STATE of Florida, Petitioner,
v.
Joseph R. SOWERS, Respondent.
District Court of Appeal of Florida, First District.
*395 Robert A. Butterworth, Attorney General; and Edward C. Hill, Jr., Assistant Attorney General, Tallahassee, for Petitioner.
Nancy A. Daniels, Public Defender; and Carol Ann Turner, Assistant Public Defender, Tallahassee, for Respondent.
BROWNING, J.
The State of Florida seeks an interlocutory appeal challenging a nonfinal pretrial order of the circuit court granting a defense motion in limine. As a result of the order, the State was precluded from introducing as evidence the testimony of one of its key witnesses, Russell Byrd. See Fla. R.Crim. P. 3.220(n) (providing sanctions for discovery rule violation). Treating this appeal as a petition for writ of common-law certiorari pursuant to Florida Rule of Appellate Procedure 9.040(c) and State v. Keel,
Joseph R. Sowers went to Santa Rosa County police and sheriffs department authorities on January 31, 1998, and disclosed that he had accidentally shot and killed his friend Ruben McCurdy ten days earlier at the trailer where the two men lived in Jay, Florida. After the autopsy indicated that the track of the wound on the victim was inconsistent with Sowers' initial story to the authorities, Sowers told law-enforcement personnel that after having an altercation with the victim, Sowers had fired the shotgun without aiming it, striking the victim in the head and killing him. On February 23, 1998, the State charged Sowers with the second-degree murder of McCurdy with a shotgun and grand theft of a firearm (McCurdy's shotgun).
Initial discovery promptly began after the filing of the State's information, and Assistant State Attorney Butler filed the State's March 1998 response to the request for discovery. Amended discovery responses were filed in June and July 1998. A superseding indictment, filed on July 2, 1998, charged Sowers with the first-degree premeditated murder of McCurdy with a weapon. On July 14, Assistant State Attorney Molchan filed an amended discovery exhibit listing witnesses and copies of reports. On August 19, Assistant State Attorney Rimmer took over the prosecution of the case and filed a notice of the State's intent to seek the death penalty. The defense's October 1998 motion to re-depose State witnesses was granted without an objection because premeditation was now an issue. In November, the case was set for trial in early March 1999. On February 2, 1999, the State filed its fifth and sixth amended discovery exhibits.
In its February 4, 1999, seventh amended discovery exhibit, the State listed, for the first time, Russell Byrd and Richard Kelley as individuals who had heard Sowers state that he had planned the murder in advance. Byrd's address was listed in care of his attorney in Milton, Florida. Kelley's address was shown as the Santa Rosa County Jail. On February 10 and 19, the defense filed additional discovery responses listing more witnesses whom it intended to call. The defense also filed a list of penalty phase witnesses.
On March 2, 1999, the defense filed a motion in limine alleging that the State had obtained documents from Byrd sometime in July 1998; that Byrd had information relating to premeditation and would testify that Sowers had told him of Sowers' plan to kill McCurdy; that the State had disclosed Byrd as a possible witness on February 3, 1999, but had given no address; that subsequently the defense was told that the State was not planning to call Byrd as a witness because he could not be found; that sometime around February 15, prosecutor Rimmer informed defense counsel that Byrd had been located in the Florida prison system and was going to be transported to Sowers' trial; that the defense had not had any opportunity to talk to or depose Byrd and could not adequately prepare for trial in the time remaining if Byrd was allowed to testify; and that the State's failure to list Byrd as a witness, in July 1998, constitutes a discovery violation. The defense sought the exclusion of Byrd's testimony as evidence.
In a second motion in limine, the defense alleged that on February 3, 1999, defense counsel had received amended discovery listing Richard Kelley as a State witness; that on February 23, defense counsel had questioned Kelley at deposition but that Kelley refused to answer questions regarding his knowledge of Sowers; and that Kelley had stated that he would not answer questions outside the *397 presence of his attorney and without a deal from the Office of the State Attorney relating to Kelley's own case. The movant sought to prohibit the State from submitting Kelley's testimony as evidence.
The trial court granted, in part, the motion in limine as to Kelley, on the condition that Kelley's testimony would not be allowed without the opportunity for the defense to depose Kelley and without a further Richardson hearing. The State sought a similar limiting ruling on the motion in limine as to Byrd.
In argument of counsel relating to the Byrd motion in limine, it was established that the attorney who initially had handled the case and who regularly had provided amended discovery, left the Office of the State Attorney, whereupon the case was reassigned to Rimmer. Rimmer indicated that on February 2, 1999, he discovered that neither Byrd nor Kelley had been listed in any of the discovery responses provided by the former prosecutor. About a month before trial, Rimmer filed the amended discovery document listing the two men's names. As the State claimed not to know Byrd's whereabouts at that time, Byrd's address was listed in care of his lawyer in Milton. Rimmer disclosed that the State had known that Byrd was in jail at one point, but that he had gotten out and could not be located. The mystery of Byrd's whereabouts was solved fortuitously when the State got the return of service on the subpoena that had issued for Byrd, whose wife revealed that he was in Lake Butler. This led the State to Byrd in the Florida prison system. The prosecution indicated that Byrd was scheduled to be transported to the local jail for deposition on March 5, 1999. At the motion hearing, the grand jury testimony was ordered but was not yet available. While admitting that the discovery disclosure was late, the State denied deliberately violating or intending to frustrate the rules of procedure.
The defense argued that the State's belated disclosure of Byrd's name and address prejudiced Sowers' ability to prepare an adequate defense because the defense had lost the opportunity to conduct both a contemporaneous investigation and a timely cross-examination during the period when Byrd was providing information about Sowers' alleged remarks. The defense asserted that Byrd had testified at the July 1998 grand jury proceeding, so that the State had his name and statement when the indictment for first-degree murder came back. Defense counsel contended that the discovery violation was serious and damaging because it related to the critical issue of premeditation. The defense asserted also that allowing a Friday deposition before the following Monday's jury selection could not remedy the prejudice.
The prosecutor opined that the defense was not prejudiced by the State's omission, in that the early February 1999 discovery exhibit had apprised Sowers of the essence of Byrd's statement, yet defense counsel failed to act immediately on this information. The State suggested that if, indeed, the belated disclosure of Byrd's name and address constituted a discovery violation, then the appropriate remedy was a continuance. Opposing any ruling excluding the witness, Rimmer asked the court to allow depositions and to permit the grand jury testimony to be transcribed before making a ruling.
In its written order, the trial court included findings based on the allegations in the motion in limine and on the above-noted argument of counsel. It granted the motion as to Byrd, thereby precluding the introduction of his testimony. Included in the order are findings that the State's failure to make a timely disclosure of Byrd's name and address constitutes a willful discovery violation of a substantial fact, resulting in prejudice to the defense. The State argues on appeal that the lower court erred in reaching this conclusion and in imposing the harsh sanction of witness exclusion without considering any of several available less severe remedies.
*398 The challenged order granting a pretrial motion in limine is a nonfinal order. See State v. Polak,
Although Florida Rule of Appellate Procedure 9.130 deals generally with proceedings to review nonfinal orders, subsection (a)(2) of the Rule provides that in criminal cases, review of nonfinal orders is prescribed by Rule 9.140. Rule 9.140(c)(1)[2] sets forth an exclusive list of the orders that the State may appeal. Subsection (c)(1) should be read in tandem with sections 924.07 & 924.071, Florida Statutes (1997), which designate the State's right to appeal by enumerating the same kinds of orders. In situations like the case at bar, where the nonfinal pretrial order does not involve one of the subjects or class enumerated in Rule 9.140(c)(1), the filing of a petition for certiorari is "an apt remedy." Pettis,
To be entitled to certiorari relief, the State must demonstrate that the trial court's order amounts to a violation of a clearly established principle of law, resulting in a miscarriage of justice. See Pettis,
Without intending to limit the nature or scope of such inquiry, we think it would undoubtedly cover at least such questions as whether the state's violation was inadvertent or willful, whether the violation was trivial or substantial, and most importantly, what effect, if any, did it have upon the ability of the defendant to properly prepare for trial.
Richardson,
Sowers asserts convincingly that the trial court conducted an adequate Richardson inquiry in the course of the hearing on the motion in limine; the State has the burden to demonstrate otherwise. It was alleged that Byrd had been a witness before the grand jury, which resulted in the July 2, 1998, superseding indictment alleging premeditated murder. Seven and one-half months passed before the State finally located Byrd again in the State's own prison system, and prosecutor Rimmer advised defense counsel of the State's intent to have Byrd transported to testify. The record supports the trial court's finding that the belated disclosure of Byrd's name, and even later disclosure of his address, constitutes a discovery violation.
The finding of a discovery violation triggered the Richardson inquiry. Noting that the State had Byrd's name and statement in its possession as early as July 1998, yet failed to disclose this significant information to the defense until February 1999, the trial court was justified in concluding that the State's discovery violation was willful. It can hardly be argued that the alleged statement of a prospective witness that a criminal defendant had admitted planning the murder in advance is anything other than crucial and substantial, where premeditation is an essential element of the charged offense. See Bradford,
"A determination whether to impose exclusion depends upon the totality of the circumstances." Miller v. State,
PETITION DENIED.
BENTON, J., CONCURS; MINER, J., CONCURS AND DISSENTS WITH OPINION.
MINER, J., concurring and dissenting.
While I agree with the majority that this appeal should be treated as a petition for common law certiorari, I believe the record before us demonstrates that the trial court departed from the essential requirements of law in excluding the testimony at issue here. Accordingly, I respectfully dissent from the contrary conclusion reached by my esteemed colleagues and would grant such petition.
In the case at bar, the defendant was originally charged by information filed on February 25, 1998, with murder in the second degree. Thereafter, on July 2, 1998, a superceding indictment charged him with premeditated murder. On February 3, 1999, the state served Sowers with an amended discovery notice which for the first time furnished the names of Russell Byrd and Richard Kelly.[3] The state alleged that Byrd and Kelly "heard defendant say he planned the murder in advance."
On March 2, 1999, the defendant filed a motion in limine arguing that the state's failure to list Russell Byrd earlier was a discovery violation which resulted in his being unable to adequately prepare for trial because he had been unable to talk to or depose Byrd. A similar motion was filed regarding Richard Kelly, who had refused to be deposed.
The day after the aforesaid motions were filed, a hearing was held on them. Of note here is the fact that jury selection in the case was not set to begin until some six days later. At the hearing, the state admitted that because of a change in prosecutors it had inadvertently failed to list Byrd previously and, indeed, was late in informing the defendant of Byrd and his statement. Since the state was unaware of Byrd's whereabouts at the time his name and the substance of his statement was given to the defendant, Byrd's address was given in care of the attorney who apparently represented Byrd at the time he and Sowers were fellow inmates in the county jail. This attorney also disclaimed any knowledge of where Byrd could be located.
The defendant was unable to locate Byrd as was the state until the state ultimately by a fortuitous circumstance discovered that Byrd was then serving time in a Florida prison. Defendant's counsel alleged that the state's failure to list Byrd in July, around the time he testified to the grand jury and the charge was increased to premeditated murder, was a serious discovery violation and further alleged that being allowed to depose Byrd was insufficient because the defendant was prejudiced by the lack of a reasonable time to investigate Byrd.[4]
*401 Sowers also argued that the state had advised his attorney approximately 20 days prior to the scheduled beginning of his trial that the state would not use Byrd as a witness because they could not locate him and then advised differently after it discovered Byrd's whereabouts.
The state argued that exclusion of Byrd's testimony was too severe a sanction for late discovery that resulted from oversight and should only be considered as a last resort. The trial court took the matter under advisement but expressed its concern that Byrd's testimony was "significant" and the state's delay in disclosing Byrd was "perplexing." The following day, the court issued an order granting the defendant's motion in limine with respect to Byrd finding that the state's failure to provide Byrd's name and nature of his statement earlier was a discovery violation, that Byrd's statement was "substantial" in the case on the issue of premeditation, and that the defense argument that defendant was prejudiced by its inability to investigate the circumstances of Byrd's statement "more thoroughly" was precluded by the passage of time was "meritorious." The court concluded as follows:
In summary, the court finds that although there may not have been an intent on the part of the State Attorney to frustrate the discovery rules, the name of the witness and the witness statement was in the possession of the State since approximately July of 1998 and the failure to disclose is a willful discovery violation of a substantial fact resulting in prejudice to the Defendant.
On that basis, the trial court excluded Byrd's testimony.
In State v. Pettis,
Here, the state admittedly was late in disclosing Byrd's name and statement.[5] If this is assumed to be a discovery violation, as the trial court found, the inquiry into prejudice in a Richardson[6] hearing is focused on "whether there was procedural rather than substantive prejudice. That inquiry involves two aspects. First, the court must determine whether the violation impaired the defendant's ability to prepare for trial." Thompson v. State,
In the instant case, the court found that the defendant was procedurally prejudiced because he was unable to investigate Byrd's statement when he made it in July, and the court excluded Byrd's testimony at trial. Austin v. State,
[i]n a system in which the search for truth is the principal goal, the severe sanction of witness exclusion for failure to timely comply with the rules of procedure should be a last resort and reserved for extreme or aggravated circumstances, particularly when the excluded testimony relates to critical issues or facts and the testimony is not cumulative.
Before excluding a witness, however, the court is required to determine whether other less severe means could be used to overcome the prejudice. See id. (reversing for new trial where defendant's late disclosure of witnesses resulted in their exclusion because trial court made "no effort... to determine whether reasonable means could have been employed to overcome the prejudice without resorting to the total exclusion of the witnesses").
In Donaldson v. State,
Not only is the instant case one in which there are no "extreme or aggravated circumstances," but there is nothing in the record to demonstrate that the trial court considered any less severe sanction than exclusion. In State v. Del Gaudio,
Thus, it is manifest that whatever prejudice to a defendant's ability to defend against the charges may be said to arise from a delay in providing him with discovery is cured when he is provided with such discovery, and there is no other impediment to his utilizing it in the preparation of his defense.
Id.
In this case, the defendant was provided with the witness's statement a month before trial and was set to depose him on the Friday before trial. If time was needed for investigation, a continuance would have provided the defendant with this opportunity. Jury selection was still a week off at the time the court heard the defense motion in limine. Moreover, in this case, because the defendant was being afforded the opportunity to depose the witness and was provided a copy of his grand jury testimony, the remainder of defendant's *403 claim of prejudice was no more than the assertion that he had insufficient time to obtain impeachment material, and "[c]ourts have held that exclusion is too severe a remedy where the only prejudice that can be shown due to the non-disclosure of a witness is an inability to obtain evidence for impeachment purposes." Miller v. State,
I believe that the record does not support the trial court's finding that the discovery violation here was willful. The court's order states that
although there may not have been an intent on the part of the State Attorney to frustrate the discovery rules, the name of the witness and the witness statement was in the possession of the State since approximately July of 1998 and the failure to disclose same is a willful discovery violation of a substantial fact resulting in prejudice to the Defendant.
(Emphasis added). "Willful" means voluntary and intentional, but not necessarily malicious, as opposed to accidentally or negligently. See Black's Law Dictionary (7th ed.1999). Not only is the court's finding of an unintentional willful violation inconsistent, but there is no record support for a finding of willfulness. The court's finding that the violation was willful is based solely on the amount of time it took for the state to discover and correct its omission. Although this may well constitute negligence, it does not constitute a willful violation. Compare State v. Davis,
To conclude, my reading of the record demonstrates that the trial court departed from the essential requirements of law by excluding the state's witness without considering any less severe remedy where the violation was admittedly unintentional, claims of prejudice could have been remedied by a continuance, and the defendant's remaining claim of prejudice, once the defendant deposed the witness, was that it had insufficient time to find material for impeachment. See State v. Davis,
I would grant the petition.
NOTES
Notes
[1] Richardson v. State,
[2] Rule 9.140(c)(1) states:
(c) Appeals by the State.
(1) Appeals Permitted. The state may appeal an order
(A) dismissing an indictment or information or any count thereof or dismissing an affidavit charging the commission of a criminal offense, the violation of probation, the violation of community control, or the violation of any supervised correctional release;
(B) suppressing before trial confessions, admissions, or evidence obtained by search and seizure;
(C) granting a new trial;
(D) arresting judgment;
(E) granting a motion for judgment of acquittal after a jury verdict;
(F) discharging a defendant under Florida Rule of Criminal Procedure 3.191;
(G) discharging a prisoner on habeas corpus;
(H) finding a defendant incompetent or insane;
(I) ruling on a question of law if a convicted defendant appeals the judgment of conviction;
(J) imposing an unlawful or illegal sentence or imposing a sentence outside the range permitted by the sentencing guidelines;
(K) imposing a sentence outside the range recommended by the sentencing guidelines;
(L) denying restitution;
(M) as otherwise provided by general law for final orders.
[3] Byrd and Kelly were apparently fellow inmates of Sowers in the county jail after he was arrested for the McCurdy murder.
[4] Appellant complained that because of the delay he did not have "the opportunity from that to make contact with a client specifically about Mr. Byrd; and we didn't have the chance to get Mr. Byrd's statement immediately and subject it to some type of cross examination." Moreover, appellant maintained that if he had known about Byrd and his statement earlier he also would have investigated with whom Byrd was housed in jail at the time and possibly found out if Byrd indicated that he was going to testify and get a deal.
[5] It is not now nor has it ever been asserted by Sowers that this delay was anything other than inadvertent.
[6] Richardson v. State,
