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Full Opinion
A string of assaults in several Amish communities in Ohio gave rise to this prosecution under Section 2 of The Matthew Shepard and James Byrd, Jr. Hate Crimes Prevention Act of 2009. The assaults were not everyday occurrences, whether one looks at the setting (several normally peaceful Amish communities), the method of attack (cutting the hair and shaving the beards of the victims), the mode of transportation to them (hired drivers), the relationship between the assailants and their victims (two of them involved children attacking their parents), or the alleged motive (religious-based hatred between members of the same faith). A jury found that four of the five attacks amounted to hate crimes under the Act and convicted sixteen members of the Bergholz Amish community for their roles in them.
At stake in this appeal is whether their hate-crime convictions may stand. No one questions that the assaults occurred, and only a few defendants question their participation in them. The central issue at trial was whether the defendants committed the assaults âbecause ofâ the religion of the victims. 18 U.S.C. § 249(a)(2)(A). In instructing the jury on this point, the district court rejected the defendantsâ proposed instruction (that the faith of the victims must be a âbut forâ cause of the assaults) and adopted the governmentâs proposed instruction (that the faith of the victims must be a âsignificant factorâ in motivating the assaults). Regrettably for all concerned, a case decided after this trial confirms that the court should have given a but-for instruction on causation in the context of this criminal trial. Burrage v. United States, â U.S.-, 134 S.Ct. 881, 887-89, 187 L.Ed.2d 715 (2014). Because this error was not harmless, and indeed went to the central factual debate at trial, we must reverse these convictions.
I.
In 1995, Samuel Mullet bought land in Jefferson County, Ohio. That land became the Bergholz Amish community in 2001, when a sufficient number of ordained ministers qualified it as a separate Amish church district. The new community appointed Samuel as its bishop. As bishop, Samuel controlled all aspects of life in the Bergholz compound and had the ability to order the âshunningââexcommunicationâ of community members who failed to follow the tenets of their Amish faith. R. 540 at 292.
In 2006, Samuel excommunicated several church members who questioned Ber-gholz community practices and his leadership. Included in the group were Lavern and Mattie Troyer, whose son Aden was married to Samuelâs daughter Wilma, as well as Melvin and Anna Shrock, whose son Emanuel was married to Samuelâs daughter Linda. The excommunications were not good for relationships between and within the affected families. In one case, they led to a divorce. Aden left Wilma to join his parents in a Pennsylvania Amish community after unsuccessfully trying to convince her to join him. In another case, they led to parent-child animosity. Emanuel refused to leave Ber-gholz with his parents despite their repeated efforts to persuade him to do so.
The Bergholz excommunications also tested church doctrine. Amish communities as a general rule practice strict shunning, meaning that if one Old Order Amish community excommunicates a community member, all other Old Order communities must excommunicate him until he obtains forgiveness from the community that first shunned him. The Bergholz excommunications proved to be an exception. After
At the same time that the ruling allowed the Troyers to settle into their new Pennsylvania community, it also exacerbated a custody battle between Wilma and Aden over their two children. The dispute began when a SWAT team took the children under an emergency temporary custody order issued to Aden. It ended two years, and one trial, later when Adenâs temporary custody of the children became permanent in an order declaring that â[a]ll parenting time shall be in Pennsylvania. Under no circumstances shall parenting time take place in Bergholz, Ohio.â Id. at 152.
Losing Wilmaâs children brought the Bergholz community to its knees and sparked a change in their faith-based traditions. Typically, Amish men do not trim their beards and Amish women do not cut their hair as a way of symbolizing their piety, demonstrating righteousness and conveying an Amish identity. Believing that the loss of Wilmaâs children resulted from their lack of faith, several Bergholz residents cut their own hair and trimmed their own beards as a way to atone for their sins. The Bergholz community saw these acts as penance and as a symbol of rededication to their faith.
The Bergholz community did not confine this ritual to their own ranks. They also used it to punish or harm others who were not members of the church district. From September 6 to November 9, 2011, several Bergholz community members committed five separate attacks on nine different individuals, slicing off the menâs beards and cutting the womenâs hair. Religious and personal ties connected the nine victims of these attacks to the Bergholz community. Some were parents of Bergholz residents, some were friends, and some were associated with family members who had left Bergholz for other Amish districts. Also linking the victims was that they participated in overturning the Bergholz excommunications and that, in the eyes of the assailants, they were âAmish hypocrites.â R. 539 at 35; R. 540 at 11-12.
A federal grand jury indicted sixteen members of the Bergholz community for violating, and conspiring to violate, the Hate Crimes Prevention Act: Samuel Mullet, Johnny Mullet, Daniel Mullet, Lester Mullet, Levi Miller, Eli Miller, Emanuel Shrock, Lester Miller, Raymond Miller, Freeman Burkholder, Anna Miller, Linda Shrock, Lovina Miller, Kathryn Miller, Emma Miller and Elizabeth Miller. It also indicted Samuel Mullet, Levi Miller, Eli Miller and Lester Mullet for concealing evidence and indicted Samuel Mullet for making false statements to the FBI.
In responding to the hate-crime charges at trial, none of the Bergholz defendants disputed that the assaults happened, and few disputed that they participated in them. To prove that the defendantsâ actions amounted to a federal hate crime, though, the prosecution had to show that the defendants assaulted the victims and that they assaulted the victims âbecause ofâ their religious beliefs. See 18 U.S.C. § 249(a)(2)(A). That extra burden gave rise to a central issue at trial: Why did the defendants assault these individuals? The defendants argued that a mix of interper
The jury sided with the prosecution on four assaults and with the defense on one of them. All told, it convicted all sixteen defendants of at least one violation of the hate-crime statute. It also convicted three of the defendants (Samuel Mullet, Eli Miller and Lester Mullet) on the concealing-evidence charge and convicted Samuel Mullet on the false-statements charge. All sixteen defendants appeal their hate-crime convictions. None of the defendants challenges their convictions for concealing evidence and lying to the FBI.
II.
The Bergholz defendants raise a number of issues on appeal. Because our resolution of one issueâwhether the district court properly instructed the jury on the motive element of the crimeâmakes it unnecessary to address most of the others, we start with that claim of error.
The federal hate-crime statute prohibits âwillfully causing] bodily injury to any person ... because of the actual or perceived ... religion ... of [that] person.â 18 U.S.C. § 249(a)(2)(A). Of note here, the crime contains a motive element, requiring the government to show that the defendant attacked the victim âbecause ofâ the victimâs âactual or perceivedâ religion. Id. The district court instructed the jury that the motive element could be satisfied by showing that âa personâs actual or perceived religion was a significant motivating factor for a [defendant's actionâ âeven if he or she had other reasons for doing what he or she did as well.â R. 542 at 28-29. In taking issue with this instruction, the defendants argue that the phrase âbecause ofâ requires but-for causationâa showing that they would not have acted but for the victimâs actual or perceived religious beliefs. The defendants have the better of the argument.
In everyday usage, the phrase âbecause ofâ indicates a but-for causal link between the action that comes before it and the circumstance that comes afterwards. John carried an umbrella because of the rain. Jane stayed home from school because of her fever. Dictionary definitions of the phrase reflect this common-sense understanding: âBecause ofâ means âby reason ofâ or âon account ofâ the explanation that follows. Websterâs Second New International Dictionary 242 (1950); see also Oxford English Dictionary, âbecause â (2012). Put in the context of this statute, a defendant âcauses bodily injury to a[ ] person ... because of [that personâs] actual or perceived ... religion,â 18 U.S.C. § 249(a)(2)(A), when the personâs actual or perceived religion was a but-for reason the defendant decided to act.
Consistent with these definitions, the Supreme Court has âinsiste[d]â that âstatutes using the term âbecause of â require a showing of âbut-for causality.â Burrage, 134 S.Ct. at 889. It has applied this requirement in criminal and civil cases alike. See id. at 888-89 (criminal); Univ. of Tex. Sw. Med. Ctr. v. Nassar, â U.S. -, 133 S.Ct. 2517, 2528, 186 L.Ed.2d 503 (2013) (civil); Gross v. FBL Fin. Servs., Inc., 557 U.S. 167, 176-77, 129 S.Ct. 2343, 174 L.Ed.2d 119 (2009) (civil); Safeco Ins. Co. of Am. v. Burr, 551 U.S. 47, 63-64 & n. 14, 127 S.Ct. 2201, 167 L.Ed.2d 1045 (2007) (civil). And it maintains this requirement regardless of whether âbecause ofâ refers to an easier-to-show prohibited act or a harder-to-prove prohibited motive. See
Our court has said the same thing. We have held that the Courtâs interpretation of âbecause ofâ in prior cases âpoints the wayâ to the correct interpretation of that same phrase in later cases dealing with different statutes. Lewis v. Humboldt Acquisition Corp., 681 F.3d 312, 321 (6th Cir.2012) (en banc). â[B]ecause ofâ in brief means what it says: The prohibited act or motive must be an actual cause of the specified outcome.
That conclusion makes good sense in the context of a criminal case implicating the motives of the defendants. The alternative proposed definition of the phrase (âsignificant motivating factorâ) does not sufficiently define the prohibited conduct. How should a jury measure whether a specific motive was significant in inspiring a defendant to act? Is a motive significant if it is one of three reasons he acted? One of ten? âUncertainty of [this] kind cannot be squared with the beyond-a-reasonable-doubt standard applicable in criminal trials or with the need to express criminal laws in terms ordinary persons can comprehend.â Burrage, 134 S.Ct. at 892 (rejecting the âsubstantialâ or âcontributingâ factor test). Even if there were some doubt over which of these definitions Congress had in mind, which we do not think there is, the rule of lenity would require us to adopt the more lenient of the two in a criminal case. See id. at 891; see also id. at 892 (Ginsburg, J., concurring in the judgment). In point of fact, the members of the Court who do not think âbecause ofâ means but-for causation in the setting of a civil statute, Nassar, 133 S.Ct. at 2546 (Ginsburg, J., dissenting), agree that it requires but-for causation in the setting of a criminal statute in view of the rule of lenity, see Burrage, 134 S.Ct. at 892 (Ginsburg, J., concurring in the judgment).
Any standard that requires less than but-for causality, moreover, treads uncomfortably close to the line separating constitutional regulation of conduct and unconstitutional regulation of beliefs. The government may punish âbias-inspired conduct â without offending the First Amendment because bigoted conduct âinflict[s] greater individual and societal harm.â Wisconsin v. Mitchell, 508 U.S. 476, 487-88, 113 S.Ct. 2194, 124 L.Ed.2d 436 (1993) (emphasis added). But punishment of a defendantâs âabstract beliefs,â no matter how âmorally reprehensibleâ they may be, violates the First Amendment. See Dawson v. Delaware, 503 U.S. 159, 167, 112 S.Ct. 1093, 117 L.Ed.2d 309 (1992). Requiring a causal connection between a defendantâs biased attitudes and his impermissible actions ensures that the criminal law targets conduct, not bigoted beliefs that have little connection to the crime.
What seems clear to us today, we must acknowledge, might not have looked as clear at the time of trial. It was not until 2014, when the Court decided Burrage, that several contours of this debate came into focus. In deciding that the phrase âresults fromâ in a criminal statute re
III.
The government challenges this conclusion on several grounds, each unconvincing.
A.
The government maintains that the defendants forfeited this argument and that the strictures of plain-error review thus apply. No forfeiture occurred. The district court addressed jury instructions twice, at the beginning and the end of the trial. Before trial, the district court acknowledged that â[s]ome [defendants] suggested ... the âbut forâ â instruction. R. 314 at 26. It then rejected the request, reasoning that it would be âimpossibleâ âto ask the jury to determine beyond a reasonable doubt the defendants] would not have done this but-for the victimâs religion or perceived religion.â Id. at 25-26. The defendants renewed this objection as the trial came to a close. The courtâs response remained the same: It âunderst[oo]d ... that the [defendants [we]re requesting a âbut forâ instruction as a fall back from exclusive motivation, and ... declined] to give thatâ because it âd[id]nât quite see how [the government] could prove [âbut forâ causation] beyond a reasonable doubt.â R. 541 at 247-48. Twice the defendants objected to the district courtâs explanation of the motive requirement, twice they requested a âbut forâ instruction, and twice the district court rebuffed their request. The defendants sufficiently âinform[ed] the court of thefir] specific objection and the grounds for th[at]' objection,â Fed. R.Crim.P. 30(d), and thus preserved the error for appeal.
B.
Turning to the merits, the government contends that, before passage of the Hate Crimes Prevention Act in 2009, other courts had construed âbecause ofâ to mean âsignificant motivating factorâ in related statutes and that Congress meant to incorporate that definition here. Appellee Br. 105-08. But this argument overlooks the vintage of the cited casesâUnited States v. McGee, 173 F.3d 952 (6th Cir.1999), United States v. Ebens, 800 F.2d 1422 (6th Cir.1986), and United States v. Bledsoe, 728 F.2d 1094 (8th Cir.1984)â-which all predate Gross and Burrage. And it overlooks the reality that none of the three cases addressed the possibility that âbecause ofâ required but-for causation, see McGee, 173 F.3d at 957; Ebens, 800 F.2d at 1429; Bledsoe, 728 F.2d at 1097-98, making it difficult to understand how they could have provided a model for the 2009 law on this issue.
The government separately points to a case involving Section 1 of the Hate Crimes Prevention Act and argues that it shows âbecause ofâ means âsubstantial motivating factorâ in Section 2 of the statute. See United States v. Maybee, 687 F.3d 1026, 1032 (8th Cir.2012). But that court, too, never addressed the possibility that the phrase âbecause ofâ in the statute might require but-for causation, id. at 1031-32, offering no reason to listen to it here. All roads lead to the same conclusion: For an assault to be a federal hate crime, the victimâs protected characteristic must be a but-for cause behind the defendantâs decision to act.
C.
Even if the district court incorrectly instructed the jury on this score, the government adds, any error was harmless. But motive played a starring role at trial, and the defendants presented evidence of other, non-religious motives for the assaults. The error was not harmless.
To be harmless, it must âappearf ] beyond a reasonable doubt that the error complained of did not contribute to the verdict obtained.â Neder v. United States, 527 U.S. 1, 15, 119 S.Ct. 1827, 144 L.Ed.2d 35 (1999) (internal quotation marks omitted). On the one hand: If âa defendant did not, and apparently could not, bring forth facts contesting the omitted element,â that would establish the harmlessness of the error. Id. at 19, 119 S.Ct. 1827. On the other hand: If the court âcannot conclude beyond a reasonable doubt that the jury verdict would have been the same absent the errorâfor example, where the defendant contested the omitted element and raised evidence sufficient to support a contrary findingâ[the court] should not find the error harmless.â Id. This case is more like the second hand. Motive was the key issue the defendants presented to the jury, and they presented enough evidence to support a finding in their favor on this score. Consider the evidence relating to each of the four assaults (out of five) that led to convictions.
1.
The defendants perpetrated the first hair-shearing and beard-cutting attack against Martin and Barbara Miller in September 2011. According to the defendants, this attack was ânot about religionâ but âabout bad parenting.â R. 542 at 106.
Evidence backed up their position. The Millers were attacked by their children
On top of this, only the Millerâs children and their spouses perpetrated the beard cutting, and the children did not attack the Millers until four years after the Millers left Bergholz for another Amish sect, the key faith-based dispute in the community. R. 528 at 210 (Barbara Miller). Several intervening personal disagreements, described in part above, arose after the Millers left Bergholz, providing alternative motives for the assaults. The children, indeed, yelled accusations about âbeing rotten parentsâ during the attack. Id. at 243-44 (Barbara Miller). And many witnesses testified that bad-parenting disputes inspired the assault. See, e.g., R. 529 at 103 (Nancy Burkholder); R. 537 at 238 (Daniel Shrock); R. 538 at 247-48 (Melvin Shrock, Jr.).
Did some of this strife stem from religious discord? No doubt. But untangling the role of religion, family, personality and other issues in the assaults was the point of the trial. Just because the Millers and their children disagreed about the tenets of their religion and how to practice it does not make the Millersâ religious beliefs a but-for cause of their childrenâs attack on them. A failure of a child to meet the expectations of a parent (or the reverse)â whether those expectations stem from faith, tradition, vanity, familial hierarchy or something elseâis hardly an unusual source of discord between parents and children. A jury could reasonably have found that the Millersâ constant criticism and rejection of their children, not the childrenâs disagreement with their parentsâ faith, spawned the attacks.
How could this be, the government responds, given the religious nature of the attacks: cutting the hair or beards of the victims? But assaults involving religious symbolism do not invariably stem from religious motives. Imagine that an adult male assaults a child. The father of the child confronts the man. After yelling at the man over what he has done, the father violently grabs a cross pendant hanging from the manâs neck, yelling âYou hypocrite,â and injures the manâs neck in the process. The religious nature of the cross
Keep in mind, moreover, what happened in this case. Despite the presence of beard cutting in all five indicted assaults under the Hate Crimes Prevention Act, the jury convicted the defendants of only four hate-crime violations. We will never know why the jury did what it did. But the mixed verdict casts some doubt on the idea that a faith-inspired manner of assault necessarily equals a faith-inspired motive for assault.
Nor is it fair to say that, because faith permeates most, if not all, aspects of life in the Amish community, it necessarily permeates the motives for the assaults in this case, no matter how mundane the personal, power, or getting-oneâs-way disputes that formed the backdrop to these assaults. Even people of the most theocratic faith may do thingsâincluding committing crimesâfor non-faith-based reasons. And even ostensible faith leaders, whether Samuel Mullet or Henry VIII, may do things, including committing crimes or even creating a new religion, for irreligious reasons.
2.
Another attack, this one on Melvin and Anna Shrock, was of a piece with the first one. According to the defendants, it too stemmed from family discord. Emanuel resented his parentsâ constant scorn and criticism, and on the night of the November attack he thought âhis dad was lying to him,â he was âupset that [his parents] called the policeâ before coming to his house, and he disliked the way âhe perceived his father reacting to himâ when he pressed his father to accept his decision to stay in Bergholz. R. 542 at 164-66.
Like the attack on the Millers, the assault on the Shrocks involved only immediate family. The perpetrators were the Shrocksâ son Emanuel, his wife Linda, and two of the Shrocksâ grandchildren. R. 539 at 208-09. The defendants attested to their frustration with Melvin and Annaâs constant criticism of them and claimed that this is why they attacked them. Daniel Shrock, one of Emanuelâs sons and a participant in the assault, testified that Emanuel wanted to cut Melvinâs beard because he kept âwriting us letters and trying to get us to move out [of Bergholz]â and because he implied that Bergholz was a cult by âsen[ding the family] a cult book at one time.â R. 537 at 208-09. Daniel added that Emanuel would not have cut Melvinâs beard if he had admitted he was âwrong about the things he ha[d] said about Bergholz and the way [the Bergholz community] practice^] [its] faith.â Id. at 212, 279. Melvin Shrock, Jr., the other son who participated in the assault, echoed
Witnesses also testified that Melvinâs decision to bring law enforcement to Emanuelâs home may have been the final straw that drove Emanuel to act. Samuel Mullet told the police that Emanuel attacked Melvin âbased upon the fact that the sheriff was there ... [and] out of anger[ ] that the sheriff was there.â R. 540 at 220. Immediately after the attack, Linda suggested much the same motive when recounting events to the women. As she explained it, âMelvin had taught Emanuel not to go to the law. And he does exactly the opposite and comes with the sheriff. So Emanuel decided to take his hair and beard.â R. 529 at 98.
Emanuelâs actions give these statements credence. Emanuel wrote his parents and told them he felt like âthe black sheep in the familyâ and was âhav[ing] a hard time trustingâ them, and he asked his parents to drop their efforts to convince him to leave Bergholz. R. 539 at 194, 196-97. When his parents came to visit and sent the sheriff into his house, he âgot upsetâ and âmad.â R. 539 at 222. Despite this, the family had a âfriendlyâ meal together until the conversation turned into an argument between Emanuel and his father about Bergholz. R. 539 at 174, 206-07. âEmanuel ... ask[ed] his father a couple of questions, and [he felt] his father was lying to him.â R. 539 at 44. When Emanuel tried to get Melvin to admit that he was wrong about Bergholz, Melvin âmade fun of [Bergholz] in a wayâ and told Emanuel that the community would fall apart as he had predicted if Emanuel âjust wait[ed] a little while.â R. 537 at 270-71. ' Only then did Emanuel âg[e]t the scissorsâ and âcut [his fatherâs] hair and beard offâ while telling him âmaybe this will help you.â R. 539 at 44-45; see also R. 537 at 212, 271. As with the attack on the Millers, considerable evidence would permit a reasonable jury to find that intra-family conflict motivated Melvin and Annaâs assault.
3.
The defendants likewise framed the attack on Raymond, Andy and Levi Hersh-berger as stemming from interpersonal conflicts. Johnny Mullet, Samuelâs son, led the attack on Raymond Hershberger and his family purportedly to avenge harms done to his sister Wilma. Johnny targeted Raymond Hershberger in particular because he reversed the Troyersâ excommunications, eliminating âthe possibility that [Johnnyâs - sister] Wilma and her husband [Aden] would reuniteâ and resulting in âWilmaâs children [being] taken from her in a custody dispute.â R. 542 at 178-79.
The evidence at trial made the custody-dispute motive for this assault plenty plausible. Several witnesses testified that the loss of Wilmaâs children deeply upset the communityâenough so that some members may have resorted to retaliatory violence. See, e.g., R. 529 at 34 (Barbara Miller); R. 539 at 115-16 (Johnny Mast); R. 540 at 58-59 (Barbara Yoder). As these witnesses described it, the âcommunity was in strifeâ over the loss of Wilmaâs two little girls, R. 529 at 34, and the community members âwere upset because they
The defendantsâ confessions tied the communityâs grief over the loss of Wilmaâs children to their decision to attack Raymond and his family. When Johnny confessed to the attack against Raymond, he briefly talked about Raymondâs involvement in reversing the Troyersâ excommunications and how it affected Wilmaâs two daughters. R. 588 at 161. So too did other confessed participants. Danny Mullet expressed anger that the Hershbergers âsided with the guys that kidnapped [Wilmaâs] little girls,â id. at 173, and Eli Miller mentioned the â[t]wo little girlsâ and âthe custody issueâ in his police interrogation, id. at 204. The officer who arrested the other defendants involved in the Hershber-ger assault (Levi Miller, Lester Mullet, and Lester Miller) admitted that â[a] few [of those defendants] had mentioned a custody caseâ when discussing the assaults too, but he did ânot know which ones for sure.â R. 538 at 105; see also id. at 75-76. Most, if not all, of the defendants referenced the custody dispute as a motive for the Hershberger assaults. As for those who did not, a jury could reasonably infer that they shared the same motive as the other confessed participants given that they agreed to carry out the attack as a group. All of this evidence considered, a reasonable jury could find that the government did not show beyond a reasonable doubt that a but-for cause of the attack on the Hershbergers was their faith, as opposed to other considerations, including the loss of Wilmaâs children.
4.
As with the Hershbergers, Johnny Mullet argued that he led the assault on Myron Miller to avenge harm done to another of his siblings, Bill Mullet. He targeted Myron Miller for the assault because he âhelp[ed]â Bill âmove outâ of Bergholz and then kept him from âcommunicating] with [his] familyâ and forced him to return a horse and buggy that their father Samuel had sent as gifts. R. 542 at 179.
Ample evidence supported this theory. Myron Miller admitted that the events Johnny complained about had transpired. According to him, he âhelped [Bill] move outâ of Bergholz, R. 537 at 11, he advised Bill to âcut tiesâ with his family in Ber-gholz, id. at 19, and just one week before the attack, he âwarned [Bill] if he d[id]nât reject [the horse and buggy], he [could] not take communion with the church,â id. at 22. Witnesses tied the assaults to these events. Melvin Shrock, Jr., said that the men attacked Myron Miller â[b]ecause of the way he was treating my Uncle Bill Mullet.â R. 538 at 237. Johnny Mast echoed the point: The men targeted Myron Miller because of â[t]he way he was treating my Uncle Bill.â R. 539 at 37. Myron Miller himself believed the attack occurred because âin the Bergholz community membersâ eyes, [he was] treating Bill[] bad[ly] and the precipitating event was the week before ... [he] ordered Bill[] to turn the horse and buggy back over to the Bergholz Amish community.â R. 537 at 75.
Myron Miller, to be sure, saw the horse- and-buggy dispute as a âreligious issue,â but only because he did not make the decision to order their return alone. As bishop, he sought the advice of the community, and everyone in his church district had agreed with him that Bill should not keep the horse and buggy. Myron Millerâs classification of the dispute, though, sheds little light, least of all controlling light, on how the defendants saw the matter or how a jury might see it. A jury could reasonably side with the defendants, classifying the horse-and-buggy rebuff as a personal
5.
What of Samuel Mulle