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Petitioner, his brother Mark, and Gary Barker were arrested at the end of a 2-day crime spree, during which they, inter alia, stole liquor and guns and abducted Alex DeFilippis, who was later shot and killed. Under police questioning, Mark admitted stealing alcoholic beverages, but claimed that petitioner and Barker stole the guns and that petitioner shot DeFilippis. When Virginia called Mark as a witness at petitioner's subsequent criminal trial, Mark invoked his Fifth Amendment privilege against self-incrimination. The trial court then admitted his statements to the police as declarations of an unavailable witness against penal interest, overruling petitioner's objections that the statements were not against Mark's penal interest because they shifted responsibility for the crimes to Barker and petitioner, and that their admission would violate the Sixth Amendment's Confrontation Clause. Petitioner was convicted of the DeFilippis murder and other crimes. In affirming, the Virginia Supreme Court found that the Confrontation Clause was satisfied because Mark's statements fell within a firmly rooted exception to the hearsay rule. The court also held that the statements were reliable because Mark knew that he was implicating himself as a participant in numerous crimes and because the statements were independently corroborated by other evidence at trial.
Held: The judgment is reversed, and the case is remanded.
255 Va. 558, 499 S. E. 2d 522, reversed and remanded.
J ustice Stevens , delivered the opinion of the Court with respect to Parts I, II, and VI, concluding:
1. This Court has jurisdiction over petitioner's Confrontation Clause claim. He expressly argued the claim in his opening brief to the Virginia Supreme Court; and his arguments based on
Williamson
v.
United States,
2. The admission of Mark's untested confession violated petitioner's Confrontation Clause rights. Adhering to this Court's general custom of allowing state courts initially to assess the effect of erroneously admitted evidence in light of substantive state criminal law, the Virginia courts are to consider in the first instance whether this Sixth Amendment violation was "harmless beyond a reasonable doubt."
Chapman
v.
California
,
J
ustice
Stevens
, joined by J
ustice Souter,
J
ustice Ginsburg,
and J
ustice Breyer,
concluded in Parts III, IV, and V that Mark's hearsay statements do not meet the requirements for admission set forth in
Ohio
v.
Roberts,
(a) The Confrontation Clause ensures the reliability of evidence against a defendant by subjecting it to rigorous testing in an adversary proceeding,
Maryland
v.
Craig,
(b) Statements are admissible under a "firmly rooted" hearsay exception when they fall within a hearsay category whose conditions have proven over time "to remove all temptation to falsehood, and to enforce as strict an adherence to the truth as would the obligation of an oath" and cross-examination at a trial.
Mattox
v.
United States,
(c) The Commonwealth contends that this Court should defer to the Virginia Supreme Court's additional determination that Mark's statements were reliable and that the indicia of reliability the court found, coupled with the actions of police during Mark's interrogation, demonstrate that the circumstances surrounding his statements bore "particularized guarantees of trustworthiness,"
Roberts,
Justice Scalia concluded that introducing Mark Lilly's tape-recorded statements to police at trial without making him available for cross-examination is a paradigmatic Confrontation Clause violation. Since the violation is clear, the case need be remanded only for a harmless-error determination. P. 1.
J
ustice
Thomas
, while adhering to his view that the Confrontation Clause extends to any witness who actually testifies at trial and is implicated by extrajudicial statements only insofar as they are contained in formalized testimonial material, such as affidavits, depositions, prior testimony, or confessions,
White
v.
Illinois
,
T he C hief J ustice , joined by J ustice O'C onnor and J ustice Kennedy , concluded:
1. Mark Lilly's confession incriminating petitioner does not satisfy a firmly rooted hearsay exception because the statements in his 50-page confession which are against his penal interest are quite separate from the statements exculpating him and inculpating petitioner, which are not in the least against his penal interest. This case, therefore, does not raise the question whether the Confrontation Clause permits the admission of a genuinely self-inculpatory statement that also inculpates a codefendant. Not only were the confession's incriminating portions not a declaration against penal interest, but these statements were part of a custodial confession of the sort that this Court has viewed with special suspicion given a codefendant's strong motivation to implicate the defendant and exonerate himself.
Lee
v.
Illinois,
2. The Virginia Supreme Court did not analyze the confession under the second prong of the
Ohio
v.
Roberts,
Stevens, J ., announced the judgment of the Court and delivered the opinion of the Court with respect to Parts I and VI, in which Scalia, Souter, Thomas, Ginsburg, and Breyer, JJ., joined, the opinion of the Court with respect to Part II, in which Scalia, Souter, Ginsburg , and Breyer , JJ., joined, and an opinion with respect to Parts III, IV, and V, in which Souter, Ginsburg , and Breyer, JJ., joined. Breyer, J., filed a concurring opinion. Scalia, J., and Thomas, J., filed opinions concurring in part and concurring in the judgment. Rehnquist , C. J., filed an opinion concurring in the judgment, in which O'Connor and Kennedy , JJ., joined.
BENJAMIN LEE LILLY, PETITIONER v. VIRGINIA
on writ of certiorari to the supreme court of virginia
[June 10, 1999]
Justice Stevens announced the judgment of the Court and delivered the opinion of the Court with respect to Parts I, II, and VI, and an opinion with respect to Parts III, IV, and V, in which Justice Souter, Justice Ginsburg, and Justice Breyer join.
The question presented in this case is whether the accused's Sixth Amendment right "to be confronted with the witnesses against him" was violated by admitting into evidence at his trial a nontestifying accomplice's entire confession that contained some statements against the accomplice's penal interest and others that inculpated the accused.
I
On December 4, 1995, three men--Benjamin Lee Lilly (petitioner), his brother Mark, and Mark's roommate, Gary Wayne Barker--broke into a home and stole nine bottles of liquor, three loaded guns, and a safe. The next day, the men drank the stolen liquor, robbed a small country store, and shot at geese with their stolen weapons. After their car broke down, they abducted Alex DeFilippis and used his vehicle to drive to a deserted location. One of them shot and killed DeFilippis. The three men then committed two more robberies before they were apprehended by the police late in the evening of December 5.
After taking them into custody, the police questioned each of the three men separately. Petitioner did not mention the murder to the police and stated that the other two men had forced him to participate in the robberies. Petitioner's brother Mark and Barker told the police somewhat different accounts of the crimes, but both maintained that petitioner masterminded the robberies and was the one who had killed DeFilippis.
A tape recording of Mark's initial oral statement indicates that he was questioned from 1:35 a.m. until 2:12 a.m. on December 6. The police interrogated him again from 2:30 a.m. until 2:53 a.m. During both interviews, Mark continually emphasized how drunk he had been during the entire spree. When asked about his participation in the string of crimes, Mark admitted that he stole liquor during the initial burglary and that he stole a 12-pack of beer during the robbery of the liquor store. Mark also conceded that he had handled a gun earlier that day and that he was present during the more serious thefts and the homicide.
The police told Mark that he would be charged with armed robbery and that, unless he broke "family ties," petitioner "may be dragging you right into a life sentence," App. 257. Mark acknowledged that he would be sent away to the penitentiary. He claimed, however, that while he had primarily been drinking, petitioner and Barker had "got some guns or something" during the initial burglary. Id., at 250. Mark said that Barker had pulled a gun in one of the robberies. He further insisted that petitioner had instigated the carjacking and that he (Mark) "didn't have nothing to do with the shooting" of DeFilippis. Id., at 256. In a brief portion of one of his statements, Mark stated that petitioner was the one who shot DeFilippis.
The Commonwealth of Virginia charged petitioner with several offenses, including the murder of DeFilippis, and tried him separately. At trial, the Commonwealth called Mark as a witness, but he invoked his Fifth Amendment privilege against self-incrimination. The Commonwealth therefore offered to introduce into evidence the statements Mark made to the police after his arrest, arguing that they were admissible as declarations of an unavailable witness against penal interest. Petitioner objected on the ground that the statements were not actually against Mark's penal interest because they shifted responsibility for the crimes to Barker and to petitioner, and that their admission would violate the Sixth Amendment's Confrontation Clause. The trial judge overruled the objection and admitted the tape recordings and written transcripts of the statements in their entirety. The jury found petitioner guilty of robbery, abduction, carjacking, possession of a firearm by a felon, and four charges of illegal use of a firearm, for which offenses he received consecutive prison sentences of two life terms plus 27 years. The jury also convicted petitioner of capital murder and recommended a sentence of death, which the court imposed.
The Supreme Court of Virginia affirmed petitioner's convictions and sentences. As is relevant here, the court first concluded that Mark's statements were declarations of an unavailable witness against penal interest; that the statements' reliability was established by other evidence; and, therefore, that they fell within an exception to the Virginia hearsay rule. The court then turned to petitioner's Confrontation Clause challenge. It began by relying on our opinion in
White
v.
Illinois
,
"[A]dmissiblity into evidence of the statement against penal interest of an unavailable witness is a `firmly rooted' exception to the hearsay rule in Virginia. Thus, we hold that the trial court did not err in admitting Mark Lilly's statements into evidence." Id. , at 575, 499 S. E. 2d, at 534.
"That Mark Lilly's statements were self-serving, in that they tended to shift principal responsibility to others or to offer claims of mitigating circumstances, goes to the weight the jury could assign to them and not to their admissibility." Id., at 574, 499 S. E. 2d, at 534.
Our concern that this decision represented a significant departure from our Confrontation Clause jurisprudence prompted us to grant certiorari. 525 U. S. ___ (1998).
II
As an initial matter, the Commonwealth asserts that we should decline to exercise jurisdiction over petitioner's claim because he did not fairly present his Confrontation Clause challenge to the Supreme Court of Virginia. We disagree. Although petitioner focused on state hearsay law in his challenge to the admission of Mark's statements, petitioner expressly argued in his opening brief to that court that the admission of the statements violated his Sixth Amendment right to confrontation. He expanded his Sixth Amendment argument in his reply brief and cited
Lee
v.
Illinois
,
III
In all criminal prosecutions, state as well as federal, the accused has a right, guaranteed by the Sixth and Fourteenth Amendments to the United States Constitution, "to be confronted with the witnesses against him." U. S. Const., Amdt. 6;
Pointer
v.
Texas
,
In our most recent case interpreting the Confrontation Clause,
White
v.
Illinois
,
Before turning to the dual Roberts inquiries, however, we note that the statements taken from petitioner's brother in the early morning of December 6 were obviously obtained for the purpose of creating evidence that would be useful at a future trial. The analogy to the presentation of ex parte affidavits in the early English proceedings thus brings the Confrontation Clause into play no matter how narrowly its gateway might be read.
IV
The Supreme Court of Virginia held that the admission of Mark Lilly's confession was constitutional primarily because, in its view, it was against Mark's penal interest and because "the statement against penal interest of an unavailable witness is a `firmly rooted' exception to the hearsay rule in Virginia." 255 Va., at 575, 449 S. E. 2d, at 534. We assume, as we must, that Mark's statements were against his penal interest as a matter of state law, but the question whether the statements fall within a firmly rooted hearsay exception for Confrontation Clause purposes is a question of federal law. Accordingly, it is appropriate to begin our analysis by examining the "firmly rooted" doctrine and the roots of the "against penal interest" exception.
We have allowed the admission of statements falling within a firmly rooted hearsay exception since the Court's recognition in
Mattox
v.
United States,
We now describe a hearsay exception as "firmly rooted" if, in light of "longstanding judicial and legislative experience,"
Idaho
v.
Wright,
The "against penal interest" exception to the hearsay rule--unlike other previously recognized firmly rooted exceptions--is not generally based on the maxim that statements made without a motive to reflect on the legal consequences of one's statement, and in situations that are exceptionally conducive to veracity, lack the dangers of inaccuracy that typically accompany hearsay. The exception, rather, is founded on the broad assumption "that a person is unlikely to fabricate a statement against his own interest at the time it is made."
Chambers
v.
Mississippi,
We have previously noted that, due to the sweeping scope of the label, the simple categorization of a statement as a " `declaration against penal interest' ... defines too large a class for meaningful Confrontation Clause analysis."
Lee
v.
Illinois,
Statements in the first category--voluntary admissions of the declarant--are routinely offered into evidence against the maker of the statement and carry a distinguished heritage confirming their admissibility when so used. See G. Gilbert, Evidence 139-140 (1756);
Lambe's Case,
2 Leach 552, 168 Eng. Rep. 379 (1791);
State
v.
Kirby,
1 Strob. 155, 156 (1846);
State
v.
Cowan,
29 N. C. 239, 246 (1847). Thus, assuming that Mark Lilly's statements were taken in conformance with constitutional prerequisites, they would unquestionably be admissible against him if he were on trial for stealing alcoholic
beverages.
If Mark were a codefendant in a joint trial, however, even the use of his confession to prove his guilt might have an adverse impact on the rights of his accomplices. When dealing with admissions against penal interest, we have taken great care to separate using admissions against the declarant (the first category above) from using them against other criminal defendants (the third category).
In
Bruton
v.
United States
,
In the years since
Bruton
was decided, we have reviewed a number of cases in which one defendant's confession has been introduced into evidence in a joint trial pursuant to instructions that it could be used against him but not against his codefendant. Despite frequent disagreement over matters such as the adequacy of the trial judge's instructions, or the sufficiency of the redaction of ambiguous references to the declarant's accomplice, we have consistently either stated or assumed that the mere fact that one accomplice's confession qualified as a statement against his penal interest did not justify its use as evidence against another person. See
Gray
v.
Maryland,
The second category of statements against penal interest encompasses those offered as exculpatory evidence by a defendant who claims that it was the maker of the statement, rather than he, who committed (or was involved in) the crime in question. In this context, our Court, over the dissent of Justice Holmes, originally followed the 19th-century English rule that categorically refused to recognize any "against penal interest" exception to the hearsay rule, holding instead that under federal law only hearsay statements against pecuniary (and perhaps proprietary) interest were sufficiently reliable to warrant their admission at the trial of someone other than the declarant. See
Donnelly
v.
United States
,
As time passed, however, the precise Donnelly rule, which barred the admission of other persons' confessions that exculpated the accused, became the subject of increasing criticism. Professor Wigmore, for example, remarked years after Donnelly that:
"The only practical consequences of this unreasoning limitation are shocking to the sense of justice; for, in its commonest application, it requires, in a criminal trial, the rejection of a confession, however well authenticated, of a person deceased or insane or fled from the jurisdiction (and therefore quite unavailable) who has avowed himself to be the true culprit. ... It is therefore not too late to retrace our steps, and to discard this barbarous doctrine, which would refuse to let an innocent accused vindicate himself even by producing to the tribunal a perfectly authenticated written confession, made on the very gallows, by the true culprit now beyond the reach of justice." 5 J. Wigmore, Evidence §1477, pp. 289-290 (3d ed. 1940).
See also Scolari v. United States , 406 F. 2d 563, 564 (CA9 1969) (criticizing Donnelly ); United States v. Annunziato, 293 F. 2d 373, 378 (CA2 1961) (Friendly, J.) (same); Hines v. Commonwealth, 136 Va. 728, 117 S. E. 843 (1923) (criticizing Donnelly and refusing to incorporate it into state law); Wright, Uniform Rules and Hearsay, 26 U. Cin. L. Rev. 575 (1957).
Finally, in 1973, this Court endorsed the more enlightened view in
Chambers
, holding that the Due Process Clause affords criminal defendants the right to introduce into evidence third parties' declarations against penal interest--their confessions--when the circumstances surrounding the statements "provid[e] considerable assurance of their reliability."
The third category includes cases, like the one before us today, in which the government seeks to introduce "a confession by an accomplice which incriminates a criminal defendant."
Lee
,
Most important, this third category of hearsay encompasses statements that are inherently unreliable. Typical of the groundswell of scholarly and judicial criticism that culminated in the
Chambers
decision, Wigmore's treatise still expressly distinguishes accomplices' confessions that inculpate themselves and the accused as beyond a proper understanding of the against-penal-interest exception because an accomplice often has a considerable interest in "confessing and betraying his cocriminals." 5 Wigmore, Evidence §1477, at 358, n. 1. Consistent with this scholarship and the assumption that underlies the analysis in our
Bruton
line of cases, we have over the years "spoken with one voice in declaring presumptively unreliable accomplices' confessions that incriminate defendants."
Lee,
In
Crawford
v.
United States,
In
Lee
, we reaffirmed
Douglas
and explained that its holding "was premised on the basic understanding that when one person accuses another of a crime under circumstances in which the declarant stands to gain by inculpating another, the accusation is presumptively suspect and must be subjected to the scrutiny of cross-examination."
"th[e] truthfinding function of the Confrontation Clause is uniquely threatened when an accomplice's confession is sought to be introduced against a criminal defendant without the benefit of cross-examination. ... `Due to his strong motivation to implicate the defendant and to exonerate himself, a codefendant's statements about what the defendant said or did are less credible than ordinary hearsay evidence.' "
Ibid.
(quoting
Bruton
,
Indeed, even the dissenting Justices in Lee agreed that "accomplice confessions ordinarily are untrustworthy precisely because they are not unambiguously adverse to the penal interest of the declarant" but instead are likely to be attempts to minimize the declarant's culpability. 476 U. S., at 552-553 (Blackmun, J., dissenting). 2
We have adhered to this approach in construing the Federal Rules of Evidence. Thus, in
Williamson
v.
United States
,
It is clear that our cases consistently have viewed an accomplice's statements that shift or spread the blame to a criminal defendant as falling outside the realm of those "hearsay exception[s] [that are] so trustworthy that adversarial testing can be expected to add little to [the statements'] reliability." White, 502 U. S., at 357. This view is also reflected in several States' hearsay law. 4 Indeed, prior to 1995, it appears that even Virginia rarely allowed statements against the penal interest of the declarant to be used at criminal trials. See, e.g., Ellison v. Commonwealth, 219 Va. 404, 247 S. E. 2d 685 (1978). That Virginia relaxed that portion of its hearsay law when it decided C handler v. Commonwealth , 249 Va. 270, 455 S. E. 2d 219 (1995), and that it later apparently concluded that all statements against penal interest fall within "a `firmly rooted' exception to the hearsay rule in Virginia," 255 Va., at 575, 499 S. E. 2d, at 534, is of no consequence. The decisive fact, which we make explicit today, is that accomplices' confessions that inculpate a criminal defendant are not within a firmly rooted exception to the hearsay rule as that concept has been defined in our Confrontation Clause jurisprudence. 5
V
Aside from its conclusion that Mark's statements were admissible under a firmly rooted hearsay exception, the Supreme Court of Virginia also affirmed the trial court's holding that the statements were "reliabl[e] . . . in the context of the facts and circumstances under which [they were] given" because (i) "Mark Lilly was cognizant of the import of his statements and that he was implicating himself as a participant in numerous crimes" and (ii) "[e]lements of [his] statements were independently corroborated" by other evidence offered at trial.
Id.,
at 574, 499 S. E. 2d, at 534. See also App. 18 (trial court's decision). The Commonwealth contends that we should defer to this "fact-intensive" determination. It further argues that these two indicia of reliability, coupled with the facts that the police read Mark his
Miranda
rights and did not promise him leniency in exchange for his statements, demonstrate that the circumstances surrounding his statements bore "particularized guarantees of trustworthiness,"
Roberts,
The residual "trustworthiness" test credits the axiom that a rigid application of the Clause's standard for admissibility might in an exceptional case exclude a statement of an unavailable witness that is incontestably probative, competent, and reliable, yet nonetheless outside of any firmly rooted hearsay exception. Cf.
id.,
at 63;
Mattox,
Nothing in our prior opinions, however, suggests that appellate courts should defer to lower courts' determinations regarding whether a hearsay statement has particularized guarantees of trustworthiness. To the contrary, those opinions indicate that we have assumed, as with other fact-intensive, mixed questions of constitutional law, that "independent review is ... necessary ... to maintain control of, and to clarify, the legal principles" governing the factual circumstances necessary to satisfy the protections of the Bill of Rights.
Ornelas
v.
United States,
The Commonwealth correctly notes that "the presumption of unreliability that attaches to codefendants' confessions . . . may be rebutted."
Lee
,
Applying these principles, the Commonwealth's asserted guarantees of trustworthiness fail to convince us that Mark's confession was sufficiently reliable as to be admissible without allowing petitioner to cross-examine him. That other evidence at trial corroborated portions of Mark's statements is irrelevant. We have squarely rejected the notion that "evidence corroborating the truth of a hearsay statement may properly support a finding that the statement bears `particularized guarantees of trustworthiness.' "
Wright,
Nor did the police's informing Mark of his
Miranda
rights render the circumstances surrounding his statements significantly more trustworthy. We noted in rejecting a similar argument in
Lee
that
a finding that a confession was "voluntary for Fifth Amendment purposes ... does not bear on the question of whether the confession was also free from any desire, motive, or impulse [the declarant] may have had either to mitigate the appearance of his own culpability by spreading the blame or to overstate [the defendant's] involvement" in the crimes at issue.
The Commonwealth's next proffered basis for reliability--that Mark knew he was exposing himself to criminal liability--merely restates the fact that portions of his statements were technically against penal interest. And as we have explained, such statements are suspect insofar as they inculpate other persons. "[T]hat a person is making a broadly self-inculpatory confession does not make more credible the confession's non-self-inculpatory parts."
Williamson,
It is abundantly clear that neither the words that Mark spoke nor the setting in which he was questioned provides any basis for concluding that his comments regarding petitioner's guilt were so reliable that there was no need to subject them to adversarial testing in a trial setting. Mark was in custody for his involvement in, and knowledge of, serious crimes and made his statements under the supervision of governmental authorities. He was primarily responding to the officers' leading questions, which were asked without any contemporaneous cross-examination by adverse parties. Thus, Mark had a natural motive to attempt to exculpate himself as much as possible. See
id.,
at 544-545;
Dutton
v.
Evans,
VI
The admission of the untested confession of Mark Lilly violated petitioner's Confrontation Clause rights. Adhering to our general custom of allowing state courts initially to assess the effect of erroneously admitted evidence in light of substantive state criminal law, we leave it to the Virginia courts to consider in the first instance whether this Sixth Amendment error was "harmless beyond a reasonable doubt."
Chapman
v.
California
,
It is so ordered.
BENJAMIN LEE LILLY, PETITIONER v. VIRGINIA
on writ of certiorari to the supreme court of virginia
[June 10, 1999]
Justice Breyer , concurring.
As currently interpreted, the Confrontation Clause generally forbids the introduction of hearsay into a trial unless the evidence "falls within a firmly rooted hearsay exception" or otherwise possesses "particularized guarantees of trustworthiness."
Ohio
v.
Roberts,
The Court's effort to tie the Clause so directly to the hearsay rule is of fairly recent vintage, compare
Roberts
,
supra
,
with
California
v.
Green
,
Viewed in light of its traditional purposes, the current, hearsay-based Confrontation Clause test,
amici
argue, is both too narrow and too broad. The test is arguably too narrow insofar as it authorizes the admission of out-of-court statements prepared as testimony for a trial when such statements happen to fall within some well-recognized hearsay rule exception. For example, a deposition or videotaped confession sometimes could fall within the exception for vicarious admissions or, in
The Chief Justice
's view, the exception for statements against penal interest. See
post,
at 3. See generally
White
,
supra
, at 364-365 (
Thomas
, J., concurring in part and concurring in judgment); Friedman,
supra
, at 1025; Amar,
supra
, at 129; Berger,
supra
, at 596-602; Brief for the American Civil Liberties Union et al. as
Amici Curiae
16-20. But why should a modern Lord Cobham's out-of-court confession become admissible simply because of a fortuity, such as the conspiracy having continued through the time of police questioning, thereby bringing the confession within the "well-established" exception for the vicarious admissions of a co-conspirator? Cf
. Dutton
v.
Evans,
At the same time, the current hearsay-based Confrontation Clause test is arguably too broad. It would make a constitutional issue out of the admission of
any
relevant hearsay statement, even if that hearsay statement is only tangentially related to the elements in dispute, or was made long before the crime occurred and without relation to the prospect of a future trial. It is not obvious that admission of a business record, which is hearsay because the business was not "regularly conducted," or admission of a scrawled note, "Mary called," dated many months before the crime, violates the defendant's basic
constitutional
right "to be confronted with the witnesses against him." Yet one cannot easily fit such evidence within a traditional hearsay exception. Nor can one fit it within this Court's special exception for hearsay with "particularized guarantees of trustworthiness"; and, in any event, it is debatable whether the Sixth Amendment principally protects "trustworthiness," rather than "confrontation." See
White, supra,
at 363 (
Thomas
, J., concurring in part and concurring in judgment); cf
. Maryland
v.
Craig
,
We need not reexamine the current connection between the Confrontation Clause and the hearsay rule in this case, however, because the statements at issue violate the Clause regardless. See ante , at 6. I write separately to point out that the fact that we do not reevaluate the link in this case does not end the matter. It may leave the question open for another day.
BENJAMIN LEE LILLY, PETITIONER v. VIRGINIA
on writ of certiorari to the supreme court of virginia
[June 10, 1999]
Justice Scalia , concurring in part and concurring in the judgment.
During a custodial interrogation, Mark Lilly told police officers that petitioner committed the charged murder. The prosecution introduced a tape recording of these statements at trial without making Mark available for cross-examination. In my view, that is a paradigmatic Confrontation Clause violation. See
White
v.
Illinois
,
BENJAMIN LEE LILLY, PETITIONER v. VIRGINIA
on writ of certiorari to the supreme court of virginia
[June 10, 1999]
Justice Thomas , concurring in part and concurring in the judgment.
I join Parts I and VI of the Court's opinion and concur in the judgment. Though I continue to adhere to my view that the Confrontation Clause "extends to any witness who actually testifies at trial" and "is implicated by extrajudicial statements only insofar as they are contained in formalized testimonial material, such as affidavits, depositions, prior testimony, or confessions,"
White
v.
Illinois
,
BENJAMIN LEE LILLY, PETITIONER v. VIRGINIA
on writ of certiorari to the supreme court of virginia
[June 10, 1999]
Chief Justice Rehnquist , with whom Justice O'Connor and Justice Kennedy join, concurring in the judgment.
The plurality today concludes that all accomplice confessions that inculpate a criminal defendant are not within a firmly rooted exception to the hearsay rule under
Ohio
v.
Roberts
,
I
The plurality correctly states the issue in this case in the opening sentence of its opinion: Whether petitioner's Confrontation Clause rights were violated by admission of an accomplice's confession "that contained some statements against the accomplice's penal interest and others that inculpated the accused." Ante , at 1. The confession of the accomplice, Mark Lilly, covers 50 pages in the Joint Appendix, and the interviews themselves lasted about an hour. The statements of Mark Lilly which are against his penal interest--and would probably show him as an aider and abettor--are quite separate in time and place from other statements exculpating Mark and incriminating his brother, petitioner Benjamin Lilly, in the murder of Alexis DeFilippis. 1
Thus one is at a loss to know why so much of the plurality's opinion is devoted to whether a declaration against penal interest is a "firmly rooted exception" to the hearsay rule under
Ohio
v.
Roberts
,
supra
. Certainly, we must accept the Virginia court's determination that Mark's statements as a whole were declarations against penal interest for purposes of the Commonwealth's hearsay rule. See
ante
, at 6. Simply labeling a confession a "declaration against penal interest," however, is insufficient for purposes of
Roberts
, as this exception "defines too large a class for meaningful Confrontation Clause analysis."
Lee
v.
Illinois
,
This case therefore does not raise the question whether the Confrontation Clause permits the admission of a genuinely self-inculpatory statement that also inculpates a codefendant, and our precedent does not compel the broad holding suggested by the plurality today. Cf.
Williamson
v.
United States
,
Not only were the incriminating portions of Mark Lilly's confession not a declaration against penal interest, but these statements were part of a custodial confession of the sort that this Court has viewed with "special suspicion" given a codefendant's "strong motivation to implicate the defendant and to exonerate himself."
Lee
,
supra,
at 541 (citations omitted). Each of the cases cited by the plurality to support its broad conclusion involved accusatory statements taken by law enforcement personnel with a view to prosecution. See
Douglas
v.
Alabama
,
The Court in Dutton held that the admission of an accomplice's statement to a fellow inmate did not violate the Confrontation Clause under the facts of that case, see id. , at 86-89, and I see no reason to foreclose the possibility that such statements, even those that inculpate a codefendant, may fall under a firmly rooted hearsay exception. The Court in Dutton recognized that statements to fellow prisoners, like confessions to family members or friends, bear sufficient indicia of reliability to be placed before a jury without confrontation of the declarant. Id., at 89. Several federal courts have similarly concluded that such statements fall under a firmly rooted hearsay exception. 3 Dutton is thus no "exception," but a case wholly outside the "unbroken line" of cases, see ante , at 14, n. 2, in which custodial confessions laying blame on a codefendant have been found to violate the Confrontation Clause. The custodial confession in this case falls under the coverage of this latter set of cases, and I would not extend the holding here any further.
The plurality's blanket ban on the government's use of accomplice statements that incriminate a defendant thus sweeps beyond the facts of this case and our precedent, ignoring both the exculpatory nature of Mark's confession and the circumstances in which it was given. Unlike the plurality, I would limit our holding here to the case at hand, and decide only that the Mark Lilly's custodial confession laying sole responsibility on petitioner cannot satisfy a firmly rooted hearsay exception.
II
Nor do I see any reason to do more than reverse the decision of the Supreme Court of Virginia and remand the case for the Commonwealth to demonstrate that Mark's confession bears "particularized guarantees of trustworthiness" under Roberts . The Supreme Court of Virginia held only that Mark Lilly's confession was admissible under a state law exception to its hearsay rules and then held that this exception was firmly rooted for Confrontation Clause purposes. See 255 Va. 558, 573-574, 499 S. E. 2d 522, 533-534 (1998). Neither that court nor the trial court analyzed the confession under the second prong of the Roberts inquiry, and the discussion of reliability cited by the Court, see ante , at 4, 16, pertained only to whether the confession should be admitted under state hearsay rules, not under the Confrontation Clause. Following our normal course, I see no reason for this Court to reach an issue upon which the lower courts did not pass. See National College Athletic Assn. v. Smith , 525 U. S. __, ___ (1999) (slip op., at 10) ("[W]e do not decide in the first instance issues not decided below"). Thus, both this issue and the harmless-error question should be sent back to the Virginia courts. See ante , at 20.
The lack of any reviewable decision in this case makes especially troubling the plurality's conclusion that appellate courts must independently review a lower court's determination that a hearsay statement bears particularized guarantees of trustworthiness. Deciding whether a particular statement bears the proper indicia of reliability under our Confrontation Clause precedent "may be a mixed question of fact and law," but the mix weighs heavily on the "fact" side. We have said that "deferential review of mixed questions of law and fact is warranted when it appears that the district court is `better positioned' than the appellate court to decide the issue in question or that probing appellate scrutiny will not contribute to the clarity of legal doctrine."
Salve Regina College
v.
Russell
,
These factors counsel in favor of deference to trial judges who undertake the second prong of the
Roberts
inquiry. They are better able to evaluate whether a particular statement given in a particular setting is sufficiently reliable that cross-examination would add little to its trustworthiness. Admittedly, this inquiry does not require credibility determinations, but we have already held that deference to district courts does not depend on the need for credibility determinations. See
Anderson
v.
Bessemer City
,
Accordingly, I believe that in the setting here, as in Anderson , "[d]uplication of the trial judge's efforts in the court of appeals would very likely contribute only negligibly to the accuracy of fact determination at a huge cost in diversion of judicial resources." See id ., at 574-575. It is difficult to apply any standard in this case because none of the courts below conducted the second part of the Roberts inquiry. I would therefore remand this case to the Supreme Court of Virginia to carry out the inquiry, and, if any error is found, to determine whether that error is harmless.
Petitioner suggests in his merits brief that Mark was not truly "unavailable" because the Commonwealth could have tried and sentenced him before petitioner's trial, thereby extinguishing Mark's Fifth Amendment privilege. We assume, however, as petitioner did in framing his petition for certiorari, that to the extent it is relevant, Mark was an unavailable witness for Confrontation Clause purposes.
Footnote
2
The only arguable exception to this unbroken line of cases arose in our plurality opinion in
Dutton
v.
Evans,
Footnote
3
Federal Rule of Evidence 804(b)(3) provides an exception to the hearsay rule for the admission of "[a] statement which was at the time of its making so far contrary to the declarant's pecuniary or proprietary interest, or so far tended to subject the declarant to civil or criminal liability ... that a reasonable person in the declarant's position would not have made the statement unless believing it to be true."
Footnote
4
Several States provide statutorily that their against-penal-interest hearsay exceptions do not allow the admission of "[a] statement or confession offered against the accused in a criminal case, made by a codefendant or other person implicating both himself and the accused." Ark. Rule Evid. 804(b)(3) (1997). Accord, Ind. Rule Evid. 803(b)(3) (1999); Me. Rule Evid. 804(b)(3) (1998); Nev. Rev. Stat. §51.345(2) (Supp. 1996); N. J. Rule Evid. 803(25)(c) (1999); N. D. Cent. Code Rule Evid. §804(b)(3) (1998); Vt. Rule Evid. 804(b)(3) (1998). See also
State
v.
Myers,
229 Kan. 168, 172-173, 625 P. 2d 1111, 1115 (1981) ("Under 60-460(
f
), a hearsay confession of one coparticipant in a crime is not admissible against
another coparticipant"
). Several other States have adopted the language of the Federal Rule, see n. 3,
supra
, and adhere to our interpretation of that rule in
Williamson.
See
Smith
v.
State,
647 A. 2d 1083, 1088 (Del. 1994);
United States
v.
Hammond,
681 A. 2d 1140, 1146 (Ct. App. D. C. 1996);
State
v.
Smith,
643 So. 2d 1221, 1221-1222 (La. 1994);
State
v.
Matusky,
343 Md. 467, 490-492, and n. 15, 682 A. 2d 694, 705-706, and n. 15 (1996);
State
v.
Ford,
539 N. W. 2d 214, 277 (Minn. 1995);
State
v.
Castle,
285 Mont. 363, 373-374, 948 P. 2d 688, 694 (1997);
Miles
v.
State,
918 S. W. 2d 511, 515 (Tex. Ct. Crim. App. 1996);
In re Anthony Ray,
Mc., 200 W. Va. 312, 321, 489 S. E. 2d 289, 298 (1997). Still other States have virtually no against-penal-interest exception at all. See Ala. Rule Evid. 804(b)(3) (1998) (no such exception); Ga. Code Ann. §24-3-8 (1995) (exception only if declarant is deceased and statement was not made with view toward litigation);
State
v.
Skillicorn,
944 S. W. 2d 877, 884-885 (Mo.) (no exception), cert. denied,
Footnote
5
Our holdings in
Bruton
v
. United States,
This, of course, does not mean, as
The Chief Justice
and
Justice Thomas
erroneously suggest, see
post,
at 5, and
post,
at 1, that the Confrontation Clause imposes a "blanket ban on the government's use of [nontestifying] accomplice statements that incriminate a defendant." Rather, it simply means that the Government must satisfy the second prong of the
Ohio
v.
Roberts,
Footnote
6
Although
The Chief Justice
contends that we should remand this issue to the Supreme Court of Virginia, see
post,
at 5-6, it would be inappropriate to do so because we granted certiorari on this issue, see Pet. for Cert. i, and the parties have fully briefed and argued the issue. The "facts and circumstances" formula, recited above, that the Virginia courts already employed in reaching their reliability holdings is virtually identical to the
Roberts
"particularized guarantees" test, which turns as well on the "surrounding circumstances" of the statements.
Idaho
v
. Wright,
Mark identifies Ben as the one who murdered Alexis DeFilippis in the following colloquy:
"M. L. I don't know, you know, dude shoots him.
"G. P. When you say `dude shoots him' which one are you calling a dude here?
"M. L. Well, Ben shoots him.
"G. P. Talking about your brother, what did he shoot him with?
"M. L. Pistol.
"G. P. How many times did he shoot him?
"M. L I heard a couple of shots go off, I don't know how many times he hit him." App. 258.
A similar colloquy occurred in the second interview. See id., at 312-313.
Footnote
2
See, e.g., United States v. Keltner , 147 F. 3d 662, 670 (CA8 1998) (statement "clearly subjected" declarant to criminal liability for "activity in which [he] participated and was planning to participate with ... both defendants"); Earnest v. Dorsey , 87 F. 3d 1123, 1134 (CA10 1996) ("entire statement inculpated both [defendant] and [declarant] equally" and "neither [attempted] to shift blame to his co-conspirators nor to curry favor from the police or prosecutor").
Footnote
3
See , e.g., United States v. York , 933 F. 2d 1343, 1362-1364 (CA7 1991) (finding federal declaration against penal interest exception firmly rooted in case involving accomplice's statements made to two associates); United States v. Seeley , 892 F. 2d 1, 2 (CA1 1989) (exception firmly rooted in case involving statements made to declarant's girlfriend and stepfather); United States v. Katsougrakis , 715 F. 2d 769, 776 (CA2 1983) (no violation in admitting accomplice's statements to friend).
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Citation: 527 U.S. 116
No. 98-5881
Argued: March 29, 1999
Decided: June 10, 1999
Court: United States Supreme Court
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