Lead Opinion
delivered the Opinion of the Court.
I. Introduction
The People appeal the decision of the court of appeals in People v. Wittrein,
The defendant, David Arthur Wittrein, was charged and convicted of nineteen counts of sexual assault on a child by one in a position of trust as part of a pattern of abuse, and one count each of sexual assault on a child by one in a position of trust, enticement of a child, sexual assault on a child, and indecent exposure. The court of appeals reversed Wit-trein's convictions, holding that the trial court erred in conducting a competency proceeding for the child victim, K.H., in front of the jury, and in admitting certain expert
The People now appeal the decision of the court of appeals, arguing that the trial court properly conducted the competency proceeding in front of the jury and that the challenged expert testimony was admissible. Wittrein cross-appeals, arguing that the court of appeals applied an incorrect standard when it reviewed K.H.'s mental health records in camera. Wittrein also renews his argument that the trial court should have conducted an in camera review of K.H.'s education records.
These issues present distinct problems, and for that reason we will address each issue individually. First, we hold that it was not reversible error for the trial court to conduct K.H.'s competency proceeding in front of the jury but that by far the better practice is to hold child competency proceedings outside the jury's presence. Second, we find that the challenged expert testimony on cross-examination was inadmissible but that the error was invited by defense counsel. Third, we hold that K.H. did not waive her psychologist-patient privilege with regard to her mental health records; therefore the trial court and the court of appeals were precluded from reviewing them in camera. Finally, we hold that, contrary to the trial court's position, education records may be reviewed in camera if the defendant shows a need for the information that outweighs any privacy interests. Here, however, K.H.'s education records did not relate to any evidence presented at trial; thus the trial court's refusal to review them in camera was harmless. Accordingly, we remand the case to the court of appeals to consider Wittrein's additional appellate arguments not yet addressed by that court.
II. Competency Proceeding
Wittrein argues that the trial court erred in conducting K.H.'s competency proceeding in front of the jury. We disagree. KH. was nine years old at the time of the trial, Under Colorado law, the trial court must determine whether a witness under ten is competent to testify. § 18-90-106(1)(b)(ID), C.R.S. (2009). This requires a court finding that the child witness is "able to describe or relate in language appropriate for a child of that age the events or facts respecting which the child is examined." Id. Whether a child is competent to testify is addressed to the trial court's discretion. See Harris v. People,
Prior to trial, Wittrein objected to holding K.H.'s competency proceeding in front of the jury, and he renewed this objection at trial. The trial court held that it was permissible for K.H.'s competency questioning to be held in front of the jury but elected to excuse the jury during the judge's ruling that K.H. was competent to testify. During the competency questioning, the prosecutor first asked K.H. her name and age, then questioned her about school, her teacher, and her favorite subjects. The prosecutor then asked:
Q: Do you understand the difference between telling the truth and telling a lie?
Yes.
Is it a good thing or bad thing to tell the truth?
It's a good thing.
If I were to tell you that my shirt was green, would that be the truth or would that be a lie?
A lie.
Do you understand that the judge is going to ask you to take an oath in this courtroom to tell the truth?
A: No.
Did you know that?
No.
*1080 Q: If he asks you to take an oath to tell the truth in this courtroom, what does that mean?
I don't know.
If he asks you to tell the truth, do you know what that means?
Yes.
And will you be able to tell the truth in this courtroom?
A: Yes.
On appeal, Wittrein argued that the questioning resulted in prejudice and was an error that required reversal of his convie-tions. He believed that conducting KH.'s competency proceeding in front of the jury was impermissible bolstering and that the jury confused a finding of competency with the judge's endorsement of K.H.'s credibility. The court of appeals agreed and apparently adopted a per se rule that child competency proceedings can never be held in front of a jury.
Although some preliminary matters are required by rule to be conducted outside the presence of the jury, the competency of a child witness is not one of them. See CRE 104. Instead, the competency of a child witness falls under the blanket rule that preliminary matters should be conducted outside the presence of the jury when "the interests of justice require." CRE 104(c).
No prior Colorado case has addressed whether "the interests of justice" require child competency proceedings to be conducted outside of the jury's presence; thus this is a question of first impression for this court. Although we agree with several other jurisdictions that by far the better practice is to hold child competency proceedings outside the presence of the jury,
The court of appeals cited to cases from other jurisdictions to support its per se rule, but only one was in accord with the court of appeals' holding. In Commonwealth v. Washington, the Pennsylvania Supreme Court adopted a per se rule for child competency hearings.
In this case, even though the better approach would have been to hold K.H.'s competency proceeding without the jury present, any prejudice to Wittrein does not rise to the level of reversible error. The prosecutor asked K.H. simple questions that directly related to her ability to be truthful and to relate facts to the jury. The jury was not told the purpose of the testimony and was excused before the trial judge ruled on K.H.'s competency. Therefore, we find Wit-trein's claims of prejudice to be unwarranted based on the limited questioning that occurred.
Accordingly, we reject a per se rule for conducting child competency hearings outside the presence of the jury and find that Wittrein was not prejudiced to a degree requiring reversal of his convictions.
III. Expert Testimony
At trial, the People presented a child psychiatrist, Dr. Harriet Stern, to testify as an expert witness regarding K.H.'s reports of abuse and about the results of K.H.'s psychiatric tests. Dr. Stern testified that KH.'s "seale for hyper-reporting" was "highly elevated." She explained that a high scale for hyper-reporting can be the result of fabrication or severe trauma. On cross-examination, defense counsel questioned Dr. Stern about whether an elevated seale for hyper-reporting "could be a measure of someone who is interested in portraying themselves as a victim." To this, Dr. Stern replied: "I think in general that's true. It's hard for me to imagine that an eight-year-old child would be able to put together such a plan." Defense counsel did not object to Dr. Stern's response.
In Colorado, neither lay nor expert witnesses may give opinion testimony that another witness was telling the truth on a specific occasion. CRE 608(a), People v. Eppens,
The court of appeals held that Dr. Stern's testimony on cross-examination constituted improper opinion testimony that KH. was telling the truth on a specific occasion. We agree with the court of appeals on this point. Defense counsel questioned Dr. Stern regarding whether "someone" was portraying "themselves" as a victim, and she testified that "[ilt's hard for me to imagine that an eight-year-old child would be able to put together such a plan." The court of appeals interpreted this to mean that Dr. Stern "could not imagine a child of K.H.'s age fabricating a story like hers." Wittrein,
Even though Dr. Stern's response was impermissible, we hold that the error was invited by defense counsel's questioning. Under our invited error doctrine, "a party may not complain on appeal of an error that he has invited or injected into the case; he must abide the consequences of his acts." People v. Zapata,
Even if the error was not strategic but instead the result of oversight, we conclude that it was not plain error requiring reversal. See People v. Stewart,
IV. In Camera Review of Education Records and Medical Records
Wittrein argues that the court of appeals incorrectly affirmed the trial court's decision to quash his subpoena duces tecum in which he sought discovery of K.H.'s mental health records and education records. Wittrein argues that these records should have been reviewed in camera by the trial court. Because the mental health records and education records involve different considerations, we will address them separately.
A. Mental Health Records
Wittrein argues on appeal that the trial court incorrectly determined KH.'s records from Aurora Mental Health ("AMH") were protected by the psychologist-patient
The psychologist-patient privilege assures "a victim of a sexual assault that all records of any treatment will remain confidential unless otherwise directed by the victim." People v. Sisneros,
When KH. alleged that Wittrein had sexually abused her, she was taken to Children's Hospital in Denver for physical and mental examination. Children's Hospital provided in-patient therapy and diagnosed K.H. with post-traumatic stress disorder ("PTSD"). KH. was later admitted to AMH for ongoing mental therapy. At trial, Wittrein filed a subpoena duces tecum to obtain discovery of mental health records relating to K.H.'s outpatient treatment at AMH. Wittrein argued that the prosecution had put K.H.'s mental state at issue when it stated its intention to introduce a diagnosis of PTSD from Children's Hospital and therefore waived any privilege to the AMH records as well. Wit-trein further argued that, even if the AMH records were privileged, the trial court should have conducted an in camera review for potentially exculpatory evidence. The People conceded that K.H. had waived her privilege with regard to the Children's Hospital records but argued that the records held by AMH relating to KH.'s ongoing therapy were distinct, requiring a separate waiver. After a hearing, the trial court determined that KH. waived her privilege with respect to the records from Children's Hospital but not to the records from AMH.
The court of appeals upheld the trial court's decision to quash the subpoena but based its decision on its own in camera review instead of the psychologist-patient privilege.
We agree with the trial court and hold that KH. did not waive the psychologist-patient privilege, either expressly or impliedly, as to the records from AMH. The trial court correctly drew a line between K.H.'s records from Children's Hospital and her records from AMH, holding that the two sets of records were distinct and required separate waivers to be admissible KH. expressly
The trial court correctly determined that the psychologist-patient privilege forecloses an in camera review of K.H.'s mental health records. Even if the court of appeals used an incorrect legal standard during its in camera review, such error is irrelevant because the records should not have been subject to review.
B. Education Records
Because Wittrein believed that declining school performance, and not abuse, may have caused K.H.'s PTSD, he sought an in camera review of K.H.'s education records. In addition, Wittrein believed that the education records might actually contradict the finding of PTSD if the dates of K.H.'s decline in school performance did not correlate with the dates of her alleged abuse. The trial court held that if the People introduced any evidence as to K.H.'s school performance, the door would be open and the education records would be disclosed. However, the trial court ultimately refused discovery of the education records, and it also declined to review them in camera because it determined, incorrectly, that federal law prohibited their disclosure. The court of appeals disagreed with the trial court's analysis, holding that the federal law contained exceptions to Colorado's statutory prohibition on the release of school records without written parental consent. The court of appeals then held that "a trial court should weigh the confidentiality interests of the child and parents against the defendant's need for the requested information." Wittrein,
Discovery of K.H.'s school records involves the interplay of state and federal law. Under section 22-1-128(8), C.R.S. (2009), "(al
Prior to the issuance of a judicial order or subpoena, the defendant must articulate, in good faith, a specific need for the information contained in the records. See Bachofer,
Here, Wittrein made no proffer of need directly related to the education records.
We do not believe that, under the cireum-stances of this case, Brady or its progeny required K.H.'s education records to be reviewed for exculpatory information. KH.'s education records related only tangentially to her diagnosis and treatment for sexual abuse, and academic performance is only one among many factors that are considered in a PTSD diagnosis. Moreover, the prosecution never relied on the education records at trial. Had the prosecution relied on them, the trial court's pre-trial ruling would have required disclosure or, at the very least, an in camera review. Based on the facts of this case and the relationship of the education records to the evidence, we hold that it was not reversible error for the trial court to decline an in camera review of these records.
V. Conclusion
We remand the case to the court of appeals for proceedings consistent with this opinion and for resolution of Wittrein's other arguments that were not addressed by that court in his original appeal.
Notes
. The court of appeals never states that it is a per se rule as such, but the relevant portion of its opinion reads:
We conclude that holding a competency hearing in the jury's presence is error when there is objection by defense counsel since it avoids the potential for prejudice and ensures fairness.... Because here the competency hearing was held in the jury's presence, defendant's convictions must be set aside, and he is entitled to a new trial.
Wittrein,
. Many other jurisdictions have declined to adopt a per se rule against holding child competency proceedings in front of the jury. See, e.g., Collier v. State,
. Though the wording of a limiting instruction is within the trial court's discretion, the instruction should inform the jury that competency is a legal question for the court but that the jury makes the ultimate determination on credibility.
. The trial court appointed a guardian ad litem to represent K.H.'s interest in her mental health records. The guardian ad litem determined that it was not in K.H.'s best interest to waive her privilege as to the AMH records.
. We note that in other cases the court of appeals has conducted its own in camera review to resolve similar issues. See, e.g., People v. Kyle,
. Both the People and Wittrein acknowledge that KH.'s mother expressly waived all privileges related to the Children's Hospital records.
. Witirein argues that the trial court is required to review the AMH records to determine if they contain information that is material to his defense. The privilege, however, may not yield to Wittrein's bare request for the records, hoping that they may contain exculpatory information. See Dill v. People,
. Wittrein argues that the proffer came from an earlier request that the prosecution turn over any material or exculpatory information concerning statements of prosecution witnesses and "any and all records, or information, revealing prior misconduct or bad acts attributed to any prosecution witness." We recognize that this proffer lacks the specificity that a trial court should require before disclosing education records. But we are also aware of the unique facts of this case, in that the trial court imposed a flat prohibition on in camera review based on an erroneous interpretation of federal law.
Concurrence Opinion
concurring in judgment only:
I write separately in this case because I disagree with the majority's analysis of three of the issues in the opinion. First, the majority calls it the "better practice" to conduct child competency proceedings outside of the presence of the jury, but then inconsistently
I. Competency Proceeding
The majority holds that "there is no per se rule against conducting child competency proceedings in front of the jury, but by far the better practice is to excuse the jury [during competency proceedings]." Maj. op. at 1080. The majority then goes on to hold that because prejudice did not occur as a result of conducting the competency hearing in front of the jury, Wittrein was "not prejudiced to a degree requiring reversal of his convictions." Maj. op. at 1081.
By stating that it is merely "better practice" to hold competency proceedings outside of the presence of the jury, the majority seems to suggest that conducting competency proceedings in front of the jury is not error. However, by then proceeding to discuss whether Wittrein was prejudiced as a result of the trial court's decision to allow the jury to hear the competency proceeding, the majority seemingly indicates that it was error, but did not rise to the level of reversible error. To the extent that the majority is stating that conducting competency proceedings in front of the jury constitutes error, but that such error was harmless in this case, I agree.
C.R.E. 104(a) states "preliminary questions concerning the qualification of a person to be a witness ... shall be determined by the court...." Subsection (c) states that hearings on preliminary matters "shall" be conducted outside the presence of the jury "when the interests of justice require." Although this court has not previously discussed whether "the interests of justice require" child competency proceedings to be conducted outside the presence of the jury, it is well established that the competency of a child witness is a preliminary matter addressed to the trial court's discretion. See, e.g., Harris v. People,
Accordingly, as with other preliminary matters, child competency hearings are properly conducted by the trial court outside the presence of the jury. See Vasquez v. People,
II. Expert Testimony
The majority holds that Dr. Stern's testimony on cross-examination constituted improper opinion testimony that the child vie-tim in this case was telling the truth on a specific occasion. Maj. op. at 1081-82. However, they find that the error was invited by defense counsel's questioning. Maj. op. at 1082. In contrast to the majority, I would not find that defense counsel's questioning constituted invited error.
The invited error doctrine is narrow and applies only to errors in trial strategy, not errors that result from oversight. People v. Zapata,
The question posed to Dr. Stern was open-ended and poorly framed for use in cross-examination. It could have been asked in a way that would not have allowed for Dr. Stern's expansive answer. However, I do not believe that it is correct to suggest that it was defense counsel's trial strategy to ask such a question. Instead, a poorly phrased question is better seen as error resulting from oversight. Therefore, I believe the invited error doctrine is inapplicable here.
After concluding that Dr. Stern's testimony was invited error, the majority goes on to apply a plain error test to determine if the error was so egregious as to require reversal. Maj. op. at 1082. If an error is invited, a reviewing court need not address plain error. See People v. Stewart,
Because I would not find that defense counsel's questioning of Dr. Stern was invited error, I would simply apply a plain error analysis to determine if reversal is required. In this case, assuming that Dr. Stern's testimony constituted error, I do not believe it "so undermined the fundamental fairness of the trial itself as to cast serious doubt on the reliability of the judgment of conviction." People v. Eppens,
IH. Medical Records
The majority focuses on whether there was an implied waiver as to the Aurora Mental Health ("AMH") records. Id. Quoting People v. Sisneros,
Wittrein's primary argument regarding the AMH records is that his constitutional right to due process of law requires the trial court to conduct an in camera inspection of the AMH documents. In contrast to the majority, I would directly address the due process issue, but conclude that Wittrein has not made a sufficient showing to be entitled to an in camera review of the AMH records.
Generally, the due process clause grants defendants a right to disclosure of evidence that is material or favorable to the defense. However, unlike other evidentiary rules, privilege statutes shield potentially relevant
In Dill v. People, this court was confronted with a situation similar to the present case.
In finding that the due process clause did not require an in camera review of the psychologist's notes, this court observed that the defendant did not show need for the records beyond a desire to engage in a "fishing expedition." Id. at 1824 (distinguishing Pennsylvania v. Ritchie,
Accordingly, without eliminating the possibility that there may be times when the due process clause requires that the trial court conduct an in camera review of privileged records to determine whether they contain information that must be disclosed to the defense, in the absence of a particularized showing that the records contain exeulpatory information not otherwise available to the defendant, in camera review is not required. Here, Wittrein did not make such a showing. Therefore, although the determination of whether privileged information must be reviewed in camera should be addressed on due process grounds, I reach the same ultimate result as the majority.
I am authorized to state that Justice BENDER joins in this concurrence.
