People v. Stanaway
People v. Stanaway
Opinion of the Court
This case presents the question whether, and under what circumstances, records of
This Court is faced with the difficult task of reconciling the state’s compelling interest in protecting the confidentiality of counseling and juvenile diversion records with the defendant’s federal and state constitutional rights to obtain evidence necessary to his defense in a criminal trial. We hold that where a defendant can establish a reasonable probability that the privileged records are likely to contain material information necessary to his defense, an in camera review of those records
The procedure we adopt today attempts to balance the Legislature’s interest in protecting the confidentiality of the therapeutic setting with the possibility that there may be exculpatory evidence in such records necessary to prevent the conviction of an innocent person.
In People v Stanaway, we affirm the trial court’s denial of an in camera review of the victim’s counseling records. The defendant’s generalized assertion of a need to attack the credibility of his accuser did not establish the threshold showing of a reasonable probability that the records contain information material to his defense sufficient to overcome the various statutory privileges. However, we hold that the trial court abused its discretion when it allowed the improper impeachment of a prosecution witness with hearsay testimony that was highly prejudicial. We reverse Stanaway’s conviction and remand for a new trial because the error was not harmless.
In People v Caruso, we remand to the trial court for a determination of whether an in camera review of the victim’s counseling records is warranted. If the defendant has demonstrated a good-faith belief, grounded in articulable fact, that there is a reasonable probability that the records contain material information necessary to his defense such an inspection should be conducted by the trial judge.
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A. PEOPLE v STANAWAY
Defendant Brian Stanaway was charged with
Before trial, Stanaway’s defense counsel filed a motion that sought direct access to the records of a social worker in the juvenile diversion program and a sexual assault counselor regarding the complainant. The defendant argued that the records might contain inconsistent statements or might lead to exculpatory evidence, but admitted he had no basis for a good-faith belief that it was probable such information would be found.
The complaining witness testified at trial that
A second incident occurred two weeks later. The witness stated she was visiting her aunt who lived on the same block as the defendant. She was in the backyard when another nephew of the defendant, Ricky Stanaway, called to her. Ricky indicated that the defendant was in the house and wanted to talk to her. Once in the house, Ricky told her the defendant was in the bathroom and that she should just knock and he would let her in. She knocked and entered and the defendant closed the door behind her. She said the defendant was naked and indicated to her that he wanted to have sex. She said she repeated that she did not want to. Again the defendant pulled down her
The witness testified that the third incident happened later that summer. She could not remember the circumstances of how it came to be that she was at the defendant’s house but she said sexual intercourse took place on a single bed in a back bedroom. She remembered the defendant getting a towel to clean off the bed afterwards.
The defendant testified on his own behalf. He denied having any sexual contact with the complainant. He said there was no tent in the yard at the time in question. He said she was never in his house except to baby-sit and he and his wife would have been gone together.
The jury convicted the defendant on all three counts. In the Court of Appeals, defendant challenged the denial of discovery, the admittance of testimony by a police officer regarding a statement made by a nephew of the defendant, statements made by the prosecutor during closing arguments • and the ineffectiveness of his trial counsel. The Court of Appeals affirmed the defendant’s conviction in an unpublished opinion per curiam, issued August 14, 1991 (Docket No. 130448).
On the basis of statements made by the prosecutor that suggested access to the records in question, this Court entered an order directing the trial judge to conduct an in camera review of the requested documents. That order was later modified in response to motions to intervene filed by the social worker, the rape crisis counselor, and the mental health clinic. Although the motions to intervene eventually were denied, the prosecutor instead was ordered to file a written response explaining the basis for the statements made during closing arguments regarding what the complaining witness told counselors. Specifically, the
B. PEOPLE v CARUSO
Defendant Stanley Caruso is charged with second-degree criminal sexual conduct.
Before trial, defense counsel moved to obtain the complainant’s counseling records, asserting that there was good reason to believe the complainant had been the victim of sexual abuse by her biological father. It was further suggested that this may not have been the first note written to the live-in boyfriend of a sexual nature. It was believed by the defense that the child had written at least one prior note in which she suggested she wanted to
The Court of Appeals granted the prosecutor’s interlocutory emergency motion for immediate consideration, but affirmed the trial court’s order requiring production for an in camera review.
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The first issue to decide is whether the various statutory privileges are intended to shield disclosure of this evidence and, if so, whether they violate the defendants’ rights under US Const, Ams VI, XIV, and Const 1963, art 1, §§ 17, 20.
A. THE STATUTORY PRIVILEGES
In opposition to defendant Stanaway’s discovery motion, the prosecutor asserted that the records at
In opposition to defendant Caruso’s discovery request, the prosecutor asserted that the records requested were absolutely privileged under Michigan’s statutory psychologist-patient privilege, MCL 330.1750; MSA 14.800(750).
Unlike other evidentiary rules that exclude evidence because it is potentially unreliable, privilege statutes shield potentially reliable evidence in an attempt to foster relationships. Westen, The compulsory process clause, 73 Mich LR 71, 160-161 (1974). While the assurance of confidentiality may encourage relationships of trust, privileges inhibit rather than facilitate the search for truth. 1 McCormick, Evidence (4th ed), § 72, pp 268-270. Privileges therefore are not easily found or endorsed by the courts. "The existence and scope of a statutory privilege ultimately turns on the language and meaning of the statute itself.” Howe v Detroit Free Press, 440 Mich 203, 211; 487 NW2d 374 (1992). Even so, the goal of statutory construction is to ascertain and facilitate the intent of the Legislature. People v Love, 425 Mich 691, 705; 391 NW2d 738 (1986).
The Legislature expressly provided that confidential communications made to a sexual or domestic assault counselor "shall not be admissible as evidence in any civil or criminal proceeding without the prior written consent of the victim.”
[Sexual assault] [counselors feel obliged to warn their clients beforehand that communications between them may be used as evidence in court, and they report that this knowledge often has an important chilling effect on the client’s willingness to be forthcoming. Crisis intervention centers often make it a practice to keep minimal records in order to protect privacy as much as possible, but this practice makes resumption of counseling after a lapse of time or by another counselor much more difficult. [Id.]
The only exception recognized in MCL 600.2157a; MSA 27A.2157(1) is the mandatory disclosure provisions of the Child Protection Act, MCL 722.623(1); MSA 25.248(3)(1).
The statute addressing the social worker-client privilege, MCL 339.1610(1); MSA 18.425(1610X1) provides in part one that the social worker "shall not be required to disclose a communication” and in part two that communications are confidential. The exceptions to the privilege are disclosures for internal supervision of the social worker, disclosures made under the duty to warn third parties, as set forth in MCL 330.1946; MSA 14.800(946), and where the client has waived the privilege.
The psychologist-patient privilege, MCL 330.1750; MSA 14.800(750), establishes an eviden
Defendant Stanaway included a request for the juvenile diversion records of the complainant in his discovery motion. The prosecutor asserted that those records were privileged by both the social worker-client privilege and under the Juvenile Diversion Act, MCL 722.828-722.829; MSA 25.243(58)-25.243(59).
The Juvenile Diversion Act
Records created pursuant to these requirements are accessible by court order if it is determined that the person requesting them has a legitimate interest.
We hold that the records required under the act are subject to the privilege established by the act. Any additional records created by the juvenile diversion officer in her capacity as a social worker are protected by the statutory social worker-client privilege. Defendants’ need for the records does not fit any of the exceptions afforded under the statutes.
We agree with the prosecutors’ views that these privileges shield the counseling and juvenile diversion records of the complainants.
B. DUE PROCESS CHALLENGE
We now must consider whether the constitutional rights of the defendants to due process
At the heart of this controversy is the defendants’ premise that if relevant evidence is shielded by privilege for some purpose other than enhancing the truth-seeking function of a trial, then the danger of convicting an innocent defendant increases. While the duty to provide evidence may involve a sacrifice of privacy, the public has a right to everyone’s evidence. 8 Wigmore, Evidence
The nation’s highest court has struck down a Mississippi hearsay rule because, when combined with that state’s voucher rule, the defendant was prevented from presenting witnesses in his defense. Chambers v Mississippi, 410 US 284, 302; 93 S Ct 1038; 35 L Ed 2d 297 (1973). "[T]he . . . rule may not be applied mechanistically to defeat the ends of justice,” but must meet the fundamental standards of due process. Evidentiary rules must be evaluated when applied for a determination whether the interests served justify the potential limitation imposed on a defendant’s constitutional rights. Rock v Arkansas, 483 US 44, 56; 107 S Ct 2704; 97 L Ed 2d 37 (1987) (in which an evidentiary rule regarding the inadmissibility of posthypnotic memories was determined to unconstitutionally limit the accused’s due process right to testify on her own behalf). However, the United
A protective order prohibiting cross-examination regarding a witness’ juvenile offenses granted pursuant to a similar state statute providing for juvenile records to be kept confidential was struck down in Davis v Alaska, 415 US 308; 94 S Ct 1105; 39 L Ed 2d 347 (1974), as violative of the defendant’s right of confrontation under the Sixth and Fourteenth Amendments:
The State’s policy interest in protecting the confidentiality of a juvenile offender’s record cannot require yielding of so vital a constitutional right as the effective cross-examination for bias of an adverse witness. . . . [T]he State cannot, consistent with the right of confrontation, require the petitioner to bear the full burden of vindicating the State’s interest in the secrecy of juvenile criminal records. [Id., p 320.]
The issue in this case is discovery access to information that would be useful at trial for impeachment purposes or useful as exculpatory evidence. "There is no general constitutional right to discovery in a criminal case . . . .” Weatherford v Bursey, 429 US 545, 559; 97 S Ct 837; 51 L Ed 2d 30 (1977). The leading United States Supreme Court case on the issue of pretrial access to privi
"Our cases establish, at a minimum, that criminal defendants have the right to . . . put before a jury evidence that might influence the determination of guilt.” Ritchie, supra, p 56. The Court held that the defendant’s due process interests in seeking favorable evidence would be satisfied by in camera review. The Court acknowledged that where an in camera review is conducted, the defendant does not receive the benefit of the advocate’s eye, but the Court observed that full disclosure would "sacrifice unnecessarily the Common
Part of the Court’s rationale for upholding in camera inspection was the fact that the records were those of a government agency. Id., pp 57-60. Defendants have a due process right to obtain evidence in the possession of the prosecutor if it is favorable to the accused and material to guilt or punishment. Brady v Maryland, 373 US 83, 87; 83 S Ct 1194; 10 L Ed 2d 215 (1963); People v Carter, 415 Mich 558, 593; 330 NW2d 314 (1982). Material has been interpreted to mean exculpatory evidence that would raise a reasonable doubt about the defendant’s guilt. United States v Agurs, 427 US 97, 104; 96 S Ct 2392; 49 L Ed 2d 342 (1976). The prosecution must turn over such evidence regardless of whether the defendant makes a request. Id. The defendant in Ritchie had been convicted in the trial court without agency records having been furnished. Ritchie, supra, p 57. The in camera inspection was to determine whether the investigatory records contained exculpatory material that should have been provided to him. Id., p 58. The test for whether the material should have been provided to him is "whether it contains information that probably would have changed the outcome of his trial.” If there was no such material or if the nondisclosure was harmless beyond a reasonable doubt, then, the Court held, the conviction could be reinstated. In a footnote, the Court indicates that "Ritchie, of course, may not require the trial court to search through the cys [Children and Youth Services] file without first establishing a
Our remand of Stanaway has established that the prosecutor has not at any time had access to the records requested by the defendant. Nor were these "investigative” records of a governmental agency. The disclosure requirements of Brady, supra, are directly applicable where the prosecutor possesses the record. People v Reed, 393 Mich 342, 353; 224 NW2d 867 (1975); People v Dellabonda, 265 Mich 486, 500-501; 251 NW 594 (1933). An in camera review would be appropriate to determine whether the prosecutor withheld any evidence he was duty-bound to disclose.
The Ritchie Court also noted that the privilege regarding the investigatory files was "qualified” in that the Pennsylvania statute
Other than the very limited use in deciding whether a juvenile is a likely candidate for diversion, the privilege statutes this Court is asked to apply today do not contemplate use in judicial proceedings. As such, our statutes do not create the qualified privilege the United States Supreme
Absolute privileges — privileges providing that information is not to be disclosed to anyone — have been abrogated despite the existence of the government’s privilege to withhold disclosure of the identity of an informant where disclosure was compelled to satisfy the defendant’s Sixth Amendment confrontation rights. Roviaro v United States, 353 US 53; 77 S Ct 623; 1 L Ed 2d 639 (1957); People v Poindexter, 90 Mich App 599; 282 NW2d 411 (1979). "[N]o fixed rule with respect to disclosure is justifiable. The problem is one that calls for balancing the public interest in protecting the flow of information against the individual’s right to prepare his defense.” Roviaro, supra, p 62.
Common-law and statutory privileges may have
Where other jurisdictions have specifically addressed the validity of counseling privileges, most have attempted to balance the defendant’s constitutional right to a fair trial with the complainant’s interest in confidential therapy. Many require the defendant to make a preliminary showing that the privileged information is likely to contain evidence useful to his defense.
Illinois and Pennsylvania both have refused to disclose records where the statutory privilege was determined to be absolute. People v Foggy, 121 Ill 2d 337; 521 NE2d 86 (1988); Commonwealth v Wilson, 529 Pa 268, 278; 602 A2d 1290 (1992); Commonwealth v Kennedy, 413 Pa Super 95; 604 A2d 1036 (1992). In Foggy, the court gave two reasons for denying the defendant’s request. The first was support for the strong public policy against disclosure underlying the privilege. The second was the fact that the defendant had failed to show that the files contained relevant information that might exculpate or be useful to impeach. Under the facts of Foggy, the request was merely for inconsistent statements because, in the words of the defendant, the trial would amount to a credibility contest. The court stated that if it were to be held that the defendant had established a sufficient showing that the records likely contained relevant information on the basis that this case
The Pennsylvania appellate courts have also held that in camera review violates the absolute privilege established by the state legislature.
The concurring opinion in Kennedy expressed concern that it was unconstitutional to hold a statutory privilege superior to a defendant’s rights of due process. It is the "state’s compelling interest in the confidentiality of the counseling relationship [that] must yield to the greater interest in promoting and protecting the defendant’s constitutional rights.” Id., p 119. Constitutional protections for the accused should not be sacrificed by way of
Not only is judicial in camera review of privileged material possible in certain situations, the Massachusetts Supreme Court has attempted to include the so-called "eye of the advocate” in its review of privileged documents. Commonwealth v Stockhammer, 409 Mass 867, 882-883; 570 NE2d 992 (1991). The procedure involves a multistep inquiry. In order to receive an in camera inspection, a defendant must advance a good-faith belief, having some factual basis, that the privileged records are likely to be relevant to an issue in the case. The judge will then conduct an in camera review of the records. Commonwealth v Bishop, 417 Mass 169; 617 NW2d 990 (1993). If upon inspection, the trial judge finds the records in fact to be relevant, he will then allow defense counsel access to those records to determine whether disclosure of the relevant communications is necessary for a fair trial. Id., pp 179-180. "[F]ull disclosure, predicated solely on a defendant’s uninformed request may yield nothing for the defense, and the privilege would have been pierced unnecessarily.” Id., p 177.
In State v Shiffra, 175 Wis 2d 600; 499 NW2d 719 (1993), the prosecutor provided a defendant accused of sexual assault with information that indicated the complainant had a history of psychiatric problems that might affect her credibility. On the basis of this information, the defendant moved for an in camera inspection of the complainant’s past mental health records. Applying Wisconsin
The numerous writings that contributed to the plurality Ritchie holding and the factors discussed, but not resolved therein, make it difficult to divine a precise formula for balancing against a defendant’s due process rights the state’s pronounced interest in its evidentiary counseling privileges that enhance the healing process in the wake of abuse.
We reject the novel approach fashioned by the separate opinion that would place before the trial court the additional inquiry regarding how important the absolute privilege in question is to the particular privilege holder.
The creation of the various privileges discussed in this opinion establishes the Legislature’s assumption that any forced disclosure of the information protected will cause injury to the privilege holder. The weight of the privilege or the need for the privilege is relevant to and is incorporated into the balancing test this Court articulates today. The test we adopt today anticipates that the privilege holder would be better off if the privilege remains intact.
We believe we are upholding the general purposes of the statutory privileges to prevent the routine disclosures that would undermine therapeutic relationships. We must recognize, however, that in certain circumstances an in camera review of the records is necessary so as not to undermine confidence in the outcome of a trial. In camera inspection of privileged information by the court is a "useful intermediate step between full disclosure and total nondisclosure.” United States v Gambino, 741 F Supp 412, 414 (SD NY, 1990); People v Hackett, 421 Mich 338; 365 NW2d 120 (1984).
Where the defendant has made the required showing, in camera inspection of privileged documents by the judge strikes the delicate balance between the defendant’s federal and state constitu
The state’s interest in preserving the confidentiality of the social worker, diversion, and rape-
c
We now turn to the application of the test enunciated to the specific facts and circumstances of the cases before us. It was not an abuse of discretion to find the counseling communications protected by the privileges in Stanaway or discoverable in Caruso.
Criminal defendants do not have general rights to discovery. MCR 6.001. Discovery in criminal cases, however, is left to the discretion of the trial court:
Discovery will be ordered in criminal cases, when, in the sound discretion of the trial judge, the thing to be inspected is admissible in evidence and a failure of justice may result from its suppression. The burden of showing the trial court facts indicating that such information is necessary to a preparation of its defense and in the interests of a fair trial, and not simply a part of a fishing expedition, rests upon the moving party. [People v Maranian, 359 Mich 361, 368; 102 NW2d 568 (1960).]
In general, when a discovery request is made disclosure should not occur when the record reflects that the party seeking disclosure is on "a fishing expedition to see what may turn up.” Bowman Dairy Co v United States, 341 US 214, 221; 71 S Ct 675; 95 L Ed 879 (1951).
In camera inspection is often utilized to determine whether evidence sought is discoverable. The Legislature has expressly provided for this proce
Defendant Stanaway asserts that the records sought were necessary to his attempt to unearth any prior inconsistent statements made by the complainant or any other relevant rebuttal evidence. This is no more than a generalized assertion that the counseling records may contain evidence useful for impeachment on cross-examination.
Defendant Caruso may have demonstrated a realistic and substantial possibility that the material he requested might contain information necessary to his defense. The defendant argued in his motion for in camera discovery that the circumstances in which the accusation was made were relevant to the truth or falsity of the claim. The defense theory is that the claimant is a troubled, maladjusted child whose past trauma has caused her to make a false accusation against her uncle. The defendant asserted a good-faith belief in his motion that the complainant suffered sexual abuse by her biological father before this allegation of abuse, the nonresolution of which produced a false accusation,
Should the defendant prevail on rehearing, a waiver of the privilege should be requested of the complainant because the privilege in question in Caruso is an absolute privilege.
Only if the in camera inspection reveals information essential and reasonably necessary to the defense should it be provided to the defendant.
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Defendant Stanaway asserts that prosecutorial misconduct occurred during closing arguments to the jury. The defendant further asserts that his trial counsel was ineffective in his failure to object.
Now, who has [the victim] told this incident to? Well, number one, she told the juvenile counselor; number two, she told her girlfriend; she told her sister; she told the Community Mental Health counselor; she told the prosecutor that works in our office, who handled the preliminary hearing; she told the Judge at the preliminary hearing; she told me; and then she told Kathy O’Day, the counselor, the other counselor; and then the jury. Running out of fingers here, that’s nine people she told.
If she were lying, do you think she would go to-this great length, and that she would expose herself to this type of process to tell nine different people, nine different times about these incidents? No, she wouldn’t do that. She would just say forget it, it’s not true. I am not going through with this, it’s not worth the hassle. But, unfortunately, you are seeing what happens to this victim, when she does come forward and tells what happened to her. She goes through this type of process.
Her story is the same, it has never really changed, it’s always been the same. And she has been through it so many times in her mind, and she has told so many people about it, from the counselors all the way through the criminal system, she hasn’t been shaken on it yet, and he didn’t shake her on the stand when she testified.
The defendant’s position is that the effect of the prosecutor’s words were to advise the jury that the complainant’s privileged statements to various counselors regarding the charged offenses had remained consistent on the numerous occasions on which the incidents were reported. Although the complainant testified about the fact of counseling, she did not reveal any statements actually made
Further support for defendant’s theory is found in two questions to the court by the jury during deliberations:
The Court: Okay. You can be seated, Members of the Jury. Court is in session. The record should reflect that the jury sent out a question, and I have talked about it with counsel.
And actually, there are two questions. First, "Why was there no testimony proving the plaintiff did talk to counselors?” The attorneys and I are agreed that there was testimony from [the complainant] that she had talked to counselors. It was some number of months after the charged events took place, but both attorneys alluded to that fact in their closing arguments, and it seems to be well established that she did in fact talk to various counselors.
And the second question is, "Is that admissible testimony?” Well, the fact that she talked to counselors is admissible, but the content of the conversation with the counselors is not admissible. So we can’t get into that. [Emphasis added.]
We note at the outset that the prosecutor either was impermissibly arguing facts not in evidence or was vouching for the credibility of the witness. He admitted on remand that he had no specific knowledge of what the complainant told any counselor.
A prosecutor may not argue the effect of testimony that was not entered into evidence at trial. People v McCain, 84 Mich App 210, 215; 269 NW2d 528 (1988). It is improper bolstering for a prosecutor to vouch for credibility of facts and evidence not in the case. See People v Couch, 49 Mich App 69; 211 NW2d 250 (1973). If defense
Appellate review of improper prosecutorial remarks is generally precluded absent objection by counsel because the trial court is otherwise deprived of an opportunity to cure the error. People v Buckey, 424 Mich 1, 17; 378 NW2d 432 (1985); People v Gonzalez, 178 Mich App 526, 534-535; 444 NW2d 228 (1989); People v Gonyea, 126 Mich App 177, 189; 337 NW2d 325 (1983). An exception exists if a curative instruction could not have eliminated the prejudicial effect or where failure to consider the issue would result in a miscarriage of justice. People v Duncan, 402 Mich 1, 16; 260 NW2d 58 (1977); People v Walker, 93 Mich App 189, 198; 285 NW2d 812 (1979).
Had there been a timely objection by defense council when the prosecutor made his argument, the trial court could have cautioned the prosecutor and instructed the jury that the prosecutor had no knowledge of the content of any counseling the complainant testified she had undergone. Any misleading inference to the contrary could have been dispelled.
The defendant further asserts that his trial counsel’s failure to object to the inappropriate remarks constitutes ineffective assistance of counsel. In order to succeed on such a claim, the defendant first must show that counsel’s performance was below an objective standard of reasonableness under prevailing professional norms. The defendant must overcome a strong presumption that counsel’s assistance constituted sound trial strategy. Second, the defendant must show that there is a reasonable probability that, but for counsel’s error, the result of the proceeding would
During cross-examination of the complainant, defense counsel pursued a theory in which he asserted that the complainant told a lie the first time she related the occurrence of sex between herself and the defendant. His theory was that once she told the lie the first time, she was compelled to keep repeating the story. If defense counsel had objected in front of the jury to the prosecutor’s presentation of the same scenario, he might have undermined his theory of the case. While the lack of an objection may have been questionable strategy, absent the advantage of hindsight, we cannot say that defense counsel performed below the standards of a reasonably competent attorney.
IV
Defendant Stanaway further asserts that the trial court erred when it admitted the hearsay testimony of Officer Robert Peters. As part of the prosecution’s case in chief, defendant’s nephew, Donald Stanaway was called to testify. The pros
[People]: Mr. Stanaway, do you recall talking to Officer Peters about statements that Brian had made to you?
[Witness]: No, I didn’t tell him that Brian made any statements directly to me.
Q. You never made any statement implicating Brian with this incident?
A. I haven’t talked to Brian. I don’t talk to Brian. Like I said, we weren’t getting along.
Q. Okay. And you are saying that you never told Officer Peters that Brian admitted that he was having sex with a young girl?
A. I never said that.
Q. And Brian never told you that if he got caught, he would get into a lot of trouble?
A. Like I said, I didn’t talk to Brian and Brian didn’t talk to me.
Q. And you are related to Brian; right?
A. Brian is my uncle.
Q. Now, you indicated earlier that you were out of town when this all happened?
A. That’s right.
Q. You were down south; right?
A. Right.
Q. I just want to make sure I’m clear, Mr. Stanaway. You are saying that you never — that Brian never made any statements to you implicating himself with sex with a young woman?
A. I don’t remember him doing that, no.
Q. You don’t remember or he didn’t?
A. I don’t remember. I have a bad memory.
Q. Pardon?
A. I have a real bad memory.
*690 Q. Okay.
A. I do.
The prosecutor then called Officer Peters to the stand. Officer Peters was the investigating officer in the case. He testified that he had interviewed the complainant and her parents and that he had interviewed the defendant and some of his family members. He testified that the complainant’s testimony was basically the same as when she reported the incidents to him. He testified that the defendant denied the allegations. Over hearsay objections, the prosecutor then asked Officer Peters about what Donald Stanaway had to say:
[People]: Did you ask him about this incident?
[Witness]: I asked him if he knew [the complainant]. He stated he knew who she was but he didn’t know her. He just knew who she was. And I asked him if his nephew [sic, uncle] Brian had ever mentioned anything to him about [the complainant] or any type of sexual activity between them.
Q. What did he say?
A. He told me that Brian never mentioned him —Brian never stated that he had any sex with a person by the name of [the complainant]. But on a couple of different occasions while Brian was intoxicated, he did state that he had "screwed a young girl,” and if he was caught, he would be in a lot of trouble.
Q. Now, this is a statement allegedly made from Brian to Don Stanaway, Jr.?
A. Yes.
The trial court responded to defense counsel’s hearsay objection to this line of questioning with a cautionary instruction to the jury, sua sponte:
The Court: Well, Members of the Jury, evidence such as this, it’s called a prior inconsistent state*691 ment, and it’s used, usable properly for only one purpose. And let me see if I can draw the distinction for you.
What a witness said on a prior occasion, like whatever Mr. Stanaway said to the officer, can’t be used to determine — what he said before can’t be used to determine whether or not the defendant is guilty or not guilty. So whatever he told the officer can’t be used for that purpose.
Whatever he told the officer before can be used to decide if you are going to believe the witness, Mr. Stanaway, but you can’t use it as substantive proof of what the witness may have said on a former occasion. So for that limited purpose, the objection is overruled, and you may proceed, Mr. Wiese.
The jury’s attention was again drawn to this impeachment evidence during the final instructions given by the court:
[The Court]: Now, there has been some evidence in this case that the witness Donald Stanaway, Jr. made a statement to Officer Peters that differs from what his testimony was during trial. You may recall that during trial he was asked whether the defendant told him "I have screwed a young girl and I’m going to be in a lot of trouble if anybody finds out.” And the witness, Donald Stan-away, Jr., denied making that statement. Later on, Officer Roberts was called, and he said, yes, the witness, Donald Stanaway, Jr., did make that statement.
Now, you have to be very careful about how you consider this evidence, it’s called evidence of a prior inconsistent statement. The statement wasn’t made during this trial. So you must not consider the statement itself when you decide whether the elements of the crime have been proven; in other words, decide whether or not the defendant has been proven guilty.
But, on the other hand, you are allowed to use*692 the evidence regarding that statement to help you decide whether you think the witness is truthful, the witness, Donald Stanaway, is being truthful. So consider the statement carefully. Ask yourself if the witness made the statement, whether it was true, and whether it differs from the witness’ testimony here in court. Then remember that you may only use it to help you decide whether you believe Donald Stanaway, Jr. concerning the testimony that he gave here in court.
And if you should decide that Donald Stanaway, Jr. did make that statement to Officer Peters, the best that you can conclude from that is that the testimony of Donald Stanaway, Jr. should be rejected, should be thrown out and ignored. But that does not make the testimony of Officer Peters useful by you in deciding whether or not the defendant made such a statement or whether or not the defendant is guilty of the crimes with which he is charged.
The only relevance Donald Stanaway’s testimony had to this case was whether he made the statement regarding his uncle’s alleged admission. The witness had no direct knowledge of any of the alleged incidents and was out of town at the time they would have occurred. While prior inconsistent statements may be used in some circumstances to impeach credibility, MRE 613, this was improper impeachment.
While the prosecutor could have presented defendant’s alleged admission by way of the nephew’s statement, he could not have delivered it by way of the officer’s testimony because the statement would be impermissible hearsay. See People v Carner, 117 Mich App 560, 571; 324 NW2d 78 (1982). Likewise, a prosecutor may not use an elicited denial as a springboard for introducing substantive evidence under the guise of rebutting the denial. People v Bennett, 393 Mich 445; 224 NW2d 840 (1975). Here the prosecutor used the elicited denial as a means of introducing a highly prejudicial "admission” that otherwise would have been inadmissible hearsay.
In our assessment of unfair prejudice in People v Robinson, 417 Mich 661, 665-666; 340 NW2d 631 (1983), we held that a trial judge abused his discretion when he allowed the defendant’s prior criminal record to be admitted into evidence:
[T]his evidence had a devastating effect on the defendant’s right to a fair trial. We agree with the defendant that it "is simply incredible that anyone would hear all of those prior acts of criminal conduct and then remove them from their mind based upon an instruction by the court when they are then to consider the guilt or innocence of the*695 accused. The prejudicial impact of all of those past anti-social acts cannot be effectively removed from the jury’s mind by a curative instruction.”
Similarly, the admission of this improper statement that had the effect of a confession in the minds of the jury was not an error that, under the circumstances of this case, could be cured by a cautionary instruction. This trial essentially came down to a credibility contest between the defendant and the complainant. The complainant testified about the elements of the crime; the defendant denied any sexual involvement. There is little evidence that compares to the probative weight a confession carries, particularly when delivered by a police officer. The inference from the police officer’s testimony was that the defendant admitted the acts he was accused of. Any nagging doubts the jury may have had about whether these sexual incidents took place between the complainant and the defendant were likely erased by the words he purportedly uttered to his nephew.
Likewise, we are of the opinion that in this case, the hearsay error was prejudicial. Under these circumstances, we conclude that allowing the police officer to present defendant’s statement purportedly made to his nephew requires reversal of the defendant’s conviction and a new trial.
v
In summary, defendant Stanaway’s generalized assertion of a need to attack the credibility of his accuser is not sufficient to establish the necessary showing of a reasonable probability that the re- * cords contain information material to his defense to overcome the applicable statutory privileges. Despite our agreement that the prosecutor’s refer
Defendant Caruso’s assertion of particularized facts would support a determination that an in camera review of the victim’s counseling records is required. The generalized assertion of a need for impeachment material would not. We vacate the decision of the Court of Appeals and remand to the trial court for a determination of whether an in camera review of the victim’s counseling records in People v Caruso must be ordered because the defendant has demonstrated a good-faith belief, grounded in articulable fact, that there is a reasonable probability that the records contain material information that is material and favorable necessary to his defense.
People v Stanaway reversed and remanded.
People v Caruso vacated and remanded to the trial court.
This is a consolidated case. Both defendants presented arguments regarding the Sixth Amendment right of confrontation and compulsory process. Because we decide this case on the basis of a due process analysis, we do not address these issues beyond stating that any confrontation or compulsory process rights implicated are sufficiently protected by an in camera review when due process compels that result. Pennsylvania v Ritchie, 480 US 39, 56; 107 S Ct 989; 94 L Ed 2d 40 (1987). Michigan courts have routinely adopted federal law when examining the right of confrontation. People v LaLone, 432 Mich 103; 437 NW2d 611 (1989).
Where the United States and Michigan Constitutions contain virtually identical provisions, as is the case when the Sixth Amendment of the United States Constitution is compared to art 1, § 20 of the Michigan Constitution of 1963, federal construction of the constitution should be followed absent compelling reasons for an expansive interpretation of the state constitution. Sitz v Dep’t of State Police, 443 Mich 744; 506 NW2d 209 (1993).
We note that the Sixth Amendment would be directly implicated by the request to use at trial evidence subject to statutory privilege. Davis v Alaska, 415 US 308; 94 S Ct 1105; 39 L Ed 2d 347 (1974); People v LaLone, supra; People v Adamski, 198 Mich App 133; 497 NW2d 546 (1993).
MCL 750.520d(l)(a); MSA 28.788(4)(l)(a).
MCL 722.623(1); MSA 25.248(3)(1) provides in part:
A physician, coroner, dentist, medical examiner, nurse, a person licensed to provide emergency medical care, audiologist, psychologist, family therapist, certified social worker, social worker, social work technician, school administrator, school counselor or teacher, law enforcement officer, or regulated child care provider who has reasonable cause to suspect child abuse or neglect shall make immediately, by telephone or otherwise, an oral report, or cause an oral report to be made, of the suspected child abuse or neglect to the department.
Defendant’s April 20, 1990 Memorandum of Law — Privilege and Discovery.
The challenged discovery requests were to paragraphs 8-11 of defendant’s April 6, 1990 motion for discovery:
8. The Defendant also demands the names and addresses,*652 and the contact person, of any agency, program, or counseling assistance that [the complainant] sought for either treatment or diagnosis after the occurrence of the alleged sexual assault.
9. The Defendant also demands any written observation, document, record or memoranda prepared by Cathy O’Day or any other member of the Marquette Woman’s Crisis Center, or by any member of the Marquette County Juvenile Diversion Counseling Program that pertains to this matter or the aforesaid agencies or programs contact with [the complainant],
10. The Defendant also demands the records of the Juvenile Center Diversion Program pertaining to [the complainant].
11. The Defendant also demands the names of any psychiatrist or psychologist, social worker or counselor that [the complainant] consulted for diagnosis or treatment before the alleged sexual occurrence.
MCL 750.520c; MSA 28.788(3).
This assertion was supported by the preliminary examination testimony óf a witness for the defense who stated he had read the note and was present when the note was presented to the mother’s boyfriend.
The Court of Appeals cited People v Adamski, n 1 supra, as authority for the correct resolution of the collision between the constitutional right of confrontation and the statutory psychologist-patient privilege.
The defendant in Adamski had somehow obtained confidential communications between the complainant and a mental health counselor. At trial, the judge ruled that the statements were inadmissible for impeachment purposes because they were privileged under MCL 330.1750; MSA 14.800(750). The Court of Appeals held that the proper inquiry regarding admissibility must include a determination whether exclusion on the basis of the statutory privilege would "unduly infringe! ]” on the defendant’s right of confrontation. If so, the privilege must yield. Id., p 141.
MCL 600.2157a; MSA 27A.21570) provides:
(1) For purposes of this section:
(a) "Confidential communication” means information transmitted between a victim and a sexual assault or domestic violence counselor, or between a victim or sexual assault or domestic violence counselor and any other person to whom disclosure is reasonably necessary to further the interests of the victim, in connection with the rendering of advice, counseling, or other assistance by the sexual assault or domestic violence counselor to the victim.
(b) "Domestic violence” means that term as defined in section 1501 of Act No. 389 of the Public Acts of 1978, being section 400.1501 of the Michigan Compiled Laws.
(c) "Sexual assault” means assault with intent to commit criminal sexual conduct.
(d) "Sexual assault or domestic violence counselor” means a person who is employed at or who volunteers service at a sexual assault or domestic violence crisis center, and who in that capacity provides advice, counseling, or other assistance to victims of sexual assault or domestic violence and their families.
(e) "Sexual assault or domestic violence crisis center” means an office, institution, agency, or center which offers assistance to victims of sexual assault or domestic violence and their families through crisis intervention and counseling.
(f) "Victim” means a person who was or who alleges to have been the subject of a sexual assault or of domestic violence.
(2) Except as provided by section 11 of the child protection law, Act No. 238 of the Public Acts of 1975, being section 722.631 of the Michigan Compiled Laws, a confidential communication, or any report, working paper, or statement contained in a report or working paper, given or made in connection with a consultation between a victim and a sexual assault or domestic violence counselor, shall not be admissible as evidence in any civil or criminal proceeding without the prior written consent of the victim.
MCL 339.1610; MSA 18.425(1610) provides:
(1) A person registered as a certified social worker, social worker, or social work technician or an employee or officer of an agency for whom the certified social worker, social worker, or social work technician is employed shall not be required to disclose a communication or a portion of a communication*657 made by a client to the person or advice given in the course of professional employment.
(2) Except as otherwise provided in this section, a communication between a certified social worker, social worker, or social work technician or an agency of which the certified social, worker, social worker, or social work technician is an agent and a person counseled is confidential. This privilege is not subject to waiver except when the disclosure is part of the required supervisory process within the agency for which the certified social worker, social worker, or social work technician is employed; or except where so waived by the client or a person authorized to act in the client’s behalf. The certified social worker, social worker, or social work technician shall submit to the appropriate court a written evaluation of the prospect or prognosis of a particular case without divulging a fact or revealing a confidential disclosure when requested by a court for a court action.
The juvenile statutes regarding disclosure of records provides in §8:
(1) Except as otherwise required in subsection (2), a record required to be kept under this act shall be open only by order of the court to persons having a legitimate interest.
(2) A record required to be kept under this act shall be open to a law enforcement agency or court intake worker for only the purpose of deciding whether to divert a minor.
(3) A minor’s record kept under this act shall be destroyed within 28 days after the minor becomes 17 years of age. [MCL 722.828; MSA 25.243(58).]
Section 9 of the statute provides the following penalty for violations regarding the use of the juvenile diversion record:
(1) A record kept under this act shall not be used by. any person, including a court official or law enforcement official, for any purpose except in making a decision on whether to divert a minor.
(2) A person who violates this section is guilty of a misdemeanor, punishable by imprisonment for not more than 180 days, or a fine of not more than $1,000.00, or both. [MCL 722.829; MSA 25.243(59).]
Section 750(2) of the statute provides:
Privileged communications shall not be disclosed in civil, criminal, legislative, or administrative cases or proceedings, or in proceedings preliminary to such cases or proceedings, unless the patient has waived the privilege, except in the circumstances set forth in this section. [MCL 330.1750(2); MSA 14.800(750X2).]
See n 3 for text.
See n 11 for text.
MCL 722.821 et seq.; MSA 25.243(51) et seq.
Specifically, MCL 722.826; MSA 25.243(56) provides:
When a decision is made to divert a minor, the law enforcement official or court intake worker shall file with the court in the county in which the minor resides or is found all of the following information:
(a) The minor’s name, address, and date of birth.
(b) The act or offense for which the minor was apprehended.
(c) The date and place of the act or offense for which the minor was apprehended.
(d) The diversion decision made, whether referred or released.
(e) The nature of the minor’s compliance with the diversion agreement.
[Juvenile diversion] programs should not be used to give "free rides” to youths who do not take their parts under diversion agreements seriously. Consistent recordkeeping on diverted youth would provide information needed by law enforcement and courts in deciding whether diversion is appropriate for a given youngster. [House Legislative Analysis, HB 4597, December 10, 1987.]
We note that the diversion records controlled by MCL 722.828; MSA 25.243(58) relate to those records required to be kept under the Juvenile Diversion Act.
We also note that this issue is moot because the act provides for the destruction of a minor’s record within twenty-eight days after the minor’s seventeenth birthday. MCL 722.828(3); MSA 25.243(58)(3).
MCL 722.829; MSA 25.243(59) provides:
(1) A record kept under this act shall not be used by any person, including a court official or law enforcement official, for any purpose except in making a decision on whether to divert a minor.
(2) A person who violates this section is guilty of a misdemeanor, punishable by imprisonment for not more than 180 days, or a fine of not more than $1,000.00, or both.
US Const, Am XIV provides in pertinent part:
No State shall make or enforce any law which shall abridge the privileges or immunities of citizens of the United States; nor shall any State deprive any person of life, liberty, or property, without due process of law ....
The Michigan counterpart, Const 1963, art 1, § 17, provides in part:
No person shall be compelled in any criminal case to be a witness against himself, nor be deprived of life, liberty or property, without due process of law.
The Court of Appeals thereafter remanded to the trial court for an in camera hearing to determine whether the notice requirement would violate the defendant’s Sixth Amendment rights in light of the evidence. People v Lucas (On Remand), 193 Mich App 298; 484 NW2d 685 (1992).
Justice Blackmun, writing separately, was of the opinion that the right of confrontation encompassed the right of effective cross-examination. This, in his view, may mean a right of pretrial discovery:
If I were to accept the plurality’s effort to divorce confrontation analysis from any examination into the effectiveness of cross-examination, I believe that in some situations the confrontation right would become an empty formality. [Ritchie, supra, p 62.]
The risk that a trial court might not recognize exculpatory evidence does not justify thwarting the state’s commendable effort to assure confidentiality of child abuse records in the wake of the difficulty of detection and prosecution and the unwillingness of victims and witnesses to come forward. Ritchie, supra, pp 60-61.
See, e.g., Kirby v State, 581 So 2d 1136 (Ala, 1990) (in camera examination was ordered for those psychiatric records the prosecutor had knowledge of).
But see State v Little, 260 Mont 460; 861 P2d 154 (1993) (there is no access to counseling records if the prosecutor does not use them).
23 Pa Cons Stat Ann 6340(a)(5).
The unqualified statutory privilege for communications between sexual assault counselors and victims, 42 Pa Cons Stat Ann 5945.1(b), was specifically cited by the Court as the privilege it was not addressing. Ritchie, supra, p 57 and n 14.
The Rhode Island Supreme Court has ruled that the creation of an absolute evidentiary privilege would violate the constitutional rights of the defendant to confrontation and compulsory process. Advisory Opinion to the House of Representatives, 469 A2d 1161 (RI, 1983).
The consideration of all the statutory privileges examined today under the "plausible showing of materiality” test, as suggested by the separate opinion, would not sufficiently balance the state’s important and legitimate interest in protecting the confidentiality evidenced by the establishment of the privileges. Such a position ignores the distinction between the privileges presently before this Court and the privilege contained in the Pennsylvania statute construed by the Ritchie Court. The position ignores the harm in camera review in and of itself does- to the privileged relationship.
See, e.g., Arizona ex rel Romley v Superior Court, Maricopa Co, 172 Ariz 232; 836 P2d 445 (1992) (where a state constitutional right afforded to the victim conflicts with the defendant’s due process right to present a defense, the victim’s right to refuse discovery must yield if the defendant makes a sufficient showing of need); People v Turley, 870 P2d 498 (Colo App, 1993) (the defendant failed to make a sufficient preliminary showing to warrant in camera review when he alleged that the victim’s mental health records were related to her general credibility and reliability); People v Exline, 775 P2d 48 (Colo App, 1988) (the defendant’s request for anything in the reports that relates to credibility is not the specific preliminary showing sufficient to warrant in camera review of counseling records); State v Joyner, 225 Conn 450; 625 A2d 791 (1993) (in camera inspection of psychiatric and substance abuse records is proper where the defendant failed to offer any evidence likely to establish a reasonable connection between the victim’s alleged alcohol abuse and testimonial reliability); People v McMillan, 239 Ill App 3d 467; 607 NE2d 585 (1993) (the defendant failed to show that the psychiatric records of his codefendant were sufficiently relevant to overcome the privilege); Louisiana v Ortiz, 573 So 2d 531 (La App, 1991) (in camera review of psychological records met due process requirements); Zaal v State, 326 Md 54; 602 A2d 1247 (1992) (review of a victim’s school records protects both the interest of the state and the rights of the accused); Baltimore Dep’t of Social Services v Stein, 328 Md 1; 612 A2d 880 (1992); State v Hummel, 483 NW2d 68 (Minn, 1992) (a defendant is not entitled to in camera review of a murder victim’s psychiatric records absent a showing of how the file could likely be related to the defense); State v Morgan, 477 NW2d 527 (Minn App, 1991) (relevance and materiality of confidential medical documents is determined by in camera review); State v Cressey, 137 NH 402; 628 A2d 696 (1993) (in camera review of a psychologist’s counseling notes is necessary if the defendant establishes a reasonable probability that the notes contain information relevant and material to the defense); State v Ramos, 115 NM 718; 858 P2d 94 (1993) (the defendant must show there is some information in the psychiatric records of a witness that suggests a mental
The following are examples of how other jurisdictions have balanced the defendant’s constitutional rights with other privileges: Coats v State, 615 So 2d 1260 (Ala App, 1993) (in camera review of Department of Human Resources file for Brady exculpatory information); Duncan v State, 587 So 2d 1260 (Ala App, 1991) (once an undercover officer testifies for the government, the defendant is entitled to at least an in camera inspection of his report); State v March, 859 P2d 714, 717 (Alas App, 1993) (a threshold showing of admissibility to entitle a defendant to in camera access to a confidential personnel file fails to safeguard a criminal defendant’s due process right to discovery of exculpatory information); State v Harris, 227 Conn 751; 631 A2d 309 (1993) (in camera review of personnel files for Brady exculpatory evidence satisfies defendant’s due process rights; examination for impeachment evidence should be conducted if the defendant establishes a reasonable ground to believe the failure to produce the records would likely impair his defense); State v Hubbard, 32 Conn App 178; 628 A2d 626 (1993) (in camera inspection of police records was properly denied where the defendant failed to demonstrate a reasonable likelihood that the records would contain information relevant to his case); Carter v United States, 614 A2d 913 (DC App, 1992) (denial of an in camera hearing regarding the location of a police observation post was proper where the defendant’s generalized need to know did not outweigh the government’s interest in maintaining confidentiality); Dep’t of Health & Rehabilitative Services v Lopez, 604 So 2d 11 (Fla App, 1992) (agency records must be inspected in camera for Brady violation); Stewart v State, 210 Ga App 474; 436 SE2d 679 (1993) (in camera review of children’s services file, including videotaped interview with the victim, for exculpatory material satisfies Brady); Anderson v State, 200 Ga App 29; 406 SE2d 791 (1991) (in camera review of prosecutor’s file is not necessary if the defendant did not identify the materiality or favorable nature of the evidence sought); Stripling v State, 261 Ga 1; 401 SE2d 500 (1991) (in camera inspection of parole records met due process requirements); State v SP, 608 So 2d 232 (La App, 1992) (in camera inspection of juvenile records must be conducted if defense counsel makes a request
But cf. DeFries v State, 597 So 2d 742 (Ala App, 1992) (in a jurisdiction that retains a prohibition against impeaching one’s own witness, the defendant was not entitled to an in camera inspection of the police report where the officer who prepared the report was called as a defense witness); State v Little, n 24 supra (Ritchie applies to access to Department of Family Services files but not to psychological records); Commonwealth v Kennedy, 413 Pa Super 95; 604 A2d 1036 (1992) (where the statute establishes that the protective service file is to be absolutely privileged, in camera review is not allowed).
42 Pa Cons Stat Ann 5945.1(b)(1) provides:
(b) Privilege—
(1) No sexual assault counselor may, without the written consent of the victim, disclose the victim’s confidential oral or written communications to the counselor nor consent to be examined in any court or criminal proceeding.
The Wisconsin Court of Appeals had held previously that Pennsylvania v Ritchie, supra, is applicable even when the information is not in the possession of the state but is in the possession of a private counseling agency as long as it is shielded by statutory privilege. State v SH, 159 Wis 2d 730; 465 NW2d 238 (1990); In re KKC, 143 Wis 2d 508; 422 NW2d 142 (1988).
The court analogized to cases in which the informant privilege has been abrogated by the defendant’s due process right to a fair determination of guilt.
See Roviaro v United States, supra (the public interest in protecting the confidentiality of an informant must give way if a defendant can demonstrate that disclosure would be relevant and helpful to his defense or essential for a fair determination of a cause); State v Outlaw, 108 Wis 2d 112; 321 NW2d 145 (1982).
Wis Stat Ann 905.04.
Similarly, the Illinois Supreme Court has ruled that in the event that a complainant refuses to allow a defendant’s expert to conduct an examination, the prosecutor is precluded from offering rape trauma syndrome evidence to establish the defendant’s guilt. People v Wheeler, 151 Ill 2d 298; 602 NE2d 826 (1992).
Hogan, The constitutionality of an absolute privilege for rape crisis counseling: A criminal defendant’s sixth amendment rights versus a rape victim’s right to conñdential therapeutic counseling, 30 BC L R 411, 413 (1989) (the testimonial privilege for communications
After the defendant has made a plausible showing of materiality, "the prosecutor, representing the interests of the privilege holder, and the defendant should present their respective arguments regarding the effect disclosure would have on the goals of the privilege.” Post, p 719.
Under this fluctuating standard, the trial court would be asked to conduct an individualized assessment of the importance of the statutory privilege to the particular privilege holder. How is a judge to determine how grave an injury disclosure of records will cause a particular privilege holder without knowing, at least in a partial sense, what the records contain? How can a prosecutor represent the particularized importance of the privilege without knowing what the records contain? The partial disclosure necessary in many cases to establish the privilege holder’s need for the non inspection of the records would be more intrusive than the in camera inspection.
As will be the case in many instances, where the accuser is the privilege holder, it would seem that the more unstable the accuser, the greater the likelihood abrogation of the privilege would be deemed harmful. Correlating with the accuser’s instability, however, will be the greater need for the defendant to access mental health records to prove that the accusation arises from instability rather than reality. Where a statute seeking to protect a victim clashes with
The suggestion in the separate opinion that a less stringent test for abrogation of all privileges in which the Legislature had not used waiver language is difficult to accept given this Court’s recognition of evidentiary privilege in the courtroom where less than an absolute privilege was established. Howe v Detroit Free Press, supra. The test suggested by the separate opinion could unnecessarily burden trial courts with the need to conduct more in camera inspections under its "plausible showing of materiality test” and undermine the legislative purposes in establishing the statutory privileges in question.
Far from overvaluing and underappreciating the privileges at issue, as the separate opinion accuses, see post, p 701, today’s opinion is narrowly tailored to preserve the privileges to the extent permissible under the federal and state constitutions.
The separate opinion also suggests that a new and different inquiry be conducted when the judge is trying to decide whether to turn over any or all of the file in the course of conducting the in camera inspection. We believe the basic inquiry that determined whether to conduct the inspection controls the decision whether to give information to the defendant. The separate opinion mischaracterizes as identical our tests for whether to grant an in camera inspection and whether to disclose the documents to the defendant. The inquiry is similar, but not identical. The initial threshold is whether there is a reasonable probability, that material information necessary to the defense is likely to be in the record. The determination to be made after looking at the record is whether the evidence is material and necessary to the defense, with material meaning exculpatory evidence capable of raising a reasonable doubt about the defendant’s guilt.
The separate opinion would unnecessarily overcomplicate this decision by requiring the trial court to determine 1) the policy base for the privilege at issue, 2) the significance of the privileged information in a given case, 3) assess the effect the privilege has on the defendant’s right to effective cross-examination or theory of defense, and 4) determine whether there are available alternative means to obtain the substantial equivalent of the privileged information.
We simply ask the trial court to decide whether the evidence suspected of being contained in the records was in fact there. The weighing of the legislative purpose in creating the various privileges presented by this case has been done today by this Court. There is no need for any further assessment by the trial court because the importance of the privilege is accounted for in the tests for in camera review and disclosure we announce today.
Counsel for defendant Stanaway asserted the counseling records would be exculpatory if they revealed that the complainant had opportunities to confide regarding the alleged sexual incidents, but was silent. We reject this asserted need for negative evidence. Silence in this circumstance would not prove that the offense did not occur. State v Scheffelman, 250 Mont 334; 820 P2d 1293 (1991) (the absence of rape trauma symptoms during psychological counseling does not logically prove that a sexual assault did not occur).
While defendant Stanaway is denied access to possible prior inconsistent statements made in the counseling context, we note, as we did in People v LaLone, n 1 supra, that statements made to a counselor are not the only avenue that was available for exploration regarding the complainant’s credibility. The wide world of possible prior inconsistent statements made in nonprivileged communications remains open to him.
We are fully cognizant that under the rape shield statute, MCL 750.520j(l); MSA 28.788(101(1), evidence of past sexual conduct with others is generally legally irrelevant. People v Arenda, 416 Mich 1; 330 NW2d 814 (1982). Any request for the alleged victim’s privileged records for the purpose of proving past sexual conduct would not be a request for information material to the defense.
The defendant never suggests that the incident from which the accusation arises was committed by the child’s biological father or that the act was consensual. The defense theory in this case is that the act did not happen. The theory is that this is a false accusation that is the product of unresolved trauma inflicted by the biological father. This Court has recognized that while prior sexual conduct may be declared irrelevant to prove consent or to generally impeach, it may be properly admitted for other purposes such as to show bias, motive for false charge, or fact of prior false accusations. People v Hackett, 421 Mich 338, 348; 365 NW2d 120 (1984).
We cannot agree with the suggestion by the separate opinion that further evidence of the existence of the note or production of the note itself if contained in counseling files would be unnecessary because it is cumulative. Cumulative evidence can be probative. While it is true that there was testimony, by one witness that he was present when the eight-year-old child presented the note to her mother’s boyfriend, the mother’s boyfriend refuted that testimony. At the preliminary examination, he testified that he couldn’t really remember what the note said. He characterized it as innocent kid stuff.
It is possible that the judge granted the in camera inspection on the facts established at the preliminary examination that would support the preliminary showing required of defendants as enunciated in this opinion. It is also possible that the inspection was improperly ordered to look for impeachment material in general.
Interestingly, the separate opinion would adopt a supposedly more permissive, "plausible showing of materiality” test for criminal defendants, but would not recognize its test as having been met by defendant Caruso on the basis of the facts presented. Yet, under our stricter test requiring a reasonable probability that the records are likely to contain material information necessary to the defense, we would uphold the ordering of an in camera review on these facts as being properly within the judge’s discretion.
See n 12 for the text of the psychiatrist-patient privilege, MCL 330.1750; MSA 14.800(750). Although, not presented by defendant Caruso’s motion, we would hold that nonabsolute privileges, meaning privileges that do not specify express waiver, would not require waiver by the privilege holder before an order to produce the documents in question for in camera inspection could be entered. Where the defendant is successful in demonstrating a reasonable probability that material information necessary to confront the evidence against him or necessary to present his theory of defense, his federal and state due process rights outweigh the evidentiary privilege.
Where the statutory privilege is not absolute, express waiver is not required. ■
Harmless error analysis has been applied for review of the trial court’s improper denial of in camera access. See State v Morgan, n 28 supra (an independent review of material examined by the trial judge and withheld from the defendant revealed that the denial was proper because the evidence simply restated that which was presented to the jury by other means); State v Middlebrooks, n 28 supra (the failure by the trial court in not conducting an in camera inspection of psychiatric records was harmless error because inspection by the court of appeals revealed that the records did not contain information probative of witness credibility).
Defense counsel pursued this theory in his closing argument to the jury:
[Defense Counsel]: She has told the story over and over' again, [the prosecutor] says to at least nine people. After telling it and telling it and telling it to all these people, when would she get the opportunity to say I made it up, I’m sorry to all the people, didn’t occur, it really occurred this way? She got locked in the first time she told the story, and nobody checked up on the details. If they had, they would have seen it was implausible, it couldn’t have happened.
We note that the prosecutor’s impeachment of his own witness would have been improper at the time of trial under the court rules then in effect. MRE 607 permitted a prosecutor to attack the credibility of a witness only if the prosecutor was obliged to call the witness or if the testimony was contrary to that anticipated and was actually injurious to the calling party’s case. While the prosecutor may or may not have anticipated that Donald Stanaway would deny making the statement, his denial did not hurt the prosecutor’s case in the sense required by the rule. All the denial did was fail to establish a piece of evidence the prosecutor wanted the jury to hear.
MRE 607 has since been amended, effective March 1, 1991, to conform to Federal Rule of Evidence 607 and now provides:
*693 The credibility of a witness may be attacked by any party, including the party calling him.
Because the new rule would he applied in the event of a new trial, the fact of impeachment alone is not dispositive of this issue, but the manner of impeachment must be analyzed.
In People v Standifer, 425 Mich 543, 558; 390 NW2d 632 (1986), this Court distinguished the impeachment of a recanting witness whose testimony was unexpected and harmful to the prosecution’s case from the situation in which a prosecutor deliberately places a witness on the stand in order to elicit a denial.
Although not briefed or argued by the parties, we would note that where there is trial error in admitting hearsay testimony not admissible under the Michigan Rules of Evidence, there may be an issue regarding whether we must determine if the evidentiary ruling implicated constitutional error under the Confrontation Clause, US Const, Am VI and Const 1963, art 1, § 20, in order to properly assess harmless error. In California v Green, 399 US 149; 90 S Ct 1930; 26 L Ed 2d 489 (1970), the Supreme Court held that it is not a Sixth Amendment violation where hearsay was improperly admitted but the declarant testified and was therefore available for cross-examination. Where the declarant can be cross-examined about the prior inconsistent statement, there is no Confrontation Clause violation because the literal right to confront the witness has been satisfied. A state may develop a standard of harmless error at variance with the harmless error analysis set forth for constitutional error by the Supreme Court in Chapman v California, 386 US 18; 87 S Ct 824; 17 L Ed 2d 705 (1967), to be applied to incorrect rulings regarding its rules of evidence not amounting to a constitutional violation. Green, p 170.
We continue to reserve for another day the enunciation of the precise harmless error standard to be applied to preserved, nonconstitutional error. See People v Anderson (After Remand), 446 Mich 392, 407, n 39; 521 NW2d 538 (1994).
Concurring Opinion
(concurring). Although I agree with the result in both Stanaway and Caruso, I write separately because I disagree with the majority’s rationale. In these cases we deal with the extremely difficult problem of formulating a lawful and usable approach to balancing a defendant’s due process right to a fair trial against resistance to discovery based on claims of privilege.
In my judgment, the test for in camera review is a plausible showing of need and materiality. The test for disclosure and use is whether there is a reasonable probability that material and necessary information would affect the factfinder’s determination of guilt or innocence. The issues are (1) the nature of the privilege asserted, (2) the test for in camera review, (3) the test for determining when constitutional materiality requires discovery or use of protected information, and (4) the remedy for nondisclosure. The majority (1) creates too rigid a barrier to a defendant’s request for in camera review, (2) treats all "privileges” as functionally equivalent, (3) confuses the standard for in camera review with the test for disclosure, and (4) assumes that the remedy appropriate to resistance to discovery of all information protected by an absolute privilege is striking the witness’ testimony.
The majority’s rationale is based on two dubious grounds, one that unnecessarily limits a defen
Moreover, the majority’s failure to distinguish
The first step in analysis when a due process right to discovery is asserted and a privilege is invoked, is to examine the basis for the defendant’s request. Where the defendant makes a plausible showing of materiality and favorability to his case, further consideration is in order. Passing the initial materiality test, a determination whether the privilege is absolute or conditional is necessary to assess whether further deliberation may be called for before in camera review is warranted. Where the statute establishing the privilege fairly permits a construction that in camera disclosure can be required as a screening device, in camera examination is appropriate. Even where the privilege invoked is absolute, if it cannot be said that in camera review would destroy the ends sought
Achieving in camera review, however, does not end the inquiry. A decision on disclosure to the defendant still awaits. At this stage, the test for disclosure is whether the protected material is both necessary and constitutionally material, as developed more fully below. This standard does not vary with the nature of the privilege.
The psychologist-patient privilege involved in People v Caruso is an absolute privilege protecting private communications. Although Caruso did not make an initially sufficient showing of plausible materiality, on the remand ordered by the majority,
i
A
Contemporary case law of this Court has construed "privileges” broadly to uphold the right of a defendant in a criminal case to prevent in-court disclosure of relevant evidence. See, e.g., People v Howe, 445 Mich 923 (1994); Howe v Detroit Free Press, 440 Mich 203; 487 NW2d 374 (1992); People v Hamacher, 432 Mich 157; 438 NW2d 43 (1989); People v Vermeulen, 432 Mich 32; 438 NW2d 36 (1989). In these cases, however, the failure to engage in a discrete analysis that construes privileges as narrowly as possible in recognition of their impediment to the truth-seeking objective produces a manipulation of the standard for in camera review that jeopardizes the right of a defendant in a criminal case to a fair trial.
The majority today requires that, in order for a court to conduct an in camera review of any privileged records, a defendant must "establish a reasonable probability that the privileged records are likely to contain material information necessary to his defense . . . .” Ante at 649. My first point of departure from the majority’s rationale is that this initial materiality requirement erects a higher initial barrier to in camera review than that articulated by the United States Supreme Court.
In Pennsylvania v Ritchie, 480 US 39, 58, n 15; 107 S Ct 989; 94 L Ed 2d 40 (1987), the Court rejected the government’s resistance to in camera review because Ritchie had not established a "particularized” basis for his claim. The Court required
Valenzuela-Bernal, supra, provides useful instruction on the plausible materiality standard. In that case, the Court sought to determine the requisite showing in order to demonstrate a violation of a defendant’s right to compulsory process by the deportation of possible defense witnesses before affording defense counsel an opportunity to interview the deportees. The Court rejected the suggestion that the testimony of the witnesses need only be shown to be of "conceivable benefit” to the defense because such a standard was limited only by the imagination of defense counsel or the trial judge. Id. at 866. The Court held that the defen
[A] lesser evidentiary showing is needed to trigger in camera review than is required ultimately to overcome the privilege. [United States v Zolin, 491 US 554, 572; 109 S Ct 2619; 105 L Ed 2d 469 (1989).]
The detail asserted may assist the court in evaluating how the privileged material might be relevant to the defense,
[A] trial judge cannot accurately evaluate the litigant’s showing of necessity without knowing something of the content of the information sought. There is no judicial algebra by which a court can determine how badly a litigant needs "X.”[9 ]
B
Under the plausible materiality and favorability standard, defendant Stanaway has failed to articulate a sufficient basis for discovery of the social worker-client and juvenile diversion records. Stan-away can only justify his discovery request by a hope to unearth some statements inconsistent with the victim’s prior testimony. This generalized aspi
Because Caruso has not been tried, I agree with the majority that a showing of plausible necessity might yet be made. However, the defendant’s claim in Caruso that the listing of a psychologist as an expert witness might permit access to other privileged records on the basis of a good-faith belief that the records may reveal another explanation for the symptoms does not set forth a plausible basis for in camera review. There is no showing of relevancy that is not merely cumulative with respect to the testimony of the expert witness. The opinion of the psychologist/expert witness may be offered only with respect to the behavior traits of the victim. People v Beckley, 434 Mich 691; 456 NW2d 391 (1990). The expert witness’ records will be available, thus affording the defendant the basis for full exploration of the expert’s opinion. Nor can a plausibly sufficient justification for disclosure of the privileged records be grounded on the claims that the complainant was abused by her father, has not received proper treatment and has a warped sense of right or wrong. These claims are directed at a collateral act. Their relevance to fabrication of this incident is supported only by conclusory statements. The defendant asserts before this Court that the relevance of the requested information is to rebut the
ii
The United States Supreme Court has disclaimed any intent to constitutionalize the discovery process. Weatherford v Bursey, 429 US 545; 97 S Ct 837; 51 L Ed 2d 30 (1977). Moreover, "[privileges are not all equally important; they vary with the privacy interests they protect and the policies they promote.” Saltzburg, Privileges and professionals: Lawyers and psychiatrists, 66 Va L R 597, 622 (1980), quoted in 1 McCormick, Evidence (4th ed), § 77, p 290, n 5. Lacking clear guidance from the United States Supreme Court, the majority has collapsed all state privileges, irrespective of their relative importance, qualified as well as un
All the privileges at issue in the instant cases are statutorily protected by language that evinces a respect for the privileged communications. However, only the privileges afforded communications with sexual assault counselors
The statutory privileges extended to communications with sexual assault counselors and psychologists evince the highest societal regard,
in
Given the lack of guidance from the Supreme Court with respect to the initial materiality standard and the ultimate issue of disclosure and use of privileged information,
There is no authority from the United States Supreme Court that holds that absolute statutory privileges protecting private relationships are unconstitutional on their face. The Court has never dealt squarely with the validity of a statutorily mandated, societal privilege that expressly bars introduction of privileged material into judicial proceedings. In Pennsylvania v Ritchie, supra, the Court expressly refused to articulate an opinion regarding the result of a direct clash between a defendant’s pretrial discovery claim to records of a government agency and a specific statutory bar to the desired access. The defendant’s request for exculpatory material was opposed in Ritchie by a statute that permitted disclosure of confidential information to a court in appropriate circumstances. The Court construed the statute narrowly to hold that "[g]iven that the Pennsylvania Legislature contemplated some use of [Children and Youth Services] records [the records being sought for discovery] in judicial proceedings, we cannot conclude that the statute prevents all disclosure in criminal prosecutions.” 480 US 57-58.
The majority acknowledges this limitation on Ritchie, but implicitly concludes
In addition to Ritchie, other United States Supreme Court opinions relevant to an evaluation of absolute privileges fail to provide clear guidance. In Roviaro v United States, 353 US 53; 77 S Ct 623; 1 L Ed 2d 639 (1957), the Court determined that the common-law informer’s privilege
In United States v Nixon, 418 US 683; 94 S Ct 3090; 41 L Ed 2d 1039 (1974), the Court found that the president’s generalized claim of absolute executive privilege, made in an attempt to bar in camera review of records of conversations between the president and his close advisors, had to yield to
IV
From the background of precedent discussed above, drawing guidance to aid in evaluation of
If a privilege is conditional, there is no need for further consideration before in camera review. The defendant in such a case has made a plausible showing of materiality and favorability, and the considerations at in camera review, discussed below, await. In Stanaway, had the challenge to the social worker-client and juvenile diversion records privileges met the plausibility standard, the trial court properly would have ordered the records submitted for in camera review.
Where there is a clear indication that a privilege was intended to block the introduction of the information protected into judicial proceedings, however, I would hold that the privilege is an absolute bar to the discovery of the privileged material by a defendant in a criminal proceeding if, under the facts of the particular case, defeat of the privilege would preclude the achievement of the goal sought through the privileged communication. Discovery of the privileged information in this case is only possible through waiver of the
Analysis of the effect of violation of the absolute privilege on the ends sought through the communication should be initiated before any in camera review. It thus serves as an overriding hurdle to further in camera inquiry. When the preliminary showing of the requisite materiality of the evidence sought has been made, and the privilege has been asserted, the prosecutor, representing the interests of the privilege holder, and the defendant should present their respective arguments regarding the effect disclosure would have on the goals of the privilege.
These observations regarding the Legislature’s duty do not absolve courts of their responsibility for interpretation and application of privileges. In United States v Nixon, supra, the Court considered the injury that defeat of the asserted privilege for presidential communications would have on the goal of the privilege to encourage frank and honest discussions between the president and his advisers. The Court found that the president’s executive privilege had its origins in Article II of the United States Constitution. Id. at 705-706. While acknowledging that the "interest in preserving confidentiality is weighty indeed and entitled to great respect,” the Court stated, "we cannot conclude that advisers will be moved to temper the candor of their remarks by the infrequent occasions of disclosure because of the possibility that such conversations will be called for in the context of a criminal prosecution.” Id. at 712 (citation omitted). Similarly, in Davis v Alaska, supra, the Court considered the possible injury to the goal of the privilege afforded by statute to juvenile records that would result from disclosure of those records through cross-examination of the witness, but characterized such injury as merely a "temporary
Where an absolute privilege is clearly intended by statute, I would allow the court to weigh the anticipated injury in that case to the goal of the privileged communications under consideration, similar to the Court’s analysis in Nixon and Davis. This forces the tribunal to come to grips with the importance of the privilege, not just in the abstract, but in the context of the facts of the particular case. Thus, in further proceedings regarding the psychiatrist-patient privilege in Caruso, if a showing of plausible materiality for discovery of material that is expressly exempted from in court disclosure is made, further analysis is in order. If the ends of the absolute privilege would be destroyed by in camera review, the court has no authority to invade it and is precluded from further inquiry unless the privilege holder yields. Similar analysis would apply to discovery of the records protected by the sexual assault counselor privilege in Stanaway, had the defendant been able to pass the initial materiality test.
As I have noted above, a determination whether violation of a statutorily absolute privilege in a particular case would preclude achievement of the ends sought through the communication dictates á specific factual analysis. Such analysis was not done in the trial courts in the present cases, and this Court has insufficient information to legitimately make such a determination on the basis of the record before it. In this connection, it bears repeating that appellate courts can review these questions only on the basis of an adequate record. Thus I am unable at this juncture to predict the probable injury from disclosure of the records protected by the sexual assault counselor privilege in Stanaway and the psychologist privilege in
Assuming that defendant Caruso makes a showing on remand of plausible materiality for discovery of the records protected by the psychologist-patient privilege, under my test the trial court should make a preliminary determination regarding the gravity of the injury. If the injury is grave and the holder will not yield, the prosecutor will bear the consequences.
v
The final issue regarding disclosure of privileged information to the defendant who has made a successful showing of the need for in camera review is the trial court’s determination of the information that should be disclosed. That process encompasses again weighing the defendant’s right to the information against privileges that are now acknowledged to be susceptible to breach, but the balancing takes a different focus. At this final stage of review, the policy base for the privilege at issue should still be respected,
A
When the focus shifts to the question of a work
Illustration of the requisite materiality of privileged information is provided by Roviaro v United States, supra. The informer’s privilege at issue in that case was premised on the furtherance of effective law enforcement. Id. at 59. By allowing the government to assert that an informer’s identity was privileged, the government’s task in obtaining information inculpating the defendant was eased.
A determination whether the privilege must yield depends on the significance of the privileged information in the particular circumstances of the case, that is, its probative force. Thus, while disclosure of the informant’s identity in Roviaro was of vital importance because he was the only witness to the transaction charged, informant identity is denied where the informant does not actively participate in the transaction that generates the charge, or his information would be merely cumulative. United States v Mendoza-Salgado, 964 F2d 993 (CA 10, 1992). Evidence is material only if there is a reasonable probability that if it is disclosed to the defense, the result of the proceeding will be different. United States v Parker, 836 F2d 1080, 1083 (CA 8, 1987) quoting Bagley, supra at 682.
Davis v Alaska, supra, while examined as a Confrontation Clause violation affecting testimony at trial, is instructive regarding the requisite standard of necessity. The privilege rule at issue in that case was designed primarily, or at least incidentally, to benefit the state rather than to protect a private communication. In addition, the information protected was subject to disclosure under limited circumstances. Finally, the bar constructed by the juvenile records privilege deprived the defense of the only opportunity to show the witness’ bias and ulterior motive for testifying against the defendant. Id. at 316-318; see also Olden v Kentucky, 488 US 227; 109 S Ct 480; 102 L Ed 2d 513 (1988). The Court in Davis affirmed that revealing a witness’ motive for testifying is included within
In the first instance, it is probable that the defendant’s ability to challenge claims of privilege as impairing his "right to present a defense” will to some extent be dependent upon the criticality to that defense of the matter protected by the privilege. In Davis, the privileged matter in effect represented a significant and irreplaceable means of impeaching the chief prosecution witness. By contrast, where the privileged matter desired is of significantly lesser probative force or simply cumulative, its denial to the defendant has been held not to violate the constitutional guarantees. [McCormick, Evidence (3d ed), § 74.2, p 179.]
Thus, a case for the necessity of disclosure of privileged information is not made out if the information sought is merely cumulative of evidence otherwise available to the defendant.
It thus appears that the test of constitutional relevancy for disclosure purposes is that the evidence must be material in the sense that it would make a difference in the outcome
Several other sources support the conclusion that the majority’s test for in camera review is an appropriate standard for disclosure and use of material protected by a privilege. First, on close inspection, every case from the United States Su
If the judge [after an in camera review] finds that there is a reasonable probability that the informer can give the testimony, [necessary to a fair determination of the issue of guilt or innocence in a criminal case] and the government elects not to disclose his identity, the judge on motion of the defendant in a criminal case shall dismiss the charges to which the testimony would relate .... [2 Weinstein & Berger, Evidence, Proposed Supreme Court Standard 510(c)(2) — Identity of Informer, pp 510-1 to 510-2.]
Although not ultimately adopted, the proposed standard encompasses the advisory committee’s recommendation that disclosure should be available on a showing of reasonable probability that privileged information is necessary to a fair determination of guilt or innocence.
The only state my research has located that specifically addresses the standard for disclosure of material protected by a counselor-client privilege, including a sexual assault counselor, provides that otherwise privileged communications may be disclosed:
"(2) if the judge finds:
"(A) That the substance of the communication is relevant to an essential issue in the case;
"(B) That there are no available alternate means to obtain the substantial equivalent of the communication and;
"(C) That the need for the information outweighs the interest protected by the privilege. The court may receive evidence in camera to make findings under this rule.” [Ky R Evid 506(d)(2), quoted in 2 Weinstein & Berger, If 501, p 501-124 (1994 Supp).]_
B
Applying these principles to the issue of disclosure in the present cases, defendant Stanaway has shown no basis for allowing him access to the privileged information. The defendant made no more than a generalized request for review of the complainant’s sexual assault counselor’s records to potentially find useful impeachment information. This falls far short of a showing that discovery of the privileged records is either necessary or material to test the complainant’s credibility on cross-examination. The defendant has simply failed to demonstrate that effective cross-examination is unavailable because of the privilege bar. As noted by the majority, "statements made to a counselor are not the only avenue . . . available for exploration regarding the complainant’s credibility.” Ante at 682, n 42.
In defendant Caruso’s case, the showing made to this point is likewise insufficient. As we have noted, the need for the absolutely protected record was partially based upon a belief that the complainant had. written sexually suggestive notes to her mother’s fiancé. Conflicting testimony from several witnesses has already been presented at a
I have written separately regarding the standard for in camera review, and disclosure and use, of information protected by privilege because I disagree with the majority’s initial standard for in camera review and because of the majority’s failure to meaningfully distinguish between that stan
The approach I have suggested protects absolutely privileged private communications. It limits the availability of in camera review in respect to absolute privileges, and applies a standard that permits the balancing of societal interests against the defendant’s due process interests and disclosure. It is also consistent with the limitations of statutory relevance we have previously found constitutional. People v Arenda, 416 Mich 1; 330 NW2d 814 (1982); People v Hackett, 421 Mich 338; 365 NW2d 120 (1984). Lacking clear direction from the United States Supreme Court, I offer these suggestions, which are a necessarily limited vision of the direction of that jurisprudence, mindful of the frontline responsibility of the trial judiciary to harmonize legislative purpose with the fair ascertainment of truth that is the basic assurance of due process. In the end, there is no surer guide to the resolution of the issues presented here than the experience of trial court judges, as they attempt to strike the delicate balance between upholding the interest protected by a privilege and assuring the integrity of the constitutional guarantee of a fair trial.
(separate opinion). I have signed Justice Brickley’s opinion, but would permit a lawyer for the accused to participate in an in camera examination for the reasons stated by the Supreme Judicial Court of Massachusetts in Com
The United States Supreme Court has held that, where a criminal defendant desires access to privileged records of the confidential communications of the complaining witness, the interests of the defendant and the State in a fair trial are fully protected by an in camera review of those records by the trial judge. See Pennsylvania v Ritchie, 480 US 39, 59-61 [107 S Ct 989; 94 L Ed 2d 40] (1987). This holding does not necessarily answer the question before us, however, because, in the past, "on similar facts, we have reached different results under the State Constitution from those that were reached by the Supreme Court of the United States under the Federal Constitution.” Commonwealth v Upton, 394 Mass 363, 372 [476 NE2d 548] (1985), and cases cited. Thus, in Commonwealth v Clancy, 402 Mass 664 [524 NE2d 395] (1988), we rejected the defendant’s argument — predicated solely on Federal constitutional principles — that he was entitled to examine .the medical records of the chief prosecution witness. At the same time, we reserved the question whether the result would be the same under the Massachusetts Declaration of Rights. See id. at 670. See also Commonwealth v Jones, 404 Mass 339, 340-344 [535 NE2d 221] (1989) (rejecting argument that Federal Constitution requires more than in camera review of requested dss records, and expressly declining to address unraised State law question).
The Federal standard requiring only an in camera review by the trial judge of privileged records requested, by the defendant rests on the assumptions that trial judges can temporarily and effectively assume the role of advocate when examining such records; and that the interests of the State and complainant in the confidentiality of the records cannot adequately be protected in any other way. Neither assumption withstands close scrutiny._
Regarding the second assumption, we are not convinced that the interests of the State and the complaining witness in preserving the confidentiality of communications to psychotherapists and social workers can only be protected by an in camera review procedure. Trial judges have broad discretion to control the proceedings before them. There is no reason why they cannot take steps to insure that breaches of confidentiality • attending discovery are limited only to those absolutely and unavoidably necessary to the preparation and presentation of the defendant’s defense. For example, judges could allow counsel access to privileged records only in their capacity as officers of the court. Admission of or reference to any such information at trial could be conditioned on a determination (made after an in camera hearing) that the
In addition to rejecting the assumptions that support the Federal standard, we note that § 20B of G.L. c. 233, and § 135 of G.L. c. 112, are not statements of absolute privilege, unlike certain other statutory testimonial privileges such as G.L. c. 233, § 20A (priest/penitent), and G.L. c. 233, § 20 J (sexual assault counselor/victim). See Commonwealth v Jones, supra at 343. Both sections contain exceptions limiting their scope. As such, the privileges at issue here derive from a "less firmly based legislative concern . . . for the inviolability of the communication being protected.” Commonwealth v Two Juveniles, supra at 266.
Balanced against these qualified privileges are important State constitutional rights of the defendant. Because we have said that, in appropriate circumstances, even absolute statutory privileges (nonconstitutionally based) must yield to a defendant’s constitutional right to use privileged communications in his defense, see id., we are not persuaded that allowing counsel access to the treatment records at issue in this case would do great violence to the less firmly based policies represented by §§ 20B and 135. In these circumstances, those policies must give way to the defen
Accordingly, we conclude that, under art 12 of the Massachusetts Declaration of Rights, counsel for the defendant is entitled to review the records of the complainant’s treatment at the New York Hospital and with the Greenwich, Connecticut, social worker to search for evidence of bias, prejudice, or motive to lie. On remand, the judge shall determine the circumstances under which counsel for the defendant and the Commonwealth shall review the records. The judge then shall conduct an in camera hearing concerning the admissibility of any information in the records that counsel may wish to use at trial. In his discretion, the judge also shall enter any orders that are deemed appropriate to ensure that the information contained in the records will not be disclosed beyond the defendant’s need to prepare and present his defense.
"Privilege is governed by the common law, except as modified by statute or court rule.” MBE 501.
The majority’s test for in camera review requires that the evidence sought be material, meaning more than merely favorable or relevant to the defense. Implicit in this standard is recognition of our state’s rape shield statute, MCL 750.520j(l); MSA 28.788(10X1), which is a policy determination that certain logically relevant evidence is legally irrelevant. To the extent that a particularized request appears to seek information for a generally irrelevant purpose, that is, evidence of a rape victim’s prior sexual conduct with others or sexual reputation as character impeachment, in camera inspection should be denied unless the defendant can show that it is not collateral and otherwise so material that denial would deprive him of a fair trial.
The consequence of failing to comply may thus be contempt. I do suggest that the trial court may appropriately use other means to encourage compliance with its order, such as requesting waiver or striking all or portions of the testimony. See n 29 and accompanying text. My point is only that if the privilege is properly construed as qualified or conditional, the policy behind the privilege is protected by in camera review and the holder must yield on the appropriate showing.
Should remand result in an in camera review, the trial court should make a separate sealed record to be retained in the event of appeal to facilitate review of the in camera decision. See FR Crim P 16(d).
It was at the in camera review stage that the Court imposed a higher standard of materiality in Ritchie. At that point, the Court suggested that reversal of Ritchie’s conviction should be ordered only “if there is a reasonable probability” (defined as "a probability sufficient to undermine confidence in the outcome”) that, had the evidence been disclosed, the result would have been different. Ritchie, supra at 57. This standard is taken from United States v Bagley, 473 US 667; 105 S Ct 3375; 87 L Ed 2d 481 (1985), involving the prosecution’s duty to disclose exculpatory evidence.
The plausible materiality standard adopted in Ritchie is thus clearly not limited to the type of privilege at issue in that case, but is more broadly applicable to a defendant’s right to evidence where he has no means by which to determine the favorable character of the evidence sought with great specificity.
While the Court in Valenzuela-Bernal, supra at 871, n 8, suggests that even a lower standard of materiality may be in order when a defendant has no knowledge of the contents of the evidence in question, the adoption of the plausible materiality standard in Ritchie counsels against such action in the present setting.
Although the obligation to disclose exculpatory material does not depend on the presence of a specific request, we note that the degree of specificity of [the defendant] Ritchie’s request may have a bearing on the trial court’s assessment on remand of the materiality of the nondisclosure. [Ritchie, supra at 58, n 15, citing Bagley, supra at 682-683.]
Hardin, Executive privilege in the federal courts, 71 Yale L J 879, 893-894 (1962).
My dissatisfaction with Caruso’s showing to date stems from the absence of a logical nexus between the alleged past abuse and the possibility of fabrication. Taken to its logical conclusion, the proposition would support a claim that records containing information of a trauma-producing sexual incident, must be disclosed whenever there is an allegation that the trauma is unresolved.
Caruso also tries to support his discovery request on the basis that evidence was presented at pretrial hearing relating to the victim’s alleged sexually explicit note to someone other than the defendant. However, testimony on this issue will be available at trial to provide a basis for inquiry regarding the victim’s sexual awareness. This justification for discovery of the privileged records is also flawed because it seeks information that is cumulative.
MCL 600.2157a(2); MSA 27A.2157(1)(2) provides:
Except as provided by section 11 of the child protection law, Act No. 238 of the Public Acts of 1975, being section 722.631 of the Michigan Compiled Laws, a confidential communication, or any report, working paper, or statement contained in a report or working paper, given or made in connection with a consultation between a victim and a sexual assault or domestic violence counselor, shall not be admissible as evidence in any civil or criminal proceeding without the prior written consent of the victim. [Emphasis added.]
MCL 330.1750(2); MSA 14.800(750)(2), which states the pertinent scope of the psychologist and psychiatrist privilege, provides:
Privileged communications shall not be disclosed in civil, criminal, legislative, or administrative cases or proceedings, or in proceedings preliminary to such cases or proceedings, unless the patient has waived the privilege, except in the circumstances set forth in this section. [Emphasis added.]
Further distinction between the sexual assault counselor-victim and psychologist-patient privileges is possible, on the basis of the language of the statutes, but such distinction draws too fine a line. Both statutes bar admission of the privileged material in civil or criminal proceedings absent a waiver.
The statute concerning social worker-client communications provides both that there not be compelled disclosure of communications with clients and that the relevant communication is "confidential.” Confidentiality concerns the extrajudicial disclosure of information, not its disclosure in judicial proceedings. Howe v Detroit Free Press, 440 Mich 203, 229; 487 NW2d 374 (1992) (opinion of Boyle, J.), citing 23 Wright & Graham, Federal Practice & Procedure, § 5437, p 892, n 15.
The relevant statute regarding the juvenile diversion records contemplates that the records may be revealed by court order "to persons having a legitimate interest.” MCL 722.828(1); MSA 25.243(58)(1). Even though such legitimate interest may be limited to making decisions regarding diversion of a minor, MCL 722.829(1); MSA 25.243(59)(1), the allowance for some use of the records by a court and the absence of an express preclusion from use of the records in judicial proceedings causes me to find that the privilege provided by this statute is not absolute. Pennsylvania v Ritchie, supra at 57-58.
While the statutes articulating the scope of the sexual assault counselor-victim and psychologist-patient privileges allow for com
Analysis of the bill creating the sexual assault counselor privilege notes that
[v]ictims of sexual assault or domestic assault are often gravely in need of counseling to cope with the trauma of their experiences. The assurance of the confidentiality of all communications between a counselor and a client is vital to effective therapy. Those victims of abuse or assault who receive their counseling from members of the clergy or from licensed professionals such as psychiatrists, psychologists, or social workers have that assurance .... [House Legislative Analysis, HB 4609, November 16, 1983.]
The specter of disclosure of records of these privileged communications, even to a trial judge for in camera review, threatens the basic tenet of confidentiality upon which these relationships .are founded. This intrusion should not be underestimated. Slovenko, Psychiatry and a second look at the medical privilege, 6 Wayne LR 175, 185 (1960). The process also creates the possibility of greater exposure of the privileged communications, dependent upon the decision of the trial judge. While this potential damage to the relationship engendered by a privilege must be considered, however, it must also be recognized that review by a judge in chambers is significantly less invasive of that relationship than ultimate disclosure to a defendant. Cf. Zolin, supra at 568 (''[Disclosure of allegedly privileged materials to the district court for purposes of determining the merits of a claim of privilege does not have the legal effect of terminating the privilege”).
I limit my analysis, as does the majority, to the defendant’s due process right to a fair trial. Ante at 649, n 1. The right of confrontation has been found to be limited to a right at trial to unfettered cross-examination, not "a constitutionally compelled rule of pretrial discovery.” Pennsylvania v Ritchie, supra at 52. But see id. at 61-62 (Blackmun, concurring in part and concurring in the judgment) ("[T]here might well be a confrontation violation if, as here, a defendant is denied pretrial access to information that would make possible
United States v Nixon, 418 US 683, 710; 94 S Ct 3090; 41 L Ed 2d 1039 (1974).
Const 1963, art 1, § 24 provides, in relevant part:
(1) Crime victims, as defined by law, shall have the following rights, as provided by law:
The right to be treated with fairness and respect for their dignity and privacy throughout the criminal justice process.
The jurisprudence of our sister states has tended to take an all or nothing position, ante at 670-677, and therefore also fails to provide much constructive assistance.
The statutory exclusion in Ritchie severely limits its usefulness in determining the proper scope of an absolute privilege. The case is instructive, however, in its express caution against application of its holding to absolute privileges.
I do not fault the majority for acceding to the temptation to simplify the trial court’s duty at the in camera stage to one of mere verification. Ante at 679, n 40. However, where such simplification is at the expense of important and compelling considerations that can only be given sufficient consideration by the trial court through review of the privileged information, the cost exacted in the name of administrative efficiency is too high.
The informer’s privilege is "the Government’s privilege to withhold from disclosure the identity of persons who furnish information of violations of law to officers charged with enforcement of that law.” Roviaro at 59.
The opinion suggests that the scope of executive privilege may be limited to the protection of military or diplomatic secrets. Id. at 710-711.
It is important to note that Nixon concerned the claim of a defendant’s privilege, rather than a claimant’s assertion of privilege against a defendant’s due process right. Nixon is important for our purposes in acknowledging the validity of privileges, asserted within their proper scope, and the Court’s continued attempt to balance the protection provided by a privilege against a legitimately demonstrated need for the protected information.
We express no opinion on whether the result in this case would have been different if the statute had protected the cys files from disclosure to anyone, including law enforcement and judicial personnel. [Ritchie at 57, n 14.]
A third, less severe remedy may be satisfactory in some cases in which the witness’ privilege does not relate to testimony concerning a substantive element of the defendant’s case. In such instance, the witness’ testimony need not be completely barred, and only the portion related to the privileged information struck. Weisberg, Defendant v Witness: Measuring confrontation and compulsory process rights against statutory communications privileges, 30 Stan L R 935, 982 (1978).
Weisberg, n 29 supra at 986-987. While Weisberg would include the privilege holder and the party to whom the privileged communication was directed in this meeting, a preferable approach is to at least initially allow the prosecutor to represent the privilege holder’s interests. Forcing the privilege holder to argue the importance of the privileged communication might well unintentionally visit upon that party the very same injury that would result from disclosure of the privileged material.
Even where a privilege is statutorily absolute, discovery of privi
In theory at least, courts are not so well-equipped as legislatures either to determine the validity of the value judgments involved in creating particular privileges or to assess "empirically . . . the general harm that overriding a privilege may cause privilege holders.” [White, Evidentiary privileges and the defendant’s constitutional right to introduce evidence, 80 J Crim L & Criminology 377, 425, quoting Weisberg, n 29 supra at 971. Additional citation omitted.]
Further useful guidance may be provided to the trial court in considering Caruso’s materiality claim by Veilleux, anno: Admissibility of evidence that juvenile prosecuting witness in sex offense case had prior sexual experience for purposes of showing alternative-source of child’s ability to describe sex acts, 83 ALR4th 685.
The privilege may be respected by excision of material on grounds of relevancy or admissibility, Nixon, supra at 715.
The refusal to order disclosure has been reviewed under an abuse of discretion standard, United States v Moore, 954 F2d 379, 381 (CA 6, 1992); United States v Jenkins, 4 F3d 1338, 1341 (CA 6, 1993).
The need to conduct effective cross-examination is one of three principles that one commentator has suggested for appropriate analysis of discovery requests for privileged information. White, n 32 supra. In addition to the cross-examination principle, Professor White would examine the privilege at issue to determine if it is designed in significant part to assist the government in performing one of its essential functions, such as law enforcement, see Roviaro v United States, supra (informants privilege); or was capable of even-handed application, see Washington v Texas, 388 US 14; 87 S Ct 1920; 18 L Ed 2d 1019 (1967) (a state statute that barred testimony of a coparticipant in a crime when offered by defendants as exculpatory evidence, but allowed as evidence for the prosecution, denied the defendant his right to compulsory process). These principles may be useful to determine when a privilege has tipped the fair balance at trial in favor of the government and make it appropriate to assign to the
Compare one commentator’s suggestion that the materiality standard for private privileges is whether the evidence is sufficiently probative to probably create a reasonable doubt regarding the truth of a witness’ testimony if offered to impeach or probably create a reasonable doubt regarding a defendant’s guilt if offered on the merits of the defense. Weisberg, n 29 supra at 959-964.
While this final standard might appear to beg the core question we have attempted to answer today, it may also acknowledge the possibility of some limited privilege whose importance transcends the determination of guilt or innocence (such as strategic military secrets), allow for the accommodation of the defendant’s interests in a manner outside the conventional realm of discovery, or encompass the discretionary issue whether the prejudicial effect of the evidence outweighs its probative valúe. These explanations, at least to some degree, may be subsumed by the intermediate review of absolute privileges I have described.
The disclosure decision does not contemplate the eye of the advocate, but where questions arise in the process in which the assistance of counsel would be helpful, it is within the discretion of the trial court to seek their assistance, Nixon, supra at 715, n 21, subject to appropriate directive that unless disclosure is ordered, no in camera information is to be revealed to anyone, including the defendant. Id. at 716.
Similarly, see Zaal v State, 326 Md 54; 602 A2d 1247 (1992).
Concurring Opinion
(concurring). Although I join Justice Brickley’s discussion and result in part iv, I write separately to express my dissatisfaction with the nonconstitutional harmless-error doctrine in Mich
Indeed, the lack of guidance from these sources has led many panels of the Court of Appeals to consider varying considerations, including an assumption that the federal constitutional harmless-error rule applies to nonconstitutional error.
The application of a state harmless-error rule is, of course, a state question where it involves only errors of state procedure or state law. But the error from which these petitioners suffered was a denial of rights guaranteed [by the federal constitution] .... Whether a conviction for crime should stand when a State has failed to accord federal constitutionally guaranteed rights is every bit as much of a federal question as what particular federal constitutional provisions themselves mean, what they guarantee, and whether they have been denied. With faithfulness to the constitutional union of the States, we cannot leave to the States the formulation of the authoritative laws, rules, and remedies designed to protect people from infractions by the States of federally guaranteed rights. We have no hesitation in saying that the right of these petitioners not to be punished for exercising their Fifth and Fourteenth Amendment right to be silent — expressly created by the Federal Constitution itself — is a federal right which, in the absence of appropriate congressional action, it is our responsibility to protect by fashioning the necessary rule. [Chapman, supra at 21.]
While I do not attempt to fully explain or adopt a nonconstitutional harmless-error test in this opinion, I write separately to indicate the need for full briefing and argument on this important issue of state law. See People v Anderson (After Remand), 446 Mich 392, 407, n 39; 521 NW2d 538 (1994). Considering the frequent use of this doctrine and the many factors currently considered by
An error in the admission or the exclusion of evidence, an error in a ruling or order, or an error or defect in anything done or omitted by the court or by the parties is not ground for granting a new trial, for setting aside a verdict, or for vacating, modifying, or otherwise disturbing a judgment or order, unless refusal to take this action appears to the court inconsistent with substantial justice. [MCR 2.613(A). Emphasis added.]
Moreover, our evidentiary court rule provides a similar harmless-error rule:
(a) Effect of erroneous ruling. Error may not be predicated upon a ruling which admits or excludes evidence unless a substantial right of the party is affected, and
(1) Objection. In case the ruling is one admitting evidence, a timely objection or motion to strike appears of record, stating the specific ground of objection, if the specific ground was not apparent from the context, or
(2) Offer of proof. In case the ruling is one excluding evidence, the substance of the evidence was made known to the court by offer or was apparent from the context within which questions were asked.
(d) Plain error. Nothing in this rule precludes taking notice of plain errors affecting substantial rights although they were not brought to the attention of the trial court. [MRE 103. Emphasis added.]
No judgment or verdict shall be set aside or reversed or a new trial be granted by any court of this state in any criminal case, on the ground of misdirection of the jury, or the improper admission or rejection of evidence, or for error as to any matter of pleading or procedure, unless in the opinion of the court, after an examination of the entire cause, it shall affirmatively appear that the error complained of has resulted in a miscarriage of justice. [MCL 769.26; MSA 28.1096. Emphasis added.]
Although this Court did appear to adopt a harmless-error test in People v Robinson, 386 Mich 551, 562; 194 NW2d 709 (1972), it is unclear whether that test applies to nonconstitutional error. However, even if it does, the question remains whether the Court’s discussion of that test was dicta. Indeed, I note that if Robinson did
There have been varying tests and considerations applied when analyzing harmless error. See, e.g., Robinson, supra; People v Roberson, 55 Mich App 413; 222 NW2d 761 (1974) (distinguishing between constitutional and nonconstitutional error); People v Winans, 187 Mich App 294; 466 NW2d 731 (1991) (not indicating any difference in tests and simply applying the two-part Robinson test); People v Fredericks, 125 Mich App 114, 118; 335 NW2d 919 (1983) ("Error is not harmless if, in the absence of the error, it is reasonably possible that some juror would have voted to acquit”); People v Norwood, 70 Mich App 53; 245 NW2d 170 (1976) (applying the beyond a reasonable doubt standard to an evidentiary error). However, a majority of this Court has never applied the beyond a reasonable doubt standard to a nonconstitutional error. Indeed, when reviewing nonconstitutional error, this Court has simply reviewed the error under the miscarriage of justice standard set forth in the harmless-error statute. Travis, supra at 686.
Without having this issue fully briefed and argued, I reserve full explanation of these policies until the appropriate case.
See n 4.
Reference
- Full Case Name
- People v. Stanaway; People v. Caruso
- Cited By
- 487 cases
- Status
- Published