Court Opinion

ID: 9560251
Source: CourtListenerOpinion
Date Created: 2023-08-21 17:45:58.838458+00
Date Added: 2024-06-11T09:12:31.896916
License: Public Domain

Dore, J.
(dissenting) — Tony Escoto was compelled to participate in a psychological hearing designed to increase the amount of time he would spend in detention. The court did not allow him to remain silent, and the court then used the results of the evaluation as a basis of a "manifest injustice” finding that had the effect of increasing his detention sentence from a maximum of 28 to 80 weeks. I believe this compelled psychological investigation violated Tony's Fifth and Fourteenth Amendment rights against self-incrimination, and that his sentence of 80 weeks should be reversed and the case remanded for new sentencing.
Facts
Only by glossing over the facts and completely ignoring an issue raised on appeal can the majority reach the result it does. I therefore begin with a more complete recitation of the events leading up to this appeal. Tony Escoto is 13 years old. During the previous 2 years Tony has been convicted of eight criminal offenses. Recently he pleaded or was found guilty of malicious mischief, three counts of simple assault, and second degree theft. He received a 30-day *12sentence for the malicious mischief conviction and a 90-day sentence for the assault convictions. Pursuant to the Juvenile Justice Act of 1977, the standard range for the theft conviction would have been between 21 and 28 weeks.
The trial court, however, despite a voluminous social history describing Tony's behavior, decided that before pronouncing sentence, it would be useful to have a psychologist evaluate Tony and recommend what would be the best method of dealing with his criminal behavior. The court ordered Tony to participate in such an evaluation despite repeated objections by Tony's counsel that the evaluation violated Tony's privilege to be free from self-incrimination. As a result of statements made by Tony during the course of the evaluation, the psychologist recommended that the trial court sentence Tony to 2 years' detention by making a manifest injustice finding pursuant to RCW 13.40.160. The trial court agreed with the psychologist and, basing its findings explicitly on the psychological evaluation, imposed a sentence of 80 weeks.
Tony appealed the manifest injustice finding to the appellate court, which certified the case to us. The King County Prosecutor, who originally charged Tony with the various offenses and supported a manifest injustice finding, has abandoned that position and now argues, with Tony, that the compelled participation in the psychological evaluation violated Tony's privilege against self-incrimination. The Pierce County Prosecutor, a stranger to these proceedings, has filed an amicus curiae brief and argues for affirmance of the sentence.
Constitutional Protection Against Self-Incrimination
The United States Supreme Court has held that due process protections apply in juvenile criminal cases. In re Gault, 387 U.S. 1, 18 L. Ed. 2d 527, 87 S. Ct. 1428 (1967). The due process rights include the right to have notice of the charges, to have counsel and to confront the witnesses. In re Gault, supra; In re Winship, 397 U.S. 358, 25 L. Ed. *132d 368, 90 S. Ct. 1068 (1970). Nevertheless, the majority concludes that Fifth and Fourteenth Amendment due process guaranties do not extend to the situation before us, when a juvenile is compelled to participate in a psychological hearing and the results of that hearing are used to treble his detention sentence.
I note a conspicuous lack of authority for the majority's contention. The majority distinguishes — incorrectly in my opinion — the Supreme Court decision in Estelle v. Smith, 451 U.S. 454, 68 L. Ed. 2d 359, 101 S. Ct. 1866 (1981) and our decision in State v. Ammons, 105 Wn.2d 175, 713 P.2d 719, 718 P.2d 796 (1986) which offer Fifth and Fourteenth Amendment protections in similar situations. Then, instead of pointing to legal authority supporting its contention that the privilege against self-incrimination does not apply, the majority implies that the need to gather thorough information about a juvenile to assist in rehabilitation justifies the presentencing evaluation. The majority is correct that one of the primary purposes of the Juvenile Justice Act of 1977 is to rehabilitate the juvenile. E.g., State v. Rice, 98 Wn.2d 384, 393, 655 P.2d 1145 (1982). However, the majority is incorrect in its assumption that gathering information about a juvenile while at the same time violating the juvenile's constitutional rights would in fact aid in such rehabilitation.
In In re Gault, supra, the United States Supreme Court at length criticized the attitude that due process concerns should not apply in juvenile proceedings:
Juvenile Court history has again demonstrated that unbridled discretion, however benevolently motivated, is frequently a poor substitute for principle and procedure. In 1937, Dean Pound wrote: "The powers of the Star Chamber were a trifle in comparison with those of our juvenile courts. ..." The absence of substantive standards has not necessarily meant that children receive careful, compassionate, individualized treatment. The absence of procedural rules based upon constitutional principle has not always produced fair, efficient, and effective procedures. Departures from established princi*14pies of due process have frequently resulted not in enlightened procedure, but in arbitrariness.
(Footnote omitted.) Gault, at 18-19. Juvenile proceedings must not violate due process rights, such as the privilege against self-incrimination.
Furthermore, recent studies have indicated that the informal procedures designed to rehabilitate the juvenile at a cost of denying his or her due process rights are misguided. One study, conducted in the state of Washington, suggests that the use of a formal "legal due process" juvenile system made the juveniles believe the system was fair, and consequently the offender was "more likely to become rehabilitated because of his perception of the legitimacy of the rule of law ..." Comment, Juvenile Court: The Legal Process as a Rehabilitative Tool, 51 Wash. L. Rev. 697, 701 (1976).
A similar belief was echoed by the President's Commission on Law Enforcement and Administration of Justice in a task force report on juvenile delinquency, which stated:
In theory the court's operations could justifiably be informal, . . . because it would act only in the best interest of the child. In fact it frequently does nothing more nor less than deprive a child of liberty without due process of law — knowing not what else to do and needing, whether admittedly or not, to act in the community's interest even more imperatively than the child's. In theory it was to exercise its protective powers to bring an errant child back into the fold. In fact there is increasing reason to believe that its intervention reinforces the juvenile's unlawful impulses.
(Italics mine.) Recent Development, 47 Wash. L. Rev. 183, 184 (1971). Tony's compelled psychological evaluation violates his due process rights guaranteed by the Fourteenth Amendment, and cannot be justified by a misguided belief that such a denial of constitutional protection is for Tony's own good.
Furthermore, the majority fails in trying to distinguish this case from the decisions in Estelle and Ammons, in which the privilege against self-incrimination did protect *15individuals in criminal sentencing phases from providing information which would increase their sentences. In Estelle the Supreme Court considered whether due process safeguards precluded a psychiatrist from testifying against the defendant at the penalty phase of a death penalty case. The psychiatrist had interviewed the defendant prior to trial in order to determine the defendant's competency to stand trial. Although the defendant had not knowingly waived his Miranda rights at the time of the interview, the trial court nevertheless allowed the psychiatrist to testify that, on the basis of his interview with the defendant, he believed the defendant would likely commit other crimes in the future. The jury sentenced the defendant to death. The Supreme Court reversed, ruling that the right against self-incrimination
does not turn upon the type of proceeding in which its protection is invoked, but upon the nature of the statement or admission and the exposure which it invites." In re Gault, 387 U. S. 1, 49 (1967) [due process protections apply to juvenile cases].
(Italics mine.) Estelle, at 462. It did not matter that the statements the defendant made were not used to determine his guilt; their use, however, to increase his sentence violated his due process rights.
The majority seeks to distinguish Estelle because it was a death penalty case, and relies on a footnote in which the Supreme Court allowed the possibility that some types of interviews did not involve Fifth Amendment protections and therefore did not require a knowing, intelligent and voluntary waiver of Miranda warnings. I see no logical reason for distorting such a footnote beyond all reasonable limits. The clear thrust of Estelle was that the Fifth Amendment protects an individual from being compelled to testify against himself if the penalty which the individual will suffer will increase as a result of the testimony. Estelle, at 468.
Furthermore, this court's decision in State v. Ammons, supra, also provides clear guidance which the majority *16ignores when deciding this case. In Ammons we held that the privilege against self-incrimination applied at the sentencing stage of a criminal trial. We ruled that a defendant could not be required to tell the court his or her criminal history during the sentencing phase as such history would have the effect of increasing the sentence the defendant would serve. "[T]he State must 'produce the evidence against [the defendant] by the independent labor of its officers, not by the simple, cruel expedient of forcing it from his own lips.""' Ammons, at 184-85, quoting Estelle, at 462.
The majority, however, distinguishes Ammons on the grounds that that case involved adult offenders being sentenced under specific provisions of the sentencing reform act and this case involved a juvenile offender. I do not see why such a distinction matters. That part of the Ammons decision was based on our belief that the Fifth and Fourteenth Amendments protect an individual from the additional penalty which would result from his or her forced testimony. An identical situation exists here, when the juvenile, by virtue of his compelled testimony, had his detention sentence trebled.
Furthermore, the Legislature granted to juveniles the same protection against self-incrimination as adults. RCW 13.40.140(8) provides, in part, that "[a] juvenile shall be accorded the same privilege against self-incrimination as an adult." If adults need not provide information which could only enhance their sentences after trial because of their Fifth Amendment rights, then by statute, neither must juveniles.
Nevertheless, the majority countenances disparate treatment of juvenile and adult privileges against self-incrimination. I believe this holding is directly contrary to statute, violates the Fifth and Fourteenth Amendments, and is contrary to sound public policy. I would reverse and remand for resentencing with no weight whatsoever to be given the psychological hearing.
*17Sixth Amendment Protections
Even more egregious is the method in which the majority suggests that Tony waived his right to be free from self-incrimination. The majority can only make a colorable waiver argument by mischaracterizing the facts and then completely ignoring an issue raised on appeal, briefed before this court, and presented by both sides during oral argument.
The majority suggests that Tony, by voluntarily participating in the psychological evaluation, waived whatever Fifth and Fourteenth Amendment protections which he may have had. Majority, at 6. At the risk of being repetitive, I will quote from the same record the majority cites, only this time I will not omit that part of the record that indicates that Tony was not aware he had the right to remain silent, and that Tony's counsel was not in a position to recommend to Tony not to participate without a serious danger of being found in contempt of court. After Tony's counsel had objected to the evaluation on Fifth Amendment grounds, and the court had nevertheless ordered the evaluation, the following exchange took place:
Mr. DeBruler: Your Honor, for the record I am left somewhat in doubt as to how to proceed in this: my advice to my client, I want to make that clear to the Court so that we don't waste time outside of court, . . . My advice to my client would be under the Fifth Amendment to refuse to participate in any evaluation whatsoever.
The Court: Well, if that is done then the State can let me know about it, and make a motion if they want, or whatever, but I am not confronted with that right now, Mr. DeBruler, so I am not going to make a ruling on it. The ruling now is the Court is ordering an evaluation, and I believe it was also at the request of the probation counselor so that if there is a refusal to participate, we will simply have to deal with that at the time, I am not making any ruling on it right now. Thank you, counsel.
Mr. DeBruler: And also I would like to state for the record my concern of course is being held in contempt or *18having my client being held in contempt for having refused to comply with a court order.
Report of Proceedings, at 6-7 (Oct. 25, 1985).
While it is clear that a waiver of due process rights may occur by implication in a juvenile setting, State v. Ellison, 36 Wn. App. 564, 676 P.2d 531, review denied, 101 Wn.2d 1010 (1984), I am at a loss to see how anyone looking at the entire record of proceedings could rule that, considering the totality of the circumstances, such a waiver occurred. That Tony's counsel chose not to participate in the psychological hearing or to advise his client to remain silent is understandable given the decision of the trial judge to proceed with a psychological investigation regardless of the effect on Tony's due process rights. The majority's conclusion that Tony or his counsel waived any such rights is simply not supported by the record.
Even more troubling, however, is the majority's total disregard of another issue presented to this court. Tony has argued that his Sixth Amendment right to effective assistance of counsel was violated because his attorney did not advise him to remain silent. While I would not reach this issue because I believe no waiver existed and Tony's Fifth Amendment right was violated, the majority's holding on the waiver issue requires it to discuss whether or not Tony had received effective assistance of counsel. Its failure to do so is inexcusable.
The United States and Washington State Constitutions guarantee the right to effective assistance of counsel. U.S. Const. amend. 6; Const. art. 1, § 22 (amend. 10). This right to effective assistance of counsel exists at every stage of the proceedings and is equally applicable to juveniles as well as adults. In re Gault, 387 U.S. 1, 18 L. Ed. 2d 527, 87 S. Ct. 1428 (1967). In order to establish ineffectiveness of counsel, Tony must establish that his counsel's assistance fell below an objective standard of reasonableness and this fact prejudiced the defense. Strickland v. Washington, 466 U.S. 668, 80 L. Ed. 2d 674, 104 S. Ct. 2052 (1984); State v. Jury, 19 Wn. App. 256, 576 P.2d 1302 (1978). Assuming, for the sake *19of argument, that the majority is correct and that Tony waived his right against self-incrimination, then it is clear that Tony did not have effective assistance of counsel.
Tony's attorney was obviously concerned about the effect the psychological investigation would have on sentencing. Tony had committed numerous nonviolent offenses, and it was apparent that the purpose of this evaluation was to enhance Tony's sentence. Yet, after the objections at the hearing, Tony's counsel did not attempt to prevent the evaluation or attend the evaluation, nor did counsel recommend that Tony remain silent. Counsel simply absented himself from further participation in the evaluation process. If Tony's conduct is seen as a waiver of his Fifth and Fourteenth Amendment rights, then clearly his counsel should have done more, and should have clearly and unequivocally communicated to Tony that he could have remained silent.
That Tony's counsel did not can only mean that one of two alternatives occurred. First, the trial court's conduct coerced Tony into participating and Tony's counsel into relenting, in which case no waiver occurred. Alternatively, Tony's counsel should have attempted to prevent this waiver by advising Tony not to participate in the psychological evaluation. It is either one or the other, and in either event Tony's constitutional rights were impermissibly violated.
Conclusion
I am deeply disturbed by the way in which the majority disposes of this case. Only by ignoring facts and leaving out a constitutional issue properly raised and argued on appeal can the majority reach the result which it does on the question of whether Tony's compelled participation in the psychological evaluation was constitutional. I do not see how such participation, under a thinly veiled threat that failure to cooperate would constitute contempt of court, is a knowing, intelligent and voluntary waiver of a constitutional right. However if the conduct did constitute a waiver, *20then Tony's counsel was under a duty to advise his client, which he clearly failed to do. This failure denied Tony effective assistance of counsel.
Furthermore, Tony had the right to remain silent and not participate in an evaluation which was used to treble his detention sentence. As the United States Supreme Court stated, "Just as the Fifth Amendment prevents a criminal defendant from being made '"the deluded instrument of his own conviction,"' it protects him as well from being made the 'deluded instrument' of his own execution." (Citation omitted.) Estelle, at 462. These same concerns are relevant here and prevent us from allowing the trial judge to compel an evaluation which violates Tony's privilege against self-incrimination. Tony may not be deluded into providing the evidence which would treble his detention sentence.
I would remand to the trial court for resentencing of Anthony J. Escoto with the instruction that the entire psychological evaluation be prohibited from being used.
Pearson, C.J., and Utter and Goodloe, JJ., concur with Dore, J.