Lead Opinion
delivered the opinion of the Court.
Appellant was convicted of two counts of lascivious acts with a child after a jury trial in which a screen placed between him and the two complaining witnesses blocked him from their sight. Appellant contends that this procedure, authorized by state statute, violated his Sixth Amendment right to confront the witnesses against him.
I — I
In August 1985, appellant was arrested and charged with sexually assaulting two 13-year-old girls earlier that- month while they were camping out in the backyard of the house next door to him. According to the girls, the assailant entered their tent after they were asleep wearing a stocking over his head, shined a flashlight in their eyes, and warned them not to look at him; neither was able to describe his face. In November 1985, at the beginning of appellant’s trial, the State made a motion pursuant to a recently enacted statute, Act of May 23, 1985, § 6, 1985 Iowa Acts 338, now codified at Iowa Code §910A.14 (1987),
Appellant objected strenuously to use of the screen, based first of all on his Sixth Amendment confrontation right'. He argued that, although the device might succeed in its apparent .aim of making the complaining witnesses feel less uneasy in giving their testimony, the Confrontation Clause directly addressed this issue by giving criminal defendants a right to face-to-face confrontation. He also argued that his right to due process was violated, since the procedure would make him appear guilty and thus erode the presumption of innocence. The trial court rejected both constitutional claims, though it instructed the jury to draw no inference of guilt from the screen..
The Iowa Supreme Court affirmed appellant’s conviction,
II
The Sixth Amendment gives a criminal defendant the right “to he confronted with the witnesses against him.” This language “comes to us on faded parchment,” California v. Green,
Most of this Court’s encounters with the Confrontation Clause have involved either the admissibility of out-of-court statements, see, e. g., Ohio v. Roberts,
We have never doubted, therefore, that the Confrontation Clause guarantees the defendant a face-to-face meeting with witnesses appearing before the trier of fact. See Kentucky v. Stincer,
The Sixth Amendment’s guarantee of face-to-face encounter between witness and accused serves ends related both to appearances and to reality. This opinion is embellished with references to and quotations from antiquity in part to convey that there is something deep in human nature that regards face-to-face confrontation between accused and accuser as “essential to a fair trial in a criminal prosecution.” Pointer v. Texas,
The perception that confrontation is essential to fairness has persisted over the centuries because there is much truth to it. ' A witness “may feel quite differently when he has to repeat his story looking at the man whom he will harm greatly by distorting or mistaking the facts. He can now understand what sort of human being that man is.” Z. Chafee, The Blessings of Liberty 35 (1956), quoted in Jay v. Boyd,
I — I I — I ■1
The remaining question is whether the right to confrontation was in fact violated in this case. The screen at issue was specifically designed to enable the complaining witnesses to avoid viewing appellant as they gave their testimony, and the record indicates that it was successful in this objective. App. 10-11. It is difficult to imagine a more obvious or damaging violation of the defendant’s right to a face-to-face encounter.
The State suggests that the confrontation interest at stake here was outweighed by the necessity of protecting victims of sexual abuse. It is true that we have in the past indicated that rights conferred by the Confrontation Clause are not absolute, and may give way to other important interests. The rights referred to in those cases, however, were not the right narrowly and explicitly set forth in the Clause, but rather rights that are, or were asserted to be, reasonably implicit — namely, the right to cross-examine, see Chambers v. Mississippi,
The State also briefly suggests that any Confrontation Clause error was harmless beyond a reasonable doubt under the standard of Chapman v. California,
We find it unnecessary to reach appellant’s due process claim. Since his constitutional right to face-to-face confrontation was violated, we reverse the judgment of the Iowa Supreme Court and remand the case for further proceedings not inconsistent with this opinion.
It is so ordered.
Notes
Section 910A.14 provides in part as follows:
“The court may require a party be confined [sic] to an adjacent room or behind a screen or mirror that permits the party to see and hear the child during the child’s testimony, but does not allow the child to see or hear the party. However, if a party is so confined, the court shall take measures to insure that the party and counsel can confer during the testimony and shall inform the child that the party can see and hear the child during testimony.”
The dissent finds Dean Wigmore more persuasive than President Eisenhower or even William Shakespeare. Post, at 1029. Surely that must depend upon the proposition that they are cited for. We have cited the latter two merely to illustrate the meaning of “confrontation,” and both the antiquity and currency of the human feeling that a criminal trial is not just unless one can confront his accusers. The dissent cites Wigmore for the proposition that confrontation “was not a part of the common law’s view of the confrontation requirement.” Ibid. To begin with, Wigmore said no such thing. What he said, precisely, was:
“There was never at common law any recognized right to an indispensable thing called confrontation as distinguished from cross-examination. There was a right to cross-examination as indispensable, and that right was involved in and secured by confrontation; it was the same right under different names.” 5 J. Wigmore, Evidence §1397, p. 158 (J. Chadboum rev. 1974) (emphasis in original).
He was saying, in other words, not that the right of confrontation (as we are using the term, i. e., in its natural sense) did not exist, but that its purpose was to enable cross-examination. He then continued:
“It follows that, if the accused has had the benefit of cross-examination, he has had the very privilege secured to him by the Constitution.” Ibid.
Of course, that does not follow at all, any more than it follows that the right to a jury trial can be dispensed with so long as the accused is justly convicted and publicly known to be justly convicted — the purposes of the right to jury trial. Moreover, contrary to what the dissent asserts, Wig-more did mention (inconsistently with his thesis, it would seem), that a secondary purpose of confrontation is to produce “a certain subjective moral effect. . . upon the witness.” Id., §1395, p. 153. Wigmore grudgingly acknowledged that, in what he called “earlier and more emotional periods,” this effect “was supposed (more often than it now is) to be able to unstring the nerves of a false witness,” id., § 1395, p. 153, n. 2; but he asserted, without support, that this effect “does not arise from the confrontation of
We doubt it. In any case, Wigmore was not reciting as a fact that there was no right of confrontation at common law, but was setting forth his thesis that the only essential interest preserved by the right was cross-examination — with the purpose, of course, of vindicating against constitutional attack sensible and traditional exceptions to the hearsay rule (which can be otherwise vindicated). The thesis is on its face implausible, if only because the phrase “be confronted with the witnesses against him” is an exceedingly strange way to express a guarantee of nothing more than cross-examination.
As for the dissent’s contention that the importance of the confrontation right is “belied by the simple observation” that “blind witnesses [might have] testified against appellant,” post, at 1030, that seems to us no more true than that the importance of the right to live, oral cross-examination is belied by the possibility that speech- and hearing-impaired witnesses might have testified.
Concurrence Opinion
with whom Justice White joins, concurring.
I agree with the Court that appellant’s rights under the Confrontation Clause were violated in this case. I write separately only to note my view that those rights are not absolute but rather may give way in an appropriate case to other competing interests so as to permit the use of certain procedural devices designed to shield a child witness from the trauma of courtroom testimony.
Child abuse is a problem of disturbing proportions in today’s society. Just last Term, we recognized that “[c]hild abuse is one of the most difficult problems to detect and prosecute, in large part because there often are no witnesses except the victim.” Pennsylvania v. Ritchie,
' While I agree with the Court that the Confrontation Clause was violated in this case, I wish to make clear that nothing in today’s decision necessarily dooms such efforts by state legislatures to protect child witnesses. Initially, many such procedures may raise no substantial Confrontation Clause problem since they involve testimony in the presence of the defendant. See, e. g., Ala. Code §15-25-3 (Supp. 1987) (one-way closed-circuit television; defendant must be in same room as witness); Ga. Code Ann. § 17-8-55 (Supp. 1987) (same); N. Y. Crim. Proc. Law §§65.00-65.30 (McKinney Supp. 1988) (two-way closed-circuit television); Cal. Penal Code Ann. § 1347 (West Supp. 1988) (same). Indeed, part of the statute involved here seems to fall into this category since in addition to authorizing a screen, Iowa Code § 910A. 14 (1987) permits the use of one-way closed-circuit television with “parties” in the same room as the child witness.
Thus, I would permit use of a particular trial procedure that called for something other than face-to-face confrontation if that procedure was necessary to futher an important public policy. See ante, at 1021 (citing Ohio v. Roberts, supra; Chambers v. Mississippi, supra). The protection of child witnesses is, in my view, and in the view of a substantial majority of the States, just such a policy. The primary focus therefore likely will be on the necessity prong. I agree with the Court that more than the type of generalized legislative finding of necessity present here is required. But if a court makes a case-specific finding of necessity, as is required by a number of state statutes, see, e. g., Cal. Penal Code Ann. § 1347(d)(1) (West Supp. 1988); Fla. Stat. §92.54(4) (1987); Mass. Gen. Laws §278:16D(b)(l) (1986); N. J. Stat. Ann. § 2A:84A-32.4(b) (Supp. 1988), our cases suggest that the strictures of the Confrontation Clause may give way to the compelling state interest of protecting child witnesses. Because nothing in the Court’s opinion conflicts with this approach and this conclusion, I join it.
Dissenting Opinion
with whom The Chief Justice joins, dissenting.
Appellant was convicted by an Iowa jury on two counts of engaging in lascivious acts with a child. Because, in my view, the procedures employed at appellant’s trial did not offend either the Confrontation Clause or the Due Process Clause, I would affirm his conviction. Accordingly, I respectfully dissent.
A
The Sixth Amendment provides that a defendant in a criminal trial “shall enjoy the right... to he confronted with the witnesses against him.” In accordance with that language, this Court just recently has recognized once again that the essence of the right protected is the right to be shown that the accuser is real and the right to probe accuser and accusation in front of the trier of fact:
“‘The primary object of the [Confrontation Clause] was to prevent depositions or ex parte affidavits . . . being used against the prisoner in lieu of a personal examination and cross-examination of the witness in which the accused has an opportunity, not only of testing the recollection and sifting the conscience of the witness, but of compelling him to stand face to face with the jury in order that they may look at him, and judge by his demeanor upon the stand and the manner in which he gives his testimony whether he is worthy of belief.”’ Kentucky v. Stincer,482 U. S. 703 , 736-737 (1987), quoting Mattox v. United States,156 U. S. 237 , 242-243 (1895).
Two witnesses against appellant in this case were the 13-year-old girls he was accused of sexually assaulting. During their testimony, as permitted by a state statute, a one-way screening device was placed between the girls and appellant, blocking the man accused of sexually assaulting them .from the girls’ line of vision.
The Court describes appellant’s interest in ensuring that the .girls could see him while they testified as “the irreducible literal meaning of the Clause.” Ante, at 1021. Whatever may be the significance of this characterization, in my view it is not borne out by logic or precedent. While I agree with the concurrence that “[t]here is nothing novel” in the proposition that the Confrontation Clause “ ‘reflects a preference’ ” for the witness to be able to see the defendant, ante, at 1024, quoting Ohio v. Roberts,
The weakness of the Court’s support for its characterization of appellant’s claim as involving “the irreducible literal meaning of the Clause” is reflected in its reliance on literature, anecdote, and dicta from opinions that a majority of this Court did not join. The majority cites only one opinion of the Court that, in my view, possibly could be understood as ascribing substantial weight to a defendant’s right to ensure that witnesses against him are able to see him while they are testifying: “Our own decisions seem to have recognized at an early date that it is this literal right to ‘confront’ the witness at the time of trial that forms the core of the values furthered by the Confrontation Clause.” California v. Green,
Whether or not “there is something deep in human nature,” ante, at 1017, that considers critical the ability of a witness to see the defendant while the witness is testifying,
Similarly, in discussing the constitutional confrontation requirement, Wigmore notes that, in addition to cross-examination — “the essential purpose of confrontation” — there is a “secondary and dispensable element[of the right:] . . . the presence of the witness before the tribunal so that his demeanor while testifying may furnish such evidence of his credibility as can be gathered therefrom. . . . [This principle] is satisfied if the witness, throughout the material part of his testimony, is before the tribunal where his demeanor can be adequately observed.” (Emphasis in original.) 5 Wigmore, §1399, p. 199. The “right” to have the witness view the defendant did not warrant mention even as part of the “sec
That the ability of a witness to see the defendant while the witness is testifying does not constitute an essential part of the protections afforded by the Confrontation Clause is also demonstrated by the exceptions to the rule against hearsay, which allow the admission of out-of-court statements against a defendant. For example, in Dutton v. Evans,
Finally, the importance of this interest to the Confrontation Clause is belied by the simple observation that, had blind witnesses testified against appellant, he could raise no serious objection to their testimony, notwithstanding the identity of that restriction on confrontation and the one here presented.
While I therefore strongly disagree with the Court’s insinuation, ante, at 1016, 1019-1020, that the Confrontation Clause difficulties presented by this case are more severe than others this Court has examined, I do find that the use of the screening device at issue here implicates “a preference for face-to-face confrontation at trial,” embodied in the Confrontation Clause. Ohio v. Roberts,
Indisputably, the state interests behind the Iowa statute are of considerable importance. Between 1976 and 1985, the number of reported incidents of child maltreatment in the United States rose from 0.67 million to over 1.9 million, with an estimated 11.7 percent of those cases in 1985 involving allegations of sexual abuse. See American Association for Protecting Children, Highlights of Official Child Neglect and Abuse Reporting 1985, pp. 3, 18 (1987). The prosecution of these child sex-abuse cases poses substantial difficulties because of the emotional trauma frequently suffered by child witnesses who must testify about the sexual assaults they have suffered. “[T]o a child who does not understand the reason for confrontation, the anticipation and experience of being in close proximity to the defendant can be overwhelm
Thus, the fear and trauma associated with a child’s testimony in front of the defendant have two serious identifiable consequences: They may cause psychological injury to the child, and they may so overwhelm the child as to prevent the possibility of effective testimony, thereby undermining the truth-finding function of the trial itself.
Appellant argues, and the Court concludes, ante, at 1021, that even if a societal interest can justify a restriction on a
In concluding that the legislature may not allow a court to authorize the procedure used in this case when a 13-year-old victim of sexual abuse testifies, without first making a specific finding of necessity, the Court relies on the fact that the Iowa procedure is not ‘“firmly . . . rooted in our jurisprudence.’” Ante, at 1021, quoting Bourjaily v. United States,
For these reasons, I do not believe that the procedures used in this case violated appellant’s rights under the Confrontation Clause.
II
Appellant also argues that the use of the screening device was “inherently prejudicial” and therefore violated his right to due process of law. The Court does not reach this question, and my discussion of the issue will be correspondingly brief.
Questions of inherent prejudice arise when it is contended that “a procedure employed by the State involves such a probability that prejudice will result that it is deemed inherently lacking in due process.” Estes v. Texas,
During the girls’ testimony, the screening device was placed in front of the defendant. In order for the device to function properly, it was necessary to dim the normal courtroom lights and focus a panel of bright lights directly on the screen, creating, in the trial judge’s words, “sort of a dramatic emphasis” and a potentially “eerie” effect. App. 11, 14. Appellant argues that the use of the device was inherently prejudicial because it indicated to the jury that appellant was guilty. I am unpersuaded by this argument.
Unlike clothing the defendant in prison garb, Estelle v. Williams, supra, or having the defendant shackled and gagged, Illinois v. Allen,
. In addition, the trial court instructed the jury to draw no inference from the device:
“It’s quite obvious to the jury that there’s a screen device in the courtroom. The General Assembly of Iowa recently passed a law which provides for this sort of procedure in cases involving children. Now, I would caution you now and I will caution you later that you are to draw no inference of any kind from the presence of that screen. You know, in the plainest of language, that is not evidence of the defendant’s guilt, and it shouldn’t be in your mind as an inference as to any guilt on his part. It’s very important that you do that intellectual thing.” App. 17.
Given this helpful instruction, I doubt that the jury — which we must assume to have been intelligent and capable of following instructions — drew an improper inference from the screen, and I do not see that its usé was inherently prejudicial. After all, “every practice tending to single out the accused from everyone else in the courtroom [need not] be struck down.” Holbrook v. Flynn,
I would affirm the judgment of conviction.
Apparently the girls were unable to identify appellant as their attacker. Their ability to observe their attacker had been limited by the facts that it was dark, that he shined a flashlight in their eyes, and that he told them not to look at him. The attacker also appeared to be wearing a stocking over his head. Thus, the State made no effort to have the girls try to identify appellant at trial, which could not have been done, of course, without moving the screen. Neither did appellant attempt to demonstrate that the girls could not identify him. This case therefore does not present the question of the constitutionality of the restriction on cross-examination
Iowa law requires that the court “inform the child that the party can see and hear the child during testimony.” Iowa Code § 910A. 14(1) (1987). Although the record in this case does not contain a transcript of the court’s so advising the girls, the Iowa Supreme Court noted that appellant “makes no assertion [that the] trial court failed to comply with” this or other terms of the statute.
Interestingly, the precise quotation from Richard II the majority uses to explain the “root meaning of confrontation,” ante, at 1016, is discussed in 5 J. Wigmore, Evidence § 1395, p. 153, n. 2 (J. Chadbourn rev. 1974). That renowned and accepted authority describes the view of confrontation expressed by the words of Richard II as an “earlier conception, still current in [Shakespeare’s] day” which, by the time the Bill of Rights was ratified, had merged “with the principle of cross-examination.” Ibid.
The Court answers that this is “no more true than that the importance of the right to live, oral cross-examination is belied by the possibility that speech- and hearing-impaired witnesses might have testified.” Ante, at 1019, n. 2. The Court’s comparison obviously is flawed. To begin with, a deaf or mute witness who was physically incapable of being cross-examined presumably also would be unable to offer any direct testimony. More im
Indeed, some experts and commentators have concluded that the reliability of the testimony of child sex-abuse victims actually is enhanced by the use of protective procedures. See State v. Sheppard, 197 N. J. Super. 411, 416,
For example, statements of a co-conspirator, excited utterances, and business records are all generally admissible under the Federal Rules of Evidence without case-specific inquiry into the applicability of the rationale supporting the rule that allows their admission. See Fed. Rules Evid. 801(d)(2), 803(2), 803(6). As to the first of these, and the propriety of their admission under the Confrontation Clause without any special showing, see United States v. Inadi,
