Opinion ID: 776501
Heading Depth: 1
Heading Rank: 2

Heading: The Erroneous Admission of Testimony

Text: 10 Following his arrest on February 22, 1978, Ghent was interrogated by Officers DeSart and Pate of the Santa Clara County Sheriff's Department. Ghent, 239 Cal.Rptr. 82, 739 P.2d at 1256. Although he initially waived his Miranda rights, Ghent later asked several times for the assistance of an attorney. Id. Despite these requests, the officers continued their interrogation. Id. They encouraged Ghent to speak with Dr. Shoor, a psychiatrist who had been previously retained by the department. Id. They told Ghent to discuss any sex problem he had with the psychiatrist. They did not tell Ghent, however, that his statements during the psychiatric exam could be used against him in a criminal proceeding; instead they said that the conversation would be a private one between Dr. Shoor and Ghent. Upon Dr. Shoor's arrival, Ghent was readvised of his Miranda rights. Id. He was told that Dr. Shoor's report could be used against him in court. Dr. Shoor interviewed Ghent for approximately forty-five minutes. Id. 11 Upon review of these facts, all courts have held that the admission of the testimony of Dr. Shoor and DeSart was in violation of Ghent's Fifth Amendment right to be free from self-incrimination. The California Supreme Court held that the testimony of DeSart and Dr. Shoor was inadmissible by reason of a violation of Miranda principles, id., and the federal district court agreed. Because it is a violation of Miranda to question an individual who is in custody after he has requested counsel, the State does not challenge either of these courts' holdings. Therefore, we proceed to the issue of the prejudicial effect of the admission of DeSart's and Dr. Shoor's testimony at the various stages of the proceedings.
12 The admission of testimony in violation of Miranda constitutes a violation of Ghent's due process rights. See Miranda v. Arizona, 384 U.S. 436, 444, 86 S.Ct. 1602, 16 L.Ed.2d 694 (1966); Edwards v. Arizona, 451 U.S. 477, 484-85, 101 S.Ct. 1880, 68 L.Ed.2d 378 (1981); see also Dickerson v. United States, 530 U.S. 428, 443-44, 120 S.Ct. 2326, 147 L.Ed.2d 405 (2000). However, the finding of constitutional error does not automatically necessitate reversal. The erroneous admission of statements taken in violation of a defendant's Fifth Amendment rights is subject to harmless error analysis. Neder v. United States, 527 U.S. 1, 18, 119 S.Ct. 1827, 144 L.Ed.2d 35 (1999); Henry v. Kernan, 197 F.3d 1021, 1029 (9th Cir.1999). Despite the state supreme court's and the district court's finding of a constitutional violation, both courts held that the erroneous admission of Dr. Shoor and DeSart's testimony was harmless error. The district court's determination of whether an error was harmless is a mixed question of law and fact that is reviewed de novo by this court. Suniga v. Bunnell, 998 F.2d 664, 667 (9th Cir.1993); see also Brecht v. Abrahamson, 507 U.S. 619, 642, 113 S.Ct. 1710, 123 L.Ed.2d 353 (1993) (Stevens, J., concurring). The state court's conclusion that a constitutional error was harmless is also reviewed de novo in all pre-AEDPA cases. Lawson v. Borg, 60 F.3d 608, 612 (9th Cir.1995); Dickson v. Sullivan, 849 F.2d 403, 405 (9th Cir.1988). 13 In undertaking our de novo review of the prejudicial effect of the erroneous admission of testimony, the question is whether the erroneously admitted evidence had a substantial and injurious effect or influence in determining the jury's verdict. Brecht, 507 U.S. at 637, 113 S.Ct. 1710 (quoting and adopting standard in Kotteakos v. United States, 328 U.S. 750, 776, 66 S.Ct. 1239, 90 L.Ed. 1557 (1946)); see also Bains v. Cambra, 204 F.3d 964, 977 (9th Cir.2000). A reviewing court does not examine whether there was sufficient evidence to support the conviction in the absence of constitutional error. See Standen v. Whitley, 994 F.2d 1417, 1423 (9th Cir.1993). Rather, regardless of whether there is sufficient evidence to support the conviction apart from the error, we must determine whether the error had a substantial and injurious effect or influence on the conviction before us on appeal. See Kotteakos, 328 U.S. at 765, 66 S.Ct. 1239; Hanna v. Riveland, 87 F.3d 1034, 1039 (9th Cir.1996). If we conclude that it did, we must set aside the jury's findings.
14 The State introduced testimony by Dr. Shoor at both the trial and the special circumstances retrial. 2 In both of these proceedings, issues were raised concerning Ghent's state of mind at the time of the crimes. Ghent primarily challenged the extent of his culpability under the law as opposed to asserting his actual innocence of the acts charged. This challenge shapes the harmless error analysis we must undertake. Several cases find the erroneous admission or exclusion of evidence harmless because of the overwhelming evidence of the guilt of the defendant. See, e.g., United States v. Meza-Corrales, 183 F.3d 1116, 1126 (9th Cir.1999); United States v. Gonzalez-Sandoval, 894 F.2d 1043, 1047 (9th Cir.1990). However, here, unlike in those cases, whether the defendant actually committed the acts alleged was not a seriously disputed issue. Thus, the quantum of evidence on that point is irrelevant to our prejudice analysis. In order to determine whether the admission of the erroneously admitted testimony was prejudicial, we must examine the effect of that testimony on the question of Ghent's mental state, not on the question whether Ghent actually committed the underlying criminal acts. 3 15 Our evaluation is divided into two separate parts: the extent of the harm in the first trial (in which the jury found Ghent guilty of first degree murder) and the prejudicial effect in the special circumstances retrial (in which the jury found Ghent guilty of a special circumstance that serves as a prerequisite to the imposition of a death sentence). For the reasons explained below, we hold the erroneous admission of this testimony to be harmless in the first trial, but highly prejudicial in the special circumstances retrial. Because of the latter holding, we need not reach the question of the effect of the evidence on the penalty phase, or indeed any question relating to that phase.
16 At the first trial, Ghent was convicted of first degree murder of Mrs. Bert as well as her attempted rape. Under California law at the time Mrs. Bert was murdered, a conviction of first degree murder required proof of a willful, deliberate, and premeditated killing or proof that the murder was committed in the course of a felony. See Cal.Penal Code § 189 (1978) (amended 1981). Attempted rape required a specific intent to rape, but not willfulness, deliberation, or premeditation. People v. Atkins, 25 Cal.4th 76, 104 Cal.Rptr.2d 738, 18 P.3d 660, 668 (2001). Ghent presented a defense of diminished capacity. 4 He argued that he failed to premeditate or deliberate with respect to the murder of Mrs. Bert, that he lacked the capacity to do so, and that he also lacked the capacity to form the specific intent to commit the underlying felony, the rape or attempted rape. The erroneously admitted testimony of Dr. Shoor was introduced by the State in the first trial to support its argument that Ghent had the ability to, and did in fact, premeditate and deliberate with respect to the murder, and that Ghent had the ability to, and did in fact, form the specific intent to commit rape. The prosecutor stated in his opening argument that Dr. Shoor was called by the police to interview Ghent precisely because the State knew that it would most probably be a psychiatric defense. 17 Dr. Shoor's testimony controverted Ghent's defense of diminished capacity. Dr. Shoor testified that Ghent did not suffer any diminished capacity and that he could properly be held accountable under the law. He stated explicitly that Ghent had normal mental capacity and mental functioning. Thus, the prosecutor stated, correctly, that Dr. Shoor's testimony went to the question whether Ghent had the capacity to commit the offenses charged. 18 A more particular analysis of the case against Ghent is required, however, before we can proceed further with our inquiry into prejudice. In order to convict Ghent of first degree murder, the State needed to prove only one of two alternative theories: 1) that Ghent committed a willful, deliberate, and premeditated murder or 2) that Ghent raped or attempted to rape Mrs. Bert and murdered her during the course of that offense (felony murder). See Cal.Penal Code § 189 (1978) (amended 1981). Our review of the record persuades us that to decide whether Dr. Shoor's testimony was prejudicial with respect to Ghent's first degree murder conviction, we must first determine on which of the two alternative theories the jury based its verdict. 19 Although the jury found Ghent guilty of first degree murder and of attempted rape, it hung on the special circumstances finding. As stated previously, a special circumstances verdict would have required the jury to find that Ghent committed a willful, deliberate, and premeditated murder and that this murder occurred during the commission of one of the enumerated felonies, including rape and attempted rape. Because the jury found that Ghent had in fact committed attempted rape, if its verdict of first degree murder had been based on a determination that Ghent committed a willful, deliberate, and premeditated murder (rather than a felony murder), the prerequisites for a finding of special circumstances would have been satisfied and the jury would undoubtedly have found him guilty of the special circumstance charged. The jury's failure to find special circumstances makes it apparent that it must have based Ghent's conviction for first degree murder on the alternative theory, specifically on felony murder — that it must have based the conviction on the finding that Ghent committed the murder in the course of committing the sexual assault. Accordingly, when examining the prejudicial effect of Dr. Shoor's testimony on Ghent's first degree murder conviction, we proceed from the premise that the conviction was based on felony murder, and not on the theory that Ghent committed a willful, deliberate, and premeditated murder. 20 By contrast, Dr. Shoor's testimony was directed primarily to the theory that Ghent premeditated the murder, and not to the felony murder theory. To the extent that his testimony did relate to the felony murder question, it did so only with respect to whether Ghent had the ability to form the specific intent required for the underlying felony. However, Ghent's own mental health expert, Dr. Raffle, explicitly conceded that Ghent had the capacity to form and did form the specific intent to rape Mrs. Bert. Thus, Dr. Shoor's testimony was largely cumulative with respect to the jury's felony murder finding and to its consequent finding of first degree (felony) murder. Accordingly, we conclude that the introduction of Dr. Shoor's testimony at the trial did not have a substantial or injurious effect on the jury's verdict or constitute prejudicial error. Brecht, 507 U.S. at 637, 113 S.Ct. 1710.
21 Our conclusion that Dr. Shoor's testimony was not prejudicial with respect to the first trial does not apply, however, with respect to the special circumstances retrial; to the contrary, it is clear that the introduction of Dr. Shoor's testimony at that proceeding was prejudicial. At the retrial, the finding of special circumstances required that the State prove beyond a reasonable doubt that Ghent's murder of Mrs. Bert was willful, deliberate, and premeditated. See Cal.Penal Code § 190.2(a)(3). Accordingly, the issue of premeditation and deliberation was the central issue of the special circumstances retrial. The prosecutor himself repeatedly characterized that issue as the major issue in this case. See Henry v. Kernan, 197 F.3d 1021, 1030 (9th Cir.1999) (noting that, [i]mportantly, the prosecutor referred to [defendant's] motivation [and subject of erroneously admitted testimony] as `the crux of the case'). 22 Dr. Shoor's testimony was critical to the theory that Ghent premeditated and deliberated with respect to the murder. In his opening statement, the prosecutor stated that Dr. Shoor gave Ghent a mental examination and determined that this guy is fine. He has no diminished capacity. Contrary to the State's argument, Dr. Shoor's testimony was not solely general in nature. Rather, it clearly included his opinion as to Ghent's mental state at the time of the murder. He testified that Mr. Ghent had the mental capacities at that time which were well within the range of normal reasonable thinking. (emphasis added). Dr. Shoor also testified that Ghent had the mental capacities to premeditate whatever he did. (emphasis added). Although Dr. Shoor spoke specifically in terms of Ghent's capacity to premeditate, given the context of his testimony and the fact that he had met with Ghent shortly after the crimes took place, it is clear that Dr. Shoor's evidence was offered to and did provide strong support for the State's theory that Ghent in fact premeditated and deliberated with respect to the murder, and that his testimony would be so construed by reasonable jurors. The prosecutor himself stated that Dr. Shoor's testimony would be given to assist the jury in determining what David Ghent's state of mind was at the time of the incident. Although Dr. Shoor's statements at the special circumstances retrial were comparatively brief, they were direct and to the point: they constituted the only direct evidence offered by the prosecution as to Ghent's state of mind. 5 23 The defense relied heavily on the testimony of two mental health experts, both of whom disagreed with Dr. Shoor's assessment. Dr. Raffle (forensic psychiatrist) testified that Ghent did not deliberate the murder and Dr. Delman (psychologist) testified that Ghent did not premeditate or deliberate the murder. In his closing argument, defense counsel relied on the testimony of these two defense experts to show that Ghent did not premeditate or deliberate with respect to the murder. Dr. Shoor's testimony was introduced to immunize the jury against this crucial defense evidence. Indeed, Dr. Shoor's testimony went to the heart of Ghent's defense. See Henry, 197 F.3d at 1030 (holding error prejudicial because State's use of erroneously admitted testimony went to the root of their burden to prove ... intent); People v. Walker, 29 Cal.App.3d 448, 105 Cal.Rptr. 672, 676-77 (1972) (finding it prejudicial error to admit testimony of police psychologist whose interview violated defendant's Fifth Amendment rights because testimony went directly to the heart of the defense of diminished capacity). 24 The prosecutor not only used Dr. Shoor's testimony to discredit the testimony and theories of the two defense expert witnesses but also to attack Ghent's credibility and truthfulness. In the special circumstances retrial, Ghent's credibility was a critical issue; Ghent himself testified regarding his memory loss surrounding the crimes. The two defense experts, Drs. Raffle and Delman, also attempted to explain Ghent's memory loss and his untruthfulness to the jury. Thus, Dr. Shoor's testimony was admitted to counter directly both the defense theory and Ghent's credibility and truthfulness. The prosecutor introduced Dr. Shoor's testimony by stating that Dr. Shoor would tell the jury that Ghent is a liar, he's dishonest. Moreover, the California Supreme Court stated, in justifying its finding of harmlessness, that the jury's finding of special circumstances was based in part on its rejection of the `lost memory' theories of Drs. Raffle and Delman. Ghent, 239 Cal. Rptr. 82, 739 P.2d at 1259. The only expert mental health testimony presented by the State that could have enabled the jury to reject those theories was the erroneously admitted testimony of Dr. Shoor. See Eslaminia v. White, 136 F.3d 1234, 1238 (9th Cir.1998) (stating that when credibility is a central issue in trial and erroneously admitted evidence casts doubt on that credibility, such error is prejudicial); cf. Arizona v. Fulminante, 499 U.S. 279, 298, 111 S.Ct. 1246, 113 L.Ed.2d 302 (1991) (holding error prejudicial as jury's assessment of another of defendant's statements could have depended in part on erroneously admitted evidence). 25 The State's own actions at trial belie its current arguments regarding the importance of Dr. Shoor's testimony. Its actions demonstrate just how critical the State believed the erroneously admitted evidence to be. See Kyles v. Whitley, 514 U.S. 419, 444, 115 S.Ct. 1555, 131 L.Ed.2d 490 (1995); United States v. Bauer, 132 F.3d 504, 512 (9th Cir.1997). The prosecutor in this case fought vigorously for the admission of Dr. Shoor's statements. Furthermore, he relied heavily on Dr. Shoor's testimony during both opening and closing arguments, 6 emphasizing the credibility of the doctor's opinion. The prosecutor qualified Dr. Shoor as an expert in psychiatry and stressed Dr. Shoor's experience, truthfulness, and Stanford University training. It is clear that the State recognized the importance of Dr. Shoor's testimony, not only from an examination of the prosecutor's own statements, but also from the fact that the State reordered its proof in the special circumstances retrial so as to make Dr. Shoor its second witness in its case-in-chief (instead of using him only as a rebuttal witness, as it did at the first trial). This trial strategy reflects the State's firmly held belief that Dr. Shoor's testimony was critical to proving that Ghent premeditated and deliberated with respect to the murder of Mrs. Bert. In light of all these circumstances, we view with some skepticism, indeed with considerable skepticism, the State's argument that Dr. Shoor's testimony was tangential. United States v. Brooke, 4 F.3d 1480, 1488 (9th Cir.1993) (quoting United States v. Hill, 953 F.2d 452, 459 (9th Cir.1991)). 26 We would add, finally, that we find it highly significant that the prosecutor argued that one reason that Dr. Shoor's testimony was highly credible was that he had interviewed Ghent before Ghent was able to contact his lawyers. The State made use of — and sought to benefit from — this unconstitutional attribute of Dr. Shoor's behavior. By doing so, it only emphasized and exacerbated the violation. Moreover, the State's claim that Dr. Shoor's testimony merely duplicated that of the defense, is patently erroneous, particularly as the prosecutor himself emphasized the uniqueness of that testimony. 27 In sum, it is clear that Dr. Shoor's testimony in the special circumstances retrial had substantial and injurious effect or influence in determining the jury's verdict. Brecht, 507 U.S. at 637, 113 S.Ct. 1710. His testimony stands out both because of his qualifications as a medical doctor specializing in psychiatry and because of the powerful content of his message. Satterwhite v. Texas, 486 U.S. 249, 259, 108 S.Ct. 1792, 100 L.Ed.2d 284 (1988). Accordingly, the special circumstances verdict cannot stand. 7 Without the special circumstances finding, Ghent is ineligible for the death penalty. See Cal.Penal Code § 190.2. Therefore, we vacate his death sentence and remand the matter so that the State may conduct a new special circumstances trial, if it so elects. 8 See People v. Roy, 207 Cal.App.3d 642, 255 Cal.Rptr. 214, 223 (1989); see also Wade v. Calderon, 29 F.3d 1312, 1322-23 (9th Cir.1994). Otherwise, it shall resentence Ghent on the charge of first degree murder, without any special circumstance finding.