Lead Opinion
OPINION BY
¶ 1 David John Lettau appeals the judgment of sentence imposed following his conviction of Forgery and Theft by Receiving Stolen Property, 18 Pa.C.S. §§ 4101(a)(3), 3925 (respectively). Lettau contends that the trial court erred in overruling his objection and denying his motion for mistrial based upon the prosecutor’s repeated reference to Lettau’s pre-arrest silence during direct examination of the investigating officer and later on Lettau’s cross-examination. Lettau contends that the Commonwealth’s references were calculated to suggest that he refused to cooperate with the police investigation of his case and in so doing implicitly admitted his guilt of the crimes charged. Upon review, we find Lettau’s assertions meritorious. Accordingly, we vacate his judgment of sentence.
¶ 2 Lettau’s convictions arise out of his negotiation of a check drawn to the order of “Linda McConnell,” the proceeds of which he gave to another woman named Linda Krieter. Krieter, in turn, paid the proceeds of the check to Paul Haffley, a member of the Mennonite clergy with whom Krieter lived in a “churchhouse” or co-habitation residence for Mennonite parishioners. Lettau, who is a Baptist minister licensed in pastoral counseling, purportedly encountered both Krieter and Haffley after being assigned by a local social service agency to provide counseling to Haffley after Butler County Children and Youth Services removed Haffley’s child. Athough Haffley refused Lettau’s counseling services, he occasionally relied on Lettau to provide transportation or other favors. Lettau asserted at trial that cashing the check for Linda Krieter was one such favor.
¶ 3 Linda Krieter was never known as Linda McConnell; indeed the two women had never seen or heard of one another and the only link between them was a common first name. The check in question had been sent to McConnell by a second third party, Julie Happe, who intended the funds as a deposit on a puppy she wished to purchase from McConnell. Lettau had no previous knowledge of Linda McConnell or Julie Happe and, according to his testimony at trial, knew Linda Krieter by the common religious designation of “Sister” Linda. Nevertheless, Let-tau undertook to cash the check, which was payable for $100 because “Sister Lin
¶ 4 On May 17, 2006, Lettau drove with Linda Krieter to an office of Next Tier Bank where he had his own account and presented the check for payment. On the back, the check was endorsed with the name of Linda McConnell, below which Lettau wrote his own name and the teller wrote the number of Lettau’s drivers license. The teller then gave Lettau $100 cash which he passed to Linda Krieter. Several weeks later, Julie Happe discovered that Linda McConnell had not received the check and, after verifying’ that the check had been cashed nonetheless, reported the matter to the bank which, in turn, contacted the Pennsylvania State Police.
¶ 5 At trial, the Commonwealth introduced the testimony of both Happe and McConnell as well as that of Trooper Ronald Fagley, who had conducted the police investigation that led to Lettau’s arrest. During Fagley’s direct examination, the Commonwealth inquired about details of the investigation including the fact that the trooper left multiple messages on Lettau’s answering system before receiving a return call and that during their conversation, Lettau had not been forthcoming in response to some of the trooper’s questions. After the close of the Commonwealth’s case, Lettau presented testimony from Haffley and Krieter, and also testified in his own defense. Lettau asserted that he was not aware the check was stolen and had assumed the “Linda” named as the payee was in fact “Sister Linda” or Linda Krieter. He further asserted had he known of the check’s origin, he would not have cashed it.
¶ 6 On cross-examination by the Commonwealth, the prosecutor confronted Let-tau with aspects of Trooper Fagley’s investigation and attempted repeatedly to secure an admission that Lettau had been knowingly uncooperative, refusing to return telephone calls or provide direct answers to the trooper’s questions. After Lettau testified that he had spoken with Fagley multiple times and had cooperated to the best of his ability, the Commonwealth recalled Trooper Fagley as a rebuttal witness. Fagley then testified at length and asserted that Lettau had not been cooperative. The prosecutor then argued in closing that the trooper’s testimony of Lettau’s lack of cooperation demonstrated the defendant’s guilt. See, e.g., N.T, 4/27/07, at 39 (“Why is he preventing this man from doing a full and fair investigation!;?] What’s that tell you about what the defendant knew, ladies and gentlemen[?]”).
¶ 7 Following deliberation, the jury found Lettau guilty as charged, and at sentencing, the court imposed a term of 15 to 30 days incarceration for Forgery coupled with a $300 fine, and a fine of $100 for Receiving Stolen Property. Lettau then filed this appeal, raising the following questions for our review:
I. Did the court err in refusing to sustain an objection concerning the defendant’s pre-arrest silence elicited by the Assistant District Attorney?
II. Did the court err in refusing to grant a mistrial after a Commonwealth witness made comment on Defendant’s pre-arrest silence?
Brief for Appellant at 4.
¶ 8 Both of Lettau’s questions address the underlying legal issue of whether the trial court erred in allowing examination and commentary on Lettau’s pre-arrest “silence” under the circumstances of this case. Because Lettau ultimately sought a mistrial, which the trial court refused, we address both of Lettau’s questions on appeal under the mantle of the second, ie.,
¶ 9 In criminal trials, declaration of a mistrial serves to eliminate the negative effect wrought upon a defendant when prejudicial elements are injected into the case or otherwise discovered at trial. See Commonwealth v. Kelly,
¶ 10 In this case, Lettau argues that the trial court’s refusal to grant a mistrial allowed impermissible comment on his “pre-arrest silence,” suggesting to the jury that refusal to cooperate fully in a police investigation and to deny the crimes at issue to the investigating officer could be considered as substantive evidence of guilt. Brief for Appellant at 12, 15. The Commonwealth argues to the contrary that its use of the evidence was permissible given that Lettau assumed the stand in his own defense, effectively waiving his Fifth Amendment right against self incrimination and allowing use of his pre-arrest conduct to impeach his credibility. Brief for Appellee at 5. The trial court, in its Rule 1925(a) Opinion, agreed with the Commonwealth, reasoning that “when a criminal defendant waives his right to remain silent and testifies at his own trial, neither the United States nor the Pennsylvania Constitution prohibit a prosecutor from impeaching a defendant’s credibility by referring to his pre-arrest silence.” Trial Court Opinion, 9/24/07, at 2 (citing Commonwealth v. DiNicola,
¶ 11 In Bolus, the Supreme Court of Pennsylvania addressed the claim of a defendant convicted of theft by receiving stolen property in connection with the removal of a tractor trailer and front-end loader from an out-of-state storage yard and their subsequent discovery by a police investigator at the defendant’s towing service. See Bolus,
¶ 12 Ultimately convicted and his conviction affirmed on direct appeal, the defendant later filed a post-conviction petition asserting that his trial counsel rendered ineffective assistance (IAC). In support of his claim, Bolus argued that the Commonwealth’s cross-examination concerning his previous denial of knowledge about the front-end loader violated his right to remain silent under the Pennsylvania Constitution as interpreted in Commonwealth v. Turner,
¶ 13 In Bolus, the defendant first denied knowledge and later asserted specific knowledge of an element of the offense charged, i.e., the chain of custody by which the stolen front-end loader entered his cus
¶ 14 The Supreme Court’s decision in DiNicola echoes its approach in Bolus, recognizing that the propriety of references to a defendant’s pre-arrest silence is largely a function of the reasons for which the references are made. See DiNicola,
¶ 15 Relying upon the decision in United States v. Robinson,
¶ 16 In this case, the record bears no semblance of the balance DiNicola requires; in point of fact, it documents a persistent line of inquiry by the prosecutor that effectively shredded the defendant’s presumption of innocence on no sounder a basis than his refusal to volunteer information to a state trooper. Contrary to the Commonwealth’s assertion, the prosecutor first alluded to Lettau’s silence and lack of cooperation on direct examination of Trooper Fagley in the following exchange:
Q. Did he say anything [during the telephone interview] relative to the incident?
A. Yes. Prior to my ending the conversation on the telephone, he did state what’s the big deal, she got her hundred bucks back, didn’t she so what’s the problem. Why are you even calling me.
Q. And did you make any effort that could help you locate this Linda?
A. Yes. I asked where his church was located at. At which time he answered in Pennsylvania. And that was the most amount of information I could get pertaining to that.
N.T., 4/26/07, at 71-72.
¶ 17 When Lettau later took the stand in his own defense, his counsel elicited his version of the interview with the trooper, ostensibly to counter the more critical version the jury had already heard from Trooper Fagley. See id. at 114-116. In response, the Commonwealth mounted a blistering cross-examination, repeatedly quizzing the witness on Trooper Fagley’s version of the telephone interview on every point from the number of times he and the trooper had spoken, to whether Lettau told the trooper of Paul Haffley and Sister Linda and whether he told the trooper Linda’s last name. See id. at 119-128. In response to each inconsistency between Lettau’s testimony and the trooper’s account, the Commonwealth challenged the witness to characterize the trooper’s statement as a lie. See id., e.g., 120 (“So if Trooper Fagley testifies you never said a word about Paul Haffley to him, he would either be mistaken ... or lying?”); 122 (“So when the trooper testified under oath that you told him that you had no idea where she lived, he either got that wrong or he is lying about that?”).
¶ 18 Compounding matters, the Commonwealth recalled Trooper Fagley after the defense rested its case and inquired,
¶ 19 We acknowledge our Supreme Court’s admonition in Bolus, that “when a criminal defendant waives his right to remain silent and testifies at his own trial, neither the United States nor the Pennsylvania Constitution prohibit a prosecutor from impeaching a defendant’s credibility by referring to his pre-arrest silence.” Bolus,
¶ 20 In the absence of the required context, our courts have long insisted that silence in the face of accusation is not a tacit admission. The reason for that distinction, so compelling in our Supreme Court’s first iteration over four decades ago, remains no less compelling now:
It may be desirable and dramatic for the wrongly accused person to shout: T am innocent!’ but not everybody responds spontaneously to stimuli. The accusation may be so startling that the accused is benumbed into speechlessness. There are persons so sensitive and hurt so easily, that they swallow their tongue in the face of overwhelming injustice.
Commonwealth v. Dravecz,
¶ 21 For the foregoing reasons, we vacate Lettau’s judgment of sentence and remand this matter for further proceedings consistent with this Opinion.
¶ 22 Judgment of sentence VACATED. Case REMANDED. Jurisdiction RELINQUISHED.
Notes
. In Turner, our Supreme Court announced its holding as follows:
The prejudice to the defendant resulting from reference to his silence is substantial. While it is efficacious for the Commonwealth to attempt to uncover a fabricated version of events, in light of the "insolubly ambiguous” nature of silence on the part of the accused, Doyle v. Ohio,426 U.S. 610 , 617,96 S.Ct. 2240 , 2244,49 L.Ed.2d 91 , 97 (1976), we do not think it sufficiently probative of an inconsistency with his in-court testimony to warrant allowance of any reference at trial to the silence. Accordingly, the Commonwealth must seek to impeach a defendant’s relation of events by reference only to inconsistencies as they factually exist, not to the purported inconsistency between silence at arrest and testimony at trial. Silence at the time of arrest may become a factual inconsistency in the face of an assertion by the accused while testifying at trial that he related this version to the police at the time of arrest when in fact he remained silent. Doyle v. Ohio, Id. at 619, n. 11,96 S.Ct. at 2245, n. 11 ,49 L.Ed.2d at 98, n. 11 . Absent such an assertion, the reference by the prosecutor to previous silence is impermissible and reversible error. Turner,454 A.2d at 539 .
. Due to the limited analysis offered by the parties, the Court did not conduct a separate
. "Taken at face value, the revelation of silence in this case was limited to its context. The trooper revealed the exchange with Ap-pellee wherein a denial of wrongdoing was immediate, and the decision to engage in further discussion with the trooper was declined. In this situation, the reference to silence and its Fifth Amendment source was circumspect; it was not used in any fashion that was likely to burden Appellee’s Fifth Amendment right or to create an inference of an admission of guilt.”
Dissenting Opinion
DISSENTING OPINION BY
¶ 1 Because I conclude that the trial court did not misapply the holdings of Bolus and DiNicola, I must respectfully dissent from the Opinion of the learned Majority.
¶ 2 At the outset, I note that the Majority discusses in great detail the testimony offered by Trooper Fagley on direct examination regarding Lettau’s lack of cooperation with' his investigation and the allusions drawn by the Commonwealth therefrom regarding Lettau’s guilty knowledge. Given that the transcript of trial reveals that Lettau failed to object to Trooper Fagley’s direct examination testimony, I would find that whatever prejudice that accrued to Appellant from the jury’s consideration of this testimony could not be reviewed by this Court. See Commonwealth v. Elrod,
¶ 3 Based upon my finding that Lettau waived his challenge to Trooper Fagley’s direct examination testimony, I would also find that the Commonwealth’s attempts to impeach Lettau’s credibility with Trooper Fagley’s rebuttal testimony were proper pursuant to Bolus and DiNicola. It is without question that Lettau took the stand in his own defense and, therefore, that he “opened the door” to the possibility that his credibility would be impeached by the Commonwealth’s reference to his pre-arrest silence. See Bolus,
¶4 I also must disagree respectfully with the Majority’s characterization of the Commonwealth’s impeachment of Lettau on cross-examination, and its subsequent use of Trooper Fagely as a rebuttal witness as “cleav[ing] much too closely to the very inference of guilt that our Courts
¶ 5 As such, I dissent.
