## Facts

- The United States charged Richard A. Lundwall and Robert W. Ulrich, former Texaco officials, based on alleged conduct during a pending federal civil class action alleging racial discrimination against Texaco.
- Texaco’s legal department allegedly instructed certain officials, including Ulrich, to retain documents relevant to the litigation.
- During pretrial proceedings, Lundwall was deposed and was asked on the record to produce documents concerning Texaco’s minority employees; the request was later confirmed in a follow-up letter.
- Following the request, Lundwall and Ulrich were allegedly assigned responsibility (along with others) for collecting responsive documents for production.
- The indictment alleged the defendants withheld and then destroyed documents sought in discovery and required to be produced in the civil case.
- A superseding indictment charged (1) conspiracy to obstruct justice under 18 U.S.C. § 371 and (2) obstruction of justice under 18 U.S.C. § 1503.
- Defendants moved to dismiss, arguing that § 1503 does not apply to destruction or concealment of documents in civil discovery.

## Issues

1. Whether the omnibus clause of 18 U.S.C. § 1503 applies to willful destruction or concealment of documents during discovery in a pending federal civil action.
2. Whether, assuming the indictment’s allegations as true, the indictment stated an offense under § 1503 sufficient to survive a motion to dismiss.

## Decision

- The court denied the motion to dismiss the indictment.
- The court held that § 1503 reaches willful destruction of documents during civil litigation and is not limited to criminal proceedings.
- The court ruled that, taking the indictment’s allegations as true, the alleged withholding and destruction of documents constituted a corrupt “endeavor” to obstruct the due administration of justice within the meaning of § 1503.

## Legal Principles

- The omnibus clause of 18 U.S.C. § 1503 broadly prohibits corrupt efforts that obstruct, impede, or endeavor to obstruct or impede the due administration of justice.
- Section 1503 is not textually confined to criminal trials; it protects the integrity of federal judicial proceedings, including civil actions.
- Obstruction under § 1503 can be based on an “endeavor” to obstruct; completion or success is not required.
- Willful destruction or concealment of documents sought and required to be produced in pending federal civil discovery can qualify as obstruction of the due administration of justice.
- On a motion to dismiss an indictment, the court assumes the truth of the indictment’s factual allegations and assesses only whether those allegations, if proven, state an offense.

## Conclusion

The district court held that 18 U.S.C. § 1503 can criminalize corrupt destruction or concealment of discoverable documents in a pending federal civil case, and it therefore allowed the prosecution to proceed on the obstruction and conspiracy charges.


United States v. Lundwall, 1 F. Supp. 2d 249 (S.D.N.Y. 1998)