Lead Opinion
Aрpellant was convicted of distributing Dilaudid, a controlled substance, in violation of D.C.Code § 33-541(a)(l) (1993). On appeal she contends that the trial court erred in (1) refusing to admit into evidence the prior recorded testimony of her co-defendant, who had previously pleaded guilty; (2) refusing to admit this same testimony under the hearsay exception for declarations against penal interest; (3) denying two defense requests for a continuance in order to locate the absent co-defendant; (4) permitting the government to impeach appellant with her post-arrest silеnce; and (5) allowing a police officer called as a lay witness to testify as an expert witness. Additionally, appellant argues (6) that the evidence was insufficient to support her conviction. We affirm.
I
Appellant was an aider and abettor in the distribution of Dilaudid. The principal was her co-defendant, Reginald Morris, who pleaded guilty a few months after the indictment was filed. When entering that plea, Mr. Morris repeatedly stated that on the date of his arrest he had been selling drugs alone, and that he had never met or worked with appellant. About five months after Morris’ plea, appellant went to trial alone before a jury.
The government’s evidence established that on the evening of March 19, 1992, Metropolitan Police Officer Lauren Callen was working undercover in the 1400 block of Eleventh Street, N.W. While walking along Eleventh Street, Officer Callen encountered Reginald Morris and said that she wanted to purchase a Dilaudid pill. Morris told her to “come on,” and the two of them started walking together down the street. Morris then directed Officer Callen to wait near a white van. While she stood next to the van, Morris walked a short distance tо the basement doorway of a nearby house. Returning after a few moments, he sold Officer Callen one Dilaudid pill, for which she paid him $40 in currency whose serial numbers had been pre-recorded. Callen then walked down Eleventh Street, and Morris returned to the basement door of the house where he had gone before. The address of this house was later determined to be 1412 Eleventh Street, N.W.
At this point Sergeant Gerald Neill, another member of the undercover team, started to walk behind Mr. Morris and followed him to the basement doorway. Neill watched as Morris went up to the door, bent down, and stuffed money through a hole where the doorknob would ordinarily have been. Looking past Morris through the hole, Sergeant Neill saw a person wearing casual clothes consisting of “a black top and a white bottom.” That person “sort of move[d] down, and then [Neill] saw a hand come up to take the money” that Morris had pushed through the hole. Almost immediately, Morris straightened up and, seeing Sergeant Neill directly behind him, yelled “Police.” In response, Neill ran past Morris, through the doorway,
Detective Charles Culver was called as an expert witness on the subject of drug trafficking. He testified generally about the use of “runners” and “holders” in a drug transaction. When the prosecutor asked him a series of questions about “a runner and someone inside a house,” the thrust of his testimony was that the person in the house was the holder, that the person on the street was the runner, that the two of them were working together, and that the house was “a stash location” where drugs and money were kept.
Appellant was the only defense witness. She testified that she was in no way involved in the drug transaction between Morris and the undercover officer. She said that on the evening of March 19, 1992, she was in the basement apartment at 1412 Eleventh Street, N.W., caring for the elderly resident of that apartment, Velma Langford. While she was there, apрellant heard a knock on the front door, but she could not answer the knock immediately because she was in the bathroom. Approximately five minutes later, as she approached the door from the living room, she saw Sergeant Neill and Reginald Morris come through the doorway.
In rebuttal, the government presented the testimony of Rhonda Brown, the manager of the James Apartments at 1425 N Street, N.W. Ms. Brown testified that a lease for an apаrtment in that building — a different building, about four blocks from the one where appellant was arrested — was signed by Velma Langford on February 3,1992.
II
Appellant’s main contention is that the trial court abused its discretion in refusing to admit into evidence the prior recorded testimony of Reginald Morris, given during the course of his guilty plea. She argues that this testimony was admissible under the pri- or recorded testimony exception to the hearsay rule, and that the trial court’s ruling violated her Sixth Amendment right to present evidence in her defense. We hold that the exclusion of this testimony was proper because the government did not have an adequate opportunity to cross-examine Morris during the prior proceeding in which his testimony was recorded.
A. Factual background
When Morris pleaded guilty to the charge of drug distribution, the court placed him under oath, questioned him about the facts of the case, and sought to determine whether he qualified for the so-called “addict exception” to the mandatory minimum sentence.
Morris testified that on March 19,1992, he was selling drugs alone, that the basement stairwell where he had been hiding his stash of narcotics was not being guarded by anyone, and that he did not know appellant was on the other side of the basement door when he pushed the money through the doorknob hole. He explained that after he had sold the Dilaudid to Officer Callen, he “had a feeling” that she was a police officer, and then he saw a police car “speeding up the street.” When that happened, he knew the police were coming to get him, so he stuffed the money through the hole in the door that
Focusing on a later statement by Morris that he had worked with others in the past when selling drugs, the prosecutor asked who those others “typically” were. Morris’ counsel objected, stating that the question was “going into other crimes” about which Morris “would have a Fifth Amendment right not to incriminate himself_” Agreeing, the court instructed the prosecutor to limit his questions about Morris’ drug distribution activities tо March 19, 1992. Then, after the prosecutor asked a few more questions about the events of that date, the court found that Morris was an addict and set a date for sentencing.
On the second day of appellant’s trial (before a different judge), defense counsel moved to introduce the exculpatory portions of Morris’ testimony at the time of his guilty plea.
B. The admissibility of Morris’ prior testimony
When seeking to admit earlier testimony under the prior recorded testimony exception to the hearsay rule, a prоponent must demonstrate (1) that direct testimony from the declarant is unavailable; (2) that the declarant, when giving the prior testimony, was under oath in a legal proceeding; (3) that the issues in the two proceedings are substantially similar; and (4) that the party against whom the testimony is now offered had an opportunity to cross-examine the de-clarant at the earlier proceeding. Skyers v. United States,
To establish the third prong of the prior recorded testimony exception, the proponent must show that the issues in both the prior and present proceedings are substantially similar. The issue at appellant’s trial, of course, was her guilt or innocence on the charge of aiding and abetting the distribution of narcotics. But that was not at all relevant to the earlier proceeding. On that occasion the only issues before the court were whether Morris’ plea was knowing and intelligent, whether it was voluntary, whether it had a factual basis, see Super. Ct.Crim. R. 11(c), (d), (f), and whether Morris qualified for the addict exception. Thus Morris’ testimony, for the most part, dealt only with his own culpability for the crime with which he was charged and with whether he was an addict who sold drugs to support his habit.
We say “for the most part” because Morris’ testimony also dealt to some extent with appellant’s role in the events of March 19, 1992. Therefore, onе could argue that the ultimate issue at appellant’s trial was subsumed within the issues explored at the plea
On this record, it is a close question whethеr appellant’s guilt or innocence was sufficiently at issue during Morris’ plea hearing to satisfy the third requirement for the prior recorded testimony exception. Cf. Feaster v. United States, supra,
The fourth prong requires a showing that the party against whom the prior testimony is now offered — in this case, the government — had an adequate opportunity to cross-examine the declarant during the earlier proceeding. Skyers, supra,
In support of its contention that Morris’ prior testimony was inadmissible at appellant’s trial, the government presents two arguments. First, it maintains that it did not have the same purpose in cross-examining Morris during the earlier proceeding that it would have had during appellant’s trial. At the prior hearing, the government’s cross-examination was directed mainly toward Morris’ eligibility for sentencing under the аddict exception. But if he had been available to testify at appellant’s trial, the government asserts, its cross-examination would then have had the different purpose of attacking Morris’ credibility. The problem with this argument is that the government did in fact cross-examine Morris in some detail about whether appellant had aided and abetted his distribution of drugs on March 19, 1992. Cf. Feaster v. United States, supra,
It is the government’s second argument, however, that convinces us to uphold the trial court’s ruling. We assume that the government’s questions аbout Morris’ prior involvement in drug distribution activities with appellant on dates other than March 19 would have raised the same Fifth Amendment concerns at appellant’s trial as they did during the prior hearing. But the court’s ruling which barred this line of questioning in its entirety had the additional effect of denying the government any opportunity to cross-examine Morris about his prior non-incriminatory relationship with appellant.
At the prior hearing, the prosecutor asked Morris, “Well, when you weren’t selling [drugs] by yourself, would you sell with somebody else?” Because an answer to this question might well have incriminated Morris, his invocation of his Fifth Amendment privilege was proper. The court, however, not only sustained his claim of privilege but also refused to allow the prosecutor to ask Morris about his activities on any date other than March 19, 1992. This further restriction, we conclude, made it impossible for the prosecutor to cross-examine Morris about his past non-incriminatory dealings with appellant, and thus it disqualified Morris’ testimony from admission at appellant’s trial under the prior recorded testimony exception to the hearsay rule.
In our cases in which the admission of prior recorded testimony has been allowed, the cross-exаmination has been generally broad and unrestricted. See Feaster,
Appellant argues in the alternative that Morris’ prior testimony (along with a couple of other statements to the same effect) should have been admitted as a declaration against his penal interest. See Laumer v. United States,
Ill
Appellant makes several other contentions which we may treat more briefly.
Appellant contends that the trial court erroneously denied her two motions for a continuance of the trial so that she could try to locate her erstwhile co-defendant, Reginald Morris. She maintains that the court abused its discretion in not granting these motions because Morris was a key witness for the defense, and because there were no countervailing factors supporting the denial of her motions.
On the first day of the trial, and again on the third day, defense counsel requested a continuance in order to locate Reginald Morris, who had absconded from a drug rehabilitation center. The court denied both motions, ruling that there was no realistic chance that Morris could be found before the trial ended. In lieu of a continuance, however, the court said on each occasion that a bench warrant had been issued for Morris’ arrest, and that if he were to be found, the court would do what it could to ensure his presence at trial.
A party seeking a continuance of a trial to locate a missing witness “must make a showing that such continuance is ‘reasonably necessary for a just determination of the cause.’ ” O’Connor v. United States,
We conclude that the court did not abuse its discretion in denying appellant’s two motions for a continuance because there was no reasonable possibility that Morris could be found in time to testify. See Kimes v. United States, supra,
B. Appellant’s alleged post-arrest silence
Appellant contends that the trial court erred in allowing the prosecutor, during • cross-examination, to impeаch her with her post-arrest silence. We find no error.
At trial, during the prosecutor’s cross-examination of appellant, the following occurred:
Q. Ma’am, at the scene when the police came into your apartment, you didn’t tell the police that you did not recognize Mr. Morris, did you?
A Didn’t nobody ask me about Mr. Morris.
Q. Ma’am, you didn’t tell them that, did you?
A They didn’t ask me.
Appellant now contends that these questions violated her constitutional right to remain silent.
The use of a defendant’s silence after receiving Miranda warnings
In this case, we hold, the court did not err in allowing the prosecutor to cross-examine appellant about her silence. The record makes clear that what appellant now regards as her post-arrest silence was actually pre-arrest. Sergeant Neill’s testimony shows that appellant was not placed under arrest when he and Morris entered the basement apartment. Since the prosecutor’s question concerned the moment “when the pоlice came into [the] apartment,” there was no Doyle violation, for appellant at that point had not yet been arrested. It was not until after Morris had been arrested that Sergeant Neill directed another officer to take appellant also into custody. Moreover, appellant’s silence was not a response to any custodial interrogation. The evidence shows that the police, when in the Eleventh Street house, did not ask her about her connection with Morris, and that she similarly did not volunteer any information. Thus “no governmental action induced [appellant] to remain silent before arrest,” Jenkins v. Anderson, supra,
C. The alleged “expert” testimony of Sergeant Neill
At trial, the prosecutor asked the following questions during his direct examination of Sergeant Neill:
Q. Okay. What did you do when you got to the apartment?
A. I saw the runner walking up towards the — in the yard towards the basement location, and I got out of the car and followed him.
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Q. Sergeant, had the individual who was involved in the sale to Officer Callen been described to you as a runner?
A. Yes, sir.
Appellant now contends that these references to Morris as a “runner” cloaked Neill with the enhanced credibility acсorded to expert witnesses, and that this was improper because Neill was testifying only as a fact witness. We are satisfied, however, that Sergeant Neill’s testimony was of a non-expert nature and was based entirely on his own observations.
A non-expert witness may express opinions when testifying, so long as they are based on the witness’ personal observation of events and are helpful to the jury in fulfilling its role as fact-finder. Carter v. United States,
In the present case, Sergeant Neill’s statements about Morris’ role as a runner were not made in the form of an opinion at all. The record makes clear that Morris was described to Neill over the police radio as a “runner” for purposes of identification. In context, Neill’s reference to Morris as a runner was simply part of his narrative of his own role in the events that led to Morris’ arrest. In any event, even if Neill’s use of the word “runner” amounted to an opinion, the expert testimоny of Detective Culver later in the trial made it cumulative and thus non-prejudicial. See Hill v. United States, supra,
D. Sufficiency of the evidence
Finally, appellant contends that the trial court erroneously denied her motion for judgment of acquittal because there was no evidence connecting her to the actual sale of Dilaudid. She argues that since the only evidence tying her to Morris’ drug distribu
To convict someone as an aider and abettor, the govеrnment must prove that the defendant associated herself with a criminal venture, participated in that venture as something she wished to bring about, and sought by her actions to make the venture succeed. E.g., Settles v. United States,
IV
For the foregoing reasons, appellant’s conviction is Affirmed.
Notes
. Because there was no doorknob, Neill "literally ran right thrоugh the doorway." The door flew open, and as it opened, the top hinge broke off.
. A photograph of appellant dressed in this manner, taken on the night of her arrest, was introduced into evidence without objection.
. Appellant testified that she recognized Morris only from seeing him around the neighborhood. When he suddenly came through the door with Sergeant Neill, that was the first time she had seen Morris that day.
.See D.C.Code § 33-541(c)(2) (1993). Both the mandatoiy minimum and the addict exception were repealed in 1995.
. After the court found Morris eligible for sentencing under the addict exception, he absconded from the drug rehabilitation center where he had been sent to await his sentencing. During appellant’s trial, the court found that Morris was unavailable and that there was no reasonable chance he would return to custody in the foreseeable future.
. In this case the similarity of parties is not disputed.
. The government suggests that our “similar issues” requirement for admitting prior recorded testimony is equivalent to the "similar motive” requirement of Fed. R. Evid. 804(b)(1). Consequently, the government urges us to adopt explicitly the substance of the federаl rule. We decline to do so, since appellant's argument regarding Mr. Morris’ testimony fails (as we shall see in a moment) under our existing case law dealing with this hearsay exception, and thus it can fare no better under the federal rule. See also Feaster v. United States, supra,
. Miranda v. Arizona,
. E.g., Nelson v. United States,
Dissenting Opinion
dissenting:
I part company with my colleagues when they reason that the prior recorded testimony of Reginald Morris, given under oath, was inadmissible because the government, at the time of the recording, was prevented from cross-examining the witness about activities other than on the date of March 19, 1992. The issue at appellant’s trial was precisely that of her guilt or innocence of drug distribution on March 19,1992, and as counsel for appellant argues, “the probative value of the [recorded] statement [exonerating her] could not have been greater.” See Alston v. United States,
In my view, the appellant met all the requisites necessary for invocation of the recorded testimony exception to the hearsay rule. See Feaster v. United States,
I would reverse and remand for a new trial.
. Any evidence of past non-incriminatory association between the witness and the defendant might or might not have undermined the defense.
