Opinion ID: 476759
Heading Depth: 1
Heading Rank: 3

Heading: Adequacy of the court's cautionary instruction for protection of Van Y.

Text: 41 In an effort to avoid prejudice to Van Y as a result of the introduction against Garot of evidence found in his closet, the district court issued the following cautionary instructions: 42 There are two defendants here on trial. And ladies and gentlemen, it does not follow from that fact alone that if one may be found guilty, both are guilty. Each individual defendant is entitled to a fair consideration of the evidence in his defense and is not to be prejudiced by the fact, if it should become a fact, that you find against one of the co-defendants. Unless otherwise stated, all instructions given to you govern the case as to each defendant individually. You see and the court so advises that a separate crime or offense is charged by each separate count contained in the indictment. Each crime or offense as charged and the evidence applicable thereto should be considered separately. The fact you may find a defendant guilty or not guilty of one crime or offense should not control your verdict with reference to any of the other crimes or charges. 43 .... 44 Now, as to the government's exhibits number 2, 4, and 6 which the court admitted, these matters were admitted as found in the home of the defendants during the search of the home. You're instructed that these matters may be considered by you only as they may be evidence of knowledge and/or intent of a defendant of the contents, knowledge that person may have, of the contents of the box which was delivered December the 21st of 1984 and for no other purposes. And, in any event, such should be considered by you only in your consideration of the evidence regarding the defendant, Robert Lee Garot, and not considered as to the co-defendant. 45 T.Tr., Vol. II, 144, 145. 46 Van Y claims introduction of the evidence prejudiced her in a manner that could not have been overcome by the instructions. The government responds that the need for savings in judicial resources often necessitates joint trials and that the limits of what a co-defendant must endure are set by the Rule 403 analysis which the trial judge undertook with great care. Appellee's brief at 9. Both parties refer to United States v. Figueroa as controlling authority on the issue of admissibility of evidence against co-defendants in a joint trial. 618 F.2d 934 (2d Cir.1980). The Court in Figueroa addressed the issue as revolving on questions of severance and admissibility, as follows: 47 When evidence is offered against one defendant in a joint trial, determination of admissibility against that defendant resolves only the Rule 403 balancing as to him, i.e., that the probative value of the evidence in his 'case' is not substantially outweighed by unfair prejudice to him. But if the evidence creates a significant risk of prejudice to the co-defendants, a further issue arises as to whether the evidence is admissible in a joint trial, even though limited by cautionary instructions to the 'case' of a single defendant. That issue can be considered either as a question of admissibility or severance. If the justification for a joint trial is out-weighted by the prejudice to the co-defendants, the trial court can confront the prosecutor with the choice of foregoing either the evidence or the joint trial. See United States v. Glover, 506 F.2d 291, 294 (2d Cir.1974); United States v. Truslow, 530 F.2d 257 (4th Cir.1975); cf. Bruton v. United States, 391 U.S. 123, 143-44; 88 S.Ct. 1620, 1631-1632, 20 L.Ed.2d 476 (1968) (White, J., dissenting). 48 Id. at 944, 945 (emphasis in original). Figueroa further noted that sometimes evidence is admitted against one defendant, leaving the issue as to the co-defendants to be resolved solely under the severance standards of Fed.R.Crim. p. 14. 6 Id. at 945. 49 In this case, an in camera conference was held during which the district judge discussed with defense counsel, Mr. Ravits, the motion to sever which was brought the Friday before trial commenced the following Monday. Mr. Ravits said both defendants intended to testify and he believed their testimonies about the ownership of the controlled delivery package could be contradictory and therefore prejudicial. After further conversation concerning defendants' common defenses of lack of motive, knowledge, and intent, the district judge observed and Mr. Ravits agreed that the defense posture would be the same regardless of severance trials, whereupon Mr. Ravits voluntarily withdrew the motion. 7 C.Tr. 5, 6. We find defense counsel's decision to proceed with a joint trial was made after consideration of the potential effect of the evidence on the jury. Thus, upon resolution of the severance issue and in light of the above Rule 403 analysis as to the admissibility of the subject exhibits, the sole question remaining is whether the cautionary instruction given was sufficient to prevent undue prejudice to Van Y that might have resulted from the admission of the items found in Garot's closet. 50 Distinguishing the weight of admitting a confession from that of admitting evidence of other acts, the Figueroa Court said that prior act evidence is not so inevitably prejudicial to co-defendants that the worth of limiting instructions can be totally discounted. Id., at 946. However, that Court noted that limiting instructions are no guaranty against prejudice, see e.g., United States v. Zane, 495 F.2d 683, 694 (2d Cir.1974), and that 51 [t]he risk of prejudice to a co-defendant from evidence of one defendant's prior acts depends on an assessment of how that evidence might affect the jury's consideration of a co-defendant's guilt, despite limiting instructions. Of course, all prior acts evidence that tends to prove the guilt of one defendant might be viewed by the jury as bearing to some extent on the guilt of the co-defendants if the jury thought that the correctness of the prosecution's accusation against one defendant supported an inference that the prosecution may also be correct in its accusation against co-defendants. But that possible inference is far too tenuous to bar admissibility of evidence in a joint trial. An arguably more likely risk of prejudice might arise if the jury were simply to draw an adverse inference against the co-defendants because of their association with a defendant shown to have a prior criminal record. That risk also seems too insubstantial in most circumstances to survive forceful instructions. 52 Id. (emphasis added). After stating cautionary instructions were sufficient to protect a co-defendant in the two above-described scenarios, Figueroa referred to as an extreme example that raises a close question, the admission of a defendant's confession proving directly or by strong implication the co-defendant participated in the prior act. In the present case, no prior conviction is involved, and the evidence at issue clearly did not carry the weight of a confession. Any prejudice that Van Y might have suffered by the introduction of the exhibits appears to fall somewhere in the area of guilt by association discussed above, the inference of which is not strong enough to survive cautionary instructions. Van Y argues that admission of the exhibits created the implication she knew their contents because she shared the house with Garot; however, she had adequate opportunity at trial to set out her complete defense, and no contradictory testimony was offered. We note that perhaps the most damning evidence on the issue of Van Y's knowledge of the contents of the controlled delivery package were her statements, her use of the pseudonym Sam Garot 8 on signing for the package, and her general lack of shock or surprise at the discovery of the child pornography in her home. 53 Evidence is prejudicial only when it tends to have some adverse effect upon a defendant beyond tending to prove the fact or issue that justified its admission into evidence Id. at 943; United States v. Briggs, 457 F.2d 908, 911 (2d Cir.), cert. denied, 409 U.S. 986, 93 S.Ct. 337, 34 L.Ed.2d 251 (1972). We find insubstantial any prejudice that may have occurred to Van Y by the admission of the exhibits in question and rule the cautionary instructions provided her sufficient protection at trial by explicitly limiting the purposes for which the evidence could be considered. 54