2015 evidence update - isba criminal law seminarfinal › › resource › ... · overview •focus...
TRANSCRIPT
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EvidenceUpdateISBACriminalLawSeminar
April17,2015
LaurieKratky DoréEllis and Nelle Levitt Distinguished Professor of LawDrakeUniversityLawSchool
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Overview•FocusuponIowaSupremeCourt’sevidentiarydecisionswithinthepastfiveyears
•ConfrontationClause restrictionsonadmissionofhearsayandpendingU.S.SupremeCourtcaseregardingchildhearsay
•U.S.SupremeCourt/EighthCircuitdecisionregardingimpeachmentofjuryverdict becauseofjurydishonestyduringvoir dire
•Amendments toFederalandIowaRulesofEvidence
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Rule5.401: Definitionof“relevantevidence.”“Relevantevidence”meansevidencehavinganytendencytomaketheexistenceofanyfactthatisofconsequencetothedeterminationoftheactionmoreprobableorlessprobablethanitwouldbewithouttheevidence.Rule5.403: Exclusionofrelevantevidenceongroundsofprejudice,confusion,orwasteoftime.Althoughrelevant,evidencemaybeexcludedifitsprobativevalueissubstantiallyoutweighedbythedangerofunfairprejudice,confusionoftheissues,ormisleadingthejury,orbyconsiderationsofunduedelay,wasteoftime,orneedlesspresentationofcumulativeevidence.
RelevanceandUnduePrejudice
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•Statev.Huston,825N.W.2d531(Iowa2013)DHS“founded”childabusereport
•InreDetentionofStenzel,827N.W.2d690(Iowa2013)SVP determination
UnduePrejudice:AdministrativeFindings
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•Statev.Neiderbach,837N.W.2d180(Iowa2013)
UnduePrejudice:Day‐In‐the‐LifeVideos
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Rule5.404(b). “Othercrimes,wrongs,oracts. Evidenceofothercrimes,wrongs,oractsisnotadmissibletoprovethecharacter ofapersoninordertoshowthatthepersonactedinconformitytherewith.Itmay,however,beadmissibleforotherpurposes,suchasproofofmotive,opportunity,intent,preparation,plan,knowledge,identity,orabsenceofmistakeoraccident.”
PriorBadActs:Rule5.404(b)
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Statev.Putman,848N.W.2d1(Iowa2014)
•Whetherandwhenpossessionofchildpornographyisadmissibletoprovemotiveorintentinachildsexabusecase.
PriorBadActs:Rule5.404(b)
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• Three‐StepPriorBadActsAnalysis•Non‐CharacterPurpose:Motive•Non‐CharacterPurpose:Identity• BalancingProbativeValueversusPrejudicefromOtherWrongsEvidence
Statev.Putman,848N.W.2d1(Iowa2014)
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Putman Courtadds“clearproof”asseparateandindependentcomponentoftheanalysisforadmittingotheractevidenceforanon‐propensitypurposeunderrule5.404(b).
Now,admissionofothercrimes,wrongs,oractsrequiresathree‐stepinquiry:
Three‐StepPriorBadActsAnalysis:
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1. Isthepriorbadactevidencerelevanttoalegitimate,disputednon‐characterpurpose?
2. Isthereclearproofthatthepartyagainstwhomtheevidenceisofferedcommittedtheotherbadactorcrime?
3. And,finally,doesthedangerofunfairprejudicefromthebadactevidencesubstantiallyoutweightheprobativevalueofthatevidence?[Clearproofremainsabalancingfactor]
Three‐StepPriorBadActsAnalysis:
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M MotiveI IntentA Accident(orAbsenceof)M Mistake(orAbsenceof)I Identity
K KnowledgeO OpportunityP Plan/CommonSchemeP Preparation
Non‐CharacterPurpose:MIAMIKOPP
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•Motive:“theimpetusthatsuppliesthereasonforapersontocommitacriminalact.”
•Held:Putman’smotiveinsexuallyabusingthetoddlerwasnotindisputebecausePutman’sstateofmindwasnotanelementofthecrimenorotherwiseinissue.
•Question:Isn’tmotiveinissueinanycaseinwhichapersonclaimsthatheorshedidnotcommittheallegedoffense?
Non‐CharacterPurpose:Motive
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•Held:(4‐3)thattrialcourtproperlyadmittedevidenceofthetitlesofthetwopornographicvideosforthedisputedpurposeofidentifyingPutman,ratherthangirl’sfather,asperpetratorofsexualabuse.
• Althoughpossession ofchildpornographyisarguablydissimilartothechargedactofchildmolestation,courtmustlookatthe“similaritiesbetweenthecontentsofthematerialspossessedbythedefendantandactscommittedbythedefendant.”Whilea“generalpreoccupationwithchildpornography,”maywellbeinadmissible,videotitlesadmittedagainstPutmanborea“strikingsimilarity”tothespecificcrimeforwhichhewasontrial.
•Question:Does“strikingsimilarity”requirementunnecessarilylimittheuseofotherwrongstoproveidentity?
Non‐CharacterPurpose:Identity
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•Statemustprovide“clearproof”thatpriorbadactoccurredandthatdefendantcommittedit.Clearproofdoesnotrequirecorroborationorproofbeyondareasonabledoubt.“[P]roofofpriorbadactsisclearifitpreventsthejuryfromspeculatingorinferringfrommeresuspicion.”
•Questions:Is“clearproof”higherorlowerstandardthanfederalpreponderancestandard?Is“clearproof”apreliminaryquestionoffactorquestionofconditionalrelevance?
Statev.Putman:ClearProof
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Inweighingprobativevalueofotheractsevidenceagainstthedangerofunfairprejudice,courtshouldconsider:
“theneedfortheevidence inlightoftheissuesandtheotherevidenceavailabletotheprosecution,whetherthereisclearproof thedefendantcommittedthepriorbadacts,thestrengthorweaknessoftheevidence ontherelevantissues,andthedegreetowhichthefactfinderwillbepromptedtodecidethecaseonanimproperbasis.”
Putman,848N.W.2d.at9‐10(emphasisadded).
403BalancingofProbativeValueofOtherWrongsagainstPrejudice
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Extrinsicv.IntrinsicEvidenceandtheInextricablyIntertwinedDoctrine“inseparablecrime”“completethestory”orprovidecontextforthechargedcrime“resgestae”
AvoidingRule5.404(b):TheInextricablyIntertwinedDoctrine
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Statev.Nelson,791N.W.2d414,423‐24(Iowa2010)
“[W]ewillonlyallowsuchevidencetocompletethestoryofwhathappenedwhentheothercrimes,wrongs,oractsevidenceissocloselyrelatedintimeandplaceandsointimatelyconnected tothecrimechargedthatitformsacontinuoustransaction....whenacourtcannotseverthisevidencefromthenarrativeofthechargedcrime withoutleavingthenarrativeunintelligible,incomprehensible,confusing,ormisleading....theinextricablyintertwineddoctrineis...anarrowandlimitedexception torule5.404(b).”
CriticismsoftheInextricablyIntertwinedDoctrine
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IowaCode§ 701.11
“Inacriminalprosecutioninwhichadefendanthasbeenchargedwithsexualabuse,evidenceofthedefendant’scommissionofanothersexualabuseisadmissibleandmaybeconsideredforitsbearingonanymatterforwhichtheevidenceisrelevant....”
Constitutional?Statev.Reyes,744N.W.2d95(Iowa2008)v.Statev.Cox,781N.W.2d757(Iowa2010)
OtherActsofSexAbuse
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•Statev.Cashen,789N.W.2d400(Iowa2010)
•StatutoryProtocol:IowaCode§ 622.10(4)(effective2011)
Physician‐PatientPrivilegeandDisclosureofMentalHealthRecords
inCriminalCases
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a.Exceptasotherwiseprovidedinthissubsection,theconfidentialityprivilegeunderthissectionshallbeabsolutewithregardtoacriminalactionandthissectionshallnotbeconstruedtoauthorizeorrequirethedisclosureofanyprivilegedrecordstoadefendantinacriminalactionunless ...:
(2)(a)Thedefendantseekingaccesstoprivilegedrecordsunderthissectionfilesamotiondemonstratingingoodfaithareasonableprobabilitythattheinformationsoughtislikelytocontainexculpatoryinformationthatisnotavailablefromanyothersourceandforwhichthereisacompellingneedforthedefendanttopresentadefenseinthecase.....
IowaCode§ 622.10(4)(effective2011)
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• Statev.Thompson,836N.W.2d470(Iowa2013)
• Statev.Neiderbach,837N.W.2d180(Iowa2013)
• Statev.Edouard,854N.W.2d421(Iowa2014)
Physician‐PatientPrivilegeandDisclosureofMentalHealthRecordsin
CriminalCases
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Notallowedifsolepurposeofcallingwitnessistoimpeachwitnesswithotherwiseinadmissibleinconsistentstatement.However,thisprincipledoesnotapplyifpriorinconsistentstatementisotherwiseadmissible(eitherunderrule5.801(d)(1)(a)orunderhearsayexception).Statev.Tompkins,859N.W.2d 631(2015).
Impeachment:PriorInconsistentStatements
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Rule5.801(d)Statementswhicharenothearsay...1) Priorstatementbywitness.Thedeclaranttestifiesatthetrial orhearingandissubjecttocross‐examination concerningthestatement,andthestatementis...(B)consistent withthedeclarant’stestimonyandisofferedtorebutanexpressorimpliedchargeagainstthedeclarantofrecentfabricationorimproperinfluenceormotive....
RehabilitationofWitnesswithPriorConsistentStatement:
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Fed.R.Evid.801(d)StatementsThatAreNotHearsay...1)ADeclarant‐Witness’sPriorStatement.(B)isconsistent withthedeclarant’stestimonyandisoffered:
(i)torebutanexpressorimpliedchargethatthedeclarantrecentlyfabricateditoractedfromarecentimproperinfluenceormotive...;or
(ii)torehabilitatethedeclarant’scredibilityasawitnesswhenattackedonanotherground; ...
2014AmendmenttoFederalPriorConsistentStatementRule
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Rulesdifferdependingontypeandageofconvictionandonthetypeofwitness(accusedv.non‐accused)beingimpeached:• Felonyconvictions• Crimesinvolving“dishonestyorfalsestatement”
• Convictionsmorethantenyearsold
ImpeachmentwithPriorConvictions—Rule5.609
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Rule5.609Impeachmentbyevidenceofconvictionofcrime.a.Generalrule.Forthepurposeofattackingthecredibilityofawitness:
1) Evidencethatawitnessotherthantheaccused hasbeenconvictedofacrimeshallbeadmitted,subjecttorule5.403,ifthecrimewaspunishablebydeathorimprisonmentinexcessofoneyearpursuanttothelawunderwhichthewitnesswasconvicted,andevidencethatanaccused hasbeenconvictedofsuchacrimeshallbeadmittedifthecourtdeterminesthattheprobativevalueofadmittingthisevidenceoutweighsitsprejudicialeffecttotheaccused;and
ImpeachmentwithPriorFelonyConvictions—Rule5.609
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• ReplacesStatev.Martinwith“comprehensive”framework
ImpeachmentwithFelonyConviction:
Statev.Redmond,803N.W.2d112(Iowa2011)
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WitnessesOtherThanAccused:“Evidencethatawitnessotherthantheaccusedhasbeenconvictedofacrimeshallbeadmitted,subjecttorule5.403,ifthecrimewaspunishablebydeathorimprisonmentinexcessofoneyearpursuanttothelawunderwhichthewitnesswasconvicted,....”[Rule5.609(a)(1)]• RuleofAdmission• Rule5.403Test
ImpeachmentwithFelonyConviction:
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AccusedasWitness:“evidencethatanaccusedhasbeenconvictedofsuchacrimeshallbeadmittedifthecourtdeterminesthattheprobativevalueofadmittingthisevidenceoutweighsitsprejudicialeffecttotheaccused ...”[Rule5.609(a)(1)]• RuleofExclusion• Prosecutionbearsburden• ProbativevalueoutweighsPrejudicialEffect
toAccused
ImpeachmentwithFelonyConviction:
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NatureofConvictionandItsUnderlyingConduct
NeedforPriorConvictionEvidence
AgeoftheConvictionandDefendant’sSubsequentHistory
Redmond Balancing:ProbativeValue
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NatureofPriorConvictionSimilarityofPriorandChargedOffensesNumberofPriorConvictionsCentralityofCredibilityIssueandNeedforDefendant’sTestimony
Redmond Balancing:PrejudicialEffect
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NeedtoHoldProsecutortoBurden
ExplicitOn‐the‐RecordFindingsRecommended
Redmond Balancing:ProbativeValueandPrejudicialEffect
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Rule5.609(a)(2):“Evidencethatanywitnesshasbeenconvictedofacrimeshallbeadmitted ifitinvolveddishonestyorfalsestatement,regardlessofthepunishment.”OverrulesStatev.Axiotis (Iowa1997)CrimesofTheft?FederalAdvisoryCommitteeNote:“crimessuchasperjuryorsubornationofperjury,falsestatement,criminalfraud,embezzlement,orfalsepretense,oranyotheroffenseinthenatureofcrimen falsi,thecommissionofwhichinvolvessomeelementofdeceit,untruthfulness,orfalsificationbearingontheaccused’spropensitytotestifytruthfully.”
CrimesofDishonestyorFalseStatementStatev.Harrington,800N.W.2d46
(Iowa2011)
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Statev.Dudley,856N.W.2d.668(Iowa2014).• Defendantattemptedtoimpeachgovernmentwitnesswith20‐year‐oldconvictionfortheft.Courtstates,withoutdiscussing,that“theftisacrimeofdishonesty”thatwouldotherwisebeadmissible.
•Convictionsolderthan10yearsold,however,arenotadmissibleunlessprobativevaluesubstantiallyoutweighsprejudice.Courtremandsfornecessarybalancing.
ImpeachmentwithConvictionofCrimeofDishonestyorFalseStatementOver
TenYearsOld:Rule5.609
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CriminaldefendantmusttestifyinordertopreserveerrorStatev.Derby,800N.W.2d52(Iowa2011)
Canpreserveerroroninlimine rulingbydisclosingpriorconvictionondirectexaminationStatev.Harrington,800N.W.2d46(Iowa2011)
ErrorPreservation– PriorConvictionImpeachment
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Rule5.702: Testimonybyexperts.Ifscientific,technical,orotherspecializedknowledgewillassistthetrieroffacttounderstandtheevidenceortodetermineafactinissue,awitnessqualifiedasanexpertbyknowledge,skill,experience,training,oreducationmaytestifytheretointheformofanopinionorotherwise.
ExpertTestimony
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•Trialcourtdidnotabuseitsdiscretioninprohibitingdefendant’sforensicpsychiatristfromtestifyingthatEdouardmerelyprovided“pastoralcare,”not“pastoralcounseling,”tothewomencongregantswhomhewasaccusedofsexuallyexploiting.
•Anexpertmaynot“providethedefendant’sowndefinitionofthecrime,andthen...explainthedefendanthadnotcommittedit.”
ExpertTestimonyThatImproperlyDefinesCrime
Statev.Edouard,854N.W.2d421(Iowa2014)
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•Courtclarifiedthe“verythinline”betweenpermissibleexperttestimonyregardingthegeneralsymptomsorbehaviors exhibitedbyvictimsofsexualabuseandimpermissible experttestimonythataparticularvictimmanifestssymptomsofsexualabuseorexhibitsbehaviors“consistentwith”sexualabusetrauma.
• “Consistentwith”experttestimonyimproperlybolstersthecredibilityofthevictimandcommentsontheguiltorinnocenceofthedefendant.
ExpertTestimonyThatImproperlyBolstersWitnessCredibility• Statev.Dudley,856N.W.668(Iowa2014)• Statev.Brown,856N.W.2d685(Iowa2014)• Statev.Jaquez,856N.W.2d663(Iowa2014)
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Openquestionwhether“consistentwith”experttestimonyisadmissibletorebutcontentionthatvictim’sbehaviorwasinconsistentwiththatofanabusedchildorsexabusevictim
(Waterman,J.,concurring).
ImproperBolsteringregardingWitnessCredibility
RebuttalUseofExpertTestimony?
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Rule5.703: Basesofopiniontestimonybyexperts.Thefactsordataintheparticularcaseuponwhichanexpertbasesanopinionorinferencemaybethoseperceivedbyormadeknowntotheexpertatorbeforethetrialorhearing.Ifofatypereasonablyrelieduponbyexpertsintheparticularfieldinformingopinionsorinferencesuponthesubject,thefactsordataneednotbeadmissibleinevidence.
•InreDetentionofStenzel,827N.W.2d690(Iowa2013)
•Statev.Neiderbach,837N.W.2d180(Iowa2013)
ExpertTestimony:ReasonableReliance
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Rule5.801(c):Hearsay.“Hearsay”isastatement,otherthanonemadebythedeclarantwhiletestifyingatthetrialorhearing,offeredinevidencetoprovethetruthofthematterasserted.
• Statev.Elliott,806N.W.2d660(Iowa2011):Errortoallowpolicedetectivetorelatesubstanceofwhat7‐year‐oldtoldhimduringinterviewsconcerningwhathadhappenedthenightinfantsufferedfatalinjuriesinordertoexplainwhythedetectiveshiftedfocusofinvestigationtodefendant,ratherthanbaby’smother.
Hearsay:Non‐HearsayandResponsiveConduct
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Rule5.803(2):Excitedutterance.Astatementrelatingtoastartlingeventorcondition madewhilethedeclarantwasunderthestress ofexcitementcausedbytheevent orcondition.
Hearsay:ExcitedUtterances
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Statev.Dudley,856N.W.668(Iowa2014)• Holding: abuseofdiscretiontoadmitasexcitedutterancechild’sdescriptionofsexualabusethatchildgavetoaneighbor36hoursaftertheabuseinresponsetotheneighbor’srepetitiveandpromptingquestions.
• Factors Timelapsebetweeneventandstatement Extenttowhichquestioningelicitedthestatementthatwouldnothavebeenotherwisevolunteered
Ageandconditionofdeclarant Subjectmatterofstatement
Hearsay:ExcitedUtterances
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Rule5.803(4):Statementsforpurposesofmedicaldiagnosisortreatment.Statementsmadeforpurposesofmedicaldiagnosisortreatment anddescribing medicalhistory,orpastorpresentsymptoms,pain,orsensations,ortheinceptionorgeneralcharacterofthecauseorexternalsourcethereofinsofarasreasonablypertinenttodiagnosisortreatment.
Hearsay:StatementsforMedicalDiagnosisorTreatment
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Two‐PartTest:1. Declarant’smotiveinmakingstatementisconsistentwithpurposeofpromotingtreatment
2. Contentofstatementoftypereasonablyrelieduponbyphysicianintreatmentordiagnosis
Statev.Dudley,856N.W.668(Iowa2014):child’sstatementsregardingabusemadetoa“trainedprofessionalforthepurposesofdiagnosisortreatment,”maybeadmissibleunderrule5.803(4).
Hearsay:StatementsforMedicalDiagnosisorTreatment
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Rule5.804(b)(3):Statementagainstinterest.Astatementwhichwasatthetimeofitsmakingsofarcontrarytothedeclarant’specuniaryorproprietaryinterest,orsofartendedtosubjectthedeclaranttocivilorcriminalliability,ortorenderinvalidaclaimbythedeclarantagainstanother,thatareasonablepersoninthedeclarant’spositionwouldnothavemadethestatementunlessbelievingittobetrue.Astatementtendingtoexposethedeclaranttocriminalliabilityandofferedtoexculpatetheaccusedisnotadmissibleunlesscorroboratingcircumstancesclearlyindicatethetrustworthinessofthestatement.
Statev.Paredes,775N.W.2d554(Iowa2009)
StatementAgainstPenalInterest—Rule5.804(b)(3)
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2010AmendmenttoFed.R.Evid.804(b)(3):
“(B)issupportedbycorroboratingcircumstancesthatclearlyindicateitstrustworthiness,ifitisofferedinacriminalcaseasonethattendstoexposethedeclaranttocriminalliability.”
StatementAgainstPenalInterest—Rule5.804(b)(3)
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Statev.Tompkins,859N.W.2d 631(Iowa2015)• Holding:Domesticabusevictim“subjecttocross‐examination”eventhoughStatecalledvictimonlytoestablishdomesticrelationshipwithdefendant;defendantcouldhavecross‐examinedvictimregardingassaultorcalledvictimasdefensewitness
TheConfrontationClauseandHearsay
RecentIowaCases
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Statev.Kennedy,846N.W.2d517(Iowa2014).•Courtaddressedwhethertheadmissionofacertifiedabstractofthedefendant’sdrivingrecords andanaffidavitofmailingofsuspensionnotices inaprosecutionfordrivingwhilerevokedviolatedtheConfrontationClausesoftheUnitedStatesandIowaConstitutions.
•Held: CertifiedabstractofdrivingrecordisNOTtestimonial(affirmingStatev.Shipley,757N.W.2d228(Iowa2008)). AffidavitofmailingofsuspensionnoticesIStestimonial(butharmlesserror).
•Question:Whetherdifferentresultifaffidavitofmailingwascreatedcontemporaneouslywithmailingofnoticesandthenmaintainedinofficialdrivingrecords?
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Ohiov.Clark(ArguedMarch2,2015)Issue:(1)Whetheranindividual'sobligationtoreportsuspectedchildabusemakesthatindividualanagentoflawenforcementforpurposesoftheConfrontationClause;and(2)whetherachild'sout‐of‐courtstatementstoateacherinresponsetotheteacher'sconcernsaboutpotentialchildabusequalifyas“testimonial”statementssubjecttotheConfrontationClause.
Statev.Clark,137OhioSt.3d346,999N.E.2d592(Ohio2013),cert.granted,Ohiov.Clark,135S.Ct.43(U.S.No.1352)
TheConfrontationClauseandHearsay
PendingU.S.SupremeCourtCase:ChildHearsay
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Warger v.Shauers,135S.Ct.521(2014),affirming721F.3d606,610–12(8thCir.2013).
ImpeachingJuryVerdictwithEvidenceofJurorDishonesty
DuringVoir Dire
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Fed.R.Evid.606Juror’sCompetencyasaWitness....(b)DuringanInquiryintotheValidityofaVerdictorIndictment.(1)ProhibitedTestimonyorOtherEvidence.Duringaninquiryintothevalidityofaverdict orindictment,ajurormaynottestifyaboutanystatementmadeorincidentthatoccurredduringthejury’sdeliberations;theeffectofanythingonthatjuror’soranotherjuror’svote;oranyjuror’smentalprocessesconcerningtheverdictorindictment.Thecourtmaynotreceiveajuror’saffidavitorevidenceofajuror’sstatementonthesematters.(2)Exceptions. Ajurormaytestifyaboutwhether:(A) extraneousprejudicialinformationwasimproperlybroughttothejury’sattention;(B) anoutsideinfluencewasimproperlybroughttobearonanyjuror;or(C) amistakewasmadeinenteringtheverdictontheverdictform.
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Generallyspeaking,informationisdeemed‘extraneous’ifitderivesfromasource‘external’tothejury.‘External’mattersincludepublicityandinformationrelatedspecificallytothecasethejurorsaremeanttodecide,while‘internal’mattersincludethegeneralbodyofexperiencesthatjurorsareunderstoodtobringwiththemtothejuryroom.
Warger,135S.Ct.at529(citationsomitted).
Externalv.InternalInfluence
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“Theremaybecasesofjurorbiassoextremethat,almostbydefinition,thejurytrialrighthasbeenabridged.Ifandwhensuchacasearises,theCourtcanconsiderwhethertheusualsafeguardsareorarenotsufficienttoprotecttheintegrityoftheprocess.Weneednotconsiderthequestion,however,forthosefactsarenotpresentedhere.”
Id.at529n.3.
OpenQuestion
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2014Amendments:• PriorConsistentStatements:Fed.R.Evid.801(d)(1)(B)
• BusinessRecords:Fed.R.Evid.803(6)• AbsenceofaRecordofaRegularlyConductedActivity:Fed.R.Evid.803(7)
• PublicRecords:Fed.R.Evid.803(8)
AmendmentstoFederalRulesofEvidence
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2013Amendments:
• AbsenceofPublicRecord(CNRs):Fed.R.Evid.803(10)
2010Amendments:
• StatementsAgainstInterest:Fed.R.Evid.804(b)(3)
AmendmentstoFederalRulesofEvidence
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ConclusionandShamelessPlug
LaurieKratky Doré7IOWA PRACTICE—EVIDENCE (West2014‐2015)