State v. Guthrie

2009 NMCA 036, 204 P.3d 1271, 145 N.M. 761
CourtNew Mexico Court of Appeals
DecidedJanuary 26, 2009
Docket27,022
StatusPublished
Cited by7 cases

This text of 2009 NMCA 036 (State v. Guthrie) is published on Counsel Stack Legal Research, covering New Mexico Court of Appeals primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
State v. Guthrie, 2009 NMCA 036, 204 P.3d 1271, 145 N.M. 761 (N.M. Ct. App. 2009).

Opinion

OPINION

WECHSLER, Judge.

{1} Defendant Jaime Guthrie challenges the district court’s revocation of his probation. Defendant argues that he was denied due process under this Court’s decision in State v. Phillips, 2006-NMCA-001, ¶¶ 11-16, 138 N.M. 730, 126 P.3d 546, when the district court revoked his probation based on the hearsay testimony of a witness who, without any personal knowledge of the bases upon which the State was seeking revocation, read into evidence the statements included in Defendant’s probation file. We conclude that the district court did not specifically find good cause for not requiring confrontation as mandated by Phillips, and we reverse and remand. In reaching our conclusion, we take this opportunity to clarify (1) the distinction raised in Phillips between the Sixth Amendment right to confrontation guaranteed to defendants in criminal prosecutions and the Fourteenth Amendment minimum due process right to confrontation guaranteed to defendants in probation revocation hearings and (2) the justifications for a finding of good cause by the district court.

BACKGROUND

{2} In July 2005, Defendant pleaded guilty to three charges related to an altercation with a law enforcement officer that took place earlier that year. Following Defendant’s guilty plea, the district court deferred sentencing on the condition that Defendant be placed on supervised probation for two and one half years less one day. The conditions of Defendant’s probation required him to, among other things, successfully complete a ninety-day residential treatment program, regularly report to his probation officer, and make monthly probation payments. In September 2005, Defendant allegedly violated several conditions of his probation agreement, and the State subsequently filed a motion to revoke his probation. Four days after the State filed its motion, a stipulated order was filed in the district court that allowed Defendant to remain on probation and ordered his transfer from state custody to a residential treatment center in order to fulfill his agreement to complete a treatment program. In May 2006, the State filed a second motion to revoke Defendant’s probation based in part on the allegation that he failed to successfully complete his required program at the residential treatment center.

{3} Prior to the August 10, 2006 hearing on the State’s second motion to revoke Defendant’s probation, the State issued a subpoena to secure the presence of Defendant’s probation officer, Cindy Chavez, at the hearing. However, the State’s subsequent “notice of intent to call witnesses” indicated that it only planned to call Jaime Olivas, Ms. Chavez’s supervisor, to testify. Indeed, Mr. Olivas was the only witness who testified at the hearing.

{4} At the hearing, before Mr. Olivas testified, Defendant requested the dismissal of the State’s motion and argued that any testimony offered by Mr. Olivas would be hearsay and would violate Defendant’s constitutional right under the Confrontation Clause of the Sixth Amendment to the United States Constitution. The district court noted the objection and proceeded with the hearing. The State then called Mr. Olivas, who testified that he was Ms. Chavez’s supervisor, that Ms. Chavez was required to submit probation violation reports to him, and that he could be considered a “custodian” of such reports. Mr. Olivas then testified that he did not sign the report authored by Ms. Chavez concerning Defendant’s alleged probation violations. Defendant promptly made a hearsay objection, which was overruled. Mr. Olivas then continued to testify about the statements included in Defendant’s file. He stated that Defendant’s file indicated that Defendant had been discharged from a program at a residential treatment center for violating its rules, that Defendant had failed to report to the probation office, and that Defendant had failed to make mandatory probation payments. On cross-examination, Defendant foeused exclusively on the fact that Mr. Olivas had not previously worked on Defendant’s case, and Mr. Olivas ultimately admitted that he had “no personal knowledge” of Defendant’s case “except for what [was] contained in the file.”

{5} Closing arguments followed Mr. Olivas’ testimony. The State focused its argument on its establishment of a foundation that Mr. Olivas acted as a “business custodian” of the report that alleged Defendant’s violations of his probation conditions. In response, Defendant argued that he had a constitutional right “to cross-examine and confront all the witnesses against him” and that Ms. Chavez’s absence was therefore fatal to the State’s argument in favor of revoking Defendant’s probation. Defendant further argued that “there is clear and established case law ... that the court’s decision cannot be based entirely on hearsay.” Finally, Defendant expressed his outrage at the fact that Mr. Olivas had not “approve[d]” the report submitted by Ms. Chavez.

{6} Ultimately, the district court ruled in favor of the State and revoked Defendant’s probation. In doing so, the district court stated that the testimony of Mr. Olivas was “probative of the fact” that Defendant had violated the terms of his probation by not successfully completing the residential treatment program. The judge further explained that the “filings” in Defendant’s case indicated that Defendant had not successfully completed the residential treatment program and that Defendant had failed to provide any evidence that such was not the case. Defendant appeals from that ruling.

CONSTITUTIONAL RIGHT TO CONFRONT WITNESSES AT PROBATION REVOCATION HEARINGS

{7} We review the district court’s revocation of a defendant’s probation for an abuse of discretion. Phillips, 2006-NMCA-001, ¶ 10, 138 N.M. 730, 126 P.3d 546. “The district court abuses its discretion when its ruling is based on a misunderstanding of the law.” Id. Our task therefore requires an examination of the applicable constitutional law to determine if the district court issued its ruling based on a misunderstanding of Defendant’s right to confront the witnesses against him at his probation revocation hearing. As such, our review is de novo. See State v. Ochoa, 2008-NMSC-023, ¶ 10, 143 N.M. 749, 182 P.3d 130 (“The application and interpretation of law is subject to a de novo review.”).

{8} Defendant’s argument that the district court violated his right to due process by not permitting him to confront his probation officer, and therefore abused its discretion in revoking his probation, relies heavily on this Court’s decision in Phillips. In Phillips, we considered the revocation of a defendant’s probation when “[t]he [s]tate’s only witness at the hearing was a probation officer who relied solely upon statements made in unauthenticated documents in her file.” Phillips, 2006-NMCA-001, ¶ 1,138 N.M. 730,126 P.3d 546. Those statements included “an annotation from another probation officer and some documents ... from Arizona,” where the defendant’s probation had previously been transferred. Id. The probation officer who testified was otherwise unfamiliar with the defendant’s case. Id. ¶ 4. Over objection, the district court concluded that the documents that included the hearsay statements that were offered as testimony “were relevant and kept in the ordinary course of business” and therefore allowed the probation officer to read the statements into evidence. Id. ¶¶ 1, 6.

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Related

State v. Trevor M.
2015 NMCA 009 (New Mexico Court of Appeals, 2014)
State v. Guthrie
2011 NMSC 014 (New Mexico Supreme Court, 2011)
State v. Oliver
New Mexico Court of Appeals, 2011
State v. Gauna
New Mexico Court of Appeals, 2010
State v. Rodriguez
New Mexico Court of Appeals, 2009
State v. Lopez
2009 NMCA 044 (New Mexico Court of Appeals, 2009)

Cite This Page — Counsel Stack

Bluebook (online)
2009 NMCA 036, 204 P.3d 1271, 145 N.M. 761, Counsel Stack Legal Research, https://law.counselstack.com/opinion/state-v-guthrie-nmctapp-2009.