KASEY BURTON v. CITY OF ZION, LAKE COUNTY, ILLINOIS, et al.
No. 17-1557
United States Court of Appeals For the Seventh Circuit
ARGUED JANUARY 16, 2018 — DECIDED AUGUST 24, 2018
Before WOOD, Chief Judge, and ROVNER and HAMILTON, Circuit Judges.
Appeal from the United States District Court for the Northern District of Illinois, Eastern Division. No. 1:14-cv-10486 — Sheila Finnegan, Magistrate Judge.
Burton testified that this prior incident was on her mind and that she was afraid of the police when Officer Meyers tried to pull her over. As a result, she said, she did not immediately comply with Officer Meyers’ request for a stop, but instead drove her car toward her home while following all speed limits and traffic laws, where she knew she could exit her car with friendly witnesses watching. The officers also testified that they knew that Burton was heading to her house.
As she was driving home, Officer Richardt, the same officer who had been involved in the incident with Burton before, joined the pursuit, also activating his lights and siren, followed by a third officer in a third squad car, Sergeant
Burton arrived at her home and stopped her van near her friend, Dale Wells, who was with his pit bull. Officer Meyers stopped behind Burton‘s van and as he approached the driver‘s side door, Burton exited through the passenger-side door because, she alleged, the driver‘s side door was not functioning. Officer Richardt saw Burton exit the van and ran toward her commanding her to get on the ground. Officer Richardt brought Burton to the ground but did so by incorrectly executing a “straight-arm take down.” As they were on the ground, the pit bull jumped on top of Officer Richardt and bit his leg, but immediately released it without causing damage. Sergeant Arrington placed his knee on Burton‘s back as he handcuffed her then dragged her away. Burton‘s suit alleged that as a result of the incident, she suffered with pain for a month.
Burton sued the City of Zion, Officer Richardt, and Sergeant Arrington, under
I.
District courts have broad discretion in ruling on motions in limine, and we review such a ruling only for an abuse of discretion.” DiPerna v. Chicago Sch. of Prof‘l Psychology, No. 17-3351, 2018 WL 3121236, at *6 (7th Cir. June 26, 2018). We show great deference for a district court‘s evidentiary rulings. Holder v. Ill. Dep‘t of Corr., 751 F.3d 486, 493 (7th Cir. 2014). Even if we find an abuse of discretion, “[a] new trial is warranted only if the error has a substantial and injurious effect or influence on the determination of a jury and the result is inconsistent with substantial justice.” Arrigo v. Link, 836 F.3d 787, 794 (7th Cir. 2016) (citation omitted). In other words, there must be a significant chance that the flawed ruling affected the outcome of the trial. Thorncreek Apartments III, LLC v. Mick, 886 F.3d 626, 634 (7th Cir. 2018). Burton need not show that on remand a jury will come out the other way. United States v. Richards, 719 F.3d 746, 765–66 (7th Cir. 2013). She need only show that an average juror would have found the omitted evidence persuasive. United States v. Miller, 673 F.3d 688, 700 (7th Cir. 2012).
The district court granted the defendants’ motion in limine after concluding that the evidence of the prior stop was propensity evidence—evidence that Officer Richardt acted in accordance with the character of someone who uses excessive force—and, therefore under
(b) Crimes, Wrongs, or Other Acts.
(1) Prohibited Uses. Evidence of a crime, wrong, or other act is not admissible to prove a person‘s character in order to show that on a particular occasion the person acted in accordance with the character.
(2) Permitted Uses; Notice in a Criminal Case. This evidence may be admissible for another purpose, such as proving motive, opportunity, intent, preparation, plan, knowledge, identity, absence of mistake, or lack of accident.
In order to delve into an analysis under
Burton accused Richardt of using excessive force as she exited her van. Whether the amount of force an officer used is
In this case, the district court looked at the prior bad act—Officer Richardt‘s 2008 stop of and use of a taser against Burton—and analyzed it using this court‘s four-part test to determine whether prior-act evidence was admissible. That is, the court looked to see whether
(1) the evidence is directed toward establishing a matter in issue other than the [defendant‘s] propensity to commit the crime charged; (2) the evidence shows that the other act is similar enough and close in time to be relevant to the
matter in issue, (3) the evidence is sufficient to support a jury finding that the [defendant] committed the similar act, and (4) the probative value of the evidence is not substantially outweighed by the danger of unfair prejudice.
D. Ct. Order, R. 116 at 9–10, citing United States v. Vargas, 689 F.3d 867 (7th Cir. 2012).3 Using this framework as a guide, the district court determined that the evidence of the prior act could not be admitted to show Burton‘s fearful state of mind, because using an objective standard of reasonableness from the officer‘s point of view, her state of mind was not relevant to the question of whether a police officer used excessive force. R. 116 at 10. The officers could not have known what was going through Burton‘s mind, the district court explained, and therefore her fearful state of mind was not relevant to the assessment of reasonableness. Id.
Likewise, the district court reasoned that the evidence could not have been relevant to show the totality of the circumstances either because, again, Officer Richardt could not
Having evaluated the facts through the lens of the four-part test, the district court granted the defendant‘s motion in limine, barring any mention of the evidence of Burton‘s prior encounter with Officer Richardt as propensity evidence. Id. at 13. The jury would never hear that five years earlier, Officer Richardt had fired a taser at Burton while she was handcuffed.
The problem, however, is that this court eschewed that four-part test three years prior to the district court‘s order, “abandon[ing] it in favor of a more straightforward rules-based approach.” United States v. Gomez, 763 F.3d 845, 853 (7th Cir. 2014). The decision in Gomez stated that the change is “less a substantive modification than a shift in paradigm.” Id. This is true in the sense that the former test was legitimate to the extent that it reflected the requirements of the Federal Rules of Evidence. But, we noted, using the test allowed for the possibility that “misapplication of the law can creep in.” Id. In other words, legal error was a possibility because “some aspects of [the previous] test lack[ed] an adequate basis in the rules.” Id. Thus we warned that using the test could lead to
After rejecting the four-part test of Vargas, (and, by extension, United States v. Zapata, 871 F.2d 616, 620 (7th Cir. 1989), and United States v. Shackleford, 738 F.2d 776, 779 (7th Cir. 1984)) we set forth a new framework that weighs the relevance of other-act evidence directly, using the Federal Rules of Evidence as a guide. Under that framework,
to overcome an opponent‘s objection to the introduction of other-act evidence, the proponent of the evidence must first establish that the other act is relevant to a specific purpose other than the person‘s character or propensity to behave in a certain way. See
Fed. R. Evid. 401 ,402 ,404(b) . Other-act evidence need not be excluded whenever a propensity inference can be drawn. But its relevance to “another purpose” must be established through a chain of reasoning that does not rely on the forbidden inference that the person has a certain character and acted in accordance with that character on the occasion charged in the case. If the proponent can make this initial showing, the district court must in every case assess whether the probative value of the other-act evidence is substantially outweighed by the risk of unfair prejudice and may exclude the evidence under Rule 403 if the risk is too great. The court‘s Rule 403 balancing should take account of the extent to which the
non-propensity fact for which the evidence is offered actually is at issue in the case.
Although some of the changes between the four-part test the district court used and the new rules-of-evidence-based test reflect more of a change in process than substance, in other ways Gomez altered the framework in ways that are significant to the outcome of this case. Specifically relevant to this case, Gomez rejected the rigid application of the rule requiring a court to look at the similarity and recency of the prior act. Instead, we noted that if we look more generally to the Federal Rules of Evidence to guide our analyses,
the need to check for similarity and recency may be substantially diminished or nonexistent depending on the particular purpose for which the evidence is offered. In some cases the relative similarity of the other act to the charged offense may be unimportant as a test of relevance. ... It‘s far too tempting to stop at superficial comparisons without meaningfully analyzing how the similarity and recency of the prior bad act affect its relevance in the unique circumstances of the case. And the similarity and timing of the other act may not bear on the relevance question at all.
Id. at 854 (internal citations omitted). In short, sometimes similarity or recency or both will be relevant to the inquiry and sometimes they will not. If they are not, then a court may not reject the evidence based on a lack of similarity or recency. In this case, they were not relevant.
The district court erred, therefore, by applying a legal test this court has rejected and by rigidly applying the similarity and recency rule to find that the prior incident was “neither sufficiently similar nor close in time to be probative.” R. 116 at 11. The district court found that the prior incident had occurred some five and a half years before the March 2014 arrest, that it involved different initiating officers, that Burton was pulled over for different infractions, and Officer Richardt‘s alleged excessive force in 2008 involved a taser rather than a “takedown.” But the district court erred by clinging too tightly to the requirements of similarity and recency, as the need to check for these “may be substantially diminished or non-existent depending on the particular purpose for which the evidence is offered.” Gomez, 763 F.3d at 854. This is just such a case. As we will explain below, the only reason for which the prior incident would have been relevant was to show Officer Richardt‘s knowledge—to prove that Officer Richardt knew that Burton had a previous frightening and painful encounter with the police, and not to show that Officer Richardt has a tendency to use excessive force. The similarity between the prior incident and this one, therefore, was not relevant. And for the same reason, recency would only matter if, in fact, the prior incident had happened so long ago that Officer Richardt could not have remembered it. We think this unlikely. After the prior incident, the City investigated and sustained the allegations that Officer Richardt used unnecessary force. Burton filed a federal lawsuit with Officer Richardt as the named defendant which the City eventually settled. It seems the type of event he was unlikely to have forgotten, even after five and a half years.
As we have just foreshadowed, we must now turn to the theory of this particular case and evaluate the potential uses
When evaluating the reasonableness of a police officer‘s use of force, the key question is “what the officer knew at the time.” Kingsley, 135 S. Ct. at 2473. A plaintiff must show the officer‘s use of force was objectively excessive from the perspective of a reasonable officer on the scene under the totality of the circumstances. Graham, 490 U.S. at 396–97. Reasonableness depends on the facts and circumstances confronting an officer at the time. Kisela, 138 S. Ct. at 1152. And, as the Supreme Court and this court have emphasized again and again, a court must consider “the amount and quality of the information known to the officer at the time.” Horton v. Pobjecky, 883 F.3d 941, 949–50 (7th Cir. 2018) (citation omitted). See also Cty. of Los Angeles, Calif. v. Mendez, 137 S. Ct. 1539, 1546–47 (2017) (“Excessive force claims are evaluated for objective reasonableness based upon the information the officers had when the conduct occurred.“) citing Saucier v. Katz, 533 U.S. 194, 207 (2001); Doornbos v. City of Chicago, 868 F.3d 572, 579 (7th Cir. 2017) (“In deciding excessive force claims, the issue is whether an officer‘s use of force was objectively reasonable given the information he or she knew at the time.“); Common v. City of Chicago, 661 F.3d 940, 943 (7th Cir. 2011) (“A jury must stand in the shoes of an officer and judge the reasonableness of his actions based on the information he possessed.“).
Thus, the entire question in an excessive force case boils down to this: Was the officers’ force, in light of the facts and circumstances before them and known to them at the time, reasonable. Because the keystone question in this case was
Although neither Burton‘s state of mind nor Richardt‘s subjective intent were relevant, Officer Richardt‘s knowledge at the time certainly was. The fact that Burton had previously been subjected to excessive police force was one of the facts and circumstances known to Officer Richardt and to the officer who stopped her, Officer Meyer. See R. 68-4 at 17. And it would be hard to imagine that this knowledge was not running through their minds as they assessed the situation. The knowledge was indeed critical. It explained why Burton did not immediately stop. It explained why she would drive to a familiar place with friendly witnesses. It explained why she might exit the car away from the officers.4 It surely would have been a known fact and circumstance that a reasonable officer would have put in the mix when assessing the level of force required to subdue her. In other words, the officers had some information about why Burton may not have stopped
Q. I‘m not asking you how she felt. Would it be reasonable to understand — Given that your job, your training, is to take into consideration the thoughts and mental processes of others as part of your totality of circumstances test — just taking that into consideration — would it be reasonable and part of your job to take that into consideration attributable to your job?
A. Yes.
Q. So would it be reasonable to take into consideration, from your point of view, that Ms. Burton may be afraid of you at the time you arrested her?
A. I don‘t know if she was afraid of me or not.
Q. I‘m not asking if she is afraid of you. Would it be reasonable for you to take that into consideration that at the time you arrested her in March 2014 —
A. Yes.
Q. — that she was afraid of you? Okay. And it would be reasonable for her — Strike that. It would be reasonable to take that into consideration given that there was a finding by your Department that you had used too much force with her back in 2008, correct?
A. Right.
Q. And she filed a lawsuit against you, right?
A. Right.
Q. And do you know that the City paid a significant sum of money attributable to that lawsuit?
A. Yes.
Q. Okay. So in her mind as a civilian, you could appreciate that she may have some significant concerns attributable to you, correct?
A. Right.
Q. I‘m not saying she is right or wrong about those concerns. I‘m saying: As a civilian — not a cop, not a judge, not an attorney — she may have her own personal concerns, right?
A. Yes.
Q. That is something you should take into consideration when you‘re arresting her, right?
A. Yes.
R. 68-6 at 26–28. Officer Richardt did not need to know how Burton felt at the time, he only needed to know that she had been handcuffed and tasered by a police officer before, that such an experience would have been painful and unpleasant, that the City of Zion had determined that the action was unwarranted, and that a reasonable person would not want to have it happen again. He knew all of these things. We need not focus on whether Officer Richardt took this knowledge into consideration (although he testified that it was something “he should take into consideration” R. 68-6 at 28), we need only focus on whether it is the kind of information that a reasonable officer should take into consideration. Officer Richardt‘s testimony is merely additional evidence of what a reasonable police officer would do.
Moreover, we know that the question “why did Burton refuse to stop” was a key question facing the jury because the defendants made it so. They mentioned her mysterious refusal to stop no less than eight times in closing argument as follows:
- Now you have seen and heard multiple times now plaintiff did not stop properly. R. 141 at 30.
- Instead of stopping she went to her home. Id.
- You heard that Officer Meyers activated his lights, his sirens, and attempted to pull her over, [B]ut she didn‘t stop. Id.
It is undisputed that they tried to pull her over, that she knew they were trying to pull her over. Id. at 34. - They attempted to get her to stop. Sergeant Arrington pulled in front of her. She didn‘t stop. She went home. Id. at 38.
- After a sequence of events wherein they tried — tried to use the lower — presence commands. She didn‘t comply. Id.
- It was escalating because she failed to comply. And there was a chase. Id. at 40.
- Again, we have to consider what they knew. They didn‘t know whether she had a gun. They didn‘t know whether she had drugs. All they knew is that she wasn‘t going to stop. Id. at 42.
The last comment was particularly ironic because, in fact, Burton was the one who wanted the jury to consider everything the officers knew. But it was the defendants who fought the admission of a key piece of their knowledge. It was not in fact true that “[A]ll they knew is that she wasn‘t going to stop.” They also knew that she had been on the receiving end of excessive force by police in the past.
In other words, although they could not have known for certain what was in her mind, they did know the following: (1) she had been stopped before, handcuffed, and stunned with a taser; (2) this behavior was found to be an excessive use of force; (3) being subjected to a taser is painful, distressing and, quite literally, stunning; (4) a reasonable person
To see why this is clear, we present a few hypothetical scenarios. Suppose Officer Richardt encountered a deaf suspect — we will call her Sophia — and, after calling to her to stop several times, she does not stop (because, of course, she cannot hear him) and he fires his taser to stop her, only to find out, after the fact, that she is deaf. In all likelihood a finder of fact might give his use of this force a pass because, at the time of the events, Officer Richardt could not have known that the suspect was deaf. Now, however, suppose he encounters Sophia six years later, radios to his commander that he is following “Sophia,” and once again he calls to her from behind and she does not stop. This time if he uses a taser to stop her, or tackles her, or uses a “straight arm takedown,” a jury could certainly find that this use of force was excessive in light of the facts known to the officer at the time — that Sophia could not respond to his order because she could not hear it. It would be error for a trial judge to exclude the evidence that Officer Richardt knew the suspect was deaf. That evidence, after all, is not being used to demonstrate propensity — that Officer Richardt was the type of person who was too quick to use a taser or other excessive force — but rather it was being used only to demonstrate that he knew about some
Moreover, imagine the same scenario above, except this time, a different officer fired his taser at the deaf suspect, Sophia, during the first episode, but it is undisputed that Officer Richardt knew about the incident and knew that Sophia was deaf. It would still be relevant evidence — offered not to demonstrate anyone‘s propensity for excessive force, and certainly not Officer Richardt‘s, but rather, to show that Officer Richardt knew Sophia was deaf and yet used force to subdue her when she refused to heed his oral command.
Gomez requires reflective discretion — that is, “identifying the non-propensity theory that makes the other-act evidence relevant and specifically asking how the evidence tends to make a particular fact of consequence more or less probable.” Gomez, 763 F.3d at 856. Other-act evidence need not be excluded whenever a propensity inference can be drawn, provided its relevance to another purpose can be established through a chain of reasoning that does not rely on the forbidden inference. Id. at 860. This requires more flexibility in analysis than the Vargas factors allow.
Finally, we address the application of
The district court did not have reason to consider Rule 403‘s weighing requirements while considering the other Vargas factors or the nature of the previous stop overall, because it found that the evidence should be excluded under
Having decided that the evidence was not barred by
The district court will also have to consider how highly probative the evidence of the prior stop would be. Burton‘s failure to stop must have raised myriad questions for the jury. Most law-abiding citizens stop for the police, and we can assume that most, if not all, members of the jury have never refused to stop for the police. There are usually two primary reasons that a person would refuse to stop for the police. First, and more commonly, if she is guilty of a crime and trying to escape or get rid of evidence, or second, if she is in fear, either of the police or of the potential that the pursuer is an imposter. The 2008 evidence was probative of this critical question that was likely on every juror‘s mind.
II.
The fact that Burton had been subjected to excessive force by the police on a prior occasion was not propensity evidence and could not be excluded under
