Lead Opinion
This is a section 1983 action involving the interpretation of Rules 38(d) and 39(a) of the Federal Rules of Civil Procedure. We took this case en banc to reconsider this circuit’s literal approach to those rules in Palmer v. United States,
I
On June 11, 1984, appellant Edward Allen White, an Arizona State Prison inmate, filed a complaint under 42 U.S.C. § 1983, alleging that appellee Wayne McGinnis, an Arizona State Department of Corrections employee, violated his eighth amendment rights by assaulting him during a cellblock search in April, 1984.
Appellant argues that this court’s decision in Palmer v. United States,
A
The plaintiff in Palmer brought suit against the government pursuant to the Federal Tort Claims Act, 28 U.S.C. § 1846(b) (1976). The government implead-ed Donald Fisher as a third-party defendant, alleging that Fisher contributed to plaintiffs injuries. Both the plaintiff and Fisher made timely jury trial demands, but the court’s July 17, 1978, pretrial conference order failed to set the case for a jury trial. A bench trial began on November 29, 1978, and the court subsequently entered judgment in plaintiffs favor, finding Fisher responsible for 70% of the plaintiffs damages. Fisher failed to object at any time in the trial court to a bench trial. The court entered judgment in the government’s favor on its indemnity action against Fisher, who appealed.
In Palmer this court held that the district court erred by denying Fisher a jury trial on the government’s claim. After concluding that the government’s claim against Fisher warranted a jury trial and that Fisher’s jury demand was timely made, we observed that the record was completely silent on the issue of a jury trial and consequently held that “a party’s acquiescence to the district court’s maintenance of a bench trial, without more, is insufficient to establish a withdrawal of a jury demand.”
Nonetheless, we stopped short of holding that a formal stipulation was the exclusive mechanism for the parties to waive a prior jury trial demand. We concluded that “[cjonduct of the parties that evinces consent and appears on the record is sufficient to constitute a proper withdrawal and waiver.” Id. Because the record in that case was completely silent on the matter, this court found no waiver.
B
Subsequent decisions in this circuit have studiously avoided Palmer’s literal approach. In Reid Bros. Logging Co. v. Ketchikan Pulp Co.,
The appellant argued on appeal that its refusal to provide the consent required by Rule 39(a) entitled it to a jury trial under Rule 38(d). We declined to apply Rule 38(d) “in such a formalistic manner,” noting that given the conduct of the appellant, “a literal reading of Rule 38(d) would act as an instrument of delay and frustrate the purposes of the Federal Rules of Civil Procedure.” Id. at 1305. This court emphasized the guilding role of Rule 1, which states that the Federal Rules of Civil Procedure should “ ‘be construed to secure the just, speedy, and inexpensive determination of every action.’ ” Id. (quoting Rule 1).
More recently, in Pope v. Savings Bank of Puget Sound,
The appellant in Pope had informed the court below that he had rested “the first part of the case and not the part of the case which is to be tried to the Court on the foreclosure action.” Id. at 1354 (footnote omitted). Soon thereafter, the trial judge informed counsel that he would discharge the jury before lunch, and did so. After the lunch recess, the appellant informed the trial court that the jury had been improperly discharged, and requested that it be reconvened. The trial judge refused, and we affirmed on appeal.
In Pope this court correctly found that the appellant’s statement prompted the trial court to discharge the jury. This circumstance no doubt provides a factual distinction with the Palmer case. But in Pope this court admitted that the appellant’s conduct was not much more than mere acquiescence: “[T]he totality of the circumstances here manifests that the attorney slept on his client’s rights.” Id. at 1355 n. 29 (emphasis added). Indeed our analysis turned on the appellant’s “apparent agreement” with the trial court’s announcement, id. at 1355, a virtual synonym for “mere acquiescence.”
Our obvious discomfiture in the Reid and Pope decisions with the Palmer decision’s rationale and holding is mirrored in other circuits, which have flatly rejected the formalistic approach Palmer embraced. See Royal American Mgrs., Inc. v. IRC Holding Corp.,
Significantly, while Reid and Pope distanced themselves from Palmer, decisions in the Fourth and Second Circuits weakened its foundation. Specifically, all three decisions on which the Palmer majority relied for its rigid reading of Rule 39(a), see id. at 896 (citing Millner v. Norfolk & Western Railway Co.,
Ill
Finding Palmer thus weakened and isolated, we hold that it is no longer the law of this circuit. We join our sister circuits today by holding that knowing participation in a bench trial without objection is sufficient to constitute a jury waiver.
Rule 39(a) is designed to protect against some careless statement or ambiguous document being held to be a waiver when one was not intended. Where the parties have clearly consented to a bench trial, we have previously followed the general trend not to upset an otherwise valid bench trial simply because the letter of Rule 39(a) has not been followed. See Pope,
The case before us calls for a similar result. A party’s vigorous participation in a bench trial, without so much as a mention of a jury, cannot be presumed the result of mere inadvertence, but can only be ascribed to knowledgeable relinquishment of the prior jury demand. This is especially so where, as here, “the [objecting] party was ‘on notice that the trial court was planning to adjudicate the dispositive issues of fact.’ ” Royal American Managers,
For these reasons, the judgment of the district court is AFFIRMED.
Notes
. Appellant initially proceeded pro se, but retained private counsel who entered an appearance on August 30, 1985.
. Appellee does not dispute that White was entitled to a jury trial on his claims.
. Appellant also argues that he was provided with ineffective assistance of counsel, but a plaintiff in a section 1983 action alleging excessive use of force has no right to effective assistance of counsel. See Nicholson v. Rushen,
. McGinnis complains that White raised this issue for the first time on appeal. Ordinarily we will not entertain an issue not raised before the district court. Westinghouse Electric Corp. v. Weigel,
. In using this term, we recognize that there is “scant agreement on what it is for decisions in law ... to be formalistic, except that whatever formalism is, it is not good.” Schauer, Formalism, 97 Yale LJ. 509, 509-10 (1988) (footnote omitted). We use it here to denote reliance on a rule’s canonical language to the exclusion of all else. The negative connotation is unfortunate.
. Although the Sixth Circuit has not faced this issue directly, it has taken a similar stance in Sewell v. Jefferson County Fiscal Court,
On the day of the trial, Sewell’s counsel asked the court to summon the jury. After referring to the September 17, 1986 pretrial order setting the case for bench trial, the court ruled that plaintiff had waived her right to a jury by failing to timely object to the court's order, and proceeded to try all of Sewell’s claims. Id.
Fully aware that the letter of Federal Rule of Civil Procedure 39(a) had not been followed, the Court of Appeals for the Sixth Circuit affirmed. It relied upon the Seventh Circuit for the proposition that ”[t]he requirements of Rule 39(a) have ‘been interpreted broadly so as to encompass orders entered by the court and not objected to.’"
. Royal American appears to have overruled Ro-sen v. Dick’s interpretation of Rules 38(d) and 39(a) sub silentio. Compare Royal American,
. In Zidell Explorations, Inc. v. Conval Int’l, Ltd.,
The instant case does not implicate the concerns of Rule 39(a) expressed in Zidell, for the appellant here could not have reasonably understood the notice setting the case for a bench trial as a ruling that a jury trial was unwarranted. Appellant does not contend that he understood the trial notice to be "the trial judge’s directive," see id., on the appropriateness of a jury trial.
.The record here reveals that the court clerk announced at the start of the trial that the case was set for non-jury trial. Reporter’s Transcript at 3. Neither party requested a jury or submitted proposed jury instructions. Instead, both parties urged in their closing arguments that the trial judge make the necessary factual determinations. Id. at 195, 203-05.
We are of course, mindful of our obligation to indulge every reasonable presumption against the waiver of the jury right, see Pradier v. Elespuru,
Concurrence Opinion
concurring in the judgment:
I concur in the conclusion reached by the majority insofar as it affirms the judgment of the district court in favor of the defendant. I write separately because, unlike my colleagues, I would not reach the merits of this appeal.
Appellant did not object to a bench trial in the district court. A majority of the active judges of this court voted to take this case en banc to determine whether the opinion in Palmer v. United States,
In his dissent in Palmer, Judge Chambers concluded that the question whether the appellant was entitled to a trial by jury need not be considered because Fisher had participated in a non-jury trial without objection. Palmer,
In a well-reasoned opinion, the Seventh Circuit in Lovelace v. Dall,
The majority has cited several cases from other circuits that have determined that a jury demand under Rule 39(a) can be waived by mere acquiescence in a bench trial. None of the cases cited by the majority, except Lovelace v. Dall, discuss the question whether this issue may be raised for the first time on appeal under applicable circuit law. As discussed above, in Lovelace one of the bases for affirming the judgment was that no objection had been made in the trial court.
Long ago, we adopted the rule in this circuit that an issue may not be raised for the first time on appeal. In Westinghouse Elec. Corp. v. Weigel,
As noted by the majority, the failure of the district court to honor White’s request for a jury trial was obvious to the appellant and his lawyer throughout the two-day trial of this matter. At no time, however, did White bring his prior jury demand to the attention of the trial judge. Thus, the trial judge was not given the opportunity to correct an error known to the appellant. “A party will not be allowed to speculate with the court by letting error go unremarked and then seek a new trial on the basis of the error if the outcome of the ease is unfavorable to him.” 9 C. Wright & A. Miller, Federal Practice and Procedure § 2472, at 455 (1971).
The majority has rejected appellee’s argument that, under the law of this circuit, an issue may not be raised for the first time on appeal in a footnote of its opinion. Majority Opinion at 700 n. 4. The majority has referred us to United States v. Gabriel,
Except for the Palmer decision, which the majority has today overruled, my research has not disclosed any case in which this court has permitted an appellant to raise an issue on appeal where he remained silent, and failed to object, after becoming aware that the trial court had inadvertently committed error in the way it conducted the trial. I would not encourage appeals from litigants who deliberately await the outcome of trial before claiming error for the first time in this court.
I recognize that, in this case, appellant’s ambush of the trial court has proved unsuccessful. My concern is for the unfortunate precedent the majority has created. I would not permit an appellant to remain silent, in the face of clear error, awaiting the judgment of the court, before raising the issue on appeal. I would not waste precious judicial resources in considering a claim of error that could have been remedied below had appellant not elected to ambush the trial court.
Dissenting Opinion
with whom SCHROEDER and FLETCHER, Circuit Judges, join, dissenting:
Palmer v. United States,
DISCUSSION
As the Supreme Court has often noted, the process of statutory interpretation starts with the language of the statute. Hallstrom v. Tillamook County, — U.S.
I am not unmindful that the result we reached in Palmer appears to be a triumph of form over substance: the parties and the judicial system have suffered the burden and expense of a trial, witnesses have been inconvenienced, a judgment has been rendered. To reverse that judgment against a plaintiff who sat mute during the proceedings and raised his objection only after the outcome proved unsatisfactory to him, seems to offend basic notions of efficiency and fair play. But we may not focus our sights so narrowly. As the Supreme Court reiterated only this Term, “ ‘[i]n the long run, experience teaches that strict adherence to the procedural requirements specified by the legislature is the best guarantee of evenhanded administration of the law.’ ” Hallstrom,
In Hallstrom, the Supreme Court rejected arguments, like those adopted by the majority in this case, that an unambiguous rule “should be given a flexible or pragmatic construction,”
This danger is particularly acute where, as here, the rule in question is designed to safeguard the right to trial by jury, one of the few constitutional rights pertaining to the conduct of civil trials. Rule 38(a) expressly declares that “the right of trial by jury as declared by the Seventh Amendment to the Constitution ... shall be preserved to the parties inviolate.” The formalities embodied in Rules 38(d) and 39(a) were no doubt designed to preclude the inadvertent forfeiture of that right. By weakening the protections built into those rules, the court weakens the constitutional right itself.
At the heart of the court’s analysis is the notion that to allow White to relitigate his case before a jury would work an injustice. I am not convinced; as I see it, the injustice lies in the court's decision today, a decision that denies plaintiff the benefit of a precedent he was entitled to rely on. Palmer, decided nine years ago, established the law of the circuit long before this case was filed. White, acting pro se, discharged ful
I acknowledge that by reaffirming Palmer, we would remain alone among the federal circuits in adhering to the literal language of Rules 38(d) and 39(a).
Particularly telling is our most recent en banc decision, United States v. Fernandez-Angulo,
The majority here takes an approach inconsistent with Fernandez-Angulo, raising serious doubts as to the proper method of interpreting and applying federal rules of procedure in this circuit. In Fernandez-Angulo, an eleven judge panel held that Rule 32’s plain language is binding. Here, a different combination of eleven judges treats the plain language of Rules 38 and 39 as little more than obstacles to be overcome in depriving a section 1983 plaintiff of his constitutional right to a jury trial. While the two cases deal with different rules and different areas of the law, they undeniably give inconsistent signals as to how procedural rules are applied in this circuit.
To my mind, it is more important that we act consistent with our own guiding principles than with decisions from our sister circuits. This is particularly true as to procedural rules, where uniformity among the circuits is not essential. Rules pertaining to the conduct of trial can differ somewhat among circuits, even among districts, without visiting unfairness on litigants in either jurisdiction. Indeed, unfairness is more likely to result from the change of settled rules within a jurisdiction. In this regard, I note that this appears to be the first appellate case in our circuit since Palmer to have dealt with this precise issue. Given the thousands of cases litigated here every year, the error rate under the current rule seems to be de minimis. Indeed, the problem nationwide seems to be very small, with only 14 appellate decisions having raised this issue in the last 41 years.
Finally, we should take comfort in the fact that, to the extent a nationwide rule is desirable, the Federal Rules of Civil Procedure are continually under review by the Advisory Committee on Civil Rules and the
CONCLUSION
My colleagues today exercise the power of an en banc court to take away a section 1983 plaintiffs constitutional right to a jury trial. I find little in the record of this case, or the operation of the existing rule, that justifies this extraordinary display of judicial power. Sometimes the wisest course is to leave well enough alone. Because that is what I would do today by reaffirming Palmer, I dissent.
. The Federal Rules are promulgated by the Supreme Court pursuant to the Rules Enabling Act. Accordingly, we are obliged to treat them as we would statutes, and lack the power to modify them by judicial interpretation. See Harris v. Nelson,
. Although plaintiff, defendant and the district judge are each charged with knowledge of the Federal Rules, the majority and concurrence place the blame for what transpired entirely on White. See Maj. at 700, 703-04; Concur, at 704. The concurrence goes further, referring to "appellant's ambush” and accusing plaintiff of “sandbagging.” Concur, at 704, 705. With all respect to my concurring colleague, I suggest that plaintiff is not deserving of such harsh treatment. There has never been a finding that White deliberately forwent an objection in order to ambush the district judge. Most likely, what we have here is an oversight by all concerned. The question is, who should pay for this mutual mistake? I have much difficulty concluding it should be the party who did exactly what the law required of him.
. See Royal Amer. Mgrs., Inc. v. IRC Holding Corp.,
. The similarities between these two cases are more than superficial. In Fernandez-Angulo, as here, we considered whether violation of a procedural rule requires redoing the procedure the rule seeks to protect, or whether it suffices to adopt a shortcut that conserves judicial resources. The Fernandez-Angulo court ordered a complete resentencing even though there was no indication that the district court’s failure to comply with the procedural rule in question was anything more than an oversight, one that the defendant had apparently failed to call to the district court’s attention. As best I can tell, the only relevant distinction between these two cases cuts in White’s favor: Fernandez-Angulo involved a right created entirely by the rules of procedure; at stake here is a right guaranteed by the Constitution.
. See DeGioia v. United States Lines Co.,
. In 1983, on virtually identical facts, the Eighth circuit held that the jury right was waived. See Allen,
