Treasurer, the Commissioner of Banks, the Commissioner of Corporations and Taxation and two persons appointed by the Governor, one of whom was required to be a representative of organized labor. G. L. c. 26, §§ 5, 5A. In 1962, the members of the Rate Board were John T. Driscoll, State Treasurer, Edward A. Counihan, Third, Commissioner of Banks, Guy J. Rizzoto, Commissioner of Corporations and Taxation, George P. Govostes, and Morris Garfinkle.
Among the corporations actively engaged in making “small loans” at interest rates established by the Rate Board were the following: Beneficial, Household, Liberty, American Investment Company of Illinois (American), Family Finance Corporation (Family), and State Loan and Finance Corporation (State).
Beneficial, a holding company incorporated in Delaware, is the sole owner of three Massachusetts business trusts licensed to carry on the small loans business in this Commonwealth. These are: Industrial Bankers, New England Equity, and Workingmens Loan Association. Collectively, these trusts have fifty-eight small loans offices throughout Massachusetts, each of which does business under the name of Beneficial. Beneficial is also the sole owner of a sub*233sidiary company, Beneficial Management Corporation (Beneficial Management) which handles the payroll and all of the legal, accounting and auditing services for Beneficial’s three Massachusetts business trusts.13
In 1962, the defendant Glynn was “Director of Industry Relations” for the Beneficial Finance “System.” He was formally an employee of Beneficial Management and on the payroll of one of Beneficial’s business trust's.14 On occasion he would report to the operating head of Beneficial’s local division,15 but he would report principally to Farrell, who was a vice-president of Beneficial Management.
Pratt was the New England “Regional Director of Public Relations” for Household.16 In performing his duties he often visited the State House and would talk with personnel in the Department of Banking including those dealing with small loans.17
Barber, who was also engaged in public relations work on behalf of Household18 was Pratt’s superior and Pratt would report to him once a week by mail.19
Liberty, a Delaware corporation, owned the beneficial shares of several Massachusetts business trusts engaged in the business of making small loans in this State. Woodcock was an executive vice-president and a director of Liberty.20
American operated its small loans business in the Commonwealth under the name of Public Finance Corporation (Public). Heath was American’s New England regional director and its operations vice-president. Four-fifths of his time was spent in “industrial relations” primarily in maintaining a good relationship “with the Small Loans Depart*234ment, and the personnel thereof, and particularly [with] . . . Hanley.”21 In the performance of his duties he associated with the public relations men of other finance companies, primarily with Glynn of Beneficial, Pratt of Household and one Gordon J. Thomasch of State.
Heath was the Commonwealth’s principal witness. .He testified that between 1960 and September, 1963, he met socially with Glynn and with Hanley on the average of two or three times a week. These meetings generally involved “luncheons, dinners [and a] little socializing” at various Boston restaurants such as Locke-Ober’s, Boston Club, Stella’s, Giro’s, Jacob Wirth’s, Marie’s Keyboard, Red Coach Grille and Pete’s. Members of the banking department, legislators and representatives of other finance companies also attended. Heath, met with Glynn and Hanley outside of Boston and at times overnight at such places as the ‘‘Motel 128 out in Dedham on at least a couple of occasions . . . Swampscott, on one occasion ... at the Wequassett Inn and the Nauset Inn in Orleans on at least one occasion . . . [and] at the Orleans Inn on one occasion.” In August, 1962, a four-day meeting was held at the Chatham Bars Inn. At all of these meetings the bills were paid pro rata by the public relations men of the various finance companies who were present.22
Pratt, of Household, was also present “once or twice a year” when Heath and Glynn met with Hanley.23 Heath and Glynn helped Pratt make out the reports which were sent once a week to Barber stating where Pratt had been and to whom he had talked.24 At this same time, Glynn, Pratt and Heath would meet as an “unofficial committee of three t.o get together and check with each other on matters of mutual interest in the absence of any association through *235which. . . . [they] could work.” Glynn acted as “sort of a chairman of the group.”25 Infra, p. 246.
During the summer of 1962, the Legislature expanded the $1,500 limitation on small loans to include loans up to $3,000. Since the Rate Board was responsible for regulating the interest rate on such loans, it scheduled hearings on the maximum permissible interest rates which could be charged by licensed finance companies on loans of $1,501 to $3,000. The hearings were scheduled to begin on November 13, 1962. In the interim, the interest rate then applicable to loans of $1,001 to $1,500 was made applicable to loans between $1,501 and $3,000.
About the time of the enactment of the $3,000 ceiling on small loans, Hanley met with Glynn and Heath “three or four” times “in various restaurants.” The three of them discussed the upcoming hearings before the Rate Board, and the possibility of paying money to Hanley to insure a favorable result from the Rate Board. Characterizing such payment as a “program,” Hanley said that “if a program was going to be conducted, that he would handle the program, that there should be no interference from members of the industry, and that it would be his responsibility to deliver the votes.” Hanley also said “that the industry would have to have the money put up in advance and that whoever was going to handle any program would have to have access to this money so that the transaction could be completed immediately and on time.” Glynn and Heath said in substance that they “had no authority at that time to commit . . . [themselves] to a program, that there was about to be a meeting in New York at which, in . . . [their] opinion, such a decision would be made one way or the other.” They further told Hanley that the industry would be content with the interest rates which were then in effect. Hanley replied that “he was happy about this situation” because he had feared that the industry *236might want a better rate than that presently in existence.26
Subsequent to these meetings with Hanley, Heath and Glynn met during the fall of 1962 on at least a half dozen occasions. They discussed between themselves the Rate Board hearings. Glynn told Heath that the defendant Farrell “had delegated to him the responsibility for setting up this meeting in New York.” Glynn also said that “he was having difficulty in doing this, difficulty in contacting the various members of the industry who were attending this meeting.” Heath responded that “[t]his makes no sense. You and I are working the lower echelon, and the people you are attempting to contact, it would seem to me that Mr. Farrell is in contact with these people at his level, and that protocol would indicate that he should set the meeting up.” Later, Glynn told Heath that “Farrell had now taken over the arrangements of inviting the various members of the industry, and that the matter was out of his hands as far as talking to the individuals concerned.” 27
Approximately one week before the meeting in New York, winch was scheduled for October 17, 1962, Heath met with Glynn and Pratt at Purcell’s restaurant for lunch. Glynn began discussion of the Rate Board hearings saying, “We are going up to this New York meeting. They will expect us to make recommendations. We should present a united front, if possible, so let’s see if we are in agreement. We do not know whether the industry will decide upon a program or not. If they do decide upon a program, we should have a united front.” Heath and Pratt each stated that he agreed with Glynn’s analysis of the situation. Glynn then said that “Q]f the industry decides to adopt a program, they will ask us to give our recommendation as to what our opinion is of what the total cost of this program might be.” Heath again agreed with Glynn but Pratt questioned whether the industry was going to be interested in the *237program. Glynn responded: “I believe we should recommend that the cost of such a program would be. between fifty and seventy-five thousand dollars.” Heath said, “I agree with you . . . but I doubt very much if we can sell that size program in New York.” Pratt also questioned the cost of the program by stating, “You will never sell that size program to the industry.” Subsequently, Heath said: “We are in agreement . . . and as far as I am concerned we will recommend the same program.” Pratt responded by saying: “We are in agreement.” Glynn next stated that “Hanley was a key figure in the forthcoming rate hearings” and that a member of the Rate Board was also a key figure. Glynn mentioned that “Hanley might require as high as $25,000 and that the other member of the Rate Board would have to be treated equally.” Heath concurred with Glynn, and Pratt said that “[w]e will have to have at least three votes of the Board.”28
Approximately two or three days prior to the New York meeting Glynn told Heath that “[w]e will have a meeting in New York at the Hotel Commodore at 10 o’clock on October 17th.” 29 The day before the meeting Hanley telephoned Heath and Heath told him, “We will have the answer when I come back from New York as to whether there will or will not be a program.”30 Heath arrived in New York by train that same night.
The next morning he went to a conference room on the second floor of the Hotel Commodore at approximately 10 a.m. At the meeting were Glynn and Farrell of Beneficial, Pratt and Barber of Household, Godshall of Family, Thomasch of State, Woodcock of Liberty and a lawyer, one Mr. Taulbee. Farrell acted as chairman of the meeting.31
After lunch, which began about 1 p.m., while everyone was *238present except Mr. Taulbee, there was a discussion regarding the Rate Board hearings. Heath testified that everybody present “engaged in that discussion, to various degrees.” Farrell initiated discussion concerning a “program.” He said: “We now have another decision to make, gentlemen, and that is whether we should consider conducting a program to insure a favorable decision by the Rate Board, or should we go on the merits?” Glynn spoke next, .saying, “Hanley is putting pressure on us. When we return from this meeting, we must have an answer on this subject. . . . 'There seems to be no formal preparation for a rate hearing/ and that those of us on the local scene would come to the conclusion that a program should be adopted.” Heath agreed. Glynn then resumed speaking. He said: “The conditions of this program are that Mr. Hanley will handle the program. Mr. Hanley will be responsible for obtaining the necessary votes. There is to be no interference on the part of any members of the industry. The money will have to be put up in advance, in escrow ... so that it will be available immediately upon the decision of the Rate Board.” Farrell asked Glynn: “Frank, will you give us your estimation of the cost of this program?” Glynn replied: “We feel the program will cost between fifty and seventy-five thousand dollars.” Then “everybody talked at once.”32
Woodcock was the first to speak out. He said in substance “that the cost of this program was completely ridiculous, out of order, out of control, and that his company would have nothing to do with a program of that size.” Barber agreed that the cost was too high saying that ''[t]he cost of this program is ridiculous, unheard of, preposterous.” Farrell also said that the “cost of this program seems to be completely out of line, but I still think we should give the matter some consideration. . . . Heath, you are on the local scene with Frank; what is your opinion?” Heath replied: “I am in general agreement with Glynn. However, *239I feel that this program could be handled for approximately half of the minimum figure, or $25,000.” Heath further said that he “did not envy the gentleman who handled the program; that the problem is to convince Mr. Hanley that $25,000 was all there was, and there was no more. It was ‘take it, or leave it.’ And, ‘... if the money was piled up in neat little piles in front of Mr. Hanley/ it was my opinion, ‘. . .he would take it/” Glynn responded to Heath “that the figure . . . [Heath] had recommended was ridiculous; such a program would fall flat on its face.” However, Woodcock affirmed Heath’s estimation saying, “At the $25,000 figure perhaps we have no choice, but I want it clearly understood that the figure is $25,000 and not one penny more, and no one is to come back at a later date and request that the figure be raised, under any conditions.” Farrell then confirmed the “program” at that price, stating that “[apparently we are in agreement on the $25,000 figure.”33
The next person to speak asked, “Who is going to handle this program?” Farrell responded, “I presume Frank [Glynn] will,” but Glynn then stated, “I will have nothing to do with such a program. I have no intention of going back to Mr. Hanley and making a fool of myself with such a proposition.” Heath also refused, saying “Not me. . . . I will have nothing to do with this. I am only giving you my impression of how it can be done. I have had no experience with Rate Boards, and I know no one on the Rate Board.” Barber then interjected: “I would like you gentlemen to consider a suggestion that I have. I believe that I might be the logical man to handle this program. Heath and Glynn have to work on a daily basis with Mr. Hanley. I am a stranger. I can come into this State of Massachusetts on a one-shot deal. If Mr. Hanley gets mad at me, there is no harm done. I will not take advantage of the entree. ... I will not step on Heath and Glynn’s toes. I *240will not stay in the state. I will come in and get out, and Mr. Heath and Mr. Glynn should have no concern over my coming in.” Glynn responded to Barber’s offer saying, “I doubt very much if Mr. Barber will have any success, but I will step aside.”34
The next question posed at this meeting concerned the apportionment of costs for the “program;” Farrell stated: “I presume we will allocate the expenses among the big three on a pro rata basis of outstandings and possibly with the smaller companies on a flat payment.”35 Subsequently, Godshall of Family and Thomasch of State stated that they did not have sufficient authority to commit their companies. Godshall said: “I have no authority to commit my company. I will report back.” Similarly, Thomasch stated: “I do not have authority to commit my .company, and I will make my report to my superiors.” Farrell then replied: “I understand, and I myself will be in contact with Mr. Whilden of Family and Mr. Winston of State Finance and Loan Company.” No other representative at the meeting asserted that he did not have authority to commit his company and the meeting ended shortly thereafter at approximately 4 p.m. 36
Previously that morning, before the meeting began, Hanley telephoned Glynn. Glynn reported this call to Heath. Later that morning Hanley again called, while the meeting was in progress, and again spoke directly to Glynn. Heath also spoke to Hanley at that time.37
Heath returned to Boston the same night and received a call from Hanley. Heath told Hanley that “a problem had arisen at the meeting; that . . . [Glynn] had dropped the ball; that . . . [Glynn] was staying over an extra day; *241and that, when he came in, undoubtedly he would fill Martin in.” 38
Toward the end of October or the beginning of November, before the commencement of the Rate Board hearings, Heath had several conversations with Hanley wherein Hanley asked, “Where is Mr. Bfirber?” Heath would say, “I haven’t the slightest idea.” Glynn was present at one of these meetings and also said, “I don’t know where he is.” Later, Glynn and Heath asked Pratt in substance, “Where is Barber? Is he coming in or isn’t he?” Pratt replied: “Mr. Barber will be in. He is tied up at the moment on other matters.”39
On November 8,1962, Heath went to Glynn’s room at the Parker House, where he was joined by Glynn, Hanley and another man. They had just had lunch together. At the room, Hanley asked Glynn to call Barber in Washington to assure him that he (Glynn) had not been interfering in the program and would not interfere. Glynn placed the call and Heath heard him say, “Hi, Nat.” At that point Hanley left the room, saying that he was going down to the Pub. Glynn told Barber that he (Glynn) had no intention of interfering in the program. The conversation lasted about twenty minutes during which Glynn’s voice became loud and he “finally slammed the phone down on the receiver.”40
In mid-November, 1962, Glynn called Heath and told him he was at the Boston Club with Garfinkle and another member of the Rate Board. Glynn “chuckled” when Heath said: “You wouldn’t be lousing things up, would you?”
*242The Rate Board hearings began on November 13, 1962. The Department of Banking, recognized as a party in interest, was represented by Hanley. He cross-examined witnesses and presented argument to the Rate Board.
During the course of the hearings in the last week of November, Heath received a call from Hanley asking Heath to meet him at the Statler Hotel. When Heath arrived, he was met by Hanley, who then left, returning about two hours later with Garfinkle. The three of them then went into á dining room to have lunch. During lunch, Heath told Garfinkle, at Hanley’s request, that during a meeting in New York Barber had been authorized to conduct negotiations on the “program” and that Glynn had no authority to negotiate. Garfinkle replied, “Thank you, Bill [Heath] I’ve been confused. Mr. Glynn has been talking to me. Mr. Hanley says he has no authority to. I realize the danger of talking to unauthorized persons.” Garfinkle then recounted an incident about a former member of the Rate Board, not related to the 1962 Rate Board, who had been promised $5,000, but never received it.41
In the latter part of November, Heath again received a call from Hanley, who said that he wanted Heath to step in and handle the program. Heath refused to do so, saying, “I have no intention and will not step into this program until at least two conditions are met: One, that Mr. Barber personally call me and inform me that he is stepping out of this program; two, that my home office call me and instruct me to step into this program.” 42
Approximately a week later, Heath received another call from Hanley. Hanley said: “Bill, Frank’s messing around has raised the ante. It is now necessary to raise another ten thousand dollars. Otherwise, the program is in danger of collapse.” Heath repeated that he would not step into *243the program until the two conditions previously mentioned had been met.43
About a week later, approximately the third week in December, Hanley again called Heath. Hanley said that the program was in danger of collapse unless another $10,000 was raised, and it was possible that the Rate Board might bring out a substantial reduction in interest which could cost the industry a considerable amount of money. Heath reiterated his previous conditions.44
About the middle of December, Heath saw Barber at a hearing at the State House.45 Barber said to him: “I just left Martin [Hanley] across the street. He is putting pressure on me to raise another $10,000. I am unable to obtain it from the original group. Do you think that Charlie McDermott and his group could raise the additional $10,000?” Heath suggested that Barber call McDermott directly to see if his group would. Heath and Barber then went to the Parker House. Barber told Heath he was going down to his room to call McDermott.46 Shortly thereafter, Glynn met Heath in the room and said he had just been drinking at the Pub with Hanley, Garfinkle and Govostes, another member of the Rate Board; Glynn suggested that Heath go back there with him. Heath accompanied Glynn back to the Pub and there they sat down with Hanley, Garfinkle and Govostes.47
During the next few days Heath met Glynn on a couple of occasions and asked him if he had “heard any more as to whether McDermott had given Mr. Barber an answer on the additional $10,000?” Glynn replied that “Charlie McDer*244mott told Mr. Barber that bis group would have nothing to do with the raising of the additional $10,000. This was a chain program, and let the chains48 handle it, and his group would have nothing to do with it.” 49
On December 27, 1962, the day the Rate Board made its decision, Glynn and Heath were in the corridor outside the hearing room where the Rate Board was meeting in executive session. Heath said: “What’s going on in there, Frank?” Glynn responded, “They’re about to adjourn the hearings, and they are placing the responsibility for such adjournment upon Martin.” Heath stated that it seemed peculiar to him that Hanley “would stand still for this.” 50 That same day, after the Rate Board hearing had been opened to the public, the chairman of the Rate Board stated: “On the basis of the record, and particularly the request of Mr. Hanley, representing the Banking Department, the . . . [Rate Board] by unanimous vote hereby terminates this hearing.” 51 Thus, the Rate Board concluded its hearings at that time without changing the existing interest rates on loans between $1,501 and $3,000.
During the first week in January, 1963, Heath asked Glynn whether “Mr. Barber had come into Massachusetts to deliver the package?” Glynn said that Barber had not.52
*245There was further testimony from one Jerome Troy, judge of the Municipal Court of the Dorchester District, that he was a long-time friend of Hanley’s, and that he and Hanley went to Washington together on or about January 22, 1963. They stayed at the Wardman Park Hotel and the bill was paid for by Household. While in Washington Hanley and Troy visited the offices of one of the finance companies and had lunch with two men, one of whom Troy had met at the finance company office.
Shortly after this trip, Heath met Glynn and asked him if Barber had come to Boston and delivered the “package” to Hanley. Glynn replied, “No, he did not come in, but Marty [HanleyJ and Jerry Troy went down to Washington, at which time the package was delivered.” 53
Approximately nine months later, in September, 1963, Pratt telephoned Heath and told him that Barber was in town and would like to talk to him (Heath). Pratt said: “We are at the Statler Hotel. Will you come over and join us?” Heath replied that he would, and later met Barber at the hotel. Barber told him that Hanley and Troy had been in Washington and that he (Barber) had taken them to lunch. Heath asked, “Was that $25,000 mission ever completed?” Barber replied: “Yes, it was.” “For once American . . . brought in their proportional share early.”
The above evidence comprises most of the essential testimony and exhibits presented to the jury in the first trial. Other pertinent evidence not recited above which is particularly applicable to the case of a specific defendant or which relates to a specific issue will be recounted in the portion of the opinion where such issue is discussed. In certain instances, because of the many issues involved in these appeals, there will be some degree of overlapping and restatement of evidence.
*246B. The Sufficiency Of The Evidence.
The Individual Defendants.
1. Pratt — The first issue we treat with concerns the sufficiency of the evidence to link Pratt to the alleged conspiracy. The evidence initially admitted against Pratt, and offered as tending to connect him to the conspiracy may be divided into four categories: (1) Evidence concerning Pratt’s position and duties in connection with his employment by Household Finance Corporation; (2) His meeting with Heath and Glynn at Purcell’s restaurant within one week before the Commodore Hotel meeting; (3) The general industry meeting of October 17, 1962, at the Commodore Hotel in New York City; and (4) The incident in early November, 1962, when Pratt told Glynn, “Barber is tied up but he will be in.”
The first category of evidence shows that Pratt came to Massachusetts in 1959 as Household’s regional director for public relations in New England. As part of his duties, Pratt kept in touch with members of the Legislature and personnel in both the Department of Banking and the small loans division. He presented to them Household’s position on legislative and regulatory matters, visited the State House, and attended the hearings of legislative committees. He also attended certain hearings of the Department of Banking, the Rate Board, and was present at a meeting of the small loans division. Early in 1962, Barber became Pratt’s superior and Pratt reported to Barber once a week by mail. Pratt informed Barber where he (Pratt) had been and to whom he had talked.
Pratt associated with Glynn of Beneficial and Heath of American. Glynn and Heath helped Pratt make out his reports. These three men constituted an “unofficial committee,” with Glynn as “sort of a chairman,” so that each of them might check with the others on matters of mutual interest. Heath and Glynn kept Pratt informed about matters of which Pratt might otherwise have had no knowledge. Pratt attended at least one function at which Hanley *247was present and also had luncheons with Hanley, Heath and Glynn once or twice a year. On such occasions the bill was divided among the public relations men present and Pratt paid Household’s pro rata share.
The second category of evidence concerns the meeting at Purcell’s restaurant. In its brief, the Commonwealth chooses not to rely on this evidence in trying to link Pratt to the conspiracy in view of the fact that the defendants Pratt, Glynn, Barber, Farrell, Hanley, Woodcock, Liberty, Household and Beneficial all argue that they are entitled to a new trial on the ground that Heath’s expense vouchers covering the period in which the luncheon took place were not disclosed to them by the Commonwealth until after the first trial had been completed. This issue is discussed infra, p. 315 of this opinion wherein we conclude that there was no error in the admission of this evidence and that the defendants are not entitled to a new trial on this ground. Therefore, we recite that part of the evidence concerning this meeting as it relates to Pratt’s participation in the conspiracy.
Heath met Glynn and Pratt at Haley’s restaurant in Boston and the three of them then went to Purcell’s restaurant for lunch. This occurred approximately one week before the meeting in New York. Glynn began to discuss the forthcoming meeting in New York and said: “We are going up to this New York meeting. They will expect us to make recommendations. We should present a united front, if possible, so let’s see if we are in agreement. We do not know whether the industry will decide upon a program or not. If they do decide upon a program, we should have a united front.” Heath and Pratt each agreed that they should present a united front on the presentation of a “program.” But when Glynn suggested a program costing between $50,000 and $75,000, Pratt said: “You will never sell that size program to the industry.” After further discussion concerning the recommendations that they would make in New York, Pratt said: “We are in agreement.” The discussion then turned to the fact that Hanley was the “key *248figure in this program.” Pratt agreed with this analysis of the situation and said: “We will have to have at least three votes of the Board.”
The third category of evidence shows that on October 17, 1962, Pratt attended the meeting at the Hotel Commodore in New York City. All of those present were active in the small loans industry, including Barber, Pratt’s superior, Farrell of Beneficial, and others. At least one of the purposes of the meeting as announced by Farrell, the meeting’s chairman, was to review the preparations for the forthcoming Rate Board hearing and to determine whether to adopt a Rate Board “program.” Farrell said in substance: “We now have another decision to make, gentlemen, and that is whether we should consider conducting a program to insure a favorable decision by the Rate Board, or should we go on the merits?”
In response to Farrell’s statement, Glynn said: “‘Hanley is putting pressure on us. When we return from this meeting, we must have an answer on this subject. . . . There seems to be no formal preparation for a rate hearing,’ and . . . those of us on the local scene would come to the conclusion that a program should be adopted.” Heath agreed with Glynn that a program should be adopted. There is no evidence that Pratt, the third member of the “unofficial committee” on the “local scene” said or did anything during this discussion. However, he did not disavow any aspect of the obvious conspiratorial plan. Other details of this meeting we have previously recounted and we do not repeat them. In substance, the evidence shows that a plan was agreed upon to pay Hanley $25,000 and that Barber, Pratt’s superior, agreed to come into “Massachusetts on a one-shot deal” as a stranger and “handle this program.”
The fourth and last category of evidence involves a statement made by Pratt during the first week in November, shortly before the commencement of the Rate Board hearing. Pratt met with Heath and Glynn and each of them inquired about Barber. Heath said: “Is he coming in or *249isn’t he?” Pratt replied, “Mr. Barber will be in. He is tied up at the moment on other matters.”
Pratt argues, in essence, that this evidence was insufficient to link him to the alleged conspiracy because “he neither said nor did anything at all which in any way advanced the object of the conspiracy or could be construed as a promise to do so.” On the other hand, the Commonwealth argues that there is evidence of affirmative action by Pratt in furtherance of the conspiracy and that even had there been no evidence of an affirmative act on the part of Pratt, his “knowing acquiescence” in and agreement to the plans of the other conspirators was sufficient. On this latter point, the Commonwealth relies on the case of Commonwealth v. Favulli, 352 Mass. 95, 113.
The principles which are determinative of the offence of conspiracy are well settled. In the oft cited case of Commonwealth v. Hunt, 4 Met. 111, 123, Chief Justice Shaw, in a classic passage, stated the definition of conspiracy to be a “combination of two or more persons, by some concerted action, to accomplish some criminal or unlawful purpose, or to accomplish some purpose, not in itself criminal or unlawful, by criminal or unlawful means.” The requirement of “ concerted action” does not mean that either one or all of the conspirators must commit some overt act in furtherance of the unlawful agreement. “[T]he offence is complete, when the confederacy is made, and any act done in pursuance of it is no constituent part of the offence, but merely an aggravation of it.” Commonwealth v. Judd, 2 Mass. 329, 337. However, “it may be assumed that mere knowledge of an unlawful conspiracy is not sufficient to make one a member of it, but that he must actively participate therein and must do something in furtherance of it before he is liable as a member.” Commonwealth v. Beal, 314 Mass. 210, 222. Accord, United States v. Falcone, 311 U. S. 205. Thomas v. United States, 57 F. 2d 1039 (10th Cir.).
Although the need for concerted action or active participation requires actual commitment to the conspiratorial plan, contrary to the contention of the defendant it is not *250necessary that one play an active role in the actual execution of the object of the conspiracy. The language in the Beal case, swpra, that one “must do something in furtherance of it” we construe to mean simply that one must be shown to have at least communicated to other conspirators his willingness to join in the conspiracy. The very fa,ct that one gives his affirmative acquiescence to the object of a conspiracy may in many cases be doing “something in furtherance of it.” A particular defendant’s participation in a conspiracy may be proved where his approval of the plan stimulates the activities of others to carry out the conspiracy, even though his participation does not involve an overt act, such as the handing of bribe money to a public official. In this context, the line that separates mere knowledge of the fact that a conspiracy exists from participation in the conspiracy is often vague and uncertain. It is within the province of the jury to determine from the evidence whether a particular defendant had crossed that line. Egan v. United States, 137 F. 2d 369, 378.
In the present case, there is ample evidence that Pratt agreed to participate in a plot, euphemistically characterized as a “program,” to bribe Hanley. As one of the three members of the “unofficial committee” Pratt agreed at the meeting at Purcell’s that this “committee” should present a “united front” concerning their recommendations on the adoption of a “program.” He agreed that a “program” should be adopted, only disputing the amount to be contributed. The fact that he remained silent at the New York meeting where the “program” was formulated and the conspiracy completed is inconsequential. It is not unreasonable to assume that Glynn as “chairman” of the “unofficial committee” could be expected to present their views as he did and that Barber, as Pratt’s superior, would speak on behalf of Household. The previous agreement among Glynn, Pratt and Heath at Purcell’s, Pratt’s presence and silent acquiescence at the Commodore meeting, and his statement that “Mr. Barber will be in,” constitute sufficient evidence of affirmative conduct to link him to the conspiracy.
*251Even should we assume, as Pratt argues, that there is no direct evidence of his agreement to join in the conspiracy he would not be absolved of his participation therein. “A conspiracy may be proved by circumstantial evidence, and this is the usual mode of proving it, since it is not often that direct evidence can be had. The acts of different persons who are shown to have known each other, or to have been in communication with each other, directed towards the accomplishment of the same object, especially if by the same means or in the same manner, may be satisfactory proof of a conspiracy.” Attorney Gen. v. Tufts, 239 Mass. 458, 494.
Having concluded that there is evidence of affirmative conduct by Pratt, we do not consider here whether “knowing acquiescence” in the circumstances of this case is sufficient to link Pratt to the conspiracy. This issue and the Favulli case, supra, with respect to it were discussed at length in the briefs. We hold that the judge’s instructions to the jury on this point were correct (infra, p. 303) and discern no reason for further comment relative thereto.
The evidence originally admitted against Pratt was sufficient, as matter of law, to warrant the admission in evidence against Pratt of the acts, knowledge and statements of the other conspirators. There was no error in the denial of Pratt’s motion for a directed verdict. Commonwealth v. Stasiun, 349 Mass. 38, 51.
2. Woodcock — Woodcock, an executive vice-president and director of Liberty, is the only other individual contesting the sufficiency of the evidence to charge him with the conspiracy. The essence of his argument is that the Commodore Hotel meeting amounted to only an “inchoate agreement” with each of the participants having to go back and report to his respective corporation and that none of the individuals present had the authority to bind their corporations. On this basis Woodcock argues that the only evidence allegedly incriminating him is one statement that he made at the Commodore Hotel meeting, which tends to prove, if anything, that the agreement was never consummated.
*252In the following part of this opinion we discuss whether Woodcock and the other participants in the Commodore Hotel meeting had the authority to speak on behalf of their corporations. Here, we confine our discussion to whether the evidence was sufficient to permit a finding that Woodcock conspired as an individual to bribe a public official.
The evidence concerning Woodcock shows that he was present at the Commodore Hotel when Farrell brought up the subject of a “program to insure a favorable decision by the Rate Board.” After Glynn reported that the program would cost between “fifty and seventy-five thousand dollars,” Woodcock said that “this program was completely ridiculous, out of order, out of control, and that his company would have nothing to do with a program of that size.” Further discussion ensued and Heath said that “this program could be handled for . . . $25,000.” With the amount hanging in the balance, Woodcock then said: “At the $25,000 figure perhaps we have no choice, but I want it clearly understood that the figure is $25,000 and not one penny more, and no one is to come back at a later date and request that the figure be raised, under any conditions.” Farrell then responded: “Apparently we can agree on the $25,000.”
The above evidence clearly supports a finding that Woodcock knowingly and intentionally agreed with Farrell, Glynn, Barber and Pratt to bribe Hanley. In the context of the discussion, Woodcock’s statements that “we have no choice” and “I want it clearly understood that the figure is $25,000 and not one penny more” is more than sufficient “to support a fair inference of the existence of a conspiracy.” Commonwealth v. Benesch, 290 Mass. 125, 132-133. The judge properly admitted evidence of the acts, knowledge and statements of other conspirators against Woodcock. The judge was correct in denying Woodcock’s motion for a directed verdict. Commonwealth v. Riches, 219 Mass. 433, 438.
*253C. The Sufficiency of the Evidence.
The Corporate Defendants.
Having concluded that the evidence was sufficient to establish that the defendants Pratt and Woodcock were part of a conspiracy joined in by Farrell, Glynn and Barber to bribe Hanley and Garfinkle, we turn to the question of whether there was sufficient evidence to support a finding that Beneficial, Household, and Liberty were parties to the conspiracy. Each of the corporate defendants raised this issue by means of a motion for a directed verdict. In view of the fact that this issue is discussed extensively in the briefs of the respective corporate defendants as well as in the Commonwealth’s brief,54 and because the legal principles involved permeate these cases, in this part of the opinion we discuss at length the applicable legal standards concerning the extent to which a corporation may be held criminally responsible for the acts of its directors, officers and agents. We then summarize the evidence admitted against the respective corporations and apply the appropriate legal standard to the evidence. We also note here that in their pre-trial briefs three of the corporate defendants raised the question whether the Superior Court had jurisdiction over them. Since we disposed of the defendant’s jurisdictional contentions in the pre-trial portion of this opinion on the ground that these contentions essentially involve the sufficiency of the evidence to charge the foreign corporate defendants with the acts of the respective individual defendants, we herewith treat the jurisdictional question on that basis.
With this in mind, perhaps it would be helpful at this *254point to briefly summarize the relationships between the various corporate defendants and individual defendants: (1) Household was held criminally responsible, in part, for the criminal conduct of Barber and Pratt. Barber and Pratt were employees of Household, but were neither directors nor officers. (2) Liberty was held liable, in part, for the criminal acts of Woodcock, who was one of Liberty’s two executive vice-presidents and one of its eleven directors. (3) Beneficial was held criminally responsible, in part, for the conduct of Farrell and Glynn who were neither directors, officers nor employees of that corporation. Farrell was a vice-president and Glynn was an employee of Beneficial Management, a wholly owned subsidiary of the defendant, Beneficial. Other evidence pertaining to the criminal responsibility of the corporate defendants will be summarized as we treat with each of them.
1. Standards of Criminal Responsibility — The defendants and the Commonwealth have proposed differing standards upon which the criminal responsibility of a corporation should be predicated. The defendants argue that a corporation should not be held criminally hable for the conduct of its servants or agents unless such conduct was performed, authorized, ratified, adopted or tolerated by the corporations’ directors, officers or other “high managerial agents” who are sufficiently high in the corporate hierarchy to warrant the assumption that their acts in some substantial sense reflect corporate policy. This standard is that adopted by the American Law Institute Model Penal Code, approved in May, 1962. Section 2.07 of the Code provides that, except in the case of regulatory offences and offences consisting of the omission of a duty imposed on corporations by law, a corporation may be convicted of a crime if “the commission of the offence was authorized, requested, commanded, performed or recklessly tolerated by the board of directors or by a high managerial agent acting in behalf of the corporation within the scope of his office or employment.” The section proceeds to define “high managerial agent” as “an officer of a corporation . . . or any other *255agent . . . having duties of such responsibility that his conduct may fairly be assumed to represent the policy of the corporation.” 55
The Commonwealth, on the other hand, argues that the standard applied by the judge in his instructions to the jury was correct. These instructions, which prescribe a somewhat more flexible standard than that delineated in the Model Penal Code, state in part, as follows: “[T]he Commonwealth must prove beyond a reasonable doubt that there existed between the guilty individual or individuals and the corporation which is being charged with the conduct of the individuals, such a relationship that the acts and the intent of the individuals were the acts and intent of the corporation. Or, to put it differently, the Commonwealth must prove beyond a reasonable doubt that when the individuals were acting criminally in committing the acts which constitute the crime, and in having the intent required for the crime, the corporation was actually so acting and intending, and therefore is criminally liable. The Commonwealth must prove that.
“How is that to be shown? How is the jury to determine whether the Commonwealth has proved that? First let me say that the Commonwealth does not have to prove that the individual who acted criminally was expressly requested or authorized in advance by the corporation to do so, nor must the Commonwealth prove that the corporation expressly ratified or adopted that criminal conduct on the part of that individual or those individuals. It does not mean that the *256Commonwealth must prove that the individual who acted criminally was a member of the corporation’s board of directors, or that he was a high officer in the corporation, or that he held any office at all. If the Commonwealth did prove that an individual for whose act it seeks to hold a corporation criminally liable was an officer of the corporation, the jury should consider that. But more important than that, it should consider what the authority of that person was as such officer in relation to the corporation. The mere fact that he has a title is not enough to make the corporation liable for his criminal conduct. The Commonwealth must prove that the individual for whose conduct it seeks to charge the corporation criminally was placed in a position by the corporation where he, had enough power, duty, responsibility and authority to act for and in behalf of the corporation to handle the particular business or operation or project of the corporation in which he was engaged at the time that he committed the criminal act with power of decision as to what he would or would not do while acting for the corporation, and that he was acting for and in behalf of the corporation in the accomplishment of that particular business or operation or project, and that he committed a criminal act while so acting.
“The Commonwealth must prove all that beyond a reasonable doubt before you can hold a corporation criminally liable or guilty by reason of the criminal acts or conduct of an individual.
“You will note from what I said that it is not necessary that the Commonwealth prove that an individual had any particular office or any office at all or that he had any particular title or any title at all. It isn’t the title that counts. It isn’t the name of the office that counts, but it’s the position in which the corporation placed that person with relation to its business, with regard to the powers and duties and responsibilities and authority which it gave to him which counts. If it placed him in a position with such power, duty, authority, and responsibility that it can be found by you that, when he acted in the corporation’s business, the *257corporation was acting, then you may find the corporation equally guilty of the criminal acts which he commits and of the intent which he holds, if you first find that the individual was guilty of the crime.
“Now, this test doesn’t depend upon the power, duty, the responsibility, or the authority which the individual has with reference to the entire corporation business. The test should be applied to his position with relation to the particular operation err project in which he is serving the corporation” (emphasis supplied).
The difference between the judge’s instructions to the jury and the Model Penal Code lies largely in the latter’s reference to a “high managerial agent” and in the Code requirement that to impose corporate criminal liability, it at least must appear that its directors or high managerial agent “authorized ... or recklessly tolerated” the allegedly criminal acts. The judge’s instructions focus on the authority of the corporate agent in relation to the particular corporate business in which the agent was engaged. The Code seems to require that there be authorization or reckless inaction by a corporate representative having some relation to framing corporate policy, or one “having duties of such responsibility that his conduct may fairly be assumed to represent the policy of the corporation.” Close examination of the judge’s instructions reveals that they preserve the underlying “corporate policy” rationale of the Code by allowing the jury to infer “corporate policy” from the position in which the corporation placed the agent in commissioning him to handle the particular corporate affairs in which he was engaged at the time of the criminal act. We need not deal with the Model Penal Code in greater detail. Although we give it careful consideration (see e.g. Commonwealth v. McHoul, 352 Mass. 544, 547-555) as a scholarly proposal, it has not been enacted in Massachusetts and does not purport to be a restatement of existing law. It is not clear (see fn. 55, supra) that if the Code had been in effect in Massachusetts, when the acts alleged and proved were *258committed, the corporate defendants would have been in a better situation, in view of the proof here of concerted criminal conduct (in a “program” designed to be of benefit to finance companies) by plainly significant representatives of three or more competing financing companies and the sums involved. We do not consider whether the circumstances would permit inferences of facts constituting a violation of the Code. The judge correctly charged the jury on the basis of decided cases, rather than on the basis of a proposed model code.
It may also be observed that the judge’s standard is somewhat similar to the traditional common law rule of respondeat superior. However, in applying this rule to a criminal case, the judge added certain requirements not generally associated with that common law doctrine. He further qualified the rule of respondeat superior by requiring that the conduct for which the corporation is being held accountable be performed on behalf of the corporation. This factor is noted as important in the commentary to § 2.07 (1) of the Model Penal Code. It may well be that there is often little distinction between an act done on behalf of a principal and an act done within the scope of employment, which is the traditional requirement of the doctrine of respondeat superior. Nevertheless, in the circumstances of this case it might reasonably be concluded that the explicit instruction of the judge that the jury look to the authority vested in the agent by the corporation to act within the particular sphere of corporate affairs relating to the criminal act, together with the explicit instruction that such act be performed on behalf of the corporation, required, in effect, the type of evidence which would support an inference that the criminal act was done as a matter of corporate policy. We deem this to be a valid conclusion, especially in view of the quantum of proof required in a criminal case in order to prove guilt beyond a reasonable doubt.
The defendants seek to make the question of corporate criminal responsibility one of first impression in this Com*259monwealth. They argue that there is “no Massachusetts case” dispositive of the question as to when a corporation may be held criminally liable for the acts of its servants or agents where the offence is one which involves specific intent. Conversely, the Commonwealth contends that the standard applied by the judge was expressed long ago in the case of Telegram Newspaper Co. v. Commonwealth, 172 Mass. 294, 299. This case, it is argued, serves as precedent for the rule that corporate criminal responsibility can be predicated on the acts of an agent who is neither a director nor an officer of the corporation.
In seeking to resolve the adverse contentions posed above, and in order to formulate a correct standard in the perspective of precedence, we think it would be helpful at this point to review the decisions in this Commonwealth as well as cases in other jurisdictions which in some way deal with this issue. No Massachusetts case has been brought to our attention involving the prosecution of a corporation for bribery or for criminal conspiracy, although there have been cases holding corporations civilly liable for conspiracy. E.g. Aberthaw Constr. Co. v. Cameron, 194 Mass. 208, 213; Lovejoy v. Bailey, 214 Mass. 134, 153; Potter Press v. C. W. Potter, Inc. 303 Mass. 485, 493. In fact, there appear to be only four reported instances in this Commonwealth where a corporation has been sought to be held liable for a classic common law crime.
The first is the Telegram case, supra, which involved the conviction of two newspaper publishing corporations for criminal contempt. The corporations published articles relating to a pending trial in the Superior Court. The treasurer and manager of one newspaper and the editor and publisher of the other were discharged in the trial court “on the ground that they were not shown to be directly responsible for the publications.” Telegram Newspaper Co. v. Commonwealth, 172 Mass. 294, 299. The Superior Court made no finding whether “there was an intent to influence the trial of the cause referred to on the part of anybody,” and this court assumed “that the person or persons who wrote and caused *260the articles to be published . . . acted without any intent to prevert the course of justice.” Ibid. Having made this assumption the court framed the basic issue in the case as follows: “As the only intent which can be imputed to the corporations is the intent of its officers or agents, the question is whether the publication of these articles without any intent to pervert the course of justice can be adjudged a contempt.” Ibid. Despite the fact that there was no evidence that any officer or director of the defendant corporations either authorized or ratified the publications, which were written by a subordinate employee (a reporter), the court affirmed the convictions.
In the present case, the. judge treated the Telegram case as “persuasive authority for the rule that there can be corporate criminal responsibility for the actions of an agent who is neither a Director nor an officer of the corporation.” Household, however, argues that the Telegram case was a case of strict liability involving a crime which did not require specific intent and that there is a sharp distinction between the violation of regulatory or “public welfare” statutes and common law crimes which are mala in se as charged here. It is argued that this dichotomy exists throughout the criminal law relating to corporate criminal responsibility and that this Commonwealth only has cases dealing with the so called public welfare offences.
We note that although there is language in the Telegram case which is somewhat ambiguous, and tends to obscure whether specific intent was a requisite element in that case, Professor Ballantine has stated, in his discussion of the criminal liability of corporations, that the Telegram case “involves a specific intent as a necessary element.” Ballantine, Private Corporations, 311 (1927). In any event, we think it is clear that the crime of criminal contempt cannot be equated to minor regulatory offences such as a parking violation and that the judge properly applied it as precedent for the rule that a corporation can be held criminally responsible for the acts of one who is neither a director nor officer. The Model Penal Code, § 1.04 (Proposed Official *261Draft), defines “violations” as offences which do not carry the penalty of imprisonment, and includes only petty of-fences and the Supreme Court of the United States has recognized that criminal contempt is not a petty offence. Bloom v. Illinois, 391 U. S. 194, 207. In addition, it is a crime generally included in that class of offences which are mala in se. See Anderson, Wharton’s Criminal Law & Procedure, § 53 at p. 121-122.
The most recent case in this Commonwealth dealing with the prosecution of a corporation for a common law crime also involved criminal contempt. In Worcester Tel. & Gazette, Inc. v. Commonwealth, 354 Mass. 578, 581, we held that conviction of a newspaper corporation and of a reporter for criminal contempt violated their First Amendment rights of freedom of the press and speech where the publication was not made with wilful design to affect a trial and did not present a clear and present danger to the administration of justice. In view of the fact that this Telegram case was decided on Federal constitutional grounds it did not involve the question of corporate criminal responsibility and therefore sheds no light on the question.
The third case is Commonwealth v. Louis Constr. Co. Inc. 343 Mass. 600, in which a corporation and its president, treasurer and sole stockholder were convicted of larceny. Without alluding to the question of corporate criminal responsibility, we there held that the evidence was insufficient to warrant the convictions.
The fourth case we have found involving the prosecution of a corporation for a crime involving specific intent is Commonwealth v. Abbott Engr. Inc. 351 Mass. 568, in which a corporation was convicted of larceny, along with the chairman of the board of directors. The chairman had full control of the corporation and all of its transactions, and his wife owned all of the corporation’s stock. The convictions were affirmed, but the question of the corporation’s liability was not argued on appeal nor mentioned in the opinion. The focal point of the decision was the responsibility of an individual for the acts of a corporation which the *262court found to be the individual’s agent. The court stated that “[V]here a principal is in full control and participates in an agent’s act by close direction and assent, principal criminal responsibility attaches to him.” Commonwealth v. Abbott Engr. Inc., supra, at 580.
The Abbott case is akin to a long line of decisions in this Commonwealth holding that before criminal responsibility can be imposed on the master, based on a master-servant relationship under the doctrine of respondeat superior, actual participation in, or approval of, the servant’s criminal act must be shown. The first case we discovered considering this question was Commonwealth v. Nichols, 10 Met. 259, in which a store owner was convicted of selling liquor without a license when his servant actually made the sale. The court ruled as follows: “The question here raised as to the liability of the principal to be punished criminally for the acts of his agent or servant, in which he does not directly participate personally, is certainly not free from difficulty. As to civil liabilities, a broader and more general principle of responsibility applies, and the master or principal may be held to answer in damages for default and misdoings with which he had no other connexion than that which arises from the fact that the injury was occasioned by one employed in his service. As a general rule, something beyond this is necessary to charge the master criminally for acts done by the servant. There must be such a direct participation in the act, or such assent and concurrence therein, as would involve him morally in the guilt of the action. Hence the cases are comparatively rare, and may be considered as exceptions to the general rule, where by legal rules a party is charged criminally for acts of his servant done without his knowledge and assent. . . . But if a sale of liquor is made by the servant without the knowledge of the master, and really in opposition to his will, and in no way participated in, approved or countenanced by him, and this is clearly shown by the master, he ought to be acquitted.” Pp. 260-263.
*263Other cases involving the illegal sale of liquor by a servant are Commonwealth v. Putnam, 4 Gray, 16, Commonwealth v. Uhrig, 138 Mass. 492, Commonwealth v. Wachendorf, 141 Mass. 270, Commonwealth v. Briant, 142 Mass. 463, Commonwealth v. Stevenson, 142 Mass. 466, Commonwealth v. Hayes, 145 Mass. 289, and Commonwealth v. Books, 150 Mass. 59. In each of these cases the court reiterated the rule that the mere fact of agency is not enough to impose criminal liability on the master. In Commonwealth v. Stevens, 153 Mass. 421, 429, another illegal liquor case, the court phrased the rule as requiring that the master “in some way participates in, countenances, or approves the criminal act of his servant.”
Each of the above cases involved crimes which are mala prohibita as opposed to crimes which are mala in se. However, it appears that in cases which are generally classified as mala in se, the above rule was not changed. For example, in Commonwealth v. Anthony, 306 Mass. 470, a case in which one partner was sought to be held hable for the larcenous acts of another partner, the above rule was cited at p. 478 of the opinion. See Commonwealth v. Welansky, 316 Mass. 383, 402, and Commonwealth v. Abbott Engr. Inc., supra, 580.
The thrust of each of the cases cited above involving a human principal is that it is fundamental to our criminal jurisprudence that for more serious offences guilt is personal and not vicarious. “One is punished for his own blameworthy conduct, not that of others.” Commonwealth v. Stasiun, 349 Mass. 38, 48, citing Perkins, Criminal Law, 550, and Sayre, Criminal Responsibility for the Acts of Another, 43 Harv. L. Rev. 689. Professor Sayre’s article is heavily relied on by Beneficial for the proposition that the considerations proposed by Sayre apply with equal weight to corporations. However, we do not think that the Sayre article, or the rule in the master-servant cases, is helpful to these corporations. The essence of Sayre’s discussion is that, as to certain crimes, a theory of vicarious liability is an inadequate basis for imposing criminal liability on a natural *264person who can suffer imprisonment or ignominy for the acts of his agents. Id. at 722-723. (We, too, have recently rejected the concept of individual guilt by mere association. Commonwealth v. Pina, ante 139, 143.) In fact, Professor Sayre explicitly refrains from dealing with the problem of imposing corporate criminal liability when he states: “The problem of the criminal liability of a corporation for the acts of corporate agents depends upon a consideration of two quite distinct problems, one a problem of agency, and the other a problem of the law of corporations. The first involves the general question of criminal responsibility for the acts of another. Would the principal be criminally liable for the acts of the agent if the principal were a natural person instead of a corporation? The second problem involves the entirely distinct question of when the acts and intent of a natural person, for example of a vice-president or general manager, are to be treated as those of the corporation itself. In . . . [this article], only the first of these two problems is considered.” Sayre, Criminal Responsibility for the Acts of Another, 43 Harv. L. Rev. 689.
As alluded to by Professor Sayre, and pointed out by the Commonwealth in its brief, the very nature of a corporation as a “person” before the law renders it impossible to equate the imposition of vicarious liability on a human principal with the imposition of vicarious liability on a corporate principal. “A corporation can act only through its agents. . . . [C]orporate criminal liability is necessarily vicarious.” Note, Criminal Liability of Corporations for Acts of Their Agents, 60 Harv. L. Rev. 283. See Francis, Criminal Responsibility of the Corporation, 18 Ill. L. Rev. 305, 308; Lee, Corporate Criminal Liability, 28 Col. L. Rev. 1, 13. Since a corporation is a legal fiction, comprised only of individuals, it has no existence separate and distinct from those whom it has clothed with authority and commissioned to act for it whether such individuals are directors, officers, shareholders or employees. Thus, the issue is not whether vicarious liability should be imposed on a corporation under the “direct participation and assent rule” of the master-*265servant cases cited above, but rather, whether the acts and intent of natural persons, be they officers, directors or employees, can be treated as the acts and intent of the corporation itself. For the foregoing reasons, despite the strenuous urging of the defendants, we are unconvinced that the standard for imposing criminal responsibility on a human principal adequately deals with the evidentiary problems which are inherent in ascribing the acts of individuals to a corporate entity.
Since we have exhausted our review of Massachusetts cases in point, we turn to cases in other jurisdictions discussing the problem of corporate criminal responsibility. We note, however, that in view of the fact that the crimes alleged here, namely, conspiracy and the substantive of-fences of bribery, are mala in se, we necessarily exclude discussion of those cases which dearly involve “public welfare” offences by a corporation, unless such cases cast some insight into the question before us. Generally, these cases concern public nuisances resulting from the nonperformance of a nondelegable duty, rather than the rule of respondeat superior. Cardozo, J., People ex rel. Price v. Sheffield-Farms-Slawson-Decker Co. 225 N. Y. 25, 27-30.56
*266We first treat with the case of New York Cent. & H. R. R.R. v. United States, 212 U. S. 481, a case relied upon by both the judge and the Commonwealth. There, the Supreme Court of the United States upheld the constitutionality of a statute which specifically made corporations liable for the acts of their officers, agents or employees acting within the scope of their employment. The statute in question prohibited shippers from receiving rebates from common carriers and specifically provided as follows: “In construing and enforcing the provisions of this section the act, omission, or failure of any officer, agent, or other person acting for or employed by any common carrier acting within the scope of his employment shall in every case be also deemed to be the act, omission, or failure of such carrier as well as that of the person.” 32 Stat. 847-848, § 1. Citing the Telegram case, 172 Mass. 294, supra, among others, the court made a number of pertinent observations and rulings from which we quote at some length: “A corporation is held responsible for acts not within the agent’s corporate powers strictly construed, but which the agent has assumed to perform for the corporation when employing the corporate powers actually authorized, and in such cases there need be no written authority under seal or vote of the corporation in order to constitute the agency or to authorize the act. . . . We see no valid objection in law, and every reason in public policy, why the corporation which profits by the transaction, and can only act through its agents and officers, shall be held punishable by fine because of the knowledge and intent of its agents to whom it has intrusted authority to act in the subject matter of making and fixing rates of transportation, and whose knowledge and purposes may well be attributed to the corporation for which the agents act. While the law should have regard to ttie rights of all, and to those of corporations no less than to those of individuals, it cannot shut its eyes to the fact that the great majority of business transactions in modern times are conducted through these bodies, and particularly that interstate commerce is almost entirely *267in their hands, and to give them immunity from all punishment because of the old and exploded doctrine that a corporation cannot commit a crime would virtually take away the only means of effectually controlling the subject matter and correcting the abuses aimed at.” Pp. 493-496. The court concluded that “[Vjpplying the principle governing civil liability, we go only a step farther in holding that the act of the agent, while exercising the authority delegated to him to make rates for transportation, may be controlled, in the interest of public policy, by imputing his act to his employer and imposing penalties upon the corporation for which he is acting in the premises.” Supra, p. 494.
Household argues that the New York Central case is one in which Congress clearly dispensed with the necessity of proving corporate intent and is therefore distinguishable from the case before us. While we agree that the thrust of the opinion in that case is addressed to the constitutionality of the statutory imputation of the agent’s acts to the corporation, we think that the case falls outside the class of offences generally denominated as “public welfare” offences and is akin to the Telegram case in that it serves as precedent for the proposition that a corporation may be held criminally responsible for the acts of one who is neither a director, officer nor “high managerial agent” of the corporation. In this regard, the case illustrates the public policy rationale for imposing vicarious liability upon a corporation and thus warranting the treatment of corporations in a manner different from that of individuals for the acts of their agents. This rationale was subsequently developed and applied in lower Federal court cases which dealt with crimes requiring specific intent. These cases are discussed infra and each cited and applied the rule of the New York Central case.
In the often cited case of Egan v. United States, 137 F. 2d 369, 379 (8th Cir.), a case similar in many aspects to the ones before us, a public utility holding corporation *268and its president were convicted of conspiracy to violate statutes prohibiting public utilities from making political contributions. The corporation attacked the sufficiency of the evidence to impute criminal responsibility to it on the ground that the acts of its officers in making the political contributions were not shown to be authorized by the corporation either by an express or an implied act of the board of directors. In its opinion, the court set forth the gist of the judge’s charge to the jury and noted that this charge was “manifestly based upon the opinion of the Supreme Court in New York Cent. & H. R.R. v. United States, 212 U. S. 481 . . ..” Upholding the instructions to the jury, the court said: “The test of corporate responsibility for the acts of its officers and agents, whether such acts be criminal or tortious, is whether the agent or officer in doing the thing complained of was engaged in ‘employing the corporate powers actually authorized’ for the benefit of the corporation ‘while acting within the scope of his employment in the business of the principal.’ If the act was so done it will be imputed to the corporation whether covered by the agent or officer’s instructions, whether contrary to his instructions and whether lawful or unlawful. . . . The court is not concerned with whether political contributions were authorized by a resolution of the board of directors or acquiesced in by a majority of the board. Our inquiry concerns only the powers of the corporation, the business it Was authorized to carry on in the exercise of those powers, and whether the officers of the company in making political contributions were engaged in carrying on that business within the scope of their official duties.” Egan v. United States, supra, at 379.
Another Federal case applying the above standard is C. I. T. Corp. v. United States, 150 F. 2d 85 (9th Cir.). This case is significant in that a large national money lending corporation was held criminally responsible for the criminal acts of a minor branch manager. The corporation was convicted of conspiracy to make false credit statement applications to the Federal Housing Administration, a crime *269which under the statute specifically required the element of knowledge. On appeal, the corporation argued that the branch manager was too low in the corporate hierarchy and that he had no corporate power to commit the acts complained of with the criminal intent imputable to the corporate entity. In refuting this argument the court said: “We do not agree. It is the function delegated to the corporate officer or agent which determines his power to engage the corporation in a criminal transaction.” P. 89. The court then discussed the delegation of authority to the branch manager and after quoting at length from the New York Central case, observed that although that case required no showing of a criminal intent, “the principle it states has been accepted in the circuits as controlling in corporate crimes in which intent is an essential factor” (emphasis supplied). Supra, at 90. The court then cited various cases from different circuits and specifically ruled that “[w]e do not regard any of these cases distinguishable from the instant case because the corporate function criminally performed was vested in an agent of higher dignity than the salesman in the” case of Zito v. United States, 64 F. 2d 772, 775 (7th Cir.), or than the branch manager in the present case, C. I. T. Corp. v. United States, supra, at 90. It should be noted that in the Zito case, supra, where a corporation was convicted of conspiracy to violate the National Prohibition Act, the acts of a salesman were imputed to the corporation solely on the basis that he was an agent of the corporation and had authority to sell its products.
The standard applied in the above cases clearly focused on the scope of authority of the agents to act in the narrow sphere of corporate business relating to the criminal act. This essential consideration was succinctly set forth in somewhat different terms in the case of United States v. Nearing, 252 Fed. 223, 231, (S. D. N. Y.) wherein Judge Learned Hand stated that “the criminal liability of a corporation is to be determined by the kinship of the act to the powers of the officials, who commit it” (emphasis supplied). In the Nearing case, the corporation was indicted for conspiracy to violate *270the Espionage Act through the publication of a pamphlet calculated to cause insubordination in the armed forces. In a pre-trial opinion discussing the sufficiency of the indictment, Judge Hand made the following observations: “Finally, the defendants urge that a corporation cannot be guilty of the crime of conspiracy, or of any crime involving specific intent. This question simply turns upon how far the law has gone in imputing to a corporation the acts of its agents. ... Now there is no distinction in essence between the civil and the criminal liability of corporations, based upon the element of intent or wrongful purpose. Each is merely an imputation to the corporation of the mental condition of its agents.”
We treat the Egan, Nearing and C. I. T. cases as strong precedent for the rule that a corporation is criminally liable for the acts of an agent who has been vested with the authority to act' on behalf of the corporation in the sphere of corporate business in which he commits the criminal act. Numerous other Federal cases have been brought to our attention which also support this rule. Some of these are the following: United States v. Van Riper, 154 F. 2d 492, 492-493 (3d Cir.) (manager of gas station — violation of price control regulations established under War Powers Act); United States v. George F. Fish, Inc. 154 F. 2d 798, 801 (2d Cir.), cert. den. 328 U. S. 869 (salesman — knowing violation of Emergency Price Control Act of 1942); United States v. Armour & Co. 168 F. 2d 342, 343-344 (3d Cir.) (salesmen at three Pennsylvania branches, branch manager •at Norristown, and assistant manager at Noble Street, Philadelphia ■ — ■ violation of regulations promulgated under the Emergency Price Control Act prohibiting tie-in sales); United States v. Steiner Plastics Mfg. Co. Inc. 231 F. 2d 149, 153 (2d Cir.) (production manager or either of three factory employees — conspiracy to falsify approval stamps on fighter plane cockpit canopies being manufactured for the Navy and actual falsification of them); United States v. Milton Marks Corp. 240 F. 2d 838, 839 (3d Cir.) (general foreman — knowingly presenting a false claim to the United *271States); Continental Baking Co. v. United States, 281 F. 2d 137, 148-151 (6th Cir.) (plant manager at Memphis, Tennessee, depot managers and supervisors — conspiracy to fix the prices of bakery products in the Memphis area — Sherman Act); United States v. American Stevedores, Inc. 310 F. 2d 47, 48 (2d Cir.), cert. den. 371 U. S. 969 (comptroller— tax evasion); Steere Tank Lines, Inc. v. United States, 330 F. 2d 719, 720-724 (5th Cir.) (truck drivers and dispatchers — knowing falsification of records by motor carrier); United States v. American Radiator & Standard Sanitary Corp. 433 F. 2d 174, 204-205 (3d Cir.) (sales manager — conspiracy to fix prices of plumbing fixtures — where the court specifically approved a charge essentially identical to that in the present case).
Household, Beneficial and Liberty all vigorously attack these cases in an attempt to distinguish them from the cases before us. The thrust of their argument is that all of these cases fall into one of two categories; either they involve public welfare and regulatory statute crimes in which intent was not an element, or if the crimes did include intent as a necessary element, then they assert that the corporations were only held liable if one high in the corporate hierarchy directed, approved or acquiesced in the agent’s criminal act. In support of this argument, Household cites several law review articles in which their authors have attempted to categorize these cases in a similar manner.57
*272We think that the answer to these contentions is twofold. First, the defendants’ attempted categorization of the above cases into two neat little groups greatly oversimplifies the complex and multifaceted issues which confronted the various courts in the cases we have cited. The principal cases of Egan, C. I. T., and Nearing all entail prosecutions for the crimes of conspiracy, a crime requiring specific intent. In addition, the object of the conspiracies in those cases involved a wide scope of serious criminal activity, usually in matters tending to be of benefit to the corporation, extending from violations of the Espionage Act in the Nearing case, through the making of illegal political contributions in the Egan case, various types of fraudulent acquisitive crimes in the cases of C. I. T., Steiner Plastics, Milton Marks, and American Stevedores, and conspiracy to violate the Sherman Act through price fixing in the cases of Continental Baking Co. and American Radiator. Furthermore, as we previously noted, even if the statute in the New York Central case dispensed with the necessity of proving corporate intent, the Egan case and other Federal cases specifically expanded the rule of that case to cases involving crimes requiring specific intent. Secondly, the argument that only high corporate officers were involved has no basis in fact. In the C. I. T. case, a minor branch manager was involved, and in the Zito case, a salesman. In addition, although the criminal acts in the Egan case were performed by an officer of the corporation, the court consistently stressed, as is shown from the language previously quoted, that the corporation could be held responsible for the acts of either officers or agents. Indeed, the court emphatically stated that the focal point of inquiry is not whether corporate authorization or participation was shown in the upper echelon of the corporate ranks, but whether the agent or officer in doing the criminal act “was engaged in 'employing the corporate powers actually authorized’ for the benefit of the corporation 'while acting within the scope of his employment in the business of the principal.’” P. 379.
Household argues that in applying the foregoing standard *273of corporate criminal responsibility, we are merely applying the rule of respondeat superior as it is applied in civil cases and that we are “reaching out to state a completely new rule of law.” We agree that the above cases, as well as the judge’s instructions to the jury, essentially employ the rationale underlying the doctrine of respondeat superior. However, we do not agree that application of this doctrine to a criminal case involving specific intent is a “completely new rule of law.” The courts in the New York Central case and the other Federal cases cited above, especially in the Egan case, unequivocally focus their inquiry on the scope of authority which the corporation has conferred upon its agents to act on behalf of the corporation in managing the particular activities in which the agents were engaged when they committed the criminal act. P. 379.
It may be that the theoretical principles underlying this standard are, in general, the same as embodied in the rule of respondeat superior. Nevertheless, as we observed at the outset, the judge’s instructions, as a whole and in context, required a greater quantum of proof in the practical application of this standard than is required in a civil case. In focusing on the “kinship” between the authority of an individual and the act he committed, the judge emphasized that the jury must be satisfied “beyond a reasonable doubt” that the act of the individual “constituted” the act of the corporation. Juxtaposition of the traditional criminal law requirement of ascertaining guilt beyond a reasonable doubt (as opposed to the civil law standard of the preponderance of the evidence),, with the rule of respondeat superior, fully justifies application of the standard enunciated by the judge to a criminal prosecution against a corporation for a crime requiring specific intent.
The foregoing is especially true in view of the particular circumstances of this case. In order to commit the crimes charged in these indictments, the defendant corporations either had to offer to pay money to a public official or conspire to do so. The disbursal of funds is an act peculiarly within the ambit of corporate activity. These corporations *274by the very nature of their business are constantly dealing with the expenditure and collection of moneys. It could hardly be expected that any of the individual defendants would conspire to pay, or would pay, the substantial amount of money here involved, namely $25,000, out of his own pocket. The jury would be warranted in finding that the disbursal of such an amount of money would come from the corporate treasury. A reasonable inference could therefore be drawn that the payment of such money by the corporations was done as a matter of corporate policy and as a reflection of corporate intent, thus comporting with the underlying rationale of the Model Penal Code, and probably with its specific requirements.
Moreover, we do not think that the Model Penal Code standard really purports to deal with the evidentiary problems which are inherent in establishing the quantum of proof necessary to show that the directors or officers of a corporation authorize, ratify, tolerate, or participate in the criminal acts of an agent when such acts are apparently performed on behalf of the corporation. Evidence of such authorization or ratification is too easily susceptible of concealment. As is so trenchantly stated by the judge: “Criminal acts are not usually made the subject of votes of authorization or ratification by corporate Boards of Directors; and the lack of such votes does not prevent the act from being the act of the corporation.”
It is obvious that criminal conspiratorial acts are not performed within the glare of publicity, nor would we expect a board of directors to meet officially and record on the corporate records a delegation of authority to initiate, conduct or conclude proceedings for the purpose of bribing a public official. Of necessity, the proof of authority to so act must rest on all the circumstances and conduct in a given situation and the reasonable inferences to be drawn therefrom.
Additional factors of importance are the size and complexity of many large modern corporations which necessitate the delegation of more authority to lesser corporate *275agents and employees. As the judge pointed out: “There are not enough seats on the Board of Directors, nor enough offices in a corporation, to permit the corporation engaged in widespread operations to give such a title or office to every person in whom it places the power, authority, and responsibility for decision and action.” This latter consideration lends credence to the view that the title or position of an individual in a corporation should not' be conclusively determinative in ascribing criminal responsibility. In a large corporation, with many numerous and distinct departments, a high ranking corporate officer or agent may have no authority or involvement in a particular sphere of corporate activity, whereas a lower ranking corporate executive might have much broader power in dealing with a matter peculiarly within the scope of his authority. Employees who are in the lower echelon of the corporate hierarchy often exercise more responsibility in the everyday operations of the corporation than the directors or officers. Assuredly, the title of office that the person holds may be considered, but it should not be the decisive criterion upon which to predicate corporate responsibility.
The validity and soundness of these considerations are especially reflected in the activities of public relations men in the employ of many large corporations. This is graphically illustrated in the Egan case, 137 F. 2d, 369, supra. That case is particularly applicable to the ones before us because of its inquiry into the type of authority exercised by the officers and agents who made the political contributions for which their corporations were held responsible. The court characterized the activities of these agents as being “authorized public relations activities . . . within the defendant corporation’s powers.” In reviewing the evidence relating to this type of authority, the court highlighted the following factors: “The evidence shows that the corporation in the exercise of this power regards its public relations and its good will as matters of great importance. It has a right to do so and it does send its officers to appear before legislative committees to influence those legislatures and to persuade *276them to pass laws advantageous to the company’s interest and to reject proposed laws inimical to its interest. In the exercise of its powers, it has a right to do so and it does send its officers to state capitals to influence the individual members of the legislatures to be friendly to its interests. It sends its officers to appear before state and municipal boards and officers having power to impose taxes upon its property for the purpose of presenting arguments and data in its interest. To cultivate and develop the friendship of its patrons, prospective patrons, legislators and taxing authorities the company gives entertainments for invited guests including legislators, members of tax boards, patrons and others whose friendship it deems important. It maintains a 'lodge’ at the lake above its dam in the Ozark Mountains to which it invites for free entertainment state officers and candidates for office.”
The similarity between the kinship of authority and the acts of the agents in the Egan case with the kinship between the nets and authority of the individuals in the present cases is striking. It approaches the incredible for us to conclude from the evidence in the instant case that the public relations men, in their constant and prolonged communications with Hanley, were engaging in independent endeavors. The inference is obvious that their concerted activities along the lines outlined in our summary of the facts could not have been carried on without the knowledge or at least the reckless toleration of highly placed corporate executives.
To permit corporations to conceal the nefarious acts of their underlings by using the shield of corporate armor to deflect corporate responsibility, and to separate the subordinate from the executive, would be to permit "endocratic” corporations to inflict widespread public harm without hope of redress. It would merely serve to ignore the scramble and realities of the market place.58 This we de*277cline to do. We believe that stringent standards must be adopted to discourage any attempt by “endocratic” corporations’ executives to place the sole responsibility for criminal acts on the shoulders of their subordinates.
We believe that our decision is supported by basic considerations of public policy. The President’s Commission on Law Enforcement and Administration of Justice, Task Force Report — Crime and Its Impact — An Assessment (1967) provides a sound rationale for imputing criminal responsibility to the corporation for the acts of lower echelon corporate officials who have the authority to act on behalf of the corporation. The report states at p. 104 that “[w]hite collar crime also does serious damage to social and economic institutions. . . . Thus, crimes such as bribery and violation of conflict of interest statutes strike deeply at responsible, impartial government.” The report further points out at p. 108 that “[a] pervasive problem affecting enforcement is the fact that white collar crime is often business crime and business crime is often corporate crime. Where corporate defendants are involved, the only criminal sanction available is the fine. As noted previously, fines may be inadequate as deterrents for a variety of reasons. There are also serious practical problems in imposing sanctions upon corporate employees. It is very difficult to obtain the conviction of the true policy formulators in large, complex corporations. The top executives do not ordinarily carry out the overt criminal acts — it is the lower or middle management officials who, for example, attend price-fixing meetings.” The President’s Commission concluded, at p. Í08, that “where corporate misconduct is involved, the offenders — and particularly the offenders against whom evidence of guilt can be obtained — act as part of a corporate hierarchy and, ordinarily, follow a pattern of corporate behavior. Individual responsibility is therefore reduced — the offenders are often following orders from above, either explicit or implicit. Moreover, the fact that acts are performed to further the interests of the corporation, and not merely the offenders’ personal *278interests, helps to rationalize misconduct. Thus in the Electrical Equipment cases, personal explanations for the acts were, for the most part, sought in the structure of corporate pressures. The defendants almost invariably testified that they came new to a job, found price-fixing an established way of fife, and simply entered into it as they did into other aspects of their job.”59
The above considerations seem to us to support the principles stated in the judge’s charge for adjudicating the criminal responsibility of these corporate principals. We are aware that some jurisdictions and legal writers have approved the Model Penal Code,60 even as contained in the 1955 draft. Indeed, the 1955 comments on the Code (prior to the addition of the significant words “or recklessly tolerated”) merely say that the limitations on coiporate liability there set out are “generally consistent with the position of the English courts and those of some American *279States” (emphasis supplied). Model Penal Code, § 2.07, comment p. 151 (Tent. Draft No. 4, 1955).61 This may mean that the majority of jurisdictions in this country do not adhere to the standard proposed in 1955.
One such State appears to be Wisconsin. For example, in the case of Vulcan Last Co. v. State, 194 Wis. 636, a corporation was convicted of violating a statute which prohibited employers from attempting to influence the votes of employees through threats of discharge or reduction of wages. The corporate employee involved was a superintendent. In refuting the argument that the corporation could not be held responsible for the conduct of the superintendent the court stated: “Corporations must of necessity act through their agents. When these agents act within the scope of their authority their acts are the acts of the corporation, for which the corporation is liable both civilly and criminally. If the acts are within the scope of the authority of the agent, the corporation is liable criminally for the act although the act may not have been expressly authorized by the corporation, even if the corporation has expressly forbidden its agent to act in the manner that made it answerable to punishment under the criminal law” (emphasis supplied). P. 643.
Other States have taken a similar view or have employed language consistent with that of the Vulcan case. These include the following: State v. Lehigh Valley R.R. 90 N. J. L. 372, 92 N. J. L. 261, affd. 94 N. J. L. 171, 175 (manslaughter); State v. Western Union Tel. Co. 13 N. J. Super. 172, 221, affd. 12 N. J. 468, app. dism. 346 U. S. 869 (bookmaking); State v. Salisbury Ice & Fuel Co. 166 N. C. 366, 367 (false pretences); State v. Eastern Coal Co. 29 R. I. 254, 265-269 (criminal conspiracy).
Cases relied upon by the defendants which apparently support what they conceive as the Model Penal Code principle are Grant Bros. Constr. Co. v. United States, 13 Ariz. 388, *280and People v. Canadian Fur Trappers Corp. 248 N. Y. 159. Particular emphasis is placed on the Canadian Fur Trappers case for the proposition that a corporation can be held criminally responsible “only for acts which it authorizes through action of its officers or which . . . [are] done with the acquiescence of its officers.” 248 N. Y. at 164. It should be noted, however, that the Canadian Fur Trappers case involved a closely held corporation in which four brothers “constituted the corporation and were its only officers.” P. 165. Thus, the court in that case had only to confine its opinion to the acts of individuals who were, in fact, the corporation. See fn. 62, infra. It seems appropriate to distinguish a situation of that kind from large, endocratic corporations such as are involved in the present case.
Considering everything we have said above, we are of opinion that the quantum of proof necessary to sustain the conviction of a corporation for the acts of its agents is sufficiently met if it is shown that the corporation has placed the agent in a position where he has enough authority and responsibility to act for and in behalf of the corporation in handling the particular corporate business, operation or project in which he was engaged at the time he committed the criminal act. The judge properly instructed the jury to this effect and correctly stated that this standard does not depend upon the responsibility or authority which the agent has with respect to the entire corporate business, but only to his position with relation to the particular business in which he was serving the corporation. Some of the factors that the jury were entitled to consider in applying the above test, although perhaps not in themselves decisive, are the following: (1) the extent of control and authority exercised by the individual over and within the corporation;62 (2) the *281extent and manner to which corporate funds were used in the crime;63 (3) a repeated pattern of criminal conduct tending to indicate corporate toleration or ratification of the agent’s acts.64 Applying these criteria within the “kinship of the act to authority” test to the present case we next consider the evidence admitted against Household, then Liberty, and lastly, Beneficial.
2. Household — Household argues that even applying the “kinship of authority” test to the present case, there is no basis on which the trial court could justify the conclusion that either Pratt or Barber had enough power, duty, responsibility or authority, in handling the matters concerning the Rate Board or involving Hanley in his official capacity, to make the statements and acts of these employees binding upon the corporation.
The judge, without reciting the evidence concerning the relationship between Barber, Pratt and Household, simply ruled that a finding was warranted that the “relationship disclosed by the evidence, whether it be of agency, employment, or office holding, or a combination of them, existed . . . between the individuals Barber and Pratt and the corporation Household,” and that the “statements, acts and conduct of the individual defendants Pratt and Barber . . . were done and performed by them for and in behalf of Household, within the scope of their authority to act for and in behalf of Household, and were otherwise in all respects such that they were and constituted the statements, acts and conduct of Household.”
We agree with the judge that there was sufficient evidence of authority to submit the case to the jury. The evidence shows that Household is a Delaware corporation, *282engaged in, lending money, with its national headquarters and principal place of business in Chicago, Illinois. Household is divided into various geographical divisions as well as into departments and sub-departments. Among the major departments of Household are those described as “Operations,” “Advertising,” “Auditing” and “Public Relations.” The New England area, including Massachusetts, is termed the “Northern Division” within Household’s geographical schema. In this area, Household had ninety-one loan offices. Forty of these were located in Massachusetts.
During the years involved in this case, the “Northern Division” was under the supervision of one Don H. Ellis, a vice-president and “director of supervision” of Household. Ellis testified that although his duties primarily involved “operations,” a “Department that serves the public by making loans and collecting the money back,” there is communication within the corporate structure between one department and another. For example, if the advertising department was conducting activities in the “Northern Division,” then Ellis would be so informed.
.The director of public relations for Household during the period covered by these indictments was one Harold Haugan. Haugan, like Ellis, was a vice-president of Household, and was so listed on Household’s annual report to its stockholders. As director of public relations, it appears that Haugan was equal or superior to Ellis in the corporate hierarchy. The annual report lists the names of these two men in such a fashion as to warrant this inference. On the same page of the annual report, just below the fisting of the corporate vice-presidents, there is a fist of “Other Staff Executives.” The defendant Barber is fisted among these executives. The annual report also designates Barber as “Divisional Director” of “Public Relations.” From the positioning of Barber’s name in the annual report, a jury would be warranted in drawing the inference that Barber’s status in the corporate hierarchy was comparable to that of Household’s controller. In addition, there was evidence that *283Barber attended a high level executive conference, which was held annually in Fort Lauderdale, Florida.
The defendant Pratt was one of Haugan’s subordinates in the public relations department. It is apparent that Pratt was also subordinate to Barber and the jury would have been warranted in so inferring. Household hired Pratt in 1957. He commenced work in the public relations department in 1959. Pratt covered the New England area of Household’s public relations activities and worked in Massachusetts.
Among the duties of Household’s public relations men was to “enhance the image of the company.” In its general instructions manual, Household counseled its employees to refer problems involving persons in “public life” to the public relations department. Ellis testified that this manual states that “if there is a problem that involves a person in public life, an influential person, you name him, anybody . . . who is antagonistic towards the industry . . . then we refer it to the Public Relations Department.”
The Commonwealth argues that the above evidence, specifically concerning Barber’s rank in the corporate hierarchy, is sufficient to meet the “high managerial agent” test proffered by Household; that Barber is a “high managerial agent” whose acts, knowledge and admissions constitute the acts, knowledge and admissions of Household. We need not decide whether this evidence, specifically that which may be inferred from the annual report, sufficiently delineates Barber’s power and authority within the corporate structure to warrant the conclusion that all requisites of the Model Penal Code standard as construed by the defendants are fulfilled. However, we are of opinion that it could have been found that Barber’s authority within the public relations department as “divisional director” clothed him with sufficient authority to deal with Hanley in Hanley’s capacity as supervisor of loan agencies. The very nature of public relations activities, together with the specific instructions in Household’s manual to refer problems involving persons in “public life” or “influential persons” to the *284public relations department, warrants the conclusion that Barber and Pratt possessed the authority to deal with the Hanley “program.” Cf. Egan v. United States, 137 F. 2d 369, 380 (8th Cir.).
The fact that there is evidence that the law department of Household also dealt with the Rate Board proceedings of 1962 does not alter this result. The jury would be warranted in concluding from the testimony of Ellis that there was at least some degree of inter-departmental communication within Household’s corporate structure. The fact that Household authorized its law department to deal with the Rate Board hearings did not preempt its public relations department from dealing personally with Hanley. It was within the province of the jury to decide whether Barber, in his position as “divisional director” and Pratt, in his position as Household’s sole public relations man in Massachusetts, possessed a sufficient quantum of authority to deal with Hanley. All of the evidence recounted above warranted the submission to the jury of the acts and statements of the other conspirators. This evidence, in toto, more than justifies the conclusion that Household, through its employees Barber and Pratt, acting within the authority conferred on them, conspired to bribe Hanley and Garfinkle. Household’s motion for a directed verdict on the conspiracy indictment was, therefore, properly denied.
3. Liberty — Liberty, like Household, argues that there is insufficient evidence of the defendant Woodcock’s authority to act on its behalf in conspiring to bribe Hanley and Garfinkle. In view of what we have said with respect to Household, we are of opinion that, a fortiori, Liberty’s argument is devoid of merit.
Liberty is a publicly held corporation, incorporated in the State of Delaware. It is the beneficiary of various Massachusetts business trusts conducting the small loans business in Massachusetts. Woodcock was one of Liberty’s two executive vice-presidents and also one of its eleven directors. In 1960, Woodcock attended a series of meetings or hearings in Massachusetts involving changes in the regulations governing the supervision of the small loans industry by the *285small loans division. On September 8, 1961, the head clerk of the small loans division returned certain surety bonds and small loans office license applications to Woodcock at Liberty’s office in St. Louis. Three days later, on September 11, 1961, Woodcock wrote to the small loans division on stationery indicating that he was writing from Liberty’s “Executive Offices” in St. Louis and in his official capacity as executive vice-president. On November 19, 1962, again in his capacity as executive vice-president, Woodcock wrote directly to Hanley informing him that Liberty’s treasurer, O. H. Love, would appear on Liberty’s behalf at the 1962 Rate Board hearings.
The foregoing evidence clearly demonstrates that Woodcock possessed sufficient authority to act on behalf of Liberty in dealing with Hanley and the Rate Board hearings. As a high corporate official, indeed one of its directors, Woodcock had dealings with the small loans department over a three year period, as well as dealings with Hanley directly. This evidence, together with the position he held in the corporate hierarchy, is sufficient to support a finding that Woodcock’s acts, conduct and admissions were also those of Liberty. The fact that the Commonwealth did not produce evidence showing Woodcock’s specific authorization to offer a bribe to Hanley is inconsequential. As we previously stated, evidence of specific prior authorization of criminal activity by the board of directors of a large publicly held corporation is not readily susceptible of investigation and discovery, nor is such authorization likely to have occurred. Even on the defendants’ view of the Model Penal Code standard, which appears to be met in the case of Woodcock, such a quantum of proof would not be required.
The judge rightly admitted the acts and statements of the other conspirators against Liberty, and correctly denied Liberty’s motion for a directed verdict on the conspiracy indictment.
4. Beneficial — The conviction of Beneficial presents a more involved situation regarding the sufficiency of evidence than that of the other loan companies. This is due to the *286interlocking corporate structure of the “Beneficial Finance System” (a term used by Beneficial to describe itself and its wholly owned subsidiaries),65 rather than the sufficiency of the evidence against Farrell and Glynn, both of whom were employees of the “System.” Indeed, Farrell and Glynn emerge as two of the major proponents of the plot to bribe Hanley and Garfinkle, there being an overwhelming amount of evidence relative to the participation of each.
The evidence discloses that Farrell and Glynn were not formally the employees of the defendant Beneficial. Farrell was vice-president and director of Beneficial Management. Similarly, Glynn was employed by Beneficial Management and was formally on the payroll of Industrial Bankers, a Massachusetts business trust completely owned and controlled by Beneficial. * In addition to Industrial Bankers, Beneficial fully owns and operates two other Massachusetts business trusts — New England Equity and Workingmen’s Loan Association. These three trusts engage in the consumer loan business within the Commonwealth and operate a total of fifty-eight licensed small loans offices. The parent, Beneficial, controls the appointment of the trustees and officers of the three trusts and provides them with the funds necessary for continued operation.
Beneficial Management also is a wholly owned subsidiary of Beneficial. Both corporations, parent and subsidiary, are Delaware corporations with their principal offices located in the Beneficial Building, 1300 Market Street, Wilmington 99, Delaware. Beneficial Management also has offices in Morristown, New Jersey. Beneficial Management provides auditing, accounting and legal services for these trusts. It is also its responsibility to distribute to the loan offices a detailed instruction book entitled “Beneficial Finance System, Service Staff Bulletins.” This manual promulgates guidelines on the making and collecting of loans and the *287preparation of papers required by law. It is apparent that many of the officers and directors of Beneficial are also officers and directors of Beneficial Management.66 In fact, Beneficial refers to the officers and key executives of Beneficial Management as “the men behind Beneficial.” As a vice-president and director of Beneficial Management, the defendant Farrell is so listed.
The public relations area was handled for all of the individual Beneficial loan offices and business trusts in Massachusetts by the defendant, Glynn, Beneficial’s director of industry relations. Although Glynn was on the payroll of Industrial Bankers, he was not assigned to any particular office or department of Industrial Bankers; nor was he the subordinate of any employee of that trust. He did public relations work and reported principally to Farrell.
Glynn’s activities included ingratiating himself with legislators and members of the small loans division. He entertained Hanley extensively. Glynn expedited the procurement of an additional license for Beneficial or the movement of one of its offices. His primary function was to “sell Beneficial’s position on any policies, matters of legislation, anything affecting regulations with the Department [¡of Banking], anything affecting annual and monthly reports with the Department, anything affecting the increase in license fees of the Department.”
*288It is clear from the above evidence concerning Glynn’s duties and Farrell’s position within the Beneficial Finance “System,” that Farrell and Glynn possessed sufficient authority to at least act on behalf of Beneficial Management in dealing with Hanley particularly in connection with Rate Board hearings. In this regard, the evidence of Farrell and Glynn’s authority to deal with such matters is even more conclusive than that admitted against Barber, Pratt and Woodcock in our holding Household and Liberty liable for the acts of their employees. Farrell’s position and authority as vice-president and director of Beneficial Management raises the inference that he was sufficiently highly placed in the corporate hierarchy of Beneficial Management to permit the jury to find that he was a “high managerial agent” whose “conduct may fairly be assumed to represent the policy of the corporation.” Model Penal Code, § 2.07 (2) (c) (Proposed Official Draft). Farrell is pictured in Beneficial’s annual report as one of “the men behind Beneficial” and his photograph appears on the page of that consolidated report devoted to Beneficial Management together with photographs of two other vice-presidents of Beneficial Management. Thus, we find no difficulty in holding, either according to the standard adopted by the judge or that of the Model Penal Code, that it could have been found that the acts, statements and knowledge of Farrell and Glynn were those of Beneficial Management.
However, the principal issue confronting us here is whether the evidence was sufficient as matter of law to warrant a finding that Farrell and Glynn acted within the authority granted to them by Beneficial. Beneficial vigorously argues that this court should not disregard Beneficial Management as a corporate entity, should adopt its view of the Model Penal Code standard, and therefore should conclude that Farrell was not a high managerial agent of the parent, Beneficial. On the other hand, the Commonwealth argues that the pervasive control of Beneficial Management by Beneficial and the “use of the former entity by Beneficial solely for its own ends within the ‘Beneficial Finance *289System’ while representing to the public at large that such ‘System’ was a unitary, centrally controlled whole, and the delegation by Beneficial to Beneficial Management of the powers, duties, authority, and responsibilities for dealing with the Massachusetts small loans regulatory authorities,” warrants looking through the corporate structure to the parent, Beneficial. The Commonwealth concludes that Farrell should be regarded as a “high managerial agent” of Beneficial whose actions bind that corporation.
Essentially, we are in agreement with the position of the Commonwealth. We concede that the law is well settled that the parent’s ownership of the entire stock of its subsidiary as well as control over the latter’s affairs do not, without more, warrant treating two separate and distinct corporate entities identically. Berry v. Old So. Engraving Co. 283 Mass. 441, 451. See Brighton Packing Co. v. Butchers’ Slaughtering and Melting Assn. 211 Mass. 398, 403, 404; Browne v. Brockton Natl. Bank, 305 Mass. 521, 530; Gaddi v. Caribbean Sugar Co. 327 Mass. 402, 407-408. But it is also clear that “courts look through the corporate form to the individuals in order to protect the public, prevent a fraud, or to accomplish some other essential justice.” Hallett v. Moore, 282 Mass. 380, 399, citing J. J. McCaskill Co. v. United States, 216 U. S. 504, 515. Southern Pac. Co. v. Lowe, 247 U. S. 330, 337. Gulf Oil Corp. v. Lewellyn, 248 U. S. 71. See Star Brewing Co. v. Flynn, 237 Mass. 213, 217; New England Theatres, Inc. v. Olympia Theatres, Inc. 287 Mass. 485, 493; Henry F. Michell Co. v. Fitzgerald, 353 Mass. 318, 322.
In the recent decision of My Bread Baking Co. v. Cumberland Farms, Inc. 353 Mass. 614, we held a corporation hable for the torts of various satellite corporations even though the principal corporation did not own stock in any of the affiliates. The evidence in that case revealed that one Haseotes was the secretary, treasurer and a stockholder of Cumberland Farms, Inc. The Haseotes family also owned all of the stock in numerous other corporations operating retail stores which sold the dairy products of Cumberland *290Farms, Inc. Although the satellite corporations were not the subsidiaries of Cumberland Farms, Inc., they all had the same officers, operated as a single enterprise from a single headquarters and used the name of Cumberland Farms, Inc. as a trade name. From this evidence we inferred that Haseotes was a dominant figure in the enterprise, and that the store managers of the various retail outlets followed his orders and acted as agents of the principal corporation. With reference to the question of when employees of one corporation may be treated as the agents of another, we said:
“A corporation or other person controlling a corporation and directing, or participating actively in (see Refrigeration Discount Corp. v. Catino, 330 Mass. 230, 234-236), its operations may become subject to civil or criminal liability on principles of agency or of causation. See Commonwealth v. Abbott Engr. Inc. 351 Mass. 568, 579-580. See also Rock-Ola Mfg. Corp. v. Music & Television Corp. 339 Mass. 416, 422-423. This may sometimes occur where corporations are formed, or availed of; to carry out the objectives and purposes of the corporations or persons controlling them. See Rice v. Price, 340 Mass. 502, 511-512; Centmont Corp. v. Marsch, 68 F. 2d 460, 464-465 (1st Cir.), cert. den. 291 U. S. 680. See also Finnish Temperance Soc. Sovittaja v. Finnish Socialistic Publishing Co. 238 Mass. 345, 354-356; Henry F. Michell Co. v. Fitzgerald, . . . ]353 Mass.] 318, 321-322. The circumstances in which one corporation, or a person controlling it, may become liable for the acts or torts of an affiliate or a subsidiary under common control have been frequently discussed. Although common ownership of the stock of two or more corporations together with common management, standing alone, will not give rise to liability on the part of one corporation for the acts of another corporation or its employees, additional facts may be such as to permit the conclusion that an agency or similar relationship exists between the entities. Particularly is this true (a) when there is active and direct participation by the representatives of one corporation, apparently exercising some *291form of pervasive control, in the activities of another and there is some fraudulent or injurious consequence of the intercorporate relationship, or (b) when there is a confused intermingling of activity of two or more corporations engaged in a common enterprise with substantial disregard of the separate nature of the corporate entities, or serious ambiguity about the manner and capacity in which the various corporations and their respective representatives are acting.” Pp. 618-619.
We are of opinion that the standards enunciated above apply with equal validity to the case before us. Here, there is a clear interpenetration of corporate officers and directors between Beneficial and Beneficial Management. Beneficial’s president, two vice-presidents, and two directors were all directois of Beneficial Management. One of the directors of Beneficial was the president and another was the senior vice-president, and a third was a vice-president of Beneficial Management. The duality of corporate authority in these top executives reflects the extent of control and participation exercised by Beneficial over Beneficial Management.
Also of significance is the fact that Beneficial owned all of the stock of Beneficial Management and supplied operating funds to it. Additionally, the business services furnished by Beneficial Management were provided essentially as a part of the business operations of Beneficial. In this regard, Beneficial Management emerges as but a division of the Beneficial Finance “System” and an adjunct to Beneficial. This mixture of business operations was considered important in the case of United States v. Brown & Sharpe Mfg. Co. 141 F. Supp. 520, 526 (D. R.I.), where the court said at p. 526: “The mere fact that one corporation owns all of the capital stock of a subsidiary corporation, standing alone, is not enough to warrant the disregard of their separate legal entities or sufficient to establish the subsidiary as the agent of the parent corporation. More is required. But where it is also shown that the business conducted by the subsidiary is a part of the business of the parent corporation, and where such ownership of stock in a subsidiary is em*292ployed not for the purpose of participating in the affairs of the subsidiary in a manner normal and usual with stockholders but for the purpose of making it a mere agent or department of the parent corporation, the courts will look through the form to the realities of the relation between the corporations and will hold that in such cases the subsidiary is a mere agent or department for carrying on the business of the parent corporation.” See National Labor Relations Bd. v. Deena Artware, Inc. 361 U. S. 398, 403, and Joseph R. Foard Co. v. State, 219 Fed. 827, 829 (4th Cir.). In the case of Sisco-Hamilton Co. v. Lennon, 240 F. 2d 68, 69 (7th Cir.), it was also noted that the operations of each of four separate corporations were geared to the operations of the others. The court there stated: “The record demonstrates existence of four cognate corporations all geared to the activities of one another under the parent's control. Under this intimate relationship it would be unjust to fall back on sterile technicalities consisting only of identities as the sole bar to recovery for negligence by one or more of the subsidiaries.”
We regard the foregoing language particularly applicable to the circumstances before us. Beneficial Management was demonstrably “geared” to the operations of Beneficial as well as those of the three Massachusetts trusts. This factor was considered in the My Bread case, 353 Mass. 614, where we referred to “a confused intermingling of activity of two or more corporations engaged in a common enterprise with substantial disregard of the separate nature of the corporate entities.” P. 619.
We also consider noteworthy the fact that the entire consumer finance business of Beneficial was operated under the name of Beneficial Finance Company. It seems obvious that Beneficial derives a substantial amount of publicity and good will by representing to the public and its shareholders that it operates as a single, integral, mutually supporting entity. The My Bread case also noted this factor in ascertaining an agency relationship between many apparently distinct corporations. Supra, at 620. See National *293Labor Relations Bd. v. Deena Artware, Inc. 361 U. S. 398, 403.
Beneficial argues that the standards enunciated in the My Bread case “may be justifiable in a civil suit for damages” but that they “should not apply in a criminal case” where a defendant “is entitled to a presumption of innocence and the burden [is] on the prosecution to prove the defendant’s guilt beyond a reasonable doubt.”
The fact that this is a criminal case does not alter our view nor does it warrant adopting a rule different from thou in the My Bread case. The traditional protection afforded a criminal defendant by placing the burden on the prosecution to prove guilt beyond a reasonable doubt and by clothing the defendant with a presumption of innocence is not undermined by subjecting a parent corporation to criminal responsibility on the grounds that it fully controls and participates in the operations of its subsidiary which commits the criminal act. This is the rule of our cases and it was so cited in the My Bread case. In the My Bread case, citing Commonwealth v. Abbott Engr. Inc. 351 Mass. 568, 579-580 (a criminal case concerning larceny by false pretences), we said that “[a] corporation . . . controlling a corporation and directing, or participating actively in . . . its operations may become subject to civil or criminal liability on principles of agency or causation” (emphasis supplied). My Bread, supra; at 618. See Commonwealth v. Welanshy, 316 Mass. 383, 402; Commonwealth v. Nichols, 10 Met. 259; Commonwealth v. Riley, 210 Mass. 387, 395-396.
Thus, we discern no valid reason for not applying the standards of the My Bread case in looking behind the corporate structure of the defendant Beneficial. The interest of the Commonwealth in protecting itself and its citizens from the criminal acts of foreign corporations is of much greater importance than the right of one person to pursue a civil remedy against a foreign corporate defendant. The inherent power of the Commonwealth to prosecute those who violate the law, whether they be individuals or cor*294porations, dictates that such offenders should not be permitted to insulate themselves from criminal prosecution by shielding themselves behind instrumentalities which they promulgate to conceal their criminal acts. This is especially true of large endocratic corporations which are structured to enable them to create a flow of authority from the upper echelons of directors and officers to lower ranks of corporate executives. Such a structure makes the responsibility for a criminal act more easily susceptible of concealment. Even greater beclouding of responsibility by a corporate principal takes place where a corporation such as Beneficial creates subsidiaries and business trusts to carry out its everyday administration and business operations. We find it appalling to allow such a corporate structure to shield those corporate entities which directly or indirectly receive the monetary benefits of criminal activity and at the same time avoid the sanctions which may be imposed upon those corporate employees who commit the actual criminal act.
In view of everything we have said above, we hold that there is sufficient evidence to support a finding that there existed between the defendants Farrell and Glynn and the corporation Beneficial Management a relationship of agency with the corporation Beneficial which empowered Farrell and Glynn to act on behalf of Beneficial in dealing with Hanley in his official capacity and also in connection with the Rate Board proceedings. Beneficial’s motion for a directed verdict on the conspiracy indictment was properly denied.
D. Conduct of the First Trial.
Various defendants assert that certain features of the judge’s conduct of the trial constituted reversible error.
1. Several of these arguments relate to the judge’s handling of the jury. First, Household urges that the judge took insufficient precautions to guard the jury against the possible adverse effects of certain publicity, both before and during the trial. Pratt and Barber join in these arguments.
*295Shortly before the selection of the jury, the Commonwealth elected to “nolle press’’ two indictments against Edward A. Counihan, Third, then the Commissioner of Banks. Assistant Attorney General Travers stated that the indictments were “nolie pressed” because a codefendant had decided not to supply the Commonwealth with testimony essential to proof of guilt under the indictments. The Boston Globe and the Boston Traveler on that day carried stories concerning the “nolle pross,” and quoted Mr. Travers’s statement. Motions for a continuance and for a mistrial were denied. The rulings were within the discretion of the judge, particularly in the absence of a clear showing of prejudice.
During the empanelling of the jury, it became apparent that some of the veniremen had formed opinions with respect to the case on the basis of pre-trial publicity, and had discussed the matter among themselves. The judge inquired, inter aha, of each prospective juror whether he or she (1) had any interest in the case, or in its result; (2) had formed or expressed any opinion as to the innocence or guilt of any of the defendants; (3) was conscious of any bias or prejudice as to the case or as to any of the parties for any reason whatever; and (4) was sensible of any bias or prejudice as to loan companies or finance companies. The judge eventually excused 100 jurors for cause.
Household moved that the judge further poll the prospective jurors to determine (1) what, if anything, they had read concerning the trial; (2) what had occurred during pre-trial discussions among the veniremen; and (3) whether such reading or discussion had created any bias in the minds of the jurors. The judge declined to put these further questions to the jurors.
We agree with the judge’s reasoning that the purpose of questioning prospective jurors is to determine whether they are free from interest, bias and prejudice, rather than to find out how they may have come to have an improper attitude. G. L. (Ter. Ed.) c. 234, § 28. The decision not to ask the further questions requested by the defendants *296was within the sound discretion of the judge. Commonwealth v. Geagan, 339 Mass. 487, 502-508, cert. den. sub nom. Geagan v. Massachusetts, 361 U. S. 895. Commonwealth v. Nassar, 351 Mass. 37, 40-41. Commonwealth v. Nassar, 354 Mass. 249, 252-254. Commonwealth v. Ricard, 355 Mass. 509, 510-511. Although it would have been entirely proper to poll the jurors, Commonwealth v. Crehan, 345 Mass. 609, 615, the judge also might have been reluctant to call the attention of the jurors to possible sources of adverse publicity. Taylor v. Creeley, 257 Mass. 21, 26. Each of the jurors eventually selected stated that he had no opinion, bias, or prejudice with respect to the case or any of the defendants. The judge noted that he had “no reason to believe that any juror answered a question untruthfully.” Cf. Marshall v. United States, 360 U. S. 310, 312-313.
Three other articles published during the trial were also the basis of various defence motions. During the Commonwealth's opening statement, Mr. Travers stated that “the Commonwealth will present evidence of a trip by Martin Hanley and one Jerome Troy to Washington” to pick up the “package from Barber.” The following day, an article in the Boston Globe accurately quoted Attorney General Brooke as stating that “[t]here was no intention to implicate Judge Troy in the crime at all. . . . We don't propose that the judge knew the nature of the trip.” The early edition of the Boston Globe on August 18,1966, carried a page one headline, “Brooke Says Judge Troy in the Clear.” A motion for a mistrial, and a motion to poll the jury concerning their knowledge of the publications were denied. The judge ruled that the defendants had failed to establish that they were prejudiced by the newspaper accounts.
Later in the trial, on September 10, 1966, The Saturday Evening Post published a long interview with Attorney General Brooke, then campaigning for the United States Senate. The article included the following statements: “Brooke is honest and sincere, and in Massachusetts politics that is out of the ordinary .... He won the at*297torney generalship in 1962 . . . and immediately began indicting Democrats. . . . While some indictments have turned sour — conspiracy and bribery cases usually depend on one of the parties to a crime admitting that he is a crook, and sometimes the parties change their minds — there is no shortage of new ones. . . . Brooke, who had no primary opposition, campaigned against sin. In this case sin is alleged to infect some of the state’s principal small-loan companies, whose officers are accused of conspiring with state officials to keep loan rates high.” The judge denied a motion for a mistrial and a motion to poll the jury concerning the article, again ruling that "the publication and the distribution of the article in question will not deprive, nor reasonably could it deprive, the defendants of a trial before a jury whose verdict will be based solely on the evidence presented, or to be presented in open court during the course of this trial.”
Finally, on October 29, 1966, near the end of the first trial, an article in the Boston Herald reported that the "Consumers’ Council,” a government body (see St. 1963, c. 773), had recommended the abolition of the Bate Board “because of the past activities concerning bribery and the solicitation and acceptance of bribes and the manipulations of this Board by its members and by the industry which it regulates.” The judge again denied motions for a mistrial and for a poll of the jury.
The denial of the motion to poll the jury concerning the articles was within the judge’s discretion. Taylor v. Creeley, 257 Mass. 21, 26. The motions for a mistrial, on the basis of publication alone, were also addressed to the judge’s discretion. Worcester Tel. & Gazette, Inc. v. Commonwealth, 354 Mass. 578, 580-581. He determined that two of the articles were not prejudicial to the defendants. The article concerning the recommendation of the Consumers’ Council, although it gave the judge somewhat greater pause, was cast in fairly general terms and did not specifically relate to the proceedings before the court. Furthermore, before denying the motion for a mistrial based on this article, the judge *298instructed the july as follows: “I repeat now what I have said to you on a number of occasions in the past, to the effect that ultimately, when you deliberate in your attempt to reach a verdict in this case, you must arrive at your decision solely on the basis of facts which may be agreed to by the parties and reported to you from time to time, plus the evidence which is presented during the course of the trial in open court and in your presence. Those are the limits of matters which you may consider as the basis for your verdict. I told you early in the trial, and I think I repeated later, that if you read or see or hear from any other source anything concerning this case or anything concerning the proceedings of the Court during your absence, you must totally disregard what you see or hear or learn in this manner, or from any such source, because it is not evidence and it is not to be considered by you in your ultimate decision of this case.” Particularly in view of the judge's prompt, clear and forceful instruction, we cannot say that he abused his discretion in denying the motion for a mistrial. See Commonwealth v. Eagan, 357 Mass. 585, 588-589.
2. The judge also denied requests during the empanelling and again at the beginning of the trial that he instruct the jurors “not to read any newspaper accounts or listen [to] or watch radio or television reports concerning any of the proceedings in these cases.” The defendants contend that his refusal to give these instructions constituted error. We do not agree.
It is, as the defendants urge, the recommendation of the American Bar Association Advisory Committee on Fair Trial and Free Press, chaired by a member of this court, that instructions such as those requested be given “[i]n any case that appears likely to be of significant public interest.” See Standards Relating to Fair Trial and Free Press, § 3.5 (e), pp. 139-140, 144-145, published after the trial of these cases. In this case, however, abseqt a showing of prejudice, we do not see that failure to give this salutary warning constituted error.
*299The question whether newspaper publicity has engendered prejudice to defendants is one in which the trial judge has large discretion. Marshall v. United States, 360 U. S. 310, 312. “Whether a judge has abused his discretionary powers is to be determined by the special facts of each case.” Commonwealth v. Eagan, 357 Mass. 585, 588. Our attention has not been called to alleged sources of prejudicial publicity other than those discussed above. This case involves no such massive publicity as was present in Estes v. Texas, 381 U. S. 532, or Sheppard v. Maxwell, 384 U. S. 333. The articles did not relate to matter ruled prejudicial by the judge, cf. Marshall v. United States, 360 U. S. 310, 311, or conceded by the prosecution to be prejudicial, cf. Worcester Tel. & Gazette, Inc. v. Commonwealth, 354 Mass. 578, 579-580, or to criminal convictions, inadmissible for important independent reasons. Cf. Commonwealth v. Crehan, 345 Mass. 609, 610-611, and G. L. c. 233, § 21, as amended through St. 1950, c. 426. The case last mentioned is further distinguishable upon the ground that here the judge’s prompt, clear, and forceful instructions to the jury, quoted above, were hardly susceptible of misunderstanding by the jury. Cf. Commonwealth v. Crehan, supra, at 611-612, 614-615. The instructions given were, in the circumstances, sufficiently strong to counteract the possible effect of the adverse publicity. See Commonwealth v. Eagan, 357 Mass. 585, 589.
3. Household, Barber, Pratt, Glynn and Farrell contend that it was error for the judge to submit four special questions to the jury, to wit: (1A.) Whether a bribe was given, (IB.) If yes, in what city and State. (2.) Whether a bribe was offered, and (3.) Whether a bribe was promised. In commenting to the jury upon these questions, the judge stated, “[AJs to each such count the Court is asking the jury to answer some special questions and then to give its verdict.” The defendants contend that once the jury answered the special questions, the general verdicts constituted “hollow affirmations” of matters already decided, depriving the defendants of their rights to due process and fair trial. *300Their argument is that the jury’s reliance upon special questions may undermine the generality of their verdict under G. L. c. 278, § 11, which provides as follows: "The jury . . . after having received the instructions of the court, shall decide, in their discretion, by a general verdict, both the fact and the law involved in the issue, or they may, at their election, find a special verdict."
It is well settled that in civil cases the trial judge has the power to submit special questions to be answered by the jury as supplementary to a general verdict. E.g., Hill v. Hayes, 199 Mass. 411, 417; Note, "Common-Law Power and Duty of Court to Submit Proper Special Interrogatories to Jury,” 15 Anno. Cas. 469. The defendants urge that criminal cases be distinguished and placed principal reliance on the case of United States v. Spock, 416 F. 2d 165, 180-183 (1st Cir.).
It may well be that with respect to the matter of special questions different considerations are operative in the two classes of cases. See Skidmore v. Baltimore & O. R.R. 167 F. 2d 54, 70 (2d Cir.), cert. den. 335 U. S. 816/ We note, however, that even in a criminal case, the use of special questions may in certain circumstances serve as an aid to an appellate court (cf. Stromberg v. California 283 U. S. 359, 367-368), or be otherwise helpful to the proof or disposition of the case. See authorities cited in United States v. Spock, 416 F. 2d 165, 182, at n. 41. We do not agree with the defendants’ contention that the four questions here submitted were such as to lead “the jurors down the guilty trail.” In any event, "[t]he answers were not inconsistent with and were superseded by the verdicts. If the answers be considered as incorporated in the verdicts and thereby a part of them, the validity of the verdicts is not affected.” Commonwealth v. Bartholomew, 326 Mass. 218, 221.
4. Pratt and Barber argue that it was error for the judge to refuse to poll the individual jurors after the return of their verdicts. The settled law of this Commonwealth is otherwise. Commonwealth v. Goldenberg, 338 Mass. 377, 386. See *301Hernandez v. Delgrado, 375 F. 2d 584, 585-586 (1st Cir.).
5. The defendants also assign as error various elements of the judge’s charge to the jury. Pratt objects to the judge’s failure to instruct that an agreement “to participate in the unlawful combination” is essential to a finding of guilt under the conspiracy indictments. Liberty and Woodcock were denied a requested instruction that the jury, in order to find them guilty, must find that Woodcock’s words at the Commodore meeting were “coupled with a then present intent . . . of joining, participating and actively assisting in an illegal venture.” These requested instructions were adequately covered by the judge’s charge which included, inter alla, the statement that “the Commonwealth must prove as to a particular defendant . . . that he, by his own actions, words, or conduct entered into an agreement with one or more other persons to commit a crime. Now, this is not the same thing as talking to somebody about somebody else’s committing a crime.” The judge was not obliged to adopt the exact wording of the instructions requested by the defendants. Commonwealth v. Beal, 314 Mass. 210, 231.
6. Household contends that the judge’s instructions permitted the jury to find Household guilty of a conspiracy (a) with its own employees, or (b) between its own employees. See Poller v. Columbia Bdcst Sys. Inc. 284 F. 2d 599, 603 (D. C. Cir.), revd. on other grounds 368 U. S. 464, 469; Pearson v. Youngstown Sheet & Tube Co. 332 F. 2d 439 (7th Cir.), cert. den. 379 U. S. 914. However, the charge as a whole sufficiently infoimed the jurors that in order to find Household guilty, they must first find that the individual employees, Pratt or Barber or both, had conspired with someone outside of the corporation. In any event, the guilty verdicts returned against the other defendants on the conspiracy indictments involving Household clearly show that Household was not being held to account merely for an intra-corporate agreement.
7. The judge denied Household’s request for an instruction that if a gift, offer, or promise were made to Hanley *302with the sole intent that he pass it on to the members of the Rate Board, Household could not be found guilty of the bribery of Hanley under Gf. L. (Ter. Ed.) c. 268, § 7. In Commonwealth v. Barker, 311 Mass. 82, 84, 90, the defendant (in a companion case) in a prosecution for accepting a bribe insisted at trial that he had received the money only for the purpose of giving it to another municipal officer, and an instruction similar to that requested by Household was given. In the present case there was considerable evidence that at least part of the “program” was to go to Hanley himself. The judge, “[heaving given the jury correct rules for their guidance ... is not required to go further and discuss possible findings of fact upon which a defendant might be acquitted. Commonwealth v. Greenberg, 339 Mass. 557, 585.
8. Household, Barber, and Pratt urge that there was no evidence on which the jury could find that the bribe was designed to influence Hanley’s conduct in his official capacity (see G. L. c. 268, § 7), since his actions before the Rate Board were not authorized by statute, regulation or established usage. However, the jury could have found that the defendants believed Hanley was a key figure at the rate hearings, and that Hanley “used the real or supposed power of . . . [his] office to obtain money for himself ... in violation of his public duty, and that under color of his office he exercised de facto the power needed to accomplish what he set out to do” (emphasis supplied). Commonwealth v. Avery, 301 Mass. 605, 608. If, in such circumstances, the acceptance of a bribe is proscribed, as the Avery decision held, we perceive no reason why the same considerations of policy should not, under the statute, forbid the offer or promise of a bribe.
9. Household, Barber, and Pratt also claim error in the judge’s charge to the jury that if Garfinkle was a member of the Rate Board, and if Hanley was Supervisor of Loan Agencies, then each was an “officer” within the meaning of the statute, as matter of law. The defendants argue that in giving this instruction the judge impermissibly in*303vaded the fact-finding province of the jury and in effect, directed a verdict for the Commonwealth as to one element of the offence charged. This argument cannot prevail. It is true that whether the duties of a particular defendant are of a character to bring him within the ambit of a statute is a question which may properly be left to the jury. Commonwealth v. Tsafaras, 250 Mass. 445, 448. Commonwealth v. Dowe, 315 Mass. 217, 225-226. But here the judge carefully and correctly instructed the jury that the burden was on the Commonwealth to establish that the person allegedly bribed was an “officer.” He did not direct a finding that Garfinkle and Hanley were “officers” under the statute. The charge was addressed, rather, to the meaning of the statutory term.
10. Liberty and Woodcock argue that the judge committed error in refusing to instruct the jury that the “absence of a prior inconsistent statement can itself be an inconsistent statement,” for purposes of impeaching a witness’s testimony. Their theory is that the jury should have been explicitly informed that they were “entitled to believe that Heath’s trial testimony was newly fabricated” because of his earlier failure to mention any statement by Woodcock at the Commodore Hotel meeting. The omission of a single item, however, from Heath’s earlier lengthy accounts of the meeting hardly warrants the inference that his testimony at trial was newly fabricated. The judge was not obliged to burden the minds of the jurors with every conceivably helpful technicality of the law of evidence. His charge accurately stated the law in this Commonwealth as to prior inconsistent statements.
11. Likewise the judge’s instructions concerning adherence to the conspiracy by means of silent acquiescence, as challenged by Liberty and Woodcock, fairly stated the law' in this Commonwealth. Acquiescence in a conspiracy need not be indicated by words. Commonwealth v. Favulli, 352 Mass. 95, 113. See United States v. Palladino, 203 F. Supp. 35, 37-38 (D. Mass.). See also supra, p. 251. of this opinion.
*30412. The final objections to the charge, raised by Household and joined in by Pratt and Barber, relate to the establishment of the defendants’ corrupt intent as an element of the crime of bribery. First, it is argued that the judge erred in refusing to charge that if one attempts through offering something of value only to secure something to which he believes he is legally entitled, then that belief should be considered as bearing on whether he had a corrupt intent. There was some evidence that Household believed it was entitled to a continuation of the existing rate on small loans because of certain statutory language allegedly limiting the authority of the Rate Board. There was no evidence, however, that Household believed it had a legal right to pay Hanley to maintain the existing rate. Cases such as Commonwealth v. Ballou, 283 Mass. 304, 314, are therefore not on point. The judge correctly charged that belief in the legality of the rate was no defence if the jury should find that notwithstanding and apart from that belief the defendants did actually bribe a public officer. To hold otherwise would be to create a major and illogical exception to the substantive offence of bribery. Household’s position was adequately reflected in the judge’s charge that the jury could consider Household’s belief (as to the rate change) as bearing on whether Household had a motive to bribe, and hence on whether Household did in fact offer a bribe.
Household also contends that it was error to charge that a “gift or gratuity” was something which the defendant “was not legally obligated or required to give or to pay,” on the ground that this instruction “excluded from the jury’s consideration whether the offer might have been made under compulsion in fact,” i.e., involuntarily. Apart from the fact that there was no request for an instruction that the jury consider the voluntariness of the promises to pay Hanley and Garfinkle (see Commonwealth v. Enwright, 259 Mass. 152, 158-159), we feel it helpful to repeat what we said in Commonwealth v. Polian, 288 Mass. 494, 499, as applicable to many facets of these proceedings: “Charges would be end*305less as well as confusing if a judge could be compelled to call attention to every subsidiary fact and every possible inference. ... It is for the judge to decide to what extent he will state the evidence and discuss the possible inferences of fact that may be drawn from it.”
13. The defendants also raise various objections to the judge’s handling of evidentiary matters. Glynn, Farrell and Hanley assert that the judge committed error in hearing the Commonwealth ex parte on its applications for issuance of process to out-of-State witnesses, under G. L. c. 233, §§ 13A-13D. In its requests for process, the prosecution represented that one prospective out-of-State witness was “necessary and material ... by reason of the fact that he agreed with others to pay a sum of money to [bribe] Martin J. Hanley, an executive officer of the Commonwealth of Massachusetts,” and that a number of other persons were necessary and material witnesses because of their “personal knowledge that a sum of money was delivered to another for the purpose of being given to Martin J. Hanley.” The judge’s certificate issued under c. 233, § 13B, stated only that the testimony of a -witness was material because of “personal knowledge that a sum of money was delivered to another for the purpose of being paid to an executive officer of the Commonwealth of Massachusetts.” None of the prospective out-of-State witnesses actually testified at the trial.
The defendants’ contention is twofold: First, that the ex parte hearing prejudiced the judge against the defendants and deprived them of their right to a fair trial; and second, that it deprived them of their right of confrontation under the Sixth Amendment.
As to the first point, we note that the Uniform Act to Secure the Attendance of Witnesses From Without a State in Criminal Proceedings, adopted in Massachusetts as G. L. c. 233, § 13A-13D, contemplates that the materiality of the testimony of a witness be shown in the certificate of the judge of the demanding State, or else in separate proceedings commenced upon that certificate in the requested State. *306See People v. Cavanaugh, 69 Cal. 2d 262; Re Stamler, 279 App. Div. (N. Y.) 908. Presumably, the judge of the demanding State is to satisfy himself that the testimony is in fact material. A bare allegation of materiality, on the part of the prosecution, may not afford a sufficient basis for this determination. State v. Fouquette, 67 Nev. 505, cert. den. 341 U. S. 932. Contrary to the defendants’ contention, the judge here made no preliminary “findings of conspiracy” on the basis of the prosecution’s representations. He merely discharged his duty under the statute. To hold that the prosecution’s representations so prejudiced the judge as to preclude a fair trial would render useless the statutory procedure of G. L. c. 233, §§ 13A-13D. Neither the judge’s certificate nor the representations were ever seen by the jurors, who, of course, were the finders of fact.
As to the second point concerning the claimed denial of the Sixth Amendment right of confrontation, we are not certain what rights of cross-examination and of representation by counsel are claimed to have been lost. A proceeding to compel the attendance of a witness, even if it is an aid to a separate criminal proceeding, is not necessarily itself criminal in nature. Epstein v. People of State of New York, 157 So. 2d 705, 707 (D. Ct. App. Fla.), which held that a Florida proceeding under the Unifoim Witness Act, based on the certificate of a New York judge, was not criminal and did not require an opportunity for cross-examination. Here, the worst that could happen as a result of the defendants’ inability to cross-examine the prosecution during the requests for process was that a witness would be summoned who should not have been summoned. If such a witness testified against the defendants, he would be subject to cross-examination. We therefore find that the defendants were not deprived of any Sixth Amendment rights by the ex parte hearings on the prosecution’s requests for process. Even if the Sixth Amendment did apply, the error, if any, would be harmless, as none of the out-of-State witnesses testified. Consequently the triers of fact were not exposed to the prosecution’s ex parte allegations. Cf. Haller v. *307Robbins, 409 F. 2d 857, 859 (1st Cir.), where a detrimental hearsay statement as to the conduct of the criminal defendant was made ex parte by a prosecutor to the sentencing judge.
14. Several defendants take exception to the judge’s admission and exclusion of evidence. Beneficial argues that it was error to admit two statements read by Mr. Robert G. Miller at the Rate Board hearing. In the first statement Mr. Miller said that he was “an attorney . . . [from the] State of New Jersey, representing the Beneficial Finance Companies which do business in Massachusetts,” and that “we acknowledge the form of notice sent to us, telling us of this hearing.” In the second, he requested that the hearings be terminated. It is contended that there was no evidence that Mr. Miller was an agent of Beneficial, and that therefore his statements were not admissible against Beneficial. Aside from the fact that the Massachusetts business trusts owned by Beneficial do business as Beneficial Finance Company, there was testimony by Heath that in 1960 and 1961 Mr. Miller had been present at various State House hearings relative to the small loans industry; that Mr. Miller attended the 1962 meeting at the Chatham Bars Inn to discuss changes in the form of the annual report, which was prepared by Beneficial; and that on November 8, 1962, the day before the meeting in the Commissioner’s office to study procedures for the rate hearing, Mr. Miller shared a room with Glynn in the Parker House, where they were met by Heath. Robert S. Leadbetter, the assistant supervisor of small loans agencies, also testified that Mr. Miller represented Beneficial at the Rate Board hearings in 1962. Mr. Miller could have been found to be an agent of Beneficial.
15. Liberty and Woodcock contend that the judge erred in admitting against them certain evidence as to the conversations and acts of others. The constitutional issue raised by these contentions has been fully discussed in the treatment of defendants’ motions for severance, supra, p. 219, and need not again be considered here.
These defendants concede that acts and statements of *308co-conspirators made during the course of and in furtherance of a conspiracy are admissible on a conspiracy indictment. E.g., Commonwealth v. Kiernan, 348 Mass. 29, 59. Nevertheless, they argue, first, that there was insufficient evidence to link them with Glynn, Pratt, Heath, Hanley and Garfinkle as co-conspirators. The findings and rulings of the judge, amply supported by the evidence, were otherwise.
Liberty and Woodcock next urge that particular conversations of others were improperly admitted against them because they were not in furtherance of the conspiracy allegedly agreed to by Woodcock. Although the argument appears to be highly technical it is but superficially so. We have reviewed the evidence as to the various conversations, and find that in each case the evidence was probative, in context, and that there was a proper basis for its admission. The same applies to the evidence of Hanley’s trip to Washington. “[T]t is not necessary that every piece of evidence admitted should be sufficient by itself to prove the crime. Evidence which would be colorless if it stood alone may get a new complexion from other facts which are proved, and in turn may corroborate the conclusion which would be drawn from the other facts.” Commonwealth v. Mulrey, 170 Mass. 103, 110-111.
16. Liberty and Woodcock also argue that certain evidence offered by them was improperly excluded. The transcript reveals that the evidence in one instance was immaterial and in another was hearsay properly objected to. There was no error. A third objection relates to proposed extension of cross-examination. “[I]t is settled that how far the cross-examination of a witness may be deemed helpful and relevant to the issues being tried, as well as to what extent the accuracy, veracity or credibility of the witness may be tested, must be left largely to the sound discretion of the trial judge, and is not open to revision, unless it is shown that such discretion has been exercised in a way that results in the prejudice of a party to the cause by reason of either too narrow restriction or too great breadth of in*309quiry. Jennings v. Rooney, 183 Mass. 577, 579, and cases cited. Gerber v. New York Central Railroad, 288 Mass. 318, 321.” Commonwealth v. Beal, 314 Mass. 210, 229. We are of opinion that there was no abuse of discretion.
17. Hanley asserts that there was error in his joinder for trial with the other defendants. On this point, we refer to our discussion on the question of severance in the pre-trial portion of this opinion, supra, p. 219. No further elaboration is required.
18. Household contends that it was error for the judge to make a preliminary ruling that Hanley, who was not mentioned in Indictment 11910, could be found to have been a co-conspirator in the conspiracy to bribe Garfinkle charged in that indictment. The defendants Barber and Pratt have adopted Household’s argument. At the time of the judge’s ruling, during the third month of the trial, Household moved for a mistrial “on the ground that in effect the Indictment 11910 was being amended by adding the name of Hanley as a co-conspirator.” This motion was denied and Household duly excepted.
We agree with Household that the “offense must not only be proved as charged, but it must be charged as proved.” Commonwealth v. Ancillo, 350 Mass. 427, 430. The judge’s ruling as to Hanley, however, did not amount to a fatal variance between the offence charged and the one proved because the indictment included as conspirators “divers other persons . . . unknown” in addition to those named. It is true that if “the persons alleged to be unknown to the grand jury were actually known to them . . . there is a variance between the allegation and the proof which vitiates the indictment.” Commonwealth v. Galvin, 310 Mass. 733, 735. Commonwealth v. Thornton, 14 Gray, 41, 42. Commonwealth v. Merrick, 255 Mass. 510, 513. Household has failed to convince us, however, that the grand jury were aware of Hanley’s activities in connection with the conspiracy to bribe Garfinkle to as great an extent as the judge was when he made his ruling. Apparently Heath’s testimony before the grand jury did not include certain facts *310with respect to Hanley which were part of his testimony at the trial and crucial to the judge’s ruling. The grand jury might well have been able to conclude that others not known to them were involved in the conspiracy and that Hanley was involved in conspiracies other than those with which he was charged. In these circumstances, Household has not rebutted the presumption that the assertion in an indictment that certain persons are unknown to the grand jury is a true statement. Commonwealth v. Galvin, 310 Mass. 733, 735. We need not decide whether in tbe circumstances of the case before us, even if a variance were shown, it was one which prejudiced Household’s defence sufficiently to call for acquittal under G. L. (Ter. Ed.) c. 277, § 35.
19. Objection is made by Household, Beneficial, Glynn, Farrell, Liberty and Woodcock to the judge’s selective removal as to certain defendants of limitations on forty-eight items of evidence. Barber and Pratt have adopted Household’s argument. This issue arose in the following manner. Pursuant to motions of the Commonwealth, the judge made preliminary rulings during the trial that Barber, Pratt, Household, Farrell, Glynn, Beneficial, Woodcock, Liberty and Heath could have been found to have conspired to bribe Hanley as charged in Indictment 11900, and that the same persons or corporations plus Hanley could have been found to have conspired to bribe Garfinkle as charged in Indictment 11910. Simultaneously with the granting of these rulings, the judge lifted limitations on forty-eight items of evidence to the extent requested by the Commonwealth, without admitting this evidence against all of the conspirators. This evidence had originally been admitted against only one of their number. Several defendants duly excepted to these rulings. Shortly thereafter, the judge informed the jury of the changes in limitations by describing to them the portions of evidence in question and stating on which indictments, or counts, and against which additional defendants each portion could be considered. This procedure was also excepted to. Several defendants, in addition, *311filed motions at this time for severance, or in the alternative, for a mistrial, which were denied by the judge. Finally, Household requested the judge to instruct the jury that if they were uncertain as to what evidence might be considered against a defendant, they must return a verdict of not guilty against that defendant. Household excepted to the failure of the judge to so instruct the jury.
Two grounds are offered to support the proposition that this expansion of the prior limitations on evidence was improper. The first focuses on the sheer number of limitations. It is claimed by Household, Beneficial, Liberty and Woodcock that the jury could not possibly have followed the judge’s complex and intricate recital involving numerous items of evidence and a constantly changing array of defendants and counts and indictments. In addition, Household claims that only the instruction it requested could have insured a proper jury verdict.
The procedure followed here of initially admitting evidence subject to limitations and subsequently broadening these limitations and so informing the jury is well established in our law. Commonwealth v. Benesch, 290 Mass. 125, 132-133. Commonwealth v. Stasiun, 349 Mass. 38, 50. Commonwealth v. French, 357 Mass. 356, 378-380. Its use was not made improper by the fact that this case was large and complex. This was a feature of the case which the judge had to deal with as best he could; we can think of no simpler way he could have informed the jury of the necessarily complex pattern of suspensions of priai limitations on evidence than the one he chose.
Nor was the instruction requested by Household necessary to insure that a guilty verdict rested only on evidence which it was proper for the jury to consider. In his instructions the judge cautioned the jury at length that they must recall and apply all limitations on all the evidence, giving effect to the changes made during the trial by him. Implicit in these instructions was the admonition that if the jury could not remember the limitations on a given item of evi*312dence they could not consider it. In fact, it is highly improbable that the jury could or did remember all the limitations on all the evidence, but to return a guilty verdict against a defendant it was necessary that they remember only the limitations on that part of the evidence which was critical to sustain a conviction against that defendant. These were emphasized by counsel for the defendants in their final arguments. There is no indication that the jury could not or did not comprehend the limitations. “We see no reason to depart from our rule that jurors are expected to follow instructions to disregard matters withdrawn from their consideration.” Commonwealth v. Eagan, 357 Mass. 585, 589, and cases cited. See Fairmount Class Works v. Cub Fork Coal Co. 287 U. S. 474, 485. The instruction requested by Household would have required the jury to perform an exceedingly difficult, if not impossible, task which was not necessary to the return of a verdict against a defendant based only on evidence admissible as to him or it.
The second ground for objection, raised, by Beneficial, Glynn, Farrell, Liberty and Woodcock, is that, apart from their number, limitations were improperly expanded in two respects. First it is alleged that it was improper, under Commonwealth v. Benesch, 290 Mass. 125, 132, to admit evidence against some who could have been found to be co-conspirators but not all. There is nothing in the Benesch case, however, which requires that after a preliminary ruling of conspiracy, evidence originally admitted against one conspirator must be admitted against every other conspirator or not broadened at all. .The defendants cannot complain that less evidence was broadened to apply to them than might properly have been. Nor have they introduced any indication that the selective broadening of evidence was intended to put, or in fact resulted in putting them in a worse position than other defendants who were subject to this procedure. In these circumstances we cannot say that the rule applied in the Benesch case precludes application of a rule allowing selective expansion as was here adopted by the judge. See Commonwealth v. Kiernan, 348 Mass. 29, 56-58.
*313The defendants also argue that the judge’s alleged departure from the rule in the Benesch case impinges upon their Federal constitutional rights. Farrell and Glynn contend that “the substitution by the court of the arbitrary discretion of the prosecutor for the long-settled rule stated in Commonwealth v. Benesch deprived the defendants of a fair trial in violation of the Due Process Clause.” The thrust of their contention is that the judge, in ruling on the defendants’ motions to strike, abandoned his judicial responsibility to the prosecutor by allowing the prosecutor and the defendants to reach “mutual agreements” as to which evidence, theretofore admitted against a particular defendant, should be struck.67 The defendant Glynn, in particular, relies on the ruling of the judge that “in the absence of any such agreement this court will rule on the motions to strike on the basis of what it understands to be the rules of evidence relating to a trial of this kind.” In his oral argument, Glynn’s counsel referred to the above language as “shockingly cynical.”
To the contrary, we deem the above ruling of the judge to be a clear exposition of the fact that he would exercise his judicial responsibility in applying the rules of evidence. The judge made this clear when he specifically ruled that *314“[t]his Court does not feel that it is bound or limited by the Commonwealth’s statement of intent or of its 'rule of fairness’; and it does not consider anything which has occurred to this point as establishing a 'law of the case’ requiring the striking of any evidence which is otherwise properly in the case.” An examination of the transcript and the judge’s rulings supports the foregoing disclaimer of judicial abdication to the prosecutor and reveals that the judge in actuality was extremely circumspect in admitting various items of evidence against the respective defendants and thereby minimized any possible prejudice.
Thus, Glynn’s argument is reduced to the patently specious assertion that he was deprived of a fair trial because the prosecution did not offer and the judge did not admit all of the evidence against all of the defendants. It is beyond our comprehension how Glynn can claim prejudice from the fact that evidence which could only be damaging to his defence was not admitted against him. Indeed, it is apparent that the judge showed the greatest possible deference in protecting the defendants’ rights by striking a balance between any conceivable harsh effect of admitting all of the evidence against all of the conspirators, regardless of the scope of their involvement in the conspiracy, and the totally impractical alternative of having eight separate trials.
Glynn and Farrell further claim that certain other expansions of the evidence were improper because the portions in question were originally admitted against Hanley and Garfinkle, “who . . . [[were] not connected by finding or ruling with” the counts and indictments as to which the portions of evidence were expanded. The fact that these expansions were not based on the preliminary rulings of conspiracy does not, however, mean they were improper. As we have previously noted, the indictments in the first grouping were converse indictments, some charging those who gave the 1962 bribes and others charging those who accepted them. The same evidence, therefore, seen in the light of other evidence later admitted, might well have been relevant and proper in connection with both types of *315indictments, although it was only originally admitted in connection with one.
With respect to the foregoing point, Beneficial also makes, apparently for the first time, the very peremptory argument that this procedure denied it the opportunity of cross-examination and therefore violated its right of confrontation. The Commonwealth asserts that the defendants failed to save adequate exceptions on this point and that it cannot now be considered by us. Commonwealth v. Myers, 356 Mass. 343, 346. Commonwealth v. Foley, 358 Mass. 233, 236. It is unclear whether the basis for this argument was adequately identified and exceptions saved. In any event, the transparent sophistry of this argument is illustrated by the fact that the defendants were well aware during the course of the trial that the judge could have admitted all of the evidence against all of them. Therefore their opportunity to cross-examine was in no way undermined by the fact that the judge chose not to admit certain evidence against certain defendants. Moreover, it was within the power of the defendants to request that witnesses be subject to recall. There was no error.
20. All of the defendants have appealed from the denial of their motions for a new trial. These motions were filed after the start of the second trial and were based on material made available to them by the prosecution during that trial. The defendants contend that portions of this material were relevant to their defence in the first trial and that it should have been made available to them at that time, since this material was then in possession of the prosecution. The judge held a hearing for three days on the various allegations contained in the several motions, and disposed of them together in a comprehensive decision.
The objections of the defendants fall into three different categories. We deal with each one separately, designating for each the defendants who rely on it and the rulings of the judge relating thereto.
Household’s objection is directed at the expense vouchers (supra p. 247) of the witness Heath for each week from the *316week ending September 8, 1962, through the one ending October 20, 1962. The defendants Barber, Pratt, Liberty and Woodcock have adopted Household’s argument relating to these vouchers. It is contended by Household that the vouchers would have been valuable in impeaching part of Heath’s testimony. Heath testified extensively about a luncheon meeting he had with Glynn and Pratt in Boston at Purcell’s restaurant, "within a week or one or two days prior to October 17 [, 1962].” During this meeting the possibility of bribery in connection with the 1962 Rate Board hearings was first discussed.68 The vouchers, however, cover every business day on which Heath was in Boston during this period and include an entry for every lunch time showing that Heath was entertaining guests other than Pratt and Glynn. Since the judge’s instructions permitted the jury.to find Household guilty if they found Pratt guilty, Household claims that the vouchers were sufficiently important to its defence that their nondisclosure by the prosecution calls for a new trial, regardless of the good or bad motives of the prosecution in not disclosing them.
The judge, in rejecting this argument, noted first that the vouchers were not as significant as the defendants claim. "The expense vouchers were not complete records of Heath’s daily activities, but only records of expenditures for which he sought reimbursement from his employer. . . . [T]he absence of any entry for a luncheon at Purcell’s Restaurant, or for any similar occasion or meeting, is not evidence that such luncheon or meeting did not occur. It may be evidence that Heath incurred no reimbursable expense for such a meeting, but it does not prove that the meeting did not take place.” Among the judge’s other findings relevant to this issue are the following: (1) "The total volume of records, documents and material turned over to the Attorney General by the Commission amounted *317to the equivalent of the contents of about twenty-four (24) ordinary file drawers,” not all of it germane to the indictments in the first grouping. (2) “Prior to and during the trial, the Prosecutor caused copies to be made of a large volume of records, documents and material in his possession and which he thought might relate to the indictments on trial; he seasonably furnished the defendants with such copies. ... In this connection the Prosecutor or persons acting for and under him made a reasonable and diligent search and examination of all the material in the Commonwealth’s possession. The Commonwealth seasonably delivered to the defendants either the originals or copies of all the material in its possession which the Prosecutor thought related to the indictments on trial and which he thought the defendants were entitled to receive.” (3) “[The disclosure by the Commonwealth] was probably the most full and complete disclosure ever made in the trial of a criminal case in this Court.” On these facts the judge concluded that “[t]he Commonwealth acted with full and complete reasonableness, diligence, and good faith in considering and deciding what material it was required to make available to the defendants in connection with said trial . . . [and] did not consciously, knowingly, intentionally, or otherwise suppress or withhold from the defendants any material which the defendants were entitled to see or receive in connection with Said trial.”
The judge’s findings are supported by the evidence and his conclusions are not inconsistent with the Federal Constitutional principle that “the suppression by the prosecution of evidence favorable to an accused . . . violates due process where the evidence is material either to guilt or to punishment, irrespective of the good faith or bad faith of the prosecution.” Brady v. Maryland, 373 U. S. 83, 87. The Supreme Court of the United States has to date refused to decide “whether the prosecution’s constitutional duty to disclose extends to all evidence admissible and useful to the defense, and the degree of prejudice which must be shown to make necessary a new trial.” Giles v. Maryland, 386 *318U. S. 66, 74. The Giles case, in fact, the court’s most recent decision on the prosecution’s duty to disclose, was decided by a 5 to 4 court and failed to produce even a majority opinion, despite the Court’s avoidance of the broad questions presented to it. In this unsettled state of the law, we conclude that the prosecutor’s duty to disclose must be measured by the directness of the materiality of the item of evidence in question to the defence taken together with the sheer volume of all the evidence in the hands' of the prosecution. It is clear that the greater the body of evidence, the less feasible it is for the prosecutor to weigh each item deliberately and at length for its possible usefulness to the defendant in response to a general request by the defendant for disclosure of whatever the prosecution might have that might be useful. In such circumstances, the Federal Constitution does not require a new trial on the ground that the prosecutor’s decision with respect to a marginally useful item of evidence was not what it might have been under ideal conditions. We can only expect and require under the due process clause “essential fairness of . . . procedure” (Barbee v. Warden, Maryland Penitentiary, 331 F. 2d 842, 846 [4th Cir.]) and good faith, not perfection.
The significance of the vouchers to the defence here, and the volume of evidence which the prosecution possessed in this case, are both sufficiently distinct from the comparable facts in the Supreme Court of the United States cases from 1935 requiring disclosure, to warrant a different result. The crimes involved in those cases were less complex (e.g. murder and rape-murder) and the evidence considerably less voluminous. Furthermore, in those cases the cardinal importance of the undisclosed facts to the defence was clear; in some the prosecution had acted questionably or in outright bad faith in concealing them. Brady v. Maryland, 373 U. S. 83. Miller v. Pate, 386 U. S. 1. Mooney v. Holohan, 294 U. S. 103. Alcorta v. Texas, 355 U. S. 28. Napue v. Illinois, 360 U. S. 264. See Giles v. Maryland, 386 U. S. 66.
*319Household stresses Mr. Travers’s testimony that he made “a conscious, intentional decision not to produce this evidence” and that the vouchers were not therefore overlooked by the prosecution in deciding what to disclose. Household does not charge misconduct on the part of the prosecution in deciding not to produce the vouchers, but contends rather “that Mr. Travers improperly allocated to himself the functions of the court in determining their producibility and the functions of defense counsel in determining their usefulness.” However, this argument ignores the fact that Mr. Travers had twenty-four file drawers full of materials relating to the indictments returned in February and May, 1964. It was necessary for him, therefore, to decide with respect to all the evidence he had whether he should make any given item available to the defendants, and this decision, of necessity, had to be based on the relevance and possible usefulness of the evidence to the defendants. Far from usurping a function which was not his, Mr. Travers was simply performing a necessary preliminary step to disclosure. Even Household does not suggest that he should automatically have handed over all twenty-four file drawers. Nor do we feel, even in the light of hindsight, that the vouchers would have been of sufficient importance to Household in its defence as to require a new trial because Mr. Travers exercised his judgment in the way he did.
The defendants Glynn and Farrell, in an argument adopted by Beneficial and Hanley, claim that Heath’s vouchers for the period from June 1, 1962 to September 30, 1962, should have been made available to them. In an argument similar to Household’s, they claim that the vouchers, covering every business day during the summer of 1962, would have been useful in impeaching Heath’s testimony that three incriminating meetings involving himself, Glynn, and Hanley took place during that summer. Unlike Household, Glynn and Farrell allege in addition that the prosecution knowingly and in bad faith suppressed this evidence, pursuant to a “deal” with Heath that the vouchers would not be used at any trial. The judge found *320that no such deal was made and this finding was not clearly erroneous. Their argument thus stands on the same footing as Household’s. We reject it for the same reasons that we rejected Household’s, weighing on the one hand the less than crucial importance of the vouchers, discussed at some length by the judge, and on the other the quantity of evidence in the hands of the prosecution.
Liberty and Woodcock object to the nondisclosure of two portions of Heath’s grand jury testimony which it is alleged “would have materially affected his credibility” and to an alleged misrepresentation by the Commonwealth of “the consequences of cross-examining Heath on a portion of his grand jury testimony supplied only to these defendants.” The first portion of Heath’s grand jury testimony which it is alleged should have been produced at the first trial is his testimony on December 17, 1965, the last day Heath appeared before a grand jury before the start of the first trial, seven months later. It is alleged that this testimony was significant because “[i]n that testimony . . . [Heath] did not even name Woodcock as being among those present at the all-important Commodore [Hotel] meeting, much less have him say anything.” It should be remembered, however, that Heath testified at great length and over a considerable period of time beginning in January, 1964. The judge found that “[n]either the defendants nor this Court can expect that on every date and on every page of the transcript of every statement made by the witness Heath, or by any other witness, the witness will give and repeat the aggregate of all of his testimony on any particular issue, event, occurrence, or case.” At other times before the special grand jury which returned these indictments Heath specifically placed Woodcock at the meeting. In addition, it was brought out on cross-examination of Heath at the trial that about three years before he had not been sure whether Woodcock was present at the meeting. Thus, this evidence would have added little, if anything, to that which was already before the trial jury tending to cast doubt on the re*321liability of Heath’s memory. Plainly, at any rate, this evidence was not material.
The second portion of Heath’s grand jury testimony which it is alleged was material to Liberty’s and Woodcock’s defence was a statement by Heath that he felt that Woodcock was trying to blackmail him in 1957. Liberty and Woodcock claim that this statement could have been used by them to impeach Heath’s testimony at the trial that the defendants were his friends and that in particular he was “on cordial terms with all of the [Liberty] personnel in my area.” However, as the judge noted, “[Heath] did not claim or testify that all the defendants were his friends at the time he was testifying. If they were no longer friends at the time of trial, the reason is understandable. Neither did he specify when they were all his friends. Indeed, an examination of the entire transcript of his testimony at this trial indicates that he had worked with Woodcock for the same employer for a number of years before Woodcock left to go with Liberty, and that they were good friends ‘over a period of years.’ That is not inconsistent with Heath’s Grand Jury testimony about the ‘blackmail’ conversation with Woodcock. Further, between the date of that conversation and the time of trial in this case, nine years had elapsed, and there was much evidence of friendship between Heath and Woodcock during the intervening period.” With respect to Heath’s remark about the Liberty personnel in his area, the judge noted, “Woodcock was Liberty’s Executive Vice-President at Liberty’s home office in Missouri, and was not at any time part of the Liberty personnel in Heath’s area.” Therefore, to the extent this evidence could in fact have been used to impeach Heath on a matter which was not crucial to the indictments on trial, it would have been of only minor importance.
Finally, Liberty and Woodcock allege that the prosecution improperly deterred defence counsel from cross-examining Heath with respect to his grand jury testimony that at the Commodore Hotel meeting Woodcock refused to pay any money to Hanley. This portion of Heath’s *322grand jury testimony was made available in the first trial to Liberty and Woodcock only. The defendants did not bring up this exculpatory prior testimony on cross-examination of Heath, however, because they were warned by the Commonwealth that if they did “it would result in the introduction of evidence of another crime.” Thinking that the other criminality referred to was that with which Liberty and Woodcock were charged in indictment 11908, yet to be tried, counsel decided not to inquire further. At the second trial, during which Heath’s grand jury testimony with respect to indictment 11908 was first made available, it developed that Woodcock had made no statements incriminating him in connection with that indictment at the Commodore Hotel meeting. The criminality the prosecution was referring to, according to Mr. Travers’s testimony on the defendants’ motions for a new trial, was a third conspiracy, called the “legislative program,” for which some defendants but not Liberty and Woodcock were indicted.
The defendants allege that the prosecution's statement was a conscious misrepresentation requiring a new trial. We disagree. As the judge noted, the statement of the prosecution was “perfectly correct, proper, and truthful” as it stood. The prosecution is not responsible for whatever interpretation may be made by defence counsel. We agree also with the judge that “[tfjhese defendants were represented by able and experienced counsel who were free to weigh the statement and make their own decisions thereon, and they did so. They were free to continue cross-examinatian or not, as they saw fit. If they decided not to cross-examine further on any point, it was not because of any misrepresentation by the Commonwealth. It is not necessary for the Court or anyone else to indulge in the idle luxury of hindsight and thereby speculate whether the decision of counsel on matters of trial strategy was correct or not.”
21. The final issue we treat with in the first trial relates to *323the sufficiency of the evidence to allow the substantive indictments (offering bribes to Hanley and Garfinkle) to go to the jury. Pratt, Barber, Woodcock, Liberty, Beneficial and Household raised this point through motions for directed verdicts. Beneficial raises this question on appeal in conjunction with its argument as to the sufficiency of the evidence on the conspiracy indictment. Household raises it in connection with its attack on the judge’s charge. Barber, Pratt and Household also challenge the admission of certain evidence admitted against it under the substantive indictment.
It is true, of course, that proof of a conspiracy, without more, does not justify a finding that a conspirator has committed the offence which is the object of the conspiracy. Commonwealth v. Stasiun, 349 Mass. 38, 47. We assume it is also established that to convict a defendant as a principal bis scope of activity must surpass that of mere acquiescence and reach that of active participation. Cf. Commonwealth v. French, 357 Mass. 356, 391-392, (conviction of a conspirator as an accessory before the fact upheld), and cases cited.
The evidence we have previously recounted with respect to each of the corporate and individual defendants demonstrates that each of them actively participated in the offer to bribe Hanley and Garfinkle. Without reviewing this evidence again, suffice it to say that it shows that the defendants specifically delegated to one of the co-conspirators, namely Barber, the authority to offer a bribe to Hanley. One may be convicted as a principal where he delegates to an agent the authority to do the act. See Commonwealth v. Dolan, 304 Mass. 325, 339. We have previously discussed at length the question of an agent’s authority to bind his corporation. We do not repeat it here. The judge properly admitted evidence of statements by Farrell, Glynn and Heath against Barber, Pratt and Household. There was no error in the denial of the defendants' motions for directed verdicts.
*324PART III.
The Second Trial.
A. The Evidence.
In the opening statement of this opinion we explained that the evidence in the first trial centered around one particular event — the payment of bribe money to “fix” the 1962 rate hearings, whereas the evidence in the second trial covers a seven year period during which Hanley was continuously paid money to bestow various favors upon the small loans companies.
Stated in its aspect most favorable to the Commonwealth,69 this evidence is summarized as follows:70 During the period covered by these indictments (1957-1963) different statutory limitations were imposed upon the making of “small loans.” Before 1956, the law required that any person engaging in the business of making loans of $300 or less had first to obtain a license from the Commissioner of Banks. G. L. c. 140, § 96 (as amended through St. 1941, c. 158, § 1). In 1956 this statute was amended to apply to loans of $1,500 or less, and as we have seen, the limitation was extended to cover loans of $3,000 or less in 1962.
The Commissioner of Banks also had the power to establish regulations governing the granting of “small loans” licenses and the business conducted by the licensees. Licenses are granted for a one year period and at least once during the year the affairs of the licensees must be investigated. G. L. c. 140, § 97. All licensees must make a return to the Commissioner showing a trial balance of the books of the licensee “with such other information as may be called for by the commissioner in accordance with a blank *325form to be furnished by him.” G. L. c. 140, § 98. In order to assist him in carrying out these statutory functions, the Commissioner of Banks also has the power to appoint a deputy as supervisor of loan agencies. Hanley was appointed supervisor of loan agencies in February, 1950, and remained in this position at all times material to this case.
On October 1, 1953, comprehensive regulations governing the small loans business became effective. These regulations established a license fee of $200 and specified the form of license application. The regulations state that “Cflhe total amount to be paid on any loans for interest and expenses shall not, in the aggregate, exceed an amount equivalent to 2% a month for a period terminating not later than one year after maturity, and to 6% per annum after the termination of said year, on the amount actually received by the borrower, computed on the unpaid balance.”
The regulations vest substantial powers in the office of the supervisor to superintend the small loans industry. They provide that “[n]o change in the location of a licensed business shall take place without the prior written approval of the supervisor,” and require that notice of changes of office managers be filed with the supervisor. In addition “MU forms used in connection with the making and recording of loans . . . must have the prior approval of the supervisor.” On or before November first of each year licensees are required to file an annual report “on a form furnished by the supervisor.” Advertising material of the licensees was also regulated and ordinarily decided upon by the supervisor. In 1960, these regulations were amended. The amendments followed a number of meetings and public hearings held during the year 1960, and were preceded by temporary revisions.71
The division of loan agencies, of which Hanley was the supervisor, also had as its general responsibility the examination of licensees, the enforcement of consumer credit *326laws and regulations, and the general protection of the borrowing public. Within the division, the supervisor decided whether an applicant would be licensed and approval by the Commissioner of this decision was generally routine. The examinations of licensees by the division were conducted once a year by twenty-six examiners. An examiner was required to visit each of the licensed loan offices to check for overcharges or any violations of the law or the regulations.
During the yeais involved in these indictments there were approximately 325 licensed lending offices in the Commonwealth. About seventy per cent of these offices were so called “chain offices” — offices controlled by the same individual or company. The principal chain companies were Beneficial, Household and Public, which were known as “The Big 3,” plus Seaboard Finance, Liberty Loan, and Local Finance Corporation. “The Big 3” had approximately 138 offices, of which Beneficial had fifty-eight and Household and Public about forty each.
At this point, we believe it helpful to identify the individual and corporate defendants as well as other companies and persons involved in the second trial.
During the period in question, Farrell, Glynn and Newhall were employed by Beneficial Management — the wholly owned subsidiary of Beneficial.72 Farrell was a vice-president and director of Beneficial Management and head of the company’s “public relations department.”73 In December, 1956, the defendant Newhall became regional director for public relations of Beneficial Management. His region included Massachusetts. He continued in these duties until the early part of 1958.74 At that time, he was replaced as regional director for public relations in the *327Massachusetts region by the defendant Glynn, who was actually appointed in February, 1957.75
From 1957 through September of 1962, one Marlin E. Lerch was eastern director of public relations for Household.76 In September or October of 1962, the defendant Barber replaced Lerch. Prior to that time Barber had been a regional director of public relations with responsibility for Washington, D. C., Pennsylvania and Maryland.77 From 1957 through December, 1958, Warren Engle did public relations work in Massachusetts for Household.78 In September or October of 1959 Pratt became Household’s public relations representative with responsibility for the six New England States. He remained in this position until approximately October of 1963. In 1962, Barber succeeded Lerch as Pratt’s superior.79
Local owned, during the years 1957 through 1963, approximately fourteen subsidiaries which were licensed to engage in the consumer loan business in the Commonwealth. From 1957 through 1962, one John McHenry, Sr., was the president of Local and the man who “ran the corporation.”80 He was in charge of its business and was responsible for public relations and trade associations. It was also his responsibility to deal with public officials. During the early part of this period one Michael E. Sands was assistant treasurer and chief auditor of Local.81
American Investment Company of Illinois, a holding company, operated a number of subsidiaries which were Massachusetts small loans licensees doing business under the name of Public Finance Company. Heath, who was one of the Commonwealth’s principal witnesses, became an executive supervisor of the Boston division of American in *3281949. In 1952 he became a vice-president. Heath held these positions until January, 1958. From about 1953, Heath had also been performing public relations in Massachusetts which included maintaining contact with Massachusetts supervisory officials. On January 8, 1958, Heath became regional director of industry relations for American. His duties in this position covered all of the New England States except Vermont. His immediate supervisor was one J. Miller Redfield, a vice-president of American, who was in charge of the industry relations department. Heath’s duties involved maintaining good relations with members of the industry representing other companies, as well as dealing with legislative and supervisory officials. In connection with these duties Heath met with Hanley about three times a week, both socially and on business.82
Another important witness for the Commonwealth was one Louis Schwartz. Schwartz was president and trustee of Community Finance Company (Community) during the years here involved. Community was a Massachusetts trust that wholly owned a subsidiary corporation, Coleman Finance Company (Coleman). Coleman held three Massachusetts small loans licenses during the years 1957 through the fall of 1963. Schwartz made the policies of Coleman at all times material to this case.
Other individuals involved in the evidence in this trial are Woodcock of Liberty and one Calvert Bean, a high executive of Preferred Finance and State Loan and Finance Corporation.
In 1957, the Rate Board held rate hearings.83 These hearings were held in the fall.84 In December of 1956, or January, 1957, Schwartz was appointed chairman of a special committee of the Massachusetts Consumer Finance Association, an industry trade association, which was gathering *329statistics for the forthcoming rate hearing. The purpose of the committee was to approach all licensed compames, to advise them of the statistics which the committee was collecting, to present the licensed companies with forms to put the statistics on, and to send that information to Haskins and Sells, certified public accountants.85
Beneficial was a member of the Massachusetts Consumer Finance Association from 1957 through 1960. Newhall represented Beneficial on the executive committee of this association from 1957 through early 1958, at which time he was replaced by Glynn.86 Household was a member of the association during 1957 and part of 1958. Household was represented on the executive committee by Lerch and Engle. Lerch was Engle’s supervisor.87 Local was represented on the executive committee of the association by McHenry, its president, and was a member from 1957 through 1961.88 Other members included Merchants Acceptance Corporation (MAC) represented by one Charles McDermott, Jr., its president.
Schwartz testified that he saw Hanley three times concerning the work of this special committee. On one of these occasions, about June 15, 1957, Schwartz ate lunch with Hanley and Heath at the Parker House in Boston. At the beginning of this lunch, the three of them were discussing rates in general when Hanley said to Heath: "Unless they dig up $50,000 before the Regulatory Hearing — They’d better dig up $50,000 before the Regulatory Hearing, or else.” Hanley then said "that he could present a convincing case for a rate of 1.59 percent per month.” Schwartz said that "this was an impossible rate and that . . . [he] would liquidate if we had such a rate.” Heath said to Hanley: "You’re crazy. They can never raise that kind of cash.” *330Hanley responded: “Well, I might be willing to take $25,000 a year, spread over instalments for two years.”89 ' In his testimony Heath corroborated this incident. He testified that Hanley “pointed out what an important role he would play in the fixing of any rate by the Rate Board. He pointed out the statistics in his office would show that a small independent company . . . had shown conclusively over the years that they could operate at a rate of 1^ per cent per month.” Hanley also stated that “one of the largest finance companies in the nation had been successfully operating over a period of years above the licensed small loan limit at a rate of 1^>% a month.” Hanley further said “it would not be too difficult to prove to the Rate Board that if one company could do it, the other companies could do it.” Replying to Hanley, Heath said, “I am not a statistician, but I doubt very much if my company can successfully operate in the State of Massachusetts at a rate of 1%% per month.” Heath related that Schwartz told Hanley that “even if the big chains could operate at a figure of l^i% a month, it would be the death knell- of the small independent operator such as he, and he would in substance have to go out of business.” Heath testified that Hanley then responded to Schwartz, that “upon payment of the sum of $50,000, he felt that the Rate Board would bring out a rate that would be easy to live with for the industry.” Heath and Schwartz then declared that the industry could not “raise that kind of money,” and Hanley indicated he might accept $25,000 over two years.90
Shortly after this luncheon meeting, Heath reported it to his superior, Redfield,91 American’s vice-president, and the man in charge of its industry relations department.
Schwartz testified that a day or two after the meeting with Heath and Hanley, he received a telephone call from *331Newhall92 who was then Beneficial’s Regional Director for Public Relations.93 Newhall asked Schwartz to come to Newark, New Jersey, the following day to attend a meeting concerning the gathering of statistics for the Rate Board hearings. Schwartz said that he would be there.94
The following morning Schwartz flew from Boston to Newark. He took a cab to the offices of Haskins & Sells, and went to the room where the conference was being held. He entered and found about twenty people in the room, sitting around a conference table. As Schwartz entered the room, Newhall said, “Mr. Schwartz of the Coleman Finance, -Boston,” and pointed to an empty seat. About an hour after Schwartz arrived Newhall stood up and said to Schwartz, “I understand you had luncheon with Mr. Hanley yesterday.” Schwartz said, “Yes.” Newhall asked, “Did he say anything about a rate?” Schwartz said, “Yes.” Newhall asked, “What was it?” Schwartz told Newhall that “Mr. Hanley had suggested a rate of 1.59, and I wasn’t sure whether it was 1.59 or 1.69 percent per month.”95
Later that afternoon, after having had lunch in the same building in which the conference took place, Newhall approached Schwartz and said, “Louis, stay behind for a few minutes. We’re going to have a private meeting of some of the men who come to Boston.” Schwartz said, “Okay.” Newhall then left the room leaving Schwartz alone. A few minutes later Newhall returned with Lerch of Household, Redfield of American and a representative of Family Finance Corporation (Family). Lerch and Redfield had not been present at the original meeting, but had been present at lunch. Newhall approached Schwartz and said, “Louis, I understand that Mr. Hanley, in addition to mentioning the rate, said that he was looking for $50,000 and would take it *332in two instalments of $25,000 each, spread over two years.” Schwartz said, “That’s right.” Newhall, Lerch, Redfield and the man from Family then went to the other side of the room, where they had an animated discussion lasting about five or ten minutes. At the end of their discussion Newhall walked over to Schwartz and said, “We’ll work something out.” After this conversation everyone went back to the conference room. The meeting continued uptil about 4 p.m., when it broke up, and Schwartz returned to Boston.96
The following morning, while in his office, Schwartz received a telephone call from Hanley.97 Hanley told Schwartz that he understood that Schwartz “had been in Newark the day before and that they said that they would work something out for” him. He asked whether Schwartz knew what they were going to work out and Schwartz said he did not.98
About two or three days later Schwartz was at his office when he received a telephone call from Newhall. Newhall said, in substance, “that he was working on that matter and was making some progress and that . . . [¡Schwartz’s] assessment was to be $2,000, payable in instalments over two years.” Schwartz said, “I don’t know why I should get involved in a matter that was a problem for the big chains to straighten out.” Newhall then told Schwartz, in substance, that “[w]e have got to get the ball rolling because the hearing is taking place in September, and I believe that I will be able to take care of the matter without your help, and you can drop out of it.” Schwartz said, “O.K.”99
Two weeks later Schwartz received another call from Newhall. Newhall said that he was on his way down from Maine, and asked whether Schwartz would be in his office. *333Schwartz said, “Yes.” Newhall then said, “I will drop in to see you within an hour.”100
About an hour later Newhall arrived at Schwartz’s office. Schwartz was seated behind his desk. Newhall told Schwartz that he had “brought an envelope down for Mr. Hanley.” He handed Schwartz the envelope, and just as Schwartz was about to put the envelope in his desk Newhall said, “Louis, you’d better count it because, if it’s short, I will be responsible for it.” Schwartz counted it. It was $2,000 in either hundreds or fifties. Schwartz said it was correct, and put it in his desk. Newhall then mentioned that Schwartz’s office was conveniently located in Boston, and asked whether Schwartz would have any objection “if Charlie MacDermott and Jack McHenry, Sr., dropped an envelope off.’’ Schwartz replied that he had no objections. Newhall also mentioned that “the assessment was to be paid in equal — in instalments over a period of two years, to coincide roughly with the income tax period, and that the first payment was to be in two instalments.” Newhall stayed for a total of about fifteen minutes and after he left, Schwartz put the envelope in his private safe.101
The following day Schwartz received a telephone call from McHenry who asked whether Schwartz would be in. Schwartz replied that he would be. About ten minutes later McHenry arrived at Schwartz’s office. McHenry handed Schwartz an envelope and said, “This is for Martin.” The envelope felt as if there were several pieces of paper in it. McHenry then said, “Louis, I put your telephone number on the envelope. Will you please erase it?” Schwartz erased the telephone number, and put the envelope in his desk drawer. After McHenry left, Schwartz put the envelope in his private safe.102
*334The following day, while Schwartz was in his office, he received a telephone call from Hanley, about 10:30 a.m. This was sometime in July of 1957. Hanley said, “I understand that you have something for me.” Schwartz replied that he did and Hanley suggested that they have lunch. But an hour later Hanley again called and said that he was going to be “tied up” and that he would call Schwartz later that day at Schwartz’s home. Before Schwartz left his office he went to his private safe and removed three envelopes. He added an envelope of his own containing $500 in large bills.103 About 4 p.m. that afternoon Schwartz received a telephone call at his home from Hanley who asked, “Is it all right to come over to the house?” Schwartz replied, “Yes.” About fifteen or twenty minutes later Hanley drove up to Schwartz’s home, entered and went into the library. Schwartz was alone in the house and handed the envelopes to Hanley who left immediately.104
During the year 1958, Schwartz made approximately four more payments to Hanley. All of these payments were made in the men’s room of the Parker House Grille and each was in the amount of $250. They were made in quarterly instalments on or about March 15, 1958,105 June 15,1958,106 September 30, 1958,107 and December 15, 1958.108 Thus Schwartz paid Hanley, on behalf of Coleman, a total of $1,000 during 1958.
Near the end of 1958, Schwartz received a call from Glynn who asked him if he had seen Hanley lately. Schwartz said, “No I haven’t seen him for about six months.” Glynn responded, “Baloney! I saw Martin a few days ago, and he *335said you are the only one who paid his instalment or assessment on time.”109
Heath testified that he paid Hanley a total of about $2,000 on behalf of American as its proportionate share during 1958. Cash payments of about $500 were made quarterly on or about March 15, 1958, June 15, 1958, September 15, 1958, and December 15, 1958.110
Heath also testified that in the summer of 1958 he attended a meeting in Hanley’s office concerning schedule O of the annual report form for small loans licensees (delinquency schedule). Representatives of other companies in the industry were also present. The persons present included McHenry of Local, Glynn, regional public relations director for the Beneficial companies, Engle, who did public relations work in Massachusetts for Household, and others.111 From time to time Edward Counihan, the Commissioner of Banks, was present. The industry representatives sought changes in schedule O. Hanley stated, in substance, that he had “no intention of backing off on Schedule O.” He stated that he had an early appointment, and did not have time to discuss other matters which the industry was trying to bring into the meeting.112 Just after this meeting, when only Heath and Hanley were present, Heath had another conversation with Hanley regarding schedule O. Heath said, in substance, “Schedule O would incur considerable expense on the part of American Investment Company.” Hanley responded that he “would be willing to back off on Schedule O if the annual arrangement, which he stated in substance was nine months overdue, was taken care of.” 113
*336In the fall of 1958, Heath, Hanley, Glynn, Engle and two other persons went on a duck hunting trip to Canada. The idea for the trip originated with Hanley. The group first went to the Chateau Frontenac in Quebec and stayed overnight. The next day they went to the Isle de Gruos in the St. Lawrence, about 100 or 150 miles from Quebec. They stayed on the island for four days, shooting geese or ducks. Glynn, Engle and Heath stopped at Valle’s Restaurant in Portsmouth, New Hampshire. There they had an accounting of the various expenditures of the trip, so that the three of them shared equally. The total amount involved was somewhere between $1,500 and $1,800.114
In the early part of 1959, Heath spoke to Hanley concerning the scheduling of payments. Hanley objected to payments four times a year and wanted them paid twice a year — on March 15 and September 15. Heath reported this conversation to his superior, Redfield.115
Around March 15, 1959, Heath paid Hanley about $500 in hundred dollar bills.116 On approximately the same date Schwartz gave Hanley $250 in the Parker House men’s room.117 Schwartz gave him an additional $250 in the same place between June 15 and June 30, 1959.118
Schwartz testified that during 1958 or early 1959, he had a telephone conversation with McHenry about the Hanley payments. McHenry said, “I am going out of town. I may be gone for ten days, possibly two weeks, and there is an instalment due Mr. Hanley. He raised the roof *337when I was late the last time and made an awful smell about it. Would it be all right if I send a payment up to your office with Mike Sands?” Schwartz just said, “O.K.” That same day Sands, an employee of Local, arrived at Schwartz’s office and handed him a sealed envelope. Schwartz put the envelope in his desk. A few minutes later, after Sands left, Schwartz put it in his private safe. A day or two after that Schwartz took the envelope out, added it to one of his own, and delivered both to Hanley. This took place in the Parker House men’s room, on one of the occasions already described above.119 Sands’s testimony corroborated this incident.120
In late 1959, Heath, in a conversation with Glynn, told him about a suggestion made by Bean of State Loan and Finance that “he [Bean] and others in the industry might want to come into the present annual program, because those that were not in would have more difficulty, in his opinion, than those that were.” Glynn told Heath that he was already aware of Bean’s suggestion, having heard of it from his home office.121
In late 1959, or early 1960, Heath had another conversation with persons in the industry regarding Bean’s suggestion. This took place in New York City in a function room at either the Roosevelt or the Commodore Hotel. A number of people were present, including Heath’s superior, Redfield. Other persons present included Farrell and Glynn and Lerch.122 The persons at the meeting were sitting around a table, in close proximity to each other. Several subjects were discussed at this meeting. One of these related to Hanley. Concerning Hanley, Farrell said, in substance, “Now we come to the problem of expanding the MJH annual program.” A figure of $18,000 was mentioned by *338one of the persons present. Lerch, Farrell and Redfield, in substance, “stated that they were in favor of the program” and that the. shares for the companies which they represented “were to be based on the percentage of the outstandings of the various individual companies.” Farrell and Redfield stated in substance that they had knowledge that Schwartz and MacDermott, “. . . members of the previous program were unhappy about the burden they were carrying in that program, based on the smallness of their organization as compared to their share in the program.” Farrell and Redfield stated that “if a readjustment was not made . . . these members might withdraw.”123
During October, 1959, Schwartz was negotiating with McHenry concerning a sale of two of Schwartz’s offices to Local. A sale was negotiated, and a contract signed. About a week before the date set for the passing of papers McHenry came to Schwartz’s office. In the course of their conversation McHenry said to Schwartz, “I was up to Boston and saw Martin, and I told him I was interested in buying the two offices, and Martin said it was o.k., but he wanted $2,000 from . . . the buyer, and $2,000 from . . . the seller, to approve the deal.” Schwartz said, “Do you think it is necessary? We’re just selling the offices. Why the $2,000?” McHenry replied, “Well, that’s the deal. Take it or leave it.” Schwartz then said, “If that’s the only way I can sell, I will have to pay the $2,000.” Around December 20, 1959, Schwartz paid this $2,000 to Hanley. The payment, in large bills, was made at the Parker House Grille. On the day set for the passing of papers Schwartz was informed that Local had decided not to purchase the offices.124 Shortly thereafter Schwartz sold these two offices to a third party.
Not long after the December payment to Hanley, Schwartz received a telephone call from Glynn.125 Glynn said, *339“Louis, Charlie MacDermott is kicking like the devil about his assessment, and we have cut it down to a thousand dollars, and we have cut your assessment down to $750.” Schwartz said, “I took care of my assessment months ago.” Glynn then said, “This is a brand new deal.” Schwartz said, “I don’t see why I should have to pay $750. What is it for?” Glynn said, “Louis, you know we’re having a terrible time with Hanley. Everything we try to do he objects to, unless he’s taken care of, and we’ve worked out something where he will agree to let us sell an office, move an office, change the name of the company, without any objection from him. And you know, he is harassing us terribly.” Schwartz told Glynn, “Well, to avoid harassment, I will have to go along with it, but I won’t pay $750.” Glynn replied by saying, “Well, we couldn’t bother with less than 500.” Schwartz said, “O.K.” Glynn also said that “Hanley objects to four instalments a year. He now wants it twice a year, March and September.” 126
Early in 1960, subsequent to the filing of new temporary regulations by the small loans division, Heath conversed with Hanley about several matters in which American was interested. Referring to American’s head office, Heath said, “St. Louis desires the elimination of the Schedule N and O. Also, St. Louis wishes to get your permission ... to file monthly reports on a short-form basis for the individual licensees and one composite long-form report for the total Massachusetts operation.” Hanley said that he would consider these requests; that he intended to be cooperative in the future; and that he was critical of the action of other people in the same area.127
On another occasion in early 1960 Hanley told Heath, in substance, “that the present temporary regulations were only temporary and that he might not be quite so understanding when it came to filing the permanent regulations *340because of the delay in the so-called 'Hanley Program.’ ”128
Between March 15 and March 30, 1960, Hanley received a payment of $250 from Schwartz in the men’s room of the Parker House.129 Hanley also received a payment from Heath in the amount of $2,325 in May of 1960.130
Heath received the funds which he paid to Hanley in May of 1960 from a Boston lawyer, one Mr. James Boudreau.131 Prior to the May payment, Heath received a bill from Boudreau, dated April 13, 1960, and a covering letter. These are in evidence as exhibits. The letter, signed by Mr. Boudreau, states, “Dear Bill: Enclosed please find my bill to the Public Finance Company for legal services rendered. I hope this meets with your approval.” The bill is in the amount of $6,500.132 Upon receipt of the bill and covering letter Heath forwarded them to his superior, J. Miller Redfiold.133 On May 10, 1960, Redfield wrote to Heath stating that “[t]he Boudreau bill has been o.k.’d and the check will go out today. Just in case the IRS should challenge that bill in our books, I told Bruce [Snow] that it was for services rendered to you in connection with the study of the rate case and hearings and frequent consultations with you. You should advise Mr. B.” “Mr. B” refers to Mr. Boudreau. The name “Bruce” refers to *341Mr. Bruce Snow, general counsel for American, who approved all attorneys hired by the Company and all bills rendered to the Company. In fact Mr. Boudreau performed no legal services in connection with the rate case and there were no legal consultations.134 A day or so before making his May, 1960, payment to Hanley, Heath went to Mr. Boudreau’s law office in Pemberton Square, Boston, and received from him $3,000 in hundred dollar bills. This sum was a portion of the payment Mr. Boudreau had received from Public for the April 13, 1960, bill. Within a day or two of this meeting with Mr. Boudreau, Heath used these hundred dollar bills to make the May, 1960, payment to Hanley.135 Mr. Boudreau testified that he received a check in payment of the April 13, 1960, bill, and that he performed no legal services for Public or American.136
During 1960, Hanley had a number of conversations with various persons in the industry concerning modification of the forms used in reports to the department and the forthcoming new regulations governing the activities of licensees. In early 1960, Hanley had a conversation with Heath in which he told Heath that he intended to approve the elimination of the long form monthly report for licensees. In May, 1960, prior to the time that Heath received his cash for the Hanley program from Mr. Boudreau, Heath had another conversation with Hanley concerning the monthly report form. Hanley said that he would eliminate the monthly report, “when other matters had been taken care of.”137
*342In July, 1960, Hanley met with Heath, Glynn, and perhaps two other persons at the Provincetown Inn, in Province-town. At this meeting Hanley finally gave Heath written permission for American to file the short form monthly report. Hanley also sent a telegram to American’s home office in St. Louis to the same effect. Hanley asked Heath to keep confidential the concession he had made to American regarding monthly reports and that Beneficial was the only other company that had been given permission not to file monthly reports. At the meeting the proposed regulations were also discussed. Shortly after this meeting the proposed form of permanent regulations was issued by the Bureau of Loan Agencies.138
Between September 15 and 30, 1960, Schwartz made another payment to Hanley.139 About the same time, Heath paid Hanley $2,325.140
Heath obtained the funds from which he made this payment from a Boston attorney, one Mr. Stanley Berenson. Heath picked up the money from Mr. Berenson over a period of time in small amounts of $100 or $200. Mr. Berenson had sent a bill to Public earlier in 1960 to cover “general retainer.” This bill was in the amount of $6,000. After receiving a check for this amount from Public, Mr. Berenson, at various times during the year, turned over $3,000 of the proceeds of the check to Heath. Heath used these funds for the October payment to Hanley.141 Mr. Berenson corroborated this evidence in his testimony.142
In March of 1961, Schwartz had a telephone conversation with Hanley. Hanley asked Schwartz if he would like to have lunch and said, “We better eat at a different restaurant, because some of the legislators had remarked that I was always seen at the Parker House with somebody in the loan business.” Schwartz suggested Cobb’s restaurant on *343the first floor of his office building at 18 Tremont Street. Hanley said, “O.K.” Hanley had lunch and afterward went to the men’s room where Schwartz gave Hanley an envelope containing $250, which Hanley put in his inside jacket pocket.143
In the spring of 1961, Heath had a telephone conversation with Glynn. Heath testified that “Mr. Glynn stated . . . he made a payment to Mr. Hanley for his company . . . [and] that in taking the envelope out of his pocket Mr. Hanley took the envelope. He further informed me there was an additional $825 in the envelope over and above the amount of the payment which Mr. Glynn was supposed to make. In substance, he then asked me if I would treat this as an advance on his part to me in order to avoid an embarrassing situation. I, in substance, agreed.” 144
Shortly thereafter, in April or May of 1961, Heath made another payment to Hanley. The amount of the payment was $1,500, and it was made in Boston. Heath obtained the funds with which he made this payment to Hanley from Mr. Berenson, from whom he had obtained the funds for the previous payment in October, 1960. He received the money in small amounts, such as $100, $200, $300 or $400 over a long period of time.145
Mr. Berenson testified that early in 1961, he had sent Public a bill for $6,300 and had received a check in full payment of the bill. During the year he paid to Heath $3,000 of the proceeds of the check in small bills at different times of the year.146
Early in September, 1961, Schwartz again paid Hanley $250 in the men’s room of Cobb’s restaurant.147
In September or October, 1961, Heath gave Hanley $1,500 in small bills. This money also came from the $3,000 fund *344which Heath received from Mr. Berenson throughout 1961. Shortly thereafter, Heath gave Hanley an additional $825 which was the money received by Heath as a result of Glynn’s “advance” to Heath in the spring of 1961.148
The defendant Pratt assumed his duties as Household’s regional director of public relations for New England in 1959, and remained in that position until 1963. From early 1961 through the mid-summer of 1963, Heath met with Glynn and Pratt on a regular basis. Heath, Pratt and Glynn represented Public, Household and Beneficial, the “Big Three” in the industry. They met in various restaurants in Boston and, on occasion, at various motels in other States. The frequency with which the meetings were held varied from once every two or three weeks to once every two or three months. The meetings were most frequent around April 15 and September 15. In the industry the meetings of these three men were referred to as meetings of the “loose-knit committee.” In the course of these meetings the payments to Hanley were referred to as the “MJH Program.” At meetings of the “loose-knit committee,” Heath made reports to Pratt and Glynn of the payments which he made to Hanley. On various occasions, as part of the meetings of the “loose-knit committee,” Heath, Glynn and Pratt made calculations concerning the participants’ shares in the “MJH Program.” These calculations were made during the years 1961 and 1962. One of the calculation sheets is in evidence as an exhibit. Heath, Glynn and Pratt had conversations relating to calculations concerning the Hanley program.149
During either 1961 or 1962, Pratt stated to Glynn and Heath that Lerch would be in town to take care of a certain matter involving the Hanley program. On another occasion, he stated that Barber would be in town to take care of a certain matter.150 Glynn, during this same period, often *345reported to Heath and Pratt on whether or not “Beneficial . . . [had] taken care of their commitment on the Hanley Program.” In the same period Glynn reported to Heath and Pratt that he was unhappy with the method one company was using to get its contribution to the Hanley program to him. Glynn stated, in substance, that “Mr. A1 Symmes of Seaboard Finance Company had sent a contribution to the Hanley Program by means of a cashier’s check.” 151
About the last week in July, 1961, Heath received a longhand memo from Redfield. This memo reads in pertinent part as follows: “Last week I had the unfortunate experience of having my pocket secretary stolen. Among other items lost were my own notes and also your figures on our commitments in Mass. I assume you still have your copy of these figures so would appreciate your sending a copy on to me. I would like the total amount allocated to each company and also the distribution quotas.”
As a result of receiving this letter Heath sent Redfield the information on a small sheet of paper which appears as follows:152
MJH
BFC 5250
HFC 4100
AIC 4650
STA 500
Fam 500
Sea 550
Lib 700
1000
Coleman 500
MAC 800
18,550”
*346Heath testified that, “MJH” stands for Hanley; “RFC” stands for Beneficial; “HFC” stands for Household; “AIC” stands for American; “STA” stands for State Finance; “Fam” stands for Family; “Sea” stands for Seaboard Finance; “Lib” stands for Liberty; “Coleman” stands for Coleman; and “MAC” stands for Merchants Acceptance Corporation. The numbers appearing in the column of figures represent the dollar contributions of the various companies to the Hanley program. The figures refer to the annual payment by these companies.153
Early in 1962, Heath had a conversation with Hanley concerning a request by Public to move one of its downtown Boston offices. Heath had been asked to see about obtaining approval of the movement of this office. Heath said to Hanley, “Mr. Lutz desires to move the Post Office Square office to Codman Square, Dorchester.” Hanley said, “Boston is the largest city in the State of Massachusetts, comprised of various areas which of themselves exceed the population of many other cities and towns. I consider the various areas of Boston as individual towns for the purpose of any agreement I have with you people.” Heath replied, saying, “St. Louis [American’s head office] feels differently about the situation. They feel that this move comes under the overall umbrella of our agreement with you.” To Heath’s knowledge, this particular office was never moved.154
In March of 1962, Schwartz again had lunch with Hanley at Cobb’s restaurant and handed Hanley an envelope containing $250, once again in the men’s room.155
Around April 15, or May 1, 1962, Heath gave Hanley a payment of $2,325. Heath obtained the funds for this payment from Mr. Boudreau, in the manner previously described. Heath received $3,000 in cash from Mr. Boudreau *347at a meeting prior to the $2,325 payment made to Hanley in April or May. Heath reported this meeting to Redfield. Mr. Boudreau, prior to the time that Heath received this sum, never performed any legal services for Heath’s company.156
In August, 1962, Heath attended a meeting at the Chatham Bars Inn in Chatham, Massachusetts. This meeting, arranged by Hanley, lasted four and one half days. In addition to Hanley, two employees of the small loans division were present. Glynn and Beneficial’s attorney, one Mr. Bob Miller, were also present. During this meeting they discussed certain changes sought by Beneficial in the regulations. The Chatham Bars bill was paid by Public and Beneficial.157
In the first or second week of September of 1962, Heath made another payment to Hanley in the amount of $2,275. “It was in the form of hundred-dollar bills with the exception of that part of it which could not be in [a] hundred dollar bill.” It was paid directly to Hanley. The source of the funds was an attorney, one Mr. Frank E. Riley, Jr.158
In early July of 1962, Heath met with Messrs. Riley and Boudreau in Mr. Boudreau’s office. They then went to lunch at the Parker House Grille. At lunch Mr. Riley gave Heath his card. On July 27, 1962, Mr. Riley sent a bill to Public in the amount of $6,000, although Mr. Riley had not rendered legal services to either Public or American. The bill stated that it was for “professional services rendered during 1961-1962 in connection with the Uniform Commercial Code; drafting local legislation; and attendant conferences with company representatives.” Mr. Riley received a $6,000 check from Public in payment of this bill. *348From the proceeds of the payment of this check he gave $4,500 in cash to Mr. Boudreau.159 After Mr. Riley gave this $4,500 to Mr. Boudreau, Heath received $3,000 of this sum in cash from Mr. Boudreau. Heath used these funds for his payment to Hanley.160 In their testimony, Messrs. Riley and Boudreau corroborated Heath’s testimony.161
Some time after September 15, 1962, Schwartz once again paid Hanley $250 just outside the men’s room at LockeOber’s.162
In the fall of 1962, about October 16 or 17, Heath attended a meeting in New York related to the Hanley program. About a week prior to that New York meeting, the members of the “loose-knit committee” met at Purcell’s restaurant in Boston. At the meeting Glynn gave Heath a piece of paper. There were two other copies of this piece of paper at the meeting. Glynn had one copy in his possession, and Pratt had the other. At the time he gave the copy to Heath, Glynn said that “[t]his is an accounting of the program that I will use at the forthcoming meeting.” 163
A portion of this paper, which was introduced in evidence as exhibit 153, contains the following :164
Due MH
“BE 5250
HO 4100
AI 4650
ST 500
FA 500
SE 500
LI 700
16200”
*349The portion of this exhibit quoted above is in Glynn's handwriting. The abbreviations in the left hand column were used in the meetings of the “loose-knit committee.” Heath testified that “BE” means Beneficial; “HO” means Household; “AI” means American Investment; “ST” means State; “FA” means Family; “SE ” means Seaboard; and “LI” means Liberty. The phrase “Due MH” means money payable to Hanley.165
Following the meeting of the “loose-knit committee” at Purcell’s, Heath, on the sixteenth or seventeenth of October, 1962, attended a meeting at the Commodore Hotel in New York. Heath went down by train, and stayed overnight at the Commodore. Heath went to the meeting approximately 9:30 in the morning. The meeting was held in a function room on the second floor. The meeting continued until the middle of the afternoon, with a break for lunch. Those attending the meeting were seated at a table. They included Heath of American, Woodcock of Liberty, Barber and Pratt of Household, Godshall of Family, Thomasch of State and Glynn and Farrell of Beneficial. Heath sat at about the middle of the table. Woodcock sat on his left. Pratt sat on his right. At the end of the table, to Heath’s left, were Godshall and Thomasch. Across the table from Heath were Barber, Farrell, and Glynn. This was the seating arrangement in the latter part of the afternoon. Near the end of the meeting, Glynn arose and read aloud from the calculation sheet which is in evidence in part as exhibit 153.166
Glynn did not read from the calculation sheet in exactly the manner shown on exhibit 153. He used the names of the companies rather than the initials. Otherwise his reading was the same as is shown on exhibit 153, except that he used the expression the “Hanley Program” instead of “MH.”167
In addition to what was stated on exhibit 153, Glynn stated, “Liberty owes $700 on the Hanley Program.” At this point, “Woodcock interjected himself and interrupted *350the conversation.” He said that “this matter should not have been brought up before this meeting, this matter was not supposed to be discussed during this meeting, and . . . he was very angry that he was being subjected to the discussion of this matter.” Woodcock further stated that “Glynn should tell Mr. Hanley that Liberty had no intention of participating in the Hanley program this year.” Glynn said, “Mr. Woodcock, why don't you tell him yourself?” Woodcock replied, “Well, you tell Hanley to see me.” At about this point the meeting broke up.168
Approximately the third week in April, 1963, Heath made another $2,325 payment to Hanley in a corridor outside the men’s room at the Durgin Park restaurant.169 Schwartz also made a payment at this time.170
In September of 1963, Heath had a conversation with Glynn relating to the MJH Program. Heath told Glynn “that we had made our April payment to the MJH Program, but in my opinion we were not going to make a September payment.” Glynn said to Heath that “Beneficial had made their April payment to Mr. Hanley and that he had no decision as to whether or not the September payment was going to be made.” 171 Heath met with Barber of Household in the middle of September, 1963. Earlier that day Heath received a telephone call from Pratt who said, “Nat Barber is going to be in town at the Statler. He desires to talk to you. Will you come and see him?” Heath said that he would. Heath arrived at the Statler at about two in the afternoon. He went to the suite which was occupied by Barber. When Heath arrived, Pratt was there with Barber and a man who was introduced as a Household public relations representative from the midwest named McCormick. Shortly after Heath arrived McCormick and Pratt left. After Pratt left Heath had a conversation with *351Barber. Barber stated that he expected a call from Hanley very shortly. The telephone rang, and there was a conversation. Following the telephone call, Barber said that he was going to join Hanley at the Parker House and asked Heath to remain in the room until he got back. Barber then left and returned about two and one half hours later. He then told Heath that “he thought the Hanley MJH program should continue.” Heath stated “that . . . [he] thought the Hanley program was dead, finished, as far as American Investment was concerned.” Heath said that this was “only my personal opinion, that the risk was too great, and in my opinion American Investment would have nothing further to do with the program.” Barber replied “that he was afraid that would be the position of Household Finance from MacDonald down.” Heath “again reiterated that a decision such as this would have to be made at a much higher echelon than either myself or Mr. Barber.” Barber then said that “he felt so deeply about the continuation of the MJH Program that, if necessary, he might . . . make payments from monies set aside for another purpose without the knowledge of his superiors at Household Finance.” 172
Near the end of September, 1963, Schwartz made a final payment to Hanley of $250 in the men’s room of Cobb’s restaurant.173 On October 24, 1963, after consulting with counsel, Schwartz appeared and testified before the Massachusetts Crime Commission.174
The foregoing evidence constitutes most of the essential evidence in the second trial. Portions of this evidence will be referred to in treating with the various issues raised by the respective corporate and individual defendants.
*352B. The Sufficiency Of The Evidence.
The Individual Defendants.
1. Pratt — Pratt contends that the trial judge erred in allowing the Commonwealth’s motions for extensions of the evidence and for a preliminary ruling of conspiracy. He also contends that the trial judge erred in denying his motion for a directed verdict. The groimds for both assignments of error rest in the contention by Pratt that the evidence linking him to the conspiracy was insufficient as matter of law to support the trial judge’s rulings.
The evidence originally admitted against Pratt, and offered as tending to connect him to the conspiracies is as follows: Pratt’s position at Household included meeting with legislators and other influential persons for the benefit of his company. He represented Household at a meeting of the Rate Board, meetings with supervisory officials of the small loans division, and meetings with other government officials.
From 1961 to 1963, Pratt also met regularly with Glynn of Beneficial and Heath of Public. During these meetings, Heath made reports to Pratt and Glynn concerning bribes paid to Hanley. The “MJH” program was explicitly discussed, and calculations concerning the shares of the three companies in the bribes were made.
Pratt was also present at the crucial Purcell’s and Commodore Hotel meetings in October, 1962. We have previously recounted the details of these meetings. At these meetings Glynn distributed calculator sheets showing the shares of the various corporations in the bribery program. The sheet he gave to Heath is in evidence. Pratt's company was included on the sheets. It has not been shown that Pratt said anything at the Purcell's or Commodore Hotel meetings.
Pratt maintains that his presence at all of these meetings is consistent equally with innocence or guilt, and thus cannot be said to establish his guilt by legitimate proof, under the rule in Commonwealth, v. O’Brien, 305 Mass. 393, *353400. As in the first trial, he also relies on Commonwealth v. Beal, 314 Mass. 210, 222, claiming that he had "mere knowledge of an unlawful conspiracy" and cannot be said to have "actively participate^] therein and . . . [done] something in furtherance of it."
Yet, the direct evidence of Pratt’s participation in these many meetings is not consistent writh innocence of the conspiracy or of mere knowledge without adherence to the unlawful agreement. Silence does not preclude proof of adherence to an unlawful agreement where other evidence points strongly to guilt. Commonwealth v. Favulli, 352 Mass. 95, 113. Commonwealth v. Rudnick, 318 Mass. 45, 57-59. Even in the case of Commonwealth v. Beal, supra, Beal’s brother was held to have actively participated in the conspiracy, although his role was largely one of passive support. Commonwealth v. Beal, 314 Mass. 210, 222-223. Cf. Egan v. United States, 137 F. 2d 369, 378 (8th Cir.), cert. den. 320 U. S. 788. Pratt’s passive support and presence at the many important meetings could be found by the jury as an element in the "concerted action" of the conspiracy. Commonwealth v. Hunt, 4 Met. 111, 123.
In any event, we are of opinion that Pratt’s conduct surpassed merety that of passive support and that he committed overt acts in furtherance of the conspiracy. During the meetings with Glynn and Heath, Pratt joined in making calculations as to the relative shares in the bribery program. He also informed Glynn and Heath that his superior, Lerch, would be in town to take care of a “certain matter." That was obviously “with reference to the Hanley Program." Assisting the other conspirators in this way was evidence that Pratt actively sought to further the conspiracy and participated in the "concerted action toward ... a common purpose" which is the essence of the crime. Commonwealth v. Schnackenberg, 356 Mass. 65, 74. Attorney Gen. v. Tufts, 239 Mass. 458, 493-494. Commonwealth v. Galvin, 310 Mass. 733, 745-746.
2. Barber — Barber relies on the same argument as Pratt with regard to the sufficiency of the evidence. In his case, *354however, there is even more evidence of overt acts in furtherance of the conspiracy to complement the evidence of his adherence to the unlawful agreement.
Barber was Pratt’s superior and was supervisor of a number of public relations employees of Household on the eastern seaboard. He was the senior officer of Household present at the Commodore Hotel meeting in October, 1962, when Glynn read aloud the calculations of bribery shares in the Hanley program, including the share of Household. Barber did not raise an objection to the Hanley program, although Woodcock did.
In September, 1963, Barber had an extensive conversation with Heath at the Hotel Statler in Boston. This conversation removes any doubt as to the meaning of Barber’s presence at the Commodore Hotel meeting. Barber stated to Heath “that he thought the Hanley MJH program should continue.” Barber continued to say that “he felt so deeply about the continuation of the MJH Program that, if necessary, he might . . . make payments from monies set aside for another purpose without the knowledge of his superiors at Household Finance.”
These statements furnish evidence that the reason for Barber’s presence at the important Commodore Hotel meeting was his adherence to the conspiracy. But they also establish far more. During, the Statler conversation, Heath had emphasized that he “thought” the “Hanley program was dead.” Barber reacted by urging continuation of the conspiracy. This was an important overt act in furtherance of the conspiracy. It is of no importance whether Heath was still a party to the conspiracy. Barber was still a party to it, willing to obtain monies “without the knowledge of his superiors” to pursue it, and was, by his advocacy with Heath, actively seeking to promote its activities. “A conspiracy, especially one which contemplates a continuity of purpose añd a continued performance of acts, is presumed to continue until there has been an affirmative showing that it has terminated; and its members continue to be conspirators until there has been an affirmative show*355ing that they have withdrawn.” United States v. Etheridge, 424 F. 2d 951, 964 (6th Cir.). See Hyde v. United States, 225 U. S. 347, 369-370.
The judge, therefore, properly ruled in the cases of Pratt and Barber that the evidence admitted originally against them was sufficient as matter of law to permit the jury to find that these defendants conspired with others to bribe Hanley. The judge thus properly admitted against these individual defendants the evidence of the acts, knowledge, and admissions of the other conspirators in furtherance of the conspiracy (Commonwealth v. Benesch, 290 Mass. 125, 132-133) and properly denied their various motions for directed verdicts. Commonwealth v. Stasiun, 349 Mass. 38, 51.
C. The Sufficiency Of The Evidence.
The Corporate Defendants.
Having concluded that the evidence was sufficient to establish that Pratt and Barber were part of a conspiracy joined in by Farrell, Glynn, Newhall, and Lerch to bribe Hanley, we again turn to the question whether the respective corporate defendants were parties to the conspiracy. As in the first trial the defendants Beneficial and Household, by way of motions for directed verdicts, attack the legal sufficiency of the evidence to connect them to the conspiracy. Similarly, they further assert that the standard for imposing corporate criminal liability, as applied by the judge, was erroneous. The defendant, Local, also attacks the sufficiency of the evidence.
1. Standards of Criminal Responsibility — With respect to the correctness of the standard applied by the judge for holding a corporation criminally responsible for the acts of its employees, officers, directors, or agents, we refer to our discussion in the first trial portion of this opinion on that point. What we have said there applies with equal validity to the evidence before us in this trial. The corporate defendants may properly be held responsible for the *356acts of their agents, officers or employees if there is sufficient evidence to show that the corporation had placed the agent in a position where he possessed enough authority to act on behalf of the corporation with respect to the particular corporate activities associated with criminal conduct. Applying this standard to the evidence, we first consider the evidence admitted against Household, then as against Beneficial and finally, as against Local.
2. Household — Household was held criminally responsible for the conduct of Lerch, Barber and Pratt. Lerch served as divisional director of public relations for Household during the earlier part of the period covered by these indictments. Subsequently, Lerch was replaced by Barber who held the same title and performed the same duties as Lerch. As divisional directors of public relations, Lerch and Barber were the immediate superiors of Household's public relations men in Massachusetts as well as in other States in their division. Lerch's and Barber’s superior was the head of Household’s entire public relations department, who in the 1962 annual report was listed as H. L. Haugan, a vice-president and director of public relations. In the 1958, 1959 and 1960 annual reports, Lerch is listed on the same page where the president and vice-president are listed under the heading “officers.” In the 1962 and 1963 annual reports, Barber is listed under the heading “Other Staff Executives.”
Pratt and Warren Engle were the public relations men assigned to Massachusetts between 1960 and 1963. There was ample evidence introduced at the trial, that over a six year period Household’s public relations men including Lerch, Barber and Pratt regularly and customarily dealt with legislators and small loans officials, as well as with other industry representatives, concerning matters pertaining to the small loans division, such as regulations, report forms, license fees, and advertising.175 In addition, House*357hold was represented by Lerch on the executive committee of the Massachusetts Consumer Finance Association during 1957 and 1958, which was active in areas dealing with the supervisor of loan agencies.
This six year pattern of sustained activity by Household’s public relations men comports with the language of Justice Qua (later Chief Justice) in the case of Hartigan v. Eastern Racing Assn. Inc. 311 Mass. 368, 370, that “[a]cts habitually performed by an agent may import acquiescence by the principal and become evidence of his authority.” See Cowan v. Eastern Racing Assn. Inc. 330 Mass. 135, 144. Cf. C. F. Hovey Co., petitioner, 254 Mass. 551, 555; Restatement 2d: Agency, § 43.
In addition, there is direct testimony by Don H. Ellis, a vice-president of Beneficial, that the duties of public relations men included dealing with legislators and governmental agencies pertaining to legislative matters, as well as matters involving complaints from “important” persons.176
We are of opinion that there is a strong and apparent nexus between Lerch’s, Barber’s and Pratt’s duties for the principal, Household, and their conspiratorial activities. Cf. Egan v. United States, 137 F. 2d 369, 380. It is unnecessary for us to repeat all the evidence we have previously recited. The judge properly admitted against Household *358evidence of the acts, knowledge and admissions of other conspirators, and correctly ruled that there was sufficient evidence to submit the case to the jury.
3. Beneficial — Beneficial was held criminally responsible for the criminal activities of Farrell, Newhall and Glynn, formally the employees of Beneficial Management. As in the first trial, there is overwhelming evidence of the participation of these individuals in the conspiracy and Beneficial does not dispute this. Nor does it dispute that these individual defendants were authorized to handle the particular matters in which they were engaged at the time they committed the criminal acts. Beneficial’s only essential argument, as in connection with the first trial, is that there is no evidence that these individuals were authorized by Beneficial to participate in the conspiracy to bribe Hanley. The thrust of this assertion is predicated upon the fact that none of the individual defendants were officers, directors or employees of Beneficial. It further asserts that there is no proof of agency.
In connection with the first trial, we determined that an agency relationship did exist between Beneficial and Farrell and Glynn. There, we stated the evidence pertaining to the interlocking corporate structure of Beneficial, Beneficial Management and the business trusts doing business in the Commonwealth under the name and style of Beneficial Finance Company. Much of that evidence was also introduced in the second trial and we perceive no need to repeat all of the details here. Briefly, it showed that (a) Beneficial wholly owned Beneficial Management; (b) there was an interpenetration of corporate officers between Beneficial and Beneficial Management; (c) there was a mixture and a dependency of business activities between the two corporations and (d) Beneficial held itself out as a single operating entity. With regard to our discussion of this evidence and the application of the My Bread case to the evidence, we refer to p. 289 et seq. of this opinion and apply the same reasoning to the evidence introduced at the second trial.
In addition, however, there was direct evidence at the *359second trial that a high corporate official of Beneficial knowingly permitted Glynn to act on behalf of Beneficial in dealing with Hanley. On October 8, 1959, Jackson Collins, Beneficial’s general counsel and a director of Beneficial, wrote to Francis X. Crowley, vice-president and comptroller of Beneficial Management, concerning “1958 Massachusetts Small Loan Report Schedule N — Consecutive Transactions by Present Borrowers.” Collins stated that he disliked the language of this schedule and did not believe that most consecutive transactions by present borrowers were “renewals.” He suggested that the word “transaction” be substituted. On October 13, 1959, Crowley replied to Collins, writing that “[u] nder the present situation in Massachusetts we do not believe that it would be feasible for either you or us to write to Mr. Hanley on this matter. We have, however, taken the liberty of sending a copy of your memorandum to Mr. Glynn. It is our thought that he can take this matter up with Mr. Hanley at an opportune time.” Despite this admonition by Crowley that “the present situation in Massachusetts” did not feasibly warrant direct contact between high corporate officials of Beneficial and Hanley, Collins subsequently wrote to Hanley stating his position on the forms. Collins attached to his letter to Hanley a copy of the Crowley memo wherein it is stated that Glynn could “take this matter up with Mr. Hanley.”
This correspondence, in its most favorable and least incriminating aspect to Beneficial, shows that an upper echelon corporate official of Beneficial acquiesced in the delegation of authority to Glynn to act on behalf of Beneficial in dealing with Hanley. Conversely, in its most incriminating aspect, the correspondence imports knowledge by a director of Beneficial that the “present situation in Massachusetts” referred to the fact that Hanley was being bribed to bestow favors on Beneficial, such as the changing of language in a “Small Loan Report Schedule,” and that this director acquiesced in such criminal activity. In view of the evidence admitted against Farrell, Flynn and New-hall, the latter interpretation could reasonably be inferred *360from the correspondence. In this regard, the correspondence is a prime illustration of a situation aptly described by Holmes, J. that “[t]he evidence by itself of course did not prove criminal conduct. But it is not necessary that every piece of evidence admitted should be sufficient by itself to prove the crime. Evidence which would be colorless if it stood alone may get a new complexion from other facts which are proved, and in turn may corroborate the conclusion which would be drawn from the other facts.” Commonwealth v. Mulrey, 170 Mass. 103, 110.
The evidence, taken as a whole, was more than sufficient to support a finding that Beneficial conspired to bribe Hanley through the agency of Farrell, Glynn and Newhall. The judge correctly admitted the acts, knowledge and admissions of other conspirators against Beneficial on the •conspiracy indictment and, therefore, there was no error in the denial of its motion for a directed verdict.
4. Local — Local was held criminally responsible for the acts and statements of McHenry, its president, who died before the trial. Local does not contest the authority of McHenry to commit it to the conspiracy to bribe Hanley, but argues simply that there is insufficient evidence to show that McHenry participated in the conspiracy.
We disagree. The evidence shows: (1) in the summer of 1957, McHenry gave Schwartz an envelope and said, “This is for Martin.” McHenry asked Schwartz to erase Schwartz’s telephone number on the envelope. The envelope felt as though it had several pieces of paper in it. Schwartz gave it to Hanley when he (Schwartz) paid his own bribe money, and after Flanley had called and said, "I understand you have something for me”; (2) during 1958 or 1959, Schwartz talked with McHenry on the telephone about the Hanley payments. McHenry said, “I am going out of town. I may be gone for ten days, possibly two weeks, and there is an installment due Mr. Hanley. He raised the roof when I was late the last time and made an awful smell about it. Would it be all right if I send a payment up to your office with Mike Sands?” Sands corroborated the fact that *361he delivered the envelope to Schwartz. Schwartz testified that he delivered it to Hanley; (3) there was testimony by Schwartz that he and McHenry agreed to pay $2,000 to Hanley as a bribe in exchange for Hanley’s approval of the sale of two of Schwartz’s offices. Schwartz paid Hanley, but the sale was never made.
This evidence, together with Schwartz’s numerous payments to Hanley, more than supports the conclusion that Local through McHenry conspired to bribe Hanley. Local’s assertion that the evidence is colorless is without merit. McHenry’s use of the words “payment” and “installment” in the context of the other evidence creates a reasonable inference that these “payments” or “installments” wore bribes.
Similarly, there is no substance in Local’s argument that even if Schwartz conspired with McHenry, there is no evidence to connect them with the others. It is sufficient if the evidence shows “concerted action toward the accomplishment of a common purpose.” Commonwealth v. Galvin, 310 Mass. 733, 745. It is not necessary that each defendant have communicated or dealt directly with each other defendant. Commonwealth v. French, 357 Mass. 356, 379-380.
There was no error in the admission of the acts and statements of other conspirators against it, nor in the denial of Local’s motion for a directed verdict on the conspiracy indictment.
D. Conduct of the Trial.
As in connection with the first trial, various defendants allege error regarding the judge’s conduct of the trial. Some of these arguments are essentially similar to those raised in the first trial and, therefore, we deal with them summarily.
1. Household argues that the conspiracy indictment should have been dismissed because of the six year statute of limitations, and the other defendants adopt this claim. The argument appears to be based primarily on the theory that the only way the Commonwealth could avoid a con*362flict with the principle of double jeopardy was by a ruling that conspiracy was not a continuing offence. We have already rejected this contention, noting that the indictments, with their bills of particulars and '1 Representations of Evidence in [S]upport of Motion for Joinder or Grouping,” made; it clear that the two indictments charged separate conspiracies, the first conspiracy being to bribe Hanley in connection with the 1962 hearing alone, and the second being a continuing conspiracy to pay Hanley annual sums from 1957 through most of 1963. (Supra, p. 224.) In disposing of the double jeopardy issue, therefore, we in no way undermined the rule that a conspiracy is a “continuing offence.” As to such an offence the statute of limitations does not begin to run until the date on which the continuing offence ends. Commonwealth v. Ross, 248 Mass. 15, 18. Commonwealth v. Geagan, 339 Mass. 487, 518-519. The date of the conspiracy indictment is May 8, 1964, which is within the six year period of limitation applicable here, since it continued from 1957 to the date of the indictment.
The further argument that allegation and proof of an overt act was necessary to sustain the indictment against the statute of limitations attack is equally lacking in substance. It is the law of this Commonwealth that there is no requirement for any overt act, or allegation thereof, to constitute the crime of conspiracy. Commonwealth v. Judd, 2 Mass. 329, 336-337. Nor is there any requirement for allegation and proof of renewal of the conspiracy during the six year period of limitation as distinguished from continuance of the conspiracy. Household’s plea in bar and motion to quash were rightly denied and the assignments of error of Household and other defendants based on the statute of limitations must be rejected.
2. Household, Barber and Pratt contend that the judge took insufficient precautions to guard the jury against the possible adverse effects of publicity, both before and during the trial, and therefore a mistrial should have been declared. The facts relied upon by the defendants are identical to those relied upon in connection with the first trial and *363the issues presented have been previously discussed at length. Supra, p. 294.) Suffice it to say that from a careful examination of the record of the second trial we are satisfied that the judge did not abuse his discretion either in refusing to poll the prospective jurors concerning their pre-trial readings or discussions of the case, or in refusing to instruct them not to read articles or watch and listen to news broadcasts during the trial.
3. Similarly, we treated at some length in connection with the first trial, supra, p. 305, the defendants’ argument that the judge erred in hearing the Commonwealth ex parte on its applications for issuance of process to out-of-State witnesses. We need not elaborate further.
4. Local offered to prove that Schwartz and Heath knew the results of the first trial and the sentences imposed on the defendants in that trial by the judge and the sanctions imposed on the defendants by the Department of Banking. Local contends that the refusal of the judge to admit this evidence was error since it was essential to show that Schwartz and Heath were motivated by bias or personal interest.
In support of this contention, we consider the case of United States v. Colonial Motor Inn, Inc. 440 F. 2d 1227 (1st Cir.). There, the defendant in a criminal prosecution made an offer of proof to show the personal interest and motivation of a key government witness. This witness could have incriminated herself if her testimony had not corroborated the government’s theory of the case. The jury were unaware of this fact. In addition, her testimony pertained to a crucial issue in the case. In holding that the defendant was entitled to show the personal interest of the witness, the court noted that the prosecution in its final argument relied upon the impartiality of the witness, stating that she had “nothing to gain or lose,” when in fact the defendant’s offer of proof would have contradicted this statement.
We think the above case is distinguishable on its facts from the case before us. Here, unlike the foregoing situation, *364the jury were informed of the personal participation of Heath and Schwartz in the criminal activities of the various defendants, because the defendants incriminated themselves with their own testimony. Therefore, it was self-evident that Heath and Schwartz, since they were not named as. defendants in the trial, had a personal interest in testifying for the Commonwealth. In this regard, the position of Heath and Schwartz in this case is similar to the position of one Shea in the case cited above, about which the court said: “[I]f the witness had been Shea himself, cross-examination on the subject of the tax consequences of admitting a taxable receipt might well have been excluded as superfluous, his interest being self-evident.” United States v. Colonial Motor Inn, Inc. 440 F. 2d 1227, 1228 (1st Cir.).
In addition, extensive evidence was elicited from Heath and Schwartz concerning their involvement in the consumer finance industry. The jury were thus well-informed of the benefits these witnesses might obtain should the major loan companies go out of business in the Commonwealth. Secondly, the possibility of prejudice to the other defendants outweighed the alleged benefit asserted by Local, especially since the personal interest of the witnesses was obvious. Thus, we find no difficulty in holding that the judge did not abuse bis discretion as to the scope of proper cross-examinatian in excluding the offered evidence. Commonwealth v. French, 357 Mass. 356, 404. Commonwealth v. Nassar, 351 Mass. 37, 43 — 44. Chevillard v. United States, 155 F. 2d 929, 935 (9th Cir.).
5. Local contends that the judge erred in admitting against it certain letters and memoranda which were taken from Heath’s files. These exhibits were admitted for the limited purpose of showing that Heath, Redfield and American had participated in the conspiracy. They were admitted almost a month after the judge’s preliminary ruling that the evidence warranted a finding of a conspiracy which included Local, American, Redfield and Heath. Of course, once such a preliminary ruling has been made, “the acts and declarations of one conspirator in pursuance of the *365common object are admissible against the other conspirators.” Commonwealth v. French, 357 Mass. 356, 379, quoting Commonwealth v. Stasiun, 349 Mass. 38, 50. These exhibits, being the means by which one conspirator advised another of the progress of the conspiracy, were certainly declarations in the pursuance of the object of the conspiracy. There was no error in admitting them against all the members of the conspiracy, including Local.
6. Hanley’s contention that he was the victim of “selective prosecution” in violation of the equal protection clause of the United States Constitution is not supported by the record. Hanley’s offer of proof was, in substance, that not all the public officials known by the Attorney General to have received bribes were indicted, and that various members of the Crime Commission had stated that they were particularly interested in “getting him.” Such proof would be insufficient to support a claim of selective enforcement, which requires a showing of some arbitrary classification, such as race or religion, upon which prosecutions are being based. Yick Wo v. Hopkins, 118 U. S. 356. Oyler v. Boles, 368 U. S. 448, 456. Mere failure to punish other offenders by itself is no basis for a holding that there was a denial of equal protection. Moss v. Hornig, 314 F. 2d 89, 92 (2d Cir.). Indeed, it may be altogether appropriate to pick out one, or a number of offenders, from a group whose conduct or position is such that a striking example of them can be made “in the expectation that general compliance will follow and that further prosecutions will be unnecessary.” People v. Utica Daw’s Drug Co. 16 App. Div. (N. Y.) 12, 21. Hanley, as the principal public figure involved in the case before us, certainly has no standing to complain of his indictment under any of these standards, especially since he was not the only public official against whom indictments were returned.
7. The defendant Pratt asserts that Heath, on cross-examination, recanted his direct testimony that Pratt had a copy of exhibit 153 (supra, p. 348) in Ms possession at the meeting of the “loose knit committee” at Purcell’s *366in October, 1962. From a careful reading of Heath’s testimony on cross-examination we are persuaded there was no renunciation of his direct testimony concerning exhibit 153. To the contrary, Heath’s testimony on cross-examination was consistent with his direct testimony which placed exhibit 153 in Pratt’s hands at the meeting of the conspirators.
8. Household contends that the jury should have been instructed that if a witness is shown to have testified falsely concerning a material matter the jury have a right to reject all of his testimony. Household argues that Schwartz’s and Heath’s financial interests in the outcome of the trial and their dislike of Hanley may have motivated them to testify falsely. Household also points to certain allegedly inconsistent statements.
The record reveals that the jury were adequately instructed on these points. They were instructed that they must consider contradiction and inconsistencies “in deciding whether . . . [they were] going to believe any or all of” the testimony of witnesses. The jury were also instructed to consider carefully the interest of a witness in a conviction, or the personal feeling of a witness toward a defendant. The charge as a whole and in context adequately covered the relevant factors to be considered in the evaluation of testimony. Commonwealth v. Greenberg, 339 Mass. 557, 585. There was no error in refusing to give the instructions requested. Ducharme v. Holyoke St. Ry. 203 Mass. 384, 397.
9. Beneficial contends that the judge erred in refusing to allow its motion for a mistrial based on the length of time which elapsed from the time Beneficial rested its case and the time the case was submitted to the jury. The second trial required 222 trial days. The Commonwealth rested on March 6, 1968, and Beneficial rested on March 21, 1968. All of the other defendants except Hanley, who rested on May 27, rested during March or April. The case went to the jury on June 7, 1968.
Beneficial concedes that the judge could not have let its case go to the jury before the others, because such a pro*367cedure would prejudice the other defendants. The judge was thus left with little choice but to proceed as he did. While there may be cases of such a nature that a period of two months between the time when a defendant rests and the time when a conspiracy case is submitted to a jury is so prejudicial as to be a denial of a fair trial, this is not one of them. Had all but one defendant rested immediately, the mere fact that the remaining defendant chose to put on a defence that consumed two or three more months of trial does not automatically call for a mistrial. Otherwise conspiracy cases could seldom be tried to conclusion. As we held in Commonwealth v. French, 357 Mass. 356, 397, the receiving of further evidence from other codefendants after their alleged co-conspirator had rested is within the sound discretion of the judge. We see no abuse of discretion.
10. Pratt and Barber argue that it was error for the judge to refuse to poll the individual jurors after the return of the verdicts. However, as we noted, supra, p. 300, the settled law of this Commonwealth is otherwise. Commonwealth v. Goldenberg, 338 Mass. 377, 386.
11. Hanley, who appeared pro se in the second trial, contends that his convictions must be reversed because the judge did not comply with our Rule 3:10 in advising him of his right to counsel. He further asserts that the judge committed error in permitting him to appear pro se and in conducting certain proceedings in his absence.
With respect to the contention charging a failure to follow Rule 3:10, it should be noted that Hanley was represented by counsel in the first trial. After that trial his attorney made a motion to withdraw, at which time the judge said to Hanley: “There is a standing order in Suffolk County that a lawyer who once files an appearance for a Defendant in a criminal case may not withdraw that appearance without leave of court.” Hanley then informed the court that he understood, but preferred to appear pro se in the second trial. The judge was further informed that Hanley was a law school graduate and a member of the Massachusetts Bar.
*368It is apparently Hanley’s contention that his convictions should be reversed on any or all of the three following grounds: (1) the judge did not advise him of his right to counsel as required by Rule 3:10; (2) the judge did not file a written certificate showing that he had waived counsel as required by Rule 3:10; and (3) he was incompetent to represent himself. While many members of the bar might concur with the third ground on the sole basis that an attorney should not represent himself, the defendant here fails to point to even one instance of his alleged incompetence. We are therefore not persuaded by this argument. The alleged ground that the judge did not advise him of his right to counsel is contrary to the record, which shows that the judge informed him that his attorney could not withdraw without the court's permission. That Hanley understood can be inferred from his expressed desire to represent himself in the second trial. In addition, since Hanley was an attorney, it was unnecessary for. the judge to say more.
Another question presented by Hanley in this grouping of arguments is whether it was error for the judge to proceed with the trial without requiring Hanley to file a written waiver of counsel in accordance with Rule 3:10. There is no doubt that this requirement is an important one. The written waiver rule, however, was promulgated in order “to eliminate to the greatest possible'extent all questions arising from lack of representation by counsel.” Mulcahy v. Commonwealth, 352 Mass. 613, 615. Written waivers are required to avoid “ex post facto inquiries” concerning the right to counsel. Cardran v. Commonwealth, 356 Mass. 351, 353. In this case no such written memorandum was necessary to memorialize the waiver of counsel since the exchanges between Hanley and the judge on this subject appear in the transcript. It is therefore apparent that the purpose and spirit of the rule were fulfilled.
Hanley’s final point that he was prejudiced by some proceedings that took place in his absence on December 4, 1967, is utterly without merit. The judge specifically said he would proceed only with matters that did not affect or *369involve Hanley and this is precisely what the judge did. The only matters covered in Hanley’s absence were the direction of verdicts with respect to other defendants.
12. Household, Beneficial, Glynn, Farrell and Newhall object to the expansion by the judge of limitations on sixty-six items of evidence during the course of the trial. The objection raised is in all respects similar to that raised by these defendants and others to the comparable procedure followed by the judge in the first trial. In the second trial, as in the first, the Commonwealth moved during the course of the trial for a prehminary ruling of conspiracy. It filed simultaneously a series of eight motions to expand the limitations on certain portions of the evidence. The judge made a preliminary ruling of conspiracy and expanded the limitations on certain portions of the evidence. Also, as in the first trial, the judge did not in every instance lift the original limitations so as to admit a given item of evidence against all the defendants who could have been found to be conspirators with the defendants against whom the evidence had been originally admitted. The instruction to the jury requested by Household relative to the limitations on the evidence, identical to the one requested by it in the first trial, was likewise omitted by the judge in the second trial.
The defendants have not made any arguments which were not dealt with by us in our discussion of this issue as it arose in the first trial. Therefore we refer to that portion of our opinion, supra, p. 310, which treats with this matter. We discern no need for further elaboration other than to note that the defendants’ arguments with respect to the second trial are made weaker by two features of this trial. First, the judge stated that the reason he expanded the limitations was because he adopted the rationale suggested by the Commonwealth for the selective expansion of the limitations; namely, “to limit the acts and declarations of other co-conspirators, as to . . . [those] specific defendants who are in for only a limited time, to coincide roughly with the period of time that each co-conspirator *370was a member of the conspiracy.” To the extent that the judge found that the Commonwealth’s motions did not “reflect the application of [[that] point of view” he denied them. Secondly, the judge’s instructions to the jury on the subject of remembering limitations were even more thorough than they were in the first trial. He explicitly told the jury that “[i]f you find yourselves in a state of mind where you are unable to recall whether particular evidence was or was not admitted as to a particular defendant or count, then you may not consider that evidence as to that defendant or count. A defendant is to be judged solely on the evidence which you can remember now, with all these limitations, was admitted as to him or it on the particular count as to which you are now or will then be trying to determine his or its innocence or guilt.” The defendants’ argument that the limitations “formed a senseless pattern” does not withstand analysis. There was no error.
13. It is claimed by Household that it was error for the judge to make a preliminary ruling that it could have been found that McHenry, who had died about a year and one-half before the grand jury returned any of the indictments here involved, and who was not mentioned in the conspiracy indictment, was a co-conspirator in the conspiracy charged in Indictment No. 11908. Barber, Pratt and Local have adopted Household’s argument. This issue was raised by them, at the trial, by motions for a mistrial, which the judge denied. The motions were filed by the four defendants after the judge’s preliminary ruling.
Household’s argument is identical to the one it has levelled against the judge’s similar ruling in the first trial, namely that it could have been found that Hanley was a co-conspirator in the conspiracy to bribe Garfinkle charged in Indictment No. 11910. We need not repeat that argument. The facts here are somewhat different, however, inasmuch as the judge found that “Qfc]he Special Grand Jury which returned . . . Indictment No. 11,908 knew the identity of John L. McHenry, Sr., and of his alleged participation iii the alleged conspiracy at the time it returned this in*371dictment.” Nonetheless, assuming that there was a variance between the allegations in the indictment and the proof offered at trial, it was not such as to call for a mistrial because, as the judge found in his decision on the motions, “the four (4) Defendants who are parties to the Motions involved . . . have not been prejudiced in their defense or in any other respect by the variance .... Nor have they been prejudiced by the action of this Court in respect to any ruling or preliminary finding that the late John L. McHenry, Sr., was a party to the conspiracy alleged in said indictment. (See: G. L. c. 277, § 35).”
14. Household argues that “the trial court erred in failing to recognize that the evidence [in the second trial]] reflected two separate conspiracies, rather than the one charged in the indictment; and further erred in the instructions by which the case was submitted to the jury [on the question whether the evidence showed a single conspiracy or multiple conspiracies]].” Household raised this point at four stages during and following the trial; it formed the basis for several motions filed by Household for a mistrial, a directed verdict, or a new trial. Household’s argument on this point has been adopted by Local, Barber, and Pratt.
The issue whether the evidence has shown one conspiracy or several is one of fact which is normally a matter for the jury. United States v. Varelli, 407 F. 2d 735, 746 (7th Cir.). Household does not seem to contest this, but contends that there was insufficient evidence here of a single conspiracy to warrant submitting this question to the jury.
Household emphasizes the testimony of one conspirator, Schwartz, that he believed there were two separate and distinct plans: one to bribe 'Hanley in connection with the 1957 rate hearings of the Rate Board, involving payments spread out over two years, and the other to influence Hanley’s decisions on routine administrative matters involving annual payments beginning in 1959. The fact that one conspirator was under the impression that there were two conspiracies, rather than one, is not determinative of whether *372there was in fact one conspiracy or two. Coates v. United States, 59 F. 2d 173, 174 (9th Cir.). Furthermore, there was evidence to the contrary that the payments made to Hanley in 1957, 1958 and 1959 were for other matters in addition to the 1957 hearings, and that the payments after 1959 were connected with the earlier ones. Although the participants in the later payments were not identical to those who had made the earlier payments, this fact does not negate the existence of one conspiracy during the entire period. United States v. Varelli, 407 F. 2d 735, 742 (7th Cir.). On the state of the evidence before him, the judge properly submitted the question whether there was a single conspiracy or multiple conspiracies to the jury.
The judge’s instruction to the jury that they should acquit all of the defendants if they found that the evidence established the existence of more than one conspiracy from January 1, 1957, to May 8, 1964, was likewise correct. Household’s objection that it precluded the jury from acquitting less than all of the defendants if they found that those defendants had not participated in a single conspiracy fails to take into consideration certain other portions of the judge’s instructions. The jury were thoroughly cautioned that if they found “beyond a reasonable doubt that there was a single conspiracy as alleged . . ., then they must decide which, if any, of the defendants now on trial were parties to that agreement.” The judge told them repeatedly that they “should consider separately from all the other defendants the question of whether . . . [a] defendant did or did not become a party to an agreement to bribe Martin J. Hanley.” There was no error.
15. The final issue we deal with concerns Barber’s and Pratt’s assertions that the judge’s instructions to the jury concerning participation in the conspiracy were error. As we have mentioned throughout this opinion no overt act need be shown in furtherance of the conspiracy and the purposes of the conspiracy do not have to be carried out. Commonwealth v. Hunt, 4 Met. 111, 125. Commonwealth v. David, 335 Mass. 686, 696. The instructions of the judge *373were identical in all essential respects to the instructions in the first trial and were correct.
All judgments affirmed.