United States v. Ronald RepakUnited States v. Ronald Repak
Case Information
*1 Before: SMITH, Chief Judge , MCKEE, and SHWARTZ, Circuit Judges (Filed: March 28, 2017) *2 Rebecca R. Haywood, Esq.
Laura S. Irwin, Esq. [ARGUED] 700 Grant Street
Suite 4000
Pittsburgh, PA 15219
Counsel for Appellee Timothy J. Lyon, Esq. [ARGUED] Suite 1801
310 Grant Street
Pittsburgh, PA 15219
Counsel for Appellant
________________ OPINION ________________
SMITH, Chief Judge
Ronald Repak was convicted of two counts of
Hobbs Act extortion, in violation of
I
This is a public corruption case coming out of Johnstown, Pennsylvania. The defendant, Ronald Repak, was the Executive Director of the Johnstown Redevelopment Authority (“JRA”), which receives federal and state funding to assist in economic development for the City of Johnstown. A voluntary Board of Directors governs the JRA. To promote economic development in Johnstown, the JRA’s Board of Directors awards contracts to remediate industrial proprieties and issues grants to attract companies to Johnstown.
While the JRA’s Board of Directors ultimately confers contracts and grants, the JRA’s Executive Director, who runs the day-to-day operations of the organization, makes recommendations to the Board as to which contractors should receive those contracts and grants. The JRA’s Board of Directors “relied on the director to keep [them] informed as to what was going on.” JA263. As one JRA Board member testified, “95 percent of what any board member [knew] in most . . . situations . . . w[as] told [to them] by the director.” JA262–63. In short, the Executive Director plays a vital role in the process of selecting who receives JRA contracts and grants.
Repak was the Executive Director from November 1977 to February 2013. His assistant was Debbie Walter. *4 With Walter’s help, Repak solicited a number of items from contractors who had been awarded contract work by the JRA during his time as Executive Director. [1] Repak’s solicitations included requests for concert tickets, sporting event tickets, and golf outings. JRA contractors acquiesced in Repak’s solicitations because “if [they] didn’t, [they] felt that [they] would lose work.” JA284. As one contractor testified, Repak “would sometimes . . . provide some innuendos like, ‘Hey, I’m reviewing some invoice here of yours,’ which [was] usually followed up with some type of request. Or sometimes, [he would say,] ‘Well, I can get someone else to do the work.’” Id. ; see also JA301 (“Mr. Repak provided a lot of, I said innuendos, subtle things through conversations. And then it would always be followed in a short period of time by either an instruction or request. . . . [W]ith him[,] [instructions and requests] were the same thing.”).
Of particular importance in this appeal are two items that Repak received from JRA contractors but that were unassociated with any JRA project: a new roof on his house and excavating services for his son’s gym. The Government also charged Repak with receipt of Pittsburgh Steelers tickets from another contractor, *5 Kimball & Co. The jury, however, acquitted Repak on the counts related to receipt of the Steelers tickets. For that reason, we discuss only the receipt of the roof and excavating services in detail.
In 2009, JRA contractor EADS Group (“EADS”) replaced the roof on Repak’s home at no cost to Repak. While Repak and several EADS employees were together, Repak overheard an EADS employee, Stephen Sewalk, discussing his past roofing business. Repak then asked Sewalk to take a look at the roof on his home. At that time, EADS did significant business with the JRA. Based on Repak’s past solicitations for tickets and other items, Sewalk stated that he “inward[ly] sigh[ed]” following Repak’s roof request and thought “here we go [again].” JA286. Although Sewalk initially tried to ignore Repak’s request, Sewalk “knew it wasn’t going to go away” after Repak made the request again several months later. Id. Sewalk then went to look at Repak’s roof but testified at trial that he did not give Repak a quote for work on the roof. Rather, after Sewalk spoke with EADS’s CEO, EADS “figured [the roof] was going to be another . . . favor” and informed Repak that it would cover the cost of replacing his roof. JA287. Sewalk testified that, although Repak offered to pay for the roof at one point, Repak also told him to “bury [the roofing expenses] in an invoice” to the JRA. JA288. EADS ultimately replaced the roof at a cost of $3,000 to $4,000. Instead of concealing those expenses in JRA *6 invoices as Repak instructed, EADS simply bore the cost of replacing the roof. When asked at trial why EADS did this for Repak, Sewalk responded that EADS replaced the roof simply so that EADS could “maintain the workload” with the JRA. Id. ; see also JA289 (“[W]e wanted to keep people employed and do our work. So I figured if we told [Repak] no that we weren’t going to be working there much longer.”).
Also in 2009, a JRA contractor performed excavating services at a gym owned by Repak’s son. Neither Repak nor his family paid for it. Repak initially asked another JRA contractor to do the excavating work, but, after Repak told the contractor to bury $5,000 out of the $6,000 excavating price quoted in a JRA invoice, the contractor turned him down and refused to work for the JRA again. As that contractor put it, “I just discussed it with my wife and kids, . . . and we just decided it would be better just to walk away [than continue to work for the JRA and Repak].” JA359.
Repak then enlisted another JRA contractor, L&M Excavating Company (“L&M”), to do the work. Repak instructed L&M to demolish two abandoned homes and level lots adjoining his son’s gym and then to spread gravel on the leveled area for parking. This work cost L&M $17,500. After completing the requested work, an L&M employee, Rick McNulty, asked Repak whom L&M should invoice for the work. Repak told McNulty to “just bury [the $17,500] in invoices” to the JRA and *7 did not offer to pay for L&M’s services. JA325–26. At that time, sixty percent of L&M’s business came from the JRA. Yet, rather than follow Repak’s instruction to submit fraudulent invoices, L&M assumed the $17,500 cost to level and gravel the property near the gym. When asked why L&M did this, McNulty explained that providing these gratuitous services to Repak was just “part of doing business with the [JRA] and Mr. Repak.” JA311.
As members became suspicious of Repak’s dealings with JRA contractors, the JRA’s Board of Directors implemented policies to control gratuities and expenditures. The gratuities policy prohibited JRA contractors from offering any gratuity to any JRA employee and prohibited JRA employees from accepting the same. The expenditures policy required the approval of the JRA’s Board of Directors for all JRA expenditures over $500. At trial, JRA contractors expressed the relief they felt following enactment of the gratuities policy. One JRA contractor testified, “I was relieved [because] . . . it gave me my ammunition to say no, I guess. I didn’t have to continue doing this.” JA290. Echoing the sentiment behind the JRA policies, another contractor opined, “It had to stop. It was getting to the point that [Repak] was like one power running everything in the city of Johnstown and if . . . this wasn’t the way you would choose to do business, you wouldn’t do business here.” JA330.
II
A grand jury returned a six-count indictment
against Repak arising out of his actions as the Executive
Director of the JRA. The six counts related to three
underlying factual circumstances: Counts 1 and 2
pertained to Repak’s receipt of Pittsburgh Steelers tickets
from Kimball & Co.; Counts 3 and 4 dealt with the
installation of a new roof on Repak’s house by EADS;
and Counts 5 and 6 related to the excavation services
performed by L&M at Repak’s son’s gym. Counts 1, 3,
and 5 charged Repak with violations of the Hobbs Act,
Before trial, the District Court decided two
motions in limine filed by the Government that were
relevant to Repak’s appeal. First, Repak challenged the
admission of evidence of solicitations and items he
received beyond those items charged in the indictment
(“other-acts evidence”). The District Court allowed the
Government to introduce the other-acts evidence,
determining that the evidence was admissible to prove
Repak’s mental state for the charged offenses.
See United States v. Repak
, No. 3-14-cr-00001, 2015 WL
4108309, at *4–6 (W.D. Pa. July 7, 2015). Second,
Repak challenged the admission of evidence of an affair
he had with Walter under
At trial, the parties jointly proposed and, with limited exceptions not relevant here, agreed to jury instructions. The District Court later read those instructions to the jury. The instructions informed the jury of the elements of the two charged offenses— violations of the Hobbs Act and the federal program bribery statute. The elements of a Hobbs Act violation were defined as follows:
First, that the defendant took from [the three JRA contractors] the property described in *10 Counts 1, 3, and 5. Second, that the defendant did so knowingly and willfully by extortion under color of official right. Third, that as a result of defendant’s actions interstate commerce was obstructed, delayed, or affected.
JA656. The elements of federal program bribery were defined as:
First, that at the time alleged in the indictment defendant was an agent of the [JRA]. Second, that the [JRA] received federal benefits in excess of $10,000 in a one-year period. Third, that defendant solicited and accepted something of value from [the three JRA contractors]. Fourth, that defendant acted corruptly with the intent to be influenced or rewarded in connection with the business and transactions of the [JRA].
JA660–61. Repak’s main defense to the charges at trial was that he lacked the requisite mental state in accepting any items to influence the awarding of JRA contracts.
The jury convicted Repak on Counts 3 through 6, the Hobbs Act and federal program bribery charges involving the roof on Repak’s house and the excavating services for his son’s gym. The District Court sentenced *11 Repak to 42 months of incarceration on each count of conviction, with the sentences to run concurrently. The District Court also ordered Repak to pay restitution to EADS in the amount of $3,500 and to L&M in the amount of $15,000. Repak timely appealed his judgment of conviction and sentence. [2]
III
The District Court had jurisdiction over this matter
pursuant to
On appeal, Repak raises six arguments related to the District Court’s evidentiary rulings, the jury instructions, the sufficiency of trial evidence, and the prosecutor’s conduct during closing arguments. We conclude that none are meritorious.
A
Repak’s first contention is that, under
“
Because
The Government here sought to introduce evidence
of Repak’s “business relationships with vendors of the
JRA, which specifically include[d] instances of other
uncharged acts of solicitations by Mr. Repak to JRA
vendors, including but not limited to” Kimball & Co.,
EADS, and L&M. JA123. Without further explanation,
the Government contended in its motion in limine that
Repak’s “prior course of conduct and business
dealings/relationship with the named entities, including
previous solicitations, [was] extremely relevant and
[would] go directly to prove” Repak’s “knowledge” and
“corrupt intent.” JA125–26. The prosecution also
argued that the uncharged acts of solicitation were
admissible under
The District Court permitted introduction of the proffered evidence. In relevant part, the District Court reasoned:
[T]he Court finds that the
JA25–27.
Repak challenges the sufficiency of the District
Court’s
We proceed by critically analyzing each of the four
steps in the methodological process for determining
admissibility under
1
The Government and District Court satisfied step
one of the applicable
2
The Government and District Court, however,
faltered at step two of the
To be relevant, proffered evidence must fit into “a
chain of inferences—a chain that connects the evidence
to a proper purpose, no link of which is a forbidden
propensity inference.”
United States v. Davis
, 726 F.3d
*19
434, 442 (3d Cir. 2013). “[T]his chain [must] be
articulated with careful precision because, even when a
non-propensity purpose is ‘at issue’ in a case, the
evidence offered may be completely irrelevant to that
purpose, or relevant only in an impermissible way.”
Caldwell
,
We have recently reiterated the importance of
concretely connecting the proffered evidence to a non-
propensity purpose. In
United States v. Caldwell
, we
rejected the use of prior gun possession convictions to
show a defendant’s knowledge that he actually possessed
a gun.
Id.
at 283. Testimony at trial demonstrated that
the defendant was seen carrying the gun, and yet the
Government proceeded to introduce the defendant’s prior
gun possession convictions to show his actual possession
of the charged gun.
Id.
at 279. “Because the
Government proceeded solely on a theory of actual
possession,” we held that the defendant’s “knowledge
was not at issue in the case.”
Id.
(“[A]bsent unusual
circumstances (such as when a defendant claims he did
not realize the object in his hand was a gun), the
knowledge element in a felon-in-possession case will
necessarily be satisfied if the jury finds the defendant
physically possessed the firearm.”). We reached that
conclusion because we could observe “no articulation by
the Government of a logical chain of inferences showing
how
[the defendant’s] prior convictions [were] relevant to
show [the non-propensity purpose of] knowledge.”
Id.
at
*20
281. Rather, the Government there simply relied on ipse
dixit, stating the “baseline position” that the evidence of
the defendant’s prior gun convictions was “generally
relevant” to show the defendant’s knowledge that he
possessed the gun related to the charged offense.
Id.
That baseline position told us “nothing about how the
evidence” helped established the defendant’s knowledge.
Id.
We further observed that the District Court in
Caldwell
“likewise failed to articulate how the disputed
evidence tend[ed] to show that [the defendant] knowingly
possessed
the gun [related
to
the charged gun
possession].”
Id.
In doing so, we “emphasize[d] that it is
not enough to merely recite a
Similarly, in
United States v. Brown
,
The Government’s proffer and District Court’s
explanation here fell short, failing to explain how
evidence of uncharged solicitations would have a
tendency to make Repak’s knowledge and intent more
*22
probable in the mind of a juror. The question is whether
the evidence of other uncharged solicitations by Repak
was relevant to show Repak’s mental state as to the
charged conduct—solicitation of the roof and excavation
services. In its motion in limine, the Government merely
stated, in cursory fashion, that Repak’s “prior course of
conduct and business dealings/relationship with the
named entities, including previous solicitations, [was]
extremely relevant and [would] go directly to prove”
Repak’s “knowledge” and “corrupt intent.” JA125–26.
As in
Caldwell
and
Brown
, the Government failed to
articulate a chain of inferences supporting the admission
of Repak’s uncharged solicitations.
Instead, the
Government stated only that a logical chain connecting
the evidence to a non-propensity purpose exists. That
statement is not enough to demonstrate the admissibility
of
The District Court’s analysis of the
Despite the inexact nature of the Government’s
proffer and the District Court’s
That chain of inferences is not unfamiliar. In
United States v. Console
,
In a recent similar case, we concluded that
Much like in
Willis
, the past solicitations here were
closely related to the charged acts, and participation in
one had a relationship to the other.
Cf. Brown
, 765 F.3d
at 293. The Government’s evidence of uncharged
solicitations demonstrated Repak’s course of conduct
over a relatively circumscribed time period with the same
actors involved in the charged conduct. That evidence
thus tends to show that Repak “intended to accept [the
roof and excavating services] in exchange for handing
out more government contract work.”
Willis
, 844 F.3d at
170. The other-acts evidence makes it more likely that
Repak did not “unwittingly” solicit and receive the roof
and excavation services without knowing or intending
that the services were meant to influence him in his role
as the JRA’s Executive Director.
Vega
,
3
The District Court’s analysis also fell short at step
three of the
The balancing (or lack thereof) performed in
Caldwell
is instructive. In
Caldwell
, the District Court
stated: “What I want to say is that not only are [the past
convictions] admissible under 404(b), but because
knowledge and intent are at issue here, they are more
probative than prejudicial. I find that the probative value
outweighs any prejudicial effect as well as to their
admissibility.”
Id.
at 284. That analysis, we concluded,
offered “nothing more than a bare recitation of
The District Court’s analysis here is strikingly
similar to the recitation of
That said, it is “apparent from the record” that the
prejudicial effect of the Government’s evidence does not
substantially outweigh the probative value of that
evidence.
Id.
The probative value of Repak’s past
solicitations was significant
. See Willis
,
That compelling probative value
is not
substantially outweighed by any prejudice arising from
the admission of the uncharged solicitations. For one, as
explained below, the District Court provided a limiting
instruction, mitigating any concern that the jury would
have used this evidence to draw a propensity inference.
See infra
. We have no reason to believe the jury did not
follow the limiting instruction.
See United States v.
Newby
, 11 F.3d 1143, 1147 (3d Cir. 1993) (“[W]e
presume that the jury will follow a curative instruction
unless there is an ‘overwhelming probability’ that the
jury will be unable to follow it and a strong likelihood
that the effect of the evidence would be ‘devastating’ to
the defendant.” (internal quotation marks and citations
omitted) (quoting
Greer v. Miller
,
The District Court’s application of
4
Finally, the District Court dutifully performed the
fourth step of the
[t]his evidence of other acts, in other words, acts that are not charged in the indictment, was admitted only for limited purposes. You may only consider this evidence for the purpose of deciding whether the defendant had the state of mind, knowledge, or intent necessary to commit the crimes charged in the indictment.
JA341–42. At the close of the evidence, the District
Court instructed, “[The] evidence of other acts was
admitted for limited purposes. You may consider this
evidence only for the purpose of deciding whether the
defendant had the knowledge or intent necessary to
commit the crimes charged in the indictment.” JA649–
50. The District Court thus satisfied step four in
*33
providing a limiting instruction on the jury’s use of the
***
We agree with Repak that the Government and
District Court failed to adequately explain the basis for
admitting the other-acts evidence under
B
Repak contends that the admission of evidence
regarding his affair with his assistant, Debbie Walter,
was an error under
As noted above,
Cross
, 308 F.3d at 325 (quoting
United States v.
Gartmon
,
In briefing before the District Court, Repak contended that his affair with Walter was “irrelevant to the charges in the Indictment or simply prejudicial.” JA77. In response, the Government explained that the affair “put[] [Walter’s] actions and testimony into context,” “squarely addresse[d] facts at issue, i.e. , whether or not solicitations and receipt of items occurred as charged,” and impacted Walter’s credibility. JA152. The District Court ruled that, while prejudicial, evidence of the affair was also highly probative. JA15. According to the District Court, the affair was “relevant to the Government’s burden of showing Defendant’s mental state regarding the crimes charged.” JA15. As an example, the District Court observed that “witnesses will testify that solicitations by Defendant were made to benefit Walter because she was his paramour,” thus demonstrating a motive for certain solicitations. Id. It also accepted the Government’s argument that the affair would assist the jury in assessing Walter’s credibility. JA15–16.
Repak’s argument on appeal is two-fold but
straightforward. He contends that evidence of his affair
was not relevant and that the prejudice created by its
admission substantially outweighed whatever probative
value that evidence has. Repak’s arguments are
ultimately unpersuasive. The District Court reasonably
exercised its discretion to admit the affair evidence.
See
United States v. Universal Rehab. Servs. (PA), Inc.
, 205
F.3d 657, 665 (3d Cir. 2000) (“If judicial self-restraint is
ever desirable, it is when a
The Government elicited testimony from multiple JRA contractors regarding requests for items coming directly from Walter. See, e.g., JA327; JA374; JA384. Those contractors also testified that they would buy items for Walter at Repak’s request. See, e.g. , JA327. One contractor affirmed that he had knowledge of the affair while the solicitations were occurring, and another knew that giving Walter items would make Repak happy. JA289–90; JA327. For her part, Walter admitted that she had a romantic relationship with Repak. JA406. She also testified that she would occasionally email Repak’s requests for items to JRA contractors. JA408. She stated that she would make these requests because of “both” her business and personal relationship with Repak. JA409. Finally, Repak himself admitted to the affair. JA514–15.
Given this legal and factual background, the
evidence of Repak’s affair was relevant.
See
While relevant, the affair evidence likely caused some prejudice to Repak. The record, however, fails to demonstrate that that prejudice was unfair or that it substantially outweighed the evidence’s probative value. The affair evidence was hardly a main feature of the trial. [5] The testimony outlined above constitutes the entirety of the testimony regarding the affair. In short, trial testimony regarding the affair was not belabored; it simply advised the jury of the personal relationship between Repak and Walter for the permissible purposes mentioned above.
Thus, given the probative value of the affair
evidence and the limited nature of its prejudicial effect,
the District Court did not abuse its discretion in admitting
that evidence.
See United States v. Lee
, 612 F.3d 170,
190 (3d Cir. 2010) (observing that district courts are
owed “substantial deference . . . in weighing evidence
under
C
Repak next challenges the sufficiency of the trial
evidence underlying his convictions. “We exercise
*38
plenary review over a district court’s grant or denial of a
motion for judgment of acquittal based on the sufficiency
of the evidence, applying the same standard as the district
court.”
Starnes
, 583 F.3d at 206. “In reviewing a jury
verdict for sufficiency of the evidence . . . [,] we must
consider the evidence in the light most favorable to the
government and affirm the judgment if there is
substantial evidence from which any rational trier of fact
could find guilt beyond a reasonable doubt.”
United
States v. Iglesias
, 535 F.3d 150, 155 (3d Cir. 2008)
(internal quotation marks and citations omitted) (quoting
United States v. Lore
,
1
Repak makes
two arguments against his
convictions on Counts 3 and 5, charging violations of the
Hobbs Act,
i
Repak’s contention that there is no evidence of an
“agreement” to influence official JRA actions is wrong
on the law and contrary to the record. When proving a
violation of
The government is not required to prove an explicit promise to perform the official acts in return for the payment. Passive acceptance of a benefit by a public official is a sufficient basis for this type of extortion if *40 the official knows that he is being offered payment in exchange for his ability to do official acts.
JA657–58. Therefore, Repak’s contention that the Government failed to demonstrate an “agreement” is unpersuasive.
While the Government need not show an
agreement, it does need to demonstrate Repak’s
acceptance of the roof and excavating services knowing
that they were given in exchange for his influencing the
award of JRA contracts. Rarely will the sort of
knowledge the Government charged Repak with be
reflected
in a written agreement, nor does
the
Government need to produce such a document.
See
Bradley
,
At trial, JRA contractors testified to the “unspoken understanding” between themselves and Repak. JA333. Explaining why EADS provided Repak with free services, EADS employee Stephen Sewalk testified: “[I]f we didn’t [follow Repak’s instructions], I felt that we would lose work.” JA284. That view was based on more than intuition. Repak would tell Sewalk, “‘Hey, I’m reviewing some invoice here of yours,’ which [was] usually followed up with some type of request.” Id. ; see also JA289 (recalling that Repak would threaten that he *41 would find “someone else” who would be willing to fulfill his demands); JA301 (“Mr. Repak provided a lot of, I said innuendos, subtle things throughout conversations. And then it would always be followed in a short period of time by either an instruction or request. . . . [W]ith him[,] [instructions and requests] were the same thing.”). L&M employee Rick McNulty similarly explained that providing free services and items to Repak was simply “part of doing business with the [JRA] and Mr. Repak.” JA311. He reached this conclusion following messages from Repak telling McNulty that Repak “need[ed]” certain items from L&M and follow- up calls from Repak to McNulty asking why items had not yet been provided. JA311, JA317. Putting a finer point on his testimony, McNulty stated that he knew that if he didn’t provide those services, “it would be a problem from a work aspect.” JA312.
As the old adage goes, “actions often speak louder
than words.” Here, the actions of the JRA contractors
spoke volumes about their understanding with Repak.
EADS provided Repak with a new roof, bearing $3,000
to $4,000 in costs. JA287–88; JA315–16. After
receiving the new roof, Repak told Sewalk to bury EADS
expenses in an invoice to the JRA. JA299–300. Sewalk
testified that he knew his company would not get more
work from the JRA if it required Repak to pay for his
roof. JA289. Similarly, L&M provided Repak with
excavating services for his son’s gym, at a cost of
*42
$17,500 to L&M. JA325–26. Echoing Sewalk’s
testimony, McNulty stated that when he asked Repak
who he should invoice for the excavating services, Repak
told him to “just bury it in invoices” to the JRA. JA326.
This evidence was more than sufficient to show that
Repak obtained the roof and excavating services,
“knowing that the payment was made in return for
official acts.”
Evans
,
Viewing that evidence in the light most favorable
to the Government, a rational jury could have convicted
Repak of the Hobbs Act charges.
See Bradley
, 173 F.3d
at 231 (observing that “knowing winks and nods”
demonstrating a mutual understanding with a public
official was sufficient for conviction under
ii
Repak’s second contention regarding Counts 3 and 5, relying on McDonnell v. United States , is equally unpersuasive.
In
McDonnell
,
the Supreme Court vacated
convictions under
“First, the Government must identify a ‘question,
matter, cause, suit, proceeding or controversy’ that ‘may
at any time be pending’ or ‘may by law be brought’
before a public official.”
Id.
(quoting
The second part of the showing to prove an “official act” requires the Government to “demonstrate that the public official made a decision or took an action ‘on’ that question, matter, cause, suit, proceeding, or controversy, or agreed to do so.” Id. at 2368. Providing some contour to that requirement, the Court observed that “if a public official uses his official position to provide advice to another official, knowing or intending that such advice will form the basis for an ‘official act’ by another official, that too can qualify as a decision or action.” Id. at 2370. By way of example, the Court noted that “a decision or action to initiate a research study” would sufficiently constitute a decision or action “on” a question or matter. Id. ; cf. United States v. Sun-Diamond Growers of Cal. , 526 U.S. 398, 407 (1999) (observing that the hosting of a championship sports team by the President of the United States would not constitute an “official act”).
As in
McDonnell
, the parties here agreed to
instructions, read to the jury, which defined “extortion
under color of official right” to mean “that a public
official induced, obtained, accepted, or agreed to accept a
payment to which he or she was not entitled, knowing
that the payment was made in return for taking,
withholding, or influencing
official acts
.” JA657
(emphasis added). The instructions also required that the
official acts be “pending before a government agency.”
JA658. The parties do not dispute that the definition of
“official acts” comes from
Repak insists that the trial evidence of his
facilitating the award of JRA contracts failed to
demonstrate an “official act,” as defined in
McDonnell
,
because that evidence did not demonstrate (1) a
“question” or “matter” akin to “a lawsuit before a court, a
determination before an agency, or a hearing before a
committee” and (2) “something specific and focused that
is ‘pending’ or ‘may by law be brought’ before a public
official.”
Repak’s first McDonnell argument is off the mark. The awarding of a JRA contract is not only akin to an agency determination—it is an agency determination. The Supreme Court in McDonnell concluded that a “Revitalization Commission’s” allocation of grant money was not only a sufficiently “focused and concrete” matter but also “involve[d] a formal exercise of governmental *46 power that is similar in nature to a lawsuit, administrative determination, or hearing.” Id. at 2370. As in McDonnell , a decision by the JRA—a governmental agency—to award money to contractors as part of its public mission to develop Johnstown’s infrastructure is undoubtedly the “formal exercise of governmental power.” Id. at 2372. It is, plainly, an agency determination.
Repak’s second
McDonnell
argument, that the
award of JRA contracts is not a “specific and focused
[question or matter] that is ‘pending,’” is likewise
unpersuasive.
Id.
In
McDonnell
, the Government argued
that the focus of an event hosted by the defendant was
“economic development”
and
that
“economic
development” was sufficiently narrow under
In the language of
McDonnell
, the award of JRA
contracts is “specific and focused.” It is a concrete
*47
determination made by the JRA’s Board of Directors and
“the kind of thing that can be put on an agenda, tracked
for progress, and then checked off as complete.”
Id.
at
2369. It is “something within the specific duties of an
official’s position—the function conferred by the
authority of his office.”
Id.
The JRA and its Board of
Directors were undisputedly
tasked with
the
responsibility of awarding contracts. The JRA received
federal funds and, among other obligations, was
“responsible to distribute those funds, . . . to provide for
the engineering, [and] procurement of construction”
related to redevelopment projects. JA491. As part of
that process, and in his capacity as JRA Executive
Director, Repak made recommendations to the JRA
Board of Directors as to which contractors should be
used on specific projects. JA507. The assigning of
contractors to JRA projects can thus “naturally [be]
described” as a matter “pending” before the JRA, unlike
the nebulous issue of “economic development” in
McDonnell
.
Implicit in both of Repak’s arguments under McDonnell is the suggestion that the facilitation of the award of those contracts is not a decision or action “on” a question or matter. The Supreme Court held in McDonnell that an action “on” a question or matter includes a public official’s use of his position “to exert pressure on another official or provide advice, knowing or intending [that] such advice . . . form the basis for an *48 ‘official act.’” Id. at 2371. As demonstrated by the record here, Repak had the power to, and indeed did, make recommendations to the JRA as to the contractors it hired for projects. JA507. The evidence was sufficient for the jury to conclude that he accepted the roof and excavating services knowing that he was to use his power, i.e., the ability to provide advice, to influence the JRA’s awarding of contracts.
Therefore, the facilitation of the award of JRA contracts is an “official act” as defined by McDonnell . Evidence of Repak’s receipt of items knowing he was to facilitate the award of those contracts provided a sufficient basis for a rational trier of fact to convict him of the Hobbs Act charges under Counts 3 and 5.
2
As to Counts 4 and 6 related to
As outlined above, the JRA contractors testified to
an unspoken but certain understanding between
themselves and Repak under which they would provide
Repak with items of value (usually items he specifically
*49
requested) and Repak would influence the award of JRA
contracts. The statements attributed to Repak at trial
repeatedly suggested as much, and his continued receipt
of items from those contractors further demonstrated that
he intended for such items—the costs for which he
instructed be buried in JRA invoices—to influence the
award of JRA contracts to those contractors. In sum,
when viewed in the light most favorable to the
Government, the record demonstrates more than enough
evidence for a rational trier of fact to conclude, beyond a
reasonable doubt, that Repak possessed the requisite
intent to convict him on the
D
Repak also argues that the District Court provided
the jury with erroneous instructions. More precisely, he
contends that the instructions related to the Hobbs Act
(Counts 3 and 5) and the federal program bribery statute
(Counts 4 and 6) failed to properly advise the jury of the
elements of the offenses charged. The parties agree that
plain error review applies.
See United States v.
Zehrbach
, 47 F.3d 1252, 1260 & n.6 (3d Cir. 1995)
(“Where a party has not made a clear, specific objection
to the charge that he alleges is erroneous at trial, he
waives the issue on appeal ‘unless the error was so
*50
fundamental and highly prejudicial as to constitute plain
error.’” (quoting
Bennis v. Gable
,
Although Repak fails to state the underlying legal basis for his jury instruction challenge, we have held:
Due process requires that the Government
prove every element of the charged offense
beyond a reasonable doubt. Accordingly,
jury instructions that relieve the Government
of this burden violate a defendant’s due
process rights.
Carella v. California
, 491
U.S. 263, 265 (1989). The inquiry is
whether the court’s instruction constituted a
mandatory presumption by
“directly
*51
foreclos[ing] independent jury consideration
of whether the facts proved established
certain elements of the offense with which
[the defendant] was charged.”
Id.
at 266.
United States v. Korey
, 472 F.3d 89, 93 (3d Cir. 2007)
(citation omitted). In making this inquiry, the “[j]ury
instructions must be read as a whole.”
United States v.
Flores
,
1
Repak first challenges the instructions associated
with Counts 3 and 5, which charged violations of
Count 3 of the indictment charges that . . .
Repak[] did knowingly obstruct, delay, and
affect commerce and the movement of
articles and commodities in commerce by
extortion, as those terms are defined in [
. . .
Count 5 of the indictment charges that . . .
Repak did knowingly obstruct, delay, and
affect commerce and the movement of
articles and commodities in commerce by
extortion, as those terms are defined in [
JA652–55. The instructions then state that an element of
Repak advances two arguments regarding those instructions. First, he contends that the jury instructions allowed the jury to convict him for any “official acts,” without limiting the focus to only his facilitation of the award of JRA contracts. Second, he argues that even if the indictment did not broaden the allowable “official acts” of which he could be convicted, the District Court failed to inform the jury that it must determine whether the facilitation of the award of JRA contracts is an official act. Neither argument carries the day.
As to Repak’s first argument, he fails to identify any other “official act” on which he could have been convicted, and, in doing so, fails to explain how he could have been convicted of “official acts” other than his facilitation of the award of JRA contracts. And review of *54 the record reveals no other “official act” evidence presented by the Government. Indeed, the Government’s only theory at trial was that Repak accepted the roof and excavating services knowing that he was expected to facilitate the award of JRA contracts to EADS and L&M.
Repak’s second challenge
to
the
Reading the jury instructions as a whole, we
believe
those
instructions “fairly and adequately
submit[ed]” to the jury the issue of whether facilitating
the award of JRA contracts constituted an “official act.”
Thayer
,
2
With regard to Counts 4 and 6, which charged
violations of
Reading those instructions as a whole, we conclude that the instructions did not violate Repak’s due process rights. In summarizing the charges against Repak, the District Court stated:
Count 4 of the indictment charges that . . . [Repak] did corruptly solicit, demand, accept, and agree to accept something of value, intending to be influenced and rewarded in connection with the business transaction and series of transactions of the [JRA] . . . . That is, [Repak] solicited and obtained a new roof on his personal residence in exchange for his official actions and influence as the executive director of the [JRA], to facilitate the award of contracting work to [EADS].
. . .
Count 6 of the indictment charges that . . . [Repak] did corruptly solicit, demand, accept, and agree to accept something of value, intending to be influenced and rewarded in connection with the business transaction and series of transactions of the [JRA] . . . . That is, [Repak] solicited and obtained building demolition and grading services at [his son’s gym] in exchange for his official actions and influence as the executive director of the [JRA], to facilitate the award of contracting work to [L&M].
JA653–56. Those instructions thus specifically identify
the “business or transaction” the Government charged
Repak with influencing: “the award of [JRA] contracting
work.”
Id.
Moreover, as with the charges under
E
Repak also asserts that reversal is called for
because the indictment charging him was constructively
amended. “We exercise plenary review in determining
whether there was a constructive amendment of the
indictment,” but, “inasmuch as [Repak] did not raise the
constructive amendment . . . in the district court we . . .
consider [the issue] on a plain error basis.”
United States
v. Daraio
,
In United States v. Daraio , we described the circumstances under which constructive amendment of an indictment occurs:
An indictment is constructively amended when, in the absence of a formal amendment, the evidence and jury instructions at trial modify essential terms of the charged offense in such a way that there is a substantial likelihood that the jury may have convicted the defendant for an offense differing from the offense the indictment returned by the grand jury actually charged.
Id.
at 259–60. “The key inquiry is whether the defendant
was convicted of the same conduct for which he was
indicted.”
Id.
at 260 (quoting
United States v. Robles-
Vertiz
, 155 F.3d 725, 729 (5th Cir. 1998)). “If a
defendant is convicted of the same offense that was
*58
charged in the indictment, there is no constructive
amendment.”
United States v. Vosburgh
,
Repackaging his earlier challenge to his jury instructions, Repak contends that his indictment was constructively amended such that he could have been convicted for facilitating any “official act” under the Hobbs Act, Counts 3 and 5, and influencing any JRA “business or transaction” under the federal program bribery statute, Counts 4 and 6. Once again, Repak is wrong. The jury convicted him for the same conduct for which he was indicted.
In Daraio , we held that no constructive amendment of the indictment had occurred where the district court provided the jury with thorough instructions that tracked the language in the indictment. 445 F.3d at 261. The indictment in Daraio charged the defendant with a specific act of tax evasion, but the Government also introduced evidence of prior tax non-compliance. Id. at 260. We nevertheless concluded that “the district court’s instructions ensured that the jury would convict [the defendant], if at all, for a crime based on conduct charged in the indictment.” Id. We based our decision on the “basic tenet of our jurisprudence that a jury is presumed to have followed the instructions the court gave it.” Id . (quoting United States v. Givan , 320 F.3d 452, 462 (3d Cir. 2003)). We also highlighted the district court’s limiting instructions, which instructed the jury *59 that those other actions of tax non-compliance were not charged in the indictment and could not be the basis for a conviction. Id. at 261. For those reasons, we concluded: “[T]he district court obviated the possibility of the indictment being constructively amended by issuing accurate and thorough jury instructions precluding the jury from convicting [the defendant] for any conduct other than that which the indictment charged.” Id.
Like in Daraio , Repak was convicted of the same conduct for which he was charged. First, as with his challenge to the jury instructions, Repak points to no other “official act” or “transaction” for which he could have been convicted. Second, as part of its jury charge, the District Court read each count in the indictment, which—as we noted above—identified the specific “official act” or “transaction” related to each count, i.e., the facilitation of “the award of [JRA] contracting work.” JA651–56. Third, the District Court also instructed the jury multiple times that it was not to consider evidence of Repak’s uncharged solicitations for any reason other than to prove his mental state as to the crimes charged . We presume, as we must, that the jury followed the District Court’s instructions. Daraio , 445 F.3d at 260. We therefore conclude that the District Court “thoroughly and accurately instructed the jury on the basic elements of [Repak’s charged offenses] and focused the jury’s attention on the conduct that the indictment charged.” Id. at 260–61. No constructive amendment of the indictment *60 occurred.
F
Finally, Repak raises a due process claim based on
alleged prosecutorial misconduct during closing
arguments. Because Repak did not preserve this claim
through objections at trial, we review for plain error.
See
Mills
,
The Fifth Amendment’s Due Process Clause
provides defendants with a right to a fair trial, which
includes protection from prosecutorial misconduct.
See
id.
“When confronted with a claim that a prosecutor’s
remarks violated this right, we first determine whether
those remarks constituted misconduct.”
Id.
“If so, we
proceed to determine whether that misconduct ‘so
infected the trial with unfairness as to make the resulting
conviction a denial of due process . . . .’”
Id.
(quoting
Donnelly v. DeChristoforo
, 416 U.S. 637, 643 (1974)).
“Not all prosecutorial misconduct violates this right.”
United States v. Liburd
, 607 F.3d 339, 344 (3d Cir.
2010). Rather, we examine “the prosecutor’s offensive
actions in context and in light of the entire trial, assessing
the severity of the conduct, the effect of the curative
instructions, and the quantum of evidence against the
defendant.”
Lee
, 612 F.3d at 194 (quoting
Moore v.
Morton
,
Repak complains that four statements made by the Government attorney in her closing argument constituted prosecutorial misconduct producing an unfair trial. We are not persuaded that any reversible error occurred.
1
Repak first points to statements regarding his affair with Walter. The Government attorney argued, “Not only did Mr. Repak have Ms. Walter as his mistress, but he also dictated e-mails to her where in those e-mails he instructed what he wanted.” JA603. The prosecutor also stated:
Speaking about how the rules don’t matter— and by no means, am I or this Court the morality police, but it goes to show that the lines are blurred easily and rules are not followed easily with Mr. Repak. He engaged in an extramarital affair with his *62 assistant for years. His explanation was well, yes, it happened, but it was on and off. So I guess we can assume from that, I’m faithful to my wife. I’m not faithful to my wife. I’m faithful to my wife. I’m not faithful to my wife. Yet another example of the blurring of what is permissible, even in his personal life that you heard about.
JA 609. This line of argument was inappropriate, irrelevant to any issue at trial, and unnecessarily prejudicial. No reasonable person could have heard these words and not have considered them a direct reference to Repak’s marital infidelity. As such, the prosecutor’s suggestion was that Repak was dishonest.
Nonetheless, we do not believe that these
comments so tainted the trial as to violate Repak’s Fifth
Amendment rights. The District Court instructed the jury
that the “statements and arguments of the lawyers for the
parties” were not evidence the jury could consider.
JA638;
see also United States v. Berrios
,
2
Repak next states that the Government attorney referred during her closing to facts not in evidence. The Government planned to introduce testimony from one of Repak’s employees, Debbie Kerr, regarding her involvement with Repak’s solicitations. JA241–42. One witness testified that Kerr had been the JRA’s secretary but was unavailable to testify because of a sudden hospitalization. JA431–32, JA447–48. Repak testified that Kerr “would initiate the calls to . . . vendors,” making requests for food items such as lunch trays. JA507–08. During closing arguments, the Government attorney remarked:
You will recall [Repak] testified and said, Kerr, the receptionist over at the JRA, would *64 call up and get contractors to deliver food trays. Kerr was going to be a government witness, who unfortunately, as a result of a sensitive medical issue . . . couldn’t testify. And Mr. Repak comes in here and tells you that Kerr would call and solicit things from contractors to have food brought over to the JRA.
JA609–10.
Repak’s argument that this statement constituted prosecutorial misconduct is baseless. Both the fact that Kerr would have been a government witness if not for her medical issue and Repak’s testimony regarding her actions were already a part of the record. JA447–48; JA507–08. Responding to Repak’s testimony, the prosecutor at most contextualized the fact that Repak had attempted to shift the responsibility for certain solicitations to someone who did not testify. See Fahy v. Horn , 516 F.3d 169, 204 (3d Cir. 2008) (a prosecutor may attack a defendant’s credibility by “point[ing] out the inconsistencies” in his testimony). That was fair comment, simply noting the self-serving nature of the defendant’s testimony. It did not come close to prosecutorial misconduct. See Berger v. United States , 295 U.S. 78, 88 (1935) (noting that a prosecutor “may prosecute with earnestness and vigor-indeed, he should do so”).
3
Repak argues that the Government attorney improperly expressed her personal opinion regarding his guilt. The expression of a prosecutor’s personal opinion about the guilt of a defendant creates a risk that the jury will “trust the Government’s judgment rather than its own view of the evidence.” United States v. Young , 470 U.S. 1, 18–19 (1985). In relevant part, the prosecutor stated: “We clearly, without a doubt, met what we need[ed] to prove beyond a reasonable doubt to you.” JA629. Repak’s argument about this comment is unavailing.
As an initial matter, the attorney’s statement
cannot be fairly characterized as a “personal” opinion.
The attorney simply stated, using the first person plural,
that the Government considered its burden of proof to
have been met.
See United States v. Sherrill
, 388 F.3d
535, 538 (6th Cir. 2004) (holding that the statement, “that
man is guilty,” was not improper because phrase was
prefaced by “the government submits to you” (internal
quotation marks omitted));
see also United States v.
Werme
, 939 F.2d 108, 117 (3d Cir. 1991) (“The
prosecutor is entitled to considerable latitude in
summation to argue the evidence and any reasonable
inferences that can be drawn from that evidence.”);
cf. United States v. Andujar-Basco
, 488 F.3d 549, 560–61
(1st Cir. 2007) (observing that prosecutor’s statement
that “I have proven [the defendant’s guilt], absolutely,”
*66
was improper but did not necessitate a new trial)
.
Moreover, focusing on the statement in context, we
conclude that the prosecutor was responding to defense
counsel’s argument that the Government had failed to
show certain elements of the charged offenses.
See
JA628–29. The prosecutor merely replied that the
Government had put forth evidence to satisfy those
elements. JA629. Thus, at best, “[t]he statement was
merely an alternative—albeit less than desirable—form
of arguing to the jury that the evidence adduced [as to
those elements] proved [Repak’s] guilt beyond a
reasonable doubt.”
United States v. Pupo
, 841 F.2d
1235, 1240 (4th Cir. 1988) (en banc);
see also United
States v. Fischbach & Moore, Inc.
,
4
Finally, Repak takes issue with the following statement by the Government attorney:
In closing the defense talked about, Well, thank you. Look what has happened to Johnstown, because now with Mr. Repak not here anymore, . . . Johnstown is now just going to go away.
Well remember, three things even had to be put in place before he even left [the JRA] because of the [way] he was carrying on business. . . . I ask you to convict him on this, and that is the best thank you that Johnstown can receive.
JA632. Repak contends the Government attorney improperly asked the jury to send a message to the community by convicting him. Although we consider the prosecutor’s “thank you” comment to have been, at least, an unnecessary rhetorical flourish, it was not prosecutorial misconduct.
“There is no per se rule against invitations to a jury to ‘send a message.’” United States v. Riley , 621 F.3d 312, 339 (3d Cir. 2010) (quoting Greenleaf v. Garlock, Inc. , 174 F.3d 352, 364 n. 9 (3d Cir. 1999)). In the context of a “send the message” comment, we have observed that “[t]he type of counsel misconduct that warrants granting a new trial is not generally a single isolated inappropriate comment, but rather repeated conduct.” Id. The Government attorney here acted in response to defense counsel’s suggestion that the jury should thank Repak for what he had done for Johnstown, see JA626 (“[Repak] was one of the best in the state at getting funds. You heard where it is now.”), so “the prosecution was only meeting the defense on a level of the defense’s own choosing,” United States v. Lore , 430 F.3d 190, 214 (3d Cir. 2005) (quoting United States v. *68 LaSorsa , 480 F.2d 522, 526 (2d Cir. 1973)). Given the lack of a per se rule prohibiting this type of comment, the isolated nature of the comment, and defense counsel’s invitation to such comment, the prosecutor’s remark was innocuous.
IV
For the reasons stated, we will affirm the District Court’s judgment of conviction and sentence.
Notes
[1] Most of Repak’s solicitations were uncharged conduct
admitted at trial through the District Court’s contested
ruling under
[2] While Repak’s notice of appeal identifies his sentence as being appealed, he raises no argument related to the sentence independent of his challenges to the judgment of conviction.
[3] The District Court did not address the Government’s
suggestion
that
the other-acts evidence provides
“background” for the case. We have held that the use of
other-acts evidence as “background” can be permissible,
see, e.g.
,
Green
, 617 F.3d at 247, but have recently
cautioned against overreliance on this purpose as a means
for admitting other-acts evidence,
see United States v.
Steiner
,
[4] The uncharged solicitations may also have been used to explicate Repak’s guilt by providing insight into the minds of the contractors Repak extorted: through Repak’s repeated demands for items, the JRA contractors came to believe that they would lose JRA work if they failed to acquiesce in his demands. Testimony revealing the state of mind of an extortion victim is relevant in Hobbs Act cases. See United States v. Stirone , 311 F.2d 277, 280 (3d Cir. 1962) (“It is well settled that testimony showing the state of mind of the victim is permitted in Hobbs Act cases.”); see also United States v. Dozier , 672 F.2d 531, 542 (5th Cir. 1982) (“[T]he victim’s fearful state of mind is a crucial element in proving extortion.” (quoting United States v. Hyde , 448 F.2d 815, 845 (5th Cir. 1971))); United States v. Craig , 573 F.2d 513, 520 (7th Cir. 1978) (“We believe that the state of mind testimony of the victims was admissible to show that the victims’ consent was induced by defendant’s office.”).
[5] Repak argues that comments about his affair made by the Government attorney during closing arguments also prejudiced him. That argument is better framed as a claim of prosecutorial misconduct, and we address it below in that context.