DocketNumber: 1657
Judges: Olszewski, Kelly, Johnson
Filed Date: 9/26/1990
Status: Precedential
Modified Date: 10/19/2024
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, 575 A.2d 557, 558-59 (Pa.1990); Commonwealth v. Roldan, 524 Pa. 366, 368, 572 A.2d 1214, 1215 (1990); Commonwealth v. Rasheed, 392 Pa.Super. 280, 290, 572 A.2d 1232, 1239-40 & n. 4 (1990) (Kelly, J., concurring and dissenting); Commonwealth v. King, 378 Pa.Super. 553, 557-58, 549 A.2d 195, 197 (1988); Commonwealth v. Johnson, 355 Pa.Super. 123,139-44, 512 A.2d 1242, 1251-52 (1986). The first contention is without merit.
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, 369 Pa.Super. 112, 534 A.2d 1104 (1987). However, that general rule does not extend to records of the results of
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, 371 Pa. 580, 92 A.2d 171 (1952).
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, 521 Pa. 168, 555 A.2d 835 (1989). The well-known stimulating and disinhibiting effects of cocaine provide a more than sufficient basis to conclude that the contemporaneous criminal conduct was admissible under the res gestae exception in a trial involving charges that the defendant committed sexual abuse on a twelve year old girl while high on cocaine. See MacDonald, et al, Heavy Cocaine Use and Sexual Behavior, 18 J. Drug Issues 437, 437-55 (1988) (reporting stimulating and disinhibiting effects; but, detailing various forms of sexual dysfunction caused by cocaine abuse); Gold, 800-Cocaine, at 18-19 (3rd Ed.1986) (noting disinhibiting and stimulating effects, and potential for sexual dysfunction); Stone, Fromme, & Kagan, Cocaine: Seduction and Solution, at 20-21 (1984) (same). Given the potential of cocaine use to contribute to appellant’s violent sexual aggression against the child victim, appellant’s cocaine use was relevant and admissible.
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, 389 Pa.Super. 518, 546, 567 A.2d 724, 738 (1989).
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, 1 ALR 4th 283, 283-305 (1980 & 1989 Supp.); Annotation, Admissibility in Incest Prosecution of Evidence of Alleged Victim’s Prior Sexual Acts With Persons Other Than Accused, 97 ALR 3d 967, 967-80 (1980 & 1989 Supp.); Annotation, Modern Status of Admissibility, In Forcible Rape Prosecution, Of Complainant’s General Reputation for Unchastity, 95 ALR 3d 1181, 1181-97 (1979 & 1989 Supp.); Annotation, Modern Status of Admissibility, In Forcible Rape Prosecution, Of Complainant’s Prior Sexual Acts, 94 ALR 3d 257, 257-86 (1979 & 1989 Supp.).
In Commonwealth v. Majorana, 503 Pa. 602, 470 A.2d 80 (1983), our Supreme Court construed the Pennsylvania Rape Shield law to intend to exclude only irrelevant and abusive inquiries, and not to exclude inquiries regarding relevant
In Commonwealth v. Lyons, 364 Pa.Super. 620, 528 A.2d 975 (1987), this Court held that a defendant had improperly been denied an opportunity to provide an alternate explanation for blood stains on panties offered to corroborate charges of child sexual abuse. A claim that the proffered evidence was too remote was rejected because of the indefiniteness as to when the panties were worn or stained. 528 A.2d at 978. The adequacy of the proffer made in that case was not otherwise discussed.
In Commonwealth v. Black, 337 Pa.Super. 548, 487 A.2d 396 (1985), this Court remanded for an evidentiary hearing as to whether the trial court improperly denied the defendant an opportunity to demonstrate a specific motive for the complainant to bring false charges against the defendant, because the defendant had allegedly thwarted the complainant’s alleged incestuous relationship with her brother by throwing him out of the family home shortly before the challenged charges were brought. While the proffered evidence was deemed potentially relevant, this court, nonetheless, remanded for a hearing to determine whether the specific proffer was relevant, whether the proffered evidence was more probative than prejudicial, and whether alternative (unprivileged) grounds for impeachment existed. 487 A.2d at 401.
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, 381 Pa.Super. 326, 553 A.2d 992 (1989). In Troy, this Court held that the defense counsel’s proffer as to the relevance of evidence otherwise inadmissible under the Rape Shield law was too vague and conjectural to warrant even a remand for further inquiry under Black, 553 A.2d at 996-97. The absence of an adequate specific proffer is, thus, fatal to challenges to Rape Shield protections.
It is true that in Commonwealth v. Jorgenson, 512 Pa. 601, 517 A.2d 1287 (1986) (per Zappala, Nix, C.J., and Flaherty, McDermott, JJ., join; Papadakos, J., dissents; Larsen and Hutchinson, JJ., join the dissent), a bare majority of our Supreme Court remanded for an evidentiary hearing despite a vague proffer of an alternate explanation for physical evidence offered in support of sexual abuse charges. By its terms, however, the majority opinion in Jorgenson was of extremely limited prospective precedential value. The failure to provide a specific proffer was deemed excusable because Majorana had not yet been decided, and because the trial court’s express reliance upon Commonwealth v. Duncan, 279 Pa.Super. 395, 421 A.2d 257 (1980), had rendered any question of specificity of the proffer moot. 517 A.2d at 1290. In Duncan, this Court had construed the Rape Shield law broadly, as an essentially absolute bar without exceptions. The dissenting members of our Supreme Court in Jorgenson disagreed with the majority’s conclusion that the absence of a specific proffer was excusable, and emphasized the patent inadequacy of the proffer. 517 A.2d at 1292.
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, 470 A.2d at 84-85; Black, supra, 487 A.2d at 401. Several cases have demonstrated the significance of these limitations.
In Commonwealth v. Erb, 524 Pa. 103, 569 A.2d 352 (1990), our Supreme Court reversed an unpublished order of this Court which had granted a new trial based upon the exclusion of excerpt from the complainant’s diary describing her sexual interest in a boyfriend, which had been offered to establish a motive to make false charges of sexual assault against her father, who had allegedly thwarted the relationship between his daughter and the boyfriend by recently moving the family. See Commonwealth v. Erb, 380 Pa.Super. 645, 547 A.2d 436 (1988). The apparent basis for the per curiam reversal and reinstatement of the verdict and sentence was that the Majorana standard of relevance, probative value, and necessity had not been met. 569 A.2d at 352, citing Commonwealth v. Majorana.
In Commonwealth v. Johnson, 389 Pa.Super. 184, 566 A.2d 1197 (1989), this Court held that a proffer regarding a hearsay statement attributed to the complainant suggesting that another had sexually assaulted the complainant on a prior occasion was not sufficient to demonstrate an alternate explanation for the evidence or to demonstrate a motive to raise false charges. This Court agreed with the trial court that the evidence, even if arguably relevant, was nonetheless more prejudicial than probative and so was therefore properly excluded. 566 A.2d at 1202.
In Commonwealth v. Poindexter, 372 Pa.Super. 566, 539 A.2d 1341 (1988), this Court held that, where the trial court had admitted evidence that the complainant was angry at the accused for filing criminal charges against her boyfriend, the trial court did not err in refusing to permit the accused to inquire as to the level of intimacy involved in complainant’s relationship with her boyfriend. The inquiry was deemed to be focused on evidence which would have been of minimal probative value, but of high potential prejudicial impact. 539 A.2d at 1344.
Finally, in Commonwealth v. Simmons, 355 Pa.Super. 326, 513 A.2d 453 (1986), this Court held that proffered evidence that the complainant had made her allegations against the accused only when she was first confronted by her mother with a rumor that complainant was pregnant did not fall with the bias/motive precedent of Commonwealth v. Black, supra. This Court found that the proffer failed to demonstrate a sufficient motive to falsely accuse the defendant so as to render the evidence more probative than prejudicial, especially when the victim’s delay in reporting the assault had otherwise been fully presented and argued to the jury. 513 A.2d at 454-55.
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, 457 Pa. 79, 319 A.2d 161 (1974) materially distinguishable. The trial court found the purpose of the Rule to have been fulfilled despite the technical violation of its letter, and
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.
. 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, 579 A.2d 419 (Pa.Super. 1990).