United States v. Franklyn C. Nofziger

878 F.2d 442, 278 U.S. App. D.C. 340, 1989 U.S. App. LEXIS 13808, 1989 WL 68604
CourtCourt of Appeals for the D.C. Circuit
DecidedSeptember 5, 1989
Docket88-3058
StatusPublished
Cited by51 cases

This text of 878 F.2d 442 (United States v. Franklyn C. Nofziger) is published on Counsel Stack Legal Research, covering Court of Appeals for the D.C. Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
United States v. Franklyn C. Nofziger, 878 F.2d 442, 278 U.S. App. D.C. 340, 1989 U.S. App. LEXIS 13808, 1989 WL 68604 (D.C. Cir. 1989).

Opinions

Opinion for the court filed by Circuit Judge BUCKLEY.

Dissenting opinion filed by Circuit Judge EDWARDS.

BUCKLEY, Circuit Judge:

Franklyn C. Nofziger, former Assistant to the President for Political Affairs, appeals his conviction for violation of the Ethics in Government Act. We hold that under the section of the Act that Nofziger was convicted of violating, the government was required to prove that he had knowledge of all of the facts making his conduct criminal. Because the government offered no evidence demonstrating that Nofziger possessed such knowledge, we reverse his conviction.

I. Background

A. Statutory Context

In 1987, former presidential aide Frank-lyn C. Nofziger was convicted on three counts of communicating with officials at the White House in violation of subsection 207(c) of the Ethics in Government Act, 18 U.S.C. § 207(c). Congress adopted that subsection in 1978 as a result of a recommendation by President Jimmy Carter that it enact legislation to “strengthen existing restrictions on the revolving door between government and private industry.” He proposed that Congress do so by extending the period prohibiting certain contacts between a former official and his agency and by adopting a “new and broader ban on formal or informal contact on other matters with agencies of former employment, for a period of 1 year after the end of government service.” Message from the President Transmitting Proposed Ethics in Government Act of 1977, reprinted in H.R.Rep. No. 800, 95th Cong., 1st Sess. 85 (1977) (“House Report”).

To accomplish this second objective, President Carter proposed adding a second offense, that of communicating with an agency of former employment about certain matters, to the existing offense of acting as an agent or attorney for another person in proceedings before such an agency. That second offense is set forth in subparagraph (2) of a new subsection 207(c) proposed in the draft legislation submitted with the President’s message (“Administration draft”). It reads, in relevant part, as follows:

Whoever, having been so employed ..., within one year after his employment with the department or agency has ceased, knowingly—
(1) acts as agent or attorney for or otherwise represents any other person (except the United States) in any formal or informal appearance before, or
(2) makes any contact on behalf of any other person (except the United States) with the intent to influence the department or agency in which he served as an officer or employee, or any officer or employee thereof, in connection with any ... particular matter which is pending before such department or agency or in which such department or agency is a party or has a direct and substantial interest—
Shall be fined not more than $10,000 or imprisoned for not more than two years, or both.

House Report at 96. After considering alternative Senate and House of Representative versions of the Carter recommendation, Congress adopted the present language of subsection 207(c):

Whoever, [being a covered government employee], within one year after such employment has ceased, knowingly acts as agent or attorney for, or otherwise represents, anyone other than the United States in any formal or informal appear-[444]*444anee before, or, with the intent to influence, makes any oral or written communication on behalf of anyone other than the United States, to—
(1) the department or agency in which he served as an officer or employee, or any officer or employee thereof, and
(2) in connection with any ... particular matter, and
(3) which is pending before such department or agency or in which such department or agency has a direct and substantial interest—
shall be fined not more than $10,000 or imprisoned for not more than two years, or both.

18 U.S.C. § 207(c) (1982).

The principal dispute in this case is over the reach of the word “knowingly.” Appellant Nofziger argues that the word modifies the entire sentence of which it is a part and thus requires knowledge of the specific circumstances that make the communication unlawful. The government contends that “knowingly” applies only to the offense described in the adjacent “appearance clause” (i.e., the clause that refers to an ex-official’s acting as agent or attorney in an appearance before a former agency) and not to that described in the “communication clause” (i.e., the clause that refers to any oral or written communication by such an official to his former agency).

This is not an idle grammatical inquiry. If Nofziger’s interpretation is correct, no one may be convicted under subsection 207(c) unless it is proven that he had knowledge of each of the facts constituting the offense. On the other hand, under the government’s interpretation, if an ex-official tries to interest his former agency in a particular project in the mistaken belief that it had no “direct and substantial interest” in it, he will have committed a felony punishable by up to two years in jail.

B. Factual Background

On July 16, 1987, a grand jury indicted appellant Nofziger on four counts alleging violations of subsection 207(c) and two counts alleging violations of subsection 207(a). On its own motion, the government later sought and obtained dismissal of the subsection 207(a) counts. Trial on the remaining counts began on January 11, 1988. The court submitted the case to the jury on February 10, 1988, and on February 11 the jury returned its verdict finding Nofziger guilty on three of the counts. On April 8, 1988, the trial court sentenced Nofziger to consecutive terms of imprisonment of two to eight months on each of the three counts and levied fines totalling $30,000. All but thirty days of each term were suspended, leaving a sentence of ninety days’ imprisonment. The district court stayed the execution of appellant’s sentence pending this appeal.

Nofziger served as Assistant to the President for Political Affairs in the Reagan White House for exactly one year beginning January 21, 1981. After resigning his position, he and a business associate, Mark Bragg, established the government relations and political consulting firm of Nof-ziger-Bragg Communications. The three counts upon which Nofziger was convicted alleged that certain lobbying undertaken by Nofziger on behalf of three of his firm’s clients violated subsection 207(c).

First, the grand jury found that Nofziger violated the Act by sending a letter dated April 8, 1982 to Edwin Meese III, then Counselor to the President, urging the White House to support the Welbilt Electronic Die Corporation in its efforts to secure a contract from the Army for the manufacture of more than 13,000 small engines. Welbilt was a minority-owned business located in the South Bronx, an economically distressed area of New York City.

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Bluebook (online)
878 F.2d 442, 278 U.S. App. D.C. 340, 1989 U.S. App. LEXIS 13808, 1989 WL 68604, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-franklyn-c-nofziger-cadc-1989.