R.C. v. Commonwealth
R.C. v. Commonwealth
Opinion of the Court
OPINION
This matter came before the Court on discretionary review by R.C. R.C. seeks review of an order of the Fayette Circuit Court affirming an order by the juvenile branch of the Fayette District Court which concluded that his daughter, I.C., is an abused child within the meaning of KRS 600.020. R.C. argues that the trial court erred by allowing a licenced clinical social worker to express an opinion that the child’s symptoms were indicative of sexual abuse. He further argues that the trial court erred by allowing I.C.’s mother to testify regarding the child’s out-of-court statements. We agree with both arguments. Hence, we reverse the finding that I.C. is an abused child, and we remand this matter to the juvenile branch of the Fay-ette District Court for a new hearing.
R.C. and S.C. were married in 1992. Three children were born of the marriage: a son, L.C. (age 7 at the time of the hearing); and two daughters, I.C. (age 5 at the time of the hearing), and A.C. (age 3 at the time of the hearing). R.C. and S.C. divorced in 1999 and were awarded joint custody of the children. Although S.C. was designated as the children’s residential custodian, R.C. had frequent visits with them.
On February 18, 2000, S.C. was called to Ashland to attend to her dying brother. She asked R.C. and his new wife E.C. to keep I.C. and A.C. R.C. and E.C. kept the
S.C. testified that during the evening of Sunday, February 27, 2000, I.C. was very anxious and unwilling to go to sleep. S.C. told I.C. that she was going to tuck in L.C., but that she would return to lay down beside I.C. S.C. then turned out the light and left the room. S.C. testified that when she returned to the room, I.C. was startled and shouted to her mother, “you’re not going to spank me, are you?” S.C. responded, “no honey, I’m coming to lay with you. I told you I was going to come back and lay with you.” According to S.C., I.C. then told her that she was startled because her father takes her panties off when he spanks her “goop.”
S.C. contacted R.C. on February 28 and asked him about I.C.’s statements. He denied that I.C. had been exposed to any sexually oriented materials which might explain her statements. Shortly thereafter, S.C. took I.C. to a psychologist at the Woodland Group, Bonnie Hall-Polus. After S.C.. told Hall-Polus what I.C. had said, Hall-Polus told S.C. to report the matter to the Cabinet for Families and Children (the Cabinet). On March 3, 2000, S.C. filed a report with the Cabinet, which then proceeded to investigate the matter.
Thereafter, on April 1, 2000, the Cabinet filed a petition pursuant to KRS 620.070 in the juvenile branch of Fayette District Court. The Cabinet sought a finding that 1.C. was an abused child within the meaning of KRS 600.020(1). In May of 2000, S.C. took I.C. to see Kit Andrews, a li-cenced clinical social worker. Andrews saw I.C. on seven occasions between May and August of 2000. At the hearing, Andrews testified, over R.C.’s objection, that I.C. exhibited signs of a sexually abused child. She stated that those signs were anxiety, being tense, bedwetting, nightmares, and depression. Andrews further testified that she had observed I.C. act out sexually on one occasion. S.C. also testified that she had observed these behaviors on the part of I.C. both before and after February 27, 2000.
At the conclusion of the hearing, the trial judge found that the Cabinet had established by a preponderance of the evidence that I.C. is an abused child. R.C. appealed from this determination to the Fayette Circuit Court. He argued that the trial court erred by allowing S.C. to testify regarding the out-of-court statements made by I.C., and by allowing Andrews to state her opinion that I.C. had been sexually abused. The circuit court rejected both arguments, finding as follows:
The Court finds that the evidence in question was properly admitted. The statements made by the child to the mother fall within the excited utterance exception to the hearsay rule. Further, the admission of the opinion testimony of the licenced clinical social worker is supported by statutory changes in KRS 600.020 and the holding in Stringer v. Commonwealth, KY., 956 S.W.2d 883 (1997).
Consequently, the circuit court affirmed the trial court’s finding of abuse. On July 24, 2001, this Court granted R.C.’s motion for discretionary review.
The Cabinet responds, and the circuit court agreed that the rule in Hellstrom has been modified by the subsequent Supreme Court decision in Stringer v. Commonwealth,
Nevertheless, the Court did not alter the rule that the expert witness must be qualified to express an opinion on the issue. Expert opinion evidence is admissible so long as: (1) the witness is qualified to render an opinion on the subject matter; (2) the subject matter satisfies the requirements of Daubert v. Merrell Dow Pharmaceuticals, Inc.
In 1996, the General Assembly amended the definition of “qualified mental health professional” which is currently set out in KRS 600.020(47).
(e) A licensed clinical social worker licensed under the provisions of KRS 335.100, or a certified social worker li-cenced under the provisions of KRS 335.080 with three (3) years of inpatient or outpatient clinical experience in psychiatric social work and currently employed by a hospital or forensic psychiatric facility licensed by the Commonwealth or a psychiatric unit of a general hospital or a regional comprehensive care center.
The Cabinet argues that this amendment demonstrates the General Assembly’s intention to overrule Hellstrom and to allow a licenced clinical social worker to express an opinion regarding sexual abuse. However, there are a number of factors which militate against such an interpretation of the statute. First, the definition of “qualified mental health professional”
Second, the chapter of the 1996 legislation containing the amendment
Third, there is nothing in KRS Chapter 620 which suggests that the testimony of a qualified mental health professional is necessary to a finding that a child has been abused, neglected, or dependent. Indeed, the only reference to this term in KRS Chapter 620 is contained in KRS 620.023(l)(a), which states that in determining the best interests of a child, the court shall consider evidence of mental illness or mental retardation, as attested to by a qualified mental health professional, insofar as it renders a parent unable to care for the immediate and ongoing needs of the child. The mere inclusion of a licensed clinical social worker within the definition of qualified mental health professional does not lead us to conclude that the General Assembly intended that such a person be considered qualified as an expert for all purposes.
And finally, even if we could conclude that the General Assembly intended to allow licensed clinical social workers to express an opinion regarding a psychological diagnosis or symptoms, then such an enactment would be a violation of the separation of powers doctrine and hence unconstitutional. KRE 702 vests the trial court with broad discretion to determine whether a witness is qualified to express an opinion in a matter which requires expert knowledge, skill, experience, training, or education. Likewise, the rule requires the trial court to determine if such expert testimony will assist the trier of fact to understand the evidence or to determine a fact in issue.
In Souder v. Commonwealth,
(i) lapse of time between the main act and the declaration, (ii) the opportunity or likelihood of fabrication, (iii) the inducement to fabrication, (iv) the actual excitement of the declarant, (v) the place of the declaration, (vi) the presence there of visible results of the act or occurrence to which the utterance relates, (vii) whether the utterance was made in response to a question, and (viii) whether the declaration was against interest or self-serving.15
However, these criteria do not pose a true-false test for admissibility, but rather act only as guidelines to be considered in determining admissibility.
The Cabinet argues that I.C.’s statements were “excited utterances” because she made them after being startled by S.C. returning to her darkened room. However, KRE 803(2) makes it clear that the out-of-court statement must relate to a startling event or condition, and must be made while the declarant was under the stress of excitement caused by the event or condition. Clearly, the “startling event” was not the actual abuse. It could be argued that I.C. associated her mother’s return to the darkened room with the alleged acts of abuse. Thus, the startling event would be a trigger for I.C.’s decision to recount the abuse.
The trial court obviously struggled with this problem, stating in its conclusions that at least one of the incidents of abuse appeared to have occurred during the most recent period when I.C. was in R.C.’s possession. Thus, the court concluded that I.C.’s statements were not too remote from the original startling event (the actual acts
However, the credibility of an out-of-court statement involves a somewhat different issue than the question of whether an out-of-court statement is admissible under the excited utterance exception to the hearsay rule. The mere lapse of time between the actual startling event and the out-of-court statement, although relevant, is not dispositive in the application of KRE 803(2).
Thus, in Souder, a three-year-old child’s statements, given more than twenty-four hours after the alleged incident occurred, and in response to the grandmother’s persistent questioning of the child regarding what had happened to her, were too remote and unreliable to qualify under the excited utterance exception to the hearsay rule.
However, in Robey v. Commonwealth,
Because the trial court based its finding that I.C. is an abused child upon inadmissible evidence, that finding must be set aside, and this matter remanded for a new hearing. At any subsequent hearing, the testimony in question shall not be admitted. The trial court shall make a finding of whether I.C. is an abused child based upon the admissible evidence presented at the new hearing.
Accordingly, the judgment of the Fay-ette Circuit Court which affirmed the finding of the juvenile branch of the Fayette District Court that I.C. is an abused child is reversed, and this matter is remanded to the Fayette District Court for a new hearing consistent with this opinion.
ALL CONCUR.
. Testimony by both S.C. and E.C. established that "goop” is the child’s word for vagina.
. Ky., 825 S.W.2d 612, 614 (1992).
. Supra.
.Id. at 889.
. 509 U.S. 579, 113 S.Ct. 2786, 125 L.Ed.2d 469 (1993).
. Stringer, 956 S.W.2d at 891.
. 1996 Ky. Acts 369, § 21.
. Chapter 369 of 1996 Kentucky Acts.
. Goodyear Tire and Rubber Co. v. Thompson, Ky., 11 S.W.3d 575, 577-79 (2000).
.Drumm v. Commonwealth, Ky., 783 S.W.2d 380, 382 (1990).
. KRE 802.
. KRE 803(2).
. Ky., 719 S.W.2d 730, 733 (1986).
. Id. at 733; (quoting R. Lawson, The Kentucky Evidence Law Handbook § 8.60(B) (2d ed. Michie 1984)).
. Smith v. Commonwealth, Ky., 788 S.W.2d 266, 268 (1990).
. Souder, supra, at 733.
. Young v. Commonwealth, Ky., 50 S.W.3d 148, 167 (2001).
. McClure v. Commonwealth, Ky.App., 686 S.W.2d 469, 470 (1985).
. Robey v. Commonwealth, Ky., 943 S.W.2d 616, 619 (1997).
. Souder, 719 S.W.2d at 734.
. Ky., 960 S.W.2d 466 (1998).
. Id. at 470. See also Young v. Commonwealth, 50 S.W.3d at 166-67.
. Supra.
. Robey, 943 S.W.2d at 619.
. Ky., 967 S.W.2d 574 (1998).
. Id. at 578-79. See also Clark v. Hauck Manufacturing Co., Ky., 910 S.W.2d 247 (1995) (Statements made to medical personnel by an injured worker who had suffered severe burns during the course of treatment were admissible as an excited utterance because the worker made them as a result of a highly agitated state of mind based on what he saw happen to him and not based on any reflection or deliberations); and Wells v. Commonwealth, Ky., 892 S.W.2d 299 (1995) (A victim’s statements that it was defendant who stabbed him, made to 911 operator and paramedic, while the knife was still in his back and to police officer at hospital immediately after being told that his situation was extremely critical and he could die at any moment, were admissible as an excited utterance and a dying declaration).
Reference
- Full Case Name
- R.C. v. COMMONWEALTH of Kentucky, Cabinet for Families and Children S.C. and I.C.
- Cited By
- 3 cases
- Status
- Published