Opinion ID: 537726
Heading Depth: 3
Heading Rank: 1

Heading: Effective Defense Theory

Text: 95 The effective defense theory was articulated by the Third Circuit in Government of the Virgin Islands v. Smith, 615 F.2d 964 (3d Cir.1980) and holds that: 96 when it is found that a potential defense witness can offer testimony which is clearly exculpatory and essential to the defense case and when the government has no strong interest in withholding use immunity, the court should grant judicial immunity to the witness in order to vindicate the defendant's constitutional right to a fair trial. 97 Id. at 974. Under this theory, the court itself has the inherent power to grant immunity. The power is grounded in a defendant's due process right to have exculpatory evidence presented to the jury. See id. at 969 et seq. 98 This theory has been rejected by virtually every other court that has considered the issue. See, e.g., United States v. Paris, 827 F.2d 395, 399 (9th Cir.1987); United States v. Tindle, 808 F.2d 319, 325 n. 4 (4th Cir.1986) (noting that the effective defense theory has been soundly criticized and is clearly the minority view, and citing cases); United States v. Sawyer, 799 F.2d 1494, 1506 (11th Cir.1986), cert. denied, 479 U.S. 1069, 107 S.Ct. 961, 93 L.Ed.2d 1009 (1987); Pennell, 737 F.2d at 527; United States v. Mendia, 731 F.2d 1412, 1414 (9th Cir.), cert. denied, 469 U.S. 1035, 105 S.Ct. 509, 83 L.Ed.2d 399 (1984); Turkish, 623 F.2d at 775-77. One of the most frequent rationales articulated in opposition to the theory is that it would pose separation of power problems for courts to assume inherent authority to grant judicial immunity themselves. The rationale is that the power to grant witness immunity is of legislative origin, and was granted to the executive branch. For the judiciary to exercise this power in the absence of a legislative grant would violate separation of power principles. See, e.g., Pennell, 737 F.2d at 527; see also Mendia, 731 F.2d at 1414. In addition to separation of power difficulties, those critical of the theory have articulated certain practical considerations that militate against courts' assuming the power to grant immunity to witnesses who possess exculpatory information. The Second Circuit has observed that acceptance of the effective defense theory would force judges to balance a defendant's need for particular witnesses against the prosecutor's reasons for not seeking immunity for the witnesses herself--an exercise not well-suited for judicial decisionmaking. See Turkish, 623 F.2d at 775-77; see also Pennell, 737 F.2d at 527-28 (articulating additional practical considerations). 99 We find these arguments to have considerable force and accordingly have substantial reservations about the effective defense theory. Even, however, if we accepted the theory as articulated by the Third Circuit in Government of Virgin Islands v. Smith, 615 F.2d 964, the defendants here would not satisfy its requirements. The Third Circuit stated in Smith that before a court should invoke any inherent power to grant immunity, it must be found that the prospective witness would offer clearly exculpatory and essential testimony and that the government has no strong interest in withholding immunity. See id. at 974. Accepting, for the sake of discussion only, that Palladino would have offered essential and exculpatory testimony, the defendants' immunity argument falls under the second requirement. Unlike in Smith, the government here has presented a number of significant reasons for withholding immunity. Specifically, the government has indicated a desire not to hinder possible future prosecutions of Palladino for alleged involvement in other organized crime activities, for a variety of likely tax violations, and for probable violations of state laws. These reasons certainly are adequate to constitute a strong governmental interest in withholding immunity. We therefore reject defendants' contentions under the effective defense theory.