U.S. v. Madrid
| Decision Date | 15 March 1982 |
| Docket Number | No. 80-1693,80-1693 |
| Citation | 673 F.2d 1114 |
| Parties | 10 Fed. R. Evid. Serv. 64 UNITED STATES of America, Plaintiff-Appellee, v. Michael Anthony MADRID, Defendant-Appellant. |
| Court | U.S. Court of Appeals — Tenth Circuit |
Thomas S. Udall, Asst. U. S. Atty., Albuquerque, N. M. (R. E. Thompson, U. S. Atty., Albuquerque, N. M., was also on the brief), for plaintiff-appellee.
William W. Deaton, U. S. Public Defender, Albuquerque, N. M. (Tova Indritz, Asst. Public Defender, Albuquerque, N. M., was also on the brief), for defendant-appellant.
Before HOLLOWAY and McWILLIAMS, Circuit Judges, and BOHANON, District Judge. *
Defendant Michael Anthony Madrid appeals from his convictions by a jury on two counts in connection with a bank robbery and from his 10-year sentence on the verdict. See note 5, infra. On appeal, Madrid asserts principally three claims of error: (1) the admission of statements he made to a psychiatrist examining him as to competence to stand trial, which ruling was allegedly contrary to 18 U.S.C. § 4244 and violative of defendant's Fifth Amendment privilege against self-incrimination; (2) the admission of prejudicial statements he made to the psychiatrist as to past crimes and heroin addiction, said to be violative of Fed.R.Evid. 403 and 404(b); and (3) the denial of a judgment of acquittal, in light of the evidence of his incompetence at the time of the offenses and the failure of the Government to prove his competence at that time beyond a reasonable doubt.
The factual background
On March 21, 1979, Madrid and an accomplice, Michael Luna, 1 attempted to rob the American Bank of Commerce in Albuquerque, New Mexico. Madrid was a regular customer at the bank. On the morning of the robbery before the bank opened Rosemary Romero, a teller, was driven to work by her father, accompanied by two young nephews. She took the children into the bank to get some candy and then returned to the car with them. As she was putting the children back in the car she felt something heavy on her back and a man (Madrid) told her to put the children in the car right away. A second man (Luna), armed with a gun, got into the car with Romero's father and nephews while Madrid led her into the bank and tied her to a chair. When Holly Bostick, the branch manager, arrived she was ordered to open the night vault. She did so and helped Madrid stuff money into a knapsack.
Two policemen arrived in time to see a robber running out of the bank with a gun in hand. (II R. 66). The robber had dropped the knapsack with the money inside the bank as he ran out. The officers gave chase. The robber pointed a gun at one of the officers but did not fire it. (II R. 67, 74, 78-80). The officers eventually apprehended the robber, who was identified as defendant Madrid. Madrid's gun contained seven rounds in the clip, but there was no shell or cartridge in the chamber.
The pre-trial proceedings
On the day following his arrest Madrid was ordered to be confined at the Bernalillo County Mental Health facility. On April 4, 1979, on defense counsel's motion, pursuant to 18 U.S.C. § 4244 the court ordered that defendant be examined by Dr. Robert Buie to determine his competency to stand trial. Dr. Buie reported that he was not competent, and the court ordered commitment for thirty days to the San Diego Metropolitan Corrections Center; this commitment was then extended another thirty days, after which Madrid was returned to the Bernalillo County facility.
On July 12, 1979, after receiving a report from Dr. Bailey, who examined Madrid in San Diego, the court found that Madrid was incompetent to stand trial. Pursuant to state court commitment proceedings Madrid was committed to the New Mexico State Hospital where he remained until February 4, 1980. On the Government's motion for further examination as to Madrid's competency to stand trial pursuant to 18 U.S.C. § 4244, (I R. 13), the court on March 17, 1980, ordered that Dr. G. Michael Dempsey, a psychiatrist, examine him. (I R. 14). Dr. Dempsey's report indicated that Madrid was competent to stand trial. (I R. 16, p. 4). Although the examination was ordered solely to determine competency to stand trial, the report expressed the further opinion that Madrid was sane at the time of the offense. (Ibid.). In support of this conclusion Dr. Dempsey's report cited statements by defendant that he had committed previous armed robberies in order to support a heroin habit.
After a hearing on March 24, 1980, the court found Madrid competent to stand trial. (I R. 17). That same day Madrid's counsel gave notice as required by Fed.R.Crim.P. 12.2(a) of his intention to raise the defense of insanity. On April 17 the Government filed a "Motion to Compel Examination," specifically requesting further examination by Dr. Dempsey to determine sanity at the time of the offense pursuant to Fed.R.Crim.P. 12.2(c). The motion stated in part (I R. 19):
1. Defendant Madrid has given the government notice that it intends to rely on a defense of insanity.
2. Dr. Dempsey has examined the defendant on the issue of competence, but needs a further examination to determine sanity at the time of the offense.
3. Rule 12.2(c) provides that the Court, upon the motion of the attorney for the government, may order the defendant to submit to a psychiatric examination by a psychiatrist designated for this purpose.
4. Counsel for the defendant does not oppose this motion.
The motion was granted that day and Dr. Dempsey examined the defendant again on April 30.
The proceedings at trial
At trial the Government in its case-in-chief established the elements of the offenses. The defense case consisted solely of evidence as to Madrid's mental state. Three psychiatrists and a clinical psychologist testified that he suffered from schizophrenia and depression and was legally insane at the time of the offense, because he was incapable of conforming his conduct to the requirements of the law. 2 (III R. 177, 202, 233, 259-60). An additional psychologist indicated that he was unable to state an opinion due to the lapse of time between the offense and his examination of defendant. (II R. 124-25). In addition, a social worker and Madrid's mother testified as to his behavior and apparent mental condition. (II R. 142-43, 145-53). The defense experts expressed the opinion that defendant carried out the robbery with the wish that he would be killed. (III R. 181, 183, 208, 253, 260, 262).
The prosecution then presented rebuttal evidence on the issue of insanity. Luna, Madrid's accomplice, testified that they had first discussed the idea of robbing a bank about a month before the offense. (III R. 269). They planned the details of the robbery the night before. (III R. 270). Luna testified that Madrid's behavior was not unusual. (III R. 272-73, 274). The two bank employees who were present at the time of the robbery also testified that Madrid acted normally. (III R. 282-84, 286-88).
The prosecution then called Dr. Dempsey. He testified that in his opinion Madrid suffered from major depression, in the upper 25% of severity. (III R. 299). However, he further stated that at the time of the offense Madrid was able to know what he was doing and that he could conform his conduct to the requirements of the law. (III R. 300). Over the objection of defense counsel, he stated that an important basis for his opinion was Madrid's statements to him in his initial interview that he had committed armed robberies of stores prior to the offense in question in order to support a heroin addiction. 3 (III R. 302). Dr. Dempsey stated that this indicated "a past history of antisocial behavior, in particular, robbery for profit rather than robbery for some bizarre motive like committing suicide." (III R. 302-03). In his charge to the jury, the trial judge stated that this testimony was admitted solely as a basis for Dr. Dempsey's opinion. 4 The jury returned verdicts of guilty on both of the two counts of the indictment. 5 On the verdict, one sentence of ten years' imprisonment was imposed, the defendant to become eligible for parole under 18 U.S.C. § 4205(b)(2) at such time as the Parole Commission should determine.
We turn to defendant's appellate contentions.
The claim of violation of § 4244 and the Fifth Amendment
privilege against self-incrimination
Defendant argues that Dr. Dempsey's testimony as to past crimes and heroin addiction should have been excluded because it was derived from statements made by Madrid during the initial interview conducted pursuant to 18 U.S.C. § 4244. That statute provides in pertinent part:
No statement made by the accused in the course of any examination into his sanity or mental competency provided for by this section, whether the examination shall be with or without the consent of the accused, shall be admitted in evidence against the accused on the issue of guilt in any criminal proceeding.
In United States v. Alvarez, 519 F.2d 1036 (3rd Cir.), a psychiatrist examined the defendant pursuant to § 4244 solely to determine his competency to stand trial. The court held that the statutory ban on use of defendant's statements on "the issue of guilt" bars their use not only to prove defendant's participation in the crime but also to prove sanity, which is an element of legal guilt. Id. at 1042; accord, United States v. Malcolm, 475 F.2d 420, 426-27 (9th Cir.). 6 But see United States v. Bennett, 460 F.2d 872, 878-79 & n.23 (D.C.Cir.) (issue of sanity not necessarily within "issue of guilt"). We have held that, if the defendant's mental responsibility for the offense has in any way been put in issue, and if the judge has determined that the legal presumption of criminal responsibility has been dissipated, "criminal responsibility becomes an essential element of the offense to be proved beyond a reasonable doubt." Wolcott v. United States, 407 F.2d 1149, 1150 (10th Cir.) (en banc), cert. denied, 396 U.S....
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State v. Copas
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Commonly Used Experts
...attention paid to the expert testimony it is likely that the attention of the jury will be similarly diverted. United States v. Madrid , 673 F.2d 1114 (1982) was a case in which the sanity of the defendant was at issue. The court permitted the admission of the defendant’s statements as a ba......
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Commonly Used Experts
...attention paid to the expert testimony it is likely that the attention of the jury will be similarly diverted. United States v. Madrid , 673 F.2d 1114 (1982) was a case in which the sanity of the defendant was at issue. The court permitted the admission of the defendant’s statements as a ba......
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...F. 3d 997 (11th Cir.1994), §344.1.2 United States v. Locascio , 6 F.3d. 924 (2d Cir. l993), §§140.1, 344.1.2 United States v. Madrid , 673 F.2d 1114 (1982), §597 United States v. McVeigh, 955 F. Supp. 1278 (D. Colo. 1997), §322 United States v. Mejia, 545 F.3d 179 (2d Cir. 2008), §603 Unite......
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Commonly Used Experts
...attention paid to the expert testimony it is likely that the attention of the jury will be similarly diverted. United States v. Madrid , 673 F.2d 1114 (1982) was a case in which the sanity of the defendant was at issue. The court permitted the admission of the defendant’s statements as a ba......
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...v. Zant, 959 F.2d 1524, 1533 (11th Cir. 1992); Williams v. Lynaugh, 809 F.2d 1063, 1068 (5th Cir. 1987); United States v. Madrid, 673 F.2d 1114, 1119-21 (10th Cir. 1982). That view is reflected in Rule 12.2(c), which indicates that the statements of the defendant may be used against the def......