Rice v. United States

• Decision Date: 28 February 1966
• Docket Number: No. 17933.,17933.
• Parties: Lawrence RICE and Walter Chipman, Appellants, v. UNITED STATES of America, Appellee.
• Court: U.S. Court of Appeals — Eighth Circuit

356 F.2d 709 (1966)

Lawrence RICE and Walter Chipman, Appellants, v. UNITED STATES of America, Appellee.

No. 17933.

United States Court of Appeals Eighth Circuit.

February 28, 1966.

Herbert M. Wachtell, of Wachtell, Lipton, Rosen, Katz & Kern, New York City, made argument for appellants and filed brief with James J. Courtney, Jr., Duluth, Minn., Victor G. Hanson, Detroit, Mich., Don C. Miller, Cleveland, Ohio, and Alfred J. Weinberg, Duluth, Minn.

Sidney P. Abramson, Asst. U. S. Atty., Minneapolis, Minn., and Patrick J. Foley, Asst. U. S. Atty., Minneapolis, Minn., made argument for appellee and filed brief.

Before VAN OOSTERHOUT, BLACKMUN and MEHAFFY, Circuit Judges.

MEHAFFY, Circuit Judge.

Defendants, Lawrence Rice and Walter Chipman, were convicted by a jury on Count II of a multicount indictment charging conspiracy to intimidate and impede witnesses in a proceeding before the National Labor Relations Board by the use of threats and force in violation of 18 U.S.C.A. §§ 371 and 1505.¹ Co-defendants Kevin Ryan and Donald Bensman were acquitted on all counts. Count II specifically noted twenty-three overt acts of intimidation of Edward Jameros, William Babbitt and Charles Corlett, commencing July 1, 1962 and continuing through October 4, 1962. The alleged acts ranged from telephone threats to physical assaults on the persons of Jameros, Corlett and Albert Shinski.

The record evidence comprises several volumes despite the absence of any testimony or evidence in behalf of defendants. A complete summary is unnecessary and we recite only the salient facts.

Rice was a patrolman for the Atlantic, Gulf, Lakes and Inland Waters District of the Seafarers International Union (SIU). Ryan was an organizer and Bensman was Duluth port agent for the SIU's Great Lakes District beginning August, 1962. Chipman, Jameros, Babbitt, Corlett and Shinski were all seamen and members of the Great Lakes District of SIU.

On July 23, 1962, Jameros and Babbitt filed individual charges with the NLRB against Dunbar and Sullivan Dredge Company and the Inland Boatmen's Union (IBU), asserting discrimination in shipping assignments. In "early August" Babbitt was visited at his home in Duluth by Rice, Chipman and a man known only to Babbitt as "Smoky". Babbitt "wasn't exactly asked to drop the charge," but either Rice or Chipman "said it looked like kind of bad publicity * * for the union, brother members fighting amongst theirselves and internal arguments and stuff like that."

On August 4, 1962, Chipman telephoned Jameros in Duluth and asked that he drop his charges. Chipman added that the IBU was upset about the charges and that if Jameros would go to Detroit and contact a certain SIU official, Jameros might "get a ship out of it."

On August 8, 1962, following a conference with union officials and a representative of the NLRB, both Jameros and Babbitt withdrew the charges upon assurance by the NLRB representative that the papers would be kept in a closed file and could be reinstated at some future date if desired.

In "mid-September" of 1962, Chipman, Rice and Ryan visited Corlett in the latter's home. Corlett indicated he might go to the Labor Board in an effort to get back on the dredges and was advised by Chipman that "it wouldn't be very smart to go to the Labor Board." The conversation was animated and without threats.

Evidently feeling that they were continuing to be passed over for jobs in favor of IBU members, Jameros and Corlett filed additional charges with the NLRB on September 26, 1962. These later charges were withdrawn on October 11, 1962 after Jameros and Corlett were brutally assaulted at the union hall in Duluth, Minnesota on October 1.

On September 30, 1962, four days after Jameros and Corlett filed the later charges, Rice and Chipman, accompanied by Dale Lucia, drove from Alpena, Michigan to Duluth, Minnesota, for the ostensible purpose of picketing a Hanna Company ship, the Weir.² The trio registered at a hotel in Duluth and the next morning, October 1, met with Ryan and Bensman who accompanied them to Superior, Wisconsin to search for the Weir. Finding neither the Weir nor any other Hanna vessel, the group returned to Duluth where they shot pool and went to a movie before going to the union hall about 6:00 p. m. Rice, Chipman and Lucia remained in an unlighted area adjacent to the hall while Ryan attended and Bensman officiated.

Without relating the specific statements, at least an inference arises indicating that special efforts were made to see that Jameros and Corlett were in attendance. At the meeting a discussion began concerning seamen filing charges with the NLRB. It soon turned into a heated argument with Ryan cursing Corlett for taking his grievances to the Labor Board and concluding with Ryan knocking Corlett to the floor where "they put the boots to him." Jameros was hit in the face by Rice who along with Chipman and Lucia had entered from the adjacent room. Jameros saw the blow coming and ascertained that Rice had a metal band around his hand. About this time, someone yelled, "brass knucks." Jameros regained consciousness in a Duluth hospital an hour and ten minutes after the blow. Rice was heard to remark, "this is what's going to happen to any finks that goes before the National Labor Board with any beefs. The SIU will handle their own beefs." Rice, Chipman and Lucia then drove nonstop back to Alpena, Michigan.

The intimidation that previously had been confined to suggestive threats ripened into brutal force and undoubtedly resulted in the accomplishment of its purpose, for thereafter on October 11, 1962 Jameros and Corlett withdrew the charges filed with the Labor Board.

In the interim Chipman, on October 4, hit Shinski who had also been complaining of being passed over in job assignments and who had attended the original meeting that resulted in withdrawal of the first two charges. Shinski received a cut over his eye requiring several sutures.

Jameros withdrew his charges because "he was scared, and * * * wanted to get enough time * * * to get out, take his family out, and try to protect himself and family as much as possible."

Corlett, who was a reluctant witness, was also afraid when he accompanied Jameros to the hospital after the attack in the union hall. He made efforts to obtain a gun permit through an enforcement officer for the NLRB and when advised that this would be impossible, Corlett refused to relate the details of the fistic encounter and the following day withdrew his charges.

Since withdrawal of the second charges, no further action was presented to or taken by the Labor Board. A crucial question is presented as to whether, within the meaning of § 1505, there was a proceeding pending before the Labor Board, so as to constitute a basis for criminal indictment. For reasons hereinafter stated, we hold that there was a proceeding pending before the Labor Board.

Defendants argue that the indictment does not allege an offense, as only a charge, as opposed to a formal complaint by the general counsel, had been filed before the Labor Board; thus, it is maintained there was no "proceeding pending" before the Board.

The Government counters with the assertion that the Board's regulations demonstrate that a "proceeding" was pending and additionally submit that the requirement of a pending proceeding under § 1505 is not applicable since the defendants were convicted for a conspiracy to violate the criminal statute rather than the substantive crime.

On this issue, the answer lies in the meaning of the term "proceeding" as used by the Congress in the enactment of § 1505. In construing statutes, this court will give the words of the statute their plain meaning unless there is a compelling reason to ascribe some different meaning to the language used by Congress. We said in Sternberg Dredging Co. v. Walling, 158 F.2d 678, 681 (8th Cir. 1946):

"In the interpretation of a statute its words are to be taken according to the meaning given them in common useage, unless to do so produces an absurd result or one which defeats the purpose for which the Act was passed."

"Proceeding" is a comprehensive term meaning the action of proceeding — a particular step or series of steps, adopted for accomplishing something. This is the dictionary definition as well as the meaning of the term in common parlance.³ Proceedings before a governmental department or agency simply mean proceeding in the manner and form prescribed for conducting business before the department or agency, including all steps and stages in such an action from its inception to its conclusion.

In our view, it would be absurd to hold that Congress meant to proscribe interference with the administrative process only after a Labor Board proceeding had reached a certain formal stage and let go unpunished individuals who obstruct earlier preliminary proceedings by frightening witnesses into withdrawing charges out of fear for their lives. Congress clearly intended to punish any obstruction of the administrative process by impeding a witness in any proceeding before a governmental agency — at any stage of the proceedings, be it adjudicative or investigative. Congress did not limit the term "proceeding" as used in § 1505 to only those acts committed after a formal stage was reached, and we cannot so limit the term.

It is singular to note that the Labor Board's regulations refer to its investigative aspects as being "proceedings." The pertinent language of the regulations is "in the investigation and in all other stages of the proceedings * * *." Rule 29 C.F.R. 101.4 (emphasis supplied)

Governmental agency proceedings frequently embrace both investigative and adjudicative proceedings. This is referred to by the Supreme Court in Hannah v. Larche, 363 U.S. 420, 446, 80 S.Ct. 1502, 4 L.Ed.2d 1307 (1960). The issue here was not present in Hannah, but it is noted that Chief Justice Warren referred to both investigative and adjudicative...