No. 87SA49Supreme Court of Colorado.
Decided May 26, 1987.
Original Proceeding
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Larry Pozner Associates, P.C., Shelley Gilman, for Petitioner.
Norman S. Early, Jr., District Attorney, Second Judicial District, Donna Skinner Reed, Deputy District Attorney, for Respondents.
Richard F. Hennessey, Ted D. Gardenswartz, for Amici Curiae Colorado Psychiatric Society The Denver Psychoanalytic Society.
Charles G. Michaels, for Amicus Curiae Civil Liberties Union Foundation of Colo., Inc.
Michael L. Bender, Mary J. Mullarkey, for Amicus Curiae National Association of Criminal Defense Lawyers.
Richard A. Hostetler, for Amicus Curiae Colorado Criminal Defense Bar.
EN BANC
JUSTICE ERICKSON delivered the Opinion of the Court.
[1] The respondent district court issued a contempt citation against the petitioner, Frederick Miller, when he refused to answer questions relating to murder charges against the defendant, Lawrence Aoki. We issued a rule to show cause, and now discharge the rule in part and make the rule absolute in part. I.
[2] In February 1986, the defendant, Lawrence Aoki, was charged in the Denver District Court with two counts of murder in the first degree, section 18-3-102, 8B C.R.S. (1986), and two counts of mandatory sentence for a violent crime, section 16-11-309, 8B C.R.S. (1986). The charges arose out of the defendant’s commission of two homicides on February 6, 1986, while he was allegedly suffering from a cocaine-induced mental disorder. The Colorado State Public Defender’s Office was appointed to represent Aoki.
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over the objection of defense counsel. Defense counsel thereafter filed a “Petition for Relief Pursuant to [C.A.R.] 21,” and sought an order prohibiting endorsement of Dr. Miller as a prosecution witness. We denied the petition.
[5] On September 15, 1986, trial began on the issue of Aoki’s sanity at the time of the commission of the offense. The district court denied Dr. Miller’s motion to quash the prosecution subpoena, and Dr. Miller sought relief in this court pursuant to C.A.R. 21. We issued a rule to show cause, but ultimately discharged the rule pursuant to a motion filed by the prosecution. In the motion, the prosecution advised this court that Aoki’s sanity trial had proceeded to a verdict without the testimony of Dr. Miller, and that the jury found the defendant sane. The prosecution therefore claimed that the “issue as to quashal [sic] of subpoenas [was] moot as there [was] no longer a case or controversy.” [6] After we discharged the rule to show cause, the defendant entered a plea of not guilty by reason of impaired mental condition, section 16-8-103.5, 8A C.R.S. (1986). The prosecution again subpoenaed Dr. Miller to testify at a pretrial hearing on a motion to suppress and at the guilt phase of Aoki’s trial. The purpose of the prosecution’s intended examination was to establish the defendant’s culpable mental state at the time of the commission of the crimes, and the voluntariness of incriminating statements made by the defendant after his arrest. Dr. Miller again moved to quash the subpoena, and the motion was denied by the trial court. Dr. Miller petitioned this court for an order requiring the district court to quash the subpoena. We denied the petition on January 15, 1987. [7] On February 9, 1987, a hearing was held on Dr. Miller’s refusal to testify. The prosecution called Dr. Miller as a witness, and, in response to the prosecution’s inquiry as to what Aoki told him regarding “the events of February 6, 1986, particularly as to [Aoki’s] mental condition at that time,” Dr. Miller declined “to answer any further questions about [his] examination of Mr. Aoki . . . .” The district court entered an order of contempt against Dr. Miller, and imposed a fine of $100 per day until he agreed to testify. The district court later stayed execution of the fine pending resolution of this original proceeding. [8] Dr. Miller now petitions this court for an order under C.A.R. 21 compelling the district court to quash the subpoena of Dr. Miller and to vacate the contempt citation. We conclude that Dr. Miller could not be compelled at the February 9, 1987 hearing to disclose confidential statements made to him by the defendant, but hold that Dr. Miller’s petition for an order requiring the court to quash the subpoena is premature. II.
[9] We have never considered whether, absent a waiver, a defendant’s disclosures to a defense-retained psychiatrist are protected by the attorney-client privilege. However, a majority of the courts that have addressed the question have held that such communications are protected from disclosure either under the attorney-client privilege or the sixth amendment to the United States Constitution. See, e.g., United States v. Alvarez, 519 F.2d 1036 (3d Cir. 1975); United States ex rel. Edney v. Smith, 425 F. Supp. 1038 (E.D.N.Y. 1976); Houston v. State, 602 P.2d 784
(Alaska 1979); People v. Lines, 13 Cal.3d 500, 119 Cal.Rptr. 225, 531 P.2d 793 (1975)[1] ; State v. Toste, 178 Conn. 626, 424 A.2d 293
(1979); State v. Pratt, 284 Md. 516, 398 A.2d 421 (1979); People v. Hilliker, 29 Mich. App. 543, 185 N.W.2d 831 (1971);
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State v. Kociolek, 23 N.J. 400, 120 A.2d 417 (1957); Ballew v. State, 640 S.W.2d 237 (Tex.Crim.App. 1980). But see, e.g., Noggle v. Marshall, 706 F.2d 1408 (6th Cir. 1983), cert. denied, 465 U.S. 1010 (1983).
[10] Colorado’s privilege statute, section 13-90-107(1)(b), 6 C.R.S. (1986 Supp.), provides: [11] “An attorney shall not be examined without the consent of his client as to any communication made by the client to him or his advice given thereon in the course of professional employment; nor shall an attorney’s secretary, paralegal, legal assistant, stenographer, or clerk be examined without the consent of his employer concerning any fact, the knowledge of which he has acquired in such capacity.” [12] The attorney-client privilege extends to confidential communications by or to the client in the course of gaining counsel, advice, or direction with respect to the client’s rights or obligations.[2] Losavio v. District Court, 188 Colo. 127, 133, 533 P.2d 32, 35 (1975) Denver Tramway Co. v. Owens, 20 Colo. 107, 128, 36 P. 848, 855 (1894). Although section 13-90-107(1)(b) does not by its terms protect disclosures to a defense-retained psychiatrist, we have held that the privilege may be applied to communications between the client and agents of his attorney.[3] See Bellman v. District Court, 187 Colo. 350, 531 P.2d 632 (1975) (statements made to an insurance investigator are privileged); A. v. District Court, 191 Colo. 10, 21, 550 P.2d 315, 324(1976) (in order to come within the protection of the attorney-client privilege, there
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must be a communication between the client and his attorney or the attorney’s agent), cert. denied, 429 U.S. 1040 (1977). See also Kay Laboratories, Inc. v. District Court, 653 P.2d 721, 723 (Colo. 1982). The agency rule recognizes that the complexities of practice prevent attorneys from effectively handling clients’ affairs without the help of others. The assistance of these agents “being indispensable to [the attorney’s] work . . ., the privilege must include all persons who act as the attorney’s agents.” 8 J. Wigmore, Wigmore on Evidence § 2301, at 583 (1961). See also 2 J. Weinstein M. Berger, Weinstein’s Evidence ¶ 503(a)(3)[01], at 503-27 to -28 (1986); United States v. Kovel, 296 F.2d 918 (2d Cir. 1961); People v. Lines, 13 Cal.3d 500, 119 Cal.Rptr. 225, 531 P.2d 793 (1975); City of San Francisco v. Superior Court, 37 Cal.2d 227, 231 P.2d 26 (1951); People v. Ryan, 30 Ill.2d 456, 197 N.E.2d 15 (1964); Asbury v. Beerbower, 589 S.W.2d 216
(Ky. 1979). It is now settled that a psychiatrist retained by defense counsel to assist in the preparation of the defense is an agent of defense counsel for purposes of the attorney-client privilege. See, e.g., People v. Lines, 13 Cal.3d 500, 119 Cal.Rptr. 225, 531 P.2d 793
(1975); State v. Pratt, 284 Md. 516, 398 A.2d 421 (1979); Ballew v. State, 640 S.W.2d 237 (Tex.App. 1982). See also Criminal Justice Mental Health Standards § 7-3.3(b), commentary at 7-85 (1984).
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require the prosecution to investigate its own case, see United States v. Wright, 489 F.2d 1181, 1185 (D.C. Cir, 1973); State v. Pratt, 284 Md. 516, 524, 398 A.2d 421, 426 (1979), and legitimately may expect that disclosures made to the psychiatrist will not be used as evidence for the prosecution. United States v. Alvarez, 519 F.2d 1036, 1047 (3d Cir. 1975).
[17] If, as the prosecution urges, the defendant’s claim of impaired mental condition creates a waiver of his right to assert the attorney-client privilege as to disclosures made to a defense-retained psychiatrist, defense counsel’s ability to prepare a mental status defense would be materially curtailed. The utility and efficacy of psychiatric examination is dependent in great part upon the defendant’s ability to communicate freely and confidentially with his examining doctor, and the rule proposed by the prosecution would chill the defendant’s dialogue with a psychiatrist retained by defense counsel to assist in the defense. Psychiatric consultation is, in many cases, one of the “raw materials integral to the building of an effective defense,” Ake v. Oklahoma, 470 U.S. 68, 77 (1985), and psychiatry has come to play a “pivotal role” in criminal proceedings where the defendant’s mental condition is in issue. Id. at 79. As the Court in Ake stated: [18] “[W]hen the State has made the defendant’s mental condition relevant to his criminal culpability and to the punishment he might suffer, the assistance of a psychiatrist may well be crucial to the defendant’s ability to marshal his defense. In this role, psychiatrists gather facts, both through professional examination, interviews, and elsewhere that they will share with the judge or jury; they analyze the information gathered and from it draw plausible conclusions about the defendant’s mental condition, and about the effects of any disorder on behavior; and they offer opinions about how the defendant’s mental condition might have affected his behavior at the time in question.” [19] Id. at 80 (emphasis added). [20] A waiver based solely on the defendant’s assertion of a mental status defense seriously compromises the attorney’s consultation with a psychiatrist retained to assist in the defense, and frustrates the policy underlying the attorney-client privilege to insure “candid and open discussion by the client to the attorney without fear of disclosure.”Losavio v. District Court, 188 Colo. 127, 132, 533 P.2d 32, 34 (1975). The prosecution’s examination of Dr. Miller was conducted in a vacuum, and there is nothing at the February 9, 1987 hearing, other than the defendant’s claim of impaired mental condition, upon which to base a waiver. Dr. Miller was not questioned in the context of an adversarial proceeding, but rather at a pretrial hearing that was designed to provide a basis for presenting the issue to this court in an original proceeding. Based on the limited record before us, the defendant did not by words or conduct forsake his claim of confidentiality and impliedly waive the privilege.[5] ThePage 840
district court’s contempt order was in error, and the court is hereby ordered to vacate the finding of contempt.[6]
III.
[21] Although Dr. Miller could not be compelled at the February 9, 1987 hearing to disclose privileged information, we cannot rule on the record before us that the subpoena must be quashed. A party seeking to invoke the original jurisdiction of this court must establish circumstances justifying the exercise of this court’s power under C.A.R. 21. Groendyke Transportation, Inc. v. District Court, 140 Colo. 190, 194, 343 P.2d 535, 537 (1959). The burden is on the petitioner to establish clearly that the respondent court is proceeding without or in excess of its jurisdiction, or that the court has abused its discretion. Brewer v. District Court, 655 P.2d 819, 820 (Colo. 1982).
(Alaska 1979) (although statements made by the defendant during a pretrial psychiatric examination are privileged, the privilege was waived where another defense witness relied on the former’s report and the psychiatrist was called as a rebuttal witness); State v. Tensley, 249 N.W.2d 659 (Iowa 1977) (results of an examination of the defendant by a defense-retained psychiatrist are not privileged;
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the content of the psychiatric examination, if privileged, was waived when the psychiatrist testified); State v. Mingo, 77 N.J. 576, 392 A.2d 590
(1978) (defendant’s right to effective assistance of counsel is subverted if an expert’s report obtained for defense purposes is used by the prosecution at trial, unless the defendant signifies an intention to use expert testimony at trial); 2 J. Weinstein M. Berger, Weinstein’s Evidence ¶ 503(a)(3)[01], at 503-27 to -28 (1986) (a client’s disclosures to a non-testifying, defense-retained expert are privileged; observations, conclusions, and information derived from sources other than the client’s communications are not privileged).
(1975), upon which the concurrence relies, represents the clear minority view and has been sharply criticized by the American Bar Association as “confused” and “unpersuasive.” See Criminal Justice Mental Health Standards § 7-3.3, commentary at 7-85, 7-86 n. 20 (1986).
(Colo. 1985); United States v. Rylander, 714 F.2d 996 (9th Cir. 1983) cert. denied, 467 U.S. 1209 (1984); United States v. Powers, 629 F.2d 619
(9th Cir. 1980). [24] JUSTICE ROVIRA concurs in the result only.
I.
[27] From the sketchy transcripts we have of the proceedings, it appears that the People wished to call Drs. Miller and McDonald at a suppression hearing on the admissibility of the defendant’s confession, and at the trial. The hearing of February 9, 1987, however, was neither of those. Its sole purpose was, as the majority concedes, to stage a proceeding so that the issue of whether Drs. Miller and McDonald could be compelled to testify could be presented to this court for review in an original proceeding.[7]
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trial, or an attempt by the prosecution to obtain pretrial discovery of the advice given by a psychiatrist to defense counsel.
[30] While section III of the majority opinion does imply the rule may be different when a psychiatrist is called in rebuttal after the defendant has placed his mental condition in issue, the majority does not provide an analysis which would make this difference important while simultaneously rendering the procedural posture of the case irrelevant. [31] Accordingly, I would vacate the finding of contempt, discharge the rule as to the subpoena of Dr. Miller, and require this case to proceed in an orderly manner. Absent the adoption of my resolution of this case, I think it appropriate to comment on the substance of the majority opinion. II.
[32] The majority states it is “settled that a psychiatrist retained by defense counsel to assist in the preparation of the defense is an agent of defense counsel . . . .” Maj. op. at 7. The majority’s extension of the Colorado privilege statute, quoted at page 6 of the majority opinion, seems unwarranted. Privilege statutes are in derogation of the common law and should be narrowly construed. Bellman v. Dist. Ct., 187 Colo. 350, 531 P.2d 632 (1975) (Pringle, C.J., dissenting). While the insurance investigator in Bellman may be similar enough to a clerk or stenographer to fall within the statute, an independent expert is not necessarily so. See State v. Schneider, 402 N.W.2d 779 (Minn. March 20, 1987) (defense-retained psychiatrist is neutral expert employed to make an independent determination as to the defendant’s sanity, and thus not an agent of the defense attorney); State v. Craney, 347 N.W.2d 668 (Iowa 1984) (defense-retained psychiatrist is a subcontractor, similar to a handwriting expert, not an agent, and may be called by either party) cert. denied, 469 U.S. 884 (1984).
(1957) (cited on page eight of the majority opinion), was interpreting common law; there were no statutes involved. On the other hand, People v. Lines, 13 Cal.3d 500, 119 Cal.Rptr. 225, 531 P.2d 793 (1979) (cited by the majority on pages seven and eight), dealt with a California statute which defined the attorney-client privilege in language different from and broader than that used by the Colorado statute. In my view, none of these authorities are persuasive in interpreting the Colorado privilege statute, which expressly delineates persons that come within the attorney-client privilege. [35] Ake v. Oklahoma, 470 U.S. 68 (1985), quoted by the majority at page 10, dealt only with a defendant’s right (under the federal Constitution) to have a psychiatrist appointed, at state expense, to conduct an examinatio and present his findings to the jury. Indeed, Ake directly or indirectly refers to the psychiatrist presenting his findings to the trier of fact no less than nine times in just two pages, Ake at 80-81, which is all the People appear to desire in this case. [36] The majority also relies on the American Bar Association’s Criminal Justice Mental Health Standards [Standards] for the general proposition that the People may not call a psychiatrist originally retained by the defendant absent a waiver by the defendant. Maj. op. at 7, 13-14 n. 1. The majority states that its opinion is “consistent” with the standards. Maj. op. at 13 n. 1. When the Standards are viewed in context, I think the result the majority reaches is contrary to, rather than consistent with, them. [37] While the Standards do prohibit the People from calling defense-retained psychiatrists,
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they also require that the People be allowed contemporaneous psychiatric evaluations of the defendant. Standard 7-3.4(a) requires the defendant to notify the state within forty-eight hours of beginning his own psychiatric examination. Standard 7-3.4(c) provides that if the court determines that an adequate evaluation of the defendant’s mental condition has been precluded because the defendant has refused to cooperate with the mental health professional the court, in its discretion, may exclude the introduction at trial of testimony by a mental health professional offered by the defendant concerning the defendant’s mental condition.
[38] The commentary to Standard 7-3.4(c) states in part: [39] “Paragraph (c) of the standard endorses an intermediate response. It does not bar noncooperating defendants from asserting defenses based on their mental condition at the time of an alleged crime, but instead allows courts to exclude mental health or mental retardation professional testimony in support of the defense claim. This rule of reciprocity places in balance the prosecution and defense evidence, because a defendant’s personal testimony, the testimony of lay witnesses, and other relevant nonexpert evidence may be used by either side to establish or refute the defense claim. Most appellate courts in fact have endorsed the reciprocity approach [footnote citation to authority] . . . .” [40] Standards, commentary to 7-3.4, at 7-95 and 7-96. Thus the Standards, when viewed as a whole, require a balance: either both sides have timely expert assistance or neither side does. [41] However, in Colorado the defendant need not notify the People that his mental condition is an issue until he enters a plea of not guilty by reason of insanity or asserts the affirmative defense of impaired mental condition, sections 16-8-103 and 103.5, 8A C.R.S. (1986), which may be months after his own experts have completed their evaluations. Even then, he does not have to cooperate with the People’s experts. Section 16-8-106(2), 8A C.R.S. (1986) (defendant shall have a privilege against self-incrimination during evaluation). The strongest sanction for failing to cooperate is notice to the jury that he did not do so. Id.[8] [42] These statutes, when coupled with the court’s extension of the attorney-client privilege to persons the legislature did not mention in the attorney-client privilege statute, allow the defendant to avoid informing the People for months, not cooperate with the court-appointed experts, and then present his own expert testimony without fear of meaningful response by the People. I do not find the majority opinion at all consistent with the even-handed approach of the Standards. [43] In this case, the defendant’s experts (including Drs. Miller and McDonald) examined the defendant within days or weeks of the murder. The People had no way of knowing a psychiatric examination might be necessary until the defendant pled not guilty by reason of insanity some four months later. The court-appointed experts did not get a chance to examine the defendant until five months after the event. Clearly, the fact that the court-appointed psychiatrists did not examine the defendant until five months after the defendant’s own experts had completed their examinations put them at a disadvantage. [44] The People also contend in their brief that the defendant did not cooperate with Dr. Metzner, one of the court-appointed experts. Even if the defendant had been cooperative in this case, however, that is no guarantee that another defendant would be. The majority decision does not provide an exception where the defendant is noncooperative. The majority states that the prosecution must “investigate its own case,” maj. op. at 9; however, it does not explain how the People can accomplishPage 844
that task if the defendant refuses to cooperate with a court-appointed psychiatrist.
[45] Even assuming that a defense-retained psychiatrist is included within the attorney-client privilege, many courts have held that entry of an insanity plea and putting on psychiatrists to testify as to that issue waives the privilege. See Noggle v. Marshall, 706 F.2d 1408 (6th Cir. 1983) (guarantee of effective counsel does not insulate from disclosure, on the issue of defendant’s sanity, the opinion of a medical expert who was retained by the defense as a potential witness); State v. Schneider, 402 N.W.2d 779 (Minn. March 20, 1987); State v. Dodis, 314 N.W.2d 233(Minn. 1982); State v. Carter, 641 S.W.2d 54 (Mo. 1982), cert. denied, 461 U.S. 932 (1983); People v. Edney, 39 N.Y.2d 620, 350 N.E.2d 400
(1976); Granviel v. State, 552 S.W.2d 107 (Tex.Cr.App. 1976), cert. denied, 431 U.S. 933 (1977) (no attorney-client privilege attaches to communication between a defendant and a psychiatrist who makes an examination with respect to sanity).[9] The cases reason that the defendant is not free to present the experts who will testify most favorably to him on the sanity issue and then block the other experts by invoking a privilege. In this case, the defendant has previously entered such a plea and put on his own psychiatric experts. In addition, he has asserted the affirmative defense of impaired mental condition. [46] I agree that the subpoenas may not be quashed at this stage. Again, however, I do not think the court should render an advisory opinion on the subject, suggesting, as it does, that the People must wait until their rebuttal case at trial, as opposed to the suppression hearing, to attempt to call Drs. Miller and McDonald.
(2d Cir. 1977); Granviel v. Estelle, 655 F. Supp. 673 (5th Cir. 1981) cert. denied, 455 U.S. 1003.