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Criminal Justice Magazine
Summer 2005
Volume 20 Issue 2
"Testimonial" and the Formalistic Definition - The Case for an "Accusatorial" Fix
By Robert Mosteller
Robert P. Mosteller is the Harry R. Chadwick, Sr., Professor of Law at Duke Law School. He is a coauthor of McCormick on Evidence. He writes and teaches about evidence and constitutional criminal procedure and has written extensively about hearsay and the Confrontation Clause, particularly as it relates to evidence offered in cases involving children.
In Crawford v. Washington, 541 U.S. 36 (2004), the United States Supreme
Court radically changed confrontation law as it applies to hearsay statements.
For the preceding two decades, Ohio v. Roberts, 448 U.S. 56 (1980), had provided
the basic framework for analysis. Roberts made reliability the linchpin of the
analysis, and admitted hearsay in the absence of confrontation if that hearsay
was determined to be reliable.
In its summary passage, Roberts stated that “[r]eliability can be inferred
without more in a case where the evidence falls within a firmly rooted hearsay
exception. In other cases, the evidence must be excluded, at least absent a
showing of particularized guarantees of trustworthiness.” (Id. at 66.)
The system Roberts established closely linked hearsay and confrontation analysis.
It applied the Confrontation Clause to all hearsay statements, but was extremely
generous in finding the requirements of the clause satisfied. Indeed, it resulted
in the automatic admission of hearsay that was admissible under long-established
hearsay exceptions, generally without any showing of unavailability of the person
who made the statement. (See White v. Illinois, 502 U.S. 346 (1992) (concluding
that unavailability need not be shown for statements that under hearsay theory
were likely to be as reliable as those made in court, such as excited utterances
or statements for medical treatment).) Roberts’s system as it evolved
even admitted much of the hearsay offered even under problematic hearsay exceptions,
such as statements against penal interest offered against codefendants. (See
Roger W. Kirst, Appellate Court Answers to the Confrontation Question in Lilly
v. Virginia, 53 SYRACUSE L. REV. 87, 105 (2003); Crawford, 541 U.S. at 60 (criticizing
the frequent failure of the reliability standard “to protect against paradigmatic
confrontation violations”).)
Crawford gives the Confrontation Clause a dramatically different focus. It concluded
that 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.” (Crawford, 541 U.S.
at 50.) Within this area of primary concern, the Court indicated that the Confrontation
Clause was to be applied with real rigor. For hearsay statements of this type,
it rejected Roberts’s reliability analysis. Except in a limited set of
circumstances, such as “forfeiture by wrongdoing” (id. at 62), the
Court insisted upon actual confrontation—“testing in the crucible
of cross-examination” (id. at 61), or it demanded exclusion of the statement.
Figuratively, Crawford erects a prominent “stop sign” in the way
of admitting such statements.
For this narrower, more rigorously applied Confrontation Clause analysis, the
Court made “testimonial” statements the defining characteristic.
Unlike the Roberts mode of analysis that covered all hearsay statements, not
all hearsay was subject to the new rigor of Crawford. Instead, only those statements
that are “testimonial” were covered.
The particular type of statement involved in the Crawford case was a tape-recorded
statement of Sylvia Crawford, the wife of the defendant. The statement was made
while she was in police custody as a potential codefendant of her husband and
was being interrogated by the police using what the Court termed “structured
. . . questioning.” (Id. at 53 n.4.) In summarizing its holding, the Court
stated that “[w]hatever else the [‘testimonial’] 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.” (Id.
at 68.)
The details of what constitutes a testimonial statement is at present extraordinarily
complex and quite unsettled as the conflicting decisions in the lower courts
demonstrate. I have offered a more expansive treatment of this subject in “Crawford
v. Washington: Encouraging and Ensuring the Confrontation of Witnesses”
(39 RICH. L. REV. 511 (2005). I continue the examination of this extremely important
case here in the hope of providing a simplifying concept that should be helpful
to both practitioners and courts and that provides an accurate and effective
tool in defining the scope of this enhanced Confrontation Clause protection.
The suggestion is to focus on accusatory statements to evaluate and supplement
the term “testimonial.”
“Testimonial”: Decisive term without a definition
Remarkably, given the importance of the testimonial concept to its decision,
the Supreme Court in Crawford did not give a definition. Instead of providing
a single definition, the Court offered three possible definitions: one that
is very narrow and on its face quite formalistic, and two others that are progressively
broader. The broader definitions present some difficulties in terms of their
complexity and the clarity of possible applications. My sense is that whether
the complexity problems can be solved satisfactorily with those definitions
may well determine the viability of any but the narrowest definition. Exacerbating
the uncertainty, the Court chose to decide no confrontation case during the
2004-05 Term that could have provided further clarification while lower courts
across the country are struggling in hundreds of criminal cases to apply an
uncertain concept.
Although listed second by the Court, I start with the clear outlier in the group:
“extrajudicial statements . . . contained in formalized testimonial materials,
such as affidavits, depositions, prior testimony, or confessions.” (Id.
at 51-52.) This definition is taken from Justice Thomas’s concurring opinion
in White v. Illinois, 502 U.S. 346, 365 (1992). And while certainly at one extreme
in the group of three, the fact that Justice Scalia, who wrote Crawford, adopted
this definition a decade earlier by joining Justice Thomas’s opinion in
White has to be significant. That point has not and should not be lost on anyone.
The petitioner suggested as a definition: “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 declarant would reasonably expect to be
used prosecutorially.” (Id. at 51.) The amicus brief, authored by Professor
Richard D. Friedman of the University of Michigan School of Law, would define
testimonial statements as “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.” (Id. at 52.)
These last two definitions may be seen as reasonably similar in scope, although
the amicus definition, perhaps somewhat modified, appears to be the primary
competitor to the Thomas definition. While the petitioner’s definition
is tethered to the formalism of the Thomas definition in its first part, it
allows for some expansion by including “similar pretrial statements”
and suggests the possibility of even more expansive application by covering
such statements that the declarant would reasonably expect to use “prosecutorially.”
Prosecutorial use would seem to be far wider and much more expansive than testimonial
use, and they certainly do not appear to be the same.
The amicus definition generally appears to be the broadest in not beginning
by limiting the statements to those that are formal in their tangible form,
but it is narrowed by restricting its scope to statements that are fundamentally
testimonial. The statement must be made under circumstances that would lead
an objective witness to reasonably believe it “would be available for
use at trial”—thus actual evidence that is admissible in the case
and so very much serves the function of testimony. This limitation, in addition
to calling for an evaluation of circumstances by an objective witness, directs
that the statement must have an apparent use at trial—an anticipated evidentiary/testimonial
use for the statement.
Thus, there are clear differences in these definitions, none of which was denominated
as preferred by the Court. A notable difference in terms of ease of application—particularly
since most of the declarants will be unavailable—is that the latter two
focus on the expectation or intent of the “declarant” or “objective
witness.” By contrast, Thomas’s definition focuses on an inherent
characteristic of the statement—its form and formality. For that reason,
it would prove much easier to apply consistently.
Before considering the question of how to define testimonial statements, we
should consider the words of the Constitution. The Sixth Amendment nowhere mentions
the term “testimonial.” Instead, the Sixth Amendment—the critical
text—refers to “the right . . . to be confronted with the witnesses
against him [the defendant].” How do we get from “to be confronted
with the witnesses against him” to “testimonial”? How do we
get to formalism? How do we get to the expectation of the declarant or the intent
of an objective witness; or for use as evidence or prosecutorially? To my mind,
not particularly clearly or easily.
A better approach: Accusatorial terminology
The Crawford opinion mentions but does not adopt the use of what I believe is
a far more historically grounded term—accusers or accusatory statements.
The opinion does, however, quote James F. Stephen’s History of the Criminal
Law of England for Sir Walter Raleigh’s demand to have “his ‘accusers,’
i.e., the witnesses against him, brought before him face to face.” (Crawford,
541 U.S. at 43; Stephen at p. 326.) This quotation suggests the strong connection
and some commonality of meaning between witnesses and accusers familiar to those
concerned about the evils of the inquisitorial system.
Assuredly, the testimonial concept overlaps with these same core concepts of
the Confrontation Clause. However, while alternative formulations of the Sixth
Amendment constitutional principle dealt with witnesses and accusers (the Virginia
Declaration of Rights included “accusers and witnesses”) explicitly,
none of those alternative formulations call for exclusion of out-of-court statements
based on their testimonial quality. Thus, while the concept behind the testimonial
label has a substantial historical basis, the particular terminology has little
or none. It is even less clear that it should be the entirety of the clause,
particularly if that means that accusatory statements introduced against the
defendant at trial are not included because they lack formality.
In Remaking Confrontation Clause and Hearsay Doctrine Under the Challenger of
Child Sexual Abuse Prosecutions (1993 U. ILL. L. REV. 691, 747-49), I suggested
that accusatory statements should form the core of a newly formulated Confrontation
Clause doctrine. What I suggest is that accusatory statements are statements
that are accusations, viewed at the time they were made, of conduct that is
criminal. (Id.; see also Michael H. Graham, The Confrontation Clause, The Hearsay
Rule, and Child Sexual Abuse Prosecutions: The Nature of the Relationship, 72
MINN. L. REV. 523, 593 (1988); Toni M. Massaro, The Dignity Value of Face-to-Face
Confrontations, 40 U. FLA. L. REV. 863, 870 (1988).)
In Crawford, Justice Scalia observes that the three potential definitions for
“testimonial” share a “common nucleus.” (Crawford, 541
U.S. at 43.) I contend that the better common nucleus across these three definitions
and the history and purpose of the Confrontation Clause is the accusatorial
statement concept. The testimonial element is not required when the statement
is made, rather an accusatorial content, and the clause is implicated if such
a statement is later offered in evidence, which satisfies whatever any element
of testimony that might be required.
Most importantly, I want to argue here that the accusatorial concept is extremely
useful even if the testimonial label is retained to denote statements covered
by the Confrontation Clause. It at least helps supplement the testimonial concept
and aids in developing explanations of why statements should or should not be
considered within the core of the Confrontation Clause. Moreover, the accusatorial
concept may be helpful in bridging a gap between the definition provided by
Justice Scalia and that of the amicus definition and Richard Friedman. My personal
view is that the appropriate definition is much closer to the functional definition
offered in the amicus brief than the narrow formalistic definition offered by
Justice Thomas, and that a focus on accusatory statements facilitates such a
functional approach.
My immediate goal is through the accusatorial statement concept to encourage
scholars and courts to achieve some modicum of convergence as to the scope of
the Confrontation Clause in frequently encountered cases where the correct result
is intuitively relatively obvious. As discussed below, my apprehension is that
disarray will tend to lead to adoption of a narrow definition to avoid a massive
release of prisoners, and in direct reaction to the disorder to bring about
convergence.
Let me state my case for the accusatory theory in rough terms. No short definition
can provide all the answers to the critical questions. A definition—a
few words—whether simple or sophisticated, cannot achieve such a purpose.
Moreover, words are too easily manipulated. Rigid restraint and consistent application
through a simple definition will be particularly difficult if the task is to
reconcile the intent of the Framers with the reality of a world more than 200
years distant and culturally eons away. In such circumstances, outside influences
will constantly threaten to overwhelm language and will at least occasionally
cause limited breaches of order.
However, I submit that the basic terminology used to define coverage of the
Confrontation Clause should suggest answers to the obvious questions that are
correct. It should also comport with basic intuition. And it should not frequently
point in the wrong direction.
I believe that the term “testimonial” fails such a simple test.
By contrast, I believe that a definition based in accusatory terminology suggests
correct answers to most basic questions. In addition, a definition based on
the concept of accusatorial statements should prove far, far simpler to flesh
out. Most questions are answered immediately. Difficult ones will need some
secondary development and a coherent explanation of why statements should be
included or excluded from coverage. However, the additional explanation will
typically not be complicated and certainly not as complicated as a testimonially
based definition—that is, unless the testimonial concept is confined to
an extremely narrow scope based on a formalistic conception.
Moreover, such a definition has a chance of being applied with some consistency
by real courts in the rough and tumble of thousands of courtrooms each day.
If Justice Scalia’s vision of testimonial remains, as it appears, to rest
close to Justice Thomas’s definition in White, it can easily achieve a
common application. However, it does so at the cost of frequently getting the
answer wrong. I suspect that the amicus definition (in modified form supported
by Richard Friedman), while reaching results I consider correct in most cases,
appears to me too complex and far too unintuitive to be applied consistently
as theoretically intended.
A case where “testimonial” permits the “wrong”
result
I present a fact pattern of a case that I submit should be treated as “testimonial”;
or as falling within Crawford; or as within the core of the Confrontation Clause;
or as envisioned by the Framers as covered by the clause, whichever the formulation
one wishes to use. In my judgment, the case I am about to describe should be
absolutely a slam, bang winner as a violation of the Confrontation Clause after
its reformulation in Crawford. But I must acknowledge that the Court, if it
gives the clause a reading that I believe is inconsistent with its purpose but
is instead trapped in a specific formalism, could do.
The fact pattern is not like Crawford in the sense there is no rigorous station-house
interrogation. Thus, it may well fail a formalistic definition. Its facts are
not like the Marian Statutes or Sir Walter Raleigh’s case. It raises the
question of what fits within the core of the Confrontation Clause, and what
doesn’t. Nevertheless, my argument is that this case should clearly be
covered by the clause. If it isn’t, there is a failure in basic definition
or the Confrontation Clause is not being defined as I believe it reasonably
should be and had the situation arose at the time of the Framing, “its
application would have been.” (Crawford, 541 U.S. at 43 n.3 (referring
to Justice Scalia’s confidence that the Framers would have treated unsworn
statements as falling within the confrontation right if, as the Chief Justice
argued, they were inadmissible at the time and therefore not contemplated by
the Framers).)
The fact pattern that I will discuss is from State v. Willie Forrest III, 596
S.E.2d 22 (N.C. Ct. App. 2004)), which was affirmed without opinion by the North
Carolina Supreme Court (2005 WL1038811(May 5, 2005).) (The initial statement
of the victim to a police officer in the hospital emergency room in People v.
Cage, 15 Cal. Rptr. 3d 846 (Cal. Ct. App. 2004), review granted, 99 P.3d (2004),
provides a similar misapplication with which others may be familiar.) I am particularly
familiar with the facts of Forrest, having filed an amicus brief on Forrest’s
behalf. The victim in the case is Forrest’s aunt, Cynthia Moore, who had
been served with a subpoena but did not appear and did not testify. Forrest
was convicted at trial of kidnapping and assault with a deadly weapon on Moore
based on her hearsay statements.
For some reason—perhaps an earlier 911 call alerting the police to his
presence, to reference a relevant, but quite distinct, body of case law—a
police SWAT team surrounded a house where Forrest was located. They observed
that house for about an hour. During that period, Forrest escorted his aunt
outside the house on two occasions with escalating violence suggested. Inside
the house, the two were apparently ingesting crack cocaine and Willie becoming
“paranoid.” I say “apparently” because we know what
happened inside the house only through the statements of the victim/aunt who
never testified, but whose statements were introduced through the police detective
with whom she talked after the incident was concluded.
When Forrest and his aunt left the house the third time, it was dark. They left
the porch and started down a nearby sidewalk. At that point, a “take down”
order was issued by the officer in charge of the SWAT team. Police officers
surrounded Forrest and illuminated him with the lights attached to their “long
guns.” Two officers put submachine guns to Forrest’s forehead. They
separated him from Moore, who had small lacerations on her neck and an inch-and-a-half
laceration on her arm.
When I speak publicly about this case, I suggest ironically that at this point
that Willie Forrest was “probably” under arrest and “probably”
his aunt recognized that the police were interested in prosecuting him. I believe
that these are at least fair characterization of the facts. Moreover, I think
that those facts should matter and, as a result, that this is a clear Confrontation
Clause case.
Waiting nearby was Detective Melanie Blalock, who, according to her own testimony,
was there to interview Moore. Her testimony on this point was perhaps more candid
than it would be today after the Crawford decision suggested some of the possible
boundaries for testimonial statements. At the time she testified, however, the
Confrontation Clause posed little difficulty if the statement was admitted as
an excited utterance, as police intention was largely if not entirely irrelevant
to the statement’s admissibility. Blalock thus could not reasonably have
anticipated that such candor might matter.
When Blalock moved from her nearby location to the crime scene, it had been
secured and Forrest had been taken away. Moore was standing in the street with
another officer, who brought her to Blalock. The victim was crying, and she
had a cut on her arm that was bleeding. Blalock informed Moore that she was
calling emergency medical services. The medics arrived and treated the wounds,
but we do not know when that occurred relative to Moore’s statement. Later,
Moore declined further medical attention when Blalock attempted to persuade
her to go to the hospital.
Blalock stated that Moore “was nervous, she was shaking, she was crying
and she was anxious to tell me that she had been held in the house.” (Transcript
at 94.) She repeated that Moore “appeared anxious to tell me what happened.
And by that I didn’t have to ask her what happened to you.” (Transcript
at 95.) Blalock stated that Moore “just immediately abruptly started talking
and telling me.” (Id.)
Moore’s statement, according to Blalock, lasted about a minute, during
which Moore related that Forrest came to her house (at least an hour before
the statement); he smoked crack cocaine (a later conversation revealed that
Moore smoked crack with Forrest); he became paranoid and refused to let her
leave; he took her from room to room at knife point; she attempted to run, but
the door was locked; and Forrest cut her. (Transcript at 95-97.) Blalock indicated
that she took notes of the conversation and referred to them as “exactly
what she said.” (Transcript at 95-96.)
The North Carolina Court of Appeals opinion found the statement nontestimonial
under Crawford because the statements were initiated by Moore and the conversation
should not be deemed a police interrogation under that case. (596 S.E.2d at
27.) It asserted that under these circumstances, Moore “was not providing
a formal statement, deposition, or affidavit, was not aware that she was bearing
witness, and was not aware that her utterances might impact further legal proceedings.”
(Id.)
As noted above, this case should be treated as testimonial or whatever terminology
is needed to bring it within the Confrontation Clause. However, the use of the
testimonial approach made the above error possible. That is an awful result
in terms of what the Confrontation Clause should cover.
By contrast, accusatory analysis makes this case simple. The statement is accusatory.
It is made to a person clearly identified as a police officer. Case closed.
If more is needed, the conversation occurred after the defendant had been arrested,
a fact clearly known to both the detective and to the declarant. Case really
closed.
The Supreme Court in Crawford seemed to invite such possible results. It continued
its unwillingness to be precise beyond giving multiple definitions of the testimonial
concept. Even as to the type of statements involved in the case—statements
to the police—it refused to provide a clear category of what was to be
covered. It described the statements as the result of police interrogation and
also used the term “structured . . . questioning.” Possibly the
language is mere surplusage, but perhaps it is to substitute for a particular
tangible form of the statement when that statement was obtained by the police
from a witness but is neither written nor mechanically recorded. And, the statement
in Forrest was not the result of structured questioning, if that is a requirement
of it being testimonial.
Advantages of accusatorial terminology
In some ways all that I have suggested above is some degree of indeterminacy
in the Crawford opinion. One appropriate response is “what do you expect
with a new concept?” I accept that response in part. Any radically new
approach will not and, indeed, should not attempt to answer all future questions.
I think, however, it is clear that the problem with a nonformalistic testimonial
approach is deeper. Not only is the answer unclear, but there is no clear basis
on which to determine the answer. Once one leaves Scalia’s formalism,
it is hard to find a background story that provides a source of definition.
An excellent scholar like Richard Friedman can develop a coherent system to
address these, but it lacks a compelling central formulation that guides all
the complex answers needed. Why is it that one looks only to the intention of
the speaker and not to the intention of the receiver of the information as well?
The Constitution protects the defendant, not the witness. Whether the statement
takes the form of testimony because it was intended by the speaker or manipulated
by the receiver does not matter to the party to be protected. If the declarant/witness
believes the statement is informal and inadmissible, but the officer who is
receiving it knows the opposite because she is tape recording it and knows evidence
exceptions, why should the statement not be testimonial? Perhaps the factors
I am mentioning—whether it is recorded and whether it is admissible—do
not matter as to whether the statement is testimonial, but why in grounded theory
are they irrelevant? Can we be sure that all of a complex system goes in the
correct direction to make second order results come out the right way if they
depend upon a set of as yet undecided first order determinations? The results
under a complex testimonial approach cannot be predicted.
Contrast that situation with an approach based on accusatory statements made
to parties at arm’s length being treated as covered by the new, stronger
Confrontation Clause. Let’s look at some clear advantages.
• Probably the chief advantage is that whether the statement is covered,
like Scalia’s formalistic approach, is determined relatively easily. Like
the testimonial concept, whether the statement is accusatory is determined primarily
by examining the statement itself, which in most situations makes for ease of
application. But, while the “testimonial” concept may in Justice
Thomas’s formulation point toward form and formalism, the “accusatory”
concept points toward content and function.
• Under such a definition, there is no need to determine for most statements
whether the intent of the speaker or the hearer or both matter, which can become
a complex and difficult issue when determining anticipated testimonial use of
an out-of-court statement. The form of the statement decides the issue. Given
that the speakers are often unavailable, any system that requires determining
the intent of the speaker is very problematic.
• The coverage of the Confrontation Clause is automatically modernized
to fit the expanded admissibility of accusatory statements under contemporary
evidence rules. Perhaps, at the time of the framing of the Constitution, the
only statements that would be covered were those that were highly formalistic
because those were largely the only accusatorial statements that were admissible.
Even Justice Scalia, however, rightly indicates that such a limitation on the
clause is inappropriate. He accepts that unsworn statements to the police, such
as was admitted in Crawford itself, might have been inadmissible for evidentiary
reasons, but that we can be confident the Framers would have wanted them covered
by the Confrontation Clause if they had been admissible as evidence. (Crawford,
541 U.S. at 52 n.3.) A general use of the accusatorial concept allows the clause
to move automatically to cover statements of the type the Framers would have
known to cover in their day as the rules of evidence expanded over time to admit
other similar statements. The term covers statements of the same character,
impact, and need for adversarial confrontation without the formality required
in the earlier day for admission.
• Under some formulations of testimonial, the speaker might be required
to anticipate that the statement could be used in court as evidence and therefore
some knowledge or expectation of admissibility might be required. The accusatory
statement alternative eliminates this perverse issue as even potentially important.
• If the form of the statement is important to its testimonial nature,
such as whether it was tape-recorded or written or made in response to structure
questions, then governmental officials who receive the statement can consciously
manipulate those circumstances to exclude the statement from coverage. Manipulation
of this sort is made much more difficult when accusatory statements are used
as a defining characteristic because it is the content, not the form, of the
statement that is decisive.
• Statements by citizens to the police that provide incriminating information
are answered clearly and I believe correctly regardless of whether they are
made in responses to interrogation, questioning of an unstructured type, or
are volunteered.
• When the testimonial concept is used, arguably irrelevant issues that
may prove difficult to resolve arise with statements by children concerning
whether the child is mature enough to understand that his or her statement will
be used testimonially. Other issues must be resolved as to how much the child
understands about the use that will be made of the statement and whether one
views the statement and its circumstances from the perspective of a reasonable
person or a reasonable child with limited ability. This inquiry may also require
the court to determine whether the intent or knowledge of the adult receiving
the statement as to the statement’s use may be considered and whether
that intent or knowledge is irrelevant, relevant, or decisive (see State v.
Snowden, 867 A.2d 314, 328-29 (Md. 2005) (concluding for several reasons that
immaturity will not avoid testimonial treatment).) Such issues are either not
involved when the focus is on statements that constitute accusations of crime
or they are answered more easily.
• Coconspirator statements should be resolved accurately, and with potential
nuanced precision. Most coconspirator statements would not be treated as testimonial,
which is the appropriate result. This is because statements that are made in
furtherance of a conspiracy are typically not accusatory and, therefore, would
not be covered. However, those rare statements that are accusatory would be
excluded from evidence, as they should be. Some formulations of this inquiry
may require courts to examine the intention of the speaker. For example, must
the statement be a focused accusation of crime or is the fact that it implicates
the person spoken about in a crime sufficient even without an intent to accuse?
However, if this dimension is examined, doing so to determine whether the statement
is accusatory will lead to more intuitively satisfying results than will an
inquiry as to whether the statement is testimonial.
• Statements to doctors might be resolved with precision as well. Those
that accuse a particular perpetrator would be covered by the Confrontation Clause.
Those made for another purpose, such as to receive treatment, might be handled
differently. (See In re T.T., 815 N.E.2d 789, 815 (Ill. Ct. App. 2004) (treating
statement to a doctor accusing a particular person of sexual abuse as testimonial
because accusatory, but not other statements to the doctor concerning medical
condition).)
• For those who think that all 911 calls should be admissible, this approach
does not necessarily help to render them all outside the Confrontation Clause.
But for those who think such calls when made for help should not be covered,
the accusatory label provides a substantive explanation. Secondary development
in this area will be needed, but I suggest that starting with an accusatorial
rather than a testimonial focus will make resolution easier and can be used
more easily to develop sensible dividing lines.
• Since the expectation or intent of the speaker that the statement has
a testimonial use is not the defining element, in many cases there will be no
need to determine whether that intent or expectation should be evaluated on
a subjective or objective basis. The accusatory concept cannot be expected to
eliminate all of these issues if it is to be applied in a nuanced fashion. Similarly,
all issues concerning the actions or intention of the government officials receiving
the information will not disappear as to difficult cases. The degree to which
an accusation must be focused and intentional will be at issue in some situations,
in addition to the objective fact that it implicates a person in criminal activity.
Similarly, whether the conduct of the police in soliciting an incriminating
statement that is not purposefully accusatory will need to be faced. The accusatory
concept is not a “magic bullet” eliminating all difficult questions.
However, it does better focus the inquiry on the substantive issues that are
central to the concerns of the Confrontation Clause rather than the form and
formalism of the testimonial concept. As noted earlier, the accusatory concept
is at least a helpful supplement to the language of the inquiry regarding which
statements fall within the core area of concern of the clause, which is the
central question posed by Crawford.
The pressure to preserve existing convictions
I mentioned earlier that getting the results to converge relatively soon was
important to the possibility of a broad definition of the scope of the Confrontation
Clause. An alternative formulation of this proposition is that large numbers
of cases decided using a broadly variant definition of testimonial will probably
result ultimately in a narrow scope for the Confrontation Clause. This is an
argument based on the practical cost of a decision, not theory. Let me sketch
it out.
In the period when the Warren Court was at its most creative in developing and
expanding new criminal procedure rights, its policy on the retroactivity of
doctrine was extraordinary. One might have thought that an activist Court would
want its precedents to apply as broadly as possible to the past to correct old
wrongs. That was not the situation. Instead, in Linkletter v. Walker, 381 U.S.
618 (1965), the most extreme form of its narrow applicability, the Court applied
the new precedent only to the case at hand as to prior conduct and to new police
conduct (searches) occurring after the date of the decision. The Court, thus,
let only one convicted defendant out of jail (assuming the error in that case
was not harmless), but was able to change police conduct radically in the future.
The Court could act like a legislature without the costs of general jail delivery.
Police and prosecutors could adapt their conduct or seek other evidence and
win error-free convictions.
Conservative jurists and constitutional theoreticians alike decried that result
for a number of reasons, one of which was the license it gave the Court to be
activist. And, beginning with United States v. Johnson, 457 U.S. 537 (1982),
the Court changed its basic rule on retroactive application. All new decisions
apply at least to all cases still on direct review at the time the decision
is rendered. That is the regime under which we operate today, and Crawford applies
at least that broadly.
What this meant is that, when Crawford established its extraordinary sea change
in confrontation law, the new rule was applied to a huge number of cases that
had been tried in courtrooms where everyone “knew” that the law
was what Ohio v. Roberts (448 U.S. at 66) had said it was. Accordingly, many
instances of testimonial statements had been admitted in full compliance with
the then-existing law. If, however, the defendant had made a Confrontation Clause
objection at trial, and the case was still working its way through the appellate
system when Crawford was decided, the defendant stood to get a windfall. Indeed,
the prosecutor may have had abundant other admissible evidence that he or she
did not introduce because the confrontation issue was so clearly resolved under
Roberts against the defendant. Thus, the prosecution may have done nothing wrong
at the time, and even worse, it had been lulled into an unnecessary error that
could now free a dangerous defendant.
Release is not required under Crawford, however, if admission was not error
because the statement was not testimonial. The pressure to avoid release, which
is particularly poignant when the police and prosecutors seem to have been abiding
by the established law, thus puts pressure on courts to apply a narrow interpretation
of the testimonial concept.
The pressure of discord on the Supreme Court
The pressure described above existed at the moment Crawford was decided, given
the enormity of its change in Confrontation Clause law. What I now perceive
is a new sort of pressure that is similar but distinct, created by delay and
disorder.
This situation is unlike that with the sentencing uncertainty created by Blakely
v. Washington, 451 U.S. 36 (2004), where, within a matter of months, the Supreme
Court took and decided cases resolving much of the uncertainty. (See United
States v. Booker, 125 S. Ct. 738 (2005).) Here, by contrast, the Supreme Court
chose not to take and thus not to decide another Confrontation Clause case during
the 2004-2005 Term. Thus, by the time it renders its first post-Crawford decision,
at least 18 months will have passed—probably closer to two years. Hundreds
of convictions will have been secured under trial court and lower court rulings
without additional Supreme Court guidance.
A number of courts have reached decisions that are very formalistic in approach.
Many have construed Crawford very narrowly. Some categorically treat excited
utterances as exceptions to the testimonial concept. Some treat police questioning
that is not “structured” as outside the scope of Crawford. (See
generally Robert P. Mosteller, Crawford v. Washington: Encouraging and Ensuring
the Confrontation of Witnesses, 39 U. RICH. L. REV. 511 (2005).) All of these
and scores of other cases are inconsistent with a broad reading of the definition
of testimonial such as that set out by the amicus in Crawford.
The more decisions resolved on what I contend are erroneously narrow, formalistic
bases, the more costly will be a ruling by the United States Supreme Court that
is more expansive in scope. By the time the next Confrontation Clause case is
decided, the Supreme Court will be able to count with some accuracy the scope
of jail delivery. It will likely be that some cases are reversed, but if the
definition of testimonial is broad, whether the numbers are in the tens or the
hundreds will be easier for the Court to calibrate. Certainly, a broad ruling
could be incredibly costly in terms of jail delivery of dangerous convicts.
Because some of this cost could have been avoided by clarity at the beginning
or a quickly rendered second ruling, one has to wonder whether the delay is
purposeful. Whatever the merits of that specific analysis, I believe it is clear
that lack of early convergence of decisions around a broad construction of the
testimonial concept is likely to lead ultimately to a narrow interpretation
of the Confrontation Clause.
The costs are particularly great as to cases that were tried after Crawford
and are being tried each day as we move forward in this period of disarray and
divergent opinions. Cases will be tried by prosecutors using narrow definitions
of testimonial statements and trial courts will erroneously find accusatorial
statements admissible because they use the same cramped definitions and analyses.
Many of these cases would have resulted in conviction even if only those statements
admissible under a broader definition of testimonial had been applied. But once
a statement that should be excluded as testimonial under an appropriately broad
definition is erroneously admitted and a conviction is secured based on such
evidence, these cases provide a needless cost to rectifying the earlier error
that will make it more likely that the Supreme Court will ultimately choose
a narrow rather than a broader definition. These new cases are gratuitous injuries,
and those interested in a broader scope for the Confrontation Clause need quick
movement toward a more sensible definition that can be applied more uniformly.
I suggest that a definition built around the accusatorial statement concept
has some potential to achieve this important result.
Conclusion
The definition that the Supreme Court ultimately gives to the concept of testimonial
statements will obviously be of critical importance in determining whether the
new Confrontation Clause analysis adopted by Crawford affects only a few core
statements or applies to a broader group of accusatorial statements knowingly
made to government officials and perhaps private individuals at arm’s
length from the speaker. I contend that the broader definition is more consistent
with the anti-inquisitorial roots of the Confrontation Clause when that provision
is applied in the modern world. If my sense of the proper scope of the clause
is roughly correct, then the testimonial statement concept must be reoriented
from its potentially formalistic definition to one that includes such accusatorial
statements. Employing accusatorial statement language as part of the inquiry
is one obvious and important step in this transformation.
I argue that a movement in the direction of accusatorial terminology and coverage
needs to begin as soon as possible so that lower courts can demonstrate that
convergence is feasible and to reduce the costs of general jail release. I contend
that the accusatory concept is consistent with the core concerns of the Confrontation
Clause and will help advocates and courts to reach sensible results that are
consistent with history, the language of the clause, and its function in a modern
and complicated world.