2004 U.S. LEXIS 1838,*;124 S. Ct. 1354;
72 U.S.L.W. 4229;17 Fla. L. Weekly Fed. S 181
MICHAEL D. CRAWFORD,
PETITIONER v. WASHINGTON
No. 02-9410
SUPREME COURT OF THE UNITED STATES
124 S. Ct. 1354;2004 U.S. LEXIS 1838;72
U.S.L.W. 4229;17 Fla. L. Weekly
Fed. S 181
November 10, 2003, Argued
March 8, 2004, Decided
PRIOR HISTORY: ON WRIT OF CERTIORARI TO THE SUPREME COURT OF
WASHINGTON.
State v. Crawford, 147 Wn.2d 424, 54 P.3d 656, 2002 Wash. LEXIS 598 (2002)
DISPOSITION: Reversed and remanded.
JUDGES: SCALIA, J., delivered the opinion of the Court, in
which STEVENS, KENNEDY, SOUTER, THOMAS, GINSBURG, and BREYER, JJ., joined.
REHNQUIST, C. J., filed an opinion concurring in the judgment, in which
O'CONNOR, J., joined.
OPINIONBY: SCALIA
OPINION: JUSTICE SCALIA delivered the opinion of the Court.
Petitioner Michael Crawford stabbed a man who allegedly tried to rape his
wife, Sylvia. At his trial, the State played for the jury Sylvia's
tape-recorded statement to the police describing the stabbing, even though
he had no opportunity for cross-examination. The Washington Supreme Court
upheld petitioner's conviction after determining that Sylvia's statement
was reliable. The question presented is whether this procedure complied
with the
Sixth
Amendment's guarantee that, "in all criminal prosecutions, the
accused shall enjoy the right . . . to be confronted with the witnesses
against him."
I
On August 5, 1999, Kenneth Lee was stabbed at his apartment. Police
arrested petitioner later that night. After giving petitioner and his wife
Miranda warnings, detectives [*6] interrogated each of them
twice. Petitioner eventually confessed that he and Sylvia had gone in
search of Lee because he was upset over an earlier incident in which Lee
had tried to rape her. The two had found Lee at his apartment, and a fight
ensued in which Lee was stabbed in the torso and petitioner's hand was
cut.
Petitioner gave the following account of the fight:
"Q. Okay. Did you ever see anything in [Lee's] hands?
"A. I think so, but I'm not positive.
"Q. Okay, when you think so, what do you mean by that?
"A. I coulda swore I seen him goin' for somethin' before, right before
everything happened. He was like reachin', fiddlin' around down here and
stuff . . . and I just . . . I don't know, I think, this is just a
possibility, but I think, I think that he pulled somethin' out and I
grabbed for it and that's how I got cut . . . but I'm not positive. I, I,
my mind goes blank when things like this happen. I mean, I just, I
remember things wrong, I remember things that just doesn't, don't make
sense to me later." App. 155 (punctuation added).
Sylvia generally corroborated petitioner's story about the events leading
up to the fight, but her account of the fight itself was [*7] arguably
different -- particularly with respect to whether Lee had drawn a weapon
before petitioner assaulted him:
"Q. Did Kenny do anything to fight back from this assault?
"A. (pausing) I know he reached into his pocket . . . or somethin' . . . I
don't know what.
"Q. After he was stabbed?
"A. He saw Michael coming up. He lifted his hand . . . his chest open, he
might [have] went to go strike his hand out or something and then
(inaudible).
"Q. Okay, you, you gotta speak up.
"A. Okay, he lifted his hand over his head maybe to strike Michael's hand
down or something and then he put his hands in his . . . put his right
hand in his right pocket . . . took a step back . . . Michael proceeded to
stab him . . . then his hands were like . . . how do you explain this . .
. open arms . . . with his hands open and he fell down . . . and we ran
(describing subject holding hands open, palms toward assailant).
"Q. Okay, when he's standing there with his open hands, you're talking
about Kenny, correct?
"A. Yeah, after, after the fact, yes.
"Q. Did you see anything in his hands at that point?
"A. (pausing) um um (no)." Id., at 137 (punctuation added).
The State charged petitioner [*8] with assault and attempted murder. At
trial, he claimed self-defense. Sylvia did not testify because of the
state marital privilege, which generally bars a spouse from testifying
without the other spouse's consent. See
Wash. Rev. Code § 5.60.060(1) (1994). In Washington, this
privilege does not extend to a spouse's out-of-court statements admissible
under a hearsay exception, see
State v.
Burden, 120 Wn. 2d 371, 377, 841 P.2d 758, 761 (1992), so the
State sought to introduce Sylvia's tape-recorded statements to the police
as evidence that the stabbing was not in self-defense. Noting that Sylvia
had admitted she led petitioner to Lee's apartment and thus had
facilitated the assault, the State invoked the hearsay exception for
statements against penal interest, Wash. Rule Evid. 804(b)(3) (2003).
Petitioner countered that, state law notwithstanding, admitting the
evidence would violate his federal constitutional right to be "confronted
with the witnesses against him."
Amdt. 6.
According to our description of that right in
Ohio v. Roberts,
448 U.S. 56, 65 L. Ed. 2d 597, 100 S. Ct. 2531 (1980), it does not
bar admission of an unavailable witness's statement against a criminal
defendant [*9] if the statement bears "adequate 'indicia of
reliability.'"
Id., 448
U.S. at 66, 65 L. Ed. 2d 597, 100 S. Ct. 2531. To meet that test,
evidence must either fall within a "firmly rooted hearsay exception" or
bear "particularized guarantees of trustworthiness." Ibid. The
trial court here admitted the statement on the latter ground, offering
several reasons why it was trustworthy: Sylvia was not shifting blame but
rather corroborating her husband's story that he acted in self-defense or
"justified reprisal"; she had direct knowledge as an eyewitness; she was
describing recent events; and she was being questioned by a "neutral" law
enforcement officer. App. 76-77. The prosecution played the tape for the
jury and relied on it in closing, arguing that it was "damning evidence"
that "completely refutes [petitioner's] claim of self-defense." Tr. 468
(Oct. 21, 1999). The jury convicted petitioner of assault.
The Washington Court of Appeals reversed. It applied a nine-factor test to
determine whether Sylvia's statement bore particularized guarantees of
trustworthiness, and noted several reasons why it did not: The statement
contradicted one she had previously given; it was made in response to
specific questions; [*10] and at one point she admitted she had shut her
eyes during the stabbing. The court considered and rejected the State's
argument that Sylvia's statement was reliable because it coincided with
petitioner's to such a degree that the two "interlocked." The court
determined that, although the two statements agreed about the events
leading up to the stabbing, they differed on the issue crucial to
petitioner's self-defense claim: "[Petitioner's] version asserts that Lee
may have had something in his hand when he stabbed him; but Sylvia's
version has Lee grabbing for something only after he has been stabbed."
App. 32.
The Washington Supreme Court reinstated the conviction, unanimously
concluding that, although Sylvia's statement did not fall under a firmly
rooted hearsay exception, it bore guarantees of trustworthiness: "'When a
codefendant's confession is virtually identical [to, i.e.,
interlocks with,] that of a defendant, it may be deemed reliable.'"
147
Wash. 2d 424, 437, 54 P. 3d 656, 663 (2002) (quoting
State v.
Rice, 120 Wn. 2d 549, 570, 844 P.2d 416, 427 (1993)). The court
explained:
"Although the Court of Appeals concluded that the statements [*11] were
contradictory, upon closer inspection they appear to overlap . . . .
"Both of the Crawfords' statements indicate that Lee was possibly grabbing
for a weapon, but they are equally unsure when this event may have taken
place. They are also equally unsure how Michael received the cut on his
hand, leading the court to question when, if ever, Lee possessed a weapon.
In this respect they overlap.
"Neither Michael nor Sylvia clearly stated that Lee had a weapon in hand
from which Michael was simply defending himself. And it is this omission
by both that interlocks the statements and makes Sylvia's statement
reliable."
147
Wash. 2d, at 438-439, 54 P. 3d, at 664 (internal quotation marks
omitted). n1
- - - - - - - - - - - - - - Footnotes - - - - - - - - - - - - - - -
n1 The court rejected the State's argument that guarantees of
trustworthiness were unnecessary since petitioner waived his confrontation
rights by invoking the marital privilege. It reasoned that "forcing the
defendant to choose between the marital privilege and confronting his
spouse presents an untenable Hobson's choice."
147
Wash. 2d, at 432, 54 P. 3d, at 660. The State has not challenged
this holding here. The State also has not challenged the Court of Appeals'
conclusion (not reached by the State Supreme Court) that the confrontation
violation, if it occurred, was not harmless. We express no opinion on
these matters.
- - - - - - - - - - - - End Footnotes- - - - - - - - - - - - - - [*12]
We granted certiorari to determine whether the State's use of Sylvia's
statement violated the
Confrontation Clause.
539 U.S. 914,
157 L. Ed. 2d 309, 124 S. Ct. 460 (2003).
II
The
Sixth Amendment's
Confrontation Clause provides that, "in all criminal prosecutions,
the accused shall enjoy the right . . . to be confronted with the
witnesses against him." We have held that this bedrock procedural
guarantee applies to both federal and state prosecutions.
Pointer
v. Texas, 380 U.S. 400, 406, 13 L. Ed. 2d 923, 85 S. Ct. 1065 (1965).
As noted above, Roberts says that an unavailable witness's
out-of-court statement may be admitted so long as it has adequate indicia
of reliability -- i.e., falls within a "firmly rooted hearsay
exception" or bears "particularized guarantees of trustworthiness."
448 U.S.,
at 66, 13 L. Ed. 2d 923, 85 S. Ct. 1065. Petitioner argues that
this test strays from the original meaning of the
Confrontation Clause and urges us to reconsider it.
A
The Constitution's text does not alone resolve this case. One could
plausibly read "witnesses against" a defendant to mean those who actually
testify at trial, cf.
Woodsides
v. State, 3 Miss. 655, 664-665, 1 Morr. St. Cas. 95 (1837), those
whose statements are offered at [*13] trial, see 3 J. Wigmore, Evidence
§ 1397, p. 104 (2d ed. 1923) (hereinafter Wigmore), or something
in-between, see infra, at 15-16. We must therefore turn to the
historical background of the Clause to understand its meaning.
The right to confront one's accusers is a concept that dates back to Roman
times. See
Coy v.
Iowa, 487 U.S. 1012, 1015, 101 L. Ed. 2d 857, 108 S. Ct. 2798 (1988);
Herrmann & Speer, Facing the Accuser: Ancient and Medieval Precursors of
the
Confrontation Clause,
34
Va. J. Int'l L. 481 (1994). The founding generation's immediate
source of the concept, however, was the common law. English common law has
long differed from continental civil law in regard to the manner in which
witnesses give testimony in criminal trials. The common-law tradition is
one of live testimony in court subject to adversarial testing, while the
civil law condones examination in private by judicial officers. See 3 W.
Blackstone, Commentaries on the Laws of England 373-374 (1768).
Nonetheless, England at times adopted elements of the civil-law practice.
Justices of the peace or other officials examined suspects and witnesses
before trial. These examinations were sometimes read in court [*14] in
lieu of live testimony, a practice that "occasioned frequent demands by
the prisoner to have his 'accusers,' i.e. the witnesses against
him, brought before him face to face." 1 J. Stephen, History of the
Criminal Law of England 326 (1883). In some cases, these demands were
refused. See 9 W. Holdsworth, History of English Law 216-217, 228 (3d ed.
1944); e.g., Raleigh's Case, 2 How. St. Tr. 1, 15-16, 24
(1603); Throckmorton's Case, 1 How. St. Tr. 869, 875-876 (1554);
cf. Lilburn's Case, 3 How. St. Tr. 1315, 1318-1322, 1329 (Star
Chamber 1637).
Pretrial examinations became routine under two statutes passed during the
reign of Queen Mary in the 16th century, 1 & 2 Phil. & M., c. 13 (1554),
and 2 & 3 id., c. 10 (1555). These Marian bail and committal
statutes required justices of the peace to examine suspects and witnesses
in felony cases and to certify the results to the court. It is doubtful
that the original purpose of the examinations was to produce evidence
admissible at trial. See J. Langbein, Prosecuting Crime in the Renaissance
21-34 (1974). Whatever the original purpose, however, they came to be used
as evidence [*15] in some cases, see 2 M. Hale, Pleas of the Crown 284
(1736), resulting in an adoption of continental procedure. See 4
Holdsworth, supra, at 528-530.
The most notorious instances of civil-law examination occurred in the
great political trials of the 16th and 17th centuries. One such was the
1603 trial of Sir Walter Raleigh for treason. Lord Cobham, Raleigh's
alleged accomplice, had implicated him in an examination before the Privy
Council and in a letter. At Raleigh's trial, these were read to the jury.
Raleigh argued that Cobham had lied to save himself: "Cobham is absolutely
in the King's mercy; to excuse me cannot avail him; by accusing me he may
hope for favour." 1 D. Jardine, Criminal Trials 435 (1832). Suspecting
that Cobham would recant, Raleigh demanded that the judges call him to
appear, arguing that "the Proof of the Common Law is by witness and jury:
let Cobham be here, let him speak it. Call my accuser before my face . . .
." 2 How. St. Tr., at 15-16. The judges refused, id., at 24, and,
despite Raleigh's protestations that he was being tried "by the Spanish
Inquisition," id., at 15, the jury convicted, and Raleigh was
[*16] sentenced to death.
One of Raleigh's trial judges later lamented that "'the justice of England
has never been so degraded and injured as by the condemnation of Sir
Walter Raleigh.'" 1 Jardine, supra, at 520. Through a series of
statutory and judicial reforms, English law developed a right of
confrontation that limited these abuses. For example, treason statutes
required witnesses to confront the accused "face to face" at his
arraignment. E.g.,
13 Car. 2,
c. 1, § 5 (1661); see 1 Hale, supra, at 306. Courts, meanwhile,
developed relatively strict rules of unavailability, admitting
examinations only if the witness was demonstrably unable to testify in
person. See Lord Morley's Case, 6 How. St. Tr. 769, 770-771 (H. L.
1666); 2 Hale, supra, at 284; 1 Stephen, supra, at 358.
Several authorities also stated that a suspect's confession could be
admitted only against himself, and not against others he implicated. See 2
W. Hawkins, Pleas of the Crown c. 46, § 3, pp. 603-604 (T. Leach 6th ed.
1787); 1 Hale, supra, at 585, n. (k); 1 G. Gilbert, Evidence
216 (C. Lofft ed. 1791); cf. Tong's Case, Kel. J. 17, 18, 84 Eng.
Rep. 1061, 1062 (1662) [*17] (treason). But see King v.
Westbeer, 1 Leach 12, 168 Eng. Rep. 108, 109 (1739).
One recurring question was whether the admissibility of an unavailable
witness's pretrial examination depended on whether the defendant had had
an opportunity to cross-examine him. In 1696, the Court of King's Bench
answered this question in the affirmative, in the widely reported
misdemeanor libel case of King v. Paine, 5 Mod. 163, 87 Eng.
Rep. 584. The court ruled that, even though a witness was dead, his
examination was not admissible where "the defendant not being present when
[it was] taken before the mayor . . . had lost the benefit of a
cross-examination." Id., at 165, 87 Eng. Rep., at 585. The question
was also debated at length during the infamous proceedings against Sir
John Fenwick on a bill of attainder. Fenwick's counsel objected to
admitting the examination of a witness who had been spirited away, on the
ground that Fenwick had had no opportunity to cross-examine. See
Fenwick's Case, 13 How. St. Tr. 537, 591-592 (H. C. 1696) (Powys)
("That which they would offer is something that Mr. Goodman hath sworn
when he was [*18] examined . . .; sir J. F. not being present or privy,
and no opportunity given to cross-examine the person; and I conceive that
cannot be offered as evidence . . . "); id., at 592 (Shower) ("No
deposition of a person can be read, though beyond sea, unless in cases
where the party it is to be read against was privy to the examination, and
might have cross-examined him . . . . Our constitution is, that the person
shall see his accuser"). The examination was nonetheless admitted on a
closely divided vote after several of those present opined that the
common-law rules of procedure did not apply to parliamentary attainder
proceedings -- one speaker even admitting that the evidence would normally
be inadmissible. See id., at 603-604 (Williamson); id., at
604-605 (Chancellor of the Exchequer); id., at 607; 3 Wigmore §
1364, at 22-23, n. 54. Fenwick was condemned, but the proceedings "must
have burned into the general consciousness the vital importance of the
rule securing the right of cross-examination." Id., § 1364, at 22;
cf.
Carmell v. Texas, 529 U.S. 513, 526-530, 146 L. Ed. 2d 577, 120 S. Ct.
1620 (2000).
Paine had settled [*19] the rule requiring a prior opportunity
for cross-examination as a matter of common law, but some doubts remained
over whether the Marian statutes prescribed an exception to it in felony
cases. The statutes did not identify the circumstances under which
examinations were admissible, see 1 & 2 Phil. & M., c. 13 (1554); 2 & 3
id., c. 10 (1555), and some inferred that no prior opportunity for
cross-examination was required. See Westbeer, supra, at 12,
168 Eng. Rep., at 109; compare Fenwick's Case, 13 How. St. Tr., at
596 (Sloane), with id., at 602 (Musgrave). Many who expressed this
view acknowledged that it meant the statutes were in derogation of the
common law. See King v. Eriswell, 3 T. R. 707, 710, 100 Eng.
Rep. 815, 817 (K. B. 1790) (Grose, J.) (dicta); id., at 722-723,
100 Eng. Rep., at 823-824 (Kenyon, C. J.) (same); compare 1 Gilbert,
Evidence, at 215 (admissible only "by Force 'of the Statute'"), with
id., at 65. Nevertheless, by 1791 (the year the
Sixth
Amendment was ratified), courts were applying the
cross-examination rule even to examinations by justices of the peace in
felony cases. See King v. [*20] Dingler, 2 Leach 561,
562-563, 168 Eng. Rep. 383, 383-384 (1791); King v. Woodcock,
1 Leach 500, 502-504, 168 Eng. Rep. 352, 353 (1789); cf. King v.
Radbourne, 1 Leach 457, 459-461, 168 Eng. Rep. 330, 331-332 (1787); 3
Wigmore § 1364, at 23. Early 19th-century treatises confirm that
requirement. See 1 T. Starkie, Evidence 95 (1826); 2 id., at
484-492; T. Peake, Evidence 63-64 (3d ed. 1808). When Parliament amended
the statutes in 1848 to make the requirement explicit, see 11 & 12 Vict.,
c. 42, § 17, the change merely "introduced in terms" what was already
afforded the defendant "by the equitable construction of the law."
Queen v. Beeston, 29 Eng. L. & Eq. R. 527, 529 (Ct. Crim. App.
1854) (Jervis, C. J.). n2
- - - - - - - - - - - - - - Footnotes - - - - - - - - - - - - - - -
n2 There is some question whether the requirement of a prior opportunity
for cross-examination applied as well to statements taken by a coroner,
which were also authorized by the Marian statutes. See 3 Wigmore § 1364,
at 23 (requirement "never came to be conceded at all in England"); T.
Peake, Evidence 64, n. (m) (3d ed. 1808) (not finding the point
"expressly decided in any reported case");
State v.
Houser, 26 Mo. 431, 436 (1858) ("there may be a few cases . . .
but the authority of such cases is questioned, even in [England], by their
ablest writers on common law"); State v. Campbell, 30 S.C.L.
124 (1844) (point "has not . . . been plainly adjudged, even in the
English cases"). Whatever the English rule, several early American
authorities flatly rejected any special status for coroner statements. See
Houser,
supra, at 436; Campbell, supra, at 130; T. Cooley,
Constitutional Limitations *318.
- - - - - - - - - - - - End Footnotes- - - - - - - - - - - - - - [*21]
B
Controversial examination practices were also used in the Colonies. Early
in the 18th century, for example, the Virginia Council protested against
the Governor for having "privately issued several commissions to examine
witnesses against particular men ex parte," complaining that "the
person accused is not admitted to be confronted with, or defend himself
against his defamers." A Memorial Concerning the Maladministrations of His
Excellency Francis Nicholson, reprinted in 9 English Historical Documents
253, 257 (D. Douglas ed. 1955). A decade before the Revolution, England
gave jurisdiction over Stamp Act offenses to the admiralty courts, which
followed civil-law rather than common-law procedures and thus routinely
took testimony by deposition or private judicial examination. See 5 Geo.
3, c. 12, § 57 (1765); Pollitt, The Right of Confrontation: Its History
and Modern Dress, 8 J. Pub. L. 381, 396-397 (1959). Colonial
representatives protested that the Act subverted their rights "by
extending the jurisdiction of the courts of admiralty beyond its ancient
limits." Resolutions of the Stamp Act Congress § 8th (Oct. 19, 1765),
reprinted in Sources of Our [*22] Liberties 270, 271 (R. Perry & J.
Cooper eds. 1959). John Adams, defending a merchant in a high-profile
admiralty case, argued: "Examinations of witnesses upon Interrogatories,
are only by the Civil Law. Interrogatories are unknown at common Law, and
Englishmen and common Lawyers have an aversion to them if not an
Abhorrence of them." Draft of Argument in Sewall v. Hancock
(1768-1769), in 2 Legal Papers of John Adams 194, 207 (K. Wroth & H. Zobel
eds. 1965).
Many declarations of rights adopted around the time of the Revolution
guaranteed a right of confrontation. See Virginia Declaration of Rights §
8 (1776); Pennsylvania Declaration of Rights § IX (1776); Delaware
Declaration of Rights § 14 (1776); Maryland Declaration of Rights § XIX
(1776); North Carolina Declaration of Rights § VII (1776); Vermont
Declaration of Rights Ch. I, § X (1777); Massachusetts Declaration of
Rights § XII (1780); New Hampshire Bill of Rights § XV (1783), all
reprinted in 1 B. Schwartz, The Bill of Rights: A Documentary History 235,
265, 278, 282, 287, 323, 342, 377 (1971). The proposed Federal
Constitution, however, did not. At the Massachusetts ratifying convention,
Abraham Holmes objected [*23] to this omission precisely on the ground
that it would lead to civil-law practices: "The mode of trial is
altogether indetermined; . . . whether [the defendant] is to be allowed to
confront the witnesses, and have the advantage of cross-examination, we
are not yet told . . . . We shall find Congress possessed of powers
enabling them to institute judicatories little less inauspicious than a
certain tribunal in Spain, . . . the Inquisition." 2 Debates on the
Federal Constitution 110-111 (J. Elliot 2d ed. 1863). Similarly, a
prominent Antifederalist writing under the pseudonym Federal Farmer
criticized the use of "written evidence" while objecting to the omission
of a vicinage right: "Nothing can be more essential than the cross
examining [of] witnesses, and generally before the triers of the facts in
question . . . . Written evidence . . . [is] almost useless; it must be
frequently taken ex parte, and but very seldom leads to the proper
discovery of truth." R. Lee, Letter IV by the Federal Farmer (Oct. 15,
1787), reprinted in 1 Schwartz, supra, at 469, 473. The First
Congress responded by including the
Confrontation Clause in the proposal that became the
Sixth
Amendment. [*24]
Early state decisions shed light upon the original understanding of the
common-law right.
State v. Webb, 2 N.
C. 103 (1794) (per curiam), decided a mere three years
after the adoption of the
Sixth
Amendment, held that depositions could be read against an accused
only if they were taken in his presence. Rejecting a broader reading of
the English authorities, the court held: "It is a rule of the common law,
founded on natural justice, that no man shall be prejudiced by evidence
which he had not the liberty to cross examine."
Id., at 104.
Similarly, in State v. Campbell, 30 S.C.L. 124 (1844), South
Carolina's highest law court excluded a deposition taken by a coroner in
the absence of the accused. It held: "If we are to decide the question by
the established rules of the common law, there could not be a dissenting
voice. For, notwithstanding the death of the witness, and whatever the
respectability of the court taking the depositions, the solemnity of the
occasion and the weight of the testimony, such depositions are ex parte,
and, therefore, utterly incompetent." Id., at 125. The court said
that one of [*25] the "indispensable conditions" implicitly guaranteed
by the State Constitution was that "prosecutions be carried on to the
conviction of the accused, by witnesses confronted by him, and subjected
to his personal examination." Ibid.
Many other decisions are to the same effect. Some early cases went so far
as to hold that prior testimony was inadmissible in criminal cases even
if the accused had a previous opportunity to cross-examine. See
Finn v.
Commonwealth, 26 Va. 701, 708 (1827);
State v. Atkins, 1
Tenn. 229 (1807) (per curiam). Most courts rejected that
view, but only after reaffirming that admissibility depended on a prior
opportunity for cross-examination. See
United States v. Macomb, 26 F. Cas. 1132, 1133, F. Cas. No. 15702 (No.
15,702) (CC Ill. 1851);
State v.
Houser, 26 Mo. 431, 435-436 (1858);
Kendrick
v. State, 29 Tenn. 479, 485-488 (1850);
Bostick
v. State, 22 Tenn. 344, 345-346 (1842);
Commonwealth v. Richards, 35 Mass. 434, 437, 18 Pick. 434 (1837);
State v. Hill, 20 S.C.L. 607, 608-610 (S. C. 1835);
Johnston v.
State, 10 Tenn. 58, 59 (1821). [*26] Nineteenth-century
treatises confirm the rule. See 1 J. Bishop, Criminal Procedure § 1093, p.
689 (2d ed. 1872); T. Cooley, Constitutional Limitations *318.
III
This history supports two inferences about the meaning of the
Sixth
Amendment.
A
First, the principal evil at which the
Confrontation Clause was directed was the civil-law mode of
criminal procedure, and particularly its use of ex parte
examinations as evidence against the accused. It was these practices that
the Crown deployed in notorious treason cases like Raleigh's; that the
Marian statutes invited; that English law's assertion of a right to
confrontation was meant to prohibit; and that the founding-era rhetoric
decried. The
Sixth
Amendment must be interpreted with this focus in mind.
Accordingly, we once again reject the view that the
Confrontation Clause applies of its own force only to in-court
testimony, and that its application to out-of-court statements introduced
at trial depends upon "the law of Evidence for the time being." 3 Wigmore
§ 1397, at 101; accord,
Dutton v.
Evans, 400 U.S. 74, 94, 27 L. Ed. 2d 213, 91 S. Ct. 210 (1970)
(Harlan, J., concurring in result). Leaving the regulation of out-of-court
statements [*27] to the law of evidence would render the
Confrontation Clause powerless to prevent even the most flagrant
inquisitorial practices. Raleigh was, after all, perfectly free to
confront those who read Cobham's confession in court.
This focus also suggests that not all hearsay implicates the
Sixth
Amendment's core concerns. An off-hand, overheard remark might be
unreliable evidence and thus a good candidate for exclusion under hearsay
rules, but it bears little resemblance to the civil-law abuses the
Confrontation Clause targeted. On the other hand, ex parte
examinations might sometimes be admissible under modern hearsay rules, but
the Framers certainly would not have condoned them.
The text of the
Confrontation Clause reflects this focus. It applies to
"witnesses" against the accused -- in other words, those who "bear
testimony." 1 N. Webster, An American Dictionary of the English Language
(1828). "Testimony," in turn, is typically "[a] solemn declaration or
affirmation made for the purpose of establishing or proving some fact."
Ibid. An accuser who makes a formal statement to government officers
bears testimony in a sense that a person who makes a casual remark to an
acquaintance [*28] does not. The constitutional text, like the history
underlying the common-law right of confrontation, thus reflects an
especially acute concern with a specific type of out-of-court statement.
Various formulations of this core class of "testimonial" statements exist:
"ex parte in-court testimony or its functional equivalent -- that
is, material such as affidavits, custodial examinations, prior testimony
that the defendant was unable to cross-examine, or similar pretrial
statements that declarants would reasonably expect to be used
prosecutorially," Brief for Petitioner 23; "extrajudicial statements . . .
contained in formalized testimonial materials, such as affidavits,
depositions, prior testimony, or confessions,"
White v.
Illinois, 502 U.S. 346, 365, 116 L. Ed. 2d 848, 112 S. Ct. 736 (1992)
(THOMAS, J., joined by SCALIA, J., concurring in part and concurring in
judgment); "statements that were made under circumstances which would lead
an objective witness reasonably to believe that the statement would be
available for use at a later trial," Brief for National Association of
Criminal Defense Lawyers et al. as Amici Curiae 3. These
formulations all share a common nucleus and then define [*29] the
Clause's coverage at various levels of abstraction around it. Regardless
of the precise articulation, some statements qualify under any definition
-- for example, ex parte testimony at a preliminary hearing.
Statements taken by police officers in the course of interrogations are
also testimonial under even a narrow standard. Police interrogations bear
a striking resemblance to examinations by justices of the peace in
England. The statements are not sworn testimony, but the absence of
oath was not dispositive. Cobham's examination was unsworn, see 1 Jardine,
Criminal Trials, at 430, yet Raleigh's trial has long been thought a
paradigmatic confrontation violation, see, e.g., Campbell,
30 S.C.L., at 130. Under the Marian statutes, witnesses were typically put
on oath, but suspects were not. See 2 Hale, Pleas of the Crown, at 52. Yet
Hawkins and others went out of their way to caution that such unsworn
confessions were not admissible against anyone but the confessor. See
supra, at 8. n3
- - - - - - - - - - - - - - Footnotes - - - - - - - - - - - - - - -
n3 These sources -- especially Raleigh's trial -- refute THE CHIEF
JUSTICE's assertion, post, at 3 (opinion concurring in judgment),
that the right of confrontation was not particularly concerned with
unsworn testimonial statements. But even if, as he claims, a general bar
on unsworn hearsay made application of the
Confrontation Clause to unsworn testimonial statements a moot
point, that would merely change our focus from direct evidence of original
meaning of the
Sixth
Amendment to reasonable inference. We find it implausible that a
provision which concededly condemned trial by sworn ex parte
affidavit thought trial by unsworn ex parte affidavit perfectly OK.
(The claim that unsworn testimony was self-regulating because jurors would
disbelieve it, cf. post, at 2, n. 1, is belied by the very
existence of a general bar on unsworn testimony.) Any attempt to determine
the application of a constitutional provision to a phenomenon that did not
exist at the time of its adoption (here, allegedly, admissible unsworn
testimony) involves some degree of estimation -- what THE CHIEF JUSTICE
calls use of a "proxy," post, at 3 -- but that is hardly a reason
not to make the estimation as accurate as possible. Even if, as THE CHIEF
JUSTICE mistakenly asserts, there were no direct evidence of how the
Sixth
Amendment originally applied to unsworn testimony, there is no
doubt what its application would have been.
- - - - - - - - - - - - End Footnotes- - - - - - - - - - - - - - [*30]
That interrogators are police officers rather than magistrates does not
change the picture either. Justices of the peace conducting examinations
under the Marian statutes were not magistrates as we understand that
office today, but had an essentially investigative and prosecutorial
function. See 1 Stephen, Criminal Law of England, at 221; Langbein,
Prosecuting Crime in the Renaissance, at 34-45. England did not have a
professional police force until the 19th century, see 1 Stephen, supra,
at 194-200, so it is not surprising that other government officers
performed the investigative functions now associated primarily with the
police. The involvement of government officers in the production of
testimonial evidence presents the same risk, whether the officers are
police or justices of the peace.
In sum, even if the
Sixth
Amendment is not solely concerned with testimonial hearsay, that
is its primary object, and interrogations by law enforcement officers fall
squarely within that class. n4
- - - - - - - - - - - - - - Footnotes - - - - - - - - - - - - - - -
n4 We use the term "interrogation" in its colloquial, rather than any
technical legal, sense. Cf.
Rhode
Island v. Innis, 446 U.S. 291, 300-301, 64 L. Ed. 2d 297, 100 S. Ct. 1682
(1980). Just as various definitions of "testimonial" exist, one
can imagine various definitions of "interrogation," and we need not select
among them in this case. Sylvia's recorded statement, knowingly given in
response to structured police questioning, qualifies under any conceivable
definition.
- - - - - - - - - - - - End Footnotes- - - - - - - - - - - - - - [*31]
B
The historical record also supports a second proposition: that the Framers
would not have allowed admission of testimonial statements of a witness
who did not appear at trial unless he was unavailable to testify, and the
defendant had had a prior opportunity for cross-examination. The text of
the
Sixth Amendment does not suggest any open-ended exceptions from
the confrontation requirement to be developed by the courts. Rather, the
"right . . . to be confronted with the witnesses against him,"
Amdt. 6,
is most naturally read as a reference to the right of confrontation at
common law, admitting only those exceptions established at the time of the
founding. See
Mattox v.
United States, 156 U.S. 237, 243, 39 L. Ed. 409, 15 S. Ct. 337 (1895);
cf.
Houser, 26 Mo., at 433-435. As the English authorities above
reveal, the common law in 1791 conditioned admissibility of an absent
witness's examination on unavailability and a prior opportunity to
cross-examine. The
Sixth
Amendment therefore incorporates those limitations. The numerous
early state decisions applying the same test confirm that these principles
were received as part of the common law in this country. n5
- - - - - - - - - - - - - - Footnotes - - - - - - - - - - - - - - -
n5 THE CHIEF JUSTICE claims that English law's treatment of testimonial
statements was inconsistent at the time of the framing, post, at
4-5, but the examples he cites relate to examinations under the Marian
statutes. As we have explained, to the extent Marian examinations were
admissible, it was only because the statutes derogated from the
common law. See supra, at 10. Moreover, by 1791 even the
statutory-derogation view had been rejected with respect to
justice-of-the-peace examinations -- explicitly in King v.
Woodcock, 1 Leach 500, 502-504, 168 Eng. Rep. 352, 353 (1789), and
King v. Dingler, 2 Leach 561, 562-563, 168 Eng. Rep. 383,
383-384 (1791), and by implication in King v. Radbourne, 1
Leach 457, 459-461, 168 Eng. Rep. 330, 331-332 (1787).
None of THE CHIEF JUSTICE's citations proves otherwise. King v.
Westbeer, 1 Leach 12, 168 Eng. Rep. 108 (1739), was decided a
half-century earlier and cannot be taken as an accurate statement of the
law in 1791 given the directly contrary holdings of Woodcock and
Dingler. Hale's treatise is older still, and far more ambiguous on
this point, see 1 M. Hale, Pleas of the Crown 585-586 (1736); some who
espoused the requirement of a prior opportunity for cross-examination
thought it entirely consistent with Hale's views. See Fenwick's Case,
13 How. St. Tr. 537, 602 (H. C. 1696) (Musgrave). The only timely
authority THE CHIEF JUSTICE cites is King v. Eriswell, 3 T.
R. 707, 100 Eng. Rep. 815 (K. B. 1790), but even that decision provides no
substantial support. Eriswell was not a criminal case at all, but a
Crown suit against the inhabitants of a town to charge them with care of
an insane pauper. Id., at 707-708, 100 Eng. Rep., at 815-816. It is
relevant only because the judges discuss the Marian statutes in dicta. One
of them, Buller, J., defended admission of the pauper's statement of
residence on the basis of authorities that purportedly held ex parte
Marian examinations admissible. Id., at 713-714, 100 Eng. Rep.,
at 819. As evidence writers were quick to point out, however, his
authorities said no such thing. See Peake, Evidence, at 64, n. (m)
("Mr. J. Buller is reported to have said that it was so settled in 1 Lev.
180, and Kel. 55; certainly nothing of the kind appears in those books");
2 T. Starkie, Evidence 487-488, n. (c) (1826) ("Buller, J. . . .
refers to Radbourne's case . . .; but in that case the deposition
was taken in the hearing of the prisoner, and of course the question did
not arise" (citation omitted)). Two other judges, Grose, J., and Kenyon,
C. J., responded to Buller's argument by distinguishing Marian
examinations as a statutory exception to the common-law rule, but the
context and tenor of their remarks suggest they merely assumed the
accuracy of Buller's premise without independent consideration, at least
with respect to examinations by justices of the peace. See 3 T. R., at
710, 100 Eng. Rep., at 817 (Grose, J.); id., at 722-723, 100 Eng.
Rep., at 823-824 (Kenyon, C. J.). In fact, the case reporter specifically
notes in a footnote that their assumption was erroneous. See id.,
at 710, n. (c), 100 Eng. Rep., at 817, n. (c). Notably,
Buller's position on pauper examinations was resoundingly rejected only a
decade later in King v. Ferry Frystone, 2 East 54, 55, 102
Eng. Rep. 289 (K. B. 1801) ("The point . . . has been since considered to
be so clear against the admissibility of the evidence . . . that it was
abandoned by the counsel . . . without argument"), further suggesting that
his views on evidence were not mainstream at the time of the framing.
In short, none of THE CHIEF JUSTICE's sources shows that the law in 1791
was unsettled even as to examinations by justices of the peace under
the Marian statutes. More importantly, however, even if the statutory
rule in 1791 were in doubt, the numerous early state-court decisions make
abundantly clear that the
Sixth
Amendment incorporated the common-law right of
confrontation and not any exceptions the Marian statutes supposedly carved
out from it. See supra, at 13-14; see also supra, at 11, n.
2 (coroner statements). The common-law rule had been settled since
Paine in 1696. See King v. Paine, 5 Mod. 163, 165, 87
Eng. Rep. 584, 585 (K. B.).
- - - - - - - - - - - - End Footnotes- - - - - - - - - - - - - - [*32]
We do not read the historical sources to say that a prior opportunity to
cross-examine was merely a sufficient, rather than a necessary, condition
for admissibility of testimonial statements. They suggest that this
requirement was dispositive, and not merely one of several ways to
establish reliability. This is not to deny, as THE CHIEF JUSTICE notes,
that "there were always exceptions to the general rule of exclusion" of
hearsay evidence. Post, at 5. Several had become well established
by 1791. See 3 Wigmore § 1397, at 101; Brief for United States as
Amicus Curiae 13, n. 5. But there is scant evidence that exceptions
were invoked to admit testimonial statements against the accused in
a criminal case. n6 Most of the hearsay exceptions covered
statements that by their nature were not testimonial -- for example,
business records or statements in furtherance of a conspiracy. We do not
infer from these that the Framers thought exceptions would apply even to
prior testimony. Cf.
Lilly v.
Virginia, 527 U.S. 116, 134, 144 L. Ed. 2d 117, 119 S. Ct. 1887 (1999)
(plurality opinion) ("Accomplices' confessions that inculpate a criminal
defendant are not within a firmly rooted exception to [*33] the hearsay
rule"). n7
- - - - - - - - - - - - - - Footnotes - - - - - - - - - - - - - - -
n6 The one deviation we have found involves dying declarations. The
existence of that exception as a general rule of criminal hearsay law
cannot be disputed. See, e.g.,
Mattox v.
United States, 156 U.S. 237, 243-244, 39 L. Ed. 409, 15 S. Ct. 337 (1895);
King v. Reason, 16 How. St. Tr. 1, 24-38 (K. B. 1722); 1 D.
Jardine, Criminal Trials 435 (1832); Cooley, Constitutional Limitations,
at *318; 1 G. Gilbert, Evidence 211 (C. Lofft ed. 1791); see also F.
Heller, The
Sixth
Amendment 105 (1951) (asserting that this was the only
recognized criminal hearsay exception at common law). Although many dying
declarations may not be testimonial, there is authority for admitting even
those that clearly are. See Woodcock, supra, at 501-504, 168
Eng. Rep., at 353-354; Reason, supra, at 24-38; Peake,
Evidence, at 64; cf. Radbourne, supra, at 460-462, 168 Eng.
Rep., at 332-333. We need not decide in this case whether the
Sixth
Amendment incorporates an exception for testimonial dying
declarations. If this exception must be accepted on historical grounds, it
is sui generis. [*34]
n7 We cannot agree with THE CHIEF JUSTICE that the fact "that a statement
might be testimonial does nothing to undermine the wisdom of one of these
[hearsay] exceptions." Post, at 6. Involvement of government
officers in the production of testimony with an eye toward trial presents
unique potential for prosecutorial abuse -- a fact borne out time and
again throughout a history with which the Framers were keenly familiar.
This consideration does not evaporate when testimony happens to fall
within some broad, modern hearsay exception, even if that exception might
be justifiable in other circumstances.
- - - - - - - - - - - - End Footnotes- - - - - - - - - - - - - -
IV
Our case law has been largely consistent with these two principles. Our
leading early decision, for example, involved a deceased witness's prior
trial testimony.
Mattox v. United
States, 156 U.S. 237, 39 L. Ed. 409, 15 S. Ct. 337 (1895). In
allowing the statement to be admitted, we relied on the fact that the
defendant had had, at the first trial, an adequate opportunity to confront
the witness: "The substance of the constitutional protection is preserved
to the prisoner in the advantage he has once [*35] had of seeing the
witness face to face, and of subjecting him to the ordeal of a
cross-examination. This, the law says, he shall under no circumstances be
deprived of . . . ."
Id., at
244, 39 L. Ed. 409, 15 S. Ct. 337.
Our later cases conform to Mattox's holding that prior trial or
preliminary hearing testimony is admissible only if the defendant had an
adequate opportunity to cross-examine. See
Mancusi
v. Stubbs, 408 U.S. 204, 213-216, 33 L. Ed. 2d 293, 92 S. Ct. 2308 (1972);
California v. Green, 399 U.S. 149, 165-168, 26 L. Ed. 2d 489, 90 S. Ct.
1930 (1970);
Pointer
v. Texas, 380 U.S., at 406-408, 13 L. Ed. 2d 923, 85 S. Ct. 1064;
cf.
Kirby v. United States, 174 U.S. 47, 55-61, 43 L. Ed. 890, 19 S. Ct. 574
(1899). Even where the defendant had such an opportunity, we
excluded the testimony where the government had not established
unavailability of the witness. See
Barber v.
Page, 390 U.S. 719, 722-725, 20 L. Ed. 2d 255, 88 S. Ct. 1318 (1968);
cf.
Motes v. United States, 178 U.S. 458, 470-471, 44 L. Ed. 1150, 20 S. Ct.
993 (1900). We similarly excluded accomplice confessions where the
defendant had no opportunity to cross-examine. See
Roberts
v. Russell, 392 U.S. 293, 294-295, 20 L. Ed. 2d 1100, 88 S. Ct. 1921
(1968) (per curiam);
Bruton v.
United States, 391 U.S. 123, 126-128, 20 L. Ed. 2d 476, 88 S. Ct. 1620
(1968); [*36]
Douglas
v. Alabama, 380 U.S. 415, 418-420, 13 L. Ed. 2d 934, 85 S. Ct. 1074 (1965).
In contrast, we considered reliability factors beyond prior opportunity
for cross-examination when the hearsay statement at issue was not
testimonial. See
Dutton v.
Evans, 400 U.S., at 87-89, 27 L. Ed. 2d213, 91 S. Ct. 210
(plurality opinion).
Even our recent cases, in their outcomes, hew closely to the traditional
line.
Ohio v. Roberts, 448 U.S., at 67-70, 65 L. Ed. 2d 597, 100 S. Ct. 2531,
admitted testimony from a preliminary hearing at which the defendant had
examined the witness.
Lilly v. Virginia,
supra, 527 U.S. 116, 144 L. Ed. 2d 117, 119 S. Ct. 1887, excluded
testimonial statements that the defendant had had no opportunity to test
by cross-examination. And
Bourjaily
v. United States, 483 U.S. 171, 181-184, 97 L. Ed. 2d 144, 107 S. Ct. 2775
(1987), admitted statements made unwittingly to an FBI informant
after applying a more general test that did not make prior
cross-examination an indispensable requirement. n8
- - - - - - - - - - - - - - Footnotes - - - - - - - - - - - - - - -
n8 One case arguably in tension with the rule requiring a prior
opportunity for cross-examination when the proffered statement is
testimonial is
White v. Illinois, 502 U.S. 346, 116 L. Ed. 2d 848, 112 S. Ct. 736 (1992),
which involved, inter alia, statements of a child victim to an
investigating police officer admitted as spontaneous declarations.
Id., at
349-35, 1116 L. Ed. 2d 848, 112 S. Ct. 736. It is questionable
whether testimonial statements would ever have been admissible on that
ground in 1791; to the extent the hearsay exception for spontaneous
declarations existed at all, it required that the statements be made
"immediately upon the hurt received, and before [the declarant] had time
to devise or contrive any thing for her own advantage." Thompson v.
Trevanion, Skin. 402, 90 Eng. Rep. 179 (K. B. 1694). In any case,
the only question presented in White was whether the
Confrontation Clause imposed an unavailability requirement on the
types of hearsay at issue. See
502 U.S.,
at 348-349, 116 L. Ed. 2d 848, 112 S. Ct. 736. The holding did not
address the question whether certain of the statements, because they were
testimonial, had to be excluded even if the witness was
unavailable. We "[took] as a given . . . that the testimony properly falls
within the relevant hearsay exceptions."
Id., at
351, n. 4, 116 L. Ed. 2d 848, 112 S. Ct. 736.
- - - - - - - - - - - - End Footnotes- - - - - - - - - - - - - - [*37]
Lee v.
Illinois, 476 U.S. 530, 90 L. Ed. 2d 514, 106 S. Ct. 2056 (1986),
on which the State relies, is not to the contrary. There, we rejected
the State's attempt to admit an accomplice confession. The State had
argued that the confession was admissible because it "interlocked" with
the defendant's. We dealt with the argument by rejecting its premise,
holding that "when the discrepancies between the statements are not
insignificant, the codefendant's confession may not be admitted."
Id., at
545, 90 L. Ed. 2d 514, 106 S. Ct. 2056. Respondent argues that
"the logical inference of this statement is that when the discrepancies
between the statements are insignificant, then the codefendant's
statement may be admitted." Brief for Respondent 6. But this is
merely a possible inference, not an inevitable one, and we do not draw it
here. If Lee had meant authoritatively to announce an exception --
previously unknown to this Court's jurisprudence -- for interlocking
confessions, it would not have done so in such an oblique manner. Our only
precedent on interlocking confessions had addressed the entirely different
question whether a limiting instruction cured prejudice to codefendants
from admitting a defendant's [*38] own confession against him in
a joint trial. See
Parker v.
Randolph, 442 U.S. 62, 69-76, 60 L. Ed. 2d 713, 99 S. Ct. 2132 (1979)
(plurality opinion), abrogated by
Cruz v. New York,
481 U.S. 186, 95 L. Ed. 2d 162, 107 S. Ct. 1714 (1987).
Our cases have thus remained faithful to the Framers' understanding:
Testimonial statements of witnesses absent from trial have been admitted
only where the declarant is unavailable, and only where the defendant has
had a prior opportunity to cross-examine. n9
- - - - - - - - - - - - - - Footnotes - - - - - - - - - - - - - - -
n9 THE CHIEF JUSTICE complains that our prior decisions have "never drawn
a distinction" like the one we now draw, citing in particular
Mattox v. United
States, 156 U.S. 237, 39 L. Ed. 409, 15 S. Ct. 337 (1895),
Kirby v. United
States, 174 U.S. 47, 43 L. Ed. 890, 19 S. Ct. 574 (1899), and
United States
v. Burr, 25 F. Cas. 187, F. Cas. No. 14694 (No. 14,694) (CC Va.
1807) (Marshall, C. J.). Post, at 4-6. But nothing in these cases
contradicts our holding in any way. Mattox and Kirby allowed
or excluded evidence depending on whether the defendant had had an
opportunity for cross-examination.
Mattox,
supra, at 242-244, 39 L. Ed. 409, 15 S. Ct. 337;
Kirby,
supra, at 55-61, 43 L. Ed. 890, 19 S. Ct. 574. That the two cases
did not extrapolate a more general class of evidence to which that
criterion applied does not prevent us from doing so now. As to Burr,
we disagree with THE CHIEF JUSTICE's reading of the case. Although Chief
Justice Marshall made one passing reference to the
Confrontation Clause, the case was fundamentally about the hearsay
rules governing statements in furtherance of a conspiracy. The "principle
so truly important" on which "inroads" had been introduced was the "rule
of evidence which rejects mere hearsay testimony." See
25 F.
Cas., at 193. Nothing in the opinion concedes exceptions to the
Confrontation Clause's exclusion of testimonial statements as we
use the term. THE CHIEF JUSTICE fails to identify a single case (aside
from one minor, arguable exception, see supra, at 22, n. 8), where
we have admitted testimonial statements based on indicia of reliability
other than a prior opportunity for cross-examination. If nothing else, the
test we announce is an empirically accurate explanation of the results our
cases have reached.
Finally, we reiterate that, when the declarant appears for
cross-examination at trial, the
Confrontation Clause places no constraints at all on the use of
his prior testimonial statements. See
California v. Green, 399 U.S. 149, 162, 26 L. Ed. 2d 489, 90 S. Ct. 1930
(1970). It is therefore irrelevant that the reliability of some
out-of-court statements "'cannot be replicated, even if the declarant
testifies to the same matters in court.'" Post, at 6 (quoting
United
States v. Inadi, 475 U.S. 387, 395, 89 L. Ed. 2d 390, 106 S. Ct. 1121
(1986)). The Clause does not bar admission of a statement so long
as the declarant is present at trial to defend or explain it. (The Clause
also does not bar the use of testimonial statements for purposes other
than establishing the truth of the matter asserted. See
Tennessee
v. Street, 471 U.S. 409, 414, 85 L. Ed. 2d 425, 105 S. Ct. 2078 (1985).)
- - - - - - - - - - - - End Footnotes- - - - - - - - - - - - - - [*39]
V
Although the results of our decisions have generally been faithful to the
original meaning of the
Confrontation Clause, the same cannot be said of our rationales.
Roberts conditions the admissibility of all hearsay evidence on
whether it falls under a "firmly rooted hearsay exception" or bears
"particularized guarantees of trustworthiness."
448 U.S.,
at 66, 65 L. Ed. 2d 597, 100 S. Ct. 2531. This test departs from
the historical principles identified above in two respects. First, it is
too broad: It applies the same mode of analysis whether or not the hearsay
consists of ex parte testimony. This often results in close
constitutional scrutiny in cases that are far removed from the core
concerns of the Clause. At the same time, however, the test is too narrow:
It admits statements that do consist of ex parte testimony
upon a mere finding of reliability. This malleable standard often fails to
protect against paradigmatic confrontation violations.
Members of this Court and academics have suggested that we revise our
doctrine to reflect more accurately the original understanding of the
Clause. See, e.g.,
Lilly,
527 U.S., at 140-143, 144 L. Ed. 2d 117, 119 S. Ct 1887 (BREYER,
J., concurring);
White,
502 U.S., at 366, 116 L. Ed. 2d 848, 112 S. Ct. 736 [*40]
(THOMAS, J., joined by SCALIA, J., concurring in part and concurring in
judgment); A. Amar, The Constitution and Criminal Procedure 125-131
(1997); Friedman, Confrontation: The Search for Basic Principles,
86 Geo. L.
J. 1011 (1998). They offer two proposals: First, that we apply the
Confrontation Clause only to testimonial statements, leaving the
remainder to regulation by hearsay law -- thus eliminating the overbreadth
referred to above. Second, that we impose an absolute bar to statements
that are testimonial, absent a prior opportunity to cross-examine -- thus
eliminating the excessive narrowness referred to above.
In White, we considered the first proposal and rejected it.
502 U.S.,
at 352-353, 116 L. Ed. 2d 848, 112 S. Ct. 736. Although our
analysis in this case casts doubt on that holding, we need not
definitively resolve whether it survives our decision today, because
Sylvia Crawford's statement is testimonial under any definition. This case
does, however, squarely implicate the second proposal.
A
Where testimonial statements are involved, we do not think the Framers
meant to leave the
Sixth
Amendment's protection to the vagaries of the rules of evidence,
much less to amorphous [*41] notions of "reliability." Certainly none of
the authorities discussed above acknowledges any general reliability
exception to the common-law rule. Admitting statements deemed reliable by
a judge is fundamentally at odds with the right of confrontation. To be
sure, the Clause's ultimate goal is to ensure reliability of evidence, but
it is a procedural rather than a substantive guarantee. It commands, not
that evidence be reliable, but that reliability be assessed in a
particular manner: by testing in the crucible of cross-examination. The
Clause thus reflects a judgment, not only about the desirability of
reliable evidence (a point on which there could be little dissent), but
about how reliability can best be determined. Cf. 3 Blackstone,
Commentaries, at 373 ("This open examination of witnesses . . . is much
more conducive to the clearing up of truth"); M. Hale, History and
Analysis of the Common Law of England 258 (1713) (adversarial testing
"beats and bolts out the Truth much better").
The Roberts
test allows a jury to hear evidence, untested by the adversary process,
based on a mere judicial determination of reliability. It thus replaces
the constitutionally prescribed method [*42] of assessing reliability
with a wholly foreign one. In this respect, it is very different from
exceptions to the
Confrontation Clause that make no claim to be a surrogate means of
assessing reliability. For example, the rule of forfeiture by wrongdoing
(which we accept) extinguishes confrontation claims on essentially
equitable grounds; it does not purport to be an alternative means of
determining reliability. See
Reynolds
v. United States, 98 U.S. 145, 158-159, 25 L. Ed. 244 (1879).
The Raleigh trial itself involved the very sorts of reliability
determinations that Roberts authorizes. In the face of Raleigh's
repeated demands for confrontation, the prosecution responded with many of
the arguments a court applying Roberts might invoke today: that
Cobham's statements were self-inculpatory, 2 How. St. Tr., at 19, that
they were not made in the heat of passion, id., at 14, and that
they were not "extracted from [him] upon any hopes or promise of Pardon,"
id., at 29. It is not plausible that the Framers' only objection to
the trial was that Raleigh's judges did not properly weigh these factors
before sentencing him to death. [*43] Rather, the problem was that the
judges refused to allow Raleigh to confront Cobham in court, where he
could cross-examine him and try to expose his accusation as a lie.
Dispensing with confrontation because testimony is obviously reliable is
akin to dispensing with jury trial because a defendant is obviously
guilty. This is not what the
Sixth
Amendment prescribes.
B
The legacy of
Roberts in other courts vindicates the Framers' wisdom in
rejecting a general reliability exception. The framework is so
unpredictable that it fails to provide meaningful protection from even
core confrontation violations.
Reliability is an amorphous, if not entirely subjective, concept. There
are countless factors bearing on whether a statement is reliable; the
nine-factor balancing test applied by the Court of Appeals below is
representative. See, e.g.,
People v.
Farrell, 34 P. 3d 401, 406-407 (Colo. 2001) (eight-factor test).
Whether a statement is deemed reliable depends heavily on which factors
the judge considers and how much weight he accords each of them. Some
courts wind up attaching the same significance to opposite facts. For
example, the Colorado Supreme Court [*44] held a statement more reliable
because its inculpation of the defendant was "detailed,"
id., at
407, while the Fourth Circuit found a statement more reliable
because the portion implicating another was "fleeting,"
United
States v. Photogrammetric Data Servs., Inc., 259 F.3d 229, 245 (2001).
The Virginia Court of Appeals found a statement more reliable because the
witness was in custody and charged with a crime (thus making the statement
more obviously against her penal interest), see
Nowlin v. Commonwealth, 40 Va. App. 327, 335-338, 579 S. E. 2d 367,
371-372 (2003), while the Wisconsin Court of Appeals found a
statement more reliable because the witness was not in custody and
not a suspect, see
State v.
Bintz, 2002 WI App. 204, P13, 257 Wis. 2d 177, 187, 650 N.W.2d 913, 918.
Finally, the Colorado Supreme Court in one case found a statement more
reliable because it was given "immediately after" the events at issue,
Farrell,
supra, at 407, while that same court, in another case, found a
statement more reliable because two years had elapsed,
Stevens v.
People, 29 P. 3d 305, 316 (2001). [*45]
The unpardonable vice of the
Roberts test, however, is not its unpredictability, but its
demonstrated capacity to admit core testimonial statements that the
Confrontation Clause plainly meant to exclude. Despite the
plurality's speculation in
Lilly,
527 U.S., at 137, 144 L. Ed. 2d 117, 119 S. Ct. 1887, that it was
"highly unlikely" that accomplice confessions implicating the accused
could survive Roberts, courts continue routinely to admit them. See
Photogrammetric Data Servs., supra, at 245-246;
Farrell,
supra, at 406-408;
Stevens,
supra, at 314-318;
Taylor
v. Commonwealth, 63 S. W. 3d 151, 166-168 (Ky. 2001);
State v.
Hawkins, 2002 Ohio 7347, No. 2001-P-0060, 2002 WL 31895118, PP34-37, *6
(Ohio App., Dec. 31, 2002);
Bintz, supra,
PP7-14, 257 Wis. 2d, at 183-188, 650 N. W. 2d, at 916-918;
People v.
Lawrence, 55 P. 3d 155, 160-161 (Colo. App. 2001);
State v. Jones, 171 Ore. App. 375, 387-391, 15 P. 3d 616, 623-625 (2000);
State v. Marshall, 136 Ohio App. 3d 742, 747-748, 737 N.E.2d 1005, 1009
(2000);
People v. Schutte, 240 Mich. App. 713, 718-721, 613 N.W.2d 370, 376-377
(2000); [*46]
People v. Thomas, 313 Ill. App. 3d 998, 1005-1007, 730 N.E.2d 618,
625-626, 246 Ill. Dec. 593 (2000); cf.
Nowlin, supra, at 335-338, 579 S. E. 2d, at 371-372 (witness
confessed to a related crime);
People v. Campbell, 309 Ill. App. 3d 423, 431-432, 721 N.E.2d 1225, 1230,
242 Ill. Dec. 694 (1999) (same). One recent study found that,
after Lilly, appellate courts admitted accomplice statements to the
authorities in 25 out of 70 cases -- more than one-third of the time.
Kirst, Appellate Court Answers to the Confrontation Questions in Lilly
v. Virginia,
53 Syracuse L. Rev. 87, 105 (2003). Courts have invoked Roberts
to admit other sorts of plainly testimonial statements despite the absence
of any opportunity to cross-examine. See
United
States v. Aguilar, 295 F.3d 1018, 1021-1023 (CA9 2002) (plea
allocution showing existence of a conspiracy);
United
States v. Centracchio, 265 F.3d 518, 527-530 (CA7 2001) (same);
United
States v. Dolah, 245 F.3d 98, 104-105 (CA2 2001) (same);
United
States v. Petrillo, 237 F.3d 119, 122-123 (CA2 2000) (same);
United
States v. Moskowitz, 215 F.3d 265, 268-269 (CA2 2000) [*47]
(same);
United
States v. Gallego, 191 F.3d 156, 166-168 (CA2 1999) (same);
United
States v. Papajohn, 212 F.3d 1112, 1118-1120 (CA8 2000) (grand
jury testimony);
United States v. Thomas, 30 Fed. Appx. 277, 279 (CA4 2002) (same);
Bintz,
supra, PP15-22, 257 Wis. 2d, at 188-191, 650 N. W. 2d, at 918-920
(prior trial testimony);
State v. McNeill, 140 N. C. App. 450, 457-460, 537 S. E. 2d 518, 523-524
(2000) (same).
To add insult to injury, some of the courts that admit untested
testimonial statements find reliability in the very factors that make
the statements testimonial. As noted earlier, one court relied on the
fact that the witness's statement was made to police while in custody on
pending charges -- the theory being that this made the statement more
clearly against penal interest and thus more reliable.
Nowlin, supra, at 335-338, 579 S. E. 2d, at 371-372. Other courts
routinely rely on the fact that a prior statement is given under oath in
judicial proceedings. E.g.,
Gallego,
supra, at 168 (plea allocution);
Papajohn, supra , at 1120 (grand jury testimony). That inculpating
statements are given in a testimonial setting is not an antidote to the
confrontation problem, but rather the trigger that makes the Clause's
demands most urgent. It is not enough to point out that most of the usual
safeguards of the adversary process attend the statement, when the single
safeguard missing is the one the
Confrontation Clause demands.
C
Roberts' failings were on full display in the proceedings below.
Sylvia Crawford made her statement while in police custody, herself a
potential suspect in the case. Indeed, she had been told that whether she
would be released "depended on how the investigation continues." App. 81.
In response to often leading questions from police detectives, she
implicated her husband in Lee's stabbing and at least arguably undermined
his self-defense claim. Despite all this, the trial court admitted her
statement, listing several reasons why it was reliable. In its opinion
reversing, the Court of Appeals listed several other reasons why
the statement was not reliable. Finally, the State Supreme Court
relied exclusively on the interlocking character of the statement and
disregarded every [*49] other factor the lower courts had considered.
The case is thus a self-contained demonstration of Roberts'
unpredictable and inconsistent application.
Each of the courts also made assumptions that cross-examination might well
have undermined. The trial court, for example, stated that Sylvia
Crawford's statement was reliable because she was an eyewitness with
direct knowledge of the events. But Sylvia at one point told the police
that she had "shut [her] eyes and . . . didn't really watch" part of the
fight, and that she was "in shock." App. 134. The trial court also
buttressed its reliability finding by claiming that Sylvia was "being
questioned by law enforcement, and, thus, the [questioner] is . . .
neutral to her and not someone who would be inclined to advance her
interests and shade her version of the truth unfavorably toward the
defendant." Id., at 77. The Framers would be astounded to learn
that ex parte testimony could be admitted against a criminal
defendant because it was elicited by "neutral" government officers. But
even if the court's assessment of the officer's motives was accurate, it
says nothing about Sylvia's perception of her situation. Only
cross-examination [*50] could reveal that.
The State Supreme Court gave dispositive weight to the interlocking nature
of the two statements -- that they were both ambiguous as to when and
whether Lee had a weapon. The court's claim that the two statements were
equally ambiguous is hard to accept. Petitioner's statement is
ambiguous only in the sense that he had lingering doubts about his
recollection: "A. I coulda swore I seen him goin' for somethin' before,
right before everything happened . . . . But I'm not positive." Id.,
at 155. Sylvia's statement, on the other hand, is truly inscrutable, since
the key timing detail was simply assumed in the leading question she was
asked: "Q. Did Kenny do anything to fight back from this assault?" Id.,
at 137. Moreover, Sylvia specifically said Lee had nothing in his hands
after he was stabbed, while petitioner was not asked about that.
The prosecutor obviously did not share the court's view that Sylvia's
statement was ambiguous -- he called it "damning evidence" that
"completely refutes [petitioner's] claim of self-defense." Tr. 468 (Oct.
21, 1999). We have no way of knowing whether the jury agreed with the
prosecutor or the court. Far from obviating [*51] the need for
cross-examination, the "interlocking" ambiguity of the two statements made
it all the more imperative that they be tested to tease out the truth.
We readily concede that we could resolve this case by simply reweighing
the "reliability factors" under Roberts and finding that Sylvia
Crawford's statement falls short. But we view this as one of those rare
cases in which the result below is so improbable that it reveals a
fundamental failure on our part to interpret the Constitution in a way
that secures its intended constraint on judicial discretion. Moreover, to
reverse the Washington Supreme Court's decision after conducting our own
reliability analysis would perpetuate, not avoid, what the
Sixth
Amendment condemns. The Constitution prescribes a procedure for
determining the reliability of testimony in criminal trials, and we, no
less than the state courts, lack authority to replace it with one of our
own devising.
We have no doubt that the courts below were acting in utmost good faith
when they found reliability. The Framers, however, would not have been
content to indulge this assumption. They knew that judges, like other
government officers, could not always be [*52] trusted to safeguard the
rights of the people; the likes of the dread Lord Jeffreys were not yet
too distant a memory. They were loath to leave too much discretion in
judicial hands. Cf.
U.S.
Const., Amdt. 6 (criminal jury trial);
Amdt. 7
(civil jury trial);
Ring v.
Arizona, 536 U.S. 584, 611-612, 153 L. Ed. 2d 556, 122 S. Ct. 2428 (2002)
(SCALIA, J., concurring). By replacing categorical constitutional
guarantees with open-ended balancing tests, we do violence to their
design. Vague standards are manipulable, and, while that might be a small
concern in run-of-the-mill assault prosecutions like this one, the Framers
had an eye toward politically charged cases like Raleigh's -- great state
trials where the impartiality of even those at the highest levels of the
judiciary might not be so clear. It is difficult to imagine Roberts'
providing any meaningful protection in those circumstances.
* * *
Where nontestimonial hearsay is at issue, it is wholly consistent with the
Framers' design to afford the States flexibility in their development of
hearsay law -- as does Roberts, and as would an approach that
exempted such statements from
Confrontation Clause scrutiny altogether. Where testimonial
[*53] evidence is at issue, however, the
Sixth
Amendment demands what the common law required: unavailability and
a prior opportunity for cross-examination. We leave for another day any
effort to spell out a comprehensive definition of "testimonial." n10
Whatever else the term covers, it applies at a minimum to prior testimony
at a preliminary hearing, before a grand jury, or at a former trial; and
to police interrogations. These are the modern practices with closest
kinship to the abuses at which the
Confrontation Clause was directed.
- - - - - - - - - - - - - - Footnotes - - - - - - - - - - - - - - -
n10 We acknowledge THE CHIEF JUSTICE's objection, post, at 7-8,
that our refusal to articulate a comprehensive definition in this case
will cause interim uncertainty. But it can hardly be any worse than the
status quo. See supra, at 27-30, and cases cited. The difference is
that the Roberts test is inherently, and therefore
permanently, unpredictable.
- - - - - - - - - - - - End Footnotes- - - - - - - - - - - - - -
In this case, the State admitted Sylvia's testimonial statement against
petitioner, despite the fact that he had no [*54] opportunity to
cross-examine her. That alone is sufficient to make out a violation of the
Sixth
Amendment.
Roberts notwithstanding, we decline to mine the record in search
of indicia of reliability.
Where testimonial statements are at issue, the
only indicium of reliability sufficient to satisfy constitutional demands
is the one the Constitution actually prescribes: confrontation.
The judgment of the Washington Supreme Court is reversed, and the case is
remanded for further proceedings not inconsistent with this opinion.
It is so ordered.
CONCURBY: REHNQUIST
CONCUR: CHIEF JUSTICE REHNQUIST, with whom JUSTICE O'CONNOR
joins, concurring in the judgment.
I dissent from the Court's decision to overrule
Ohio v. Roberts,
448 U.S. 56, 65 L. Ed. 2d 597, 100 S. Ct. 2531 (1980). I believe
that the Court's adoption of a new interpretation of the
Confrontation Clause is not backed by sufficiently persuasive
reasoning to overrule long-established precedent. Its decision casts a
mantle of uncertainty over future criminal trials in both federal and
state courts, and is by no means necessary to decide the present case.
The Court's distinction between testimonial and nontestimonial statements,
contrary to its claim, [*55] is no better rooted in history than our
current doctrine. Under the common law, although the courts were far from
consistent, out-of-court statements made by someone other than the accused
and not taken under oath, unlike ex parte depositions or
affidavits, were generally not considered substantive evidence upon which
a conviction could be based. n1 See, e.g., King v.
Brasier, 1 Leach 199, 200, 168 Eng. Rep. 202 (K. B. 1779); see also J.
Langbein, Origins of Adversary Criminal Trial 235-242 (2003); G. Gilbert,
Evidence 152 (3d ed 1769). n2 Testimonial statements such as accusatory
statements to police officers likely would have been disapproved of in the
18th century, not necessarily because they resembled ex parte
affidavits or depositions as the Court reasons, but more likely than not
because they were not made under oath. n3 See King v. Woodcock,
1 Leach 500, 503, 168 Eng. Rep. 352, 353 (1789) (noting that a statement
taken by a justice of the peace may not be admitted into evidence unless
taken under oath). Without an oath, one usually did not get to the second
step of whether confrontation was required.
- - - - - - - - - - - - - - Footnotes - - - - - - - - - - - - - - -
n1 Modern scholars have concluded that at the time of the founding the law
had yet to fully develop the exclusionary component of the hearsay rule
and its attendant exceptions, and thus hearsay was still often heard by
the jury. See Gallanis, The Rise of Modern Evidence Law,
84 Iowa L. Rev. 499, 534-535 (1999); Mosteller, Remaking
Confrontation Clause and Hearsay Doctrine Under the Challenge of
Child Sexual Abuse Prosecutions,
1993 U. Ill. L. Rev. 691, 738-746. In many cases, hearsay alone
was generally not considered sufficient to support a conviction; rather,
it was used to corroborate sworn witness testimony. See 5 J. Wigmore,
Evidence, § 1364, pp. 17, 19-20, 19, n. 33 (J. Chadbourn rev. 1974)
(hereinafter Wigmore) (noting in the 1600's and early 1700's testimonial
and nontestimonial hearsay was permissible to corroborate direct
testimony); see also J. Langbein, Origins of Adversary Criminal Trial
238-239 (2003). Even when unsworn hearsay was proffered as substantive
evidence, however, because of the predominance of the oath in society,
juries were largely skeptical of it. See Landsman, Rise of the Contentious
Spirit: Adversary Procedure in Eighteenth Century England,
75 Cornell L. Rev. 497, 506 (1990) (describing late 17th-century
sentiments); Langbein, Criminal Trial before the Lawyers, 45 U. Chi. L.
Rev. 263, 291-293 (1978). In the 18th century, unsworn hearsay was simply
held to be of much lesser value than were sworn affidavits or depositions.
[*56]
n2 Gilbert's noted in 1769:
"Hearsay is no Evidence . . . though a Person Testify what he hath heard
upon Oath, yet the Person who spake it was not upon Oath; and if a Man had
been in Court and said the same Thing and had not sworn it, he had not
been believed in a Court of Justice; for all Credit being derived from
Attestation and Evidence, it can rise no higher than the Fountain from
whence it flows, and if the first Speech was without Oath, an Oath that
there was such a Speech makes it no more than a bare speaking, and so of
no Value in a Court of Justice, where all Things were determined under the
Solemnities of an Oath . . . ."
n3 Confessions not taken under oath were admissible against a confessor
because "'the most obvious Principles of Justice, Policy, and Humanity'"
prohibited an accused from attesting to his statements. 1 G. Gilbert,
Evidence 216 (C. Lofft ed. 1791). Still, these unsworn confessions were
considered evidence only against the confessor as the Court points out,
see ante, at 16, and in cases of treason, were insufficient to
support even the conviction of the confessor, 2 W. Hawkins, Pleas of the
Crown, C. 46, § 4, p. 604, n. 3 (T. Leach 6th ed. 1787).
- - - - - - - - - - - - End Footnotes- - - - - - - - - - - - - - [*57]
Thus, while I agree that the Framers were mainly concerned about sworn
affidavits and depositions, it does not follow that they were similarly
concerned about the Court's broader category of testimonial statements.
See 1 N. Webster, An American Dictionary of the English Language (1828)
(defining "Testimony" as "[a] solemn declaration or affirmation made for
the purpose of establishing or proving some fact. Such affirmation in
judicial proceedings, may be verbal or written, but must be under oath"
(emphasis added)). As far as I can tell, unsworn testimonial statements
were treated no differently at common law than were nontestimonial
statements, and it seems to me any classification of statements as
testimonial beyond that of sworn affidavits and depositions will be
somewhat arbitrary, merely a proxy for what the Framers might have
intended had such evidence been liberally admitted as substantive evidence
like it is today. n4
- - - - - - - - - - - - - - Footnotes - - - - - - - - - - - - - - -
n4 The fact that the prosecution introduced an unsworn examination in 1603
at Sir Walter Raleigh's trial, as the Court notes, see ante, at 16,
says little about the Court's distinction between testimonial and
nontestimonial statements. Our precedent indicates that unsworn
testimonial statements, as do some nontestimonial statements, raise
confrontation concerns once admitted into evidence, see, e.g.,
Lilly v. Virginia,
527 U.S. 116, 144 L. Ed. 2d 117, 119 S. Ct. 1887 (1999);
Lee v. Illinois,
476 U.S. 530, 90 L. Ed. 2d 514, 106 S. Ct. 2056 (1986), and I do
not contend otherwise. My point is not that the
Confrontation Clause does not reach these statements, but rather
that it is far from clear that courts in the late 18th century would have
treated unsworn statements, even testimonial ones, the same as sworn
statements.
- - - - - - - - - - - - End Footnotes- - - - - - - - - - - - - - [*58]
I therefore see no reason why the distinction the Court draws is
preferable to our precedent. Starting with Chief Justice Marshall's
interpretation as a Circuit Justice in 1807, 16 years after the
ratification of the
Sixth
Amendment,
United States v. Burr, 25 F. Cas. 187, 193, F. Cas. No. 14694 (No. 14,694)
(CC Va. 1807), continuing with our cases in the late 19th century,
Mattox v.
United States, 156 U.S. 237, 243-244, 39 L. Ed. 409, 15 S. Ct. 337 (1895);
Kirby v.
United States, 174 U.S. 47, 54-57, 43 L. Ed. 890, 19 S. Ct. 574 (1899),
and through today, e.g.,
White v.
Illinois, 502 U.S. 346, 352-353, 116 L. Ed. 2d 848, 112 S. Ct. 736 (1992),
we have never drawn a distinction between testimonial and nontestimonial
statements. And for that matter, neither has any other court of which I am
aware. I see little value in trading our precedent for an imprecise
approximation at this late date.
I am also not convinced that the
Confrontation Clause categorically requires the exclusion of
testimonial statements. Although many States had their own
Confrontation Clauses, they were of recent vintage and were not
interpreted with any regularity before 1791. State cases that recently
followed the ratification of the
Sixth
Amendment were not uniform; the Court itself cites state cases
from the early 19th century that took a more stringent view of the right
to confrontation than does the Court, prohibiting former testimony even if
the witness was subjected to cross-examination. See ante, at 13 (citing
Finn v.
Commonwealth, 26 Va. 701, 708 (1827);
State v. Atkins, 1
Tenn. 229 (1807) (per curiam)).
Nor was the English law at the time of the framing entirely consistent in
its treatment of testimonial evidence. Generally ex parte
affidavits and depositions were excluded as the Court notes, but even that
proposition was not universal. See King v. Eriswell, 3 T. R.
707, 100 Eng. Rep. 815 (K. B. 1790) (affirming by an equally divided court
the admission of an ex parte examination because the declarant was
unavailable to testify); King v. Westbeer, 1 Leach 12, 13,
168 Eng. Rep. 108, 109 (1739) (noting the admission of an ex parte
affidavit); see also 1 M. Hale, Pleas of the Crown 585-586 (1736) (noting
that statements of "accusers and witnesses" which were taken under oath
could be admitted into evidence if [*60] the declarant was "dead or not
able to travel"). Wigmore notes that sworn examinations of witnesses
before justices of the peace in certain cases would not have been excluded
until the end of the 1700's, 5 Wigmore § 1364, at 26-27, and sworn
statements of witnesses before coroners became excluded only by statute in
the 1800's, see ibid.; id., § 1374, at 59. With respect to unsworn
testimonial statements, there is no indication that once the hearsay rule
was developed courts ever excluded these statements if they otherwise fell
within a firmly rooted exception. See, e.g., Eriswell,
supra, at 715-719 (Buller, J.), 720 (Ashhurst, J.), 100 Eng. Rep., at
819-822 (concluding that an ex parte examination was admissible as
an exception to the hearsay rule because it was a declaration by a party
of his state and condition). Dying declarations are one example. See,
e.g., Woodcock, supra, at 502-504, 168 Eng. Rep., at 353-354;
King v. Reason, 16 How. St. Tr. 1, 22-23 (K. B. 1722).
Between 1700 and 1800 the rules regarding the admissibility of
out-of-court statements were still being developed. See n. 1, supra.
There were always [*61] exceptions to the general rule of exclusion, and
it is not clear to me that the Framers categorically wanted to eliminate
further ones. It is one thing to trace the right of confrontation back to
the Roman Empire; it is quite another to conclude that such a right
absolutely excludes a large category of evidence. It is an odd conclusion
indeed to think that the Framers created a cut-and-dried rule with respect
to the admissibility of testimonial statements when the law during their
own time was not fully settled.
To find exceptions to exclusion under the Clause is not to denigrate it as
the Court suggests. Chief Justice Marshall stated of the
Confrontation Clause: "I know of no principle in the preservation
of which all are more concerned. I know none, by undermining which, life,
liberty and property, might be more endangered. It is therefore incumbent
on courts to be watchful of every inroad on a principle so truly
important."
Burr,
25 F. Cas., at 193. Yet, he recognized that such a right was not
absolute, acknowledging that exceptions to the exclusionary component of
the hearsay rule, which he considered as an "inroad" on the right to
confrontation, had been introduced. [*62] See ibid.
Exceptions to confrontation have always been derived from the experience
that some out-of-court statements are just as reliable as cross-examined
in-court testimony due to the circumstances under which they were made. We
have recognized, for example, that co-conspirator statements simply
"cannot be replicated, even if the declarant testifies to the same matters
in court."
United
States v. Inadi, 475 U.S. 387, 395, 89 L. Ed. 2d 390, 106 S. Ct. 1121
(1986). Because the statements are made while the declarant and
the accused are partners in an illegal enterprise, the statements are
unlikely to be false and their admission "actually furthers the 'Confrontation
Clause's very mission' which is to 'advance the accuracy of the
truth-determining process in criminal trials.'"
Id., at
396, 89 L. Ed. 2d 390, 106 S. Ct. 1121 (quoting
Tennessee
v. Street, 471 U.S. 409, 415, 85 L. Ed. 2d 425, 105 S. Ct. 2078 (1985)
(some internal quotation marks omitted)). Similar reasons justify the
introduction of spontaneous declarations, see
White,
502 U.S., at 356, 116 L. Ed. 2d 848, 112 S. Ct. 736, statements
made in the course of procuring medical services, see ibid., dying
declarations, see
Kirby,
supra, at 61, 43 L. Ed. 2d 890, 19 S. Ct. 574, and countless other
hearsay [*63] exceptions. That a statement might be testimonial does
nothing to undermine the wisdom of one of these exceptions.
Indeed, cross-examination is a tool used to flesh out the truth, not an
empty procedure. See
Kentucky
v. Stincer, 482 U.S. 730, 737, 96 L. Ed. 2d 631, 107 S. Ct. 2658 (1987)
("The right to cross-examination, protected by the
Confrontation Clause, thus is essentially a 'functional' right
designed to promote reliability in the truth-finding functions of a
criminal trial"); see also
Maryland v. Craig, 497 U.S. 836, 845, 111 L. Ed. 2d 666, 110 S. Ct. 3157
(1990) ("The central concern of the
Confrontation Clause is to ensure the reliability of the evidence
against a criminal defendant by subjecting it to rigorous testing in the
context of an adversary proceeding before the trier of fact"). "In a given
instance [cross-examination may] be superfluous; it may be sufficiently
clear, in that instance, that the statement offered is free enough from
the risk of inaccuracy and untrustworthiness, so that the test of
cross-examination would be a work of supererogation." 5 Wigmore § 1420, at
251. In such a case, as we noted over 100 years ago, "The law in its
wisdom declares that the rights of the public shall [*64] not be wholly
sacrificed in order that an incidental benefit may be preserved to the
accused."
Mattox,
156 U.S., at 243, 39 L. Ed. 2d 409, 15 S. Ct. 337; see also
Salinger
v. United States, 272 U.S. 542, 548, 71 L. Ed. 398, 47 S. Ct. 173 (1926).
By creating an immutable category of excluded evidence, the Court adds
little to a trial's truth-finding function and ignores this longstanding
guidance.
In choosing the path it does, the Court of course overrules
Ohio v. Roberts,
448 U.S. 56, 65 L. Ed. 2d 597, 100 S. Ct. 2531 (1980), a case
decided nearly a quarter of a century ago. Stare decisis is not an
inexorable command in the area of constitutional law, see
Payne v.
Tennessee, 501 U.S. 808, 828, 115 L. Ed. 2d 720, 111 S. Ct. 2597 (1991),
but by and large, it "is the preferred course because it promotes the
evenhanded, predictable, and consistent development of legal principles,
fosters reliance on judicial decisions, and contributes to the actual and
perceived integrity of the judicial process,"
id., at
827, 115 L. Ed. 2d 720, 111 S. Ct. 2597. And in making this
appraisal, doubt that the new rule is indeed the "right" one should surely
be weighed in the balance. Though there are no vested interests involved,
unresolved questions for the future of everyday [*65] criminal trials
throughout the country surely counsel the same sort of caution. The Court
grandly declares that "we leave for another day any effort to spell out a
comprehensive definition of 'testimonial,'" ante, at 33. But the
thousands of federal prosecutors and the tens of thousands of state
prosecutors need answers as to what beyond the specific kinds of
"testimony" the Court lists, see ibid., is covered by the new rule.
They need them now, not months or years from now. Rules of criminal
evidence are applied every day in courts throughout the country, and
parties should not be left in the dark in this manner.
To its credit, the Court's analysis of "testimony" excludes at least some
hearsay exceptions, such as business records and official records. See
ante, at 20. To hold otherwise would require numerous additional
witnesses without any apparent gain in the truth-seeking process. Likewise
to the Court's credit is its implicit recognition that the mistaken
application of its new rule by courts which guess wrong as to the scope of
the rule is subject to harmless-error analysis. See ante, at 5, n.
1.
But these are palliatives to what I believe is a mistaken change [*66]
of course. It is a change of course not in the least necessary to reverse
the judgment of the Supreme Court of Washington in this case. The result
the Court reaches follows inexorably from Roberts and its progeny
without any need for overruling that line of cases. In
Idaho v.
Wright, 497 U.S. 805, 820-824, 111 L. Ed. 2d 638, 110 S. Ct. 3139 (1990),
we held that an out-of-court statement was not admissible simply because
the truthfulness of that statement was corroborated by other evidence at
trial. As the Court notes, ante, at 31, the Supreme Court of
Washington gave decisive weight to the "interlocking nature of the two
statements." No re-weighing of the "reliability factors," which is
hypothesized by the Court, ante, at 31, is required to reverse the
judgment here. A citation to
Idaho v. Wright,
supra, 497 U.S. 805, 111 L. Ed. 2d 638, 110 S. Ct. 3139, would
suffice. For the reasons stated, I believe that this would be a far
preferable course for the Court to take here.
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