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- Subject: 89-260--OPINION, IDAHO v. WRIGHT
-
-
-
-
- NOTICE: This opinion is subject to formal revision before publication in
- the preliminary print of the United States Reports. Readers are requested
- to notify the Reporter of Decisions, Supreme Court of the United States,
- Washington, D. C. 20543, of any typographical or other formal errors, in
- order that corrections may be made before the preliminary print goes to
- press.
-
-
- SUPREME COURT OF THE UNITED STATES
-
-
- No. 89-260
-
-
-
- IDAHO, PETITIONER v. LAURA LEE WRIGHT
-
-
- on writ of certiorari to the supreme court of idaho
-
- [June 27, 1990]
-
-
-
- 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 MDRV 18-1508 (1987). The alleged victims were respondent's two
- daughters, one of whom was 512 and the other 212 years old at the time the
- crimes were charged.
- 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:
-
- "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?
- "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 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 Su preme 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. Jam
- bura'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, 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 Confron tation
- 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. ---- (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,
- 243 (1895); Pointer v. Texas, 380 U. S. 400, 407 (1965). We reaffirmed
- only recently that "[w]hile a literal interpre tation 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, 182 (1987) (quoting
- Ohio v. Roberts, 448 U. S. 56, 63 (1980)); see also Maryland v. Craig,
- ante, at ---- ("[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, 155-156 (1970); Dutton v. Evans, 400 U.
- S. 74, 86 (1970) (plurality opinion); United States v. Inadi, 475 U. S.
- 387, 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, at 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
- 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 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 66 (footnote
- omitted); see also Mancusi v. Stubbs, 408 U. S. 204, 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., at 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, at 724-725; Mancusi, supra, at 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
- Green, supra, at 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 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 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 Confron tation 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 66; see also Bourjaily, 483 U. S., at 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, 543 (1986) ("[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 relia bility 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 243; Roberts, 448 U. S., at 66; Bourjaily, 483 U.
- S., at 183; see also Lee, 476 U. S., at 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 MDRV 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 stature, a step this Court has repeatedly
- declined to take. See Green, 399 U. S., at 155-156; Evans, 400 U. S., at
- 86-87 (plurality opinion); Inadi, 475 U. S., at 393, n. 5; see also Evans,
- supra, at 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 543, and "must be excluded, at least absent a showing of
- particularized guarantees of trustworthiness," Roberts, 448 U. S., at 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.
- Jam bura 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, especially where
- defendant had not yet been criminally charged), cert. denied, 493 U. S.
- ---- (1990); J. Myers, Child Witness Law and Practice MDRV 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
- in accuracy and untrustworthiness, so that the test of cross-examination
- would be a work of supererogation." 5 J. Wigmore, Evidence MDRV 1420, p.
- 251 (J. Chadbourne rev. 1974).
-
-
- 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, 15
- 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 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
- 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 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 244; Evans, 400 U. S., at
- 88-89 (plurality opinion); Roberts, 448 U. S., at 65, 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 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 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
- con sistent 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 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 vari- ous 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 "par ticularized 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 coun tenances only hearsay marked with such
- trustworthiness that `there is no material departure from the reason of the
- general rule.' " Roberts, 448 U. S., at 65 (quoting Snyder v.
- Massachusetts, 291 U. S. 97, 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 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 88, we think the presence of
- corroborating evidence more appropriately indicates that any error in
- admitting the statement might be harmless, {1} rather than that any basis
- exists for presuming the declarant to be trustworthy. See id., at 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 MDRV 418, p. 143 (1980)
- (discussing Evans).
- 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 545-546. We cautioned that "[t]he true danger inherent in this type
- of hearsay is, in fact, its selective reliability." Id., at 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. (emphasis added).
- 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 MDRV 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 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 243-244; see also 4
- Louisell & Mueller, supra, MDRV 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 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 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, 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 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 Su preme Court of Idaho is affirmed.
-
- It is so ordered.
-
-
- ------------------------------------------------------------------------------
- 1
- The dissent suggests that the Court unequivocally rejected this view in
- Cruz v. New York, 481 U. S. 186, 192 (1987), but the quoted language on
- which the dissent relies, post, at 6, is taken out of context. Cruz
- involved the admission at a joint trial of a nontestifying codefendant's
- con fession 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
- 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.
-