# Petition for a Writ of Certiorari — Tompkins v. United States

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## Record

- **Collection:** Supreme Court brief
- **Document type:** Petition for a Writ of Certiorari
- **Published:** January 1, 1974
- **Citation:** 416 U.S. 944

## Text

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IN THE
SUPREME COURT OF THE UNITED STATES

OCTOBER TERM, 1973

No. 73-1106

IRVING WILLIE TOMPKINS.

Petitioner,

UNITED STATES OF AMERICA,

Respondent.

PETITION FOR WRIT OF CERTIORARI TO THE ,
UNITED STATES COURT OF APPEALS E
FOR THE EIGHTH CIRCUIT ‘

WILLIAM L. KUTMUS
910 Fleming Building
Des Moines, lowa 50309

Counsel for Petitioner

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IN THE
SUPREME COURT OF THE UNITED STATES

OCTOBER TERM, 1973

No. 73-1106

IRVING WILLIE TOMPKINS.

Petitioner,

UNITED STATES OF AMERICA.
Respondent.

PETITION FOR WRIT OF CERTIORARI TO THE
UNITED STATES COURT OF APPEALS
FOR THE EIGHTH CIRCUIT

The Petitioner respectfully prays that a writ of
certiorari issue to review the judgment and opinion of the
United States Court of Appeals for the Eighth Circuit
entered in the above entitled case on October 24, 1973.

OPINION BELOW

The opinion of the Court of Appeals, not yet reported,
appears in Appendix A hereto. The opinion of the United
States District Court for the Southern District of lowa is
not reported.

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JURISDICTION

The judgment of the Court of Appeals for the Eighth
Circuit was entered on October 24. 1973. The Petition
for certiorari was filed within 90 days of that date. This
Court's jurisdiction is invoked under 28 U.S.C. §1254(1).

QUESTION PRESENTED

Did the Court err in allowing the admission of
Government’s Exhibit 2-1 over the objection that it
violated the Defendant's right to confront the witnesses
against him, guaranteed by the Sixth Amendment to the
Constitution of the United States?

CONSTITUTIONAL PROVISION

The Sixth Amendment of the Constitution of the
United States provides in part that:

“in all criminal prosecutions, the accused shal! enjoy

the right...to be confronted with the witnesses

against him...”

STATEMENT OF THE CASE

The defendant, Irving Willie Tompkins, was indicted
on two counts of unlawful possession of a check,
knowing that said check had been stolen from the mail
and on two counts of defrauding the United States by
forging and uttering checks. The defendant was indicted
on December 19, 1972, and later entered a plea of not
guilty. The case was tried before the jury, and the Judge
sustained a motion for a judgment of acquittal on one
count of unlawful possession and one count of uttering
and forging a check. The defendant was found guilty on
the remaining two counts of the indictment. On February

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20, 1973, the trial court entered judgment against the
defendant, sentencing him to five years on each count:
said sentences to run concurrently and not consecutively.

The evidence tended to show that on April 4. 1972. a
Mrs. Cathy Jean Simons worked for the Central National
Bank as a bank teller and received a U.S. Treasury check
payable to the order of Richard Harris from a customer
who she could only identify as a man. Mrs. Simons then
wrote down the license plate number of the car in which
he was riding, and gave him cash. Mrs. Simons did not
recall how many people were in the car. or describe the
make of the car. The evidence adduced at the trial
revealed that the vehicle at the motor bank at that time
and place was registered to Maxine Frances Bumpus.

Mr. Dawson, a handwriting and fingerprint expert.
testified that the check payable to Richard Harris
contained a partial latent fingerprint beionging to the
finger of Irving Tompkins. Mr. Dawson further testified
that the signature affixed to the check of Richard Harris
was in fact written by Irving Tompkins.

Mrs. Wilma Harris, the widow of Richard Harris,
testified that her husband had died on August 26, 1972.
She further testified that her husband had not received
his April, 1972 social security check in the mail. She
further stated that she obtained a form from the Social
Security Board. The form stated in essence that Mr.
Harris has not received his April social security check.
Mrs. Harris testifed that at the time Mr. Harris signed the
form he has been noticeably affected by a stroke. had
been in the hospital and could not understand things
clearly. He signed the form with an X.

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CONCLUSION

For the reasons stated, petitioner urges that the
petition be granted.

Respectfully submitted.

WILLIAM L. KUTMUS
Holmes. Ralph & Kutmus
910 Fleming Building
Des Moines. lowa 50309

Counsel for Petitioner

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APPENDIX A
United States Court of Appeals

FOR THE EIGHTH CIRCUIT

No. 73-1144

United States of America, )

Apouliee, Appeal from the

United States Dis-
trict Court for the
Southern District of

Irving Willie Thompkins.
| Towa.

Appellant. -

Submitted: September 14, 1973
Filed: October 24, 1973.

Before Gibson ang BRIGHT, Circuit Judges, and Smit, Senior
District Judge.*

Gipson, Circuit Judge.

The defendant, Irving Willic Thompkins. was indicted on
two counts of violating 1” U.S.C. §1708 (posscssion of gov-
ernment checks stolen from the United States maiis) and on
two counts of vioiating 18 U.S.C. $495 (uttering and forging

* The Honoracle Talbot Smith, Senior District Judge. Eastern District of
Michigan. sitting by designation.

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stolen government checks}. The Honorable William C. Stuart,
District Judge. Southern District of Iowa, dismissed one count
of possession of 2 government check stolen from the mails and
one count of uttering and forging a stolen government check,
beth counts relating to 2 federaj tax refund check. The jury
found defendant guilty of ome count of violating 18 U.S.C.
$1708 and one count of violating 18 US.C. §495, both counts
relating to 2 United States Treasury social security check. The
District Court sentenced defendant to five years imprisonment
each on the two counts, the sentences to run concurrently.

On appeal, defendant raises two issues: (a) alleged error in
adnutung 2 Umited States Treasury claim form for the pro-
ceeds of a govermment check, 2s violative of the hearsay rule,
and (b) violation of defendant's Sixth Amendment's right to
confrontation by admission of the same form into evidence. We
reject these arguments and afirm the judgment of conviction.

On April 4, 1972, the defendant drove into Central National
Bank’s automodile drive-in facility, in Des Moines, Iowa, and
presented 2 United States Treasury check (a social security
check) payable to Richard Harms for payment. The teller
cashed the check for the defend2nt. but on the back of it, wrote
down an address given to her by the defendant and noted his
1972 Iowa license plate number as he drove away. The United
States Secret Service traced the Lcense plate number to its regis-
trant, Maxine Frances Bumpus, with whom the defendant lived.
The Bumpus’ residence was nearby the Harris’ home. Hand-
writing analysis established that the defendant signed Richard
Harris’ name to the social security check, and a fingerprint of
the defendant was on the check.

Richard Harris, the intended recipient of the check, did not
receive his April, 1972, social security check (hereinafter check)
which usually arrived on the third of each month. Richard

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Harris dicd on August 26, 1972, and the defendant's trial com-
menced on February 5, 1973. Harris’ wife testified concerning
the check and the Department of Treasury claim form (hervin-
after form) alleged by defendant to be inad:nissible due to the
hearsay evidence rule.

Mrs. Harris testified that her husband had been ill with a
stroke for approximately three years before his death. Althoug
Mr. Harris had signed his monthly social security checks an
cashed them at a local grocery store before a subsequent hospital
stay, Mrs. Harris—though not a payee—had been cashing
these checks for two and one-half years prior to his death by
endorsing his and her names. On April 3, 1973, when Mr.
Harms’ check should have arrived, Mr. Harris was bedridden
with a stroke and a broken hip, and could not talk. Mrs. Harris
testified that her husband was usually in bed upstairs during this
time and that he occasionally came downstairs with someone's
help. She also said that somcone was always in the house with
Mr. Harris during this time, and that the check never arrived

This appeal centers on the admission of a Government ex-
hibit, a Department of Treasury Form TUS 1133C (Rev. 5-70),
entitled “Claim Against the United States for the Proceeds of a
Government Check or Checks.” This form is regulariy used by
the Department of Treasury to process claims for the proceeds
of federal government checks that should have been reccived
by payees, but for some reason were not. The form included
the typed name of Richard Harris as payee and the amount,
date, symbol, and check number. The form was received by the
Claims Division of the Department of Treasury on July 10,
1972. In addition to this information, the following printed
paragraph appeared:

“I am the payee and owner of the following-described check
and, having examined a photocopy of the check and the

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endorsement thereon, declare that I did not im any manner
participate in any part of the proceeds and I hereby make
claim for the amount of the check.”
The form included spaces for the signatures of the payee, co-
payee (if applicable), and two witnesses.

During the iate spring or early summer of 1972, Mrs. Harns
informed the local social security office that Mr. Harris had
not received his’ April, 1972, check, and the above-described
form 2nd 2 photostatic copy of the forged check was eventually
forwarded to the Harris residence. Government officials told
Mrs. Harris that Mr. Harris had to sign his name or an “X”
on the form. Mr. Harris knew, before the form was sent, that
his April, 1972, check was missing. Mrs. Harris took the form
to the hospital and helped Mr. Harris hold a pencil as he made
a shaky “X” on the blank provided for the payee. Mrs. Harris
signed her name as a “co-payee.” though the check was not
payable to her, and two witnesses also signed the form. At trial,
Mrs. Harris further testified that neither Mr. Harris or she had
cashed the April, 1972, check and that Mr. Harris had not au-
thorized anyone else to cash it. The defendant timely objected
to the admission of the form, which objection was overruled.
No admonitions or instructions were given by the court con-
cerning any limited admissibility of the form and the entire form
was admitied into evidence. All of the above facts are uncon-
tradicted, since defendant presented no evidence.

First. defendant contends that ihe contested form should have
been inadmissible as hearsay. He argues that the form was
“offered into evidence for the purpose of proving that appellant
was without authority to possess the U. S. Treasury check at
issue, and endorse the payee’s name.” The Government re-
sponds that the form was admissible under the Proposed Rules
of Evidence 804(a)(4), 51 F.R.D. 315, 438 (March 1971);

under the Federal Business Records Act, 28 U.S.C. §§1732
and 1733; or as a dying declaration.

Only brief comment is required on the dying declaration
contention. The Government only asserts that a dying declara-
tion is “generally and widely recognized as an exception to the
hearsay rule.” It cites us no Iowa rule or an equity rule of evi-
dence in federal courts on dying declarauons, nor has the Gov-
ernment demonstrated from the record the fulfillment of the re-
quirements of any dying declaration rule, which varies con-
siderably from jurisdiction to jurisdiction. C. T. McCormick,
Law of Evidence, $$258-64 at 555-60 (1954) (hercinafter
McCormick). We should note here that it is generally recog-
nized that “the decizrant must at the time he made his state-
ment have been conscious that death was near and certain”
and that “{hJe must have lost all hope of recovery.” McCormick,
$259 2 S555 (footnotes omitted) Although the record indi-
cates that Mr. Harris was a “very sick” man with 2 stroke, there
is NO express testimony indicating that the decedent had lost all
hope of recovery or that he knew death was near and certain.
Since the record does not indicate these requirements of the
dying declaration rule, Richard Harmis’ statement is not ad-
missible as a dying declaration exception to the hearsay rule.

At the onset. defendant does not argue that the entire form
was inadmissible to prove that a claim had been made by the
intended payee. Clearly, 28 U.S.C. §§1732 and 1733 allow
the introduction of this form, since that form was made prompuy
during the regular course of business of the Department of
Treasury. The fact that the claim was made is “typical of entries
made systematically or as a matter of routine to record cvents
or occurrences, to reflect transactions with others, or to provide
internal controls.” Palmer v. Hoffman, 318 U.S. 109, 113
(1943); see 5 Moore's Federal Practice §43.04 at 1332-1338
(1971).

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However, the difficulty with the admission of this contested
form concerns Richard Harris’ statement that he “did not in any
manner participate in any part of the procceds.” This statement
was hearsay, as it was written evidence by Mr. Harris,' “of a
statement made out of court, such statement being offered as
an assertion to show the truth of matters asserted thercin, and,
thus resting for its value upon the credibility of the out-of-court
asserter.” McCormick §275 at 460.

Fed. R. Civ. P. 43(a) governs the admissibility of evidence
in federal courts. Ii reads:

“(a) FORM and ADMISSIBILITY. In all trials the testi-
mony of witnesses shall be taken orally in open court, ur-
less otherwise provided by these rules. All evidence shall
be admitted which is admissible under the statutes of the
United States, or under the rules of evidence heretofore
applicd in the courts of the United States on the hearing
of suits in equity, or under the rules of evidence applicd
in the courts of general jurisdiction of the state in which
the United States court is held. In any case, the statute or
rule which favors the reception of the evidence governs and
the evidence shall be presented according to the most con-
venient method prescribed in any of the statutes or rules to
which reference is herein made.”

Evidence is admissible in federal courts under Rule 43(a) if
properly allowable under a federal statute, under the rulcs of
evidence applied in federal courts in equity suits, or according
to the rules of evidence applied in the courts of gencral jurisdic-
tion of the state in which the federal case is heard. Wright v.
Wilson, 154 F.2d 616, 617 (3rd Cir. 1946); Peoples Loan and
Investment Co. v. Travelers Ins. Co., 151 F.2d 437, 440 (8th
Cir. 1945). Although Rule 43(a) is cast towards admissibility,

1 Although Mrs. Harris signed the form, the Government does not argue
that the statement was also made by her. Evidently, the Government con-
siders Mr. Harris the only out-of-court declarant.

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it deals only with admissibility and has nothing to do with what
should be excluded. Wright v. Wilson, supra at 617. 5 Moore's
Federal Practice $43.04 at 1325. Therefore, if a state law de-
inands exclusion of certain proffered evidence and no federal law
calis for admissibility, that evidence is not admissible in federal
courts.

The defendant has not indicated on appeal any rule of evi-
dence in lowa, cither statutory or of common law origin, that
would exclude the contested fora. The Government does not
cite us any Iowa authority for the admission of the form. We,
therefore, are left to apply general rules of evidence appiicabiz
under Rule 43(a), having in mind reievancy, tateriality, and
trustworthiness of hearsay type evidence.

The Government claims that Propesed Rules of Evidence
804(a)(4), S51 F.R.D. 315, 438 (March 1971), allows the
admission of the form. However, since these rules of evidence
are at this time still only preposed, they are nct viable on the
date of this occurrence or trial and do not, as yet, have force
of law. Therefore, this opinion offers no view on whether Pro-
posed Rule 804(2)(4) would allow admission of the form for
the purpose of proving the truth of the statement made by
Richard Harris.

Although the Government asserts that 28 U.S.C. §$1732
and 1733 (the Business Records Act) allow the admission of
the entire form to prove the truth of the matters thercin asserted,
it makes no particular argument concerning the statutes or
cites any case authority. The Government's strongest statutory
argument favoring admissibility rests on the foliowing specific
language:

“All other circumstances of the making of such writing
or record, including lack of personal knowledge by the

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entrant or maker, may be shown to affect its weight, but
such circumstances shall not affect its admissibility.”

28 U.S.C. $1732(a).

To apply this statutory argument, Richard Harris must be
seen as the “entrant or maker” of the form. However, Professor

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hicCornuck has commented:

“This (the above quoted sentence from 28 U.S.C. $1732
(a)} could be interpreted as abolishing the requirement of
first-hand knowledge by one whosz2 job is to know the fa:: .
The more reasonable interpretation, however, is to read
‘entrant or maker’ as meaning the recorder only, and thus
merely making clear that one who makes the recor’ on
reports of others need not know the facts, without broaden:-
ing (beyond the probable intcat of the drafters) the content
of this hearsay exception to embrace records found2d on
reports by one who has no business duty to know the facis.”
(footnote omitted).

McCormick $286 at 602.

Further, tre Court in Palmer v. Hoffman, 318 U.S. 109, 114
(1942), scid:

“Nor is it any answer to say that Congress has provided ir
the Act that the various circumstances of the making of
the rscord should affect is weight, not its admissibiiity.
That provision comes into play only in caso tke other re-
quirements of the Act are met.”

The Court, in explaining these requircments, said in Palmer.
that the test for admissibility should be the “character of the
records ad their carmarks of reliability.” Palmer v. Hoffmci,
supra at 1:4. It also held:

“If the Act is to be extended to apply not only to a ‘regular
course’ of a business but also to any ‘regular course’ of
conduct which may have some relationship to busincss.
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change which opens wide the door to avoidance of cross-
examination should not be left to implication.”

Palmer v. Hoffman, supra at 114.

Although the Department of Treasury or other government
agencies does investigate claims made by payees and, therefore,
would have some personal knowledge concerning payces’ state-
ments on the contested form, the use of the form alone to prove
that the payee did not participate in the proceeds of government
checks abrogates cross-examination of payees. The Business
Records Act, particularly 28 U.S.C. §1732(a), should not be
read so broadly as to allow the admission of Richard Harris’
statement that he “did not in any manner participate in any
part of the proceeds.”

This case is similar to the many cases involving third party
statements contained in police reports and heid inadmissible.
For cxample, in United States v. Graham, 391 F.2d 439, 448
(6th Cir. 1968), the court held that “a police report is not ad-
missible under the Federal Business Records Act for the sole
purpose of establishing the truth of the matter asserted by a third
party informant.” In the present case, the form also should not
be admissible to prove the truth of the matter asserted by Richard
Harris, a third party informant to the United States Government,
though it would be admissible as proof that the check in qucs-
tion had been reported stolen. United States v. Graham, supra
at 448. The investigatory capacities of the police and the United
States Government, in addition to the reliability of police re-
ports and Treasury Department claim forms, are similar. How-
ever, in both situations, the third party informant should be
available for cross-examination. The police and the Treasury
Department should not be the ultimate tricrs of such important
facts, which are for jury resolution.

The Graham court also said:

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“These acts [Business Records Acts] were intended to make
admissible records which because made pursuant to a
regulor business duty, are presumed ‘vo be reliavic. The
mere fact that recordation of third party statements is
routine, taken apart from the source of the information
recorded, imports no guaranty of the truth of the statements
themsclves. There is no reason for supposing an intention
to make admissible hearsay of this sort. So to construc
these statutes would make of them almost limitless dragnets
for the introduction of random, irresponsible testimony
beyond the reach of the usual tests for accuracy.”

United States vy. Graham, supra at 448, quoting Note, Revised
Business Entry Statutes: Theory & Practice, 48 Colum.L.Rev.
920, 926-27 (1948).

Therefore, Richard Harris’ statement in the Department of
Treasury form that he “did not in any manner participate in any
part of the proceeds” was inadmissible hearsay.

Our inquiry, however, docs not terminate at this point, for
this case involves unusual facts and other relevant cvidence ade-
quately supports the judgment of conviction. Although Richard
Harris’ statement was inadmissible hearsay to prove the truth
of the matters therein asserted and although Richard Harris,
deceased at the time of defendant's trial, was not available for
cross-cxamination, Mrs. Harris did testify concerning the con-
tested form. She further related the history of her husband’s
iliness and his inability even to come downstairs without help
on April 3, 1972, when the check should have arrived. Accord-
ing to the Harris’ usual routine of cashing the social security
checks, Mr. Harris would not even have seen the April, 1972,
check. Obviously, Mrs. Harris handled the family’s finances dur-
ing the entire period covered by this check and the ensuing
execution of the form.

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In addition to these unusual facts, defendant propounds a
specious argument by claiming that the claim form was “offered
into evidence for purpose of proving that appellant was without
authority to possess the U.S. Treasury check at issue, and en-
dorse the payee’s name.” Inferentially, defendant, though mak-
ing no express argument or citing any authority, is claiming
that “lack of authority” by a defendant to possess stolen mail
matter is, under 18 U.S.C. §1708, an element of the crime,
actually a negative fact that allegedly must be proved by the
Government. Although it is unclear exactly what defendant
is arguing, apparently defendant is saying that he had been given
the authority to possess the check by Mr. or Mrs. Harris and the
Government had to negate this contention as part of its burden
of proof.

However, “authority to possess” the check is not an element
of the crime under 18 U.S.C. $'708. The Government to
sustain its burden of proof under 18 U.S.C. $1708 must only
establish “possession . . . [and] that the letter was stclen from
the mails, and that the defendant knew the letter and its con-
tents had been so stolen.” Allen v. United States, 387 F.2d
641, 642 (Sth Cir. 1968). Whether the defendant had the
“authority to possess” the mailed social security check would
properly be a defense, not an element of the crime to be proved
by the Government. The Government is not required to “negate
every other possibility” concerning the defendant's possession
of the stolen mail. United States v. Mooney, 417 F.2d 936,
938 (8th Cir. 1969).

In this light, the Government's use of the contested claim
form was cumulative evidence to prove that defendant lacked
the authority to possess the check. Mrs. Harris also testified
that neither Mr. Harris or she received the check on April 5
1972, or authorized anyone to cash the check or receive its

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proceeds. The contested form corroborated Mrs. Harris’ testi-
mony, which in itself was sufficient circumstantial evidence for
an inferenc> that the check was stolen from the mail. United
States Vv. Mooney, supra at 938.

We think that, under the facts of this case, the admission of
Richard Harris’ inadmissible hearsay statement was harinless
error, since Mrs. Harris testified that neither Mr. Harris nor she
received the social security check or authorized anyone to re-
ceive the proceeds, since Mrs. Harris was extensively cross-
examined, and since the form was cumulative evidence cor-
roborating Mrs. Harris’ testimony. No substantial right of the
defendant was violated. United States v. Schroeder, 433 F.2d
846, 848 (8th Cir. 1970), cert. denied sub nom. Allen v. United
States, 400 U.S. 1024 (1971); Fed. R. Crim. P. 52(a).

Further, the present case is similar to Ashley v. United
States, 413 F.2d 249 (10th Cir. 1969), in which a police report,
admitted into evidence, contained stolen juke boxes’ serial num-
bers learned from a third party. The court held that the ad-
mission of this hearsay statement concerning the serial numbdcrs
was not prejudicial to defendant's rights, since other properly
admitted business records sufficiently corroborated the police re-
port, removing “any taint of unreliability.” Ashley v. United
States, supra, at 251. In this case, Mrs. Harris’ testimony cstab-
lished the elements of the crime, and the contested claim form
was cumulative, circumstantial evidence to prove that the check
was stolen from the mail. The defendant, also, makes no claim
that there was insufficicnt evidence for the jury to convict him
of the charged counts of possession and forgery. Similarly de-
fendant’s rights have not been prejudiced.

The defendant also argues that the admission of the contested
form violated his Sixth Amendment’s right “to be confronted
with the witnesses against him.” The defendant admits that a

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violation of the hearsay rule does not necessarily mean that the
Sixth Amendment's right to confrontation has been violated.
California Vv. Green, 399 U.S. 149, 156 (1970). The main con-
cern focused upon in Greez: in examining the right of confronta-
tion under the Sixth Amendment was the necessity for the de-
fendant to be able to cross-examine witnesses against him.* of
course, we have held in this case that the defendant had an
ample opportunity to cross-examine Mrs. Harris, who knew
more about the form than her husband. In Dutton v. United
States, 400 U.S. 74. 89 (1970). the Court held:

“The decisions of this Court make it clear that the mission
of the Confrontation Clause is to advenee a practical con-
cern for the accuracy of the truth-determining process in
edie triais by assuring that the trier of fact [has} a
satisfactory basis for evaluating the truth of the prior stzie-
ment.’ California v. Green, 399 U.S. at 199."
Since the defendant cross-examined Mrs. Harris concerning her
husband's statement in the contested form and since Mrs. Harnis
obviously knew more about the family’s finances, the form, ane
the stolen check, we think that the admission of the form did
not viclate defendant’s Sixth Amendment's right to confronta-
tion.

Judgment atirmed.

“y true Copy.

Attest:
Cier:, U. §. Court of Appeals, Eighth Circuit.

2 Green reviewed Pointer v. Texas, 380 U.S. 400 (1965); _ rber v. Poze,
390 US. 719 (1968); and Bruton v. United States, 331 U.S. 123 (1968), in
$

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hight. California v. Green, supra at 152-64.

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Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/brief%3Amicro_IA40385607_1688%3A1. Public record. Not legal advice.
