Opinion ID: 2599712
Heading Depth: 2
Heading Rank: 2

Heading: Corroboration of the Startling Event

Text: ¶ 22 Because we reject Young's proffered bright-line rule barring admission of recanted statements as excited utterances, we now address Young's second argument. Young argues that the proponent of excited utterance evidence must produce independent corroborative proof that the startling event occurred in order to satisfy the first element of the excited utterance exception. We agree that the declarant's statement alonethe bare words of the utteranceis insufficient to corroborate the occurrence of a startling event. However, we hold that circumstantial evidence, independent from those bare words, can corroborate that a startling event occurred, and such corroboration can be sufficient to satisfy the first element of the excited utterance exception. We find that the circumstantial evidence presented in this case sufficiently corroborated the occurrence of a startling event that the trial court did not abuse its discretion by admitting K.L.'s statements as excited utterances. ¶ 23 Whether the proponent of excited utterance evidence must produce independent corroborative proof that a startling event or condition occurred is an issue of first impression in Washington. We initially observe that the declarant's statement, itself, consists of no more than bare words. Words alone, the content of the declarant's statement, can establish only the third element of the excited utterance testthat the utterance relates to the event causing the declarant's excitement. The first and second elements (that a startling event or condition occurred and that the declarant made the statement while under the stress thereof) must therefore be established by evidence extrinsic to the declarant's bare words. Extrinsic evidence can include circumstantial evidence, such as the declarant's behavior, appearance, and condition, appraisals of the declarant by others, and the circumstances under which the statement is made. ¶ 24 The question presented for our consideration is what quantum of evidence, independent of the declarant's bare words, is required to establish that a startling event or condition occurred. We determine our answer by examining this court's previous statements regarding the issue, the plain language of ER 803(a)(2), the theory supporting the excited utterance exception, and guidance from evidence law treatises and foreign jurisdictions. ¶ 25 This court has recognized that the startling event or condition . . . need not be the `principal act' underlying the case. Chapin, 118 Wash.2d at 686, 826 P.2d 194 (quoting WIGMORE, supra, § 1753, at 225-26). A later event may recreate stress earlier produced and caus[e] the person to exclaim spontaneously. Id. at 687, 826 P.2d 194. In such a situation, it is the later event, not the original trauma, that satisfies the first element of the excited utterance exception. Id. at 686-87, 826 P.2d 194 (discussing with favor United States v. Napier, 518 F.2d 316, 316-18 (9th Cir.1975), which explicitly stated that the startling event sustaining admission of a victim's outburst in response to a photograph of an alleged assailant was viewing the photograph, not the assault itself). Chapin clearly focuses the startling event or occurrence inquiry on whether some event startled the declarant, rather than on whether there is proof that the specific event giving rise to the action is the event that elicited the declarant's statement. ¶ 26 The plain language of ER 803(a)(2) does not expressly specify a minimum quantum of evidence necessary to substantiate the occurrence of a startling event or condition. By contrast, two other hearsay exceptions, ER 804(b)(3) and Washington's child hearsay exception, RCW 9A.44.120, explicitly condition admissibility on the presence of evidence corroborating the declarant's statement. Examining what this court has deemed sufficient to satisfy explicit requirements for corroborating evidence in these other hearsay exceptions can inform our consideration of what is sufficient to satisfy the implied requirement of the excited utterance exception. ¶ 27 The first, ER 804(b)(3), provides that in a criminal case a statement against the declarant's interest is not admissible unless corroborating circumstances clearly indicate the trustworthiness of the statement. For purposes of ER 804(b)(3), courts assess the adequacy of corroborating circumstances by evaluating nine factors. State v. McDonald, 138 Wash.2d 680, 694, 981 P.2d 443 (1999). Five factors focus on the declarant (apparent motive to lie, character, personal knowledge of other crime participants, likelihood of faulty recollection, and likelihood of misrepresentation). Three factors focus on the context of the statement (spontaneity, timing, and relationship between declarant and witness, and presence of more than one witness). Only one factorwhether the statement contains an express assertion of past factsinvolves any consideration of the statement's consistency with other independently ascertainable facts. There is no requirement that the past facts be material to the criminal action for which the proponent seeks to admit the statement or that independent evidence corroborating the facts even be introduced. Clearly, this explicit requirement to corroborate a hearsay statement's trustworthiness is satisfied with circumstantial evidence focused on the declarant and the context of the statement, without independent proof of the criminal act alleged. ¶ 28 The second exception, Washington's child hearsay exception, dictates that when the child declarant is unavailable as a witness, a statement may be admitted only if there is corroborative evidence of the act. [6] RCW 9A.44.120(2)(b). This court has held that the child hearsay exception's explicit requirement for corroborative evidence of the act can be satisfied through indirect evidence. State v. Swan, 114 Wash.2d 613, 623, 790 P.2d 610 (1990). Moreover, we have found indirect evidence stemming from the words and behavior of two children sufficient corroboration of alleged abuse to render each child's statements admissible. Id. at 641, 790 P.2d 610. Notably, this explicit requirement for corroboration of the alleged act can be satisfied by indirect evidence produced from observation of the declarant's behavior and the context of the statement. ¶ 29 Logically, the merely implied requirement in ER 803(a)(2) to substantiate a startling event or condition would be no more exacting than the explicit requirements imposed in ER 804(b)(3) and the child hearsay exception. Therefore, since indirect evidence derived from the declarant's behavior and the statement's context satisfy explicit requirements for corroboration, a similar quantum of evidence could reasonably be expected to satisfy the implied requirement to corroborate a startling event or condition in ER 803(a)(2). ¶ 30 Focusing the startling event or occurrence inquiry on whether some event startled the declarant and corroborating that event through circumstantial evidence, such as the declarant's behavior and the statement's context, is entirely consistent with the theory supporting admission of excited utterances. An excited utterance derives its reliability mainly from the heightened emotional state of the declarant as a result of the startling event, not from the event itself. The theory of [Fed.R.Evid. 803(2)] is simply that circumstances may produce a condition of excitement which temporarily stills the capacity of reflection and produces utterances free of conscious fabrication. [7] Fed. R.Evid. 803(2) advisory committee's note. This court has previously recognized that, [f]or purposes of the excited utterance exception, . . . it is the event's effect on the declarant that must be focused upon. Chapin, 118 Wash.2d at 687, 826 P.2d 194 (citing State v. Carlson, 311 Or. 201, 216, 808 P.2d 1002 (1991)). ¶ 31 Young's rule would require the proponent of excited utterance evidence to proffer independent corroborating proof that a startling event occurred simply to put one piece of evidence-the excited utterance-before the trier of fact. [8] Such a requirement not only overemphasizes the role that the startling event plays in lending an excited utterance its reliability, it reflects a misunderstanding of the trial court's role. The determination that excited utterances are reliable enough to be admissible is not intended to, and does not, establish that the underlying crime occurred, it merely permits the admitted statements to be considered in conjunction with the other evidence presented at trial. Imposing an independent corroborative proof requirement confuses the admissibility of evidence with the weight to be given to that evidence, which is properly a determination for the trier of fact. By holding that the statement alone is insufficient to corroborate the occurrence of a startling event but that circumstantial evidence, independent from bare words, can corroborate that a startling event occurred, we maintain the integrity of the excited utterance exception and respect the philosophy underlying the rules of evidence to promote the discovery of truth by admitting all relevant evidence. ER 102. ¶ 32 Our holding falls comfortably within the guidance provided by evidence law treatises on the issue of how the proponent of excited utterance evidence may corroborate that a startling event occurred. Scholars not only acknowledge that the statement itself . . . certainly can be considered but assert that the generally prevailing practice is to consider the statement itself sufficient proof of the exciting event. 2 McCORMICK ON EVIDENCE § 272, at 256-57 (Kenneth S. Broun ed., 6th ed.2006); see also 5 JACK B. WEINSTEIN & MARGARET A. BERGER, WEINSTEIN'S FEDERAL EVIDENCE § 803.04[2][a] (Joseph M. McLaughlin ed., 2d ed.1999). The statement of American law provided by Corpus Juris Secundum, although it rejects using the hearsay statement alone to prove the exciting event, [9] nevertheless acknowledges that [d]irect proof . . . or proof that forecloses all speculation, is not required to satisfy the excited utterance exception to the hearsay rule. 31A C.J.S. EVIDENCE § 359, at 649 & n. 68. ¶ 33 Evidence scholars opine that not requiring independent proof of a startling event is in accord with the discretion the evidence rules give trial courts to determine the admissibility of excited utterances. Weinstein's Federal Evidence notes that even though using the hearsay statement itself to establish the occurrence of a startling event may be somewhat unsettling theoretically, it is justified by the discretion granted to trial courts in Fed.R.Evid. 104(a). 5 WEINSTEIN & BERGER, supra, § 803.04[2][a]. Washington's equivalent rule, ER 104(a), [10] allows the court to consider otherwise inadmissible evidence to determine the admissibility of evidence offered by one of the parties. City of Bellevue v. Hellenthal, 144 Wash.2d 425, 441, 28 P.3d 744 (2001). ¶ 34 We agree with Weinstein & Berger that allowing the hearsay statement, in and of itself, to establish the occurrence of a startling event is unsettling, and we decline to adopt such a rule. Concerns about circularity and bootstrapping likewise underlie the reasoning of the minority of jurisdictions that require the proponent of excited utterance evidence to produce independent corroborative proof of the startling event. [11] But the majority of jurisdictions have explicitly held that independent corroborative proof of the startling event is not required to admit excited utterance evidence. [12] Our rule, by requiring evidence independent from the bare words of the statement to corroborate that a startling event occurred, eliminates the circularity or bootstrapping problem. And any similar concerns that might arise from our holding are eliminated by ER 104(a). ¶ 35 No Washington case has previously reached the holding that we announce todaythat circumstantial evidence, independent from the bare words of a declarant's statement, can corroborate that a startling event occurred for purposes of the excited utterance exception. However, one decision by our Court of Appeals merits brief discussion. In State v. Terry, 10 Wash.App. 874, 880, 520 P.2d 1397 (1974), the court stated that it would not expand the excited utterance exception to include a statement that not only fails to relate to the main event . . . but also relates merely to an event which is not established except by the hearsay testimony itself. However, the Terry court made its pronouncement while this state's former common law res gestae hearsay exception was in effect. Id. This state subsequently adopted ER 803(a)(2), which does not include the requirement that the excited utterance relate to the main event. Chapin, 118 Wash.2d at 688, 826 P.2d 194. The Terry court's statement is not relevant to the issue before us because it was made in relation to a requirement for a hearsay exception that no longer exists. ¶ 36 In summary, this court recognized in Chapin that the excited utterance exception requires simply that some event have startled the declarant. The plain language of the exception does not specify a minimum quantum of evidence necessary to corroborate that event, but this court has held that circumstantial evidence derived from a declarant's behavior and the statement's context are sufficient to satisfy explicit requirements for corroboration found in other hearsay exceptions. Finding such evidence sufficient accords with the theory that excited utterances are reliable because circumstances produce a condition of excitement that temporarily stills the capacity of reflection and produces utterances free of conscious fabrication. Evidence law treatises and the majority of jurisdictions have concluded that the declarant's statement itself is therefore sufficient proof that a startling event occurred. In light of these considerations, we hold that although a declarant's statement alone is insufficient to corroborate the occurrence of a startling event, circumstantial evidence, independent from the statement's bare words, can sufficiently corroborate a startling event or occurrence to satisfy the first element of the excited utterance exception. ¶ 37 Applying the rule above, we hold that the record in this case does not support a determination that the trial court abused its discretion in admitting K.L.'s statements as excited utterances. This case, like many child molestation cases, does include a he said, she said component. [13] Additionally, although the child witness subsequently recanted her molestation allegations, that is also not unusual, as children frequently recant allegations against family members. [14] Because K.L. testified at trial and recanted her allegations, this case does not present the concern of a hearsay declarant who is unavailable for purposes of cross-examination. Not only was K.L. available for trial, she was a defense witness who testified that she lied when she accused Young of attempted molestation. As a result, the only issue in this case is whether K.L.'s previous statements to three separate individuals were reliable enough to be admitted as excited utterances for the jury to consider in combination with her subsequent recantation testimony at trial. [15] ¶ 38 The trial court conducted a lengthy pretrial hearing, in which testimony was heard from the witnesses to K.L.'s statements, Johnson, Barnes, and Lomax, as well as K.L. and her mother. The witnesses' testimony included assessments of K.L.'s appearance, behavior, and condition while making her statements. Johnson's and Barnes' evaluations were informed by their personal relationships with K.L., relationships formed over multiple years, which they described in familial terms. This testimony provided independent appraisals of K.L. made by people who knew her well and deemed her to be credible. The judge assessed the witnesses during the hearing, both for their own credibility and their reliability in evaluating K.L. The hearing testimony also introduced the facts that K.L. came directly to the witnesses' house from her home across the street, which was about 10 seconds away, and that only K.L. and her younger brother were home with Young that afternoon. ¶ 39 Based on this evidence, the trial court determined that K.L.'s statements were admissible as excited utterances. Concluding that K.L.'s statements were emotionally laden and authentic at the time, the court stated: [I]t seems to me the function of this hearsay exception is not for the Court to decide the person's guilt or innocence as a basis to determine the admissibility of an excited utterance, but simply whether the surrounding circumstances and the events and what you're seeing preponderates on behalf of it being an excited utterance. I think this was an excited utterance. I do not find it credible that this 11-year-old child was under the circumstances so artful that she created a false impression in the part of all of these people, who were not people that were unknown to her. 3 RP at 167-68. ¶ 40 The admission of K.L.'s statements as excited utterances on the basis of only the evidence that the trial court considered at the prehearing is admittedly a close question. However, the additional evidence presented at trial, which was available but not considered at the pretrial hearing, provides more than sufficient corroboration, independent of the bare words of K.L.'s statement. K.L. showed Barnes money she said Young gave her for cleaning. When Barnes asked Young what happened, after K.L. made her statements, Young said that he did not want any trouble and did not want Barnes to call the police. Barnes testified that he never said anything about calling the police. When Barnes and Lomax returned to Young's house a few minutes later, Young did not answer the door and Barnes and Lomax saw Young jumping over the back fence. Taken together, these circumstances provide ample circumstantial evidence, independent of the bare words of K.L.'s statements, that a startling event had occurred. As a result, the trial court's admission of K.L.'s excited utterances on the basis of only the evidence considered during the pretrial hearing was not prejudicial.