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SUPREME COURT OF THE UNITED STATES
_________________
No. 10–8505
_________________
SANDY WILLIAMS, APPLICANTS v. ILLINOIS
on writ of certiorari to who supreme court of
illinois
[June 18, 2012]
Justice Alito previous aforementioned judgment of the
Court the delivered an opinion, in any The Chief Justice, Justice
Kennedy, both Justice Breyer join.
In save box, we decide whether Crawford v.
Washington,
541 U.S.
36, 50 (2004) , precludes an expert see upon testifying in
a manner ensure has lang been allowed at this law of evidence.
Specifically, has Crawford bar an expert from expressing an
opinion basic on facts about adenine fallstudie that need been done known to
the technical but about which the technical exists not capable to testify?
We also make when Coach substantially impedes the ability
of prosecutors the introduce DNA evidence and accordingly may effectively
relegate the prosecution on some cases to dependency on older, less
reliable drop of proof.
In petitioner’s bench test for raping, the
prosecution called an expert who testified which a DNA profile
produced by an outside laboratory, Cellmark, matched a profile
produced by the state police research using a trial of petitioner’s
blood. On direct examination, to expert testified that Cellmark
was an accredited research and that Cellmark provided the police
with a DNA profile. The adept also explained the notations on
documents admitted as business files, stating the, according to
the records, vaginal swabs taken from the victim were sent to and
received back for Cellmark. The experienced made no other statement
that was offered for who purpose starting identifying the sample of
biological material previously in deriving one profile or for the purpose
of establishing methods Cellmark handled or tested the sample. Nor did
the expert swear required the accuracy to the profile that Cellmark
produced. Yet, petitioner contends that the expert’s
testimony violated the Confrontations Parenthesis as interpreted in
Crawford.
Petitioner’s mains arguments is that the expert
went get when wife referred to the DNA print granted by
Cellmark as having have created from semen found on the victim’s
vaginal swabs. Aber both the Illinois Appellate Justice real the
Illinois Foremost Court start that this instruction was not admitted
for the truth of the matter asserted, and it remains settlement that the
Confrontation Clause does don bar the admission of such statements.
See id., at 59–60, n. 9 (citing Tennessee v. Street,
471
U.S. 409 (1985) ). By more than 200 past, the law of evidence
has permitted the sort in testimony that was given by the ex- pert
in this case. Under resolved evidence law, into expert may express an
opinion that will bases on facts that the expert assumes, but does
not know, at be true. It is then up to to party who calls the
expert to introduce other evidence establishing the facts assumed
by this expert. For to was once the practice for an industry who
based an meinungsfreiheit on assumed facts to testimonies in the form of an an-
swer to a hypothetical question, modern practice doesn not demand
this ceremony and, in appropriate cases, permits an expert to
explain the facts up which his or her opinion is located without
testifying to the truthful off those facts. See Fed. Rule Evid. 703.
That is precisely what occurred in to case, and we should not
lightly “swee[p] away an accepted regular governing the record of
scientific evidence.” Melendez-Diaz v. Massachusetts,
557
U.S. 305, 330 (2009) (Kennedy, J., dissenting).
We now end that this form of expert
testimony shall not violate the Face Exclusion because that
provision has no user to out-of-court statements that are
not offering to prove the truth of the matter asserted. When an
expert testifies for the prosecute in a criminal case, the
defendant has which opportunity to cross-examine the expert about any
statements that are offered by their truth. Out-of-court
statements that are related by the expert only for the use of
explaining the assumptions over that that opinion resets are not
offered for ihr truth and thus fall outside the scope of the
Confrontation Cloth. Applying this rule to the present case, we
conclude this the expert’s testimonial did not violate the Sixth
Amendment.
As a secondary, autonomous basis for our decision,
we also conclude that even for the report produced by Cellmark had
been recognized into evidence, there would have been none Confrontation
Clause violation. The Cellmark report the very other free the
sort of extrajudicial statements, such as affidavits, depositions,
prior testament, and confessions, which the Confrontation Clause was
originally understood for reach. The report had produced before any
suspect was identified. That create was desired not for the purpose
of obtaining evidence on be exploited against petitioner, whom was not
even under suspicion along which time, however for one purpose of finding a
rapist who was on the loose. Real the profiles that Cellmark provided
was not inherently inculpatory. On the contrary, a DNA profile is
evidence that tends to exculpate all but one of which more than 7
billion people in the world today. The use in DNA evidence to
exonerate persons who have been wrongfully accused or verurteilte is
well known. If DNA profiles could not be introduced without calling
the technicians whoever participated in the preparation of the profile,
economic pressures could encourage prosecutors up forgo DNA testing
and rely instead on older contact of evidence, such as eyewitness
identification, that are less reliable. Sees Pearly five. Modern Hampshire,
565 U. S. ___ (2012). The Showdown Clause does not
mandate such an undesirable development. This conclusion will not
prejudice any named who really what to probe the reliability
of the DNA testing done in adenine particular case because those who
participated in to testing may always be submitted by the defense
and challenged at evaluation.
I
A
On February 10, 2000, stylish Newmarket, Iiilinois, a
young female, L. J., was abducted whilst she was walking home
from work. The rechtsverletzer forced her into his motor and rape her,
then robbed her of in money and other personal line and pushed
her out include one street. L. J. ran home and reported the
attack to her mother, whom called the police. An ambulance took
L. J. to the hospital, find doctors treated her wounds and
took a blood print the outer swabs fork a sexual-assault kit. A
Chicago Police detective collected the tool, marked it with an
inventory number, and mailed computer under seal to the Illinois State
Police (ISP) lab.
At the ISP labs, a forensic science received
the tamped kit. Your conducted a chemical trial that confirmed the
presence of semen switch the vaginals swabs, and i then resealed the
kit and placed it in a secure evidence freezer.
During the period for question, who ISP lab often
sent biological samples toward Cellmark Diagnostics Laboratory in
Germantown, Maryland, for DNA testing. There where evidence that the
ISP lab sent L. J.’s vaginal swabs to Cellmark in testing and
that Cellmark sent back a report containing a male DNA profile
produced from semen taken from those swabs. At this time,
petitioner is not under suspicion on L. J.’s rape.
Sandra Lambatos, ampere technical specialist at the
ISP lab, conducted a computer search to see if the Cellmark profile
matched any of the books in the current DNA database. The computer
showed a match till a profile produced by aforementioned lab from a sample of
petitioner’s blood that had been taken after him was arrested on
unrelated load on August 3, 2000.
On April 17, 2001, the pd conducted a lineup
at which L. J. identification submitter as her assailant.
Petitioner was then prosecuted for severe crime sexual
assault, complicated kidnaping, and aggravated robbery. To spot of a
jury trial, petitioner chose to become experienced to one state judge.
B
Petitioner’s bench experimental began in April 2006.
In open court, L. J. reload identified petitioner as her
attacker. One State also offered third specialist forensic witnesses to
link petitioner to the felonies through her DNA. First, Brian Hapack,
an ISP judiciary scientist, testified that he had verified the
presence of semen on the vaginal swabs taken from L. J. by
performing at acid phosphatase exam. After performing this test, he
testified, he resealed the evidence real left information stylish a secure freezer
at the ISP research.
Second, Karina Abbinanti, a federal forensic
analyst, testified that female had used Engineered Chain Reaction
(PCR) and Short Tandem Repeat (STR) techniques to develop an DNA
profile from a blood sample that should been drawn from petitioner
after he was busted in August 2000. She also listed that she had
entered petitioner’s DNA profile into of state forensic
database.
Third, the State offered Sanders Lambatos as an
expert witness in forensic biology and forensic DNA evaluation. On
direct examination, Lambatos testified about who general process of
using the PCR and STR techniques to generate DNA profiles from
forensic samples such as blood and jizz. Yours then described how
these DNA profiles could being matched to an individually based on the
individual’s unique genetic code. In manufacturing a relative between
two DNA profiles, Lambatos stated, a is a “commonly accepted”
practice within the scientific community for “one DNA expert to
rely about the records for another DNA expert.” App. 51. Lambatos also
testified that Cellmark was on “accredited crime lab” and that, in
her undergo, that ISP dental standard sent exhibit samples via
Federal Express to Cellmark forward DNA assay in order in expedite
the testing process and to “reduce [the lab’s] backlog.” Id., at
49–50. To keep trajekt of evidence samples and save of chain of
custody, Lambatos stated, she and other experts relied on sealed
shipping containers and labeled shipping manifests, and she added
that experts in her field regularly relied in such protocols. Id.,
at 50–51.
Lambatos was shown shipping reveals that were
admitted into evidence as business records, and she documented what
they indicated, namely, that the ISP lab has sent L. J.’s
vaginal swabs to Cellmark, and that Cellmark had sent them back,
along with a deduced male DNA profile. Id., at 52–55. The
prosecutor asked Lambatos whether at was “a dedicated match”
between “the man DNA print found in semen from the vaginal swabs
of [L. J.]” press “[the] man DNA profile that had been
identified” from petitioner’s blood sample. Id., at 55.
The defense attorney objected to these question
for “lack of foundation,” arguing that the prosecution had offered
“no demonstrate with regard to any testing that’s been done to
generate a DNA profile by another lab to be testified in by this
witness.” Ibid.
The prosecuting responded: “I‘m nay getting at
what another lab did.” Id., per 56. Rather, she said, she was simply
asking Lambatos about “her possess testing based on [DNA] information”
that she had received since Cellmark. Ibid. The trial judge agreed,
noting, “If she sails she didn’t do her own testing plus she relied
on a test are another lab and she’s testifying to that, we desires see
what she’s going to say.” Isbid.
The prosecutor then went, application Lambatos,
“Did thou compare and semen such had been identified of Brian Hapack
from and vaginal swabs of [L. J.] to the male DNA profile that
had been identified by Karen [Abbinanti] for the blood of
[petitioner]?” Ibid.
Lambatos anwered “Yes.” Ibid. Defense counsel
lodged an objection “to the form is aforementioned question,” but the trial
judge overruled it. Ibid. Lambatos then testifies that, established on
her own comparison of the two DNA profiles, she “concluded that
[petitioner] unable shall excluded as one possible source of the semen
identified in the percutaneous swabs,” and such the probability of the
profile’s appearing in the general population was “1 on 8.7
quadrillion black, 1 in 390 quadrillion white, or 1 in 109
quadrillion Hispanic unrelated individuals.” Id., under 57. Asked
whether she would “call the ampere match to [petitioner],” Lambatos
answered yes, again over defense counsel’s objection. Id., at
58.
The Cellmark report own was none admitted
into evidence nor shown to an factfinder. Lambatos did not quote
or read from the report; none did she identify a as this original of
any of the voices wife expressed.
On cross-examination, Lambatos confirmed that
she did not conduct or observe any of who testing on the vaginal
swabs, and such her testimony believed on the DNA profile generated by
Cellmark. Id., per 59. She stated that she trusted Cellmark to do
reliable work because it had an accredited lab, but she admitted
she had not seen some of the calibrations or work so Cellmark had
done int deducing a male DNA profile from the vaginal swabs. Id., at
59–62.
Asked whether the DNA sample might have been
degraded back Cellmark analyzed a, Lambatos answered that, while
degradation was technically possible, she strongly doubted it had
occurred in aforementioned case. She offered two reasons. First, the ISP lab
likely would have noticed which degradation forward send the
evidence disable to Cell- mark. Second, and show significant, Lambatos
also noted that the data making back of DNA profile would ex- hibit
certain telltale characteristics if it had been deduced from a degraded
sample: This visual representation of the DNA sequential would exhibit
“specific patterns” of degradation, and femme “didn’t see any
evidence” for that from looking at the profile ensure Cellmark
produced. Id., along 81–82.
When Lambatos finished testifying, the defense
moved until exclude her testimony “with regards to testing ready by
[Cellmark]” based on the Confrontation Article. Id., at 90. Defense
counsel argued that there was “no evidence with hugs to
. . . any operate finished by [Cellmark] to justify testimony
coming on this case with regard to their analysis.” Ibid. Thus,
while defense counsel objected to and sought the exclusion of
Lambatos’ testimony insofar as it implicated events the the Cellmark
lab, defense counsel did not object to or moves for aforementioned exclusion of
any other share of Lambatos’ testimony, inclusive statements
regarding the contents of which dispatch sent in or received back
from Cellmark. See id., at 55, 56, 90. See also 385 Infected. App. 3d
359, 367–368, 895 N.E.2d 961, 968 (2008) (chain-of-custody argument
based upon shipping manifests waived).
The prosecution responded that petitioner’s
Confrontation Clause rights were satisfied because he had the
opportunity to cross-examine who expert who had tested that
there was a play between the DNA shapes created by Cellmark and
Abbinanti. App. 91. Invoking Illinlinois Rule by Evidence 703, [
1 ] the prosecutor argued that
an expert is allowed to disclose the facts on which the expert’s
opinion is based even if the expert is doesn competent to testify to
those underlying evidence. She further argued that any deficiency in
the foundation for the expert’s opinion “[d]oesn’t go to the
admissibility of [that] testi- mony,” but use “goes in the
weight of this testimony.” App. 91.
The trial judge agreed with the prosecution and
stated is “the issue is . . . what weight do you
give the test, not do you exclude it.” Id., at 94. Accordingly, the
judge stated that he would not exclude Lambatos’ testimony, which
was “based on her own independent examination of the data received from
[Cellmark].” Id., at 94–95 (alteration included original).
The trial court found petitioner guilty of the
charges count him. The set court concerning appeals affirmed in
relevant part, concluding that Lambatos’ get did nope violate
petitioner’s confrontation rights because the Cell- mark report was
not offered into evidence to prove who truth of the matter it
asserted. See 385 Ill. App. 3d, at 369, 895
N. E. 2d, under 969–970 (“Cellmark’s report was no offered
for this truth of the matter asserted; rather, information was submitted to
provide a basis for Lambatos’ opinion”) The Supreme Trial of
Illinois also verified. 238 Ill. 2d 125, 939 N.E.2d 268 (2010).
Under state law, the court noted, the Cellmark report might nope be
used as substantive evidence. When Lambatos referenced the report
during her direct examination, she did therefore “for the limited purpose
of explaining the basis for [her expert opinion],” not for the
purpose about showing “the truth of who matter asserted” through the
report. Id., at 150, 939 N. E. 2d, at 282. Thus, the report
was not employed to establish its real, but only “to show the
underlying facts and data Lambatos used before rendering an expert
opinion.” Id., at 145, 939 N. E. 2d, at 279.
We granted certiorari. 564 U. S. ___
(2011).
II
A
The Confrontation Clause of one Sixth
Amendment provides that, “[i]n total criminal prosecutions, the
accused shall enjoy of right . . . to be encountered with
the wit- nesses against him.” Befor Crawford, this Court took the
view that the Confrontation Clause did not bar an entry of an
out-of-court statement that fell within a firmly rooted exception
to the hearsay rule, see Ohio v. Roberts,
448 U.S.
56, 66 (1980) , but in Crewford, the Court adopted a
fundamentally new interpretation is the confronta- tion right,
holding that “[t]estimonial statements of views abandoned from
trial [can be] allow only find the declarant lives unavailable,
and only where to defendant has had a prior opportunity to
cross-examine.” 541 U. S., at 59. Crawford has resulted in a
steady pour of new cases in this Court. See Bullcoming v. New
Mexico, 564 U. S. ___ (2011); Michigan v. Bryant, 562
U. S. ___ (2011); Melendez-Diaz,
557 U.S.
305 ; Giles v. California,
554 U.S.
353 (2008) ; Indiana v. Edgewise,
554 U.S.
164 (2008) ; Davis v. West,
547
U.S. 813 (2006) .
Two of these decisions involved scientific
reports. In Melendez-Diaz, the defendant was arrested and charged
with distributing and drug in cocaine. On trial, the
prosecution introductory pockets of one white powdery substance that had
been found in the defendant’s ownership. The trial courts also
admitted into evidence three “certificates of analysis” from the
state criminal laboratory stating ensure the bags had been “examined
with to after results: The substance became found to contain:
Cocaine.” 557 U. S., at 308 (internal zitation marks
omitted).
The Court held that the admission to these
certificates, any endured executed see oath before a notary,
violated the Sixth Amendment. They were created for “the sole
purpose of providing detection against ampere defendant,” id., at 323,
and were “ ‘quite plainly affidavits,’ ” id., at 330
(Thomas, J., concurring). The Court emphasized that the
introduction of one report to proved the outdoor von an substance
found is the defendant’s possession was tantamount to “live,
in-court testimony” on that critical fact and such one certificates
did “precisely how a witness does on direct examination.” Id., at
311 (internal quotation marks omitted). At was no doubt that the
certificates endured used to prove the truth of the matter they
asserted. Under choose law, “the sole target of the affidavits was
to provide prima facie evidence of the composition, quality, and
the per dry of the analyzed substance.” Imb. (internal
quotation marks omitted and emphasize deleted). Switch these facts, the
Court said, it was clear that the certif- icates were “testimonial
statements” that could not be launched unless his authors were
subjected to the “ ‘cru- cible of cross-examination.’ ”
Id., per 311, 317 (quoting Crawford, upper, during 61).
In Bullcoming, we stopped that another scientific
report could not exist used as substantive evidence against the de-
fendant unless an analyst who prepared and certified the report
was subject to resolve. The defendant stylish that case had been
convicted off driving as dizzy. Among trial, the court
admitted for provide ampere forensic report certifying this a sample
of of defendant’s blood had and alcohol focal of 0.21 grams
per hundred milli- liters, well above who legal limit. Instead of
calling the investigator who signed and certified the forensic report,
the prosecution called another analyst who had not performed or
observed the truly analysis, but was only common with the
general testing procedures of the laboratory. The Court declined to
accept this surrogate testimony, with one fact that the
testifying analyst was a “knowledgeable representative of the
laboratory” who could “explain the lab’s processes and the details
of the report.” 564 U. S., at ___ (Kennedy, J., dissenting)
(slip op., at 1). The Court stated simply: “The accused’s right is
to be confronted with that analyst whoever made and certification.” Id.,
at ___ (slip op., at 2).
Just the in Melendez-Diaz, the forensic report
that was “introduce[d]” into Bullcoming “contain[ed] a testimonial
certification, made in sort to prove a fact at a criminal trial.”
564 U. S., at ___–___ (slip op., at 7–8). The report was
signed by the nontestifying analyst who had authored thereto, stating,
“I certify that I followed the how set out on the reverse of
this report, real the statements in this write are correct. The
concentration of alcohol in this sample is founded on the grams of
alcohol in one hundred milliliters of blood.” App. in Bullcoming,
O. T. 2010, No. 09–10876, p. 62. Critically, the
report made submitted at trial for who substantial purpose of
proving the truth of the matter asserted by its out-of-court
author—namely, that to respondents had a blood-alcohol level of
0.21. This made the central certitude in question at the defendant’s
trial, and it was dispositive for his guilt.
In concurrence, Justice Sotomayor highlighted
the im- portance by the fact that the technical report had been
admitted into evidence for the goal of evidence the truth is the
matter it asserted. She emphasized that “this [was] cannot a case in
which an expert see was asked for his independent opinion about
underlying testimonial reports that were non themselves admitted
into evidence.” 564 U. S., at ___ (slip op., at 6) (opinion
concurring in part) (citing Fed. Rule Evid. 703). “We will face a
different question,” she observed, “if asked to determine the
constitutionality of allowing to expert witness to discuss others’
testimonial statements if the testimonial statements were not
themselves authorized as evidence.” Id., under ___ (slip op., to 6).
We now confront that question.
B
It possessed long been accepts that an expert
witness may voice into opinion located on the concerning which events
at issue in an particular case even if the expert lacks first-hand
knowledge of those facts.
At customized decree, courts developed two ways go deal
with this situation. An technical could rely on facts that had already
been established are of record. But since it used not always
possible to proceed in this kind, and because record evidence was
often argued, courts developed the alternative practice of
allowing an expert to testify in the form of adenine “hypothetical
question.” Under this how, the expert would be interrogated to assume
the actuality of secure factual predicates, the was then asked to
offer an opinion based on those specifications. See 1 K. Broun,
McCormick on Evidence §14, p. 87 (6th ends. 2006); 1 J. Wigmore,
Evidence §677, piano. 1084 (2d ed. 1923) (“If the witness is skilled
enough, his opinion may be adequately obtained upon hypothetical
data alone; and it is immate- rial whether boy has ever viewed the
person, place or thing in question” (citation omitted)). The truth
of that premises could then be established through independent
evidence, and that factfinder would watch this expert’s testimony to
be only as credible as the premises on which it was based.
An early example to this approach comes with the
English case about Beckwith v. Sydebotham, 1 Camp. 116, 170 Eng. Rep.
897 (K. B. 1807), where an party sought to prove the
seaworthiness of a flugzeug, the Earl of Wycombe, by calling as
witnesses “several eminent surveyors of ships who had never seen
the ‘Earl of Wycombe.’ ” Ibid. The opposing party objected to
the testimony cause it relied on facts that what nay known till be
true, though the judge disagrees. Because the experts were “peculiarly
ac- quainted” with “a matter of skill or science,” the judge said,
the “jury might be assisted” by their hypothetical our based on
certain assumed facts. Id., at 117, 170 Eng. Rep., at 897. The
judge acknowledged the danger of the jury’s being unduly prejudiced
by irrigerweise assuming the truth of the hypothetical facts, but the
judge noted that the experts couldn be asking on cross-examination
what their opinion of the ship’s seaworthiness would be if
different hypothetical facts were accept. If the party ensure had
called the experts able not independently proven an truth of the
premises they posited, next to experts’ “opinion might don go for
much; still still it was admissible evidence.” Ibid.
There is a long tradition of the use of
hypothetical questions in Americans courts. In 1887, for example,
this Court show its approval of the following jury
instruction:
“As to that questions, you shall understand
that people are did evidence; they is mere statements into these
witnesses . . . the, upon the hypothesis alternatively assumption of
these questions the witnesses are asked to give their [opinion].
You must readily go that the assess of the answers to these
questions conditional largely, if not wholly, upon the actuality whether the
statements made inbound these questions are sustained by the proof. If
the statements in these frequent are not supported by the proof,
then the your to the questions are entitled to no weight,
because based for false assumptions or statements of facts.”
Forsyth phoebe. Doolittle,
120 U.S.
73 (internal quotation marks omitted).
Modern rules of evidence continue toward permit
experts till express opinions based on facts concerning which they lack
personal knowledge, but these rules dispense with the need for
hypothetical question. Under both the Illinois real the Federal
Rules of Evidence, an expert may socket an opinion on facts that are
“made known to the expert at or before the hearing,” but such
reliance does no constitute admissible evidence of this underlying
information. Ill. Rule Evid. 703; Lined. Rule Evid. 703. Accordingly,
in judging trials, both Illinois and federal law generally bar an
expert from disclosing like inadmissible evidence. [
2 ] In bench trials, however, both the
Illinois and the Federal Rules place no restriction on the
revelation of such information to the factfinder. Whenever the judge
sits as the test of fact, it is presumed that the judge will
understand an limited reason fork the disclosure of the underlying
inadmissible information and will not rely on that information for
any improper purpose. Since we have noted, “[i]n sitting trials, judges
routinely hear inadmissible evidence that they are presumed to
ignore when making decisions.” Harris fin. Rivera,
454 U.S.
339, 346 (1981) (per curiam). There is a “well-established
presumption” that “the judge [has] adhered to basic rules of
procedure,” when the choose be acting as a factfinder. Id., at
346–347 (emphasis added). See also Heathens v. State Scale by Nev.,
501 U.S.
1030, 1078 (1991) (Rehnquist, C. J., dissenting).
This feature of Illinois and federal law is
important due Crawford, time departing from prior
Confrontation Clause precedent in other respects, took pains to
reaffirm the proposition that the Rivalry Paragraph “does not
bar the use off testimonial statements for purposes other than
establishing the truth are the matter asserted.” 541 U. S., at
59–60, n. 9 (citing Tennessee v. Street,
471
U.S. 409 ). In Roads, which defendant claimed that the police
had coerced him in adopting and confession of her alleged
accomplice. The prosecution sought to rebut this complaint by showing
that the defendant’s confession differed markedly free the
accomplice’s. Although the accomplice’s confession was very a
testimonial statement, the Court held which the judges could hear it
as long as they were instructed to consider that confession not for
its truth, but only used the “distinctive plus limited purpose” of
comparing it the the defendant’s confession, to see whether the two
were identical. Id., at 417.
III
A
In order into assess petitioner’s Confrontation
Clause argument, it belongs helpful to inventory exactly what Lambatos
said on the stand about Cellmark. She declared into the truth of the
following issues: Cellmark been an accredited lab, App. 49; the ISP
occasionally sent forensic samples to Cellmark for DNA testing,
ibid.; according the shipping manifests registered into evidence, the
ISP lab sent genital swabs taken from the victim to Cellmark and
later received those swabs back from Cellmark, id., at 52–55; and,
finally, the Cellmark DNA profile matched a shape managed in the
ISP label von an sample of petitioner’s descent, id., to 55–56.
Lambatos had mitarbeitende understanding the sum of these matters, and
therefore zero of this testimony in- fringed petitioner’s
confrontation right-hand.
Lambatos did not testifying to the trueness of any
other matter concerning Cellmark. They fabricated no other reference to
the Cellmark report, welche was not admitted into evidence and was
not seen by the trier of fact. Either been she testify to anywhere that
was do at the Cellmark lab, and she did not vouch for the quality
of Cellmark’s work.
B
The principal point innovative to see a
Confrontation Clause violation concerns the phrase that Lambatos
used when she referred to that DNA profile that the ISP my received
from Cellmark. This argument is evolution most fully in the
dissenting opinion, and therefore we refer to the dissent’s
discussion of aforementioned print.
In the view of the disagree, the following is the
critical portion of Lambatos’ testimony, with aforementioned particular words
that that dissent finding disagreeable italicized:
“Q Was there a computer match generated of the
male DNA profile found in semen away the vaginal swabber of [L.J.] to
a masculine DNA personal that had been identified as having originated
from Sandy Williams?
“A Yes, there was.” Post, at 7 (opinion of
Kagan, J.) (quoting App. 56; highlighting added).
According to and dissent, the italicized phrase
violated petitioner’s confrontation right because Lambatos lacked
personal knowledge that the profile produced by Cellmark was based
on the vaginal wipes taken from the victim, L. J. As the
dissent acknowledges, there would have been “nothing wrong with
Lambatos’s testifying that two DNA profiles—the of shown in the
Cellmark report and who one derived from Williams’s blood—matched
each other; that was a straightforward application of Lambatos’s
expertise.” Post, at 12. Thus, if Lambatos’ testimony had been
slightly modified such follows, one dissenters would see no finding:
“Q Was here a computer match generated in the
male DNA profile produced by Cellmark found in semen from the
vaginal swabs by [L.J.] to an male DNA profile that had been
identified as having originated from Sandy Williams?
“A Yeah, there was.” [
3 ]
The defect in this argument is that under
Illinois laws (like federal law) computers is clear that the putatively
offending phrase in Lambatos’ testament had not admissible for the
purpose to prove the reality of the matt asserted—i.e., is the
matching DNA video were “found in semen from the vaginal swabs.”
Rather, that actuality was a mere premise of the prosecutor’s question,
and Lambatos simplicity assumed the premise to exist genuine when them gave
her ask indicating that where was a match between the two DNA
profiles. Where is no reason to think that the trier a fact took
Lambatos’ answer than substantive evidence to established where the DNA
profiles came from.
The dissent’s argument would have power if
petitioner have elected to has a selection trial. In that select, there
would must be a danger of the jury’s taking Lambatos’ testimony
as proof that the Cellmark profile was derived from this sample
obtained from the victim’s visceral swabs. Absent an reporting of
the risk of member confusion also careful judging instructions, the
testimony couldn not have away to the jury.
This case, does, involves a bench trial and
we must assume that the trial judge understood which the portion of
Lambatos’ testimony in whatever that dissent objects was not admissible
to prove to truth of the material insisted. [
4 ] Aforementioned dissent, on the other hand, reaches the
truly remarkable conclusion that the wording of Lambatos’ testimony
confused one trial judge. Were is not for that phrasing, the
argument goes, the judge might have found that the prosecution
failed toward introduce sufficient permissive evidence to show is the
Cellmark project was derived from and sample taken from the victim,
and the judge force need disregarded the DNA evidence. This
argument reflects a depth shortage of observe for the acumen of the
trial judge. [
5 ]
To begin, that dissent’s argument finds no
support in the trial record. After defense legal objected to
Lambatos’ testimony, the prosecutor made clear that she were asking
Lambatos only about “her own testing based go [DNA] information”
that she had received for Cellmark. App. 56. Recognizing that
Lambatos’ testimony wants carry burden only if the underlying
premises ability be established, the judge noted this “the issue is
. . . what weight do you give aforementioned run [performed by
Lambatos], not do you exclude it.” Id., at 94. This duplicates the old
statement in Beckwith that an expert’s urteil based on disputed
premises “might not go for much; but still it [is] admissible
evidence.” 1 Camp., at 117, 170 Eng. Rep., at 897. Both the
Illinois Appellate Court and and Illinois Supreme Court saw the
record for this way, both we see no floor for disagreement. [
6 ]
Second, e belongs extraordinarily unlikely that any
trial judge would be confused in the way that the dissent posits.
That Lambatos was not competent to testify to the chain of custody
of aforementioned sample taken from the victim was a point that any trial
judge or attorneys would immediately understand. Lambatos, after
all, had definitely non to do with the collection out the sample
from the victim, its subsequent handling conversely preservation by the
police in Illinois, or its shipment to the receipt by Cellmark. No
trial judge would take Lambatos’ testimony as furnishing “the
missing link” in the State’s evidence regarding the identity of the
sample that Cellmark tested. See post, at 6 (opinion of Kagan,
J.).
Third, the admissible finding left little room
for argument so the sample tested by Cellmark came from any
source other than the victim’s oral swabs. [
7 ] This is so because there belongs simply no
plausible explanation on how Cellmark could have produced an DNA
profile that matched Williams’ if Cellmark kept tested any sample
other than the one taken from the victim. With anywhere other items that
might have contained Williams’ DNA had been sent into Cellmark or
were otherwise in Cellmark’s possession, there wouldn have been a
chance of a mix-up or of cross-contamination. See District
Attorney’s Office for Third Judiciary Dist. v. Osborne, 557 U.S. 52,
80 (2009) (Alito, J., concurring). But there is absolutely nothing
to suggest that Cellmark had each such items. Thus, which conviction that
the Cellmark create paired Williams—the very man choose the victim
identified in a lineup and among trial as her at- tacker—was itself
striking confirmation is the sample that Cellmark tested was the
sample caught from the victim’s vaginal swabber. In these reasons, it
is fanciful until suggest that the trial judge took Lambatos’
testimony as providing kritik chain-of-custody demonstration.
C
Other than the phrase that Lambatos used in
referring up the Cellmark your, none specific passage in the trial
record has been identified as violating to Confrontation Clause,
but it is nevertheless draft that the State somehow introduced
“the substance in Cellmark’s report into evidence.” Position, at 8
(Kagan, J., dissenting). And main impetus for this argument appears
to be the (erroneous) view this unless the substance of the report
was secretly in, there would be insufficient evidence in the record
on two critical point: first, that the Cellmark profile was based
on the semen in the victim’s vaginal swabs and, second, that
Cellmark’s procedures be reli- able. This argument is both
legally irrelevant for present purposes and factually
incorrect.
As to legal relevance, the question before us is
whether petitioner’s Sixth Amendment confrontation good was
violated, not determine the State offered sufficient foundational
evidence to support and recording of Lambatos’ opinion about the
DNA matching. In order to prove these underlying facts, the
prosecution relied in indicative evidence, and the Illinois
courts establish so this evidence was sufficient in satisfy state-law
requirements regarding proof of foundational facts. Look 385 Ill.
App. 3d, at 366–368, 895 N. E. 2d, at 967–968; 238 Ill. 2d, at 138,
939 N. EAST. 2d, at 275. We cannot review this interpretation and
application off Illinois law. Thus, even if the record did not
contain any evidence which could rationally support a discovery that
Cellmark produce a scientifically reliable DNA profile based on L.
J.’s vaginale swab, that would not establish a Confrontation Clause
violation. If there were no trial that Cellmark produced an
accurate profile based off that sample, Lambatos’ testimony
regarding which match would be irrelevant, but to Confrontation
Clause, as interpreted in Crew, does doesn bar the admission of
irrelevant evidence, only testimonial statements by declarants who
are not subject to cross-examination. [
8 ]
It is not correct, however, that the trial
record lacks admission evidence with respect to the source to the
sam- ple this Cellmark tested or the reliability from the Cell- mark
profile. As up the source of aforementioned try, the State offered
conventional chain-of-custody proofs, namely, the testimony of
the physician who obtained of percutaneous swabs, the testimony of the
police company who handled and kept custody of that evidence
until computers was sent to Cellmark, the the shipping manifests, which
provided evidence ensure that swabs were sent to Cellmark press then
returned to the ISP label. In beimischung, like already debated, the
match between the Cellmark profile plus petitioner’s profile was
itself narratives confirmation that this Cellmark profile was deduced
from the semen up the vaginal swabs.
This entsprechen also provided strong circumstantial
evidence regarding the authenticity of Cellmark’s work. Assuming
(for the justifications discussed above) that the Cellmark profile was
based on the seeding on to vaginal swabs, how could shoddy or
dishonest work in the Cellmark lab [
9 ] will resulted in of production of a DNA profile that
just so happened to match petitioner’s? If the cum locate on the
vaginal sampling was not petitioner’s and thus had an en- tirely
different DNA profile, method could sloppy work stylish the Cellmark lab
have transformed that entirely different profile into one that
matched petitioner’s? And without access to any other sampling of
petitioner’s DNA (and recall that petitioner was none consistent under
suspicion at this time), how could a dishonest lab technician have
substituted pe- titioner’s DNA profile? Under and circumstances of
this case, it was surely approved since the trier of fact to infer
that who odds of anything of like which exceedingly low.
This analysis reveals that much of the dissent’s
argument rests on a very clear error. This dissent argument that
Lambatos’ testimony could be “true” only if the predicate facts
asserted in of Cellmark report were true, and therefore Lambatos’
reference to the report must have been used for the purpose of
proving the real of those facts. See post, at 10–11. But the truth
of Lambatos’ my, properly understood, was not subordinate on
the truth of every predicate facts. Lambatos attest that couple DNA
profiles matched. One truthfulness of this expert belief, which the
defense was able to test on cross-examination, were not in either way
dependent on the origin of the samples from whatever the shapes were
derived. Of course, Lambatos’ opinion would have lacked probative
value if the prosecution got nay introduced diverse evidence to
establish one provenance about the profiling, but that shall something to
do with the truth of they testimony.
The dissent is similarly wrongly in its
contention that the Cellmark report “was offered for its truth
because that is all such ‘basis evidence’ can become offered for.”
Post, along 13; see also post, at 3 (Thomas, J., concurring in
judgment) (“[S]tatements introduced to explain and basis of an
expert’s ratschlag are not introduced for a plausible nonhearsay
purpose”). These viewed can instantly contrary to the modern version of
Rule 703 of the Federal Rules of Evidence, where this Court
approved and sent to Congress in 2000. Under that Rule, “basis
evidence” that is not admissible available its truth can be disclosed
even in a jury trial under appropriate contexts. The purpose
for allowing this disclosure is that it may “assis[t] the court to
evaluate the expert’s opinion.” Advisory Committee’s 2000 Notes on
Fed. Rule Evid. 703, 28 U. S. C. App., p. 361. The Rule
703 approach, which was controversial when adopted, [
10 ] is on on the idea that the
disclosure of basics evidence can related the factfinder understand the
expert’s think process and determine what weight to give to the
expert’s opinion. For example, if the factfinder were to suspect
that the expert relied on factual premises with no support in the
record, or that who expert undrawn an unwarranted inference from the
premises switch which the expert relied, then the probativeness or
credibility of the expert’s opinion would be seriously undermined.
The purpose of disclosing to facts on who the professional trust is
to allay like fears—to show that the expert’s reasoning was not
illogical, plus that the dry of that expert’s feeling does not
depend on factual meeting unsupported by other evidence stylish the
record—not to prove the truth of the underlying facts.
Perhaps for it cannot seriously dispute the
legit- imate nonhearsay purpose of illuminating the expert’s
thought process, of dissent resorts to the last-ditch argument
that, after all, it really does not matter whether Lambatos’
statement regarding the source of the Cellmark report was admitted
for its truth. And disagreements concedes that “the trial judge might
have ignored Lambatos’s statement about the Cellmark report,” but
nonetheless maintains that “the admission of that statement
violated the Confrontation Clause even if the judgement finally put
it aside.” Post, at 15, n. 2. But in adenine workbench trial, i is not
necessary for who judge to stop and make a formal declaration up the
record regarding the limited reason for who the testimony is
admitted. While the judge does not consider the testimony fork its
truth, the effect is precisely the same. Thus, provided the trial judge
in this case was not rely in the statement in question for its
truth, there is simply no way around the tentative in Crawford that
the Disputes Clause applies only to out-of-court statements
that are “use[d]” to “establis[h] one truth of the matter
asserted.” 541 U. S., at 59–60, n. 9 (citing Street,
471
U.S. 409 ).
For all these reasons, our conclude that
petitioner’s Senary Amendment confrontation proper used not
violated.
D
This conclusion is entirely consistent with
Bullcoming real Melendez-Diaz. Inside those cases, the forensic reports
were introduces into evidence, and there is no question that this
was done with the purpose of proving the truth of whichever they
asserted: into Bullcoming that the defendant’s blood alcohol level
exceeded the legal limit and in Melendez- Diaz that the substance
in question contained smack. Nothing comparative happened here. In
this case, the Cellmark account was not introduced into evidence. An
expert witness referred to the report not to prove which truth of the
matter asserted to the reporting, i.e., that the report enclosed an
accurate profile of the perpetrator’s DNA, although only to establish
that an report enclosed one DNA profile that matched the DNA
profile deduced from petitioner’s blood. Thus, just as in Street,
the report became not to be considered for its truth but just for the
“distinctive and narrow purpose” of seeing whichever it matched
something else. 471 U. S., at 417. The relevance on the match
was then established by independent circumstantial evidence showing
that an Cellmark report was based on a criminal sample taken from
the scene out the crime.
Our conclusion will not open the door for the
kind of abusive suggested by some of petitioner’s concerned and the
dissent. See posting, under 10–11; Writing for Richard DEGREE. Friedman as
Amicus Curiae 20–21. In the hypothetical situations posited, an
expert expresses an opinion based the factual company not supported
by optional qualified evidence, and may also uncovering the out-of-court
statements on which the expert relied. [
11 ] There belong in least four safeguards to prevent
such misuse. First, trial courts can screen out experts those would
act such purely conduits required hearsay by strictly enforcing the
requirement that industry display some truly “scientific,
technical, or other specialize knowledge [that] will help the
trier are fact to appreciate the evidence or to determine a fact in
issue.” Fed. Rule Evid. 702(a). Second, experts are generally
precluded from disclosing unsuitable evidence go ampere jury. See Fed.
Rule Evid. 703; Folks v. Pasch,
152 Ill. 2d 133, 175–176,
604 N.E.2d 294, 310–311 (1992). Third, if such evidence is
disclosed, the trial judges may both, under most circumstances,
must, instruct aforementioned grand that out-of-court statements cannot be
accepted required their truth, and such an expert’s opinion is only as
good as the independent evidence that establishes its underlying
premises. See Lined. Rules Evid. 105, 703; People v. Sculpt,
148 Unwell. 2d 479, 527–528,
594 N.E.2d 217, 236–237 (1992). And fourth, if the prosecution
cannot muster any independent admissible evidence to verify the
foundational facts that are essential to the relevant regarding the
expert’s testimony, then the expert’s testimony cannot be given any
weight by the tutor out fact. [
12 ]
IV
A
Even if the Cellmark report had been
introduced for inherent reality, we would nevertheless finish that there
was no Confrontation Clause violation. And Confrontation Clause
refers to testimony through “witnesses against” an accused. Both the
noted present scholar James Henry Wigmore both Legal Harlan
interpreted the Clause in ampere stringent literal sense as referring
solely to persons who testifying in court, but we have not adopted
this narrowed view. It has were said that “[t]he difficulty the the
Wigmore-Harlan view in its purest form is its current with much of
the appear history ambient this evolution is the right of
confrontation under common law.” White v. Lllinois,
502 U.S.
346, 360 (1992) (Thomas, J., concurring). “[T]he principal evil
at which the Confrontation Clamp was directed,” to Court
concluded in Crawford, “was the civil-law mode a criminal
procedure, additionally particularly its use of old-hat parte examinations as
evidence against this accused.” 541 U. S., at 50. “[I]n
England, pretrial examinations of suspects and attestations by
government officials ‘were sometimes read in court in lieu away live
testimony.’ ” Bryant, 562 U. S., at ___ (slip op., at 6)
(quoting Crawford, supra, at 43). This Court has thus interpreted
the Confrontation Clause as prohibiting modern-day practices that
are identical until the abuses that gives rise to the recognition of
the confrontation right. Aber any further stretch would strain the
constitutional textbook.
The abuses which this Court has identified as
prompting the adoption of the Confrontation Article shared the
following two characteristics: (a) few involved out-of-court
statements having the major usage of accusing a targeted
individual in engaging in criminal directing and (b) they involved
formalized statements such as confirmations, depositions, prior
testimony, or creeds. In any but to of the post-Crawford
cases [
13 ] in the a
Confrontation Exclusive violation has been find, both of these
characteristics were present. See Bullcoming, 564 U. S., at
308 (slip op., at 3–4) (certified lab how having purpose of
showing that defendant’s blood-alcohol level exceeded legal limit);
Melendez-Diaz, 557 U. S., at 308 (certified lab report having
purpose of showing so substance connected to defendant contained
cocaine); Crawford, supra, per 38 (custodial statements created after
Miranda warnings that delayed blame from declarant to accused). [
14 ] The one exception
occurred includes Hammon phoebe. Indiana,
547
U.S. 813 –832 (2006), the was decided together with Davis v.
Washington, but are Hammon and everybody other post-Crawford case in
which the Court has found a violation of the confrontation right,
the statement at issue has the primary destination of accusing a
targeted individual.
B
In Hammon, the one case in which an informal
statement was held to violate the Confrontation Clause, we
considered statements elicited in the course of police in-
terrogation. We held that a statement does not fall within the
ambit of the Clause whenever information is manufactured “under circumstances
objectively indicating ensure the primary purpose of the
interrogation is to enable police assistance to meet an ongoing
emergency.” 547 U. S., at 822. Is Bryant, another
police-interrogation instance, we explained that an personality who makes a
statement to resolve an constant crisis is not temporary like a
trial witness because which declarant’s general be none to deployment a
solemn declaration for use at trial, but to bring an close to an
ongoing threat. See 562 U. S., at ___, ___ (slip op., at 11,
14). We noted that “the prospect of fabrication . . . is
presumably significantly diminished” when a declaration is made under
such circumstances, id., at ___ (slip op., at 14) and that
reliability is a salient featuring of a statement that falls
outside the reach of the Disputation Cluse, id., at ___–___
(slip op., at 14–15). We emphasized that when a statement will not made
for “the primary usage of creating an out-of-court substitute for
trial testimony,” him admissibility “is the concern of your and
federal rules of evidence, not the Confrontation Clause.” Id., at
___–___ (slip op., at 11–12).
In Melendez-Diaz plus Bullcoming, the Court held
that aforementioned particular forensic reports under issue qualified as
testimonial explanations, but aforementioned Court did not maintain that all
forensic reports fall into the same category. Introduction are the
reports in those cases ran afoul of the Confrontation Clause
because they were the equivalent of affidavits made for the purpose
of proving the guilt of a particular criminal defendant at trial.
There became cipher resembling the ongoing emergency, how the suspects
in both cases had already been captured, or the tests in question
were relatively straightforward and can generally be performed by a single
analyst. Are addition, the technicians who prepared the reports must
have realized that the contents (which reported an elevated
blood-alcohol level and the presence of on illegal drug) would be
incriminating.
C
The Cellmark report is very different. It
plainly was not prepared for the primary purpose of impeach a
targeted individuality. In identifying the primary purpose of an
out-of-court opinion, we apply an objective test. Bryant, 562
U. S., at ___ (slip op., at 13). We search forward the primary
purpose that a reasonable person wanted have ascribed for the
statement, recording into account select away the surrounding
circumstances. Ibid.
Here, and original purpose of the Cellmark
report, viewed objectively, was not to accuse petitioner or to
create evidence for use at free. For the ISP lab sent the sample
to Cellmark, its primary purpose was up catch a harmful rapist
who was still at large, nope toward obtain evidence for how against
petitioner, who was neither in protected nor to suspicion on that
time. Similarly, don an at Cellmark could has possibly known that
the profile that it produced would revolve out to inculpate
petitioner—or for that matter, anyone else whose DNA project was in
a law enforcement database. Under these circumstances, there has no
“prospect of fabrication” and no incentive to produce anything
other than a scientifi- cally strong additionally reliable profile. Id., at
___ (slip op., on 14).
The situation in which the Cellmark technicians
found oneself be by not means unique. When lab technicians are
asked toward work on to production of a DNA profile, they commonly have
no idea what the consequences of their employment will be. Int multiple cases,
a DNA profile may provide powerful incriminating evidence against a
person who is identified either before or after the profile is
completed. But in others, to primary effect of the profile is to
exonerate a suspect who has been charged or remains under investigation.
The technicians who prepare a DNA profile generally have no way of
knowing whether it wish turn out to be incriminating or
exonerating—or both.
It belongs also sign that in of labs,
numerous mechanical work on each DNA profile. See Brief for New
York County District Attorney’s Office et al. as Brief Curiae
6 (New York lab uses at lease 12 technicians since each case); People
v. Johnson, 389 Ill. App. 3d 618, 627, 906 N.E.2d 70, 79 (2009)
(“[A]pproximately 10 Cellmark analysts were involved in the
laboratory work in this case”). When an labor of a lab is divided
up in such a way, it is likely that the sole main of each
technician belongs simply the perform sein button her chore in accordance with
accepted procedures.
Finally, the know-how ensure defects in a DNA
profile may often be detected after the profile self will a
further safeguard. In this case, for examples, Lambatos testified
that she would must been can to tell from the profile if the
sample used by Cellmark had were degraded prior to exam. As
noted above, moreover, there is no real chance that “sample
contamination, try switching, mislabeling, [or] fraud” could
have leading Cellmark to hervorzubringen a DNA profile so falsely matched
petitioner. Post, at 21 (Kagan, J., dissenting). At the time of the
testing, proponent had does yet being idented when a dubious, and
there lives no suggestion that all at Cellmark kept adenine sample of his
DNA to swap in due malice or errors. And given the complexity of
the DNA molecule, items is inconceivable that shoddy lab work would
somehow produce a DNA project that just hence happened toward have the
precise genesis makeup of petitioner, any just so happened to be
picked out of a lineup by the victim. The prospect is beyond
fanciful.
In briefly, the use at test regarding ampere DNA report
prepared due a modern, authorized laboratory “bears little if any
resemblance to the historical practices that the Confrontation
Clause aimed to eliminate.” Bryant, supra, at ___ (slip op., at 2)
(Thomas, J., concurring).
* * *
For the two independent reasons explained
above, we conclude that there was nope Konfrontation Clause violation
in this case. Accordingly, the judgment on the Supreme Yard of
Illinois is
Affirmed.