U.S. v. Flores ( 1993 )

UNITED STATES COURT OF APPEALS
FOR THE FIFTH CIRCUIT
__________________
No. 91-6248
__________________
UNITED STATES OF AMERICA,
Plaintiff-Appellee,
versus
ROMEO TRINIDAD FLORES, JR.,
Defendant-Appellant.
______________________________________________
Appeal from the United States District Court for the
Southern District of Texas
______________________________________________
(February 25, 1993)
Before POLITZ, Chief Judge, GARWOOD and DAVIS, Circuit Judges.
GARWOOD, Circuit Judge:
Defendant-appellant Romeo Trinidad Flores, Jr. (Flores)
appeals his conviction of conspiracy to possess with intent to
distribute in excess of 1,000 kilograms of marihuana in violation
of 21 U.S.C. §§ 846, 841(a)(1), and 841(b)(1)(A). Flores claims,
among other things, that his Sixth Amendment rights under the
Confrontation Clause were violated by the admission against him of
grand jury testimony of his codefendant, Oscar Navarro (Navarro),
who did not testify at trial. We agree, and accordingly reverse
and remand for another trial.
Facts and Proceedings Below
On May 22, 1990, federal agents established surveillance of a
ranch, abutting the United States border on the shores of Falcon
Lake near the town of Lopeno, Texas, on the suspicion that a large
shipment of marihuana would shortly be brought there from Mexico.
At approximately 10:00 p.m., agents observed a dump truck travel
south on Highway 83, pull off the highway, turn off its lights, and
enter the ranch on a caliche road by a livestock dipping bath and
a parked Ford Bronco, which had been observed earlier entering the
ranch. After voices were heard in conversation, the two vehicles
proceeded on the caliche road to the banks of Falcon Lake.
At approximately 4:00 a.m., federal agents observed a red
Chevrolet Lumina travelling north on Highway 83 from Lopeno.1 The
vehicle stopped near the dipping bath and several persons in the
car were yelling in Spanish toward that area. A man got out of the
passenger side, yelled toward the dipping bath, and reentered the
Lumina, which then made a U-turn and returned towards Lopeno.
Moments later, the Lumina returned with a person sitting on the
passenger-side door frame, yelling toward the dipping bath area.
The passenger exited the vehicle and the driver turned around and
again drove toward Lopeno. A few minutes later the Lumina
returned, picked up the passenger at the ranch gate, and then went
back towards Lopeno. About five minutes later, the Lumina again
appeared, and, after stopping on the road near the dipping bath,
the vehicle's two occupants could be heard conversing about when
the truck was due to come out. A Bronco exiting the ranch with its
1
This vehicle was later identified as being registered to
Flores' wife.
2
lights off stopped at the ranch entrance and its occupants appeared
to speak with the occupants of the Lumina. The Bronco then entered
Highway 83, turned on its lights, and drove north towards Zapata.
The Lumina entered the ranch with its headlights turned off and
travelled in the direction of a dump truck before disappearing. A
dump truck later emerged from the caliche road with the Lumina
following behind it. The dump truck turned on its lights and
headed north from the ranch's entrance onto Highway 83, and was
followed by members of the surveillance team. Before following in
the dump truck's direction, the Lumina's three occupants exited the
car and closed the gate to the ranch. The Lumina was not followed
by the agents. About half an hour later, federal agents stopped
the dump truck northeast of Zapata, Texas, on Highway 16 and seized
2,768 pounds of marihuana that it was carrying.
The Lumina was not observed again until about thirty minutes
later, when a patrolman stopped the car twenty to twenty-five miles
north of the ranch, outside of Zapata, Texas, on Highway 16.2 The
patrolman observed that Flores was driving the car, a passenger was
riding in the front seat, and Navarro was in the back seat. After
searching the car, the patrolman directed Flores to follow him back
to the Zapata police station to pay some outstanding traffic
tickets. Flores did so and then hurriedly left.
About a year later, on April 29, 1991, members of the
surveillance team questioned Navarro at his home about his role in
2
There was evidence at trial that Flores owned horse stables
and an associated exercise track "on the south side" of Highway
16 in the "area that connects U.S. Highway 83 and Highway 16."
3
the marihuana shipment. Navarro initially refused to talk, but he
changed his mind when told he was the target of an investigation.
After being given his Miranda warnings, Navarro admitted that he
was involved in the shipment. The federal agents then asked him to
accompany them to the customs office. He voiced some concerns
about his legal status because he was on probation for another
offense, but ultimately decided to go with the agents.3 The agents
then drove Navarro to the customs office where he signed a
statement concerning the details of the shipment. This confession
described Flores as participating in the marihuana conspiracy by
engaging in countersurveillance activity along Highway 83 while the
marihuana shipment was being loaded.4
On May 3, Navarro testified before a grand jury concerning the
marihuana shipment.5 He was without counsel, and was questioned by
3
The testimony of the agents at a pretrial hearing before the
district court does not explain how Navarro's concerns regarding
probation were resolved. At this hearing on August 28, 1991, the
following colloquy occurred:
"The Court: Did he ask you for any consideration or
anything?
The Witness: Not that I can remember, your Honor. He
might've stated what could happen to him, but I just .
. . I don't remember that happening. I don't remember
him really asking us anything. He was worried about
his mother and he said that he wanted to cooperate. He
really didn't want anything to go wrong and he was
worried about his mother because his mother had
diabetes. So we said, well, by cooperatingSQ"
4
Although this statement was admitted at trial, all
references to Flores were deleted.
5
It is not clear whether Navarro was subpoenaed for this
purpose, but he was called as a witness by the Assistant United
States Attorney, and was brought to the grand jury from his home
by the customs agents.
4
the Assistant United States Attorney. Of course, neither Flores
nor his counsel was present. Navarro's grand jury testimony,
echoing his confession in the customs office, incriminated him and
also contained inculpatory statements indicating that Flores
specifically, among others, was involved in the conspiracy. Based
on this testimony, on July 9 Navarro and Flores were charged in a
one-count indictment with conspiracy to possess with intent to
distribute in excess of 1,000 kilograms of marihuana.
On August 6, the government filed a notice of intent to use
Navarro's grand jury testimony pursuant to Fed. R. Crim. P. 12(d).
Flores objected, and during a pre-trial hearing on August 12 argued
that since he and Navarro were being tried together, and since
Navarro had indicated that he would not take the stand and would
assert his Fifth Amendment privilege, that therefore the admission
of the grand jury testimony would violate Flores' rights under the
Sixth Amendment's Confrontation Clause. The district court took
this argument under advisement and Flores filed supplemental
objections to the grand jury testimony on August 14. He filed
further written objections and a motion for severance on August 23.
The court summarily denied the motion for severance but allowed
Flores to file additional grounds to exclude the grand jury
testimony. On August 27, Flores formally identified specific
objectionable portions of Navarro's grand jury testimony, and the
next day, following an evidentiary hearing, the district court
determined that most of the testimony had particularized guarantees
of trustworthiness based on the circumstances surrounding the
5
testimony and on the corroborating evidence implicating Flores.6
The district court then redacted certain portions of Navarro's
grand jury testimony and, over Flores' objections, allowed the
remaining testimony to be admitted against Flores as well as
against Navarro.7 Navarro exercised his Fifth Amendment right not
to testify at trial.
A jury trial involving codefendants Flores and Navarro began
6
As to the corroborating evidence, the district court
reasoned as follows:
"The Court: And so, then yourSQwell, so his statement
would essentially just furnish the link between the
Lumina, as it went into the ranch, and the Lumina as it
was stopped thirty minutes later or so.
Mr. Casso [prosecutor]: Yes, sir. And would identify
Mr. Flores as the one who was driving
The Court: Okay. But you know, you're going to have
independent evidence that he was in fact driving it
thirty minutes later.
Mr. Casso: Absolutely.
The Court: With Navarro in the back seat.
Mr. Casso: That's right.
The Court: So, this will just bridge the gap of the
thirty minutes?
Mr. Casso: That's right."
The district court also noted that the Lumina's presence at
the ranch that evening at and before the time the marihuana truck
left the ranch was corroborated by independent evidence.
7
Three portions of Navarro's grand jury testimony concerning
Flores remained after the redactions. They consisted of
statements that: (1) Flores was driving the Lumina when he picked
up Navarro at the ranch; (2) Flores was not present when the
marihuana was physically loaded into the truck; and (3) Flores
had contacted Navarro the day before about assisting in the
offense.
6
on August 28, and the next day both were convicted of conspiracy to
possess with intent to distribute in excess of 1,000 kilograms of
marihuana in violation of 21 U.S.C. §§ 846, 841(a)(1), and
841(b)(1)(A). On November 6, 1991, Flores was sentenced to twenty
years' imprisonment to be followed by a ten year term of supervised
release, and ordered to pay a fine of $7,500. Flores now appeals
his conviction asserting that the district court erred in, among
other things, admitting Navarro's grand jury testimony.8
Discussion
Flores complains that his Sixth Amendment rights under the
Confrontation Clause were violated because of the admission against
him of the grand jury testimony of his codefendant Navarro, who
exercised his Fifth Amendment right not to testify at trial.9
8
Flores also complains of the denial of his motion for
severance, in which he alleged no more than that he "intends to
call the said Oscar Navarro to testify on his behalf." Neither
the motion, nor any showing made by Flores in support of it, met
the criteria of United States v. Rocha, 916 F.2d 219, 232 (5th
Cir. 1990), and the district court did not abuse its discretion
in denying the motion.
Flores makes no challenge to the sufficiency of the
evidence.
9
Flores further asserts that Navarro did not properly invoke
his Fifth Amendment right not to testifySQand hence may not be
deemed to have been in any respect unavailable on that
accountSQbecause he did not do so personally, on the witness
stand, in open court. For the same reason, Flores argues that
the district court erred in not allowing him to call Navarro to
the stand in the presence of the jury and attempt to question
him. Twice during trial (and before Navarro's grand jury
testimony was put in evidence), Navarro's counsel advised the
district court in open court, outside the presence of the jury,
that he had consulted with Navarro (who was then present) and
that Navarro invoked the Fifth Amendment and would not take the
stand (as indeed he did not). The court then confirmed from
Navarro personally that he understood this. After the government
and Navarro rested, Flores' counsel, in the presence of the jury,
announced "we call the defendant to the stand, Oscar Navarro";
7
Flores asserts that Navarro's grand jury testimony did not have the
required indicia of trustworthiness. Such indicia must be shown in
order to admit a statement under the hearsay exception provided by
Fed. R. Evid. 804(b)(3).10
Navarro's counsel promptly stated that Navarro "would assert his
Fifth Amendment right"; and the district court at once excused
the jury and admonished Flores' counsel for his improper conduct.
The jury was then returned, Flores' counsel proceeded to call
another witness, and the matter was not mentioned again. We
conclude that the district court did not abuse its discretion in
determining that Navarro had adequately invoked his Fifth
Amendment privilege, notwithstanding that he did not personally
utter the magic words or take the stand. As Justice Blackmun
observed, "the absence of this formality is not decisive." Lee
v. Illinois, 106 S. Ct. 2056, 2066 n.3 (1986) (Blackmun, J.,
dissenting). See also United States v. Briscoe, 742 F.2d 842,
846 (5th Cir. 1984).
We also reject Flores' claim that Navarro was mentally or
emotionally incompetent. Flores points only to testimony of a
doctor who stated that, during his court-ordered examination of
Navarro nine days before trial, Navarro told him "I was tricked
by an undercover agent to say many things that were not true and
they were all against me." However, nothing in Navarro's grand
jury testimony, or elsewhere in the record, reflects that he was
incapable of understanding the questions asked or communicating
the relevant material or understanding the obligation to do so
truthfully. See United States v. Saenz, 747 F.2d 930, 936 (5th
Cir. 1984).
10
The rule provides in pertinent part that a statement will
qualify under this exception if "at the time of its making . . .
[it] 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." Fed. R. Evid. 804(b)(3). This Court has held that a
declaration against penal interest satisfies the requirements of
the Confrontation Clause and rule 804(b)(3) if it meets a three-
part test:
"(1) The declarant must be unavailable;
(2) The statement must so far tend to subject the
declarant to criminal liability that a reasonable
person in his position would not have made the
statement unless he believed it to be true; and
(3) The statement must be corroborated by
circumstances clearly indicating its trustworthiness."
8
The district court reviewed Navarro's testimony to determine
its admissibility against Flores under this Court's decision in
United States v. Vernor, 902 F.2d 1182 (5th Cir.), cert. denied,
111 S. Ct. 301 (1990). The Vernor court held that in the case of
custodial confessions, "[a] close examination of all the
circumstances surrounding the making of the statement is required
in order to determine whether it so contravenes the declarant's
penal interest that a reasonable person in his position would not
have made the statement accusing a third person unless he believed
it to be true." Id. at 1187-88, quoting Sarmiento-Perez, 633 F.2d
at 1102. In addition to reviewing the circumstances surrounding
the confession, the district court here relied on independent
evidence that placed Flores in the car thirty minutes after it was
observed leaving the ranch and thus corroborated that portion of
Navarro's grand jury testimony that placed Flores at the scene of
the conspiracy. Based on these findings the district court
concluded that the testimony had sufficient indicia of reliability
to be admitted against Flores as a declaration against penal
interest under Fed. R. Evid. 804(b)(3). The district court's
analysis was consonant with Vernor, which held that corroborating
evidence is to be consideredSQin addition to the circumstances
surrounding the statementsSQto satisfy the requirement of
reliability under rule 804(b)(3) and the requirement of
trustworthiness under the Confrontation Clause. Vernor, 902 F.2d
United States v. Sarmiento-Perez, 633 F.2d 1092, 1101
(5th Cir. 1981).
9
at 1188. However, the Supreme Court has since held that
corroborating evidence may not be considered in determining whether
a statement may be admitted under the Confrontation Clause where,
as here, the statement is presumed to be unreliable. Idaho v.
Wright, 110 S. Ct. 3139 (1990).11
The Wright Court, in applying the Confrontation Clause's
requirements to Idaho's residual hearsay exception, noted that
there existed two basic frameworks for analyzing the
constitutionality of hearsay exceptions as set forth in Ohio v.
Roberts, 100 S. Ct. 2531 (1980). Generally, under both systems, the
Confrontation Clause requires the prosecution to show that the
declarant is unavailable and that the statement bears adequate
indicia of reliability. Id. at 2538-39. If the hearsay falls
within a firmly rooted hearsay exception then reliability may be
presumed. Id. at 2539. However, if the hearsay is not part of a
firmly rooted exception, then the required indicia of reliability
must be shown from "particularized guarantees of trustworthiness."
Id. The Wright Court held that these "particularized guarantees of
trustworthiness" include only the relevant circumstances "that
surround the making of the statement and that render the declarant
particularly worthy of belief." Wright, 110 S. Ct. at 3148.
Corroborating evidence may not be considered because it "would
permit . . . bootstrapping on the trustworthiness of other evidence
11
In so ruling, the Supreme Court appears to have departed
from the plurality ruling in Dutton v. Evans, 91 S. Ct. 210
(1970). In Dutton, four members of the Court stated that a court
evaluating the reliability of hearsay evidence could look to
corroborating evidence as one factor in determining the
reliability of the hearsay. Id. at 219.
10
at trial." Id. at 3150.12
The Wright court determined that Idaho's residual exception to
the hearsay rule was not a firmly rooted exception so that evidence
may only be admitted under that exception if it had "particularized
guarantees of trustworthiness." Similarly, a confession by an
accomplice inculpating a defendant that is being offered as a
declaration against penal interest is not a firmly rooted
exception. Although some statements that fall within the
declaration-against-penal-interest concept may be inherently
reliable, the concept itself "defines too large a class for
meaningful Confrontation Clause analysis." Lee v. Illinois, 106
S. Ct. 2056, 2064 n.5 (1986). Therefore, each class of statements
that falls within the exception must be analyzed to determine
whether it is inherently reliable.13 Confessions of accomplices or
12
This test excludes corroborating evidence because the
rationale for allowing exceptions to the hearsay rule is "that
the statement offered is free enough from risk of inaccuracy and
untrustworthiness, so that the test of cross-examination would be
a work of supererogation." Wright, 110 S. Ct. at 3149 (quoting
from 5 J. Wigmore, Evidence § 1420, p. 251 (J. Chadbourne rev.
1974)). In other words, evidence may only be admitted under an
exception to the hearsay rule if it is "so trustworthy that
adversarial testing would add little to its reliability." Id.
The hearsay rule supports the values of the Confrontation Clause
because it focuses only on the trustworthiness of the declarant
in making the particular statement and does not seek independent
verification of the statement through corroborating evidence.
Hearsay consisting of a statement of declarant that is not
trustworthy is inadmissible whether or not independent evidence
shows that the statement is in actuality true or false.
13
Three circuits have held that all statements within the
declaration-against-penal-interest exception are inherently
reliable since it is a "firmly rooted" exception to the hearsay
rule. United States v. York, 933 F.2d 1343 (7th Cir. 1991);
United States v. Seeley, 892 F.2d 1, 2 (1st Cir. 1989); United
States v. Katsougrakis, 715 F.2d 769, 775 (2d Cir. 1983).
11
codefendants are "presumptively unreliable as to the passages
detailing the defendant's conduct or culpability because those
passages may well be the product of the codefendant's desire to
shift or spread blame, curry favor, avenge himself, or divert
attention to another." Id. at 2064.
Navarro's grand jury testimony is a confession of a
codefendant, and it may only be admitted against Flores if the
relevant circumstances "that surround the making of the statement
. . . render the declarant particularly worthy of belief." Wright,
However, Katsougrakis was decided before Lee, and Seeley simply
relies on Katsougrakis. These opinions cannot be viewed as
authoritative given the holding in Lee that the types of
statements under this exception defy such categorical analysis.
The York court distinguished Lee by holding that it applied
only to "'a confession by an accomplice which incriminates a
criminal defendant,'" and that the Lee court had not held that
such statements were not within a firmly-rooted exception but
only decided that they were presumptively unreliable. Id. at
1363 n.4 (quoting Lee, 106 S. Ct. at 2064 n.5). The York court
concluded that the issue of whether the exception for
declarations against penal interest was firmly rooted was still
open, and then held that it was a firmly rooted exception. Id.
We decline to follow this reasoning because exceptions are firmly
rooted precisely because such exceptions contain statements that
are presumptively reliable. Therefore, Lee precludes a finding
that the exception could be firmly rooted. The York court
implicitly recognized this outcome when it noted that, although
the exception is firmly rooted, a district court will still need
to determine the reliability of a statement against interest that
inculpates a third party in order to allow the statement to be
admitted under the exception. Such an instruction contradicts
the Supreme Court's holding that firmly rooted exceptions are
presumptively reliable and require no further determination of
reliability. Wright, 110 S. Ct. at 3147. York also seems to
contradict Morrison v. Duckworth, 929 F.2d 1180, 1181 n.2 (7th
Cir. 1991) (holding that statements inculpating a third party "do
not come within an established hearsay exception"). Moreover, as
noted in the text, infra, from an historical perspective we doubt
that a broadly read exception for declarations against penal
interest can fairly be described as "firmly rooted" despite some
relatively old instances of its application in England.
12
110 S. Ct. at 3148.14 However, the district court considered
14
The government correctly observes that Navarro's grand jury
testimony, although a confession, was not a custodial confession.
Certainly, grand jury questioning will usually "take place in a
setting wholly different from custodial police interrogation."
United States v. Mandujano, 96 S. Ct. 1768, 1778 (1976).
However, although Navarro was not arrested when the testimony was
elicited, he was a target of the federal investigation, he had
been given his Miranda warnings, and he had already given a
custodial confession that could serve as the basis for his
arrest. All of these facts were known by Navarro and the
prosecuting attorney when he elicited Navarro's testimony. In
these circumstances, we are inclined to view the grand jury
confession as not vastly more trustworthy than the preceding
custodial confession.
This Court has observed that the fact that the challenged
hearsay was grand jury testimony was not decisive in favor of its
trustworthiness because, "although given under oath, [it] is not
subjected to the vigorous truth testing of cross-examination."
United States v. Thevis, 665 F.2d 616, 629 (5th Cir. 1982). If
an oath (and a noncustodial, formal setting) were a sufficient
guarantee of trustworthiness, "Congress could have dispensed with
the cross-examination requirement codified in Rule 804(b)(1)."
United States v. Fernandez, 892 F.2d 976 at 981 (11th Cir. 1989).
Further, here, as is frequently the case in such instances, much
of Navarro's grand jury testimony was elicited through leading
questions (and included hearsay), factors that tend to lessen
reliability. See United States v. Gonzalez, 559 F.2d 1271, 1273
(5th Cir. 1977). Simply put, accomplice or codefendant grand
jury testimony, in and of itself, does not exhibit sufficient
indicia of reliability. See United States v. Garner, 99 S. Ct.
333, 335 (1978) (Stewart, J., dissenting from denial of
certiorari) ("That the evidence was first given before a grand
jury adds little to its reliability. In grand jury proceedings,
the ordinary rules of evidence do not apply. Leading questions
and multiple hearsay are permitted and common. Grand jury
investigations are not adversary proceedings. No one is present
to cross-examine the witnesses, to give the defendant's version
of the story, or to expose weaknesses in the witnesses'
testimony.").
We concede that generally grand jury testimony is likely to
be somewhat more trustworthy than custodial confessions, and
hence is in this respect arguably more consistent with recognized
exceptions to the hearsay rule. However, grand jury testimony,
as compared to custodial confessions, will also usually have a
closer nexus to building a particular case for trial as
distinguished from mere general investigation of criminal
activity or identification of suspects for apprehension. As
such, the use at trial of third-party grand jury testimony
implicates core concerns of the Confrontation Clause at least as
much as the use of custodial confessions.
13
corroborating evidence in addition to the circumstances surrounding
the making of the statement.15 This situation resembles United
States v. Gomez-Lemos, 939 F.2d 326 (6th Cir. 1991), where two co-
conspirators' grand jury testimony was used against the defendant
at trial. The testimony was admitted as a declaration against
penal interest, the co-conspirators having made themselves
unavailable by evoking their Fifth Amendment privilege not to
testify. The Court held, under Wright, that the district court
committed error in admitting the grand jury testimony because it
"found significant in its reliability analysis the fact that the
hearsay testimony of co-conspirators Barraza and Osorio was
corroborated." Id. at 332. Since the district court, contrary to
Wright, considered corroborating evidence in support of its
decision to admit Navarro's testimony, its decision may not stand.
The question remains whether we should regard Vernor as
binding precedent for the admissibility of this character of
evidence even where, per Wright, external corroborating evidence
may no longer be considered in the trustworthiness calculation. We
decline to ascribe such a continuing precedential effect to Vernor.
We are not persuaded that the result in Vernor itself, or the
general pro-admissibility approach of that opinion, would have been
the same absent the comfort factor of external corroborating
evidence, a factor that under Wright is no longer available in
15
We note that the government likewise urges that we uphold
the admission of Navarro's grand jury testimony in significant
part because of the external corroborating evidence.
14
calibrating trustworthiness.16 Moreover, we believe that the type
of evidence here considered should be deemed inadmissible in light
of the historical underpinnings and core values of the
Confrontation Clause, and what we view as the infringement of those
values in this general context by the evolutionary expansion of the
concepts of unavailability and declaration against penal interest.
Certainly, the Confrontation Clause does not serve as an
impregnable barrier to the admission of any and all hearsay
evidence. The theory behind the hearsay rule is that "the many
possible sources of inaccuracy and untrustworthiness which may lie
underneath the bare untested assertion of a witness can best be
brought to light and exposed, if they exist, by the test of cross-
examination." 5 Wigmore, supra, § 1420 p. 251. Based on this
theory, confrontation is not always required if the statement is
"so trustworthy that adversarial testing would add little to [its]
reliability." Wright, 110 S. Ct. at 3149. The Confrontation Clause
couples with this trustworthiness requirement the additional
16
Vernor recites that "[t]he district court found that Fred's
statements implicating Gary were corroborated by other evidence
that clearly indicated the trustworthiness of the statements" and
that "[t]he portions of Fred's statements implicating Gary are
also sufficiently corroborated by other circumstantial evidence
of Gary's guilt." Id. at 1188. The latter statement introduces
a four paragraph description of the corroborating evidence. Id.
Following this description, the opinion concludes by stating:
"In the light of all of the foregoing
circumstances, we conclude that the trustworthiness of
Fred's statements is clearly established by
corroborating circumstances, and that there are
sufficient indicia of reliability to satisfy the
requirements of the confrontation clause. We therefore
hold that the district court did not err in admitting
Fred's statements." Id. at 1188-89.
15
safeguard that necessity must be shown before the statement can be
admitted. Roberts, 100 S. Ct. at 2538-39. In order to prove
necessity, the Supreme Court has held that the Confrontation Clause
requires a showing of unavailability in order to admit hearsay such
as confessions. See United States v. Inadi, 106 S. Ct. 1121, 1125-
1129 (1986); Roberts, supra; Mattox v. United States, 15 S. Ct. 337
(1895). However, circumstances that constitute unavailability have
been enlarged over time. As noted by one court:
"Originally, the test of unavailability was
satisfied only if the declarant was deceased at the time
of trial. As the exceptions to the hearsay rule grew, the
concept of unavailability also expanded, and forms of
unavailability other than death were recognized as
sufficient to satisfy the test of necessity. Illness,
insanity, absence from the jurisdiction, and supervening
incompetency by virtue of interest have all been held to
satisfy the unavailability requirement. The
unavailability principle has been expanded to include a
witness who, by the exercise of privilege, refused to
testify." Naylor v. Gronkowski, 9 Ill. App. 3d 302, 306-
07, 292 N.E.2d 227, 229-30 (1972).
Such an expansion was at least in part a salutary development since
unavailability, in a practical sense, may occur in several forms
besides the demise of the declarant.17 However, the courts have
17
Fed. R. Evid. 804(a), which defines unavailability for
purposes of all the several hearsay exceptions that are
conditioned on it and are set out in rule 804(b), includes the
situation where the defendant "is exempted by ruling of the court
on the ground of privilege from testifying." Rule 804(a)(1). In
Vernor we relied on this provision and several earlier decisions
of this Court in holding that the co-perpetrator's claim of Fifth
Amendment privilege rendered him unavailable as a witness so as
to authorize admission of his confession against the defendant.
Id. at 1186. However, in Lee the Court expressly declined to
address whether the confessing co-defendant Thomas who declined
to testify at trial was unavailable. Id., 106 S.Ct. at 2061.
Even the four dissenting Justices in Lee, who would have admitted
Thomas's confession against his co-defendant, recognized that
there were ways the State might well have been able to procure
Thomas's live testimony:
16
generally not considered the effects of the expansion of
unavailability as they interact with other evolving legal concepts.
As with the concept of unavailability, the exception for
declarations against interest has greatly expanded from its
historical roots. In England, although statements against penal
interest may on occasion have been admitted in the distant past,
the courts ruled in the mid-nineteenth century against the
existence of such an exception. Sussex Peerage Case, 11 Cl. & F.
85, 110 (1844); Davis v. Lloyd, 1 C & K. 276 (1844); Papendick v.
Bridgwater, 5 E. & B. 166, 180 (1855). In the United States,
common-law hearsay exceptions existed for statements made against
pecuniary or proprietary interest, but no exception existed for
declarations against penal interest. 5 Wigmore, supra, § 1476 p.
352-58. Defendants who were attempting to use declarations by
third parties as evidence in their favor sought to have this
exception recognized, but this attempted common-law expansion was
rejected by the Supreme Court in Donnelly v. United States, 33
S. Ct. 449 (1913).
The Donnelly court considered whether the confession of a
third party exculpating the defendant should be admitted as
evidence. Id. at 459. The Court determined that it should not,
"For example, the State could have offered Thomas a
favorable sentencing recommendation, or the opportunity
to plead guilty to a lesser offense, in exchange for
his testimony against petitioner. Alternatively, the
State could have tried Thomas separately and granted
him immunity from the use of his inculpatory testimony
against petitioner. . . . Measures of this kind,
however, entail significant costs." Id. at 2067
(Blackmun, J., dissenting).
17
because although a recognized exception to the hearsay rule existed
concerning declarations against interest, "it is almost universally
held that this must be an interest of a pecuniary character . . .
In this country there is a great and practically unanimous weight
of authority in the state courts against admitting evidence of
confessions of third parties . . . ." Id. at 459-60. Donnelly
also relied on Sussex and on Justice Marshall's opinion in Queen v.
Hepburn, 3 L. Ed. 348 (1813), which observed, "The danger of
admitting hearsay evidence is sufficient to admonish courts of
justice against lightly yielding to the introduction of fresh
exceptions to an old and well-established rule; the value of which
is felt and acknowledged by all." Id. at 350.18
However, such an exception would be eventually recognized as
predicted in Justice Holmes' famous dissent in Donnelly:
"There is no decision by this court against the
admissibility of such a confession; the English cases
since the separation of the two countries do not bind us;
the exception to the hearsay rule in the case of
declarations against interest is well known; no other
statement is so much against interest as a confession of
murder; it is far more calculated to convince than dying
declarations, which would be let in to hang a man; and
when we surround the accused with so many safeguards . .
.; I think we ought to give him the benefit of a fact
that, if proved, commonly would have such weight." 33
S. Ct. at 461 (Holmes, J., dissenting) (citations
omitted).
Cast in these terms, such admissions against penal interest did not
implicate the Sixth Amendment because they would be statements of
18
And, at least until recently, most courts agreed that a
codefendant's hearsay admissions could not be used against a
defendant. 4 Wigmore, supra, § 1076 p. 157 (concerning "the rule
in regard to the admissions of a codefendant in a criminal case;
here it has always been conceded that the admission of one is
receivable against himself only").
18
third parties offered by an accused in order to exonerate himself.
Criticism for not recognizing an exception for statements against
penal interest focused on this perceived injustice.
This criticism was muted by the promulgation of the Federal
Rules of Evidence in 1975, which provided that a declarant's
statement against interest may be admitted as an exception to the
hearsay rule where such statement "so far tended to subject the
declarant to civil or criminal liability." Fed. R. Evid.
804(b)(3).19 This rule recognized the general reliability of
statements made by a declarant that were opposed to his own penal
interest. However, echoing the concerns of the Donnelly majority,
the rule treats statements by a third-party exculpating the
defendant as requiring "corroborating circumstances clearly
indicat[ing] the trustworthiness of the statement." Id.
Although rule 804 does not specifically address the situation
where the third-party declarant's confession contains statements
inculpating the defendant, the Supreme Court has always viewed such
statements as inherently suspect. Douglas v. Alabama, 85 S. Ct.
1074 (1965) (admission of nontestifying previously tried
codefendant's confession violated the defendant's rights under the
Confrontation Clause); Bruton v. United States, 88 S. Ct. 1620
(1968) (admission of nontestifying jointly tried codefendant's
confession with a limiting instruction still violated the
defendant's rights under the Confrontation Clause). The rules
advisory committee notes to rule 804(b)(3) also recognize this
19
For a detailed, scholarly history of the rule's language,
see Sarmiento-Perez, 633 F.2d at 1094-95.
19
inherent unreliability in positing that "a statement admitting
guilt and implicating another person, made while in custody, may
well be motivated by a desire to curry favor with the authorities
and hence fail to qualify as against interest." West's Federal
Criminal Code and Rules 287-88 (1991 rev. ed.).
The relatively recent recognition of declarations against
penal interest as an exception to the hearsay rule by the Federal
Rules of Evidence would seem to counsel against a headlong rush to
broadly embrace the exception as providing a sufficient substitute
for cross-examination and personal confrontation in cases of the
present kind. We recognize that statements which adversely
implicate the penal interest of the declarant alone for many years
have been widely recognized as normally reliable and, where the
declarant is unavailable, have usually been admitted in evidence in
federal and most state courts. See E. Clearly, McCormick on
Evidence § 278 (3d ed. 1984). Arguably, such statements may be
deemed a "firmly rooted" exception to the hearsay rule under the
Lee formulation. On the other hand, even generally objectionable
statements in which the declarant adversely implicates not only his
own penal interest but also that of another may be made under
circumstances that both suggest reliability and do not seriously
invade the intended protections of the Confrontation Clause, such
as statements made to a personal acquaintance in a noninvestigatory
context where the setting suggests no motive to speak falsely.
This distinction seems to be recognized by the rules advisory
committee's reference to statements made "to an acquaintance."
West's Federal Criminal Code and Rules at 288 (advisory committee
20
notes to rule 804(b)(3)). Cf. United States v. Triplett, 922 F.2d
1174, 1178, 1182 (5th Cir. 1991) (statement to neighbor). Such
statements might well fall into the Lee category of those shown to
have "particularized guarantees of trustworthiness."
It appears to us, however, that there is another category of
statements against penal interest that should generally be regarded
as inadmissible under the Confrontation Clause, particularly where
the declarant's unavailability is due simply to invocation of the
Fifth Amendment in response to actual or potential prosecution,
namely statements accusatory of another taken by law enforcement
personnel with a view to prosecution.20 Such statements have two
characteristics that together make them inherently unreliable: (1)
the declarant makes accusatory statements that inculpate another;
and (2) these statements are made to nonundercover law-enforcement
personnel after the commission of the offense. In that generic
situation there always exists the strong possibility that the
declarant has the "desire to shift or spread blame, curry favor,
avenge himself, or divert attention to another." Lee, 106 S. Ct. at
20
It appears that this Court might have already reached such a
conclusion in Sarmiento-Perez. There, we held that "the
custodial confession of an unavailable declarant lacks those
indicia of reliability that would render it admissible in
evidence against a criminal defendant within the hearsay
exception provided by Rule of Evidence 804(b)(3)." 633 F.2d at
1104. Moreover, at least one respected treatise has
interpreted Sarmiento-Perez as holding "that the fact of custody
alone, with its attendant likelihood of motivation by a desire to
curry favor with the authorities, bars a finding that the
statement was against interest and requires exclusion." E.
Cleary, supra, § 279 p. 826. However, Sarmiento-Perez's broad
language was ignored by the Vernor court, which chose to
interpret that decision as merely requiring a case-by-case
assessment of such statements. Vernor, 902 F.2d at 1187-88.
21
2064. It is precisely in these circumstances that cross-
examination, the "greatest legal engine ever invented for the
discovery of truth," see 5 Wigmore, supra, § 1367 p. 32, is
preeminently suited to determining the trustworthiness of a
declarant's statements as envisioned by the framers of the
Confrontation Clause.
The Confrontation Clause reflects "the ancient faith of the
common law, incorporated by the founders in the Bill of Rights,
that live confrontation and cross-examination of witnesses in the
courtroom is the key to finding the truth in a criminal trial."
Gomez-Lemos, 939 F.2d at 333. As noted by the concurrence in
Gomez-Lemos, "The framers of our Constitution were well aware of
England's unhappy experience with Star Chamber procedures, and the
Sixth Amendment was designed, in part, to forbid the use of the
most objectionable of these procedures in the criminal courts of
the United States." Id. at 334 (Nelson, J., concurring). Such
objectionable procedures included sworn ex parte depositions used
against defendants in criminal cases. Coke, Fourth Institute,
Chapters 5 and 64. The Confrontation Clause was developed to
"prevent depositions or ex parte affidavits, such as were sometimes
admitted in civil cases, being used against the prisoner in lieu of
a personal examination and cross-examination of the witness."
Mattox, 15 S. Ct. at 339; see also California v. Green, 90 S. Ct.
1930 at 1934 (1970); White v. Illinois, 112 S. Ct. 736, 746 (1992)
(Thomas, J., dissenting).21
21
Justice Thomas argued that preventing "trial by affidavit"
was, from an historical perspective, both the core purpose and
22
The hearsay rules operate in civil as well as criminal
proceedings, and may be invoked by the government as well as by the
citizen. But the Confrontation Clause applies only in criminal
prosecutions and protects only the accused. Its "lineage . . .
traces back to the beginnings of Western legal culture." Coy v.
Iowa, 108 S. Ct. 2798 at 2800 (1988). Moreover, "'the Confrontation
Clause guarantees the defendant a face-to-face meeting with
witnesses appearing before the trier of fact,'" Maryland v. Craig,
110 S. Ct. 3157, 3162 (1990) (quoting Coy, 108 S. Ct. at 2800),
"witnesses who confront him at trial, upon whom he can look while
being tried." Coy at 2801. The purpose of confrontation is not
solely a function of conventionally explainable enhanced
reliability, for in this respect the clause "serves ends related
both to appearances and to reality," Coy at 2801, has a "strong
symbolic purpose," and responds to "'something deep in human nature
that regards face-to-face confrontation between accused and accuser
as "essential to a fair trial in a criminal prosecution."'" Craig
at 3164 (quoting Coy at 2800, quoting Pointer v. Texas, 85 S. Ct.
1065, 1068 (1965)).22
the furthermost extent of the protection provided by the
Confrontation Clause, and that the Confrontation Clause should
not require exclusion of dissimilar sorts of hearsay, whether or
not within a "fairly rooted" exception to the hearsay rule.
Justice Thomas would hold that the "Confrontation Clause is
implicated by extrajudicial statements only insofar as they are
contained in formalized testimonial materials, such as
affidavits, depositions, prior testimony, or confessions." Id.
at 747. This view, so far as it would narrow the protections of
the Confrontation Clause, was rejected by the Court in White.
22
Although Craig notes that "the face-to-face confrontation
requirement is not absolute" and may be modified "where . . .
23
The use of ex parte depositions is still barred in criminal
proceedings. Depositions may only be taken for a criminal trial if
notice is given to all parties, the defendant is given an
opportunity to be present personally and through counsel at the
examination, and the scope and manner of examination and cross-
examination are the same as would be allowed at the trial itself.
Fed. R. Crim. P. 15. However, under Vernor, the substantial
equivalent of an ex parte deposition may be taken, and used at
trial against a defendant, where the prosecutor procures a
declarant's grand jury testimony with an eye towards the later
joint prosecution of the defendant and/or the declarant. In the
case sub judice, Navarro's grand jury testimony, derived ex parte
and without the benefit of counsel for either himself or Flores,
comes perilously close to resembling England's Star Chamber
proceedings. The government's choice of trying Navarro jointly
with Flores in essence guaranteed that Navarro would be unavailable
because he would invoke his Fifth Amendment privilege. The
government, in effect, created its own unavailable declarant.23 The
district court allowed this testimony into evidence against both
necessary to further an important public policy and . . . the
reliability of the testimony is otherwise assured," nevertheless
in sustaining the modification there at issue Craig stressed that
"the defendant retains full opportunity for contemporaneous
cross-examination; and the judge, jury and defendant are able to
view (albeit by video monitor) the demeanor (and body) of the
witness as he or she testifies." Id. at 3166. Craig also
reflects that under the there challenged procedure, the witness's
testimony was given in personal face-to-face confrontation with
defendant's counsel. Id. at 3161.
23
We recognize that it likely may do so for purposes of
unavailability as defined in Rule 804(a)(1). But, here we deal
with the Confrontation Clause. See Wright at 3146.
24
defendants because it adversely implicated Navarro's penal interest
and the district court was satisfied with its trustworthiness.
However, in the area of codefendants' confessions to law
enforcement authorities that implicate another, this should
rarelySQif everSQbe the case due, among other things, to their
inherent unreliability. Lee, 106 S. Ct. at 2062.
The Supreme Court has never allowed the admission against a
defendant of a codefendant's hearsay inculpatory statements to law
enforcement authorities, although it has suggested that
theoretically such hearsay could be admitted in appropriate
circumstances. Cruz v. New York, 107 S. Ct. 1714, 1719 (1987); Lee,
at 2065. But that suggestion should not drive us to allow a
codefendant's confession to law enforcement authorities to be
admitted against the defendant merely because the district court is
able to fairly recite a litany of factors and conclude that the
particular confession has "sufficient indicia of reliability." In
Vernor, the factors surrounding the making of the statement that
were relied on to demonstrate its trustworthiness were: (1) the
declarant took, without attempting to minimize, full responsibility
for his role in the offense; (2) nothing indicated that the
declarant made the statements to avenge himself or to curry favor
with the authorities; (3) the authorities who procured the
statements testified and were cross-examined at trial concerning
the circumstances and contents of the statements; (4) no promises
or plea bargains were made with the declarant; (5) the statements
were made voluntarily; (6) the declarant was fully informed of his
Miranda rights; and (7) the offense was still fresh in the
25
declarant's mind. 902 F.2d at 1188.24
While the presence of these factors (as opposed to their
opposites) doubtless renders a given confession more reliable than
it would otherwise be, we are not persuaded that it substantially
eliminates any reasonable possibility that the third party
inculpatory portions of a confession to law enforcement personnel
are unreliable. As to the first factor, a declarant must
incriminate himself in order to fit within the exception in the
first place. Whether such incriminating statements describe the
declarants' full role in the offense will rarely be determined from
the confession alone. Taking on the full blame for a minor role in
an offense, such as claiming to be a mere courier in a drug
conspiracy, does little to demonstrate trustworthiness because the
declarant still has the motive to shift the blame to others so as
to receive a lesser penalty. In certain instances this concern
might be resolved by other evidence, but Wright does not allow such
evidence to be considered. The second factor views the absence of
evidence showing improper motives as indicating trustworthiness.
However, statements by suspects to law enforcement officials
inculpatory of third parties are excluded because of the
presumption that such motives exist, and the absence of evidence
does not remove this presumption. Lee, 106 S. Ct. at 2064. The
third and fourth factors, though helpful in tending to indicate
that the statements are not made in response to prior express
24
As previously observed (see note 16, supra, and accompanying
text), Vernor also relied, in its ultimate assessment of the
trustworthiness of the statement, on external corroborating
evidence.
26
inducements such as a plea bargain or other promise, do little to
show that the declarant does not desire to curry favor with the
authorities in the perhaps mistaken hope that he will receive some
favorable consideration.25 Nor do they tend to negate a motive to
avenge. The fifth and sixth factors, that the declarant made the
statements voluntarily and with Miranda warnings, will generally be
present when a confession is taken, and were present in Lee. The
Lee court gave them no weight because they do not bear on whether
the declarant's confession was free of the motive to mitigate the
declarant's role in the offense. Lee, 106 S. Ct. at 2064. The last
factor, making the confession shortly after the offense, does
little to illuminate the declarant's motive.
If one suspected of a particular offense confesses to the
investigating authorities and implicates others, under the above-
referenced Vernor factors that confession, including its
accusations against the others, could generally be admitted as
substantive evidence against all in a joint trial. In that
context, the combined expansion of two generally benign evidentiary
conceptsSQunavailability and declarations against interestSQresults
in sanctioning evidence that has historically been viewed as
generically suspect and violative of values at the very core of the
25
As noted in Gomez-Lemos, the presence of a plea agreement,
even after the defendant has been convicted, also would not serve
as an indicia of trustworthiness because the declarant would have
a strong desire to curry favor with the government and divert
attention to another in the "hopes that the government will make
favorable recommendations to the sentencing judge." 939 F.2d at
333. Even after sentencing, these motives may exist because "the
government still possesses influence regarding the security level
and location of the prison where the [declarant] is to be
incarcerated." Id.
27
Confrontation Clause. Where the government has the means to
procure the declarant's trial testimony,26 the fact that there will
often be "significant costs" (see Lee at 2067, Blackmun J.,
dissenting) in its doing so should not override one of our oldest
and strongest legal traditions and the very essence of the
Confrontation Clause, namely the protection against conviction on
the basis of third party accusations made in ex parte confessions
to law enforcement or prosecutorial authorities, where there is no
opportunity for the defendant to cross-examine and personally
confrontSQor for the trier of fact to observeSQthe declarant.27
Conclusion
We hold that the district court's admission of Navarro's grand
jury testimony as substantive evidence against Flores, over Flores'
objection, violated Flores' rights under the Confrontation Clause.
Although the question is a very close one and not free from
doubt, we are also unable to conclude that this error was harmless.
Accordingly, Flores' conviction is reversed and the cause is
26
And the declarant's trial silence is not procured by the
defense. See Gomez-Lemos, 939 F.2d at 334 n.3; Thevis, 665 F.2d
at 632-33.
27
Our approach in instances fitting within this classification
is general and categorical, rather than calling for or being
dependent on a case-by-case examination and weighing of
particular factors or circumstances surrounding the statement and
the declarant (either those of Vernor or otherwise). The old saw
has it that lawyers and judges "never say never." Pending
further guidance from the Supreme Court, we do not presently have
occasion to pass on whether there might ever be some extremely
unusual case within this genre where the trustworthiness of the
statement (grand jury testimony or the like) and the "costs" of
procuring the declarant's testimony are both so extraordinarily
high that, when viewed together with other special circumstances,
consideration of a possible exception to the general rule of
inadmissibility might be warranted.
28
remanded for a new trial.
REVERSED and REMANDED
29