Lead Opinion
Opinion by
concurring in the judgment and joining in Parts I, III, and IV of the opinion for the court, at pages 1184.
In Roy v. United States,
Appellant also seeks a new trial on grounds of prosecutorial misconduct, but we conclude that the record does not support his claims of impropriety. We therefore uphold appellant’s convictions. However, as the government concedes, his three PFCV convictions merge, so we direct that two of those counts be vacated on remand.
I.
Appellant was tried for the murder of Michael Jones in a gunfight that erupted on the night of July 7, 2012. The shooting was the culmination of events that began with a hostile confrontation earlier that evening between appellant and Michael Jones’s brother, Maurice Jones.
Maurice testified that at around 7:00 p.m. on July 7, he left his apartment at Eighth and R Street Northwest to walk to a nearby store. On the way there, Maurice encountered appellant, who was with two other men. Appellant taunted Maurice and struck him on the chin. Being outnumbered, Maurice retreated to his apartment.
About half an hour later, Maurice and his girlfriend, Kendra Wingate, heard banging on his front door and several voices outside. They ignored the banging and did not open the door. After the banging stopped, Maurice looked out and saw appellant waiting with two companions named ' Joseph Peoples and Rakeem McMillan. In order to confront them on even terms, Maurice phoned his brother Michael and á friend named Eric Cunningham and asked them to come to his apartment. While he waited for them, Maurice looked outside from time to time and observed appellant, Peoples, and McMillan gesture for him to come out. After a while, appellant and his companions departed.
Not long afterward, Michael Jones and Eric Cunningham arrived at Maurice’s apartment, together with a friend of Michael’s named James Hamlin. The four men then left on foot to look for appellant. About a block away, Maurice spotted Joseph Peoples rapidly descending an exteri- or stairway on the apartment building at 1730 Seventh Street known as Lincoln
Michael drew a gun and fired back at Peoples before he was killed by a bullet in the head. Although Maurice testified that no one else in his group was armed,' the parties at trial stipulated that Hamlin also fired a gun in response to the attack. The stipulation was corroborated by shell casings from two different weapons found in the vicinity of Michael’s body. This, in conjunction with inconclusive forensic evidence regarding Michael’s wound and the bullet recovered from his body, raised the possibility that Michael was killed by “friendly fire” from Hamlin.
Other shell casings recovered by police at the scene indicated that shots also were fired from a second-floor balcony of Lincoln Tower overlooking Seventh Street. Video surveillance footage obtained by the police from inside Lincoln Tower showed appellant on that balcony during the shooting.
Both appellant and Peoples were arrested later that night. They were indicted on one count of first-degree murder while armed, three counts of assault with intent to kill while armed, and related charges. The two were tried together.
II.
Appellant argues that the trial court erred as a matter of law by giving a gun battle causation instruction where the. victim was not a mere bystander but rather was an active participant in the battle. Our review of this contention is de novo, requiring us to determine whether the instruction is a correct and adequate statement of the law.
The gun battle causation instruction this court approved in Roy reflected the fact that the murder victim in that case was a
We conclude that the trial court’s modified gun battle causation instruction was legally sound. As stated in Roy, “[i]n this jurisdiction we have held findings of homicide liability permissible where: (1) a defendant’s actions contribute substantially to or are a substantial factor in a fatal injury ... and (2) the death is a reasonably foreseeable consequence of the defendant’s actions.”
The evidence at trial in this case permitted the jury to find that appellant proximately caused the death of Michael Jones, either by shooting Jones himself or by instigating and participating in a shootout in which one of the other combatants shot Jones, intentionally or ■ otherwise. Accordingly, we hold that the trial court did not err in giving the gun battle causation instruction.
Ill,
Appellant also claims that he was denied a fair trial as a result of “repeated prose-cutorial improprieties” to which he made timely objection. He identifies the improprieties as (1) asking a witness if she was scared to testify; (2) vouching for Maurice Jones’s credibility and otherwise expressing personal opinions in closing and rebuttal argument; and (3) submitting a new exhibit after the trial concluded. Appellant argues that even though the trial court took corrective action in response to the prosecutor’s questions and comments, the court’s remedies were inadequate to dispel the cumulative prejudice to his defense.
In reviewing allegations of prose-cutorial misconduct at trial, we begin by determining whether the challenged conduct actually was improper.
In the present case, we do not reach the second step in the analysis, because we reject appellant’s claims of impropriety.
A. “Are you scared to be here today?”
The’first alleged impropriety occurred during the direct examination of Kendra Wingate, who was with Maurice Jones in his apartment on the evening of July 7. Appellant charges that “without explanation or factual basis, the prosecutor asked Wingate, ‘Are you scared to be here today?’ ”
We have recognized that questions to witnesses about their fear-of testifying may be prejudicial because “(1) they suggest to the jury a decision based on guilt by association; and (2) the evidence plays on the passions and fear of the jury, by suggesting that a threat exists against the witnesses.”
Before asking Wingate whether she was scared to testify, the prosecutor asked her a series of questions about the events of the evening of July 7. When asked about the banging and voices she heard at the door, Wingate repeatedly claimed that she could not remember details such as how loud the voices were or whether they were male, or female. The prosecutor followed up, referencing her professed inability to remember such details during prior interviews with investigators and asking whether it was “true that [Wingate] did not remember ... or was it that [she] did not want to be here testifying?” Wingate first responded that she did not remember, but then changed course and stated that she “did not want to testify” but refused to say why not. Only after repeated attempts to cajole Wingate into explaining her contradictory testimony and her unwillingness to testify did government counsel ask whether she was “scared.” The court sustained a defense objection and appellant sought no additional remedy.
The government’s question was asked to ascertain the reason for the witness’s reluctance and refusal to give truthful, relevant testimony. Wingate had provided inconsistent explanations for her inability to recall salient facts about the evening of July 7, and even when pressed, she was unwilling to explain why she did not wish to testify. There is no indication that there existed any less prejudicial means of explaining Wingate’s recalcitrance. Because the government’s question was “meant to explain specific behavior of the witness while testifying,” we conclude that, while the court did not abuse its discretion in sustaining the objection to it, the inquiry was not improper.
B. Vouching for a Witness’s Credibility and Expressing Personal Opinions as to the Facts.
Appellant further contends that in closing and rebuttal argument, the prosecutor improperly vouched for the veracity of the government’s key witness, Maurice Jones, and expressed personal opinions regarding the facts of the case. In particular, appellant complains that the prosecutor asked rhetorical questions implying belief in Jones’s credibility — e.g., “[d]o we really think he’s naming the wrong folks?” and “[d]o we really think he’s just making names up?” — and asserted that “[w]hat he’s telling you is what he can absolutely remember. He doesn’t embellish it.” Appellant also complains that, in discussing the evidence at trial, the prosecutor conveyed her personal opinions by asserting what “we know” and what was (or was not) “true” — as, for example, when the prosecu
Prosecutorial vouching and other expressions of personal opinion are improper because they
can convey the impression that evidence not presented to the jury, but known to the prosecutor, supports the charges against the defendant and can thus jeopardize the defendant’s right to be tried solely on the basis of the evidence presented to the jury; and the prosecutor’s opinion carries with it the imprimatur of the Government and may induce the jury to trust the Government’s judgment rather than its own view of the evidence.[25 ]
Given this rationale, the condemnation of personal opinion requires us to focus carefully on the nature of the prosecutor’s remarks. Like other advocates, prosecutors may and should marshal the evidence properly admitted at trial and fairly argue its legitimate significance.
Our examination of the record in this case satisfies us that government counsel’s challenged remarks were fair comments on the evidence admitted at trial, not improper expressions of personal opinion. Her rhetorical questions and remarks regarding Maurice Jones’s testimony did not constitute personal vouching for his credibility; they were asked in the context of argument drawing reasonable inferences as to why Maurice, whose credibility the defense had attacked, might not have remembered certain aspects of the gun battle. The comments did not suggest that the prosecutor had knowledge outside the evidence admitted at trial or invite the jury to trust the governmént’s judgment.
C. The Tardy Offer of a New Government Exhibit.
Lastly, appellant argues that the government improperly waited until after closing arguments were concluded to move an important new exhibit, into evidence. This exhibit was a compilation on one disc of the several surveillance video clips that individually had been admitted into , evidence during the trial. The clips in the compilation .were not altered and nothing new was added, but appellant objected that he was unfairly surprised and should have been given the opportunity to challenge the compilation. The trial court, finding nothing unfair in the admission of a single disc that merely compiled the unaltered video evidence already admitted, overruled the objection.
We agree with the trial court,that there was no unfair surprise. While the compilation disc should have been moved into evidence earlier — like other exhibits, prior to the close of evidence, as is the normal procedure — it is an exaggeration to characterize the government’s tardy motion as misconduct. There is no indication that the prosecutor deliberately withheld the exhibit to gain a tactical advantage. We discern nothing improper or prejudicial about the late admission of a disc merely compiling in a convenient format the video evidence that was already properly before the jury. Appellant had a full and fair opportunity to challenge the admission of each video clip when it was offered during trial, to explore and elucidate its probative worth, and to assess and interpret it in closing argument. Even if appellant is right that the chronologically ordered compilation of the separate videos on one disc “provide[d] a narrative supportive of the government’s case,”
IV.
For the foregoing reasons, we affirm appellant’s convictions for second-degree murder while armed and other crimes, and we remand the case for the trial court to vacate two of appellant’s three PFCV convictions on merger grounds.
So ordered.
Notes
.
. Id. at 506-7 n,8; see also id. at 509 (explaining that "[w]hile the evidence was uncleár” as to which combatánt fired the fatal shot, "such a determination is unnecessary if both men prepared for and undertook to participate in the gun battle where it was clearly foreseeable that others would be endangered”).
.The jury also convicted appellant of two counts of assault with intent to kill while armed, one count of carrying a pistol outside the home or place of business, and three counts of possession of a firearm during a crime of violence ("PFCV”). All those charges arose from the same incident as the second-degree murder charge, but the gun battle causation instruction did not implicate them.
. See McCray v. United States,
. See Matthews v. United States,
. Maurice, who fled after .sustaining a gunshot wound in his chest, did not see appellant during the gunfight.
. Hamlin also was named in the indictment, but his case was severed before trial.
. Peoples was found guilty only of carrying a pistol outside the home or business and of tampering with physical evidence.
.See Brown v. United States,
. Roy,
. The full gun battle causation instruction in this case was as follows:
An element of second degree murder is that the defendant caused the death of Michael Jones. A person causes the death of another person if' his conduct is a substantial factor in bringing about the death and if it was reasonably foreseeable that the death or serious bodily injury could result from such conduct. It is not necessary for the government to prove that the defendant personally fired the fatal round in this case. Rather, if the government proves beyond a reasonable doubt: Number 1, the defendant was armed and prepared to engage in a gun battle. Number 2, he did, in fact, engage in a gun battle on July 7th, 2012 at approximately 10:30 p.m. Number 3, the defendant’s conduct ... was a substantial factor in the death of Michael Jones. Number 4, it was reasonably foreseeable that death or serious bodily injury ... could occur as a result of the defendant's conduct during the gun battle. And, Number 5, the defendant did not act in self-defense. If these circumstances are proved beyond a reasonable doubt, the defendant is deemed to have caused the death of Michael Jones.
. Roy,
. See id. at 507; see also id. at 511 (Glick-man, J., concurring in part and dissenting in part) (“Where two or more persons 'voluntarily and jointly created a zone of danger,’ it is fair to hold each one 'responsible for his own acts and the acts of the others' that ensued.”) (quoting People v. Russell,
. Id. at 507.
. See, e.g., Washington v. United States,
. If we find that the challenged conduct was impioper and that timely objection to it was made, we must determine whether the trial court erred in overruling or otherwise responding to the objection and, if so, whether the error was harmless, "In making that determination, we consider the gravity of the . impropriety, its relationship to the issue of guilt, the effect of any corrective action by the trial judge, and the strength of the government’s case.” Id. (internal quotation marks omitted). If there was no timely objection, on the other hand, then our review is only for plain error. Id.
. Br.- for Appellant at 15.
. Id.
. Ebron v. United States,
. Mercer v. United States,
. Gordon,
. See Mercer,
. See Mercer,
. Although the trial court viewed the prosecutor's remarks as "rhetorical flourishes” rather than statements of personal opinion, it granted appellant’s request for a curative instruction. After the prosecutor’s closing and rebuttal, the court admonished the jurors to disregard anything they perceived to be the expression of personal opinion by counsel and to decide the case on the evidence alone.
. United States v. Young,
. See Dixon v. United States,
. Irick v. United States,
. Cf. Mitchell v. United States,
. Irick,
. Br. for Appellant at 16.
Concurrence Opinion
concurring in the judgment and joining in Parts I, III, and IV:
At the time Michael Jones was shot and killed, there were people around him shooting guns at each other.
Nonetheless, Mr. Fleming was held accountable for Mr. Jones’ death.
I. The Causation Problem in Roy
It is a “basic postulate of our criminal law” that we impose liability when “a free agent [is] confronted with a choice bet-tween doing right and doing wrong and choos[es] freely to do wrong.” Carter v. United States,
In Roy, an innocent bystander was killed by a stray bullet fired either by Mr. Roy or his codefendant Mr. Settles. Roy,
On appeal, Mr. Roy and Mr. Settles both argued that the court’s jury instructions regarding causation improperly allowed each man to be found guilty of murder in the absence of evidence that either man directly caused the bystander’s death or that they were confederates. This court correctly disclaimed complicity as a basis for Mr. Roy’s and Mr. Settles’ culpability for murder,
The court in Roy misunderstood causation doctrine. Causation “consists] of.,two constituent parts: actual cause and legal [proximate] cause.” Burrage v. United States, — U.S. —,
Only if actual or but-for cause is established do we ask whether the defendant’s actions aré the legal or proximate cause of the harm. The core inquiry is whether there is some reason — e.g., an intervening event or attenuation — that precludes holding defendant criminally culpable for the ultimate injury. See Butts v. United States,
The causation analysis in Roy is flawed both as to actual cause, which it failed to consider, and as to proximate cause, which it defined incorrectly.
The court in Roy ignored the actual or but-for cause requirement in our second-degree murder statute, which obligates the government to prove that the defendant “with malice aforethought ... kill[ed] another”
Disregarding this fundamental failure of proof, Roy jumped to proximate cause analysis, noting that this court has “long recognized proximate causation as a valid theory of second-degree murder liability.” Roy,
As noted above, proximate cause is a limiting concept. See Paroline,
Implicit in Roy’s' theory of proximate causation for urban gun battles, however, is an assumption that another person’s act of firing a fatal shot can be a “foreseeable” event that does not break the causal chain between the defendant’s actions — possessing and firing a gun — and a resulting death.
This conception of causation and the bar on holding an individual criminally liable for the volitional actions of others with whom the individual is not complicit is long-standing. Indeed, the Supreme Court of Massachusetts addressed this precise question in Commonwealth v. Campbell,
No person can be held guilty of homicide unless the act is either actually or constructively his, and it cannot be his act in either sense unless committed by his own hand or by some one [sic] acting in concert with him or in furtherance of a common object or purpose.
Id. at 544. The court then continued:
Certainly that cannot be said to be an act of a party in any just sense, or on any sound legal principle, which is not only not done by him, ... but is committed by a person who is his direct and immediate adversary, and who is, at the moment when the alleged criminal act is done, actually engaged in opposing and resisting him and his confederates and abettors in the accomplishment of the unlawful object for which they are united.
Campbell, 89 Mass, at 544-45. Based on these longstanding principles of causation, Roy was wrongly decided.
II. The Causation Problem in Fleming
As noted above, Roy’s urban gun battle theory is predicated on an assumption that one" person can “cause” another to shoot and kill a third party. The majority opinion does not press this faulty conception of causation. Instead, it shifts focus to hold
Until now, in the criminal law context, a “zone of danger” has been a mens rea— not a causation — concept
But the more fundamental problem with reframing Roy’s causation theory to require that the government prove nothing more than that the defendant, contemporaneously with others, created a “zone of danger” is that this reframing actually changes the substantive nature of the crime. Under D.C. Code § 22-2103, a person is guilty of second-degree murder when he “kills another,” id. (emphasis added); see also supra note 9, with the requisite state of mind, not when he creates a zone of danger in which another person somehow gets killed. The actions of an individual who.creates a “zone of danger” do not themselves kill or lead to the death of anyone: death comes from the action of the shooter who fires the fatal shot. This court cannot “appl[y] principles of proximate causation,” ante, at 1180, to bridge
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Courts may feel “pressure” to somehow find criminal liability in cases “where the culpable consequence of [the] defendant’s action is some unintended but voluntary action of another,” but Professor Kadish warns that “[t]here is no way to extend liability in these ■ eases ... in a way that does not require a significant departure from doctrinal premises.” Kadish, supra, at 399^400, 402-03. This court’s urban gun 'battle theory is a case in point. With no real causation requirement (and no complicity requirement), this theory is unm-oored from established common law principles of criminal culpability.
In effect, the court in Roy made a policy choice to create a new crime that allows an individual to be convicted of murder without proof that he caused (or was complicit in) a murder. If the objective was to ensure that certain homicides beget at least one murder conviction, it is antithetical to another “cardinal principle of Anglo-American jurisprudence that, in Blackstone’s immortal words, better ten guilty persons should go free than one innocent person be convicted.” United States v. Greer,
. The record indicates that three people were seen with guns that evening: the decedent, Michael Jones; his friend, James Hamlin; and Mr, Fleming’s codefendant, Joseph Peoples. Forensic analysis of all the gun casings and bullets showed that three distinct weapons were used in the exchange of gunfire (a .40 caliber Glock-type firearm belonging to Mr. Hamlin; a “Hi Point” pistol belonging to the decedent; and another .40 caliber Glock-type firearm fired from the sidewalk, though it may have been fired from the balcony).
. Mr. Peoples was also charged with second-degree murder but was found not guilty. Mr. Hamlin was only charged with and convicted of weapons offenses.
. See M.A.P. v. Ryan,
. Our conception in criminal law of the individual as a rational actor, in control of his own decisions, is apparent in our law of defenses. See, e.g., Barrett v. United States,
. Cf. Prezzi v. United States,
. See, e.g., Wilson-Bey v. United States,
. Sanford Kadish has been described as "America’s foremost scholar of the criminal law." Michael S. Moore, Retirement of Sanford Kadish, 79 Cal. L. Rev. 1401 (1991).
. The court in Roy employed terminology that misleadingly suggests organized affiliations and allegiances that might support theories of complicity, e.g., "combatants,” "battles,” "pocket wars,” and “shoot out[s]” at "High Noon,”
. The clear meaning of this language was recognized by this court long before Roy. Examining identical language in the first degree murder statute, D.C. Code § 22-2101, this court explained that it requires the government to prove that the defendant "inflicted injury on the decedent from which he died,” Waller v. United States,
. Mr. Settles fired first and fired three shots; Mr. Roy then fired back. Roy,
. To slightly modify Professor LaFave’s hypothetical, if A shoots at B intending to kill but misses, B shoots back and misses, and C is killed by one of their bullets, unless the government can show that A fired the fatal shot, A cannot be found criminally responsible for C’s murder, “in spite of the simultaneous existence of the two required ingredients[:] A’s intentional conduct and the fatal result.” See LaFave, supra, at § 6.4.
. Roy cited, inter alia, to Comber v. United States,
.Thus, in each of the proximate cause cases cited by the court in Roy, the defendant had actually caused some injury to the decedent, and the issue was whether an intervening event broke the causal chain such that the defendant could not be convicted of manslaughter or murder. See Butts,
. There are limited exceptions where courts trace causation through B to A and only hold only A criminally culpable: if A uses B as an innocent instrumentality, Kadish, supra, at 370, or if B's conduct is legally justified, id. at 395. But neither of these scenarios is contem- . plated by the urban gun battle narrative.
. But it is not even clear that the government must prove this temporal sequence under an urban gun battle theory, i.e„ that the defendant “engaged” in a gun battle first and then a person died. Rather, Roy suggests that, as long as the government proves that two events occurred — the defendant fired his weapon, and a person was shot and killed— liability for murder is established regardless of the timing. In Roy, the government could not prove who fired the fatal shot, bút the evidence was undisputed that Mr. Settles was the first to fire his gun and that he fired three shots before Mr. Roy ever fired back.
.See, e.g., Williams v. United States,
. As Professor Kadish explains, if someone else lit the match, the criminal law would affix blame to the defendant only if there was complicity:
I may have persuaded another responsible person to light the match or helped him by giving him a match for the purpose. The other person then caused the burning of the building, But whether I am to be blamed for the other person's action would not be assessed by asking whether I caused his action in the same sense that his lighting the match caused the fire. Rather, my responsibility would be determined by asking whether my persuasion or help made me accountable for the other person's actions and what they caused.
Kadish, supra, at 332-33 (emphasis added), In short, ''[t]he doctrine of causation deals with fixing blame for natural events. The doctrine of complicity deals with fixing blame for the criminal action of another person.” Id. at 333.
. See also H.L.A. Hart & A.M. Honoré, Causation in the Law 41 (1st ed. 1959) ("A deliberate human act is therefore most often a barrier ... in tracing back causes in such inquiries: it is something through which we do not trace the cause of a later event and something to which we do trace the cause through intervening causes of other kinds.”).
. The concept of a "zone of danger” is separately employed in tort cases to determine whether a plaintiff has a viable claim of negligent infliction of emotional distress. See, e.g., Jane W. v. President & Dirs. of Georgetown Coll.,
. That said, the urban gun battle theory also impedes meaningful examination of a defendant’s intent. To be guilty of murder a defendant must act with malice. Comber,
. The Council could create a new "zone of danger” murder crime. Accord, Rivers,
. We should not be reassured that a few other courts have similarly misapplied causation principles to recognize an “urban gun battle” theory of guilt for murder. See Roy,
. Roy’s problematic "proximate cause.” theory of causation has been applied in a handful of cases, though never challenged on these grounds. See, e.g., Bryant v. United States,
.Cf. Wilson-Bey,
