894 F.3d 441
1st Cir.2018Background
- Dr. Anibal Pagán-Romero, owner/physician at a Puerto Rico clinic, was tried and convicted (jury) for conspiracy and substantive mail fraud based on allegedly certifying false AFLAC injury claims.
- Government presented extensive evidence (270+ exhibits, recordings, cooperating employees) showing repeated certification of claims without actual treatment; defense claimed lack of knowledge and that employees forged or submitted claims without his awareness.
- Jury instructions properly defined the intent element (“knowingly”), admonished against outside research, and required written communications to the court.
- During deliberations the supervising judge (while the trial judge was absent) granted an oral juror request for an English-English dictionary (request not written, no on-record counsel discussion); jurors used it to look up “knowingly.”
- After conviction, the district court held multiple evidentiary hearings, individually questioned all jurors, and found the dictionary use did not influence deliberations or contradict the court’s instructions; denied new-trial motion.
- The First Circuit recognized the provision of the dictionary was error but, applying an abuse-of-discretion review, affirmed because the inquiry was thorough, the dictionary’s definition did not worsen Pagán-Romero’s position, and the evidence against him was strong.
Issues
| Issue | Plaintiff's Argument (Appellant Pagán-Romero) | Defendant's Argument (Government / Court) | Held |
|---|---|---|---|
| Whether the judge erred by supplying a dictionary during deliberations | Granting the dictionary was improper and violated the instruction requiring written communications; prejudicial | Supplying a dictionary was erroneous but not necessarily prejudicial; courts should avoid giving extrinsic resources | Court: Supplying the dictionary was error and the procedural handling was improper |
| Whether the dictionary exposure warrants a presumption of prejudice | Any extrinsic exposure requires presumed prejudice (relying on older precedent) | Presumption of prejudice applies only in serious/egregious cases; lesser taint evaluated for actual prejudice | Court: No presumption; abuse-of-discretion standard applies given circumstances |
| Whether the district court’s post-verdict inquiry was adequate | Inquiry needed to be searching and could reveal prejudice; claims that improper handling made inquiry insufficient | Court conducted multiple hearings, individually questioned jurors, and found no reliance on the dictionary | Court: Inquiry was thorough and within discretion; findings of no prejudice supported |
| Whether dictionary definition of "knowingly" harmed the defendant | Dictionary could have misled jury toward a damaging meaning (e.g., "shrewd/secret understanding") | Dictionary definition did not conflict with jury instructions and, if anything, imposed a stricter burden on the government | Court: Dictionary’s definition did not disadvantage Pagán-Romero; no resulting prejudice |
Key Cases Cited
- United States v. Camacho-Santiago, 851 F.3d 81 (1st Cir. 2017) (district court must inquire into extrinsic exposure and prejudice)
- United States v. Maraj, 947 F.2d 520 (1st Cir. 1991) (procedural requirements for handling jury communications)
- United States v. Bradshaw, 281 F.3d 278 (1st Cir. 2002) (examples of a methodologically sound inquiry into jury taint)
- Remmer v. United States, 347 U.S. 227 (U.S. 1954) (older authority suggesting presumed prejudice from extrinsic exposure)
- United States v. Ofray-Campos, 534 F.3d 1 (1st Cir. 2008) (distinguishing degrees of taint and when stronger remedies apply)
- Bristol-Martir v. United States, 570 F.3d 29 (1st Cir. 2009) (failure to inquire into extrinsic influence requires reversal)
- United States v. Cheyenne, 855 F.2d 566 (8th Cir. 1988) (distinguishing exposure to definitions from exposure to evidentiary material)
- United States v. Lawson, 677 F.3d 629 (4th Cir. 2012) (court should not supply extrinsic materials after instructions except in extraordinary circumstances)