Exline v. Gunter, 91-1424
| Decision Date | 03 February 1993 |
| Docket Number | No. 91-1424,91-1424 |
| Citation | 985 F.2d 487 |
| Parties | Larry W. EXLINE, Petitioner-Appellee, v. Frank O. GUNTER, Executive Director, Colorado Department of Corrections, Respondent-Appellant. |
| Court | U.S. Court of Appeals — Tenth Circuit |
John Daniel Dailey, Deputy Atty. Gen., Appellate Section, Denver, CO, , for respondent-appellant.
Andrew C. Heher, Deputy State Public Defender, Denver, CO, (David F. Vela, Colorado State Public Defender, with him on brief), for petitioner-appellee.
Before KELLY, and McWILLIAMS, Circuit Judges, and BROWN, Senior District Judge. *
In October, 1986, in the district court of El Paso County, Colorado, Larry Exline was convicted of one count of sexual assault on a child. The Colorado Court of Appeals affirmed his conviction, People v. Exline, 775 P.2d 48 (Colo.App.1988), and certiorari was denied by the Supreme Court of Colorado.
One of the issues presented in the state appeal was whether the state trial court erred in denying Exline's motion for discovery of the victim's social services child abuse records. The state appellate court found that Exline had failed to make a sufficient offer of proof for the necessity of those records, and also ruled that the denial of the discovery request did not violate Exline's constitutional right of confrontation.
Exline then filed this federal habeas corpus action seeking relief upon the grounds that his right to due process was violated by the trial court's failure to review in camera the social service records of the alleged victim, and that his rights under the due process and confrontation clauses were violated because the prosecution had access to those records, and he did not. 1
Upon finding that Exline's right to due process had been violated by the state court's failure to review the social service records in camera, the federal district court below entered an order holding the petition for habeas corpus in abeyance and directing the El Paso County District Court "to conduct an in camera review of the department of social service's records of the complainant to determine whether the records contain information that may have been necessary to Exline's defense." The state court was also directed to submit a certificate of compliance and remedial measures to be taken, if any, in light of the federal court's order.
The state court returned its certificate of compliance under date of October 10, 1991. Its portent was that while denying Exline's motion to discover the social service reports, it had provided that he could have access "to a juvenile file No. 85JV1677," a dependency and neglect file, in order that he could submit a "particularized statement of need" for the social services file. It appears that this juvenile file was created as a result of an action brought by the department of social services concerning MJ, her sister, their mother, and several other parties, including Exline.
The state court also found that when it examined the social services file, as directed by the federal court, it "identified four documents which it believes may have been necessary to Mr. Exline's defense." The state court declined to take any remedial action because in its view Exline had failed to examine the juvenile file which was made available to him and had failed to make any showing of "particularized need" for the social services file.
After receiving the certificate from the state court, the federal district court below, proceeding under applicable law provided by Pennsylvania v. Ritchie, 480 U.S. 39, 107 S.Ct. 989, 94 L.Ed.2d 40 (1987), again returned the matter to the state court, with these directions:
(1) The El Paso County District Court is DIRECTED to conduct an in camera review of the Department of Social Service's records of the complainant to determine whether the records contain information that probably would have changed the outcome of Exline's trial. If the records, including the four documents referred to in the Certificate of Compliance, contain information that probably would have changed the outcome of Exline's trial, Exline must be given a new trial. If the El Paso County District Court finds that the DSS records contain no such information, or if the nondisclosure was harmless beyond a reasonable doubt, no further action shall be taken by the district court. Complete findings of fact and conclusions of law shall be entered by the district court. 2
Under the ruling of the Supreme Court in Pennsylvania v. Ritchie, supra, the district court correctly found that Exline had been denied his right to due process because the state trial court had failed to review the social service records in camera.
In Ritchie, the defendant was charged with assaulting his daughter and prior to trial he sought access to records compiled by a social services agency at the time of another investigation. The agency claimed the records were privileged under state law, although there was an exception to that law whereby the agency could disclose records to a "court of competent jurisdiction pursuant to a court order." Ritchie argued that he was entitled to examine the records "because the files might contain names of favorable witnesses, as well as other exculpatory evidence." The motion to disclose was denied, even though the trial judge had not examined the file himself. There was no indication that the prosecutor had been given access to the agency records or that he was aware of the contents of those records. The Pennsylvania Supreme Court determined that the order denying access had violated both the confrontation clause and the compulsory process class, and that defendant's counsel was entitled to view the files.
On appeal, the Supreme Court found that "the ability to question adverse witnesses ... does not include the power to require the pretrial disclosure of any and all information that might be useful in contradicting unfavorable testimony", and that "(a) defendant's right to discover exculpatory evidence does not include the unsupervised authority to search through the Commonwealth's files." 480 U.S. at 53, and at 59, 107 S.Ct. at 999, and at 1002, 94 L.Ed.2d at 54, and at 58. However, the Court further found that the defendant was entitled to have a file reviewed at 58, 107 S.Ct. at 1001-02, 94 L.Ed.2d at 58. (Emphasis supplied).
In the case before us, Exline was charged with two counts of sexual assault on a child by one in a position of trust. Colo.Rev.Stat. § 18-3-405(2)(b) (1986). The counts involved two young daughters of the woman with whom he was living. One of the counts involving the younger daughter was dismissed because she was incompetent to testify because of her age. Her sister, MJ, was ten years old at the time of trial; and the trial court ruled that she was presumed to be competent as a witness.
It appears that prior to the alleged assaults by Exline, MJ had been sexually molested by two other men--several assaults being by a former husband of her mother when she was between the ages of three and six, and another assault on one occasion by a neighbor. At trial, one of the important issues presented to the jury was the credibility of MJ and the possibility that she had confused or fantasized encounters with Exline because of previous assaults by other men. 3
Because of her family situation, it appears that the Colorado Department of Social Services had developed a file on...
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