MARLON WILLIAMS v. UNITED STATES
MARLON WILLIAMS v. UNITED STATES
Opinion of the Court
Marlon Williams was arrested and prosecuted for the shooting death of Min Soo Kang. As no eyewitnesses to the crime were discovered and as Mr. Williams had no known relationship with Mr. Kang, it took a number of investigative steps for the police to connect Mr. Williams with.the crime: after finding Mr. Kang’s body, the police located his car; after examining fingerprints recovered from Mr. Kang’s car, the police identified Mr. Williams as a potential suspect; and after searching Mr. Williams’s apartment, the police recovered a gun that, when test-fired, left markings on the bullets that appeared to match the markings on bullets recovered from Mr. Kang’s car. This evidence, in conjunction with the testimony of an individual to whom Mr. Williams had made incriminating statements while they were in the courthouse cellblock, formed the bulk of the government’s case. After considering this evidence, a jury convicted Mr. Williams of first-degree felony murder while armed,
On appeal Mr. Williams primarily attacks the firearms and toolmark evidence presented against him, arguing among other things that, although defense counsel never objected, the examiner should not have been permitted to testify that the markings on the bullets recovered from Mr. Kang’s car were “unique” to the gun recovered from Mr. Williams’s apartment and thus that he did not have any doubt of their source. Because, to date, this court has only assumed without deciding that such testimony of absolute certainty is impermissible, we conclude that Mr. Williams has failed to establish. that it was plain error for the trial court to permit the jury to hear it. We discern no other error warranting reversal, although we agree that Mr. Williams’s attempted robbery conviction and associated PFCV conviction merge with his felony murder conviction and must be vacated.
I. Facts
In the early morning hours of September 13, 2010, the bullet-riddled body of Min Soo Kang was discovered lying on the side of the road in Southeast D.C. The Metropolitan Police Department (MPD) began investigating and learned that Mr. Kang drove a Cadillac Escalade equipped with OnStar, a service that could remotely disable the vehicle. At MPD’s request, OnStar disabled Mr. Kang’s Escalade by the evening of September 13 and directed MPD officers to the vehicle’s location in Northeast D.C,
An MPD officer inspected the Escalade. He found no damage to the exterior of the
An MPD fingerprint examiner entered the fingerprints lifted from the Escalade into the national Automated Fingerprint Identification System (AFIS), which connects unknown prints to known prints in a digital database, AFIS identified Mr. Williams as a possible source of the fingerprints. Based on the fingerprint examiner’s preliminary conclusion that the prints on the Escalade belonged to Mr. Williams, MPD applied for and was granted a search warrant for Mr. Williams’s residence. Executing this' warrant, MPD officers recovered a High Point brand firearm from Mr. Williams’s bedroom.
At trial,
. Counsel for Mr. Williams did not object to any of this testimony. The jury also heard stipulations that a print lifted from the gun did not match Mr. Williams and that the blood and DNA recovered from the gun did not match Mr. Kang or Mr. Williams. The jury convicted Mr. Williams on all charges.
II. Analysis
A. Sufficiency of the Evidence
We first address Mr. Williams’s argument that the government did not present sufficient evidence to support his felony murder conviction because it failed
B. The Firearms and Toolmark Examiner’s Opinion Testimony
Mr. Williams argues that the firearms and toolmark examiner should not have been able to testify that the markings on the bullets recovered from Mr. Kang’s Escalade were unique or that he was without “any doubt” that these bullets were fired from the gun found in Mr. Williams’s room. Because Mr. Williams did not object at trial to this testimony, we review only for plain error. See (John) Jones v. United States, 990 A.2d 970, 980-81 (D.C. 2010). To prevail under this test, it is not enough for an appellant to demonstrate error; the appellant must also show that the error is plain, i.e., that the error is “so egregious and obvious as to make the.trial judge and prosecutor derelict in permitting it, despite the defendant’s failure to object.” Id. at 981. We attribute such dereliction to the trial court only when an error is “clear under current law.”
There is no precedent in this jurisdiction that limits a toolmark and firearms
Nor can we say that the weight of non-binding authority outside this jurisdiction is a sufficient foundation for a determination that the -trial court “plainly” erred by not sua sponte limiting the tool-mark examiner’s testimony. See Euceda v. United States, 66 A.3d 994, 1012 (D.C. 2013) (holding that error cannot be plain where neither this court nor the Supreme Court has decided the issue, and other courts are split on the issue). We are aware of only one state supreme court decision
Mr. Williams refers us to the policy representation made by the government in Jones. The government concedes that, at Mr. Williams’s trial, it violated its policy “to only elicit firearms examiners’ opinions to a reasonable degree of scientific certainty.” But this concession cannot serve as the sole foundation for a determination of plain error. The government’s internal policy does not-constitute binding law
Since Mr. Williams has not shown that the state of the law is such that the trial court plainly should have sua sponte precluded or struck the certainty statements of the firearms and toolmark examiner in this case, Mr. Williams’s unpreserved challenge to these certainty statements cannot prevail under our test for plain error.
C. Confrontation Clause and Hearsay Challenges to the Firearms and Toolmark Evidence
Regarding the firearm and toolmark evidence presented in this case, Mr. Williams also challenges the admission, over objection, of two “worksheets” documenting the analysis of the bullets. These worksheets were signed by the firearms and toolmark examiner who testified at trial, Mr. Morales, but they also bore the signature and initials of his colleague, the “lead examiner on that particular case,” Rosalyn Brown.
The Confrontation Clausé of the Sixth Amendment, U.S. Constamend. VI, prohibits the government from introducing “testimonial” hearsay at a criminal trial, unless the declarant isunavailable and the defendant has had a prior opportunity to cross-examine him. Crawford v. Washington, 541 U.S. 36, 53-54, 124 S.Ct. 1354, 158 L.Ed.2d 177 (2004). A hearsay statement is considered testimonial if it is “ ‘a solemn declaration or affirmation made for the purpose of establishing or proving some fact’ ... in the prosecution or investigation of a crime.” Young v. United States, 63 A.3d 1033, 1039-40 (D.C. 2013) (quoting Crawford, 541 U.S. at 51, 124 S.Ct. 1354). Forensic evidence is also subject to the Confrontation Clause, which means a defendant must have an opportunity to cross-examine the analyst who actually conducted or observéd the forensic testing. Id. at 1039.
Assuming. the ballistics worksheets contained Ms. Brown’s testimonial hearsay statements, we conclude that their erroneous admission was harmless. See Duvall v. United States, 975 A.2d 839, 843 (D.C. 2009) (applying the test for harmless error under Chapman v. California, 386 U.S. 18, 87 S.Ct 824, 17 L.Ed.2d 705 (1967) to admission of a lab report in violation of the Confrontation Clause). To begin with, the jury never heard any testimony about Ms. Brown’s observations and conclusions in Mr. Williams’ case and thus
D. Other Issues
With one exception, Mr. Williams’s remaining arguments fail. His unpreserved challenge to the admission of fingerprint evidence fails the third prong of the test for plain error where trial counsel conceded,'both in opening and in closing, that the fingerprints on the Escalade belonged to Mr. Williams.
Mr. Williams prevails on his argument that this court must merge his attempted' robbery and corresponding PFCV conviction with his felony murder conviction. “[A] person cannot be convicted of both felony murder'and the underlying felony that supported the felony murder conviction.” Matthews v. United States, 13 A.3d 1181, 1191 (D.C. 2011). Accordingly, we remand the case with instructions for the trial court to vacate Mr.
In all other respects, we affirm the judgment of the trial court.
So ordered.
. D.C.Code §§ 22-2802, -4502, -1801 (2001).
. D.C.Code § 22-4504(b) (2001).
. D.C.Code § 22-4504(a) (2001).
, This was Mr. Williams’s ^second trial; the first trial ended in a mistrial after the jury was unable to reach a verdict.
. The government also called a witness’who had agreed to testify against Mr. Williams in return for the government's assistance at the witness's pending sentencing for aggravated assault, a charge carrying up to thirty years imprisonment. The witness testified that, after he met Mr, Williams for the first time in the cellblock at the courthouse, Mr. Williams -told- the witness that he was "fighting a body"; that the police had recovered his fingerprints from the victim’s car even though he had tried to wipe it clean; that the police had recovered a gun, but he had wiped his prints off the gun; and that "it was in his favor” that the police had not tested bullets recovered from the victim to see if they matched bullets fired from his gun.
. We question whether the government presented sufficient evidence that Mr. Williams intended to steal Mr. Kang’s car before he shot him. See Head v. United States, 451 A.2d 615, 625 (D.C. 1982) ("[M]ere coincidence in time of a robbery and a murder is insufficient to support a felony murder conviction.”); see also United States v. Bolden, 514 F.2d 1301, 1307 (D.C.Cir. 1975) (holding that the intent to rob must be formed before the homicide to convict a defendant of felony murder). But Mr. Williams did not raise that argument on appeal.
. This assessment is made by examining the state of the law at the time of appellate review. Henderson v. United States, — U.S. -, 133 S.Ct. 1121, 1127, 185 L.Ed.2d 85 (2013). Accord, Muir v. District of Columbia, 129 A.3d 265, 267, 273-74 (D.C. 2016).
. Commonwealth v. Heang, 458 Mass. 827, 942 N.E.2d 927, 944-45 & n. 29 (2011).
. Even in the absence of binding precedent or a raft of persuasive authority on point, we may find plain error where a trial court acts in contravention of "well-settled legal principles.” See Conley, 79 A.3d at 290.(" '[Plainness’ of [an] error can depend on well-settled legal principles as much as well-settled legal precedents." (quoting United States v. Brown, 352 F.3d 654, 664 (2d Cir. 2003))). Mr. Williams has made no argument that the trial court plainly erred on this basis.
. Moreover, we question whether this court would want to endorse a policy of "only eliciting] firearms examiners' opinions to a reasonable degree of scientific certainty,” in light of criticism that firearms examination does not involve any "scientific” measure of certainty. See National Research Council, Committee on Identifying the Needs of the Forensic Sciences- Community, Strengthening ' Forensic Science in the United States: A Path Forward 154-5.5 (2009); National Research Council, Committee to Assess the Feasibility, Accuracy, and Technical Capability of a National Ballistics Database, Ballistic Imaging 3, 81-82 (2008).
.Mr, Williams appears to concede that Jones itself did not plainly establish that statements of absolute certainty were prohibited and argues instead that "because of its prior assurances” in Jones, the government should be estopped from arguing that the admission of certainty statements of the sort elicited in this case is not plain error. But the govern
. Mr. Morales explained that the lead examiner is “basically the examiner that’s assigned and responsible for the examination" of tool-marks; he was designated the. "second examiner,” He further explained that, at the time the firearms evidence was received, Ms, Brown "was not available; it was early in the morning.” "[Sjince I was the second, I was the reviewer ... of that case. My responsibility was to perform the examination between the items.”
.Mr. Williams additionally contends that he was deprived of his Sixth Amendment right to a jury trial because Mr. Morales gave overly conclusory testimony, failed to present the images or other “documentation” underlying .hjs opinions, and "deprived the. jury of the ability to make a decision based on the evidence.” Again, this argument was never made in the trial court and we review for plain error, We discern none. We acknowledge that at least one federal district court has ruled that the government’s presentation of pattern-matching testimony by a forensic expert is contingent on its presentation 'of sufficient documentation to permit the jury to meaningfully evaluate the expert’s subjective conclusions. See United States v. Glynn, 578 F.Supp.2d 567, 574 n. 13 (S.D.N.Y. 2008); see also Heang, 942 N.E.2d at 945 n. 30 (urging but not requiring firearms and toolmark examiners to "explain the basis of any opinion with sketches, photographs, or, best of all, comparison photographs”). But, to date, this court has not so held.
. Conley, 79 A.3d at 276, 290 (explaining that the third prong of the plain error standard requires the appellant to identify an error that "affected his substantial rights”). In light of our above resolution of Mr. Williams’s challenges to the toolmark and fingerprint evidence, we reject Mr. Williams's argument that the trial court’s cumulative errors regarding the admission of thé government's tool-mark and fingerprint evidence require reversal.
, Franks v. Delaware, 438 U.S. 154, 98 S.Ct. 2674, 57 L.Ed.2d 667 (1978).
Concurring Opinion
concurring:
In our adversarial system, we do not expect trial courts to “recognize on [their] own” that an expert’s testimony is “scientifically unorthodox or controversial.” (John) Jones v. United States, 990 A.2d 970, 980-82 (D.C. 2010). In the absence of any objection at Mr; Williams’s trial to the admission of the firearms and toolmark examiner’s certainty statements, we could only reverse if the law were clear that the expert could not make these statements. See supra Majority Opinion, Part II.B. As discussed above, the law in this jurisdiction does not clearly preclude a firearms and toolmark examiner from testifying with unqualified, absolute certainty.
A statement that markings on a bullet are “unique” to a particular gun is a statement that the probability of finding another gun that can create identical bullet markings is zero. If purportedly unique patterns on bullets are declared a match, that declaration likewise negates the possibility that more than one gun could have fired the-bullets — it is a statement of unqualified certainty that the bullets were fired from a specific gun to the exclusion of all others. Here the firearms and tool-mark examiner testified that he had identified matching “unique” patterns; .he also declared that he did not have “any doubt” that the bullets recovered from Mr. Kang’s car had been fired by the gun recovered from Mr. Williams’s apartment.
The government has a policy, admittedly violated here, not to elicit such certainty statements. This court was advised of the government’s policy in Jones. At oral argument in that case, in November 2011, counsel for the government stated that, as “concede[d]” in its brief, it was the government’s “position that practitioners should not state their conclusions to 100% scientific certainty.” The government further noted that it had “conceded in every hearing, starting two to three years ago when we first started having Frye hearings on this issue, that firearms examiners should not state their conclusions with absolute certainty.”
In 2008, a committee of scientists and statisticians assembled by. the National Research Council (NRC),
Specifically, the NRC Committee made a “finding” that the “validity of the fundamental assumptions of uniqueness and reproducibility of firearms-related toolmarks has not yet been fully demonstrated.” Ballistic Imaging, supra note 3, at 3, 81. The NRC Committee noted that “derivation of an objective, statistical basis for rendering decisions [about matches] is hampered by the fundamentally random nature of parts of the firing process. The exact same conditions — of ammunition, of wear and cleanliness of firearms parts, of burning of propellant particles and the resulting gas pressure, and so forth — do not necessarily apply for every shot from the same gun.” Id. at 55. The NRC Committee concluded that “[a] significant amount of research would be needed to scientifically determine the degree to which firearms-related toolmarks are unique or even to quantitatively characterize the probability of uniqueness.” Id. at 3, 82.
The NRC Committee further expressed concern that, notwithstanding the absence of data and the corresponding statistical unknowns, firearms and toolmark examiners “tend to cast their assessments in bold absolutes, commonly asserting that a match can be made ‘to the exclusion of all other firearms in the world.’” Ballistic Imaging, supra note 3, at 82. The NRC Committee denounced this sort of testimony, explaining that “[sjuch comments cloak an inherently subjective assessment of a match with an extreme probability statement that has no firm grounding and unrealistically implies an error rate of zero.” Id. “[Shopping short of commenting on whether firearms toolmark evidence should be admissible” in court, the NRC Committee determined that “[c\onclusions drawn in firearms identification should not be made to imply the presence of a firm statistical basis when none has been demonstrated.” Id. (emphasis in original).
In a subsequent report commissioned by Congress and issued in 2009, Strengthening Forensic Science in the United States: A Path Forward,>
Against this backdrop, there is only one permissible answer to the question left undecided'in Jones regarding firearms and toolmark examiners’ assertions of certainty in their pattern-matching conclusions: the District of Columbia courts should not allow them. It is well established that expert opinion evidence is admissible if “it will not mislead the jury and will prove useful in understanding the facts in issue.”
The government states in its brief to this court that it is “regrettable” that its expert was permitted to state his pattern-matching conclusion with absolute certainty. It is more than regrettable.. It is alarming. We know that faulty forensic evidence, and in particular, objectively unfounded statements of certainty regarding forensic analysis, can contribute to wrongful convictions. See Strengthening Forensic Science, supra note 5, at 45; Brandon L. Garrett, Judging Innocence, 108 Colum. L.Rev, 55, 83-84 (2008).
Take the case of Donald Gates, who was wrongfully convicted of rape and murder and needlessly served twenty-seven years in prison.
The use of these subjective certainty statements not only implicates the government’s “duty to refrain from improper methods calculated to produce a wrongful conviction,”
.To avoid the constraints of plain error review, Mr. Williams could have filed a motion under D.C.Code § 23-110 and argued that trial counsel provided him constitutionally ineffective assistance by failing to challenge the firearms and toolmark examiner's certainty statements as scientifically unfounded. See . infra. Mr. Williams did not do this.
. The government was represented in Jones by the Special Counsel for DNA and Forensic Evidence at' the United States Attorney's Office for the District of Columbia; this Special Counsel has corresponded on the government’s behalf with Superior Court regarding other problems arising from the reliance on faulty forensic evidence. See infra note 10.
. The NRC is a component of the National
. Ballistic Imaging, supra note 3. Specifically, the project was sponsored by the National Institute of Justice (NIJ), Office of Justice Programs, U.S. Department of Justice. Id. at xi.
. National Research Council, Committee on Identifying the Needs of the Forensic Sciences Community, Strengthening Forensic Science in
. The report comprehensively reviewed a range of forensic analyses, including toolmark and firearms identification, and made a number of recommendations "to improve the forensic science disciplines and to allow the forensic science community to serve society more effectively.” Id. at xix, 1-2.
. More generally, the NRC Committee observed that "[w]ith the exception of nuclear DNA analysis ... no forensic method has been rigorously shown to have the capacity to consistently, and with a high degree of certainty, demonstrate a connection between evidence and a specific individual or source.” Id. at 7. With respect to these other forensic analyses, the NRC Committee stated that "[a] body of research ... to establish the limits and measures of performance and to address the impact of sources of variability and potential bias .,. is sorely needed, but it seems to be lacking in most of the forensic disciplines that rely on subjective assessments -of matching characteristics.” Id. at 8. The NRC Committee called for the development of “rigorous protocols to guide these subjective interpretations and pursue equally rigorous research and evaluation programs,” Id. The 'NRC Committee particularly recommended that "[fjorensic reports, and any courtroom testimony stemming from them, must, include clear characterizations, of the limitations of the analyses, including measures of uncertainty in reported results and associated estimated probabilities where possible.” Id. at 21-22.
.Thus, even the policy the government endorsed in Jones, permitting firearms and tool-mark examiners to testify to “a reasonable degree of scientific certainty,” is an inadequate limitation on firearms and toolmark examiners' testimony. See Brief for Appellee at 36, Jones v. United States, 27 A.3d 1130 (D.C. 2011). This phrase “has no scientific meaning.” Paul C. Giannelli, Reasonable Scientific Certainty: A Phrase in Search of a Meaning, 25 Crim. Just. 40, 40-41 (2010-2011); see also National Institute of Standards and Technology, Expert Working Group on Human Factors in Latent Print Analysis, Latent Print Examination and Human Factors: Improving the Practice through a Systems Approach 119 (2012) ("Outside the courtroom ... scientists do not communicate their findings in this ' fashion ... there is no generally accepted or working definition of a 'reasonable degree of certainty’ in scientific discourse.”). Meanwhile "[i]ts legal meaning is at best ambigu- , ous, at worst misleading.” Giannelli, supra at 41. "A reasonable degree of scientific certainty” unquestionably implies a data-based foundation for a conclusion, that is objectively unfounded.
To adequately account for the current limitations of toolmark analysis, at least one federal district court has ruled that an examiner cannot "claim that he reached his conclusions to any degree of 'certainty.' ” Glynn, 578 F.Supp.2d at 569. Another federal district court has limited an examiner’s testimony to a report of observed similarities and has declined to allow the examiner to testify as to any conclusion of a match. See Green, 405 F.Supp.2d at 108 & n. 3, 123-24.
. This miscarriage of justice was costly to the District of Columbia. Mr. Gates recently received $16.65 million from the District to settle his civil suit. Spencer S, Hsu, District to Pay $16.65 Million to Wrongly Imprisoned Mari, Attorneys Say, Wash. Post, Nov. 19, 2015, https://www.washingtonpost.con3/local/ public-safety/district-to-pay-1665-million-to-wrongly-imprisoned-man-attorneys-say/ 2015/11/19/2f62fd5 8-8ecf-l 1 e5-baf4-bdf 37355da0c_stoiy.html.
/ See Strengthening Forensic Science, supra note 5, at 160-61. The government later “acknowledged” that the hair examiner in Mr. Gates’s case "offered unfounded testimony at trial that exaggerated the probative value of • the hair match.” Letter'from Lee F. Satter-field, Chief Judge, Superior Court of the District df Columbia to Avis E, Buchanan and Ronald C. Machen Jr., (Jan. 11, 2011) (quoting Letter from Michael T. Ambrosino, Counsel to the United States Attorney, to Chief Judge Satterfield, n. 3 (Nov. 15, 2010)) available at http://www.dccourts.gov/internet/ documents/OIGReportLetterFromChiefJudge Satterfield.pdf.
. Berger v. United States, 295 U.S. 78, 88, 55 S.Ct.629, 79 L.Ed. 1314 (1935). Under Napue v. Illinois, 360 U.S. 264, 79 S.Ct. 1173, 3 L.Ed.2d 1217 (1959), the government may not knowingly present false or misleading evi- . dence or allow admission of such evidence to go uncorrected. Longus v. United States, 52 A.3d 836, 847-48 (D.C. 2012); see also id. at 847 (explaining that the "underlying purpose oíNapue ” is “to ensure the jury is not misled by falsehoods”). "[A]s with Brady, the government’s obligation under Napue turns not > on the personal knowledge of an individual prosecutor, but on what the ’government,’ under a collective knowledge theory, knew or should have known.” Id. at 848. The government’s policy regarding firearms and tool-
. Puckett v. United States, 556 U.S. 129, 135, 129 S.Ct. 1423, 173 L.Ed.2d 266 (2009) (quoting United States v. Olano, 507 U.S. 725, 736, 113 S.Ct. 1770, 123 L.Ed.2d 508 (1993)).
Reference
- Full Case Name
- Marlon WILLIAMS, Appellant, v. UNITED STATES, Appellee
- Cited By
- 9 cases
- Status
- Published