Opinion ID: 499730
Heading Depth: 2
Heading Rank: 1

Heading: State-of-Mind Evidence

Text: 16 The Hobbs Act, 18 U.S.C. Sec. 1951, makes it a felony to obstruct, delay, or affect commerce by extortion, or to attempt or conspire to do so. Section 1951(b)(2) defines extortion as the obtaining of property from another, with his consent, induced by wrongful use of actual or threatened force, violence, or fear, or under color of official right. It is settled that to prove extortion it is necessary to show the generation of fear in the victim. United States v. Kelly, 722 F.2d 873, 878 (1st Cir.1983), cert. denied, 465 U.S. 1070, 104 S.Ct. 1425, 79 L.Ed.2d 749 (1984); see also United States v. DiCarlo, 565 F.2d 802, 807 (1st Cir.1977), cert. denied, 435 U.S. 924, 98 S.Ct. 1487, 55 L.Ed.2d 517 (1978). 17 It is equally well-settled that to prove attempted extortion it is sufficient merely to show an attempt to generate fear in the victim. E.g., United States v. Gambino, 566 F.2d 414, 419 (2d Cir.1977), cert. denied, 435 U.S. 952, 98 S.Ct. 1580, 55 L.Ed.2d 802 (1978); United States v. Frazier, 560 F.2d 884, 887 (8th Cir.1977), cert. denied, 435 U.S. 968, 98 S.Ct. 1605, 56 L.Ed.2d 58 (1978); United States v. Quinn, 514 F.2d 1250, 1267 (5th Cir.1975), cert. denied, 424 U.S. 955, 96 S.Ct. 1430, 47 L.Ed.2d 361 (1976); Carbo v. United States, 314 F.2d 718, 741 (9th Cir.1963), cert. denied, 377 U.S. 953, 84 S.Ct. 1626, 12 L.Ed.2d 498 (1964). Because evidence that the attempt was successful is not necessary, Goodoak argues, evidence of actual fear is irrelevant. Thus, he says, Callahan should not have been allowed to testify that he was very concerned by Goodoak's threats. 18 We disagree. In deciding whether the defendant's words and acts amounted to an attempt to induce fear, the jury is surely entitled to know whether those words and acts did in fact induce fear. Evidence that the defendant's conduct frightened the victim makes it more likely that the defendant was in fact attempting to frighten the victim. Conversely, evidence that the victim was not frightened makes it less likely that the defendant made such an attempt. 19 Of course, such evidence is by no means conclusive. Other evidence (including demeanor evidence) might show that the victim who testifies to his fear was so fainthearted as to feel fear even where an ordinary person might not have felt threatened. Or, in the case of an intended victim who testifies that he was not afraid, other evidence might show that he was made of unusually stern stuff, or that he felt safe from harm because he was cooperating with government agents or was himself a government agent. The key question remains that of whether there was an attempt to frighten, not whether fear actually was produced. As these scenarios suggest, state-of-mind evidence will be most relevant to that question where the defendant knew or reasonably should have known that his actions would produce such a state of mind in the victim. Where, on the other hand, the defendant did not expect and should not have expected to produce a given state of mind, evidence that such a state of mind resulted will tell the jury little about whether the defendant in fact attempted to frighten the victim. 20 We do not, however, mean to endorse a far-ranging inquiry at trial into whether an intended victim possesses more or less than the average degree of fortitude. The focus should remain on the attempt rather than the result, and the court should exercise its discretion under Rule 403 of the Federal Rules of Evidence to exclude state-of-mind evidence where it would produce unfair prejudice, confusion, or waste of time. We merely hold that evidence of the result is relevant to whether there was an attempt. There was thus no error in permitting Callahan to testify that he was very concerned about Goodoak's remarks.