Federal Circuits, Seventh Circuit (December 06, 1988)
Docket number: 88-1087
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U.S. Supreme Court - Colorado v. Connelly, 479 U.S. 157 (1986)
U.S. Supreme Court - Oregon v. Mathiason, 429 U.S. 492 <I>(per curiam)</I> (1977)
U.S. Supreme Court - Lego v. Twomey, 404 U.S. 477 (1972)
U.S. Supreme Court - Miranda v. Arizona, 384 U.S. 436 (1966)
U.S. Supreme Court - Lynumn v. Illinois, 372 U.S. 528 (1963)
U.S. Court of Appeals for the First Circuit - United States v. Lanni (1st Cir. 1992)
John Casey, Casey & Casey, P.C., Springfield, Ill, for plaintiff-appellee.
Patrick J. Chesley, Asst. U.S. Atty., J. William Roberts, U.S. Atty., Springfield, Ill., for defendant-appellant.Before CUDAHY and RIPPLE, Circuit Judges, and ESCHBACH, Senior Circuit Judge.ESCHBACH, Senior Circuit Judge.James Hocking appeals from his convictions on one count of racketeering in violation of 18 U.S.C. Sec . 1962(c) (the Racketeer Influenced and Corrupt Organizations statute, 18 U.S.C. Secs . 1961-1968 (1978)) and one count of extortion in violation of 18 U.S.C. Sec . 1951 (the Hobbs Act, 18 U.S.C. Secs . 1951-1955 (1986)).* In April 1986, James Hocking was employed as a Pre-qualification Financial Analyst with the Illinois Department of Transportation ("IDOT") assigned to the task of "pre-qualifying" contractors who wished to bid on road construction contracts let by the IDOT. Hocking's job required him to assess the financial resources and work capabilities of applicant firms by examining their assets, liabilities, operating equipment inventories and work experience. Based on that evaluation, Hocking would assign each firm a financial rating and a work rating that determined the maximum size contracts the contractor could bid on and the maximum total dollar amount of contracts the firm could hold at any one time.On April 8, 1986, two Federal Bureau of Investigation ("FBI") agents, Steven Nash and David Steele, arrived at the Hocking residence at 5:30 p.m. When Hocking answered their knock at the door of the house, the agents identified themselves and inquired if they could enter in order to ask some questions regarding an ongoing criminal investigation being conducted at the IDOT. Hocking allowed the agents to enter his home whereupon he, his wife and the two agents walked into the living room and sat down. Shortly thereafter, the FBI agents asked appellant's wife to leave the room. At that point the agents began to question Hocking. The agents did not advise appellant of his Miranda rights at the beginning of, nor at any point during, the conversation.Hocking was first asked to explain his job and describe how the pre-qualification and bidding processes work. That portion of the conversation lasted for somewhere between one-half hour and one and one-quarter hours. At that point the agents informed Hocking that some persons in the IDOT were taking money and other gratuities from contractors in exchange for favorable treatment of those contractors in the pre-qualification and bidding processes. They then confronted him with allegations that on two or more occasions he had accepted money from contractors. Hocking denied having accepted any money from contractors.The FBI agents next told Hocking that they had tape recordings of two conversations between Hocking and contractors concerning payoffs made by the contractors to him. Although there is some dispute as to precisely what the agents said, it is apparent that they also told Hocking that he faced criminal charges and could be imprisoned. They spoke further of the possibility of the government forcing him to forfeit any monies he had received illegally or any items purchased with those funds. The agents also encouraged Hocking to tell the truth.After protesting his innocence for some time, Hocking eventually acknowledged that he had accepted $1,000 on one occasion. At some point near the end of the conversation, one of the FBI agents prepared a one-page handwritten statement and gave it to Hocking for his signature. The statement reads:I, James Oliver Hocking, do provide the following statement to special Agents Steven G. Nash and David E. Steele of the Federal Bureau of Investigation without any threats or promises: [sic] In approximately 1984, while employed by the state of Illinois, Illinois Department of Transportation, as Pre-Qualification Anaylsis [sic], received $1,000 cash from, I believe the name to be, Lawrence LaGioia, in return for assistance in pre-qualifying LaGioia for state contracts. This money was not due me and I know it to be illegal for my acceptance of the money. LaGioia is the brother of Vito LaGioia who is a paying [sic] contractor located in the Chicago, Illinois area. The money was paid in cash at the Illinois Department of Transportation Building, 2300 South Dirksen, Springfield, Illinois. [sic]Hocking initialed the statement at its beginning and end, and signed and dated it at the bottom. Shortly after Hocking initialed and signed the statement, agents Nash and Steele left the house.In a three-count indictment handed down on July 30, 1987, Hocking was charged with racketeering under 18 U.S.C. Sec . 1962(c), as evidenced by acts of extortion in violation of 18 U.S.C. Sec . 1951 and bribery in violation of Ill.Rev.Stat., Ch. 38, p 33-1(d) (Count 1), and two separate acts of extortion in violation of 18 U.S.C. Sec . 1951 (Counts 2 and 3). Before trial, the government moved to dismiss Count 2 and those portions of Count 1 that cited federal extortion as racketeering activities. The government's motion was granted by the district court and the Count 3 Sec. 1951 extortion charge (renumbered Count 2) and the Count 1 Sec. 1962(c) racketeering charge, with an alleged act of state law bribery as its basis, proceeded to trial on October 21, 1987.On August 31, 1987 appellant had moved to suppress the statement he gave to the two FBI agents on April 8, 1986. After a hearing on the matter on September 10, 1987, the district court denied appellant's motion to suppress. Following a jury trial, during which the district judge denied appellant's motion for a directed verdict of acquittal at the close of the government's case in chief, Hocking was found guilty on both counts. After denial of appellant's post-trial motions for a new trial and for judgment of acquittal, the district court sentenced him to eight years imprisonment and five years probation. This appeal followed.IIHocking raises five claims on this appeal. First, he maintains that the statement he signed on April 8, 1986 in the presence of the two FBI agents should have been excluded from evidence because the agents failed to give him Miranda warnings at any time during their interview of him on that date. Hocking claims further that the April 8, 1986 statement was inadmissible because he was coerced into signing it by the two FBI agents. Appellant also asserts that the district court erred in not granting his motion for a directed verdict of acquittal. The basis for that motion was Hocking's claim that the court was without jurisdiction over the charged Sec. 1951 offense because the government failed to prove the nexus between his actions and interstate commerce necessary to support a conviction under the Hobbs Act.Hocking also asserts that the district court erred when, in instructing the jury on the 18 U.S.C. Sec . 1962(c) racketeering charge, it defined the Illinois Department of Transportation as an "enterprise" falling within the reach of Sec. 1962(c). Finally, appellant maintains that the district court erred when it denied his motion for a directed verdict of acquittal on the Sec. 1962(c) racketeering charge because the government failed to prove that he committed any acts of bribery as proscribed by Ill.Rev.Stat., Ch. 38, p 33-1(d).IIIA. The Failure of the FBI Agents to Give the Miranda WarningsHocking maintains that the failure of the two FBI agents who questioned him on April 8, 1986 to give him Miranda warnings renders the statement he signed on that date inadmissible. It is well established that "[t]he police are required to give [Miranda ] warnings only 'where there has been such a restriction on a person's freedom as to render him in custody.' " United States v. Bush, 820 F.2d 858, 861 (7th Cir.1987) (quoting California v. Beheler, 463 U.S. 1121, 1124, 103 S.Ct. 3517, 3519, 77 L.Ed.2d 1275 (1983) (quoting in turn Oregon v. Mathiason, 429 U.S. 492, 495, 97 S.Ct. 711, 714, 50 L.Ed.2d 714 (1977))). "[P]olice officers are not required to administer Miranda warnings to everyone whom they question." Mathiason, 429 U.S. at 495, 97 S.Ct. at 714. "Miranda deals only with 'the admissibility of statements obtained from an individual who is subjected to custodial police interrogation.' " United States v. Lane, 811 F.2d 1166, 1170 (7th Cir.1987) (quoting Miranda v. Arizona, 384 U.S. 436, 439, 86 S.Ct. 1602, 1609, 16 L.Ed.2d 694 (1966)). See also United States v. Jackson, 836 F.2d 324, 326 (7th Cir.1987); United States v. Jones, 630 F.2d 613, 615 (8th Cir.1980) ("The critical question [with regard to the necessity for the Miranda warnings] is whether the interrogation occurred in a custodial setting.").Hocking asserts that he was in fact in custody at the time the two FBI agents interrogated him in his home. He argues that due to his age (62 years old), heart condition and inexperience with the law, the admonitions by the two agents that he faced indictment, imprisonment and forfeiture of his assets acted in concert to convince him that he was under restraint. Hocking believes that this perception of restraint on his part was sufficient to trigger the necessity for Miranda warnings. Appellant also points out that he was "beyond the suspect stage" and "definitely at the accusatory stage" in April 1986.The district court determined that the April 8, 1986 interview of Hocking by the two FBI agents did not constitute a "custodial interrogation" as contemplated by Miranda and its progeny. Although this determination tends to follow from various factual findings, the ultimate issue of whether there was a custodial interrogation is a mixed question of law and fact. United States v. Calisto, 838 F.2d 711, 717-18 (3d Cir.1988). Therefore, this determination is independently reviewable by an appellate court. See Schuneman v. United States, 783 F.2d 694, 699 (7th Cir.1986); United States ex rel. Tonaldi v. Elrod, 716 F.2d 431, 437 (7th Cir.1983). But see United States v. Poole, 806 F.2d 853 (9th Cir.1986) ("The determination whether a defendant was subjected to custodial interrogation is essentially factual, and is reviewable under the 'clearly erroneous' standard."), amending, United States v. Poole, 794 F.2d 462 (9th Cir.1986).Appellant was not under arrest at the time of the April 8, 1986 interview. Therefore, our inquiry is limited to determining whether at the time of that interrogation Hocking was subjected to a " 'restraint on [his] freedom of movement' of the degree associated with a formal arrest." Beheler, 463 U.S. at 1125, 103 S.Ct. at 3520 (quoting Mathiason, 429 U.S. at 495, 97 S.Ct. at 714) quoted in Bush, 820 F.2d at 861. See also Lane, 811 F.2d at 1170 ("Custodial interrogation is 'questioning initiated by law enforcement officers after a person has been taken into custody or otherwise deprived of his freedom of action in any significant way.' ") (quoting Miranda, 384 U.S. at 444, 86 S.Ct. at 1609); Berkemer, 468 U.S. at 440, 104 S.Ct. at 3150. In making that determination we must remain cognizant of the fact that the Miranda warnings are not triggered merely because an individual who is being questioned by law enforcement officers is a suspect or is the focus of a criminal investigation. Mathiason, 429 U.S. at 495, 97 S.Ct. at 714. See also Beckwith v. United States, 425 U.S. 341, 345-46, 96 S.Ct. 1612, 1615-16, 48 L.Ed.2d 1 (1976). In addition, although it may be a significant factor in evaluating the voluntariness of a criminal defendant's confession or a statement, a finding by a reviewing court that the questioning of a suspect took place in a "coercive environment," in the absence of formal arrest or restraint on freedom, does not convert a noncustodial situation into a custodial interrogation. Mathiason, 429 U.S. at 495, 97 S.Ct. at 714."In determining whether the accused was subjected to custodial interrogation, a reviewing court should consider the totality of the circumstances. The accused's freedom to leave the scene and the purpose, place and length of interrogation are all relevant factors in making this determination." United States v. Helmel, 769 F.2d 1306, 1320 (8th Cir.1985). See also United States v. Rorex, 737 F.2d 753, 755-56 (8th Cir.1984).Careful examination of the record reveals the following circumstances attendant to the April 8, 1986 interview of appellant by FBI agents Nash and Steele. The interview was conducted in Hocking's home. FBI agents Nash and Steele entered the house only after Hocking granted them permission to do so. Hocking voluntarily agreed to submit to questioning. See United States v. Schwartz, 787 F.2d 257, 265 (7th Cir.1986). Nothing in the record indicates that any restraints were placed on Hocking's movement during the course of the questioning. See Bush, 820 F.2d at 862. Appellant was free to leave the house, or to ask the agents to leave. He did neither.Although the agents did ask Mrs. Hocking to leave the living room where the interview was conducted, they did so politely and with good reason. At no time did the two agents display their weapons or make any threatening gestures or statements to Hocking or his wife. The interview lasted some three hours. The agents did inform Hocking of the possibility of his indictment, imprisonment and the prospect of forfeiture of some of his assets. However, there is no indication in the record that the questioning was anything other than routine. Hocking was not compelled to answer the questions nor was he compelled to remain in the presence of the questioning FBI agents. See Jones, 630 F.2d at 616. Finally, there is no indication whatsoever that the agents engaged in the type of "strong arm tactics," that would have justified a belief on appellant's part that he was in custody. See id. at 615.Based on the foregoing analysis of the circumstances attendant to the events of the evening of April 8, 1986, we are convinced that the questioning of appellant by FBI agents Nash and Steele was not a custodial interrogation. The district court did not err in that regard.B. The Voluntariness of the April 8, 1986 StatementIn his initial brief, within the context of his Miranda argument, Hocking alleged that the statement he signed on April 8, 1986 was inadmissible because his signature resulted from "mental coercion" by the two FBI agents, rendering (the signature and) the statement involuntary. The statement signed by Hocking on April 8, 1986 was the functional equivalent of a confession to one of the crimes with which he was originally charged (the original Count 2 Sec. 1951 charge which was ultimately dismissed on the government's motion) and also constituted a harmful admission pertaining to the second predicate racketeering act alleged in the Count 1 Sec. 1962(c) charge, of which he was convicted. Accordingly, the well-defined standards for evaluating the voluntary nature of confessions are applicable here."[T]he ultimate issue of the voluntariness of a confession is a legal question requiring de novo review." United States v. Hawkins, 823 F.2d 1020,1023 (7th Cir.1987). In making the "voluntariness" determination we must "examine the entire record and make an independent determination." Davis v. North Carolina, 384 U.S. 737, 741-42, 86 S.Ct. 1761, 1764, 16 L.Ed.2d 895 (1966), quoted in Beckwith, 425 U.S. at 348, 96 S.Ct. at 1617 and United States v. Serlin, 707 F.2d 953, 958 (7th Cir.1983). If we conclude that the preponderance of the evidence establishes that Hocking signed the April 8, 1986 statement voluntarily, his argument that it should have been excluded must be rejected. See Lego v. Twomey, 404 U.S. 477, 486, 92 S.Ct. 619, 625, 30 L.Ed.2d 618 (1972), cited in Colorado v. Connelly, 479 U.S. 157, 107 S.Ct. 515, 522-23, 93 L.Ed.2d 473 (1986)."In contrast to the presumption of coercion that attends statements given during custodial interrogation in the absence of Miranda warnings, statements made during a noncustodial interrogation are not viewed with suspicion." Serlin, 707 F.2d at 958. Nevertheless, the Supreme Court has recognized that "noncustodial interrogation might possibly in some situations, by virtue of some special circumstances, be characterized as one where 'the behavior of ... law enforcement officials was such as to overbear [an interrogee's] will to resist and bring about confessions not freely self-determined.' " Beckwith, 425 U.S. at 347-48, 96 S.Ct. at 1617 (quoting Rogers v. Richmond, 365 U.S. 534, 544, 81 S.Ct. 735, 741, 5 L.Ed.2d760 (1961)).Thus, it is clear that the test for a voluntary confession is "whether the defendant's will was overborne at the time he confessed." Lynumn v. State of Illinois, 372 U.S. 528, 534, 83 S.Ct. 917, 920, 9 L.Ed.2d 922 (1963). Our court has previously stated that "[c]oercive police activity is 'a necessary predicate to the finding that a confession is not "voluntary" within the meaning of the Due Process Clause of the Fourteenth Amendment.' " Lane, 811 F.2d at 1171 (quoting Connelly, 479 U.S. at 167, 107 S.Ct. at 522). See also Lego, 404 U.S. at 485, 92 S.Ct. at 624 ("The use of coerced confessions, whether true or false, is forbidden because the method used to extract them offends constitutional principles.").Hocking claims that the April 8, 1986 statement should have been excluded from evidence because he was coerced into signing it by threats of imprisonment and loss of property made by the two FBI agents. We have carefully reviewed the record with regard to both the manner in which FBI agents Nash and Steele questioned Hocking on April 8, 1986 and the totality of the circumstances surrounding that interrogation. We find nothing in the record that reasonably supports the inference that the agents' statements and actions were so coercive as to overcome appellant's free will.In April 1986 Hocking was a mature adult, 62 years of age, with substantial work experience of a relatively sophisticated nature. He did have a heart condition and was not experienced in dealing with interrogation by law enforcement officers. At the suppression hearing before the district court, appellant claimed to have been experiencing chest pains during the interview of April 8, 1986 and asserted further that he signed the statement only to get the FBI agents out of the house so that he could obtain legal representation. However, the record reveals that Hocking never informed the FBI agents that he was in cardiac distress and never asked them to terminate or postpone the interview so that he could contact an attorney. Although both of these contentions by appellant must be weighed in determining whether his signature on the April 8, 1986 statement resulted from a voluntary act, his failure to inform the questioning agents of his alleged physical distress or to tell them of his wish that they leave and his desire for representation at the time of his interrogation substantially detracts from the strength of the claim that his signature was coerced by the FBI agents.Hocking was interrogated in the living room of his own home. The two FBI agents who questioned him sat several feet away on a sofa facing the one where appellant sat. The questioning appears to have been polite. The agents did in fact tell Hocking that they did not believe his initial denials of wrongdoing and did encourage him to tell the truth. It also appears that agents Nash and Steele advised appellant that he faced prosecution and possible imprisonment and forfeiture of the proceeds of any illegal conduct he had engaged in.The two FBI agents appear to have acted reasonably and fairly in conducting their interrogation of appellant. We are unconvinced that under the circumstances faced by Hocking during the April 8, 1986 interrogation, a person of his age, maturity, intelligence and physical condition could not have resisted the agents' attempt to obtain a signature on the statement. The fact that the statement itself, which Hocking acknowledged he read, albeit he claimed not to have read it carefully, stipulates that the declaration it sets forth was made "without any threats or promises" provides further support for the inference that appellant was not subjected to the type of debilitating coercion that is necessary to render a confession or statement involuntary. We find no reason to characterize the manner in which the agents conducted the interrogation as anything more than vigorous, persistent questioning, conduct which our Court has previously held not to vitiate an otherwise valid confession. See United States v. Lehman, 468 F.2d 93, 100-01 (7th Cir.), cert. denied,Try vLex for FREE for 3 days
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