State v. Kellywood
State v. Kellywood
Opinion of the Court
¶ 1 Michael Kellywood appeals from his convictions and sentences for three counts of sexual conduct with a minor under the age of fifteen, and one count each of molestation of a child, continuous sexual abuse of a child, and sexual abuse of a minor under the age of fifteen, all dangerous crimes against children. Kellywood argues the trial court erred by denying his motion to compel production of the victim's medical and counseling records for in camera review because they possibly contained exculpatory evidence. For the reasons that follow, we affirm Kellywood's convictions and sentences.
Factual and Procedural History
¶ 2 We view the facts in the light most favorable to upholding the jury's verdicts. State v. Buccheri-Bianca ,
¶ 3 According to Kellywood's theory of defense, A.K. had recently fabricated her allegations, in part because he and his wife had taken away her cell phone after they discovered she had been using it to watch pornography. To support this theory, Kellywood filed a pretrial motion to compel the state to produce A.K.'s medical, Department of Child Safety (DCS), school, and counseling records, as well as her social media entries, computer searches, and text messages. Although Kellywood cited numerous legal authorities in his motion, he failed to develop any specific argument concerning his entitlement to production, merely asserting that, "All of the above records are necessary to defend Mr. Kellywood." Kellywood later withdrew the motion, and in a subsequent motion to compel production by the state, sought A.K.'s medical and counseling records for the period of time that she lived in his home. In that motion, he asserted: "[D]efense counsel needs possible exculpatory evidence which may be in the records of [A.K.'s] medical professionals and counselors. Oftentimes, these professionals directly ask questions concerning whether or not someone has been sexually inappropriate with them." The court denied the motion.
*1207¶ 4 Following trial, the jury found Kellywood guilty as described above,
Motion to Compel
¶ 5 Kellywood argues the trial court erred by denying his motion to compel production of A.K.'s medical and counseling records. He asserts the presence of "sufficient indicia" that those records might contain statements with which he could impeach A.K. Specifically, as noted, he maintains the medical and counseling records might show that when directly asked, A.K. affirmatively denied experiencing inappropriate sexual contact during the relevant period of time. "A trial court has broad discretion over discovery matters, and we will not disturb its rulings on those matters absent an abuse of that discretion." State v. Fields ,
¶ 6 The trial court denied Kellywood's motion to compel "for various reasons, including [it]s concern that [the] circumstances of this kind of case [do] not mean that any negative responses to alleged providers [about inappropriate sexual contact] would necessarily be exculpatory." To the extent that this reflects a conclusion by the court that, as a matter of law, prior statements in which A.K. had denied experiencing inappropriate sexual contact could not possibly be exculpatory, we disagree. See Exculpatory Evidence , Black's Law Dictionary (10th ed. 2014) ("exculpatory evidence" is "[e]vidence tending to establish a criminal defendant's innocence"). It is possible that A.K., or any other similarly situated victim, could say something exculpatory to a care provider. However, as discussed herein, the mere possibility A.K. could have said something exculpatory is not, as a matter of law, sufficient by itself to require her to produce the medical and counseling records sought by Kellywood.
Victims' Rights
¶ 7 Under Arizona's Victims' Bill of Rights, a crime victim possesses a constitutional right "[t]o refuse an interview, deposition, or other discovery request by the defendant, the defendant's attorney, or other person acting on behalf of the defendant." Ariz. Const. art. II, § 2.1 (A)(5); see also Ariz. R. Crim. P. 39(b)(12) (crime victim entitled "to refuse [a] ... discovery request by the defendant[ or] the defendant's attorney"). Thus, "[g]enerally, the victim of a crime has the right to refuse to hand over medical records...." State v. Sarullo ,
¶ 8 A victim's right to refuse discovery is not absolute, however. Sarullo ,
¶ 9 We therefore turn to the question of whether Kellywood demonstrated a "reasonable possibility" that the medical and counseling records he sought would contain evidence to which he was entitled as a matter of due process. Id. ¶ 20. In light of the competing constitutional interests, as well as the ordinarily privileged nature of patient-provider communications, we conclude the burden of demonstrating a "reasonable possibility" is not insubstantial, and necessarily requires more than conclusory assertions or speculation on the part of the requesting party. See Fields ,
¶ 10 Here, Kellywood has not demonstrated a reasonable possibility that the medical and counseling records he seeks contain exculpatory information. As noted above, in his motion to compel, he merely asserted: "[D]efense counsel needs possible exculpatory evidence which may be in the records of [A.K.'s] medical professionals and counselors. Oftentimes, these professionals directly ask questions concerning whether or not someone has been sexually inappropriate with them." However, neither in this court nor in the trial court, has Kellywood ever identified a medical treatment provider or counselor that saw A.K., or for that matter any specific condition for which A.K., his daughter, was receiving treatment or counseling. Moreover, there is no evidence in the record concerning the standard of care applicable to when and under what circumstances physicians and counselors should inquire about whether someone has suffered sexual abuse, or whether and how such inquiries are routinely made. Kellywood's assertions amount to nothing more than speculation that there might be something in records somewhere. He thus fails to demonstrate the "reasonable possibility" contemplated in Sarullo .
¶ 11 Further, neither Roper nor Connor supports the view that the Victims' Bill of Rights must give way in every case in which a defendant merely articulates some plausible reason why treatment records might contain something exculpatory. In Roper , the state charged the defendant with aggravated assault against her husband.
¶ 12 In Connor , we discussed the scope and limitations of Roper .
¶ 13 We concluded Connor had "presented no sufficiently specific basis to require that the victim provide medical records to the trial court for an in camera review." Connor ,
[W]e authorized some infringement, limited to the extent required by the nature of an in camera review, on both the victim's right to be free of discovery under the Victim's Bill of Rights and the victim's physician-patient privilege in any documents in which that right had not been waived. Nevertheless, we did so in the context of a reasonable possibility that the information sought by the defendant included information to which she was entitled as a matter of due process, and to which her victim husband had arguably waived his physician-patient privilege as to her by including her in some of his treatment sessions. We, thus, merely recognized the possibility that due process could override other rights, that some privilege might have been waived, and then authorized the trial court to weigh these competing rights after considering the evidence and the defendant's need for it in presenting her defense.
Id. ¶ 10 (citation omitted); see also Sarullo ,
¶ 14 We are unpersuaded by our dissenting colleague's suggestion that the intrusiveness of Kellywood's request is acceptable because he only seeks in camera review by a trial judge required to maintain the confidentiality of A.K.'s records. Notably, both Connor ,
¶ 15 Accordingly, we conclude the trial court did not abuse its discretion by refusing Kellywood's motion to compel production of A.K.'s medical and counseling records for in camera review.
*1210Withdrawn Motion to Compel
¶ 16 Kellywood also argues on appeal that he was entitled to A.K.'s DCS records, school records, search history, Facebook entries, and text messages. He argues this information "would have addressed issues with A.K.'s credibility as an accuser." Kellywood, however, withdrew the motion requesting that information. Thus, we review only for fundamental, prejudicial error. See State v. Henderson ,
¶ 17 Further, assuming without deciding that the DCS records were in the possession or control of a state agency, they would have been subject to disclosure only insofar as Rule 15.1(b) required it-whether because they contained exculpatory information or otherwise. Nothing in this case indicates the DCS records, which pertain to the child welfare proceedings that resulted in A.K.'s placement in Kellywood's home, and which did not arise from the allegations against him, contained any material, exculpatory information whatsoever. See Brady , 373 U.S. at 87,
Disposition
¶ 18 For the foregoing reasons, we affirm Kellywood's convictions and sentences.
The state argues Kellywood erroneously sought production from the state instead of directly from A.K. Under Rule 15.1(b) and (b)(8), Ariz. R. Crim. P., the state must "make available to the defendant ... all existing material or information [in the state's possession or control] that tends to mitigate or negate the defendant's guilt." See also Brady v. Maryland ,
The jury acquitted Kellywood of one count of sexual conduct with a minor under the age of fifteen.
Kellywood makes sweeping, unsupported assertions concerning children who have been in foster care and involved in parental termination proceedings, including: "Such an experience is not without trauma to the children, and more often than not, children such as A.K. experience behavioral issues which can include lying or manipulative behavior designed to gain attention." We are unpersuaded by the stereotyping of children who have been involved in child welfare proceedings.
"The defendant, not the victim, [had] made the '911' call to the police at the time of the alleged incident, asking for help ... because her husband was beating her and threatening her with a knife." Roper ,
Our colleague also emphasizes that five of the six counts on which Kellywood was convicted "were supported by no direct evidence other than A.K.'s testimony." But some elaboration is warranted. The sixth count (actually Count Four) arose from Kellywood having sexual intercourse with A.K. on the carpet in a vacant home where Kellywood had been doing remodeling work. Police later obtained a DNA match to Kellywood from a semen stain on the carpet, as well as a biological sample consistent with A.K.'s DNA.
Dissenting Opinion
¶ 19 In evaluating what a defendant must show to secure disclosure in practice, we must be mindful that a finding of "reasonable possibility" does not itself result in disclosure of the victim's medical and counseling records. Such a finding triggers only an in camera inspection by the judge: a professional who possesses a solemn duty to protect the confidentiality of those materials. See Ariz. R. Sup. Ct. 81, Ariz. Code of Judicial Conduct 3.5 ("A judge shall not intentionally disclose ... nonpublic information acquired in a judicial capacity for any purpose unrelated to the judge's judicial duties.").
¶ 20 In tension with the victim's interest in preventing the inspection of those records by a lone judge stands the defendant's right to due process, protected by the Fifth and Sixth Amendments to the Constitution, to collect and present all exculpatory evidence in his favor. See Roper ,
¶ 21 Our courts have resolved this asymmetry by setting forth a comparatively relaxed standard for compelling in camera review: the defendant need only show a "reasonable possibility" such evidence might be found in the requested documents. Sarullo ,
¶ 22 Although litigants may dispute what constitutes a "reasonable possibility" of discovering relevant information, that standard, *1211as my colleagues correctly observe, necessarily requires more than speculation on the part of the requesting party. Accordingly, when a defendant's request amounts to "mere conjecture without more that certain information might be useful as exculpatory evidence," a trial court properly refuses to compel disclosure. State v. Hatton ,
¶ 23 On the other hand, almost all disclosure requests, including well-founded ones, involve some measure of speculation: without possession of the requested documents, no litigant can be certain what information they will contain. This is presumably why our rules and jurisprudence refer to the process of seeking information as "discovery" and "disclosure." See, e.g. , Rule 15.1 ; cf. Ariz. R. Civ. P. 26 (governing civil discovery). Thus, a "reasonable possibility" that documents may contain exculpatory evidence stands on a spectrum between abject conjecture and certainty.
¶ 24 But the "reasonable possibility" standard gives us more guidance than that. Semantically, a "reasonable possibility" does not require a showing that relevant evidence will probably be discovered: a possibility is logically something less than a probability. Thus, the distinction between a disclosure request based on speculation and one that is anchored in a reasonable possibility turns on whether a reasoned basis supports the request-and not whether the requesting party can establish it is likely that any relevant information will be found. See Sarullo ,
¶ 25 Under that standard, I can only conclude that Kellywood-a man who faced lifetime imprisonment and whose guilt on most counts depended largely on the credibility of A.K.-provided a reasoned basis to believe exculpatory evidence could possibly be found within A.K.'s medical and counseling records. In his motion and argument for disclosure, he either expressly asserted or logically implied that (1) medical providers for an adolescent girl might reasonably be expected to ask A.K. about her level of sexual activity and (2) counselors for a recently adopted child might reasonably be expected to inquire about the nature of her relationship with her adoptive father.
¶ 26 In my view, the above demonstrates a reasoned basis, beyond mere conjecture, to believe that A.K.'s medical and counseling records might plausibly contain exculpatory information. This is all that is required for a defendant facing felony charges and who seeks only in camera review.
¶ 27 My colleagues maintain that allowing such review here would necessarily require disclosure whenever a defendant "merely articulates some plausible reason" the requested materials might contain exculpatory evidence. But if that "plausible reason" truly establishes a possibility based in sound logic that the materials could contain exculpatory information, then limited disclosure by in camera review is precisely what our legal standard requires.
¶ 28 The majority warns that the due process exception would swallow § 2.1(A)(5) of the Victims' Bill of Rights if we applied it here because it would compel such review "in *1212virtually any case" when the defense is fabrication. But, in so concluding, my colleagues overlook the unique features of this case. Here, we address disclosure in the context of allegations of persistent sexual assault over a period of years during which the victim saw medical and counseling providers on numerous occasions.
¶ 29 By contrast, we can envision a multitude of circumstances in which in camera review may not be appropriate: when, by contrast, the alleged crime constituted a single event or occurred within a time period during which the victim saw no providers; when other evidence affirmatively indicates the records will not contain exculpatory information, see, e.g. , Sarullo ,
¶ 30 I fear the majority's analysis essentially requires Kellywood to demonstrate a substantial probability that A.K.'s records would reveal exculpatory information. Indeed, it implies that a defendant must make a showing equivalent to that provided in Roper and it enumerates the numerous, extraordinary circumstances present in that case. See
¶ 31 By contrast, in Connor , we rejected the defendant's request for disclosure where he articulated no basis to believe that the deceased victim's medical or psychological records would provide any insight on whether "an intellectually and emotionally challenged young man" had been the original aggressor in his own death. See
¶ 32 In Sarullo , the facts likewise strongly indicated exculpatory statements would not be found.
¶ 33 Thus, a finding that Kellywood has established a reasonable possibility can be readily harmonized with those cases where we have previously concluded that a defendant has not cleared that threshold. Further, Connor and Sarullo concretely demonstrate that faithful application of the "reasonable possibility" standard does not require the court to grant in camera review in every case where a defendant seeks the medical and counseling records of an alleged victim.
¶ 34 The majority emphasizes that Kellywood never "identified a medical treatment provider or counselor that saw A.K., or for that matter any specific condition for which A.K. ... was receiving treatment or counseling." But Kellywood did establish that A.K.
*1213had seen such providers. More granular information, while helpful, is not necessary to establish a reasonable possibility. The critical fact is that A.K. had seen providers; knowing their identity does not make the fact of treatment any more probable. And, although Kellywood did not articulate the specific conditions for which A.K. had obtained treatment, such conditions were not crucial to support Kellywood's basis for believing he might reasonably find exculpatory information.
¶ 35 Kellywood has been accused and convicted of serious, repugnant crimes. And, our state's laws express our society's outrage by reserving some of our most unforgiving punishments of incarceration for those who so victimize children. See A.R.S. § 13-705. Indeed, Kellywood has received a sentence of life imprisonment followed by sixty years in prison for his conviction here. It is for those very reasons that we must be vigilant to provide those charged with the full measure of due process commanded by our federal and state constitutions: to have a fair opportunity to demonstrate that they have not committed such crimes.
¶ 36 Here, both parties concede that Kellywood's offenses allegedly occurred in the presence of no witnesses other than Kellywood and A.K. Thus, the case turned in substantial part on the respective credibility of those two individuals. Indeed, of the six counts on which Kellywood was convicted, five were supported by no direct evidence other than A.K.'s testimony. Under such circumstances, I find it unsettling that Kellywood was denied access to potential evidence that might have borne directly on A.K.'s credibility and could conceivably have generated reasonable doubt about Kellywood's guilt on at least five of the counts. Because, in my view, he has demonstrated a reasonable possibility that A.K.'s medical and counseling records might contain such evidence, I would reverse the trial court, order it to conduct an in camera review of those records and to conduct, if necessary, any other proceedings in accordance with the result of that review.
That interest is especially acute where, as here, a defendant faces life imprisonment if found guilty and where many of the criminal counts turn largely on the credibility of the alleged victim.
These logical intuitions find support in published medical standards. See, e.g. , Preventing, Identifying and Treating Violence and Abuse , AMA Code of Medical Ethics Opinion 8.10, https://www.ama-assn.org/delivering-care/preventing-identifying-treating-violence-abuse (last visited Nov. 21, 2018) (physicians have ethical obligation to "[r]outinely inquire about physical[ and] sexual abuse ... as part of the [patient's] medical history"); Rachel Katzenellenbogen, HEADSS: The "Review of Systems" for Adolescents , 7 AMA J. Ethics 231-33 (2005) (enumerating risks for which medical providers should screen adolescent patients, including unwanted sexual activity and general safety).
Kellywood indicated through trial testimony that A.K.'s counseling sessions were designed to assist her in integrating with her new family-a topic area that might readily prompt discussions about any inappropriate conduct by her adoptive father.
Reference
- Full Case Name
- The STATE of Arizona v. Michael Joseph KELLYWOOD
- Cited By
- 8 cases
- Status
- Published