Court Opinion

ID: 9560250
Source: CourtListenerOpinion
Date Created: 2023-08-21 17:45:58.834235+00
Date Added: 2024-06-11T09:12:31.876527
License: Public Domain

Durham, J.
(concurring) — I agree with the majority that the trial court's sentence should be affirmed, but on a more limited basis. Escoto contends that the trial court's use of the results of the psychological evaluation as a basis for a "manifest injustice" finding violated his privilege against self-incrimination under the Fifth and Fourteenth Amendments. The threshold question that must be considered is if the constitutional privilege against self-incrimination applies to this case.
No United States Supreme Court case squarely pertains to the situation before us. In In re Gault, 387 U.S. 1, 18 L. Ed. 2d 527, 87 S. Ct. 1428 (1967), the Court held that certain due process guaranties, including the privilege against self-incrimination, applied to juvenile delinquency proceedings. The Court clearly stated, however, that its holding was limited to the adjudicatory stage. In re Gault, at 13. It observed that its holding did not necessarily apply to the post-adjudicative or dispositional process, because the problems of post-adjudication disposition of juveniles "are unique to the juvenile process". In re Gault, at 31 n.48.
Escoto claims that Estelle v. Smith, 451 U.S. 454, 68 L. Ed. 2d 359, 101 S. Ct. 1866 (1981) supports his position. In Estelle, an adult defendant had been given a pretrial psychiatric examination for the purpose of determining his competency to stand trial. The Court held that the State's subsequent use of the examining psychiatrist's testimony to establish the defendant's future dangerousness at the penalty phase of his capital murder trial violated his privilege against self-incrimination, because he was not advised before the examination that he had a right to remain silent and that any statement he made could be used against him at a sentencing proceeding. The Court stated that '"the availability of the [Fifth Amendment] privilege does not turn upon the type of proceeding in which its protection is *9invoked, but upon the nature of the statement or admission and the exposure which it invites.'" Estelle v. Smith, supra at 462 (quoting In re Gault, at 49). It then observed that in this case, "the ultimate penalty of death was a potential consequence" of defendant's statements to the psychiatrist. Estelle v. Smith, supra at 462. It reasoned that, "[g]iven the gravity of the decision to be made at the penalty phase," the privilege against self-incrimination applied. Estelle v. Smith, supra at 463. However, the Court further stated: "Of course, we do not hold that the same Fifth Amendment concerns are necessarily presented by all types of interviews and examinations that might be ordered or relied upon to inform a sentencing determination." Estelle v. Smith, supra at 469 n.13.
A number of significant elements distinguish this case from Estelle. The factor most critical to the Court's decision in Estelle was that the use of the defendant's statements in the penalty phase of the proceedings exposed the defendant to the imposition of the death penalty. The consequences of Escoto's statements to his psychologist were not nearly as grave or extreme, because his case does not involve the death penalty.
Furthermore, the disposition of Escoto within the juvenile justice system was for different purposes than the sentencing of an adult offender.1 This court has recognized that the purposes underlying the juvenile justice system, and the procedures for effecting those purposes, differ significantly from those of the adult criminal justice system, particularly with regard to sentencing. State v. Rice, 98 Wn.2d 384, 392, 655 P.2d 1145 (1982). In the Juvenile Jus*10tice Act of 1977, RCW 13.40, the Legislature stated that its intent was to establish a system having primary responsibility for, being accountable for, and responding to the needs of youthful offenders, and further, to hold youth accountable for their offenses. RCW 13.40.010(2). On the other hand, the Sentencing Reform Act of 1981, RCW 9.94A, does not state a policy of responding to the needs of offenders. Thus, whereas punishment is the chief purpose of the adult sentencing system, the disposition of juveniles under the Juvenile Justice Act of 1977 is guided by the dual purposes of rehabilitation and punishment. State v. Rice, supra at 392-94. See also In re Smiley, 96 Wn.2d 950, 953, 640 P.2d 7 (1982). The Legislature clearly intended that the court should consider both of these purposes in making a finding of manifest injustice in juvenile proceedings. RCW 13.40.020(12) defines "manifest injustice" as "a disposition that would either impose an excessive penalty on the juvenile or would impose a serious, and clear danger to society in light of the purposes of this chapter". (Italics mine.)
The rehabilitative purpose of dispositions under the juvenile justice system not only distinguishes Escoto's case from those involving sentencing of adult offenders, but provides a compelling reason for permitting the trial court to use the results of a psychological evaluation in making a manifest injustice finding. A psychologist's report such as the one used in this case makes a substantial contribution to the court's understanding of the child's need and capacity for rehabilitation. If the court is precluded from considering such information in determining the disposition of a juvenile, the resulting disposition will not adequately effectuate its intended purpose of rehabilitation.
It is essential to consider the applicability of the privilege against self-incrimination to the circumstances of this case in light of the unique rehabilitative purpose of the disposition of juveniles. Because it is crucial for the court to have access to information obtained from the psychological evaluation in order to fulfill the purpose of rehabilitation when making a manifest injustice finding in juvenile proceedings, *11I believe that less stringent application of the privilege against self-incrimination is warranted under these circumstances than in an adult setting.2
In summary, I would hold that the privilege against self-incrimination is not implicated when the court uses the results of a psychological evaluation as a basis for a finding of manifest injustice in juvenile proceedings. Because of my conclusion on this issue, I would not reach the issues raised concerning waiver of the privilege against self-incrimination and the Sixth Amendment.

Our consideration of the unique character and purpose of juvenile proceedings is not precluded by the statement in Gault that "the availability of the privilege does not turn upon the type of proceeding in which its protection is invoked ..." In re Gault, 387 U.S. 1, 49, 18 L. Ed. 2d 527, 87 S. Ct. 1428 (1967). The Court in Gault made this statement in the course of explaining that the application of the privilege against self-incrimination is not restricted solely to criminal proceedings, but also may extend to civil or administrative proceedings, if the statement is or may be inculpatory. In re Gault, at 49.

It could be argued that State v. Whittington, 27 Wn. App. 422, 618 P.2d 121 (1980) demands a contrary result. I believe that Whittington should be limited to its facts and that State v. Beard, 39 Wn. App. 601, 694 P.2d 692, review denied, 103 Wn.2d 1032 (1985) suggests a more reasonable approach to analyzing constitutional issues surrounding manifest injustice proceedings under the Juvenile Justice Act of 1977. See State v. Beard, supra at 606.