Shawn Smith v. United States
Shawn Smith v. United States
Opinion of the Court
Dissenting opinion by Associate Judge McLeese, at page 69.
Ferren, Senior Judge:
*48Appellant, Shawn Smith, was convicted of carrying a pistol outside of his home or place of business,
(1) The trial court violated his Sixth Amendment right to cross-examine the arresting police officer on a theory of "corruption bias."
(2) The trial court erred by precluding impeachment of the officer after he "falsely and repeatedly" testified that he had been "attacked and acted in self-defense" when striking a crime scene observer.
(3) The government's delayed and incomplete mid-trial disclosure of the officer's pending excessive force investigation in another case violated appellant's due process rights under Brady v. Maryland ,
For the reasons that follow, we affirm.
I. Facts and Proceedings
A. Events at Issue
According to the government's evidence, at approximately 1:00 a.m. on May 11, 2014, officers of the Seventh District Metropolitan Police Department ("MPD") observed a dozen or so individuals walking along 13th Street, S.E. toward Alabama Avenue. As Officers Damien Williams and Terry Couch left their vehicle "to see what was going on," a man later identified as appellant Smith turned and began to run down the street into an alley near Savannah Street, S.E. The officers ran after Smith, who was holding his waistband while running. As Smith passed a wooden fence enclosing a yard near the alley, he pulled what "clearly" appeared to be a black semiautomatic handgun from his waistband and tossed it over the wooden fence into the yard. At the time Smith discarded the handgun, Officer Couch was approximately five to six feet behind him, followed closely by Officer Williams. Both officers described the area as "dimly lit" with streetlights.
As Officer Couch continued to pursue Smith, Officer Williams stopped to search for the discarded handgun. Upon entering the yard, Williams located a handgun lying in the grass approximately six feet from the fence. He observed a small indentation in the ground where the handgun appeared to have landed, as well as dirt on the handgun's barrel. The handgun was also dry compared to the surrounding area, which was wet from recent rain.
*49Rather than contact crime-scene personnel to process the area, Officer Williams photographed the handgun using his cellular phone. He then put on gloves to recover it, placed it in an evidence bag, and transported it to the police station. The parties stipulated that no fingerprints were discovered on the handgun and that DNA testing was inconclusive.
While Officer Williams was recovering the handgun, Officer Couch continued to pursue Smith on foot and caught up to him about a block from where the handgun was discovered. Officer Couch explained that as they crossed over 13th Street, S.E. in a sprint, Smith "tripped, fell, [or] stopped," causing them both to fall. The officer then handcuffed Smith and transported him to the hospital. Eventually, Smith was charged.
B. The Trial
Before swearing in the jury on December 17, 2014, the trial judge asked the parties whether there were any preliminary matters that warranted the court's attention. Both responded that there were none, whereupon each made opening statements to the jury. The government then requested a bench conference. At the bench, the government disclosed that its key witness, Officer Williams, was under investigation by the United States Attorney's Office for using "excessive force" against a bystander, Antwann Barkley, in an unrelated incident ("Barkley incident") that took place on December 1, 2014, almost seven months after the incident at issue here. The judge ordered the government to present its second witness (Officer Couch) first and held over discussion of the issues derived from the government's delayed disclosure until after Couch had testified. During a break in testimony, the prosecutor indicated that she had learned of the pending investigation a day or two earlier; that there was "no report" because the investigation was still "open"; and that there were "no documents" related to the investigation.
After a second break in Couch's testimony, however, the prosecutor discovered a preliminary Internal Affairs Division ("IAD") report about the pending investigation, which she produced. It was dated eight days earlier, December 9, 2014, based on a referral to the U.S. Attorney's office on the day it happened, December 1. This "preliminary" document (hereafter the "IAD report") summarized the Barkley incident, as follows: On December 1, 2014, Officer Williams responded to a radio run for a homicide in the 2400 block of Elvans Road, S.E. While responding, Officer Williams and another officer saw a Chevrolet Impala collide with a lamp post near the scene of the homicide. After Williams and a colleague removed the occupants from the Impala, the officers began to secure the perimeter with crime scene tape. While doing so, the officers asked a group of bystanders, including Barkley, to leave the area. The group responded by shouting obscenities at the officers and advising the officers that they had their hands up "like Michael Brown."
Officer Williams continued to order Barkley to move back, but Barkley instead placed his cell phone in Officer Williams's face. In the words of the report, "Officer Williams then tried to physically push Mr. Barkley back." Barkley responded, the report continued, "by jumping back and trying to strike Officer Williams with his fist."
*50But Officer Williams "delivered a single, straight strike to Mr. Barkley's face, causing him to fall over backwards and strike his head on the ground." Barkley was then transported to the hospital, discharged with a broken jaw, and charged with two counts of assault on a police officer (one for assaulting Officer Williams, the other for assaulting another officer at the scene, Michael Johnson). Officer Williams's excessive force case was then transferred to the United States Attorney's Office.
Attached to the IAD report were statements from three police officers, a civilian witness, and Barkley. These statements, in a few respects, were inconsistent with each other and with the IAD report itself concerning who had initiated physical contact, Barkley or Williams, and, in particular, whether Barkley had made threatening gestures to Officer Williams before the officer's "straight strike."
Based on the IAD report, defense counsel moved for "a dismissal-a mistrial. ... [T]his is Brady. "
The next day, after the court denied a motion the government had filed for reconsideration of its Brady ruling, defense co-counsel informed the court that overnight the defense had learned from Barkley's attorney about a "cell phone video of the event." The defense also had become aware that the Gerstein
The trial court again denied counsel's request for Brady sanctions, ruling that it would not dismiss, grant a mistrial, or even "continue the case." The court limited cross-examination to (1) the fact that Officer Williams had an investigation "pending against him," including the "underlying facts and circumstances"; (2) the "nature of the allegation"; and (3) any potential consequences of the investigation. Later, however, having announced that defense counsel could cross-examine about the "underlying facts and circumstances" of the Barkley incident, the court narrowed that permission by precluding cross-examination about the "underlying details" of that incident-the ruling that presents the central issue in this appeal.
*51The jury found Smith guilty of all four charges, and the court sentenced him to twenty-four months of incarceration. He subsequently filed a motion for a new trial pursuant to Super. Ct. Crim. R. 33, asserting among other things that the trial court had erroneously precluded him from cross-examining Officer Williams on a "corruption bias" theory (referring to alleged falsities in Officer Williams's Gerstein affidavit). The trial court denied the motion, noting that it had allowed counsel to pursue a "mostly speculative" corruption bias theory and that "there was not sufficient evidence to support a claim of corruption bias beyond the questioning permitted by the [c]ourt." Referring to appellant's argument that he had not been able to "conduct a meaningful impeachment" of Officer Williams with respect to inconsistencies between the Gerstein and statements by other witnesses to the Barkley incident, the court observed that this was "essentially the same argument the defendant made at trial" and that the "[c]ourt does not find, on this record, [that] the arguments advanced by defense counsel established a basis for cross-examination on the issue of corruption bias."
II. Cross-Examination for Corruption Bias
Smith contends, first, that the trial court violated his Sixth Amendment right to cross-examine Officer Williams on a theory of "corruption bias," discernible from the officer's false testimony under oath about the Barkley incident. The government responds that Smith did not adequately raise at trial, and thus preserve for our review, the corruption bias theory he asserts on appeal.
A. The Right of Confrontation
The Confrontation Clause of the Sixth Amendment "guarantees a defendant in a criminal case the right to confront witnesses 'against him.' "
*52B. Smith's Allegation of Corruption Bias
Seeking clarification of the defense effort to cross-examine Officer Williams, the trial court first, as background for discussion, expressed at length its understanding of our Longus decision
Later that day, however, in a written response to the government's motion for reconsideration of the court's Brady ruling that the Barkley disclosure had been untimely, defense counsel clarified that, in alleging collusion, the defense was fundamentally asserting corruption: "If Officer Williams lied about the incident, and colluded with his fellow officers to support his false version, then he corrupted the judicial process."
In disputing Smith's first contention on appeal-the alleged unconstitutional limitation on defense counsel's cross-examination of Officer Williams for corruption bias-the government maintains that the trial court did not err for three reasons: (1) defense counsel never attempted to cross-examine Officer Williams "about alleged false statements in the Gerstein affidavit" (which the trial court "never precluded"); (2) counsel made mere "passing references" to discrepancies in the Gerstein affidavit while arguing, instead, a "collusion bias" theory at trial;
*531.
The government's first argument is misleading. Defense counsel sought to test the accuracy of Officer Williams's Gerstein affidavit by reference to allegedly contrary testimony by police and other witnesses to the Barkley incident. Thus, he established on cross-examination that Williams was under investigation for an alleged "serious use of force" in another case, and that Williams had "issued a straight strike in defense of myself against [Barkley]" meaning a "jab" that is justified when "someone comes to attack you and they raise their hands." Counsel then attempted to ask Officer Williams on cross-examination whether "the individual that you hit ... had his hands up." The trial court, however, immediately sustained the government's objection to the question, reminding counsel that he could go into "the nature of the incident" but not "the underlying details." Counsel protested, in vain, that he had information from Barkley's attorney that Barkley "had his hands up" in surrender mode; "he was not in a fighting position." Contrary to the government's representation, therefore, this left little, if any, room for counsel to cross-examine Officer Williams about allegedly false statements in the Gerstein affidavit.
2.
The government's second contention also fails. The government suggests (without insisting) that collusion bias and corruption bias-a bias not premised on cooperation with others-are distinct forms of bias, and that the corruption theory was not raised at trial. The differences between the two, however, are not as dissimilar as the government apparently would have it. "Collusion" bias presupposes "[a]n agreement to defraud another or to do or obtain something forbidden by law,"
In any event, not only did defense counsel argue at trial that Officer Williams had "corrupted the judicial process,"
3.
a. The Issue
We consider, finally, the government's only substantive objection to the proffered corruption bias: Given only "minor inconsistencies" between Officer Williams's Gerstein affidavit and the witness statements *54attached to the IAD report, the defense did not make a "proffer of corruption bias" sufficient to justify a ruling that Smith's Sixth Amendment confrontation right had been violated.
Smith sought to demonstrate, through cross-examination, that Officer Williams had "lied in his Gerstein affidavit"-evidence that Williams would make "false claims under oath in order to justify arrests and criminal charges." Counsel proposed to do so, as we have noted, by showing material inconsistencies (including omissions) between the Gerstein affidavit and witness statements in the IAD report and, potentially, evidence in Barkley's cell phone video possessed by his attorney.
Before pursuing a particular line of corruption bias questioning, "a defendant must lay a foundation sufficient to permit the trial judge to evaluate whether the proposed question is probative of bias."
b. The Defense Proffers
In this case, after a brief continuance granted to the government to file for reconsideration of the trial court's Brady ruling, defense counsel sought to show Smith's corruption bias through three proffers, one written, two oral. In his written proffer,
Limited by these proffers, we must conclude that the trial court did not err in precluding Smith's proposed line of corruption bias questioning, for he failed to proffer facts sufficient to support the required "well-reasoned suspicion" that Officer Williams falsified his Gerstein affidavit, the predicate for Smith's contention.
We consider, first, the referenced cell phone videos. Defense counsel initially appears to have understood from Barkley's attorney that there was a film of virtually the entire Barkley-Williams encounter-a film he continued to believe was "somewhere out in the world." By the time counsel filed Smith's response to the government's motion to reconsider the Brady ruling, however, counsel had narrowed his focus to Barkley's own cell phone video, apparently recognizing and accepting the unavailability of cell phones that other witnesses may have been using to film the ruckus. Smith therefore relied exclusively on Barkley's cell phone (which he believed the U.S. Attorney's office possessed) for evidence that Barkley had not assumed a fighting stance before Officer Williams delivered the strike that felled him.
In his Gerstein affidavit, Officer Williams averred that Barkley's "fist" had been "above his chest" in an "aggressive fighting stance" before Officer Williams delivered the straight strike. The IAD report is consistent with that statement; it concluded that, when Williams ordered Barkley to "back up," Barkley had "plac[ed] his cell phone directly in Officer Williams' face," whereupon Williams tried to "push Barkley back," then Barkley "tried to strike Officer Williams with his fist," at which point the officer struck Barkley. Barkley's own statement attached to the IAD report adds little; he asserted that he had been "videotaping the crash" when the "phone was knocked out of [his] hand." In this fast-moving situation, it is not clear exactly when or how the phone left Barkley's hand. But even if we assume that Barkley was holding it just before he got hit, there is little indication that Barkley could have video-photographed both himself and Officer Williams sufficiently to confirm Smith's contention that the officer had lied because Barkley's hands were not up in an "aggressive fighting stance" immediately before Williams struck him (as stated in the Gerstein affidavit).
We turn, next, to Smith's contentions comparing the Gerstein affidavit with the IAD report. There were, indeed, inconsistencies between the Gerstein affidavit and witness accounts of the incident in the IAD report, particularly regarding whether Officer Williams initially pushed Barkley and whether Barkley's hands were up in surrender mode or in a fighting stance at the time Officer Williams struck him. But those proffered inconsistencies were not enough to generate a "well-reasoned suspicion" that Officer Williams, through his Gerstein affidavit, was corrupt-was intentionally "thwart[ing] the ascertainment of *56truth."
In the Gerstein affidavit, Officer Williams stated under oath (where relevant here):
[1] Officer Williams in a loud clear voice instructed Defendant Barkley to move down the sidewalk once more but he did not comply. [2] Officer Williams began to redirect Defendant Barkley from the crime scene when he began shoving Officer Williams. [3] Officer Williams issued several loud verbal commands to Defendant Barkley to stop and that he was pushing an Officer [Johnson]. [4] Defendant Barkley then took an [sic] aggressive fighting stance, placing his left foot forward, bawled his hands into fists and placed them above his chest[;] his elbows were bent at a forty-five degree angle, as he began to step toward Officer Williams again. [5] Officer Williams, fearing he was about to be struck by Defendant Barkley issued a straight [sic] strike to Defendant Barkley. [6] Defendant Barkley fell to the ground and was placed into handcuffs. [7] Defendant Barkley was subsequently placed under arrest for APO [assault on a police officer] and transported to Howard Hospital by Ambulance ....
The IAD report of the same transaction stated in relevant part:
[1] All the men except Mr. Barkley moved back. Mr. Barkley continued to shout ..., stating that he had his hands up and he was not moving. [2] Officer Williams continued to order Mr. Barkley to back up, [3] at which time, Mr. Barkley responded by placing his cell phone directly in Officer Williams' face. [4] Officer Williams ordered Mr. Barkley to move the phone out of his face, but Mr. Barkley did not comply. [5] Officer Williams then tried to physically push Mr. Barkley back, [6] who responded by jumping back and trying to strike Officer Williams with his fist. [7] Officer Williams then delivered a single strike to Mr. Barkley's face, [8] causing him to fall over backwards and strike his head on the ground.
Antwann Barkley added two statements that were attached to the IAD report.
[1] I was trying to film and an officer smacked my phone out of my hand. [2] After that an unknown person punched me in my face [3] knocking me to the ground[;] [4] my hands were up when this happened.
I were videotaping the crash with my left hand up[;] my phone was knocked out of my hand and I were punched from the back side .... Don't remember anymore.
The IAD report also included statements from four witnesses: three police officers and one civilian-statements we shall compare with the Gerstein affidavit to discern, if possible, the evidence of corruption bias that Smith alleges. Like the government, we perceive only minor inconsistencies, not larger differences, among the Gerstein affidavit, the IAD report, and the eyewitness statements. The comparisons do not manifest discernible lies, let alone corruption bias, attributable to Officer Williams.
First , the Gerstein affidavit said that Officer Williams "instructed" Barkley to leave the scene. Similarly, the IAD report and all three officers said, respectively, that Williams "tried to guide," "directed," and "order[ed]" Barkley to leave-no obviously rough treatment at the outset of the confrontation. The civilian witness made no comparable assessment.
Second , as to what followed next, in the Gerstein affidavit Officer Williams averred *57that Barkley "began shoving" him. Similarly, one officer stated that, initially, Barkley tried to "push hard" on Williams. To the contrary, the IAD report said that, after Barkley failed to comply with Officer Williams's order to remove the phone from his face, Williams was the first to "physically push" Barkley. Moreover, another officer also said that initially Williams "began to push" Barkley. The third officer and the civilian witness did not comment about the first "shove" or "push."
Third , the Gerstein affidavit averred that when Barkley "began shoving" Williams, the officer "began to redirect" (meaning push)
c. The Law
Although the "well-reasoned suspicion" standard does not require defense counsel to prove that the factual allegations proffered are true,
For example, in Longus ,
These decisions addressing alleged bias appropriately considered defense-proffered reliance on extrinsic evidence indicating corruption-a "propensity or willingness" to lie.
The defense proffers in the present case do not reach this "propensity or willingness" threshold, a hurdle that can only be surmounted by a proffer of evidence, extrinsic to the case, tending to demonstrate that the witness is likely a prevaricator.
Neither the first distinction (while a sharp one) nor the second one is, without more, a manifest indication of bias. However, the third distinction, focused on the acceleration of events, reflects a more serious issue of intent and possible prevarication. But even if we assume that Barkley's hands were "up" in surrender mode initially, the two police officers and the civilian witness who gave statements about the "strike" by Williams, all supported the IAD conclusion that Barkley had tried "to strike Officer Williams with his fist" before Williams "delivered [his] single strike" to Barkley's jaw. Moreover, in support of that conclusion, the civilian witness, as well as two of the three police officers (the other did not comment), signed statements that, before Williams delivered his strike, Barkley was in an "aggressive" or "fighting" stance.
The differences between the testimony of Officer Williams and the IAD report and witnesses may reflect a dent in the officer's veracity-his credibility-but they do not, without more, give rise to a "well-reasoned suspicion" of a corruption bias against Barkley. Moreover, our conclusion is reinforced by the very absence of the collusion bias that Smith alleges as bedrock evidence of the alleged corruption.
III. Impeachment of Allegedly False Testimony
Smith contends, next, that the trial court erred in precluding impeachment of Officer Williams after he "falsely and repeatedly" testified that he had been "attacked and acted in self-defense" when striking Barkley.
In addition to attempting to cross-examine Officer Williams for alleged bias, the defense sought to challenge his veracity. As we have observed earlier,
On appeal, Smith cites "a rule of evidential parity: once [a party] opens the door to a specific issue, the [opponent] has the right to respond with contrary evidence on the same issue."
Ordinarily, Smith's point would be well-taken. Moreover, we are not convinced that the trial court would necessarily have launched a distracting mini-trial by permitting cross-examination on a question about Williams's self-defense claim. In light of that reasonable concern, however, the court might have approached counsel's effort more creatively by permitting a voir dire on the issue, outside the presence of the jury, to explore appropriate guidelines for how far the questioning might go without generating jury confusion.
On the other hand, even if the court had permitted defense counsel to ask whether Barkley's hands were "up," and Williams answered "yes," he presumably would have explained that "up" meant (in the words of the Gerstein affidavit) "an aggressive fighting stance" causing him fear followed by the "straight strike."
*61In sum, Smith's argument that the "hands up" question was likely to help the defense amounts to speculation.
Furthermore, the government, in closing argument to the jury, confirmed that, as to his pending investigation, Officer Williams was a resistant witness, and that defense counsel had effectively exposed the officer's equivocal, defensive responses. Said the prosecutor:
At first, Mr. Williams-Off. Williams wasn't so sure about what-exactly what the consequences [of his pending investigation] are, and that's pretty surprising, that he may not grasp some of the severity of what's going on. But when asked on cross-examination about the consequences, he recognized that he could lose his job as an officer of the Metropolitan Police Department; he could face criminal charges for felony assault; and he also could face civil litigation based on the events that occurred in the early morning hours. Now, the reason that this is all important is because the stakes of that investigation leave you to wonder, is there a reason this officer has to change his testimony here, to testify favorably for the government in this case? And that's something that you guys are charged with considering when you go back to that jury room.
From the government's viewpoint, therefore, defense counsel gave the jury good reason to question Officer Williams's credibility, without regard to whether Barkley's hands may have been "up" in surrender-not in attack mode-when Williams struck him.
Finally, from defense counsel's colloquy with the trial court, it is clear that counsel was pushing for a mini-trial of the Barkley incident, not merely for an answer to the "hands up" question. Adding this dynamic into the mix, we cannot gainsay the trial court's discretionary judgment that setting a Barkley inquiry in motion would likely overwhelm the proceeding with a mini-trial.
IV. The Brady Claim
Relying on Brady v. Maryland ,
Although cross-examination of Officer Williams might have mitigated prejudice from late disclosure of the Barkley incident, the defense argument at trial-not sufficiently acknowledged by the court-was that cross-examination for corruption bias would be prejudiced without further investigation of the officer's interactions with Barkley. Thus, the "critical inquiry" here is "whether the tardiness" in disclosing the Barkley incident mid-trial-without opportunity for further investigation-"prevented defense counsel from employing the [ Brady ] material to good effect."
Rather than pursue a lawyer for Williams, however, the government asked for, and received, a brief continuance, beginning shortly after 2:00 p.m., to prepare a motion for reconsideration of the court's Brady ruling, due at 7:00 that evening, before the second day of trial. Defense counsel was ordered to file a response by 12:00 noon the following day, thereby compressing his time to prepare for cross-examination of Officer Williams and delivery of closing argument. Smith contends on appeal that if he had received adequate time to investigate the Barkley incident with the benefit of the IAD report-more than the overnight time he had-his "cross-examination of Officer Williams would have been more effective," and he *63"would have been able to expose Officer Williams' corruption bias."
To be sure, from the moment of the Brady disclosure after opening statements to the jury, defense counsel persistently sought time to investigate, process, and use the information contained in the IAD report. Although counsel made only the one explicit request for a "continuance,"
On the second day of trial, in Smith's reply to the government's motion for reconsideration, counsel outlined the investigation he would have conducted had he been provided the information of Officer Williams's pending investigation "in a timely manner." He said that he would have "interviewed the three lay witnesses" identified by Barkley's attorney, viewed the cell phone video "that directly contradicts Officer Williams' account," attempted to locate "any other cell phone video," and "sought copies of the relevant police reports." Moreover, defense counsel represented that the three witnesses whom Barkley's attorney had identified "dispute[d] Officer Williams' and his fellow officers' account[s]" in the Gerstein affidavit and the IAD report. Based on defense counsel's submissions, therefore, the trial court was undoubtedly aware that he was pleading for further time to conduct his investigation, but the court ruled sua sponte that it would "not continue the case."
All things considered, we must conclude that Smith has preserved, and effectively asserted, a claim that the trial court erred in denying a reasonable midtrial continuance to explore the potential for relevant evidence of corruption beyond that proffered through the Gerstein affidavit and the IAD report. Indeed, courts regularly favor a mid-trial continuance over a dismissal or mistrial when an untimely Brady disclosure can reasonably be remedied in that way.
"We review [a trial court's] decision to deny a continuance for abuse of discretion,"
Smith stresses in his brief that if the government had timely disclosed the Barkley incident (as it could have) well before trial,
For reasons we shall explain forthwith, we shall assume, hypothetically, a successful compromise with the trial court that would have allowed Smith, during a mid-trial continuance, a measure of access to Barkley witnesses theretofore barred by the court's protective order. And, relatedly, we shall assume a satisfactory solution to the court's concern that the proceeding not drift too far into a mini-trial of the Barkley incident. Even in light of these assumptions, however, as we shall elaborate, Smith's claims of trial court error and *65prejudice, taken together, ultimately fail to satisfy Brady's materiality requirement. That is to say, by resolving these issues through assumptions in Smith's favor, and merging those assumptions into the question whether the court's denial of a reasonable continuance would have created a "material" deprivation under Brady , we must answer "no." There was no "reasonable probability" that "the result of the proceeding would have been different"
An enhanced pretrial or midtrial investigation building on the Gerstein affidavit and the IAD report, when coupled with resourceful cross-examination of Officer Williams, would not have "undermine[d] [our] confidence in the outcome,"
We have already observed that the discrepancies between the Gerstein affidavit of Officer Williams and the IAD report (and attendant statements) were insufficient, without more, to generate a "well-reasoned suspicion" that Williams harbored a corruption bias. When we add to those documents the evidence presented in the Barkley proceeding, the totality of the evidence reinforces that conclusion.
In the first place, contrary to defense counsel's surmise, Smith was not prejudiced by counsel's inability to track down Barkley's cell phone video and other video footage for use at trial. According to the judge in the Barkley trial, the "surveillance video from, I assume ... a pharmacy ... doesn't really show very much."
*66As to the testimony concerning Barkley's alleged assaults against Officers Williams and Johnson, the judge appeared to credit testimony that Barkley (in the judge's words) told his friends to "keep your hands up so you're not perceived to be a threat to these officers." Thereafter, according to Officer Williams, he "began to redirect [Barkley]," i.e. , "push him back towards the crime scene tape," acknowledging (contrary to his Gerstein affidavit) that he pushed Barkley first. The judge then found that, in response to that push, Barkley pushed back. Barkley's response was "not ... unreasonable," added the judge, because Barkley had "not really [been] doing anything but mouthing off," and Officer Williams "had no right to put his hands on Mr. Barkley or [ ] push him." Instead, said the judge, the officer should have arrested Barkley "for failure to obey a lawful command." Therefore, concluded the judge, "because the officer ... was the initial aggressor," and Barkley's response was "reasonable," the judge found Barkley not guilty of APO. The acquittal, therefore, turned on the officer's unreasonably "putting his hands on Mr. Barkley" in the first place, not on an inappropriate direct strike in response to Barkley's "aggressive stance" once the situation had escalated in this "very chaotic scene."
It is important to emphasize that, by the time of Officer Williams's testimony at Barkley's trial, approximately nine months after the present proceeding, he had abandoned his Gerstein statement and accepted the finding of the IAD report that he had pushed Barkley before Barkley shoved him. And in further testimony, Williams confirmed that Barkley's followers had "had their hands up, saying Michael Brown, Michael Brown," and that Barkley kept "telling them to keep their hands up" in passive reaction to the police.
Based on the evidence at Barkley's trial, we are convinced that if Smith had been given a reasonable mid-trial continuance to investigate that incident further-including reasonable access to the cell phone and other video evidence in the government's possession, plus reasonable access to cooperative eyewitnesses-there is reason to believe that Smith would have (1) learned that the video material was not likely to help the defense; (2) discovered the essential validity of the IAD report, including evidence that Barkley had faced Officer Williams initially with his hands up; (3) learned that contrary to his Gerstein affidavit, Williams acknowledged he had pushed Barkley before Barkley shoved him; and (4) uncovered that-as corroborated by two officer witnesses and a civilian witness-Barkley had "got into a fighting stance" before the officer jabbed him with the "straight strike."
The question whether denial of a continuance here was "material" under Brady -creating a "reasonable probability" that further investigation would have led to a different result-is an objective inquiry, not merely a question answerable by reference to how a particular trial judge subjectively would have viewed the *67matter.
*****
For the reasons spelled out above, the judgment of the trial court is
Affirmed.
Michael Brown was the young African-American man killed by police in Ferguson, Missouri on August 9, 2014.
See Brady ,
See (Herbert ) Brooks v. United States ,
Gerstein v. Pugh ,
Longus v. United States ,
See In re C.B.N. ,
Coles v. United States ,
In re C.B.N. ,
Longus ,
In re C.B.N. ,
See Longus ,
Vaughn v. United States,
Officer Couch was not present at the Barkley incident but was mentioned, presumably, as a corrupt colluder at Smith's trial.
The defense response cited one of our "corruption bias" decisions, In re C.B.N. ,
According to the government's understanding, and ours as well, Smith's "collusion bias" theory was premised on alleged evidence that police officers, who (he says) commonly cover for each other, colluded with Officer Williams in lies-"all made up [of] almost exactly the same statement" in the IAD report-about how the Barkley incident (and Williams's role in it) unfolded.
Coates v. United States ,
Collusion , Black's Law Dictionary (10th ed. 2014) (defining "collusion"). "The use of dictionary definitions is appropriate in interpreting undefined statutory terms." West End Tenants Ass'n v. George Washington Univ. ,
Vaughn ,
Coates ,
See supra note 21 and accompanying text.
Smith also maintains that the trial court's refusal to permit him to sufficiently pursue corruption bias was not harmless error under Chapman v. California ,
Blades v. United States ,
Coates ,
Melendez v. United States ,
Brown v. United States ,
This proffer is contained in Smith's reply to the government's motion to reconsider the trial court's ruling that the mid-trial Brady disclosure of the pending investigation of Officer Williams was untimely.
See Coates ,
Ostensibly, "redirect" seems rather benign. However, we learned from the transcript of Officer Williams's testimony at Barkley's later (2015) trial for assaulting Officers Williams and Johnson that in police-speak "redirect" means "push." Appellant Smith filed an unopposed motion to supplement the record on appeal with the Gerstein affidavit and the Barkley trial transcript.
Brown ,
It is interesting to note that eleven months later, when Barkley was acquitted at his trial for assaulting two police officers (Williams and Johnson), the trial judge called the scene "very chaotic. ... There were many people. There were a number of officers." In particular, "Officer Williams was really focused on what he thought was [a] potential homicide investigation, that maybe people involved in this crash were witnesses, or involved in a homicide, and that was his focus. He had gotten these people out of the car. He had handcuffed them. He was trying to secure them, and so, his focus was, although he may have been concerned about the other officers in cordoning off the scene, his focus really was to maintain the status quo until the homicide detectives arrive[d]."
Longus ,
Coates ,
In re C.B.N. ,
Longus ,
Coates ,
In using the words "extrinsic evidence," we are not suggesting that the evidence must always be admissible at trial in order for the court to find it sufficient to justify the required well-reasoned suspicion; rather, we use those words to represent facts proffered about the witness from information outside the purview of the trial. This means facts that would satisfy the court that a suspicion of corruption bias was well reasoned and thus warranted cross-examination to that end, leaving it to the court to decide in what manner that information would be conveyed at trial.
In addition to Smith's proffer concerning Barkley's cell phone video discussed above, Smith's proffered information from Barkley's attorney-that Barkley "was not in a fighting position" toward Officer Williams-was inadmissible hearsay and in any event belied by both civilian and police IAD witnesses. Finally, Smith's generalized proffer that other civilian witnesses were present merely reflected IAD evidence, without specifics as to what the witnesses would say in addition to statements attached to the IAD report.
See supra part II.B.
See supra part II.B.1.
See Hager v. United States ,
Johns v. United States ,
See Shorter v. United States ,
See supra part II.B.3.
Perhaps Smith could have argued that, because he was challenging Williams for bias as well as veracity, he could have introduced extrinsic evidence, such as a Barkley witness, in aid of impeachment. But that would have launched the mini-trial that the trial court was determined, with sound reason, to avoid.
See (Markus ) Johnson v. United States ,
(James ) Johnson v. United States ,
See Giglio v. United States ,
See Vaughn ,
See
See supra note 60.
(Herbert ) Brooks ,
United States v. Perez-Ruiz ,
Id . at 9.
Defense counsel made his request for a continuance, on the first day of trial, before his discovery that evening that Barkley's attorney had a cell phone video of the Barkley incident as well as other information indicating the need for further, substantial investigation.
See supra note 65 and accompanying text.
Cf. Miller ,
See, e.g. , United States v. Mota ,
Perez-Ruiz ,
(James ) Johnson ,
Kyle v. United States ,
Perez-Ruiz,
(DeAndre ) Brooks v. United States ,
The Barkley incident was referred to the United States Attorney's Office on the day it happened, December 1, 2014; the IAD report was dated December 9, 2014, and the incident was disclosed to Smith's counsel, along with the report, after opening statements and testimony by the government's first witness on December 17, 2014. Officer Williams testified that he became aware of the investigation well in advance of trial, believing that he had received notification "three days after it happened."
Perez v. United States ,
Vaughn ,
Bagley ,
See Bagley ,
See supra note 35 and accompanying text.
As indicated earlier, Smith's counsel had believed that a video of the Barkley encounter in addition to the one in Barkley's cell phone was "out there in the world," but he did not argue that the U.S. Attorney's office had it or assert the importance of finding it for purposes of Smith's trial.
Neither party provided video footage for the record on appeal.
The trial judge observed that, once Barkley "got into" a "fighting stance," the judge had "no doubt that maybe Officer Williams thought [Barkley] was about to punch him, and maybe [Williams] was completely okay with, you know, giving the straight-line punch."
It is interesting to note that the Barkley trial judge added: "I can say one thing about Officer Williams, he was amazingly honest and, and credible. I found ... Officer Williams very, very credible in many ways. ... Sometimes I think the honesty of, and I appreciated it, of Officer Williams may actually have helped the defense case."
See Bagley v. Lumpkin ,
This court has accepted trial court credibility findings during a Brady analysis when essential to assessing relevance of facts germane to materiality. See, e.g. , Perez ,
(James ) Johnson ,
Concurring Opinion
I concur in the judgment and also fully concur with Judge Ferren's opinion, except with respect to his conclusion that appellant's "theory of the case presented on appeal [was] raised at trial." Ante at 53. My review of the record persuades me that the trial court was not adequately apprised that defense counsel was pursuing not just a collusion-bias theory but also a corruption-bias theory as to Officer Williams. That is another reason why, in my view, the trial court did not err in precluding appellant's proposed line of questioning.
Defense counsel made multiple statements to the court that indicated that counsel wanted to pursue a collusion-bias theory. For example, on December 18, 2014, when the trial court asked counsel to explain "why a pending investigation involving Off. Williams ... is related ... to your ability ... to raise [a] bias issue," defense counsel said, "First, I think there's an issue of collusion[.]" Counsel further explained that "the issue is how the officers protect each other" since "they all make similar statements as to what happened, going as far as characterizing [William's punch to Barkley] as a straight punch." Counsel said that his "overall *68theme" was that "officers-when you know your [fellow] officer is in trouble and he's under an investigation, these officers get together in collusion and they prepare their story." Counsel added that "it's about establishing that this unit, this is what they do when they are faced up against allegations of excessive force," i.e., "in that incident where [an arrestee] was hurt, they all ma[k]e up almost the exact same statement."
During the further proceedings on December 18, 2014, counsel also told the court that Barkley's attorney had told him that Barkley was not in a fighting position. But counsel then went on to argue that the purpose of the questions he wanted to ask Williams about the incident was to establish "the nature of the injuries" Barkley suffered and to show that this was "not just a run-of-the-mill investigation" and not a "big deal." Again, counsel did not say that the purpose was to show that Williams was a corrupt officer.
In appellant's "Reply to Government's Motion to Reconsider" its Brady ruling, defense counsel perhaps came close to urging the theory he advances on appeal, but even there the theory was tied to a collusion theory. That pleading asserted, "there is evidence of collusion here. If Officer Williams lied about the incident, and colluded with his fellow officers to support his false version , then he has corrupted the judicial process." In the same vein, counsel's pleading emphasized that Williams might be facing charges of aggravated assault or assault with significant bodily injury and stated that Williams's "conduct, and that of his partner, [was] critical to the defense theory." Defense counsel's presentations never advanced the argument that counsel wanted to cross-examine to establish that Williams gave a false account of what happened during the Barkley incident and, on that basis alone, was shown to be a corrupt cop who was not credible regarding his claim that Smith *69threw a gun into a yard while being chased by police.
The various statement's by appellant's trial counsel were a far cry from appellant's argument now that "[t]rial counsel proposed to demonstrate corruption bias by eliciting that Officer Williams lied in his Gerstein affidavit, thus acting to obstruct the discovery of truth by manufacturing or suppressing his own testimony."
On December 17, too, counsel had asserted to the court that Officer Couch may have "kn[o]w[n] about Off. Williams's investigation and may have been trying to cover for him." He told the court that he contemplated a "simple bias cross" focused on Couch's possibly "currying favor" on behalf of Williams. Counsel said that with earlier disclosure about the investigation pending against Officer Williams, he might also have "gone down the road that Mr. Williams is actually the person that assaulted Mr. Smith."
Counsel explained that there was "a sworn affidavit that Damien Williams swore to in terms of the Gerstein that he made basically laying out the facts of that underlying case, and ... there are things that contradict that." Shortly thereafter co-counsel interjected that the issue was "also about whether or not [Williams] lied in the Gerstein application, whether or not the officers that were part of that event on December 1st colluded in the lies." These, co-counsel said, were "core issues of credibility." Co-counsel did not mention corruption bias. The trial court said that it would permit counsel "to set up this theory that ... Off. Couch cover[ed] up[ ] because he's partners with ... Off. Williams[.]" On December 19, appearing to follow up on co-counsel's comments, counsel told the court that he wanted to cross-examine Williams not just as to bias (presumably, collusion bias) but also as to "his veracity as he started to speak about the underlying incident regarding self-defense." The court responded that there was "sufficient information in the record from which the jury can judge the credibility of this officer."
As Judge Ferren's opinion acknowledges, defense counsel may argue that there is "a dent in [a witness's] veracity-his credibility," ante at 59, and that there are inconsistencies between a witness's account of a "frenzied event" and the account given by other individuals, ante at 53-61, without thereby necessarily arguing that the witness has the propensity to lie that inheres in a claim of corruption bias.
I read the court's statements in its ruling denying appellant's motion for a new trial as confirmation that counsel's argument led the court to understand that counsel was pursuing a theory of collusion bias. The court stated at page 14 of its order that it "did allow counsel to pursue a corruption bias theory although the theory was mostly speculative." "Speculative" was the word the court had used during the proceedings on December 18 in response to defense counsel's collusion theory. The court explained that there was not "support in the record for allowing [counsel] to use the claim of how all the officers in the two separate cases that are not related are backing each other up," but, nevertheless, noted that counsel had made his point in cross-examining Officer Couch and also said that it would permit the defense to examine Officer Couch again.
Dissenting Opinion
The opinion for the court holds that the trial court permissibly precluded cross-examination of Officer Damien Williams about whether Officer Williams made false statements in a sworn affidavit in connection with an unrelated matter. I respectfully dissent.
I.
The opinion for the court lays out the evidence at trial and the procedural context of the ruling at issue. Ante at 48-51. I agree that Mr. Smith adequately preserved a challenge to that ruling. Ante at 53. I do not agree, however, with the court's holding that the ruling was permissible. Ante at 53-61.
The Confrontation Clause of the Sixth Amendment "guarantees a defendant in a criminal case the right to confront witnesses against him." Longus v. United States ,
Mr. Smith sought to cross-examine Officer Williams about an unrelated incident in which Officer Williams arrested a man named Antwann Barkley. Mr. Smith contended that Officer Williams's sworn statements about the incident demonstrated Officer Williams's corruption bias, i.e. , that Officer Williams had shown a "willingness to obstruct the discovery of the truth by manufacturing or suppressing testimony or otherwise to thwart the ascertainment of truth in a judicial proceeding." Coates v. United States ,
*70Such conduct "bears directly on the veracity of the wrongdoer in testifying at a trial." Longus ,
We have held that an attorney seeking to cross-examine a witness about corruption bias "need only proffer some facts which support a genuine belief that the witness is biased in the manner asserted or, lacking such facts, at least a well-reasoned suspicion of bias rather than an improbable flight of fancy." Coates ,
The trial court has discretion to impose reasonable limits on cross-examination. See, e.g. , Brown v. United States ,
Under this framework, I conclude that the trial court erred in precluding cross-examination of Officer Williams on the theory that Officer Williams intentionally made false statements in a sworn affidavit about Mr. Barkley's arrest. The United States has not disputed that submitting an intentionally false affidavit would demonstrate corruption bias. Nor has the United States adequately disputed that Mr. Smith was required to demonstrate only a "well-reasoned suspicion" in order to have a sufficient factual basis to cross-examine Officer Williams about corruption bias. It was not until oral argument that the United States advanced the argument that there is "tension" between the "well-reasoned suspicion" standard this court applied in cases such as Coates and the approach taken in cases such as Sherer v. United States ,
*71In my view, the information proffered by defense counsel at trial sufficed to permit defense counsel to plausibly argue that Officer Williams's sworn affidavit about Mr. Barkley's arrest was knowingly false. According to the affidavit, Officer Williams "began to redirect" Mr. Barkley "when [Mr. Barkley] began shoving Officer Williams," at which point Mr. Barkley adopted a fighting stance and approached Officer Williams. Also according to the affidavit, it was at that point that Officer Williams struck Mr. Barkley. In contrast, defense counsel proffered information indicating that Mr. Barkley had not taken any threatening actions at the time that Officer Williams struck Mr. Barkley. Specifically, defense counsel pointed to: (1) Mr. Barkley's account of the incident as reflected in the IAD Report, which states that Mr. Barkley had been trying to photograph the incident when an officer knocked his cell phone out of his hand and someone punched him in the face from behind; and (2) statements by Mr. Barkley's attorney that three witnesses disputed Officer Williams's account and that video footage from Mr. Barkley's cell phone was inconsistent with the police version that Mr. Barkley dropped his cell phone and assumed a fighting stance.
The information proffered by defense counsel did not definitively establish that Officer Williams intentionally submitted a false affidavit, nor did it necessarily demonstrate that Officer Williams probably did so. But the proffered information did reasonably support the line of cross-examination that defense counsel sought to undertake. Cf., e.g. , Longus ,
The United States argues, however, that this court's cases have required the trial court to permit cross-examination as to a witness's alleged corruption bias only where the government had concluded that the witness had in fact acted corruptly. That proposed limitation is not consistent with either our articulation or our application of the "well-reasoned suspicion" test. See, e.g. , Longus ,
In denying Mr. Smith's new-trial motion, the trial court expressed concern that permitting cross-examination about Mr. Barkley's arrest would have led to a "trial-within-a-trial" about that incident. Although that is a legitimate consideration, we have held that such considerations "cannot justify a curtailment [of bias cross-examination] which keeps from the jury relevant and important facts bearing on the trustworthiness of crucial testimony." Coates ,
For these reasons, I would hold that the trial court erred by precluding cross-examination of Officer Williams as to whether the sworn affidavit concerning Mr. Barkley's arrest was intentionally false. I am not persuaded by the contrary conclusion of the opinion for the court. First, the opinion for the court states that the differences among the various accounts of Mr. Barkley's arrest are "minor" and therefore "do not necessarily indicate that someone is lying." Ante at 56, 57. I do not view the differences between Officer Williams's account *72and the defense proffer as minor. On Officer Williams's account, Mr. Barkley apparently made first physical contact, Mr. Barkley shoved Officer Williams, and Mr. Barkley took an aggressive fighting stance before Officer Williams struck Mr. Barkley. On the account proffered by the defense, Mr. Barkley apparently did not initiate physical contact and had taken no threatening actions before he was struck. The differences between those accounts are both stark and of critical significance. On Officer Williams's account, Mr. Barkley was guilty of assault on a police officer, but on the defense's account, Mr. Barkley was the victim of an unjustified use of force. It is true, as the opinion for the court notes, that the differences between the two accounts "do not necessarily indicate that someone is lying." Ante at 57 (emphasis added). But that is not the applicable standard, and the differences between the two accounts in my view provided an ample basis for defense counsel to cross-examine Officer Williams about whether Officer Williams was lying in the affidavit.
Second, the opinion for the court seems to weigh all of the information before the trial court, to determine how strongly that information considered as a whole supported a conclusion that Officer Williams had intentionally made false statements in the affidavit. Ante at 58-59. That is not our function, nor was it the function of the trial court. Rather, the proposed cross-examination should have been permitted as long as defense counsel proffered "some facts" supporting a "genuine belief" or "well-reasoned suspicion." Coates ,
II.
Mr. Smith argues that the preclusion of corruption-bias cross-examination in this case requires reversal under the constitutional harmless-error standard of Chapman v. California ,
I cannot say that the preclusion of corruption-bias cross-examination in this case was harmless beyond a reasonable doubt. "[C]ross-examination seeking to ferret out bias takes on enhanced significance where the credibility of the key government witness is in issue."
*73Cunningham v. United States ,
The remaining evidence against Mr. Smith was not overwhelming. The on-site photographs of the handgun were taken by Officer Williams on his cell phone, rather than by crime-scene personnel. Officer Williams and Officer Couch both testified to seeing Mr. Smith throw the handgun over the fence with his left hand, but the parties stipulated to evidence suggesting that Mr. Smith was in fact right-handed. No corroborative physical evidence, such as fingerprints or DNA, identified Mr. Smith as possessing the handgun. Moreover, defense counsel also attempted to impeach Officer Couch's testimony, by suggesting that Officer Couch had unjustifiably injured Mr. Smith in the course of effectuating the arrest in this case.
Because the trial court precluded the cross-examination at issue, we cannot be sure what would have happened at trial if the cross-examination had been permitted. Nevertheless, the United States bears the "heavy burden" of demonstrating beyond a reasonable doubt that the precluded cross-examination would not have affected the verdict in this case. Coleman v. United States ,
JUDGMENT
This case came to be heard on the transcript of record, the briefs filed, and was argued by counsel. On consideration whereof, and as set forth in the opinion filed this date, it is now hereby
ORDERED and ADJUDGED that the trial court's judgment is affirmed.
Reference
- Full Case Name
- Shawn SMITH, Appellant, v. UNITED STATES, Appellee.
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