United States v. Alvarez

In United States v. Alvarez, 519 F.2d 1036, (3d Cir. 1975), the court found a violation of a defendant's Sixth Amendment attorney-client privilege where a defense expert, a psychiatrist in that case, was used by prosecution as a witness in a proceeding to determine the defendant's competency to stand trial. Id. at 1046-47. The expert had examined the defendant and come to the conclusion that the defendant knew what he was doing was wrong and that he did not lack substantial capacity to conform his conduct to the requirements of the law. Id. at 1045. Defense counsel in the case decided to refrain from using the expert as a witness, but the State issued a subpoena ordering the expert to testify as a witness in its case-in-chief. Id. The defense argued that the State's actions violated the Fifth Amendment right against self-incrimination, the Sixth Amendment right to effective assistance of counsel, and attorney-client privilege. Id. at 1045. In reaching a conclusion, the court stated that communications to an accountant in anticipation of litigation are protected by the attorney-client privilege. Id. The court further noted that there was no difference between a defense counsel's need for expert assistance in accounting and in psychiatry: "The effective assistance of counsel demands recognition that a defendant be as free to communicate with a psychiatric expert as with the attorney." Id. at 1045. The court further reasoned that by accepting the government's argument, defense counsel would run the risk that an expert be retained for advice and assistance might be forced to serve involuntarily as a government witness. Id. The court also stated that such a rule would have the inevitable effect of depriving defendants of the effective assistance of counsel. Id. Thus, the court held that what it characterized as the Sixth Amendment attorney-client privilege would apply to protect reports and potential testimony of non-testifying experts retained by the defense when such reports and testimony are derived from communications with defendant or defendant's attorney. Id. at 1047. In Alvarez, the expert conducted a psychiatric examination of the defendant, during which the defendant communicated with the expert. Alvarez, 519 F.2d at 1045. It was based on the expert's conclusions made pursuant to this evaluation that the State called him to elicit testimony that would convince the jury that the defendant was competent to stand trial. Id. The expert made his conclusions and formed his opinions regarding the defendant's competency based on those confidential communications obtained during the psychiatric exam. Id.