Opinion ID: 1208919
Heading Depth: 2
Heading Rank: 1

Heading: Corporate Criminal Liability (Respondeat Superior)

Text: We find that Ionia's claim that there was not sufficient evidence to convict it on a respondeat superior theory to be meritless. The Court reviews challenges to the sufficiency of the evidence de novo, United States v. Yannotti, 541 F.3d 112, 120 (2d Cir.2008), affirming if after viewing the evidence in the light most favorable to the prosecution, any rational trier of fact could have found the essential elements of the crime beyond a reasonable doubt, Jackson v. Virginia, 443 U.S. 307, 319, 99 S.Ct. 2781, 61 L.Ed.2d 560 (1979). The record reflects that there was ample evidence for a jury to have reasonably found that the Kriton 's crew acted within the scope of their employment. The crew members acted within their authority to maintain the engine room, discharge waste, and record relevant information, when they used the magic hose. They testified that they acted at the direction of their supervisors not just (a) in the discharging of the oil, and (b) in the making and maintaining of the false ORB entries, but also (c) in lying to the Coast Guard. The jury could, moreover, infer from the expert testimony about the maintenance and expense involved in using the Oil Water Separator that the crew used the bypass hose to benefit Ionia and subsequently lied to protect the company. Ionia's appeal that the jury charge on respondeat superior was erroneous and constructively amended the indictment also fails. Ionia did not challenge the instruction below, so we review for plain error. Johnson v. United States, 520 U.S. 461, 466-67, 117 S.Ct. 1544, 137 L.Ed.2d 718 (1997) (explaining that showing plain error involves proving an (1) error, (2) that is plain, and (3) affected the appellant's substantial rights). Ionia contends that the District Court erred because, inter alia, it failed to instruct the jury that corporate criminal liability can only stem from the actions of so-called managerial employees. That contention seems at odds with our precedents in United States v. Twentieth Century Fox Film Corp., 882 F.2d 656, 660 (2d Cir.1989), and United States v. George F. Fish, Inc., 154 F.2d 798, 801 (2d Cir.1946) (per curiam). But regardless of these, there was overwhelming evidence that the Kriton 's Chief Engineers specifically directed crew members to use the magic hose, and so Ionia's argument is without merit in any event. Furthermore, we refuse to adopt the suggestion that the prosecution, in order to establish vicarious liability, should have to prove as a separate element in its case-in-chief that the corporation lacked effective policies and procedures to deter and detect criminal actions by its employees. We note that this argument is made only by amici curiae and not by Ionia, and so we are not obligated to consider it. But the argument, whoever made it, is unavailing. Adding such an element is contrary to the precedent of our Circuit on this issue. See Twentieth Century Fox Film Corp., 882 F.2d at 660 (holding that a compliance program, however extensive, does not immunize the corporation from liability when its employees, acting within the scope of their authority, fail to comply with the law). And this remains so regardless of asserted new Supreme Court cases in other areas of the law. As the District Court instructed the jury here, a corporate compliance program may be relevant to whether an employee was acting in the scope of his employment, but it is not a separate element.