United States v. Karen CameronUnited States v. Karen Cameron
Lead Opinion
I. INTRODUCTION
Appellant raises two issues warranting discussion. First, appellant claims that the district court abused its discretion in prohibiting her from raising an insanity defense because she allegedly failed to give notice of her intent to raise such a defense under
We find that under the unique circumstances of this case the district court abused its discretion in prohibiting appellant from raising an insanity defense. The district court did not err, however, in prohibiting the introduction of unarticulated, general psychiatric evidence of mental abnormality in order to negate specific intent.
A. Procedural History Relating to the Insanity Defense.
On November 13, 1987, Appellant Cameron was charged with participating in a conspiracy to distribute in excess of five grams of “crack” cocaine, in violation of
On November 25, 1987, defendant filed a “Notice of Intent to Rely on Expert Testimony of Defendant’s Mental Condition” pursuant to subsection (b) of
On December 3, 1987, the government filed a demand for reciprocal discovery in which it sought the results of all mental examinations that the defendant planned to introduce at trial. The government’s motion stated, inter alia, that it had become “apparent” that the defendant would at trial “rely on expert testimony relating to a mental disease.”
The government filed a second motion on December 3, 1987, seeking to compel appellant to submit to a psychological examination at the Medical Center for Federal Prisoners (“MCFP”) at Springfield, Missouri. The examination was necessary, according to the government, to “establish that defendant was sane at the time of the charged offense,” in the event that “the defense attempts to raise an affirmative defense” and “[under the assumption that] such testimony should entitle defendant to [a] jury resolution of-her sanity.”
The district court granted the government’s motion but appointed a local psychiatrist, Dr. Arturo Gonzalez, to examine Ms. Cameron. The district court specifically requested that Dr. Gonzalez determine whether the defendant was (1) mentally competent to stаnd trial, and (2) legally sane at the time she allegedly committed the offense charged. See
On February 1, 1988, appellant filed a motion for a pretrial ruling on whether certain evidence of her “diminished capacity” would be admissable at trial, “[i]n addition to [her] defense of insanity.” (Emphasis added.) On March 3, 1988, the government responded to appellant’s motion. Although it argued against the admissibility of “diminished capacity” evidence, the government made no objection to defendant’s written notice of her intent to rely upon an insanity defense contained within her February 1, 1988, motion—nearly six weeks prior to the date set for trial (March 10, 1988), and several months after the above-described events.
In an unrelated maneuver, on March 2, 1988, appellant made a motion for hospitalization pursuant to
On March 9, 1988, the government filed a motion in limine to prohibit the defendant from presenting evidence of insanity because (1) there was “nothing described in the medical reports, notes or hospital records (that were disclosed to the government) that, even viewed most favorably to the defendant, would constitute a mental disease or defect within the meaning of
The government also argued, as it had in response to Ms. Cameron’s February 1st motion, that the Insanity Defense Reform Act of 1984 precluded the defendant from presenting “diminished capacity” evidence at trial.
The case proceeded to trial on March 10, 1988, at which time co-defendants Edward and Suzanna Burgess moved for a severance on the ground that defendant Cameron’s insanity and/or “diminished capacity” defense would prejudice them. The district court denied the motion for severance and stated that “defendant Cameron’s intentions in that regard [i.e., to present a defense based upon mental impairment] have been manifest for some period of time.... I see no reason why such a motion could not or should not have been filed long before this."
The district court also granted both of the government’s requests for exclusion. The court prohibited defendant Cameron from relying upon an insanity defense because she had failed altogether, according to the court, to provide notice of her intention to rely on an insanity defense as required by
On March 11, 1988, Ms. Cameron entered a conditional guilty plea, reserving her right to appeal the district court’s decisions on both issues.
B. Procedural History Relating to “Diminished Capacity” Evidence.
As mentioned, appellant first sought a judicial ruling on the admissibility of her “diminished capacity” defense on February 1, 1988. Appellant explained in her motion that, aside from presenting an insanity defense, she planned to introduce evidence of “diminished capacity” — not as an affirmative defense, but as an attack on the prosecution’s necessary claim that she entertained a specific intent to distribute “crack” cocaine or enter into a conspiracy to do so. Nowhere in her pleadings or in arguments before the district court, however, did appellant describe the specific nature of this psychological evidence; or how this evidence would provide a legally acceptable theory that she did not intend to distribute “crack” cocaine.
On appeal, however, appellant provided a slightly more specific but nonetheless vague explanation of the nature of her “diminished capacity” evidence:
[T]he defense sought to introduce evidence which would demonstrate that defendant’s mental condition rendered her incapable of forming the specific intent necessary to commit the crimes charged in the indictment.
* * * * * *
Defendant Cameron was entitled to have her mental defect considered on the issue of whether she possessed the mental capacity to form the specific intent necessary to commit the crimes charged in the indictment.
II. DISCUSSION
A. Abuse of Discretion Standard Applies to
A district court’s refusal to excuse a defendant from compliance with
Under our view of the facts of this case the question is not whether the district court abused its discretion in denying appellant relief for her failure to give notice under
B. Applying the Abuse of Discretion Standard to the Facts.
Appellant argues that this court should find that the district court abused its discretion because (1) defendant gave notice under subdivision (b) of
(b) Expert Testimony of Defendant’s Mental Condition. If a defendant intends to introduce expert testimony relating to a mental disease or defеct or any other mental condition of the defendant bearing upon the issue of guilt, the defendant shall, within the time provided for the filing of pretrial motions or at such later time as the court may direct, notify the attorney for the government in writing of such intention and file a copy of such notice with the clerk. The court may for cause shown allow late filing of the notice or grant additional time to the parties to prepare for trial or make such other order as may be appropriate.
The government contends that compliance with subdivision (b) of
As the Advisory Committee’s Notes toRule 12.2(a) state, the term “defense of insanity” as used in that subsection “has a well understood meaning” that is different that (sic) the more amorphous “other mental condition ... bearing upon the issue of guilt” language contained inRule 12.2(b) .
Appellee’s Brief at 15. Notice of an intention to rely on expert testimony regarding a defendant’s “mental condition” would not necessarily mean, the government argues, that the defendant intends to raise an insanity defense.
Finally, the government contends that it makes no difference whether the prosecution was or was not prejudiced by the failure to give specific notice under
Under our interpretation of the facts, however, we need not decide whether, in the absence of prejudice to the government, notice under subdivision (b) satisfies the requirement of subdivision (a). Even if the
In its response to defendant’s February 1st motion, the government urged the court to deny all aspects of the motion. In doing so, the government plainly acknowledged that defendant’s February 1st motion provided explicit notice of an intent to rely upоn an insanity defense.
The only remaining inquiry under
The government made no objection on the basis of timeliness to appellant’s February 1st notice. The district court did not rule that such notice was outside of the time set for filing pretrial motions of this type. Appellant’s February 1st motion was itself a “pretrial” motion; thus, our reading of the record indicates that the time for filing such motions had not expired.
Evеn if the time for filing such motions had expired, however, we find that because the government (1) was clearly aware for over two months prior to February 1st that appellant would present an insanity defense for reasons unrelated to the notice given under 12.2(b), (2) had been granted a motion to compel the defendant to submit to a psychological evaluation specifically for determining sanity at the time of the offense charged, and (3) was given explicit notice nearly five weeks before trial of the defendant’s intent to rely upon an insanity defense under
C. Prejudice Vel Non.
A showing that the district court erred or abused its discretion in excluding evidence does not lead automatically to a reversal. “Such orders will not be disturbed except upon a showing of abuse of discretion, and then only upon a showing that such abuse of discretion resulted in substantial harm to the part[y] seeking relief.” Edward Leasing Corp. v. Uhlig & Associates, Inc.,
Error in the admission or exclusion of evidence is harmless if it does not affect the substantial rights of the parties.Fed.R.Evid. 103 ;Fed.R.Civ.P. 61 . The burden of demonstrating that substantial rights were affected rests with the party asserting error. Liner v. J.B. Talley & Co.,618 F.2d 327 , 329 (5th Cir.1980).
See McDonough Power Equipment, Inc. v. Greenwood,
A necessary corollary to the harmless error doctrine is that when a federal trial court prohibits the introduction of certain evidence, the party suffering the adverse ruling should see to it that the substance of such evidence is placed on the record—even if the district court’s exclusion of the evidence does not relate to its substance or sufficiency.
An offer of proof is essential to alert the trial judge to the possibility and consequences of an evidentiary error. Absent a sufficient proffer, a reviewing court will find it difficult or impossible to evaluate whether, for example, an error in applying
We would be hard-pressed to find prejudice merely upon the defendant’s allegations on appeal that she would have
While the record evidence supporting a prejudice finding by this court is sporadic and leaves much to be desired,
D. The District Court’s Decision to Disallow the Admission of “Diminished Capacity” Evidence.
In addition to prohibiting the presentation of an insanity defense, the district court also ruled that Insanity Defense Reform Act of 1984 precluded appellant from presenting evidence of “diminished capacity.” The district court’s decision presents two distinct questions. First, whether Congress eliminated the use of psychiatric evidence to demonstrate a lack of specific intent and, if not, whether the district court erred in excluding the particular psychiatric evidence offered in this case. The application of the Act to the use of “non-insanity”
The government argues that the Insanity Defense Reform Act of 1984, Pub.L. No. 98-473, Title II, § 402(a), 98 Stat. 2057, § 20, recodified at
We disagree, and hold that while Congress clearly meant to circumscribe carefully the use of psychiatric evidence both as it relates to legal excuse and to legal guilt or innocence, Congress did not bar the use of psychiatric evidence to negate specific intent when such is an element of the offense charged. The government maintains that even if Congress did not entirely eliminate the use of psychiatric evidence to negate specific intent, this court should uphold the district court’s decision to pro
The issue of whether the Insanity Defense Reform Act abolished the use of psychiatric evidence to negate specific intent is a question of law which we review de novo. The question of whether the district court properly excluded the specific psychiatric evidence alluded to by appellant in this case, is subject to the abuse of discretion standard. See United States v. Twine,
1. Revisionary Principles of the Insanity Defense Reform Act
The Insanity Defense Reform Act was passed in the wake of John Hinckley’s acquittal of charges arising from his actions in shooting President Ronald Reagan and Press Secretary James Brady. Under our interpretation, the Act made the following changes with regard to the use of psychiatric evidence in federal criminal trials:
(1)eliminated the “volitional prong” of the often utilized Model Penal Code approach to the insanity defense, which would permit an acquittal by reason of insanity if the defendant “as a result of a mental disease or defect ... lacks substantial capacity ... to conform his conduct to the requirements of law,”17 and defined insanity narrowly as that “the defendant, as a result of a severe mental disease or defect, was unable to appreciate the nature and quality or the wrongfulness of his acts,”18 U.S.C. § 17(a) ;18
(2) eliminated all other affirmative defenses or excuses based upon mental disease or defect, id.;
(3) changed the burden of proof and burden to require the defendant to prove the affirmative defense of insanity by clear and convincing evidence,18 U.S.C. § 17(b) ;'
(4) limited the use of expert psychological testimony on ultimate legal issues,Fed. R. Evid. 704(b) ; and
(5) created a special verdict of “not guilty by reason of insanity,” which triggers federal civil commitment proceedings,18 U.S.C. § 4242(b) :
Whether our list is exhaustive dr not, it elucidates several of Congress’ most important modifications of the rules relating to the use of psychiatric evidence.
First, it is clear that Congress meant to eliminate any form of legal excuse based upon one’s lack of volitional control. This includes a diminished ability or failurе to reflect adequately upon the consequences or nature of one’s actions. While scholars might debate the subtle distinctions in moral culpability occasioned by a person’s relative capacity to consider her actions or resist unconscious motivation, Congress chose to eliminate any form of legal excuse based upon psychological impairment that does not come within the carefully tailored definition of insanity in
Second, Congress “intended to insure that the insanity defense is not improperly resurrected in the guise of showing some other affirmative defense, such as that the defendant had a ‘diminished responsibility’
Finally, Congress was concerned about the danger that expert psychiatric testimony regarding inherently malleable psychological concepts can be misused at trial to mislead or confuse the jury. This legislative anxiety wаs independent of, and yet related to, the above-described concerns. See
Federal courts should adhere to these three central principles of congressional reform when evaluating the admissibility of psychiatric evidence in trials for federal offenses.
At the threshold, however, we must address the confusion enveloping the use of the phrases “diminished capacity” and “diminished responsibility.”
2. The persistent confusion surrounding the terms “diminished capacity” and “diminished responsibility”
Both parties contend that several circuits have differed as to whether the Act precludes the use of psychiatric evidence other than pursuant to an insanity defense. Under our reading of those cases, the courts that have addressed this issue are in complete agreement that Congress did not bar the admissibility of all psychiatric evidence pertaining to the defendant’s mens rea (or lack thereof) in specific intent crimes. The debate, to the extent that one exists, is largely a product of persistent confusion surrounding the precise definition of the terms “diminished capacity” or “diminished responsibility,” and the use of the word “defense” in connection with those common law expressions.
Some сourts view “diminished responsibility” and “diminished capacity” as interchangeable phrases denoting a rule of admissibility regarding psychiatric evidence of specific intent:
[T]he courts have used the labels diminished responsibility, diminished capacity, and other nomenclature merely as a shorthand for the proposition that expert evidence of mental abnormalities is admissible on the question of whether the defendant in fact possessed a particular mental state which is an element of the charged offense_ When a court rejects the doctrine of diminished capacity, it is saying that psychiatric evidence is inadmissible on the mens rea issue.
Muench v. Israel,
Other courts agree that the phrases “diminished responsibility” and “diminished capacity” are interchangeable, but contend that these labels define the use of psychiatric evidence not specifically to negate specific intent but to excuse, mitigate or lessen the defendant's moral culpability due to “psychiatric compulsion” or “inability or failure to engage in normal reflection.” See, e.g., United States v. Pohlot,
Still a third group of courts draws a sharp distinction between “diminished responsibility” and “diminished capacity.” According to this group, “diminished responsibility” refers to “a showing that the accused suffered from an abnormality of mind that ‘substantially impaired his mental responsibility.’ ” United States v. Frisbee,
Appellant sought in her February 1st motion to use the term “diminished capacity” as it is understood in Frisbee to refer to evidence “attacking the prosecution’s prima facie case by attempting to cast doubt on the prosecution’s claim that a requisite mental element was present at the time of the offense.”
Suffice it to say that the several uses to which these labels have been put has often hindered the correct application of the two very distinct ideas that are applied under one, both, or neither of these labels. See Twine,
The first question we must answer is whether Congress excluded all use of psychiatric evidence to negate specific intent. We shall attempt to avoid confusion surrounding the “diminished capacity” and “diminished responsibility” labels by referring to “affirmative defense psychiatric evidence” and “psychiatric evidence to negate specific intent” to communicate thе basic distinction between these two types of psychiatric evidence.
3. Did Congress intend to prohibit all use of “psychiatric evidence to negate specific intent”?
The government claims that several circuits disagree over whether Congress prohibited the use of psychiatric evidence that does not demonstrate insanity but instead negates specific intent. The government cites United States v. White,
White cited the then-recent decision of United States v. Kepreos,
Our reading of White, as explained by its reliance on Kepreos, is that the First Circuit upheld the exclusion of “non-insanity” psychiatric evidence in two cases in which district courts did not abuse their discretion in finding that the potential prejudice and confusion fostered by such evidence outweighed its probity.
The Third and Ninth Circuits,
In addition to redefining legal insanity and making it an “affirmative defense,” Congress also provided in the specific wording of
Because admitting psychiatric evidence to negate mens [rea] does not constitute a defense but only negates an element of the offense, § 17(a) by its terms does not bar it. Section 17(a) states only that “mental disease ... does not otherwise constitute a defense;” it does not purport tо establish a rule of evidence.
Pohlot,
The legislative history of section 20 demonstrates that Congress utilized the phrase “affirmative defense” with a full understanding of the distinction between a legal justification or excuse for otherwise criminal conduct, and evidence that negates an essential element of the government’s pri-ma facie case. See id. at 897-899, 902-903.
Finally, section 20 is a part of a statutory scheme that supports the interpretation that Congress did not eliminate the use of “psychiatric evidence to negate specific intent.” Id. at 899, 899 n. 8; Frisbee,
While we express no opinion on whether Congress could eliminate the use of such
This interpretation of the Act does not, however, resolve the question of whether the district court erred in prohibiting aрpellant from presenting the particular psychiatric evidence at issue in this case.
4. Did the District Court abuse its discretion in excluding the psychiatric evidence offered?
Lawmakers, not courts, have the ultimate responsibility to determine the level of consciousness and control below which otherwise “guilty” conduct will be excused. Courts and juries, on the other hand, must determine whether a defendant possesses the statutorily specified mental state to be guilty of a particular crime.
“Only in the rare case, however, will even a legally insane defendant actually lack the requisite mens rea purely because of mental defect.” Id. at 900. See Arenella, The Diminished Capacity and Diminished Responsibility Defenses: Two Children of a Doomed Marriage, 77 Colum.L.Rev. 827, 834 (1977). When a defendant claims to have psychiatric evidence that she “lacked the capacity” or was “incapable” of forming the intent necessary for the crime charged, most often that defendant is speaking of an incapacity to reflect or control the behaviors that produced the criminal conduct.
the insanity defense [will be] improperly resurrected in the guise of showing some other affirmative defense, such as that the defendant had a “diminished responsibility” or some similarly asserted state of mind which would serve to excuse the offense and open the door, once again, to needlessly confusing psychiatric testimony.
Evidence offered as “psychiatric evidence to negate specific intent” is admissible, however, when such evidence focuses on the defendant’s specific state of mind at the time of the charged offense. United States v. Staggs, 553 F.2d 1073 (7th Cir.1977), provides an example of the appropriate use of “psychiatric evidence to negate specific intent.” Mr. Staggs was charged with threatening to shoot a policeman. He denied making the threat and sought to introduce psychiatric evidence that he suffered from a mental condition that made it highly unlikely that he would make such a threat. The Seventh Circuit reversed the district court’s exclusion of this evidence since it did not imply a legal excuse for the conduct engaged in by Staggs, nor did it suggest a theory of unconscious motivation or lack of volitional control. The evidence instead shed light on whether Staggs possessed a specific state of mind that would mаke him guilty of a more serious crime than his conduct alone would support.
Because psychiatric evidence (1) will only rarely negate specific intent, (2) presents an inherent danger that it will distract the jury’s from focusing on the actual presence or absence of mens rea, and (3) “may easily slide into wider usage that opens up the jury to theories of defense more akin to justification,” Pohlot,
In this case, appellant failed to identify precisely the psychiatric evidence she wished to introduce. Only by happenstance did appellant present in her motion for hospitalization any evidence of mental impairment whatsoever. Ms. Cameron merely offered to prove that psychiatrists had on two occasions diagnosed her as “schizophrenic,” and that she was receiving some sort of undisclosed psychological counseling at the time the charged offenses took place. Appellant did not explain tо the district court how her psychiatric evidence would demonstrate that she did not intend to distribute "crack" cocaine.
Ms. Cameron claims that she would have demonstrated that her mental condition “rendered her incapable of forming the specific intent necessary to commit the crimes charged”; and she maintains that a jury should have considered evidence of her “mental defect” on the issue of whether she possessed the “mental capacity” to intend to distribute drugs. Even on appeal, appellant has failed to demonstrate how her psychiatric evidence would negate intent and not merely present a dangerously confusing theory of defense more akin to justification and excuse than a “legally acceptable theory of lack of mens rea.” Pohlot,
As the court stated in Pohlot, “[w]hether the district court applied this correct analysis or accepted the incorrect broader view [that the Insanity Defense Reform Act prohibits entirely the use of “psychiatric evidence to negate intent”], it was correct [to exclude such evidence] under the circumstances [of this case].” Pohlot,
III. CONCLUSION
The district court correctly excluded evidence of “diminished capacity” in this case. Prohibiting the defendant from offering an insanity defense because of lack of notice under
Notes
. Confusion surrounds the precise meaning of the term "diminished capacity.” See infra at 1060-63. We will attempt to define at page 1063, the specific type of evidence that appellant sought to introduce at trial.
. Appellant-defendant’s third claim is that the trial court erred in denying her motion to dismiss the indictment in this case for government misconduct. The facts relating to this claim were fully developed at a pretrial evidentiary hearing. It involves certain contacts between appellant and one Detective Angol after counsel had been formally appointed for appellant but prior to her first contact with a lawyer.
The district court found that Detective Angol did not initiate the contact with the defendаnt. In any event, the government agreed not to use any of the statements given by the defendant to Detective Angol and the defendant failed to demonstrate to the district court or this court that she suffered any prejudice as a result of those communications; thus, the claim is without merit.
.Appellant’s November 25, 1987, motion read as follows;
Defendant, Karen Cameron, pursuant toRule 12.2(b) of Federal Rules of Criminal Procedure, sets forth the following averments:
Defendant intends to introduce expert testimony relating to the mental disease or defect or any other mental condition of defendant bearing upon the issue of guilt.
MEMORANDUM
Rule 12.2(b) permits the filing of such notice within the time provided for the filing of pretrial motions or at such later time as the court may direct.
The defendant herein has filed a written waiver of speedy trial and the governmentwill not be prejudiced by the defendant’s failure to file this notice during the time provided for the filing of pretrial motions.
. Dr. Mimi Phillips, a clinical therapist who had treated the defendant during a period of time covered in the Indictment, was recuperating from major surgery.
. On March 8, 1988, the government quite correctly objected to the motion for hospitalization as premature since a defendant’s right to hospitalization rather than incarceration attachеs, if at all, only after that defendant has been convicted of the underlying offense. Counsel for appellant admitted in a hearing before the district court on March 10, 1988, that her motion was not timely.
. Appellant made only two arguable references to the availability of expert testimony regarding her “diminished capacity.” In the latter part of the March 10, 1988, her counsel contended that Ms. Cameron should be given the opportunity to present "diminished capacity” evidence and made passing reference to medical reports indicating that Ms. Cameron had been diagnosed as schizophrenic, and that during the course of a child custody proceeding a physician stated that Ms. Cameron should not be given custody of her child until she received psychiatric treatment. Also, as discussed in the text above, appellant referred in the March 2, 1988 motion for hospitalization to her diagnosis as a schizophrenic in 1977 and 1986, and offered a prediction that "[ejxpert and lay testimony offered at the time of trial will establish defendant's long history of mental illness.”
These vague and sporadic explanations of the nature of the mental impairment testimony to be offered by appellant, some of which were obviously directed toward her proposed insanity defense, constitute the only explanations or offers of proof specifically related to Ms. Cameron's intent to distribute "crack.”
. Pertinent portions of
(a) Defense of Insanity. If a defendant intends to rely upon the defense of insanity at the time of the alleged offense, the defendant shall, within the time provided for the filing of pretrial motions or at such later time as the court may direct, notify the attorney for the government in writing of such intention and file a copy of such notice with the clerk.
(Emphasis added.) The purpose of
. While we agree with the government that a defendant could intend to rely upon expert psychiatric testimony without raising the insanity defense, see the discussion at page 31 and footnote 26, this argument conflicts with the government's position that the Insanity Defense Reform Act of 1984 bars the use of psychiatric testimony unless admitted in conjunction with an insanity defense. If, as the government contends, the Act bars such psychiatric evidence except to support an insanity defense, then notice under
. In her February 1st motion, defendant stated: "In addition to [her] defense of insanity, the defendant is entitled to offer proof to negate an essential element of the offense." (Emphasis added.) Appellant also distinguished her insanity defense as “an affirmative defense” or "claim of justification or excuse," as opposed to her "diminished capacity" defense, which she argued is a "claim that [the defendant] is not guilty of the crime charged because [the defendant] did not possess the requisite mens rea." (Emphasis added.) Finally, Ms. Cameron sought to establish the propriety of introducing, inter alia, medical records and lay testimony regarding her sanity. She gave notice on November 25, 1987, that she intended to rely upon expert psychiatric testimony.
. The government complains in its brief that even if notice under 12.2(b) were adequate to satisfy 12.2(a) as a technical matter, such notice would be insufficient to give the government the more detailed notice contemplated under subdivision (a). This same criticism applies to the еxplicit but terse notice given to the government in appellant’s February 1st motion, wherein she simply stated without elaborating that she sought to rely upon a "diminished capacity” defense in addition to her insanity defense.
We reject the government's argument for a more detailed notice of intent to rely upon an insanity defense. By its very terms,
The fact that
. We note that on December 3, 1987, the government moved to strike appellant's notice of intent to rely upon expert testimony under subsection (b) of
Our reading of the record indicates that the district court did not issue a formal ruling on the government’s motion to strike, but it is clear that the district court granted a continuance in the case and did not strike the 12.2(b) notice as untimely. It is also clear that both sides filed several other pretrial motions without objection well after the 14-day limit.
. We stress that our decision does not turn solely on the government’s lack of prejudice in this case. Our decision turns on the combination of factors discussed in the text.
. The motion for hospitalization was almost “accidental” since the defendant should have filed it only after she was adjudged guilty of the offense charged. Likewise, appellant’s Junе 6, 1988, amended motion for an evidentiary hearing, in which defendant outlined her psychiatric evidence, did not relate to the strictly evidentia-ry questions that are the subject of this appeal. Both motions were fortuitous opportunities utilized by appellant to present an explanation of the mental impairment evidence she could have introduced at trial. Nevertheless, these formal submissions were adequate to alert the trial judge to the consequences of the decision to deny Cameron the opportunity to present an insanity defense.
. We note that nothing in our decision today precludes the district court from finding on remand that, as the government argued in its motion in limine, there is insufficient evidence of mental disease or defect to present an insanity defense to a jury. The determination on this issue can only be made, however, after the district court conducts a hearing in which both sides are given the opportunity to argue this issue. The evidence that Cameron has been diagnosed as suffering from schizophrenia at various times in her life does not necessarily mean that she was legally insane either at those times or during the time period over which she allegedly committed the crimes charged. Nevertheless, the proffer of such evidence is sufficient to show that had the trial court not erred in denying Cameron the opportunity to present an insanity defense under
.By "non-insanity" psychiatric evidence we refer generally to all psychiatric evidence not offered strictly in conjunction with an insanity defense.
.See also United States v. Pohlot,
. Model Penal Code § 4.01 (1962). See Pohlot,
. Compare United States v. Freeman,
. Crime Control Act of 1984, Pub.L. No. 98-473, §§ 402, 406, 98 Stat. 1837, 2057, 2067.
. Psychological evidence is relevant to mens rea only when the defendant is charged with a specific intent crime. Fazzini,
Under
. The confusion in labels is not altogether semantic, however, and the above attempt to distinguish the concepts is somewhat too facile when applied to the slippery substance of complex psychiatric concepts. As stated in Pohlot, the “use of psychiatric evidence to negate mens rea may easily slide into wider usage that opens up the jury to theories of defense more akin to justification.”
. In White, the evidence of psychological domination did not preclude the formation of criminal intent, thus it was misleading and of little use. In Kepreos, the highly speculative psychiatric evidence was of questionable utility in determining the defendant's intent to commit commodities fraud.
. Alternatively, the dicta in White may signal that the Seventh Circuit understands the Act to have eliminated the "diminished responsibility” or "lack of volitional control" evidence sometimes referred to under the label "diminished capacity.” See discussion above at pp. 1060-63. This interpretation is completely consistent with our reading of the Act.
. A panel of the Seventh Circuit has noted in passing that it “assume[d], without deciding, that the defense of diminished capacity survives the Insanity Defense Reform Act of 1984.” Fazzini, 871 F.2d at 641, citing Twine,
. United States v. Gold,
. The Senate Report of the bill, which in all relevant respects became law, states that section 20 was “intended to insure that the insanity defense is not improperly resurrected in the guise of showing some other affirmative defense, such as that the defendant had a 'diminished responsibility’ ... which would ... open the door, once again, to needlessly confusing psychiatric testimony." Senate Report, supra at 229, reprinted in 1984 U.S.Code Cong. & Ad. News 3182, 3411 (emphasis added). "Congress clearly understood that section 20 would not have the effect of making expert testimony on the issue of specific intent inadmissible unless offered in conjunction with an insanity defense.” Frisbee,
The same idea is expressed in the House Report on the bill that became law:
[The definition of insanity in section 17(a) ] constitutes the only affirmative defense based on mental disorder that will be applicable in Federal courts. Mental Disorders will remain relevant, of course, to the issue of the existence of any mental state required for the offense, such as the specific intent required for certain crimes. This accords with current practice.
H.R.Rep. No. 98-577, 98th Cong., 1st Sess. 14 (1983) (citations omitted) (hereinafter "House Report"). The House Report also stated that:
The use of mental disorder [evidence] to negate mental state elements of crimes should not be confused with the "diminished capacity" defense as developed by the California courts during the 1960’s and 1970’s. Under that doctrine, a defendant could escape responsibility for a crime by demonstrating not that he or she lacked a required specific intent, but rather that his or her capability of entertaining that intent was not, because of mental disorder, commensurate with that of nondisordered persons.
Id. at 15 n. 224.
As noted, in footnote 8, the government’s contention that notice under
Congress amended
. First,
[n]o expert witness testifying with respect to the mental state or condition of a defendant in a criminal case may state an opinion or inference as to whether the defendant did or did not have the mental state or condition constituting an element of the crime charged or of a defense thereto. Such ultimate issues are matters for the triers of fact alone.
This means that (1) “Congress appreciated the distinction between evidence negating spеcific intent and evidence supporting a finding of insanity," Frisbee,
Second, as we have discussed,
. See Campbell v. Wainwright,
. As we have explained, Congress intended through various provisions of the Insanity Defense Reform Act to (1) "eliminate all forms of psychiatric defenses based upon lack of volitional control or an inability to reflect adequately before taking an action, (2) limit the scope of expert psychiatric testimony on ultimate legal issues, and (3) carefully control the use of inherently malleable psychiatric evidence so that juries hear only evidence of a legally acceptable theory of lack of mens rea." Pohlot,
.As one commentator has suggested, evidence offered as "psychiatric evidence to negate specific intent" often focuses not on a defendant’s specific intent at the time the offense was committed, but on the defendant's “awareness” of intent and whether the defendant was fully reflective or in control of her unconscious motivations:
At nearly all times, human beings are conscious of themselves, they perceive and are aware of what they are doing as they do it.... This self-reflective split in consciousness that allows self-monitoring is an important regulator of behavior, for it provides constant feedback that allows us to correct maladaptive behaviors.... [Does the lack of self-awareness mean that] mens rea is lacking? On the one hand, the defendant knows at some level what he is doing and intends to do it; on the other hand, he is not fully conscious of his actions in the usual sense.... Mens rea is present but the usual control structures are compromised.
Morse, supra at 46-47 (footnotes omitted). Professor Morse’s point is that a lack of consciоus self-reflection does not mean a lack of intent and therefore does not negate mens rea. Pohlot,
. In Frisbee, the defendant was charged with first-degree murder in violation of
At trial, the district court allowed the defendant to present psychiatric evidence that, “due to some combination of pathological intoxication, organic brain damage, and an alcohol blackout or seizure, the defendant could not have possessed the requisite speсific intent during the relevant time period” to have committed first-degree murder.
One could phrase the psychiatric testimony in Staggs and Frisbee as relating to "capacity" or “ability to form a certain intent.” The particular label used to describe the testimony is not, however, particularly relevant whether the evidence is admissible. The proper focus should be on the proffered link or relationship between the specific psychiatric evidence offered and the mens rea at issue in the case.
Concurrence Opinion
concurring:
I concur in the court’s judgment and in most of the opinion. But I cannot agree that Cameron’s motion for hospitalization and “various other isolated portions of the record” constituted — as part II.C of today’s opinion says — an offer of proof regarding psychiatric evidence of insanity.
An offer of proof in accord with
The district court’s decision to exclude Cameron’s evidence on the insanity defense, however, did not turn on the quality of the proposed evidence, but on what the district judge saw as Cameron’s failure to give adequate notice of her intention to assert the insanity defense. Put differently, the district court’s decision on the motion to exclude evidence was not an eviden-tiary ruling, but a ruling on a procedural point that prohibited evidence from being presented. See generally Federal Rule Criminal Procedure 12.2. In this context,
. The March 2, 1988 motion for hospitalization dealt with a matter that the district court would not have to consider until Cameron was found guilty: the motion, pursuant to
. Had Cameron not complied with