IN THE MATTER OF: DAKOTA FAIRCLOTH, AMANDA FAIRCLOTH, MARGARET
FAIRCLOTH and JAMES FAIRCLOTH, JR., minor children
No. COA99-505
Appeal by respondent father from judgment entered 16 December
1998 by Judge John W. Dickson in Cumberland County District Court.
Heard in the Court of Appeals 17 February 2000.
Cumberland County Department of Social Services, by David
Kennedy, for petitioner-appellee.
Carmen J. Battle and William E. Brown for respondent-appellant
James D. Faircloth.
MARTIN, Judge.
On 4 August 1997, the Cumberland County Department of Social
Services (CCDSS) filed a juvenile petition alleging that James
David Faircloth (d.o.b. 4 June 1987), Dakota Faircloth (d.o.b. 22
September 1990), Amanda Faircloth (d.o.b. 7 August 1992) and
Margaret Faircloth (d.o.b. 26 January 1995) were abused and
neglected children. The allegations arose as a result of a report
made 30 July 1997 by the children's babysitter, who observed thepresence of bruises on Amanda. The children were placed in the
custody of CCDSS, and such custody was continued by a series of
orders until an adjudicatory hearing was commenced on 15 December
1998.
At the adjudicatory hearing, CCDSS presented evidence from the
CCDSS social worker, two physicians and a psychologist. Their
testimony included hearsay evidence of statements made by the
children, to which respondent father did not object. Upon the
conclusion of the CCDSS evidence, respondent father sought to call
the three older children as witnesses and forecast that they would
testify that the abuse was perpetrated by someone other than
defendant. Upon objection by CCDSS and by the children's mother,
the court heard testimony from Judith Hill, a therapist for Dakota
and Amanda, and Kim Herring, a therapist for James, Jr. The court
then made the following findings and conclusions:
On the respondent father, James
Faircloth's, calling as a witness the minor
child Dakota Faircloth, this being opposed by
the petitioner, by the Guardian ad Litem and
by respondent Tisha Faircloth, the court
having heard evidence and arguments of
counsel, makes the following findings of fact
based upon clear, cogent and convincing
evidence.
That Dakota Faircloth's date of birth is
September 22, 1990; that he has been in the
custody of the Department of Social Services
since July of 1997; that during that period of
time he has been undergoing continuous
therapy; that he is currently in a therapeutic
group home.
That according to Judith Hill, a clinical
social worker and currently the clinical
therapist for Dakota, it would be extremely
detrimental to the mental well-being of[Dakota] to face the respondent James D.
Faircloth.
That according to his clinical social
worker, it would be extremely detrimental to
Dakota's well-being for him to be questioned
in any setting as to these matters.
Based upon the foregoing, the court finds
as a matter of law that Dakota Faircloth is
unavailable and unable to testify at this
hearing due to his current mental status and
the harm to him which would occur were he to
be forced to testify. The court reserves theright to add additional findings of fact in
its final order as to this.
As to Amanda Faircloth, the court finds
that Amanda Faircloth's date of birth is
August 7, 1992; that she has been in the
custody of the Department of Social Services
since July of 1997; that she is currently in a
therapeutic foster home and has been receiving
psychiatric and psychological treatment since
being placed in DSS custody, and is still
undergoing therapeutic treatment.
That she has been admitted to a
psychiatric hospital twice since being in DSS
custody; that in the recent past, she has
begun urinating and defecating at
inappropriate times and places, an activity
which she had done at an earlier time, which
she has now regressed to doing again; in
addition, she has become physically
aggressive.
That according to her clinical therapist,
Judith Hill, it would be extremely detrimental
to the mental health and well-being of Amanda
if she were forced to testify in any setting
concerning the matters involved in this case.
Based on the foregoing, the court
concludes as a matter of law that Amanda
Faircloth is unavailable and unable to testify
at this hearing due to her existing mental
health and the detriment which would be done
her were she called upon to testify.
As to James David Faircloth, Jr., the
court finds that his date of birth is June 4,
1987; that he has been in the custody of the
Department of Social Services since July of
1997; that he has been receiving psychiatric
and psychological treatment and therapy since
being in DSS custody.
That according to this therapist,
Kimberly Herring, he has expressed great fear
of his father and it would be detrimental for
James to have to face his father; that due to
the nature of this proceeding and the wishes
of James to be back with his mother, the
therapist is of the opinion that any testimony
he might give in this case could be highlysuspect and unreliable and based on James'
self-perceived needs and wants rather than the
truth; that Ms. Herring is of the belief that
James being called upon to testify in this
proceeding under any setting would be counter-
productive to his mental health and well-being
and to his ongoing therapy.
The court concludes that James David
Faircloth, Jr., is unavailable and unable to
testify in this hearing because of his now-
existing mental health and the detriment that
would be done to him were he forced to testify
in this proceeding.
As to all three orders, the court
reserves the right to make additional findings
of fact prior to signing the order.
Respondent father then offered evidence through other witnesses
tending to show that the children had reported to others that they
had been abused by their babysitter, rather than by respondent
father.
At the conclusion of the hearing, the trial court found that
each of the children had been abused in various respects, had been
neglected, and adjudicated them abused and neglected children.
Respondent appeals from the final adjudicatory and dispositional
order.
______________________________
[1]Respondent father first assigns error to the admission of
opinion testimony by Judith Hill and Kimberly Herring as to the
effect testifying would have on the minor children. He contends
that neither witness was competent to provide such testimony.
G.S. § 8C-1, Rule 702(a) provides:
If scientific, technical or other specialized
knowledge will assist the trier of fact to
understand the evidence or to determine a factin issue, a witness qualified as an expert by
knowledge, skill, experience, training, or
education, may testify thereto in the form of
an opinion.
Whether a witness has the requisite knowledge or training to
testify as an expert is within the exclusive province of the trial
court, and its decision will not be overturned absent an abuse of
discretion.
State v. Bullard, 312 N.C. 129, 322 S.E.2d 370 (1984);
Robinson v. Seaboard System Railroad, 87 N.C. App. 512, 361 S.E.2d
909 (1987),
disc. review denied, 321 N.C. 474, 364 S.E.2d 924
(1988). An expert need not have had experience in the very
subject at issue, . . . [i]t is enough that through study or
experience the expert is better qualified than the fact-finder to
render the opinion regarding the particular subject.
In re
Chasse, 116 N.C. App. 52, 59, 446 S.E.2d 855, 859 (1994) (citations
omitted).
Judith Hill testified that she is a clinical social worker
employed by the Cumberland County Mental Health Center and had been
assigned as a therapist for Dakota and Amanda Faircloth for
approximately seven months. She has bachelor's degrees in
sociology and in social work, a master's degree in social work, and
is licensed as a therapist. She has training and experience in
determining what kinds of external stimuli affect the behavior of
children. Kimberly Herring testified that she had been seeing
James Faircloth, Jr., for nearly a year. Ms. Herring is a licensed
psychological associate and has a master's degree in counseling.
Both testified extensively as to their observations of the children
and the children's behavioral histories. Both witnesses, throughtheir education, training, experience, and interaction as
therapists for the children were better qualified than the fact-
finder to have an opinion upon the effect that giving testimony
would have on the children's behavioral, mental and emotional
conditions.
Moreover, preliminary questions concerning the qualification
of a person to be a witness are determined by the trial court,
which is not bound by the rules of evidence in making such a
determination. N.C. Gen. Stat. § 8C-1, Rule 104(a). In
determining whether a person is competent to testify, the court may
consider any relevant information which may come to its attention.
In re Will of Leonard, 82 N.C. App. 646, 347 S.E.2d 478 (1986).
Therefore, to the extent the testimony of Ms. Hill and Ms. Herring
was relevant to the issue of the competency of the three children
to testify, it was not error for the trial court to admit and
consider the testimony.
[2]Respondent father further assigns error to the trial
court's order declaring James, Jr., Dakota, and Amanda unavailable
and unable to testify at the hearing. For the reasons which
follow, we must agree.
At the time of the hearing in this case, juvenile proceedings
were governed by Subchapter XI of Chapter 7A of the North Carolina
General Statutes, the North Carolina Juvenile Code, which was
repealed effective 1 July 1999 by Session Laws 1998-202, s.5 and
replaced by Chapter 7B of the General Statutes. A policy of the
former Juvenile Code, continued in the present Code, was [t]oprovide procedures for the hearing of juvenile cases that assure
fairness and equity and that protect the constitutional rights of
juveniles and parents. N.C. Gen. Stat. § 7A-516(2), repealed
effective 1 July 1999, S.L. 1998-202, s.5. In furtherance of that
policy, the former Code required, in an adjudicatory hearing to
determine the existence or nonexistence of the conditions alleged
in the juvenile petition, that the rights of juveniles and their
parents to due process, including the right to confront and cross-
examine witnesses, be protected, G.S. § 7A-631, repealed effective
1 July 1999, S.L. 1998-202, s.5, although the right to confront
witnesses in such a civil proceeding is subject to due
limitations.
In re Barkley, 61 N.C. App. 267, 270, 300 S.E.2d
713, 715 (1983).
The rules of evidence in civil cases apply in a proceeding
where a juvenile is alleged to be abused and neglected. N.C. Gen.
Stat. § 7A-634(b), repealed effective 1 July 1999, S.L. 1998-202,
s.5. G.S. § 8C-1, Rule 601 provides that every person is competent
to be a witness unless the court determines the witness is (1)
incapable of expressing himself concerning the matter as to be
understood, either directly or through interpretation by one who
can understand him, or (2) incapable of understanding the duty of
a witness to tell the truth. N.C. Gen. Stat. § 8C-1, Rule 601(b).
As applied to children, '[t]here is no age below which one is
incompetent, as a matter of law, to testify.'
State v. Fearing,
315 N.C. 167, 173, 337 S.E.2d 551, 554 (1985) (quoting
State v.
Jones, 310 N.C. 716, 722, 314 S.E.2d 529, 533 (1984)). Likewise,even mentally deficient persons may be called as witnesses if
capable of relating information and of understanding the obligation
to tell the truth. See
Artesani v. Gritton, 252 N.C. 463, 113
S.E.2d 895 (1960); Kenneth S. Broun,
Brandis and Broun on North
Carolina Evidence, § 132 (5
th ed. 1998). A ruling upon a challenge
to competency is a matter within the discretion of the trial court
and will not be reversed unless the ruling amounts to an abuse of
discretion,
State v. Hicks, 319 N.C. 84, 352 S.E.2d 424 (1987), or
is based on an incorrect legal principle,
Artesani, 252 N.C. 463,
113 S.E.2d 895.
We believe the trial court's ruling in the present case to
have been based upon an incorrect view of the law. When CCDSS
objected to respondent father's request to call James, Jr., Dakota,
and Amanda as witnesses, the trial court correctly conducted a
voir
dire hearing. However, the focus of the
voir dire was incorrectly
directed to the effect the children's testifying would have on
their mental health, rather than upon the ability of the children
to understand their obligation to tell the truth and their ability
to relate events which they may have seen, heard or experienced.
Rather than determining whether all or any of the children were
competent to testify under G.S. § 8C-1, Rule 601, the trial court
disqualified them as being unavailable due to the detriment which
would result to them if they testified, apparently relying upon the
definition of unavailability contained in G.S. § 8C-1, Rule
804(a)(4) (inability to testify due to presently existing physical
or mental condition). The question of a potential witness'unavailability becomes relevant, however, only with respect to the
issue of admissibility of the witness' hearsay declarations
pursuant to the exception contained in Rule 804(b). No issue of
availability was presented in this case; no objection was
interposed to the admission of the children's hearsay statements.
Although we believe it is possible in a case such as the one before
us for a child's presently existing mental condition resulting from
abuse to so profoundly affect the child's ability to relate events
and to understand the obligation to tell the truth as to render the
child incompetent to testify, no such evidence was elicited from
the therapists in this case, only that the event of testifying
would be harmful to the children. Even the testimony of Ms.
Herring that James, Jr., was likely not to be a reliable witness
does not support his disqualification where the trial court did not
personally observe the child's ability to testify. See
State v.
Benton, 276 N.C. 641, 174 S.E.2d 193 (1970) (witness competent even
though psychiatrist testified it was impossible for him to give
reliable evidence);
Matter of Quevedo, 106 N.C. App. 574, 419
S.E.2d 158,
appeal dismissed, 332 N.C. 483, 424 S.E.2d 397 (1992)
(history of lying goes to credibility rather than competency).
We are not unmindful of the troubling aspects of children
testifying in court, particularly where a child is called upon to
testify against a parent or the perpetrator of sexual abuse. Our
courts have long been confronted with this issue, and various
mechanisms have been developed to protect both the mental health of
the child and the due process rights of those against whom thechild might testify. A parent's right to confront witnesses in an
abuse and neglect hearing has been found to have been protected
where a mother was removed from the courtroom during the child's
testimony but her counsel was present for the child's testimony and
was afforded cross-examination.
Matter of Barkley, 61 N.C. App.
267, 300 S.E.2d 713 (1983). In
Matter of Stradford, 119 N.C. App.
654, 460 S.E.2d 173,
disc. review denied, 341 N.C. 650, 462 S.E.2d
525 (1995), the testimony of two young girls by closed circuit
televison was held sufficient to protect the confrontation rights
of a juvenile accused of sexually assaulting them, where there was
a showing that the children's testimony in the presence of the
accused would have been harmful to them.
Because the trial court applied an erroneous legal standard in
denying respondent father's request to call the children as
witnesses, we must reverse the adjudication order in this case and
remand the matter to the District Court for a new hearing at which
the competence of the children to testify, should they be called as
witnesses, shall be determined in accordance with G.S. § 8C-1, Rule
601. In the event the children's mental condition does not render
them incompetent to testify, and they are called as witnesses, the
trial court shall take appropriate measures to mitigate, insofar as
possible, any harmful effects to them of being required to testify.
Reversed and remanded.
Judges WYNN and HUNTER concur.
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