PEOPLE v TOMA
Docket No. 112860
Supreme Court of Michigan
June 28, 2000
Argued November 9, 1999 (Calendar No. 8).
462 Mich 281
Docket No. 112860. Argued November 9, 1999 (Calendar No. 8). Decided June 28, 2000.
Adil Toma was convicted by a jury in the Oakland Circuit Court, Barry L. Howard, J., of first-degree murder and possession of a firearm during the commission of a felony. Following a Ginther hearing, the trial court reversed the defendant‘s convictions and granted his motion for a new trial, finding that he had received ineffective assistance of counsel. It concluded that defense counsel‘s failure to clarify the defendant‘s testimony prevented the jury from understanding the defendant‘s version of the events and accurately adjudging his credibility. The Court of Appeals, NEFF, P.J., and O‘CONNELL and YOUNG, JJ., affirmed in an unpublished opinion per curiam, finding that defense counsel‘s failure to clarify the defendant‘s testimony could not be considered a matter of trial strategy because the testimony provided the only direct rebuttal of the prosecution‘s case, and that the errors of trial counsel were so grave as to render the proceeding fundamentally unfair. The Court also found that the trial court‘s admission of a forensic psychologist‘s testimony over defense counsel‘s objection that the communication was privileged was error requiring reversal under
In an opinion by Justice MARKMAN, joined by Chief Justice WEAVER, and Justices TAYLOR and CORRIGAN, the Supreme Court held:
Any error stemming from the admission of the testimony regarding statements by the defendant to a forensic psychologist in compliance with
1.
2. A defendant who wishes to establish denial of the state or federal constitutional right to the effective assistance of counsel must show that counsel‘s representation fell below an objective standard of reasonableness and that this was so prejudicial as to deny him a fair trial. The defendant must overcome the strong presumption that counsel‘s action constituted sound trial strategy under the circumstances, and must demonstrate a reasonable probability that, but for counsel‘s unprofessional errors, the result of the proceeding would have been different. In this case, counsel‘s failure to elicit elaborative testimony from the defendant was neither deficient nor prejudicial. The defendant did not demonstrate that his trial counsel‘s performance fell below an objective standard of reasonableness and that this was so prejudicial that he was denied a fair trial. Rather, his trial was fundamentally fair and the verdict is reliable.
Reversed and remanded.
Justice KELLY, joined by Justice CAVANAGH, dissenting, stated that the defendant is entitled to a reversal of his convictions, because he was deprived of effective assistance of counsel. The majority erred in finding that the trial court‘s admission of the forensic examiner‘s testimony to impeach the defendant was not constitutional error. Furthermore, the trial court‘s error was not harmless beyond a reasonable doubt. To allow the defendant‘s convictions to stand makes a mockery of the law‘s concern for a fair trial and damages public respect for the judicial process.
To establish ineffective assistance of counsel, a defendant must show that the attorney‘s representation fell below an objective standard of reasonableness compared to professional norms and so prejudiced him that he was deprived of a fair trial. To demonstrate the requisite prejudice, the defendant must prove that, but for errors of counsel, there was a reasonable probability of a different
A defendant wishing to establish insanity at the time of an offense must notify the court and the prosecuting attorney of that intention thirty or more days before trial. The notice serves to forewarn the prosecutor; it also triggers the defendant‘s required examination by personnel at a center for forensic psychiatry or by other qualified personnel. Failure to submit to the forensic examination and to fully cooperate in it bars a defendant from presenting an insanity defense. Such preclusion does not violate a defendant‘s state and federal constitutional rights to present a defense. The truth-seeking function of trial courts would be substantially impaired were a defendant, raising an insanity defense, permitted to assert the psychologist-patient privilege and preclude an examiner‘s testimony. By raising an insanity defense, the defendant has placed his mental state at issue and waived the privilege in that regard.
The integrity of evidence of insanity is likewise threatened if the examining forensic psychologist is permitted to testify about matters other than the issue of a defendant‘s insanity. Where a court allows an examiner to impeach on an issue other than a defendant‘s mental state, it violates the defendant‘s constitutional right to due process of law. In this case, the error in admitting the testimony of the forensic psychologist was preserved, nonstructural constitutional error. The prosecution bears the burden of showing that the admission of the forensic examiner‘s testimony was harmless beyond a reasonable doubt.
Justice YOUNG took no part in the decision of this case.
Jennifer M. Granholm, Attorney General, Thomas L. Casey, Solicitor General, David Gorcyca, Prosecuting Attorney, Daniel Lemisch, Chief, Appellate Division, and Marilyn J. Day, Assistant Prosecuting Attorney, for the people.
Amicus Curiae:
Elwood Brown, President, John D. O‘Hair, Prosecuting Attorney, and Timothy A. Baughman, Chief, Research, Training and Appeals, for Prosecuting Attorneys Association of Michigan.
MARKMAN, J. Following a jury trial, defendant was convicted of first-degree felony murder,
I
Defendant‘s convictions arose from events that occurred sometime around 10:30 P.M. on the night of November 29, 1993, when Steve Burge was shot in the face and doused with gasoline at the front door of a residence he shared with Margo DeVita (now known as Margo McPherson) and her two children. Margo2 testified that she had temporarily cohabited with defendant on two prior occasions under circumstances that she described as platonic. However, during the second of these periods, which lasted about a month, defendant began making unwelcome sexual overtures, and personal items went missing from Margo‘s bedroom. After an incident when defendant tried to imprison Margo in his house, she moved in with her mother until she was able to lease a unit in a duplex house. Steve, Margo‘s boyfriend, later moved in with her. In the months before the killing, Margo observed defendant drive past this house on numerous occasions, and, once, defendant stopped in and offered to pay Margo‘s rent if Steve would move out.
Margo testified that on the night of November 29, 1993, someone kicked the front door open while she was half-asleep on the couch and Steve was watching football on television. Margo ran to her children in another room, and later came out to find Steve stum-
Danny Parenteau testified that on the night in question, he was watching football on television when he heard a gunshot from the house across the street. Danny ran outside and observed Steve and another man struggling inside the front door of Steve‘s house. Steve forced the other man out of the house, and, when Danny approached to assist, he noted that Steve was covered with blood. As Steve collapsed, he shoved the other man away. Danny realized that this other man, who had also fallen to the ground, was armed with a gun, so Danny seized this man‘s wrist and called to his brother, Russell, for help. The man smelled of gasoline, was wearing white, see-through gloves, and fired off several shots that Danny was able to direct away from himself. Russell came to help, but took cover behind a tree when the assailant shot toward him. As this was occurring, Danny observed Steve get back up, while holding his throat, and make it through his front door before again collapsing.
Danny tried to drag or carry the armed man, but when Danny stumbled and lost his grip, he ran for cover for fear of being shot. The man was not wear-
John Talarico testified that he lived next door to Steve and Margo and that, on the night in question, he heard gunshots just after he got out of the shower, so he looked out his window and saw a gunman wrestle with Danny and shoot toward Russell. From a distance of fifty feet, John observed the gunman‘s face and identified him as defendant. Defendant departed in a car that John recognized as one that he had observed cruise slowly by on several occasions, once with its lights out.
Donald Lumm, a neighbor who lived around the corner from Margo and Steve, testified that on the night of November 29, 1993, he was in his kitchen when he heard several shots. Donald then heard squealing tires and, through his kitchen window, saw a vehicle “take off really quick.” Donald identified a photograph of defendant‘s car as the one he saw that night.
Steve died from what was determined to be a single gunshot wound to the right side of his jaw, with the bullet traveling down through his neck. From the scene, the police recovered: a white towel soaked in gasoline, a hat with a wig sewn to it, several .38 caliber bullet casings, a mask found between the sidewalk and curb, and a fingertip from a “rubber” glove.
The police began staking out defendant‘s house on the night of the killing, and defendant was stopped in his automobile and taken into custody at 7:30 A.M. the following morning. The officers detected a strong smell of gasoline from defendant‘s vehicle and hat. After an attempted arraignment, where there was some discussion regarding count five in the multiple count warrant, defendant was overheard to make the following unsolicited statement: “They count five. They say I killed five people. I only kill one. Why do they count five now?”
Defendant, whose native language is Arabic, testified at trial through an interpreter, although he frequently answered questions in English. His testimony described his relationship with Margo, during the twelve days she first lived with him as that of a husband and wife, just as it was when she again stayed with him. Margo allegedly began stealing from defendant and only moved out the second time after defendant assured her that he would be her boyfriend and would come to visit her everyday and pay the
According to defendant, around 3:00 P.M. on the day of the incident, Margo came to defendant‘s home and demanded that he sign over his house, and car to her. She also commanded him to give her all the money he had in the bank, and to vacate the house, taking only his clothes, but leaving the furniture. Defendant refused, so Margo took his car. She returned later, along with her children, in a different car, claiming that defendant‘s car was broken and that Steve had taken it to get it fixed. Margo drove defendant to her house, and he played with Margo‘s children while waiting for Steve to return with defendant‘s car. Margo‘s daughter brought a mask into the room and defendant and the children played with it.
The events that defendant next described are somewhat muddled by the circumstances that gave rise to the trial court and the Court of Appeals determinations that defendant was denied the effective assistance of counsel. Specifically, defense counsel failed to clarify who defendant was identifying as his story unfolded. Defendant mispronounced certain names, and the interpreter made certain incorrect translations of what defendant said. However, as it was told to the jury, somebody named “Cherry” arrived, then within ten minutes Steve came home and denied being in possession of defendant‘s car. Margo then said that John had defendant‘s car. Then John, Jim, and “Rose” (and apparently “Don“) entered the residence, with John and “Don” being armed with what
The jury heard that John drew his gun while Margo yelled “kill him outside.” Steve tried to grab John‘s hand, and defendant began fistfighting with “Jimmy.” Defendant‘s blows caused Jimmy to bleed and run away, so defendant then engaged “Rose” in a fight that began inside and continued outside on the concrete. Defendant heard a shot and then “Cherry” came out and said “John kill Steve.” Then John emerged from the house holding a black gun that had a nine-shot capacity. John ran “to Don Andrews,” then “Don” came out of the house and tried to hit defendant with his shotgun, so defendant began fighting “Don” and “Rose” simultaneously. Defendant disabled “Don” with a kick between the legs, then made his way down the street where he found his car and effected an escape.
Defendant then recounted that he went home and had a beer. Feeling hungry, he went out for a kabob, and stopped at a store. After returning home, he drank a second beer, then slept until it was time to get up for work. He was stopped and arrested on his way to work the next morning.
Although defendant did not raise insanity as a defense at trial, he was cross-examined, over a defense objection to inadequate foundation, regarding whether he gave a version of the relevant events to Dr. Mae Keller, a clinical psychologist who had interviewed him pursuant to a notice that he intended to
Following defendant‘s sentencing, the Court of Appeals granted his motion to remand for a Ginther4 hearing on defendant‘s claim that he was denied the effective assistance of counsel. At that hearing, defendant testified that: “Cherry” was Steve‘s girlfriend,5 “Jimmy” was Cherry‘s brother and Margo‘s boyfriend, “Don” was prosecution witness Danny Parenteau, “Rose” was prosecution witness Russell Parenteau, and “John” was prosecution witness John Talarico. Errors by the interpreter at trial were noted. Defendant had not said that John entered holding a “gunshot,” but had stated that John entered, then “Don” entered holding a small black machine gun. Also, defendant had not said that John was running “to Don Andrews,” but had said that John was running “to Don and Rose‘s,” meaning that John ran toward the house of Danny and Russell.
Defendant‘s trial counsel testified that he did not notice that defendant was saying “Rose” instead of “Russ” and “Don” instead of “Dan,” and that it was
The trial court found that defense counsel had been ineffective on the basis of a number of factors. The Court of Appeals affirmed a subsequent order granting a new trial on the basis of counsel‘s failure to present defendant‘s side of the story in clear terms, as well as the admission of the testimony of the forensic psychologist.
II
We first address the admission of testimony regarding statements made by defendant to a forensic psychologist in contemplation of interposing an insanity defense.6 The Legislature has provided:
Statements made by the defendant to personnel of the center for forensic psychiatry, to other qualified personnel, or to any independent examiner during an examination
shall not be admissible or have probative value in court at the trial of the case on any issue other than his or her mental illness or insanity at the time of the alleged offense. [ MCL 768.20a(5) ;MSA 28.1043(1)(5) .]
This is a clear expression by the Legislature that these statements cannot be admitted at trial except on the issue of insanity, and it is also clear that, under the precedent that the trial court was obligated to follow, no exception to this rule existed for impeachment. See People v Jacobs, 138 Mich App 273, 276-278; 360 NW2d 593 (1984). Hence, the admission of testimony regarding these statements was error,7 but the question remains whether this was error that now requires reversal.
Defense counsel objected to the testimony of the forensic examiner on the ground that the communication was privileged. The communication was, in fact, privileged from admission for any purpose other than defendant‘s mental illness or insanity at the time of the alleged offense.
It is well settled that the right to assert a defense may permissibly be limited by “established rules of procedure and evidence designed to assure both fairness and reliability in the ascertainment of guilt and innocence,” Chambers v Mississippi, 410 US 284, 302; 93 S Ct 1038; 35 L Ed 2d 297 (1973). This Court has previously recognized that limitations placed on raising the insanity defense, pursuant to the procedures established in
If the established rules of procedure found in
Likewise, we cannot accept the dissent‘s position regarding the effect on future defendants of affirming defendant‘s convictions. The dissent assumes that a failure to reverse defendant‘s conviction will have a chilling effect on access to the insanity defense. The dissent reaches this conclusion despite our present conclusion that the admission of testimony regarding the forensic interview constituted error. Hence, its conclusion appears necessarily to be premised upon future disregard by the trial courts of this Court‘s present holding.
The dissent also asserts that this error violated due process because defendant was lured into speaking with the forensic psychologist by a statutory promise that his statements would not be used against him at trial, and the admission of those statements broke that promise. We agree with the proposition that if a criminal defendant relies on a promise from the state and the state breaches that promise, the state must provide a remedy for any resulting due process violation. See, e.g., People v Gallego, 430 Mich 443; 424
Consequently, this is preserved nonconstitutional error,10 and our harmless error analysis entails the application of the rule this Court announced in People v Lukity, 460 Mich 484, 495; 596 NW2d 607 (1999). “The object of this inquiry is to determine if it affirmatively appears that the error asserted ‘undermine[s] the reliability of the verdict.‘” Such error does not require reversal unless, in the context of the untainted evidence, “it is more probable than not that a different outcome would have resulted without the error.” Id.
Defendant‘s testimony is inconsistent with the physical evidence, while the testimony of Margo and
If someone named Cherry had come out of the house and said “John kill Steve,” that statement would have been inaccurate when made. Steve was alive and still conscious when the police arrived, and he remained alive for another twenty hours. It was decidedly convenient for defendant that Cherry would make this inaccurate statement, thus permitting defendant to be removed from the place of the killing, yet still be able to identify John as its perpetrator. Defendant‘s story that Steve was shot inside the house while defendant was outside fighting others does not explain the large amount of blood found outside the house and on the broken exterior door. Defendant‘s story that John emerged from the house carrying a gun that had a nine-shot capacity imputes knowledge to defendant that is unlikely under the circumstances that he recounted. Defendant‘s claim to have prevailed in a fistfight with three men, two of whom were armed, is less than credible. Likewise, it appears to be a significant coincidence that defendant not only had his car keys with him, but was able to immediately locate his car when fleeing from armed assailants. By his account, his car had been taken from him earlier in the day and he was driven to Margo‘s house in a different car.14
In fact, the evidence in this case is so substantial that, even if we were to analyze this as constitutional error under a due process theory (e.g., that defendant was enticed to give up his privilege to be free from compelled self-incrimination and speak to the forensic examiner by the statutory assurance that his statements could not be used for the purpose for which they were ultimately admitted), we would, nevertheless, conclude that the error was harmless.15 It is conclusive evidence of his guilt. A brick is not a wall, and the credibility of defendant‘s story cannot be measured by viewing its elements in isolation. Instead, we consider the entire panoply of improbable or highly coincidental elements in defendant‘s testimony to be significant. This is particularly so in light of the more reasonable explanations that were offered by the prosecutor‘s witnesses, which were consistent with the physical evidence.
III
We next address the Court of Appeals holding that defendant was denied the effective assistance of counsel because his attorney failed to clarify his testimony so that it was presented in a way that was more comprehensible to the jury. Specifically, defendant contended, inter alia, that his trial counsel should have asked follow-up questions that would have clarified the action described by defendant and made it clear to the jury that the true offenders, as described by defendant, included all of the most damning of the prosecutor‘s eyewitnesses.
For a defendant to establish a claim that he was denied his state or federal constitutional right to the effective assistance of counsel, he must show that his attorney‘s representation fell below an objective standard of reasonableness and that this was so prejudicial to him that he was denied a fair trial. Strickland v. Washington, 466 U.S. 668, 687; 104 S. Ct. 2052; 80 L. Ed. 2d 674 (1984); People v. Pickens, 446 Mich. 298, 303; 521 N.W.2d 797 (1994). As for deficient performance, a defendant must overcome the strong presumption that his counsel‘s action constituted sound trial strategy under the circumstances. People v. Mitchell, 454 Mich. 145, 156; 560 N.W.2d 600 (1997). As for prejudice, a defendant must demonstrate “a reasonable prob
As defense counsel‘s testimony at the Ginther hearing established, defendant‘s story, as he claimed to remember it, evolved during the course of his representation from not having been at the scene of the crime, to being present, but not being the shooter. Defense counsel conceded that defendant‘s latest version of events did not comport with the physical evidence. Under these circumstances, no reasonably competent attorney would have thought it advisable for defendant to relate his story in sufficient detail to enable its veracity to be checked by comparing it to the physical evidence or subjecting it to precise cross-examination.16
The dissent states that, at the Ginther hearing, defense counsel “admitted having failed to prepare or review with defendant specific questions he would ask.” Post at 312. Actually, defense counsel denied
A defendant‘s decision whether to testify on his own behalf is an integral element of trial strategy. For a variety of reasons, many defendants, under the advice of counsel, do not take the stand, presumably concluding that the advantages of doing so would be outweighed by the disadvantages. It is likely that a great many of those who do not take the stand would be less hesitant to do so if, like defendant, they could plausibly tell the jury that they did not commit the crime with which they are charged, while advancing an alternative exonerating theory in general and somewhat unintelligible terms, thus effectively precluding detailed cross-examination.18 Even if this was
Well, it‘s troubling, you know, when you‘re trying to prepare a defense and the client tells you one thing and the physical evidence clearly points in a different direction, and there are certain things you have to own, I mean, you have to bite the bullet when it comes to certain things, but, ultimately, you know, what he told us seemed to make sense, some sense.
We cannot agree with the dissent‘s characterization of this testimony in light of defense counsel‘s acknowledgment that defendant made “major adjustments” in his story and that the theory of the defense was based on events of the evening as defendant ultimately “claimed to remember them.”
Moreover, finding that counsel was deficient presumes that, as of trial, defendant‘s version of events was as developed as it was by the time of the Ginther hearing. Given counsel‘s testimony about the evolving nature of defendant‘s story, it is just as likely that, having sat through trial, defendant merely tried
Finally, we fail to see how defense counsel‘s conduct could have been prejudicial to defendant, given not only the enormity of the evidence against defendant as discussed in part II, but also the fact that defendant‘s clarified testimony (as elicited at the Ginther hearing) is hardly more believable than the somewhat garbled version presented at trial.22 It is
The Court of Appeals noted that defendant‘s testimony offered the only direct rebuttal of the prosecutor‘s theory. However, effective rebuttal is accomplished only if defendant‘s testimony is believed. The problem with defendant‘s clarified version is that it is so unbelievable that defendant was arguably better off letting the jury speculate about what he was really trying to say, and hoping the jurors would rely on
CONCLUSION
We hold that any error stemming from the admission of the testimony regarding statements given to a forensic psychologist by defendant in compliance with
KELLY, J. I disagree with the majority‘s conclusion that defendant was not deprived of effective assistance of counsel. Moreover, the trial court committed constitutional error by permitting the forensic examiner to testify for purposes of impeachment, in violation of
I. INEFFECTIVE ASSISTANCE OF TRIAL COUNSEL
The denial of effective assistance of counsel violates a defendant‘s Sixth Amendment right to a fair trial.1 People v. Lloyd, 459 Mich. 433, 446; 590 N.W.2d 738 (1999). Appellate courts address constitutional issues under a de novo standard of review. McDougall v. Schanz, 461 Mich. 15, 24; 597 N.W.2d 148 (1999).
To establish ineffective assistance of counsel, a defendant must show that the attorney‘s representation fell below an objective standard of reasonableness compared to professional norms. People v. Pickens, 446 Mich. 298, 309; 521 N.W.2d 797 (1994). He must show that the ineffective assistance so prejudiced him that he was deprived of a fair trial. Id. To demonstrate the requisite prejudice, a defendant must prove that, but for errors of counsel, there
A. OBJECTIVE STANDARD OF REASONABLENESS
Adil Toma has poor command of the English language and an Arabic accent. He testified with the aid of an interpreter, and his testimony was often disjointed and confusing. Frequently, it was unclear who defendant was referring to in his recitation of events and whether they were the same as those the prosecution alleged were involved.
The defense attorney failed to clarify who defendant implicated in the shooting. He allowed defendant to identify people only by their first names. Defendant said that Steve Burge‘s girlfriend was “Cherry,” and Margo DeVita‘s boyfriend was “Jimmy.” None of the prosecution witnesses mentioned these names. They all stated that Margo‘s boyfriend was Steven Burge. Defendant‘s attorney never explained that the persons defendant referred to as “Rose” and “Don” were prosecution witnesses Russell and Danny Parenteau.
Defense counsel did not ask defendant or the interpreter to correct mispronunciation of the names. He failed to ask follow-up questions of defendant to clarify his testimony and to correct errors of translation, in the interest of making the testimony coherent.
Counsel‘s failure to clarify his client‘s testimony was not a matter of trial strategy. In Lloyd, supra, defense counsel was found not ineffective for choos
The majority argues that the reason defense counsel did not clarify his client‘s testimony is because he believed it was fabricated. The testimony, clarified, would have been even more damaging.
However, at the Ginther3 hearing, defense counsel did not testify that he thought defendant‘s version of the events was a lie. The explanation he gave for failing to clarify the mispronunciations of names was that, having spoken with defendant at length, he may have become accustomed to his pronunciation and accent. Thus, it did not occur to him that clarification for the jury was needed.
At the Ginther hearing, the defense attorney stated that defendant‘s version of the events made sense and rebutted the theory of the prosecution. He admitted having failed to prepare or review with defendant specific questions he would ask.
Defendant‘s testimony, if clarified, could not have been more damaging than it was in its garbled and unintelligible state. I disagree that failing to clarify the testimony could have been a strategy to effectively preclude detailed cross-examination by the prosecution. Defense counsel‘s presentation of incomprehensible testimony did not prevent the prosecution from asking questions on cross-examination to clarify defendant‘s theory of the case. The prosecution was in no way deterred from exposing defendant‘s posi
Defense counsel‘s shortcomings allowed the prosecution to argue effectively that defendant‘s testimony was a figment of his imagination, undermining his credibility in the eyes of the jury. The presentation of his client‘s testimony was indispensable to the creation of the defense‘s theory of the case. Counsel‘s role in its presentation failed to meet the objective requirements for reasonable assistance of counsel when compared to professional norms. In fact, he was responsible in large part for the unintelligibility of defendant‘s testimony.
B. REASONABLE PROBABILITY OF A DIFFERENT OUTCOME
Defendant‘s description of the night‘s events was coherent and internally consistent when it was clarified at the Ginther hearing. The people defendant listed as present are largely the same as the prosecution listed. Defendant‘s version of the events names the four key prosecution witnesses and explains their motivation to lie and implicate him in the shooting.
The jury deliberated for approximately two and a half days, became deadlocked, and asked to hear defendant‘s testimony again. Ultimately, it did not find defendant guilty of the two counts of assault with intent to commit murder, nor of the felony-firearm charges based on those assaults.4 These facts support
At the Ginther hearing and on appeal, the prosecution argues that defense counsel‘s errors did not affect the jury‘s verdict, because the evidence against defendant was overwhelming. I disagree. This was no “open-and-shut” case. Not only did the errors of counsel prevent defendant from intelligibly presenting his theory of the case, they actually bolstered the prosecution‘s case. They permitted the people to argue that defendant was imagining or fabricating his version of the events.
This is not a case where the evidence against the defendant was overwhelming. Instead, it is one in which there was a complete failure of the adversarial process, rendering it inevitable that the prosecutor‘s proofs would seem overwhelmingly persuasive.
C. FUNDAMENTALLY PREJUDICIAL PROCEEDING
Federal law, explicitly, and Michigan law, by implication in reliance on federal law,5 allow for reversal
In this case, the errors violated defendant‘s Fifth Amendment right to testify6 and his Fourteenth Amendment right to due process,7 as well as his Sixth Amendment right to counsel.
[F]ailure to afford the petitioner a reasonable opportunity to defend himself against the charge . . . was a denial of due process of law. A person‘s . . . opportunity to be heard in his defense—a right to his day in court—are basic in our system of jurisprudence; and [this] include[s], as a minimum, a right . . . to offer testimony, and to be represented by counsel. [In re Oliver, 333 U.S. 257, 273; 68 S. Ct. 499; 92 L. Ed. 682 (1948).]
Reversible prejudice resulting from ineffective assistance of counsel rendered a criminal defendant can be found without a determination that the errors were outcome determinative under the second prong of Strickland v. Washington, 466 U.S. 668, 696; 104 S. Ct. 2052; 80 L. Ed. 2d 674 (1984):8
[T]he principles we have stated do not establish mechanical rules. . . . [T]he ultimate focus of inquiry must be on the fundamental fairness of the proceeding whose result is being challenged. In every case the court should be concerned with whether, despite the strong presumption of reliability, the result of the particular proceeding is unreliable because of a breakdown in the adversarial process that our system counts on to produce just results.
The Michigan Supreme Court in Pickens adopted the Strickland version of what constitutes error
II. THE VIOLATION OF SUBSECTION 20a(5) WAS CONSTITUTIONAL ERROR
“Insanity is everywhere a defense to a charge of crime, for without a sound mind there can be no criminal intent.” 2 Underhill, Criminal Evidence (5th ed), § 450, pp 1128-1129.
[It is a] humane principle, existing at common law . . . that to make a complete crime cognizable by human laws, there must be both a will and an act; and as a vicious will without a vicious act is no civil crime, so, on the other hand, an unwarrantable act without a vicious will is no crime at all. So that, to constitute a crime against human laws, there must be, first, a vicious will, and, secondly, an unlawful act, consequent upon such vicious will. [Davis v. United States, 160 U.S. 469, 484; 16 S. Ct. 353; 40 L. Ed. 499 (1895) (internal quotation marks omitted) (quoting 4 Blackstone, Commentaries 21).]
The Michigan Legislature enacted the present form of this state‘s insanity defense in 1975.10
A defendant wishing to establish insanity at the time of the offense must notify the court and the prosecuting attorney of that intention thirty or more days before trial.
Failure to submit to the forensic examination and to fully cooperate in it bars a defendant from presenting an insanity defense.
That right is not absolute, but is subject to the “established rules of procedure and evidence designed to assure both fairness and reliability in the ascertainment of guilt and innocence.” Chambers v. Mississippi, 410 U.S. 284, 302; 93 S. Ct. 1038; 35 L. Ed. 2d 297 (1973). “The defendant is required to fully cooperate so that the examining psychologist can accurately determine the defendant‘s competency to stand trial and criminal responsibility at the time of the offense. . . . When . . . the integrity of the evidence of insanity is threatened, the preclusion sanction is warranted.” Hayes, supra at 282-283.
The limitations of § 20a do not unconstitutionally infringe upon a defendant‘s right to present a defense if courts comply with them. If they do, defendants have notice of the definitive boundaries of the limitations. Section 20a forbids forensic examiner testimony on issues other than insanity, or on any issue at all, if the insanity defense is not ultimately raised.
The truth-seeking function of trial courts would be substantially impaired if a defendant could raise an insanity defense, then assert the psychologist-patient privilege and preclude an examiner‘s testimony. Peo-
However, the integrity of evidence of insanity is likewise threatened if the examining forensic psychologist is permitted to testify about matters other than the issue of defendant‘s insanity. If that were allowed, a defendant would be justified in refusing to provide full disclosure to the examiner, fearful that incriminating information revealed would be used against him at trial. If the statute is ignored, the protections it affords are lost.
When, as here, a court allows an examiner to impeach on an issue other than a defendant‘s mental state, it violates the defendant‘s constitutional right to
In Colorado v. Connelly, 479 U.S. 157, 165; 107 S. Ct. 515; 93 L. Ed. 2d 473 (1986), the United States Supreme Court considered the confession of a mentally ill defendant who voluntarily admitted to having perpetrated a murder. It found that admission of the confession did not deny him due process, because there was no “essential link between coercive activity of the State, on the one hand, and a resulting confession by a defendant, on the other.” Id. at 165. Connelly confessed without the state exerting any coercion or other action on him. Id. at 160, 165.
Here, by contrast, the state placed defendant in a coercive situation. The statute required him to fully cooperate with the examiner in a forensic interview in order to pursue his insanity defense.
A plea of insanity is in the nature of confession and avoidance. By asserting it, defendant admits the charge but denies criminal culpability. But such admission extends only to the consideration of such plea; beyond that it has no
efficacy in a criminal case. [2 Underhill, Criminal Evidence (5th ed, Supp 1970), § 450, p 370.]
The admission of defendant‘s involuntary confession violated his right to due process of law. “The aim of the requirement of due process is . . . to prevent fundamental unfairness in the use of evidence whether true or false.” Lisenba v. California, 314 U.S. 219, 236; 62 S. Ct. 280; 86 L. Ed. 166 (1941). “[F]ailure to afford the petitioner a reasonable opportunity to defend himself against the charge . . . [is] a denial of due process of law.” In re Oliver, supra at 273.
Restricting the use of statements made to a forensic examiner to those pertinent to a defendant‘s sanity is a measure to ensure a fair and reliable adjudication of the issue. The potential chill to a defendant‘s exercise of the right to present an insanity defense outweighs any potential gains to the truth-seeking process in discouraging or disclosing perjured testimony. James v. Illinois, 493 U.S. 307, 317; 110 S. Ct. 648; 107 L. Ed. 2d 676 (1990).
Thus, I disagree with the majority‘s opinion that the statutory preclusion of the forensic examiner‘s testimony involved only a privilege and that its violation was only an evidentiary error. This reasoning ignores the nature of the rights protected by the statute.
The situation was coercive in that defendant‘s statements were coaxed from him in an interview that was a prerequisite to his ability to raise the insanity defense. By dint of the statute, the government promised that the evidence produced would be admitted only for a limited purpose. To permit it to use defendant‘s incriminating statements breaks the promise and implicates the Fifth Amendment prohibition against
III. CONSTITUTIONAL ERROR ANALYSIS
A. ISSUE PRESERVATION
“To preserve an evidentiary issue for appellate review, a party must object timely at trial and specify the same ground for objection as is asserted on appeal.” People v. Considine, 196 Mich. App. 160, 162; 492 N.W.2d 465 (1992). “[R]equiring a contemporaneous objection provides the trial court an opportunity to correct the error, which could thereby obviate the necessity of further legal proceedings and would be by far the best time to address a defendant‘s constitutional and nonconstitutional rights.” People v. Carines, 460 Mich. 750, 764-765; 597 N.W.2d 130 (1999) (internal quotation marks omitted).
In this case, defense counsel objected to the testimony of the forensic examiner on the ground that the communication was privileged. The testimony was in fact privileged and inadmissible.
B. APPLICABLE STANDARD OF REVIEW
An error that violates the federal constitution obliges us to look to federal precedent for the harmless error rule. The United States Supreme Court has set forth a two-part inquiry. First, a court must ask if the error is a structural defect in the constitution of the trial mechanism, which defies analysis by harmless-error standards. . . .
At the other end of the spectrum . . . are trial errors that occur during the presentation of the case to the jury, and which may therefore be quantitatively assessed in the context of other evidence presented in order to determine whether its admission was harmless beyond a reasonable doubt. This requires the beneficiary of the error to prove, and the court to determine, beyond a reasonable doubt that there is no reasonable possibility that the evidence complained of might have contributed to the conviction. [People v. Anderson (After Remand), 446 Mich. 392, 404-406; 521 N.W.2d 538 (1994) (internal quotation marks, brackets and citations omitted); see also Arizona v. Fulminante, 499 U.S. 279, 307-309; 111 S. Ct. 1246; 113 L. Ed. 2d 302 (1991); Chapman v. California, 386 U.S. 18, 23-24; 87 S. Ct. 824; 17 L. Ed. 2d 705 (1967).]
In this case, the error in admitting the testimony of the forensic psychologist was preserved, nonstructural constitutional error. The prosecution bears the heavy burden of showing that the admission of the forensic examiner‘s testimony was harmless beyond a reasonable doubt.
[T]he Court has been faithful to the belief that the harmless-error doctrine is essential to preserve the “principle that the central purpose of a criminal trial is to decide the factual question of the defendant‘s guilt or innocence, and
promotes public respect for the criminal process by focusing on the underlying fairness of the trial rather than on the virtually inevitable presence of immaterial error.” [Fulminante, supra at 308 (citation omitted).] [W]hether . . . the error was harmless beyond a reasonable doubt . . . in a particular case depends upon a host of factors, all readily accessible to reviewing courts. These factors include the importance of the witness’ testimony in the prosecution‘s case, whether the testimony was cumulative, the presence or absence of evidence corroborating or contradicting the testimony of the witness on material points, . . . and, of course, the overall strength of the prosecution‘s case. [Delaware v. Van Arsdall, 475 U.S. 673, 684; 106 S. Ct. 1431; 89 L. Ed. 2d 674 (1986).]
C. APPLICATION OF THE HARMLESS ERROR DOCTRINE
The error in this case was an egregious denial of the defendant‘s fundamental right to due process of law. Despite the majority‘s claim that the overwhelming weight of the evidence was in the prosecution‘s favor, I would hold that it nonetheless failed to carry the burden required by Anderson, supra. There is a distinct, reasonable possibility that the evidence complained of might have contributed to the conviction.
That defendant promised to visit Margo DeVita daily to persuade her to leave his house and that that explains his frequent presence at her apartment does not defy common sense. Defendant is essentially alleging that Margo was obsessive and dependent on him for money and would not leave without assurances of his continued presence and her continued financial security.
Margo testified that someone kicked open her front door from outside. Yet, the only damage to the front door is consistent with someone inside trying to get out.
The majority is skeptical of defendant‘s testimony that he struggled with men near Margo‘s house, broke away, got into his car parked next door at John‘s house, and drove off. However, according to defendant, Margo had told him that John had his car, correcting her earlier story. Defendant likely knew that John lived next door to Margo, and so it is quite plausible that he would find his car there and use it to effect his escape.
Finally, the majority finds unbelievable defendant‘s testimony that he engaged in routine behavior after escaping, rather than calling the police. But, defendant easily could have avoided calling the authorities out of fear of repercussions from the real killers because of shock or mental imbalance or because he distrusted the police.
I refute the majority‘s interpretation of defendant‘s unsolicited statement: “They count five. They say I killed five people. I only kill one. Why do they count five now?” This does not necessarily amount to admission of the crime. The statement could be interpreted in an innocuous manner, especially given defendant‘s poor command of the English language. The outburst could have been an expression of his incredulity that he could be charged with three
A forensic examiner is a professional, likely a coherent and persuasive witness. For such a witness to testify that a defendant, in interviews before trial, contradicted his testimony in front of the jury would be greatly destructive of the defendant‘s credibility.19 This is particularly true here, because defendant was deprived of effective assistance of counsel, his theory of the case having been presented in a vague and confusing manner.
Allowing the forensic examiner‘s testimony more likely than not resulted in the jury largely disbelieving defendant‘s testimony. As the jury was, in essence, presented only with the prosecutor‘s proofs, it is inevitable that the evidence of defendant‘s guilt would seem overwhelming. Even so, the jury did not convict defendant on the two counts of assault with intent to murder and the felony-firearm counts supported by those assaults. See supra note 4. If the evidence of guilt was truly overwhelming, it is curious that the jury failed to convict on all charged counts.
Criminal defendants have a constitutional right to raise a defense.
IV. CONCLUSION
Unlike the majority, I find that defendant is entitled to a reversal of his convictions, because he was deprived of effective assistance of counsel. The majority errs in finding that the trial court‘s admission of the forensic examiner‘s testimony to impeach the defendant was not constitutional error. Furthermore, the trial court‘s error was not harmless beyond a reasonable doubt. To allow defendant‘s convictions to stand makes a mockery of the law‘s concern for a fair trial and damages public respect for the judicial process. I would affirm the holding of the Court of Appeals.
CAVANAGH, J., concurred with KELLY, J.
YOUNG, J., took no part in the decision of this case.
Notes
In all criminal prosecutions, the accused shall enjoy . . . the Assistance of counsel for his defence. [
US Const, Am VI .]
While the Fifth Amendment does not expressly include a criminal defendant‘s due process right to testify in his own behalf, the United States Supreme Court has repeatedly “suggested that such a right exists as a corollary to the Fifth Amendment privilege against compelled testimony. . . .” Nix v. Whiteside, 475 U.S. 157, 164; 106 S. Ct. 988; 89 L. Ed. 2d 123 (1986).No person . . . shall be compelled in any criminal case to be a witness against himself[.] [
US Const, Am V .]
Although this Court has never explicitly held that a criminal defendant has a due process right to testify in his own behalf, . . . the right has long been assumed. [Nix v. Whiteside, n 6 supra at 164.]No State shall . . . deprive any person of . . . liberty . . . without due process of law[.] [
US Const, Am XIV, § 1 .]
“The privilege of confidentiality belongs to the patient; it can be waived only by the patient.” Dorris v. Detroit Osteopathic Hosp., 460 Mich. 26, 34; 594 N.W.2d 455 (1999).A psychologist licensed or allowed to use that title under this part or an individual under his or her supervision cannot be compelled to disclose confidential information acquired from an individual consulting the psychologist in his or her professional capacity if the information is necessary to enable the psychologist to render services. Information may be disclosed with the consent of the individual consulting the psychologist, or if the individual consulting the psychologist is a minor, with the consent of the minor‘s guardian . . . . [
MCL 333.18237 ;MSA 14.15(18237) .]
Privileged communications shall be disclosed upon request. . . . (e) If the privileged communication was made during an examination ordered by a court, prior to which the patient was informed that a communication made would not be privileged, but only with respect to the particular purpose for which the examination was ordered. [
MCL 330.1750(2) ;MSA 14.800(750)(2) .]
