Professional Documents
Culture Documents
No. 96-1281
Appellee,
v.
LAWRENCE G. SCHNEIDER,
Defendant, Appellant.
____________________
The
opinion
of this
court
issued
April
17,
1997, should
changed as follows:
Page
18,
interference.
line 9:
Change
the
word
inference
to the
No. 96-1281
Appellee,
v.
LAWRENCE G. SCHNEIDER,
Defendant, Appellant.
____________________
____________________
Before
____________________
whom
was
on
brief
appellant.
Richard W. Rose,
________________
Sheldon Whitehouse,
___________________
Assistant
United States
United States
Attorney,
United States.
____________________
Attorney,
was on
with
brief
for
on
presenting two
difficult issues.
One
proffered
relates
as
pertinent to
state
on jury-questionnaire
On
his
both issues, we
of mind;
other
information about
the
one of
the jurors.
and affirm.
What
although
Schneider did
his
state
of
was
largely undisputed
mind
was
very
much
at
in
trial,
dispute.
Island,
selling
engaged
in
buying
financial
May
and
estate
and
credit a
real
Starting in
Beginning
October 1990,
the money.
Schneider placed 25
and
classified advertisements
in
the Providence
goods
in question
false
stories
acquired them.
government
daily newspaper,
at deep
about
offering to
discounts.
the origin
of
He gave
the
goods
resell the
purchasers
or how
describes
this as
a classic
he
The
"bust-out" scheme.
See, e.g., United States v. DeVincent, 632 F.2d 147, 149 (1st
___ ____ _____________
_________
In December
based on his
scheme.
fraud
1994, Schneider
was
indicted and
charged
use of such
18 U.S.C.
facilities in
1343, 1341.
the conduct of
his
relied upon
sellers.
In
Schneider's credit
immediately
applications, that
also
on several of
he had 35
employees,
Schneider did
events described by
the government, but argued that he did not have the requisite
specific
intent
businesses,
an
He
pointed
out that
he had
made no sense
argues on
to defraud.
as a
understanding
of the
defendant's
it followed,
he
is inexplicable absent
mental
status."
At
behavior.
The
and
addiction
medicine;
he
-4-4-
proposed
to
testify
that
by
misprescription
during the
also
and
overprescription
relevant period.
prepared
to testify
of
medical drugs
A psychiatrist, Dr.
to
impaired
Roth, was
judgment, based
on
was taken
In
due
course,
the
district
judge
ruled
that
the
testimony would
not be admitted.
It seems to
evidence as a defense
not suggest
required
circumstances,
that
under
considered
evidence,
objection
to any
and
having
that
offer of
all
all
the
of
the
before the
in
F.2d
in United States
_____________
v. Pohlot, 827
______
889 (3d Cir. 1987), cert. denied, 484 U.S. 1011 (1988),
____________
discussing
the pertinence
of
psychiatric
testimony
in
murder-for-hire case.
1995.
The jury
one count.
In October
remaining
eight counts.
The district
-5-5-
acquitted on
retried on
court stood
the
by its
Following
trial,
judge, expressing
panel.
On inquiry, the
get out
of jury
had affirmatively
jurors
contacted
the
to
two
district
of the jury
service
because she
she wanted
was "mental."
"Do you
have any
you
from serving as
a juror?"
On the reverse
side of the
have
an upsetting
emotional handicap
Rhode Island
state agency],
and the
strain
weather would be
at this time.
kind of hard
After
interview
an
investigation of
the
juror
and a
personal
"completely
satisfied
that
the
juror
was
competent
have
used his
known
about
the
Schneider
peremptory challenges
information
in the
-6-6-
and
he would
differently if
questionnaire.
he had
The
prison
(he had a
some years
about
refusal
$220,000.
was sentenced to 33
On
a "bust-out" offense
ordered to make
this appeal,
he
months in
restitution of
claims as
error the
new trial should have been granted because he could have used
a peremptory challenge to
had known
We
medical evidence.
review
is
questions."
__ F.3d __,
court erred
in refusing
to admit
typically
deferential
on
the
upon what
de novo while
_______
so-called
"mixed
at the threshold.
In
Act,
98
1984, Congress
Stat. 2057,
affirmative
defense to
redefining insanity
be
proved by
Defense Reform
and making
clear and
it an
convincing
evidence.
"Mental
defense."
that
See
___
18 U.S.C.
disease or
Id.
___
defect does
17(a).
defense
or
The statute
also states:
not otherwise
constitute a
condition
17.
meant to rule
testimony
-7-7-
that does
not
reach
the
heights
of
properly
pleaded insanity
defense.
E.g.,
____
In
this
case,
Schneider
did not
offer
an
insanity
in helping a jury
of
in
turn,
says
psychological
First
Circuit
that
evidence
has
number
to negate
suggested
requisite state
charged.
of
The government,
courts
specific
otherwise;1
have
admitted
intent
but the
that
the
First
of the
evidence here
Aside
from
the final
sentence
of
section 17(a),
in
that a
mind.
The
reception
abnormal
defense
of
evidence
the
insanity,
is
of
he
had
the
defendant's
certainly
appropriate
mental
state
which
is
____________________
759 F.2d 961, 964 n.4 (1st Cir.), cert. denied, 474 U.S. 901
____________
(1985).
-8-8-
1 LaFave &
The
circuits that
this view.
have considered
the question
4.7, at
530.
have taken
F. Supp. 85,
After all, if
state of
mind is
a potential
criminal
cases--why
issue--as it
should
is in
expert
most
medical
but not
all
evidence
be
We
intended
to
insanity.
history
exclude
Pohlot
______
mental-condition
canvassed
at length, and
not preclude a
final sentence of
evidence
the arguments
short
of
and legislative
to negate a
from
such a
negation--it does
different defense of
mitigate the
offense.
preclude any
other new
Id. at
___
905-06.2
Pohlot's
______
and
or
analysis
Similarly, our
not
intended
to
establish
general
rule
that
mental-
____________________
-9-9-
See, e.g.,
___ ____
to
insanity.
In Kepreos,
_______
was offered,
defendant
evidence that a
at
24.
These cases
largely
turn upon
766 F.2d
their facts.
See
___
________
becomes
more
medical
evidence
difficult for
the
offered may
defendant.
still
be
The
specific
________
irrelevant to
or probative value
R. Evid.
403; Kepreos,
_______
evidence
is
requisites
jury.
expert
759 F.2d
testimony,
at 964.
it must
of scientific reliability
Fed.
R.
Evid.
702;
the
Finally,
meet
the
Fed.
if the
further
Daubert
_______
v.
Merrell Dow
____________
In
deciding
reliability,
such
issues--relevance,
helpfulness--the
district
court
confusion,
has
comparative
typically
advantage over
involve
unique
an
appeals panel.
fact
patterns and
The
issues
judgments
case.
of
Thus,
-10-10-
Against this
this
case.
background, we return to
Dr.
approximately an
Wartenberg
hour and
had
a half
the testimony in
examined
Schneider
and reviewed
for
his medical
or four-year period.
the
in
drugs as prescribed
a variety
of
ways," produce
blackouts, roller
coaster
My
said
opinion is
that
to
a degree
of
Dr.
reasonable
medical
Schneider's
certainty
that
intellectual
cognitive
function,
Mr.
capacity,
ability
to
make
executive
judgments and
decisions would
have been
prescribing.
On
cross-examination,
admission that
government
counsel
planned to
carry out a
properly, neither
side asked
Dr. Wartenberg
whether Schneider
ultimate
questions
mental state in a
which is a
had
to experts
intended
now
being
purpose."
Quite
the "ultimate"
to defraud,
such
forbidden as
companion amendment
an
could engage in
"activity that is
question
secured
to section 17.
to
Evid. 704(b),
See
___
United
______
-11-11-
The
expert
psychiatrist,
Dr.
Roth,
also
offered
probable mania."
He said also
that
He declined to
express
a view
on
Schneider's ability
to form
a purpose,
saying that he (Dr. Roth) was not there at the time, and that
As we
medical testimony
both irrelevant
mislead
the
judge's ruling, he
jury.
and misleading.
And we
think
even
to view it
remand,
in
order
explicitly, is
to
that the
the
a waste of time.
capacity to
district court
under Fed. R.
as having
make
Our own
clearly would
if told
deemed the
Evid. 403
limited relevance.
district
judge
say
To
this
turn.
Relevance,
the
ordinary
starting
point
for
admissibility,
the government
urged that
is a close
issue.
Here,
the goods,
expecting never to pay for them but to resell them and pocket
the money
and thereby
"intended to deceive."3
Schneider's
____________________
The fraud
-12-12-
evidence
helped
language of
him support
this
view,
that
is (in
the
made his
evidence."
The
depressed,
that
he
had
impaired
judgment
in
his
capacity
to
deceive,
Schneider's scheme
continued
over
several
to
his
to blackouts.
negating
(due
especially
months.
as
This
Still,
evidence
may
be
"relevant" under
Rule
401's
issue--whether taken
helpful
alone or in combination
not
___
in a criminal
case.
Schneider's
some
distance
to
negate
intent
to
deceive
and
so
relevant.
____________________
was
See generally
_____________
-13-13-
far
enough,
relevant.
by ruling
it
may
be tempting
to
say
that
it is
not
not
of impairment was
irrelevant
because
"by
his
own
"finalized an
agreement to have
`purpose'
hire someone
to
regardless of
whether he
to
admission,"
kill
his
wife
`psychologically . .
But we have
Rule
401's
helpful in
some doubt
that this
definition quoted
a case like
mens rea
_________
requirement
purposeful
activity,
origins."
827 F.2d
above.
is
904.
But
enough
. understood
do we
with
think it
regardless
at
was
Nor
satisfied
had
and this
usage comports
ours to ask, as
Pohlot
______
"by
of
it
any
its
ordinary
showing
of
psychological
is quite
possible
purposefully
kind
to mislead.
defense
and barred
courts were
both
a new
diminished capacity
beginning to invent.
here and
temporarily out
section 17(a))
in Pohlot,
______
that
suggests that
of his mind
and
Yet
(even though
his crime
-14-14-
defense that
was
the defendant
not insane
mitigated
was
under
by
his
psychological condition.
Such evidence
tends to reintroduce
The
to this case.
Nor
do we
namely,
whether and
when
the judge
may exclude
otherwise
relevant
expert evidence
on
"assist"
the jury.
Shay, 57
____
enough
See
___
the ground
that
F.3d at
it will
132-33.
not
It is
eminently justifiable.
showing "impaired"
deceit
relevance:
piece out a
short of sufficient
lack of
proof.
At
the same time, the expert testimony offered here could easily
amounts to
The
score
temporary insanity
instructions
or
required here
a medical condition
ameliorates the
to guard
very far to
the jury
offense.
on this
Thus, we conclude
to
exclude
this evidence
mislead
the
relevance.
jury
on the
ground that
substantially
its capacity
outweighed
its
to
limited
-15-15-
we
could
remand for
an
explicit finding
under
Rule 403.
view
of
district
the
matter,
our
court's reasoning
limited
disagreement
no purpose.
See
___
with
the
the district
F.3d 35, 38
Although
considerable,
our
concerns
we shrink
from
about
such
any generic
evidence
rule that
are
would
by
case.
Offenses
differ
from
each
other; the
case
medical
is
going to
vary
everyone is still
widely;
learning.
and this
is
an area
In the spirit
in
which
of Daubert,
_______
we
trial court.
it was exercised.
This
namely,
brings us
to Schneider's
second claim
of error,
new trial.
The basis
pertinent
here)
disclosed,
have
pertaining to
that
the
revealed
the juror
juror
mental
questionnaire
or
emotional
in question, perhaps
if
problems
prompting the
-16-16-
would,
Again, in
considering
the
district court's
action,
our
standard of
The district
objection
because he
failed to move
for disclosure
to empanelment.
We
just short of
of the
took such a
(1st Cir.
a definitive finding
that
access to
jury questionnaires.
relied heavily
had suffered
Id.
___
no prejudice
In affirming,
Uribe
_____
Id.
___
at
562.
On this
whether
Schneider
did have
effective
litigate at length
access
questionnaires, which
lists.4
Rhode
Island
plan
questionnaires.
at 1515.
We
are
Neither
crystal
See 28 U.S.C.
___
clear
to the
jury
treats somewhat
about
access
the
to
not to
____________________
-17-17-
dire process."
decision
on waiver
or forfeiture.
Assuming
arguendo that
________
motion.
defendant
knew or should
have known of
the
a potential problem
the questionnaire.
E.g.,
____
____________
effort
to
show
characteristics of
actual
______
prejudice
the juror
(e.g.,
____
by
pointing
to
have caused
sway of other
district
jurors).
Schneider's
position
made in
rejected and
now pursued.
instead
is
are not
that
prejudice
is
the
not
[T]here
is
prosecution
little
doubt
deprives a
that if
the
defendant of his
court
or
right to
In
number
of
cases
involving
interference
with
of prejudice as unnecessary.
-18-18-
96
F.3d
1132, 1141
cases). But
(9th Cir.
1996) (en
or interference.
Without automatic
banc) (collecting
a deliberate denial
reversal, such
conduct
could
rarely
be
corrected;
by
definition,
lawyers
use
apparatus
to
uncover
some
information in a raft of
mistake might
adequate voir
dire questions,
of prejudice.
3-5 (1st
Cir. 1988).
We
potentially
a different kind.
resemble the
showing
of
piece
failure of
useful
"error"
At worst, such
the judge
where we have
to ask
insisted on
where a showing of
is not,
as this one so
the line.
where it
former side of
(1st Cir.
1990), and
no indication that
withheld information),
prejudice]
would be
useful information
a windfall
for the
defendant" without
Affirmed.
________
-19-19-
a showing of