William McCorkle and Andre Clinkscale v. United States , 100 A.3d 116 ( 2014 )

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DISTRICT OF COLUMBIA COURT OF APPEALS
Nos. 11-CF-1667 and 11-CF-1668
WILLIAM MCCORKLE and ANDRE CLINKSCALE, APPELLANTS,
V.
UNITED STATES, APPELLEE.
Appeals from the Superior Court
of the District of Columbia
(CF1-17877-08 and CF1-5414-09)
(Hon. Lynn Leibovitz, Trial Judge)
(Argued February 19, 2014 Decided September 25, 2014)
Jessica Brand, Public Defender Service, with whom James Klein and Samia
Fam, Public Defender Service, were on the brief, for appellant William McCorkle.
Andrew R. Szekely for appellant Andre Clinkscale.
James M. Perez, Assistant United States Attorney, with whom Ronald C.
Machen Jr., United States Attorney, and Elizabeth Trosman, Elizabeth H. Danello,
Jennifer Kerkhoff, and J.P. Cooney, Assistant United States Attorneys, were on the
brief, for appellee.
Before WASHINGTON, Chief Judge, FISHER, Associate Judge, and RUIZ,
Senior Judge.
Opinion for the court by Associate Judge FISHER.
Concurring opinion by Chief Judge WASHINGTON at page 21.
2
Concurring opinion by Associate Judge FISHER at page 23.
Concurring opinion by Senior Judge RUIZ at page 26.
FISHER, Associate Judge: On May 31, 2008, Duane Hough, Johnny Jeter,
and Anthony Mincey were shot to death after an early-morning altercation at a gas
station. Appellants William McCorkle and Andre Clinkscale were later indicted
on a variety of charges stemming from that triple homicide and their subsequent
attempts to obstruct justice. After a jury trial, McCorkle was convicted on fourteen
charges and sentenced to 144 years of incarceration. The jury found Clinkscale
guilty on seven charges, and he was later sentenced to 105 years in prison. On
appeal, both appellants contend that the first prong of the Laumer test for admitting
statements against penal interest,1 which requires a trial court to assess the veracity
of the witness who has offered to repeat the statement in court, unconstitutionally
invades the province of the jury and has been implicitly overruled. Finding no
reversible error on this or other grounds raised, we affirm.
I. Factual Background
1
See Laumer v. United States, 409 A.2d 190 (D.C. 1979) (en banc).
3
At trial, the government‟s case primarily focused on events that took place
shortly after 4:00 a.m. on May 31, 2008. An altercation began that morning after
McCorkle cut in front of Hough at the attendant‟s window of a gas station. The
conflict escalated, and six eyewitnesses testified that they saw the shooting. A
firearms expert determined that two different semi-automatic pistols were used in
the murders, and medical examiners testified that Hough had been shot seventeen
times, Jeter nine times, and Mincey eleven times. None of the witnesses, including
McCorkle, said that they saw the victims with any weapons that morning. No guns
belonging to the victims were found at the scene.
Harlenia Ray, a teenage girl from the neighborhood, testified in support of
one of the obstruction of justice charges. She said that shortly after she was
questioned by police, she received a visit from McCorkle and another man. They
called her into a pickup truck and McCorkle told her, “don‟t say nothing” to the
detectives.
McCorkle admitted that he shot Hough and Jeter, but claimed that he acted
in self-defense. He took the stand and recounted that, after he provoked Hough‟s
ire by cutting the line, he made every effort to calm the other man down and
eventually tried to leave the gas station to prevent trouble. McCorkle said that
4
Hough followed him as he tried to walk away toward Holbrook Street and that
Hough‟s associates cut him off with their vehicle near the exit from the gas station
“on Holbrook Street closer to [Morse].” Hough was still outside the vehicle.
When Hough and the driver made reaching motions, McCorkle thought they were
reaching for firearms, so he pulled his semi-automatic pistol and began firing.
McCorkle was in the street, with his back to the gas station lot, when he
commenced firing at Hough. McCorkle said that he heard other shots and “thought
the dude was shooting at me.” McCorkle testified that, as he fled, he looked back
and saw a friend of his, Trey Joyner, standing in front of Hough‟s black SUV and
firing into it. By the time of trial, Trey Joyner was dead.
Clinkscale‟s defense was that he was not present and that “all acts attributed
to him by the Government or the witnesses were committed by Trey Joyner.” In
addition to relying on McCorkle‟s testimony to this effect, Clinkscale sought to
introduce the testimony of Tywon Hager, who was prepared to testify that Trey
Joyner had admitted participating in the triple homicide, contrary to his penal
interest. During an evidentiary hearing at which Mr. Hager gave his proffered
testimony, McCorkle also requested that the statement of Trey Joyner be admitted.
After the hearing, the trial court found that Hager was not credible and that the
5
defendants therefore had failed to establish that Mr. Joyner “made the reported
statement.”
II. The Laumer Test for Admitting Statements Against Penal Interest
Both appellants contend that the first prong of our test for admitting
statements against penal interest, announced in Laumer v. United States, 409 A.2d
190 (D.C. 1979) (en banc), has been implicitly invalidated. They assert that “[i]n
the three-and-a-half decades since Laumer was decided, the Supreme Court and
this court have increasingly recognized that rules of evidence that allow a judge,
rather than the jury, to assess the credibility of a live witness as a basis for
excluding his fact testimony are improper.” They claim that the “first Laumer
prong unconstitutionally limits the criminal defendant‟s right to call witnesses in
his favor and present a complete defense, and further impinges on his right to trial
by jury.” See U.S. Const. amends. V, VI. They therefore argue that the trial court
erred when it excluded Tywon Hager‟s testimony based on its own assessment of
his credibility.
A. The First Prong of Laumer
6
“„Hearsay‟ is any out-of-court statement „offered in evidence to prove the
truth of the matter asserted.‟” Martin v. United States, 991 A.2d 791, 797 (D.C.
2010). Although “generally not admissible at trial[,]” Laumer, 409 A.2d at 194,
hearsay “will be admissible if it falls under an exception.” Dutch v. United States,
997 A.2d 685, 688 (D.C. 2010). Such exceptions “provide for the admission of
statements because they exhibit certain indicia of reliability that overcome or
outweigh the normal risks associated with the inherent dangers of hearsay
statements.” Laumer, 409 A.2d at 194.
Historically, our common law did not contain a hearsay exception for
statements against penal interest. See, e.g., United States v. Alexander, 430 F.2d
904, 906 (D.C. Cir. 1970) (“declin[ing] appellant‟s invitation” to adopt the
exception for hearsay statements against penal interest). However, in Laumer v.
United States, this court, sitting en banc, held that the “total rejection of
declarations against penal interest . . . keeps reliable and probative evidence from
the trier of fact[.]” 409 A.2d at 197. Nevertheless, “not all confessions are
admissible, and we exclude those confessions that are inherently untrustworthy.”
Id. Therefore, in adopting a hearsay exception for declarations against penal
interest, we preferred the approach of the federal rule because “it not only
abolishes the doctrine that totally bars declarations against penal interest from
7
evidence, but also assures that proffered declarations against penal interest contain
those indicia of reliability that are consistent with the rationale behind other
hearsay exceptions.” Id. at 199.
When assessing whether a statement fits within the declaration against penal
interest exception, we require a “trial judge to undertake a three-step inquiry to
ascertain (1) whether the declarant, in fact, made a statement; (2) whether the
declarant is unavailable; and (3) whether corroborating circumstances clearly
indicate the trustworthiness of the statement.” Id. at 199. When applying the first
prong of the test to determine “whether the declarant in fact made the proffered
statement, the trial court‟s focus is not on the truth of the declaration, but on the
veracity of the witness who repeats the declaration.” Id. “If the trial judge
concludes that no statement was made, then no basis exists for any further inquiry,
and the proffered testimony should be excluded.” Id.
The test we adopted was largely based on the federal hearsay exception for
statements against penal interest, which, at the time of Laumer, required that the
declarant be unavailable and that “corroborating circumstances clearly indicate the
trustworthiness of the statement.” Fed. R. Evid. 804 (b)(3). Although the first
prong of Laumer is not explicitly set forth in the federal hearsay exception, federal
8
appellate courts have historically been split over whether a trial court should assess
the credibility of the in-court witness as part of its corroborating circumstances
analysis.2
Recently, however, in conjunction with an amendment to the Federal Rules,
the Advisory Committee on Evidence Rules adopted the following commentary:
“[T]he credibility of the witness who relates the statement is not a proper factor for
the court to consider in assessing corroborating circumstances. To base admission
or exclusion of a hearsay statement on the witness‟s credibility would usurp the
jury‟s role of determining the credibility of testifying witnesses.” Advisory
Committee Note on the 2010 Amendments to Fed. R. Evid. 804 (b)(3),
28 U.S.C.A., p. 338 (West 2012). Thus far, only the Seventh Circuit has explicitly
2
Compare, e.g., United States v. Hendrieth, 922 F.2d 748, 750 (11th Cir.
1991) (the trial court may consider in-court witness‟s motive to misrepresent the
matter), and United States v. Rasmussen, 790 F.2d 55, 56 (8th Cir. 1986) (“The
trustworthiness of a statement against the declarant‟s penal interest is determined
by analysis of two elements: „the probable veracity of the in-court witness, and the
reliability of the out-of-court declarant.‟”) (quoting United States v. Alvarez, 584
F.2d 694, 701 (5th Cir. 1978)), with, e.g., United States v. Seeley, 892 F.2d 1, 3
(1st Cir. 1989) (“the credibility of an in-court witness is ordinarily a matter for the
jury”), United States v. Katsougrakis, 715 F.2d 769, 777 (2d Cir. 1983)
(“preliminary assessment of the in-court witness‟ credibility would . . . be a
usurpation of the jury function”), and United States v. Atkins, 558 F.2d 133, 135
(3d Cir. 1977) (“Rule 804(b)(3) directs the court to the trustworthiness of the
declarant, not of the witness.”).
9
acknowledged this revised commentary and changed its stance. See United States
v. Henderson, 736 F.3d 1128, 1131 (7th Cir. 2013) (“The question of whether the
declarant made the statement implicates the testifying witness‟s credibility; making
credibility determinations is a role reserved to the jury.”).3 It now appears that the
first prong of Laumer, which requires the trial court to assess the credibility of the
in-court witness as part of the test for admitting statements against penal interest,
represents a minority view.4
3
The authority of an Advisory Committee‟s Notes has been debated.
Compare, e.g., Tome v. United States, 513 U.S. 150, 160 (1995) (Kennedy, J.,
plurality opinion) (“We have relied on those well-considered Notes as a useful
guide in ascertaining the meaning of the Rules.”), with, e.g., id. at 167-68 (Scalia,
J., concurring in part and concurring in judgment) (“I have previously acquiesced
in, and indeed myself engaged in, similar use of the Advisory Committee Notes.
More mature consideration has persuaded me that is wrong . . . . [T]he
promulgated Rule says what it says, regardless of the intent of its drafters.”
(citations omitted)).
4
State supreme courts are divided on this issue as well. Compare, e.g.,
Woods v. State, 696 P.2d 464, 467 (Nev. 1985) (“In determining whether the
declarant in fact made the proffered statement, the trial court may consider the
credibility of the [in-court] witness.”) (citing Laumer), and State v. Stridiron, 777
N.W.2d 892, 902 (N.D. 2010) (“the district court should analyze . . . the credibility
of the in-court witness”), with, e.g., Carpenter v. State, 785 So. 2d 1182, 1203 (Fla.
2001) (“[T]he credibility of an in-court witness who is testifying with regard to an
out-of-court declaration against penal interest is not a matter that the trial court
should consider in determining whether to admit the testimony concerning the
out-of-court statement.”), Gray v. State, 796 A.2d 697, 706 (Md. 2002) (“There is
nothing . . . in any of our cases . . . that in a jury trial specifically permits a trial
court to make a factual assessment of the trustworthiness of the in-court relator of
the out-of-court declaration that exculpates a defendant.”), and Commonwealth v.
(continued…)
10
B. Revisiting a Prior Decision
“The rule is fundamental in our jurisprudence that „no division of this court
will overrule a prior decision of this court.‟” Washington v. Guest Servs., Inc., 718
A.2d 1071, 1075 (D.C. 1998) (quoting M.A.P. v. Ryan, 285 A.2d 310, 312 (D.C.
1971)). “[S]uch [a] result can only be accomplished by this court en banc.”
M.A.P., 285 A.2d at 312. In this case appellants go one step further by asking a
division of this court to declare that one of our landmark en banc decisions is no
longer good law.
Of course, “a „panel cannot blindly follow [a] prior ruling in the face of
clearly controlling doctrine later enunciated by the Supreme Court.‟” Teoume-
Lessane v. United States, 931 A.2d 478, 494 (D.C. 2007) (alteration in original)
(quoting Frendak v. United States, 408 A.2d 364, 379 n.27 (D.C. 1979)).
Moreover, a panel is not obliged “„to follow, inflexibly, a ruling whose
philosophical basis has been substantially undermined by subsequent Supreme
Court decisions,‟ or by our own supervening rulings en banc.” Lee v. United
(…continued)
Drew, 489 N.E.2d 1233, 1241 n.11 (Mass. 1986) (“[T]he credibility of the witness
is a question for the jury.”).
11
States, 668 A.2d 822, 828 (D.C. 1995) (citation omitted) (quoting Frendak, 408
A.2d at 379 n.27); see Thomas v. United States, 731 A.2d 415, 421 (D.C. 1999)
(“[T]he „philosophical basis‟ of Procter and Brewster has been substantially
undermined by Muniz and its progeny.”). Nevertheless, “[t]his court will not
lightly deem one of its decisions to have been implicitly overruled and thus
stripped of its precedential authority.” Lee, 668 A.2d at 828.
C. Analysis
Appellants contend that subsequent opinions of this court and the Supreme
Court have invalidated the first prong of Laumer. They are mistaken. A division
of this court addressed this same question in Gilchrist v. United States, concluding
that the appellant had cited “no decision from the Supreme Court or this court
explicitly declaring that a trial court which determines the credibility of a witness,
offered to repeat a declarant‟s statement against penal interest, violates the Fifth
and Sixth Amendments to the Constitution.” 954 A.2d 1006, 1013 (D.C. 2008).
Furthermore, we explained, “not one of the cited cases overrules the Laumer test.”
Id.
12
Appellants present us with no cases from either court addressing this
question since Gilchrist was decided. They assert instead that the opinion in
Gilchrist is not binding on this panel because the issue was considered under plain
error review and the court‟s analysis of the first prong of Laumer is dictum in any
event. But regardless of whether that discussion is dictum or an alternative
holding, it demonstrates that three other judges of this court were not persuaded
that the rationale of Laumer has been undermined. The comment in the advisory
committee note to the amended federal rule has been issued since Gilchrist was
decided, but we do not consider that development sufficient to undermine the
analytical framework of one of our en banc holdings. Just as the Gilchrist court
explained, without a Supreme Court decision or a supervening en banc ruling from
this court that undermines it, Laumer remains good law.5
5
Appellants cite several cases where we have commented on the danger of
a trial court “usurp[ing] the jury‟s prerogative of determining credibility.” Boyd v.
United States, 473 A.2d 828, 832 (D.C. 1984). See, e.g., Brisbon v. United States,
894 A.2d 1121, 1130 (D.C. 2006) (trial court erred in finding that “appellant‟s
longtime friend” was “not a reliable witness” to testify about an excited utterance
that met the foundational requirements for admission); Newman v. United States,
705 A.2d 246, 259 (D.C. 1997) (highlighting the distinction between evaluating the
reliability of a proffer and evaluating the reliability of the witness because the
question of the witness‟s credibility was for the jury to decide). Even though
appellants are making similar constitutional objections to the first prong of
Laumer, the situation here is very different, where the trial court was bound to
follow the dictates of an en banc opinion of this court. In Brisbon, by contrast, the
trial court added its own credibility assessment to the test for admitting an excited
utterance.
13
Judge Leibovitz assessed the credibility of Mr. Hager as part of her
admissibility determination, as Laumer instructs her to do, and made a well-
supported finding that the proffered hearsay statement was never made.6 Because
the statement did not meet one of Laumer’s foundational requirements, appellants
had no right to present this evidence to the jury. See Taylor v. Illinois, 484 U.S.
400, 410 (1988) (“The accused does not have an unfettered right to offer testimony
that is incompetent, privileged, or otherwise inadmissible under standard rules of
evidence.”).
III. The Initial Aggressor Instruction
In a supplemental pro se brief, appellant McCorkle argues that the trial court
erred when it declined to provide what he terms the “Initial Aggressor” instruction.
6
Mr. Hager had a significant record of impeachable convictions and failed
to mention the exculpatory declaration in a previous lengthy statement to
investigators. He also had a close relationship with the accused and knew that
Mr. Joyner was dead. Although it ruled that Mr. Hager‟s testimony was incredible,
the trial court found that the other two prongs of Laumer were met. Joyner, the
declarant, was dead and therefore unavailable, and there were corroborating
circumstances to support a claim that he was the second shooter.
14
What he really asked for was an instruction explaining when an initial aggressor
may regain his right to self-defense by withdrawing from a conflict.
The jury was told that “[i]f you find that the defendant was the aggressor, he
cannot rely upon the right of self-defense to justify his use of force.” See Criminal
Jury Instructions for the District of Columbia, No. 9.504(A) (5th ed. rev. 2013).
Judge Leibovitz clarified that “[m]ere words without more by the defendant . . . do
not constitute aggression.” See id. This instruction was appropriate because there
was ample evidence, including McCorkle‟s own testimony, that he began the
shooting.
A supplement to the standard “initial aggressor” instruction, entitled
“Deadly Force Where Defendant Withdraws,” explains that “if one who [is the
aggressor] . . . later withdraws . . . in good faith, and communicates that
withdrawal by words or actions, s/he may use deadly force to save himself/herself
from imminent danger of death or serious bodily harm.” Criminal Jury
Instructions for the District of Columbia, No. 9.504(C) (5th ed. rev. 2013)
(brackets in original). McCorkle requested this instruction, but Judge Leibovitz
declined to give it, explaining that “no version of the facts . . . supports a theory of
withdraw[al] here[.]”
15
McCorkle argues that he was entitled to the withdrawal instruction because
he “made every attempt to calm Hough down and disengage from the verbal
altercation. Failing this, [he] physically disengaged from the altercation when he
apologized and, after attempting to shake Hough‟s hand, left the BP gas Station
and set off on foot in the direction of his home.” However, he acknowledges that
“[i]t matters little who the initial aggressor was at the BP Gas Station because the
shooting did not take place there.” McCorkle‟s statement echoes Judge
Leibovitz‟s analysis. She declined to provide the withdrawal instruction because,
while McCorkle was walking away, there was “as yet, no conflict from which to
withdraw or physical confrontation as to which the self-defense issue has arisen.”
She therefore “conclude[d] that there is no basis for the withdrawal instruction on
those facts, taking them in the light most favorable to Mr. McCorkle.”
Judge Leibovitz added that “the only other moment where arguably
withdrawal could even be discussed is when, according to Mr. McCorkle, he has
shot and killed two people in self-defense, they are both visibly and certainly dead,
and he . . . is now fleeing.” We agree that there was no factual basis for a
withdrawal instruction in this case. See Jones v. United States, 999 A.2d 917, 922
16
(D.C. 2010) (“A trial court „may properly decline to give [a defendant‟s requested]
instruction where there is no factual or legal basis for it.‟” (alteration in original)).
In any event, the failure to give the withdrawal instruction would only matter
if the initial aggressor instruction, as given, caused the jury to believe that
McCorkle forfeited his right to act in self-defense by sparking the verbal conflict at
the gas station attendant‟s booth. But there is no reason to believe that the
instruction would have had this effect. The jury was told that “mere words without
more . . . do not constitute aggression.” Moreover, none of the parties argued that
the violence began before McCorkle started walking away. Because the initial
aggressor instruction was properly given and there was no factual basis for a
withdrawal instruction, we reject appellant‟s argument.
IV. Other Claims
A. The New Year’s Eve Assault
During his direct testimony, McCorkle said that Harlenia Ray was “like a
little cousin” to him and that they were on “[g]ood terms. We were like family.”
On cross-examination, he discussed his possession of various firearms over time
17
and said that he had traded the semi-automatic pistol he used in the homicide for a
revolver. McCorkle then denied that he had ever had a revolver prior to the
murders. The government asked whether he possessed a revolver on “New Year‟s
Eve, December 31st, 2007, into January 1st, 2008?” McCorkle said he did not and,
after his counsel‟s objection was overruled, 7 the prosecutor engaged in the
following questioning:
Q: You did not have a revolver?
A: No.
Q: You did not point that revolver at anybody?
A: No.
Q: You did know Harlenia Ray, correct?
A: Yes. Precious.
Q: And on New Year‟s Eve, she was 14 years old.
7
McCorkle moved in limine to preclude the government from asking
Harlenia Ray, as it did in the grand jury, about an assault on New Year‟s Eve 2007
in which he allegedly pointed an unloaded pistol at her and pulled the trigger. The
trial court agreed, ruling that it was “an extremely inflammatory incident with very
low probative value.” When the government mentioned New Year‟s Eve 2007
during its cross-examination of McCorkle, his counsel immediately objected to the
question‟s relevance. The court subsequently ruled that, “to the extent that
Counsel is not planning to ask more questions . . . about what happened on New
Year‟s Eve,” the testimony was relevant because McCorkle‟s “whole explanation
about how he came to have a revolver [w]as closely associated with his
explanation of [which] gun he had the night of [the triple homicide.]”
18
A: Thirteen or 14.
McCorkle subsequently moved for a mistrial, arguing that the government “asking
about Harlenia Ray in the same line of questioning leaves the impression that he
pointed a revolver at [her] on New Year‟s Eve.”
We agree with the trial court that “it‟s not in the record that the gun was
being pointed at Harlenia Ray.” The jury had not heard the discussion of the
motion in limine, see supra note 7, and without this background information, the
meaning of this exchange might not have been entirely clear. Without this context,
the jury could have been left with varying impressions, including that Harlenia Ray
was a witness to an assault. We are at a loss to understand what legitimate point
the prosecutor was attempting to make by identifying Harlenia and referring to her
age. Moreover, the questioning about whether McCorkle had a revolver six
months before the shootings had tangential probative value, at best, in light of
other evidence. But, even assuming that the questions and answers had some
prejudicial effect, the jury heard four weeks of testimony that included evidence
that McCorkle randomly shot at a parked car on another occasion, assaulted and
threatened witnesses in the case, and acknowledged possessing multiple firearms.
19
In these circumstances, the limited reference to the New Year‟s Eve 2007 assault
did not constitute reversible error.
B. The Death of Mr. Joyner
Clinkscale additionally argues that the trial court abused its discretion when
it prevented him from eliciting testimony that Trey Joyner was killed by law
enforcement officers. He notes that, “[t]hroughout the trial, there was a pervasive
air of intim[id]ation of witnesses” and, “[i]n this context, the mysterious reference
to the death of Mr. Joyner raised many questions.” He therefore contends that
there was a “real risk of prejudice raised by the jury being left to speculate wh[y]
such a central figure to the case was deceased with no explanation as to the cause
of his death.”
The government responds that it was irrelevant how Joyner died, particularly
because Clinkscale agreed to the following limiting instruction: “[T]here is no
evidence, information or suggestion that either of the defendants in this case had
20
anything to do with the death of Trey Joyner.” This admonition was repeated
during the final instructions to the jury.8
The circumstances of Trey Joyner‟s death were unrelated to any of the
crimes charged here. Any remote possibility that the jury would have blamed
appellants for killing him was dispelled by the trial court‟s instruction. We see no
merit in Clinkscale‟s claim that this instruction, to which he agreed, did more harm
than good. In fact, it is fanciful to think that the instruction would cause jurors to
speculate in the exact manner it was designed to prevent.
V. Conclusion
The judgments of the Superior Court are hereby
Affirmed.
8
The trial court instructed that “[y]ou have heard evidence that a person
named Trey Joyner is no longer alive. There is no evidence that either defendant
or anyone associated with either defendant ever played any role in Mr. Joyner‟s
death.” Perhaps it would have been clearer to say: “Neither defendant nor anyone
associated with them had anything to do with the death of Mr. Joyner.”
21
WASHINGTON, Chief Judge, concurring: While I concur in the decision
affirming the trial court‟s decision, because Laumer is still controlling law to
which this panel is bound, I respectfully write separately to express my concerns
about the continued application of the first prong of Laumer to decisions regarding
the admissibility of out-of-court statements against penal interest.
Judge Fisher, in his concurring opinion, makes great efforts to distinguish a
trial court‟s credibility determinations for purposes of admissibility from a jury‟s
determinations of credibility as fact-finders in the case. From my perspective,
however, any test for determining the admissibility of evidence under the statement
against penal interest exception that explicitly requires the court to assess the
“general credibility” of the witness goes beyond the gatekeeping function of the
court and strays too far into the province of the jury. Applying the first prong of
Laumer in the present case, Judge Leibovitz considered a number of factors before
concluding that the witness was not credible, including the witness‟s considerable
record of impeachable convictions, his failure to mention the exculpatory
declaration in a previous lengthy statement to investigators, and his close
relationship with the defendant. Those facts are all appropriate considerations for
assessing the general credibility of a witness and may have led the jury to
determine, as the trial court did here, that the witness was lying about the fact that
22
the statement was ever made. But to prevent the jury from hearing testimony about
a potentially exculpatory statement that otherwise meets the test for reliability
under the third prong of Laumer deprives the defendant of an opportunity to have
the jury perform its traditional role of making credibility determinations and
weighing the evidence.
To avoid such an intrusion into the province of the jury, but remain faithful
to the trial court‟s obligation to ensure that only reliable evidence is considered by
the court, I believe Laumer‟s third prong, which requires the defendant to
demonstrate corroborating circumstances that clearly indicate the trustworthiness
of the out-of-court declaration, is sufficient to satisfy the trial court‟s gatekeeping
purpose.1 This is the preferred approach among a majority of federal and state
courts. It also comports with the revised commentary by the Advisory Committee
on Evidence Rules cited by the majority,2 and a series of decisions by this court
1
See Laumer v. United States, 409 A.2d 190, 200 (D.C. 1979) (stating
that the proponent of a proffered declaration against penal interest must overcome
a “significant burden” to clearly demonstrate the trustworthiness of the declaration
under the corroboration requirement).
2
Advisory Committee Note on the 2010 Amendment to Fed. R. Evid.
804 (b)(3), 28 U.S.C.A., p. 338 (West 2012) (“In assessing whether corroborating
circumstances exist, some courts have focused on the credibility of the witness
who relates the statement is not a proper factor for the court to consider in
assessing corroborating circumstances. To base admission or exclusion of a
(continued…)
23
holding that trial court credibility assessments are improper as a basis for
excluding testimony from being admitted into evidence.3
Accordingly, I urge the court to consider, en banc, whether the first prong
of the Laumer test should continue to be a factor for trial courts to consider when
determining the admissibility of statements against penal interest.
FISHER, Associate Judge, concurring: Because my colleagues have called
for reconsidering the first prong of Laumer, I append these brief remarks to explain
that appellants‟ attack upon Laumer is flawed. It has long been the rule “that
preliminary evidentiary questions such as . . . the admissibility of evidence are
within the control of the trial judge. However, these questions must be
distinguished from credibility and weight to be assigned to competent and
(…continued)
hearsay statement on the witness‟s credibility would usurp the jury role of
determining the credibility of testifying witnesses.”).
3
See, e.g., Brisbon v. United States, 894 A.2d 1121, 1129 (D.C. 2006)
(holding that the question of credibility of a witness was for the jury to consider,
not the trial court, in the context of proffered testimony under the excited utterance
exception to the hearsay rule); Newman v. United States, 705 A.2d 246, 259 (D.C.
1997) (stressing that in evaluating reliability of proffered testimony, a trial court
must not seek to evaluate reliability of the witness because the question of the
excluded witness‟ credibility was for the jury, not for the judge).
24
admissible testimony.” Fowel v. Wood, 62 A.2d 636, 637 (D.C. 1948); see Fed. R.
Evid. 104 (a) (“The court must decide any preliminary questions about whether . . .
evidence is admissible.”); Advisory Committee Note to 1972 Proposed Rule 104
(a) (“To the extent that these inquiries are factual, the judge acts as a trier of
fact.”). Appellants‟ singular focus on the propriety of a judge making credibility
determinations misunderstands this basic distinction. The Laumer test (including,
of course, its first prong) is used to determine whether particular evidence is
competent and admissible.
We have “broad latitude under the Constitution to establish rules excluding
evidence from criminal trials.” Holmes v. South Carolina, 547 U.S. 319, 324
(2006); see Laumer, 409 A.2d at 195 n.7 (“[T]his court is the final authority for
establishing the evidentiary rules for the Superior Court of the District of
Columbia.”). Despite this latitude, the Constitution forbids the creation of
evidentiary rules that “„infring[e] upon a weighty interest of the accused‟ and are
„arbitrary or disproportionate to the purposes they are designed to serve.” Holmes,
547 U.S. at 324-25 (alteration in original) (some internal quotation marks omitted).
In this context, arbitrary rules are rules that “exclude[] important defense evidence
but . . . [do] not serve any legitimate interests.” Id. at 325.
 25
One undoubtedly legitimate interest of evidentiary rules is to exclude
unreliable evidence. United States v. Scheffer, 523 U.S. 303, 309 (1998) (“[T]he
exclusion of unreliable evidence is a principal objective of many evidentiary
rules.”). Recognizing the importance of this objective, our exception to the
hearsay rule for statements against penal interest requires a showing that “the
declarant, in fact, made a statement.” Laumer, 409 A.2d at 199. We adopted this
foundational prerequisite, among others, in order to ensure that the proffer contains
“a sufficient guarantee of trustworthiness.” Id. at 203;1 see In re M.L.H., 399 A.2d
556, 558 (D.C. 1979) (“[I]t is the trial court‟s responsibility to examine the
[hearsay] testimony and determine whether the proper foundation has been laid for
the exercise of discretion as to its admission.”).
In this case, the statement appellants sought to admit was not admissible
unless it qualified as an exception to the rule against hearsay. See Chambers v.
Mississippi, 410 U.S. 284, 298 (1973) (“The hearsay rule, which has long been
1
Our formulation of the test in Laumer was informed by the House
Judiciary Committee‟s explanation that Fed. R. Evid. 804 (b)(3)‟s corroboration
requirement arose from a concern “that declarations against penal interest were
more „suspect‟ than declarations offered for other purposes and . . . the Rule as
originally drafted would not go far enough in preventing fabrication[.]” Laumer,
409 A.2d at 198 (citing H.R. Rep. No. 650, 93d Cong., 1st Sess. 16 (1974), U.S.
Code Cong. & Admin. News 1974, pp. 7051, 7089).
26
recognized and respected by virtually every State, is based on experience and
grounded in the notion that untrustworthy evidence should not be presented to the
triers of fact.”). As discussed above, the Laumer test strikes a balance between
admitting probative evidence and excluding evidence that is unreliable. There is
nothing arbitrary about an evidentiary rule that attempts, on a case-by-case basis,
to reconcile these legitimate, yet sometimes conflicting, concerns.
RUIZ, Senior Judge, concurring: I join Chief Judge Washington in
expressing the view that the issue of the wisdom, indeed the constitutionality, of
the first prong in the Laumer test is ripe for review by the court en banc. Laumer
v. United States, 409 A.2d 190, 199 (D.C. 1979) (en banc). As the authorities cited
in Judge Fisher‟s opinion for the court make clear, the tide is decisively turning
against an evidentiary rule that permits a judge (to the exclusion of the jury) in a
criminal case to make credibility determinations regarding the testimony of an in-
court witness and, based on that credibility determination, to preclude the defense
from introducing evidence of an out-of-court declaration that otherwise meets the
requirements for admissibility as a statement against penal interest. See ante notes
2 (citing federal appellate courts) and 4 (citing state supreme courts); Advisory
Committee Note on the 2010 Amendments to Fed. R. Evid. 804 (b)(3), 28
U.S.C.A., p. 338 (West 2012).
27
This court‟s Laumer opinion adopting the statements against penal interest
exception to the hearsay rule did not consider whether the first prong of the test for
admissibility trenched on the jury‟s prerogative and the defendant‟s Fifth and Sixth
Amendment rights to present a defense and to a jury trial. Interestingly, however,
Laumer did recognize that once a statement is deemed admissible (i.e., after the
trial court has passed on the credibility of the in-court witness), “the truth of the
statement as well as the credibility of the witness who repeats the statement [in
court] must be weighed by the trier-of-fact.” 409 A.2d at 196. Apparently the
question of whether the jury should have a similarly decisive role when the trial
court finds the in-court witness not credible was not raised to the court. In the
thirty-five years since Laumer that issue has been brought into focus by a number
of Supreme Court cases that jealously guard the jury‟s role as the ultimate fact-
finder on matters concerning guilt and maximum exposure to punishment. See,
e.g., Holmes v. South Carolina, 547 U.S. 319, 329-31 (2006) (striking down as
“arbitrary” a rule that permitted the trial court to exclude the defendant‟s third-
party perpetrator evidence, even if probative, if the court evaluated evidence of the
defendant‟s guilt as strong); Blakely v. Washington, 542 U.S. 296, 313 (2004)
(holding a sentencing scheme unconstitutional because it permitted judges to
increase sentences based on their own findings of fact); Apprendi v. New Jersey,
28
530 U.S. 466, 490 (2000) (“Other than the fact of a prior conviction, any fact that
increases the penalty for a crime beyond the prescribed statutory maximum
[sentence] must be submitted to a jury, and proved beyond a reasonable doubt.”).
In cases dealing with the admissibility of defense evidence generally, we have
made clear that it is the fact-finder, not the trial court that must assess the
credibility of a proffered witness. See, e.g., Brisbon v. United States, 894 A.2d
1121, 1130 (D.C. 2006) (reversing conviction where defense witness was excluded
based on judge‟s determination that witness was biased, noting that is “essentially
a credibility determination that should have been left to the jury”); Brown v. United
States, 740 A.2d 533, 537 (D.C. 1999) (“Conditioning bias cross-examination on
the court's ability to assess the credibility of the source of [an] alleged motive [to
fabricate] runs too close to usurping the jury's function.”); Newman v. United
States, 705 A.2d 246, 259 (D.C. 1997) (noting that in evaluating a proffer for
admissibility, the trial judge must be careful to refrain from evaluating the
credibility of the witness). We have also warned against judicial rules based on
“excessive mistrust of juries.” Allen v. United States, 603 A.2d 1219, 1224 (D.C.
1992) (en banc) (quoting Riordan v. Kempiners, 831 F.2d 690, 698 (7th Cir.
1987)); Winfield v. United States, 676 A.2d 1, 7 (D.C. 1996) (en banc).
29
It has long been recognized that courts may adopt rules to regulate the
admissibility of evidence to that which is relevant, reliable, and not unduly
prejudicial. See Holmes, 547 U.S. at 326-27 (citing cases). But that authority must
be used only when necessary for a legitimate purpose and in line with the
constitutional rights of the parties. See id. at 330-31 (holding that state‟s
evidentiary rule “violates a criminal defendant‟s right to have „a meaningful
opportunity to present a complete defense”‟) (quoting Crane v. Kentucky, 476 U.S.
683, 690 (1986))). The time has now come for the en banc court to revisit the first
prong of Laumer and fully consider the challenge raised by appellants to its
necessity as a means to excluding unreliable evidence from tainting a trial and,
more fundamentally, its constitutionality in light of supervening jurisprudence
giving preeminence to the jury‟s role in making ultimate credibility determinations.