Lead Opinion
David Earl Robinson was charged with being a felon in possession of a firearm after selling a gun to a confidential informant (“Cl”). Six days before Robinson’s trial, the government’s star witness — the Cl who purchased the gun from Robinson — was involuntarily committed to a mental health facility. The district court reviewed the Cl’s medical files in camera but refused defense counsel access to them. It also precluded defense counsel from asking the Cl any questions about his mental health history or his use of prescription medications. Robinson was subsequently convicted of violating of 18 U.S.C. § § 922(g)(1) and 924(a)(2) and sentenced to 33 months’ imprisonment.
We must decide if the district court’s refusal to provide Robinson access to the Cl’s medical records contravened due process and whether the court’s limitations on cross-examination of the Cl violated the Sixth Amendment. We answer both questions in the affirmative.
Because of the restrictions imposed by the district court, the jury saw an incomplete and inaccurate picture of the Cl’s credibility. From the jury’s perspective, the Cl had only “a little bit” of a drug problem and was not “regularly” violating his agreement with the ATF by using drugs. By that version of events, the Cl had largely reformed himself after becoming an ATF informant. Further, although the Cl had trouble remembering various details about the events in question, he testified that the only reason for his memory loss was that two years had elapsed by the time of trial. Nothing in the testimony the jury heard suggested that the Cl had a reduced capacity to observe or narrate.
Had defense counsel been permitted to view the medical records and conduct a proper cross-examination, the jury would have seen a different picture. It would have learned that the Cl had been a heavy drug user since 2000 and had recently been abusing alcohol, cannibis, opioids, benzodiazepine, Valium, Klonopin, Darvocet, and Hydrocodone. The medical records contain admissions by the Cl that he had smoked a half-pound of marijuana in a single day shortly before trial and that he had been smoking up to a pound of marijuana per week. The jury would also have heard that the Cl had a “long history of mental illness” starting in 2000, which included auditory hallucinations, seeing “things out through the window that are not really there,” and “hearing voices telling him to do thing[s].” If the jury had been aware of this information, it may well have rejected the Cl’s testimony, without which Robinson could not have been convicted.
Exercising jurisdiction under 28 U.S.C. § 1291, we reverse and remand.
I
A
After receiving a tip from a Cl, agents with the Bureau of Alcohol, Tobacco, Firearms and Explosives (“ATF”) came to suspect a man named “PJ” of illegally possessing a pistol. An ATF agent requested that the Cl attempt to purchase the gun. When the Cl attempted to do so, however, he learned that PJ had already transferred the gun to Robinson, with whom the Cl was also acquainted. Suspecting the hand
After the Cl set up the purchase, he and an ATF agent drove to Robinson’s home. Before beginning the encounter, the agent searched the Cl for contraband and placed a small audio recording device in his pocket. The Cl then approached Robinson’s home and an adult male, whom the agent could not identify, opened the door to allow the Cl inside. After approximately one minute, the Cl returned to the agent’s car with a handgun. The agent took the handgun, gave the Cl cash, and sent him back inside to pay for the gun. Reentering Robinson’s home, the Cl dropped off the cash and returned to the agent’s car.
Following the purchase, the Cl confirmed, using a photographic lineup, that Robinson was the person from whom he purchased the gun. Robinson, a previously convicted felon, was subsequently indicted for possession of a firearm in violation of 18 U.S.C. §§ 922(g)(1) and 924(a)(2).
B
Shortly before Robinson’s trial, the government disclosed that the Cl had been involuntarily committed to Osawatomie State Hospital by his mother, who thought him to be suicidal. The government reported that the Cl would be released in time to testify. Robinson’s counsel then filed a motion requesting the district court to issue a subpoena for the Cl’s mental health records. The district court granted the motion but ordered the Cl’s records to be transmitted directly to the court. In the meantime, the government filed a motion in limine to preclude Robinson’s counsel from inquiring into the Cl’s mental health at trial.
Prior to argument on the motion, at an ex parte, in camera hearing, the court spoke with a psychiatrist at Osawatomie. The psychiatrist relayed his diagnosis of the Cl’s mental status and stated that in his opinion the Cl would be able to testify truthfully. Later, at the in limine hearing, the court ruled, “I am going to ... grant the Government’s motion in limine to preclude [cross-examination on the Cl’s mental condition]. However, I may take it under ... consideration at a later time because the [Cl’s medical] records will be presented to the Court.” It also informed the parties that the Cl had been diagnosed with “poly-substance abuse, mood disorder with an Axis II, temporary, for anti-social traits.”
The next day, the court heard additional arguments regarding the subpoena and the motion in limine. Voicing concern that the Cl’s mental health issues could be used in a “scurrilous effort to discredit” the Cl, the court reaffirmed its previous ruling, concluding the Cl’s mental condition was not material. It suggested that if defense counsel were permitted to question the Cl about his recent treatment, the jury could infer that “there may be something seriously wrong with [the Cl] .... [a]nd for that reason, they’re not going to believe him.”
Robinson’s counsel objected to the court’s ruling, citing United States v. Lindstrom,
C
The government’s first witness at trial was the ATF agent who had arranged the controlled buy. He described the process of recruiting and retaining the Cl and
Lastly, the government called the Cl to the stand. He confirmed the ATF agent’s account of the controlled buy and testified that Robinson was the man who let him into the house and sold him the gun. On cross-examination, Robinson’s counsel attempted to impeach the Cl by eliciting testimony on his criminal history, the payments he received from the ATF, and the ATF’s intervention on his behalf following “serapefs]” with the law. The Cl stated he was a close friend of the Robinson family, was able to come and go from Robinson’s house as he pleased, and had smoked marijuana with Robinson on the night before the controlled buy. The Cl maintained, however, that he had reformed himself after beginning his work with the ATF. He claimed that he had not “regularly” violated his Cl agreement and insisted he had only “a little bit” of a drug problem. When he was unable to recall certain details about the controlled buy, the Cl testified that the sole reason for his memory loss was the passage of time.
After the prosecution’s case-in-chief, the court reported that it had reviewed the Cl’s medical records in camera and reiterated its ruling that it would not furnish them to Robinson’s counsel. Although the court had previously provided the Cl’s psychiatric diagnosis to the parties, it failed to disclose that the records contained information on the Cl’s abuse of illegal and prescription drugs. Nor did the court apprise the parties that the records contained detailed evidence regarding the Cl’s psychiatric condition. Robinson’s counsel objected to the court’s decision: “[J]ust so the record is very clear, I request, once again, that [the records] be provided to me for review — not for use— but for review with the option of returning [the Cl] to the stand and asking him about them.” Robinson’s objection was overruled.
Robinson argued to the jury that the Cl was lying and had planted the gun in Robinson’s home the night before the buy. His case-in-chief consisted solely of testimony from witnesses called to impeach the Cl. One witness suggested that the Cl had a reputation for dishonesty, and three testified that the Cl had been inaccurate in his recollection of the number of children in the Robinson household.
Robinson was convicted and sentenced to 33 months’ imprisonment. He timely filed this appeal.
II
Robinson first contends that the district court violated the Due Process Clause of the Fifth Amendment by refusing him access to the Cl’s mental health records. Those records reveal three categories of evidence that Robinson claims were material to his defense: (1) illegal drug use by the Cl; (2) the Cl’s mental health condition; and (3) the Cl’s use of prescription medications at the time of trial. “This court reviews de novo whether a defendant’s due process rights have been violated.”
The district court concluded that the Cl’s records did not contain information material to Robinson’s defense. We cannot agree. “[Evidence is material ... if there is a reasonable probability that, had the evidence been disclosed to the defense, the result of the proceeding would have been different. A ‘reasonable probability’ is a probability sufficient to undermine confidence in the outcome.” Ritchie,
We conclude there exists “a reasonable probability that ... the result of the proceeding would have been different” had Robinson been privy to the contents of the Cl’s mental health records and been allowed to cross-examine the Cl on that basis. Ritchie,
Little evidence corroborates the key aspects of the Cl’s story. While the audio recording confirms the interaction between the Cl and the ATF agent, it sheds virtually no light on what occurred during the few moments the Cl was inside Robinson’s house. But those few moments are the government’s entire case. Moreover, the “controlled” buy was controlled in name only. It took place entirely outside the view of the ATF agent, and, as the government admits, its audio recording of the event “turned out to be of little evidentiary value.” (Appellee Br. at 27 n. 1.) By claiming that the crucial aspects of the Cl’s story were corroborated, the government “seriously underestimates the extent to which the government’s case rested on the credibility of the Cl. The Cl’s trial testimony was critical to [its] ability to link [Robinson] to the controlled buy.” Torres,
Because the Cl was the only witness who testified about Robinson’s possession and because his testimony was essentially uncorroborated, the Cl’s credibility was of paramount concern. See United States v. Payne,
These medical records reveal evidence of illegal drug use by the Cl that is far more extensive than the jury was led to believe. At trial, the Cl testified that he had cleaned up his act after beginning work with the ATF and that he was not “regularly” using drugs. The medical records belie this testimony. On his admission to the mental health facility (less than one week before trial), the Cl admitted to using drugs since 2000, including current use of “opio[i]d[s], alcohol, cannibis, and
Evidence of this extensive illegal drug use would have been used to impeach the Cl’s credibility in several ways. It directly contradicts his testimony that he had only “a little bit” of a drug problem and that he was not “regularly” using illegal drugs. Showing that the government’s star witness lied on the stand could well have impacted the jury. Further, the Cl’s agreement with the ATF prohibited him from engaging in criminal activity (including illegal drug use). The jury could have inferred that if the Cl were willing to repeatedly breach the terms of his informant agreement, he might also be willing to testify falsely.
Illegal drug use does not merely bear on the Cl’s veracity but also on his capacity as a witness. “A witness’s credibility may always be attacked by showing that his or her capacity to observe, remember, or narrate is impaired. Consequently, the witness’s capacity at the time of the event, as well as at the time of trial, is significant.” 4 Jack B. Weinstein & Margaret A. Berger, Weinstein’s Federal Evidence, § 607.05[1] (Joseph M. McLaughlin ed., 2d ed. 2009). Extensive drug use since 2000 suggests that the Cl could have been under the influence at the time of the alleged firearm sale. Moreover, “[i]f the witness was under the influence of drugs or alcohol at the time he testifies, this condition is provable, on cross or by extrinsic evidence, to impeach.” Kenneth S. Broun, McCormick on Evidence § 44 (6th ed. 2006) (alterations omitted). Had Robinson known that the Cl had much more than “a little bit” of a drug problem, he certainly would have explored whether the Cl was using drugs at the time of the alleged sale or at the time of trial. Cf. United States v. Crosby,
In addition to the drug use evidence, the Cl’s capacity to testify could have been further undermined by evidence of his mental condition. His medical records reveal that at the time of hospital admission (six days before trial), the Cl was suffering from auditory hallucinations, seeing “things out through the window that are not really there,” and possibly experiencing psychosis. On their face, these diagnoses bear on the Cl’s “ability to perceive or to recall events or to testify accurately.” United States v. Butt,
These records also show that the Cl was prescribed a variety of medications upon discharge from the hospital — medications the Cl was using at the time of trial. As even the dissent concedes, the Cl’s use of prescription drugs is relevant evidence given its potential to color his testimony, particularly in light of Cl’s insistence that only the passage of time explained his memory lapses.
We are not persuaded by the government and dissent’s reasoning that disclosing the medical records would not have bolstered Robinson’s theory of the case. This argument implies that impeachment evidence is material only if it undermines the credibility of a witness in a manner consistent with the defendant’s position at trial.
Disclosing the records may well have bolstered Robinson’s theory. Robinson argued that the Cl planted the gun in his house the night before the controlled buy (the Cl admitted that he was at Robinson’s house smoking marijuana that night). If the jury knew that the Cl had lied about his drug use on the stand, it might have found this theory more plausible. The extreme nature of the Cl’s drug use also provides a motive for the Cl to frame Robinson: continued funding through his ATF informant agreement to support his drug habit.
Moreover, we cannot know whether Robinson’s theory would have been different had he been permitted to review the material evidence in the Cl’s medical files, nor can we determine how the jury would have reacted to such hypothetical arguments. Cf. United States v. Montelongo,
The evidence contained in the records was not cumulative. Because Robinson was denied access to the records, he was not permitted to argue that the Cl’s drug use, mental health problems, and use of prescription drugs at the time of trial affected his testimony. United States v. Wilson,
In sum, viewed against the backdrop of Cl’s centrality to the government’s case, the withheld evidence of the Cl’s extensive drug abuse, his mental health issues, and his use of prescription drugs at the time of trial (whether considered individually or cumulatively) lead us to conclude that the verdict is not “worthy of confidence.”
Ill
We next consider whether the district court violated the Confrontation Clause when it forbade Robinson from cross-examining the Cl on his mental health history and his use of prescription medications.
A
The Sixth Amendment guarantees the right of a defendant to “be confronted with the witnesses against him.” U.S. Const, amend. VI. “[A] primary interest secured by [the Confrontation Clause] is the right of cross-examination.” Davis,
Evidence that the Cl has suffered from auditory hallucinations and saw “things out through the window that are not really
This is not a case in which a party attempts to unfairly malign a witness for distant and relatively minor mental health issues. See Moore,
In this case, the mental health testimony sought by Robinson concerns events that took place just days before trial began, unlike the situation in United States v. Moore, in which the relevant events occurred ten years before trial. See Moore,
B
The district court’s refusal to permit any inquiry into the Cl’s mental health history and use of prescription medications violated the Sixth Amendment. As we explained in United States v. Montelongo, “a constitutional violation occurs when the defendant is prohibited from engaging in otherwise appropriate cross-examination that, as a result, precludes him from eliciting information from which jurors could draw vital inferences in his favor.”
Although violations of the Confrontation Clause are subject to harmless error analysis, Van Arsdall,
Cross-examination into the Cl’s mental health history may have undermined the Cl’s credibility as a witness. As noted above, credibility concerns not only veracity, but the witness’s capacity to “observe, remember, or narrate” both at the time of the trial and at the time of the event. 4
For similar reasons, the district court’s refusal to allow cross-examination of the Cl regarding his use of prescription medication cannot be deemed harmless. When the Cl was discharged from the mental hospital just before trial, he was instructed to continue to take three medications: 20 mg of citalopram once a day, 500 mg of dicloxacillin four times a day, and 1 mg of risperidone twice a day.
We have already concluded there exists a “reasonable probability” the jury would have reached a different decision had Robinson been privy to the CPs prescription drug usage; it necessarily follows that the district court’s prohibition on cross-examination regarding the same topic cannot clear the high hurdle of harmlessness beyond a reasonable doubt. See Kyles,
IV
For the reasons stated, we REVERSE Robinson’s conviction and REMAND for further proceedings consistent with this opinion.
Notes
. The government and dissent assert that our review of this issue should be confined to plain error. We disagree. The district court was well aware that Robinson sought access to the Cl’s records based in part on due process grounds. In his pre-trial motion to
The waiver doctrine is intended in part to prevent a party from "sandbagging” — holding back arguments in hope of finding a more sympathetic audience on appeal. See Wainwright v. Sykes,
Admittedly, Robinson’s post-trial arguments centered on the Confrontation Clause, but that is hardly surprising. After all, "[a]ccess to the records is ... not [defense] counsel’s ultimate goal; it is an attempt to discover information that can be used to cross-examine the witness at trial, or to provide a basis to call the therapist or counselor as a witness and question him or her about the witness’s condition and treatment.” Clifford S. Fish-man, Defense Access to a Prosecution Witness's Psychotherapy or Counseling Records, 86 Or. L.Rev. 1, 3 n. 1 (2007).
. Ritchie's materiality test was taken from the Court's line of decisions beginning with Brady,
. The district court could have allowed defense counsel to explore these issues outside the presence of the jury and to argue their relevance before definitively ruling on their admissibility. See United States v. Mojica,
. The dissent states that some of the records were privileged and thus inadmissible. Although some of the records may be subject to a claim of privilege, we see no assertion of privilege in the record by the Cl or the prosecution (assuming the government could even claim the privilege on behalf of the Cl). The district court did not rule on the matter, and it is not argued in the parties’ briefs to this court. We also note that any privilege from disclosure has already been eviscerated because Robinson’s counsel apparently reviewed the records in crafting his appellate brief. Whether particular documents would be nonetheless inadmissible is a matter we leave for the district court to decide in the first instance.
. Of course, Robinson is not obligated to present any evidence at all; the government bears the burden of establishing guilt beyond a reasonable doubt. In re Winship,
. The Cl admitted that he reviewed police reports of the incident prior to testifying.
. Having concluded that the district court denied Robinson due process by refusing to provide access to the material portions of the Cl's mental health records, a further harmless-error analysis is unnecessary. See Kyles,
. Because questions regarding the scope of cross-examination are likely to arise on remand, we think it best for us to decide this issue.
. Because the district court did not limit Robinson's ability to cross-examine the Cl regarding illegal drug use, it did not violate the Sixth Amendment in that respect. However, for the reasons discussed above, the court denied Robinson due process by refusing to disclose the Cl's mental health records. See Part II, supra. Had Robinson been given access to those records, no doubt his cross-examination of the Cl as to illegal drug use would have been different.
. There is little in the record about the exact nature or potential side effects of these medications. However, there will nearly always be a lack of evidence on the record about the a particular issue when a defendant’s rights under the Confrontation Clause have been violated by forbidding cross-examination on that issue. In assessing the harm of the Confrontation Clause violation, we must therefore assume "that the damaging potential of th[is] cross-examination were fully realized," Van Arsdall,
. Because we reverse Robinson’s conviction, we need not decide his challenge to being shackled during sentencing or his appeal of his sentence.
Dissenting Opinion
dissenting.
I respectfully dissent. Unlike the majority, I would hold that because Robinson did not adequately raise his Due Process Clause claim before the district court, it is subject to plain error review on appeal and fails that standard. I also disagree with the majority that the district court violated the Confrontation Clause when it precluded an inquiry into the confidential informant’s (Cl) mental health. Such an inquiry would have been more prejudicial than probative under Federal Rule of Evidence 403. Finally, although I agree with the majority that the district court erred in limiting Robinson’s cross-examination of
I. Due Process Claim
Robinson’s first argument on appeal is that the district court denied him due process under Pennsylvania v. Ritchie,
Robinson did not adequately apprise the district court of his due process claim, making only general arguments that lacked the requisite specificity. And because the district court’s decision to maintain the confidentiality of the CPs psychiatric records was not contrary to the well-settled law of Ritchie, Robinson’s due process claim falls short under plain error review.
A. Failure to Preserve the Due Process Claim
Under our jurisprudence, issues not properly raised in the trial court — including those that implicate a defendant’s rights under the Constitution — are reviewed under the deferential plain error standard. See United States v. Redcorn,
In his reply brief, Robinson concedes that “the issue [of disclosure of the Cl’s psychiatric records] may not have been squarely raised [in the trial court] under the rubric of Due Process.” Aplt. Reply Br. at 2. Despite this admission, the majority asserts that Robinson did, indeed, squarely raise the due process issue in his pre-trial motion to subpoena the Cl’s medical records and in his post-trial motion to inspect the records. My review of these motions convinces me otherwise.
Nowhere in the pre-trial motion does Robinson mention the phrase “due process.” The majority suggests Robinson’s citation of United States v. Nixon,
As for the post-trial motion for inspection, there again Robinson failed to specifically apprise the district court of his due process claim. He argued that the “denial of access to the records prevents counsel for Mr. Robinson from adequately arguing for a new trial.” R. Vol. 1, Doc. 72 at 1. He also asserted, without explanation, that “[t]o deny access to the documents is to deny the defendant his Sixth Amendment right to the effective assistance of counsel, and his right to Due Process of Law.” Id. at 2. These “blanket objections” are precisely the kind that lack the “specificity required to preserve the precise issue ... on appeal.” Winder,
For his part, Robinson does not suggest his pre- and post-trial motions properly raised his due process claim. Instead, he argues that two cases he submitted to the district court prior to trial, United States v. Lindstrom,
In sum, the record shows that Robinson’s specific objections to the district court were based only on the Confrontation Clause. I would therefore review his due process claim for plain error. See United States v. Simpson,
B. The Merits of the Due Process Claim
To support his due process claim, Robinson relies primarily on the standards set forth in Ritchie. In that case, a state trial court refused a defendant’s request to order a child services agency to disclose privileged records pertaining to the victim of sexual abuse. The state law privilege applicable to the records was qualified, and a “court of competent jurisdiction” could order disclosure. Ritchie,
Employing a due process analysis, the Supreme Court held that the state court should have conducted an in camera review of the records, and should have re
Here, in light of Ritchie, the district court did not commit plain error when it denied Robinson access to the Cl’s psychiatric records. “Under plain-error review, an error is ‘plain’ if it is ‘obvious or clear, i.e., if it is contrary to well-settled law.’ ” United States v. Smith,
It is important to recognize that the bulk of the Cl’s medical records — i.e., the portions containing the Cl’s statements to his psychiatrists and their statements regarding his treatment — were potentially subject to federal privilege. See Jaffee v. Redmond,
Given these circumstances, the district court exercised caution and judgment despite the thorny legal issues that emerged on the eve of trial. And even though Robinson failed to properly raise his Ritchie claim, the court carefully followed the procedure approved in Ritchie by conducting an in camera review of the Cl’s psychiatric records, informing the parties of the Cl’s psychiatric diagnosis, hearing arguments from the parties (on several occasions), and determining that the records should remain confidential. See United States v. Haworth,
Moreover, the court’s decision comports with the Ritchie materiality requirement. Under Ritchie, only material evidence— i.e., that which “probably would have changed the outcome of ... trial” — need be disclosed to the defense.
In short, the district court’s refusal to permit Robinson to inspect the Cl’s psychiatric records was not plain error and cannot be the basis for reversal.
II. Confrontation Clause Claim
Although I would hold that the district court did not run afoul of the Due Process Clause in maintaining the confidentiality of the Cl’s psychiatric records, I agree with the majority that the district court erred when it prohibited Robinson from inquiring into the Cl’s prescription medications at trial. In doing so, the court improperly “preclude[d] an entire relevant area of cross-examination” and therefore infringed Robinson’s Confrontation Clause rights. United States v. Montelongo,
A. Mental Health
In denying Robinson the opportunity to question the Cl regarding his mental health, the court reasoned that any inquiry into the defendant’s mental state was irrelevant, would have introduced collateral issues at trial, and would have been more prejudicial than probative under Federal Rule of Evidence 403. Indeed, the court characterized Robinson’s efforts to use this evidence against the Cl as a mere “scurrilous effort to discredit” the CL R. Vol. 2, Doc. 93 at 10.
Though the Cl’s psychiatric problems might have provided Robinson ammunition to damage the Cl’s credibility before the jury, the court’s decision to exclude questions regarding the Cl’s mental state does not automatically establish a Confrontation Clause violation. Even when a defendant’s Confrontation Clause rights are implicated, “the presentation of evidence ... ‘must comply with established rules of evidence and procedure.’” United States v. Turner,
Like the district court in Hinkle, the trial court below “saw nothing in [the Cl’s medical] file or in the testimony given by the psychiatrist in camera that suggested that the witness’ credibility or perceptive capabilities were impaired.” Id.; see also United States v. Gonzalez-Sanchez,
In these circumstances, I would hold that the district court’s decision to foreclose cross-examination on the Cl’s mental health did not exceed the “wide latitude” trial courts are afforded in the context of Confrontation Clause challenges. Turner,
B. Prescription Medications
But the district court did not confine its cross-examination ruling to questions about the Cl’s mental health. Robinson was also prohibited from inquiring into the Cl’s prescription medications or even demonstrating why such cross-examination would have been appropriate. Though the district court did not explicitly state that any inquiry into the Cl’s psychiatric medications was off limits, defense counsel was understandably hesitant to delve into the issue.
As the majority points out, a witness’s use of drugs or medications is relevant to credibility. See United States v. Jones,
The issue could have been avoided had the district court allowed Robinson to conduct a voir dire of the Cl or, at minimum, allowed the parties to present arguments outside the presence of the jury regarding any medications the Cl was taking at the time of trial. Robinson could then have attempted to demonstrate why the medications were relevant to the Cl’s credibility. The prosecutor likely would have responded that the evidence was irrelevant or would have prejudiced the jury against the Cl. The court then could have made an informed ruling on the record regarding the admissibility of the evidence as it did with respect to the Cl’s mental health. But there is no such ruling on the record before us.
Thus, this case stands in contrast to other cases involving court-imposed limitations on cross-examination with respect to a witness’s mental health and psychiatric medications. On several prior occasions, we have upheld various restrictions on cross-examination, but usually some inquiry into the witness’s mental state was allowed. See United States v. LaVallee,
In sum, our precedent suggests the district court should have granted Robinson greater latitude in cross-examining the Cl — or at least granted him the opportunity to argue that cross-examination was warranted — regarding the medications the Cl was taking to treat his psychiatric problems.
C. Harmless Error
Notwithstanding the district court’s error, “the constitutionally improper denial of a defendant’s opportunity to impeach a witness ..., like other Confrontation Clause errors, is subject to ... harmless-error analysis.” Van Arsdall,
Robinson’s central argument on appeal is that the Cl lied about the firearm transaction. But most of the Cl’s testimony was corroborated; the only uncorroborated portion of the testimony addressed the events that took place inside Robinson’s house during the few moments of the controlled buy. As a consequence, Robinson falls back on a theory that strains credulity — he argues the lack of corroboration on this subject is critical, because it leaves open the possibility the Cl “left the gun with [Robinson] the night before [the controlled buy] and merely picked it up when the ATF took him to the residence.” Aplt. Reply Br. at 8. The jury heard the same theory during closing arguments and rejected it, and I am persuaded additional cross-examination would not have made a difference in bolstering this theory.
First, though the Cl’s testimony was central to the government’s case, it was largely corroborated by testimony from the ATF agent. Furthermore, the ATF agent testified he saw an unidentified black male (Robinson is African-American) invite the Cl into Robinson’s house, which suggests, in the very least, that the Cl was with Robinson — and not alone — in the house at the time of the controlled buy. And despite its rough quality, the audio recording of the controlled buy at least minimally corroborated that the Cl had a conversation with Robinson regarding the illegal pistol’s missing serial number.
Second, Robinson failed to present any witnesses to contradict the important elements of the Cl’s story. Instead, Robinson called three witnesses to challenge the Cl’s recollection of the number of children present in the Robinson home at the time of the controlled buy, in an attempt to undermine the Cl’s credibility. But the Cl never testified he saw the children at the time — he maintained that he merely
Third, the defense’s theory — that the Cl was lying and had planted the gun to frame Robinson — would not have been bolstered by admission of evidence regarding the Cl’s psychiatric medications. The Cl was not taking the medications at the time of the controlled buy. He may have been under the influence of illegal drugs, but Robinson’s counsel elicited this information during cross-examination and could have more fully explored the Cl’s drug abuse had he chosen to do so. That the Cl’s medications may have affected his memory at the time of trial does not shed any light on whether he lied about the transaction to federal agents or whether he intended to frame Robinson for the crime.
Fourth, Robinson was given ample opportunity to cross-examine the Cl on various other grounds, including his motive for becoming a confidential informant, the payments and favors he received from the ATF, his criminal history, and his drug use. For example, the cross-examination revealed the Cl had a criminal history, both as a juvenile and as an adult, and he became a confidential informant only after he was “arrested with a gun and some drugs by the Topeka Police Department.” R. Vol. 2, Doc. 93 at 96. The Cl also admitted the ATF paid him for his services and promised not to file criminal charges against him. Furthermore, after the Cl became an informant, the ATF twice intervened when he had “scrapes” with the law, ensuring no charges were filed against him. R. Vol. 2, Doc. 93 at 99-101. Finally, the Cl admitted he had smoked marijuana on various occasions — including the night before the controlled buy — in violation of his agreement with the ATF.
This cross-examination revealed to the jury the Cl’s potential bias in favor of the government and provided Robinson the opportunity to question the Cl’s credibility. The district court’s limitations on cross-examination must be viewed in light of the fact that Robinson was allowed an otherwise searching cross-examination of the Cl in many respects. In short, Robinson effectively challenged the Cl’s motive, bias, and credibility even without the information contained in the mental health records.
Finally, the government’s case against Robinson would have been strong even if Robinson had been allowed to cross-examine the Cl on his psychiatric medications. The government’s case consisted of testimony from the ATF agent, who carefully monitored the controlled buy and confirmed the information he received from the Cl; an audio recording of the controlled buy, which recorded the Cl discussing with Robinson the handgun’s missing serial number; and testimony from the Cl himself, who was under direct supervision of the ATF and had provided accurate information to the ATF on numerous prior occasions. Though the government’s case might have been tangentially weakened had Robinson been able to inquire into the Cl’s psychiatric medications during cross-examination, none of the government’s critical facts would have been contradicted.
Based on my review of the entire record, I am convinced that any error made by the district court in limiting cross-examination was harmless beyond a reasonable doubt. I would so hold, and would affirm Robinson’s conviction.
III. Conclusion
For the foregoing reasons, I respectfully dissent.
. Our decisions reaffirm Ritchie s holding that criminal defendants have no constitutional right to personally inspect privileged records containing potentially exculpatory evidence. See United States v. LaVallee,
. On the other hand, defense counsel did not ask the court whether its ruling indeed barred any reference to medications the Cl was taking at the time of trial.
