Source: https://supreme.justia.com/cases/federal/us/484/400/
Timestamp: 2019-04-22 04:06:29+00:00

Document:
Well in advance of petitioner's state court trial for attempted murder, the prosecutor filed a discovery motion requesting a list of defense witnesses. Petitioner's answer failed to list one Wormley, as did his amended answer, submitted and accepted on the first day of trial, identifying two witnesses who were never called to testify. On the second day of trial, after the prosecution's two principal witnesses had completed their testimony, petitioner's counsel made an oral motion to further amend the discovery answer to include Wormley. Counsel explained that Wormley had probably seen the entire incident that led to the indictment, and that, although petitioner had told counsel about Wormley earlier, counsel had been unable to locate Wormley. At a subsequent voir dire examination, Wormley testified that he had not been a witness to the incident itself, but had earlier seen the victim and his brother carrying guns and threatening petitioner, and that he just happened to run into petitioner and warned him to watch out. On cross-examination, Wormley acknowledged that he had first met petitioner over two years after the incident in question, and that defense counsel had visited him at his home during the week before the trial began. As a sanction for the failure to identify Wormley in the discovery answer, the trial judge refused to allow Wormley to testify before the jury. The judge explained that petitioner's counsel had committed a blatant and willful violation of the discovery rules, and that the judge doubted the veracity of Wormley's testimony. The Illinois Appellate Court affirmed petitioner's conviction.
1. The Compulsory Process Clause of the Sixth Amendment may, in an appropriate case, be violated by the imposition of a discovery sanction that entirely excludes the testimony of a material defense witness. The Clause is not merely a guarantee that the accused shall have the power to subpoena witnesses, but confers on the accused the fundamental right to present witnesses in his own defense. Pp. 484 U. S. 407-409.
violations are willful and motivated by a desire to obtain a tactical advantage or to conceal a plan to present fabricated testimony, it would be entirely appropriate to exclude the witnesses' testimony regardless of whether other, less drastic sanctions might be available, adequate, and merited. Pp. 484 U. S. 410-416.
3. The exclusion of Wormley's testimony did not constitute constitutional error. Pp. 484 U. S. 416-418.
(a) The fact that the voir dire examination of Wormley may have adequately protected the prosecution from prejudice resulting from surprise does not render the imposition of the preclusion sanction unnecessarily harsh. The record raises strong inferences that petitioner's counsel was deliberately seeking a tactical advantage in failing to list Wormley as a witness, and that "witnesses [were] being found that really weren't there." Thus, the case fits into the category of willful misconduct for which the severe sanction of preclusion is justified in order to protect the integrity of the judicial process. Pp. 484 U. S. 416-417.
(b) It is not unfair to hold petitioner responsible for his lawyer's misconduct. The lawyer necessarily has full authority to manage the conduct of the trial, and the client must accept the consequences of the lawyer's trial decisions. Pp. 484 U. S. 417-418.
141 Ill.App.3d 839, 491 N.E.2d 3, affirmed.
STEVENS, J., delivered the opinion of the Court, in which REHNQUIST, C.J., and WHITE, O'CONNOR, and SCALIA, JJ., joined. BRENNAN, J., filed a dissenting opinion, in which MARSHALL and BLACKMUN, JJ., joined, post, p. 484 U. S. 419. BLACKMUN, J., filed a dissenting opinion, post, p. 438.
A jury convicted petitioner in 1984 of attempting to murder Jack Bridges in a street fight on the south side of Chicago on August 6, 1981. The conviction was supported by the testimony of Bridges, his brother, and three other witnesses. They described a 20-minute argument between Bridges and a young man named Derrick Travis, and a violent encounter that occurred over an hour later between several friends of Travis, including petitioner, on the one hand, and Bridges, belatedly aided by his brother, on the other. The incident was witnessed by 20 or 30 bystanders. It is undisputed that at least three members of the group which included Travis and petitioner were carrying pipes and clubs that they used to beat Bridges. Prosecution witnesses also testified that petitioner had a gun, that he shot Bridges in the back as he attempted to flee, and that, after Bridges fell, petitioner pointed the gun at Bridges' head, but the weapon misfired.
his brother by mistake. No other witnesses testified for the defense.
Well in advance of trial, the prosecutor filed a discovery motion requesting a list of defense witnesses. [Footnote 2] In his original response, petitioner's attorney identified the two sisters who later testified and two men who did not testify. [Footnote 3] On the first day of trial, defense counsel was allowed to amend his answer by adding the names of Derrick Travis and a Chicago police officer; neither of them actually testified.
weapons." [Footnote 8] On cross-examination, Wormley acknowledged that he had first met defendant "about four months ago" (i.e., over two years after the incident). He also acknowledged that defense counsel had visited him at his home on the Wednesday of the week before the trial began. Thus, his testimony rather dramatically contradicted defense counsel's representations to the trial court.
"THE COURT: All right, I am going to deny Wormley an opportunity to testify here. He is not going to testify. I find this is a blatent [sic] violation of the discovery rules, willful violation of the rules. I also feel that defense attorneys have been violating discovery in this courtroom in the last three or four cases blatantly, and I am going to put a stop to it and this is one way to do so."
"Further, for whatever value it is, because this is a jury trial, I have a great deal of doubt in my mind as to the veracity of this young man that testified as to whether he was an eyewitness on the scene, sees guns that are wrapped up. He doesn't know Ray, but he stops Ray."
"At any rate, Mr. Wormley is not going to testify, be a witness in this courtroom."
"[t]he decision of the severity of the sanction to impose on a party who violates discovery rules rests within the sound discretion of the trial court."
The court concluded that, in this case, "the trial court was within its discretion in refusing to allow the additional witnesses to testify." Id. at 844-845, 491 N.E.2d at 7. The Illinois Supreme Court denied leave to appeal, and we granted the petition for certiorari, 479 U.S. 1063 (1987).
"[o]ur cases establish, at a minimum, that criminal defendants have the right to the government's assistance in compelling the attendance of favorable witnesses at trial and the right to put before a jury evidence that might influence the determination of guilt."
Pennsylvania v. Ritchie, 480 U. S. 39, 480 U. S. 56 (1987). Few rights are more fundamental than that of an accused to present witnesses in his own defense, see, e.g., Chambers v. Mississippi, 410 U. S. 284, 410 U. S. 302 (1973). Indeed, this right is an essential attribute of the adversary system itself.
comprehensive. The ends of criminal justice would be defeated if judgments were to be founded on a partial or speculative presentation of the facts. The very integrity of the judicial system and public confidence in the system depend on full disclosure of all the facts, within the framework of the rules of evidence. To ensure that justice is done, it is imperative to the function of courts that compulsory process be available for the production of evidence needed either by the prosecution or by the defense."
"The right to offer the testimony of witnesses, and to compel their attendance, if necessary, is in plain terms the right to present a defense, the right to present the defendant's version of the facts as well as the prosecution's to the jury, so it may decide where the truth lies. Just as an accused has the right to confront the prosecution's witnesses for the purpose of challenging their testimony, he has the right to present his own witnesses to establish a defense. This right is a fundamental element of due process of law."
Washington v. Texas, 388 U. S. 14, 388 U. S. 19 (1967).
The right of the defendant to present evidence "stands on no lesser footing than the other Sixth Amendment rights that we have previously held applicable to the States." Id. at 388 U. S. 18. We cannot accept the State's argument that this constitutional right may never be offended by the imposition of a discovery sanction that entirely excludes the testimony of a material defense witness.
Petitioner's claim that the Sixth Amendment creates an absolute bar to the preclusion of the testimony of a surprise witness is just as extreme, and just as unacceptable as the State's position that the Amendment is simply irrelevant. The accused does not have an unfettered right to offer testimony that is incompetent, privileged, or otherwise inadmissible under standard rules of evidence. The Compulsory Process Clause provides him with an effective weapon, but it is a weapon that cannot be used irresponsibly.
There is a significant difference between the Compulsory Process Clause weapon and other rights that are protected by the Sixth Amendment -- its availability is dependent entirely on the defendant's initiative. Most other Sixth Amendment rights arise automatically on the initiation of the adversary process, and no action by the defendant is necessary to make them active in his or her case. [Footnote 14] While those rights shield the defendant from potential prosecutorial abuses, the right to compel the presence and present the testimony of witnesses provides the defendant with a sword that may be employed to rebut the prosecution's case. The decision whether to employ it in a particular case rests solely with the defendant. The very nature of the right requires that its effective use be preceded by deliberate planning and affirmative conduct.
misleading, or even deliberately fabricated testimony. The "State's interest in protecting itself against an eleventh-hour defense" [Footnote 17] is merely one component of the broader public interest in a full and truthful disclosure of critical facts.
right to present testimony free from the legitimate demands of the adversarial system; one cannot invoke the Sixth Amendment as a justification for presenting what might have been a half-truth. Deciding, as we do, that it was within the court's discretion to assure that the jury would hear the full testimony of the investigator, rather than a truncated portion favorable to respondent, we think it would be artificial indeed to deprive the court of the power to effectuate that judgment. Nor do we find constitutional significance in the fact that the court, in this instance, was able to exclude the testimony in advance, rather than receive it in evidence and thereafter charge the jury to disregard it when respondent's counsel refused, as he said he would, to produce the report."
Id. at 422 U. S. 241 (emphasis added).
Petitioner does not question the legitimacy of a rule requiring pretrial disclosure of defense witnesses, but he argues that the sanction of preclusion of the testimony of a previously undisclosed witness is so drastic that it should never be imposed. He argues, correctly, that a less drastic sanction is always available. Prejudice to the prosecution could be minimized by granting a continuance or a mistrial to provide time for further investigation; moreover, further violations can be deterred by disciplinary sanctions against the defendant or defense counsel.
may seem trivial to a defendant facing the threat of imprisonment for a term of years. A dishonest client can mislead an honest attorney, and there are occasions when an attorney assumes that the duty of loyalty to the client outweighs elementary obligations to the court.
We presume that evidence that is not discovered until after the trial is over would not have affected the outcome. [Footnote 18] It is equally reasonable to presume that there is something suspect about a defense witness who is not identified until after the 11th hour has passed. If a pattern of discovery violations is explicable only on the assumption that the violations were designed to conceal a plan to present fabricated testimony, it would be entirely appropriate to exclude the tainted evidence regardless of whether other sanctions would also be merited.
A trial judge may certainly insist on an explanation for a party's failure to comply with a request to identify his or her witnesses in advance of trial. If that explanation reveals that the omission was willful and motivated by a desire to obtain a tactical advantage that would minimize the effectiveness of cross-examination and the ability to adduce rebuttal evidence, it would be entirely consistent with the purposes of the Compulsory Process Clause simply to exclude the witness' testimony. [Footnote 20] Cf. United States v. Nobles, 422 U. S. 225 (1975).
It would demean the high purpose of the Compulsory Process Clause to construe it as encompassing an absolute right to an automatic continuance or mistrial to allow presumptively perjured testimony to be presented to a jury. We reject petitioner's argument that a preclusion sanction is never appropriate no matter how serious the defendant's discovery violation may be.
Petitioner argues that the preclusion sanction was unnecessarily harsh in this case because the voir dire examination of Wormley adequately protected the prosecution from any possible prejudice resulting from surprise. Petitioner also contends that it is unfair to visit the sins of the lawyer upon his client. Neither argument has merit.
"In all criminal prosecutions, the accused shall enjoy the right . . . to have compulsory process for obtaining witnesses in his favor. . . ."
This right is applicable in state, as well as federal, prosecutions. Washington v. Texas, 388 U. S. 14, 388 U. S. 17-19 (1967).
"Subject to constitutional limitations and within a reasonable time after the filing of a written motion by the State, defense counsel shall inform the State of any defenses which he intends to make at a hearing or trial and shall furnish the State with the following material and information within his possession or control:"
"(i) the names and last known addresses of persons he intends to call as witnesses together with their relevant written or recorded statements, including memoranda reporting or summarizing their oral statements, any record of prior criminal convictions known to him. . . ."
These two men, Earl Travis, the brother of Derrick Travis, and Luther Taylor, petitioner's brother, were identified by prosecution witnesses as participants in the street fight.
"During the direct testimony of the witnesses, your Honor, called by the State, I was informed of some additional witnesses which could have and probably did, in fact, see this entire incident. We at this time would ask to amend our Answer to include two additional witnesses."
"THE COURT: Who are they?"
"MR. VAN: One is a guy named Alfred Wrdely of which -- "
"THE DEFENDANT: Excuse me, W-r-d-e-l-y."
"MR. VAN: Whose address I do not have. I'm going to have to see if I can locate him tonight. And Pam Berkhalter."
"THE COURT: Yeah, but the defendant was there, and the defendant is now telling you Pam Berkhalter, and he's now telling you Alfred Wrdely. Why didn't he tell you that sometime ago? He's got an obligation to tell you."
"MR. VAN: That is correct, Judge. He, in fact, told me about Alfred sometime ago. The problem was that he could not locate Alfred"
"There's all sorts of people on the scene, and all of these people should have been disclosed before."
"When you bring up these witnesses at the very last moment, there's always the allegation and the thought process that witnesses are being found that really weren't there. And it's a problem in these types of cases, and it should be -- should have been put on that sheet a long time ago."
"At any rate, I'll worry about it tomorrow."
The record does not explain why Pam Berkhalter did not appear.
"Q. What, if anything did you learn by standing there in the crowd?"
"A. Well, Jack had a blanket. It was two pistols in there and he gave it to -- "
"Q. And then what, if anything, did they say at that time, if you can recall?"
"A. Well, they were saying what they were going to do to the people. Say they were after Ray and the other people."
"Q. What, if anything, did you do at that time?"
"A. At that time, I left. I was on my way home, and I happened to run into Ray and them, and so I told them what was happening and to watch out, because they got weapons."
"The trial judge abused his discretion and denied [petitioner] due process by excluding a material defense witness from testifying as a sanction for a discovery violation."
Brief and Argument For Appellant in No. 84-1073 (App.Ct.Ill.), p. 28. Although petitioner expressly asserted only a due process violation, his reliance on the Sixth Amendment was clear. He cited and relied upon, through a quotation from an Illinois Appellate Court decision, two of our Compulsory Process Clause cases, Washington v. Texas, 388 U. S. 14 (1967), and Chambers v. Mississippi, 410 U. S. 284 (1973). The state court decision from which petitioner quoted, People v. Rayford, 43 Ill.App.3d 283, 356 N.E.2d 1274 (1976), was also a Compulsory Process Clause case. The court in Payford asserted that use of the preclusion sanction in criminal cases should be limited to extreme situations, because, in criminal cases, "due process requires that a defendant be permitted to offer testimony of witnesses in his defense," id. at 286-287, 356 N.E.2d at 1277 (emphasis added), citing Washington, supra.
A generic reference to the Fourteenth Amendment is not sufficient to preserve a constitutional claim based on an unidentified provision of the Bill of Rights, but in this case the authority cited by petitioner and the manner in which the fundamental right at issue has been described and understood by the Illinois courts make it appropriate to conclude that the constitutional question was sufficiently well presented to the state courts to support our jurisdiction.
See Clinton, The Right to Present a Defense: An Emergent Constitutional Guarantee In Criminal Trials, 9 Ind.L.Rev. 711, 767 (1976).
8 J. Wigmore, Evidence § 2191, pp. 68-70 (J. McNaughton rev.1961).
"Mr. BURKE moved to amend this proposition in such a manner as to leave it in the power of the accused to put off the trial to the next session, provided he made it appear to the court that the evidence of the witnesses, for whom process was granted but not served, was material to his defence."
"Mr. HARTLEY said that, in securing him the right of compulsory process, the Government did all it could; the remainder must lie in the discretion of the court."
"Mr. SMITH, of South Carolina, thought the regulation would come properly in, as part of the Judicial system."
"The question on MR. BURKE's motion was taken and lost; ayes 9, noes 41."
1 Annals of Cong. 756 (1789).
"Particulars varied from state to state, but the provisions reflected a common principle. Three states emphasized the right to present evidence, guaranteeing the accused the right 'to call for evidence in his favour.' Two emphasized the subpoena power, giving the defendant the right to produce 'all proofs that may be favorable' to him. North Carolina combined the right to put on a defense with the right of confrontation, guaranteeing the right 'to confront the accusers and witnesses with other testimony.' Delaware emphasized the defendant's interest in sworn testimony, giving him the right 'to examine evidence on oath in his favour.' New Jersey opted for a principle of equality between the parties: '[A]ll criminals shall be admitted to the same privileges of witnesses and counsel, as their prosecutors are or shall be entitled to.' Maryland consolidated several interests, guaranteeing the defendant the right 'to examine [his] witnesses . . . on oath,' and 'to have process for his witnesses.'"
"Some of the state provisions originated in English statutes, some in colonial enactments, and some were original. Regardless, they all reflected the principle that the defendant must have a meaningful opportunity, at least as advantageous as that possessed by the prosecution, to establish the essential elements of his case. The states pressed the principle so vigorously that the framers of the federal Bill of Rights included it in the sixth amendment in a distinctive formulation of their own."
Westen, The Compulsory Process Clause, 73 Mich.L.Rev. 71, 94-95 (1974) (footnotes omitted).
"The defendant's rights to be informed of the charges against him, to receive a speedy and public trial, to be tried by a jury, to be assisted by counsel, and to be confronted with adverse witnesses are designed to restrain the prosecution by regulating the procedures by which it presents its case against the accused. They apply in every case, whether or not the defendant seeks to rebut the case against him or to present a case of his own. Compulsory process, on the other hand, comes into play at the close of the prosecution's case. It operates exclusively at the defendant's initiative, and provides him with affirmative aid in presenting his defense."
"In the exercise of [the right to present witnesses], the accused, as is required of the State, must comply with established rules of procedure and evidence designed to assure both fairness and reliability in the ascertainment of guilt and innocence."
Chambers v. Mississippi, 410 U.S. at 410 U. S. 302.
"Notice-of-alibi rules, now in use in a large and growing number of States, are based on the proposition that the ends of justice will best be served by a system of liberal discovery which gives both parties the maximum possible amount of information with which to prepare their cases, and thereby reduces the possibility of surprise at trial. See, e.g., Brennan, The Criminal Prosecution: Sporting Event or Quest for Truth?, 1963 Wash.U.L.Q. 279; American Bar Association Project on Standards for Criminal Justice, Discovery and Procedure Before Trial 23-43 (Approved Draft 1970); Goldstein, The State and the Accused: Balance of Advantage in Criminal Procedure, 69 Yale L.J. 1149 (1960). The growth of such discovery devices is a salutary development which, by increasing the evidence available to both parties, enhances the fairness of the adversary system."
Wardius v. Oregon, 412 U. S. 470, 412 U. S. 473-474 (1973).
"Given the ease with which an alibi can be fabricated, the State's interest in protecting itself against an eleventh-hour defense is both obvious and legitimate. Reflecting this interest, notice-of-alibi provisions, dating at least from 1927, are now in existence in a substantial number of States. The adversary system of trial is hardly an end in itself; it is not yet a poker game in which players enjoy an absolute right always to conceal their cards until played. We find ample room in that system, at least as far as 'due process' is concerned, for the instant Florida rule, which is designed to enhance the search for truth in the criminal trial by insuring both the defendant and the State ample opportunity to investigate certain facts crucial to the determination of guilt or innocence."
Williams v. Florida, 399 U. S. 78, 399 U. S. 81-82 (1970) (footnotes omitted).
Lloyd v. Gill, 406 F.2d 585, 587 (CA5 1969) (motion for new trial based on newly discovered evidence "may not be granted unless . . . the facts discovered are of such nature that they will probably change the result if a new trial is granted, . . . they have been discovered since the trial and could not by the exercise of due diligence have been discovered earlier, and . . . they are not merely cumulative or impeaching"); Rasnar Benson, Inc. v. Kassab, 325 F.2d 591, 594 (CA3 1963) ("[C]ourts will indulge all presumptions in favor of the validity of a verdict"); Rowlik v. Greenfield, 87 F.Supp. 997, 1001 (ED Pa.1949) ("[N]ew trials should not be allowed simply because after the verdict the losing party has come upon some witness or information theretofore unknown to him or his attorney").
See, e.g., Fendler v. Goldsmith, 728 F.2d 1181, 1188-1190 (CA9 1983) (giving consideration to the effectiveness of less severe sanctions, the impact of preclusion on the evidence at trial and the outcome of the case, the extent of prosecutorial surprise or prejudice, and whether the violation was willful).
There may be cases in which a defendant has legitimate objections to disclosing the identity of a potential witness. See Note, The Preclusion Sanction -- A Violation of the Constitutional Right to Present a Defense, 81 Yale L.J. 1342, 1350 (1972). Such objections, however, should be raised in advance of trial in response to the discovery request and, if the parties are unable to agree on a resolution, presented to the court. Under the Federal Rules of Criminal Procedure and under the rules adopted by most States, a party may request a protective order if he or she has just cause for objecting to a discovery request. See, e.g., Fed.Rule Crim.Proc. 16(d)(1); Ill.Sup.Ct.Rule 412(i). In this case, there is no issue concerning the validity of the discovery requirement or petitioner's duty to comply with it. There is also no indication that petitioner ever objected to the prosecution's discovery request.
"In the case before us, the notice-of-alibi rule, by itself, in no way affected petitioner's crucial decision to call alibi witnesses or added to the legitimate pressures leading to that course of action. At most, the rule only compelled petitioner to accelerate the timing of his disclosure, forcing him to divulge at an earlier date information that the petitioner from the beginning planned to divulge at trial. Nothing in the Fifth Amendment privilege entitles a defendant as a matter of constitutional right to await the end of the State's case before announcing the nature of his defense, any more than it entitles him to await the jury's verdict on the State's case-in-chief before deciding whether or not to take the stand himself."
Williams v. Florida, 399 U.S. at 399 U. S. 85.
The trial judge also expressed concern about discovery violations in other trials. If those violations involved the same attorney, or otherwise contributed to a concern about the trustworthiness of Wormley's 11th-hour testimony, they were relevant. Unrelated discovery violations in other litigation would not, however, normally provide a proper basis for curtailing the defendant's constitutional right to present a complete defense.
"The exclusion of evidence is a drastic measure, and the rule in civil cases limits its application to flagrant violations, where the uncooperative party demonstrates a 'deliberate contumacious or unwarranted disregard of the court's authority.' (Schluartz v. Moats, 3 Ill.App.3d 596, 599, 277 N.E.2d 529, 531; Department of Transportation v. Mainline Center, Inc., 38 Ill.App.3d 538, 347 N.E.2d 837.) The reasons for restricting the use of the exclusion sanction to only the most extreme situations are even more compelling in the case of criminal defendants, where due process requires that a defendant be permitted to offer testimony of witnesses in his defense. (Washington v. Texas, 388 U. S. 14. . . .) 'Few rights are more fundamental than that of an accused to present witnesses in his own defense.' (Chambers v. Mississippi, 410 U. S. 284, 410 U. S. 302. . . .)"
43 Ill.App.3d at 286-287, 356 N.E.2d at 1277.
See, e.g., Brookhart v. Janis, 384 U. S. 1, 384 U. S. 7-8 (1966) (defendant's constitutional right to plead not guilty and to have a trial where he could confront and cross-examine adversary witness could not be waived by his counsel without defendant's consent); Doughty v. State, 470 N.E.2d 69, 70 (Ind.1984) (record must show "personal communication of the defendant to the court that he chooses to relinquish the right [to a jury trial]"); Cross v. United States, 117 U.S.App.D.C. 56, 325 F.2d 629 (1963) (waiver of right to be present during trial).
Criminal discovery is not a game. It is integral to the quest for truth and the fair adjudication of guilt or innocence. Violations of discovery rules thus cannot go uncorrected or undeterred without undermining the truth-seeking process. The question in this case, however, is not whether discovery rules should be enforced, but whether the need to correct and deter discovery violations requires a sanction that itself distorts the truthseeking process by excluding material evidence of innocence in a criminal case. I conclude that, at least where a criminal defendant is not personally responsible for the discovery violation, alternative sanctions are not only adequate to correct and deter discovery violations, but are far superior to the arbitrary and disproportionate penalty imposed by the preclusion sanction. Because of this, and because the Court's balancing test creates a conflict of interest in every case involving a discovery violation, I would hold that, absent evidence of the defendant's personal involvement in a discovery violation, the Compulsory Process Clause per se bars discovery sanctions that exclude criminal defense evidence.
claims at trial, as a matter of federal law that waiver does not bar review in this Court.
"Despite appellate counsel's excellent brief on the issue of the constitutionality, as applied to a criminal defendant, of that portion of Supreme Court Rule 415(g)(i) (Ill.Rev.Stat.1975, ch. 110A, par. 415(g)(i)) authorizing exclusion of evidence for failure to comply with a discovery rule, we deem that issue, raised for the first time on appeal, to have been waived. There is nothing in the record to indicate that defense counsel ever raised any constitutional objection during the extensive in-chambers discussion summarized above, nor did he do so in his post-trial motion, which requests a new trial solely on the ground that"
of the commission of the alleged burglary."
"As we read this motion, it raises only the nonconstitutional question whether the trial court abused its discretion in exercising the exclusion sanction. Failure to raise an issue, including a constitutional issue, in the written motion for a new trial constitutes waiver of that issue, and it cannot be urged as a ground for reversal on review."
Id. at 753-754, 366 N.E.2d at 952-953 (citations and footnotes omitted; emphasis added). Although different districts of the Appellate Court of Illinois decided Douthit and this case, given that at trial both defendants presented identical challenges to the identical provision in the identical fashion, both appellate briefs raised the identical constitutional and nonconstitutional claims, and both districts considered only the abuse of discretion claim, I am constrained to conclude that, in this case, like in Douthit, the Appellate Court of Illinois deemed the constitutional claims waived as a matter of Illinois law.
The conclusion that the Appellate Court of Illinois deemed the federal constitutional claims waived as a matter of state law does not, of course, mean that they are waived as a matter of federal law.
"[W]e have consistently held that the question of when and how defaults in compliance with state procedural rules can preclude our consideration of a federal question is, itself, a federal question."
attention of the trial court." Those courts frequently rely on this provision to address, in their discretion, issues that have been waived at trial. See Jenner, Tone, & Martin, Historical and Practice Notes following Ill.Ann.Stat., ch. 110A, ¦ 615 (1985) (citing 16 appellate cases decided between 1979 and 1981 as examples of cases invoking plain error alone); see also, e.g., People v. Visnack, 135 Ill.App.3d 113, 118, 481 N.E.2d 744, 748 (1985) (invoking substantial rights exception despite waiver). Apparently, the Appellate Court below declined to exercise this discretion and deemed the waiver binding. Since, under Williams v. Georgia, such a decision does not bar our review, we are free to address the merits despite the state law waiver.
purpose, and thus necessarily implies a substantive limitation on the government's power to prevent those witnesses from testifying.
"The right to offer the testimony of witnesses, and to compel their attendance, if necessary, is in plain terms the right to present a defense, the right to present the defendant's version of the facts as well as the prosecution's to the jury, so it may decide where the truth lies."
Washington v. Texas, 388 U. S. 14, 388 U. S. 19 (1967) (emphasis added).
"The Framers of the Constitution did not intend to commit the futile act of giving to a defendant the right to secure the attendance of witnesses whose testimony he had no right to use."
Id. at 388 U. S. 23. The substantive limitation on excluding criminal defense evidence secured by the plain terms of the Compulsory Process Clause is also grounded in the general constitutional guarantee of due process. See Chambers v. Mississippi, 410 U. S. 284, 410 U. S. 298-302 (1973); see also Rock v. Arkansas, 483 U. S. 44, 483 U. S. 51 (1987); Crane v. Kentucky, 476 U. S. 683, 476 U. S. 690-691 (1986).
to the defendant. On the other hand, the Compulsory Process Clause does not invalidate every restriction on the presentation of evidence. The Clause does not, for example, require criminal courts to admit evidence that is irrelevant, Crane, supra, at 476 U. S. 689-690, testimony by persons who are mentally infirm, see Washington v. Texas, supra, at 388 U. S. 23, n. 21, or evidence that represents a half-truth, see United States v. Nobles, 422 U. S. 225, 422 U. S. 241 (1975). That the inquiry required under the Compulsory Process Clause is sometimes difficult does not, of course, justify abandoning the task altogether.
"rules that prevent whole categories of defense witnesses from testifying on the basis of a priori categories that presume them unworthy of belief,"
Determining Truth in Judicial Trials, 66 Colum.L.Rev. 223, 237 (1966).
The use of the preclusion sanction as a corrective measure -- that is, as a measure for addressing the adverse impact a discovery violation might have on truth-seeking in the case at hand -- is asserted to have two justifications: (1) it bars the defendant from introducing testimony that has not been tested by discovery, see ante at 484 U. S. 411-413; and (2) it screens out witnesses who are inherently suspect because they were not disclosed until trial, see ante at 484 U. S. 413-416. The first justification has no bearing on this case, because the defendant does not insist on a right to introduce a witness' testimony without giving the prosecution an opportunity for discovery. He concedes that the trial court was within its authority in requiring the witness to testify first out of the presence of the jury, and he concedes that the trial court could have granted the prosecution a continuance to give it sufficient time to conduct further discovery concerning the witness and the proffered testimony. See Brief for Petitioner 18-19. He argues only that he should not be completely precluded from introducing the testimony.
"The District Court did not bar the investigator's testimony. Cf. Washington v. Texas, 388 U. S. 14, 388 U. S. 19 (1967).
It merely prevented respondent from presenting to the jury a partial view of the credibility issue by adducing the investigator's testimony and thereafter refusing to disclose the contemporaneous report that might offer further critical insights. The Sixth Amendment does not confer the right to present testimony free from the legitimate demands of the adversarial system; one cannot invoke the Sixth Amendment as a justification for presenting what might have been a half-truth."
Id. at 422 U. S. 241 (emphasis added). Here, by contrast, the trial court did bar the proffered defense testimony. It did not, as in Nobles, simply condition the right to introduce the testimony on the defendant's disclosure of evidence that might demonstrate weaknesses in the testimony. The authority of trial courts to prevent the presentation of a "half-truth" by ordering further discovery is thus not at issue here. For similar reasons, the holding in Brown (that a person who testifies at her own denaturalization proceeding waives her Fifth Amendment right not to answer questions on cross-examination) can have no bearing on this case.
"Further, for whatever value it is, because this is a jury trial, I have a great deal of doubt in my mind as to the veracity of this young man that testified as to whether he was an eyewitness on the scene, sees guns that are wrapped up. He doesn't know Ray, but he stops Ray. "
App. 28 (emphasis added). The judge gave no indication that he was willing to exclude the testimony based solely on its presumptive or apparent lack of credibility. Nor, apparently, would Illinois law allow him to do so. See generally, e.g., People v. Van Dyke, 414 Ill. 251, 254, 111 N.E.2d 165, 167 ("The credibility of the witnesses presented, as well as the weight of the evidence, [is] for the jury to determine, and the court will not substitute its judgment therefor"), cert. denied, 345 U.S. 978 (1953); Village of Des Plaines v. Winkelman, 270 Ill. 149, 159, 110 N.E. 417, 422 (1915) ("[I]t is . . . for the jury to determine . . . to which witnesses they will give the greatest weight, and not for the court to tell them"). Indeed, far from being able to prevent the jury from hearing the testimony of witnesses that the trial court deems untrustworthy, Illinois trial courts are not even permitted to comment on the credibility of witnesses to the jury. [Footnote 2/3] No Illinois case interpreting Rule 415(g) suggests that the Rule gives a trial judge special authority to exclude criminal defense witnesses based on their apparent or presumed unreliability.
"[D]isqualifications for interest . . . rested on the unstated premises that the right to present witnesses was subordinate to the court's interest in preventing perjury, and that erroneous decisions were best avoided by preventing the jury from hearing any testimony that might be perjured, even if it were the only testimony available on a crucial issue."
"'. . . [T]he conviction of our time is that the truth is more likely to be arrived at by hearing the testimony of all persons of competent understanding who may seem to have knowledge of the facts involved in a case, leaving the credit and weight of such testimony to be determined by the jury or by the court. . . .'"
". . . [W]e believe that [the latter] reasoning [is] required by the Sixth Amendment."
"arbitrary rules that prevent whole categories of defense witnesses from testifying on the basis of a priori categories that presume them unworthy of belief"
are unconstitutional. 388 U.S. at 388 U. S. 22.
Although persons who are not identified as defense witnesses until trial may not be as trustworthy as other categories of persons, surely any presumption that they are so suspect that the jury can be prevented from even listening to their testimony is at least as arbitrary as presumptions excluding an accomplice's testimony, Washington v. Texas, supra, hearsay statements bearing indicia of reliability, Chambers v. Mississippi, 410 U. S. 284 (1973), or a defendant's post-hypnosis testimony, Rock, supra -- all of which have been declared unconstitutional. Compare ante at 484 U. S. 414-417.
The proper method, under Illinois law [Footnote 2/4] and Washington v. Texas, supra, for addressing the concern about reliability is for the prosecutor to inform the jury about the circumstances casting doubt on the testimony, thus allowing the jury to determine the credit and weight it wants to attach to such testimony. [Footnote 2/5] The power of the court to take that kind of corrective measure is undisputed; the defendant concedes that the court could have allowed the prosecutor to comment on the defense's failure to disclose the identity of the witness until trial. See Brief for Petitioner 18-19.
Leaving deterrence aside for the moment, then, precluding witness testimony is clearly arbitrary and disproportionate to the purpose discovery is intended to serve -- advancing the quest for truth. Alternative sanctions -- namely, granting the prosecution a continuance and allowing the prosecutor to comment on the witness concealment -- can correct for any adverse impact the discovery violation would have on the truth-seeking process. Moreover, the alternative sanctions, unlike the preclusion sanction, do not distort the truth-seeking process by excluding material evidence of innocence.
tactical advantages by purposefully violating discovery rules and orders. Those violations that are not caught and corrected will then impose a significant cost on the truth-seeking process, see supra, at 484 U. S. 425; ante at 484 U. S. 411-412, that, in the long run, could conceivably outweigh the burden on truth-seeking imposed by the preclusion sanction. Without some means of deterring discovery violations, moreover, the criminal system would continually be interrupted and distracted by continuances and other corrective measures. See ante at 484 U. S. 411.
In light of the availability of direct punitive measures, however, there is no good reason, at least absent evidence of the defendant's complicity, to countenance the arbitrary and disproportionate punishment imposed by the preclusion sanction. The central point to keep in mind is that witness preclusion operates as an effective deterrent only to the extent that it has a possible effect on the outcome of the trial. Indeed, it employs in part the possibility that a distorted record will cause a jury to convict a defendant of a crime he did not commit. Witness preclusion thus punishes discovery violations in a way that is both disproportionate -- it might result in a defendant charged with a capital offense being convicted and receiving a death sentence he would not have received but for the discovery violation -- and arbitrary -- it might, in another case involving an identical discovery violation, result in a defendant suffering no change in verdict or, if charged with a lesser offense, being convicted and receiving a light or suspended sentence. In contrast, direct punitive measures (such as contempt sanctions or, if the attorney is responsible, disciplinary proceedings) can gradate the punishment to correspond to the severity of the discovery violation.
413(d), [Footnote 2/6] there was no evidence that the defendant played any role in that violation. Nor did the trial court make any effort to determine whether the defendant bore any responsibility for the discovery violation. Indeed, reading the record leaves the distinct impression that the main reason the trial court excluded Wormley's testimony was the belief that the defense counsel had purposefully lied about when he had located Wormley. App. 25-28.
". . . All right, I am going to deny Wormley an opportunity to testify here. He is not going to testify. I find this a blatent [sic] violation of the discovery rules, willful violation of the rules. I also feel that defense attorneys have been violating discovery in this courtroom in the last three or four cases blatently [sic] and I am going to put a stop to it, and this is one way to do so."
"[u]nrelated discovery violations . . . would not . . . normally provide a proper basis for curtailing the defendant's constitutional right to present a complete defense."
Ante at 484 U. S. 416, n. 22. We are left to wonder either why this case is abnormal or why an exclusion founded on an improper basis should be upheld.
In the absence of any evidence that a defendant played any part in an attorney's willful discovery violation, directly sanctioning the attorney is not only fairer but more effective in deterring violations than excluding defense evidence. Compare ante at 484 U. S. 413-414. The threat of disciplinary proceedings, fines, or imprisonment will likely influence attorney behavior to a far greater extent than the rather indirect penalty threatened by evidentiary exclusion. Such sanctions were available here. Rather than punishing the defendant under Rule 415(g)(i), the trial court could have sanctioned the attorney under Rule 415(g)(ii), which provides that "Willful violation by counsel of an applicable discovery rule . . . may subject counsel to appropriate sanctions by the court." See also App. 28 (threatening disciplinary proceedings). Direct sanctions against the attorney would have been particularly appropriate here, since the discovery rule violated in this case places the obligation to comply with discovery not on the defendant, but directly on the attorney: providing that, upon motion by the State, a "defense counsel . . . shall furnish the State with . . . the names and last known addresses of persons he intends to call as witnesses. . . ." Ill.Sup.Ct. Rule 413(d) (emphasis added).
The situation might be different if the defendant willfully caused the discovery violation because, as the Court points out, see ante at 484 U. S. 413-414, some defendants who face the prospect of a lengthy imprisonment are arguably impossible to deter with direct punitive sanctions such as contempt. But that is no explanation for allowing defense witness preclusion where there is no evidence that the defendant bore any responsibility for the discovery violation. At a minimum, we would be obligated to remand for further factfinding to establish the defendant's responsibility. Deities may be able to visit the sins of the father on the son, but I cannot agree that courts should be permitted to visit the sins of the lawyer on the innocent client.
not available to punish and deter routine tactical errors. If, however, the erroneous nature of the attorney's decision was sufficiently evident at the time, then the system does want to deter the attorney's behavior, and can and does do so by directly sanctioning the attorney for malpractice. It does not bind the defendant, who by establishing malpractice would have also established ineffective assistance of counsel.
In short, I can think of no scenario that does not involve a defendant's willful violation of a discovery rule where alternative sanctions would not fully vindicate the purposes of discovery without distorting the truth-seeking process by excluding evidence of innocence. Courts can couple corrective measures that will subject the testimony at issue to discovery and adverse credibility inferences with direct punitive measures that are both proportional to the discovery violation and directed at the actor responsible for it. Accordingly, absent evidence that the defendant was responsible for the discovery violation, the exclusion of criminal defense evidence is arbitrary and disproportionate to the purposes of discovery and criminal justice, and should be per se unconstitutional. I thus cannot agree with the Court's case-by-case balancing approach, or with its conclusion in this case that the exclusion was constitutional.
"Sure, bring me before the disciplinary commission; that's a much more appropriate sanction than excluding a witness who might get my client acquitted."
It seems particularly ironic that the Court should approve the exclusion of evidence in this case at a time when several of its Members have expressed serious misgivings about the evidentiary costs of exclusionary rules in other contexts. Surely the deterrence of constitutional violations cannot be less important than the deterrence of discovery violations. Nor can it be said that the evidentiary costs are more significant when they are imposed on the prosecution. For that would turn on its head what Justice Harlan termed the "fundamental value determination of our society that it is far worse to convict an innocent man than to let a guilty man go free." In re Winship, 397 U.S. at 397 U. S. 372 (concurring opinion).
know for certain whether the defendant or Bridges' brother fired the shot for which the defendant was convicted. We do know, however, that the jury that convicted the defendant was not permitted to hear evidence that would have both placed a gun in Bridges' brother's hands and contradicted the testimony of Bridges and his brother that they possessed no weapons that evening -- and that, because of the defense counsel's 5-day delay in identifying a witness, an innocent man may be serving 10 years in prison. I dissent.
Although the Court in Rock was addressing the specific issue of the defendant's right to offer his own testimony, it derived the standard it articulated from general compulsory process case law on the theory that the right to present one's own testimony extended at least as far as the right to present the testimony of others. 483 U.S. at 483 U. S. 52-53.
"(i) If . . . a party has failed to comply with an applicable discovery rule . . . the court may order such party to permit the discovery of material and information not previously disclosed, grant a continuance, exclude such evidence, or enter such other order as it deems just under the circumstances."
"(ii) Willful violation by counsel of an applicable discovery rule . . . may subject counsel to appropriate sanctions by the court."
See, e.g., People v. Santucci, 24 Ill.2d 93, 98, 180 N.E.2d 491, 493 (1962) ("Ultimate decisions of fact must fairly be left to the jury, as must be the determination of the credibility of witnesses and the weight to be afforded their testimony, and to this end it is not the province of the judge, in a criminal case, to convey his opinions on such matters to the jurors by word or deed"); People v. Heidorn, 114 Ill.App.3d 933, 936, 449 N.E.2d 568, 572 (1983) ("While the trial judge has wide discretion in the conduct of trial, he must not make comments or insinuations, by word or conduct, indicative of an opinion on the credibility of a witness. . . .").
Cf. People v. Rayford, 43 Ill.App.3d 283, 288, 356 N.E.2d 1274, 1278 (1976). The reasons cited by Illinois courts for forbidding judicial comment do not apply with the same force to prosecutorial comment. See, e.g., Santucci, supra, at 98, 180 N.E.2d at 493; Heidorn., supra, at 937, 449 N.E.2d at 572.
Precluding a witness based solely on a judge's belief that the witness lacks credibility might also implicate the constitutional right to a jury trial in that it usurps the jury's central function of assessing the credibility of witnesses. The constitutional right to a jury trial would mean little if a judge could exclude any defense witness whose testimony he or she did not credit.
On the second day of trial, Tuesday, March 27, 1984, defense counsel moved to amend his "Answer to Discovery" to include Alfred Wormley as a defense witness, stating that the defendant had told him about Wormley earlier, but that he had not been able to locate Wormley previously. App. 12-13. The next day, Wormley testified that defense counsel had visited him at his home and served him with a subpoena on Wednesday, March 21, 1984, five days before the trial began. Id. at 22.
The witness preclusion sanction thus cannot be justified on the theory that the defendant waived his right to introduce Wormley by failing to name him prior to trial. Indeed, far from being a procedural default, the exclusion of evidence is an unusual sanction applied only in drastic cases, People v. Rayford, 43 Ill.App.3d at 286-287, 356 N.E.2d at 1277, and the decision whether to apply it lies in the discretion of the trial court, 141 Ill.App.3d 839, 844-845, 491 N.E.2d 3, 7 (1986) (case below).
I also note that a case-by-case balancing approach will create uncertainty, spawn unnecessary litigation, and make it difficult to supervise the lower courts. Moreover, any exclusion of criminal defense evidence also has the important disadvantage of inviting an ineffective-assistance-of-counsel claim in every case in which it is applied. Direct sanctions against the attorney would yield no such opportunity to disrupt final verdicts.
I join JUSTICE BRENNAN's dissenting opinion on the understanding -- at least on my part -- that it is confined in its reach to general reciprocal discovery rules. I do not wish to have the opinion express for me any position as to permissible sanctions for noncompliance with rules designed for specific kinds of evidence as, for example, a notice-of-alibi rule. In a case such as that, the State's legitimate interests might well occasion a result different from what should obtain in the factual context of the present case.

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