Opinion Number: 2001-NMCA-097
Filing Date: September 27, 2001
Docket No. 21,316
STATE OF NEW MEXICO,
Plaintiff-Appellee,
v.
JUSTO (TORRES) RUIZ,
Defendant-Appellant.
APPEAL FROM THE DISTRICT COURT OF SANTA FE COUNTY
Michael E. Vigil, District Judge
Patricia A. Madrid, Attorney General
James O. Bell, Assistant Attorney General
Santa Fe, NM
for Appellee
Phyllis H. Subin, Chief Public Defender
Laurel A. Knowles, Assistant Appellate Defender
Santa Fe, NM
for Appellant
BOSSON, Chief Judge.
{1}
In a single trial, a jury convicted Defendant, Justo
Ruiz, of criminal offenses committed separately against
three minor girls. One girl testified to criminal sexual
penetration and criminal sexual contact, another to indecent
exposure, and a third to battery. On appeal, Defendant
claims the trial court committed reversible error in four
ways: (1) by not severing the counts against him so that
the charges pertaining to one child, S.G., would be tried
separately; (2) by allowing one girl to testify by
videotape, thereby circumventing his constitutional right to
confront witnesses; (3) by not allowing Defendant to rebut
the prosecutor's innuendo that he had not taken a penile
plethysmograph test when, in fact, he had; and (4) by not
allowing the jury to visit his home to experience how
compact the living conditions were and whether the events
could have occurred as alleged. Applying established New
Mexico law, we hold it was reversible error not to sever the charges, and therefore, we reverse Defendant's convictions
and remand. Because the testimony of the girls, if believed
by a jury, would support separate convictions, the State is
entitled to retry Defendant on all charges in separate
trials. We discuss the remaining issues that are likely to
reoccur on retrial.
BACKGROUND
{2}
Defendant and his wife, Cindy Ruiz, had three children.
During the night of July 8, 1998, their oldest daughter,
L.R., who was then twelve-years-old, awoke to find her
father pushing her underwear aside and staring at her vagina
with a flashlight. When she told her mother about the
incident, the next day Cindy took the children and moved
out. Cindy reported the incident to the New Mexico
Children, Youth and Families Department which, in turn,
reported the allegation to the police. The officer in
charge of the police investigation arranged a safe-house
interview with L.R. During that interview L.R. recalled the
incident, and also reported that a year before she had seen
Defendant doing a similar thing to her friend S.G. L.R.
also recounted what she had been told by still another girl,
L.J., that Defendant had exposed himself to L.J.
approximately a year before.
{3}
After being alerted to the possibility that Defendant
may have accosted other girls, a police officer called the
parents of the other girls to arrange for safe-house
interviews. When the police officer spoke to the parents
about the safe-house interviews, he admonished them "not to
attempt in any way to assist the child in recalling
memories," so as to avoid contaminating each child's
testimony.
{4}
A few days later S.G., also age 12, went to her safe-house interview. Contrary to the police officer's
admonition, S.G.'s mother on several occasions had assisted
her daughter "in recalling memories," raising the
possibility of undue influence on S.G.'s testimony. At the
interview, S.G. described a series of encounters with
Defendant which began with Defendant pulling down her pants
and fondling her, and ultimately engaging in sexual
intercourse.
{5}
L.J. also participated in a safe-house interview. L.J.
disclosed to her interviewers that on two separate occasions
she had glanced through a doorway in the Ruiz home and saw
Defendant standing on the other side of the threshold,
holding his penis in both hands and smiling. L.J. was six
or seven years old at the time these acts occurred.
{6}
Defendant denied all allegations. He contended that
the charges were based on either outright fabrications or misperceptions of benign behavior on his part. Defendant
claimed that he was looking for the family cat on his
daughter's bed with a flashlight, not staring at her vagina,
and that being awakened from a deep sleep had distorted his
daughter's perception of events. With regard to L.J.,
Defendant testified that she may have seen him putting on
his coveralls in the garage, but that he had never exposed
himself in the manner alleged. As for S.G., Defendant
maintained that her story was a total fabrication and the
result of her mother's suggestive influence.
{7}
A grand jury indicted Defendant on ten counts arising
from the three girls' allegations. After a jury trial on
all ten charges, Defendant was convicted of eight of the ten
counts against him; three counts of criminal sexual
penetration of a minor, two counts of criminal sexual
contact of a minor, two counts of indecent exposure, and one
count of battery. Defendant was sentenced to 61½ years in
prison.
DISCUSSION
Defendant's Motion to Sever
Preservation
{8}
Before trial, Defendant twice moved to sever the
charges pertaining to S.G. from the rest of the case. Both
motions were denied. Although Defendant renews his
severance argument before this Court, the State counters
that the argument was not preserved for appellate review
because Defendant failed to reassert his severance motion
during the trial. The State relies on State v. Jones, 120
N.M. 185, 190, 899 P.2d 1139, 1144 (Ct. App. 1995), for this
proposition, but that reliance is misplaced.
{9}
At times, as the State points out, we have faulted
defendants for not renewing severance motions after the
trial began. For example, we observed in Jones that a
severance motion during trial was appropriate because, in
that case, it was unclear before trial which defenses the
accused would raise. See id. Therefore, before trial
began, the court could only speculate about whether the
prosecution would actually need the challenged evidence to
rebut those defenses. See id. But neither Jones, nor any
other opinion of this Court, has ever made renewal of a
motion for severance either during or after trial a
prerequisite to preserving an issue for appellate review.
See State v. Peters, 1997-NMCA-084, ¶ 6, 123 N.M. 667, 944
P.2d 896 (addressing a severance issue preserved only by
pretrial motion); State v. McGill, 89 N.M. 631, 632, 556
P.2d 39, 40 (Ct. App. 1976) (same). Jones merely acknowledges that when a trial court is not alerted before
trial to the defense's theory so that it can rule
intelligently on a motion to sever, the court should have
another opportunity to consider the motion after the facts
become more clear. Id., 120 N.M. at 190, 899 P.2d at 1144.
{10}
Here, the State uses Jones to argue that Defendant had
to renew his severance motion during trial so that the court
could rule with "knowledge of the defenses asserted."
However, when Defendant renewed his motion on the first
morning of trial, all parties, including the court, were
aware that the defense was a simple denial of the charges.
Defendant took the position that the girls had either
fabricated the allegations or misapprehended otherwise
innocent behavior on his part. There was no need to provide
the trial court with more information during trial; the
court had all the information it needed before trial to
assess the State's position in light of the defenses
asserted. The State's preservation argument is without
merit.
Rule 11-404(B) NMRA 2001
{11}
We now address the merits of Defendant's severance
argument. Separate charges against a defendant are
ordinarily joined when the offenses "are of the same or
similar character, even if not part of a single scheme or
plan." Rule 5-203(A)(1) NMRA 2001. However, even when Rule
5-203(A) is satisfied, charges should be joined only if
joinder does not unfairly prejudice either party. See Rule
5-203(C). A defendant is unfairly prejudiced when joinder
allows the jury to consider evidence that would not
otherwise be admissible under Rule 11-404(B) NMRA 2001, if
the trials were severed. State v. Gallegos, 109 N.M. 55, 64,
781 P.2d 783, 792 (Ct. App. 1989) ("[I]t is 'fundamental,
however, that courts must not permit a defendant to be
embarrassed in his defense by a municipality of charges to
be tried before one jury.'" (Quoting State v. Paschall, 74
N.M. 750, 752-53, 398 P.2d 439, 440 (1965).)). As this
Court recently stated, "[t]he granting of a severance is
discretionary, and one test for abuse of discretion is
whether prejudicial testimony, inadmissible in a separate
trial, is admitted in a joint trial." Jones, 120 N.M. at
186, 899 P.2d at 1140.
{12}
Defendant claims to have suffered this very prejudice
when the charges relating to all three girls were joined in
one trial. He argues that joinder permitted the jury to
consider evidence that would not have been cross-admissible
under Rule 11-404(B), if the charges pertaining to each girl
had been tried separately. We begin our analysis with Rule
11-404(B):
Evidence of other crimes, wrongs or acts is not
admissible to prove the character of a person in
order to show action in conformity therewith. It
may, however, be admissible for other purposes,
such as proof of motive, opportunity, intent,
preparation, plan, knowledge, identity or absence
of mistake or accident.
{13}
Rule 11-404(B) is a specialized rule of relevancy that,
like its federal counterpart, limits the admissibility of
evidence that, although relevant, is unfairly prejudicial to
the accused. State v. Phillips, 2000-NMCA-028, ¶ 21, 128
N.M. 777, 999 P.2d 421; see also Old Chief v. United States,
519 U.S. 172, 181 (1997) (stating that although evidence of
other bad acts is "'relevant, the risk that a jury will
convict for crimes other than those charged_or that,
uncertain of guilt, it will convict anyway because a bad
person deserves punishment_creates a prejudicial effect'"
(quoting United States v. Moccia, 681 F.2d 61, 63 (1st Cir.
1982))). The risk is that "character evidence when used
circumstantially is likely to be given more probative value
than it deserves and may lead the fact-finder to punish a
bad person regardless of the evidence of what happened in
the specific case." State v. Lamure, 115 N.M. 61, 69, 846
P.2d 1070, 1078 (Ct. App. 1992) (Hartz, J., specially
concurring). Thus, Rule 11-404(B) prohibits the use of
evidence when its purpose is to show criminal propensity:
"to prove the character of a person in order to show action
in conformity therewith." The admonition of former Judge
Hartz of this Court bears repeating: "One cannot ignore the
long tradition of courts and commentators expressing fear
that jurors are too likely to give undue weight to evidence
of a defendant's prior misconduct and perhaps even to
convict the defendant solely because of a belief that the
defendant is a bad person." Lamure, 115 N.M. at 71, 846
P.2d at 1080.
{14}
When reviewing a motion to sever through the lens of
Rule 11-404(B), "a more detailed analysis needs to be done
than simply comparing superficial similarity" of the crimes.
Jones, 120 N.M. at 187, 899 P.2d at 1141. Because Rule 11-404(B) recognizes the grave risk of unfair prejudice when
evidence of multiple bad acts is introduced in a single
trial, courts must be careful to analyze the proffered
evidence as if the charges were not joined together and the
trials were separate. See id.; see also State v. Lucero,
114 N.M. 489, 494, 840 P.2d 1255, 1260 (Ct. App. 1992)
(observing that prior-bad-acts evidence "is especially
damaging" when the case "involves a particularly
reprehensible crime against a child"); State v. Aguayo, 114
N.M. 124,130-31, 835 P.2d 840, 846-47 (Ct. App. 1992)
(same).
{15}
Approaching the evidence in such a fashion, we follow a
two-step test to determine if the evidence would have been
cross-admissible in separate trials with respect to each
girl. We first ask if there is "an articulation or
identification of the consequential fact to which the
proffered evidence of other acts is directed" that satisfies
a valid exception to the general prohibition on propensity
evidence. Jones, 120 N.M. at 187, 899 P.2d at 1141. If the
evidence is probative of something other than propensity,
then we balance the prejudicial effect of the evidence
against its probative value to determine if "[the] probative
value is substantially outweighed by the danger of unfair
prejudice, confusion of the issues or misleading the jury."
Rule 11-403 NMRA 2001. In this appeal, we need concern
ourselves only with the first question.
{16}
We ask what is this "consequential fact" to which the
evidence of other bad acts is directed, and is it valid
under Rule 11-404(B)? At trial, the State asserted, rather
indiscriminately, that the evidence supporting each of the
ten counts would have been cross-admissible in separate
trials to prove "defendant's motive, intent, knowledge,
absence of mistake or accident under Rule 11-404(B)." On
appeal, the State discards its scatter shot approach and
concentrates on only one of the Rule 11-404(B) exceptions.
It now asserts the evidence was admissible to demonstrate
"absence of mistake."
{17}
In refining its focus on "absence of mistake," the
State argues that the evidence pertaining to each girl was
necessary to rebut Defendant's position that the events
never happened or were due to mistaken perceptions on the
part of three young girls. By putting all the bad-acts
evidence before the jury, the State hoped to create an aura
of credibility; that it was less likely that any of the
girls were "mistaken" in what they saw, because each girl
testified to deviant conduct on the part of Defendant.
However, the State misapprehends what "absence of mistake"
permits under Rule 11-404(B).
{18}
Analyzing the State's argument in context, we see no
difference between what the State argues and the use of that
same evidence to show propensity: that Defendant did bad
things with one girl and it was therefore more likely that
he did bad things with the others. But this is the same as
"prov[ing] the character of [Defendant] in order to show
action in conformity therewith," which is prohibited by Rule
11-404(B). Grouping the testimony of all of the girls
together in the same trial may well have persuaded the jury
that each girl's account of what transpired should be
believed, and that there was no "absence of mistake" on
their part. But it did so only demonstrating propensity: that Defendant had a tendency to abuse children sexually,
and if he abused one girl, then he likely abused the others.
This is exactly what Rule 11-404(B) does not allow. See
Aguayo, 114 N.M. at 129, 835 P.2d at 845 ("Admission of
character traits to prove that the defendant acted in
accordance with those traits is, of course, exactly what
Rule 11-404(B) is designed to prohibit.").
{19}
What the State really wanted was an opportunity to
bolster the testimony of these three girls. While we may
sympathize with the State's desire to improve its position,
and while "we recognize the potential difficulty in
prosecuting such cases" involving sex crimes against
children, it is equally true that "the appropriate solution
is [not] to wink at the dictates of Rule [11-]404(B)."
Lucero, 114 N.M. at 494, 840 P.2d at 1260. As we have
previously stated, "the need to bolster the victim's
credibility," and "the belief that sex crimes alone are more
likely to follow a pattern based on the unique psychological
profile of a likely perpetrator," are not recognized
exceptions for admissibility under Rule 11-404(B), and they
do not justify "manipulating the categories in the rule to
accommodate prior bad acts evidence." Lucero, 114 N.M. at
494, 840 P.2d at 1260 (internal quotation marks and citation
omitted); see also Aguayo, 114 N.M. at 131, 835 P.2d at 847
(rejecting the "siren song" of relaxing Rule 11-404(B)
because of difficulty in proving child abuse cases).
{20}
Defendant's mistake-of-fact rationale is also
controlled by our prior analysis in Jones,120 N.M. at 186,
899 P.2d at 1140, a case in which the accused was convicted
of sexually assaulting two women, under similar
circumstances, five days apart. Over objection, the charges
pertaining to both women were tried jointly, and we reversed
for failure to sever. Id. at 190, 899 P.2d at 1144. The
accused denied each woman's version of events, arguing that
his relationship with each woman was voluntary and
consensual, and that their recollection of events was wrong.
Id. at 186, 899 P.2d at 1140. The state argued, in part,
that the testimony of each woman was permissible in a single
trial to rebut the defendant's claim of consent. Id. at
189, 899 P.2d at 1143. This Court disagreed stating,
"Defendant's defense here was simply that his version of the
consensual nature of the entire evenings should have been
believed over the testimony of [each victim]; what this
Court called a "stark and substantial credibility issue."
Id. We held that the state's use of the evidence to
challenge the defendant's credibility was an attack on the
defendant's character, observing that "the way the evidence
accomplishes this is through the prohibited method of
proving propensity." Id. Our holding in Jones applies with
equal force to the case before us.
{21}
We read Jones to limit the "absence of mistake"
exception under Rule 11-404(B) to situations when a
defendant claims to have made a mistake, such as when the
accused admits to touching the victim but says it was
accidental or by mistake. See Jones, 120 N.M. at 188-89,
899 P.2d at 1142-43; cf. State v. Beachum, 96 N.M. 566, 568,
632 P.2d 1204, 1206 (Ct. App. 1981) (holding that the
defendant did not put intent at issue when he claimed that
he "did not commit the acts at all, not that he committed
them without the requisite state of mind," and therefore
bad-acts evidence under Rule 11-404(B) was precluded). The
exception does not apply, however, to show "absence of
mistake" on the part of a witness or the victim, who the
accused claims is mistaken in his or her recollection of
events. Traditionally, our courts have allowed evidence of
a defendant's other acts to disprove accident or mistake
after the defendant suggests that the crime came about
through accident or mistake on his or her part. See State
v. Nguyen, 1997-NMCA-037, ¶ 9, 123 N.M. 290, 939 P.2d 1098
(admitting evidence to prove that the defendant knowingly
transferred a forged bingo card to rebut defense that
transfer was innocent mistake).
{22}
Focusing "absence of mistake" on the defendant is in
line with other jurisdictions and commentators. See, e.g.,
State v. Fitzgerald, 694 P.2d 1117, 1123-24 (Wash. Ct. App.
1985) (admitting evidence of earlier sexual abuse of a girl
under Rule 11-404(B) when the defendant testified to
accidently touching the girl's vagina in the case before the
court); see also United States v. Huels, 31 F.3d 476, 479
(7th Cir. 1994) (holding that rebuttal testimony of witness
who grew marijuana in the same spot with the defendant was
admissible under Rule 11-404(B) to rebut the defendant's
testimony that he was in the marijuana garden by
happenstance, hunting deer); State v. Cirelli, 769 P.2d 609,
611 (Idaho Ct. App. 1989) (admitting evidence tending "to
show a lack of mistake as to [the defendant's] knowledge of
the stolen nature of the property"). See generally 1 John
W. Strong et al., McCormick on Evidence § 190, at 664 (5th
ed. 1999) (allowing evidence of other bad acts "[t]o show,
by similar acts or incidents, that the act in question was
not performed inadvertently, accidentally, involuntarily, or
without guilty knowledge" (footnotes omitted)); 1 Barbara E.
Bergman & Nancy Hollander, Wharton's Criminal Evidence, §
4:35, at 418 (15th ed. 1997) (stating that evidence is
permissible under the rule "to show the absence of accident
or mistake in committing the crime charged"); 1 Christopher
B. Mueller & Laird C. Kirkpatrick, Federal Evidence § 112,
at 658 (2d ed. 1994) (acknowledging that the larger number
of cases find evidence of other bad acts appropriate once
the defendant asserts that his involvement in a crime was
inadvertent or accidental). We are unaware of any authority that has admitted evidence of a defendant's other bad acts
to prove that a witness was not mistaken, nor does the State
direct us to any such authority. Cf. Beachum, 96 N.M. at
568, 632 P.2d at 1206.
{23}
We hold that it was error not to sever the charges
pertaining to S.G. as Defendant requested. We also note
that Defendant suffered grave prejudice when he had to
defend against charges pertaining to all three girls. See
Jones, 120 N.M. at 190, 899 P.2d at 1144 (noting that a
defendant's convictions alone suffices to demonstrate
prejudice). We need only repeat the comments the trial
judge rendered after the verdict as to what effect joinder
had on the outcome:
Yes, this was a close case. But I think it was
not just Mr. Ruiz' word against the girl. We
can't forget that Mr. Ruiz' own daughter testified
to the incidents of abuse, as did another child,
so it wasn't just one-on-one. It was three
victims, [and] I never could determine why they
would conspire together to get Mr. Ruiz. And I
think the jury resolved it in that manner.
{24}
The State has not persuaded us to depart from our
reading of Jones and the test for admissibility of evidence
of other bad acts set out therein. If we were to allow
evidence of bad acts every time an accused protests that a
prosecution witness is mistaken, one small exception would
swallow the entire rule. We conclude that the evidence
pertaining to each girl would not have been cross-admissible
in separate trials, and therefore the trial court abused its
discretion in not severing the trials upon request.
S.G.'s Trial Testimony By Pre-recorded Videotape
{25}
S.G. was allowed to testify by videotape instead of
appearing in court. Defense counsel participated in the
videotaped testimony under protest. Defendant argues the
trial court failed to follow the applicable rules when it
allowed S.G. to testify in this manner instead of appearing
in court.
{26}
The statutory law of New Mexico allows a trial court,
upon a showing of good cause, to "order the taking of a
videotaped deposition of any alleged victim under the age of
sixteen years." NMSA 1978, § 30-9-17(A) (1978). The
videotape "shall be viewed and heard at the trial and
entered into the record in lieu of the direct testimony of
the alleged victim." Id. Under our rules of criminal
procedure, good cause is demonstrated when "the child may be
unable to testify without suffering unreasonable and unnecessary mental or emotional harm." Rule 5-504(A) NMRA
2001.
{27}
Defendant offers two reasons why the trial court erred
in allowing S.G. to testify by videotape. First, the trial
court did not afford Defendant the discovery necessary to
contest the prosecution's assertion that S.G. would suffer
"unreasonable and unnecessary mental or emotional harm" by
testifying at trial. Second, the trial court failed to make
any findings of fact directed specifically at S.G.'s mental
or emotional harm.
{28}
We find each of Defendant's arguments persuasive.
Defendant was denied two requests for discovery: (1)
production of S.G.'s mental health records, and (2) an
independent examination of S.G. by a court-appointed
psychiatrist. The trial court entered a protective order
preventing Defendant from discovering S.G.'s mental health
records in the possession of both her therapist and the
Santa Fe Family Center, and denied the request for an
independent psychological evaluation. We analyze each
request separately.
Medical Records
{29}
The State contends that S.G.'s mental health records
were subject to the psychotherapist-patient privilege. See
Rule 11-504 NMRA 2001. Defendant argues that S.G. waived
any such privilege when she allowed her therapist to discuss
her mental condition with the prosecutor's office to show
the State she needed to testify by videotape. Defendant
cites to an exception to the privilege, Rule 11-504(D)(3),
which states: "There is no privilege under this rule as to
communications relevant to an issue of the physical, mental
or emotional condition of the patient in any proceeding in
which the patient relies upon the condition as an element of
the patient's claim or defense . . . ."
{30}
The State counters that the mental health records were
not germane to the charges against Defendant regarding S.G.,
and therefore, S.G. did not rely upon her mental condition
"as an element of [her] claim or defense" within the meaning
of Rule 11-504(D)(3). Furthermore, even if S.G. did waive
the privileged nature of her records, the State faults
Defendant for failing to make a threshold showing that the
records were material to his defense.
{31}
The trial court conducted a hearing on whether to grant
the prosecution's motion for videotaped deposition in lieu
of live testimony. The hearing was a "proceeding" within
the meaning of the Rule. Further, S.G.'s mental or
emotional condition was the sole issue at that proceeding. To rule on the motion, the trial court had to determine
whether S.G. "may be unable to testify without suffering
unreasonable and unnecessary mental or emotional harm."
Rule 5-504(A). Thus, S.G. was relying upon the condition of
her mental health "as an element" of her request for a
videotaped deposition within the meaning of Rule 11-504(D)(3). In such proceedings, "[t]here is no privilege .
. . as to communications relevant to an issue of [S.G.'s]
physical, mental or emotional condition." Rule 11-504(D)(3).
{32}
Nevertheless, waiver of the psychotherapist-patient
privilege as set forth in Rule 11-504(D)(3) does not
automatically make all the records discoverable. Privacy
concerns are still fundamental. To protect a child's
privacy, we require that there "be a threshold showing by
defendant that the records may reasonably be expected to
provide information material to the defense." State v.
Gonzales, 1996-NMCA-026, ¶ 21, 121 N.M. 421, 912 P.2d 297.
As part of his threshold showing, Defendant argues he had a
good faith belief that S.G. fabricated her allegations, and
that her medical records would support this belief.
{33}
Defendant's suspicion of fabrication is not without
substance. The record supports an inference that S.G.
initially denied that anything had happened with Defendant,
and she only changed her recollection after repeated
questioning and blandishments on the part of her mother.
Despite the police officer's request not to assist S.G. in
recalling the events, S.G.'s mother did exactly the
opposite, including what could be called exerting suggestive
influence on her daughter's memory.
{34}
The possibility of undue influence on S.G.'s testimony
is troubling in this case. Consistent with the police
officer's admonition, "the importance of proper interview
techniques as a predicate for eliciting accurate and
consistent recollection" from children cannot be denied.
State v. Michaels, 642 A.2d 1372, 1378 (N.J. 1994) (citing
Gail S. Goodman et al., Optimizing Children's Testimony:
Research and Social Policy Issues Concerning Allegations of
Child Sexual Abuse in Child Abuse, Child Development, and
Social Policy (Dante Cicchetti & Sheree L. Toth, eds.
1992)). Many of the techniques allegedly used in
questioning S.G. are subject to criticism. See American
Prosecutors Research Institute, National Center for
Prosecution of Child Abuse, Investigation and Prosecution of
Child Abuse 59-61, 67-75, 81 (2d ed. 1993); see also
Michaels, 642 A.2d at 1378. Although the problems of
parental influence are arguably more pronounced in younger
children, "[s]uggestibility is not simply a matter of age."
1 John E.B. Myers, Evidence in Child Abuse and Neglect Cases
§ 1.10, at 36 (3d ed. 1997). The impact of suggestibility on an individual's recall "depends on a host of situational,
developmental, and personality factors." Id. Given the
problems associated with improper questioning of children,
the circumstances surrounding S.G.'s allegations raise
legitimate concerns about the reliability of her
allegations. Defendant should have been allowed to pursue
those concerns aided by appropriate discovery.
{35}
S.G.'s therapist, who testified on behalf of the State,
conceded that the depression, fear, and anxiety that S.G.
felt about testifying in open court were consistent with
those of a child being untruthful about her allegations.
One purpose of confrontation is so "the moral suasion of
facing the accused might influence the child to tell the
truth." State v. Tafoya, 108 N.M. 1, 3, 765 P.2d 1183, 1185
(Ct. App. 1988). Overall, the record supports Defendant's
belief that S.G.'s mental health records may provide
information material to his defense of fabrication. Thus,
S.G.'s mental health records in the custody of her therapist
and the Santa Fe Family Center were an appropriate avenue of
discovery.
{36}
However, Defendant was not necessarily entitled to all
such records. The trial court still had an important role
to play in balancing the best interests of the child with
the fundamental rights of the defense. At trial, Defendant
pressed for the release of all records in the possession of
S.G.'s therapist and the Santa Fe Family Center, including
as an alternative, a request that the trial judge inspect
the records in camera. Appropriately, Defendant scales back
his request on appeal. Defendant now asserts that the
correct course of action is for the trial judge to perform
an in camera review of the records to determine what is
discoverable. We agree. See Gonzales, 1996-NMCA-026, ¶ 20.
On retrial, the trial court should conduct an in camera
inspection to determine what information supports or
undercuts S.G.'s claim of "unreasonable and unnecessary
mental or emotional harm" along with what information
supports or undercuts Defendant's claim of fabrication and
undue influence. Information that the trial court deems
relevant to the State's motion should be turned over to
defense counsel subject to appropriate protective orders
concerning the disclosure of the information and limits on
its use.
Independent Psychological Evaluation
{37}
The trial court also denied a request for an
independent psychological evaluation, finding that Defendant
had "failed to demonstrate any issue regarding the
competency of [S.G.] to be a witness." However, S.G.'s
competency to be a witness was never at issue. The issues presented to the trial court were whether S.G. would suffer
unreasonable and unnecessary mental or emotional harm if she
were to testify in open court, and whether the defense of
fabrication warranted an independent evaluation. In cases
such as this, deciding whether to grant an independent
psychological exam does not turn on the general competency
of a witness. Cf. State v. Garcia, 94 N.M. 583, 586-87, 613
P.2d 725, 728-29 (Ct. App. 1980) (authorizing independent
psychological exam on question of victim's mental anguish
although no claim that the victim was mentally
incapacitated).
{38}
We have held that a trial court abuses its discretion
by refusing a defendant's request for a psychological
evaluation of the victim when the evaluation is necessary to
rebut a claim of mental anguish that the State is required
to prove. Id. The State attempts to limit Garcia by
pointing out that the mental anguish of the victim in that
case was an essential element of the crime, whereas here,
S.G.'s mental anguish is only relevant to "whether she would
testify in person at trial or by videotape." We are
unpersuaded by the distinction. The State placed S.G.'s
mental state at issue, and whether that occurs in a pretrial
motion or the trial itself is of little consequence to our
analysis. Under Garcia, reasonable discovery not precluded
by law must be granted. See id.
{39}
Parenthetically, we acknowledge an ambiguity in the law
with respect to the standard a movant must meet to persuade
the court to order a psychological examination. Under
Garcia, the movant need not prove a "compelling reason" for
the examination, "where there was a specific basis for the
examination (to discover information concerning the mental
anguish which the State was required to prove)." Id. That
"specific basis" is present here. Yet the committee
commentary to Rule 5-504 characterizes psychological
evaluations as appropriate only "in the rare case" to show
good cause for a videotaped deposition under the rule. The
committee commentary properly points to the potential for
emotional harm if psychological evaluations of juveniles are
abused.
{40}
We need not resolve the issue here because Defendant
argues that he has, in fact, demonstrated a compelling need
for the evaluation. See Garcia, 94 N.M. at 586, 613 P.2d at
728 (recognizing the compelling reason approach). Defendant
also asserts that his compelling need for independent
psychological evaluation extends to the preparation of his
defense as well as rebutting the prosecution's motion for a
videotaped deposition. In New Mexico, a compelling need is
demonstrated when "the probative value of the evidence
reasonably likely to be obtained from the examination outweighs the prejudicial effect of such evidence and the
prosecutrix' right of privacy." State v. Romero, 94 N.M.
22, 27, 606 P.2d 1116, 1121 (Ct. App. 1980), overruled on
other grounds by State v. Johnson, 1997-NMSC-036, ¶ 34, 123
N.M. 640, 944 P.2d 869. Given the manner in which S.G.'s
allegations developed, and the therapist's admission that
S.G.'s fear of testifying was consistent with a child that
was not being truthful, Defendant may have demonstrated a
compelling need. However, we leave that determination to
the trial court in the sound exercise of its discretion and
in light of all the relevant factors. We are confident that
the court on remand can use its considerable powers to
protect the child while ensuring that Defendant has the
information he reasonably needs to oppose the State's motion
for videotaped testimony.
An Order For Videotaped Trial Testimony Must Be
Supported By Findings of Fact
{41}
When a trial court concludes that the potential harm to
a child outweighs a defendant's constitutional right to
confront that child at trial, the court must make
individualized findings as to why the child needs special
protection. Tafoya, 108 N.M. at 3, 765 P.2d at 1185 (citing
Coy v. Iowa, 487 U.S. 1012, 1021 (1988)). "Absent findings
indicating the trial court was persuaded and why, the
decision to deny a defendant his or her right of
confrontation cannot be adequately reviewed on appeal."
State v. Benny E., 110 N.M. 237, 242, 794 P.2d 380, 385 (Ct.
App. 1990). Although the State concedes that no findings
were made here, the State contends that the trial court's
ruling was supported by substantial evidence. However, as
an appellate court, it is not our function to make the
findings necessary to support the trial court's ruling. See
id. The failure to incorporate findings into the court's
ruling was error.
Admissibility of Defendant's Penile Plethysmograph Test
Results
{42}
The defense included the testimony of Dr. Ned Siegel,
who testified that Defendant's psychological profile was not
consistent with that of a pedophile. On cross-examination,
the prosecutor questioned whether Dr. Siegel had performed a
penile plethysmograph test,See footnote 1 which the prosecutor described
as a test "customarily used to identify pedophiles." Dr.
Siegel responded, "No, I did not. I do not do that."
{43}
Before redirect examination began, defense counsel
requested a recess to allow Dr. Siegel to examine the report
of Dr. Moss Aubrey. Dr. Aubrey had performed a penile
plethysmograph test on Defendant, which Defendant passed.
Defendant informed the trial court that he had decided not
to call Dr. Aubrey to testify about the test because the
results failed to meet the standards for reliability under
Daubert v. Merrell Dow Pharmaceuticals, Inc., 509 U.S. 579
(1993), and therefore the test was not admissible.
Defendant argued that the prosecution's questions left the
jury with the impression that he had failed to take a
legitimate test to determine pedophilia, and therefore, he
should be allowed to rebut the prosecution's innuendo by
introducing the test results.
{44}
The trial court ruled that Dr. Siegel could not testify
about the results of Dr. Aubrey's test, but the court would
permit Defendant to testify that he had passed the penile
plethysmograph test if he took the stand. In reliance on
this ruling, Defendant questioned Dr. Siegel on redirect
about the significance of the penile plethysmograph test and
how to interpret the results of that test. However, before
Defendant began his testimony, the State objected to any
testimony about passing the test on the ground that the test
results were never disclosed to the prosecution. Although
the trial court noted that Defendant was not obligated to
disclose material that it did not intend to use, the court
nonetheless sustained the State's objection. Defendant then
requested the trial court to instruct the jury to disregard
all the testimony about the penile plethysmograph. The
trial court denied the request.
{45}
Defendant first argues that the prosecutor committed
misconduct in questioning Dr. Siegel about the
administration of a penile plethysmograph test. The
misconduct is predicated on the assumption that the
prosecutor knew, or should have known, that penile
plethysmograph results are generally inadmissible. We
assume, without deciding, that the results of the penile
plethysmograph test are not reliable enough to be considered
admissible. See, e.g., Doe v. Glanzer, 232 F.3d 1258, 1266
(9th Cir. 2000) (holding that "courts are uniform in their
assertion that the results of penile plethysmographs are
inadmissible as evidence"). Nonetheless there is no
evidence in the record that the prosecutor was privy to this
knowledge, or should have known it. Defendant, who was
aware of the admissibility problem, could have informed the
prosecutor (and the trial court) of the fact with a timely
objection, but he failed to do so. Although we do not
approve of questioning a witness about inadmissible matters,
we cannot find prosecutorial misconduct on this record.
{46}
Defendant also asserts that the trial court erred by
not allowing him to rebut the inference left with the jury
that he had not taken a valid testing procedure, presumably
out of fear that he would fail it. Although Defendant
admits that the results of the penile plethysmograph are not
admissible, Defendant asserts that he was entitled to
present evidence that he had taken and passed the test, once
the prosecution opened the door by questioning Dr. Siegel
about it. We agree.
{47}
Our precedents permit otherwise inadmissible evidence
to be used to rebut the same under the doctrine of curative
admissibility. State v. Baca, 120 N.M. 383, 390 n.2, 902
P.2d 65, 72 n.2 (1995) (recognizing that New Mexico adopted
curative admissibility); see also State Bank of Commerce v.
W. Union Tel. Co., 19 N.M. 211, 227, 142 P. 156, 162 (1914)
(permitting rebuttal evidence to counterbalance incompetent
evidence entered into record without objection). In this
regard, the trial court correctly decided to allow Defendant
to testify to the result of his test in order to rebut the
prosecutor's remarks. The trial court erred when it changed
its mind.
{48}
We recently reversed a criminal conviction after a
defendant had relied on a trial court's evidentiary ruling,
which the court later reversed to Defendant's detriment.
See State v. Glasgow, 2000-NMCA-076, ¶ 1, 129 N.M. 480, 10
P.3d 159, cert denied, 129 N.M. 385, 9 P.3d 68. Glasgow
acknowledged that "inconsistent application of the rules may
have a prejudicial effect upon defense strategy." Id. ¶ 14.
The lesson of Glasgow applies to the case at bar.
{49}
We need not concern ourselves with the level of
prejudice Defendant may have suffered because we are
reversing the convictions on other grounds. At a minimum,
however, the trial court's ruling prevented Defendant from
rebutting the prosecutor's comment with evidence of the test
results, which is the express purpose of the curative
admissibility doctrine. See Strong, supra, § 57, at 252-53
& n.2 (permitting rebuttal with inadmissible evidence once
the opposing party has opened the door with inadmissible
evidence, a doctrine described as "[f]ighting fire with
fire").
Viewing the Scene
{50}
Defendant's house was small, only 820 square feet.
Part of S.G.'s testimony was that she was often molested
inside the house with Cindy or the children in the adjoining
rooms, in some cases with children in the same room but
asleep in a bed two feet away. Defendant took the position
that S.G.'s testimony was incredible given the cramped living conditions. To allow the jury to experience how
close the living conditions were, and properly gauge the
likelihood of S.G.'s allegations, Defendant moved the trial
court to allow the jury to go to view the house. The trial
court denied the motion.
{51}
We consider four factors when reviewing whether a jury
should be allowed to view a scene, reviewing them under an
abuse of discretion standard. State v. Maddox, 99 N.M. 490,
491-92, 660 P.2d 132, 133-34 (Ct. App. 1983). They are
(1) the importance of the evidence to be obtained
and the circumstances of the case on trial, (2)
whether it is reasonably certain the view will
substantially aid the jury in reaching a correct
verdict, (3) whether the jury could visualize the
scene or the object to be viewed from the
testimony submitted, and (4) whether conditions of
the scene since the time of the [event] are
sufficiently the same at the time of the trial to
make a jury view helpful.
Id. (citations omitted).
{52}
Defendant does not address the factors individually.
We note that at trial Defendant did illustrate how small the
house was by marking out the dimensions of the house, to
scale, inside the courtroom. Defendant also introduced an
array of photographs designed to depict the close proximity
within which the family lived. Coupled with the testimony
of the witnesses, such evidence was sufficient for the jury
to visualize the circumstances of Defendant's house. The
trial court had the discretion to deny Defendant's motion
and, under these circumstances, the court did not abuse its
discretion.
CONCLUSION
{53}
The trial court erred in denying Defendant's motion to
sever the charges against him, and therefore we reverse his
convictions. Because the testimony of the girls, if
believed, provides sufficient evidence to convict, we remand
for new trials consistent with this opinion.
{54}
IT IS SO ORDERED.
________________________________
RICHARD C. BOSSON, Chief Judge
WE CONCUR:
________________________________
A. JOSEPH ALARID, Judge
________________________________
CELIA FOY CASTILLO, Judge