State v. Franks

265 S.E.2d 177, 300 N.C. 1, 1980 N.C. LEXIS 1038
CourtSupreme Court of North Carolina
DecidedMay 6, 1980
Docket51
StatusPublished
Cited by44 cases

This text of 265 S.E.2d 177 (State v. Franks) is published on Counsel Stack Legal Research, covering Supreme Court of North Carolina primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
State v. Franks, 265 S.E.2d 177, 300 N.C. 1, 1980 N.C. LEXIS 1038 (N.C. 1980).

Opinion

COPELAND, Justice.

On cross-examination, Dr. Harper testified that in his opinion, based on his observations of and conversations with the defendant, defendant knew the difference between right and wrong and knew the nature and quality of his acts. Defendant maintains in his first assignment of error that Dr. Harper was not treating the defendant in an effort to cure him. At this time, he was merely observing, evaluating and diagnosing the defendant to prepare himself to testify at defendant’s trial. Defendant argues that our decisions in State v. Wade, 296 N.C. 454, 251 S.E. 2d 407 (1979) and State v. Bock, 288 N.C. 145, 217 S.E. 2d 513 (1975), death sentence vacated, 428 U.S. 903 (1976), hold that such a non-treating physician cannot state his opinion based upon personal knowledge but may only respond to a hypothetical question.

*7 Defendant’s reading of Wade and Bock is completely erroneous. The rule is that when the facts upon which the expert bases his opinion “ ‘are all within the expert’s own knowledge, he may relate them himself and give his opinion; or, within the discretion of the trial judge, he may give his opinion first and leave the facts to be brought out on cross-examination. . . .’” State v. Abernathy, 295 N.C. 147, 162, 244 S.E. 2d 373, 383 (1978), quoting 1 Stansbury, N.C. Evidence § 136, p. 446 (Brandis rev. 1973); State v. Hunt, 297 N.C. 258, 262, 254 S.E. 2d 591, 595 (1979); State v. Hightower, 187 N.C. 300, 121 S.E. 616 (1924).

In State v. DeGregory, 285 N.C. 122, 203 S.E. 2d 794 (1974), we held that it was proper to allow Dr. Robert Rollins of Dorothea Dix Hospital, whom the trial judge had ordered to examine the defendant, to give his opinion of defendant’s mental capacity based on his personal examination and interview of the defendant, “and any other information contained in his official record. . . .” Id. at 131, 203 S.E. 2d at 800. Dr. Rollins specifically stated in his testimony quoted by this Court in DeGregory that, “I was not treating Mr. DeGregory. I was just diagnosing. . . .” Id. at 131, 203 S.E. 2d at 801 [Emphasis added.] It was further explained in DeGregory that the expert may have personal knowledge of some facts even though he did not personally make the observations in order to gather those facts.

“ ‘With the increased division of labor in modern medicine, the physician making a diagnosis must necessarily rely on many observations and tests performed by others and recorded by them; records sufficient for diagnosis in the hospital ought to be enough for opinion testimony in the courtroom.’ ” Id. at 134, 203 S.E. 2d at 802, quoting Birdsell v. United States, 346 F. 2d 775, 779-80 (5th Cir.), cert. denied, 382 U.S. 963 (1965).

The specific issue in Wade and Bock was whether the expert could give his opinion based upon his personal knowledge when that knowledge came from and his opinion was based upon (in whole or in part) conversations with the patient. The rule was stated and applied in Bock as follows:

“ ‘Where an expert witness testifies as to the facts based upon his personal knowledge, he may testify directly as to his opinion. Generally, however, an expert witness can *8 not base his opinion on hearsay evidence. . . Cogdill v. Highway Commission and Westfeldt v. Highway Commission, 279 N.C. 313, 326, 182 S.E. 2d 373, 381 (1971). The opinion of a physician, however, is not ordinarily rendered inadmissible by the fact that it is based wholly or in part on statements made to him by the patient, if those statements are made in the course of professional treatment and with a view of effecting a cure, or during an examination made for the purpose of treatment and cure. Penland v. Coal Co., 246 N.C. 26, 31, 97 S.E. 2d 432, 436 (1957). See 1 Stansbury’s North Carolina Evidence § 136 (Brandis Rev., 1973). In such a situation it is reasonable to assume that the information which the patient gives the doctor will be the truth, for self-interest requires it. Here, however, Dr. Smith [who testified for the defendant] did not examine defendant for the purpose of treating him as a patient, but for the purpose of testifying as a witness for defendant in this case in which he is charged with first-degree murder. The motive which ordinarily prompts a patient to tell his physician the truth is absent here. The evidence was therefore incompetent and properly excluded.” State v. Bock, supra at 162-63, 217 S.E. 2d at 524. [Emphasis in original.]

In Wade, the expert was Dr. Maloney to whom the defendant had been referred for treatment by Dorothea Dix Hospital. The general rule that an expert may give an opinion based on facts within his personal knowledge without resort to a hypothetical question was noted. Then, it was stated that “[pjroblems arise . . . when a physician’s opinion is derived in whole or in part through information received from another . . . because of a second rule . . . that ... ‘an expert witness cannot base his opinion on hearsay evidence.’ Cogdill v. Highway Commission, 279 N.C. 313, 327, 182 S.E. 2d 373, 381 (1971);” State v. Wade, supra at 458, 251 S.E. 2d at 409.

The Court noted, from a thorough analysis of the major cases on this issue, that a common element in our cases is the requirement that in order for the expert to be able to give an opinion based on his personal knowledge when that includes information supplied to the physician by others, including the patient, the information must be inherently reliable even though it is not independently admissible into evidence. When the opinion is ad *9 missible the expert may testify to the information he relied on in forming the opinion, not for substantive purposes, but for the purpose of showing the basis of the opinion. State v. Wade, supra. Thus stated, it can be seen that Bock is but a more specific statement and application of the broader reliability requirement set forth in Wade.

In Wade, there were two indicia of reliability to support the admission of Dr. Maloney’s opinion: defendant was sent to him as a patient for treatment and a sufficient indication of reliability was found in the nature of Dr. Maloney’s entire examination. The nature of the examination was explained as follows:

“The examination . . . was a thorough, carefully designed attempt to gain an understanding of defendant’s state of mind. Dr. Maloney did not rely for his conclusions on any one statement by defendant or on any particular fact he disclosed. Instead he took into account the entirety of what defendant said together with his own interpretation and analysis of it and the objective manifestations that accompanied it. . . .

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Bluebook (online)
265 S.E.2d 177, 300 N.C. 1, 1980 N.C. LEXIS 1038, Counsel Stack Legal Research, https://law.counselstack.com/opinion/state-v-franks-nc-1980.