Commonwealth v. McElroyCommonwealth v. McElroy
- Reporters:
- , ,
- Before:
- Brosky
The Commonwealth of Pennsylvania files this appeal from the Order of the court of common pleas which granted (1) the Motion of appellee to . enforce plea agreement and (2) appellee’s Motion for sanctions.
1
In granting the latter Mo
The Commonwealth raises two issues, to-wit: (1) Whether the offer of a negotiated guilty plea which appellee accepted is enforceable where appellee had not detrimentally relied upon it and where the trial court had not yet accepted the plea; and (2) Whether the trial court abused its discretion in imposing sanctions against the Commonwealth by barring witnesses’ trial testimony when counsel for the PSP did not provide to either the Commonwealth or to appellee copies of reports of an internal investigation conducted by the PSP Bureau of Professional Responsibility (“the BPR”). 2
We hold that the offer of the negotiated plea which had not yet been accepted by the trial court is not enforceable against the Commonwealth and that the trial court abused its discretion by imposing the sanction of excluding testimony of witnesses whom the Commonwealth would call at trial and whose interviews had been tape recorded but destroyed or erased. We therefore vacate the Order in question. Our reasoning follows.
The genesis of these criminal charges was a high-speed chase by Tpr. Kenneth Thornton, who was attempting to stop appellee on S.R. 62 in Warren County. During the course of the chase, Tpr. Thornton’s north-bound vehicle collided with the south-bound vehicle driven by James Rehe. This collision resulted in the death of Mr. Rehe. Following the commencement of formal charges against appellee, Mr. Massa, the District Attorney of Warren County, proposed to appellee’s counsel, Mr. Ambrose, through informal discussions, that appellee plead nolo contendere to Count five, reckless endangerment, in exchange for nolle prosing Counts one through four. Approximately two months following this offer, appellee, through Mr. Ambrose, informed Mr. Massa that he would accept the offer to plead nolo contendere to Count Five in exchange for the nolle prosing of Counts one through four. This was confirmed by letter from Mr. Ambrose to Mr. Massa. The effect of this offer was that appellee would plead nolo contendere to Count Five, which charged reckless endangerment to Tpr. Thornton. Count one, which charged reckless endangerment to Mr. Rehe, would be nolle prossed.
Subsequently, Mr. Massa met with Mr. Smith, counsel for the Rehe family, and the members of the Rehe family to discuss the proposed plea negotiations. The Rehe family objected to this proposal. The family members were outraged
Appellee and the trial court maintain that because the proposed plea agreement had been offered to and had been accepted by appellee, the Commonwealth could not renege because the plea offer had not been conditioned upon the approval of the Rehe family. This is not the law. Pennsylvania Rule of Criminal Procedure 319(b) provides:
(b) Plea Agreements.
(1) The trial judge shall not participate in the plea negotiations preceding an agreement.
(2) When counsel for both sides have arrived at a plea agreement[,] they shall state on the record in open court, in the presence of the defendant, the terms of the agreement. Thereupon the judge shall conduct an inquiry of the defendant on the record to determine whether he understands and concurs in the agreement.
(Emphasis supplied).
This Rule has been interpreted by our supreme court to mean that no plea agreement exists unless and until it is presented to the court.
Commonwealth v. Porreca,
528 Pa. 46, 595 A.2d 23 (1989). Our supreme court has also held that
The Commonwealth is never under any legal obligation to plea bargain with any defendant. Stated another way[,] a defendant has no constitutional right to a plea bargain arrangement____ The decision as to whether to enter into plea negotiations is a function of prosecutorial discretion^] and we will not review such decisions unless such decisions are based upon an invidious classification such as race, religion or national origin.... No such claim is made here.
At 511, 416 A.2d at 573. (Citation omitted).
This follows from the well-recognized principle that “ ‘[a] District Attorney has a general and widely recognized power to conduct criminal litigation and prosecutions on behalf of the Commonwealth, and to decide whether and when to prosecute, and whether and when to continue or discontinue a case.’”
Commonwealth v. Stipetich,
539 Pa. 428, 432, 652 A.2d 1294, 1295 (1995),
(quoting Commonwealth v. DiPasquale,
431 Pa. 536, 540-41, 246 A.2d 430, 432 (1968), and listing case law, statutes and rules of court setting forth various powers of a district attorney).
See also, e.g., Commonwealth v. DeHart,
512 Pa. 235, 516 A.2d 656 (1986) (prosecutorial
The District Attorney is a publicly elected official.
No claim is made that Mr. Messa’s decision to withdraw the plea offer was “based upon an invidious classification such as race, religion or national origin”, Commonwealth v. Stafford, supra, or upon other factors unrelated to the protection of society. Commonwealth v. Paul, supra. The plea offer was at no time entered of record or accepted by the trial court. Commonwealth v. Spence, supra; Commonwealth v. Porreca, supra. Therefore, appellee is not entitled to receive the benefit of what is, at most, an executory bargain.
As its second issue, the Commonwealth maintains that the trial court abused its discretion in imposing sanctions against it. The sanction imposed was the barring of the testimony at trial of Commonwealth’s witnesses whose interviews with Sgt. McFadden and Cprl. Patterson, the criminal investigator of Tpr. Thornton, were tape recorded by Sgt. McFadden. The basis for this sanction was the Commonwealth’s alleged failure to comply with discovery orders to provide the tape recorded statements of these witnesses prior to the destruction or erasure of these tape recordings.
Pursuant to appellee’s request for discovery, the trial court ordered the PSP and Mr. Massa to produce all evidence, including the tape recorded interviews, of the BPR investigation of Tpr. Thornton. However, counsel for the Commissioner of the PSP prepared a declaration signed by Sgt. McFadden that the latter had destroyed the tapes after the preparation of the BPR report and the submission of that report to his superiors. The Commissioner of the PSP also filed a Motion to reconsider the trial court’s earlier discovery order to turn over to appellee the tape recordings of the witnesses’ interviews with Sgt. McFadden. This Motion was denied and resulted in the imposition of sanctions against the Commonwealth by precluding the trial testimony of the witnesses whose interviews were tape recorded by Sgt. McFadden in the course of his BPR investigation.
The Commonwealth’s principal argument is that it had no control over or possession of any materials relating to the BPR investigation of Tpr. Thornton to disclose in connection with its prosecution of appellee. The Commonwealth maintains that, under the circumstances, it was unable to comply with the trial court’s orders to turn over the tape recordings. Sgt. McFadden testified at the hearing held on appellee’s Motion for sanctions that the tapes had been destroyed in March 1993, which was prior to appellee’s discovery request. Appellee admits in his Brief to this court that he was furnished a copy of Sgt. McFadden’s BPR report. See pp. 8, 28.
The Commonwealth’s second argument is that since the tape recordings of Sgt. McFadden’s interview of witnesses pursuant to the BPR investigation were not within its control
We first address the position of the Commonwealth that appellee failed to avail himself of the procedure of serving the Commissioner of the PSP with a subpoena duces tecum for the production of the tape recordings. In Commonwealth v. Friday, 171 Pa.Super. 397, 90 A.2d 856 (1952), this court ruled that records of the PSP relating to a criminal investigation of an accused who wished to inspect these records could not be disclosed through the testimony of a subordinate PSP officer at trial. The proper mode of procedure, we stated, was the service of a subpoena duces tecum upon the Commissioner of the PSP as the legal custodian of records, assuming the availability of the same. Our decision in Friday is relevant because it recognizes the role of the Commissioner as the legal custodian of the records of the PSP and holds that a criminal defendant may obtain evidence which s/he deems material and which cannot be obtained through other avenues by service of a subpoena duces tecum upon the custodian of the record or other evidence sought.
Nothing precluded appellee from employing the procedure of serving a subpoena duces tecum upon the Commissioner of the PSP for the tape recordings, assuming their availability, after appellee’s counsel, in the course of conducting an independent investigation of this matter, interviewed the witnesses who gave the tape recorded statements and who revealed to him the existence of these tape recordings. See Appellee’s Brief, pp. 7, 22, n. 2. Appellee avers that some of the witnesses advised him that the tape recordings represented the witnesses’ best recollection of the events in question. Id.
The Commonwealth’s primary contention on appeal is that it had no possession of or control over the tape recordings of the witnesses’ statements made pursuant to Sgt. McFadden’s BPR investigation of Tpr. Thornton. Pennsylvania Rule of
(a) Any evidence favorable to the accused which is material either to guilt or to punishment, and which is within the possession or control of the attorney for the Commonwealth [•]
(Emphasis supplied). Pennsylvania Rule of Criminal Procedure 305B.(2) permits the defense, at the discretion of the court, to obtain discovery of the following evidence “upon a showing that [it is] material to the preparation of the defense[ ] and that the request is reasonable: ”
(b) all written or recorded statements, and substantially verbatim oral statements, of eyewitnesses the Commonwealth intends to call at trial.
(Emphasis supplied).
Appellee relies upon the latter section of the Rule in an apparent attempt to avoid the necessity of showing that or how the tape recordings in question were in the possession or control of the District Attorney pursuant to Rule 305B.(l)(a), supra. Appellee’s strategy, albeit clever, fails because we interpret the requirement of reasonableness under Rule 305B.(2) to mean that the material sought must also be within the control or possession of the Commonwealth. It makes little sensé to order the Commonwealth to make available information or documents pursuant to Rule 305B.(2) when such is not within the Commonwealth’s realm of accessibility. Thus, under either section of the Rule, an accused’s request for discovery must first be within the control or possession of the Commonwealth. 3
Appellee cites
Commonwealth v. Redmond,
395 Pa.Super. 286, 577 A.2d 547,
appeal dismissed,
528 Pa. 601, 600 A.2d 190 (1990), to bolster his position that evidence which is not in the
Redmond is distinguishable from the case at bar. First, discovery was ordered of evidence which was gathered by an officer of the PSP during a criminal investigation of Redmond. Instantly, the evidence sought was the result of an internal investigation conducted by the BPR to determine if any disciplinary action was warranted against Tpr. Thornton. Secondly, the target of the officer’s criminal investigation in Redmond was the appellee. In this case, the target of the internal investigation was another member of the PSP, not appellee. Thirdly, and most importantly, the investigating PSP officer in Redmond was to be the Commonwealth’s chief witness at trial. In the matter at bar, it is the witnesses who gave the tape recorded interviews to Sgt. McFadden who are to testify for the Commonwealth at trial.
Appellee also cites
Kyles v. Whitley,
— U.S. -, 115 S.Ct. 1555, 131 L.Ed.2d 490 (1995), which holds that a prosecutor is not excused under
Brady v. Maryland,
373 U.S. 83, 83 S.Ct. 1194, 10 L.Ed.2d 215 (1963), from disclosing evidence which is material and which is known to the police but not to the prosecutor. The evidence which was not disclosed in
Kyles
consisted of inconsistent statements made to the police by an alleged informant who claimed to have information regarding the robbery and murder of an elderly woman, the crimes for which Kyles was convicted. The State of Louisiana responded to Kyles’ discovery request that no exculpatory information existed. Thus, the most important feature distinguishing
Kyles
was that the petitioner was presented with no discovery. In its argument to the supreme court, the State argued that at least some of the favorable evidence was not
Here, appellee was presented with a copy of Sgt. McFadden’s report of the BPR investigation. The report contained information regarding the witnesses’ interviews. Under the law of this Commonwealth,
Secondly, the material sought was gleaned as a result of a criminal investigation of Kyles’ involvement in the murder/robbery. Thirdly, at trial, Kyles denied that he was involved in the murder/robbery at all. The defense at Kyles’ trial was that of identification. Kyles wanted the jury to believe that the informant, rather than he, was the perpetrator of the crimes. Here, no issue of identification exists.
Instead, we believe that the decisions of this court in Commonwealth v. Pickering, 368 Pa.Super. 100, 533 A.2d 735 (1987), appeal denied, 522 Pa. 611, 563 A.2d 497 (1988), and Commonwealth v. York, 319 Pa.Super. 13, 465 A.2d 1028 (1983), control.
In
Commonwealth v. Pickering, supra,
an undercover police officer made notes of drug transactions between herself and the appellant. The officer used these notes to prepare her written reports which were made available to the appellant’s counsel. After preparation of the reports, she destroyed the notes. The appellant contended on appeal that the Commonwealth’s failure to produce the officer’s notes denied him the right to confrontation under the sixth amendment to the United States Constitution and article I, section 9 of the Pennsylvania Constitution. The appellant argued that the notes were relevant and that, without them, he was unable to
In Commonwealth v. York, supra, an undercover police officer tape recorded details of her drug transactions with the appellee immediately following each purchase. She used these recordings to prepare her police reports. Once the reports were prepared, she recorded over the prior recordings, thus erasing the latter. The officer testified at the appellee’s preliminary hearing that she had used the tape recorded notes to prepare her police reports. Upon motion of the appellee, the trial court ordered that the officer’s preliminary hearing testimony be suppressed because the “action of destroying [the officer’s] tape recorded notes was a complete usurpation of a judicial function in deciding what is admissible and that defense counsel would be severely hindered in their cross examination of Commonwealth witnesses due to their inability to review [the officer’s] tape recorded notes.” At 319 Pa.Super. 17, 465 A.2d at 1030.
This court held that a Brady violation occurs when the evidence sought is not only material and favorable but where the Commonwealth also suppressed the evidence following a defense request for same. It concluded:
In the instant matter there is no evidence that the prosecutor suppressed or destroyed the tapes. On the contrary, testimony from the suppression hearing reveals that [the officer] obliterated the tapes by using them for further recording.
Id at 18, 465 A.2d at 1031. This court then stated that the Commonwealth never had the chance to see the tape recordings, much less to suppress them.
Appellee argues: “These witnesses could have included recollections in their [tape] recorded statements that were not reflected in the police reports or their subsequent [trial] testimony.” Appellee’s Brief, p. 36. The response to this argument was well stated in Commonwealth v. York, supra:
In the instant matter while we cannot approve the procedure by [the officer] which erased her recorded impressions, we do not agree that the action taken by the lower court was appropriate. Appellee’s right or opportunity to cross-examine the witnesses is not so severely affected by the absence of the tapes as to warrant the harsh sanction of the witnesses’ suppression. Appellee still has the chance to fully cross-examine the witness regarding her recollections of the events giving rise to the arrest. Appellee can scrutinize [the officer’s] official report in any aspect, as to its contents and compilation, and explore the effect of the destruction of the tapes on the witnesses’ credibility. The credibility of a witness is within the sole province of the finder of fact____
Id. (Citation omitted).
Having said all this, our holding on this issue may be summarized as follows: First, the tape recordings were not discoverable pursuant to
Secondly, because the tapes have been destroyed, neither appellee nor the trial court may use
The trial court abused its discretion when it sanctioned the Commonwealth for failing to comply with its discovery order to produce the tape recordings of the witnesses’
Order vacated. Jurisdiction relinquished.
Notes
. We deem the Order from which this appeal is taken to be akin to an Order of suppression because the trial court ordered exclusion of the trial testimony of all Commonwealth witnesses to the events in question whose tape recorded interviews with Sgt. McFadden of the Pennsylvania State Police Bureau of Professional Responsibility were subsequently erased or destroyed. The Commonwealth has made a good faith certification that the Order in question terminates or substantially handicaps the prosecution of its case. See Commonwealth v. Dugger, 506 Pa. 537, 486 A.2d 382 (1985). It is an uncontestable certification which, in and of itself, precipitates and authorizes the instant appeal. Id.
. The Commonwealth has misworded its second issue. The Commonwealth did, in fact, provide appellee with a copy of Sgt. McFadden’s BPR report. The Order which is the subject of the instant appeal sanctions the District Attorney, rather than counsel for the PSP, for failing to provide or to disclose the existence, prior to their destruction, of the tape recordings of witness interviews conducted by Sgt. McFadden during the course of his BPR investigation of PSP Tpr. Thornton. In the Argument section of its Brief on this issue, the Commonwealth does focus upon the tape recordings and the impact of the Order in question upon the District Attorney rather than upon counsel for the PSP.
. Note the conjunctive language of both sections of the Rule, supra in text at p. 11. Thus, with respect to Rule 305 B.(l)(a), a showing of materiality is without effect if the evidence sought to be produced is not within the possession or control of the Commonwealth. Similarly is this showing without significance if the request for evidence is not reasonable pursuant to Section B.(2).
. Given the legislative scheme pertaining to the PSP
(see
Administrative Code of 1929 [
. See p. 11, supra, and note 3, supra at p. 12.
. Despite having received a copy of Sgt. McFadden’s BPR report, appellee still maintains that the tape recordings tire necessary because they represent what the witnesses actually said. Because of our holding that this material was not, as a threshold matter, within the possession or control of the Commonwealth and that the request therefor was also unreasonable
(see