IN THE SUPREME COURT OF IOWA No. 07–0237
Filed September 18, 2009
STATE OF IOWA,
Appellee,
vs.
EDWIN BELLO PAREDES,
Appellant.
On review from the Iowa Court of Appeals.
Appeal from the Iowa District Court for Johnson County,
Douglas S. Russell, Judge.
Defendant challenges conviction based on the district court’s
exclusion of statements against penal interest made by another suspect.
DECISION OF COURT OF APPEALS VACATED; DISTRICT COURT
JUDGMENT REVERSED AND CASE REMANDED.
Mark C. Smith, State Appellate Defender, and Martha J. Lucey,
Assistant State Appellate Defender, for appellant.
Thomas J. Miller, Attorney General, Darrel L. Mullins, Assistant
Attorney General, Janet M. Lyness, County Attorney, and Anne M.
Lahey, Assistant County Attorney, for appellee. 2
APPEL, Justice.
Edwin Paredes appeals his conviction for child endangerment
resulting in serious injury. The charges arose after his infant child was
diagnosed with shaken-baby syndrome. Paredes claims that the district
court erred in excluding hearsay statements made by the child’s mother
that she “may have” caused the baby’s injuries. The court of appeals
affirmed Paredes’ conviction. For the reasons expressed below, we vacate
the decision of the court of appeals, reverse the judgment of the district
court, and remand the case for a new trial.
I. Background Facts and Prior Proceedings.
Paredes and Cassidy Millard are the parents of a young infant. At
the time of the events relevant to this proceeding, Paredes was twenty-
four years old, Millard was sixteen years old, and the baby was two
months old. The family was living in the home of Paredes’ sister, Wendy
Jimenez, in Coralville, Iowa.
After being seen by a physician on Saturday, April 23, 2005 for
what appeared to be a routine ear infection, the baby’s condition
deteriorated. On Sunday, after consulting with the child’s physician,
Millard called for an ambulance to take the infant to a local hospital.
Police officers arrived at the residence shortly thereafter. Upon arrival of
the police officers, Paredes was defensive, asking the officers, “What are
you doing here?” and declaring, “This is not a domestic.” Paredes
remained at home while Millard accompanied the child to the hospital.
At the hospital, medical personnel diagnosed the baby with
shaken-baby syndrome. The fact that the infant was not properly
diagnosed on Saturday when the child was seen by a physician was
explained by the developing nature of shaken-baby syndrome symptoms.
At first, the symptoms are general irritability, excessive crying, and 3
trouble feeding. These symptoms then progress to more severe
problems, including periodic seizures. Based on the onset of the
seizures, medical personnel determined that the injury occurred
sometime between late Friday and early Saturday morning. As
mandatory reporters, hospital staff contacted the Iowa Department of
Human Services (DHS) to report the suspected abuse.
On Sunday evening, Chad Bollweg of DHS and Coralville Police
Detective Robbie Swank met with Paredes and Millard. Both denied any
knowledge of how the child was injured. They did admit, however, that
they were the child’s only caregivers during the period in question, except
for a brief fifteen-minute period when Paredes’ sister cared for the baby.
On Monday, Bollweg and another social worker, Vicky Leau, met
with the couple. Leau informed the parents that all future visits with the
child would have to be supervised. Upon hearing this, Paredes declared
that supervised visits would not be necessary—he caused the injuries.
Leau wondered whether Paredes “was just saying that so that Cassidy
could be unsupervised and spend more time at the hospital.” Millard
commented that Paredes should not say something simply for her sake.
Paredes, nevertheless, claimed he was watching the child while
Millard was outside smoking and shook the baby when it would not stop
crying. He later performed a reenactment. Paredes repeated the story to
Detective Swank and Bollweg and signed a written statement detailing
the incident and declaring his remorse. He was not immediately
arrested.
On Tuesday, Paredes again met with Detective Swank. At that
time, Paredes asked Swank whether anyone ever testified falsely in order
to protect someone else and whether the detective thought he had hurt
the baby. Swank responded by asking Paredes if he was denying 4
shaking the baby. Paredes then denied shaking the infant. Swank told
Paredes he did not appreciate him “treating this like a game” and asked
for the truth.
At this point, Paredes returned to his initial claim and once again
asserted that he injured the child. He stated he was afraid of going to
jail. Paredes suggested that he and Millard should not have admitted
they were the only caregivers and instead should have pointed the finger
at some of the older kids in the home. Paredes apologized for his
inconsistencies.
On May 1, Millard called a social worker, Susan Gail, with whom
she had prior contact. Because of the nature of the call, Gail
memorialized the contents of the conversation. According to Gail’s
memorandum, Millard told her that Millard’s child had shaken-baby
syndrome. When Gail asked Millard what had happened, Millard
responded: She said she did not know, but her boyfriend (Edwin, I think) was in jail for it. She said that he did not do it, though. She then asked me if her diagnosis was Multiple Personality Disorder, because sometimes she doesn’t remember what she does. I asked her if she meant like the time she threatened to kill/stab me. (This was when she was in Valley Shelter 2 years ago.) She said yes, that’s what I mean. Gail told Millard that she did not believe Millard had been
diagnosed as having Multiple Personality Disorder, but questioned
Millard as to why Millard would pose such a question. According to the
Gail memorandum, Millard responded: She told me she knows Edwin would not hurt the baby and hinted around that maybe she did it, but didn’t remember. I asked about the day that it happened. I asked her if the baby was crying. She told me that he cried all the time, he was colicky [sic]. She said that she just yelled at him to “shut up”, but never hit him. She then said that she had started spanking him lately, but that it did not hurt him since he had on a big diaper. 5
The Gail memorandum further states: Cassidy was afraid that if she told that she might have done it, she would go to prison when she is 18. I told her that she needed to talk to her attorney. I told her that she would not get the baby back and she said that she knew that. She asked me what would happen to her if it was found that she did hurt the baby. I told her that I didn’t know, but more than likely she would go to Toledo until she turned 18. After discussing the condition of the child, the Gail memorandum
indicates that she and Millard further discussed Millard’s situation: Cassidy told me that she has been crying for a week because she does not want her boyfriend to take the fall for this. She said that he is not that kind of guy, not violent. She said that Edwin didn’t even take care of the baby that much. She kept saying, “if I did it.” At this point, Gail continued to talk to Millard as if she did do it and was
not contradicted. Gail again advised Millard to contact her attorney.
Gail contacted her supervisor about the conversation and
forwarded a copy of the memorandum by e-mail to her. The e-mail was
then forwarded to Detective Swank. Although Detective Swank spoke
with Gail by telephone, he did not interview Millard again. On May 5, the
State charged Paredes with child endangerment resulting in serious
injury in violation of Iowa Code section 726.6(1)(b) (2003).
On the day of trial, the State filed a motion in limine to exclude
Gail’s testimony regarding her conversation with Millard as
impermissible hearsay. The motion in limine was considered in
chambers, with only a brief record made after the fact. On the record,
the State argued that Gail’s testimony would constitute inadmissible
hearsay. Paredes’ counsel did not specifically respond to the State’s
argument. The court orally sustained the motion.
The next day, Paredes filed a motion to reconsider. Paredes urged
that he be allowed to question Detective Swank and DHS employee
Bollweg about the memorandum, its contents, and their responses to it. 6
Paredes stated that he was not presenting the evidence for the truth of
the matter asserted, but instead argued that the actions of Swank and
Bollweg in response to the Gail memorandum revealed the existence of
another suspect in the case.
After allowing oral argument on the motion to reconsider, the
district court denied it. In a ruling on the record, the district court held
that the statements made by Millard in the memorandum were out-of-
court statements by a declarant who was unavailable to testify. The
district court further concluded that the statements did not meet the
hearsay exception for statements against interest under Iowa Rule of
Evidence 5.804(b)(3).
In support of its conclusion, the court found that the statements
attributed to Millard would not subject her to criminal liability, but were
statements about hypothetical guilt or hypothetical punishments if guilt
were established or an admission were made. Further, the district court
ruled that there were insufficient corroborating circumstances under rule
5.804(b)(3) to allow admission of the statements.
Paredes was convicted at trial. On appeal, the court of appeals
affirmed his conviction. The court of appeals concluded that because the
district court ruled on the issue, the admissibility of Millard’s statements
was preserved. On the merits of the claim, however, the court of appeals
concluded that Paredes failed to show that Millard was unavailable for
trial, a prerequisite for admission of statements against interest under
rule 5.804(b)(3). We granted further review.
II. Standard of Review.
A district court’s decision to admit or exclude evidence is generally
reviewed for an abuse of discretion. State v. Jordan, 663 N.W.2d 877,
879 (Iowa 2003). This court, however, reviews hearsay claims for 7
correction of errors at law. State v. Newell, 710 N.W.2d 6, 18 (Iowa
2006). This standard of review extends to determining whether
statements come within an exception to the general prohibition on
hearsay evidence, including the exception for statements against interest.
State v. Hallum, 585 N.W.2d 249, 254 (Iowa 1998), vacated on other
grounds by Hallum v. Iowa, 527 U.S. 1001, 119 S. Ct. 2335, 144
L. Ed. 2d 233 (1999).
III. Preservation of Error.
Preliminarily, we must address two preservation of error issues.
The State claims that Paredes has failed to preserve the issue he now
seeks to raise on appeal, namely, the admissibility of Millard’s
statements as statements against interest. Paredes conversely asserts
that the State failed to preserve the issue of Millard’s unavailability, an
issue which the court of appeals held prevented Paredes from offering her
out-of-court statements for the truth of the matter asserted.
The essence of the State’s argument is that Paredes has improperly
switched horses in midstream. At trial, the State claims, Paredes did not
specifically assert that Millard’s statements to Gail were admissible as
statements against interest. Instead, the State suggests that Paredes
offered the evidence only for a narrow purpose—to show the responsive
conduct of Detective Swank, i.e., to demonstrate that the detective was
sufficiently concerned by the statements to have had at least some
doubts as to whether they had arrested the right person.
We disagree with the State’s contention. When Paredes listed Gail
as a witness, it must have been obvious to the prosecution that Paredes
sought to introduce Millard’s statements to Gail for the truth of the
matter asserted on the ground that they amounted to statements against
interest. The State conceded as much before the court of appeals. 8
While Paredes did not specify that ground in the reported oral
argument on the motion in limine and the district court’s order granting
the original motion is cryptic, the district court in its ruling for
reconsideration squarely addressed the question of whether Millard’s
statements qualified as statements against interest and whether there
were sufficient corroborating circumstances to support their admission.
We have previously held that where a question is obvious and ruled upon
by the district court, the issue is adequately preserved. State v. Williams,
695 N.W.2d 23, 27–28 (Iowa 2005). As a result, we hold that the
exclusion of Millard’s statements was sufficiently preserved for appeal. 1
On the other hand, we hold that the State has not preserved the
issue of Millard’s unavailability to testify at trial. While the court of
appeals decided in favor of the State on this ground, the State did not
raise the issue in its appellate brief. At oral argument before this court,
counsel for the State candidly and properly conceded that the issue had
been waived. We agree and decline to preserve an issue which the State
has not raised in brief and concedes is not properly before the court.
IV. Admissibility of Statements.
A. Introduction. This appeal focuses on the proper interpretation of Iowa Rule of Evidence 5.804(b)(3), which creates an exception to the
general prohibition against hearsay statements. This rule provides for
the introduction of: A statement which was at the time of its making so far contrary to the declarant’s pecuniary or proprietary interest, or so far tended to subject the declarant to civil or criminal
1Counsel should develop a clear record at trial rather than assume that the
district court will rule on the issue and that an appellate court will find that the issue was obvious to trial participants. By failing to make a clear record, counsel takes an unnecessary risk that the issue, which could be vital to the prosecution or defense, will not be preserved. 9 liability . . . that a reasonable person in the declarant’s position would not have made the statement unless believing it to be true. A statement tending to expose the declarant to criminal liability and offered to exculpate the accused is not admissible unless corroborating circumstances clearly indicate the trustworthiness of the statement. Our rule of evidence is identical in all relevant aspects to its federal
counterpart, Federal Rule of Evidence 804(b)(3). As a result,
interpretations of the federal rule are often persuasive authority for
interpretation of our state rule. State v. Dullard, 668 N.W.2d 585, 593
(Iowa 2003). Federal case law, however, is not binding, and we are free
to develop our own approach to legal questions under the Iowa rule.
In this case, Paredes claims that the trial court should have
admitted the various statements made by Millard to Gail as statements
against interest under rule 5.804(b)(3). Paredes claims that admissible
statements made by Millard include: her statement that she had begun
spanking her two-month-old baby, her statement that Paredes did not
hurt the baby and her hinting that maybe she was responsible, her
statement that she did not want Paredes to take the fall, her questions
and comments about criminal penalties, and her silence or lack of
contradiction when Gail spoke to her as if she were the perpetrator.
Paredes further asserts that the statements were sufficiently
corroborated under the totality of facts and circumstances to require
their admission into evidence. Paredes notes that he and Millard were
the child’s only caregivers during the time when the injuries were
inflicted. Paredes points to testimony that Millard’s demeanor during the
ride to the hospital was not quite what one would expect of a new
mother’s reaction under the circumstances. Paredes also observes that
Millard attempted to shift blame to her sister-in-law, Jimenez. Jimenez,
however, testified that she had observed Millard treat the infant 10
inappropriately, including shaking him prior to his admission to the
hospital. All these circumstances, according to Paredes, tend to
corroborate Millard’s inculpatory statements. Finally, Paredes asserts
that the failure to allow admission of Millard’s statements was not
harmless, requiring reversal of his conviction.
The State counters that Millard’s statements were not sufficiently
inculpatory that a reasonable person in her position would not have
made them unless they were true. The State stresses that Millard, in
fact, did not admit to anything. The State argues that Millard spoke only
hypothetically and that she was primarily upset because she did not
want her boyfriend to take the fall. Rather than admitting guilt, the
State contends that Millard, if anything, was offering a mental illness
defense of diminished responsibility or not guilty by reason of insanity,
which would preclude her from criminal liability.
In addition, the State contends that even if Millard made
statements adverse to her penal interest, there was insufficient
corroboration of her claims to allow their admission. The State notes
that Millard’s statements, which were made a week after the assault and
after she had numerous opportunities to acknowledge her role but did
not do so, amounted to vague comments of the “maybe I did, maybe I
didn’t variety,” provided no details regarding her alleged mental problems
that caused her to forget her culpability, were not made under oath,
reflected not an admission as much as an effort to escape criminal
liability, and were motivated primarily by a desire to clear her boyfriend
while still avoiding punishment herself.
In order to understand the context of this dispute, we survey the
common-law approach to admission of hearsay statements against penal
interest, the history of the development of the federal rule, and the 11
subsequent case law that has developed under the federal rule and
substantially similar state rules.
B. Common-Law Approach. At common law, the hearsay rule
was more broadly applied than is the case under modern practice. The
historical underpinnings of the hearsay rule were concerns about
reliability and trustworthiness of statements that were not made under
oath and were “not subject to cross-examination by opposing counsel to
test the perception, memory, veracity, and articulateness of the out-of-
court declarant.” Emily F. Duck, The Williamson Standard for the
Exception to the Rule Against Hearsay for Statements Against Penal
Interest, 85 J. Crim. L. & Criminology 1084, 1085 (1995) [hereinafter
Duck].
Over time, however, exceptions to the hearsay rule began to
develop in the common law when statements displayed sufficient indicia
of reliability. Id. In particular, the common law began to recognize that
statements against pecuniary or proprietary interest were generally
trustworthy. Id. at 1086. The rationale behind these developing
exceptions was the notion that a reasonable person would not make a
statement against his pecuniary or proprietary interest unless the
statement was true. Id.
The common law, however, refused to allow admission of hearsay
statements against penal interest. Id. In a much cited case, the House
of Lords in The Sussex Peerage, 8 Eng. Rep. 1034 (H.L. 1844), refused to
allow into evidence a statement against penal interest. Such common-
law opinions cited concern that declarations against penal interest might
be collateral to the main statement, may be motivated by a desire to
curry favor with authorities, or may be designed to lessen the culpability
of the declarant by shifting most of the blame for the criminal offense to 12
another. Id.; Andrew R. Keller, Note, Inculpatory Statements Against
Penal Interest and the Confrontation Clause, 83 Colum. L. Rev. 159, 162
(1983) [hereinafter Keller].
In 1913, the United States Supreme Court considered the
admissibility of statements against penal interest in Donnelly v. United
States, 228 U.S. 243, 33 S. Ct. 449, 57 L. Ed. 820 (1913). Over a dissent
by Justice Oliver Wendell Holmes, the majority in a cursory opinion
adopted the common-law rule of excluding such statements, apparently
concluding that the approach in The Sussex Peerage was not worthy of
reexamination. Donnelly, 228 U.S. at 273–76, 33 S. Ct. at 459–60, 57
L. Ed. at 833–34.
The common-law approach—a blanket exclusion of hearsay
statements against penal interest—had the advantage of providing a
clear rule that was easy to apply. But the one-size-fits-all rule also had
the potential of producing injustice in particular cases. While some
statements against penal interest may be highly suspect, others seem
highly probative. As noted in Justice Holmes’ dissent, “[N]o other
statement is so much against interest as a confession of murder.” Id. at
278, 33 S. Ct. at 461, 57 L. Ed. at 834 (Holmes, J., dissenting).
If the purpose of a dissent is to influence the future direction of the
law, Holmes’ dissent in Donnelly was a success. Subsequent academic
writers attacked the common-law rule barring admission of hearsay
statements against penal interest. Failure to include at least some
statements against penal interest was assailed as a “nuisance” by John
H. Wigmore and lacking in rational consistency by Edmond M. Morgan.
David Robinson, Jr., From Fat Tony and Matty the Horse to the Sad Case
of A.T.: Defensive and Offensive Use of Hearsay Evidence in Criminal
Cases, 32 Hous. L. Rev. 895, 898 nn. 8–9 (1995). While the approach in 13
Donnelly continued to be applied by many American courts, the stage
was set for a change.
1969, the Advisory Committee to the Standing Committee on Rules of
Practice and Procedure completed its first draft of the Federal Rules of
Evidence. Keller, 83 Colum. L. Rev. at 174. The first draft departed
markedly from the common-law rule adopted in Donnelly and instituted
an exception for some statements against penal interest. Duck, 85 J.
Crim. L. & Criminology at 1086–87. Nevertheless, the original draft
refused to admit “statements against penal interest that inculpated the
defendant, citing their inherent evidentiary unreliability.” Id. at 1087.
The Supreme Court omitted the restriction against inculpatory
statements against penal interest when it issued the official draft of the
Federal Rules of Evidence. Id.
The proposed rule drew strong opposition. The United States
Department of Justice attacked the proposed rule on the ground that it
would allow too many unreliable exculpatory statements into evidence.
Peter W. Tague, Perils of the Rulemaking Process: The Development,
Application, and Unconstitutionality of Rule 804(b)(3)’s Penal Interest
Exception, 69 Geo. L.J. 851, 869–70 (1981) [hereinafter Tague]. In
addition to the Justice Department, Senator John L. McClellan believed
that the new rule could potentially undermine effective law enforcement.
Id. at 873.
Proponents of the new approach, however, received a boost from
the United States Supreme Court in the 1973 case of Chambers v.
Mississippi, 410 U.S. 284, 93 S. Ct. 1038, 35 L. Ed. 2d 297 (1973). In
this case, the Supreme Court ruled that it was a denial of due process to
refuse to allow a defendant to use evidence of a confession made by 14
another on hearsay grounds. Chambers, 410 U.S. at 302, 93 S. Ct. at
1049, 35 L. Ed. 2d at 313. While Chambers did not involve a case where
the declarant was unavailable, it did stand for the proposition that under
at least some circumstances, out-of-court admissions or statements
against penal interest could be so probative that it would be a denial of
due process to refuse to allow their admission.
In the end, a compromise was reached between members of
Congress who believed that admissions against penal interest should be
treated similarly to admissions against pecuniary or proprietary interests
and those who opposed broad admission of statements against penal
interest. Tague, 69 Geo. L.J. at 873. The first sentence of the
compromise rule generally allowed admission of a “statement” that at the
time of its making was “so far contrary” to a declarant’s interest, or that
“so far tended” to subject a declarant to civil or criminal liability that a
reasonable person in the declarant’s position would not have made the
statement unless believing it to be true.
Congress, however, added another sentence to the rule not found
in the original draft. Specifically, Congress added a sentence that
provided that a statement tending to expose the declarant to criminal
liability and offered to exculpate the accused is not admissible unless
corroborating circumstances clearly indicate the trustworthiness of the
statement. Id. at 876. This second sentence created an apparent
asymmetry between admission of hearsay statements against penal
interest offered by the prosecution tending to inculpate the accused and
hearsay statements against penal interest offered by the defense to
exculpate the accused. 2
2Some of the imbalance, however, has been corrected by Crawford v.
Washington, 541 U.S. 36, 124 S. Ct. 1354, 158 L. Ed. 2d 177 (2004), which prohibits 15
D. Interpretation of Relevant Elements of Rule of Evidence
5.804(b)(3). In determining whether a statement is admissible under
rule 5.804(b)(3) several questions arise.
1. Meaning of term “statement.” The first question under rule
5.804(b)(3) is the scope of the term “statement.” There are several
possible approaches. The term could broadly refer to an entire narrative.
Conversely, the term narrowly could mean only individual factual
assertions. Or, the term could mean individual factual assertions along
with collateral material necessary to understand the context in which the
factual assertions are made.
The United States Supreme Court confronted the meaning of the
term “statement” in Williamson v. United States, 512 U.S. 594, 114 S. Ct.
2431, 129 L. Ed. 2d 476 (1994). Prior to Williamson, federal courts were
divided on the question of the admissibility of collateral, noninculpatory
statements contained in a confessional narrative. John P. Cronan, Do
Statements Against Interest Exist? A Critique of the Reliability of Federal
Rule of Evidence 804(b)(3) and Proposed Reformation, 33 Seton Hall L.
Rev. 1, 8 (2002) [hereinafter Cronan]. In Williamson, Justice O’Connor
wrote for the majority that each individual statement within a narrative
must be evaluated to determine whether it was admissible under the
rule. Williamson, 512 U.S. at 600–01, 114 S. Ct. at 2435, 129 L. Ed. 2d
at 483. Justice O’Connor noted that “reasonable people, even reasonable
people who are not especially honest, tend not to make self-inculpatory
statements unless they believe them to be true.” Id. at 599, 114 S. Ct. at
2435, 129 L. Ed. 2d at 482. On the other hand, she noted that
_____________________________ the prosecution from offering into evidence testimonial admissions against the accused under the Confrontation Clause. Crawford, 541 U.S. at 68, 124 S. Ct. at 1374, 158 L. Ed. 2d at 203. 16
trustworthy statements against interest can be interspersed in a
narrative with other statements that do not have the same level of
credibility. Id. at 600–01, 114 S. Ct. at 2435, 129 L. Ed. 2d at 483–84.
Because of this inherent tension, we adopt the middle-ground
approach. We hold that only inculpatory statements and the collateral
material necessary to provide context to the statements are admissible
under our rule of evidence. When presented with a writing or narrative
testimony, the district court must sift through it and admit the wheat
and discard the chaff as suggested by Justice O’Connor in Williamson.
2. Threshold requirement of adversity. The second question
presented under the rule is whether the statement is sufficiently
inculpatory as to amount to a statement against penal interest. Under
our rule, a statement against penal interest must have “so far tended” to
inculpate the accused “that a reasonable person in the declarant’s
position would not have made the statement unless believing it to be
true.” Iowa R. Evid. 5.804(b)(3). This requirement is designed to
establish a threshold level of trustworthiness of the underlying
statement.
Although not expressly required, this adversity requirement
implicitly demands that the person knew or at least believed that the
statement was against penal interest at the time it was made. 4
Christopher B. Mueller & Laird C. Kirkpatrick, Federal Evidence § 496, at
813–14 (2d ed. 1994) [hereinafter Mueller & Kirkpatrick]; 5 Clifford S.
Fishman, Jones on Evidence, Civil and Criminal § 36:67, at 584 (7th ed.
1992) [hereinafter Fishman]. Otherwise, the rationale of the exception,
namely, that a reasonable declarant would not make a statement against
interest unless true, would be undermined. 17
The threshold adversity requirement also poses a question of
degree. Some cases indicate that a statement does not come within the
rule unless the statement squarely and unequivocally implicates the
declarant in criminal activity or is tantamount to a confession. See, e.g.,
United States v. Bonty, 383 F.3d 575, 579 (7th Cir. 2004). The rationale
in these cases being that some statements are simply so vague or
equivocal that they do not really amount to statements against interest.
Others cases suggest a lower standard. See, e.g., United States v.
Candoli, 870 F.2d 496, 509 (9th Cir. 1989); United States v. Toney, 599
F.2d 787, 790 (6th Cir. 1979); United States v. Hyde, 574 F.2d 856, 863
(5th Cir. 1978). These cases tend to emphasize the “so far tended”
language in the rule which suggests that incriminating statements which
amount to less than a full confession may be admissible. Most
commentators also believe that statements that fall short of a confession
are the kinds of statements that should be admitted under the rule. 4
Mueller & Kirkpatrick § 496, at 815–16; 5 Fishman § 36:87, at 646.
Given the broad and general language of the rule, especially the “so
far tended” clause, we conclude that a statement need not amount to a
full confession in order to be admissible as a statement against penal
interest. See United States v. Thomas, 571 F.2d 285, 288–89 (5th Cir.
1978); United States v. Barrett, 539 F.2d 244, 251 (lst Cir. 1976).
There also is a question regarding the proper result when there are
potentially conflicting motivations for making the incriminating
statements. For example, a father may claim that he alone possessed
drugs, a statement that, if believed, would exonerate his son. United
States v. Paulino, 445 F.3d 211, 218 (2d Cir. 2006). While the statement
itself is clearly against penal interest, the father also has a strong motive
to lie to protect his son. Under these circumstances, some courts have 18
taken a relatively strict approach, excluding statements where there are
possible explanations or motives that suggest the declarant may be lying.
See United States v. Pena, 527 F.2d 1356, 1361 (5th Cir. 1976) (finding
statements not sufficiently against interest where the declarant had
mixed motives, including proper role as an informant, to make the
incriminating statement). Other courts, however, have indicated that
when there are conflicting motivations for making an incriminating
statement, the issue is best resolved by the jury. Cf. Candoli, 870 F.2d
at 509 (noting that conflicts in a statement against interest goes to the
weight the jury should afford the evidence, not to its admissibility).
Like judges, commentators also seem divided on the issue. The
Fishman treatise admits that there is no firm rule on how the issue
should be resolved, but suggests that where a statement offered by a
declarant as exculpatory evidence has some tendency to expose the
declarant to criminal liability but also fulfills a self-serving purpose, the
court must assess the probabilities. 5 Fishman § 36:66, at 583–84.
Mueller and Kirkpatrick suggest that statements should be excluded
when the motivation undermines its trustworthiness. 4 Mueller &
Kirkpatrick § 496, at 819–20. The Weinstein treatise, however, appears
to have more faith in juries, suggesting that determination of the
declarant’s credibility “should not be used as a means of usurping the
jury’s function.” 5 Joseph M. McLaughlin et. al, Weinstein’s Federal
Evidence § 804.06[5][b], at 804–68 (2d ed. 2009).
We conclude that the use of the term “tended” in the rule suggests
that it is not necessary that the statement be an explicit admission. We
also conclude that the presence of conflicting motivations is ordinarily a
question for the jury to consider. State v. DeWitt, 597 N.W.2d 809, 811 19
(Iowa 1999) (noting that the meaning and weight of an inculpatory
statement is ordinarily for the jury to determine).
3. Corroborating circumstances. The third question presented
under this rule is the scope of the corroboration requirement when the
statement against interest is being offered to exculpate the accused. Like
the parties who participated in the development of the rule, subsequent
courts have struggled over the meaning of corroboration contained in the
last sentence of rule 5.804(b)(3). The corroboration rule must require
something more than the inherent trustworthiness associated with a
declaration against interest. Otherwise, the additional sentence would
be written out of the rule. But what exactly is required?
Some applications of the corroboration rule are easy. Over 200
persons confessed to killing the Lindbergh baby but had no connection
whatsoever to the crime. Cronan, 33 Seton Hall L. Rev. at 21. While the
confessions might have been unequivocal and obviously against penal
interest, they were of no probative value due to the total lack of
corroborating circumstances.
In closer cases, however, the issues assume much sharper relief.
For instance, does the corroboration requirement affirmatively require
the defendant to offer extrinsic evidence that tends to support the
trustworthiness of the statement? What if there is no extrinsic evidence
affecting the trustworthiness of the statement? Regardless of the answer
to these questions, what degree of corroboration is required to “clearly
indicate” the trustworthiness of the statement?
Some courts have suggested that corroboration requires the
presence of extrinsic evidence that supports the inculpatory statements
of the declarant. See United States v. Forest, 355 F.3d 942, 955 (6th Cir.
2004), rev’d on other grounds by Garner v. United States, 543 U.S. 1100, 20
125 S. Ct. 1050, 160 L. Ed. 2d 1001 (2005). Other courts have indicated
that such independent evidence is irrelevant and that a court should
only consider the circumstances under which the inculpatory statement
was made. See United States v. Barone, 114 F.3d 1284, 1295–96 (lst Cir.
1997).
Given the broad, general language of the last sentence of the rule,
however, the best approach to determining whether a statement is
adequately corroborated appears to be a multifactored test in which all
evidence bearing on the trustworthiness of the underlying statement may
be considered. United States v. Bumpass, 60 F.3d 1099, 1102 (4th Cir.
1995); see 4 Stephen A. Saltzburg, Michael M. Martin, & Daniel J. Capra,
Federal Rules of Evidence Manual § 804.02[9], at 804–19 to –20 (9th ed.
2006) [hereinafter Saltzburg]. No one criterion would be determinative,
but the district court could consider a wide variety of facts and
circumstances in making the ultimate determination of admissibility.
For example, under the multifactor test, one consideration would
be the relationship between the declarant and the defendant. In some
cases, the relationship might be sufficient to exclude an admission
against penal interest, for example, where a father already implicated in
a drug transaction seeks to further inculpate himself and exculpate his
son. Paulino, 445 F.3d at 219–20. On the other hand, where there are
sufficient other circumstances that tend to corroborate an inculpatory
statement, the mere fact that a father is exculpating a son may not bar
admission. United States v. Paguio, 114 F.3d 928, 933 (9th Cir. 1997).
The information within the statement itself may also be considered
as an element of corroboration. Is the statement so contradictory as to
be not creditable? As Judge Posner has pointed out, however, a court
must be careful not to usurp the role of a jury by making credibility 21
determinations that are outside the proper scope of the judicial role.
United States v. Amerson, 185 F.3d 676, 692 (7th Cir. 1999) (Posner,
C.J., dissenting).
Courts determining whether there are sufficient corroborating
circumstances consider a number of factors in making the
determination. The factors considered often include: (1) whether there is any apparent motive for the out-of-court declarant to misrepresent the matter, . . . (2) the general character of the speaker, . . . (3) whether other people heard the out-of-court statement, . . . (4) whether the statement was made spontaneously, . . . (5) the timing of the declaration[, and (6)] the relationship between the speaker and the witness. United States v. Alvarez, 584 F.2d 694, 702 n.10 (5th Cir. 1978); accord
State v. Martinez, 621 N.W.2d 689, 693–94 (Iowa Ct. App. 2000).
A second major issue under the corroboration requirement is the
amount or level of corroboration required. What amount of evidence is
sufficient to provide corroboration clearly indicating trustworthiness?
While the term “clearly” is a relatively strong term, the word “indicating,”
particularly in the law of evidence, is comparatively weak. Considering
the language alone, it seems reasonable to conclude that there may be
facts or circumstances that clearly indicate trustworthiness, even though a reasonable jury might conclude otherwise. A number of cases seem to
take this kind of approach. See, e.g., United States v. Doyle, 130 F.3d
523, 543–44 (2d Cir. 1997); United States v. Garcia, 986 F.2d 1135,
1140–41 (7th Cir. 1993).
As noted by one set of commentators, it makes no sense to set the
corroboration standard so high that if a defendant can meet it, he would
“probably never have been charged or tried in the first place.” 4
Saltzburg § 804.02[9], at 804–21. On the other hand, the defendant’s
own claim of innocence cannot be sufficient corroboration. Otherwise, 22
the corroboration requirement would be read out of the statute. Id. In
order to balance these competing interests, a leading treatise advanced
the following standard: “The court should only ask for sufficient corroboration to ‘clearly’ permit a reasonable man to believe that the statement might have been made in good faith and that it could be true. If, for example, the proof is undisputed that the person confessing to a shooting could not have been at the scene of the crime because he was in prison, it will be excluded. But if there is evidence that he was near the scene and had some motive or background connecting him with the crime that should suffice.” People v. Barrera, 547 N.W.2d 280, 289 (Mich. 1996) (quoting 4
Weinstein & Berger, Evidence ¶ 804(b)(3)[03], at 804–154 to –55).
We do not adopt a hard and fast rule regarding corroboration.
Instead, we conclude that each statement against interest must be
evaluated in context. Clearly, specious assertions, such as “I killed the
Lindbergh baby,” by persons completely unconnected with the time and
place of the abduction and murder, lack corroboration and should be
excluded. On the other hand, if a declarant is tied to the time and place
of the crime and the statement has substantial plausibility, the
corroboration requirement has been met.
E. Application of Principles to Current Case. Applying these
principles to this case, we conclude that Millard did make statements
against interest under rule 5.804(b)(3). She stated that Paredes “did not
do it,” that he “would not hurt the baby,” that she “does not want her
boyfriend to take the fall” for the child’s injuries, that Paredes “is not that
kind of guy, not violent,” and that he “did not take care of the baby that
much.” Considered in isolation, these statements merely exculpate
Paredes, but they are plainly self-inculpatory when considered in
context. Except for a brief fifteen-minute interval when the baby was
cared for by Paredes’ sister, Millard and Paredes were the infant’s only 23
caregivers when the injuries were inflicted. As a result, by making
statements tending to exculpate Paredes, Millard was indirectly
implicating herself as the person who caused the injuries. These
statements were not hypothetical when evaluated in the proper context.
In addition, Millard made statements that were directly
inculpatory. She stated that the baby had been crying, that she yelled at
him to “shut up,” and that she had “started spanking him lately,” which
she claimed did not hurt him since he wore a diaper. Yelling “shut up”
at a crying two-month-old shows obvious lack of self-control. Further,
spanking a two-month-old child for crying, even with a diaper on, is an
admission of inappropriate behavior that could give rise to an inference
that Millard was the person who injured the child. 3
Finally, Millard asked Gail what would happen to her if it was
discovered that she did hurt the baby. Although she at no time directly
admitted that she was responsible for the injuries, an inquiry about
potential sanctions tends to suggest that she may have been responsible.
While it is true, as the State asserts, that Millard couched her questions
about potential sanctions in hypothetical terms, we conclude that the
statements tended to shift responsibility away from Paredes and toward Millard.
We further note that Gail herself considered the statements
significant. Twice during the conversation she admonished Millard that
she needed to consult with her attorney. After the conversation, she
prepared a contemporaneous memorandum and forwarded the
3The State at oral argument conceded that the statement about spanking a two-
month-old would likely be a statement against interest, but suggested that the evidence would be merely cumulative. The State notes that at trial, Paredes’ sister testified that Millard spanked the child. Paredes’ sister, however, could have been motivated to shift blame for the child’s injuries away from her brother. As a result, we do not find the evidence cumulative. 24
memorandum to her supervisors, who in turn provided it to local law
enforcement authorities. It is clear that Gail and her supervisors
recognized the potential criminal implications of the conversation. As a
result, we conclude that the above statements amount to statements
against interest under Iowa Rule of Evidence 5.804(b)(3).
We do not conclude, however, that Millard’s failure to contradict
Gail when the social worker “kept talking to her as if she did it” amounts
to an admissible tacit admission. Whether and under what
circumstances silence should be regarded as an admission has been
subject to considerable debate. See Commonwealth v. Dravecz, 227 A.2d
904, 906–07 (Pa. 1967) (quoting various contradictory proverbs about
silence such as “Silence gives consent” with “Silence is Golden” in
rejecting rule of admission by silence); Maria L. Ontiveros, Adoptive
Admission and the Meaning of Silence: Continuing the Inquiry into
Evidence Law and Issues of Race, Class, Gender, and Ethnicity, 28 Sw. U.
L. Rev. 337, 341–45 (1999) (discussing sociological differences of the
meaning of silence); Peter Tiersma, The Language of Silence, 48 Rutgers
L. Rev. 1, 8–9 (1995) (discussing the nuances of the “meanings” of
silence, which can include consent, apathy, preoccupation, or fear).
There is federal authority for the proposition that a party may
adopt a statement through silence under some circumstances and that
such evidence may be admitted under the federal rules as an admission
by a party-opponent. See United States v. Robinson, 275 F.3d 371, 383
(4th Cir. 2001); Marshall v. Young, 833 F.2d 709, 716 n.3 (7th Cir. 1987).
Whether we should extend this reasoning to allow the introduction of
tacit admissions under the statements against interest exception is a
question best left for another day. While we have traditionally accepted
admissions by silence or tacit admissions, we also stressed that because 25
silence is often more ambiguous than verbal expression, tacit admissions
should be received with caution. Friedman v. Forest City, 239 Iowa 112,
133–34, 30 N.W.2d 752, 763 (1948). In this case, Gail apparently
adopted the hypothetical framework constructed by Millard, but there
was no evidence that Gail accused Millard of criminal conduct in a way
that would require a response by a reasonable person. See United States
v. Moore, 522 F.2d 1068, 1074–76 (9th Cir. 1975). As a result, the
evidence of Millard’s tacit admissions is not admissible under rule
5.804(b)(3).
Even though Millard’s express statements are sufficiently
inculpatory to qualify as admissions against interest under Iowa Rule of
Evidence 5.804(b)(3), they are not admissible to exculpate Paredes unless
corroborating circumstances indicate their trustworthiness. We have
previously held that it is not necessary to demonstrate corroborating
evidence of the statements themselves. Rather, as noted above, we
conclude that the focus is on whether the circumstances under which
the statements were made are sufficiently trustworthy to allow a jury to
make the ultimate determination concerning their truth. DeWitt, 597
N.W.2d at 811.
We conclude that there are sufficient corroborating circumstances
to allow admission of Millard’s inculpatory statements. 4 First, Millard
chose to make these statements to someone she trusted, a person who
4The State argues that some of the corroborating circumstances of trustworthiness offered by Paredes, including Jimenez’s testimony, were not included in the offer of proof, but was evidence adduced at trial. The State claims that under applicable precedents, evidence adduced at trial but not contained in the offer of proof may not be considered. We disagree. The State’s argument is premised on the need to offer sufficient indicia of reliability for Confrontation Clause purposes under the pre- Crawford test, rather than the corroboration requirement of rule 5.804(b)(3). See Hallum, 585 N.W.2d at 257. In any event, sufficient corroboration is found within the context of the Millard statements themselves to support admission. 26
was not directly involved in the case. On its face, it appears that Millard
was seeking advice from Gail and not trying to manipulate the system.
Second, Millard’s statements to Gail find at least some support in the
record—Millard was a caregiver to the infant at the relevant time, her
statements are consistent with Paredes’ recantation of his confession,
and her statements are to some extent corroborated by the testimony of
Paredes’ sister.
There are, of course, potential problems with Millard’s statements.
In particular, it is possible that she was exploring a plan to manipulate
the system by falsely exonerating her boyfriend while avoiding criminal
sanctions because of her claimed mental incapacity or because of her
status as a minor. The standard, however, is whether a statement might
have been made in good faith and that it could be true. Under the record
presented here, we conclude that a reasonable jury could find Millard’s
statements truthful. As such, the district court erred by refusing to
admit her statements under Iowa Rule of Evidence 5.804(b)(3).
F. Harmless Error. The State contends that Paredes’ conviction
nonetheless should be affirmed because the exclusion of Millard’s
statements amounted to harmless error. Paredes responds that Millard’s
statements were a vital part of his defense.
Reversal of a ruling which admits or excludes evidence is not
necessary unless a substantial right of a party is affected. Iowa R. Evid.
5.103(a). To determine whether a substantial right of a party has been
affected when a nonconstitutional error occurs, we employ harmless
error analysis and ask: “ ‘Does it sufficiently appear that the rights of the
complaining party have been injuriously affected by the error or that he
has suffered a miscarriage of justice?’ ” State v. Sullivan, 679 N.W.2d 19,
29 (Iowa 2004) (quoting State v. Trudo, 253 N.W.2d 101, 107 (Iowa 27
1977)). In considering harmless error, “ ‘[W]e presume prejudice—that
is, a substantial right of the defendant is affected—and reverse unless
the record affirmatively establishes otherwise.’ ” Newell, 710 N.W.2d at
19 (quoting Sullivan, 679 N.W.2d at 30).
After reviewing the record as a whole, we cannot find the error
harmless. In this case, Paredes put forth a general denial defense. The
only other plausible suspect was Millard. While Jimenez certainly
pointed suspicion at Millard, she is the defendant’s sister whose
credibility is questionable both because she has a potential motive to
exonerate her brother and because of the evolution of her statements to
law enforcement.
Millard’s statements to Gail would have clearly aided the defense in
its only available theory, namely, that Millard was responsible for the
child’s injuries. This is especially true as the State’s case rested
primarily on Paredes’ confession and access to the child. The
introduction of Millard’s statements would have additionally answered
the jury’s likely questions of where the mother was and why she did not
testify in the case. See Chia v. Cambra, 360 F.3d 997, 1005–06 (9th Cir.
2004) (finding due process violation where statements against interest by
another suspect were suppressed as the statements were the defendant’s
best and only evidence of innocence). On this record, the State has not
affirmatively established that the exclusion of Millard’s statements did
not injuriously affect Paredes’ substantial rights. Reversal of Paredes’
conviction is, therefore, required.
V. Conclusion.
We hold that the court of appeals erred when it affirmed Paredes’
conviction on the ground that Paredes failed to show that Millard was
unavailable to testify at trial. We further hold that Millard’s statements 28
constitute statements against interest that were erroneously excluded
from evidence in Paredes’ trial. Under all the facts and circumstances,
we conclude that the error was not harmless. As a result, the decision of
the court of appeals is vacated, the judgment of the district court is
reversed, and the matter is remanded to the district court.
DECISION OF COURT OF APPEALS VACATED; DISTRICT
COURT JUDGMENT REVERSED AND CASE REMANDED.
All justices concur except Cady, J., who dissents and Baker, J.,
who takes no part. 29 #140/07–0237, State v. Paredes CADY, Justice (dissenting).
I respectfully dissent. The majority makes two holdings in
reaching its decision that branch out too far from the trunk of the legal
principle from which they are derived. I would affirm the decisions of the
court of appeals and the district court.
I. Role of the Court.
The majority correctly identifies that the standard of review for the
admissibility of hearsay is for the correction of errors at law. State v.
Newell, 710 N.W.2d 6, 18 (Iowa 2006). Notwithstanding, it establishes a
rule that gives the jury discretion to consider the admissibility of
statements against interest made by a declarant with mixed motivations
for making the statement. This approach is not only inconsistent with
our reviewing standard, but it is also inconsistent with the important
gatekeeping function of courts.
In performing the legal task of deciding the admissibility of hearsay
evidence, a district court must decide certain preliminary questions by
applying the law to existing evidence. Iowa R. Evid. 5.104(a). Once the
courts decide the evidence is admissible, the jury determines its weight
and credibility. Iowa R. Evid. 5.104(e).
Before a court can admit hearsay in the form of a statement
against the interest of an unavailable declarant for the purposes of
exculpating a defendant, several threshold requirements must be
satisfied. One such threshold requirement is that the statement be
sufficiently inculpatory to amount to a statement against penal interest.
This important requirement is tied to the fundamental premise for
admitting hearsay—cross-examination of the declarant is unnecessary to
probe the truth of the statement because the statement itself is 30
inherently trustworthy. Chambers v. Mississippi, 410 U.S. 284, 300–01,
93 S. Ct. 1038, 1048–49, 35 L. Ed. 2d 297, 312 (1973) (stating that
whether the confession is “in a very real sense self-incriminatory and
unquestionably against interest” is a significant indicator of reliability).
In this case, the majority abandons trustworthiness as an essential
predicate to the admissibility of hearsay. It holds that in cases, such as
this case, in which the surrounding circumstances suggest mixed
motives for a declarant to make a statement (which creates doubts about
the trustworthiness of the statement), the jury, not the court, should
decide if the statement is against the declarant’s interest. The
Mississippi Supreme Court has eloquently described its reasons for
disallowing exculpatory declarations against interest when mixed motives
are apparent: “Many motives, apart from the love of truth and justice,
induce men to assume the gravest risks.” Brown v. State, 55 So. 961,
962 (Miss. 1911). The new rule declared by the majority today transfers
a historical judicial function to the jury and essentially gives the jury the
discretion to consider hearsay evidence.
The gatekeeping function of the court should be intensified, not
eliminated, when the trustworthiness of the hearsay at issue is in doubt.
The new rule created by the majority is detached from the purpose of
creating exceptions to the rule against hearsay and conflicts with the
time-honored role of the court in the trial of a case. It gives juries power
well beyond their traditional role and undercuts the importance of cross-
examination in our system of justice.
II. Preservation of Error.
The doctrine of preservation of error is built on the premise that
trial courts must first decide legal questions, and appellate courts review
the decisions made. The doctrine is also built on the principle of 31
fairness, which has given rise to the principle that neither party to a case
may normally assert a claim or defense on appeal they could have, but
failed to, raise at trial. DeVoss v. State, 648 N.W.2d 56, 63 (Iowa 2002).
In this case, there is nothing in the trial record to reveal Paredes
raised the claim that the hearsay testimony of the social worker was
admissible as a declaration against interest. If he had, he would have
been required to establish the threshold requirements of the rule,
including the unavailability of the declarant. Nevertheless, the
preservation-of-error doctrine does not now preclude Paredes from
claiming on appeal that the district court erred by failing to admit the
evidence as a statement against interest because the district court used
the statement-against-interest rule as a basis for ruling the evidence to
be inadmissible. The district court made a preliminary finding that the
declarant was unavailable, but found the other preliminary requirements
were not satisfied.
On appeal, the State sought to uphold the ruling of the district
court on the basis that the other predicate requirements of admissibility
were not proven by Paredes. The State failed to argue on appeal that the
evidence was inadmissible because the district court erred in finding that
the declarant was unavailable. Nevertheless, the court of appeals upheld
the decision of the district court, but on the basis that there was
insufficient evidence to find that the declarant was unavailable.
As in district court, the court of appeals decided the contested
issue on a ground not raised or contested by the parties. Yet, if this
factor does not preclude Paredes from raising such a ground on appeal, it
should not preclude the State from raising a ground relied on by the
court of appeals on further review. In other words, just as the district
court preserved error for Paredes, the court of appeals preserved error for 32
the State. This approach is only a matter of fairness and does not
undermine or disadvantage Paredes in any way. He was, under the law,
required from the inception to establish all of the requirements for the
admissibility of the evidence as a statement against interest. The trial
record is now available to review to determine if the evidence supports
this requirement.
There is, of course, no question Paredes failed to establish the
requirement of unavailability. Therefore, Paredes should not receive the
benefit of a new trial (with the right to have the disputed evidence
admitted) without ever proving all the essential legal requirements for
admission.
The majority has failed to apply the preservation-of-error rule in
the same manner for both parties. This is unfair and contrary to the
dictates of DeVoss. Id. Our law should not have rules that do not apply
the same to both parties.
III. Conclusion.
I would affirm the decision of the court of appeals that Paredes
failed to establish the declarant was unavailable.