Opinion ID: 2070572
Heading Depth: 2
Heading Rank: 1

Heading: Trial Court's Preclusion of Defendant's Rebuttal

Text: Defendant argues that the trial court erred in precluding the rebuttal testimony from a defense expert witness. Defendant contended at trial that he acted under extreme emotional disturbance due, at least in part, to post-traumatic stress disorder. Defendant retained two mental health experts: Dr. H. Westley Clark, a psychiatrist and expert in post-traumatic stress disorder, and Dr. Sanford Drob, a forensic psychologist who administered a battery of psychological tests to defendant. The prosecution, in turn, retained Dr. Daniel Martell, a forensic psychologist who also tested defendant extensively. Clark noted that he had reviewed Drob's tests and Martell's report. Indeed, during his direct testimony, Clark continually referred to the tests performed by both Drob and Martell. However, Clark conceded early in his direct testimony that the psychological testing did not adequately address post-traumatic stress disorder. Rather, Clark indicated that his diagnosis of post-traumatic stress disorder ultimately was based on his own clinical evaluation. During Clark's direct examination, defense counsel asked him to comment on the differences between his report and its conclusions and that of Martell, who had not yet testified. The prosecution objected and the court ruled that defendant could not ask Clark questions that anticipated Martell's testimony. Later, during a scheduling break, defense counsel expressed uncertainty whether Clark or Drob would be brought back to rebut Martell's testimony. According to defense counsel, that decision would depend on Martell's testimony. Following Clark's testimony, the defense did not call Drob. Drob listened to Martell's testimony. Martell stated that based on his tests and some of Drob's, he could not conclude that defendant suffered from post-traumatic stress disorder. Defendant cross-examined Martell on his conclusions. After Martell's testimony, defendant sought to call Drob as a rebuttal witness to refute Martell's findings with specific reference to certain psychological tests. [15] The prosecution objected and defense counsel made a proffer. In New York, [t]he rules concerning the proper scope of rebuttal evidence are clear. The party holding the affirmative of an issue must present all evidence concerning it before he closes his case. Thereafter, that party may introduce evidence in rebuttal only ( People v Harris, 57 NY2d 335, 345; see also Fisch, New York Evidence § 326, at 211 [2d ed 1977]). Rebuttal evidence is limited to evidence in denial of an assertion of a new affirmative fact or other new matter which the opponent has endeavored to prove in reply to the case-in-chief ( see Harris, 57 NY2d at 345). In some instances, rebuttal evidence may also be used for impeachment purposes ( see id.; Ankersmit v Tuch, 114 NY 51). Notably, at trial, defendant did not contend that Drob's testimony should be received to impeach Martell's credibility. The opportunity to present rebuttal, however, does not permit a party to hold back evidence properly part of the case-in-chief and then submit that evidence to bolster the direct case after the opponent has rested ( see e.g. Prince, Richardson on Evidence § 6-504, at 441 [Farrell 11th ed 1995]). The limitation on rebuttal evidence is to avoid first, the possible unfairness to an opponent who has justly supposed that the case in chief was the entire case which he had to meet, and second, the interminable confusion that would be created by an unending alternation of successive fragments of each case which could have been put in at once in the beginning (6 Wigmore, Evidence § 1873, at 672 [Chadbourn rev 1976]). Even where evidence is not technically of a rebuttal nature and more properly a part of the party's direct case, however, a court has discretion, in the interest of justice, to allow its admission on rebuttal pursuant to CPL 260.30 (7) ( see Harris, 57 NY2d at 345-346; see also People v Alvino, 71 NY2d 233, 247-248). Defendant bore the burden of establishing that he suffered extreme emotional disturbance at the time of the killings. In that regard, Clark testified that defendant suffered from post-traumatic stress disorder. His diagnosis was premised, in part, upon neurological deficits, revealed in Drob's and Martell's neuropsychological testing of defendant. Clark believed those deficits rendered defendant vulnerable to traumatic stress. In reply, Martell testified that defendant did not have a serious neuropsychological dysfunction that made him especially susceptible to post-traumatic stress disorder. Martell utilized tests conducted by Drob and himself for his conclusion. Martell was asked on cross-examination why he had omitted certain tests performed by Drob. Martell did not dispute the validity of those tests in assessing defendant's neuropsychological dysfunction; he simply chose to employ others. Drob's proposed rebuttal testimony disagreed with Martell concerning the significance of tests both had performed, and Martell's conclusion that defendant did not suffer any significant neuropsychological impairments. Drob did not challenge Martell's testing methods or the results, only their significance. In essence then, Drob's opinion as to the tests was no different than Clark'sboth relied on the same data. Thus, virtually all of Drob's proffered testimony was cumulative to, and corroborative of, the evidence presented on defendant's case-in-chief on the affirmative defense. CPL 260.30 (7) vests the trial court with discretion to act as the gatekeeper of rebuttal requests. Because the proposed rebuttal was both cumulative to, and duplicative of, evidence already presented on defendant's direct case, with only the same relevancy, it was within the trial court's discretion to disallow the presentation of that evidence on rebuttal. This was a lengthy trial in which two experts testified extensively about defendant's mental and emotional state. We are careful to note, however, that capital trial courts should exercise great caution in making discretionary determinations such as this. The stakes are high for all involved.