Lead Opinion
Defendant appeals his convictions for sodomy in the second degree, ORS 163.395, rape in the second degree, ORS 163.365, and unlawful sexual penetration in the second degree, ORS 163.408. He assigns error to the trial court’s admission into evidence under OEC 803(18a)(b) the minor victim’s out-of-court statements describing her abuse by defendant. He asserts that the evidence was inadmissible because the state did not comply with the notice requirement of the rule. We conclude that the trial court erred and therefore reverse.
OEC 803(18a)(b) provides an exception to the general rule excluding hearsay for certain statements made concerning acts of abuse:
“A statement made by a person concerning an act of abuse as defined in ORS 107.705 or 419B.005, a statement made by a person concerning an act of abuse of an elderly person, as those terms are defined in ORS 124.050, or a statement made by a person concerning a violation of ORS 163.205 or 164.015 in which a person 65 years of age or older is the victim, is not excluded by ORS 40.455 if the declarant either testifies at the proceeding and is subject to cross-examination, or is unavailable as a witness but was chronologically or mentally under 12 years of age when the statement was made or was 65 years of age or older when the statement was made. However, if a declarant is unavailable, the statement may be admitted in evidence only if the proponent establishes that the time, content and circumstances of the statement provide indicia of reliability, and in a criminal trial that there is corroborative evidence of the act of abuse and of the alleged perpetrator’s opportunity to participate in the conduct and that the statement possesses indicia of reliability as is constitutionally required to be admitted. No statement may be admitted under this paragraph unless the proponent of the statement makes known to the adverse party the proponent’s intention to offer the statement and the particulars of the statement no later than 15 days before trial, except for good cause shown.”
(Emphasis added.)
“[PROSECUTOR]: I agree with Mr. Caplan, I didn’t file my * * * my notice on time.
“It was kind of interesting in this case, I was getting phone calls from Mr. Engle and Mr. Parker saying, ‘You didn’t file your notice.’ So they all * * * knew that this was going to come in. They all knew this evidence was out there. I think, Your Honor, that this statute talks about how the particulars need to be made available to the defense.
“The particulars were made available to the defense long ago. Mr. Caplan had the videotape on August of ‘99. Mr. Stone, who then turned over his case to Mr. Engle had the video on August 31st of 1999, and Mr. Orf, who turned over the case to Mr. Parker with respect to Mr. Smith, had the video on November 12th of 1999. This is a case where * * * they have known about this evidence, they know that in all of these cases, the State is going to submit this evidence to the court in trial.
“And * * * the purpose of the statute is so that surprise doesn’t happen to the defendants later on and that they’re not somehow prejudiced by the fact that some sort of— something happened at the last minute. Basically to let them — let them say well, they didn’t know, this notice was not provided to them within 15 days, allows the defense to basically watch the clock and then when I don’t file the notice that they know I’m going to file, it enables them to say nah, nah, nah, you didn’t file your notice, you don’t get your hearsay in. And I don’t think that that’s the spirit of what this statute is all about, Your Honor.
“I called the Attorney General’s office, I asked them * * * if this has ever been litigated before, because there is no case law out there on it at all. They said no. They asked*388 me about * * * what our discovery practices are in Jackson County. I said we — you know, it’s the first thing Mr. Caplan does, is file this motion to * * * get the CASA tape.
“And I think that very clearly they all know * * * that the Advocacy Center takes these statements and that these statements are going to be offered by the State as evidence. Who I talked to at the Attorney General’s office said, T think you have a good argument that for good cause shown is that * * * the defense bar in your county knows that you have these tapes, that you make them available to — to the defense.’
“And it doesn’t seem right to punish the victim just for this — for the fact that * * * a formal notice wasn’t filed. I think that they were put on notice, clearly, that * * * this was done in this case.
“MR. CAPLAN: The whole argument presumes that I know how the State is going to try it’s case. I don’t know that. Just because they give me materials doesn’t mean they’re going to rely on it.
“THE COURT: Have you got all the materials?
“MR. CAPLAN: Yes. But the statute is clear-cut. It’s an exclusionary statute, it says within 15 days. Fifteen days prior to trial and otherwise it can’t be used. I mean, that’s what the statute says.
“I can’t be presumed to know what the State’s going to be every time it tries a case. Maybe they want to use them, maybe they don’t want to use them. That’s their choice to make. The way they make that choice is to file the notice.
“I think about the alibi defense. If a defendant doesn’t raise an alibi defense five days before trial, he or she can’t use it. The State can sit there and say, “Well, we didn’t get notice,’ even if they knew they were thinking about using an alibi, doing the exact same thing that [the prosecutor] is accusing us of doing.
“If you read the statute, it is clearly exclusionary. It needs to be filed at least 15 days prior to trial. It was not, and for that reason, I’m going to object to the admission of any hearsay such as noted in her — in her notice dated May the 3rd.
*389 “[DEFENSE COUNSEL]: I object also, Your Honor. The only exception to the rule is for good cause shown. And I think [the prosecutor] would have to admit that it was simply an oversight. That’s not good cause, and I don’t know how the court could find any other exception.
“It says clearly that, ‘No statement may be admitted unless the proponent gives the other parties 15 days notice, except for good cause shown.’ And there’s been no good cause shown except that apparently * * * it didn’t get done for — you know, it fell through the cracks or whatever. I don’t think that’s good cause.
“I think that would refer to a situation where the discovery of the statement * * * was only found out right before trial. In other words, the DA’s office didn’t know that the victim had made a statement to so-and-so until past the 15 days. So I think it’s a real problem for the State. It doesn’t appear to have an exception, and I think it would be a good point for appeal if the court lets it in.
“THE COURT: And you also had this information all the time, Mr. Engle?
“[DEFENSE COUNSEL]: I have had most of it, Your Honor. There are a couple of hearsay statements that the victim apparently made that I only got in the last couple of days, but the main—
“[PROSECUTOR]: The video.
“[DEFENSE COUNSEL]: —the main part of it I’ve had the whole time.
“THE COURT: Okay. Well, I’m denying the motion. I believe it is the practice in the community that all discovery is made available to the defendants. The defendants have had the discovery.
“I don’t know that I even need to find good cause in this case, but if I do, I will. Because I think in this case, — and the purpose of the statute clearly is to not allow the prosecution to surprise the defense, and there is no surprise in this case. And I’m not even sure the notice, per se, is required, but if it is, I’m going to find that there is good cause for filing it late.
“[DEFENSE COUNSEL]: Your Honor, just—
“THE COURT: Go ahead.
*390 “[DEFENSE COUNSEL]: I’m sorry. Just * * * for the record, I want to make it clear that on behalf of [defendant], our argument is not that he didn’t have the discovery. The argument is that the State is supposed to notify that they intended to use the hearsay at trial.
“THE COURT: I understand.”
In State v. Iverson,
The state contends that the trial court did not err by receiving evidence of the victim’s out-of-court statements even though the prosecutor conceded that she had not complied with the time requirement for filing the notice. The state argues,
“The prosecutor provided a copy of the videotape to defendant’s counsel in August 1999, more than eight months before trial. Defendant’s counsel admitted that he had the videotape ‘the whole time.’ At the hearing, the prosecutor represented to the court, without exception or contradiction, that counsel for defendant and the codefendants ‘all knew that this was going to come in’ and that ‘they know that in all of these cases, the state is going to submit this evidence to the court in trial.’ * * * The prosecutor thus satisfied her duty under the rule to ‘make known’ her ‘intention to offer the statement * * *.’ ”
Defendant counters with the same argument that he made to the trial court. He argues that the trial court erred because it
The legislature could have provided that affording discovery was adequate to satisfy the rule. Instead, however, it required the offering party to make known its intention to offer the evidence at trial at least 15 days before trial. Contrary to the trial court’s ruling, the fact that defendant received discovery of the out-of-court statements of the victim does not satisfy the rule’s requirement. Consequently, unless an exception applies, the rule must be given efficacy, and it follows that defendant’s convictions must be reversed.
The dissent disagrees in part. It would reverse but remand the case to the trial court to determine whether it appears that, on this record, the prosecutor complied with the rule because it was the recognized custom or practice before the trial court that, when discovery is provided, the requirement that the state make known its intention to offer the evidence at trial is also satisfied. Under the dissent’s view, if the trial court could make that finding on this record, the convictions could be affirmed. Apparently, one premise to the dissent’s argument is that, if the state provided defendant with discovery pursuant to ORS 135.815(1)(d), then “the mere act of providing discovery — without more — would be sufficient to make known the state’s intention to offer the evidence at trial [under OEC 803(18a)(b)].”
First, that interpretation would have the effect of creating an exception to the notice requirement of OEC 803(18a)(b) that does not appear in its text, contrary to the admonition of ORS 174.010 that the office of the judge “is simply to ascertain and declare what is, in terms or in substance, contained [in a statute], not to insert what has been omitted[.]” Further, the dissent’s argument again ignores that the focus of the notice requirement is on the affirmative act or lack thereof of the prosecutor giving timely notice of an intention to offer the evidence and not on defense counsel’s “silence” or state of mind.
In any event, there is nothing in the record that would permit the trial court either to find that the prosecutor
Nonetheless, the dissent proposes three reasons why, in its view, the trial court could find on remand that the prosecutor had complied with the notice requirement, despite her concession that the only notice she had given (the written notice) was filed untimely. First, it says that the court could find from the representations of the prosecutor that defendant knew that “it is the district attorney’s practice to introduce the resulting interviews in child sex abuse trials.”
“Basically to let them * * * say well, they didn’t know, this notice was not provided to them within 15 days, allows the defense to basically watch the clock and then when I don’t file the notice that they know I’m going to file, it enables them to say, nah, nah, nah, you didn’t file your notice, you don’t get your hearsay in. And I don’t think that that’s the spirit of what this statute is all about.”
Second, the dissent posits that “[t]he trial court could reasonably infer from defense counsel’s calls to tell her she had missed the deadline that he was aware that the prosecutor had intended to introduce the videotape but was now barred from doing so.”
In further support of its position, the dissent argues that
“[t]he trial court could reasonably infer from counsel’s silence that he agreed with the prosecutor — after having received the videotape in discovery, he ‘knew that this [evidence] was going to come in.’ If that were the trial court’s finding, then the terms of OEC 803(18a)(b) would be satisfied.”
Finally, the dissent argues that defendant filed a motion to require the prosecutor to provide him with the disputed evidence and that “defendant was entitled to discover
For all of those reasons, individually as well as when considered together, we are unpersuaded that there is any ground in this record on which the trial court could properly determine that the statute was complied with by the giving of some form of timely notice.
Alternatively, the state argues that the trial court properly exercised its discretion in determining that the prosecutor had good cause for not filing her notice in a timely fashion. According to the state,
“[a]s the prosecutor explained, she provided a copy of the videotape containing the statements to defense counsel several months in advance. She also stated that defense counsel knew the state would offer it at trial. It was only after attorneys for codefendants in the case began calling her and asking about a written notice that she had any reason to think defendant’s attorney was silently waiting for a formal written notice of the state’s intention.
“To the extent her written notice was required to ‘make known’ that she intended to offer the videotape, she has good cause for not issuing that notice earlier. She could hardly be expected to know that defense counsel had chosen to ignore what he, himself, characterized as ‘the local practice’ in such cases and instead insist on some form of formal written notification that is required by neither the rules nor local practice.
“The trial court recognized that. In finding good cause for the prosecutor’s delay, the court stated that it was not sure a notice was even required, that the purpose of the statute had been fulfilled, and that any delay in providing notice was occasioned by good cause.
*395 “[The Court of Appeals] review [s] the trial court’s determination of good cause for abuse of discretion.”
An abuse of discretion occurs when a trial court exercises its authority outside the boundaries of a statute or rule that provides for the admission of evidence. State v. Rogers,
Finally, the state argues that the admission of the victim’s out-of-court statements was not prejudicial. Again, the state essentially relies on the proposition that defendant had discovery of all the evidence that was admitted in trial that was subject to the notice requirement of the rule long before trial. That argument also ignores the legislature’s intent that OEC 803(18a)(b) operates as a requirement in addition to the obligation to provide discovery. Moreover, the state relied extensively on the evidence at trial. Defendant argued that he was not present when the abuse occurred. The state’s evidence consisted, in part, of a victim’s videotaped statement concerning defendant’s abusive conduct. The prosecutor played the videotape at trial, thereby giving the jury a second opportunity to hear the victim’s account and to evaluate her testimony in light of its consistency with the video.
“The other thing that you have to look at * * * not just draw on your memories of what [the victim] said, but you have the videotaped statement. You’re going to have that back in the jury room. You’ll have a TV and a VCR. You can play that again if you want to, to look at her body language, and I encourage you to look at her body language, evaluate her mannerism, and you tell me whether that girl is telling you what happened to her. I believe your conclusion is going to be yes, she was. \
“On the video you see emotions that are brought up in her, emotions that come out at appropriate times. I don’t think she had . any emotional ties with [defendant and codefendants], but she had some emotional showings when she was on that videotape talking about her mom. She talked about how her mom used to make cookies and teach her how to cook dinner, but that life isn’t like that anymore, I think is what she said, ‘My mom has changed since then,’ is what she said on the videotape, and she got emotional. I mean if she was acting on the videotape, you have to give her an Academy Award. She drew upon her tears as she’s discussing with Detective Doney what happened to her.”
Although the victim testified at trial, we cannot say that there was little likelihood that the error in admitting the videotaped statement affected the verdict in light of the emphasis placed on the videotape by the prosecutor in the presentation of her case. Thus, we conclude that the erroneous admission of the victim’s out-of-court statements was prejudicial.
We conclude for the above reasons that the error in admitting the evidence in violation of OEC 803(18a)(b) requires reversal of defendant’s convictions.
Reversed and remanded for a new trial.
Dissenting Opinion
dissenting.
Defendant was convicted of rape, sodomy, and unlawful sexual penetration for having sexual relations with a 13-year-old victim. The majority reverses defendant’s convictions because the prosecutor did not “mak[e] known” to
OEC 803(18a)(b) authorizes the admission of certain kinds of hearsay if “the proponent of the statement makes known to the adverse party the proponent’s intention to offer the statement and the particulars of the statement no later than 15 days before trial, except for good cause shown.” In this case, the prosecutor did not say 15 days before trial began that she intended to offer the victim’s videotaped statement, which she had provided to the defense months earlier. It follows that the initial question this case poses is whether the absence of a statement to that effect precludes the trial court from finding that the prosecutor had made her intention known. Put another way, the initial question is whether conduct alone can ever suffice to satisfy the terms of the rule. If, as I conclude, it can, the remaining question is whether, on this record, the trial court could find that the prosecutor had made her intention known.
The first question presents an issue of statutory interpretation, which is governed initially by the text and context of OEC 803(18a)(b). See PGE v. Bureau of Labor and Industries,
The context supports that conclusion. OEC 412(4)(a) requires a person who wants to introduce evidence of a victim’s past sexual behavior to “make a written motion to offer the evidence not later than 15 days before the date on which the trial * * * is scheduled to begin [.]” When the legislature intends to require a particular form of notice, it knows how to say so. See Gladhart v. Oregon Vineyard Supply Co.,
The remaining question is whether the record would permit the trial court to make that finding in this case. On that point, the majority has quoted almost the entire record in its opinion. It is helpful, however, to put the parties’ colloquy in perspective. In this case, the victim’s mother permitted three men to have sex with her 13-year-old daughter in order to obtain drugs. The state charged the men, one of whom was defendant, and the mother with various crimes. The charges against all four persons were joined for trial.
Approximately five months before trial, defendant’s counsel moved for an order requiring the state to produce a videotape of the victim’s statement. The affidavit in support
Fewer than 15 days before trial, the prosecutor filed a written notice of her intent to offer at trial the victim’s videotaped statement that she had provided to the defendant approximately five months earlier.
In the course of making that argument, the prosecutor represented to the court that she had provided the videotape to all the defense counsel months earlier and that, when she failed to file her written notice 15 days before trial, “[she] was getting phone calls from Mr. Engle [defendant’s counsel] and Mr. Parker saying, You didn’t file your notice.’ So they all — they all knew that this was going to come in.” The prosecutor added, “This is a case where they have known evidence — they have known about this evidence, they know
Engle, defendant’s counsel, did not dispute the prosecutor’s representations. He did not argue that he did not have the videotape long before trial began. He did not dispute that he called the prosecutor after the 15-day period had passed to tell her that she had missed the deadline. He did not disagree with the prosecutor’s statement that all the defense counsel “knew that this [evidence] was going to come in,” nor did he dispute her statement that he and the other defense counsel knew that “in all of these [child sex abuse] cases, the State is going to submit this [kind of] evidence to the court in trial.” Finally, he did not dispute that he knew that the state typically offered statements taken by the child advocacy center.
I agree with the majority, and also with defendant, that the good cause exception does not apply in this case and that the trial court erred in denying defendant’s objection on that ground. However, I do not agree with the majority that the trial court could not find on remand that the act of providing the videotape to defense counsel made the prosecutor’s intention to offer that evidence at trial known.
Second, the prosecutor represented, and defendant’s counsel did not dispute, that when she failed to file her written notice 15 days before trial, she began to get calls from defendant’s counsel and counsel for another defendant saying, “You didn’t file your notice.” The trial court could reasonably infer from defense counsel’s calls to tell her that she had missed the deadline that he was aware that the prosecutor had intended to introduce the videotape but was now barred from doing so. Why else would he have called to tell her that she could not introduce the victim’s videotaped statement unless he had been aware all along that that had been her intent? It may be that the trial court could draw a different inference. But it could also find from those calls that the act of providing the videotape in discovery had made known to defendant the state’s intention to offer that evidence at trial.
Were there any doubt about the correct inference to be drawn from defense counsel’s calls, the prosecutor’s next statement removes it. After explaining that she began getting the calls when she failed to file a written motion 15 days before trial, the prosecutor added, “So they all — they all knew that this [evidence] was going to come in.” Defendant’s counsel did not dispute that statement. The trial court could reasonably infer from counsel’s silence that he agreed with the prosecutor — after having received the videotape in discovery, he “knew that this [evidence] was going to come in.” If
The third consideration is not as significant as the first two, but it supports the conclusion that the prosecutor’s intention to offer the evidence was clear. Defendant filed a motion five months before trial to require the prosecutor to provide him with the victim’s videotaped statement, and the prosecutor agreed to do so subject to certain conditions. Defendant did not cite any authority for his motion, but ORS 135.815(1)(a) is the only apparent source of authority. That portion of the criminal discovery statutes requires district attorneys to disclose the “names and addresses of persons whom the district attorney intends to call as witnesses at any stage of the trial, together with their relevant written or recorded statements * * *." As the statute makes clear, defendant was entitled to discover the victim’s videotaped statement solely because it was relevant to her testimony at trial — a proposition defendant’s affidavit in support of the motion confirmed.
ORS 135.815(1)(a) makes clear that the victim’s videotaped statement was integral to the testimony of a witness whom the prosecutor intended to call at trial — the victim. That fact, combined with the district attorney’s practice of introducing statements taken by the Children’s Advocacy Center in child sex abuse cases, defendant’s counsel's calls to the prosecutor, and his acquiescence in the prosecutor’s assertion that he knew that this evidence was going to come in, are more than sufficient to permit the trial court to find that, on the facts of this case, the act of providing the victim’s videotaped statement to defense counsel made known to defendant that the prosecutor intended to offer that evidence at trial. The majority errs in sending this case back for a new trial. We should remand this case to permit the trial court to decide first whether the prosecutor made known to defendant her intention to offer the victim’s videotaped statement at trial. If she did, a new trial would not be necessary.
I respectfully dissent.
Notes
We explained in Staley that, “[i]n an implied-in-fact contract, the parties’ agreement is inferred in whole or in part from their conduct.”
“ ‘[A]n implied contract can arise only where the natural and just interpretation of the parties warrants such a conclusion.’ Owen v. Bradley,231 Or 94 , 103,371 P2d 966 (1962). Frequently, implied-in-fact contracts arise because an accepted course of conduct would permit a reasonable juror to find that the parties understood that their acts were sufficient to manifest an agreement. See Restatement (Second) of Contracts § 4, comment a, illustrations 1 & 2 (1979).”
Id. at 262 n 6.
The legislative history does not shed any light on this issue. In adding this rule to the evidence code, the legislature did not discuss how a litigant either may or must make his or her intention known to the other party. The legislative history does reveal that the relevant portion of Oregon’s rule was modeled on Washington’s rule, which in turn was modeled on the federal catch-all hearsay exception. See Minutes, Senate Judiciary Committee, SB 275, Feb 27, 1989, 4-5; State v. Hughes, 56 Wash App 172, 174,
In her written notice, the prosecutor stated that she intended to introduce the victim’s statements contained in the videotape as well as the statements that were contained in other discovery. Because the majority holds only that the admission of the videotaped statement was not harmless error, I focus solely on the admission of that statement.
In setting out the parties’ colloquy, the majority refers to Engle as “defense counsel” and refers to the counsel for the other defendants by name.
Caplan, the attorney for another defendant, may have disputed the factual premise of the prosecutor’s statements, but Engle never did.
The majority suggests that the prosecutor’s failure to argue this theory below precludes our consideration of it. 186 Or App at 391-92. The state, however, prevailed below and can advance new reasons on appeal for upholding the trial court’s ruling. If, as I conclude, there is evidence from which the trial court could find that the prosecutor had complied with OEC 803(18a)(b), judicial economy counsels that we should permit the trial court to decide that issue on remand and potentially bring this case to its conclusion. We need not automatically remand the case for a new trial.
