United States v. Pedro Rivera

131 F.3d 222, 1998 A.M.C. 609, 1997 U.S. App. LEXIS 34186, 1997 WL 730584
CourtCourt of Appeals for the First Circuit
DecidedDecember 2, 1997
Docket96-2188
StatusPublished
Cited by35 cases

This text of 131 F.3d 222 (United States v. Pedro Rivera) is published on Counsel Stack Legal Research, covering Court of Appeals for the First 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. Pedro Rivera, 131 F.3d 222, 1998 A.M.C. 609, 1997 U.S. App. LEXIS 34186, 1997 WL 730584 (1st Cir. 1997).

Opinions

OPINION EN BANC

COFFIN, Senior Circuit Judge.

Appellant Pedro Rivera appeals his conviction under 46 U.S.C. § 10908 for knowingly sending a vessel to sea in an unseaworthy condition likely to endanger the life of an individual. He alleges that his prosecution was invalid, that the evidence was insufficient, and various trial errors. After a divided panel of this court affirmed the conviction, we ordered en banc hearing on the statutory and sufficiency issues. We now find the prosecution to be proper, but conclude that the evidence adduced was insufficient to establish that Rivera knew that the vessel’s condition was “likely to endanger the life of an individual.” The judgment of conviction therefore must be reversed.1

I. Background

This case arises out of a major oil spill that occurred during the night of January 6-7, 1994 off the coast of San Juan, Puerto Rico. The accident occurred after the tow wire connecting the tugboat Emily S. to the barge Morris J. Berman parted; the barge subsequently ran aground, spilling its oily cargo. Appellant Rivera was the general manager of the Bunker Group, which managed the tugboat.

On the night of the accident, Rivera had directed the crew of the Emily S. to transport the Morris J. Berman from San Juan to Antigua. Athough various crew members of the Emily S. previously had told Rivera of the towing wire’s seriously deteriorated condition, and although a new wire had been ordered and was available,2 the voyage proceeded with the old wire in place. Shortly after the vessel left San Juan Harbor, the wire parted. Captain Roy McMichael repaired the wire, but did not use a thimble, a device that prevents abrasion in a repaired section of wire. Several hours later, the wire parted again; the barge drifted off and went aground.

Rivera was found guilty by a jury of violating 46 U.S.C. § 10908 for knowingly sending the Emily S. to sea in an unseaworthy condition likely to endanger life.3 We review his conviction on both statutory and evidentiary grounds.

II. Interpretation of 4.6 U.S.C. § 10908

The first question certified for en banc consideration is one of statutory interpretation: was Rivera’s prosecution under section 10908 flawed because certain procedural prerequisites were not met? Section 10908 provides as follows:

[224]*224A person that knowingly sends or attempts to send, or that is a party to sending or attempting to send, a vessel of the United States to sea, in an unseaworthy state that is likely to endanger the life of an individual, shall be fined not more than $1,000, imprisoned for not more than 5 years, or both.

This is the final provision in Chapter 109 of Title 46. The chapter, entitled “Proceedings on Unseaworthiness,” focuses primarily on procedures to be used by seamen to report unseaworthy vessels. Rivera maintains that these procedures must be instituted before a criminal prosecution may be brought under section 10908. The government argues that section 10908 is a freestanding statute that on its own provides a basis for criminal liability.

To resolve this dispute, we must confront three major analytical issues: (1) to what extent should the context of section 10908 within Chapter 109 guide our interpretation of its language? (2) what role should be played by legislative history? (3) is our interpretation “palpably unreasonable”? We address each of these substantial issues in Section A below, and briefly note in Section B inconsistencies in this area of law that we believe deserve the attention of Congress.

A. An Examination of Context, Legislative History, and Reasonableness.

We enter our analysis by noting that the interpretation of a statute presents a purely legal question, and thus our review is de novo. See Strickland v. Commissioner, 96 F.3d 542, 545 (1st Cir.1996).

(1) Plain Language or Beyond? The well established approach to statutory construction begins with the actual language of the provision, Landreth Timber Co. v. Landreth, 471 U.S. 681, 685, 105 S.Ct. 2297, 2301, 85 L.Ed.2d 692 (1985). When the “plain meaning” is clear on its face, “the sole function of the courts is to enforce it according to its terms.” Caminetti v. United States, 242 U.S. 470, 485, 37 S.Ct. 192, 194, 61 L.Ed. 442 (1917); United States v. Bohai Trading Co., 45 F.3d 577, 581 (1st Cir.1995). From one vantage point, this is the beginning and the end of our analysis. On its face, there is nothing unclear about the meaning of section 10908. Its language does not limit its application to “a person” against whom Chapter 109 proceedings have been brought. Rather, it sets out three specific requirements for finding a person culpable: (1) knowingly sending a vessel to sea; (2) knowing that the vessel was in an unseaworthy condition; and (3) knowing that the unseaworthiness was such that it would likely endanger life. Straightforward application of the plain language rule leaves no place for the procedural prerequisites asserted by Rivera.

There is, however, a respectable contrary view that reading Chapter 109 as a whole leads to a different understanding of section 10908. From this perspective, section 10908 is designed to enhance the complaint procedures outlined in the preceding sections by criminalizing a knowing attempt to take a dangerous vessel to sea after an official finding of unseaworthiness or the lodging of a complaint pursuant to those sections.4

Rivera maintains that this contextual interpretation of section 10908 is supported by a [225]*225reading of the statutory provisions from which Chapter 109 is derived, 46 U.S.C.App. §§ 653-658. Those provisions, originally enacted in 1840, were amended in 1983 for the primary purpose of re-organizing the then-existing maritime legislation on the safety of vessels and protection of seamen into a more comprehensible and easily administered scheme. See H.R.Rep. No. 98-338, at 113 (1983), reprinted in 1983 U.S.C.C.A.N. 924, 925. Former section 658 consisted of four sentences, the next-to-last of which, with minor revision, became new section 10908.5

Rivera points particularly to the word “such” in the final portion of section 658 — the reference to sending a ship to sea in “such an unseaworthy state” — as evidence that criminal liability was intended only when a finding of unseaworthiness as specified in the prior sections was made.

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Bluebook (online)
131 F.3d 222, 1998 A.M.C. 609, 1997 U.S. App. LEXIS 34186, 1997 WL 730584, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-pedro-rivera-ca1-1997.