Opinion ID: 2572739
Heading Depth: 2
Heading Rank: 1

Heading: Exclusion of Dr. Caplan's Testimony

Text: {19} As a preliminary matter, the State argues that Defendant did not preserve the issue of the admissibility of Dr. Caplan's testimony. The State's argument is not well taken. Rule 12-216(A) NMRA 2004 states that to preserve an issue for review it must appear that a ruling or decision by the district court was fairly invoked, but formal exceptions are not required. In explaining why we decline to require formal exceptions, we have stated that our rule disregards form and relies upon substance, and merely requires that a question be fairly presented to the court and a ruling invoked. Bays v. Albuquerque Nat'l Bank, 34 N.M. 20, 21, 275 P. 769, 770 (1929). In this case, the issue of the admissibility of Dr. Caplan's testimony was fairly presented to the court, and a ruling was fairly invoked inasmuch as the court invoked its own ruling. {20} While a trial judge is not prohibited from excluding evidence sua sponte, a judge should exercise this authority sparingly. This is because: (1) development of the facts at trial is the responsibility of counsel; (2) often counsel may intentionally withhold objection to the admissibility of evidence for strategic reasons; and (3) a trial judge should be careful to avoid the appearance of being more of an advocate or partisan than an objective jurist. See Chapman v. California, 386 U.S. 18, 23 n.8 (1967) (listing the right to an impartial judge as basic to a fair trial). When a trial judge, however, feels compelled to exclude evidence sua sponte, the parties should first be informed of the judge's specific concerns. This should be done on the record, before excluding the evidence, and outside the presence of the jury. This procedure will afford the proponent of the evidence a fair opportunity to respond to the court's concerns and to make the necessary offer of proof prior to the sua sponte ruling. Our rules of evidence require no less of counsel who object to the admissibility of evidence, see Rule 11-103(A)(1) NMRA 2004, and we see no reason why the same procedural rules should not apply to a trial judge who seeks to exclude evidence sua sponte. Here, while the preferred practice would have been for defense counsel to reiterate clearly for the court the purpose for which she was offering Dr. Caplan's testimony and to formally object to the trial court's ruling, we believe this failure by defense counsel does not preclude review. {21} Rule 11-103(A) requires as a predicate for preservation that the ruling affect a substantial right of the party and, where the ruling is one excluding evidence, that the substance of the evidence was made known to the court by offer or was apparent from the context within which questions were asked. Rule 11-103(A)(2). Although we are not required to review every sua sponte exclusion of evidence that is made without a timely objection by counsel, Rule 11-103(A) and Rule 12-216(A) clearly permit review in this case because the substantial rights of Defendant were affected by the trial court's ruling and the substance of the evidence to be admitted was made known or was apparent to the court. The fact that the trial court ruled sua sponte to exclude the testimonycombined with the fact that the defense presented only one issue to the jury, offered only one witness to testify on that issue, and reasonably relied on the trial court's earlier pronouncements to counsel and to the jury that Dr. Caplan would testifyexacerbates the potential that the alleged error is fundamental. See State v. Garcia, 46 N.M. 302, 309, 128 P.2d 459, 462 (1942) (fundamental error must go to the foundation of the defendant's case or take from the defendant a right which was essential to his defense). We therefore reject the State's argument that the issue was inadequately preserved. {22} Having decided to review this issue, we examine the proposed evidence to determine whether the trial court abused its discretion in excluding it. State v. Stanley, 2001-NMSC-037, ¶ 5, 131 N.M. 368, 37 P.3d 85. An abuse of discretion occurs when the ruling is clearly against the logic and effects of the facts and circumstances of the case, is clearly untenable, or is not justified by reason. Id. Whether the trial court abused its discretion depends on an analysis of (1) whether Dr. Caplan's testimony was relevant; and (2) if relevant, whether the testimony was properly excluded under Rule 11-403 as misleading or a waste of time. Finally, if the court erred in excluding the evidence, we examine whether the error was harmless.
{23} All relevant evidence is generally admissible, unless otherwise provided by law, and evidence that is not relevant is not admissible. Rule 11-402 NMRA 2004. `Relevant evidence' means evidence having any tendency to make the existence of any fact that is of consequence to the determination of the action more probable or less probable than it would be without the evidence. Rule 11-401 NMRA 2004 (emphasis added). Any doubt whether the evidence is relevant should be resolved in favor of admissibility. Stanley, 2001-NMSC-037, ¶ 6. {24} In reviewing the relevancy of Dr. Caplan's testimony, we first consider whether his testimony directly related to Defendant's theory of the case. See State v. Melendez, 97 N.M. 740, 742, 643 P.2d 609, 611 (Ct. App. 1981) (stating that tendered evidence of the victim's reputation for violence was relevant to the defendant's claims that occupants of a car were aggressors and that he had reasonable apprehensions for his life and safety), rev'd on other grounds, 97 N.M. 738, 643 P.2d 607 (1982); State v. Debarry, 86 N.M. 742, 743-44, 527 P.2d 505, 506-07 (Ct. App. 1974) (remanding for in-camera hearing to determine whether excluded testimony was relevant to the defendant's misidentification defense, with instructions to grant a new trial if the testimony was sufficiently relevant to defendant's theory). Defendant's theory was that he did not form the deliberate intent to kill Victim and therefore was not guilty of first-degree murder. In New Mexico, first-degree murder is defined as any kind of willful, deliberate and premeditated killing. Section 30-2-1(A)(1); see State v. Coffin, 1999-NMSC-038, ¶¶ 25-29, 128 N.M. 192, 991 P.2d 477 (outlining the legal history of first-degree murder in New Mexico and clarifying that deliberation, defined as a thinking over with calm and reflecting mind, is the defining characteristic of the requisite mental state for first-degree murder) (quoting State v. Smith, 26 N.M. 482, 491, 194 P. 869, 872 (1921)). {25} Because deliberation is an essential element of first-degree murder, evidence with any tendency to make the existence of deliberation more probable or less probable is by definition relevant to the distinction between first-and second-degree murder. See Rule 11-401. Uniform Jury Instruction 14-201, which was given to the jury in this case, defines deliberate intention as follows: A deliberate intention refers to the state of mind of the defendant. A deliberate intention may be inferred from all of the facts and circumstances of the killing. The word deliberate means arrived at or determined upon as a result of careful thought and the weighing of the consideration for and against the proposed course of action. A calculated judgment and decision may be arrived at in a short period of time. A mere unconsidered and rash impulse, even though it includes an intent to kill, is not a deliberate intention to kill. To constitute a deliberate killing, the slayer must weigh and consider the question of killing and his reasons for and against such a choice. UJI 14-201 NMRA 2004 (emphasis added). {26} Defendant contends that Dr. Caplan's testimony regarding Defendant's neurological deficits was relevant because, if believed by the jury, it would tend to make less probable the State's theory that Defendant killed as a result of careful thought and the weighing of the consideration for and against the proposed course of action. Defendant argues that a reasonable juror could infer from Dr. Caplan's testimony that when Defendant killed Victim, he did so more likely as the result of an unconsidered and rash impulse and less likely as a result of careful thought. {27} We conclude that, had the jury been provided with Dr. Caplan's testimony regarding Defendant's neurological deficits, the jury would have had specific evidence tending, to some degree, to refute the element of deliberation necessary for first-degree murder. Dr. Caplan performed a neuropsychological forensic evaluation of Defendant, which consisted of fourteen diagnostic tests and the collection of an extensive psychosocial history. Dr. Caplan's evaluation report, which was reviewed by the trial court, describes Defendant's history of closed head injuries and a constellation of behavioral problems . . . suggestive of frontal lobe dysfunction. This neurological dysfunction results in difficulties in planning and anticipating as well as greater difficulty controlling angry impulses. Defendant told Dr. Caplan that, since the age of sixteen or seventeen, he has had blackouts and becomes unaware of what happens when he is in a rage. [1] Dr. Caplan diagnosed Defendant with impulse-control disorder, polysubstance abuse, and antisocial personality disorder. Dr. Caplan concluded his report: Given this man's history and evidence of neurological deficits, there is some evidence for diminished capacity. Historically he presents with a constellation of behaviors that suggest significant problems in controlling impulses, planning and anticipating dangerous situations and the ability to postpone or discriminate in achieving his goals. During the offer of proof via telephone conference, Dr. Caplan repeated that Defendant has neurological dysfunction, which results in problems with impulse control and difficulty in planning. Dr. Caplan described Defendant's neurological dysfunction as sort of the underpinning to diminished capacity, in other words difficulty in judging, difficulty in appreciating consequences of one's actions, difficulty in planning. Dr. Caplan further indicated that substance abuse tends to further impair whatever kind of abilities [Defendant] had. {28} We conclude that Dr. Caplan's testimony was relevant, because it would assist the jury in weighing Defendant's contention that he lacked the deliberate intent necessary for first-degree murder. Dr. Caplan's testimony regarding Defendant's impulsiveness and difficulty in planning, if believed, supported Defendant's theory that he did not act with calculated judgment, but rather he came upon Victim, Bertola, and Carbajal and went off. Dr. Caplan's testimony was relevant to whether Defendant formed the intent to murder Victim as a result of careful thought and the weighing of the consideration for and against a proposed course of action, or whether he killed her as the result of a mere unconsidered and rash impulse. UJI 14-201. {29} In attempting to refute the relevancy of Dr. Caplan's testimony, the State correctly points out that Dr. Caplan was also prepared to testify that Defendant was capable of forming specific intent. The specific intent required for first-degree murder is a deliberate intent, which by definition involves careful thought and the weighing of the consideration for and against a proposed course of action, and does not describe every intentional killing. See State v. Campos, 1996-NMSC-043, ¶ 39, 122 N.M. 148, 921 P.2d 1266 (It is [the] deliberate intent to cause death, beyond the defendant's intentional actions, that makes premeditated first-degree murder a specific-intent crime.). {30} Defendant's theory at trial, however, was not that Defendant was incapable of forming deliberate intent, and Defendant therefore did not raise the diminished-capacity defense. [2] Defendant's strategy was to show that he did not, at the time of the killing, form the deliberate intent to kill. He sought to raise a reasonable doubt about whether the State carried its burden of proving the mental state required for first-degree murder. Dr. Caplan clearly viewed Defendant's neurological deficits, with resulting impulsiveness and difficulty in planning, as distinct from the ability to form deliberate intent. During the telephone conference Dr. Caplan clarified that Defendant's neurological dysfunction was not the same thing as an inability to form specific intent: [Defendant] impulsively acts but he does understand that his actions may be wrong. So he is able to form specific intent, but there are difficulties with his judgment, his planning, his patience. Thus, Dr. Caplan was clear in his testimony and in his report that Defendant's neurological deficits were not so severe as to wholly subvert his ability to deliberate. {31} Proof of incapacity to form the requisite deliberate intent, however, is not the only means of defending against the State's allegation that the defendant acted with the deliberate intent to take away the life of the victim. An abnormal mental condition may influence the probability that a defendant premeditated and deliberatedand so be taken into account by a jury in determining whether those states of mind existed in fact (beyond a reasonable doubt)even though it did not eliminate the capacity for premeditation. United States v. Peterson, 509 F.2d 408, 416-17 (D.C. Cir. 1974). [E]xpert testimony is admissible if it merely `support[s] an inference or conclusion that the defendant did or did not have the requisite mens rea.' United States v. Bennett, 161 F.3d 171, 183 (3rd Cir. 1998) (quoting United States v. Morales, 108 F.3d 1031, 1037 (9th Cir. 1997)). Thus, we conclude that evidence of the condition of the mind of the accused at the time of the crime may be introduced, not only for the purpose of proving the inability to deliberate, but also to prove that the conditions were such that Defendant did not in fact, at the time of the killing, form a deliberate intent to kill. See State v. Ellis, 89 N.M. 194, 548 P.2d 1212 (Ct. App. 1976) (holding it was reversible error to exclude the defendant's tendered expert testimony regarding the defendant's mental state at the time of the homicide). {32} In concluding that Dr. Caplan's testimony was relevant, we note that New Mexico courts have long allowed such expert testimony relating to a defendant's mental state at the time of the commission of the offense. See id.; see also State v. Elliot, 96 N.M. 798, 635 P.2d 1001 (Ct. App. 1981); State v. Smith, 80 N.M. 126, 452 P.2d 195 (Ct. App. 1969). {33} In Elliot, the Court of Appeals held that the trial court's exclusion of a psychologist's expert testimony that defendant lacked the intent to kill or do great bodily harm was reversible error. 96 N.M. at 800, 635 P.2d at 1003. In response to the trial court's ruling that, under Rule 11-702, the expert testimony would not assist the jury in determining the factual issue of intent, the Court of Appeals held: This may be the trial court's subjective evaluation of testimony by a psychologist, but it is not New Mexico law. The opinion of an expert, whose qualifications are not challenged, would assist the jury in deciding the intent issue, and the expert opinion was admissible. Elliot, 96 N.M. at 800, 635 P.2d at 1003; see Rule 11-702 NMRA 2004. We agree that this remains the law in New Mexico. {34} In Ellis, the defendant at trial offered the expert testimony of a clinical psychologist to show that the defendant shot the victim out of fear and therefore did not have the requisite intent for either first- or second-degree murder. The defendant expressly disclaimed she was relying on the defenses of insanity or diminished capacity. 89 N.M. at 196-97, 548 P.2d at 1214-15. On the basis that Rule 11-702 admits expert testimony if such testimony will assist the jury to determine a fact in issue, the Court of Appeals held that it was error to exclude the testimony, stating that expert testimony as to defendant's `probable state of mind' was admissible . . . [and] a properly qualified expert may testify as to a defendant's intent. Id. at 197, 548 P.2d at 1215. {35} Finally, in Smith, the trial court admitted the expert testimony of a psychologist and two psychiatrists that defendant was inclined to violent emotional eruptions, and that when in a rage he is unable to control himself. 80 N.M. at 129, 452 P.2d at 198. The defendant introduced this evidence not to establish the defense of insanity or inability to form specific intent, but rather to show that the defendant, at the time of the killing, did not possess the requisite mental state for second-degree murder. Id. at 130, 452 P.2d at 199. In affirming the conviction, the Court of Appeals stated: The jury was not required to accept these expert opinions and disregard all other evidence bearing on the question of his mental and emotional state . . . . Id. The same is true in Defendant's case, and, although Dr. Caplan's testimony is relevant to Defendant's mental state at the time of the killing, the jury is free to give it little weight, or to reject it altogether. {36} Because we hold that Dr. Caplan's testimony was relevant to the essential element of deliberate intent, and because the testimony was not cumulative, we conclude that the trial court's exclusion on the basis that it was a waste of time was error. See Rule 11-403 NMRA 2004.
{37} The State also argues that the trial court properly excluded Dr. Caplan's testimony under Rule 11-403 because it would be misleading to allow expert testimony that does not support the giving of the diminished-capacity instruction, UJI 14-5110. See State v. Lujan, 94 N.M. 232, 234, 608 P.2d 1114, 1116 (1980) ([U]nless there is evidence that the defendant could not have formed the requisite intent, the diminished responsibility instruction is improper.). [3] Defendant concedes the evidence was not sufficient to support the giving of the diminished-capacity instruction. We agree. Dr. Caplan was clear in his testimony and in his report that Defendant's neurological deficits did not reach the degree that would interfere with defendant's ability to deliberate. {38} This distinction is significant because in those cases where the evidence does support the diminished-capacity instruction, an additional burden of proof is added to the prosecution. The diminished-capacity instruction is proper only when there is evidence that reasonably tends to show that the defendant's claimed mental disease or disorder rendered the defendant incapable of forming specific intent at the time of the offense. See State v. Begay, 1998-NMSC-029, ¶ 38, 125 N.M. 541, 964 P.2d 102. When UJI 14-5110 is given, the use note instructs the trial court to add the following instruction to the essential elements of the first-degree murder instruction: The defendant was not suffering from a mental disease or disorder at the time the offense was committed to the extent of being incapable of forming [a deliberate] intent to take away the life of another. [4] See Begay, 1998-NMSC-029, ¶¶ 39, 41. When the defendant has advanced evidence that reasonably tends to show an incapacity to form specific intent, the prosecution then has the additional burden of proving the defendant was capable of forming the deliberate intent despite the alleged intoxication or mental disorder. Here, Defendant concedes he did not offer such evidence, and therefore the prosecution does not have the additional burden of proving that Defendant was capable of forming the deliberate intent to kill. {39} The court nevertheless raised the legitimate concern that the jury might be misled where such expert testimony is insufficient to warrant the diminished-capacity instruction. This concern is legitimate because the jury might interpret Dr. Caplan's testimony to mean that Defendant's neurological deficits prevented him from being capable of forming the deliberate intent to kill, and that therefore he did not. Nevertheless, we hold that the probative value of the testimony in this case outweighs the danger of misleading the jury, and that the testimony should not have been excluded on that basis. {40} We believe that in cases in which expert testimony is offered to prove or disprove a mens rea element, it is often appropriate for the trial court to make explicit to the jury the precise purposes for which the expert testimony is offered. See Peterson, 509 F.2d at 414 (recognizing that the admission of expert testimony regarding the defendant's abnormal mental condition requires careful administration by the trial judge). In order to mitigate the potential of misleading the jury and thereby prejudicing the prosecution, while at the same time preserving Defendant's right to challenge the State's evidence against him, a limiting instruction may be appropriate. On remand, assuming the testimony of Dr. Caplan is not excluded on different grounds, we suggest the following jury instruction as a model: You must not conclude from Dr. Caplan's testimony that Defendant was incapable of forming the deliberate intention to take away the life of another. This expert testimony was admitted solely to assist you in determining, based on all of the facts and circumstances of the killing, including Defendant's mental condition, whether Defendant in fact formed a deliberate intention to take away the life of Victim rather than an unconsidered and rash impulse. Cf. Peterson, 509 F.2d 408, 415 (suggesting as a model the following instruction: In determining whether (premeditation and deliberation) has been proved beyond a reasonable doubt you may consider the testimony as to the defendant's abnormal mental condition.). Furthermore, we note that the State also has the opportunity through cross-examination and argumentation to clarify any confusion that may result from Dr. Caplan's direct testimony.
{41} The State's final argument is that any error in the exclusion of Dr. Caplan's testimony was harmless, because his testimony would have lost all persuasive force given the weight of incriminating evidence. Defendant does not challenge the sufficiency of the evidence to convict him of murder. Rather, Defendant argues that he was denied the opportunity to present evidence that had a tendency to make his theory of the casethat he did not form the deliberate intent to killmore probable. Error in the exclusion of evidence in a criminal trial is prejudicial and not harmless if there is a reasonable possibility that the excluded evidence might have affected the jury's verdict. See Clark v. State, 112 N.M. 485, 487, 816 P.2d 1107, 1109 (1991) (holding that the admission of evidence was not harmless if there was a reasonable possibility that evidence might have contributed to conviction). Here the inquiry is whether there is a reasonable possibility the trial court's exclusion of Dr. Caplan's testimony might have contributed to Defendant's conviction for first-degree rather than second-degree murder. {42} Although there was overwhelming evidence that Defendant killed Victim, the evidence was in direct conflict as to whether Defendant killed with deliberate intent or through a rash impulse. The only eyewitness testimony regarding Victim's murder was that provided by Carbajal, whose credibility was sharply contested at trial. If we accept only the testimony of Carbajal, ignore the defense's cross-examination of him and also ignore Defendant's account of the events of the murder, then surely the error is harmless. The evidence would overwhelmingly support the conclusion that Defendant murdered the Victim and did so with the requisite deliberate intent. However, we should not ignore the cross-examination or the testimony which introduced Defendant's version of the events. {43} Defendant's statement was to the effect that after being pushed and yelled at by the Victim as he tried to walk away, Bertola became the aggressor, struck Victim first, and threw the steel pipe to the Defendant; then, while blanking out, Defendant suddenly struck Victim and dropped the pipe to the ground. Dr. Caplan was Defendant's only witness, and his testimony represented Defendant's entire case to rebut the essential element of deliberate intent. Dr. Caplan's testimony was Defendant's only means of reinforcing his theory of the case and bringing together what trial counsel argued in both her opening and closing statements. Defendant's utter dependence on Dr. Caplan for his defense exacerbates the potential for prejudice caused by the exclusion of Dr. Caplan's testimony. See State v. Ellis, 963 P.2d 843, 856 (Wash. 1998) (holding the trial court's decision to exclude expert testimony on the defendant's inability to form specific intent in a first-degree murder trial deprived him of his constitutional right to present evidence in his own defense). As a result, Defendant has raised a reasonable possibility that the exclusion of his only witness might have contributed to his conviction on the greater charge rather than the lesser. {44} In addition, we note the timing of the court's decision to exclude Dr. Caplan's testimony could not have been worse. The court took its action, without any advance notice, at a time when defense counsel had already relied on Dr. Caplan's anticipated testimony in her opening statement. Defense counsel not only summarized that anticipated testimony to the jury, but identified Dr. Caplan by name. The trial court also informed the jury that Dr. Caplan would be testifying for Defendant. When the promised witness did not appear, the jury may well have drawn a negative inference prejudicial to Defendant. A jury would certainly be inclined to wonder why the only witness identified by defense counsel, who was to help them determine whether the murder was committed with deliberate intent, did not testify. For example, the jury might have inferred that Dr. Caplan was not prepared to testify as defense counsel indicated in her opening, or even that his testimony would contradict the defense's theory. Without any advance notice of the court's contemplated action, Defendant was entitled to rely on judicial rulings and discussions in planning his defense strategy and in summarizing that strategy to the jury. {45} Our Court of Appeals enunciated a similar rationale in reversing a murder conviction and remanding for a new trial. In State v. Glasgow, 2000-NMCA-076, 129 N.M. 480, 10 P.3d 159, the trial court during trial changed course from its earlier rulings excluding all evidence of cocaine use, and ruled the evidence admissible if the defendant took the stand to testify as to his state of mind. Id. ¶ 9. In reversing and remanding for a new trial, the Court of Appeals stated that the defendant had the right to plan his defense strategy relying on the trial court's ruling that there would be no evidence of drug use introduced to the jury. Id. ¶ 10. Our criminal trial system entitles a defendant to formulate a strategy to defend the charges brought by the State. Id. ¶ 14 (citing N.M. Const. art. II, § 14; March v. State, 105 N.M. 453, 456, 734 P.2d 231, 234 (1987)). In considering the totality of the circumstances, we are not persuaded that the exclusion of Dr. Caplan's testimony was harmless error.