Title: Com. v. Yabor
Citation: 376 Pa. Super. 356, 546 A.2d 67
Docket Number: N/A
State: Pennsylvania
Issuer: Pennsylvania Supreme Court
Date: June 29, 1988

376 Pa. Superior Ct. 356 (1988) 546 A.2d 67 COMMONWEALTH of Pennsylvania, Appellee, v. Raymond YABOR, Appellant. Supreme Court of Pennsylvania. Argued March 8, 1988. Filed June 29, 1988. Reargument Denied August 26, 1988. *358 Edward J. Daly, Philadelphia, for appellant. Suzan Willcox, Assistant District Attorney, Philadelphia, for Com., appellee. Before ROWLEY, WIEAND and MONTEMURO, JJ. WIEAND, Judge: Raymond Yabor was tried by jury and was found guilty of aggravated assault, conspiracy, possession of an instrument of crime and carrying firearms on a public street. Post-trial and supplemental post-trial motions were denied, and Yabor was sentenced to serve two consecutive terms of imprisonment of not less than five (5) years nor more than ten (10) years for aggravated assault and of not less than one (1) year nor more than two (2) years for conspiracy, to be followed by a consecutive two year period of probation *359 for possessing an instrument of crime.[1] An appeal was filed but later dismissed due to counsel's failure to file a brief. Thereafter, in response to a P.C.H.A. petition, Yabor was granted leave to file an appeal nunc pro tunc. Now, on direct appeal from the judgment of sentence, Yabor raises the following issues for our consideration: (1) whether the trial court erred by allowing the preliminary hearing testimony of the victim to be introduced into evidence without establishing on the record that the victim had a valid basis for asserting the privilege against self-incrimination; (2) whether the trial court erred by allowing the victim to assert the privilege against self-incrimination outside the presence of the jury; and (3) whether trial counsel rendered ineffective assistance. Finding no basis for a new trial, we affirm the judgment of sentence. The facts which gave rise to appellant's conviction were summarized by the trial court as follows: *361 At trial, the Commonwealth intended to call the victim, Joseph DeLeo, as a witness to establish appellant's identity as the man who had shot DeLeo. Before DeLeo was to testify, however, his attorney informed the trial court, the prosecuting attorney, and defense counsel that his client intended to invoke the privilege against self-incrimination if asked any questions concerning the identity of the person who had shot him. Thereafter, DeLeo was examined outside the presence of the jury and did, indeed, refuse to answer inquiries about the person who had shot him. The trial court concluded that DeLeo was unavailable as a witness and ruled that his preliminary hearing testimony could be used by the Commonwealth. The court also refused to allow defense counsel to call DeLeo as a witness for the purpose of allowing the jury to observe that DeLeo had invoked the privilege against self-incrimination. We find no merit in appellant's contention that he was denied the right of confrontation because the trial court refused to allow DeLeo's invocation of the privilege against self-incrimination before the jury. The Supreme Court's decision in Commonwealth v. Greene, 445 Pa. 228, 285 A.2d 865 (1971) is controlling.[2] In Greene, the Supreme Court held that a witness should not be placed on the stand for the purpose of having him exercise the privilege against *362 self-incrimination in front of the jury. More recently, this Court said: Commonwealth v. Cieri, 346 Pa.Super. 77, 91, 499 A.2d 317, 324 (1985), quoting Commonwealth v. Bellacchio, 296 Pa.Super. 468, 474-475, 442 A.2d 1147, 1150 (1982). It is readily apparent, therefore, that the trial court did not err by refusing to allow appellant to call DeLeo as a witness solely for the purpose of having him invoke the privilege against self-incrimination in the presence of the jury. Appellant's contention that the trial court erred when it failed to determine, on the record, whether DeLeo was entitled to invoke the privilege against self-incrimination is more troubling. A similar scenario was the subject of a lengthy discussion in Commonwealth v. McGrogan, 367 Pa.Super. 394, 532 A.2d 1203 (1987). There, a panel of this Court said: Id., 367 Pa.Superior Ct. at 399-402, 532 A.2d at 1206-1207. See also: Commonwealth v. Rolon, 486 Pa. 573, 406 A.2d 1039 (1979). Cf. Commonwealth v. Cieri, supra (adequate basis for invoking privilege where witness was charged criminally in connection with the same occurrence giving rise to charge of homicide by vehicle against defendant); Commonwealth v. Weaver, 274 Pa.Super. 593, 418 A.2d 565 (1980) (adequate basis for invoking privilege where trial court knew of foundation for indictment against witness and determined that proposed line of questioning presented danger of incrimination to witness). *365 After a careful examination of the record in this case, we find no basis for determining that there was adequate reason for permitting DeLeo to invoke the privilege against self-incrimination. Although DeLeo was questioned by both the prosecuting attorney and defense counsel, the trial court did not inquire regarding the existence of a basis for asserting the privilege. The court also did not suggest that it was aware of any basis that would support an exercise of the privilege. Finally, we are unable to determine from any other part of the record whether a valid reason existed for DeLeo's asserting the privilege. The Commonwealth argues in its brief on appeal that DeLeo's invoking of the privilege was based on events which occurred after he had testified at appellant's preliminary hearing. It is asserted that DeLeo assaulted appellant in retaliation for being shot and that he was arrested and charged for this offense, with the charges being dropped, however, when Yabor failed to testify against him at two scheduled preliminary hearings. From this the Commonwealth speculates that DeLeo's basis for asserting the privilege against self-incrimination was a fear that by testifying against appellant at trial, appellant would change his mind about not testifying against DeLeo in the proceedings against DeLeo. This was not an adequate reason for allowing DeLeo to invoke the privilege. Moreover, there is no basis in this record for concluding that the trial court actually determined that DeLeo's subsequent assault of appellant was an adequate basis upon which DeLeo could properly invoke the privilege.[3] We are not permitted to *366 consider allegations contained in the Commonwealth's brief which are not part of the record as certified to us on appeal. See: Commonwealth v. Stanton, 294 Pa.Super. 516, 440 A.2d 585 (1982); Commonwealth v. Rini, 285 Pa.Super. 475, 427 A.2d 1385 (1981). See also: Pa.R.A.P. 1921. We are, therefore, constrained to hold that the trial court erred when it accepted DeLeo's assertion of the privilege against self-incrimination without first determining that he was justified in asserting the same. See: Commonwealth v. Rolon, supra, 486 Pa. at 577, 406 A.2d at 1041; Commonwealth v. McGrogan, supra 367 Pa.Super. at 399-405, 532 A.2d at 1206-1208. Despite our finding that the trial court erred by failing to determine whether the privilege was properly asserted, our inquiry is not at an end. This error does not automatically entitle appellant to a new trial. Instead, the trial court's ruling is now subject to a harmless error analysis. See: Commonwealth v. McGrogan, supra, 367 Pa.Superior Ct. at 405-411, 532 A.2d at 1209-1211. In order for us to find this error harmless, however, harmlessness must appear beyond a reasonable doubt. Commonwealth v. Story, 476 Pa. 391, 406 n. 11, 383 A.2d 155, 162 n. 11 (1978). "[A]n error cannot be held harmless unless [we] determine[] that the error could not have contributed to the verdict." Commonwealth v. Story, supra, 476 Pa. at 409, 383 A.2d at 164. See also: Commonwealth v. Turner, 499 Pa. 579, 454 A.2d 537 (1982); Commonwealth v. Whiting, 358 Pa.Super. 465, 517 A.2d 1327 (1986); Commonwealth v. Kellum, 339 Pa.Super. 513, 489 A.2d 758 (1985). The Commonwealth argues that this error was harmless because *367 the evidence of appellant's guilt was overwhelming and because the use of DeLeo's preliminary hearing testimony was merely cumulative. We are constrained to agree. In Commonwealth v. McGrogan, supra, we set forth the following five factors to be considered in making a harmless error determination: Id. 367 Pa.Super. at 406, 532 A.2d at 1209, citing Delaware v. Van Arsdall, 475 U.S. 673, 106 S. Ct. 1431, 89 L. Ed. 2d 674 (1986). Applying these factors to the instant case, we are persuaded that the trial court's error in admitting DeLeo's testimony was harmless beyond a reasonable doubt. Not only was the Commonwealth's evidence overwhelming, but, more importantly, DeLeo's preliminary hearing testimony identifying appellant as the perpetrator was cumulative. In addition to DeLeo's testimony at the preliminary hearing, the jury heard DeLeo's spontaneous statement, which had been made after his arrival at a hospital for treatment and in which he had identified appellant as the man who shot him. The jury also heard that DeLeo, at the trial of one of appellant's co-conspirators, had identified appellant as his actual assailant. This evidence was offered by the defense and was properly received. Under these circumstances, it cannot be said that appellant was harmed by the jury's learning that DeLeo had also identified appellant as the assailant at the preliminary hearing. Appellant makes three specific averments of ineffective assistance by trial counsel. Commonwealth v. House, 371 Pa.Super. 23, 28, 537 A.2d 361, 363 (1988). Appellant's first allegation of ineffectiveness is that trial counsel failed to have the entire cross-examination of Joseph DeLeo at the preliminary hearing read to the jury. This issue has been raised for the first time on appeal. Following trial, appellant's trial counsel filed post-trial motions. Appellant was thereafter represented by new counsel who filed supplemental post-trial motions in which numerous instances of trial counsel's alleged ineffectiveness were raised. In the supplemental post-trial motions, however, it was not alleged that trial counsel had been ineffective for failing to offer into evidence the entirety of DeLeo's cross-examination at the preliminary hearing. This specific issue is now being raised on appeal by appellant's third attorney. The issue, however, has been waived. The law is clear that "a claim of ineffectiveness must be raised at the earliest stage in the proceedings at which counsel whose effectiveness is being challenged no longer represents appellant." Commonwealth v. House, supra, 371 Pa.Superior Ct. at 27, 537 A.2d at 363. See also: Commonwealth v. Cargo, 498 Pa. 5, 19, 444 A.2d 639, 646 (1982); Commonwealth v. Seachrist, 478 Pa. 621, 624, 387 A.2d 661, 663 (1978). Because this issue was not raised at the first opportunity after appellant was not represented by trial *369 counsel, i.e., in the filing of the supplemental post-trial motions, appellant's first allegation of ineffectiveness has been waived and is not preserved for appellate review. Next, appellant argues that his trial counsel was ineffective for introducing at trial the testimony of Joseph DeLeo which had been given at the trial of Michael McCarthy, one of appellant's co-conspirators' and in which DeLeo had identified appellant as the man who shot him. We do not agree. Our review of this testimony suggests that trial counsel attempted to use DeLeo's testimony at the McCarthy trial in order to impeach both the spontaneous statement which DeLeo had made to police at the hospital and also the testimony which he had given at the preliminary hearing. At the McCarthy trial DeLeo had been asked if he remembered who had shot him. He answered in the negative. To refresh his recollection, he had been shown the statement which he had given to police at the hospital. After reading the statement, DeLeo had testified at the McCarthy trial as follows: (N.T. May 27, 1986 at p. 30). With respect to his testimony at the preliminary hearing, DeLeo had testified at the McCarthy trial that he was "all drugged up" at the preliminary hearing and could not recall his testimony. At appellant's trial, defense counsel sought to use the testimony which DeLeo had given at the McCarthy trial to impeach DeLeo's credibility and to place into doubt DeLeo's ability to recall and recount the details of his being shot. It seems clear that the course of action chosen by appellant's trial counsel had a reasonable basis designed to serve appellant's *370 interests. Therefore, we conclude that appellant's trial counsel was not ineffective for attacking the credibility of the unavailable witness, Joseph DeLeo, through the use of DeLeo's testimony at the McCarthy trial. Finally, appellant argues that his trial counsel was ineffective for failing to request a mistrial because of statements made by the prosecuting attorney during closing argument which suggested that appellant had not been truthful in his testimony and which characterized the shooting as a "hit." Appellant asserts that these remarks were both improper and prejudicial. We disagree. Concerning claims of prosecutorial misconduct the Supreme Court has said: Commonwealth v. D'Amato, 514 Pa. 471, 489-490, 526 A.2d 300, 309 (1987). We find nothing in the prosecutor's closing remarks which would justify the granting of a new trial. As for the prosecutor's suggestion that appellant was not being truthful, this was not a personal opinion offered to the jury, but, rather, was made in the context of an attempt by the prosecutor to highlight the conflicts between appellant's testimony and that of the other witnesses. In such a context, the prosecutor's statement was not improper. As for the use of the word "hit" to describe the shooting, an objection was made which the trial court sustained. The prosecutor withdrew the comment, and the court instructed the jury not to consider it. We find that the trial court's action was sufficient to prevent any prejudice to appellant as a result of this remark. Trial counsel *372 was not ineffective for failing to request further relief in the nature of a mistrial. The judgment of sentence is affirmed. [1] Yabor's conviction for carrying firearms on a public street merged with his conviction for possession of an instrument of crime for purposes of sentencing. [2] Appellant's reliance on Commonwealth v. Sims, 513 Pa. 366, 521 A.2d 391 (1987) is misplaced. The Court in Sims held that a defendant should have been permitted to have adverse witnesses invoke their assertion of the attorney-client privilege in the presence of the jury. The ruling in Sims, however, did not overrule or otherwise call into doubt the continuing validity of the Court's prior decision in Commonwealth v. Greene, supra. In fact, the Court in Sims said: In Commonwealth v. Greene, 445 Pa. 228, 285 A.2d 865 (1971), the majority opinion stated that "the jury may not draw any inference from a witness' exercise of his constitutional rights whether the inference be favorable to the prosecution or the defense. . . ." Id., 445 Pa. at 231, 285 A.2d at 867 (emphasis in original). Regardless of the wisdom of that decision (see dissent of Roberts, J.,), it is not applicable to the instant case because here we are not concerned with a constitutional privilege but rather one that is of statutory origin. Commonwealth v. Sims, supra, 513 Pa. at 377 n. 1, 521 A.2d at 396 n. 1. [3] During a hearing held on appellant's post-trial and supplemental post-trial motions the trial court did address the issue of DeLeo's invoking of the privilege against self-incrimination as follows: I have to say that, not only did I question, but I also was in contact with Judge Mazzola, who was Mr. DeLeo's Judge in his case, who not only concurred with me, but urged me actively to sever the trials of Childs and . . . . . . . As I said, there were several pretrial hearings, all of record in this case, that laid the foundation, more pretrial hearings than I ever care to have on another case. So, if it wasn't asserted the day of trial in the in camera hearing that I held, all of us considered it only an extension of the several pretrial, on-the-record hearings that we had held regarding the rights of Mr. Childs and Mr. DeLeo. (N.T. August 27, 1986 at pp. 34-35). From this statement, however, we are unable to ascertain on what basis Mr. DeLeo asserted the privilege or why a proposed question regarding the identity of DeLeo's assailant would have been incriminating to him. Moreover, this statement was made by the trial court post-trial and the numerous pre-trial hearings to which the court refers are not a part of the record which has been certified to this Court on appeal.