Opinion ID: 1958968
Heading Depth: 1
Heading Rank: 4

Heading: Exclusion of Expert Testimony of State of Mind

Text: We turn now to the exclusion of certain evidence proffered by the defense in the first stage of the bifurcated trial. That evidence, in the form of testimony by two psychologists, sought to show that because of an abnormal condition of his mind on the night and in the circumstances of the alleged crimes, defendant was unable to form, or have, the culpable intent or knowledge requisite for conviction of either crime. Defense counsel made an offer of proof of the psychologists' testimony, following the procedure we prescribed for that purpose in State v. Burnham, 406 A.2d 889, 895 (Me.1979). The sort of evidence sought to be introduced by the defense in its offer of proof is prone to create difficulties at trial because of the somewhat subtle and elusive distinction, in practice, between evidence regarding a defendant's mental state that is admissible in the first guilt or innocence stage of a bifurcated trial, and similar evidence that must be held in reserve for the second insanity stage. In drawing that distinction, it is important to bear in mind the difference between evidence of an abnormal state of mind introduced under 17-A M.R.S.A. § 38 (1983), for the purpose of raising a doubt about a defendant's culpable state of mind, [3] and evidence of a mental disease or defect introduced under 17-A M.R.S.A. § 39 (1983), for the purpose of showing a lack of criminal responsibility. [4] Although the evidence used for those two purposes may overlap, [5] it is clear that only evidence relevant to the question of guilt or innocence is appropriate in the first stage of a bifurcated trial, and that evidence relevant alone to the insanity defense cannot be introduced until the second stage. The critical factor in determining whether a defendant's proof may be admitted in the first stage of his trial is thus the relevance of the evidence to the issue framed in section 38, regardless of the relevance of that evidence on the issue framed in section 39. Our inquiry in the case at bar, where admissibility under section 38 is at issue, is thus limited to the question whether the proffered testimony of two psychologists would tend to generate a reasonable doubt as to [defendant's culpable] state of mind. State v. Mishne, 427 A.2d 450, 456 (Me.1981). Otherwise stated, the proffered testimony, to be admissible, must tend to negate the conclusion that defendant had a culpable state of mind. See State v. Burnham, 406 A.2d at 896. If the evidence offered by defendant did not tend to negate the mental element of the crimes charged, it was properly excluded by the presiding justice. Conversely, if it did tend to create doubt on the question of defendant's culpable mental state on the evening of June 11, 1982, then its exclusion was error. Analysis of the proffered testimony reveals that it did indeed have a tendency to negate defendant's intent or knowledge and should not have been excluded. The defense's offer of proof elicited from two psychologists, Dr. Dannel H. Starbird and Dr. Elizabeth A. McMahon, testimony regarding defendant's mental condition in June of 1982. Starbird gave his opinion that defendant was living in a psychotic state on June 11, 1982, and that the subject matter central to his psychosis involved violence and the use of guns. Starbird clearly stated that he did not believe that defendant could have formed the intent to go to the victim's house, shoot her at close range, take her purse, and attempt several days later to destroy the contents of the purse, because those actions would be too closely related to the central themes of defendant's psychosis for him to know what he was doing. Starbird testified further that in activity central to defendant's psychosis, defendant would not be aware of the implications or the results of his behavior. McMahon was also of the opinion that defendant was psychotic and would have been reacting in a paranoid manner in any confrontation, especially with a woman, and particularly so if the woman was unfamiliar to him, as Miss Eaton was. She gave her opinion that there was a very high probability that defendant would not have been able to form a conscious intention in such a situation when he was armed with a loaded gun. She also gave her opinion that he would not be aware of the fatal consequences of his conduct in those circumstances. Those two opinions directly address defendant's ability to murder and rob Miss Eaton intentionally or knowingly, as those culpable mental states are defined in 17-A M.R.S.A. § 35(1) & (2) (1983). Furthermore, the psychologists' testimony was of a nature and in a form to meet the requirements for admissibility set forth in State v. Flick, 425 A.2d 167, 170-71 (Me. 1981). [6] The proposed testimony of the two psychologists in this case stands in marked contrast to evidence we have previously held was properly excluded, as not tending to raise a reasonable doubt as to culpable mental state, in Mishne, 427 A.2d at 455, and in State v. Sommer, 409 A.2d 666, 669 (Me.1979). In Sommer, the evidence of an abnormal condition of mind, which came exclusively from lay witnesses, was not specifically connected to the defendant's ability to act with intent or knowledge in the circumstances of the crime. Id. at 669-70. The evidence sought to be introduced in that case did not show any relationship between the defendant's general mental condition and his ability to function intentionally or knowingly in specific criminal activity. In Mishne, psychiatric and other expert medical testimony was proffered to show that the defendant there at the time of the crime was in withdrawal from drug addiction, and as a result suffered from a compulsion to obtain drugs. We held that evidence of a compelling need tends to confirm the conclusion that defendant acted with awareness [in stealing drugs] and with the conscious object of fulfilling that need. Mishne, 427 A.2d at 455 (emphasis added). Thus in that case the defense evidence did not tend to negate intent or knowledge as required by Burnham; rather, it had the contrary tendency and so it was not admissible under section 38. In the case at bar, on the other hand, the defense produced two experts, both of whom had administered a variety of personality and intelligence tests to defendant Murphy and had extensively interviewed him and his family. Having formed expert opinions that defendant was suffering from a lack of contact with reality, those experts took the essential further step of evaluating the effect of defendant's psychotic state on his ability to have the culpable intent or knowledge requisite to convict him for murder and robbery in this case. Both psychologists stated their opinion that, because of his psychosis and the specific circumstances of the crime, it was unlikely that defendant would have been able to intend or know the consequences of his acts of shooting and robbing Miss Eaton. Those psychologists linked defendant's bizarre behavior to his likely state of mind at the time of the crimes, and their expert opinions tended to show that that state of mind was not culpable. It was the absence of any such linkup in Sommer, and the failure of that link to negate a culpable mental state in Mishne, that made inadmissible the evidence of abnormal mental condition proffered in the first stages of those trials. The psychologists' testimony was directly relevant to showing defendant lacked a culpable state of mind at the time of the murder-robbery. It is not for us to decide how much weight or credence is properly to be accorded that testimony. That determination falls within the exclusive factfinding province of the jury. See State v. Lovejoy, 493 A.2d at 1037. Nor is it for us to decide whether, in light of all the other evidence that defendant had the requisite intent or knowledge, the expert opinions of Drs. Starbird and McMahon would in fact raise a reasonable doubt in a factfinder's mind as to that element of the offense. That determination also is up to the jury. Id. at 1037. Since the psychologists' opinions tended to refute the existence of the culpable mental state that the State was required to prove in the guilt or innocence stage of the trial, the jury was entitled to hear that evidence. Considering that the question of culpable intent or knowledge was the most hotly contested issue at trial, we cannot say that it was highly probable that the exclusion of the psychologists' opinion testimony did not affect the jury's verdict. We conclude therefore that the error was not harmless. See State v. True, 438 A.2d 460, 467 (Me. 1981).