Court Opinion

ID: 9431460
Source: CourtListenerOpinion
Date Created: 2023-08-02 23:32:20.138154+00
Date Added: 2024-06-11T17:23:28.645210
License: Public Domain

Justice Stevens,
with whom Justice Blackmun joins, concurring in the judgment.
No matter what we write, this case must be remanded for a new trial because the Court of Appeals held that expert testimony was erroneously admitted and the Government has not asked us to review that holding. My colleagues’ opinions attempting to formulate an all-encompassing definition of the term “involuntary servitude” demonstrate that this legislative task is not an easy one. They also persuade me that Congress probably intended the definition to be developed in *966the common-law tradition of case-by-case adjudication, much as the term “restraint of trade” has been construed in an equally vague criminal statute.
In rejecting an argument that the Sherman Act was unconstitutionally vague, Justice Holmes wrote:
“But apart from the common law as to restraint of trade thus taken up by the statute the law is full of instances where a man’s fate depends on his estimating rightly, that is, as the jury subsequently estimates it, some matter of degree. If his judgment is wrong, not only may he incur a fine or a short imprisonment, as here; he may incur the penalty of death. ‘An act causing death may be murder, manslaughter, or misadventure according to the degree of danger attending it’ by common experience in the circumstances known to the actor. ‘The very meaning of the fiction of implied malice in such cases at common law was, that a man might have to answer with his life for consequences which he neither intended nor foresaw.’ Commonwealth v. Pierce, 138 Massachusetts, 165, 178 [(1884)]. Commonwealth v. Chance, 174 Massachusetts, 245, 252 [(1899)]. ‘The criterion in such cases is to examine whether common social duty would, under the circumstances, have suggested a more circumspect conduct.’ [1 E. East, Pleás of the Crown 262 (1803)].” Nash v. United States, 229 U. S. 373, 377 (1913).
A similar approach to the statute before us in this case was expressed by Judge Guy in his dissenting opinion in the Court of Appeals:
“It is clear that 18 U. S. C. § 1584 is lacking in definitional precision when it makes criminal the holding of one in ‘involuntary servitude.’ Whether this is the genius of this section or a deficiency to be cured by judicial legislation is not so clear. The majority apparently concludes it is a deficiency and proceeds to cure it by *967substituting an arbitrary definition that raises more questions than it answers. In discussing this specific section, Judge Dimock, who concurred in Shackney, prophetically wrote:
“‘To have an arbitrary classification which will resolve with equal facility all of the cases that would arise under the statute is indeed a tempting prospect. It is much harder to have to work under a statute which will raise difficult questions in the borderline cases inevitable whenever the application of a statute depends upon an appraisal of the state of the human mind. 333 F. 2d at 488.’
“This is not an easy definitional question and it is one on which reasonable minds and federal circuits might differ. I write in dissent, however, primarily because I believe the majority has. rewritten rather than interpreted 18 U. S. C. §1584.” 821 F. 2d 1186, 1212-1213 (CA6 1987).
I have a similar reaction to both Justice O’Connor’s opinion for the Court and to Justice Brennan’s concurrence. They are both unduly concerned with hypothetical cases that are not before the Court and that, indeed, are far removed from the facts of this case.. Although these hypothetical cases present interesting and potentially difficult philosophical puzzles, I doubt that they have any significant relationship to real world decisions that will be faced by possible defendants, prosecutors, or jurors.1
*968The text of § 1584 identifies three components of this criminal offense.2 First, the defendant must have acted “knowingly and willfully.” As the District Court instructed the jury, the Government has. the burden of proving that the defendants had “the specific intent” to commit the offense.3 Infra, at 975. Second, they must have imposed an “involuntary” condition upon their victims. As the District Court correctly stated, the term “involuntary” means “‘done contrary to or without choice’ — ‘compulsory’ — ‘not subject to control of the will.’” Infra, at 971. Third, the condition that must have been deliberately imposed on the victims against their will must have been a condition of “servitude.” As the District Court explained, the term “servitude” means “ ‘[a] condition in which a person lacks liberty especially to de*969termine one’s course of action or way of life’ — ‘slavery’ — ‘the state of being subject to a master.’”4 Ibid. The judge further instructed the jury that the defendants could not be found guilty unless they had used “a means of compulsion . . . sufficient in kind and degree, to subject a person having the same general station in life as the alleged victims to believe they had no reasonable means of escape and no choice except to remain in the service of-the employer.” Infra, at 972.
I agree with Justice Brennan that the reach of the statute extends beyond compulsion that is accompanied by actual or threatened physical means or by the threat of legal action. See ante, at 954-959. The statute applies equally to “physical or mental restraint,” cf. Chatwin v. United States, 326 U. S. 455, 460 (1946), and I would not distinguish between the two kinds of compulsion. However, unlike Justice Brennan, I would not impose the additional requirement in cases involving mental restraint that the victim be coerced into a “slavelike condition of servitude.” To the extent the phrase “slavelike condition of servitude” simply mirrors the term “involuntary servitude,” I see no reason for imposing this additional level of definitional complexity. In my view, individuals attempting to conform their conduct to the rule of law, prosecutors, and jurors are just as capable of understanding and applying the term “involuntary servitude” as they are of applying the concept of “slavelike condition.” Moreover, to the extent “slavelike condition of servitude” means something less than “involuntary servitude,” I see no *970basis for reading the statute more narrowly than written. Instead, in determining whether the victims’ servitude was “involuntary,” I would allow the jury to consider the “totality of the circumstances” just as we do when it is necessary to decide whether a custodial statement is voluntary or involuntary, see, e. g., Mincey v. Arizona, 437 U. S. 385, 401 (1978). In this case, however, the burden is of course on the Government to prove that the victims did not accept the terms of their existence voluntarily.
In sum, taking the evidence in the light most favorable to the Government, see Glasser v. United States, 315 U. S. 60, 80 (1942), I am persuaded that the statute gave the defendants fair notice that their, conduct was unlawful and that the trial court’s instructions, read as a whole, adequately informed the jury as to the elements of the crime. I think they were fairly convicted.
Nevertheless, as I stated at the outset, I must concur in the Court’s judgment.
APPENDIX
RELEVANT JURY INSTRUCTIONS
(App. to Pet. for Cert. 108a-114a.)
“[Court:] In order to find a particular defendant guilty as charged in Counts II and III of the Indictment, the government must prove beyond a reasonable doubt each of the following elements as to Robert Fulmer for Count II and as to Louis Molitoris for Count III:
“1. That a particular defendant held or aided and abetted in the holding of Robert Fulmer under Count II or Louis Molitoris under Count III to involuntary servitude for a term.
“2. That the act or acts of the defendants were done knowingly or willfully.
“If you find that the government has proved the above two elements as to a particular defendant and as to a particular *971count beyond a reasonable doubt, then your verdict will be guilty as to that count and that defendant.
“If, however, you find that the government has failed to prove either or both of the elements set forth above as to a particular defendant and as to a particular count, then your verdict will be not guilty as to that defendant and that count.
“As stated before, the burden is always upon the prosecution to prove beyond a reasonable doubt every element essential to the crime charged; the law never imposes upon the defendant in a criminal case the burden or duty of calling any witnesses or of producing any evidence.
“A person who willfully aids and abets another in the commission of an offense is punishable as a principal.
“In order to aid and abet another to commit a crime it is necessary that the accused willfully associate himself in some way with the criminal venture, and willfully participate in it as in something he wishes to bring about; that is to say, that he willfully seeks by some act or omission to make the criminal venture succeed.
“You, of course, may not find a defendant guilty as to a particular count unless you find beyond a reasonable doubt that every element of the particular offense as defined in these instructions was committed by some person or persons, and that that defendant participated in its commission.
“The government is not required to prove that a defendant personally committed the offense charged. Rather, the government bears the burden of showing (1) that every element of a particular offense as defined in these instructions was committed by some person or persons and (2) that a defendant (a) was that person or one of those persons, or (b) aided and abetted that person or those persons in the commission of the offense.
“Involuntary servitude consists of two terms.
“Involuntary means ‘done contrary to or without choice’— ‘compulsory’ — ‘not subject to control of the will.’
*972“Servitude means ‘[a] condition in which a person lacks liberty especially to determine one’s course of action or way of life’ — ‘slavery’ — ‘the state of being subject to a master.’
“Involuntary servitude involves a condition of having some of the incidents of slavery.
“It may Include situations in which persons are forced to return to employment by law.
“It may also include persons who are physically restrained by guards from leaving employment.
“It may also include situations involving either physical and other coercion, or a combination thereof, used to detain persons in employment.
“It may include situations in which the coercive acts or words cause persons in employment to believe they cannot freely leave employment if the acts are done or the words spoken with the intent to cause this result.
“In other words, based on all the evidence it will be for you to determine if there was a means of compulsion used, sufficient in kind and degree, to subject a person having the same general station in life as the alleged victims to believe they had no reasonable means of escape and no choice except to remain in the service of the employer. In this respect you are instructed that you may find that not all persons are of like courage and firmness. You may consider the character and condition of life of the parties, the relative inferiority or inequality between the persons who perform the service and the persons exercising the force or influence to compel its performance and the defendants’ knowledge of these matters.
“The matter involves the knowledge and intent of the person charged as well as the character and understanding of the alleged victim.-
“It is not part of the Government’s burden of proof, in order for you to return a verdict of guilty, to show that án alleged victim named in the Indictment made an attempt to escape. You may, however, consider any evidence of escape attempts as well as the opportunities to leave and the volun*973tary remaining or returning as bearing upon the voluntariness of the person’s labor.
“In determining whether the service was involuntary, you are instructed that it makes no difference whether or not the persons alleged to have been held in involuntary servitude initially agreed voluntarily to work. If a person desires to withdraw, and then is forced to remain and perform services against his will, his service is involuntary.
“In the same sense, the failure to pay a person who voluntarily performs labor does not transform that labor into an ‘involuntary servitude/
“Of course, an employer can use any legitimate means to retain the services of an employee, such as offering the employee benefits, or seeking to convince the employee that he would be better off if he continued in his employment.
“Payment of wages to the alleged victims or the conferring of other benefits on them is of course a proper means of attempting to retain their services. You should take evidence of such payment or benefits into account in your determination of whether or not the improper conduct of a particular defendant, if you find such improper conduct to have occurred, was a necessary cause of the decision of one or both of the alleged victims to remain on the farm. However, the fact that the alleged victims were paid or were given other benefits does not necessarily mean that they were not held in involuntary servitude.
“As I have instructed you, you must consider all of the factors that might have influenced the decision of both of the alleged victims to remain on the farm. The desire to receive wages and benefits may have been one such factor. However, you must still determine whether or not the improper conduct of a defendant, if any, was a necessary cause of the decision of one or both of the alleged victims to remain.
“In order to find that a particular defendant is guilty of holding one or both of the alleged victims in involuntary servitude, in addition to the necessary coercion and intention on *974the part of the defendants, you must find that those means were an actual and necessary cause of the decision of one or both of the alleged victims to continue working fur the Kozminskis. In other words, you must determine if one or both of the alleged victims would have left the employment if they had not been subjected to improper conduct on the part of that particular defendant.
“In determining whether or not the improper means was a necessary cause of the decision of the alleged victim to continue working for the Kozminskis, you must evaluate all of the factors that might have affected that decision, including any legitimate means used by that defendant to convince- the alleged victim to retain the employment. After considering all of the factors that might have affected that decision, you must decide whether or not the decision of either or both of the alleged victims to remain on the farm would have been made if improper means had not been used by a particular defendant.
“If you determine that either or both of the alleged victims would have continued to work for the Kozminskis regardless of the use of improper means by that particular, defendant then you must find that the improper conduct of that defendant was not a necessary cause of the decision of both victims to retain their employment.
“In making the determination involving involuntary servitude, you may consider all of the evidence in this case to determine if a particular defendant held or aided and abetted in the holding of either Louis Molitoris or Robert Arthur Fulmer to involuntary servitude.
“I caution you again as I have before, however, the defendants are not on trial for failure to comply with minimum wage laws, or for violating certain social regulations or for assault or battery or for using bad language in a coercive way. Neither are they on trial for neglect, for misappropriation of money, or for breach of an employment contract. Your at*975tention must be directed to the discrete charge outlined in these instructions.
“You will note that Element One requires proof that the victim was held ‘for a term,’ that is, a period of time. In that respect, I instruct you that it is not necessary for the Government to prove any given specific term of an appreciable length of time. If the person was held for any term, regardless of how short such term may be, it would come within the ‘held for a term’ provisions of the statute.
“Element Two requires that the acts of the defendants were done knowingly and willfully.
“Ah act, omission, or failure to act is done ‘knowingly’ if done voluntarily and intentionally, and not because of mistake or accident or other innocent reason.
“The word ‘knowingly’ is used to insure that no one will be convicted for an act done because of mistake, or accident, or other Innocent reason.
“An act, omission, or failure to act is done ‘willfully’ if done voluntarily and intentionally, and with the specific intent to do something the law forbids; that is to say, with bad purpose either to disobey or to disregard the law.
“You will note that to act knowingly requires that the act be done intentionally. The crimes charged requires proof of specific intent before a defendant can be convicted. Specific intent, as the term implies, means more than the general intent to commit the act. To establish specific intent the gov-eminent must prove that the defendant knowingly did an act which the law forbids, or knowingly failed to do an act which the law requires, purposely intending to-violate the law.
“Such intent may be determined from all the facts and circumstances surrounding the ease. Specific intent must be proved beyond a reasonable doubt before there can be a conviction.
“Intent ordinarily may not be proved directly, because there is no- way of fathoming or scrutinizing the operations of *976the human mind. But, you may infer the defendant’s intent from the surrounding circumstances.
“You may consider any statement made by the defendant, and all other facts and circumstances in evidence which indicate the state of mind. You may consider it reasonable to draw the inference and find that a person intends the natural and probable consequences of acts knowingly done or knowingly omitted.
“As I have said, it is entirely up to you to decide what facts to find from the evidence.
“You will note that the Indictment charges that the offense was committed ‘on or about’ a certain date. The proof need not establish with certainty the exact date of the alleged offense. It is sufficient if the evidence in the case establishes, beyond a reasonable doubt, that the offense was committed on a date reasonably near the date alleged.
“That is the end of the instructions relating to Counts II and III of the Indictment.”

Although the Government conceded at oral argument that “a parent who coerced an adult son or daughter into working in the family business by threatening withdrawal of affection,” might be in violation of the statute, ante, at 949,. I cannot believe that we need adopt a narrow construction of § 1584 to avoid uncertainty as to such cases. No parent would expect to be prosecuted, no responsible prosecutor would seek indictment, and no reasonable jury would convict for this sort of conduct. Of course, increasingly difficult hypothetical cases can be developed to a point at which rea*968sonable persons may disagree. No legal rule, however, produces certainty and I am convinced that § 1584 is sufficiently definite on its face to apprise the public of what it may and may not do. The seemingly unambiguous rule adopted by the majority itself admits of grey area. The Court asserts: “The history of the Padrone statute reflects Congress’ view that a victim’s age or special vulnerability may be relevant in determining whether a particular type or a certain degree of physical or legal coercion is sufficient to hold that person to involuntary servitude.” Ante, at 948. Thus, the public is left to ask how young is too young, how vulnerable is too vulnerable, and how much coercion is permissible in light of the victim’s age or vulnerability? The answer to each question, however, like the question presented in this case, is best — if not only — resolved on a case-by-case basis.

 As the Court of Appeals noted, “ft]he trial court instructed the jury to incorporate the definition of involuntary servitude from § 1584 into § 241 which encompasses the Thirteenth Amendment." 821 F. 2d 1186, 1188, n. 3 (CA6 1987). Because the parties did not challenge this process of incorporation, the Court of Appeals did not reach the question whether § 241 requires a different set of instructions from § 1584 concerning the meaning of “involuntary servitude.” Ibid. Because our decision in this case does not affect the ultimate disposition — that is, a new trial is necessary in any event — I would not extend our analysis beyond the scope of the question considered by the Court of Appeals.

 The full text of the relevant jury instructions appears as an appendix to this opinion.

 This definition of “servitude” closely resembles the definitions found in the dictionaries that Justice Brennan considers in drawing the conclusion that psychological coercion is only covered by the statute if accompanied by a “ ‘slavelike’ conditio[n] of servitude.” See ante, at 961, and n. 9 (“[I]n 1910 and 1949, Webster’s defined ‘servitude’ as the ‘[cjondition of a slave; slavery; serfdom; bondage; state of compulsory subjection to a master. ... In French and English Colonies of the 17th and 18th centuries, the condition of transported or colonial laborers who, under contract or by custom, rendered service with temporary and limited loss of political and personal liberty’ ”).