United States v. Robinson
Full Opinion (html_with_citations)
David Earl Robinson was charged with being a felon in possession of a firearm after selling a gun to a confidential informant (âClâ). Six days before Robinsonâs trial, the governmentâs star witness â the Cl who purchased the gun from Robinson â was involuntarily committed to a mental health facility. The district court reviewed the Clâs 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 monthsâ imprisonment.
We must decide if the district courtâs refusal to provide Robinson access to the Clâs medical records contravened due process and whether the courtâs 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 Clâs credibility. From the juryâs perspective, the Cl had only âa little bitâ of a drug problem and was not âregularlyâ 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 âlong history of mental illnessâ starting in 2000, which included auditory hallucinations, seeing âthings out through the window that are not really there,â and âhearing voices telling him to do thing[s].â If the jury had been aware of this information, it may well have rejected the Clâs 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 (âATFâ) came to suspect a man named âPJâ 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 Robinsonâs 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 Robinsonâs 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 agentâs car with a handgun. The agent took the handgun, gave the Cl cash, and sent him back inside to pay for the gun. Reentering Robinsonâs home, the Cl dropped off the cash and returned to the agentâs 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 Robinsonâs 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. Robinsonâs counsel then filed a motion requesting the district court to issue a subpoena for the Clâs mental health records. The district court granted the motion but ordered the Clâs records to be transmitted directly to the court. In the meantime, the government filed a motion in limine to preclude Robinsonâs counsel from inquiring into the Clâs 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 Clâs 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, âI am going to ... grant the Governmentâs motion in limine to preclude [cross-examination on the Clâs mental condition]. However, I may take it under ... consideration at a later time because the [Clâs medical] records will be presented to the Court.â It also informed the parties that the Cl had been diagnosed with âpoly-substance abuse, mood disorder with an Axis II, temporary, for anti-social traits.â
The next day, the court heard additional arguments regarding the subpoena and the motion in limine. Voicing concern that the Clâs mental health issues could be used in a âscurrilous effort to discreditâ the Cl, the court reaffirmed its previous ruling, concluding the Clâs 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 âthere may be something seriously wrong with [the Cl] .... [a]nd for that reason, theyâre not going to believe him.â
Robinsonâs counsel objected to the courtâs ruling, citing United States v. Lindstrom, 698 F.2d 1154 (11th Cir.1988), which held that a district court contravened the Confrontation Clause by narrowly limiting cross-examination as to a witnessâs psychiatric history. See id. at 1159-64. The court took Robinsonâs cited case law under consideration but did not alter its ruling. Defense counsel also sought a stay pending receipt of the Clâs medical records, which the court had not yet obtained, but that request was denied.
C
The governmentâs 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 agentâs 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, Robinsonâs counsel attempted to impeach the Cl by eliciting testimony on his criminal history, the payments he received from the ATF, and the ATFâs intervention on his behalf following âserapefs]â with the law. The Cl stated he was a close friend of the Robinson family, was able to come and go from Robinsonâs 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 âregularlyâ violated his Cl agreement and insisted he had only âa little bitâ 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 prosecutionâs case-in-chief, the court reported that it had reviewed the Clâs medical records in camera and reiterated its ruling that it would not furnish them to Robinsonâs counsel. Although the court had previously provided the Clâs psychiatric diagnosis to the parties, it failed to disclose that the records contained information on the Clâs abuse of illegal and prescription drugs. Nor did the court apprise the parties that the records contained detailed evidence regarding the Clâs psychiatric condition. Robinsonâs counsel objected to the courtâs decision: â[J]ust so the record is very clear, I request, once again, that [the records] be provided to me for review â not for useâ but for review with the option of returning [the Cl] to the stand and asking him about them.â Robinsonâs objection was overruled.
Robinson argued to the jury that the Cl was lying and had planted the gun in Robinsonâs 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 monthsâ 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 Clâs 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 Clâs mental health condition; and (3) the Clâs use of prescription medications at the time of trial. âThis court reviews de novo whether a defendantâs due process rights have been violated.â
The district court concluded that the Clâs records did not contain information material to Robinsonâs defense. We cannot agree. â[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 âreasonable probabilityâ is a probability sufficient to undermine confidence in the outcome.â Ritchie, 480 U.S. at 57, 107 S.Ct. 989 (quotation and alteration omitted).
We conclude there exists âa reasonable probability that ... the result of the proceeding would have been differentâ had Robinson been privy to the contents of the Clâs mental health records and been allowed to cross-examine the Cl on that basis. Ritchie, 480 U.S. at 57, 107 S.Ct. 989 (quotation omitted); see United States v. Torres, 569 F.3d 1277, 1282-84 (10th Cir.2009) (concluding that evidence was material and reversing conviction when government failed to disclose that the Cl, on whose testimony the conviction depended, had been retained by the government as an informant on two prior occasions); Part III A, infra. In weighing the materiality of the medical records, we note that the Cl was the only witness who testified directly to Robinsonâs possession; his testimony was central â indeed essential â to the governmentâs case. He arranged the purchase of the firearm and negotiated the purchase price. He is the only person who interacted with Robinson and the only one who identified Robinson. It is not a stretch to say that the guilty verdict in this case depended upon the Clâs testimony. See Torres, 569 F.3d at 1282-84; cf. Kyles, 514 U.S. at 441-45, 453-54, 115 S.Ct. 1555 (concluding that evidence was material and reversing for new trial when suppressed evidence could have undermined the credibility of prosecutionâs key witnesses).
Little evidence corroborates the key aspects of the Clâs 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 Robinsonâs house. But those few moments are the governmentâs entire case. Moreover, the âcontrolledâ 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 âturned out to be of little evidentiary value.â (Appellee Br. at 27 n. 1.) By claiming that the crucial aspects of the Clâs story were corroborated, the government âseriously underestimates the extent to which the governmentâs case rested on the credibility of the Cl. The Clâs trial testimony was critical to [its] ability to link [Robinson] to the controlled buy.â Torres, 569 F.3d at 1282.
Because the Cl was the only witness who testified about Robinsonâs possession and because his testimony was essentially uncorroborated, the Clâs credibility was of paramount concern. See United States v. Payne, 63 F.3d 1200, 1210 (2d Cir.1995) (âIn general, impeachment evidence has been found to be material where the witness at issue supplied the only evidence linking the defendant(s) to the crime.â (quotation omitted)). Given the importance of the Clâs credibility, we cannot affirm the district courtâs conclusion that the medical records did not contain material information. See Torres, 569 F.3d at 1282-83.
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 âregularlyâ 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 âopio[i]d[s], alcohol, cannibis, and
Evidence of this extensive illegal drug use would have been used to impeach the Clâs credibility in several ways. It directly contradicts his testimony that he had only âa little bitâ of a drug problem and that he was not âregularlyâ using illegal drugs. Showing that the governmentâs star witness lied on the stand could well have impacted the jury. Further, the Clâs 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 Clâs veracity but also on his capacity as a witness. âA witnessâs credibility may always be attacked by showing that his or her capacity to observe, remember, or narrate is impaired. Consequently, the witnessâs capacity at the time of the event, as well as at the time of trial, is significant.â 4 Jack B. Weinstein & Margaret A. Berger, Weinsteinâs 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, â[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.â Kenneth S. Broun, McCormick on Evidence § 44 (6th ed. 2006) (alterations omitted). Had Robinson known that the Cl had much more than âa little bitâ 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, 462 F.2d 1201, 1203 (D.C.Cir.1972) (district court abused its discretion in denying defense request to subpoena key witnessâs medical records when witness was long time drug addict who had used drugs on day of trial).
In addition to the drug use evidence, the Clâs 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 âthings out through the window that are not really there,â and possibly experiencing psychosis. On their face, these diagnoses bear on the Clâs âability to perceive or to recall events or to testify accurately.â United States v. Butt, 955 F.2d 77, 82 (1st Cir.1992) (quotation omitted). Robinsonâs attempt to access these records was anything but a âscurrilous effort to discreditâ the Cl; it was aimed at uncovering legitimate doubts as to the Clâs capacity as a witness.
These records also show that the Cl was prescribed a variety of medications upon discharge from the hospital â medications the Cl was using at the time of trial. As even the dissent concedes, the Clâs use of prescription drugs is relevant evidence given its potential to color his testimony, particularly in light of Clâs insistence that only the passage of time explained his memory lapses.
We are not persuaded by the government and dissentâs reasoning that disclosing the medical records would not have bolstered Robinsonâs 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 defendantâs position at trial.
Disclosing the records may well have bolstered Robinsonâs 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 Robinsonâs 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 Clâs 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 Robinsonâs theory would have been different had he been permitted to review the material evidence in the Clâs medical files, nor can we determine how the jury would have reacted to such hypothetical arguments. Cf. United States v. Montelongo, 420 F.3d 1169, 1176 (10th Cir.2005) (â[W]e cannot say for certain how much information the Defendants might have elicited from [the witness] on cross-examination, how the jury might have viewed [the witnessâs] demeanor on cross-examination, or how persuasive the evidence ... would have been to the jury.â). In light of the substantial evidence calling into question the Clâs perception and retention abilities, Robinson might have argued that the Cl did not remember the events at issue but was merely parroting the ATFâs version of events.
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 Clâs drug use, mental health problems, and use of prescription drugs at the time of trial affected his testimony. United States v. Wilson, 481 F.3d 475, 480 (7th Cir.2007) (â[E]vidence that provides a new basis for impeachment is not cumulative and could well be material.â). None of these avenues of impeachment is duplicative of those
In sum, viewed against the backdrop of Clâs centrality to the governmentâs case, the withheld evidence of the Clâs 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 âworthy of confidence.â
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 âbe confronted with the witnesses against him.â U.S. Const, amend. VI. â[A] primary interest secured by [the Confrontation Clause] is the right of cross-examination.â Davis, 415 U.S. at 315, 94 S.Ct. 1105 (quotation omitted). Although a district court may exercise its discretion through reasonable limits on the scope of questioning, â[c]rossexamination is the principal means by which the believability of a witness and the truth of his testimony are tested.â Id. at 316, 94 S.Ct. 1105. A court may violate the Confrontation Clause when it inappropriately âpreludes an entire relevant area of cross-examination.â Montelongo, 420 F.3d at 1175 (quotation omitted). As the Fifth Circuit has explained, âWhere the witness the accused seeks to cross-examine is the âstarâ government witness, providing an essential link in the prosecutionâs case, the importance of full cross-examination to disclose possible bias is necessarily increased.â Greene v. Wainwright, 634 F.2d 272, 275 (5th Cir.1981) (quotation omitted). Robinson was prohibited from questioning the prosecutionâs star witness on two highly relevant topics: the Clâs mental health and his prescription medication use. We hold that both limitations constitute reversible error.
Evidence that the Cl has suffered from auditory hallucinations and saw âthings 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, 923 F.2d at 912-13 (not an abuse of discretion to refuse to permit inquiry into a witnessâs consultation with a therapist ten years prior related to a childâs death). Instead, the present case parallels Greene v. Wainwright, in which the Fifth Circuit granted habeas relief after a trial court prohibited all inquiry into the mental health history of the prosecutionâs key witness. 634 F.2d at 275-76. In Greene, the governmentâs case turned on a single witnessâs testimony that Greene sold him marijuana. Our sibling circuit reasoned that â[i]t is just as reasonable that a jury be informed of a witnessâs mental incapacity at a time about which he proposes to testify as it would be for the jury to know that he then suffered an impairment of sight or hearing.â Id. at 276.
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, 923 F.2d at 913. The Clâs mental health issues also relate directly to his capacity to observe and remember. Cf. id. at 912-13 (visit to a therapist for death of a child not related to witnessâs capacity). As in Greene and unlike in Moore, the Clâs material testimony was wholly uncorroborated. Compare Moore, 923 F.2d at 913, with Greene, 634 F.2d at 275. Also as in Greene, the district courtâs cross-examination prohibition here was categorical. See Greene, 634 F.2d at 275. Under these circumstances, the district court erred under Rule 403 by imposing a blanket proscription of cross-examination related to the Clâs mental health condition and his use of prescription medications.
B
The district courtâs refusal to permit any inquiry into the Clâs mental health history and use of prescription medications violated the Sixth Amendment. As we explained in United States v. Montelongo, âa 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.â 420 F.3d at 1175 (quotation omitted).
Although violations of the Confrontation Clause are subject to harmless error analysis, Van Arsdall, 475 U.S. at 684, 106 S.Ct. 1431, these errors were not harmless beyond a reasonable doubt. Id. As discussed in Part II, supra, the Clâs credibility provides the lynchpin of the governmentâs case: He is the only witness who identified Robinson and his testimony is the only useful evidence linking Robinson to possession of the gun. The juryâs view of his credibility was therefore crucial. See Payne, 63 F.3d at 1210.
Cross-examination into the Clâs mental health history may have undermined the Clâs credibility as a witness. As noted above, credibility concerns not only veracity, but the witnessâs capacity to âobserve, remember, or narrateâ both at the time of the trial and at the time of the event. 4
For similar reasons, the district courtâs 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 âreasonable probabilityâ the jury would have reached a different decision had Robinson been privy to the CPs prescription drug usage; it necessarily follows that the district courtâs prohibition on cross-examination regarding the same topic cannot clear the high hurdle of harmlessness beyond a reasonable doubt. See Kyles, 514 U.S. at 435-36, 115 S.Ct. 1555; Van Arsdall, 475 U.S. at 684, 106 S.Ct. 1431.
IV
For the reasons stated, we REVERSE Robinsonâs conviction and REMAND for further proceedings consistent with this opinion.
. 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 Clâs 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 "sandbaggingâ â holding back arguments in hope of finding a more sympathetic audience on appeal. See Wainwright v. Sykes, 433 U.S. 72, 89, 97 S.Ct. 2497, 53 L.Ed.2d 594 (1977). When the district court understands a party to have raised a particular argument, that goal is met. See United States v. Pena, 216 F.3d 1204, 1209 (10th Cir.2000) (relying on the district courtâs understanding of an argument to determine waiver issue); United States v. Mejia-Alarcon, 995 F.2d 982, 985 n. 1 (10th Cir.1993) (same).
Admittedly, Robinsonâs post-trial arguments centered on the Confrontation Clause, but that is hardly surprising. After all, "[a]ccess to the records is ... not [defense] counselâs 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 witnessâs condition and treatment.â 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, 373 U.S. at 87, 83 S.Ct. 1194. Ritchie, 480 U.S. at 57, 107 S.Ct. 989.
. 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, 185 F.3d 780, 788-89 (7th Cir.1999); cf. Fed. R.Evid. 104(a).
. 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 partiesâ briefs to this court. We also note that any privilege from disclosure has already been eviscerated because Robinsonâs 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, 397 U.S. 358, 364, 90 S.Ct. 1068, 25 L.Ed.2d 368 (1970).
. 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, 514 U.S. at 435-36, 115 S.Ct. 1555.
. 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 defendantâs 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, 475 U.S. at 684, 106 S.Ct. 1431.
. Because we reverse Robinsonâs conviction, we need not decide his challenge to being shackled during sentencing or his appeal of his sentence.