Defendant Daniel Webb appeals from a jury verdict finding him guilty of aggravated sexual abuse of a child, a first degree felony, for which he was given a minimum mandatory prison sentence of three years. See Utah Code Ann. § 76-5-404.1(3)(b), (4) (Supp.1984). He contends, inter alia, that the trial court erred in ruling that hearsay statements by the eighteen-month-old alleged victim, who was not present at trial, qualified for admission into evidence under section 76-5-411(1) of the Code. Utah *1109 Code Ann. § 76-5-411(l)(b) (Supp.1988). We reverse the conviction.
The evidence presented at trial will be summarized. The alleged victim was eighteen months old at the time of the incident and is the daughter of Webb and his former wife, Cindy. Webb visited his daughter at Cindy’s apartment in Ferron, Utah, on Sunday, September 30, and Monday, October 1, 1984. On Sunday, Cindy was with Webb and the child at the apartment. On Monday, Webb had sole custody of the child while Cindy worked. She returned to the apartment in the late afternoon where Webb, Cindy, and the child had dinner. Cindy then gave the child a bath. She testified that as she lowered the child into the bath water, the child said, “Ow bum.” After the bath, Cindy examined the child’s bottom. During that examination, the child said, “Ow bum daddy.” According to Cindy, the child’s anus was red and swollen and “looked kind of like it does when you have hemorroids [sic].”
After Webb left, Cindy took the child to the Price Pediatric Clinic, where she was examined by a Dr. Ammerman. The doctor, a pediatrician, observed an anal tear. At his direction, a photograph of the child’s bottom was taken. The photograph was admitted into evidence at trial. Dr. Am-merman opined that the child had been abused.
Dr. Snelling, a pediatric resident at Primary Children’s Medical Center and the University of Utah Medical Center, examined the child on Wednesday, October 3rd, two days after the visit to Dr. Ammerman. Dr. Snelling testified that her examination did not reveal a tear, a fissure, or any bruising of the anal area. She opined that the child had not been abused.
Dr. Palmer, a pediatrician at Primary Children’s Medical Center and the University of Utah Medical Center who specializes in child sexual abuse, reviewed the medical records, the report of Dr. Snelling, and the photograph. He testified that “if it is an injury, if it is, it represents a fissure rather than a tear.” Dr. Palmer explained that a tear “tends to be a deeper injury such as obstetrical kinds of tears associated with delivery of the baby,” while a fissure is superficial “like the cracks we all get in our lips when we get them dry.” He was of the opinion, however, that the photograph showed only mucous membrane and not a fissure or an injury. Dr. Palmer stated that given the amount of traction apparent in the photograph where the buttocks were pulled back to give a good picture of the anus, any fissure or tear present would have resulted in visible moisture and blood in the photograph. Yet in the photograph, no blood and little moisture is present. Dr. Palmer also testified that bruising occurs along with an anal tear and will not heal in 48-72 hours, which in this case was the time period between the child’s visit to Dr. Ammerman and the examination by Dr. Snelling. Dr. Palmer was unable to find bruising in the photograph of the child’s bottom.
During trial, Webb objected on grounds of hearsay and lack of foundation to the admission of testimony concerning his daughter’s out-of-court statements. The trial court, after holding a hearing out of the presence of the jury, overruled the objections and permitted the testimony to be received. The court concluded that section 76-5-410 of the Code 1 made the child a competent witness and that section 76-5-411(l)(b) of the Code authorized the admission of the hearsay, despite the absence of the child at trial. Utah Code Ann. §§ 76-5-410, 411(l)(b) (Supp.1988).
The jury convicted Webb of aggravated sexual abuse of a child. He was given a minimum mandatory sentence of three years in prison. Utah Code Ann. § 76-5-404.1(3)(b) (Supp.1988). Thereafter, the trial court issued a certificate of probable cause, and Webb was released on bond pending the disposition of this appeal.
*1110 Before this Court, Webb argues, inter alia, that the trial court erred in admitting the testimony regarding the child’s out-of-court statements. Webb acknowledges that under section 76-5-411(l)(b), hearsay statements of a child who is an alleged victim of sexual abuse may be admitted into evidence. However, he contends that one of the preconditions section 76-5-411(l)(b) sets for admission was not satisfied. Specifically, he contends that the State did not show that the “child [was] not available to testify in court.” Id. Section 76-5-411 reads in material part:
(1) Notwithstanding any rule of evidence, a child victim’s out of court statement regarding sexual abuse of that child is admissible as evidence though it does not qualify under an existing hearsay exception, if:
(a) the child is available to testify in court or as provided by Subsection 77-35-15.5(2) or (3);
(b) in the event the child is not available to testify in court or as provided by Subsection 77-35-15.5(2) or (3), there is other corroborative evidence of the abuse; or
(c) the statement qualifies for admission under Subsection 77-35-15.5(1).
(2) Prior to admission of any statement into evidence under this section, the judge shall determine whether the interest of justice will best be served by admission of that statement. In making this determination the judge shall consider the age and maturity of the child, the nature and duration of the abuse, the relationship of the child to the offender, and the reliability of the assertion and of the child. 2
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(4) For purposes of this section, a child is a person under the age of 12 years.
Utah Code Ann. § 76-5-411 (emphasis added). 3
Admission of hearsay statements by child sexual abuse victims is relatively new to our law. Until the enactment of section 76-5-410, which effectively made it impossible to challenge the competency to testify of a child sexual abuse victim, it was almost certain that the testimony of a child as young as the victim here would not be admissible.
Cf. State v. Cooley,
Because these statutes have removed long-standing barriers to the admission of certain forms of hearsay evidence and, under certain circumstances, reduced a defendant’s ability to challenge that evidence through the traditional methods of face-to-face confrontation and cross-examination, they raise serious constitutional questions.
See State v. Nelson,
In the rush to facilitate the prosecution of child sexual abuse cases, we must be wary of measures that may infringe the right of confrontation, one of the core elements of the right to due process of law.
See Coy v. Iowa,
— U.S. -,
Classically, the primary object of the constitutional right of confrontation is to prevent depositions and ex parte affidavits from being used against the accused at trial in lieu of a personal examination and cross-examination of the witness against him. When confrontation is available the accused has an opportunity, not only of testing the recollection and sifting the conscience of the witness, but of compelling him to stand face-to-face with the jury in order that they may look at him and judge by his demeanor and the manner in which he gives his testimony whether he is worthy of belief. Encompassed in this right of confrontation is the procedural right of cross-examination and the recognition of certain procedural rights regarding the exclusion of extra judicial statements, similar to those found protected by evidentiary rules excluding hearsay evidence.
There are instances in which hearsay statements may be admitted against a defendant consistent with his or her constitutional right of confrontation.
See Ohio v. Roberts,
When an out-of-court statement is offered at trial for the truth of the matter asserted and the declarant is present and available for cross-examination, no federal or state confrontation problem is presented.
State v. Loughton,
In sum, [1] when a hearsay declarant is not present for cross-examination at trial, the Confrontation Clause normally requires a showing that he is unavailable. [2] Even then, his statement is admissible only if it bears adequate “indicia of reliability.” [a] Reliability can be inferred without more in a case where the evidence falls within a firmly rooted hearsay exception, [b] In other cases, the evidence must be excluded, at least absent a showing of particularized guarantees of trustworthiness.
In the present case, Webb contends that
Roberts
precludes the admission of Cindy’s testimony about the child’s out-of-court statements. He argues that because the child was not present at trial, her out-of-court statements could have been used without violating his sixth amendment rights only if the State first made a showing that the child was constitutionally “unavailable.” Webb contends that this showing was not made. But even if it had been made, he asserts, before the out-of-court statements could have been admitted, the State would also have to have demonstrated that “particularized guarantees of trustworthiness” surrounded the out-of-court statements.
Id.
This is necessary because the hearsay exception spelled out in section 76-5-411 is a recent creation, not one that is “firmly rooted” in the common law.
See State v. Nelson,
Section 76-5-411(l)(b) of the Code requires that if the witness is “not available to testify in court,” then the out-of-court statements may be admitted if there is corroborative evidence. Utah Code Ann. § 76-5-411(l)(b) (Supp.1988). However, section 76-5-411 does not define what “not available” means. In construing a statute, we endeavor to give it a meaning that will render it constitutional whenever possible.
E.g., Provo City Corp. v. Willden,
Our own precedent reflects this strict view of the unavailability precondition.
See State v. White,
In the present case, the judge did not interview the child or take any expert testimony regarding the capability of the child, then two years old, to testify in court, nor did the judge make any specific finding that she was physically or psychologically unavailable. 6 Instead, after conferring with the mother, Cindy, the State’s chief witness, the court simply ruled that the out-of-court statements were admissible, stating, “[Njaturally a child of this age— there’s no way they [sic] can testify or be cross-examined, or whether we know they’re reacting to suggestion or something they've heard.” The State contends that this is a finding of unavailability due to immaturity. If that is the meaning to be drawn from this statement, we conclude that it is not a finding sufficient to warrant admitting the hearsay under section 76-5-411(l)(b) of the Code, if that provision is interpreted to conform to the requirements *1114 of the federal confrontation clause. It is not enough to make some general assumptions about all children of this age; the trial court must determine whether this particular child is constitutionally unavailable. 7
Having determined that the trial court was in error in admitting the child’s hearsay statements without first properly determining whether she was unavailable to testify in court, the next question is the effect of that error. I would determine whether the error was prejudicial to defendant and, if so, vacate the conviction and remand for a new trial. 8 A majority of the Court, however, has joined Justice Stewart’s separate opinion, in which he concludes that even if the child’s out-of-court statements could be found admissible under section 76-5-411 on remand, those statements, considered together with all the other evidence introduced at trial, would still be insufficient evidence to sustain a conviction under section 76-5-404.-1(3). Therefore, for the reasons set forth in Justice Stewart’s separate opinion, the conviction is reversed and defendant’s discharge ordered. I do not join in that disposition of the case.
(separate opinion):
This decision of the Court is published in an unorthodox manner. This is the opinion of the Court, although the facts are stated in Justice Zimmerman’s opinion, which is the lead opinion, but not the opinion of the Court.
Defendant was convicted of aggravated sexual abuse of a one-and-a-half-year-old child pursuant to Utah Code Ann. § 76-5-404.1 (Supp.1989). That section provides:
(1) A person commits sexual abuse of a child if, under circumstances not amounting to rape of a child, object rape of a child, sodomy upon a child, or an attempt to commit any of these offenses, *1115 the actor touches the anus, buttocks, or genitalia of any child ... with intent to cause subtantial emotional or bodily ;pain to any person or with the intent to arouse or gratify the sexual desire of any person regardless of the sex of any participant.
(Emphasis added.)
Justice Zimmerman would reverse and remand for a new trial on the ground that the trial court failed to determine whether the child victim declarant was “unavailable” for cross-examination at trial pursuant to Utah Code Ann. § 76-5-411 (Supp.1989). However, it is the view of the Court that there is no point in remanding this case to the trial court to determine whether the child declarant is unavailable, since a remand assumes that defendant can be convicted of the crime charged on the basis of a one-and-a-half-year-old’s exclamations, “Ow bum,” or “Ow bum daddy.” That evidence is not sufficient as a matter of law to support a conviction.
It is beyond credulity that the law could allow a conviction to stand on such evidence. The child declarant was, at the time she made the declaration, approximately one-and-a-half years old. She could not speak in sentences, and she could not carry on a coherent conversation. The child spoke primarily with nouns, and she could sometimes group a few nouns together. Because of the lack of cognitive development due to her age, she simply was unable to perceive, recall, and communicate with any degree of meaning or clarity. The meaning of her exclamations was utterly obscure. The statement “Ow bum” while being lowered into bath water and her later statement, “Ow bum daddy,” do not constitute an accusation against defendant of the elements of the crime of child abuse. The child’s outcry could have been to elicit help from her daddy, or it could have had several other meanings.
It is obvious that the child could not possibly be cross-examined in an effective manner so as to elaborate the intended meaning. The trial court clearly recognized the point. It found that “naturally a child of this age — there is no way they can testify or be cross-examined, or [that] we [can] know [whether] they’re reacting to suggestion or something they’ve heard.” That court, having heard much testimony about the child from the child’s mother, was obviously correct in that observation.
Since the child cannot be cross-examined on that statement or anything else related to the alleged crime, the conviction stands almost entirely on one out-of-court declaration of the child, but even that declaration does not assert an act of abuse. Justice Zimmerman also recognizes this point: “Other than the inference that can be drawn from the fact that the physical signs of abuse were seen immediately after Webb had custody of the child, the child’s statement was the only direct evidence that could be claimed to link Webb to the alleged abuse. In view of the serious conflict in the medical evidence as to whether the child had been abused, the child’s testimony was certainly important to proving both abuse and the identity of the perpetrator.”
Furthermore, there is absolutely no evidence whatsoever, even assuming that defendant touched the baby’s buttocks or anus in some fashion, that shows defendant did the act with an “intent to arouse or gratify” his sexual desire, an element of the crime that must be proved under Utah Code Ann. § 76-5-404.1. He may simply have irritated an already chapped area in giving the child hygienic care.
The law is that a single uncorroborated hearsay statement is not substantial evidence and not sufficient to support a verdict.
United States v. Orrico,
For that reason, the conviction should be reversed and the case remanded for dismissal of the charges.
Notes
. Section 76-5-410 provides as follows:
A child victim of sexual abuse under the age of ten is a competent witness and shall be allowed to testify without prior qualification in any judicial proceeding. The trier of fact shall determine the weight and credibility of the testimony.
Utah Code Ann. § 76-5-410 (Supp.1988).
. The trial court found the hearsay admissible under subsection 76 — 5—41 l(l)(b). Before an out-of-court statement by an alleged child victim can be admitted under any of the subparts of 76-5-411(1), the trial court must find that "the interest of justice will best be served by admission of that statement.” Utah Code Ann. § 76-5-411(2). Subsection 76-5-411(2), as interpreted by our decision in
State v. Nelson,
. Subsections 77-35-15.5(2) and (3), referred to in subpart (b) of 76-5-411(1), refer to procedures for taking testimony of the child victim out of the presence of the jury but in the presence of the defendant and/or counsel who is permitted to cross-examine the witness. Utah Code Ann. § 77-35-15.5(2), (3) (1988). Neither subsection is applicable in the present case.
. In his claims of error, Webb raises the question of whether his right of confrontation was infringed upon by section 76-5-41 l(l)(b) of the Code. As a general rule, we will not engage in a state constitutional analysis unless an argument for different analyses under the state and federal constitutions is briefed.
See, e.g., State v. Tuttle,
106 Utah Adv.Rep. 6, 7 n. 4, — P.2d -,-n. 4 (April 12,1989);
State
v.
Lafferty,
. In California v. Green, Mr. Justice Harlan said:
What I would hold binding on the States as a matter of due process is what I also deem the correct meaning of the Sixth Amendment’s Confrontation Clause — that a State may not in a criminal case use hearsay when the declar-ant is available.
California v. Green,
. We have no occasion today to address the circumstances under which a witness, although physically available, might be determined to be psychologically unavailable. However, if the result of such a finding was that out-of-court statements would be admitted into evidence without any opportunity for the exercise of the traditional core elements of the confrontation right discussed in
State v. Anderson,
. The State relies upon
State v. Bounds,
A more apt handling of the issue is demonstrated by the Washington Supreme Court’s decision in
State v. Ryan,
First, incompetency and unavailability serve separate purposes, and mean different things. Second, ... a resolution that a witness is incompetent precludes most hearsay statements of that witness whether available or not.
State v. Ryan,
. My analysis would proceed as follows: Under rule 30 of the Utah Rules of Criminal Procedure, an error warrants reversal only if the substantial rights of a party are affected. Utah R.Crim.P. 30 (codified at Utah Code Ann. § 77-35-30 (1982)). This occurs when there is a reasonable likelihood that if the error had not occurred, the defendant would have obtained a more favorable result. This "reasonable likelihood” standard is met if our confidence in the outcome of the case is undermined.
State v. Rimmasch,
I would conclude that in the absence of the improperly admitted hearsay, a reasonable probability exists that Webb would have obtained a more favorable result. Other than the inference that can be drawn from the fact that the physical signs of abuse were seen immediately after Webb had custody of the child, the child’s statement was the only direct evidence that could be claimed to link Webb to the alleged abuse. In view of the serious conflict in the medical evidence as to whether the child had been abused, the child’s testimony was certainly important to proving both abuse and the identity of the perpetrator. Admission of the child's statements was highly prejudicial to Webb. I would find that he is entitled to a new trial. I do not join in Justice Stewart’s opinion precluding a retrial.
