In the Case of United States v. Larry Wu-Tai Chin. United States of America v. Cathy Chin

848 F.2d 55, 1988 WL 52665
CourtCourt of Appeals for the Fourth Circuit
DecidedMay 27, 1988
Docket86-5158
StatusPublished
Cited by9 cases

This text of 848 F.2d 55 (In the Case of United States v. Larry Wu-Tai Chin. United States of America v. Cathy Chin) is published on Counsel Stack Legal Research, covering Court of Appeals for the Fourth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
In the Case of United States v. Larry Wu-Tai Chin. United States of America v. Cathy Chin, 848 F.2d 55, 1988 WL 52665 (4th Cir. 1988).

Opinion

PER CURIAM:

This appeal presents the issues of the abatement of a criminal prosecution because of the death of the accused, and when and by whom a motion for such abatement may be made. We find that the widow, the duly appointed personal representative of the estate of the accused, is a proper party to petition for abatement and that the petition of the administratrix for abatement in the present case was filed within a reasonable time. We conclude that the district court’s order of April 24, 1986 denying abatement is void because it was not made by a party with standing to do so. We remand the case to the district court for further proceedings.

I

Larry Wu-Tai Chin was a spy for the People’s Republic of China for more than thirty years while he was an employee at the United States Consulate in Shanghai and Hong Kong, and later while he was an employee of the Central Intelligence Agency. While at the C.I.A. he had the highest security clearance and he had access to the most sensitive intelligence information. After a four-day trial before a jury, Chin *56 was found guilty of seventeen separate criminal charges including: conspiracy to commit espionage in violation of 18 U.S.C. § 794(c) (1982), passing classified information to a foreign government in violation of 60 U.S.C. § 783(b) (1982), and failure to report income earned from a foreign bank account in violation of 26 U.S.C. § 7206(1) (1982). This jury verdict was returned on February 7, 1986, and the court scheduled sentencing for March 17, 1986.

Chin allegedly committed suicide in his prison cell on February 21, 1986. A letter written by Chin to his wife was retrieved from the prison mail in connection with the investigation of his death. This letter was written in Chinese. When translated into English, it discussed, among other things, Chin’s thoughts as to an appeal of his convictions. The letter stated:

A letter from lawyer S today, mentioned about an appeal. The reasons for appeal mentioned in the letter were not very strong. It was mentioned also that it will go to the Supreme Court at the end, and it will take a year and a half.... Therefore, it is better not to lodge an appeal.

A notation indicating a time of 7:00 p.m., Thursday, February 20, 1986 was followed by Mr. Chin writing, “After I have decided ‘not to appeal', I feel extremely tranquil.”

On February 28, 1986, the district court, after learning of Chin’s death, sua sponte entered an order placing the action “among the ended causes.” On March 10, 1986, Chin’s attorneys, without consulting Mrs. Chin or anyone with authority to give them permission, moved to abate his conviction, but they did not notice an appeal from the order of February 28, 1986 that placed the case “among the ended causes.” The United States filed a brief in opposition to the motion to abate. On April 24, 1986, the district court in a published memorandum 1 found that Chin did not intend to file an appeal, as evidenced by the letter to his wife and his suicide, and that such actions were a choice to die rather than to appeal. It stated:

It seems contrary to our system of justice to allow, as defense counsel has asked, Chin to be absolved of all criminal liability because he intentionally took his own life at a time when he had not been afforded a right to appeal. Chin had a choice: his life or an appeal. Sadly and regrettably he chose to die and although he is now unable to present his case on appeal, the Court cannot help but conclude that such a choice was a conscious and deliberate one.

United States v. Chin, supra note 1, at 627-28. The district court found that since Chin did not intend to appeal, the criminal prosecution had ended and therefore, having ended, it could not be abated. No appeal was taken from this order.

On March 18, 1986, Mrs. Cathy Chin, widow of Larry W.T. Chin, was appointed administratrix of his estate. On May 30, 1986, she moved to abate the criminal proceedings and to dismiss the indictment. In the alternative, she asked for reconsideration of the court’s April 24, 1986 order and for leave to appeal from that order.

This motion was accompanied by an affidavit of Cathy Chin in which she affirmed that she was born in China and that she had great difficulty reading and writing English, that she was totally dependent upon her husband, and that since the trial many of her friends had ceased speaking to her. She also asserted that immediately after her husband’s death, the Internal Revenue Service made jeopardy assessments against her personally and against her husband’s estate and that these assessments required all of her available time and energy until they were abated by action of the United States District Court. She claimed that because of the jeopardy assessments she had no money available and was so upset and grief-stricken that she could not focus on what action to take in connection with her husband’s conviction. She further asserted that her husband intended to pursue his appeal, and she questioned the finding of suicide as the cause of his death.

On October 27, 1986, the district court denied her motions and found that she had *57 standing to appeal her husband’s conviction under Fed.R.App.P. 43(a), but that timely appeal had not been taken from the district court’s orders of February 28 and April 24, 1986. The district court found that these unappealed orders were final and that there has been no showing of excusable neglect warranting an extension of time within which to note an appeal.

Mrs. Chin appeals and claims that this Court has jurisdiction to review the district court’s refusal to abate the criminal prosecution and that such criminal prosecution abated when the criminal defendant died after conviction but prior to a sentence being imposed. The government asserts that this Court lacks jurisdiction over the appeal, that the widow lacks standing to pursue the appeal, and that abatement of the conviction is not appropriate when the defendant indicated by his suicide and his letter that he did not wish to appeal.

II

Cathy Chin, the widow of Larry W.T. Chin and the duly appointed adminis-tratrix of his estate, has standing to seek abatement of the criminal proceeding against him, and she has standing to appeal from the district court’s October 27, 1986 order. Federal Rule of Appellate Procedure 43(a) provides that when a party dies after notice of appeal is filed, the personal representative of the deceased party may be substituted as a party. In the present case, a notice of appeal was not filed from the district court’s sua sponte order of February 28, 1986. This, however, was not a final order, and a personal representative of Chin’s estate had not been appointed at that time. The February 28 order was merely a ministerial act of “housekeeping” by the district court in removing this cause from its docket.

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848 F.2d 55, 1988 WL 52665, Counsel Stack Legal Research, https://law.counselstack.com/opinion/in-the-case-of-united-states-v-larry-wu-tai-chin-united-states-of-america-ca4-1988.