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Full Opinion
announced the judgment of the Court and delivered an opinion, in which The Chief Justice, Justice Kennedy, and Justice Breyer join.
In this case, we decide whether Crawford v. Washington, 541 U. S. 36, 50 (2004), precludes an expert witness from testifying in a manner that has long been allowed under the law of evidence. Specifically, does Crawford bar an expert from expressing an opinion based on facts about a case that have been made known to the expert but about which the expert is not competent to testify? We also decide whether Crawford substantially impedes the ability of prosecutors to introduce DNA evidence and thus may effectively relegate the prosecution in some cases to reliance on older, less reliable forms of proof.
In petitionerâs bench trial for rape, the prosecution called an expert who testified that a DNA profile produced by an outside laboratory, Cellmark, matched a profile produced by the state police lab using a sample of petitionerâs blood. On direct examination, the expert testified that Cellmark was an accredited laboratory and that Cellmark provided the police with a DNA profile. The expert also explained the notations on documents admitted as business records, stating that, according to the records, vaginal swabs taken from the victim were sent to and received back from Cellmark. The expert made no other statement that was offered for the
Petitionerâs main argument is that the expert went astray when she referred to the DNA profile provided by Cellmark as having been produced from semen found on the victimâs vaginal swabs. But both the Illinois Appellate Court and the Illinois Supreme Court found that this statement was not admitted for the truth of the matter asserted, and it is settled that the Confrontation Clause does not bar the admission of such statements. See id., at 59-60, n. 9 (citing Tennessee v. Street, 471 U. S. 409 (1985)). For more than 200 years, the law of evidence has permitted the sort of testimony that was given by the expert in this case. Under settled evidence law, an expert may express an opinion that is based on facts that the expert assumes, but does not know, to be true. It is then up to the party who calls the expert to introduce other evidence establishing the facts assumed by the expert. While it was once the practice for an expert who based an opinion on assumed facts to testify in the form of an answer to a hypothetical question, modern practice does not demand this formality and, in appropriate cases, permits an expert to explain the facts on which his or her opinion is based without testifying to the truth of those facts. See Fed. Rule Evid. 703. That is precisely what occurred in this case, and we should not lightly âswee[p] away an accepted rule governing the admission of scientific evidence.â Melendez-Diaz v. Massachusetts, 557 U. S. 305, 330 (2009) (Kennedy, J., dissenting).
We now conclude that this form of expert testimony does not violate the Confrontation Clause because that provision has no application to out-of-court statements that are not
As a second, independent basis for our decision, we also conclude that even if the report produced by Cellmark had been admitted into evidence, there would have been no Confrontation Clause violation. The Cellmark report is very different from the sort of extrajudicial statements, such as affidavits, depositions, prior testimony, and confessions, that the Confrontation Clause was originally understood to reach. The report was produced before any suspect was identified. The report was sought not for the purpose of obtaining evidence to be used against petitioner, who was not even under suspicion at the time, but for the purpose of finding a rapist who was on the loose. And the profile that Cellmark provided was not inherently inculpatory. On the contrary, a DNA profile is evidence that tends to exculpate all but one of the more than 7 billion people in the world today. The use of DNA evidence to exonerate persons who have been wrongfully accused or convicted is well known. If DNA profiles could not be introduced without calling the technicians who participated in the preparation of the profile, economic pressures would encourage prosecutors to forgo DNA testing and rely instead on older forms of evidence, such as eyewitness identification, that are less reliable. See Perry v. New Hampshire, 565 U. S. 228 (2012). The Confrontation Clause does not mandate such an undesirable development. This conclusion will not prejudice any defendant who really wishes to probe the reliability of the DNA testing done in a
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On February 10, 2000, in Chicago, Illinois, a young woman, L. J., was abducted while she was walking home from work. The perpetrator forced her into his car and raped her, then robbed her of her money and other personal items and pushed her out into the street. L. J. ran home and reported the attack to her mother, who called the police. An ambulance took L. J. to the hospital, where doctors treated her wounds and took a blood sample and vaginal swabs for a sexual-assault kit. A Chicago Police detective collected the kit, labeled it with an inventory number, and sent it under seal to the Illinois State Police (ISP) lab.
At the ISP lab, a forensic scientist received the sealed kit. He conducted a chemical test that confirmed the presence of semen on the vaginal swabs, and he then resealed the kit and placed it in a secure evidence freezer.
During the period in question, the ISP lab often sent biological samples to Cellmark Diagnostics Laboratory in Ger-mantown, Maryland, for DNA testing. There was evidence that the ISP lab sent L. J.âs vaginal swabs to Cellmark for testing and that Cellmark sent back a report containing a male DNA profile produced from semen taken from those swabs. At this time, petitioner was not under suspicion for L. J.âs rape.
Sandra Lambatos, a forensic specialist at the ISP lab, conducted a computer search to see if the Cellmark profile matched any of the entries in the state DNA database. The computer showed a match to a profile produced by the lab from a sample of petitionerâs blood that had been taken after he was arrested on unrelated charges on August 3, 2000.
On April 17, 2001, the police conducted a lineup at which L. J. identified petitioner as her assailant. Petitioner was
B
Petitionerâs bench trial began in April 2006. In open court, L. J. again identified petitioner as her attacker. The State also offered three expert forensic witnesses to link petitioner to the crime through his DNA. First, Brian Ha-pack, an ISP forensic scientist, testified that he had confirmed the presence of semen on the vaginal swabs taken from L. J. by performing an acid phosphatase test. After performing this test, he testified, he resealed the evidence and left it in a secure freezer at the ISP lab.
Second, Karen Abbinanti, a state forensic analyst, testified that she had used polymerase chain reaction (PCR) and short tandem repeat (STR) techniques to develop a DNA profile from a blood sample that had been drawn from petitioner after he was arrested in August 2000. She also stated that she had entered petitionerâs DNA profile into the state forensic database.
Third, the State offered Sandra Lambatos as an expert witness in forensic biology and forensic DNA analysis. On direct examination, Lambatos testified about the general process of using the PCR and STR techniques to generate DNA profiles from forensic samples such as blood and semen. She then described how these DNA profiles could be matched to an individual based on the individualâs unique genetic code. In making a comparison between two DNA profiles, Lambatos stated, it is a âcommonly acceptedâ practice within the scientific community for âone DNA expert to rely on the records of another DNA expert.â App. 51. Lambatos also testified that Cellmark was an âaccredited crime labâ and that, in her experience, the ISP lab routinely sent evidence samples via Federal Express to Cellmark for DNA testing in order to expedite the testing process and to
Lambatos was shown shipping manifests that were admitted into evidence as business records, and she explained what they indicated, namely, that the ISP lab had sent L. J.âs 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 there was âa computer matchâ between âthe male DNA profile found in semen from the vaginal swabs of [L. J.]â and â[the] male DNA profile that had been identifiedâ from petitionerâs blood sample. Id., at 55.
The defense attorney objected to this question for âlack of foundation,â arguing that the prosecution had offered âno evidence with regard to any testing thatâs been done to generate a DNA profile by another lab to be testified to by this witness.â Ibid.
The prosecutor responded: âPm not getting at what another lab did.â Id., at 56. Rather, she said, she was simply asking Lambatos about âher own testing based on [DNA] informationâ that she had received from Cellmark. Ibid. The trial judge agreed, noting, âIf she says she didnât do her own testing and she relied on a test of another lab and sheâs testifying to that, we will see what sheâs going to say.â Ibid.
The prosecutor then proceeded, asking Lambatos, âDid you compare the semen that had been identified by Brian Hapack from the vaginal swabs of [L. J.] to the male DNA profile that had been identified by Karen [Abbinanti] from the blood of [petitioner]?â Ibid.
Lambatos answered âYes.â Ibid. Defense counsel lodged an objection âto the form of the question,â but the trial judge overruled it. Ibid. Lambatos then testified
The Cellmark report itself was neither admitted into evidence nor shown to the factfinder. Lambatos did not quote or read from the report; nor did she identify it as the source of any of the opinions she expressed.
On cross-examination, Lambatos confirmed that she did not conduct or observe any of the testing on the vaginal swabs, and that her testimony relied on the DNA profile produced by Cellmark. Id., at 59. She stated that she trusted Cellmark to do reliable work because it was an accredited lab, but she admitted she had not seen any of the calibrations or work that Cellmark had done in deducing a male DNA profile from the vaginal swabs. Id., at 59-62.
Asked whether the DNA sample might have been degraded before Cellmark analyzed it, Lambatos answered that, while degradation was technically possible, she strongly doubted it had occurred in this case. She gave two reasons. First, the ISP lab likely would have noticed the degradation before sending the evidence off to Cellmark. Second, and more important, Lambatos also noted that the data making up the DNA profile would exhibit certain telltale signs if it had been deduced from a degraded sample: The visual representation of the DNA sequence would exhibit âspecific patternsâ of degradation, and she âdidnât see any evidenceâ of that from looking at the profile that Cellmark produced. Id., at 81-82.
When Lambatos finished testifying, the defense moved to exclude her testimony âwith regards to testing done by
The prosecution responded that petitionerâs Confrontation Clause rights were satisfied because he had the opportunity to cross-examine the expert who had testified that there was a match between the DNA profiles produced by Cellmark and Abbinanti. App. 91. Invoking Illinois Rule of Evidence 703,
The trial judge agreed with the prosecution and stated that âthe issue is . . . what weight do you give the test, not do you exclude it.â Id., at 94. Accordingly, the judge stated that he would not exclude Lambatosâ testimony, which
The trial court found petitioner guilty of the charges against him. The State Appellate Court affirmed in relevant part, concluding that Lambatosâ testimony did not violate petitionerâs confrontation rights because the Cellmark report was not offered into evidence to prove the truth of the matter it asserted. See 385 Ill. App. 3d, at 369, 895 N. E. 2d, at 969-970 (âCellmarkâs report was not offered for the truth of the matter asserted; rather, it was offered to provide a basis for Lambatosâ opinionâ). The Supreme Court of Illinois also affirmed. 238 Ill. 2d 125, 939 N. E. 2d 268 (2010). Under state law, the court noted, the Cellmark report could not be used as substantive evidence. When Lambatos referenced the report during her direct examination, she did so âfor the limited purpose of explaining the basis for [her expert opinion],â not for the purpose of showing âthe truth of the matter assertedâ by the report. Id., at 150, 939 N. E. 2d, at 282. Thus, the report was not used to establish its truth, but only âto show the underlying facts and data Lambatos used before rendering an expert opinion.â Id., at 145, 939 N. E. 2d, at 279.
We granted certiorari. 564 U. S. 1052 (2011).
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A
The Confrontation Clause of the Sixth Amendment provides that, â[i]n all criminal prosecutions, the accused shall enjoy the right ... to be confronted with the witnesses against him.â Before Crawford, this Court took the view that the Confrontation Clause did not bar the admission 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 Crawford, the Court adopted a fundamentally new interpretation of the confrontation right, hold
Two of these decisions involved scientific reports. In Melendez-Diaz, the defendant was arrested and charged with distributing and trafficking in cocaine. At trial, the prosecution introduced bags of a white powdery substance that had been found in the defendantâs possession. The trial court also admitted into evidence three âcertificates of analysisâ from the state forensic laboratory stating that the bags had been âexamined with the following results: The substance was found to contain: Cocaine.â 557 U. S., at 308 (internal quotation marks omitted).
The Court held that the admission of these certificates, which were executed under oath before a notary, violated the Sixth Amendment. They were created for âthe sole purpose of providing evidence against a defendant,â id., at 323, and were ââquite plainly affidavits,ââ id., at 330 (Thomas, J., concurring). The Court emphasized that the introduction of the report to prove the nature of the substance found in the defendantâs possession was tantamount to âlive, in-court testimonyâ on that critical fact and that the certificates did âprecisely what a witness does on direct examination.â Id., at 311 (internal quotation marks omitted). There was no doubt that the certificates were used to prove the truth of the matter they asserted. Under state law, âthe sole purpose of the affidavits was to provide prima facie evidence of the composition, quality, and the net weight of the analyzed substance.â Ibid. (internal quotation marks omitted; emphasis deleted). On these facts, the Court said,
In Bullcoming, we held that another scientific report could not be used as substantive evidence against the defendant unless the analyst who prepared and certified the report was subject to confrontation. The defendant in that case had been convicted of driving while intoxicated. At trial, the court admitted into evidence a forensic report certifying that a sample of the defendantâs blood had an alcohol concentration of 0.21 grams per hundred milliliters, well above the legal limit. Instead of calling the analyst who signed and certified the forensic report, the prosecution called another analyst who had not performed or observed the actual analysis, but was only familiar with the general testing procedures of the laboratory. The Court declined to accept this surrogate testimony, despite the fact that the testifying analyst was a âknowledgeable representative of the laboratoryâ who could âexplain the labâs processes and the details of the report.â 564 U. S., at 674-675 (Kennedy, J., dissenting). The Court stated simply: âThe accusedâs right is to be confronted with the analyst who made the certification.â Id., at 657.
Just as in Melendez-Diaz, the forensic report that was âintroduce[d]â in Bullcoming âcontained] a testimonial certification, made in order to prove a fact at a criminal trial.â 564 U. S., at 657. The report was signed by the nontestifying analyst who had authored it, stating, âI certify that I followed the procedures set out on the reverse of this report, and the statements in this block are correct. The concentration of alcohol in this sample is based on the grams of alcohol in one hundred milliliters of blood.â App. in Bullcoming, O. T. 2010, No. 09-10876, p. 62. Critically, the report was introduced at trial for the substantive purpose of proving the truth of the matter asserted by its out-of-court authorânamely, that the defendant had a blood-alcohol
In concurrence, Justice Sotomayor highlighted the importance of the fact that the forensic report had been admitted into evidence for the purpose of proving the truth of the matter it asserted. She emphasized that âthis [was] not a case in which an expert witness was asked for his independent opinion about underlying testimonial reports that were not themselves admitted into evidence.â 564 U. S., at 673 (opinion concurring in part) (citing Fed. Rule Evid. 703). âWe would face a different question,â she observed, âif asked to determine the constitutionality of allowing an expert witness to discuss othersâ testimonial statements if the testimonial statements were not themselves admitted as evidence.â 564 U. S., at 673.
We now confront that question.
B
It has long been accepted that an expert witness may voice an opinion based on facts concerning the events at issue in a particular case even if the expert lacks firsthand knowledge of those facts.
At common law, courts developed two ways to deal with this situation. An expert could rely on facts that had already been established in the record. But because it was not always possible to proceed in this manner, and because record evidence was often disputed, courts developed the alternative practice of allowing an expert to testify in the form of a âhypothetical question.â Under this approach, the expert would be asked to assume the truth of certain factual predicates, and was then asked to offer an opinion based on those assumptions. See 1 K. Broun, McCormick on Evidence § 14, p. 87 (6th ed. 2006); 1 J. Wigmore, Evidence § 677, p. 1084 (2d ed. 1923) (âIf the witness is skilled enough, his opinion may be adequately obtained upon hypothetical data alone; and it is immaterial whether he has ever seen the per
An early example of this approach comes from the English case of Beckwith v. Sydebotham, 1 Camp. 116, 170 Eng. Rep. 897 (K. B. 1807), where a party sought to prove the seaworthiness of a ship, the Earl of Wycombe, by calling as witnesses âseveral eminent surveyors of ships who had never seen the âEarl of Wycombe.â â Ibid. The opposing party objected to the testimony because it relied on facts that were not known to be true, but the judge disagreed. Because the experts were âpeculiarly acquaintedâ with âa matter of skill or science,â the judge said, the âjury might be assistedâ by their hypothetical opinion based on certain assumed facts. Id., at 117, 170 Eng. Rep., at 897. The judge acknowledged the danger of the juryâs being unduly prejudiced by wrongly assuming the truth of the hypothetical facts, but the judge noted that the experts could be asked on cross-examination what their opinion of the shipâs seaworthiness would be if different hypothetical facts were assumed. If the party that had called the experts could not independently prove the truth of the premises they posited, then the expertsâ âopinion might not go for much; but still it was admissible evidence.â Ibid.
There is a long tradition of the use of hypothetical questions in American courts. In 1887, for example, this Court indicated its approval of the following jury instruction:
âAs to the questions, you must understand that they are not evidence; they are mere statements to these witnesses . .. and, upon the hypothesis or assumption of these questions the witnesses are asked to give their [opinion]. You must readily see that the value of the answers to these questions depends largely, if not wholly, upon the fact whether the statements made in*69 these questions are sustained by the proof. If the statements in these questions are not supported by the proof, then the answers to the questions are entitled to no weight, because based upon false assumptions or statements of facts.â Forsyth v. Doolittle, 120 U. S. 73, 77 (internal quotation marks omitted).
Modern rules of evidence continue to permit experts to express opinions based on facts about which they lack personal knowledge, but these rules dispense with the need for hypothetical questions. Under both the Illinois and the Federal Rules of Evidence, an expert may base an opinion on facts that are âmade known to the expert at or before the hearing,â but such reliance does not constitute admissible evidence of this underlying information. Ill. Rule Evid. 703; Fed. Rule Evid. 703. Accordingly, in jury trials, both Illinois and federal law generally bar an expert from disclosing such inadmissible evidence.
This feature of Illinois and federal law is important because Crawford, while departing from prior Confrontation Clause precedent in other respects, took pains to reaffirm the proposition that the Confrontation Clause âdoes not bar the use of testimonial statements for purposes other than establishing the truth of the matter asserted.â 541 U. S., at 59-60, n. 9 (citing Tennessee v. Street, 471 U. S. 409). In Street, the defendant claimed that the police had coerced him into adopting the confession of his alleged accomplice. The prosecution sought to rebut this claim by showing that the defendantâs confession differed significantly from the accompliceâs. Although the accompliceâs confession was clearly a testimonial statement, the Court held that the jurors could hear it as long as they were instructed to consider that confession not for its truth, but only for the âdistinctive and limited purposeâ of comparing it to the defendantâs confession, to see whether the two were identical. Id., at 417.
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A
In order to assess petitionerâs Confrontation Clause argument, it is helpful to inventory exactly what Lambatos said on the stand about Cellmark. She testified to the truth of the following matters: Cellmark was an accredited lab, App. 49; the ISP occasionally sent forensic samples to Cellmark for DNA testing, ibid.; according to shipping manifests admitted into evidence, the ISP lab sent vaginal 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 profile produced by the ISP lab from a sample of petitionerâs blood, id., at 55-56. Lambatos had personal knowledge of all of these matters, and therefore none of this testimony infringed petitionerâs confrontation right.
B
The principal argument advanced to show a Confrontation Clause violation concerns the phrase that Lambatos used when she referred to the DNA profile that the ISP lab received from Cellmark. This argument is developed most fully in the dissenting opinion, and therefore we refer to the dissentâs discussion of this issue.
In the view of the dissent, the following is the critical portion of Lambatosâ testimony, with the particular words that the dissent finds objectionable italicized:
âQ Was there a computer match generated of the male DNA profile found in semen from the vaginal swabs of [L. J] to a male DNA profile that had been identified as having originated from Sandy Williams?
âA Yes, there was.â Post, at 124 (opinion of Kagan, J.) (quoting App. 56; emphasis added).
According to the dissent, the italicized phrase violated petitionerâs confrontation right because Lambatos lacked personal knowledge that the profile produced by Cellmark was based on the vaginal swabs taken from the victim, L. J. As the dissent acknowledges, there would have been ânothing wrong with Lambatosâs testifying that two DNA profilesâthe one shown in the Cellmark report and the one derived from Williamsâs bloodâmatched each other; that was a straightforward application of Lambatosâs expertise.â Post, at 129. Thus, if Lambatosâ testimony had been slightly modified as follows, the dissent would see no problem:
âQ Was there a computer match generated of the male DNA profile produced by Cellmark found in-semerr*72 from the-vaginal swabs of [L. J.] to a male DNA profile that had been identified as having originated from Sandy Williams?
âA Yes, there was.â3
The defect in this argument is that under Illinois law (like federal law) it is clear that the putatively offending phrase in Lambatosâ testimony was not admissible for the purpose of proving the truth of the matter assertedâi. e., that the matching DNA profile was âfound in semen from the vaginal swabs.â Rather, that fact was a mere premise of the prosecutorâs question, and Lambatos simply assumed that premise to be true when she gave her answer indicating that there was a match between the two DNA profiles. There is no reason to think that the trier of fact took Lambatosâ answer as substantive evidence to establish where the DNA profiles came from.
The dissentâs argument would have force if petitioner had elected to have a jury trial. In that event, there would have been a danger of the juryâs taking Lambatosâ testimony as proof that the Cellmark profile was derived from the sample obtained from the victimâs vaginal swabs. Absent an evaluation of the risk of juror confusion and careful jury instructions, the testimony could not have gone to the jury.
This case, however, involves a bench trial, and we must assume that the trial judge understood that the portion of Lambatosâ testimony to which the dissent objects was not
To begin, the dissentâs argument finds no support in the trial record. After defense counsel objected to Lambatosâ testimony, the prosecutor made clear that she was asking Lambatos only about âher own testing based on [DNA] informationâ that she had received from Cellmark. App. 56. Recognizing that Lambatosâ testimony would carry weight only if the underlying premises could be established, the judge noted that âthe issue is . . . what weight do you give the test [performed by Lambatos], not do you exclude it.â Id., at 94. This echoes the old statement in Beckwith that an expertâs opinion based on disputed premises âmight not go for much; but still it [is] admissible evidence.â 1 Camp., at 117, 170 Eng. Rep., at 897. Both the Illinois Appellate Court and the Illinois Supreme Court viewed the record in this way, and we see no ground for disagreement.
Third, the admissible evidence left little room for argument that the sample tested by Cellmark came from any source other than the victimâs vaginal swabs.
C
Other than the phrase that Lambatos used in referring to the Cellmark profile, no specific passage in the trial record has been identified as violating the Confrontation Clause, but it is nevertheless suggested that the State somehow introduced âthe substance of Cellmarkâs report into evidence.â Post, at 125 (Kagan, J., dissenting). The main impetus for this argument appears to be the (erroneous) view that unless the substance of the report was sneaked in, there would be insufficient evidence in the record on two critical points: first, that the Cellmark profile was based on the semen in the victimâs vaginal swabs and, second, that Cellmarkâs procedures were reliable. This argument is both legally irrelevant for present purposes and factually incorrect.
As to legal relevance, the question before us is whether petitionerâs Sixth Amendment confrontation right was violated, not whether the State offered sufficient foundational evidence to support the admission of Lambatosâ opinion about the DNA match. In order to prove these underlying facts, the prosecution relied on circumstantial evidence, and the Illinois courts found that this evidence was sufficient to satisfy state-law requirements regarding proof of foundational facts. See 385 Ill. App. 3d, at 366-368, 895 N. E. 2d, at 967-968; 238 Ill. 2d, at 138, Additional Information