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Case Summary: United States v. Sherman Edward Jackson, No. 91-30228 (9th Cir. May 18, 1992; opinion authored by Judge Levi)

Factual and Procedural Background

Fred Pittman, a long-term friend of Sherman Edward Jackson, was the subject of a search on December 5, 1989, which led to the discovery of large quantities of cash and cocaine. Pittman entered a cooperation agreement with the government and, at the government's request, purchased cocaine from Jackson on several occasions; many of those contacts were tape-recorded. Jackson was arrested during the last of seven purchases.

Pursuant to discovery, the government provided Jackson's counsel with a copy of Pittman's cooperation agreement. Jackson received a copy from his counsel, wrote in large letters on the first page the words "The `Rat' Fred Pittman" and "'Snitch'," and circulated copies to at least three people, including his sister, a minister, and Pittman's mother. Testimony indicated copies were circulated at a restaurant and nightclub in North Portland.

The district court concluded Jackson's conduct constituted obstruction of justice, found that he had acted with an intent to chill a witness's cooperation, and applied a two-level enhancement to his offense level under Sentencing Guidelines section 3C1.1. Jackson appealed the sentencing enhancement to the Ninth Circuit. The appellate panel considered the case without oral argument and, after redesignation of the memorandum disposition as an authored opinion by Judge Levi, affirmed the district court.

Legal Issues Presented

  1. Whether Jackson's dissemination of the cooperation agreement, with the handwritten words "The `Rat' Fred Pittman" and "'Snitch'," constituted an attempt to obstruct the administration of justice so as to warrant a two-level enhancement under Sentencing Guidelines section 3C1.1.
  2. Whether the district court's interpretation and application of Guidelines section 3C1.1, insofar as it increases punishment for the dissemination at issue, raises First Amendment free-speech concerns (an argument raised for the first time on appeal).

Arguments of the Parties

Appellant's (Jackson's) Arguments

  • He was merely publishing information that was otherwise publicly available (Pittman's status as an informant was not secret).
  • Neither distributing the cooperation agreement nor writing "the Rat Fred Pittman Snitch" rises to the level of obstruction of justice.
  • He never intended to pressure or deter Pittman from cooperating or testifying.
  • His conduct did not, in fact, deter Pittman from testifying.
  • On appeal, he additionally argued that the district court's interpretation of section 3C1.1 violated his First Amendment free-speech rights (this argument was raised for the first time on appeal).

Appellee's (United States') Position

  • The dissemination of the cooperation agreement, particularly with the derogatory annotations, could chill potential witnesses' willingness to cooperate with the government.
  • The government emphasized Jackson's knowledge of the dangers associated with identifying an informant and that Jackson's admitted anger and dissemination supported a finding of intent to chill cooperation.

Table of Precedents Cited

Precedent Rule or Principle Cited For Application by the Court
United States v. Fine, 946 F.2d 650, 652 (9th Cir. 1991) Standard of review: determination of obstruction under the Guidelines is a factual finding reviewed for clear error. The court cited Fine to support applying a clear-error standard to the district court's factual finding that Jackson obstructed justice.
United States v. Christman, 894 F.2d 339 (9th Cir. 1990) Standard of review: factual determinations of obstruction are reviewed for clear error. Cited alongside Fine to reinforce that the appellate court must defer to the district court's factual findings unless clearly erroneous.
United States v. Shoulberg, 895 F.2d 882, 885-86 (2d Cir. 1990) Principle that statements reasonably construed as threats can constitute obstruction even if not made directly to the threatened person; also cited for the proposition that there is no First Amendment right to make intimidating threats against government witnesses. The court relied on Shoulberg to conclude that indirect dissemination that can be reasonably perceived as a threat qualifies as attempted obstruction and to reject a First Amendment-based defense to intimidating communications aimed at witnesses.
Jovanovich v. United States, 813 F.2d 1035, 1037 (9th Cir. 1987) Procedural rule that appellate courts ordinarily will not address arguments not raised in the district court. The court cited Jovanovich to decline consideration of Jackson's First Amendment argument raised for the first time on appeal (while noting that, even if considered, it would be foreclosed by Shoulberg).

Court's Reasoning and Analysis

The Ninth Circuit applied a clear-error standard to the district court's factual determination that Jackson obstructed justice (citing United States v. Fine and United States v. Christman) and gave due regard to the district court's opportunity to judge witness credibility pursuant to 18 U.S.C. § 3742(e).

The court examined Sentencing Guidelines section 3C1.1 and its Application Note 3, which provides for a two-level increase when a defendant threatens, intimidates, or otherwise unlawfully influences or attempts to influence a witness. The district court found that Jackson: (1) wrote hostile annotations ("Rat" and "Snitch") on Pittman's cooperation agreement; (2) intentionally circulated copies to multiple people; (3) was aware of the danger and stigma associated with identifying someone as an informant; and (4) was not entirely candid about his reasons for distributing the document (the court found evidence of anger and an intent to bring the identification to the attention of others).

The appellate court reasoned that dissemination of a cooperation agreement is not an ordinary or innocent act and, when combined with the accusatory annotations, could reasonably be perceived as threatening. Relying on Shoulberg, the court noted that a statement or action can constitute a threat even if not directed at the threatened person, so indirect dissemination intended or reasonably likely to chill a witness's cooperation can amount to obstruction. The district court's finding that Jackson intended to deter Pittman was entitled to deference under the clear-error standard. The court also held that it was irrelevant to the obstruction determination that Pittman ultimately testified despite the dissemination.

Regarding Jackson's First Amendment claim raised on appeal, the court declined to reach the issue because it was not raised below (citing Jovanovich), and observed that precedent (Shoulberg) forecloses a First Amendment defense to intimidating threats against government witnesses.

Holding and Implications

Holding: The Ninth Circuit AFFIRMED the district court's imposition of a two-level enhancement under Sentencing Guidelines section 3C1.1 for obstruction of justice.

Implications: The direct effect of this decision is that Jackson's two-level sentencing enhancement for obstruction of justice was upheld. The opinion applies existing precedent and statutory/guideline authority to the facts but does not purport to establish a new, broader rule beyond those applications; the court treated the matter as a factual determination entitled to deference and relied on established case law to resolve the legal questions presented.

UNITED STATES OF AMERICA, PLAINTIFF-APPELLEE, v. SHERMAN EDWARD JACKSON, DEFENDANT-APPELLANT.

ORDER

The memorandum disposition filed on May 18, 1992, and modified by an order filed on June 11, 1992, is redesignated as an authored opinion by Judge Levi with slight modifications.

OPINION

LEVI, District Judge:

Appellant Sherman Edward Jackson appeals the district court's imposition of a two-level enhancement of his offense level under the Sentencing Guidelines. The district court found that Jackson's dissemination of the cooperation agreement of a government witness was an obstruction of justice. We hold that this ruling is not clearly erroneous and affirm.

I

Fred Pittman, a long-term friend of Jackson's, had his residence searched on December 5, 1989. Due to the discovery of large quantities of cash and cocaine, Pittman entered into an agreement in which he agreed to assist the government in its investigation of Jackson, a suspected cocaine trafficker. Pittman purchased cocaine from Jackson several times at the government's request, and tape-recorded many of his contacts with Jackson. Jackson was arrested during the last of seven cocaine purchases. Following a discovery request by Jackson's counsel, the government supplied a copy of Pittman's cooperation agreement.

Jackson's counsel gave Jackson a copy of the cooperation agreement. Jackson then wrote in large letters "The `Rat' Fred Pittman," and below that, "`Snitch'" on the top of the first page of the agreement. He gave copies to his sister, a minister, and sent a copy to Pittman's mother. According to the testimony of Derrick Foxworth, a sergeant in the Portland police department, Pittman told him that copies of the agreement were circulated at a restaurant and nightclub in North Portland. Jackson testifies that he did not intend to hurt Pittman by disseminating the agreement, but intended only to prove to Pittman's mother that Pittman was responsible for his arrest.

In assigning a two-level increase to Jackson for obstruction of justice, the district court found that Jackson had not been entirely candid regarding his reasons for distributing copies of the agreement:

When I turn to the issue of obstruction of justice here, I must state that I consider Mr. Jackson's testimony to be candid in some respects and not in others. . . . In this case there is no question but what the actions [by] Mr. Jackson in writing the statement at the top of the plea agreement and sending copies of the agreement to at least three members of his community constituted actions which would [chill] potential witnesses' willingness to cooperate with the government in the future. . . . The other matter that occurred is that which [the United States Attorney] draws our attention to of [Jackson's] knowledge of the dangers brought upon notice to others of informant performance. It is this knowledge and the admitted anger and intentions to bring this to the attention to at least three sources, or different persons, that led me to the conclusion that, in fact, there was at least at that time an intention to chill a potential witness's involvement and cooperation and that would constitute an obstruction of justice.

The court then added two levels to Jackson's offense level for obstruction of justice, under Guidelines section 3C1.1.

II

Whether a defendant obstructed justice under the Guidelines is a factual determination we review for clear error. United States v. Fine, 946 F.2d 650, 652 (9th Cir. 1991); United States v. Christman, 894 F.2d 339 (9th Cir. 1990). In reviewing under a clear error standard, we "give due regard to the opportunity of the district court to judge the credibility of the witnesses." 18 U.S.C. § 3742(e).

III

Section 3C1.1 of the Sentencing Guidelines provides in part that if a defendant attempts to obstruct the administration of justice, the offense level shall be increased by two levels. Application note 3 states that an increase under this section is appropriate if a defendant threatens, intimidates or otherwise unlawfully influences or attempts to influence a witness. The district court found that Jackson acted with the conscious intent to obstruct justice. The court noted that Jackson was aware of the danger associated with being identified as a "snitch," and that Jackson admitted that he acted out of anger at Pittman when he wrote the statement on the top of the agreement.

Jackson argues that the increase is inappropriate because his actions did not constitute a threat, intimidation, or unlawful influence. He suggests that (1) he was simply publishing information that was otherwise publicly available; (2) neither disseminating the agreement nor writing the words "the Rat Fred Pittman Snitch" rises to the level of obstruction of justice; (3) he never intended to pressure Pittman; and (4) his conduct did not in fact deter Pittman from testifying. These arguments are not persuasive. First, although Pittman's status as a government informant was not secret, the cooperation agreement was not distributed outside the United States Attorney's office, except to Jackson's counsel on her request. The question is not whether the document was under seal but whether in the circumstances, its dissemination to a family member of an informant and to others, with the notation "rat" and "snitch," may constitute an attempt to influence a witness.

Second, Jackson's conduct was sufficiently threatening to qualify as obstruction. Distribution of a cooperation agreement is not a common gesture suggesting an innocent purpose. Here the unusual step of distributing the agreement was compounded by the addition of the words "rat" and "snitch." Moreover, it is of no moment that the threat was not made directly to Pittman. Where a defendant's statements can be reasonably construed as a threat, even if they are not made directly to the threatened person, the defendant has obstructed justice. United States v. Shoulberg, 895 F.2d 882, 885-86 (2d Cir. 1990). In the present case, although Jackson did not directly threaten Pittman, he disseminated information that he knew could place Pittman and his family in a position of danger. The district court reasonably concluded that the distribution of the agreement, with the additions, would be perceived by Pittman and his family as a threat, potentially chilling Pittman's willingness to testify.

Third, the district court's finding that Jackson intended to deter Pittman from testifying is entitled to deference. Jackson testified that his strong fear of being labelled as a snitch was the reason that he would not identify his drug source. He surely knew, as the district court found, that Pittman could be placed in, or would perceive, the same peril by being similarly identified. Finally, it is irrelevant to a finding of attempted obstruction that Pittman testified in spite of Jackson's threats. For these reasons, we find that the district court's conclusion that Jackson obstructed justice was not clearly erroneous.

Jackson's final argument, raised for the first time on appeal, is that the district court's interpretation of section 3C1.1 is a violation of his First Amendment free speech rights. Ordinarily, we will not address on appeal arguments not raised below. Jovanovich v. United States, 813 F.2d 1035, 1037 (9th Cir. 1987). Even if we were to consider this issue, we would find it foreclosed. See Shoulberg, 895 F.2d at 886 (no First Amendment right to make intimidating threats against government witnesses).

AFFIRMED.

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U.S. v. JACKSON
(May 18, 1992)