Justice McCAFFERY.
This is an appeal from the denial of guilt phase relief sought by Steven Hutchinson ("Appellant") in a petition filed pursuant to the Post Conviction Relief Act ("PCRA").
On December 9, 1999, a jury convicted Appellant of first-degree murder and other crimes for shooting to death one of his girlfriends, Stephanie Epps, in front of her two young children. The children had testified at trial, unequivocally identifying Appellant as the individual who had shot their mother. Appellant had presented an alibi defense, attempted to undermine the credibility of the children's testimony, and advanced the theory that the victim's estranged
Our standard of review requires us to determine whether the ruling of the PCRA court is supported by the record and is free of legal error. Commonwealth v. Marshall, 596 Pa. 587, 947 A.2d 714, 719 (2008). The PCRA court's credibility determinations are binding on this Court when they are supported by the record. Commonwealth v. Johnson, 600 Pa. 329, 966 A.2d 523, 532, 539 (2009). However, this Court applies a de novo standard of review to the PCRA court's legal conclusions.
To prevail on a petition for PCRA relief, a petitioner must plead and prove by a preponderance of the evidence that his or her conviction or sentence resulted from one or more of the circumstances enumerated in 42 Pa.C.S. § 9543(a)(2). These circumstances include a violation of the Pennsylvania or United States Constitution or ineffectiveness of counsel, either of which "so undermined the truth-determining process that no reliable adjudication of guilt or innocence could have taken place." 42 Pa.C.S. § 9543(a)(2)(i) and (ii). In addition, a petitioner must show that the claims of error have not been previously litigated or waived. 42 Pa.C.S. § 9543(a)(3). An issue has been waived "if the petitioner could have raised it but failed to do so before trial, at trial, on appeal or in a prior state post[-]conviction proceeding." 42 Pa.C.S. § 9544(b). An issue has been previously litigated if "the highest appellate court in which the petitioner could have had review as a matter of right has ruled on the merits of the issue." 42 Pa.C.S. § 9544(a)(2).
The PCRA court has the discretion to dismiss a petition without a hearing when the court is satisfied "that there are no genuine issues concerning any material fact, the defendant is not entitled to post-conviction collateral relief, and no legitimate purpose would be served by any further proceedings." Pa.R.Crim.P. 909(B)(2). "[T]o obtain reversal of a PCRA court's decision to dismiss a petition without a hearing, an appellant must show that he raised a genuine issue of fact which, if resolved in his favor, would have entitled him to relief, or that the court otherwise abused its discretion in denying a hearing." Commonwealth v. D'Amato, 579 Pa. 490, 856 A.2d 806, 820 (2004).
Appellant's first seven issues allege ineffective assistance of his trial counsel and appellate counsel. We begin our analysis of these issues with the presumption that counsel is effective; the burden of proving otherwise rests with the petitioner. Commonwealth v. Cox, 603 Pa. 223, 983 A.2d 666, 678 (2009). Accordingly, to prevail on his claims of ineffective assistance of counsel, Appellant must plead and prove, by a preponderance of the evidence, three elements: (1) the underlying legal claim has arguable merit; (2) counsel had no reasonable basis for his or her action or inaction; and (3) Appellant suffered prejudice because of counsel's action or inaction. Commonwealth v. Steele, 599 Pa. 341, 961 A.2d 786, 796 (2008) (citing, inter alia, Commonwealth v. Pierce, 515 Pa. 153, 527 A.2d 973 (1987)). With regard to the second, i.e., the "reasonable basis" prong, we will conclude that counsel's chosen strategy lacked a reasonable basis only if Appellant proves that "an alternative not chosen offered a potential for success substantially greater than the course actually pursued." Cox, supra at 678 (quoting Commonwealth v. Williams, 587 Pa. 304, 899 A.2d 1060, 1064 (2006)). To establish the third prong, Appellant must show that there is a reasonable probability that the outcome of the proceedings would have been different but for counsel's action or inaction. Commonwealth v. Dennis, 597 Pa. 159, 950 A.2d 945, 954 (2008).
Because Appellant's direct appeal was decided in October 2002, approximately two months before this Court's decision in Commonwealth v. Grant, 572 Pa. 48, 813 A.2d 726 (2002), Appellant was required to raise claims of trial counsel ineffectiveness at the time that he obtained new counsel. See Commonwealth v. Hubbard, 472 Pa. 259, 372 A.2d 687 (1977) (requiring that a petitioner raise claims of trial counsel ineffectiveness at the time he
Appellant may properly raise claims of appellate counsel ineffectiveness under the PCRA, including claims of appellate counsel ineffectiveness grounded in a failure to raise trial counsel ineffectiveness on direct appeal. Cox, supra at 678-79; Dennis, supra at 954-55; Commonwealth v. Washington, 592 Pa. 698, 927 A.2d 586, 595 (2007) (citing Commonwealth v. McGill, 574 Pa. 574, 832 A.2d 1014, 1022 (2003)). However, such claims must be "layered," i.e., argument must be presented as to each prong of the Pierce test for each layer of allegedly defective representation. Dennis, supra at 954-55; Washington, supra at 595. To establish the first, i.e., the "arguable merit" prong of a claim of appellate counsel ineffectiveness for failure to raise a claim of trial counsel ineffectiveness, a petitioner must prove that trial counsel was ineffective under the Pierce standard. Dennis, supra at 955; Washington, supra at 595. If a petitioner cannot prove that trial counsel was ineffective, then petitioner's derivative claim of appellate counsel ineffectiveness must also fail, and the court need not consider the other two prongs of the Pierce test as applied to appellate counsel ineffectiveness. Commonwealth v. Rainey, 593 Pa. 67, 928 A.2d 215, 224 (2007).
It is important to recognize that a claim of appellate counsel ineffectiveness for failing to raise a claim of trial counsel ineffectiveness is distinct from a claim of appellate counsel ineffectiveness grounded in the manner in which appellate counsel litigated a claim of trial counsel ineffectiveness on appeal. See Tedford, supra at 16. In the former case, the claim of trial counsel ineffectiveness has been waived, and the appellant must show that appellate counsel was ineffective for failing to raise the claim; however, in the latter case, the claim of trial counsel ineffectiveness claims has been previously litigated, and the appellant must show that appellate counsel was ineffective in the manner in which he or she litigated the claim.
We turn now to Appellant's claims of appellate counsel ineffectiveness.
In Appellant's first issue, he contends that trial and direct appeal counsel were ineffective for failing to raise the claim that the Commonwealth had used its peremptory strikes in a discriminatory manner, in violation of Batson v. Kentucky, 476 U.S. 79, 106 S.Ct. 1712, 90 L.Ed.2d 69 (1986). See Appellant's Brief at 13. To support this contention, Appellant proffers the following: (1) the prosecutor struck African-American venirepersons at approximately
In Batson, supra at 89, 106 S.Ct. 1712, the United States Supreme Court held that "the Equal Protection Clause forbids a prosecutor to challenge potential jurors solely on account of their race." Accordingly, the United States Supreme Court permitted "an individual defendant to show that he was denied equal protection by the prosecutor's improper exercise of peremptory challenges in a racially discriminatory manner in his individual case." Commonwealth v. Daniels, 600 Pa. 1, 963 A.2d 409, 434 (2009). We have previously explained the framework for analyzing a Batson claim as follows:
Commonwealth v. Cook, 597 Pa. 572, 952 A.2d 594, 602 (2008) (quoting Commonwealth v. Harris, 572 Pa. 489, 817 A.2d 1033, 1042 (2002)).
However, when, as here, defense counsel did not raise or preserve any claim of racial discrimination in jury selection with a contemporaneous Batson objection at trial, we have repeatedly held that the Batson framework does not apply. See, e.g., Commonwealth v. Ligons, 601 Pa. 103, 971 A.2d 1125, 1142 (2009);
In the instant case, Appellant contends that he has established a pattern of racial discrimination in jury selection based on the disparity in the percentages of African-American versus white venirepersons that the prosecutor struck by peremptory challenges. He alleges that Assistant District Attorney William Fisher, who prosecuted his case, struck 10 out of 16 African-American venirepersons (62.5%), but struck only 8 out of 25 non-African-American venirepersons (32.0%), yielding a jury composed of 3 African-Americans, 8 white persons, and 1 person of unknown race. See Appellant's Brief at 14-15 & n. 7.
In denying Appellant's claim, the PCRA court pointed out that 53 persons were eligible to be struck by either the Commonwealth or the defense; of this total,
The additional allegations that Appellant proffers, even when taken together with the argument based on peremptory strikes discussed above, likewise do not demonstrate purposeful discrimination. Appellant contends that, in seven other capital cases tried before juries between 1991 and 1997, Mr. Fisher likewise struck a higher percentage of African-American venirepersons than non-African-Americans. Appellant proffers similar statistics for the District Attorney's Office as a whole.
The only other evidence that Appellant proffers to support his Batson claim is the existence of the McMahon and Sagel training lectures. Appellant references specifically a videotape of the McMahon lecture and handwritten notes by then-A.D.A. Gavin Lentz from the Sagel lecture. On numerous occasions, we have condemned in the strongest possible terms the tactics and practices expounded in the McMahon lecture as violative of basic constitutional principles. See, e.g., Commonwealth v. Marshall, 596 Pa. 587, 947 A.2d 714, 722 (2008); Commonwealth v. Basemore, 560 Pa. 258, 744 A.2d 717, 731 n. 12 (2000). We do so again here. However, we have also made clear that the mere existence of the McMahon and Sagel lectures establishes neither a general policy in the District Attorney's Office of racial discrimination in jury selection, nor the presence of racial discrimination in jury selection in an individual case when a prosecutor other than McMahon or Sagel represented the Commonwealth. See Ligons, supra at 1145-46 (rejecting the appellant's Batson claim of a "culture of discrimination" based on the McMahon lecture videotape and Sagel lecture notes because there was no connection to the appellant's individual case); Clark, 961 A.2d at 96 (rejecting a Batson claim that was based on the McMahon lecture videotape and Sagel lecture notes and emphasizing that "the evidence offered in a Batson claim must be grounded in the particular facts of the appellant's case"); Marshall, supra at 722 & n. 7 (rejecting the appellant's Batson claim
In Appellant's case, the prosecutor was William Fisher, and Appellant has not alleged any connection between Mr. Fisher and either Mr. McMahon or Mr. Sagel or their lectures. Furthermore, the two lectures were delivered, respectively, twelve and nine years before Appellant's trial.
In sum, we conclude that the denial of Appellant's Batson claim by the PCRA court is supported by the record and is legally sound. Appellant's proffered evidence does not establish actual, purposeful discrimination in jury selection. Appellant has cited no occurrence at trial, no words of the prosecutor or defense counsel or trial judge, and no action by the court that could lead to an inference of racial discrimination in jury selection. Because Appellant's Batson claim is meritless, he is unable to prove a claim of trial counsel ineffectiveness for failing to raise a Batson objection at trial, and hence his derivative claim of appellate counsel ineffectiveness also must fail.
In Appellant's second issue, he asserts that trial counsel and direct appeal counsel were ineffective for failing, respectively, to object to and to raise a claim regarding the presence of the jury during the colloquy to determine competency of the two juvenile witnesses. The witnesses in question were the victim's minor children, Desiree, a nine-year old girl, and Philip, a twelve-year-old boy,
Although competency of a witness is generally presumed, Pennsylvania law requires that a child witness be examined for competency. See Commonwealth v. Delbridge, 578 Pa. 641, 855 A.2d 27, 39 (2003) (citing Rosche v. McCoy, 397 Pa. 615, 156 A.2d 307, 310 (1959) and Pa.R.E. 601).
In Washington, supra, the decision on which Appellant relies, defense counsel raised a challenge to the competency of the two complainants, who were eight and nine years old at the time of the appellant's trial for sexual offenses against them. Defense counsel sought a competency hearing outside the presence of the jury, but the trial judge denied this motion; instead, the prosecutor and defense counsel conducted voir dire of the child witnesses before the jury. Id. at 644-45. The children were questioned about a variety of personal matters, including their ages, birthdays, siblings, schools, teachers, and Christmas presents; about discussions with the assistant district attorney regarding their testimony; and about the difference between telling the truth and telling a lie. Id. at 645. When, at the end of voir dire, defense counsel objected to the witnesses' competency, the trial judge overruled the objection and specifically stated in the presence of the jury that the witnesses were competent. Id. No cautionary instruction was given to the jury regarding the significance or limitations of this ruling. Trial proceeded, and the appellant was convicted. On appeal before this Court, the appellant argued that permitting the jury to observe voir dire and to hear the trial court's competency ruling left the impression that the trial court was endorsing the credibility of the witnesses. Id. In addition, the appellant argued that the witnesses' repeated assertions that they were telling the truth unfairly bolstered their testimony. Id. at 645-46.
A majority of this Court accepted the Washington appellant's arguments and accordingly granted him a new trial. In reaching this decision, the Court first reiterated the distinction between a competency determination, which is a legal issue for the court, and a credibility determination, which is a factual issue for the jury, and then concluded that the "invariable result of a jury's presence during competency proceedings is that the truth determining process exclusively reserved for the jury is influenced by the inquiry into competency." Id. at 646. Thus, even with a cautionary instruction, which was not given in Washington, when the competency proceedings take place in the presence of the jury, they "inevitably permeate[ ] into the veracity determination assigned exclusively to the jury." Id. at 647. Moreover, the Court expressed concern that a trial judge's ruling of competence would be interpreted by the jury as a judicial endorsement of the witness's credibility. Id. at 646. Based on these considerations, the Court set forth a per se rule requiring that the jury not be present during a competency hearing for a child witness. Id. at 647.
In promulgating this rule, the Court recognized that some "foundational questioning"
Notes of Testimony ("N.T."), 12/1/99, at 117-21.
The prosecutor then proceeded immediately to question Desiree concerning what she did and what she saw on the day of her mother's murder. At no point before, during, or after voir dire did defense counsel object to the voir dire format or questioning, and the trial court made no comment as to the witness's competency. After the prosecutor's direct examination of Desiree, defense counsel extensively cross-examined her, beginning with a few general questions concerning the year her mother was shot, her grade in school at that time, and her school and after-school programs. N.T., 12/2/99, at 8-11.
The next witness was the victim's twelve-year-old son, voir dire of whom consisted, in its entirety, of the following:
N.T., 12/2/99, at 52-54.
The prosecutor then proceeded to ask Philip questions about his activities and his observations on the day of his mother's murder; following this examination, Philip was extensively cross-examined by defense counsel. At no point did the trial court comment on or even mention Philip's competency to be a witness.
Appellant argues that trial counsel was ineffective for not objecting to the presence of the jury during the above voir dire of the children, and that appellate counsel was ineffective for failing to raise this issue of trial counsel ineffectiveness. Appellant relies on Washington, supra, wherein, as discussed above, this Court promulgated a per se rule that a competency hearing for child witnesses must be held in the absence of the jury.
Although the trial court held no formal, separate competency hearing, it is obvious from the above-quoted voir dire that the children were questioned as to their understanding of the concept of truth versus a lie immediately prior to their testimony concerning the murder of their
It is important to recognize that the trial court never issued an express or formal ruling that the children were competent to testify. In fact, the trial court never made any mention of the children's competency. The children's answers to questions about the distinction between truth and a lie flowed seamlessly into their testimony regarding their mother's murder. Thus, contrary to Appellant's contention, the trial court did not endorse or vouch for the credibility of any part of the children's testimony.
In addition, the trial court expressly and repeatedly instructed the jury that it was the sole fact-finder and sole judge of credibility. In its initial remarks to the jury, the trial court stated the following:
N.T., 12/1/99, at 93-94, 96.
Similarly, in the charge to the jury just prior to the start of its deliberations, the court stated as follows:
N.T., Jury Charge, 12/8/99, at 113-17 (emphasis added).
Thus, the court's instructions to the jury, both before testimony began and at the close of all testimony, were absolutely clear: the jury—and the jury alone—was responsible for evaluating and deciding upon credibility of the witnesses. The court explicitly instructed the jury to consider whether the ability of a witness to see, hear, know, remember, or describe things was affected by, inter alia, youth. The jury is presumed to follow the court's instructions. Commonwealth v. Spotz, 587 Pa. 1, 896 A.2d 1191, 1224 (2006). Appellant has provided not the slightest evidence that the jury did not do so in this case.
We recognize the importance of the children's testimony to the Commonwealth's case against Appellant. They were the only eyewitnesses to the murder, and the defense attempted to undermine the credibility of their testimony as inconsistent with Appellant's alibi. However, it must be noted that other evidence admitted at trial was consistent with the testimony of the children. Jennifer Pugh, the victim's sister, testified that Philip called her immediately after the murder, very anxious and excited, and said that "Steve" had shot his mother. N.T., 12/7/99, at 12.
Furthermore, and very importantly, the children were unwavering in their testimony that Appellant shot their mother after she had entered their apartment building and was waiting for an elevator. The children knew Appellant as their mother's boyfriend who had stayed at their residence on some occasions, and they identified
N.T., 12/2/99, Cross-examination of Desiree, at 17-18.
Id., Re-direct examination of Desiree, at 34-35.
Id. at 44-45.
Id., Re-cross examination of Desiree, at 47-48.
N.T., 12/2/99, Direct examination of Philip, at 59-60.
Id. at 66-67.
Id., Re-direct examination of Philip, at 139-40.
The above excerpts present only some examples of the extensive testimony of the children, consistent in its essence despite lengthy and aggressive cross-examination, and corroborated by other evidence admitted at trial. Based on our review of the entire record, we cannot conclude that there is a reasonable probability that the outcome of Appellant's trial would have been different but for trial counsel's failure
In Appellant's third issue, he alleges that trial counsel was ineffective for failing to object to the admission of evidence of several prior "bad acts," specifically, the following:
The issues underlying the ineffectiveness claims of sub-issues (a) and (b) have been previously litigated. On direct appeal, Appellant contended that the trial court had erred by allowing the victim's sister to testify that the victim said Appellant had struck her, the same testimony that is challenged here in sub-issue (a). Trial counsel objected to this testimony at trial, and thus the issue was preserved for review. See N.T., 12/3/99, at 61, 67-68;
Also on direct appeal, Appellant contended that trial counsel was ineffective for failing to object to the testimony of the victim's sister that the victim had said Appellant had tried to force himself on her, and to the testimony of Officer Fischer that one of Appellant's paramours had obtained a protection from abuse order against Appellant. Id. at 561; see sub-issues (a) and (b). We held that counsel was not ineffective for failing to object to this testimony, concluding that "both comments about which Appellant now complains were merely fleeting references made by [the] witnesses during cross-examination by defense counsel." Hutchinson, supra at 562. As such, "an objection by defense counsel might have served only to highlight the otherwise passing comments in the minds of the jurors." Id. We concluded further that Appellant had failed to make any showing that he was prejudiced by the failure of defense counsel to object to the challenged testimony. Id. Thus, these sub-issues of trial counsel ineffectiveness have been previously litigated. Appellant's present general assertion that appellate counsel raised trial counsel's ineffectiveness as to these sub-issues "ineffectively," see Appellant's Brief at 36, is not developed in any meaningful way and thus is not reviewable. Appellant declines to state—much less develop—any specific aspects of appellate counsel's performance that he finds problematic. Mere failure to prevail on a claim on direct appeal does not establish that appellate counsel was ineffective. Appellant is entitled to no relief on these sub-issues.
With regard to Appellant's sub-issues (c) and (d), we first note that, of all the claims asserted by Appellant with regard to these sub-issues, the only one cognizable is ineffective assistance of appellate counsel grounded in trial counsel's failure to object to the allegedly inadmissible testimony. Furthermore, we are guided by the following well-established principles with regard to the admissibility of evidence of prior crimes or bad acts:
Commonwealth v. Powell, 598 Pa. 224, 956 A.2d 406, 419 (2008) (internal citations omitted); see also Pa.R.E. 404(b).
In sub-issue (c), Appellant asserts that the Commonwealth improperly elicited hearsay testimony from Officer Starling concerning Appellant's threat to kill the children's father and victim's estranged husband, Mr. Epps. Appellant's Brief at 27, 29. Appellant cites the Commonwealth's direct examination of Officer Starling concerning his investigation of the murder, wherein the officer testified that, shortly after the murder, he and his partner were driving to the Germantown Avenue address to which Appellant's Lexus was registered. However, while en route to that address, they changed directions and instead drove to Mr. Epp's home "because another call came over the radio that the children's father lived up in Mount Airy and that his person may be in danger." N.T., 12/3/99, at 163-64. Officer Starling further testified that when he and his partner reached the street where Mr. Epps lived, they surveyed the area to determine if Appellant's Lexus was there. Id. at 166-67. There was no other testimony suggesting the possibility of danger to Mr. Epps during direct examination.
However, during cross-examination, defense counsel repeatedly raised the matter in an attempt to suggest that the officers went to Mr. Epp's home, not because they feared he was in danger, but because he was a suspect in the murder of his estranged wife. Relevant portions of Officer Starling's testimony in response to questioning by defense counsel are as follows:
N.T., 12/6/99, at 12-16, 21.
With the line of questioning quoted above, defense counsel was clearly trying to support his theory of the case, which he had also set forth in his opening statement, as follows:
N.T., 12/1/99, Defense Counsel's Opening Statement, at 111, 113.
As illustrated in the excerpts above, when considered in the appropriate context, Appellant's assertion that defense counsel was ineffective for failing to object to testimony regarding threats to Mr. Epps is revealed to have absolutely no merit. The Commonwealth's examination of Officer Starling concerning the investigative actions that police officers took shortly after responding to the scene of the murder elicited only very brief and general testimony regarding possible danger to Mr. Epps. Defense counsel—
In sub-issue (d), Appellant asserts that trial counsel was ineffective for failing to object to the Commonwealth's introduction of evidence that Appellant used several aliases, i.e., Steven Marshall, Steven Boswell, and Fabian Hutchinson. Appellant's Brief at 27, 29-30. Appellant further argues that the evidence of Appellant's aliases "served no relevant purpose and was introduced solely to establish Appellant's bad character." Id. at 30. Contrary to Appellant's assertions, the evidence of Appellant's aliases served not just one but two highly relevant purposes at trial.
First, the Commonwealth presented evidence that the victim had sought a protection from abuse order against "Steven Marshall" shortly before her murder, and Appellant's aliases were introduced to establish that the victim knew Appellant by this name. See N.T., 12/3/99, at 127-29. Specifically, all three aliases were written in the victim's appointment book, which the Commonwealth introduced into evidence, and the victim's sister testified that when the victim first met Appellant, she said his name was "Steven Boswell." Id. at 130-31.
Second, evidence of Appellant's aliases was relevant to the Commonwealth's theory that Appellant had fled from Pennsylvania shortly after the murder. Shannon Husbands, another one of Appellant's paramours, testified that, on September 16, 1997, the day of the murder, she purchased a cell phone contract with Appellant, who used the name Steven Marshall for the transaction. N.T., 12/6/99, at 134-36, 147-48. Ms. Husbands, who knew Appellant by the names of Steven Boswick and Steven Marshall, as well as Steven Hutchinson, further testified that Appellant remained in possession of the newly purchased cell phone, despite her attempts to retrieve it from him. Id. at 135-38, 141, 149, 151-53. The Commonwealth then offered into evidence cell phone bills, which revealed that calls had been made on the cell phone from the Philadelphia area on September 16, 1997; then from the Richmond, Virginia, area on September 17 through 18, 1997; and then from the Miami, Florida, area, with the last call having been made on September 23, 1997. Id. at 158-63. Another of Appellant's paramours, Octavia Tucker, testified that she allowed police to put a trap and trace on her telephone, and that she had received phone calls from Appellant at times and from places that were consistent with the cell phone records discussed above. Id. at 173-76; see also id. at 185-86. Ms. Tucker further testified that she knew Appellant by the names Steven Marshall and Fabian Hutchinson, as well as Steven Hutchinson. Id. at 176-77. The testimony of Ms. Husbands and Ms. Tucker was highly relevant because it supported the Commonwealth's theory that Appellant fled from the Philadelphia area shortly after the murder.
Officer Joseph Fischer, a Philadelphia police officer, testified that he had been assigned to locate Appellant, under the names Steven Hutchinson or Fabian Hutchinson. Id. at 182-83: Officer Fischer further testified that, on January 1, 1998, more than three months after the murder, Appellant was apprehended in Las Vegas, Nevada. Id. at 183-84. Finally, the officer testified that Appellant gave his name as Steven Fabian Hutchinson for purposes of the biographical information report prepared by the police following
Based on our review of the record, as summarized above, we conclude that there is no merit to Appellant's contention that his trial counsel was ineffective for failing to object to evidence of Appellant's aliases. Preliminarily, we note that Appellant's mere usage of alternative names with his various paramours does not implicate him in criminal conduct. Nor does Appellant's intermittent usage of his middle name constitute a bad act.
Finally, Appellant contends that, even if the evidence of bad acts challenged in this issue was admitted for a discrete and limited purpose, trial counsel was ineffective for not requesting a limiting instruction to the jury as to its permissible use. This Court has held that when evidence of a defendant's prior criminal conduct or bad acts is admitted, the defendant is entitled upon request to a jury instruction explaining the limited purpose of such evidence. Commonwealth v. Tedford, 598 Pa. 639, 960 A.2d 1, 37 (2008) (citing Commonwealth v. Billa, 521 Pa. 168, 555 A.2d 835, 841-42 (1989)).
In Billa, we granted the appellant a new trial after concluding that his counsel was ineffective for failing to request a limiting instruction. The appellant had been found guilty of the first-degree murder of a sixteen-year-old girl with whom he had been attempting to establish a relationship. Billa, supra at 837. The trial court had admitted, over defense counsel's vigorous objection, testimony concerning a violent sexual assault on a different victim that had been committed by the appellant approximately two months before the murder. Id. at 838-39. The two attacks bore numerous similarities, including the fact that both victims were young Hispanic females. Id. at 841. Although we noted that the testimony of the sexual assault victim was vivid, graphic, highly prejudicial, and potentially emotional, we held that it was properly admitted because of its relevance to proving the appellant's motive and intent and the absence of accident. Id. Nonetheless, we also held that trial counsel was ineffective for failing to request an appropriate limiting instruction. Id. at 842. We recognized that the highly inflammatory testimony of the prior sexual assault victim "created the substantial danger that the jury could be swayed in its deliberations ... by this evidence showing [the] appellant's criminal character and his propensity to sexually assault young Hispanic females." Id. at 841. In addition, we recognized that the evidence in question
In the instant case, the relevant circumstances have little, if anything, in common with those of Billa, and we decline to hold that trial counsel was ineffective for failing to request a limiting instruction. The bad acts evidence of which Appellant complains was not inflammatory, not graphic, and not extensive. Some of the evidence was elicited as a single sentence in passing during cross-examination of the witnesses by defense counsel. In closing argument, the Commonwealth did make reference to Appellant's abuse of the victim, but did not mention the other bad acts. See N.T., Commonwealth Closing Argument, 12/8/99, at 107. Under these circumstances, an instruction as to the bad acts evidence may very well have served only to re-emphasize the evidence to the jury. More importantly, Appellant has not established prejudice, i.e., he has failed to demonstrate that there is a reasonable probability that the outcome of his trial would have been different but for the lack of a limiting instruction. We have previously noted the "overwhelming evidence" of Appellant's guilt. Hutchinson, 811 A.2d at 562. In light of this overwhelming evidence, which includes eyewitness testimony of the victim's two children, both of whom knew Appellant, Appellant has failed to suggest how he could have been prejudiced by counsel's failure to request a limiting instruction such that there is a reasonable probability that the outcome of his trial would have been different. There is no merit to Appellant's claim of trial counsel ineffectiveness with regard to a limiting instruction, and therefore, the derivative claim of appellate counsel ineffectiveness also fails.
Appellant's fourth issue is another claim of ineffective assistance of trial and appellate counsel, based this time on underlying claims of prosecutorial misconduct. In part A of this issue, Appellant focuses on the prosecutor's closing argument, which Appellant contends was inflammatory. In part B, Appellant focuses on evidence that was allegedly withheld in violation of Brady v. Maryland, 373 U.S. 83, 83 S.Ct. 1194, 10 L.Ed.2d 215 (1963). We consider parts A and B in turn, mindful that the only allegation within either part cognizable under the PCRA is ineffective assistance of appellate counsel for not raising a claim of trial counsel ineffectiveness grounded in failure to object to the prosecutor's alleged misconduct. We consider here the underlying claims of prosecutorial misconduct to determine if they satisfy the arguable merit prong of the Pierce test for ineffective assistance of trial counsel.
In accord with the long-standing principle that a "prosecutor must be free to present his or her arguments with logical force and vigor," this Court has permitted vigorous prosecutorial advocacy "as long as there is a reasonable basis in the record for the [prosecutor's] comments." Commonwealth v. Robinson, 581 Pa. 154,
It is improper for a prosecutor to offer his or her personal opinion as to the guilt of the accused or the credibility of any testimony. Commonwealth v. DeJesus, 580 Pa. 303, 860 A.2d 102, 112 (2004). However, it is well within the bounds of proper advocacy for the prosecutor to summarize the facts of the case and then to ask the jury to find the accused guilty based on those facts. See id.
The standard by which the court considers allegations of improper prosecutorial comments is a stringent one:
Tedford, supra at 33 (citation omitted).
In his first claim of prosecutorial misconduct during closing argument, Appellant asserts that the prosecutor sought to shift the burden of proof to Appellant, commented on Appellant's failure to testify, and suggested to the jury that Appellant had the burden to present corroborating evidence. Appellant's Brief at 40-41. Appellant's allegations are frivolous. Placed in proper context, the excerpt of the prosecutor's closing argument that Appellant challenges is the following:
N.T., 12/8/99, Prosecutor's Closing Argument, at 97-100 (emphasis added to the only portion of this paragraph that Appellant quotes in his brief; see Appellant's Brief at 41).
Contrary to Appellant's assertions, nothing in the prosecutor's comments remotely implied that Appellant bore the burden of proving his innocence or was required to present evidence corroborating his alibi witness. The prosecutor emphasized to the jury—correctly—that the testimony in this case was incontrovertibly and irreconcilably inconsistent. The victim's children testified that Appellant shot their mother, but Ms. Edwards testified that, at the time of the murder, Appellant was with her in another state. These stories were diametrically opposed, and the verdict depended on whom the jurors viewed as more credible. The prosecutor simply argued to the jury that other evidence presented in the case was relevant to this credibility determination, and he urged the jurors to consider all the evidence during their deliberations. Appellant's assertion that the prosecutor's arguments amounted to "a direct comment on Appellant's failure to testify," Appellant's Brief at 41, finds no basis in the prosecutor's actual words. The prosecutor's comments were not improper.
In Appellant's second and third claims of prosecutorial misconduct, he focuses on the following excerpt, close to the end of closing argument, in which the prosecutor developed the Commonwealth's theory of the case that Appellant's motive for murdering the victim was his inability to control her.
N.T., 12/8/99, Prosecutor's Closing Argument, at 106-08 (emphasis added to portions emphasized by Appellant; see Appellant's Brief at 40 and 42).
Appellant asserts that in the above-quoted excerpt the prosecutor expressed
Finally, Appellant insists that this argument "was nothing more than a blatant attempt to inflame the jury and to ask the jury to draw the impermissible inference that Appellant had a propensity to kill.... because Appellant had beaten the decedent in the past, the jury should infer he killed her." Appellant's Brief at 40. Again, we disagree. The prosecutor briefly summarized the evidence regarding Appellant's controlling and abusive relationship with the victim, and her desire to regain control of her life. From this evidence, the prosecutor drew a logical and reasonable inference as to Appellant's motive in killing the victim. The prosecutor did not suggest to the jury any groundless or improper inferences from the evidence, and Appellant's assertions to the contrary have no merit.
Because none of Appellant's assertions of prosecutorial misconduct during closing argument have the slightest merit, Appellant cannot satisfy the arguable merit prong of the Pierce test for ineffective assistance of trial counsel grounded in failure to object to the prosecutor's comments. Because trial counsel was not ineffective, Appellant's derivative claims of appellate counsel ineffectiveness also must fail.
In part B of issue four, Appellant contends that the prosecutor engaged in misconduct when he failed to provide certain evidence to the defense in violation of Brady v. Maryland, supra. The evidence in question is the following: (a) statements from the victim's sister and brother-in-law; (b) a police radio tape of 911 calls placed shortly after the murder; and (c) handwritten notes from a detective at the crime scene and the second page of a crime scene log. See Appellant's Brief at 46.
With regard to (a), statements from the victim's sister and brother-in-law, we must point out that neither Appellant nor the record provides any indication that such statements ever existed. The day before the beginning of jury selection, the prosecutor advised defense counsel that he might call the victim's sister and brother-in-law as witnesses. N.T., 11/23/99, at 61. The prosecutor explicitly stated that there were no statements from these witnesses. Id. at 61-62. Defense counsel then sought the prosecutor's notes from his discussions with the witnesses, but the court denied this request, holding that the notes were attorney work product and hence not discoverable. Id. at 62. Appellant does not challenge the veracity of this record, nor does he challenge the trial court's work product ruling, but he nonetheless alleges that the prosecutor acted in violation of Brady by failing to turn over statements that apparently did not exist. See Appellant's Brief at 46. We need not address this claim any further.
Turning to sub-issues (b) and (c), trial counsel strenuously objected to the prosecutor's allegedly late proffer of the radio tape, the detective's notes, and the second page of the crime scene log. N.T., 12/2/99, at 36-39; N.T., 12/8/99, at 3-8. However,
Under Brady and the decisional law it has spawned, a prosecutor has an obligation to disclose all exculpatory information material to the guilt or punishment of an accused, including evidence of an impeachment nature. See, e.g., Commonwealth v. Lesko, 15 A.3d 345, 370-71 (Pa. 2011). Thus, to establish a Brady violation, an accused must prove three elements:
Commonwealth v. Lambert, 584 Pa. 461, 884 A.2d 848, 854 (2005) (citation omitted).
The evidence allegedly withheld must have been "
Weiss, supra at 815.
Finally, the burden rests with an appellant to "prove, by reference to the record, that evidence was withheld or suppressed by the prosecution." Commonwealth v. Porter, 556 Pa. 301, 728 A.2d 890, 898 (1999).
In the instant case, as outlined above, Appellant contends that the prosecutor withheld a police radio tape of 911
Appellant's next Brady allegations concern the handwritten notes from a detective at the crime scene and the second page of a crime scene log. The documents in question were provided to defense counsel after the Commonwealth rested. See N.T., 12/8/99, at 3. Appellant contends that the detective's notes "identified two previously undisclosed witnesses to the shooting." Appellant's Brief at 46. However, this contention is not borne out by the record. The notes of testimony reveal that the "witnesses" identified in the detective's notes saw the victim's body when the elevator in which they were riding opened onto the floor where the shooting had just occurred; contrary to Appellant's assertion, there is no indication that they actually witnessed the shooting. See N.T., 12/8/99, at 5.
Because none of Appellant's underlying claims of prosecutorial misconduct has any merit, Appellant's fourth issue does not entitle him to any relief.
In Appellant's fifth issue, he alleges that trial counsel was ineffective for failing to
A defense of diminished capacity, whether grounded in mental defect or voluntary intoxication, is an extremely limited defense available only to those defendants who admit criminal liability but contest the degree of culpability based upon an inability to formulate the specific intent to kill. Commonwealth v. C. Williams, 602 Pa. 360, 980 A.2d 510, 527 (2009); Commonwealth v. Gibson, 597 Pa. 402, 951 A.2d 1110, 1131 (2008); Commonwealth v. Spotz, 587 Pa. 1, 896 A.2d 1191, 1218 (2006) ("Absent an admission from [the defendant] that he had shot and killed [the victim], trial counsel could not have presented a diminished capacity defense.")
A diminished capacity defense "does not exculpate the defendant from criminal liability entirely, but instead negates the element of specific intent." C. Williams, supra at 527 (citing Gibson, supra at 1131). For a defendant who proves a diminished capacity defense, first-degree murder is mitigated to third-degree murder. Commonwealth v. Saranchak, 581 Pa. 490, 866 A.2d 292, 299 (2005). To establish a diminished capacity defense, a defendant must prove that his cognitive abilities of deliberation and premeditation were so compromised, by mental defect or voluntary intoxication, that he was unable to formulate the specific intent to kill. Commonwealth v. Rainey, 593 Pa. 67, 928 A.2d 215, 237 (2007); Spotz, supra at 1218. The mere fact of intoxication does not give rise to a diminished capacity defense. Spotz, supra; Commonwealth v. Blakeney, 596 Pa. 510, 946 A.2d 645, 653 (2008) (requiring that a defendant show that he was "overwhelmed to the point of losing his faculties and sensibilities" to prove a voluntary intoxication defense). Evidence that the defendant lacked the ability to control his or her actions or acted impulsively is irrelevant to specific intent to kill, and thus is not admissible to support a diminished capacity defense. Commonwealth v. Vandivner, 599 Pa. 617, 962 A.2d 1170, 1183 (2009). Furthermore, diagnosis with a personality disorder does not suffice to establish diminished capacity. Commonwealth v. Bracey, 568 Pa. 264, 795 A.2d 935, 946 (2001).
In numerous prior cases before this Court, defendants who had maintained their innocence during trial have subsequently raised post-conviction claims of ineffective assistance of trial counsel for failure to present and/or to investigate a defense of diminished capacity. We have consistently declined to hold that trial counsel was ineffective for failing to advance a defense that directly and irreconcilably
Finally, we have held that the authority to concede criminal liability and to authorize the presentation of a diminished capacity defense rests
In the instant case, Appellant did not concede any liability in the killing of the victim. Rather, Appellant relied on an innocence defense, presenting an alibi witness, attempting to undermine the credibility of the child witnesses, and attempting to inculpate the victim's husband in her murder. Under these circumstances, where Appellant did not admit killing the victim, but rather maintained his innocence, a diminished capacity defense was not available to him, pursuant to this Court's decisional law discussed supra, and trial counsel will not be held ineffective for failing to present an unavailable defense.
Nonetheless, Appellant further asserts that counsel was ineffective for failing to investigate diminished capacity defenses. To support this claim, Appellant has submitted an "Affidavit/Declaration" of his trial counsel, in which counsel asserts the following:
Affidavit/Declaration of Stephen P. Patrizio, Esq., pursuant to 28 U.S.C. § 1746, and 18 Pa.C.S. § 4904, at ¶ 7.
We turn next to Appellant's other claim in issue five, i.e., that counsel was ineffective for failing to raise a heat of passion defense. A heat of passion defense, like the diminished capacity defense, is a partial defense, focused on the element of intent. Commonwealth v. Laich, 566 Pa. 19, 777 A.2d 1057, 1061 (2001); Commonwealth v. Legg, 551 Pa. 437, 711 A.2d 430, 432 n. 3 (1998). A defendant accused of murder may establish that he or she is guilty, not of murder, but rather of voluntary manslaughter, by proving that, at the time of the killing, he or she was acting under a sudden and intense passion resulting from serious provocation by the victim. Commonwealth v. Miller, 605 Pa. 1, 987 A.2d 638, 649 (2009); Commonwealth v. Ragan, 560 Pa. 106, 743 A.2d 390, 396 (1999) (citing 18 Pa.C.S. 2503(a)); Commonwealth v. McCusker, 448 Pa. 382, 292 A.2d 286, 288 & n. 4 (1972). Emotions encompassed by the term "passion" include "anger, rage, sudden resentment or terror which renders the mind incapable of reason." Miller, supra at 650. Whether the provocation by the victim was sufficient to support a heat of passion defense is determined by an objective test: whether a reasonable man who was confronted
Appellant suggests no evidence that, at the time of the murder, he had been so provoked by the victim as to be compelled by passion beyond the control of his reason. The evidence cited by Appellant, i.e., that Appellant and the victim had been arguing shortly before the murder, that there were serious problems in their relationship, that Appellant was jealous, and that Appellant's prior or concurrent paramours had sought restraining orders against him, does not show that,
Furthermore, Appellant provides no evidence or argument that trial counsel's strategy was unreasonable, except to aver that his alibi defense was "weak." Appellant's Brief at 72. We cannot conclude that trial counsel was ineffective in seeking Appellant's acquittal with an alibi defense, based on the testimony of an alibi witness named by Appellant, as opposed to advancing a heat of passion partial defense strategy, for which there was no evidence. Because trial counsel was not ineffective, any derivative claim of appellate counsel ineffectiveness must likewise fail. Appellant's fifth issue does not entitle him to any relief.
In Appellant's sixth issue, he contends that the trial court improperly limited the time for trial counsel's closing argument, and that trial counsel and appellate counsel were ineffective for failing, respectively, to object and to raise this claim. Appellant's Brief at 62. Appellant alleges that the "trial court limited the guilt phase closing arguments to 20 to 30 minutes per side," a limitation that Appellant contends was "completely unreasonable and violated [his] rights to due process and a fair trial." Id. We must first note that the only claim cognizable under the PCRA in this issue is appellate counsel ineffectiveness for failing to raise on direct appeal a claim of trial counsel ineffectiveness for failing to object to the trial judge's limitation on closing argument. Because Appellant's derivative claim of appellate counsel ineffectiveness cannot succeed if trial counsel was not ineffective, we begin by considering Appellant's allegations against trial counsel.
In Commonwealth v. Brown, 544 Pa. 406, 676 A.2d 1178, 1185 (1996), this Court considered the issue of time limitation on closing argument and summarized the prevailing law on the matter as follows:
The trial judge in Brown had interrupted defense counsel's closing argument to announce at a side-bar conference that the court was limiting argument to forty-five minutes per side, and accordingly defense counsel only had fifteen minutes remaining for her closing argument. On direct appeal, the Brown appellant challenged the trial court's action, arguing that the time limitation prevented his counsel from presenting an argument that would enable the jury to concentrate on the issues. Id. Although we disapproved of the trial court's imposition of time limits
Turning to the instant case, we note first that the trial judge here made clear to counsel
Id.
During defense counsel's closing argument, after counsel had spoken for thirty minutes, the court did interrupt him as follows:
N.T., 12/8/99, at 88. Defense counsel continued his argument for a short time and then ended.
Based on these excerpts from the notes of testimony, we conclude that Appellant's contention that the trial court limited the guilt phase closing arguments to 20 to 30 minutes per side does not truly reflect the trial judge's position, actions, or words. Notably, the trial judge did
Nonetheless, Appellant insists that defense counsel was unable to include a number of matters in his closing argument
First, Appellant contends that defense counsel was unable to argue that the testimony of the victim's children had been improperly influenced by Mr. Epps, their father, and by the prosecutor. Appellant's contention disregards or ignores many of the arguments that defense counsel
Second, Appellant contends that defense counsel was unable to argue certain details about the Commonwealth's alleged inadequate investigation and presentation of physical evidence. In particular, Appellant claims he had to omit argument concerning the following: a partial footprint from the crime scene; testimony that five shell casings were found at the crime scene; and testimony that only three of the four bullets recovered from the crime scene were conclusively determined to have been fired from the same firearm.
Third and finally, Appellant contends that defense counsel lacked the time to include in his closing argument the issue of specific intent. More specifically, Appellant relies on testimony of the medical examiner who found no stippling of the victim's gun-shot wounds, indicating that she was not shot at close range.
Appellant's argument is frivolous. Defense counsel's closing argument reflected—appropriately—his theory of the case, as developed throughout trial, i.e., that Appellant could not have killed the victim because he was in another state, but the victim's estranged husband, who had ample motive for the murder, sought to place the blame on Appellant. Consistent with this theory, defense counsel proffered an alibi witness; strongly challenged the credibility of the testimony of the victim's children and sister; and questioned the investigation of the police officers at the scene, including their motivation for going to Mr. Epp's home after the murder. All of this evidence was summarized in defense counsel's closing argument. Counsel's individual arguments and his overall strategy would have been undermined and the jury confused had counsel appended to his closing an aside that the shooter must not have acted with intent to kill, because the shots were not fired at close range. There is no merit to Appellant's allegation that time limitations prevented trial counsel from arguing the significance of the medical examiner's testimony as to the issue of specific intent. Certainly, counsel did not argue specific intent—but the reasons for not doing so had nothing to do with time limitations.
In sum, our review of the record, as discussed above, reveals that there is no merit to Appellant's contention that trial counsel was ineffective for failing to object to the trial court's time limitation on closing argument. Because trial counsel was not ineffective, the derivative claim of appellate counsel ineffectiveness for not raising the issue of trial counsel ineffectiveness on direct appeal also is meritless. Appellant's sixth claim fails.
In Appellant's seventh issue, he contends that cumulative errors denied him due process. In its entirety, this claim comprises three sentences, no citations to authority or to the record, no specifics, and no argument. It is impossible to determine exactly what Appellant is alleging, and thus the claim is unreviewable. "[W]here a claimant has failed to prove prejudice as the result of any individual errors, he cannot prevail on a cumulative effect claim unless he demonstrates
In Appellant's eighth issue, he claims that the PCRA court erred by denying his motion for recusal. The same judge presided at Appellant's trial and over the post-conviction proceedings. Appellant alleges that the remarks of the court during a pre-trial suppression hearing indicated a bias in favor of the Commonwealth and a pre-judgment against Appellant, necessitating recusal from the post-conviction proceedings. Appellant's Brief at 77-78.
A party that seeks recusal of a judge bears the burden "to produce evidence establishing bias, prejudice or unfairness which raises a substantial doubt as to the jurist's ability to preside impartially." Commonwealth v. Abu-Jamal, 553 Pa. 485, 720 A.2d 79, 89 (1998). This Court reviews a jurist's denial of a motion to recuse for abuse of discretion. Id. In addition, we have concluded that, in general, it is preferable for the judge who presided at trial to preside over any post-conviction proceedings because his or her familiarity with the case will likely assist the proper administration of justice. Id. at 90.
Appellant based his motion to recuse on some statements made by the trial court during a pre-trial suppression hearing, following which the court denied Appellant's motion to suppress the in-court identification of Appellant by Philip and Desiree, the juvenile witnesses. See N.T. Suppression Hearing, 11/24/99, at 47. Specifically, Appellant cites the following:
N.T. Suppression Hearing, 11/24/99, at 5-6.
Appellant argues that these comments show that the trial court had pre-judged the case, and accordingly the court's "clear motive was to create an aura of a superficial due process, while ensuring that [Appellant] was convicted." Appellant's Brief at 80. Appellant is mistaken—the quoted comments show nothing of the kind. The court stated that it had
Appellant also claims bias in the trial court's allegedly solicitous treatment of Philip, the victim's twelve-year-old son. Appellant is again mistaken. Recognizing the young age of the child, the court was attempting to ensure that, if Philip was called as a witness at the suppression hearing, it was done in the "least traumatic" way the court could think of. N.T. Suppression Hearing, 11/24/99, at 5-6. When the prosecutor stated that he would prefer not to put the victim's children on the stand at the suppression hearing, the court assured him that he was free to call whichever witness he wanted to establish that the children had an independent basis for their identification of Appellant. Id. at 4. When defense counsel indicated that he might call Philip as a witness, the court merely suggested to the prosecutor that he might want to prepare the child for such a possibility. Id. at 5. The court also stated that it would allow the child's grandmother to sit with him in the jury box "so he can be comfortable" while he testified. Id. at 6. Contrary to Appellant's assertions, nothing in the court's words or actions suggested bias against Appellant or pre-judgment of his guilt. The court's recognition that a twelve-year-old child is not an adult and the court's desire to spare him unnecessary trauma during his testimony do not imply bias or prejudice against Appellant.
Appellant's assertion of error in the PCRA court's denial of his motion to recuse is entirely lacking in merit and provides no basis for relief.
In Appellant's ninth issue, he contends that he was entitled to an evidentiary hearing regarding the "substantial claims under the United States Constitution and the Pennsylvania Constitution" raised in his petition. Appellant's Brief at 83-84. Appellant cites Pennsylvania Rule of Criminal Procedure 908(A), which provides that a judge shall order a hearing when a petition for post-conviction relief raises material issues of fact. However, Appellant does not apply the rule to his case and he does not specify within this vague and general claim a single material fact that in his view was raised by his petition and warrants a hearing. Our review of each of Appellant's claims, see text, supra, reveals that the PCRA court did not abuse its discretion in denying Appellant's petition without a hearing. See Commonwealth v. Rush, 576 Pa. 3, 838 A.2d 651, 659-60 (2003) (holding that a PCRA court did not abuse its discretion in denying a petitioner's claim without a hearing when the merits of the claim "could be adequately reviewed based upon the record and it [was] unclear what purpose an evidentiary hearing would have served"). Appellant's non-specific assertions of PCRA court error for failure to hold a hearing do not entitle him to relief.
In Appellant's tenth and final issue, he contends that the PCRA court violated Pennsylvania Rule of Criminal Procedure 907 and 909 when the court did not provide notice that it was dismissing Appellant's guilt phase claims without an evidentiary hearing.
Rule 907 provides in relevant part as follows:
Pa.R.Crim.P. 907(1).
Similarly, Rule 909 provides in relevant part as follows:
Pa.R.Crim.P. 909(B).
We have previously made clear that the intent behind these rules is to ensure that an evidentiary hearing is held when a PCRA petition raises factual issues that must be resolved. Commonwealth v. Banks, 540 Pa. 143, 656 A.2d 467, 473 (1995). "[N]otice of a court's intention to dismiss is required only where the trial court, after review of the petition, any answer by the Commonwealth thereto, and any other matters of record, determines that a hearing is not necessary, that the petitioner is not entitled to post-conviction relief, and that no further proceedings are necessary." Id. (emphasis in original). In Commonwealth v. Lark, 548 Pa. 441, 698 A.2d 43, 52 (1997), we concluded that no pre-dismissal notice was required pursuant to Rule 907(a) because the court had heard oral argument on the matter of whether an evidentiary hearing was required prior to determining that there were no factual matters to be resolved.
Based on our holdings in Banks and Lark, we conclude that the PCRA court did not violate Rules 907 or 909 by failing to provide Appellant with formal written notice of intent to dismiss his guilt-phase claims. A brief procedural history of Appellant's case will suffice to explain this conclusion. Appellant filed a pro se PCRA petition on January 13, 2004. The PCRA court appointed counsel, who filed an amended PCRA petition on January 28, 2005. The Commonwealth filed a motion to dismiss on June 2, 2005, to which Appellant filed a reply on December 20, 2005. On February 21, 2006, the PCRA court held a hearing, at which time defense counsel correctly asserted that, under prevailing law, an evidentiary PCRA hearing is required when there is an outstanding issue of material fact. N.T., 2/21/06, PCRA Hearing, at 3. Defense counsel then argued that a hearing was required for
In sum, after review of each of Appellant's guilt phase issues, we conclude that none has any merit, and therefore we affirm the order of the PCRA court denying Appellant guilt phase relief.
Chief Justice CASTILLE, Justices EAKIN, BAER, ORIE MELVIN, join the opinion.
Justice TODD concurs in the result.
Justice SAYLOR files a dissenting opinion.
Justice SAYLOR, dissenting.
Respectfully, I have material differences with the majority reasoning and dissent in favor of an evidentiary hearing.
Initially, concerning the state of this Court's "layering" jurisprudence in general, I have set down some of my own thoughts in Commonwealth v. Ly, 605 Pa. 261, 989 A.2d 2 (2010) (per curiam), which I incorporate here by reference. See id. at 262-65, 989 A.2d at 2-5 (Saylor, J., dissenting). The concerns raised in Ly are magnified, in the capital arena, due to the involvement of the former relaxed waiver doctrine and its potential impact on the decisions of trial and appellate lawyers in capital litigation throughout the period in which the doctrine remained extant.
I remain convinced that these difficulties cannot be effectively mitigated until this Court addresses the due process concerns being raised regarding both the application of the Hubbard rule in light of time-and-resources constraints connected with direct appeals, see Ly, 605 Pa. at 262-65, 989 A.2d at 2-5 (Saylor, J., dissenting), and the retroactive abolition of relaxed waiver. See Commonwealth v. Steele, 599 Pa. 341, 429 n. 3, 961 A.2d 786, 839 n. 3 (2008) (Saylor, J., dissenting). Notably, the present case is yet another in which it is asserted that direct-appeal counsel understood that his duties did not encompass investigation and presentation of extra-record claims. See Declaration of James J. McHugh, Jr. (Feb. 17, 2006) (relating contents from an interview with Appellant's direct-appeal counsel).
Second, the majority approves the admission of a detective's opinion of a child witness's "ability to distinguish truth from a lie" during an interview. Majority Opinion, at 299 n. 11. While I agree the detective could testify to his observations of the child's demeanor, I fail to see how a law enforcement officer's opinion as to her extrajudicial truth-telling ability would not bolster the Commonwealth's position concerning
Next, I have difficulty with the characterization of testimony that Appellant attempted to force himself upon the victim in the days prior to the killing, and that a protection-from-abuse order was secured against Appellant by another woman, as "fleeting." Id. at 299. While I realize this term was used in the direct appeal, Appellant's brief at that stage did not mention the prosecutor's forceful reference to these events in his closing argument. See id. at 308-09 (quoting the relevant remarks of the district attorney). Moreover, although this extra-record claim was presented on direct appeal, Appellant has proffered that direct-appeal counsel nonetheless engaged in no extra-record investigation. See McHugh Dec. at 1-2. Thus, it would appear that direct-appeal counsel may be among a substantial number of appellate attorneys who did not appropriately represent their capital clients on direct appeal. See Ly, 605 Pa. at 263-65, 989 A.2d at 3-4 (Saylor, J., dissenting) (discussing the controversy surrounding the Hubbard rule that extra-record claims had to be raised on direct appeal on pain of waiver).
Brief for Appellant at 72.
Despite such allegations, the extent of counsel's guilt-phase investigation and preparation remains undeveloped, because the PCRA court refused to conduct an evidentiary hearing.
Next, I differ with the majority's pronouncement that the other-bad-acts evidence was not inflammatory or extensive. See Majority Opinion, at 306. In fact, the prosecutor highlighted the assertions in connection with a compelling argument advancing the Commonwealth's theory that the motive for the killing centered on Appellant's thwarted desire for domination. See id. at 308-09 (quoting the relevant passage from the district attorney's closing). I also have difficulty with the majority's explanation that a limiting instruction might well have served only to reemphasize the evidence to the jurors, see id. at 306, since, particularly after the prosecutor's potent remarks, its seems unlikely they would have forgotten it. Moreover, the attribution of such a strategy to trial counsel (see id.), in the absence of an evidentiary record, seems, again, to be gleaning.
As to the claims of deficient stewardship for failing to investigate and present the alternate defense of diminished capacity, I agree with the majority that prevailing law is that such a defense cannot be presented in the alternative to an innocence-based one. See id. at 311-313.
Next, I differ with the majority to the degree it suggests some material difference between an unsworn declaration and an affidavit for purposes of determining the availability of an evidentiary hearing. See Majority Opinion, at 313-14 n. 19. Our rules only require that a petitioner provide "affidavits, records, documents, or other evidence which show the facts stated" in a PCRA petition. Pa.R.Crim.P. 902(D). Declarations have long been accepted by the Court to assist in evaluating whether a hearing is required on a petitioner's proffer. In light of the limited purposes for which such documents are submitted—which is not to prove a claim, but merely to demonstrate that material facts are in issue and an evidentiary record should be developed—I do not see why the distinction between the different forms of submissions continues to be highlighted in our opinions.
In summary, and in line with many of my previous expressions, I believe that the appropriate way for this Court to address the intractable difficulties which have arisen
Appellant's Brief at 3-4.
The Comment to Rule 601 expressly states that Pa.R.E. 601 "is intended to preserve existing Pennsylvania law."
In Rosche v. McCoy, 397 Pa. 615, 156 A.2d 307, 310 (1959), this Court stated that, under the prevailing rule, competency was presumed when the witness was over 14 years of age; however, when the witness was under 14 years of age, "there must be judicial inquiry as to mental capacity, which must be more searching in proportion to chronological immaturity."
Wisconsin law exemplifies such a trend. Prior to 1974, under Wisconsin law, the competency of a child witness was a question to be determined by the court; however, when the Wisconsin Supreme Court adopted new rules of evidence, effective January 1, 1974, the law as to competency determination dramatically changed. See State v. Davis, 66 Wis.2d 636, 225 N.W.2d 505, 510 (1975) (stating that, pursuant to the new Wisconsin rule of evidence set forth at Wis. Stat. § 906.01, "every witness is competent to testify (with certain noted exceptions) and [ ] all former competency issues now are issues of credibility to be dealt with by the trier of fact"); State v. Hanson, 149 Wis.2d 474, 439 N.W.2d 133, 136 (1989) (holding that a trial judge erred as a matter of law in striking a child's testimony on the basis of competency because, under Wis. Stat. § 906.01, "competency is no longer a test for the admission of a witness' testimony [and the] only question is credibility which will be resolved when the case is submitted on the merits"); State v. Dwyer, 143 Wis.2d 448, 422 N.W.2d 121, 126 (App.1988) (explaining that the intention of new Section 906.01 "is to remove from judicial determination the question of competency and to submit the testimony to the jury so that it may assess its weight and credibility"); State v. Daniels, 117 Wis.2d 9, 343 N.W.2d 411, 414-15 (App. 1983) (discussing the import of new Wis. Stat. § 906.01 in the context of a child witness). In the federal courts, "every person is competent to be a witness," see Fed.R.Evid. 601, and "[a] child is presumed to be competent" to be a witness, see 18 U.S.C. § 3509(c)(2). The court may conduct a competency examination regarding a proffered child witness only if the court determines, on the record, that compelling reasons exist for such examination. 18 U.S.C. § 3509(c)(4). "A child's age alone is not a compelling reason." Id. If the court concludes that compelling reasons exist for a competency examination of a child witness, it must be conducted in the absence of the jury. 18 U.S.C. § 3509(c)(6). See also United States v. Allen J., 127 F.3d 1292 (10th Cir.1997) (upholding the district court's refusal to hold a competency examination for a twelve-year-old female victim of sexual abuse after the defendant challenged her competence to testify based on evidence that she suffered from developmental delays and mild mental retardation).
In many other jurisdictions, as in Pennsylvania, the competency of a child witness to testify in court remains a threshold question of law, resting within the sound discretion of the trial court. However, opinions have varied as to whether voir dire of the child witness should be conducted in the presence or absence of the jury. See Washington, 722 A.2d at 646 n. 4 and n. 5 (citing holdings from various jurisdictions on this issue). In the District of Columbia, voir dire of a child witness may be conducted in the presence or absence of the jury, at the discretion of the trial court. See O'Brien v. United States, 962 A.2d 282, 302 (D.C.2008); Barnes v. United States, 600 A.2d 821, 823 (D.C.1991); Smith v. United States, 414 A.2d 1189, 1198 (D.C. 1980); Brown v. United States, 388 A.2d 451, 458 (D.C. 1978). As the D.C. Court of Appeals stated in Brown, supra at 458, voir dire in the presence of the jury "assists the jurors in evaluating independently the child's qualifications as a witness." The Brown court held that the trial court did not commit reversible error in permitting a brief line of questioning in the presence of the jury as to the child witness's understanding of the distinction between truth and lies, concluding that such questioning may have aided the jury in assessing the credibility of the child's testimony and the weight to be accorded to it. Courts in Rhode Island and Missouri, on the other hand, have concluded that voir dire of a child witness should be conducted outside the presence of the jury. State v. Girouard, 561 A.2d 882, 885 (R.I.1989); State v. Gantt, 644 S.W.2d 656, 658 (Mo.Ct.App.1982).
Appellant also asserts that the prosecutor effectively declared that Philip's testimony was truthful. The prosecutor asked Philip if he could distinguish between truth and a lie, and after the child responded, the prosecutor rephrased the child's answer, stating "That is pretty good. That is stated pretty good. The truth is telling about the thing the way it happened and a lie is telling something else—". See Appellant's Brief at 55 (quoting N.T., 12/2/99 at 54); see also text, supra (statement reproduced in context). Contrary to Appellant's assertions, the prosecutor did not state his opinion that the children's testimony was truthful. See id. at 48-49, 55. Rather, the prosecutor merely stated that Philip's attempt to state the difference between the truth and a lie was "pretty good." We do not agree that these comments bolstered the children's testimony in the eyes of the jury. Furthermore, there is no reason to believe that these brief and passing comments resulted in prejudice to Appellant, such that the result of his trial would have been different had defense counsel objected. As we have explained in detail in the text, supra, despite lengthy and probing cross-examination, the children were unwavering in their testimony that Appellant shot their mother.
As the dissent points out, in our resolution of this issue on direct appeal, we suggested that an objection by trial counsel may have served only to highlight the passing comments in the minds of the jurors. However, we further concluded that "in light of the overwhelming evidence of Appellant's guilt, Appellant has also failed to show a reasonable probability that the outcome of the trial would have been different had trial counsel objected to these two fleeting references." Hutchinson, 811 A.2d at 562. We thus held that Appellant's claim of trial counsel ineffectiveness "necessarily fails" due to an absence of a showing of prejudice. Id. Given our holding on direct appeal as to the lack of prejudice, we fail to see any rationale or need for an evidentiary hearing.
In addition, as the Commonwealth points out, it was not entirely clear from the evidence presented at trial how many shots had been fired at the scene. See Commonwealth's Brief at 33. Desiree testified that more than one shot had been fired, although she did not remember how many; Philip testified that four or five shots had been fired. See N.T., 12/1/99, at 131, and N.T., 12/2/99, at 60, respectively.
However, Appellant has proffered this document as evidence, does not dispute any portion of its contents, and relies upon it for his argument. Appellant's Brief at 77.
The matter of the five shell casings was discussed in the text, supra, under issue 4, alleged Brady violations.
Over the past decade, this Court has imposed more and more mandates and strictures on capital petitioners seeking appellate post-conviction review. See, e.g., McGill, 574 Pa. at 587-90, 832 A.2d at 1022-23. Indeed, in Commonwealth v. Albrecht, 554 Pa. 31, 720 A.2d 693 (1998), the Court retroactively imposed a mandatory multi-part analytical overlay on derivative post-conviction claims in the death-penalty arena. See id. at 45, 720 A.2d at 700. After having increased the briefing burden multi-fold in such cases, for reasons which are beyond the scope of this opinion, the Court now appears to be in the process of decreasing the allowed length of the briefs. See, e.g., Commonwealth v. Roney, 587 CAP, per curiam Order (Pa. June 9, 2011); Commonwealth v. Spotz, 610 CAP, per curiam Order (Pa. June 11, 2011).
Particularly against this landscape, I fail to see how it does anyone any good to require these appellants to repeat every detail of every theme running through their briefs within every subpart of the submissions. Moreover, the task of solidifying the arguments against a factual context would be far simpler on a developed evidentiary record, had a hearing been allowed, as I believe it should.
Finally, the Court appears willing to rely on the many constraints facing trial attorneys representing capital defendants when passing on challenges to their stewardship. I have difficulty appreciating why there is not some concomitant appreciation of various limitations impacting presentations by appellate counsel when we read their briefs.