OPINION OF THE COURT
SKILLING V. UNITED STATES
561 U. S. ____ (2010)
SUPREME COURT OF THE UNITED STATES
NO. 08-1394
JEFFREY K. SKILLING, PETITIONER
v. UNITED
STATES
on writ of certiorari to the united states court of
appeals for the fifth circuit
[June 24, 2010]
Justice Ginsburg delivered the
opinion of the Court.
In 2001, Enron Corporation, then
the seventh highest-revenue-grossing company in America, crashed
into bankruptcy. We consider in this opinion two questions arising
from the prosecution of Jeffrey Skilling, a longtime Enron
executive, for crimes committed before the corporation’s collapse.
First, did pretrial publicity and community prejudice prevent
Skilling from obtaining a fair trial? Second, did the jury
improperly convict Skilling of conspiracy to commit
“honest-services” wire fraud, 18 U. S. C. §§371, 1343,
1346?
Answering no to both questions, the Fifth
Circuit affirmed Skilling’s convictions. We conclude, in common
with the Court of Appeals, that Skilling’s fair-trial argument
fails; Skilling, we hold, did not establish that a presumption of
juror prejudice arose or that actual bias infected the jury that
tried him. But we disagree with the Fifth Circuit’s honest-services
ruling. In proscribing fraudulent deprivations of “the intangible
right of honest services,” §1346, Congress intended at least to
reach schemes to defraud involving bribes and kickbacks. Construing
the honest-services statute to extend beyond that core meaning, we
conclude, would encounter a vagueness shoal. We therefore hold that
§1346 covers only bribery and kickback schemes. Because Skilling’s
alleged misconduct entailed no bribe or kickback, it does not fall
within §1346’s proscription. We therefore affirm in part and vacate
in part.
I
Founded in 1985, Enron
Corporation grew from its headquarters in Houston, Texas, into one
of the world’s leading energy companies. Skilling launched his
career there in 1990 when Kenneth Lay, the company’s founder, hired
him to head an Enron subsidiary. Skilling steadily rose through the
corporation’s ranks, serving as president and chief operating
officer, and then, beginning in February 2001, as chief executive
officer. Six months later, on August 14, 2001, Skilling resigned
from Enron.
Less than four months after
Skilling’s departure, Enron spiraled into bankruptcy. The company’s
stock, which had traded at $90 per share in August 2000, plummeted
to pennies per share in late 2001. Attempting to comprehend what
caused the corporation’s collapse, the U. S. Department of Justice
formed an Enron Task Force, comprising prosecutors and FBI agents
from around the Nation. The Government’s investigation uncovered an
elaborate conspiracy to prop up Enron’s short-run stock prices by
overstating the company’s financial well-being. In the years
following Enron’s bankruptcy, the Government prosecuted dozens of
Enron employees who participated in the scheme. In time, the
Government worked its way up the corporation’s chain of command: On
July 7, 2004, a grand jury indicted Skilling, Lay, and Richard
Causey, Enron’s former chief accounting officer.
These three defendants, the indictment
alleged,
“engaged in a wide-ranging scheme to deceive the
investing public, including Enron’s shareholders, … about the true
performance of Enron’s businesses by: (a) manipulating Enron’s
publicly reported financial results; and (b) making public
statements and representations about Enron’s financial performance
and results that were false and misleading.” App. ¶5, p. 277a.
Skilling and his co-conspirators, the indictment
continued, “enriched themselves as a result of the scheme through
salary, bonuses, grants of stock and stock options, other profits,
and prestige.”
Id., ¶14, at 280a.
Count 1 of the indictment charged Skilling
with conspiracy to commit securities and wire fraud; in particular,
it alleged that Skilling had sought to “depriv[e] Enron and its
shareholders of the intangible right of [his] honest services.”
Id., ¶87, at 318a.[
Footnote 1] The indictment further charged Skilling with
more than 25 substantive counts of securities fraud, wire fraud,
making false representations to Enron’s auditors, and insider
trading.
In November 2004, Skilling moved to transfer
the trial to another venue; he contended that hostility toward him
in Houston, coupled with extensive pretrial publicity, had poisoned
potential jurors. To support this assertion, Skilling, aided by
media experts, submitted hundreds of news reports detailing Enron’s
downfall; he also presented affidavits from the experts he engaged
portraying community attitudes in Houston in comparison to other
potential venues.
The U. S. District Court for the Southern
District of Texas, in accord with rulings in two earlier instituted
Enron-related prosecutions,[
Footnote 2] denied the venue-transfer motion. Despite
“isolated incidents of intemperate commentary,” the court observed,
media coverage “ha[d] [mostly] been objective and unemotional,” and
the facts of the case were “neither heinous nor sensational.” App.
to Brief for United States 10a–11a.[
Footnote 3] Moreover, “courts ha[d] commonly” favored
“effective voir dire … to ferret out any [juror] bias.”
Id.
, at 18a. Pretrial publicity about the case,
the court concluded, did not warrant a presumption that Skilling
would be unable to obtain a fair trial in Houston.
Id., at
22a.
In the months leading up to the trial, the
District Court solicited from the parties questions the court might
use to screen prospective jurors. Unable to agree on a ques-
tionnaire’s format and content, Skilling and the Government
submitted dueling documents. On venire members’ sources of
Enron-related news, for example, the Government proposed that they
tick boxes from a checklist of generic labels such as
“[t]elevision,” “[n]ewspaper,” and “[r]adio,” Record 8415; Skilling
proposed more probing questions asking venire members to list the
specific names of their media sources and to report on “what
st[ood] out in [their] mind[s]” of “all the things [they] ha[d]
seen, heard or read about Enron,”
id., at 8404–8405.
The District Court rejected the Government’s
sparer inquiries in favor of Skilling’s submission. Skilling’s
questions “[we]re more helpful,” the court said, “because [they]
[we]re generally … open-ended and w[ould] allow the potential
jurors to give us more meaningful information.”
Id., at
9539. The court converted Skilling’s submission, with slight
modifications, into a 77-question, 14-page document that asked
prospective jurors about,
inter alia, their sources of
news and exposure to Enron-related publicity, beliefs concerning
Enron and what caused its collapse, opinions regarding the
defendants and their possible guilt or innocence, and relationships
to the company and to anyone affected by its demise.[
Footnote 4]
In November 2005, the District Court mailed
the questionnaire to 400 prospective jurors and received responses
from nearly all the addressees. The court granted hardship
exemptions to approximately 90 individuals,
id., at
11773–11774, and the parties, with the court’s approval, further
winnowed the pool by excusing another 119 for cause, hardship, or
physical disability,
id., at 11891, 13594. The parties
agreed to exclude, in particular, “each and every” prospective
juror who said that a preexisting opinion about Enron or the
defendants would prevent her from impartially considering the
evidence at trial.
Id., at 13668.
On December 28, 2005, three weeks before the
date scheduled for the commencement of trial, Causey pleaded
guilty. Skilling’s attorneys immediately requested a continuance,
and the District Court agreed to delay the proceedings until the
end of January 2006.
Id., at 14277. In the interim,
Skilling renewed his change-of-venue motion, arguing that the juror
questionnaires revealed pervasive bias and that news accounts of
Causey’s guilty plea further tainted the jury pool. If Houston
remained the trial venue, Skilling urged that “jurors need to be
questioned individually by both the Court
and counsel”
concerning their opinions of Enron and “publicity issues.”
Id., at 12074.
The District Court again declined to move the
trial. Skilling, the court concluded, still had not “establish[ed]
that pretrial publicity and/or community prejudice raise[d] a
presumption of inherent jury prejudice.”
Id., at 14115.
The questionnaires and
voir dire, the court observed,
provided safeguards adequate to ensure an impartial jury.
Id., at 14115–14116.
Denying Skilling’s request for attorney-led
voir dire, the court said that in 17 years on the
bench:
“I’ve found … I get more forthcoming responses from
potential jurors than the lawyers on either side. I don’t know
whether people are suspicious of lawyers—but I think if I ask a
person a question, I will get a candid response much easier than if
a lawyer asks the question.”
Id., at 11805.
But the court promised to give counsel an
opportunity to ask follow-up questions,
ibid., and it
agreed that venire members should be examined individually about
pretrial publicity,
id., at 11051–11053. The court also
allotted the defendants jointly 14 peremptory challenges, 2 more
than the standard number prescribed by Federal Rule of Criminal
Procedure 24(b)(2) and (c)(4)(B).
Id., at 13673–13675.
Voir dire began on January 30, 2006.
The District Court first emphasized to the venire the importance of
impartiality and explained the presumption of innocence and the
Government’s burden of proof. The trial, the court next instructed,
was not a forum “to seek vengeance against Enron’s former
officers,” or to “provide remedies for” its victims. App. 823a.
“The bottom line,” the court stressed, “is that we want … jurors
who … will faithfully, conscientiously and impartially serve if
selected.”
Id., at 823a–824a. In response to the court’s
query whether any prospective juror questioned her ability to
adhere to these instructions, two individuals indicated that they
could not be fair; they were therefore excused for cause,
id., at 816a, 819a–820a.
After questioning the venire as a
group,[
Footnote 5] the District
Court brought prospective jurors one by one to the bench for
individual examination. Although the questions varied, the process
generally tracked the following format: The court asked about
exposure to Enron-related news and the content of any stories that
stood out in the prospective juror’s mind. Next, the court homed in
on questionnaire answers that raised a red flag signaling possible
bias. The court then permitted each side to pose follow-up
questions. Finally, after the venire member stepped away, the court
entertained and ruled on challenges for cause. In all, the court
granted one of the Government’s for- cause challenges and denied
four; it granted three of the defendants’ challenges and denied
six. The parties agreed to excuse three additional jurors for cause
and one for hardship.
By the end of the day, the court had qualified
38 prospective jurors, a number sufficient, allowing for peremptory
challenges, to empanel 12 jurors and 4 alternates.[
Footnote 6] Before the jury was sworn in,
Skilling objected to the seating of six jurors. He did not contend
that they were in fact biased; instead, he urged that he would have
used peremptories to exclude them had he not exhausted his supply
by striking several venire members after the court refused to
excuse them for cause. Supp. App. 3sa–4sa (Sealed).[
Footnote 7] The court overruled this
objection.
After the jurors took their oath, the District
Court told them they could not discuss the case with anyone or
follow media accounts of the proceedings. “[E]ach of you,” the
court explained, “needs to be absolutely sure that your decisions
concerning the facts will be based only on the evidence that you
hear and read in this courtroom.” App. 1026a.
Following a 4-month trial and nearly five days
of deliberation, the jury found Skilling guilty of 19 counts,
including the honest-services-fraud conspiracy charge, and not
guilty of 9 insider-trading counts. The District Court sentenced
Skilling to 292 months’ imprisonment, 3 years’ supervised release,
and $45 million in restitution.
On appeal, Skilling raised a host of
challenges to his convictions, including the fair-trial and
honest-services arguments he presses here. Regarding the former,
the Fifth Circuit initially determined that the volume and negative
tone of media coverage generated by Enron’s collapse created a
presumption of juror prejudice. 554 F. 3d 529, 559
(2009).[
Footnote 8] The court
also noted potential prejudice stemming from Causey’s guilty plea
and from the large number of victims in Houston—from the
“[t]housands of Enron employees … [who] lost their jobs, and … saw
their 401(k) accounts wiped out,” to Houstonians who suffered
spillover economic effects.
Id., at 559–560.
The Court of Appeals stated, however, that
“the presumption [of prejudice] is rebuttable,” and it therefore
examined the
voir dire to determine whether “the District
Court empanelled an impartial jury.”
Id., at 561 (internal
quotation marks, italics, and some capitalization omitted). The
voir dire was, in the Fifth Circuit’s view, “proper and
thorough.”
Id., at 562. Moreover, the court noted, Skill-
ing had challenged only one seated juror—Juror 11—for cause.
Although Juror 11 made some troubling comments about corporate
greed, the District Court “observed [his] demeanor, listened to his
answers, and believed he would make the government prove its case.”
Id., at 564. In sum, the Fifth Circuit found that the
Government had overcome the presumption of prejudice and that
Skilling had not “show[n] that any juror who actually sat was
prejudiced against him.”
Ibid.
The Court of Appeals also rejected Skilling’s
claim that his conduct did not indicate any conspiracy to commit
honest-services fraud. “[T]he jury was entitled to convict
Skilling,” the court stated, “on these elements”: “(1) a material
breach of a fiduciary duty … (2) that results in a detriment to the
employer,” including one occasioned by an employee’s decision to
“withhold material information, i.e., information that he had
reason to believe would lead a reasonable employer to change its
conduct.”
Id., at 547. The Fifth Circuit did not address
Skilling’s argument that the honest-services statute, if not
interpreted to exclude his actions, should be invalidated as
unconstitutionally vague. Brief of Defendant-Appellant Jeffrey K.
Skilling in No. 06–20885 (CA5), p. 65, n. 21.
Arguing that the Fifth Circuit erred in its
consideration of these claims, Skilling sought relief from this
Court. We granted certiorari, 558 U. S. ___ (2009), and now affirm
in part, vacate in part, and remand for further
proceedings.[
Footnote 9] We
consider first Skilling’s allegation of juror prejudice, and next,
his honest-services argument.
II
Pointing to “the community
passion aroused by Enron’s collapse and the vitriolic media
treatment” aimed at him, Skilling argues that his trial “never
should have proceeded in Houston.” Brief for Petitioner 20. And
even if it had been possible to select impartial jurors in Houston,
“[t]he truncated voir dire … did almost nothing to weed out
prejudices,” he contends, so “[f]ar from rebutting the presumption
of prejudice, the record below affirmatively confirmed it.”
Id., at 21. Skilling’s fair-trial claim thus raises two
distinct questions. First, did the District Court err by failing to
move the trial to a different venue based on a presumption of
prejudice? Second, did actual prejudice contaminate Skilling’s
jury?[
Footnote 10]
A
1
The Sixth Amendment secures to
criminal defendants the right to trial by an impartial jury. By
constitutional design, that trial occurs “in the State where the …
Crimes … have been committed.” Art. III, §2, cl. 3. See
also Amdt. 6 (right to trial by “jury of the State and district
wherein the crime shall have been committed”). The Constitution’s
place-of-trial prescriptions, however, do not impede transfer of
the proceeding to a different district at the defendant’s request
if extraordinary local prejudice will prevent a fair trial—a “basic
requirement of due process,”
In re Murchison,
349 U. S. 133, 136
(1955).[
Footnote 11]
2
“The theory of our [trial] system
is that the conclusions to be reached in a case will be induced
only by evidence and argument in open court, and not by any outside
influence, whether of private talk or public print.”
Patterson v.
Colorado ex rel. Attorney General of
Colo.,
205 U.
S. 454, 462 (1907) (opinion for the Court by Holmes, J.). When
does the publicity attending conduct charged as criminal dim
prospects that the trier can judge a case, as due process requires,
impartially, unswayed by outside influence? Because most cases of
consequence garner at least some pretrial publicity, courts have
considered this question in diverse settings. We begin our
discussion by addressing the presumption of prejudice from which
the Fifth Circuit’s analysis in Skilling’s case proceeded. The
foundation precedent is
Rideau v.
Louisiana,
373 U. S. 723 (1963).
Wilbert Rideau robbed a bank in a
small Louisiana town, kidnaped three bank employees, and killed one
of them. Police interrogated Rideau in jail without counsel present
and obtained his confession. Without informing Rideau, no less
seeking his consent, the police filmed the interrogation. On three
separate occasions shortly before the trial, a local television
station broadcast the film to audiences ranging from 24,000 to
53,000 individuals. Rideau moved for a change of venue, arguing
that he could not receive a fair trial in the parish where the
crime occurred, which had a population of approximately 150,000
people. The trial court denied the motion, and a jury eventually
convicted Rideau. The Supreme Court of Louisiana upheld the
conviction.
We reversed. “What the people [in the
community] saw on their television sets,” we observed, “was Rideau,
in jail, flanked by the sheriff and two state troopers, admitting
in detail the commission of the robbery, kidnapping, and murder.”
Id., at 725. “[T]o the tens of thousands of people who saw
and heard it,” we explained, the interrogation “in a very real
sense
was Rideau’s trial—at which he pleaded guilty.”
Id., at 726. We therefore “d[id] not hesitate to hold,
without pausing to examine a particularized transcript of the
voir dire,” that “[t]he kangaroo court proceedings”
trailing the televised confession violated due process.
Id., at 726–727.
We followed
Rideau’s lead in two
later cases in which media coverage manifestly tainted a criminal
prosecution. In
Estes v.
Texas,
381 U. S. 532, 538 (1965), extensive
publicity before trial swelled into excessive exposure during
preliminary court proceedings as reporters and television crews
overran the courtroom and “bombard[ed] … the community with the
sights and sounds of” the pretrial hearing. The media’s overzealous
reporting efforts, we observed, “led to considerable disruption”
and denied the “judicial serenity and calm to which [Billie Sol
Estes] was entitled.”
Id., at 536.
Similarly, in
Sheppard v.
Maxwell,
384 U. S. 333 (1966), news reporters
extensively covered the story of Sam Sheppard, who was accused of
bludgeoning his pregnant wife to death. “[B]edlam reigned at the
courthouse during the trial and newsmen took over practically the
entire courtroom,” thrusting jurors “into the role of celebrities.”
Id., at 353, 355. Pretrial media coverage, which we
characterized as “months [of] virulent publicity about Sheppard and
the murder,” did not alone deny due process, we noted.
Id., at 354. But Sheppard’s case involved more than heated
reporting pretrial: We upset the murder conviction because a
“carnival atmosphere” pervaded the trial,
id., at 358.
In each of these cases, we overturned a
“conviction obtained in a trial atmosphere that [was] utterly
corrupted by press coverage”; our decisions, however, “cannot be
made to stand for the proposition that juror exposure to … news
accounts of the crime … alone presumptively deprives the defendant
of due process.”
Murphy v.
Florida,
421 U. S. 794, 798–799
(1975).[
Footnote 12] See
also,
e.g., Patton v.
Yount,
467 U. S. 1025 (1984).[
Footnote 13] Prominence does not
necessarily produce prejudice, and juror
impartiality, we
have reiterated, does not require
ignorance.
Irvin v.
Dowd,
366 U. S. 717, 722
(1961) (Jurors are not required to be “totally ignorant of the
facts and issues involved”; “scarcely any of those best qualified
to serve as jurors will not have formed some impression or opinion
as to the merits of the case.”);
Reynolds v.
United
States,
98 U. S.
145, 155–156 (1879) (“[E]very case of public interest is
almost, as a matter of necessity, brought to the attention of all
the intelligent people in the vicinity, and scarcely any one can be
found among those best fitted for jurors who has not read or heard
of it, and who has not some impression or some opinion in respect
to its merits.”). A presumption of prejudice, our decisions
indicate, attends only the extreme case.
3
Relying on
Rideau,
Estes, and
Sheppard, Skilling asserts that we
need not pause to examine the screening questionnaires or the
voir dire before declaring his jury’s verdict void. We are
not persuaded. Important differences separate Skilling’s
prosecution from those in which we have presumed juror
prejudice.[
Footnote 14]
First, we have emphasized in
prior decisions the size and characteristics of the community in
which the crime occurred. In
Rideau, for example, we noted
that the murder was committed in a parish of only 150,000
residents. Houston, in contrast, is the fourth most populous city
in the Nation: At the time of Skilling’s trial, more than 4.5
million individuals eligible for jury duty resided in the Houston
area. App. 627a. Given this large, diverse pool of potential
jurors, the suggestion that 12 impartial individuals could not be
empaneled is hard to sustain. See
Mu’Min v.
Virginia,
500
U. S. 415, 429 (1991) (potential for prejudice mitigated by the
size of the “metropolitan Washington [D. C.] statistical area,
which has a population of over 3 million, and in which,
unfortunately, hundreds of murders are committed each year”);
Gentile v.
State Bar of Nev.,
501 U. S. 1030, 1044
(1991) (plurality opinion) (reduced likelihood of prejudice where
venire was drawn from a pool of over 600,000 individuals).[
Footnote 15]
Second, although news stories about Skilling
were not kind, they contained no confession or other blatantly
prejudicial information of the type readers or viewers could not
reasonably be expected to shut from sight. Rideau’s dramatically
staged admission of guilt, for instance, was likely imprinted
indelibly in the mind of anyone who watched it. Cf.
Parker
v.
Randolph,
442 U. S. 62, 72 (1979)
(plurality opinion) (“[T]he defendant’s own confession [is]
probably the most probative and damaging evidence that can be
admitted against him.” (internal quotation marks omitted)).
Pretrial publicity about Skilling was less memorable and
prejudicial. No evidence of the smoking-gun variety invited
prejudgment of his culpability. See
United States v.
Chagra, 669 F. 2d 241, 251–252, n. 11 (CA5 1982)
(“A jury may have difficulty in disbelieving or forgetting a
defendant’s opinion of his own guilt but have no difficulty in
rejecting the opinions of others because they may not be
well-founded.”).
Third, unlike cases in which trial swiftly
followed a widely reported crime,
e.g., Rideau,
373 U. S., at 724, over four years elapsed between Enron’s
bankruptcy and Skilling’s trial. Although reporters covered
Enron-related news throughout this period, the decibel level of
media attention diminished somewhat in the years following Enron’s
collapse. See App. 700a;
id., at 785a;
Yount, 467
U. S., at 1032, 1034.
Finally, and of prime significance, Skilling’s
jury acquitted him of nine insider-trading counts. Similarly,
earlier instituted Enron-related prosecutions yielded no
overwhelming victory for the Government.[
Footnote 16] In
Rideau,
Estes, and
Sheppard, in marked contrast, the jury’s verdict did not
undermine in any way the supposition of juror bias. It would be odd
for an appellate court to presume prejudice in a case in which
jurors’ actions run counter to that presumption. See,
e.g., United States v.
Arzola-Amaya, 867
F. 2d 1504, 1514 (CA5 1989) (“The jury’s ability to discern a
failure of proof of guilt of some of the alleged crimes indicates a
fair minded consideration of the issues and reinforces our belief
and conclusion that the media coverage did not lead to the
deprivation of [the] right to an impartial trial.”).
4
Skilling’s trial, in short,
shares little in common with those in which we approved a
presumption of juror prejudice. The Fifth Circuit reached the
opposite conclusion based primarily on the magnitude and negative
tone of media attention directed at Enron. But “pretrial
publicity—even pervasive, adverse publicity—does not inevitably
lead to an unfair trial.”
Nebraska Press Assn. v.
Stuart,
427 U. S. 539, 554 (1976). In this
case, as just noted, news stories about Enron did not present the
kind of vivid, unforgettable information we have recognized as
particularly likely to produce prejudice, and Houston’s size and
diversity diluted the media’s impact.[
Footnote 17]
Nor did Enron’s “sheer number of
victims,” 554 F. 3d, at 560, trigger a presumption of
prejudice. Although the widespread community impact necessitated
careful identification and inspection of prospective jurors’
connections to Enron, the extensive screening questionnaire and
follow-up
voir dire were well suited to that task. And
hindsight shows the efficacy of these devices; as we discuss
infra, at 24, jurors’ links to Enron were either
nonexistent or attenuated.
Finally, although Causey’s “well-publicized
decision to plead guilty” shortly before trial created a danger of
juror prejudice, 554 F. 3d, at 559, the District Court took
appropriate steps to reduce that risk. The court delayed the
proceedings by two weeks, lessening the immediacy of that
development. And during
voir dire, the court asked about
prospective jurors’ exposure to recent publicity, including news
regarding Causey. Only two venire members recalled the plea;
neither mentioned Causey by name, and neither ultimately served on
Skilling’s jury. App. 888a, 993a. Although publicity about a
codefendant’s guilty plea calls for inquiry to guard against actual
prejudice, it does not ordinarily—and, we are satisfied, it did not
here—warrant an automatic presumption of prejudice.
Persuaded that no presumption arose,[
Footnote 18] we conclude that the
District Court, in declining to order a venue change, did not
exceed constitutional limitations.[
Footnote 19]
B
We next consider whether actual
prejudice infected Skilling’s jury.
Voir dire, Skilling
asserts, did not adequately detect and defuse juror bias. “[T]he
record … affirmatively confirm[s]” prejudice, he maintains, because
several seated jurors “prejudged his guilt.” Brief for Petitioner
21. We disagree with Skilling’s characterization of the
voir
dire and the jurors selected through it.
1
No hard-and-fast formula dictates
the necessary depth or breadth of
voir dire. See
United States v.
Wood,
299 U. S. 123, 145–146
(1936) (“Impartiality is not a technical conception. It is a state
of mind. For the ascertainment of this mental attitude of
appropriate indifference, the Constitution lays down no particular
tests and procedure is not chained to any ancient and artificial
formula.”). Jury selection, we have repeatedly emphasized, is
“particularly within the province of the trial judge.”
Ristaino v.
Ross,
424 U. S. 589, 594–595
(1976) (internal quotation marks omitted); see,
e.g.,
Mu’Min, 500 U. S., at 424;
Yount, 467 U. S., at
1038;
Rosales-Lopez v.
United States,
451 U. S. 182, 188–189
(1981) (plurality opinion);
Connors v.
United
States,
158 U.
S. 408–413 (1895).
When pretrial publicity is at
issue, “primary reliance on the judgment of the trial court makes
[especially] good sense” because the judge “sits in the locale
where the publicity is said to have had its effect” and may base
her evaluation on her “own perception of the depth and extent of
news stories that might influence a juror.”
Mu’Min, 500 U.
S., at 427. Appellate courts making after-the-fact assessments of
the media’s impact on jurors should be mindful that their judgments
lack the on-the-spot comprehension of the situation possessed by
trial judges.
Reviewing courts are properly resistant to
second-guessing the trial judge’s estimation of a juror’s
impartiality, for that judge’s appraisal is ordinarily influenced
by a host of factors impossible to capture fully in the
record—among them, the prospective juror’s inflection, sincerity,
demeanor, candor, body language, and apprehension of duty. See
Reynolds, 98 U. S., at 156–157. In contrast to the cold
transcript received by the appellate court, the in-the-moment
voir dire affords the trial court a more intimate and
immediate basis for assessing a venire member’s fitness for jury
service. We consider the adequacy of jury selection in Skilling’s
case, therefore, attentive to the respect due to district-court
determinations of juror impartiality and of the measures necessary
to ensure that impartiality.[
Footnote 20]
2
Skilling deems the
voir
dire insufficient because, he argues, jury selection lasted
“just five hours,” “[m]ost of the court’s questions were
conclusory[,] high-level, and failed adequately to probe jurors’
true feelings,” and the court “consistently took prospective jurors
at their word once they claimed they could be fair, no matter what
other indications of bias were present.” Brief for Petitioner 10–11
(emphasis deleted). Our review of the record, however, yields a
different appraisal.[
Footnote
21]
As noted,
supra, at 4–6,
and n. 4, the District Court initially screened venire members
by eliciting their responses to a comprehensive questionnaire
drafted in large part by Skilling. That survey helped to identify
prospective jurors excusable for cause and served as a springboard
for further questions put to remaining members of the array.
Voir dire thus was, in the court’s words, the “culmination
of a lengthy process.” App. 841a; see 554 F. 3d, at 562,
n. 51 (“We consider the … questionnaire in assessing the
quality of
voir dire as a whole.”).[
Footnote 22] In other Enron-related
prosecutions, we note, District Courts, after inspecting venire
members’ responses to questionnaires, completed the jury-selection
process within one day. See
supra, at 8,
n. 6.[
Footnote 23]
The District Court conducted
voir
dire, moreover, aware of the greater-than-normal need, due to
pretrial publicity, to ensure against jury bias. At Skilling’s
urging, the court examined each prospective juror individually,
thus preventing the spread of any prejudicial information to other
venire members. See
Mu’Min, 500 U. S., at 425. To
encourage candor, the court repeatedly admonished that there were
“no right and wrong answers to th[e] questions.”
E.g.,
App. 843a. The court denied Skilling’s request for attorney-led
voir dire because, in its experience, potential jurors
were “more forthcoming” when the court, rather than counsel, asked
the question. Record 11805. The parties, however, were accorded an
opportunity to ask follow-up questions of every prospective juror
brought to the bench for colloquy. Skilling’s counsel declined to
ask anything of more than half of the venire members questioned
individually, including eight eventually selected for the jury,
because, he explained, “the Court and other counsel have covered”
everything he wanted to know. App. 967a.
Inspection of the questionnaires and
voir
dire of the individuals who actually served as jurors
satisfies us that, notwithstanding the flaws Skilling lists, the
selection process successfully secured jurors who were largely
untouched by Enron’s collapse.[
Footnote 24] Eleven of the seated jurors and alternates
reported no connection at all to Enron, while all other jurors
reported at most an insubstantial link. See,
e.g., Supp.
App. 101sa (Juror 63) (“I once met a guy who worked for Enron. I
cannot remember his name.”).[
Footnote 25] As for pretrial publicity, 14 jurors and
alternates specifically stated that they had paid scant attention
to Enron-related news. See,
e.g., App. 859a–860a (Juror
13) (would “[b]asically” start out knowing nothing about the case
because “I just … didn’t follow [it] a whole lot”);
id.,
at 969a (Juror 78) (“[Enron] wasn’t anything that I was interested
in reading [about] in detail. … I don’t really know much about
it.”).[
Footnote 26] The
remaining two jurors indicated that nothing in the news influenced
their opinions about Skilling.[
Footnote 27]
The questionnaires confirmed that, whatever
community prejudice existed in Houston generally, Skilling’s jurors
were not under its sway.[
Footnote 28] Although many expressed sympathy for victims
of Enron’s bankruptcy and speculated that greed contributed to the
corporation’s collapse, these sentiments did not translate into
animus toward Skilling. When asked whether they “ha[d] an opinion
about … Jeffrey Skilling,” none of the seated jurors and alternates
checked the “yes” box.[
Footnote
29] And in response to the question whether “any opinion [they]
may have formed regarding Enron or [Skilling] [would] prevent”
their impartial consideration of the evidence at trial, every
juror—despite options to mark “yes” or “unsure”—instead checked
“no.”
The District Court, Skilling asserts, should
not have “accept[ed]
at face value jurors’ promises of
fairness.” Brief for Petitioner 37. In
Irvin v.
Dowd, 366 U. S., at 727–728, Skilling points out, we found
actual prejudice despite jurors’ assurances that they could be
impartial. Brief for Petitioner 26. Justice Sotomayor, in turn,
repeatedly relies on
Irvin, which she regards as closely
analogous to this case. See
post, at 23 (opinion
concurring in part and dissenting in part) (hereinafter dissent).
See also,
e.g., post, at 15–16, 33, 35, 39–40. We disagree
with that characterization of
Irvin.
The facts of
Irvin are worlds apart
from those presented here. Leslie Irvin stood accused of a brutal
murder and robbery spree in a small rural community. 366 U. S., at
719. In the months before Irvin’s trial, “a barrage” of publicity
was “unleashed against him,” including reports of his confessions
to the slayings and robberies.
Id., at 725–726. This
Court’s description of the media coverage in
Irvin reveals
why the dissent’s “best case” is not an apt comparison:
“[S]tories revealed the details of [Irvin’s]
background, including a reference to crimes committed when a
juvenile, his convictions for arson almost 20 years previously, for
burglary and by a court-martial on AWOL charges during the war. He
was accused of being a parole violator. The headlines announced his
police line-up identification, that he faced a lie detector test,
had been placed at the scene of the crime and that the six murders
were solved but [he] refused to confess. Finally, they announced
[Irvin’s] confession to the six murders and the fact of his
indictment for four of them in Indiana. They reported [Irvin’s]
offer to plead guilty if promised a 99-year sentence, but also the
determination, on the other hand, of the prosecutor to secure the
death penalty, and that [Irvin] had confessed to 24 burglaries (the
modus operandi of these robberies was compared to that of
the murders and the similarity noted). One story dramatically
relayed the promise of a sheriff to devote his life to securing
[Irvin’s] execution … . Another characterized [Irvin] as
remorseless and without conscience but also as having been found
sane by a court-appointed panel of doctors. In many of the stories
[Irvin] was described as the ‘confessed slayer of six,’ a parole
violator and fraudulent-check artist. [Irvin’s] court-appointed
counsel was quoted as having received ‘much criticism over being
Irvin’s counsel’ and it was pointed out, by way of excusing the
attorney, that he would be subject to disbarment should he refuse
to represent Irvin. On the day before the trial the newspapers
carried the story that Irvin had orally admitted [to] the murder of
[one victim] as well as ‘the robbery-murder of [a second
individual]; the murder of [a third individual], and the slaughter
of three members of [a different family].’ ”
Id., at
725–726.
“[N]ewspapers in which the[se] stories appeared
were delivered regularly to 95% of the dwellings in” the county
where the trial occurred, which had a population of only 30,000;
“radio and TV stations, which likewise blanketed that county, also
carried extensive newscasts covering the same incidents.”
Id., at 725.
Reviewing Irvin’s fair-trial claim, this Court
noted that “the pattern of deep and bitter prejudice” in the
community “was clearly reflected in the sum total of the
voir
dire”: “370 prospective jurors or almost 90% of those examined
on the point … entertained some opinion as to guilt,” and “[8] out
of the 12 [jurors] thought [Irvin] was guilty.”
Id., at
727 (internal quotation marks omitted). Although these jurors
declared they could be impartial, we held that, “[w]ith his life at
stake, it is not requiring too much that [Irvin] be tried in an
atmosphere undisturbed by so huge a wave of public passion and by a
jury other than one in which two-thirds of the members admit,
before hearing any testimony, to possessing a belief in his guilt.”
Id., at 728.
In this case, as noted,
supra, at 17,
news stories about Enron contained nothing resembling the
horrifying information rife in reports about Irvin’s rampage of
robberies and murders. Of key importance, Houston shares little in
common with the rural community in which Irvin’s trial proceeded,
and circulation figures for Houston media sources were far lower
than the 95% saturation level recorded in
Irvin, see App.
to Brief for United States 15a (“The
Houston Chronicle …
reaches less than one-third of occupied households in Houston.”
(internal quotation marks omitted)). Skilling’s seated jurors,
moreover, exhibited nothing like the display of bias shown in
Irvin. See
supra, at 24–26 (noting,
inter
alia, that none of Skilling’s jurors answered “yes” when asked
if they “ha[d] an opinion about … Skilling”). See also
post, at 19 (dissent) (distinguishing
Mu’Min from
Irvin on similar bases: the “offense occurred in [a large]
metropolitan … area,” media “coverage was not as pervasive as in
Irvin and did not contain the same sort of damaging
information,” and “the seated jurors uniformly disclaimed having
ever formed an opinion about the case” (internal quotation marks
omitted)). In light of these large differences, the District Court
had far less reason than did the trial court in
Irvin to
discredit jurors’ promises of fairness.
The District Court, moreover, did not simply
take venire members who proclaimed their impartiality at their
word.[
Footnote 30] As noted,
all of Skilling’s jurors had already affirmed on their
questionnaires that they would have no trouble basing a verdict
only on the evidence at trial. Nevertheless, the court followed up
with each individually to uncover concealed bias. This face-to-face
opportunity to gauge demeanor and credibility, coupled with
information from the questionnaires regarding jurors’ backgrounds,
opinions, and sources of news, gave the court a sturdy foundation
to assess fitness for jury service. See 554 F. 3d, at 562 (The
District Court made “thorough” credibility determinations that
“requir[ed] more than just the [venire members’] statements that
[they] could be fair.”). The jury’s not-guilty verdict on nine
insider-trading counts after nearly five days of deliberation,
meanwhile, suggests the court’s assessments were accurate. See
United States v.
Haldeman, 559 F. 2d 31, 60,
n. 28 (CADC 1976).[
Footnote
31] Skilling, we conclude, failed to show that his
voir
dire fell short of constitutional requirements.[
Footnote 32]
3
Skilling also singles out several
jurors in particular and contends they were openly biased. See
United States v.
Martinez-Salazar,
528 U. S. 304, 316 (2000) (“[T]he
seating of any juror who should have been dismissed for cause …
require[s] reversal.”). In reviewing claims of this type, the
deference due to district courts is at its pinnacle: “A trial
court’s findings of juror impartiality may be overturned only for
manifest error.”
Mu’Min, 500 U. S., at 428 (internal
quotation marks omitted). Skilling, moreover, unsuccessfully
challenged only one of the seated jurors for cause, “strong
evidence that he was convinced the [other] jurors were not biased
and had not formed any opinions as to his guilt.”
Beck v.
Washington,
369 U. S. 541, 557–558
(1962). With these considerations in mind, we turn to Skilling’s
specific allegations of juror partiality.
Skilling contends that Juror
11—the only seated juror he challenged for cause—“expressed the
most obvious bias.” Brief for Petitioner 35. See also
post, at 36 (dissent). Juror 11 stated that “greed on
Enron’s part” triggered the company’s bankruptcy and that corporate
executives, driven by avarice, “walk a line that stretches
sometimes the legality of something.” App. 854a–855a. But, as the
Fifth Circuit accurately summarized, Juror 11
“had ‘no idea’ whether Skilling had ‘crossed that
line,’ and he ‘didn’t say that’ every CEO is probably a crook. He
also asserted that he could be fair and require the government to
prove its case, that he did not believe everything he read in the
paper, that he did not ‘get into the details’ of the Enron
coverage, that he did not watch television, and that Enron was ‘old
news.’ ” 554 F. 3d, at 563–564.
Despite his criticism of greed, Juror 11 remarked
that Skilling “earned [his] salar[y],” App. 857a, and said he would
have “no problem” telling his co-worker, who had lost 401(k) funds
due to Enron’s collapse, that the jury voted to acquit, if that
scenario came to pass,
id., at 854a. The District Court,
noting that it had “looked [Juror 11] in the eye and … heard all
his [answers],” found his assertions of impartiality credible.
Id., at 858a; cf.
supra, at 29, n. 30. We agree
with the Court of Appeals that “[t]he express finding that Juror 11
was fair is not reversible error.” 554 F. 3d, at 564.[
Footnote 33]
Skilling also objected at trial to the seating
of six specific jurors whom, he said, he would have excluded had he
not already exhausted his peremptory challenges. See
supra, at 8–9. Juror 20, he observes, “said she was
‘angry’ about Enron’s collapse and that she, too, had been ‘forced
to forfeit [her] own 401(k) funds to survive layoffs.’ ” Reply
Brief 13. But Juror 20 made clear during
voir dire that
she did not “personally blame” Skilling for the loss of her
retirement account. App. 875a. Having not “pa[id] much attention”
to Enron-related news, she “quite honestly” did not “have enough
information to know” whether Skilling was probably guilty,
id., at 873a, and she “th[ought] [she] could be” fair and
impartial,
id., at 875a. In light of these answers, the
District Court did not commit manifest error in finding Juror 20
fit for jury service.
The same is true of Juror 63, who, Skilling
points out, wrote on her questionnaire “that [Skilling] ‘probably
knew [he] w[as] breaking the law.’ ” Reply Brief 13. During
voir dire, however, Juror 63 insisted that she did not
“really have an opinion [about Skilling’s guilt] either way,” App.
936a; she did not “know what [she] was thinking” when she completed
the questionnaire, but she “absolutely” presumed Skilling innocent
and confirmed her understanding that the Government would “have to
prove” his guilt,
id., at 937a. In response to follow-up
questions from Skilling’s counsel, she again stated she would not
presume that Skilling violated any laws and could “[a]bsolutely”
give her word that she could be fair.
Id., at 937a–938a.
“Jurors,” we have recognized, “cannot be expected invariably to
express themselves carefully or even consistently.”
Yount,
467 U. S., at 1039. See also
id., at 1040 (“It is here
that the federal [appellate] court’s deference must operate, for
while the cold record arouses some concern, only the trial judge
could tell which of these answers was said with the greatest
comprehension and certainty.”). From where we sit, we cannot
conclude that Juror 63 was biased.
The four remaining jurors Skilling said he
would have excluded with extra peremptory strikes exhibited no sign
of prejudice we can discern. See App. 891a–892a (Juror 38)
(remembered no media coverage about Enron and said nothing in her
experience would prevent her from being fair and impartial); Supp.
App. 131sa–133sa, 136sa (Juror 67) (had no connection to Enron and
no anger about its collapse); App. 969a (Juror 78) (did not “know
much about” Enron); Supp. App. 165sa, App. 971a (Juror 84) (had not
heard or read anything about Enron and said she did not “know
enough to answer” the question whether she was angry about the
company’s demise). Skilling’s counsel declined to ask follow-up
questions of any of these jurors and, indeed, told Juror 84 he had
nothing to ask because she “gave all the right answers.”
Id., at 972a. Whatever Skilling’s reasons for wanting to
strike these four individuals from his jury, he cannot credibly
assert they displayed a disqualifying bias.[
Footnote 34]
In sum, Skilling failed to establish that a
presumption of prejudice arose or that actual bias infected the
jury that tried him. Jurors, the trial court correctly
comprehended, need not enter the box with empty heads in order to
determine the facts impartially. “It is sufficient if the juror[s]
can lay aside [their] impression[s] or opinion[s] and render a
verdict based on the evidence presented in court.”
Irvin,
366 U. S., at 723. Taking account of the full record, rather than
incomplete exchanges selectively culled from it, we find no cause
to upset the lower courts’ judgment that Skilling’s jury met that
measure. We therefore affirm the Fifth Circuit’s ruling that
Skilling received a fair trial.[
Footnote 35]
III
We next consider whether
Skilling’s conspiracy conviction was premised on an improper theory
of honest-services wire fraud. The honest-services statute, §1346,
Skilling maintains, is unconstitutionally vague. Alternatively, he
contends that his conduct does not fall within the statute’s
compass.
A
To place Skilling’s
constitutional challenge in context, we first review the origin and
subsequent application of the honest-services doctrine.
1
Enacted in 1872, the original
mail-fraud provision, the predecessor of the modern-day mail- and
wire-fraud laws, proscribed, without further elaboration, use of
the mails to advance “any scheme or artifice to defraud.” See
McNally v.
United States,
483
U. S. 350, 356 (1987). In 1909, Congress amended the statute to
prohibit, as it does today, “any scheme or artifice to defraud,
or for obtaining money or property by means of false or
fraudulent pretenses, representations, or promises.” §1341
(emphasis added); see
id., at 357–358. Emphasizing
Congress’ disjunctive phrasing, the Courts of Appeals, one after
the other, interpreted the term “scheme or artifice to defraud” to
include deprivations not only of money or property, but also of
intangible rights.
In an opinion credited with first
presenting the intangible-rights theory,
Shushan v.
United States, 117 F. 2d 110 (1941), the Fifth
Circuit reviewed the mail-fraud prosecution of a public official
who allegedly accepted bribes from entrepreneurs in exchange for
urging city action beneficial to the bribe payers. “It is not true
that because the [city] was to make and did make a saving by the
operations there could not have been an intent to defraud,” the
Court of Appeals maintained.
Id., at 119. “A scheme to get
a public contract on more favorable terms than would likely be got
otherwise by bribing a public official,” the court observed, “would
not only be a plan to commit the crime of bribery, but would also
be a scheme to defraud the public.”
Id., at 115.
The Fifth Circuit’s opinion in
Shushan stimulated the development of an “honest-services”
doctrine. Unlike fraud in which the victim’s loss of money or
property supplied the defendant’s gain, with one the mirror image
of the other, see,
e.g., United States v.
Starr, 816 F. 2d 94, 101 (CA2 1987), the
honest-services theory targeted corruption that lacked similar
symmetry. While the offender profited, the betrayed party suffered
no deprivation of money or property; instead, a third party, who
had not been deceived, provided the enrichment. For example, if a
city mayor (the offender) accepted a bribe from a third party in
exchange for awarding that party a city contract, yet the contract
terms were the same as any that could have been negotiated at arm’s
length, the city (the betrayed party) would suffer no tangible
loss. Cf.
McNally, 483 U. S., at 360. Even if the scheme
occasioned a money or property
gain for the betrayed
party, courts reasoned, actionable harm lay in the denial of that
party’s right to the offender’s “honest services.” See,
e.g.,
United States v.
Dixon, 536 F. 2d 1388, 1400
(CA2 1976).
“Most often these cases … involved bribery of
public officials,”
United States v.
Bohonus, 628
F. 2d 1167, 1171 (CA9 1980), but courts also recognized
private-sector honest-services fraud. In perhaps the earliest
application of the theory to private actors, a District Court,
reviewing a bribery scheme, explained:
“When one tampers with [the employer-employee]
relationship for the purpose of causing the employee to breach his
duty [to his employer,] he in effect is defrauding the employer of
a lawful right. The actual deception that is practised is in the
continued representation of the employee to the employer that he is
honest and loyal to the employer’s interests.”
United
States v.
Procter & Gamble Co., 47 F. Supp.
676, 678 (Mass. 1942).
Over time, “[a]n increasing
number of courts” recognized that “a recreant employee”—public or
private—“c[ould] be prosecuted under [the mail-fraud statute] if he
breache[d] his allegiance to his employer by accepting bribes or
kickbacks in the course of his employment,”
United States
v.
McNeive, 536 F. 2d 1245, 1249 (CA8 1976); by 1982,
all Courts of Appeals had embraced the honest-services theory of
fraud, Hurson, Limiting the Federal Mail Fraud Statute—A
Legislative Approach, 20 Am. Crim. L. Rev. 423, 456
(1983).[
Footnote 36]
2
In 1987, this Court, in
McNally v.
United States, stopped the development
of the intangible-rights doctrine in its tracks.
McNally
involved a state officer who, in selecting Kentucky’s insurance
agent, arranged to procure a share of the agent’s commissions via
kickbacks paid to companies the official partially controlled. 483
U. S., at 360. The prosecutor did not charge that, “in the absence
of the alleged scheme[,] the Commonwealth would have paid a lower
premium or secured better insurance.”
Ibid. Instead, the
prosecutor maintained that the kickback scheme “defraud[ed] the
citizens and government of Kentucky of their right to have the
Commonwealth’s affairs conducted honestly.”
Id., at
353.
We held that the scheme did not
qualify as mail fraud. “Rather than constru[ing] the statute in a
manner that leaves its outer boundaries ambiguous and involves the
Federal Government in setting standards of disclosure and good
government for local and state officials,” we read the statute “as
limited in scope to the protection of property rights.”
Id., at 360. “If Congress desires to go further,” we
stated, “it must speak more clearly.”
Ibid.
3
Congress responded swiftly. The
following year, it enacted a new statute “specifically to cover one
of the ‘intangible rights’ that lower courts had protected … prior
to
McNally: ‘the intangible right of honest
services.’ ”
Cleveland v.
United States,
531 U. S. 12, 19–20 (2000). In full,
the honest-services statute stated:
“For the purposes of th[e] chapter [of the United
States Code that prohibits,
inter alia, mail fraud, §1341,
and wire fraud, §1343], the term ‘scheme or artifice to defraud’
includes a scheme or artifice to deprive another of the intangible
right of honest services.” §1346.
B
Congress, Skilling charges,
reacted quickly but not clearly: He asserts that §1346 is
unconstitutionally vague. To satisfy due process, “a penal statute
[must] define the criminal offense [1] with sufficient definiteness
that ordinary people can understand what conduct is prohibited and
[2] in a manner that does not encourage arbitrary and
discriminatory enforcement.”
Kolender v.
Lawson,
461 U. S. 352,
357 (1983). The void-for-vagueness doctrine embraces these
requirements.
According to Skilling, §1346
meets neither of the two due process essentials. First, the phrase
“the intangible right of honest services,” he contends, does not
adequately define what behavior it bars. Brief for Petitioner
38–39. Second, he alleges, §1346’s “standardless sweep allows
policemen, prosecutors, and juries to pursue their personal
predilections,” thereby “facilitat[ing] opportunistic and arbitrary
prosecutions.”
Id., at 44 (quoting
Kolender, 461
U. S., at 358).
In urging invalidation of §1346, Skilling
swims against our case law’s current, which requires us, if we can,
to construe, not condemn, Congress’ enactments. See,
e.g.,
Civil Service Comm’n v.
Letter Carriers,
413 U. S. 548, 571
(1973). See also
United States v.
National Dairy
Products Corp.,
372 U. S. 29, 32 (1963)
(stressing, in response to a vagueness challenge, “[t]he strong
presumptive validity that attaches to an Act of Congress”). Alert
to §1346’s potential breadth, the Courts of Appeals have divided on
how best to interpret the statute.[
Footnote 37] Uniformly, however, they have declined to
throw out the statute as irremediably vague.[
Footnote 38]
We agree that §1346 should be construed rather
than invalidated. First, we look to the doctrine developed in
pre-
McNally cases in an endeavor to ascertain the meaning
of the phrase “the intangible right of honest services.” Second, to
preserve what Congress certainly intended the statute to cover, we
pare that body of precedent down to its core: In the main, the
pre-
McNally cases involved fraudulent schemes to deprive
another of honest services through bribes or kickbacks supplied by
a third party who had not been deceived. Confined to these
paramount applications, §1346 presents no vagueness problem.
1
There is no doubt that Congress
intended §1346 to refer to and incorporate the honest-services
doctrine recognized in Court of Appeals’ decisions before
McNally derailed the intangible-rights theory of fraud.
See Brief for Petitioner 39; Brief for United States 37–38;
post, at 2, 8 (Scalia, J., concurring in part and
concurring in judgment). Congress enacted §1346 on the heels of
McNally and drafted the statute using that decision’s
terminology. See 483 U. S., at 355 (“intangible righ[t]”);
id., at 362 (Stevens, J., dissenting) (“right to … honest
services”).[
Footnote 39] As
the Second Circuit observed in its leading analysis of §1346:
“The definite article ‘the’ suggests that
‘intangible right of honest services’ had a specific meaning to
Congress when it enacted the statute—Congress was recriminalizing
mail- and wire-fraud schemes to deprive others of
that
‘intangible right of honest services,’ which had been protected
before
McNally, not
all intangible rights of
honest services whatever they might be thought to be.”
United
States v.
Rybicki, 354 F. 3d 124, 137–138 (2003)
(en banc).[
Footnote 40]
2
Satisfied that Congress, by
enacting §1346, “meant to reinstate the body of
pre-
McNally honest-services law,”
post, at 8
(opinion of Scalia, J.), we have surveyed that case law. See
infra, at 43–44, 46. In parsing the Courts of Appeals
decisions, we acknowledge that Skilling’s vagueness challenge has
force, for honest-services decisions preceding
McNally
were not models of clarity or consistency. See Brief for Petitioner
39–42 (describing divisions of opinions). See also
post,
at 3–7 (opinion of Scalia, J.). While the honest-services cases
preceding
McNally dominantly and consistently applied the
fraud statute to bribery and kickback schemes—schemes that were the
basis of most honest-services prosecutions—there was considerable
disarray over the statute’s application to conduct outside that
core category. In light of this disarray, Skilling urges us, as he
urged the Fifth Circuit, to invalidate the statute
in
toto. Brief for Petitioner 48 (Section 1346 “is intolerably
and unconstitutionally vague.”); Brief of Defendant-Appellant
Jeffrey K. Skilling in No. 06–20885 (CA5), p. 65, n. 21 (“[S]ection
1346 should be invalidated as unlawfully vague on its face.”).
It has long been our practice, however, before
striking a federal statute as impermissibly vague, to consider
whether the prescription is amenable to a limiting construction.
See, e.g.,
Hooper v.
California,
155 U. S. 648, 657
(1895) (“The elementary rule is that
every reasonable
construction must be resorted to, in order to save a statute
from unconstitutionality.” (emphasis added)). See also
Boos v.
Barry,
485 U. S. 312, 330–331 (1988);
Schneider v.
Smith,
390 U. S. 17, 26
(1968).[
Footnote 41] We have
accordingly instructed “the federal courts … to avoid
constitutional difficulties by [adopting a limiting interpretation]
if such a construction is fairly possible.”
Boos, 485 U.
S., at 331; see
United States v.
Harriss,
347 U. S. 612,
618 (1954) (“[I]f the general class of offenses to which the
statute is directed is plainly within its terms, the statute will
not be struck down as vague … . And if this general class of
offenses can be made constitutionally definite by a reasonable
construction of the statute, this Court is under a duty to give the
statute that construction.”).
Arguing against any limiting construction,
Skilling contends that it is impossible to identify a salvageable
honest-services core; “the pre-
McNally caselaw,” he
asserts, “is a hodgepodge of oft-conflicting holdings” that are
“hopelessly unclear.” Brief for Petitioner 39 (some capitalization
and italics omitted). We have rejected an argument of the same
tenor before. In
Civil Service Comm’n v.
Letter
Carriers, federal employees challenged a provision of the
Hatch Act that incorporated earlier decisions of the United States
Civil Service Commission enforcing a similar law. “[T]he several
thousand adjudications of the Civil Service Commission,” the
employees maintained, were “an impenetrable
jungle”—“undiscoverable, inconsistent, [and] incapable of yielding
any meaningful rules to govern present or future conduct.” 413 U.
S., at 571. Mindful that “our task [wa]s not to destroy the Act if
we c[ould], but to construe it,” we held that “the rules that had
evolved over the years from repeated adjudications were subject to
sufficiently clear and summary statement.”
Id., at
571–572.
A similar observation may be made here.
Although some applications of the pre-
McNally
honest-services doctrine occasioned disagreement among the Courts
of Appeals, these cases do not cloud the doctrine’s solid core: The
“vast majority” of the honest-services cases involved offenders
who, in violation of a fiduciary duty, participated in bribery or
kickback schemes.
United States v.
Runnels, 833
F. 2d 1183, 1187 (CA6 1987); see Brief for United States 42,
and n. 4 (citing dozens of examples).[
Footnote 42] Indeed, the
McNally case itself,
which spurred Congress to enact §1346, presented a paradigmatic
kickback fact pattern. 483 U. S., at 352–353, 360. Congress’
reversal of
McNally and reinstatement of the
honest-services doctrine, we conclude, can and should be salvaged
by confining its scope to the core pre-
McNally
applications.
As already noted,
supra, at 35–36,
the honest-services doctrine had its genesis in prosecutions
involving bribery allegations. See
Shushan, 117
F. 2d, at 115 (public sector);
Procter & Gamble
Co., 47 F. Supp., at 678 (private sector). See also
United States v.
Orsburn, 525 F. 3d 543, 546
(CA7 2008). Both before
McNally and after §1346’s
enactment, Courts of Appeals described schemes involving bribes or
kickbacks as “core … honest services fraud precedents,”
United
States v.
Czubinski, 106 F. 3d 1069, 1077 (CA1
1997); “paradigm case[s],”
United States v.
deVegter, 198 F. 3d 1324, 1327–1328 (CA11 1999);
“[t]he most obvious form of honest services fraud,”
United
States v.
Carbo, 572 F. 3d 112, 115 (CA3 2009);
“core misconduct covered by the statute,”
United States v.
Urciuoli, 513 F. 3d 290, 294 (CA1 2008); “most [of
the] honest services cases,”
United States v.
Sorich, 523 F. 3d 702, 707 (CA7 2008); “typical,”
United States v.
Brown, 540 F. 2d 364, 374
(CA8 1976); “clear-cut,”
United States v.
Mandel,
591 F. 2d 1347, 1363 (CA4 1979); and “uniformly … cover[ed],”
United States v.
Paradies, 98 F. 3d 1266,
1283, n. 30 (CA11 1996). See also Tr. of Oral Arg. 43 (counsel for
the Government) (“[T]he bulk of pre-
McNally honest
services cases” entailed bribes or kickbacks); Brief for Petitioner
49 (“Bribes and kickbacks were
the paradigm
[pre-
McNally] cases,” constituting “[t]he overwhelming
majority of prosecutions for honest services fraud.”).
In view of this history, there is no doubt
that Congress intended §1346 to reach
at least bribes and
kickbacks. Reading the statute to proscribe a wider range of
offensive conduct, we acknowledge, would raise the due process
concerns underlying the vagueness doctrine.[
Footnote 43] To preserve the statute without
transgressing constitutional limitations, we now hold that §1346
criminalizes
only the bribe-and-kickback core of the
pre-
McNally case law.[
Footnote 44]
3
The Government urges us to go
further by locating within §1346’s compass another category of
proscribed conduct: “undisclosed self-dealing by a public official
or private employee—
i.e., the taking of official action by
the employee that furthers his own undisclosed financial interests
while purporting to act in the interests of those to whom he owes a
fiduciary duty.”
Id., at 43–44. “[T]he theory of liability
in
McNally itself was nondisclosure of a conflicting
financial interest,” the Government observes, and “Congress clearly
intended to revive th[at] nondisclosure theory.”
Id., at
44. Moreover, “[a]lthough not as numerous as the bribery and
kickback cases,” the Government asserts, “the pre-
McNally
cases involving undisclosed self-dealing were abundant.”
Ibid.
Neither of these contentions
withstands close inspection. McNally, as we have already
observed,
supra, at 37, 43, involved a classic kickback
scheme: A public official, in exchange for routing Kentucky’s
insurance business through a middleman company, arranged for that
company to share its commissions with entities in which the
official held an interest. 483 U. S., at 352–353, 360. This was no
mere failure to disclose a conflict of interest; rather, the
official conspired with a third party so that both would profit
from wealth generated by public contracts. See
id., at
352–353. Reading §1346 to proscribe bribes and kickbacks—and
nothing more—satisfies Congress’ undoubted aim to reverse
McNally on its facts.
Nor are we persuaded that the
pre-
McNally conflict-of-interest cases constitute core
applications of the honest-services doctrine. Although the Courts
of Appeals upheld honest-services convictions for “some schemes of
non-disclosure and concealment of material information,”
Mandel, 591 F. 2d, at 1361, they reached no consensus
on which schemes qualified. In light of the relative infrequency of
conflict-of-interest prosecutions in comparison to bribery and
kickback charges, and the intercircuit inconsistencies they
produced, we conclude that a reasonable limiting construction of
§1346 must exclude this amorphous category of cases.
Further dispelling doubt on this point is the
familiar principle that “ambiguity concerning the ambit of criminal
statutes should be resolved in favor of lenity.”
Cleveland, 531 U. S., at 25 (quoting
Rewis v.
United States,
401 U. S. 808, 812
(1971)). “This interpretive guide is especially appropriate in
construing [§1346] because … mail [and wire] fraud [are] predicate
offense[s] under [the Racketeer Influenced and Corrupt
Organizations Act], 18 U. S. C. §1961(1) (1994 ed., Supp. IV),
and the money laundering statute, §1956(c)(7)(A).”
Cleveland, 531 U. S., at 25
. Holding that
honest-services fraud does not encompass conduct more wide-ranging
than the paradigmatic cases of bribes and kickbacks, we resist the
Government’s less constrained construction absent Congress’ clear
instruction otherwise.
E.g., United States v.
Universal C. I. T. Credit Corp.,
344 U. S. 218, 221–222
(1952).
In sum, our construction of §1346
“establish[es] a uniform national standard, define[s] honest
services with clarity, reach[es] only seriously culpable conduct,
and accomplish[es] Congress’s goal of ‘overruling’
McNally.” Brief for Albert W. Alschuler as
Amicus
Curiae in
Weyhrauch v.
United States, O. T.
2009, No. 08–1196, pp. 28–29. “If Congress desires to go further,”
we reiterate, “it must speak more clearly than it has.”
McNally, 483 U. S., at 360.[
Footnote 45]
4
Interpreted to encompass only
bribery and kickback schemes, §1346 is not unconstitutionally
vague. Recall that the void-for-vagueness doctrine addresses
concerns about (1) fair notice and (2) arbitrary and discriminatory
prosecutions. See
Kolender, 461 U. S., at 357. A
prohibition on fraudulently depriving another of one’s honest
services by accepting bribes or kickbacks does not present a
problem on either score.
As to fair notice, “whatever the
school of thought concerning the scope and meaning of ” §1346,
it has always been “as plain as a pikestaff that” bribes and
kickbacks constitute honest-services fraud,
Williams v.
United States,
341 U. S. 97, 101 (1951),
and the statute’s
mens rea requirement further blunts any
notice concern, see,
e.g., Screws v.
United
States,
325 U.
S. 91, 101–104 (1945) (plurality opinion). See also
Broadrick v.
Oklahoma,
413 U. S. 601, 608
(1973) (“[E]ven if the outermost boundaries of [a statute are]
imprecise, any such uncertainty has little relevance … where
appellants’ conduct falls squarely within the ‘hard core’ of the
statute’s proscriptions.”). Today’s decision clarifies that no
other misconduct falls within §1346’s province. See
United
States v.
Lanier,
520 U. S. 259, 266 (1997) (“[C]larity
at the requisite level may be supplied by judicial gloss on an
otherwise uncertain statute.”).
As to arbitrary prosecutions, we perceive no
significant risk that the honest-services statute, as we interpret
it today, will be stretched out of shape. Its prohibition on bribes
and kickbacks draws content not only from the pre-
McNally
case law, but also from federal statutes proscribing—and
defining—similar crimes. See,
e.g., 18 U. S. C.
§§201(b), 666(a)(2); 41 U. S. C. §52(2) (“The term ‘kickback’
means any money, fee, commission, credit, gift, gratuity, thing of
value, or compensation of any kind which is provided, directly or
indirectly, to [enumerated persons] for the purpose of improperly
obtaining or rewarding favorable treatment in connection with
[enumerated circumstances].”).[
Footnote 46] See also,
e.g., United
States v.
Ganim, 510 F. 3d 134, 147–149 (CA2
2007) (Sotomayor, J.) (reviewing honest-services conviction
involving bribery in light of elements of bribery under other
federal statutes);
United States v.
Whitfield,
590 F. 3d 325, 352–353 (CA5 2009);
United States v.
Kemp, 500 F. 3d 257, 281–286 (CA3 2007). A criminal
defendant who participated in a bribery or kickback scheme, in
short, cannot tenably complain about prosecution under §1346 on
vagueness grounds.
C
It remains to determine whether
Skilling’s conduct violated §1346. Skilling’s honest-services
prosecution, the Government concedes, was not “prototypical.” Brief
for United States 49. The Government charged Skilling with
conspiring to defraud Enron’s shareholders by misrepresenting the
company’s fiscal health, thereby artificially inflating its stock
price. It was the Government’s theory at trial that Skilling
“profited from the fraudulent scheme … through the receipt of
salary and bonuses, … and through the sale of approximately $200
million in Enron stock, which netted him $89 million.”
Id., at 51.
The Government did not, at any
time, allege that Skilling solicited or accepted side payments from
a third party in exchange for making these misrepresentations. See
Record 41328 (May 11, 2006 Letter from the Government to the
District Court) (“[T]he indictment does not allege, and the
government’s evidence did not show, that [Skilling] engaged in
bribery.”). It is therefore clear that, as we read §1346, Skilling
did not commit honest-services fraud.
Because the indictment alleged three objects
of the con- spiracy—honest-services wire fraud, money-or-property
wire fraud, and securities fraud—Skilling’s conviction is flawed.
See
Yates v.
United States,
354 U. S. 298 (1957)
(constitutional error occurs when a jury is instructed on
alternative theories of guilt and returns a general verdict that
may rest on a legally invalid theory). This determination, however,
does not necessarily require reversal of the conspiracy conviction;
we recently confirmed, in
Hedgpeth v.
Pulido, 555
U. S. ___ (2008)
(per curiam), that errors of the
Yates variety are subject to harmless-error analysis. The
parties vigorously dispute whether the error was harmless. Compare
Brief for United States 52 (“[A]ny juror who voted for conviction
based on [the honest-services theory] also would have found
[Skilling] guilty of conspiring to commit securities fraud.”) with
Reply Brief 30 (The Government “cannot show that the conspiracy
conviction rested
only on the securities-fraud theory,
rather than the distinct, legally-flawed honest-services theory.”).
We leave this dispute for resolution on remand.[
Footnote 47]
Whether potential reversal on the conspiracy
count touches any of Skilling’s other convictions is also an open
question. All of his convictions, Skilling contends, hinged on the
conspiracy count and, like dominoes, must fall if it falls. The
District Court, deciding Skilling’s motion for bail pending appeal,
found this argument dubious, App. 1141a–1142a, but the Fifth
Circuit had no occasion to rule on it. That court may do so on
remand.
* * *
For the foregoing reasons, we
affirm the Fifth Circuit’s ruling on Skilling’s fair-trial
argument, vacate its ruling on his conspiracy conviction, and
remand the case for proceedings consistent with this opinion.
It is so ordered.
Footnote 1
The mail- and wire-fraud statutes criminalize
the use of the mails or wires in furtherance of “any scheme or
artifice to defraud, or for obtaining money or property by means of
false or fraudulent pretenses, representations, or promises.” 18 U.
S. C. §1341 (mail fraud); §1343 (wire fraud). The
honest-services statute, §1346, defines “the term ‘scheme or
artifice to defraud’ ” in these provisions to include “a
scheme or artifice to deprive another of the intangible right of
honest services.”
Footnote 2
See
United States v.
Fastow, 292 F. Supp. 2d 914, 918 (SD Tex. 2003);
Order in
United States v.
Hirko, No.
4:03–cr–00093 (SD Tex., Nov. 24, 2004), Doc. 484, p. 6. These
rulings were made by two other judges of the same District. Three
judges residing in the area thus independently found that
defendants in Enron-related cases could obtain a fair trial in
Houston.
Footnote 3
Painting a different picture of the media
coverage surrounding Enron’s collapse, Justice Sotomayor’s opinion
relies heavily on affidavits of media experts and jury consultants
submitted by Skilling in support of his venue-transfer motion.
E.g., post, at 2, 3, 4, 5 (opinion concurring in part and
dissenting in part) (hereinafter dissent);
post, at 5,
n. 2, and 23, n. 10;
post, at 26, and 35,
n. 22. These Skilling-employed experts selected and emphasized
negative statements in various news stories. But the District Court
Judge did not find the experts’ samples representative of the
coverage at large; having “[m]eticulous[ly] review[ed] all of the
evidence” Skilling presented, the court concluded that “incidents
[of news reports using] less-than-objective language” were dwarfed
by “the largely fact-based tone of most of the articles.” App. to
Brief for United States 7a, 10a, 11a. See also
post, at 3
(acknowledging that “many of the stories were straightforward news
items”).
Footnote 4
Questions included the following: “What are
your opinions about the compensation that executives of large
corporations receive?”; “Have you, any family members, or friends
ever worked for or applied for work with,” “done business with,” or
“owned stock in Enron Corporation or any Enron subsidiaries and
partnership?”; “Do you know anyone … who has been negatively
affected or hurt in any way by what happened at Enron?”; “Do you
have an opinion about the cause of the collapse of Enron? If YES,
what is your opinion? On what do you base your opinion?”; “Have you
heard or read about any of the Enron cases? If YES, please tell us
the name of all sources from which you have heard or read about the
Enron cases.”; “Have you read any books or seen any movies about
Enron? If YES, please describe.”; “Are you angry about what
happened with Enron? If YES, please explain.”; “Do you have an
opinion about … Jeffrey Skilling … [?] If YES, what is your
opinion? On what do you base your opinion?”; “Based on anything you
have heard, read, or been told[,] do you have any opinion about the
guilt or innocence of … Jeffrey Skilling[?] If … YES … ,
please explain.”; “[W]ould any opinion you may have formed
regarding Enron or any of the defendants prevent you from
impartially considering the evidence presented during the trial of
… Jeffrey Skilling[?] If YES or UNSURE … , please explain.”;
“Is there anything else you feel is important for the court to know
about you?” Record 13013–13026.
Footnote 5
Among other questions, the court asked
whether sympathy toward the victims of Enron’s collapse or a desire
to see justice done would overpower prospective jurors’
impartiality. App. 839a–840a.
Footnote 6
Selection procedures of similar style and
duration took place in three Enron-related criminal cases earlier
prosecuted in Houston—
United States v.
Arthur Andersen
LLP, No. 4:02–cr–00121–1 (SD Tex.) (charges against Enron’s
outside accountants);
United States v.
Bayly, No.
4:03–cr–00363 (SD Tex.) (charges against Merrill Lynch and Enron
executives for alleged sham sales of Nigerian barges);
United
States v.
Hirko, No. 4:03–cr–00093 (SD Tex.) (fraud
and insider-trading charges against five Enron Broadband Services
executives). See Brief for United States 9 (In all three cases, the
District Court “distributed a jury questionnaire to a pool of
several hundred potential jurors; dismissed individuals whose
responses to the questionnaire demonstrated bias or other
disqualifying characteristics; and, after further questioning by
the court and counsel, selected a jury from the remaining venire in
one day.”); Government’s Memorandum of Law in Response to
Defendants’ Joint Motion to Transfer Venue in
United
States v.
Skilling et al., No. 4:04–cr–00025 (SD
Tex., Dec. 3, 2004), Record, Doc. 231, pp. 21–28 (describing
in depth the jury-selection process in the
Arthur Andersen
and
Bayly trials).
Footnote 7
Skilling had requested an additional
peremptory strike each time the District Court rejected a for-cause
objection. The court, which had already granted two extra
peremptories, see
supra, at 7, denied each request.
Footnote 8
The Fifth Circuit described the media
coverage as follows:
“Local newspapers ran many personal interest
stories in which sympathetic individuals expressed feelings of
anger and betrayal toward Enron… . Even the [
Houston]
Chronicle’s sports page wrote of Skilling’s guilt as a
foregone conclusion. Similarly, the
Chronicle’s ‘Pethouse
Pet of the Week’ section mentioned that a
pet had ‘enjoyed
watching those Enron jerks being led away in handcuffs.’ These are
but a few examples of the
Chronicle’s coverage.” 554
F. 3d, at 559 (footnote omitted).
Footnote 9
We also granted certiorari and heard
arguments this Term in two other cases raising questions concerning
the honest-services statute’s scope. See
Black v.
United States, No. 08–876;
Weyhrauch v.
United States, No. 08–1196. Today we vacate and remand
those decisions in light of this opinion.
Black,
post, p. ___;
Weyhrauch,
post, p.
___.
Footnote 10
Assuming, as the Fifth Circuit found, that a
presumption of prejudice arose in Houston, the question presented
in Skilling’s petition for certiorari casts his actual-prejudice
argument as an inquiry into when, if ever, that presumption may be
rebutted. See Pet. for Cert. i. Although we find a presumption of
prejudice unwarranted in this case, we consider the
actual-prejudice issue to be fairly subsumed within the question we
agreed to decide. See this Court’s Rule 14.1(a).
Footnote 11
Venue transfer in federal court is governed
by Federal Rule of Criminal Procedure 21, which instructs that a
“court must transfer the proceeding … to another district if the
court is satisfied that so great a prejudice against the defendant
exists in the transferring district that the defendant cannot
obtain a fair and impartial trial there.” As the language of the
Rule suggests, district-court calls on the necessity of transfer
are granted a healthy measure of appellate-court respect. See
Platt v.
Minnesota Mining & Mfg. Co.,
376 U. S. 240,
245 (1964). Federal courts have invoked the Rule to move certain
highly charged cases, for example, the prosecution arising from the
bombing of the Alfred P. Murrah Federal Office Building in Oklahoma
City. See
United States v.
McVeigh, 918
F. Supp. 1467, 1474 (WD Okla. 1996). They have also exercised
discretion to deny venue-transfer requests in cases involving
substantial pretrial publicity and community impact, for example,
the prosecutions resulting from the 1993 World Trade Center
bombing, see
United States v.
Salameh,
No. S5 93 Cr. 0180 (KTD) (SDNY, Sept. 15, 1993);
United States v.
Yousef, No. S12 93
Cr. 180 (KTD) (SDNY, July 18, 1997), aff’d 327 F. 3d 56,
155 (CA2 2003), and the prosecution of John Walker Lindh, referred
to in the press as the American Taliban, see
United States
v.
Lindh, 212 F. Supp. 2d 541, 549–551 (ED Va. 2002).
Skilling does not argue, distinct from his due process challenge,
that the District Court abused its discretion under Rule 21 by
declining to move his trial. We therefore review the District
Court’s venue-transfer decision only for compliance with the
Constitution.
Footnote 12
Murphy involved the robbery
prosecution of the notorious Jack Murphy, a convicted murderer who
helped mastermind the 1964 heist of the Star of India sapphire from
New York’s American Museum of Natural History. Pointing to
“extensive press coverage” about him, Murphy moved to transfer
venue. 421 U. S., at 796. The trial court denied the motion and a
jury convicted Murphy. We affirmed. Murphy’s trial, we explained,
was markedly different from the proceedings at issue in
Rideau v.
Louisiana,
373 U. S. 723 (1963),
Estes
v.
Texas,
381 U. S. 532 (1965), and
Sheppard v.
Maxwell,
384 U. S. 333 (1966), which “entirely
lack[ed] … the solemnity and sobriety to which a defendant is
entitled in a system that subscribes to any notion of fairness and
rejects the verdict of a mob.” 421 U. S.
, at 799.
Voir
dire revealed no great hostility toward Murphy; “[s]ome of the
jurors had a vague recollection of the robbery with which [he] was
charged and each had some knowledge of [his] past crimes, but none
betrayed any belief in the relevance of [his] past to the present
case.”
Id., at 800 (footnote omitted).
Footnote 13
In
Yount, the media reported on Jon
Yount’s confession to a brutal murder and his prior conviction for
the crime, which had been reversed due to a violation of
Miranda v.
Arizona,
384 U. S. 436 (1966).
During
voir dire, 77% of prospective jurors acknowledged
they would carry an opinion into the jury box, and 8 of the 14
seated jurors and alternates admitted they had formed an opinion as
to Yount’s guilt. 467 U. S., at 1029–1030. Nevertheless, we
rejected Yount’s presumption-of-prejudice claim. The adverse
publicity and community outrage, we noted, were at their height
prior to Yount’s first trial, four years before the second
prosecution; time had helped “sooth[e] and eras[e]” community
prejudice,
id., at 1034.
Footnote 14
Skilling’s reliance on
Estes and
Sheppard is particularly misplaced; those cases involved
media interference with courtroom proceedings
during
trial. See
supra, at 14. Skilling does not assert that
news coverage reached and influenced his jury after it was
empaneled.
Footnote 15
According to a survey commissioned by
Skilling in conjunction with his first motion for a venue change,
only 12.3% of Houstonians named him when asked to list Enron
executives they believed guilty of crimes. App. 375a–376a. In
response to the follow-up question “[w]hat words come to mind when
you hear the name Jeff Skilling?”, two-thirds of respondents failed
to say a single negative word,
id., at 376a: 43% either
had never heard of Skilling or stated that nothing came to mind
when they heard his name, and another 23% knew Skilling’s name was
associated with Enron but reported no opinion about him, Record
3210–3211; see App. 417a–492a.
Footnote 16
As the United States summarizes, “[i]n
Hirko, the jury deliberated for several days and did not
convict any Enron defendant; in
Bayly, which was routinely
described as ‘the first Enron criminal trial,’ the jury convicted
five defendants, … but acquitted a former Enron executive. At the
sentencing phase of
Bayly, the jury found a loss amount of
slightly over $13 million, even though the government had argued
that the true loss … was $40 million.” Brief for United States 9–10
(citation omitted).
Footnote 17
The Fifth Circuit, moreover, did not separate
media attention aimed at Skilling from that devoted to Enron’s
downfall more generally. Data submitted by Skilling in support of
his first motion for a venue transfer suggested that a slim
percentage of Enron-related stories specifically named him. App.
572a. “[W]hen publicity is about the event, rather than directed at
individual defendants, this may lessen any prejudicial impact.”
United States v.
Hueftle, 687 F. 2d 1305,
1310 (CA10 1982).
Footnote 18
The parties disagree about whether a
presumption of prejudice can be rebutted, and, if it can, what
standard of proof governs that issue. Compare Brief for Petitioner
25–35 with Brief for United States 24–32, 35–36. Because we hold
that no presumption arose, we need not, and do not, reach these
questions.
Footnote 19
The dissent acknowledges that “the prospect
of seating an unbiased jury in Houston was not so remote as to
compel the conclusion that the District Court acted
unconstitutionally in denying Skilling’s motion to change venue.”
Post, at 20. The dissent’s conclusion that Skilling did
not receive a fair trial accordingly turns on its perception of the
adequacy of the jury-selection process.
Footnote 20
The dissent recognizes “the ‘wide discretion’
owed to trial courts when it comes to jury-related issues,”
post, at 22 (quoting
Mu’Min v.
Virginia,
500
U. S. 415, 427 (1991)), but its analysis of the District
Court’s
voir dire sometimes fails to demonstrate that
awareness. For example, the dissent faults the District Court for
not questioning prospective jurors regarding their “knowledge of or
feelings about” Causey’s guilty plea.
Post, at 28. But the
court could reasonably decline to ask direct questions involving
Causey’s plea to avoid tipping off until-that-moment uninformed
venire members that the plea had occurred. Cf. App. 822a (counsel
for Skilling urged District Court to find a way to question venire
members about Causey “without mentioning anything”). Nothing
inhibited defense counsel from inquiring about venire members’
knowledge of the plea; indeed, counsel posed such a question,
id., at 993a; cf.
post, at 28, n. 14
(acknowledging that counsel “squeeze[d] in” an inquiry whether a
venire member had “read about any guilty pleas in this case over
the last month or two” (internal quotation marks omitted)). From
this Court’s lofty and “panoramic” vantage point,
post, at
22, lines of
voir dire inquiry that “might be helpful in
assessing whether a juror is impartial” are not hard to conceive.
Mu’Min, 500 U. S., at 425. “To be constitutionally
compelled, however, it is not enough that such questions might be
helpful. Rather, the trial court’s failure to ask these questions
must render the defendant’s trial fundamentally unfair.”
Id., at 425–426. According appropriate deference to the
District Court, we cannot characterize jury-selection in this case
as fundamentally unfair. Cf.
supra, at 8, n. 6 (same
selection process was used in other Enron-related
prosecutions).
Footnote 21
In addition to focusing on the adequacy of
voir dire, our decisions have also “take[n] into account …
other measures [that] were used to mitigate the adverse effects of
publicity.”
Nebraska Press Assn. v.
Stuart,
427 U. S. 539, 565 (1976). We have
noted, for example, the prophylactic effect of “emphatic and clear
instructions on the sworn duty of each juror to decide the issues
only on evidence presented in open court.”
Id., at 564.
Here, the District Court’s instructions were unequivocal; the
jurors, the court emphasized, were duty bound “to reach a fair and
impartial verdict in this case based solely on the evidence [they]
hear[d] and read in th[e] courtroom.” App. 1026a. Peremptory
challenges, too, “provid[e] protection against [prejudice],”
United States ex rel. Darcy v.
Handy,
351 U. S. 454, 462
(1956); the District Court, as earlier noted, exercised its
discretion to grant the defendants two extra peremptories, App.
1020a; see
supra, at 7.
Footnote 22
The dissent’s analysis undervalues the
77-item questionnaire, a part of the selection process difficult to
portray as “cursory,”
post, at 30, or “anemic,”
post, at 35. Notably, the “open-ended questions about
[prospective jurors’] impressions of Enron or Skilling” that the
dissent contends should have been asked,
post, at 30,
were asked—on the questionnaire, see
supra, at
5–6, n. 4. Moreover, the District Court gave Skilling’s
counsel relatively free rein to ask venire members about their
responses on the questionnaire. See,
e.g., App. 869a–870a;
id., at 878a, 911a, 953a. The questionnaire plus follow-up
opportunity to interrogate potential jurors surely gave Skilling’s
counsel “clear avenue[s] for … permissible inquiry.” But see
post, at 31, n. 17. See also App. 967a (counsel for
Skilling) (“Judge, for the record, if I don’t ask any questions,
it’s because the Court and other counsel have covered it.”).
Footnote 23
One of the earlier prosecutions targeted the
“Big Five” public accounting firm Arthur Andersen. See
supra, at 8, n. 6. Among media readers and auditors,
the name and reputation of Arthur Andersen likely sparked no less
attention than the name and reputation of Jeffrey Skilling. Cf.
supra, at 16–17, n. 15.
Footnote 24
In considering whether Skilling was tried
before an impartial jury, the dissent relies extensively on venire
members
not selected for that jury. See,
e.g.,
post, at 6, n. 4 (quoting the questionnaires of ten
venire members; all were excused for cause before
voir
dire commenced, see Record 11891);
post, at 7,
n. 6 (quoting the questionnaires of 15 venire members; none
sat on Skilling’s jury);
post, at 10–11, n. 7
(quoting
voir dire testimony of six venire members; none
sat on Skilling’s jury);
post, at 28–34 (reporting at
length
voir dire testimony of Venire Members 17, 29, 61,
74, 75, and 101; none sat on Skilling’s jury). Statements by
nonjurors do not themselves call into question the adequacy of the
jury-selection process; elimination of these venire members is
indeed one indicator that the process fulfilled its function.
Critically, as discussed
infra, at 24–26, the seated
jurors showed little knowledge of or interest in, and were
personally unaffected by, Enron’s downfall.
Footnote 25
See also Supp. App. 11sa (Juror 10) (“knew
some casual co-workers that owned Enron stock”);
id., at
26sa (Juror 11) (“work[s] with someone who worked at Enron”);
id., at 117sa; App. 940a (Juror 64) (two acquaintances
lost money due to Enron’s collapse); Supp. App. 236sa (Juror 116)
(work colleague lost money as a result of Enron’s bankruptcy).
Footnote 26
See also App. 850a (Juror 10) (“I haven’t
followed [Enron-related news] in detail or to any extreme at
all.”);
id., at 856a (Juror 11) (did not “get into the
details of [the Enron case]” and “just kind of tune[d] [it] out”);
id., at 873a (Juror 20) (“I was out of [the] state when
[Enron collapsed], and then personal circumstances kept me from
paying much attention.”);
id., at 892a (Juror 38)
(recalled “nothing in particular” about media coverage);
id., at 913a (Juror 50) (“I would hear it on the news and
just let it filter in and out.”);
id., at 935a (Juror 63)
(“I don’t really pay attention.”);
id., at 940a–941a
(Juror 64) (had “[n]ot really” been keeping up with and did not
recall any news about Enron);
id., at 971a (Juror 84) (had
not read “anything at all about Enron” because he did not “want to
read that stuff” (internal quotation marks omitted));
id.,
at 983a (Juror 90) (“seldom” read the Houston Chronicle and did not
watch news programs);
id., at 995a–996a (Juror 99) (did
not read newspapers or watch the news; “I don’t know the details on
what [this case] is or what made it what it is”);
id., at
1010a (Juror 113) (“never really paid that much attention [to]
it”);
id., at 1013a (Juror 116) (had “rea[d] a number of
different articles,” but “since it hasn’t affected me personally,”
could not “specifically recall” any of them).
Footnote 27
Id., at 944a (Juror 67) (had not
read the Houston Chronicle in the three months preceding the trial
and volunteered: “I don’t form an opinion based on what … I hear on
the news”);
id., at 974a–975a (Juror 87) (had not “formed
any opinions” about Skilling’s guilt from news stories).
Footnote 28
As the D. C. Circuit observed, reviewing
the impact on jurors of media coverage of the Watergate scandal,
“[t]his may come as a surprise to lawyers and judges, but it is
simply a fact of life that matters which interest them may be less
fascinating to the public generally.”
United States v.
Haldeman, 559 F. 2d 31, 62–63, n. 37 (1976). See also
In re Charlotte Observer, 882 F. 2d 850, 855–856 (CA4
1989) (“[R]emarkably in the eyes of many,” “[c]ases such as those
involving the Watergate defendants, the Abscam defendants, and …
John DeLorean, all characterized by massive pretrial media
reportage and commentary, nevertheless proceeded to trial with
juries which … were satisfactorily disclosed to have been
unaffected (indeed, in some instances blissfully unaware of or
untouched) by that publicity.”); Brief for ABC, Inc., et al.
as
Amici Curiae 25–31 (describing other examples).
Footnote 29
One juror did not check any box, explaining
that she lived in another State when Enron went bankrupt and
therefore “was not fully aware of all the facts regarding Enron’s
fall [and] the media coverage.” Supp. App. 62sa (Juror 20). Two
other jurors, Juror 10 and Juror 63, indicated in answer to a
different question that they had an opinion about Skilling’s guilt,
but
voir dire established they could be impartial. See
infra, at 32–34, and n. 34.
Footnote 30
The court viewed with skepticism, for
example, Venire Member 104’s promises that she could “abide by
law,” follow the court’s instructions, and find Skilling not guilty
if the Government did not prove its case, App. 1004a; “I have to
gauge … demeanor, all the answers she gave me,” the court stated,
and “[s]he persuaded me that she could not be fair and impartial,
so she’s excused,”
id., at 1006a.
Footnote 31
The dissent asserts that “the Government
placed relatively little emphasis on [these] insider trading counts
during its closing argument.”
Post, at 39. As the record
shows, however, counsel described in detail the evidence supporting
Count 50, one of the insider-trading counts on which the jury
returned a not-guilty verdict. See Record 37008–37010. Skilling,
Government counsel asserted, sold “half of his stock” based on
“material inside information” and then lied in testimony before the
Securities and Exchange Commission (SEC) by claiming the “only
reason [he] sold Enron stock was because of [the] September 11th
[terrorist attacks].”
Id., at 37009 (internal quotation
marks omitted). As counsel summarized: “Mr. Skilling used our
nation’s tragedy to cover his tracks. … I’d suggest … the reason he
was lying is because he didn’t want [the SEC] to know that he had
done it before. … [T]hat’s Count 50. That’s proof beyond a
reasonable doubt.”
Id., at 37010. Regarding the remaining
insider-trading counts, counsel reminded jurors they had heard
similar evidence of Skilling’s other sales, and urged them to
“conclude, based on the evidence,” that “Skilling had information
that he used to sell his stock” at the “key periods in time.”
Ibid.
Footnote 32
Skilling emphasizes that
voir dire
did not weed out every juror who suffered from Enron’s collapse
because the District Court failed to grant his for-cause challenge
to Venire Member 29, whose retirement fund lost $50,000 due to
ripple effects from the decline in the value of Enron stock. App.
880a. Critically, however, Venire Member 29
did not sit on
Skilling’s jury: Instead, Skilling struck her using a
peremptory challenge. “[I]f [a] defendant elects to cure [a trial
judge’s erroneous for-cause ruling] by exercising a peremptory
challenge, and is subsequently convicted by a jury on which no
biased juror sat,” we have held, “he has not been deprived of any …
constitutional right.”
United States v.
Martinez-Salazar,
528 U. S. 304, 307 (2000). Indeed, the
“use [of] a peremptory challenge to effect an instantaneous cure of
the error” exemplifies “a principal reason for peremptories: to
help secure the constitutional guarantee of trial by an impartial
jury.”
Id., at 316.
Footnote 33
Skilling’s trial counsel and jury consultants
apparently did not regard Juror 11 as so “obvious[ly] bias[ed],”
Brief for Petitioner 35, as to warrant exercise of a peremptory
challenge.
Footnote 34
Although Skilling raised no objection to
Juror 10 and Juror 87 at trial, his briefs in this Court impugn
their impartiality. Brief for Petitioner 14–15; Reply Brief 13.
Even if we allowed these tardy pleas, the
voir dire
testimony of the two jurors gives sufficient assurance that they
were unbiased. See,
e.g., App. 850a–853a (Juror 10) (did
not prejudge Skilling’s guilt, indicated he could follow the
court’s instructions and make the Government prove its case, stated
he could be fair to Skilling, and said he would “judge on the
facts”);
id., at 974a (Juror 87) (had “not formed an
opinion” on whether Skilling was guilty and affirmed she could
adhere to the presumption of innocence).
Footnote 35
Our decisions have rightly set a high bar for
allegations of juror prejudice due to pretrial publicity. See,
e.g., Mu’Min,
500
U. S. 415;
Patton v.
Yount,
467 U. S. 1025 (1984);
Murphy v.
Florida,
421 U. S. 794 (1975). News coverage of
civil and criminal trials of public interest conveys to society at
large how our justice system operates. And it is a premise of that
system that jurors will set aside their preconceptions when they
enter the courtroom and decide cases based on the evidence
presented. Trial judges generally take care so to instruct jurors,
and the District Court did just that in this case. App. 1026a.
Footnote 36
In addition to upholding honest-services
prosecutions, courts also increasingly approved use of the
mail-fraud statute to attack corruption that deprived victims of
other kinds of intangible rights, including election fraud and
privacy violations. See,
e.g., Cleveland v.
United States,
531 U. S. 12, 18, n. 2 (2000);
McNally v.
United States,
483
U. S. 350, 362–364, and nn. 1–4 (1987) (Stevens, J.,
dissenting).
Footnote 37
Courts have disagreed about whether §1346
prosecutions must be based on a violation of state law, compare,
e.g., United States v.
Brumley, 116
F. 3d 728, 734–735 (CA5 1997) (en banc), with,
e.g.,
United States v.
Weyhrauch, 548 F. 3d 1237,
1245–1246 (CA9 2008), vacated and remanded,
post, p. ___;
whether a defendant must contemplate that the victim suffer
economic harm, compare,
e.g., United States v.
Sun-Diamond Growers of Cal., 138 F. 3d 961, 973 (CADC
1998), with,
e.g., United States v.
Black, 530
F. 3d 596, 600–602 (CA7 2008), vacated and remanded,
post, p. ___; and whether the defendant must act in
pursuit of private gain, compare,
e.g., United
States v.
Bloom, 149 F. 3d 649, 655 (CA7 1998),
with,
e.g.,
United States v.
Panarella,
277 F. 3d 678, 692 (CA3 2002).
Footnote 38
See,
e.g.,
United States v.
Rybicki, 354 F. 3d 124, 132 (CA2 2003) (en banc);
United States v.
Hausmann, 345 F. 3d 952,
958 (CA7 2003);
United States v.
Welch, 327
F. 3d 1081, 1109, n. 29 (CA10 2003);
United States v.
Frega, 179 F. 3d 793, 803 (CA9 1999);
Brumley, 116 F. 3d, at 732–733;
United
States v.
Frost, 125 F. 3d 346, 370–372 (CA6
1997);
United States v.
Waymer, 55 F. 3d
564, 568–569 (CA11 1995);
United States v.
Bryan,
58 F. 3d 933, 941 (CA4 1995).
Footnote 39
Although verbal formulations varied slightly,
the words employed by the Courts of Appeals prior to
McNally described the same concept: “honest services,”
e.g., United States v.
Bruno, 809 F. 2d
1097, 1105 (CA5 1987); “honest and faithful services,”
e.g., United States v.
Brown, 540
F. 2d 364, 374 (CA8 1976); and “faithful and honest services,”
e.g., United States v.
Diggs, 613
F. 2d 988, 998 (CADC 1979).
Footnote 40
We considered a similar Court-Congress
interplay in
McDermott Int’l, Inc. v.
Wilander,
498 U. S. 337
(1991), which involved the interpretation of the term “seaman” in
the Jones Act, 46 U. S. C. App. §688 (2000 ed.). The Act, we
recognized, “respond[ed] directly to” our decision in
The
Osceola,
189 U.
S. 158 (1903), and “adopt[ed] without further elaboration the
term used in” that case, so we “assume[d] that the Jones Act use[d]
‘seaman’ in the same way.” 498 U. S., at 342.
Footnote 41
“This cardinal principle has its roots in
Chief Justice Marshall’s opinion for the Court in
Murray
v.
The Charming Betsy, 2 Cranch 64, 118 (1804), and has
for so long been applied by this Court that it is beyond debate.”
Edward J. DeBartolo Corp. v.
Florida Gulf Coast
Building & Constr. Trades Council,
485 U. S. 568, 575
(1988). See,
e.g., New York v.
Ferber,
458 U. S. 747, 769, n.
24 (1982);
NLRB v.
Catholic Bishop of Chicago,
440 U. S. 490,
500–501 (1979);
United States v.
Thirty-seven
Photographs,
402 U. S. 363, 368–370
(1971);
Machinists v.
Street,
367 U. S. 740, 749–750
(1961);
United States v.
Rumely,
345 U. S. 41, 45 (1953);
Winters v.
New York,
333 U. S. 507, 517
(1948);
Crowell v.
Benson,
285 U. S. 22, 62 (1932);
Lucas v.
Alexander,
279 U. S. 573, 577
(1929);
Richmond Screw Anchor Co. v.
United
States,
275 U.
S. 331, 346 (1928);
Panama R. Co. v.
Johnson,
264 U. S. 375,
390 (1924);
United States ex rel. Attorney General v.
Delaware & Hudson Co.,
213 U. S. 366, 407–408
(1909);
United States v.
Coombs, 12 Pet. 72, 76
(1838) (Story, J.);
Parsons v.
Bedford, 3 Pet.
433, 448–449 (1830) (Story, J.). Cf.
Chaplinsky v.
New
Hampshire,
315
U. S. 568, 573 (1942) (statute made it criminal to address “any
offensive, derisive, or annoying word” to any person in a public
place; vagueness obviated by state-court construction of the
statute to cover only words having “a direct tendency to cause acts
of violence” by the addressee (internal quotation marks
omitted)).
Footnote 42
Justice Scalia emphasizes divisions in the
Courts of Appeals regarding the source and scope of fiduciary
duties.
Post, at 3–5. But these debates were rare in bribe
and kickback cases. The existence of a fiduciary relationship,
under any definition of that term, was usually beyond dispute;
examples include public official-public, see,
e.g.,
United States v.
Mandel, 591 F. 2d 1347 (CA4
1979); employee-employer, see,
e.g., United
States v.
Bohonus, 628 F. 2d 1167 (CA9 1980);
and union official-union members, see,
e.g., United
States v.
Price, 788 F. 2d 234 (CA4 1986). See
generally
Chiarella v.
United States,
445 U. S. 222, 233
(1980) (noting the “established doctrine that [a fiduciary] duty
arises from a specific relationship between two parties”).
Footnote 43
Apprised that a broader reading of §1346
could render the statute impermissibly vague, Congress, we believe,
would have drawn the honest-services line, as we do now, at bribery
and kickback schemes. Cf.
Levin v.
Commerce Energy,
Inc., 560 U. S. ___, ___ (2010) (slip op., at 11) (“[C]ourts
may attempt … to implement what the legislature would have willed
had it been apprised of the constitutional infirmity.”);
United
States v.
Booker,
543 U. S. 220, 246
(2005) (“We seek to determine what ‘Congress would have intended’
in light of the Court’s constitutional holding.”).
Footnote 44
Justice Scalia charges that our construction
of §1346 is “not interpretation but invention.”
Post, at
8. Stating that he “know[s] of no precedent for … ‘paring
down’ ” the pre-
McNally case law to its core,
ibid., he contends that the Court today “wield[s] a power
we long ago abjured: the power to define new federal crimes,”
post, at 1. See also,
e.g., post, at 9, 10, 11.
As noted
supra, at 41–42, and n. 41, cases “paring down”
federal statutes to avoid constitutional shoals are legion. These
cases recognize that the Court does not
legislate, but
instead
respects the legislature, by preserving a statute
through a limiting interpretation. See
United States v.
Lanier,
520 U. S. 259, 267–268, n. 6
(1997) (This Court does not “create a common law crime” by adopting
a “narrow[ing] constru[ction].” (internal quotation marks
omitted));
supra, at 44–45, n. 43. Given that the Courts
of Appeals uniformly recognized bribery and kickback schemes as
honest-services fraud before
McNally,
483
U. S. 350, and that these schemes composed the lion’s share of
honest-services cases, limiting §1346 to these heartland
applications is surely “fairly possible.”
Boos v.
Barry,
485 U. S. 312, 331 (1988); cf.
Clark v.
Martinez,
543 U. S. 371, 380
(2005) (opinion of the Court by Scalia, J.) (when adopting a
limiting construction, “[t]he lowest common denominator, as it
were, must govern”). So construed, the statute is not
unconstitutionally vague. See
infra, at 48–49;
post, at 8. Only by taking a wrecking ball to a statute
that can be salvaged through a reasonable narrowing interpretation
would we act out of step with precedent.
Footnote 45
If Congress were to take up the enterprise of
criminalizing “undisclosed self-dealing by a public official or
private employee,” Brief for United States 43, it would have to
employ standards of sufficient definiteness and specificity to
overcome due process concerns. The Government proposes a standard
that prohibits the “taking of official action by the employee that
furthers his own undisclosed financial interests while purporting
to act in the interests of those to whom he owes a fiduciary duty,”
so long as the employee acts with a specific intent to deceive and
the undisclosed conduct could influence the victim to change its
behavior.
Id., at 43–44. See also
id., at 40–41.
That formulation, however, leaves many questions unanswered. How
direct or significant does the conflicting financial interest have
to be? To what extent does the official action have to further that
interest in order to amount to fraud? To whom should the disclosure
be made and what information should it convey? These questions and
others call for particular care in attempting to formulate an
adequate criminal prohibition in this context.
Footnote 46
Overlap with other federal statutes does not
render §1346 superfluous. The principal federal bribery statute,
§201, for example, generally applies only to federal public
officials, so §1346’s application to state and local corruption and
to private-sector fraud reaches misconduct that might otherwise go
unpunished.
Footnote 47
The Fifth Circuit appeared to prejudge this
issue, noting that, “if any of the three objects of Skilling’s
conspiracy offers a legally insufficient theory,” it “must set
aside his conviction.” 554 F. 3d, at 543. That reasoning
relied on the mistaken premise that
Hedgpeth v.
Pulido, 555 U. S. ___ (2008)
(per curiam),
governs only cases on collateral review. See 554 F. 3d, at
543, n. 10. Harmless-error analysis, we clarify, applies
equally to cases on direct appeal. Accordingly, the Fifth Circuit,
on remand, should take a fresh look at the parties’ harmless-error
arguments.
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