Federal Circuits, 6th Cir. (March 04, 2005)
Docket number: 02-5118
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U.S. Supreme Court - Kotteakos v. United States, 328 U.S. 750 (1946)
U.S. Supreme Court - Penry v. Johnson, 532 U.S. 782 (2001)
U.S. Court of Appeals for the 6th Cir. - O'Kentucky Rose B. v. Burns (6th Cir. 2005)
U.S. Court of Appeals for the 6th Cir. - Voyles v. Louisville Trans Co (6th Cir. 2005)
U.S. Court of Appeals for the 6th Cir. - Morgan v. Gandalf, Ltd. (6th Cir. 2006)
U.S. Court of Appeals for the 6th Cir. - Ferguson v. Snow (6th Cir. 2006)
U.S. Court of Appeals for the 6th Cir. - USA v. Letner (6th Cir. 2008)
Before: NORRIS and COLE, Circuit Judges; ECONOMUS, District Judge.*
OPINIONECONOMUS, District Judge.I. OVERVIEWThis appeal arises from a diversity action brought by the plaintiff-appellant, Annette Rush, following her nine-year-old son's fall from a railcar owned and operated by the defendant-appellee, Illinois Central Railroad Company ("CN-IC"). The plaintiff-appellant challenges the district court's denial of her motion for new trial following a jury verdict awarded in favor of CN-IC. She advances four arguments on appeal: (1) the district court erroneously admitted into evidence at trial the prior statements of two witnesses and audio recordings of those statements; (2) the jury erred in not finding CN-IC liable under Tennessee's "Lookout Statute"; (3) the jury disregarded the trial court's instruction to presume the nine-years-old child incapable of negligence as required under Tennessee law; and (4) the district court erred in denying the motion for new trial because the verdict was against the clear weight of the evidence.For the reasons that follow, we AFFIRM the judgment of the district court.II. BACKGROUNDCN-IC's switching operationCN-IC conducts a switching operation in Memphis, Tennessee. During the switching operation, CN-IC employees hook and unhook railcars (a process know as "coupling") to a locomotive engine. The locomotive engine then delivers the railcars to nearby destinations.A three person crew performs the switching operation. An employee referred to as a "brakeman" physically couples and uncouples the railcars at each stopping point. The "locomotive engineer" operates the engine along the rail line. The "conductor" oversees the entire switching operation. All three CN-IC employees are responsible for the safety of the crew and passersby. See (Trial Transcript, Volume I at 102-04, 132-33, 152, 211-14, 221-22, 232); (Trial Transcript, Volume II at 17, 34-35, 54); (Trial Exhibits 3, 9).1Johnathan Rush's Fall and the CN-IC InvestigationNine-years-old Johnathan Rush ("Rush") and several friends ? Quan Reed ("Reed") (age 11), Doyle Lockett ("Lockett") (age 10), Darrell Moore ("D.Moore") (age 9), and Justin Moore ("Moore") (age 8),2 ? encountered the switching operation on November 10, 1996. While the subsequent events are in dispute, it is uncontroverted that Rush, D. Moore and Reed began playing near a CN-IC train. At some point during these activities, Rush fell under the train and sustained injuries that ultimately required a below-the-knee amputation of his left leg.Within several hours of the accident, Tom Martin ("Martin"), a Risk Manager and Railroad Police Officer for CN-IC, interviewed Lockett, D. Moore and Moore as to the earlier day's events. Each interviewee purportedly informed Martin that Rush fell while attempting to jump onto a moving train. Martin audio-recorded these statements and later transcribed the interviews (hereinafter the "interview transcript"). See (Tr., Vol I. at 338); (Tr. Exs. 1 & 2).The Underlying ActionAnnette Rush, as the natural mother and next of kin of Johnathan Rush, filed a diversity action against CN-IC in the United States District Court for the Western District of Tennessee alleging common law negligence and violations of Tennessee's "Lookout Statute," TENN. CODE ANN. § 65-12-108. The matter proceeded to trial whereby the parties presented widely divergent accounts of the events giving rise to the accident. As the issues raised in this appeal turn on an examination of the conflicting evidence presented to the jury, we shall recount that evidence in detail.The Plaintiff-Appellant's WitnessesThe plaintiff-appellant called Lockett as her first witness. Lockett testified on direct examination that he and a group of friends encountered an "abandoned," (Tr., Vol. I at 38), and "parked,"(Tr., Vol. I at 41), train while walking from the home of his grandfather. He further testified that Rush and two other young men climbed the side ladder of the train's railcar. See (Tr., Vol. I at 39). According to Lockett, the train began to move without warning, and two of the young men jumped off of the railcar. See (Tr., Vol. I at 41-42). Rush, however, appeared too "scared to jump off," (Tr., Vol. I at 42), and soon fell from the ladder.On cross-examination, the following colloquy occurred between counsel for CN-IC and Lockett:Q. Do you remember after this accident that a police officer, a female police officer, Sergeant Halfacre, came to your home along with Mr. Martin over there?A. Not that I recall.Q. You don't recall that?A. I recall a police officer bringing me home, not no woman though.Q. Do you remember that Sergeant Halfacre and Mr. Martin talked to you with your aunt present?A. No sir.Q. Okay. Do you remember that you told, in the presence of your aunt, that you told Mr. Martin and Sergeant Halfacre of the Memphis Police Department that you were playing around the train yard when Johnathan got hurt, and that you saw Johnathan running alongside the train to get on, do you remember telling them that?A. No, sir.(Tr., Vol. I at 46-47.) Counsel for CN-IC immediately attempted to play the audio recording of Lockett's post-accident statement. The district judge, however, interrupted the cross-examination and instructed defense counsel to first confront Lockett with the interview transcript.3Counsel for CN-IC handed the interview transcript to Lockett. After Lockett silently read the writing, counsel for CN-IC enquired, "Is that correct what you said on the afternoon of this accident, November the 10th of 1996, is that correct?" (Tr., Vol. I at 52.) Lockett responded, "Yes, sir." (Tr., Vol. I at 52.)Lockett then read the transcript aloud whereby the jury heard his prior statement that "Johnathan [was] running alongside the train."4 (Tr., Vol. I at 52-53); (Tr. Ex. # 1). Lockett further testified, however, that Rush was not "running along side the train, the train wasn't moving." (Tr., Vol. I at 54.) Counsel for CN-IC re-read Lockett's prior statement from the interview transcript and enquired: "Why did you tell Mr. Martin on the afternoon of the accident that Johnathan was trying to run alongside the train?" (Tr., Vol. I at 55.) Lockett responded, "I just misunderstood the question, I guess." (Tr., Vol. I at 55.)On re-direct examination, counsel for the plaintiff-appellant queried whether Lockett observed Rush running alongside the train trying to jump on. See (Tr., Vol. I at 58). Lockett again responded in the negative and repeated his testimony that the train was stopped when Rush began playing on the railcar. See (Tr., Vol. I at 59).The plaintiff-appellant called Moore as her next witness. Moore echoed Lockett's testimony that the train was "parked" and "stopped" when Rush began playing on the railcar. (Tr., Vol. I at 65-66.) Moore further testified that he never observed Rush running alongside the train. See (Tr., Vol. I at 70).On cross-examination, Moore denied any memory of meeting with Martin and a Memphis Police Department Officer. See (Tr., Vol. I at 74). Counsel for CN-IC handed Moore the interview transcript; however, the writing did not refresh Moore's recollection of the post-accident interview. See (Tr., Vol. I at 75-76). Counsel for CN-IC did not pose any further questions to Moore.The plaintiff-appellant successively called as witnesses each member of CN-IC switching crew. The locomotive engineer, William Knight ("Knight"), and the brakeman, Basil White ("White"), each testified that they did not observe any persons near the CN-IC railroad tracks on the date of Rush's accident.5 See (Tr., Vol. I at 134-148, 270). Knight additionally testified that it was his practice to sound the train's bells and horn prior to initiating any movement of engine; although, he did not recall his specific behavior on the date of Rush's fall. See (Tr., Vol. I at 147). The train's conductor, Christopher Giannini ("Giannini"), likewise testified that it was the switching crew's practice to sound the bells and horn before moving along the rail line. See (Tr., Vol. II at 44). Giannini could not remember, however, whether the bells and horn sounded prior to Rush's fall. See (Tr., Vol. II at 44). Giannini went on to testify that on the date of the accident he observed two males, between the ages of eight to eleven years old, standing approximately fifteen feet away from the moving locomotive engine. See (Tr., Vol. II at 38-45). Giannini expressed his belief that the young males "were standing at the side, far enough that they didn't pose any hazard to us." (Tr., Vol. II at 45.)Jimmy Calvin Scott ("Scott"), testifying as an expert in the area of railroad operations and safety,6 opined that when Giannini observed two young males near the railroad tracks, the CN-IC switching crew should have stopped the train and attempted to remove the children from the tracks. See (Tr., Vol. I at 386). Scott further opined that there lacked any evidence that the CN-IC switching crew sounded the bells or horn prior to Rush's accident.7 See (Tr., Vol. I at 387-88). Scott concluded that these omissions constituted violations of CN-IC's internal safety regulations. See (Tr., Vol. I at 384, 387-88).The plaintiff-appellant concluded her proof with Rush's testimony.8 Rush testified that he encountered a "still" train while returning from the home of Lockett's grandfather. See (Tr., Vol. II at 83). He further testified that his purpose for climbing on the train was to "ride it home." (Tr., Vol. II at 84.) However, the train began to move without warning, see (Tr., Vol. II at 86), and Rush "got scared,"(Tr., Vol. II at 87). His leg then "slipped off,"(Tr., Vol. II at 87), and he fell under the train. Rush concluded his direct testimony by informing the jury that he recalled lying in the rocks near the railroad tracks "bleeding, bleeding." (Tr., Vol. II at 87.)Martin's Audio Recording of the Statements Made by Lockett and MoorePrior to commencing its case-in-chief, CN-IC informed the district court that it intended to introduce into evidence Martin's audio recordings of the post-accident interviews. The plaintiff-appellant repeatedly objected on grounds that these prior statements were hearsay. See (Tr., Vol. I at 338-39, 344, 346). She further objected on the basis that CN-IC had not properly authenticated the audio recordings. See (Tr., Vol. I at 338-39, 344, 346). The district court enquired as to purpose underlying CN-IC's request to play the audio recordings. See (Tr., Vol. I at 347). Counsel for CN-IC responded:I asked each one of the young men [Lockett and Moore] what you were doing out there. And to my surprise these young men said that the train was not moving and that Johnathan had climbed on the train.And in each of these statements the young men, Doyle [Lockett] and Justin [Moore], say that ? say that Johnathan [Rush] was running alongside the train trying to catch hold of it.And that contradicts the sworn testimony of Johnathan, these do, taken the afternoon of the accident.But as I said, I was surprised when they walked into the courtroom here all of sudden it is the same as Johnathan, so that's the sole purpose.(Tr., Vol. I at 347-48.)At the request of the plaintiff-appellant, the district court conducted an evidentiary hearing regarding the audio-tapes outside of the jury's presence. Martin testified during the hearing that he recorded Lockett and Moore's statements several hours following the accident. See (Tr., Vol. I at 492-93). Martin further testified that he could not independently identify the voices on the audio recordings. See (Tr., Vol. I at 497-98); see also (Tr., Vol. I at 563) ("Without the identification of the names as I spoke to them, I couldn't have just listened to their voice and not heard their name and told you who it was...."). In light of this testimony, the district court determined that the audio-taped statements were admissible for the limited purpose of impeaching the testimony of Lockett and Moore.9 See (Tr., Vol. I at 499-500). Accordingly, the district court ordered CN-IC to introduce into evidence only those parts of the audio-recordings pertaining to Moore and Lockett's purported prior inconsistent statements. Because the jury would be permitted to review the admitted exhibits during their deliberations, the district court ordered CN-IC to erase all other statements found on the audio-tapes.The Defendant-Appellee's WitnessesCN-IC called Martin as its first witness. Martin briefly recounted the factual circumstances giving rise to his interviews of Lockett and Moore. At defense counsel's instruction, Martin played the audio recordings of the interviews during which the jury heard Moore's prior statements that none of the young men ever climbed onto the CN-IC railcar and that Johnathan fell while running alongside the train.10 See (Tr. Ex. # 33). The jury again heard Lockett's prior statement that Johnathan was running alongside the train in an effort to catch it home. See (Tr. Ex. # 33).CN-IC called Jim Tyson ("Tyson"), a semi-tractor trailer operator, as its second and final witness. Tyson testified that, on the date of Rush's accident, he was awaiting in his semi-tractor trailer for the CN-IC train to pass through an intersection when he observed a group of young men walking alongside of the stopped train. See (Tr., Vol. I at 578, 581). Tyson recalled that after the train began to move, two of the young men came knocking at his window yelling that their friend had been involved in an accident. See (Tr., Vol. I at 580). Tyson informed the jury that he called for an ambulance to assist the injured young man. See (Tr., Vol. I at 580-81).The Jury's Verdict and the Post Trial ProceedingsThe district court subsequently instructed the jury on the applicable law and standards to be employed in rendering a verdict. Neither party objected to the jury instructions.The jury returned a verdict in favor of CN-IC. The plaintiff-appellant thereafter moved for a new trial pursuant to Rule 59 of the Federal Rules of Civil Procedure raising multiple evidentiary issues and challenging the jury's verdict. The district court denied the motion and entered judgment in favor of CN-IC.The instant appeal ensued.III. LAW AND ANALYSISA. Evidentiary IssuesThe plaintiff-appellant's first assertion on appeal is that the district court erroneously permitted defense counsel to cross-examine Lockett and Moore with the interview transcript. The plaintiff-appellant further asserts that the district court erred by permitting the jury to hear the audio recordings of those interviews.We review a district court's contested evidentiary determinations for an abuse of discretion.11 See Beck v. Haik, 377 F.3d 624, 636 (6th Cir.2004). An abuse of discretion occurs where "the district court clearly erred in its judgment after weighing the relevant factors, improperly applied the correct law, or inappropriately used the wrong legal standard." Shanklin v. Norfolk S. Ry. Co., 369 F.3d 978, 988 (6th Cir.2004).The threshold question to be considered when confronted with an evidentiary challenge on appeal is whether an evidentiary error occurred during the trial. See Beck, 377 F.3d at 635-36. "If so, then we `examine the proceedings in their entirety[ ]' in the light of the proofs at trial, to determine whether the errors affected substantial rights." Id. (quoting Kotteakos v. United States, 328 U.S. 750, 762, 66 S.Ct. 1239, 90 L.Ed. 1557 (1946)). We must have a "fair assurance" that the trial's outcome was not altered by error in order to affirm the judgment. Schrand v. Federal Pacific Elec. Co., 851 F.2d 152, 157 (6th Cir.1988).1. Whether an evidentiary error occurred when defense counsel cross-examined Lockett and Moore with a transcript of the post-accident interviewsThe plaintiff-appellant contends that the district court erroneously permitted defense counsel to cross-examine Lockett and Moore with the interview transcripts. CN-IC counters that it utilized the interview transcripts to refresh the witnesses' memory pursuant to Rule 612 of the Federal Rules of Evidence.Rule 612 of the Federal Rules of Evidence authorizes a party to refresh a witness's memory with a writing so long as the "adverse party is entitled to have the writing produced at the hearing, to inspect it, to cross-examine the witness thereon, and to introduce in evidence those portions which relate to the testimony of the witness." FED. R. EVID. 612. The propriety of permitting a witness to refresh his memory from a writing prepared by another largely lies within the sound discretion of the trial court. See United States v. Faulkner, 538 F.2d 724, 727 (6th Cir.1976) (citations omitted).Proper foundation requires that the witness's recollection to be exhausted, and that the time, place and person to whom the statement was given be identified. When the court is satisfied that the memorandum on its face reflects the witness's statement or one the witness acknowledges, and in his discretion the court is further satisfied that it may be of help in refreshing the person's memory, the witness should be allowed to refer to the document.United States v.Shoupe, 548 F.2d 636, 641 (6th Cir.1977) (quoting Goings v. United States, 377 F.2d 753, 760 (8th Cir.1967)) (quotation marks and added emphasis omitted). Upon establishing the proper foundation, "counsel will typically offer the witness the writing to inspect, and will show a copy of the writing to the opposing parties." 4 JACK B. WEINSTEIN & MARGARET A. BERGER, WEINSTEIN'S FEDERAL EVIDENCE § 612.03[4][a][i] (Joseph M. McLaughlin ed., 2d ed.2004) [hereinafter Weinstein's Federal Evidence] (citations omitted). "The best practice is for the trial court to have the witness silently read the writing and then to state whether the writing has refreshed his or her recollection." Id. The cross-examination of MooreThe plaintiff-appellant's assertion that defense counsel improperly utilized the interview transcript to refresh Moore's recollection warrants little attention. Moore repeatedly testified that he did not remember meeting with Martin following the accident. See (Tr., Vol. I at 74-76). Having exhausted Moore's memory during cross-examination, defense counsel presented Moore with the interview transcript. After Moore silently read the writing, the district court posed the following questions:12Q. Now Justin, having ? having looked at it, having read it, do you recall now whether or not you had a conversation and made any statements to anyone about this accident?A. No, ma'am, because ?Q. Okay. Now you ? that ? that statement that he just handed you doesn't refresh your recollection about whether or not you gave an interview to Sergeant Halfacre and Mr. Martin.A. No, ma'am, because back then we didn't call him Johnathan, I didn't know his name back then, his real name.(Tr., Vol. I at 75-76.) Defense counsel promptly concluded the cross-examination.No evidentiary error occurred during the attempt to refresh Moore's memory. Defense counsel established a proper foundation by repeatedly inquiring whether Moore recalled meeting with Martin following the accident. See Shoupe, 548 F.2d at 641-42 (finding that counsel established a proper foundation under Rule 612 where counsel "properly used leading questions to establish the time, place and person to whom [the witness] had allegedly made his prior, unsworn statements"). The subsequent procedures employed by the district court were consistent with the well-established mandates of Rule 612. Indeed, the district court intervened in the cross-examination to ensure that the inadmissible contents of the writing were not presented to the jury.13 Furthermore, defense counsel terminated the cross-examination when it appeared that the transcript failed to refresh Moore's memory.14 Accord 4 WEINSTEIN'S FEDERAL EVIDENCE § 612.03[4][a][iii] ("If, after consulting a writing used to refresh recollection, the witness's memory is not revived, Rule 612 is inapplicable. Thus it would be error for the trial court to admit into evidence testimony about a matter included in the writing if the witness had no recollection of the matter after viewing the writing."). We therefore find no evidentiary error arising from the attempt to refresh Moore's memory with the interview transcript.The cross-examination of LockettWe reach a different conclusion regarding the attempts to refresh Lockett's memory of the post-accident interview. As with the cross-examination of Moore, defense counsel attempted to exhaust Lockett's memory by posing leading questions regarding the time, date and place of the post-accident interview. Lockett repeatedly responded that he did not remember meeting with Martin. Defense counsel, however, did not attempt to immediately refresh Lockett's memory of the meeting with the interview transcript. Instead, defense counsel posed the following question:Okay. Do you remember that you told, in the presence of your aunt, that you told Mr. Martin and Sergeant Halfacre of the Memphis Police Department that you were playing around the train yard when Johnathan got hurt, and that you saw Johnathan running alongside the train to get on, do you remember telling them that?(Tr., Vol. I at 47.)While we have authorized the use of leading questions to establish a witness's lack of memory as to a particular event, we have cautioned that the trial court may abuse its discretion when otherwise inadmissible evidence is introduced to the jury through the guise of refreshing a witness's recollection. See Shoupe, 548 F.2d at 641 ("[W]e find no precedent sanctioning the recitation in the presence of the jury of extended unsworn remarks....."). Rule 103(c) of the Federal Rules of Evidence provides that a jury trial shall be conducted "to prevent inadmissible evidence from being suggested to the jury by any means, such as ... asking questions in the hearing of the jury." FED. R. EVID. 103(c). The Advisory Committee's Note to Rule 103(c) indicates that the rule "proceeds on the supposition that a ruling which excludes evidence in a jury case is likely to be a pointless procedure if the excluded evidence nevertheless comes to the attention of the jury." FED. R. EVID. 103(c), advisory committee notes. Defense counsel's question demonstrated that he failed to understand the impropriety of attempting to refresh Lockett's recollection by incorporating into his question the otherwise inadmissible contents of the writing ? i.e, that "Johnathan was running alongside the train to get on."Lockett's subsequent testimony exacerbated the potential evidentiary error caused by defense counsel's improper question. After silently reading the interview transcript,15 Lockett testified that his memory was refreshed and that the writing accurately reflected his prior statements. See (Tr., Vol. I at 52). He then read aloud from the interview transcript whereby the jury heard his prior statement that "Johnathan was running alongside the train trying to get on." See (Tr., Vol. I at 53); (Tr. Ex. # 1). However, Rule 612 requires a witness whose memory has been refreshed to testify from his present recollection, rather than to merely restate the contents of the writing.16 See Shoupe, 548 F.2d at 642 ("[I]f a party can offer a previously given statement to substitute for a witness' testimony under the guise of `refreshing recollect,' the whole adversary system of trial must be revised.") (Internal quotation and citation omitted); Faulkner, 538 F.2d at 727 ("[C]aution must be exercised to insure that the document is not used to put words into the mouth of the witness."). See also 4 Weinstein's Federal Evidence § 612.02[2] ("Rule 612 is intended to curb the false memory that might occur when a witness who purports to testify based on a refreshed recollection merely parrots the contents of the writing.") (citing Hall v. American Bakeries Co., 873 F.2d 1133,1136 (8th Cir.1989)).It is the witness's present refreshed recollection ? as opposed to the contents of the writing used to refresh memory ? that is the substantive evidence of the matter at issue. See United States v. Humphrey, 279 F.3d 372, 377 n. 3 (6th Cir.2002) (citing Faulkner, 538 F.2d at 727). While defense counsel ostensibly utilized the writing to refresh Lockett's present recollection of the interview, the query posed following Lockett's silent review of the writing targeted only whether the interview transcript accurately recounted Lockett's prior, out-of court statements. See (Tr., Vol. I at 52) ("Is that correct what you said on the afternoon of this accident, November the 10th of 1996, is that correct?"). Remarkably, defense counsel did not enquire whether the interview transcript refreshed Lockett's recollection of the matter at issue; namely, the post-accident interview. Defense counsel instead instructed Lockett to read, in the presence of the jury, the prior, unsworn statements contained in the interview transcript. We thus reach the inescapable conclusion that defense counsel impermissibly utilized the "guise of refreshing recollect," Shoupe, 548 F.2d at 642, to place before the jury Lockett's prior, out-of-court statements regarding the manner in which Rush fell from the CN-IC train.It follows that defense counsel's attempt to use Lockett's out of court statements as substantive evidence of the manner in which the accident occurred is governed by the rules of evidence addressing the use of hearsay. "`Hearsay' is a statement, other than one made by the declarant while testifying at the trial or hearing, offered in evidence to prove the truth of the matter asserted," FED. R. EVID. 801(c), which "is not admissible except as provided by the [Federal Rules of Evidence]," FED. R. EVID. 802. CN-IC contends on appeal that Lockett's prior, out of court statements were admissible pursuant to the recorded recollection hearsay exception of Rule 803(5). See (Final Br. of Appellee at 27).CN-IC misplaces its reliance on the recollection recorded exception to the hearsay rule. Rule 803(5) allows a document to be read to the jury as a past recollection recorded if "(1) the witness once had knowledge about the facts in the document; (2) the witness now has insufficient memory to testify about the matters in the document; and (3) the document was recorded at a time when the matters were fresh in the witness's mind and the document correctly reflects the witness's knowledge of the matters." United States v. Smith, 197 F.3d 225, 231 (6th Cir.1999) (citing United States v. Porter, 986 F.2d 1014, 1016 (6th Cir.1993)). Under CN-IC's application of the recorded recollection exception, the interview transcript served to stand in the place of Lockett's "insufficient memory" of the accident. However, Lockett provided detailed and lengthy testimony at trial regarding the events prior to, during, and immediately following the accident. It therefore would be erroneous to conclude that Lockett had "insufficient memory to testify about the matters" in the interview transcript. Indeed, CN-IC concedes in its brief that Lockett had sufficient memory of the accident. See (Final Br. of Appellee at 28) ("In the case of Doyle Lockett, the witness only read his statement to the jury after stating it refreshed his collection."). Accordingly, the past recollection recorded exception to the hearsay rule is wholly inapplicable to Lockett's prior statements regarding the accident.We likewise reject CN-IC's attempts to invoke the residual exception to the hearsay rule. Rule 807 provides, in pertinent part:A statement not specifically covered by Rule 803 or 804 but having equivalent circumstantial guarantees of trustworthiness, is not excluded by the hearsay rule, if the court determines that (A) the statement is offered as evidence of a material fact; (B) the statement is more probative on the point for which it is offered than any other evidence which the proponent can procure through reasonable efforts; and (C) the general purposes of these rules and the interests of justice will best be served by admission of the statement into evidence.FED. R. EVID. 807. This rule explicitly requires that the evidence must have "equivalent circumstantial guarantees of trustworthiness" as compared to evidence admitted under the other hearsay exceptions contained in Rules 803 and 804. FED. R. EVID. 807; see United States v. Barlow, 693 F.2d 954, 962 (6th Cir.1982). "In addition, as stated by the rule, the evidence admitted must go to a `material fact,' must be more probative than any other evidence that reasonably could have been procured, and its admission must support the general purposes of the Rules of Evidence and `the interests of justice.'" United States v. Darwich, 337 F.3d 645, 659 (6th Cir.2003) (quoting FED. R. EVID. 807).CN-IC has made no showing, and the district court made no finding, that Lockett's prior statement, as introduced through the reading of interview transcript, meets the requirements of Rule 807, including that the statement "is more probative on the point for which it is offered than any other evidence which the proponent can procure through reasonable efforts" and that the "general purposes of these rules and the interests of justice will best be served by admission of the statement into evidence." FED. R. EVID. 807. This is of particularly import in light of the detailed testimony provided by Lockett at trial. Simply, CN-IC has failed to demonstrate that the proffered evidence is "more probative" than the evidence and testimony properly presented at trial. See United States v. Laster, 258 F.3d 525, 530 (6th Cir.2001). The residual hearsay exception therefore is of no recourse to CN-IC.Having considered and rejected CN-IC's assertions that the district court properly admitted Lockett's prior statements into evidence pursuant to Rule 612 and various exceptions to the hearsay rule, we turn to the argument advanced for the first time on appeal that CN-IC "did not introduce the statements with the intention of proving that Johnathan Rush was actually running alongside the train when he was injured, the [d]efense merely offered the statements to impeach the testimony of... Lockett." See (Final Br. of Appellee at 28). It is well-settled that where the contents of the writing used to refresh a witness's memory include prior statements of that witness that are inconsistent with the witness's present testimony, the prior statement may be introduced to impeach the witness. See Shoupe, 548 F.2d at 642-43; 4 WEINSTEIN'S FEDERAL EVIDENCE § 612.04[5] ("If the witness continues to lack memory of the matter, or to insist on a different version of the matter, the party may wish to use the prior statement as impeachment."). Here, CN-IC purportedly sought to impeach Lockett's direct testimony that he never saw "anybody running to get on the back of the train," (Tr., Vol I. at 45), with his post-accident statement that "Johnathan was running alongside the train trying to get on," (Tr., Vol. I at 53). Rule 613 of the Federal Rules of Evidence authorizes the impeachment of a witness by use of a prior inconsistent statement. See FED. R. EVID 613(a). Indeed, our review of the record reveals that notwithstanding CN-IC's present invocations of Rule 612 and multiple hearsay exceptions, defense counsel attempted to use Lockett's prior statement for impeachment purposes. While improper under Rule 612, defense counsel's question which incorporated the prior statement is a traditional means of confronting a witness with a prior inconsistent statement. The district court's instruction to "confront the witness with the transcript," (Tr., Vol. I at 49), indicates that the district court perceived defense counsel's cross-examination as targeting inconsistencies between Lockett's prior statement and testimony at trial. Although unnecessary under the current version of Rule 613, defense counsel took the additional step of revealing the prior inconsistent statement to Lockett during cross-examination and afforded Lockett with the opportunity to explain the apparent inconsistency. See (Tr., Vol. I at 55); see also United States v. McCall, 85 F.3d 1193, 1197 (6th Cir.1996) (quoting the advisory committee's note to Rule 613 which provides, in pertinent part: "The traditional insistence that the attention of the witness be directed to the statement on cross-examination is relaxed").The issue is whether the jury considered Lockett's prior, out-of-court statements introduced properly for impeachment purposes or mistakenly as substantive evidence of the circumstances surrounding Rush's accident. Rule 105 of the Federal Rules of Evidence provides: "When evidence which is admissible as to one party or for one purpose but not admissible as to another party or for another purpose is admitted, the court, upon request, shall restrict the evidence to its proper scope and instruct the jury accordingly." FED. R. EVID. 105. The text of the Rule "does not clearly require the trial court to give the instruction at the same time the jury is exposed to the evidence." See United States v. Chance, 306 F.3d 356, 388 (6th Cir.2002). "[T]he phrase `is admitted' may reasonably be interpreted to require simply that the trial court give the requested instruction during final instructions." Chance, 306 F.3d at 388 (citation omitted).It is undisputed that the plaintiff-appellant did not request a limiting instruction at the time Lockett's prior inconsistent statement was introduced into evidence. It is further undisputed that the plaintiff-appellant did not object to the jury's final instructions. The plaintiff-appellant likewise does not challenge the jury instructions on appeal.As the plaintiff-appellant failed to request a limiting instruction, we review the matter for plain error. See Chonich v. Wayne County Community College, 973 F.2d 1271, 1275 (6th Cir.1992); FED. R. CIV. P. 51(d)(2). It is plain error for the court not to give an instruction limiting consideration by the jury of an out-of-court statement for impeachment purposes. See United States v. Lester, 491 F.2d 680 (6th Cir.1974); United States v. Dye, 508 F.2d 1226 (6th Cir.1974); United States v. Barnes, 319 F.2d 290 (6th Cir.1963). "[T]he danger against which such an instruction is meant to guard is that the jurors will use prior statements introduced solely to impeach a declarant as substantive evidence." United States v. Kohrs,Try vLex for FREE for 3 days
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