Appellant David Parks was found guilty by a jury of the crimes of rape in the third degree and endangering the welfare of a child. The Appellate Division affirmed the judgment of conviction, without opinion. On appeal to our court, appellant argues that the petit jury which convicted him was unconstitutionally selected and that the trial court erred in permitting the mentally retarded complainant to testify under oath. An important corollary issue is whether, in assessing the complainant’s testimony, the jury was properly permitted to consider the testimony of her school teacher as to the nature and degree of her mental impairment. We conclude that, under the circumstances presented, the right to trial by jury was not infringed and that acceptance of both complainant’s testimony, and that of her teacher, was not an abuse of discretion. We would, therefore, affirm the order of the Appellate Division.
On June 30, 1974, the complaining witness, then 16 years old and under the statutory age of consent, was admitted to a Long Island hospital. She had been hemorrhaging for a four-day period in the aftermath of an incomplete abortion. While in the hospital, the complainant gave a statement to a policewoman. Based on the information thus received, two Nassau County police detectives went to the home of David Parks. Defendant was informed that the police were conducting an investigation and he voluntarily agreed to accompany them to the station house. Defendant was brought into a squad room and given the now standard preinterrogation warnings. (Miranda v Arizona, 384 US 436.) After being advised of the nature of the investigation, he denied having had intercourse with the complainant. The officers then explained to him that they had a complaint that they would present to the Grand Jury, that it was possible that he would be indicted for rape, that if defendant gave the police a statement he would be arrested but that he would have an opportunity to explain his version of the events to the Grand Jury. Defendant replied that he knew that the girl would get him into trouble and,
In the statement, defendant set forth his age (43), his place of residence, his telephone number and his place of employment. After acknowledging that he had been advised of his various constitutional rights, he admitted committing three separate acts of intercourse with the complainant between December, 1973 and March, 1974. Defendant was employed by a bus companjr and knew the complainant as one of the children he drove to a special work program conducted by the Board of Cooperative Educational Services (BOCES). In the statement, defendant maintained that each of the acts of intercourse resulted from the persistent sexual advances of the complainaing witness.
On August 16, 1974, defendant voluntarily appeared before the Nassau County Grand Jury. He testified that he had intercourse with complainant on two occasions and gave detailed accounts of both incidents. The import of this testimony was that the sexual contact was originated by the complaining witness and her advances eventually weakened his own moral inhibitions. Defendant was indicted on two counts of rape in the third degree and two counts of endangering the welfare of a child. After conducting a pretrial hearing, the trial court found that the typewritten statement given by defendant to the police had been voluntarily made and a motion to suppress the statement was denied.
The trial was scheduled to commence on January 28, 1975. On that day, counsel for defendant made an oral motion to dismiss the jury panel on the ground that it was selected in violation of the defendant’s constitutional rights. Counsel argued that former subdivision 7 of section 599 of the Judiciary Law, granting to women an automatic exemption from jury service, was in direct conflict with Taylor v Louisiana (419 US 522), decided by the Supreme Court of the United States seven days earlier. The court denied the motion, relying upon a memorandum it had received from the Administrative Judge. In a portion of this memorandum, read into the record without objection, it was stated that: "In Nassau, according to figures supplied by the Commissioner of Jurors, 33 per cent of those available to be selected to serve and
After a luncheon recess, the selection of a trial jury commenced. In accordance with standard New York procedure (see CPL 270.05, 270.15), 12 prospective jurors were summoned to the jury box. Of these 12, 5 were female. Three were challenged peremptorily by the defense. As jury selection proceeded, the defense challenged three more women peremptorily. Ultimately, a jury of nine men and three women was selected.1
At the trial, the prosecution called, as its first witness, a teacher who had known the complaining witness for approximately five and a half years and who had taught the complainant for the past two and a half years. Over objection, the teacher testified that the complainant had an intelligence quotient of 73 and, academically, was functioning on a fifth grade level. Although the complainant had a chronological age of 16, her mental development approximated that of a 12- or 13-year-old child. The teacher also stated, in response to a question regarding the type of personality the complainant had, that the complainant "is very quiet in classes, a loner, she doesn’t bother with the other students very much. Doesn’t have very many friends in class or at school.”
After the completion of the teacher’s testimony, the People called the complainant to the witness stand. Based upon the testimony indicating that the complainant was mentally retarded, the court, at the request of defense counsel, conducted a hearing, out of the presence of the jury, to ascertain whether the complainant was competent to testify. In response to questions from the court, the complainant twice stated that she knew what it means to tell the truth and promised that, if she was sworn to tell the truth, she would tell the truth as to what had happened. On the other hand,
After being sworn, the complainant testified that she first met the defendant on the school bus and became friendly with him. She stated that, on two occasions in the winter, defendant wanted to have intercourse with her and did have intercourse with her. The record reflects that there were long pauses between several of the questions by the prosecutor and the response by the complaining witness. On cross-examination, the witness recalled testifying truthfully before the Grand Jury and stated that she knew the difference between the truth and a lie, although she was unable to state the difference. She maintained that she had told the truth on her direct examination, but admitted at one point that she did not recall everything that had happened between herself and David Parks. Although she stated that she knew what was meant by the terms "rape” and "intercourse”, she was unable to provide an explanation. Later in her testimony, she said that she did not know the meaning of the term intercourse and that she first heard the word used by the policewoman who talked with her in the hospital. At the conclusion of her testimony, she was unable to state what the term rape means.
The balance of the People’s case consisted of testimony by complainant’s mother as to complainant’s date of birth and age, the testimony of a police detective regarding the typewritten statement, and the reading of defendant’s Grand Jury testimony. The defendant did not offer any witnesses or evidence. The jury found the defendant guilty on all counts of the indictment.
At the threshold, there is a question as to whether defendant’s challenge to the jury panel was properly presented to the trial court and, thereby, preserved for appellate review. GPL 270.10 provides that a challenge to a jury panel must be made "in writing” before selection of the jury proceeds. We have recently held that an oral motion made before selection of the jury was ineffective to preserve a challenge to the
We believe that, under the unique circumstances of this case, the trial court had the authority to “waive” the formality of a writing and that the issue of defendant’s challenge to the jury panel was preserved for appellate review. It should be recognized that, generally, the absence of a written challenge presents a serious difficulty. (See People v Petrea, 30 Hun 98, 103, affd 92 NY 128.) The evident purpose of the writing requirement is to ensure that the District Attorney and the court have sufficient time to prepare for hearing to resolve disputed issues of fact and law. For this reason, the written challenge must specify “the facts constituting the ground of challenge.” (CPL 270.10, subd 2.) The need for a written notice is obviated where the necessary parties have been apprised of the specific grounds of objection well in advance of jury selection. That the court was expecting defendant’s challenge to the jury panel on the ground that women were excluded from participation is established by the fact that the court immediately produced a memorandum on this topic from the Administrative Judge. Most notably, the prosecution did not object to consideration of the objection on its merits and the People do not now argue that the issue was not preserved for our review. The requirement of a written detailed notice is designed to prevent the unfair surprise inherent in springing an oral motion upon the prosecutor and the court on the eve of jury selection. Where it appears that the parties did have advance notice and there is no claim of surprise or prejudice, the requirement of a written notice becomes a formality that may be waived by the court, in its discretion.
Defendant bases his challenge to the jury panel upon the assertion that the procedure which governed the drawing of the panel conflicts with the Supreme Court’s decision in
While a criminal defendant in the State courts has a constitutional right, by virtue of the Sixth and Fourteenth Amendments to the Federal Constitution, to be tried by a jury that is truly representative of the community (Peters v Kiff, 407 US 493, 500; Duncan v Louisiana, 391 US 145), the States have a wide discretion in formulating procedures for the selection of juries, provided that the source from which juries are derived "reasonably reflects a cross-section of the population suitable in character and intelligence for that civic duty.” (Taylor v Louisiana, 419 US, at p 528; Brown v Allen, 344 US 443, 474.) Our democratic heritage, as well as the need for confidence in the fairness of the criminal justice system, requires that all segments of the community participate in the administration of justice. Hence, the deliberate exclusion of a particular community group or class of persons from jury service violates the constitutional right to a jury trial. (Taylor v Louisiana, 419 US 522, 530, supra.)
In Taylor, the Supreme Court noted that while Louisiana law did not disqualify women from jury service, "in operation its conceded systematic impact is that only a very few women, grossly disproportionate to the number of eligible women in the community, are called for jury service.” (419 US, at p 525.) The court concluded that "[i]f the fair-cross-section rule is to govern the selection of juries, as we have concluded it must, women cannot be systematically excluded from jury panels from which petit juries are drawn.” (419 US, at p 533.) The court stated that, given the view that the Sixth Amendment entitles the criminal defendant to a jury drawn from panels representative of the community, "we think it is no longer tenable to hold that women as a class may be excluded or given automatic exemptions based solely on sex if the consequence is that criminal jury venires are almost totally male.” (419 US, at p 537.)
Applying these principles to the case before us, we conclude that the defendant has not established that the exemption accorded women under then operative provisions of New York law resulted in a systematic exclusion of women from jury service in Nassau County. The appropriate test, as we view it, is not whether the governing statute is on its face unconstitutional, but rather whether the application of the statute led to an impermissible result—i.e., the virtually exclusive male composition of juries. Thus, it is unnecessary to decide
The undisputed proof in this case established that, generally, women constituted at least 33% of the prospective jurors in Nassau County. Even granted the fact that women constitute a majority of the population in Nassau County and that a number, therefore, did exercise the exemption accorded by statute, a very substantial number of women did participate on county jury panels. (See People v Sibila, 81 Misc 2d 80.)2 Moreover, in this particular case, 5 of the original 12 prospective jurors were female and, ultimately, 3 women sat on the petit jury. Under these circumstances, it is impossible to hold that women were systematically excluded from juries in Nassau County.
To conclude our discussion of this issue, we note that Taylor claims have been presented to various courts throughout the State. Almost uniformly it has been found that despite the statutory exemption for women, women have not been systematically excluded from jury service. (People v Sibila, 81 Misc
We turn next to consideration of defendant’s contention that the complainant, a 16-year-old mentally retarded girl, was improperly permitted to testify under oath. As it stood at the time this case was tried, the Criminal Procedure Law provided that any person may be a witness in a criminal proceeding, unless the court finds that, as a result of mental disease or infancy, the person does not possess sufficient intelligence or capacity to justify the reception of the testimony. (CPL 60.20, subd 1.) However, the statute expressly stated that "[e]very witness more than twelve years old may testify only under oath.” (CPL 60.20, subd 2.)3 Thus, the question is whether the trial court abused its discretion in finding that the complainant did have sufficient capacity to comprehend the nature and obligations of an oath and to give an accurate account of the matters at issue.
The testimonial oath is designed to serve two discrete functions: to alert the witness to the moral duty to testify truthfully and to deter false testimony by establishing a legal basis for a perjury prosecution. (Matter of Brown v Ristich, 36 NY2d 183, 189.) To achieve these purposes, it is evident that the giving of an oath to testify truthfully must be a meaningful exercise. The traditional rule still followed in this State, is that all adults are presumed to be competent to testify and commitment to a mental institution does not in itself work an automatic disqualification. (Matter of Brown v Ristich, supra; People v Rensing, 14 NY2d 210, 213.) The test is whether the prospective witness "has sufficient intelligence to understand the nature of an oath and to give a reasonably accurate account of what he has seen and heard vis-á-vis the subject about which he is interrogated.” (People v Rensing, 14 NY2d 210, 213, supra; accord District of Columbia v Armes, 107 US
The resolution of the issue of witness competency is exclusively the responsibility of the trial court, subject to limited appellate review. It is the Trial Judge who has the opportunity to view the witness, to observe manner, demeanor and presence of mind, and to undertake such inquiries as are effective to disclose the witness’ capacity and intelligence. (Wheeler v United States, 159 US 523, 524-525.) "There is no rule by which the extent of the intelligence of an adult who is called as a witness can be measured. It must necessarily be left to the good judgment of the trial court to determine whether such a witness offered by a party to an action shall be sworn. The determination of the trial court should be sustained particularly where the testimony is received and the weight to be given it is left to the jury, unless there is a clear abuse of discretionary power.” (People v Washor, 196 NY 104, 109-110, supra; see People v Nisoff, 36 NY2d 560, 566; Barker v Washburn, 200 NY 280, 283.) Impressions that may be validly drawn only from closehand personal observation cannot be "photographed into the record” for later study by appellate courts. (Wheeler v United States, 159 US 523, 525, supra.) Therefore, the trial court’s determination as to the testimonial capacity of a witness will not be disturbed, particularly where the Appellate Division has sustained the ruling, unless it is plain from the record that the determination was an abuse of discretion. (People v Byrnes, 33 NY2d 343, 350-351.)
In determining whether a particular prospective witness is competent to testify, the trial court may properly consider the testimony of physicians or other persons with information that would shed light on the capacity and intelligence of the prospective witness. (Matter of Brown v Ristich, 36 NY2d 183, 188, supra; Aguilar v State of New York, 279 App Div 103, 105; District of Columbia v Armes, 107 US 519, 522, supra; Richardson, Evidence [10th ed], § 389, pp 367-368.) Thus, in this case, the trial court properly received the testimony of complainant’s teacher for its own consideration in determining the competency of the witness to testify.
As previously noted, the testimony of the teacher was presented to the court in the presence of the jury. In a case of first impression in this court, we hold that it was not error,
The testimony of specialists or others with particular knowledge of the witness’ mental or physical condition may provide invaluable assistance to the jury. While it is true that the question of witness competency is a matter of law to be determined by the court, it is the traditional and exclusive province of the jury to determine whether the witness’ testimony should be credited and, if so, what weight it should be accorded. In this case, the court ruled that the complainant was legally competent to testify. The jury, of course, has no authority to challenge that determination. The jury, however, can, in discharge of its appropriate function, find, as a matter of fact, that the testimony of the witness, truthful or not, was too weak to be given any credit. In this restricted sense, it would be both inaccurate and inartful to describe such a determination as a finding of incredibility. The finding by the jury is not that the witness’ testimony is false, but that the witness is, in the mind of the jury, so infirm that the testimony cannot be evaluated in an intelligent fashion and, as a matter of intellectual honesty, should not be a factor in arriving at the ultimate conclusion. In order that the jury may accurately appreciate the nature of the witness’ infirmity, the trial court, in its sound discretion, may permit experts or others with personal knowledge of the witness to explain and describe the witness’ condition. In this case, for example, the purpose of the teacher’s testimony was to explain an apparent mental deficiency on the part of the complainant. The teacher testified that although the complainant was chronologically 16 years old, she was operating on a mental level comparable to a child of 12 or 13. With this information, the jury could, from a scientific perspective, intelligently evaluate the complainant’s testimony.
We are careful to note that the teacher’s testimony was
Moreover, we believe that where a particular witness’ testimony may be crucial to the case and it is established that the witness’ testimonial ability is impaired, independent evidence respecting the nature of the impairment may be presented to the jury prior to the actual testimony of the impaired witness.
The advantage to admitting the preliminary testimony of physicians, teachers, or others with knowledge of the alleged incompetent’s state is that both the court and the jury may be alerted to the nature of the witness’ condition and may be provided with a framework in which the testimony and behavior of the witness may be considered. Such an approach was followed in the ancient case of Regina v Hill (5 Cox Crim Law Cases 259), cited and quoted with approval in the leading American case of District of Columbia v Armes (107 US 519, 522, supra), which in turn was cited in Matter of Brown v Ristich (36 NY2d 183,188, supra). The order of the presentation
It is crucial that the witness’ ability to testify be in issue. We have little doubt that the complainant’s mental state was in issue prior to the receipt of the teacher’s testimony. The court, the parties, and the jury were all aware that the mental awareness of the complaining witness would be an issue at the trial. Indeed, her apparent mental retardation was known to both the prosecution and to the defendant by virtue of defendant’s very occupation—driver of a bus that transported retarded children to special classes—since it was his occupation that brought him into contact with the complainant. Significantly, the prosecutor, in his opening to the jury, specifically set forth his intended order of witnesses. "Now, the People intend to produce three witnesses, the first witness * * * is a teacher of the complainant * * * and he will testify as to her mental age and her educational background and her general character and personality. The next witness will be * * * the complaining witness and the third and final witness of the People will be Det. Michael Di Benedetto who will testify as to a statement made to him by the defendant.” Although the defense objected to other aspects of the prosecutor’s opening, no objection was made to this mention of witnesses and to the proposed order of proof. The point here is not that the defense was bound to object to the testimony of either the teacher or the complainant at this juncture of the trial, but simply that the defense knew that the cognition of the complainant would be a crucial issue in the case. Hence, the issue was in the case well before the teacher or the complainant physically and formally mounted the witness stand. In truth, the issue of credibility based on mental infirmity, in view of the nature of the alleged crime and its victim, permeated the entire case.
The complainant’s responses to the court’s preliminary inquiry and her later answers to questions propounded on direct and cross-examination .raise significant questions as to the depth of her capacity to recollect events as well as to her
Finally, we find no error in the admission into evidence of the hospital records of the complainant. The case against the defendant rested primarily upon defendant’s twice repeated admissions of guilt. The fact that complainant had an abortion is evidence that a crime (sexual intercourse with an underage female) was committed by someone and, thus, is sufficient to corroborate defendant’s admissions (CPL 60.50; People v Reade, 13 NY2d 42, 45; see People v Daniels, 37 NY2d 624, 629) and was admissible for that purpose. The trial court was careful to charge the jury, as requested by the defense, that "evidence of pregnancy is' no evidence to corroborate the testimony that the defendant was the guilty party.”
The order of the Appellate Division should be affirmed.
1.
The two alternate jurors were male. The identity and gender of the members of the jury was disclosed in the course of a postverdict poll of the jury conducted by the trial court in reference to another issue, whether the jury was influenced by a redacted sentence from defendant’s Grand Jury testimony that was inadvertently read to the jury by the court reporter. With respect to this issue, it suffices to note that several jurors did not hear the comment, and that all the jurors stated that the comment was not discussed by the jury in the course of its deliberations nor did it form a basis for the finding of guilt.
2.
In People v Sibila, it was stipulated that 54% of the eligible jurors in Nassau County in 1974 were women, that 70% of the women claimed the statutory exemption, and that 26% to 33% of the 60,000 names in the Nassau County jury wheel that year were female. Based on this evidence, the County Court concluded that the defendant had failed to establish the systematic exclusion of women.
3.
The statute has since been amended to permit a person over the age of 12 to testify without giving an oath, provided that the court finds that while the witness cannot understand the nature of an oath, the witness does have suificient capacity to justify the reception of the testimony. (CPL 60.20, subd 2, as amd by L 1975, ch 133; see Bellacosa, 1975 Supplementary Practice Commentary, McKinney’s Cons Laws of NY, Book 11 A, CPL 60.20, p 75.)