Opinion ID: 552246
Heading Depth: 2
Heading Rank: 2

Heading: Exclusion of Evidence of Russell Sullivan's Mental Condition

Text: 72 Defendants argue that the trial judge erred in excluding expert testimony concerning Russell Sullivan's mental condition. Defendants' attorney offered proof that Dr. Bohn from the Springfield, Missouri, Medical Facility would testify that Sullivan would have the resistance of a five to nine-year-old, and that this, coupled with the rest of his physical and mental condition, would make him extremely susceptible to being persuaded to commit an illegal act to commit an illegal act. XV R. at 1467-68. The trial judge excluded the testimony, ruling that timely notice pursuant to Rule 12.2(b), Fed.R.Crim.P., had not been given. The judge further denied a motion for leave to file the notice at the time of trial. XI R. at 744-45; XV R. at 1589-90 (I am going to tell you that my ruling still stands as to anything under 12.2.). 73 Because we reverse and remand for a new trial for reasons stated elsewhere, we express no opinion on the defendants' argument that the trial judge abused his discretion in so ruling. This issue is likely to arise again on retrial, given the strenuous arguments on appeal that the evidence should be admitted on the entrapment defense. However, because the circumstances at the time of the retrial will be considerably different from those which were before the judge at the earlier trial, we decline to express any view as to the ruling that should be made at a subsequent trial. 74 We do feel it proper to address one question because it too is likely to be presented again. We must decide whether Rule 12.2(b), concerning expert testimony relating to a mental disease or defect or any other mental condition of the defendant bearing upon the issue of his guilt, applies to testimony going to the defendant's susceptibility to entrapment. In United States v. Hill, 655 F.2d 512, 518 (3d Cir.1981), the Third Circuit held that Rule 12.2(b) does not apply in such circumstances, given the lack of a clear indication that Rule 12.2(b) will apply to an entrapment defense, we find it an insufficient basis to exclude the proffered testimony in this case. 655 F.2d at 518. See also United States v. Webb, 625 F.2d 709, 710-11 (5th Cir.1980) (rule inapplicable where expert testimony was offered to show lack of propensity to commit a violent act); cf. United States v. Ellsworth, 738 F.2d 333, 335 (8th Cir.), cert. denied, 469 U.S. 1042, 105 S.Ct. 528, 83 L.Ed.2d 415 (1984) (ruling 12.2(b) inapplicable to proffered psychiatric testimony that taxpayer had a good faith belief income tax was voluntary). 75 We are persuaded by the dissent of Judge Rosenn in Hill. Rule 12.2(b) requires notice under Rule 12.2(a) with respect to a broad range of expert testimony--that relating to a mental disease or defect or any other mental condition of the defendant bearing upon the issue of his guilt.... The dissent reasons that: 76 The purpose in requiring notice of mental condition evidence is as compelling in an entrapment defense as it is in an insanity defense. In either case, the government must prepare for a psychiatric defense and it should have the requisite notice to avoid trial delay and provide adequate preparation. 77 655 F.2d at 520. See also United States v. Edwards, 90 F.R.D. 391, 397-98 (E.D.Va.1981) (Rule 12.2(b) applies to testimony of diminished intellectual capacity or stupidity affecting mental state required for the income tax offense); United States v. Hearst, 412 F.Supp. 863, 870 (N.D.Cal.1975) (Rule 12.2(b) applies to proffered testimony on mental and psychological brainwashing pressure). 78 In sum, we feel the notice requirements of Rule 12.2 apply to testimony such as that involved here. However, the application of the rule and discretionary rulings as to whether leave should be granted to file such notice on remand are matters on which we express no opinion. The circumstances are obviously far different now with the passage of time. The trial judge can reassess the matter on remand. 79