State v. Hegyi

396 P.3d 1095, 242 Ariz. 415, 768 Ariz. Adv. Rep. 4, 2017 WL 2883858, 2017 Ariz. LEXIS 183
CourtArizona Supreme Court
DecidedJuly 7, 2017
DocketNo. CR-16-0264-PR
StatusPublished
Cited by5 cases

This text of 396 P.3d 1095 (State v. Hegyi) is published on Counsel Stack Legal Research, covering Arizona Supreme Court primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
State v. Hegyi, 396 P.3d 1095, 242 Ariz. 415, 768 Ariz. Adv. Rep. 4, 2017 WL 2883858, 2017 Ariz. LEXIS 183 (Ark. 2017).

Opinion

JUSTICE GOULD,

opinion of the Court:

¶ 1 We hold that, pursuant to Arizona Rule of Ciiminal Procedure 11.4(b), a defendant who asserts an insanity defense and voluntarily undergoes a mental health exam must disclose a complete copy of the expert’s examination report, including any statements made by the defendant concerning the charges against him. Accordingly, we disapprove the holding in Austin v. Alfred, 163 Ariz. 397, 788 P.2d 130 (App. 1990) to the extent it permits a defendant to redact such statements under Rule 11.4(b).

BACKGROUND

¶ 2 Defendant Josh Rasmussen was indicted for armed robbery and felony murder. After the charges were filed, his attorney consulted with several mental health experts regarding a possible insanity defense. Based on their opinions, defense counsel filed a supplemental notice of defenses listing insanity, or guilty except insane, as a defense. A.R.S. § 13-502(A).

¶ 3 Rasmussen eventually retained a psychologist to testify in support of his insanity defense. The State and Rasmussen also agreed to an examination by a joint expert. Both experts prepared reports that included statements Rasmussen made about the pending charges.

¶ 4 The State requested copies of the experts’ reports. Defense counsel produced copies, but redacted Rasmussen’s statements. The State moved to compel, seeking disclosure of complete copies. Rasmussen objected based on Austin, 163 Ariz. at 400, 788 P.2d 130, and the superior court denied the State’s motion. Cf. Austin, 163 Ariz. at 400, 788 P.2d 130 (stating that Rule 11.4(b) implicitly allows a defendant to redact his statements from a mental health expert’s report). The State then petitioned the court of appeals for special action relief.

¶ 6 The court of appeals accepted jurisdiction and granted relief, reversing the superior court’s order. State v. Hegyi, 240 Ariz. 261, 266-67 ¶¶ 21-22, 378 P.3d 428, 433-34 (App. 2016). Departing from Austin, the court held “that a defendant who is examined by a non-court-appointed expert cannot, after giving notice of the guilty-except-insane defense ... redact his statements from his expert’s report under Rule 11.4(b).” Hegyi, 240 Ariz. at 266 ¶ 18, 378 P.3d 428.

¶ 6 We granted review to resolve whether Rule 11.4(b) requires a defendant to disclose his statements contained in a mental health expert’s report. We have jurisdiction pursuant to article 6, section 5(3) of the Arizona Constitution and A.R.S. § 12-120.24.

DISCUSSION

¶ 7 We review de novo the interpretation of constitutional provisions, statutes, and rules. State v. Hansen, 215 Ariz. 287, 289 ¶ 6, 160 P.3d 166, 168 (2007).

¶ 8 Rasmussen argues the statements he made during his mental health exams are privileged under the Fifth Amendment and, as a result, are not subject to disclosure under Rule 11.4(b). U.S. Const, amend, V.

¶9 The Fifth Amendment applies to statements made by a defendant during a court-ordered mental health examination. Es[417]*417telle v. Smith, 451 U.S. 454, 462, 468, 101 S.Ct. 1866, 68 L.Ed.2d 359 (1981); Phillips v. Araneta, 208 Ariz. 280, 282 ¶ 7, 284 ¶ 14, 93 P.3d 480, 482, 484 (2004). A defendant is not required to disclose statements made during a court-ordered exam, and such statements are not admissible at trial. Smith, 451 U.S. at 462, 468, 101 S.Ct. 1866; Araneta, 208 Ariz. at 284 ¶ 14, 93 P.3d 480.

¶ 10 However, when a defendant asserts an insanity defense, he waives his self-incrimination privilege. Kansas v. Cheever, — U.S. -, 134 S.Ct. 596, 601, 187 L.Ed.2d 519 (2013); State v. Schackart, 175 Ariz. 494, 500-01, 858 P.2d 639, 645-46 (1993); State v. Tallabas, 155 Ariz. 321, 324-26, 746 P.2d 491, 494-96 (App. 1987). Such waiver is analogous to the rule that a defendant who chooses to testify at trial may not invoke his Fifth Amendment privilege to avoid cross-examination. Cheever, 134 S.Ct. at 601; Schackart, 175 Ariz. at 500-01, 858 P.2d 639; Tallabas, 155 Ariz. at 324-26, 746 P.2d 491. Additionally, fairness requires the State have access to a defendant’s statements to “rebut the evidence [of insanity] presented by the defendant.” State v. Druke, 143 Ariz. 314, 318, 693 P.2d 969, 973 (App. 1984); see Cheever, 134 S.Ct. at 601 (same).

¶ 11 In contrast to a court-ordered exam, a defendant may request a mental health exam. In such cases, a defendant’s statements to the examiner are not compelled. Thus, because the Fifth Amendment only applies to compelled statements, the privilege is not implicated. See Buchanan v. Kentucky, 483 U.S. 402, 422-23, 107 S.Ct. 2906, 97 L.Ed.2d 336 (1987) (when a defendant requests a psychiatric exam or presents expert testimony in support of a psychiatric defense, he has no Fifth Amendment privilege against the admission of statements made during the psychiatric exam); State v. Mauro, 159 Ariz, 186, 195, 766 P.2d 59, 68 (1988) (holding that “the [F]ifth [Amendment protections ... are inapplicable” when a defendant asserts an insanity defense and requests the court appoint an expert to examine him); State v. Smith, 131 Ariz. 29, 34, 638 P.2d 696, 700 (1981) (“Since the appellant was examined at his own request, the exposure which was invited was a clear waiver of constitutional guarantees.”).

¶ 12 Consistent with these principles, Arizona’s rules and statutes governing mental health exams preserve a defendant’s privilege against self-incrimination. Cf. Hansen, 215 Ariz. at 289 ¶ 7, 160 P.3d 166 (stating that when possible, rules, statutes and constitutional protections should be harmonized). Arizona Rule of Criminal Procedure 11.7 is “grounded in the [Fjifth [A]mendment,” and provides that, absent waiver, a defendant’s statements to a mental health expert are not admissible at trial. Tallabas, 155 Ariz. at 323, 746 P.2d 491. Similarly, A.R.S.

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Bluebook (online)
396 P.3d 1095, 242 Ariz. 415, 768 Ariz. Adv. Rep. 4, 2017 WL 2883858, 2017 Ariz. LEXIS 183, Counsel Stack Legal Research, https://law.counselstack.com/opinion/state-v-hegyi-ariz-2017.