Reginald Roberts v. Risa Ferman

826 F.3d 117, 94 Fed. R. Serv. 3d 1786, 2016 U.S. App. LEXIS 10966, 100 Empl. Prac. Dec. (CCH) 45,588, 2016 WL 3361493
CourtCourt of Appeals for the Third Circuit
DecidedJune 17, 2016
Docket15-2909
StatusPublished
Cited by28 cases

This text of 826 F.3d 117 (Reginald Roberts v. Risa Ferman) is published on Counsel Stack Legal Research, covering Court of Appeals for the Third Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Reginald Roberts v. Risa Ferman, 826 F.3d 117, 94 Fed. R. Serv. 3d 1786, 2016 U.S. App. LEXIS 10966, 100 Empl. Prac. Dec. (CCH) 45,588, 2016 WL 3361493 (3d Cir. 2016).

Opinion

OPINION

SMITH, Circuit Judge.

The key question in this case is not an easy one. We must determine when dismissal for failure to comply with Rule 10 of the Federal Rules of Appellate Procedure is appropriate. In so doing, we also attempt to provide more structure to a narrow area of law that has been subject to confusion within this Circuit. The specific question we are confronted with is whether a district court’s decision to dismiss a party’s post-trial motion because that party chose not to attempt to recreate the trial record, despite being ordered to do so, was an abuse of discretion. We hold that it was not. We also hold that Appellant’s other claims of error lack merit. We will therefore affirm.

I.

Plaintiff Reginald Roberts, a former employee of Montgomery County, Pennsylvania, brought suit against Montgomery County and a number of its employees 1 alleging that he “suffered continual retaliation, discrimination and humiliation” at work in violation of Title VII and his constitutional rights. PL’s Am. Compl. 3, ECF No. 4. The complaint, as amended in January 2010, contains five counts, two of which, counts II and III, allege violations of 42 U.S.C. § 1983 for retaliation against Roberts for his allegedly protected speech. Specifically, in count II, Roberts alleges that he was retaliated against by several County employees for seeking heart and lung benefits, filing employment diserimi- *120 nation charges, and testifying at a Fact Finding Conference before the Pennsylvania Human Relations Commission. Count III contains the same allegations but seeks to hold the County liable directly, based on Monell v. Department of Social Services of City of New York. 436 U.S. 658, 690, 98 S.Ct. 2018, 56 L.Ed.2d 611 (1978) (“Local governing bodies, therefore, can be sued directly under § 1983 for monetary, declaratory, or injunctive relief where, as here, the action that is alleged to be unconstitutional implements or executes a policy statement, ordinance, regulation, or decision officially adopted and promulgated by that body’s officers.” (footnote omitted)). The case was originally assigned to Judge Savage, who granted in part and denied in part Defendants’ motion to dismiss on February 23, 2010. On March 31, 2010, the parties then agreed to have the matter referred in its entirety to a magistrate judge.

After briefing and oral argument, the magistrate judge granted in part and denied in part Defendants’ motion for summary judgment, further limiting the claims that would proceed to trial. Important for purposes of this appeal, the magistrate judge denied in part and granted in part summary judgment on counts II and III of the amended complaint. However, after alleging bias on the part of the magistrate judge, Roberts, on October 6, 2011, moved to revoke his consent to adjudication by a magistrate. Roberts’ petition to revoke consent was granted on January 4, 2012, and his motion for recusal based on alleged judicial bias was thus denied as moot. This case was then reassigned to Judge Savage, who scheduled an initial pre-trial conference and prepared the case for trial.

On February 21, 2012, Judge Savage held a final pre-trial conference at which he expressed concern about whether Roberts would be able to make out a proper Monell claim against the County based on the facts as then clearly presented. He also questioned whether the County could legally be held liable under Monell in light of a recent Pennsylvania Supreme Court decision regarding the division of authority between the County and the Commonwealth. With that in mind, Judge Savage asked the parties to submit supplemental briefing on the effect of the recent change in Pennsylvania law. As Roberts’ attorney noted, “[i]f the law is changed, that would be a reason for reconsideration.” Tr. of Final Pretrial Conference at 236, Roberts v. Ferman, No. 09-4895 (February 21, 2012).

At the final pre-trial hearing held the morning before voir dire, Judge Savage re-raised this issue and entertained the parties’ arguments. Ultimately, after considering the supplemental briefing, both sides’ oral arguments, and the magistrate judge’s opinion, Judge Savage granted summary judgment in favor of Defendants on both counts II and III, reversing the earlier denial by the magistrate judge. The case proceeded to trial on the remaining claims. Six days later, the jury rendered a verdict in favor of Defendants on all counts.

Roberts then filed a timely motion for a new trial or in the alternative for judgment notwithstanding the verdict. In this motion, Roberts made several general allegations of error, focusing primarily on the conduct of the trial judge. For example, Roberts claimed that “[t]he Judge was not clear, consistent and/or fair when making rulings. The Judge’s conduct towards the Plaintiff showed contempt for the Plaintiff and disfavor toward Plaintiffs counsel.” Pl.’s Post Trial Mot. for New Trial 3, ECF No. 228. In addition, because Roberts again raised allegations of bias — this time by Judge Savage — the case was reassigned to Judge Quiñones. It was then also dis *121 covered that four of the six days of the trial transcript had unfortunately been lost. 2

Upon learning that the trial record was incomplete, Judge Quiñones granted Roberts’ motion for extraordinary relief and ordered the court reporting company to produce the transcript for this case. Even this order, however, ultimately failed to secure the transcripts. Several months later, and after several more unsuccessful attempts to obtain the trial transcripts, Judge Quiñones denied Roberts’ second, nearly identical, motion for extraordinary relief that again sought to force the court reporting company to turn over the transcript. In a footnote, Judge Quiñones concluded that granting another such motion would be futile, as the court had made numerous failed attempts to obtain the complete trial transcript.

Judge Quiñones instead ordered the parties to recreate the record in compliance with Federal Rule of Appellate Procedure 10(c) so that she could rule on Roberts’ post-trial motion. Roberts, however, chose not to comply with this order, arguing that any attempt to do so would be useless, as the parties would not be able to agree on the contents of a 10(c) statement. Thus, over nine months after ordering the' parties to comply with Rule 10(c), Judge Quiñones was still without a record with which she could assess the merits of Roberts’ post-trial motion. Concluding, therefore, that Roberts’ failure to comply with Rule 10(c) constituted a failure to prosecute, Judge Quiñones dismissed his motion. Roberts appealed. 3

II.

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Bluebook (online)
826 F.3d 117, 94 Fed. R. Serv. 3d 1786, 2016 U.S. App. LEXIS 10966, 100 Empl. Prac. Dec. (CCH) 45,588, 2016 WL 3361493, Counsel Stack Legal Research, https://law.counselstack.com/opinion/reginald-roberts-v-risa-ferman-ca3-2016.