YOUNG, C.J.
While hearsay is generally inadmissible,
Defendant Stanley Duncan was charged in the Macomb Circuit Court with five counts of first-degree criminal sexual conduct (CSC-I)
Separate preliminary examinations were held for each defendant. At Stanley Duncan's preliminary examination on October 17, 2011, then three year old RS correctly answered the trial court's questions about her age, her birthday, and her dog's name, among others. The judge then asked RS if she knew the difference between telling the truth and not telling the truth, to which she responded, "Yes." She also affirmed that she would honestly answer the questions of the attorneys. The court
RS testified that on at least three occasions, Stanley Duncan touched her "private," indicating her vaginal area, and "blew raspberries" on her vaginal area while her pants and underwear were off. The raspberries hurt "a little bit," and his touching "really hurted." She testified that the acts occurred in the bathroom of defendants' home, where RS attended daycare.
On December 2, 2011, at the preliminary examination concerning the charges against Vita Duncan, RS was qualified as competent after she correctly answered questions about her birthday, her dog's name, and the name of her schoolteacher. RS affirmed her understanding of what telling the truth means, and promised to do so. RS repeated substantially the same answers that she previously gave regarding Stanley Duncan, and also stated that she told Vita more than once that Stanley had touched her. RS also testified that, on at least one occasion while Stanley was touching her, Vita was just outside the bathroom, and that RS could see Vita.
Both defendants were bound over on the charges against them, and a joint trial before a single jury began on September 28, 2012. RS was called to the stand and was first questioned by the court. When asked whether she knew the difference between the truth and a lie, RS responded, "No," and was unable to explain what a promise means. After RS struggled to answer questions similar to those answered at the preliminary examinations, the trial court excused the jury, and met with counsel, RS, and RS's parents in chambers. Afterward, RS was again put on the stand, and again answered, "No" to the questions regarding whether she knew what the truth is, what a lie is, and what a promise is. RS was clearly agitated. Throughout the court's questioning, RS had tears in her eyes and was wringing her hands. RS began crying in earnest just before the court excused her. The court ruled that she was not competent to testify pursuant to MRE 601.
The prosecution immediately asked the court to declare RS unavailable, arguing that RS lacked memory of the events giving rise to the charges,
After the trial court granted a stay of the trial proceedings, the prosecution sought emergency leave to appeal in the Court of Appeals and moved for immediate consideration of the trial court's ruling that RS was not unavailable. The Court of Appeals granted the prosecution's motion for immediate consideration, held the applications for leave to appeal in abeyance, and remanded the cases to the trial court with instructions to issue an opinion explaining its decision.
In its opinion on remand, the trial court reiterated its holding that RS was not unavailable because her failure to take the equivalent of the oath did not trigger any of the scenarios enumerated in MRE 804(a). Without much discussion, the court ruled that MRE 804(a)(4), which renders a declarant unavailable if she is dead or has a physical or mental infirmity or illness, did not apply because RS's situation did not include any of these circumstances. The court stressed that RS was even younger at the preliminary examination than at trial and suggested that this fact lent support to its ruling that she was not unavailable at the later trial date.
The Court of Appeals denied the prosecution's applications for leave to appeal. This Court granted the prosecution's motion for immediate consideration, stayed the proceedings, and remanded both cases to the Court of Appeals for consideration as on leave granted.
In its opinion, the Court of Appeals affirmed the trial court's finding that RS was not unavailable within the meaning of MRE 804(a) generally and that RS did not meet the specific circumstance of having a "then existing physical or mental illness or infirmity" within the meaning of MRE 804(a)(4).
We granted the prosecution's motion for immediate consideration and application for leave to appeal, limited "to the issue whether the witness was `unavailable' for the purposes of MRE 804(a)."
The decision whether to admit evidence falls within a trial court's discretion and will be reversed only when there is an abuse of that discretion.
When construing court rules, including evidentiary rules, this Court applies the same principles applicable to the construction of statutes.
Hearsay is "a statement, other than the one made by the declarant while testifying at the trial or hearing, offered in evidence to prove the truth of the matter asserted."
With regard to hearsay, a witness's unavailability to testify is governed by MRE 804(a), which provides:
We focus on MRE 804(a)(4), which defines "unavailability" to include a declarant who lacks the physical or mental capability to testify. MRE 804(a)(4) provides that unavailability as a witness includes situations in which the declarant "is unable to be present or to testify at the hearing because of death or then existing physical or mental illness or infirmity[.]" We focus
MRE 804(a)(4) contemplates both physical and mental infirmities, though we focus only on whether a mental infirmity existed in this case.
Furthermore, the language of the rule establishes that the mental infirmity need not be permanent, or even longstanding. The phrase "then existing" specifically limits the temporal scope within which a witness's availability under MRE 804(a)(4) may be assessed; the only relevant reference point is the point at which the witness takes the stand. As a result, the declarant need not suffer from a permanent illness or infirmity. Thus, the fact that RS was competent and available to testify at two preliminary examinations does not affect the determination whether she was mentally capable or infirm for purposes of MRE 804(a)(4) at the time her testimony was sought at trial. Rather, the only relevant inquiry is her condition at the time she was called to testify.
In holding that a child may be mentally infirm in the type of extraordinarily stressful trial situation like the one that existed here, we recognize the obvious truth that children lack the same level of mental maturity as that exhibited by and expected of most adults. Legal and psychological research confirms this uncontroversial proposition.
RS was four years old at the time she was called to testify at trial. She demonstrated an inability to overcome her distress when she was unable to answer the trial court's questions. When asked whether she knew the difference between the truth and a lie, RS responded, "No," and was unable to explain what a promise means. Furthermore, she answered, "No" to whether she knew what the truth is, what a lie is, and what a promise is. Importantly, throughout her examination RS had tears in her eyes, was wringing her hands, and ultimately began to cry, rendering her unable to answer counsels' questions. While an older youth or an adult may have been able to suppress the unease of testifying in open court, RS, as a young child, was susceptible to particular challenges that must be taken into consideration when determining whether a witness is mentally infirm under MRE 804(a)(4). As could be expected from a young child, especially in the context of alleged criminal sexual conduct, RS simply did not have the mental maturity to overcome her debilitating emotions while on the stand.
Under the plain language of the rule, and with our recognition of the unique mental and emotional limitations of youth, we hold that RS had a then existing mental infirmity in this case because the facts show that she was unable to sufficiently cope with her significant emotional distress and give testimony at trial, a result of her particularly young age. Therefore, she was unavailable within the plain meaning of MRE 804(a)(4).
We recognize the case-specific nature of the inquiry into whether a witness suffers from a "then existing mental infirmity." In this case, the severity of RS's emotional distress made it impossible for her to testify. This is highlighted by the fact that she had previously been able to give testimony about the alleged sexual contacts at issue in this case. Before trial courts hold that a child has a then existing mental infirmity, we urge them to use, when appropriate, the tools in our court rules and statutes to accommodate young witnesses. For example, MCL 600.2163a enables the use of dolls or mannequins to aid children in their testimony. Moreover, in certain circumstances, the statute allows for witness accompaniment by a "support person," use of videorecorded statements, and testimony via closed-circuit television.
The Court of Appeals concluded that RS did not demonstrate a mental infirmity, characterizing her conduct merely as an inability to provide the trial court with
We conclude that the trial court abused its discretion in ruling that RS was not unavailable. As discussed, by using the word "infirmity," MRE 804(a)(4) plainly contemplates that a declarant is unavailable for hearsay purposes when she is unable to overcome severe emotional trouble resulting from the limitations of her young age. Though this is an issue of first impression, the trial court committed a legal error in its interpretation of the rule when it held that RS was not infirm when she was unable to give testimony. The trial court's decision not to admit RS's preliminary examination testimony on the basis of its erroneous legal interpretation necessarily constitutes an abuse of discretion.
The language of MRE 804(a)(4) includes within its list of individuals who are unavailable those witnesses who are mentally infirm at the time they are called to give testimony. In this case, RS was unable to testify because she could not overcome her significant emotional distress, a result of the unique limitations of her youth and, therefore, she was mentally infirm at the time of her trial testimony. Thus, the lower courts erred by concluding that RS was not unavailable under MRE 804(a)(4).
KELLY, ZAHRA, McCORMACK, and VIVIANO, JJ., concurred with YOUNG, C.J.
MARKMAN, J. (concurring).
I concur in the majority's conclusion that RS was unavailable for purposes of MRE 804(a). I respectfully disagree with the majority, however, that the facts of her youth and apparent fear of testifying in the presence of the person charged with her sexual abuse are sufficient to deem her "mentally infirm" under MRE 804(a)(4). Instead, I would hold that RS was unavailable under the general principle of unavailability found in MRE 804(a). That rule, in full, provides:
I agree with the majority that the language relevant to analysis under MRE 804(a)(4) is the phrase "then existing ... mental ... infirmity[.]" But in my view, a four-year-old child who, so far as we know, does not suffer from any sort of developmental disability, and who appears in all respects to be an entirely normal child of this age, simply cannot be properly categorized as suffering from a mental infirmity.
The majority is correct, of course, that at least one prominent dictionary, Random House Webster's College Dictionary (1995), defines "infirmity" as "the quality or state of being infirm; lack of strength." This is the second definition of "infirmity" listed by Random House Webster's. Notably, however, the first definition specifies "a physical weakness or ailment: the infirmities of age." Id. Of course, in the present case, "mental" modifies infirmity, so that a definition of the term as "mental weakness or ailment," including the contextual example, "the infirmities of age," is appropriate. This first definition of "infirmity" matches up, unsurprisingly, with Random House Webster's first definition of "infirm": "feeble or weak in body or health, esp[ecially] because of age." Id. The majority seizes on this last phrase, "especially because of age," pointing out that one "cause" of "weakness or feebleness of the mind" "may be an individual's age." Ante at 406. The majority then ultimately holds that "MRE 804(a)(4) plainly contemplates that a declarant is unavailable for hearsay purposes when she is unable to overcome severe emotional trouble resulting from the limitations of her young age." Ante at 408 (emphasis added).
This analysis is far too strained, in my judgment. The dictionary references to "especially because of age" and "the infirmities of age" plainly refer not to youth but to old age. When one speaks of a person who suffers from weakness or a state of feebleness because of that person's age, or when we lament the "infirmities of age," I believe that the reasonable reader or listener understands such references to be to advanced age. I do not believe that a reasonable person would characterize a perfectly healthy and developmentally sound four-year-old child as mentally infirm, or as suffering from the infirmities of age. This interpretation is also borne out by other dictionary definitions of "infirm." The American Heritage Dictionary (2d College ed.), for instance, defines "infirm" as "[w]eak in body,[
Though, for these reasons, I cannot join in the majority's conclusion that RS was unavailable under MRE 804(a)(4) because of a "mental infirmity," I do conclude that she was in fact unavailable under the general principle of unavailability set forth in MRE 804(a). The rule begins, "`Unavailability as a witness' includes [the five situations listed in MRE 804(a)(1) through (5)]." MRE 804(a) (emphasis added). Use of the word "includes," of course, indicates that the list of five situations is not exhaustive or all-encompassing. See Random House Webster's ("include" means "to contain or encompass as part of a whole") (emphasis added). This rather obvious proposition is bolstered by our caselaw. In People v. Meredith, 459 Mich. 62, 65, 586 N.W.2d 538 (1998), we held that a would-be witness who intended to assert her Fifth Amendment right and not testify at trial was "unavailable" as a witness for purposes of MRE 804(a), even though the situation was "not expressly treated in MRE 804(a)...." We stated that invocation of the Fifth Amendment right "is of the same character as the other situations outlined in the subrule." Id. at 65-66, 586 N.W.2d 538. The Court of Appeals has reached a similar conclusion in a case in which the would-be witness appeared at court the day of trial but abruptly left the courthouse before testifying. "[W]hile [the would-be witness's] eleventh-hour decision to leave the courthouse rather than testify at trial is not expressly addressed under MRE 804(a)," the Court said, "it is also of the same character as other situations outlined in that rule of evidence." People v. Adams, 233 Mich.App. 652, 658, 592 N.W.2d 794 (1999), citing Meredith, 459 Mich. at 65-66, 586 N.W.2d 538.
"[W]hile `unavailability' is a term of art under MRE 804(a), it also bears a close nexus to the ordinary meaning of the word." Meredith, 459 Mich. at 66, 586 N.W.2d 538. Random House Webster's defines "available" first as "suitable or ready for use; at hand" and second as "readily obtainable; accessible[.]" American Heritage likewise defines the term first to mean "[a]ccessible for use; at hand." Examination of MRE 804(a)(1) through (5) suggests that, in addition to not being "suitable or ready for use; at hand," in order for a would-be witness to be deemed "unavailable" under MRE 804(a), it must also be the case that efforts to render the would-be witness "suitable or ready for use; at hand" or "accessible for use": (1) are impermissible (as in the case of MRE 804(a)(1)); (2) have failed to yield availability (as in the cases of MRE 804(a)(2) and (5)); or (3) would be futile (as in the cases of MRE 804(a)(3) and (4)).
In this case the trial court separately ruled that, under MRE 601, RS was not competent to testify. That rule provides that a person is competent to testify unless she "does not have sufficient physical or mental capacity or sense of obligation to testify truthfully and understandably...."
Further, as the facts set forth by the majority indicate, two good-faith efforts to qualify RS as a witness were made and failed. When RS was called as a witness at trial, the judge asked RS a lengthy and specially tailored set of questions designed to determine whether RS was able to distinguish between the truth and a lie, and she did not respond satisfactorily. After this effort failed, the judge had RS return to her parents for several minutes, presumably to calm her down. Counsel, RS's parents, and a police officer then met together in the judge's chambers during a 40-minute recess. Following this recess, a second effort to qualify RS was made, with the judge again carefully questioning RS in a manner sensitive to her youth. This effort also failed. When the prospect of having the parties' attorneys ask RS questions regarding her ability to testify was raised, Stanley Duncan's counsel responded, "I have [no questions]," and Vita Duncan's counsel said nothing.
In summary, the trial court found that RS lacked a sense of obligation to tell the truth. She therefore was not "suitable or ready for use; at hand" as a witness. Repeated good-faith attempts to qualify RS (and thus render her available) were unsuccessful. Because the trial court found that RS lacked a sense of obligation to tell the truth, and because good-faith efforts to qualify her as a witness were made yet failed, RS was genuinely "unavailable" under the general principle of unavailability found in MRE 804(a), and I would hold accordingly.
McCORMACK, J. (concurring).
I concur in the majority opinion and write separately because I believe that there is a doctrinal foundation supporting the proposition that the criminal law should recognize that children are qualitatively different from adults, which is relevant to our decision in this case. Over the course of the past decade, the United States Supreme Court has acknowledged that, as in many other areas of the law, the criminal law must recognize that the unique characteristics of children render them inherently different from adults.
In Roper v. Simmons,
Admittedly, this caselaw is limited to sentencing theory and juvenile culpability, concerns that are not implicated here. In JDB v. North Carolina,
The majority correctly holds that a child declarant may be declared unavailable as a witness if, as a result of his or her youth, the declarant's mental distress rises to the level of a then existing mental infirmity. I agree with the majority opinion that the legal literature supports the conclusion that children are not merely "miniature
CAVANAGH, J. (dissenting).
I would affirm the result reached by the Court of Appeals. I do not join the majority opinion because, in my view, Justice MARKMAN raises a persuasive point that RS cannot properly be categorized as suffering from an infirmity in this case.
Nevertheless, I disagree with the result reached in Justice MARKMAN'S opinion, and in the majority opinion, even accepting for purposes of this appeal Justice MARKMAN'S conclusion that the use of the word "includes" within MRE 804(a) indicates that the definition of "unavailability as a witness" contains a "general principle of unavailability." Given the "importance accorded unavailability in the scheme of hearsay exceptions," 2 McCormick, Evidence (7th ed.), § 253, p. 244, and because "our legal system makes public testimony in front of the fact finder an important element of the truth-seeking process," People v. Johnson, 118 Ill.2d 501, 510, 115 Ill.Dec. 384, 517 N.E.2d 1070 (1987), in my judgment, more rigorous attempts than were made in this case should occur before declaring a child witness unavailable.
In my view, the facts of this case illustrate the tension created in our courts by attempting to apply the rule of evidence to the "unique situation of a child witness in an alleged sexual abuse case." People v. Straight, 430 Mich. 418, 422, 424 N.W.2d 257 (1988). Specifically, "[t]he tension originates from the conflict between two underlying policies: a desire to protect the most vulnerable of our citizens from heinous and damaging exploitation, and a need to protect the accused individual against both erroneous conviction and the devastating consequences that can follow." Id. at 422-423, 424 N.W.2d 257. Because I question whether our existing rule of evidence was drafted with the unique issues involving child witnesses in mind, I would consider reexamining our rule concerning unavailability, as other jurisdictions have done.
Moreover, even though the Court of Appeals recognized that it need not determine whether the requirements under MRE 804(b)(1) were met given that Court's conclusion that RS was not unavailable, it analyzed the issue nonetheless. The Court noted that defense counsel did not have the benefit of discovery when cross-examining RS at the preliminary examination, and that, because there were two separate preliminary examinations, one for each of the defendants, counsels' motives differed.