Opinion ID: 527780
Heading Depth: 1
Heading Rank: 8

Heading: the admission of soto's complaint files

Text: 144 Defendants next protest the admission into evidence of Plaintiff's exhibit 25, which contained case files concerning past civilian complaints against defendant Soto. Defendants make the following arguments against its admissibility: (1) it constitutes a violation of Fed.R.Evid. 404(b)'s prohibition on the use of prior bad acts evidence; (2) the prejudicial impact of the files upon the jury substantially outweighed any probative value they may have possessed; and (3) the files contained inadmissible hearsay. We address each of these concerns.A. The Evidence 145 As already discussed, Soto had been the subject of at least thirteen civilian complaints charging him with misconduct. In twelve of these cases, the charges were eventually dismissed. Plaintiff sought to introduce the case files of these complaints, which contained witness statements, internal reports, recommendations, and investigative findings, against Cartagena and Alvarez. It was plaintiff's theory that the files were relevant to prove: (1) that his [Soto's] supervisors knew or should have known that he had been the subject of multiple citizen abuse complaints; and (2) that Defendant Desiderio Cartagena's system of discipline did not adequately address potential dangers such as that represented by police officers such as Pedro Soto. Brief for Appellee at 41. The judge admitted the files into evidence and carefully instructed the jury during the trial and in his final charge that the case-file evidence could only be used for those two, limited purposes. B. Fed.R.Evid. 404(b) and 403 146 Defendants argue that the case-file evidence should have been excluded under Fed.R.Evid. 404(b), which provides: 147 Evidence of other crimes, wrongs, or acts is not admissible to prove the character of a person in order to show action in conformity therewith. It may, however, be admissible for other purposes, such as proof of motive, opportunity, intent, preparation, plan, knowledge, identity, or absence of mistake or accident. 148 They assert that the evidence was introduced for the improper purpose of tainting the jury against defendants based upon Soto's complaint history and that its prejudicial impact substantially outweighed its probative value. We cannot agree. 149 Our approach to the analysis of issues raised under Rule 404(b) is well established. See Huddleston v. United States, 485 U.S. 681, 108 S.Ct. 1496, 1499-1501, 1502, 99 L.Ed.2d 771 (1988) (discussing applications of Rule 404); United States v. Fields, 871 F.2d 188, 196 (1st Cir.1989). We must first ask whether the evidence of prior bad acts was introduced for a legitimate purpose. See Huddleston, 108 S.Ct. at 1499; United States v. Gonzalez-Sanchez, 825 F.2d 572, 579-80 (1st Cir.) (stating that evidence must have a special relevance other than proving propensity), cert. denied, 484 U.S. 989, 108 S.Ct. 510, 98 L.Ed.2d 508 (1987); United States v. Scelzo, 810 F.2d 2, 4 (1st Cir.1987). If it was introduced for a proper purpose, we next determine whether considerations of substantial prejudice require its suppression under Rule 403. United States v. Fields, 871 F.2d at 196; United States v. Flores Perez, 849 F.2d 1, 4 (1st Cir.1988); Scelzo, 810 F.2d at 4; see also 1 J. Weinstein & M. Berger, Weinstein's Evidence p 403- (1988); 2 J. Weinstein & M. Berger, Weinstein's Evidence p 404 (1988). Both of these inquiries are governed by the abuse of discretion standard. United States v. Santiago Soto, 871 F.2d 200, 204 (1st Cir.1989); Fields, 871 F.2d at 196; United States v. Rubio-Estrada, 857 F.2d 845, 845-46 (1st Cir.1988). 150 The complaint files were relevant to prove the supervisory liability of Cartagena and Alvarez. They were not introduced to show that based upon Soto's past conduct it was likely that he participated in the Gutierrez shooting. The evidence was not used to prove conduct, period. As was repeatedly stressed by the district court, the evidence could only be used against Cartagena and Alvarez to show gross lapses in the supervision and discipline of Soto. See In re Air Crash in Bali, 684 F.2d 1301, 1315 (9th Cir.1982) (evidence of pilot's prior poor flight record admissible against airline to show it had notice of his inabilities). Since the evidence was relevant on that question and was not used to prove conduct, we turn to Rule 403. 151 We note first that under Rule 403 the delicate balancing between the probative value of a piece of evidence and its prejudicial effect is committed to the trial court's discretion. Bordanaro v. McLeod, 871 F.2d at 1166; see Onujiogu v. United States, 817 F.2d 3, 6 (1st Cir.1987) (collecting First Circuit cases). We search only for an abuse of discretion, see United States v. St. Michael's Credit Union, 880 F.2d 579, 599-600 (1st Cir. 1989) (collecting First Circuit authorities). We have stated: Only rarely--and in extraordinarily compelling circumstances--will we, from the vista of a cold appellate record, reverse a district court's on-the-spot judgment concerning the relative weighing of probative value and unfair effect. Freeman v. Package Machinery Co., 865 F.2d 1331, 1335 (1st Cir.1988); see 1 J. Weinstein & M. Berger, Weinstein's Evidence, p 403 (1988). 152 The case-file evidence was highly probative on the issue of the supervisory liability of Cartagena and Alvarez. It helped the jury determine whether the responses of Cartagena and Alvarez to the complaints against Soto were improper and whether the disciplinary system was sorely inadequate. Against this, Cartagena and Alvarez assert that the admission of the case files and testimony concerning them resulted in an adjudication on the merits of all of the past complaints against Soto. This, they argue, likely confused the jury and invited them to second-guess the conclusions of the police department that led to the dismissal of most of Soto's misconduct charges. We do not believe that either of these arguments proves an abuse of discretion. The district judge believed that the probative value of these files on the issue of supervisory liability was important and somewhat unique. While it is true that as a result of their admission, the jury had before it the facts of thirteen different cases, we cannot conclude that the confusion or prejudice caused thereby was so unfair or outrageous that it substantially outweighed the evidence's probative value. See Fed.R.Evid. 403. This is especially so where the files concerned prior, alleged misconduct of Soto--not of Cartagena or Alvarez. Any prejudice resulting from their admission would thus most strongly be felt by Soto. 153 Defendant Soto also claims that the introduction of the case files unduly prejudiced his case. See Fed.R.Evid. 403. As stated previously, the files were not introduced to show Soto's propensity for violence or to prove that he acted in conformity with his past behavior on the night of December 9, 1983. In fact, the evidence was not introduced against Soto for any purpose. Soto argues, however, that the jury may have used that evidence for just such an improper purpose and may have held the prior incidents of misconduct against him in evaluating his case. While this is a much closer question than that presented by Cartagena and Alvarez, we find no abuse of discretion. 154 We base our decision primarily upon the care with which the district court instructed the jury concerning the case files. The district court judge instructed the jury that the case files could only be used for a specified and limited purpose: 155 Now, the purpose of this [the case-file evidence] is not to prove the character of Soto, or to show that he had a propensity for violence, that's not the purpose of introducing them in to evidence. And therefore, I instruct you that you may not consider it for such purpose. Instead you must weigh that evidence in deciding whether or not the codefendants Desiderio Cartagena and Domingo Alvarez, as the supervisors of Pedro Soto acted in a manner consistent with their responsibility. That is, whether or not they had knowledge of circumstances that could have forewarned them of plaintiff's shooting. 156 In addition to determining whether or not these two defendants had knowledge and failed to act within their duties, you must determine whether or not such inaction constitutes deliberate indifference or careless disregard to the constitutional rights of the plaintiff. I will later explain to you the degree of negligence needed to establish liability. 157 But at this time I instruct you not to consider these administrative complaints for judging Pedro Soto's character, or his propensity to violence, but to determine the nature of his supervisors' inaction and if there was a connection between that failure to act and the alleged injury to the plaintiff. 158 Instructions similar to the above were given four other times during the trial and were included in the judge's final charge to the jury. The instructions clearly explained the purposes for which the evidence could be used. More significantly they admonished the jury that it could not use the evidence against Soto for any purpose. 159 The advisory committee's note to Rule 403 states: In reaching a decision whether to exclude on grounds of unfair prejudice, consideration should be given to the probable effectiveness or lack of effectiveness of a limiting instruction. While we agree that limiting instructions may not always be effective, see, e.g., United States v. Garcia-Rosa, 876 F.2d 209, 221-22 (1st Cir.1989), in the case at bar, we are satisfied that they were. The instructions were plain, to the point, and oft repeated. 14 We will not lightly assume that the jury disregarded such clear direction. Indeed, in the more extreme case of evaluating the effect of curative instructions following the mistaken introduction of inadmissible evidence the Supreme Court has held: 160 We normally presume that a jury will follow an instruction to disregard inadmissible evidence inadvertently presented to it, unless there is an overwhelming probability that the jury will be unable to follow the court's instructions, Richardson v. Marsh, 481 U.S. 200, 208 [107 S.Ct. 1702, 1707, 95 L.Ed.2d 176] (1987), and a strong likelihood that the effect of the evidence would be devastating to the defendant, Bruton v. United States, 391 U.S. 123, 136 [88 S.Ct. 1620, 1628, 20 L.Ed.2d 476] (1968). 161 Greer v. Miller, 483 U.S. 756, 766 n. 8, 107 S.Ct. 3102, 3109 n. 8, 97 L.Ed.2d 618 (1987). 162 We have been able to locate only one court of appeals decision factually on point. In Carter v. District of Columbia, 795 F.2d 116 (D.C.Cir.1986), evidence concerning past complaints against individual police officers was admitted to show the city's knowledge of and indifference to the past misconduct in order to establish municipal liability under Sec. 1983. Although the evidence was not offered against the individual officers and limiting instructions were given to that effect, the court held that the danger of unfair prejudice to the individual officers outweighed the probative value of the reports. See id. at 128-32. In making its decision, the court focused upon the fact that the evidence lacked probative value and that there were other, less prejudicial means available to establish municipal liability. See id. at 131-32. The court hypothesized that plaintiff could have established what type of municipal policy or custom existed concerning the review of civilian complaints merely by introducing summaries of the complaints without noting specific details or which particular officers were involved. See id. As the proof required to establish the existence of a municipal policy or custom does not focus on a single incident or a single officer, see, e.g., Tuttle, 471 U.S. at 822-24, 105 S.Ct. at 2435-37 (plurality opinion of Rehnquist, J.), the admission of the prejudicial files was deemed unnecessary. 163 The case at bar presents a different scenario. Here the issue focused upon the supervision of a specific, individual officer, defendant Soto. The responses of his supervisors to his past alleged misconduct and the effectiveness of the police disciplinary mechanism were highly probative on the issue of supervisory liability. Unlike in Carter, there were no other, less prejudicial, methods of proof available to the plaintiff. He could not have used nameless complaints as it was the involvement of Soto that made the evidence relevant. Nor could he have used only summaries of the complaints. It was necessary in evaluating the disciplinary system used by Cartagena, to examine how and why an officer with Soto's history was not red flagged before the night of December 9, 1983. The decision to place Soto in command of the patrol of December 9, 1983 was inextricably intertwined with Soto's past record. 164 The district court was obviously sensitive to the danger of prejudice that this evidence presented to Soto. He weighed that against its probative value and the curative effect of limiting instructions, and concluded that the evidence was admissible. See Greer, 483 U.S. at 766 n. 8, 107 S.Ct. at 3109 n. 8; United States v. Marler, 756 F.2d 206, 216-17 (1st Cir.1985) (noting curative effect of limiting instructions); United States v. Gonsalves, 668 F.2d 73, 75-76 (1st Cir.) (same), cert. denied, 456 U.S. 909, 102 S.Ct. 1759, 72 L.Ed.2d 168 (1982); United States v. Ramirez-Amaya, 812 F.2d 813, 817 (2d Cir.1987) (same). Our past decisions have authorized the exclusion of evidence only in those instances where the trial judge believes that there is a genuine risk that the emotions of the jury will be excited to irrational behavior, and this risk is disproportionate to the probative value of the offered evidence. United States v. Zeuli, 725 F.2d 813, 817 (1st Cir.1984) (quoting United States v. Masters, 622 F.2d 83, 87 (4th Cir.1980)); see Fields, 871 F.2d at 198 (noting same). The district court's decision to admit the case-file evidence was not an abuse of discretion. C. Fed.R.Evid. 801 & 803(8)(C) 165 Cartagena and Alvarez argue that the files and the statements contained therein are inadmissible hearsay. They maintain that under Rule 803(8)(C), only the factual findings contained in the reports are admissible. It is unnecessary to examine the scope of this hearsay exception because we find that the statements and the case files do not constitute hearsay. 166 Fed.R.Evid. 801(c) defines hearsay as a statement, other than one made by the declarant while testifying at the trial or hearing, offered in evidence to prove the truth of the matter asserted. (emphasis added); see Ricciardi v. The Children's Hospital Medical Center, 811 F.2d 18, 20 & n. 1 (1st Cir.1987) (citing definition); 4 J. Weinstein & M. Berger, Weinstein's Evidence p 801(a) (1988). Plaintiffs offered these files not to prove that the allegations contained therein were true, but to show flaws both in the supervision of Soto by Cartagena and Alvarez and in the disciplinary system used by Cartagena. The question was not whether the complaints against Soto were true, but rather what was the proper supervisory response to the complaints and how did the disciplinary system deal with them. 167 The evidence showed that the disciplinary system used by Cartagena failed to take account of past complaints in investigating officers' conduct. This made it very difficult to detect a pattern of misconduct. There was expert testimony that, regardless of whether the complaints were true or false, the pattern established by their volume and similarity should have signalled to the supervisors that greater investigation was needed to determine what was at the bottom of the problem. The disciplinary system was not designed to reveal such patterns and neither Cartagena nor Alvarez personally acknowledged that a problem existed with Soto. Despite the aberrational number of complaints against him, Soto's supervisors turned a blind eye to the possibility of misconduct and failed to properly investigate a potentially violent officer. Instead of being red flagged by his supervisors, Soto received good evaluations, commendations and command responsibility. The case files were introduced for a proper, limited purpose and therefore cannot be considered hearsay. See Fed.R.Evid. 801(c); Boston Athletic Ass'n v. Sullivan, 867 F.2d 22, 31 (1st Cir.1989); United States v. Mazza, 792 F.2d 1210, 1215 (1st Cir.1986), cert. denied, 479 U.S. 1086, 107 S.Ct. 1290, 94 L.Ed.2d 147 (1987).