WALLACE, Judge.
The State seeks review by certiorari of the trial court's order requiring disclosure of (1) the identities and statements of cooperating defendants in the underlying criminal prosecution and in related cases, and (2) the redacted transcript of a proffer statement made by a single individual who has been charged in a related case. We grant the petition in part, and we deny it part.
In the underlying prosecution, case number 10-CF-009043, the State charged twenty-eight individuals
The defendants, Jonathan Fernandez and Warren Keene, filed the four defense motions that are pertinent to our consideration of this case. In addition, the State filed a motion in opposition to the defense requests. Listed in chronological order, the pertinent motions are as follows:
The parties inform us that several of the codefendants in the underlying prosecution have either adopted or joined in one or more of the motions filed on behalf of Mr. Fernandez and Mr. Keene.
On February 5, 2013, the State responded to the Fernandez motion of April 12, 2012, "Motion to Compel Disclosure of Existence and Substance of Promises." The State's response addresses, paragraph by paragraph, each of the defense requests in the Fernandez motion. The requests by the defendants and corresponding responses by the State pertinent to the issues in this case are as follows:
The State also provided a "Tenth Amended Notice of Discovery and Additional Witness List in Response to Defendants'
The State also includes in its notice the names of five additional "Defendants/witnesses" that it suggests the State may call as witnesses at trial. The "Defendants/witnesses" listed include the following: two persons who were charged in case number 10-CF-009032; one person who was charged in case number 10-CF-014110; one person who was charged in case number 10-CF-014101; and one person who is the only codefendant named as a potential witness for the State who was charged in case number 10-CF-009043, the underlying prosecution.
In response to the request for written or recorded statements by any person whose name has been furnished, the prosecution responded that certain depositions had been taken by the Office of the Public Defender in case number 10-CF-014101, but that the State was not aware of any transcripts that resulted from the depositions. Notably, the prosecution further responded to this request as follows:
(Emphasis added). In the trial court, the defense challenged the prosecution's refusal to disclose the statements purportedly made to it "under a promise of immunity or confidentiality ... until such time as the Defendant/witness agrees to be identified as a witness in the case."
Comments appearing in the transcript of the hearing in the trial court suggest that the three men named as defendants in case numbers CF-10-009032 and 10-CF-014110 have entered pleas with the expectation of cooperating with the State. In addition, we glean from the hearing transcript that the case file for the two men charged in case number 10-CF-009032 had been sealed by a circuit judge, but the circuit judge whose order is the subject of this petition ordered or intended to order that the case file be reopened.
On March 20, 2013, the trial court conducted a hearing on the first two defense motions, i.e., Mr. Fernandez's motion of April 12, 2012, and Mr. Keene's "adoption" of the Fernandez motion. After that hearing, the trial court ordered the State to
The trial court conducted a follow-up hearing on May 10, 2013. Before that hearing, the remaining three motions referenced above were filed. After the follow-up hearing, the trial court entered the order that is under review.
The trial court's order comprises three distinct rulings. First, with regard to the motions that sought to compel the identity of the cooperating defendants and their statements, the trial court granted the defendants' motions and ordered the State to disclose any written or recorded statements as well as the substance of any oral statements made by any codefendant. Second, with regard to the transcript of the debriefing of Mr. X, the trial court decided that the transcript was relevant to the underlying prosecution. For this reason, the trial court ruled that the transcript was discoverable under Florida Rule of Criminal Procedure 3.220(b)(1)(D) ("any written or recorded statements and the substance of any oral statements made by a codefendant"). However, the trial court also permitted the State to redact from the transcript references to "unrelated matters," pagination, and the name of the court reporting service. Third, with regard to the State's motion to declare confidentiality and motion for a protective order, the trial court denied the motion as it pertained to the codefendants and reserved ruling on the motion insofar as it sought to protect the statements of uncharged confidential informants.
The order under review is not one of the orders listed in Florida Rule of Appellate Procedure 9.140(c)(1) from which the State may take a nonfinal appeal. Under these circumstances, where the effect of an acquittal would be to leave the State without an effective remedy and cause irreparable harm, the Florida Supreme Court has recognized that a petition for certiorari is "an apt remedy" for those orders that adversely affect the State's ability to prosecute. State v. Pettis, 520 So.2d 250, 253 (Fla.1988); State v. Storer, 920 So.2d 754, 758 (Fla. 2d DCA 2006). However, the relief available to the State by certiorari is limited. "While some pretrial evidentiary rulings may qualify for certiorari, it must be remembered that the extraordinary writ is reserved for those situations where `there has been a violation of a clearly established principle of law resulting in a miscarriage of justice.'" Pettis, 520 So.2d at 254 (citing Combs v. State, 436 So.2d 93, 96 (Fla.1983)). "Only those [petitions for certiorari] are granted in which the error is serious." Pettis, 520 So.2d at 253. Where the trial court's ruling does not substantially impair the State's ability to bring its case, relief by certiorari is not available, and the petition should be dismissed. State v. Sealy-Doe, 861 So.2d 530, 531 (Fla. 4th DCA 2003).
Initially, we address the question of whether the State may properly seek review by certiorari of the trial court's order under the circumstances of this case. The State objects to the disclosure of the information ordered by the trial court based primarily on its claim that the information is confidential and privileged. Generally speaking, the district courts of appeal have
The issues in this case relate to the scope of the prosecution's discovery obligations, including its claims of privilege, where the various defendants have elected to participate in the discovery process. The law generally applicable to these questions is Florida Rule of Criminal Procedure 3.220 concerning "Discovery." With regard to the prosecution's discovery obligation, the rule provides, in pertinent part, as follows:
Section (g)(2) of rule 3.220 concerning informants recognizes the State's limited privilege to decline to disclose the identity of a confidential informant as follows:
See Roviaro v. United States, 353 U.S. 53, 59-61, 77 S.Ct. 623, 1 L.Ed.2d 639 (1957) (discussing the scope and limitations of the privilege).
Pertinent to our inquiry is the distinction the discovery rule's provisions draw between witness statements and statements made by defendants and codefendants based on whether or not the statements have been reduced to writing or otherwise recorded. With regard to the statements of witnesses, the prosecution need not disclose such statements unless the statements are written, recorded, or otherwise reduced to writing. Fla. R. Crim. P. 3.220(b)(1)(B). See State v. McFadden, 50 So.3d 1131, 1132-33 (Fla. 2010); Burkes v. State, 946 So.2d 34, 36-37 (Fla. 5th DCA 2006); Balboa v. State, 446 So.2d 1134, 1135 (Fla. 3d DCA 1984). Witness statements appearing in pertinent police and investigative reports are expressly included within the definition of statements that the prosecution must disclose. Fla. R. Crim. P. 3.220(b)(1)(B). The discovery rule treats statements made by defendants and codefendants differently. With regard to their statements, the prosecution must disclose not only "any written or recorded statements" but also "the substance of any oral statements." Fla. R. Crim. P. 3.220(b)(1)(C)-(D). See Brown v. State, 640 So.2d 106, 107 (Fla. 4th DCA 1994).
The State challenges the order under review because it requires the prosecution to disclose certain statements made by codefendants in the underlying prosecution and by additional defendants in several other related cases. An understanding of the context in which these individuals made the statements in question is critical to an analysis of the issues in this case.
The underlying prosecution and various related cases involve more than thirty defendants. Some of these defendants have either sought to cooperate or have agreed to cooperate with the prosecution. Such individuals, who may be described as "cooperating defendants" or "accomplice witnesses," are "participants in the criminal activity who agree to cooperate in the investigation and testify against other participants." Ann C. Rowland, Effective Use of Informants & Accomplice Witnesses, 50 S.C. L. Rev. 679, 679 (1999). Generally speaking, the first step in the process a defendant takes to become a cooperating defendant is to make a formal statement to the prosecution concerning the information the prospective cooperator can provide in exchange for immunity or leniency. The defendant typically makes his or her statement, generally referred to as a "proffer" or "proffer statement," in accordance with a proffer agreement. Prosecutors and members of the criminal defense bar often colloquially refer to the proffer agreement as a "Queen for a Day" letter. One commentator has outlined the process of making a proffer in accordance with such an agreement as follows:
Benjamin A. Naftalis, "Queen for a Day" Agreements and the Proper Scope of Permissible Waiver of the Federal Plea-Statement Rules, 37 Colum. J.L. & Soc. Probs. 1, 5 (2003) (footnotes omitted). By making a proffer statement under a proffer agreement, a cooperating defendant hopes to trade knowledge gained through participation in criminal activity in exchange for immunity or leniency. Graham Hughes, Agreements for Cooperation in Criminal Cases, 45 Vand. L. Rev. 1, 13 (1992).
In this case, Mr. Fernandez and several of the other defendants in the underlying prosecution sought the disclosure of proffer statements made by any cooperating codefendant in the underlying prosecution and in the related case. The State declined to produce this information, claiming that it was confidential and privileged.
The trial court's order directs the State to disclose the identity of any cooperating codefendants in the underlying prosecution and related cases and the substance of all statements, written or oral. With one exception, we find no departure from the essential requirements of the law in this part of the order under review. Under rule 3.220, an individual's status as a codefendant does not relieve the prosecution of its obligation to list the codefendant as a potential witness. See Kilpatrick v. State, 376 So.2d 386, 388 (Fla. 1979); Carnivale v. State, 271 So.2d 793, 794-95 (Fla. 3d DCA 1973). The prosecution was obligated to disclose to the defense "any written or recorded statements and the substance of any oral statements made by a codefendant." Fla. R. Crim. P. 3.220(b)(1)(D). In addition, the prosecution was obligated to disclose to the defense written or recorded witness statements. Fla. R. Crim. P. 3.220(b)(1)(A), (B).
We have only one quibble with this part of the trial court's order. The trial court ordered the prosecution to disclose the written statements and the substance of oral statements not only of the codefendants in case number 10-CF-009043, the underlying prosecution, but also of the other defendants in the related cases. However, the individuals charged in the related cases are not codefendants of the defendants charged in the underlying prosecution because — at least insofar as our limited record reveals — the State has not charged those defendants with the same crime. However, the defendants charged in the related cases still qualify as witnesses. It follows that the prosecution was required to disclose the written or oral recorded statements of the codefendants charged in the related cases. Fla. R. Crim. P. 3.220(b)(1)(B). The trial court's order departs from the essential requirements of the law only to the extent that it ordered the prosecution to disclose the substance of the unrecorded oral statements made by the defendants in the related cases. These individuals qualify as
In the order under review, the trial court also ordered the prosecution to disclose the transcript of the debriefing of Mr. X on the ground that the transcript was discoverable under rule 3.220(b)(1)(D) ("any written or recorded statements and the substance of any oral statements made by a codefendant"). Here, the trial court reached the correct result, but for the wrong reason. The State charged Mr. X in one of the related cases, but not in the underlying prosecution. Thus he did not qualify as a codefendant, and the State was not required to disclose the transcript of Mr. X's debriefing under rule 3.220(b)(1)(D). Nevertheless, Mr. X had information relevant to the case, and he qualified as a witness. Undeniably, the State had a transcript of Mr. X's debriefing session; the transcript qualified as a recording of an oral statement. Thus the prosecution was required to disclose the transcript under rule 3.220(b)(1)(B).
The State makes four arguments in support of its contention that the trial court's order departs from the essential requirements of the law. For the reasons set forth below, we find all of these arguments to be unpersuasive.
The State's first argument proceeds from the notion that any cooperating defendants are acting as "confidential informants." According to the State, the trial court's order departs from the essential requirements of the law because it "ignores the government's long standing common-law privilege not to disclose the identity of confidential informants [] and orders disclosure of this confidential privileged information based on a finding of mere relevance." This court has described the State's limited privilege as follows:
Borrego, 970 So.2d at 467 (citations omitted). Rule 3.220(g)(2) recognizes the State's limited privilege with regard to disclosure of a confidential informant.
The State's argument based on the confidential informant privilege confuses the role of a cooperating defendant or accomplice witness with the role of an informant. An informant is "[o]ne who informs against another; esp., one who confidentially supplies information to the police about a crime, sometimes in exchange for a reward or special treatment." Black's Law Dictionary 849 (9th ed. 2009). The tasks that informants perform are varied. An informant may provide information to law enforcement officers for their use in obtaining a search warrant. An informant may provide law enforcement officers with a tip about a planned crime that has not yet occurred, a crime that is already in progress, or a crime that has already occurred.
Several factors distinguish the informant from the cooperating defendant.
In this case, the trial court's order required the prosecution to disclose the identity of the cooperating codefendants and the statements that they had made. The codefendants that had decided to cooperate with the prosecution were not confidential informants. Accordingly, the privilege upon which the State relies is simply inapplicable.
The State also argues that the trial court's order departs from the essential requirements of the law because it required the prosecution to disclose information that it had obtained under confidentiality agreements. We assume, for purposes of this discussion, that the State obtained the statements in question from the cooperating defendants under a promise of some type of confidentiality. Nevertheless, the State's promise to hold in confidence information that it must disclose
The State also faults the trial court for requiring the disclosure of the written transcript of the debriefing of Mr. X on the ground that he is a defendant in a case other than the underlying prosecution. We reject this argument. The trial court specifically found that Mr. X was a witness with information relevant to the underlying prosecution. Accordingly, the State was required to disclose the written transcript of Mr. X's debriefing under rule 3.220(b)(1)(B).
Finally, the State argues that it should not be required to disclose the identity of the cooperating defendants and to provide their statements because it does not know whether it will call them as witnesses at trial. Considering the complex nature of the crimes charged, the number of defendants in the underlying prosecution, and the existence of extensive wiretap evidence, it seems unlikely that the prosecution would go to the trouble of debriefing several cooperating defendants, none of whom it will call as witnesses at trial. However, for purposes of this discussion, we assume that the State will not call any of the cooperators as witnesses at trial.
The State does not cite any authority in support of the proposition that its discovery obligation is limited to witnesses and evidentiary materials that it intends to present at trial. Under rule 3.220, the parties' reciprocal discovery obligations are not so limited. Indeed, this court recently agreed with the State's argument that the defense's obligation to make reciprocal discovery extended to an expert witness's report even though the defense did not intend to call the expert as a witness at trial. Kidder v. State, 117 So.3d 1166, 1170-71 (Fla. 2d DCA 2013). The principle that we followed at the State's urging in Kidder applies no less to the State's reciprocal discovery obligation in this case.
As a caution, we note that our analysis of the issues in this case focuses on the prosecution's obligation to make reciprocal discovery under rule 3.220. Of course, we recognize that the State may have additional obligations to provide information to the defense arising from other authorities. These additional obligations include, but are not necessarily limited to, (1) the State's obligation to disclose evidence favorable to the defendant upon request, Brady v. Maryland, 373 U.S. 83, 87, 83 S.Ct. 1194, 10 L.Ed.2d 215 (1963); and (2) the related obligation to disclose material evidence adversely affecting the credibility of a witness, Giglio v. United States, 405 U.S. 150, 153-54, 92 S.Ct. 763, 31 L.Ed.2d 104 (1972).
We note that the liberal nature of Florida's criminal discovery rules drives the result that we reach here. As the Florida Supreme Court has said:
Scipio v. State, 928 So.2d 1138, 1144-45 (Fla.2006) (citations omitted). See also Michael E. Allen, Florida Criminal Procedure § 15:5 (2013) ("Florida provides liberal discovery rights in criminal prosecutions."). In addition, regardless of formal discovery obligations, some prosecutors in Florida and elsewhere adhere to an "open-file" policy.
One might make an argument in favor of a discovery regime under which the prosecution would have a privilege not to disclose the contents of proffer statements made by cooperating defendants under a promise of confidentiality, subject to exceptions for Brady and Giglio material.
For all of the reasons set forth above, we grant the petition in part and deny it in part. We quash the trial court's order to the limited extent that it would require the prosecution to disclose unrecorded oral statements made by defendants in cases other than case number 10-CF-009043,
Granted in part; denied in part.
NORTHCUTT and VILLANTI, JJ., Concur.