Stephon Lavelle WALTER, Appellant, v. The STATE of Texas.
No. PD 1929-06.
Court of Criminal Appeals of Texas.
Oct. 1, 2008.
267 S.W.3d 883
Michael Shepherd, Assistant District Attorney, Texarkana, Jeffrey L. Van Horn, State‘s Attorney, Austin, for State.
OPINION
COCHRAN, J., delivered the opinion of the Court, in which PRICE, WOMACK, JOHNSON and HOLCOMB, JJ., joined.
During the early morning hours of September 1, 2003, the bodies of three employees were found inside a small office of the Outback Steakhouse in Texarkana. Each had been shot. Approximately $800 was taken. A jury convicted appellant of these capital murders and sentenced him to life imprisonment. During trial, Roderick Henson testified about a conversation he had with his brother Markel,1 appellant‘s co-defendant. Markel‘s statements to his brother implicated both himself and appellant in the robbery-murders, but placed the blame for killing the three victims solely on appellant. The trial judge admitted all of Markel‘s statements under the hearsay exception for statements against penal interest2 because they impli
We granted review to determine whether the entire conversation was admissible as a statement against interest under
I.
On August 31, 2003, the last night of his vacation, Matt Hines, the proprietor of the Texarkana Outback, drove to the restaurant to help Rebecca Shifflet, the general manager, and Crystal Willis, the assistant manager, do the end-of-the-month inventory. Around 12:30 a.m., Matt‘s wife, Toni Hines, called his cell phone to check up on him. There was no answer. She tried the restaurant. No answer. She began to get worried, made several more unanswered calls to Matt, and finally drove to the restaurant. “All the lights were still on and all the blinds were open, and [she] knew that wasn‘t right.” After knocking on the door, honking her horn, and trying to call Ms. Shifflet, Toni called 911.
The police responded. After finding another employee who had keys, they entered the restaurant. Everything appeared normal. Then someone looked in the small back office and saw three bodies lying on the bloody floor. All had been shot in the head.
The following morning, Markel Henson told his older brother, Roderick, that he was “involved” in what had happened at the Outback. Markel was nervous, but he wanted his brother‘s help in burning the clothes that he had worn the night before. He told Roderick how he and appellant had planned to rob the restaurant—at which both had previously worked but had been fired—and then carried out that plan. After hearing his younger brother‘s story, Roderick helped Markel burn the clothes, and he stored the money that Markel gave him in a closet. After several days of asking Markel to turn himself in, Roderick
Shortly after Roderick began testifying in the State‘s case-in-chief, the defense objected and requested a hearing outside the presence of the jury. Appellant‘s counsel argued that while Roderick should be allowed to relate Markel‘s self-inculpatory statements because they were against Markel‘s penal interest, he should not be allowed to relate Markel‘s statements that inculpated only appellant. Counsel said that those hearsay statements were an attempt to shift blame to appellant and minimize Markel‘s involvement.
Before ruling on the admissibility of these statements, the trial judge heard Roderick‘s proposed testimony outside the presence of the jury. Roderick stated that Markel had privately come to him the day after the murders asking for his help. Markel said that he and appellant “went to [the] Outback to hit a lick,” which, to Roderick, meant to “make some money, I guess, rob. . . . And he told me that [appellant] went in the office and got the money, and came back and gave him the bag of money, and went back in the office. And I guess he was trying to get the key to the safe. And then he told me he heard six gunshots, and, basically, that‘s about it.” Markel “said he was standing in the hallway when appellant went to the office.” Markel told Roderick that he heard people begging for their lives; he heard screams. Someone called appellant by his first name, “Stephon, please don‘t shoot me,” and “Please don‘t kill us.” Markel said that they planned to get the money out of the safe, but they couldn‘t find the key to it. They left and drove back to appellant‘s apartment complex where they split the money, about $400.00 each. Markel also told Roderick that appellant put a gun to his head and threatened to kill him if he told anyone.
After brief arguments by counsel, the trial judge ruled that the entire conversation between Markel and Roderick was admissible as a statement against Markel‘s interest because Markel had implicated himself in the capital murders.5
Later in the trial, appellant‘s mother testified that appellant had told her that he was “the mastermind” behind the robbery at the Outback.
Appellant‘s brother-in-law, Billy Ray Johnson, testified that appellant came to him the day before the robbery and asked him for a gun. Billy Ray gave him a .380 caliber handgun.7 Later that day, appellant told Billy Ray “that he should do Outback,” meaning “rob the place.” Still later, appellant again said that he “should do Outback” with the borrowed gun.
Billy Ray then related another conversation he had with appellant immediately after the Outback robbery. Appellant came to Billy Ray‘s bedroom and nervously “explained to me that he had robbed and killed someone at Outback. He had said he had robbed and killed someone at Outback. . . . I believe he said three had got killed.” Appellant said Markel went with him. Billy Ray thought appellant was serious “because of the way [he] was looking.” Billy Ray told appellant that he should have killed Markel to ensure that he wouldn‘t talk.
Appellant testified and admitted talking to Markel that night, checking to see “if he was going to hang out with me, come to the house and watch a couple movies.” He said that he and Markel talked about doing something illegal that night and that Markel asked for a gun. Appellant went to Billy Ray‘s to get a gun for Markel and borrowed it because he was “just helping somebody out.” He denied going to the Outback that night.
The jury found appellant guilty and sentenced him to life imprisonment. On appeal, appellant claimed that the trial court erred by not excluding Roderick‘s testimony about Markel‘s statements both under the hearsay rule and under the Confrontation Clause.
The court of appeals addressed both of these claims. It concluded that Markel‘s statements were not testimonial because they were made during a spontaneous conversation between the two brothers as Markel attempted to obtain his brother‘s
II.
Generally speaking, the hearsay rule excludes any out-of-court statement offered to prove the truth of the matter asserted.14 But, like most rules, this one has exceptions, twenty-seven explicit exceptions, as well as numerous exemptions that are defined out of the rule.15 The twenty-seven exceptions stem from the notion that the four hearsay dangers of faulty perception, faulty memory, miscommunication, and insincerity are either absent or minimal in certain situations. Statements made in these situations or under the specified circumstances carry such sufficient, independent, circumstantial guarantees of trustworthiness that the rule deems cross-examination unnecessary.16 These are gold-standard statements. Of the twenty-four exceptions listed under
The exception for statements against pecuniary, penal, or social interest stems from the commonsense notion that people ordinarily do not say things that are damaging to themselves unless they believe they are true.20 Thus, a reasonable person would not normally claim that he committed a crime, unless it were true.21 This is the guiding principle behind both the Texas and federal hearsay exceptions for statements against penal interest.22
The rule sets out a two-step foundation requirement for admissibility.23 First, the trial court must determine whether the statement, considering all the circumstances,24 subjects the declarant to criminal liability25 and whether the declar
Statements against penal interest fall into three general categories: Some inculpate only the declarant (e.g., “I killed Joe.“);28 others inculpate equally both the declarant and a third party, such as a co-defendant (e.g., “We killed Joe.“);29 still others inculpate both the declarant and third party, but also shift blame by minimizing the speaker‘s culpability (e.g., “We robbed the bank, and Dan killed Joe, the bank teller.“).30 A confession, conver
When an extended narrative contains statements that inculpate both the declarant and a third person, the application of the exception is not obvious. The question becomes: How much dross may accompany the gold of the purely self-inculpatory statements?31
In Williamson v. United States,32 the Supreme Court addressed precisely this question in a fractured set of opinions. In that case, a Florida deputy sheriff stopped a rental car for weaving on the highway.33 He found nineteen kilograms of cocaine in the car, and he arrested the driver, Harris.34 Harris then told a DEA agent that he was only transporting the drugs, which belonged to Williamson.35 Harris refused to testify at Williamson‘s trial, so the trial court admitted Harris‘s prior statements into evidence as statements against interest.36 On appeal to the Supreme Court,
The fact that a person is making a broadly self-inculpatory confession does not make more credible the confession‘s non-self-inculpatory parts. One of the most effective ways to lie is to mix falsehood with truth, especially truth that seems particularly persuasive because of its self-inculpatory nature.40
In distinguishing between self-inculpatory remarks and those remarks that are collateral to the self-inculpatory ones, the majority explained,
The fact that a statement is self-inculpatory does make it more reliable; but the fact that a statement is collateral to a self-inculpatory statement says nothing at all about the collateral statement‘s reliability. We see no reason why collateral statements, even ones that are neutral as to interest . . . should be treated any differently from other hearsay statements that are generally excluded.41
The majority concluded that “the most faithful reading of
Although all members of the Supreme Court agreed that at least some of Harris‘s statements were inadmissible, they disagreed upon which portions should be excluded. Four justices concluded that none of Harris‘s statements to the DEA agent should have been admitted because his “inculpatory statements are too closely in
This Court and other Texas courts have long followed the basic reasoning and analysis in Williamson in addressing Texas
The State was careful to elicit accounts only of statements made by [the declarant co-defendant] referring to ‘we,’ which included both him and appellant. An admission against a co-defendant declarant‘s interest can be admissible against the defendant so long as it is sufficiently against the declarant‘s interest to be reliable. . . . Because [the declarant‘s] statements containing ‘we’ implicated him in the capital murder . . ., this Court concludes that his statements were sufficiently self-inculpatory to be reliable under Williamson and Cofield.51
But in a separate capital-murder case, Guidry v. State,52 decided two months later, we held that “blame-shifting” statements that did not inculpate the speaker and the defendant equally were inadmissible under the rule.53 We stated,
The statements made by Prystash [the declarant co-defendant] in the instant case are not so equally against both Prystash‘s and appellant‘s interests as reach this level of reliability. While some of Prystash‘s statements refer to ‘we,’ meaning both himself and appellant, on the critical issue of who killed the victim, Prystash‘s statements inculpate appellant alone as the triggerman and describe with specificity how ‘appellant’ killed the victim. Prystash told Gipp he just dropped appellant off at the victim‘s residence and picked him up after appellant had committed the murder. Granted both driver and triggerman bear potentially equal criminal liability, but the driver might be in a better bargaining position should he decide to cooperate with the State, and the driver might have a better chance at gaining sympathy from the jury. Because Prystash‘s statements so clearly delineate his and appellant‘s roles on the critical issue of who killed the victim, we hold the statements made by Prystash which were against appellant‘s interest were not admissible under
Rule 803(24) .54
Not only is this approach consistent with our case law, but we conclude that it also represents better evidentiary policy. First, the attempt to sever collaterally neutral or “blame-sharing” statements from each specific self-inculpatory remark deprives the jury of important context surrounding that self-inculpatory remark.58 That approach places too much emphasis on the policy against admitting hearsay while undervaluing the need for meaningful evidence in criminal cases. As noted by the Colorado Supreme Court, “the surgical precision called for by [the plurality in] Williamson is highly artificial and nearly impossible to apply.”59 Second, such an approach would, as Justice Kennedy noted, also apply to statements offered by the defendant to exculpate him.60 This would unduly restrict defendants from of
Thus, the trial judge is obligated to parse a generally self-inculpatory narrative and weed out those specific factual statements that are self-exculpatory or shift blame to another. The gold of self-incriminating words cannot carry with it the dross of self-exculpatory ones.
III.
In this case, the question is whether Markel‘s “street corner” spontaneous statements made to his brother on the day after the Outback robbery, pointing the finger at appellant as the sole shooter, were admissible simply because those statements were part of a larger narrative in which Markel also implicated himself. The State contends that the court of appeals correctly decided the issue because only by implicating appellant in the murders did Markel make himself
First, the State notes that Markel‘s statements were not made to law enforcement agents and, thus, he did not have a motive to shift blame to appellant. According to the State, the fact that this was a “street corner” spontaneous conversation with the declarant‘s brother distinguishes this case from Williamson, in which the declarant gave testimonial custodial statements to the police. That is true. Statements to friends, loved ones, or family members normally do not raise the same trustworthiness concerns as those made to investigating officers because there the declarant has an obvious motive to minimize his own role in a crime and shift the blame to others.64 But here a nervous Markel was seeking the help of his disapproving brother in an attempt to avoid detection for any part in a heinous capital murder. Markel clearly had at least some motive to minimize his level of culpability in his brother‘s eyes—the less culpable he was, the more likely that his brother would help him. As appellant asserts, Markel had reason to “curry favor” or shade the truth, even when speaking with a family member. It must be kept in mind that the basis of this exception is not that a declarant is in a general “trustworthy” frame of mind. The probability of trustworthiness comes only from the facts asserted being self-inculpatory.
Second, the State urges that, under the law of parties, Markel‘s statements were inherently reliable because he talked himself into liability for the capital murders committed by appellant. But it is far from certain that Markel—or the average reasonable person—would be aware that accompanying appellant to the Outback as part of the robbery plan would make him equally responsible for appellant‘s acts of killing the three employees. We know that; the trial judge knew that; the prosecutor and defense counsel knew that. But if this were so widely known to the average reasonable person, it would not be necessary to spend so much time during voir dire discussing the legal concept of party liability. There is no evidence in this record that Markel, at the time he spoke to Roderick, knew that, by naming appellant as the Outback murderer, he was
At any rate, when Markel explained how he was, at most, a lookout, while appellant went back to the office, took the money, gave it to Markel, and then went back into the office to shoot the three witnesses, that small role in the crime could tend to make him less culpable in Roderick‘s eyes and thus make it more likely that his disapproving brother would aid him.
As appellant notes, out-of-court statements from a co-defendant that are against the declarant‘s penal interest but also inculpate the defendant are viewed with some suspicion.66 That suspicion is lessened when the speaker makes no distinction between his conduct and that of the defendant—where there is absolute equality.67 That is precisely why this Court upheld the admission of the co-defendant‘s statements in Dewberry—they were all “we” statements which inculpated the declarant and the defendant equally.68 However, when the declarant minimizes his culpability and shifts major blame to a cohort, the self-serving aspect of the statement generally outweighs the self-inculpatory aspect. That is precisely why this Court found error in the admission of the declarant‘s blame-shifting statements in Guidry.69
The factual scenario here mirrors that in Guidry. In that case, as in the present one, the declarant co-defendant‘s statements were not equally against his and the defendant‘s interests.70 Though some statements referred to their joint conduct, on the critical issue of who actually pulled the trigger, Prystash, the co-defendant, said Guidry alone was responsible.71 Prystash essentially said that he was only the driver while Guidry did the dirty work. Likewise, Markel told Roderick how he waited in the hallway while appellant twice went into the Outback office alone, getting the money on the first trip and killing the three employees on the second. In Guidry, as in the present case, the statements were not made to law enforcement—Prystash was speaking to his girlfriend while Markel was speaking to his brother. The factual similarities lead to similar results. Here, as in Guidry, the portions of the co-defendant declarant‘s statements that shift blame to the defendant are not sufficiently against the co-defendant‘s interest to qualify for admission under
Finally, the State argues that the reliability of all of Markel‘s statements are pedigreed by overwhelming corroborating circumstances. But corroborating circumstances relate to the second foundation
We therefore conclude that the trial court abused its discretion in admitting Markel‘s narrative in toto without examining each fact asserted in the narrative to assess whether that fact was directly self-incriminating or, at a minimum, shared blame equally. The trial court erred in admitting those particular statements by Markel that shifted blame to appellant. Because the parties have not yet had an opportunity to brief the question of whether this error was harmful or not, we reverse and remand the case to the court of appeals to conduct such a review under
MEYERS, J., concurred in the result.
HERVEY, J., filed a dissenting opinion in which, KELLER, P.J. and KEASLER, J., joined.
COCHRAN, J.
JUDGE
HERVEY, J., dissenting in which KELLER, P.J., and KEASLER, J., joined.
I respectfully dissent. I would decide that “blame-shifting” out-of-court statements that are supported by corroborating circumstances clearly indicating their trustworthiness are “gold standard” statements that should not be thrown out with the dross.
Adopting the approach set out in Dean McCormick‘s evidence treatise, the majority opinion decides that “blame-shifting” statements that are within a generally self-inculpatory narrative do not satisfy the first-stage foundational requirement for the “against interest” hearsay rule exception under Texas law. See Maj. op. at 892 n. 31, 896. Thus, if a declarant‘s out-of-court statement, “Stephon and I robbed the bank, but Stephon killed the bank teller,” is offered against Stephon in Stephon‘s criminal prosecution for this conduct, the statement that “Stephon killed the bank teller” would be excluded even if this statement is clearly supported by other indicia of reliability such as, for example, a videotape depicting the event. I do not believe that this is what the drafters of Texas’ “against interest” hearsay rule exception intended.
I disagree with the majority opinion that the federal and Texas “against interest” hearsay rule exceptions are “quite similar.” See Maj. op. at 892-93 n. 36, 894 n. 48. These exceptions (particularly their second sentences) are very different.
A statement which . . . at the time of its making . . . so far tended to subject the declarant to . . . criminal liability . . . that a reasonable person in the declarant‘s position would not have made the statement unless believing it to be true. A statement tending to expose the declarant to criminal liability and offered to exculpate the accused is not admissible unless corroborating circumstances clearly indicate the trustworthiness of the statement.
(Emphasis supplied).
A statement which . . . at the time of its making . . . so far tended to subject the declarant to . . . criminal liability . . . that a reasonable person in the declarant‘s position would not have made the statement unless believing it to be true. In criminal cases, a statement tending to expose the declarant to criminal liability is not admissible unless corroborating
circumstances clearly indicate the trustworthiness of the statement.
Therefore, in cases like this, when an “against interest” out-of-court statement is offered to inculpate the accused, the federal rule literally requires only the first-stage foundational requirement. Thus, such a statement may be admitted under federal
The majority opinion points out that “most” federal courts have judicially legislated a “corroborating circumstances” foundational requirement into federal
A final point should be made concerning the practicalities of the Court‘s decision. It would seem that the erroneous admission into evidence of a “blame-shifting” statement will almost always be harmless if this statement is supported by “corroborating circumstances.” This should weigh in favor of deciding that
I respectfully dissent.
Notes
512 U.S. 594, 114 S.Ct. 2431, 129 L.Ed.2d 476 (1994).The following are not excluded by the hearsay rule, even though the declarant is available as a witness: . . . (24) Statement Against Interest. A statement which was at the time of its making so far contrary to the declarant‘s pecuniary or proprietary interest, or so far tended to subject the declarant to civil or criminal liability, or to render invalid a claim by the declarant against another, or to make the declarant an object of hatred, ridicule, or disgrace, that a reasonable person in declarant‘s position would not have made the statement unless believing it to be true. In criminal cases, a statement tending to expose the declarant to criminal liability is not admissible unless corroborating circumstances clearly indicate the trustworthiness of the statement.
The majority opinion asserts that “[t]hese courts have stated that the corroboration requirement for inculpatory statements is necessary either under the Supreme Court‘s decision in Williamson or the constitutional right of confrontation.” See Maj. op. at 893 n. 36 [sic, should be n. 45]. Apparently, The Supreme Court in Williamson, however, expressly left open the question of whether this “corroborating circumstances” requirement should be judicially legislated into federalIn determining that an accomplice‘s statement against penal interest made to his brother was a firmly rooted exception to the hearsay rule and was sufficiently self-inculpatory, the Sixth Court of Appeals’ reliance on Dewberry v. State was improper in light of the Court of Criminal Appeals’ opinion in Guidry v. State and the United States Supreme Court‘s opinion in Lilly v. Virginia.
And it appears that those federal courts that have judicially legislated this “corroborating circumstances” requirement into federal
It is noteworthy that at least two of the pre-Williamson federal-court decisions cited in footnote 36 [sic, n. 45] of the majority opinion apparently allowed the admission into evidence of “blame-shifting” out-of-court statements supported by “corroborating circumstances.” See United States v. Casamento, 887 F.2d 1141, 1171 (2nd Cir.1989); United States v. Alvarez, 584 F.2d 694, 699-701 (5th Cir. 1978).The case law seems to me makes the distinction between statements where the declarant is minimizing his culpability. I suppose the statements where the declarant is connecting themselves with an offense, it also connects the defendant. In other words, if the declarant makes a statement to the effect that, ‘We were going to the place to rob it and the defendant killed someone,’ and the declarant‘s statement is such that it would tend to make them guilty of a lesser offense, such as robbery, then it‘s not admissible against the co-defendant at the co-defendant‘s trial.
But if the declarant makes a statement to the effect that ‘We were going to the place to rob it and we killed the people,’ then that‘s more in the nature of a statement that makes the declarant guilty of the higher offense, in the fact that it also makes the co-defendant hyper-guilty of that same offense, is sufficient to allow it to come in under the exception for statements against penal interest. In reviewing the statement from Mr. [Roderick] Henson about his brother [Markel], under
Section 7.02 of the Texas [Penal Code] , the section regarding criminal responsibility for the conduct of another, the statements made by the defendant, Markel [sic] Henson, Richard Henson would be one, if taken by itself, looking at the statement by itself, would be a statement that would make him liable for the offense of capital murder if you look at the offense of parties.It seems to me that if you take [Markel‘s] statement when it was made, it was made at a time, the day after the robbery, this was before the time the witness, Roderick Henson, hired any attorney, it was made before any negotiations were made between the State and [Markel], if they have occurred, that at the time the statement was made, it was clearly a statement which made [Markel] liable for the offense of capital murder, particularly under the law of parties. So the fact that the statement was made made him liable for the offense of capital murder means that the statement does not tend to negate his culpability and shift that onto someone else. It essentially makes him liable for the same offense that he‘s saying that the defendant is liable for. So on that basis, I find that the testimony from Mr. Henson meets the exception, the hearsay exception, under
Rule 803 for statements made against penal interest. At the time it was made, it was a statement against penal interest and it was a statement that implicated him in the capital murder offense, which is the same offense that the defendant is on trial for. So on the basis of that, I find that the statement is admissible and I overrule the objection.
[W]hether a statement is self-inculpatory or not can only be determined by viewing it in context. Even statements that are on their face neutral may actually be against the declarant‘s interest. “I hid the gun in Joe‘s apartment” may not be a confession of a crime; but if it is likely to help the police find the murder weapon, then it is certainly self-inculpatory. “Sam and I went to Joe‘s house” might be against the declarant‘s interest if a reasonable person in the declarant‘s shoes would realize that being linked to Joe and Sam would implicate the declarant in Joe and Sam‘s conspiracy. And other statements that give the police significant details about the crime may also, depending on the situation, be against the declarant‘s interest. The question under Rule 804(b)(3) is always whether the statement was sufficiently against the declarant‘s penal interest “that a reasonable person in the declarant‘s position would not have made the statement unless believing it to be true,” and this question can only be answered in light of all the surrounding circumstances.
Although the federal rule does not explicitly say that statements against interest offered to inculpate a defendant are not admissible unless corroborating circumstances clearly indicate the trustworthiness of the statement, this requirement has been “written into” the rule by most federal courts. See United States v. Mendoza, 85 F.3d 1347, 1351 (8th Cir.1996); United States v. Thomas, 62 F.3d 1332, 1337 (11th Cir.1995); United States v. Harty, 930 F.2d 1257, 1263 (7th Cir.1991) (statements against interest implicating defendant must be accompanied by “corroborating circumstances” indicating trustworthiness; separate constitutional standard requires hearsay to be reliable by inherent trustworthiness); United States v. Seeley, 892 F.2d 1, 2 (1st Cir.1989) (courts interpret exception as “implicitly imposing” corroboration requirement where government “uses the hearsay to inculpate“);
See United States v. Boyce, 849 F.2d 833, 835-37 (3d Cir.1988); United States v. Casamento, 887 F.2d 1141, 1170 (2nd Cir.1989); United States v. Carvalho, 742 F.2d 146, 150-51 (4th Cir.1984); United States v. Alvarez, 584 F.2d 694, 701 (5th Cir.1978). These courts have stated that the corroboration requirement for inculpatory statements is necessary either under the Supreme Court‘s decision in Williamson or the constitutional right of confrontation. Indeed, in United States v. Sarmiento-Perez, 633 F.2d 1092, 1098-1101 (5th Cir. 1981), the Fifth Circuit held that the Sixth Amendment right to confrontation requires more corroboration for third-party statements that inculpate the defendant than for statements exculpating him.
