Justice STEVENS.
In this fact-specific appeal by the Commonwealth, we consider whether the Superior Court erred in holding the right of a juvenile accused to be confronted with a witness against him conferred by the Confrontation Clause of the Sixth Amendment to the United States Constitution was violated where the juvenile court admitted into evidence an out-of-court, video-taped, forensic interview of a child complainant under the Tender Years Hearsay Act ("TYHA"), even though defense counsel did not cross-examine the child complainant who had taken the witness stand at the juvenile's contested adjudication hearing. In light of the unique circumstances of the instant matter wherein the Commonwealth conceded continued questioning of the unconversable child complainant on direct examination would have been futile, and the juvenile court suggested she be removed from the witness stand, we hold the admission of the recorded forensic interview of the child complainant violated the juvenile accused's right to confrontation under the Sixth Amendment. Accordingly, we affirm.
On November 5, 2011, the mother (hereinafter "Mother") of the three-year-old child complainant (hereinafter "A.D.")
Mother did not take any further action on November 5, 2011; however, several days later, N.C.'s father admitted to Mother that N.C., in fact, had been present at the home on November 5th. Upon receiving this new information, Mother took A.D. to the Brockway Police Department where she informed the Chief of Police of A.D.'s allegations. An investigation ensued pursuant to which A.D. was questioned by a forensic interviewer at Western Pennsylvania Cares for Kids Child Advocacy Center (hereinafter "Western Pennsylvania Cares"), a facility wherein trained individuals interview children who have been abused or who are suspected of having been abused. A.D. disclosed to the forensic interviewer that N.C. had touched her pudendum, and she demonstrated digital penetration on an anatomical doll after making this revelation. Following November 5, 2011, and the interview at Western Pennsylvania Cares, A.D. told Mother at least two or three additional times that N.C. "touched her pee pee."
The Commonwealth filed a juvenile petition wherein it alleged N.C. had committed various delinquent acts against A.D. and charged him with three counts each of aggravated indecent assault
Following the April 13, 2012, hearing held on N.C.'s motion, the juvenile court entered an Opinion and Order on April 17, 2012, wherein it stated that as the Commonwealth had indicated it intended to place A.D. on the witness stand and question her on direct examination, she would be made available for cross-examination and confrontation by N.C.; therefore, the juvenile court refrained from considering A.D. unavailable and explained it would look to the TYHA for the purpose of deciding whether A.D.'s hearsay statements would be admissible. The juvenile court further noted it was uncontested that A.D.'s out-of-court statements were relevant to the charges brought against N.C., but it found that certain statements she had made to Mother would be inadmissible at the adjudicatory hearing because they lacked sufficient indicia of reliability in that the specific time at which they were made and the circumstances surrounding those spontaneous statements were not clear. Notwithstanding, the juvenile court did determine that as the time and date of A.D.'s initial assertions to Mother and of those she made during the forensic interview were known, the Commonwealth would be allowed to introduce at the adjudicatory hearing the declarations A.D. made to her Mother on November 5, 2011, as well as the complete videotaped interview made at Western Pennsylvania Cares on November 23, 2011, provided that A.D. would testify at that hearing. See Trial Court Opinion, 4/17/12 at 4-6 and Order of Court, 4/17/12.
The adjudicatory hearing was held on May 10, 2012, and it commenced with the competency portion of questioning. At that time, the prosecutor and defense counsel questioned A.D. generally regarding her name, age, family, caregivers and her ability to discern the truth from a lie. N.T. Hearing, 5/10/12, at 8-24.
The prosecutor asked A.D. whether she knew N.C. and whether he was present in the courtroom, and A.D. nodded yes and
Id. at 27.
Despite the prosecutor's instruction, A.D., once again, shook her head when asked if she ever had had fun with N.C. and was unresponsive when the prosecutor inquired whether there was a time when she did not have fun with N.C. Id. at 28. A.D. shook her head when asked if anything bad had ever happened to her around N.C. and failed to react at all when the prosecutor queried if anything had happened to her while she was with N.C. that she did not like, at which time A.D.'s father requested that he be permitted to encourage A.D. to speak. Id. Defense counsel objected, and a short recess was taken so that A.D. could be removed from the courtroom. Defense counsel then expounded that the basis for his objection was the concern that any participation in the questioning by A.D.'s father would affect her responses. Id. at 29-31. At this early stage of the proceeding, the prosecutor stated "[A.D.] clearly does not want to talk about this. That's obviously, for the [c]ourt to decide, but I would submit that she does not want to talk about N.C." Id. at 30. Following further discussion among the juvenile court and counsel, it was agreed that when A.D. returned to the courtroom, she would be permitted to sit on her father's lap so that she might feel more comfortable. Id. at 31-32.
A.D. initially smiled when she realized she would be testifying from a new vantage point, and after assuring her she was safe and encouraging her to tell the truth, the prosecutor resumed questioning. A.D. responded to the prosecutor's questions about her comfort level, whether she knew she was safe and whether she could remember the prosecutor's name with head gestures and nods. She replied "Yeah" when the prosecutor inquired: "Can you — Show me that you can talk. Can you say yes? ... Can you prove to [the trial court] that you can talk? You can say yes to him. Can you say yes? ... Now, let's keep talking instead of just nodding your head, okay? Can we keep talking?" Id. at 33-34. However, A.D. nodded positively when asked if she knew and liked N.C. She shook her head in the negative when the prosecutor inquired whether he ever played games with her, pretended that he was a shark, ever touched her, or if she wished to talk about whether N.C. ever had touched her. Id. at 34-35. A.D. then hugged her father, and while the prosecutor assured her it was acceptable for her to do so, he reminded her it was important for her to be truthful so that she could avoid being placed on a time out. Id. at 36.
Though A.D. smiled when asked if she wished to tell the truth, she was reticent when next asked if N.C. had ever touched her and began to play with her father's hands by twisting his fingers. Id. at 36.
Id. at 37-39.
Following this line of questioning, the juvenile court indicated a ten minute break should ensue to allow A.D. a chance to take a brief walk outside. A.D. left the courtroom for the second time, at which time defense counsel objected to any further questioning of the child, and the prosecutor responded as follows:
Id. at 40-41. (Emphasis added).
The juvenile court overruled defense counsel's objection at that juncture and in support of its decision declared:
Id. at 41-42.
Before A.D. resumed testifying, the prosecutor informed the juvenile court she wanted to sit with her maternal grandmother, and she was permitted to do so. Though she answered "Nowhere" when questioned about where she had gone during
Id. at 44-46 (Emphasis added).
Later in the hearing, following the testimony of the forensic interviewer and over defense counsel's objection on the grounds that it constituted testimonial evidence and
Id. at 79-80, 82, 83-84 (Emphasis added).
The juvenile court ultimately adjudicated N.C. delinquent of one count of aggravated indecent assault, a felony of the second
N.C. filed a timely appeal from the dispositional order wherein he argued, inter alia, that his right to be confronted with the witness against him conferred by the Confrontation Clauses of the Sixth Amendment to the United States Constitution and Article 1, Section 9 of the Commonwealth of Pennsylvania's Constitution had been violated when the juvenile court admitted into evidence the statements A.D. had made to the forensic interviewer because A.D. was unavailable for cross-examination at his adjudicatory hearing. In its one-page opinion filed pursuant to Pa. R.A.P. 1925(a), the juvenile court found that A.D.'s reticence during direct examination and defense counsel's failure to pose any questions regarding her statements and actions at the forensic interview on cross-examination did not render her unavailable for legal or constitutional purposes. In doing so, the juvenile court reasoned that although A.D. had been "less than forthcoming" when questioned about N.C. and whether he had hurt or touched her, citing to her responses during the competency portion of the hearing, it determined she was competent to testify and able to express herself regarding other subjects and, thus, was available to testify at the adjudicatory hearing for Sixth Amendment, Article I, Section 9, and TYHA purposes. Juvenile Court Opinion, filed 10/17/12, at 1 citing N.T. Hearing, 5/10/12 at 8-25. The juvenile court further surmised defense counsel could have cross-examined A.D. in regard to her statements and actions both in the courtroom and during the forensic interview but apparently concluded that it would have been futile to do. Id. at 1 citing N.T. Hearing, 5/10/12, at 46.
In a published opinion, the Superior Court vacated the dispositional order and remanded for a new adjudicatory hearing on the grounds that the juvenile court's admission of A.D.'s recorded statements into evidence during the adjudicatory hearing violated N.C.'s right of confrontation as provided by the Sixth Amendment to the United States Constitution because A.D. had not been available for cross-examination and the statements were testimonial in nature. In re N.C., 74 A.3d 271 (Pa.Super.2013) (reargument denied October 1, 2013). The Court summarized the TYHA and noted that the United States Supreme Court rejected the "indicia of reliability" standard like that set forth in the TYHA as violating the Sixth Amendment to the United States Constitution as it pertains to testimonial hearsay. Id., 74 A.3d at 274. It reiterated that in Ohio v. Roberts, 448 U.S. 56, 100 S.Ct. 2531, 65 L.Ed.2d 597 (1980), the High Court had held that an unavailable witness's statement against a criminal defendant was admissible provided that the statement was shrouded in an "adequate indicia of reliability," which existed when the testimony at issue fell within a "firmly rooted hearsay exception," or contained "particularized guarantees of trustworthiness." It further stressed that the High Court's subsequent decision several decades later in Crawford v. Washington, 541 U.S. 36, 124 S.Ct. 1354, 158 L.Ed.2d 177 (2004) overruled Roberts in part when it rejected the "indicia of reliability" standard where a witness is deemed unavailable. Instead, it summarized the holding of the Crawford Court as requiring a determination of whether statements are testimonial or non-testimonial
The Superior Court next reviewed the juvenile court's determination that A.D. had been available for cross-examination at the adjudicatory hearing and that the recorded forensic interview, therefore, was properly admitted into evidence. While the Superior Court acknowledged defense counsel had been able to elicit limited verbal and non-verbal responses from A.D. during the competency portion of the hearing, it stressed that during direct examination A.D. provided no testimony concerning the November 5, 2011, incident. Specifically, the Court highlighted that A.D. shook her head when the prosecutor asked whether she liked N.C. and whether she had ever been in a house or played games with him, she nonverbally identified N.C. by pointing at him, and she either shook her head in denial or provided no response at all when the prosecutor inquired several times whether N.C. ever had touched her before ultimately curling herself into a fetal position. As such, the Superior Court concluded the juvenile court improperly found A.D. to have been "available" for Sixth Amendment purposes.
The Superior Court first found A.D.'s out-of-court statements to the forensic interviewer were testimonial in nature because they had been procured at an interview arranged by police for the purpose of eliciting statement to be used to prosecute N.C.
The Commonwealth filed a petition for allowance of appeal, and this Court
In re N.C., ___ Pa. ___, 86 A.3d 863 (2014) (order).
An appellate court's standard of review of a trial court's evidentiary rulings which include rulings on the admission of hearsay is abuse of discretion. Commonwealth v. Walter, ___ Pa. ___, ___, 93 A.3d 442, 449 (2014) citing Commonwealth v. Delbridge, 578 Pa. 641, 653 n. 8, 855 A.2d 27, 34 n. 8 (2003). However, whether a defendant has been denied his right to confront a witness under the Confrontation Clause of the Sixth Amendment to the United States Constitution, made applicable to the States via the Fourteenth Amendment, Pointer v. Texas, 380 U.S. 400, 403, 85 S.Ct. 1065, 1067, 13 L.Ed.2d 923 (1965), is a question of law, for which our standard of review is de novo and our scope of review is plenary. Commonwealth v. Yohe, 621 Pa. 527, 542-45, 79 A.3d 520, 530-531 (2013) citing Commonwealth v. Cannon, 610 Pa. 494, 22 A.3d 210 (2011).
The Commonwealth observes that the Sixth Amendment right to confrontation, as expounded in Crawford, allows for the admission of testimonial hearsay statements at trial only when the witness is unavailable and there had been a prior opportunity for cross-examination of that witness or where the witness does testify. The Commonwealth stresses that when the juvenile court asked defense counsel if he wished to ask A.D. any questions at the adjudicatory hearing, counsel declined the opportunity to do so and contends that in light of defense counsel's perhaps strategic decision not to cross-examine A.D., N.C. cannot claim successfully that A.D. had been unavailable to testify. The Commonwealth posits that defense counsel had been able to elicit responses from A.D. during the competency stage of the hearing and may have been able to garner the same result had he made a sincere attempt to conduct cross-examination. Brief of Appellant at 14-15.
The Commonwealth further contends that N.C.'s claims evince a misapprehension of the right to confrontation guaranteed by the Sixth Amendment in that the dispositive concern thereunder is not the manner in which a witness performs during direct examination but rather whether the defendant was given the opportunity to conduct an effective cross-examination of that witness. In this regard, the Commonwealth suggests the High Court's decisions in Delaware v. Fensterer, 474 U.S. 15, 106 S.Ct. 292, 88 L.Ed.2d 15 (1985), and United States v. Owens, 484 U.S. 554, 108 S.Ct. 838, 98 L.Ed.2d 951 (1988), while not directly on point factually, stand for the proposition that a witness's evasiveness, refusal to cooperate, or lack of memory of certain events does not preclude a
The Commonwealth also cites nonbinding decisions including a published opinion from our Superior Court and caselaw from various other jurisdictions which it espouses lend support to its position. In Commonwealth v. Mollett, 5 A.3d 291 (Pa.Super.2010), the Superior Court considered whether a defendant who had shot and killed a police officer had been denied a meaningful opportunity to cross-examine a witness at trial where the witness, who had made a statement to police prior to trial, invoked his Fifth Amendment right against self-incrimination or stated he could not recall certain events. Id., 5 A.3d at 307-308. Noting that the witness's statement to police had been testimonial, the Superior Court stated that for it to have been admissible without violating the Confrontation Clause, the witness must have been unavailable to testify at trial and the defendant must have had an opportunity to cross-examine him. Finding the witness's concern with incriminating himself had not been valid and quoting Owens, supra, 484 U.S. at 559-560, 108 S.Ct. at 842-43, for the proposition that witnesses who claim they cannot remember events are not considered unavailable for cross-examination, the Superior Court found the witness had been available to testify and did, in fact, respond to questions at trial. Id., 5 A.3d at 308.
The Commonwealth also posits the New Jersey Supreme Court's case of State v. Nyhammer, 197 N.J. 383, 963 A.2d 316 (2009), cert. denied, 558 U.S. 831, 130 S.Ct. 65, 175 L.Ed.2d 48 (2009) is "strikingly similar" to the within matter. Brief of Appellant at 18. Therein, the court held a defendant could not assert he had been denied his right to confront a witness unless he first attempted to pose questions on cross-examination concerning the core accusations of the case where the eleven-year-old witness answered preliminary questions with "some ease," but the prosecutor obtained testimony concerning her forensic interview with "great difficulty." While defense counsel cross-examined the witness, she posed what the court termed a number of "safe questions," or "questions intended to elicit answers that would reveal only mundane information, rather than information that might damage or, even worse, implicate her client." Id. at 395, 963 A.2d at 323. The New Jersey Supreme Court refused to presume the child witness would have remained silent or unresponsive to questions defense counsel had never asked, and the excerpts from the trial testimony it reiterates in its opinion evince the child was able to provide several-word verbal responses to various
In reliance upon the aforementioned authority, the Commonwealth urges that A.D.'s behavior and responses to queries on direct examination are not dispositive and suggests that if defense counsel had truly desired to question A.D. about the allegations she made in her forensic interview, he could have requested another recess to allow A.D. to watch the recorded interview, which given a young child's fascination with viewing herself on video "would have been highly likely to capture A.D.'s attention, overcome her reticence and to evoke responses from her regarding the key allegations of the case." Brief of Appellant at 27. Thus, so says the Commonwealth, because defense counsel had an opportunity to cross-examine A.D. but forwent it, he cannot not now successfully claim his right to confrontation had been violated.
To the contrary, N.C. argues the High Court's rulings in Crawford and Owens require meaningful participation in the courtroom proceeding before a witness may be deemed available for cross-examination and that the Commonwealth's arguments stand for the proposition that the mere presence of a witness in the courtroom will satisfy a defendant's constitutional right to confront that witness. Specifically, N.C. stresses the Owens Court ruled even prior to the Crawford decision
N.C. further avers the caselaw upon which the Commonwealth relies is factually distinguishable from the case at bar and does not represent the accepted view in federal confrontation clause jurisprudence. Specifically, N.C. explains that the witness in Mollett, supra, was present and willingly answered questions under oath, though his responses had been unexpected. Brief of Appellee at 17. N.C. further asserts in Nyhammer, supra, the issue before the New Jersey Supreme Court had not been whether the an out-of-court statement had been admitted properly under the New Jersey Tender Years Hearsay Act, but rather whether the defendant had had an opportunity to cross-examine the young witness on the recorded statement. N.C. stresses the Nyhammer court's analysis seems to infer that had defense counsel objected to the admission of the recorded statement as violating Crawford, no core accusations would have been in the record upon which defense counsel could have cross-examined the young witness. Brief of Appellee at 18-19. N.C. also emphasizes that the "availability" determination the Illinois intermediate court had made in In re Brandon P., supra, was later rejected by its high court in In re Brandon, 2014 IL 116653, 10, 381 Ill.Dec. 501, 10 N.E.3d 910 (2014).
A review of the latter decision reveals the prosecutor asked approximately eighteen questions on direct examination to which the child responded primarily with head nods and single-word verbal responses. Without requesting a recess, the prosecutor abruptly stated no further questions would be forthcoming, and defense counsel declined to conduct cross-examination. At the close of the state's case in chief, defense counsel argued the child witness was unavailable to testify at trial, and, therefore, a detective could not testify as to statements she had made to him because those statements were testimonial under Crawford. As the defendant had had no prior opportunity to cross-examine the witness, defense counsel submitted that the admission of the detective's testimony
Upon review, the Illinois Supreme Court explained that the trial court, the assistant state's attorney, and respondent's counsel all agreed at trial that the child witness had been unavailable, but the appellate court raised the issue of her availability sua sponte and rejected that concession. In finding the intermediate court had erred, the Illinois Supreme Court determined the record before it revealed the child had been unavailable to testify at trial "based upon both her youth and fear[,]" and remarked that "M.J. could barely answer the trial court's preliminary questions, and then completely froze when the State attempted to begin its direct examination of her." In re Brandon P., at 511, 10 N.E.3d at 920.
N.C. concludes the Commonwealth's suggestion that defense counsel could have done what it could not — coax A.D. into meaningful participation at the adjudicatory hearing — by showing her the forensic interview during a recess is unfounded, unsupported by any caselaw to which it cites, and would have required defense counsel to have first introduced and utilized the very testimonial out-of-court statements which it has always maintained were inadmissible in the proceeding. Brief of Appellee at 15. N.C. reasons that defense counsel's foregoing of an attempt to cross-examine A.D. under the circumstances herein constituted an acknowledgement of the fact that an additional effort to elicit responses from her would have "amounted to an exercise in absurdity" and may have subjected the child to further trauma. Brief of Appellee at 16.
The Pennsylvania Association of Criminal Defense Lawyers ("PACDL") filed an amicus curiae brief on behalf of A.D. wherein it echoes N.C.'s assertion that the decisional caselaw upon which the Commonwealth relies in its brief either has been reversed or ignores telling factual differences. PACDL distinguishes the witnesses in those cases, who were admittedly reserved and taciturn on direct examination but answered at least some questions on cross-examination, from A.D. who "froze completely — even physically" during direct examination prompting both the juvenile court and the prosecutor to state explicitly on the record that further questioning by either side would render no response from A.D. Amicus Brief at 5-6. PACDL emphasizes that, as a policy matter, "[t]he Commonwealth's proposed rule would encourage, and indeed require, defense counsel to engage in questioning that, while evidently futile, would nevertheless threaten to exacerbate the possible trauma to the child witness. The result would be the worst of both worlds — questioning that may do actual harm to the witness while providing no benefit to the defense and no assistance to the factfinder." Amicus Brief at 11. PACDL urges that were this Court to affirm the Superior Court, we would not necessarily negatively affect future prosecutions that involve child victims of sexual assaults because of the continuing presence of various safeguards in every courtroom designed to ensure the comfort and well-being of child witnesses. Amicus Brief at 4.
It is undisputed that A.D.'s video-taped, forensic interview conducted at Western Pennsylvania Cares was testimonial under Crawford and its progeny; thus, the only issue before this Court is whether the Superior Court erred in determining its
While the right to confrontation is a fundamental one, this Court has explained it is not absolute. See Commonwealth v. Wholaver, 605 Pa. 325, 989 A.2d 883 (2010) cert. denied ___ U.S. ___, 131 S.Ct. 332, 178 L.Ed.2d 216 (2010) (discussing generally the "forfeiture by wrongdoing" exception to the hearsay rule and the Confrontation Clause and upholding a trial court's admission of two murder victims' preliminary hearing testimony at defendant's trial). In addition, when determining whether a defendant has a right to present expert testimony to rebut the Commonwealth's introduction of evidence in support of its motion pursuant to 42 Pa.C.S.A. § 5985 to allow a child witness to testify in a room outside of the courtroom, this Court recently explained:
Commonwealth v. Williams, ___ Pa. ___, 84 A.3d 680, 684 (2014).
With this in mind, we turn to the salient determination of whether A.D. was available for cross-examination at N.C.'s adjudicatory hearing. A.D. was four years of age when she took the witness stand, and the hearing commenced with questions
Notwithstanding, as the aforementioned excerpts from the adjudicatory hearing illustrate and a review of the record in its totality evinces, A.D. was unable to provide direct examination testimony regarding any contact N.C. might have had with her. While the Commonwealth maintains that A.D. "made the
Moreover, it is difficult to harmonize the juvenile court's ultimate determination at the adjudicatory hearing that A.D. was available for cross-examination under the Sixth Amendment with its unequivocal statement on the record earlier that "she's not going to testify" and its observation she did not testify on the substantive issues of the case. N.T. Hearing, 5/10/12, at 46, 79. Its contemporaneous courtroom observations also belie the juvenile court's characterization of A.D.'s behavior as merely "less than forthcoming," in its opinion pursuant to Pa.R.A.P. 1925(a). However, a review of its explanation for its reasoning on the record suggests the juvenile court conflated the federal constitutional challenge that was before it — whether N.C.'s right to confrontation under the Confrontation Clause of the Sixth Amendment had been satisfied — with the separate issues of A.D.'s competency to testify at the adjudicatory hearing under Pa.R.E. 601 and of whether the forensic interview was admissible under the TYHA.
We cannot find the confrontation element of Crawford was met herein, for Crawford and its progeny require an opportunity for effective cross-examination which N.C. simply did not have. Contrary to the juvenile court's analysis, defense counsel's indication he had no questions on cross-examination cannot be deemed to have been a strategic choice, for any attempt on his part to continue to question this young witness whose fear and fragility were evident during direct examination and whose last expression before melding herself into a fetal position on her grandmother's lap was a desire to go home would have been, at best, pro forma. In addition, A.D. did not act merely with
A.D.'s inability to speak and physical recoiling simply is not of the ilk of the witnesses in the caselaw to which the Commonwealth cites who either could not remember certain details or refused to cooperate with counsel. As such, the Superior Court correctly determined that the juvenile court improperly deemed A.D. to have been available for cross-examination and that N.C.'s right to confront her guaranteed under the Confrontation Clause of the Sixth Amendment to the United States Constitution had been violated when it admitted her recorded statements, which were testimonial in nature, into evidence during N.C.'s adjudicatory hearing without N.C.'s having had a prior opportunity to cross-examine her.
The decision of the Superior Court is Affirmed.
Former Justice McCAFFERY did not participate in the decision of this case.
Chief Justice CASTILLE and Justices SAYLOR, EAKIN, BAER and TODD join the opinion.
42 Pa.C.S.A. §§ 5985.1(a), (a.1). In addition, Rule 802 of the Pennsylvania Rules of Evidence states: "Hearsay is not admissible except as provided by these rules, by other rules prescribed by the Pennsylvania Supreme Court, or by statute." Pa.R.E. 802. The issue of whether or not the Commonwealth met its statutory burden under the TYHA is not before us.
Pa.R.E. 601(b).