OPINION OF THE COURT
GILES V. CALIFORNIA
554 U. S. ____ (2008)
SUPREME COURT OF THE UNITED STATES
NO. 07-6053
DWAYNE GILES, PETITIONER
v. CALIFORNIA
on writ of certiorari to the supreme court of
california
[June 25, 2008]
Justice Scalia delivered the
opinion of the Court, except as to Part II–D–2.
We consider whether a defendant
forfeits his Sixth Amendment right to confront a witness against
him when a judge determines that a wrongful act by the defendant
made the witness unavailable to testify at trial.
I
On September 29, 2002, petitioner
Dwayne Giles shot his ex-girlfriend, Brenda Avie, outside the
garage of his grandmother’s house. No witness saw the shooting, but
Giles’ niece heard what transpired from inside the house. She heard
Giles and Avie speaking in conversational tones. Avie then yelled
“Granny” several times and a series of gunshots sounded. Giles’
niece and grandmother ran outside and saw Giles standing near Avie
with a gun in his hand. Avie, who had not been carrying a weapon,
had been shot six times. One wound was consistent with Avie’s
holding her hand up at the time she was shot, another was
consistent with her having turned to her side, and a third was
consistent with her having been shot while lying on the ground.
Giles fled the scene after the shooting. He was apprehended by
police about two weeks later and charged with murder.
At trial, Giles testified that he
had acted in self-defense. Giles described Avie as jealous, and
said he knew that she had once shot a man, that he had seen her
threaten people with a knife, and that she had vandalized his home
and car on prior occasions. He said that on the day of the
shooting, Avie came to his grandmother’s house and threatened to
kill him and his new girlfriend, who had been at the house earlier.
He said that Avie had also threatened to kill his new girlfriend
when Giles and Avie spoke on the phone earlier that day. Giles
testified that after Avie threatened him at the house, he went into
the garage and retrieved a gun, took the safety off, and started
walking toward the back door of the house. He said that Avie
charged at him, and that he was afraid she had something in her
hand. According to Giles, he closed his eyes and fired several
shots, but did not intend to kill Avie.
Prosecutors sought to introduce statements
that Avie had made to a police officer responding to a
domestic-violence report about three weeks before the shooting.
Avie, who was crying when she spoke, told the officer that Giles
had accused her of having an affair, and that after the two began
to argue, Giles grabbed her by the shirt, lifted her off the floor,
and began to choke her. According to Avie, when she broke free and
fell to the floor, Giles punched her in the face and head, and
after she broke free again, he opened a folding knife, held it
about three feet away from her, and threatened to kill her if he
found her cheating on him. Over Giles’ objection, the trial court
admitted these statements into evidence under a provision of
California law that permits admission of out-of-court statements
describing the infliction or threat of physical injury on a
declarant when the declarant is unavailable to testify at trial and
the prior statements are deemed trustworthy. Cal. Evid. Code Ann.
§1370 (West Supp. 2008).
A jury convicted Giles of first-degree murder.
He appealed. While his appeal was pending, this Court decided in
Crawford v.
Washington,
541 U. S. 36, 53–54 (2004), that the
Confrontation Clause requires that a defendant have the opportunity
to confront the witnesses who give testimony against him, except in
cases where an exception to the confrontation right was recognized
at the time of the founding. The California Court of Appeal held
that the admission of Avie’s unconfronted statements at Giles’
trial did not violate the Confrontation Clause as construed by
Crawford because
Crawford recognized a doctrine
of forfeiture by wrongdoing. 19 Cal. Rptr. 3d 843, 847 (2004)
(officially depublished). It concluded that Giles had forfeited his
right to confront Avie because he had committed the murder for
which he was on trial, and because his intentional criminal act
made Avie unavailable to testify. The California Supreme Court
affirmed on the same ground. 40 Cal. 4th 833, 837, 152 P. 3d 433,
435 (2007). We granted certiorari. 552 U. S. ___ (2008).
II
The Sixth Amendment provides that
“[i]n all criminal prosecutions, the accused shall enjoy the right
… to be confronted with the witnesses against him.” The Amendment
contemplates that a witness who makes testimonial statements
admitted against a defendant will ordinarily be present at trial
for cross-examination, and that if the witness is unavailable, his
prior testimony will be introduced only if the defendant had a
prior opportunity to cross-examine him.
Crawford, 541 U.
S., at 68. The State does not dispute here, and we accept without
deciding, that Avie’s statements accusing Giles of assault were
testimonial. But it maintains (as did the California Supreme Court)
that the Sixth Amendment did not prohibit prosecutors from
introducing the statements because an exception to the
confrontation guarantee permits the use of a witness’s unconfronted
testimony if a judge finds, as the judge did in this case, that the
defendant committed a wrongful act that rendered the witness
unavailable to testify at trial. We held in
Crawford that
the Confrontation Clause 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.”
Id.,
at 54. We therefore ask whether the theory of forfeiture by
wrongdoing accepted by the California Supreme Court is a
founding-era exception to the confrontation right.
A
We have previously acknowledged
that two forms of testimonial statements were admitted at common
law even though they were unconfronted. See
id., at 56,
n. 6, 62. The first of these were declarations made by a
speaker who was both on the brink of death and aware that he was
dying. See,
e.g.,
King v.
Woodcock, 1
Leach 500, 501–504, 168 Eng. Rep. 352, 353–354 (1789);
State v.
Moody, 3 N. C. 31 (Super. L. &
Eq. 1798);
United States v.
Veitch, 28 F. Cas.
367, 367–368 (No. 16,614) (CC DC 1803);
King v.
Commonwealth, 4 Va. 78, 80–81 (Gen. Ct. 1817). Avie did
not make the unconfronted statements admitted at Giles’ trial when
she was dying, so her statements do not fall within this historic
exception.
A second common-law doctrine,
which we will refer to as forfeiture by wrongdoing, permitted the
introduction of statements of a witness who was “detained” or “kept
away” by the “means or procurement” of the defendant. See,
e.g.,
Lord Morley’s Case, 6 How. St. Tr. 769, 771
(H. L. 1666) (“detained”);
Harrison’s Case, 12 How. St.
Tr. 833, 851 (H. L. 1692) (“made him keep away”);
Queen v.
Scaife, 117 Q. B. 238, 242, 117 Eng. Rep. 1271, 1273
(K. B. 1851) (“kept away”); see also 2 W. Hawkins, Pleas of
the Crown 425 (4th ed. 1762) (hereinafter Hawkins) (same);
T. Peake, Compendium of the Law of Evidence 62 (2d ed. 1804)
(“sent” away); 1 G. Gilbert, Law of Evidence 214 (1791)
(“detained and kept back from appearing by the means and
procurement of the prisoner”). The doctrine has roots in the 1666
decision in
Lord Morley’s Case, at which judges concluded
that a witness’s having been “detained by the means or procurement
of the prisoner,” provided a basis to read testimony previously
given at a coroner’s inquest. 6 How. St. Tr., at 770–771. Courts
and commentators also concluded that wrongful procurement of a
witness’s absence was among the grounds for admission of statements
made at bail and committal hearings conducted under the Marian
statutes, which directed justices of the peace to take the
statements of felony suspects and the persons bringing the suspects
before the magistrate, and to certify those statements to the
court,
Crawford,
supra, at 43–44;
J. Langbein, Prosecuting Crime in the Renaissance 10–12, 16–20
(1974). See 2 Hawkins 429. This class of confronted statements was
also admissible if the witness who made them was dead or unable to
travel.
Ibid.
The terms used to define the scope of the
forfeiture rule suggest that the exception applied only when the
defendant engaged in conduct
designed to prevent the
witness from testifying. The rule required the witness to have been
“kept back” or “detained” by “means or procurement” of the
defendant. Although there are definitions of “procure” and
“procurement” that would merely require that a defendant have
caused the witness’s absence, other definitions would limit the
causality to one that was
designed to bring about the
result “procured.” See 2 N. Webster, An American Dictionary of the
English Language (1828) (defining “procure” as “to
contrive and effect” (emphasis added));
ibid.
(defining “procure” as “to get; to gain; to obtain; as by request,
loan, effort, labor or purchase”); 12 Oxford English Dictionary 559
(2d ed. 1989) (def. I(3)) (defining “procure” as “[t]o contrive or
devise with care (an action or proceeding); to endeavour to cause
or bring about (mostly something evil)
to or
for
a person”). Similarly, while the term “means” could sweep in all
cases in which a defendant caused a witness to fail to appear, it
can also connote that a defendant forfeits confrontation rights
when he uses an intermediary for the purpose of making a witness
absent. See 9
id., at 516 (“[A] person who intercedes for
another or uses influence in order to bring about a desired
result”); N. Webster, An American Dictionary of the English
Language 822 (1869) (“That through which, or by the help of which,
an end is attained”).
Cases and treatises of the time indicate that
a purpose-based definition of these terms governed. A number of
them said that prior testimony was admissible when a witness was
kept away by the defendant’s “means and contrivance.” See 1 J.
Chitty, A Practical Treatise on the Criminal Law 81 (1816) (“kept
away by the means and contrivance of the prisoner”); S. Phillipps,
A Treatise on the Law of Evidence 165 (1814) (“kept out of the way
by the means and contrivance of the prisoner”);
Drayton v.
Wells, 10 S. C. L. 409, 411 (S. C. 1819) (“kept away
by the contrivance of the opposite party”). This phrase requires
that the defendant have schemed to bring about the absence from
trial that he “contrived.” Contrivance is commonly defined as the
act of “inventing, devising or planning,” 1 Webster,
supra, at 47, “ingeniously endeavoring the accomplishment
of anything,” “the bringing to pass by planning, scheming, or
stratagem,” or “[a]daption of means to an end; design, intention,”
3 Oxford English Dictionary,
supra, at 850.[
Footnote 1]
An 1858 treatise made the purpose requirement
more explicit still, stating that the forfeiture rule applied when
a witness “had been kept out of the way by the prisoner, or by some
one on the prisoner’s behalf,
in order to prevent him from
giving evidence against him.” E. Powell, The Practice of the
Law of Evidence 166 (1st ed. 1858) (emphasis added). The
wrongful-procurement exception was invoked in a manner consistent
with this definition. We are aware of no case in which the
exception was invoked although the defendant had not engaged in
conduct designed to prevent a witness from testifying, such as
offering a bribe.
B
The manner in which the rule was
applied makes plain that unconfronted testimony would
not
be admitted without a showing that the defendant intended to
prevent a witness from testifying. In cases where the evidence
suggested that the defendant had caused a person to be absent, but
had not done so to prevent the person from testifying—as in the
typical murder case involving accusatorial statements by the
victim—the testimony was excluded unless it was confronted or fell
within the dying-declaration exception. Prosecutors do not appear
to have even
argued that the judge could admit the
unconfronted statements because the defendant committed the murder
for which he was on trial.
Consider
King v.
Woodcock. William Woodcock was accused of killing his
wife, Silvia, who had been beaten and left near death. A Magistrate
took Silvia Woodcock’s account of the crime, under oath, and she
died about 48 hours later. The judge stated that “[g]reat as a
crime of this nature must always appear to be, yet the inquiry into
it must proceed upon the rules of evidence.” 1 Leach, at 500, 168
Eng. Rep., at 352. Aside from testimony given at trial in the
presence of the prisoner, the judge said, there were “two other
species which are admitted by law: The one is the dying declaration
of a person who has received a fatal blow; the other is the
examination of a prisoner, and the depositions of the witnesses who
may be produced against him” taken under the Marian bail and
committal statutes.
Id., at 501, 168 Eng. Rep., at 352–353
(footnote omitted). Silvia Woodcock’s statement could not be
admitted pursuant to the Marian statutes because it was
unconfronted—the defendant had not been brought before the
examining Magistrate and “the prisoner therefore had no opportunity
of contradicting the facts it contains.”
Id., at 502, 168
Eng. Rep., at 353. Thus, the statements were admissible only if the
witness “apprehended that she was in such a state of mortality as
would inevitably oblige her soon to answer before her Maker for the
truth or falsehood of her assertions.”
Id., at 503, 168
Eng. Rep., at 353–354 (footnote omitted). Depending on the account
one credits, the court either instructed the jury to consider the
statements only if Woodcock was “in fact under the apprehension of
death,”
id., at 504, 168 Eng. Rep., at 354, or determined
for itself that Woodcock was “quietly resigned and submitting to
her fate” and admitted her statements into evidence, 1 E. East,
Pleas of the Crown 356 (1803).
King v.
Dingler, 2 Leach
561, 168 Eng. Rep. 383 (1791), applied the same test to exclude
unconfronted statements by a murder victim. George Dingler was
charged with killing his wife Jane, who suffered multiple stab
wounds that left her in the hospital for 12 days before she died.
The day after the stabbing, a Magistrate took Jane Dingler’s
deposition—as in
Woodcock, under oath—“of the facts and
circumstances which had attended the outrage committed upon her.” 2
Leach, at 561, 168 Eng. Rep., at 383. George Dingler’s attorney
argued that the statements did not qualify as dying declarations
and were not admissible Marian examinations because they were not
taken in the presence of the prisoner, with the result that the
defendant did not “have, as he is entitled to have, the benefit of
cross-examination.”
Id., at 562, 168 Eng. Rep., at 384.
The prosecutor agreed, but argued the deposition should still be
admitted because “it was the best evidence that the nature of the
case would afford.”
Id., at 563, 168 Eng. Rep., at 384.
Relying on
Woodcock, the court “refused to receive the
examination into evidence.”
Id., at 563, 168 Eng. Rep., at
384.
Many other cases excluded victims’ statements
when there was insufficient evidence that the witness was aware he
was about to die. See
Thomas John’s Case, 1 East 357, 358
(P. C. 1790);
Welbourn’s Case, 1 East 358, 360
(P. C. 1792);
United States v.
Woods, 28 F.
Cas. 762, 763 (No. 16,760) (CC DC 1834);
Lewis v.
State, 17 Miss. 115, 120 (1847);
Montgomery v.
State, 11 Ohio 424, 425–426 (1842);
Nelson v.
State, 26 Tenn. 542, 543 (1847);
Smith v.
State, 28 Tenn. 9, 23 (1848). Courts in all these cases
did not even consider admitting the statements on the ground that
the defendant’s crime was to blame for the witness’s absence—even
when the evidence establishing that was overwhelming. The reporter
in
Woodcock went out of his way to comment on the strength
of the case against the defendant: “The evidence, independent of
the information or declarations of the deceased, was of a very
pressing and urgent nature against the prisoner.” 1 Leach, at 501,
168 Eng. Rep., at 352.
Similarly, in
Smith v.
State,
supra, the evidence that the defendant had
caused the victim’s death included, but was not limited to, the
defendant’s having obtained arsenic from a local doctor a few days
before his wife became violently ill; the defendant’s paramour
testifying at trial that the defendant admitted to poisoning his
wife; the defendant’s having asked a physician “whether the
presence of arsenic could be discovered in the human stomach a
month after death”; and, the answer to that inquiry apparently not
having been satisfactory, the defendant’s having tried to hire a
person to burn down the building containing his wife’s body.
Id., at 10–11. If the State’s reading of common law were
correct, the dying declarations in these cases and others like them
would have been admissible.
Judges and prosecutors also failed to invoke
forfeiture as a sufficient basis to admit unconfronted statements
in the cases that did apply the dying-declarations exception. This
failure, too, is striking. At a murder trial, presenting evidence
that the defendant was responsible for the victim’s death would
have been no more difficult than putting on the government’s case
in chief. Yet prosecutors did not attempt to obtain admission of
dying declarations on wrongful-procurement-of-absence grounds
before going to the often considerable trouble of putting on
evidence to show that the crime victim had not believed he could
recover. See,
e.g., King v.
Commonwealth, 4 Va., at 80–81 (three witnesses called to
testify on the point);
Gibson v.
Commonwealth, 4
Va. 111, 116–117 (Gen. Ct. 1817) (testimony elicited from doctor
and witness);
Anthony v.
State, 19 Tenn. 265,
278–279 (1838) (doctor questioned about expected fatality of
victim’s wound and about victim’s demeanor).
The State offers another explanation for the
above cases. It argues that when a defendant committed some act of
wrongdoing that rendered a witness unavailable, he forfeited his
right to object to the witness’s testimony on confrontation
grounds, but not on hearsay grounds. See Brief for Respondent
23–24. No case or treatise that we have found, however, suggested
that a defendant who committed wrongdoing forfeited his
confrontation rights but not his hearsay rights. And the
distinction would have been a surprising one, because courts prior
to the founding excluded hearsay evidence in large part
because it was unconfronted. See,
e.g., 2 Hawkins
606 (6th ed. 1787); 2 M. Bacon, A New Abridgment of the Law 313
(1736). As the plurality said in
Dutton v.
Evans,
400 U. S. 74, 86
(1970), “[i]t seems apparent that the Sixth Amendment’s
Confrontation Clause and the evidentiary hearsay rule stem from the
same roots.”
The State and the dissent note that common-law
authorities justified the wrongful-procurement rule by invoking the
maxim that a defendant should not be permitted to benefit from his
own wrong. See,
e.g., G. Gilbert, Law of Evidence 140–141
(1756) (if a witness was “detained and kept back from appearing by
the means and procurement” testimony would be read because a
defendant “shall never be admitted to shelter himself by such evil
Practices on the Witness, that being to give him Advantage of his
own Wrong”). But as the evidence amply shows, the “wrong” and the
“evil Practices” to which these statements referred was conduct
designed to prevent a witness from testifying. The absence
of a forfeiture rule covering this sort of conduct would create an
intolerable incentive for defendants to bribe, intimidate, or even
kill witnesses against them. There is nothing mysterious about
courts’ refusal to carry the rationale further. The notion that
judges may strip the defendant of a right that the Constitution
deems essential to a fair trial, on the basis of a prior
judicial assessment that the defendant is guilty as
charged, does not sit well with the right to trial by jury. It is
akin, one might say, to “dispensing with jury trial because a
defendant is obviously guilty.”
Crawford, 541 U. S., at
62.
C
Not only was the State’s proposed
exception to the right of confrontation plainly not an “exceptio[n]
established at the time of the founding,”
id., at 54; it
is not established in American jurisprudence
since the
founding. American courts never—prior to 1985—invoked forfeiture
outside the context of deliberate witness tampering.
This Court first addressed
forfeiture in
Reynolds v.
United States,
98 U. S. 145 (1879),
where, after hearing testimony that suggested the defendant had
kept his wife away from home so that she could not be subpoenaed to
testify, the trial court permitted the government to introduce
testimony of the defendant’s wife from the defendant’s prior trial.
See
id., at 148–150. On appeal, the Court held that
admission of the statements did not violate the right of the
defendant to confront witnesses at trial, because when a witness is
absent by the defendant’s “wrongful procurement,” the defendant “is
in no condition to assert that his constitutional rights have been
violated” if “their evidence is supplied in some lawful way.”
Id., at 158.
Reynolds invoked broad forfeiture
principles to explain its holding. The decision stated, for
example, that “[t]he Constitution does not guarantee an accused
person against the legitimate consequences of his own wrongful
acts,”
ibid., and that the wrongful-procurement rule “has
its foundation” in the principle that no one should be permitted to
take advantage of his wrong, and is “the outgrowth of a maxim based
on the principles of common honesty,”
id., at 159.
Reynolds relied on these maxims (as
the common-law authorities had done) to be sure. But it relied on
them (as the common-law authorities had done) to admit prior
testimony in a case where the defendant had engaged in wrongful
conduct designed to prevent a witness’s testimony. The Court’s
opinion indicated that it was adopting the common-law rule. It
cited leading common-law cases—
Lord Morley’s Case, Harrison’s
Case, and
Scaife—described itself as “content with”
the “long-established usage” of the forfeiture principle, and
admitted prior confronted statements under circumstances where
admissibility was open to no doubt under
Lord Morley’s
Case.
Reynolds, supra, at 158–159.
If the State’s rule had an historical pedigree
in the common law or even in the 1879 decision in
Reynolds, one would have expected it to be routinely
invoked in murder prosecutions like the one here, in which the
victim’s prior statements inculpated the defendant. It was never
invoked in this way. The earliest case identified
by the litigants and
amici curiae which admitted
unconfronted statements on a forfeiture theory without evidence
that the defendant had acted with the purpose of preventing the
witness from testifying was decided in 1985.
United States
v.
Rouco, 765 F. 2d 983 (CA11).
In 1997, this Court approved a Federal Rule of
Evidence, entitled “Forfeiture by wrongdoing,” which applies only
when the defendant “engaged or acquiesced in wrongdoing that was
intended to, and did, procure the unavailability of the declarant
as a witness.” Fed. Rule of Evid. 804(b)(6). We have described this
as a rule “which codifies the forfeiture doctrine.”
Davis
v.
Washington, 547 U. S. 813, 833
(2006). Every commentator we are aware of has concluded the
requirement of intent “means that the exception applies only if the
defendant has in mind the particular purpose of making the witness
unavailable.” 5 C. Mueller & L. Kirkpatrick, Federal Evidence
§8:134, p. 235 (3d ed. 2007); 5 J. Weinstein & M. Berger,
Weinstein’s Federal Evidence §804.03[7][b], p. 804–32 (J.
McLaughlin ed., 2d ed. 2008); 2 S. Brown, McCormick on Evidence 176
(6th ed. 2006).[
Footnote 2] The
commentators come out this way because the dissent’s claim that
knowledge is sufficient to show intent is emphatically
not
the modern view. See 1 W. LaFave, Substantive Criminal Law §5.2, p.
340 (2d ed. 2003).
In sum, our interpretation of the common-law
forfeiture rule is supported by (1) the most natural reading of the
language used at common law; (2) the absence of common-law cases
admitting prior statements on a forfeiture theory when the
defendant had not engaged in conduct designed to prevent a witness
from testifying; (3) the common law’s uniform exclusion of
unconfronted inculpatory testimony by murder victims (except
testimony given with awareness of impending death) in the
innumerable cases in which the defendant was on trial for killing
the victim, but was not shown to have done so for the purpose of
preventing testimony; (4) a subsequent history in which the
dissent’s broad forfeiture theory has not been applied. The first
two and the last are highly persuasive; the third is in our view
conclusive.
D
1
The dissent evades the force of
that third point by claiming that
no testimony would come
in at common law based on a forfeiture theory unless it was
confronted. It explains the exclusion of murder victims’ testimony
by arguing that wrongful procurement was understood to be a basis
for admission of Marian depositions—which the defendant would have
had the opportunity to confront—but not for the admission of
unconfronted testimony. See
post, at 15.
That explanation is not supported
by the cases. In
Harrison’s Case, the leading English case
finding wrongful procurement, the witness’s statements were
admitted without regard to confrontation. An agent of the defendant
had attempted to bribe a witness, who later disappeared under
mysterious circumstances. The prosecutor contended that he had been
“spirited, or withdrawn from us, by a gentleman that said he came
to [the witness] from the prisoner, and desired him to be kind to
the prisoner.” 12 How. St. Tr., at 851. The court allowed the
witness’s prior statements before the coroner to be read,
id., at 852, although there was no reason to think the
defendant would have been present at the prior
examination.[
Footnote 3]
The reasoning of the common-law authorities
reinforces the conclusion that the wrongful-procurement rule did
not depend on prior confrontation. The judge in
Harrison’s
Case, after being told that “Mr. Harrison’s agents or friends
have, since the last sessions, made or conveyed away a young man
that was a principal evidence against him,” declared that if this
were proved, “it will no way conduce to Mr. Harrison’s advantage.”
Id., at 835–836. Similarly, a leading treatise’s
justification of the use of statements from coroner’s inquests when
a witness was “detained and kept back from appearing by the means
and procurement” of the defendant was that the defendant “shall
never be admitted to shelter himself by such evil Practices on the
Witness, that being to give him Advantage of his own Wrong.” G.
Gilbert, Law of Evidence 140 (1756). But if the defendant could
keep out unconfronted prior testimony of a wrongfully detained
witness he
would profit from “such evil Practices.”
While American courts understood the
admissibility of statements made at prior proceedings (including
coroner’s inquests like the one in
Harrison’s Case) to
turn on prior opportunity for cross-examination as a general
matter, see
Crawford, 541 U. S., at 47, n. 2, no such
limit was applied or expressed in early wrongful-procurement cases.
In
Rex v.
Barber, 1 Root 76 (Conn. Super. Ct.
1775), “[o]ne White, who had testified before the justice and
before the grand-jury against Barber, and minutes taken of his
testimony, was sent away by one Bullock, a friend of Barber’s, and
by his instigation; so that he could not be had to testify before
the petit-jury. The court admitted witnesses to relate what White
had before testified.” Two leading evidentiary treatises and a
Delaware case reporter cite that case for the proposition that
grand jury statements were admitted on a wrongful-procurement
theory. See Phillipps, Treatise on Evidence, at 200, n. (a);
T. Peake, Compendium of the Law of Evidence 91, n. (m)
(American ed. 1824);
State v.
Lewis, 1 Del. Cas.
608, 609, n. 1 (Ct. Quarter Sess. 1818). (Of course the standard
practice since approximately the 17th century has been to conduct
grand jury proceedings in secret, without confrontation, in part so
that the defendant does not learn the State’s case in advance. S.
Beale, W. Bryson, J. Felman, & M. Elston, Grand Jury Law and
Practice §5.2 (2d ed. 2005); see also 8 J. Wigmore Evidence §2360,
pp. 728–735 (J. McNaughton rev. 1961)).[
Footnote 4]
The Georgia Supreme Court’s articulation of
the forfeiture rule similarly suggests that it understood
forfeiture to be a basis for admitting unconfronted testimony. The
court wrote that
Lord Morley’s Case established that if a
witness “who had been examined by the Crown, and was then absent,
was detained by the means or procurement of the prisoner,” “then
the examination should be read” into evidence.
Williams v.
State, 19 Ga. 402, 403 (1856). Its rule for all cases in
which the witness “had been examined by the Crown” carried no
confrontation limit, and indeed, the court adopted the rule from
Lord Morley’s Case which involved not Marian examinations
carrying a confrontation requirement, but coroner’s inquests that
lacked one.
The leading American case on forfeiture of the
confrontation right by wrongful procurement was our 1879 decision
in
Reynolds. That case does not set forth prior
confrontation as a requirement for the doctrine’s application, and
begins its historical analysis with a full description of the rule
set forth in
Lord Morley’s Case, which itself contained no
indication that the admitted testimony must have been previously
confronted. It followed that description with a citation of
Harrison’s Case—which, like
Lord Morley’s Case,
applied wrongful procurement to coroner’s inquests, not confronted
Marian examinations—saying that the rule in those cases “seems to
have been recognized as the law of England ever since.” 98 U. S.,
at 158. The opinion’s description of the forfeiture rule is
likewise unconditioned by any requirement of prior
confrontation:
“The Constitution gives the accused the right to a
trial at which he should be confronted with the witnesses against
him; but if a witness is absent by his own wrongful procurement, he
cannot complain if competent evidence is admitted to supply the
place of that which he kept away. . . . [The Constitution] grants
him the privilege of being confronted with the witnesses against
him; but if he voluntarily keeps the witnesses away, he cannot
insist on his privilege. If, therefore, when absent by his
procurement, their evidence is supplied in some lawful way, he is
in no condition to assert that his constitutional rights have been
violated.”
Ibid.
There is no mention in this paragraph of a need for
prior confrontation, even though if the Court believed such a limit
applied, the phrase “their evidence is supplied” would more
naturally have read “their previously confronted evidence is
supplied.”
Crawford reaffirmed this understanding by
citing
Reynolds for a forfeiture exception to the
confrontation right. 541 U. S., at 54. And what
Reynolds
and
Crawford described as the law became a seeming holding
of this Court in
Davis, which, after finding an absent
witness’s unconfronted statements introduced at trial to have been
testimonial, and after observing that “one who obtains the absence
of a witness by wrongdoing forfeits the constitutional right to
confrontation,” 547 U. S., at 833, remanded with the instruction
that “[t]he Indiana courts may (if they are asked) determine on
remand whether . . . a claim of forfeiture is properly raised and,
if so, whether it is meritorious,”
id. at 834.
Although the case law is sparse, in light of
these decisions and the absence of even a single case
declining to admit unconfronted statements of an absent
witness on wrongful-procurement grounds when the defendant sought
to prevent the witness from testifying, we are not persuaded to
displace the understanding of our prior cases that wrongful
procurement permits the admission of prior unconfronted
testimony.
But the parsing of cases aside, the most
obvious problem with the dissent’s theory that the forfeiture rule
applied only to confronted testimony is that it amounts to
self-immolation. If it were true, it would destroy not only our
case for a narrow forfeiture rule, but the dissent’s case for a
broader one as well. Prior
confronted statements by
witnesses who are unavailable are admissible whether or not the
defendant was responsible for their unavailability.
Id.,
at 68. If the forfeiture doctrine did not admit unconfronted prior
testimony at common law, the conclusion must be, not that the
forfeiture doctrine requires no specific intent in order to render
unconfronted testimony available, but that unconfronted testimony
is subject to no forfeiture doctrine at all.[
Footnote 5]
2
Having destroyed its own case,
the dissent issues a thinly veiled invitation to overrule
Crawford and adopt an approach not much different from the
regime of
Ohio v.
Roberts,
448 U. S. 56 (1980), under which the
Court would create the exceptions that it thinks consistent with
the policies underlying the confrontation guarantee, regardless of
how that guarantee was historically understood. The “basic purposes
and objectives” of forfeiture doctrine, it says, require that a
defendant who wrongfully caused the absence of a witness be
deprived of his confrontation rights, whether or not there was any
such rule applicable at common law.
Post, at 4.
If we were to reason from the
“basic purposes and objectives” of the forfeiture doctrine, we are
not at all sure we would come to the dissent’s favored result. The
common-law forfeiture rule was aimed at removing the otherwise
powerful incentive for defendants to intimidate, bribe, and kill
the witnesses against them—in other words, it is grounded in “the
ability of courts to protect the integrity of their proceedings.”
Davis, 547 U. S., at 834. The boundaries of the doctrine
seem to us intelligently fixed so as to avoid a principle repugnant
to our constitutional system of trial by jury: that those murder
defendants whom the judge considers guilty (after less than a full
trial, mind you, and of course before the jury has pronounced
guilt) should be deprived of fair-trial rights, lest they benefit
from their judge-determined wrong.[
Footnote 6]
Since it is most certainly
not the
norm that trial rights can be “forfeited” on the basis of a prior
judicial determination of guilt, the dissent must go far afield to
argue even by analogy for its forfeiture rule. See
post,
at 5 (discussing common-law doctrine that prohibits the murderer
from collecting insurance on the life of his victim, or an
inheritance from the victim’s estate);
post, at 6 (noting
that many criminal statutes punish a defendant regardless of his
purpose). These analogies support propositions of which we have no
doubt: States may allocate property rights as they see fit, and a
murderer can and should be punished, without regard to his purpose,
after a fair trial. But a legislature may not “punish” a defendant
for his evil acts by stripping him of the right to have his guilt
in a criminal proceeding determined
by a jury, and on the
basis of evidence the Constitution deems reliable and
admissible.
The larger problem with the dissent’s
argument, however, is that the guarantee of confrontation is no
guarantee at all if it is subject to whatever exceptions courts
from time to time consider “fair.” It is not the role of courts to
extrapolate from the words of the Sixth Amendment to the values
behind it, and then to enforce its guarantees only to the extent
they serve (in the courts’ views) those underlying values. The
Sixth Amendment seeks fairness indeed—but seeks it through very
specific means (one of which is confrontation) that were the trial
rights of Englishmen. It “does not suggest any open-ended
exceptions from the confrontation requirement to be developed by
the courts.”
Crawford, supra, at 54.[
Footnote 7]
E
The dissent closes by pointing
out that a forfeiture rule which ignores
Crawford would be
particularly helpful to women in abusive relationships—or at least
particularly helpful in punishing their abusers. Not as helpful as
the dissent suggests, since only
testimonial statements
are excluded by the Confrontation Clause. Statements to friends and
neighbors about abuse and intimidation, and statements to
physicians in the course of receiving treatment would be excluded,
if at all, only by hearsay rules, which are free to adopt the
dissent’s version of forfeiture by wrongdoing. In any event, we are
puzzled by the dissent’s decision to devote its peroration to
domestic abuse cases. Is the suggestion that we should have one
Confrontation Clause (the one the Framers adopted and
Crawford described) for all other crimes, but a special,
improvised, Confrontation Clause for those crimes that are
frequently directed against women? Domestic violence is an
intolerable offense that legislatures may choose to combat through
many means—from increasing criminal penalties to adding resources
for investigation and prosecution to funding awareness and
prevention campaigns. But for that serious crime, as for others,
abridging the constitutional rights of criminal defendants is not
in the State’s arsenal.
The domestic-violence context is,
however, relevant for a separate reason. Acts of domestic violence
often are intended to dissuade a victim from resorting to outside
help, and include conduct designed to prevent testimony to police
officers or cooperation in criminal prosecutions. Where such an
abusive relationship culminates in murder, the evidence may support
a finding that the crime expressed the intent to isolate the victim
and to stop her from reporting abuse to the authorities or
cooperating with a criminal prosecution—rendering her prior
statements admissible under the forfeiture doctrine. Earlier abuse,
or threats of abuse, intended to dissuade the victim from resorting
to outside help would be highly relevant to this inquiry, as would
evidence of ongoing criminal proceedings at which the victim would
have been expected to testify. This is not, as the dissent charges,
post, at 25, nothing more than “knowledge-based intent.”
(Emphasis deleted.)
The state courts in this case did not consider
the intent of the defendant because they found that irrelevant to
application of the forfeiture doctrine. This view of the law was
error, but the court is free to consider evidence of the
defendant’s intent on remand.
* * *
We decline to approve an
exception to the Confrontation Clause unheard of at the time of the
founding or for 200 years thereafter. The judgment of the
California Supreme Court is vacated, and the case is remanded for
further proceedings not inconsistent with this opinion.
It is so ordered.
Footnote 1
The dissent asserts that a defendant could
have “contrived,
i.e., devised or planned … to murder a
victim” without the purpose of keeping the victim away from trial.
See
post, at 12 (opinion of Breyer, J.). But that
would not be contriving to keep the witness away. The dissent
further suggests that these authorities are irrelevant because “the
relevant phrase” in
Lord Morley’s Case itself is
“ ‘by
means or procurement’ ” of the defendant
and means “may,
or may not, refer to an absence that the
defendant desired, as compared to an absence that the defendant
caused.”
Post, at 12–13 (emphasis added). But the
authorities we cited resolve this ambiguity in favor of purpose by
substituting for the “means or procurement” of
Lord Morley’s
Case either “contrivance” or “means
and contrivance.”
(Emphasis added.)
Footnote 2
Only a single state evidentiary code appears
to contain a forfeiture rule broader than our holding in this case
(and in
Crawford) allow. Seven of the 12 States that
recognize wrongdoing as grounds for forfeiting objection to
out-of-court statements duplicate the language of the federal
forfeiture provision that requires purpose, see Del. Rule Evid.
804(b)(6) (2001); Ky. Rule Evid. 804(b)(5) (2004); N. D. Rule
Evid. 804(b)(6) (2007); Pa. Rule Evid. 804(b)(6) (2005); Vt. Rule
Evid. 804(b)(6) (2004); see also Tenn. Rule Evid. 804(b)(6) (2003)
(identical except that it excludes mention of acquiescence); Mich.
Rule Evid. 804(b)(6) (2008) (substitutes “engaged in or encouraged”
for “engaged or acquiesced in”). Two others require “purpose” by
their terms. Ohio Rule Evid. 804(B)(6) (2008); Cal. Evid. Code Ann.
§1350 (West Supp. 2008). Two of the three remaining forfeiture
provisions require the defendant to have “procured” the
unavailability of a witness, Haw. Rule 804(b)(7) (2007); Md. Cts.
& Jud. Proc. Code Ann. §10–901 (Lexis 2006)—which, as we have
discussed, is a term traditionally used in the forfeiture context
to require intent. Maryland’s rule has thus been described as
“requir[ing] that the judge must find that [the] wrongdoing or
misconduct was undertaken with the intent of making the witness
unavailable to testify.” 6A L. McLain, Maryland Evidence, State and
Federal §804(6):1, p. 230 (West Supp. 2007–2008). These rules cast
more than a little doubt on the dissent’s assertion that the
historic forfeiture rule creates intolerable problems of proof. The
lone forfeiture exception whose text reaches more broadly than the
rule we adopt is an Oregon rule adopted in 2005. See 2005 Ore. Laws
p. 1232, Ch. 458 (S. B. 287).
Footnote 3
Wrongful procurement was also described as
grounds for admitting unconfronted testimony in
Fenwick’s
Case, 13 How. St. Tr. 537 (H. C. 1696), a parliamentary
attainder proceeding. Although many speakers argued for admission
of unconfronted testimony simply because Parliament was not bound
by the rules of evidence for felony cases, see
Crawford v.
Washington,
541 U. S. 36, 46 (2004), it was also
argued that witness tampering could be a basis for admitting
unconfronted statements even in common-law felony trials: “[W]here
persons do stand upon their lives, accused for crimes, if it
appears to the court that the prisoner hath, by fraudulent and
indirect means, procured a person that hath given information
against him to a proper magistrate, to withdraw himself, so that he
cannot give evidence as regularly as they used to do; in that case
his information hath been read; which, I suppose, with humble
submission, is this case . . . .” 13 How. St. Tr., at 594 (remarks
of Lovel). The dissent responds that in most circumstances in which
a witness had given information against a defendant before
“ ‘a proper magistrate,’ ” the testimony would have been
confronted.
Post, at 20. Perhaps so, but the speaker was
arguing that the wrongful-procurement exception applied in “this
case”—
Fenwick’s Case, in which the testimony was
unconfronted, see 13 How. St. Tr., at 591–592.
Footnote 4
Three commentators writing more than a
century after the
Barber decision, said, without
explanation, that they understood the case to have admitted only
confronted testimony at a preliminary examination. W. Best, The
Principles of the Law of Evidence 473, n. (e) (American ed.
1883); J. Stephen, A Digest of the Law of Evidence 161 (1902); 2 J.
Bishop, New Criminal Procedure §1197, p. 1024 (2d ed. 1913). We
know of no basis for that understanding. The report of the case
does not limit the admitted testimony to statements that were
confronted.
Footnote 5
The dissent attempts to reconcile its approach with
Crawford by saying the wrongful-procurement cases used
language “broad enough” to reach every case in which a defendant
committed wrongful acts that caused the absence of a victim, and
that there was therefore an “‘exception” “established at the time
of the founding,’ ”
post, at 3, reaching all such
misconduct. But an exception to what? The dissent contends that it
was
not an exception to confrontation. Were that true, it
would be the end of the
Crawford inquiry.
Footnote 6
The dissent identifies one circumstance—and
only one—in which a court may determine the outcome of a case
before it goes to the jury: A judge may determine the existence of
a conspiracy in order to make incriminating statements of
co-conspirators admissible against the defendant under Federal Rule
of Evidence 801(d)(2)(E).
Bourjaily v.
United
States,
483 U.
S. 171 (1987), held that admission of the evidence did not
violate the Confrontation Clause because it “falls within a firmly
rooted hearsay exception”—the test under
Ohio v.
Roberts,
448 U. S. 56, 66 (1980), the case that
Crawford overruled. In fact it did not violate the
Confrontation Clause for the quite different reason that it was not
(as an incriminating statement in furtherance of the conspiracy
would probably never be) testimonial. The co-conspirator hearsay
rule does not pertain to a constitutional right and is in fact
quite unusual.
We do not say, of course, that a judge can
never be allowed to inquire into guilt of the charged offense in
order to make a preliminary evidentiary ruling. That must sometimes
be done under the forfeiture rule that we adopt—when, for example,
the defendant is on trial for murdering a witness in order to
prevent his testimony. But the exception to ordinary practice that
we support is (1) needed to protect the integrity of court
proceedings, (2) based upon longstanding precedent, and (3) much
less expansive than the exception proposed by the dissent.
Footnote 7
The dissent also implies that we should not
adhere to
Crawford because the confrontation guarantee
limits the evidence a State may introduce without limiting the
evidence a defendant may introduce. See
post, at 9. That
is true. Just as it is true that the State cannot decline to
provide testimony harmful to its case or complain of the lack of a
speedy trial. The asymmetrical nature of the Constitution’s
criminal-trial guarantees is not an anomaly, but the intentional
conferring of privileges designed to prevent criminal conviction of
the innocent. The State is at no risk of that.
Comments
Be the first to comment
Leave a Comment