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 , 502 U. S. 346 (1992), for the
proposition that " `[w]here proffered hearsay has
sufficient guarantees of reliability to come within
a firmly rooted exception to the hearsay rule, the Confrontation
Clause is satisfied.' " 255 Va. 558, 574, 499 S.
E. 2d 522, 534 (1998) (quoting White , 502 U. S., at
356 ). The Virginia court also remarked:
"[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 , 476 U.
S. 530 (1986), and Williamson v. United States, 512
U. S. 594 (1994), in response to the Commonwealth's
contention that the admission of the statements was
constitutional. These arguments, particularly the reliance
on our Confrontation Clause opinion in Lee, sufficed
to raise in the Supreme Court of Virginia the constitutionality
of admitting Mark's statements. See Taylor v. Illinois,
484 U. S. 400, 406 , n. 9 (1988). Indeed, the court
addressed petitioner's Confrontation Clause claim without
mentioning any waiver problems.
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 , 380 U. S. 400 (1965) (applying Sixth
Amendment to the States). "The central concern
of the Confrontation Clause is to ensure the reliability
of the evidence against a criminal defendant by subjecting
it to rigorous testing in the context of an adversary
proceeding before the trier of fact." Maryland
v. Craig, 497 U. S. 836, 845 (1990). When the government
seeks to offer a declarant's out-of-court statements
against the accused, and, as in this case, the declarant
is unavailable, 1 courts must decide whether the Clause
permits the government to deny the accused his usual
right to force the declarant "to submit to cross-examination,
the `greatest legal engine ever invented for the discovery
of truth.' " California v. Green, 399 U. S. 149,
158 (1970) (footnote and citation omitted).
In our most recent case interpreting the
Confrontation Clause, White v. Illinois , 502 U. S.
346 (1992), we rejected the suggestion that the Clause
should be narrowly construed to apply only to practices
comparable to "a particular abuse common in 16th-
and 17th-century England: prosecuting a defendant through
the presentation of ex parte affidavits, without the
affiants ever being produced at trial." Id., at
352. This abuse included using out-of-court depositions
and "confessions of accomplices." Green, 399
U. S., at 157 . Accord White, 502 U. S., at 361 , 363
(noting that this rule applies even if the confession
is "found to be reliable") ( Thomas , J.,
concurring in part and concurring in judgment). Because
that restrictive reading of the Clause's term "witnesses"
would have virtually eliminated the Clause's role in
restricting the admission of hearsay testimony, we considered
it foreclosed by our prior cases. Instead, we adhered
to our general framework, summarized in Ohio v. Roberts,
448 U. S. 56 (1980), that the veracity of hearsay statements
is sufficiently dependable to allow the untested admission
of such statements against an accused when (1) "the
evidence falls within a firmly rooted hearsay exception"
or (2) it contains "particularized guarantees of
trustworthiness" such that adversarial testing
would be expected to add little, if anything, to the
statements' reliability. Id., at 66.
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,
156 U. S. 237 (1895), that the Framers of the Sixth
Amendment "obviously intended to ... respec[t]"
certain unquestionable rules of evidence in drafting
the Confrontation Clause. Id., at 243. Justice Brown,
writing for the Court in that case, did not question
the wisdom of excluding deposition testimony, ex parte
affidavits and their equivalents. But he reasoned that
an unduly strict and "technical" reading of
the Clause would have the effect of excluding other
hearsay evidence, such as dying declarations, whose
admissibility neither the Framers nor anyone else 100
years later "would have [had] the hardihood ...
to question." Ibid.
We now describe a hearsay exception as
"firmly rooted" if, in light of "longstanding
judicial and legislative experience," Idaho v.
Wright, 497 U. S. 805, 817 (1990), it "rest[s]
[on] such [a] solid foundatio[n] that admission of virtually
any evidence within [it] comports with the `substance
of the constitutional protection.' " Roberts, 448
U. S., at 66 (quoting Mattox, 156 U. S., at 244 ). This
standard is designed to allow the introduction of statements
falling within a category of hearsay 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 , 156 U. S.,
at 244 . In White , for instance, we held that the hearsay
exception for spontaneous declarations is firmly rooted
because it "is at least two centuries old,"
currently "widely accepted among the States,"
and carries "substantial guarantees of ... trustworthiness
... [that] cannot be recaptured even by later in-court
testimony." 502 U. S., at 355 -356, and n. 8. Established
practice, in short, must confirm that statements falling
within a category of hearsay inherently "carr[y]
special guarantees of credibility" essentially
equivalent to, or greater than, those produced by the
Constitution's preference for cross-examined trial testimony.
Id., at 356.
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,
410 U. S. 284, 299 (1973).
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,
476 U. S., at 544 , n. 5. In criminal trials, statements
against penal interest are offered into evidence in
three principal situations: (1) as voluntary admissions
against the declarant; (2) as exculpatory evidence offered
by a defendant who claims that the declarant committed,
or was involved in, the offense; and (3) as evidence
offered by the prosecution to establish the guilt of
an alleged accomplice of the declarant. It is useful
to consider the three categories and their roots separately.
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 , 391 U. S.
123 (1968), two codefendants, Evans and Bruton, were
tried jointly and convicted of armed postal robbery.
A postal inspector testified that Evans had orally confessed
that he and Bruton had committed the crime. The jury
was instructed that Evans' confession was admissible
against him, but could not be considered in assessing
Bruton's guilt. Despite that instruction, this Court
concluded that the introduction of Evans' confession
posed such a serious threat to Bruton's right to confront
and cross-examine the witnesses against him that he
was entitled to a new trial. The case is relevant to
the issue before us today, not because of its principal
holding concerning the ability or inability of the jury
to follow the judge's instruction, but rather because
it was common ground among all of the Justices that
the fact that the confession was a statement against
the penal interest of Evans did not justify its use
against Bruton. As Justice White noted at the outset
of his dissent, "nothing in that confession which
was relevant and material to Bruton's case was admissible
against Bruton." Id., at 138.
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, 523 U. S. 185, 194-195
(1998) (stating that because the use of an accomplice's
confession "creates a special, and vital, need
for cross-examination," a prosecutor desiring to
offer such evidence must comply with Bruton, hold separate
trials, use separate juries, or abandon the use of the
confession); id., at 200 ( Scalia, J., dissenting) (stating
that codefendant's confessions "may not be considered
for the purpose of determining [the defendant's] guilt");
Richardson v. Marsh, 481 U. S. 200, 206 (1987) ("[W]here
two defendants are tried jointly, the pretrial confession
of one cannot be admitted against the other unless the
confessing defendant takes the stand"); Cruz v.
New York, 481 U. S. 186, 189-190 , 193 (1987) (same).
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 , 228 U. S. 243, 272-277 (1913). Indeed, most
States adhered to this approach well into the latter
half of the 20th century. See Chambers, 410 U. S., at
299 (collecting citations).
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." 410
U. S., at 300 . Not surprisingly, most States have now
amended their hearsay rules to allow the admission of
such statements under against-penal-interest exceptions.
See 5 J. Wigmore, Evidence §1476; p. 352, and n.
9 (J. Chadbourn rev. 1974); id., §1477, p. 360,
and n. 7; J. Wigmore, Evidence §§1476 and
1477, pp. 618-626 (A. Best ed. Supp. 1998). But because
hearsay statements of this sort are, by definition,
offered by the accused, the admission of such statements
does not implicate Confrontation Clause concerns. Thus,
there is no need to decide whether the reliability of
such statements is so inherently dependable that they
would constitute a firmly rooted hearsay exception.
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 , 476 U.
S., at 544 , n. 5. The practice of admitting statements
in this category under an exception to the hearsay rule--to
the extent that such a practice exists in certain jurisdictions--is,
unlike the first category or even the second, of quite
recent vintage. This category also typically includes
statements that, when offered in the absence of the
declarant, function similarly to those used in the ancient
ex parte affidavit system.
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, 476 U. S., at 541 . See also
Cruz, 481 U. S., at 195 ( W hite , J., dissenting) (such
statements "have traditionally been viewed with
special suspicion"); Bruton, 391 U. S., at 136
(such statements are "inevitably suspect").
In Crawford v. United States, 212 U. S.
183 (1909), this Court stated that even when an alleged
accomplice testifies, his confession that "incriminate[s]
himself together with defendant ... ought to be received
with suspicion, and with the very greatest care and
caution, and ought not to be passed upon by the jury
under the same rules governing other and apparently
credible witnesses." Id., at 204. Over 30 years
ago, we applied this principle to the Sixth Amendment.
We held in Douglas v. Alabama , 380 U. S. 415 (1965),
that the admission of a nontestifying accomplice's confession,
which shifted responsibility and implicated the defendant
as the triggerman, "plainly denied [the defendant]
the right of cross-examination secured by the Confrontation
Clause." Id., at 419.
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."
476 U. S., at 541 . This is so because
"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 , 391 U. S., at 141 (White, J., dissenting)).
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 , 512 U. S. 594 (1994), without reaching
the Confrontation Clause issue, we held that an accomplice's
statement against his own penal interest was not admissible
against the defendant. 3 We once again noted the presumptive
unreliability of the "non-self-inculpatory"
portions of the statement: "One of the most effective
ways to lie is to mix falsehood with truth, especially
truth that seems particularly persuasive because of
its self-inculpatory nature." Id., at 599-601.
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, 448 U.
S., at 66 , sufficient to satisfy the Confrontation
Clause's residual admissibility test. 6
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, 156 U. S., at 243
-244. When a court can be confident--as in the context
of hearsay falling within a firmly rooted exception--that
"the declarant's truthfulness is so clear from
the surrounding circumstances that the test of cross-examination
would be of marginal utility," the Sixth Amendment's
residual "trustworthiness" test allows the
admission of the declarant's statements. Wright, 497
U. S., at 820 .
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, 517 U. S. 690, 697
(1996) (holding that appellate courts should review
reasonable suspicion and probable cause determinations
de novo ). We, of course, accept the Virginia courts'
determination that Mark's statements were reliable for
purposes of state hearsay law, and, as should any appellate
court, we review the presence or absence of historical
facts for clear error. But the surrounding circumstances
relevant to a Sixth Amendment admissibility determination
do not include the declarant's in-court demeanor (otherwise
the declarant would be testifying) or any other factor
uniquely suited to the province of trial courts. For
these reasons, when deciding whether the admission of
a declarant's out-of-court statements violates the Confrontation
Clause, courts should independently review whether the
government's proffered guarantees of trustworthiness
satisfy the demands of the Clause.
The Commonwealth correctly notes that
"the presumption of unreliability that attaches
to codefendants' confessions . . . may be rebutted."
Lee , 476 U. S., at 543 . We have held, in fact, that
any inherent unreliability that accompanies co-conspirator
statements made during the course and in furtherance
of the conspiracy is per se rebutted by the circumstances
giving rise to the long history of admitting such statements.
See Bourjaily v. United States, 483 U. S. 171, 182-184
(1987). Nonetheless, the historical underpinnings of
the Confrontation Clause and the sweep of our prior
confrontation cases offer one cogent reminder: It is
highly unlikely that the presumptive unreliability that
attaches to accomplices' confessions that shift or spread
blame can be effectively rebutted when the statements
are given under conditions that implicate the core concerns
of the old ex parte affidavit practice--that is, when
the government is involved in the statements' production,
and when the statements describe past events and have
not been subjected to adversarial testing.
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, 497 U. S., at 822
. In Wright, we concluded that the admission of hearsay
statements by a child declarant violated the Confrontation
Clause even though the statements were admissible under
an exception to the hearsay rule recognized in Idaho,
and even though they were corroborated by other evidence.
We recognized that it was theoretically possible for
such statements to possess " `particularized guarantees
of trustworthiness' " that would justify their
admissibility, but we refused to allow the State to
"bootstrap on" the trustworthiness of other
evidence. "To be admissible under the Confrontation
Clause," we held, "hearsay evidence used to
convict a defendant must possess indicia of reliability
by virtue of its inherent trustworthiness, not by reference
to other evidence at trial." Ibid.
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. 476 U. S., at 544 . By the same
token, we believe that a suspect's consciousness of
his Miranda rights has little, if any, bearing on the
likelihood of truthfulness of his statements. When a
suspect is in custody for his obvious involvement in
serious crimes, his knowledge that anything he says
may be used against him militates against depending
on his veracity.
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, 512 U.
S., at 599 . Accord, Lee, 476 U. S., at 545 . Similarly,
the absence of an express promise of leniency to Mark
does not enhance his statements' reliability to the
level necessary for their untested admission. The police
need not tell a person who is in custody that his statements
may gain him leniency in order for the suspect to surmise
that speaking up, and particularly placing blame on
his cohorts, may inure to his advantage.
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,
400 U. S. 74, 98 (1970) (Harlan, J., concurring in result).
Mark also was obviously still under the influence of
alcohol. Each of these factors militates against finding
that his statements were so inherently reliable that
cross-examination would have been superfluous.
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 , 386 U. S. 18, 24 (1967). See
also Lee, 476 U. S., at 547 . Accordingly, the judgment
of the Supreme Court of Virginia is reversed, and the
case is remanded for further proceedings not inconsistent
with this opinion.
It is so ordered.
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