Lead Opinion
OPINION
Eric Leon Christian appeals his conviction for two counts of transmitting through interstate commerce email communications containing threats to injure the person of another. He argues that the district court should have allowed his expert, a psychologist who had earlier examined him for
We hold that the district court abused its discretion by excluding Christian’s expert solely because he examined Christian for competency rather than for diminished capacity. Instead of focusing exclusively on the different legal standards governing the conclusions the expert was asked to draw, the district court should have evaluated whether the substance of the expert’s testimony would have helped the jury decide whether Christian could form the specific intent to threaten the recipients of his emails. Although the record does not allow us to determine whether the expert’s testimony should have been admitted, the court should not have excluded such testimony without conducting a voir dire or otherwise giving the expert an opportunity to explain how he could provide meaningful and relevant testimony on diminished capacity from the competency evaluation he had conducted. We further hold that the rule requiring a new trial when a district court erroneously admits prejudicial expert testimony in a civil trial, see Estate of Barabin v. AstenJohnson, Inc.,
Finally, we hold that the district court acted within its discretion by denying Christian’s request for a diminished capacity instruction on this record. Accordingly, if no new evidence supporting a diminished capacity defense is admitted during Christian’s new trial, the district court need not give a diminished capacity instruction.
BACKGROUND
A.
In May 2009, Christian emailed Joseph Forti, who was then the Chief of the North Las Vegas Police Department, to request police assistance retrieving his car, which had been repossessed several months earlier. Christian argued that the repossession was not valid and that he was still entitled to possess the car. When Forti responded that the department could not help him, Christian emailed a reply that included several threats of violence, stating: “I will have to kill to retrieve my stolen and items [sic] if you do not retrieve them”; “I have assembled 100 armed angry men from Nevada who are ready for civil war if you stop me from protecting my civil rights”; “Get my fucking car or watch a terrorist car thief DIE!!!”; and “This communication is protected by the 1st Amendment and my undying dedication of ridding the earth of terrorist, [sic] who take away Constitutional Rights like YOU and the thief who has my car.”
Christian also emailed threats to Michael Davidson, who at the time was the chief deputy city attorney and the chief prosecutor for North Las Vegas. Initially, Christian had requested copies of the case files for two cases, neither of which had been prosecuted by Davidson or by the city attorney’s office. In a follow-up email, Christian demanded the case files and threatened to “get a mob together and start a civil war” to kill a state court judge or Davidson himself unless Davidson “g[o]t the Writ of Habeas Corpus out of the way.”
After a two-day trial, a jury convicted Christian of two counts of transmitting through interstate commerce an email communication containing a threat to injure the person of another, in violation of 18 U.S.C. § 875(c). The government’s wit
Christian rested without testifying or presenting any evidence on his own behalf. He had sought to raise a diminished capacity defense, which allows a defendant to argue that he was incapable of forming the specific intent required by the charged offense — in his case, the specific intent to threaten. See United States v. Twine,
B.
Before trial, Christian filed notice of his intent to call Dr. Charles Colosimo, a psychologist, as an expert witness. Dr. Colo-simo had evaluated Christian’s competency to stand trial during unrelated state court proceedings shortly after Christian sent the emails at issue. In an interview that lasted approximately one hour, Dr. Colosi-mo followed an outline “designed to assess core procedural competencies” by probing 13 “areas of functioning” related to an individual’s ability to assist in his defense.
Dr. Colosimo also diagnosed Christian with psychosis, not otherwise specified, probably delusional or paranoid; personality disorder, not otherwise specified; and probable learning disabilities, not otherwise specified. He considered Christian to be at high risk for homicidal behaviors, and recommended that he be transferred to another facility for therapeutic care and medication management.
After the close of the government’s case, defense counsel informed the district court that he intended to call Dr. Colosimo to testify regarding Christian’s diminished capacity defense. Although the court was not inclined to let Dr. Colosimo testify because he had examined Christian for competency, not for diminished capacity, it deferred ruling on the issue until the following morning to allow counsel to consult Dr. Colosimo and learn “what he has to say, if anything, about diminished capacity.”
The next morning, counsel represented that Dr. Colosimo had said the evaluations for competency and for diminished capaci
STANDARD OF REVIEW
We review for an abuse of discretion the district court’s exclusion of expert testimony and its refusal to give a jury instruction based on insufficient evi-dentiary support. See United States v. Espinoza-Baza,
The government argues that plain error review applies to both issues because Christian offered different reasons supporting the diminished capacity jury instruction at trial than he does on appeal and because his offer of proof for Dr. Colosimo’s testimony was inadequate. See United States v. Bishop,
DISCUSSION
A. Expert Testimony
Christian’s primary argument on appeal is that the district court abused its discretion by refusing to let him introduce expert testimony from Dr. Colosimo in support of his diminished capacity defense. The admissibility of expert testimony is generally governed by Federal Rule of Evidence 702, which requires district courts to “perform a gatekeeping function to ensure that the expert’s proffered testimony is both reliable and relevant.” United States v. Redlightning,
We have explained that a district court deciding whether to admit expert testimony should evaluate whether that testimony “will assist the trier of fact in drawing its own conclusion as to a ‘fact in issue’ ” and should not limit its consideration to “the existence or strength of an expert’s opinion.” United States v. Rahm,
The district court in this case similarly focused exclusively on Dr. Colosimo’s expert opinions rather than his proposed expert testimony. Specifically, the court focused on the different legal standards governing the ultimate issues on which Dr. Colosimo had been asked to opine: whether Christian was competent to stand trial and whether Christian lacked the capacity to form the specific intent to threaten. Compare Twine,
Accordingly, the correct legal standard requires the court to determine the relevance of the psychological evaluation the expert conducted and the medical diagnoses he made, not his ultimate legal conclusion regarding the defendant’s mental state. The district court overlooked this distinction when it asserted that Dr. Colo-simo was wrong to say he would have used
In fact, Dr. Colosimo could not have explicitly testified that Christian lacked the capacity to form the specific intent to threaten. See Fed.R.Evid. 704(b) (“In a criminal case, an expert witness must not state an opinion about whether the defendant did or did not have a mental state or condition that constitutes an element of the crime charged or of a defense.”); United States v. Morales,
Dr. Colosimo’s report reveals that portions of his competency evaluation were probably relevant to Christian’s diminished capacity defense. For example, Dr. Colo-simo diagnosed Christian with psychosis, including probable delusions, and borderline personality disorder. Testimony regarding the behavior Christian exhibited that led Dr. Colosimo to make these diagnoses and the likely effects of these conditions may well have been helpful to the jury in deciding whether Christian could form the requisite intent to threaten. Additionally, a few of the “areas of functioning” that Dr. Colosimo probed during the competency evaluation relate to a diminished capacity determination. In particular, Christian’s ability to appraise the likely outcomes of his actions would bear on his ability to understand whether the re
We do not hold that Dr. Colosimo’s testimony must be admitted, however, only that there were sufficient indicia of relevance in defense counsel’s proffer and in Dr. Colosimo’s expert report to warrant giving Dr. Colosimo an opportunity to explain how the psychological information he gathered during Christian’s competency evaluation was relevant to a diminished capacity defense. Defense counsel requested an opportunity “to lay the proper foundation” by putting Dr. Colosimo on the stand and asking how the competency evaluation he conducted would bear on the issue of diminished capacity. The district court should have explored the relevance of Dr. Colosimo’s testimony by allowing defense counsel an opportunity to conduct a voir dire of Dr. Colosimo. See United States v. Adams,
Finally, the district court’s error was not harmless because it “prevented] the defendant from providing an evidentiary basis for his defense.” United States v. Saenz,
Having concluded that the district court abused its discretion and that its error was not harmless, we must determine the appropriate remedy. We recently held in Barabin v. AstenJohnson, Inc.,
Accordingly, because the district court erred when it excluded Dr. Colosimo’s expert testimony and that exclusion prejudiced the defendant, but “the record before us is too sparse to determine whether the expert testimony is relevant and reliable,” we vacate Christian’s conviction and remand for a new trial. Barabin,
B. Jury Instruction
Christian also argues that, even without .Dr. Colosimo’s testimony, the district court abused its discretion by refusing to give a jury instruction on his diminished capacity defense. It is “well established that a criminal defendant is entitled to have a jury instruction on any defense which provides a legal defense to the charge against him and which has some foundation in the evidence, even though the evidence may be weak, insufficient, inconsistent, or of doubtful credibility.” United States v. Yarbrough,
We hold that the district court did not abuse its discretion by denying Christian’s request for a diminished capacity jury instruction on this record, because there was not a sufficient foundation for the instruction in the evidence presented at trial. Christian argues that the inherent irrationality of the threats themselves, which he characterizes as “the utterances of an irrational, even lunatic, mind,” is sufficient to warrant a diminished capacity instruction. Additionally, as the dissent points out, former Chief of Police Forti testified that he believed the person who sent such threats was very upset and “very disturbed.” Dissent at 816.
Although a jury could reasonably infer from this evidence that Christian suffered from some form of mental illness, his argument fails because such evidence, standing alone, is not sufficient to require a diminished capacity instruction. The diminished capacity defense is not cognizable simply because a criminal defendant may be mentally ill; instead, the defense “is directly concerned with whether the defendant possessed the ability to attain the culpable state of mind which defines the crime.” Twine,
If any evidence, expert or otherwise, supporting a link between Christian’s mental illness and his ability to form the intent to threaten is presented during the new trial, the district court must give the jury a diminished capacity instruction. Because no such evidence was introduced at the original trial, it was within the district court’s discretion to deny Christian’s request for a diminished capacity jury instruction on that record. Assuming, however, that the district court (after voir dire under the proper legal standard) admits Dr. Colosimo’s testimony, there would likely be sufficient evidence to support such an instruction.
CONCLUSION
We hold that the district court abused its discretion by focusing exclusively on the different legal standards for competency and diminished capacity without considering whether Dr. Colosimo’s testimony would have helped the jury assess Christian’s diminished capacity defense. We therefore vacate Christian’s conviction and remand for a new trial.
VACATED and REMANDED.
Notes
. Specifically, these areas were: ability to appraise the available legal defenses; level of unmanageable behavior; quality of relating to his attorney; ability to plan legal strategy; ability to understand the roles of various participants in courtroom proceedings; understanding of court procedure; appreciation of the charges; appreciation of the range and nature of possible penalties; ability to appraise the likely outcomes; capacity to disclose to the attorney available pertinent facts surrounding the offense; capacity to realistically challenge the prosecution witnesses; capacity to testify relevantly; and manifestation of self-serving rather than self-defeating motivation.
. We acknowledge that Rule 704(b) would have limited the scope of Dr. Colosimo’s testimony, but we reject the government’s argument that the rule would have prohibited him from testifying at all. The government’s argument rests entirely on the description of Dr. Colosimo’s proposed testimony in Christian’s brief as being that Christian "did not have the ability or capacity to understand that his subject emails would be perceived as a real or actual threat of bodily harm.” Although the government is correct that Rule 704(b) would have prohibited Dr. Colosimo from offering that precise opinion, the rule "allows expert testimony on a defendant's mental state so long as the expert does not draw the ultimate inference or conclusion for the jury.” United States v. Finley,
. We emphasize that neither Barabin nor this decision requires a new trial whenever a district court errs in analyzing the admissibility of expert testimony. Barabin affirmed Mukhtar v. California State University,
. We recognize that Barabin distinguished two criminal cases, United States v. Cordoba,
Concurrence Opinion
concurring in part and dissenting in part.
I concur in the majority’s conclusion in Part A that we must reverse because of the trial judge’s failure to permit defense counsel to conduct a voir dire examination of Dr. Colosimo. His expert testimony may be sufficient to support a jury’s finding that Christian lacks the capacity to form a specific intent to threaten another.
I agree with the majority that a criminal defendant is entitled to have a jury instruction on any theory that provides a legal defense to the charge against him if there is some support in the record for that defense, and that this is so even when the evidentiary foundation for the defendant’s defense rests solely in the government’s evidence. Maj. Op. at 814 (citing United States v. Yarbrough,
In an email to Joseph Forti, the Chief of Police of the North Las Vegas Police Department, Christian asserted that he had “assembled 100 armed angry men from Nevada who are ready for civil war if you stop me from protecting my civil rights”; “Get my fucking car or watch a terrorist car thief DIE!!!” Chief Forti testified that Christian was “very disturbed.” The majority concedes that “Christian’s erratic behavior ... supports the inference that he suffered some sort of mental illness.” Maj. Op. at 813. The jury should have been permitted to determine whether they could infer from this evidence of Christian’s mental condition whether his capacity to threaten others was diminished.
“A criminal defendant has a constitutional right to have the jury instructed according to his theory of the case.... ” United States v. Marguet-Pillado,
While conceding that the evidence is sufficient to show that Christian suffers from some sort of mental illness, the majority has inferred that this evidence is insufficient to demonstrate diminished capacity. The failure to instruct the jury on the defense of diminished capacity prevented the jury from determining whether the circumstantial evidence of Christian’s mental illness was sufficient or insufficient to persuade it that Christian lacked the capacity to form the intent to threaten others.
A district court’s “failure to instruct the jury on the defendant’s theory of the case, where there is evidence to support such instruction, is reversible per se and can never be considered harmless error.” United States v. Zuniga,
