Opinion ID: 4528901
Heading Depth: 3
Heading Rank: 1

Heading: Public Opinion Surveys

Text: Pretrial surveys are a useful litigation tool “to conduct research, get reliable results (both quantitative and qualitative), and create a winning trial strategy,” while also “saving the [law] firm time, money, and resources in trial preparation.”78 In one form or another, surveys of the community from which the jury will be summoned have been conducted for almost eighty years.79 Such surveys have even been conducted without rebuke in high-profile cases such as the Boston Bomber case,80 the Oklahoma City bombing case,81 the Ted Bundy trial,82 and the Harrisburg-Seven trial.83 Attorneys frequently rely on community surveys in complex commercial litigation and obscenity prosecutions,84 and many law review articles, practice treatises, and other reliable secondary sources cite “public opinion surveys,” “community surveys,” and “opinion polls” as valid methods of 78 Richard H. Middleton, Jr., Competitive Pretrial Intelligence: Can Mock Trials and Focus Groups Be Advanced?, 2002 ATLA-CLE 1361 (July 2002) (also noting that surveys were empirically tested and found to be more reliable and cost-effective than mock trials and focus groups in pretrial research and preparation). 79 Cases from as early as the 1940s discuss the use of pretrial community surveys or public opinion research to support litigants’ claims. See, e.g., Oneida, Ltd., v. Nat’l Silver Co., 25 N.Y.S.2d 271, 286 (N.Y. Sup. Ct. 1940) (housewives surveyed using the litigants’ silverware patterns to determine whether one company had appropriated the other’s design). 80 Motion for Change of Venue at 1, United States v. Tsarnaev, No-13-10200-GAO, 2014 WL 4823882, at  (D. Mass. Sept. 24, 2014). 81 See Christina Studebaker & Steven Penrod, Pretrial Publicity, the Media, the Law, and Common Sense, 3 PSYCHOL. PUB. POL’Y & L. 428, 450 (1997) (citing the trials of McVeigh and Nichols for employing “the use of a media analysis and public opinion surveys quite well”). 82 Bundy v. Dugger, 850 F.2d 1402, 1425 (11th Cir. 1988) (refusing to presume prejudice where a pretrial public opinion poll was conducted to determine community familiarity with serial killer Ted Bundy and opinions about his guilt). 83 See Rachel Hartje, Comment, A Jury of Your Peers?: How Jury Consulting May Actually Help Trial Lawyers Resolve Constitutional Limitations Imposed on the Selection of Juries, 41 CAL. W. L. REV. 479, 491-92 (2005). 84 See Gabriel M. Gelb & Betsy D. Gelb, Internet Surveys for Trademark Litigation: Ready or Not, Here They Come, 97 TRADEMARK REP. 1073, 1086–87 (2007); see also Schering Corp. v. Pfizer Inc., 189 F.3d 218, 234 (2d Cir. 1999), as amended on reh’g (Sept. 29, 1999) (misrepresentation case dealing with pharmaceutical sales); Com. v. Trainor, 374 N.E.2d 1216, 1220 (Mass. 1978) (obscenity prosecution). 29 determining the community’s attitude toward the parties, witnesses, or issues in a particular case.85 Examples of pretrial surveys are found in case law from almost every state and in the federal judicial system. Such surveys are not inherently improper. United States v. Collins is a case in point.86 Collins was an appeal from a federal judge’s bribery conviction. Before the bribery case went to trial, the prosecutors commissioned a telephone survey of 457 respondents from within the district, asking questions related to the impending trial and specifically identifying the defendants by name.87 Notably, “after hearing a recitation of the prosecution’s version of the evidence against the [judge and a co-defendant], those polled were asked whether they thought the defendants were ‘definitely guilty, probably guilty, probably not guilty, definitely not guilty or do you have no opinion in this case.’”88 A majority of the respondents answered that the defendants were definitely or probably guilty.89 When the defendants learned about the survey, they reported it to the district court.90 The court ordered the prosecution to turn over all polling material and, on review, determined the polling issue was a “red herring” and “nothing had been done to compromise the integrity of jury 85 See, e.g., § 14:10: Jury Selection Based on Juror Profiles and Investigations, JURY SELECTION: THE LAW, ART, AND SCIENCE OF SELECTING A JURY, Thompson Reuters (2018); Franklin Strier & Donna Shestowsky, Profiling the Profilers: A Study of the Trial Consulting Profession, Its Impact on Trial Justice and What, If Anything, to Do About It, 1999 WIS. L. REV. 441, 444 (1999). 86 972 F.2d 1385 (5th Cir. 1992). 87 Id. at 1398 & n.18. 88 Id. at 1398 (footnote omitted). 89 Id. 90 Id. 30 selection.”91 The court declined to turn over the polling material to the defendants until after trial and later denied their motion for a new trial. The court held the poll had not undermined the integrity of the jury, noting none of the jurors who served on the jury had been contacted and the matter had been adequately covered in voir dire questioning.92 On appeal, the defendants challenged the survey under various theories. The Fifth Circuit held the survey did not violate the defendants’ due process rights in any respect.93 The appellate court agreed with the district court that complaints about the poll were a red herring.94 The court concluded that pretrial message testing did not give the government an unfair advantage at trial and no fundamental unfairness ensued from the district court’s decision to withhold disclosing the polling materials to the defendants until after the trial.95 The court affirmed the convictions, holding, in relevant part, that the government’s commencement of a telephone survey did not violate the defendants’ due process rights.96 As Collins demonstrates, pretrial telephone surveys in the district from which the jury pool is drawn are not necessarily unfair or improper. But when zealously pursued without fidelity to rules of professional ethics, community research activities—regardless of which side employs them—have the potential to taint the jury pool and threaten the functioning of the judicial system. 91 Id. 92 Id. 93 Id. at 1398-99. 94 Id. at 1398. 95 Id. at 1399. 96 Id. at 1415. 31 Concerns about undisclosed and unsupervised survey activities in the course of pending litigation are not unfounded, especially when a trial date is impending. Indeed, any type of community outreach—whether it be surveys, overt media engagement, or web-based activities—has the potential to impact the jury-selection process. A campaign of disinformation, in whatever form, undermines the sanctity of the judicial process and is inimical to the constitutional promise of a fair and impartial jury trial. It cannot be tolerated. Lack of specific guidance on the form, content, and timing of community research in connection with pending litigation suggests such endeavors should be undertaken with great caution and a healthy dose of trepidation. When attitudinal research is conducted in the community from which the venire will be empaneled, they can present fertile ground for mischief and misadventure if adequate safeguards are lacking. A handful of federal courts in Texas have standing orders acknowledging that litigation focus testing is routinely employed but can impact the jury-selection process.97 The standing orders do not prohibit use of surveys as a litigation tool; rather, they regulate the practice when it occurs in the county of suit.98 Collectively, the orders (1) require pretrial notice of intent to conduct such a study; (2) require disclosure (to varying degrees) of the methodology; (3) temporally limit proximity to trial; and (4) require in camera submission of each participant’s name and address in advance of the pre-trial conference. No such order was in place here. 97 The Honorable Ron Clark, E.D.T.X. Standing Order RC-47 (Aug. 11, 2010); The Honorable Rodney Gilstrap and the Honorable Roy Payne, E.D.T.X. Standing Order Regarding Mock Juries (Feb. 3, 2012); The Honorable Robert Schroeder, E.D.T.X. Standing Order Regarding Mock Juries (Jan. 15, 2016); Kacy Miller, A Primer on EDTX Jury Research Rules, COURTROOMLOGIC CONSULTING (Mar. 2, 2017), http://courtroomlogic.com/2017/03/02/edtx-jury-research-rules/. 98 See supra n.97. 32 Implementation of Brewer’s survey in Lubbock County was not perforce impermissible, but it brought the survey’s imperfections into sharper focus. Nevertheless, considering the survey process as a whole, we cannot agree the survey’s ostensible shortcomings create a reasonable inference of bad faith. Evidence that the survey database and survey respondents were randomly selected—without any input by Brewer or his staff—was unrefuted. And the record does not support the allegation that anyone in particular was “targeted.” Nor is there evidence that the size of the survey database suggested anything untoward. Genuine inaccuracies in the formulation of litigation statements tested in Brewer’s quite lengthy survey are debatable, but any such defects were isolated and few and far between. The survey reflects reasonable efforts to achieve a reasonable degree of balance. Not perfect, but reasonable.99 The survey efforts bear other markers of good faith: (1) Qualified Third-Party Experts.100 Brewer engaged an independent, internationally recognized research organization to design and implement the survey.101 As a member of the American Association for Public Opinion Research, Public Opinion Strategies was required to follow industry standards that include prohibiting push polls. Brewer and his firm were privy to the 99 The parties present a false dichotomy between impermissible push polls and legitimate survey research. As the testimony of the movants’ expert affirms, a survey could have aspects of both—neither all bad nor all good. 100 Cf. Tex. Aeronautics Comm’n v. Braniff Airways, Inc., 454 S.W.2d 199 (Tex. 1970) (qualifications of the researcher important in determining reliability of survey); Baumholser v. Amax Coal Co., 630 F.2d 550, 552-53 (7th Cir. 1980) (a survey conducted by “qualified experts” in market research and public opinion helps provide “a substantial showing of reliability”); Sanchez v. Cegavske, 214 F. Supp. 3d 961, 970 (D. Nev. 2016) (“Generally, experts who design, conduct, and analyze a survey should have extensive training in the social sciences which includes methods, sampling, and statistics work.”); G. v. Hawaii, Dept. of Human Servs., 703 F. Supp. 2d 1112, 1125 (D. Haw. 2010) (“[T]he persons conducting the survey must be experts[.]”) (quoting Pitts. Press Club v. U.S, 579 F.2d 751, 758 (3d Cir. 1978)). 101 Public Opinion Strategies has been an industry-recognized research firm for more than twenty years, has conducted over 14,000 projects for scientific and political clients, and is headed by an individual with leadership positions in ethics organizations governing public opinion research internationally. 33 survey questions and had an opportunity to provide input, but were screened off from critical aspects by Public Opinion Strategies’ use of third-party vendors to create the survey database and conduct the survey. This is consistent with industry practice and case law on pretrial surveying.102 Barring red flags or other indicia of untrustworthiness—and the record here bears no evidence of either—one can reasonably presume qualified third-party research professionals will perform their services in accordance with industry standards. (2) Proper Relevant Universe and Randomly Drawn Representative Sample.103 In professional surveying research, the “relevant universe” refers to the universe of people most relevant to the issue being studied.104 Defining the universe is a methodological choice designed to ensure a statistically significant result. Ordinarily, a prudent litigant might avoid the county of suit to avoid even the appearance of impropriety. But attitudinal studies conducted in other jurisdictions might not produce an appropriately representative sample or a statistically valid result. Carter and Brewer reasonably explained why Lubbock County was chosen for the pretrial survey. The explosion, the moratoriums, the plaintiffs’ own survey efforts, and enhanced media 102 Tunnell v. Ford Motor Co., 330 F. Supp. 2d 707, 719-20 (W.D. Va. 2004) (blind surveys are preferred as a method for avoiding bias where the interviewers and participants are “blind to the purpose and sponsorship of the survey” and “attorneys are excluded from any part in conducting interviews and tabulating results”); Pitts. Press Club, 579 F.2d at 758 (surveys should be conducted “independently of the attorneys” and “the interviewers,” “[survey] designers,” and “[survey] Respondents” should all be “unaware of the purposes of the survey or litigation”). 103 County of Kenosha v. C&S Mgmt., Inc., 588 N.W.2d 236, 253 (Wis. 1999) (examining relevant population); Nat’l Football League Props., Inc. v. N.J. Giants, Inc., 637 F. Supp. 507, 513-14 (D.N.J. 1986) (analysis of survey began with universe selected for the survey conducted). 104 For example, in trademark litigation, the relevant universe would be people in the market who would purchase a product and be exposed to and confused by the competing product. See, e.g., Nat’l Football League Props., 637 F. Supp. at 514 (survey properly conducted in a community of concentrated support for the Giants). In change of venue cases, the relevant universe would be the community the party believes has been tainted or prejudiced in some way. See, e.g., U.S. v. Rodriguez, 581 F.3d 775, 785 (8th Cir. 2009) (discussing several cases where public opinion polls were introduced in change-of-venue motions based on community prejudice). 34 coverage took place in Lubbock County. Carter also explained that other jurisdictions may not be as prone to significant lightning events as Lubbock County. Brewer and Carter provided specific reasons why Lubbock County residents were uniquely situated to properly evaluate the impact of media coverage on public opinion and test themes and messages that would resonate with the relevant community. The record bears no evidence these reasons were false or otherwise pretextual. As to sample size, no one has asserted that completing 300 surveys or assembling a survey database of 20,000 was abnormal or improper.105 A representative sample is required to ensure research results are not skewed, and the results here show a statistically acceptable margin of error. While significantly overdrawing from a sample could suggest improper motives for conducting a survey, there is no evidence that occurred here. (3) Adherence To Generally Accepted Standards. The record lacks evidence that the sample, questionnaire, and interviews were designed without adhering to generally accepted standards of objective procedure and statistics in the research field. Brewer’s firm was not entirely hands off in formulating the survey questions, but Carter’s input was limited and Brewer’s was minimal, and neither participated in the survey administration process.106 The trial court observed that Brewer was the customer who told the retailer what to do. But by engaging a third-party professional to design and implement the survey, the retailer was subject to and constrained by professional guidelines and ethical standards. The American Association for Public Opinion Research, the European Society 105 See U.S. v. Collins, 972 F.2d 1385 (5th Cir. 1992) (finding no adverse jury impact arising from a telephone survey of 457 local respondents in connection with a high-profile criminal trial). 106 See Pitts. Press Club, 579 F.2d at 758 (“[T]he survey must be conducted independently of the attorneys involved in the litigation.”); G. v. Hawaii, Dept. of Human Servs., 703 F. Supp. 2d 1112, 1125 (D. Haw. 2010) (same); Sanchez, 214 F. Supp. 3d at 970 (articulating the reasons behind preference for attorneys and firms to remain separate from the survey administration process). 35 for Opinion Marketing and Research, other organizations, and watchdog groups regularly publish these guidelines.107 Absent evidence to the contrary, reputable researchers, like Public Opinion Strategies, can reasonably be expected to adhere to these guidelines to maintain membership in professional associations and to maintain credibility. (4) Randomized Favorable and Unfavorable Message-Testing Questions. In several important respects, Brewer’s survey resembles the survey in United States v. Collins—similarities included survey size, situs, and message testing based on the surveyor’s point of view. But where those surveys differ is even more notable. Unlike the Collins survey, Brewer’s survey included a relatively balanced array of statements that favored and undermined his client’s litigation position. The survey did not endorse either set of statements or represent them to be facts; it merely asked respondents if the statements—whether favorable or unfavorable—were convincing. And most of the message-testing questions were rotated to avoid order bias. Rotating questions is common in professional public opinion research as a way to ensure unbiased results. This strategic choice indicates an intent to solicit the respondent’s opinions rather than shape them. On the other hand, (1) not all the adverse statements against other potentially responsible parties were rotated, (2) some of the negative statements about Brewer’s clients were not as strongly negative as negative statements about other parties and non-parties, (3) emphasis was used only in a single question and that question was favorable to Titeflex, and (4) not all negative messages were counterbalanced. For example, in various forms or fashions, the survey made reference to improper installation of the piping at least thirteen times but included only one question suggesting CSST 107 See, e.g., AAPOR Code of Ethics, AMERICAN ASSOCIATION FOR PUBLIC OPINION RESEARCH (revised Nov. 2015), https://www.aapor.org/Standards-Ethics/AAPOR-Code-of-Ethics.aspx. 36 piping could fail even if properly installed. But in determining whether the survey was designed in bad faith, it should be viewed holistically, not by isolating its parts. And, here, the whole is greater than the sum of its parts. On the record before the court, the trial court’s finding that Brewer designed and implemented the survey in bad faith is unsupported. Even if some of the survey questions were individually problematic, bad faith cannot be inferred merely from error;108 otherwise, it would cease to function as a constraint on sanction power.109 Nor can conscious wrongdoing be inferred merely from the fact that a message-testing survey was conducted proximate to trial without voluntary disclosure when, unlike In re Bennett, no governing authority expressly or implicitly regulated those aspects of the survey efforts.110 Improper motive might be reasonably inferred if the record bore even slight evidence that SSI’s contacts with case-related individuals could not have occurred randomly; or if Brewer engaged in a pattern or practice of similar conduct; or if the background materials Carter provided to the survey company were so one-sided or unbalanced as to taint the independence of the survey process; or if there were proof demonstrating pervasive falsity, rather 108 McWhorter v. Sheller, 993 S.W.2d 781, 789 (Tex. App.—Houston [14th Dist.] 1999, pet. denied) (reversing sanctions imposed on attorney who taped telephone conversation with the court and opposing counsel, holding conduct showed “at best, some degree of inexperience and negligence [but not] an intentional act made in bad faith”). 109 Kutch v. Del Mar Coll., 831 S.W.2d 506, 510 (Tex. App.—Corpus Christi 1992, no writ) (“The amorphous nature of this power, and its potency, demands sparing use.”). 110 Collins, 972 F.2d at 1400 n.27 (government-commissioned community attitudes survey was not subject to mandatory Brady disclosure because neither the poll nor its results were “evidence”); Primrose Operating Co., Inc. v. Jones, 102 S.W.3d 188, 192 (Tex. App.—Amarillo 2003, pet. denied) (mock trial was conducted four days before case was called for trial). 37 than incidental errors and statements based on disputed evidence. But inference stacked only on other inferences is not sufficient to support a finding of bad faith.111