S.M., Plaintiff-Appellee-Cross-Appellant v. J.K., Defendant-Appellant-Cross-Appellee

262 F.3d 914
CourtCourt of Appeals for the Ninth Circuit
DecidedAugust 27, 2001
Docket99-16184, 99-16960
StatusPublished
Cited by54 cases

This text of 262 F.3d 914 (S.M., Plaintiff-Appellee-Cross-Appellant v. J.K., Defendant-Appellant-Cross-Appellee) is published on Counsel Stack Legal Research, covering Court of Appeals for the Ninth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
S.M., Plaintiff-Appellee-Cross-Appellant v. J.K., Defendant-Appellant-Cross-Appellee, 262 F.3d 914 (9th Cir. 2001).

Opinion

PAEZ, Circuit Judge:

This nearly decade-old case arises from Defendant J.K’s attempted sexual assault of his housekeeper, Plaintiff S.M. The magistrate judge twice declared a mistrial before the jury was able to reach a verdict. During the course of the second trial, the judge granted judgment as a matter of law for Defendant on, inter alia, Plaintiffs punitive damages claim. At the conclusion of the third trial, the jury found for Plaintiff on her assault and battery and intentional infliction of emotional distress claims, and awarded damages.

In Appeal No. 99-16184, Defendant challenges three evidentiary rulings. Of particular significance is the district court’s exclusion, under Federal Rule of Evidence 412, of evidence of Plaintiffs prior, consensual sexual activity. We hold that such evidence may be excluded as a means of sanctioning a party, in this case Defendant, for failing to comply with the procedural requirements of Rule 412 and that Plaintiffs own motion to admit evidence that she had been molested as a child does not open the door to admission of evidence of her voluntary sexual conduct. We have jurisdiction over this appeal under 28 U.S.C. § 1291, and we affirm in all respects. In Appeal No. 99-16960, Plaintiff cross-appeals from the ruling under Federal Rule of Civil Procedure 60(a) on her punitive damages claim. Because Plaintiff failed to file a timely notice of cross-appeal, we dismiss the cross-appeal.

Faotual Background

Plaintiff was employed as a housekeeper in the two homes Defendant owned in Kauai, Hawaii. On September 8, 1992, Plaintiff and Defendant had breakfast together. Plaintiff alleged in her complaint that, while at breakfast, Defendant “offered to pay her $25,000 and also send her son to college if she would ‘take care of his needs’ when he came to Hawaii. 'He explained they were both consenting adults and his wife and her husband did not have to be told.... ” Plaintiff alleged that she refused.

Upon their return to the house, Plaintiff and Defendant went to Defendant’s wife’s dressing room to inspect a broken light fixture. Plaintiff alleged that Defendant then assaulted her by “touching her, grabbing her genitals, grabbing her breasts, attempting to kiss her, and forcefully putting her hands on his genitals while he moaned.” Plaintiff alleged that, during the next two days, Defendant made obscene phone calls to her and came to her house, which he had not done during the previous years of employment.

Plaintiff alleged that, after the assault, “the family life and emotional well being of [Plaintiff, her husband, and their son] *917 [was] shattered.... [She] has been emotionally distressed as these incidents have brought back to her on a daily basis the violence and sex abuse of her childhood. It has also required her to use many kinds of medications, seek psychotherapy, and stop work of any type with others.”

In her diversity suit against Defendant, Plaintiff sought damages for breach of contract, intentional infliction of emotional distress, negligent infliction of emotional distress, violations of Hawaii civil rights statutes, defamation, assault and battery, and loss of consortium. 1 She also sought punitive damages. In addition to his other defenses, Defendant counterclaimed, alleging that Plaintiff “made a physical and sexual approach and contact with” him and that he “was embarrassed and emotionally distressed by this act.” That counterclaim was voluntarily dismissed, and is not a subject of this appeal.

The parties consented to a jury trial before a magistrate judge. The case first went to trial on January 9, 1996. That trial ended in a mistrial three days later because the jury was able to hear the judge’s confidential sidebar conversations with the attorneys. The case went to trial again on November 4, 1997. During that second trial, the magistrate judge granted judgment as a matter of law under Federal Rule of Civil Procedure 50(a) in favor of Defendant on every count, in the complaint, including Plaintiffs request for punitive damages, except assault and battery and intentional infliction of emotional distress (“IIED”). When the jury deadlocked on the remaining counts, the court declared a mistrial.

Defendant moved for an entry of partial final judgment under Federal Rule of Civil Procedure 54(b) with regard to the court’s ruling on the Rule 50(a) motion. The motion was denied. Plaintiff moved for reconsideration of the court’s ruling with regard to the punitive damages claim, which the court also denied.

The assault and battery, and IIED claims' went to jury trial for a final time on March 2, 1999. The jury returned a verdict for Plaintiff, finding that she was entitled to $200,000 in damages and that Defendant was responsible for 60 percent of Plaintiffs damages. He was ordered to pay $120,000. Defendant filed a notice of appeal on June 3, 1999. Plaintiff filed an untimely notice of cross-appeal on her punitive damages claim on September 8, 1999. See Fed. R.App. P. 4(a)(3) (notice of cross-appeal must be filed within 14 days of the notice of appeal).

Standard of Review

Evidentiary rulings are reviewed for an abuse of discretion. See, e.g., Defenders of Wildlife v. Bernal, 204 F.3d 920, 927 (9th Cir.2000). To reverse on the basis of an erroneous evidentiary ruling, we must conclude not only that the district court abused its discretion, but also that the error was prejudicial. See, e.g., id. at 927-28. In reviewing the district court’s exclusion of evidence as a sanction, we first engage in de novo review of whether the judge had the power to exclude the evidence. If the power exists, we review the imposition of the sanction for an abuse of discretion. Lewis v. Tele. Employees Credit Union, 87 F.3d 1537, 1556-57 (9th Cir.1996).

We determine our own jurisdiction de novo. Milne v. Hillblom, 165 F.3d 733, 735 (9th Cir.1999).

*918 Discussion

A. The Evidence Of Plaintiff’s Prior Sexual History

Defendant first contends that the magistrate judge abused his discretion in excluding evidence that Plaintiff had engaged in an extramarital affair with a neighbor around the time of the assault. Prior to the second trial, Defendant had moved to introduce evidence of Plaintiffs sexual history under Federal Rule of Evidence

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Bluebook (online)
262 F.3d 914, Counsel Stack Legal Research, https://law.counselstack.com/opinion/sm-plaintiff-appellee-cross-appellant-v-jk-ca9-2001.