Lead Opinion
Opinion
Paul James Kauffmann, Jr., seeks reversal of his conviction for the aggravated sexual battery of his fourteen year-old daughter. His principal claims are (1) that his confessions were not admissible because they were involuntarily given and because they were obtained in violation of Miranda v. Arizona,
Although we find that Kauffmann’s confessions were voluntary and were not obtained in violation of Miranda, we reverse the conviction and remand because we find that the statements made by the daughter were inadmissible hearsay. On other issues concerning jury instructions, we uphold the trial judge’s rulings that contributing to the delinquency of a minor is not a lesser included offense of aggravated sexual battery and that the facts of this case did not support the giving of an instruction for the lesser included offense of sexual battery.
On April 1, 1986, Kristi Kauffmann, age 14, threw herself in front of a train in Manassas and was killed. Many of her fellow students at Osborn Park High School witnessed the incident.
Detective Urban then went to the Kauffmann house and asked the Kauffmanns if he could go through Kristi’s belongings. He told them that it was routine for the police to view a suicide victim’s belongings, but he did not tell the Kauffmanns about Candy Machalske’s statement. At trial, Urban testified that he was searching for anything that might incriminate Kauffmann and that he was afraid the Kauffmanns would not allow him to search if he told them about Machalske’s statement.
During Urban’s search of Kristi’s room, he found a spiral notebook. Urban found one entry, dated March 10, 1986, in which Kristi had written that her father was an “incestive molesting jerk.” Urban did not show Kauffmann the notebook, but he asked Kauffmann to follow him to the police station for further questioning.
At the station, Urban confronted Kauffmann with Machalske’s statement. Kauffmann expressed concern whether anything he said would be used against him or told to his wife. Urban told him that his wife would not be told and that he would not be arrested. The father then told Urban that he had fondled his daughter. No Miranda warnings were given at that first interview.
Two days later, on April 3, 1986, the Kauffmanns went to the police station for a meeting with a social worker who was scheduled to help the Kauffmanns deal with Kristi’s death. Kauffmann was called into a room with Detective Urban and Jean Amos, a social worker. Urban and Amos both testified that Kauffmann was palpably upset, disturbed, and grieving. The daughter’s funeral was scheduled for the next morning.
Detective Urban again questioned Kauffmann about the fondling incidents. Urban again told him that his wife would not be told about his statements, but Urban did read the Miranda warnings to him. Kauffmann repeated his statement of April 1, concerning the fondling of his daughter.
In addition, the court allowed testimony by Bridgette Maloney that during the week of January 10, 1986, she and Kristi Kauffmann discussed the movie Fatal Vision while riding the school bus. Maloney testified that she asked Kristi, “[w]ell, wouldn’t it be awful if your father had gone in and killed your mother and you and your family?” and Kristi replied, “[m]y father molests me.” Michaelle Kalua, another Osborn Park student, was allowed to testify that two weeks before her death, Kristi Kauffmann told a joke about sexual contact between a parent and a child and then said “. . . my dad does that, too.”
The court also admitted the defendant’s statement to the police officer on April 1 and 3, 1986.
The Confessions
In Miranda v. Arizona,
The police did give Kauffmann the Miranda warnings before he made his second statement, which was clearly admissible. Therefore, even if the first statement had been obtained in violation of Miranda, its admission would have been harmless error under the analysis in Oregon v. Elstad,
Nevertheless, the confession, even if obtained in full compliance with Miranda, may be inadmissible if it was not voluntary. In order to assess the voluntariness of a confession, an appellate court must conduct an independent review of the circumstances surrounding the confession. Miller v. Fenton,
The basis for Kauffmann’s claim that his confession was not voluntary is that he “was under severe psychological strain during this time due to his daughter’s death.” The detective observed that Kauffmann was visibly upset and disturbed, and Jean Amos, the social worker who was present at the second interview, described Kauffmann as grieving and upset. Mrs. Kauffmann stated that her husband was in an awful condition. Lawrence Tracy, a long-time friend of Kauffmann, testified that Kauffmann was “hysterical” from April 1 through April 5 due to the loss of his daughter, and that Kauffmann did not seem to understand what Tracy was saying to him during their conversations at that time.
The Hearsay Evidence
If admitted to prove the truth of their content, the statements made at trial by Candy Machalske, Bridgette Maloney, and Michaelle Kalua were hearsay because they reported out-of-court statements. However, if the statements were admitted for a purpose other than proving the proposition that Kristi Kauffmann was molested, the statements were not hearsay. See Donahue v. Commonwealth,
It has long been settled in Virginia that the complaints of children claiming that they were sexually abused are not admissible under the state-of-mind exception to the hearsay rule. For instance, in Pepoon v. Commonwealth,
Wherever the bodily or mental feelings of an individual are material to be proved, the usual expressions of such feelings, made at the time in question, are also original evidence. If they were the natural language of the affection, whether of body or mind, they furnish satisfactory evidence, and often the only proof of its existence. And whether they were real or feigned is for the jury to determine. . . . The rule admits, however, only exclamations of present pain, or statements of present symptoms. All statements made by the sick person relating to past transactions, however closely they may be connected with the present sickness or injury, should be rejected even if made to a physician for treatment, unless the statements are otherwise admissible, as part of the res gestae.
In this case, the statements made by Kristi to her friends and her entries in the spiral notebook both recalled past events and described the cause of her emotional distress. There was no showing, nor, do we believe, could there be, why Kristi’s state of mind was relevant to any issue in this case. Thus, the hearsay statements were improperly admitted under the state-of-mind exception to the hearsay rule.
Additionally, this hearsay evidence is not admissible as the recent complaint of a rape victim. Although the Virginia Supreme Court has held since Haynes v. Commonwealth,
Therefore, the court is constrained by precedent to find that the hearsay statements of Kristi Kauffmann were improperly admitted at trial. Because of the palpably prejudicial content of the statements, we cannot say that their admission was harmless error; therefore, we must reverse the conviction.
The Railroad Records
Before trial, Kauffmann sought discovery of the Norfolk Southern Corporation’s records concerning the death of Kristi Kauffmann. Norfolk Southern had conducted an investigation of the incident because Kauffmann was hit by one of Norfolk Southern’s trains. Norfolk Southern refused to disclose voluntarily its records to Kauffmann because of the railroad’s fear of a civil suit by Kauffmann and his wife. On motion of Kauffmann’s counsel, the trial court issued a subpoena duces tecum to the railroad. The railroad then filed a motion to quash the subpoena because the railroad’s records of how Kristi Kauffmann was killed were not material to the proof of whether Kauffmann molested the daughter. The trial court quashed the subpoena, and Kauffmann appeals that order.
Kauffmann did not make a colorable showing that the railroad investigation of Kristi’s death was material to his defense for aggravated sexual battery. Such a showing is required by Rule 3A: 12(b). In support of the request to subpoena the railroad report, defense counsel said “there may be something out of those records that would be [admissible at trial]. I think I have a right to peruse the records and see what may or may not be admissible.” This statement indicates that the defense merely sought to go on a “fishing expedition” of the kind strictly forbidden by Farish v. Commonwealth, 2 Va. App. 627,
The Jury Instructions
Kauffmann also asserts that the trial judge erred in refusing to give an instruction on lesser included offenses for contributing to the delinquency of a minor, Code § 18.2-371, taking indecent liberties with a child, Code § 18.2-370.1, and sexual battery, Code § 18.2-67.4.
Based on this, we find that the trial court properly denied the instruction on sexual battery. The difference between aggravated sexual battery and sexual battery is the age of the victim. Sexual abuse of a child at least thirteen but less than fifteen years of age when against the will of the victim by force, threat or intimidation is, by definition, aggravated sexual battery. Code § 18.2-67.3. Since the evidence would not support a finding that Kristi was not between thirteen and fifteen years of age, it being uncontradicted that she was fourteen, a sexual battery instruction would have been inappropriate in this case. Miller,
We also find that the trial court properly denied the instruction on contributing to the delinquency of a minor because it is not a lesser included offense of aggravated sexual battery; that is, not every case of aggravated sexual battery is also necessarily a case of contributing to the delinquency of a minor as defined by the statute. Contributing to the delinquency of a minor, Code § 18.2-371, requires that a person eighteen years of age or older willfully contribute to an act, omission, or condition that renders a child, delinquent, in need of services, or abused or neglected as defined in Code § 16.1-228(5). The offense of aggravated sexual battery does not require proof that the defendant was eighteen years of age or older; thus, all of the elements of Code § 18.2-371 are not included within the offense of Code § 18.2-67.3. In this case, Kauffmann’s conduct constituted contributing to the delinquency of a minor, and Kauffmann could have been charged with contributing to the delinquency of a minor. Nevertheless, the fact that in this particular case, the defendant may, in fact, have been eighteen years of age or older does not turn what is not a necessa
Further, we find that, based on the record, the defense did not offer at trial an instruction on taking indecent liberties with a child. Therefore, we may not consider the propriety of that instruction on appeal. Rule 5A:18.
It is well established that the choice of offenses for which a criminal defendant will be charged is within the discretion of the Commonwealth’s Attorney, Davis v. Commonwealth,
Reversed and remanded.
Cole, J., concurred.
Concurrence Opinion
concurring in part, dissenting in part, and concurring in the judgment of reversal.
I join in those parts of the opinion which hold: (1) that the child’s statements were hearsay and inadmissible, (2) that the trial judge did not err in quashing the subpoena duces tecum, and (3) that the trial judge did not err in refusing to instruct the jury as to the offenses of taking indecent liberties with a child and sexual battery. Accordingly, I join in the judgment reversing the conviction and remanding for a new trial if the Commonwealth be so advised. I dissent from the remainder of the opinion, however, because I would also hold (1) that the confessions were inadmissible, and (2) that the trial judge erred in refusing the lesser included offense instruction concerning contributing to the delinquency of the child.
I
I agree with the majority that Oregon v. Mathiason,
The relevant inquiry is whether, in fact, the . . . statement was . . . voluntarily made. As in any such inquiry, the finder of fact must examine the surrounding circumstances and the entire course of police conduct with respect to the suspect in evaluating the voluntariness of his statements. The fact that a suspect chooses to speak after being informed of his rights is, of course, highly probative.
Oregon v. Elstad,
Detective Urban arrived at Kauffmann’s residence within three hours of the daughter’s suicide and shortly after Kauffmann and his wife had viewed their daughter’s body in the hospital. The detective had been informed by the daughter’s friend of the daughter’s statement that, “Dad molests me in the morning before school.” The detective told Kauffmann that it was routine procedure for the police to examine the belongings of persons who have committed suicide and asked to search the child’s room. The detective was, in fact, looking for any items that would further incriminate Kauffmann. After the detective found the notebook and read it, he asked Kauffmann to follow him to the police station.
At the station, the detective interviewed Kauffmann for a period of an hour and forty-five minutes, during which time Kauffmann was emotional and wept. The detective testified that Kauffmann “wanted to know, if he told [Urban] certain things, how did he know that [the police] wouldn’t come back and do something to him at a later date; and secondly, were we going to tell his wife.” The detective assured Kauffmann that he would not tell his wife and further “told him that I felt that, just due to what happened that day, there was enough grief and hardship sitting on his shoulders right now.” The detective further testified that he had no intention at that time of obtaining an arrest warrant. Visibly upset and weeping, Kauffmann then admitted to the
Two days later, the day prior to the daughter’s funeral, Kauffmann and his wife were summoned to the police station to talk further with the detective and a mental health social worker. The detective said the meeting with the mental health social worker was “set up in order to help [Kauffmann] and his wife deal with this thing.” When they arrived, Kauffmann was separated from his wife and interviewed by Detective Urban in the presence of the mental health social worker. At this time the detective read Miranda rights to Kauffmann. Kauffmann, who was again very emotional, upset, and weeping, told them that he had sexually fondled his daughter.
The Commonwealth bears the burden of proving by a preponderance of the evidence that Kauffmann’s statements were voluntary. Rodgers v. Commonwealth,
The testimony of the Commonwealth’s attorney shows that, though he may not have made any express promise of immunity, or light punishment to [the accused], he intentionally so conducted his conversations with his brother and with him, and so shaped his language, as to raise in the mind of [the accused] the hope and belief that, if he told what he knew*413 about this crime and testified in behalf of the Commonwealth against the others ... he would not be prosecuted. A confession procured under such circumstances is not in law a voluntary confession, and is not admissible.
Id. at 905,
Detective Urban exceeded the bounds of appropriate cajoling and created an expectation of leniency when, in response to Kauffmann’s inquiry whether the authorities would “come back and do something to him at a later date” if he talked, the detective reassured Kauffmann that due to his daughter’s suicide “there was enough grief and hardship sitting on [Kauffmann’s] shoulders right now.” The detective intentionally and explicitly used the tragic death of Kauffmann’s daughter as a ploy to suggest that no further punishment was in store because Kauffmann had been adequately punished. The detective’s reassurance was an inducement which impermissibly interfered with Kauffmann’s ability to make a knowing, voluntary statement. Kauffmann was led to believe that his statement would have had the effect of freeing him from prosecution. “[S]uch a powerful inducement [was] thus presented to his mind as to lead him to make [the statement] without regard to its truth or falsity, and hence it [was] involuntary.” Belcher v. Commonwealth,
In Colorado v. Connelly,
Likewise, the fact and circumstances of the promise distinguish this case from Elstad. When Kauffmann went to the police station the second time, he and his wife had been told that the purpose of
It cannot be said that the Commonwealth, on these facts, has established that Kauffmann’s statements were “free and voluntary.” Malloy v. Hogan,
The majority reads Elstad too broadly. The Supreme Court in Elstad did not hold that admission of the initial unwarned statement, which was followed by a second statement obtained after a Miranda warning, was harmless error. In Elstad, the first unwarned statement was suppressed by the trial judge and was not admitted at trial.
II
The record reflects that Kauffmann tendered Instruction B concerning contributing to the delinquency of a minor. The trial
The majority holds that contributing to the delinquency of a child, as statutorily prohibited by Code § 18.2-371, is not a lesser included offense of aggravated sexual battery because a child charged with aggravated sexual battery could not be convicted under Code § 18.2-371. In my opinion that holding fails to recognize the statutory mesh between the juvenile law and the criminal law. The juvenile and domestic relations district court has exclusive original jurisdiction over all matters concerning children — persons less than eighteen years of age. Code §§ 16.1-228 and 16.1- 241. Accordingly, the jurisdiction of the circuit court in criminal proceedings extends only to persons eighteen years of age or older, except and unless there has been a transfer of the child to the circuit court pursuant to Code § 16.1-269. Obviously, a child could not be initially charged with a violation of Code § 18.2- 371 and transferred to the circuit court for trial as an adult on that charge. A child could be charged with aggravated sexual battery, however, and transferred to the circuit court for trial as an adult. When a child is tried for a felony in the circuit court, that court may render a verdict and impose sentence just as if the child were an adult. Code § 16.1-272. I do not read Code § 18.2-371 to exclude from its coverage a child who has been statutorily determined to be an adult for purposes of transfer to the circuit court for trial under a felony statute and for sentencing as a felon. Thus, where a child is charged with aggravated sexual battery and transferred to the circuit court of trial as an adult, that child may be acquitted of the felony and convicted, as any adult, of any applicable misdemeanor. Code § 16.1-272.
The refused instruction should have been given. Code § 18.2-371 broadly states that “[a]ny person eighteen years of age or older, including the parent of any child, who shall willfully contribute to, encourage, cause or tend to cause any act, omission, or condition which renders a child delinquent, in need of services, or abused or neglected as defined in § 16.1-228, shall be guilty of a
[A] child whose behavior, conduct or condition presents or results in a serious threat to the well-being and physical safety of the child; however, no child who in good faith is under treatment solely by spiritual means through prayer in accordance with the tenets and practices of a recognized church or religious denomination shall for that reason alone be considered to be a child in need of services.
Code § 16.1-228(5). The evidence in this case would support a finding that Kauifmann’s daughter was in need of services, as that phrase is statutorily defined.
Under the indictment the Commonwealth was required to prove that the sexual abuse was against the will of the daughter. The evidence in this case as to that element was purely circumstantial. Regardless of whether the sexual conduct was against the daughter’s will, the evidence would have supported a finding that she was in need of services. Certainly the jury could have found that Kauffmann’s sexual conduct with his daughter resulted in a serious threat to her well being.
A jury, not the trial court, weighs the evidence and assesses the credibility of the witnesses. It is immaterial that the jury might have rejected the lesser-included offense; if there is evidence tending to support the lesser offense, a trial court errs in refusing an instruction thereon.
Barrett v. Commonwealth,
Ill
For the reasons stated I would reverse and remand for a new trial if the Commonwealth be so advised.
