581 A.2d 315 (D.C. App. 1990)
Appellant was convicted by a jury on one count of sodomy, D.C.Code § 22-3502 (1989), and one count of tampering with physical evidence, id. § 22-723. On appeal, he challenges the trial court's refusal to permit him to cross-examine the complaining witness about her previous allegations of sexual assaults by other men. Additionally, appellant claims that the trial court improperly excluded evidence about the condition of the genitalia of the complaining witness, who was allegedly suffering from a venereal disease at the time of the incident. He also contends that the trial court improperly instructed the jury as to the elements of the crime of sodomy. We affirm.1
On May 12, 1985, appellant, a correctional officer, was on duty at the D.C. Jail. According to Karen Brock, another correctional officer at the Jail, appellant was quite forward that day about his fondness for cunnilingus. Brock testified that she overheard appellant telling a woman named Sheila over the telephone how much he had enjoyed "going down" on her, which Brock understood to mean performing oral sex on her,2 during the past weekend. Later, according to Brock, appellant, who was "[v]ery flirtatious" and "[c]oming on to" her, said that "going down" on a woman "really turns him on," and that he would like to do so with Brock.3 Brock rebuffed appellant's advances.
After this rebuke by Brock, appellant's attention apparently shifted to seventeen-year-old W.D., the complaining witness in this case. W.D. was the sole female prisoner in custody in that area of the D.C. Jail at the time.4 Appellant asked a male prisoner near the female section of the jail if he knew how old the "young lady across the hall" was. He then entered the portion of the jail where W.D. was being held, and, upon his return, said to the male prisoner, "I've got to have her."
W.D. testified that she had been asleep when appellant came to her cell in the female section of the jail, ostensibly to inquire whether she wanted to be released from her cell for some recreation time. After he unlocked and opened W.D.'s cell door, however, appellant grabbed W.D. and started kissing her face and neck. Despite W.D.'s efforts to push him away, appellant lifted her nightshirt, placed his lips around her vagina, and licked her genitalia with his tongue.5 After engaging in this activity for "a couple of minutes," appellant took out his penis, put W.D.'s hand on it, and moved her hand back and forth until he ejaculated into a nearby trash can. Afterwards, appellant wiped himself clean, threw the soiled tissues into the same trash can, and left the female section of the jail.
A few minutes later, W.D. reported the incident to other jail officials, and an investigation ensued. Three jail officials testified that they saw semen and tissues in a trash can near W.D.'s cell. One of the prison officials retrieved the liner from the trash can and placed it in a brown paper bag, which he then stapled shut and labelled "evidence." The official placed the bag on top of a file cabinet in an administrative office in the jail. Soon after, in that same office, appellant was interviewed by his supervisors; they confronted him with the evidence in the bag. At the conclusion of their interview, however, the jail officials left appellant alone in the office with another correctional officer, also appellant's union representative, who did not know of the bag containing evidence. The union representative testified that he saw appellant stumble over a desk in the office and gather up, among other things, a brown bag which had been stapled shut and had writing on it. Another jail official later saw appellant walking by himself with a folded brown bag in his back pocket. Before long, officials discovered that the evidence bag had disappeared, and it was never found. However, during a strip search conducted in an effort to locate the missing evidence, investigating officials did discover semen stains on appellant's under-pants.
Appellant's defense was a total denial. Though he admitted entering the female section of the jail and speaking with W.D., he denied having had any sexual contact with her. He also denied having propositioned Officer Brock or having had the phone conversation with Sheila described by Brock. Appellant admitted having a brown paper bag, but claimed he was carrying a chicken sandwich in it. He contradicted himself as to whether the bag had staples in it, and could not remember whether the bag bore any writing on it. His girl friend testified that she and Roundtree had made love during the lunch hour, and he claimed that this explained the presence of semen on his clothing. The prosecutor, who conducted a probing and highly professional cross-examination of Roundtree, exposed numerous contradictions in his account, severely damaging Roundtree's credibility.
Appellant first alleges that the trial court's refusal to permit him to inquire during cross-examination of W.D. about her past allegations of sexual assaults by other men violated his constitutional rights under the confrontation clause of the sixth amendment, or alternatively was an abuse of discretion.
During discovery in a civil lawsuit in federal court by W.D. against appellant and the District of Columbia arising out of this incident, appellant learned of and obtained copies of W.D.'s juvenile records from her home state of Minnesota. Those records revealed that W.D. had claimed to have been raped or sexually abused by different men on at least eight occasions. Several allegations involved sexual abuse by family members or boyfriends of family members; others involved sexual assaults committed by pimps.6 In at least one instance, after initially telling a social worker that she had been sexually abused by her brother Hank, W.D. later denied that any such sexual abuse had occurred.7 She also gave inconsistent accounts of how frequently her brother had sex with her. On the other hand, the Minnesota records provide partial corroboration of at least some of W.D.'s claims. In May of 1983, W.D. claimed during a medical examination that she had been sexually assaulted by a friend of her sister's. The examining physician's report noted the presence of a "semen-like substance on [the] thinghs, mons pubis, and within [the] vagina" of W.D. Additionally, medical tests conducted after a sexual assault which W.D. alleged occurred on January 11, 1985, indicated the presence of sperm on W.D.
The most fully documented incident in the record involved a claim by W.D. that a male counselor at a facility for teen-aged mothers called Juvenile Horizons had placed his hand on her buttocks in an inappropriately sexual manner, a claim denied by the counselor. During the course of a Ramsey County Human Services Department investigation into the matter, two members of the Juvenile Horizons staff and two social workers familiar with W.D. indicated that they did not believe W.D.'s allegation.8 The Human Services Department officials who investigated the allegation concluded that they were "unable to substantiate" W.D.'s charge, although they felt "that there was reason to suspect that the incident may have occurred."
After the parties had reviewed the contents of the Minnesota records, the government moved in limine to preclude any inquiry by the defense into W.D.'s prior allegations of sexual abuse. In response, appellant argued that the prior allegations were probative of W.D.'s credibility.9 After inspecting the Minnesota materials, the trial court indicated that there was "no basis for inquiry into prior accusations" because there had been no "firm determination" as to whether any of W.D.'s allegations "were false or true." Nevertheless, before making a final decision on the issue, the trial court decided to inquire about the prior allegations during a voir dire examination of W.D.
On voir dire, W.D. testified that she had been sexually abused by her brother Hank; she explained that she had later recanted that charge "because I didn't want my mom to find out and I didn't want the police involved." She reaffirmed her earlier allegation, documented in the Minnesota records, that she had been sexually abused by a friend of her mother's, but explained that she did not report the matter to the police because "my mom was going though a lot of problems and I didn't feel that she would trust me or believe me." W.D. also reasserted that several of the other sexual assaults mentioned in the Minnesota's records, including the incident with the Juvenile Horizons counselor, had in fact occurred.
At the conclusion of the hearing, the trial judge decided to preclude cross-examination about the prior allegations. She made clear that she would have permitted such inquiry had the prior allegations been fabricated. On the basis of the documents and her assessment of W.D.'s testimony, however, the trial court found that "there is no substantial basis for concluding that these assaults are fabrication." Following the trial judge's oral ruling, appellant filed a motion seeking reconsideration. In a brief written order denying that motion, the trial judge emphasized that appellant had filed to "show convincingly" that W.D.'s allegations were false.
Appellant sought to impeach W.D.'s credibility through cross-examination about specific instances of prior conduct—specifically, her prior allegations of sexual assault by other men.10 He argues that the trial court's failure to permit such cross-examination constituted reversible error. In assessing appellant's contention, we first consider whether the trial court was constitutionally required by the confrontation clause of the sixth amendment to permit inquiry into W.D.'s prior allegations. Finding no such constitutional mandate, we next examine whether the trial court committed an abuse of discretion in precluding cross-examination about those allegations.
Appellant argues that the trial court's failure to permit him to cross-examine W.D. about her prior allegations violated his rights under the confrontation clause of the sixth amendment.11 Appellant's argument appears to be that where a witness who testifies that he or she is the victim of a crime has in the past claimed to be a victim of similar crimes, those prior claims are so probative of the credibility of the witness that the confrontation clause therefore requires the trial court to allow cross-examination about them.
The sixth amendment "guarantees to a defendant in a criminal prosecution the right to be confronted with the witnesses against him." Lawrence v. United States, 482 A.2d 374, 376 (D.C.1984) (citing Davis v. Alaska, 415 U.S. 308, 315, 94 S.Ct. 1105, 1110, 39 L.Ed.2d 347 (1974)), and the opportunity to cross-examine government witnesses is central to that right. Id. Nevertheless, a criminal defendant's constitutional right to cross-examine adverse witnesses "is not without limits." Reed v. United States, 452 A.2d 1173, 1176 (D.C.1982), cert. denied, 464 U.S. 839, 104 S.Ct. 132, 78 L.Ed.2d 127 (1983). For instance, the proposed line of cross-examination must be relevant to the issues involved in the case. Gibson v. United States, 536 A.2d 78, 82 (D.C.1987) ("[t]here is no constitutional right to present irrelevant evidence").12
In this case, as the trial court correctly noted, W.D.'s past allegations would be probative of her credibility only if they were fabricated.13 See Sherer v. United States, 470 A.2d 732, 738 (D.C.1983) (alleged perjury in another trial probative only if the perjury actually took place), cert. denied, 469 U.S. 931, 105 S.Ct. 325, 83 L.Ed.2d 262 (1984); Hughes v. Raines, 641 F.2d 790, 792 (9th Cir.1981) (any probative conclusions drawn from rape victim's previous accusation of rape depend on whether the other charge was false).14 In contrast, if the prior accusations were true, they would not serve as a relevant basis for impeachment. Because the constitution does not require confrontation of witnesses with irrelevant evidence, the very applicability of the confrontation clause in this case depends on W.D.'s prior allegations being false. Under these circumstances, "`the confrontation clause does not prevent the trial court from weighing the [defendant's] offer of proof to determine its probative value to the trier of fact.'" Sherer, supra, 470 A.2d at 738 (citation omitted). Where an accused seeks to impeach the credibility of a witness by offering evidence that the witness has made a false claim under similar circumstances, the confrontation clause mandates that the trial court give defendant leave to cross-examine about the prior claim only where it is "shown convincingly" that the prior claim is false. Id. at 739 (citation omitted).
In Sherer, the trial court refused to permit the defendant to cross-examine a witness concerning an alleged incident of perjury. Sherer, supra, 470 A.2d at 739. In sustaining this ruling, the Sherer court specifically agreed with the confrontation clause analysis employed in Hughes v. Raines, supra. In Hughes, a rape case, the defendant wanted to demonstrate that the victim had previously made a false accusation of rape. The court found that the trial court's denial of the defendant's request did not offend the confrontation clause because the offer of proof failed to show convincingly whether the prior accusation was false: "[A]ny conclusions drawn from [the fact of a prior accusation] that would bear on this case would depend upon whether it could be shown convincingly that the other charge was false." Hughes v. Raines, supra, 641 F.2d at 792.
This court's opinion in Lawrence v. United States, supra, 482 A.2d 374, does not compel a different conclusion. In Lawrence, the court, relying on the confrontation clause, found reversible error in a trial court's refusal to permit the defendant to cross-examine a witness to a sexual assault on a minor about "prior false accusations of sexual activity made by [the witness] against other family members." Id. at 376. Admittedly, the court in Lawrence did not discuss the question of the showing a defendant must make as to the falsity of prior allegations.15 However, it does not appear that the Lawrence court saw itself as deciding a case in which the veracity of the prior allegations was substantially disputed. As the court explained, the issue was whether the trial court violated the defendant's confrontation clause rights by, as argued by the defendant, "preventing exploration into prior false accusations" made by a witness, or whether, as the government responded, that the denial was an appropriate exercise of discretion. Id. (emphasis added). In other words, we read Lawrence as a case premised on the assumption that the allegations at issue were indeed false.16
Our conclusion that Lawrence did not modify the "shown convincingly" standard articulated in Sherer is buttressed by the fact that the Lawrence court was aware of, and even cited, the Sherer opinion. Lawrence, supra, 482 A.2d at 377. To read Lawrence otherwise would suggest that the division of the court which decided Lawrence had revisited the question decided in Sherer about the showing required before a defendant is constitutionally entitled to cross-examine a witness about prior accusations of others. Under M.A.P. v. Ryan, 285 A.2d 310, 312 (D.C.1971), however, the court in Lawrence was bound by the decision in Sherer and could not reconsider that question. We think the best interpretation of Sherer and Lawrence, read together, is that where a witness has previously made allegations similar to those he or she testifies to at trial, cross-examination about those prior allegations is constitutionally mandated only where they are "shown convincingly" to be false.
In this case, after reviewing the Minnesota records and observing W.D.'s testimony first hand, the trial court concluded that appellant had not "convincingly" shown that W.D.'s prior allegations of sexual assault were false.17 We agree that appellant's proffer fell far short of the standard required to sustain a contention that cross-examination about those allegations was constitutionally mandated.18
Having determined that the refusal to permit appellant to cross-examine W.D. about her prior allegations did not violate the confrontation clause, we next consider whether the trial court's ruling was otherwise erroneous. Here, because evidence of W.D.'s prior allegations would have been probative only if the allegations were false, appellant's request to cross-examine about those allegations must be doctrinally analyzed in the context of the evidentiary rules governing impeachment of witness credibility with specific instances of bad conduct. For purposes of this analysis, W.D.'s allegedly false prior accusations would constitute the bad conduct. Our evidentiary rules on the impeachment of witness credibility provide that a witness may be cross-examined about a prior bad act that has not resulted in a criminal conviction only where, at a minimum:
(1) the examiner has a factual predicate for such question, and (2) the bad act "bears directly upon the veracity of the witness in respect to the issues involved [in] the trial."
Sherer, supra, 470 A.2d at 738 (citations omitted).19 The two-part Sherer standard constitutes a minimum threshold for the admissibility of proposed cross-examination into alleged prior bad acts, and evidence which fails to satisfy the Sherer test may not be admitted.
In applying the rules pertaining to the impeachment of witnesses with specific instances of bad conduct, the trial court is vested with broad discretion. First, notwithstanding the fact that a party proposing cross-examination claims to have a "factual predicate" for inquiry into prior bad acts, the trial court may assess the questioner's offer of proof to determine whether such a factual predicate exists. See Sherer, supra, 470 A.2d at 739 (trial court did not abuse discretion in precluding cross-examination into prior testimony where defendant's offer of proof that the statements were false was "scanty"); cf. Hollingsworth v. United States, 531 A.2d 973, 981 (D.C.1987) ("trial court has broad discretion when ruling on the relevance of evidence"). Second, even where proposed cross-examination satisfies the two-part Sherer test, in the absence of confrontation clause concerns, the trial court retains its "broad discretion" generally to control the scope and extent of cross-examination. In re C.B.N., 499 A.2d 1215, 1218 (D.C.1985); see also Reed, supra, 452 A.2d at 1176; Smith v. United States, 392 A.2d 990, 993 (D.C.1978). In the exercise of this discretion, the court has wide latitude to "impose reasonable limits" on cross-examination "based on concerns about, among other things, harassment, prejudice, confusion of the issues, the witness' safety, or interrogation that is repetitive or only marginally relevant." Delaware v. Van Arsdall, supra note 12, 475 U.S. at 679, 106 S.Ct. at 1435. With regard to prejudice, the court may preclude a proposed line of cross-examination "if it appears that the danger of unfair prejudice will outweigh its probative value." Lee, supra, note 10, 454 A.2d at 775. See also Goldman v. United States, 473 A.2d 852, 856 (D.C.1984); Brown v. United States, 409 A.2d 1093, 1099-1100 (D.C.1979). And as is true even in confrontation clause situations, the trial court may also weigh the "probable effect on fair and efficient conduct of the trial." Sherer, supra, 470 A.2d at 738 (citation omitted). This court will not reverse such decisions unless the trial court abuses its discretion. Brown, supra, 409 A.2d at 1100.
In exercising discretion whether to permit cross-examination into prior allegations of sexual assault, the precise probative value of such evidence, even where it clears the "factual predicate" component of the Sherer threshold, will depend upon the degree of certainty with which the trial court can conclude that the prior allegations were false.20 The stronger the evidence that the allegations are false, the greater the probative value. As a countervailing concern, cross-examination into prior allegations of sexual assault is likely to generate considerable prejudicial consequences. First, some prejudice results whenever cross-examination "probes into the private life" of a complainant in a sexual assault case. See Meaders v. United States, 519 A.2d 1248, 1254 (D.C.1986). See also State v. Anderson, supra, 211 Mont. at 286, 686 P.2d at 201 (evidence of prior allegations "place[s] a prejudicial stamp on [the complainant's] general character and reputation"). Second, evidence of a complainant's prior allegations of sexual assault "diverts the jury's attention to collateral matters." McLean, supra note 10, 377 A.2d at 77.21 See also State v. Johnson, supra, 102 N.M. at 118, 692 P.2d at 43 ("the focus would be on whether the prior charges were `unsubstantiated,' in effect putting the complainant on trial as to the truthfulness of any complaint to the police which did not result in arrest or conviction").
Here, the trial judge acted within her discretion in precluding cross-examination about W.D.'s prior allegations of sexual assault.22 As indicated, the trial court determined, following voir dire, that there was "no substantial basis" for concluding that W.D. had fabricated her prior claims of sexual assault. As a result, the proposed line of impeachment was of limited probative value at best.23 The prejudicial effect of the proposed inquiry, in comparison, was considerable. The cross-examination sought by appellant would have probed into extremely private and potentially humiliating aspects of W.D.'s life. Moreover, in this case the risk of distracting the jury with collateral matters was particularly acute. Appellant's proposed line of cross-examination would have diverted the jurors' attention away from the incident in the D.C. Jail and would have invited them instead to focus their energies on assessing the veracity of each of W.D.'s prior claims of sexual assault.24 Accordingly, we conclude that the trial court acted within its discretion in precluding appellant from inquiring on cross-examination about W.D.'s prior allegations of sexual assault.25
We do not think that this position necessarily conflicts with the opinion in Mintz v. Premier Cab Ass'n, 75 U.S.App.D.C. 389, 127 F.2d 744 (1942). In Mintz, the trial court permitted the defendant in a personal injury action to ask the plaintiff on cross-examination whether she had "made claim for injuries" in two previous unrelated accidents. 75 U.S.App.D.C. at 389, 127 F.2d at 744. The appellate court affirmed the trial court's decision to admit evidence of prior claims under the claim-minded plaintiff principle. We read Mintz as permitting, not requiring, the trial court to allow cross-examination under this principle where it determines that the proffered evidence "may create prejudice but is believed to be worth more than it costs." Id. at 390, 127 F.2d at 745.26
Furthermore, the dictum in Mintz suggesting the principle's application to sexual assault cases is of dubious validity today.27 In the era when the Mintz court suggested application of its cost-benefit calculus to sexual assault cases, the legal system operated under the assumption that it was also "worth more than it costs" in effect to put the victim on trial in rape cases; the rules of evidence at the time permitted a defendant, under the guise of cross-examination on the issue of consent, to grill his victim about virtually her entire sexual history and reputation. See Berger, Man's Trial, Woman's Tribulation: Rape Cases in the Courtroom, 77 COLUM.L.REV. 1, 12-15 (1977); see also, e.g., Packineau v. United States, 202 F.2d 681, 684-87 (8th Cir.1953) (holding that trial court erred in excluding evidence of complaining witness' "concupiscence—of her having sexual lust and unlawfully indulging in it" with another man). As this court's opinion in McLean v. United States makes clear, courts today accord much more weight to the prejudicial aspect of inquiry into a rape victim's sexual history than did courts a half-century ago; in this jurisdiction, such prejudicial inquiry is no longer deemed to be worth more than it costs. McLean, supra note 10, 377 A.2d at 77-78. For similar reasons, we think that, absent confrontation clause concerns, the prejudice inherent in cross-examination about a complainant's prior allegations of sexual assault28 precludes us from requiring the trial court under the Mintz principle to allow cross-examination of the victim in a sexual assault case about her prior allegations of sexual assault regardless of their truth or falsity.29
In sum, under all the circumstances of this case, we conclude that the trial judge committed no reversible error in precluding appellant from cross-examining W.D. about her prior allegations of sexual assault.
Appellant next contends that the trial court abused its discretion in refusing to permit a physician to testify about the results of a medical examination he conducted on W.D. Appellant intended to have the doctor testify that the examination revealed no "bruises, redness, swelling, [or] lacerations" on W.D.'s genitalia. Appellant also sought to show through the doctor's testimony that W.D. was suffering from a venereal disease, and that a symptom of that disease was the presence of a "cheesy white extrudance" or a "heavy discharge" in her genital area. The trial court excluded as irrelevant medical testimony "concerning any disease."
Before us, appellant urges that such evidence "could have influenced the jury's mind on the creditability [sic] of [the complaining witness]." At trial, however, appellant did not make clear precisely for what purpose he offered the evidence of W.D.'s medical condition. Initially, during pre-trial proceedings, appellant had sought leave to introduce evidence that he was aware of the fact that W.D. was in the D.C. Jail following her arrest on prostitution charges. This was relevant, appellant argued, on the theory that he would not have engaged in any sexual acts with W.D. because "he knew that prostitutes many times carry venereal diseases and this would in his own mind create the idea that he would not want to do this to her." It was in this context that appellant first mentioned evidence that W.D. was suffering from a venereal disease at the time of the incident: "[T]he truth of the matter," defense counsel argued, "is that according to the medical records she had some sort of infection at the time that this happened. So, [appellant's] thought that she might be diseased or unclean is not a fanciful thought." In other words, appellant initially suggested to the trial court that evidence of the mere presence of the disease was relevant as proof of his state of mind—namely, that his fear of contracting diseases often carried by prostitutes would have deterred him from seeking to engage in any sexual conduct with W.D.
Later, at trial, prior to the presentation of the defense case, appellant again raised the question of W.D.'s medical condition. This time, defense counsel indicated he wished to have the doctor's testimony include "the condition of her sexual organ." Defense counsel's proffer as to the relevance of evidence of the "cheesy white extrudance," however, was still somewhat unclear: "[T]he Government would have the jury believe [Mr. Roundtree] came in there, committed the act without even—according to the doctor, my conversation with the doctor, the doctor agrees that there was a heavy discharge." The trial court ruled that it "would exclude testimony concerning any disease and finds as represented that it would appear to be irrelevant in this case."
Contrary to appellant's initial assertion before the trial court, in light of his defense at trial, the presence in W.D. of a venereal disease would not have been relevant on the issue of appellant's state of mind—i.e., whether he feared W.D. suffered from a venereal disease and thus would be unlikely to sexually assault her. Throughout trial, appellant consistently maintained that he never had any physical contact with the victim. Because he claimed that he was never in a situation where he could have observed symptoms manifesting the fact that W.D. had a venereal disease, the actual presence or absence of such a disease or its symptoms would have had no bearing on his state of mind.30 Nor would the fact that W.D. actually suffered from a venereal disease be relevant as to the reasonableness of appellant's ex ante belief that she might suffer from such a disease. Thus, given appellant's defense at trial, to the extent he offered the evidence of W.D.'s disease and its symptoms to prove that his fear of contracting a venereal disease would have dissuaded him from sexually assaulting W.D., the evidence was irrelevant.
Evidence of the physical appearance of W.D.'s genitalia, regardless of cause, might have been relevant, however, on the question of her credibility. This is true even in light of appellant's defense at trial. If, as appellant suggests, the symptoms of W.D.'s disease would have made oral sex unpleasant and therefore unlikely to occur, this evidence could be somewhat probative of the credibility of her account of the sodomy. As such, it might have made a jury somewhat more likely to believe appellant's version of events, i.e., that no oral sexual contact occurred.31
Here, appellant's proffer did not make entirely clear to the trial judge that he was not merely reiterating his request to introduce evidence of the presence in W.D. of a venereal disease as proof of his state of mind, for which it was irrelevant, but was instead seeking to introduce the evidence of the physical appearance of the disease to challenge W.D.'s credibility, for which it could be relevant. Cf. Jones v. United States, supra note 9, 516 A.2d at 517 (affirming trial court's restriction on cross-examination about a witness's bias because of an insufficient factual proffer).32 The nature of appellant's proffer perhaps explains the trial court's ruling that "the Court would exclude testimony concerning any disease and finds as represented that it would appear to be irrelevant in this case."33 Nevertheless, because we ordinarily do not require an "`exhaustive proffer'" as a prerequisite to the admission of evidence, id. (citation omitted), we will assume the issue of the admissibility of the external appearance of W.D.'s genitalia on the issue of her credibility was sufficiently presented to warrant appellate review.
An evidentiary ruling by a trial judge on the relevancy of a particular item is a "highly discretionary decision" that will be upset on appeal only upon a showing of "grave abuse." Mitchell v. United States, 408 A.2d 1213, 1215 (D.C.1979) (citations omitted). See also Mosby, supra note 26, 495 A.2d at 305. However, even on the assumption that the relevancy ruling was in error in its application to the physical appearance of the genitalia, we do not perceive grounds for reversal, since we think we can say with fair assurance that any such presumed trial court error did not substantially influence the jury's determination. See Kotteakos v. United States, 328 U.S. 750, 765, 66 S.Ct. 1239, 1248, 90 L.Ed. 1557 (1946).34 As indicated above, the appellant never suggested that he in any way saw the appearance of W.D.'s genitalia. His defense was a flat denial of all the significant events testified to by the prosecution witnesses: the conversation with the female prison guard about his particular sexual desires, the sodomy of W.D., the masturbation event, and the destruction of evidence. W.D.'s was not the only testimony to contradict appellant's story. That he lied as to three of these events was convincingly shown by the evidence apart from W.D.'s testimony. Thus, appellant stood as a largely discredited witness, and no reason was apparent why W.D. would have told the truth as to part of appellant's actions and lied about the cunnilingus.
The marginal relevance of the evidence is further illustrated by appellant's own difficulty in articulating any legitimate basis for its admission, as indicated above. Moreover, the record on appeal contains no significant elaboration of the proposed testimony beyond the sketchy description orally given to the trial court.35 And although the trial court never explicitly reached the issue, a ruling excluding the evidence on a balancing of prejudice versus probative value could have been sustained. See, e.g., Swinson v. United States, 483 A.2d 1160, 1164 (D.C.1984).
In sum, in light of all the circumstances, we do not think that the trial court's ruling with respect to the proffered testimony warrants appellate reversal for a new trial.
Appellant next asserts that cunnilingus,36 at least on the evidence here, does not violate the D.C. sodomy statute.37 For over fifteen years, it has been established in this jurisdiction that "cunnilingus is a sodomitic act which is within the purview of § 22-3502." United States v. Cozart, supra, 321 A.2d at 343 (footnotes omitted). This holding, of course, is binding upon us as a division, and we must proceed from that postulate. M.A.P. v. Ryan, supra, 285 A.2d at 312.38 Appellant contends, however, that even if cunnilingus does constitute sodomy, penetration is a necessary element of the offense. Under appellant's interpretation, the trial court would be required to instruct the jury that to prove the offense of oral sodomy on a woman, the government must prove either that the defendant placed his or her tongue within the labia or inside the vagina of the complaining witness, or that her genitalia penetrated the defendant's mouth.39 We do not read the statute as imposing such a requirement.40
Appellant's argument relies heavily on D.C.Code § 22-3502(b), which provides: "Any penetration, however slight, is sufficient to complete the crime specified in this section. Proof of emission shall not be necessary." However, that provision does not mandate the interpretation pressed by appellant. The reference to "emission" in section 3502(b) indicates that that provision refers to forms of sodomy involving a penis.41 In contrast, where a defendant is charged with performing oral sodomy on a woman's genitalia, the "penetration" language of section 3502(b), is inapplicable. Consequently, section 3502(b) does not require the government in such cases to prove either that the complaining witness's genitalia penetrated the mouth of the defendant, or that the defendant's tongue penetrated the complainant's genitalia.42 Nor, given that under Cozart cunnilingus constitutes a violation of the sodomy statute, and considering the realities of female anatomy, can we agree that the phrase "taking into" in section 3502(a) requires entry into the mouth by the female sexual organ. As the North Carolina Supreme Court noted in a similar context, "[t]o adopt this view would saddle the criminal law with hypertechnical distinctions." State v. Ludlum, supra note 42, 303 N.C. at 672, 281 S.E.2d at 162. On the facts of this case, the sodomy instruction here was sufficient.43
Appellant's other contentions warrant little discussion. First, the trial court did not err in granting the government's motion in limine to preclude appellant from impeaching the complainant's credibility by inquiring into her activities as a prostitute. Because the complainant had no convictions or adjudications of delinquency for prostitution, she could not be impeached under D.C.Code § 14-305 (1989), which permits impeachment with evidence of misdemeanors involving dishonesty. Cf. Brown v. United States, 518 A.2d 446, 447 (D.C.1986) (per curiam) (ruling that "soliciting for prostitution is an impeachable conviction"). Sexual activity not resulting in a felony conviction is not relevant for impeachment of general credibility. McLean, supra note 10, 377 A.2d at 78. This rule ordinarily applies even where the prior sexual activity includes prostitution. Cf. Brewer, supra note 21, 559 A.2d at 321 (evidence in rape case of complainant's prior prostitution activities not relevant on issue of consent and inadmissible).
Second, the trial court did not abuse its discretion in refusing to grant a mistrial after the prosecutor, in his rebuttal argument, directed the jury's attention to the absence of any evidence that the complaining witness had been convicted of a prostitution charge. The remark, though literally true, invited the jury to infer something that was false—i.e., that the complaining witness was not a prostitute. Nevertheless, even if the prosecutor's remarks amounted to misconduct, the misconduct was not grave. Additionally, the trial court gave the jury a corrective instruction. We therefore conclude that appellant did not suffer "substantial prejudice" as a result of the prosecutor's argument. Dyson v. United States, 450 A.2d 432, 437 (D.C. 1982). As such, the refusal to grant a mistrial was not an abuse of discretion. Beale v. United States, 465 A.2d 796, 799 (D.C.1983), cert. denied, 465 U.S. 1030, 104 S.Ct. 1293, 79 L.Ed.2d 694 (1984).
Affirmed.
With due respect for Judge Steadman's erudite opinion for the court, I am unable to join my colleagues' disposition of this appeal. In my opinion, Roundtree did not receive a fair trial on the sodomy charge. I so conclude for two reasons. First, in spite of persuasive evidence that the complaining witness, W.D., fabricated claims of sexual abuse in the past, the trial judge precluded cross-examination of her with regard to these prior accusations. Second, the judge excluded, as "irrelevant," proposed medical evidence about the existence of a "cheesy white extrudance" in the area of W.D.'s genitals which allegedly resulted from her affliction with a venereal disease, and which, a jury might well conclude, tended to make it substantially less likely that Roundtree engaged in cunnilingus with her.44
The potential impact on a reasonable jury of the excluded cross-examination and evidence was substantial. Moreover, Roundtree's first trial ended in a mistrial because the jurors were unable to agree on a verdict. I am therefore satisfied that Roundtree suffered substantial prejudice, and that the errors were not harmless. Accordingly, I respectfully dissent from the affirmance of Roundtree's sodomy conviction.45
W.D. instituted a suit for damages against Roundtree and the District of Columbia in connection with the incident which precipitated this prosecution. During discovery in the civil action, the defendants obtained records from juvenile authorities in Minnesota, as well as testimony from W.D., which reflected the young woman's troubled life. My colleagues have summarized the contents of these records, maj. op. at 318-319, but the same facts come across a little differently to me. In my view, the information from Minnesota, together with W.D.'s admitted prevarications after she arrived in Washington, provide, at least, a bona fide and reasonable basis to believe that some of her prior charges of sexual abuse were fabricated.
When W.D. was thirteen, the director of an institution for girls in that state described her as "one of the most severe victims of chronic emotional and physical neglect that I have ever encountered." She was apparently a victim of incest at 12, pregnant at 13, a mother at 14, and a prostitute at 15 or 16. With an I.Q. of 68 and second to fourth grade skills, W.D. had been exposed to marijuana, cocaine, pimps and a sordid lifestyle by her middle teens. Such an existence takes its toll. We would surely be blind to reality if we were to pretend that one who has endured so much can escape without potential erosion not only of her trust in authority but also of her credibility.
The records from Minnesota show that W.D. had claimed to have been the victim of rape or incest or sexual abuse by a substantial number of different men, including, at least,46 the following:
W.D.'s half-brother Hank, who allegedly had sex with her on a weekly basis from the time that she was twelve;
her brother Joe (no elaboration provided);
a nephew, aged 23 or 24, whom W.D. refused to identify;
a boyfriend of her mother;
a boyfriend of her sister;
a counsellor at Juvenile Horizons, an institution in Minnesota for mothers in their teens;
a pimp named Casper;
Vernon, also a pimp, who was a boyfriend or former boyfriend of her sister;47 and
Six pimps who had gang-raped W.D. and her sister.48
Although some of W.D.'s claimed experiences, especially those with pimps, may well go with the lifestyle, the records on their face provide substantial reason to question the veracity of some of her allegations.49 With respect to her half-brother Hank, W.D. alleged at different times that he had sex with her (1) weekly since she was twelve; (2) a total of four or five times; and (3) never.
W.D.'s allegations that a 22-year old counsellor at Juvenile Horizons had inappropriately stroked her "butt" was particularly suspect. It was investigated by the police and by the Juvenile Horizons authorities, and a comprehensive report was prepared by the latter. The counsellor had come to Juvenile Horizons with excellent references, and had worked with young women before. The writer of the report interviewed two psychiatrists, a psychologist, the program director, the staff supervisor, and three separate social workers, including the one primarily assigned to work with W.D.
Without exception, these individuals doubted W.D.'s veracity, largely because, as those who had worked with her unanimously agreed, she had a history of making false allegations in the past. Dr. Madamala, a staff psychiatrist at a Child Guidance Clinic, reported that "W.D. is a very angry child who has lied to the J.H. staff several times in the past." Ms. Pruden, the program director, related that W.D. "had lied to the staff in the past and was probably lying in the report about child abuse." Ms. Arenson, W.D.'s primary social worker, stated that "in the past [W.D.] had lied and exaggerated stories in order to get attention." Ms. Dawkins, another social worker, related that W.D. "has a history of making up stories," and that "it is her style to make up accusations as a power play." Mr. Lord, the staff supervisor, stated that he took W.D.'s accusations with "a grain of salt because of past questionable allegations" by her, and that he believed the accused counsellor's denials. Dr. Reed, who conducted a psychological evaluation of W.D., found that she was able "to scare and intimidate people with her hostile physical and verbal aggression," and concluded that W.D.'s "objective and reality testing is very tenuous and at least moderately impaired." Dr. Arnold, who also examined W.D., reported on her "exaggeration of symptoms, lack of cooperation, rebelliousness and anti-authority feelings." Dr. Gendron of the Fairview Hospital Adolescent Treatment Program stated that W.D. had a history of "aggressivity and blaming." One psychiatrist reported that W.D. had an "impaired" sense of reality.
Unsurprisingly, in light of the foregoing assessments of W.D., the complaint was closed as "unable to substantiate," or "unsubstantiated." The treatment team found reason to "suspect" that the incident "may have" occurred, but deemed the evidence insufficient in the absence of corroboration.50
The most recent of W.D.'s complaints in Minnesota was made in March of 1985; she reported that a pimp had forced her to have sex and to "work the streets" as a prostitute.51 According to her deposition testimony in her civil suit, W.D. then travelled with a pimp in a brown Cadillac to Detroit, Chicago, New York and Washington, working as a prostitute in all of these cities.52 In May 1985, she was arrested in Washington on a charge of soliciting for prostitution. She gave the police a false name53 and lied about her age.54 She was being held at the District of Columbia jail following this arrest at the time of her encounter with Roundtree.
The government moved in limine prior to Roundtree's first trial for an order precluding any inquiry by the defense into W.D.'s prior allegations of sexual abuse. After having inspected the materials,55 and before any voir dire was held, Judge Bacon stated that
unless there is additional evidence about any of these matters ... they would not constitute evidence of bias.
My view is that at this time there is no basis for inquiry into prior accusations.
Conscientiously protecting his record, the prosecutor suggested that a proposed voir dire of W.D., which was to be conducted in order to determine her competency, be expanded to include her prior allegations of sexual abuse, "although I can proffer to the court based on my prior discussions that the court is on the money." The judge followed the prosecutor's suggestion and reserved ruling.
The ensuing voir dire was conducted exclusively by the judge outside the presence of the jury. During the course of her testimony, W.D. tearfully repeated her allegation that she had been sexually abused by her brother Hank. She explained that she had later denied the truth of the charge because she did not want the police to be involved with her mother. She related that she did not report to the police abuse by her mother's friend because "my mom was going through a lot of problems and I didn't feel that she would trust me or believe me." She confirmed that she had made complaints about the counsellor at Juvenile Horizons and about assaults by pimps.
At the conclusion of the hearing, the judge granted the motion in limine because
there is no substantial basis for concluding that these assaults are fabrication... To permit inquiry into these prior incidents, I believe, would be matters that are precluded by McLean56 and Sherer57 and that the voir dire does not provide a basis for exceptions to McLean or Sherer.
The judge followed up her oral decision with a brief written order in which she emphasized that W.D.'s various complaints had not been "convincingly" shown to be false and that W.D.'s failure to prosecute incidents of sexual abuse did not establish their falsity. She cited Sherer, supra, 470 A.2d at 739, and Hughes v. Raines, 641 F.2d 790, 792 (9th Cir.1981), on which the court in Sherer had relied.
(1) Historical perspective—a legacy of injustice.
The question whether the trial court properly precluded Roundtree from inquiring into W.D.'s prior allegations is a sensitive one. For many centuries, under a legal tradition established by men, Commonwealth v. Bohannon, 376 Mass. 90, 94-95, 378 N.E.2d 987, 991 (1978), female victims of rape and sexual abuse were treated harshly and unfairly pursuant to a pervasive double standard of sexual morality. See Chamallas, Consent, Equality, and the Legal Control of Sexual Conduct, 61 S.CAL.L.REV. 777, 788-89 (1988). In a revealing passage in the Bible, rape was treated as an offense against an unmarried woman's father rather than against her; the rapist's punishment, besides having to pay fifty shekels to the "owner," was a forced marriage to the victim. Deuteronomy 22:28-29. The raped woman was obviously given no choice about becoming the perpetrator's wife. See also Gold & Wyatt, The Rape System: Old Roles and New Times, 27 CATH.U.L.REV. 695, 696-700 (1978). Some two millenia later, Sigmund Freud, the father of psychoanalysis, still viewed the "exclusive right of possession of a woman" as the "essence of monogamy," and the "demand that the girl shall bring with her into marriage with one man no memory of sexual relations with another" as a "logical consequence" of that right. The notion that the world is divided into "bad girls", who do, and "good girls", who don't, was part of a climate of "romantic paternalism" which put women, in Justice Brennan's apt phrase, "not on a pedestal, but in a cage." Frontiero v. Richardson, 411 U.S. 677, 684, 93 S.Ct. 1764, 1769, 36 L.Ed.2d 583 (1973) (plurality opinion). Nowhere was this cage more confining and oppressive to women than in relation to the law of sexual crimes.
Until quite recently, the complaining witness in a sexual assault case was presumed to be so lacking in credibility that special rules of corroboration, unheard of in relation to other crimes, were deemed to be necessary and appropriate. See Arnold v. United States, 358 A.2d 335, 344 (D.C. 1976) (en banc). A defendant charged with a sexual offense could effectively put his victim on trial, for her entire sexual history and reputation were deemed "fair game" in relation to the issue of consent. The most private facts in a woman's life were thus exposed to the world for all, and especially those of prurient orientation, to see, denounce and deride. Despite their perceived "natural ... timidity and delicacy" Bradwell v. Illinois, 83 U.S. (16 Wall) 130, 141, 21 L.Ed. 442 (1872), women alleging rape were required to put up the "utmost resistance" to their assailants before a guilty verdict would be sustained. Estrich, supra, note 15, 95 YALE L.J. at 1122 n. 105. In one notorious case involving the rape of a sixteen year old virgin, the victim's repeated struggles and screams while the attacker almost choked her, even when coupled with her attempts to escape, were viewed as woefully insufficient in comparison with "the terrific resistance which the determined woman should make." See Brown v. State, 127 Wis. 193, 201, 106 N.W. 536, 539 (1906). Moreover, even if a woman did resist vigorously, this was often treated as evidence that she derived erotic pleasure from being overcome.
That only a small percentage of cases of rape and sexual abuse were reported, and that fewer still resulted in conviction, is hardly surprising in light of the applicable "rules of the game," only some of which are described above. In reaction to these palpable injustices, the courts of this jurisdiction, like others elsewhere, took a number of measures to redress the balance. The requirement that the victim prove actual physical resistance in order to negate consent has largely been relegated to the ash-heap of history. See Chamallas, supra, 61 S.CAL.L.REV. at 799. The corroboration requirement as to mature females was abolished here in 1976. Arnold, supra, 358 A.2d at 344, see also Gary v. United States, 499 A.2d 815, 832-33 (D.C. 1985) (en banc) (child complainants), cert. denied, 477 U.S. 906, 106 S.Ct. 3279, 91 L.Ed.2d 568 (1986), and 475 U.S. 1086, 106 S.Ct. 1470, 89 L.Ed.2d 725 (1986). In 1977, this court held in McLean that inquiry into a woman's prior sexual conduct and her reputation for "unchastity" is presumptively impermissible and will be countenanced only in the unusual case in which the probative value of such evidence demonstrably outweighs its prejudicial effect. 377 A.2d at 77-80. See also Brewer v. United States, 559 A.2d 317, 320-22 (D.C.1989); cf. State ex rel. Pope v. Superior Court, 113 Ariz. 22, 24-29, 545 P.2d 946, 948-53 (1976) (en banc). The trial judge in this case may have viewed a proscription against inquiries into W.D.'s prior complaints of sexual abuse as another step in this progression from injustice to equity.
But the end does not justify the means. Our commitment to eradicating past and present wrongs may not be permitted to dilute our determination that all defendants, including those charged with sexual offenses, receive the fair trial which is their constitutional due. Under the Sixth Amendment, the accused has the right to confront the witnesses against him. A primary interest secured by the confrontation clause is the right of cross-examination, so that the finder of fact has an adequate opportunity to assess the credibility of prosecution witnesses. Davis v. Alaska, 415 U.S. 308, 315, 94 S.Ct. 1105, 1110, 39 L.Ed.2d 347 (1974); see also Berger v. California, 393 U.S. 314, 315, 89 S.Ct. 540, 541, 21 L.Ed.2d 508 (1969) (per curiam). Where the individual whom the accused seeks to cross-examine is, as in the present instance, a "star" witness essential to the prosecution case, the importance of full cross-examination to disclose possible bias is necessarily enhanced. Lawrence v. United States, 482 A.2d 374, 377 (D.C. 1984); United States v. Summers, 598 F.2d 450, 460 (5th Cir.1979). As the Supreme Court of New Hampshire, speaking through Judge (now Justice-designate) David Souter, has recognized with reference to a rape shield law, "such a statute's reach has to be limited by a defendant's ... rights to confront the witnesses against him and to present his own exculpatory evidence." State v. Colbath, 130 N.H. 316, 323, 540 A.2d 1212, 1216 (1988); see also Winfield v. Commonwealth, 225 Va. 211, 217-18, 301 S.E.2d 15, 19 (1983). In the present case, there is no statute actually or ostensibly proscribing cross-examination of W.D. as to her past complaints, and the intrusion into W.D.'s privacy potentially generated by such cross-examination is far less grave than that which would be occasioned by an inquiry into her past sexual experiences.
For reasons discussed below, see pages 337-341, infra, the degree to which cross-examination as to other allegations must be permitted depends on a variety of circumstances. An inappropriate restriction of such examination is not necessarily a violation of the confrontation clause, and I would not constitutionalize my objections to the trial court's procedures in this case. Nevertheless, the right to confrontation is in some measure implicated here, see Davis v. Alaska, supra, and courts must bear constitutional considerations in mind.
(2) Impeachment of W.D. with her prior accusations.
With some necessary accommodation of the rights of complainants in sexual offense cases, the issue here under discussion falls within the general rubric of the claim-minded plaintiff, typified by the shepherd boy who cried "Wolf!" once too often. As Professor McCormick has correctly noted, the courts of the District of Columbia are notably liberal in receiving evidence of claim-mindedness and allowing the jury to assess its weight. E. CLEARY, McCORMICK ON EVIDENCE § 196, at 580 n. 10 (3d ed. 1984) (hereinafter McCORMICK).
The leading case in this jurisdiction is Mintz v. Premier Cab Association, Inc., 75 U.S.App.D.C. 389, 127 F.2d 744 (1942), a personal injury action in which the court sustained the trial court's decision to permit the cross-examination of the plaintiff with regard to two prior claims:
Fortuitous events of a given sort are less likely to happen repeatedly than once. The fact that a witness has told several stories involving similar fortuitous events tends, therefore, to create a conflict between his testimony and normal experience. So it has been held that one who furnishes an alibi for a criminal defendant may be asked whether he has furnished other alibis for the same defendant; one who accuses a man of robbing him while he was drunk may be asked whether he has made the same charge against other men; the prosecuting witness in a rape case may be asked whether she has made similar charges against other men .... This type of evidence, like many other types, may create prejudice but is believed to be worth more than it costs.
That all three of appellant's stories may have been true affects the weight of the evidence, not its admissibility. It was for the jury to decide from all the evidence, and from its observation of appellant on the stand, whether she was merely unlucky or was "claim-minded."
Id. at 389-90, 127 F.2d at 744-45 (emphasis added and footnote omitted). Accord, Manes v. Dowling, 375 A.2d 221, 223 (D.C. 1977); Evans v. Greyhound Corp., 200 A.2d 194, 196 (D.C.1964).
Under the Mintz analysis, the party seeking to cross-examine the complaining witness about other complaints need not first prove their falsity. The principle that lightning does not usually strike the same person twice (or four times or nine times) is deemed sufficiently persuasive to warrant leaving it to the jury to assess the significance of past complaints. The courts of this jurisdiction avoid what Judge Posner has called "crabbed notions of relevance or excessive mistrust of juries," Riordan v. Kempiners, 831 F.2d 690, 698 (7th Cir. 1987), and decline to keep from properly instructed jurors the kinds of information which, as a matter of common sense and human experience, might well affect their rational assessment of the situation.
Although plainly obiter dictum, the allusion in the Mintz opinion to a rape complainant is broad enough, for all practical purposes, to reach the present case. The frequency with which a woman or girl has alleged that various men have sexually assaulted her was considered to be something the jury should know in deciding whether to believe her. Neither before Mintz nor in the forty-seven years since that decision has this court squarely confronted the issue in a case in which the defendant sought to cross-examine the alleged victim of a sexual assault about prior charges against other men. Although the trial judge relied primarily on Sherer, discussed in some detail at page 340, below, the closest case to the present one is Lawrence.
Lawrence was charged with taking indecent liberties with a six-year-old girl. One of the witnesses against him was Darlene Mayo, the child's aunt. Lawrence sought to cross-examine Ms. Mayo about what he claimed were prior false allegations by her of other incidents of sexual abuse in the family. The trial judge, without conducting a voir dire examination as to the truth or falsity of Ms. Mayo's other charges, refused to permit the inquiry. Lawrence was found guilty, but this court reversed his conviction. Emphasizing that the confrontation clause was implicated and that the defendant's right to challenge the credibility of prosecution witnesses was protected by that clause, the court said:
An examination of the record reflects a curtailment of an appropriate line of cross-examination which prevented the jury from receiving information essential to an assessment of Darlene Mayo's credibility as a government witness. Appellant sought to confront Darlene Mayo with the fact that she had accused Michael Mayo in April 1981 of having intercourse with her five-year-old daughter and with the fact that she had accused Jacqueline in July 1981 of having intercourse with their elderly uncle. The trial court refused to allow this line of inquiry. Regardless of her response, the jury could have assessed Mayo's truthfulness and veracity by defense counsel's probe of this sensitive area and have viewed her testimony with greater skepticism. The trial court's action may have kept from the jury relevant and important facts bearing on the trustworthiness of crucial testimony [of] a key witness [whose] testimony establishes a required element of the charged offense [and] has little independent corroboration.
482 A.2d at 377 (internal quotation marks and alteration marks omitted). The court also stated that the trial court's error in this curtailment of cross-examination was rendered "more severe" because Ms. Mayo was a "key" prosecution witness. Id.
Lawrence is distinguishable from the present case in two respects. First, the trial judge made no attempt, outside the presence of the jury, to assess the truth or falsity of Ms. Mayo's other charges. Second, the case did not involve other complaints by the alleged victim of the crime, so that the protection of complaining witnesses from intrusion into private facts is not directly implicated. The decision is important for present purposes, however, because this court did not ground its ruling on the trial judge's failure to conduct a voir dire examination. Rather the court held that cross-examination of a key witness about her other accusations was critical to the jury's opportunity to assess her credibility, and this proposition was not conditioned on any previous finding that the other allegations were false.
Courts in other jurisdictions have approached the issue here presented in a variety of ways. See generally Annot., Impeachment or Cross-Examination of Prosecuting Witness in Sexual Offense Trial by Showing That Similar Charges Were Made Against Other Persons, 71 A.L.R.4th 469 (1989). Some have been quite liberal in permitting such examination. Others have required the defendant, before being permitted to cross-examine the complaining witness as to charges which she had made against others, to show, outside the presence of the jury, that the other complaints have been proved or conceded to be false.
In my opinion, the most persuasive approach is the intermediate one taken by those courts which require the defendant to demonstrate that there is a reasonable bona fide basis for the proposed line of interrogation. See, e.g., Woods v. State, 657 P.2d 180, 182 (Okla.Cr.App.1983); State v. LeClair, 83 Or.App. 121, 126-32, 730 P.2d 609, 613-16 (1986), review denied, 303 Or. 74, 734 P.2d 354 (1987); Commonwealth v. Bohannon, supra, 376 Mass. at 94-95, 378 N.E.2d at 991. In LeClair, the court indicated that, under the confrontation clause, such cross-examination must be permitted, inter alia, where there is some evidence that the complaining witness has made prior false accusations, unless the probative value of the evidence is substantially outweighed by its prejudicial effect. 83 Or.App. at 129, 730 P.2d at 615. In Bohannon, the Supreme Judicial Court of Massachusetts, applying a similar test, stated that leave of court to cross-examine as to other charges should be obtained in advance, and held that such cross-examination should have been permitted where
the defendant made an offer of proof which indicated that he had a factual basis from independent third party records for concluding that prior allegations of rape had, in fact, been made and were, in fact, untrue.
376 Mass. at 95, 378 N.E.2d at 991. These decisions, in my view, provide the defendant with a reasonable opportunity for cross-examination, but are also appropriately sensitive to the interests of the complaining witness.
(3) The trial judge's ruling: McLean and Sherer examined.
There is no indication that the trial judge considered Mintz, Lawrence, or any cases from other jurisdictions when she prohibited the proposed cross-examination. As noted above, she evidently believed that the issue was controlled by McLean, Sherer, and Hughes. I cannot agree.
McLean, which presumptively proscribes examination of the complaining witness about her sexual history and reputation, does not deal at all with allegations by a complainant that she has previously been the victim of one or more sexual assaults. As the court noted in Bohannon,
the proposed questions dealt with prior allegations of rape; they in no way sought to elicit a response concerning the complainant's prior sexual activity or reputation for chastity. We, therefore do not reach any issues related to the recently enacted "rape-shield" statute.
376 Mass. at 95, 378 N.E.2d at 991 (emphasis added). Accord, West v. State, 290 Ark. 329, 330-34, 719 S.W.2d 684, 686-87 (1986); Covington, supra, 703 P.2d at 442; State v. Johnson, 66 N.C.App. 444, 446-47, 311 S.E.2d 50, 52, review denied, 310 N.C. 747, 315 S.E.2d 707 (1984); Woods, supra, 657 P.2d at 182 n. 1; But see United States v. Cardinal, 782 F.2d 34, 36 (6th Cir.), cert. denied, 476 U.S. 1161, 106 S.Ct. 2282, 90 L.Ed.2d 724 (1986); Carter v. State, 451 N.E.2d 639, 644-45 (Ind.1983). McLean stands for the proposition that consent may not be inferred from a woman's sexual activities with others; in the present case, the question of consent does not arise.
Sherer was not a sexual assault case at all. The defendant was charged with first degree murder while armed, and with several other offenses. A key prosecution witness was Garrison, Sherer's alleged accomplice. In a pretrial motion in limine, Sherer sought leave to examine Garrison about perjury which Garrison had allegedly committed in an earlier trial in Virginia. The government denied that Garrison had lied at that trial, contending among other things that he had passed two polygraph tests. The trial judge denied Sherer leave to conduct the proposed examination. This court affirmed, adopting as its own, 482 A.2d at 377, the following language from Hughes, supra, 641 F.2d at 792, a rape case in which the defendant had sought to cross-examine the complaining witness about a prior allegation of rape against another man:
First, any conclusions drawn from this fact that would bear on this case would depend upon whether it could be shown convincingly that the other charge was false. This is very doubtful. The offer of proof indicates that cross-examination would have revealed that [the complainant] contended the prior charge was true, that the man involved denied attempting to rape her, and that the district attorney did not prosecute the charge. The fact that the district attorney chose not to prosecute, in itself, could mean no more than that he decided he did not have sufficient evidence to obtain a conviction.
I find the distinctions between this case on the one hand and Sherer and Hughes on the other compelling. In Sherer, as in Hughes, the prosecution witness had made one prior allegedly false charge. In each case, the witness apparently continued to stand behind his or her previous accusation. Neither allegation had been withdrawn. There was no independent evidence suggesting that the complaining witness was unreliable or had made false charges of this kind.
In the present case, on the other hand, W.D. had made allegations against approximately nine men. She had given three inconsistent versions of what occurred between her and her half-brother Hank. In connection with the charges against the counsellor at Juvenile Horizons, eight different professional people had indicated (with varying degrees of emphasis) that W.D. probably ought not to be believed. Several of them alluded to her having "made up" stories in the past. W.D. admitted lying to the police about her name and age upon her arrest in Washington. As in Bohannon, the information suggesting her unreliability came from records relating to the complaining witness which were furnished by an agency which had no connection whatever with the defendant.
It is true that the formulation in Hughes, quoted in Sherer, makes the present issue turn on "whether it could be shown convincingly that the other charge was false." I do not believe, however, that the result in this case can or should be controlled by that one italicized word. "It is well to remember that significance is given to broad and general statements of law only by comparing the facts from which they arise with those facts to which they supposedly apply." Kraft v. Kraft, 155 A.2d 910, 913 (D.C.1959). Accord, Armour & Co. v. Wantock, 323 U.S. 126, 132-133, 65 S.Ct. 165, 168, 89 L.Ed. 118 (1944) (words of opinions are to be read in light of facts under discussion; transposition to other facts is often misleading).
The court in Sherer was addressing a specific factual situation. I do not think that it was attempting to analyze the standards applicable to cases with facts such as these here presented. The numerous precedents, some of which are cited in this opinion, were neither cited nor discussed. Indeed, in Lawrence, decided a year after Sherer in an opinion in which Sherer was repeatedly cited, the court reached a result which could not be sustained if, in every case, the defendant must "convincingly" show the witness' prior allegations to be false before being permitted to cross-examine with respect to them. Accordingly, reading Mintz, Sherer and Lawrence together, I believe it to be in the interest of justice, and consistent with District of Columbia authority, to adopt the reasoning of Bohannon, LeClair and similar cases discussed at page 339, supra. Applying that standard here, I am satisfied that Roundtree had a bona fide reasonable basis for believing that at least some of W.D.'s past allegations were false. Accordingly, he should have been permitted to question W.D. on the subject.
In summary, I would hold that the defendant must be allowed to cross-examine the complaining witness about prior claims of sexual assault as long as he has a bona fide reasonable basis for believing that any such claims may be untrue, unless the court specifically finds that the probative value of such an inquiry is substantially outweighed by its prejudicial effect. In assessing whether counsel has such a bona fide reasonable basis, the court should consider the number and nature of the claims, as well as any information counsel may have tending to cast doubt on the complainant's veracity. In considering prejudicial effect, the court should consider the need to avoid diversion of the trial to collateral inquiries as well as the danger, in particular cases, of inflaming the jury. See generally State v. LeClair, supra, 83 Or.App. at 129, 730 P.2d at 615 (court to consider prejudice, confusion, embarrassment or delay). The court should, however, also bear in mind the sound presumption that, in general, jurors will faithfully follow the judge's instructions. Hairston v. United States, 497 A.2d 1097, 1103 (D.C.1985).
(4) Abuse of discretion or error of law.
The government contends, and the majority holds, that the proper question for our review is whether the trial judge abused her discretion. It is not apparent to me that the judge was initially exercising discretion, or that she viewed herself as doing so. See Johnson v. United States, 398 A.2d 354, 363 (D.C.1979). Rather, she held that the proposed cross-examination was precluded by Sherer and McLean. Assuming, arguendo, that the judge was exercising discretion, see maj. op. at 324 n. 22, she did not purport to apply the test which I believe to be the correct one, nor did she consider precedents, other than Sherer, which pointed to a result different from the one she reached.
A trial court abuses its discretion when it rests its conclusions on incorrect legal standards. Jett v. Sunderman, 840 F.2d 1487, 1496 (9th Cir.1988). Exercise of judicial discretion must be founded upon correct legal principles. See Conrad v. Medina, 47 A.2d 562, 565 (D.C.1946). My view that the judge failed to apply the correct test—i.e., whether the defendant had a bona fide and reasonable belief that W.D.'s prior allegations were false—compels me to conclude that she reached the wrong result; if you ask the wrong question, you are apt to receive the wrong answer. Accordingly, I would hold that the judge's refusal to allow cross-examination of W.D. with regard to her prior complaints constituted error of law. Moreover, given the evidence from Minnesota, and especially the unfavorable professional and other assessments of W.D.'s veracity—assessments to which the trial judge apparently gave no consideration—I would conclude as a matter of law that any prejudice to the government or to W.D. from requiring her to respond to questions as to her past allegations against other men, without more, would not have "substantially outweighed" the probative value of the inquiry. See Bohannon, supra, 376 Mass. at 93-94, 378 N.E.2d at 990; Mintz, supra, 75 U.S.App.D.C. at 390, 127 F.2d at 745 (such evidence worth more than it costs).
The defense proffered the testimony of a physician who had examined W.D. The doctor was said to be prepared to testify that W.D. had contracted a venereal disease and that there was a "cheesy white extrudance" in her genital area. Counsel described the extrudance in his proffer as a "heavy discharge." He contended that it was incredible that Roundtree would have committed the crime under these circumstances.72
The prosecutor opposed admission of the evidence. He argued that, "in the light of the defense,"73 the evidence was irrelevant, and that its admission would be prejudicial to W.D. and to the government. The judge found the evidence "irrelevant to any issue." She never reached the question of prejudice.
I think the proffer was plainly relevant to the issue of motive (or the lack thereof) and disincentive. The jury could reasonably find it less likely that Roundtree, whose "lustful" motivation74 the government made substantial efforts to show,75 would want to come into oral contact with a diseased genital area than with a healthy one. If such evidence made it less probable that Roundtree was motivated to commit the crime, it likewise made it less likely that W.D. was telling the truth when she testified that Roundtree committed it.
"Motive is evidence of the commission of any crime." United States v. Bradshaw, 690 F.2d 704, 708 (9th Cir.1982), cert. denied, 463 U.S. 1210, 103 S.Ct. 3543, 77 L.Ed.2d 1392 (1983). It is "a state of mind that is shown by proving the emotion that brings it into being." United States v. Tierney, 760 F.2d 382, 387 (1st Cir.), cert. denied, 474 U.S. 843, 106 S.Ct. 131, 88 L.Ed.2d 108 (1985). Relevancy objections to evidence relating to motive have long been disfavored. Moore v. United States, 150 U.S. 57, 60-61, 14 S.Ct. 26, 27-28, 37 L.Ed. 996 (1893); Tierney, supra, 760 F.2d at 387. "[I]n general, any fact may be offered which by possibility can be conceived as tending with others towards the emotion in question." 2 J. WIGMORE, supra, note 20 § 389, at 417 (emphasis in original). The opportunity for sexual gratification can obviously provide a motive for Roundtree's conduct.
[It] appeared to me that there were miscellaneous references to two family members, a brother and a friend of the mother's. There is a reference to a sister's friend and a reference to attacks by some pimps and a reference to abduction, in addition to the more fully documented Juvenile Horizons event.
As noted at pages 332-333, supra, the Minnesota materials contained a good deal more, especially in regard to W.D.'s credibility as perceived by professional people who had worked with her.
The natural and proper timidity and delicacy which belongs to the female sex evidently unfits it for many of the occupations of civil life ... The paramount destiny and mission of woman are to fulfill the noble and benign offices of wife and mother. This is the law of the Creator.
the unchaste ... mentality finds incidental but direct expression in the narration of imaginary sex incidents of which the narrator is the heroine or the victim. On the surface the narration is straightforward and convincing.
3A J. WIGMORE, EVIDENCE § 924(a) (Chadbourn rev. ed. 1970). Accordingly, he proposes that no sexual assault case go to the jury unless a psychiatric examination has been performed and the examining physician has testified with respect to the complainant's mental health. Id.