United States Court of Appeals,
Ninth Circuit.
Planned Parenthood of Columbia/Willamette, Inc. v. American Coalition of Life Activists
290 F.3d 1058 (9th Cir. 2002)
Opinion by Judge RYMER; Dissent by Judge REINHARDT; Dissent by Judge KOZINSKI; Dissent by Judge BERZON.
RYMER, Circuit Judge.
For the first time we construe what the Freedom of Access to Clinics
Entrances Act (FACE), 18 U.S.C. § 248, means by "threat of force."
FACE gives aggrieved persons a right of action against whoever by
"threat of force ... intentionally ... intimidates ... any person
because that person is or has been ... providing reproductive health
services." 18 U.S.C. § 248(a)(1) and (c)(1)(A). This requires that
we define "threat of force" in a way that comports with the First
Amendment, and it raises the question whether the conduct that occurred
here falls within the category of unprotected speech.
Four physicians, Dr. Robert Crist, Dr. Warren M. Hern, Dr. Elizabeth
Newhall, and Dr. James Newhall, and two health clinics that provide
medical services to women including abortions, Planned Parenthood of
the Columbia/Willamette, Inc. (PPCW) and the Portland Feminist Women's
Health Center (PFWHC), brought suit under FACE claiming that they
were targeted with threats by the American Coalition of Life Activists
(ACLA), Advocates for Life Ministries (ALM), and numerous
individuals. Three threats remain at issue: the Deadly Dozen
"GUILTY" poster which identifies Hern and the Newhalls among ten
others; the Crist "GUILTY" poster with Crist's name, addresses and
photograph; and the "Nuremberg Files," which is a compilation about
those whom the ACLA anticipated one day might be put on trial for
crimes against humanity. The "GUILTY" posters identifying specific
physicians were circulated in the wake of a series of "WANTED" and
"unWANTED" posters that had identified other doctors who performed
abortions before they were murdered.
Although the posters do not contain a threat on their face, the
district court held that context could be considered. It defined a
threat under FACE in accordance with our "true threat" jurisprudence,
as a statement made when "a reasonable person would foresee that the
statement would be interpreted by those to whom the maker communicates
the statement as a serious expression of intent to harm." Applying this
definition, the court denied ACLA's motion for summary judgment in a
published opinion. Planned Parenthood of the Columbia/Willamette, Inc.
v. ACLA (PPCW II ), 23 F.Supp.2d 1182 (D.Or.1998). The jury
returned a verdict in physicians' favor, and the court enjoined ACLA
from publishing the posters or providing other materials with the
specific intent to threaten Crist, Hern, Elizabeth Newhall, James
Newhall, PPCW, or the Health Center. Planned Parenthood of the
Columbia/Willamette, Inc. v. ACLA (PPCW III ), 41 F.Supp.2d 1130
(D.Or.1999). ACLA timely appealed.
A panel of this court reversed. In its view, the standard adopted by
the district court allowed the jury to find ACLA liable for putting the
doctors in harm's way by singling them out for the attention of
unrelated but violent third parties, conduct which is protected by the
First Amendment, rather than for authorizing or directly threatening
harm itself, which is not. Planned Parenthood of the
Columbia/Willamette, Inc. v. ACLA (PPCW IV ), 244 F.3d 1007 (9th Cir.),
reh'g en banc granted, 268 F.3d 908 (9th Cir.2001). The panel decided
that it should evaluate the record independently to determine whether
ACLA's statements could reasonably be construed as saying that ACLA, or
its agents, would physically harm doctors who did not stop performing
abortions. Having done so, the panel found that the jury's verdict
could not stand.
We reheard the case en banc because these issues are obviously
important. We now conclude that it was proper for the district court to
adopt our long-standing law on "true threats" to define a "threat" for
purposes of FACE. FACE itself requires that the threat of force be made
with the intent to intimidate. Thus, the jury must have found that ACLA
made statements to intimidate the physicians, reasonably foreseeing
that physicians would interpret the statements as a serious expression
of ACLA's intent to harm them because they provided reproductive health
services. Construing the facts in the light most favorable to
physicians, the verdict is supported by substantial evidence. ACLA was
aware that a "wanted"-type poster would likely be interpreted as a
serious threat of death or bodily harm by a doctor in the reproductive
health services community who was identified on one, given the previous
pattern of "WANTED" posters identifying a specific physician followed
by that physician's murder. The same is true of the posting about these
physicians on that part of the "Nuremberg Files" where lines were drawn
through the names of doctors who provided abortion services and who had
been killed or wounded. We are independently satisfied that to this
limited extent, ACLA's conduct amounted to a true threat and is not
protected speech.
As we see no reversible error on liability or in the equitable relief
that was granted, we affirm. However, we remand for consideration of
whether the punitive damages award comports with due process.
I
The facts are fully set out in the district court's order granting
injunctive relief, PPWC III, 41 F.Supp.2d at 1131-1155, and we shall
not belabor them. In sum:
On March 10, 1993, Michael Griffin shot
and killed Dr. David Gunn as he entered an abortion clinic in
Pensacola, Florida. Before this, a "WANTED" and an "unWANTED" poster
with Gunn's name, photograph, address and other personal information
were published. The "WANTED" poster describes Gunn as an abortionist
and invites participation by prayer and fasting, by writing and
calling him and sharing a willingness to help him leave his profession,
and by asking him to stop doing abortions; the "unWANTED" poster states
that he kills children at designated locations and "[t]o defenseless
unborn babies Gunn in [sic] heavily armed and very dangerous." After
Gunn's murder, Bray and Paul Hill (a non-party who was later convicted
of murdering a different doctor) prepared a statement supporting
Griffin's acquittal on a justifiable homicide theory, which ALM,
Burnett, Crane, Dodds, Foreman, McMillan, Ramey and Stover joined.
On August 21, 1993, Dr. George Patterson, who operated the clinic where
Gunn worked, was shot to death. A "WANTED" poster had been circulated
prior to his murder, indicating where he performed abortions and that
he had Gunn perform abortions for his Pensacola clinic.
In July 1994, Dr. John Bayard Britton was murdered by Paul Hill after
being named on an "unWANTED" poster that Hill helped to prepare. One
gives Britton's physical description together with his home and office
addresses and phone numbers, and charges "crimes against humanity";
another also displays his picture and states that "he is considered
armed and extremely dangerous to women and children. Pray that he is
soon apprehended by the love of Jesus!!!" In addition to these items, a
third version of the Britton "unWANTED" poster lists personal
achievements and Britton's "crimes against humanity," also warning that
"John Bayard Britton is considered armed and extremely dangerous,
especialy [sic] to women and children." ALM, Bray, Burnett, Crane,
McMillan, Ramey and Stover signed a petition supporting Hill.
Many pro-life activists in Operation Rescue condemned these acts of
violence. As a result, ALM, Bray, Burnett, Crane, Foreman, McMillan,
Ramey and Stover, who espoused a "pro-force" point of view, split off
to form ACLA. Burnett observed, "if someone was to condemn any violence
against abortion, they probably wouldn't have felt comfortable working
with us." Organizational meetings were held in the spring of 1994, and
ACLA's first event was held in August 1994. ACLA is based in Portland,
Oregon, as is ALM. ALM publishes Life Advocate, a magazine that is
distributed nationally and advocates the use of force to oppose the
delivery of abortion services. Except for Bray, who authored A Time to
Kill and served time in federal prison for conspiring to bomb ten
clinics, the individual defendants were directors of ACLA and actively
involved in its affairs. ALM commissioned and published Bray's book,
noting that it "shows the connection between the [justifiable homicide]
position and clinic destruction and the shootings of abortionists."
Wysong and ACLA also drafted and circulated a "Contract on the Abortion
Industry," having deliberately chosen that language to allude to mafia
hit contracts.
ACLA presented the Deadly Dozen poster during a January 25, 1995 press
conference at the March for Life event in Washington, D.C. Bray,
Burnett, Crane, Dodds, Foreman, McMillan, Murch, Ramey, Stover,
Treshman and Wysong were there; Dreste later ratified the poster's
release. This poster is captioned "GUILTY" at the top (which meant the
same thing to Crane, who drafted it, as "wanted"), beneath which in
slightly smaller print the poster indicates "OF CRIMES AGAINST
HUMANITY." The poster continues: "Abortion was provided as a choice for
East European and Jewish women by the (Nazi) National Socialist Regime,
and was prosecuted during the Nuremberg Trials (1945-46) under Allied
Control Order No. 10 as a 'war crime.' " Under the heading "THE DEADLY
DOZEN," the poster identifies thirteen doctors of whom James Newhall,
Elizabeth Newhall, and Warren Hern are three. The poster provides
Hern's residence and the home address of James Newhall and Elizabeth
Newhall; it also lists the name and home address of Dr. George Kabacy,
a doctor who provided abortions at PPCW. It offers a "$5,000 REWARD"
"for information leading to arrest, conviction and revocation of
license to practice medicine." At the bottom the poster bears the
legend "ABORTIONIST" in large, bold typeface. The day after the Deadly
Dozen poster was released, the FBI offered protection to doctors
identified on it and advised them to wear bulletproof vests and take
other security precautions, which they did. Knowing this, ALM reprinted
the poster in the March 1995 edition of its magazine Life Advocate
under a cover with the "grim reaper" holding a scythe; Murch printed it
in his newsletter Salt & Light; and ACLA republished the Deadly
Dozen poster at events in August 1995 and January 1996.
ACLA released the Crist poster along with five others in August 1995 at
the old federal courthouse in St. Louis where the Dred Scott decision
had been handed down. Burnett, Crane, Dreste, McMillan, Ramey, Stover
and Wysong attended the event. Three of the posters identify doctors;
the others identify reproductive health care clinics, one of which was
a Planned Parenthood affiliate where Crist worked. The Crist poster has
"GUILTY" in large bold letters at the top followed by "OF CRIMES
AGAINST HUMANITY" in smaller font. It also gives his home and work
addresses; states "Please write, leaflet or picket his neighborhood to
expose his blood guilt"; offers a "$500 REWARD" "to any ACLA
organization that successfully persuades Crist to turn from his child
killing through activities within ACLA guidelines"; and has
"ABORTIONIST" in large bold type at the bottom.
At its January 1996 conference, ACLA displayed the Deadly Dozen poster,
held a "White Rose Banquet" to honor prisoners convicted of
anti-abortion violence, and introduced ALM's Paul deParrie to unveil
the "Nuremberg Files." ACLA sent a hard copy of some of the Files to
Neal Horsley (a non-party) to post on the internet, and ACLA's name
appeared on the Nuremberg Files website opened in January 1997.
Approximately 200 people are listed under the label "ABORTIONISTS: the
shooters," and 200 more are listed under Files for judges, politicians,
law enforcement, spouses, and abortion rights supporters. Crist, Hern
and the Newhalls are listed in the "abortionists" section, which bears
the legend: "Black font (working); Greyed-out Name (wounded);
Strikethrough (fatality)." The names of Gunn, Patterson and Britton are
struck through.
By January 1995 ACLA knew the effect that "WANTED," "unWANTED," or
"GUILTY" posters had on doctors named in them. For example, in a
September 1993 issue of Life Advocate which reported that an "unwanted"
poster was being prepared for Britton, ALM remarked of the Gunn murder
that it "sent shock waves of fear through the ranks of abortion
providers across the country. As a result, many more doctors quit out
of fear for their lives, and the ones who are left are scared stiff."
Of another doctor who decided to quit performing abortions after
circulation of a "Not Wanted" poster, Bray wrote that "it is clear to
all who possess faculties capable of inductive analysis: he was
bothered and afraid." Wysong also stated: "Listening to what
abortionists said, abortionists who have quit the practice who are no
longer killing babies but are now pro-life. They said the two things
they feared the most were being sued for malpractice and having their
picture put on a poster." And Burnett testified with respect to the
danger that "wanted" or "guilty" posters pose to the lives of those who
provide abortions: "I mean, if I was an abortionist, I would be afraid."
By January 1995 the physicians knew about the Gunn, Patterson and
Britton murders and the posters that preceded each. Hern was terrified
when his name appeared on the Deadly Dozen poster; as he put it: "The
fact that wanted posters about these doctors had been circulated, prior
to their assassination, and that the--that the posters, then, were
followed by the doctor's assassination, emphasized for me the danger
posed by this document, the Deadly Dozen List, which meant to me
that--that, as night follows day, that my name was on this wanted
poster ... and that I would be assassinated, as had the other doctors
been assassinated." Hern interpreted the poster as meaning "Do what we
tell you to do, or we will kill you. And they do." Crist was "truly
frightened," and stopped practicing medicine for a while out of fear
for his life. Dr. Elizabeth Newhall interpreted the Deadly Dozen poster
as saying that if she didn't stop doing abortions, her life was at
risk. Dr. James Newhall was "severely frightened" in light of the
"clear pattern" of a wanted poster and a murder when there was "another
wanted poster with my name on it."
The jury found for plaintiffs on all claims except for Bray and
Treshman on the RICO claims. The district court then considered
equitable relief. It found that each defendant used intimidation as a
means of interfering with the provision of reproductive health
services; that each independently and as a co-conspirator published and
distributed the Deadly Dozen poster, the Crist poster, and the
Nuremberg Files; and that each acted with malice and specific intent in
communicating true threats to kill, assault or do bodily harm to each
of the plaintiffs to intimidate them from engaging in legal medical
practices and procedures. The court found that the balance of hardships
weighed "overwhelmingly" in plaintiffs' favor. It also found that the
defendants' actions were not protected speech under the First
Amendment. Accordingly, it issued a permanent injunction restraining
defendants from threatening, with the specific intent to do so, any of
the plaintiffs in violation of FACE; from publishing or distributing
the Deadly Dozen poster and the Crist poster with specific intent to
threaten the plaintiffs; from providing additional material concerning
plaintiffs, with a specific intent to threaten, to the Nuremberg Files
or similar web site; and from publishing or distributing the personally
identifying information about the plaintiffs in the Files with a
specific intent to threaten. The court also required defendants to turn
over materials that are not in compliance with the injunction except
for one copy of anything included in the record, which counsel was
permitted to retain.
II
Before turning to the merits, we must consider the standard of review
because ACLA contends that in a free speech case it is de novo. Relying
on Bose Corp. v. Consumers Union of United States, Inc., 466 U.S. 485,
104 S.Ct. 1949, 80 L.Ed.2d 502 (1984), ACLA submits that we must first
determine for ourselves whether its speech is classic protected
speech or is a "true threat" by reviewing the entire record.
Physicians assert that the standard of review for which ACLA contends
comes from libel cases, but that threat cases are different; the more
searching review of the record incumbent upon courts in libel cases,
they urge, is inapposite to threat cases. They also point out that we
have decided all of our threats cases without engaging in de novo
review of the factual record. See, e.g., United States v. Gilbert, 884
F.2d 454, 457 (9th Cir.1989) (Gilbert II ) ("Viewed as a whole, and
using the contextual analysis we have used for other statutes, a
rational trier of fact could find a threat."); United States v. Gordon,
974 F.2d 1110, 1117 (9th Cir.1992) ("Although some of the factual
circumstances surrounding the incident suggest a contrary result, the
jury acted reasonably [in finding that] the threats were serious.");
United States v. Orozco-Santillan, 903 F.2d 1262, 1266 (9th Cir.1990)
("[A] rational jury could conclude that Orozco Santillan's statement
... was a threat."); see also United States v. Hoff, 22 F.3d 222, 224
(9th Cir.1994) (reviewing for clear error conviction for intimidating
forest ranger).
We do not entirely agree with either side. It is true that our threats
cases have been decided without conducting a de novo review of the
factual record, but the issue was not squarely presented in any of
those cases. For this reason, we cannot take it as definitively
resolved.
In Bose (a defamation action arising out of a publication about
loudspeaker systems), the Court confronted an apparent conflict between
Federal Rule of Civil Procedure 52(a), providing that findings of fact
shall not be set aside unless clearly erroneous, and its rule in cases
raising First Amendment issues that "an appellate court has an
obligation to 'make an independent examination of the whole record' in
order to make sure that 'the judgment does not constitute a forbidden
intrusion on the field of free expression.' " Bose, 466 U.S. at 498-99,
104 S.Ct. 1949 (quoting New York Times Co. v. Sullivan, 376 U.S. 254,
284-86, 84 S.Ct. 710, 11 L.Ed.2d 686 (1964)). The Court noted that it
had previously exercised independent judgment on questions such as
whether particular remarks are "fighting words," Street v. New York,
394 U.S. 576, 592, 89 S.Ct. 1354, 22 L.Ed.2d 572 (1969), and whether,
as a matter of constitutional law, a motion picture is obscene. Jenkins
v. Georgia, 418 U.S. 153, 159-61, 94 S.Ct. 2750, 41 L.Ed.2d 642 (1974).
In this connection, the Court observed that in Jenkins it had rejected
the notion that a jury finding (there of obscenity) "is insulated from
review so long as the jury was properly instructed and there is some
evidence to support its findings"; rather, substantive constitutional
limitations govern. Bose, 466 U.S. at 506-07, 104 S.Ct. 1949.
Therefore, it concluded, appellate judges must themselves determine
whether the record establishes the constitutional facts required for
showing actual malice with convincing clarity in a case governed by New
York Times. This obligation does not, however, extend to any evidence
that is not germane to the actual malice (or core constitutional fact)
determination. Id. at 514 n. 31, 104 S.Ct. 1949.
The Court revisited the issue in Harte-Hanks Communications, Inc. v.
Connaughton, 491 U.S. 657, 109 S.Ct. 2678, 105 L.Ed.2d 562 (1989).
Harte-Hanks was a libel action against a newspaper, also governed by
New York Times. The court of appeals had affirmed a judgment against
the paper without attempting to make an independent evaluation of the
credibility of conflicting oral testimony concerning the facts
underlying the jury's finding of actual malice. Certiorari was granted
to consider whether the appellate court's analysis was consistent with
Bose. Harte-Hanks conceded that when conducting the independent review
required by New York Times and Bose, a reviewing court should properly
hesitate to disregard a jury's opportunity to observe live testimony
and assess witness credibility, but contended that the Supreme Court
had nevertheless rejected the trial court's credibility determination
in Bose. Justice Stevens, writing for the Court in both Bose and
Harte-Hanks, noted that this was not correct; he explained that in Bose
the Court had accepted the trial court's determination that the author
of the report at issue did not provide credible testimony, but had been
unwilling to infer actual malice from the finding. Id. at 689 n. 35,
109 S.Ct. 2678. The Harte-Hanks Court went on to review the entire
record, holding that given the instructions, the jury's answers to
special interrogatories, and the facts that were not in dispute, the
jury must have found certain testimony incredible and that from these
findings, considered with the undisputed evidence, it followed that the
paper acted with actual malice and that the evidence was sufficient to
support such a finding.
The same rule was reiterated in Hurley v. Irish-American Gay, Lesbian
and Bisexual Group of Boston, 515 U.S. 557, 115 S.Ct. 2338, 132 L.Ed.2d
487 (1995), a First Amendment case involving a parade permit. As the
Court explained: "This obligation rests upon us simply because the
reaches of the First Amendment are ultimately defined by the facts it
is held to embrace, and we must thus decide for ourselves whether a
given course of conduct falls on the near or far side of the line of
constitutional protection." Id. at 567, 115 S.Ct. 2338.
We have discussed the issue a number of times, in connection with
threats in United States v. Merrill, 746 F.2d 458 (9th Cir.1984),
United States v. Gilbert (Gilbert I), 813 F.2d 1523 (9th Cir.1987),
Melugin v. Hames, 38 F.3d 1478 (9th Cir.1994), and Lovell v. Poway
Unified School Dist., 90 F.3d 367 (9th Cir.1996), and in defamation
actions in Newton v. National Broadcasting Co., 930 F.2d 662 (9th
Cir.1990), Eastwood v. National Enquirer, Inc., 123 F.3d 1249 (9th
Cir.1997), and Hoffman v. Capital Cities/ABC, Inc., 255 F.3d 1180 (9th
Cir.2001).
Merrill was prosecuted for mailing injurious articles through the mail
(letters with live .22 caliber rim fire bullets, some with the words
"Kill Reagan," some with pornographic playing cards) and for
threatening the life of the President in violation of 18 U.S.C. §
871. ACLA relies on that part of Merrill where we considered the
obscenity conviction under the Bose standard of review. We interpreted
Bose and Smith v. United States, 431 U.S. 291, 97 S.Ct. 1756, 52
L.Ed.2d 324 (1977), as allowing deferential (sufficiency of the
evidence) review of findings about contemporary community standards and
the offensiveness of the material, but as requiring more extensive
review of the district court's findings that Miller's letters lacked
serious political value. Smith, 431 U.S. at 305, 97 S.Ct. 1756 (whether
a work lacks serious literary, artistic, political, or scientific value
for purposes of an obscenity prosecution is a "determination ...
particularly amenable to appellate review"). However, we did not apply
heightened review to the threats conviction. Instead, we stated:
Whether any given form of written or
oral expression constitutes a true threat for the statute's [§
871] purposes is a question for the trier of fact under all of the
circumstances. Roy v. United States, 416 F.2d [874,] 877-78 [(9th
Cir.1969)]. A few cases may be so clear that they can be resolved as a
matter of law, e.g., Watts v. United States, 394 U.S. 705, 89 S.Ct.
1399, 22 L.Ed.2d 664[ ] (1969) (conditional statement made at
political rally which provoked listeners' laughter was merely
"political hyperbole," and question should not have gone to jury), but
most cases arising under this statute present widely varying fact
patterns that should be left to the trier of fact. United States v.
Carrier, 672 F.2d [300,] 306 [ (2d Cir.1982) ].
Merrill, 746 F.2d at 462-63. Under this standard we held that the
district judge was not clearly erroneous in finding that the letters
constituted an objectively serious threat to harm the President.
We followed Merrill in Gilbert I, 813 F.2d at 1529-30. Gilbert was
charged with violating the Fair Housing Act, 42 U.S.C. § 3631(b)
and (c), by mailing menacing flyers to intimidate the director of an
adoption organization responsible for the placement and adoption of
black and Asian children from aiding minority children's occupancy of
dwellings in Kootenai County. Noting that whether expression is a true
threat is for the trier of fact, we recognized that "[w]hether any
given form of written expression can supply the requisite intent
requirement is a question for the trier of fact." Gilbert I, 813 F.2d
at 1529. Thus, "it is a jury question whether actions and
communications are clearly outside the ambit of first amendment
protection." Id. at 1530. And following the Seventh Circuit's lead in
United States v. Khorrami, 895 F.2d 1186, 1192 (7th Cir.1990), we held
in Melugin that "the issue whether the prosecution has shown a 'true
threat' is a question of fact for the jury, not a question of law for
the court." Melugin, 38 F.3d at 1485.
Lovell was a § 1983 action in which a student was suspended for
allegedly threatening to shoot a teacher. We acknowledged that
"[d]ifferent standards are sometimes used when reviewing district court
cases in which the court adjudged the constitutionality of a
restriction on speech," and that a de novo review of the facts is
conducted when a restriction is upheld. Lovell, 90 F.3d at 370.
Newton was a defamation action brought by Wayne Newton (a public
figure) against NBC. It was tried to a jury, which found actual malice.
The appeal caused us specifically to consider how "to strike the proper
balance between our constitutional (Seventh Amendment) deference to the
factfinder and our constitutional duty to safeguard First Amendment
values" in light of Bose and Harte-Hanks. Newton, 930 F.2d at 666. We
observed that the "independent examination of the record" contemplated
by Bose is " 'not equivalent to a "de novo" review of the ultimate
judgment itself,' " where the reviewing court makes an "original
appraisal of all the evidence to decide whether or not judgment should
be entered for the plaintiff." Id. at 670 n. 10 (quoting Bose, 466 U.S.
at 514 n. 31, 104 S.Ct. 1949). However, we also noted that as a general
rule, we have conducted de novo review of the record when a restriction
on speech has been upheld. Id. (citing Daily Herald Co. v. Munro, 838
F.2d 380, 383 (9th Cir.1988)). We then read Bose and Harte-Hanks as
creating a "credibility exception" to the New York Times rule of
independent review, such that we give "special deference" to
credibility determinations but conduct "a more searching review of
other evidence" germane to the actual malice determination. Id. at 671,
672.
Eastwood was another defamation action in which we engaged in an
independent review of actual malice. We thought that the jury was
properly instructed, but in conducting the review we explained that "it
is not enough for us to determine that a reasonable jury could have
found for the plaintiff-- a kind of sufficiency-of-the-evidence test,
permitting us to affirm even though we would have reached a different
conclusion. Rather, 'First Amendment questions of "constitutional fact"
compel [us to conduct a] de novo review.' We ourselves must be
convinced that the defendant acted with malice," even though we defer
to the jury on questions of credibility. Eastwood, 123 F.3d at 1252
(citations omitted). See also Hoffman, 255 F.3d at 1186 (relying on
Eastwood ).
It is not easy to discern a rule from these cases that can easily be
applied in a threats case where, by definition, a true threat is
constitutionally unprotected. Indeed, FACE on its face requires that
"threat of force" be defined and applied consistent with the First
Amendment. Perhaps this explains why we have treated threat cases
differently, explicitly holding that the question of whether there is a
true threat is for the jury.
We conclude that the proper definition of a "threat" for purposes of
FACE is a question of law that we review de novo. If it were clear that
neither the Deadly Dozen nor the Crist poster, or the Nuremberg Files,
was a threat as properly defined, the case should not have gone to the
jury and summary judgment should have been granted in ACLA's favor. If
there were material facts in dispute or it was not clear that the
posters were protected expression instead of true threats, the question
whether the posters and the Files amount to a "threat of force" for
purposes of the statute was for the trier of fact. Assuming that the
district court correctly defined "threat" and properly instructed the
jury on the elements of liability pursuant to the statute, our review
is for substantial evidence supporting the historical facts (including
credibility determinations) and the elements of statutory liability
(including intent). We review the district court's findings with
respect to injunctive relief for clear error and its conclusions of law
de novo. However, while we normally review the scope of injunctive
relief for abuse of discretion, we will scrutinize the relief granted
in this case to determine whether the challenged provisions of the
injunction burden no more speech than necessary to achieve its goals.
Madsen v. Women's Health Ctr., Inc., 512 U.S. 753, 765, 114 S.Ct. 2516,
129 L.Ed.2d 593 (1994).
Given that the verdict for physicians and the injunctive relief granted
in their favor restrict speech, we review the record independently in
order to satisfy ourselves that the posters and the Files constitute a
"true threat" such that they lack First Amendment protection. We will
consider the undisputed facts as true, and construe the historical
facts, the findings on the statutory elements, and all credibility
determinations in favor of the prevailing party. In this way we give
appropriate deference to the trier of fact, here both the jury and the
district judge, yet assure that evidence of the core constitutional
fact--a true threat--falls within the unprotected category and is
narrowly enough bounded as a matter of constitutional law.
III
ACLA argues that the First Amendment requires reversal because
liability was based on political speech that constituted neither an
incitement to imminent lawless action nor a true threat. It suggests
that the key question for us to consider is whether these posters can
be considered "true threats" when, in fact, the posters on their face
contain no explicitly threatening language. Further, ACLA submits that
classic political speech cannot be converted into non-protected speech
by a context of violence that includes the independent action of others.
Physicians counter that this threats case must be analyzed under the
settled threats law of this circuit. Following precedent, it was proper
for the jury to take context into account. They point out that the
district court limited evidence of anti-abortion violence to evidence
tending to show knowledge of a particular defendant, and maintain that
the objective standard on which the jury was instructed comports both
with Ninth Circuit law and congressional intent. As the First Amendment
does not protect true threats of force, physicians conclude, ACLA's
speech was not protected.
A
We start with the statute under which this action arises. Section
248(c)(1)(A) gives a private right of action to any person aggrieved by
reason of the conduct prohibited by subsection (a). Subsection (a)(1)
provides:
(a) ... Whoever--
(1) by force or threat of force or by
physical obstruction, intentionally injures, intimidates or interferes
with or attempts to injure, intimidate or interfere with any person
because that person is or has been, or in order to intimidate such
person or any other person or any class of persons from, obtaining or
providing reproductive health services ...
shall be subject to the ... civil remedies provided in subsection (c)....
18 U.S.C. § 248(a)(1). The statute also provides that "[n]othing
in this section shall be construed ... to prohibit any expressive
conduct (including peaceful picketing or other peaceful demonstration)
protected from legal prohibition by the First Amendment to the
Constitution." 18 U.S.C. § 248(d)(1).
FACE does not define "threat," although it does provide that "[t]he
term 'intimidate' means to place a person in reasonable apprehension of
bodily harm to him--or herself or to another." 18 U.S.C. §
248(e)(3). Thus, the first task is to define "threat" for purposes of
the Act. This requires a definition that comports with the First
Amendment, that is, a "true threat."
The Supreme Court has provided benchmarks, but no definition.
Brandenburg v. Ohio, 395 U.S. 444, 447, 89 S.Ct. 1827, 23 L.Ed.2d
430 (1969), makes it clear that the First Amendment protects speech
that advocates violence, so long as the speech is not directed to
inciting or producing imminent lawless action and is not likely to
incite or produce such action. So do Hess v. Indiana, 414 U.S. 105, 94
S.Ct. 326, 38 L.Ed.2d 303 (1973) (overturning disorderly conduct
conviction of antiwar protestor who yelled "We'll take the
fucking street later (or again)"), and NAACP v. Claiborne Hardware Co.,
458 U.S. 886, 102 S.Ct. 3409, 73 L.Ed.2d 1215 (1982). If ACLA had
merely endorsed or encouraged the violent actions of others, its speech
would be protected.
However, while advocating violence is protected, threatening a person
with violence is not. In Watts v. United States, 394 U.S. 705, 89 S.Ct.
1399, 22 L.Ed.2d 664 (1969), the Court explicitly distinguished between
political hyperbole, which is protected, and true threats, which are
not. Considering how to construe a statute which prohibited "knowingly
and willfully ... (making) any threat to take the life of or to inflict
bodily harm upon the President," the Court admonished that any statute
which criminalizes a form of pure speech "must be interpreted with the
commands of the First Amendment clearly in mind. What is a threat must
be distinguished from what is constitutionally protected speech." Id.
at 705, 707, 89 S.Ct. 1399. In that case, an 18-year old war protester
told a discussion group of other young people at a public rally on the
Washington Monument grounds: "They always holler at us to get an
education. And now I have already received my draft classification as
1-A and I have got to report for my physical this Monday coming. I am
not going. If they ever make me carry a rifle the first man I want to
get in my sights is L.B.J." Id. at 706, 89 S.Ct. 1399. His audience
laughed. Taken in context, and given the conditional nature of the
statement and the reaction of the listeners, the Court concluded that
the speech could not be interpreted other than as "a kind of very crude
offensive method of stating a political opposition to the President."
Id. at 708, 89 S.Ct. 1399. Accordingly, it ordered judgment entered for
Watts.
ACLA's position is that the posters, including the Nuremberg Files, are
protected political speech under Watts, and cannot lose this character
by context. But this is not correct. The Court itself considered
context and determined that Watts's statement was political hyperbole
instead of a true threat because of context. Id. at 708, 89 S.Ct. 1399.
Beyond this, ACLA points out that the posters contain no language that
is a threat. We agree that this is literally true. Therefore, ACLA
submits, this case is really an incitement case in disguise. So viewed,
the posters are protected speech under Brandenburg and Claiborne, which
ACLA suggests is the closest analogue. We disagree that Claiborne is
closely analogous.
In March 1966 black citizens in Claiborne County made a list of demands
for racial equality and integration. Unsatisfied by the response,
several hundred black persons at a meeting of the local National
Association for the Advancement of Colored People (NAACP) voted to
place a boycott on white merchants in the area. The boycott continued
until October 1969. During this period, stores were watched and the
names of persons who violated the boycott were read at meetings of the
NAACP at the First Baptist Church, and published in a local paper
called "Black Times." These persons were branded as traitors to the
black cause, were called demeaning names, and were socially ostracized.
A few incidents of violence occurred. Birdshot was fired at the houses
of two boycott violators; a brick was thrown through a windshield; and
a flower garden was damaged. None of the victims ceased trading with
white merchants. Six other incidents of arguably unlawful conduct
occurred. White business owners brought suit against the NAACP and
Charles Evers, its field secretary, along with other individuals who
had participated in the boycott, for violating Mississippi state laws
on malicious interference with a business, antitrust, and illegal
boycott. Plaintiffs pursued several theories of liability:
participating in management of the boycott; serving as an "enforcer" or
monitor; committing or threatening acts of violence, which showed that
the perpetrator wanted the boycott to succeed by coercion when it could
not succeed by persuasion; and as to Evers, threatening violence
against boycott breakers, and as to the NAACP because he was its field
secretary when he committed tortious and constitutionally unprotected
acts. Damages for business losses during the boycott and injunctive
relief were awarded.
The Court held that there could be no recovery based on intimidation by
threats of social ostracism, because offensive and coercive speech is
protected by the First Amendment. "The use of speeches, marches, and
threats of social ostracism cannot provide the basis for a damages
award. But violent conduct is beyond the pale of constitutional
protection." 458 U.S. at 933, 102 S.Ct. 3409. There was some evidence
of violence, but the violence was not pervasive as it had been in Milk
Wagon Drivers Union Local 753 v. Meadowmoor Dairies, Inc., 312 U.S.
287, 61 S.Ct. 552, 85 L.Ed. 836 (1941). Accordingly, the Court made
clear that only losses proximately caused by unlawful conduct could be
recovered. Further, civil liability could not be imposed consistent
with the First Amendment solely on account of an individual's
association with others who have committed acts of violence; he must
have incited or authorized them himself.
For the same reasons the Court held that liability could not be imposed
on Evers for his participation in the boycott itself, or for his
threats of vilification or ostracism. However, the merchants also
sought damages from Evers for his speeches. He gave one in April 1966,
and two others in April 1969. In the first, he told his audience that
they would be watched and that blacks who traded with white merchants
would be answerable to him; he also said that any "uncle toms" who
broke the boycott would "have their necks broken" by their own people.
In his April 19, 1969 speech, Evers stated that boycott violators would
be "disciplined" by their own people and warned that the Sheriff could
not sleep with boycott violators at night. And on April 21, Evers gave
another speech to several hundred people calling for a total boycott of
white-owned businesses and saying: "If we catch any of you going in any
of them racist stores, we're gonna break your damn neck." The Court
concluded that the "emotionally charged rhetoric" of Evers's speeches
was within the bounds of Brandenburg. It was not followed by violence,
and there was no evidence--apart from the speeches themselves--that
Evers authorized, ratified, or directly threatened violence. "If there
were other evidence of his authorization of wrongful conduct, the
references to discipline in the speeches could be used to corroborate
that evidence." Claiborne, 458 U.S. at 929, 102 S.Ct. 3409. As there
was not, the findings were constitutionally inadequate to support the
damages judgment against him and, in turn, the NAACP.
Claiborne, of course, did not arise under a threats statute. The Court
had no need to consider whether Evers's statements were true threats of
force within the meaning of a threats statute; it held only that his
speeches did not incite illegal activity, thus could not have caused
business losses and could not be the basis for liability to white
merchants. As the opinion points out, there was no context to give the
speeches (including the expression "break your neck") the implication
of authorizing or directly threatening unlawful conduct. To the extent
there was any intimidating overtone, Evers's rhetoric was
extemporaneous, surrounded by statements supporting non-violent action,
and primarily of the social ostracism sort. No specific individuals
were targeted. For all that appears, "the break your neck" comments
were hyperbolic vernacular. Certainly there was no history that Evers
or anyone else associated with the NAACP had broken anyone's neck who
did not participate in, or opposed, this boycott or any others. Nor is
there any indication that Evers's listeners took his statement that
boycott breakers' "necks would be broken" as a serious threat that
their necks would be broken; they kept on shopping at boycotted stores.
Thus, Watts was the only Supreme Court case that discussed the First
Amendment in relation to true threats before we first confronted the
issue. Apart from holding that Watts's crack about L.B.J. was not a
true threat, the Court set out no standard for determining when a
statement is a true threat that is unprotected speech under the First
Amendment. Shortly after Watts was rendered, we had to decide in Roy v.
United States, 416 F.2d 874 (9th Cir.1969), whether a Marine Corps
private made a true threat for purposes of 18 U.S.C. § 871 against
the President, who was coming to his base the next day, by saying: "I
am going to get him." We adopted a "reasonable speaker" test. As it has
come to be articulated, the test is:
Whether a particular statement may
properly be considered to be a threat is governed by an objective
standard--whether a reasonable person would foresee that the statement
would be interpreted by those to whom the maker communicates the
statement as a serious expression of intent to harm or assault.
United States v. Orozco-Santillan, 903 F.2d 1262, 1265 (9th Cir.1990).
We have applied this test to threats statutes that are similar to FACE,
see, e.g., United States v. Gilbert (Gilbert II ), 884 F.2d 454, 457
(9th Cir.1989) (Fair Housing Act banning threat of force to intimidate
person based on race and housing practices, 42 U.S.C. § 3631);
United States v. Mitchell, 812 F.2d 1250, 1255 (9th Cir.1987) (threats
against the President, 18 U.S.C. § 871); Merrill, 746 F.2d at
462-63 (same); United States v. Gordon, 974 F.2d 1110, 1117 (9th
Cir.1992) (threat to kill a former President, 18 U.S.C. § 879);
Orozco-Santillan, 903 F.2d at 1265 (threats to assault a law
enforcement officer with intent to intimidate, 18 U.S.C. § 115);
Melugin, 38 F.3d at 1483-84 (threat to influence judicial proceeding
under Alaska state law); McCalden v. California Library Ass'n, 955 F.2d
1214, 1222 (9th Cir.1990) (threat to disrupt conference under
California's Unruh Act); and Lovell, 90 F.3d at 371 (9th Cir.1996)
(§ 1983 action involving threat to shoot teacher). Other circuits
have, too. We see no reason not to apply the same test to FACE.
Under our cases, a threat is "an expression of an intention to inflict
evil, injury, or damage on another." Gilbert II, 884 F.2d at 457;
Orozco-Santillan, 903 F.2d at 1265. "Alleged threats should be
considered in light of their entire factual context, including the
surrounding events and reaction of the listeners." Orozco-Santillan,
903 F.2d at 1265; see also Mitchell, 812 F.2d at 1255 (citing Watts,
394 U.S. at 708, 89 S.Ct. 1399; Merrill, 746 F.2d at 462; Roy, 416 F.2d
at 876). " 'The fact that a threat is subtle does not make it less of a
threat.' " Orozco-Santillan, 903 F.2d at 1265 (quoting Gilbert II, 884
F.2d at 457). A true threat, that is one "where a reasonable person
would foresee that the listener will believe he will be subjected to
physical violence upon his person, is unprotected by the first
amendment." Id. (citing Merrill, 746 F.2d at 462).
It is not necessary that the defendant intend to, or be able to carry
out his threat; the only intent requirement for a true threat is that
the defendant intentionally or knowingly communicate the threat.
Orozco-Santillan, 903 F.2d at 1265 n. 3; Gilbert II, 884 F.2d at
456-57; Mitchell, 812 F.2d at 1256 (upholding § 871 conviction of
defendant with no capacity to carry out threat); Roy, 416 F.2d at
877. Other circuits are in accord. Nevertheless, we are
urged to adopt a subjective intent requirement for FACE. In particular,
amicus ACLU Foundation of Oregon, Inc., advocates a subjective intent
component to "require evidence, albeit circumstantial or inferential in
many cases, that the speaker actually intended to induce fear,
intimidation, or terror; namely, that the speaker intended to threaten.
If a person did not intend to threaten or intimidate (i.e., did not
intend that his or her statement be understood as a threat), then the
speech should not be considered to be a 'true threat,' unprotected by
the First Amendment." However, this much is subsumed within the
statutory standard of FACE itself, which requires that the threat of
force be made with the intent to intimidate. The "requirement of intent
to intimidate serves to insulate the statute from unconstitutional
application to protected speech." Gilbert I, 813 F.2d at 1529
(construing the Fair Housing Act's threat provision, 42 U.S.C. §
3631, which is essentially the same as FACE's). No reason appears to
engraft another intent requirement onto the statute, because whether or
not the maker of the threat has an actual intention to carry it out,
"an apparently serious threat may cause the mischief or evil toward
which the statute was in part directed." Gilbert II, 884 F.2d at 458
(quoting Roy, 416 F.2d at 877).
The dissents would change the test, either to require that the speaker
actually intend to carry out the threat or be in control of those who
will, or to make it inapplicable when the speech is public rather than
private. However, for years our test has focused on what a reasonable
speaker would foresee the listener's reaction to be under the
circumstances, and that is where we believe it should remain. See
Madsen, 512 U.S. at 773, 114 S.Ct. 2516 (noting that "threats ...
however communicated, are proscribable under the First Amendment, and
indicating that display of signs "that could be interpreted as threats
or veiled threats" could be prohibited"). Threats are outside the First
Amendment to "protect[ ] individuals from the fear of violence, from
the disruption that fear engenders, and from the possibility that the
threatened violence will occur." R.A.V. v. City of St. Paul, Minn., 505
U.S. 377, 388, 112 S.Ct. 2538, 120 L.Ed.2d 305 (1992). This purpose is
not served by hinging constitutionality on the speaker's subjective
intent or capacity to do (or not to do) harm. Rather, these factors go
to how reasonably foreseeable it is to a speaker that the listener will
seriously take his communication as an intent to inflict bodily harm.
This suffices to distinguish a "true threat" from speech that is merely
frightening. Thus, no reasonable speaker would foresee that a patient
would take the statement "You have cancer and will die within six
months," or that a pedestrian would take a warning "Get out of the way
of that bus," as a serious expression of intent to inflict bodily harm;
the harm is going to happen anyway.
Neither do we agree that threatening speech made in public is entitled
to heightened constitutional protection just because it is communicated
publicly rather than privately. As Madsen indicates, threats are
unprotected by the First Amendment "however communicated." Madsen, 512
U.S. at 753, 114 S.Ct. 2516.
Therefore, we hold that "threat of force" in FACE means what our
settled threats law says a true threat is: a statement which, in the
entire context and under all the circumstances, a reasonable person
would foresee would be interpreted by those to whom the statement is
communicated as a serious expression of intent to inflict bodily harm
upon that person. So defined, a threatening statement that violates
FACE is unprotected under the First Amendment.
B
Although ACLA does not believe we should reach this point, if we do it
submits that no claim was made out even under "true threats" cases.
First, it argues that other threats cases were criminal actions against
someone who made a real threat directly to others, not political speech
as is the case here. It contrasts what it calls "a threat plus context"
present in United States v. Dinwiddie, 76 F.3d 913 (8th Cir.1996), and
in other out-of-circuit cases, with the absence of a direct
threat in this case. However, our cases do not require that the maker
of the threat personally cause physical harm to the listener. In
Orozco-Santillan, we made it clear that the speaker did not need to be
able to carry out the threat. Likewise in Mitchell, the speaker could
not possibly have done so. In Gilbert, the threatening letter mentions
neither the intended victim nor who would carry out the threat. No case
to our knowledge has imposed such a requirement, and we decline
to now. It is the making of the threat with intent to intimidate--not
the implementation of it--that violates FACE.
We do not understand Dinwiddie to hold anything different. Dinwiddie
was also a civil suit under FACE. Mrs. Dinwiddie made comments to Crist
outside his clinic, warning "Robert, remember Dr. Gunn ... This could
happen to you ... He is not in the world anymore. Whoever sheds man's
blood, by man his blood shall be shed." 76 F.3d at 917. She also said:
"[Y]ou have not seen violence yet until you see what we do to you." Id.
Writing for the Eighth Circuit, Judge Richard S. Arnold explained that
in applying FACE's prohibition on using "threats of force," courts or
juries must differentiate between "true threats" and protected speech.
The alleged threat must be analyzed in light of its entire factual
context to determine whether the recipient of the alleged threat could
reasonably conclude that it expresses a determination or intent to
injure presently or in the future. As outlined in the opinion, the
Eighth Circuit considers a number of factors when deciding whether
statements constitute threats of force: the reaction of the recipient
and of other listeners, whether the threat was communicated directly to
its victim, whether the maker of the threat had made similar statements
to the victim in the past, and whether the victim had reason to believe
that the maker had a propensity to engage in violence, but the list is
not exhaustive and the presence or absence of any of these things is
not dispositive. Id. at 925. The court concluded that although Mrs.
Dinwiddie did not specifically say to Dr. Crist, "I am going to injure
you," the statements in context, and Crist's reaction to them, show
that they were "threats of force" that "intimidated" Crist. The court
also noted that the fact that Mrs. Dinwiddie did not specifically say
to Crist that she would injure him does not mean that her comments were
not "threats of force." Id. at 925 n. 9. Accordingly, the court upheld
an injunction ordering Mrs. Dinwiddie to stop violating FACE (which, as
it pointed out, would have a de minimis effect on her ability to
express herself) and approved the injunction's nationwide scope.
ACLA also maintains that "context" means the direct circumstances
surrounding delivery of the threat, or evidence sufficient to resolve
ambiguity in the words of the statement--not two weeks of testimony as
occurred here in the district court. Otherwise, ACLA submits, FACE is
facially invalid. However, none of our cases has limited "context" to
explaining ambiguous words, or to delivery. We, and so far as we can
tell, other circuits as well, consider the whole factual context and
"all of the circumstances," Merrill, 746 F.2d at 462, in order to
determine whether a statement is a true threat. ACLA points to United
States v. Kelner, 534 F.2d 1020 (2d Cir.1976), but the Second Circuit's
view is not to the contrary, as we noted in Lovell. Lovell, 90 F.3d at
372. The defendant in Kelner, who threatened to assassinate Yasser
Arafat during a radio broadcast that also contained protected political
expression, argued that this insulated his threat from prosecution; the
court observed that this was not the case "[s]o long as the threat on
its face and in the circumstances in which it is made is so
unequivocal, unconditional, immediate and specific as to the person
threatened, as to convey a gravity of purpose and imminent prospect of
execution." Kelner, 534 F.2d at 1027. In Kelner as well as in Lovell,
the threatening statement was considered in context to determine if it
were a true threat or not. See United States v. Malik, 16 F.3d 45, 50
(2d Cir.1994) (once there is sufficient extrinsic evidence to show that
an ordinary and reasonable recipient would interpret letter as threat,
case should go to the jury).
Indeed, context is critical in a true threats case and history can give
meaning to the medium. Use of Ryder trucks--which the Eighth Circuit
found to be a true threat in United States v. Hart, 212 F.3d 1067 (8th
Cir.2000)--is an example that is strikingly similar to the use of
"wanted"-type posters in this case. Hart, who was a known anti-abortion
activist, parked two Ryder trucks in the driveways of an abortion
clinic. He was prosecuted and convicted of violating FACE. The court
held that Hart had threatened the clinic to intimidate it by
using Ryder trucks, because a Ryder truck had been used in the Oklahoma
City bombing of the Murrah Federal Building. Hart knew the clinicians
knew this and would fear for their lives. Thus, use of the Ryder truck
was a true threat. Like the poster format here, the Ryder truck in Hart
was a symbol of something beyond the vehicle: there, a devastating
bomb; in this case, murder.
ACLA's contention that allowing consideration of context beyond the
direct circumstances surrounding delivery of the words themselves
creates a facial invalidity in FACE and the Hobbs Act is unavailing. Of
the courts to consider the constitutionality of threats statutes,
including the United States Supreme Court in Watts, all have upheld
constitutionality and ACLA points to none that has disallowed
consideration of context. This makes sense, because without
context, a burning cross or dead rat mean nothing. In any event, the
requirement of intent to intimidate cures whatever risk there might be
of overbreadth.
Nor does consideration of context amount to viewpoint discrimination,
as ACLA contends. ACLA's theory appears to be that because the posters
did not contain any threat on their face, the views of abortion foes
are chilled more than the views of abortion-right proponents because of
the random acts of violence committed by some people against abortion
providers. However, FACE itself is viewpoint neutral. See, e.g., United
States v. Weslin, 156 F.3d 292, 296-97 (2d Cir.1998); United States v.
Wilson, 154 F.3d 658, 663 (7th Cir.1998) ("The Act punishes anyone who
engages in the prohibited conduct, irrespective of the person's
viewpoint and does not target any message based on content. 'The Access
Act thus does not play favorites: it protects from violent or
obstructive activity not only abortion clinics, but facilities
providing pre-pregnancy and pregnancy counseling services, as well as
facilities counseling alternatives to abortion.' ") (quoting Terry v.
Reno, 101 F.3d 1412, 1419 (D.C.Cir.1996)). Moreover, ACLA could not be
liable under FACE unless it made a true threat with the intent to
intimidate physicians. Thus it is making a threat to intimidate that
makes ACLA's conduct unlawful, not its viewpoint.
Because of context, we conclude that the Crist and Deadly Dozen posters
are not just a political statement. Even if the Gunn poster, which was
the first "WANTED" poster, was a purely political message when
originally issued, and even if the Britton poster were too, by the time
of the Crist poster, the poster format itself had acquired currency as
a death threat for abortion providers. Gunn was killed after his poster
was released; Britton was killed after his poster was released; and
Patterson was killed after his poster was released. Knowing this, and
knowing the fear generated among those in the reproductive health
services community who were singled out for identification on a
"wanted"-type poster, ACLA deliberately identified Crist on a "GUILTY"
poster and intentionally put the names of Hern and the Newhalls on the
Deadly Dozen "GUILTY" poster to intimidate them. This goes well beyond
the political message (regardless of what one thinks of it) that
abortionists are killers who deserve death too.
The Nuremberg Files are somewhat different. Although they name
individuals, they name hundreds of them. The avowed intent is
"collecting dossiers on abortionists in anticipation that one day we
may be able to hold them on trial for crimes against humanity." The web
page states: "One of the great tragedies of the Nuremberg trials of
Nazis after WWII was that complete information and documented evidence
had not been collected so many war criminals went free or were only
found guilty of minor crimes. We do not want the same thing to happen
when the day comes to charge abortionists with their crimes. We
anticipate the day when these people will be charged in PERFECTLY LEGAL
COURTS once the tide of this nation's opinion turns against
child-killing (as it surely will)." However offensive or disturbing
this might be to those listed in the Files, being offensive and
provocative is protected under the First Amendment. But, in two
critical respects, the Files go further. In addition to listing judges,
politicians and law enforcement personnel, the Files separately
categorize "Abortionists" and list the names of individuals who provide
abortion services, including, specifically, Crist, Hern, and both
Newhalls. Also, names of abortion providers who have been murdered
because of their activities are lined through in black, while names of
those who have been wounded are highlighted in grey. As a result, we
cannot say that it is clear as a matter of law that listing Crist,
Hern, and the Newhalls on both the Nuremberg Files and the GUILTY
posters is purely protected, political expression.
Accordingly, whether the Crist Poster, the Deadly Dozen poster, and the
identification of Crist, Hern, Dr. Elizabeth Newhall and Dr. James
Newhall in the Nuremberg Files as well as on "wanted"-type posters,
constituted true threats was properly for the jury to decide.
C
ACLA next argues that the true threat instructions require reversal
because they permitted consideration of motive, history of violence
including the violent actions of others, and the defendants' subjective
motives as part of context. We have already explained why it is proper
for the whole factual context and all the circumstances bearing on a
threat to be considered. The court also instructed the jury to consider
evidence presented by the defense of non-violence and permissive
exercise of free speech. That the contextual facts may have included
the violent actions of others does not infect the instruction, because
the issue is whether a reasonable person should have foreseen that the
Crist Guilty Poster, the Deadly Dozen Poster, and the Nuremberg Files,
would be interpreted as a serious threat of harm by doctors who provide
abortions and were identified on them.
ACLA also contends that the district court employed the wrong standard
of intent, allowing the jury to find in physicians' favor regardless of
ACLA's subjective intent. The court instructed: "A statement is a 'true
threat' when a reasonable person making the statement would foresee
that the statement would be interpreted by those to whom it is
communicated as a serious expression of an intent to bodily harm or
assault." This language is taken from Orozco-Santillan, 903 F.2d at
1265, is an accurate statement of our law, and is faithful to the
objective standard we use for determining whether a statement is a true
threat. For reasons we have already explained, we decline to read into
FACE (or the Hobbs Act) a specific intent to threaten violence or to
commit unlawful acts in addition to the intent to intimidate which the
statute itself requires.
ACLA additionally faults the court for failing to provide any standard
of intent because the elements instruction merely states that FACE is
violated by "a threat of force to intimidate or interfere with, or
attempt to intimidate or interfere with" physicians' ability to provide
reproductive health services. As best we can tell, this boils down to a
complaint that the instruction did not say "in order to" between
"threat of force" and "to intimidate." However, this is the plain
import of the instruction.
ACLA further suggests that the conspiracy instruction, combined with
the "attempt to intimidate" instruction, could have resulted in
liability for an "attempt to threaten" without proof of an actual
threat. We do not see how, because the jury had to find a true
threat before reaching any other FACE or RICO issues. ACLA also posits
that the standard form instruction, "[i]f you find a defendant was a
member of a conspiracy, that defendant is responsible for what other
conspirators said or did to carry out the conspiracy, whether or not
that defendant knew what they said or did," had the effect in this case
of violating the rule of Claiborne that one cannot be held accountable
for the speech of others by reason of mere association, absent
ratification or adoption of it. However, the jury was instructed that a
person does not become a conspirator merely by associating with one or
more persons who are conspirators; rather, one becomes a member of a
conspiracy by willfully participating in an unlawful plan with the
intent to advance or further some object or purpose of it. There is no
right to associate with others to engage in activities that are
unlawful and unprotected by the First Amendment, as the making of true
threats to intimidate providers of reproductive health services is.
Madsen, 512 U.S. at 776, 114 S.Ct. 2516 (upholding injunction
restraining abortion protestors acting in concert with defendants). The
Seventh Circuit had occasion to consider (and reject) a similar
argument made by abortion protestors who had been convicted of
conspiring to violate FACE in United States v. Wilson, 154 F.3d 658,
666-67 (7th Cir.1998). It explained that the Supreme Court in Claiborne
was referring to individuals who were engaging in a peaceful protest
and thus were properly exercising their First Amendment rights, whereas
FACE is aimed at those who themselves intend to intimidate and thereby
deprive others of their lawful rights. As in Wilson, we are not
persuaded that the instructions allowed any defendant in this case to
be found liable for threats to intimidate for which he or she was not
responsible. They either participated in making them, or agreed that
they should be made.
Finally, we note that the jury was instructed that "[e]ven speech that
is coercive may be protected if the speaker refrains from violence or
from making a true threat. Moreover, the mere abstract teaching of the
moral propriety or even moral necessity for resort to force and
violence is protected speech under the First Amendment." It was
reminded that "plaintiffs' claims are based only on the three
statements I have listed for you," and that it should determine the
case as to each defendant and each claim separately. Accordingly, the
court did not abuse its discretion in formulating the instructions, nor
was the jury incorrectly instructed as a matter of law on true threats
or the elements of FACE.
D
ACLA joins in Treshman's assertion that the court erroneously admitted
prejudicial evidence by permitting: an FBI agent and two federal
marshals to testify that the FBI and the Justice Department considered
ACLA's two posters to be "serious threats"; references to non-party
violence; introduction of defendants' arrests; physicians' counsel to
tell the jury about Bray's invocations of the Fifth Amendment through a
summary of his deposition; references to actions of certain defendants
and non-parties on the abortion debate and to such things as the
signing of "Defensive Action petitions" by five or six of the
individual defendants; an exhibit with Rev. Sullivan's hearsay opinion
that ACLA is a "cancer" which prolifers must "cut out immediately"
before it "destroys the pro-life movement" to remain in the exhibit
books; and by permitting deposition summaries to be introduced. ACLA
recognizes that evidentiary rulings are normally reviewed for an abuse
of discretion, but argues that in cases raising First Amendment issues
appellate courts must independently examine the record for evidentiary
errors which penalize political speech or allow "a forbidden intrusion
on the field of free expression." Milkovich v. Lorain Journal Co., 497
U.S. 1, 17, 110 S.Ct. 2695, 111 L.Ed.2d 1 (1990) (citation omitted). We
decline ACLA's invitation to review evidentiary rulings de novo. No
case of which we are aware suggests that the obligation to examine the
record independently extends so far. Nor do we believe that appellate
judges should retry cases, as ACLA's proposal would have us do.
Accordingly, we review the district court's evidentiary rulings in this
case, as we do evidentiary rulings in all cases, for abuse of
discretion. None appears.
Testimony about the law enforcement officers' response to the Crist and
Deadly Dozen "GUILTY" posters had some tendency to show the physicians'
state of mind when they found out they were named on "wanted"-type
posters, as well as to show the knowledge and intent of ACLA in
distributing the posters regardless of the reaction they precipitated.
Both are non-hearsay purposes. No testimony was allowed about what
officers thought the posters meant. That FBI agents and United States
Marshals advised physicians to take security precautions relates to how
Crist, Hern, and the Newhalls perceived their own safety. The court
admonished the jury that it should not conclude that these agencies had
decided that the threats were "true threats." We assume that the jury
followed the court's limiting instruction, Ortiz-Sandoval v. Gomez, 81
F.3d 891, 899-900 (9th Cir.1996), which cured whatever potential there
may have been for an unduly prejudicial effect from admission of this
testimony.
ACLA's knowledge of prior violence and its effect on reproductive
health services providers bore directly on its intent to intimidate
physicians, and was limited by the district court to that relevant
purpose. Bray's invocation of the Fifth Amendment was not improperly
admitted as to him in a civil trial. SEC v. Colello, 139 F.3d 674, 677
(9th Cir.1998). Co-conspirator statements were admissible so long as
they were connected to the conspiracy and the jury found that the
statements were made in furtherance of it. The same is true of the
Defensive Action petitions, which were clearly admissible against those
defendants who signed them and as to others with whom the signatories
were conspiring. Speech does not become inadmissible to show context or
intent simply because standing alone it is protected. Wisconsin v.
Mitchell, 508 U.S. 476, 489-90, 113 S.Ct. 2194, 124 L.Ed.2d 436 (1993)
(First Amendment does not prohibit evidentiary use of speech to show
motive or intent); Dinwiddie, 76 F.3d at 918, 925, n. 10 (although
advocacy of view that violence is justifiable is protected, it was
appropriate for district court to consider plaintiff's awareness of
defendant's advocacy of lethal force in determining whether defendant
intimidated him with threats of force). Terry Sullivan was a the
Chicago meeting that led to the founding of ACLA, and to the extent
that he expressed any opinion about how ACLA was undermining a
commitment to nonviolence, it was part of what happened at the time,
was relevant to show that ACLA knew how its actions were being
interpreted, and was within the district court's discretion to admit
once Sullivan's testimony had laid a foundation. Neither Sullivan nor
Flip Benham was available to testify at trial; as both had been
examined at a deposition, their former testimony was not excluded by
the hearsay rule, Fed.R.Evid. 804(b), and its presentation in the form
of summaries was within the court's discretion under Rule 611(a).
Oostendorp v. Khanna, 937 F.2d 1177, 1180 (7th Cir.1991) (requiring
deposition summaries not an abuse of discretionary authority to
regulate conduct of civil trials); Walker v. Action Indus., Inc., 802
F.2d 703, 712 (4th Cir.1986) (same); Kingsley v. Baker/Beech Nut Corp.,
546 F.2d 1136, 1141 (5th Cir.1977) (same); MANUAL FOR COMPLEX
LITIGATION, Third, § 22.331 (1995).
E
ACLA also joins Treshman's argument that mistrials should have been
granted because a juror objected to use of the word "abortionist"; the
judge made a remark about Bill Clinton in admonishing a witness to tell
the truth; jurors were invited to watch a criminal sentencing
proceeding; three jurors had a conversation with one of the physicians
during a lunch hour; and physicians' counsel likened defendants to the
Oklahoma City and World Trade Center bombers and Islamic terrorists
during his closing. We are asked to review the record de novo on this
issue as well, although ACLA acknowledges that the normal standard for
refusing to grant mistrials is abuse of discretion. We decline to
change our standard, and see no reversible error.
When a juror informed the court that the defense's use of the term
"abortionist" was becoming distracting, the district court instructed
the jury that "[i]t is perfectly legal, and proper, and within any free
speech right, for one group, that is opposing another group, to refer
to them in the terms they choose. And it's clear the pro-life people,
traditionally, I believe, call abortion providers abortionists. So,
there should not be any adverse reaction to these people using the
lingo and terminology of their protest." The jurors all responded that
they could live with that, and keep an open mind with respect to all
the evidence. There was no objection to the process, and no abuse of
discretion on account of taking no further action. Similarly, after
learning of a chance encounter in the courthouse elevator between
Elizabeth Newhall and three jurors in the presence of defense counsel,
the court inquired whether the jurors had discussed anything
substantive and whether their judgment would be impaired by the
contact. They responded negatively and the court acted within its
discretion in taking no further action. The court also instructed that
anything the jury may have seen or heard when the court was not in
session is not evidence, and that the case was to be decided solely on
the evidence received at trial. Finally, ACLA fails to explain why
allowing the jurors to watch two sentencing proceedings was
objectionable or prejudicial, and we cannot see how it was.
The judge himself recognized that his Clinton reference was
inappropriate. He apologized to the jury about it, and explained that
the court was attempting to suggest to the witness that she should just
go ahead and answer a question. (The witness had remarked to counsel
after being impeached with a prior inconsistent statement under oath,
"I am not sure what you mean by truthful.") The judge told jurors to
put his comment out of their minds, permitted the defense to re-open
direct examination to allow the witness to explain her prior answer,
and told the jury again in his final instructions that any remarks of
his were not to be taken as an indication of how much weight to give
the testimony of any witness. Whatever the impropriety, it was cured.
As might be expected, closing argument was robust on both sides; the
court gave all counsel considerable latitude. Images of famous and
infamous figures alike were evoked. The district judge was in the best
position to decide whether any particular reference went too far. The
court reminded the jury that counsels' statements were not evidence,
and we cannot say that the defense was so prejudiced by the argument
that a mistrial should have been granted.
F
Having concluded that "threat of force" was properly defined and that
no trial error requires reversal, we consider whether the core
constitutional fact--a true threat--exists such that the Crist and
Deadly Dozen Posters, and the Nuremberg Files as to Crist, Hern, and
the Newhalls, are without First Amendment protection. The task in this
case does not seem dramatically different from determining that the
issue should have gone to the jury and that the jury was properly
instructed under FACE. Nevertheless, we review the evidence on true
threats independently.
The true threats analysis turns on the poster pattern. Neither the
Crist poster nor the Deadly Dozen poster contains any language that is
overtly threatening. Both differ from prior posters in that the prior
posters were captioned "WANTED" while these are captioned "GUILTY." The
text also differs somewhat, but differences in caption or words are
immaterial because the language itself is not what is threatening.
Rather, it is use of the "wanted"-type format in the context of the
poster pattern--poster followed by murder--that constitutes the threat.
Because of the pattern, a "wanted"-type poster naming a specific doctor
who provides abortions was perceived by physicians, who are providers
of reproductive health services, as a serious threat of death or bodily
harm. After a "WANTED" poster on Dr. David Gunn appeared, he was shot
and killed. After a "WANTED" poster on Dr. George Patterson appeared,
he was shot and killed. After a "WANTED" poster on Dr. John Britton
appeared, he was shot and killed. None of these "WANTED" posters
contained threatening language, either. Neither did they identify who
would pull the trigger. But knowing this pattern, knowing that unlawful
action had followed "WANTED" posters on Gunn, Patterson and Britton,
and knowing that "wanted"-type posters were intimidating and caused
fear of serious harm to those named on them, ACLA published a "GUILTY"
poster in essentially the same format on Dr. Crist and a Deadly Dozen
"GUILTY" poster in similar format naming Dr. Hern, Dr. Elizabeth
Newhall and Dr. James Newhall because they perform abortions.
Physicians could well believe that ACLA would make good on the threat.
One of the other doctors on the Deadly Dozen poster had in fact been
shot before the poster was published. This is not political hyperbole.
Nor is it merely "vituperative, abusive, and inexact." Watts, 394 U.S.
at 708, 89 S.Ct. 1399 (comparing language used in political arena to
language used in labor disputes). In the context of the poster pattern,
the posters were precise in their meaning to those in the relevant
community of reproductive health service providers. They were a true
threat.
The posters are a true threat because, like Ryder trucks or burning
crosses, they connote something they do not literally say, yet both the
actor and the recipient get the message. To the doctor who performs
abortions, these posters meant "You're Wanted or You're Guilty; You'll
be shot or killed." This was reinforced by the scorecard in the
Nuremberg Files. The communication was not conditional or casual. It
was specifically targeted. Crist, Hern, and the Newhalls, who performed
abortions, were not amused. Cf. Watts, 394 U.S. at 708, 89 S.Ct. 1399
(no true threat in political speech that was conditional,
extemporaneous, and met with laughter); Claiborne, 458 U.S. at 928, 102
S.Ct. 3409 (spontaneous and emotional appeal in extemporaneous speech
protected when lawless action not incited).
The "GUILTY" posters were publicly distributed, but personally
targeted. While a privately communicated threat is generally more
likely to be taken seriously than a diffuse public one, this cannot be
said of a threat that is made publicly but is about a specifically
identified doctor and is in the same format that had previously
resulted in the death of three doctors who had also been publicly, yet
specifically, targeted. There were no individualized threats in
Brandenburg, Watts or Claiborne. However, no one putting Crist, Hern,
and the Newhalls on a "wanted"-type poster, or participating in
selecting these particular abortion providers for such a poster or
publishing it, could possibly believe anything other than that each
would be seriously worried about being next in line to be shot and
killed. And they were seriously worried.
As a direct result of having a "GUILTY" poster out on them, physicians
wore bullet-proof vests and took other extraordinary security measures
to protect themselves and their families. ACLA had every reason to
foresee that its expression of intent to harm (the "GUILTY" poster
identifying Crist, Hern, Elizabeth Newhall and James Newhall by name
and putting them in the File that tracks hits and misses) would elicit
this reaction. Physicians' fear did not simply happen; ACLA intended to
intimidate them from doing what they do.
This is the point of the statute and is conduct that we are satisfied lacks any protection under the First Amendment.
Violence is not a protected value. Nor is a true threat of violence
with intent to intimidate. ACLA may have been staking out a position
for debate when it merely advocated violence as in Bray's A Time to
Kill, or applauded it, as in the Defense Action petitions. Likewise,
when it created the Nuremberg Files in the abstract, because the First
Amendment does not preclude calling people demeaning or inflammatory
names, or threatening social ostracism or vilification to advocate a
political position. Claiborne, 458 U.S. at 903, 909-12, 102 S.Ct. 3409.
But, after being on "wanted"-type posters, Dr. Gunn, Dr. Patterson, and
Dr. Britton can no longer participate in the debate. By replicating the
poster pattern that preceded the elimination of Gunn, Patterson and
Britton, and by putting Crist, Hern, and the Newhalls in an
abortionists' File that scores fatalities, ACLA was not staking out a
position of debate but of threatened demise. This turns the First
Amendment on its head.
Like "fighting words," true threats are proscribable. We therefore
conclude that the judgment of liability in physicians' favor is
constitutionally permissible.
IV
ACLA submits that the damage award must be reversed or limited to the
compensatory damages because the punitive award amounts to judgment
without notice contrary to BMW of North America, Inc. v. Gore, 517 U.S.
559, 116 S.Ct. 1589, 134 L.Ed.2d 809 (1996). We have since discussed
the subject in depth in In re Exxon Valdez, 270 F.3d 1215, 1241 (9th
Cir.2001). Although our review is de novo, the district court should be
given the opportunity to evaluate the punitive damages award and to
make findings with respect to its propriety. Therefore, we vacate the
award of punitive damages and remand for the district court to consider
in the first instance whether the award is appropriate in light of
Exxon Valdez.
V
After trial, the district court found that each defendant used
intimidation as a means of interfering with the provision of
reproductive health services and acted with malice and with specific
intent in threatening physicians. It found that physicians remain
threatened by ACLA's threats, and have no adequate remedy at law. The
court concluded that physicians had proved by clear and convincing
evidence that each defendant acting independently and as a
co-conspirator prepared and published the Deadly Dozen Poster, the
Crist Poster, and the Nuremberg Files with specific intent to make true
threats to kill or do bodily harm to physicians, and to intimidate them
from engaging in legal medical practices. It "totally reject[ed] the
defendants' attempts to justify their actions as an expression of
opinion or as a legitimate and lawful exercise of free speech in order
to dissuade the plaintiffs from providing abortion services." PPCW III,
41 F.Supp.2d at 1154. Applying Madsen 's standard, the court found that
ACLA's actions were not protected under the First Amendment.
Accordingly, it permanently enjoined each of the defendants, their
agents, and all persons in active concert with any of them who receive
actual notice, from threatening, with the specific intent to do so,
Crist, Hern, Dr. Elizabeth Newhall, Dr. James Newhall, PPCW and PFWHC
in violation of FACE; publishing, republishing, reproducing or
distributing the Deadly Dozen Poster, or the Crist poster, or their
equivalent, with specific intent to threaten physicians, PPCW or PFWHC;
and from providing additional material concerning Crist, Hern, either
Newhall, PPCW or PFWHC to the Nuremberg Files or any mirror web site
with a specific intent to threaten, as well as from publishing the
personally identifying information about them in the Nuremberg Files
with a specific intent to threaten. The court also ordered ACLA to turn
over possession of materials that are not in compliance with the
injunction.
ACLA complains principally about the restraint on possessing the
posters. Pointing to Stanley v. Georgia, 394 U.S. 557, 567, 89 S.Ct.
1243, 22 L.Ed.2d 542 (1969), where the Court observed that "the State
may no more prohibit mere possession of obscene matter on the ground
that it may lead to antisocial conduct than it may prohibit possession
of chemistry books on the ground that they may lead to the manufacture
of homemade spirits," ACLA contends that the injunction treats the
posters worse than obscenity. However, the posters in this case are
quite different from a book; the "wanted"--type posters themselves--not
their ideological content--are the tool for threatening physicians. In
this sense the posters' status is more like conduct than speech. Cf.
United States v. O'Brien, 391 U.S. 367, 376-82, 88 S.Ct. 1673, 20
L.Ed.2d 672 (1968) (explaining distinction between speech and conduct,
and holding that expressive aspect of conduct does not exempt it from
warranted regulation). The First Amendment interest in retaining
possession of the threatening posters is de minimis, while ACLA's
continued possession of them constitutes part of the threat. The court
heard all the evidence, which included testimony that some defendants
obstructed justice and ignored injunctions. Accordingly, we cannot say
that the turn-over order was broader than necessary to assure that this
particular threat will not be used again.
ACLA also suggests that the injunction is an improper prior restraint
on speech because it prohibits dissemination of the posters. It is not.
The Supreme Court has rejected the notion that all injunctions which
incidentally affect expression are prior restraints. Madsen, 512 U.S.
at 764 n. 2, 114 S.Ct. 2516; Schenck v. Pro-Choice Network of Western
New York, 519 U.S. 357, 374 n. 6, 117 S.Ct. 855, 137 L.Ed.2d 1 (1997).
Like Madsen and Schenck, the injunction here was not issued because of
the content of ACLA's expression, but because of prior unlawful conduct.
The terms of the injunction are finely tuned and exceedingly narrow.
Only threats or use of the posters or their equivalent with the
specific intent to threaten Crist, Hern, either Newhall, PPCW or PFWHC
are prohibited. Only personal information about these particular
persons may not be used in the Nuremberg Files with the specific intent
to threaten them. This leaves huge room for ACLA to express its views.
CONCLUSION
A "threat of force" for purposes of FACE is properly defined in
accordance with our long-standing test on "true threats," as "whether a
reasonable person would foresee that the statement would be interpreted
by those to whom the maker communicates the statement as a serious
expression of intent to harm or assault." This, coupled with the
statute's requirement of intent to intimidate, comports with the First
Amendment.
We have reviewed the record and are satisfied that use of the Crist
Poster, the Deadly Dozen Poster, and the individual plaintiffs' listing
in the Nuremberg Files constitute a true threat. In three prior
incidents, a "wanted"-type poster identifying a specific doctor who
provided abortion services was circulated, and the doctor named on the
poster was killed. ACLA and physicians knew of this, and both
understood the significance of the particular posters specifically
identifying each of them. ACLA realized that "wanted" or "guilty"
posters had a threatening meaning that physicians would take seriously.
In conjunction with the "guilty" posters, being listed on a Nuremberg
Files scorecard for abortion providers impliedly threatened physicians
with being next on a hit list. To this extent only, the Files are also
a true threat. However, the Nuremberg Files are protected speech.
There is substantial evidence that these posters were prepared and
disseminated to intimidate physicians from providing reproductive
health services. Thus, ACLA was appropriately found liable for a true
threat to intimidate under FACE.
Holding ACLA accountable for this conduct does not impinge on
legitimate protest or advocacy. Restraining it from continuing to
threaten these physicians burdens speech no more than necessary.
Therefore, we affirm the judgment in all respects but for punitive damages, as to which we remand.
AFFIRMED IN PART; VACATED AND REMANDED IN PART.
REINHARDT, Circuit Judge, with whom KOZINSKI, KLEINFELD, and BERZON, Circuit Judges, join, dissenting:
I concur fully in both Judge Kozinski's and Judge Berzon's
dissents. The differences between the majority and dissenting opinions
with respect to the First Amendment are clear. I write separately to
emphasize one point: the majority rejects the concept that speech made
in a political forum on issues of public concern warrants heightened
scrutiny. See Majority Op. at 1076. This rejection, if allowed to
stand, would significantly weaken the First Amendment protections we
now enjoy. It is a fundamental tenet of First Amendment jurisprudence
that political speech in a public arena is different from purely
private speech directed at an individual. See NAACP v. Claiborne
Hardware Co., 458 U.S. 886, 926-27, 102 S.Ct. 3409, 73 L.Ed.2d 1215
(1982); Watts v. United States, 394 U.S. 705, 708, 89 S.Ct. 1399, 22
L.Ed.2d 664 (1969); New York Times Co. v. Sullivan, 376 U.S. 254, 270,
84 S.Ct. 710, 11 L.Ed.2d 686 (1964); Terminiello v. City of Chicago,
337 U.S. 1, 4, 69 S.Ct. 894, 93 L.Ed. 1131 (1949). Political speech,
ugly or frightening as it may sometimes be, lies at the heart of our
democratic process. Private threats delivered one-on-one do not. The
majority's unwillingness to recognize the difference is extremely
troublesome. For this reason alone, I would be compelled to dissent.
KOZINSKI, Circuit Judge, with whom Circuit Judges REINHARDT, O'SCANNLAIN, KLEINFELD and BERZON join, dissenting:
The majority writes a lengthy opinion in a vain effort to
justify a crushing monetary judgment and a strict injunction against
speech protected by the First Amendment. The apparent thoroughness of
the opinion, addressing a variety of issues that are not in serious
dispute, masks the fact that the majority utterly fails to apply
its own definition of a threat, and affirms the verdict and injunction
when the evidence in the record does not support a finding that
defendants threatened plaintiffs.
After meticulously canvassing the caselaw, the majority correctly
distills the following definition of a true threat: "a statement which,
in the entire context and under all the circumstances, a reasonable
person would foresee would be interpreted by those to whom the
statement is communicated as a serious expression of intent to inflict
bodily harm upon that person." Maj. op. at 1076-77 (emphasis added).
The emphasized language is crucial, because it is not illegal--and
cannot be made so-merely to say things that would frighten or
intimidate the listener. For example, when a doctor says, "You have
cancer and will die within six months," it is not a threat, even though
you almost certainly will be frightened. Similarly, "Get out of the way
of that bus" is not a threat, even though it is said in order to scare
you into changing your behavior. By contrast, "If you don't stop
performing abortions, I'll kill you" is a true threat and surely
illegal.
The difference between a true threat and protected expression is this:
A true threat warns of violence or other harm that the speaker
controls. Thus, when a doctor tells a patient, "Stop smoking or you'll
die of lung cancer," that is not a threat because the doctor obviously
can't cause the harm to come about. Similarly, "If you walk in that
neighborhood late at night, you're going to get mugged" is not a
threat, unless it is clear that the speaker himself (or one of his
associates) will be doing the mugging.
In this case, none of the statements on which liability was premised
were overtly threatening. On the contrary, the two posters and the web
page, by their explicit terms, foreswore the use of violence and
advocated lawful means of persuading plaintiffs to stop performing
abortions or punishing them for continuing to do so. Nevertheless,
because context matters, the statements could reasonably be interpreted
as an effort to intimidate plaintiffs into ceasing their
abortion-related activities. If that were enough to strip the speech of
First Amendment protection, there would be nothing left to decide. But
the Supreme Court has told us that "[s]peech does not lose its
protected character ... simply because it may embarrass others or
coerce them into action." NAACP v. Claiborne Hardware Co., 458 U.S.
886, 910, 102 S.Ct. 3409, 73 L.Ed.2d 1215 (1982) (emphasis added). In
other words, some forms of intimidation enjoy constitutional protection.
Only a year after Claiborne Hardware, we incorporated this principle
into our circuit's true threat jurisprudence. Striking down as
overbroad a Montana statute that made it a crime to communicate to
another "a threat to ... commit a criminal offense," we stated: "The
mere fact that communication induces or 'coerces' action in others does
not remove it from first amendment protection." Wurtz v. Risley, 719
F.2d 1438, 1441 (9th Cir.1983) (quoting Claiborne Hardware, 458 U.S. at
911, 102 S.Ct. 3409). We noted--referring to Claiborne Hardware
again--that the statute criminalized pure speech designed to alter
someone else's conduct, so that a "civil rights activist who states to
a restaurant owner, 'if you don't desegregate this restaurant I am
going to organize a boycott' could be punished for the mere statement,
even if no action followed." Id. at 1442. Claiborne Hardware and Wurtz
hold that statements that are intimidating, even coercive, are
protected by the First Amendment, so long as the speaker does not
threaten that he, or someone acting in concert with him, will resort to
violence if the warning is not heeded.
The majority recognizes that this is the standard it must apply, yet
when it undertakes the critical task of canvassing the record for
evidence that defendants made a true threat--a task the majority
acknowledges we must perform de novo, Maj. op at 1070--its opinion
fails to come up with any proof that defendants communicated an intent
to inflict bodily harm upon plaintiffs.
Buried deep within the long opinion is a single paragraph that cites
evidence supporting the finding that the two wanted posters prepared by
defendants constituted a true threat. Maj. op at 1079-80; see also id.
at 1085-86 (same analysis). The majority does not point to any
statement by defendants that they intended to inflict bodily harm on
plaintiffs, nor is there any evidence that defendants took any steps
whatsoever to plan or carry out physical violence against anyone.
Rather, the majority relies on the fact that "the poster format itself
had acquired currency as a death threat for abortion providers. Gunn
was killed after his poster was released; Britton was killed after his
poster was released; and Patterson was killed after his poster was
released." Id. at 1079; see also id. at 1085-86. But neither Dr. Gunn
nor Dr. Patterson was killed by anyone connected with the posters
bearing their names. Planned Parenthood of the
Columbia/Willamette, Inc. v. Am. Coalition of Life Activists, 41
F.Supp.2d 1130, 1134-35 (D.Or.1999). In fact, Dr. Patterson's murder
may have been unrelated to abortion: He was killed in what may have
been a robbery attempt five months after his poster was issued; the
crime is unsolved and plaintiffs' counsel conceded that no evidence
ties his murderer to any anti-abortion group. R.T. at 131, 1197.
The record reveals one instance where an individual--Paul Hill, who is
not a defendant in this case--participated in the preparation of the
poster depicting a physician, Dr. Britton, and then murdered him some
seven months later. All others who helped to make that poster, as well
as those who prepared the other posters, did not resort to violence.
And for years, hundreds of other posters circulated, condemning
particular doctors with no violence ensuing. See R.T. at 1775-76,
1783-84, 2487, 2828. There is therefore no pattern showing that people
who prepare wanted-type posters then engage in physical violence. To
the extent the posters indicate a pattern, it is that almost all people
engaged in poster-making were non-violent.
The majority tries to fill this gaping hole in the record by noting
that defendants "kn[ew] the fear generated among those in the
reproductive health services community who were singled out for
identification on a 'wanted'-type poster." Maj. op at 1079. But a
statement does not become a true threat because it instills fear in the
listener; as noted above, many statements generate fear in the
listener, yet are not true threats and therefore may not be punished or
enjoined consistent with the First Amendment. See pp. 1089-90 supra. In
order for the statement to be a threat, it must send the message that
the speakers themselves--or individuals acting in concert with
them--will engage in physical violence. The majority's own definition
of true threat makes this clear. Yet the opinion points to no evidence
that defendants who prepared the posters would have been understood by
a reasonable listener as saying that they will cause the harm.
Plaintiffs themselves explained that the fear they felt came, not from
defendants, but from being singled out for attention by abortion
protesters across the country. For example, plaintiff Dr. Elizabeth
Newhall testified, "I feel like my risk comes from being identified as
a target. And ... all the John Salvis in the world know who I am, and
that's my concern." Planned Parenthood of the
Columbia/Willamette, Inc. v. Am. Coalition of Life Activists, No.
CV-95-01671-JO, at 302 (D.Or. Jan. 8, 1999); see also id. at 290 ("[U]p
until January of '95, I felt relatively diluted by the--you know, in
the pool of providers of abortion services. I didn't feel particularly
visible to the people who were--you know, to the John Salvis of the
world, you know. I sort of felt one of a big, big group."). Likewise,
Dr. Warren Martin Hern, another plaintiff, testified that when he heard
he was on the list, "I was terrified. [I]t's hard to describe the
feeling that--that you are on a list of people to--who have been
brought to public attention in this way. I felt that this was a--a list
of doctors to be killed." Planned Parenthood, No. CV-95-01671 JO, at
625 (Jan. 11, 1999).
From the point of view of the victims, it makes little difference
whether the violence against them will come from the makers of the
posters or from unrelated third parties; bullets kill their victims
regardless of who pulls the trigger. But it makes a difference for the
purpose of the First Amendment. Speech--especially political speech, as
this clearly was--may not be punished or enjoined unless it falls into
one of the narrow categories of unprotected speech recognized by the
Supreme Court: true threat, Watts v. United States, 394 U.S. 705, 707,
89 S.Ct. 1399, 22 L.Ed.2d 664 (1969), incitement, Brandenburg v. Ohio,
395 U.S. 444, 447, 89 S.Ct. 1827, 23 L.Ed.2d 430 (1969), conspiracy to
commit criminal acts, Scales v. United States, 367 U.S. 203, 229, 81
S.Ct. 1469, 6 L.Ed.2d 782 (1961), fighting words, Chaplinsky v. New
Hampshire, 315 U.S. 568, 572-73, 62 S.Ct. 766, 86 L.Ed. 1031 (1942),
etc.
Even assuming that one could somehow distill a true threat from the
posters themselves, the majority opinion is still fatally defective
because it contradicts the central holding of Claiborne Hardware: Where
the speaker is engaged in public political speech, the public
statements themselves cannot be the sole proof that they were true
threats, unless the speech directly threatens actual injury to
identifiable individuals. Absent such an unmistakable, specific threat,
there must be evidence aside from the political statements themselves
showing that the public speaker would himself or in conspiracy with
others inflict unlawful harm. 458 U.S. at 932-34, 102 S.Ct. 3409. The
majority cites not a scintilla of evidence--other than the posters
themselves--that plaintiffs or someone associated with them would carry
out the threatened harm.
Given this lack of evidence, the posters can be viewed, at most, as a
call to arms for other abortion protesters to harm plaintiffs. However,
the Supreme Court made it clear that under Brandenburg, encouragement
or even advocacy of violence is protected by the First Amendment:
"[M]ere advocacy of the use of force or violence does not remove speech
from the protection of the First Amendment." Claiborne Hardware, 458
U.S. at 927, 102 S.Ct. 3409 (citing Brandenburg, 395 U.S. at 447)
(emphasis in the original). Claiborne Hardware in fact goes much
farther; it cautions that where liability is premised on "politically
motivated" activities, we must "examine critically the basis on which
liability was imposed." Id. at 915, 102 S.Ct. 3409. As the Court
explained, "Since respondents would impose liability on the basis of a
public address--which predominantly contained highly charged political
rhetoric lying at the core of the First Amendment--we approach this
suggested basis for liability with extreme care." Id. at 926-27, 102
S.Ct. 3409. This is precisely what the majority does not do; were it to
do so, it would have no choice but to reverse.
The activities for which the district court held defendants liable were
unquestionably of a political nature. There is no allegation that any
of the posters in this case disclosed private information improperly
obtained. We must therefore assume that the information in the posters
was obtained from public sources. All defendants did was reproduce this
public information in a format designed to convey a political viewpoint
and to achieve political goals. The "Deadly Dozen" posters and the
"Nuremberg Files" dossiers were unveiled at political rallies staged
for the purpose of protesting Roe v. Wade, 410 U.S. 113, 93 S.Ct. 705,
35 L.Ed.2d 147 (1973). Similarly, defendants presented the poster of
Dr. Crist at a rally held on the steps of the St. Louis federal
courthouse, where the Dred Scott decision was handed down, in order to
draw a parallel between "blacks being declared property and unborn
children being denied their right to live." Planned Parenthood,
CV-95-01671-JO, at 2677 (Jan. 22, 1999). The Nuremberg Files website is
clearly an expression of a political point of view. The posters and the
website are designed both to rally political support for the views
espoused by defendants, and to intimidate plaintiffs and others like
them into desisting abortion-related activities. This political agenda
may not be to the liking of many people--political dissidents are often
unpopular--but the speech, including the intimidating message, does not
constitute a direct threat because there is no evidence other than the
speech itself that the speakers intend to resort to physical violence
if their threat is not heeded.
In determining whether the record here supports a finding of true
threats, not only the reasoning but also the facts of Claiborne
Hardware are highly relevant. Claiborne Hardware arose out of a
seven-year effort (1966 to 1972) to obtain racial justice in Claiborne
County, Mississippi. Claiborne Hardware, 458 U.S. at 898, 102 S.Ct.
3409. The campaign employed a variety of tactics, one among them being
the boycotting of white merchants. Id. at 900, 102 S.Ct. 3409. The
boycott and other concerted activities were organized by the NAACP, in
the person of its Mississippi field secretary Charles Evers, as well as
by other black organizations and leaders. Id. at 898-900, 102 S.Ct.
3409.
In order to persuade or coerce recalcitrant blacks to join the boycott,
the organizers resorted to a variety of enforcement mechanisms. These
included the posting of store watchers outside the boycotted stores.
These watchers, also known as "Black Hats" or "Deacons," would
"identif[y] those who traded with the merchants." Id. at 903, 102 S.Ct.
3409. The names were collected and "read aloud at meetings at the
First Baptist Church and published in a local black newspaper." Id. at
909, 102 S.Ct. 3409. Evers made several speeches containing
threats-including those of physical violence-against the boycott
violators. Id. at 900 n. 28, 902, 926-27, 102 S.Ct. 3409. In addition,
a number of violent acts--including shots fired at individuals'
homes--were committed against the boycott breakers. Id. at 904-06, 102
S.Ct. 3409.
The lawsuit that culminated in the Claiborne Hardware opinion was
brought against scores of individuals and several organizations,
including the NAACP. The state trial court found defendants liable in
damages and entered "a broad permanent injunction," which prohibited
the defendants from engaging in virtually all activities associated
with the boycott, including picketing and using store watchers. Id. at
893, 102 S.Ct. 3409. The Mississippi Supreme Court affirmed, finding
liability based on a variety of state law theories, some of which had
as their gravamen the use of force or threat of force by those engaged
in the boycott. Id. at 894-95, 102 S.Ct. 3409.
The United States Supreme Court began its opinion in Claiborne Hardware
by noting that "[t]he term 'concerted action' encompasses unlawful
conspiracies and constitutionally protected assemblies" and that
"certain joint activities have a 'chameleon-like' character." Id. at
888, 102 S.Ct. 3409. The Claiborne County boycott, the Court noted,
"had such a character; it included elements of criminality and elements
of majesty." Id. The Court concluded that the state courts had erred in
ascribing to all boycott organizers illegal acts--including violence
and threats of violence--of some of the activists. The fact that
certain activists engaged in such unlawful conduct, the Court held,
could not be attributed to the other boycott organizers, unless it
could be shown that the latter had personally committed or authorized
the unlawful acts. Id. at 932-34, 102 S.Ct. 3409.
In the portion of Claiborne Hardware that is most relevant to our case,
id. at 927-32, 102 S.Ct. 3409, the Court dealt with the liability of
the NAACP as a result of certain speeches made by Charles Evers. In
these speeches, Evers seemed to threaten physical violence against
blacks who refused to abide by the boycott, saying that:
• the boycott organizers knew the
identity of those members of the black community who violated the
boycott, id. at 900 n. 28, 102 S.Ct. 3409;
• discipline would be taken against the violators, id. at 902, 927, 102 S.Ct. 3409;
• "[i]f we catch any of you going in any of them racist stores, we're gonna break your damn neck," id. at 902, 102 S.Ct. 3409;
• "the Sheriff could not sleep with boycott violators at night" in order to protect them, id.;
• "blacks who traded with white merchants would be answerable to him,"
id. at 900 n. 28, 102 S.Ct. 3409 (emphasis in the original).
These statements, the Supreme Court recognized, "might have been
understood as inviting an unlawful form of discipline or, at least, as
intending to create a fear of violence whether or not improper
discipline was specifically intended." Id. at 927, 102 S.Ct. 3409
(emphasis added). Noting that such statements might not be
constitutionally protected, the Court proceeded to consider various
exceptions to the rule that speech may not be prohibited or punished.
The Court concluded that the statements in question were not "fighting
words" under the rule of Chaplinsky v. New Hampshire, 315 U.S. 568,
572-73, 62 S.Ct. 766, 86 L.Ed. 1031 (1942); nor were they likely to
cause an immediate panic, under the rule of Schenck v. United States,
249 U.S. 47, 52, 39 S.Ct. 247, 63 L.Ed. 470 (1919) ("The most stringent
protection of free speech would not protect a man in falsely shouting
fire in a theater and causing a panic."). Id. at 927, 102 S.Ct. 3409.
Nor was the speech in question an incitement under Brandenburg v. Ohio,
395 U.S. 444, 89 S.Ct. 1827, 23 L.Ed.2d 430 (1969), because it resulted
in no immediate harm to anyone. Id. at 927-28, 102 S.Ct. 3409. The
Court also cited, and found inapplicable, its one case that had held
"true threats" were not constitutionally protected, Watts v. United
States, 394 U.S. 705, 705, 89 S.Ct. 1399, 22 L.Ed.2d 664 (1969). Id. at
928 n. 71, 102 S.Ct. 3409. The mere fact that the statements could be
understood "as intending to create a fear of violence," id. at 927, 102
S.Ct. 3409, was insufficient to make them "true threats" under Watts.
The Court then considered the theory that the speeches
themselves--which suggested violence against boycott violators--might
constitute authorization or encouragement of unlawful activity, but
flatly rejected it. Id. at 929, 102 S.Ct. 3409. The Court noted that
the statements were part of the "emotionally charged rhetoric of
Charles Evers' speeches," and therefore could not be viewed as
authorizing lawless action, even if they literally did so: "Strong and
effective extemporaneous rhetoric cannot be nicely channeled in purely
dulcet phrases. An advocate must be free to stimulate his audience with
spontaneous and emotional appeals for unity and action in a common
cause. When such appeals do not incite lawless action, they must be
regarded as protected speech." Id. at 928, 102 S.Ct. 3409. Absent
"evidence--apart from the speeches themselves--that Evers authorized
... violence" against the boycott breakers, neither he nor the NAACP
could be held liable for, or enjoined from, speaking. Id. at 929, 102
S.Ct. 3409. In other words, even when public speech sounds menacing,
even when it expressly calls for violence, it cannot form the basis of
liability unless it amounts to incitement or directly threatens actual
injury to particular individuals.
While set in a different time and place, and involving a very different
political cause, Claiborne Hardware bears remarkable similarities to
our case:
• Like Claiborne Hardware, this case
involves a concerted effort by a variety of groups and individuals in
pursuit of a common political cause. Some of the activities were
lawful, others were not. In both cases, there was evidence that the
various players communicated with each other and, at times, engaged in
concerted action. The Supreme Court, however, held that mere
association with groups or individuals who pursue unlawful conduct is
an insufficient basis for the imposition of liability, unless it is
shown that the defendants actually participated in or authorized the
illegal conduct.
• Both here and in Claiborne Hardware, there were instances of actual
violence that followed heated rhetoric. The Court made clear, however,
that unless the violence follows promptly after the speeches, thus
meeting the stringent Brandenburg standard for incitement, no liability
could be imposed on account of the speech.
• The statements on which liability was premised in both cases were
made during the course of political rallies and had a coercive effect
on the intended targets. Yet the Supreme Court held in Claiborne
Hardware that coercion alone could not serve as the basis for
liability, because it had not been shown-by evidence aside from the
political speeches themselves-that defendants or their agents were
involved in or authorized actual violence.
• In Claiborne Hardware, the boycott organizers gathered facts--the
identity of those who violated the boycott--and publicized them to the
community by way of speeches and a newspaper. As in our case, this
ostentatious gathering of information, and publication thereof, were
intended to put pressure on those whose names were publicized, and
perhaps put them in fear that they will become objects of violence by
members of the community. Yet the Supreme Court held that this could
not form the basis for liability.
To the extent Claiborne Hardware differs from our case, the difference
makes ours a far weaker case for the imposition of liability. To begin
with, Charles Evers's speeches in Claiborne Hardware explicitly
threatened physical violence. Referring to the boycott violators, Evers
repeatedly went so far as to say that "we," presumably including
himself, would "break your damn neck." 458 U.S. at 902, 102 S.Ct. 3409.
In our case, the defendants never called for violence at all, and
certainly said nothing suggesting that they personally would be
involved in any violence against the plaintiffs.
Another difference between the two cases is that the record in
Claiborne Hardware showed a concerted action between the boycott
organizers, all of whom operated within close physical proximity in a
small Mississippi county. By contrast, there is virtually no evidence
that defendants had engaged in any concerted action with any of the
other individuals who prepared "wanted" posters in the past.
The most striking difference between the two cases is that one of
Evers's speeches in Claiborne Hardware, which expressly threatened
violence against the boycott violators, was in fact followed by
violence; he then made additional speeches, again referring to violence
against boycott breakers. 458 U.S. at 900, 102 S.Ct. 3409 (April 1966
speech), at 902, 102 S.Ct. 3409 (April 1969 speeches). By
contrast, the record here contains no evidence that violence was
committed against any doctor after his name appeared on defendants'
posters or web page.
The opinion's effort to distinguish Claiborne Hardware does not bear
scrutiny. The majority claims that in Claiborne Hardware, "there was no
context to give the speeches (including the expression 'break your
neck') the implication of ... directly threatening unlawful conduct."
Maj. op. at 1073. As explained above, the majority is quite wrong on
this point, see pp. 1063 supra, but it doesn't matter anyway: Evers's
statements were threatening on their face. Not only did he speak of
breaking necks and inflicting "discipline," he used the first person
plural "we" to indicate that he himself and those associated with him
would be doing the neck-breaking, 458 U.S. at 902, 102 S.Ct. 3409, and
he said that "blacks who traded with white merchants would be
answerable to him," id. at 900 n. 28, 102 S.Ct. 3409 (emphasis in the
original).
It is possible--as the majority suggests--that Evers's statements were
"hyperbolic vernacular," Maj. op. at 1073, but the trier of fact
in that case found otherwise. The Supreme Court nevertheless held that
the statements ought to be treated as hyperbole because of their
political content. By any measure, the statements in our case are far
less threatening on their face, yet the majority chooses to defer to
the jury's determination that they were true threats.
The majority also relies on the fact that the posters here "were
publicly distributed, but personally targeted." Maj. op. at 1085. But
the threats in Claiborne Hardware were also individually targeted.
Store watchers carefully noted the names of blacks who entered the
boycotted stores, and those names were published in a newspaper and
read out loud at the First Baptist Church, where Evers delivered his
speeches. 458 U.S. at 903-04, 102 S.Ct. 3409. When speaking of broken
necks and other discipline, Evers was quite obviously referring to
those individuals who had been identified as defying the boycott; in
fact, he stated explicitly that he knew their identity and that they
would be answerable to him. Id. at 900 n. 28, 102 S.Ct. 3409. The
majority's opinion simply cannot be squared with Claiborne Hardware.
Claiborne Hardware ultimately stands for the proposition that those who
would punish or deter protected speech must make a very substantial
showing that the speech stands outside the umbrella of the First
Amendment. This message was reinforced recently by the Supreme Court in
Ashcroft v. Free Speech Coalition, 535 U.S. 234, 122 S.Ct. 1389, 152
L.Ed.2d 403 (2002), where the government sought to prohibit simulated
child pornography without satisfying the stringent requirements of
Miller v. California, 413 U.S. 15, 93 S.Ct. 2607, 37 L.Ed.2d 419
(1973). The Court rejected this effort, even though the government had
earnestly argued that suppression of the speech would advance vital
legitimate governmental interests, such as avoiding the exploitation of
real children and punishing producers of real child pornography. See
id. at 1402-04; see also id. at 1406-07 (Thomas, J., concurring in the
judgment); id. at 1407-09 (O'Connor, J., concurring in the judgment in
part and dissenting in part); id. at 1411-12 (Rehnquist, C.J.,
dissenting). The Court held that the connection between the protected
speech and the harms in question is simply too "contingent and
indirect" to warrant suppression. Id. at 1401-02; see also id. at
1403-04 ("The Government has shown no more than a remote connection
between speech that might encourage thoughts or impulses and any
resulting child abuse."). As Judge Berzon notes in her inspired
dissent, defendants' speech, on its face, is political speech on an
issue that is at the cutting edge of moral and political debate in our
society, see Berzon Dissent at 1101-02, and political speech lies far
closer to the core of the First Amendment than does simulated child
pornography. "The right to think is the beginning of freedom, and
speech must be protected from the government because speech is the
beginning of thought." Free Speech Coalition, 122 S.Ct. at 1403-04. If
political speech is to be deterred or punished, the rationale of Free
Speech Coalition requires a far more robust and direct connection to
unlawful conduct than these plaintiffs have offered or the majority has
managed to demonstrate. The evidence that, despite their explicitly
non-threatening language, the Deadly Dozen poster and the Nuremberg
Files website were true threats is too "contingent and indirect" to
satisfy the standard of Free Speech Coalition.
The cases on which the majority relies do not support its conclusion.
United States v. Hart, 212 F.3d 1067 (8th Cir.2000), is a case where
the communication did not merely threaten harm in the future, but was
itself perceived as dangerous. The defendant there parked two Ryder
trucks in the driveway of an abortion clinic, as close to the building
as possible. Hart, 212 F.3d at 1069, 1072. Given the association of
Ryder trucks with the Oklahoma City bombing, and the timing and
location of the incident, the trucks could reasonably be suspected of
containing explosives. They were much like mailing a parcel containing
a ticking clock or an envelope leaking white powder. The threat in Hart
came not from the message itself, but from the potentially dangerous
medium used to deliver it.
To make Hart even remotely analogous to our case, the defendant there
would have had to be picketing abortion clinics with a placard
depicting a Ryder truck. We know that the Eighth Circuit would not have
permitted the imposition of liability in that situation because of the
careful manner in which it circumscribed its holding. The court noted
that the trucks were parked in a driveway of the abortion clinic, near
the entrance, rather than on the street, and that the incident was
timed to coincide with a visit by the President to the area, which
heightened security concerns. Id. at 1072. In light of these facts, a
reasonable person could believe that the trucks might be filled with
explosives, which would not have been the case, had defendant merely
carried a placard with a picture of a Ryder truck. In our case, the
defendants merely displayed posters at locations nowhere near the
plaintiffs' homes or workplaces. The threat, if any there was, came not
from the posters themselves, but from the effect they would have in
rousing others to take up arms against the plaintiffs. Hart has no
relevance whatsoever to our case.
Nor does United States v. Dinwiddie, 76 F.3d 913 (8th Cir.1996), a case
involving repeated face-to-face confrontations between the defendant
and the targets of her harangues, help the majority. Dinwiddie, a
pro-life activist, stood outside Dr. Crist's abortion clinic and
shouted various threats through a bullhorn, making it clear that she
herself intended to carry them out. As Dinwiddie told one of Dr.
Crist's co-workers: "[Y]ou have not seen violence yet until you see
what we do to you." Id. at 925 (emphasis added). Where the speaker
directly confronts her target and expressly states that she is among
those who will carry out the violence, it is hardly surprising when the
court finds that there has been a true threat.
We have recognized that statements communicated directly to the target
are much more likely to be true threats than those, as here,
communicated as part of a public protest. Our caselaw also instructs
that, in deciding whether the coercive speech is protected, it makes a
big difference whether it is contained in a private communication-a
face-to-face confrontation, a telephone call, a dead fish wrapped in
newspaper -- or is made during the course of public discourse. The
reason for this distinction is obvious: Private speech is aimed only at
its target. Public speech, by contrast, seeks to move public opinion
and to encourage those of like mind. Coercive speech that is part of
public discourse enjoys far greater protection than identical speech
made in a purely private context. We stated this clearly in McCalden v.
Cal. Library Ass'n, 955 F.2d 1214 (9th Cir.1990), where, relying on
Brandenburg, Claiborne Hardware and Wurtz, we allowed "public speeches
advocating violence" substantially more leeway under the First
Amendment than "privately communicated threats." McCalden, 955 F.2d at
1222.
We reaffirmed the importance of the public-private distinction in
Melugin v. Hames, 38 F.3d 1478 (9th Cir.1994). Finding a death threat
communicated to a magistrate judge by mail to be a "true threat," we
expressly distinguished between "[t]he 'threat' in Watts against
President Johnson [which] was made during a public political rally
opposing the Vietnam War" and defendant's threats, which "were directed
in a private communication to a state judicial officer with the intent
to obtain an immediate jury trial." Id. at 1484 (footnote omitted)
(emphasis added).
In Bauer v. Sampson, 261 F.3d 775 (9th Cir.2001), two members of
today's majority emphasized the importance of the public character of
speech in deciding whether it constitutes a "true threat." Bauer
involved a college professor who published an underground campus
newsletter containing threatening criticism of the college's board of
trustees. Noting that "[e]xpression involving a matter of public
concern enjoys robust First Amendment protection," the opinion states
that "although [the] writings have some violent content," the fact that
they were made "in an underground campus newspaper in the broader
context of especially contentious campus politics" rendered them a
"hyperbole" and not a "true threat." Id. at 783- 84. The majority
seems perfectly willing to have this court treat expressly violent
statements by Charles Evers and Roy Bauer as hyperbole, but to hold the
entirely non-violent statements by defendants to be true threats.
Finally, a word about the remedy. The majority affirms a crushing
liability verdict, including the award of punitive damages, in addition
to the injunction. An injunction against political speech is bad
enough, but the liability verdict will have a far more chilling effect.
Defendants will be destroyed financially by a huge debt that is almost
certainly not dischargeable in bankruptcy; it will haunt them for the
rest of their lives and prevent them from ever again becoming
financially self-sufficient. The Supreme Court long ago recognized that
the fear of financial ruin can have a seriously chilling effect on all
manner of speech, and will surely cause other speakers to hesitate,
lest they find themselves at the mercy of a local jury. See N.Y. Times
Co. v. Sullivan, 376 U.S. 254, 277-79, 84 S.Ct. 710, 11 L.Ed.2d 686
(1964). The lesson of what a local jury has done to defendants here
will not be lost on others who would engage in heated political
rhetoric in a wide variety of causes.
In that regard, a retrospective liability verdict is far more damaging
than an injunction; the latter at least gives notice of what is
prohibited and what is not. The fear of liability for damages, and
especially punitive damages, puts the speaker at risk as to what a jury
might later decide is a true threat, and how vindictive it might feel
towards the speaker and his cause. In this case, defendants said
nothing remotely threatening, yet they find themselves crucified
financially. Who knows what other neutral statements a jury might imbue
with a menacing meaning based on the activities of unrelated parties.
In such circumstances, it is especially important for an appellate
court to perform its constitutional function of reviewing the record to
ensure that the speech in question clearly falls into one of the narrow
categories that is unprotected by the First Amendment. The majority
fails to do this.
While today it is abortion protesters who are singled out for punitive
treatment, the precedent set by this court--the broad and uncritical
deference to the judgment of a jury--will haunt dissidents of all
political stripes for many years to come. Because this is contrary to
the principles of the First Amendment as explicated by the Supreme
Court in Claiborne Hardware and its long-standing jurisprudence
stemming from Brandenburg v. Ohio, I respectfully dissent.
BERZON, Circuit Judge, with whom
REINHARDT, KOZINSKI, and KLEINFELD, Circuit Judges, join, and
O'SCANNLAIN, Circuit Judge, joins as to Part III only, dissenting:
This case is proof positive that hard cases make bad law, and
that when the case is very hard--meaning that competing legal and moral
imperatives pull with impressive strength in opposite directions--there
is the distinct danger of making very bad law.
The majority opinion in this case suitably struggles with the difficult
First Amendment issues before us concerning whether the posters and
website at issue are or are not First Amendment protected speech. The
legal standard the majority applies, however, is, in my view,
insufficiently cognizant of underlying First Amendment values, for
reasons that are largely explained in Judge Kozinski's dissent, and for
additional reasons that I develop below.
Moreover, the majority, in an offhand way, also decides two evidentiary
issues that, I can say with some confidence, would not be decided so
summarily, and would probably not be decided in the same way, were this
a less wrenching case on its facts. Keeping one's eyes on the broader
picture is not always easy when people's lives--in this case the lives
of medical professionals--are being severely disrupted because they are
performing constitutionally protected activities in a perfectly lawful
manner at the behest of people who want their services and are entitled
to have them. As judges, though, we need to recognize that we are not
writing for this day and place only, and that rulings that appear
peripheral in the present context will take on great significance as
applied in another.
I
The First Amendment and True Threats
1. Clarifying the issue: The reason this is a hard First Amendment case
becomes somewhat obscured in all the factual detail and quotation of
precedent that we as judges engage in. The essential problem--one that,
as far as I am aware, is unique in the plethora of "threat" cases and
perhaps more generally in First Amendment jurisprudence--is that the
speech for which the defendants are being held liable in damages and
are enjoined from reiterating in the future is, on its face, clearly,
indubitably, and quintessentially the kind of communication that is
fully protected by the First Amendment.
The point is not simply that the two posters and the Nuremberg files
contain no explicit threats that take them outside the free speech
umbrella. We are not talking simply about ambiguous or implicit threats
that depend on context for their meaning, such as the Ryder trucks in
United States v. Hart, 212 F.3d 1067 (8th Cir.2000). Rather, the
pivotal issue for me is that what the communications in this case do
contain has all the attributes that numerous cases and commentators
have identified as core factors underlying the special protection
accorded communication under our Constitution.
The posters and website are all public presentations on a matter of
current moral and political importance; they provide information to the
public on that matter and propose a--peaceful, legal--course of action;
and they were presented with explicit reference to great moral and
political controversies of the past. Cases that are a virtual First
Amendment "greatest hits" establish that these kinds of
expressions--those that provide information to the public (particularly
when directed at publicly-available media), publish opinions on matters
of public controversy, and urge others to action--are the kinds of
speech central to our speech-protective regime, and remain so even when
the message conveyed is, in substance, form, or both, anathema to some
or all of the intended audience. See, e.g., Garrison v. Louisiana, 379
U.S. 64, 74-75, 85 S.Ct. 209, 13 L.Ed.2d 125 (1964) ("[S]peech
concerning public affairs is more than self-expression; it is the
essence of self-government."); Roth v. United States, 354 U.S. 476,
484, 77 S.Ct. 1304, 1 L.Ed.2d 1498 (1957) (The First Amendment "was
fashioned to assure unfettered interchange of ideas for the bringing
about of political and social changes desired by the people."); New
York Times Co. v. Sullivan, 376 U.S. 254, 266, 84 S.Ct. 710, 11 L.Ed.2d
686 (1964) (The First Amendment "attempt[s] to secure the widest
possible dissemination of information from diverse and antagonistic
sources."); Id. at 271, 84 S.Ct. 710 ("The constitutional protection
does not turn upon the truth, popularity, or social utility of the
ideas and beliefs which are offered."); Thornhill v. Alabama, 310 U.S.
88, 102, 60 S.Ct. 736, 84 L.Ed. 1093 (1940) ("Freedom of discussion, if
it would fulfill its historic function in this nation, must embrace all
issues about which information is needed or appropriate to enable the
members of society to cope with the exigencies of their period.");
Thomas v. Collins, 323 U.S. 516, 537, 65 S.Ct. 315, 89 L.Ed. 430 (1945)
(" 'Free trade in ideas' means free trade in the opportunity to
persuade to action, not merely to describe facts."); Terminiello v.
City of Chicago, 337 U.S. 1, 4, 69 S.Ct. 894, 93 L.Ed. 1131 (1949)
(Speech "may indeed best serve its high purpose when it induces a
condition of unrest, creates dissatisfaction with conditions as they
are, or even stirs people to anger. Speech is often provocative and
challenging. It may strike at prejudices and preconceptions and have
profound unsettling effects as it presses for acceptance of an idea.").
Tested against these most basic premises, there can be no doubt that
the documents upon which the damages judgment and injunction in this
case were based were, on their face, "expression[s] of grievance and
protest on one of the major public issues of our time," and, as such,
documents that "would seem clearly to qualify for ... constitutional
protection." New York Times, 376 U.S. at 271, 84 S.Ct. 710. The posters
and website could not and would not have been proscribed, as "true
threats" or otherwise, had there been no (1) history of
similar--although not at all identical--publications put out by other
people that were followed by murders-by other people, not members of
either of the two defendant organizations--of health professionals who
performed abortions; and (2) repeated advocacy by these defendants of
the proposition that violence against abortion providers can be morally
justified, advocacy that all concede was, standing alone, itself
protected by the First Amendment. See Brandenburg v. Ohio, 395 U.S.
444, 447-48, 89 S.Ct. 1827, 23 L.Ed.2d 430 (1969) ("[T]he mere abstract
teaching ... of the moral propriety or even moral necessity for a
resort to force and violence, is not the same as preparing a group for
violent action and steeling it to such action.") (quoting Noto v.
United States, 367 U.S. 290, 297-98, 81 S.Ct. 1517, 6 L.Ed.2d 836
(1961)). The precise question before us is therefore whether that
context is sufficient to turn a set of communications that contain
speech at the core of the First Amendment's protections into speech
that can be proscribed pursuant to an injunction and compensated for
through damages.
2. An analogy: Stated in those terms, the issue bears a close
resemblance to that faced by the courts with regard to First Amendment
limitations on defamation actions, beginning with New York Times Co. v.
Sullivan. Like "true threats," false speech has long been understood as
a category of communication that contains few of the attributes that
trigger constitutional speech protection and so great a likelihood of
harming others that we refer to the speech as being beyond the
protection of the First Amendment. See R.A.V. v. City of St. Paul, 505
U.S. 377, 383, 112 S.Ct. 2538, 120 L.Ed.2d 305 (1992). Like "true
threats," false, defamatory speech can severely disrupt peoples' lives,
both by affecting them emotionally (as does apprehension of danger) and
by impairing their social ties, their professional activities, and
their ability to earn a living (as does the perceived need to protect
oneself from physical harm).
The Supreme Court since the 1960s has developed a set of discrete
principles designed not to provide false speech with constitutional
protection, but to erect, on an ascending scale depending upon the
perceived value of the particular kind of speech to the common dialogue
that the First Amendment is designed to foster, doctrinal protections
within defamation law that minimize self-censorship of truthful speech.
Those protections are based upon realistic assessment of the vagaries
of litigation and the fear of crippling damages liability.
For example, New York Times observed that "[a]llowance of the defense
of truth ... does not mean that only false speech will be deterred,"
because "[u]nder such a rule, would be critics of official conduct may
be deterred from voicing their criticism, even though it is believed to
be true and even though it is in fact true, because of doubt whether it
can be proved in court or fear of the expense of having to do so." 376
U.S. at 279, 84 S.Ct. 710; see also Gertz v. Robert Welch, Inc., 418
U.S. 323, 342, 94 S.Ct. 2997, 41 L.Ed.2d 789 (1974) ("[T]o assure to
the freedoms of speech and press that 'breathing space' essential to
their fruitful exercise ... this Court has extended a measure of
strategic protection to defamatory falsehood.") (internal citation
omitted). Without a federal constitutional requirement focusing on the
speaker's state of mind with regard to the truth of what he was saying
(as well as careful scrutiny by the courts of any jury verdict based
purely upon speech), the Court concluded, there would be a distinct
danger that fear of defamation liability would "dampen[ ] the vigor and
limit[ ] the variety of public debate," to the detriment of First
Amendment values. Id. The problem has been treated as one of balancing
the very real injury caused by unwarranted damage to reputation against
the dangers to the system of free expression worked by rules of
liability that are easy to misperceive or to misapply in particular
instances. And the Court's answer to this problem has, as noted, been
far from unitary. Instead, the balance has been struck with regard to
subcategories of defamation cases, according to the nature of the
communication, the nature of the parties and, to some degree, the
purpose of the speech.
Our problem here is similar. Any "true threats" within the three
communications at issue were encased in documents and public events
that promoted--at least for those listeners not "in the
know"--precisely the kind of "debate on public issues [that] should be
uninhibited, robust, and wide-open, and that ... may well include
vehement, caustic, and sometimes unpleasantly sharp attacks...." New
York Times, 376 U.S. at 270, 84 S.Ct. 710. True, the targeted medical
professionals and clinics were not public officials, but they were
engaged in activities that the defendants, rightly or wrongly, regarded
as both morally reprehensible and a matter for eventual governmental
proscription through the political process (presumably through a
constitutional amendment). Moreover, as both the majority and Judge
Kozinski recognize, the posters and website remained core First
Amendment speech even though--quite aside from any coded threat of
physical harm--they exposed the targeted plaintiffs to other,
nonviolent but still extremely disturbing, interference with their
daily lives (in the form of unwanted public exposure and inflammatory
rhetoric directed at them, their families, and their customers, both at
home and at work) and even if they induced fear in the plaintiffs that
people unconnected with the defendants might harm them.
Under these circumstances, the question for me becomes devising
standards that, like the constitutional defamation standards that vary
with the strength of the protection of the communication, rely not on
an unitary "true threats" standard, as does the majority, but on
considerations that lessen the danger of mistaken court verdicts and
resulting self-censorship to a greater or lesser degree depending upon
the nature of the speech in question and the role of speech of that
nature in the scheme of the First Amendment.
3. Some constitutional parameters: Judge Kozinski, in his dissent,
makes one important suggestion toward this end with which, for all the
reasons already canvassed, I fully agree: He suggests that "statements
communicated directly to the target are much more likely to be true
threats than those, as here, communicated as part of a public protest."
Kozinski dissent at 7162. As a first cut at separating out the kinds of
allegedly threatening communications that are central to First
Amendment values and therefore must be tested by particularly stringent
criteria before they can be prohibited, these two criteria--the public
nature of the presentation and content addressing a public issue (which
can include matters of social or economic as well as political import
for the individuals involved, see Bartnicki v. Vopper, 532 U.S. 514,
535, 121 S.Ct. 1753, 149 L.Ed.2d 787 (2001); Thornhill, 310 U.S. at
102-03, 60 S.Ct. 736)--are critical.
In a rare instance, a threat uttered in the course of a public
political protest might conceivably exceed the bounds of protected
speech. United States v. Kelner, 534 F.2d 1020 (2d Cir.1976), is
illustrative. (I am not aware of any case in this circuit in which a
defendant was, as in Kelner, punished or held liable for a threat
uttered in the course of public protest activity--a gap in itself
telling with regard to the importance and novelty of this case.) In
Kelner, a member of the Jewish Defense League stated at a press
conference held in New York just before Yassir Arafat was scheduled to
be in the city that "We have people who have been trained and who are
out now and who intend to make sure that Arafat and his lieutenants do
not leave this country alive.... We are planning to assassinate Mr.
Arafat.... Everything is planned in detail .... It's going to come
off." Id. at 1021. The press conference was broadcast on television
that evening. Id. The Second Circuit upheld the defendant's
conviction for uttering the threat, over the objection that the speech
was simply an extreme statement of opposition to Mr. Arafat, protected
under the First Amendment as hyperbolic public discussion of a public
issue. Id. at 1024-28.
In doing so, the Second Circuit recognized that where the asserted
threat "is made in the midst of what may be other protected political
expression," courts must be vigilant to permit liability or conviction
only in circumstances in which the danger to free expression is
minimal; where that is the case, "the threat itself may affront such
important social interests that it is punishable." Id. at 1027. The
criteria the Second Circuit suggested to police the dividing line were
that "the threat on its face and in the circumstances in which it is
made is so unequivocal, unconditional, immediate and specific as to the
person threatened, as to convey a gravity of purpose and imminent
prospect of execution." Id. Measured against these criteria, Kelner
held that, although politically motivated and designed to convey a
public position of protest to Mr. Arafat's policies, the speech in
question was not protected speech. Id. at 1028.
Kelner 's criteria for adjudging the protection accorded alleged
threats uttered in the course of public communications on public issues
seem appropriate to me--and, as I show below, consistent with NAACP v.
Claiborne Hardware Co., 458 U.S. 886, 102 S.Ct. 3409, 73 L.Ed.2d 1215
(1982)--with one exception, an addition, and some explication:
First, the exception: I would not
include the imminence or immediacy of the threatened action as a
prerequisite to finding a true threat delivered as part of a public
speech, if all of the other factors were present. The immediacy
requirement calls to mind the standard the Supreme Court erected for
proscription of inciting speech in Brandenburg. But as the majority can
be read to recognize and as Judge Kozinski well explains, the separate
constitutional category of unprotected speech for threats does not
include statements that induce fear of violence by third parties.
Where there is no threat, explicit or implicit, that the speaker or
someone under his or her control intends to harm someone, a statement
inducing fear of physical harm must be either (1) a prediction or
warning of injury, or (2) an inducement or encouragement of someone
else to cause the injury. The former is, as Judge Kozinski suggests,
clearly entitled to protection under the First Amendment as either
informative or persuasive speech. The latter kind of statement may or
may not be protected. Whether it is or not must be governed by the
strict inducement standard of Brandenburg if the more than fifty years
of contentious development of the protection of advocacy of illegal
action is not to be for naught. See Brandenburg, 395 U.S. at 447-48, 89
S.Ct. 1827 (overruling Whitney v. California, 274 U.S. 357, 47 S.Ct.
641, 71 L.Ed. 1095 (1927), and holding that "the constitutional
guarantees of free speech and free press do not permit a State to
forbid or proscribe advocacy of the use of force or of law violation
except where such advocacy is directed to inciting or producing
imminent lawless action and is likely to incite or produce such
action"); see also id. at 450-454, 89 S.Ct. 1827 (Douglas, J.,
concurring) (recounting the history of the "clear and present danger"
doctrine for adjudging the constitutionality of restrictions upon
advocacy of illegal action).
One can, however, justify a somewhat different standard for judging the
constitutionality of a restriction upon threats than for a restriction
upon inducement of violence or other illegal action. There is a
difference for speech-protective purposes between a statement that one
oneself intends to do something and a statement encouraging or
advocating that someone else do it. The latter will result in harmful
action only if someone else is persuaded by the advocacy. If there is
adequate time for that person to reflect, any harm will be due to
another's considered act. The speech itself, in that circumstance, does
not create the injury, although it may make it more likely. The Supreme
Court has essentially decided that free expression would be too greatly
burdened by anticipatory squelching of advocacy which can work harm
only indirectly if at all. See Kelner, 534 F.2d at 1027 n. 9 ("Short of
[advocacy that is close, direct, effective and instantaneous in its
impact] the community must satisfy itself with punishment of the one
who committed the violation of law or attempted to do so, not
punishment of the person who communicated with him about it.") (quoting
Thomas Emerson, The System of Freedom of Expression 404-05 (1970)); see
also Ashcroft v. Free Speech Coalition, 535 U.S. 234, 122 S.Ct. 1389,
1403, 152 L.Ed.2d 403 (2002) (because "the Court's First Amendment
cases draw vital distinctions between words and deeds," the government
may not punish speech because it increases the chance that someone
other than the speaker will commit an unlawful act).
A true threat, in contrast, implies a firmness of purpose by the person
speaking, not mediated through anyone else's rational or emotional
reaction to the speech. Threatening speech thereby works directly the
harms of apprehension and disruption, whether the apparent resolve
proves bluster or not and whether the injury is threatened to be
immediate or delayed. Further, the social costs of a threat can be
heightened rather than dissipated if the threatened injury is promised
for some fairly ascertainable time in the future--the "specific"
prong--for then the apprehension and disruption directly caused by the
threat will continue for a longer rather than a shorter period. So,
while I would police vigorously the line between inducement and
threats--as the jury instructions in this case did, although the
majority opinion is less clear on this point--I would, where true
threats are alleged, not require a finding of immediacy of the
threatened harm.
Second, the addition: Although this court's cases on threats have not
generally set any state of mind requirements, I would add to the Kelner
requirements for proscribable threats in the public protest context the
additional consideration whether the defendant subjectively intended
the specific victims to understand the communication as an unequivocal
threat that the speaker or his agents or coconspirators would
physically harm them. Especially where the plaintiffs in such
circumstances are relying only on surrounding context and are doing so
to overcome the literal import of the words spoken, impairment of free
public debate on public issues through self-censorship is a distinct
possibility unless there is convincing proof that the literal meaning
of the words was not what the defendants intended to convey.
The subjective intent requirement for alleged threats delivered in the
course of public protest comports with Supreme Court precedent, both
directly and by analogy. Although the Supreme Court has yet to outline
fully the constitutional limitations applicable to proscription of
threats, in its most direct look at the subject the Court expressed
"grave doubts" that a person could be liable for threatening expression
solely on the basis of an objective standard. Watts v. United States,
394 U.S. 705, 707-08, 89 S.Ct. 1399, 22 L.Ed.2d 664 (1969). A few
months later, in Brandenburg, the Court held that in an incitement
case, the plaintiff or the government must not only prove that a
statement "is likely to incite or produce" imminent lawless action, but
must also prove that the statement "is directed to inciting or
producing" such action. 395 U.S. at 447, 89 S.Ct. 1827. This latter
requirement is a subjective intent prerequisite, as it turns the
speaker's liability in an incitement case on how the speaker intends
others to understands his words. See also Hess v. Indiana, 414 U.S.
105, 109, 94 S.Ct. 326, 38 L.Ed.2d 303 (1973) (speech cannot be
punished when no evidence exists that "words were intended to produce"
imminent disorder).
With regard to this subjective intent requirement, there is no
meaningful distinction between incitement cases and threat cases such
as this one--that is, cases involving public protest speech, especially
where the alleged threat, on its face, consisted entirely of advocacy.
The First Amendment protects advocacy statements that are likely to
produce imminent violent action, so long as the statements are not
directed at producing such action. To do otherwise would be to endanger
the First Amendment protection accorded advocacy of political change by
holding speakers responsible for an impact they did not intend.
Similarly, a purely objective standard for judging the protection
accorded such speech would chill speakers from engaging in facially
protected public protest speech that some might think, in context, will
be understood as a true threat although not intended as such. Unsure of
whether their rough and tumble protected speech would be interpreted by
a reasonable person as a threat, speakers will silence themselves
rather than risk liability. Even though the Supreme Court has stated
that protected political speech "is often vituperative, abusive, and
inexact," speakers wishing to take advantage of these protected
rhetorical means may be fearful of doing so under the majority's purely
objective approach. Watts, 394 U.S. at 708, 89 S.Ct. 1399; see also
Rogers v. United States, 422 U.S. 35, 47, 95 S.Ct. 2091, 45 L.Ed.2d 1
(1975) (Marshall, J., concurring).
When the district court issued the injunction against the defendants,
the court, for reasons it does not explain, relied on a different
definition of threat than the one it instructed the jury to use. In
contrast to the definition relied upon by the jury, the definition used
for purposes of the injunction correctly incorporated the subjective
intent requirement mandated by the First Amendment. Planned Parenthood
of the Columbia/Willamette, Inc. v. American Coalition of Life
Activists, 41 F.Supp.2d 1130, 1155 n. 1 (D.Or.1999). In addition, the
district court found that the defendants did intend to threaten. As a
result, the injunction comes close to conforming on its face to the
dictates of the First Amendment. The injunction still falls short,
however, because the district court did not state that a threat must be
unequivocal, nor did it find the posters to be unequivocal threats. As
I explain below, any definition of threats that does not include the
unequivocal requirement provides too little protection for public
political speech.
Third, the explication: "Unequivocal" cannot mean literal: Ryder
trucks, in the United States in the 1990s, and burning crosses, in the
United States in the twentieth and twenty-first centuries, have
unambiguous meanings that the individuals targeted will be hurt (at
least unless they do what the perpetrator of the threat wants them to
do, whether it be stop performing abortions or move out of town).
Instead, "unequivocal" means to me unambiguous, given the context. As
such, the requirement is essentially a heightened burden of proof,
requiring that a threatening meaning be clearly and convincingly
apparent. And in determining whether that proof standard has been met,
I would continue to apply the objective standard the majority embraces,
based on our cases, in determining whether the speech in fact
communicates an intent to harm specific individuals.
This case, I repeat, is uniquely difficult because to perceive a
threat, one must disregard the actual language used and rely on context
to negate the ordinary meaning of the communication. Further, the
actual language is, in its own right, core First Amendment speech,
speech that to a naive reader communicates protected information and
ideas. So the crux of the plaintiffs' cause of action (once one accepts
that only statements that evince an intention by the speaker or his or
her agents to carry out the threat can be actionable) is really an
assertion that the defendants were using Aesopian language or could be
understood as doing so, and that the context in which the speech must
be viewed provides the necessary evidence of the defendants' true,
albeit coded, meaning.
The first set of contextual evidence involves the poster /~murder /
poster / murder pattern the majority principally relies upon. Had the
murders--or any murders, or any serious violence--been committed by the
defendants and had the plaintiffs known that, the inference from the
poster/murder pattern that the publication by them of posters similar
to those previously followed by a murder might be a strong one.
The inference would be stronger had the defendants also put out the
earlier posters and had the plaintiffs known that. Neither is the case.
Plaintiffs' main submission to fill this gap was extensive evidence
concerning the defendants' opinions condoning the use of violence
against medical professionals who perform abortions, including general
statements to that effect and particular statements concerning the
people who murdered the doctors depicted on the previous posters,
stating that their actions were justified and that they should be
acquitted. Plaintiffs' closing argument, for example, went on for pages
and pages about defendants' meetings and writings concerning the
"justifiability of the use of force."
This evidence is certainly of some pertinence as to what the defendants
may have intended to do. It is more likely that someone who
believes in violence would intentionally threaten to commit it. It is
also pertinent to what persons in the plaintiffs' position-that is,
persons involved in the abortion controversy and alert to the division
of opinion within it--would likely understand concerning defendants'
communication. Individuals who believe in violence are not only more
likely to threaten to commit it but also actually to commit it, and so
defendants' views might well influence plaintiffs' perception of their
speech. And since the defendants would know that, defendants' public
statements approving the use of violence against doctors who perform
abortion are relevant to whether reasonable speakers in defendants'
position would expect their communications to be understood as threats.
Finally, I note that the approach I've outlined here fully comports
with Claiborne Hardware. Claiborne Hardware applied an "extreme care"
standard in determining "liability on the basis of a public
address-which predominantly contained highly charged political
rhetoric." 458 U.S. at 926-927, 102 S.Ct. 3409. It went on to note that
"[i]n the passionate atmosphere in which the speeches were delivered,
they might have been understood as inviting an unlawful form of
discipline or, at least, as intending to create a fear of violence
whether or not improper discipline was specifically intended." Id. at
927, 102 S.Ct. 3409 (emphasis added). After reviewing the actual words
used in context, however, the Court concluded that "Evers' addresses
did not exceed the bounds of protected speech." Id. at 929, 102 S.Ct.
3409. As I read the opinion, it held, essentially, that the supposed
threats were not on their face unequivocal and were not made
unequivocal by any contextual factors. So here.
I would therefore hold that under the special rules I would apply to
public protest speech such as that in this case, plaintiffs' judgment
cannot stand because, after a proper review of the record, we would
have to conclude that there was no unequivocal, unconditional and
specific threat.
II
Federal Law Enforcement Officers' Testimony Regarding Threats
I also disagree with the majority's conclusion that permitting law
enforcement officers to testify as to their opinions about the meaning
and import of the posters at issue was within the district court's
discretion. The government may not seek to persuade a jury that certain
speech contains characteristics that place it outside the realm of
constitutionally protected speech by providing in testimony, as opposed
to in a criminal indictment, its "nonjudicial determination" on the
ultimate legal issue to be decided. Hill v. Rolleri, 615 F.2d 886, 890
(9th Cir.1980).
The district court permitted the officers to repeat in testimony the
warnings that the officers gave the plaintiffs after the release of the
posters, purportedly in order to show the plaintiffs' state-of-mind in
response to the posters. Under this rationale, the testimony had very
little, if any, relevance to the issues before the jury, and,
especially in light of the First Amendment concerns the testimony
raises, the resulting prejudice greatly outweighed its minimal
probative value. The district court, therefore, abused its discretion
in failing to exclude this testimony under Fed.R.Evid. 403.
1. The testimony:
The district court permitted the plaintiffs to call to testify an FBI
agent, with 25 years experience, and two United States Marshals, one
with 26 years and the other with 14 years experience. The following
testimony was given:
"I told her that I was in receipt of threat information in the form of a flyer."
"That I had received a copy of a list called the Deadly Dozen List,
which listed 13 doctors, who perform abortions, and that it was
threatening in nature ...."
"I told her that I thought that her teachers, the teachers of her
children, should know about this threat, as well, in order to maintain
the security of the children."
"I told her that the children should be aware of--of the threat."
"I told him that he was on a threat list ...."
"I told her that if she received additional threats or wanted protection, these were the numbers to contact ...."
"And we discussed the reasons we believed that the threat was serious
.... We discussed the escalation in the incidents over the prior couple
of years. We talked about the murder of Dr. Gunn in Florida. We talked
about shootings involving Dr. Tiller in Kansas. We talked about
shootings involving Dr. Christ. We talked about Michael Bray and his
affiliation with the American Coalition of Life Advocates."
"Well, because of the nature of the threats, and--I asked Dr. Hern
to--he had a bulletproof vest. I thought it would be a good thing if he
wore that."
(emphases added). The testimony not only revealed the individual law
enforcement officers' opinions of the meaning of the posters, but also
informed the jury about the opinion of "headquarters," as follows:
"I told him ... that I had been given instructions to notify--to
immediately notify him, so that he could take some personal precautions
for his safety."
"I was contacted by my headquarters in Washington, D.C. ... I advised
her that the Marshal's Service was offering her protection, because her
name appeared on the list, and stated that if she wanted protection, I
would forward the request to our headquarters, who would then forward
it to the Department of Justice."
"I was directed by my headquarters to immediately contact Dr. Warren
Hern, because he was listed on the--the document. But, additionally, I
was directed to contact all of the clinics in the district of
Colorado." The officer further testified that he did contact all of the
clinics in Colorado.
"[H]eadquarters was taking this threat very seriousily."
"I explained to Dr. Hern that Michael Bray had been a conspirator
in--or involved in a conspiracy to blow up several abortion clinics.
And because of his affiliation, in addition to the other things we
discussed, that my headquarters believed that this was [a] serious
threat, and something that-- that we had to act on immediately."
(emphases added).
My major concern here involves the First Amendment repercussions of
allowing testimony by government employees as to the government's
opinion concerning whether speech is outside the First Amendment's
protections. In keeping with traditional Rule 403 analysis, however, I
first explain why the testimony did not serve to elucidate any of the
issues properly before the jury and then turn to the prejudicial effect
the testimony had on the defendants' First Amendment rights.
2. Basic Rule 403 analysis: The majority holds the law enforcement
testimony probative because it has "some tendency to show the
physicians' state of mind when they found out they were named on
'wanted'--type posters...." Majority Op. at 1082. Under the definition
of a true threat that the majority uses (and under the one I would
adopt, see Part I, supra ) the plaintiffs' state of mind is relevant
only to the extent that it tends to show "whether a reasonable person
would foresee" that the plaintiffs would interpret the posters as
threats. Majority Op. at 1074. The officers' testimony concerning the
warnings muddled rather than illuminated the inquiry into the question
how a reasonable lay person would understand the posters, as that
testimony revealed the officers' reaction to the posters, not the
plaintiffs'. The true threat standard focuses on how "those to whom the
maker communicates the statement" would "interpret[ ]" it, not on the
government's determination of whether a threat was made. See id. So the
officers' reaction to the posters is largely irrelevant. Further, to
the extent the testimony did tend to show the plaintiffs' state of
mind, it suggested what the plaintiffs' reaction may have been to the
officers' warnings or to the combination of learning about the posters
and receiving the warnings, not simply to the posters themselves.
During the testimony of one of the officers, the district court
instructed the jury to consider the testimony only for what it revealed
about the state of mind of the recipient of the warnings and not to
take the testimony as an "administrative decision" that the posters
constituted true threats. To the extent that the officers' testimony
did bear on any pertinent issue--which, as I indicated above, is little
if at all--the court's limiting instruction did not do much to maintain
the jury's focus on this issue, as the court did not repeat the
instruction when each of the law enforcement officers testified, nor
did the court instruct the jury on this issue before deliberations,
despite the defendants' request that the court do so.
It is unlikely that a jury can put aside the opinions of an FBI agent
and United States Marshals--and their headquarters--as to the nature of
the speech and instead focus solely on how those opinions bore on the
plaintiffs' state of mind. See United States v. Gutierrez, 995 F.2d
169, 172 (9th Cir.1993) ("[T]he expert testimony of a law enforcement
officer ... often carries an aura of special reliability and
trustworthiness.") (quoting United States v. Espinosa, 827 F.2d 604,
613 (9th Cir.1987)). On traditional evidentiary grounds alone, such
testimony should not be admitted in threats cases.
3. First Amendment-related prejudice: Turning now to the issue I find
most troubling, the First Amendment ramifications of the law
enforcement officers' testimony:
Admitting testimony by law enforcement officers as to whether certain
speech has the primary characteristic of an unprotected category (for
instance, is a serious threat, or is obscene, or is false) allows the
government not only to prohibit or burden that category of speech (true
threats, obscenity, defamation), but also persuasively to shape the
jury's determination of what speech falls into the unprotected
category. The obvious risk is that the government will use its "aura of
special reliability and trustworthiness," Gutierrez, 995 F.2d at 172,
to describe as undeserving of constitutional protection speech that in
fact is only unpopular with the government. In Watts, the Court looked
to the reaction of those to whom the speech was directed to determine
how the speech should be taken. 394 U.S. at 708, 89 S.Ct. 1399. Had the
Secret Service run to the President to inform him of Watts' speech and
warn him of the "threat," the Secret Service's reaction, and the
President's resulting fear, presumably would not have been allowed to
override the reaction of the actual audience to the speech.
Furthermore, the officers' testimony here quite naturally tended to
blur the lines between various categories of speech--true threats,
incitement, and perhaps some form of "putting in harm's way"--and
therefore risked a jury finding of liability for speech that may not
fall within the "threat" category as narrowly defined for First
Amendment purposes. The officers testified that they told the
plaintiffs the speech was a threat and one that should be taken
seriously, but there is no indication that the officers distinguished
between a "true" threat--a threat of violence by the speaker--and
speech warning that a third party would harm the plaintiffs or speech
containing a threatening quality because of its tendency to incite
others or to put the plaintiffs in harm's way. Nor did the district
court instruct the jury that the officers might use the term "threat"
in a way that differed from the type of "threat" that does not receive
constitutional protection.
The majority also concludes that the district court properly admitted
the officers' testimony "to show the knowledge and intent of ACLA in
distributing the posters regardless of the reaction they precipitated."
Majority Op. at 1082. Testimony as to the statements made by the
officers to the plaintiffs has little relevance to the intent and
knowledge of the defendants. And, more importantly, the same First
Amendment concerns come into play here: Under this rationale, if
federal law enforcement officials dislike certain speech, they can take
a substantial step towards rendering it unprotected by expressing
publicly the view that such speech is threatening, because if the
speaker then repeats the speech he does so with knowledge of the
reaction it precipitated.
To the extent that our law allows law enforcement officers otherwise to
testify directly on ultimate factual and legal questions that the jury
must decide, we should draw the line at permitting the use of this
persuasive aura in testimony that certain speech is of such a nature
that it is undeserving of constitutional protection. Permitting such
testimony cannot be reconciled with the role of the First Amendment to
protect freedom of speech from suppression by the government.
III
Deposition Summaries
The majority approves--quite in passing--the district court's
insistence that the parties submit as evidence summaries of deposition
testimony, not the testimony itself. Majority Op. at 1083. As I read
Federal Rule of Civil Procedure 32, which governs the admission of
deposition testimony, it does not permit the substitution of summaries
for actual testimony. Nor is there anything in the Federal Rules of
Evidence or this court's case law to the contrary. Rather, it is a
fundamental precept of our system for ascertaining facts that a jury is
entitled to learn what a witness actually said, rather than an inexact
rendition presented by counsel (and probably initially drafted by
paralegals).
Language can be subtle, ambiguous and malleable. Paraphrases, as any
judge reading lawyers' briefs knows, are no substitute for quotation of
the actual words spoken by a witness. As often as not, a check of the
transcript will reveal that the language the witness actually spoke, in
context, may well mean something other than what counsel has
represented.
That does not mean that counsel is lying, but that shades of meaning
can be critical. "[A]s the childhood game of 'telephone' well
demonstrates, words change significantly in the course of their
re-telling by third parties." United States v. Pena-Espinoza, 47 F.3d
356, 364 (9th Cir.1995) (Reinhardt, J., dissenting). Indeed, the game
of "telephone" requires only that a listener repeat the exact language
that he or she heard; a summary, in contrast, necessarily requires the
more subjective choice of different words to convey the general idea
communicated by the original language. "There is simply no way to
summarize the contents of a transcript without offering to some degree
a subjective view of their meaning and import." Id. Because that is so,
summaries of witnesses' testimony are likely to distort the import of
the actual testimony given and so impede the jury's search for truth.
Our legal system recognizes, in various contexts, that the same set of
words may frequently lend itself to more than one reasonable
interpretation. See, e.g., Chevron U.S.A., Inc. v. Natural Res. Def.
Council, Inc., 467 U.S. 837, 104 S.Ct. 2778, 81 L.Ed.2d 694 (1984).
There is no reason to believe that a lawyer will not adopt the
interpretation most favorable to his or her client, so long as the
interpretation is reasonable, even if not perhaps the most reasonable.
See United States v. Leon-Reyes, 177 F.3d 816, 820 (9th Cir.1999)
("Summaries are normally prepared by an interested party and therefore
may not be completely accurate or may be tainted with the preparing
party's bias."). In our adversary system, it is the role of the trier
of fact--not the advocate--ultimately to determine the meaning of
witness testimony.
Further, access to the actual language a witness used--even on a cold
record--is often essential to determining the witness's credibility and
hence the weight, if any, to be accorded the testimony. Equivocations,
hesitations, and internal contradictions may all be smoothed over by
summaries that purport to extract the content of a witness's testimony.
Requiring counsel to summarize testimony without allowing the trier of
fact to have access to the testimony itself necessarily precludes the
trier of fact from properly exercising his or her truth-determining
role.
The record here provides concrete examples of various ways in which
summaries can distort the import of the actual testimony and thereby
impair the truth-ascertaining process. For instance, the summary of
Michael Dodds' deposition condensed inaccurately the testimony he gave.
The summary stated:
The other physician, on the Deadly
Dozen List, from Dodds' region, Dr. Douglas Karpen, is from the
Houston, Texas, area. Dodds believes that defendant Donald Treshman
provided that name.
What Dodds actually said in his deposition regarding the source of Karpen's name for the Deadly Dozen list was "I don't know."
The deposition of Roy McMillan provides an example of testimony that
could reasonably be interpreted in either of two ways, but the summary
provided the jury with only one interpretation. The summary stated:
As for the additional murder of Mr.
Barrett [Dr. Britton's escort], McMillan felt that if it was, quote,
right for one person, it would be right for someone else, end quote.
A look at McMillan's deposition transcript (which the defendants
introduced in rebuttal) sheds a somewhat different light on the
quotation included in the summary. In his deposition, McMillan was
first asked about a petition in support of Michael Griffin, who killed
Dr. Gunn, and then asked about "the second petition which was for Mr.
Hill," who killed Mr. Barrett and Dr. Britton. The testimony went as
follows:
[Answer:] This is identical--pretty
much identical to the one that was circulated about the first
abortionist's termination. And this was--this, the second one was
regarding Paul Hill.
Question, and this one was put out by Michael Bray, is that right?
Answer, I am not sure who put it out, but I concurred that if it was right for one person, it would be right for someone else.
Thus, it appears that McMillan likely meant that if a petition in
support of Griffin was right, so too was a petition in support of Hill.
Either way, the interpretation should have been left entirely to the
jury. (It is quite unlikely that this difference in meaning could have
substantively affected the verdict, but that conclusion would require a
separate inquiry.)
Finally, the record here also contains summary language that although
technically accurate may nonetheless have conveyed a subtly different,
but potentially important, sense of the speaker or of the events
described from the testimony itself. The summary of Dawn Stover's
deposition began with the sentence:
Dawn Stover is the associate director of defendant Advocates for Life Ministries....
Here is the excerpt from Stover's deposition transcript:
Question, are you still the associate
director of Advocates for Life Ministries? Answer, I would guess that,
but I have been inactive for so long that--I am still affiliated. I
still talk to a couple of people in Advocates, but I don't do any
directing and haven't done any directing for years. So-- and having a
title has never been that big of an issue. Question, was that ever a
paid position? Answer, no. Question, so you don't know whether or not
your status is currently associate director in terms of the eyes of the
organization? Answer, I honestly don't know how they would perceive me
as. I don't know, just because I have been inactive for so long, but
they may still.
Certainly, the jury reasonably could have found from Stover's testimony
that she "is the associate director" of Advocates for Life Ministries,
as the summary stated. At the same time, however, the jury might have
considered Stover's current role in the organization as quite different
depending on which of the above versions of her testimony they heard.
One set of words rarely conveys precisely the same meaning as a second,
truncated version.
The majority today pays no heed to all these "dangers of witnesses
summarizing oral testimony." United States v. Baker, 10 F.3d 1374, 1412
(9th Cir.1993), overruled on other grounds by United States v. Nordby,
225 F.3d 1053, 1059 (9th Cir.2000), and instead notes, without
qualification, only that the presentation of deposition testimony "in
the form of summaries was within the court's discretion under Rule
611(a)," Majority Op. at 1083. The very first mandate of Rule 611(a),
however, requires the trial court to "make the interrogation and
presentation [of evidence] effective for the ascertainment of truth."
Fed.R.Evid. 611(a)(1). For all the reasons just discussed,
substituting summaries of testimony for a word-for-word transcript
itself can hardly serve as an "effective" mode "for the ascertainment
of truth." See id.
Moreover, it is Fed. R. Civ. Proc. 32, not Rule 611(a) of the Rules of
Evidence, that directly, and with particularity, governs the
presentation of deposition testimony. As I read it, Rule 32 decidedly
does not permit courts to authorize the use of summaries in place of
actual testimony.
Rule 32 begins with this general provision:
At the trial ... any part or all of a
deposition, so far as admissible under the rules of evidence applied as
though the witness were then present and testifying, may be used....
Rule 32(a) (emphasis added); see also Rule 32(b) ("[O]bjection may be
made at the trial or hearing to receiving in evidence any deposition or
part thereof for any reason which would require the exclusion of the
evidence if the witness were then present and testifying."). A witness
who is "present and testifying" is doing just that--"testifying," not
providing capsule versions of his or her testimony. And using "any part
or all of a deposition" does not equate to using a paraphrased,
condensed version of a deposition, any more than a course syllabus
directing students to read "Hamlet" intends to subsume within that
directive the Classic Comics version of "Hamlet."
Rule 32 also specifically addresses the "Form of Presentation" of
deposition testimony, giving no indication that a district court may
admit a summary of deposition testimony in lieu of the testimony
itself. The pertinent section states, in relevant part:
Except as otherwise directed by the court, a party offering deposition
testimony pursuant to this rule may offer it in stenographic or
nonstenographic form, but, if in nonstenographic form, the party shall
also provide the court with a transcript of the portions so offered.
Rule 32(c) (emphasis added). The rule therefore clearly anticipates the
admission of stenographic or nonstenographic forms of testimony, not
summaries. Although Rule 32(c) does apply "[e]xcept as otherwise
directed by the court," this caveat is most sensibly read to give the
court discretion to direct either stenographic or non-stenographic
presentation of deposition testimony, not to permit the presentation as
"evidence" of summaries that approximate but do not reproduce the
language the witness used in any form.
Bolstering this conclusion regarding Rule 32(c), Rule 28 provides for
the taking of depositions in foreign countries "pursuant to a letter of
request," and expressly grants the district court the discretion to
admit the response to such a letter even if it is not a "verbatim
transcript" of the testimony or if it exhibits "any similar departure
from the requirements for depositions taken within the United States
under these rules." See Rule 28(b). The assumption quite obviously
underlying Rule 28 is that any report of testimony other than a
"verbatim transcript" is a "departure from the requirements for
depositions taken within the United States under these rules."
More generally, Rule 32 demonstrates an overall preference for the
presentation of testimony in the manner that, to the extent practical,
best provides the jury with complete information concerning the
witness's demeanor. Rule 32(a), for example, clearly favors live
testimony over deposition evidence by limiting the use of depositions
to three situations: when an adverse party is the deponent; for
impeachment purposes; or when the deponent is not available to testify
at trial. Rule 32(a)(1)-(3). By so doing, the rule reflects the
historical belief that live testimony better enables the jury to
adjudge the credibility of a witness and therefore to determine the
weight and import ascribed to the witness's testimony. Deposition
testimony is itself only second-best.
When the rules do allow the admission of deposition testimony in a jury
trial, Rule 32(c) permits a party in some instances to insist upon the
presentation of testimony in "non-stenographic form," allowing the jury
to hear and/or see the testimony as it was given. Rule 32(c) ("On
request of any party in a case tried before a jury, deposition
testimony offered other than for impeachment purposes shall be
presented in nonstenographic form, if available, unless the court for
good cause orders otherwise.") (emphasis added). Rule 32(c), by
favoring audio and video recordings over the reading of a cold
transcript, therefore establishes a preference for testimony that is
the most like live testimony. Under this scheme, the presentation of
deposition testimony in stenographic form is third-best.
Such presentation, however, at least allows the jury to hear or read
the actual words used by the witness. Deposition summaries, unless
accompanied by a transcript of the testimony, deprive the jury of even
this opportunity. With Rule 32's clear preference for live testimony,
or for testimony most resembling it, it makes little sense to think the
rule tacitly allows for this new, fourth-best, form of evidence, so far
removed from the in-person live testimony for which it is a substitute.
I conclude that Fed. R. Civ. Proc. Rule 32 withholds from district
courts the authority to require the substitution of summaries of
deposition testimony for the testimony itself, where truth and falsity
are at issue, and that the general language of Fed.R.Evid. Rule 611
cannot override that determination.
There is nothing in our case law to the contrary. We have, while
expressing great caution, allowed summaries of evidence in narrow
circumstances, but never as a complete substitute for actual
transcripts on material matters of historical fact.
For instance, in Leon-Reyes, 177 F.3d at 820, a perjury case, we held
that the district court did not abuse its discretion in allowing the
use of summaries of testimony from a prior trial in which the defendant
had allegedly committed perjury, emphasizing that the district court
instructed the jury to consider the summaries only for determining the
materiality of the false statements and not for the truth of the
witnesses' underlying testimony. Pena-Espinoza, 47 F.3d at 360,
permitted--although making clear that it did "not wish to condone such
procedures"--admission of summaries prepared by the prosecution of
telephone call transcripts. The court specifically noted that:
The transcripts themselves were in
evidence and the jury had them to examine during deliberations; the
ruling expressly permitted defense counsel to require a reading of the
full transcript on cross-examination and to dispute the veracity of the
readers' summaries.
Id. Similarly, Baker, 10 F.3d at 1411-12, found district court
discretion pursuant to Fed.R.Evid. 611(a) to permit a government
witness to present summary testimony and a chart estimating, on the
basis of testimony at trial, the value of narcotics transactions.
Critically, the district court made clear to the jury that the
testimony and chart did not constitute evidence:
The [district] court instructed the
jury that the summary testimony and exhibits were not evidence, did not
represent an opinion of the court or the prosecution on the credibility
of witnesses, and were to be disregarded to the extent the jury found
them conflicting with the testimony and evidence received at trial.
Id. at 1411. As in Pena-Espinoza, the Baker court emphasized that this
court is "not blind to the dangers of witnesses summarizing oral
testimony" and that "such summaries should be admitted under Rule
611(a) only in exceptional cases." Id. at 1412.
Thus, when this court has upheld the admission of summary evidence
under the abuse of discretion standard, we have done so not as a
substitute for transcript evidence on matters of historical fact, but
either on issues other than the truth of the matter testified to or as
an assistance to the jury, while also including the actual transcripts
in the record for the use of the jury or reviewing courts. And none of
our cases discuss the provisions of Fed. R. Civ. Proc. Rule 32, because
none of them involved deposition summaries as opposed to summaries of
other forms of evidence.
This is not a case in which the parties reached any agreement as to the
summaries presented, so I do not consider whether such an agreement
would be permissible. Nor did the defendants agree to the use of
summaries at all; instead, they maintained a continuing objection to
this procedure. And the district court did not review or revise the
summaries after receiving objections prepared by the defendants, as it
had originally planned to do. Cf. Leon-Reyes, 177 F.3d at 820
("Summaries ... must be scrutinized by the trial court to ensure that
they are accurate, complete, not unduly prejudicial, limited to the
relevant issues, and confined by appropriate jury instructions.").
The district court did allow the defendants to present
counter-summaries, colored with argument, and, in rebuttal, to
introduce excerpts from the transcripts. Such an adversarial procedure,
however, does not ensure that the jury will have before it the evidence
necessary to informed decision-making. The party responsible for
summarizing the testimony may have little reason to move for the
admission of the underlying testimony, precisely because that party may
prefer its summary to the testimony itself. Likewise, the adverse party
will, hopefully, point out blatant inconsistencies between the summary
and the testimony, but may choose otherwise to avoid providing the jury
with testimony that largely supports a summary introduced by the other
side.
Nevertheless, the fact remains that the jury must have the opportunity
to review the actual evidence--the transcripts of the testimony--when
deliberating as to the meaning of testimony. It is nonsensical to
expect the jury to determine the credibility of witnesses and
testimony, the special province of the jury, without providing the jury
with access to that testimony. Just as we, as judges, do not read
attorneys' paraphrases of statutes when we try to discover what the
legislature meant, see Fed. R.App. Proc. Rule 28(f), jurors cannot
sensibly evaluate the meaning and credibility of words without knowing
what those words are.
One final note: The majority presumably finds that the district court
has the discretion under Rule 611(a) to require deposition summaries in
lieu of the testimony itself in order to "avoid needless consumption of
time." Rule 611(a)(2). Because the presentation of deposition
summaries, without the agreement of the parties and the admission of
the corresponding excerpts, is not "effective for the ascertainment of
truth," Rule 611(a)(1), the consumption of time caused by the
presentation of actual testimony is not "needless." Moreover, by
providing an additional issue for the parties to dispute, the use of
summaries is just as likely to increase as to decrease the time spent
by counsel and by the court.
I recognize that district courts can and should reasonably limit the
amount of time expended on the presentation of deposition testimony.
This authority does not, however, give trial courts the discretion to
replace such testimony entirely with a Reader's Digest Condensed Books
version.
IV.
Conclusion
As waves of fervent protest movements have ebbed and flowed, the courts
have been called upon to delineate and enforce the line between
protected speech and communications that are both of little or no value
as information, expression of opinion or persuasion of others, and are
of considerable harm to others. This judicial task has never been an
easy one, as it can require--as here-- recognizing the right of
protesting groups to question deeply held societal notions of what is
morally, politically, economically, or socially correct and what is
not. The defendants here pose a special challenge, as they vehemently
condone the view that murdering abortion providers--individuals who are
providing medical services protected by the Constitution--is morally
justified.
But the defendants have not murdered anyone, and for all the reasons I
have discussed, neither their advocacy of doing so nor the posters and
website they published crossed the line into unprotected speech. If we
are not willing to provide stringent First Amendment protection and a
fair trial to those with whom we as a society disagree as well as those
with whom we agree--as the Supreme Court did when it struck down the
conviction of members of the Ku Klux Klan for their racist,
violence--condoning speech in Brandenburg--the First Amendment will
become a dead letter. Moreover, the next protest group--which may be a
new civil rights movement or another group eventually vindicated by
acceptance of their goals by society at large--will (unless we cease
fulfilling our obligation as judges to be evenhanded) be censored
according to the rules applied to the last. I do not believe that the
defendants' speech here, on this record and given two major erroneous
evidentiary rulings, crossed the line into unprotected speech. I
therefore dissent.