CRAWFORD v. WASHINGTON
SUPREME COURT
OF THE UNITED STATES
2004 U.S. LEXIS
1838
March 8, 2004,
Decided
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."
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 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 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 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 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;
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 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
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.
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).
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.
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 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 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 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
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) (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 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 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.
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
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.
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 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 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.
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 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).
Nineteenth-century treatises confirm the rule. See 1 J. Bishop, Criminal Procedure
§ 1093, p. 689 (2d ed. 1872); T. Cooley,
Constitutional Limitations *318.
This history supports two inferences
about the meaning of the Sixth Amendment.
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
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 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 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
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.
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
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.
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
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.).
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 the hearsay rule"). n7
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.
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.
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 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); 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
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.
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 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
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).)
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 (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.
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 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 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. 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.
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
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).
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); 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) (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.
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 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 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 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 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 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.
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.
In this case, the State admitted Sylvia's
testimonial statement against petitioner, despite the fact that he had no
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.
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, 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.
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, 19