State v. Stafford
State v. Stafford
Concurring Opinion
concurring in the result.
Considering the current social science and medical research on rape trauma syndrome, I conclude that Dr. Ponzi’s testimony about rape trauma syndrome was reversibly prejudicial. First, although it may be a therapeutic tool, the rape trauma syndrome has not gained acceptability as a socio-medical scientifically reliable means for proving that a rape occurred. As the Minnesota Supreme Court said in State v. Saldana, 324 N.W. 2d 227, 229-30 (1982):
Rape trauma syndrome is not the type of scientific test that accurately and reliably determines whether a rape has occurred. The characteristic symptoms may follow any psychologically traumatic event. American Psychiatric Association, Diagnostic and Statistical Manual of Mental Disorders 236 (3d ed. 1980). At best, the syndrome describes only symptoms that occur with some frequency, but makes no pretense of describing every single case. C. Warner, Rape and Sexual Assault 145 (1980).
Unlike fingerprints, blood tests, lie detector tests, voiceprints or the battered child syndrome, rape trauma syndrome was not devised to determine the “truth” or “accuracy” of a particular event — i.e., whether, in fact, a rape in the legal sense occurred — but rather was developed by professional rape counselors as a therapeutic tool, to help identify, predict and treat emotional problems experienced by the counselors’ clients or patients. . . . [R]ape counselors are taught to make a conscious effort to avoid judging the credibility of their clients. . . . “[W]hen a psychologist becomes judgmental, he/she has become entrapped in a major pitfall. . . .”
Thus, as a rule, rape counselors do not probe inconsistencies in their clients’ descriptions of the facts of the incident, nor do they conduct independent investigations to determine whether other evidence corroborates or contradicts their clients’ renditions.
(quoting Kilpatrick, Rape Victims: Detection, Assessment and Treatment (Summer 1983) Clinical Psychologist 92, 94) (citation omitted). Finally and significantly, defendant did not raise “consent” as a defense. Use of the rape trauma syndrome when a defendant contends the victim consented is not as problematical as use of the syndrome when, as in the instant case, the defendant contends he did not engage in sexual intercourse with the victim. That is, when a defendant does not contest the fact that a rape occurred, but merely denies he committed it, rape trauma syndrome evidence may be irrelevant and prejudicial.
Although set in print, these words are not figuratively cast in stone for eternity. When, and if, the methodological flaws in
Believing the jury could have been misled by Dr. Ponzi’s testimony, even though he offered no opinion, and that the danger of unfair prejudice outweighs any probative value the evidence may have had, I concur in the result.
Dissenting Opinion
dissenting.
I disagree with the majority’s conclusion that Dr. Ponzi’s testimony as to Tammy Ingram’s symptoms, as related to him by Tammy and her mother, was inadmissible hearsay. I would find that his testimony was admissible as substantive evidence under G.S. 8C-1, Rule 803(4). Rule 803(4) excludes from the hearsay rule: “[statements made for the purposes of medical diagnosis or treatment and describing medical history, or past or present symptoms, pain, or sensations, or the inception or general character of the cause or external source thereof insofar as reasonably pertinent to diagnosis or treatment.” (Emphasis added.) The reason for the admission of such statements is grounded upon their reliability due to the declarant’s motivation to assist the physician in diagnosis or treatment. Not only are statements by the patient admissible, but a statement made to a physician by a third person as to the patient’s symptoms would also be admissible if made for purposes of diagnosis and treatment of the patient, and if the court determines that the statement is likely to be reliable. 4 J. Weinstein & Berger, Weinstein’s Evidence p. 803-(4)[01] at 145 (1985). “In the case of a child, a court would undoubtedly assume the absence of any motive to mislead on the part of his parents.” Id.
The majority opinion narrowly interprets Rule 803(4) as applying solely to “a diagnosis for the purpose of treating a disease.” Such a restrictive interpretation obviously excludes statements reasonably pertinent to diagnosis or treatment of other medical conditions, e.g., broken bones, drug and alcohol addiction and psychological disorders. I would not so restrict the interpretation of the rule, but would instead apply the following test to determine the admissibility of the declarant’s out of court
The majority also states that it is obvious that Tammy Ingram’s visit to Dr. Ponzi on 13 July 1984 was “in preparation for going to court” rather than diagnosis or treatment. I see nothing in the record to indicate that the reason for her visit was solely in preparation for Dr. Ponzi’s court testimony rather than for assistance with the symptoms described by Tammy and her mother. The mere fact that both declarants were aware of the pending court proceeding does not render inadmissible their statements to him made for a medical purpose. Dr. Ponzi testified that he attempted to make a medical diagnosis. Both Tammy and her mother responded to questions asked by Dr. Ponzi and their answers provided him with information as to Tammy’s physical, emotional and mental well-being; information which could serve as a basis for diagnosis and treatment of her condition. As such, the statements were within the scope of admissible hearsay permitted by Rule 803(4). See United States v. Iron Thunder, 714 F. 2d 765 (8th Cir. 1983); State v. Hebert, 480 A. 2d 742 (Me. 1984).
The concurring opinion finds error in the admission of Dr. Ponzi’s testimony concerning the symptoms comprising “rape trauma syndrome.” In my view this testimony was relevant and its admission was not an abuse of the trial court’s discretion.
Dr. Ponzi was accepted by the court as an expert witness in the field of pediatric medicine and testified that he had treated many patients, from infants to college age, upon complaints of sexual abuse. He testified that he is familiar with the complex number of symptoms medically recognized as rape trauma syndrome. He testified as to what those symptoms were and also testified as to the symptoms exhibited by Tammy Ingram, as related to him by Tammy and her mother. He did not testify that Tammy’s symptoms were produced by rape, or that her disorder resulted from sexual abuse at the hands of defendant. He did not express an opinion that Tammy Ingram suffered from rape trauma syndrome.
I would hold such expert testimony admissible. There is recognized scientific authority for the medical conclusion that there exists a complex and unique number of physical and emotional symptoms exhibited by victims of rape, which are similar, but not identical, to other post-traumatic stress disorder symptoms. Massaro, supra (reviewing scientific studies). An understanding of those symptoms, the unique reactions of victims of rape, is not within the common knowledge or experience of most persons called upon to serve as jurors. Therefore, expert testimony as to the symptoms of the syndrome and its existence, is admissible to assist the jurors in understanding the evidence and in drawing appropriate conclusions therefrom. G.S. 8C-1, Rule 702; State v. Wilkerson, 295 N.C. 559, 247 S.E. 2d 905 (1978) (“battered child syndrome,” expert testimony admissible).
To say that such evidence is irrelevant misinterprets relevance. G.S. 8C-1, Rule 401 makes relevant “evidence having any tendency to make the existence of any fact that is of consequence to the determination of the action more probable or less probable than it would be without the evidence.” Just as evidence of physical injury has been admissible as relevant to the issue of rape, so should evidence of emotional injury to the victim be relevant to show that it is more likely that a rape occurred. Neither should the expert testimony be excluded on the grounds of unfair prejudice. In my view, the admission of expert testimony as to the
I would hold that there was no error in the admission of Dr. Ponzi’s testimony.
Opinion of the Court
The appellant’s only assignment of error is in regard to Dr. Ponzi’s testimony in regard to the rape trauma syndrome. We believe this assignment of error has merit. Dr. Ponzi testified as to the symptoms of rape trauma syndrome. He then testified as to the symptoms Tammy Ingram told him on 13 July 1984 that she had. If this testimony was introduced to prove the symptoms which Tammy Ingram had so that the jury could then determine whether she had a rape trauma syndrome it was hearsay testimony. It was offered to prove the truth of what Tammy Ingram told Dr. Ponzi. See G.S. § 8C-1, Rule 801(c) for a definition of hearsay. We do not believe this testimony was admissible under any exception to the hearsay rule. G.S. § 8C-1, Rule 803 provides in part:
The following are not excluded by the hearsay rule, even though the declarant is available as a witness:
(4) Statements for Purposes of Medical Diagnosis or Treatment — Statements made for purposes of medical diagnosis or treatment and describing medical history, or past or present symptoms, pain, or sensations, or the inception or general character of the cause or external source thereof insofar as reasonably pertinent to diagnosis or treatment.
We do not believe this exception is applicable in this case. It is obvious that Tammy Ingram went to Dr. Ponzi on 13 July 1984 in preparation for going to court. She did not go for treatment. We do not believe we should hold she went for diagnosis. The commentary says this exception to the hearsay rule is based on the strong motivation for truthfulness when a patient is seeking treatment from a physician. For this reason we believe the diagnosis for which the exception to the hearsay applies should be a diagnosis for the purpose of treating a disease.
New trial.
Reference
- Full Case Name
- State of North Carolina v. Michael Allen Stafford
- Cited By
- 9 cases
- Status
- Published