U.S. v. Hamilton, 95-2516

• Decision Date: 20 March 1997
• Docket Number: No. 95-2516,95-2516
• Citation: 107 F.3d 499
• Parties: UNITED STATES of America, Plaintiff-Appellee, v. Christopher HAMILTON, Defendant-Appellant.
• Court: U.S. Court of Appeals — Seventh Circuit

Page 499

107 F.3d 499

UNITED STATES of America, Plaintiff-Appellee, v. Christopher HAMILTON, Defendant-Appellant.

No. 95-2516.

United States Court of Appeals Seventh Circuit.

Argued Nov. 7, 1996.

Decided Feb. 19, 1997.

Rehearing Denied March 20, 1997.

Thomas P. Schneider, Chris Larson, argued, Office of the United States Attorney, Milwaukee, WI, for Plaintiff-Appellee.

Christopher Hamilton, Butner, NC, pro se.

Michael Holzman, argued, Mark Rosen, Rosen & Holzman, Waukesha, WI, for Defendant-Appellant.

Before FLAUM, DIANE P. WOOD, and EVANS, Circuit Judges.

TERENCE T. EVANS, Circuit Judge.

This appeal raises two issues: an interesting one regarding the use of telephonic testimony, and a pedestrian one regarding a claimed violation by the government of its obligation to disclose evidence to the defense under Brady v. Maryland, 373 U.S. 83, 83 S.Ct. 1194, 10 L.Ed.2d 215 (1963).

Someone robbed the Guaranty Bank located in the Grand Avenue Mall in downtown Milwaukee, Wisconsin, on March 14, 1994. The government thought the robber was Christopher Hamilton so a criminal complaint was lodged against him. The defense then claimed Hamilton was not competent to proceed so Magistrate Judge Aaron E. Goodstein scheduled a competency hearing pursuant to 18 U.S.C. §§ 4241 and 4247(d) and appointed a psychiatrist, Dr. William Crowley, to examine Hamilton. The judge also ordered Hamilton committed to a federal medical center for additional psychiatric examination. Hamilton was then evaluated for five weeks at the Federal Medical Center in Springfield, Missouri.

At the hearing, which was held on September 1, 1994, Dr. Crowley testified that Hamilton was not competent to stand trial. Dr. Crowley based his opinion on one meeting with Hamilton that lasted about 20 minutes, statements from guards at the Waukesha County Jail that while held there Hamilton was disruptive and reported hearing voices, and a telephone conversation Crowley had with Hamilton's estranged wife Veronica, who said Hamilton in the past reported hearing voices telling him to kill her. Dr. Crowley, who was Hamilton's only witness at the hearing, also said that when he attempted to interact with him, Hamilton would not respond verbally or maintain direct visual contact. This behavior, the doctor said, was consistent with psychosis--"a substantial disorder of thought that grossly impaired his capacity to meet the ordinary demands of life." The government did not share this view of Hamilton's mental capacity. It took the position that he was fully able to proceed on the charge against him.

The government presented two expert witnesses at the hearing: Dr. Richard Frederick, a clinical psychologist at the medical center in Springfield, and Dr. Barry Aultenberg, a psychiatrist associated with Trinity Memorial Hospital in Cudahy, Wisconsin. Both gave their opinions that Hamilton did not suffer from a mental disorder. Each testified to his belief that Hamilton presented a prime example of a "malingerer"--someone faking mental illness. ¹

Dr. Frederick based his opinion on his and his staff's evaluation of Hamilton from June 10 to July 17, 1994. During Hamilton's stay in Springfield Dr. Frederick conducted numerous interviews and tests and reviewed Hamilton's medical history. Dr. Frederick thought Hamilton was "very badly faking a mental disorder" and that he understood the proceedings against him, could assist in his defense, and was competent to stand trial.

Dr. Aultenberg treated Hamilton from November 15 to December 5, 1993. Dr. Aultenberg explained that Hamilton was admitted to Trinity with a cocaine problem and that he claimed to be suicidal and having hallucinations. By the end of Hamilton's three-week stay at Trinity, Dr. Aultenberg was convinced that Hamilton's conduct was consistent with malingering. The doctor thought Hamilton wanted a place to stay and that he wanted to avoid stressful situations. The doctor described Hamilton as "very intelligent," "highly manipulative," and he also thought Hamilton pretended to be suicidal in order to get admitted to Trinity.

Finally, the government offered the testimony of Special Agent John Horton of the United States Secret Service. Exactly why Agent Horton could not attend the hearing in person is unclear, but he instead testified via telephone from Andrews Air Force Base, which is in the Washington, D.C. area. Horton had interviewed Hamilton's wife Veronica on March 9, 1994, while investigating a threat Hamilton made against President Clinton. According to Horton, Veronica said her husband was not genuinely ill and because no one in his family could tolerate him anymore he planned to get committed any way he could in order to have a place to stay at night. Veronica herself did not testify at the competency hearing. Horton's testimony was offered to impeach her statements to Dr. Crowley because his opinion, in part, was based on what she had said about Hamilton.

The defense objected to Horton's testimony because it was hearsay and because it was presented over the telephone. ² Judge Goodstein overruled the objections, stating that he believed impeaching Veronica's statements to Dr. Crowley was proper and that Horton had been called out of the country for an emergency "[a]nd now we're trying to do the next best thing."

In addition to hearing the testimony, Judge Goodstein reviewed Hamilton's medical records. The records show repeated hospitalizations and references to hearing voices, suicidal thoughts, and diagnoses of psychosis. Some of the records, though, also indicate various doctors' suspicions and/or conclusions that Hamilton was malingering.

Judge Goodstein found Hamilton competent to stand trial. In his written decision he placed no importance on Agent Horton's testimony. Instead, he said the

pivotal factor in evaluating Christopher Hamilton is the amount of time devoted to the task. Initially, Hamilton knows what to say to obtain hospital admission.... The pattern then becomes familiar; Hamilton refuses to cooperate with the staff as regards any treatment and he leaves the facility before any extensive evaluation can be conducted.

....

This is not a case of one doctor being correct and the other wrong in their respective evaluations. This is a case of being able to have sufficient time to study Christopher Hamilton, in order to reach the conclusion that he is not psychotic. Dr. Crowley simply did not have the time to fully evaluate the defendant as did Dr. Frederick and Dr. Aultenberg.

After the competency decision a grand jury indicted Hamilton on one count of bank robbery in violation of 18 U.S.C. § 2113(a). A jury trial before Chief Judge J.P. Stadtmueller resulted in a guilty verdict, and Hamilton was later sentenced to serve a term of 96 months.

The Confrontation Clause of the Sixth Amendment provides that in all criminal prosecutions, an accused has the right to be "confronted with the witnesses against him." The Supreme Court has interpreted the clause to guarantee a defendant a face-to-face meeting with witnesses appearing before the trier of fact. Coy v. Iowa, 487 U.S. 1012, 1016, 108 S.Ct. 2798, 2800-01, 101 L.Ed.2d 857 (1988). Several purposes are served by requiring face-to-face, in-court testimony. For one thing, face-to-face confrontation ensures the reliability of the evidence by allowing the trier of fact to observe the demeanor, nervousness, expressions, and other body language of the witness. In-court testimony also impresses upon the witness the seriousness of the matter and ensures that statements are given under oath. California v. Green, 399 U.S. 149, 158, 90 S.Ct. 1930, 1935, 26 L.Ed.2d 489 (1970). Personal appearance also helps assure the identity of the witness, that the witness is not being coached or influenced during testimony, and that the witness is not improperly referring to documents.

Although the Confrontation Clause generally requires face-to-face confrontation, the requirement is not absolute. Maryland v. Craig, 497 U.S. 836, 849-50, 110 S.Ct. 3157, 3165-66, 111 L.Ed.2d 666 (1990). Specifically, the Supreme Court has carved out a narrow exception when (1) denial of face-to-face confrontation is necessary to further an important public policy, and (2) the necessities of the case require. Id. at 850, 110 S.Ct. at 3166. And it is unclear whether the Confrontation Clause applies to pretrial competency hearings. Regardless how that question is answered, the right to confront witnesses at a competency hearing specifically arises under 18 U.S.C. § 4247(d), which says:

At a hearing ordered pursuant to this chapter the person whose mental condition is the subject of the hearing ... shall be afforded an opportunity to testify, to present evidence, to subpoena witnesses on his behalf, and to confront and cross-examine witnesses who appear at the hearing.

In his briefs, Hamilton notes no distinction between his Sixth Amendment rights and his rights under § 4247, and the government, in its brief, notes the difference but does not discuss it other than in reference to the harmless error standard. We think the difference may indeed be important--does § 4247(d) merely reiterate the Sixth Amendment right to confrontation, or was it passed because the Sixth Amendment right does not apply to competency hearings? We elicited more discussion of this matter by the parties at oral argument but the topic has not been fully explored.

Whether telephonic testimony satisfies a defendant's right to confrontation--under either the Sixth Amendment or § 4247--is an issue of first impression in this circuit. ³ Other courts, however, have recently addressed telephonic testimony during trial. In United States v. Jacobs, 97 F.3d 275 (8th Cir.1996), the government's primary witness at trial was pregnant and close to her delivery date. During cross-examination the witness had to go to the hospital and the court was told she would be hospitalized for a week. Defense counsel asserted...