Brian and Melissa FARIA, Plaintiffs, Appellants, v. HARLEYSVILLE WORCESTER INSURANCE COMPANY, Defendant, Appellee.
No. 16-1060
United States Court of Appeals, First Circuit.
March 24, 2017
852 F.3d 87
Because plaintiffs did not obtain a final decision from OPM regarding their applications for benefits, they had no basis for bypassing the MSPB and filing their non-discrimination claims in district court as a mixed case.
VI.
In sum, the district court properly concluded that plaintiffs’ disparate impact claim is barred by the location-based safe harbor provision of
AFFIRMED.
Kevin J. Holley, with whom Gunning & LaFazia, Inc., Warwick, RI, was on brief, for appellee.
Before LYNCH, LIPEZ, and THOMPSON, Circuit Judges.
THOMPSON, Circuit Judge.
Jury selection is a fundamental step in our legal process, and when juror-screening mechanisms do not function as they are meant to, we end up faced with situations such as the one in this case: a post-verdict discovery that an individual served as a juror when he should not have cleared preliminary procedural hurdles due to a prior felony conviction prompted a new-trial motion challenging the jury’s verdict. But even though this individual slipped through the qualification cracks, his inclusion is not fatal to the jury’s verdict. We conclude that the district court properly denied the new-trial motion.
The Case
In March 2012, Brian Faria was injured in a car accident, which he claimed was caused by a reckless highway driver who cut him off. Eventually, Mr. Faria and his wife (collectively, “the Farias”) brought a lawsuit against their insurance carrier, Harleysville Worcester Insurance Company (“Harleysville”), claiming that Harleysville had incorrectly denied coverage under the uninsured motorist provision of his automobile insurance policy. Litigation proceeded in the normal course, and, ultimately, the case was slated for a jury trial.
A prospective juror by the name of John R. Rieger (“Mr. Rieger”) was randomly selected for jury service, and he received a juror qualification form by mail.1 When
Fast-forward to voir dire on August 4, 2015, at which point counsel for the Farias asked the summoned panel, amongst other things, whether “anyone [had] served as a juror in another case, whether it be criminal or civil?” He also asked them questions designed to ferret out their knowledge of personal injury claims, such as whether any of them, or anyone they personally knew, had made such a claim. And continuing with questioning centered on civil litigation, he asked whether “anyone, any relative, children, husbands, uncle, aunts that are very close to you, any of them been a Plaintiff or a Defendant in a case?” Mr. Rieger remained silent in response to these questions.
When the jury was empaneled on August 4, 2015, it included Mr. Rieger. Trial began on August 24, 2015, and the jury’s unanimous verdict, announced—yes—by foreperson Rieger, was for Harleysville. But twelve days later, the Farias filed a motion for a new trial after learning that Mr. Rieger had been convicted in Rhode Island state court of assault with a dangerous weapon in 1997, and he had been sentenced to fifteen years’ imprisonment, with four years to serve, as well as an eleven-year suspended sentence that would run concurrently with probation.3 And due to his state court appeal, his sentence was not executed until March 23, 2001, meaning he was on a suspended sentence and probation at the time he served on the jury. The Farias contended that Mr. Rieger was not qualified to serve on the jury under
Ruling on the new-trial motion, the district court found that following his conviction, Mr. Rieger’s civil rights had not been fully restored and, therefore, he was not qualified to serve. But it also found that the Farias “arguably waived [their] right to challenge [Mr. Rieger]’s service” because they did not follow the proper procedure for contesting his service, nor did they seek to obtain a copy of the qualification forms which disclosed Mr. Rieger’s conviction, despite having “ample time to learn something about the members of the jury either through the questionnaires or otherwise.” Reluctant, however, to dispose of the case on waiver, the district court turned to the fairness of the trial and whether any prejudice resulted from Mr. Rieger’s inclusion. The district court concluded that the questions asked during voir dire focused on the potential jurors’ experiences in civil matters, and there were no questions about anything to do with the criminal justice system. From this, the district court concluded that Mr.
The district court denied the new-trial motion, concluding that the Farias had not shown that Mr. Rieger’s “service deprived [them] of a fundamentally fair trial,” and that “the jury was impartial” and the Farias “had a fair trial.” The Farias timely appealed and we take the arguments in turn.
Standard of Review
“Generally, motions for a new trial are committed to the discretion of the district court.” McDonough Power Equip., Inc. v. Greenwood, 464 U.S. 548, 556 (1984) (quoting Montgomery Ward & Co. v. Duncan, 311 U.S. 243, 251 (1940)). Abuse of discretion occurs when our appellate review reveals that the district court erred in its legal rulings or clearly erred in its factual findings. Sampson v. United States, 724 F.3d 150, 161 (1st Cir. 2013); see also United States v. Bater, 594 F.3d 51, 54 n.1 (1st Cir. 2010) (explaining that “‘abuse of discretion’ is used as well to embrace mistakes on abstract issues of law (reviewed de novo) and errors of fact (for which clear error is the customary test)”). Elaborating on that standard, we have noted that “[w]here the [new-trial] motion rests on a challenge to the qualification of a juror, our standard of review is highly deferential because ‘the district court is closer to the action and has a better “feel” for the likelihood that prejudice sprouted.’” United States v. Nickens, 955 F.2d 112, 116 (1st Cir. 1992) (quoting United States v. Uribe, 890 F.2d 554, 562 (1st Cir. 1989)). Further, “[a] trial court’s findings on issues of juror credibility and honesty are determinations ‘peculiarly within a trial judge’s province’ and are accorded great deference.” Amirault v. Fair, 968 F.2d 1404, 1405 (1st Cir. 1992) (quoting Wainwright v. Witt, 469 U.S. 412, 428 (1985)).
The System: Jury Selection and Service Act, Jury Selection Plan, and Juror Qualification Forms
Before we address the parties’ arguments, a general primer on the jury selection system in place at the time of the Farias’ trial would be useful. To put matters in context,4 the Farias tell us the system broke down when the clerk, on the basis of Mr. Rieger’s juror qualification form, allowed the statutorily ineligible felon-juror to slip through the cracks onto this jury. Here’s how the system works.
The Jury Selection and Service Act,
The qualification forms are designed to screen prospective jurors to ensure that every juror summoned meets the requirements of
The Jury Plan explains:
A judicial officer, upon his or her own initiative or upon recommendation of the Clerk, or the Clerk under supervision of the Court, shall determine solely on the basis of the information provided on the juror qualification form, and other competent evidence, whether a person is unqualified for, or exempt, or to be excused from jury service. Jury Plan, “Qualification Phase.” And “[t]he Clerk shall enter by electronic means or manually such determination in the space provided on the juror qualification form.” Id. § 9.
So, under the Jury Plan, the clerk or a “judicial officer” reviews the completed forms and determines (on the basis of the information provided on those forms) whether a prospective juror is qualified to serve. A person determined to be unqualified is not placed on the “qualified jury wheel” and is, therefore, not subject to summons.
Section 1864 of the JSSA addresses deficient juror qualification forms:
In any case in which it appears that there is an omission, ambiguity, or error in a form, the clerk or jury commission shall return the form with instructions to the person to make such additions or corrections as may be necessary and to return the form to the clerk or jury commission within ten days.
28 U.S.C. § 1864 .
Had the clerk scrutinized Mr. Rieger’s qualification form more carefully, he or she would have observed the gaps in information (omissions of conviction date, nature of offense, the name of the court where Mr. Rieger was convicted, the parameters of the sentence imposed, the status of the full restoration of Mr. Rieger’s civil rights, and Mr. Rieger’s failure to sign the form), and returned the form to Mr. Rieger to be corrected and returned.
Meanwhile, as for challenging the jury selection process, the JSSA provides guidance:
In civil cases, before the voir dire examination begins, or within seven days after the party discovered or could have discovered, by the exercise of diligence, the grounds therefor, whichever is earlier, any party may move to stay the proceedings on the ground of substantial failure to comply with the provisions of this title in selecting the petit jury. Id. § 1867(c).
And, with respect to how qualification forms may be requested, the JSSA provides:
The contents of records or papers used by the jury commission or clerk in connection with the jury selection process shall not be disclosed, except pursuant to the district court plan or as may be necessary in the preparation or presentation of a motion under subsection (a), (b), or (c) of this section. . . . The parties in a case shall be allowed to inspect, reproduce, and copy such records or papers at all reasonable times during the preparation and pendency of such a motion. Id. § 1867(f).
For its own part, the Jury Plan explains that “[t]he contents of records or papers
With this statutory scheme in mind, we move on to our discussion.
Waiver
Before addressing the Farias’ challenge to the district court’s ruling, we must first determine whether, as Harleysville has contended here and below, it has been waived. In arguing waiver, Harleysville points out that in Uribe, 890 F.2d at 561, a case involving a post-trial allegation of juror bias arising out of a felon’s service on a jury, we noted that, although convicted felons may be statutorily barred from serving as jurors, the JSSA does not present a constitutional bar to their service. Instead, we found that “the right to exclude felons must be affirmatively invoked; the [JSSA] establishes strict procedural requirements for challenging ineligible jurors.” Id. We also said that a party “must assert his rights ‘before the voir dire examination begins, or within seven days after [a party] discovered or could have discovered, by the exercise of diligence, the grounds therefor, whichever is earlier.’” Id. (quoting
Harleysville says the same goes for the Farias, who arguably committed the same procedural misstep as did the Uribe litigant. Although Mr. Rieger disclosed his conviction on his juror qualification form, the Farias did not try to get a copy of that form before empanelment began or between the completion of voir dire (August 4) and the trial’s start date (August 20). And because they failed to follow the procedures prescribed in the JSSA and Jury Plan, the Farias, Harleysville contends, waived any challenge to Mr. Rieger’s inclusion on this jury.
The Farias see things differently on the waiver front. Relying on United States v. Schneider, 111 F.3d 197 (1st Cir. 1997), they maintain that our court has clearly backed away from the strict raise-it-or-waive-it rule we seemingly announced in Uribe. In Schneider, we observed that Uribe “stopped just short of a definitive finding that the Rhode Island federal juror selection plan permitted such [unfettered litigant access] to jury questionnaires.” Schneider, 111 F.3d at 204 (citing Uribe, 890 F.2d at 561). We went on, “[n]either the statute nor the Rhode Island plan are crystal clear about access to questionnaires,” and we questioned whether such forms could be used “solely to aid in the voir dire process.” Id. (citing Jewell v. Arctic Enters., Inc., 801 F.2d 11, 13 (1st Cir. 1986)). Given the uncertainty of their access to the forms, the Farias tell us that,
The district court found Harleysville’s waiver argument persuasive, but given our post-Uribe pronouncements, opted not to decide the new-trial motion on that basis. For that same reason, we likewise do the same. Because, even assuming the Farias could have accessed Mr. Rieger’s qualification form at some point prior or subsequent to his selection on their jury panel,7 their claims nonetheless fail on the merits. We therefore turn our attention to the remainder of the arguments.
The Parties’ Analytical Frameworks
The parties take very different views of the analytical lenses through which the remaining issues should be assessed, and we set forth their arguments in some detail. In advancing their claims, the Farias implore us to be guided by what they contend is the Supreme Court’s analysis in McDonough, 464 U.S. 548 (1984). There, after a district court denied a motion for a new trial in a product liability case, the Tenth Circuit reversed, reasoning that the failure of a juror to respond affirmatively to a voir dire question about a family member’s injury from an exploding tire, had “prejudiced the [defendants’] right of peremptory challenge,” and a new trial was necessary. Id. at 549. Subsequently, the Supreme Court reversed the Tenth Circuit, holding that a party is not entitled to a new trial unless the juror’s failure to disclose denied the other side its right to an impartial jury. Id. But in so ruling, the Court announced “a binary test” that the filer of a new-trial motion based on juror dishonesty must satisfy: (1) “a party must first demonstrate that a juror failed to answer honestly a material question on voir dire,” and (2) the party must “then further show that a correct response would have provided a valid basis for a challenge for cause.” Id. at 556.
The Farias maintain that once they satisfy this binary test—and they claim they have done so—they have met their McDonough burden for obtaining a new trial. Initially, they do acknowledge that McDonough dealt with juror misinforma-
As for McDonough’s second prong (a juror’s correct answer would be the basis for a for-cause challenge), the Farias argue that, had Mr. Rieger provided truthful responses to the questions he was asked both in his juror qualification form and during voir dire, he clearly would have been excused if challenged because he was ineligible to serve.9 Therefore, in their view, because they have satisfied the McDonough binary test, the district court’s inquiry should have ended. Accordingly, they say the district court abused its discretion (by erring as a matter of law) in not granting them a new trial.10
And, Harleysville continues, even if we were to extend McDonough’s reach to include juror qualification forms, the Farias still miss the mark because they cannot satisfy the two-prong test, either with the qualification form answers or with Mr. Rieger’s silence during voir dire. On McDonough’s first step, as applied to the qualification form, Harleysville contends that Mr. Rieger’s qualification form answers were not dishonest; and he provided information in response to those questions which actually outed his felon status. He even tried to avoid jury service, noting on his qualification form that he “wish[ed] to be excused” due to his felony conviction. Mr. Rieger’s answers, says Harleysville, suggest he is the polar opposite of the determinedly deceitful person the Farias make him out to be. And although Mr. Rieger did indicate on his qualification form that, yes, his civil rights had been restored—which the Farias say amounts to deliberate deceit—Harleysville points out that Mr. Rieger’s voting rights (which he specifically cited on his qualification form) had indeed been restored, meaning Mr. Rieger was not answering dishonestly, or at least not purposefully so. Harleysville also says the Farias fall short on step one of McDonough as applied to voir dire: they argue that the questions asked at voir dire by both sides did not target prior criminal convictions or prior connections to the criminal justice system. And, Harleysville tells us, Mr. Rieger’s silence in response to the subject questions, all of which, as we noted earlier, were aimed at uncovering any jury bias relative to personal injury claims, was appropriate.
Because the Farias cannot surmount McDonough’s first step, Harleysville argues that we need not reach step two. But it explains the Farias would lose on that front as well: McDonough was focused on whether a nondisclosure by a juror owed specifically to bias, but here, the for-cause challenge to Mr. Rieger would have been based on his
Our Take
We believe Harleysville has the better argument. Assuming McDonough
Moreover, McDonough does not assist the Farias because they misconceive the core principle of its holding. The binary test set forth in McDonough is not a be-all-end-all test to be viewed without context. Rather, the fundamental purpose of the test is to answer the crucial, overarching trial inquiry: was the juror biased and, if so, did that bias affect the fairness of the trial? Put differently, the animating principle of the McDonough test is this: “[t]he motives for concealing information may vary, but only those reasons that affect a juror’s impartiality can truly be said to affect the fairness of a trial.” 464 U.S. at 556. The Farias have failed to adequately explain how bias, if any, tainted their trial result.
We have stated that “[t]he party seeking to upset the jury’s verdict has the burden of showing the requisite level of bias by a preponderance of the evidence.” See Sampson, 724 F.3d at 166 (quoting DeBurgo v. St. Amand, 587 F.3d 61, 71 (1st Cir. 2009)). And, critically, when seeking a new trial because of a juror’s nondisclosure, a party “must do more than raise a speculative allegation that the juror’s possible bias may have influenced the outcome of the trial.” Dall v. Coffin, 970 F.2d 964, 969 (1st Cir. 1992). In such a scenario, we have required litigants to “demonstrate actual prejudice or bias,” United States v. Aponte-Suarez, 905 F.2d 483, 492 (1st Cir. 1990), and we have said that the burden of proof on this point “must be sustained not as a matter of speculation, but as a demonstrable reality,” Uribe, 890 F.2d at 562. See also Crowley, 303 F.3d at 408 (rejecting a new-trial motion on the basis of alleged juror bias where the movant “only speculates as to whether the juror actually is biased” and “only has alleged ‘possible bias’”). As we have said, “hints of bias [are] not sufficient,” as “only ‘[demonstrated bias in the responses to questions on voir dire may result in a juror’s being excused for cause.’” Sampson, 724 F.3d at 165 (alterations in original) (quoting McDonough, 464 U.S. at 554). Here, Mr. Rieger’s felon status, alone, does not necessarily imply bias, and accordingly his mere presence on the Farias’ jury does not, without more, demonstrate an unfair trial result. Uribe, 890 F.2d at 562.
Believing they do not need to make this showing, the Farias, as we noted, have not
Indeed, “[s]hort of constitutional error or some more substantial violation of the JSSA, there must at least be a plausible link between the predicate facts and the prejudice claimed before retrial can be ordered,” and, as in Uribe, “[n]one was demonstrated here.” Id. at 562. The district court did not clearly err in its finding that Mr. Rieger’s inclusion on the jury resulted in no prejudice to the Farias and did not affect the jury’s impartiality.
In closing, it is worth remembering the Supreme Court’s cautionary note in McDonough. Litigants are not guaranteed a perfect trial, McDonough, 464 U.S. at 553 (noting that “[a litigant] is entitled to a fair trial but not a perfect one”), and we do not reverse for every error that arises, id. (“We have also come a long way from the time when all trial error was presumed prejudicial and reviewing courts were considered ‘citadels of technicality,’” and “[t]he harmless error rules adopted by this Court and Congress embody the principle that courts should exercise judgment in preference to the automatic reversal for ‘error’ and ignore errors that do not affect the essential fairness of the trial.”).
And so, in this instance, we conclude that “the statutory violation—allowing a convicted felon to serve—did not implicate the fundamental fairness of the trial . . . .” Uribe, 890 F.2d at 562. The district court did not abuse its discretion in denying a new trial.
Affirmed. Costs to Appellee.
UNITED STATES, Plaintiff, Appellant, v. Scott G. BAKER, Robyn Baker, Defendants, Appellees, Onewest Bank, F.S.B., Defendant.
No. 16-1415
United States Court of Appeals, First Circuit.
March 24, 2017
