Lio v. Robinson ( 1997 )


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    [NOT FOR PUBLICATION] [NOT FOR PUBLICATION]

    United States Court of Appeals
    For the First Circuit For the First Circuit

    ____________________


    No. 96-1223

    ADALBERTO LIO a/k/a ALBERTO LIO,

    Plaintiff, Appellant,

    v.

    WALTER F. ROBINSON, JR., ET AL.,

    Defendants, Appellees.

    ____________________

    APPEAL FROM THE UNITED STATES DISTRICT COURT

    FOR THE DISTRICT OF MASSACHUSETTS

    [Hon. Robert E. Keeton, U.S. District Judge] ___________________

    ____________________

    Before

    Lynch, Circuit Judge, _____________

    Aldrich and Bownes, Senior Circuit Judges. _____________________

    ____________________

    Edgar L. Kelley for appellant. _______________
    Mary Jo Harris, Special Assistant Corporation Counsel, with whom ______________
    Merita A. Hopkins, Corporation Counsel, and Kopelman and Paige, P.C. __________________ ________________________
    were on brief for appellees.

    ____________________

    April 29, 1997
    ____________________




















    BOWNES, Senior Circuit Judge. Plaintiff-appellant BOWNES, Senior Circuit Judge. ____________________

    Adalberto Lio appeals from a jury finding of no liability in

    his 42 U.S.C. 1983 action, Massachusetts Civil Rights

    action, and Massachusetts tort claim against seven Boston

    police officers and the City of Boston.1 The only issues on

    appeal concern evidentiary rulings made by the district

    court. We affirm the rulings.

    I. I.

    THE EVIDENCE THE EVIDENCE ____________

    We rehearse so much of the evidence as is necessary

    to understand the evidentiary rulings that are the subject of

    this appeal. Our review of the evidence is made, of course,

    in the light most favorable to the verdicts. Newell P.R., ____________

    Ltd. v. Rubbermaid, Inc., 20 F.3d 15, 18 (1st Cir. 1994). _________________________

    Plaintiff Lio had been a Boston police officer since June of

    1979; his designation was patrolman. Starting in 1982, he

    began exercising to build up his body. He used various gyms

    in the Boston area. In the spring of 1991, he was using a

    gym in Dedham, Massachusetts. In April of 1991, Sergeant-

    Detective Leonard Marquardt (one of the defendants) was

    informed by an officer of the Dedham Police Department that

    Lio was selling drugs -- steroids -- at a gym in Dedham.


    ____________________

    1. The original defendants included the Town of Dedham,
    Massachusetts, and two of its police officers. Summary
    judgments were granted in favor of these defendants. No
    appeal has been taken from those judgments.

    -2- 2













    Marquardt contacted his supervisor, Superintendent Joseph

    Saia (also a defendant), and a sting operation was set in

    motion. There was to be a "buy-bust."

    John Antoniou, who had been arrested previously by

    Marquardt and Detective Walter F. Robinson, Jr. (another

    defendant) for selling drugs, agreed to purchase a quantity

    of steroids from Lio. Antoniou knew Lio from meeting him at

    the gym. He was one of the persons from whom the Dedham

    Police Department received information that Lio was dealing

    in steroids. Antoniou was given $650 by Marquardt to make

    the "buy."

    On May 23, 1991, Marquardt was informed by the

    Dedham Police Department that Antoniou had arranged with Lio

    to make the "buy" at 11:30 p.m. that night at the White Hen

    Pantry (a convenience store) on Hyde Park Avenue in Boston.

    Marquardt informed Detectives Robinson and Kenneth Beers

    (another defendant), who were on duty, to be available to

    observe the "buy." Marquardt met with Antoniou in Dedham

    prior to the "buy." He emphasized that the "buy" had to be

    visible so it could be observed by the watching police

    officers. Antoniou was told to signal that the "buy" was in

    progress by running his fingers through his hair.

    The "buy" was not made at the White Hen Pantry.

    Lio, who was in police uniform, talked briefly to Antoniou

    before entering and after leaving the store. Antoniou's car



    -3- 3













    followed Lio's car down Hyde Park Avenue. The observing

    police officers kept their superiors apprised of the

    situation by radio. The two proceeded to Austin Street and

    parked about twenty feet from the intersection. The

    observing officers, Detectives Beers and Robinson, were

    following in Detective Beers' private car. Beers parked his

    car so that he and Robinson could see both Antoniou's and

    Lio's cars. They saw both men get out of their vehicles and

    meet in the middle of the street. Lio thrust a bag onto

    Antoniou's chest, which Antoniou threw into the passenger

    side of his automobile, a white Corvette convertible with the

    roof back. When the bag was subsequently examined by the

    police, it was found to contain packages of steroids and

    hypodermic needles.

    After the "buy" had been made, Beers drove his car

    to Austin Street, which was one-way, and parked it at an

    angle across the street so as to block vehicles from going

    forward. Beers then approached Lio. There is a difference

    in the testimony as to what happened next. According to Lio,

    Beers kicked and punched him. He pushed Beers away so that

    he could get back into his car and leave. Beers claims that

    Lio hit him hard in the midsection and knocked him down.

    Beers claims that he put Lio under arrest for assaulting him.

    Things then happened quickly. Lio got into his car,

    a blue Toyota coupe, and began to back up at a high speed.



    -4- 4













    Beers hung onto the side of Lio's car until it stopped

    suddenly and he was thrown off. Lio started forward straight

    at Detective Robinson. Robinson jumped to the side and fired

    at Lio. His shot blew out the front side window on the

    driver's side of the car. Lio then stopped and put the car

    in reverse. Both Beers and Robinson fired at the rear end of

    Lio's car. Two bullet holes were found in the rear bumper of

    the car. Lio managed to back his car into the intersection

    of Austin and West Streets. He turned into West Street.

    Superintendent Robert Faherty (another defendant),

    night commander of the Boston Police Force, was in the area.

    He heard a radio transmission by a police officer state

    "Austin toward West." As he turned onto West Street he heard

    gunshots and saw a small dark sports car approaching at a

    high rate of speed. Faherty, thinking that there had been a

    drive-by shooting, gave chase. He followed Lio onto Enneking

    Parkway. Shortly thereafter Faherty heard a crash. Faherty

    saw Lio get out of his car and run into a patch of woods.

    In a short time, back-up police units began to

    arrive at the scene. One of the first arrivals was Officer

    Cornell Patterson (another defendant). He asked Faherty

    where the suspect had gone and was told, "into the woods."

    Patterson took Faherty's flashlight and began a search for

    Lio. He found him, and Lio surrendered. Patterson took him

    to Superintendent Faherty, who told Lio that he was going to



    -5- 5













    be charged with attempted murder. Faherty then gave Lio the

    Miranda warnings. Lio was then taken to the area station _______

    house for booking. Superintendent Saia commanded

    Sergeant Edward O'Donnell (the seventh police-officer

    defendant) to conduct a "use of deadly force" investigation

    into the shots fired at Lio and his car by Detectives

    Robinson and Beers.

    Lio was charged with assault with intent to murder,

    assault and battery by means of a dangerous weapon (a car),

    assault by means of a dangerous weapon (a car), driving to

    endanger, speeding, leaving the scene of an accident, failure

    to stop for a police officer, distribution of a Class E

    controlled substance, unlawful possession of hypodermic

    needles, and unlawful possession of syringes. In May 1994,

    the District Attorney issued a nolle prosequi, dismissing the _____ ________

    charges against Lio. This lawsuit followed.

    Plaintiff's complaint alleged violations of 42

    U.S.C. 1983 (false arrest, excessive force, malicious

    prosecution, and conspiracy to violate civil rights),

    violations of the Massachusetts Civil Rights Act, Mass. Gen.

    Laws ch. 12, 11I, and assault and battery, arising out of

    an investigation which culminated in Lio's arrest on May 23,

    1991. The plaintiff further alleged that the City of Boston

    had a practice, custom or policy of allowing constitutional

    violations, such as alleged in his complaint, to occur.



    -6- 6













    The district court decided prior to the start of

    the trial that the case against the City of Boston should be

    severed from that of the police officers and tried

    immediately thereafter if any of the defendant police

    officers were found liable. Because the jury did not find

    any of the individual defendants liable, the case against the

    City of Boston was dismissed.

    II. II.

    THE ISSUES THE ISSUES __________

    Appellant has raised three issues, which we state

    as they are set forth at page one of his brief. We review

    for abuse of discretion. See Blinzler v. Marriott Int'l, ___ ____________________________

    Inc., 81 F.3d 1148, 1158 (1st Cir. 1996). ____

    The first issue is stated as follows:

    I. Whether the trial judge erred in
    allowing Defendant's Motion In Limine To
    Exclude Evidence of a Character or
    Reputation Pursuant to Federal Rules of
    Evidence 404(b), resulting in the
    exclusion of evidence of racial animus,
    to prove motive, opportunity, intent,
    preparation, plan, knowledge, and
    identity within Rule 404(b).

    There was a hearing on defendants' motion in limine. __ ______

    Plaintiff wanted to prove through the deposition testimony of

    Gregory Matthews, Jose Alfonso, Marilyn Hinton, and Brian

    Latson -- all of whom were minority officers on the Boston

    Police Force, and all of whom, except Alfonso, served under

    defendant Marquardt -- that Marquardt harbored a racial



    -7- 7













    animus toward minorities. At the hearing the district judge

    stated the question as he understood it: whether Marquardt,

    acting in a supervisory capacity, did something that was

    motivated by racial animus. Counsel for Lio, Mr. Kelley,

    agreed that that was the question. The following colloquy

    then ensued:

    THE COURT: All right. Now, then it
    seems to me that since that is the issue,
    the existence of racial animus is not
    itself an element of any claim and the
    question becomes what evidence is
    admissible to show that the officer did
    something with racial animus. That's the
    question. And that brings us directly,
    then, to Rule 404, that says evidence of
    a person's character that he has a racial
    animus is not admissible for the purpose
    of proving that action in conformity
    therewith occurred on a particular
    occasion. 404(a) is directly in point.

    MR. KELLEY: It would be in point if
    the purpose of the offer were restricted
    to proving propensity or proclivity.

    THE COURT: But what is the purpose
    of the offer?

    MR. KELLEY: The purposes -- one of
    the defendants here, Superintendent Saia,
    a long and experienced officer who was in
    charge of the operations of these
    particular defendants, knowing in advance
    of -- sufficient to question the racial
    bias and animus of given officers in a
    given station, did nothing, took no
    action, as a matter of fact in testimony,
    endorsed their actions.

    THE COURT: Well, you see, that
    doesn't at all support an argument of
    opinion or reputation in the community.
    That would be an argument that would only
    permit evidence that Saia himself knew


    -8- 8













    about this characteristic of the other
    person, so that's what you have to offer.
    You can't offer --

    MR. KELLEY: That's what I'm saying
    we will offer and we will prove.

    THE COURT: Well, that's not -- all
    right. Then show me the proffer.

    Then followed an extensive colloquy (ten transcript

    pages) between the court and plaintiff's counsel. The court

    ruled that the deposition testimony of the four minority

    police officers could not be used. It then stated:

    Now, that's not going to stop you from
    making a proffer during the course of
    trial. Of course, if you want to
    complain about my ruling on appeal,
    you're going to have to do that. And
    when I hear that proffer in more detail,
    I'll consider any arguments that may be
    made at that time just in case it may
    persuade me to a different view.

    But the view I hold at the present
    time is that what you're aiming for here
    is to show that Saia is liable personally
    and that the only way I can determine
    that that is correct is to determine that
    Saia acted with racial animus and that
    what you're proffering to me doesn't
    cover some gaps between a particular
    officer's personal view about his
    experiences and, first, the inference
    that that means that Marquardt has racial
    animus and has that reputation, and,
    secondly, that Saia knows that and,
    third, that when Saia is making his
    decisions he's not just making a bad
    executive decision, but he's making it
    with racial animus because of his own
    racial animus. There are several missing
    steps in the proffer of evidence.

    No proffers were made during trial.



    -9- 9













    On November 23, 1995, the day after defendants'

    motion in limine had been granted, plaintiff filed a "Proffer __ ______

    of Evidence" to which were attached extensive excerpts of the

    deposition testimony of minority Boston Police Officers

    Matthews, Alfonso, Hinton, and Latson. The purpose of the

    proffer is stated as follows:

    In respect of Marilyn Hinton her
    testimony is replete with personal
    experiences that prove conclusively that
    the defendant, Leonard Marquardt had a
    rampant racial animus which made her
    service in Area E humiliating and
    horrific as a black female police
    officer. She extended his paradigmatic
    racism as illustrative of the cynical
    rule that police like him are "easier to
    tolerate than to correct," as a pervasive
    policy in Area E.

    The gist of Gregory Matthews [sic]
    testimony as excerpted is that he was the
    object of direct racial slurs stated by
    the defendant, Leonard Marquardt, that he
    heard the defendant refer to minorities
    and blacks a[sic] "chincs and spics" at
    page 52, and "Leroy(s)" at page 72.

    In the case of Brian Latson, his
    testimony is probative on the issue that
    the defendant, Leonard Marquardt, had a
    propensity to usurp the functions of the
    division of Internal Affairs. The
    defendant, Leonard Marquardt, arrogated
    to himself an excessive personal industry
    in supervising minority officers.

    In the case of Jose Alfonso his
    testimony is probative on the issue of a
    defense that the plaintiff invented such
    an animus as a defense to the criminal
    and administrative charges against him
    resulting from the "buy bust" operation
    generated by Area E personnel (all



    -10- 10













    defendants except Saia) for a spurious
    execution in Dedham.

    We have read the deposition testimony carefully.

    We point out, first of all, that a portion of the testimony

    of all the deponents is hearsay and for that reason alone

    would not be admissible. Officer Alfonso obtained all his

    information about Area E (the home base for Marquardt and

    Lio) from Lio. Lio was Alfonso's training officer and they

    were partners for a year and a half, assigned to Spanish

    areas of Boston. Because of Lio's advice, Alfonso did not

    work in Area E. He only knew about Marquardt from what Lio

    told him. He did not know Superintendent Faherty at all.

    Insofar as the proffer suggests that Alfonso had information

    that the "buy-bust" sting operation was spurious and

    motivated by Marquardt's racial animus, there is no such

    testimony, either direct or implied, in his deposition. Nor

    is there in any of the other depositions.

    Officers Matthews and Hinton worked under

    Marquardt, apparently at different times. Both described

    Marquardt as a bigoted racist who treated minorities with

    scorn and derision. According to Hinton, Marquardt was foul-

    mouthed with minority women and verbally assaulted them.

    Officer Brian Latson worked under Marquardt in Area

    E. He testified that he never observed anything suggesting

    that either Marquardt or Detective Robinson were targeting

    minority officers. He testified further that he did not


    -11- 11













    think the racial climate at Area E was bad at all and he

    enjoyed working there. Latson also testified under

    questioning by Lio's counsel that Lio was upset with

    Marquardt and "fearful" of him. Then followed testimony that

    would be clearly inadmissible on relevancy and hearsay

    grounds: Latson's commanding officer, Deputy Clayburn (an

    African-American), called him into his office and told him

    that he had heard that Latson was using steroids. Latson

    denied it, and said that he had been a Christian Scientist

    since he was twelve and never even took an aspirin. Latson

    further said that he was willing to submit to whatever tests

    that Clayburn wanted to give. It was Latson's opinion that

    this inquiry was prompted by the fact that both he and Lio

    were into body building and lifting weights. About the same

    time, he was approached by a known drug dealer and a "street

    source" for Latson, who told him that two detectives had been

    inquiring about him. Latson testified that he thought

    Marquardt was asking about him because of his close

    relationship with Lio.

    As we discern it, Lio's theory for the admission of

    the deposition testimony is that it tended to prove that the

    "buy-bust" sting operation was motivated by Marquardt's

    racial animus against Lio. Even if we assume that Marquardt

    had a strong racial animus against minority police officers,

    of which the depositions of Hinton and Matthews are



    -12- 12













    probative, and that Superintendent Saia knew this or should

    have known it, we fail to comprehend the relevancy of the

    depositions. There was no direct, circumstantial, or

    inferential evidence that Lio was "set up" as a result of

    Marquardt's racial animus toward minority officers. The

    sting operation originated with the Dedham Police Department.

    That police department informed Marquardt that Lio had been

    dealing in steroids. It was the Dedham Police who selected

    John Antoniou to make the "buy." Marquardt had reliable

    information than an officer under his command was dealing in

    drugs. He got permission from his superior officer to

    proceed with the "buy-bust" sting. There is nothing in the

    deposition testimony to suggest that he would have proceeded

    differently had the implicated officer been white instead of

    Hispanic. We think the deposition testimony could have been

    excluded on the grounds of relevancy alone.

    The district court was surely correct in excluding

    the deposition testimony on the grounds of Federal Rule of

    Evidence 404(a):

    Rule 404. Character Evidence Not Rule 404. Character Evidence Not
    Admissible To Prove Conduct; Exceptions; Admissible To Prove Conduct; Exceptions;
    Other Crimes Other Crimes

    (a) Character evidence generally. (a) Character evidence generally.
    Evidence of a person's character or a
    trait of character is not admissible for
    the purpose of proving action in
    conformity therewith on a particular
    occasion, except: . . .

    Nor does it fall within the ambit of exception (b):


    -13- 13













    (b) Other crimes, wrongs, or acts. (b) Other crimes, wrongs, or acts.
    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,
    provided that upon request by the
    accused, the prosecution in a criminal
    case shall provide reasonable notice in
    advance of trial, or during trial if the
    court excuses pretrial notice on good
    cause shown, of the general nature of any
    such evidence it intends to introduce at
    trial.

    Clearly, the purpose of plaintiff's proffer was "to

    prove the character" of Marquardt "in order to show action in

    conformity therewith." And since the proffer does not come

    within any of the exceptions in the second sentence because

    there is no evidence in the depositions showing any of the

    other purposes, the district court correctly excluded the

    deposition testimony.

    Appellant argues that Gutierrez-Rodriguez v. ________________________

    Cartagena, 882 F.2d 553 (1st Cir. 1989), is precedent for _________

    admitting the depositions into evidence. Gutierrez involved _________

    a 42 U.S.C. 1983 civil rights action brought against police

    officers of the Commonwealth of Puerto Rico for the

    unwarranted shooting of the plaintiff, rendering him a

    paraplegic. In that case the district court allowed in

    evidence under Rule 404(b) thirteen case files of the police





    -14- 14













    officer who shot the plaintiff. We affirmed the admission,

    stating:

    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.

    Id. at 572. This is not precedent for admitting the ___

    depositions in this case. Quite the contrary! The other

    cases cited by appellant in support of admitting the

    depositions are even more attenuated. Even if an argument

    could be made that the statements provide proof of motive,

    the evidence was extremely weak for the reason already given.

    The sting was orchestrated by the Dedham Police.

    The second issue as stated by appellant is:

    II. Whether the trial judge erred in
    denying Plaintiff-Appellant's Motion In
    Limine to Permit The Introduction of John
    Antoniou's Criminal Record after hearing
    and as renewed during the course of the
    trial.

    This issue does not require extended discussion.

    Antoniou was not a witness at the trial. Appellant alleges

    that he fled the jurisdiction. His deposition was not taken.

    Lio's attorney injected Antoniou into the case on his direct

    examination of Marquardt:


    -15- 15













    Q: (By Mr. Kelley): Did you have
    any other words with John
    Antoniou at that meeting other
    than what you've said here?
    A: (By Marquardt): No.
    Q: Did any of the other
    participants in this discussion
    have any words directly with
    John Antoniou that you
    overheard?
    . . .
    A: I don't remember any.
    Q: Did John Antoniou say anything?
    A: Yes.
    Q: What did he say?
    Ms. Harris: Objection. Hearsay, your __________
    Honor.
    The Court: Overruled. _________
    A: He said that he could buy drugs
    from (indicating) Adalberto
    Lio.
    Q: He said he could buy drugs?
    A: Yes sir, he did.
    Q: Did he then move on from that
    and say, "I will attempt to buy
    drugs from Adalberto Lio?"
    A: That's what I thought he was there for.
    . . .
    Q: And Antoniou at Area E told you
    that he was willing to try to
    arrange a sale of steroids from
    (indicating) Adalberto Lio, is
    that correct?
    A: Yes, sir.

    The court instructed the jury, after the statements

    of Antoniou had been admitted, as follows:

    THE COURT: Now, I think I should
    give the limiting instruction that
    [statements of Antoniou are] not being
    received to prove the truth of the
    statements made, but it has to come in
    because it's information that bears upon
    any charge of probable cause or acting
    without probable cause against various
    people . . . even if some of the
    information . . . is hearsay within
    hearsay, it's still information that is


    -16- 16













    being passed along and is taken into
    account in the whole array of information
    that the officers who are defendants, if
    they have that information, it's part of
    the information they take into account in
    determining whether action is
    appropriate.

    MR. KELLEY: I guess, then, your
    Honor, what I would request the Court to
    do is, as specifically as possible,
    emphasize that this is not being received
    for the purpose of the truth of any --

    THE COURT: I'll do that.

    Lio did not object to this instruction; to the

    contrary, he acquiesced in it.

    Finally, the record makes it clear that the police

    officers who dealt with Antoniou, including Marquardt, knew

    and acknowledged that he had a criminal record. Under all

    the circumstances here, it was not error for the district

    court to exclude the specifics of Antoniou's prior criminal

    record.

    The third and final issue raised by appellant is

    stated:

    III. Whether the trial Judge erred
    in denying Plaintiff's Motion In Limine
    to Permit the Introduction of
    Massachusetts Superior Court "Nolle
    Prosequi" and related papers under
    Federal Rules of Evidence, Rules 201 and
    803(8)(C) and in applying the so called
    "Bad Acts" restriction of Rule 404(b) to
    that evidence.

    Some explanation is in order. The district court

    allowed Lio to read to the jury the nolle prosequi docket _____ ________



    -17- 17













    entries. The jury was then instructed that these entries

    were terminations in favor of the plaintiff and satisfied one

    element of the malicious prosecution claim.

    The district court did not allow in evidence a two

    and one half page statement by the Suffolk County District

    Attorney giving the reasons for the nolle prosequi. This _____ ________

    statement was clearly hearsay; it was an out-of-court

    statement offered for the truth of what was contained

    therein. And as the court explained fully to Lio's counsel

    at the pretrial hearing on the motions in limine, it did not __ ______

    fall within the hearsay exception of Federal Rule of Evidence

    803(8)(C), which permits the introduction into evidence of

    records, reports, statements, or data
    compilations, in any form, of public
    offices or agencies, setting forth,
    . . . . in civil actions and proceedings
    and against the Government in criminal
    cases, factual findings resulting from an
    investigation made pursuant to authority
    granted by law, unless the sources of
    information or other circumstances
    indicate lack of trustworthiness.

    The following colloquy took place:

    THE COURT: Now, what is the factual
    finding that you're proposing to offer
    here?

    MR. KELLEY: The finding that, as is
    recited in the nolle prose itself,
    evidence was compromised by police
    officers, internal contradictions between
    --

    THE COURT: Wait a minute. Wait a
    minute. Where is that finding? Read me
    the language that you say constitutes --


    -18- 18













    MR. KELLEY: "Because of
    deficiencies in the way Boston Police
    officers controlled and handled the
    informant as well as physical evidence in
    this case" -- that's a factual
    determination -- "there is," therefore,
    "a substantial likelihood that the
    Commonwealth cannot establish a prima
    facie case . . . ."

    THE COURT: All right. Now, I'm
    trying to look for some finding there
    that is related to an issue in this case.
    Findings that are immaterial to this
    case, of course, don't come into evidence
    in this case. Findings that are
    immaterial to this case, of course, don't
    come into evidence in this case.

    MR. KELLEY: Of course.

    THE COURT: It's only findings that
    are material to this case.

    Now, there is not an identification
    of what the deficiencies were, so I am
    not able to tell whatever the person, the
    official making this finding was
    referring to, and unless I can determine
    what the official was referring to, then
    I cannot determine whether it's related
    to an issue in this case or instead is
    immaterial to an issue in this case.
    This is even worse than receiving
    reputation evidence or something like
    that that's a generalized statement
    that's not in point for this case.

    So, you see the problem I'm having
    is with the notion that there are, quote,
    factual findings, unquote, here that are
    material to the issues in this case. The
    mere fact that there are factual findings
    in the report doesn't make it admissible
    in this case. It covers only one of the
    aspects concerned with whether the
    evidence is admissible in this case. It
    has to be a factual finding that has
    materiality to the issues in this case
    and I am not able to tell from this form


    -19- 19













    of factual findings either (1) precisely
    what the deficiencies are or (2) how they
    affected or would affect the likelihood
    of drawing an inference in this case on
    some issue that has to be decided by the
    factfinder in this case.

    MR. KELLEY: Under subsection (C),
    as I understand it, that's the purpose of
    allowing a report on the part of an
    official who is required to investigate
    and report.

    THE COURT: If the official were
    required to investigate and make a report
    on whether Saia acted with racial animus,
    then that would be an issue that is
    involved in this case, but that's not
    what this finding is about.

    MR. KELLEY: No, it isn't, your
    Honor. It isn't offered for that.

    THE COURT: So the finding has to be
    about something that is an issue in this
    case for it to be admissible in this
    case. I don't receive evidence in this
    case of any kind, witnesses, direct or
    findings of an official, unless it's on a
    matter that is material to this case and
    that's what's missing here. There's no
    basis on which I can determine that the
    official here has made a finding on an
    issue that will be for the jury to
    consider in this case.

    MR. KELLEY: The next paragraph,
    your Honor: "Prior statements and sworn
    testimony of certain police and civilian
    witnesses necessary to proving the
    Commonwealth's case are directly
    contradictory in material aspects."

    I submit, your Honor, that's the
    province of the District Attorney.

    THE COURT: Well, wait a minute.
    No, it's the province of this jury. If I
    determine that there is -- in receiving
    evidence on admissibility determine that


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    there are contradictory statements, then
    I tell this jury: "That's for you to
    resolve, not for anybody else. Not for
    me, certainly not for some official other
    than an official of this court."

    We affirm the court's exclusion of the District

    Attorney's report for the reasons stated by the court in the

    colloquy.

    We have considered carefully appellees' motion for

    sanctions. We deny it.

    The judgment of the district court is affirmed. affirmed. ________

    Costs on appeal awarded to appellees. Costs on appeal awarded to appellees. ____________________________________

































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