Opinion ID: 409249
Heading Depth: 2
Heading Rank: 1

Heading: Departmental Performance Ratings on Deputy Sheriffs Ellis and Holley

Text: 23 Carson sought to admit two Dallas County Sheriff's Department performance evaluation reports, one on the defendant Holley and one on the defendant Ellis. Holley's performance evaluation report, dated July 15, 1977, commented that Holley needed to work on controlling temper and personal feelings, because he tends to get into arguments with inmates, lets his temper flare up too quickly. Ellis' performance rating, dated June 27, 1975, indicated that Ellis is a good officer, however he needs to learn to control his temper. This affects his public contact. 3 The district court declined to admit these performance reports, finding them inadmissible under Fed.R.Ev. 404. 4 We hold that the district court should have admitted these exhibits and its failure to do so affected substantial rights of Carson, thus warranting reversal. See Fed.R.Ev. 103(a); Crumpton v. Confederation Life Ins. Co., 672 F.2d 1248, 1253 (5th Cir. 1982). 24 Both performance evaluation reports were admissible, although for different purposes. The report as to Deputy Sheriff Holley tended to show Holley's intent to do harm to Carson when booking him at the jail, and, therefore, was admissible under the intent exception to the general rule against character evidence. See Fed.R.Ev. 404(b); United States v. Beechum, 582 F.2d 898 (5th Cir. 1978) (en banc), cert. denied, 440 U.S. 920, 99 S.Ct. 1244, 59 L.Ed.2d 472 (1979). The performance report as to Ellis contradicted Ellis' testimony on a material issue, and, therefore, was admissible to impeach. Fed.R.Ev. 608(b); United States v. Opager, 589 F.2d 799, 802 (5th Cir. 1979). The district court abused its discretion in ruling otherwise. 5 25 We recently summed up the rules applicable to the admission of extrinsic character evidence for purposes other than to prove conduct in conformity with character: 26 Rule 404(b) provides that Evidence of other crimes, wrongs, or acts is not admissible to prove the character of a person in order to show that he acted in conformity therewith. It may, however, be admissible for other purposes, such as proof of motive, opportunity, intent, preparation, planning, knowledge, identity, or absence of mistake or accident. In United States v. Beechum, 582 F.2d 898, 911 (5th Cir. 1978) (en banc), cert. denied, 440 U.S. 920 (99 S.Ct. 1244, 59 L.Ed.2d 472) (1979), this Court construed the rule in light of the other rules of evidence and held that Rule 404(b) calls for a two-step test: First, it must be determined that the extrinsic evidence offense is relevant to an issue other than the defendant's character. Second, the evidence must possess probative value that is not substantially outweighed by its undue prejudice and must meet the other requirements of Rule 403. 27 United States v. Emery, 682 F.2d 493, 496-97 (5th Cir. 1982) (footnote omitted). See also United States v. Clemons, 676 F.2d 122, 123 (5th Cir. 1982); United States v. Wasler, 670 F.2d 539, 542 (5th Cir. 1982); United States v. Guerrero, 650 F.2d 728, 732 (5th Cir. 1981). 28 Carson offered the performance evaluations as extrinsic evidence of the intent of two of the defendants to commit an assault and battery on Carson. 6 Intent, of course, may be shown through extrinsic proof of prior acts. Fed.R.Ev. 404(b); United States v. Ortega-Chavez, 682 F.2d 1086, 1091 n.6 (5th Cir. 1982). The theory of Carson's case was that the force used by the deputy sheriffs was excessive and was prompted by irrational factors. The defendants countered by attempting to show that the deputy sheriffs responded coolly and reasonably to an obstreperous detainee. One key issue, therefore, was whether the sheriffs reacted to Carson with excessive and unfettered hostility, or with reason and control. This issue is, in part, a matter of intent. The question is whether the performance evaluations were relevant to this issue of intent. 29 We are guided in answering this question by United States v. Beechum, supra. Beechum was a criminal case. The defendant was a mailman charged with unlawful possession of a silver dollar known to be stolen from the mails. When the defendant was arrested, two unsigned credit cards were found on his person, along with the silver dollar. Both credit cards had been mailed to addresses on the defendant's delivery route ten months earlier. Neither had arrived. At his trial, the defendant denied that he intended to retain the silver dollar, insisting that he planned to turn it in to the postal authorities. The government introduced the credit cards found in defendant's possession as evidence of his intent to retain the silver dollar without returning it. 30 We held, after consideration en banc, that the credit cards were admissible to show intent under Fed.R.Ev. 404(b). We began by defining how an extrinsic offense may be relevant to the proof of intent behind a subsequent act: 31 (T)he relevancy of the extrinsic offense derives from the defendant's indulging himself in the same state of mind in the perpetration of both the extrinsic and the charged offenses. The reasoning is that because the defendant had unlawful intent in the extrinsic offense, it is less likely that he had lawful intent in the present offense. 32 582 F.2d at 911 (footnote omitted). 33 In Beechum we went on to hold that once extrinsic evidence is found relevant to intent, it must be subjected to the balancing test of Rule 403. 7 The holding in Beechum directs us now to look at the incremental value of the extrinsic proof in showing intent, the similarity of the prior act to the charged act, with respect to intent, and the time elapsed between the extrinsic and the charged acts. Probative value must then be weighed against prejudicial impact: the power of the offense to incite the jury to irrational decision by its force on human emotion. 582 F.2d at 917. 34 In so applying Beechum to our case, we find that the performance evaluation report on Deputy Sheriff Holley was relevant to his intent. Loss of temper and consequent intentional hostility towards other detainees on earlier occasions made it more likely that a similar intent was present in Holley's conduct towards Carson. Moreover, in the Rule 403 balance, the report's probative value outweighs its possible prejudicial impact. The report was recent and specifically referred to Holley's relations with prisoners. It was of solid value in proving Carson's case, yet there were no horrifying details that would predictably inflame the jury's passion. 35 We reach a different conclusion, however, as to the relevance of the Ellis report to Ellis' intent. The Ellis report expressed only a general statement on Ellis' temper. It was recorded three years before the Carson arrest. It referred only in most general terms to public contact, not solely with prisoners. The probative value of this report on Ellis' intent was slight. Because of the attenuated probative value, even the slight prejudice that the report might engender warranted excluding it. 36 Thus, the Holley performance evaluation report should have been admitted as substantive evidence of Holley's intent in his actions in connection with the arrest of Carson. The Ellis report was properly excluded from admission as substantive evidence under Fed.R.Ev. 403. 37 We now consider whether the reports should have been admitted to impeach the deputy sheriffs. We hold that one report was admissible to impeach Ellis' testimony on a material issue. Ellis testified at trial that he had no recollection of the events surrounding Carson's booking-in at the Dallas County Jail. The following interchange then took place: 38 Q: And you're not testifying under oath today that it's impossible that you used excessive force and lost your temper while helping book in Mr. Carson, are you? 39 A: It's impossible that I lost my temper, sir. 40 Q: Well, you have had problems in the past with other prisoners; isn't that correct, learning to control your temper? 41 A: No, sir. 42 Ms. Lagarde: Your honor, I object to this. I think that's improper, and I would object to it. I think he should restrict his questions to what happened in this case; those are the issues before the Jury. 43 The Court: Sustain the objection. 44 After this ruling, Carson sought to admit the performance evaluation report as extrinsic evidence that contradicted Ellis' testimony on a material issue. The district court refused to allow the evidence to be admitted. 45 Fed.R.Ev. 608(b) generally governs the admission of extrinsic evidence going to a witness's credibility. 8 We have held, however, that when extrinsic evidence contradicts a witness's testimony on a material issue, the evidence is admissible without regard to Rule 608(b). United States v. Opager, 589 F.2d 799, 802-03 (5th Cir. 1979). As we noted in Opager, The application of Rule 608(b) to exclude extrinsic evidence of a witness's conduct is limited to instances where the evidence is introduced to show a witness's general character for truthfulness .... Rule 608(b) should not stand as a bar to the admission of evidence introduced to contradict, and which the jury might find disproves, a witness's testimony as to a material issue of the case. Id. at 801-03. 9 46 Here, the likelihood that Ellis would lose his temper and overreact to a prisoner was a material issue in the case. Ellis' flat denial that it would be possible for him to lose his temper spoke to that issue. The district court should have allowed Carson to introduce contradictory extrinsic evidence on that point to impeach Ellis. 47 The impeachment value of Holley's performance evaluation report, however, stands on a different footing. Holley never testified one way or the other on the possibility that he would lose his temper with a prisoner. Carson points to several statements made by Holley that he claims contradicts the performance evaluation report. On review of the record, however, these statements were simply denials by Holley that he actually hit or kicked Carson, not denials of a hot temper. Thus, the performance evaluation report does not contradict Holley's testimony and was properly excluded as impeachment evidence, although as set out above, it should have been admitted as tending to prove intent. 48 Carson makes the additional contention that the evidence of bad tempers of the two deputy sheriffs is admissible to rebut their allegations that they used force against Carson in self-defense. 10 Our reading of the applicable rules of evidence does not support Carson's theory. We give it only brief attention because we have already held the evidence should have been admitted on other grounds. 49 Rule 404(a), Fed.R.Ev., bars the introduction of character evidence to show that a person acted in accord with his character on a particular occasion. The rule's exclusion of such evidence applies to both criminal and civil cases. Reyes v. Missouri Pacific R. R. Co., 589 F.2d 791, 793 (5th Cir. 1979). Under the general policy of excluding character evidence, evidence of Holley's and Ellis' bad tempers would not be admissible to show that their actions toward Carson conformed to their bristly characters, even when self-defense is at issue. 50 Rule 404(a) contains three exceptions to the general ban on the use of character evidence to show action in conformity with character. The commentators have largely viewed the exceptions as applicable only to criminal cases, see 2 Weinstein & Burger, Weinstein's Evidence, P 404(03), pp. 404-20 (1981), 10 Moore's Federal Practice § 404.01(5.-1)-(a), pp. 90-92 (1982), although the wisdom of this limitation has been questioned, 22 Wright & Graham, Fed.Prac. & Pro. § 5236 p. 389 (1978). We have held that when a central issue in a case is close to one of a criminal nature, the exceptions to the Rule 404(a) ban on character evidence may be invoked. See Crumpton v. Confederation Life Ins. Co., 672 F.2d 1248, 1253 (5th Cir. 1982). 51 The circumstances under which quasi-criminal conduct warrants the introduction of character evidence in a civil suit under Rule 404(a) may not always be easy to draw. Cf. Croce v. Bromley Corp., 623 F.2d 1084 (5th Cir. 1980), cert. denied, 450 U.S. 981, 101 S.Ct. 1516, 67 L.Ed.2d 816 (1981) (allowing evidence of character traits in a civil negligence suit in order to present the case fairly to the jury). Here, however, we believe that the assault and battery with which the defendants in this suit are charged falls close to one of a criminal nature. Therefore, we apply the character evidence exceptions of Rule 404(a). Even with the exceptions, however, the performance evaluation reports tendered by Carson are not admissible for showing conduct in conformity with character. 52 Of the three exceptions allowing the use of character evidence under Rule 404(a), only one has any bearing on Carson's exhibits. Rule 404(a)(1) allows an accused to introduce evidence on a pertinent trait of his character to defend against a criminal charge, and then permits the prosecution to rebut such evidence once the accused has presented it. Here, no substantial direct testimony was presented by the defendants as to their characters for temperaments or peacefulness. The only evidence even resembling an opinion on character came out on cross-examination when Carson elicited from Ellis a statement that it was impossible that Ellis could lose his temper. Ellis' simple statement, however, presents too tenuous a basis for holding that Ellis opened the door to an attack on his character for temperance. Even though this statement rendered Ellis subject to impeachment, as we have held above, it did not constitute a sufficient placing of his character at issue to justify the admission of extrinsic evidence to attack Ellis' character. Cf. Gray v. Sherril, 542 F.2d 953 (5th Cir. 1976) (in a civil rights action against police officers, the plaintiff put his character for quarrelsomeness at issue by testifying that he was calm and reasonable, thus opening the door to rebuttal evidence; no citation to the Federal Rules of Evidence). As to Holley, there is no testimony even colorably resembling character evidence. The performance evaluation report, therefore, was not admissible to attack his character. 53 To sum up, the performance evaluation reports should have been admitted (a) against Holley to show his intent, and (b) against Ellis to impeach his denial that he could lose his temper. The reports were not admissible to show the character of either Holley or Ellis for the purpose of proving that each acted in conformity with his character. The evidentiary errors relating to these exhibits were of significance to plaintiff's case and require us to direct a new trial.