Lead Opinion
A jury convicted appellant of distribution of cocaine, D.C.Code § 33-541(a)(l) (1988), possession of drug paraphernalia with intent to use, id. § 33-603(a), and willfully failing to appear, id. § 23-1327(a) (1989).
I.
A.
The trial court permitted the government to introduce Superior Court docket entries for March 3, 1989, and May 15, 1989, to prove that appellant was in court on March 3 and absent on May 15. Arlington G. Sellers, a calendar coordinator and twenty-year Superior Court employee who had served eight years as a courtroom clerk, was qualified as an expert in courtroom procedures. Cf. Smith v. United States,
The government concedes the docket entries are hearsay. The critical question is whether these entries were admissible in evidence under a recognized exception to the hearsay rule. The government cites the public records exception:
All documents prepared by public officials pursuant to a duty imposed by law or required by the nature of their offices are admissible as proof of the facts stated therein. * * * The reason [for] the rule is that it would be burdensome and inconvenient to call public officials to appear in the myriad cases in which their testimony might be required in a court of law, and that records and reports prepared by such officials in the course of their duties are generally trustworthy.
Howard v. United States, 108 U.S.App. D.C. 38, 39-40,
To come within this exception, the record first must be authenticated as an official record of the governmental body in question. See Super.Ct.Crim.R. 27(a)(1);
Appellant does not question that the certified copy of the case file identified by Sellers met the authentication requirement of Super.Ct.Crim.R. 27(a)(1), supra note 2. Appellant acknowledges, moreover, that the docket entries were made in the course of official duty.
Appellant’s argument is unconvincing. The official who prepares a document need not testify to satisfy the personal knowledge requirement of the public record exception. See Howard,
The record before us is sufficient to sustain a finding that the docket entries were made with the required personal knowledge. Sellers identified the docket entries as official court records and testified that they appeared to have been made in conformity with normal courtroom procedures, i.e., under personal observation of the courtroom clerk. Moreover, the entries were initialled “D.B.,” whom Sellers identified as Donald Baumgartner, a courtroom clerk under his supervision.
Appellant also challenges the admissibility of the Notice to Return to Court dated March 3, 1989 purportedly signed by appellant. This notice advised appellant of the time and place of trial, bore the signature of “Delores Goldsberry,” and was witnessed by Deputy Clerk “D. Baumgart-ner.” Appellant argues that the notice was inadmissible hearsay introduced for the truth of the matter asserted, i.e., that appellant had signed the document. Appellant is mistaken. The notice was not hearsay; rather, it was offered merely “to show that certain words had been said to appellant” which, as a result, showed that she had notice of her next appearance date. Jenkins v. United States,
II.
A.
Appellant argues that even if the docket entries were admissible in evidence under the public record exception to the hearsay rule, their admission violated her Sixth Amendment right to confront witnesses against her. See Ohio v. Roberts,
The Supreme Court has held that, in general, statements admissible under an exception to the hearsay rule will satisfy the requirements of the Sixth Amendment Confrontation Clause if two conditions are met: (1) the prosecution must demonstrate that the declarant is unavailable to testify, and (2) the statement must have adequate indicia of reliability, which may be inferred either from its falling “within a firmly rooted hearsay exception” or from some other “showing of particularized guarantees of trustworthiness.” Roberts,
The fact that the courtroom clerk, Mr. Baumgartner, was on leave does not necessarily mean he was “unavailable” within the meaning of Roberts and subsequent Supreme Court cases. On the other hand, in United States v. Inadi,
In Inadi, for example, the Court held that the Confrontation Clause does not require a showing of unavailability as a condition for admission of the out-of-court statements of a non-testifying co-conspirator. See Inadi,
Roberts simply reaffirmed a longstanding rule, foreshadowed in Pointer v. Texas, 380 U.S. 400 [85 S.Ct. 1065 ,13 L.Ed.2d 923 ] (1965), established in Barber [v. Page,390 U.S. 719 ,88 S.Ct. 1318 ,20 L.Ed.2d 255 (1968) ], and refined in a line of cases up through Roberts, that applies unavailability analysis to prior testimony. Roberts cannot fairly be read to stand for the radical proposition that no out-of-court statement can be introduced by the government without a showing that the declarant is unavailable.
Id. at 394,
Having noted that the unavailability rule had been established in cases concerning admission of “prior testimony,” the Inadi Court found it easy to distinguish the case before it from Roberts and its predecessors. The Court noted that statements by co-conspirators at the time they were made have evidentiary significance that could not be recaptured through live testimony at trial. According to the Court, such statements “are usually irreplaceable as substantive evidence,” and thus their admission “actually furthers the ‘Confrontation Clause’s very mission’ which is to ‘advance the “accuracy of the truth-determining process in criminal trials.” ’ ” Id. at 396,
This rationale was sufficiently distinct that the Court was not forced to limit the unavailability rule to prior testimony situations; perhaps another situation falling somewhere between the Roberts line of cases and the Inadi co-conspirator ruling would provide good reason to reinvigorate the unavailability rule. Accordingly, if we are to say witness availability is not required in a situation — such as the instant case — that does not call for admission of prior testimony, we believe we must provide a reason beyond mere citation of Inadi showing why constitutional admissibility does not require live testimony.
We begin by noting that the docket entries, as such, are not prior testimony. Furthermore, unlike such testimony, their admissibility under an exception to the hearsay rule “is not premised on the [de-clarant’s] unavailability.” Harrison v. United States,
As we have said in another context: “[i]n limited situations, production of an available witness may be excused where the utility of trial confrontation is remote. This is such a situation.” Howard v. United States,
We turn to the reliability criterion. That criterion is easily met here because the public record exception is “firmly rooted,” Roberts,
In sum, admissibility of the docket entries under the public record exception meets Confrontation Clause requirements — as courts in other jurisdictions have held. See, e.g., Hing Shair Chan,
B.
Appellant also contends that admission of the Notice to Return to Court violated her rights under the Confrontation Clause. She is wrong because evidence that is not hearsay does not implicate the Confrontation Clause. See United States v. Wright,
III.
Appellant also challenges the trial court’s denial of her motion for judgment of acquittal based on insufficient evidence. We may reverse only if, viewing the evidence in the light most favorable to the government, the trial court decision is clearly erroneous. See Raymond v. United States,
There was sufficient evidence, viewed in the light most favorable to the government, from which a jury could find willfulness. Sellers testified that a status hearing is typically held with all parties present, and the March 3, 1989 docket entry indicates that appellant was present at that hearing. Moreover, the signature, “Delores Goldsberry,” appeared on the notice to return May 15, 1989. These facts were sufficient to establish a prima facie case that appellant willfully failed to appear. See Trice v. United States,
Affirmed.
Notes
. The trial court sentenced appellant to a prison term of twenty months to five years on the distribution charge, to a concurrent prison term of thirty days on the drug paraphernalia charge, and to a consecutive prison term of one to three years for failure to appear.
. Super.Ct.Crim.R. 27(a)(1) on authenticating official domestic records provides:
An official record kept within the United States, or any state, district, commonwealth, territory, or insular possession thereof, or within the Panama Canal Zone, the Trust Territory of the Pacific Islands, or the Ryukyu Islands, or an entry therein, when admissible for any purpose, may be evidenced by an official publication thereof or by a copy attested by the officer having the legal custody of the record, or by the officer’s deputy, and accompanied by a certificate that such officer has the custody. The certificate may be made by a judge of a court of record of the district or political subdivision in which the record is kept, authenticated by the seal of the court, or may be made by any public officer having a seal of office and having official duties in the district or political subdivision in which the record is kept, authenticated by the seal of the officer’s office.
. Courtroom clerks are guided by Super.Ct.Crim.R. 55 ("Records of the Clerk"):
The clerk shall make entries in appropriate dockets and records of all papers and documents filed in the clerk’s office and of all proceedings of the Court.
. Because Sellers was able to identify the official who made the docket entries, we need not reach the question whether it is necessary, for admissibility, to identify the person who recorded an item in the public record. The caselaw suggests, however, that admissibility does not depend on such identification. A document will be admissible merely if competent evidence shows it was made pursuant to official duty. See, e.g., Hara,
. As indicated in Part I.B. infra, the Notice to Return to Court was signed by "D. Baumgart-ner.” This further corroborates Sellers’ testimony that the “D.B." who signed the docket entries was Donald Baumgartner.
. Appellant relies on United States v. Oates,
Chemist reports are admissible under a special statute in the District of Columbia. See
. The significance of such statements as substantive evidence is also reflected in the Federal Rules of Evidence, which provide that a statement is not hearsay if it "is offered against a party and is ... a statement by a coconspirator of a party during the course and in furtherance of the conspiracy." FRE § 801(d)(2)(E).
Concurrence Opinion
concurring:
Despite some tempering language in the majority opinion, referring to reinvigoration of the unavailability rule, see majority opinion at 381, I respectfully suggest that the majority has misconstrued United States v. Inadi,
Although the Court in Ohio v. Roberts disclaimed any intention to state a rule which would be uniformly applicable to all hearsay exceptions, it stated that “a general approach to the problem is discernible.” Ohio v. Roberts, supra,
In sum, when a hearsay declarant is not present for cross-examination at trial, the Confrontation Clause normally requires a showing that he is unavailable. Even then, his statement is admissible only if it bears adequate “indicia of reliability.” Reliability 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 Court’s subsequent opinion in Inadi, supra,
Had the Court attempted in Inadi to confine Ohio v. Roberts to prior testimony, the opinion could have ended with the discussion of Ohio v. Roberts. Instead, the Inadi Court discusses at length the “good reasons why the unavailability rule, developed in cases involving former testimony, is not applicable to co-conspirators’ out-of-court statements.” Id. at 394,
Accordingly, in the absence of unique characteristics sufficient to justify a departure from the unavailability restriction set forth in Ohio v. Roberts, the Confrontation Clause requirements would not have been met,
In Howard v. United States,
The business and public records hearsay exceptions are among the exceptions that rest upon such solid foundations that admission of virtually any evidence within them comports with the substance of the constitutional protection.
Id. at 838. Turning to the unavailability restriction of Ohio v. Roberts, the court observed first, that the defendant was “not precluded from inquiring into the reliability of the testing procedure or the qualification of the chemist,” (“[A] defendant is free to subpoena the reporting chemist without cost. Thus, a defendant is not substantially disadvantaged by the government’s failure to call the out-of-court declarant and
Having concluded that the EMIT test results are presumptively reliable and thus properly admissible into evidence, and that the Agency’s record reporting the test result falls within the business records exception to the hearsay rule ... we believe it is immaterial that neither a scientific expert on the EMIT system nor the technician who actually conducted the test was presented at trial.
Jones, supra,
To the extent that this court has viewed Ohio v. Roberts as leaving open the possibility that upon “a showing of particularized guarantees of trustworthiness,”
courts should start with the proposition that as a general rule confrontation prohibits the use of business or agency records in criminal trials. However, there are cases in which the records have very high probative value and should be used. Certainly, before considering the evidence the Court should require a showing that the witness who made the record is absent and that a good faith effort to procure his attendance has been made. Then, weighing the probable reliability of the records, their significance in proving the charge against the defendant, and the seriousness of the charge the evidence would be admitted at the court’s discretion.
30 La.L.Rev. at 668-69.
While there may on occasion be language in Supreme Court decisions to suggest that the Court is placing greater emphasis on “the necessities of trial and the adversary process” than on “[t]he central concern of the Confrontation Clause ... to ensure the reliability of the evidence against a criminal defendant by subjecting it to rigorous testing in the context of an adversary proceeding before the trier of fact,” see, e.g., Maryland v. Craig, supra note 1,
Accordingly, because I am unable to join the majority’s rationale for dispensing with the unavailability requirement, but am bound by our decisions in Howard, supra, and Jones, supra, I concur in the affirmance of the judgment of conviction for willfully failing to appear. M.A.P. v. Ryan,
. In Idaho v. Wright, supra, the Court was not presented with an issue relating to the unavailability of the child in deciding whether the child’s out of court statements were admissible.
. The Court noted the complexity of reconciling Confrontation Clause and hearsay rules, and ”reject[ed] the invitation to overrule a near-century of jurisprudence” by altering its basic approach to cases in this area. Id.
. Upon applying Ohio v. Roberts, it is at least doubtful whether special circumstances exist in the instant case to justify a departure from Ohio v. Roberts’ restriction of unavailability. Unlike co-conspirator statements, public records are not unique evidence of the context of past events. Inadi, supra,
. The evidence of the docket entries, which, according to the supervisor, were made by Mr. Baumgartner, was crucial to proving that appellant failed to appear; no other witness testified on this point, and no evidence other than the disputed hearsay provided corroboration of the supervisor’s testimony. By contrast with the restricted cross-examination for bias at issue in Delaware v. Van Arsdall, supra, the evidence of Mr. Baumgartner’s docket entries was not subject to cross-examination at all. The instant case also is unlike Harrison v. United States,
. The Comment discussed United States v. Holmes,
The note which apparently was sent the Selective Service Board by the civilian employer was not dated or signed and there was no indication who wrote and mailed it. It seems clear that the defendant had no opportunity to cross examine the witness against him and indeed did not even know who the witness was. It is equally clear that the circumstances surrounding the note do not protect the defendant’s right of confrontation.
30 La.L.Rev. at 668 (citing, inter alia, Morales v. Superior Court,
. In Inadi, supra, the Court concluded that administrative burdens outweighed any benefits to be gained from confrontation only after concluding that there were no benefits to be gained.
