How to access the above link?
Return to nccourts.org
Return to the Opinions Page
1. Appeal and Error_issue not argued in brief_deemed abandoned
The denial of a motion to continue was deemed abandoned on appeal where it was not argued
in the brief. Moreover, the court had granted a three month continuance and did not abuse its
discretion by refusing another.
2. Criminal Law_diminished capacity defense_information required to be provided
The trial erred in entering a sanction totally excluding evidence of defendant's mental health
experts in a first-degree murder prosecution, and this error was prejudicial. A defendant must
provide notice of intent to offer a defense of insanity or diminished capacity, and must provide
specific information about the nature and extent of the insanity defense, but is not required to provide
specific information about diminished capacity.
3. Criminal Law_discovery_production of mental health reports_no violation
The absence of a timely written order requiring production of the reports of defendant's
mental health experts in a murder prosecution belies the trial court's conclusion of law that defendant
violated a discovery order.
4. Criminal Law_discovery_mental health defense--cooperation of defense experts with
State experts
The trial court acted under a misapprehension of the law regarding the role of and the
requirements of defense expert witnesses when it found that defense experts in a murder case
intentionally and inexcusably refused to cooperate with Dorothea Dix staff and excluded his mental
health defense. The only responsibility imposed by N.C.G.S. § 15A-905(c)(2) is to prepare a report,
which must be supplied to the State; nothing requires that defendant's experts supply other
information or records directly to the State, much to less a state agency.
Appeal by defendant from judgment entered 8 December 2004 by
Judge W. Erwin Spainhour in Rowan County Superior Court. Heard in
the Court of Appeals 19 April 2006.
Attorney General Roy A. Cooper, III, by Special Deputy
Attorney General Norma S. Harrell, for the State.
Glover & Petersen, P.A., by James R. Glover, for defendant-
appellant.
JACKSON, Judge.
In June 2003, Marion Preston Gillespie (defendant) and Linda
Faye Smith Patterson (the victim) resided together and were in a
dating relationship. During that time, defendant was unemployed,
battling liver disease and diabetes, and taking Peg Interferon, a
medication for hepatitis C with severe side effects.
(See footnote 1)
Early in the morning on 15 June 2003, while at their
residence, defendant and the victim began arguing about money.
During the argument, the victim grabbed a knife from the top of the
commode in the bathroom, and she charged at defendant. Defendant
took the knife from the victim and began cutting her with it.
At approximately 4:20 a.m., defendant arrived at the Rowan
County Sheriff's Department in bloodstained clothes. Defendantapproached Deputy Bradley Bebber (Deputy Bebber) and told Deputy
Bebber that he had been in a fight with his girlfriend at 640 Knox
School Road and that he wanted to turn himself in. Deputy Bebber
called 911 and reported the incident and the address defendant
provided.
In response to the 911 dispatch, Officer Gerald Jones
(Officer Jones) arrived at 640 Knox School Road. Officer Jones
entered the residence and found the deceased victim lying on her
side in the bathtub. Officer Jones testified at trial that there
was a lot of blood in the bathtub and on the wall area around the
bathtub. Officer Jones found a knife on the edge of the bathtub.
Officers escorted defendant to the sheriff's department, and
once inside, officers advised defendant of his Miranda rights.
Defendant then consented to a search of his car and his residence
at 640 Knox School Road. After it was confirmed that the victim
was deceased, defendant was charged with murder. Defendant
requested to speak with Sheriff George Wilhelm (Sheriff Wilhelm).
Sheriff Wilhelm re-read defendant his rights, and defendant waived
his rights and gave a statement.
On 23 June 2003, a grand jury indicted defendant for murder.
Initially, the case was to be tried capitally, but on 1 March 2004,
the State elected to try the case non-capitally. On 6 July 2004,
the trial court scheduled defendant's trial for 29 November 2004.
On 14 October 2004, pursuant to North Carolina General
Statutes, section 15A-959, defendant provided the State with notice
of his intent to introduce a mental health defense _ specifically,insanity and diminished capacity. On 21 October 2004, the trial
court committed defendant to Dorothea Dix Hospital and ordered
Dorothea Dix Hospital to examine defendant's mental capacity to
stand trial and his mental health at the time of the offense. The
trial court further ordered defendant to provide notice of
defenses, expert witnesses, and a witness list to the State and
also to produce documentation for the expert witnesses by 15
November 2004. The trial court, however, failed to include this
date in its written order. On 17 November 2004, defendant filed a
motion for continuance on the bases that defense counsel continued
to receive discovery documents from the district attorney, neither
the State nor defense counsel had received any reports from
Dorothea Dix Hospital or any other experts, and defense counsel
needed defendant to be returned from Dorothea Dix Hospital to Rowan
County Detention Center to help prepare defendant's case for trial.
On 23 November 2004, defendant filed another motion for continuance
because defendant still had not been returned to Rowan County
Detention Center and defense counsel continued to receive discovery
from the district attorney's office. The trial court denied the
motion for continuance on 29 November 2004.
On 22 November 2004, Charles Vance, M.D., Ph.D., Forensic
Psychiatrist with Dorothea Dix Hospital, sent a letter to the Rowan
County Clerk of Court stating that [t]he medical staff of the
Forensic Psychiatry Division has completed their forensic
evaluation and observation of [defendant] and found him to be
capable to proceed to trial. However, neither Dr. Charles Vancenor the staff at Dorothea Dix Hospital provided a report of
defendant's mental health at the time of the offense. On 24
November 2004, defense counsel delivered defendant's psychological
evaluation prepared by Dr. Noble to the State. On 25 November
2004, defendant's psychiatric evaluation prepared by Dr. Strahl was
made available to the State, and defense counsel delivered it to
the State on 29 November 2004.
On 29 November 2004, the trial court entered an order
prohibiting defendant from introducing evidence at trial from Dr.
Noble or Dr. Strahl concerning a mental health defense. Although
defense counsel attempted to make an offer of proof of Dr. Noble's
and Dr. Strahl's prohibited testimony before opening statements at
trial, the trial court allowed voir dire for Dr. Noble and Dr.
Strahl after the close of the evidence. The voir dire testimony
provided that: (1) defendant's taking Peg Interferon caused
defendant to become severely depressed; (2) at the time of the
attack, defendant did not know right from wrong; (3) he did not
premeditate or deliberate before the killing; (4) the killing was
without malice; and (5) defendant was involuntarily intoxicated
during the attack. On 8 December 2004, the jury returned a
verdict, finding defendant guilty of first-degree murder. The
trial court sentenced defendant to life imprisonment without
parole. Defendant now appeals to this Court.
[1] We note first that defendant has not appealed the denial
of his motions to continue, even though defendant assigned as error
the court's denial of his motion for a continuance to allow timefor the mental health experts and defendant's counsel to obtain all
necessary information. Our Supreme Court has held that [a] motion
for a continuance is ordinarily addressed to the sound discretion
of the trial court. Therefore, the ruling is not reversible on
appeal absent an abuse of discretion. State v. Smith, 310 N.C.
108, 111, 310 S.E.2d 320, 323 (1984). In the instant case, defense
counsel informed the State that he could not be ready for trial by
August, and accordingly, the trial court scheduled the trial for 29
November 2004. The court thus granted defense counsel a three-
month continuance, and based on the record, we cannot find that the
trial court abused its discretion in refusing to grant any further
continuances. Regardless, defendant has not argued this issue in
his brief, and accordingly, this assignment of error is deemed
abandoned. See N.C. R. App. P. 28(b)(6) (2006).
[2] On appeal, defendant argues that the trial court erred in
precluding the testimony of Dr. Noble and Dr. Strahl as a sanction
for purported discovery violations and that, consequently, the
trial court deprived defendant of his due process right to present
a defense pursuant to Taylor v. Illinois, 484 U.S. 400, 98 L. Ed.
2d 798 (1988). Much as in Taylor, defendant has asserted only a
due process violation, but nevertheless, his reliance on the Sixth
Amendment and the Compulsory Process Clause is evident from his
citations and legal arguments. See Taylor, 484 U.S. at 406 n.9, 98
L. Ed. 2d at 809. The Supreme Court explained in Taylor that its
broad interpretation of the Compulsory Process Clause is reflected
in contemporaneous state constitutional provisions, id. at 408, 98L. Ed. 2d at 809, and the Court referenced the North Carolina
Constitution, noting that North Carolina combined the right to put
on a defense with the right of confrontation, guaranteeing the
right 'to confront the accusers and witnesses with other
testimony.' Id. at n.13, 98 L. Ed. 2d at 809 (quoting N.C. Const.
art. I, § 23). Accordingly, we review defendant's constitutional
arguments on Sixth Amendment and state constitutional grounds.
North Carolina General Statutes, section 15A-910 provides for
sanctions for discovery violations. See N.C. Gen. Stat. . 15A-910
(2005). Specifically, if the trial court determines that a party
has failed to comply with the statutory provisions governing
discovery or an order entered pursuant to the discovery statutes,
the court may exercise its contempt powers and/or:
(1) Order the party to permit the discovery
or inspection, or
(2) Grant a continuance or recess, or
(3) Prohibit the party from introducing
evidence not disclosed, or
(3a) Declare a mistrial, or
(3b) Dismiss the charge, with our without
prejudice, or
(4) Enter other appropriate orders.
N.C. Gen. Stat. . 15A-910(a) (2005).
It is well-established that [t]he choice of sanction, if any,
rests within the [sound] discretion of the trial court. State v.
Browning, 321 N.C. 535, 539, 364 S.E.2d 376, 378 (1988). A
decision about discovery sanctions will be reversed only for an
abuse of discretion, which occurs when the trial court's ruling is
so arbitrary that it could not have been the result of a reasoneddecision. State v. Moore, 152 N.C. App. 156, 161, 566 S.E.2d 713,
716 (2002) (citations and internal quotation marks omitted).
The United States Supreme Court addressed the issue of whether
the refusal to allow an undisclosed witness to testify violated the
petitioner's constitutional right to obtain the testimony of
favorable witnesses in Taylor v. Illinois, 484 U.S. 400, 98 L. Ed.
2d 798. In Taylor, the United States Supreme Court stated that
'criminal defendants have the right to the government's assistance
in compelling the attendance of favorable witnesses at trial and
the right to put before a jury evidence that might influence the
determination of guilt.' Taylor, 484 U.S. at 408, 98 L. Ed. 2d at
810 (quoting Pennsylvania v. Ritchie, 480 U.S. 39, 56, 94 L. Ed. 2d
40, 56 (1987)). Few rights are more fundamental than that of an
accused to present witnesses in his own defense. Indeed, this
right is an essential attribute of the adversary system itself.
Id. (internal citation omitted).
The Court reasoned that [i]n order to reject petitioner's
argument that preclusion is never a permissible sanction for a
discovery violation it is neither necessary nor appropriate for us
to attempt to draft a comprehensive set of standards to guide the
exercise of discretion in every possible case. Taylor, 484 U.S. at
414, 98 L. Ed. 2d at 814 (emphasis in original). The Court further
noted that [i]t is elementary, of course, that a trial court may
not ignore the fundamental character of the defendant's right to
offer the testimony of witnesses in his favor. But the mere
invocation of that right cannot automatically and invariablyoutweigh countervailing public interests. Id. at 414, 98 L. Ed. 2d
at 814.
The First Circuit, interpreting Taylor, stated that
[a]lthough the Taylor Court declined to cast a
mechanical standard to govern all possible
cases, it established that, as a general
matter, the trial judge (in deciding which
sanction to impose) must weigh the defendant's
right to compulsory process against the
countervailing public interests: (1) the
integrity of the adversary process, (2) the
interest in the fair and efficient
administration of justice, and (3) the
potential prejudice to the truth-determining
function of the trial process.
Chappee v. Vose, 843 F.2d 25, 29 (1st Cir. 1988) (citing Taylor,
484 U.S. at 414.15, 98 L. Ed. 2d at 814). The balancing test does
not end there, however, as [t]he judge should also factor into the
mix the nature of the explanation given for the party's failure
seasonably to abide by the discovery request, the willfulness vel
non of the violation, the relative simplicity of compliance, and
whether or not some unfair tactical advantage has been sought. Id.
(citing Taylor, 484 U.S. at 415.16, 98 L. Ed. 2d at 814.15).
Ultimately, [a]pplication of the Taylor factors is a legal
question which we review de novo. United States v. Levy-Cordero,
67 F.3d 1002, 1013 (1st Cir. 1995), cert. denied sub nom. Forty-
Estremera v. United States, 517 U.S. 1162, 134 L. Ed. 2d 659
(1996).
First, defendant argues that the trial court erred by
excluding his mental health defense via Conclusion of Law number 1,
which states:1. The notice provided by the defendant to the
State on 14 October 2004 that the defendant
intended to introduce a mental health defense
violated the provisions of N.C. Gen. Stat. .
905(c)(1)(b) in that it did not contain
specific information as to the nature and
extent of the defense.
North Carolina General Statutes, section 15A-905 provides that a
defendant must provide the State with notice of his intent to offer
at trial, inter alia, the defense of insanity or diminished
capacity. N.C. Gen. Stat. . 15A-905(c)(1) (2005). In addition, a
defendant must provide specific information with respect to the
nature and extent of the defense of insanity. See N.C. Gen. Stat.
. 15A-905(c)(1)(b) (2005). The statute, however, does not require
a defendant to provide specific information with respect to
diminished capacity.
Here, defendant correctly argued that he was not required to
provide specific information with respect to diminished capacity,
and we hold that the trial court erred in entering a finding of
fact and conclusion of law that defendant failed to provide such
specific information, because defendant was not required pursuant
to any court order or discovery rule to provide specific
information with regard to diminished capacity.
[3] Next, defendant asserts that the trial court erred by
excluding his mental health defense when it entered Conclusions of
Law numbers 2 and 3, which state:
2. The failure of the defendant to deliver to
the State, in a timely manner, the reports of
mental health experts whom he expects to call
as witnesses at trial violated the provisions
of N.C. Gen. Stat. . 15A-905 and violated the
Order of this court entered on 21 October 2004in response to the State's Motion for
Discovery.
3. This court should enter an Order pursuant
to N.C. Gen. Stat. . 15A-910(3) prohibiting
the defendant from introducing evidence at
trial as to a mental health defense using the
testimony of Drs. Stahl [sic] and Noble in
that such evidence was not disclosed to the
State in a timely manner, but instead was
disclosed at a time so as to effectively
prohibit the State from evaluating such
evidence and preparing rebuttal evidence.
The trial court stated on 21 October 2004 that expert witness
reports shall be submitted and all that to be complied with by
November 15. Although the requirement for defense counsel to
produce the reports by 15 November 2004 was stated during the
hearing, it is well-established that '[e]ntry' of an order occurs
when it is reduced to writing, signed by the trial court, and filed
with the clerk of court. State v. Gary, 132 N.C. App. 40, 42, 510
S.E.2d 387, 388, cert. denied, 350 N.C. 312, 535 S.E.2d 35 (1999);
see also S. Furniture Hardware, Inc. v. Branch Banking & Trust Co.,
136 N.C. App. 695, 702, 526 S.E.2d 197, 201 (2000) (When an oral
order is not reduced to writing, it is non-existent . . . .
(citing Gary, 132 N.C. App. at 42, 510 S.E.2d at 388)). In
addition to its oral order, the trial court endorsed the State's
motion and noted that the motion was Allowed. 21 Oct 2004. The
motion, however, did not identify any deadline for producing the
reports. Similarly, the written order granting the motion failed
to require production of the reports by 15 November 2004 or any
other deadline. In fact, the written Order for Defendant to
Provide Notice of Defenses, Expert Witnesses and Witness List wasnot signed by the trial court and filed with the clerk of court
until 8 December 2004, ten days after the trial court ordered the
sanction at the heart of the instant appeal. The absence of a
timely written order requiring production of the reports of
defendant's mental health experts belies the trial court's
conclusion of law that defendant violated the Order of this court
entered on 21 October 2004.
Furthermore, the trial court ordered on 21 October 2004 for
the State to provide an examination of both defendant's mental
health at the time of the offense and his mental capacity for
trial. The State's report by staff at Dorothea Dix Hospital, which
provided that defendant was competent to stand trial, was not
written until 22 November 2004, and therefore, the State similarly
failed to produce its reports by 15 November 2004. Subsequently,
Dr. Strahl's psychiatric evaluation of defendant was available 25
November 2004 and delivered 29 November 2004, and Dr. Noble's
psychological evaluation of defendant was delivered 24 November
2004. On 29 November 2004, the trial date, both defense counsel
and the prosecutor argued that Dr. Noble, Dr. Strahl, and the staff
at Dorothea Dix Hospital did not cooperate with each other and did
not provide or receive sufficient and complete information to form
an opinion as to defendant's mental health at the time of the
attack. We hold that defendant did not violate a court order
requiring the production of the mental health experts' opinions
within a specified time, and accordingly, we hold that the trial
court erred in entering Conclusions of Law numbers 2 and 3. [4] Finally, defendant argues that the trial court erred by
excluding his mental health defense pursuant to Conclusion of Law
number 4, which states:
4. This court has carefully considered the
appropriate action to take regarding this
matter, including the alternatives specified
in N.C. Gen. Stat. . 15A-910, and has
concluded that the following is the only
reasonable and appropriate ruling under the
circumstances found by the court in this case.
The court is mindful of the fact that the
contempt powers of the court are available,
but the remedy hereinafter ordered is found to
be more appropriate. Inasmush as the case
previously was continued from a previous term
of court to accommodate the defendant, and a
further delay in trial is not in the best
interests of justice, the court has concluded
that the case should not be continued again.
The defendant should not be permitted to
compel the court to continue the case from the
29 November 2004 session because of the
failure of the defendant to obey the discovery
statutes and the Order of this court of 21
October 2004 and the intentional, inexcusable
conduct of the defendant's mental health
witnesses. The remaining remedies set forth
in N.C. Gen. Stat. . 15A-910 have been
considered by the court and rejected as
inappropriate.
(Emphasis added). An essential basis of the trial court's ruling
was its finding that [t]he refusal of the defendant's mental
health expert witnesses to cooperate with the staff at Dorothea Dix
Hospital in fully evaluating the defendant's mental condition was
inexcusable, intentional and without just cause. The record shows
that Dorothea Dix staff requested that the defense experts produce
not only their own medical records concerning defendant, but also
records of other health care providers that were purportedly in the
experts' possession. Although the trial court appeared to acknowledge that federal
law limited the experts' ability to comply with the Dix staff's
requests for records obtained from third party providers, it
reasoned that defendant's expert witnesses acted inappropriately by
failing to obtain a written consent from defendant that would have
authorized them to comply with the Dix staff's requests. The
court's order condemning the experts, however, essentially mandates
that defendant's expert witnesses seek out and obtain the necessary
consent and then supply records directly to Dorothea Dix staff.
There is no authority to support such an order.
North Carolina General Statutes, section 15A-905 requires that
the trial court order the defendant, upon motion of the State, to
make certain types of disclosures if the court has granted the
defendant discovery pursuant to section 15A-903. N.C. Gen. Stat. .
15A-905 (2005). Specifically, section 15A-905(b) requires the
court to
order the defendant to permit the State to
inspect and copy or photograph results or
reports of physical or mental examinations . .
., or copies thereof, within the possession
and control of the defendant which the
defendant intends to introduce in evidence at
the trial or which were prepared by a witness
whom the defendant intends to call at the
trial, when the results or reports relate to
his testimony.
N.C. Gen. Stat. . 15A-905(b) (2005) (emphases added). Section
905(c) further requires the trial court to compel the defendant to
[g]ive notice to the State of any expert
witnesses that the defendant reasonably
expects to call as a witness at trial. Each
such witness shall prepare, and the defendant
shall furnish to the State, a report of theresults of the examinations or tests conducted
by the expert.
N.C. Gen. Stat. . 15A-905(c)(2) (2005) (emphasis added). Thus, the
only responsibility imposed by this statute on an expert witness is
to prepare a report. This report, in turn, must be supplied by the
defendant to the State. Nothing in this or any other statute
requires that a defendant's expert witness supply any other
information or records purportedly relied upon by defendant's
expert witnesses directly to the State, much less a state agency
such as Dorothea Dix.
Furthermore, there is no authority for sanctioning defendant
or chastising defendant's experts for failing to comply with
Dorothea Dix staff's requests, at least in the absence of a court
order. Our Supreme Court has explained the limited rights of
discovery in criminal cases and has held that those rights cannot
be expanded pre-trial by a trial court. See, e.g., State v. Warren,
347 N.C. 309, 324, 492 S.E.2d 609, 617 (1997) (Although North
Carolina's discovery statutes permit the State to discover some of
a defendant's documents, they do not authorize discovery of the
[nontestifying expert's] report at issue.). Regardless, the trial
court never ordered defendant or defendant's expert witnesses to
produce the records or any other information to the State or
Dorothea Dix. The only order relating to medical records was
addressed directly to third party health care providers and
ordered that the following medical providers shall provide copies
of [their] medical records to both the district attorney and
defense counsel. If members of the Dorothea Dix staff were unableto evaluate defendant's mental state at the time of the offense
without reviewing additional medical records, they should have
informed the trial court and obtained an order requiring delivery
of those records. There is no basis, however, for the Dix staff to
blame its inability to reach a conclusion on defendant's state of
mind at the time of the offense on defendant's expert witnesses'
failing to cooperate with the Dix staff by failing to deliver
privileged third party medical records.
Accordingly, in making its finding that the defense experts
intentionally and inexcusably refused to cooperate with Dorothea
Dix staff, the trial court operated under a misapprehension of the
law regarding the role of and requirements upon defense expert
witnesses. No statutory or caselaw requires defense expert
witnesses to cooperate with the State or state agencies, such as
Dorothea Dix Hospital, and, indeed, the State acknowledged as much
during oral argument. Furthermore, requiring defense experts to
respond to requests of Dorothea Dix staff, a state agency, risks
improper government interference with the defense. In sum, we have
found no case or statute requiring such cooperation, and we decline
to impose such a requirement in the instant case. The trial
court's conclusion, therefore, was entered in error.
The adversary process could not function effectively without
adherence to rules of procedure that govern the orderly
presentation of facts and arguments to provide each party with a
fair opportunity to assemble and submit evidence to contradict or
explain the opponent's case. Taylor, 484 U.S. at 410.11, 98 L. Ed.2d at 811. [J]ustice is best served by a system that reduces
surprise at trial by giving both parties the maximum amount of
information, State v. Cromlish, 780 A.2d 486, 489 (N.H. 2001), and
this Court recognizes that [t]he trial process would be a shambles
if either party had an absolute right to control the time and
content of his witnesses' testimony. Taylor, 484 U.S. at 411, 98
L. Ed. 2d at 811. Nevertheless, it must be remembered that the
purpose of discovery under our statutes is to protect the defendant
from unfair surprise by the introduction of evidence he cannot
anticipate. State v. Payne, 327 N.C. 194, 202, 394 S.E.2d 158, 162
(1990) (emphasis added), cert. denied, 498 U.S. 1092, 112 L. Ed. 2d
1062 (1991); accord State v. Thomas, 291 N.C. 687, 692, 231 S.E.2d
585, 588 (1977) ([T]he rules of discovery contained in the
Criminal Procedure Act were enacted by the General Assembly to
ensure, insofar as possible, that defendants receive a fair trial
and not be taken by surprise.).
Such legislative intent, however, does not give defendants
carte blanche to violate discovery orders, but rather, defendants
and defense counsel both must act in good faith, just as is
required of their counterparts representing the State. See State v.
McClintick, 315 N.C. 649, 662, 340 S.E.2d 41, 49 (1986) (noting
that discretionary rulings of the trial court will not be
disturbed on the issue of failure to make discovery absent a
showing of bad faith by the state in its noncompliance with the
discovery requirements.). Analyzing the case sub judice within the framework of the
Taylor factors, the record lacks evidence that defendant's omission
was willful or motivated by a desire to gain a tactical advantage
because defendant's mental health experts continuously tried to
obtain information to complete their reports. Additionally, the
record indicates that the State also did not comply with the 15
November 2004 deadline provided in the trial court's 21 October
2004 oral order, and thus, the State cannot argue that it was
prejudiced by the delay in receiving the reports of defendant's
mental health experts. Because of the reasons discussed supra, the
trial court improperly denied defendant's Sixth Amendment and state
constitutional right to obtain the testimony of favorable witnesses
by prohibiting his mental health defense.
Our decision in this case is in accord with other
jurisdictions that have addressed the Taylor decision and the
relationship between discovery sanctions and a defendant's
constitutional right to present a defense. For example, under
similar facts, the Court of Appeals of Arizona reversed a
defendant's convictions. See State v. Delgado, 848 P.2d 337 (Ariz.
Ct. App. 1993). There, the trial court precluded a defense expert
from testifying on the ground that the expert was identified only
a few days prior to trial. See id. at 341. Noting the severity of
the sanction, the Arizona Court of Appeals stated that
[t]he trial court could have granted a brief
continuance so the state could prepare for
cross-examination of [the defense expert] and,
if necessary, continue the trial . . . .
Although there would have been some prejudice
to the state in permitting the witness totestify, we do not think that prejudice to the
state outweighs defendant's sixth amendment
right to present a defense. This is
particularly true in this case since defendant
had the burden of proving insanity by clear
and convincing evidence.
Id. at 345 (emphasis added). The Arizona court further noted that
although [s]uch an error is subject to a harmless error analysis,
the expert's testimony was vital in establishing defendant's
alleged insanity at the time of the crime, and thus, the error was
not harmless. Id.; compare id. (finding the error was not
harmless), and State v. Harris, 979 P.2d 1201, 1205 (Idaho 1999)
(same), with United States v. Harvey, 117 F.3d 1044, 1048 (7th Cir.
1997) (finding the error was harmless), and United States v.
Mizell, 88 F.3d 288, 295 (5th Cir.) (same), cert. denied, 519 U.S.
1046, 136 L. Ed. 2d 543 (1996).
In the present case, the record is devoid of any indication
that the omission was willful or done to gain a tactical advantage,
and any prejudice to the State in contesting the expert testimony
of Dr. Strahl and Dr. Noble was outweighed by the prejudice to
defendant, particularly considering defendant had the burden of
proving his diminished capacity and insanity defenses. When
experts are precluded from testifying, alternative sanctions would
be 'adequate and appropriate in most cases.' Michigan v. Lucas,
500 U.S. 145, 152, 114 L. Ed. 2d 205, 214 (1991) (quoting Taylor,
484 U.S. at 413, 98 L. Ed. 2d at 813); see also White v. State, 973
P.2d 306, 311 (Okla. Crim. App. 1998) (Where the discovery
violation is not willful, blatant or calculated gamesmanship,
alternative sanctions are adequate and appropriate.). In the case
sub judice, the trial court had other viable sanctions, and,indeed, granting a continuance was an obvious, reasonable, and
less drastic alternative. People v. Richards, 795 P.2d 1343, 1346
(Colo. Ct. App. 1989).
Accordingly, the trial court erred in entering each of its
conclusions of law under the Taylor factors and the trial court's
error was not harmless. We hold on de novo review that the trial
court acted under a misapprehension of the law by entering a
sanction to totally exclude evidence of defendant's mental health
experts. We also hold that the sanction prohibiting defendant's
mental health defense was not harmless and is reversed. Defendant
is entitled to and is awarded a new trial.
NEW TRIAL.
Judges TYSON and GEER concur.
*** Converted from WordPerfect ***