Opinion ID: 1279175
Heading Depth: 1
Heading Rank: 2

Heading: the expert psychiatric witness

Text: The appellant's second issue involves his attempt to elicit testimony from a forensic psychiatrist by whom the appellant had been examined at the request of defense counsel. Two aspects of the ruling of the court are complained of by the appellant. The first is the ruling by the district court which sustained an objection by the State to a question of the forensic psychiatrist about what the appellant had told the psychiatrist about his family home life and his experiences in growing up. The second aspect involves questions upon which the district court did not rule which deal with the pertinency of expert testimony as it might assist the jury in assessing the reasonableness of the appellant's conclusion that his life was threatened or that he was in danger of serious bodily injury in connection with the killing of his father. As to the first aspect of this contention by the appellant the question asked was: Q What did he tell you about his family home life and his growing up experiences? The appellant's position is that such testimony is admissible under the exception to the hearsay rule contained in Rule 803(4), W.R.E., which provides: The following are not excluded by the hearsay rule, even though the declarant is available as a witness:       (4) Statements for purposes of medical diagnosis or treatment.  Statements made for purposes of medical diagnosis or treatment and describing medical history, or past or present symptoms, pain, or sensations, or the inception or general character of the cause or external source thereof insofar as reasonably pertinent to diagnosis or treatment. We recently have dealt with this particular exception to the hearsay rule in Goldade v. State, Wyo., 674 P.2d 721 (1983). We there held that a physician who was examining a child victim of abuse could testify with respect to statements made by the child victim. We held that this was permissible because the doctor was engaged in making a diagnosis of the battered-child syndrome. We had no occasion to consider the testimony of the physician as it might apply to a case of self-defense. The record discloses that the State's objection was that the information sought to be elicited by this question was not relevant. There followed lengthy argument between counsel for the appellant and counsel for the State which encompassed matters reaching the second aspect of the appellant's position with respect to the testimony of the forensic psychiatrist. Ultimately the trial court articulated its ruling in this way: Well, the court isn't convinced that what was stated to Dr. McDonald by the defendant here clearly falls into the hearsay exception. And I state that for the reasons that I have previously expressed to counsel. It would appear that the primary reason that the defendant consulted Dr. McDonald was to later provide Dr. McDonald's testimony in court, as being presented here today. I haven't been presented any evidence of any court's acceptance of the science of the battered child, what can be predicted from the battered child. I don't believe that Dr. McDonald's testimony is being offered as an admission against interest, although there may be an admission against interest contained in some of the things told to him or alleged to have been told to him by the defendant. And Mr. Carroll can't cross-examine the defendant as to what he has told the doctor, so I don't see where cross-examination is the great protector in this instance. I believe that the testimony and the opinions and conclusions of Dr. McDonald, as suggested by counsel, would invade the province of the jury. The jury, I believe, is to determine the reasonableness of any fears, and they should determine that by evidence of a person who testifies as to the facts, the situation, and draw their conclusions. The court is sustaining the objections of the state to this testimony. These comments sufficiently distinguish Goldade v. State, supra. The rule which this court has applied with respect to rulings as to admissibility of evidence is articulated in Taylor v. State, Wyo., 642 P.2d 1294, 1295 (1982), as follows: It has been held generally that the admission of evidence is within the sound discretion of the trial court and absent a clear abuse of discretion will not be disturbed. It is also the general rule that the foundation, relevance, competency, materiality, and remoteness are within the sound discretion of the trial court and will be upheld on appeal absent a clear abuse of discretion. (Footnotes omitted.) The burden of establishing the clear abuse of discretion must be assumed by the party who attacks the ruling of the trial court. Buhrle v. State, supra; Nimmo v. State, Wyo., 603 P.2d 386 (1979). That party must establish that the ruling of the trial court was erroneous and that it did affect substantial rights of the party. The trial court in the exercise of its discretion can exclude even relevant evidence when there are countervailing considerations such as if its probative value is substantially outweighed by the danger of unfair prejudice, confusion of the issues, or misleading the jury, or by considerations of undue delay, waste of time or needless presentation of cumulative evidence. Rule 403, W.R.E. The definition that this court has espoused of an abuse of discretion is found in Martinez v. State, Wyo., 611 P.2d 831, 838 (1980), where it is stated as follows:    An abuse of discretion has been said to mean an error of law committed by the court under the circumstances.    When an abuse of discretion is relied upon we should examine the ruling in light of the situation before the trial court at the time it ruled. We have said: In the context of evidentiary rulings at trial, this court has long adhered to the doctrine that a sufficient offer of proof is necessary so that this court may be adequately apprised of the nature of the excluded testimony. Padilla v. State, Wyo., 601 P.2d 189 (1979); Elliott v. State, Wyo., 600 P.2d 1044 (1979); Montez v. State, Wyo., 573 P.2d 34 (1977); Pack v. State, Wyo., 571 P.2d 241 (1977); State v. Goettina, supra [61 Wyo. 420, 158 P.2d 865 (1945)]; State v. Rouse, [58] Wyo. 468, 134 P.2d 1116 (1943); Jenkins v. State, 22 Wyo. 34, 134 P. 260, reh. denied [22 Wyo. 34], 135 P. 749 (1913); and McGinness v. State, 4 Wyo. 115, 31 P. 978, reh. denied [4 Wyo. 115], 53 P. 492 (1893). The dual purpose of this requirement is to enable the trial court to be fully advised in the exercise of its discretion regarding the admission of evidence, and to enable the reviewing court to determine if prejudicial error resulted from the exclusion of the proffered testimony. Garcia v. State, Wyo., 667 P.2d 1148, 1155 (1983). In the course of the argument with respect to this objection various statements were made on behalf of the appellant which can be considered as at least in the nature of an offer of proof. We will say more about those comments later, but at this point it is sufficient to recognize that the suggestion made to the court was that the testimony of the forensic psychiatrist was leading up to a showing of the reasonableness of the appellant's conduct and actions on the night of his father's death. The appellant, however, did not demonstrate in the offer of proof how this information would relate to a claim of self-defense. It also is significant that at the time the testimony of the forensic psychiatrist was offered there had been no showing made in the record that the appellant was acting in self-defense. See State v. Velsir, 61 Wyo. 476, 159 P.2d 371, 161 A.L.R. 220 (1945); and Mortimore v. State, 24 Wyo. 452, 161 P. 766 (1916). The point is made by comparing the factual circumstances in this case with those in Mortimore v. State, supra. In Mortimore v. State, supra, the defendant was convicted of manslaughter for the shooting death of his father. The justification which served as a defense was that the defendant had acted in defense of a brother who was being violently assaulted by the father. The point raised on appeal was the exclusion by the trial court of proffered evidence relating to specific acts of violence by the deceased upon the defendant and other members of the family and threats made by the deceased in the presence of the defendant at the time of the shooting. In that case this court said: We are convinced that the better reasoning sustained the rule that such evidence is admissible, under a claim of self-defense, where there is evidence tending to support it, when the facts might have affected defendant's apprehensions. There was in this case, not merely an impending assault by the deceased upon the defendant's brother, but an actual and violent assault by one of greater strength and with the advantage of position, immediately following a threat, seemingly made in anger, which, if carried out, might result, not only in great bodily harm to the one assailed, but the taking of his life. That he was in danger of some bodily harm was apparent. The question then was the probability of the assault continuing and the extent of the danger; and we think it clear that the defendant's apprehension as to that matter might reasonably have been affected by his knowledge of the previous assaults upon himself, his mother, and sister. We are of the opinion, therefore, that the evidence to show such acts was admissible, and that its exclusion was error and prejudicial; and the prejudice was enhanced by the conflict in the evidence respecting the general reputation of the deceased.    161 P. at 774. Analytically, based upon what was said by this court in Mortimore v. State , it might be said that a history of child abuse comes within the usual rule permitting evidence of prior acts of violence on the part of the deceased. The Supreme Court of Ohio put the matter in perspective in State v. Thomas, supra, when it said at 66 Ohio St.2d 520, 423 N.E.2d 137: In a trial such as this one, where the evidence raises an issue of self-defense, the only admissible evidence pertaining to that defense is evidence which establishes that defendant had a bona-fide belief she was in imminent danger of death or great bodily harm, and that the only means of escape from such danger was through the use of deadly force.    (Footnote omitted.) If this purpose is recognized with respect to the testimony sought to be elicited from the forensic psychiatrist the propriety of the trial court's refusal to invoke the hearsay exception relied upon must be recognized. At the time of the trial court's rulings the facts manifested by the record in this case contrast significantly with those in Mortimore v. State, supra. This record contained no evidence that the appellant was under either actual or threatened assault by his father at the time of the shooting. Reliance upon the justification of self-defense requires a showing of an actual or threatened imminent attack by the deceased. See Garcia v. State, supra; State v. Velsir, supra; and the cases cited therein. In a case involving a defense of self-defense by an abused wife the Supreme Court of Illinois, in addressing facts similar to these, said:    It is true that, under the law of self-defense, one who is deliberately assaulted in a manner to make him reasonably apprehensive of death or great bodily harm has the right to kill his assailant, if it reasonably appears to him that such action is necessary to save himself from death or great bodily harm. ( People v. Motuzas, 352 Ill. 340, 185 N.E. 614; see People v. Strader, 23 Ill.2d 13, 177 N.E.2d 126.) However, the right of self-defense does not imply the right of attack in the first instance or permit action done in retaliation or revenge. ( People v. Gibbs, 349 Ill. 83, 181 N.E. 628; People v. Andrews, 327 Ill. 162, 158 N.E. 462.) While there is much testimony indicating that defendant had frequently been physically mistreated by her husband, that is not the question here. The question is, rather, whether the evidence shows that, at this particular instant, her husband had made an unprovoked assault upon her which put her in reasonable fear of imminent death or great bodily harm which could be avoided only by stabbing him.    People v. Dillon, 24 Ill.2d 122, 180 N.E.2d 503, 504 (1962). Absent a showing of the circumstances involving an actual or threatened assault by the deceased upon the appellant, the reasonableness of appellant's conduct at the time was not an issue in the case, and the trial court, at the time it made its ruling, properly excluded the hearsay testimony sought to be elicited from the forensic psychiatrist. The second aspect of the appellant's position is far broader than the record will support. As noted in connection with the argument surrounding the objection of the State with respect to the specific question quoted above, counsel for the appellant touched upon the overall purpose of the testimony of the forensic psychiatrist. It is clear that the psychiatrist had interviewed the appellant on seven separate occasions for a total of twelve hours in preparation for the trial. He also had visited with other people about the appellant. At the trial appellant's counsel advised the court that the psychiatrist would express an opinion as to the appellant's mental or emotional condition, and the assertion was made that the appellant had a right to establish the facts which formed the basis for that opinion. The counter-argument of the State was premised upon Smith v. State, Wyo., 564 P.2d 1194 (1977), and was to the effect that such an opinion was not admissible in the absence of a plea of not guilty by reason of mental illness or deficiency. See § 7-11-304(a), W.S. 1977. Reference was made to the psychiatrist's testimony at the time of the hearing on the appellant's motion to transfer the case to the juvenile court. On that occasion the psychiatrist had testified that in his opinion the appellant was a battered youth suffering from a mental disorder which was not defined or recognized under the accepted standards of diagnosis of mental and personality disorders in his field of expertise. At that hearing he related the history of the appellant's abuse at the hands of his father as the appellant had given it to him. He said that the appellant was very much afraid of his father. In further support of the admissibility of testimony from the forensic psychiatrist counsel advised the court: We would submit that Dr. McDonald's testimony would go to the fact that the defendant Richard Jahnke was brutalized by his father in May of 1982, that he was brutalized by his father on November 16th of 1982, that he had been brutalized by his father for many years in the past.       We would also submit to the court that if the court feels that it is necessary that Dr. McDonald should not be allowed to render any opinion of or diagnosis, the defense could abide by that statement. However, we would make an offer of proof that, if allowed to testify, he would testify that he believes that Richie Jahnke is emotionally impaired, that he believes that Richie Jahnke is a battered child. We believe that those issues, as to his diagnosis and opinions, are separate and distinct as to his testimony and statements concerning the other factors that Richie Jahnke told him. In response to a concern of the trial court with respect to the sufficiency of the state of scientific knowledge regarding the battered-child syndrome, counsel for the appellant asked the trial judge if they might correct some of the problems connected with the psychiatrist's testimony if they provided evidence or testimony with regard to the state of scientific knowledge as it pertained to the effect of the battered-child syndrome. The following dialogue then occurred: THE COURT: If you want to make  If you want to attempt that, the court will always listen to you and hear you. MR. BARRETT: Is the court, then, ruling that it is acceptable for us to present evidence out of order first on the matter of the battering and the effect of that type of battering upon Mr. Jahnke prior to submitting evidence of state of mind and fear on November 16th of 1982? THE COURT: Well, the court is saying that it will rule on the objections as they are presented. As noted, the appellant invokes the theory discussed in Buhrle v. State, supra, and the other cases involving the battered-wife syndrome. We do not perceive how the offer of proof presented by the appellant was sufficient to satisfy the criteria for admissibility of expert testimony quoted in Buhrle v. State, supra, 627 P.2d 1376, from Dyas v. United States, 376 A.2d 827, 832 (D.C.C.A. 1977), cert. denied 434 U.S. 973, 98 S.Ct. 529, 54 L.Ed.2d 464 (1977). We particularly note that there was no offer to prove that the state of the pertinent art or scientific knowledge permitted a reasonable opinion to be asserted by the expert, and the suggestion of his earlier testimony on the occasion of the motion hearing is to the contrary. Be that as it may, the effort to produce testimony from the forensic psychiatrist was abandoned by the appellant. The argument concerning the objection occurred at the close of trial on one day. Despite the court's statement that it would be willing to listen to further matter in this area, the psychiatrist never was recalled to the stand. We cannot speculate as to what may have led to that decision by the appellant. We do know that the following day the appellant initially agreed to plead guilty to a charge of voluntary manslaughter in exchange for a reduction of the charge of first degree murder to manslaughter and dismissal of the conspiracy charge. Later in the day his counsel advised the court that the appellant did not wish to do that, and a further recess was granted by the court. Ultimately counsel for the appellant informed the court that the appellant desired to continue with the trial. The forensic psychiatrist was not released by the court, and the record discloses that he was in Cheyenne during the morning of this day of the trial. When the trial resumed in the afternoon, however, a new witness was called. Under these circumstances the record does not support any claim of error with respect to the alleged refusal of the trial court to permit expert testimony designed to justify the reasonableness of the actions of the appellant assuming that a self-defense context were developed.