OPINION BY McEWEN, P.J.E.
¶ 1 Appellant, Alfonso F. Carter, has taken this appeal from the Order of the trial court that dismissed his petition for relief under the Post Conviction Relief Act, 42 Pa.C.S.A. § 9541-9546 ("PCRA"). We are constrained to reverse.
¶ 2 The charges against appellant arose out of a traffic stop that occurred on the evening of March 18, 1998, in Harrisburg, Pennsylvania. Officer Brenda Holmes of the Harrisburg City Police Department was patrolling the area of Hall Manor in Harrisburg that evening, when she observed an unattended vehicle in the parking area with its keys in the ignition, its lights and windshield wipers on, and its engine running. As Officer Holmes was conferring over the police radio about the vehicle registration plate in order to determine the owner of the vehicle, appellant approached her and claimed that he was the owner of the vehicle. When Officer Holmes asked appellant for identification, he told her that his name was "Kevin Watson" and gave a date of birth. As this occurred, Officer Holmes learned over the police radio that the car was actually registered to a female, and that the birth date for "Kevin Watson" did not correspond to the one given by appellant. A black female then approached and identified appellant as "Vernon Matthews." As a result of these discrepancies Officer Holmes became suspicious and called for backup. Finally, appellant identified himself as Alfonso Carter. When Officer Holmes conducted a records check on "Alfonso Carter" and discovered that there existed an outstanding warrant for his arrest, she placed appellant under arrest. In a search at the scene incident to the arrest, Officer Holmes found thirty-five (35) empty blue zip-lock baggies in his jacket pocket, and thereafter, during a search at the police station, discovered a plastic bag that contained over sixty (60) rocks of suspected crack cocaine. A field test was conducted on the rocks, which tested positive for cocaine.
¶ 3 Appellant was convicted, following a nonjury trial, of possession with the intent to manufacture or deliver a controlled substance, 35 Pa.C.S.A. § 780-113(a)(30), on January 12, 1999, and thereafter sentenced to serve a term of imprisonment of from five years to ten years. After appellant filed a timely notice of appeal on February 11, 1999, this Court affirmed the judgment of sentence on October 22, 1999. Appellant was represented at his trial and sentencing by privately retained counsel, and on direct appeal by the Office of the Dauphin County Public Defender.
In his direct appeal, appellant challenged only the trial court's denial of his motion to suppress the physical evidence in his case. A panel of this Court held that the searches of appellant's person were lawfully conducted.
¶ 4 Appellant filed a pro se PCRA petition on September 11, 2000. After present counsel was appointed, an amended petition was filed on Carter's behalf on October 11, 2000. The PCRA court concluded that there were no genuine issues concerning any material fact and, pursuant to Pa.R.Crim.P. 907, notified appellant of its intention to dismiss his PCRA petition without a hearing. No objections were made and the court dismissed the petition on May 29, 2002. This timely appeal followed.
¶ 5 Appellant, in his brief submitted in support of this appeal, raises the following questions for review:
1. Was appellate counsel ineffective for failing to raise on direct appeal the allegations of trial error and trial counsel's ineffectiveness?
2. Did the trial court err in admitting into evidence a copy of the Pennsylvania State Police lab report over trial counsel's objection?
3. Did the trial court err in denying the appellant's motion for a continuance of his trial?
4. Was trial counsel ineffective for eliciting through direct examination of the appellant his prior drug delivery conviction and for failing to object on cross examination of appellant's criminal activity involving drug deliveries in 1992?
We have re-phrased and set out appellant's questions in the order we have chosen to address them.
¶ 6 Our standard of review in an appeal from an order which has dismissed a petition for relief under the PCRA is well settled:
This Court's standard of review of an order denying post-conviction relief is limited to examining whether the evidence of record supports the determination of the PCRA court and whether the ruling is free from legal error.
Commonwealth v. Morales, 549 Pa. 400, 701 A.2d 516, 520 (1997). Equally well settled is the burden that the law imposes upon a petitioner seeking post-conviction relief:
To be entitled to relief under the PCRA, a petitioner must plead and prove by a preponderance of the evidence that the conviction or sentence arose from one or more of the errors enumerated in 42 Pa.C.S.A. § 9543(a)(2), and that the issues raised in the petition have not been previously litigated or waived. 42 Pa.C.S.A. § 9543(a)(3). An allegation of error is waived "if the petitioner could have raised it but failed to do so before trial, at trial, during unitary review, on appeal or in a prior state post-conviction proceeding." 42 Pa.C.S.A. § 9544(b).
Commonwealth v. Payne, 794 A.2d 902, 905 (Pa.Super. 2002),
appeal denied,
570 Pa. 685, 808 A.2d 571 (2002) (citations omitted).
¶ 7 Appellant initially asserts that his original appellate counsel was ineffective for failing to pursue certain claims of trial counsel's ineffectiveness and trial court error. This claim of "layered ineffectiveness" requires us to analyze appellant's issues within the framework of our ineffective assistance standard as it relates to appellate counsel's performance.
"A petitioner can avoid a finding of waiver under the PCRA by making an adequate and properly layered claim of ineffective assistance of counsel at his first available opportunity to do so." Commonwealth v. Rivera, 816 A.2d 282, 287 (Pa.Super. 2003), quoting Commonwealth v. Abdul-Salaam, 570 Pa. 79, 84, n. 2, 808 A.2d 558, 560 n. 3 (2001)).
Although a PCRA petitioner may overcome waiver of allegations of trial error through proper layering of his ineffectiveness claims, he must still satisfy the entire three-part test required to be applied to all claims of ineffective assistance of counsel. Thus, a finding of merit on the underlying substantive claim merely allows us to proceed to a review of the second and third parts of the test. See e.g.: Commonwealth v. Miller, 560 Pa. 500, 512-513, 746 A.2d 592, 598 (2000).
¶ 8 Our Supreme Court has recognized that claims of ineffective assistance of appellate counsel are cognizable under 42 Pa.C.S.A. § 9543(a)(2)(ii).
In order to obtain relief under the PCRA premised upon a claim that counsel was ineffective, a petitioner must establish beyond a preponderance of the evidence that counsel's ineffectiveness "so undermined the truth-determining process that no reliable adjudication of guilt or innocence could have taken place." 42 Pa.C.S.A. § 9543(a)(2)(ii). This requires the petitioner [to] demonstrate that: (1) the underlying claim is of arguable merit; (2) counsel had no reasonable strategic basis for his or her action or inaction; and (3) petitioner was prejudiced by counsel's act or omission.
Commonwealth v. Payne,
supra, 794 A.2d 902, 905-906 (Pa.Super. 2002) (citation omitted). With these standards in mind we now proceed to appellant's underlying claims.
¶ 9 The first of these claims is that original appellate counsel was ineffective for failing to preserve and raise on appeal the trial court's admission into evidence of a copy of a Pennsylvania State Police lab report. The report indicated that 11.6 grams of cocaine were seized from appellant following his arrest. The chemist who prepared the report could not appear at trial, and in his place the Commonwealth called Mr. Larry Reigle, the manager of the crime lab, to testify about the contents of the report. Over trial counsel's objection, the trial court admitted the report as substantive evidence.
¶ 10 Appellant now maintains that the trial court erred in overruling his objections to this evidence, because the lab report was clearly hearsay evidence, which was inadmissible under the Pennsylvania Rules of Evidence. See: Pa.R.E. 802. Although the trial judge agreed that the evidence in question was hearsay, he ruled that it fell within an exception to the rule which provided:
"Hearsay" is a statement, other than one made by the declarant while testifying at the trial or hearing, offered in evidence to prove the truth of the matter asserted. Pa.R.E. 801(c).
The following statements, as hereinafter defined, are not excluded by the hearsay rule, even though the declarant is available as a witness:
. . .
(6) Records of Regularly Conducted Activity
A memorandum, report, record, or data compilation, in any form, of acts, events,
or conditions, made at or near the time by, or from information transmitted by, a person with knowledge, if kept in the course of a regularly conducted business activity, and if it was the regular practice of that business activity to make the memorandum, report, record, or data compilation, all as shown by the testimony of the custodian or other qualified witness . . . unless the sources of information or other circumstances indicate lack of trustworthiness. The term "business" as used in this paragraph includes business, institution, association, profession, occupation, and calling of every kind, whether or not conducted for profit.
Pa.R.E. 803(6). We are constrained to disagree with the trial judge that this exception was applicable.
¶ 11 We begin our analysis by echoing the astute observations penned by the eminent Justice, now Chief Justice Ralph J. Cappy:
[T]he rule against hearsay is a rule of exclusion, i.e. hearsay is generally not admissible. This is so because a
hearsay statement lacks guarantees of trustworthiness fundamental to the Anglo-American system of jurisprudence. Perhaps such a statement's most telling deficiency is it cannot be tested by cross-examination. According to Dean Wigmore, cross-examination is "beyond any doubt the greatest legal engine ever invented for the discovery of truth." 5 Wigmore, supra, § 1367. Nor is the declarant under oath when the out of court statement is uttered. This court has long recognized the oath requirement as a further assurance of reliability. [citations omitted].
Heddings v. Steele, 514 Pa. 569, 573,
526 A.2d 349, 351 (1987). This Court has long recognized that "to insure a party the guarantees of trustworthiness resulting from a declarants' presence in court, a proponent of hearsay evidence must point to a reliable hearsay exception before such testimony will be admitted."
Heddings, 514 Pa. at 574,
526 A.2d at 352. Thus, the burden of production is on the proponent of the hearsay statement to convince the court of its admissibility under one of the exceptions.
Carney v.
Pennsylvania R.R. Co., 428 Pa. 489,
240 A.2d 71 (1968).
Commonwealth v. Smith, 545 Pa. 487, 491-492, 681 A.2d 1288, 1291 (1996).
We are mindful, as well, that the Pennsylvania Supreme Court in Commonwealth v. Romero, 555 Pa. 4, 722 A.2d 1014 (1999), cert. denied, 528 U.S. 952, 120 S.Ct. 376, 145 L.Ed.2d 293 (1999), has observed that "where the evidence at issue does not satisfy an exception to the hearsay rule, confrontation rights [under the United States and Pennsylvania Constitutions] are implicated." Id. at 13, 722 A.2d at 1018.
¶ 12 The drafters of Pa.R.E. 803(6) included within the Official Comments to the Rule the admonition that "Pa.R.E. 803(6) does not include opinions and diagnoses" (emphasis added). This omission was obviously intended to conform the Pennsylvania Rule to the pre-existing decisional law of this Commonwealth.
This omission distinguishes the Pennsylvania Rule from the Federal Rule. See: F.R.E. 803(6).
¶ 13 In Commonwealth v. McCloud, 457 Pa. 310, 322 A.2d 653 (1974), the Supreme Court held it was error to introduce a report that contained an opinion without having the author of that report subject to cross-examination. The report in question was the written report of the medical examiner who performed an autopsy on the deceased. The Court quite insightfully reasoned:
The Supreme Court in Commonwealth v. McCloud, 457 Pa. 310, 322 A.2d 653 (1974), was addressing the admissibility of evidence under the precursor to Rule 803(6) of the Pennsylvania Rules of Evidence, i.e. the Uniform Business Records as Evidence Act, 42 Pa.C.S.A. § 6108(b).
Had the medical examiner been called to testify, the opinions, conclusions, and interpretation contained in the autopsy report would have been subject to cross-examination. The defense would have been able to submit the reliability of the examiners' opinion to the jury's scrutiny. Any weakness could have been unearthed. However, "[a]n opinion expressed in hospital records [were they to be admitted without the presence of the physician]
is subject to no such
searching inquiry as to accuracy, soundness, and
veracity . Hence the danger in admitting them is very great. However admirable, whatever the character and reputation of the institution from which records come, to deny a defendant the opportunity to test the correctness of the diagnosis and ascertain the qualifications of the assertor . . . is to deny [him] a substantial right."
Paxos v. Jarka Corp., [314 Pa.] at 154, 171 A.2d at 471. The "substantial right" here denied was the right to cross-examine; the medical examiner's opinion was thus insulated from effective challenge.
Commonwealth v. McCloud, supra,
457 Pa. at 313-314, 322 A.2d at 655-656 (footnote omitted) (emphasis supplied). Cf:
Commonwealth v. Karch, 502 A.2d 1359 (Pa.Super. 1986) (blood alcohol test results were admissible under the hospital records exception).
The hearsay exception at issue in Commonwealth v. Karch, 502 A.2d 1359 (Pa.Super. 1986), was the "hospital records exception", which permitted the admission of "the fact of hospitalization, treatment prescribed, and symptoms given", but not the "opinion contained in the records and proffered as expert testimony" unless the declarant was available for cross-examination. Commonwealth v. DiGiacomo, 463 Pa. 449, 455-456, 345 A.2d 605, 608 (1975). See: Pa.R.E. 803(4) Statements for Purposes of Medical Diagnosis or Treatment, the Official Comment to which provides that "[s]tatements made to persons retained solely for the purpose of litigation are not admissible under this rule." See also: Commonwealth v. Smith, 545 Pa. 487, 681 A.2d 1288 (1996).
¶ 14 In the present case appellant sought an opportunity to cross-examine the person who performed the lab test and prepared the report that stated that the 11.6 grams of substance seized from appellant were actually cocaine. Contrary to the conclusion of the trial judge, this was not a "routine" report, but a report specifically prepared to prove the most significant elements of the Commonwealth's case, namely the character, and the amount of the alleged contraband at issue. Consequently, just as in Commonwealth v. McCloud, supra, the credibility and competence of the expert who actually performed the tests and prepared the evidentiary report was critical to the case of the Commonwealth, as well as to the presentation of the defense. Thus, this evidence should not have been admitted unless appellant's trial counsel had been afforded the opportunity to cross-examine the chemist who performed the tests and made the conclusions.
It is the most fundamental tenet of American criminal jurisprudence that the burden to establish each element of a crime "beyond a reasonable doubt," rests unalterably with the prosecution. See: In re Winship, 397 U.S. 358, 90 S.Ct. 1068, 25 L.Ed.2d 368 (1970). One need only look to recent experiences with faulty and defective reports issuing from crime laboratories across the country, particularly the scientific reports and testimony proffered by the federal police over the past years, to realize that laboratory reports are not so inherently infallible or trustworthy that they should be permitted to be automatically accepted by the parties or the courts. See e.g. "The FBI Laboratory: An Investigation into FBI Laboratory Practices and Alleged Misconduct in Explosives-Related and Other Cases" (April 1997), Office of the Inspector General, Department of Justice; State of West Virgina v. Zain, 207 W. Va. 54. 528 S.E.2d 748 (1999), cert. denied, 529 U.S. 1042, 120 S.Ct. 1541, 146 L.Ed.2d 354 (2000). See also: " Pa. Crime-lab Scientist's Errors Prompt Alert to 27 Counties " The Philadelphia Inquirer , June 19, 2003; " Police Chief Shakes up Crime Lab — 2 Officials Quit, Others Disciplined " The Houston Chronicle , June 13, 2003; " Crime-lab Worker Puts Cases in Doubt " Orlando Sentinel , July 19, 2002; " Report Criticizes Scientific Testing at FBI Lab " The New York Times , April 16, 1997. Finally, it merits mention that if, as the trial judge ruled in this case, the Commonwealth is entitled to introduce toxicology reports under Pa.R.E.803(6), defense counsel would similarly be allowed to proceed by report instead of expert testimony.
¶ 15 Since we have found merit to appellant's claim we must next examine the question of prejudice. As we have noted, the report presented by the Commonwealth as part of its case-in-chief was the essence of the proof of guilt of appellant. The report composed evidence of ultimate prejudice since it (1) verified that appellant was in possession of an illegal substance, (2) in an amount that supported the inference that he was a dealer, and (3) subjected him to a mandatory sentence of imprisonment.
See: 18 Pa.C.S.A. § 7508(a)(2)(ii).
¶ 16 Finally, since the evidence had such disastrous effects, and since it was proscribed hearsay evidence not subject to the Pa.R.E. 803(6) exception, there was no reasonable basis for appellant's original appellate counsel not to raise this issue on appeal. Therefore, appellant should have been granted PCRA relief in the form of a new trial.
¶ 17 We are compelled, therefore, by reason of the foregoing analysis, to conclude that the PCRA court erred in its conclusion that appellant was not entitled to post-conviction relief. Consequently, the order of the PCRA court dismissing appellants' claim for PCRA relief must be reversed, and a new trial held.
In light of our grant of relief on appellant's evidentiary issues, we need not address his remaining questions, concerning the denial of a continuance and the further ineffectiveness of counsel. The issue of the denial of request for a continuance is moot, and the decision whether to use appellant's prior conviction in a future trial remains a strategic decision that appellant in consultation with his counsel can elect to pursue or forego.
¶ 18 Order reversed. Case remanded for proceedings consistent with this Opinion. Jurisdiction relinquished.
¶ 19 GRACI, J., FILES A DISSENTING OPINION.