695 F.3d 227 (3rd Cir. 2012), 09-2305, United States v. Maury

Docket Nº:Craig Davidson, Appellant 09-2306.
Citation:695 F.3d 227
Opinion Judge:FUENTES, Circuit Judge:
Party Name:UNITED STATES of America v. Jeffrey MAURY, Appellant No. 09-2305. United States of America v. United States of America v. United States of America v. United States of America v.
Attorney:Michael N. Pedicini (ARGUED), Morristown, NJ, for Defendant-Appellant Jeffrey Maury. Hilary L. Brunell (ARGUED), Vincent J. Nuzzi, Nuzzi & Mason, Dover, NJ, for Defendant-Appellant Craig Davidson. Michael D. Critchley (ARGUED), Critchley, Kinum & Vazquez, Roseland, NJ, for Defendant-Appellant Joh...
Judge Panel:Before: FUENTES, SMITH, and JORDAN, Circuit Judges.
Case Date:September 17, 2012
Court:United States Courts of Appeals, Court of Appeals for the Third Circuit

Page 227

695 F.3d 227 (3rd Cir. 2012)



Jeffrey MAURY, Appellant No. 09-2305.

United States of America


Craig Davidson, Appellant No. 09-2306.

United States of America


John Prisque, Appellant No. 09-2345.

United States of America


Scott Faubert, Appellant No. 09-2346.

United States of America


Atlantic States Cast Iron Pipe Company, a Division of McWane, Inc., Appellant No. 09-2356.

Nos. 09-2305, 09-2306, 09-2345, 09-2346, 09-2356.

United States Court of Appeals, Third Circuit.

September 17, 2012

Argued March 29, 2012.

Page 228

[Copyrighted Material Omitted]

Page 229

[Copyrighted Material Omitted]

Page 230

[Copyrighted Material Omitted]

Page 231

Michael N. Pedicini (ARGUED), Morristown, NJ, for Defendant-Appellant Jeffrey Maury.

Hilary L. Brunell (ARGUED), Vincent J. Nuzzi, Nuzzi & Mason, Dover, NJ, for Defendant-Appellant Craig Davidson.

Michael D. Critchley (ARGUED), Critchley, Kinum & Vazquez, Roseland, NJ, for Defendant-Appellant John Prisque.

Michael D'Alessio, Jr. (ARGUED), Walder, Hayden & Brogan, Roseland, NJ, Timothy I. Duffy, Mark K. Silver, Michael J. Sullivan, Coughlin Duffy, Morristown, NJ, for Defendant-Appellant Scott Faubert.

John J. O'Reilly (ARGUED), Day Pitney, Parsippany, NJ, for Defendant-Appellant Atlantic States Cast Iron Pipe Co.

Page 232

Mark E. Coyne, Office of the United States Attorney, Newark, NJ, Paul J. Fishman, Norman Gross, Glenn J. Moramarco (ARGUED), Ignacia S. Moreno, Andrew D. Goldsmith, Office of United States Attorney, Camden, NJ, John L. Smeltzer, United States Department of Justice, Environment & Natural Resources Division, Washington, DC, for Plaintiff-Appellee the United States of America.

Before: FUENTES, SMITH, and JORDAN, Circuit Judges.

FUENTES, Circuit Judge:

Table of Contents
I. Facts & Posture 233
A. Factual Background 233
1. The Defendants 233
2. The Plant 234
B. Clean Water Act Violations 234
1. Unlawful Discharge of Wastewater 235
2. Resulting Oil Spills & Ensuing Investigations 236
C. Clean Air Act Violations 238
1. The Plant's CAA Permits 238
2. Burning Excess Paint 239
D. OSHA Incidents 240
1. The Coxe Fatality 240
2. The Marchan Incident 241
3. The Owens Incident 242
4. The Velarde Incident 243
E. Indictment 244
F. Pre-Trial Issues 245
G. Trial & Sentencing 245
H. The Present Appeal & the Parties' Arguments 246
II. Discovery Issues 247
A. Pre-Trial Discovery in a Criminal Case 247
1. Jencks Material 247
2. Fed.R.Crim.P. 16 248
3. Brady and Giglio Material 249
B. Pre-Trial Discovery in this Case 249
C. The Scope of Fed.R.Crim.P. 16(a)(1)(C) 251
1. Applicable Standard of Review 251
2. Rule 16(a)(1)(C)(ii) 252
III. Jury Instructions on the Clean Water Act Violations 255
A. Negligence Instruction Under the Clean Water Act 255
1. Invited Error Doctrine 256
B. The District Court's Refusal to Define " Recklessness" 260
1. Accuracy of the Court's Instructions on " Knowing" Conduct 261
2. Abuse of Discretion in Rejecting Proposed Language 262
IV. Mutually Exclusive Verdicts 263
V. Conclusion 267
Following an eight-month criminal trial, a jury convicted Atlantic States Cast Iron Pipe Company and four of its managers of various crimes. These included conspiring to commit a host of environmental pollution and worker safety violations, attempting to cover up or impede federal investigation of those violations, and substantive Page 233 violations of the Clean Water Act and the Clean Air Act. Specifically, the Defendants were found to have illegally pumped contaminated water into storm drains and, as a result, into the Delaware River; to have unlawfully burned 50-gallon drums of paint waste in a cupola and emitted the fumes from those activities into the air; and to have attempted to cover up several work-related accidents at its facility, one of which resulted in the death of an employee. The jury also found that the Defendants engaged in a conspiracy to commit these acts— and to impede the resulting federal investigation— in order to maximize productivity and profits at the Plant. The Defendants appealed from the jury's verdict, raising a litany of issues relating to pre-trial discovery, the District Court's handling of the trial itself, the propriety of certain jury instructions, and the District Court's sentencing determinations. For the reasons that follow, and in light of the District Court's fine handling of these extraordinarily complicated proceedings, we will affirm the final judgments of conviction and sentence in this case. I. Facts & Posture A. Factual Background1 1. The Defendants Atlantic States Cast Iron Pipe Company (the " Company" ), owned by McWane, Inc., operates a pipe foundry in Phillipsburg, New Jersey. The Plant, which produces ductile iron pipes used as municipal water pipes, sits on a 33-acre facility located just one mile from the Delaware River. Prior to 2002, the facility had several large storm drains that flowed through the municipal storm sewers to an outfall pipe that fed into the Delaware River.2 During the periods in question, the Plant was overseen by John Prisque, who became the Plant Manager in 1998. Prior to that, Prisque served as the Production Superintendent and the Production Manager. Jeffrey Maury, like Prisque, had a long career at the Plant. After serving as the Maintenance Foreman from 1995 to 1997, Maury was promoted to Maintenance Superintendent in 1998. In this position, Maury oversaw the maintenance of all equipment used in the casting and finishing of the Company's pipes and of construction equipment, such as forklifts. He also supervised all of the Plant's maintenance foremen. Maury reported directly to Prisque. All finishing processes at the Plant, including the cement lining and pipe painting operations, were overseen by Craig Davidson, who served as the Finishing Superintendent beginning in March 1998. Like Maury, Davidson reported directly to Prisque. Scott Faubert served as the Plant's Human Resources Manager from 1996 to September 2000. His job responsibilities included overseeing the Plant's health and safety programs and supervising the Plant's Safety Director. Faubert also reported directly to Prisque. Page 234 2. The Plant As part of the Company's production process, employees at the Plant melt scrap iron and steel at an extremely high heat in a cupola, or furnace. The molten metal is then poured into a pipe cast and passed through an oven that makes the pipes ductile. From there, the pipes are sent to the finishing department, where they are cooled with water, grinded, pressure tested, lined with cement, rinsed and painted. Much of the machinery used during this process relies on hydraulic cylinders and petroleum-based hydraulic fluid. This process produces contaminated water and air pollutants, which are governed by the Clean Water Act, 33 U.S.C. § 1251 et seq., and the Clean Air Act, 42 U.S.C. § 7401 et seq., respectively. Discharges of any such contaminated water and emissions of any such air pollutant are controlled by strict permits issued to the Company by the relevant policing agency. As an industrial facility, the Plant is also subject to the requirements of the Occupational Health and Safety Act, as administered by the Occupational Health and Safety Administration (" OSHA" ). See 29 U.S.C. § 651 et seq. OSHA has promulgated volumes of regulations designed to ensure that workers can perform their jobs without substantial risk of industrial accident. Under OSHA's regulations, the Plant is required to comply with certain health and safety standards, educate employees about workplace safety, and report any on-the-job injuries. Certain categories of workplace injuries, including those involving a fatality or the risk of an ongoing imminent danger at a facility, are subject to investigation by a regional OSHA inspector. The Defendants in this...

To continue reading