COMMONWEALTH of Pennsylvania v. William LUTHER, Appellant.
Superior Court of Pennsylvania.
Argued Sept. 23, 1981. Filed July 15, 1983.
463 A.2d 1073
Sheryl Ann Dorney, Assistant District Attorney, York, submitted a brief on behalf of Com., appellee.
Before BROSKY, McEWEN and BECK, JJ.
McEWEN, Judge:
William Luther was tried by a jury and convicted of rape. He has taken this appeal from the judgment of sentence.1 Appellant contends solely that trial counsel was ineffective for failing to fully advise him prior to his trial of the importance of character witnesses and for failing to call character witnesses on his behalf at the trial. We reverse and remand for a new trial.
The complainant was the principal prosecution witness. She was a 25 year old woman living separate and apart from her husband with her eight year old son and her sister
The eight year old son of the victim testified that he saw appellant, with whom he also was acquainted, in bed on top of his mother and that he heard her “crying” on the two occasions that he passed through her bedroom that morning. He further testified that he brought the clothes of appellant to him from the living room at the request of his mother and, that he and his mother left the apartment immediately after appellant had departed.
The testimony of appellant concerning the incident was essentially that the intercourse was not forcible but was consensual and that the complainant exhibited a drastic change of attitude following the sexual intercourse. He testified that after finishing his shift at his place of employment at midnight, he and two friends went to a bar until 2:00 a.m., when the group proceeded to the house of one of them where he had several beers before departing between 3:30 and 4:00 a.m. He then went to the home of his mother and when he determined that nobody was awake, drove to the residence of the complainant. He testified that he did so because the complainant had, when they met at a shopping mall on the previous Sunday, invited him to visit her any night the following week except Wednesday. The appellant testified that the complainant admitted him to her home and told him to sit down and make himself comfortable while she was out of the room; that when she returned to the room, she helped him undress before they proceeded to her bedroom and into her bed. He testified that he took his underwear off after they were in bed and that, after assisting her in undressing, they engaged in consensual sexual intercourse. Appellant testified that when her son awoke and inquired as to who was in the room, she identified him; that the complainant at times during the course of
The physician who examined the complainant at a local hospital shortly after the incident testified that although his examination revealed the vaginal area was hypertrophic or reddened, he did not find any indication of non-consensual or forced intercourse and specifically stated that he found no bruises, cuts or scratches on any part of her body including her neck. A laboratory report established the presence of sperm in the vagina of complainant.
The two arresting officers testified that after they took appellant into custody at his high school, he made a separate statement to each of them in which he admitted having had sexual intercourse with the complainant but in which he denied having raped her. The two statements were substantially the same and indicated that complainant had enticed appellant to engage in sexual relations but that
Trial counsel for appellant presented only the testimony of the appellant and of his mother, who testified that it was the practice of her son to visit her at unusual hours. No character witnesses were called on behalf of appellant.
As we have earlier noted, appellant asserts in this appeal from the judgment of sentence that his trial counsel was ineffective by reason of a failure to call character witnesses on his behalf during the trial and by reason of a failure to fully advise him prior to the trial of the importance of obtaining character witnesses. It may be seen from the preceding extended summary of the testimony presented at the trial that the credibility of the parties was a quite basic and fundamental issue. Our review of the record makes clear that as a result of the careful direction of the distinguished Judge Emanuel A. Cassimatis the trial of this serious case involving so sensitive an issue was not subjected to the stress of emotional turmoil but was conducted in an exemplary and fair fashion. Nevertheless, our review of the testimony presented at the trial and at the post-trial hearing compels us to agree with the assertion of appellant that his counsel was ineffective. As a result, we reverse the judgment of sentence and remand for a new trial.
It is well settled that “[w]hen confronted with a claim of ineffective assistance of counsel, we must first ascertain whether the issue underlying the charge of ineffectiveness is of arguable merit, and if so, it must be determined whether the course chosen by counsel had some reasonable basis to effectuate his client‘s interest.” Commonwealth v. Pittman, 295 Pa.Super. 234, 237, 441 A.2d 436, 437 (1982) (citations omitted). See also Commonwealth v. McKnight, 307 Pa.Super. 213, 453 A.2d 1 (1982); Commonwealth v. Bossick, 305 Pa.Super. 196, 451 A.2d 489 (1982).
It is clearly established that evidence of good character is to be regarded as evidence of substantive fact just as any other evidence tending to establish innocence and may be considered by the jury in connection with all of the evidence presented in the case on the general issue of guilt or innocence. See Commonwealth v. Holland, 480 Pa. 202, 389 A.2d 1026 (1978); Commonwealth v. Stoner, 265 Pa. 139, 108 A. 624 (1919). “Evidence of good character is substantive and positive evidence, not a mere make weight to be considered in a doubtful case, and, is an independent factor which may of itself engender reasonable doubt or produce a conclusion of innocence.” Commonwealth v. Gaines, 167 Pa.Super. 485, 492, 75 A.2d 617, 620 (1950) (quoting Commonwealth v. Padden, 160 Pa.Super. 269, 275, 50 A.2d 722, 725 (1947)). See Commonwealth v. Cleary, 135 Pa. 64, 19 A. 1017 (1890); Commonwealth v. Goodman, 182 Pa.Super. 205, 126 A.2d 763 (1956); Commonwealth v. Kohl, 164 Pa.Super. 630, 67 A.2d 451 (1956). Evidence of good character offered by a defendant in a criminal prosecution must be limited to his general reputa-
In a rape case, evidence of the character of the defendant would be limited to presentation of testimony concerning his general reputation in the community with regard to such traits as non-violence or peaceableness, quietness, good moral character, chastity, and disposition to observe good order. See Commonwealth v. Stefanowicz, supra 118 Pa.Super. at 82, 179 A. at 771. See also State v. Sprague, 64 N.J.Law, 419, 45 A. 788 (1900); State v. Lee, 22 Minn. 407, 21 Am. Rep. 769 (1876); Lincecum v. State, 29 Tex.App. 328, 15 S.W. 818 (1890) (proof of quiet and peaceful character of defendant admissible in defense to indictment for rape.)
This court has made clear that “[i]n a case ... where intent and credibility are decisive factors leading to either acquittal or conviction, the accused‘s reputation is of paramount importance. Indeed, evidence of good character may, in spite of all evidence to the contrary, raise a reasonable doubt in the minds of the jury.” Commonwealth v. Shapiro, 223 Pa.Super. 15, 19-20, 297 A.2d 161, 163 (1972).
We, therefore, conclude that there is arguable merit to the claim of ineffectiveness and proceed to a study of whether there was any reasonable basis for the failure of trial counsel to provide for the presentation of character testimony.
The recurring and primary reason provided by counsel for his decision not to call character witnesses at the trial, and a theme which pervades his entire testimony at the post-trial hearing is that appellant had not provided trial counsel with the names of potential character witnesses prior to the trial. Trial counsel provided a further rationale in an attempt to justify the failure to present character testimony: (1) that the leisure time activities of appellant included underage drinking and marijuana smoking, that appellant had been suspended from high school and that he had lost his job prior to the trial; (2) that there would be a danger that such unfavorable evidence would be elicited on cross-examination of any potential character witnesses; and (3) that such potential harmful testimony from the use of character witnesses would outweigh any possible advantage of presenting such testimony. We hold these reasons are not sufficiently compelling to constitute a reasonable basis for his decision not to present character testimony in a case: (1) where the credibility of the complainant is so crucial an issue; (2) where the complainant and accused similarly describe the events immediately preceding the occurrence; (3) where the evidence of force is not objective; (4) where the corroboration of the claim of force is not substantial; and (5) where the accused is a young man with no prior criminal record.
Nor do we accept as justification for his decision the rationale of trial counsel that the presentation of character testimony would have produced more harm than benefit. First, appellant did not have a criminal record which might have been the basis of unfavorable cross-examination by the Commonwealth.3 Second, the fear of trial counsel that the cross-examination by character witnesses would reveal appellant had been suspended from high school, had lost his
In a case where virtually the only issue is the credibility of the witness for the Commonwealth versus that of the defendant, failure to explore all available alternatives to assure that the jury heard the testimony of a known witness who might be capable of casting doubt upon the truthfulness of the Commonwealth witness is ineffective assistance of counsel. Commonwealth v. Abney, 465 Pa. 304, 309, 350 A.2d 407, 410 (1976); Commonwealth v. Twiggs, 460 Pa. 105, 110, 331 A.2d 440, 443 (1975). We conclude that the decision of counsel to forego the presentation of character testimony at the trial: (1) was ill advised; (2) was a decision made without adequately informing his client of the value of such evidence; and (3) was principally defective by a failure to adequately prepare for the presentation of such testimony. We, therefore, hold that the
States, 335 U.S. 469, 496, 69 S.Ct. 213, 228 (1948), wherein he wrote: My own preference and, I think, the only fair rule would be to foreclose the entire line of inquiry concerning the specific incidents in the defendant‘s past, both on cross-examination and on new evidence in rebuttal. This would leave room for proper rebuttal without turning the defendant‘s trial for a specific defense into one for all his previous misconduct, criminal or other, and would put the prosecution on the same plane with the defendant in relation to the use of character evidence. Id. at 496, 69 S.Ct. at 228 (Dissenting Opinion).
Judgment of sentence reversed. Case remanded for new trial.
BROSKY and BECK, JJ., filed concurring opinions.
BROSKY, Judge, concurring:
I agree with the majority‘s determination of trial counsel‘s ineffectiveness, but write to address the manner in which the claim was preserved for our review. I also join in the Concurring Opinion by Judge Beck.
As noted in footnote one of the majority opinion, trial counsel was replaced at the post-trial motions stage of the proceedings below and new counsel filed post-trial motions in arrest of judgment and for a new trial. Included in the motion for a new trial was a claim that trial counsel was incompetent. It was, of course, necessary for new counsel to raise this claim in the post-trial motions since a claim of ineffectiveness of prior counsel is not preserved unless it is raised at the earliest stage, in the proceedings at which counsel whose effectiveness is being challenged no longer represents the defendant. Commonwealth v. Hubbard, 472 Pa. 259, 372 A.2d 687 (1977).
However, new counsel subsequently filed a motion in which he requested that the argument on post-trial motions be converted to a post-conviction hearing.1 The court below then consolidated the argument on the post-trial motions with what it terms a PCHA hearing in the context of which the claim of ineffectiveness of counsel was heard.
On this appeal from the judgment of sentence, we then, theoretically, could refuse to consider the ineffectiveness claim on the basis that it was the subject of a prior final order (that part of the court‘s order of September 16 denying the PCHA application) from which appellant has not appealed. See, Petition of Baily, 365 Pa. 613, 76 A.2d 645 (1980).
However, I believe the better and more just course is, as we have here, to consider the substance of the proceedings below rather than their form. I find that, in substance, what occurred was no more than the raising of the ineffectiveness claim in a post-trial motion for a new trial; an evidentiary hearing pursuant to that claim; and a denial of the claim by the court below.
I think that the key point is that the claim was raised in appellant‘s post-trial motions. The fact that it was subsequently termed a PCHA claim due to an erroneous impression on the part of new counsel and the lower court that such was necessary because the claim was one of ineffectiveness of counsel should not serve to invalidate an otherwise proper procedure. Furthermore, the court below did treat the claim on its merits despite the fact that an actual PCHA claim should have been dismissed under
I join in the majority opinion of Judge McEwen and in the concurring opinion of Judge Brosky. However, I write separately to underscore the basis for our holding that appellant received ineffective assistance of counsel because his trial attorney did not attempt to identify and interview potential character witnesses.
As the majority has observed, .... when confronted with a claim of ineffectiveness of counsel, this Court utilizes a two-step analysis. The Court must first determine whether the issue underlying the charge of ineffectiveness is of arguable merit .... If the underlying issue is found to be of arguable merit, our inquiry shifts to a determination of whether the course chosen by counsel had some reasonable basis aimed at promoting his client‘s interests. Commonwealth v. Jennings, 285 Pa.Super.Ct. 295, 298-99, 427 A.2d 231, 232 (1981).
The majority opinion clearly establishes that character evidence would have figured prominently in the trial of this case since “virtually the only issue [was] the credibility of the witness for the Commonwealth [i.e., the complainant] versus that of the [appellant].” (At 1080.) Consequently, there is arguable merit in appellant‘s claim that his attorney should have interviewed possible witnesses as to appellant‘s character.
We now consider whether appellant‘s counsel had a reasonable basis for not interviewing any potential character witnesses. In Commonwealth v. Jones, 496 Pa. 448, 437 A.2d 958 (1981), the Pennsylvania Supreme Court held that defense counsel was ineffective for not interviewing or attempting to interview an eyewitness to the charged crime (1) where there was arguable merit in interviewing the eyewitness to ascertain if the witness‘s testimony would prove useful to the defense at trial and (2) where, without first interviewing the witness, counsel could not have made an informed decision regarding the likely helpful or harmful
[T]he question here is the decision not to interview [the witnesses], not the decision to refrain from calling them at trial.... (Emphasis added.) [T]he value of the interview is to inform counsel of the facts of the case so that he may formulate strategy.... [N]o claim of strategy can be attached to a decision not to interview or attempt to interview [witnesses] prior to trial. (Emphasis in original.) Therefore, no reasonable basis designed to effectuate [the defendant‘s] interest can be attributed to counsel‘s failure to question ... witnesses or at least make a reasonable attempt to do so. Jones, 496 Pa. at 451, 437 A.2d at 959-60.
Accordingly, in the present case appellant‘s counsel likewise lacked a reasonable basis for not interviewing or trying to interview potential character witnesses in order to evaluate the possible utility of their testimony.
Notes
We further observed in Fawcett, supra, that:Until recently, when a defendant has introduced evidence of his own good character, the Commonwealth could then cross-examine the character witness as to whether or not he or she had ever heard persons in the neighborhood attribute particular offenses to the defendant, Commonwealth v. Amos, 445 Pa. 297, 300, 284 A.2d 748, 750 (1971); Commonwealth v. Jenkins, 413 Pa. 606, 607-608, 198 A.2d 497, 498 (1964). The cross-examination, however, was required to pertain to offenses which related to the character trait vouched for on direct examination. Commonwealth v. Becker, 326 Pa. 105, 116, 191 A. 351, 357 (1937); Commonwealth v. Thomas, 282 Pa. 20, 24, 127 A. 427, 428 (1925); Commonwealth v. Colandro, 231 Pa. 343, 355, 80 A. 571, 575-576 (1911); Commonwealth v. Hurt, 163 Pa.Super. 232, 236, 60 A.2d 828, 830 (1948); McCormick on Evidence, § 191 n. 73 (2d Ed.1972).
The eminent Chief Justice Henry X. O‘Brien, writing for a unanimous court, in Scott, quoted with approval the following portion of the dissenting opinion of Mr. Justice Rutledge in Michelson v. United StatesIn Commonwealth v. Scott, 496 Pa. 188, 436 A.2d 607 (1981),... the Supreme Court abrogated the rule which permitted character witnesses to be cross-examined regarding arrests even when they pertained to the character trait vouched for on direct examination. By so doing, the court has cast a cloud of doubt on the right to cross-examine a character witness concerning any and all prior relevant offenses absent a conviction therefor.
