Respondent Wright was charged under Idaho law with two counts of
lewd conduct with a minor, specifically her 5 1/2- and 2
1/2-year-old daughters. At the trial, it was agreed that the
younger daughter was not "capable of communicating to the jury."
However, the court admitted, under Idaho's residual hearsay
exception, certain statements she had made to a pediatrician having
extensive experience in child abuse cases. The doctor testified
that she had reluctantly answered questions about her own abuse,
but had spontaneously volunteered information about her sister's
abuse. Wright was convicted on both counts, but appealed only from
the conviction involving the younger child. The State Supreme Court
reversed, finding that the admission of the doctor's testimony
under the residual hearsay exception violated Wright's rights under
the Confrontation Clause. The court noted that the child's
statements did not fall within a traditional hearsay exception and
lacked "particularized guarantees of trustworthiness" because the
doctor had conducted the interview without procedural safeguards:
he failed to videotape the interview, asked leading questions, and
had a preconceived idea of what the child should be disclosing.
This error, the court found, was not harmless beyond a reasonable
doubt.
Held: The admission of the child's hearsay statements
violated Wright's Confrontation Clause rights. Pp.
497 U. S.
813-827.
(a) Incriminating statements admissible under an exception to
the hearsay rule are not admissible under the Confrontation Clause
unless the prosecution produces, or demonstrates the unavailability
of, the declarant whose statement it wishes to use and unless the
statement bears adequate indicia of reliability. The reliability
requirement can be met where the statement either falls within a
firmly rooted hearsay exception or is supported by a showing of
"particularized guarantees of trustworthiness."
Ohio v.
Roberts, 448 U. S. 56.
Although it is presumed here that the child was unavailable within
the meaning of the Clause, the evidence will be barred unless the
reliability requirement is met. Pp.
497 U. S.
813-817.
(b) Idaho's residual hearsay exception is not a firmly rooted
hearsay exception for Confrontation Clause purposes. It
accommodates
ad hoc instances in which statements not
otherwise falling within a recognized hearsay exception might be
sufficiently reliable to be admissible at trial,
Page 497 U. S. 806
and thus does not share the same tradition of reliability
supporting the admissibility of statements under a firmly rooted
hearsay exception. To rule otherwise would require that virtually
all codified hearsay exceptions be found to assume constitutional
stature, something which this Court has declined to do.
California v. Green, 399 U. S. 149,
399 U. S.
155-156. Pp.
497 U. S.
817-818.
(c) In determining that "particularized guarantees of
trustworthiness" were not shown, the State Supreme Court erred in
placing dispositive weight on the lack of procedural safeguards at
the interview, since such safeguards may in many instances be
inappropriate or unnecessary to a determination whether a given
statement is sufficiently trustworthy for Confrontation Clause
purposes. Rather, such trustworthiness guarantees must be shown
from the totality of those circumstances that surround the making
of the statement and render the declarant particularly worthy of
belief. As is the case with statements admitted under a firmly
rooted hearsay exception,
see e.g., Green, supra, at
399 U. S. 161,
evidence possessing "particularized guarantees of trustworthiness"
must be so trustworthy that adversarial testing would add little to
its reliability. In child abuse cases, factors used to determine
trustworthiness guarantees -- such as the declarant's mental state
and the use of terminology unexpected of a child of similar age --
must relate to whether the child was particularly likely to be
telling the truth when the statement was made. The State's
contention that evidence corroborating a hearsay statement may
properly support a finding that the statement bears such
trustworthiness guarantees is rejected, since this would permit
admission of presumptively unreliable statements, such as those
made under duress, by bootstrapping on the trustworthiness of other
evidence at trial. That result is at odds with the requirement that
hearsay evidence admitted under the Clause be so trustworthy that
cross-examination of the declarant would be of marginal utility.
Also rejected is Wright's contention that the child's statements
are
per se or presumptively unreliable on the ground that
the trial court found the child incompetent to testify at trial.
The court found only that she was not capable of communicating to
the jury, and implicitly found that, at the time she made the
statements, she was capable of receiving just impressions of the
facts and of relating them truly. Moreover, the Clause does not
erect a
per se rule barring the admission of prior
statements of a declarant who is unable to communicate to the jury
at the time of trial.
See, e. g., Mattox v. United States,
156 U. S. 237,
156 U. S.
243-244. Pp.
497 U. S.
818-825.
(d) In admitting the evidence, the trial court identified only
two factors -- whether the child had a motive to make up her story
and whether, given her age, the statements were of the type that
one would expect a child to fabricate -- relating to circumstances
surrounding the making of
Page 497 U. S. 807
the statements. The State Supreme Court properly focused on the
presumptive unreliability of the out-of-court statements and on the
suggestive manner in which the doctor conducted his interview.
Viewing the totality of the circumstances, there is no special
reason for supposing that the incriminating statements about the
child's own abuse were particularly trustworthy. Her statement
about her sister presents a closer question. Although its
spontaneity and the change in her demeanor suggest that she may
have been telling the truth, spontaneity may be an inaccurate
indicator of trustworthiness where there has been prior
interrogation, prompting, or manipulation by adults. Moreover, the
statement was not made under circumstances of reliability
comparable to those required, for example, for the admission of
excited utterances or statements made for purposes of medical
diagnosis or treatment. Because the State does not challenge the
State Supreme Court's determination that the Confrontation Clause
error was not harmless beyond a reasonable doubt, this Court will
not revisit the issue. Pp.
497 U. S. 825-827.
116 Idaho 382, 775 P.2d 1224 (1989), affirmed.
O'CONNOR, J., delivered the opinion of the Court, in which
BRENNAN, MARSHALL, STEVENS, and SCALIA, JJ. joined. KENNEDY, J.,
filed a dissenting opinion, in which REHNQUIST, C.J., and WHITE and
BLACKMUN, JJ., joined,
post, p.
497 U. S.
827.
Page 497 U. S. 808
Justice O'CONNOR delivered the opinion of the Court.
This case requires us to decide whether the admission at trial
of certain hearsay statements made by a child declarant to an
examining pediatrician violates a defendant's rights under the
Confrontation Clause of the Sixth Amendment.
I
Respondent Laura Lee Wright was jointly charged with Robert L.
Giles of two counts of lewd conduct with a minor under 16, in
violation of Idaho Code § 18-1508 (1987). The alleged victims
were respondent's two daughters, one of whom was 5 1/2 and the
other 2 1/2 years old at the time the crimes were charged.
Page 497 U. S. 809
Respondent and her ex-husband, Louis Wright, the father of the
older daughter, had reached an informal agreement whereby each
parent would have custody of the older daughter for six consecutive
months. The allegations surfaced in November, 1986, when the older
daughter told Cynthia Goodman, Louis Wright's female companion,
that Giles had had sexual intercourse with her while respondent
held her down and covered her mouth, App. 47-55; 3 Tr. 456-460, and
that she had seen respondent and Giles do the same thing to
respondent's younger daughter, App. 48-49, 61; 3 Tr. 460. The
younger daughter was living with her parents -- respondent and
Giles -- at the time of the alleged offenses.
Goodman reported the older daughter's disclosures to the police
the next day, and took the older daughter to the hospital. A
medical examination of the older daughter revealed evidence of
sexual abuse. One of the examining physicians was Dr. John Jambura,
a pediatrician with extensive experience in child abuse cases. App.
91-94. Police and welfare officials took the younger daughter into
custody that day for protection and investigation. Dr. Jambura
examined her the following day and found conditions "strongly
suggestive of sexual abuse with vaginal contact," occurring
approximately two to three days prior to the examination.
Id. at 105, 106.
At the joint trial of respondent and Giles, the trial court
conducted a
voir dire examination of the younger daughter,
who was three years old at the time of trial, to determine whether
she was capable of testifying.
Id. at 32-38. The court
concluded, and the parties agreed, that the younger daughter was
"not capable of communicating to the jury."
Id. at 39.
At issue in this case is the admission at trial of certain
statements made by the younger daughter to Dr. Jambura in response
to questions he asked regarding the alleged abuse. Over objection
by respondent and Giles, the trial court permitted Dr. Jambura to
testify before the jury as follows:
Page 497 U. S. 810
"Q. [By the prosecutor] Now, calling your attention then to your
examination of Kathy Wright on November 10th. What -- would you
describe any interview dialogue that you had with Kathy at that
time? Excuse me, before you get into that, would you lay a setting
of where this took place and who else might have been present?"
"A. This took place in my office, in my examining room, and, as
I recall, I believe previous testimony I said that I recall a
female attendant being present, I don't recall her identity."
"I started out with basically, 'Hi, how are you,' you know,
'What did you have for breakfast this morning?' Essentially a few
minutes of just sort of chitchat."
"Q. Was there response from Kathy to that first -- those first
questions?"
"A. There was. She started to carry on a very relaxed animated
conversation. I then proceeded to just gently start asking
questions about, 'Well, how are things at home,' you know, those
sorts. Gently moving into the domestic situation and then moved
into four questions in particular, as I reflected in my records,
'Do you play with daddy? Does daddy play with you? Does daddy touch
you with his pee-pee? Do you touch his pee-pee?' And again, we then
established what was meant by pee-pee, it was a generic term for
genital area."
"Q. Before you get into that, what was, as best you recollect,
what was her response to the question 'Do you play with
daddy?'"
"A. Yes, we play -- I remember her making a comment about yes we
play a lot, and expanding on that and talking about spending time
with daddy."
"Q. And 'Does daddy play with you?' Was there any response?
"
Page 497 U. S. 811
"A. She responded to that as well, that they played together in
a variety of circumstances and, you know, seemed very unaffected by
the question."
"Q. And then what did you say and her response?"
"A. When I asked her 'Does daddy touch you with his pee-pee,'
she did admit to that. When I asked, 'do you touch his pee-pee,'
she did not have any response."
"Q. Excuse me. Did you notice any change in her affect or
attitude in that line of questioning?"
"A. Yes."
"Q. What did you observe?"
"A. She would not -- oh, she did not talk any further about
that. She would not elucidate what exactly -- what kind of touching
was taking place, or how it was happening. She did, however, say
that daddy does do this with me, but he does it a lot more with my
sister than with me."
"Q. And how did she offer that last statement? Was that in
response to a question or was that just a volunteered
statement?"
"A. That was a volunteered statement as I sat and waited for her
to respond, again after she sort of clammed-up, and that was the
next statement that she made after just allowing some silence to
occur."
Id. at 121-123. On cross-examination, Dr. Jambura
acknowledged that a picture that he drew during his questioning of
the younger daughter had been discarded.
Id. at 124. Dr.
Jambura also stated that although he had dictated notes to
summarize the conversation, his notes were not detailed, and did
not record any changes in the child's affect or attitude.
Id. at 123-124.
The trial court admitted these statements under Idaho's residual
hearsay exception, which provides in relevant part:
"Rule 803. Hearsay exceptions; availability of declarant
immaterial. -- The following are not excluded by the
Page 497 U. S. 812
hearsay rule, even though the declarant is available as a
witness."
"
* * * *"
"(24) Other exceptions. A statement not specifically covered by
any of the foregoing exceptions but having equivalent
circumstantial guarantees of trustworthiness, if the court
determines that (A) the statement is offered as evidence of a
material fact; (B) the statement is more probative on the point for
which it is offered than any other evidence which the proponent can
procure through reasonable efforts; and (C) the general purposes of
these rules and the interests of justice will best be served by
admission of the statement into evidence."
Idaho Rule Evid. 803(24).
Respondent and Giles were each convicted of two counts of lewd
conduct with a minor under 16 and sentenced to 20 years
imprisonment. Each appealed only from the conviction involving the
younger daughter. Giles contended that the trial court erred in
admitting Dr. Jambura's testimony under Idaho's residual hearsay
exception. The Idaho Supreme Court disagreed and affirmed his
conviction.
State v. Giles, 115 Idaho 984, 772 P.2d 191
(1989). Respondent asserted that the admission of Dr. Jambura's
testimony under the residual hearsay exception nevertheless
violated her rights under the Confrontation Clause. The Idaho
Supreme Court agreed and reversed respondent's conviction. 116
Idaho 382, 775 P.2d 1224 (1989).
The Supreme Court of Idaho held that the admission of the
inculpatory hearsay testimony violated respondent's federal
constitutional right to confrontation because the testimony did not
fall within a traditional hearsay exception and was based on an
interview that lacked procedural safeguards.
Id. at 385,
775 P.2d, at 1227. The court found Dr. Jambura's interview
technique inadequate because
"the questions and answers were not recorded on videotape for
preservation and perusal by the defense at or before trial, and
Page 497 U. S. 813
blatantly leading questions were used in the interrogation."
Ibid. The statements also lacked trustworthiness,
according to the court, because "this interrogation was performed
by someone with a preconceived idea of what the child should be
disclosing."
Ibid. Noting that expert testimony and child
psychology texts indicated that children are susceptible to
suggestion and are therefore likely to be misled by leading
questions, the court found that
"[t]he circumstances surrounding this interview demonstrate
dangers of unreliability which, because the interview was not
[audio or video] recorded, can never be fully assessed."
Id. at 388, 775 P.2d, at 1230. The court concluded that
the younger daughter's statements lacked the particularized
guarantees of trustworthiness necessary to satisfy the requirements
of the Confrontation Clause, and that therefore the trial court
erred in admitting them.
Id. at 389, 775 P.2d, at 1231.
Because the court was not convinced, beyond a reasonable doubt,
that the jury would have reached the same result had the error not
occurred, the court reversed respondent's conviction on the count
involving the younger daughter and remanded for a new trial.
Ibid.
We granted certiorari, 493 U.S. 1041 (1990), and now affirm.
II
The Confrontation Clause of the Sixth Amendment, made applicable
to the States through the Fourteenth Amendment, provides: "In all
criminal prosecutions, the accused shall enjoy the right . . . to
be confronted with the witnesses against him."
From the earliest days of our Confrontation Clause
jurisprudence, we have consistently held that the Clause does not
necessarily prohibit the admission of hearsay statements against a
criminal defendant, even though the admission of such statements
might be thought to violate the literal terms of the Clause.
See, e.g., Mattox v. United States, 156 U.
S. 237,
156 U. S. 243
(1895);
Pointer v. Texas, 380 U.
S. 400,
380 U. S. 407
(1965).
Page 497 U. S. 814
We reaffirmed only recently that
"[w]hile a literal interpretation of the Confrontation Clause
could bar the use of any out-of-court statements when the declarant
is unavailable, this Court has rejected that view as 'unintended
and too extreme.'"
Bourjaily v. United States, 483 U.
S. 171,
483 U. S. 182
(1987) (quoting
Ohio v. Roberts, 448 U. S.
56,
446 U. S. 63
(1980));
see also Maryland v. Craig, post, at
497 U. S. 847
("[T]he [Confrontation] Clause permits, where necessary, the
admission of certain hearsay statements against a defendant despite
the defendant's inability to confront the declarant at trial").
Although we have recognized that hearsay rules and the
Confrontation Clause are generally designed to protect similar
values, we have also been careful not to equate the Confrontation
Clause's prohibitions with the general rule prohibiting the
admission of hearsay statements.
See California v. Green,
399 U. S. 149,
399 U. S.
155-156 (1970);
Dutton v. Evans, 400 U. S.
74,
400 U. S. 86
(1970) (plurality opinion);
United States v. Inadi,
475 U. S. 387,
475 U. S. 393,
n. 5 (1986). The Confrontation Clause, in other words, bars the
admission of some evidence that would otherwise be admissible under
an exception to the hearsay rule.
See, e.g., Green, supra,
399 U.S. at
399 U. S.
155-156;
Bruton v. United States, 391 U.
S. 123 (1968);
Barber v. Page, 390 U.
S. 719 (1968);
Pointer, supra.
In
Ohio v. Roberts, we set forth "a general approach"
for determining when incriminating statements admissible under an
exception to the hearsay rule also meet the requirements of the
Confrontation Clause. 448 U.S. at
448 U. S. 65. We
noted that the Confrontation Clause "operates in two separate ways
to restrict the range of admissible hearsay."
Ibid.
"First, in conformance with the Framers' preference for
face-to-face accusation, the Sixth Amendment establishes a rule of
necessity. In the usual case . . . , the prosecution must either
produce or demonstrate the unavailability of, the declarant whose
statement it wishes to use against the defendant."
Ibid. (citations omitted). Second, once a witness is
shown to be unavailable,
"his statement is admissible only
Page 497 U. S. 815
if it bears adequate 'indicia of reliability.' Reliability can
be inferred without more in a case where the evidence falls within
a firmly rooted hearsay exception. In other cases, the evidence
must be excluded, at least absent a showing of particularized
guarantees of trustworthiness."
Id. at
448 U. S. 66
(footnote omitted);
see also Mancusi v. Stubbs,
408 U. S. 204,
408 U. S. 213
(1972).
Applying this general analytical framework to the facts of
Roberts,
supra, we held that the admission of testimony
given at a preliminary hearing, where the declarant failed to
appear at trial despite the State's having issued five separate
subpoenas to her, did not violate the Confrontation Clause.
Id., 448 U.S. at
448 U. S. 67-77.
Specifically, we found that the State had carried its burden of
showing that the declarant was unavailable to testify at trial,
see Barber, supra, 390 U.S. at
390 U. S.
724-725;
Mancusi, supra, 408 U.S. at
408 U. S. 212,
and that the testimony at the preliminary hearing bore sufficient
indicia of reliability, particularly because defense counsel had
had an adequate opportunity to cross-examine the declarant at the
preliminary hearing,
see Mancusi, supra, at
408 U. S.
216.
We have applied the general approach articulated in
Roberts to subsequent cases raising Confrontation Clause
and hearsay issues. In
United States v. Inadi, supra, we
held that the general requirement of unavailability did not apply
to incriminating out-of-court statements made by a non-testifying
co-conspirator, and that therefore the Confrontation Clause did not
prohibit the admission of such statements, even though the
government had not shown that the declarant was unavailable to
testify at trial. 475 U.S. at
475 U. S.
394-400. In
Bourjaily v. United States, supra,
we held that such statements also carried with them sufficient
"indicia of reliability" because the hearsay exception for
co-conspirator statements was a firmly rooted one. 483 U.S. at
483 U. S.
182-184.
Applying the
Roberts approach to this case, we first
note that this case does not raise the question whether, before a
child's out-of-court statements are admitted, the Confrontation
Page 497 U. S. 816
Clause requires the prosecution to show that a child witness is
unavailable at trial -- and, if so, what that showing requires. The
trial court in this case found that respondent's younger daughter
was incapable of communicating with the jury, and defense counsel
agreed. App. 39. The court below neither questioned this finding,
nor discussed the general requirement of unavailability. For
purposes of deciding this case, we assume without deciding that, to
the extent the unavailability requirement applies in this case, the
younger daughter was an unavailable witness within the meaning of
the Confrontation Clause.
The crux of the question presented is therefore whether the
State, as the proponent of evidence presumptively barred by the
hearsay rule and the Confrontation Clause, has carried its burden
of proving that the younger daughter's incriminating statements to
Dr. Jambura bore sufficient indicia of reliability to withstand
scrutiny under the Clause. The court below held that, although the
trial court had properly admitted the statements under the State's
residual hearsay exception, the statements were "fraught with the
dangers of unreliability which the Confrontation Clause is designed
to highlight and obviate." 116 Idaho, at 389, 775 P.2d, at 1231.
The State asserts that the court below erected too stringent a
standard for admitting the statements, and that the statements
were, under the totality of the circumstances, sufficiently
reliable for Confrontation Clause purposes.
In
Roberts, we suggested that the "indicia of
reliability" requirement could be met in either of two
circumstances: where the hearsay statement "falls within a firmly
rooted hearsay exception," or where it is supported by "a showing
of particularized guarantees of trustworthiness." 448 U.S. at
448 U. S. 66;
see also Bourjaily, 483 U.S. at
483 U. S. 183
("[T]he co-conspirator exception to the hearsay rule is firmly
enough rooted in our jurisprudence that, under this Court's holding
in
Roberts, a court need not independently inquire into
the reliability of such statements");
Lee v. Illinois,
476 U. S. 530,
476 U. S. 543
(1986)
Page 497 U. S. 817
("[E]ven if certain hearsay evidence does not fall within
a
firmly rooted hearsay exception,' and is thus presumptively
unreliable and inadmissible for Confrontation Clause purposes, it
may nonetheless meet Confrontation Clause reliability standards if
it is supported by a `showing of particularized guarantees of
trustworthiness'") (footnote and citation omitted).
We note at the outset that Idaho's residual hearsay exception,
Idaho Rule Evid. 803(24), under which the challenged statements
were admitted, App. 113-115, is not a firmly rooted hearsay
exception for Confrontation Clause purposes. Admission under a
firmly rooted hearsay exception satisfies the constitutional
requirement of reliability because of the weight accorded
longstanding judicial and legislative experience in assessing the
trustworthiness of certain types of out-of-court statements.
See Mattox, 156 U.S. at
156 U. S. 243;
Roberts, 448 U.S. at
448 U. S. 66;
Bourjaily, 483 U.S. at
483 U. S. 183;
see also Lee, 476 U.S. at
476 U. S.
551-552 (BLACKMUN, J., dissenting) ("[S]tatements
squarely within established hearsay exceptions possess
the
imprimatur of judicial and legislative experience,' . . . and that
fact must weigh heavily in our assessment of their reliability for
constitutional purposes") (citation omitted). The residual hearsay
exception, by contrast, accommodates ad hoc instances in
which statements not otherwise falling within a recognized hearsay
exception might nevertheless be sufficiently reliable to be
admissible at trial. See, e.g., Senate Judiciary
Committee's Note on Fed.Rule Evid. 803(24), 28 U.S.C.App., pp.
786-787; E. Cleary, McCormick on Evidence § 324.1, pp. 907-909
(3d ed. 1984). Hearsay statements admitted under the residual
exception, almost by definition, therefore do not share the same
tradition of reliability that supports the admissibility of
statements under a firmly rooted hearsay exception. Moreover, were
we to agree that the admission of hearsay statements under the
residual exception automatically passed Confrontation Clause
scrutiny, virtually every codified hearsay exception would assume
constitutional
Page 497 U. S. 818
stature, a step this Court has repeatedly declined to take.
See Green, 399 U.S. at
399 U. S.
155-156;
Evans, 400 U.S. at
400 U. S. 86-87
(plurality opinion);
Inadi, 475 U.S. at
475 U. S. 393,
n. 5;
see also Evans, supra, 400 U.S. at
400 U. S. 94-95
(Harlan, J., concurring in result).
The State, in any event, does not press the matter strongly, and
recognizes that, because the younger daughter's hearsay statements
do not fall within a firmly rooted hearsay exception, they are
"presumptively unreliable and inadmissible for Confrontation Clause
purposes,"
Lee, 476 U.S. at
476 U. S. 543,
and "must be excluded, at least absent a showing of particularized
guarantees of trustworthiness,"
Roberts, 448 U.S. at
448 U. S. 66.
The court below concluded that the State had not made such a
showing, in large measure because the statements resulted from an
interview lacking certain procedural safeguards. The court below
specifically noted that Dr. Jambura failed to record the interview
on videotape, asked leading questions, and questioned the child
with a preconceived idea of what she should be disclosing.
See 116 Idaho at 388, 775 P.2d, at 1230.
Although we agree with the court below that the Confrontation
Clause bars the admission of the younger daughter's hearsay
statements, we reject the apparently dispositive weight placed by
that court on the lack of procedural safeguards at the interview.
Out-of-court statements made by children regarding sexual abuse
arise in a wide variety of circumstances, and we do not believe the
Constitution imposes a fixed set of procedural prerequisites to the
admission of such statements at trial. The procedural requirements
identified by the court below, to the extent regarded as conditions
precedent to the admission of child hearsay statements in child
sexual abuse cases, may in many instances be inappropriate or
unnecessary to a determination whether a given statement is
sufficiently trustworthy for Confrontation Clause purposes.
See, e.g., Nelson v. Farrey, 874 F.2d 1222, 1229 (CA7
1989) (videotape requirement not feasible,
Page 497 U. S. 819
especially where defendant had not yet been criminally charged),
cert. denied, 493 U.S. 1042 (1990); J. Myers, Child
Witness Law and Practice § 4.6, pp. 129-134 (1987) (use of
leading questions with children, when appropriate, does not
necessarily render responses untrustworthy). Although the
procedural guidelines propounded by the court below may well
enhance the reliability of out-of-court statements of children
regarding sexual abuse, we decline to read into the Confrontation
Clause a preconceived and artificial litmus test for the procedural
propriety of professional interviews in which children make hearsay
statements against a defendant.
The State responds that a finding of "particularized guarantees
of trustworthiness" should instead be based on a consideration of
the totality of the circumstances, including not only the
circumstances surrounding the making of the statement but also
other evidence at trial that corroborates the truth of the
statement. We agree that "particularized guarantees of
trustworthiness" must be shown from the totality of the
circumstances, but we think the relevant circumstances include only
those that surround the making of the statement and that render the
declarant particularly worthy of belief. This conclusion derives
from the rationale for permitting exceptions to the general rule
against hearsay:
"The theory of the hearsay rule . . . is that the many possible
sources of inaccuracy and untrustworthiness which may lie
underneath the bare untested assertion of a witness can best be
brought to light and exposed, if they exist, by the test of
cross-examination. But this test or security may in a given
instance be superfluous; it may be sufficiently clear, in that
instance, that the statement offered is free enough from the risk
of inaccuracy and untrustworthiness so that the test of
cross-examination would be a work of supererogation."
5 J. Wigmore, Evidence § 1420, p. 251 (J. Chadbourne rev.
1974).
Page 497 U. S. 820
In other words, if the declarant's truthfulness is so clear from
the surrounding circumstances that the test of cross-examination
would be of marginal utility, then the hearsay rule does not bar
admission of the statement at trial. The basis for the "excited
utterance" exception, for example, is that such statements are
given under circumstances that eliminate the possibility of
fabrication, coaching, or confabulation, and that therefore the
circumstances surrounding the making of the statement provide
sufficient assurance that the statement is trustworthy and that
cross-examination would be superfluous.
See, e.g., 6
Wigmore,
supra, §§ 1745-1764; 4 J. Weinstein
& M. Berger, Weinstein's Evidence � 803(2)[01] (1988);
Advisory Committee's Note on Fed.Rule Evid. 803(2), 28 U.S.C.App.,
p. 778. Likewise, the "dying declaration" and "medical treatment"
exceptions to the hearsay rule are based on the belief that persons
making such statements are highly unlikely to lie.
See, e.g.,
Mattox, 156 U.S. at
156 U. S. 244
("[T]he sense of impending death is presumed to remove all
temptation to falsehood, and to enforce as strict an adherence to
the truth as would the obligation of oath");
Queen v.
Osman, 15 Cox Crim.Cas. 1, 3 (Eng.N.Wales Cir.1881) (Lush,
L.J.) ("[N]o person, who is immediately going into the presence of
his Maker will do so with a lie upon his lips"); Mosteller, Child
Sexual Abuse and Statements for the Purpose of Medical Diagnosis or
Treatment, 67 N.C.L.Rev. 257 (1989).
"The circumstantial guarantees of trustworthiness on which the
various specific exceptions to the hearsay rule are based are those
that existed at the time the statement was made, and do not include
those that may be added by using hindsight."
Huff v. White Motor Corp., 609 F.2d 286, 292 (CA7
1979).
We think the "particularized guarantees of trustworthiness"
required for admission under the Confrontation Clause must likewise
be drawn from the totality of circumstances that surround the
making of the statement and that render the declarant particularly
worthy of belief. Our precedents
Page 497 U. S. 821
have recognized that statements admitted under a "firmly rooted"
hearsay exception are so trustworthy that adversarial testing would
add little to their reliability.
See Green, 399 U.S. at
399 U. S. 161
(examining "whether subsequent cross-examination at the defendant's
trial will still afford the trier of fact a satisfactory basis for
evaluating the truth of the prior statement");
see also
Mattox, 156 U.S. at
156 U. S. 244;
Evans, 400 U.S. at
400 U. S. 88-89
(plurality opinion);
Roberts, 448 U.S. at
448 U. S. 66,
73. Because evidence possessing "particularized guarantees of
trustworthiness" must be at least as reliable as evidence admitted
under a firmly rooted hearsay exception,
see Roberts,
supra, at
448 U. S. 66, we
think that evidence admitted under the former requirement must
similarly be so trustworthy that adversarial testing would add
little to its reliability.
See Lee v. Illinois, 476 U.S.
at
476 U. S. 544
(determining indicia of reliability from the circumstances
surrounding the making of the statement);
see also State v.
Ryan, 103 Wash. 2d
165, 174,
691 P.2d
197, 204 (1984) ("Adequate indicia of reliability [under
Roberts] must be found in reference to circumstances
surrounding the making of the out-of-court statement, and not from
subsequent corroboration of the criminal act"). Thus, unless an
affirmative reason, arising from the circumstances in which the
statement was made, provides a basis for rebutting the presumption
that a hearsay statement is not worthy of reliance at trial, the
Confrontation Clause requires exclusion of the out-of-court
statement.
The state and federal courts have identified a number of factors
that we think properly relate to whether hearsay statements made by
a child witness in child sexual abuse cases are reliable.
See,
e.g., State v. Robinson, 153 Ariz. 191, 201,
735 P.2d
801, 811 (1987) (spontaneity and consistent repetition);
Morgan v. Foretich, 846 F.2d 941, 948 (CA4 1988) (mental
state of the declarant);
State v. Sorenson, 143 Wis.2d
226, 246,
421 N.W.2d
77, 85 (1988) (use of terminology unexpected of a child of
similar age);
State v. Kuone, 243 Kan. 218, 221-222,
757 P.2d 289,
292-293 (1988) (lack
Page 497 U. S. 822
of motive to fabricate). Although these cases (which we cite for
the factors they discuss and not necessarily to approve the results
that they reach) involve the application of various hearsay
exceptions to statements of child declarants, we think the factors
identified also apply to whether such statements bear
"particularized guarantees of trustworthiness" under the
Confrontation Clause. These factors are, of course, not exclusive,
and courts have considerable leeway in their consideration of
appropriate factors. We therefore decline to endorse a mechanical
test for determining "particularized guarantees of trustworthiness"
under the Clause. Rather, the unifying principle is that these
factors relate to whether the child declarant was particularly
likely to be telling the truth when the statement was made.
As our discussion above suggests, we are unpersuaded by the
State's contention that evidence corroborating the truth of a
hearsay statement may properly support a finding that the statement
bears "particularized guarantees of trustworthiness." To be
admissible under the Confrontation Clause, hearsay evidence used to
convict a defendant must possess indicia of reliability by virtue
of its inherent trustworthiness, not by reference to other evidence
at trial.
Cf. Delaware v. Van Arsdall, 475 U.
S. 673, 680 (1986).
"[T]he Clause countenances only hearsay marked with such
trustworthiness that 'there is no material departure from the
reason of the general rule.'"
Roberts, 448 U.S. at
448 U. S. 65
(quoting
Snyder v. Massachusetts, 291 U. S.
97,
291 U. S. 107
(1934)). A statement made under duress, for example, may happen to
be a true statement, but the circumstances under which it is made
may provide no basis for supposing that the declarant is
particularly likely to be telling the truth -- indeed, the
circumstances may even be such that the declarant is particularly
unlikely to be telling the truth. In such a case, cross-examination
at trial would be highly useful to probe the declarant's
state-of-mind when he made the statements; the presence of evidence
tending
Page 497 U. S. 823
to corroborate the truth of the statement would be no substitute
for cross-examination of the declarant at trial.
In short, the use of corroborating evidence to support a hearsay
statement's "particularized guarantees of trustworthiness" would
permit admission of a presumptively unreliable statement by
bootstrapping on the trustworthiness of other evidence at trial, a
result we think at odds with the requirement that hearsay evidence
admitted under the Confrontation Clause be so trustworthy that
cross-examination of the declarant would be of marginal utility.
Indeed, although a plurality of the Court in
Dutton v.
Evans looked to corroborating evidence as one of four factors
in determining whether a particular hearsay statement possessed
sufficient indicia of reliability,
see 400 U.S. at
400 U. S. 88, we
think the presence of corroborating evidence more appropriately
indicates that any error in admitting the statement might be
harmless, rather than that any basis exists for presuming the
declarant to be trustworthy.
See id. at
400 U. S. 90
(BLACKMUN, J., joined by Burger, C.J., concurring) (finding
admission of the statement at issue to be harmless error, if error
at all);
see also 4 D. Louisell & C. Mueller, Federal
Evidence § 418, p. 143 (1980) (discussing
Evans).
Page 497 U. S. 824
Moreover, although we considered in
Lee v. Illinois the
"interlocking" nature of a codefendant's and a defendant's
confessions to determine whether the codefendant's confession was
sufficiently trustworthy for confrontation purposes, we declined to
rely on corroborative physical evidence and indeed rejected the
"interlock" theory in that case. 476 U.S. at
476 U. S.
545-546. We cautioned that "[t]he true danger inherent
in this type of hearsay is, in fact, its selective reliability."
Id. at
476 U. S. 545.
This concern applies in the child hearsay context as well:
Corroboration of a child's allegations of sexual abuse by medical
evidence of abuse, for example, sheds no light on the reliability
of the child's allegations regarding the identity of the abuser.
There is a very real danger that a jury will rely on partial
corroboration to mistakenly infer the trustworthiness of the entire
statement. Furthermore, we recognized the similarity between
harmless-error analysis and the corroboration inquiry when we noted
in
Lee that the harm of
"admission of the [hearsay] statement [was that it] poses too
serious a threat to the accuracy of the verdict to be countenanced
by the Sixth Amendment."
Ibid.
Finally, we reject respondent's contention that the younger
daughter's out-of-court statements in this case are
per se
unreliable, or at least presumptively unreliable, on the ground
that the trial court found the younger daughter incompetent to
testify at trial. First, respondent's contention rests upon a
questionable reading of the record in this case. The trial court
found only that the younger daughter was "not capable of
communicating to the jury." App. 39. Although Idaho law provides
that a child witness may not testify if he "appear[s] incapable of
receiving just impressions of the facts respecting which they are
examined, or of relating them truly," Idaho Code § 9-202
(Supp.1989); Idaho Rule Evid. 601(a), the trial court in this case
made no such findings. Indeed, the more reasonable inference is
that, by ruling that the statements were admissible under Idaho's
residual hearsay
Page 497 U. S. 825
exception, the trial court implicitly found that the younger
daughter, at the time she made the statements, was capable of
receiving just impressions of the facts and of relating them truly.
See App. 115. In addition, we have in any event held that
the Confrontation Clause does not erect a
per se rule
barring the admission of prior statements of a declarant who is
unable to communicate to the jury at the time of trial.
See,
e.g., Mattox, 156 U.S. at
156 U. S.
243-244;
see also 4 Louisell & Mueller,
supra, § 486, pp. 1041-1045. Although such inability
might be relevant to whether the earlier hearsay statement
possessed particularized guarantees of trustworthiness, a
per
se rule of exclusion would not only frustrate the
truth-seeking purpose of the Confrontation Clause, but would also
hinder States in their own "enlightened development in the law of
evidence,"
Evans, 400 U.S. at
400 U. S. 95
(Harlan, J., concurring in result).
III
The trial court in this case, in ruling that the Confrontation
Clause did not prohibit admission of the younger daughter's hearsay
statements, relied on the following factors:
"In this case, of course, there is physical evidence to
corroborate that sexual abuse occurred. It would also seem to be
the case that there is no motive to make up a story of this nature
in a child of these years. We're not talking about a pubescent
youth who may fantasize. The nature of the statements themselves as
to sexual abuse are such that they fall outside the general
believability that a child could make them up or would make them
up. This is simply not the type of statement, I believe, that one
would expect a child to fabricate."
"We come then to the identification itself. Are there any
indicia of reliability as to identification? From the doctor's
testimony, it appears that the injuries testified to occurred at
the time that the victim was in the custody of the Defendants. The
[older daughter] has testified as to identification of [the]
perpetrators. Those -- the identification
Page 497 U. S. 826
of the perpetrators in this case are persons well known to the
[younger daughter]. This is not a case in which a child is called
upon to identify a stranger or a person with whom they would have
no knowledge of their identity or ability to recollect and recall.
Those factors are sufficient indicia of reliability to permit the
admission of the statements."
App. 115. Of the factors the trial court found relevant, only
two relate to circumstances surrounding the making of the
statements: whether the child had a motive to "make up a story of
this nature" and whether, given the child's age, the statements are
of the type "that one would expect a child to fabricate."
Ibid. The other factors on which the trial court relied,
however, such as the presence of physical evidence of abuse, the
opportunity of respondent to commit the offense, and the older
daughter's corroborating identification, relate instead to whether
other evidence existed to corroborate the truth of the statement.
These factors, as we have discussed, are irrelevant to a showing of
the "particularized guarantees of trustworthiness" necessary for
admission of hearsay statements under the Confrontation Clause.
We think the Supreme Court of Idaho properly focused on the
presumptive unreliability of the out-of-court statements and on the
suggestive manner in which Dr. Jambura conducted the interview.
Viewing the totality of the circumstances surrounding the younger
daughter's responses to Dr. Jambura's questions, we find no special
reason for supposing that the incriminating statements were
particularly trustworthy. The younger daughter's last statement
regarding the abuse of the older daughter, however, presents a
closer question. According to Dr. Jambura, the younger daughter
"volunteered" that statement "after she sort of clammed-up."
Id. at 123. Although the spontaneity of the statement and
the change in demeanor suggest that the younger daughter was
telling the truth when she made the statement, we note that it is
possible that,
"[i]f there is evidence of prior interrogation,
Page 497 U. S. 827
prompting, or manipulation by adults, spontaneity may be an
inaccurate indicator of trustworthiness."
Robinson, 153 Ariz., at 201, 735 P.2d, at 811.
Moreover, the statement was not made under circumstances of
reliability comparable to those required, for example, for the
admission of excited utterances or statements made for purposes of
medical diagnosis or treatment. Given the presumption of
inadmissibility accorded accusatory hearsay statements not admitted
pursuant to a firmly rooted hearsay exception,
Lee, 476
U.S. at
476 U. S. 543,
we agree with the court below that the State has failed to show
that the younger daughter's incriminating statements to the
pediatrician possessed sufficient "particularized guarantees of
trustworthiness" under the Confrontation Clause to overcome that
presumption.
The State does not challenge the Idaho Supreme Court's
conclusion that the Confrontation Clause error in this case was not
harmless beyond a reasonable doubt, and we see no reason to revisit
the issue. We therefore agree with that court that respondent's
conviction involving the younger daughter must be reversed and the
case remanded for further proceedings. Accordingly, the judgment of
the Supreme Court of Idaho is affirmed.
It is so ordered.
* The dissent suggests that the Court unequivocally rejected
this view in
Cruz v. New York, 481 U.
S. 186,
481 U. S. 192
(1987), but the quoted language on which the dissent relies,
post at
497 U. S. 832,
is taken out of context.
Cruz involved the admission at a
joint trial of a nontestifying codefendant's confession that
incriminated the defendant. where the jury was instructed to
consider that confession only against the codefendant, and where
the defendant's own confession, corroborating that of his
codefendant, was introduced against him. The Court in
Cruz, relying squarely on
Bruton v. United
States, 391 U. S. 123
(1968), held that the admission of the codefendant's confession
violated the Confrontation Clause. 481 U.S. at
481 U. S. 193.
The language on which the dissent relies appears in a paragraph
discussing whether the "interlocking" nature of the confessions was
relevant to the applicability of
Bruton (the Court
concluded that it was not). The Court in that case said nothing
about whether the codefendant's confession would be admissible
against the defendant simply because it may have "interlocked" with
the defendant's confession.
Justice KENNEDY, with whom THE CHIEF JUSTICE, Justice WHITE and
Justice BLACKMUN join, dissenting.
The issue is whether the Sixth Amendment right of confrontation
is violated when statements from a child who is unavailable to
testify at trial are admitted under a hearsay exception against a
defendant who stands accused of abusing her. The Court today holds
that it is not, provided that the child's statements bear
"particularized guarantees of trustworthiness."
Ohio v.
Roberts, 448 U. S. 56,
448 U. S. 66
(1980). I agree. My disagreement is with the rule the Court invents
to control this inquiry, and with the Court's ultimate
determination that the statements in question here must be
inadmissible as violative of the Confrontation Clause.
Page 497 U. S. 828
Given the principle, for cases involving hearsay statements that
do not come within one of the traditional hearsay exceptions, that
admissibility depends upon finding particular guarantees of
trustworthiness in each case, it is difficult to state rules of
general application. I believe the Court recognizes this. The
majority errs, in my view, by adopting a rule that corroboration of
the statement by other evidence is an impermissible part of the
trustworthiness inquiry. The Court's apparent ruling is that
corroborating evidence may not be considered in whole or in part
for this purpose. [
Footnote 1]
This limitation, at least on a facial interpretation of the Court's
analytic categories, is a new creation by the Court; it likely will
prove unworkable, and does not even square with the examples of
reliability indicators the Court itself invokes; and it is contrary
to our own precedents.
I see no constitutional justification for this decision to
prescind corroborating evidence from consideration of the question
whether a child's statements are reliable. It is a matter of common
sense for most people that one of the best ways to determine
whether what someone says is trustworthy is to see if it is
corroborated by other evidence. In the context of child abuse, for
example, if part of the child's hearsay statement is that the
assailant tied her wrists or had a scar on his lower abdomen, and
there is physical evidence or testimony to corroborate the child's
statement, evidence which the child
Page 497 U. S. 829
could not have fabricated, we are more likely to believe that
what the child says is true. Conversely, one can imagine a
situation in which a child makes a statement which is spontaneous
or is otherwise made under circumstances indicating that it is
reliable, but which also contains undisputed factual inaccuracies
so great that the credibility of the child's statements is
substantially undermined. Under the Court's analysis, the statement
would satisfy the requirements of the Confrontation Clause despite
substantial doubt about its reliability. Nothing in the law of
evidence or the law of the Confrontation Clause countenances such a
result; on the contrary, most federal courts have looked to the
existence of corroborating evidence or the lack thereof to
determine the reliability of hearsay statements not coming within
one of the traditional hearsay exceptions.
See 4 D.
Louisell & C. Mueller, Federal Evidence § 472, p. 929
(1980) (collecting cases); 4 J. Weinstein & M. Berger,
Weinstein's Evidence � 804(b)(5)[01] (1988) (same).
Specifically with reference to hearsay statements by children, a
review of the cases has led a leading commentator on child witness
law to conclude flatly:
"If the content of an out-of-court statement is supported or
corroborated by other evidence, the reliability of the hearsay is
strengthened."
J. Myers, Child Witness Law and Practice § 5.37, p. 364
(1987). [
Footnote 2] The
Court's apparent misgivings
Page 497 U. S. 830
about the weight to be given corroborating evidence,
see
ante at
497 U. S. 824,
may or may not be correct, but those misgivings do not justify
wholesale elimination of this evidence from consideration in
derogation of an overwhelming judicial and legislative consensus to
the contrary. States are of course free, as a matter of state law,
to demand corroboration of an unavailable child declarant's
statements as well as other indicia of reliability before allowing
the statements to be admitted
Page 497 U. S. 831
into evidence. Until today, however, no similar distinction
could be found in our precedents interpreting the Confrontation
Clause. If anything, the many state statutes requiring
corroboration of a child declarant's statements emphasize the
relevance, not the irrelevance, of corroborating evidence to the
determination whether an unavailable child witness's statements
bear particularized guarantees of trustworthiness, which is the
ultimate inquiry under the Confrontation Clause. In sum, whatever
doubt the Court has with the weight to be given the corroborating
evidence found in this case is no justification for rejecting the
considered wisdom of virtually the entire legal community that
corroborating evidence is relevant to reliability and
trustworthiness.
Far from rejecting this common-sense proposition, the very cases
relied upon by the Court today embrace it. In
Lee v.
Illinois, 476 U. S. 530
(1986), we considered whether the confession of a codefendant that
"interlocked" with a defendant's own confession bore particularized
guarantees of trustworthiness so that its admission into evidence
against the defendant did not violate the Confrontation Clause.
Although the Court's ultimate conclusion was that the confession
did not bear sufficient indicia of reliability, its analysis was
far different from that utilized by the Court in the present case.
The Court today notes that, in
Lee, we determined the
trustworthiness of the confession by looking to the circumstances
surrounding its making,
see ante at
497 U. S. 821;
what the Court omits from its discussion of Lee is the fact that we
also considered the extent of the "interlock," that is, the extent
to which the two confessions corroborated each other. The Court in
Lee was unanimous in its recognition of corroboration as a
legitimate indicator of reliability; the only disagreement was
whether the corroborative nature of the confessions and the
circumstances of their making were sufficient to satisfy the
Confrontation Clause.
See 476 U.S. at
476 U. S. 546
(finding insufficient indicia of reliability, "
flowing from
either
Page 497 U. S. 832
the circumstances surrounding the confession or the
interlocking' character of the confessions," to support
admission of the codefendant's confession) (emphasis added);
id. at 476 U. S. 557
(BLACKMUN, J., dissenting) (finding the codefendant's confession
supported by sufficient indicia of reliability including, inter
alia, "extensive and convincing corroboration by petitioner's
own confession" and "further corroboration provided by the physical
evidence"). See also New Mexico v. Earnest, 477 U.
S. 648, 477 U. S. 649,
n. * (1986) (REHNQUIST, J., concurring); Dutton v. Evans,
400 U. S. 74,
400 U. S. 88-89
(1970) (plurality opinion).
The Court today suggests that the presence of corroborating
evidence goes more to the issue of whether the admission of the
hearsay statements was harmless error than whether the statements
themselves were reliable, and therefore admissible.
See
ante at
497 U. S. 823.
Once again, in the context of interlocking confessions, our
previous cases have been unequivocal in rejecting this
suggestion:
"Quite obviously, what the 'interlocking' nature of the
codefendant's confession pertains to is not its harmfulness, but
rather its
reliability: If it confirms essentially the
same facts as the defendant's own confession, it is more likely to
be true."
Cruz v. New York, 481 U. S. 186,
481 U. S. 192
(1987) (emphasis in original). It was precisely because the
"interlocking" nature of the confessions heightened their
reliability as hearsay that we noted in
Cruz that,
"[o]f course, the defendant's confession may be considered at
trial in assessing whether his codefendant's statements are
supported by sufficient 'indicia of reliability' to be directly
admissible against him."
Id. at
481 U. S.
193-194 (citing
Lee, supra, 476 U.S. at
476 U. S.
543-544). In short, corroboration has been an essential
element in our past hearsay cases, and there is no justification
for a categorical refusal to consider it here.
Our Fourth Amendment cases are also premised upon the idea that
corroboration is a legitimate indicator of reliability.
Page 497 U. S. 833
We have long held that corroboration is an essential element in
determining whether police may act on the basis of an informant's
tip, for the simple reason that "because an informant is shown to
be right about some things, he is probably right about other facts
that he has alleged."
Alabama v. White, 496 U.
S. 325,
496 U. S. 331
(1990).
See also Illinois v. Gates, 462 U.
S. 213,
462 U. S. 244,
245 (1983);
Spinelli v. United States, 393 U.
S. 410,
393 U. S. 415
(1969);
Jones v. United States, 362 U.
S. 257,
362 U. S. 271
(1960).
The Court does not offer any justification for barring the
consideration of corroborating evidence other than the suggestion
that corroborating evidence does not bolster the "inherent
trustworthiness" of the statements.
Ante at
497 U. S. 822.
But for purposes of determining the reliability of the statements,
I can discern no difference between the factors that the Court
believes indicate "inherent trustworthiness" and those, like
corroborating evidence, that apparently do not. Even the factors
endorsed by the Court will involve consideration of the very
evidence the Court purports to exclude from the reliability
analysis. The Court notes that one test of reliability is whether
the child "use[d] . . . terminology unexpected of a child of
similar age."
Ante at
497 U. S. 821.
But making this determination requires consideration of the child's
vocabulary skills and past opportunity, or lack thereof, to learn
the terminology at issue. And, when all of the extrinsic
circumstances of a case are considered, it may be shown that use of
a particular word or vocabulary in fact supports the inference of
prolonged contact with the defendant, who was known to use the
vocabulary in question. As a further example, the Court notes that
motive to fabricate is an index of reliability.
Ibid. But
if the suspect charges that a third person concocted a false case
against him and coached the child, surely it is relevant to show
that the third person had no contact with the child or no
opportunity to suggest false testimony. Given the contradictions
inherent in the Court's test when
Page 497 U. S. 834
measured against its own examples, I expect its holding will
soon prove to be as unworkable as it is illogical.
The short of the matter is that both the circumstances existing
at the time the child makes the statements and the existence of
corroborating evidence indicate, to a greater or lesser degree,
whether the statements are reliable. If the Court means to suggest
that the circumstances surrounding the making of a statement are
the best indicators of reliability, I doubt this is so in every
instance. And, if it were true in a particular case, that does not
warrant ignoring other indicators of reliability such as
corroborating evidence, absent some other reason for excluding it.
If anything, I should think that corroborating evidence in the form
of testimony or physical evidence, apart from the narrow
circumstances in which the statement was made, would be a preferred
means of determining a statement's reliability for purposes of the
Confrontation Clause, for the simple reason that, unlike other
indicators of trustworthiness, corroborating evidence can be
addressed by the defendant and assessed by the trial court in an
objective and critical way.
In this case, the younger daughter's statements are corroborated
in at least four respects: (1) physical evidence that she was the
victim of sexual abuse; (2) evidence that she had been in the
custody of the suspect at the time the injuries occurred; (3)
testimony of the older daughter that their father abused the
younger daughter, thus corroborating the younger daughter's
statement; and (4) the testimony of the older daughter that she
herself was abused by their father, thus corroborating the younger
daughter's statement that her sister had also been abused.
These facts, coupled with the circumstances surrounding the
making of the statements acknowledged by the Court as suggesting
that the statements are reliable, give rise to a legitimate
argument that admission of the statements did not violate the
Confrontation Clause. Because the Idaho Supreme Court did not
consider these factors, I would vacate its judgment reversing
respondent's
Page 497 U. S. 835
conviction and remand for it to consider in the first instance
whether the child's statements bore "particularized guarantees of
trustworthiness" under the analysis set forth in this separate
opinion.
For these reasons, I respectfully dissent.
[
Footnote 1]
The Court also states that the child's hearsay statements are
"presumptively unreliable."
Ante at
497 U. S. 818.
I take this to mean only that the government bears the burden of
coming forward with indicia of reliability sufficient for the
purposes of the Confrontation Clause, and that, if it fails to do
so, the statements are inadmissible. A presumption of unreliability
exists as a counterweight to the indicia of reliability offered by
the government only where there is an affirmative reason to believe
that a particular category of hearsay may be unreliable.
See,
e.g., Lee v. Illinois, 476 U. S. 530,
476 U. S. 545
(1986) ("[A] codefendant's confession is presumptively unreliable
as to the passages detailing the defendant's conduct or culpability
because those passages may well be the product of the codefendant's
desire to shift or spread blame, curry favor, avenge himself, or
divert attention to another").
[
Footnote 2]
A sampling of cases using corroborating evidence as to support a
finding that a child's statements were reliable includes:
United States v. Dorian, 803 F.2d 1439, 1445 (CA8 1986);
United States v. Cree, 778 F.2d 474, 477 (CA8 1985);
United States v. Nick, 604 F.2d 1199, 1204 (CA9 1979);
State v. Allen, 157 Ariz. 165, 176-178,
755 P.2d
1153, 1164-1166 (1988);
State v. Robinson, 153 Ariz.
191, 204,
735 P.2d
801 814 (1987);
State v. Bellotti, 383
N.W.2d 308, 315 (Minn.App. 1986);
State v.
Soukup, 376
N.W.2d 498, 501 (Minn.App.1985);
State v. Doe, 94 N.M.
637, 639,
614 P.2d
1086, 1088 (App.1980);
State v.
McCafferty, 356 N.W.2d
159, 164 (S.D.1984);
United States v. Quick, 22 M.J.
722, 724 (A.C.M.R.1986). Numerous other cases rely upon
corroboration pursuant to state statutory rules regarding hearsay
statements by children.
See J. Myers § 5.38.
Aside from
Lee v. Illinois, supra, discussed
infra, the only case cited by the Court for the
proposition that corroborative evidence is irrelevant to
reliability is
State v. Ryan, 103
Wash. 2d 165, 174,
691 P.2d
197, 204 (1984). The Court quotes the opinion out of context.
In holding that corroborating evidence could not be used to
demonstrate reliability, the Washington Supreme Court was not
interpreting the Confrontation Clause; rather, its opinion clearly
reveals that the court's holding was an interpretation of a
Washington statute, Wash.Rev.Code Ann. § 9 A. 44.120 (1988),
which provided that hearsay statements from an unavailable child
declarant could be admitted into evidence at trial only if they
were reliable and corroborated by other evidence. The portion of
the opinion following the sentence quoted by the majority reveals
the true nature of its holding:
"The trial court was apparently persuaded that the statements of
the children must be reliable, if, in hindsight they prove to be
true. RCW 9 A. 44.120 demands more."
"
The statute requires separate determinations of
reliability
and corroboration when the child is
unavailable. The word 'and' is conjunctive. . . . The Legislature
would have used the word 'or' had they intended the disjunctive. .
. . Although defendant's confession was offered as corroboration,
wholly absent are the requisite circumstantial guarantees of
reliability."
State v. Ryan, supra, at 174, 691 P.2d, at 204.
(citations omitted; emphasis added). Other States also have
expressly recognized the need for and legitimacy of considering
corroborating evidence in determining whether a child declarant's
statements are trustworthy and should be admitted into evidence.
See Ariz.Rev. Stat.Ann. § 13-1416 (1989); Ark.Rule
Evid. 803(25)(A); Cal.Evid.Code Ann. § 1228 (West 1990);
Colo.Rev.Stat. § 13-25-129 (1987); Fla. Stat. §
90.803(23) (1989); Idaho Code § 19-3024 (1987); Ill.Rev.Stat.,
ch. 38, � 115-10 (1989); Ind.Code § 35-37-4-6 (1988);
Md.Cts. & Jud.Proc.Code Ann. § 9-103.1 (1989); Minn. Stat.
§ 595.02(3) (1988); Miss.Code.Ann. § 13-1-403
(Supp.1989); N.J.R.Evid. 63 (1989); N.D.Rule Evid. 803(24);
Okla.Stat.Tit. 12, § 2803.1 (1989); Oregon Rev.Stat. §
40.460 (1989); 42 Pa.Cons.Stat. § 5985.1 (1989); S.D. Codified
Laws § 19-16-38 (1987); Utah Code Ann. § 76-5-411
(1990).