Lead Opinion
A jury convicted Rasim Causevic of one count of making a materially false statement, see 18 U.S.C. § 1001(a)(2), and one count of making a materially false statement in an immigration matter, see 18 U.S.C.A. § 1546(a). Mr. Causevic appealed, contending that he was denied his right to be confronted with the witnesses against him, see U.S. Const, amend. VI, and challenging the sufficiency of the evidence. Because we conclude that Mr. Causevic’s confrontation rights were violated, we reverse his convictions and remand for further proceedings.
I.
Since Mr. Causevic challenges the sufficiency of the evidence, we state the facts favorably to the guilty verdict. Mr. Causevic and his sister, Fadila Okanovic, entered the United States as Bosnian refugees from the former Yugoslavia during the civil war in that country. After a refugee has been in this country for a year, he or she may apply for permanent resident status, which, in turn, may eventually lead to citizenship. About ten years after Mr. Causevic arrived, he filed an application for permanent-resident status (also known as a Form 1-485) but did not complete the process. He filed another Form 1-485 three years later. The Citizen and Immigration Service (CIS) determines whether to grant applications for permanent residency, and, when conducting a routine background check, the CIS learned that Mr. Causevic might be sought in his home country on a murder charge. The CIS notified Immigration and Customs Enforcement (ICE), which obtained a report from the International Police (an Interpol want) that a “Rasim Causevic” was wanted in Bosnia-Herzegovina for murder, that the crime had occurred during the civil war in the former Yugoslavia, and that it involved the killing of a soldier in “Rasim Causevic’s” unit.
CIS Officers John Stewart and Ron Mace then interviewed Mr. Causevic to determine whether he was the person named in the Interpol want. They conducted the interview in English, and Mr. Causevic asked his sister, who accompa
Immediately afterward, two agents from ICE, which enforces immigration and customs laws, interviewed Mr. Causevic without his sister present. Mr. Causevic was again asked whether he had ever been arrested and whether he had killed anyone while in the armed services or before coming to the United States, and he responded in the negative once more. When the agents showed Mr. Causevic the Interpol want, he confirmed that he was the person named in the document but denied committing the crime. The agents then asked Ms. Okanovic to come into the interview room, telling her that they thought her brother might be more “forthcoming” if she were present; she came in and told her brother to tell the truth, and, as she put it, he “told them everything.” When asked whether he had committed any crimes, Mr. Causevic said “yes,” that in 1995, “I shot in body six bullets,” and that the victim “died after about two minutes.” Mr. Causevic asserted that did not know what else to do because the man was coming toward him with a knife. He added that he was taken from the scene, “put ... downtown for three days,” and then transferred to a unit with about three hundred other people until the jail was unlocked and everyone left.
Mr. Causevic was charged with six counts, all of which related to making false statements. The jury acquitted him on the first four counts, which were based on allegations that he falsely stated in his original and second Form 1-485 that “he had never been arrested.” But the jury returned a guilty verdict on Counts V and VI. Each of these two counts alleged that on the day he was interviewed, Mr. Causevic falsely stated that he had never been arrested, had never killed anyone while in the armed forces in the former Yugoslavia, and had never killed anyone before coming to the United States. The counts differed only in that Count V charged him with violating § 1001(a)(2), a general prohibition on false statements in federal matters, and Count VI charged him with violating § 1546(a), which pertains specifically to immigration proceedings.
During trial, Mr. Causevic objected to the admission of a Bosnian judgment convicting him of murder following a trial in absentia; the judgment (translated into English) recited that Mr. Causevic had committed murder by firing six bullets at a man at close range while they were serving in what it called an independent army of West Bosnia. The district court concluded that the judgment was not testimonial and thus its admission would not vio
II.
Mr. Causevic maintains that the district court erred in admitting the Bosnian judgment of conviction because its admission violated the Confrontation Clause, which states, “In all criminal prosecutions, the accused shall enjoy the right ... to be confronted with the witnesses against him.” U.S. Const, amend. VI. We review the district court’s rejection of this contention de novo. United States v. Holmes,
Mr. Causevic challenges the government’s use of the judgment as substantive proof of an element of the charged crimes. In particular, he contends that his confrontation rights were violated when the government introduced the Bosnian murder conviction as proof that he killed someone, which he had denied. The government acknowledges that it relied on the conviction to show, contrary to Mr. Causevie’s CIS interview and related written statement, that he had fatally shot a man before coming to the United States.
Under the Sixth Amendment, a defendant has the right to confront those who “bear testimony” against him. Crawford v. Washington,
At first blush, it seems that the Bosnian judgment, as a public record, differs significantly from Crawford’s examples of testimonial statements, as well as the analysts’ reports at issue in Melendez-Diaz, which the Court emphasized were created specifically for use at the defendant’s trial for cocaine distribution, and identical to testimony that the analysts would have given had the government called them as witnesses. And the Ninth Circuit, in a case that the government relies on, has stated that “it is undisputed that public records, such as judgments, are not themselves testimonial [and] do not fall within the prohibition established ... in Crawford.” United States v. Weiland,
The Supreme Court long ago addressed this distinction in Kirby v. United States,
The Supreme Court held in Kirby that it was “fundamental error” for the trial court to admit evidence of the convictions. Id. at 60,
We' believe that the Supreme Court’s recent decisions make plain that Kirby’s holding remains vital because these cases have identified the judgments of conviction in Kirby as testimonial. In Davis, the Supreme Court cited Kirby to support an assertion that its “own Confrontation Clause jurisprudence was carefully applied only in the testimonial context.” Davis,
Following the same reasoning, we conclude that the Bosnian judgment at issue here was testimonial because the government used it as evidence that Mr. Causevic had lied when he said that he had not killed anyone. Mr. Causevic obviously had no opportunity at his false-statements trial to cross-examine the witnesses against him in his murder trial. The admission of the testimonial evidence therefore violated the Confrontation Clause unless the witnesses were “unavailable to testify, and the defendant had had a prior opportunity for cross-examination.” Crawford,
The government does not maintain on appeal that admission of the Bosnian judgment was harmless, so we are not obliged to reach the issue. See United States v. Williams,
We thus conclude that Mr. Causevic is entitled to a new trial because he was
III.
We must also address Mr. Causevic’s challenge to the sufficiency of the evidence because he is entitled to an acquittal if the government failed to make out its case. Burks v. United States,
Mr. Causevic was convicted of violating § 1001(a)(2) and § 1546(a). Each count alleged that he knowingly made material false statements to the CIS when he said that “he had never been arrested ..., that he had never killed anyone during his service in the armed forces or militia in the former Yugoslavia, that he had never killed anyone before coming to the United States.” Mr. Causevic contends that the government failed to offer evidence to support a finding beyond a reasonable doubt that any one of the statements was false, was material, or was knowingly made; these findings are necessary to both convictions. See 18 U.S.C. § 1001(a)(2), § 1546(a). But if there is evidence to support a finding beyond a reasonable doubt that any of the violations in a count in the indictment occurred, we must uphold the conviction on that count. See United States v. Van Nguyen,
We believe that the evidence admitted at trial and that we have already recited, viewed favorably to the verdict, was more than sufficient to support a finding beyond a reasonable doubt that Mr. Causevic falsely denied that he had killed anyone before coming to the United States. Mr. Causevic contends, however, that the government failed to establish the element of materiality because it did not show that the statement affected the CIS’s decision to deny his permanent-residency application. But under the relevant statutes, a false statement may be material even if the agency did not actually rely on it to make its decision; the statement need only have a “natural tendency to influence,” or be “capable of influencing, the decision.” United States v. Henderson,
Mr. Causevie argues that his case is different because the evidence shows that the statement occurred after CIS had made its decision. If he is right, we would face the question of whether a false statement can have a “tendency to influence” or be “capable of influencing” an already fully-formed decision, see Henderson,
In support of his argument, Mr. Causevic asserts that Officer Stewart’s testimony shows that he knew — before Mr. Causevic’s statement that he had not killed anyone — that his Form 1-485 application would be automatically denied because a subsequent application will not be granted when, as here, an earlier Form 1-485 application was deemed “abandoned.” To the contrary, however, Officer Stewart repeatedly resisted counsel’s attempts to get him to admit that the abandoned application prevented Mr. Causevie from prevailing, and we are aware of no evidence to support his assertion that it had that effect.
Nor does the record support Mr. Causevic’s contention that ICE Agent Shane Nestor testified that before the CIS agents had interviewed Mr. Causevie, one of them told him “that Mr. Causevic’s application was going to be denied for providing false information.” Agent Nestor acknowledged that he had said, in a form sent to the United States Attorney to initiate a case against Mr. Causevie, that CIS had stated that it was going to deny his application. But Agent Nestor testified that the CIS agent made this statement only after both the CIS interview and the ICE interview were concluded. Because the evidence supported a finding beyond a reasonable doubt that the CIS did not decide to deny Mr. Causevic’s application until after his false statement, he cannot prevail on a sufficiency-of-the-evidence argument that is bottomed on a contrary finding of fact.
Mr. Causevie maintains, finally, that he could not have knowingly made the false statements because he was not sufficiently proficient in English to understand the CIS officers’ questions. Mr. Causevie correctly notes that some witnesses agreed that he spoke “broken” English, but we do not think that that is enough to require a jury to conclude that he could not understand the questions that he answered, notably without consulting his sister, who was available to assist him. And one of the witnesses who agreed that his English was “broken” testified that he had spoken several times with Mr. Causevie and had had no difficulty understanding him. Though there is evidence that Mr. Causevic had some difficulty with the language, that evidence did not compel a reasonable juror to find that he did not understand the questions nor does it support the conclusion that no reasonable juror could find beyond a reasonable doubt that Mr. Cau
IV.
Because we conclude that the admission of the Bosnian judgment violated Mr. Causevie’s Sixth Amendment right to be confronted by the witnesses against him, we reverse his convictions and remand for further proceedings.
Concurrence Opinion
concurring.
I join the court’s opinion except with respect to part II. I also concur with the court’s conclusion that the admission of Mr. Causevie’s prior conviction violated his right to confront the witnesses against him. I disagree, however, with the method of analysis used by the court in determining that the record of Mr. Causevic’s prior conviction is a testimonial document subject to the Confrontation Clause. I believe the record of conviction is testimonial not because of the reason it was introduced at trial, but because it contained statements that were made specifically to be used against Mr. Causevic in a prior trial.
The Supreme Court’s decision in Crawford v. Washington,
Although Crawford did not provide a comprehensive definition of the term “testimonial,” subsequent Supreme Court decisions have clarified that whether a statement is testimonial depends on the primary purpose for which the statement was given or procured. In Davis v. Washington, the Court held that statements are not testimonial if they are made in response to “police interrogation under circumstances objectively indicating that the primary purpose of the interrogation is to enable police assistance to meet an ongoing emergency.”
The court correctly notes that Kirby was cited favorably in Crawford, Davis, and Melendez-Diaz. But a closer reading of those cases indicates that none support the analysis utilized by the court here. In each case, the Court’s citations to Kirby indicate only that the materials at issue in Kirby were likely testimonial — but not because of the way they were used at trial.
I believe that Mr. Causevic’s record of conviction, as it was admitted at trial, contained two types of statements — one of which is testimonial. First, the document contained various details of Mr. Causevic’s prior trial such as the date of the trial and the law he was convicted of violating. These statements are not testimonial because they are public records, created for administrative purposes rather than for
The Government offered the prior conviction as proof that Mr. Causevic actually committed the charged offense rather than merely as proof of his conviction. Thus, the factual narrative was also hearsay because it was offered for its truth. As a result, these statements fall within the scope of the Confrontation Clause and could not be admitted against Mr. Causevic absent a showing that the declarants were unavailable and that Mr. Causevic had a prior opportunity to cross-examine the declarants. Crawford,
Notes
. Our court has accordingly focused on the purpose a statement was made to determine whether it is testimonial and within the scope of the Confrontation Clause. See, e.g., United States v. Dale,
. Concluding that the materials at issue in Kirby were testimonial does not resolve this case. There, the Government submitted numerous documents from the prosecution of three other men including a copy of the grand jury indictment, the pleas of guilty given by two of the defendants, and even a transcript from the trial of the remaining defendant. Exh. A-L for Plaintiff, United States v. Kirby, No. 557 (D.S.D.1897) (on file with The National Archives, Kansas City, Missouri). Here, the only document challenged by Mr. Causevic on Confrontation Clause grounds is the record of his previous conviction.
. Melendez-Diaz and Crawford also cite Kirby as support for the proposition that if a statement is testimonial, it can only be admitted if the defendant had a prior opportunity to cross-examine the defendant. See Melendez-Diaz,
