Boston College Law School Digital Commons @ Boston College Law School Boston College Law School Faculty Papers 6-30-2008 Standing Mute at Arrest as Evidence of Guilt: The 'Right to Silence' Under Attack Frank R. Herrmann S.J. Boston College Law School, [email protected] Brownlow M. Speer Committee for Public Counsel Services, [email protected] Follow this and additional works at:http://lawdigitalcommons.bc.edu/lsfp Part of theCivil Rights and Discrimination Commons,Constitutional Law Commons, and the Criminal Law Commons Recommended Citation Frank R. Herrmann S.J. and Brownlow M. Speer. "Standing Mute at Arrest as Evidence of Guilt: The 'Right to Silence' Under Attack." American Journal of Criminal Law35, (2008): 1-22. This Article is brought to you for free and open access by Digital Commons @ Boston College Law School. It has been accepted for inclusion in Boston College Law School Faculty Papers by an authorized administrator of Digital Commons @ Boston College Law School. For more information, please [email protected]. 1 Standing Mute at Arrest as Evidence of Guilt: The "Right to Silence" Under Attack Frank R. Herrmann and Brownlow M. Speer∗ I. The Right to Stand Mute When Arrested. Dean Erwin Griswold suggested in 1955 that "the privilege against self-incrimination is one of the great landmarks in man's struggle to make himself civilized."1 Since that time, Miranda v. Arizona2 and its progeny have made the privilege effectively available to the ordinary person taken into custody and charged with crime. Miranda accomplishes this end by requiring that an arrested person be advised of the privilege against self-incrimination before being questioned by the police--in short, that the person has a right to remain silent and decline to answer questions.3 From the right to remain silent in the face of police questioning probably everyone instinctively understands that there is a right to be silent when arrested. The privilege against self-incrimination includes the right to stand "mute…in the face of accusation."4 An arrested person is "under no duty to speak."5 "At the time of ∗ Frank R. Herrmann is Associate Professor of Law at Boston College Law School. Brownlow M. Speer is the chief appellate attorney for the Massachusetts Committee for Public Counsel Services. 1 ERWIN N. GRISWOLD, THE FIFTH AMENDMENT TODAY 7 (1955). 2 384 U.S. 436 (1966). 3 "[W]hen an individual is taken into custody or otherwise deprived of his freedom by the authorities in any significant way and is subjected to questioning…[h]e must be warned prior to any questioning that he has the right to remain silent, that anything he says can be used against him in a court of law, that he has the right to the presence of an attorney, and that if he cannot afford an attorney one will be appointed for him prior to any questioning if he so desires." Id. at 478-479. 4 Id. at 468 n.37. 5 United States v. Hale, 422 U.S. 171, 176 (1975). 2 arrest…, innocent and guilty alike…may find the situation so intimidating that they may choose to stand mute."6 This fundamental premise, however, is under attack in the United States Courts of Appeals for the Fourth, Eighth, and Eleventh Circuits. Those courts have proclaimed the novel doctrine that a person's mere failure to say anything when being placed under arrest allows an inference of guilt. A striking example of testimony held to give rise to such an inference is set out in a decision of the Eighth Circuit. The testimony begins with an arresting officer's statement that he told the defendant he was under arrest "for suspicion of narcotics."7 [Prosecutor]: What was [the defendant]'s reaction when you placed him in custody? [Officer]: There really wasn't a reaction. [Prosecutor]. Was he angry? [Officer]: No, sir. [Prosecutor]: Was he surprised? [Officer]: No, sir. [Prosecutor]: Did he become combative? [Officer]: No, sir. [Prosecutor]: Did he say anything to you? [Officer]: No, sir. [Prosecutor]: Did he do anything when you put the handcuffs on him? [Officer]: No, sir.[8] If such evidence, in fact, is permitted to allow an inference of guilt, then, as a judge of the District of Columbia Circuit has trenchantly observed: an arrested but not Miranda-ized defendant would be faced with two courses of conduct: he could make a voluntary utterance, which could be used against him; or he could stand silent, which could be used against him….[9] 6 Id. at 177 7 United States v. Frazier, 408 F.3d 1102, 1109 (8th Cir. 2005), cert. denied, 546 U.S. 115 (2006). 8 Id. 3 This article will demonstrate that imputing guilt from a defendant's failure to speak when arrested is incompatible with constitutional and Common Law protections against compelled self-incrimination. Part II will briefly sketch the historical development of those protections over a period of more than five centuries. Part III will examine the evidentiary principle of tacit admission which sometimes conflicted with the Common Law's recognition that a defendant is entitled to be silent after arrest. Part IV will address the doctrines of Doyle v. Ohio10 and Fletcher v. Weir,11 regarding use of a defendant's post-arrest silence for impeachment. Part V will explain how the Fourth, Eighth, and Eleventh Circuits have misused those doctrines to fashion a rule imputing guilt from silence, contrary to the principles of the Fifth Amendment. Part VI will explain why imputation of guilt from silence represents a novel and dangerous departure from Common Law and constitutional principles. II. Historical Background. The medieval English Common Law rejected any compulsion on a criminal defendant to submit to any sort of interrogation12 or to confess to the charged offense.13 9 United States v. Moore, 110 F.3d 99, 100 (D.C. Cir. 1997) (on appellee's suggestion for a rehearing en banc) (Sentelle, Circuit Judge, concurring). 10 426 U.S. 610 (1976). 11 455 U.S. 603 (1982). 12 See 4 ROTULI PARLIAMENTORUM 84, no. 46 (1415) (Commons protest to King Henry V against practice of Chancery in subpoenaing defendants "against the form of the common law of your Kingdom" ["encountre la fourme de la commune ley de vostre Roialme"] to be inquired of by "examination and oath…according to the form of civil law and canon law, in subversion of your common law." ["examination et serement…, solonc la fourme de ley cyvle et ley de Seinte Esglise, en subvercion de vostre commune ley"]); D.M. KERLY, AN HISTORICAL SKETCH OF THE EQUITABLE JURISDICTION OF THE COURT OF 4 Therefore, the Committal Statute of 1555 (2&3 Philip & Mary, c. 10) represented a seismic shift in English criminal procedure. It required a justice of the peace to "take the examination of [the] Prisoner…of the fact and circumstance" of the alleged crime.14 The magnitude of this change is evidenced in the 1582 Eirenarcha of William Lambarde,15 a standard work on the functions and duties of a justice of the peace. Lambarde, a legal scholar of enormous authority,16 refers to a confession resulting from a justice of the peace's CHANCERY 43-44 (Cambridge, Cambridge University Press 1890). See also JAMES F. BALDWIN, THE KING'S COUNCIL IN ENGLAND DURING THE MIDDLE AGES 296-298 (1913) (comparing practice of Common Law, as to which "[n]othing…was more antagonistic…than to require a man…to incriminate himself," with the "inquisitorial examination" procedure derived from the ecclesiastical courts and followed by the King's Council and in Star Chamber). 13 See William Staunford, LES PLEES DEL CORON, ch. 51, fol. 142 (photo. reprint 1971) (n.p., Richard Tottell 1557) (judge must not accept or record confession he perceives to be product of "fear, menace, or duress" ["pauour, manace, ou dures"]), citing a case reported in LIBER ASSISSARUM, anno 27, no. 40 (1353), printed in LE LIVRE DES ASSISES 137 (photo. reprint 1981) (London, George Sawbridge et al. 1679), in which the assize judges did not accept the confession of a woman charged with having stolen bread who claimed to have done so at the command of her husband. See also FERDINANDO PULTON, DE PACE REGIS ET REGNI fol. 184 (photo. reprint 1973) (London, Companie of Stationers 1609) (confession must "procede freely and of [offendour's] owne good will, without menace, threats, rigor, or other extreamities"), citing the same case from the Liber Assissarum. The Treasons Act of 1547 provided that one confessing to treason had to do so "willingly without violence." 1 Edw. VI, c. 12, §22. This statute "may be regarded as a collateral antecedent of the involuntary confession rule." Lawrence Herman, The Unexplained Relationship Between the Privilege Against Self-Incrimination and the Involuntary Confession Rule (pt.1), 53 OHIO ST. L. J. 101, 115 (1992). 14 The Bail Statute of the preceding regnal year (1&2 Philip & Mary c.13) required a justice of the peace to "take the examination" of a prisoner before admitting the prisoner to bail. The Marian statutes are exhaustively analyzed in JOHN H. LANGBEIN, PROSECUTING CRIME IN THE RENAISSANCE 5-20 (1974). 15 William Lambard, EIRENARCHA (photo. reprint 1972) (London, Ra. Newbery & H. Bynneman 1581). The year of publication was 1582 by modern reckoning, the dating of a new year then having begun on March 25. See B.H. Putnam, The Earliest Form of Lambard's 'Eirenarcha' and a Kent Wage Assessment of 1563, 41 ENG. HIST. REV. 260, 266 n.7 (1926). 16 See P.R. Glazebrook, Introduction to WILLIAM LAMBARD, EIRENARCHA OR THE OFFICE OF JUSTICES OF PEACE 3, 3-4, 9-11 (P.R. Glazebrook ed. 1972); Wilfrid Prest, William 5 examination of a prisoner as per se "forced."17 Elsewhere in his treatise, Lambarde explicitly characterizes the 1555 statute's provision for formal questioning of a defendant in custody as a radical departure from the protection of the Common Law: There [in 2&3 Philip & Mary c. 10 (1555)18] also you may see (if I bee not deceived) the time when the examination of the Felon himselfe, was first warranted by our Law. For at the Common Lawe, his faulte was not to bee wrong out of himself but rather to be proved by others.[19] In the second, 1588, edition of Eirenarcha,20 Lambarde adds to this passage the maxim nemo tenetur seipsum prodere (no one is held to betray himself),21 but he puts it in Lambarde, Elizabethan Law Reform, and Early Stuart Politics, 14 J. BRIT. STUD. 464, 464-466 (1995); James D. Alsop & Wesley M. Stevens, William Lambarde and the Elizabethan Polity, 8 STUD. MEDIEVAL & RENAISSANCE HIST. (n.s.) 231, 235-236 (1986); RETHA M. WARNICKE, WILLIAM LAMBARDE: ELIZABETHAN ANTIQUARY 1536-1601, at 70-71, 140-141 (1973). 17 "The forced Confession, whereof I spake, is that which the Justices do wring out of the partie by the Examination of him, in such cases wherein it is permitted." LAMBARD, supra note 15 at 427. 18 For the statutory reference, see LAMBARD, supra note 15 at 205-206. 19 LAMBARD, supra note 15 at 208-209. Lambarde cites no authority for this conclusion, but modern scholarship demonstrates its essential accuracy. JOHN G. BELLAMY, CRIMINAL LAW AND SOCIETY IN LATE MEDIEVAL AND TUDOR ENGLAND 25-26, 30-31 (1984). 20 WILLIAM LAMBARD, EIRENARCHA (London, Ralph Newbery, 2d ed. 1588). 21 The nemo tenetur maxim entered into English legal parlance in the decade of the 1580's. It appears in slightly corrupted form ("nullus" in place of "nemo" and "perdere" in place of "prodere" in Richard Crompton's 1584 revision of Anthony Fitzherbert's treatise on the justices of the peace: "One is not to be examined on his oath about a matter which sounds to his reproach, et nullus tenetur seipsum perdere, as that he committed such felony, or that he was a perjurer, or such like etc. for the law presumes that one does not want to discredit or accuse himself in such a case." ("Home ne serra examine sur son serement de chose que sounde a son reproche, et nullus tenetur seipsum perdere, come le quel il fist tiel felony, ou le que il fuit periure, ou tiel semble etc. car le ley intend que home ne voile luy mesme discrediter ou accuser in tiel case.") ANTHONY FITZHERBERT, LOFFICE ET AUCTHORITIE DE JUSTICES DE PEACE fol. 152 (photo. reprint 1972) (London, Richard Tottell, R. Crompton rev. 1584). See M.R.T. Macnair, The Early Development of the Privilege Against Self-Incrimination, 10 OXFORD J. LEGAL STUD. 66, 70 & n.24 (1990) (citing this source and observing that maxim also appears in canon law sources). 6 the past tense, perhaps indicating the magnitude of the change in criminal procedure occasioned by the Marian legislation.22 The nemo tenetur maxim thereafter became the standard shorthand expression for the principle against compelled self-incrimination.23 It informed the Common Law of the newly independent American states,24 the Fifth Amendment,25 and the cognate provisions of state constitutions.26 As Lambarde, however, observed, the Marian procedure of pre-trial examination of defendants in custody largely nullified their rights to be silent.27 This was equally true in the American colonies where that procedure was in force.28 The nemo tenetur maxim is ultimately derived not from the English Common Law but from continental European civil and canon law sources, collectively styled the ius commune. See R.H. Helmholtz, Origins of the Privilege Against Self-Incrimination: The Role of the European Ius Commune, 65 N.Y.U.L.REV. 962, 964 & n.12, 967 & nn. 26, 27 (1990); R.H. Helmholtz, The Privilege and the Ius Commune: The Middle Ages to the Seventeenth Century, in R. H. HELMHOLTZ ET AL, THE PRIVILEGE AGAINST SELF- INCRIMINATION: ITS ORIGINS AND DEVELOPMENT 17, 17-18 (1997). 22 "Here [in 2&3 Philip & Mary c.10] you may see (if I be not deceived) when the examination of a Felon began first to be warranted amongst us. For at the common Law, Nemo tenebatur prodere seipsum, and then his fault was not to be wrung out of himselfe, but rather to be discovered by other meanes and men." LAMBARD, supra note 20, at 213. Compare the 1582 text accompanying note 15, supra. 23 Sollom Emlyn, Preface to 1 STATE TRIALS (2d. ed.) XXV (London, R.Bagshaw 1809), (1730), quoted in LEONARD W. LEVY, ORIGINS OF THE FIFTH AMENDMENT 327 (paperback ed. 1999) (1968) ("In other countries, Racks and Instruments of Torture are applied to force from the Prisoner a Confession, sometimes of more than is true; but this is a practice which Englishmen are happily unacquainted with, enjoying the benefit of that just and reasonable Maxim, nemo tenetur accusare seipsum"). 24 See id. at 428-430. 25 Bram v. United States, 168 U.S. 532, 596 (1897). 26 Brown v. Walker, 161 U.S. 591, 596 (1896). See Eben Moglen, The Privilege in British North America: The Colonial Period to the Fifth Amendment, in HELMHOLTZ ET AL., supra note 21, at 109, 135-136. 27 LEVY, supra note 23, at 325. 28 Moglen, supra note 26, at 114-117. 7 But the principle of a right to silence remained alive. It is manifest in the bar against examining defendants under oath29 and in the exclusion from evidence of involuntary confessions.30 In addition, the historical sources show that at least some examining magistrates followed a practice of advising defendants of their right to remain silent.31 A defendant's right not to respond to an official accusation of criminal conduct, however limited that right may have been at times as a practical matter, is anchored in over five centuries of Anglo-American legal tradition. Has this right ever been so attenuated that a defendant's mere silence upon arrest can give rise to an inference of guilt? III. "Qui tacet." The exploration of this question involves consideration of a Common Law evidentiary rule of "tacit" or "adoptive" admissions. This rule is derived from the canonical maxim qui 29 LEVY, supra note 23, at 325. Compare the 1415 protest of the Commons to King Henry V quoted supra note 12. 30 LEVY, supra note 23, at 326. See also id. at 495-497 n. 43 (disputing Wigmore's view that privilege against self-incrimination and bar on involuntary confessions are wholly separate rules); Herman, supra note 13, at 176-189 (same); LEONARD MACNALLY, THE RULES OF EVIDENCE ON PLEAS OF THE CROWN 41-42 (photo. reprint 2007) (London, J. Butterworth 1802) (before confession of prisoner made on examination by justice of the peace may be read in evidence, there must be testimony that it was "made freely, without any menace or terror, or any species of undue influence imposed upon the prisoner"), citing MATTHEW HALE, 1 HISTORIA PLACITORUM CORONAE 284 (photo. reprint 1971 (before 1676) (London, E. Nutt et al., 1736) 31 The Utilitarian philosopher Jeremy Bentham (1748-1832), an outspoken opponent of the privilege against self-incrimination (see Wilson v. United States, 221 U.S. 361, 392 [1911] [McKenna, J., dissenting]), in addressing the Marian statutes providing for examination of prisoners (see supra note 14 and accompanying text) wrote disapprovingly that "[i]f the magistrate…wishes to make a parade of clemency, or show partial favour to the accused, he follows the rule of the common law, and even tells the prisoner to be on his guard, and to say nothing which may turn to his disadvantage." JEREMY BENTHAM, A TREATISE ON JUDICIAL EVIDENCE 242 (London, J.W. Paget 1825). 8 tacet consentire videtur (one who is silent seems to consent).32 In criminal cases, this rule exists in tension with the principle of nemo tenetur seipsum prodere. It allows an inference of guilt to attach to a person who remains silent in the presence of a statement imputing guilt to him of a particular crime.33 By remaining silent upon hearing the accusatory statement, the person is said to "adopt" the statement. By failing to speak up and deny it, the defendant makes it his or her own. This is a venerable rule.34 "The tacit admission rule has during the years been accepted by every court, state and federal, with few exceptions."35 Its validity, as a matter of common sense, is obvious, but only in circumstances where a denial of the accusation would be natural. An influential nineteenth-century treatise writer states this reservation succinctly: 32 Boniface VIII, Liber Sext, Decretalium, lib. 5, tit. 12, de regulis iuris, reg. 43 (1298) ("Qui tacet, consentire videtur"). The eighty-eight regulae of the Sext are the source of numerous Latin maxims used by English lawyers, and most of them are derived from regulae collected in the corresponding title of Justinian's Digest. See PETER STEIN, REGULAE IURIS: FROM JURISTIC RULES TO LEGAL MAXIMS 149, 155 (1966). The "qui tacet" regula of the Sext is obviously traceable to its more nuanced counterpart in Dig. 50, 17, 142 (533 C.E.) (Paulus, Ad Edictum 50) ("Qui tacet, non utique fatetur: sed tamen verum est eum non negare" ["One who is silent at least does not confess, but nevertheless, it is true he does not deny."]) Paulus was a jurist of the early third century C.E. whose "reputation in later times and…influence were immense." H.F. JOLOWICZ & BARRY NICHOLS, HISTORICAL INTRODUCTION TO THE STUDY OF ROMAN LAW 392 (3d ed. 1972). 33 For American cases specifically quoting the maxim qui tacet consentire videtur, see Packer v. United States, 106 F. 906, 910 (2d Cir. 1901); Caldwell v. State, 282 Ala. 713, 718 (1968); Campbell v. State, 55 Ala. 80, 84 (1876); Johnson v. State, 151 Ga. 21, 24-25 (1921); People v. Kozlowski, 368 Ill. 124, 128 (1938); McKee v. People, 36 N.Y. 113, 116 (1867); State v. Epstein, 25 R.I. 131, 138 (1903); State v. Sudduth, 74 S.C. 498, 500 (1906). 34 "If A., when in B.'s presence and hearing, makes statements which B. listens to in silence, interposing no objection, A.'s statements may be put in evidence against B., whenever B.'s silence is of such a nature as to lead to the inference of assent." FRANCIS WHARTON, A TREATISE ON THE LAW OF EVIDENCE IN CRIMINAL ISSUES §679, at 581 (Philadelphia, Kay & Bro., 8th ed. 1880), citing four English and thirty-six American cases. "Statements silently acquiesced in may be treated as admissions." Id. 35 Caldwell v. State, 282 Ala. 713, 719 (1968). 9 [T]o affect one person with the statements of others, on the ground of his implied admission of their truth by silent acquiescence, it is not enough that they were made in his presence, or even to himself, by parties interested, but they must also have been made on an occasion when a reply from him might be properly expected.[36] Whether it would be "unnatural" for a defendant to remain silent in the face of an accusatory statement made in the defendant's presence and hearing when he or she is under arrest has historically been a controversial question. In an early and seminal case followed in many jurisdictions, Massachusetts adopted a per se rule that the silence of an arrested defendant in the face of an accusatory remark cannot be the basis for an inference that the defendant has adopted the accusation and, thereby, made it the defendant's own. In Commonwealth v. Kenney,37 the defendant was charged with theft. The trial judge admitted evidence that a town watchman , having Kenney in custody, said in the defendant's presence, "Here is a man that has been robbing a man," and that the defendant said nothing in response.38 A while later, the purported victim of the robbery appeared where the defendant was held under arrest and, seeing a bag he claimed had been taken from him, said in the hearing of Kenney, "Here is the bag." Kenney again remained silent.39 On appeal, the Supreme Judicial Court of Massachusetts, in an opinion written by Chief Justice Lemuel Shaw, 40 granted a new trial. It distinguished situations 36 2 JOHN P. TAYLOR, A TREATISE ON THE LAW OF EVIDENCE 527 (London, William Maxwell & Son 1878). 37 53 Mass. 235 (1847). 38 Id. 39 Id. at 235-236. 40 Shaw was one of the most eminent nineteenth century American jurists. "No other state judge through his opinions alone had so great an influence on the course of American law." LEONARD W. LEVY, THE LAW OF THE COMMONWEALTH AND CHIEF JUSTICE SHAW 3 (paperback ed. 1967) (1957).