Department of Social & Health Services v. Willis
Department of Social & Health Services v. Willis
Opinion of the Court
¶2 We conclude that while the parents had no constitutional or statutory right to counsel during their evaluations, the courts did not abuse their discretion because the parents’ Fifth Amendment rights were implicated, and the immunity statute provides inadequate protection for those rights. We hold, however, that when Fifth Amendment rights are threatened, the courts should enter protective orders granting additional immunity rather than allowing counsel to attend psychological evaluations.
FACTS
¶3 Reynard Smith and Marisol Willis are J.U.’s parents. In May, 2003, when J.U. was four months old, they took her to a hospital with a fever, vomiting, and diarrhea. Medical personnel determined that J.U. also had five fractured ribs. When the parents could not explain the injuries, police took J.U. into protective custody.
¶4 The next day, a social worker interviewed the parents who denied any involvement in J.U.’s injuries. They believed their babysitter or her husband had caused them. They agreed to place J.U. in foster care pending an investigation.
¶5 Doctors discovered additional injuries, including a fractured skull and retinal hemorrhaging, the next day. J.U. was having trouble maintaining her heart rate and needed assistance with breathing. Because her injuries were consistent with physical abuse, a criminal investigation began. No charges have yet been filed against either parent.
16 On June 6, 2002, the Department of Social and Health Services (Department) filed a dependency petition.
¶7 At the father’s hearing, the Department argued that evaluations were necessary to assess whether underlying psychological conditions posed a future threat to J.U. The Department maintained that the purpose of the evaluations was not to determine whether the parents had caused J.U.’s injuries, but rather to determine whether the Department could protect her from future harm. The father opposed any evaluation, arguing that his Fifth Amendment rights would be infringed because the available statutory immunity was inadequate and the evaluator would be statutorily required to report any evidence of abuse to law enforcement. He requested that counsel be present during any evaluation and he be given complete immunity.
¶8 A court commissioner ordered the evaluation and granted the father’s request to have counsel attend. The court also restricted dissemination of the evaluation to parties and treatment providers. The Department moved for revision. The superior court denied the motion, ruling that the commissioner’s decision was appropriate given the immunity statute and CR 35.
¶9 The Department moved for reconsideration and/or clarification of the court’s order. In response, the court stated in part:
[I]n the case before this court, the party who has been court ordered to undergo a psychological evaluation has not been convicted of any criminal offense, is still under investigation for possible criminal charges arising out of the injuries suffered by the dependent child and does have the right to invoke his 5th amendment privilege to not incriminate himself. . . . Additionally, R.C.W. 26.44.053 does not purport to grant immunity from prosecution. . . . The court’s inartful reference to Civil Rule 35 was only to illustrate that in civil litigation where the physical or mental capacity of a party is at issue, it is contemplated that the party being*792 examined may have a representative present. The Department’s argument. . . seemed to focus on how having another person present would detract from the quality of the evaluation.
Therefore, defense counsel may be present at the evaluation and may interpose objections on the grounds of the defendant’s right to not incriminate himself. . . .
(Emphasis omitted.)
¶10 Following the mother’s hearing, a different judge reached the same conclusions and granted her request to have counsel present during her evaluation. The court also ruled that the mother’s evaluation would be sealed and disclosed only to the parties. The order allowed the parties to file a motion to seek further disclosure.
DECISION
I
¶11 We first address the Department’s contention that the courts abused their discretion in allowing counsel to attend the evaluations.
Threat to Fifth Amendment Rights ¡Statutory Immunity
¶12 First, the Department contends the evalua
¶13 Nor is the privilege available only when a person is in custody or under compulsion to speak. In general, the privilege may be invoked whenever circumstances indicate that a real and substantial danger of incrimination exists.
¶14 In general, compulsion exists when a person is either subjected to custodial interrogation,
¶15 The parents contend that failing to answer questions could result “in the eventual termination of [their] constitutional right to the care and custody of [their] child.” While that is true, and while termination of parental rights is a consequence of sufficient gravity to qualify as compulsion,
¶16 Here, there was no evidence that a termination petition or any other serious adverse consequence was certain, or even likely, to follow from the parents’ refusal to answer questions in the evaluation.
¶17 The Department also contends the parents’ Fifth Amendment rights were never threatened because the immunity statute, RCW 26.44.053(2), fully protects those rights. We disagree.
At any time prior to or during a hearing. . . the court may . . . order the examination of any parent... if the court finds such an examination is . . . necessary to the proper determination of the case. . . . No information given at any such examination of the parent or any other person having custody of the child may be used against such person in any subsequent criminal proceeding against such person or custodian concerning the alleged abuse or neglect of the child.[17 ]
The Department contends this statute provides “use immunity,” which adequately protects the parents’ Fifth Amendment rights. The parents argue that the statute provides insufficient immunity because its plain language “only prohibits the testimony of the person who conducts the evaluation.” Both parties misinterpret the statute.
¶18 The parents’ interpretation ignores the plain language of the statute. The statute precludes the “use” of any “information given” at a psychological evaluation in subsequent criminal proceedings. That prohibition is not limited to testimony from the evaluator. The parents argue that the statute must be narrowly construed because it conflicts with another statute requiring psychologists to report incidents of child abuse or neglect to law enforcement.
¶19 The reporting statute is designed to secure prompt protection and/or treatment for the victims of child abuse.
¶20 The State’s contention that the statute provides sufficient immunity is also unpersuasive. There are three kinds of immunity in this setting. The broadest— “transactional immunity” — prohibits prosecution for any matter about which the witness testified or gave a statement; i.e., the entire transaction.
¶21 RCW 26.44.053(2) speaks only of “use” immunity. It does not purport to provide immunity for evidence derived from immunized statements. The statute thus provides less comprehensive immunity than the Fifth Amendment.
¶22 The Department also cites two Washington cases— State v. Decker
¶23 In Decker, the superior court ordered the defendant to attend a predisposition psychological evaluation without counsel. The court also entered a protective order providing that “ ‘any discussion with [the] evaluator in reference to matters that have not been adjudicated shall be granted use immunity.’ ”
¶24 The orders at issue in In re Dependency of Q.L.M. also granted “use immunity.” Although the precise nature of that immunity was not at issue, the opinion indicates that the Q.L.M. court regarded the orders as granting both use and derivative use immunity.
¶25 In summary, because there was a real and substantial danger of incrimination from the parents’ evaluations, and because the immunity statute does not adequately protect their Fifth Amendment rights,
Adverse Effects on Evaluations/Prior Access to Counsel
¶26 The Department next argues that the courts abused their discretion because having counsel present adversely affects the evaluation and dependency processes and “will likely have a chilling effect on the Department’s ability to provide this otherwise useful service to parents in the future.” The Department asserts that only one psychologist was willing to conduct an evaluation of the parents with their attorneys present.
¶27 As a matter of policy, the Department’s argument has merit. The presence of counsel might well undermine both psychological evaluations and the dependency process.
¶28 The Department also suggests that the parents’ Fifth Amendment rights are adequately protected by access to counsel prior to the evaluations. We disagree. In cases where compulsion is present, prior access to counsel would clearly be inadequate. And while the case for allowing counsel to attend an evaluation is certainly less compelling in the absence of compulsion, we are not persuaded that it is an abuse of discretion to permit counsel to attend in those circumstances. “A layman may not be aware of the precise scope, the nuances, and the boundaries of his Fifth Amendment privilege,” and the assertion of that right “often depends upon legal advice from someone who is trained and skilled in the subject matter.”
Statutory Right to Counsel at Evaluations
¶29 For the first time on appeal, the parents contend they had a right to counsel under RCW 13.34.090(2). That statute provides that a parent in dependency proceedings has the right to counsel “[a]t all stages” of the proceeding. The parents argue that because the evaluations were statutorily authorized, they were a “stage” of the proceedings within the meaning of RCW 13.34.090(2). We disagree.
II
¶31 The Department contends the superior court erred in sealing the mother’s evaluation and prohibiting its release to anyone other than the attorneys and their clients. According to the Department, the order leaves it “hamstrung in its ability to carry out its duties unless it can share the mother’s evaluation with ongoing service providers.”
¶32 We considered a similar argument in In re Q.L.M. There, the superior court issued an injunction prohibiting release of a sexually aggressive youth evaluation ordered in a dependency proceeding. The Department and the prosecutor appealed. In reversing, we noted that, by statute, dependency records are normally made available to other participants in the juvenile justice and care systems, including the prosecutor.
¶33 The order sealing the mother’s file in this case is not narrowly tailored because it puts the burden on the party seeking to disseminate the evaluation to demonstrate
¶34 Affirmed in part and remanded in part.
Coleman and Appelwick, JJ., concur.
This court reviews orders in dependency proceedings and protective orders for abuse of discretion. In re Dependency of R.L., 123 Wn. App. 215, 98 P.3d 75 (2004) (orders in dependency cases are reviewed for abuse of discretion); King v. Olympic Pipeline Co., 104 Wn. App. 338, 348, 16 P.3d 45 (2000), review denied, 143 Wn.2d 1012 (2001) (decisions about protective orders are reviewed for abuse of discretion).
The parents contend this appeal is moot and should therefore be dismissed. The appeal is partially moot because the evaluations have been conducted. But the argument regarding the decision to seal the mother’s evaluation is not moot, and the moot portion of the appeal still qualifies for review because it involves matters of substantial public interest that are likely to recur. State v. Walker, 93 Wn. App. 382, 386, 967 P.2d 1289 (1998). We therefore deny the request to dismiss the appeal as moot.
City of Seattle v. Stalsbroten, 138 Wn.2d 227, 232, 978 P.2d 1059 (1999) (quoting Schmerber v. California, 384 U.S. 757, 761, 86 S. Ct. 1826, 16 L. Ed. 2d 908 (1966)); see Doe v. United States, 487 U.S. 201, 210, 108 S. Ct. 2341, 101 L. Ed. 2d 184 (1988) (a testimonial commimication is one which explicitly or implicitly relates a factual assertion or discloses information).
Lefkowitz v. Turley, 414 U.S. 70, 77, 94 S. Ct. 316, 38 L. Ed. 2d 274 (1973).
State v. Hobble, 126 Wn.2d 283, 290, 892 P.2d 85 (1995).
State v. Jacobsen, 95 Wn. App 967, 977 P.2d 1250 (1999).
See United States v. McLaughlin, 126 F.3d 130, 135 (3d Cir. 1997) (“While the Fifth Amendment is generally not self-executing, where a testimonial act is, as in this case, compelled, the defendant does not waive the privilege by failing to invoke it.”), cert. denied, 524 U.S. 951 (1998); In re Essex County Grand Jury Investigation into Fire at Seton Hall Univ., 368 N. J. Super. 269, 845 A.2d 739, 753 n.9 (2003) (right to counsel arises because of compulsion inherent in custodial interrogation); see State v. P.B.T., 67 Wn. App. 292, 299, 834 P.2d 1051 (1992) (juvenile who “may well feel ‘compelled to confess’ ” in predisposition interview had Fifth Amendment right to counsel), review denied, 120 Wn.2d 1021 (1993).
State v. Jacobsen, 95 Wn. App. at 973.
In re Welfare of J.G.W., 433 N.W.2d 885, 886 (Minn. 1989) (“II]t is a violation of a parent’s [F]ifth [A]mendment privilege to directly require the parent to admit guilt as a part of a court-ordered treatment plan.”).
See McKune v. Lile, 536 U.S. 24, 122 S. Ct. 2017, 2028-30, 2033, 2037-38, 153 L. Ed. 2d 47 (2002) (plurality and dissenting opinions).
See State v. Jacobsen, 95 Wn. App. at 972-75 (fact that juvenile was ordered to attend presentence evaluation did not render it “custodial” or “compelled” so as to make Fifth Amendment privilege self-executing); United States v. Lee, 315 F.3d 206, 212-13 (3d Cir.) (polygraph condition did not violate Fifth Amendment because it did not require probationer to answer incriminating questions), cert. denied, 540 U.S. 858 (2003).
M.L.B. v. S.L.J., 519 U.S. 102, 118-28, 117 S. Ct. 555, 136 L. Ed. 2d 473 (1996) (termination of parental rights implicates a parent’s fundamental interest and is among the most severe forms of state action).
Compare State v. Post, 118 Wn.2d 596, 611, 826 P.2d 172, 837 P.2d 599 (1992) (where inmate claimed statements to prison psychologist were compelled because he believed he would be terminated from work release if he did not cooperate, court held that “the alleged compulsion here is too conditional and not sufficiently immediate to qualify as coercive. We have not been presented with any statute or
Compare In re Welfare of J.W., 415 N.W.2d 879, 882 (Minn. 1987) (order requiring psychological evaluations, which were to include explanation of nephew’s death, violated parents’ Fifth Amendment rights where state’s attorney threatened termination petition if parents invoked the privilege; fact that a termination petition had not yet been filed was irrelevant because “[i]t is the threat itself, not necessarily its implementation, that triggers the Fifth Amendment”), and In re A.N., 2000 MT 35, 298 Mont. 237, 995 P.2d 427, 435 (treatment plan requiring parent to affirmatively explain the cause of child’s injuries and cooperate with law enforcement to resolve criminal charges gave parent a “Hobson’s choice of either successfully completing the requirements of [the] treatment plan, thereby incriminating himself in the criminal proceeding, or refusing to complete the treatment plan, with the substantially certain penalty of having his parental rights terminated”), with State v. P.Z., 152 N.J. 86, 703 A.2d 901 (1997) (no violation of Fifth Amendment rights because termination of custody was “not automatic on invocation of the privilege” and no one threatened parent with termination of parental rights if he did not confess), and In re Welfare of S.A.V., 392 N.W.2d 260 (Minn. Ct. App. 1986) (although father faced “very real possibility” of termination, there was no compulsion because he had not been threatened with sanctions for refusing to waive his privilege).
The Department also argues that ROW 26.44.140 provides that the parents are not required to “admit guilt” in order to fulfill any dependency treatment requirements. But that statute applies only to abusive persons who have been removed from the home by court order. No such order has been issued in this case.
Interpretation of a statute is a question of law we review de novo. Wash. Pub. Ports Ass’n v. Dep’t of Revenue, 148 Wn.2d 637, 645, 62 P.3d 462 (2003).
RCW 26.44.053(2) (emphasis added).
RCW 26.44.030.
RCW 26.44.030; State v. Warner, 125 Wn.2d 876, 891, 889 P.2d 479 (1995).
State v. Bryant, 146 Wn.2d 90, 98, 42 P.3d 1278 (2002).
State v. Bryant, 97 Wn. App. 479, 484, 983 P.2d 1181 (1999), review denied, 140 Wn.2d 1026, cert. denied, 531 U.S. 1016 (2000).
Id. at 485.
Kastigar v. United States, 406 U.S. 441, 453, 92 S. Ct. 1653, 1661, 32 L. Ed. 2d 212 (1972); Bryant, 97 Wn. App at 485.
Bryant, 97 Wn. App. at 485.
Bryant, 97 Wn. App. at 484-85; Eastham v. Arndt, 28 Wn. App. 524, 529, 624 P.2d 1159 (“The statutory grant of ‘use immunity’ is not as comprehensive as the protection afforded by the Fifth Amendment privilege since it does not preclude the derivative use of the fruits of the compelled testimony as investigatory leads which might supply other means of incriminating the witness.”), review denied, 95 Wn.2d 1028 (1981).
See In re Jessica B., 207 Cal. App. 3d 504, 520, 254 Cal. Rptr. 883 (1989) (speaking of “use immunities” and relying on case law conferring use and derivative use immunity); In re Lamonica H., 220 Cal. App. 3d 634, 270 Cal. Rptr. 60 (1990) (relying on In re Jessica B., supra.); Scott Michael Solkoff, Notes and Comments, Judicial Use Immunity and the Privilege Against Self-Incrimination in Court Mandated Therapy Programs, 17 Nova L. Rev. 1441, 1486 (1993) (referring to “use immunity’ as preventing the use of any testimony, “either directly or derivatively’).
State v. James R., 188 W. Va. 44, 422 S.E.2d 521 (1992).
68 Wn. App. 246, 842 P.2d 500 (1992), review denied, 121 Wn.2d 1016 (1993).
105 Wn. App. 532, 20 P.3d 465 (2001).
Decker, 68 Wn. App. at 248.
Decker, 68 Wn. App. at 252-53 (emphasis added).
See Q.L.M., 105 Wn. App. at 543 n.24.
We note that the courts below appear to have been concerned that the statute did not provide transactional immunity. As discussed above, transactional immunity is not necessary to protect the parents’ Fifth Amendment rights, lb the extent
See Estelle v. Smith, 451 U.S. 454, 470 n.14,101 S. Ct. 1866, 68 L. Ed. 2d 359 (1981) (indicating doubt that there is a constitutional right to counsel at a court-ordered mental examination in a criminal case and noting with approval that “[i]n fact, the Court of Appeals recognized that ‘an attorney present during the psychiatric interview could contribute little and might seriously disrupt the examination’ ”) (quoting Smith v. Estelle, 602 F.2d 694, 708 (5th Cir. 1979)).
See, e.g., State v. Diaz-Cardona, 123 Wn. App. 477, 487, 98 P.3d 136 (2004) (The State argued that exercise of Fifth Amendment privilege at juvenile disposition hearing would “unduly restrict the information available to the juvenile court and detrimentally impact the juvenile court’s ability to provide for the rehabilitation of the child.” This court acknowledged the validity of the State’s concerns but stated “that does not mean that the prosecuting authorities and juvenile courts should be free to acquire such information at the expense of the juvenile’s Fifth Amendment rights.”); State v. P.B.T., 67 Wn. App. at 300 (where juvenile sought to invoke Fifth Amendment rights at a predisposition interview, this court held that “[t]he presence of counsel could have preserved appellant’s right to remain silent as to the pending charge, while still leaving the opportunity to participate in the predisposition interview in a meaningful way.. .. We hold, therefore, that.. . [the] juvenile has the right, under Miranda [v. Arizona 384 U.S. 436, 86 S. Ct. 1602, 16 L. Ed. 2d 694 (1966)], to have his attorney present for the purpose not of disrupting the proceeding, but only to assist the client in preserving that client’s Fifth Amendment right....”).
Decker, 68 Wn. App. at 252-53; Q.L.M., 105 Wn. App. at 543 n.24.
In fact, the parents can be compelled to answer questions about J.U.’s injuries if they are given immunity for the incriminating testimony and the fruits of that testimony. Turley, 414 U.S. at 85.
Maness v. Meyers, 419 U.S. 449, 466, 95 S. Ct. 584, 42 L. Ed. 2d 574 (1975).
State v. J.P., 149 Wn.2d 444, 450, 69 P.3d 318 (2003) (courts must avoid absurd results when interpreting statutes).
Q.L.M., 105 Wn. App. at 544.
The order allows distribution of the evaluation to others “[i]f the Department or another party. . . set[s] a hearing before the court to request further dissemination.”
See Q.L.M., 105 Wn. App. at 544 n.28 (“Ordinarily, the proper procedure would be to bring a motion before the trial court to prohibit or limit use of the information if and when the State tried to do so.”).
Reference
- Full Case Name
- In the Matter of the Dependency of J.R.U.-S. The Department of Social and Health Services v. Marisol Willis
- Cited By
- 15 cases
- Status
- Published