United States v. Chestnut
United States v. Chestnut
Opinion of the Court
OPINION
The defendant, Jack L. Chestnut, is under indictment upon a charge that he willfully and knowingly accepted and received, and did cause another to accept and receive, a corporate contribution to Hubert H. Humphrey’s 1970 senatorial campaign, in violation of 18 U.S.C., sections 610 and 2. He now moves to dismiss the indictment on three grounds: (1) it violates the ex post facto clause of the United States Constitution;
THE INDICTMENT
The indictment charges that from February 1, 1970 to November 3, 1970, within which period Hubert H. Humphrey was a candidate for the nomination of the Democratic-Farmer-Labor party for the office of United States Senator from the State of Minnesota, and later its candidate for that office, the defendant was Humphrey’s campaign manager; that from on or about March 1, 1970 to on or about June 25, 1970 the defendant willfully and knowingly accepted and received a contribution from a corporation, American Milk Producers, Inc. (“AMPI”), on behalf of the Humphrey campaign; that this was accomplished by the defendant’s arranging with AMPI’s corporate officials that AMPI would pay the advertising firm of Lennon & Newell, Inc. (“L & N”) for one month’s services rendered by L & N to the Humphrey campaign; that the defendant arranged with an official of L & N that it would prepare invoices addressed to AMPI for one month’s services rendered to the Humphrey campaign; that the defendant forwarded and caused to be forwarded these invoices to AMPI and further that he forwarded and caused to be forwarded to L & N two checks drawn on corporate accounts of AMPI, each payable to L & N in the sum of $6,000, dated June 1 and June 11, 1970, respectively. .
Against the background of the indictment’s charges we consider each branch of his motion.
I
That the indictment violates the ex post facto clause of the United States Constitution.
Defendant’s claim is that the indictment is based upon a statute not in existence at the time the acts charged in the indictment occurred. At that time, the year 1970, the statute read:
“It is unlawful for . . . any corporation ... to make a contribution or expenditure in connection with any election at which ... a Senator . . . [is] to be voted for, or in connection with any primary election or political convention or caucus held to select candidates for . . . [such office], or for any candidate, political committee, or other person to accept or receive any contribution prohibited by this section.”
“The term ‘contribution’ includes a gift, subscription, loan, advance, or deposit, of money, or anything of value . . . .”
“The term ‘expenditure’ includes a payment, distribution, loan, advance, deposit, or gift, of money, or anything of value . . . .”
The defendant, in support of his argument, observes that “expenditure” is the broader term since it adds “payment” and “distribution” to the words defining “contribution.”
In 1972 section 610 was amended by, inter alia, the inclusion of a definition of “contribution or expenditure”:
“As used in this section, the phrase ‘contribution or expenditure’ shall include any direct or indirect payment, distribution, loan, advance, deposit, or gift of money, or any services, or anything of value . . . .”2
At the same time section 591 was also amended as to the definition of the terms “contribution” and “expenditure.”
The indictment, as is customary, refers, at the end of the charging allegations to the statute as follows: “Title 18, United States Code, sections 610 and 2.” The defendant first argues that since this citation of section 610 at the end of the indictment, which was returned in December 1974, contains no reference to the official statutes at large or any indication that the indictment was grounded upon the 1970 version, therefore it was returned by the grand jury under the amended 1972 statute, even though the alleged violation occurred in 1970. However, this argument disregards the allegations as pleaded in the indictment. It charges simply that in 1970 during the time Humphrey was a senatorial candidate the defendant willfully and knowingly “did accept and receive ... a corporate contribution from AMPI on behalf of the aforesaid Humphrey campaign . . . .” The allegations of the indictment, not the statutory citation
The defendant advances other contentions to support his claim that in obtaining the indictment the prosecution and the grand jury proceeded under the statute now in effect and not as it existed in 1970. Here, he argues that the payment described in the indictment is an “indirect payment” from AMPI to the Humphrey campaign, and that only the 1972 version of section 610 contains any reference to an “indirect payment”; further, that the indictment refers to payment for “services” and the latter word also appears only in the 1972 amendment to section 610. Consequently, it is contended that necessarily the indictment was returned under the 1972 amendment. This contention is lacking in substance. The allegations which spell out the payment by AMPI to L & N for the services it rendered to the Humphrey campaign merely describe the details whereby it is charged the defendant engaged in artifice or subterfuge to conceal the receipt of the contribution. Instead of accepting and receiving the contribution directly from AMPI, the defendant allegedly conceived the method described whereby he received a contribution to the Humphrey campaign by arranging for AMPI to satisfy a debt owed by the Humphrey campaign to its advertising agency.
The defendant’s further contention is equally without substance. He stresses that the copy of the indictment attached to a press release issued by the prosecution contained a copy of the 1972 version of section 610. A press release does not validate or invalidate an indictment. As already noted, its validity is determined by its pleaded allegations. It is therefore immaterial what statute was attached to a press release or what statute was in the prosecutor’s mind when he obtained the indictment if the charges are embraced within a statute in force at the time of the alleged commission of the offense.
Finally, the defendant’s assertion that the events described in the indictment could only be illegal under the present amended version of section 610 rather than the 1970 version of the statute is conclusively refuted by the Supreme Court’s holding in Pipefitters Local Union No. 562 v. United States.
II
That the indictment fails to state an offense under section 610.
As already noted, the statute prohibits corporations from making “a contribution or expenditure,” but as to any person it makes it a crime only “to accept or receive” a prohibited “contribution.” The defendant’s challenge rests upon this distinction. He contends that while the indictment charges the acceptance and receipt of a campaign “contribution,” the payment described is in fact an “expenditure” and therefore its acceptance and receipt was not unlawful under the statute.
As the court understands the defendant’s argument, essentially it is that AMPI made a $12,000 “payment” to L & N for their services, and as such this was an “expenditure” by AMPI as that term is defined under the statute, not a “contribution.” The argument rests upon the definitions of “contribution” and “expenditure” contained in the 1970 version of section 591. The defendant stresses that “contribution” as there defined does not include a “payment,” whereas “expenditure” does. Since in his view the payment made to L & N was an “expenditure” by AMPI, no offense is stated. This rather strained argument, whereby the defendant concludes that the $12,000 payment was an expenditure, not a contribution, by AMPI, disregards the fact that the term “contribution” is defined under the 1970 version to include a “gift . . . of money, or anything of value . . . .” Clearly, picking up another’s obligation — here a Humphrey campaign debt to L & N — is a gift of money, in short, a contribution to the Humphrey campaign.
The legislative history of section 610 further demonstrates that the defendant’s contention is without merit. Section 610 was amended in 1947 by the Taft-Hartley Act
Here the indictment specifically charges that the defendant accepted and received and caused L & N to accept and receive money from AMPI for L & N’s bill for services rendered to the Humphrey campaign. In light of the statute’s history and the Supreme Court’s analysis and interpretation of it, this clearly constitutes the receipt of a “contribution.” Though the indictment charges that the defendant caused AMPI, upon his instructions, to make the checks payable to L & N and that he then forwarded or caused to be forwarded the checks to L & N, this does not change the character of the transaction. It is the substance of the transaction and not its form that controls. The defendant does not suggest that AMPI itself owed L & N any money. The Humphrey campaign, not AMPI, incurred the debt to L & N, and the $12,000 was paid to the latter to discharge the Humphrey campaign’s obligation to the advertising agency. No amount of rhetoric can obfuscate the substance of this simple charge that the defendant received on behalf of the Humphrey campaign a contribution, a “gift ... of money” from AMPI, by arranging for the payment of the debt owed by the Humphrey campaign to L & N. The indictment clearly charges an offense under the 1970 version of section 610 within the definition of a “contribution” in the 1970 version of section 591.
Further, under the allegations of the indictment that the defendant caused L & N to accept and receive the contribution from AMPI, the defendant is charged under section 2 of Title 18. If the defendant himself accepted and received the money from AMPI in checks payable to him or to the Humphrey campaign, he would have accepted and received a contribution in violation of section 610. Section 2 provides that one who willfully causes another to do that which, if directly done by him, would violate the law is punishable as a principal. Thus, the indictment states an offense under sections 610 and 2 in that it charges the defendant with causing Lennen & Newell to accept and receive a contribution to the Humphrey campaign from AMPI.
Ill
That Sections 610 and 591 are unconstitutional.
Defendant’s third argument is that the applicable versions of section 610 and section 591 are unconstitutional for two reasons: (1) because the language of the statutes is so vague that men of ordinary intelligence must guess as to their meaning, and (2) because the statutes’ overly broad prohibitions have an impermissible chilling effect on First Amendment rights.
A.
A criminal statute may be declared void for vagueness where a court
“The constitutional requirement of definiteness is violated by a criminal statute that fails to' give a person of ordinary intelligence fair notice that his contemplated conduct is forbidden by the statute. The underlying principle is that no man shall be held criminally responsible for conduct which he could not reasonably understand to be proscribed.”21
Entirely apart from consideration of a claim of due process violation based upon an alleged statutory infirmity of vagueness, a careful examination of a statute is required where it regulates conduct arguably affected with First Amendment interests. Stricter standards of definiteness apply here because when a man is required to act at his peril in this area, the free dissemination of ideas may be inhibited.
The 1970 versions of sections 610 and 591 meet the applicable standards of definiteness under due process and First Amendment requirements. Indeed, defendant has offered no support for his claim that the statutes did not give a fair warning as to the criminality of his alleged conduct. All that is required is that the language employed convey a reasonable degree of certainty adequate to inform him of what is or is not prohibited.
B.
Defendant also argues that the applicable versions of sections 610 and 591 unconstitutionally impair the First Amendment rights of free speech, free press, and the right to assemble and petition government.
Defendant acknowledges that the indictment on its face does not
Section 610, which grew out of a long series of congressional efforts dating back to 1907,
Union officials, members, corporate officers and stockholders are not barred by section 610 from participating in federal elections. Each is free to individually use his financial resources to the extent otherwise permitted by law. The statutory prohibition is only on funds derived from corporate treasuries and general union funds. In deciding the constitutionality of these prohibitions, the First Amendment rights of corporations and labor unions
The right of free association and the right to participate in political elections is not without its limits.
Defendant has presented no less restrictive alternative scheme of regulation that would protect the integrity of elections and the interests of minority union members and corporate shareholders. Given these legitimate governmental concerns, the statute is not overbroad in its scope. Defendant’s attack on the facial validity of section 610 must therefore fail.
Defendant’s motion is denied in all respects. The case will proceed to trial on May 5, 1975.
. Art. I, § 9, cl. 3.
. As amended Feb. 7, 1972, Pub.L. 92-225. Title II, § 205, 86 Stat. 10.
. 86 Stat. 8.
. The defendant’s claim that there was error in the citation because it did not specifically indicate a reference to the 1970 version is frivolous. Even if the court agreed that it was error not to cite the specific 1970 version of section 610, Rule 7(e) of the Federal Rules of Criminal Procedure provides that error in the citation shall not be a ground for dismissal of the indictment if the error did not mislead the defendant to his prejudice. The defendant is aware that the prosecution is grounded on section 610, but alleges that it is not clear under which version of the statute the indictment is brought. Since the disposition of this motion resolves the issue in advance of trial, clearly he is not prejudiced. United States v. Calabro, 467 F.2d 973, 981 (2d Cir. 1972), cert. denied, 410 U.S. 926, 93 S.Ct. 1357, 35 L.Ed.2d 587 (1973) ; United States v. Galgano, 281 F.2d 908, 910-11 (2d Cir. 1960) cert. denied sub nom., Carminati v. United States, 366 U.S. 960, 81 S.Ct. 1916, 6 L.Ed.2d 1253 and Galgano v. United States, 366 U.S. 967, 81 S.Ct. 1929, 6 L.Ed.2d 1257 (1961).
. United States v. Bethany, 489 F.2d 91, 93 (5th Cir. 1974).
. United States v. McKenney, 181 F.Supp. 143, 146 (S.D.N.Y. 1959), aff’d sub. nom., United States v. Galgano, 281 F.2d 908 (2d Cir. 1960), cert. denied sub nom., Carminati v. United States, 366 U.S. 960, 81 S.Ct. 1916, 6 L.Ed.2d 1253 and Galgano v. United States, 366 U.S. 967, 81 S.Ct. 1929, 6 L.Ed.2d 1257 (1961).
. United States v. Nixon, 235 U.S. 231, 235, 35 S.Ct. 49, 59 L.Ed. 207 (1914) ; United States v. Meyer, 266 F.2d 747, 753 (5th Cir.), cert. denied, 361 U.S. 875, 80 S.Ct. 138, 4 L.Ed.2d 113 (1959).
. United States v. Hutcheson, 312 U.S. 219, 229, 61 S.Ct. 463, 85 L.Ed. 788 (1941) ; Williams v. United States, 168 U.S. 382, 389, 18 S.Ct. 92, 42 L.Ed. 509 (1897) ; Paz Morales v. United States. 278 F.2d 598 (1st Cir. 1960) ; Pettway v. United States, 216 F.2d 106 (6th Cir. 1954) ; United States v. Kolodny, 149 F.2d 210 (2d Cir. 1945).
. 407 U.S. 385, 92 S.Ct. 2247, 33 L.Ed.2d 11 (1972).
. 407 U.S. at 399, 92 S.Ct. 2247.
. 407 U.S. at 410-11, 92 S.Ct. at 2262.
. Itself amended in 1972, 86 Stat. 8.
. 61 Stat. 159.
. See United States v. Auto Workers, 352 U.S. 567, 579-80, 77 S.Ct. 529, 1 L.Ed.2d 563 (1957) ; United States v. C.I.O., 335 U.S. 106, 115, 68 S.Ct. 1349, 92 L.Ed. 1849 (1948).
. S.Rep.No.101, 79th Cong., 1st Sess. 23.
. United States v. Auto Workers, 352 U.S. 567, 580-89, 77 S.Ct. 529, 1 L.Ed.2d 563 (1957).
. Id. at 589, 77 S.Ct. at 540.
. Id. at 585, 77 S.Ct. at 538.
. 18 U.S.C. § 591.
. United States v. National Dairy Products Corp., 372 U.S. 29, 32-33, 83 S.Ct. 594, 9 L.Ed .2d 561 (1963).
. United States v. Harriss, 347 U.S. 612, 617, 74 S.Ct. 808, 812, 98 L.Ed. 989 (1954).
. Cramp v. Board of Public Instruction, 368 U.S. 278, 287, 82 S.Ct. 275, 7 L.Ed.2d 285 (1961) ; Smith v. California, 361 U.S. 147, 151, 80 S.Ct. 215, 4 L.Ed .2d 205 (1959) ; Winters v. People of State of New York, 333 U.S. 507, 516-20, 68 S.Ct. 665, 92 L.Ed. 840 (1948).
. United States v. Pope, 189 F.Supp. 12, 21 (S.D.N.Y. 1960).
. Connelly v. General Const. Co., 269 U.S. 385, 391, 46 S.Ct. 126, 127, 70 L.Ed. 322 (1926).
. See Giaccio v. Pennsylvania, 382 U.S. 399, 402-03, 86 S.Ct. 518, 15 L.Ed.2d 447 (1966).
. United States v. Pipefitters Local Union No. 562, 434 F.2d 1116, 1123-24 (8th Cir. 1970), adhered to in en banc decision, 434 F.2d 1127, rev’d and vacated on other grounds, 407 U.S. 385, 92 S.Ct. 2247, 33 L.Ed.2d 11 (1972). See Broadrick v. Oklahoma, 413 U.S. 601, 607-08, 93 S.Ct. 2908, 37 L.Ed.2d 830 (1973) ; Civil Service Comm’n v. Letter Carriers, 413 U.S. 548, 578-79, 93 S.Ct. 2880, 37 L.Ed.2d 796 (1973).
. Broadrick v. Oklahoma, 413 U.S. 601, 608, 93 S.Ct. 2908, 2914, 37 L.Ed.2d 830 (1973).
. Two courts of appeals have upheld the constitutionality of § 610, United States v. Boyle, 157 U.S.App.D.C. 166, 482 F.2d 755, 763-64, cert. denied, 414 U.S. 1076, 94 S.Ct. 593, 38 L.Ed.2d 483 (1973) ; United States v. Pipefitters Local Union No. 562, 434 F.2d 1116 (8th Cir. 1970), adhered to in en banc decision, 434 F.2d 1127, rev’d and vacated on other grounds, 407 U.S. 385, 92 S.Ct. 2247, 33 L.Ed.2d 11 (1972).
. Lewis v. New Orleans, 415 U.S. 130, 133-34, 94 S.Ct. 970, 39 L.Ed.2d 214 (1974) ; Gooding v. Wilson, 405 U.S. 518, 92 S.Ct. 1103, 31 L.Ed.2d 408 (1972) ; Coates v. Cincinnati, 402 U.S. 611, 91 S.Ct. 1686, 29 L.Ed. 2d 214 (1971). See also Dombrowski v. Pfister, 380 U.S. 479, 491-92, 85 S.Ct. 1116, 14 L.Ed.2d 22 (1965).
. Broadrick v. Oklahoma, 413 U.S. 601, 610, 93 S.Ct. 2908, 37 L.Ed.2d 830 (1973) ; United States v. Raines, 362 U.S. 17, 21, 80 S.Ct. 519, 4 L.Ed.2d 524 (1960) ; Carmichael v. Southern Coal & Coke Co., 301 U.S. 495, 513, 57 S.Ct. 868, 81 L.Ed. 1245 (1937) ; United States v. Wurzbach, 280 U.S. 396, 50 S.Ct. 167, 74 L.Ed. 508 (1930) ; Hatch v. Reardon, 204 U.S. 152, 160-61, 27 S.Ct. 188, 51 L.Ed. 415 (1907) ; Supervisors v. Stanley, 105 U.S. 305, 311-15, 26 L.Ed. 1044 (1882) ; Austin v. The Aldermen, 7 Wall. 694, 698-99, 19 L.Ed. 224 (1869).
. Broadrick v. Oklahoma, 413 U.S. 601, 612, 93 S.Ct. 2908, 37 L.Ed.2d 830 (1972).
. 413 U.S. 601, 93 S.Ct. 2908, 37 L.Ed.2d 830 (1972).
. 413 U.S. 615-16, 93 S.Ct. at 2918. Whether this represents a reversal or just a clarification of Coates v. Cincinnati, 402 U.S. 611, 91 S.Ct. 1686, 29 L.Ed.2d 214 (1971), on which defendant relies, remains to be seen. Compare the Broadrick majority, 413 U.S. at 616 n. 14, 93 S.Ct. 2908 with Mr. Justice Brennan’s dissent, 413 U.S. at 622, 93 S.Ct. 2908. See “Overbreadth Review and the Burger Court,” 49 N.Y.U.L.R. 532 (1974).
. United States v. Auto Workers, 352 U.S. 567, 570-75, 77 S.Ct. 529, 1 L.Ed.2d 563 (1957).
. United States v. Auto Workers, 352 U.S. 567, 585, 77 S.Ct. 529, 538, 1 L.Ed.2d 563 (1957). See Pipefitters Local No. 562 v. United States, 407 U.S. 385, 415-16, 92 S.Ct. 2247, 33 L.Ed.2d 11 (1972) ; United States v. C. I. O., 335 U.S. 106, 113, 68 S.Ct. 1349, 92 L.Ed. 1849 (1948).
. Pipefitters Local Union No. 562 v. United States, 407 U.S. 385, 413-14, 92 S.Ct. 2247, 33 L.Ed.2d 11 (1972); United States v. Auto Workers, 352 U.S. 567, 582, 77 S.Ct. 529, 1 L.Ed.2d 563 (1957); United States v. C. I. O., 335 U.S. 106, 113, 115, 68 S.Ct. 1349, 92 L.Ed. 1849 (1948); Ash v. Cort, 496 F.2d 416, 422 (3d Cir. 1974), cert. granted, 419 U.S. 992, 95 S.Ct. 302, 42 L.Ed. 2d 264 (1975).
. United Mine Workers v. Illinois State Bar Ass’n, 389 U.S. 217, 88 S.Ct. 353, 19 L.Ed.2d 426 (1967); NAACP v. Button, 371 U.S. 415, 428, 83 S.Ct. 328, 9 L.Ed.2d 405 (1963); NAACP v. Alabama ex rel. Patterson, 357 U.S. 449, 460, 78 S.Ct. 1163, 2 L.Ed.2d 1488 (1958) ; Grosjean v. American Press Co., 297 U.S. 233, 244, 56 S.Ct. 444, 80 L.Ed. 660 (1936).
. Pickering v. Board of Education, 391 U.S. 563, 568, 88 S.Ct. 1731, 20 L.Ed.2d 811 (1968); Konigsberg v. State Bar of California, 366 U.S. 36, 50-51, 81 S.Ct. 997, 6 L.Ed.2d 105 (1961).
. See Broadrick v. Oklahoma, 413 U.S. 601, 606, 93 S.Ct. 2908, 37 L.Ed.2d 830 (1973); Civil Service Comm’n v. Letter Carriers, 413 U.S. 548, 557-67, 93 S.Ct. 2880, 37 L.Ed.2d 796 (1973).
. See Pipefitters Local Union No. 562 v. United States, 407 U.S. 385, 414, 92 S.Ct. 2247, 33 L.Ed.2d 11 (1972); International Ass’n of Machinists v. Street, 367 U.S. 740, 776-77, 81 S.Ct. 1784, 6 L.Ed.2d 1141 (1961) (Douglas, J. concurring.)
. Civil Service Comm’n v. Letter Carriers, 413 U.S. 548, 567, 93 S.Ct. 2880, 37 L.Ed.2d 796 (1973); Rosario v. Rockefeller, 410 U.S. 752, 760-62, 93 S.Ct. 1245, 36 L.Ed.2d 1 (1973); Dunn v. Blumstein, 405 U.S. 330, 336, 92 S.Ct. 995, 31 L.Ed.2d 274 (1972); Bullock v. Carter, 405 U.S. 134, 140-41, 92 S.Ct. 849, 31 L.Ed.2d 92 (1972); Jenness v. Fortson, 403 U.S. 431, 91 S.Ct. 1970, 29 L.Ed.2d 554 (1971); Williams v. Rhodes, 393 U.S. 23, 30-31, 89 S.Ct. 5, 21 L.Ed.2d 24 (1968). See also Kusper v. Pontikes, 414 U.S. 51, 56-61, 94 S.Ct. 303, 38 L.Ed.2d 260 (1973).
. Civil Service Comm’n v. Letter Carriers, 413 U.S. 548, 567, 93 S.Ct. 2880, 2890, 37 L.Ed.2d 796 (1973). See “The Supreme Court, 1972 Term,” 87 Harv.L.Rev. 141-49 (1973).
. Civil Service Comm’n v. Letter Carriers, 413 U.S. at 563, 93 S.Ct. 2880; Broadrick v. Oklahoma, 413 U.S. 601, 93 S.Ct. 2908, 37 L.Ed.2d 830 (1973).
. Kusper v. Pontikes, 414 U.S. 51, 59, 94 S.Ct. 303, 38 L.Ed.2d 260 (1973); Shelton v. Tucker, 364 U.S. 479, 488, 81 S.Ct. 247, 5 L.Ed.2d 231 (1960).
. Pipefitters Local Union No. 562 v. United States, 407 U.S. 385, 401, 92 S.Ct. 2247, 33 L.Ed.2d 11 (1972).
. 335 U.S. 106, 68 S.Ct. 1349, 92 L.Ed. 1849 (1948).
. 335 U.S. at 111, 68 S.Ct. at 1352.
. United States v. Boyle, 157 U.S.App.D.C. 166, 482 F.2d 763-64, cert. denied, 414 U.S. 1076, 94 S.Ct. 593, 38 L.Ed.2d 483 (1973) ; United States v. Pipefitters Local Union No. 562, 434 F.2d 1116 (8th Cir. 1970), adhered to in en banc decision, 434 F.2d 1127, rev’d and vacated on other grounds, 407 U.S. 385, 92 S.Ct. 2247, 33 L.Ed.2d 11 (1972) . But see “The Constitutionality of the Federal Ban on Corporate and Union Campaign Contributions and Expenditures,” 42 U.Chi.L.Rev. 148 (1974).
. Broadrick v. Oklahoma, 413 U.S. 601, 615, 618, 93 S.Ct. 2908, 37 L.Ed.2d 830 (1973) . See “The Supreme Court, 1972 Term,” 87 Harv.L.Rev. 149-153 (1973).
Reference
- Full Case Name
- United States v. Jack L. CHESTNUT
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