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Exceptions to the Rule That Hearsay is Inadmissible

This chapter explores the exceptions to the rule that hearsay evidence is inadmissible, including present sense impression, excited utterance, and then existing mental, emotional, or physical condition of the declarant.

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Exceptions to the Rule That Hearsay is Inadmissible

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  1. CHAPTER 4, PART 2 OF 3:EXCEPTIONS TO THE RULE THAT HEARSAY IS INADMISSIBLE Prof. JANICKE 2015

  2. RULE 802 EXCLUDES MOST HEARSAY • BUT THERE ARE EXCEPTIONS • CONTEXT: THE EVIDENCE IS HEARSAY, BUT IS ALLOWED IN ANYWAY Chap. 4, part 2

  3. TWO GROUPS OF EXCEPTIONS TO THE RULE THAT HEARSAY EVIDENCE IS INADMISSIBLE • GROUP OF EXCEPTIONS THAT APPLY REGARDLESS OF WHETHER THE DECLARANT IS AVAILABLE AS TRIAL WITNESS [RULE 803] • THESE ARE THOUGHT TO BE EXTRA RELIABLE FORMS OF EVIDENCE • GROUP OF EXCEPTIONS THAT APPLY ONLY IF DECLARANT IS UNAVAILABLE AS TRIAL WITNESS [RULE 804] Chap. 4, part 2

  4. UNRESTRICTED EXCEPTIONS

  5. KEEP IN MIND -- • WE DON’T NEED ANY EXCEPTION TO THE EXCLUSIONARY HEARSAY RULE (R. 802) IF WE ALREADY HAVE A DEFINITIONAL EXCEPTION R801(d) • E.G.: STATEMENT IS THAT OF THE OPPOSING PARTY OR HIS EMPLOYEE, ETC. Chap. 4, part 2

  6. SO -- • WE ARE HERE TALKING ABOUT STATEMENTS, WHERE THE DECLARANT WAS • ONE OF OUR OWN PEOPLE, or • A NON-PARTY Chap. 4, part 2

  7. (1) PRESENT SENSE IMPRESSION TESTIMONY THAT -- • DECLARANT SAID SOMETHING ABOUT WHAT SHE WAS PERCEIVING AT THAT VERY TIME, OR IMMEDIATELY THEREAFTER Chap. 4, part 2

  8. EXAMPLE • WITNESS: “HE SAID ‘I SEE THE TRUCK IS HEADING NORTHBOUND’ ” OFFERED TO HELP ESTABLISH THAT THE TRUCK WAS HEADING NORTH • A STATEMENT, OFFERED TO PROVE THE TRUTH OF THE STATEMENT • IT IS HEARSAY • BUT, IT IS ADMISSIBLE Chap. 4, part 2

  9. EXAMPLE • WITNESS: “I SAID ‘HE IS COMING STRAIGHT THIS WAY’ ” • OFFERED TO SHOW THE PERSON WAS APPROACHING THE SPEAKER • IS HEARSAY • BUT, IS ADMISSIBLE Chap. 4, part 2

  10. EXAMPLE • WITNESS: “SHE SAID ‘IT’S HOT IN HERE’ ” • OFFERED TO HELP ESTABLISH THE ROOM WAS WARM • IS HEARSAY • BUT IS ADMISSIBLE Chap. 4, part 2

  11. CAVEAT: • POLICE REPORTS (RECORDS) REMAIN INADMISSIBLE • BUT: POLICEPERSON CAN TESTIFY THAT A CITIZEN REPORTED HIS HOUSE WAS AT THAT VERY MOMENT BEING BURGLARIZED (DECLARANT IS A NON-PARTY – PRESENT SENSE IMPRESSION HERE) Chap. 4, part 2

  12. (2) EXCITED UTTERANCE TESTIMONY THAT -- • DECLARANT SAID SOMETHING ABOUT A STARTLING EVENT, WHILE UNDER THE EXCITEMENT CAUSED BY THE EVENT • OVERLAPS WITH (1), BUT HAS LONGER TIME FRAME -- THE EXCITEMENT MAY LAST FOR HOURS • TYPE (1) WAS FOR ANY KIND OF EVENT; TYPE (2) HAS TO BE STARTLING Chap. 4, part 2

  13. EXAMPLES OF EXCITED UTTERANCES: • TESTIMONY: “JACK SAID TO ME: ‘THE ROOF COLLAPSED!’ IT HAD HAPPENED THREE HOURS BEFORE. HE WAS VERY UPSET.” • TESTIMONY: “JILL SAID TO ME: ‘THE TRUCK PLOWED INTO THAT CAR TWENTY MINUTES AGO.’ ” Chap. 4, part 2

  14. DECLARANT MUST HAVE PERSONALLY OBSERVED THE STARTLING EVENT • THE JUDGE MUST FINDS THAT AS A FOUNDATION FACT; AND THAT THE DECLARANT WAS IN FACT STARTLED • HOW? USUALLY ASSUMED FROM THE NATURE OF THE STATEMENT Chap. 4, part 2

  15. CASES • Nutall • Arnold Chap. 4, part 2

  16. (3) THEN EXISTING MENTAL, EMOTIONAL, PHYSICAL CONDITION OF DECLARANT • COULD BE VIEWED AS A SUBSET OF (1), PRESENT SENSE IMPRESSION, BUT FOCUSING ON INTERNAL FEELINGS AND THOUGHTS • MANY SITUATIONS CAN BE ANALYZED UNDER EITHER (3) OR (1), WITH SAME RESULT Chap. 4, part 2

  17. ** THIS IS WHAT WE USE FOR TESTIMONY ON NON-PARTY DECLARATIONS OF INTENT, OFFERED TO HELP ESTABLISH LATER CONFORMING CONDUCT ** • HE SAID HE INTENDED TO DO IT; THEREFORE, A LITTLE MORE LIKELY THAT HE DID DO IT Chap. 4, part 2

  18. EXAMPLES OF (3) • TESTIMONY: HE SAID TO ME, “MY HEAD HURTS” [WOULD ALSO FIT UNDER (1)] • TESTIMONY: I TOLD HIM, “I AM REALLY DEPRESSED” [WOULD ALSO FIT UNDER (1)] • TESTIMONY: SHE SAID, “I PLAN TO LEAVE HOUSTON ON FRIDAY” • ADMISSIBLE TO SHOW THE PLAN • AND TO SHOW THAT SHE LEFT ON FRIDAY! [WOULD NOT FIT UNDER (1)] Chap. 4, part 2

  19. THE DRAFTERS’ INTENT WAS TO ADOPT THE RULE OF HILLMON CASE • IN THAT CASE, THE EVIDENCE OF INTENT WAS TREATED AS CREATING SOME DEGREE OF LIKELIHOOD THAT THE INTENT WAS CARRIED OUT: Chap. 4, part 2

  20. CASES • Hillmon • Pheaster Chap. 4, part 2

  21. 803(3) INCLUDES STATEMENTS OF INTENT THAT INVOLVE ADDITIONAL PERSONS (JOINT PLAN) • AS IN HILLMON • BUT NOT A STATEMENT INVOLVING ONLY A THIRD PERSON’S PLAN OR CONDUCT >>> Chap. 4, part 2

  22. EXAMPLES -- • TESTIMONY: SHE SAID TO ME, “I FEAR JACK IS GOING TO SHOOT ME!” • DIARY ENTRY: “I FEAR JACK IS GOING TO SHOOT ME!” • THESE ARE STATEMENTS OF SOMEONE ELSE’S STATE OF MIND, NOT THE DECLARANT’S • ALL ARE INADMISSIBLE Chap. 4, part 2

  23. “BELIEFS” ABOUT FACTS ARE NOT ALLOWED UNDER THIS EXCEPTION • OUT-OF-COURT DECLARATIONS OF BELIEF ARE USUALLY NOT ALLOWED IN FOR THEIR TRUTH • TESTIMONY: X SAID TO ME, “I THINK JACK DID IT.” • DIARY ENTRY: “JILL IS MAKING A LOT OF MONEY THESE DAYS” Chap. 4, part 2

  24. FURTHER EXAMPLE • TESTIMONY: “X SAID HE WAS GOING TO HEAD FOR NEW YORK, IN ORDER TO GET AWAY FROM THE GANGSTERS WHO HAD BEEN PURSUING HIM. HE FELT THEY WOULD KILL HIM FOR SURE IF HE STAYED HERE.” • [WHITE TEXT IS ADMISSIBLE; ORANGE TEXT MIGHT BE ADMISSIBLE AS EXCITED OR PRESENT SENSE; GREEN TEXT IS INADMISSIBLE, GOES BEYOND DECLARANT’S PLAN AND MOTIVATION] Chap. 4, part 2

  25. PROBLEMS/CASES • Blake Chap. 4, part 2

  26. (4) STATEMENTS TO PHYSICIANS • OFTEN OVERLAPS WITH (1) AND (3), BUT COVERS A WIDER GROUP OF STMTS. THAN MERE PHYSICAL, MENTAL, EMOTIONAL CONDITION • HERE, ONSET INFO IS INCLUDED • TESTIMONY: I HEARD HIM SAY TO THE DOCTOR: “THIS PAIN STARTED LAST MONTH” • GENERAL CAUSE INFO IS INCLUDED • WITNESS TESTIMONY: I SAID TO THE DOCTOR: “IT BEGAN WHEN I ATE THOSE EGGS” Chap. 4, part 2

  27. DIVIDING LINE: NO STATEMENTS AS TO FAULT, UNLESS NEEDED MEDICALLY • WIT. (DOCTOR) TESTIFIES: HE TOLD ME “IT BEGAN WHEN JACK HIT ME WITH A HAMMER” • WILL HAVE TO BE REPHRASED TO ELIMINATE JACK’S FAULT Chap. 4, part 2

  28. EXAMPLE: • WIT. TESTIFIES: “I HEARD HIM SAY TO THE DOCTOR, ‘IT BEGAN AFTER I ATE THOSE EGGS THAT WERE BAD, WHICH IS PRETTY USUAL FOR THE MAIN STREET DINER’” • THE GREEN PART IS UNNECESSARY FOR DIAGNOSIS OR TREATMENT, AND WILL BE KEPT OUT; ORANGE TEXT IS BORDERLINE; WHITE TEXT IS OK Chap. 4, part 2

  29. KEY FOUNDATION FACT FOR (4): STATEMENT MUST HAVE BEEN MADE FOR PURPOSES OF DIAGNOSIS OR TREATMENT • THUS A VICTIM’S STATEMENT TO A DOCTOR HIRED BY POLICE TO FIND OUT WHAT HAPPENED, OR WHO THE CULPRIT IS, WOULD NOT QUALIFY • STATEMENTS DURING AN INSURANCE PHYSICAL WOULD NOT QUALIFY Chap. 4, part 2

  30. CASE • Petrocelli Chap. 4, part 2

  31. (5) PAST RECOLLECTION RECORDED • DIFFERENT FROM MEMORY REFRESHING • HERE THE WITNESS TESTIFIES HER MEMORY CANNOT BE REFRESHED • BUT IT WAS FRESH AT ONE TIME • AND SHE (OR A HELPER) MADE A RECORD OF IT AT THAT TIME Chap. 4, part 2

  32. MECHANICS OF USING EXCEPTION (5) • LAY FOUNDATION: • WITNESS CAN’T NOW RECALL • WITNESS AT ONE TIME COULD RECALL • WITNESS CAUSED RECORD TO BE MADE • IDENTIFY THE RECORD • RECORD CAN THEN BE READ IN, BUT THE DOCUMENT CAN’T BE INTRODUCED EXCEPT BY OTHER SIDE Chap. 4, part 2

  33. (6) BUSINESS RECORDS • NEED NOT BE COMMERCIAL; ANY REGULAR ACTIVITY WILL QUALIFY • CHURCH • BOOK CLUB • ONLY APPLIES TO EVENTS OCCURRING AND OBSERVED INSIDE THE BUSINESS • FACT REPORTS FROM OUTSIDE ARE NOT COVERED AND HAVE TO BE MASKED OUT Chap. 4, part 2

  34. FOUNDATION FOR (6) IS COMPLEX • FOUNDATION NEEDED: • REGULAR ACTIVITY GOING ON • THIS DOC. MADE IN THE REGULAR COURSE OF IT • MADE AT OR NEAR THE TIME OF EVENTS LISTED • MADE BY (OR VIA) A PERSON WITH ACTUAL KNOWLEDGE • WAS THE REGULAR PRACTICE TO KEEP RECORDS OF THIS TYPE Chap. 4, part 2

  35. CAVEAT: • NONE OF THIS IS NECESSARY FOR OPPOSING PARTY’S RECORDS • THOSE ARE NOT HEARSAY; NEED NO EXCEPTION • EXCEPTION (6) IS USED FOR NON-PARTY RECORDS OR PARTY’S OWN RECORDS Chap. 4, part 2

  36. PRONGS (3) AND (4) COULD BE DIFFICULT TO PROVE IF CHALLENGED • UNTIL 2000, LAWYERS OFTEN USED THE HABIT/ROUTINE PRACTICE RULE [R406] • WIT. DOESN’T REALLY KNOW WHAT HAPPENED ON THIS TRANSACTION • WIT. CAN SAY WHAT THE REGULAR PRACTICE OF THE BUSINESS IS RE. MAKING RECORDS Chap. 4, part 2

  37. AFFIDAVIT of AUTHENTICITY • FEDERAL RULE 902 (11) ALLOWS AFFIDAVIT PRACTICE • TEXAS RULE 902 (10) IS SIMILAR • THESE ARE AUTHENTICITY RULES, BUT THEY ARE REFERENCED IN 803(6) AS O.K. FOUNDATION METHOD TO REMOVE HEARSAY PROBLEMS Chap. 4, part 2

  38. THE TEXAS RULE IS MORE HONEST • FEDERAL RULE SPECIFIES THAT THE AFFIANT SWEAR THE ENTRIES WERE MADE BY A PERSON WITH KNOWLEDGE, ETC. HOW WOULD HE KNOW? • TEXAS RULE SPECIFIES THAT THE AFFIANT SWEAR IT’S THE USUAL PRACTICE TO HAVE THE ENTRIES MADE THAT WAY Chap. 4, part 2

  39. (7) ABSENCE OF A BUSINESS ENTRY • SERVES AS PROOF THAT THE EVENT DID NOT HAPPEN • REQUIRES SHOWING OF THE USUAL PRACTICE OF THE ORGANIZATION Chap. 4, part 2

  40. (8) OFFICIAL RECORDS and (9) VITAL STATISTICS RECORDS • ARE ALL GENERALLY OK, EXCEPT FOR LAW ENFORCEMENT RECORDS IN CRIMINAL CASES • OTHER KINDS OF OFFICIAL RECORDS ARE O.K. IN CIVIL AND CRIMINAL CASES Chap. 4, part 2

  41. THREE TYPES OF RECORDS FIT UNDER (8) • ONES THAT RECITE THE GENERAL ACTIVITIES OF THE OFFICE • E.G., DOCUMENTS DESCRIBING: • PROCEDURES FOR HIGHWAY CONSTRUCTION BIDDING • HOW THE CENSUS IS TAKEN • HOW THE I.R.S. CONDUCTS AN AUDIT Chap. 4, part 2

  42. ONES THAT RECITE MATTERS OBSERVED PURSUANT TO DUTY IMPOSED BY LAW. • E.G., REPORTS ON: • REAL ESTATE APPRAISALS DONE • BUILDING INSPECTIONS PERFORMED • HIGHWAY CONSTRUCTION BIDS RECEIVED Chap. 4, part 2

  43. FACTUAL FINDINGS FROM INVESTIGATIONS • E.G., REPORTS ON: • NATL. TRANSP. SAFETY BOARD AIR DISASTER INVESTIGATIONS • CENTERS FOR DISEASE CONTROL INVESTIGATION OF EPIDEMICS • POLICE BALLISTICS INVESTIGATIONS (CIVIL ONLY) • POLICE FINGERPRINT CHECKS (CIVIL ONLY) Chap. 4, part 2

  44. TYPES OF PUBLIC RECORDS THAT FIT UNDER (9) • BIRTHS, DEATHS, MARRIAGES • FOR THESE PARTICULAR EVENTS, THE PUBLIC RECORDER OFFICE NEED NOT HAVE ANY FIRST-HAND KNOWLEDGE OF THE FACTS RECORDED • REPORTS MADE TO THE OFFICE BY CITIZENS ARE OK HERE Chap. 4, part 2

  45. PROBLEMS / CASES • NORCON • 4N Chap. 4, part 2

  46. BLOCKAGE OF POLICE RECORDS DOES NOT APPLY IN THE PARTS OF CRIMINAL CASES WHERE RULES OF EVID. DO NOT APPLY • SENTENCING • GRAND JURY PROCEEDINGS • HEARING ON REVOCATION OF PROBATION • BAIL PROCEEDINGS • WARRANTS [R 1101(d)(3) -- FED. RULES INAPPLICABLE; NO HEARSAY RULE, SO NO EXCEPTION NEEDED] Chap. 4, part 2

  47. IN TEXAS COURTS THE RESTRICTIONS ON POLICE REPORTS ARE LIKEWISE NOT APPLICABLE WHERE THE RULES IN GENERAL ARE NOT APPLICABLE; E.G.: • SENTENCING Tex. Code Crim. Proc. Ann. art. 37.07, § 3(a) • GRAND JURIES [R 101(d)(1)] • HABEAS CORPUS “ • BAIL “ • SEARCH WARRANTS “ Chap. 4, part 2

  48. CHURCH AND FAMILY RECORDS[803(11-13)] • TREATED MUCH LIKE PUBLIC RECORDS UNDER (9) • SIMILAR LIMITED SUBJECT MATTER • BIRTHS • DEATHS • DIVORCES • BAPTISMS • ETC. Chap. 4, part 2

  49. (18) LEARNED TREATISES • FOUNDATION: • ACKNOWLEDGED AS AUTHORITATIVE BY TESTIMONY OF A WITNESS • PROCEDURE: • CAN THEN READ IN RELEVANT PASSAGES • CAN’T PUT THE BOOK IN Chap. 4, part 2

  50. (19-21) REPUTATION TOPICS • ALLOWED RE.: • PERSONAL OR FAMILY HISTORY -- “WE ALL SAID ‘FRANK IS JOHN’S NEPHEW’” • BOUNDARIES -- “FOLKS IN THESE PARTS ALWAYS SAID ‘THE RANCH ENDED AT THE OLD OAK TREE’” • CHARACTER -- IN LIMITED INSTANCES, AS WE HAVE SEEN Chap. 4, part 2

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