MEMORANDUM
YOUNG, District Judge.
I. BACKGROUND
In the early morning hours of Monday, March 2, 1992, James Boyden Jr. was found dead in the vicinity of Spice Street, Charles-town. He had been shot in the back of the head.
On the eve of trial involving federal charges arising out of this and other murders, attempted murders, and allegedly related misconduct, the government moved
in limine
for an Order permitting it to offer, through percipient witnesses, hearsay statements made by James Boyden Jr., James Boyden Sr., and George Sargent, shortly before their respective murders. The Court declined to rule
in limine,
opting instead to await development of the trial record, making only such rulings as ultimately prove necessary and appropriate. Having now admitted one such statement of James Boyden Jr., and the government having withdrawn its proffer of the others, this memorandum addresses only the ruling already made. The admissibility of statements allegedly made by James Boyden Sr. and George Sargent will be addressed when and if necessary.
In its motion
in limine,
the government proffered the following evidence through counsel: Prior to his death, James Boyden Jr. allegedly told his sister, Marie Boyden Connors, that he had had a loud argument with the defendant Jennierose Lynch (“Lynch”) in which she warned him that if he did not stop selling cocaine from her comer, she would have the defendant Michael Fitzgerald (“Fitzgerald”) “blow [his] head off.” James Boyden Jr. allegedly related similar accounts of this event to his mother, Veronica Boyden; his father, James Boyden Sr.; and another witness. His sister and mother each reported seeing him afterwards with a bandage on his face. Both women reported that James Boyden Jr. told them that Fitzgerald had beaten him up. The senior Mr. Boyden and another witness also reported that James Boyden Jr. had told them that he had been hit by Fitzgerald. On the evening before he was found dead, James Boyden Jr. was hanging out in his sister’s Charlestown apartment drinking beer, departing at about 8:00 PM. As he was leaving, he allegedly told his sister that he was going out “to meet Billy Herd.” William “Billy” Herd (“Herd”) is a co-defendant in this case.
As the trial unfolded, the government abandoned its effort to admit most of these hearsay statements.
The government did,
however, seek to admit the statement of James Boyden Jr. to his sister that he intended to meet Herd as relevant circumstantial evidence that it was Herd who killed him later that evening. The government argued that this statement is admissible because it constitutes a statement of a then existing mental or emotional condition under Federal Rule of Evidence 803(3) (“Rule 803(3)”). Over objection, the Court admitted the statement and Marie Boyden Connors was allowed so to testify. This memorandum explains the Court’s reasoning.
II. ANALYSIS
This case presents an issue of first impression in the First Circuit, namely, whether the out-of-court statement of a victim-declarant of an intention to meet with a defendant on the evening of the victim’s murder can be admitted at trial as circumstantial evidence of the meeting. Rule 803(3), commonly referred to as the “state of mind exception,” excludes from the hearsay rule statements of “the declarant’s then existing state of mind, emotion, sensation, or physical condition (such as intent, plan, motive, design, mental feeling, pain, and bodily health)____” Thus, although the statement of James Boyden Jr. that he was going to meet Herd would clearly be admissible, if relevant, as a statement of James Boyden Jr.’s own intention, it is unclear whether it can be admitted against others — the defendants here — as evidence that the meeting actually took place.
A. The Common Law Prior to Rule 803(3)
Prior to the adoption of the Federal Rules of Evidence, the Supreme Court addressed this issue in the famous case of
Mutual Life Insurance Co. of New York v. Hillmon,
145 U.S. 285, 12 S.Ct. 909, 36 L.Ed. 706 (1892). In
Hillmon,
an insurance company sought to introduce out-of-court statements by a declarant, Walters, that he intended to travel with the insured, Hillmon. The hearsay statement was used as the principal proof that Hillmon had actually traveled with Walters. In holding this statement admissible, the Supreme Court cited with approval
Hunter v. State,
11 Vroom (40 N.J.L.) 495, 534, 536-38 (1878), a criminal case which involved facts similar to the case at issue here. In
Hunter,
the Court of Errors and Appeals (now the Supreme Court) of New Jersey held that a victim-declarant’s out-of-court statements to his wife and son, just prior to his murder, that he was planning to meet with the defendant were admissible to prove the defendant’s subsequent conduct.
See Hillmon,
145 U.S. at 299, 12 S.Ct. at 914 (paraphrasing the
Hunter
case). The rationale of the New Jersey court was explicitly adopted by the Supreme Court in
Hillmon. Id.
Thus, under
Hillmon,
out-of-court statements of a declarant are admissible to prove the subsequent conduct of others.
The analysis, however, does not end here. In 1973, Congress codified
Hillmon
in Federal Rule of Evidence 803(3). The question for this Court, then, is whether in enacting Rule 803(3) Congress codified in full the reasoning of
Hillmon,
or whether it sought to limit the case’s application.
B. Rule 803(3) and its Legislative History
Rule 803(3) states that a declarant’s out-of-court statement of intent is admissible at trial as an exception to the rule against hearsay. The text of the rule is silent as to whether such statements are admissible against third parties.
Unfortunately, the legislative history of Rule 803(3) only serves to obfuscate the analysis. While the Advisory Committee’s Note to Rule 803(3) states that “the rule of
Mutual Life Insurance Co. v. Hillmon,
allowing evidence of intention as tending to prove the doing of the act intended, is, of course, left undisturbed,” Fed.R.Evid. 803(3) advisory committee’s note,
reprinted in
Eric D. Green
&
Charles R. Nesson, Federal Rules of Evidence 166 (1992) (citation omitted), the Report of the House Judiciary Com
mittee states that “the committee intends that the rule be construed to limit the doctrine of
Free access — add to your briefcase to read the full text and ask questions with AI
MEMORANDUM
YOUNG, District Judge.
I. BACKGROUND
In the early morning hours of Monday, March 2, 1992, James Boyden Jr. was found dead in the vicinity of Spice Street, Charles-town. He had been shot in the back of the head.
On the eve of trial involving federal charges arising out of this and other murders, attempted murders, and allegedly related misconduct, the government moved
in limine
for an Order permitting it to offer, through percipient witnesses, hearsay statements made by James Boyden Jr., James Boyden Sr., and George Sargent, shortly before their respective murders. The Court declined to rule
in limine,
opting instead to await development of the trial record, making only such rulings as ultimately prove necessary and appropriate. Having now admitted one such statement of James Boyden Jr., and the government having withdrawn its proffer of the others, this memorandum addresses only the ruling already made. The admissibility of statements allegedly made by James Boyden Sr. and George Sargent will be addressed when and if necessary.
In its motion
in limine,
the government proffered the following evidence through counsel: Prior to his death, James Boyden Jr. allegedly told his sister, Marie Boyden Connors, that he had had a loud argument with the defendant Jennierose Lynch (“Lynch”) in which she warned him that if he did not stop selling cocaine from her comer, she would have the defendant Michael Fitzgerald (“Fitzgerald”) “blow [his] head off.” James Boyden Jr. allegedly related similar accounts of this event to his mother, Veronica Boyden; his father, James Boyden Sr.; and another witness. His sister and mother each reported seeing him afterwards with a bandage on his face. Both women reported that James Boyden Jr. told them that Fitzgerald had beaten him up. The senior Mr. Boyden and another witness also reported that James Boyden Jr. had told them that he had been hit by Fitzgerald. On the evening before he was found dead, James Boyden Jr. was hanging out in his sister’s Charlestown apartment drinking beer, departing at about 8:00 PM. As he was leaving, he allegedly told his sister that he was going out “to meet Billy Herd.” William “Billy” Herd (“Herd”) is a co-defendant in this case.
As the trial unfolded, the government abandoned its effort to admit most of these hearsay statements.
The government did,
however, seek to admit the statement of James Boyden Jr. to his sister that he intended to meet Herd as relevant circumstantial evidence that it was Herd who killed him later that evening. The government argued that this statement is admissible because it constitutes a statement of a then existing mental or emotional condition under Federal Rule of Evidence 803(3) (“Rule 803(3)”). Over objection, the Court admitted the statement and Marie Boyden Connors was allowed so to testify. This memorandum explains the Court’s reasoning.
II. ANALYSIS
This case presents an issue of first impression in the First Circuit, namely, whether the out-of-court statement of a victim-declarant of an intention to meet with a defendant on the evening of the victim’s murder can be admitted at trial as circumstantial evidence of the meeting. Rule 803(3), commonly referred to as the “state of mind exception,” excludes from the hearsay rule statements of “the declarant’s then existing state of mind, emotion, sensation, or physical condition (such as intent, plan, motive, design, mental feeling, pain, and bodily health)____” Thus, although the statement of James Boyden Jr. that he was going to meet Herd would clearly be admissible, if relevant, as a statement of James Boyden Jr.’s own intention, it is unclear whether it can be admitted against others — the defendants here — as evidence that the meeting actually took place.
A. The Common Law Prior to Rule 803(3)
Prior to the adoption of the Federal Rules of Evidence, the Supreme Court addressed this issue in the famous case of
Mutual Life Insurance Co. of New York v. Hillmon,
145 U.S. 285, 12 S.Ct. 909, 36 L.Ed. 706 (1892). In
Hillmon,
an insurance company sought to introduce out-of-court statements by a declarant, Walters, that he intended to travel with the insured, Hillmon. The hearsay statement was used as the principal proof that Hillmon had actually traveled with Walters. In holding this statement admissible, the Supreme Court cited with approval
Hunter v. State,
11 Vroom (40 N.J.L.) 495, 534, 536-38 (1878), a criminal case which involved facts similar to the case at issue here. In
Hunter,
the Court of Errors and Appeals (now the Supreme Court) of New Jersey held that a victim-declarant’s out-of-court statements to his wife and son, just prior to his murder, that he was planning to meet with the defendant were admissible to prove the defendant’s subsequent conduct.
See Hillmon,
145 U.S. at 299, 12 S.Ct. at 914 (paraphrasing the
Hunter
case). The rationale of the New Jersey court was explicitly adopted by the Supreme Court in
Hillmon. Id.
Thus, under
Hillmon,
out-of-court statements of a declarant are admissible to prove the subsequent conduct of others.
The analysis, however, does not end here. In 1973, Congress codified
Hillmon
in Federal Rule of Evidence 803(3). The question for this Court, then, is whether in enacting Rule 803(3) Congress codified in full the reasoning of
Hillmon,
or whether it sought to limit the case’s application.
B. Rule 803(3) and its Legislative History
Rule 803(3) states that a declarant’s out-of-court statement of intent is admissible at trial as an exception to the rule against hearsay. The text of the rule is silent as to whether such statements are admissible against third parties.
Unfortunately, the legislative history of Rule 803(3) only serves to obfuscate the analysis. While the Advisory Committee’s Note to Rule 803(3) states that “the rule of
Mutual Life Insurance Co. v. Hillmon,
allowing evidence of intention as tending to prove the doing of the act intended, is, of course, left undisturbed,” Fed.R.Evid. 803(3) advisory committee’s note,
reprinted in
Eric D. Green
&
Charles R. Nesson, Federal Rules of Evidence 166 (1992) (citation omitted), the Report of the House Judiciary Com
mittee states that “the committee intends that the rule be construed to limit the doctrine of
Mutual Life Insurance Co. v. Hillmon,
so as to render statements of intent by a declarant admissible only to prove his future conduct, not the future conduct of another person.” H.R.Rep. No. 650, 93rd Cong., 1st Sess. (1973) (citation omitted),
reprinted in
1974 U.S.Code Cong. & Ad.News 7051, 7075, 7087. The Senate Report and the Conference Report are silent on this point.
C. Circuit Split
Courts that have had the opportunity to consider the application of Rule 803(3) are divided.
See Brown v. Tard,
552 F.Supp. 1341, 1351-52 (D.N.J.1982) (noting that although under the New Jersey counterpart to Federal Rule 803[3] courts may admit a declarant’s statement of intent to prove defendant’s subsequent actions, federal courts are split on their interpretation of Rule 803[3]).
1. Second & Fourth Circuit
Approach—
Requirement of Corroborating
Evidence— Some courts have held that a declarant’s statement of intent may be admitted against a non-declarant only when there is independent evidence connecting the declarant’s statement with the non-declarant’s conduct.
See United States v. Jenkins,
579 F.2d 840, 842-43 (4th Cir.),
cert. denied,
439 U.S. 967, 99 S.Ct. 458, 58 L.Ed.2d 427 (1978) (declarant’s statement of intent is not admissible to prove subsequent conduct of third party, but is admissible to prove why third party acted as he did where there exists independent evidence that third party did in fact engage in the alleged conduct).
Similarly, the Second Circuit has held that “declarations of intentions or future plans are admissible against a nondeclarant when they are linked with independent evidence that corroborates the declaration.”
United States v. Nersesian,
824 F.2d 1294, 1325 (2d Cir.),
cert. denied,
484 U.S. 958, 108 S.Ct. 357, 98 L.Ed.2d 382 (1987);
see also United States v. Delvecchio,
816 F.2d 859, 863 (2d Cir.1987) (out-of-court statement of an informant that he intended to meet with the defendant was not admissible to prove defendant’s actual attendance at the meeting because the government offered no independent evidence of the defendant’s presence);
United States v. Badalamenti
794 F.2d 821, 826 (2d Cir.1986) (out-of-court statement by declarant that he was going to meet defendant to obtain heroin was admissible so long as government proffered independent evidence that meeting actually took place);
United States v. Sperling,
726 F.2d 69, 74 (2d Cir.),
cert. denied,
467 U.S. 1243, 104 S.Ct. 3516, 82 L.Ed.2d 824 (1984) (statements concerning declarant’s state of mind are admissible against nondeclarant when linked with corroborating evidence);
United States v. Cicale,
691 F.2d 95, 103-104 (2d Cir.1982),
cert. denied,
460 U.S. 1082, 103 S.Ct. 1771, 76 L.Ed.2d 344 (1983) (where defendant’s participation in drug transaction was proven by eyewitness testimony, statements by co-conspirator that he was going to meet the defendant for purposes of engaging in drug transaction were admissible).
A district judge in the Northern District of Illinois has likewise adopted this approach.
See United States v. York,
No. 86 CR 315, 1987 WL 5938, at *7 (N.D.Ill. Jan. 12, 1987) (hearsay testimony held inadmissible where victim-declarant’s statement that she intended to meet with the defendant at a particular time could not be corroborated with particularity).
But cf. Johnson v. Chrans,
844 F.2d 482, 486 n. 4 (7th Cir.),
cert. denied,
488 U.S. 835, 109 S.Ct. 95, 102 L.Ed.2d 71 (1988) (explaining that in some circumstances the Seventh Circuit has been willing to admit a declarant’s out-of-court statements to prove conduct of another person, despite opposite result under Illinois state law).
2. Ninth Circuit Approach
— No
Corroborating Evidence Necessary
— To the contrary, the Ninth Circuit has held that statements of a declarant’s intent are admissible under Rule 803(3) to prove subsequent conduct of a person other than the declarant without corroborating evidence.
See United
States v. Pheaster,
544 F.2d 353, 374-80 (9th Cir.1976),
cert. denied sub nom. Inciso v. United States,
429 U.S. 1099, 97 S.Ct. 1118, 51 L.Ed.2d 546 (1977) (in kidnapping prosecution, trial court did not err in admitting testimony of a friend of the victim that shortly before the victim disappeared he told his friend that he was going to meet a person with the same name as the defendant). In holding statements of intent admissible against third parties, the
Pheaster
court recognized that such testimony could be unreliable, but rejected this as grounds for its exclusion. The Ninth Circuit explained that
[t]he inference from a statement of present intention that the act intended was in fact performed is nothing more than an inference____ The possible unreliability of the inference to be drawn from the present intention [of the declarant] is a matter going to the weight of the evidence which might be argued to the trier of fact, but it should not be a ground for completely excluding the admittedly relevant evidence.
Id.
at 376 n. 14. The court also acknowledged the “theoretical awkwardness” of applying a state of mind exception to prove conduct, but dismissed this objection because of the impressive array of authority favoring such application.
Id.
at 377.
After disposing of these arguments, the Ninth Circuit considered both the California counterpart to Rule 803(3) and the newly enacted Federal Rules of Evidence (which were not in force at the time of the trial below). The Ninth Circuit concluded that the
Hillmon
doctrine (allowing use of such testimony) remains undisturbed (1) because the text of the statute does not explicitly prohibit the use of declarant’s statements of intent to prove the conduct of third persons, and (2) because of the contradictory nature of the legislative history of the rule.
Pheaster,
544 F.2d at 379;
see also Terrovona v. Kincheloe,
852 F.2d 424, 427 (9th Cir.1988) (out-of-court statement by victim to his girlfriend that he was leaving to meet the defendant was admissible because it was a statement of declarant’s then present intention and because it placed the defendant at the murder scene);
United States v. Astorga-Torres,
682 F.2d 1331, 1335-36 (9th Cir. 1982),
cert. denied,
459 U.S. 1040, 103 S.Ct. 455, 74 L.Ed.2d 608 (1982) (statement of declarant that he intended to bring guards with him to the site of a drug transaction was properly admitted as evidence of declarant’s intent to actually bring such individuals, and when appropriate limiting instruction was given, inferences could be drawn by the jury as to whether guards were actually present).
III. GROUND OF DECISION
As the Federal Rules of Evidence were enacted by Congress, this Court must interpret them as it would any statutory mandate.
Daubert v. Merrell Dow Pharmaceuticals, Inc.,
- U.S. -, -, 113 S.Ct. 2786, 2793, 125 L.Ed.2d 469 (1993);
Beech Aircraft Corp. v. Rainey,
488 U.S. 153, 163, 109 S.Ct. 439, 446, 102 L.Ed.2d 445 (1988). In examining Rule 803(3) as a statute, we begin with the text. The language of Rule 803(3) clearly says that statements of intent are admissible. Thus, because it does not by its terms limit the class of persons against whom such statements of intent may be admitted, this Court rules that Rule 803(3) codifies
Hillmon
as written and does not disturb its conclusion or its reasoning.
The Court’s holding is supported by examining Rule 803(3) in the context of the rest of the Federal Rules of Evidence. The Rules are replete with examples of Congress’ familiarity with the concept of limited admissibility.
Compare
Fed.R.Evid. 803(3)
with
Fed. R.Evid. 404(a) (limiting circumstances in which character evidence may be admitted); Fed.R.Evid. 404(b) (limiting purposes for which evidence of other crimes, wrongs, or acts may be admitted); Fed.R.Evid. 407 (limiting purposes for which subsequent remedial measures may be admitted); Fed.R.Evid. 408 (limiting purposes for which compromises and offers to compromise may be admitted); and Fed.R.Evid. 411 (limiting purposes for which evidence of liability insur
anee may be admitted). Thus, had Congress intended to limit the admissibility of such statements, it presumably would have done so. This Court will not venture to graft a limitation where none exists.
As Rule 803(3) is unambiguous,
this Court is unpersuaded by appeals to legislative history.
See Cabral v. INS,
15 F.3d 193, 194 (1st Cir.1994) (“We look to the legislative history only if ‘the literal words of the statute create ambiguity or lead to an unreasonable interpretation’”);
United States v. Charles George Trucking Co.,
823 F.2d 685, 688 (1st Cir.1987) (if the language of the statute is reasonably definite, it must be regarded as conclusive, and legislative history should not be consulted);
see also
Office of Legal Policy, Report to the Attorney General, Using and Misusing Legislative History: A Re-Evaluation of the Status of Legislative History in Statutory Interpretation iii-iv (1989) (it is inappropriate to look at legislative history if the meaning of statutory provision is plain). Even if the Court were properly to engage in an examination of Rule 803(3)’s legislative history, the conflicting nature of that evidence, see supra, would nevertheless lead us right back to the text.
See Citizens to Preserve Overton Park, Inc. v. Volpe,
401 U.S. 402, 412 n. 29, 91 S.Ct. 814, 821 n. 29, 28 L.Ed.2d 136 (1971) (where the legislative history is ambiguous the Court must consider only the statute itself to discern legislative intent). Therefore, such an inquiry is unnecessary.
Likewise, this Court is not persuaded by the decisions of the Fourth and Second Circuits requiring independent evidence before such testimony can be admitted. Indeed, this requirement is without foundation in either the text or the legislative history of Rule 803(3). Thus, while the approach adopted by the Second and Fourth Circuits may seem practical and fair, it is really little more than judicial policymaking.
This Court finds the decisions of the Ninth Circuit, with their emphasis on text and Supreme Court precedent, more persuasive.
See United States v. Pheaster,
544 F.2d 353, 374-80 (9th Cir.1976),
cert. denied sub nom. Incisco v. United States,
429 U.S. 1099, 97 S.Ct. 1118, 51 L.Ed.2d 546 (1977);
see also
Glen Weissenberger,
Hearsay Puzzles: An Essay on Federal Evidence Rule 803(3),
64 Temp.L.Rev. 145, 164 (1991) (describing assertions by a victim-declarant of intent to meet with defendant as “hybrid” statements of (1) intent to act, and (2) a belief that the other person will show up, that are admissible under Rule 803[3]).
But cf.
Thomas A. Wiseman, III, Note,
Federal Rule 803(3) and the Criminal Defendant: The Limits of the Hillmon Doctrine,
35 Vand.L.Rev. 659, 705-707 (1982) (arguing that because of potential prejudice to criminal defendants, courts should reconsider their willingness to admit declarant’s statement of intent against third parties).
Thus, James Boyden Jr.’s statement that he was going out “to meet Billy Herd” is admissible against Herd under Fed.R.Evid. 803(3). Although it is true that James Boy-den Jr.’s statement of intent is only circumstantial evidence that he actually met Herd, this statement will be allowed to function as part of the larger array of evidence before the jury so that they may decide for themselves what weight — if any — to give Ms. Connors’ testimony.
See Pheaster,
544 F.2d at
376 n. 14 (juries should be able to decide what weight to give a victim-declarant’s assertion of intent to meet with defendant); see
also Cicale,
691 F.2d at 104 n. 4 (articulating, but not adopting, the position that statements of intent should be allowed to function as part of a “larger matrix of circumstantial evidence”).
IV. CONCLUSION
For the reasons set forth above, on December 14,1994, during the twenty-third day of trial, Marie Boyden Connors was permitted to testify, over timely objection, that as her brother James Boyden Jr. left her apartment for the last time, he said, he “was going to meet Billy Herd.”