United States Court of Appeals,

Second Circuit.

Willie OUTLEY, Appellant,

v.

The CITY OF NEW YORK, P.O. John Doe, P.O. John Doe, Benjamin Ward, Robert

Gartner, and Jeff Garner, Appellees.

Decided Jan. 25, 1988.

Plaintiff Willie Outley appeals from a jury verdict in favor of four individual police officers, whom he charged violated his constitutional rights on two separate occasions. Trial was held before Judge Lloyd F. MacMahon in United States District Court for the Southern District of New York. Because the trial court abused its discretion in precluding two eyewitnesses from testifying on the plaintiff's behalf and in admitting evidence of prior lawsuits filed by the plaintiff against the City of New York and others, we reverse and remand.

Outley's two section 1983 claims, 42 U.S.C. § 1983 (1982), (consolidated for trial, but tried seriatim ) arose from two incidents of alleged police brutality by New York City police officers. The first was related to an arrest on the morning of June 9, 1981 ("the 1981 incident"), and the second to a street stop on March 11, 1984 ("the 1984 incident"). In the 1981 incident Outley claims he was improperly stopped by two police officers, taken against his will to a police station and arrested, denied any opportunity to speak with an attorney or with his wife, and held for seventeen hours in a "small filthy jail cell" before appearing before a magistrate who dismissed the matter. Outley claims that he was treated roughly throughout the detention and subjected to racial insults. He sought compensatory and punitive damages for lost property and for injury to his back.

The 1984 incident allegedly occurred while Outley was walking home from a local store at approximately 6:00 a.m. He was stopped by two police officers who called him over to their patrol car. While Outley stood alongside the passenger side window, one officer allegedly reached out of the window and searched Outley's pockets, at one point pulling on his jacket, causing him to slip and fall down. One of the officers then allegedly warned Outley that he "would regret it" if he reported the incident to any authorities, and the patrol car sped off.

Outley testified that, after getting up, he saw two men, both previously unknown to him, standing at the store he had just left. He asked them if they had seen what had happened, and if they would be willing to testify. They agreed, and Outley then left and walked home.

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Evidence of prior lawsuits

[5] An important part of the City's overall defense wasto undermine Outley's credibility by, inter alia, portraying him as a chronic litigant. The City contends that *592 it made reference to previous lawsuits filed by Outley in order to impeach his credibility on the basis of prior inconsistent statements made in in forma pauperis applications filed in the two matters before the court and in four other lawsuits. This contention is less than compelling in light of the City's opening statement, over objection, that "[t]he plaintiff in this matter, Willie Outley, is a perpetual litigant. The two cases which will be tried before you are only two of many cases brought by Mr. Outley [here plaintiff's objection was overruled]--and/or his wife against police officers, other government agencies, and other individuals." [FN3] The charge of litigiousness is a serious one, likely to result in undue prejudice against the party charged, unless the previous claims made by the party are shown to have been fraudulent….

***

FN3. Defense counsel also asked Outley, on cross-examination in his first appearance on the stand, "[I]sn't it true that since 1979 you have brought at least four lawsuits in this federal court and one lawsuit in federal court in Brooklyn, and one lawsuit in state court?" After the court denied Outley's objection, and Outley answered in the affirmative, defense counsel continued, "So in those seven years you have brought at least six lawsuits, isn't that true?" The defense also noted Outley's prior litigation history several times during summation, referring to Outley's "pattern and practice of bringing lawsuit after lawsuit against the City of New York Police Officers and others," and noting that "Mr. Outley is no stranger to litigation."

Two Federal Rules of Evidence bear on our inquiry. The first, Rule 403, states that relevant evidence may be excluded if its probative value is substantially outweighed by, inter alia, the danger of unfair prejudice to a party. The district court is provided broad discretion in making decisions under Rule 403. Fiacco v. City of Rensselaer, 783 F.2d 319, 327-28 (2d Cir.1986), cert. denied, --- U.S. ----, 107 S.Ct. 1384, 94 L.Ed.2d 698 (1987); United States v. Robinson, 560 F.2d 507, 514-16 (2d Cir.1977) (en banc), cert. denied, 435 U.S. 905, 98 S.Ct. 1451, 55 L.Ed.2d 496 (1978). Also relevant is Rule 404(b) which provides that:

Evidence of other crimes, wrongs, or acts is not admissible to prove the character of a person in order to show that he acted 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.

Rule 404(b) requires a two-part analysis; first, consideration of whether the evidence fits within the exceptions listed in the rule and, second, balancing the probative value of the evidence against the likelihood of undue prejudice, equivalent to the analysis under Rule 403. Fed.R.Evid. 404, Notes of Advisory Committee. See also United States v. Margiotta, 662 F.2d 131, 142 (2d Cir.1981), cert. denied, 461 U.S. 913, 103 S.Ct. 1891, 77 L.Ed.2d 282 (1983). When this analysis has been conducted by the district judge, "his broad discretion will not be lightly overturned." Id. But in its absence the appellate court will scrutinize whether evidence as to the acts fits into a 404(b) exception, even while acknowledging the substantial discretion afforded the trial court in balancing the probative value against undue prejudice.

Litigiousness is the sort of character trait with which Rule 404(b) is concerned. *593 Evidence that Outley had filed several lawsuits against the City, and in particular against police officers, would undoubtedly cause the jury to question the validity of Outley's current claims. Although plaintiff's counsel may have mitigated the damage to his client by pointing out that none of Outley's prior lawsuits had been dismissed on the merits, the harm to Outley, in a case where his credibility was of particular importance, was substantial.

The City, contending that its questions about prior lawsuits were designed to impeach Outley's credibility and to show his bias toward white police officers, reminds us that evidence admissible for one purpose is not rendered inadmissible by a separate rule which would preclude it. United States v. Abel, 469 U.S. 45, 56, 105 S.Ct. 465, 471, 83 L.Ed.2d 450 (1984). Impeachment has been recognized as one of the "other purposes" for which evidence of prior acts may be admissible. United States v. Stockton, 788 F.2d 210, 219 n. 15 (4th Cir.) (grand jury testimony describing threats made by defendant toward witness admitted to explain why witness changed testimony at trial), cert. denied, --- U.S. ----, 107 S.Ct. 147, 93 L.Ed.2d 89 (1986). However, recognizing impeachment of credibility as a Rule 404(b) "purpose" does not mean that all prior acts are admissible as impeachment evidence; rather, as the Notes of the Advisory Committee remind us, "evidence of other ... acts is not admissible to prove character as a basis for suggesting the inference that conduct on a particular occasion was in conformity with it." Prior acts may be admitted for "another purpose," provided that the use "does not fall within the prohibition." Fed.R.Evid. 404(b) Advisory Committee Notes.

Our reading of the record shows that after the opening reference to Outley's litigiousness the defense was properly permitted to impeach Outley with inconsistent statements on his August 1982 application to proceed in forma pauperis in connection with the lawsuit as to the 1981 incident. The City attorney, over objection, then asked Outley whether since 1979 he had brought four lawsuits in the Manhattan federal court, one in Brooklyn federal court, and one in state court, and whether he had filed a sworn statement in each saying that he needed to proceed as a poor person. Although this questioning might have been proper as a foundation for evidence that Outley had made misleading statements on his prior in forma pauperis applications, no such evidence was forthcoming. In effect, the City's failure to complete its second effort at impeachment resulted in an improper commentary on Outley's litigiousness. The error was exacerbated when Outley resumed the stand to testify in connection with the 1984 incident. On cross-examination he was asked again whether, in addition to the two cases being tried against the City and the City police department, he had brought suits against New Jersey state troopers (for incidents occurring in 1974 and 1975) and against the Department of Sanitation. Outley was even asked on both cross-examinations about lawsuits filed by his wife (one of which was evidently settled quite favorably to the wife). The total impact of the evidence was to show that Outley is "claim-minded," and that the claims before the court were just two more in a long line of lawsuits. Excepting this type of evidence from the general rule of 404(b) would permit an exception to swallow the rule. See McCormick on Evidence § 196 at 579 n. 6 (suggesting that such an exception should require explicit statement in the rule).

The City also claims that the plaintiff's history of bringing lawsuits against the police is admissible under 404(b) as evidence of bias, relying on United States v. Abel, 469 U.S. 45, 105 S.Ct. 465. [FN4] In Abel the Supreme Court did not directly discuss Rule 404(b), but rather held that the use of evidence of bias to impeach a witness is permissible under the Federal Rules of Evidence generally. *594469 U.S. at 49-52, 105 S.Ct. at 467- 69. The Court rested its holding on the fact that case law before the promulgation of the Federal Rules clearly allowed such impeachment use, and that the drafters' failure to directly address the issue makes it "unlikely that they intended to scuttle entirely the evidentiary availability of cross- examination for bias." 469 U.S. at 50, 105 S.Ct. at 468 (also noting commentators' approval). Specifically, the Court held that a witness's and a party's common membership in an organization, even without proof of either's having personally adopted the tenets of the organization, may be probative of bias. 469 U.S. at 52, 105 S.Ct. at 469. [FN5]

FN5. Abel is also factually quite different from this case. In Abel the focal question was whether the prosecution could call a rebuttal witness to discredit a defense witness, on the basis of the defense witness's membership in a secret prison gang, after the defense witness had denied his membership. More importantly, the testimony elicited was to show particular bias on the part of the defense witness in favor of the defendant, rather than a generalized dislike of some class of persons. The court described bias as "a term used in the 'common law of evidence' to describe the relationship between a party and a witness which might lead the witness to slant, unconsciously or otherwise, his testimony in favor of or against a party." 469 U.S. at 52, 105 S.Ct. at 469. The City is using bias in a much different way, to include Outley's general feelings toward white police officers, not the particular officers on trial. Such tendencies are more properly analyzed as within the definition of character.

The Court's reasoning in Abel is not applicable here. In effect, the City argues that it introduced the evidence to show that Outley bears a grudge against white police officers and that he acted consistently with that grudge in filing the claims in issue. This strikes us as precisely the sort of use prohibited by Rule 404(b), as going to character rather than bias. This is different, of course, from a case where a party has filed a series of fraudulent lawsuits and there is substantial evidence that the prior lawsuits amounted to a fraudulent pattern, evidence lacking here.

So saying, we recognize that there are a few cases permitting cross- examination concerning "[p]rejudice toward a group," even without reference to the witness's specific prejudice against a particular witness or party. See United States v. Kartman, 417 F.2d 893, 897 (9th Cir.1969) (reversing conviction of anti-draft demonstrator for, inter alia, denial of opportunity to cross-examine arresting officer, an ex-Marine, as to bias to anti-draft demonstrators as a group) (citing Jacek v. Bacote, 135 Conn. 702, 68 A.2d 144, 146 (1949) (plaintiff's witness cross-examined as to prejudice against Negroes, defendant being a Negro); Magness v. State, 67 Ark. 594, 50 S.W. 554, 59 S.W. 529 (1899) (prosecution witness cross-examined as to expression of hatred against Africans); see also People v. Christie, 2 Abb.Pr. 256, 259, 2 Park.Cr.R. 579, 583 (N.Y.S.Ct. 1st D.1855) (witness cross-examined on membership in secret society); United States v. Lee Huen, 118 F. 442, 463 (N.D.N.Y.1902) (no presumption of witness bias in favor of defendant of same nationality) (dictum)). These cases fall within the general rubric that "a partiality of mind is ... always relevant as discrediting the witness and affecting the weight of his testimony." See 3A Wigmore on Evidence § 940, at 775 (Chadbourn rev. 1970).

But, while it may have some relevance, there are still limitations on this type of cross-examination. As Wigmore himself put it,

The range of external circumstances from which probable bias may be inferred is infinite. Too much refinement in analyzing their probable effect is out of place. Accurate concrete rules are almost impossible to formulate, and where possible are usually undesirable. In general, these circumstances should have some clearly apparent force, as tested by experience of human nature, or, as it is usually put, they should not be too remote.

Id. § 950, at 795 (quoting 2 J. Wigmore, Evidence, § 949, at 1084). To in="fobias against these white police officer defendants on the basis of Outley's prior lawsuits against other police officers is simply "too remote." Proof of Outley's prior lawsuits might be probative as to bias, but their existence alone is hardly conclusive on the *595 issue. In order for a jury properly to consider them, the particular details of each action, and the extent to which the bringing of each action was justified, must be before the jury. Opening up this area thus invites detailed inquiries, denials, and explanations, likely to lead to multifariousness and a confusion of issues. Id. § § 951, 952, at 796-99. As such, at least in this case, it is an area of examination better left closed.

[6] To determine whether the improper statements made by the counsel for the City during opening and closing arguments and the questions concerning Outley's prior litigation history warrant reversal of the 1981 action, we look to the particulars of the entire trial and the likelihood that Outley suffered genuine prejudice. We hold that he has. This is a case which hung on the plaintiff's credibility. While we recognize that there was other evidence which served to impeach Outley's credibility, we believe that the initial improper comments by the City's attorney were likely to create in the mind of each juror a view of the plaintiff which was reinforced by improper questioning on two separate occasions, and capped off by the prejudicial remarks on summation. The trial proceeded from opening statements to summation in a little over two days. In addition, the court gave no adequate limiting instructions to the jury. [FN6] We feel that in this context it was likely that the jury regarded Outley first and foremost as a bringer of nuisance lawsuits, and that as a result his claims did not receive a fair hearing.

FN6. The failure to give a limiting instruction is not in itself determinative, especially in light of the fact that plaintiff's counsel failed to request such an instruction. However, we feel it appropriate to consider the absence of such an instruction in assessing the overall prejudice suffered by Outley.

Reversed and remanded as to both actions, to be tried before a different district judge.