People v. Lopez

126 Misc. 2d 1072, 484 N.Y.S.2d 974, 1985 N.Y. Misc. LEXIS 2530
New York Supreme Court·Decided January 14, 1985·Published·Cited by 2 cases

Opinion

OPINION OF THE COURT

Michael R. Juviler, J.

This is a decision after a hearing to determine the defendant’s mental competency to stand trial. The defendant has been indicted for sale of cocaine as an A-I felony, and possession of cocaine.

This case raises questions regarding the meaning and constitutionality of the definition of “[qualified psychiatrist” in CPL 730.10 (5). The CPL provides for the examination of a defendant by “two qualified psychiatrists” to determine his ability to understand the proceedings and assist in his defense. (CPL 730.20 [1].) The same definition appears in the Insanity Defense Reform Act of 1980 (L 1980, ch 542), which requires examination by “two qualified psychiatrists” of a defendant who is found not responsible by reason of mental illness, to determine his present mental illness and dangerousness. (See, CPL 330.20 [1] [q]; 330.20 [2].) The issues in this case affect all psychiatrists [1073] who perform these important examinations throughout New York State, in hundreds of criminal actions each year. Yet there is no published decision on these questions, so the court must address them without the help of precedent.

I make the following findings, based upon the testimony of Dr. Adolph Goldman and Dr. Franklin S. Klaf; their reports of examinations of the defendant in 1977 and on October 18, 1984; medical records of Long Island College Hospital submitted by the defendant; the brochure Information For Applicants, published by the American Board of Psychiatry and Neurology; the American Osteopathic Association Yearbook and Directory of Osteopathic Physicians; and the two doctors’ affidavits regarding their education and training.

I. THE MEANING OF “QUALIFIED PSYCHIATRIST”

Defendant contends that this court may not consider the testimony or reports of Drs. Goldman and Klaf, because neither is a “[qualified psychiatrist” as that term is defined in GPL 730.10 (5). These doctors were appointed by the director of Kings County Hospital to examine the defendant and determine whether he is an incapacitated person. GPL 730.20 (1) requires that the examination be conducted by “two qualified psychiatrists” (People v Ross, 50 AD2d 1064 [4th Dept 1975]). The People correctly concede that the People bear the burden of establishing that Drs. Goldman and Klaf are “qualified psychiatrists.” (Supra.)

GPL 730.10 (5) defines “[qualified psychiatrist” as a “physician” who:

“(a) is a diplómate of the American board of psychiatry and neurology or is eligible to be certified by that board; or

“(b) is certified by the American osteopathic board of neurology and psychiatry or is eligible to be certified by that board” (emphasis added).

Dr. Goldman and Dr. Klaf have not been certified by the American Board of Psychiatry and Neurology or the American Osteopathic Board of Neurology and Psychiatry. Therefore, the court must determine whether they are “eligible to be certified” by either Board.

The American Osteopathic Board of Neurology and Psychiatry establishes the educational and professional background required for an applicant’s certification; the applicant must also pass an examination. (American Osteopathic Association Yearbook and Directory, at 579 [1984].) One of the requirements before examination is graduation from a college of osteopathic [1074] medicine. Neither psychiatrist in this case meets that requirement; therefore, neither is “eligible to be certified by” that Board. As a result, the People must establish that the doctors are “eligible to be certified by” the American Board of Psychiatry and Neurology.

The American Board of Psychiatry and Neurology is a private corporation which, as stated in its publication Information For Applicants, evaluates the competence of specialists in psychiatry and neurology, conducts examinations of candidates for certification by the Board, and grants certificates of special competency to successful applicants. To be allowed to take the examination, the physician must have an unlimited license to practice medicine in a State; both doctors in this case are so licensed in New York State. In addition, the candidate must complete four years of approved postgraduate training, including at least three years of residency in psychiatry or neurology (Information For Applicants, at 6). The two doctors have convincingly set forth their approved training, in testimony and affidavits, and the defendant does not dispute their fulfillment of this requirement.*

The defendant, however, interprets the statutory requirement of eligibility to impose an obligation on the physician actively to seek certification by the Board. This interpretation finds support in the Board’s policy that the Board “does not recognize or use the term ‘Board Eligible’ and does not issue statements concerning ‘Board Eligibility.’ The Board informs an applicant of admissibility to examination only when the applicant has an active, approved application on file in the Board’s office” (Information For Applicants, at 5).

[1075] Defendant contends that Dr. Goldman is not eligible to be certified, because he failed the Board’s examination and testified that he will not apply to take it again. Similarly, Dr. Klaf’s testimony that he does not know whether he will apply for certification means, in the defendant’s view, that Dr. Klaf is not eligible to be certified by the Board. The People maintain that a physician who has the professional background required by the Board of an applicant is “eligible” to be certified within the meaning of the statute, even if the physician has no application pending before the Board.

The dispute between the parties reflects the paradox that the statute defines “qualified psychiatrist” in terms of eligibility to be certified as a specialist by the Board, but the Board disavows the status of eligibility. The resolution of the paradox lies in recognizing the court’s role in this litigation. Its role is to interpret, in the first instance, the intent of the Legislature, not the Board’s policy. The statute provides that some persons who have not been certified by the Board are nevertheless to be considered “eligible” to be certified. Regardless of the Board’s rejection of the concept of eligibility, perhaps because it devalues the Board’s program of certification, the Legislature has found that concept useful for determining who, in its view, is qualified to examine defendants in New York State.

The question remains, what precisely did the Legislature mean by the term “eligible”? The term could mean: (a) eligible to take the Board’s examination for certification, in the sense of possessing a physician’s license and completing four years of residency; (b) having taken and officially passed the examination and awaiting the formal certification; (c) having taken the examination and awaiting the results; or (d) having applied to take the examination. The two doctors in this case meet only the first definition. That is probably true of most psychiatrists who have been appointed to examine defendants under the CPL.

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People v. Lopez, 126 Misc. 2d 1072, 484 N.Y.S.2d 974, 1985 N.Y. Misc. LEXIS 2530 (N.Y. Super. Ct. 1985).

126 Misc. 2d 1072 (People v. Lopez) — published by Counsel Stack Legal Research, free access to 12M+ legal documents.

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