Exceptions to Hearsay Rules: Witness Statements and Party Admissions, Schemes and Mind Maps of Business

Download Exceptions to Hearsay Rules: Witness Statements and Party Admissions and more Schemes and Mind Maps Business in PDF only on Docsity! {00182688.DOCX / } HEARSAY OBJECTIONS AND EXCEPTIONS By Simon H. Bloom & Ryan E. Harbin Bloom Sugarman, LLP The analysis of a hearsay problem—whether you’re thinking as the proponent of a statement or planning your objections—comes down to three questions. Firs, is the statement being offered to prove the truth of the matter asserted? If not, the statement is not hearsay. Second, is the statement a witness’s prior statement or a party admission that falls under Rule 801(d)? If so, the statement is again not hearsay. Finally, is the statement admissible as an exception? This paper covers the second and third questions. I. FRE 801(d) Exceptions – Statements That Are Not Hearsay Aside from statements that are not offered to prove the truth of the matter asserted,1 Rule 801(d) provides for two categories of statements that also not considered hearsay. If a proponent’s statement meets the conditions set forth in either, the statement is not considered hearsay at all.2 1. Declarant’s Prior Statement The prior statement of a testifying declarant who is subject to cross examination is not hearsay under three circumstances. First, the prior statement is inconsistent with the declarant’s testimony and was given under oath.3 Second, the prior statement is consistent with the declarant’s testimony and is offered in rebuttal of an implication that the declarant is lying or 1 Fed. R. Evid. 801(c)(2). 2 Fed. R. Evid. 801(d). 3 Fed. R. Evid. 801(d)(1)(A). {00182688.DOCX / } testifying due to an improper motive.4 Third, the prior statement was one of identification of a person the declarant perceived at an earlier time.5 For example, in U.S. v. Brink,6 a defendant accused of robbing a bank wanted to admit a bank teller’s statement to the police when the teller testified at trial that she could not recall the robber’s eye color. The defendant’s eyes were light hazel while the teller’s prior statement described them as dark. The trial court refused to admit the prior statement on hearsay grounds, but the Third Circuit disagreed.7 The Third Circuit noted that statements of prior identification are admitted as substantive evidence because of “the generally unsatisfactory and inconclusive nature of courtroom identifications as compared with those made at an earlier time under less suggestive conditions.”8 The court found that generally statements of identification from lineups and photo spreads are admissible if the witness cannot make an identification at trial and that, since Rule 801 did not exclude exculpatory evidence, the same principles applied and the prior statement was admissible.9 2. Party Admission A party’s own statement offered against it by an opposing party is also not hearsay.10 This provision applies to the party individually or someone acting in a representative capacity, as 4 Fed. R. Evid. 801(d)(1)(B). See U.S. v. Payne, 944 F.2d 1458 (9th Cir. 1991) (upholding trial court’s admission of child molestation victim’s prior consistent statements to FBI where defendant had previously introduced inconsistent statements from the same FBI interviews to impeach victim). 5 Fed. R. Evid. 801(d)(1)(C). See U.S. v. Brink, 39 F.3d 419 (3d Cir. 1994) (finding that non- testifying declarant’s statement to testifying FBI agent the day after a robbery that the perpetrator had dark eyes not hearsay under this exception). 6 39 F.3d 419 (3d Cir. 1994). 7 Id. at 424-25. 8 Id. at 425. 9 Id. 10 Fed. R. Evid. 801(d)(2). {00182688.DOCX / } used Rule 803 exceptions. It is important to note that the declarant must still be speaking based on firsthand knowledge.24 1. Present Sense Impression The hearsay rule does not exclude any statement describing or explaining an event or condition made while the declarant was still perceiving the event or immediately after.25 For a statement to qualify as a present sense impression, it must meet three characteristics: (1) the declarant must have personally perceived the event described; (2) the declaration must be an explanation or description of the event rather than a narration; and (3) the declaration and the event described must be contemporaneous.26 2. Excited Utterance An excited utterance is a statement relating to a startling event or condition made while the declarant was still under the stress of the event or condition.27 Any such statement is excepted from the hearsay rule.28 For instance, in U.S. v. Pursley,29 the defendant was charged with beating a witness who had testified against him while the witness was in federal custody. The state sought to introduce testimony from the marshal on duty regarding statements made by the victim about the circumstances of the attack.30 The Tenth Circuit found these statements were excited utterances 24 Id. 25 Fed. R. Evid. 803(1). 26 U.S. v. Mitchell, 145 F.3d 572, 576 (3d Cir. 1998). 27 Fed. R. Evid. 803(2). 28 Id. 29 577 F.3d 1204 (10th Cir. 2009). 30 Id. at 1219. {00182688.DOCX / } and admissible as a hearsay exception.31 The court noted that the statements were obviously about a startling event and that the statements were made while still under the influence of the attack.32 The statements were made one hour after the attack, no intervening events occurred between the victim’s removal from their cell and the conversation with the marshal, and the victim made the statements about a minute after removal from his cell.33 3. Then-Existing Mental, Emotional, or Physical Condition This exception covers a statement made regarding the declarant’s contemporaneous state of mind or emotional, sensational or physical condition.34 Examples given in the statute include intent, plan, motive, mental feeling, and pain or bodily health.35 The statute expressly excludes any statement that covers the declarant’s memory, unless the statement related solely to the declarant’s will.36 The statute also excludes any statement regarding the intent of another person.37 Courts have found that the three factors governing foundation of statements under this exception are contemporaneousness, chance for reflection, and relevance.38 Georgia pointer: under the new Georgia rules, exceptions 803(1), 803(2), and 803(3) replace Georgia’s old res gestae rule. Unlike the old rule, statements under these exceptions must be made contemporaneously with the event or condition.39 31 Id. at 1220. 32 Id. 33 Id, 34 Fed. R. Evid. 803(3). 35 Id. 36 Id. 37 Id. 38 U.S. v. Miller, 874 F.2d 1255, 1264 (9th Cir. 1989). 39 O.C.G.A. § 28-8-803. {00182688.DOCX / } 4. Recorded Recollection This exception permits reading into evidence any record regarding a matter about which the witness once had knowledge but which the witness can no longer remember well enough to testify fully or accurately.40 The record must have been either made or adopted by the witness while the matter was still fresh in the witness’s memory.41 Additionally, the record must accurately reflect the witness’s knowledge.42 The memorandum or record cannot itself be made an exhibit under this exception unless offered by the other party.43 This exception can be successfully utilized even where the witness does not recall making the record being used.44 This hearsay exception should not be confused with Rule 612, which permits an attorney to use a prior writing simply to refresh a forgetful witness’s memory but not does permit introduction of the writing into evidence.45 5. Business Records Business records will be admitted if certain conditions are met:46 (1) the record must have been made at or near the time of the matter it covers;47 (2) it must have been either made by or based off information transmitted by someone with firsthand knowledge;48 (3) the record must be of the sort kept in the regular course of business; and (4) it must have been the regular 40 Fed. R. Evid. 803(5)(A). 41 Fed. R. Evid. 803(5)(B). 42 Fed. R. Evid. 803(5)(C). 43 Fed. R. Evid. 803(5). 44 Parker v. Reda, 327 F.3d 211, 214 (2d Cir. 2003). 45 Fed. R. Evid. 612. 46 Fed. R. Evid. 803(6). 47 Fed. R. Evid. 803(6)(A). 48 Id. {00182688.DOCX / } crime or bad act is generally not admissible as character evidence, but may be admitted for another reason, such as motive, intent, preparation, plan, knowledge, or identity.64 Generally, evidence about a person’s character can be shown by opinion testimony on direct, but on cross-examination, an attorney may inquire about specific acts or instances.65 However, if a person’s character or trait is an essential element of any charge, claim, or defense, specific instances may be used without prior introduction of general opinion testimony.66 B. Rule 804 This Rule provides exceptions that are only available if the declarant is unavailable to testify at trial.67 Under the Rules, unavailability means one of the following: (1) the declarant cannot testify because the court has found that the matter is privileged in some way; (2) the declarant refuses to testify; (3) the declarant says they cannot recall the matter; or (4) the declarant is dead or prevented from testifying due to some physical or mental condition.68 Unavailability may also be found if the witness is beyond the court’s subpoena power.69 Once the declarant has been found unavailable, the statement will be admitted if the proponent offers it under certain, enumerated conditions. One of the most common is former testimony that (a) was given at a trial, hearing, or sworn deposition, and (b) is offered against a party that had the motive and opportunity to question the declarant at that time.70 64 Fed. R. Evid. 404(b)(2). 65 Fed. R. Evid. 405(a). 66 Fed. R. Evid. 405(b). 67 Fed. R. Evid. 804. 68 Fed. Rl. Evid. 804(a)(1)-(a)(4). 69 United States v. Marchese, 842 F. Supp. 1307, 1309 (D. Colo. 1994). 70 Fed. R. Evid. 803(b)(1). {00182688.DOCX / } For instance, in U.S. v. Sklena,71 the defendant in a US Commodity Future Trading Commission proceeding attempted to introduce deposition testimony from one of a co- conspirator’s deposition testimony in an earlier US Department of Justice proceeding. The testimony was excluded, which the Seventh Circuit held was error entitling the defendant to a new trial.72 The district court had found that a) the DOJ and the CFTC were not the same party and b) the DOJ did not have the same motive to develop the testimony as the CFTC would. The Seventh Circuit disagreed with both. The court found that the agencies are interdependent and “play closely coordinated roles on behalf of the United States in the overall enforcement of a single statutory scheme.”73 The court also found that both agencies were investigating the same underlying conduct with an eventual goal of enforcement action and both had similar penalties, so their motives were sufficiently related for the hearsay exception.74 In civil cases, this exception is also available if the opportunity to question the declarant was available to a predecessor in interest.75 Another common exception available under Rule 804 is a statement that is so against the declarant’s interest that a reasonable person would only have made it if the statement were true.76 In a criminal case, any such statement must be corroborated by some other evidence or circumstances that give the statement a circumstantial guarantee of trustworthiness.77 71 692 F.3d 725 (7th Cir. 2012). 72 Id. at 730. 73 Id. at 732. 74 Id. 75 Fed. R. Evid. 803(b)(1)(B). 76 Fed. R. Evid. 803(b)(3)(A). 77 Fed. R. Evid. 803(b)(3)(B). {00182688.DOCX / } As with Rule 803, the declarant’s statement must be based on firsthand knowledge.78 Georgia pointer: the new Georgia rule based on the Federal Rules of Evidence is explicit in its requirement that the statement must have been made in furtherance of the conspiracy. C. Rule 807 Rule 807 is called the “Residual Exception” but is also known to many practitioners as the “Necessity Exception.” This is the catch-all exception that a proponent who has been unable to get a statement admitted under any other exception can use as a last-ditch effort—provided, of course, that certain conditions are met. Procedurally, this exception can only be utilized if the proponent gives any adverse parties notice of the particulars of the statement, including the declarant’s name and address.79 Since the policy of the hearsay rules is to only admit evidence that is considered sufficiently trustworthy, any statement admitted under Rule 807 must be accompanied by equivalent circumstantial guarantees of trustworthiness as that given to the exceptions under Rules 803 and 804.80 The statement must be offered as evidence of a material fact81 and its admission must “best serve” the interests of justice and the purposes behind the Rules.82 Additionally, the evidence must be “more probative on the point for which it is offered than any other evidence that the proponent can obtain through reasonable efforts.”83 78 Fed. R. Evid. 803 advisory committee’s notes. 79 Fed. R. Evid. 807(b). 80 Fed. R. Evid. 807(a)(1). 81 Fed. R. Evid. 807(a)(2). See United States v. Gaitan-Acevedo, 148 F.3d 577, 589 (6th Cir. 1998) (upholding lower court ruling that in prosecution for drug distribution, evidence about a notation in a notebook that law enforcement said showed that the defendant had bought property with drug money was not evidence pertaining to a material fact). 82 Fed. R. Evid. 807(a)(4). 83 Fed. R. Evid. 807(a)(3). {00182688.DOCX / } V. Hearsay Problems When Your Client or Opposing Party Is Deceased While the fact that a witness is dead doesn’t immediately exempt their prior statements from the prohibition against hearsay, it will have an effect on admissibility of the statement. To begin with, a dead declarant automatically qualifies for unavailability under Rule 804.87 Contrary to popular misnomer, the dying declaration exception does not allow anything said by the now-deceased to be brought into evidence. The knife must be in the body for the exception to apply. The Rule 804 exception permits, in a homicide case or any civil proceeding, a statement the declarant made under a legitimate belief of imminent death that was made about the cause or circumstances of the apparently imminent death.88 For instance, in U.S. v. Shields,89 a defendant convicted of second-degree murder and assault tried to admit evidence that the deceased victim had shaken his head when asked in the hospital whether the defendant had caused his injuries. The Eighth Circuit found that the headshake was not admissible as a dying declaration because, while the victim’s injuries were severe and he did later die, the injuries were limited and everyone, including the victim, manifested a belief at the time that the victim would survive.90 If qualifying for that exception proves too onerous, Rule 804 also provides that where a party has intentionally caused a declarant’s unavailability, any statement of the declarant against that party may be admitted.91 87 Fed. R. Evid. 804(a)(4). See Horne v. Owens-Corning Fiberglas Corp., 4 F.3d 276, 282-83 (4th Cir. 1993) (finding that where proponent of statement stated in court that he believed the witness was dead and opposing party never contested fact, trial court implicitly recognized unavailability of declarant). 88 Fed. R. Evid. 803(b)(2). 89 497 F.3d 789 (8th Cir. 2007). 90 Id. at 793. 91 Fed. R. Evid. 804(b)(6) {00182688.DOCX / } VI. Hearsay in Medical Records: When it Comes in, When it Does Not Medical records are excepted from the hearsay rule under two provisions. The first is the business records exception, under which records showing diagnosis are admissible (if, of course, the records meet the remaining provisions of this exception).92 Additionally, Rule 803(4) provides that any statement made for medical diagnosis or treatment is admissible where the statement: (1) is made for and is “reasonably pertinent” to medical diagnosis or treatment;93 and (2) describes either medical history, past or present symptoms or sensation, the inception of any such symptoms or sensations, or their general cause.94 Proponents hoping to submit a statement under this exception must keep several things in mind. First, it is generally agreed that the statement must one that would be relied on by physicians or experts in the field.95 Additionally, while the declarant is not required to be the patient, the statement generally must be made by someone with a special relationship to the patient.96 92 Fed. R. Evid. 803(6). 93 Fed. R. Evid. 803(4)(A). 94 Fed. R. Evid. 803(4)(B). 95 Gong v. Hirsch, 913 F.2d 1269, 1273-74 (7th Cir. 1990) (finding a statement not the sort that would be relied on by experts where it “does not reveal symptoms, objective data, surrounding circumstances or any similar factual data that a reasonable physician would consider relevant in the treatment or even diagnosis of a medical condition”). 96 Stull v. Fuqua Indus., Inc., 906 F.2d 1271, 1273-74 (8th Cir. 1990) (statement that victim “apparently” jumped off lawnmower inadmissible where there was no indication as to source). {00182688.DOCX / } VII. Recent Case Law A. U.S. v. Gupta97 This case from the Second Circuit dealt with several hearsay questions. The defendant, Mr. Gupta, was a Goldman Sachs director convicted of a handful of securities-fraud-related crimes.98 Mr. Gupta was also involved in several financial ventures with a Mr. Rajaratnam. Chief among the evidence against Mr. Gupta was a series of wiretapped phone calls including Mr. Rajaratnam that Mr. Gupta sought to have excluded as hearsay.99 The conversations were between Mr. Rajaratnam and employees of his company to whom he conveyed confidential information that Mr. Gupta had learned at Goldman. The government argued that the statements were admissible pursuant to three exceptions: statements of coconspirators, statements against penal interest, and statements admissible under the residual exception (the third exception was dismissed outright by the trial judge and not addressed on appeal).100 The district court admitted the statements as statements of coconspirators but expressed some doubt that they were statements against interest.101 The Second Circuit agreed that the statements were admissible under the coconspirator exception of 801(d)(2)(E).102 The court said that in order to be “in furtherance of” a conspiracy, the statement must be more than a “merely narrative” statement by one co-conspirator describing the acts of another. Additionally, “idle chatter” between coconspirators does not further any conspiracy.103 However, “statements between conspirators which provide reassurance, serve to maintain trust and cohesiveness among them, or inform each other of the current status of the 97 12-4448, 2014 WL 1193411 (2d Cir. Mar. 25, 2014). 98 Id. at *1. 99 Id. at *7-8. 100 Id. at *8. 101 Id. 102 Id. at *9. 103 Id.