WHITE v. ILLINOIS
No. 90-6113
Supreme Court of the United States
Argued November 5, 1991-Decided January 15, 1992
502 U.S. 346
Arleen C. Anderson argued the cause for respondent. With her on the brief were Roland W. Burris, Rosalyn B. Kaplan, Terence M. Madsen, and Douglas C. Smith.
Stephen L. Nightingale argued the cause for the United States as amicus curiae urging affirmance. With him on the brief were Solicitor General Starr, Assistant Attorney General Mueller, and Deputy Solicitor General Bryson.*
CHIEF JUSTICE REHNQUIST delivered the opinion of the Court.
In this case, we consider whether the Confrontation Clause of the Sixth Amendment requires that, before a trial court admits testimony under the “spontaneous declaration” and “medical examination” exceptions to the hearsay rule,
Petitioner was convicted by a jury of aggravated criminal sexual assault, residential burglary, and unlawful restraint.
Tammy Grigsby, S. G.‘s mother, returned home about 30 minutes later. Grigsby testified that her daughter appeared “scared” and a “little hyper.” Id., at 77-78. Grigsby proceeded to question her daughter about what had happened. At trial, Grigsby testified that S. G. repeated her claims that petitioner had choked and threatened her. Grigsby also testified that S. G. stated that petitioner had “put his mouth on her front part.” Id., at 79. Grigsby also noticed that S. G. had bruises and red marks on her neck that had not been there previously. Id., at 81. Grigsby called the police.
Officer Terry Lewis arrived a few minutes later, roughly 45 minutes after S. G.‘s scream had first awakened DeVore. Lewis questioned S. G. alone in the kitchen. At trial, Lewis’
After Lewis concluded his investigation, and approximately four hours after DeVore first heard S. G.‘s scream, S. G. was taken to the hospital. She was examined first by Cheryl Reents, an emergency room nurse, and then by Dr. Michael Meinzen. Each testified at trial, and their testimony indicated that, in response to questioning, S. G. again provided an account of events that was essentially identical to the one she had given to DeVore, Grigsby, and Lewis.
S. G. never testified at petitioner‘s trial. The State attempted on two occasions to call her as a witness, but she apparently experienced emotional difficulty on being brought to the courtroom and in each instance left without testifying. App. 14. The defense made no attempt to call S. G. as a witness, and the trial court neither made, nor was asked to make, a finding that S. G. was unavailable to testify. 6 Tr. 105-106.
Petitioner objected on hearsay grounds to DeVore, Grigsby, Lewis, Reents, and Meinzen being permitted to testify regarding S. G.‘s statements describing the assault. The trial court overruled each objection. With respect to DeVore, Grigsby, and Lewis the trial court concluded that the testimony could be permitted pursuant to an Illinois hearsay exception for spontaneous declarations.1 Petitioner‘s objections to Reents’ and Meinzen‘s testimony was similarly overruled, based on both the spontaneous declaration exception and an exception for statements made in the
Petitioner was found guilty by a jury, and the Illinois Appellate Court affirmed his conviction. It held that the trial court operated within the discretion accorded it under state law in ruling that the statements offered by DeVore, Grigsby, and Lewis qualified for the spontaneous declaration exception and in ruling that the statements offered by Reents and Meinzen qualified for the medical examination exception. 198 Ill. App. 3d 641, 648-656, 555 N. E. 2d 1241, 1246-1251 (1990). The court then went on to reject petitioner‘s Confrontation Clause3 challenge, a challenge based principally on language contained in this Court‘s decision in Ohio v. Roberts, 448 U. S. 56 (1980). It concluded that our later decision in United States v. Inadi, 475 U. S. 387 (1986), foreclosed any rule requiring that, as a necessary antecedent to the introduction of hearsay testimony, the prosecution must either produce the declarant at trial or show that the declarant is unavailable. The Illinois Supreme Court denied discretionary review, and we granted certiorari, 500 U. S. 904 (1991), limited to the constitutional question whether permitting the challenged testimony violated petitioner‘s Sixth Amendment Confrontation Clause right.4
Such a narrow reading of the Confrontation Clause, which would virtually eliminate its role in restricting the admission of hearsay testimony, is foreclosed by our prior cases. The discussions in these cases, going back at least as far as Mattox v. United States, 156 U.S. 237 (1895), have included histоrical examination of the origins of the Confrontation Clause and of the state of the law of evidence existing at the time the Sixth Amendment was adopted and later. We have been careful “not to equate the Confrontation Clause‘s prohibitions with the general rule prohibiting the admission of hearsay statements.” Idaho v. Wright, 497 U. S. 805, 814 (1990) (citations omitted). Nonetheless, we have consistently sought to “stee[r] a middle course,” Roberts, supra, at
We therefore now turn to petitioner‘s principal contention that our prior decision in Roberts requires that his conviction be vacated. In Roberts we considered a Confrontation Clause challenge to the introduction at trial of a transcript containing testimony from a probable-cause hearing, where the transcript included testimony from a witness not produced at trial but who had been subject to examination by defendant‘s counsel at the probable-causе hearing. In the course of rejecting the Confrontation Clause claim in that case, we used language that might suggest that the Confrontation Clause generally requires that a declarant either be produced at trial or be found unavailable before his out-of-court statement may be admitted into evidence. However, we think such an expansive reading of the Clause is negated by our subsequent decision in Inadi, supra.
In Inadi we considered the admission of out-of-court statements made by a co-conspirator in the course of the conspiracy. As an initial matter, we rejected the proposition that Roberts established a rule that “no out-of-court statement would be admissible without a showing of unavailability.”
Having clarified the scope of Roberts, the Court in Inadi then went on to reject the Confrontation Clause challenge presented there. In particular, we refused to extend the unavailability requirement established in Roberts to all out-of-court statements. Our decision rested on two factors. First, unlike former in-court testimony, co-conspirator statements “provide evidence of the conspiracy‘s context that cannot be replicated, even if the declarant testifies to the same matters in court,” Inadi, 475 U. S., at 395. Also, given a declarant‘s likely change in status by the time the trial occurs, simply calling the declarant in the hope of having him repeat his prior out-of-court statements is a poor substitute for the full evidentiary significance that flows from statements made when the conspiracy is operating in full force. Ibid.
Second, we observed that there is little benefit, if any, to be accomplished by imposing an “unavailability rule.”6 Such a rule will not work to bar absolutely the introduction of the out-of-court statements; if the declarant either is unavailable, or is available and produced for trial, the statements can be introduced. Id., at 396. Nor is an unavailability rule likely to produce much testimony that adds meaningfully to the trial‘s truth-determining process. Ibid.
These observations, although expressed in the context of evaluating co-conspirator statements, apply with full force to the case at hand. We note first that the evidentiary rationale for permitting hearsay testimony regarding spontaneous declarations and statements made in the course of receiving medical care is that such out-of-court declarations are made in contexts that provide substantial guarantees of their trustworthiness.8 But those same factors that contribute to
The preference for live testimony in the case of statements like those offered in Roberts is because of the importance of cross-examination, “the greatest legal engine ever invented for the discovery of truth.” Green, 399 U. S., at 158. Thus courts have adopted the general rule prohibiting the receipt of hearsay evidence. But where proffered hearsay has sufficient guarantees of reliability to come within a firmly rooted exception to the hearsay rule, the Confrontation Clause is satisfied.
We therefore think it clear that the out-of-court statements admitted in this case had substantial probative value, value that could not be duplicated simply by the declarant later testifying in court. To exclude such probative statements under the strictures of the Confrontation Clause would be the height of wrongheadedness, given that the Confrontation Clause has as a basic purpose the promotion of the
As a second line of argument, petitioner presses upon us two recent decisions involving child testimony in child-sexual-assault cases, Coy v. Iowa, supra, and Maryland v. Craig, 497 U. S. 836 (1990). Both Coy and Craig required us to consider the constitutionality of courtroom procedures designed to prevent a child witness from having to face across an open courtroom a defendant charged with sexually assaulting the child. In Coy we vacated a conviction that resulted from a trial in which a child witness testified from behind a screen, and in which there had been no particularized showing that such a procedurе was necessary to avert a risk of harm to the child. In Craig we upheld a conviction that resulted from a trial in which a child witness testified via closed circuit television after such a showing of necessity. Petitioner draws from these two cases a general rule that hearsay testimony offered by a child should be permitted only upon a showing of necessity-i. e., in cases where neces-
Petitioner‘s reliance is misplaced. Coy and Craig involved only the question of what in-court procedures are constitutionally required to guarantee a defendant‘s confrontation right once a witness is testifying. Such a question is quite separate from that of what requirements the Confrontation Clause imposes as a predicate for the introduction of оut-of-court declarations. Coy and Craig did not speak to the latter question. As we recognized in Coy, the admissibility of hearsay statements raises concerns lying at the periphery of those that the Confrontation Clause is designed to address, 487 U. S., at 1016. There is thus no basis for importing the “necessity requirement” announced in those cases into the much different context of out-of-court declarations admitted under established exceptions to the hearsay rule.
For the foregoing reasons, the judgment of the Illinois Appellate Court is
Affirmed.
JUSTICE THOMAS, with whom JUSTICE SCALIA joins, concurring in part and concurring in the judgment.
The Court reaches the correct result under our precedents. I write separately only to suggest that our Confrontation Clause jurisprudence has evolved in a manner that is perhaps inconsistent with the text and history of the Clause itself. The Court unnecessarily rejects, in dicta, the United States’ suggestion that the Confrontation Clause in general may not regulate the admission of hearsay evidence. See ante, at 352-353. The truth may be that this Court‘s cases unnecessarily have complicated and confused the relationship between the constitutional right of confrontation and the hearsay rules of evidence.
The Confrontation Clause provides simply that “[i]n all criminal prosecutions, the accused shall enjoy the right . . .
There is virtually no evidence of what the drafters of the Confrontation Clause intended it to mean. See California v. Green, 399 U. S. 149, 176, n. 8 (1970) (Harlan, J., concurring); Dutton v. Evans, 400 U. S. 74, 95 (1970) (Harlan, J., concurring in result); Baker, The Right to Confrontation, The Hearsay Rules, and Due Process-A Proposal for Determining When Hearsay May be Used in Criminal Trials, 6 Conn. L. Rev. 529, 532 (1974). The strictest reading would be to construe the phrase “witnesses against him” to confer on a defеndant the right to confront and cross-examine only those witnesses who actually appear and testify at trial. This was Wigmore‘s view:
“The net result, then, under the constitutional rule, is that, so far as testimony is required under the hearsay rule to be taken infrajudicially, it shall be taken in a certain way, namely, subject to cross-examination-not secretly or ex parte away from the accused. The Constitution does not prescribe what kinds of testimonial statements (dying declarations or the like) shall be given infrajudicially-this depends on the law of evidence for the time being-but only what mode of procedure shall be followed-i. e., a cross-examining procedure-in the case of such testimony as is required by the ordinary law
of evidence to be given infrajudicially.” 5 J. Wigmore, Evidence § 1397, p. 159 (J. Chadbourn rev. 1974) (footnote omitted; emphasis modified).
The Wigmore view was endorsed by Justice Harlan in his opinion concurring in the result in Dutton v. Evans, supra, at 94. It also finds support in the plain language of the Clause. As JUSTICE SCALIA recently observed:
“The Sixth Amendment does not literally contain a prohibition upon [hearsay] evidence, since it guarantees the defendant only the right to confront the ‘witnesses against him.’ As applied in the Sixth Amendment‘s context of a prosecution, the noun ‘witness’ in 1791 as today-could mean either (a) one ‘who knows or sees any thing; one personally present’ or (b) ‘one who gives testimony’ or who ‘testifies,’ i. e., ‘[i]n judicial proceedings, [one who] make[s] a solemn declaration under oath, for the purpose of establishing or making proof of some fact to a court.’ 2 N. Webster, An American Dictionary of the English Language (1828) (emphasis added). See also J. Buchanan, Linguae Britannicae Vera Pronunciatio (1757). The former meaning (one ‘who knows or sees‘) would cover hearsay evidence, but is excluded in the Sixth Amendment by the words following the noun: ‘witnesses against him.’ The phrase obviously refers to those who give testimony against the defendant at trial.” Maryland v. Craig, 497 U. S. 836, 864-865 (1990) (dissenting opinion).
The difficulty with the Wigmore-Harlan view in its purest form is its tension with much of the apparent history surrounding the evolution of the right of confrontation at common law and with a long line of this Court‘s precеdent, discussed below. For those reasons, the pure Wigmore-Harlan reading may be an improper construction of the Confrontation Clause.
Apparently in response to such abuses, a common-law right of confrontation began to develop in England during the late 16th and early 17th centuries. 5 Wigmore, supra, § 1364, at 23; Pollitt, supra, at 389-390. Justice Story believed that the Sixth Amendment codified some of this common law, 3 J. Story, Commentaries on the Constitution of the United States 662 (1833), and this Court previously has recognized the common-law origins of the right, see Salinger v. United States, 272 U. S. 542, 548 (1926) (“The right of con-
There appears to be little if any indication in the historical record that the exceptions to the hearsay rule were understood to be limited by the simultaneously evolving common-law right of confrontation. The Court has never explored the historical evidence on this point.1 As a matter of plain
“If one were to translate the Confrontation Clause into language in more common use today, it would read: ‘In all criminal prosecutions, the accused shall enjoy the right to be present and to cross-examine the witnesses against him.’ Nothing in this language or in its 18th-century equivalent would connote a purpose to control the scope of the rules of evidence. The language is particularly ill-chosen if what was intended was a prohibition on the use of any hearsay . . . .” Id., at 95 (opinion concurring in result).
The standards that the Court has developed to implement its assumption that the Confrontation Clause limits admission of hearsay evidence have no basis in the text of the Sixth Amendment. Ever since Ohio v. Roberts, 448 U. S. 56 (1980), the Court has interpreted the Clause to mean that hearsay may be admitted only under a “firmly rooted” exception, id., at 66, or if it otherwise bears “particularized guarantees of trustworthiness,” ibid. See, e. g., Idaho v. Wright, 497 U. S., at 816; Bourjaily v. United States, 483 U. S. 171, 183 (1987). This analysis implies that the Confrontation Clause bars only unreliable hearsay. Although the historical concern with trial by affidavit and anonymous accusers does reflect concern with the reliability of the evidence against a defendant, the Clause makes no distinction based on the reliability of the evidence presented. Nor does it seem likely that the drafters of the Sixth Amendment intended to permit a defendant to be triеd on the basis of ex parte affidavits found to be reliable. Cf.
The United States, as amicus curiae, has suggested that the Confrontation Clause should apply only to those persons who provide in-court testimony or the functional equivalent, such as affidavits, depositions, or confessions that are made in contemplation of legal proceedings. This interpretation is in some ways morе consistent with the text and history of the Clause than our current jurisprudence, and it is largely consistent with our cases. If not carefully formulated, however, this approach might be difficult to apply and might develop in a manner not entirely consistent with the crucial “witnesses against him” phrase.
In this case, for example, the victim‘s statements to the investigating police officer might be considered the functional equivalent of in-court testimony because the statements arguably were made in contemplation of legal proceedings. Attempts to draw a line between statements made in contemplation of legal proceedings and those not so made would entangle the cоurts in a multitude of difficulties. Few types of statements could be categorically characterized as within or without the reach of a defendant‘s confrontation rights. Not even statements made to the police or government officials could be deemed automatically subject to the right of confrontation (imagine a victim who blurts out an accusation to a passing police officer, or the unsuspecting social-services worker who is told of possible child abuse). It is also not clear under the United States’ approach whether the declarant or the listener (or both) must be contemplating legal proceedings. The United States devotes little attention to thе application of its proposed standard in this case.
Thus, we are faced with a situation in which the text of the Sixth Amendment supports the Wigmore-Harlan view but history and our earlier cases point away from that strict-
Such an approach would be consistent with the vast majority of our cases, since virtually all of them decided before Ohio v. Roberts involved prior testimony or confessions,2 exactly the type of formalized testimonial evidence that lies at the core of the Confrontation Clause‘s concern. This narrower reading of the Confrontation Clause would greatly simplify the inquiry in the hearsay context. Furthermore, this interpretation would avoid the problem posed by the
For the foregoing reasons, I respectfully suggest that, in an appropriate case, we reconsider how the phrase “witnesses against” in the Confrontation Clause pertains to the admission of hearsay. I join the Court‘s opinion except for its discussion of the narrow reading of this phrase proposed by the United States.
Notes
“In a prosecution for violation of Section 12-13, 12-14, 12-15 or 12-16 of the ‘Criminal Code of 1961‘, statements made by the victim to medical personnel for purposes of medical diagnosis or treatment including descriptions of the cause of symptom, pain or sensations, or the inception or general character of the cause or external source thereof insofar as reasonably pertinent to diagnosis or treatment shall be admitted as an exception to the hearsay rule.” See, e. g., Reynolds v. United States, 98 U. S. 145, 158-161 (1879) (testimony at prior trial); Mattox v. United States, 156 U. S. 237, 240-244 (1895) (same); Motes v. United States, 178 U. S. 458, 471-474 (1900) (testimony at “preliminary trial“); Pointer v. Texas, 380 U. S. 400, 406-408 (1965) (preliminary hearing testimony); Douglas v. Alabama, 380 U. S. 415, 418-420 (1965) (codefendant‘s confession); Brookhart v. Janis, 384 U. S. 1, 4 (1966) (same); Barber v. Page, 390 U. S. 719, 722-725 (1968) (preliminary hearing testimony); Bruton v. United States, 391 U. S. 123, 126-128, and n. 3 (1968) (codefendant‘s confession); Roberts v. Russell, 392 U. S. 293, 294-295 (1968) (per curiam) (same); Berger v. California, 393 U. S. 314, 314-315 (1969) (per curiam) (preliminary hearing testimony); California v. Green, 399 U. S., at 152 (preliminary hearing testimony and statement to police); Mancusi v. Stubbs, 408 U. S. 204, 213-216 (1972) (prior testimony).
Natman Schaye filed a brief for the National Association of Criminal Defense Lawyers as amicus curiae.
