Alоnzo R. VAUGHN and Carl S. Morton, Appellants, v. UNITED STATES, Appellee.
Nos. 11-CF-228, 11-CF-363.
District of Columbia Court of Appeals.
Decided July 3, 2014.
1237
Argued Sept. 18, 2012.
Amanda R. Grier, Washington, DC, with whom Saul M. Pilchen was on the brief, for appellant Carl S. Morton.
Peter S. Smith, Assistant United States Attorney, with whom Ronald C. Machen Jr., United States Attorney, Roy W. McLeese III, Assistant United States Attorney at the time the brief was filed, Chrisellen R. Kolb, Mary Chris Dobbie, and Reagan Taylor, Assistant United States Attorneys, were on the brief, for appellee.
Before GLICKMAN and EASTERLY, Associate Judges, and PRYOR, Senior Judge.
EASTERLY, Associate Judge:
Carl Morton and Alonzo Vaughn appeal their convictions for aggravated assault (
Six months earlier, Officer Childs had filed reports accusing a different inmate (“Inmate A“) of assault, thereby providing a potential justification for his use of a chemical agent on the inmate. His accusations were investigated by the Department of Corrections (DOC) Office of Internal Affairs (OIA). The DOC OIA determined in a “Final Report,” that, among other things, video footage of this incident did not show the alleged inmate assault.
The OIA Officer who wrote the OIA Final Report about the Inmate A incident stated in a sworn affidavit (submitted by the government during post-trial proceedings in this case) that he sent the OIA Final Report to the DOC Office of the Director, the entity in charge of disciplinary action, and he was later informed that the DOC Office of the Directоr demoted Officer Childs from Lieutenant to Sergeant after it received the report. In addition, this OIA Officer, who also assisted the government in the investigation of the Spencer-White attacks, stated in his affidavit that he “notified the U.S. Attorney‘s Office for the District of Columbia of the Investigative Report concerning Lieutenant Childs and his subsequent demotion” on September 15, 2009, approximately two months before Mr. Vaughn and Mr. Morton‘s trial.
The difference between the government‘s summary of the OIA investigation and the actual OIA Final Report almost certainly would have come to light had the government provided the trial court with the full copy. It did not. Along with its summary, the government submitted to the trial court ex parte what it said was the OIA Final Report, but in fact was only the first five pages of the ten-page report (and included none of the documents in the appendix, 76 pages in all). The first five pages of the OIA Final Report contain “background” information, investigative notes, and a full reproduction of Officer Childs‘s account of an inmate assault in his Incident Report without any indication that that account was being questioned; the findings adverse to Officer Childs begin on the sixth page.
Under Brady v. Maryland, 373 U.S. 83, 83 S.Ct. 1194, 10 L.Ed.2d 215 (1963), the government has a constitutionally mandated obligation to disclose to the defense, prior to trial, information in the government‘s actual or constructive possession that is favorable and material. The government did not fulfill its due process disclosure obligations in this case. Moreover, its failure to provide the court and the defense with complete and accurate information as to the contents of the OIA Final Report thwarted the trial court‘s ability to “require strict compliance with the demands of Brady ... in the first instance.” Boyd v. United States, 908 A.2d 39, 62 (D.C.2006). As to Mr. Morton, we reverse his two convictions on this ground and remand for a new trial after the government has certified in writing that it has fulfilled its duty to learn of and disclose all the favorable information in the possession of the United States Attorney‘s Office and the entire the prosecution team. As for Mr. Vaughn, we determine that a jury instruction conceded to be erroneous by the government requires reversal of his conviction for aggravated assault. We reject the remaining claims raised by Mr. Morton and Mr. Vaughn.
I. The Spencer-White Attacks, the DOC Investigation, and Mr. Morton and Mr. Vaughn‘s Trial
Mr. Morton and Mr. Vaughn were prosecuted for their alleged involvement in an attack at the D.C. Jail on a corrections officer, Charles White, but it all began with an attack on a fellow inmate, Deon
Sergeant White, assigned to the Southeast 2 housing unit, responded to Corporal Weathers‘s call for help. As he tried to quell the disturbance, he was attacked. Sergeant White was initially pushed onto a dining table, but he immediately got back up and moved away from the table. At some point, Sergeant White ended up on the floor. Several inmates then kicked him about the head and body and knocked him unconscious. As he lay in the walkway, inmates ran back and forth through the area, over and around his body.
In the meantime, a number of other corrections officers responded to the scene.2 The incident ended when a chemical agent was dispersed, forcing inmates back into their cells. SW2 went on lockdown.
Mr. Morton and Mr. Vaughn were not initially identified as participants in the attack. The victims, Mr. Spencer and Sergeant White, were unable to identify their assailants from the 156 inmates housed on SW2 on the day of the attack. The officers who had seen and responded to the attack wrote Incident Reports immediately after the incident identifying a number of inmates they had seen participating in the violence—many of whom were charged and eventually pled guilty in connection with this incident.3 Mr. Morton and Mr. Vaughn were not among these individuals.
OIA Investigator Benjamin Collins, who led the DOC investigation into this incident, sought to identify additional individuals involved in the attacks using recordings of the incident from fixed cameras capturing images of SW2 from different angles. The recordings were of limited utility on their own, however. In particular, the footage of the attack on Sergeant White is of extremely poor quality. Instead of a seamless “moving picture,” it is a choppy series of still images, capturing a chaotic sequence of events only at regular intervals. In addition, the images are highly pixelated and the faces are, as DOC staff conceded, “blurry.”4 Accordingly, the
The morning after the attacks, OIA Investigator Collins met with Officer Childs.5 Officer Childs had not been on duty the day prior but he had already watched some footage of the incident with Officer Harper. Officer Childs told OIA Investigator Collins that “he was very familiar with the vast majority of the inmates in the unit and that he had named at least 11 inmates who he saw in the video that were involved in the altercation.” Apparently he then identified Mr. Morton as a participant in the attack on Sergeant White. Several months later OIA Investigator Collins brought Officer Childs to the U.S. Attorney‘s Office, at which point Officer Childs identified Mr. Vaughn as another participant in this attack. OIA Investigator Collins also spoke to Sergeant Harper in the course of his investigation. Sergeant Harper ultimately identified Mr. Morton and Mr. Vaughn as participants in the attack on Sergeant White as well.
Beyond Officer Childs‘s and Sergeant Harper‘s identifications of participants from the video footage, the record does not reflect that the government developed any other evidence against Mr. Morton and Mr. Vaughn. Mr. Morton and Mr. Vaughn were each indicted in November 2008 for their alleged involvement in the attack on Sergeant White.
Mr. Morton and Mr. Vaughn went to trial a year later, in November 2009. The government argued that Mr. Vaughn was the only inmate dressed all in white and that he had given Sergeant White “one good shove.” The government argued that Mr. Morton was one of the inmates who kicked Sergeant White as he lay on the floor. In support of these theories, the government presented Officer Childs‘s testimony. Explaining his ability to identify Mr. Morton and Mr. Vaughn as participants in the attack on Sergeant White, Officer Childs testified that he had been working on the unit for over a year, that Mr. Morton and Mr. Vaughn had each been on the unit for several months, that he knew them and their facial and physical features well, and that he could clearly see them in the video footage and in multiple stills taken from the video footage. Although defense counsel was able to highlight minor inconsistencies in Officer Childs‘s testimony on cross-examination, Officer Childs‘s testimony was largely unimpeached.
Sergeant Harper testified after Officer Childs. He could only identify Mr. Morton at one point in the recorded footage of the attack on Sergeant White and only recognized Mr. Morton in one of several video stills of that attack.6 Sergeant Harper was impeached with the fact that, despite his claim at trial that he “kn[ew] on December 27 that all of [the individuals he
In closing, the government made clear that its case turned on the jury‘s assessment of the credibility of the DOC officers who had testified and had identified the defendants. The government began by asking the jury “to consider all of the evidence“: “[t]he video, the documents[,] and importantly the testimony that you heard from the Corrections Officers.” The government informed the jury that its ultimate task was “to assess the credibility of those officers when they were on the stand. That‘s what you‘re asked to do here today.” Specifically addressing the identifications made by Officer Childs and Sergeant Harper, the government returned to the theme of credibility: “[P]art of your job in this case is to assess the credibility of these officers on the stand.... Angelo Childs told you repeatedly and strongly [t]hat is Alonzo Vaughn and that is Carl Morton. Jimmy Harper, same thing.” And the government concluded by “emphasiz[ing] again, this case is ... about your credibility judgments.” It was a winning argument. Even if the jury was not convinced by Sergeant Harper‘s somewhat inconsistent and weak testimony, it had little or no reason to doubt the testimony of Officer Childs.
II. The Brady Claim
Mr. Morton and Mr. Vaughn both argue that there were reasons to doubt Officer Childs‘s credibility, but that the government did not timely or accurately apprise the defense of this information. We return to the facts on record.
A. The Pertinent Facts
1. The OIA Final Report
The following facts are taken from the OIA Final Report. In the spring of 2009 (as the parties prepared for trial in Mr. Morton and Mr. Vaughn‘s case), Officer Childs participated in a mission to eliminate contraband at the D.C. Jail. Officer Childs, at that time a lieutenant, was a supervising officer on the Search and Recovery Team (SRT), along with Major Nora Talley and Lieutenant Gregory McKnight. Sergeant David Thomas and his drug-sniffing dog, “Reggie,” also assisted with the search for contraband.
In the course of this contraband recovery mission, Inmate A7 and his cell were searched by members of the SRT. Specifically, Inmate A was strip searched in his cell and then restrained and taken by Lieutenant McKnight to the Body Orifice Security Scanner (BOSS Chair);8 meanwhile the drug-sniffing dog inspected Inmate A‘s cell. Both before and after his trip to the BOSS Chair, Inmate A told Lieutenant McKnight that he was scared of dogs and of the drug-sniffing dog in particular.
Once Inmate A returned from the BOSS Chair, Lieutenant McKnight left him, still in restraints, standing near the bubble in the presence of Officer Childs and Major Talley. At this point, Inmate A “stated emphatically that he would not go anywhere near the canine.” Although the protocol for the contraband recovery mission did not include using the drug-sniffing dog to inspect inmates, Officer Childs grabbed Inmate A‘s arm and signaled to Officer Thomas to bring the dog over to Inmate A. As the dog approached, Inmate
That same day, Officer Childs prepared an Incident Report explaining the reason for his use of force and a Disciplinary Report accusing Inmate A of “Lack of Cooperation [and] assault without serious injury.” In both reports, Officer Childs asserted that Inmate A had “refuse[d] to be search[ed] by the [dog]” and had “started kicking at” the drug-sniffing dog and that Officer Childs had sprayed the chemical agent in Inmate A‘s face to “seize [sic] his disruptive behavior.” Officer Childs then stated in the Incident Report that Inmate A was “placed in restraints” and escorted out of the unit, thereby effectively stating that Inmate A had previously been unrestrained. Officer Childs concluded his Incident Report with the assertion that “[t]his incident stemmed from the violent/disruptive behavior of [Inmate A].” Major Talley and Sergeant Thomas also filed reports in which they told a similar narrative of Inmate A‘s unprovoked, aggressive behavior.
According to the OIA Final Report, video footage contradicted all of these reports. Four days after this incident, at the request of the Director of the DOC, the OIA opened a formal investigation. The lead investigator was Benjamin Collins, the same OIA investigator who had led the inquiry into the Spencer-White attacks and had brought Officer Childs to the U.S. Attorney‘s Office so that he could serve as a witness. After OIA Investigator Collins completed his investigation, the OIA issued the Final Report on June 27, 2009.
The OIA Final Report is ten pages long and includes appendices totaling 76 pages.9 The first five pages of the OIA Final Report contain “background” information, investigative notes, and a full reproduction of Officer Childs‘s account, in his Incident Report, that Inmate A had tried to thwart a legitimate search for contraband and acted with unprovoked aggression. The findings adverse to Officer Childs and his colleagues do not begin until page six. At that point, the OIA memorialized its determination that Inmate A had not—as Officer Childs had claimed—engaged in “disruptive behavior” necessitating use of force. Specifically, the report states that “[v]ideo footage of the incident does not support the allegation that [Inmate A] assaulted any Correctional Officer or canine.” On subsequent pages, the report reviewed and then similarly discredited the stories told by Sergeant Thomas and
The OIA Final Report further notes that, although Officer Childs‘s “narrative suggests that at the time of the incident, [Inmate A] was not restrained,” “[u]pon review of the facts and circumstances of this incident, it is evident that [Inmate A] was in restraints and not a threat to ‘normal operations’ when he was sprayed with chemical agent by Lieutenant Childs.” In other words, the OIA determined that, to the extent the false story of an inmate assault was meant to justify the use of a chemical agent to subdue Inmate A, it failed not only because it was false, but also because it did not account for the fact that Inmate A was already restrained.10
The OIA Final Report concludes with four summary “Findings” reiterating that Officer Childs “us[ed] ... a chemical agent on a restrained inmate who posed no immediate danger to himself or others” thereby violating the DOC “use of force continuum“; that he “submitted a false and or misleading Incident Report of the facts in stating that the inmate was placed in restraints after being sprayed with chemical agent” and that Major Talley and Sergeant Thomas had also filed “false and[/]or misleading” Incident Reports asserting that Inmate A had attempted to kick the drug sniffing dog and tried to “fight” Officer Childs.11
The OIA merely conducts investigations; it does not recommend disciplinary action. Thus, according to the affidavit by OIA Investigator Collins later filed in this case by the government, see infra p. 1252, after the OIA Final Report was completed, he sent it to the DOC‘s Office of the Director. Again according to Investigator Collins‘s affidavit, the Office of the Director of the DOC issued to Officer Childs “formal and written notification” on August 26, 2009, that he had been demoted from Lieutenant to Sergeant. It was Investigator Collins‘s understanding that Officer Childs had signed this notice,12 and that Officer
2. The Government‘s Nondisclosure
The government did not turn over the OIA Final Report to the defense prior to the November 2009 trial, nor did it disclose to the defense that it had information Officer Childs had been demoted by DOC in connection with the incident with Inmate A. Instead, less than a week before trial began, the government, represented by the two Assistant United States Attorneys who prosecuted the case, filed (1) a motion in limine to prevent the defense from cross-examining Officer Childs on any issue related to the OIA Final Report, and (2) an accompanying ex parte motion requesting that (a) the court review in camera the first five pages of the ten-page report (“the five-page ex parte submission“), and (b) the court permit the government to file this attachment under seal. The government did not inform the court that the five-page ex parte submission was not the complete OIA Final Report or that it was missing its appendices.13
The government‘s stated goal in filing its motion in limine was “to preclude the defense from referring to the fact DOC Office of Internal Affairs may have made potentially adverse credibility findings” against Officer Childs. The government told the court and the defense that the OIA “investigation resulted in two findings related to Officer Childs: (1) Officer Childs’ use of force violated DOC policy and (2) Officer Childs submitted a false or misleading statement in reciting the facts,” specifically, that “DOC Internal Affairs found that Officer Childs’ statement that Inmate A was placed in handcuffs after being sprayed with a chemical agent was false or misleading.” The government pushed back against the second of these “two findings” and refused to “сonced[e],” that Officer Childs “in fact made a false and/or misleading statement.”
To support this position, the government provided the court and the defense with a “summary of an incident ... in which DOC Internal Affairs issued a Final Report.” This summary, however, did not mention that the OIA had determined that Officer Childs and his fellow corrections officers had falsely accused Inmate A of assault. Instead the government‘s summary indicated that Inmate A had acted aggressively. The government noted that there had been a “heated discussion between Inmate A and Officer Childs,” and that Officer Childs had thought Inmate A was engaging in a “deliberate attempt ... to circumvent the search process.” The government then quoted the OIA Final Report‘s reproduction of Officer Childs‘s (discredited) account of the incident in which he stated that when he and his colleagues “attempted to search [Inmate A], [Inmate A] started kicking at the dog” and then stated that “Because [Inmate
The government not only credited a narrative of inmate aggression that the OIA had expressly discredited without disclosing that fact, thereby providing an incomplete recapitulation of the content of the OIA Final Report, it also cast doubt on the report even as to its purported focus—namely, whether Officer Childs had falsely indicated in reports that the inmate was unrestrained when Officer Childs sprayed him with a chemical agent. The government asserted that the text of Officer Childs‘s report was “ambiguous at best” and that “it is not apparent that [Officer Childs] lied in his report.” The government further stated that “[t]he conclusion that Officer Childs made a false or misleading statement is at odds with the body of the [Final OIA Report] and does not appear evident from the text of Officer Childs‘s [Incident Report].”
The government buttressed its intimations that the OIA investigation was unreliable when it argued its motion on the first day of trial. Although the gоvernment acknowledged that it “expect[ed] [Officer Childs] to say that he [had been] demoted related to this incident,” it immediately undercut the force of this new disclosure by indicating that Officer Childs had had little opportunity to address or contest the report; indeed, the government asserted that Officer Childs “ha[d] never seen” the OIA Final Report, and thus he would not be able to speak to “the particulars.” Based on its description of the OIA Final Report as limited in scope and undependable in outcome, the government took the position that the April 2009 incident did not “bear[] directly upon” Officer Childs‘s veracity and thus was not the proper subject of cross-examination.
The trial court relied on the government‘s representations regarding the OIA Final Report, and it denied repeated requests by the defense14 during the trial for disclosure of the actual report. Without the actual report, the defense had no ability to call the government‘s characterization of the report into question or to persuade the court to order its disclosure.15 The court itself was in no position to assess the adequacy of the government‘s summary of the OIA investigation. The court had the government‘s five-page ex parte submission, but that incomplete document concluded with Officer Childs‘s (subsequently discredited) account of the incident with Inmate A; thus it said even less about Officer Childs‘s misconduct than the government‘s summary did.
Mr. Morton and Mr. Vaughn did not receive a copy of the OIA Final Report until three months after trial, in February 2010, after they had already moved for a new trial on other grounds.16 In a “Sup-
During this time, the government took no steps to inform the court that the five-page ex parte submission had been incomplete. The court was lеft to figure this out by itself, in the midst of a status hearing two months after the defense filed its Brady claim. When the court was shown the defense copy of the OIA Final Report, which included all ten pages, the court noted that the final pages looked unfamiliar. The government initially could not “represent what may ... have happened.” It later informed the court that it had failed to provide the court with the full OIA Final Report “by inadvertence.” Even so, the government asserted that the “erroneously omitted portion” of the OIA Final Report changed nothing. Instead the government asserted that it had “fully disclosed and discussed” in its motion in limine “all of the information detailed in pages six through nine” of the report.
Even after the court and the defense received complete copies of the OIA Final Report, the government stood by its characterization of the OIA investigation as one solely concerned with Officer Childs‘s use of force and his alleged false reporting related to the use of force. It further denied that it was “aware” that Officer Childs had ever been formally disciplined in connection with this alleged misconduct. The government took the position that Officer Childs had “accepted a voluntary demotion” as an informal resolution to an inconclusive investigation regarding “allegations of false and/or misleading statements,” and that the only formal discipline Officer Childs had received in connection with the Inmate A incident was the Letter of Direction for improper use of force issued by Major Talley.17
Almost a year after the defense filed its supplemental motion for a new trial raising a Brady claim, the government filed a document that could have clarified matters: the affidavit from OIA Investigator Collins.18 In this affidavit, OIA Investigator Collins explained that (1) Major Talley‘s Letter of Direction did not “supersede or impede” the OIA investigation; (2) He “officially completed” the OIA Final Report “[o]n June 27, 2009 ... and forwarded it to Office of the Director for the DC Department of Corrections,” because the DOC OIA does not, “as a matter of
When the parties returned to court a week after this filing, the court ruled on the defendants’ supplemental motion for a new trial. The court determined that there had never been a “finding of untru[th] telling against Officer Childs.” The court further determined that the affidavit “essentially vindicates” that, “although the Internal Affairs Division did do an investigation of Officer Childs, no report was issued by that office and no action was taken by that office.” Accordingly, the trial court denied the motion from the bench “for the reasons stated in the government‘s opposition” to the defendants’ motion.19
B. Brady Analysis
Our adversarial system is premised on the belief that “[s]ociety wins not only when the guilty are convicted but when criminal trials are fair.” Brady, 373 U.S. at 87, 83 S.Ct. 1194. Prosecutors have a critical role in ensuring the fairness of criminal trials. They are the representative of the sovereign, whose “interest ... in a criminal prosecution is not that it shall win a case, but that justice shall be done.” Berger v. United States, 295 U.S. 78, 88, 55 S.Ct. 629, 79 L.Ed. 1314 (1935); see also Miller v. United States, 14 A.3d 1094, 1107 (D.C.2011) (explaining that prosecutors must “seek justice before victory“). Prosecutors are thus obligated to play a dual role at trial; they must advocate for the government “with earnestness and vigor,” Berger, 295 U.S. at 88, 55 S.Ct. 629, but they also have an obligation under Brady “to assist the defense in making its case.” United States v. Bagley, 473 U.S. 667, 675 n. 6, 105 S.Ct. 3375, 87 L.Ed.2d 481 (1985). In this “limited departure from a pure adversary model,” id., prosecutors have a constitutionally imposed duty to disclose to the defense pretrial information that is “favorable to an accused ... [and] material
To determine on appeal whether the government, through its representatives in the trial court, has violated its obligations under Brady, we consider: (1) whether the information in question is “favorable to the accused“; (2) whether this information was possessed and suppressed by the government, “either willfully or inadvertently“; and (3) whether that information was material, i.e., whether there is “a reasonable probability that, had the evidence been disclosed, the result of the proceeding would have been different.” Miller, 14 A.3d at 1109. If the information was favorable, suppressed, and material, then reversal is required, “irrespective of the good faith or bad faith of the prosecution.” Brady, 373 U.S. at 87, 83 S.Ct. 1194.
Reviewing the trial court‘s legal conclusions de novo and its underlying findings of fact for clear error, Miller, 14 A.3d at 1120, we consider each criterion for a Brady violation in turn.
1. Favorable Information Subject to Disclosure
At least in the abstract, it is easy to articulate what constitutes “favorable” information subject to disclosure under Brady. It is information “of a kind that would suggest to any prosecutor that the defense would want to know about it” because it helps the defense. See Miller, 14 A.3d at 1110 (quoting Leka v. Portuondo, 257 F.3d 89, 99 (2d Cir.2001)). The defense perspective controls. See id. (“[T]he critical task of evaluating the usefulness and exculpatory value of the information is a matter primarily for defense counsel, who has a different perspective and interest from that of the police or prosecutor.” (quoting Zanders v. United States, 999 A.2d 149, 164 (D.C.2010))).
Favorable information includes impeaching information. See Giglio v. United States, 405 U.S. 150, 154-55, 92 S.Ct. 763, 31 L.Ed.2d 104 (1972). Indeed, although the Supreme Court held in Bagley, 473 U.S. at 676, that the failure to disclose impeaching information is not “more egregious” than a failure to disclose affirmatively exculpatory information, both the Supreme Court and this court have repeatedly made clear that impeaching information doеs not have a lesser standing in the context of the government‘s Brady disclosure obligations. Rather, “[t]he jury‘s estimate of the truthfulness and reliability of a given witness may well be determinative of guilt or innocence.” Bagley, 473 U.S. at 676 (quoting Napue v. Illinois, 360 U.S. 264, 269, 79 S.Ct. 1173, 3 L.Ed.2d 1217 (1959)); see also Bennett v. United States, 797 A.2d 1251, 1256 (D.C.2002) (“Impeaching evidence is exculpatory.” (internal quotation marks omitted)).
In this case, whether favorable information existed that was subject to disclosure under Brady turns on how one characterizes the OIA investigation and its outcome. When the trial court denied Mr. Morton‘s and Mr. Vaughn‘s motion for a new trial, it accepted the government‘s representations that (1) the OIA investigation concerned Officer Childs‘s use of force and alleged false reporting related to his use of force, and (2) Officer Childs‘s demotion was something more in the nature of an administrative plea deal to resolve an inconclusive inquiry that ultimately was unrevealing regarding Officer Childs‘s credibility. As an appellate court, we ordinarily defer to the trial court‘s findings of fact, unless those findings are clearly erroneous. See Miller, 14 A.3d at 1120. Here, record documents, the OIA Final Report and OIA Investigator Collins‘s affidavit,
Although the purpose of the OIA investigation as articulated in the OIA Final Report was “to identify the facts and circumstances regarding the use of [a chemical agent] by Lieutenant Angelo Childs” in April 2009, the report itself reveals that the investigation went beyond an inquiry into whether Officer Childs complied with use-of-force guidelines. Ultimately, the OIA determined that Officer Childs and his fellow DOC Officers had falsely accused Inmate A of assaultive behаvior, and they had all filed false reports to this effect. The OIA also determined that Officer Childs falsely suggested that the inmate was unrestrained and Officer Childs sprayed him with a chemical agent to stop the (fabricated) assault. OIA Investigator Collins‘s affidavit completes the story. The inescapable inference is that the Office of the Director credited all the conclusions of the OIA Final Report and as a consequence meted out significant discipline by demoting Officer Childs from Lieutenant to Sergeant.20
Once we clarify the actual subject and the apparent outcome of the OIA investigation, the determination that this information was favorable information subject to disclosure under Brady is not difficult. The OIA‘s determination of Officer Childs‘s false reporting was clearly impeaching, and was the sort of information in which any competent defense lawyer would have been intensely interested. See Milke v. Ryan, 711 F.3d 998, 1007 (9th Cir.2013) (“That [a law enforcement officer] was disciplined for lying on the job obviously bears on his credibility and qualifies as Giglio evidence.“).
Of course the favorability of the OIA Final Report does not turn on its ultimate truth or the government‘s assessments thereof. The government could not withhold this information because it did not trust the conclusions of the OIA Final Report, or because it did believe its witness, Officer Childs, who professed innocence of false reporting21 and asserted ignorance of the reason for his discipline.22
2. The Government Suppressed Favorable Information in its Possession.
When the government possesses favorable information subject to disclosure under Brady, it has an obligation to disclose this information to the defense in a timely and complete manner. In this case, there is nothing in the record to indicate that the government ever responded to the Brady request made by the defense months before trial23 or that it volunteered Brady information to the defense in the typical manner by sending the defense a disclosure letter. Ultimately, the defense did not obtain a copy of the OIA Final Report until three months after trial, albeit without the appended material, and it was not given OIA Investigator Collins‘s affidavit until over a year after trial, a week before the trial court ruled on its post-trial Brady claim. Nevertheless, the government argues that it fulfilled its disclosure obligations when it filed, a week before trial, its motion in limine to preclude cross-examination of Officer Childs about the OIA Final Report and provided a “summary of the complete Final Report.” We cannot agree.
To begin with, there was nothing about the motion in limine that put the defense on notice that the government was disclosing Brady information. The motion never cited Brady, much less indicated that the government was attempting “to assist the defense in making its case.” Bagley, 473 U.S. at 675 n. 6, 105 S.Ct. 3375. Instead, the object of the motion in limine was to preclude defense cross-examination of a government witness. This is not an elevation of form over substance. As we said in Miller, Brady does not authorize the government to engage in a game of hide-and-seek, or require the defense to “scavenge for hints of undisclosed Brady material.” Miller, 14 A.3d at 1113 (quoting Banks v. Dretke, 540 U.S. 668, 695, 124 S.Ct. 1256, 157 L.Ed.2d 1166 (2004)). But that is precisely what the defense was forced to do in this case. Thus, at his first opportunity to address the court about the government‘s motion in limine, defense counsel told the court that he was “just basically hitting in the dark” and he was “not sure what the finding [of the DOC OIA] says“:
[I]f I hadn‘t read the motion closely, I wouldn‘t even have known [that the government might possess Brady information]. It wasn‘t as if [the prosecutors] called me and told me, I have a report you need to see. I just got this in the motion, and the motion, ironically, was
In any event, the government‘s disclosure was nоt timely, accurate, or complete. Accordingly, we conclude that the government suppressed favorable information in its possession.
a. As a Brady Disclosure, the Motion in Limine Was Not Timely
The government‘s obligation to make timely disclosures is grounded in the very reason Brady disclosures are required: to provide protection against miscarriages of justice. Miller, 14 A.3d at 1107. The goal of ensuring that our “adversary system of prosecution [does not] descend to a gladiatorial level unmitigated by any prosecutorial obligation for the sake of truth,” Kyles v. Whitley, 514 U.S. 419, 439, 115 S.Ct. 1555, 131 L.Ed.2d 490 (1995), is not achieved by last-minute information dumps. Rather, where disclosure of Brady is concerned, there is no time for strategic delay and “as soon as practicable” should be the approach. See Miller, 14 A.3d at 1108 (explaining that “a strategy of delay and conquer ... is not acceptable” (internal citation and quotation marks omitted)); see also id. at 1111 (rejecting the rationale that “better late than never” is good enough and endorsing the ABA standards requiring Brady disclosure “at the earliest feasible opportunity ... as soon as practicable following the filing of charges” (internal quotation marks omitted)). Certainly, Brady disclosures are required “well before the scheduled trial date,” Zanders, 999 A.2d at 164; Perez v. United States, 968 A.2d 39, 66 (D.C.2009) (Brady requires “timely, pretrial disclosure“). Only in this way can we ensure “defense counsel [has] an opportunity to investigate the facts of the case and, with the help of the defendant, craft an appropriate defense.” Perez, 968 A.2d at 66; see also Miller, 14 A.3d at 1111 (“[A]s we have repeatedly recognized, exculpatory evidence must be disclosed in time for the defense to be able to use it effectively, not only in the presentation of its case, but also in its trial preparation.“); Boyd, 908 A.2d at 57 (“[T]imely disclosure ... can never be overemphasized.“).
By no means can the government‘s motion in limine constitute a timely pretrial disclosure of the information it possessed about Officer Childs‘s discipline as a result of the OIA investigation. The motion in limine provided no information on this subject although—according to the affidavit from OIA Investigator Collins that the government filed with the court—the “U.S. Attorney‘s Office” was informed of the OIA Final Rеport “concerning Lieutenant Childs and his subsequent demotion” nearly two months before the government filed this motion. The government did not reveal that Officer Childs had been demoted until the first day of trial, when it briefly noted that Officer Childs was demoted “related to” the April 2009 incident that it had incompletely summarized in its motion in limine. The government did not provide any further details about when or how this discipline had been imposed until it filed OIA Investigator Collins‘s affidavit thirteen months after trial.
But the government‘s disclosure obligations were triggered well before the DOC decided to demote Officer Childs. The government had an obligation to notify the defense that Officer Childs was under investigation by the DOC OIA. See United States v. Bowie, 198 F.3d 905, 908 (D.C.Cir.1999) (determining that the prosecution had a duty to disclose the fact that one of its police officer witnesses had be
Accepting for the sake of argument the government‘s assertion that its motion in limine filed a week before trial was a Brady disclosure, the belatedness of this filing is not excused by the government‘s representation to the trial court that it did not learn of the DOC OIA investigation and its resulting report until “late summer.” Brady does not tolerate the “government[‘s] failure to turn over an easily turned rock.” United States v. Brooks, 966 F.2d 1500, 1503 (D.C.Cir.1992). “[T]he individual prosecutor has a duty to learn of any favorable evidence known to the others acting on the government‘s behalf in the case.” Kyles, 514 U.S. at 437, 115 S.Ct. 1555; see also Robinson v. United States, 825 A.2d 318, 324 (D.C.2003) (“[T]here is a duty to search branches of government ‘closely aligned with the prosecution.’ “). In this case, OIA Investigator Collins—the same investigator who investigated Officer Childs—was working closely with the U.S. Attorney‘s Office on the Spencer-White case and had identified Officer Childs as central to the investigation of the Spencer-White attacks. For such an important witness so closely tied to the investigation, the government should have had the systems in place to ensure that it was alerted immediately about impeaching information. See Kyles, 514 U.S. at 419, 438, 115 S.Ct. 1555 (observing that “the prosecutor has the means to discharge the government‘s Brady responsibility if he will,” and that “procedures and regulations can be established to carry [the prosecutor‘s] burden and to insure communication of all relevant information on each case to every lawyer who deals with it” (quoting Giglio, 405 U.S. at 154, 92 S.Ct. 763)); see also Brooks, 966 F.2d at 1502-03 (observing that “the prosecutor‘s own interest in avoiding surprise at trial gives him a very considerable incentive to search accessible files for possibly exculpatory evidence, quite independent of Brady“).
In short, if it was a Brady disclosure at all, the government‘s motion in limine was not a timely one.
b. As a Brady Disclosure, the Motion in Limine Was Neither Accurate Nor Complete
In addition to its timing, we also consider the content of the motion in limine, in particular the “summary” of the OIA Final Report. The defense attorneys were not satisfied with the government‘s summary; they pushed for disclosure of the “actual report.” Even if it is theoretically possible for the government to fulfill its disclosure obligations under Brady by means of summaries of preexisting documents, such summaries must be “sufficiently specific and complete.” United States v. Rodriguez, 496 F.3d 221, 226 (2d Cir.2007).25 Again we consider the requisite level of detail from the perspective of the defense; where source documents exist, the government must “summarize[] [them] with every detail that might have been relevant to defense counsel‘s preparation as counsel viewed the case.” Wiggins, 386 A.2d at 1178 (Ferren, J., concurring). This may be challenging for the government, which presumably is not privy to defense counsel‘s thoughts and theories pretrial. Accordingly, the government withholds source documents at its peril.
Here, the government‘s motion in limine did not come close to satisfying our standards for the content of Brady disclosures. What the government called a “summary of an incident on April 6, 2009, in which DOC Internal Affairs issued a Final Report” was not a true summary of the OIA Final Report at all, much less a summary of all the favorable information in the government‘s possession regarding Officer Childs.
The OIA Final Report had exposed what the OIA determined was an untrue, self-serving story by Officer Childs and two colleagues of an assault by an inmate. The government‘s summary, however, indicated that Inmate A had acted aggressively. The summary quoted Officer Childs‘s explanation, reproduced in the OIA Final Report, that “[b]ecause [Inmate A‘s] actions interfered with the normal operations of the facility,” he used a chemical agent on Inmate A and instructed him “to seize [sic] his disruptive behavior“—without qualifying that OIA had discredited this account because “video footage of the incident [did] not support” it. Thus, the government reproduced and represented as essentially undisputed substantial portions of the very Incident Report the OIA determined contained a false account of the incident.
The government‘s motion in limine not only presented as true that which OIA had determined false, it used that false story as the backdrop for its account that the OIA investigation was simply an inquiry as to whether Officer Childs had used excessive force on a restrained Inmate A and whether Officer Childs had engaged in possibly sloppy report-writing to the extent he incorrectly “suggest[ed]” that Inmate A was unrestrained.26
The government disputed in its motion in limine that this suggestion was “evident” from Officer Childs‘s incident report, and it refused to “concede” that Officer Childs had “in fact” made false or misleading statements with respect to whether Inmate A was handcuffed, even though the OIA had determined that, as part of his fabricated story of inmate assault, Officer Childs had misleadingly indicated that Inmate A was unrestrained. The government‘s omission of the disciplinary consequences of the OIA Final Report bolstered the inaccurate account of the OIA investigation in the government‘s summary.
c. As a Brady Disclosure, the Motion in Limine Was Not Usable
The adequacy of a Brady disclosure ultimately turns on “the sufficiency, under the circumstances, of the defense‘s opportunity tо use the evidence when disclosure is made.” Miller, 14 A.3d at 1111 (quoting Leka, 257 F.3d at 100). Beyond the timing and the content of the motion in limine, the trial record reflects that the government never afforded defense counsel a meaningful “opportunity to use” the favorable information in the government‘s possession. Id. The defense was never able to impeach Officer Childs with the OIA investigation or its disciplinary consequences. Moreover, the government and Officer Childs made representations at trial that blocked the court from acting to ensure that any favorable information in the government‘s possession would come to light and the defense would be able to use it.
The government maintained throughout trial that the OIA investigation was limited to an inquiry into use of force and alleged false reporting related to the use of force, which had no bearing on Officer Childs‘s credibility as an after-the-fact identification witness in the Spencer-White trial. The defense, ill-informed by the government‘s summary, could not expose the government‘s representations about the OIA investigation and its outcome as inaccurate, and could not persuade the trial court that a probing cross-examination was warranted. Instead, as counsel put it, they were forced to “tak[e] the [government‘s] representations for what the report said or didn‘t say” and did not “really have any facts about what happened or what was alleged to even ask [Officer Childs].”
Nevertheless, when Officer Childs took the stand, defense counsel attempted on cross-examination to “probe” the basis for the OIA investigation. The government objected, and, relying on the government‘s representations, the trial court limited the defense to two questions: (1) if it was true Officer Childs had “submitted a false report to the Department of Corrections while [he] [was] working at the D.C. Jail” and (2) if it was true he had been “disciplined by the Department of Corrections for filing a false report.” To both questions, Officer Childs responded, “no.” The defense had no means of challenging these responses, much less any basis to ask the court for more leeway in impeaching Officer Childs with his prior false reporting.
Although the defense had been unsuccessful in its questioning, the trial court nonetheless tried to fulfill its “obligation to assure” itself that no Brady information had been withheld from the defense and that the defense had had a meaningful
The trial court questioned Officer Childs about false reporting out of the presence of the jury. In response, Officer Childs represented that DOC OIA “felt that I missed the inmate while he was in handcuffs” and that he had explained to DOC OIA that “that was an error. I do a lot of cutting and pasting. But I said if you look at the rest of my report, that I stated the inmate was standing in front of the bubble with the handcuffs on. So, how can I say that I applied handcuffs, right?” The court asked Officer Childs whether he had been disciplined in connection with the OIA investigation. Officer Childs represented that he had received “a voluntary demotion” but that he “didn‘t understand it to be the result[] of any disciplinary action” and that “no one [had] told [him] the reason for the demotion.” The government did not seek to qualify or correct anything Officer Childs told the trial court, even though the government (1) had a complete copy of the OIA Final Report which documented the OIA‘s determinations both that Officer Childs had made a false report about whether Inmate A was unrestrained and this false report was part of a larger false narrative of an inmate assault, and (2) had been informed by OIA Investigator Collins that the DOC Office of the Director had demoted Officer Childs after receiving the OIA Final Report.27
The trial court then called only the government to the bench to ask about the five-page ex parte submission. The court stated that it “just want[ed] to make sure.... I have the entire filing, because mine stops at page 5, and there was no ... discipline or resolution mentioned in the document ... that I have a copy of.” The government did not alert the trial court that the ex parte submission was incomplete; instead, one of the trial prosecutors told the court, “[y]eah, mine is five pages long,” incorrectly indicating that the court had the full OIA Final Report. The same prosecutor further informed the court, “there is no discipline listed in the report itself,” but the prosecutor did not explain that the OIA only conducts investigations and does not make disciplinary decisions; nor did the prosecutor inform the court that the decision to demote Officer Childs for making false reports had been made by the proper authority, the DOC Office of the Director.
The trial court subsequently put its understanding of the OIA investigation on the record:
[W]e have a little more clarity concerning this incident. For your purposes, the report that was submitted to me, which is what I was just confirming with the government, is not in the form of a disciplinary action, which is why I followed up with the questions I had of Officer Childs, because—and I confirmed with the government that they weren‘t aware of any, quote, disciplinary action the way we would—I had envisioned it could be; that is, there‘d be an adjudication and then a finding of false report. I think it sounds like there was an administrative resolution between the
officer and the Department of Corrections.
The court explained that in allowing any questions about the investigation, it had been “operating under the assumption that ... we were talking about some sort of disciplinary action where there was a finding” but “we‘re far afield from that.” The court then observed that there was no “factual basis that would support going further on this matter, in terms of questioning.” Concluding the discussion, the court reiterated that “based on what I heard” it would not permit “additional questioning ... on what I, at this point, assess ... to be a collateral matter, which was an informal resolution ... of a disciplinary matter, without a finding of ... a nontruth-telling event.”28 Again the government stood silent.
Based on the foregoing, we cannot say that the government, through its motion in limine, disclosed to the defense the favorable information in its possession in such a way as to allow the defense to use this information effectively. The government not only failed to give the defense (or the court) accurate or complеte information, it then stood by at trial and allowed the defense‘s ignorance and the court‘s erroneous understanding of the pertinent facts to persist. The upshot was that the trial court did not permit thorough impeachment of Officer Childs on the subject of the OIA investigation and its disciplinary consequences because it was convinced that, on these topics, there was nothing to impeach Officer Childs about. In short, the government‘s motion in limine to preclude impeachment of Officer Childs cannot be construed as a Brady disclosure because it worked—the government‘s motion prevented an effective cross-examination of Officer Childs on the subject of his prior false reporting.
*
*
*
In the absence of a timely, accurate, complete, or usable disclosure, we conclude that the government did not disclose to the defense the favorable information in its possession in this case.
3. The Favorable Information Suppressed by the Government Was Material
We next consider whether the favorable information withheld by the government was “material.” See Miller, 14 A.3d at 1115. To assess materiality, we consider whether there is “a reasonable probability that, had the evidence been disclosed to the defense, the result of the proceeding would have been different.” Id. (quoting United States v. Bagley, 473 U.S. 667, 682, 105 S.Ct. 3375, 87 L.Ed.2d 481 (1985)). The reasonable probability standard does not require a showing that it is more likely than not the defendant would have been acquitted. Kyles, 514 U.S. at 434, 115 S.Ct. 1555. Rather, since Brady is a rule of fairness, the materiality threshold is met if, in the absence of proper disclosure, we question whether the defendant received a fair trial and our “confidence” in the outcome of the trial is thereby “undermine[d].”29 Id.; see also
Our materiality analysis in this case must begin with an assessment of Officer Childs‘s role in the government‘s case. Officer Childs was a criticаl witness, as the government conceded in its brief to this court. Indeed, the government signaled Officer Childs‘s importance by filing its motion in limine to preclude his cross-examination about the OIA Final Report. At trial the government‘s need for his testimony became apparent: Officer Childs was only one of two government witnesses who inculpated Mr. Morton and Mr. Vaughn in the assault on Sergeant White, and he was objectively the stronger witness.30 Similarly, it cannot reasonably be disputed that Officer Childs‘s credibility was a central issue in the case. In closing, the government argued that its case turned on the jury‘s assessment of the credibility of its witnesses and of Officer Childs in particular. See Lewis v. United States, 408 A.2d 303, 308 (D.C.1979) (noting that the “substantial possibility ... that impeachment with prior convictions will affect the outcome, whether it goes to general credibility ... or to a more specific target of reliability, such as bias” is “especially strong in the case of a key government witness” (citation omitted)).
Next, we consider the nature of the withheld information: It was powerfully impeaching. It did not simply establish that Officer Childs had a track record for untruthfulness. It established that he was willing to make false reports implicating inmates in assaults on law enforcement agents—the precise context of this case. See Milke, 711 F.3d at 1007 (concluding that suppressed information about a police officer‘s untruthfulness would have undermined his credibility and demonstrated that he “had no compunction about abusing his authority with a member of the public” who was similarly situated to the appellant).
This leads us to the ultimate question: Does the suppression of this information undermine our confidence in the fairness of the trial? We conclude it does. Had the defense and the court known the full details of the OIA‘s actual findings and of the discipline meted out by DOC as a result—and had the government known the defense knew—we think it likely that this case would have played out very differently.
Preliminarily, we question whether the government would have made the same representations and whether Officer Childs would have given the same testimony. But, at the very least, defense counsel
The government asserts, however, that it “would not have influenced the verdict” if Officer Childs had either (1) admitted that he had been “demoted because he had deployed a chemical agent on an inmate” or (2) explained that he had not “purposefully file[d] a false report” indicating the inmate was unrestrained. We reject the factual foundation for the government‘s argument; as explained above, the OIA Final Report documents an investigation that was centrally concerned with a false report of an inmate assault by Officer Childs and two fellow corrections officers to justify an improper use of force. Officer Childs was demoted because of this investigation, and we infer that he was so disciplined as a sanction for all the conduct detailed in the OIA Report, including the determinations of false reporting.
The government also argues that disclosure of the OIA Final Report would have had little effect on the outcome of the trial because the defense could neither have inquired into it on cross-examination in any further depth, nor could it have introduced the report itself as extrinsic evidence.
In the first alternative, the government takes the position that the defense “could not have confronted Sergeant Childs with the report itself in order to impeach his credibility” because “appellants have not shown that Sergeant Childs‘s statements were false.” Thus, the government argues the defense could not have laid the requisite foundation for cross-examination about a prior bad act. See Sherer v. United States, 470 A.2d 732, 738 (D.C.1983) (explaining that “a witness may be cross-examined on a prior bad act that has not resulted in a criminal conviction only
In the second alternative, the government argues that the defense would not have been able to present extrinsic evidence of the OIA Final Report because it concerned a collateral issue. See Rowland v. United States, 840 A.2d 664, 680 (D.C.2004). Thus, the government argues that even if the defense had had the full report and information about the subsequent demotion, it would have been stuck with the testimony Officer Childs gave at trial, namely, his denials that he had filed a false report and that he had been demoted for filing a false report. Whether the defense could have introduced the actual OIA Final Report into evidence is an interesting but ultimately academic issue.33 Effectively, we agree with the government that the defense could not have introduced the OIA Final Report to pursue a line of bias cross-examination on a theory that Officer Childs was testifying for the government to curry favor in his own misconduct proceedings. Because Officer Childs identified Mr. Morton and Mr. Vaughn before his false reporting incident took place and because he was demoted before he testified at their trial, the timing does not suggest an attempt to curry favor with the government while under investigation. Cf. id. at 795 (holding that officer‘s status as subject of an ongoing MPD investigation was admissible as evidence of bias). But proffering a “well-reasoned suspicion” that a witness has a motive to curry favor with the government is only one means of establishing the requisite “proper foundation” to pursue a bias line of cross-examination. See Howard v. United States, 978 A.2d 1202, 1207 (D.C.2009). “Bias may be induced by a witness‘[s] like, dislike, or fear of a party, or by the witness‘[s] self-interest.” Dawkins v. United States, 41 A.3d 1265, 1271 (D.C.2012). And this court
the government argues that Brady disclosure or no, nothing would have changed in how this case played out at trial. As explained above, we think that argument blinks reality. See Milke, 711 F.3d at 1009 (explaining how prior judiciаl determinations of police officer‘s untruthfulness “would have been a game-changer” on cross-examination even without proof of extrinsic evidence).
Based on the record before us, whether the government had an obligation to accurately and completely disclose the contents of the OIA Final Report and the DOC‘s consequent decision to demote Officer Childs should not have been a hard call for the government.34 And had the defense been able to impeach Officer Childs with the DOC‘s determination of his prior false reporting and consequent demotion, there is at least a reasonable probability that the jury would have weighed Officer Childs‘s testimony and the government‘s case differently. This concludes our materiality analysis for Mr. Morton. But for Mr. Vaughn, there is a coda. The suppressed impeachment evidence for Officer Childs was material only to the extent that Mr. Vaughn contested Officer Childs‘s identification. But Mr. Vaughn submitted a post-trial affidavit in which he admitted that he was the inmate Officer Childs had identified him to be and argued only that his actions had been misinterpreted—that he had not pushed Sergeant White; he had been trying to help him. This admission negates our materiality determination. In light of Mr. Vaughn‘s affidavit, which the government would be free to use as a party admission, we see little chance of a different result were Mr. Vaughn to be given a new trial. Thus, the government‘s Brady violation is reversible only with respect to Mr. Morton.
C. Remand
By now government prosecutors should know: “Betray Brady, give short shrift to Giglio, and you will lose your ill-gotten conviction.” United States v. Olsen, 737 F.3d 625, 633 (9th Cir.2013) (Kozinski, C.J., dissenting from denial of petition for rehearing en banc). So it is for the government with respect to Mr. Morton‘s conviction; we reverse and remand his case for a new trial.
III. Jury Instruction Error
Although Mr. Vaughn obtains no relief on his Brady claim, we conclude that his conviction for aggravated assault must be reversed on other grounds. Mr. Vaughn argues that the trial court erred in instructing the jury as to the elements of this offense on a theory of aider and abettor liability. Because counsel did not object, this claim is subject to plain error review. See Perez, 968 A.2d at 92. The government has conceded that the court‘s aiding and abetting instruction was plainly incorrect, satisfying the first two criteria for reversal. See Perry v. United States, 36 A.3d 799, 818 (D.C.2011) (citing United States v. Olano, 507 U.S. 725, 732-36, 113 S.Ct. 1770, 123 L.Ed.2d 508 (1993)). But the government argues that Mr. Vaughn cannot show the third criterion for plain error review, namely that this error “affect[ed] substantial rights.” Id. We disagree, and because we also conclude that this error “seriously affect[ed] the fairness, integrity or public reputation of judicial proceedings,” id., the fourth criterion for plain error review, we exercise our discretion to reverse.
Mr. Vaughn was charged with both aggravated assault and felony assault. As the more serious offense, the D.C. Code appropriately sets a high bar for aggravated assault. Whereas felony assault requires proof of “significant bodily injury”36 that a defendant caused “intentionally, knowingly, or recklessly,”
The problem in this case arose after the court correctly instructed the jury on the elements of principal liability for aggravated assault and felony assault. The trial court then explained that the jury could also convict if it determined a defendant had aided and abetted the principal offender. Whether the jury considers a defendant‘s criminal liability as a principal or as an aider or abettor, the requisite mens rea for the charged assault is the same. Perry, 36 A.3d at 814-18; see also Wilson-Bey, 903 A.2d at 837-38 (holding that to be guilty as an aider or abettor, an accomplice must have the same mental state required for conviction as a principal). Although the court correctly charged the jury that it had to find the same mens rea to convict a defendant as a principal or an aider and abettor, it then gave an instruction for aider and abettor liability that inappropriately combined the standards for aggravated assault and felony assault. In effect, the court informed the jury that it could convict a defendant as an aider and abettor of an aggravated assault if it found that the defendant had the lesser mens rea for felony assault.38 Under
To demonstrate that this plain error warrants reversal, Mr. Vaughn must show prejudice, i.e., a “reasonable probability’ of a different outcome if the jury had been properly instructed.” Perry, 36 A.3d at 818. This standard for assessing prejudice requires us to “make sense of the jury‘s verdict in light of the evidence presented and the instructions given to the jury.” Id. at 821.
The first step of the inquiry is whether we can discern with any assurance that Mr. Vaughn was convicted of aggravated assault on a theory of principal liability—on which the jury had earlier been correctly instructed—or whether there is a reasonable probability that Mr. Vaughn was convicted on a theory of aiding and abetting liability—on which the jury never received a сorrect instruction. On the record before the court it is clear that the jury could not have convicted Mr. Vaughn of aggravated assault as a principal. No evidence was introduced at trial that he caused Sergeant White to suffer the serious bodily injury alleged, i.e., his subsequent unconsciousness and head injuries, either by personally inflicting these injuries or creating the grave risk that these
Focusing on aiding and abetting liability, we next consider whether it was reasonably probable that the jury‘s determination of guilt turned on the mistakenly minimized intent element in the aiding and abetting instruction. See id. We think it was. To discern Mr. Vaughn‘s mental state, the jury could only look to and draw inferences from his conduct. From Mr. Vaughn‘s “one good shove” that caused Sergeant White to briefly lose his balance, it seems highly unlikely the jury would infer that Mr. Vaughn “himself intended to cause serious bodily injury.” Perry, 36 A.3d at 817. Thereafter, Mr. Vaughn did not seek to press his advantage and strike Sergeant White again. Instead, by immediately retreating, he allowed Sergeant White to recover and move away. Similarly, from Mr. Vaughn‘s “one good shove,” it seems unlikely the jury would infer that Mr. Vaughn acted intentionally to “create[] a grave risk of serious bodily injury.” Id. at 817 (internal quotation marks omitted). At the time of Mr. Vaughn‘s single push, no inmate had acted aggressively toward Sergeant White; nor is there any evidence in the record as to when the subsequent attack began. And, although one might argue that, at the time of his push, the ensuing escalation of events was reasonably foreseeable to Mr. Vaughn, diminishing the requisite aider and abettor
Lastly, we conclude that the fourth element of plain error review is satisfied.41 Mr. Vaughn was “wrongly convicted of aggravated assault on an aiding and abetting theory of liability, without a jury determination that [he] had the mens rea required for conviction of that offense,” and such “[a] wrongful conviction necessarily affects the integrity of this proceeding and impugns the public reputation of judicial proceedings in general.” Perry, 36 A.3d at 822.
Because Mr. Vaughn has satisfied all the elements of plain error review, we exercise our discretion to reverse his conviction for aggravated assault.
IV. Other Issues
A. Admission of Identification Testimony
Mr. Morton and Mr. Vaughn also argue that the court should not have permitted Sergeant Harper and Officer Childs to testify as identifying witnesses because their testimony did not satisfy the standards outlined in Sanders v. United States, 809 A.2d 584, 596 (D.C.2002). Discerning no abuse of discretion, id. at 590, we affirm the trial court‘s Sanders ruling.42
In Sanders, this court held that “lay witness opinion testimony regarding the identity of a person in a surveillance photograph or a surveillance videotape is admissible into evidence, provided that such testimony is: (a) rationally based on the perception of a witness who is familiar with the defendant‘s appearance and has had substantial contact with the defendant; and (b) helpful to the factfinder in the determination of a fact in issue.”43 809 A.2d at 596. Both Mr. Morton and Mr. Vaughn contend that the trial court erred when it allowed Officer Childs and Officer Harper to provide identification testimony where the evidence did not establish sufficient familiarity and substantial contact with Mr. Morton or Mr. Vaughn.44
We consider it a close call whether, under Sanders, Officer Childs and Officer Harper had sufficient contact with and knowledge of the defendants. Certainly, this case does not involve the familial or close personal relationships seen in Sanders or other cases in which identification testimony has been admitted in federal courts under
B. Ineffective Assistance of Counsel
Mr. Vaughn also argues that the representation he received at trial was constitutionally ineffective. To establish ineffective assistance of counsel, the defendant must show that counsel‘s performance was deficient and that this deficient performance prejudiced the defendant. Blakeney v. United States, 77 A.3d 328, 340 (D.C.2013) (citing Strickland v. Washington, 466 U.S. 668, 686-87, 104 S.Ct. 2052, 80 L.Ed.2d 674 (1984)). In reviewing the trial court‘s determination that counsel was not ineffective, we accept the trial court‘s factual findings unless they are without evidentiary support in the record, but review the legal conclusions regarding the constitutional significance of those findings de novo. Id. at 341. We affirm the trial court‘s finding that Mr. Vaughn failed to establish deficient performance on the part of his trial counsel.
In order to show deficient performance, the defendant must “show[] that counsel made errors so serious that counsel was not functioning as the ‘counsel’ guaranteed the defendant by the Sixth Amendment.” Strickland, 466 U.S. at 687, 104 S.Ct. 2052. Mr. Vaughn first claims that his trial counsel‘s representation was deficient because counsel failed to investigate and prepare witnesses who could have testified at trial. But the trial court found, consistent with trial counsel‘s testimony in the post-trial proceeding, that counsel interviewed the witnesses that Mr. Vaughn
Mr. Vaughn also claims that he would have exercised his right to testify but for counsel‘s failure to prepare him to do so. The trial court, however, credited counsel‘s testimony in post-trial proceedings that he had met with Mr. Vaughn several times prior to trial and asked a co-defendant‘s counsel to conduct a mock cross-examination of Mr. Vaughn. This, too, is well within the range of reasonable attorney performance.
Finally, Mr. Vaughn argues that counsel presented defense theories that were inconsistent. Counsel argued that the person seen in the recorded footage wearing white was not Mr. Vaughn, but in any event, if the jury thought that person was Mr. Vaughn, the alleged push was insufficient to satisfy the element of serious bodily injury required for aggravated assault. Even if this argument in the alternative constituted a contradiction, a basic principle of criminal law is that a defendant may present inconsistent and contradictory defenses. See, e.g., McClam v. United States, 775 A.2d 1100, 1104 (D.C.2001).
For these reasons, we affirm the trial court‘s denial of Mr. Vaughn‘s ineffective assistance of counsel claim.
C. Sufficiency of the Evidence
Both Mr. Morton and Mr. Vaughn raise challenges to the sufficiency of the government‘s evidence. Mr. Morton effectively reargues his Sanders challenge in his attack on the sufficiency of the evidence when he argues that he could not have been convicted “without the non-eyewitness testimony” of the corrections officers who viewed the videotape, and that even with this testimony “the jury must have been left to speculate about whether, in fact, the video identifications had any basis.” We have affirmed the trial court‘s Sanders ruling, but even if we had not, we consider even wrongfully admitted evidence in assessing sufficiency, Mitchell v. United States, 985 A.2d 1125, 1134-35 (D.C.2009). Viewing the totality of the evidence presented in the light most favorable to the government, see id. at 1133, we reject Mr. Morton‘s sufficiency challenge to his convictions for aggravated assault and assault on a law enforcement officer.
For his part, Mr. Vaughn attacks the sufficiency of the government‘s evidence against him on the ground that the jury was “misled” by the poor quality of the video footage of his contact with Sergeant White and failed to discern that his “true act” was not to attack Sergeant White, as the government argued, but rather to come to his aid and defend him against attack by others. Again, we view the evidence in the light most favorable to the government. The jury could have viewed the video and concluded that it showed Mr. Vaughn engaging in an altercation with Sergeant White and taking an action that it could reasonably have interpreted as a push.
V. Conclusion
For the reasons set forth above we affirm Mr. Vaughn‘s conviction for assault on a law enforcement officer; we reverse his conviction for aggravated assault; we reverse Mr. Morton‘s convictions for assault on a law enforcement officer and aggravated assault; and we remand for
So ordered.
Notes
With respect to the charge of aggravated assault or assault with a significant injury, regardless of whether a Defendant is an aider and abettor or a principal offender, the Government must prove beyond a reasonable doubt that the Defendant personally acted with:
(A) inten[t] to cause significant bodily injury to the complainant; or (B) [knowledge] that significant bodily injury to the complainant would result from his conduct; or (C) [awareness] of and disregard[] [for] the risk of significant bodily injury that his conduct created.
