DocketNumber: 31 EAP 2001
Judges: Cappy, Castille, Nigro, Newman, Saylor, Eakin, Baer
Filed Date: 10/21/2004
Status: Precedential
Modified Date: 11/13/2024
OPINION
The Commonwealth of Pennsylvania appeals from an Order of the Court of Common Pleas of Philadelphia County (PCRA court) directing the Commonwealth to provide to James Dennis (Dennis) the voir dire notes of the prosecutor from the 1992 trial of Dennis. For the reasons discussed herein, we reverse the Order of the PCRA court and remand the matter to that court to consider the remainder of Dennis’ Post-Conviction Relief Act (PCRA)
FACTS AND PROCEDURAL HISTORY
At approximately 1:50 p.m. on October 22, 1991, seventeen-year-old Chedell Williams (Williams) and her friend, Zahra Howard (Howard), were climbing the steps to enter the Fern Rock SEPTA station at Tenth and Nedro Streets in Philadelphia when Dennis and another man approached them. The men blocked the girls’ path and Dennis demanded that Williams give him her earrings. The girls turned and ran. Dennis followed Williams and grabbed her in the street. He ripped the earrings from Williams’ ears, drew a .32 caliber handgun, and shot her in the neck, killing her.
Three witnesses had protracted and unobstructed views of Dennis during and after .the shooting: (1) Howard observed the shooting from a nearby fruit vendor’s stand; (2) Thomas Bertha (Bertha), a stone mason who was working on a nearby building, heard the gunshot and saw Dennis flee the scene;
At the ensuing jury trial, the Commonwealth presented the testimony of the three eyewitnesses, as well as evidence that Dennis had a gun of the type used in the murder and clothing resembling that worn by the perpetrator. Dennis argued that the eyewitnesses had misidentified him, and claimed that he was on a bus to the Abbottsford Homes at the time of the murder. The jury returned verdicts of guilty on charges of first-degree murder, robbery, conspiracy, a violation of the Uniform Firearms Act, 18 Pa.C.S. §§ 6101, et seq., and possession of an instrument of crime.
The Commonwealth sought the death penalty on the basis of two aggravating circumstances: (1) that Dennis committed a killing while in the perpetration of a felony;
On December 1, 2000, Dennis filed his first counseled Petition pursuant to the PCRA. In his Petition, Dennis claimed, inter alia, that he should receive a new trial because King discriminated against members of the venire pool on the basis of race. On December 12, 2000, Dennis filed a Motion for Discovery, pursuant to Pennsylvania Rule of Criminal Procedure 902(E)(2) seeking the jury selection notes of King.
As bases for exercising subject-matter jurisdiction, the Commonwealth argued that this Court should treat its appeal as a Petition for Review (requiring permission of the appellate court), as an appealable collateral order, or, alternatively, assume plenary jurisdiction pursuant to our Kings Bench powers articulated in 42 Pa.C.S. 726.
Whether this Court may treat the present appeal as a Petition for Review pursuant to Pennsylvania Rule of Appellate Procedure 1503 or treat the Discovery Order as an appealable collateral order pursuant to Pennsylvania Rule of Appellate Procedure 313 and thus exercise jurisdiction over the matter?
Commonwealth v. Dennis, 31 EAP 2001 (Pa. March 5, 2003) (per curiam) (Dennis II). Oral argument proceeded on April
DISCUSSION
In Tilley, the PCRA court, per the same judge as in the present matter, entered an Order substantially the same as the Discovery Order entered in the case sub judice. The Commonwealth objected to the Order for the same reasons as presently, specifically that Tilley had not established good cause for the discovery and that the information was protected by the work-product privilege of the prosecutor. In Tilley, the Commonwealth asked the PCRA court to certify the interlocutory order for appeal pursuant to 42 Pa.C.S. § 702(b), which provides:
When a court or other government unit, in making an interlocutory order in a matter in which its final order would be within the jurisdiction of an appellate court, shall be of the opinion that such order involves a controlling question of law as to which there is substantial ground for difference of opinion and that an immediate appeal from the order may materially advance the ultimate termination of the matter, it shall so state in such order. The appellate court may thereupon, in its discretion, permit an appeal to be taken from such interlocutory order.
The PCRA court refused certification, prompting the Commonwealth to file a Notice of Appeal to this Court, requesting that we accept jurisdiction to review the merits of the matter as a Petition for Review.
An appeal from an interlocutory order will be permitted only if: “(1) the order involves a controlling question of law; (2) there is a substantial ground for difference of opinion regarding the question of law; and (3) an immediate appeal would materially advance the ultimate termination of the matter.” Tilley, 780 A.2d at 651; 42 Pa.C.S. § 702(b). “Generally, the lower court must certify that the three prongs are
In Tilley, we held that the PCRA court improperly refused to certify its discovery order for appeal to this Court because: (1) Tilley’s entitlement to the Commonwealth’s records regarding jury selection involved a controlling question of law; (2) the lack of case law on the issue demonstrated a “substantial ground for a difference of opinionf;]” and (3) as all of Tilley’s other PCRA claims were on hold pending the disposition of this issue, resolution of his case would be materially advanced by accepting the appeal. Tilley, 780 A.2d at 651-652, 652 n. 5. Thus, we accepted jurisdiction, concluding that the PCRA court abused its discretion in not certifying the interlocutory order for appeal.
On the merits, we sustained the Commonwealth’s appeal from the discovery order, concluding that, at the time of Tilley’s trial in 1987, the law did not allow a white defendant to claim successfully that the Commonwealth improperly used its peremptory challenges to remove African-American potential jurors from the venire. Because Tilley was white, but was challenging the removal of African-Americans, we reasoned
Before we can entertain the propriety of the Discovery Order entered in the case sub judice, we must first determine whether we even have jurisdiction to consider the substance of the claims of the Commonwealth. The current jurisdictional problem is that the Commonwealth originally filed a request for certification, but the PCRA court never ruled on that request because it vacated the Discovery Order and granted reconsideration. The court later reinstated the Discovery Order, but the Commonwealth never took any action to reintroduce or reinstate its request for certification. Instead, the Commonwealth filed the instant appeal to this Court, without giving the PCRA court an opportunity to determine whether it wished to certify the Discovery Order for appeal.
The Commonwealth argues that it complied with the dictates of Tilley in order to enable this Court to rule on its Petition for Review.
Irrespective of whether or not the Commonwealth, in its subjective judgment, deems an action “futile,” our rules governing appellate procedure make it abundantly clear that to be entitled to file a Petition for Review in an appellate court, the Commonwealth must ask the trial court for permission to appeal. Although the Commonwealth filed such a request originally, the vacatur of the Discovery Order on reconsideration rendered the Petition for Permission to Appeal moot. It is important to note, as well, that the Commonwealth was the party seeking reconsideration in the PCRA court, so the decision of the PCRA court to grant reconsideration inured to its requested benefit. The Commonwealth has provided no authority to support its position that reinstatement of the Discovery Order somehow reinstated the Petition for Permission to Appeal. The Commonwealth’s failure to re-file its request for certification of an interlocutory appeal requires us to refuse to accept jurisdiction of this matter as a Petition for Review.
Having concluded that we cannot assert jurisdiction over this matter within the ambit of a Petition for Review, we must ascertain whether the collateral order doctrine permits
(a) General Rule. An appeal may be taken as of right from a collateral order of an administrative agency or lower court.
(b) Definition. A collateral order is an order separable from and collateral to the main cause of action where the right involved is too important to be denied review and the question presented is such that if review is postponed until final judgment in the case, the claim -will be irreparably lost.
Pa.R.A.P. 313. Unlike a Petition for Review, where the Commonwealth must first request, unsuccessfully, permission from the “lower” court to file an appeal,
This case presents some similarities to Ben v. Schwartz, 556 Pa. 475, 729 A.2d 547 (1999), where the plaintiffs alleged that Dr. Schwartz committed dental malpractice. The plaintiffs subpoenaed the Bureau of Professional and Occupational Affairs (Bureau) for production of the investigative file, compiled by the Bureau, pertaining to complaints filed against Dr. Schwartz. The Bureau asserted governmental and executive privilege and the doctor-patient privileges of Dr. Schwartz’ other patients. Nevertheless, the trial court directed the Bureau to produce the investigative file. After the Commonwealth Court quashed the Bureau’s appeal as interlocutory, this Court concluded that the discovery order was reviewable as a collateral order.
Discussing the first requirement of separability, we held that the issue of privilege was separate from the merits of the
In the present matter, the question posed by the Commonwealth, whether the PCRA court properly permitted discovery of King’s notes, is clearly separable from the global contention raised by Dennis that he is unfairly incarcerated and awaiting execution. Our review of the propriety of the Discovery Order is not inextricably entangled with the resolution of the PCRA Petition such that we cannot separate out the Discovery Order for collateral review. While our disposition of the PCRA Petition may ultimately turn on the decision whether or not to grant discovery, the threshold issue of entitlement to discovery does not turn on the resolution of the Petition.
Passing over the importance requirement for the moment, we have held that “[t]here is no effective means of reviewing after a final judgment an order requiring the production of putatively protected material.” Ben, 729 A.2d at 552 (internal quotation omitted). Just as the Bureau’s claims would be effectively precluded if review of the order permitting discovery were postponed until final judgment in that case, the Commonwealth’s assertion of work-product privilege in the case sub judice will be irreparably lost if we do not permit collateral review here.
Thus, the crux of the inquiry becomes the second prong of the collateral order doctrine, namely whether the right involved is too important to be denied review. In the instant matter, the Commonwealth’s interest is in protecting its own work product. “For purposes of defining an order as a collateral order under Rule 313, it is not sufficient that the
It is beyond question that the exercise of a privilege is an important right deeply rooted in public policy. The work product doctrine is one of the most fundamental tenets of our system of jurisprudence and, though Dennis presently would argue otherwise, inures most notably to the benefit of criminal defendants. In addition, the right of a defendant to discovery of a prosecutor’s pre-trial and trial notes, in order to establish a claim of misconduct is one that clearly impacts individuals other than King and Dennis. The roadblock to concluding that this issue satisfies the importance prerequisite is the existence of Tilley.
In Tilley, we held that a PCRA petitioner could not demonstrate “good cause” for discovery of a prosecutor’s notes to develop a claim of racial bias during jury selection. However, we based that decision on the fact that Tilley was Caucasian and had been tried in 1987, four years before the advent of Powers. Because Powers for the first time gave a Caucasian defendant the right to dispute race-based peremptory venire pool challenges, and because the United States Supreme Court had not declared that Powers was to apply retroactively, we held that Tilley could not mount such a challenge. Tilley does not control the present matter because Dennis is African-American and was tried after Batson, which means that he did have the right to allege that King impermissibly used the Commonwealth’s peremptory challenges to exclude African-American jurors. Thus, facially, accepting jurisdiction of this matter would provide our Court with an opportunity to explain the substance of the “good cause” requirement for discovery as it relates to a claim brought pursuant to Batson and its progeny. Accordingly, we conclude that the
Nevertheless, we cannot decide this matter on substantive grounds. The simple fact is that Dennis presented to this Court on direct appeal a contentioh that King’s use of peremptory challenges violated Batson and that his trial counsel was ineffective for failing to raise the issue at the time of jury selection. We discussed and rejected the argument as follows:
In voir dire, the prosecutor exercised twenty peremptory challenges, dismissing thirteen African-American venirepersons, two Hispanic venirepersons, and five Caucasian venirepersons. [Dennis] argues that the prosecutor’s use of peremptory challenges violated [Batson] and that trial counsel was ineffective for failing to raise this issue. This argument is meritless. In the first instance, [Dennis] fails to indicate the race of forty-seven of the 170 venirepersons. Without such information, there is no basis for a [Batson] claim. See, e.g., Commonwealth v. Johnson, 542 Pa. 384, 668 A.2d 97, 102 (1995), cert. denied, 519 U.S. 827, 117 S.Ct. 90, 136 L.Ed.2d 46 (1996) [(“[i]n order to establish prima facie case on Batson claim, defendant must make a record identifying the race of venirepersons stricken by the Commonwealth, the race of prospective jurors acceptable to the Commonwealth but stricken by the defense, and the racial composition of the final jury”)]. Furthermore, [Dennis] offers no evidence that the prosecutor exhibited racial animus in striking African-American venirepersons. Indeed, the impaneled jury included four African-American jurors and one African-American alternate, which indicates a lack of racial animus. Trial counsel was not ineffective for failing to raise a plainly baseless Batson claim.
Dennis I, 715 A.2d at 409 (internal citations modified). In order to be entitled to relief pursuant to the PCRA, a petitioner must demonstrate by a preponderance of the evidence “[t]hat the allegation of error has not been previously litigated or waived.” 42 Pa.C.S. § 9543(a)(3). “[A]n issue has been previously litigated if the highest appellate court in which the petitioner could have had review as a matter of right has ruled
The PCRA court relied on Commonwealth v. Basemore, 560 Pa. 258, 744 A.2d 717 (2000), to overcome the “previously litigated” bar. In Basemore, we noted that “this Court has generally enforced a requirement of a full and complete record of the asserted violation, as it would otherwise be impossible to conduct meaningful appellate review of the motivations of prosecutors in individual cases, particularly when such review often occurs years after the trial.” Id. at 729. The PCRA court, and by extension Dennis, posits that our rejection of the Batson claim in Dennis I was premised on deficiencies in Dennis presentation of his claim that would be remedied if a court were to permit Dennis to develop a full and complete record. Thus, they rely on Basemore for the proposition that where a defendant or post-conviction petitioner fails to identify “the race of all the venirepersons removed by the prosecution, the race of the jurors who served and the race of the jurors acceptable to the Commonwealth who were stricken by the defense!,]” Commonwealth v. Rollins, 558 Pa. 532, 738 A.2d 435, 442-443 (1999), the courts should allow discovery to create that record.
In Commonwealth v. Simmons, 541 Pa. 211, 662 A.2d 621, 631 (1995), cert. denied, 516 U.S. 1128, 116 S.Ct. 945, 133 L.Ed.2d 870 (1996), we set forth the method for presenting a Batson claim:
To sustain a prima facie case of improper use of peremptory challenges, a defendant must establish the following: (1) the defendant is a member of a cognizable racial group and the prosecutor exercised peremptory challenges to remove members of the defendant’s race from the venire; (2) the defendant can then rely on the fact that the use of peremptory challenges permits those to discriminate who are a mind to discriminate; and (3) the defendant, through facts and circumstances, must raise an inference that the prosecutor excluded members of the venire on account of their*111 race. This third prong requires defendant to make a record specifically identifying the race of all the venirepersons removed by the prosecution, the race of the jurors who served and the race of jurors acceptable to the Commonwealth who were stricken by the defense.
(internal citations modified). Dennis contends that his claim is not previously litigated because his direct appeal counsel was ineffective for failing to indicate the race of forty-seven venire persons when he raised this claim originally. However, what Dennis fails to address adequately is the fact that this Court provided an alternative rationale for denying the Batson claim—he presented no evidence that King exhibited racial animus.
Dennis presents an affidavit from his direct appeal counsel, apparently in an attempt to demonstrate the second prong of the ineffective assistance of counsel standard (reasonable basis),
CONCLUSION
For the foregoing reasons, we accept jurisdiction of this matter as a collateral appeal and reverse the Discovery Order entered by the PCRA court. We remand the matter to that tribunal to consider the remainder of Dennis’ PCRA Petition.
. 42 Pa.C.S. §§ 9541, et seq.
. The facts recited herein are recapitulated in large part from the July 22, 1998 Opinion of our Court, authored by this Justice, on direct appeal of Dennis' first-degree murder conviction. Commonwealth v. Dennis, 552 Pa. 331, 715 A.2d 404 (1998) (Dennis I).
. 42 Pa.C.S. § 9711(d)(6).
. 42 Pa.C.S.§ 9711(d)(7).
. 42 Pa.C.S. § 9711(e)(1).
. 42 Pa.C.S. § 9711(e)(4).
. 42 Pa.C.S. § 9711(e)(8).
. In Batson, the United States Supreme Court determined that exercising peremptory challenges to strike African-American potential jurors from the jury empaneled to determine the guilt of an African-American defendant violated the Equal Protection Clause of the United States Constitution.
. Pennsylvania Rule of Criminal Procedure 902(E)(2) provides that, ‘‘[o]n the first counseled petition in a death penalty case, no discovery shall be permitted at any stage of the proceedings, except upon leave of court after a showing of good cause."
. “Notwithstanding any other provision of law, the Supreme Court may, on its own motion or upon petition of any party, in any matter pending before any court or district justice of this Commonwealth involving an issue of immediate public importance, assume plenary jurisdiction of such matter at any stage thereof and enter a final order or otherwise cause right and justice to be done.” 42 Pa.C.S. 726.
. We also rejected an ineffective assistance of counsel claimed raised by Tilley in this regard.
. The Commonwealth cites to Pennsylvania Rule of Appellate Procedure 1503 for the proposition that any error in nomenclature or filing
. As explained above, where the court refuses to certify an appeal, the party challenging the interlocutory order can request that the appellate court exercise its discretion to take cognizance of the case, which is akin to our process for considering Petitions for Allowance of Appeal.
. Additionally, we determined that the Batson claim was "plainly baseless.” Dennis I, 715 A.2d at 409.
. ”[T]o be entitled to relief on a claim of ineffective assistance of counsel, the PCRA petitioner must satisfy a three-pronged test and demonstrate that: (1) the underlying substantive claim has arguable merit; (2) counsel whose effectiveness is being challenged did not have a reasonable basis for his or her actions or failure to act; and (3) the petitioner suffered prejudice as a result of that counsel’s deficient performance.” Commonwealth v. McGill, 574 Pa. 574, 832 A.2d 1014, 1020 (2003).