THE PEOPLE, Plaintiff and Respondent, v. RALPH TERRY COLEMAN, Defendant and Appellant.
Crim. No. 22266
Supreme Court of California
Feb. 25, 1985
38 Cal.3d 69
COUNSEL
Thomas W. Condit, under appointment by the Supreme Court, and Bradley A. Bristow for Defendant and Appellant.
Quin Denvir, State Public Defender, Christine Zilius, Deputy State Public Defender, Ralph Santiago Abascal, Albert H. Meyerhoff, Richard M. Pearl, Ronald T. Vera, Morris Baller, John Huerta, Vilma Martinez, Peter Schey and Gary Goodpaster as Amici Curiae on behalf of Defendant and Appellant.
George Deukmejian, Attorney General, Robert H. Philibosian, Chief Assistant Attorney General, Arnold O. Overoye, Assistant Attorney General, Joel Carey, J. Robert Jibson and Raymond L. Brosterhous II, Deputy Attorneys General, for Plaintiff and Respondent.
OPINION
REYNOSO, J.-This is an appeal from a judgment of conviction entered after defendant was found guilty by a jury of two counts of first degree murder, one count of second degree murder (
Defendant raises a number of issues on appeal, notably the propriety of excluding noncitizens from juries (an issue raised in Rubio v. Superior Court (1979) 24 Cal.3d 93 [154 Cal.Rptr. 734, 593 P.2d 595]), admissi-
We find the admission of three hearsay letters written by the victim a substantial period of time before her death, which referred to alleged prior threats against her by defendant and her fear of future violence, was error which prejudicially affected defendant‘s trial and we reverse the convictions. (See, Shepard v. United States (1933) 290 U.S. 96 [78 L.Ed. 196, 54 S.Ct. 22]; People v. Hamilton (1961) 55 Cal.2d 881 [13 Cal.Rptr. 649, 362 P.2d 473]; People v. Talle (1952) 111 Cal.App.2d 650 [245 P.2d 633].) Because we reverse on this basis, we do not decide defendant‘s remaining contentions of error.2
On March 4, 1978, after an argument with his wife about household expenses which led to a heated exchange concerning the couple‘s other marital problems, including the wife‘s past infidelities, defendant retrieved a rifle and shot her, fatally, in the base of the head. He then went upstairs to a bedroom and killed his 9-year-old son and 16-year-old niece and shot at (but missed) his 13-year-old daughter, Kimberly.
Kimberly testified that when she arrived home that evening at 7, her parents were seated at the kitchen table “figuring out bills.” After taking a bath, Kimberly came downstairs at one point, about 10 p.m. She heard defendant accuse his wife of twice paying a debt to the niece. When she denied it, he asked, “Are you willing to pay the consequences if you are wrong?”
Kimberly went upstairs to bed. She and her brother and cousin remained awake listening to the radio with the door slightly ajar. After about an hour, Kimberly heard someone come upstairs and walk past the bedroom then return downstairs. A minute or two later, the children heard a loud shot. Kimberly heard defendant say, “I won‘t have to take any more of this [expletive deleted].” Suddenly, the bedroom door “flew open,” and de-
Defendant left the room. Five or ten minutes later, Kimberly emerged from the bedroom. She heard defendant call her name, and, a minute or two later, she went downstairs and saw him talking on the telephone. She saw her mother‘s body in the kitchen. She went over to defendant and embraced him. He stuttered and repeated the name of his sister, and asked Kimberly to talk to her on the telephone. He also told Kimberly he was “sorry.” Defendant subsequently walked upstairs. His sister, upon hearing what had happened, advised Kimberly to leave the house quickly, without telling defendant, which she did.
After Kimberly left, defendant called the police and stated that he had “killed [his] family.” (Some neighbors who had heard the screams and shots had already called them.) When police arrived, defendant was sitting on the sofa with his face in his hands. He admitted either that he had “just shot” or “just killed” his family. All the victims had been shot in the head, Shirley Coleman from a distance of probably less than a half-inch, according to the pathologist.
The defenses were diminished capacity and insanity. Defendant testified that he and his wife sat down to pay bills at 6 or 6:30 p.m. Although he consumed perhaps three 16-ounce cans of beer in the approximately five hours before the shootings, he was “thinking fairly clearly.” (His blood alcohol was measured at .05 percent an hour after the slayings.) About the time the children arrived home, defendant and his wife began to argue. The argument became bitter when defendant became “angry” at her because of a charge at a department store. As the argument “began to get more heated and more heated,” defendant brought up his wife‘s past deceit and infidelities and accused her of resuming her difficult and uncooperative ways. At some point in this diatribe, his wife observed that there was nothing he could do about it, “it” referring to the “situation that [they] were in.” At that, defendant went to his room, retrieved the rifle, removed it from its case, returned to the kitchen, and shot his wife. (He testified that he shot her in the face from a distance of six or eight feet; he was at a loss to explain the pathologist‘s testimony that the wound indicated that the bullet entered the base of her head from less than an inch away.)
When he went upstairs to retrieve the rifle, defendant “guess[ed] [he] would have had to” have decided to kill his wife, but he could not recall
For a long time prior to the killings, defendant, who is black, had suffered a good deal of stress related to his wife‘s past infidelity and to perceived job discrimination and harassment due to his interracial marriage to a caucasian woman. He came to suspect a number of friends and acquaintances in his hometown of possible participation in a conspiracy to “project[] . . . things” at his family and him, with his wife as the apparent focal point of the conspiracy. At his brother‘s suggestion, sometime after the family‘s arrival in California, defendant compiled a list of “people involved” with “the things that were going on in Youngstown, Ohio“-i.e., people who “could possibly be a part of the things that were projected at my family and myself,” which included such diverse persons as his wife‘s family (her parents strongly opposed the marriage), some policemen acquaintances, one of defendant‘s sisters, some marine buddies, their pastor (with whom defendant‘s wife admittedly had an affair), and a priest with suspicious “mannerisms.”
As early as 1972, defendant complained of difficulties at work apparently related to his marriage. On one occasion he overheard some fellow employees at Strauss Stores in Youngstown obliquely intimating that his wife was a prostitute. After a confrontation with a sales clerk over a 25-cent bonus commission, defendant began to suffer “constant harassment,” in the form of small incidents seemingly calculated to make his work more difficult, such as disturbing the mannequins and the cutting up of sales sheets into ribbons which defendant would have to piece together. After a temporary stint at U.S. Steel, defendant went to work at an assemblyline job at General Motors (GM). After a time, coworkers at GM began to drop hints about an affair between defendant‘s wife and his pastor. “Harassment” followed, in the form of an overload of work, delayed breaks, speeding up of the line, and one incident in which defendant‘s car headlights were left on. “[O]nce or twice,” people told defendant what he had had for breakfast, leading him to suspect the house was “bugged” by “some agency of some sort,” pos-
In 1974, while he was still at GM, defendant sought help at a local mental health clinic for marital problems stemming from his deepening suspicions that his wife was having an extramarital affair. During this time, on a visit to Boston, where his brother lived, to search for a new job, defendant visited a drugstore and felt that some people were looking at him and laughing. Apparently a short time later, his wife admitted she was having an affair with the pastor of their church. After publicly accusing the minister before the congregation, defendant filed for divorce, but it was not granted, apparently because the couple had continued cohabiting. With the affair thus generally known in the community, defendant decided it would be best to leave Youngstown and “try and make it all over again.”
The family came to California. They lived in Anaheim for a short time, defendant taking a “menial” job at a security firm as a stopgap. They soon moved to Redwood City, and defendant got a job as a raw materials inspector at an electronics firm. Soon after he started, when he was advised that the company was conducting a background check, he demanded to see his personnel file. About a week later, he was advised that the company had obtained no record of his ever having lived in Youngstown, and more information was sought from him. This led defendant to have his wife talk to this person, which meeting she surreptitiously tape recorded. Defendant did not feel harassed at the electronics firm, but left it when he did not get a promised raise.
The family moved to Sacramento in 1976. Defendant worked in a clothing store for about two months, but again “little things” began to happen. One or more of the salesmen undertook to undo some of the work he had done and otherwise confuse him. On one occasion, one of them winked at defendant in a manner that suggested he (defendant) was a homosexual. On another occasion, when his wife and son visited the store, a strange woman wearing sunglasses appeared to be watching them. Defendant then took a job at a K-Mart store, which he left after three months because of a dispute over required weekend work. Defendant testified that a month before he left, when he was transferred to a second store because of an apparent personality conflict, he was advised by a company employee that he was “branded.”
After a seasonal job of short duration at the Campbell Soup Company, at which he suffered “[h]arassment,” defendant obtained work as a janitor for the state Department of General Services, which he retained until the date
Between 1975 and 1978, defendant and his wife (whom he had apparently convinced of the existence of a conspiracy against him) consulted several lawyers, a private investigator, and numerous public agencies seeking to discover whether the harassment he felt he had experienced was the result of information in his records relating to his interracial marriage. At Mrs. Coleman‘s request, the Governor‘s office wrote for letters of reference to GM and to the electronics firm at which defendant had been employed. Both indicated that his employment had been satisfactory. In addition, they wrote letters to a state senator, the United States Department of Justice, the FBI, the Office of Management and Finance, and the Department of Labor.
Extensive psychological and psychiatric testimony was presented both by the defense in support of the diminished capacity and insanity defenses, and by the prosecution in rebuttal of those theories.
The first of several expert witnesses called by the defense, Dr. Herbert Weissman, a clinical psychologist, gave defendant a battery of psychological tests about a month after the offenses, and another in 1979. He did not render an opinion as to defendant‘s mental state at the time of the killings, but testified that, at the time the tests were administered, defendant exhibited a low capacity to adjust to stress and less-than-normal ability to discharge hostility, accompanied by, and attributable to, strong indications of paranoid and depressive psychosis. He opined that defendant was subject to periods of “psychotic decompensation“-i.e., “breakdown[s] involving gross distortion in various ways of interacting with the world, behaving, mood, and so on” to fit the delusional posture.
Dr. Allen Axelrad, a psychiatrist, opined on the basis of five interviews with defendant and consideration of a large volume of documentary evidence (including defendant‘s correspondence with federal agencies, recordings of interviews with relatives, and transcripts of defendant‘s testimony), that he suffered from an ongoing mental disorder, paranoia, at the time of the offenses. He had psychotic delusions that he was the victim of conspiratorial persecution. Dr. Axelrad testified that defendant‘s argument with his wife that night dredged up painful memories and led to a “sudden” conviction that his wife had betrayed him and was part of the conspiracy. This “flooding” of his memory due to extreme stress, Dr. Axelrad believed, triggered a temporary break from reality of a few hours’ duration which could be characterized as a “psychotic dissociative reaction” or, in the
Dr. Ronald Markman, a psychiatrist who examined defendant in 1978 at the prosecution‘s behest testified for the defense. Dr. Markman was of the opinion, based on his interview and consideration of a quantity of documentary evidence (including defendant‘s trial testimony), that defendant did not suffer from an ongoing psychosis, but a less severe condition known as a “paranoid personality disorder.” Nevertheless, at the time of the shootings, he opined, defendant underwent a “psychotic decompensation” characterized as a “gross stress reaction” in the terminology (which Dr. Markman still preferred) of the DSM I. Dr. Markman testified that in his view, defendant was able to appreciate the criminality of his behavior and to conform his conduct to the law when he shot his wife, but, due to the impairment of his judgment resulting from his paranoid thinking, lacked the capacity to “maturely and meaningfully deliberate” concerning that act.3 Dr. Markman believed, further, that the act of shooting his wife precipitated “an immediate and acute decompensation” of “psychotic proportions” which rendered him incapable of conforming his subsequent conduct to the law. The killing of his wife, the psychiatrist opined, triggered a regression by defendant, a Vietnam veteran, to “an uncontrollable level of combat behavior.” At the time defendant killed the children in Dr. Markman‘s opinion defendant could not conform his conduct to the requirements of the law and had neither the capacity to premeditate nor to deliberate.
The prosecution called a number of experts on rebuttal. Two of them, Drs. Lee Coleman, a psychiatrist, and Bernard Ziskin, a psychologist, testified, in essence, that psychiatry is not sufficiently developed as a scientific discipline to render psychiatrists any more qualified than laymen to form reliable or valid opinions as to a person‘s sanity or capacity to form a particular mental state. Dr. Coleman opined that the reliability of psychiatric diagnosis is limited by the lack of objective measurement tools and
Two psychiatrists who at one time had indicated a willingness to testify for the defense but did not do so were called by the prosecutor on rebuttal. Drs. Frederick Whipple and Bruce Kaldor testified that after reading transcripts of defendant‘s trial testimony they could no longer express an opinion as to his sanity or capacity to entertain malice aforethought or to premeditate or deliberate.
In further rebuttal the prosecution called three experts, two psychiatrists and a psychologist, who testified that defendant was sane and capable of harboring malice and of premeditation. Dr. Walter Bromberg, a psychiatrist, observed defendant‘s trial testimony and reviewed the reports and testimony of other expert witnesses and summaries of the evidence of defendant‘s background and the events of the night of the killings. Dr. Bromberg testified that, while defendant exhibited “a paranoid attitude,” and might be said to be suffering from a “paranoid personality disorder,” his suspicions did not rise to the level of delusions and accordingly, he was not psychotic. He ascribed the killings not to “mental illness,” but to defendant‘s “tremendous anger and humiliation” stemming from continuing stresses in his work and marriage, resulting in an “enormous emotional upset.”
Dr. Michael Maloney, a psychologist, interviewed defendant during the trial and gave him various psychological tests. Conceding that defendant was laboring under “enormous stress,” and that his history might arguably support a diagnosis of a paranoid personality disorder, Dr. Maloney insisted that he did not “have any data” suggesting that defendant‘s mind was so impaired as to render him incapable of conforming his conduct to the law, or that “his cognitive and intellectual process [had] been disturbed at all,” or that he even suffered from a “mental disorder” at the time of the offenses.
Finally, Dr. Alfred French, a psychiatrist, testified that defendant appeared “mentally normal” when he examined him in September of 1978 under a court appointment. He further opined that defendant was not “mentally disordered” or acting on “psychotic delusional beliefs” when he committed the killings. He described defendant as a “man . . . in terrible chron-
In surrebuttal, defendant produced another psychologist, Dr. Alexander Caldwell, who testified as to the usefulness of the Minnesota Multiphasic Personality Inventory, one of the tests administered and relied upon by Dr. Weissman, an earlier defense expert witness.
I
Defendant claims the trial court committed reversible error by admitting into evidence the contents of three highly emotional and inflammatory letters written by defendant‘s wife between August 1976 and September 1977. As we explain below, the risk that the letters would be considered by the jury for improper and highly prejudicial purposes so far outweighed any probative value attributable to them that the trial court must be held to have abused its discretion by permitting extensive quotation from and reading of the letters. (
Although the trial court ruled the letters’ contents admissible only for the limited purposes of impeaching defendant‘s credibility and to explain and challenge the basis for the opinions of the psychiatric experts, and carefully instructed the jury on these limited proper uses for the letters, we agree with defendant that these instructions did not-and could not-adequately insure that the letters would not be considered as proof of the truth of the hearsay accusations they contained. The abuse of discretion in this case constituted prejudicial error. (People v. Hamilton, supra, 55 Cal.2d 881; People v. Ireland (1969) 70 Cal.2d 522 [75 Cal.Rptr. 188, 450 P.2d 580, 40 A.L.R.3d 1323].)
A. The Nature of the Letters and the Likelihood of Prejudicial Impact.
The three handwritten letters at issue are the “Dear Bill and Audrey” letter, dated August 11, 1976; the “Dear Mother” letter, written September 9, 1976; and the “To Whom It May Concern” letter dated September 19, 1977. Each of these letters poignantly describes defendant‘s wife‘s feelings of hopelessness and despair in the face of the many personal and marital problems the couple had experienced. The letters allude to both marital partners’ suspicions involving defendant‘s employers and coworkers and
In addition to describing the generally tragic development of the family‘s complex problems, the letters contain other allegations which could be considered relevant to the issues at defendant‘s trial. In the letters defendant‘s wife states that defendant had “twice before” tried “to hurt” her, that he had “many times” threatened to kill the family, that he did not want his children going through life as he had, and that his wife feared that he would “do this to us and then find out it wasn‘t me.” If these statements were truthful and accurate depictions of past acts of defendant, they would have some tendency to indicate the killings were not rash acts which were uncharacteristic of defendant. In fact the prosecutor argued that the allegations of prior threats of violence showed that defendant had “thought about” killing his wife before and therefore tended to prove that he had in fact premeditated and deliberated before killing her. Information contained in the letters might also be considered to show a motive for the killing of defendant‘s children.
Insofar as they assert that certain events happened between defendant and the victim, her letters are, of course, entirely hearsay. Because of the wife‘s death the veracity of the contents of the letters cannot be tested by the conventional method of rigorous cross-examination. At the same time, the fact that the events the wife stated she feared later occurred lends to the letters an almost prophetic aura of truthfulness and accuracy.
All parties recognized the enormous impact which such accusations of past violent threats and behavior might have on the trier of fact called upon to decide the major issues in this case: whether defendant was legally insane or suffering from a diminished capacity to form the mental states which accompany the offense of first degree murder at the time he shot the victims. Whether and to what extent the contents of the letters would be placed before the jury was argued on at least seven occasions prior to and during trial.4
In Shepard v. United States, supra, 290 U.S. 96, the Supreme Court reversed defendant‘s conviction for the murder of his wife because the prosecutor was permitted to introduce a statement made by her three weeks prior to her death in which she accused the defendant of poisoning her. The court rejected various theories supporting admission of the statement but assumed that it might have been relevant to negate the proposition that she had purposefully committed suicide. In spite of this possible relevance the court held admission of the statement prejudicial error. “This fact, if fact it was, the Government was free to prove, but not by hearsay declarations. It will not do to say that the jury might accept the declarations for any light that they cast upon the existence of a vital urge, and reject them to the extent that they charged the death to some one else. Discrimination so subtle is a feat beyond the compass of ordinary minds. The reverberating clang of those accusatory words would drown all weaker sounds. It is for ordinary minds, and not for psychoanalysts, that our rules of evidence are framed. They have their source very often in considerations of administrative convenience, of practical expediency, and not in rules of logic. When the risk of confusion is so great as to upset the balance of advantage, the evidence goes out. [Citations omitted.] . . . [¶] The testimony now questioned faced
In People v. Hamilton, supra, this court also recognized the danger that the jury will be unable to “separate the state of mind of the declarant from the truth of the facts contained in the declarations . . . .” (55 Cal.2d at p. 895.) We said hearsay statements which referred “solely to alleged past conduct on the part of the accused” should not be admitted. Statements of threats of future conduct by the accused, might, in a proper case be admitted, if “shown to have been made under circumstances indicating that they are reasonably trustworthy,” and if they “show primarily the then state of mind of the declarant and not the state of mind of the accused.” (Id., at pp. 893-894; see also People v. Ireland (1969) 70 Cal.2d 522 [75 Cal.Rptr. 188, 450 P.2d 580, 40 A.L.R.3d 1323]; People v. Lew (1968) 68 Cal.2d 774 [69 Cal.Rptr. 102, 441 P.2d 942].)
People v. Talle, supra, 111 Cal.App.2d 650 involved facts similar to those in the present case. In Talle, the defendant‘s wife wrote a letter, on the advice of her attorney, in which she stated that the defendant had used physical force against her and had threatened to kill her. The letter was written in connection with an action for separate maintenance by the wife. Four months later, the defendant killed his wife and the letter was admitted into evidence at the eventual murder trial. The Talle court held that the introduction of the letter was prejudicial error because the state of mind of the victim was never an issue in the case. Furthermore, even if the state of mind was in issue, to be admissible the statement must be made “under circumstances so as to make it reasonably certain it was not the result of a partisan premeditated plan to accuse.” (Id., at p. 671.) Thus, such statements “from the grave” were held to be inherently prejudicial and, even if possibly admissible for a limited purpose, required a “reasonably certain” showing of reliability. The Talle court stated: “How could the jury possibly disentangle the charges in that letter and treat the letter only as evidence of state of mind, and forget about the substance of the charges? How could the defendant meet such a situation? He could not cross-examine the deceased. Her lips were sealed. Here was a self-serving statement for a particular purpose against which the accused was powerless to defend.” (Ibid.)
The trial court rejected all proffered grounds for admission of the letters under any exception to the hearsay rule. The court correctly ruled that the wife‘s state of mind was not at issue in this case and thus that the documents did not fall within the rule permitting use of out of court declarations to
The court did rule that the letters could be used by the prosecutor for two limited purposes. First, prior to trial the court ruled that because the expert witnesses had received and considered the letters in reaching their opinions (see
Over the strong objections of the defense-which wanted the court to rule on the propriety of each specific question before it was asked in front of the jury-the court ruled the prosecutor could attempt to frame questions going to credibility in front of the jury.
Although this case differs from Shepard, Hamilton and Ireland because the trial court did not here admit the wife‘s letters under the state of mind exception to the hearsay rule, we find that the court‘s attempt to limit the jury‘s consideration of the contents of the letters was equally futile.
The cases discussed above recognize two primary dangers from the admission of hearsay declarations of the victim. First is the danger that the hearsay declarations will be regarded as true in spite of a complete absence of legally recognized indicia of their trustworthiness. For example, in both Hamilton and Talle the appellate court recognized that the victim may have had a motive to misrepresent or exaggerate the conduct of the accused. In the present case there was testimony that the accuracy of the declarant‘s perceptions and allegations might have been adversely affected by her own psychiatric problems. According to Dr. Axelrad, it was by no means certain that her reports of defendant‘s behavior were accurate.
The second danger is presented when declarations pertaining to threats of future conduct by the accused are attempted to be admitted for the limited
Both of these dangers are equally present when the hearsay is offered for the ostensibly limited purpose of undermining the veracity of an expert or other witness. The hearsay statements neither lose their inflammatory character nor gain a greater degree of trustworthiness in this situation.
B. Cross-examination of Defendant.
The prosecutor asked defendant a series of questions about references in the “To Whom” letter to alleged prior threats by defendant against his wife. The trial court sustained defense objections to five of the eight questions asked by the prosecutor. (The only questions permitted were whether defendant had read the letter, whether he had thought about anything he read there, and whether he read anything he considered untrue.) In the course of this questioning the prosecutor quoted portions of the letter recounting “many” prior threats and relating the wife‘s fear of defendant‘s future acts. Defense objections to inquiries into defendant‘s memory of these passages were sustained and defendant therefore never explained his view of these hearsay accusations. The court admonished the jury on each appropriate occasion to disregard entirely any question and answer to which an objection was sustained, and that a question in and of itself is not evidence and may be considered only as it supplies meaning to the answer.
In this manner-via a series of largely unsuccessful attempts to fashion proper questions for cross-examination of defendant-the prosecutor was able to bring the most prejudicial portions of the hearsay letters before the jury. The nature of the questions coupled with repeated defense objections must have alerted the jury to the importance of the wife‘s letter and the sensational nature of its contents. The fact that objections to the most damaging questions were sustained could not, contrary to the Attorney General‘s contention, cancel the impression thus created in the minds of the jurors. The successful objections may instead have had just the opposite effect, as
We hold that the trial court erred in permitting these questions by the prosecutor in the presence of the jury. Assuming there were some questions about the contents of the “To Whom” letter which could have tended to impeach the veracity of defendant‘s testimony,6 we note that this function could have been fulfilled without revealing to the jury those details of the letters which did not impeach the veracity of defendant‘s testimony and which were highly likely to be regarded for improper purposes. The trial court was well aware of the potential for extreme unfair prejudice to defendant if the portions of the letters alleging prior threats of violence were improperly considered. The court was also aware that the prosecutor sought to bring exactly those portions of the letters to the attention of the trier of fact and that the prosecutor had difficulty framing questions the court deemed proper. Under these circumstances, the court should have insisted that the prosecutor develop proper questions outside the jury‘s presence to avoid the possibility that improper evidence would be brought before the jury via improper questions on cross-examination.
C. Cross-examination of Expert Witnesses.
The letters were provided to defense psychiatrists as part of a package of background materials to assist in their evaluation of defendant‘s sanity. In addition to these letters the package included other letters written and received by defendant and his wife, defendant‘s account of “people involved,” investigator and police reports, transcripts of interviews with friends and relatives of defendant, the report of the autopsy physician and the reports of other medical experts. Each of the experts who testified for the defense had read the letters written by defendant‘s wife and had considered the letters along with information gleaned from their personal inter-
Because the experts had considered the letters in forming their opinions, the court ruled that the prosecutor must be permitted to cross-examine in order to test the validity of those opinions. (
During cross-examination of defendant‘s first expert witness, Dr. Weissman, the prosecutor elicited that the information the doctor had considered in assessing defendant‘s mental condition included the letters written by defendant‘s wife. Dr. Weissman stated that the most important sources of his diagnostic information were the ten investigative reports prepared by the public defender‘s investigator, two personal interviews with defendant, and the two batteries of psychological tests he had administered. The letters he said, served only to reinforce his initial conclusion that defendant suffered from a paranoid psychosis.
More specifically, Dr. Weissman testified that the letters indicated a sadomasochistic theme in the marriage with both defendant and his wife displaying an intention to hurt each other. When asked specifically about the reference to threats of violence contained in the “Dear Mother” letter, the doctor responded that these portions did not necessarily demonstrate the sadomasochistic pattern.
The prosecutor then read specific paragraphs from the “To Whom” letter and asked Dr. Weissman if they were accurate. After exploring some of the details of the marital affairs the prosecutor came back to the letters, asking about their suicidal character and the doctor‘s opinion about the wife‘s mental state. Finally, the prosecutor asked Dr. Weissman to read the “To Whom” and “Dear Mother” letters into the record, verbatim. The court permitted the reading. It was preceded and followed by limiting instructions to the jury. The letters were subsequently marked as exhibits and defendant renewed his standing objection to use of the letters in any fashion.
The second defense expert, Dr. Axelrad, testified on direct examination that he had considered the three letters written by defendant‘s wife in conjunction with other materials and four personal interviews with defendant. Dr. Axelrad found the letters useful because they indicated that defendant‘s
paranoid illness had manifested itself after the couple moved to California, and portions of the “To Whom” letter described the paranoid delusion from which defendant suffered. The letters also showed that defendant‘s wife was very supportive of his illness. Dr. Axelrad further stated that defendant‘s wife had been the “best observer” of defendant‘s behavior.
When defense counsel specifically asked Dr. Axelrad about the allegations of prior threats, the doctor stressed that there was no way to evaluate the truth of the allegations, especially in light of the indications that the victim, too, suffered some mental problems. Assuming that they were true, the doctor stated they would be consistent with the diagnosis of paranoia and his opinion that the killings occurred during a brief reactive psychosis. Dr. Axelrad stressed that defendant did not have a history of acting on such threats and opined that the letters did not tend to shed light on the issues of premeditation and deliberation at the time of the killings.7
On cross-examination the prosecutor confronted Dr. Axelrad with the allegations of prior threats, the victim‘s statement of fear about the future, and defendant‘s admission that he had pointed a gun at his wife on one occasion prior to the shootings. None of this swayed Dr. Axelrad from his opinion that defendant had been insane at the time of the killings.
Dr. Markman testified that during a psychiatric interview defendant had admitted pointing a gun at his wife‘s head during an argument several years prior to the killings. On cross-examination the prosecutor asked whether Dr. Markman was aware that the “To Whom” letter alleged defendant had threatened his wife twice before and whether he had confronted defendant with this allegation. The doctor was aware of the allegation but had not confronted defendant with it. During the People‘s rebuttal case, Dr. French testified that he was aware of the allegations of prior threats contained in the “To Whom” and other letters. To him these allegations indicated that acts of violence were not foreign to the marital relationship between defendant and his wife.
On direct examination an expert may testify to the reasons for his or her opinion and the matter upon which it is based, unless he or she is precluded by law from using such reasons or matter. (
Two Courts of Appeal have considered whether an expert may reasonably rely on inadmissible lay-person hearsay in forming a psychiatric opinion. In Board of Education v. Haas (1978) 82 Cal.App.3d 278 [147 Cal.Rptr. 88] a schoolteacher was suspended after a finding by a panel of three psychiatrists that she was sufficiently impaired by mental illness to render her incompetent to teach. The schoolteacher attacked the finding against her on the basis that a personnel file containing inadmissible hearsay was used, in part, by the psychiatrists in forming their opinions. The file contained information gathered from students, school administrators and fellow teachers. She contended that the information in the file was generally unreliable because it was compiled by lay-persons and was not evaluated for accuracy.
Holding that the trial court had properly admitted the testimony, the Court of Appeal stated: “In the case at bench the trial court properly exercised its discretion in admitting the expert opinion testimony. Granting that the information in the files did not meet strict standards of reliability, it nevertheless helped the psychiatrists to determine how they would conduct the interview, and what areas they would explore. They testified that the letters and other memoranda in the file indicated that Ms. Haas had serious problems at work which included delusions about how others were treating her. Furthermore, each psychiatrist stated clearly that no opinion had been formed until after the interview had confirmed his suspicions. It is apparent that the interview just as easily could have dispelled those suspicions. The trial court properly determined that the information in the personnel file was of a type upon which experts were entitled to place reasonable reliance.
Board of Trustees v. Porini (1968) 263 Cal.App.2d 784 [70 Cal.Rptr. 73], came to a different conclusion about the use of hearsay. In Porini, a school board suspended a teacher on the basis that she was incompetent due to mental disability. A psychiatrist testified at the trial of the matter that mental disorders prevented the teacher from completing her job. He based his opinion on a personal interview with the teacher along with a tape recording, some letters, and a voluminous dossier of “other material.” Although he never characterized the “other material,” the psychiatrist testified that the various materials helped him assess the background of the teacher in order to ask her questions.
Notes
Consider the immigration statistics. Between 1931 and 1960, Europe provided 81 percent of the immigrant pool, while Latin America, excluding the Caribbean countries, provided only 15 percent. (Select Com. on Immigration and Refugee Policy, U.S. Imm. & the Nat. Interest: Final Rep., p. 95 (1981) [hereafter Final Report] (All percentages are computed from data reported in the cited reports).) Between 1961 and 1970, immigrants from Europe represented only 34 percent of the total immigrant pool, while the Latin American proportion increased to 25 percent. (U.S. Dept. Justice, Imm. & Nat. Service, INS Ann. Rep., table 13, p. 88 (1976) [hereafter 1976 Annual Report].) In 1979, due in part to the refugee flows, immigrants from Asia increased to 41 percent of the total pool, while immigrants from Europe decreased to 13 percent. Immigrants from Latin America diminished only slightly to 23 percent. (Final Report, op. cit. supra, at p. 95; U.S. Dept. Justice, Imm. & Nat. Service, INS Ann. Rep., table 1A, p. 2 (1979) [hereafter 1979 Annual Report].) Since at least five years’ residence is required for naturalization, it appears that the present noncitizen pool is predominantly Asian and Latin American.
Next, examine the naturalization statistics. Resident aliens from Europe comprised 25 percent of all persons naturalized in 1979, while resident aliens from Latin America comprised only 14 percent. (1979 Annual Report, table 39, p. 88.) A comparison of immigration statistics with naturalization statistics for these areas also indicates that European immigrants naturalize in greater proportions than do their Latin American counterparts. (Compare 1976 Annual Report, table 14, p. 89 with 1979 Annual Report, table 39, p. 88.) Moreover, naturalization rates differ by country of origin. Naturalization rates for immigrants from Mexico is particularly low. For example, between 1972 and 1979, approximately 12 percent of persons who had immigrated from Mexico became citizens. (Ibid.) This figure is especially significant given that a large percentage of this state‘s resident aliens are from Mexico. Thus, it is manifest that exclusion of noncitizens adversely affects the proportion of Latin Americans, especially those of Mexican origin, on California juries.
