Lead Opinion
delivered the Opinion of the Court.
I. Introduction
In this case, we consider whether the preliminary hearing testimony of an unavailable witness is admissible at trial. In accordance with the United States Supreme Court's recent decision in Crawford v. Washington, — U.S. —,
II. Facts and Procedure
The victim in this case, Darla Fischer, died as a result of complications related to a cerebral hemorrhage that was caused by an impact to the head. At trial, the parties disputed whether a fall or an assault caused the
At the preliminary hearing, the prosecution called Fry's uncle, Arlo Gene Burgess, to testify. Burgess testified that about two days after Fischer was hospitalized, Fry telephoned him and stated that "Darla [Fischer] was in the hospital and that he had put her there." Burgess further stated that Fry had told him he had hit Fischer and that he thought she had brain damage. However, Fry telephoned him again about two weeks later, Burgess testified, and told him that he had "no hand in it, that somebody else had done that."
Defense counsel did not cross-examine Burgess at the preliminary hearing. Burgess died before trial.
After Burgess died, Fry's counsel filed a Motion to Exclude Hearsay Testimony of Arlo Gene Burgess. Fry argued that Burgess's preliminary hearing testimony was inadmissible at trial pursuant to the Confrontation Clause in article II, section 16, of the Colorado Constitution, and this court's decision in People v. Smith,
The trial court denied the motion, ruling that Burgess's testimony was admissible under the residual hearsay exception, C.R.E. 807. The trial court reasoned that although People v. Smith prohibits the use of preliminary hearing testimony under C.R.E. 804, such testimony can be admitted pursuant to another hearsay exception which meets the two part test of unavailability and reliability as set forth in Ohio v. Roberts,
The court of appeals reversed. People v. Fry,
We granted certiorari to review two questions: first, whether Smith should be read to categorically exclude all preliminary hearing testimony, even when that testimony meets the two-part test of unavailability and reliability and would be admissible under a hearsay exception other than C.R.E. 804, the exception discussed in Smith; and second, whether any error was harmless beyond a reasonable doubt.
III Confrontation Clause
To answer the questions before us, we first briefly review the purposes and history behind the Confrontation Clause. Next, we examine the progression of United States Supreme Court cases analyzing the Confrontation Clause and our own interpretation and application of those cases. We then outline the nature and purpose of preliminary hearings in Colorado and how they impact our Confrontation Clause analysis. We then apply this analysis to the case before us and find that the use of a transcript from the preliminary hearing as evidence at trial violated Fry's right to confront the witnesses against him. Finally, we review the court of appeals' decision to determine whether the error in this case was harmless. We agree with the court of appeals' decision that the prosecution did not show beyond a reasonable doubt that the error was harmless. Thus, we affirm the court of appeals decision remanding the case for a new trial.
A. Confrontation and History Clause-Purposes
A defendant's right to confront the witnesses against him is guaranteed by both the Sixth Amendment of the United States Constitution and article II, section 16 of the Colorado Constitution.
The history behind the Confrontation Clause is discussed extensively in Crawford, — U.S. —, —,
The concept that an accused has the right to confront the witnesses against him dates back to Roman times, but was incorporated into English law in the 1600s. Crawford, — U.S. —, —,
Although several state constitutions included a right of confrontation, the United States Constitution did not originally include that right. Id. at 1862. Following criticism regarding the omission, the First Congress included the right in the Sixth Amendment. Id. The People of Colorado included a right to confrontation of witnesses against an accused in Colorado's original constitution and it has remained unchanged since that time. See Colo. Const. art. II, § 16.
In sum, the right of an accused to confront the witnesses against him has been regarded as a fundamental right for hundreds of years. It was included in both the United States and Colorado Constitutions to insure that persons would not be convicted on the basis of ex parte testimony and without the benefit of cross-examination. This right remains crucial to our adversarial system of law.
B. Confrontation Clause Case Law
We first examine the history of the U.S. Supreme Court's treatment of the Confrontation Clause. The Sixth Amendment of the United States Constitution applies to state prosecutions through the Fourteenth Amendment and we have followed U.S. Supreme Court law regarding the Confrontation Clause. In addition, we outline our case law and our interpretation of the Supreme Court's case law. >
Until the Supreme Court's recent decision in Crawford, the test for Confrontation Clause violations was outlined in Ohio v. Roberts,
Applying this test in Roberts, the Court found that the Confrontation Clause was not violated by the introduction of an unavailable witness's preliminary hearing testimony where the witness had been cross-examined at the preliminary hearing. Id. at 78. The Court held that "[slince there was an adequate opportunity to cross-examine [the witness], and counsel ... availed himself of that opportunity, the transeript ... bore sufficient 'indicia of reliability' and afforded 'the trier of fact a satisfactory basis for evaluating the truth of the prior statement'" Id. (citing Mancusi v. Stubbs,
We adopted the Roberts 'test in Dement,
The Supreme Court's recent decision in Crawford rejects the reliability prong of the Roberts test in favor of an inquiry into whether the defendant had a prior opportunity to cross-examine witnesses. Crawford, — U.S, —, —,
Thus, the Supreme Court's decision explains that the Clause provides a procedural, not a substantive, guarantee. Id. at 1370. "It commands, not that evidence be reliable, but that reliability be assessed in a particular manner: by testing in the crucible of cross-examination." Id. Therefore, the flaw in the Roberts test is that it allows judges to substitute their determinations of "amorphous notions of 'reliability'" for a jury's determination. Id. The Supreme Court cites inconsistent decisions of reliability as a reason why allowing courts to make reliability determinations about ex parte testimony does not provide the protection envisioned by the Framers adopting the Confrontation Clause. Id. at 1871 (citing Stevens,
Crowford limits its holding to "testimonial statements," noting that the Confrontation Clause applies to "witnesses" or those who "bear testimony." Id. at 1864. Crawford explicitly declines to define "testimonial" comprehensively, but notes that "it applies at a minimum to prior testimony at a preliminary hearing." - Id. at 1874.
The Supreme Court has refocused its analysis of Confrontation Clause violations, mandating not that evidence necessarily be reliable, but that its reliability be assessed in a particular manner-through ecross-exami-nation. The Crawford test therefore limits the admissibility of testimonial evidence, which includes preliminary hearing testimony, to that of unavailable witnesses whom the accused has had an adequate prior opportunity to cross-examine. In light of Crawford, we reject the Roberts reliability analysis that we adopted in Dement. Consequently, to the extent that Stevens and Farrell and any of our other prior cases employ that analysis, we overrule those cases. We therefore change our Confrontation Clause inquiry to whether a defendant had an adequate prior opportunity to cross-examine, not whether the previous testimony is reliable.
C. - Preliminary Hearings in Colorado
Before the holdings of either Roberts or Crawford, we noted that the admissibility of prior testimony depended on the nature of the proceeding at which the prior testimony was made. People v. Smith,
A preliminary hearing is limited to matters necessary to a determination of probable cause. Id. at 125,
A defendant has no constitutional right to unrestricted confrontation of witnesses and to introduce evidence at a preliminary hearing. By rule, defendants have the right to a preliminary hearing under certain circumstances, and pursuant to the rule a defendant 'may cross-examine witnesses against him and may introduce evidence in his own behalf" Crim. P. 7(bW)(@). However, the preliminary hearing is not intended to be a mini-trial or to afford the defendant an opportunity to effect discovery.
Id. at 125-26,
Additionally, the judge's findings at a preliminary hearing are restricted to a determination of probable cause. Id. at 125,
Given the limited nature of the preliminary hearing in Colorado, we held in Smith that the Colorado Confrontation Clause "precludes the admission of the tran-seript of a preliminary hearing at a subsequent trial when the witness whose testimony is sought has become unavailable." Id. at 126,
The right to confrontation is basically a trial right. It includes both the opportunity to cross-examine and the occasion for the jury to weigh the demeanor of the witness. A preliminary hearing is ordinarily a much less searching exploration into the merits of a case than a trial, simply because its function is the more limited one of determining whether probable cause exists to hold the accused for trial. ‘
1d. The Court's decision in Barber-that the exception to the right of confrontation arises only when a witness is unavailable and previously gave testimony that was subject to cross-examination by the defendant-thus foreshadowed its decision in Crawford requiring the same.
Thus, we have held that the preliminary hearing does not satisfy Confrontation Clause requirements. Smith,
D. Application
Before proceeding with our Confrontation Clause analysis, we point out what we do not discuss here. First, we do not delve into whether the preliminary hearing testimony would be admissible under a hearsay exception. Although admissibility under a hearsay exception may have lent support to a finding of reliability under the Roberts test, in light of Crawford, such a determination is
This case exemplifies the dangers of admitting preliminary hearing testimony as evidence at trial when the witness is unavailable. Burgess made several statements incriminating Fry at the preliminary hearing. Although Burgess's credibility was factually subject to attack, credibility determinations are not allowed at preliminary hearings. See Hunter,
To start, Burgess made several statements incriminating Fry at the preliminary hearing. Defense counsel did not cross-examine Burgess. Nonetheless, there were several reasons to question Burgess's credibility. First, Burgess had motive to lie. He stated that he had been assaulted by Fry in the past. Additionally, defense counsel presented evidence that showed that Burgess was involved intimately with the victim, who was Fry's girlfriend at the time. > Moreover, Burgess's character was not flawless. He had a history of criminal convictions and evidence indicated that he was constantly intoxicated. Finally, Burgess was hard of hearing and it was necessary to shout when speaking to him on the telephone. Thus, his testimony regarding telephone conversations with Fry was not necessarily accurate. In short, the preliminary hearing did not provide an adequate opportunity for Fry to confront Burgess and reveal these issues of credibility.
The introduction of Burgess's testimony at trial further demonstrated the importance of the right to confrontation. At trial, a police officer read Burgess's testimony to the jury. Although the trial court allowed Fry to present evidence that indirectly questioned Burgess's testimony, it denied Fry's request that he be allowed to rebut the testimony immediately after it was read. Thus, the procedure followed by the trial court did not allow any opportunity for Fry to attempt to rebut the testimony against him. ~
Because Burgess's testimony was not subject to cross-examination, or tested through any other means, it was allowed to stand unrebutted, its truth completely unquestioned. The evidence which brought to light some of the credibility issues was not allowed until Fry's case-in-chief, much later in the trial. Thus, the effect of that rebuttal was greatly diminished. Even if the trial court had allowed the evidence immediately after Burgess's testimony, however, such indirect contradictions do not carry the force of cross-examination. As the U.S. Supreme Court has stated, cross-examination is the " 'greatest legal engine ever invented for the discovery of truth'" Green,
IV. - Harmless Error Analysis
Having established that the admission of Burgess's testimony at trial constituted constitutional error, we must now determine whether the error was harmless.
Two types of constitutional error exist: structural errors, which affect the "framework within which the trial proceeds, rather than simply an error in the trial process itself"; and trial errors, which occur "during the presentation of the case to the jury and ... may therefore be quantitatively assessed in the context of other evidence presented." Blecha v. People,
The inquiry in a harmless error analysis is "whether the guilty verdiet actually rendered in this trial was surely unattributable to the error," and "not whether, in a trial that occurred without the error, a guilty verdict would surely have been rendered." Id. (quoting Sullivan v. Louisiana,
The error in this case was not harmless. Using the factors articulated above, we find that the prosecution did not meet its burden of proving that the error was harmless beyond a reasonable doubt.
First, the importance of Burgess's testimony is made clear by looking at the prosecution's treatment of the evidence. In its notice of intent to offer Burgess's preliminary hearing testimony, the prosecution stated that Burgess's testimony was "more probative on the issue of what happened to Darla Fischer than any other evidence in existence." In addition, the prosecution relied on Burgess's testimony on three different occasions in closing argument.
Second, although the evidence was cumulative in that Burgess's testimony was corroborated by Fischer's hearsay statements and the testimony of Fry's ex-girlfriend, both witnesses were also subject to attack.
Fry's ex-girlfriend, Karen LeDoux; also testified against Fry. She stated that Fry had told her that he had beat up Fischer. She also testified that Fry had hurt her on previous occasions. However, on cross-examination, LeDoux admitted that she had previously told the hospital and an acquaintance that her injuries were caused by her boyfriend at the time, not Fry. In addition, LeDoux testified that she had been convicted of forgery. Thus, although testimony corroborated Burgess's testimony, it was questioned extensively on cross-examination.
Burgess's testimony was contradicted by Ery's version of events. Fry told investigating officers that when Fischer came home on the morning of the injury, she appeared drunk or inebriated in some manner. Fry told the officer that he heard her fall outside the house and that when he helped her to the bedroom, she fell twice. Experts testified that Fischer's injuries could have been caused by a fall or accident. Additionally, the statements incriminating Fry were not corroborated by physical evidence. Consequently, had the trial court not erred in admitting Burgess's testimony, the incriminating evidence against Fry would have been substantially weaker.
Third, we review the extent of cross-examination. Defense counsel did not eross-exam-ine Burgess at the preliminary hearing. Although the prosecution knew that Burgess was in failing health, it did not depose him before trial, a procedure which would have allowed defense counsel an opportunity for cross-examination. See Crim. P. 15; Morse v. People,
Finally, the overall strength of the prosecution's case was questionable. Burgess's testimony was read by a police officer and relied upon heavily by the prosecution. Although the prosecution had corroborating witnesses, their testimony was not immune from attack. Additionally, there was no physical evidence linking Fry to the crime. In sum, the prosecution has not shown that the error in admitting Burgess's preliminary hearing testimony was harmless beyond a reasonable doubt.
V. Conclusion
We find that the defendant's right to confront the witnesses against him was violated when the trial court admitted the preliminary hearing testimony of an unavailable witness at trial. Pursuant to the United States Supreme Court's decision in Crawford, we hold that previous testimony is not admissible at trial unless the witness is unavailable and the defendant had an adequate prior opportunity for eross-examination. Thus, we reiterate our holding in Smith that a preliminary hearing does not present an adequate opportunity for cross-examination. Therefore, we hold that the trial court erred in admitting preliminary hearing testimony of an unavailable witness at trial. Furthermore, we hold that the error was not harmless.
Notes
. Specifically, we granted certiorari on the following questions:
Whether the pre-Rules of Evidence case of People v. Smith,198 Colo. 120 ,597 P.2d 204 (1979), should be read to categorically prohibit the admission of all preliminary hearing evidence even where: (a) the evidence is admissible under an exception to the hearsay rule set forth in the Rules of Evidence; and (b) the evidence is supported by "particularized guarantees of trustworthiness" sufficient to meet confrontation clause concerns as set forth by this court's and the United States Supreme Court's case law guiding the admission of evidence under exceptions to the hearsay rule.
Whether in light of the other evidence of the [respondent's] guilt, any erroneous admission of the respondent's uncle's preliminary hearing testimony was harmless beyond a reasonable doubt.
. The Sixth Amendment to the United States Constitution states:
"In all criminal prosecutions the accused shall enjoy the right ... to be confronted with the witnesses against him ...." The Colorado Constitution states:
"In criminal prosecutions the accused shall have the right ... to meet the witnesses against him face to face ...."
Although the federal Confrontation Clause does not include specific language requiring face to face confrontation, the U.S. Supreme Court has stated that " '[slimply as a matter of English' it confers at least 'a right to meet face to face all those who appear and give evidence at trial.'" Coy v. Iowa,
Dissenting Opinion
dissenting.
In the United States Supreme Court's recent and dramatic re-interpretation of the Confrontation Clause, see Crawford v. Washington, — U.S. —,
In Crawford, the Supreme Court overturns a line of authority, stretching back at least as far as 1980, see Ohio v. Roberts,
Perhaps because Crawford was concerned only with an ex parte statement, made during police interrogation, it made no attempt to further define the term "cross-examine" or specify cireumstances under which the "opportunity to cross-examine" might be considered constitutionally inadequate. It also nowhere suggests, however, that the Confrontation Clause envisions a more restrictive notion of "cross-examination" than the term itself implies or that the right to eross-exam-ine at a preliminary hearing must be considered inadequate. Quite the contrary, using the term "ex parte" at least a dozen times, the Supreme Court leaves no doubt 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." Id. at 1868,
The Crawford Court overruled Roberts, not only for analyzing the restrictions of the Confrontation Clause too narrowly, which resulted in the admission of "statements that do consist of ex parte testimony upon a mere finding of reliability;" but also for analyzing them too broadly by applying the same reliability standard to hearsay not consisting of ex parte testimony, which resulted "in close constitutional scrutiny in cases that are far removed from the core concerns of the Clause." See id. at 1869,
By articulating a blanket prohibition against the use of preliminary hearing statements at trial, the holding of this court in People v. Smith,
This has been particularly true of the federal courts, which have found preliminary hearing testimony constitutionally admissible at trial pursuant to Rule 804(b)(1) of the Federal Rules of Evidence, which is virtually identical with CRE 804(b)(1). See, eg., U.S. ex rel. Haywood v. Wolff,
In Smith, this court distinguished Colorado on the basis of the limited nature of its preliminary hearing. Limitations restricting the inquiry to probable cause and excluding questions of witness credibility, however, do not make preliminary hearings in this jurisdiction significantly different from those permitted by many other states or the federal government. See, eg., Coleman v. Burnett,
Whether or not the defendant committed the crime of which he is charged is the precise inquiry at a preliminary hearing, and the Colorado Rules of Criminal Procedure, like their federal counterparts, expressly guarantee a defendant the right to be represented by counsel and to call and cross-examine witnesses. See Crim. P. & (7)(b)(2). A preliminary hearing in Colorado is therefore not an ex parte proceeding and, as a matter of law, guarantees the defendant an "opportunity to cross-examine." Although an assessment of the credibility of witnesses is not within the seope of a probable cause determination, a defendant is not barred from challenging the perceptions, memory, or even veracity of witnesses who testify at a preliminary hearing. Nor is it irrelevant or meaningless to confront a witness with the goal of inducing him to correct, modify, or even retract his earlier statement. Even if the exercise of a court's discretion to limit examination could, under some cireum-stances, render the opportunity for cross-examination constitutionally inadequate, the blanket prohibition of Smith is unjustified.
In Smith, a case in which the primary holding concerning the materiality of perjured statements was subsequently overruled by the Supreme Court, see United States v. Gaudin,
I therefore respectfully dissent.
I am authorized to state that JUSTICE KOURLIS joins in the dissent.
