United States v. Rodella , 804 F.3d 1317 ( 2015 )

FILED
United States Court of Appeals
Tenth Circuit
November 4, 2015
PUBLISH Elisabeth A. Shumaker
Clerk of Court
UNITED STATES COURT OF APPEALS
TENTH CIRCUIT
UNITED STATES OF AMERICA,
Plaintiff-Appellee,
v. No. 15-2023
THOMAS R. RODELLA,
Defendant-Appellant.
APPEAL FROM THE UNITED STATES DISTRICT COURT
FOR THE DISTRICT OF NEW MEXICO
(D.C. No. 1:14-CR-02783-JB-1)
John D. Cline, Law Office of John D. Cline, San Francisco, California, for
Defendant-Appellant.
Jeremy Peña, Assistant United States Attorney, (Damon P. Martinez, United
States Attorney, and Tara C. Neda, Assistant United States Attorney, with him on
the brief), Albuquerque, New Mexico, for Plaintiff-Appellee.
Before BRISCOE, EBEL and BACHARACH, Circuit Judges.
BRISCOE, Circuit Judge.
Defendant Thomas Rodella, the former sheriff of Rio Arriba County, New
Mexico, was convicted by a jury of one count of depriving a person of his
constitutional right to be free of unreasonable force and seizure, resulting in
bodily injury and including the use of a dangerous weapon, in violation of 18
U.S.C. § 242, and one count of brandishing a firearm during the offense, in
violation of 18 U.S.C. § 924(c)(1)(A)(ii). Rodella was sentenced to a total term
of imprisonment of 121 months for these crimes. On appeal, Rodella challenges
his convictions on several grounds. Exercising jurisdiction pursuant to 28 U.S.C.
§ 1291, we affirm.
I
Factual background
On the evening of March 11, 2014, an individual named Michael Tafoya
was driving his car from his grandfather’s residence in rural Rio Arriba County to
his own residence within the county. Tafoya stopped at the intersection of a dirt
road and a paved road known as Road 399. There, Tafoya looked both ways
before turning left onto Road 399. Shortly after entering Road 399, however,
Tafoya noticed a green, unmarked Jeep approaching him rapidly from behind.
The Jeep began flashing its headlights and soon thereafter began tailgating
Tafoya’s vehicle.
Tafoya, upset at being tailgated by the Jeep, stepped on his brake pedal in
order to flash his brake lights at the Jeep. The Jeep did not, however, respond to
this action. Tafoya, increasingly frustrated, “flipped off” the driver of the Jeep
through his rear window. Again, however, the Jeep refused to back away and
2
instead continued to tailgate Tafoya’s vehicle.
Tafoya continued driving on Road 399 until he spotted a place where he
could pull over. There, Tafoya pulled off to the right side of Road 399. As the
Jeep passed by, Tafoya reached one of his hands near the front of his windshield
and again “flipped off” the Jeep. The driver of the Jeep responded by slamming
on the brakes, coming to a stop directly on Road 399, and driving in reverse at a
rapid rate of speed back to the spot near where Tafoya was parked on the side of
the road. The Jeep came to a complete stop and two men wearing plain clothes
got out: defendant Rodella, who was the passenger, and Rodella’s son, 26-year-
old Thomas Rodella, Jr., who was the driver. According to Tafoya, both men
started walking towards his Mazda in an aggressive fashion while simultaneously
telling Tafoya to “come on.” Aplee. Supp. App., Vol. IV at 789. At no point,
according to Tafoya, did Rodella flash a badge or otherwise identify himself as a
law enforcement officer. Tafoya, unaware of either man’s identity and believing
that the two men wanted to fight him, sped off in his vehicle down Road 399.
Rodella and his son got back in their Jeep and, with Rodella Jr. again driving,
began to follow Tafoya.
Tafoya became scared when he realized that the Jeep was following him
again. In an effort to escape the Jeep, Tafoya began driving approximately 60 to
65 miles per hour on Road 399, well over the posted speed limit of 35 miles per
hour. Tafoya also mentally devised a planned route that he thought would allow
3
him to reverse course. Tafoya, however, missed his intended turn. Panicked,
Tafoya rolled down his windows and yelled at a jogger, “Call the police.
Someone is after me.” Id. at 795. Tafoya then turned into a nearby driveway.
The Jeep quickly turned into the driveway behind Tafoya’s vehicle. Tafoya
shifted his vehicle into reverse, turned his steering wheel, and began driving in
reverse in an attempt to evade the Jeep. Unbeknownst to Tafoya, there was a
metal pole anchored in the middle of the driveway. The rear end of Tafoya’s
vehicle struck the pole, stopping the rearward progress of his vehicle.
As Tafoya’s vehicle became stuck on the metal pole, Rodella jumped out of
the passenger side of the Jeep, ran towards Tafoya’s vehicle, grabbed for the
handle on the front passenger-side door, but bounced off and away from the
vehicle. Rodella approached Tafoya’s vehicle again, successfully opened the
front passenger side door, and jumped into the front passenger seat. According to
Tafoya, Rodella had a shiny silver firearm in his hand. The firearm was later
confirmed to be a .38 Special revolver.
Tafoya grabbed at Rodella’s wrists while saying repeatedly, “Please don’t
kill me.” Id. at 805. According to Tafoya, Rodella kept trying to turn the gun
towards Tafoya. Rodella also, according to Tafoya, responded to Tafoya by
saying, “It’s too late, it’s too late.” Id. As Tafoya and Rodella continued to
struggle, Rodella Jr. approached the driver’s side of Tafoya’s vehicle, opened the
door, grabbed Tafoya, pulled him out of the vehicle, and threw him facedown on
4
the ground. Tafoya struggled to get up while saying to Rodella Jr., “Please don’t
kill me.” Id. at 806-07. Rodella Jr. told Tafoya to stop struggling and then said
to Tafoya, “Don’t you realize he’s the sheriff?” Id. at 807. Upon hearing this,
Tafoya “just kind of froze” in shock. Id. at 808.
Tafoya, after attempting to calm himself, asked if he could see Rodella’s
badge in order to confirm that he was the sheriff. Rodella responded by saying,
“You want to see my badge?” Id. at 809. Rodella then approached Tafoya while
he was still laying face down on the ground, grabbed the back of Tafoya’s hair,
and slapped Tafoya across the right cheek with his sheriff’s badge while saying,
“Here’s my badge, motherfucker.” Id. Rodella followed up by “stuff[ing] it” in
Tafoya’s right eye and slamming Tafoya’s head into the ground. Id. at 809-10.
Tafoya remained on the ground for several minutes until deputies from the
Rio Arriba Sheriff’s Office arrived on the scene. It is undisputed that the
deputies were contacted directly during the chase by Rodella. At no time did
Rodella contact a dispatcher to report the chase or to request back-up officers.
The deputies picked up Tafoya, took him to the front of his car, and frisked
him. Tafoya attempted to explain himself to the deputies, to no avail. Tafoya
was subsequently taken by a deputy to the sheriff’s office, where he was detained
for several hours and charged with a felony offense. Tafoya was then transported
to a county jail where he was held for several days before being bailed out by his
grandfather. The criminal charges against Tafoya were subsequently dismissed.
5
Upon his release from jail, Tafoya contacted the Federal Bureau of Investigation
(FBI) and reported what had happened to him.
Procedural background
On August 12, 2014, a federal grand jury indicted Rodella on four criminal
counts. 1 Count 1 charged him with conspiring with Rodella Jr. to violate
Tafoya’s constitutional right to not be subjected to unreasonable seizures, in
violation of 18 U.S.C. § 241. Count 2 charged Rodella with depriving Tafoya of
his civil rights, in violation of 18 U.S.C. §§ 242 and 2. Count 3 charged Rodella
with brandishing a firearm in connection with the offense alleged in Count 2, in
violation of 18 U.S.C. § 924(c)(1)(A)(ii). Count 4 charged Rodella with
falsifying a document (his official written account of what happened prior to and
during the arrest of Tafoya), in violation of 18 U.S.C. § 1519.
On September 9, 2014, the grand jury returned a two-count superseding
indictment that omitted the conspiracy and falsification-of-document charges.
Count 1 of the superseding indictment charged Rodella with deprivation of
Tafoya’s constitutional right to be free of unreasonable force and seizure, in
violation of 18 U.S.C. § 242. Count 2 of the superseding indictment charged
Rodella with the use of a dangerous weapon in connection with that offense, in
1
The indictment also charged Rodella Jr. with the same crimes. Those
charges, however, were ultimately dismissed pursuant to the government’s
unopposed motion.
6
violation of 18 U.S.C. § 924(c)(1)(A)(ii).
Rodella proceeded to trial in late September 2014. At the conclusion of all
the evidence, the jury found him guilty of both counts alleged in the superseding
indictment.
On January 1, 2015, the district court sentenced Rodella to a term of
imprisonment of 37 months on Count 1 and a mandatory consecutive 7-year
sentence on Count 2, resulting in a total term of imprisonment of 121 months.
II
Sufficiency of the evidence
In his first issue on appeal, Rodella contends that the evidence presented at
trial was insufficient to support his conviction for violating 18 U.S.C. § 242.
“We review the denial of a motion for judgment of acquittal, and hence the
sufficiency of the evidence to support the jury verdict, de novo.” United States v.
Sparks, 791 F.3d 1188, 1190 (10th Cir. 2015). In doing so, “[w]e view the
evidence in the light most favorable to the government to determine whether a
rational trier of fact could have found the elements of the offense beyond a
reasonable doubt.” Id. at 1190-91. “We do not decide matters of credibility or
reweigh the evidence.” Id. at 1191.
Section 242 of Title 18 prohibits, in pertinent part, a person acting “under
color of any law” from “willfully subject[ing] any person in any State, Territory,
Commonwealth, Possession, or District to the deprivation of any rights,
7
privileges, or immunities secured or protected by the Constitution or laws of the
United States.” 18 U.S.C. § 242. It also provides, as relevant here, that “if
bodily injury results from [such] acts . . . or if such acts include the use,
attempted use, or threatened use of a dangerous weapon,” the defendant “shall be
fined under this title or imprisoned not more than ten years, or both.” Id.In this case, the superseding indictment alleged that Rodella “willfully
deprived [Tafoya] of the right, protected and secured by the Constitution and laws
of the United States, not to be subjected to unreasonable seizure by a law
enforcement officer.” Dist. Ct. Docket No. 55 at 1. Although the superseding
indictment did not identify which portion of the Constitution secured this right,
the indictment was presumably referring to the Fourth Amendment. The Fourth
Amendment expressly protects individuals from “unreasonable searches and
seizures.” U.S. C ONST . amend. IV.
As outlined in the Tenth Circuit Pattern Criminal Jury Instructions, the
essential elements of the § 242 charge at issue in this case are as follows: (1) the
defendant was acting under color of law when he committed the acts charged in
the indictment; (2) the defendant deprived Tafoya of his right to be free of
unreasonable seizures (including the right to be free from unlawful arrests and the
right to not be subjected to excessive force), which is a right secured by the
Constitution of the United States; (3) the defendant acted willfully, that is, the
defendant acted with a bad purpose, intending to deprive Tafoya of that right; and
8
(4) the offense resulted in bodily injury to Tafoya or the offense included the use,
attempted use or threatened use of a dangerous weapon. See 10th Cir. Crim.
Pattern Jury Instructions No. 2.17 (2011).
The government presented to the jury two alternative theories to establish
Rodella’s criminal liability on Count 1: (1) that Rodella unlawfully arrested
Tafoya; and (2) that Rodella used unreasonable force in the course of arresting
Tafoya. The jury ultimately found in the government’s favor on both theories as
indicated on its special verdict form. Aplt. App. at 177. The only caveat is that,
in considering the unreasonable force theory, the jury found beyond a reasonable
doubt that Rodella “used or threatened to use a dangerous weapon,” but did not
find beyond a reasonable doubt that Rodella “caused . . . Tafoya to suffer bodily
injury.” Id. In his appeal, Rodella challenges the jury’s findings on both theories
of criminal liability.
a) Unlawful arrest
Tafoya argues that the evidence presented at trial did not establish that he
arrested Tafoya without probable cause. To the contrary, he asserts, he “had
ample probable cause to arrest Tafoya . . . for violations of state law,” Aplt. Br. at
16, including (a) that “Tafoya’s Mazda displayed expired temporary tags on the
rear of the vehicle” and “[h]is valid plate was inside the front windshield,” both
in violation of New Mexico state law, id.; (b) that Tafoya “committed the
misdemeanor of careless driving,” in violation of New Mexico law, when he
9
“brake checked” in response to the Jeep initially approaching the rear of his
vehicle, id. at 17; (c) that Tafoya “drove 60 or 65 MPH in a 35 MPH zone,” id.;
(d) that Tafoya “sped through a heavily populated area, driving fast enough that
he could have flipped his car, and potentially putting other people in danger;” id.
(internal citations omitted); and (e) that Tafoya “drove through a stop sign
without making a complete stop,” id. at 18.
The initial problem with Rodella’s argument is that he failed to assert
below that Tafoya committed, and thus the jury should consider, all of the alleged
infractions that he now points to in his appellate brief. At trial, the district court,
pursuant to Rodella’s request, instructed the jury that it should consider whether
Tafoya committed four specific offenses: (1) resisting, evading or obstructing a
peace officer, (2) aggravated assault on a peace officer by use of a deadly weapon
(i.e., Tafoya’s car), (3) careless driving, and (4) reckless driving. Aplt. App. at
199-200 (Instruction No. 14, which discussed the concept of probable cause and
outlined the types of conduct that could have given rise to probable cause in this
case). Thus, Rodella has forfeited any argument that his arrest of Tafoya was
justified by the unusual placement of Tafoya’s license plate or the existence of
the expired temporary tags. 2
2
In any event, no witness testified at trial that the placement of Tafoya’s
license plate, or the existence of his expired temporary tags, violated New Mexico
state law. Thus, the jury would have had no evidence upon which to find that
(continued...)
10
Turning to the evidence presented at trial, it is important to note that
Rodella did not testify in his own defense. That left the jury, in considering
Rodella’s defense to the unlawful arrest charge, to consider the testimony of the
only other known eyewitnesses to the incident: Tafoya, Mark Thompson, and
Rodella Jr. Thompson is the individual who owned the property where the arrest
occurred and he was jogging nearby when the arrest occurred. Thompson’s
testimony, viewed in the light most favorable to the government, was generally
supportive of Tafoya’s testimony regarding what occurred. In particular,
Thompson testified that: (a) Tafoya appeared scared when he first saw him (i.e.,
when Tafoya slowed down and yelled out his window for Thompson to call the
police); (b) he heard Tafoya beg Rodella not to shoot him; and (c) after Tafoya
was removed from his vehicle and forced to the ground, he heard Tafoya say to
Rodella, “Why did you pull a gun on me? I didn’t know you were a Sheriff,”
Aplee. Supp. App., Vol. V at 1107. Rodella Jr., who testified in his father’s
defense, painted a dramatically different picture of what occurred. For example,
Rodella Jr. denied tailgating Tafoya’s vehicle, denied that he backed up the Jeep
directly on Road 399, denied that he or his father walked or talked aggressively
when approaching Tafoya during their initial encounter (i.e., when Tafoya pulled
off to the side of the road to let the Jeep pass), alleged that his father displayed
2
(...continued)
Rodella possessed probable cause to arrest Tafoya for these purported violations.
11
his badge during the initial encounter, alleged that he never drove above the speed
limit while chasing Tafoya’s vehicle, alleged that his father displayed his badge
again when he approached Tafoya’s vehicle in the driveway, and denied that his
father struck Tafoya with the badge. But the jury clearly could have concluded,
and presumably did conclude, that Rodella Jr.’s testimony was not credible. In
turn, the jury reasonably could have, and apparently did, accept Tafoya’s version
of the events.
Assuming that the jury accepted Tafoya’s testimony as true, they in turn
necessarily would had to have found that a reasonable person in Tafoya’s position
would not have known that Rodella was a law enforcement officer. As a result,
they would had to have found, under the instructions given to them by the district
court, that Rodella was not in “uniform,” as defined by New Mexico law, and thus
could not have legally detained or arrested Tafoya. 3 Aplt. App. at 197
(Instruction No. 13).
Relatedly, the jury reasonably could have found that Tafoya’s flight and
any careless or reckless driving that he engaged in was provoked by Rodella.
3
The district court instructed the jury, in pertinent part, that “[i]n New
Mexico, a sheriff cannot arrest or detain an individual for a traffic violation
unless he is wearing a uniform.” Aplt. App. at 197 (Instruction No. 13). The
district further instructed the jury that “[t]he test for whether an officer was in
‘uniform’ is whether there are sufficient indicia that would permit a reasonable
person to believe the person purporting to be a peace officer is, in fact, who he
claims to be.” Id.
12
Although the law regarding provocation “is far from developed,” both the
Supreme Court and other circuits “have touched on this issue” of what constitutes
provoked flight. United States v. Jeter, 721 F.3d 746, 753 (6th Cir. 2013)
(collecting cases). Both the Sixth and Eleventh Circuits have concluded, and we
agree, “that officers cannot improperly provoke—for example, by fraud—a person
into fleeing and use the flight to justify a stop.” United States v. Franklin, 323
F.3d 1298, 1302 (11th Cir. 2003); see Jeter, 721 F.3d at 754 (holding that “[f]raud
. . . would surely suggest wrongdoing on the part of the officers and thus make a
finding of provocation more likely”); see also Illinois v. Wardlow, 528 U.S. 119,
125 (2000) (holding that an individual’s “unprovoked” flight was sufficient to
give officers reasonable suspicion to conduct a Terry stop). In addition, the Sixth
Circuit has indicated, and we agree, that “[i]f police officers put a defendant in
reasonable fear of physical harm, that might also qualify as provocation.” Jeter,
721 F.3d at 754. Applying those principles in this case, we conclude that the jury
reasonably could have found, based upon Tafoya’s testimony, that the actions of
Rodella and his son placed Tafoya in reasonable fear of physical harm and in turn
provoked Tafoya into panicking and fleeing for his safety. In other words, we
conclude that the jury reasonably could have found that Rodella and his son
provoked Tafoya into committing the alleged traffic violations that Rodella
identified at trial.
13
For these reasons, we reject Rodella’s challenge to the sufficiency of the
evidence underlying the jury’s finding that he unlawfully arrested Tafoya.
b) Excessive force
Tafoya also challenges the sufficiency of the evidence underlying the jury’s
finding that he used excessive force during the arrest of Tafoya. Specifically,
Rodella notes that “[t]he jury found that the government had not proven” that
Tafoya suffered “any bodily injury,” and he argues that “the evidence does not
establish that Tafoya incurred more than de minimis emotional injury.” Aplt. Br.
at 20.
In support of his position, Rodella points to this court’s en banc decision in
Cortez v. McCauley, 478 F.3d 1108 (10th Cir. 2007). Cortez was not a criminal
case, but rather a civil case in which the plaintiffs, Rick and Tina Cortez, a
married couple who resided in New Mexico, filed claims against county officials
under 42 U.S.C. § 1983 alleging, in part, that they had been unlawfully arrested
or detained and subjected to excessive force. Defendants moved for summary
judgment on the grounds of qualified immunity. The district court denied
defendants’ motion and defendants filed an interlocutory appeal. After a three-
judge panel initially heard and decided the case, the court “granted rehearing en
banc primarily to consider under what circumstances, if any, an excessive force
claim is subsumed in an unlawful arrest claim.” Id. at 1112. In considering Rick
Cortez’s claim that he was subjected to excessive force at the time of his arrest,
14
this court noted that the evidence, considered in the light most favorable to
plaintiffs, established that the defendants “(1) grabbed Rick Cortez by the arm
and pulled him from the doorway of his home; (2) handcuffed him; (3) placed him
in the back seat of a locked patrol car—all in the middle of the night, and (4)
ignored his pleas that the handcuffs were too tight and hurting him.” Id. at 1126.
The court in turn “conclud[ed] that a small amount of force, like grabbing Rick
Cortez and placing him in the patrol car, is permissible in effecting an arrest
under the Fourth Amendment.” Id. at 1128. “The closer issue,” the court stated,
“[wa]s whether the failure to adjust Rick Cortez’s handcuffs during an arrest
constitute[d] excessive force.” Id. at 1129. The court explained:
In some circumstances, unduly tight handcuffing can constitute
excessive force where a plaintiff alleges some actual injury from the
handcuffing and alleges that an officer ignored a plaintiff’s timely
complaints (or was otherwise made aware) that the handcuffs were
too tight. Although Rick Cortez complained that the handcuffs were
too tight, the summary judgment record presents too little evidence
of any actual injury. We believe that a claim of excessive force
requires some actual injury that is not de minimis, be it physical or
emotional. The only evidence in the record is his affidavit that the
handcuffs left red marks that were visible for days afterward. This is
insufficient, as a matter of law, to support an excessive force claim if
the use of handcuffs is otherwise justified.
Id. (internal citations and footnotes omitted). In a footnote to this passage, the
court also stated:
Plaintiffs alleged that Defendants [sic] use of excessive force caused
[actual] injury [that was not de minimis]. Aplt. App. at 26, ¶ 29. In
order to recover on an excessive force claim, a plaintiff must show:
(1) that the officers used greater force than would have been
15
reasonably necessary to effect a lawful seizure, and (2) some actual
injury caused by the unreasonable seizure that is not de minimis, be
it physical or emotional. See Tarver v. City of Edna, 410 F.3d 745,
752 (5th Cir. 2005) (allegations of de minimis physical harm from
handcuffing were insufficient, nor did plaintiff demonstrate “that he
suffered psychological injury from the handcuffing”).
Id. n.25.
Although this language from Cortez was broadly worded, the fact remains
that the opinion dealt only with Rick Cortez’s narrow claim that he was
handcuffed too tightly. And this court’s post-Cortez cases reflect the view that
the holding in Cortez is limited to handcuffing cases. See Maresca v. Bernalillo
Cty., — F.3d —, 2015 WL 6384984 at *11 (10th Cir. 2015) 4; Koch v. City of Del
City, 660 F.3d 1228, 1247 (10th Cir. 2011) (holding that in cases in which the
manner of handcuffing is alleged to have constituted excessive force, Cortez
requires proof of an actual injury that is not de minimis); Fisher v. City of Las
Cruces, 584 F.3d 888, 894 (10th Cir. 2009) (stating that Cortez “explain[s]” what
must be proven “in a handcuffing case”).
Moreover, the Supreme Court’s decision in Wilkins v. Gaddy, 559 U.S. 34(2010), effectively rebuts any assertion that Cortez’s “de minimis injury”
requirement is applicable beyond handcuffing-only cases. Wilkins involved a §
1983 claim of excessive force brought by a state prisoner against a corrections
4
Maresca distinguishes some arguably broader language in Aldaba v.
Pickens, 777 F.3d 1148, 1161 n.3 (10th Cir. 2015) as dicta.
16
officer. The district court in Wilkins dismissed the action for failure to state a
claim, holding that, “in order to state an excessive force claim under the Eighth
Amendment, a plaintiff must establish that he received more than a de minimis
injury.” Id. at 35 (internal alterations omitted). The plaintiff prisoner appealed
and the Fourth Circuit summarily affirmed the district court’s decision. The
Supreme Court, however, granted the prisoner’s petition for certiorari and
reversed the judgment. In doing so, the Court emphasized that in Hudson v.
McMillian, 503 U.S. 1 (1992), it had “rejected the notion that ‘significant injury’
is a threshold requirement for stating an excessive force claim.” 559 U.S. at 37(quoting Hudson, 503 U.S. at 7). To be sure, the Court noted, “[t]he extent of
injury may . . . provide some indication of the amount of force applied.” Id. But,
the Court stated, “[i]njury and force . . . are only imperfectly correlated, and it is
the latter that ultimately counts.” Id. at 38.
Notably, the Eighth Circuit has applied Wilkins to Fourth Amendment
excessive force claims generally, while carving out a narrow exception for
handcuffing-only claims. Specifically, in Chambers v. Pennycook, 641 F.3d 898(8th Cir. 2011), the Eighth Circuit rejected the notion “that evidence of only de
minimis injury necessarily forecloses a claim of excessive force under the Fourth
Amendment.” Id. at 906. To be sure, the Eighth Circuit noted, “[a] de minimis
use of force is insufficient to support a claim, and it may well be that most
plaintiffs showing only de minimis injury can show only a corresponding de
17
minimis use of force.” Id. (internal citations omitted). “But,” the court stated, “it
is logically possible to prove an excessive use of force that caused only a minor
injury, and a rule that forecloses a constitutional claim in that circumstance
focuses on the wrong question.” Id. As for handcuffing-only cases, the Eighth
Circuit stated:
Our cases concerning excessive force claims arising from
handcuffing do include language that might support the position of
the officers here. We said in Hanig v. Lee, 415 F.3d 822 (8th Cir.
2005), that “[f]or the application of handcuffs to amount to excessive
force, there must be something beyond minor injuries.” Id. at 824;
accord Crumley v. City of St. Paul, 324 F.3d 1003, 1008 (8th Cir.
2003). Those decisions, however, should not be read to establish a
general rule equating quantum of injury with quantum of force under
the Fourth Amendment. “Handcuffing inevitably involves some use
of force,” Wertish, 433 F.3d at 1067, and it almost inevitably will
result in some irritation, minor injury, or discomfort where the
handcuffs are applied. See Rodriguez v. Farrell, 280 F.3d 1341,
1351 (11th Cir. 2002). To prove that the force applied was excessive
in that context, therefore, a plaintiff must demonstrate something
more. See Fisher v. City of Las Cruces, 584 F.3d 888, 898 (10th Cir.
2009). As a general proposition, however, there is no uniform
requirement that a plaintiff show more than de minimis injury to
establish an application of excessive force. See Lambert v. City of
Dumas, 187 F.3d 931, 936 (8th Cir. 1999) (holding that “[a] single
small cut of the lateral right eyelid and small scrapes of the right
posterior knee and upper calf” were sufficient to support an
excessive force claim).
Id. at 907; see Royster v. Nichols, 698 F.3d 681, 691 (8th Cir. 2012).
The Eleventh Circuit has also applied the holding in Wilkins to an
excessive force claim brought under the Fourth Amendment. In doing so, the
Eleventh Circuit stated: “We see no reason why the same rationale [outlined in
18
Wilkins] should not apply in a Fourth Amendment excessive force case.”
Saunders v. Duke, 766 F.3d 1262, 1270 (8th Cir. 2014). “After all,” the court
stated, “a plaintiff claiming excessive force under the Fourth Amendment can
seek nominal damages if he does not have compensable injuries.” Id.In light of the authorities discussed above, we reject the central premise of
Rodella’s argument, i.e., that there is a de minimis injury requirement for Fourth
Amendment excessive force claims in cases which involve more than
handcuffing. 5 As a result, we conclude Rodella’s challenge to the sufficiency of
the evidence underlying his conviction for violating 18 U.S.C. § 242 is without
merit.
Failure to instruct on de minimis injury “requirement”
In his second issue on appeal, Rodella contends, again citing Cortez, that
the district court violated his Fifth and Sixth Amendment right to a jury
determination on every essential element by failing to instruct the jury that, in
order to convict him on the government’s excessive force theory, it had to find
that Tafoya suffered more than de minimis physical or emotional injury.
Generally speaking, “we consider the refusal to give a requested jury
5
We also note, in any event, that the evidence presented by the
government at trial, most notably Tafoya’s own testimony and that of his friend,
Renee Dominguez, was more than sufficient to allow the jury to find that Tafoya
suffered significant emotional trauma as a result of Rodella’s conduct in arresting
him.
19
instruction under the abuse-of-discretion standard.” United States v. Kupfer, 792
F.3d 1226, 1229 (10th Cir. 2015). “In order to assess whether the court properly
exercised its discretion, we review the jury instructions de novo to determine
whether, as a whole, they accurately state the governing law and provide the jury
with an accurate understanding of the relevant legal standards and factual issues
in the case.” United States v. Faust, 795 F.3d 1243, 1251 (10th Cir. 2015)
(internal quotation marks omitted).
The parties dispute whether Rodella preserved this argument by sufficiently
arguing it before the district court. It is unnecessary for us to resolve this dispute
because, even assuming that Rodella properly preserved the argument, there is no
merit to it. As discussed above, there is no de minimis injury requirement for
Fourth Amendment excessive force claims that involve more than mere
handcuffing. Consequently, we conclude the district court did not abuse its
discretion in refusing to instruct the jury otherwise.
Admission of evidence of other incidents involving Rodella
In his third issue on appeal, Rodella argues that the district court erred in
admitting evidence of his involvement in three other incidents pursuant to Fed. R.
Evid. 404(b). We review a district court’s decision to admit evidence under Rule
404(b) for an abuse of discretion. United States v. Nance, 767 F.3d 1037, 1042
(10th Cir. 2014). Under this standard, we will not reverse unless the district
court’s decision exceeded the bounds of permissible choice in the circumstances
20
or was arbitrary, capricious or whimsical. Id.Rule 404(b)(1) states that “[e]vidence 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.” Fed. R. Evid.
404(b)(1). Rule 404(b)(2), however, states that “[t]his evidence may be
admissible for another purpose, such as proving motive, opportunity, intent,
preparation, plan, knowledge, identity, absence of mistake, or lack of accident.”
Fed. R. Evid. 404(b)(2).
a) The three other incidents
The following is a brief description of the three other incidents:
1) The Maes incident. One night in January 2014, Yvette Maes, a resident
of Alcalde, New Mexico, was driving her car in a rural area of Rio Arriba County.
Maes turned onto the Chamita main road and, in doing so, noticed only headlights
in the distance. Soon thereafter, however, a large vehicle approached her from
behind at a high rate of speed and eventually closed to within six feet of Maes’
sedan, causing Maes to have to adjust her rearview mirror as a result of the
vehicle’s headlights. Maes, who had been driving at the 45 mile-per-hour speed
limit, slowed down to approximately 35 miles per hour in order allow the vehicle
to pass. The vehicle continued to tailgate Maes for approximately five minutes or
longer before ultimately passing her. Maes, upset at what had occurred, flashed
her high beams at the vehicle in retaliation. As soon as Maes did so, the top
21
lights on the passing vehicle came on. Maes, aware for the first time that the
vehicle belonged to a law enforcement officer, stopped her vehicle and began
gathering her driver’s license, registration and insurance identification card.
The driver of the vehicle, Rodella, got out and approached Maes’ vehicle
on foot. When he arrived at Maes’ vehicle, Rodella did not ask her for her license
or papers. Instead, he asked her “what the hell did [she] think [she] was doing?”
Aplee. Supp. App., Vol. VI at 1336. Rodella was visibly upset and swore at
Maes. Maes, who was mad because she believed that Rodella’s driving behavior
had endangered her life and that of her daughter, who was riding with her,
answered him by saying, “I could ask you the same by your behavior of tailgating
me.” Id. Rodella “responded that [Maes] didn’t know what he was doing, if he
was on an emergency call, or on his way to an emergency.” Id. Maes in turn
stated, “Yeah, right, I do not know. You didn’t have your emergency lights on.
How was I to know?” Id. Rodella said, “Did you know that flashing your
headlights at anyone is a form of road rage.” Id. at 1337. Maes responded, “Yes,
as tailgating is also.” Id. Rodella told Maes “that the appropriate thing for [her]
to have done, when someone was tailing [her] that way, is to pull over to the side
of the road.” Id. Maes responded, “Yes, that may be true, but not in the dead of
night, not when two women [are] traveling on the road, not when you don’t
recognize who is tailgating you at such a close distance. I didn’t feel that it was
safe for me to pull over to the side of the road.” Id. Rodella said, “So what do
22
you think, I should take you to jail?” Id. Maes told Rodella that “if he felt that
that was the appropriate thing to do, then he needed to do what was right.” Id.Rodella responded by turning around, walking back to his vehicle, and driving
away.
2) The Ledesma incident.
On March 20, 2013, Jacob Ledesma, a resident of Las Cruces, New Mexico,
was driving on State Road 84, a two-lane road that runs through Rio Arriba
County, with his wife and teenage son en route to Colorado. Ledesma was
traveling behind two other vehicles when he observed ahead in the distance a
brown, unmarked sport-utility vehicle (SUV) parked by the side of the road. The
SUV abruptly pulled out in front of the three vehicles, forcing all of them to
dramatically lower their speed. Ledesma, noting that he was in a designated
passing zone and that there was no oncoming traffic, responded by passing the
SUV and the two vehicles that had been in front of him. As soon as Ledesma
pulled in front of the SUV, however, the driver of the SUV turned on the SUV’s
headlights and strobe lights, which were located within the headlights. Ledesma,
not knowing who was driving the SUV, was unsure whether to stop. At the
recommendation of his wife, however, Ledesma decided to pull over to the side of
the road. The SUV responded by pulling over behind Ledesma’s vehicle.
The driver of the SUV, defendant Rodella, who was wearing a black shirt
and blue jeans, got out of the SUV, walked up to Ledesma’s vehicle, and asked
23
Ledesma, “Do you know why I pulled you over?” Id. at 1368. Ledesma
responded, “I don’t even know who you are.” Id. Rodella, visibly upset by
Ledesma’s response, pulled out his wallet and showed Ledesma his driver’s
license. Ledesma responded, “Well, I have one of those, too, but I still don’t
know who you are.” Id. Rodella reached into his pocket, pulled out his badge
and threw it at Ledesma. The badge hit the rearview mirror and was caught by
Ledesma. After examining the badge, Ledesma said to Rodella, “Okay, why did
you pull me over?” Id. at 1369. Rodella said, in an elevated voice, “I pulled you
over because you passed in a no passing zone.” Id. Ledesma denied having done
so and suggested that they drive back and look at the area where he had passed
Rodella’s SUV. Rodella refused to do so and instead asked for Ledesma’s
driver’s license, registration, and proof of insurance. According to Ledesma,
Rodella ripped the documents out of his hands and returned to the SUV, where he
stayed for approximately 15 to 20 minutes. Ultimately, two sheriff’s deputies
arrived in a marked vehicle and Rodella left. The deputies issued Ledesma two
citations: one for passing in a no passing zone and a second one for not having
signed his vehicle registration form. Ledesma tried to reason with the deputies,
but one said, “He’s my boss. I have to do it [give you a citation].” Id. at 1374.
Ledesma subsequently returned to the area where he received the citations and
confirmed that he had, in fact, passed in a legal passing zone. When Ledesma
returned home, he sent an email to Rodella and the Rio Arriba County
24
Commissioners explaining his side of the story. Ledesma, however, never
received a response. The citations against Ledesma were ultimately dismissed in
return for Ledesma agreeing to pay the court costs.
3) The Gonzales incident.
In August 2013, New Mexico resident Lisa Gonzales and her husband were
driving on Highway 84 near Tierra Amarilla in Rio Arriba County. As they were
heading up a hill, a dark blue, unmarked Ford truck came up on them from behind
driving very fast. The truck pulled within approximately a car length of and
began tailgating the Gonzaleses’ vehicle. As the Gonzaleses continued to drive
up the hill, they came upon a truck and attached camper-trailer that was slowing
down to turn left. Mr. Gonzales, who was driving, slowed down in response. The
Ford truck continued to tailgate him. As soon as the truck and camper pulled off
of the highway in front of him, Mr. Gonzales sped up to get away from the Ford
truck. Almost immediately, the Gonzaleses became aware of lights flashing on
the Ford truck. Mr. Gonzales slowed down and put his right blinker on to signal
his intent to pull over. However, due to the highway conditions, there was
nowhere to pull over immediately. Looking ahead of him, Mr. Gonzales spotted a
driveway and planned to pull in there. Before he could do so, however, the Ford
truck entered the passing lane and pulled even with the Gonzaleses’ vehicle. The
driver of the Ford truck, defendant Rodella, pointed at the Gonzaleses in a
threatening manner and yelled out the passenger side window of the truck, “Pull
25
the fuck over. Now.” Id. at 1429. Mr. Gonzales pulled into the driveway that he
had located and the Ford truck pulled in immediately in front of him, blocking the
Gonzaleses’ vehicle.
Rodella, who was wearing blue jeans, a blue button-down shirt, a
lightweight jacket and a black cowboy hat, got out of his truck and walked to the
Gonzaleses’ vehicle. Rodella asked, “Why didn’t you pull over immediately
when I told you to?” Id. at 1432. Mr. Gonzales said, “We were trying to find –
you know, we saw there was a place to pull over.” Id. Rodella said, in an
aggressive manner, “You don’t speed in my county. Who do you think has to
clean up the carnage?” Id. Mr. Gonzales gave his registration and insurance
papers to Rodella, who took them with him back to his truck. While waiting for
Rodella to return, the Gonzaleses decided “to keep [their] mouth[s] shut” and act
politely. Id. at 1433. When Rodella returned to the Gonzaleses’ vehicle, Mr.
Gonzales began responding to Rodella with the phrase, “Yes, sir.” Id. at 1434.
According to Lisa Gonzales, this resulted in a noticeable change in Rodella’s
demeanor. Ultimately, Rodella returned the papers to Mr. Gonzales and stated, “I
don’t want to catch you speeding through my county again.” Id. at 1435.
According to Lisa Gonzales, she and her husband sat in their car for
approximately five minutes after the encounter because “[they] were shaken up.”
Id. at 1436.
26
b) The district court’s decision to admit the evidence
Prior to trial, the government filed a motion in limine, as well as an
amended motion in limine, seeking to introduce evidence of these three incidents
pursuant to Rule 404(b) in order “to show motive, intent, plan, knowledge,
absence of mistake, and lack of accident.” Aplt. App., Vol. 1 at 30. More
specifically, the government asserted that these other incidents: (a) “show[ed]
Defendant’s motive and intent in pursuing [Tafoya], which was to express his
road rage and to punish any disrespect he perceived from citizens of Rio Arriba
County,” id.; (b) “show[ed] that Defendant ha[d] a plan to compel citizens to
submit to his authority,” and that “[h]is plan [wa]s to drive in a threatening and
provocative manner towards other motorists, . . . and if he succeed[ed] in
provoking any disrespectful act . . . he w[ould] force the motorist to submit
through a display of his authority,” id. at 31; (c) “show[ed] that Defendant knew
that he was expressing road rage toward [Tafoya] and knew that [Tafoya] did not
know that Defendant was actually the sheriff,” id.; and (d) “show[ed] absence of
mistake and lack of accident,” id.On the eve of trial, the district court issued a memorandum opinion and
order granting the government’s motion in limine and amended motion in limine.
In doing so, the district court, applying the factors outlined in Huddleston v.
United States, 485 U.S. 681 (1988), concluded that the government “ha[d]
established proper purposes for its 404(b) evidence.” Aplt. App., Vol. 1 at 131.
27
The district court further concluded that “the evidence [wa]s relevant,” id.because “the similarities between the prior incidents and the charged crime
create[d] a tendency that ma[de] the likelihood that Rodella acted willfully more
probable than if evidence of the prior incidents were excluded,” id. at 134-135.
In other words, the district court stated, “[t]he [government] is tasked with
proving the high burden of willfulness, and evidence of these three prior incidents
is probative to proving willfulness, if used for the proper purposes of showing
motive, intent, plan, absence of mistake, and lack of accident.” Id. at 137
(internal citation omitted). To reduce the likelihood of unfair prejudice, the
district court directed the government, during closing arguments, “to state with
particularity the proper purposes for which the jury may consider the evidence of
the three prior incidents to ensure that the jury d[id] not use the evidence for an
improper purpose.” Id. at 131. Finally, the district court concluded that “the risk
of potential unfair prejudice d[id] not substantially outweigh the probative value
of the evidence.” Id.
At trial, the government presented testimony from Yvette Maes, Jacob
Ledesma, and Lisa Gonzales regarding these three incidents. The government
also, during its initial closing argument, called the jury’s attention to Jury
Instruction No. 7, which discussed the purpose of testimony from Maes, Ledesma,
and Gonzales. In doing so, government counsel stated, “You may consider that
evidence only as it bears on Mr. Rodella’s motive, intent, plan, knowledge,
28
absence of mistake, or accident, and for no other purpose.” Aplee. Supp. App.,
Vol. VIII at 1841.
c) Analysis
“To determine whether Rule 404(b) evidence was properly admitted we
look to the four-part test set out” in Huddleston. United States v. Watson, 766
F.3d 1219, 1236 (10th Cir. 2014) (internal quotation marks omitted). The
Huddleston test requires, for admissibility, that:
(1) the evidence was offered for a proper purpose under [Rule]
404(b); (2) the evidence was relevant under [Rule] 401; (3) the
probative value of the evidence was not substantially outweighed by
its potential for unfair prejudice under [Rule] 403; and (4) the district
court, upon request, instructed the jury pursuant to [Rule] 105 to
consider the evidence only for the purpose for which it was admitted.
Id. (quoting United States v. Becker, 230 F.3d 1224, 1232 (10th Cir. 2000)).
Rodella argues on appeal that the evidence of the other three incidents “was
not relevant to any disputed issue except willfulness, and it was relevant to
willfulness only through forbidden propensity inferences.” Aplt. Br. at 35. More
specifically, Rodella argues that the link “between the three other incidents and
[his] motive and intent during the Tafoya incident depended on [him] ‘acting in
conformity with an alleged character trait.’” Id. at 37 (quoting United States v.
Commanche, 577 F.3d 1261, 1267 (10th Cir. 2009)). In short, Rodella argues,
“[t]he other incidents . . . show that he has a propensity for road rage and for
acting aggressively when shown disrespect.” Id.29
We recognize, as have other courts, that “other-act evidence is usually
capable of being used for multiple purposes, one of which is propensity.” United
States v. Gomez, 763 F.3d 845, 855 (7th Cir. 2014). What Rule 404(b) prohibits
is the admission of evidence that “require[s] a jury to first draw the forbidden
general inference of bad character or criminal disposition.” United States v.
Moran, 503 F.3d 1135, 1145 (10th Cir. 2007) (emphasis added). In other words,
Rule 404(b) is concerned “with the chain of reasoning that supports the non-
propensity purpose for admitting the evidence,” and it “allows the use of other-act
evidence only when its admission is supported by some propensity-free chain of
reasoning.” Gomez, 763 F.3d at 856. “This is not to say that other-act evidence
must be excluded whenever a propensity inference can be drawn; rather, Rule
404(b) excludes the evidence if its relevance to ‘another purpose’ is established
only through the forbidden propensity inference.” Id. Thus, “when other-act
evidence is admitted for a proper purpose and is relevant, it may be admissible
even though it has the potential impermissible side effect of allowing the jury to
infer criminal propensity.” Moran, 503 F.3d at 1145 (internal quotation marks
omitted).
In this case, the government sought admission of evidence of the other
three similar acts to assist in proving willfulness, which was an essential element
of the 18 U.S.C. § 242 charge. As the district court described that element to the
jury, the government was required to establish that “Rodella acted willfully, that
30
is, . . . Rodella acted with a bad purpose intending to deprive . . . Tafoya of” his
right to be free from excessive force and unlawful arrest. Aplt. App., Vol. 1 at
193 (Instruction No. 12). Rodella’s involvement in the other three acts, the
government alleged, established that (a) “Rodella’s motive and intent for pursuing
. . . Tafoya was to express his road rage, punish disrespect, and force . . . Tafoya
to submit to his authority and not to enforce any traffic law,” (b) “Rodella had a
plan to drive in a threatening manner towards other motorists, and if he succeeded
in provoking any disrespectful act, force the motorist to submit through a display
of his authority,” and (c) “Rodella did not make a mistake or accidentally forget
that his identity was not apparent to all motorists when he pursued . . . Tafoya in
a private Jeep.” Id. at 188 (Instruction No. 7).
The jury most certainly could have inferred, in considering the evidence of
Rodella’s involvement in the other three incidents, that he possessed certain
character traits, for example, anger issues and a need to exercise power over
others. But the important point is that the jury was not required to make any such
inferences in order to also infer that Rodella purposely had his son drive in a
threatening manner in order to provoke Tafoya into a disrespectful act, that
Tafoya purposely intended to force Tafoya to submit to his authority and not to
enforce any traffic law, and that Rodella knew that his identity as a law
enforcement officer was not readily apparent to Tafoya until the very end of the
encounter. These inferences would reasonably have “rest[ed] on a logic of
31
improbability that recognizes that a prior act involving the same knowledge
decreases the likelihood that the defendant lacked the requisite knowledge in
committing the charged offense.” Moran, 503 F.3d at 1145; see United States v.
Queen, 132 F.3d 991, 996 (4th Cir. 1997) (noting that the prior doing of other
similar acts is relevant in terms of “reducing the possibility that the act in
question was done with innocent intent”). We therefore reject Rodella’s argument
that the other-act evidence required the jury to make propensity-based inferences
in order to find the element of willfulness.
Rodella also argues that the other-act evidence should have been excluded
by the district court under Rule 403 because it “was extraordinarily prejudicial,”
Aplt. Br. at 40, yet “had little probative value,” id. at 42. For the reasons
discussed above, however, we conclude that the other-act evidence had significant
probative value. As a result, that leaves only the question of whether its
probative value outweighed its potential for unfair prejudice. “Unfair prejudice in
the Rule 403 context ‘means an undue tendency to suggest decision on an
improper basis, commonly, though not necessarily, an emotional one.’” United
States v. Tan, 254 F.3d 1204, 1211 (10th Cir. 2001) (quoting Fed. R. Evid. 403
advisory committee’s note). Although Rodella refers generally to the concept of
unfair prejudice in his appellate brief, he fails to specifically identify what type of
unfair prejudice may have resulted in his case from admission of the other-act
evidence. At most, he asserts that the government “elicited unnecessary details
32
from the [other-act] witnesses — including about how they felt when Rodella
accosted them.” Aplt. Br. at 41. To the extent Rodella is implying that this
testimony would have caused the jury to find him guilty on the basis of its
emotions or to punish Rodella for his involvement in the other acts, the fact of the
matter is that Rodella’s conduct towards Tafoya was more severe than his conduct
towards the drivers involved in the other three incidents. As a result, we are not
persuaded that the admission of the other-act evidence posed a risk of the jury
deciding the case on an improper basis.
We also note that any risk of the jury utilizing the other-act evidence in an
improper manner was reduced by the limiting instruction given by the district
court. That instruction informed the jury that the other-act evidence could be
“consider[ed] . . . only as it b[ore] on . . . Rodella’s motive, intent, plan,
knowledge, absence of mistake or accident, and for no other purpose.” Aplt.
App., Vol. 1 at 188 (Instruction No. 7). It also emphasized to the jury that “the
fact that . . . Rodella may have previously committed an act similar to the one
charged in th[e] case d[id] not mean that [he] necessarily committed the act
charged in the case.” Id.For all of these reasons, we conclude that the district court did not abuse its
discretion in admitting the other-act evidence, under Rule 404(b).
Prosecutorial misconduct
In connection with his challenge to the admission of the other-act evidence,
33
Rodella also complains that the prosecution cited the other-act evidence during its
closing arguments to show propensity and for other impermissible purposes.
Aplt. Br. at 45. Because this is a separate legal issue, i.e., an allegation of
prosecutorial misconduct, its analysis is entirely distinct from the question of
whether the other-act evidence was properly admitted by the district court.
“We analyze whether a statement constitutes prosecutorial misconduct
using a two-step process.” United States v. Fleming, 667 F.3d 1098, 1103 (10th
Cir. 2011). “First, we determine whether ‘the prosecutor’s statements were
improper.’” Id. (quoting United States v. Irvin, 656 F.3d 1151, 1171 (10th Cir.
2011)). “Second, we determine whether the prosecutor’s improper statements
were harmless beyond a reasonable doubt.” Id. (internal quotation marks
omitted). “The Government generally bears the burden of proving that an
improper statement is harmless beyond a reasonable doubt.” Id. “But when a
defendant fails to object to an allegedly improper statement during trial, we
review only for plain error and it is the defendant rather than the Government who
bears the burden of persuasion with respect to prejudice.” Id. (internal quotation
marks omitted).
Rodella points to eight specific statements made by the prosecution during
closing arguments. We address them in turn.
1) At the outset of its closing, the government described Rodella as “a man
who lets his distorted ego lead to aggression he cannot control.” Aplt. App., Vol.
34
3 at 729. Rodella did not object to this statement. The government immediately
followed this statement by referencing Yvette Maes’ testimony opining that
“‘[t]his man’s ego is unbelievable.’” Id. at 730. The government then contrasted
that with the personality and demeanor of Tafoya.
We are not persuaded that this statement was improper because it was
focused on contrasting the personalities and demeanors of Rodella and Tafoya. It
was not, as alleged by Rodella, aimed at asking the jury to draw conclusions
about Rodella’s propensity based on the 404(b) evidence. And, in any event,
Rodella has not established that he was prejudiced by this statement. Indeed, the
statement was well-supported by the evidence regarding the Tafoya incident
alone.
2) In contrasting the personalities of Rodella and Tafoya, the government
noted that Tafoya’s day-to-day work with disabled adults “takes a touch of
gentleness” and “a boat load of patience.” Id. at 731. Rodella did not object to
this statement. Quite clearly, these comments had nothing to do with the 404(b)
evidence and thus were not improper.
3) The government, in describing the incident with Tafoya, stated:
And [Tafoya] saw an SUV in an area, at a distance where he knew it
was safe for him to enter, because it’s 35 miles per hour. And as he
got onto [Road] 399, that SUV he had seen, all of a sudden, bam, on
his tail. Boy, is that familiar, considering what else you’ve heard.
Id. at 732. Rodella contemporaneously objected to this statement, arguing that it
35
was “improper use of a 404(b).” Id. The district court responded by cautioning
the government: “Be careful about comparing the incidents to this incident, and
tie it to the willfulness.” Id.
Even assuming that this statement was an improper use of the 404(b)
evidence, the government has carried its burden of showing that it was not
prejudicial to Rodella in light of the evidence against Rodella, the rest of the
government’s closing remarks, and the limiting instruction given by the district
court.
4) The government, in describing the training Rodella had received from
Brian Coss, an instructor with the New Mexico Department of Public Safety’s
Law Enforcement Academy, stated: “[Coss] also taught [Rodella], you’re never to
pull alongside a car in a pursuit. Do you remember – we’ll get to Ms. Lisa
Gonzales in a moment.” Id. at 744. Rodella did not object to this statement.
We conclude this statement was proper because it was effectively asking
the jury to find that (a) Rodella had, in the course of the Gonzales incident,
knowingly ignored the training he had received, and (b) that Rodella likewise
willfully disregarded his training in the course of pursuing and arresting Tafoya.
It was not, contrary to Rodella’s argument, asking the jury to draw inferences
regarding his character or propensity for bad behavior or criminal conduct.
5) In its rebuttal argument, the government said “What about the
defendant’s other victims?” Id. at 773. The government then proceeded to
36
describe each of the other three incidents. Rodella did not object to this
statement.
We conclude this statement was proper because it was intended as a lead-in
to the government’s description of the other three incidents. The government’s
following explanation of those incidents was offered to establish that Rodella
acted with motive, intent, knowledge or absence of mistake or accident.
6) In describing the Gonzales incident during rebuttal, the government
stated: “And then [Rodella]’s wearing a cowboy hat, a black cowboy hat –
suitable, by the way, should have been black – and he puts his head in the window
[of the Gonzales’ car].” Id. at 777. Rodella did not object to this statement.
Although we agree with Rodella that the statement “should have been
black” was improper, we conclude that Rodella has failed to establish that he was
prejudiced by this statement.
7) The government, while describing the Gonzales incident, stated: “And do
you remember I asked [Lisa Gonzales] to enact the way [Rodella] spoke. She
couldn’t do it. She was all choked up. That happened August 2013, more than a
year ago, and it still upsets her.” Id. Rodella did not object to this statement.
Presumably, this statement was intended to persuade the jury to infer that
Tafoya experienced emotional trauma at the hands of Rodella by emphasizing that
Lisa Gonzales experienced emotional trauma as the result of a less-severe
roadside encounter with Rodella. To the extent this was improper, we conclude
37
that Rodella was not prejudiced by it. That is because the government’s evidence
was more than sufficient to directly establish that Tafoya experienced emotional
trauma from the incident with Rodella.
8) Near the end of its rebuttal, the government stated:
So when you’re thinking about Michael Tafoya, I’m
going to ask you to think about Yvette Maes, and think
about Lisa Gonzales. It’s been months and months, a
year to Lisa Gonzales. And a gun wasn’t pointed at
their heads. How do you think Michael Tafoya felt?
Lisa Gonzales and her husband were so upset after that,
they had to sit in their car for five minutes, if you
remember, before they could even continue on their
drive home.
He [Rodella] said he’s not concerned about the
community. That’s his mindset. Not concerned about
Maes, her daughter; Mr. Ledesma, his family; Lisa
Gonzales; certainly not Michael Tafoya, willing to put a
gun to his head to satisfy his ego. His ego trumps all.
And this time it has caught up to him.
Id. at 777-78. Tafoya did not object to these statements.
These statements presumably were intended to ask the jury to infer, based
upon the totality of the incidents, that Rodella acted willfully in violating
Tafoya’s constitutional rights. As a result, they were proper.
Of the eight specific assertions of prosecutorial misconduct, Rodella
objected to only one. Of the seven where no objection was made, Rodella has not
carried his burden to establish these closing argument statements resulted in plain
error. Regarding the one statement which drew an objection from the defense, the
38
district court quickly placed the import of that statement in proper context.
Further, the court’s inclusion of a limiting instruction as well only adds to our
conclusion that even if the statement was improper, it was harmless beyond a
reasonable doubt.
Admission of evidence of training materials
Rodella argues that the district court erred in admitting evidence of the
official training he received regarding the pursuit of suspect’s vehicles. “We
review a district court’s decision to admit or exclude evidence for abuse of
discretion.” 6 United States v. Lozado, 776 F.3d 1119, 1124 (10th Cir. 2015).
As previously noted, the government presented testimony from Brian Coss,
an instructor who worked for the New Mexico Department of Public Safety’s Law
Enforcement Academy. Coss testified that in October of 2010, he taught an
“Emergency Vehicle Operator Course,” including a presentation on pursuits, that
Rodella attended. Aplee. Supp. App., Vol. VI at 1292. Coss explained that
pursuit of a suspect vehicle is one of the more dangerous activities that law
enforcement officers can engage in. He also explained that among law
6
The government contends that Rodella failed to make this argument
below, and instead argued only that the government should be prohibited from
introducing evidence of the Rio Arriba County Sheriff’s Office’s standard
operating procedures for pursuing vehicles. A review of the trial transcript,
however, suggests that defense counsel did, in fact, object to introduction of the
instructional materials that Rodella received regarding pursuit of vehicles. See
Aplee. Supp. App., Vol. VI at 1291. Consequently, we will treat the issue as
properly preserved.
39
enforcement officials, the word “pursuit” is a term of art that requires the use of
authorized emergency vehicles and “would include some type of visible lights in
the front, visible lights coming out the back, and then some type of . . . auditory
signal, such as a siren.” Id. at 1302. Coss then explained some of the principles
of pursuit he taught during that course, including not to pull in front of or
alongside a suspect vehicle, and to maintain a large cushion of space, including a
minimum of five to seven car lengths, between the patrol car and the suspect
vehicle.
Rodella argues that this evidence “had no bearing on whether [he] intended
to arrest Tafoya without probable cause or to use excessive force during the
arrest, and its unfair prejudicial impact substantially outweighed its nonexistent
probative value.” Aplt. Br. at 52. We conclude, however, that this evidence was
relevant to show that Rodella knew that his pursuit of Tafoya was unlawful for a
number of reasons (including that he was in an unmarked vehicle without any
emergency lights and was following closely behind Tafoya’s vehicle rather than
maintaining a safe distance) and that he actually provoked Tafoya into
committing a series of traffic violations. We also conclude that this evidence was
thus relevant to show that Rodella acted willfully in unlawfully arresting Tafoya
and subjecting him to excessive force. Lastly, we note that the district court gave
the jury a specific instruction “regarding the training . . . Rodella personally
received,” and informed them that they could use the evidence “only to determine
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whether . . . Rodella acted willfully . . . to violate a right protected by the
Constitution of the United States.” Aplt. App., Vol. 1 at 226.
For these reasons, we conclude that the district court did not abuse its
discretion in admitting evidence of the training that Rodella received.
Cumulative error
In his final issue on appeal, Rodella argues that the cumulative effect of the
district court’s errors rendered his trial fundamentally unfair. “The purpose of
cumulative error analysis is to address whether the cumulative effect of two or
more individually harmless errors has the potential to prejudice a defendant to the
same extent as a single reversible error.” United States v. Rogers, 556 F.3d 1130,
1144 (10th Cir. 2009) (internal quotation marks omitted).
The only possible errors we identified were those involving the
government’s references, during closing arguments, to the other-act evidence. To
the extent that more than one such error occurred, we conclude that their
cumulative effect was harmless. As noted, the evidence of Rodella’s guilt was
overwhelming, and it is thus extremely doubtful that, even absent any improper
closing remarks, the outcome of the trial would have been different.
III
For the foregoing reasons, we AFFIRM the district court’s judgment of
conviction.
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