150TH INTERNATIONAL SENIOR SEMINAR
VISITING
EXPERTS’ PAPERSVISITING EXPERTS’ PAPERS

HUMAN TRAFFICKING PROSECUTIONS
Karima Maloney*

HUMANTRAFFICKINGPROSECUTIONSUNAFEI
January2012
Karima Maloney
CivilRightsDivision
U.S.DepartmentofJustice1* Deputy Chief of the Criminal Section, Civil Rights Division, Department of Justice of U.S.A.

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Today’sGoals• DiscusstheU.S.’sapproachtocombatingthe
humantraffickingproblem• DebunkMythsaboutHumanTrafficking• UnderstandU.S.HumanTraffickingStatutes• ReviewtheInvestigation&Prosecution
Model
2TheBigPicture:
TheGlobalAntiͲTraffickingMovement

Prevention
Protection
Prosecution342

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ApproachtoHumanTraffickingProblem
 Protect humantraffickingvictimsbydebilitatingtraffickers Prevent humantraffickingoffensesbydismantlinganddisablinghumantraffickingnetworks
 Prosecute todeclarehumantraffickingconduct
intolerableunderthelawsandnormsofthenation

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ARightsͲBasedApproach:VictimͲCenteredProsecutions
 VictimͲcenteredcriminaljusticeprocess:• Vindicatesvictim’sindividualrights• NonͲProsecutionofVictims• Empowersvictimasanactiveparticipant• Aidstransitionfromtraumatizedvictimto

empoweredsurvivor
 Transformationoflawenforcementculture• AbandonmentofpreͲconceptions• EvolutionoftraumaͲinformedapproaches
6U.S.HumanTraffickingStrategy

Outreach
CoordinationBuilding
CoalitionBuilding744

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RoleofHumanTraffickingProsecutionUnit
 SpecializedUnitinDOJ’sCivilRightsDivisionsince
2007
 ProsecutorialexpertiseenforcinginvoluntaryservitudeandslaverylawsandTraffickingVictims
ProtectionAct
 Criminallyprosecutenovel,complex,multiͲjurisdictionalandinternationaltraffickingcasesin
partnershipwithUnitedStatesAttorney’sOffices
 Coordinatewithfederal,state,local,international
andnonͲgovernmentalpartners
8PartneringRegionally UnitedStatesAttorney’sOffice FederalLawEnforcement:ICE,FBI,DOL
 HumanTraffickingTaskForces ForthcomingACTeams LocalLawEnforcement
 GovernmentAgencies
 NGOs945

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WhatisHumanTraffickingUndertheU.S.
CriminalCode?

 Compellingorcoercinga
person’slabor,services,or
commercialsexacts;or
commercialsexualexploitation
ofaminor

10WhatisHumanTrafficking?

WorkingDefinition“HumanTrafficking” is
compelling someonetoworkor toengageinacommercialsexact.

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WhatHumanTraffickingIsNot!
• Illegal Child Adoption• Trade in Human Organs• Child Pornography• Prostitution (Not a Federal Vice Squad)• Labor Violations• Poor Working or Living Conditions• There are other statutes that deal with theses offenses.
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Traffickingvs.Smuggling
Smuggling

Trafficking
 Focusiscoercionand
exploitation;nomovement
required Focusistransportingorharboring
undocumentedperson

 Victimcanbecitizen,
documentedmigrant,or
undocumentedmigrant Mustinvolveundocumented
migrant

 Crimeagainstindividualrights

 Crimeagainstintegrityofborder CriminalizedinTitle18

 CriminalizedinTitle81347

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InaNutshell....
 Coreofthecrimeiscoercion
 Canoccurinanyindustry,legalorillegal Victimscanbemen,women,children;
undocumented,guestworkers,orcitizens
 Coercioncanbepsychological Victimsareoften‘hiddeninplainsight’
andreluctanttoconfide:case
identificationrequiresdetectionofsubtle
indicators
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MythsAboutHumanTrafficking

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HumanTraffickingMyths
Slaveryisahistoricalblightthatnolongerexists.
• 12.3Millionvictimsofhumantrafficking
U.S.DepartmentofState,TraffickinginPersonsReport2010• 27millionpeopleheldinslaveryworldwideFreeTheSlaves2011• 100,000childreninU.S.areinsextradePolarisProject2011

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HumanTraffickingMyths
Therearenoforeignersinthecase Thelawdoesnotrequireforeignvictimsordefendants.
 UnitedStatesv.Evans,476F.3d1176(11thCir.2007)(boththe
UnitedStatesv.Evans,476F.3d1176(11thCir.2007)(boththe
DefendantandthehumantraffickingvictimwereUnitedStates
citizens).

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HumanTraffickingMyths
TraffickingInvolvesMovementandBoarders• No Boarders Needed• No Legal Requirement• Trafficking is Misleading• Coercion not Movement

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HumanTraffickingMyths
TraffickingInvolvesMovementandBoarders
Trafficking

Smuggling

ExploitationFocus

TransportationFocus

CrimeAgainstaPerson

CrimeAgainstaBorder

Coerced/Involuntary

Voluntary

CitizenorUndocumented

Undocumented

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HumanTraffickingMyths
Thiscasedoesnotinvolveprostitutionorsex.
“Recentstudiesshowthemajorityofhumantraffickingin
theworldtakestheformofforcedlabor.” Dept.ofState’s2010
TraffickinginPersonsReport.

RestaurantWorkers

DomesticServants

Farmers

HotelEmployees

FactoryWorkers

RestaurantWorkers

Don’tForgetAbouttheLaborCases
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FederalLaws
InvoluntaryServitudeandSlaveryCrimes• 18U.S.C.㫝 1581(Peonage)• 18U.S.C.㫝 1583(EnticementIntoSlavery)• 18U.S.C.㫝 1584(InvoluntaryServitude)_____________________________________
TraffickingVictimsProtectionAct• 18U.S.C.㫝 1589(ForcedLabor)• 18U.S.C.㫝 1590(TraffickingIntoServitude)• 18U.S.C.㫝 1591(SexTrafficking)• 18U.S.C.㫝 1592(DocumentServitude)2151

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Forms of Coercion
ISSTVPA[§§ 158184]
YES[§§ 158994]
YES

Physical Restraint

YES

YES

Legal Coercion

YES
NONO
NO

YES
YES
YES
YES

Physical Harm

Psychological Harm
Harm to Others
Scheme, Plan, Pattern

TwoFlagshipTVPACrimes

ForcedLabor㫝 1589

SexTrafficking㫝 1591

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ForcedLabor|㫝 1589
3Elements:• Providedorobtainedthelabororservicesofaperson;• Didsothroughoneofthefourprohibitedmeans;
and• Didsoknowingly

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ForcedLabor|18U.S.C㫝 1589
12

ProvidesorObtainsLabororServicesofaPerson
3

Forceor
Threats

Knowingly

Through1of4
ProhibitedMeans

Serious
Harm

Abuseof
Law

SchemePlanorPattern

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ForcedLabor|㫝 1589
LaborofServices• BroadDefinitionsof“LabororServices”• TheTenthCircuitrejectedalimiteddefinitionof“laborandservices”
to“workinaneconomicsense.Instead,theCourtupheldjury
instructionsdefining“labor” as“theexpenditureofphysicalormentaleffort” and“services” as“conductorperformancethat
assistsorbenefitssomeoneorsomething.” UnitedStatesv.Kaufman,
546F.3d1242,1262Ͳ63(10thCir.2008)(involvingmentallydisabled
adultfarmworkersforcedtoperformvideotapedsexacts).
• Laborandservicesshouldnot benarrowedtoonlymean“workfor
whichcompensationisordinarilygiven.” UnitedStatesv.Marcus,
487F.Supp.2d289,300(EDNY2007)(involvingrecordedactsofbondage,domination,andsadism).
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ForcedLabor|㫝 1589
FourProhibitedMeans
1.

Force,orThreatsofForceorPhysicalRestraint

2.

SeriousHarmorThreatsofSeriousHarm

3.
Abuseorthreatenedabuseoflaworlegal
process4.

Scheme,plan,orpattern intendedtoinstillfear
ofseriousharmorphysicalrestrainttoany
personOnlyNeed1ProhibitedMeans.
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ForcedLabor|㫝 1589
ProhibitedMeans:SeriousHarm: “that is sufficiently serious, under all the surrounding
circumstances, to compel a reasonable person of the samebackground and in the same circumstances to perform or tocontinue performing labor or services in order to avoid incurringthat harm.”
18 U.S.C. 㫝 1589(c)(2)Physical Harm

Nonphysical Harm

* Threats* Psychological Harm

* Beatings* Financial Harm

* Sexual Violence* Reputational harm

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ForcedLabor|㫝 1589
ProhibitedMeans:AbuseofLegalProcess• Threatofdeportation,arrest,detention,
institutionalization• “Warnings” unlawfulwhereusedtocoerce.

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ForcedLabor|㫝 1589
ProhibitedMeans:AbuseofLegalProcess
 Theterm“abuseorthreatenedabuseoflaworlegalprocess”
meanstheuseorthreateneduseoflaworlegalprocess,
whetheradministrative,civil,criminal,inanymannerorforany
purposeforwhichthelawwasnotdesigned,inordertoexertpressureonanotherpersontocausethatpersontotakesomeactionorrefrainfromtakingsomeaction.

 18 U.S.C. 㫝 1589(c)(1)30

ForcedLabor|㫝 1589
ProhibitedMeans:Scheme,Plan,Pattern
TotalityofCircumstancesfromtheVictim’sPerspective

56•

Manipulationofdebts•

Verbalabuseandintimidation•

Demeaninganddemoralizingconduct•Psychologicalmanipulationandcontrol•

Confiscationofidentificationdocuments•

Inhumanelivingandworkingconditions•

Ominouscomments

•Monitoringandsurveillance•SexualAbuse

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150TH INTERNATIONAL SENIOR SEMINAR
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ForcedLabor|㫝 1589
Penalties• ImprisonmentuptoLife• Ifdeathresults;OR• Ifactsincludekidnapping(orattempt),aggravated
sexualabuse(orattempt),oranattempttokill• Imprisonmentupto20years• Noaggravatingfactors

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SexTrafficking
2

Recruited,enticed,harbored,transported,provided,
obtainedormaintained341

KnowinglyOr Benefits
FinanciallyOr

Reckless
Disregard

Force,Fraud,or
Or
Coercion

Under18

Knowing5InterstateorForeignCommerce
6 Commercial
SexAct3457

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SexTrafficking|㫝 1591
 2KnowledgeRequirements• “Knowingly” recruits,entices,harbors,transports,
provides,obtains,ormaintainsapersonforacommercialsexactorbenefitsfinancially.
• “Knowing,orrecklessdisregard” ofthefactthat
force,fraudorcoercionwouldbeusedor thatvictim
wasunder18• Knowledgeofageisrequiredtoprovecrimebut
notforvictimstatus• ReasonableOpportunitytoObserve
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SexTrafficking|㫝 1591
By Force, Fraud, or Coercion
18 U.S.C. 㫝 1591(e)(2) defines “coercion” as•threats of serious harm to or physical restraint against
any person•

any scheme, plan, or pattern intended to cause aperson to believe that failure to perform an act would
result in serious harm to or physical restraint•

abuse or threatened abuse of the legal process **Basically the same as the prohibited means in 㫝1589**
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SexTrafficking|㫝 1591

Sex Trafficking of a Minor• Under 18 (“not attained the age of 18”)
• Knowing or in Reckless Disregard• Reasonable Opportunity to Observe 18 U.S.C. 㫝 1591(c)37SexTrafficking|㫝 1591
 Whatisa“Commercial SexAct”?
• “anysexact,onaccountofwhichanythingofvalueisgiventoor
receivedbyanyperson.” 㫝 1591(e)(3).
• NorequirementthattheDefendanthadsexwiththevictim.
• Compare18U.S.C.㫝 2246(2)“sexualact” and18U.S.C.㫝 2246(3)
“sexualcontact”• For“exotic” dancingormassageconsider㫝 1589ForcedLabor

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SexTrafficking|㫝 1591
 In or Affecting Interstate or Foreign Commerce• Crossing state lines• Interstate communications, facilities, or supplies,• Aggregate affect on intrastate commercial or economic activity
No One Has to Travel Across State Lines!

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SexTrafficking|㫝 1591
InorAffectingInterstateorForeignCommerce Victimscrossingstatelines
 Interstatecommunications,facilities,orsupplies,e.g.hotels, cell
phones,condoms,advertising,creditcards,wiretransfers
 Aggregateeffectofintrastatecommercialoreconomicactivity
 Developalltheories

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SexTrafficking|㫝 1591
Penalties
 Imprisonment of 15 years to Life
• Force, fraud, or coercion used; OR• Defendant enticed, harbored, transported, provided, or obtained minor under
14 years old.
• Mandatory Minimum of 15 Years.
 Imprisonment of 10 Years to Life
• Defendant enticed, harbored, transported, provided, or obtained a minor who
was at least 14 years old but under 18 years old.
• Mandatory Minimum of 10 Years.

41SexTrafficking|㫝 1591
Mandatory Life Imprisonment for Repeated Sex
Offenses against Children 㫝 3559(e)Mandatory life imprisonment if the defendant in a 1591
sex trafficking of a minor prosecution has a prior state orfederal conviction for a sexual offense against a minor
who has not attained the age of 17.

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ProsecutingHumanTrafficking:The
Challenges

 Hiddencrime Victimtrauma,shame,fear,loyalty,anddistrust Complex,extendedrelationshipwith
trafficker
 Intersectionwithviolentcrime,sex
crime,organizedcrime,financialcrime,
immigration,laborexploitation,andvisa
fraud
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Investigation&ProsecutionModel• Whyisthemodeldifferentthatmostothercrimes?
• MultipleLawEnforcementagencies• 2typesofFederalProsecutors
• SocialServiceprovidingNGOs• LegalServiceprovidingNGOsorProBonoVictimLawyers• Federallyfundedtaskforces• Multiplevictims
• Victim/Witnesscoordinators
Allpartiesplayanimportantpart...buttherearealotofcooksinthekitchen
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TraffickingIndicators
 Monitoringandsurveillance Restrictedormonitoredcommunication
 ‘Spokesperson’ forgroup
 Inconsistentorrehearsedstories
 Locksandfencespositionedtorestrictworkers
ratherthantosecurepremises
 Employercontroloveridentificationdocumentsandpay Overcrowded,substandardlivingorworkingconditions
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Possessionoflegal/identificationdocuments
Security/confinementtorestrainvictims(Barbedwire,dogs,bouncer/guard)
Restricted/monitored/controlledmovement
Physicalabuse

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Think of Indicators Like Balloons.
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Poor Work Conditions

Employment Discrimination

Debts
Workplace Assault
Monitored
Movement

Location of Identity Documents

Wage and Hour Violations

Focus on how these things are tethered to thecoercive scheme.
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Investigation&ProsecutionModel
Four Aspects of the Investigation
1. The Objective Facts
2. The Victim’s Story
3. Corroborating the Victim
4. Anticipating Defenses

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ProsecutionModel
InitialAreasofInvestigativeFocus (ObjectiveFactors)

 AgeofVictims
 Subject’sopportunitytoobserveminorvictims
 TypeofLabororServices
 TypeofForceorCoercion:totalityofconductandconditions
 Victim’sVulnerabilitiesandInequalities MovementofVictim

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ProsecutionModel

ProvingCoercion:TwoKeyPrinciples
ClimateofFear:Totality
ofConductandConditions
VictimVulnerabilities

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ProsecutionModel
ClimateofFear
 Locks,fences,surveillancecameras
 Controloverdocumentsandpay Restrictedmovement;isolation
 Monitoredcommunications
 Inhumaneconditions
 Inadequatefood,medicalcare Arbitrarypenalties,rules,control
 Economicallyirrationalanddemoralizingworkingconditions
 Interactionswithlawenforcement
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ProsecutionModel

VictimtestimonyisCrucial
 Crime requires showing of“labor obtained by coercion”– subjective component
 Show vulnerabilities
 Expect evolving /contradicting statements
 In-person testimony• Lose case without it

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CorroboratetheVictim
 Witnesses• Background, vulnerability, recruitment• Isolation witnesses & ‘negative’ witnesses• Never saw victim out alone• Never heard victim speak English• Previous victims• Outcry witnesses• Witnesses to any interactions• Visitors• Customers
55

CorroboratetheVictim
 Physical Evidence• Wire transfers, ledgers, bank records, receipts,computers• Physical surroundings causing isolation andfear• Visas, immigration and travel records• Phone records• Letters to victim’s family• Photos, videotapes• Medical records• Leases, registrations linking subjects• Prostitution paraphernalia: condoms, lubricant,lingerie, medications, tickets, business cards
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Defenses:BenefitsBiasMakingitupforImmigrationBenefits
• Legal Status to stay in the United States• Work authorization
“These women are not stupid. They may have some education. They may
come in here dressed up and look pitiful. In a lot of ways they are pitiful. I
submit to you that they are street smart. And anyone who lives on the street,
who gets smuggled across the border, who uses a coyote and comes into thiscountry for the same reason most people come in here is to make the big bucks.
And they know how to con. I submit to you that they conned theinvestigators in this case, just like they conned their customers. . . . I submit to
you that they have gone home after testifying here today feeling pretty damnsatisfied with themselves.”
--Attorney for Def. “Santi” Villaman
(May 18, 2011)57

Defenses:BenefitsBias• Legal Status to stay in the United States• Work authorization“She exaggerated her case, and it suited
everyone’s purpose to just go along with it.”-- Attorney for Def. Evelyn Theodore
New York Times (May 18, 2008)•Front Issues in Voir Dire
•Outweighed by corroboration•Compare Benefits to Coercion
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Defenses:InitialConsent“If a person willingly begins work, butlater desires to withdraw and is thenforced to remain… by the use or
threatened use of coercion, that person’sservice becomes involuntary.”
Pattern Crim. Jury Instr. 11th Cir. 㫝 59.

59

Defenses:PaymentofWages“Whether a person is paid a salary orwage is not determinative of whether
that person has been held in
involuntary servitude….[I]f a person isforced to labor against that person’s
will by the use or threatened use ofcoercion, such service is involuntaryeven though the person is paid…”
Pattern Crim. Jury Instr. 11th Cir. 㫝 59.
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AnticipatingDefenses

The“BetterOff” Defense
AnticipatingDefenses

The“HappySlave” Defense

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AnticipatingDefenses

The“Escape” Defense“opportunity to flee is notdeterminative [if]defendants placed[victim] in such fear or
circumstances that he did
not reasonably believe hecould leave”

Bradley, 390 F.3d 153
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AnticipatingDefenses

Religious/CulturalDefense “This is the way we do things in our country.” “According to our faith . . . .”63

ProsecutionTeam
 CivilRightsDivisionProsecutor
 AssistantU.S.Attorney ICEAgent FBIAgent Translator
 V/WCoordinator VictimhasaprobonoattorneyandNGO
representative

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