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DAVIS v. ALASKA
Factual and Procedural Background
In the early morning hours of February 16, 1970, the Polar Bar in Anchorage, Alaska, was closed with well over a thousand dollars in cash and checks stored in a Mosler safe. By midday the same day, it was discovered that the bar had been broken into and the safe, approximately two feet square and weighing several hundred pounds, had been removed.
Later that afternoon, Alaska State Troopers were informed that a safe had been found about 26 miles outside Anchorage near the home of Jess Straight and his family. The safe, which had been pried open and emptied, was later identified as the one stolen from the Polar Bar. Richard Green, Straight’s stepson, told investigating officers that around noon on February 16 he saw and spoke with two Black men standing next to a late-model metallic blue Chevrolet sedan parked near the location where the safe was later discovered.
The next day, Anchorage police brought Green to the station and showed him six photographs of adult Black males. After looking at them for 30 seconds to a minute, Green identified the petitioner as one of the men he had seen. The petitioner was arrested on February 18, and on February 19 Green again identified him in a lineup of seven Black males. At trial, the State introduced physical evidence that paint chips in the trunk of petitioner’s rented blue Chevrolet could have come from the stolen safe, and that safe insulation in the trunk matched the insulation of the Mosler safe taken from the Polar Bar.
Green was a crucial prosecution witness. He testified that, while on an errand for his mother, he encountered two men standing beside a late-model metallic blue Chevrolet near his home. One man, standing at the rear of the car, spoke with him and asked if he lived nearby and if his father was home. Green offered help, which was declined. On his return, Green again passed the two men and observed the same man at the rear of the car holding “something like a crowbar.” At trial, Green identified the petitioner as that man. The safe was later found at the spot where Green said the car had been parked.
At the time of the events and at the time of trial, Green was on probation pursuant to a juvenile court adjudication of delinquency for burglarizing two cabins. He was 16 at the time of the Polar Bar burglary and 17 at the time of trial. Before Green testified, the prosecutor moved for a protective order to prevent the defense from referring to Green’s juvenile record during cross-examination. The trial court granted the motion, relying on Alaska Rule of Children’s Procedure 23 and Alaska Stat. § 47.10.080(g), both of which protect the use and disclosure of juvenile adjudications and juvenile court evidence in later proceedings.
Defense counsel opposed the order, stating that he did not seek to use Green’s juvenile adjudication as a general attack on his character for truthfulness. Instead, counsel wished to show that Green, while on probation for burglary, might have been biased or under pressure when he assisted the police, out of fear that he could be suspected of the Polar Bar crime or that his probation might be jeopardized. The defense theory was that Green might have made a rushed or inaccurate identification to shift suspicion away from himself or might have responded to police pressure because of his vulnerable probationary status.
Because of the protective order, defense counsel was barred from revealing that Green was on juvenile probation for burglary when he first identified the petitioner. Counsel nevertheless attempted to probe Green’s state of mind through more general questions. Green denied being upset or uncomfortable about the safe being found near his home and initially denied thinking the police might suspect him, though he eventually admitted that the possibility had crossed his mind. When counsel questioned whether Green had ever been similarly interrogated by law enforcement before, Green answered “No,” and the trial court sustained the prosecutor’s objection, cutting off further questioning along that line. The opinion notes that this answer was “highly suspect,” given the likelihood that Green had been questioned when arrested on the burglaries underlying his juvenile adjudication, and that the court’s ruling effectively shielded him from meaningful challenge on this point.
The jury convicted the petitioner of grand larceny and burglary. On appeal, the Alaska Supreme Court affirmed the convictions, concluding that it need not resolve any conflict between the Confrontation Clause and the State’s policy of juvenile confidentiality because, in its view, defense counsel had been able adequately to question Green in “considerable detail” about possible bias or motive. The Alaska court acknowledged that Green’s denials of anxiety or apprehension might be self-serving but held that the suggestion of possible bias was nonetheless presented to the jury, which could observe Green’s demeanor and judge his credibility. It therefore found no error in the trial court’s restrictions on cross-examination. In the same opinion, the Alaska court also affirmed a separate conviction of the petitioner for being a felon in possession of a concealable firearm, but that conviction was not before the United States Supreme Court.
The United States Supreme Court granted certiorari, limited to the question whether the petitioner had been denied his right under the Confrontation Clause to adequately cross-examine Green. The Court ultimately reversed the Alaska Supreme Court’s judgment and remanded for further proceedings not inconsistent with its opinion.
Legal Issues Presented
- Whether the Confrontation Clause of the Sixth Amendment, as applied to the States through the Fourteenth Amendment, requires that a criminal defendant be allowed to impeach the credibility of a prosecution witness by cross-examining him about possible bias arising from his status as a juvenile probationer, when such impeachment conflicts with the State’s interest in preserving the confidentiality of juvenile adjudications.
- Whether, in this case, the limited scope of cross-examination permitted by the trial court was “adequate” to satisfy the defendant’s constitutional right to confront the witness against him.
Arguments of the Parties
Petitioner's Arguments
- Defense counsel stated that he did not seek to use Green’s juvenile adjudication as a general attack on his character for truthfulness, but specifically to show bias and motive stemming from Green’s probationary status for burglary at the time he assisted the police.
- The defense theory was that, because Green was on probation for burglaries when the Polar Bar safe was found near his home, he might have feared being suspected of the crime or having his probation revoked, and thus might have made a hasty or inaccurate identification of the petitioner to divert suspicion from himself.
- Counsel also posited that Green might have been subject to undue police pressure and that his identifications could have been made under fear of possible probation revocation.
- The defense argued that Green’s probation status and juvenile adjudication needed to be disclosed only to the extent necessary to probe his potential bias and prejudice, not to mount a general attack on his character.
- On review, the petitioner contended that the trial court’s restrictions denied him effective cross-examination of a crucial identification witness, in violation of the Sixth and Fourteenth Amendments.
State's Arguments
- At trial, the State moved for a protective order preventing any reference to Green’s juvenile record, relying on Alaska Rule of Children’s Procedure 23 and Alaska Stat. § 47.10.080(g), which bar the use of juvenile adjudications and juvenile court evidence in subsequent proceedings.
- The prosecutor objected to the defense’s attempted questioning as a “carry-on with rehash of the same thing,” asserting that defense counsel was improperly trying to plant suggestions in the minds of the jurors.
- Before the Supreme Court, the State argued that it has an important policy interest in protecting the anonymity of juvenile offenders and that this interest outweighs the petitioner’s competing interest in cross-examining Green about his probationary status.
- The State contended that disclosing a juvenile’s delinquency record could impair the rehabilitative goals of juvenile correctional procedures, possibly encouraging further delinquency or causing the juvenile to lose employment opportunities or suffer other unnecessary consequences for youthful transgressions.
- The State therefore maintained that limiting cross-examination to exclude Green’s juvenile record was justified by its confidentiality policy and did not unconstitutionally impair the defense.
Table of Precedents Cited
| Precedent | Rule or Principle Cited For | Application by the Court |
|---|---|---|
| Pointer v. Texas, 380 U.S. 400 (1965) | The Sixth Amendment right “to be confronted with the witnesses against him” is secured for defendants in state as well as federal criminal proceedings. | Cited to establish that the Confrontation Clause governs this state criminal prosecution. |
| Douglas v. Alabama, 380 U.S. 415 (1965) | At 418, that a primary interest secured by the Confrontation Clause is the right of cross-examination; at 419, recognition that testimony providing “a crucial link in the proof” against a defendant heightens the importance of effective confrontation. | Used to emphasize that confrontation entails more than physical presence and that Green’s testimony furnished a “crucial link” in the State’s proof, thereby underscoring the need for effective cross-examination. |
| Greene v. McElroy, 360 U.S. 474 (1959) | Recognizes that exposing a witness’ motivation in testifying is a proper and important function of the constitutionally protected right of cross-examination. | Invoked to support the principle that exploring possible bias, prejudice, or ulterior motives of a witness is central to confrontation protections. |
| Alford v. United States, 282 U.S. 687 (1931) | Holds that a defendant has the right to show that a witness’ testimony may be biased because it is given under promise or expectation of immunity or under the coercive effect of detention; also states that courts are not obliged to protect a witness from being discredited on cross-examination, short of shielding him from harassment or questions invading the privilege against self-incrimination. | Relied on to support the admissibility of inquiry into Green’s vulnerable status as a probationer as a basis for inferring possible undue pressure and bias, and to reject the notion that the court must protect a witness from the embarrassment of such impeachment. |
| Smith v. Illinois, 390 U.S. 129 (1968) | At 132–133, notes reliance on Alford in reversing a state conviction on confrontation grounds; at 131, quotes Brookhart v. Janis for the proposition that denial of effective cross-examination “would be constitutional error of the first magnitude and no amount of showing of want of prejudice would cure it.” | Cited to characterize the denial of effective cross-examination as a fundamental constitutional error not subject to cure by showing lack of prejudice, and to reinforce the constitutional dimension of the Court’s reliance on Alford. |
| Brookhart v. Janis, 384 U.S. 1 | Stands for the proposition that denial of effective cross-examination is “constitutional error of the first magnitude and no amount of showing of want of prejudice would cure it.” | Quoted (through Smith v. Illinois) to underscore that once a denial of effective cross-examination is found, it is not excused by arguments that the error was harmless. |
| In re Gault, 387 U.S. 1 (1967) | Recognizes a State’s policy interest in preserving the anonymity of juvenile offenders. | Cited by way of comparison to acknowledge, without disputing, the legitimacy of the State’s interest in juvenile confidentiality, before holding that the confrontation right is paramount in the circumstances of this case. |
| 410 U.S. 925 (1973) | An order granting certiorari limited to the question whether the petitioner was denied his right under the Confrontation Clause to adequately cross-examine Green. | Referenced to show that the Supreme Court’s review was confined to assessing the adequacy of the cross-examination permitted under the Confrontation Clause. |
| 499 P.2d 1025 (1972) | The Alaska Supreme Court decision affirming the petitioner’s convictions, concluding that defense counsel had been able adequately to question Green about possible bias or motive and that no error arose from limiting cross-examination. | Described as the judgment under review; the United States Supreme Court disagreed with its evaluation of the Confrontation Clause issue and reversed. |
Court's Reasoning and Analysis
The Court began by reaffirming that the Sixth Amendment guarantees an accused the right “to be confronted with the witnesses against him,” and that this right applies in state criminal trials. Confrontation, the Court explained, encompasses more than the mere physical presence of the witness; the primary interest it protects is the opportunity for cross-examination. Citing prior decisions and treatise authority, the Court described cross-examination as the principal means of testing both a witness’ believability and the truth of his testimony.
The Court distinguished between two forms of impeachment: (1) general attacks on credibility through evidence of prior criminal convictions, which invite an inference about the witness’ character for truthfulness, and (2) more particular attacks directed at revealing possible bias, prejudice, or ulterior motives as they relate to the issues or personalities in the case. The Court emphasized that a witness’ partiality is “always relevant” as bearing on the weight of his testimony and that exposing the witness’ motivation is a proper and important function of the constitutionally protected right of cross-examination.
In this case, defense counsel sought specifically to show possible bias and prejudice on Green’s part, arguing that his initial identification of the petitioner—and, by extension, his in-court identification—might have been influenced by concern for his own status as a juvenile probationer for burglaries and his possible exposure as a suspect in the Polar Bar burglary. The Court accepted that this was a legitimate and admissible line of reasoning to lay before the jury, both as a basis for inferring that Green might have been under undue pressure because of his probationary status and as evidence of his possible concern that he could be a suspect in the investigation.
The Court declined to speculate on how the jury would have ultimately evaluated this theory had it been fully presented. It held, however, that the jurors were entitled to hear the defense theory supported by the underlying facts—Green’s juvenile adjudication for burglary and his probationary status—so that they could make an informed judgment about the weight to accord his testimony, which provided a “crucial link” in the State’s proof.
Turning to the adequacy of the cross-examination allowed, the Court rejected the Alaska Supreme Court’s conclusion that the defense had been sufficiently permitted to explore possible bias. While defense counsel was permitted to ask Green in general whether he felt upset or suspected, the Court emphasized that counsel was barred from developing the factual basis—Green’s juvenile probation and prior burglary adjudication—from which he could argue why Green might be biased. Without those facts, the jury might view the interrogation as speculative or as a mere “rehash,” as the prosecutor characterized it, and might see Green as an “apparently blameless witness.”
The opinion identified Green’s categorical denial that he had ever previously been questioned by law enforcement as illustrating the “tension” created by the protective order. Given that Green had presumably been questioned in connection with the burglaries underlying his juvenile adjudication, the Court found his answer “highly suspect.” In effect, the witness, “under protection of the trial court’s ruling,” was permitted to give a questionably truthful answer to a relevant line of inquiry, likely bolstered by his belief that his juvenile record could not be exposed on cross-examination. This scenario, the Court observed, “would be difficult to conceive” as a clearer illustration of the need for full cross-examination.
On these facts, the Court held that effective inquiry into bias required allowing the defense to bring out Green’s probationary status and juvenile adjudication. Because defense counsel was prevented from doing so, the petitioner was denied effective cross-examination. Relying on prior decisions, the Court characterized this denial as “constitutional error of the first magnitude” not curable by attempts to show lack of actual prejudice.
The Court then addressed the State’s asserted interest in maintaining the confidentiality of juvenile offenders. It acknowledged, by reference to prior authority, that a State may have a legitimate policy interest in preserving the anonymity of juvenile records to further rehabilitative goals and prevent future harm to the juvenile. The State argued that disclosure might impair those goals by encouraging further delinquency or causing loss of employment opportunities and other unnecessary consequences.
The Court did “not and need not challenge” that state policy in the abstract. However, it emphasized that in this setting the petitioner sought to use Green’s juvenile record not to stigmatize him generally, but to demonstrate potential bias in the testimony of a “crucial identification witness.” The Court concluded that, where those interests conflict, “the right of confrontation is paramount to the State’s policy of protecting a juvenile offender.” Whatever temporary embarrassment might result to Green or his family from disclosure of his juvenile record, if the prosecution insisted on using him as a key witness, was outweighed by the defendant’s right to probe for possible bias.
Drawing an analogy to Alford v. United States, the Court reiterated that there is no obligation on a trial court to protect a witness from being discredited on cross-examination, except as necessary to shield him from harassment, annoyance, humiliation, or violation of his privilege against self-incrimination. It concluded that, as in Alford, the State’s desire that Green fulfill his public duty to testify without embarrassment or damage to his reputation “must fall before the right of petitioner to seek out the truth in the process of defending himself.”
The Court further noted that the State could have protected Green’s confidentiality interest in another way—by declining to call him as a witness to make out its case. What the State could not do, consistent with the Confrontation Clause, was to place Green at the center of its prosecution while simultaneously preventing the defense from exposing facts essential to an inquiry into his possible bias. Because the State imposed on the petitioner “the full burden of vindicating the State’s interest in the secrecy of juvenile criminal records,” the Court held that the constitutional right to effective cross-examination had been violated.
Justice Stewart concurred, emphasizing that the Court’s holding was limited to the circumstances of this case and the need to show possible bias. He underscored that the Court neither held nor suggested that the Constitution grants a right in every case to impeach a witness’ general credibility by inquiring into past delinquency adjudications or criminal convictions.
Justice White, joined by Justice Rehnquist, dissented. He viewed the case as presenting no constitutional issue, but rather an ordinary exercise of trial-court discretion in limiting cross-examination, with the state appellate court’s affirmance reflecting a typical conclusion that the limitation caused no substantial harm to the defense. He criticized the majority for “second-guessing” the state courts and effectively inviting federal review of routine evidentiary rulings on cross-examination. In his view, the Court was ill-suited to improve upon the judgment of trial and state appellate courts on such fact-bound matters, and he would have affirmed the judgment.
Holding and Implications
Holding: The Court held that the petitioner was denied his right of confrontation under the Sixth and Fourteenth Amendments when the trial court, pursuant to state juvenile confidentiality provisions, barred cross-examination of Richard Green about his juvenile delinquency adjudication for burglary and his probationary status at the time of the events in question. The restriction prevented the defense from effectively probing Green’s possible bias, rendering the cross-examination constitutionally inadequate. Accordingly, the judgment of the Alaska Supreme Court affirming the petitioner’s convictions for burglary and grand larceny is REVERSED, and the case is REMANDED for further proceedings not inconsistent with the Court’s opinion.
Implications: The decision establishes that, in circumstances where a prosecution witness’ juvenile court record and probationary status may provide a significant basis for inferring bias or undue pressure, the defendant’s right to effective cross-examination under the Confrontation Clause takes precedence over a State’s policy of preserving the confidentiality of juvenile adjudications. The State may not both rely on such a witness to supply a crucial link in its proof and, at the same time, prevent the defense from exposing those specific facts necessary to test the witness’ impartiality. The ruling directly affects the parties by vacating the petitioner’s convictions for burglary and grand larceny and requiring further proceedings consistent with the recognition of his confrontation right. The separate conviction for being a felon in possession of a concealable firearm was not before the Court and is unaffected by this decision.
Petitioner was convicted of grand larceny and burglary following a trial in which the trial court on motion of the prosecution issued a protective order prohibiting questioning Green, a key prosecution witness, concerning Green's adjudication as a juvenile delinquent relating to a burglary and his probation status at the time of the events as to which he was to testify. The trial court's order was based on state provisions protecting the anonymity of juvenile offenders. The Alaska Supreme Court affirmed. Held: Petitioner was denied his right of confrontation of witnesses under the Sixth and Fourteenth Amendments. Pp. 315-321.
(a) The defense was entitled to attempt to show that Green was biased because of his vulnerable status as a probationer and his concern that he might be a suspect in the burglary charged against petitioner, and limiting the cross-examination of Green precluded the defense from showing his possible bias. Pp. 315-318.
(b) Petitioner's right of confrontation is paramount to the State's policy of protecting juvenile offenders and any temporary embarrassment to Green by disclosure of his juvenile court record and probation status is outweighed by petitioner's right effectively to cross-examine a witness. Pp. 319-320.499 P.2d 1025, reversed and remanded.
BURGER, C. J., delivered the opinion of the Court, in which DOUGLAS, BRENNAN, STEWART, MARSHALL, BLACKMUN, and POWELL, JJ., joined. STEWART, J., filed a concurring statement, post, p. 321. WHITE, J., filed a dissenting opinion, in which REHNQUIST, J., joined, post, p. 321.
MR. CHIEF JUSTICE BURGER delivered the opinion of the Court.
We granted certiorari in this case to consider whether the Confrontation Clause requires that a defendant in a criminal case be allowed to impeach the credibility of a prosecution witness by cross-examination directed at possible bias deriving from the witness' probationary status as a juvenile delinquent when such an impeachment would conflict with a State's asserted interest in preserving the confidentiality of juvenile adjudications of delinquency.
(1)
When the Polar Bar in Anchorage closed in the early morning hours of February 16, 1970, well over a thousand dollars in cash and checks was in the bar's Mosler safe. About midday, February 16, it was discovered that the bar had been broken into and the safe, about two feet square and weighing several hundred pounds, had been removed from the premises.
Later that afternoon the Alaska State Troopers received word that a safe had been discovered about 26 miles outside Anchorage near the home of Jess Straight and his family. The safe, which was subsequently determined to be the one stolen from the Polar Bar, had been pried open and the contents removed. Richard Green, Jess Straight's stepson, told investigating troopers on the scene that at about noon on February 16 he had seen and spoken with two Negro men standing alongside a late-model metallic blue Chevrolet sedan near where the safe was later discovered. The next day Anchorage police investigators brought him to the police station where Green was given six photographs of adult Negro males. After examining the photographs for 30 seconds to a minute, Green identified the photograph of petitioner as that of one of the men he had encountered the day before and described to the police. Petitioner was arrested the next day, February 18. On February 19, Green picked petitioner out of a lineup of seven Negro males.
At trial, evidence was introduced to the effect that paint chips found in the trunk of petitioner's rented blue Chevrolet could have originated from the surface of the stolen safe. Further, the trunk of the car contained particles which were identified as safe insulation characteristic of that found in Mosler safes. The insulation found in the trunk matched that of the stolen safe.
Richard Green was a crucial witness for the prosecution. He testified at trial that while on an errand for his mother he confronted two men standing beside a late-model metallic blue Chevrolet, parked on a road near his family's house. The man standing at the rear of the car spoke to Green asking if Green lived nearby and if his father was home. Green offered the men help, but his offer was rejected. On his return from the errand Green again passed the two men and he saw the man with whom he had had the conversation standing at the rear of the car with "something like a crowbar" in his hands. Green identified petitioner at the trial as the man with the "crowbar." The safe was discovered later that afternoon at the point, according to Green, where the Chevrolet had been parked.
Before testimony was taken at the trial of petitioner, the prosecutor moved for a protective order to prevent any reference to Green's juvenile record by the defense in the course of cross-examination. At the time of the trial and at the time of the events Green testified to, Green was on probation by order of a juvenile court after having been adjudicated a delinquent for burglarizing two cabins. Green was 16 years of age at the time of the Polar Bar burglary, but had turned 17 prior to trial.
In opposing the protective order, petitioner's counsel made it clear that he would not introduce Green's juvenile adjudication as a general impeachment of Green's character as a truthful person but, rather, to show specifically that at the same time Green was assisting the police in identifying petitioner he was on probation for burglary. From this petitioner would seek to show — or at least argue — that Green acted out of fear or concern of possible jeopardy to his probation. Not only might Green have made a hasty and faulty identification of petitioner to shift suspicion away from himself as one who robbed the Polar Bar, but Green might have been subject to undue pressure from the police and made his identifications under fear of possible probation revocation. Green's record would be revealed only as necessary to probe Green for bias and prejudice and not generally to call Green's good character into question.
The trial court granted the motion for a protective order, relying on Alaska Rule of Children's Procedure 23, and Alaska Stat. § 47.10.080(g) (1971).
Rule 23 provides:
"No adjudication, order, or disposition of a juvenile case shall be admissible in a court not acting in the exercise of juvenile jurisdiction except for use in a presentencing procedure in a criminal case where the superior court, in its discretion, determines that such use is appropriate."
Section 47.10.080(g) provides in pertinent part:
"The commitment and placement of a child and evidence given in the court are not admissible as evidence against the minor in a subsequent case or proceedings in any other court . . . ."
Although prevented from revealing that Green had been on probation for the juvenile delinquency adjudication for burglary at the same time that he originally identified petitioner, counsel for petitioner did his best to expose Green's state of mind at the time Green discovered that a stolen safe had been discovered near his home. Green denied that he was upset or uncomfortable about the discovery of the safe. He claimed not to have been worried about any suspicions the police might have been expected to harbor against him, though Green did admit that it crossed his mind that the police might have thought he had something to do with the crime.
Defense counsel cross-examined Green in part as follows:
"Q. Were you upset at all by the fact that this safe was found on your property?
"A. No, sir.
"Q. Did you feel that they might in some way suspect you of this?
"A. No.
"Q. Did you feel uncomfortable about this though?
"A. No, not really.
"Q. The fact that a safe was found on your property?
"A. No.
"Q. Did you suspect for a moment that the police might somehow think that you were involved in this?
"A. I thought they might ask a few questions is all.
"Q. Did that thought ever enter your mind that you — that the police might think that you were somehow connected with this?
. . . . .
"A. No, it didn't really bother me, no.
"Q. Well, but . . . .
"A. I mean, you know, it didn't — it didn't come into my mind as worrying me, you know.
"Q. That really wasn't — wasn't my question, Mr. Green. Did you think that — not whether it worried you so much or not, but did you feel that there was a possibility that the police might somehow think that you had something to do with this, that they might have that in their mind, not that you . . . .
"A. That came across my mind, yes, sir.
"Q. That did cross your mind?
"A. Yes.
"Q. So as I understand it you went down to the — you drove in with the police in — in their car from mile 25, Glenn Highway down to the city police station?
"A. Yes, sir.
"Q. And then went into the investigators' room with Investigator Gray and Investigator Weaver?
"A. Yeah.
"Q. And they started asking you questions about — about the incident, is that correct?
"A. Yeah.
"Q. Had you ever been questioned like that before by any law enforcement officers?
"A. No.
"MR. RIPLEY: I'm going to object to this, Your Honor, it's a carry-on with rehash of the same thing. He's attempting to raise in the jury's mind . . . .
"THE COURT: I'll sustain the objection."
Since defense counsel was prohibited from making inquiry as to the witness' being on probation under a juvenile court adjudication. Green's protestations of unconcern over possible police suspicion that he might have had a part in the Polar Bar burglary and his categorical denial of ever having been the subject of any similar law-enforcement interrogation went unchallenged. The tension between the right of confrontation and the State's policy of protecting the witness with a juvenile record is particularly evident in the final answer given by the witness. Since it is probable that Green underwent some questioning by police when he was arrested for the burglaries on which his juvenile adjudication of delinquency rested, the answer can be regarded as highly suspect at the very least. The witness was in effect asserting, under protection of the trial court's ruling, a right to give a questionably truthful answer to a cross-examiner pursuing a relevant line of inquiry; it is doubtful whether the bold "No" answer would have been given by Green absent a belief that he was shielded from traditional cross-examination. It would be difficult to conceive of a situation more clearly illustrating the need for cross-examination. The remainder of the cross-examination was devoted to an attempt to prove that Green was making his identification at trial on the basis of what he remembered from his earlier identifications at the photographic display and lineup, and not on the basis of his February 16 confrontation with the two men on the road.
The Alaska Supreme Court affirmed petitioner's conviction, concluding that it did not have to resolve the potential conflict in this case between a defendant's right to a meaningful confrontation with adverse witnesses and the State's interest in protecting the anonymity of a juvenile offender since "our reading of the trial transcript convinces us that counsel for the defendant was able adequately to question the youth in considerable detail concerning the possibility of bias or motive." 499 P.2d 1025, 1036 (1972). Although the court admitted that Green's denials of any sense of anxiety or apprehension upon the safe's being found close to his home were possibly self-serving, "the suggestion was nonetheless brought to the attention of the jury, and that body was afforded the opportunity to observe the demeanor of the youth and pass on his credibility." Ibid. The court concluded that, in light of the indirect references permitted, there was no error.
In the same opinion the Alaska Supreme Court also affirmed petitioner's conviction, following a separate trial, for being a felon in possession of a concealable firearm. That conviction is not in issue before this Court.
Since we granted certiorari limited to the question of whether petitioner was denied his right under the Confrontation Clause to adequately cross-examine Green, 410 U.S. 925 (1973), the essential question turns on the correctness of the Alaska court's evaluation of the "adequacy" of the scope of cross-examination permitted. We disagree with that court's interpretation of the Confrontation Clause and we reverse.
(2)
The Sixth Amendment to the Constitution guarantees the right of an accused in a criminal prosecution "to be confronted with the witnesses against him." This right is secured for defendants in state as well as federal criminal proceedings under Pointer v. Texas, 380 U.S. 400 (1965). confrontation means more than being allowed to confront the witness physically. "Our cases construing the [confrontation] clause hold that a primary interest secured by it is the right of cross-examination." Douglas v. Alabama, 380 U.S. 415, 418 (1965). Professor Wigmore stated:
"The main and essential purpose of confrontation is to secure for the opponent the opportunity of cross-examination. The opponent demands confrontation, not for the idle purpose of gazing upon the witness, or of being gazed upon by him, but for the purpose of cross-examination, which cannot be had except by the direct and personal putting of questions and obtaining immediate answers." 5 J. Wigmore, Evidence § 1395, p. 123 (3d ed. 1940). (Emphasis in original.)
Cross-examination is the principal means by which the believability of a witness and the truth of his testimony are tested. Subject always to the broad discretion of a trial judge to preclude repetitive and unduly harassing interrogation, the cross-examiner is not only permitted to delve into the witness' story to test the witness' perceptions and memory, but the cross-examiner has traditionally been allowed to impeach, i. e., discredit, the witness. One way of discrediting the witness is to introduce evidence of a prior criminal conviction of that witness. By so doing the cross-examiner intends to afford the jury a basis to infer that the witness' character is such that he would be less likely than the average trustworthy citizen to be truthful in his testimony. The introduction of evidence of a prior crime is thus a general attack on the credibility of the witness. A more particular attack on the witness' credibility is effected by means of cross-examination directed toward revealing possible biases, prejudices, or ulterior motives of the witness as they may relate directly to issues or personalities in the case at hand. The partiality of a witness is subject to exploration at trial, and is "always relevant as discrediting the witness and affecting the weight of his testimony." 3A J. Wigmore, Evidence § 940, p. 775 (Chadbourn rev. 1970). We have recognized that the exposure of a witness' motivation in testifying is a proper and important function of the constitutionally protected right of cross-examination. Greene v. McElroy, 360 U.S. 474, 496 (1959).
In Greene we stated:
"Certain principles have remained relatively immutable in our jurisprudence. One of these is that where governmental action seriously injures an individual, and the reasonableness of the action depends on fact findings, the evidence used to prove the Government's case must be disclosed to the individual so that he has an opportunity to show that it is untrue. While this is important in the case of documentary evidence, it is even more important where the evidence consists of the testimony of individuals whose memory might be faulty or who, in fact, might be perjurers or persons motivated by malice, vindictiveness, intolerance, prejudice, or jealousy. We have formalized these protections in the requirements of confrontation and cross-examination . . . ." 360 U.S., at 496.
In the instant case, defense counsel sought to show the existence of possible bias and prejudice of Green, causing him to make a faulty initial identification of petitioner, which in turn could have affected his later in-court identification of petitioner.
"[A] partiality of mind at some former time may be used as the basis of an argument to the same state at the time of testifying; though the ultimate object is to establish partiality at the time of testifying." 3A J. Wigmore, Evidence § 940. p. 776 (Chadbourn rev. 1970). (Emphasis in original; footnotes omitted.)
We cannot speculate as to whether the jury, as sole judge of the credibility of a witness, would have accepted this line of reasoning had counsel been permitted to fully present it. But we do conclude that the jurors were entitled to have the benefit of the defense theory before them so that they could make an informed judgment as to the weight to place on Green's testimony which provided "a crucial link in the proof . . . of petitioner's act." Douglas v. Alabama, 380 U.S., at 419. The accuracy and truthfulness of Green's testimony were key elements in the State's case against petitioner. The claim of bias which the defense sought to develop was admissible to afford a basis for an inference of undue pressure because of Green's vulnerable status as a probationer, cf. Alford v. United States, 282 U.S. 687 (1931), as well as of Green's possible concern that he might be a suspect in the investigation.
Although Alford involved a federal criminal trial and we reversed because of abuse of discretion and prejudicial error, the constitutional dimension of our holding in Alford is not in doubt. In Smith v. Illinois, 390 U.S. 129, 132-133 (1968), we relied, in part, on Alford to reverse a state criminal conviction on confrontation grounds.
We cannot accept the Alaska Supreme Court's conclusion that the cross-examination that was permitted defense counsel was adequate to develop the issue of bias properly to the jury. While counsel was permitted to ask Green whether he was biased, counsel was unable to make a record from which to argue why Green might have been biased or otherwise lacked that degree of impartiality expected of a witness at trial. On the basis of the limited cross-examination that was permitted, the jury might well have thought that defense counsel was engaged in a speculative and baseless line of attack on the credibility of an apparently blameless witness or, as the prosecutor's objection put it, a "rehash" of prior cross-examination. On these facts it seems clear to us that to make any such inquiry effective, defense counsel should have been permitted to expose to the jury the facts from which jurors, as the sole triers of fact and credibility, could appropriately draw inferences relating to the reliability of the witness. Petitioner was thus denied the right of effective cross-examination which "`would be constitutional error of the first magnitude and no amount of showing of want of prejudice would cure it.' Brookhart v. Janis, 384 U.S. 1, 3." Smith v. Illinois, 390 U.S. 129, 131 (1968).
(3)
The claim is made that the State has an important interest in protecting the anonymity of juvenile offenders and that this interest outweighs any competing interest this petitioner might have in cross-examining Green about his being on probation. The State argues that exposure of a juvenile's record of delinquency would likely cause impairment of rehabilitative goals of the juvenile correctional procedures. This exposure, it is argued, might encourage the juvenile offender to commit further acts of delinquency, or cause the juvenile offender to lose employment opportunities or otherwise suffer unnecessarily for his youthful transgression.
We do not and need not challenge the State's interest as a matter of its own policy in the administration of criminal justice to seek to preserve the anonymity of a juvenile offender. Cf. In re Gault, 387 U.S. 1, 25 (1967). Here, however, petitioner sought to introduce evidence of Green's probation for the purpose of suggesting that Green was biased and, therefore, that his testimony was either not to be believed in his identification of petitioner or at least very carefully considered in that light. Serious damage to the strength of the State's case would have been a real possibility had petitioner been allowed to pursue this line of inquiry. In this setting we conclude that the right of confrontation is paramount to the State's policy of protecting a juvenile offender. Whatever temporary embarrassment might result to Green or his family by disclosure of his juvenile record — if the prosecution insisted on using him to make its case — is outweighed by petitioner's right to probe into the influence of possible bias in the testimony of a crucial identification witness.
In Alford v. United States, supra, we upheld the right of defense counsel to impeach a witness by showing that because of the witness' incarceration in federal prison at the time of trial, the witness' testimony was biased as "given under promise or expectation of immunity, or under the coercive effect of his detention by officers of the United States." 282 U.S., at 693. In response to the argument that the witness had a right to be protected from exposure of his criminal record, the Court stated:
"[N]o obligation is imposed on the court, such as that suggested below, to protect a witness from being discredited on cross-examination, short of an attempted invasion of his constitutional protection from self incrimination, properly invoked. There is a duty to protect him from questions which go beyond the bounds of proper cross-examination merely to harass, annoy or humiliate him." Id., at 694.
As in Alford, we conclude that the State's desire that Green fulfill his public duty to testify free from embarrassment and with his reputation unblemished must fall before the right of petitioner to seek out the truth in the process of defending himself.
The State's policy interest in protecting the confidentiality of a juvenile offender's record cannot require yielding of so vital a constitutional right as the effective cross-examination for bias of an adverse witness. The State could have protected Green from exposure of his juvenile adjudication in these circumstances by refraining from using him to make out its case; the State cannot, consistent with the right of confrontation, require the petitioner to bear the full burden of vindicating the State's interest in the secrecy of juvenile criminal records. The judgment affirming petitioner's convictions of burglary and grand larceny is reversed and the case is remanded for further proceedings not inconsistent with this opinion.
It is so ordered.
MR. JUSTICE STEWART, concurring.
The Court holds that, in the circumstances of this case, the Sixth and Fourteenth Amendments conferred the right to cross-examine a particular prosecution witness about his delinquency adjudication for burglary and his status as a probationer. Such cross-examination was necessary in this case in order "to show the existence of possible bias and prejudice . . .," ante, at 317. In joining the Court's opinion, I would emphasize that the Court neither holds nor suggests that the Constitution confers a right in every case to impeach the general credibility of a witness through cross-examination about his past delinquency adjudications or criminal convictions.
MR. JUSTICE WHITE, with whom MR. JUSTICE REHNQUIST joins, dissenting.
As I see it, there is no constitutional principle at stake here. This is nothing more than a typical instance of a trial court exercising its discretion to control or limit cross-examination, followed by a typical decision of a state appellate court refusing to disturb the judgment of the trial court and itself concluding that limiting cross-examination had done no substantial harm to the defense. Yet the Court insists on second-guessing the state courts and in effect inviting federal review of every ruling of a state trial judge who believes cross-examination has gone far enough. I would not undertake this task, if for no other reason than that I have little faith in our ability, in fact-bound cases and on a cold record, to improve on the judgment of trial judges and of the state appellate courts who agree with them. I would affirm the judgment.
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