Commonwealth v. M.G.
Commonwealth v. M.G.
Opinion of the Court
OPINION
The Commonwealth appeals from a Warren Circuit Court opinion and order reversing a juvenile adjudication and disposition in which Warren District Court found that M.G. had committed first-degree sexual abuse and ordered him into the custody of the Department of Juvenile Justice (DJJ) for placement in a secure residential treatment facility for juvenile sexual offenders. Finding that the district court deprived M.G. of his constitutional right to confrontation by ejecting him from the courtroom during the testimony of his alleged victim and that the procedure constituted clear error, the circuit court remanded for a new adjudication. Likewise, the circuit court cited the fact that both P.A.M. and his lawyer were excluded from this critical stage of the juvenile proceedings against him as the basis for reversing an identical disposition imposed on P.A.M. after the district court found that he committed first-degree sodomy. This Court granted discretionary review. Because the same issue is raised in both cases, the two appeals have been consolidated.
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On the evening in question, the J.’s left home for about an hour to get dinner, leaving R.W. with M.G. for the first time without adult supervision. R.W. testified that she was sitting in a recliner in the living room when M.G. came in the room and sat on the couch. M.G. then threw pillows at her and as she removed the pillows from the floor, he grabbed her by the arm and sat her down beside him. When R.W. attempted to move away, M.G. continued holding her arm. Allegedly, M.G. then led her back to his room where he kissed her on the lips and touched her “middle spot,” or vagina, through her clothing. At that point, the J.’s returned and M.G. told R.W. to open the door for Angela. As R.W. exited the room, M.G. told her not to tell anyone what had just happened, and she agreed because she “was scared.”
When the J.’s entered the home, “everything seemed normal” so they sent R.W. to bed and began to watch a movie. Shortly thereafter, M.G. went into the bedroom, where R.W. and her cousins were sleeping, to play with the Sony Playstation. A few minutes later, R.W. emerged from the bedroom, saying, “[M.G.] won’t quit touching me and he keeps on kissing me.” M.G. denied the accusation.
On July 14, 1999, a Bowling Green Police Department detective filed a petition charging M.G. with second-degree unlawful imprisonment and first-degree sexual abuse as a result of his alleged abuse of R.W. Due to his age at the time of the offense, M.G. appeared before the juvenile session of the district court where he entered a plea of not guilty. The J.’s appeared with M.G. at his preliminary hearing on July 26, 1999, at which time their rights as enumerated in Kentucky Revised Statute (KRS) 610.060 were read and explained to them. Both M.G. and Angela signed a disclosure form indicating that they were aware of and understood his rights.
At the adjudicatory hearing held on August 16, 1999, three witnesses testified, namely Carl, Angela and R.W. Admittedly, the J.’s had no firsthand knowledge of the events which gave rise to the charges. Their testimony consisted of observations and statements which R.W. made concerning what allegedly happened to her. At the conclusion of their testimony, the Commonwealth requested that the court conduct an interview with R.W. and the court granted that request. Before R.W. testified, however, the court ordered everyone to leave the courtroom with the exception of one bailiff, the prosecutor and M.G.’s lawyer. Defense counsel objected at the beginning of R.W.’s testimony, but only with respect to whether the Commonwealth had established that “sexual contact” did occur. The court then called the alleged victim and proceeded to question her outside the presence of M.G. R.W.’s account of the incident revealed that M.G.
Ultimately, the court found M.G. guilty of first-degree sexual abuse, but dismissed the unlawful imprisonment charge. In addition, the court ordered M.G. to undergo a mental health assessment pursuant to KRS 635.510(2), the results of which were considered at his disposition hearing. M.G. was subsequently committed to the custody of DJJ for placement in a secure residential treatment facility for juvenile sexual offenders.
On appeal to the circuit court, M.G. challenged the process alleging several errors, most significantly the court’s abrogation of his constitutional right to be present and confront the witness against him. In response, the Commonwealth argued that the issues had not been properly preserved. Relying on the holding in Dean v. Commonwealth,
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On April 15, 1999, elementary school officials removed J.M., P.A.M.’s then eight-year-old brother and alleged victim, from the classroom for exhibiting inappropriate sexual behavior. School officials then called Judy Brown, a child abuse investigator employed by the Department of Community Based Services, who interviewed J.M. and his sister P.M. at the school in the presence of Deena Holland, the family resource director for the school, and Susan Rice, an adult who had apparently known the children for some time and was “present to support” them.
During the interviews, J.M. accused his brother of engaging in sexual contact with him on two or more occasions during the previous months. Specifically, J.M. accused P.A.M. of masturbating in his presence and of inserting his penis into J.M.’s anus. When Brown questioned J.M.’s sister P.M. regarding these allegations, she became upset and called J.M. a liar. At this point, Brown contacted her supervisor and the police department to request assistance. Officer Anton Kahlil Flesher responded to the call. Upon his arrival, Flesher and Brown interviewed J.M. together, again in the presence of Holland and Rice. Brown’s supervisor contacted Kim Vincent, a colleague of Brown’s, to interview P.A.M., J.M. and their father at the police station.
Later that day, Flesher located P.A.M. at his school and brought the fourteen-year-old to the police station without an accompanying parent or guardian. Flesh-er then questioned P.A.M. about J.M.’s allegations; and Vincent interrogated P.A.M. separately. P.A.M. made incriminating oral statements to Flesher and Vincent during these interviews.
At trial, Flesher testified that P.A.M. was “in custody” at the time of the interview since he was transported to the police station for questioning, was not free to
After interviewing P.A.M. at police headquarters, Vincent transported him to the Warren County Justice Center where they met Brown who questioned P.A.M. in a stairwell adjacent to the courtroom. Again, he was questioned without being made aware of his rights pursuant to Miranda and in the absence of a parent or guardian. Brown reported that P.A.M. made incriminating statements
Flesher filed a juvenile complaint against P.A.M. charging him with first-degree sodomy, and he subsequently appeared in the juvenile session of district court. At the adjudicatory hearing, four witnesses testified: Flesher, Brown, Vincent and J.M., the alleged victim. Because Flesher failed to inform P.A.M. of his rights pursuant to Miranda, the court suppressed his testimony regarding P.A.M.’s statements. Over defense objection, Brown was permitted to relay the content of the out-of-court statements J.M. and P.M. made to her as well as the substance of P.A.M.’s incriminating statements.
At the Commonwealth’s request and without defense objection, the court cleared the courtroom and proceeded to question J.M. P.A.M., his lawyer and the prosecutor were unable to see or hear what transpired during this critical stage of the proceedings. After the court completed its interview with J.M., P.A.M., his lawyer and the prosecutor were permitted to reenter the courtroom at which time the court summarized J.M.’s testimony and described its impressions of his demeanor while testifying.
P.A.M. was found guilty of first-degree sodomy and, like M.G., was ordered to undergo a mental health assessment to be performed by the D JJ for use at the disposition hearing. Defense counsel did not object to the evaluation. Ultimately, the court ordered P.A.M. committed to the custody of the DJJ for placement in a juvenile sexual offender treatment program.
On appeal, the circuit court reversed, finding that P.A.M.’s exclusion from the courtroom during the testimony of his alleged victim violated his personal right to confrontation and, because the violation constituted a clear error, it was reviewable despite the lack of a timely objection. In addition, the circuit court concluded that the statements made by J.M., P.M., the school officials and the family members were inadmissible hearsay declarations as there is no recognized exception to the hearsay rule for social workers or the results of their investigations. Because the portion of Flesher’s testimony which was not suppressed related to the content of statements by others and was admitted to prove how he acted in response to the statements, the circuit court determined that the “investigative hearsay” should have also been excluded.
Finding that the unpreserved issues of whether P.A.M.’s statements to Brown and
Confirming that the privilege against self-incrimination extends to sentencing in any criminal case and that a defendant cannot be compelled to cooperate with a psychiatrist if he does not offer psychological evidence of his own, the circuit court found that, if the case reaches the disposition stage on retrial, P.A.M. has the right to remain silent during the court ordered evaluation without a negative inference being drawn from his silence. It is that order which is the subject of the Commonwealth’s second appeal.
⅝ * ⅜
If we are to affirm the circuit court’s reversal of the district court’s orders, it must be on the ground that a palpable error was committed by the district court, a concept articulated in Kentucky Rule of Criminal Procedure (RCr) 10.26.
In Price v. Commonwealth,
In all criminal prosecutions, the accused shall enjoy the right to a speedy and public trial, by an impartial jury of the State and district wherein the crime shall have been committed, which district shall have been previously ascertained by law, and to be informed of the nature and cause of the accusation; to be confronted with the witnesses against him; to have compulsory process for obtaining witnesses in his favor, and to have the Assistance of Counsel for his defense.
In Faretta v. California,
Section 11 of the Kentucky Constitution specifically preserves the right to confrontation and to be present for its citizens with similar language: “In all criminal prosecutions the accused has the right to be heard by himself and counsel; to demand the nature and cause of the accusation against him; to meet the witnesses face to face, and to have compulsory process for obtaining witnesses in his favor.” These rights are further spelled out in RCr 8.28 which, in relevant part, provides that: “(1) The defendant shall be present at ... every critical stage of the trial.”
As noted by Kentucky’s highest court in Commonwealth v. Wasson,
In the present case, the Commonwealth concedes that the exclusion of the juveniles was an error but argues that the issue is not preserved for review because defense counsel failed to object when the court announced that it was clearing the courtroom. We disagree. The error is not harmless as reflected by the preceding legal authority.
In Dean, the accused was absent during the deposition of two key prosecution witnesses.
Here, there is no doubt that the testimony of the victims had a significant influence on the outcome as, is usually the case in these instances, they were the only eyewitnesses to the alleged abuse, their testimony provided the only evidence of sexual contact which is an essential element of the offense, and the court found their testimony credible. In P.A.M.’s case, the court explicitly acknowledged its reliance on the testimony in question, saying: “I’m basing my decision on the fact in talking with the child, the child is extremely believable and I think he has been consistent. He didn’t hear any of the testimony in here and yet when questioned he was, his testimony is basically what he had told everybody all along.”
It is impossible to gauge the impact of the court’s decision to exclude M.G. and P.A.M. (and his counsel) from such a critical stage of the proceedings. However, it was the most crucial testimony provided by the Commonwealth’s principal witness in both cases and with respect to P.A.M., the impact on the fact finder is definite. The parties were not forewarned of the court’s intention to proceed in such a manner and, accordingly, the parties were deprived of the opportunity to confer with counsel regarding strategy. There was no overt waiver by counsel in either case, nor was there any suggestion that the juveniles themselves expressed a conscious intent to relinquish their right to be present when the Commonwealth’s principal witness testified or to participate in the cross-examination of that witness. Barring M.G. and P.A.M. from the courtroom under these circumstances deprived them of a fundamental, personal right and constitutes an error which warrants reversal even in the absence of an objection.
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After conducting extensive public hearings on the matter of child sexual abuse, the General Assembly responded to the plea for witness protection, accepting the philosophy that testifying in a formal courtroom atmosphere at a criminal trial before the defendant, judge and jury is one of, if not the most intimidating and stressful aspects of the legal process for children.
In upholding the constitutionality of the statute in question, the Supreme Court made it clear that the Commonwealth bears the burden of persuading the trial
In the proceedings at issue, none of the above prerequisites was met. To begin with, the court made no attempt to determine whether a compelling need existed to shield the alleged victims. Beyond that, neither juvenile defendant was present for the alleged victims’ testimony, nor was either afforded the opportunity to see or hear the witnesses, let alone cross-examine them. In short, the statutory safeguards which the Court in Willis cited as reasons for classifying the outlined procedures as “the functional equivalent of testimony in court” were disregarded entirely in the present cases.
According to the Commonwealth, the necessary video equipment was not available.
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On appeal to the circuit court, P.A.M. also argued that the court erred in permitting Flesher, Brown and Vincent to testify as to the out-of-court statements made by the alleged victim and others because the statements constituted inadmissible hearsay. Defense counsel’s objection to the admission of these statements was overruled. As reflected by its decision, the district court relied directly on the statements attributed to J.M., the alleged victim, to corroborate his testimony. Specifically, the court indicated that it found J.M.’s testimony credible because it was consistent with his out-of-court statements.
Kentucky Rules of Evidence (KRE) 801(c) defines hearsay as “a statement, other than one made by the declarant while testifying at the trial or hearing, offered in evidence to prove the truth of the matter asserted.” By definition, the statements in question, ie., those made to investigators by J.M., his sister, P.M., the school officials and family members, are hearsay declarations. Hearsay is inadmis
In Souder v. Commonwealth,
Although the court suppressed the portion of Flesher’s testimony relating to the statements P.A.M. made to him, Flesher was permitted to testify as to the content of other out-of-court statements made to him during the course of his investigation. In Sanborn v. Commonwealth,
P.A.M. also argues that the court should have suppressed the testimony of Brown and Vincent as it related to the statements P.A.M. made to them since they failed to inform him of his rights in accordance with Miranda. This issue was raised for the first time on appeal to the circuit court. Defense counsel did not ask the district court to suppress the evidence or object to its introduction on this basis. Accordingly, the issue is not preserved for our review. While we agree with the circuit court’s assessment of the factors which must be considered when determining if a social worker is required to inform juveniles of their constitutional rights, further elaboration as to this issue is unwarranted; the issue is moot since we have already excluded the testimony on separate grounds.
P.A.M.’s final argument, also raised for the first time on appeal, is that the district court’s order directing him to participate in a mental health assessment as required by KRS 685.510(3) was improper since he was not advised of his right to remain silent prior to the evaluation. While this issue was not preserved for our review, we
In Estelle v. Smith,
Because the district court committed palpable error when it excluded M.G. and P.A.M. (and his counsel) from the courtroom during perhaps the most critical stage of the proceedings against them, we affirm the circuit court’s reversal of both adjudications and remand these cases to Warren District Court for proceedings consistent with this opinion.
ALL CONCUR.
. To shield the identity of the juveniles involved in these cases, we use their initials and the initials of their relatives.
. Ky., 777 S.W.2d 900 (1989).
. 384 U.S. 436, 86 S.Ct. 1602, 16 L.Ed.2d 694 (1966).
. P.A.M. indicated that he "did him between the legs.”
. See Sherley v. Commonwealth, Ky., 889 S.W.2d 794, 802 (1994).
. Id.
. Id. (Citation omitted.)
. Ky., 31 S.W.3d 885, 892 (2000).
. 422 U.S. 806, 95 S.Ct. 2525, 45 L.Ed.2d 562 (1975).
. Id., 422 U.S. at 819, 95 S.Ct. at 2533, 45 L.Ed.2d at 572.
. Ky„ 842 S.W.2d 487, 497 (1992).
.Supra, n. 2.
.Id. at 903.
. In re Gault, 387 U.S. 1, 87 S.Ct. 1428, 18 L.Ed.2d 527 (1967).
. Dean, supra, n. 2, at 903.
. Id.
. Id.
.Id. In Fugate v. Commonwealth, Ky., 62 S.W.3d 15, 20 (2001), the Court, agreeing with Justice Leibson’s dissent in Dean, held that there was "no reason, constitutional or otherwise, to create a rule that counsel cannot waive his client’s presence at depositions” or competency hearings. Fugate is distinguishable since it involved a waiver that was explicit, was made by counsel and did not occur at trial. See also McKinney v. Commonwealth, Ky., 60 S.W.3d 499, 510 (2001).
. Commonwealth v. Willis, Ky., 716 S.W.2d 224, 227 (1986).
. Id. at 227.
. In the statute, the standard is "compelling need.”
. Willis, supra, n. 19, at 227.
. Id. (emphasis supplied).
. We take judicial notice (Ky. R. Evid. (KRE) 201(c)) of the fact that the Warren County Justice Center, where the proceedings in question took place, had several rooms with video capabilities. While district court sessions were recorded on audiotape only, accommodations could have been made to enable the court to comply with the statutory requirements.
.George v. Commonwealth, Ky., 885 S.W.2d 938, 940 (1994).
. Ky., 719 S.W.2d 730, 734(1986).
. Id. at 734.
. Ky., 754 S.W.2d 534 (1988).
. Id. at 541.
. Id.
. Id.
. Id.
. 451 U.S. 454, 101 S.Ct. 1866, 68 L.Ed.2d 359 (1981).
. Id. at 467, 101 S.Ct. at 1875.
. Id. at 468, 101 S.Ct. at 1876.
. 526 U.S. 314, 328, 119 S.Ct. 1307, 1315, 143 L.Ed.2d 424 (1999).
. Id. at 328, 119 S.Ct. at 1314.
Reference
- Full Case Name
- COMMONWEALTH of Kentucky v. M.G., a child under eighteen years of age, Appellee Commonwealth of Kentucky v. P.A.M., a child under eighteen years of age
- Cited By
- 6 cases
- Status
- Published