Lead Opinion
Chief Judge JACOBS dissents in a separate opinion.
Dеfendant-Appellant Lance White was convicted, after a jury trial, of being a felon in possession of a firearm. He was sentenced to 235 months’ imprisonment and five years’ supervised release. The testimony at trial established that White was traveling in a minivan with four women on the day of his arrest. During a stop and frisk, one firearm was allegedly recovered from White’s pocket and two firearms were recovered from the purse of one of the other occupants of the vehicle. The defense’s strategy at trial was to seek to demonstrate that the first of these firearms was found in the vehicle and not on White’s person.
At trial, the district court excluded two crucial pieces of evidence. First, the court
The court also excluded evidence of a prior judicial finding that discredited the testimony of a Government witness. When it did this, the court did not have the benefit of our decision in United States v. Cedeño,
Finally, neither of these errors was harmless. The excluded evidence spoke directly to a critical element of the Government’s case and its exclusion prevented White from presenting a complete defense. Accordingly, the judgment of conviction of the district court is VACATED and the case is REMANDED for proceedings consistent with this opinion.
I. BACKGROUND
On August 6, 2008, acting on information provided by a confidential informant, a joint task force of the Federal Bureau of Investigation (“FBI”) and the New York City Police Department (“NYPD”) stopped a maroon minivan in Queens, New York. The minivan was occupied by Lance White and four women. A search of the vehicle resulted in the recovery of three firearms, one of which was allegedly found in White’s right front pocket. White was indicted for possession of a firearm by a person previously convicted of a felony, in violation of 18 U.S.C. § 922(g)(1).
A. Pretrial Motions
1. Other Occupants
Prior to trial, the Government moved to bar evidence relating to the arrests, charging dеcisions, and subsequent case histories of the four women arrested with White. At the time of White’s arrest, law enforcement officials recovered three firearms — one allegedly from White’s pocket, and two from a purse belonging to one of the other occupants of the vehicle, Shatisha Jennings. All five individuals were arrested and charged on the same day in state court with possession of all three firearms. The State District Attorney’s Office later dismissed all charges against three women and White (who had been charged federally). As of December 1, 2009, just Jennings, the owner of the purse, remained charged by the state. She
Moving to exclude the evidence, the Government argued that the case histories of the four women were irrelevant since there is a presumption under New York law that any passenger in a vehicle is “in possession” of any weapon found there. It argued, therefore, that admitting evidence about the arrests and pending charges would raise confusing and complex issues, including an explanation of constructive possessiоn under New York law. The Government also contended that the evidence would invite speculation by the jury about the status of the other individuals’ cases. Defense counsel, in response, pressed the relevance of the evidence, asserting that the arrests and charging decisions increased the likelihood that the firearm allegedly found on White’s person was instead possessed by the other occupants or physically in the vehicle generally. The defense also noted that New York Penal Law § 265.15(3) contains an exception to the constructive possession provision that applies to firearms found on the person of one of the occupants of a vehicle. In view of this exception, defense counsel argued that if the firearm had actually been recovered from White’s pocket, charging the other occupants with possession of that same weapon would have 'been improper under New York law.
The district court granted the Government’s motion, concluding that the Government’s charging decisions were irrelevant to the question of whether White possessed a firearm. United States v. White, No. 08-CR-0682 (NGG),
Following the district court’s ruling, White filed a “Motion for Clarification,” seeking to introduce a “Request for Laboratory Examination Report” relating to the charges against Jennings (the purse owning occupant). On the report, in a box labeled “Briefly Describe Case,” the following was stated: “AT T/P/O DEFT WAS FOUND TO BE IN POSSESSION OF 3 LOADED FIREARMS.” Defense counsel argued that this statement was a “factual observation” by at least one of the officers that Jennings physically possessed all three firearms recovered from the minivan, including the firearm allegedly recovered from White’s pocket.
In opposition, the Government presented a document with respect to White, which contained the identical language: “AT T/P/O DEFT WAS FOUND TO BE IN POSSESSION OF 3 LOADED FIREARMS.” The Government also presented printouts of “Complaint Report” forms for all five individuals arrested on August 6, 2008. The form for each of these individuals stated in a text box labeled “Details” that “AT T/P/O DEFT WAS FOUND IN POSSESSION OF THREE LOADED FIREARMS.”
The court held that the similarity in the phrasing on all the forms indicated that the statements were charging decisions as opposed to factual observations by the officers, and noted that “[i]n this context,
2. Impeachment Evidence
The Government also moved to preclude cross-examination of a Government witness, Detective Paul Herrmann, regarding testimony Herrmann had given before District Judge Frederick Block in an unrelated case, United States v. Goines,
The district court granted the Government’s motion, precluding cross-examination by the defense about the Goines case. Applying the factors enumerated in United States v. Cruz,
B. Trial Proceedings
At trial, the Government introduced testimony from several of the officers who were present during White’s arrest. The main Government witness was Herrmann, a junior member of the NYPD Major Case Unit. Herrmann testified that, as part of a joint FBI-NYPD investigation, he and his
After stopping the minivan, Herrmann and Rizzotti walked to the passenger side of the van while Guarino approached the driver, “engaged [her] in conversation,” and asked her to get out of the vehicle. App. 59. Herrmann testified that he heard Guarino tell White “in the back [seat] to stop moving around.” App. 59. Herrmann “then opened up the sliding door to the passenger side and asked [White] to show [him] his hands and step out of the vehicle.” App. 59. Rizzotti similarly testified that it was “[r]ight after” Guarino directed the driver out of the minivan that he said, “[Y]ou stop with your hands,” and that it was “[a]t that point,” not at some later time, that Herrmann opened the passenger door. App. 129.
Certain portions of Herrmann’s testimony were inconsistent. While, on direct examination, Herrmann did not testify that White had been talking on a cell phone before he was frisked, on cross examination, he acknowledged that White had been on a cell phone “briefly.” App. 85. Defense counsel also questioned him about whether Guarino had told White to stop talking on the phone. Herrmann initially testified that he did not remember any of this, but after his recollection was refreshed with a previous affidavit, he recalled that White was talking on a cell phone while Guarino was talking to the driver, and that Guarino told White to stop speaking on the phone. Herrmann denied that it was the motion of White putting away the phone that caused him to open the back door of the minivan. Instead, Herrmann testified that he opened the ear door after White put away the phone, when Guarino subsequently told White to stop moving. Herrmann admitted, however, that he had stated in a prior sworn affidavit “Sergeant Guarino then told the defendant in sum and substance to stop moving around in the back of the mini van, [and] the defendant stated that he was putting away his cellular phone.” App. 88.
After White stepped out of the minivan, Herrmann frisked White. Herrmann testified that while frisking White, he felt a firearm in the right front pocket of White’s jeans and shouted “hot lunch,” code words that White was carrying a firearm. App. 61. Rizzotti testified that when he heard the words “hot lunch,” he was standing behind White and handcuffed him. App. 131. Herrmann further stated that after White was handcuffed, he (Herrmann) removed a “Cobra, .380 caliber handgun,” “[s]ilver with a black handle,” “loaded with seven bullets” from White’s pocket. App. 61, 68, 118-19. Rizzotti and Federal Agent Kieran Smith testified that they observed Herrmann take the gun from White’s pocket. App. 131,148-49.
Herrmann, again, faltered in his account of the search, however. He first testified that he also retrieved White’s cell phone from White’s pocket. When asked if he had taken White’s wallet from his back left pocket, he said he could not “recall where [he] got it from.” App. 88. He then testified that he was not sure whether White had a wallet and added that the “only thing [he] recovered was the firearm.” App. 89. He did not “recall” recovering a cell phone, keys, or a wallet from White. App. 89.
Herrmann further testified that, after recovering the firearm from White’s pocket, he went around to the driver’s side of the minivan and “observed a gray canvas bag that had a firearm inside of it.” App.
During the cross-examination of Herrmann, in response to the testimony that two firearms were found in the purse at the scene, the defense sought to introduce impeachment evidence in the form of a portion of the Government’s memorandum of law on an earlier suppression motion. That memorandum stated that “[t]he purse was ... taken to the precinct, at which time an additional handgun was recovered from inside the purse.” App. 288. Defense counsel offered this statement as an admission by a party opponent pursuant to Federal Rule of Evidence 801(d)(2). The Government, in opposition, argued that because the statement was an attorney-drafted summary of the statements of three different officers, it was not admissible, as a prior inconsistent statement, to impeach Herrmann. The Government also noted that if the court admitted the document, the main prosecutor in the case would be required to take the stand to explain his basis for what were his statements. The court said that it did not want to “open the door to that” and ruled that the authority provided by the defense to support introduction of the evidence did not go “to the issue of courts admitting contents of memoranda that are submitted to the court by counsel.” Gov’t App. 268-69.
C. Jury Charge, Deliberations, Verdict, and Sentencing
The trial lasted one day. At the charge conference, the defense objected to the district court’s proposed charge, which described the statutory purрose of 18 U.S.C. § 922. The court overruled the objection. White then requested that the district court omit two references to the word “violent” in the proposed language and the court granted the objection. The charge, therefore, read as follows:
Congress was of the view that the ease with which certain persons were able to acquire firearms was a significant factor in the prevalence of crime in the United States, and that federal control over gun dealers and restriction of the distribution of firearms would be helpful to state and local authorities in meeting this problem. Accordingly, [it] passed a series of laws designed to give support to federal, state[,] and local law enforcement officials in combating crime.
In your role as jurors, you are not to be concerned with the wisdom or the policy of these laws. If in fact a violation has occurred, the law should be enforced. In general, these laws include provisions which prohibit certain categories of people from possessing or receiving firearms which were shipped in interstate commerce[,] and requires any pеrson inthe business of dealing in firearms to be licensed.
The government contends that the defendant was within the class of people prohibited from possessing firearms shipped in interstate commerce because he had been convicted of a crime punishable by a term of imprisonment of more than one year.
App. 179-80.
After one day of deliberations, the jury sent a note asking, “What happens if we cannot reach a verdict?” App. 202. The court, in response, refused to give the Government’s requested Allen charge and instead asked the jury to continue deliberating. The following day, the jury found White guilty of possession of a weapon by a person previously convicted of a felony.
At sentencing, the parties agreed that White faced a fifteen-year statutory minimum sentence under the Armed Career Criminal Act, 18 U.S.C. § 924(e)(1), and a Guidelines range of 188 to 235 months’ imprisonment. After hearing argument from counsel on the 18 U.S.C. § 3553(a) factors, the court asked White if he had anything to say prior to sentencing. White made a statement. The court then noted that it had received letters from White’s family and acknowledged White’s difficult childhood. It reviewed White’s criminal record and disciplinary infractions while in state and federal custody. Specifically, the court recounted nine disciplinary infractions in state prison and five charges, including one instance of fighting with another person since White’s incarceration at the Metropolitan Detention Center. After the court reiterated the seriousness of a gun crime, it asked White if he was ready to be sentenced. White asked, “Sir, can I explain any of this situations that you was talking about?” App. 234. The court responded, “You’ll have your opportunity in the circuit court on appeal. You had your opportunity to speak, sir.” App. 234. The court then imposed a sentence of 235 months’ incarceration (the top of the Guidelines range), five years of supervised release, on specified conditions, and a $100 special assessment.
II. DISCUSSION
We review evidentiary rulings, including a trial court’s decision to limit the scope of cross-examination, for abuse of discretion. See United States v. Figueroa,
The district court did not consider whether the charging documents or prior credibility findings are inadmissible hearsay, and the parties have not addressed
A. Evidence of the Arrests and Charging Decisions of the Other Occupants
Following a search of the minivan, all five individuals traveling in the vehicle were arrested and charged with possession of all three firearms recovered- — the two firearms found in Jennings’ purse and the one allegedly found in White’s pocket. The Queens District Attorney subsequently dropped the charges against all defendants except Jennings, who was charged with possession of the two weapons found in her purse. White was charged federally, in the instant case, with possession of the firearm allegedly recovered from his pocket. White argues that the district court erred in excluding evidence regarding the arrests and charging decisions of the other occupants of the vehicle. We agree.
At trial, Appellant sought to admit evidence relating to the arrests, charging decisions, and subsequent case histories of the other occupants of the vehicle to contradict the officers’ testimony that one of the firearms was found in White’s pocket. White submitted that, if the gun had actually been recovered from his person, none of the other individuals would have been charged with possession of that particular gun. The Government, moving to preclude this evidence, argued that the discovery of the firearms in the minivan permitted the arrests and charging of all passengers present in the vehicle because “[t]he presence in an automobile ... of any firearm ... is presumptive evidence of its possession by all persons occupying such automobile at the time such weapon is found.” N.Y. Penal Law § 265.15(3) (the “constructive possession provision”). Appellant, in response, pointed out that New York Penal Law § 265.15(3) contains an important and pertinent exception to the constructive possession provision: that the provision does not extend to a weapon found on the person of one of the occupants. See NY. Penal Law § 265.15(3). White argued, therefore, that even if discovery of firearms in the vehicle permitted the arrests and charging of the other occupants of the vehicle, they could not properly have been charged with possession of all three firearms, and specifically, not the one allegedly found in his pocket. It follows, he contended, that the charges made of the other occupants constituted evidence that no firearm was, in fact, found in his pocket.
The district court ruled against White, holding that “[wjhilе a defendant is entitled to cross-examine Government witnesses as to inconsistent statements, the Government’s charging decisions are not proper subjects for cross-examination and argument.” White,
In a criminal case “ ‘[t]he accused may introduce any legal evidence
Particularly when the evidence is central to the defendant’s claim of innocence, we find that categorical exclusion “infringe[s] upon a weighty interest of the accused,” United States v. Scheffer,
The court also erred by holding, in the alternative, that the evidence was “not relevant to the question of whether [Appellant] White possessed a firearm,” and might confuse or mislead the jury. Id. at *5-6. Evidence is relevant when “it has any tendency to make a fact more or less probable than it would be without the evidence,” Fed.R.Evid. 401,
The fact that White’s theory requires a “chain of complex reasoning,” White,
Assuming evidence is relevant, it may still be excluded “if its probative value is substantially outweighed by a danger of one or more of the following: unfair prejudice, confusing the issues, misleading the jury, undue delay, wasting time, or needlessly presenting cumulative evidence.” Fed.R.Evid. 403. In conducting this analysis, the district court also erred. First, and crucial to its Rule 403 error, is the district court’s initial categorical determination that it could not admit evidence of the Government’s charging decisions. While the district court concluded, in the alternative, that “the probative value of such evidence” was “substantially outweighed by the danger of confusing or misleading the jury,” White,
In its initial ruling, the court already determined that it would exclude the evidence. But Rule 403 favors admissibility: evidence is only excluded when its probative value is substantially outweighed by the prejudice of jury confusion. The probative value of the Government’s charging decisions here is high—White’s defense centered on discrediting the officers’ testimony that a firearm was found in
For these reasons, the district court’s exclusion of the Government’s charging decisions constituted manifest error.
B. Cross Examination of Herrmann Regarding Goines Case
Pursuant to Federal Rule of Evidence 608(b):
Except for a criminal conviction under Rule 609, extrinsic evidence is not admissible to prove specific instances of a witness’s conduct in order to attack or support the witness’s character for truthfulness. But the court may, on cross-examination, allow them to be inquired into if they are probative of the character for truthfulness or untruthfulness of:
(1) the witness
Fed.R.Evid. 608(b)(1). In applying this rule, “[w]hile a district court may impose ‘reasonable limits’ on cross-examination to protect against, e.g., harassment, prejudice, confusion, and waste, it must also give wide latitude to a defendant in a criminal case to cross-examine government witnesses.” Cedeño,
We have long held that a witness can be cross-examined based on “pri- or occasions when his testimony in other cases had been criticized by [a] court аs unworthy of belief.” United States v. Terry,
Finding for the Government, the district court analyzed two issues discussed in Cruz,
In Cruz, we concluded that a prior adverse credibility finding by a federal judge was not relevant to the credibility of that same witness in a later proceeding because (a) the judge Ahad not found a general lack of veracity on the part of the witness, and (b) there was no connection between the subject matter of the two cases.
White argues that the district court, like the lower court in Cedeño, erred in considering only the two Cruz factors. The Government demurs, arguing that Cedeño is entirely inapplicable because it involved a finding that the witness had previously liеd: specifically, the Government claims that while Judge Block found certain aspects of Herrmann’s testimony not credible, he did not expressly find that Herrmann had lied and hence Cruz, and not Cedeño, applies. We reject this distinction. A finding that a witness is not credible is not fundamentally different from a finding that the witness lied. It often just reflects a fact finder’s desire to use more gentle language. Nothing, moreover, suggests that Cedeño is limited to explicit findings that a witness lied. The instant case, therefore, is controlled by our decision in Cedeño.
In Cedeño, we noted that Cruz did not set out a rigid two-part test. Instead, we articulated a non-exhaustive list of factors that bear on the admissibility of prior credibility findings.
Significantly, the additional factors we identified in Cedeño weigh strongly in favor of admissibility here. First, Herrmann’s testimony was made under oath in a judicial proceeding. Second, his testimony plainly involved an important matter: at issue in Goines was whether a firearm and ammunition seized by law enforcement officials should be suppressed. Third, the suppression hearing in Goines took place on February 26, 2009, just months before White’s trial on December 14, 2009. Fourth, in attempting to secure a conviction, the motive for Herrmann’s discredited testimony in Goines is identical to his purported motive in the instant case. Finally, Herrmann offered no explanation for the previous inconsistencies in his testimony.
Guided by Cedeño, we have little trouble concluding that Judge Block’s prior credibility finding against Herrmann was relevant and highly probative in this case. The defendant in Goines, like White, was charged with possession of a firearm. The district court in that case unequivocally discredited Herrmann’s testimony; it concluded that it could not “credit” some of Herrmann’s testimony and that portions of Herrmann’s testimony “conflict[ed] with his earlier testimony.” Goines,
Moreover, the district court’s fear that admitting the evidence would confuse the jury because it would require the attorneys to delve into the facts and history of the Goines case is misplaced. The district court retained the authority to “impose ‘reasonable limits’ on cross-examination to protеct against, e.g., harassment, prejudice, confusion, and waste.” Cedeño,
To the extent the district court’s consideration of jury confusion was targeted at the Rule 403 analysis, we also disagree that any such jury confusion would substantially outweigh the probative value of Judge Block’s adverse credibility finding. The district court characterized the prior credibility finding as “far afield frоm the actual issues in the case.” White,
We conclude that the district court’s decision to exclude the prior adverse credibility finding with respect to officer Herrmann cannot be located within the range of permissible decisions.
C. Harmless Error
Even manifest errors in the admission of evidence do not justify the reversal of a conviction if, in light of all the circumstances, the errors are harmless. The district court’s errors in this case, however, were far from harmless. The excluded evidence spoke directly to a criti
We do not discount the strength of the Government’s case. The Government notes that in addition to Herrmann’s testimony, it presented the testimony of two other officers whose accounts of the stop and frisk were consistent with Herrmann’s in all material respects. Herrmann testified that he personally recovered a “Cobra, .380 caliber handgun,” “[sjilver with a black handle,” from White’s “right front pants pocket.” App. 61, 118-19. Rizzotti similarly testified that he observed Herrmann recover a “silver automatic with a black handle” from White’s “front right pocket,” App. 131, and Smith, who was standing approximately three feet away from White at the time, observed Herrmann remove a “silver pistol” from White’s “right front waist area,” App. 148-49. This, however, does not render the district court’s errors harmless. It is certainly possible that the jury, if presented with reasons to doubt Herrmann’s testimony, might similarly have questioned the testimony of the other officers. This is especially so, moreover, since these officers also provided testimony at trial that was somewhat inconsistent with prior sworn affidavits. Additionally, admission of the Government’s charging deсisions on the day of the stop, which could be read by a jury as conflicting with the account of the stop by all the officers, might have given the jury further reason to pause.
In sum, in a classic case of competing stories, the jury was not presented with a comprehensive picture. On the record before us, we cannot conclude “with fair assurance” that district court’s erroneous exclusion of the two pieces of evidence at issue “did not substantially influence the jury.” Jackson,
D. Remaining Arguments
White also argues that the district court (1) erred in excluding a “Request for Laboratory Examination Report,” (2) erred in precluding the admission of a legal memorandum submitted by the Government to
III. CONCLUSION
For the foregoing reasons, the judgment of conviction of the district court is VACATED and the case is REMANDED for a new trial.
Notes
. In this respect, we note that under New York law, it would have been perfectly appropriate to charge White with possession of three loaded firearms even if none were found on his person, so long as they were not found on the person of any other passenger in the minivan.
. References to "App." refer to the Appendix submitted by Defendant-Appellant White.
. Specifically, Judge Block found that: (1) "If Herrmann had seen Goines flicking what appeared to be a marijuana cigarette to the ground, this, in combination with the foregoing, could well have given rise to reasonable suspicion. However, in light of the conflicting evidence, the Court cannot credit that Herrmann made such an observation"; (2) "Similarly, while it certainly could have added to Herrmann’s suspicion if Goines had hurried away without recovering his ID card, the Court cannot credit this aspect of Herrmann’s testimony”; (3) "The Court does not credit Herrmann’s testimony that Goines broke into a run”; (4) "The Court does not credit that ... Goines swung at Herrmann’s face”; (5) "Further, the Court cannot credit Herrmann’s testimony that during the struggle, Goines voluntarily uttered the phrase 'It was just weed’ "; (6) "Nor can the Court credit Herrmann’s testimony that, after passively resisting for a while, Goines feigned submission, then tumbled over a guardrail with one of Herrmann's fellow officers and began kicking and punching.” Goines,
. References to "Gov't App.” refer to the Appendix submitted by the Government.
. Since White’s trial, the Federal Rules of Evidence have been amended. The Advisory Committee Notes indicate that "[tjhese changes are intended to be stylistic only. There is no intent to change any result in any ruling on evidence admissibility.” Fed. R.Evid. 401 advisory committee's note. See also Fed.R.Evid. 402 advisoiy committee's note (same); Fed.R.Evid. 403 advisoiy committee’s note (same); Fed.R.Evid. 608 advisory committee's note (same). "Our analysis would thus be identical under either version of the Rule[s].” United States v. Scott,
. The dissenting opinion objects to our doing the 403 balancing ourselves and suggests that more facts may come in that would lead a district court to balance with a different result. Should the Government retry White and should more data come in on the various factors as to which we found error, we wish to make clear that there is nothing in the majority opinion that precludes the trial court from making that balance anew on the basis of the facts then befоre that court.
. Following Cedeño, we reaffirm the principle that district courts are not constrained by any
. See supra note 6.
Dissenting Opinion
dissenting:
I respectfully dissent. While I am inclined to agree that the admissibility of charging decisions may not be suitable for a rule of categorical exclusion and that the admissibility of adverse credibility findings in prior cases has been the subject of new law, I conclude:
A. With respect to the charging decisions, I would affirm on the district court’s alternative ruling that the probative value of such evidence in this case was substantially outweighed by the danger of confusing or misleading the jury; and in that way, I would avoid the vexed question that the majority opinion embraces.
B. As to the testimony of Detective Herrmann in a prior case, I agree with the majority opinion that the district court’s analysis should have considered the seven factors in Cedeño. But I would remand for the district judge to make that ruling in the first instance and in the ordinary coursе, subject to the usual appellate review for abuse of discretion.
Moreover, as the majority opinion observes, hearsay problems abound in this case; yet, since neither party raised these issues on appeal, the Court has not decided whether the charging documents or the prior credibility findings are admissible hearsay. The majority’s explicit recognition of that circumstance affords the district court a needed latitude on appeal, and prevents the opinion from being misread or overread.
A.
The majority opinion holds that there should be no categorical exclusion of charging documents from evidence. Maybe; but, in any event, this holding does little harm because trial judges would virtually always exclude such evidence for multiple and sound reasons. In my view, Judge Garaufis did not abuse his discretion in excluding the charging documents in this case.
In a nutshell, there were five people in one car with three guns. Under New York law, all five were in constructive possession of all three guns except for any gun “found upon the person.” See N.Y. Penal Law § 265.15(3)(a). A New York charging document charged all occupants with pоssession of all three guns. The state charge against White was dismissed, and White was charged in federal court with possessing one gun (on his person). He was convicted of that charge. White wanted to argue that if the gun had been on his person, the drafter of the state charging document would not have charged the other occupants with possessing it — assuming of course that the drafter understood that nuance of New York law.
The majority finds error in the district court’s apparent ruling that charging documents are categorically excluded from evidence. However, the district court prudently went on to find, in the alternative, that the “probative value” of the charging document would be “substantially outweighed by the danger of confusing or misleading [the] jury.” White, 2009 U.S.
The majority rejects that finding on the extraordinary ground that the district court’s “prior finding that charging decisions are not proper subjects for cross-examination obviated the need for such balancing and east doubt as to the balancing made. In other words, the Rule 403 inquiry was tainted.... ” Op. at 247. I cannot agree that an alternative ground for an evidentiary ruling must be disregarded as “tainted” by a legal error (if there is one) in another cited ground for the ruling.
The majority goes on to do the balancing itself, and does a bad job of it, for several reasons.
First, the majority does not explain why we should not remand to the district court (by vacatur or under our Jacobson procedure) for it to do the balancing, now that we are all enlightened as to the law. See generally United States v. Jacobson,
Second, in this case, the danger of confusing or misleading the jury is great: the underlying principles of New York law are complex; “possession” of a firearm is (as the district judge pointed out) “a legal term of art rather than a factual observation,” App. 23; the charging documents are steeped in hearsay; and explication would likely require testimony by state and federal prosecutors.
Third, the Rule 403 inquiry involves facts not before this Court. “The length of the chain of inferences necessary to connect the evidence with the ultimate fact to be proved necessarily lessens the probative value of the evidence, and may therefore render it more susceptible to exclusion as unduly confusing, prejudicial, or time-сonsuming....” Ravich,
Fourth, the seeming breadth of the majority opinion may be expected to do harms in other eases. When there are several charging documents, and several defendants, the jury will be dealing with a variorum edition of the indictment. Charging documents may not have been drafted with the expectation that they would be final or authoritative. And drafts of charging documents may become the subject of motions under Brady v. Maryland,
B.
The second issue decided by the majority opinion concerns the relevance and probative value of findings in a prior unrelated case, in which the trial judge declined to credit certain testimony by a police officer. White wanted to use the earlier findings to cross-examine the police witness against him. The issue framed by the majority is whether this was “[e]vidence that might lead a jury to conclude that the officer was willing to lie in a similar case in order to secure á criminal conviction.” Op. at 239. The district judge relied on then-current precedent, to rule that such evidence must be excluded because the prior finding “was not a finding
So it would seem obvious that if this evidentiary ruling makes a difference, the proper disposition is to remand (either by vacatur or under our Jacobson procedure), for the district court to apply the seven-plus factors of Cedeño.
As Cedeño makes clear, whether a witness “was willing to lie in a similar case” is a finding with several component fact issues. Was the case similar? I am inclined to think so, and I would so decide if I were the district judge (which I am not). Was there a general finding as to veracity in the prior case? As the district court found, there was not. Were the statements that were not credited made as willing lies? That is a question that should be confided to the district court, which can supplement the transcript of the prior case with live testimony from the police officer. The district court found that the judge in Goines credited parts of the officer’s testimony and discredited other parts, and that the discredited parts could have been deficient by reason of “a combination of passage of time, confusion, [and] lack of firsthand knowledge.” White, 2009 U.S. Dist. Lexis 113147, at *9-10; see also Zaman v. Mukasey,
Instead, the majority (again) conducts its own evidentiary analysis, making findings as to the Cedeño factors and concluding that they “weigh strongly in favor of admissibility.” Op. at 250. The majority suggests that “should, more data come in on the various factors,” the trial court is free to conduct the evidentiary balancing “anew.” Op. at 251 n.8; 248 n.6. But it is the trial court — in the first instance — that should make findings on the Cedeño factors and conduct the evidentiary balancing. This Court’s role is to review the balancing, not to conduct it.
In short, now that we have clarified the law (as the majority opinion undertakes to do), I would remand for the district court to apply it.
. In performing the trial court’s role, the majority discounts "the district court's fear that admitting the evidence would confuse the jury.” Op. at 251. The majority opinion posits that the defense "simply sought” to ask a single question on cross-examination, id.: "whether [the officer] previously gave testimony ... under oath, in another federal gun possession case, and whether the judge in that case refused to credit six different aspects of his testimony.” App. 257. But the question becomes a lot less simple when one considers that the prosecution would then get to conduct redirect, and it might in fairness be afforded the opportunity to set out the facts of Goines and elicit explanations from the police witness. See United States v. Diaz,
