| In Vasquez v Colores,--- F.3d
----, 2011 WL 3366380 (8th Cir.(Minn.)) Dr. Carlos Colores Vasquez filed
a petition to return his twenty-two-month-old daughter, I.R.C., to
Mexico. Stephanie Colores, Dr. Colores's estranged wife and mother of
I.R.C., opposed the petition. The district court entered an order
granting the petition. Ms. Colores appealed, arguing that the district
court erred in denying her motion for a continuance and in excluding the
testimony of two witnesses. The Eighth Circuit affirmed.
The Court observed that the Article 13(b)
exception, on which Ms. Colores relied, applies if the party opposing
the petition establishes by clear and convincing evidence that "there is
grave risk that his or her return would expose the child to physical or
psychological harm or otherwise place the child in an intolerable
situation." It indicated that it has recognized two types of grave risk
that are cognizable under Article 13(b): cases in which a child is sent
to a zone of war, famine, or disease and those involving serious abuse
or neglect. (Citing Silverman v. Silverman, 338 F.3d 886, 900 (8th
Cir.2003).
Ms. Colores, an American citizen, and Dr.
Colores married in Minnesota in the summer of 2007 and moved to Mexico.
Their daughter, I.R.C., was born in December 2008. In early May 2010,
Ms. Colores left Mexico with I.R.C. and traveled to South Carolina,
where her mother was vacationing. The three returned to her mother's
home in Minnesota in late May. Dr. Colores filed his petition for
emergency ex parte relief under the Convention on August 23, 2010. The
district court granted that petition two days later. Ms. Colores sought
a continuance, claiming that she needed more time to obtain additional
information from the United States Embassy in Mexico City and security
footage from the gated community in which she and Dr. Colores had lived.
Dr. Colores objected to the continuance, arguing that Ms. Colores had
failed to demonstrate that the information was material to the petition.
The district court denied the motion for a continuance, and the parties
commenced the first of three evidentiary hearings on September 1. The
parties agreed that I.R.C. was a habitual resident of Mexico and that
her removal was wrongful because Dr. Colores did not consent and I.R.C.
did not have a valid passport.
Ms. Colores claimed that the Article 13(b)
exception applied and thus the district court was not obligated to
return I.R.C. to Mexico. Over the course of the hearings, she sought to
establish that Dr. Colores's anger problems and history of abuse posed a
grave risk of physical or psychological harm that satisfied the Article
13(b) exception. She testified that Dr. Colores had abused I.R.C. by
shaking her head forcefully six to ten times a month, head-butting her
two to three times a month, or hitting her on the back with his fist.
Barbara Jo Gangl, Ms. Colores's mother, testified that she had witnessed
Dr. Colores shake I.R.C.'s head forcefully and pull her hair. Following
Ms. Colores's testimony, she sought to elicit testimony from John Gangl,
her stepfather. She proffered that he would corroborate her account of
Dr. Colores's episodes of rage by recounting a telephone conversation in
which Dr. Colores allegedly lashed out at Gangl after he complained
about Dr. Colores's refusal to pick up Barbara Jo from the airport when
she visited. The district court inquired whether Gangl had witnessed Dr.
Colores in a rage in the presence of I.R.C. and was told that he had
not. The district court concluded that the proffered testimony was not
relevant and excluded it. Ms. Colores also sought to elicit expert
testimony from Dr. Jeffrey L. Edleson, Professor and Director of
Research at the School of Social Work at the University of Minnesota and
the Director of the Minnesota Center against Violence and Abuse. On
September 7, 2010, when Ms. Colores first broached the topic of calling
Dr. Edleson with the district court, he was unavailable to appear
because he had been hospitalized. When questioned, counsel for Ms.
Colores could not provide the court with more information why Dr.
Edleson had been hospitalized or when he might be available. As part of
her offer of proof, Ms. Colores recounted Dr. Edleson's expertise in the
area of domestic violence and referred to a study, funded by the
National Institute of Justice, the research arm of the U.S. Department
of Justice, that addressed "the risk of harm to children in the context
of domestic violence against parents and children in [Hague Convention
cases]." At the time, the study was unpublished and not subject to peer
review. Dr. Colores objected to the proposed testimony, noting that the
witness had not been disclosed previously and had not examined I.R.C. or
interviewed either of her parents. Dr. Colores argued that the proffer
consisted of a generalized summary of phenomena associated with domestic
abuse and was irrelevant to the specific issues at issue in the
proceedings. Dr. Colores also maintained that such testimony would not
shed light on the specific claims Ms. Colores made, but would only
extend the proceedings and thereby exacerbate his financial hardship.
The district court excluded Dr. Edleson's testimony, concluding that it
was unreliable and irrelevant.
On September 14, 2010, the district court
entered an order granting Dr. Colores's petition. It did not find
credible Ms. Colores's allegations that there was a grave risk that
I.R.C. would be exposed to physical or psychological harm or otherwise
be placed in an intolerable situation if she were returned to Mexico. It
cited findings of a pediatric neurologist who had examined I.R.C. at the
district court's request and who opined, based on his examination and on
I.R.C.'s normal, age-appropriate neurological development, that there
was no evidence of any neurologic injury. The district court also found
that Ms. Colores had never reported any injury and had been willing to
leave I.R.C. with Dr. Colores for ten days when she returned to the
United States to attend a funeral.
The Court of Appeals pointed out that Ms.
Colores's motion for a continuance was based on her claim that she
needed to gather evidence that was located in Mexico. According to Ms.
Colores, the evidence consisted of witness statements and videotapes
from surveillance cameras of the gated community in which she and Dr.
Colores had lived, as well as a copy of a report she had allegedly filed
with the U.S. Embassy documenting Dr. Colores's abuse of herself and of
I.R.C. Dr. Colores contended that Ms. Colores failed to establish that
the evidence she sought was material and that the district court
appropriately denied the motion in light of the prejudice Dr. Colores
suffered from continued delay and the primacy placed on expediency in
Convention proceedings. Given the underlying circumstances and the
professed goal of expediency in Convention proceedings, the Court of
Appeals agreed that the district court did not abuse its discretion in
denying the motion.
The Court also observed that a district court
enjoys wide discretion in ruling on the admissibility of proffered
evidence, and evidentiary rulings should only be overturned if there was
a clear and prejudicial abuse of discretion. To warrant reversal, an
error must affect a substantial right of the objecting party, and the
burden of showing prejudice rests on that party. Ms. Colores maintained
that her stepfather's testimony would have corroborated her account of
Dr. Colores's rage and anger. The incident at the heart of the proffer
occurred in December 2008, when Gangl and Dr. Colores argued on the
telephone after Dr. Colores refused to pick up Barbara Jo from the
airport when she came to visit and instead asked that she take a cab to
the house. After hearing the details of the phone conversation and
determining that Gangl was not physically present with I.R.C. when it
occurred, the district court concluded that the proffered testimony was
not relevant and excluded it. The Court of Appeals held that at best,
the proffered testimony repeated Ms. Colores's account of her husband's
behavior on the night of the telephone call. But I .R.C. was not
implicated in the particulars of the phone call, and Gangl's proffered
testimony would have been cumulative of prior testimony from Ms. Colores
and her mother. Accordingly, it could not say that the district court
abused its discretion in excluding this testimony.
Ms. Colores argued that the district court
abused its discretion in excluding testimony from Dr. Edleson. Federal
Rule of Evidence 702 governs the admission of expert testimony and
requires that the district court function as a gatekeeper to "ensure
that any and all scientific testimony or evidence is not only relevant,
but reliable." (Citing Daubert v. Merrell Dow Pharm., Inc., 509 U.S.
579, 589 (1993). "If scientific, technical, or other specialized
knowledge will assist the trier of fact to understand the evidence or to
determine a fact in issue," an expert may testify in the form of an
opinion or otherwise so long as "(1) the testimony is based upon
sufficient facts or data, (2) the testimony is the product of reliable
principles and methods, and (3) the witness has applied the principles
and methods reliably to the facts of the case." Fed.R.Evid. 702.
The Court held that it did not have to
determine whether Dr. Edleson's testimony was unreliable because the
report that would have served as its basis had not yet been published or
peer-reviewed, because it concluded that the district court did not
abuse its discretion in excluding the testimony as irrelevant after
finding that Dr. Edleson had not interviewed either of the parties or
I.R.C. The district court concluded that Dr. Edleson's testimony would
not have directly aided the fact-finder in sorting out whether abuse had
occurred and, if so, what effect it had on I.R.C. It emphasized that
there was little physical evidence of abuse or mistreatment and that the
veracity of the allegations of abuse turned primarily on the credibility
of the parties' testimony. Questions of admissibility "are not to be
measured by what we may have done were we the district court," but
whether its evidentiary decisions constitute "a clear abuse of
discretion." Dunn v. Nexgrill Indus., Inc., 636 F.3d 1049, 1057 (8th
Cir.2011). Ms. Colores did not demonstrate that excluding the testimony
was so prejudicial as to require reversal. She did not contend that Dr.
Edleson had concluded that Ms. Colores or I.R.C. had been abused or that
I.R.C. faced a grave risk of harm if she were returned to Mexico. So far
as the district court was aware, Ms. Colores did not contend that Dr.
Edleson had formed any opinion as to I.R.C. It concluded that the
exclusion of Dr. Edleson's testimony did not warrant reversal.
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