THOMPSON, Circuit Judge.
A jury found defendant Phoeun Lang ("Lang") guilty of making false statements and applying for naturalization in violation of 18 U.S.C. §§ 1001(a)(2) and 1425(b). On appeal, Lang makes the following three arguments: (1) the admission of immigration form N-445 violated his Sixth Amendment right to confrontation, (2) the admission of immigration form N-445 under the public records exception to hearsay was error,
Accompanied by his parents, Lang arrived in the United States in 1985 at age three as a refugee. In time, his status changed and he became a lawful permanent resident. Seeking to become a United States citizen, Lang submitted an Application for Naturalization form, also known as the N-400. Thereafter, on July 18, 2005, Lang went to the Citizenship and Immigration Service's ("CIS") office in South Portland, Maine and under oath, verbally went over the N-400 "question-by-question" with CIS field office director Dorothy Michaud ("Michaud"), a 33 year employee of CIS.
One section of the N-400 asked questions related to an applicant's "good moral character."
With the N-400 application portion of the naturalization process completed satisfactorily, Lang was notified by means of an N-445 form of an upcoming oath ceremony, which he was required to attend. The N-445 also contained a series of questions which Lang had to complete. The purpose of the questions was to confirm that the applicant had maintained good moral character from the completion of the N-400 interview up until the day of the swearing-in ceremony. Question 4 on the N-445 asked, "
Unbeknownst to Michaud, or for that matter any other CIS officer, Lang had distributed cocaine twice in late 2004 and once in early 2005. Consequently, his responses to Questions 15 and 22c on the N-400, which he reviewed with Michaud on July 18, 2005, were false. Similarly, Lang's response to Question 4 on the N-445 was false because on August 8, 2005, in between the N-400 interview and Lang's oath ceremony, Lang had been arrested for distributing cocaine and amphetamines.
Lang was found guilty on all counts. He renewed his motion for judgment of acquittal but was denied.
Lang's first argument on appeal is that the admission of form N-445 violated his constitutional right to confront the witnesses against him. According to Lang, the CIS agent's "statements" in the N-445 form—specifically, the verification checkmarks next to Lang's responses— were admitted to prove that he made false statements to CIS. As such, they were testimonial hearsay requiring that the CIS officer who verified Lang's responses, not Michaud, be present at trial and subject to cross-examination.
This court "review[s] the district court's legal conclusions regarding the Confrontation Clause de novo." United States v. Earle, 488 F.3d 537, 542 (1st Cir.2007). Under this standard, "[i]f a constitutional error has occurred, we must order a new trial unless the government has shown that any error was `harmless' beyond a reasonable doubt." Id.
"The Sixth Amendment's Confrontation Clause confers upon the accused in all criminal prosecutions ... the right ... to be confronted with the witnesses against him." Bullcoming v. New Mexico, ___ U.S. ___, 131 S.Ct. 2705, 2713, 180 L.Ed.2d 610 (2011) (internal quotation marks and citation omitted). In Crawford v. Washington, 541 U.S. 36, 124 S.Ct. 1354, 158 L.Ed.2d 177 (2004), the Supreme Court "held that the Confrontation Clause bars admission of testimonial hearsay in a criminal case unless the declarant is unavailable and the accused has had a prior opportunity for cross-examination." Earle, 488 F.3d at 542 (citing Crawford, 541 U.S. at 68, 124 S.Ct. 1354). Post-Crawford, the Court has "held that the Confrontation Clause applies only to testimonial hearsay." Id. (citing Davis v. Washington, 547 U.S. 813, 823-24, 126 S.Ct. 2266, 165 L.Ed.2d 224 (2006)). Accordingly, when we are faced with a Crawford argument, our analysis includes consideration
Thus far, the Supreme Court has declined to supply "a comprehensive definition of `testimonial.'" Crawford, 541 U.S. at 68, 124 S.Ct. 1354; see also Davis, 547 U.S. at 822, 126 S.Ct. 2266. The Court has, however, provided an illustrative list of the "core class of `testimonial' statements." Crawford, 541 U.S. at 51, 124 S.Ct. 1354. It includes (1) "ex parte in-court testimony or its functional equivalent—that is, material such as affidavits, custodial examinations, prior testimony that the defendant was unable to cross-examine, or similar pretrial statements that declarants would reasonably expect to be used prosecutorially," (2) "extrajudicial statements ... contained in formalized testimonial materials, such as affidavits, depositions, prior testimony, or confessions," and (3) "statements that were made under circumstances which would lead an objective witness reasonably to believe that the statement would be available for use at a later trial." Id. at 51-52, 124 S.Ct. 1354 (internal quotation marks and citation omitted). Besides providing an illustrative list of statements that were "testimonial," the Court acknowledged that certain statements, "by their nature [are] not testimonial—for example, business records or statements in furtherance of a conspiracy[,]" and are therefore exempt from the requirements of the Confrontation Clause. Id. at 56, 124 S.Ct. 1354. Mindful of Crawford's bottom line, this court, in determining whether a statement is "testimonial," inquires whether "an objectively reasonable person in the declarant's shoes would understand that the statement would be used in prosecuting the defendant at trial." Earle, 488 F.3d at 543.
In ruling that the N-445 did not violate the Confrontation Clause and was therefore admissible, the district court stated that, "Crawford ... very explicitly distinguished [business records] as not testimonial." Finding "no distinction" between business records and public records for purposes of the Confrontation Clause, the court concluded that the N-445 form was not testimonial.
According to Agent Michaud, CIS processes thousands of citizenship applications annually and uniformly throughout the United States. Every applicant seeking naturalization must complete form N-445 and a CIS agent must verbally verify with the applicant the accuracy of the applicant's written answers before a final approval for citizenship can be given. The red checkmark next to the applicant's response demonstrates the CIS agent's compliance with the administrative protocol and the form is kept permanently in every applicant's file. That said, we find unpersuasive Lang's suggestion that the red checkmark verification method used by the CIS officer was a testimonial statement and that the N-445 was "primarily to be used in court proceedings." Instead, we are convinced that Lang's N-445 form, like all others similarly generated, was a non-testimonial public record produced as a matter of administrative routine, for the primary purpose of determining Lang's eligibility for naturalization. See discussion infra, Part II.B. Accordingly, "an objectively reasonable person in the [CIS
Furthermore, this court has previously rejected a Confrontation Clause argument regarding the admission of an immigration document. See United States v. García, 452 F.3d 36, 41-42 (1st Cir.2006) (holding that admission of warrant of deportation was not in error because document did not constitute testimonial hearsay under Crawford). A few of our sister circuits have held the same. See United States v. Valdez-Maltos, 443 F.3d 910, 911 (5th Cir. 2006) (warrants of deportation do not constitute testimonial hearsay under Crawford); United States v. Bahena-Cardenas, 411 F.3d 1067, 1074-75 (9th Cir.2005) (same), cert. denied, 547 U.S. 1056, 126 S.Ct. 1652, 164 L.Ed.2d 398 (2006); United States v. Cantellano, 430 F.3d 1142, 1145 (11th Cir.2005) (warrant of deportation not testimonial because it was "recorded routinely and not in preparation for a criminal trial") (citation and internal quotation marks omitted); United States v. Quezada, 754 F.2d 1190, 1194 (5th Cir.1985) (holding that a warrant of deportation was reliable and admissible because the official preparing the warrant had no motivation to do anything other than "mechanically register an unambiguous factual matter"). Because the N-445 form was not testimonial, its admission did not violate Lang's constitutional right to confrontation. There was no error.
Having decided that Lang's constitutional right to confrontation was not violated by the admission of the N-445 form we move on to address Lang's second challenge, whether admission of the form nonetheless violated the Federal Rules of Evidence proscription against hearsay. See, e.g., Bullcoming, 131 S.Ct. at 2720 (Sotomayor, J., concurring) (quoting Michigan v. Bryant, ___ U.S. ___, 131 S.Ct. 1143, 1155, 179 L.Ed.2d 93 (2011) ("When the primary purpose of a statement is not to create a record for trial the admissibility of [the] statement is the concern of state and federal rules of evidence, not the Confrontation Clause.") (internal quotation marks omitted)); see also Davis, 547 U.S. at 821, 126 S.Ct. 2266 ("It is the testimonial character of the statement that separates it from other hearsay, that while subject to traditional limitations upon hearsay evidence, is not subject to the Confrontation Clause.").
Lang challenges the district court's admission of form N-445 under Fed. R.Evid. 803(8)—the public records exception to hearsay. We review the legal interpretation of a rule of evidence de novo, but the decision to admit or exclude evidence is reviewed for an abuse of discretion. See United States v. Dowdell, 595 F.3d 50, 70 (1st Cir.2010).
Generally speaking, the Federal Rules of Evidence preclude the use of hearsay at trial. Hearsay is defined as a "statement that: (1) the declarant does not make while testifying at the current trial or hearing; and (2) a party offers in evidence to prove the truth of the matter asserted in the statement." Fed.R.Evid. 801(c). Nonetheless, Rule 803(8) provides an exception to this general rule and permits the admission of public records and reports. Two principal justifications for the
There is one final piece to Rule 803(8). Though it is an exception to the general rule against hearsay, the rule itself contains an exclusion, sometimes referred to as the law enforcement exception, which precludes the admission of public records in criminal cases for matters observed by police officers and other law enforcement personnel. See Fed.R.Evid. 803(8)(A)(ii).
Lang contends that form N-445 should not have been admitted at trial because it falls under this exception.
Assuming arguendo that Michaud's status as a CIS agent was equivalent to that of a law enforcement officer, an issue we need not decide, the present case concerns the introduction of documents related to an administrative proceeding for purposes of determining qualifications for naturalization. That said, we cannot agree with Lang's contention that "[t]here is no difference between the certifications of drug weight and drug identification [at issue in Melendez-Diaz] and the [N-445 form] offered by the Government in [this] case." To the contrary, we think there is a grave difference. The Court in Melendez-Diaz made it painstakingly clear that "the analysts' certificates—like police reports generated by law enforcement officials—do not qualify as business or public records" because they are generated primarily for
Furthermore, this court, as well as several of our sister courts, has distinguished between documents produced in an "adversarial" setting and those produced "in a routine non-adversarial setting" for purposes of Rule 803(8)(A)(ii). Dowdell, 595 F.3d at 70 (internal quotation marks and citation omitted). In so doing, we announced that,
Id. (citation omitted). The circumstances presented here certainly are not the "adversarial circumstances which might render a law enforcement officer's observations unreliable." Id. (quoting United States v. Union Nacional de Trabajadores, 576 F.2d 388, 391 (1st Cir.1978) (internal quotation marks omitted)). Instead, form N-445 is "ministerial, non-adversarial information" and is therefore "admissible under Rule 803(8)[(A)(ii)], notwithstanding its documentation at the hands of law enforcement personnel." Id. at 72. While it is true that criminal charges can result, if, as is the case here, false evidence is elicited on the form, criminal charges are not the primary purpose of the administrative proceedings surrounding an application for naturalization. There was no abuse of discretion.
Having determined that form N-445 was properly admitted under the public records exception to the hearsay rule, we now move on to Lang's third and final argument.
Lang's final argument is that he was unfairly prejudiced by the government's repeated reference at trial to his prior conviction for selling cocaine. Generally, we review a trial court's ruling regarding unfair prejudice for abuse of discretion. United States v. Bartelho, 71 F.3d 436, 443-44 (1st Cir.1995). However, because Lang failed to make any objection at trial, our review is only for plain error. See United States v. Walker, 665 F.3d 212, 229-30 (1st Cir.2011). Under this exacting standard, Lang "must show (1) that an error occurred (2) which was clear or obvious and which not only (3) affected [his] substantial rights, but also (4) seriously impaired the fairness, integrity, or public reputation of judicial proceedings." Id. (internal quotation marks and citation omitted).
During its opening, the government made approximately eleven references to Lang's involvement with cocaine.
To begin, Old Chief is inapposite to the facts here. In fact, the Court made clear that its decision in Old Chief was "limited to cases involving proof of felon status." Id. at 183 n. 7, 117 S.Ct. 644. This is not that type of case. Instead, here we are faced with charges of making a "false material statement" to DHS and "unlawfully applying for and obtaining naturalization." Additionally, unlike the defendant in Old Chief, Lang's status as a convicted drug felon was not an element of the charged offense. Cf. Old Chief 519 U.S. at 174-176, 117 S.Ct. 644. Rather, the relevant question presented to the jury was whether Lang intentionally lied about engaging in, and being arrested for, crimes that would render him ineligible for naturalization. Consequently, Lang's readiness to stipulate that he had been convicted of distributing cocaine failed to render unnecessary proof that he knowingly lied about his involvement with drugs at the time he confirmed the accuracy of forms N-400 and N-445. There was no error, much less plain error.
For the reasons set forth above the admission of the N-445 did not violate Lang's right to confrontation, the district court did not abuse its discretion in admitting