BARKETT, Circuit Judge:
Manoucheka Charles, a Haitian national, appeals from her conviction for knowingly using a fraudulently altered travel document in violation of 18 U.S.C. § 1546(a). Charles, who speaks Creole and does not speak English, argues that her conviction must be reversed because the only evidence to support the charge that she knowingly used a fraudulently altered travel document was the third-party testimony
Charles arrived at the Miami International Airport from Haiti and presented her travel documents to a CBP officer. These included her Haitian passport, a customs declaration form, and Form I-512, which provides authorization for persons to travel in and out of the United States while they are in the process of gaining legal immigration status. The first CBP officer, who did not speak Creole, referred Charles to a second CBP officer, who checked the I-512 document against a computer database and discovered that the name and date-of-birth associated with the I-512 in the database was not the same as the one on the I-512 that Charles presented. Charles was then sent to secondary inspection, where she was interrogated by a third CBP officer, who also did not speak Creole, but who used an over-the-phone interpreter service under contract with the Department of Homeland Security to allow him to conduct his interrogation. The interpreter on the phone translated from English to Creole the CBP officer's questions for Charles as well as translated from Creole to English Charles's responses to the CBP officer's questions.
At trial, the government did not call the interpreter to testify. Instead, the government presented the testimony of the three CBP officers to establish what happened at the airport. The third CBP officer, who conducted the interrogation through the interpreter, told the jury what the interpreter told him Charles had said. He testified that the interpreter told him that Charles stated that she did not receive the I-512 from United States authorities, but that she received the document about a month after she provided her photograph and passport to a man who offered to help her and that she did not pay anything for the document. The officer also testified that when she was asked, through the interpreter, where she was planning to live in the United States, she provided a relative's address in Key West. When she was asked, through the interpreter, why the address on the I-512 was different than the Key West address, she said "the form was already given to her completed." He then testified that Charles also stated, through the interpreter, that "when she sat down [on the plane], she started reading the document and she noticed that the document was illegal because it didn't fit her profile."
Because the government did not call the interpreter as a witness, Charles did not have an opportunity to cross-examine the interpreter regarding what any of Charles's purported statements meant or what specific words or phrases Charles actually used. For example, when the interpreter supposedly said that Charles told her the document "didn't fit her profile," defense counsel had no opportunity to cross-examine the interpreter regarding
On appeal, Charles argues that her Confrontation Clause rights were violated by the admission of the CBP officer's in-court testimony as to the interpreter's English language out-of-court statements, without the opportunity to cross examine the interpreter. Our review of this argument is for plain error because Charles did not object during her trial to the CBP officer's testimony as a violation of her rights under the Confrontation Clause. Under plain error review, we cannot correct an error that was not raised at trial unless: (1) there was error; (2) that was plain; (3) that affected the defendant's substantial rights; and (4) we determine that it that seriously affected the fairness, integrity, or public reputation of the judicial proceedings. See United States v. Arbolaez, 450 F.3d 1283, 1291 (11th Cir.2006) (applying plain error review to a Confrontation Clause violation raised for the first time on appeal). Accordingly, we first must determine whether it was erroneous under the Confrontation Clause to admit the CBP's officer's testimony. See United States v. Olano, 507 U.S. 725, 732, 113 S.Ct. 1770, 123 L.Ed.2d 508 (1993) ("The first limitation on appellate authority ... is that there indeed be an `error.'").
The Confrontation Clause to the Sixth Amendment provides that, "[i]n all criminal prosecutions, the accused shall enjoy the right ... to be confronted with the witnesses against him." U.S. Const. amend. VI. In Crawford v. Washington, 541 U.S. 36, 59, 124 S.Ct. 1354, 158 L.Ed.2d 177 (2004), the Supreme Court explained that under the Confrontation Clause, "[t]estimonial statements of witnesses absent from trial have been admitted only where the declarant is unavailable, and only where the defendant has had a prior opportunity to cross-examine" the declarant. (Emphases added). In reiterating the genesis of this understanding of the Confrontation Clause, the Court made several critical observations about the long-standing meaning of this right.
First, the Court in Crawford explained that the Confrontation Clause is concerned with witnesses against the defendant, "in other words, those who `bear testimony.'" 541 U.S. at 51, 124 S.Ct. 1354 (quoting 2 N. Webster, An American Dictionary of the English Language (1828)). And testimony itself has a particular meaning, in that it is "a solemn declaration or affirmation made for the purpose of establishing or proving some fact." Id. Testimonial statements are ones "that declarants would reasonably expect to be used prosecutorially[.]" Id. The Confrontation Clause, therefore, "reflects an especially acute concern with a specific type of out-of-court statement." Id. That concern is with testimonial statements made out of court by a declarant whom the defendant has a constitutional right to confront through cross-examination.
Next, the Court explained that "the Framers would not have allowed admission of testimonial statements of a witness who did not appear at trial unless he was unavailable to testify, and the defendant had had a prior opportunity for cross-examination."
Finally, in clarifying the appropriate test under the Confrontation Clause for admitting testimonial out-of-court statements of a declarant, the Court in Crawford overruled the test that it previously laid out in Ohio v. Roberts, 448 U.S. 56, 100 S.Ct. 2531, 65 L.Ed.2d 597 (1980).
Under Crawford's framework, as explained below, we find that Charles has a Sixth Amendment right to confront the interpreter, who is the declarant of the out-of-court testimonial statements that the government sought to admit through the testimony of the CBP officer.
As an initial matter, there is no debate that the statements of the interpreter as to what Charles said are "testimonial." The CBP officer conducted the interrogation of Charles while she was detained at the airport and was suspected of knowingly using a fraudulent document to gain entry to the United States. We have said that "[s]tatements taken by police officers in the course of interrogations are definitively testimonial" and thus fall within the protection afforded by the Confrontation Clause. Baker, 432 F.3d at 1204 (quotation marks and emphasis omitted); see also Crawford, 541 U.S. at 53 n. 4, 124 S.Ct. 1354. This includes not only "technical legal" interrogations but also "witness statements given to an investigating police officer." Arbolaez, 450 F.3d at 1291 (quotation marks omitted). Moreover, the government sought admission of the interpreter's statements of what Charles said to prove the truth of those statements. See
Next, although the CBP officer testified as if the out-of-court statements were made by Charles directly to him in English, they were not. Instead, his questioning of Charles was accomplished in two different languages, requiring the services of a language interpreter. Thus, for purposes of the Confrontation Clause, there are two sets of testimonial statements that were made out-of-court by two different declarants. Charles is the declarant of her out-of-court Creole language statements and the language interpreter is the declarant of her out-of-court English language statements.
The only possible out-of-court statements to which the CBP officer could testify to in court are the English language statements of the interpreter. When the CBP officer asked questions in English, the interpreter orally translated them into Creole for Charles. Charles then spoke to the interpreter in Creole, who in turn orally translated Charles's statements from Creole into English for the CBP officer. The CBP officer only heard Charles speak in Creole and never heard any statements from Charles in English. Thus, during the trial when the CBP officer testified as though the statements were made by Charles in English, he was actually testifying to the out-of-court statements of the interpreter. In other words, the interpreter made the testimonial statements to the CBP officer, and, accordingly, is the declarant of the English-language statements that the CBP officer heard and testified to at trial.
Moreover, given the nature of language interpretation, the statements of the language interpreter and Charles are not one and the same. Interpretation is the oral form of transferring meaning from one language, known as the "source" language, into another language, known as the "target" language. See Cultural Issues in Criminal Defense 153 (Linda Friedman Ramirez ed., 3d ed. 2010); see also Webster's Third New International Dictionary Unabridged 1182 (1993) (defining an interpreter as "one that translates; esp: a person who translates orally for parties conversing in different tongues"). Language interpretation, however, does not provide for a "one-to-one correspondence between words or concepts in different languages." National Association of Judiciary Interpreters and Translators, Frequently Asked Questions about Court and Legal Interpreting and Translating, http://www.najit.org/certification/faq.php#techniques (last visited June 17, 2013). "Rather than word for word, then, interpreters render meaning by reproducing the full content of the ideas being expressed. Interpreters do not interpret words; they interpret concepts." Id. Language interpreters typically "[c]onvert concepts in the source language to equivalent concepts in the target language." U.S. Dep't of Labor, Bureau of Labor Statistics, Occupational Outlook Handbook (2012-13 ed.), available at http://www.bls.gov/ooh/media-and-communication/interpreters-and-translators.htm#tab-2.
As one scholar has noted, there are many forces, such as differences in dialect and unfamiliarity of colloquial expressions, which "operate to frustrate the interpretation of semantic meaning." Muneer I. Ahmad, Interpreting Communities: Lawyering Across Language Difference, 54 UCLA L.Rev. 999, 1035 (2007). Not only does a language interpreter face obstacles in trying to convey the semantic meaning of a speaker's words but language interpretation
Accordingly, because Charles has the right, under the Confrontation Clause, to confront the "declarant," that is the person who made the out-of-court statement, she has the right to confront the Creole language interpreter about the statements to which the CBP officer testified to in court.
The government, however, relying on our circuit's decision in United States v. Alvarez, 755 F.2d 830, 860 (11th Cir.1985), argues that we should treat the interpreter's out-of-court statements as if they are the defendant's own and thus, consider Charles to be the declarant of those statements for purposes of the Confrontation Clause analysis. Contrary to the government's assertion, Alvarez and the Second Circuit case which it essentially adopted, United States v. Da Silva, 725 F.2d 828 (2d Cir.1983), do not hold that a foreign-language speaking defendant is the "declarant" of the English-language statements of an interpreter.
In Alvarez, a case in which the Confrontation Clause was never raised or addressed, we held that a witness's in-court testimony of an interpreter's out-of-court oral translations of the defendant's statements are admissible as non-hearsay under Federal Rules of Evidence 801(d)(2)(C) or (D).
Thus, we viewed the interpreter, for hearsay purposes, as an agent of the defendant, thereby making the interpreter's statements of what the defendant said attributable to the defendant. Alvarez, 755 F.2d at 860. In reaching this conclusion, the court in Alvarez adopted verbatim and without any independent analysis, the reasoning and conclusion of the court in Da Silva, wherein the Second Circuit treated the interpreter as an agent of the defendant so long as the interpreter "has a sufficient capacity, and there is no motive to misrepresent." Alvarez, 755 F.2d at 860 (quoting Da Silva, 725 F.2d at 832). Under these circumstances, the court in Da Silva noted that it would be appropriate to find the existence of an agency relationship between the defendant and the interpreter, making the interpreter a "language conduit" of the defendant for hearsay purposes. 725 F.2d at 832 (quoting United States v. Ushakow, 474 F.2d 1244, 1245 (9th Cir.1973)).
In Da Silva, as in Charles's case, a law enforcement officer interrogated the defendant, who spoke Spanish, through the interpretation assistance of a certified Spanish language interpreter. 725 F.2d at 829. At trial, the government's evidence included the law enforcement officer's testimony of the interpreter's oral translations of the defendant's answers during the interrogation. Id. at 830. On appeal, the Second Circuit considered whether this testimony was admissible under the hearsay rules. Id. at 831-32. The court first explained that had the law enforcement officer spoken directly with the defendant and could have himself testified to the defendant's answers, his testimony as to the defendant's statements would have been non-hearsay under Rule 801(d)(2)
Had the Second Circuit in Da Silva, or for that matter, our court when adopting Da Silva in Alvarez, viewed the interpreter's statements as the defendant's own statements then it simply would have admitted them under Rule 801(d)(2)(A) and have had no need to look to Rules 801(d)(2)
Moreover, the characterization in Da Silva and Alvarez of an interpreter as a "language conduit" is not a determination on the question of whether the defendant is the declarant of the interpreted statements for purposes of the Confrontation Clause. In referring to an interpreter as a "language conduit," the court in Da Silva did so in the context of concluding that an interpreter may be treated as the defendant's agent, for purposes of the hearsay rules, so long as the interpreter "has no motive to mislead" and there is "no reason to believe the translation is inaccurate." 725 F.2d at 832; see also Alvarez, 755 F.2d at 860 (finding the reasoning of the Second Circuit in Da Silva regarding the inferred agency between an interpreter and defendant as persuasive). Under these circumstances, the interpreter is perceived as orally translating the words of the defendant competently for purposes of hearsay. Da Silva's view of an interpreter as a "language conduit," adopted by our circuit in Alvarez, was premised on the court's assessment of the interpreter's reliability and trustworthiness, principles supporting the admissibility of the interpreter's statements under Rules 801(d)(2)
Even though an interpreter's statements may be perceived as reliable and thus admissible under the hearsay rules, the Court, in Crawford, rejected reliability as too narrow a test for protecting against Confrontation Clause violations. See 541 U.S. at 60, 124 S.Ct. 1354 ("This malleable
Thus, neither Alvarez, nor Da Silva upon which it is based, hold that the defendant is the declarant of the statements made by the interpreter to the testifying third-party witness, and thus, do not resolve Charles' Confrontation Clause claim.
In Melendez-Diaz, in a "rather straightforward application of [its] holding in Crawford," the Court held that a forensic laboratory report identifying a substance as cocaine was testimonial for purposes of the Confrontation Clause because it had been created to serve as evidence in a criminal proceeding. 557 U.S. at 310-12, 129 S.Ct. 2527. The Court held that the affiants to the report sought to be introduced were witnesses subject to confrontation and the defendant "was entitled to be confronted with the analysts at trial." Id. at 311, 129 S.Ct. 2527. The Court rejected the argument that the laboratory report was sufficiently reliable such that confrontation of the forensic analysts would serve little purpose because their testimony was the "resul[t] of neutral, scientific testing" and the analysts would have little reason to change the results of their tests. Id. at 317, 129 S.Ct. 2527. The Court explained that this argument was no more than an attempt to return to Roberts' "trustworthiness" standard for the admissibility of evidence under the Confrontation Clause despite Crawford's command that the "Constitution guarantees one way: confrontation." Id. at 317-18, 129 S.Ct. 2527. Likewise in Charles's case, the interpreter's statements are testimonial as they were specifically obtained for use in a criminal investigation and the fact that the interpreter may be competent does not exempt the interpreter from cross-examination.
More recently, the Supreme Court's decision in Bullcoming makes clear that the CBP officer's testimony cannot substitute for confrontation of the interpreter regarding
The Supreme Court, in no uncertain terms, rejected the state court's reasoning. "[T]he comparative reliability of an analyst's testimonial report drawn from machine-produced data does not overcome the Sixth Amendment bar." Id. at 2715. Instead, the Court explained that the forensic analysts "who write reports that the prosecution introduces must be made available for confrontation even if they possess `the scientific acumen of Mme. Curie and the veracity of Mother Teresa.'" Id. (quoting Melendez-Diaz, 557 U.S. at 319 n. 6, 129 S.Ct. 2527.). Accordingly, the Court concluded that "the [Confrontation] Clause does not tolerate dispensing with confrontation simply because the court believes that questioning one witness about another's testimonial statements provides a fair enough opportunity for cross-examination." Id. at 2716; see also United States v. Ignasiak, 667 F.3d 1217, 1230-33 (11th Cir.2012) (applying Bullcoming to reject as a violation of the Confrontation Clause the in-court testimony of a medical examiner as not being a "constitutionally adequate surrogate for the actual medical examiner who performed the autopsy").
The same rationale applies to the CBP officer's testimony of the interpreter's statements. First, like the "surrogate" forensic analyst in Bullcoming, the CBP officer is the "surrogate" for the interpreter. Second, even though the certifying analyst was seen as a "mere scrivener" who was just reporting numbers generated from a machine, the Supreme Court held that the reliability of the certifying analyst's report of these machine generated numbers could not satisfy the Confrontation Clause, absent his unavailability for confrontation. Bullcoming, 131 S.Ct. at 2714-15. The Supreme Court could not have been clearer that reliability, absent cross-examination, is irrelevant for purposes of the Confrontation Clause. If the Court in Bullcoming required the certifying analyst to be subject to cross-examination, rejecting any, albeit expert, "surrogate" third-party testimony, so too must a language interpreter and not a substitute third party be subject to cross-examination. Id. at 2715. Treating the CBP officer as a "surrogate" for the interpreter, a much less suitable substitute than the expert testifying in Bullcoming, does not satisfy Charles's constitutionally protected right to cross-examination of the interpreter. Thus, under the circumstances of this case, it is the interpreter who is subject to "the only indicium of reliability sufficient to satisfy constitutional demands," that is: confrontation. Crawford, 541 U.S. at 69, 124 S.Ct. 1354.
Accordingly, having concluded that it was a violation of Charles's Sixth
Because we cannot say that the error in admitting the CBP officer's statements
MARCUS, Circuit Judge, specially concurring:
I concur in the judgment reached by the panel majority. There was no plain error in this case, so we must affirm Charles's conviction. However, I write separately because I believe it unnecessary to decide a novel and difficult question of constitutional law in an area where the Supreme Court's jurisprudence is still evolving. The majority makes a serious and substantial argument for its position, and it may well be right. But I would wait until the necessity of deciding the question sharpens both the adversarial presentation of the issue and our decision-making process.
This case presents a question that ordinarily does not trouble courts addressing Confrontation Clause challenges, since the answer is usually obvious: who is the declarant of an out-of-court statement? In this case, however, the answer is not obvious. Charles made a statement in Creole to a government-provided interpreter, who then interpreted the statement from Creole to English. The interpreter then made the English-language statement to the officer who testified at Charles's trial. In order for Charles to succeed on her Confrontation Clause claim, she must establish both that the declarant of the English-language statement was the interpreter, not herself, see United States v. Brown, 441 F.3d 1330, 1358-59 (11th Cir. 2006) (admission of defendant's own statements does not violate the Confrontation Clause, since a defendant does not have the right to confront himself), and that the statement was testimonial, see Michigan v. Bryant, ___ U.S. ___, 131 S.Ct. 1143, 1153, 179 L.Ed.2d 93 (2011); Crawford v. Washington, 541 U.S. 36, 51-52, 124 S.Ct. 1354, 158 L.Ed.2d 177 (2004).
As the panel majority soundly concludes, there was no plain error because, under our precedents, "there can be no plain error when there is no precedent from the Supreme Court or this Court directly resolving" the issue. Maj. Op. at 1330-31 (quoting United States v. Chau, 426 F.3d 1318, 1322 (11th Cir.2005)). No Supreme Court or Eleventh Circuit precedent addresses the question of who the declarant of an interpreted statement is, at least for purposes of post-Crawford Confrontation Clause analysis.
This reluctance stems, at least in part, from the long-standing prudential policy "that we ought not to pass on questions of constitutionality ... unless such adjudication is unavoidable." Spector Motor Serv., Inc. v. McLaughlin, 323 U.S. 101, 105, 65 S.Ct. 152, 89 L.Ed. 101 (1944); see United States v. Resendiz-Ponce, 549 U.S. 102, 104, 127 S.Ct. 782, 166 L.Ed.2d 591 (2007); Jean v. Nelson, 472 U.S. 846, 854, 105 S.Ct. 2992, 86 L.Ed.2d 664 (1985); Three Affiliated Tribes of Fort Berthold Reservation v. Wold Eng'g, P.C., 467 U.S. 138, 157, 104 S.Ct. 2267, 81 L.Ed.2d 113 (1984); Ashwander v. TVA, 297 U.S. 288, 346-47, 56 S.Ct. 466, 80 L.Ed. 688 (1936) (Brandeis, J., concurring) ("The Court will not anticipate a question of constitutional law in advance of the necessity of deciding it. It is not the habit of the court to decide questions of a constitutional nature unless absolutely necessary to a decision of the case." (internal quotation marks and citations omitted)). Declining to address an unnecessary constitutional question preserves "the unique place and character, in our scheme, of judicial review of governmental action for constitutionality," and pays heed to "considerations of timeliness and maturity, of concreteness, definiteness, certainty, and of adversity of interests affected." Rescue Army v. Mun. Court, 331 U.S. 549, 571, 573-74, 67 S.Ct. 1409, 91 L.Ed. 1666 (1947). It also avoids "substantial expenditure of scarce judicial resources on difficult questions that have no effect on the outcome of the case." Pearson v. Callahan, 555 U.S. 223, 236-37, 129 S.Ct. 808, 172 L.Ed.2d 565 (2009).
As I see it, applying this rule would be wise here, for several reasons. To start with, we did not have the benefit of any factfinding from the district court that may be pertinent to resolving this issue, since Charles did not object to this testimony. According to at least one court of appeals, the identity of the declarant is a factbound determination that weighs multiple factors, including who provided the interpreter and the interpreter's qualifications. See United States v. Nazemian, 948 F.2d 522, 527-28 (9th Cir.1991). In addition, because of the posture of this case, the government primarily argued that the lack of binding precedent meant that the error was not plain, depriving us of full merits briefing on the underlying constitutional question.
Moreover, this area of law appears to be in some flux. Although the majority relies on the proposition that Crawford wholly severed the link between Confrontation Clause analysis and the rules of evidence
In light of these concerns and the likelihood that an analogous case without the limitations of plain-error review will almost surely reach this Court, I would not decide this Confrontation issue today.
As Crawford instructs, a proper Confrontation Clause analysis does not begin or end with a determination of whether a statement constitutes "impermissible hearsay." Instead, a proper analysis first requires a determination of whether the declarant's statement is "testimonial," i.e. a declaration offered for the purpose of proving some fact to be used at trial, and if so, the Sixth Amendment is satisfied only if the declarant is unavailable and there was a prior opportunity for cross-examination.
Id.
And although we may even agree that there are "other ways — and in some cases better ways — to challenge or verify the results of [the interpretation] .... [t]he Constitution guarantees one way: confrontation. We do not have license to suspend the Confrontation Clause when a preferable trial strategy is available." Melendez-Diaz, 557 U.S. at 318, 129 S.Ct. 2527.
The special concurrence's position is that we should apply this prudential rule of abstention here because a constitutional question is at issue. We do not quarrel with the premise that constitutional avoidance can be compelling in some cases. However, here, the only issue that is even arguably disputed, by the special concurrence or the government, is the identity of the declarant, which certainly does not entail any constitutional inquiry. While we had to clarify the meaning of circuit precedent addressing the admissibility of out-of-court language interpreter statements, and hence could not conclude that the error in this case was plain, none of the analysis about the identity of the interpreter involved any constitutional interpretation. Moreover, as we have more than adequately addressed in this opinion, the Supreme Court's jurisprudence in Crawford, Melendez-Diaz, and Bullcoming unequivocally resolve the constitutional question of what the Confrontation Clause requires when the government seeks to introduce out-of-court testimonial statements through third-party testimony. These cases have rejected (not once, but three times) the hearsay rules' standard of reliability for determining the admissibility under the Confrontation Clause of out-of-court testimonial statements, and instead have mandated cross-examination. That the Supreme Court may still be fleshing out what types of statements are considered "testimonial" is of no moment in this case and certainly does not put its decisions in Crawford, Melendez-Diaz, and Bullcoming in "some flux."
Here, it is prudential and judicially efficient to resolve this question now, providing clarification and guidance to the district courts, government, and defendants who litigate under the circumstances presented in this case. Contrary to the special concurrence's position, there is no fact-finding that a district court would need to make that would aid us in identifying the declarant in this case. Certainly if we had to determine whether the admission of the interpreter's statements was permissible under the rules of evidence, we would need findings on her motive to mislead and competency, but that is not the issue in this case. Likewise, the parties had the opportunity to fully brief all of the elements of the "plain" error standard, including the critical element of whether the admission of the interpreter's statements violated Charles's rights under the Confrontation Clause. That the government chose to focus only on the plain prong of the three-part plain error standard should not preclude us from resolving the appeal before us.