Opinion ID: 396359
Heading Depth: 1
Heading Rank: 2

Heading: Disclosure of Informant's Identity

Text: 9 Relying upon Roviaro v. United States, 353 U.S. 53, 77 S.Ct. 623, 1 L.Ed.2d 639 (1957), Gaines asserts the trial court denied him due process in failing to require the prosecution to divulge the name of the informant who set up the drug transaction and who was present during the sale. In Roviaro, the Supreme Court made clear that the Government's privilege to withhold from disclosure the identity of persons who furnish information of violations of law to officers charged with enforcement of that law is not an absolute one. Id. at 59, 77 S.Ct. at 627. Where the disclosure of an informer's identity, or the contents of his communication, is relevant and helpful to the defense of an accused, or is essential to a fair determination of a cause, the privilege must give way. Id. at 60-61, 77 S.Ct. at 627-628. The Court said the matter involves balancing the public interest in protecting the flow of information respecting criminal activities against the individual's right to prepare his defense. Id. at 62, 77 S.Ct. at 628. Where the balance falls depend(s) on the particular circumstances of each case, taking into consideration the crime charged, the possible defenses, the possible significance of the informer's testimony, and other relevant factors. Id. 10 Roviaro involved a direct appeal from a conviction in a federal district court for violations of the United States Code. Since the Court could ground its decision on federal evidentiary rules, it did not need to determine whether nondisclosure also violated the defendant's constitutional rights. Here, we are faced with a habeas corpus petition challenging state trial proceedings, and we are limited in our review of error to those of constitutional magnitude. See Brinlee v. Crisp, 608 F.2d 839, 843 (10th Cir. 1979), cert. denied, 444 U.S. 1047, 100 S.Ct. 737, 62 L.Ed.2d 733 (1980). However, we agree with the other federal courts that have actually ruled in the context of habeas corpus proceedings, that disclosure of an informant's identity in situations analogous to Roviaro is mandated by the Constitution. See McLawhorn v. North Carolina, 484 F.2d 1, 5 (4th Cir. 1973); Pena v. Leferve, 419 F.Supp. 112, 116-17 (E.D.N.Y.1976); Hawkins v. Robinson, 367 F.Supp. 1025, 1029-34 (D.Conn.1973). Cf. United States v. Emory, 468 F.2d 1017, 1020-21 (8th Cir. 1972) (due process concerns underlie Rovario ; direct appeal); Burwell v. Teets, 245 F.2d 154 (9th Cir. 1957) (due process concerns underlie Rovario ; withholding of records by prosecutor). See also United States v. Myers, 327 F.2d 174, 180 (3d Cir.), cert. denied, 379 U.S. 847, 85 S.Ct. 88, 13 L.Ed.2d 52 (1964); Hernandez v. Nelson, 298 F.Supp. 682, 685-86 (N.D.Cal.1968). 11 The Court in Roviaro declared that fundamental requirements of fairness require restrictions on the Government's privilege to refuse disclosure of an informant's identity. Rovario, 353 U.S. at 60, 77 S.Ct. at 627. This strongly indicates that the Court was referring to a constitutional limitation on the privilege, for few phrases are more closely associated to a constitutional guarantee than is the term fundamental fairness. The very touchstone of due process is fundamental fairness. Gibbany v. Oklahoma, 415 F.Supp. 1117, 1121 (W.D.Okl.1976). Accord, Pena v. Leferve, 419 F.Supp. at 116. See Donnelly v. DeChristoforo, 416 U.S. 637, 642, 94 S.Ct. 1868, 40 L.Ed.2d 431 (1974); Lisenba v. California, 314 U.S. 219, 236, 62 S.Ct. 280, 289, 86 L.Ed. 166 (1941); Miller v. North Carolina, 583 F.2d 701, 706 (4th Cir. 1978); Aldens, Inc. v. LaFollette, 552 F.2d 745, 750 (7th Cir.), cert. denied, 434 U.S. 880, 98 S.Ct. 236, 54 L.Ed.2d 161 (1977). 12 We do not see how the Court's usage of the term could be otherwise construed. The public's interest in effective law enforcement is an important one. But at some point, withholding the identity of an informant who may be critical to the conduct of the defense infringes the defendant's constitutional right to a fair trial, which obviously includes the right to adequately prepare and present that defense. Roviaro clearly establishes that a blanket disclosure rule is not required. Only under circumstances in which nondisclosure would deprive the defendant of his due process right to a fundamentally fair trial is disclosure constitutionally mandated. Cf. McCray v. Illinois, 386 U.S. 300, 311, 87 S.Ct. 1056, 1062, 18 L.Ed.2d 62 (1967) (What Roviaro makes clear is that this Court was unwilling to impose any absolute rule requiring disclosure of an informer's identity even in formulating evidentiary rules for federal criminal trials.) 13 This case may present such circumstances. The transaction here was not simply one in a series of drug sales involving Gaines. Gaines' defense was that he was not the person who sold drugs to officer Bemo. The informant in question set up the transaction and was the only witness to the sale other than Bemo and the seller. Thus, the informant could testify directly to the critical issue in the case: whether Gaines was the seller. The informant's existence was revealed by Bemo's testimony, and the informant was the only one mentioned in the record, other than Gaines himself, who could corroborate or discredit Bemo's testimony. On these facts, it would violate Gaines' due process rights to deny disclosure if in fact the informant could provide potentially significant exculpatory testimony. 14 Under these circumstances, an in camera hearing is the appropriate procedural vehicle for determining whether the informant's testimony would lend significant credence to Gaines' defense. Such a procedure will limit the extent of the disclosure of the informant's identity and information, thereby protecting the State's interest in avoiding unnecessary disclosure, while at the same time it will safeguard defendant's right to the testimony of any accessible witness who may be significantly helpful to his defense. This court recognized the value of this procedure in United States v. Martinez, 487 F.2d 973, 977 (10th Cir. 1973). Numerous other circuits have approved the in camera hearing as a device to ensure proper application of the Roviaro test. See, e. g., United States v. Cortese, 614 F.2d 914, 921-22 (3d Cir. 1980); United States v. Weir, 575 F.2d 668, 672-73 (8th Cir. 1978); United States v. Freund, 525 F.2d 873, 877 & n.5 (5th Cir.) (citing additional cases), cert. denied, 426 U.S. 923, 96 S.Ct. 2631, 49 L.Ed.2d 377 (1976). The in camera procedure has the advantage of giving the trial court considerable flexibility in determining if disclosure is warranted. For instance, where identity is at issue, the informant might be shown a picture of the defendant. See, e. g., United States v. Doe, 525 F.2d 878 (5th Cir.), cert. denied, 425 U.S. 976, 96 S.Ct. 2179, 48 L.Ed.2d 801 (1976). We leave to the discretion of the trial court how best to determine the relevance of the informant's testimony, although the in camera proceedings should be transcribed and sealed to permit meaningful review while retaining limited disclosure. See McLawhorn, 484 F.2d at 5 n.13. 15 It may be that the State cannot now produce the informant, or that he would not be an exculpatory witness. The district court, after the in camera hearing, will have the opportunity to make findings and, if proper, issue a remedial order to protect the petitioner's due process rights with the benefit of the additional testimony. 4 If the informant would make an exculpatory witness, the district court should enter a conditional order that the State be afforded a reasonable time to retry the petitioner, with the witness available, or otherwise that the writ shall issue. See McLawhorn, 484 F.2d at 8; see also Lesley v. Oklahoma, 407 F.2d 543, 544 (10th Cir. 1967). 5