Legal Document

421 U.S. 658 95 Supreme Court Reporter 1903. 44 United States Reports Lawyer’s Edition 2d Series KF101.8 U54 489 UNITED STATES, Petitioner,v.John R. PARK. Number 74—215. Argued March 18—19, 1975. Decided June 9, Syllabus Acme Markets, Inc., a large national food chain, and respondent, its president, were charged with violating § 301(k) of the Federal Food, drug, Cosmetic Act (Act) in an information alleging that they had caused interstate shipments being held Acme's Baltimore warehouse to be exposed rodent contamination. Acme, but not pleaded guilty. At his trial respondent conceded providing sanitary conditions for offered sale public was something he 'responsible entire operation company,' it one many phases company assigned 'dependable subordinates.' Evidence admitted over respondent's objection received Food Drug Administration (FDA) letter 1970 concerning insanitary at Philadelphia warehouse. Respondent same individuals largely responsible sanitation both Philadelphia, as president any result occurred company. The court, inter alia, instructed jury although need have personally participated situation, must 'a relationship issue.' convicted, Appeals reversed, reasoning this Court's decision versus Dotterweich, 320 277, 64 134, 88 L.Ed. 48, construed statutory provisions under which been tried dispense traditional element "awareness some wrongdoing," them dispensing 'wrongful action.' concluded court's instructions 'might well left erroneous impression (respondent) could found guilty absence action' on part,' proof required by due process. court also admission evidence FDA warning reversible error. Held: 1. imposes upon persons exercising authority supervisory responsibility reposed business organization only positive duty seek out remedy violations also, primarily, implement measures will insure occur, supra; order make distributors 'the strictest censors their merchandise,' Smith California, 361 147, 152, 80 215, 218, 4 205 punishes 'neglect where law requires care, or inaction duty.' Morissette States, 342 246, 255, 72 240, 96 288. Pp. 670-673. 2. Viewed whole context, misleading provided proper guide jury's determination. charge adequately focused issue respecting formed basis alleged violations, fairly advising find guilt 'had relation situation'; 'situation' condition warehouse; virtue position 'authority responsibility' deal therewith. 676-678. 3. testimony rebuttal defense justifiably relied subordinates handle matters. 499 Reporter, 2nd 839, reversed. Allan Atlantic Tuttle, Raleigh, N.C., petitioner. Gregory M. Harvey, Pa., respondent. Mr. Chief Justice BURGER delivered opinion Court. 1 We granted certiorari consider whether prosecution corporate officer Drug, Act, 52 Statutes-at-Large 1042, amended, 21 Code KF62 331(k), appropriate 48 (1943). 2 is retail chain approximately 36,000 employees, 874 outlets, 12 general warehouses, four special warehouses. Its headquarters, including office Park, who chief executive corporation, are located Pa. In five-count filed District Maryland, Government Act. Each count defendants shipped commerce that, while following shipment commerce, building accessible rodents contamination rodents. These acts resulted food's adulterated within meaning §§ 342(a)(3) (4),1 violation 331(k).2 3 each information. trial3 demonstrated April advised 1971 similar existed firm's An consumer safety testified infestation other discovered during 12-day inspection November December 1971.4 He related second conducted 1972.5 On occasion inspectors there improvement conditions, 'there still activity warehouses we rodent-contaminated lots items.' App. 23. presented Compliance FDA's office, informed after first inspection.6 There division vice responded behalf described steps taken inspections. Government's final witness, legal affairs assistant secretary, identified read bylaw prescribing duties officer.7 functioned delegating 'normal operating duties,' sanitation, retained 'certain things, big, broad, principles seeing all work together.' Id., 41. 5 close case chief, moved judgment acquittal ground has shown Park concerned violation. judge denied motion, stating (1943), controlling. 6 witness. employees sense direction, 'organizational structure responsiblities certain functions' according different 'assigned who, turn, staff departments them.' those receipt January 1972 letter, conferred affairs, him 'was investigating situation immediately would taking corrective action preparing summary reply letter.' stated did 'believe anything (he) done more constructively than what done.' 43—47. 7 cross-examination, asked about and, objections counsel, receiving, addressed from regarding warehouse.8 acknowledged exception Philadelphia. Finally, response questions incidents, problem indicated system handling 'wasn't dworking perfectly' 'any occurs our company.' 48—55. 8 evidence, renewed motion denied. relevant portion judge's challenged set margin.9 Respondent's counsel objected failed reflect supra, define "responsible relationship." overruled objection. counts information, subsequently sentenced pay fine $50 count.10 9 reversed conviction remanded new trial. That viewed arguing 'that may predicated solely showing . President offending corporation,' proposition, act commission omission essential every crime.' 841 (CA4 1974). It reasoned U.S., 281, S.Ct., 136 137, F.2d, 841—842, held, dissent, 'correctly state case,' id., 840, directed retrial action,' might 'gross negligence inattention discharging obligations host 'cause' food.' 842. (Footnote omitted.) 10 error warranting reversal, based conclusion 'as submitted light sole presented,' no thus prejudicial effect outweighed relevancy test Woods, 484 127 1973), cert. denied, 415 979, 94 1566, 39 875 (1974). 843. 11 because apparent conflict among Courts respect standard liability officers importance question enforcement program. reverse. * petition focus opinion, manager corporation itself, prosecuted 1938 introduction misbranded articles into commerce.' Pet. Cert., 5, O.T.1943, Page disagreed jobber purchasing drugs manufacturers shipping own label, convicted corporation's manager. drug dealer, individual, subject criminal dealer individual connected therewith if 'alter ego." Buffalo Pharmacal Co., 131 500, 503 (CA2 1942).11 13 reversing reinstating Dotterweich's conviction, looked purposes noted 'touch lives health people which, circumstances modern industrialism, beyond self-protection.' 280, 136. observed now familiar type' 'dispenses conventional requirement conduct—awareness wrongdoing. interest larger good puts burden acting hazard person otherwise innocent standing danger.' 280—281, 14 Central proprietors reality way can through behalf.' Drugs 1906,12 contrary legislation incompatible expressed intent Congress 'enlarge stiffen penal net' discourage view Act's penalties "license fee conduct illegitimate business." 282—283, 137. 15 time, however, aware concern motivating factor Appeals' decision, literal operate too harshly sweeping condemnation however remotely entangled proscribed shipment.' 284, 138. A limiting principle, form 'settled doctrines law' defining 'are misdemeanor,' available. concluded, dictated offense committed 'by share furtherance transaction statute outlaws.' Ibid. 16 recognized dispenses prove 'consciousness wrongdoing,' hardship even applied 'responsibility process resulting in' regarded 'too treacherous' attempt 'to indicate illustration class stands such relation.' responsibility, said, depends 'on produced submission—assuming warrants it—to guidance.' added: 'In matters prosecutors, wise guidance judges, ultimate juries trusted.' 284—285, 138.13 See 336. Cf. Sullivan, 332 689, 694—695, 68 331, 334—335, 92 297 (1948). II 17 rule outlaws' formulated vacuum. 258, 288 (1952). Cases 1906 reflected knowledge proved prosecutions provisions, agents subjected thereby imposed. See, e.g., Mayfield, 177 KF105 F3 765 (ND Ala.1910). Moreover, principle agent, whose act, default, crime, himself individually crime. crime themselves managerial positions actor deemed commission. 18 latter cases, depend of, personal participation in, made statute. Rather, dispensed failure sufficient agent's liability. enough cases bore agent power prevent complained of. State Burnam, 71 Wash. 199, 128 Pacific KF135 P2 218 (1912); Overland Cotton Mill People, 32 Colo. 263, 75 924 (1904). Groff State, 171 Ind. 547, 85 Northeastern N59 769 (1908); Turner Tenn. 36, 100 South Western 236 (1937); People Schwartz, 28 Cal.App.Supp.2d 775, 70 1017 Sayre, Criminal Responsibility Acts Another, 43 Harv.L.Rev. 689 (1930). 19 rationale interpretation given holding criminally accountable exercise confirmed subsequent cases. Thus, reaffirmed proposition purity so great warrant imposition highest care distributors.' (1959). 'distributors ibid., 246. 'The accused, does violation, usually society reasonably expect exertion exact assumed responsibilities.' 256, Hughes, Omissions, 67 Yale L.J. 590 (1958). Similarly, decided vested commensurate devise whatever necessary ensure compliance bear relationship' to, share' violations.14 20 Thus Dotterweich followed reveal sanctions reach touch execute mission—and means necessarily confined single employee—the when occur occur. requirements foresight vigilance imposed demanding, perhaps onerous, stringent right voluntarily assume enterprises services products affect well-being supports them. Wasserstrom, Strict Liability Law, Stan.L.Rev. 731, 741—745 (1960).15 not, turn 'awareness wrongdoing' 'conscious fraud.'1 is, emphasize, vigilance, aspect, require objectively impossible. theory 'causing' permits claim defendant 'powerless' correct 'be raised defensively merits.' Wiesenfeld Warehouse 376 86, 91, 84 559, 563, 536 (1964). If made, coming forward alter proving reasonable doubt defendant's guilt, power, prohibited condition. seen fit enforce accountability dealing consumers cast rigorous terms, obligation courts give long do violate Constitution. III 22 cannot agree incumbent instruct establishing used phrase. concept indeed imports measure blameworthiness; equally clear establishes prima facie introduces finding trier facts had, reason either instance, promptly correct, so. fulfill interaction furnishes causal link. considerations prompted duty, scope provide culpability. 23 Turning case, course arguable isolated parts intimating position. But review instructions, instruction judged artificial isolation, context overall charge.' Cupp Naughten, 414 141, 146—147, 396, 400, 38 368 (1973). Boyd 271 104, 107, 46 442, 857 (1926). 24 Reading satisfies us attention violations. whole, permit corporation; rather, situation,' situation. referred 'food unsanitary consisted, part, filth contaminated filth.' 25 reviewing task itself part 'Often statements charge, seemingly face, considered record trial.' Birnbaum, 373 250, 257 (CA2), 389 837, 53, 99 (1967). (Emphasis added.) supra. reveals main determination hierarchy, rather accountability, position, gave rise charges against him.16 26 conclude trial, contained adequate statement Although better precisely relating say amplification requested abuse discretion. Bayer, 331 532, 536—537, 1394, 1396—1397, 91 1654 (1947); Holland 348 121, 140, 127, 137—138, 150 (1954). note request without capacity founded information.17 adduced sua sponte plain defect affecting substantial rights. Fed.Rule Crim.Proc. 52(b). Compare Lopez 427, 436, 83 1381, 1386, 462 (1963), Screws 325 65 1031, 1038, 89 1495 (1945) (opinion Douglas, J.). IV 27 Our erred reading suggests disagreement admissibility demonstrating satisfied officials provisions. Implicit admonition trusted,' 285, 138, realization demand bylaws employed subordinates, ultimately system. further these 'dependable' 'great confidence' By evidently sought persuade choice delegate whom confidence, suspect failing once unearthed, everything possible them.18 29 decide entitled lack see 676, it,19 clearly created 'need' evidence. show propensity commit acts. cf. Michelson 335 469, 475 476, 69 213, 218—219, 93 168 (1948), or, committed; purpose demonstrate notice rely delegation deficiencies before discovered. therefore since served rebut Ross, 321 61, 375 894, 170, 123 (1963); C. McCormick, 190, Pages 450—452 (2d ed. 1972). And, particularly difficult relevance persuasiveness effect. Research Laboratories, Incorporated 167 410, 420—421 (CA9), 843, 65, 393 30 Reversed. 31 STEWART, MARSHALL POWELL join, dissenting. agreeing much said & N Dec. Immigration Nationality Decisions dissent judgment, consistent today expounds it. 33 As understand holds sustain least individual's responsibilities, use maintain physical integrity products. then draw inference statute's prohibitions, 'caused' breach official. This language negligence, 34 To affirm approve members entrusted determining Those conform standards sets today. 35 Defendant, John company, prosition arose.' Requiring, did, verdict 'responsibility,' alone direction convict 'responsible' formal corporation. went specifically caution attach instruction, saying fact Defendant pres(id)ent Markets guilt.' 'Responsibility' unguided discretion chose 36 therefore, nothing tautology. They told jury: 'You you words: guilty.' infirmities reluctantly thought, declining relation' declined specify minimum guilt.1 37 recognized, kind support concerned, definition 'person'—with 'subject Act.' Ante, 670. violative constitute wrongdoing.' approving concedes misunderstanding Dotterweich—the approves conspicuous departure firmly established functions between administration justice. put matter years ago: 'We hold doctrine juriesin take apply Upon rests declaring law; jury, applying declared they, conscience, believe be. Under system, courts, declare law, practical eliminated government instrumentalities devised protection When cease laws, become men. Liberty regulated underlying institutions.' Sparf 156 51, 102—103, 273, 293, 343. 40 More recently unconstitutional procedure whereby having acquitted misdemeanor, impose costs degree 'responsibility.' Giaccio Pennsylvania, 382 399, 86 518, 447. authorized invalidated broad unlimited imposing jurors determinations crucial notions should instead is.' 403, 521. And Jackson Denno, 378 368, 1774, 908, permitted voluntariness confession along submergence appellate constitutionally required, deliberations jury. 41 embody fundamental jurisprudence: explained judge. Were otherwise, rational responsive accumulated wisdom ordeal. function short, establish objective performs facts. 42 sure, day (is) past (courts) parsed engaged nice semantic distinctions,' Cool 409 100, 354, 358, (Rehnquist, J., dissenting). never abandoned contain applicable sufficiently precise enable guided rough social argued 'mixed' fact, meant wholly sea, requires. emphasized, virtual nullity, mere authorization thought appropriate. Such instructions—regardless blameworthiness conduct, regardless value convicting it—have place jurisprudence. here civil forfeiture. true misdemeanor penalty light. imprisonment year, felony carrying punishment up three prison.2 So standardless approved serve another tomorrow prison sentence. However highly regard objectives justify alien law. two propositions, accept both. First, person' 333 include employee 'standing forbidden 136—137. Second, 45 find—and find—evidence wrongful amounting common-law negligence. clearly, case.3 For reasons, join affirming Park's conviction. Section 402 342, provides pertinent part: 'A shall adulterated— '(a) (3) consists filthy, putrid, decomposed substance, unfit food; (4) prepared, packed, filth, rendered injurious ..' 301 causing thereof prohibited: '(k) alteration, mutilation, destruction, obliteration, removal labeling doing food, device, cosmetic, article (whether sale) results misbranded.' parties stipulated items witness basement 'old building' complex: extensive rat mouse pellets throughout perimeter area wall. doors leading rail siding openings bottom beneath door came down admit entry. roden(t) number packages boxes various stored basement, looking document, broken windows siding.' 20—21. floor building,' found: 'Thirty walls ledge hanging meat room. twenty beside bales lime Jello chewed hole product. .' 22. corresponding observations inspection. fifth dated 27, 1972, included following: old areas storage actively extensively inhabited live Of observation reprehensible obviously prolonged period time detection, completely ignored .. trust direct your seriousness formally advise urgent initiate recurrence law.' 64—65. Chairman board directors determine. shall, directors, active supervision business, offices 'He board, report operations perform powers directors.' 40. 'objectionable conditions' warehouse: '1. Potential entry ways via ill fitting irrepair Southwest corner dock salvage room receiving open most time. '2. Rodent nesting, excreta pellets, stained bale bagging gnawed holes flour '3. harborage discarded paper, rope, sawdust debris piled near bakery doors. bags (or wood shavings).' 70. Information, 'Thirdly, Incorporated. 'However, yourselves elements case. third element, Markets. makes individuals, corporations, liable clear, doubt, adulteration travel present. are, though personally. statute, consciously wrong. However, guilt. Though, issue. 61—62. Sections 303(a) (b) 333(a) (b), provide: Any violates provision section title imprisoned year fined $1,000, '(b) Notwithstanding subsection (a) section, commits final, defraud mislead, $10,000, both.' alternative grounds initiation him, previously argument. 303(c) 333(c), extended immunity guaranty 'signed by, containing name address residing faith extend employees. 30, 1906, chapter 3915, 768. stated: 'For present suffices characterized very fair charge' properly verdict.' Lelles 241 353 974, 77 1059, 1136 (1957); Kaadt, 600 (CA7 1948). Shapiro, 491 335, 337 (CA6 1974); 3963 Bottles, 265 (CA7), 360 931, 79 1448, 1544 (1959); Klehman, 397 406 1968). 1948 Senate passed amendment 'willfully gross negligence.' Cong.Rec. 6760—6761 stricken conference. 8551, 8838. summation prosecutor argued: 'That brings decide, persisting. point apparently think got there—he anyone going change didn't change, Philadelphia; Baltimore; Baltimore, circumstances, submit, man responsible. 'Mr. supposed that. work. times. isn't working 57, 59, 60. Counsel requests charge: (1) 'Statutes ones seeks statutes strictly construed,' (2) Executive Officer Counts V Information.' Record 56—57. 'New, Park. You thousand stores—I eight hundred stores—lots stores, divisions, What do, except hire confidence work? '. am out, world (sic) could.' 201, 207. Assuming, arguendo, impossible senior control fully day-to-day follow elementary regional illumination Judge said: 'Let me this, simply relationship.' really question. says defined quite candid decision; stick it.' ante, 666 n. 10. course, point. 'Had end matter. bound seems inescapable logic judges.' 276,

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