Lead Opinion
Appellant raises ten separate challenges to judgment of sentence imposed upon convictions arising from his knife point sexual assault of a 12 year old girl. Significant issues are raised regarding privacy claims pertaining to medical records subpoenaed in criminal trials, admissibility of gonorrhea results under the business records exception to the hearsay rule, and the proper application of the Rape Shield statute. We find no merit in any of the claims raised, and affirm judgment of sentence. We also deny allowance of appeal of discretionary aspects of sentence.
Facts and Procedural History
Appellant was arrested, tried, and convicted of rape, involuntary deviate sexual intercourse, and various related offenses arising from his knife point sexual assault of the then 12 year old female victim on July 16, 1987. As the result of the assault, the child victim contracted gonorrhea.
Post-verdict motions were denied, and appellant was sentenced to a term of eight to twenty years imprisonment. A motion to modify sentence was denied. This timely appeal followed.
On appeal appellant raises ten allegations of error. We find no merit in the contentions and will discuss and dispose of each seriatim.
I. Trial Court Questioning
First, appellant argues that the evidence was insufficient to sustain the rape conviction as the Commonwealth failed to elicit evidence that the 12 year old victim was not appellant’s wife. The contention is severally flawed.
Moreover, any defect in proof of this point was plainly cured when the trial court asked the victim directly whether she was appellant's wife and she responded that she was not. (N.T. 3/8/88 at 53). The trial court’s abundant caution in that respect was commendable. See Commonwealth v. Tharp,
II. Privacy of Prison Medical Records
Next, appellant contends that his constitutional and statutory rights to privacy were violated when appellant’s prison medical records were seized pursuant to a search warrant issued by a neutral and detached magistrate upon probable cause to believe that evidence of the crime of rape would be discovered, in that the records would confirm that appellant had gonorrhea, as had the victim’s assailant. We find no merit in the contention.
Appellant claims that his right to privacy under the Disease Prevention and Control Law of 1955 (35 P.S.
Here, the Commonwealth obtained a search warrant for the evidence, rather than following the petition procedure described in Moore. While the petition procedure may be preferable, it is not mandated as yet by statute or by procedural rule. Though the subpoena process may lack safeguards provided by the petition procedure, we nonetheless find it adequate authority upon which the prison may rely in disclosing appellant’s medical records.
Finally, even if the procedures followed were inadequate, exclusion would not be an appropriate remedy. There was no statutory exclusionary rule enacted in any of the statutes cited, and there has been no pattern of willful violations to warrant application of a judicially created exclusionary rule.
Hence, we find no merit in the second contention.
III. Business Records Exception/Medical Tests
Appellant contends that it was error to admit evidence of his positive test result for gonorrhea under the business records exception to the hearsay rule. We cannot agree.
This Court has previously held generally that medical opinions and diagnoses are not admissible as business records, but instead required live testimony by a qualified medical expert. See e.g., Commonwealth v. Hemingway,
Appellant argues further that even if business records of such standard tests were admissible generally, they should not be here, because the test was performed by an outside testing lab rather than by a prison employee on-site. Appellant seeks to analogize the testing lab to a mere bystander whose information could not properly become part of an admissible business record. Cf Hass v. Kasnot,
The analogy, however, is a false one. Far from being a mere bystander, the testing lab was an independent contractor plainly providing the information included in the business record in the ordinary course of the business relationship. Much information in modern business records may be supplied by suppliers or purchasers, principal contractors or sub-contractors or other business people acting in the interdependent, information oriented context of modern business. It is the business purpose of the record, rather than the employee status of the source, which renders such hearsay evidence specially reliable. Hence, we see no reason to treat an off-site venereal disease blood test results differently than on-site results. See Binder, Hearsay Handbook, § 805, at 150-52 (1983 & 1989 supp.) (collecting cases involving non-employee generated business records). Hence, we reject appellant’s challenge to the admissibility of the business records evidence of the gonorrhea test results.
IV. Contemporaneous Misconduct Evidence
Appellant contends that the trial court erred in failing to declare a mistrial when the police officer, while recounting otherwise admissible portions of appellant’s
Evidence of contemporaneous bad acts, such as the use of cocaine, is admissible if it was part of the same transaction, completes or adds to the understanding of the events in question, and is not unduly prejudicial. See Commonwealth v. Billa,
Regardless, in an abundance of caution, the trial court sustained an objection to the passing, unsolicited remark, and a prompt curative instruction was given. The adequacy of that course of conduct was for the trial court to decide, and we find no abuse of discretion. Commonwealth v. Gibson,
V. Indirect References to Prior Misconduct
Appellant raises two separate allegations of prejudicial suggestions of prior misconduct. He challenges the failure to give a curative instruction following two unsolicited remarks by the nurse witness (who presented the gonorrhea test results) that she worked at a prison. He also challenges the adequacy of a curative instruction given after the police officer’s unsolicited, passing remark that a photo
The jury was aware that appellant had been arrested, and so the fact that a prison nurse had mentioned that appellant had been incarcerated when a post -arrest blood test was performed merely disclosed that he had not immediately been released on bail. That fact did not imply prior or unrelated criminal conduct. As the remark was relatively innocuous, we see no reason why the trial court should have drawn undue attention to it.
The disclosure that photographs used in an array were mugshots was improper. Nonetheless, we have no reason to doubt the efficacy of the simple curative instruction given by the trial court. See Commonwealth v. Gibson, supra, 567 A.2d at 737.
VI. Application of the Rape Shield Law
Appellant contends that the trial court erred in refusing to permit him to cross-examine the victim on the issue of other sexual experience in an effort to suggest an alternate source of gonorrhea. We find no merit in the contention.
At common law, evidence of a female rape complainant’s general reputation for morality and chastity was deemed admissible on the issue of consent. The result of this common law rule was notorious abuse of victim witnesses by aggressive defense counsel who essentially put the victim on trial. In response to such unjustifiable abuses, the federal government and the states enacted statutes known as Rape Shield laws. Rape Shield laws were intended to end the abuses fostered by the common law rule by limiting the harassing and embarrassing inquires of defense counsel into irrelevant prior sexual conduct of sexual assault complainants. See Williams, Rape Reform Legislation and Evidentiary Concerns: The Law in Pennsylvania, 44 U.Pitt.L.Rev. 955, 955-75 (1985); see generally White, Evidentiary Privileges and the Defendant’s Constitutional
Though laudable and long-overdue, Rape Shield laws, if rigidly construed, could impermissibly encroach upon a defendant’s right to confront and cross-examine witnesses which is secured by the United States and Pennsylvania Constitutions. The manner in which those counterveiling interests are to be balanced has been the subject of considerable litigation in this Commonwealth and other jurisdictions. See generally Annotation, Constitutionality of “Rape Shield” Statute Restricting Use of Evidence of Victim’s Sexual Experiences,
In Commonwealth v. Majorana,
In Commonwealth v. Lyons,
In Commonwealth v. Black,
Taken together, Majorana, Lyons, and Black demonstrate that the Rape Shield law will bow to a defendant’s right to confront and cross-examine when a specific proffer demonstrates that the proposed inquiry is intended to elicit relevant evidence, which is more probative than prejudicial, and which is not cumulative of other evidence available without encroaching upon Rape Shield law protections. Ma
The significance of the required offer of proof is demonstrated in our prior decision in Commonwealth v. Troy,
It is true that in Commonwealth v. Jorgenson,
We find that the allowance of remand for an evidentiary hearing in Jorgenson was limited to cases decided in the trial court prior to Majorana, and where the trial court expressly relied upon Duncan. As neither limitation is met here, we find Troy rather than Jorgenson controlling. The
While the procedural defect is sufficient to dispose of the claim, we find it appropriate to note the substantive deficiency of the claim as well. Substantively, a proffer seeking to avoid the Rape Shield law bar must meet the three prong test suggested in Majorana, and expressly set forth in Black: the evidence must be relevant; must be more probative than prejudicial; and may not be merely cumulative of other unprivileged impeachment or rebuttal evidence. Majorana, supra,
In Commonwealth v. Erb,
In Commonwealth v. Johnson,
In Commonwealth v. Poindexter,
Finally, in Commonwealth v. Simmons,
In summary, while the Rape Shield law must bow to the need to permit an accused an opportunity to present genuinely exculpatory evidence, the Rape Shield law nonetheless remains an effective limitation on abusive inquires addressed to irrelevant personal matters which were formerly conducted to harass and defame the complainant while distracting the jury from the legitimate issues involved in sexual assault cases. There is a delicate balance to be maintained. That balance is to be maintained by requiring a specific proffer and by evaluating the proffer for relevance, probativeness, and necessity. See Commonwealth v. Majorana, supra; Commonwealth v. Black, supra; Commonwealth v. Troy, supra.
Applying the foregoing to the instant case we have no hesitation in finding appellant’s claim to be meritless. First, appellant made no proffer whatsoever. Rather, appellant concedes that he has no idea of whether any relevant evidence would be secured by his proposed inquiry. Indeed, for the inquiry to disclose relevant evidence, it would have to establish not only a separate sexual assault on the 12 year old victim, but a separate assault by a gonorrhea infected assailant within a time period which would account for the state of gonorrhea infection detected in the child victim. In neither the trial court, nor here on appeal, has appellant provided any basis to suggest that such evidence exists. We find no authority for the kind of “fishing expedition” style intrusions on Rape Shield law protections proposed by appellant in the Pennsylvania or United States Constitutions or in our prior case law.
Moreover, even if the inquiry were permitted and such evidence was discovered, such evidence would merely suggest a possible alternate source for the infection; it would not preclude appellant as the actual source of the infection.
Finally, even if the inquiry was improperly restricted, we would find that other overwhelming evidence rendered any error in the exclusion of this minimally relevant questioning harmless beyond a reasonable doubt. Hence, for each of the above reasons we find no merit in appellant’s contention.
VII. Reciprocal Discovery
Appellant next contends that he was prejudiced by the Commonwealth’s failure to comply with the reciprocal discovery mandate of Pa.R.Crim.P. 305(C)(1)(c) when appellant served notice of intent to present an alibi defense. The trial court found that the appellant was well aware of the evidence to be presented to rebut his alibi claim, and that the technical error of the Commonwealth in not submitting a list with the complainant’s name and the name of the police officer to whom prior inconsistent statements had been made by appellant was harmless. Appellant was aware that the victim would contradict his alibi claim, and he was provided with copies of the police reports which recorded his prior inconsistent statements during informal discovery. These facts render Commonwealth v. Jackson,
VIII. Challenge to Discretionary Aspects of Sentence
Finally, appellant contends that the trial court abused its discretion in imposing concurrent sentences of 8 to 20 years imprisonment for involuntary deviate sexual intercourse and 2lh to 5 years imprisonment for terroristic threats. We deny allowance of appeal as to these issues.
Appellant has failed to include a concise statement of reasons for allowance of appeal. Pa.R.A.P. 2119(f). Moreover, cursory review of the brief and the. record reveals the complete absence of a substantial question. The seriousness of the offense, aggravating circumstances of the victim’s age and appellant’s other offenses
Based upon the foregoing, we affirm judgment of sentence and deny allowance of appeal of the discretionary aspects of sentence.
Notes
. In this regard, both Majorana is materially distinguishable. Succinctly, in Majorana the physical evidence could have had only one source; consequently, acceptance of the alternate source would disprove the prosecution’s proffered source and would thereby directly and significantly undermine the charges. Here, since appellant and the victim have gonorrhea, and the source of gonorrhea could not be determined even if there were an identified alternate additional potential source, the exculpatory impact of alternate source evidence would be considerably less than that in Majorana.
. Appellant was convicted and sentenced to probation on three robbery counts in 1980. More significantly, this panel has recently affirmed judgment of sentence imposed on appellant’s convictions of rape and terroristic threats in a separate knife point sexual assault on an adult victim. See Commonwealth v. Nieves,
Concurrence Opinion
concurring and dissenting:
I join in the majority’s decision to affirm Nieves’ conviction, and I agree with the majority’s analysis and disposition of the issues regarding the trial court questioning, the contemporaneous misconduct evidence, indirect references to prior misconduct, reciprocal discovery, and the challenge to discretionary aspects of sentencing. However, I do not join in any part of the analysis of the Rape Shield Law issue. I agree with the majority only in that the requested permission to conduct a cross-examination regarding the victim’s prior sexual activity was properly denied.
In this case both Nieves and the twelve-year-old victim had gonorrhea. The victim had been infected less than forty-eight hours before the post-assault examination. Nieves wanted to cross-examine the victim in an attempt to show that she had sexual relations with others, which would be an alternate source of her gonorrhea. He did not have a proffer of specific evidence but rather essentially asked the court to allow him to conduct a fishing expedition. The Rape Shield Law, codified at 18 Pa.C.S. § 3104, provides:
(a) General rule.—Evidence of specific instances of the alleged victim’s past sexual conduct, opinion evidence of the alleged victim’s past sexual conduct, and reputation evidence of the alleged victim’s past sexual conduct shall not be admissible in prosecutions under this chapter except evidence of the alleged victim’s past sexual conduct with the defendant where consent of the alleged victim is at issue and such evidence is otherwise admissible pursuant to the rules of evidence.
*296 (b) Evidentiary proceedings.—A defendant who proposes to offer evidence of the alleged victim’s past sexual conduct pursuant to subsection (a) shall file a written motion and offer of proof at the time of trial. If, at the time of trial, the court determines that the motion and offer of proof are sufficient on their faces, the court shall order an in camera hearing and shall make findings on the record as to the relevance and admissibility of the proposed evidence pursuant to the standards set forth in subsection (a).
18 Pa.C.S. § 3104.
The statute is unambiguous, and the legislative intent is clear. In enacting this statute and making evidence of past conduct or reputation for past conduct inadmissible, the legislature “totally rejected]” the notion that the past conduct of the complainant is probative of consent to the act at issue. Commonwealth v. Majorana,
The statute allows consideration of whether past conduct evidence is admissible only if the victim and the defendant had past sexual relations, and the defense is consent. In § 3104(b) the statute sets forth a rigorous procedure to determine whether to admit or to exclude the evidence. Preliminarily, the defendant must place consent in issue by an offer of proof of evidence supporting the allegation, and only if the offer is sufficient on its face will the court then conduct an in camera hearing to determine whether the proffered evidence should be excluded pursuant to the rules of evidence; that is, even if logically relevant, the evidence should be excluded if its probative value is outweighed by unfair prejudice. 18 Pa.C.S. § 3104(b); See Commonwealth v. Black,
The Rape Shield Law has withstood challenges to its constitutionality. In Commonwealth v. Quartman,
fundamental right to confront witnesses often gives way, however, to certain evidentiary principles. The exclusion of hearsay evidence, for instance, is premised on the idea that such statements often lack the relevancy necessary to outweigh their questionable truthfulness and potential prejudice. In the same way, prejudicial and irrelevant opinion and reputation evidence is often excluded. These varied evidentiary exclusions do not deny an accused his right to a fair trial[,] as his need for the evidence is outweighed by considerations of truth and relevancy. Similarly, there is no constitutional right of the accused in a rape case to introduce evidence that is prejudicial, inflammatory and irrelevant.
Commonwealth v. Quartman,
Our courts have created two additional narrowly-drawn exceptions to the evidence bar in addition to the exception supplied by the statute itself. In Commonwealth v. Majorana,
evidence of an act close enough in time to account for the objective signs of intercourse and is further limited to the purpose of explaining the presence of those objective signs. However, a defendant cannot engage in the wide-ranging and harassing cross examination the statute legitimately prohibits.
Majorana,
In Commonwealth v. Black,
While we hold that Pennsylvania’s Rape Shield Law may not be used to exclude relevant evidence showing witness’ bias or attacking credibility, we do not hold that all material evidence is necessarily admissible. Although logically relevant, evidence tending to show the victim’s prejudice or lack of credibility may be excluded if “it would so inflame the minds of the jurors that its probative value is outweighed by unfair prejudice.” Commonwealth v. Stewart,304 Pa.Super. 382 , 387,450 A.2d 732 , 734 (1982) (additional citations omitted).
Commonwealth v. Black,
The majority states that “[tjhough laudable and long-overdue, Rape Shield laws, if rigidly construed, could impermissibly encroach upon a defendant’s right to confront and
First, the question of the Rape Shield Law’s constitutionality has been resolved by our courts and should not be under consideration in the present case. Further, reasoning from the premise of constitutionality, Majorana and Black create the only two exceptions to the absolute bar of the statute outside of the single exception included in the statute itself. The question of constitutionality, by means of applying a balancing of interests test, should not be revisited in every rape case. No authority approves such an approach. Unless the defendant presents the court with evidence that on its face establishes that either the statutory or one of the two judicially-created exceptions applies, the proffered evidence or requested cross-examination will be excluded on the basis of the Rape Shield Law without further consideration. § 3104; Majorana, supra; Black, supra. That the majority invokes numerous cases that consider whether one of these exceptions applies does not prove the contrary; the discussion only creates a misleading impression that courts always go beyond the plain language of the statute when applying the Rape Shield Law.
No cautious analysis is required in the case before us. Rather, it calls for direct application of the law to a fact situation that has already been considered by our Supreme Court. Nieves wanted to cross-examine the victim about prior sexual activity in order to uncover an alternative source of her gonorrhea. Therefore, under Majorana, if Nieves had proffered evidence that the victim had intercourse with another person infected with gonorrhea within forty-eight hours of the incident in question, the court may have allowed such evidence if, following an in camera hearing, it determined that the probative value of the evidence outweighed introduction of unfair prejudice.
I would also add to the majority’s analysis of the admissibility of prison medical records and scope of business records exception issues that Nieves’ argument based upon the Disease Prevention and Control Law of 1955, codified at 35 P.S. 521.1 et seq., fails on the basis of the reason given by the trial court, that although the act contains penalties, none of these penalties are exclusion of evidence. Further, I would hold that Commonwealth v. Moore,
