Commonwealth v. KyleCommonwealth v. Kyle
This is a direct appeal from a judgment of sentence imposed following appellant’s conviction by a jury. The trial and conviction stemmed from an attack on the female proprietor of a sewing goods store. As the victim was working alone in the shop, an assailant entered the store and, forcing her at knife point to enter the storeroom, he bound her with rope. The victim was then physically and sexually assaulted. Appellant was subsequently arrested and charged with numerous offenses arising from the at
I.
At trial, appellant testified on his own behalf, presenting an alibi defense. Following his testimony, the Commonwealth read into evidence a stipulation as to his prior convictions for robbery, burglary, and theft. By introducing such evidence, the Commonwealth intended to cast doubt on appellant’s credibility. Appellant first contends the court erred in permitting the Commonwealth to use his prior convictions for impeachment purposes.
In determining the admissibility of prior convictions, our courts have relied upon the rules of
Commonwealth v. Bighum,
[Wjhile we do not adopt the federal rule per se we do modify our current rule to the following extent: evidence of prior convictions can be introduced for the purpose of impeaching the credibility of a witness if the conviction was for an offense involving dishonesty or false statement, and the date of conviction or the last day of confinement is within ten years of the trial date. If aperiod greater than ten years has expired the presiding judge must determine whether the value of the evidence substantially outweighs its prejudicial effect.
Randall,
Under the rule announced in
Randall,
appellant’s prior convictions were admissible as impeachment evidence. Each of the convictions in question—robbery, burglary, and theft—reflect on appellant’s veracity.
See Randall,
II.
Appellant’s second claim of error raises a difficult question regarding privileged communications between psychologist and client. Subsequent to the attack, the victim received counseling from Dr. John Kelsey, a licensed clinical psychologist. In an effort to determine the substance of any statements made by the victim and to prepare a defense strategy, defense counsel made pre-trial requests to inspect Dr. Kelsey’s file or, in the alternative, to permit an in-camera review of the file. The trial court determined that Dr. Kelsey’s records were privileged communications pursuant to
A.
The confrontation clause guarantees an accused the right “to be confronted with the witness against him; [and] to have compulsory process for obtaining witnesses in his favor.”
The Supreme Court of the United States has only recently examined the applicability of the sixth amendment to a situation where access to information is precluded pursuant to a statutory privilege. In
Pennsylvania v. Ritchie, supra,
the defendant was charged with various sex offenses arising out of an assault on his minor daughter. Following the assault, the matter was referred to the Children and Youth Services (CYS), a protective service agency which investigates such cases. Ritchie sought pre-trial access to the CYS file in order to develop a defense strategy. CYS refused to comply with Ritchie’s request, claiming
The United States Supreme Court disagreed with our appellate courts. Speaking for a plurality of the Court, Justice Powell made clear that the confrontation clause of the sixth amendment was a trial right, not a “constitutionally compelled rule of pretrial discovery.”
Ritchie,
— U.S. at —,
We recognize that the confrontation clause analysis in
Ritchie
commanded only a plurality of the Court. Though, regrettably, the Court could not issue a majority opinion for our guidance on this important issue, we consider the analysis of the plurality principled and persuasive. It is this Court’s opinion, then, that the right to cross-examine wit
Applying this rule to the case at hand, appellant’s right of cross-examination was not violated by the denial of access to the psychologist’s file. The principal witness for the Commonwealth was the eyewitness to the assault, the victim. As in Ritchie, appellant’s trial counsel was not prevented from conducting cross-examination of that, or of any other, trial witness. Indeed, a review of the transcript reveals that during the cross-examination of the victim, defense counsel was able to call into question the witness’s memory and perception of the assault. Given that defense counsel employed the opportunity to fully cross-examine the trial testimony, particularly that of the victim, appellant was not denied his right to cross-examination as guaranteed by the sixth amendment.
B.
1.
This is not to say, however, that a preclusion of a defendant’s access to pre-trial information is immune from constitutional review. A majority of the Supreme Court in
Ritchie
made clear that where an accused raises a claim based upon the inability to obtain pre-trial information, the Due Process Clause of the Fourteenth Amendment provides the proper framework for analysis.
Ritchie,
— U.S. at —,
Although our disposition of this matter would be controlled by the due process analysis referred by the majority in
Ritchie,
it is at this point that we diverge from that case. Unlike the statutory conditional privilege at issue in
Ritchie,
the Pennsylvania law in this case grants an absolute privilege for communications between a licensed psychologist and a client. We are, therefore, presented with a situation where the interests of the accused in learning of favorable witnesses as well as obtaining arguably useful information directly conflicts with society’s interest in maintaining confidentiality between a psychologist and a client.
5
Although we are without clear guidelines as to the means of accommodating these interests, the
Ritchie
decision teaches that the rights of an accused are not without limitations. In
Ritchie,
the Court noted that the public interest in protecting the CYS file was “strong.” Because the statutory conditional privilege did not preclude all use of such information, however, the Court concluded that any material information in the file could be disclosed.
Ritchie,
— U.S. at —,
2.
In enacting
Among physicians, the psychiatrist has a special need to maintain confidentiality. His capacity to help his patients is completely dependent upon their willingness and ability to talk freely. This makes it difficult if not impossible for him to function without being able to assure hispatients of confidentiality and, indeed, privileged communication. Where there may be exceptions to this general rule ..., there is wide agreement that confidentiality is a sine qua non for successful psychiatric treatment. The relationship may well be likened to that of the priest-penitent or the lawyer-client. Psychiatrists not only explore the very depths of their patients’ conscious, but their unconscious feelings and attitudes as well. Therapeutic effectiveness necessitates going beyond a patient’s awareness and, in order to do this, it must be possible to communicate freely. A threat to secrecy blocks successful treatment.
Report No. 45, Group for the Advancement of Psychiatry 92 (1960),
quoted in
Advisory Committee’s Notes to Proposed Rules,
The psychiatric patient confides more utterly than anyone else in the world. He exposes to the therapist not only what his words directly express; he lays bare his entire self, his dreams, his fantasies, his sins, and his shame. Most patients who undergo psychotherapy know that this is what will be expected of them, and that they cannot get help except on that condition. * * * It would be too much to expect them to do so if they knew that all they say—and all that the psychiatrist learns from what they say—may be revealed to the whole world from a witness stand.
Taylor v. United States,
As these comments indicate, patient confidence is essential for effective treatment. Because the information revealed by the patient is extremely personal, the threat of
The statutory privilege for psychologists and clients also serves to protect another interest as well: the privacy interest of the client. Given the extremely personal nature of the information passed and the confidential relationship in which the information was shared, compelled disclosure in court would make public the client’s innermost thoughts. This privacy interest is not without significance. Indeed, it has been suggested that the privacy interest of the client may have constitutional underpinnings.
10
In
In re B.,
482
Based on Mr. Justice Manderino’s opinion in In re B., supra, [appellant] asserts the physician-patient privilege is broader than the statutory provision, being rooted in the right to privacy guaranteed by both the United States Constitution and the Pennsylvania Constitution. While its sources and limits may be disputed, there can be no doubt that the United States Constitution guarantees a right to privacy. See Roe v. Wade,410 U.S. 113 ,93 S.Ct. 705 ,35 L.Ed.2d 147 (1973); Stanley v. Georgia, 394 U.S.557, 89 S.Ct. 1243 ,22 L.Ed.2d 542 (1969); Griswold v. Connecticut,381 U.S. 479 ,85 S.Ct. 1678 ,14 L.Ed.2d 510 (1965). Cases concerned with the constitutional protection of privacy “have in fact involved at least two different kinds of interests. One is the individual interest in avoiding disclosure of personal matters, and another is the interest in independence in making certain kinds of important decisions.” Whalen v. Roe,429 U.S. 589 , 599-600,97 S.Ct. 869 , 876,51 L.Ed.2d 64 (1976) (footnotes omitted).
Clearly, the privacy interest of the patients which is implicated under the instant set of facts is the interest in avoiding disclosure of personal matters. This privacy interest finds explicit protection in the Pennsylvania Constitution., Art. 1, § 1, which provides, in pertinent part: “All men ... have certain inherent and indefeasible rights, among which are those ... of acquiring, possessing, and protecting property and reputation____” Disclosure of confidences made by a patient to a physician, or even of medical data concerning the individual patient could, under certain circumstances, pose such a serious threat to a patient’s right not to have personal matters revealed that it would be impermissible under either the United States Constitution or the Pennsylvania Constitution.
Id.,
We have no doubt that the public interest in protecting a client’s privacy interest under such circumstances is particularly important. Whether or not that privacy interest is constitutionally protected, it is still desirable as a matter of social policy to recognize and protect this interest as it is reflected in the statutory psychologist-client privilege.
It is, thus, beyond question that the public interest is served by encouraging clients to seek treatment. The privilege afforded by § 5944 was intended to inspire confidence in the client and to encourage full disclosure to the psychologist. By preventing the latter from making public any information which would result in humiliation, embarrassment or disgrace to the client, the privilege is designed to promote effective treatment and to insulate the client’s private thoughts from public disclosure.
The issue to be decided, however, is whether the public interests supporting the psychologist-client privilege outweigh an accused’s interest in reviewing arguably useful information protected by the privilege. Our research reveals few cases in which this issue was addressed. In
People v. District Court of Denver,
There is a strong public policy interest in encouraging victims of sexual assaults to obtain meaningful psychotherapy. The defendant’s constitutional right to confrontation is not so pervasive as to to [sic] place sexual assault victims in the untenable position of requiring them to choose whether to testify against an assailant or retain the statutory right of confidentiality in post-assault psychotherapy records. Accordingly, we conclude that where, as here, the victim has not waived the privilege afforded her ..., the defendant is not entitled to examine the victim’s post-assault psychotherapy records or to have the trial court review such records in camera on the basis that the records might possibly reveal statements of fact that differ from the anticipated testimony of the victim at trial.
Id.
at 727. The reasoning used by the Supreme Court of Colorado in
District Court
has been adopted by an appellate court of Illinois.
See People v. Foggy,
Other courts have held that the statutory privilege must yield under such circumstances. The decision by the Supreme Court of Connecticut in
State v. Whitaker,
The crux of the defendant’s argument on appeal is that his right to search for truth in defending himself should supersede the interest of the rape crisis service and the victim in maintaining confidentiality. We addressed this very issue in In re Robert H.,199 Conn. 693 ,509 A.2d 475 (1986), which was published subsequent to the trial court’s ruling on the present motion to quash. In that case, we particularized a procedure, developed in our prior decisions; see State v. Bruno,197 Conn. 326 ,497 A.2d 758 (1985); State v. Esposito, supra [192 Conn. 166 ,471 A.2d 949 (1984) ]; which protects a victim’s statutory right to confidentiality while simultaneously safeguarding a defendant’s constitutional right effectively to cross-examine the victim. In re Robert H., supra, 199 Conn, at 708-709 ,509 A.2d 475 . Under that procedure, a claim of privilege may be countered by a showing that “ ‘there is reasonable ground to believe that the failure to produce the information is likely to impair the defendant’s right of confrontation such that the witness’ direct testimony should be stricken.’ ” Id., at 708,509 A.2d 475 . If such a showing is made and the consent of the witness is secured, the court may conduct an in camera inspection of the information.
This inspection, in the context of the sexual assault counselor privilege, is not limited to merely “relevant material.” The court may also look for “any inconsistent and relevant statements of the victim in the records when compared with the victim’s direct examination.” Id. at 709,509 A.2d 475 . In the event the inspection does not reveal such material, the record shall be sealed and made available for appellate review. If the court finds relevant material, however, the witness must choose between consenting to the release of the material or having her testimony stricken. See Id. at 708-10,509 A.2d 475 ; State v. Bruno, supra,197 Conn. at 329 ,497 A.2d 758 ; State v. Esposito, supra,192 Conn. at 179-80 ,471 A.2d 949 .
State v. Whitaker,
Having reviewed the language of the statutory privilege enacted by our legislature and having given consideration to the public policies underlying the absolute privilege
Appellant argues, however, that precluding defense access to the victim’s files would conflict with the decisions of our appellate courts in
In the Matter of Pittsburgh Action Against Rape,
In
PAAR
the Pennsylvania Supreme Court declined to expand a common law privilege to include communications between a rape crisis counselor and a victim.
13
The
PAAR
Court was unpersuaded by the argument that no functional distinction existed between a psychotherapist and client
Appellant’s reliance on
Embrick
is also misplaced. In that case, a psychologist was permitted to testify at a parental termination hearing even though she had examined the child and both parents. On appeal, the minor’s parents claimed the testimony was admitted in violation of the psychologist-client privilege established by
The rationale of the
Embrick
Court renders that case easily distinguishable from the one at hand. Here, because the victim sought psychological counseling treatment subsequent to the assault and solely for the purpose of treatment, she was a “client” within the meaning of the statu
Finally, appellant argues that without even an in camera inspection of the file by the court, it cannot be determined whether any statements made by the victim would be helpful to the defense. We decline to compromise what we have determined is an absolute privilege from disclosure. As we noted above, the purpose of the psychologist-client privilege is to aid in the effective treatment of the client by encouraging the patient to disclose information fully and freely without fear of public disclosure. We deem this purpose and the underlying considerations to be of paramount concern. Subjecting the confidential file to in camera review by the trial court (as well as the appellate courts and staff members) would jeopardize the treatment process and undermine the public interests supporting the privilege. Simply stated, an absolute privilege of this type and in these circumstances requires absolute confidentiality. 15
We conclude, therefore, that under these circumstances, the trial court acted properly in refusing the defense access to the arguably useful information in the psychologist’s file.
III.
Appellant contends the lower court improperly refused to suppress the victim’s identification testimony.
Upon review of a challenge to pre-trial identification procedures, we must determine whether those procedures were so suggestive and thus, unreliable, that a mistaken identification was the necessary result.
Commonwealth v. Thomas,
... the opportunity of the witness to view the criminal at the time of the crime, the witness’ degree of attention, the accuracy of his prior description of the criminal, the level of certainty demonstrated at the confrontation, and the time between the crime and the confrontation. Against these factors is to be weighed the corrupting effect of the suggestive identification itself.
Manson v. Brathwaite,
In the opinion denying the motion to suppress the photo array identifications, the suppression court reviewed the facts supporting a finding of reliability. The victim had viewed her assailant for about fifteen minutes in fairly well-lit rooms. Given the nature of the sexual attack, the victim had an opportunity to view the attacker at close range. In fact, the victim stated that she looked into her assailant’s face during the attack and concentrated on his characteristics because “I wanted to always remember exactly what he looked like so that I could recognize him anywhere at anytime.” (Notes of suppression hearing 1/23/86 at 13). Two months after the assault, the victim identified appellant as her assailant by selecting his photograph from an array of 21 photographs. All of the photos
Nonetheless, appellant maintains that the first photo array should have been suppressed because his photo did not match the victim’s initial description of the assailant given to the police. In our view, appellant confuses the question of credibility with a claim of undue suggestiveness. It was the duty of the suppression court to assess the alleged contradiction between the victim’s identifications. “The scope of our review is limited to determining whether the factual findings of the court in the suppression hearing are supported by the record, and whether the conclusions of law drawn therefrom are correct.”
Commonwealth v. Scaine,
Appellant also claims the second photo array was unduly suggestive. That photo array, which contained all of the photographs from the first array except for appellant’s photo, was shown to the victim nine months after the initial identification. The victim did not identify any of the individuals in the second array. In our judgment, the second photo array could not have denied appellant his due process rights since the victim did not even make an identification at that time.
Appellant’s final claim is a similar challenge to the third identification. On August 22, 1985, eleven months after the initial identification, the victim identified appellant at a police lineup. Appellant asserts that the identification should have been suppressed because none of the participants in the lineup except for appellant matched the victim’s description of the assailant. We agree with the suppression court that nothing about the lineup was unduly suggestive.
Having determined that there was no error in the pre-trial identification procedures, it follows that we must also reject appellant’s claim that the victim’s in-court identi
IV.
In appellant’s next challenge, he asserts that he was prejudiced by misconduct on the part of the prosecution. During the investigation of the assault, the police interviewed a witness, Ms. Janet Jones. According to defense counsel, the witness had seen the assailant at the scene of the crime and had given the police a physical description. Appellant now claims that the Commonwealth failed to disclose Ms. Jones’s alleged statement to the police, thus causing irreparable prejudice.
Assuming without deciding that the Commonwealth was obliged to make the information available to the defense, for two reasons, we cannot agree with appellant’s contention. First, it is undisputed that the witness was listed in the police report which was made available to defense counsel during discovery. It appears, however, that her name was inadvertently given in the report as both “Janet Jones” and “Janet Nelson”. Such an oversight is not tantamount to prosecutorial misconduct in appellant’s case. Although appellant may have had difficulty in locating the witness, we note that the Commonwealth was also unable to find the witness until shortly before trial. (N.T. 3/13/86 at 6, 3/14/86 at 142-143). Upon locating the witness, defense counsel admits that he was notified by the Commonwealth of her whereabouts and had an opportunity to interview her. Id.
Second, and more significantly, appellant could not have been prejudiced by the Commonwealth’s alleged failure to disclose the information. Not only did appellant contact Ms. Jones prior to trial, but the witness was also called to testify for the defense. Further, the witness’s testimony was virtually identical to that which defense
Y.
Appellant’s final issue challenges the trial court’s denial of a requested jury instruction. The basis of this claim is the inconsistency between the victim’s description of the assailant to the police and her subsequent trial testimony. Because the initial description did not match appellant’s physical features, defense counsel requested the following instruction:
A victim or other witness can sometimes made [sic] mistakes when trying to identify the criminal. If certain factors are present, the accuracy of identification testimony is so doubtful that a jury must receive it with caution if the witness’ positive testimony as to identity is weakened by inconsistencies in the rest of his testimony. Second Alternative (When there is jury issue as to whether caution is required)—If you believe that this factor is present, then you must consider with caution the testimony of [the victim] identifying the defendant as the person who committed the crime. If, however, you do not believe that this factor is present, then you need not receive the testimony with caution; you may treat it like ordinary testimony, as a statement of fact.
Brief for appellant at 30 (emphasis added).
A trial court is not required to accept the jury instruction submitted by counsel.
See Commonwealth v. Smith,
We agree with the trial court that the proffered instruction was inapplicable and improper. As the underscored language of the proposed charge indicates, that instruction requires inconsistencies within the witness’s own testimony. Here, the victim’s testimony was not inconsistent; the inconsistency existed between the victim’s prior non-testimonial statement to the police and her trial testimony. The court, therefore, was correct in rejecting the proposed instruction.
Moreover, the court did not ignore the identification issue but, instead, charged the jury as follows:
The Defendant also challenges the identification of the himself as the assailant in this case. In her testimony, [the victim] has identified the Defendant as the person who committed the crime. The accuracy of her identification of the Defendant is disputed. You should consider all of the evidence relevant to the question of who committed the crime including the testimony of the witnesses and particularly [the victim] and Mrs. Jones, and any evidence of facts or circumstances from which identity or non-identity of the criminal may be inferred. You cannot find the Defendant guilty unless your are satisfied beyond a reasonable doubt by all the evidence, direct and circumstantial, not only that the crime was committed but that it was the Defendant who committed it.
(N.T. 3/14/86 at 210-211).
We are satisfied that this charge adequately addressed the disputed identification issue.
VI.
Having found no basis for appellant’s claims of error, we affirm the judgment of sentence.
Notes
.
§ 5944 . Confidential communications to licensed psychologists
No person who has been licensed under the act of March 23, 1972 (P.L. 136, No. 52), 1 to practice psychology shall be, without the written consent of his client, examined in any civil or criminal matter as to any information acquired in the course of his professional services in behalf of such client. The confidential relations and communications between a psychologist and his client shall be on the same basis as those provided or prescribed by law between an attorney and client.
. The Confrontation Clause is made applicable to the states by the Fourteenth Amendment of the United States Constitution.
Pointer v. Texas,
. The relevant portion of Section 2215 provides:
(a) Except as provided in section 14 [11 Pa.C.S.A. § 2214 (Purdon Supp.1987) ], reports made pursuant to this act including but not limited to report summaries of child abuse ... and written reports ... as well as any other information obtained, reports written or photographs or x-rays taken concerning alleged instances of child abuse in the possession of the department, a county children and youth social service agency or a child protective service shall be confidential and shall only be made available to:
(5) A court of competent jurisdiction pursuant to a court order.
11 Pa.S.A. § 2215(a)(5) (Purdon Supp.1987).
. Under circumstances similar to those in
Ritchie,
this Court has concluded that the plurality decision in
Ritchie
is controlling.
See Commonwealth v. Lloyd,
. There is no question here that Dr. Kelsey is a licensed psychologist and that the information in his file was obtained through counseling and treatment of victim.
. The need for such a privilege is widely recognized,
see e.g., Ex Parte Rudder,
. Proposed
. It has been suggested that the inability of a state’s citizens to obtain treatment of this type may preclude or impair them from exercising their fundamental freedoms.
In re: Zuniga,
. Statutory protection for psychotherapist-patient communications exists in 49 states. See also Knapp, VandeCreek and Zirkel, Privileged Communications for Psychotherapists in Pennsylvania: A Time for Statutory Reform, 60 Temp.L.Q. 267, 275 (1987).
. Other courts and commentators have recognized that the privacy interest of a patient seeking treatment is of constitutional dimension.
See e.g., Caesar v. Mountanos,
. The decision of the Commonwealth Court was affirmed.
Fischer v. Commonwealth Department of Public Welfare,
85 Pa.Commw. 240,
. Justice Roberts and present Chief Justice Nix concurred in the disposition of the case.
. In response to the decision in
PAAR,
the Pennsylvania legislature enacted a statute providing for an absolute privilege for communications made to a rape crisis counselor,
i.e.,
. For similar reasons, this Court has recently held that the statutory privilege of
. We note parenthetically that permitting an in camera review of information protected by the absolute privilege between psychologist and client could possibly render other absolute privileges subject to the same limitation.
. Ms. Jones testified that the man she saw leaving the storeroom was between 40 and 50 years of age, unkempt, with lines in his face, had dark hair with some graying, and wore a cap.