Opinion ID: 2062667
Heading Depth: 1
Heading Rank: 2

Heading: the defense request for instructions on self-defense and defense of a third party

Text: In order to determine whether Cowan has preserved for appeal the question whether the jury should have been instructed on self-defense or defense of a third person, it is necessary to set forth the context in which the issue arose and the respective strategies employed by counsel for both sides. The prosecution's basic theory, as we have seen, was that Cowan shot Knox; Giles was viewed as an aider and abettor. Cowan's defense, on the other hand, was that Giles was the shooter, that Cowan was innocent, and that the prosecution had not proved that Cowan was even present on the scene. The government countered this defense with an alternative theory that, even if Giles was the person who shot Knox, Cowan was aiding and abetting Giles in the attempted distribution of cocaine, and was thus guilty of felony murder. Based on this alternative theory, which was applicable only to the felony murder count, the prosecutor requested the judge to instruct the jury with respect to the law of aiding and abetting. Cowan's attorney objected, not without reason, that the prosecution's alternative theory had not been presented to the grand jury and could not now be invoked at trial. Counsel also requested that if, but only if, the judge instructed on aiding and abetting, that he also instruct the jury, with respect to the felony murder count, as to self-defense and defense of a third person. In the absence of an instruction on aiding and abetting, the defense wanted no instruction whatever on self-defense or defense of a third person. There were obvious strategic reasons which dictated defense counsel's caution. Cowan's attorneys understandably apprehended that, if these defenses were emphasized, the jury might assume that Cowan was the shooter, and that this might dilute and detract from the basic defense theory that it was Sammie Giles who shot the decedent. Indeed, one of Cowan's attorneys candidly acknowledged her concern: I think the problem with that is it makes the defense sound like we're telling you we didn't do it, but if you think we did it then we have another reason, and that sounds bad.       [Self defense] shouldn't be put as being our theory, because it makes it look like we're trying to pull the wool over the jury's eyes. (Emphasis added.) To avoid this impression, the defense had to tread very cautiously. Counsel therefore made two important strategic decisions. First, the defense would seek the instructions on self-defense and defense of a third person only if the prosecutor's request for an aiding and abetting instruction was granted, and even then, only as to felony murder; this was because the prosecutor's aiding and abetting request was based on the theory that Giles did the shooting, and was thus potentially helpful to Cowan's basic defense. Second, Cowan's attorneys did not want the judge to include self-defense or defense of a third person in his instruction on the defense theory of the case; rather, they wanted this issue to appear to emanate from the judge, not from the defense.
It was the government's secondary theory  that Cowan was guilty of felony murder as an aider or abettor even if Giles did the shooting  that triggered defense counsel's limited request for instructions on self-defense and defense of another: THE COURT: Well, they are asking for self-defense. MR. COBB [prosecutor]: I don't know. THE COURT: They are. MS. SUPLER [defense counsel]: Your Honor, that would only be if the court allows the government to argue and give the instruction of the aiding and abetting theory for a felony murder. If the court doesn't then no. Our theory is that we did not do the shooting, therefore, we're not guilty for that reason alone. And we wouldn't need the self-defense or a defense of other instruction. Because, remember, we are asking the Court not to couch it in that the defendant used self-defense, but if the shooter used self-defense. See, that's perfectly consistent with our theory. If the court doesn't allow the aiding and abetting argument by the government, then we don't need those instructions because our defense is that we weren't the shooter. It was Sammy Giles. (Emphasis added). When the judge expressed some bewilderment, Cowan's attorney explained that if Mr. Giles shot in self-defense, and we can also be guilty because of his shooting, then we get the transferred self-defense intent. Counsel continued as follows: James Cowan did not have a gun in his possession and did not participate in a drug transaction. And, then, if the  and only if the court is going to allow the government the aiding and abetting theory on the felony murder, then we'll ask for the three instructions in the order I presented with the language I presented. (Emphasis added). The trial judge fully understood, and counsel for both parties agreed, that the government's request for an aiding and abetting instruction was limited to the felony murder count, and that the request for instructions on self-defense and defense of a third person were similarly limited (and also conditioned on the aiding and abetting instruction): THE COURT: Second degree murder only if the jury finds beyond a reasonable doubt that it was Cowan that did the shooting. MR. COBB: Yes. THE COURT: Now, insofar as the felony murder, I will give aiding and abetting on it, government's theory that Cowan did the shooting, the defendant's theory that Giles did the shooting, but in any event, in any event, if Giles did the shooting or whoever did the shooting, it was done in self-defense, either of the person or of the other person. All right? MS. SUPLER: That's correct. (Emphasis added). At no time prior to closing argument did the defense ask for an instruction on self-defense or defense of a third person with respect to any offense other than felony murder. Moreover, Cowan's attorney emphasized several times that she did not want these instructions to be given if the court did not instruct on aiding and abetting. This was the posture of the case when counsel delivered their closing arguments.
During his closing argument, the prosecutor argued that Cowan shot Knox. He also told the jurors, however, that the judge was going to instruct them on the defense theory that Giles was the shooter. On that hypothesis, the prosecutor explained that if the two defendants were working in concert, Cowan could be guilty of felony murder as an aider an abettor. In spite of the earlier exchanges between court and counsel about self-defense and defense of a third person, however, Cowan's attorney mentioned neither of these theories when it was his turn to present his final argument. Upon the completion of the closing arguments, the judge and the attorneys revisited the question of the instructions. Cowan apparently [5] takes the position that, during the course of these post-argument discussions, his attorneys changed their earlier position and asked unconditionally for instructions on self-defense and defense of a third person, whether or not the judge ultimately instructed on aiding and abetting. The record does not bear him out. Cowan's attorney suggested to the judge, in connection with the felony murder instruction, that the court should say purposefully kills a human being without justification because of our possible self-defense case. The judge responded that I don't know where you got self-defense.... He complained that I don't know what you're saying. The guy wasn't there, that he didn't do anything, and that Giles did it. I just don't know what your position is. Cowan's attorney explained that we would ask for the self-defense instruction that we asked and [the] government asked after the theory of defense instruction. (Emphasis added). Evidently, the defense request remained the same as it had been prior to closing argument. The prosecutor complained, however, that Cowan's attorneys had not mentioned self-defense in closing argument, but that they were nevertheless inconsistently seeking an instruction on that theory. Defense counsel immediately countered with the same position which she had taken prior to closing argument: MS. SUPLER: Your Honor, our position is that Sammy Giles did the shooting. Now the jury can find either that we weren't out there in which case they are not going to need to worry about self-defense. But they could find that [we] were out there. They could find that we're guilty of the attempt distribution but find that Sammy Giles had a self-defense claim and, therefore, we should have the right to that as well. (Emphasis added). The judge then indicated that, if there was to be a self-defense instruction, it should be a part of the defendant's theory of the case. Defense counsel demurred, because the jury could find that they could not believe our theory of the defense. And if they choose not to believe our theory of defense that Sammy, Sammy Giles shot it, then they could also believe that our client shot in self-defense. ... (Emphasis added). The italicized phrase represents the first occasion in which a self-defense claim was articulated by the defense outside the context of aiding and abetting. The judge, however, was not persuaded. He indicated that if the defense attorneys did not want self-defense and defense of a third person to be a part of the defendant's theory of the case, he would not instruct on those defenses. Cowan's attorney remonstrated that since she was contending that Giles was the shooter, it would sound bad to make self-defense an alternative defense theory of the case. The attorney then made the argument on which Cowan now primarily relies as proof that his point was preserved: MS. SUPLER: No, Your Honor, because when there  when self-defense is raised in a case, when the defense has met [its] prima facie burden, which we have here, because we have a right to the instruction, then it becomes an element the government has to disprove. So it doesn't have to be our theory of defense. But they still have to disprove it, because it has been raised. And, so, the court shouldn't say that it's our, that it's an alternative theory. Because it's not. It's an element that the government must disprove. And, so, it should be almost like another element. (Emphasis added). If this passage stood alone, one might reach the conclusion that counsel had changed her previous position and was now asking for self-defense and defense of a third person instructions for second-degree murder as well as for felony murder, and that she wanted the judge to give those instructions independently of any question of aiding and abetting. On the very next page of the transcript, however, Cowan's attorney dispelled any such notion, and reiterated that her request was limited to felony murder and was still conditioned on the judge's also instructing the jury on aiding and abetting. She stated that proof that the shooting was not done in self-defense or defense of another has become another element to the felony murder, not to the second degree murder because we aren't claiming self-defense at all there. ... (Emphasis added). The judge ultimately decided not to instruct at all on self-defense or defense of a third person. He also declined to instruct on aiding and abetting.
Rule 30 of the Superior Court's Rules of Criminal Procedure provides in pertinent part as follows: No party may assign as error any portion of the charge or omission therefrom unless that party objects thereto before the jury retires to consider its verdict, stating distinctly the matter to which that party objects and the grounds of the objection. In the absence of a timely objection, a conviction may be reversed only for plain error. Watts v. United States, 362 A.2d 706, 708-09 (D.C.1976) (en banc). Plain error contemplates a clear showing of a miscarriage of justice. Hunter v. United States, 606 A.2d 139, 141 (D.C.1992). There is no evidence that Cowan ever requested an instruction on self-defense or defense of another with regard to the charges of second-degree murder, attempted distribution of cocaine, or CPWOL. Such instructions have no conceivable relevance to the drug and weapons counts, and Cowan's attorneys repeatedly disclaimed any interest in self-defense or defense of a third person in relation to the second-degree murder charge. Cowan's request that we reverse these three convictions is totally lacking in merit. His position is not appreciably more persuasive with respect to his felony murder conviction. On several occasions prior to closing argument, [6] defense counsel unambiguously stated that they were requesting instructions on self-defense and defense of a third person only if the judge gave an aiding and abetting instruction on felony murder. In doing so, Cowan's attorneys invited the judge not to instruct on self-defense and defense of a third party if no aiding and abetting instruction was given. Courts are especially reluctant to reverse for plain error when it is invited. United States v. Mangieri, 224 U.S.App. D.C. 295, 305, 694 F.2d 1270, 1280 (1982). After closing argument, Cowan's attorneys essentially reiterated the position which they had taken previously. At the very least, they did not clearly change it. On one occasion, to be sure, counsel spoke about self-defense even if Cowan was the shooter, but she did not revise her prior request to charge. She also suggested that a showing that a defendant did not act in self-defense or in defense of another is in effect an element which the prosecution must prove. On the very next page of the transcript, however, counsel reiterated that she was not seeking a self-defense instruction for second-degree murder, an offense which did not involve aiding or abetting. Rule 30 precludes reversal of Cowan's conviction for alleged instructional error unless he stated his thesis in the trial court distinctly. See Britton v. United States, 112 U.S.App.D.C. 207, 208, 301 F.2d 531, 532 (1962) (per curiam). Cowan having clearly and unambiguously linked self-defense and defense of a third person with aiding and abetting, it was surely incumbent upon his attorneys, if they were changing their position, to make that change plain and unambiguous, so that the judge could readily understand it. As we recently noted in Hunter, supra, 606 A.2d at 144, [o]bjections must be made with reasonable specificity; the judge must be fairly apprised as to the question on which he is being asked to rule. Points not asserted with sufficient precision to indicate distinctly the party's thesis will normally be spurned on appeal. Nowhere in this record did Cowan's attorneys state distinctly, with reasonable specificity, or with sufficient precision that their initial (and carefully conceived) position had become inoperative, and that they were now requesting self-defense and defense of a third person instructions unconditionally and across the board. Since the judge never gave an aiding or abetting instruction, the event upon which Cowan's instructional request was conditioned never materialized. Accordingly, his objections in this court to the charge as given must fail, for parties may not assert one theory at trial and another on appeal. Hackes v. Hackes, 446 A.2d 396, 398 (D.C.1982). [7]