Commonwealth v. SmithCommonwealth v. Smith
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Thе Commonwealth asks us to determine whether the trial court erred in its order entered May 19, 1993, denying the Commonwealth’s motion to use the transcript of the preliminary hearing for purposes of introducing the substantive testimony of its key witness, Blaine Cain. The specific circumstances of this case compel us to affirm.
The relevant facts and procedural history are as follows. On June 25, 1992, appellee was charged by criminal complaint with possession of a cоntrolled substance with intent to deliver and delivery of a controlled substance. 1 A preliminary hearing occurred on July 10,1992 where the Commonwealth’s chief witness, Blaine Cain, testified against appellee. Mr. Cain testified that he had been acting as á confidential informant for the Commonwealth, something he had done on several past occasions. On this particular incident of February 20, 1992, Mr. Cain allegedly purchased cocaine from appellee. This purchase was the basis for the charges against appellee and the substance of Mr. Cain’s testimony at the preliminary hearing. Defense counsel did cross-examine Mr. Cain at the preliminary hearing about the drug purchase, but he did not question Mr. Cain about his custodial status although Mr. Cain appeared at the preliminary hearing wearing prison garb and in the custody of the deputy sheriffs office. The Commonwealth, however, had not disclosed to defense counsel that Mr. Cain hаd a prior criminal record or that he had a pending robbery charge. Mr. Cain’s preliminary hearing testimony was duly recorded and preserved. Following the preliminary hearing, appellee was bound over to the Court of Common Pleas for trial.
On the day scheduled for trial, May 19, 1993, Mr. Cain informed the Commonwealth that he did not intend to testify. The Commonwealth immediately notified all interested parties, and a hearing was held to determine why Mr. Cain would not testify. Mr. Cain indicated an intention to invoke his Fifth Amendment privilege against self-incrimination.
On the following day, May 20, 1993, Mr. Cain again refused to testify. As a result, the trial court sentenced him to one year imprisonment in a state correctional institution for contempt. The trial court proceeded to hear arguments from both the Commonwealth and defense counsel on whether Mr. Cain’s prior testimony should be admitted at trial. Defense counsel argued in his oral motion
in limine
that Mr. Cain’s testimony should not be admitted at trial because defense counsel, lacking information about Mr. Cain’s prior record and pending robbery charge, did not have a full and fair opportunity to cross-examine Mr. Cain at the preliminary hearing. At the conclusion of the May 20, 1993 hearing, the trial court found that Mr. Cain was unavailable but that his testimony would not be admissible at trial because defense counsel had not been aware of Mr. Cain’s prior record and his pending
In making its decision, the trial court stressed that “charges of significant nature, a felony” against Mr. Cain had been dismissed in November of 1991. (N.T. 5/20/93 at 15). Other charges, not specified by the trial court, were also dismissed in November of 1991. Again, in January of 1992, charges against Mr. Cain were dismissed. In addition, the trial court emphasized that Mr. Cain had been charged with robbery in March of 1992, which was between the time of the alleged drug purchase from the defеndant (February 2, 1992) and appellee’s preliminary hearing (July 10, 1992). (N.T. 5/20/93 at 15). The March, 1992 robbery charge was dismissed prior to the preliminary hearing; Mr. Cain pled guilty to theft. To further complicate his history, Mr. Cain had yet another robbery charge pending against him when he testified at appellee’s preliminary hearing. He was thereafter tried and convicted of this robbery offense at a jury trial. (N.T. 6/17/93 at 9). In light of Mr. Cain’s long and complicated criminal history, the trial court determined, now that defense counsel knows of these matters, counsel could have challenged Mr. Cain’s credibility, but only if given the opportunity to question Mr. Cain at trial. (N.T. 5/20/93 at 15; N.T. 6/17/93 at 10). Accordingly, the trial court granted appellee’s oral motion in limine to exclude Mr. Cain’s preliminary hearing testimony at trial, thereby preventing the Commonwealth’s use of the transcript in lieu of Mr. Cain’s actual appearance and live testimony at appellee’s trial. The trial court’s order also continued appellee’s case pending an appeal to this Court based on the Commonwealth’s representation that the trial court’s ruling substantially handicapped the prosecution from going forward with its case against appellee.
The trial court reconsidered its order at a hearing held on June 17, 1993. At the hearing, stipulations were offered to place on the record additional facts which had not been
The Commonwealth raises the following issue for our review:
DID THE LOWER COURT ERR IN PRECLUDING THE COMMONWEALTH FROM USING AT TRIAL THE TRANSCRIPT OF THE PRELIMINARY HEARING TESTIMONY OF A MATERIAL WITNESS WHO SUBSEQUENTLY REFUSED TO TESTIFY AT TRIAL AND THUS BECAME UNAVAILABLE TO THE COMMONWEALTH?
Commonwealth’s Brief at 4.
The admissibility of evidence is a matter committed to the sound discretion of the trial court; absent an abuse of that discretion, the trial court’s rulings on admissibility will not be overturned on appeal. Commonwealth v. Wharton, 530 Pa. 127, 607 A.2d 710 (1992). Hearsay is an out-of-court statement offered in court to prove the truth of the matters asserted therein. Commonwealth v. Bujanowski, 418 Pa.Super. 163, 613 A.2d 1227 (1992), appeal denied, 533 Pa. 642, 622 A.2d 1374 (1993). Hearsay statements are generally inadmissible as evidence because the declarant’s competency and credibility cannot be assessed. Id.
Pennsylvania common law permits, as an exception to the hearsay rule, the admission of prior recorded testimony from a preliminary hearing provided that (1) the witness responsible for that testimony is presently unavailable; (2) the defendant had counsel; and (3) the defendant had a full and fair opportunity to cross-examine the declarant during the earlier proceeding. Commonwealth v. McGrogan, 523 Pa. 614, 568 A.2d 924 (1990); Commonwealth v. Chestnut, 511 Pa. 169, 512 A.2d 603 (1986); Commonwealth v. Melson, 432 Pa.Super. 1, 637 A.2d 633 (1994); Commonwealth v. Carbaugh, 423 Pa.Super. 178, 620 A.2d 1169 (1993); Commonwealth v. Smith, 380 Pa.Super. 619, 552 A.2d 1053 (1988). As well, the issues in the prior proceeding and the purpose for which the testimony was there offered “must have been such that the present opponent had an adequate motive for testing on cross-examination the credibility of the testimony now offered.” Commonwealth v. Velasquez, 449 Pa. 599, 601 n. 3, 296 A.2d 768, 770 n. 3 (1972); Commonwealth v. Taylor, 299 Pa.Super. 113, 445 A.2d 174 (1982).
The true test for unavailability of a witness is whether the prosecution has made a good faith effort to produce the live testimony of the witness and, through no fault of its own,
In the case at hand, Mr. Cain steadfastly refused to testify at appellee’s trial, notwithstanding the Commonwealth’s offer of use immunity or the court’s order compelling his testimony. As a result, the trial court found Mr. Cain in contempt of its order and sentenced him to one year in prison. Additionally, the trial court determined that the Commonwealth exercised all reasonable efforts to comрel Mr. Cain’s live testimony at trial. Nevertheless, Mr. Cain refused to testify at appellee’s trial. We agree with the trial court that the Commonwealth has carried its burden to show Mr. Cain is unavailable for the purposes of the hearsay rule exception which would allow the Commonwealth to introduce Mr. Cain’s prior recorded testimony at trial. See Commonwealth v. Melson, supra (witness’ refusal to testify despite a court order to do so constitutes unavailability); Commonwealth v. Carbaugh, 423 Pa.Super. 178, 620 A.2d 1169 (1993) (witness unavailable due to untimely death); Commonwealth v. Jones, 344 Pa.Super. 420, 496 A.2d 1177 (1985) (partial lack of memory rendered witness unаvailable).
Whether Mr. Cain’s prior recorded testimony from appellee’s preliminary hearing should be admitted at appellee’s trial depends, therefore, on whether defense counsel had a full and fair opportunity to cross-examine Mr. Cain at that preliminary hearing. The Commonwealth submits that appellee had the benefit of counsel and an opportunity to cross-examine Mr. Cain at the preliminary hearing. Although the Commonwealth admits that it did not disсlose Mr. Cain’s prior criminal history or his pending criminal charges to the defense, the Commonwealth is willing to stipulate to the following:
(1) Mr. Cain was not on parole at the time of his prior testimony;
(3) Mr. Cain had criminal charges pending against him at the time of his testimony against appellee;
(4) Mr. Cain and the Commonwealth had no agreement regarding those pending charges in exchange for his testimony; and
(5) Mr. Cain actually received nothing in exchange for his testimony.
An agreement as to these stipulated facts, proffers the Commonwealth, provides the same impeachment value as would the live cross-examination of Mr. Cain at trial. We disagree.
A criminal defendant has a right to cross-examine an adverse witness, according to our federal and state constitutions. Commonwealth v. McGrogan, supra.
Although we have recognized that hearsay rules and the Confrontation Clause are generally designed to protect similar values, we have also been careful not to equate the Confrontation Clause’s prohibitions with the general rule prohibiting the admission of hearsay statements. The Confrontation Clause, in other words, bars the admission of some evidence that would otherwise be admissible under an exception to the hearsay rule.
Idaho v. Wright,
497 U.S. 805, 110 S.Ct. 3139, 111 L.Ed.2d 638 (1990). For example, the hearsay exception allowing prior testimony of an unavailable witness will not prevail where the prior testimony was not subject to a full opportunity for cross-examination.
Commonwealth v. Mangini,
493 Pa. 203, 425 A.2d 734 (1981). “Any procedural evidentiary system must conform to the requirements of fundamental fairness and due process.”
Id.
at 210, 425 A.2d at 738.
See Commonwealth v. Munchinski,
401 Pa.Super. 300, 585 A.2d 471 (1991),
appeal denied,
529 Pa. 618, 600 A.2d 535 (1991) (although technically admissible under the prior recorded testimony of an unavailable witness exception to the hearsay rule, codefendant’s testimony from his bench trial was inadmissible to exculpate
[W]henever a prosecution witness may be biased in favor of the prosecution because of outstanding criminal charges or because of any non-final criminal disposition against him within the same jurisdiction, that possible bias, in fairness, must be made known to the jury. Even if the prosecutor has made no promises, either on the present case or on other pending criminal matters, the witness may hope for favorable treatment from the prosecutor if the witness presently testifies in a way that is helpful to the prosecution. And if that possibility exists, the jury should know about it. The jury may choose to believe the witness even after it learns of actual promises made or possible promises of leniency which may be made in the future, but the defendant, under the right guaranteed in the Pennsylvania Constitution to confront witnesses against him, must have the opportunity at least to raise a doubt in the mind of the jury as to whether the prosecution witness is biased. It is not for the court to determine whether the cross-examination for bias would affect the jury’s determination of the case. While the rule stated today is new, its formulation is actually a matter of evolution rather than innovation. As far back as 1909, this Court stated:
It is always the right of a party against whоm a witness is called to show by cross-examination that he has an interest direct or collateral in the result of the trial.... The right is not to be denied or abridged because incidentally facts may be developed that are irrelevant to the issue and prejudicial to the other party.
Commonwealth v. Cheatham,
429 Pa. 198, 203, 239 A.2d 293, 296 (1968), quoting from
Lenahan v. Pittston Coal Min. Co.,
221 Pa. 626, 70 A. 884, 885 (1908). While we have always acknowledged the right of a party to impeach by showing bias, new in the present case is our willingness to acknowledge what we had previously thought was too speculative: that a prosecution witness may be biased because of the
Commonwealth v. Evans, 511 Pa. 214, 224-26, 512 A.2d 626, 631-32 (1986) (footnote omitted) (emphasis added). Accord Commonwealth v. Hill, 523 Pa. 270, 566 A.2d 252 (1989).
A preliminary hearing, in general, is a much less searching exploration into the merits of a case than a trial because a preliminary hearing serves the limited function of establishing a prima facie case against the accused. Commonwealth v. Fox, 422 Pa.Super. 224, 234, 619 A.2d 327, 332 (1993), appeal denied, 535 Pa. 659, 634 A.2d 222 (1993). “Credibility is not ah issue at a preliminary hearing.” Id. (citations omitted). 3
On the other hand, the opportunity to impeach a witness is particularly important where the Commonwealth’s entire case hinges upon the testimony of the unavailable witness.
Commonwealth v. Bazemore,
531 Pa. 582, 614 A.2d 684 (1992). The Court in
Commonwealth v. Bazemore, supra,
held that defense counsel was denied a full and fair opportunity to cross-examine a Commonwealth witness when the Commonwealth withheld vital impeachment evidence. Although the Court focused on a prior inconsistent statement made by
The principles enunciated in Commonwealth v. Bazemore, supra, were reinforced in Commonwealth v. Stinson, 427 Pa.Super. 289, 628 A.2d 1165 (1993), appeal denied, 537 Pa. 608, 641 A.2d 309 (1994), authored by our distinguished colleague, Judge Popovich. This Court held that defense counsel had not been offered a full and fair opportunity to cross-examine the witness at the preliminary hearing. In Stinson, defense counsel attempted to attack the witness’ credibility at the preliminary hearing by inquiring into his past criminal convictions. The Commonwealth objected, however, and that objection was sustained; thus, defense counsel was precluded from testing the witness’ testimony. The Stinson Court ruled that under the circumstances, the trial court committed an error of law in admitting the preliminary testimony of the witness. The Court affirmed the judgment of sentence; the error was deemed harmless becаuse the Commonwealth presented two other key witnesses, one of whom was an eyewitness to the crime. The Court concluded that the unavailable witness’ testimony was merely cumulative. Id. at 302, 628 A.2d at 1171-72.
Whether the testimony to be introduced at trial as substantive evidence was given at a prior trial or other proceeding, the applicable standard is that of full and fair opportunity to cross-examine. Commonwealth v. Bazemore, supra at 588, 614 A.2d at 685. Thus, the procedural posture of the case at bar does not change the standard for determining the admissibility of Mr. Cain’s prior testimony.
Order affirmed.
Notes
.
. Use immunity prohibits the use or derivative use of any testimony compelled over a claim of privilege. Commonwealth v. Swinehart, 434 Pa.Super. 123, 126, 642 A.2d 504, 506 (1994) (quoting Commonwealth v. Webster, 323 Pa.Super. 164, 170, 470 A.2d 532, 535 (1983)). “Immunity from use and derivative use is co-extensive with the scope of the privilege against self-incrimination, and therefore, is sufficient to compel testimony over a claim of the privilege.” Commonwealth v. Webster, supra at 170, 470 A.2d at 535) (citation omitted). The prosecution may still prosecute the witness for crimes arising out of the transaction testified to so long as the prosecution‘s evidence is obtained from a source wholly independent of the compelled testimony. Id. In contrast, transactional immunity provides a witness full immunity from prosecution for crimes arising out of any transaction about which the witness was compelled to testify. Commonwealth v. Swinehart, supra, 434 Pa.Super. at 126, 642 A.2d at 506 (quoting Commonwealth v. Webster, supra, 323 Pa.Super. at 170, 470 A.2d at 535)). However, the Pennsylvania Supreme Court has determined that under Pennsylvania law, only use immunity is available to a witness. Commonwealth v. Swinehart, supra, 434 Pa.Super. at 126, 642 A.2d at 506 (citing Commonwealth v. Parker, 531 Pa. 90, 94, 611 A.2d 199, 201 (1992)).
. In Commonwealth v. Fox, supra, appellant argued that defense counsel did not have a full and fair opportunity to cross-examine an adverse witness at the preliminary hearing. In fact, when defense counsel asked the witness questions at the preliminary hearing pertaining to the witness’ credibility, the Commonwealth’s objections were sustained. Defense counsel was precluded, therefore, from impeaching the witness’ testimony. A panel of this Court held that, in light of the clear purpose of a preliminary hearing, the aрpellant’s claim was without merit. The significant difference between Commonwealth v. Fox, supra and the case sub judice is that Mr. Fox’s adverse witness was available at trial and was cross-examined at that time by counsel for the defense.
. The Commonwealth mentions that Mr. Cain’s prison garb and custodial status at the preliminary hearing were sufficient to put defense counsel on notice of the witness’ prior record or pending charges, such that counsel should have asked the reason for the witness’ attire. The Commonwеalth seeks to shift the burden of disclosure to the appellee as a burden of inquiry.
We recognize that the Commonwealth does not have a duty to disclose what it is not obligated to disclose. Commonwealth v. Bazemore, supra. Additionally, the Commonwealth does not necessarily know whether a particular witness will become unavailable. Id. Nevertheless, “as between the competing interests of admitting the former testimony of an unavailable witness and the defendant’s constitutional right to confront а witness, we find the latter paramount.” Commonwealth v. Stinson, supra at 301, 628 A.2d at 1171.
The Pennsylvania Supreme Court, in Commonwealth v. Baxter, 537 Pa. 41, 640 A.2d 1271 (1994) recently held that defense counsel was ineffective at trial for failing to explore the background of the Commonwealth’s main witness, where the Commonwealth had informed defense counsel of the witness’ prior criminal record but defense counsel did not take advantage of that information when questioning the witness at trial. Instantly, defense counsel cannot be held responsible for failing to explore the reasons for Mr. Cain’s garb at the preliminary hearing because the garb does not constitute the kind of notice or active disclosure sufficient to inform counsel of Mr. Cain’s complicated criminal history. Moreover, defense counsel did not have the same inducement to explore the witness’ background at the preliminary hearing as Mr. Baxter‘s counsel had at trial. Therefore, we conclude, the Commonwealth’s reliance on Mr. Cain’s garb as notice is a transparent maneuver which we will not abide.