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SUPREME COURT OF THE UNITED STATES
_________________
No. 15–458
_________________
ROCKY DIETZ, PETITIONER
v. HILLARY
BOULDIN
on writ of certiorari to the united states
court of appeals for the ninth circuit
[June 9, 2016]
Justice Sotomayor delivered the opinion of the
Court.
In this case, a jury returned a legally
impermissible verdict. The trial judge did not realize the error
until shortly after he excused the jury. He brought the jury back
and ordered them to deliberate again to correct the mistake. The
question before us is whether a federal district court can recall a
jury it has discharged, or whether the court can remedy the error
only by ordering a new trial.
This Court now holds that a federal district
court has the inherent power to rescind a jury discharge order and
recall a jury for further deliberations after identifying an error
in the jury’s verdict. Because the potential of tainting jurors and
the jury process after discharge is extraordinarily high, however,
this power is limited in duration and scope, and must be exercised
carefully to avoid any potential prejudice.
I
Petitioner Rocky Dietz was driving through an
intersection in Bozeman, Montana, when Hillary Bouldin ran the red
light and T-boned Dietz. As a result of the accident, Dietz
suffered injuries to his lower back that caused him severe pain. He
sought physical therapy, steroid injections, and other medications
to treat his pain. Dietz sued Bouldin for negligence. Bouldin
removed the case to Federal District Court. See 28
U. S. C. §§1332, 1441.
At trial, Bouldin admitted that he was at fault
for the accident and that Dietz was injured as a result. Bouldin
also stipulated that Dietz’ medical expenses of $10,136 were
reasonable and necessary as a result of the collision. The only
disputed issue at trial for the jury to resolve was whether Dietz
was entitled to damages above $10,136.
During deliberations, the jury sent the judge a
note asking: “ ‘Has the $10,136 medical expenses been paid;
and if so, by whom?’ ” App. 36. The court discussed the note
with the parties’ attorneys and told them he was unsure whether the
jurors understood that their verdict could not be less than that
stipulated amount, and that a mistrial would be required if the
jury did not return a verdict of at least $10,136. The judge,
however, with the consent of both parties, told the jury that the
information they sought was not relevant to the verdict.
The jury returned a verdict in Dietz’ favor but
awarded him $0 in damages. The judge thanked the jury for its
service and ordered them “discharged,” telling the jurors they were
“free to go.” App. to Pet. for Cert. 25a. The jurors gathered their
things and left the courtroom.
A few minutes later, the court ordered the clerk
to bring the jurors back. Speaking with counsel outside the jury’s
presence, the court explained that it had “just stopped the jury
from leaving the building,” after realizing that the $0 verdict was
not “legally possible in view of stipulated damages exceeding
$10,000.”
Id., at 26a. The court suggested two alternatives:
(1) order a new trial or (2) reempanel the jurors, instructing them
to award at least the stipulated damages, and ordering them to
deliberate anew.
Dietz’ attorney objected to reempaneling the
discharged jurors, arguing that the jury was no longer capable of
returning a fair and impartial verdict. The court reiter-ated that
none of the jurors had left the building, and asked the clerk
whether any had even left the floor where the courtroom was
located. The clerk explained that only one juror had left the
building to get a hotel receipt and bring it back.
Before the jurors returned, the judge told the
parties that he planned to order the jury to deliberate again and
reach a different verdict. The judge explained that he would “hate
to just throw away the money and time that’s been expended in this
trial.”
Id.
, at 28a. When the jurors returned to the
courtroom, the judge questioned them as a group and confirmed that
they had not spoken to anyone about the case.
The judge explained to the jurors the mistake in
not awarding the stipulated damages. He informed the jurors that he
was reempaneling them and would ask them to start over with
clarifying instructions. He asked the jurors to confirm that they
understood their duty and to return the next morning to deliberate
anew. The next day, the reassembled jury returned a verdict
awarding Dietz $15,000 in damages.
On appeal, the Ninth Circuit affirmed. 794
F. 3d 1093 (2015). The court held that a district court could
reempanel the jury shortly after dismissal as long as during the
period of dismissal, the jurors were not exposed to any outside
influences that would compromise their ability to reconsider the
verdict fairly. This Court granted Dietz’ petition for a writ of
certiorari to resolve confusion in the Courts of Appeals on whether
and when a federal district court has the authority to recall a
jury after discharging it. 577 U. S. ___ (2016). See
Wagner v.
Jones, 758 F. 3d 1030, 1034–1035 (CA8
2014), cert. denied, 575 U. S. ___ (2015);
United
States v.
Figueroa, 683 F. 3d 69, 72–73 (CA3 2012);
United States v.
Rojas, 617 F. 3d 669, 677–678
(CA2 2010);
United States v.
Marinari, 32 F. 3d
1209, 1214 (CA7 1994);
Summers v.
United States, 11
F. 2d 583, 585–587 (CA4 1926).
II
A
The Federal Rules of Civil Procedure set out
many of the specific powers of a federal district court. But they
are not all encompassing. They make no provision, for example, for
the power of a judge to hear a motion
in limine,[
1] a motion to dismiss for
forum non
conveniens,[
2] or many
other standard procedural devices trial courts around the country
use every day in service of Rule 1’s paramount command: the just,
speedy, and inexpensive resolution of disputes.
Accordingly, this Court has long recognized that
a district court possesses inherent powers that are “governed not
by rule or statute but by the control necessarily vested in courts
to manage their own affairs so as to achieve the orderly and
expeditious disposition of cases.”
Link v.
Wabash R.
Co., 370 U. S. 626 –631 (1962); see also
United
States v.
Hudson, 7 Cranch 32, 34 (1812). Al-though this
Court has never precisely delineated the outer boundaries of a
district court’s inherent powers, the Court has recognized certain
limits on those powers.
First, the exercise of an inherent power must be
a “reasonable response to the problems and needs” confronting the
court’s fair administration of justice.
Degen v.
United
States, 517 U. S. 820 –824 (1996). Second, the exercise of
an inherent power cannot be contrary to any express grant of or
limitation on the district court’s power contained in a rule or
statute. See
id., at 823; Fed. Rule Civ. Proc. 83(b)
(districts courts can “regulate [their] practice in any manner
consistent with federal law”); see,
e.g., Bank of Nova
Scotia v.
United States, 487 U. S. 250, 254 (1988)
(holding that a district court cannot invoke its inherent power to
circumvent the harmless-error inquiry prescribed by Federal Rule of
Criminal Procedure 52(a)). These two principles—an inherent power
must be a reasonable response to a specific problem and the power
cannot contradict any express rule or statute—support the
conclusion that a district judge has a limited inherent power to
rescind a discharge order and recall a jury in a civil case where
the court discovers an error in the jury’s verdict.
First, rescinding a discharge order and
recalling the jury can be a reasonable response to correcting an
error in the jury’s verdict in certain circumstances. In the normal
course, when a court recognizes an error in a verdict before it
discharges the jury, it has the express power to give the jury a
curative instruction and order them to continue deliberating. See
Fed. Rule Civ. Proc. 51(b)(3) (“The court . . . may
instruct the jury at any time before the jury is discharged”); 4 L.
Sand et al., Modern Federal Jury Instructions–Civil ¶78.01,
Instruction 78–10, p. 78–31 (2015) (Sand) (when a jury returns an
inconsistent verdict, “[r]esubmitting the verdict . . .
to resolve the inconsistencies is often the preferable course”).
The decision to recall a jury to give them what would be an
identical predischarge curative instruction could be, depending on
the circumstances, similarly reasonable.
This conclusion is buttressed by this Court’s
prior cases affirming a district court’s inherent authority in
analogous circumstances. For example, the Court has recognized that
a district court ordinarily has the power to modify or rescind its
orders at any point prior to final judgment in a civil case.
Marconi Wireless Telegraph Co. of America v.
United
States, 320 U. S. 1 –48 (1943); see also Fed. Rule Civ.
Proc. 54(b) (district court can revise partial final judgment order
absent certification of finality);
Fernandez v.
United
States, 81 S. Ct. 642, 644, 5 L. Ed. 2d 683 (1961)
(Harlan, J., in chambers) (district court has inherent power to
revoke order granting bail).
Here, the District Court rescinded its order
discharging the jury before it issued a final judgment. Rescinding
the discharge order restores the legal status quo before the court
dismissed the jury. The District Court is thus free to reinstruct
the jury under Rule 51(b)(3).
This Court has also held that district courts
have the inherent authority to manage their dockets and courtrooms
with a view toward the efficient and expedient resolution of cases.
See,
e.g., Landis v.
North American Co., 299
U. S. 248, 254 (1936) (district court has inherent power to
stay proceedings pending resolution of parallel actions in other
courts);
Link, 370 U. S., at 631–632 (district court
has inherent power to dismiss case
sua sponte for
failure to prosecute);
Chambers v.
NASCO, Inc., 501
U. S. 32, 44 (1991) (district court has inherent power to
vacate judgment procured by fraud);
United States v.
Morgan, 307 U. S. 183 –198 (1939) (district court has
inherent power to stay disbursement of funds until revised payments
are finally adjudicated).
This Court’s recognition of these other inherent
powers designed to resolve cases expeditiously is consistent with
recognizing an inherent power to recall a discharged jury and
reempanel the jurors with curative instructions. Compared to the
alternative of conducting a new trial, recall can save the parties,
the court, and society the costly time and litigation expense of
conducting a new trial with a new set of jurors.
Second, rescinding a discharge order to recall a
jury does not violate any other rule or statute. Rule 51(b)(3)
states that a court “may instruct the jury at any time before the
jury is discharged.” A judge obviously cannot instruct a jury that
is discharged—it is no longer there. But there is no implicit
limitation in Rule 51(b)(3) that prohibits a court from rescinding
its discharge order and reassembling the jury. See
Link, 370
U. S., at 630 (holding that Rule 41(b)’s allowance for a party
to move to dismiss for failure to prosecute did not implicitly
abrogate the court’s power to dismiss
sua sponte).
Other rules dealing with postverdict remedies such as a motion for
a new trial or a motion for judgment notwithstanding the verdict,
see Fed. Rules Civ. Proc. 50(b), 59(a)(1)(A), similarly do not
place limits on a court’s ability to rescind a prior order
discharging a jury. Accordingly, a federal district court can
rescind a discharge order and recall a jury in a civil case as an
exercise of its inherent powers.
B
Just because a district court has the inherent
power to rescind a discharge order does not mean that it is
appropriate to use that power in every case. Because the exercise
of an inherent power in the interest of promoting efficiency may
risk undermining other vital interests related to the fair
administration of justice, a district court’s inherent powers must
be exercised with restraint. See
Chambers, 501 U. S.,
at 44 (“Because of their very potency, inherent powers must be
exercised with restraint and discretion”).
The inherent power to rescind a discharge order
and recall a dismissed jury, therefore, must be carefully
circumscribed, especially in light of the guarantee of an impartial
jury that is vital to the fair administration of justice. This
Court’s precedents implementing this guarantee have noted various
external influences that can taint a juror.
E.g., Remmer v.
United States, 347 U. S. 227, 229 (1954) (“In a
criminal case, any private communication, contact, or tampering,
directly or indirectly, with a juror during a trial about the
matter pending before the jury is, for obvious reasons, deemed
presumptively prejudicial”). Parties can accordingly ask that a
juror be excused during trial for good cause, Fed. Rule Civ. Proc.
47(c), or challenge jury verdicts based on improper extraneous
influences such as prejudicial information not admitted into
evidence, comments from a court employee about the defendant, or
bribes offered to a juror,
Warger v.
Shauers, 574
U. S. ___, ___ (2014) (slip op., at 10) (citing
Tanner
v.
United States, 483 U. S. 107, 117 (1987) ); see also
Mattox v.
United States, 146 U. S. 140 –150
(1892) (external prejudicial information);
Parker v.
Gladden, 385 U. S. 363, 365 (1966) (
per curiam)
(bailiff comments on defendant);
Remmer, 347 U. S., at
228–230 (bribe offered to juror).
The potential for taint looms even larger when a
jury is reassembled after being discharged. While discharged,
jurors are freed from instructions from the court requiring them
not to discuss the case with others outside the jury room and to
avoid external prejudicial information. See,
e.g., 4 Sand
¶71.02 (standard instruction to avoid extraneous influences); see
also
id., ¶71.01, Instructions 71–12 to 71–14 (avoid
publicity). For example, it is not uncommon for attorneys or court
staff to talk to jurors postdischarge for their feedback on the
trial. See 1 K. O’Malley et al., Federal Jury Practice and
Instructions §9:8 (6th ed. 2006) (debating appropriateness of
practice).
Any suggestion of prejudice in recalling a
discharged jury should counsel a district court not to exercise its
inherent power. A district court that is considering whether it
should rescind a discharge order and recall a jury to correct an
error or instead order a new trial should, of course, determine
whether any juror has been directly tainted—for example, if a juror
discusses the strength of the evidence with nonjurors or overhears
others talking about the strength of the evidence. But the court
should also take into account at least the following additional
factors that can indirectly create prejudice in this context, any
of which standing alone could be dispositive in a particular
case.
First, the length of delay between discharge and
recall. The longer the jury has been discharged, the greater the
likelihood of prejudice. Freed from the crucible of the jury’s
group decisionmaking enterprise, discharged jurors may begin to
forget key facts, arguments, or instructions from the court. In
taking off their juror “hats” and returning to their lives, they
may lose sight of the vital collective role they played in the
impartial administration of justice. And they are more likely to be
exposed to potentially prejudicial sources of information or
discuss the case with others, even if they do not realize they have
done so or forget when questioned after being recalled by the
court. How long is too long is left to the discretion of the
district court, but it could be as short as even a few minutes,
depending on the case.
Second, whether the jurors have spoken to anyone
about the case after discharge. This could include court staff,
attorneys and litigants, press and sketch artists, witnesses,
spouses, friends, and so on. Even apparently innocu-ous comments
about the case from someone like a courtroom deputy such as “job
well done” may be sufficient to taint a discharged juror who might
then resist reconsidering her decision.
Third, the reaction to the verdict. Trials are
society’s way of channeling disputes into fair and impartial
resolutions. But these disputes can be bitter and emotional. And,
depending on the case, those emotions may be broadcasted to the
jury in response to their verdict. Shock, gasps, crying, cheers,
and yelling are common reactions to a jury verdict—whether as a
verdict is announced in the courtroom or seen in the corridors
after discharge.
In such a case, there is a high risk that
emotional reactions will cause jurors to begin to reconsider their
decision and ask themselves, “Did I make the right call?” Of
course, this concern would be present even in a decision to
reinstruct the jury to fix an error after the verdict is announced
but before they are discharged. See Fed. Rule Civ. Proc. 51(b)(3).
Even so, after discharging jurors from their obligations and the
passage of time, a judge should be reluctant to reempanel a jury
that has witnessed emotional reactions to its verdict.
In considering these and any other relevant
factors, courts should also ask to what extent just-dismissed
jurors accessed their smartphones or the internet, which provide
other avenues for potential prejudice. It is a now-ingrained
instinct to check our phones whenever possible. Immediately after
discharge, a juror could text something about the case to a spouse,
research an aspect of the evidence on Google, or read reactions to
a verdict on Twitter. Prejudice can come through a whisper or a
byte.
Finally, we caution that our recognition here of
a court’s inherent power to recall a jury is limited to civil cases
only. Given additional concerns in criminal cases, such as
attachment of the double jeopardy bar, we do not address here
whether it would be appropriate to recall a jury after discharge in
a criminal case. See
Smith v.
Massachusetts, 543
U. S. 462 –474 (2005).
Applying these factors, the District Court here
did not abuse its discretion by rescinding its discharge order and
recalling the jury to deliberate further. The jury was out for only
a few minutes after discharge. Only one juror may have left the
courthouse, apparently to retrieve a hotel receipt. The jurors did
not speak to any person about the case after discharge. There is no
indication in the record that this run-of-the-mill civil case—where
the parties agreed that the defendant was liable and disputed
damages only—generated any kind of emotional reaction or electronic
exchanges or searches that could have tainted the jury. There was
no apparent potential for prejudiceby recalling the jury here.
III
Dietz asks us to impose a categorical bar on
reempaneling a jury after it has been discharged. He contends that,
at common law, a jury once discharged could never be brought back
together again. Accordingly, he argues, without a “ ‘long
unquestioned’ power” of courts recalling juries, a federal district
court lacks the inherent power to rescind a discharge order. See
Carlisle v.
United States, 517 U. S. 416 –427
(1996) (district court lacked inherent authority to grant untimely
motion for judgment of acquittal).
We disagree. Even assuming that the common-law
tradition is as clear as Dietz contends, but see,
e.g.,
Prussel v.
Knowles, 5 Miss. 90, 95–97 (1839) (allowing
postdischarge recall), the common law is less helpful to
understanding modern civil trial practice. At common law, any error
in the process of rendering a verdict, no matter how technical or
inconsequential, could be remedied only by ordering a new trial.
But modern trial practice did away with this system, replacing it
with the harmless-error standard now embodied in Rule 61. See
Kotteakos v.
United States, 328 U. S. 750, 758,
760 (1946) (recognizing predecessor statute to Rule 61 codified the
“salutary pol-icy” of “substitu[ing] judgment for automatic
. . . rules”).
Jury practice itself no longer follows the
strictures of the common law. The common law required that juries
be sequestered from the rest of society until they reached a
verdict. Tellier, Separation or Dispersal of Jury in Civil Case
After Submission, 77 A. L. R. 2d 1086 (1961). This generally
meant no going home at night, no lunch breaks, no dispersing at all
until they reached a verdict.
Id., §2; see also
Lester v.
Stanley, 15 F. Cas. 396, 396–397 (No.
8,277) (Conn. 1808) (Livingston, Circuit Justice) (following common
law). Courts are no longer required to impose these requirements on
juries in order to prevent possible prejudice. See
Nebraska
Press Assn. v.
Stuart, 427 U. S. 539, 554 (1976)
(cases requiring sequestration to avoid trial publicity “are
relatively rare”);
Drake v.
Clark, 14 F. 3d 351,
358 (CA7 1994) (“Sequestration is an extreme measure, one of the
most burdensome tools of the many available to assure a fair
trial”). Accordingly, while courts should not think they are
generally free to discover new inherent powers that are contrary to
civil practice as recognized in the common law, see
Carlisle, 517 U. S., at 426–427, the advent of modern
federal trial practice limits the common law’s relevance as to the
specific question whether a judge can recall a just-discharged
jury.
Dietz also argues that the nature of a jury’s
deliberative process means that something about the jury is
irrevocably broken once the jurors are told they are free to go.
According to Dietz, with their bond broken, the jurors cannot be
brought back together again as a “jury.” In other words, once a
jury is discharged, a court can never put the jury back together
again by rescinding its discharge order—legally or
metaphysically.
We reject this “Humpty Dumpty” theory of the
jury. Juries are of course an integral and special part of the
American system of civil justice. Our system cannot function
without the dedication of citizens coming together to perform their
civic duty and resolve disputes.
But there is nothing about the jury as an entity
that ceases to exist simply because the judge tells the jury that
they are excused from further service. A discharge order is not a
magical invocation. It is an order, like any other order.
And, like any order, it can be issued by
mistake. All judges make mistakes. (Even us.) See
Brown v.
Allen, 344 U. S. 443, 540 (1953) (Jackson, J.,
concurring in judgment) (“We are not final because we are
infallible, but we are infallible only because we are final”).
There is no benefit to imposing a rule that says that as soon as a
jury is free to go a judge categorically cannot rescind that order
to correct an easily identified and fixable mistake, even as the
jurors are still in the courtroom collecting their things.
Dietz does not suggest the Court adopt a
magic-words rule, but instead urges the adoption of a “functional”
discharge test based on whether the jurors remain within the
“presence and control” of the district court, where control is
limited to the courtroom itself. Tr. of Oral Arg. 5–7. Similarly,
the dissent suggests that it is the chance “to mingle with
bystanders” that creates a discharge that cannot be undone.
Post, at 1–2 (opinion of Thomas, J.) (internal quotation
marks and brackets omitted). These tests do not avoid the problems
that Dietz and the dissent identify with a prejudice inquiry. Under
a courtroom test, what if a juror has one foot over the line? What
if she just stepped out to use the restroom? Under a courthouse
test, what if she is just outside the doors? Reached her car in the
parking lot? Under a bystander test, is a courtroom deputy in the
jury room a mingling bystander? There is no good reason to prefer a
test based on geography or identity over an inquiry focused on
potential prejudice.
Finally, Dietz argues that the District Court in
this case erred by questioning the discharged jurors as a group
before reempaneling them instead of questioning each and every
juror individually. While individual questioning could be the
better practice in many circumstances, Dietz’ attorney raised no
objection to this part of the court’s process. We decline to review
this forfeited objection. See Fed. Rule Civ. Proc. 46.
* * *
Federal district courts have a limited
inherent power to rescind a discharge order and recall a jury in a
civil case. District courts should exercise this power cautiously
and courts of appeals should review its invocation carefully. That
was done here. The judgment of the Court of Appeals for the Ninth
Circuit is therefore
Affirmed.