Court Opinion

ID: 9431466
Source: CourtListenerOpinion
Date Created: 2023-08-02 23:32:20.685138+00
Date Added: 2024-06-11T17:23:28.669577
License: Public Domain

Justice Blackmun,
with whom The Chief Justice joins, dissenting.
Appellant was convicted by an Iowa jury on two counts of engaging in lascivious acts with a child. Because, in my view, the procedures employed at appellant’s trial did not offend either the Confrontation Clause or the Due Process Clause, I would affirm his conviction. Accordingly, I respectfully dissent.
*1026I
A
The Sixth Amendment provides that a defendant in a criminal trial “shall enjoy the right... to he confronted with the witnesses against him.” In accordance with that language, this Court just recently has recognized once again that the essence of the right protected is the right to be shown that the accuser is real and the right to probe accuser and accusation in front of the trier of fact:
“‘The primary object of the [Confrontation Clause] was to prevent depositions or ex parte affidavits . . . being used against the prisoner in lieu of a personal examination and cross-examination of the witness in which the accused has an opportunity, not only of testing the recollection and sifting the conscience of the witness, but of compelling him to stand face to face with the jury in order that they may look at him, and judge by his demeanor upon the stand and the manner in which he gives his testimony whether he is worthy of belief.”’ Kentucky v. Stincer, 482 U. S. 703, 736-737 (1987), quoting Mattox v. United States, 156 U. S. 237, 242-243 (1895).
Two witnesses against appellant in this case were the 13-year-old girls he was accused of sexually assaulting. During their testimony, as permitted by a state statute, a one-way screening device was placed between the girls and appellant, blocking the man accused of sexually assaulting them .from the girls’ line of vision.1 This procedure did not interfere *1027with what this Court previously has recognized as the “purposes of confrontation.” California v. Green, 399 U. S. 149, 158 (1970). Specifically, the girls’ testimony was given under oath, was subject to unrestricted cross-examination, and “the jury that [was] to decide the defendant’s fate [could] observe the demeanor of the witnesses] in making [their] statements], thus aiding the jury in assessing [their] credibility.” Ibid. See also Lee v. Illinois, 476 U. S. 530, 540 (1986). In addition, the screen did not prevent appellant from seeing and hearing the girls and conferring with counsel during their testimony, did not prevent the girls from seeing and being seen by the judge and counsel, as well as by the jury, and did not prevent the jury from seeing the demeanor of the defendant while the girls testified. Finally, the girls were informed that appellant could see and hear them while they were on the stand.2 Thus, appellant’s sole complaint is the very narrow objection that the girls could not see him while they testified about the sexual assault they endured.
The Court describes appellant’s interest in ensuring that the .girls could see him while they testified as “the irreducible literal meaning of the Clause.” Ante, at 1021. Whatever may be the significance of this characterization, in my view it is not borne out by logic or precedent. While I agree with the concurrence that “[t]here is nothing novel” in the proposition that the Confrontation Clause “ ‘reflects a preference’ ” for the witness to be able to see the defendant, ante, at 1024, quoting Ohio v. Roberts, 448 U. S. 56, 63-64 (1980) (emphasis added in concurrence), I find it necessary to dis*1028cuss my disagreement with the Court as to the place of this “preference” in the constellation of rights provided by the Confrontation Clause for two reasons. First, the minimal extent of the infringement on appellant’s Confrontation Clause interests is relevant in considering whether competing public policies justify the procedures employed in this case. Second, I fear that the Court’s apparent fascination with the witness’ ability to see the defendant will lead the States that are attempting to adopt innovations to facilitate the testimony of child victims of sex abuse to sacrifice other, more central, confrontation interests, such as the right to cross-examination or to have the trier of fact observe the testifying witness.
The weakness of the Court’s support for its characterization of appellant’s claim as involving “the irreducible literal meaning of the Clause” is reflected in its reliance on literature, anecdote, and dicta from opinions that a majority of this Court did not join. The majority cites only one opinion of the Court that, in my view, possibly could be understood as ascribing substantial weight to a defendant’s right to ensure that witnesses against him are able to see him while they are testifying: “Our own decisions seem to have recognized at an early date that it is this literal right to ‘confront’ the witness at the time of trial that forms the core of the values furthered by the Confrontation Clause.” California v. Green, 399 U. S., at 157. Even that characterization, however, was immediately explained in Green by .the quotation from Mattox v. United States, 156 U. S., at 242-243, set forth above-in this opinion to the effect that the Confrontation Clause was designed to prevent the use of ex parte affidavits, to provide the opportunity for cross-examination, and to compel the defendant “ ‘to stand face to face with the jury. ’ ” California v. Green, 399 U. S., at 158 (emphasis added).
Whether or not “there is something deep in human nature,” ante, at 1017, that considers critical the ability of a witness to see the defendant while the witness is testifying, *1029that was not a part of the common law’s view of the confrontation requirement. “There never was at common law any recognized right to an indispensable thing called confrontation as distinguished from cross-examination” (emphasis in original). 5 J. Wigmore, Evidence § 1397, p. 158 (J. Chadbourn rev. 1974). I find Dean Wigmore’s statement infinitely more persuasive than President Eisenhower’s recollection of Kansas justice, see ante, at 1017-1018, or the words Shakespeare placed in the mouth of his Richard II concerning the best means of ascertaining the truth, see ante, at 1016.3 In fact, Wigmore considered it clear “from the beginning of the hearsay rule [in the early 1700’s] to the present day” that the right of confrontation is provided “not for the idle purpose of gazing upon the witness, or of being gazed upon by him,” but, rather, to allow for cross-examination (emphasis added). 5 Wigmore §1395, p. 150. See also Davis v. Alaska, 415 U. S. 308, 316 (1974).
Similarly, in discussing the constitutional confrontation requirement, Wigmore notes that, in addition to cross-examination — “the essential purpose of confrontation” — there is a “secondary and dispensable element[of the right:] . . . the presence of the witness before the tribunal so that his demeanor while testifying may furnish such evidence of his credibility as can be gathered therefrom. . . . [This principle] is satisfied if the witness, throughout the material part of his testimony, is before the tribunal where his demeanor can be adequately observed.” (Emphasis in original.) 5 Wigmore, §1399, p. 199. The “right” to have the witness view the defendant did not warrant mention even as part of the “sec*1030ondary and dispensable” part of the Confrontation Clause protection.
That the ability of a witness to see the defendant while the witness is testifying does not constitute an essential part of the protections afforded by the Confrontation Clause is also demonstrated by the exceptions to the rule against hearsay, which allow the admission of out-of-court statements against a defendant. For example, in Dutton v. Evans, 400 U. S. 74 (1970), the Court held that the admission of an out-of-court statement of a co-conspirator did not violate the Confrontation Clause. In reaching that conclusion, the Court did not consider even worthy of mention the fact that the declarant could not see the defendant at the time he made his accusatory statement. Instead, the plurality opinion concentrated on the reliability of the statement and the effect cross-examination might have had. See id., at 88-89. See also Mattox v. United States, 146 U. S. 140, 151-152 (1892) (dying declarations admissible). In fact, many hearsay statements are made outside the presence of the defendant, and thus implicate the confrontation right asserted here. Yet, as the majority seems to recognize, ante, at 1016, this interest has not been the focus of this Court’s decisions considering the admissibility of such statements. See, e. g., California v. Green, 399 U. S., at 158.
Finally, the importance of this interest to the Confrontation Clause is belied by the simple observation that, had blind witnesses testified against appellant, he could raise no serious objection to their testimony, notwithstanding the identity of that restriction on confrontation and the one here presented.4
*1031B
While I therefore strongly disagree with the Court’s insinuation, ante, at 1016, 1019-1020, that the Confrontation Clause difficulties presented by this case are more severe than others this Court has examined, I do find that the use of the screening device at issue here implicates “a preference for face-to-face confrontation at trial,” embodied in the Confrontation Clause. Ohio v. Roberts, 448 U. S., at 63. This “preference,” however, like all Confrontation Clause rights, “ ‘must occasionally give way to considerations of public policy and the necessities of the case. ’ ” Id., at 64, quoting Mattox v. United States, 156 U. S., at 243. See also Chambers v. Mississippi, 410 U. S. 284, 295 (1973). The limited departure in this case from the type of “confrontation” that would normally be afforded at a criminal trial therefore is proper if it is justified by a sufficiently significant state interest.
Indisputably, the state interests behind the Iowa statute are of considerable importance. Between 1976 and 1985, the number of reported incidents of child maltreatment in the United States rose from 0.67 million to over 1.9 million, with an estimated 11.7 percent of those cases in 1985 involving allegations of sexual abuse. See American Association for Protecting Children, Highlights of Official Child Neglect and Abuse Reporting 1985, pp. 3, 18 (1987). The prosecution of these child sex-abuse cases poses substantial difficulties because of the emotional trauma frequently suffered by child witnesses who must testify about the sexual assaults they have suffered. “[T]o a child who does not understand the reason for confrontation, the anticipation and experience of being in close proximity to the defendant can be overwhelm*1032ing.” D. Whitcomb, E. Shapiro, & L. Stellwagen, When the Victim is a Child: Issues for Judges and Prosecutors 17-18 (1985). Although research in this area is still in its early stages, studies of children who have testified in court indicate that such testimony is “associated with increased behavioural disturbance in children.” G. Goodman et al., The Emotional Effects of Criminal Court Testimony on Child Sexuál Assault Victims, in The Child Witness: Do the Courts Abuse Children?, Issues in Criminological and Legal Psychology, No. 13, pp. 46, 52 (British Psychological Society 1988). See also Avery, The Child Abuse Witness: Potential for Secondary Victimization, 7 Crim. Just. J. 1, 3-4 (1983); S. Sgroi, Handbook of Clinical Intervention in Child Sexual Abuse 133-134 (1982).
Thus, the fear and trauma associated with a child’s testimony in front of the defendant have two serious identifiable consequences: They may cause psychological injury to the child, and they may so overwhelm the child as to prevent the possibility of effective testimony, thereby undermining the truth-finding function of the trial itself.5 Because of these effects, I agree with the concurring opinion, ante, at 1025, that a State properly may consider the protection of child witnesses to be an important public policy. In my view, this important public policy, embodied in the Iowa statute that authorized the use of the screening device, outweighs the narrow Confrontation Clause right at issue here — the “preference” for having the defendant within the witness’ sight while the witness testifies.
Appellant argues, and the Court concludes, ante, at 1021, that even if a societal interest can justify a restriction on a *1033child witness’ ability to see the defendant while the child testifies, the State must show in each case that such a procedure is essential to protect the child’s welfare. I disagree. As the many rules allowing the admission of out-of-court statements demonstrate, legislative exceptions to the Confrontation Clause of general applicability are commonplace.6 I would not impose a different rule here by requiring the State to make a predicate showing in each case. .
In concluding that the legislature may not allow a court to authorize the procedure used in this case when a 13-year-old victim of sexual abuse testifies, without first making a specific finding of necessity, the Court relies on the fact that the Iowa procedure is not ‘“firmly . . . rooted in our jurisprudence.’” Ante, at 1021, quoting Bourjaily v. United States, 483 U. S. 171, 183 (1987). Reliance on the cases employing that rationale is misplaced. The requirement that an exception to the Confrontation Clause be firmly rooted in our jurisprudence has been imposed only when the prosecution seeks to introduce an out-of-court statement, and there is a question as to the statement’s reliability. In these circumstances, we have held: “Reliability can be inferred without more in a case where the evidence falls within a firmly rooted hearsay exception. In other cases, the evidence must be excluded, at least absent a showing of particularized guarantees of trustworthiness.” Ohio v. Roberts, 448 U. S., at 66. See also Bourjaily v. United States, 483 U. S., at 182-183. Clearly, no such case-by-case inquiry into reliability is needed here. Because the girls testified under oath, in full view of the jury, and were subjected to unrestricted cross-*1034examination, there can be no argument that their testimony lacked sufficient indicia of reliability.
For these reasons, I do not believe that the procedures used in this case violated appellant’s rights under the Confrontation Clause.
II
Appellant also argues that the use of the screening device was “inherently prejudicial” and therefore violated his right to due process of law. The Court does not reach this question, and my discussion of the issue will be correspondingly brief.
Questions of inherent prejudice arise when it is contended that “a procedure employed by the State involves such a probability that prejudice will result that it is deemed inherently lacking in due process.” Estes v. Texas, 381 U. S. 532, 542-543 (1965). When a courtroom arrangement is challenged as inherently prejudicial, the first question is whether “an unacceptable risk is presented of impermissible factors coming into play,” which might erode the presumption of innocence. Estelle v. Williams, 425 U. S. 501, 505 (1976). If a procedure is found to be inherently prejudicial, a guilty verdict will not be upheld if the procedure was not necessary to further an essential state interest. Holbrook v. Flynn, 475 U. S. 560, 568-569 (1986).
During the girls’ testimony, the screening device was placed in front of the defendant. In order for the device to function properly, it was necessary to dim the normal courtroom lights and focus a panel of bright lights directly on the screen, creating, in the trial judge’s words, “sort of a dramatic emphasis” and a potentially “eerie” effect. App. 11, 14. Appellant argues that the use of the device was inherently prejudicial because it indicated to the jury that appellant was guilty. I am unpersuaded by this argument.
Unlike clothing the defendant in prison garb, Estelle v. Williams, supra, or having the defendant shackled and gagged, Illinois v. Allen, 397 U. S. 337, 344 (1970), using *1035the screening device did not “brand [appellant] . . . ‘with an unmistakable mark of guilt.’” See Holbrook v. Flynn, 475 U. S. at 571, quoting Estelle v. Williams, 425 U. S., at 518 (Brennan, J., dissenting). A screen is not the sort of trapping that generally is associated with those who have been convicted. It is therefore unlikely that the use of the screen had ¡a subconscious effect on the jury’s attitude toward appellant. See 475 U. S., at 570.
. In addition, the trial court instructed the jury to draw no inference from the device:
“It’s quite obvious to the jury that there’s a screen device in the courtroom. The General Assembly of Iowa recently passed a law which provides for this sort of procedure in cases involving children. Now, I would caution you now and I will caution you later that you are to draw no inference of any kind from the presence of that screen. You know, in the plainest of language, that is not evidence of the defendant’s guilt, and it shouldn’t be in your mind as an inference as to any guilt on his part. It’s very important that you do that intellectual thing.” App. 17.
Given this helpful instruction, I doubt that the jury — which we must assume to have been intelligent and capable of following instructions — drew an improper inference from the screen, and I do not see that its usé was inherently prejudicial. After all, “every practice tending to single out the accused from everyone else in the courtroom [need not] be struck down.” Holbrook v. Flynn, 475 U. S., at 567 (placement throughout trial of four uniformed state troopers in first row of spectators’ section, behind defendant, not inherently prejudicial).
I would affirm the judgment of conviction.

Apparently the girls were unable to identify appellant as their attacker. Their ability to observe their attacker had been limited by the facts that it was dark, that he shined a flashlight in their eyes, and that he told them not to look at him. The attacker also appeared to be wearing a stocking over his head. Thus, the State made no effort to have the girls try to identify appellant at trial, which could not have been done, of course, without moving the screen. Neither did appellant attempt to demonstrate that the girls could not identify him. This case therefore does not present the question of the constitutionality of the restriction on cross-examination *1027that would have been imposed by a refusal to allow appellant to show that the girls could not identify him.

 Iowa law requires that the court “inform the child that the party can see and hear the child during testimony.” Iowa Code § 910A. 14(1) (1987). Although the record in this case does not contain a transcript of the court’s so advising the girls, the Iowa Supreme Court noted that appellant “makes no assertion [that the] trial court failed to comply with” this or other terms of the statute. 397 N. W. 2d 730, 733 (1986). Appellant concedes this point “[f]or purposes of this appeal.” Brief for Appellant 5, n. 9.

 Interestingly, the precise quotation from Richard II the majority uses to explain the “root meaning of confrontation,” ante, at 1016, is discussed in 5 J. Wigmore, Evidence § 1395, p. 153, n. 2 (J. Chadbourn rev. 1974). That renowned and accepted authority describes the view of confrontation expressed by the words of Richard II as an “earlier conception, still current in [Shakespeare’s] day” which, by the time the Bill of Rights was ratified, had merged “with the principle of cross-examination.” Ibid.

 The Court answers that this is “no more true than that the importance of the right to live, oral cross-examination is belied by the possibility that speech- and hearing-impaired witnesses might have testified.” Ante, at 1019, n. 2. The Court’s comparison obviously is flawed. To begin with, a deaf or mute witness who was physically incapable of being cross-examined presumably also would be unable to offer any direct testimony. More im*1031portantly, if a deaf or mute witness were completely incapable of being cross-examined (as blind witnesses are completely incapable of seeing a defendant about whom they testify), I should think a successful Confrontation Clause challenge might be brought against whatever direct testimony they did offer.

 Indeed, some experts and commentators have concluded that the reliability of the testimony of child sex-abuse victims actually is enhanced by the use of protective procedures. See State v. Sheppard, 197 N. J. Super. 411, 416, 484 A. 2d 1330, 1332 (1984); Note, Parent-Child Incest: Proof at Trial Without Testimony in Court by the Victim, 15 U. Mich. J. L. Ref. 131 (1981).

 For example, statements of a co-conspirator, excited utterances, and business records are all generally admissible under the Federal Rules of Evidence without case-specific inquiry into the applicability of the rationale supporting the rule that allows their admission. See Fed. Rules Evid. 801(d)(2), 803(2), 803(6). As to the first of these, and the propriety of their admission under the Confrontation Clause without any special showing, see United States v. Inadi, 475 U. S. 387 (1986), and Bourjaily v. United States, 483 U. S. 171, 181-184 (1987).