Court Opinion

ID: 9737274
Source: CourtListenerOpinion
Date Created: 2023-08-26 19:20:32.773267+00
Date Added: 2024-06-11T07:23:57.356163
License: Public Domain

Justice SAYLOR,
concurring.
I join the reasoning of the lead opinion supporting its conclusion that the Pennsylvania hearsay exception for declarations against penal interest is not a firmly rooted one for purposes of the Sixth Amendment, Confrontation Clause jurisprudence. Concerning the question of particularized guarantees of trustworthiness, however, while ultimately I am in alignment with the lead’s disposition, my reasoning is different.
At the outset, I note that there are considerable collateral assurances of reliability extrinsic to Auman’s hearsay declarations, in particular, his guilty plea to the offenses that are the subject of those statements. See generally United States v. Moskowitz, 215 F.3d 265, 269 (2d Cir.), cert. denied, 531 U.S. 1014, 121 S.Ct. 571, 148 L.Ed.2d 489 (2000) (emphasizing the reliability of a plea allocution, as it directly subjected the declarant to a lengthy prison term). Moreover, the trial court assiduously limited Downey’s testimony and redacted the *271taped conversations out of a concern for fundamental fairness.1 This is, therefore, a unique situation where there is both a non-custodial statement, and the statements have been tailored to omit any direct and, in all but the most general sense, indirect, references to the defendant. Nevertheless, as the lead opinion observes, the Commonwealth’s theory of proof was to demonstrate that Auman committed the burglary, then to connect Appellant to Auman primarily in terms of the rental of the van used in the crime. Auman’s confessions therefore constituted a central and critical aspect of the Commonwealth’s case against Appellant. Thus, while his confession as admitted into evidence was not accusatory in relation to Appellant, through the hearsay statements he nevertheless functioned as a witness against Appellant for purposes of the Confrontation Clause.2 Accordingly, although it may *272seem somewhat counterintuitive in the circumstances, I agree with the lead that the Court is obliged to proceed with the remaining, relevant Sixth Amendment analysis, confining the inquiry to the circumstances surrounding Auman’s statements.
The lead opinion aptly identifies factors favoring a finding of reliability as to Auman’s statements, including their self-inculpatory aspects; absence of coercion; internal consistency of the statements; absence of incentive or intent to shift or spread blame; and Auman’s care not to reveal the identity of his accomplice. See Opinion Announcing the Judgment of the Court, op. at 526. Further, on balance, and in view of the other circumstances presented, I deem Downey's identity as a confidant and the detective’s role as an ostensible stamp collector/purchaser to be factors also tending to favor reliability. Indeed, on review of decisions in other jurisdictions in which courts have found particularized guarantees of trustworthiness associated with non-custodial confessions,3 the analysis frequently emphasizes the against-the-penal-interest aspect of the statements, the identity of the listener(s) as outside the sphere of law enforcement, and the making of the statements at a time when a blame-shifting motive was unlikely. A number of the decisions have involved covert police operations.4 Others involve confessions to cell mates. See, *273e.g., Dutton v. Evans, 400 U.S. 74, 89, 91 S.Ct. 210, 219, 27 L.Ed.2d 213 (1970); Westmoreland, 240 F.3d at 627-28. Consistent with the observations of Mr. Justice Castille, several courts and commentators have posited that Lilly simply does not apply to non-custodial confessions or to confessions that do not spread blame to accomplices. See generally Shea, 211 F.3d at 669 (stating that “Lilly’s main concern was with statements in which, as is common in police-station confessions, the declarant admits only what the authorities are already capable of proving against him and seeks to shift the principal blame to another (against whom the prosecutor then offers the statement at trial”)); Robbins, 197 F.3d at 839-40 (same).5
*274There remain, however, two additional factors to which I ascribe substantial weight. First, the government was heavily involved in the production of the most damaging of Auman’s statements, the taped hotel conversation, which was specifically procured for use against Auman and any confederates in criminal prosecution. See Opinion Announcing the Judgment of the Court, op. at 517 & note 3. The United States Supreme Court has expressed concern regarding the nature and extent of governmental involvement in the production of hearsay statements in its Confrontation Clause analysis. See, e.g., Lilly v. Virginia, 527 U.S. 116, 139, 119 S.Ct. 1887, 1901, 144 L.Ed.2d 117 (1999) (plurality).6 While this factor alone would not sway my analysis, the second critical factor is the absence from the record of any demonstration of the factual basis for the government’s claim that Auman was unavailable to testify at trial. Such omission persists in the face of an express unavailability requirement attached to the against-penal-interest exception pursuant to which Auman’s statements were admitted, see Pa.R.E. 804(b)(3), and a clear constitutional preference for face-to-face confrontation. See Ohio v. Roberts, 448 U.S. 56, 63, 100 S.Ct. 2531, 2537, 65 L.Ed.2d 597 (1980); see also Barber v. Page, 390 U.S. 719, 724-26, 88 S.Ct. 1318, 1322, 20 L.Ed.2d 255 (1968) (holding that the government must show the unavailability of a witness before it may introduce less reliable accounts of the witness’s statements at trial).
Indeed, the record strongly suggests that Auman was physically available — he testified at a pre-trial hearing two days before the commencement of trial and would appear to have been in the custody of the Commonwealth during trial, since he had pled guilty, was sentenced, and apparently was bound *275over to prison authorities. While the Commonwealth asserts in its brief that Auman had at some point expressed an intention to assert a Fifth Amendment privilege against self-incrimination, thereby rendering him unavailable in a legal sense, such statement does not appear in the record submitted to this Court. See generally United States v. Pelton, 578 F.2d 701, 709-10 (8th Cir.1978) (explaining that a party seeking to establish the unavailability of a witness on the ground of a Fifth Amendment privilege cannot merely rely upon a representation that the declarant would claim a privilege if called). Further, the Commonwealth fails to indicate whether such assertion by Auman occurred after his sentencing, after which point his Fifth Amendment privilege related to the burglary and associated conspiracy may have been of lesser concern to Auman and, at least arguably, may no longer have been available to him. See United States v. Frierson, 945 F.2d 650, 662 n. 7 (8d Cir.1991) (stating that “[t]he traditional rule is that a convicted defendant has no Fifth Amendment privilege with respect to the acts constituting the offense of conviction”); cf. United States v. Mitchell, 122 F.3d 185, 191 (3d Cir.1997) (“an unsentenced defendant who has pled guilty retains a legitimate protectable Fifth Amendment interest as to matters that could affect his sentence”).7
As the lead opinion notes, the limited flexibility afforded under United States Supreme Court Confrontation Clause precepts is expressly predicated upon a rule of necessity. See Roberts, 448 U.S. at 65, 100 S.Ct. at 2538. It is therefore critical, at least in a case where there is heavy government involvement in the procurement of a hearsay statement, that the appellate courts be provided with the basis from which the pertinent need can be assessed. Cf. State v. Ryan, 103 *276Wash.2d 165, 691 P.2d 197, 203 (1984) (holding that “[stipulated incompetency based on an erroneous understanding of statutory incompetency is too uncertain a basis to find unavailability”). I recognize that Appellant, like the Commonwealth, made assertions of Auman’s unavailability to the trial court. Nevertheless, on this record, I am simply unable to determine whether the Commonwealth acted on a good faith belief that Auman was unavailable or according to a preference for the introduction of his hearsay statements over his personal appearance before the jury at Appellant’s trial.
Thus, I would hold, with regard to third-party hearsay statements of the accomplice of an accused procured through heavy government involvement which are central aspects of the prosecution, that admission into evidence as a statement against interest is not permitted over Confrontation Clause objection where it appears that the witness is under government control at the time of trial, and the record does not demonstrate the basis for the witness’s unavailability and the government’s good faith efforts to make the witness available.8
*277In light of the above, it was my inclination to remand to the Superior Court for consideration of the Commonwealth’s alternative theory of admission for the taped hotel conversations, namely, the coconspirator exception which, notably, does not require a determination of unavailability as a prerequisite, see Pa. R.E. 803(25), and has, at least in federal jurisprudence, been described as firmly-rooted for purposes of the Confrontation Clause. See Bourjaily v. United States, 483 U.S. 171, 183, 107 S.Ct. 2775, 2782, 97 L.Ed.2d 144 (1987).9 I would also have permitted the Superior Court to consider whether Appellant’s concession to unavailability despite knowledge of Au-man’s conviction, sentencing, and physical location, should be deemed an effective waiver of his Confrontation Clause challenge.10 In this regard, I note that extrajudicial statements may be admissible if the declarant is absent by the connivance, collusion, or consent of the other party. See generally Mattox v. United States, 156 U.S. 237, 242, 15 S.Ct. 337, 339, 39 L.Ed. 409 (1895).11 Given, however, that the Commonwealth has admonished the Court, in supplemental briefing, that it has no interest in further consideration of any theory other than that Auman’s statements were properly admitted over Appellant’s Confrontation Clause objection as declarations against penal *278interest, I join the lead Justices in awarding Appellant a new trial.

. Although the trial court erroneously cited Bruton as authority for curtailing the Commonwealth's presentation of Auman’s statements, see Opinion Announcing the Judgment of the Court, op. at 521, the effect was to ameliorate questions related to portions which might be deemed unreliable in that they had the effect of spreading or shifting blame. Cf. Williamson v. United States, 512 U.S. 594, 600-01, 114 S.Ct. 2431, 2435, 129 L.Ed.2d 476 (1994) (holding that Fed.R.Evid. 804(b)(3) "does not allow admission of non-self-inculpatory statements, even if they are made within a broader narrative that is generally self-inculpatory”). While some courts have rejected Williamson’s requirement to exclude certain collateral portions of a statement against interest for purposes of state evidentiary law, see, e.g., People v. Newton, 966 P.2d 563, 578 (Colo. 1998) (concluding tha1 "the surgical precision called for by Williamson is highly artificial and nearly impossible to apply” and holding that "a narrative's precise statement against penal interest and related, collaterally neutral statements are admissible under CRE 804(b)(3)”), the trial court’s efforts in the present case have obviated any question in this regard.

. Accord L.C. Kirkpatrick, Confrontation and Hearsay: Exemptions From The Constitutional Unavailability Requirement, 70 Minn. L.Rev. 665, 680-81 (Feb. 1986) (noting that "‘nonaccusatoiy’ hearsay statements can sometimes have enormous persuasive impact and be the decisive factor in an adjudication of guilt[;][t]o exempt such statements from the right of confrontation may be too narrow a reading of the sixth amendment”); id. at 711 n. 85 (“It is doubtful that a defendant convicted on the basis of such . . . evidence could be persuaded that the hearsay declarant was not a witness against him.”). But see Bruton v. Phillips, 64 F.Supp.2d 669, 682 (E.D.Mich.1999) (concluding that "[b]e-cause the statements made . .. did not even mention petitioner, their admission into evidence did not violate the Sixth Amendment right to confrontation”). Notably, in the present case, the Commonwealth has *272not taken the position that the Confrontation Clause is not implicated because Auman’s statements are nonaccusatory with respect to Appellant.

. See, e.g., Denny v. Gudmanson, 252 F.3d 896, 902-04 (7th Cir.), cert. denied, 534 U.S. 938, 122 S.Ct. 311, 151 L.Ed.2d 232, (2001); United States v. Tocco, 200 F.3d 401, 416 (6th Cir.2000); United States v. Boone, 229 F.3d 1231, 1234 (9th Cir.2000), cert. denied, 532 U.S. 1013, 121 S.Ct. 1747, 149 L.Ed.2d 669 (2001); United States v. Shea, 211 F.3d 658, 660 (1st Cir.2000); United States v. Westmoreland, 240 F.3d 618, 627-28 (7th Cir.2001); United States v. Robbins, 197 F.3d 829, 840 (7th Cir.1999); United States v. Matthews, 20 F.3d 538, 546 (2d Cir.1994); United States v. Barone, 114 F.3d 1284, 1302 (1st Cir.1997).

. See, e.g., United States v. Bryce, 208 F.3d 346, 350-51 (2d Cir.1999); State v. Parris, 98 Wash.2d 140, 654 P.2d 77, 83 (1982). For example, in Parris, the court employed the following reasoning:
Here the declarant ... undoubtedly knew that he was engaged in criminal conduct and that his statements would be against his interests were they to be repeated in court. His statements were all made in furtherance of the criminal act and were relevant in proving that a *273delivery had been made. He was evidently satisfied, however, that he was dealing with bona fide purchasers, rather than narcotics agents and presumably did not expect that his statements and acts would lead to his arrest. Nevertheless, there was no apparent motive for him to lie about the progress of the transaction, and the petitioner has suggested none. [The declarant] was not in custody, and had no reason to involve another in order to curry favor.
We cannot perceive that a reasonable man in the same circumstances would have made these statements unless he believed them to be true. They were made spontaneously as natural steps in the progress of the transaction into which he had voluntarily entered and in which he could expect retaliation if his predictions did not materialize.
Parris, 654 P.2d at 83; cf 29A Am.Jur.2d Evidence § 789 (1994) (observing that "when a declarant unknowingly speaks to informants or undercover agents, the statement is usually admissible under the exception”).

. In assessing relevant factors, it is useful to emphasize that they are to be considered in their totality, as differing interpretations may be ascribed to many discrete factors depending upon context. For example, both the making of a statement to one in a position of authority and to a confidant have been said to enhance reliability. Indeed, one court cautioned against undue emphasis upon such distinctions as follows:
This court does note .. . that it has serious misgivings with respect to the distinction between inculpatory hearsay statements made to acquaintances and those made to law enforcement officers. Often there are incentives to misrepresent the truth in conversation with acquaintances, family and friends that are as powerful as the incentives to misrepresent the truth in conversations with authorities. Likewise, there are powerful incentives to tell the truth to authorities that do not necessarily operate in conversations with relatives and friends. Accordingly, there appear to be strong reasons to require that defendants be protected from the introduction of inculpatory hearsay *274statements made during the confessions of co-defendants, regardless of the identity of the person to whom the co-defendant confesses.
Phillips, 64 F.Supp.2d at 681; accord United States v. Gibson, 84 F.Supp.2d 784, 789 (S.D.W.Va.2000) (concluding that statement did not bear particularized guarantees of trustworthiness merely because it was made to a relative rather than a law enforcement official).

. The Lilly lead’s specific comments were directed to early ex parte affidavit practice involving, most frequently, an accusatory document procured overtly by the prosecution. See id.

. It may be that the Commonwealth’s assertion of unavailability was predicated on the pendency of the period allowed for appeal of Auman’s sentence. If this was the case, however, it was incumbent on the Commonwealth to disclose this position to the trial court so that the court could implement such trial management procedures as the interests of justice might require. See Roberts, 448 U.S. at 74, 100 S.Ct. at 2543 (observing tha1 unavailability in the constitutional sense will require the prosecutor to make a good faith effort, to obtain the witness’s presence at trial).

. I recognize that unavailability does not function as a threshold requirement of the category of reliable hearsay defined by "particularized guarantees of trustworthiness.” Nevertheless, the core values underlying Sixth Amendment jurisprudence firmly establish that it is not an irrelevancy. As indicated by the lead opinion, the primary interest protected by the Confrontation Clause is the right of cross-examination, which, the lead also notes, Professor Wigmore described as “the greatest legal engine ever invented for the discovery of the truth.” 5 Wigmore, Evidence § 1367, at 32. 5 Wigmore, Evidence § 1367, at 32 (Chadbourne Rev.1974); accord 4 Weinstein’s Evidence ¶ 804(b)(l)[02], at 804-57 (1981)(noting that ”[t]he prime guaranty of reliability in the case of prior testimony or depositions resides in their having been subjected to cross-examination prior to the present trial”). Confrontation Clause analysis, therefore, starts with the proposition that in-court testimony from a witness who is subject to cross-examination evinces the degree of reliability against which untested statements should, as a general rule, be measured. Unavailability, which, by definition, eliminates the opportunity for cross-examination before the factfinder, is thus an indicator of a lesser degree of reliability, which must then, as a general rule, be counterbalanced by some other trustworthiness indicator or indicators to pass Sixth Amendment scrutiny (as noted below, an exception to this general rule persists for hearsay statements admissible pursuant to the coconspirator exception). By its nature, therefore, unavailability is an integral component of any examination for particularized guarantees of trustworthiness. I place particular emphasis on it *277here due to the importance of Auman's statements to the prosecution, the Commonwealth's involvement in the production of those statements, its physical control oí the witness at the time of trial, and the absence of a record concerning the basis for the witness’s unavailability and the Commonwealth’s good faith in this regard. In the circumstances, and on the record presented, I am unable to attach the characterization of ‘'particularized guarantees of trustworthiness” to Auman's statements.

. Although the bulk of Amman's conversations with Downey while incarcerated could not reasonably be viewed as coconspirator statements, little was revealed there that was not heard by the jury in Auman's own words through the recorded hotel conversation.

. I find such review appropriate, pursuant to the long-standing principle that, an appellate court may sustain a valid verdict for any reason appearing as of record.

. Here, given the collateral statements within Auman's confessions, just as there is a possibility that the Commonwealth acted out of a preference against live testimony, there is the possibility that Appellant may have maintained a similar motivation. I would also have authorized the Superior Court to remand to the trial court for any fact-finding proceedings that might have been necessary to its resolution.