No. 99-141
In the Supreme Court of the United States
JACKIE R. MATTISON, PETITIONER
v.
UNITED STATES OF AMERICA
ON PETITION FOR A WRIT OF CERTIORARI
TO THE UNITED STATES COURT OF APPEALS
FOR THE THIRD CIRCUIT
BRIEF FOR THE UNITED STATES IN OPPOSITION
SETH P. WAXMAN
Solicitor General
Counsel of Record
JAMES K. ROBINSON
Assistant Attorney General
WILLIAM C. BROWN
Attorney
Department of Justice
Washington, D.C. 20530-0001
(202) 514-2217
QUESTIONS PRESENTED
1. Whether the district court erred in excusing a juror it observed sleeping
during closing argument.
2. Whether the district court committed plain error in instructing the jury
regarding the requirements for establishing a violation of a New Jersey
illegal gratuity statute, N.J. Stat. Ann. § 2C:27-6 (West 1995).
3. Whether the jury was properly instructed on the charge of extortion under
color of official right (18 U.S.C. 1951).
4. Whether, in a prosecution of a public official on charges of mail fraud
and wire fraud involving a scheme to defraud the public of its intangible
right to honest services, the district court erred in declining to instruct
the jury that the government must show that "actual harm or injury"
was contemplated by the public official.
5. Whether the district court erred in admitting evidence that $157,000
in cash was found in the home of petitioner's girlfriend.
In the Supreme Court of the United States
No. 99-141
JACKIE R. MATTISON, PETITIONER
v.
UNITED STATES OF AMERICA
ON PETITION FOR A WRIT OF CERTIORARI
TO THE UNITED STATES COURT OF APPEALS
FOR THE THIRD CIRCUIT
BRIEF FOR THE UNITED STATES IN OPPOSITION
OPINIONS BELOW
The opinion of the court of appeals (Pet. App. 1a-17a) is reported at 173
F.3d 225. The memorandum opinions and orders of the district court (Pet.
App. 18a-25a, 35a-38a, 39a-44a) are unreported.
JURISDICTION
The judgment of the court of appeals (Pet. App. 45a-46a) was entered on
April 19, 1999. The petition for a writ of certiorari was filed on July
19, 1999. The jurisdiction of this Court is invoked under 28 U.S.C. 1254(1).
STATEMENT
Following a jury trial in the United States District Court for the District
of New Jersey, petitioner was convicted of four counts of bribery concerning
programs receiving federal funds, in violation of 18 U.S.C. 666(a)(1)(B),
of conspiring to commit that offense, in violation of 18 U.S.C. 371, of
extortion under color of official right, in violation of 18 U.S.C. 1951,
of six counts of using a facility in interstate commerce to distribute the
proceeds of an unlawful activity and to carry on an unlawful activity, in
violation of 18 U.S.C. 1952(a)(1) and (a)(3), and of seven counts of wire
fraud and mail fraud, in violation of 18 U.S.C. 1341 and 1343. Pet. App.
26a-27a; C.A. App. 26-52. Petitioner was sentenced to 41 months' imprisonment,
to be followed by a term of three years' supervised release, and fined $25,000.
Pet. App. 26a-33a. The court of appeals affirmed. Id. at 1a-17a.
1. Petitioner was Chief of Staff for Sharpe James, the Mayor of the City
of Newark, between 1987 and early 1996; he was also a New Jersey State Assemblyman
during that period. Pet. App. 2a. As Chief of Staff, petitioner acted as
the Mayor's liaison between the City's Business Administrator and its department
heads, ran the Mayor's office and agencies, served as liaison with the city
council, boards and commissions, and acted as the Mayor's representative
at business meetings. Ibid.
This case arises out of petitioner's decision to provide co-defendant William
Bradley, an insurance broker and financial consultant, with official favors
in connection with Bradley's role as a consultant for two companies, Great
West Assurance Company (Great West) and Corroon & Black (Corroon), that
were seeking contracts with the City. Pet. App. 3a. In return for those
favors, petitioner received a series of corrupt payments from Bradley. Ibid.
The City chose Great West as a provider of deferred compensation plans for
City employees, and the Newark Board of Education chose Corroon to provide
insurance with Bradley as its minority subcontractor. Ibid.
The evidence at trial showed that, when Great West was seeking a contract
to provide the City's deferred compensation plan, petitioner referred Bradley
to Great West; Bradley then became Great West's consultant. Bradley indicated
to Great West that petitioner would aid it in winning the contract, which
he did. Petitioner furnished Bradley with information useful to Great West
in seeking the contracts and acted to ensure that a potential competitor
would not offer a competing deferred compensation plan to the City. Pet.
App. 4a.
The pattern with respect to Corroon was similar. The Newark Board of Education
was selecting an insurance plan to cover its buildings and other property.
Under the applicable rules, proposed bidders were required to have a minority
contractor participating with it. Petitioner recommended Bradley to Corroon
for that role. Corroon paid Bradley an unusually high commission, but Bradley
did little work to earn it. A search of Bradley's office revealed correspondence
addressed to petitioner, some confidential, pertaining to the Board of Education
contract. Corroon secured the contract in 1990. After Corroon obtained the
contract, however, it became apparent that Bradley was unable to obtain
minority certification and lacked malpractice insurance necessary for him
to comply with the contract; Corroon stopped payment on a check to Bradley
as a result. Petitioner intervened in the matter and Corroon paid Bradley
his commission. Pet. App. 5a.
During the relevant time period, Bradley paid petitioner a total of $16,872.50.
Pet. App. 4a. Bradley made two payments directly to petitioner-a check for
$4457.50 in September 1990 and a check for $1640 in January 1991. Id. at
3a. Bradley also made three indirect payments to petitioner between 1992
and 1994, each in the amount of approximately $3600, by writing checks to
petitioner's long-term girlfriend, Janice Williams. Id. at 3a-4a. Petitioner
did not reveal his receipt of any of Bradley's payments on the financial
forms he was required to file by reason of his public positions. Id. at
4a.
2. After the jury found him guilty and the court sentenced him, petitioner
appealed, and the court of appeals affirmed. Pet. App. 1a-17a.
a. On appeal, petitioner argued that the district court abused its discretion
in allowing the government to impeach the testimony of Janice Williams,
petitioner's girlfriend, by introducing evidence that $157,000 in cash was
found in her attic in 1995. Pet. App. 8a-10a. The government had called
Williams as a witness after granting her immunity. Id. at 9a. Williams,
however, testified favorably for petitioner. She claimed that the checks
Bradley wrote her were loans to her, not payments to petitioner; she further
testified that, in 1991, she loaned her father the proceeds of Bradley's
first $3600 loan. Id. at 5a, 9a. Williams also testified that she had found
the $157,000 in her father's house a year after his 1994 death. Gov't C.A.
Br. 20.
The court of appeals held that the government "had a legitimate reason
to offer the evidence" of the $157,000 "to attack Williams' credibility."
Pet. App. 10a. It noted: (1) that if Williams' father had so much money,
he would not have borrowed money from Williams in 1991; (2) that the evidence
of the money impeached Williams' testimony that Bradley's three payments
to her were loans because Williams did not repay Bradley when she found
the $157,000; and (3) that the $157,000 suggested that Williams had testified
falsely when she claimed that she had withdrawn $3500 in cash from her bank
account for her father in February 1992. Id. at 9a-10a. The prosecution,
moreover, did not suggest to the jury that there was a connection between
petitioner and the $157,000, and the jury was instructed that the evidence
of the $157,000 was admitted only to impeach Williams. Under those circumstances,
the court of appeals concluded, the admission of the evidence was not an
abuse of discretion. Id. at 10a.
b. The court of appeals also rejected petitioner's argument that the district
court erred in dismissing juror Ella Jefferson after the court and its law
clerk saw Jefferson sleeping during the summations of counsel. Pet. App.
10a-12a. Noting that a trial court may dismiss jurors pursuant to Rule 24(c)
of the Federal Rules of Criminal Procedure if they "become or are found
to be unable or disqualified to perform their duties," the court of
appeals agreed that it was not an abuse of discretion to dismiss the sleeping
juror as unable to serve. Ibid.
c. The court also rejected petitioner's argument that the instruction pertaining
to the Hobbs Act charge of extortion under color of official right, in violation
of 18 U.S.C. 1951, was incorrect. Pet. App. 12a-16a. Petitioner argued that
the instruction erroneously omitted a requirement that the government prove
the existence of an "express agreement." The instruction given
by the district court, the court of appeals held, was consistent with Evans
v. United States, 504 U.S. 255 (1992). There, this Court held that proof
of extortion under color of official right under the Hobbs Act requires
"only" a "show[ing] that a public official has obtained a
payment to which he was not entitled, knowing that the payment was made
in return for official acts." Pet. App. 14a (quoting Evans, 504 U.S.
at 268).
d. Finally, the court of appeals rejected petitioner's additional arguments,
without further discussion, as clearly without merit. Pet. App. 16a-17a.
ARGUMENT
1. Petitioner first contends that the district court violated his due process
rights by removing alternate juror Ella Jefferson from the jury before deliberations.1
Pet. 5-15. That fact-bound claim does not warrant further review.
As the court of appeals held, the fact that Jefferson was sleeping during
closing arguments was "a legitimate basis to dismiss Jefferson."
Pet. App. 11a. Rule 24(c) of the Federal Rules of Criminal Procedure permits
a district court to excuse jurors who "become or are found to be unable
or disqualified to perform their duties." Courts have agreed that Rule
24(c) authorizes the removal of jurors who sleep through important portions
of the trial. Pet. App. 11a-12a. See, e.g., United States v. Warner, 690
F.2d 545, 555 (6th Cir. 1982); United States v. Smith, 550 F.2d 277, 285
(5th Cir.), cert. denied, 434 U.S. 841 (1977); United States v. Cameron,
464 F.2d 333, 335 (3d Cir. 1972).
a. Petitioner does not dispute that a district court may properly exercise
its discretion to excuse a juror who has slept during closing arguments.
Nor does he dispute that, in a detailed memorandum explaining its reasons
for dismissing juror Jefferson, the district court expressly stated that
it was dismissing her for sleeping during the trial.2 Petitioner argues,
however, that the trial court's real reason for disqualifying juror Jefferson
was that she may have "expressed an opinion and had discussed her view
of the case with other jurors." Pet. 10-11. If Jefferson's opinions
or statements were the real ground for her removal, petitioner argues, the
district court was required to conduct an inquiry into those alleged statements.
Pet. 10-15 (citing United States v. Resko, 3 F.3d 684 (3d Cir. 1993)). That
fact-bound claim of pretext, however, was properly rejected by the court
of appeals, Pet. App. 11a, in light of the abundant record evidence and
specific factual findings showing that juror Jefferson was removed for sleeping
during trial, see note 2, supra.
b. Petitioner also suggests (Pet. 12) that the district court erred in relying
on its law clerk's observation that Jefferson slept during closing arguments.
The district court, however, did not base its decision on ex parte communications
with its law clerk. Rather, the law clerk testified at a hearing and was
subject to cross-examination. Pet. App. 11a. Moreover, as the court of appeals
recognized, the district court itself observed Jefferson sleeping, and it
could properly take judicial notice of the conduct of a juror in open court.
Ibid. (citing United States v. Carter, 433 F.2d 874, 876 (10th Cir. 1970)).
2. Petitioner next contends that the district court erroneously instructed
the jury on a New Jersey statute governing gifts to public servants, N.J.
Stat. Ann. § 2C:27-6 (West 1995). Pet. 15-19.3 The propriety of instructions
on the content of a state gratuity law does not warrant this Court's review.
See Salve Regina College v. Russell, 499 U.S. 225, 235 n.3 (1991). Moreover,
because petitioner did not object to the instructions in the district court
(see Gov't C.A. Br. 47 n.10; C.A. App. 5508, 5549-5554, 6652-6656), the
claim is reviewable only for plain error. See United States v. Olano, 507
U.S. 725 (1993). Here, there was no error, plain or otherwise.
Petitioner's primary concern seems to be the instruction that the government
"does not have to produce express testimony from the giver, taker,
or another, that the benefit was given to influence official duties."
Pet. 16. He likewise objects to the instruction that "when the benefit's
value is great enough, and the taker is in a position to act in his official
capacity to help or hurt the giver of the benefit, * * * you may infer that
the benefit was accepted to influence the public servant with respect to
his duties." Ibid. Those instructions, however, correctly state New
Jersey law. The language of Section 2C:27-6 does not require "express
testimony" regarding a public official's intent or agreement. To the
contrary, Section 2C:27-6(c) authorizes the very inference the jury instructions
mention. "[T]he capacity to influence a public servant * * * may be
presumed when the value of the benefit involved, the interests of the person
who offers [or] confers * * * such benefit, and the duties of the public
servant are such as to create a reasonable likelihood that the public servant
would perform his official duties in a biased or partial manner." N.J.
Stat. Ann. § 2C:27-6(c) (West 1995).
Nor does New Jersey case law require testimony that the purpose of the gift
was to influence the public servant. State v. Savoie, 341 A.2d 598 (N.J.
1975), on which petitioner relies, involved a prosecution under a different
statute, now-repealed N.J. Stat. Ann. § 2A:105-1, rather than Section
2C:27-6. Moreover, the conviction in Savoie itself was reversed because,
unlike here, the trial court's instructions would have allowed the defendant
to be convicted even if the jury believed that the payment was "a pure
gift," i.e., that it was not intended to influence, and was not perceived
as being intended to influence, the public officer's performance of his
duties. Savoie, 341 A.2d at 605.4
Petitioner also argues (Pet. 18-19) that the district court's instructions
regarding Section 2C:27-6 were inconsistent with this Court's interpretation
of the federal illegal gratuity statute at issue in United States v. Sun-Diamond
Growers, 119 S. Ct. 1402 (1999). In Sun-Diamond, this Court found that 18
U.S.C. 201(c) (1)(A) requires the government to prove a link between the
thing of value conferred on the public official and a specific "official
act" for or because of which that thing was given. 119 S. Ct. at 1411.
But the statutory interpretation question resolved in Sun-Diamond turned
on the specific language of Section 201(c)(1)(A), which proscribed giving
anything of value to a public official "for or because of any official
act performed or to be performed by such public official." The New
Jersey statute at issue here contains different language, and nothing in
Sun Diamond suggests that federal law somehow imposes additional proof requirements
with respect to such state laws. See United States v. Frega, 179 F.3d 793,
805 & n.11 (9th Cir. 1999) (observing that California law differs from
the statute discussed in Sun-Diamond because California bribery law does
not require a link between the gift and a specific official act).
3. Petitioner contends (Pet. 19-26) that the district court failed to instruct
the jury that proof of a quid pro quo was required to convict petitioner
under the Hobbs Act.
a. The Hobbs Act bars extortion "induced by wrongful use of actual
or threatened force, violence, or fear, or under color of official right."
18 U.S.C. 1951(b)(2). In McCormick v. United States, 500 U.S. 257 (1991),
this Court held that, where a campaign contribution is alleged to have been
obtained "under color of official right," the government must
show a quid pro quo. Petitioner claims that such proof also should be required
in cases not involving campaign contributions. Whether or not petitioner
is correct,5 that question is not presented by this case because the district
court in fact required the jury to find a quid pro quo here. The court instructed
the jury that it could convict only if it found that petitioner had "agree[d]
explicitly or implicitly to take or withhold some action for the purpose
of obtaining money from someone else,"; the court also referred to
the public official's "promise to the payor to do or not to do an official
act," and instructed the jury that the crime was completed only "when
the public official knowingly accepts the benefit in return for his agreement
to perform or not to perform an act related to his office." C.A. App.
6269-6270 (emphasis added). The instruction concluded by underscoring the
government's obligation to prove that "the public official understands
that he is expected, as a result of the payment, to exercise particular
kinds of influence or to do certain things connected with his office as
specific opportunities arise." Id. at 6270.
b. The court of appeals correctly rejected petitioner's further argument,
Pet. 22-23, that the government was required to prove an "express agreement"
between petitioner and Bradley relative to the quid pro quo. Pet. App. 14a-16a.
As this Court made clear in Evans, the government need only show that petitioner
received the payment "knowing that [it] was made in return for official
acts." Evans, 504 U.S. at 268. See also id. at 274 (Kennedy, J., concurring)
("[A] quid pro quo with the attendant corrupt motive can be inferred
from an ongoing course of conduct," and "[t]he official and the
payor need not state the quid pro quo in express terms, for otherwise the
law's effect could be frustrated by knowing winks and nods."); United
States v. Tucker, 133 F.3d 1208, 1215 (9th Cir. 1998) (to support a Hobbs
Act conviction the government must show that the official received the payment
knowing it was in return for official acts; it need not show an explicit
agreement).
The cases cited by petitioner are not to the contrary. In United States
v. Hairston, 46 F.3d 361, cert. denied, 516 U.S. 840 (1995) (cited Pet.
20, 21), the Fourth Circuit expressly held that the quid pro quo need not
be stated in express terms, or be manifested in an express agreement. In
United States v. Martinez, 14 F.3d 543 (11th Cir. 1994) (cited Pet. 20),
the court of appeals reversed the conviction not because an express agreement
had not been proved, but rather because the district court "failed
to instruct the jury on the quid pro quo requirement" at all, a fact
the government conceded. 14 F.3d at 553.6 Similarly, in United States v.
Davis, 30 F.3d 108 (11th Cir. 1994), the district court defined a quid pro
quo in its instructions, but did not require the jury to find a quid pro
quo in order to convict. Rather, the court "informed the jury that
'a specific quid pro quo is not always necessary for a public official to
be guilty of extortion.'" Id. at 109. Although the Eleventh Circuit
in Davis also indicated that "an explicit promise by a public official
to act or not act is an essential element of Hobbs Act extortion,"
ibid., that reasoning was not essential to the decision, and this Court
in any event made clear in Evans that such an "explicit promise or
undertaking" may be proved by evidence that a public official received
a payment "knowing that [it] was made in return for official acts,"
504 U.S. at 268.
4. Petitioner claims (Pet. 23-26) the district court erred in declining
to instruct the jury that, to convict him of mail and wire fraud, "[t]he
government must show that some actual harm or injury was contemplated"
by petitioner. C.A. App. 6668 (requested instruction). The mail fraud and
wire fraud counts against petitioner, however, alleged that, as a public
official, he defrauded the State of New Jersey, the City of Newark, and
their citizens, of their intangible right to his honest services.7 The instruction
requested by petitioner is not required in such a case. See 18 U.S.C. 1346
(for purposes of mail fraud and wire fraud statutes, "the term 'scheme
or artifice to defraud' includes a scheme or artifice to deprive another
of the intangible right of honest services"). To the contrary, the
district court's instructions-which informed the jury that the government
needed to prove beyond a reasonable doubt that (1) there was a scheme or
artifice to defraud another of the right to honest services, (2) that petitioner
knowingly and willfully participated in the scheme to defraud, with the
specific intent to defraud another of the right to honest services, and
(3) that the mail or interstate wires were used in furtherance of the scheme,
C.A. App. 6283-correctly described the law. See Pereira v. United States,
347 U.S. 1, 8 (1954). Accordingly, the court of appeals properly concluded
that petitioner's claim was "clearly without merit." Pet. App.
16a-17a.
Petitioner points out (Pet. 23-24) that in United States v. Jain, 93 F.3d
436 (1996), cert. denied, 520 U.S. 1273 (1997), the Eighth Circuit required
proof of "actual harm or injury contemplated by the schemer."
Id. at 441. But Jain did not involve a public official. Instead, it involved
a doctor alleged to have defrauded his patients of his "honest services"
by receiving kick- backs. The Jain court distinguished private sector cases
under Section 1346 from prosecutions of public officials. Id. at 441-442.
The other decisions cited by petitioner involving alleged fraud in the private
sector (Pet. 25) are similarly inapposite. See United States v. D'Amato,
39 F.3d 1249 (2d Cir. 1994) (lobbyist who allegedly defrauded corporation);
United States v. Dowling, 739 F.2d 1445 (9th Cir. 1984), (alleged scheme
by record manufacturer to defraud copyright owners of royalty fees), reversed
in part on other grounds, 473 U.S. 207 (1985); United States v. Von Barta,
635 F.2d 999 (2d Cir. 1980), cert. denied, 450 U.S. 998 (1981) (trader of
bonds who allegedly breached fiduciary duty to employer); United States
v. Dixon, 536 F.2d 1388 (2d Cir. 1976) (corporate officer who allegedly
defrauded stockholders by failing to follow proxy reporting rules).
Petitioner also cites the First Circuit's decision in United States v. Sawyer,
85 F.3d 713 (1996), a case involving a lobbyist who provided a legislator
with "free meals, entertainment, and golf." Id. at 730. The Sawyer
court reversed the fraud convictions because it concluded that the instructions
allowed the jury to find that the defendant's violation of a state gift
limitation statute, without more, established an intent to defraud under
the federal mail fraud statute. Id. at 729 ("Allowing the jury to find
that Sawyer intended to defraud the public of its right to honest services
based upon proof of gift statute violations alone constituted reversible
error."). While the Sawyer decision further suggested that, in the
circumstances of that case, proof of an intent to harm was required, it
did not say that the required intent must be to cause tangible loss, but
rather that it must be an intent "to deprive of honest services."
Id. at 729 n.12; see also id. at 724 ("undisclosed, biased decision
making for personal gain, whether or not tangible loss to the public is
shown, constitutes a deprivation of honest services").8
Finally, petitioner errs in asserting (Pet. 24-25) that the result reached
below conflicts with United States v. Rabbitt, 583 F.2d 1014 (8th Cir. 1978),
cert denied, 489 U.S. 1116 (1979). In Rabbitt, the court found no deprivation
of honest services where a state representative introduced a friend's firm
to the public officials responsible for awarding architectural contracts.
Id. at 1025-1026. In Rabbitt, however, the defendant played no role in the
awards, which were granted on merit. Id. at 1026. Moreover, the defendant
in Rabbitt "was under no affirmative duty to disclose his interest."
Ibid. (noting that the government had cited no standard of conduct applicable
to legislators that clearly required disclosure). Here, petitioner misused
his authority to assist Bradley and his clients in obtaining contracts-by
keeping other potential competitors out of the bidding and by passing along
information-and petitioner "did not reveal his receipt of [the Bradley]
payments on financial forms he was required to file by reason of his public
positions." Pet. App. 4a.
5. Petitioner's final claim is that the district court should have, under
Federal Rule of Evidence 403, excluded evidence that the FBI found $157,000
in cash when it searched the residence of petitioner's girlfriend, Janice
Williams, in November 1995. He argues that the evidence of the cash was
inflammatory and that its probative value was substantially outweighed by
the danger of unfair prejudice. Pet. 26-30. That claim involves only the
application of established legal principles to the specific facts of this
case, and was correctly resolved by the court of appeals in any event.
As the court of appeals observed, the government "had a legitimate
reason to offer the evidence to attack Williams' credibility." Pet.
App. 10a. Williams claimed that she had found that cash in her father's
house in October 1995, and had taken it to her residence. Id. at 8a-10a.
The evidence that her father had that much cash, however, undercut Williams'
assertion that she had loaned her father the proceeds of Bradley's first
$3600 check to her. Id. at 9a. Moreover, evidence that Williams had that
much money impeached her testimony that Bradley's three payments to her
were loans, as Williams did not repay Bradley for the supposed loans when
she found the $157,000. Ibid.
While that evidence thus was highly relevant to Williams' credibility, it
was also presented in a manner that minimized the possibility of undue prejudice.
The government made no effort at trial to link the cash to petitioner. Pet.
App. 9a. And the district court gave explicit limiting instructions to the
jury regarding the permissible uses of that evidence. Id. at 10a. Petitioner
offers no reason to depart from "the almost invariable assumption of
the law that jurors follow their instructions." Shannon v. United States,
512 U.S. 573, 585 (1994). See also Marshall v. Lonberger, 459 U.S. 422,
438 n.6 (1983) (limiting instruction regarding purposes for which evidence
of prior convictions may be used); Spencer v. Texas, 385 U.S. 554, 561 (1967)
(same). Under those circumstances, the court of appeals correctly found
no reason to overturn as an abuse of discretion the district court's decision
to admit the evidence.
CONCLUSION
The petition for a writ of certiorari should be denied.
Respectfully submitted.
SETH P. WAXMAN
Solicitor General
JAMES K. ROBINSON
Assistant Attorney General
WILLIAM C. BROWN
Attorney
SEPTEMBER 1999
1 Jefferson is identified by petitioner as "Alternate Juror Number
1." Pet. 5-11. Although Jefferson was an alternate juror, other jurors
were excused and the court of appeals decided the case under the assumption
that she would have deliberated if she had not been removed by the district
court. See Pet. App. 8a.
2 In its memorandum opinion, the district court noted that government counsel
had reported seeing Jefferson sleeping during the trial, and that the court's
law clerk had testified that she too saw Jefferson sleeping and snoring
during the government's closing argument. Pet. App. 37a. The district court
reported that it observed Jefferson sleeping during the summations of defense
counsel later on. Ibid. The district court expressed concern that Jefferson
"may very well not have been following the testimony" and found
that "[t]here is no question that she was not following the closing
arguments." Ibid. The district court therefore ruled that Jefferson
would be excused pursuant to Rule 24(c) as "unable to effectively perform
her duty as a juror due to her napping during the argument." Id. at
38a. Because Jefferson was excused on that ground, the district court expressly
declined to address "whether Ms. Jefferson had previously made up her
mind on any of the issues in this case." Ibid.
3 The New Jersey statute was relevant to petitioner's convictions under
18 U.S.C. 1952 on counts seven through twelve. Those counts charged the
use of a facility in interstate commerce to distribute the proceeds of an
unlawful activity and to carry on an unlawful activity. The unlawful activity
here was the acceptance of a benefit not allowed by state law (N.J. Stat.
Ann. § 2C:27-6(a)) to influence the performance of petitioner's official
duties. C.A. App. 46-49. The New Jersey statute provides in pertinent part:
2C:27-6. Gifts to public servants-
a. A public servant commits a crime if he, knowingly and under color of
his office, directly or indirectly solicits, accepts or agrees to accept
any benefit not allowed by law to influence the performance of his official
duties.
b. A person commits a crime if he, directly or indirectly, confers or agrees
to confer any benefit not allowed by law to a public servant to influence
the performance of his official duties.
c. In any prosecution under this section, the capacity to influence a public
servant in the performance of his official duties may be presumed when the
value of the benefit involved, the interests of the person who offers, confers
or agrees to confer such benefit, and the duties of the public servant are
such as to create a reasonable likelihood that the public servant would
perform his official duties in a biased or partial manner.
d. This section shall not apply to:
(1) Fees prescribed by law to be received by a public servant, or any other
benefit to which he is otherwise legally entitled; or
(2) Gifts or other benefits conferred on account of kinship or other personal,
professional or business relationship independent of the official status
of the recipient; or
(3) Trivial benefits the receipt of which involve no risk that the public
servant would perform his official duties in a biased or partial manner.
4 Petitioner suggests (Pet. 17) that a citation to Savoie in the commentary
to Section 2C:27-6 supports his interpretation of the statute, but the commentary
in fact suggests that Section 2C:27-6 should not be interpreted to require
an explicit quid pro quo. Cannel, New Jersey Criminal Code Annotated, comment
4 on N.J. Stat. Ann. § 2C:27-6 (West 1995) (noting that it better serves
the purpose of the section "to read 'under color of office' as meaning
related to the office sufficiently to influence public duties").
5 In Evans v. United States, 504 U.S. 255 (1992), another campaign contributions
case, the Court held that an affirmative act of inducement by a public official,
such as a demand, is not an element of the offense of extortion under color
of official right. Rather, the government "need only show that a public
official has obtained a payment to which he was not entitled, knowing that
the payment was made in return for official acts." Id. at 268. Since
Evans, several courts of appeals have held that proof of a quid pro quo
is required in all prosecutions for extortion under color of official right,
even those which, like this case, do not involve campaign contributions.
See, e.g., United States v. Collins, 78 F.3d 1021, 1034 (6th Cir.), cert.
denied, 519 U.S. 872 (1996); United States v. Hairston, 46 F.3d 361, 365
(4th Cir.), cert. denied, 516 U.S. 840 (1995); United States v. Martinez,
14 F.3d 543, 553 (11th Cir. 1994); United States v. Garcia, 992 F.2d 409,
414 (2d Cir. 1993).
6 The jury was instructed in Martinez that "passive acceptance of a
benefit by a public official is sufficient to form the basis of an extortion
violation, if the official knows he had been offered the payment in exchange
for the exercise of his official power, or that such payment is motivated
by hope of influence." 14 F.3d at 552 (emphasis added).
7 The mail and wire fraud statutes, 18 U.S.C. 1341, 1343, proscribe mailings
and wire transmissions in furtherance of "any scheme or artifice to
defraud." In McNally v. United States, 483 U.S. 350 (1987), this Court
held that Section 1341 was "limited in scope to the protection of property
rights" and did not criminalize schemes "designed to deprive individuals,
the people, or the government of intangible rights." Id. at 358, 360.
The following year, Congress enacted 18 U.S.C. 1346, which provides that,
for purposes of the mail fraud and wire fraud statutes, "the term 'scheme
or artifice to defraud' includes a scheme or artifice to deprive another
of the intangible right of honest services." Anti-Drug Abuse Act of
1988, Pub. L. No. 100-690, § 7603(a), 102 Stat. 4508.
8 Moreover, the Sawyer decision involved the limited context of a lobbyist's
gifts of entertainment to legislators, and the court noted the "longstanding
and pervasive" practice of "using hospitality, including lavish
hospitality, to cultivate business or political relationships." 85
F.3d at 741; see United States v. Woodward, 149 F.3d 46, 55 (1st Cir. 1998)
(noting limited context of Sawyer), cert. denied, 119 S. Ct. 1026 (1999);
John C. Coffee, Jr., Modern Mail Fraud: The Restoration of the Public/Private
Distinction, 35 Am. Crim. L. Rev. 427, 460 (1998) (observing that "decisions
such as Sawyer are best viewed as cases in which the gratuities received
(i.e., meals and drinks and golf rounds) were too inconsequential to amount
to a fiduciary breach"). In addition, the First Circuit has made it
clear that a public official can "steal his honest services" from
his public employer by "fail[ing] to disclose a conflict of interest,
resulting in a personal gain." Woodward, 149 F.3d at 56 (citing Sawyer,
85 F.3d at 724).