Com. v. Brown, D. , 2016 Pa. Super. 98 ( 2016 )

J-S15016-16
2016 PA Super 98COMMONWEALTH OF PENNSYLVANIA, IN THE SUPERIOR COURT OF
PENNSYLVANIA
Appellee
v.
DARNELL BROWN,
Appellant No. 1165 EDA 2015
Appeal from the Judgment of Sentence of March 26, 2015
In the Court of Common Pleas of Philadelphia County
Criminal Division at No(s): CP-51-CR-0003322-2013
BEFORE: BENDER, P.J.E., OLSON AND PLATT,* JJ.
OPINION BY OLSON, J.: FILED MAY 10, 2016
Appellant, Darnell Brown, appeals from the judgment of sentence
entered on March 26, 2015. In this case, we consider whether an autopsy
report is testimonial for purposes of the Confrontation Clause. After careful
consideration, we hold that the autopsy report in this case was testimonial
and the trial court erred in admitting the autopsy report. The trial court also
improperly admitted certain expert testimony relating to the opinions
expressed in the autopsy report. We hold, however, that the trial court
properly admitted expert testimony expressing independent conclusions
based on the autopsy report. Accordingly, we conclude that the improper
admission of evidence was harmless error and affirm the judgment of
sentence.
* Retired Senior Judge Assigned to the Superior Court
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The factual background and procedural history of this case are as
follows. On the evening of December 9, 2012, Appellant and his co-
defendant, Marcus Stokes (“Stokes”), arrived together at a tattoo party
taking place on the 2600 block of North Stanley Street in Philadelphia. At
approximately 11:30 p.m., Appellant’s revolver fell to the ground after which
the revolver was placed in the wheel well of a parked car. Approximately 45
minutes later, Appellant started an argument with Cory Morton (“Morton”)
over the throwing of a tissue. The verbal confrontation escalated to the
point where Appellant punched Morton in the face. Appellant thereafter
retrieved his revolver and pointed it at a third-party. Morton stated that
Appellant would not shoot the third-party. Appellant then stepped back and
shot Morton four times in the chest. Morton died as a result of the gunshot
wounds.
On March 25, 2013, Appellant was charged via criminal information
with murder,1 possession of a firearm by a prohibited person,2 carrying a
firearm without a license,3 carrying a firearm on the streets of Philadelphia,4
1
18 Pa.C.S.A. § 2502.
2
18 Pa.C.S.A. § 6105(a)(1).
3
18 Pa.C.S.A. § 6106(a)(1).
4
18 Pa.C.S.A. § 6108.
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possessing an instrument of crime,5 and conspiracy to commit murder.6 A
jury trial commenced on November 4, 2014 at which Appellant and co-
defendant, Stokes, were tried together. At trial, Dr. Albert Chu, an assistant
medical examiner,7 testified as an expert witness as to the cause and
manner of Morton’s death. Dr. Chu neither assisted nor was present at
Morton’s autopsy, which was performed by Dr. Marlon Osbourne. Instead,
Dr. Chu testified based upon his review of the autopsy report prepared by
Dr. Osbourne and the accompanying autopsy photographs. The autopsy
report was admitted into evidence at the conclusion of trial.8
On November 7, 2014, the jury found Appellant guilty of third-degree
murder,9 carrying a firearm without a license, carrying a firearm on the
streets of Philadelphia, and possessing an instrument of crime. On March
5
18 Pa.C.S.A. § 907(a).
6
18 Pa.C.S.A. §§ 903(c); 2502.
7
Philadelphia abolished the position of coroner and replaced it with a
medical examiner. Phila. Code § 2-102. The medical examiner in
Philadelphia has the same powers and duties as do coroners in other
counties of the Commonwealth. Id. Throughout this opinion, we refer to
“medical examiner;” however, this term is meant to encompass coroners in
those counties that retain that office.
8
The autopsy report was never sent back with the jury. Instead, the parties
and the trial court agreed not to initially send any exhibits back with the
jury. The parties and trial court agreed to litigate the admissibility of any
exhibits if the jury requested them. See N.T., 11/6/14, at 8.
9
18 Pa.C.S.A. § 2502(c).
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26, 2015, the trial court sentenced Appellant to an aggregate term of 25 to
50 years’ imprisonment. This timely appeal followed.10
Appellant presents one issue for our review:
Did the [trial court] err when, over objection, it ruled that [Dr.
Chu] could testify as to [the] cause and manner of [Morton’s]
death when [Dr. Chu] took no part in the original autopsy?
Appellant’s Brief at 3.
In his lone issue on appeal, Appellant argues that the trial court erred
by permitting Dr. Chu to testify as to Morton’s cause and manner of death.
Specifically, Appellant argues that the admission of Dr. Chu’s testimony
violated the Confrontation Clause of the Sixth Amendment to the United
States Constitution as incorporated by the Fourteenth Amendment.11
Whether Appellant’s confrontation rights were violated is a pure question of
law; therefore, our standard of review is de novo and our scope of review is
10
On April 23, 2015, the trial court ordered Appellant to file a concise
statement of errors complained of on appeal (“concise statement”). See
Pa.R.A.P. 1925(b). On June 29, 2015, Appellant filed his concise statement.
On July 15, 2015, the trial court issued its Rule 1925(a) opinion. Appellant’s
lone issue on appeal was included in his concise statement.
11
“Although Appellant has not premised his argument on Article I, Section 9
of the Pennsylvania Constitution, it similarly provides: ‘In all criminal
prosecutions the accused hath a right . . . to be confronted with the
witnesses against him. . . .’” Commonwealth v. Yohe, 79 A.3d 520, 531
n.10 (Pa. 2013), cert denied, 134 S.Ct. 2662 (2014) (ellipses in original).
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plenary.12 Commonwealth v. Yohe, 79 A.3d 520, 530 (Pa. 2013), cert
denied, 134 S.Ct. 2662 (2014).
As a preliminary matter, the trial court found this issue waived based
upon Appellant’s alleged failure to timely object to Dr. Chu’s testimony. See
Trial Court Opinion, 7/15/15, at 3-4. At trial, however, Stokes’ counsel
objected to Dr. Chu’s testimony based on the fact that it violated the
Confrontation Clause. See N.T., 11/5/14, at 100-101. Appellant’s counsel
joined in that objection. Id. at 101. Thus, Appellant properly preserved this
issue by objecting to Dr. Chu’s testimony before the doctor testified at
trial.13 See Pa.R.Evid. 103(b) (“Once the court rules definitively on the
record—either before or at trial—a party need not renew an objection or
offer of proof to preserve a claim of error for appeal.”).
Turning to the merits of Appellant’s lone issue, the Sixth Amendment
of the United States Constitution provides that, “In all criminal prosecutions,
the accused shall enjoy the right . . . to be confronted with the witnesses
against him[.]” U.S. Const. Amend. VI. This protection has been
incorporated into the Fourteenth Amendment and thus is applicable in state
12
Although the admission of expert testimony is subject to an abuse of
discretion standard of review, Commonwealth v. Watson, 945 A.2d 174,
176 (Pa. Super. 2008) (citation omitted), an error of law constitutes an
abuse of discretion. Nat’l Cas. Co. v. Kinney, 90 A.3d 747, 753 (Pa.
Super. 2014) (citation omitted). Thus, we ultimately employ a de novo
standard of review.
13
Although not binding on this Court, the trial court acknowledged at trial
that the issue was “preserved for the record.” N.T., 11/5/14, at 101.
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court prosecutions. Pointer v. Texas, 380 U.S. 400, 406-407 (1965). The
Confrontation Clause, “applies to witnesses against the accused—in other
words, those who bear testimony. Testimony, in turn, is typically a solemn
declaration or affirmation made for the purpose of establishing or proving
some fact.” Crawford v. Washington, 541 U.S. 36, 51 (2004) (internal
alteration, quotation marks, and citations omitted).
In order to determine if a document or statement created out-of-court
is testimonial in nature, our Supreme Court looks at the primary purpose of
the document or statement. Yohe, 79 A.3d at 531-532 (citations omitted).
A document or statement is testimonial if its primary purpose is “to establish
or prove past events potentially relevant to later criminal prosecution.” Id.
at 531. (citation omitted). A document or statement has such a primary
purpose if it is created or given “under circumstances which would lead an
objective witness reasonably to believe that the [document or] statement
would be available for use at a later trial[.]” Id. (citation omitted). If a
document or statement is testimonial, then the witness who prepared it
must testify at trial, unless he or she is unavailable and the defendant had a
prior opportunity for cross-examination. Michigan v. Bryant, 562 U.S.
344, 354 (2011) (“[F]or testimonial evidence to be admissible, the Sixth
Amendment demands what the common law required: unavailability [of a
witness] and a prior opportunity for cross-examination.” (internal quotation
marks and citation omitted)).
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In this case, the fact at issue was whether Morton died from the four
gunshot wounds he sustained. The autopsy report admitted into evidence
addressed this fact, i.e., it listed Morton’s cause of death as being multiple
gunshot wounds and the manner of death as homicide. Thus, the autopsy
report established past events that were potentially relevant to later criminal
proceedings, and thus, was testimonial. Furthermore, an objective witness
who prepared an autopsy report on an individual who sustained four gunshot
wounds to the chest should reasonably believe that the report would be
made available for use at a later trial.
Our conclusion finds support in the statutory scheme governing
medical examiners. In Pennsylvania, the medical examiner must issue a
certificate attesting to an individual’s cause of death “where the
circumstances suggest that the death was sudden or violent or suspicious in
nature or was the result of other than natural causes[.]” 35 P.S. § 450.503.
This is almost always accomplished through performing an autopsy.
Although the medical examiner is independent, “[i]n the exercise of his
duties as contained in this subdivision, the [medical examiner] shall, so far
as may be practicable, consult and advise with the district attorney.” 16
P.S. § 1242. Although not all autopsies in Pennsylvania are used in court
proceedings, the statutory framework contemplates that the autopsy report
will be used in a criminal trial when the circumstances suggest that the
death was sudden, violent or suspicious or was the result of other than
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natural causes. In this case, the circumstances surrounding Morton’s death
suggest that his death was sudden, violent and suspicious and not the result
of natural causes. A relatively young male died in the middle of the street
after being shot multiple times. As such, based upon the statutory
framework in Pennsylvania and the circumstances surrounding Morton’s
death, it is evident that the autopsy report in this case was testimonial in
nature.
Several state and federal courts that have recently considered the
issue have likewise held that autopsy reports are testimonial. E.g., United
States v. Ignasiak, 667 F.3d 1217, 1232 (11th Cir. 2012); West Virginia
v. Kennedy, 735 S.E.2d 905, 917-918 (W.Va. 2012); United States v.
Moore, 651 F.3d 30, 69–74 (D.C. Cir. 2011) (per curiam), aff'd in part sub
nom., Smith v. United States, 133 S.Ct. 714 (2013); Cuesta–Rodriguez
v. Oklahoma, 241 P.3d 214, 228 (Okla. Crim. App. 2010); North Carolina
v. Locklear, 681 S.E.2d 293, 305 (N.C. 2009); Wood v. Texas, 299
S.W.3d 200, 209–210 (Tex. Crim. App. 2009); Massachusetts v. Nardi,
893 N.E.2d 1221, 1233 (Mass. 2008).
In addition to the reasons set forth above regarding the circumstances
surrounding Morton’s death and the statutory framework in Pennsylvania,
we find persuasive one of the Eleventh Circuit’s rationales for concluding that
autopsy reports are testimonial in nature. As the Eleventh Circuit Court of
Appeals stated, “[m]edical examiners are not mere scriveners reporting
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machine generated raw-data. . . . [T]he observational data and conclusions
contained in the autopsy reports are the product of the skill, methodology,
and judgment of the highly trained examiners who actually performed the
autopsy.” Ignasiak, 667 F.3d at 1232 (internal quotation marks and
citation omitted). The Supreme Judicial Court of Massachusetts relied upon a
similar rationale in concluding that an autopsy report was testimonial. The
court emphasized how most portions of an autopsy report involve judgments
and decisions made by the medical examiner performing the autopsy.
Nardi, 893 N.E.2d at 1232-1233. As such, “there is little reason to believe
that confrontation will be useless in testing medical examiners’[] honesty,
proficiency, and methodology—the features that are commonly the focus in
the cross-examination of experts.” Ignasiak, 667 F.3d at 1233 (internal
alteration omitted).
The Commonwealth contends that the autopsy report in this case was
nontestimonial because it was non-accusatorial. This contention appears to
rely on Justice Alito’s opinion announcing the judgment of the court in
Williams v. Illinois, 132 S.Ct. 2221 (2012). In Williams, a splintered
United States Supreme Court held that a DNA report used to compare with a
known subject’s DNA profile was nontestimonial. In his opinion, Justice Alito
stated that the forensic report at issue in Williams was nontestimonial
because it did not target a specific individual, i.e., the defendant in that
case. Id. at 2243. Five justices, however, rejected Justice Alito’s rationale
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and instead found that a forensic report need not accuse a particular
individual in order to be testimonial in nature. Id. at 2262 (Thomas, J.
concurring) (Justice Alito’s “test lacks any grounding in constitutional text, in
history, or in logic.”); id. at 2273 (Kagan, J. dissenting) (Justice Alito’s test
“has no basis in our precedents. We have previously asked whether a
statement was made for the primary purpose of establishing past events
potentially relevant to later criminal prosecution—in other words, for the
purpose of providing evidence.”). As a majority of the Court in Williams
rejected the argument being made by the Commonwealth in this case, the
Commonwealth’s argument based upon Justice Alito’s test in Williams is
without merit.
The Commonwealth next argues that autopsy reports are
nontestimonial because the medical examiner is required to conduct
autopsies in a variety of situations, most of which do not ultimately lead to
criminal prosecutions. See Phila. Code § 2-102; 16 P.S. § 1237. The
Commonwealth notes that, in Philadelphia County, approximately 14% of
autopsies relate to homicides while the remaining 86% of autopsies are done
for some other reason, e.g., the individual will be buried at sea. See
Commonwealth’s Brief at 9, citing Medical Examiner’s Office Pathology Unit
(available at http://www.phila.gov/health/medicalexaminer/Pathology.html,
last accessed Dec. 11, 2015).
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We reject this argument for several reasons. First, in Yohe our
Supreme Court held that whether a document or statement is testimonial
depends upon its primary purpose. Yohe, 79 A.3d at 531-532 (citations
omitted). Under Pennsylvania law, “where the circumstances suggest that
the death was sudden or violent or suspicious in nature or was the result of
other than natural causes” the medical examiner must typically perform an
autopsy. See 35 P.S. § 450.503. That is what occurred in this case. Thus,
under the particular circumstances of this case, it is evident that the primary
purpose of the autopsy was not statistical. Instead, the primary purpose of
the autopsy report in this case was to prove that Morton died of multiple
gunshot wounds and that his death was the result of a homicide.
As we do today, most courts that considered arguments similar to
those advanced by the Commonwealth examined the structure of state laws
regarding medical examiners and autopsies to determine whether the
primary purpose of an autopsy report is to prove a fact for use at trial. We
find persuasive the reasoning used by the Supreme Court of West Virginia in
Kennedy in rejecting the Commonwealth’s contention. Like in
Pennsylvania, medical examiners in West Virginia are independent. See
Kennedy, 735 S.E.2d at 917. Nonetheless, in West Virginia the use of
autopsies in judicial proceedings is contemplated. See id. The Supreme
Court of West Virginia relied upon the Eleventh Circuit’s decision in Ignasiak
in reaching its conclusion that autopsy reports are testimonial. In Ignasiak,
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the Eleventh Circuit held that “even though not all Florida autopsy reports
will be used in criminal trials, the reports in this case are testimonial and
subject to the Confrontation Clause.” Ignasiak, 667 F.3d at 1232.
The United States Court of Appeals for the District of Columbia Circuit
adopted similar rationale in finding autopsy reports testimonial. In
explaining why the autopsy reports were testimonial, the court stated:
the autopsy reports were formalized in signed documents titled
reports . . . . [C]ombined with the fact that each autopsy found
the manner of death to be a homicide caused by gunshot
wounds, circumstances [existed] which would lead an objective
witness reasonably to believe that the statement would be
available for use at a later trial.
Moore, 651 F.3d at 73 (internal quotation marks and citation omitted).
The Court of Criminal Appeals of Oklahoma likewise concluded that an
autopsy report is testimonial based upon a similar statutory framework and
the nature of the death. That court concluded that “a medical examiner’s
words recorded in an autopsy report involving a violent or suspicious death
could constitute statements that the medical examiner should reasonably
expect to be used in a criminal prosecution and therefore under the
Crawford and Melendez-Diaz [v. Massachusetts, 557 U.S. 305 (2009)]
framework would be testimonial for Sixth Amendment confrontation
purposes.” Cuesta-Rodriguez, 241 P.3d at 228.
The Court of Appeals of Texas also looked at the structure of state law
and the circumstances surrounding the death when determining an autopsy
report was testimonial. Specifically, the court concluded that “the
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circumstances surrounding [the victim’s] death warranted the police in the
suspicion that his death was a homicide . . . . Under these circumstances, it
is reasonable to assume that [the medical examiner] understood that the
report containing her findings and opinions would be used prosecutorially.”
Wood, 299 S.W.3d at 209-210.
All of these courts found it irrelevant that not all autopsy reports are
used in criminal prosecutions and that a certain (high) percentage of
autopsies are done for other reasons. Instead, they found the fact that the
statutory frameworks contemplate using autopsy reports in criminal
prosecutions compelling. As noted above, we hold today that the statutory
framework in Pennsylvania contemplates using autopsies in criminal
proceedings.
We acknowledge that there is a sharp split in authority on whether
autopsy reports are testimonial. Indeed, the Commonwealth directs our
attention to several state and federal courts that have held that autopsy
reports are nontestimonial. E.g., Tennessee v. Hutchison, 2016 WL
531266, *16 (Tenn. Feb. 5, 2016); Ohio v. Maxwell, 9 N.E.3d 930, 949-
952 (Ohio 2014); Arizona v. Medina, 306 P.3d 48, 63 (Ariz. 2013); United
States v. James, 712 F.3d 79, 97-99 (2d Cir. 2013); Illinois v. Leach,
980 N.E.2d 570, 592 (Ill. 2012); California v. Dungo, 286 P.3d 442, 450
(Cal. 2012).
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The Supreme Court of Ohio adopted the rationale advanced by the
Commonwealth in this case, i.e., that because autopsy reports have multiple
uses, they categorically cannot be considered testimonial in nature. The
court specifically held that because autopsy reports are not usually created
for use in criminal prosecutions, they do not have the primary purpose of
being used as a substitute for out-of-court testimony. Maxwell, 9 N.E.3d at
950-952. The Supreme Court of Illinois employed a similar rationale in
finding autopsy reports are nontestimonial. The court stated that “while it is
true that an autopsy report might eventually be used in litigation of some
sort, either civil or criminal, these reports are not usually prepared for the
sole purpose of litigation.” Leach, 980 N.E.2d at 592.14 The Second Circuit
Court of Appeals also adopted a rationale similar to that advanced by the
Commonwealth. See James, 712 F.3d at 97-99.15
14
The court in Leach also argued that it was impracticable to require
medical examiners to testify regarding autopsy reports. Leach, 980 N.E.2d
at 592. This argument has been soundly rejected by the Supreme Court of
the United States. Melendez-Diaz, 557 U.S. at 325 (“The Confrontation
Clause may make the prosecution of criminals more burdensome, but that is
equally true of the right to trial by jury and the privilege against self-
incrimination. The Confrontation Clause—like those other constitutional
provisions—is binding, and we may not disregard it at our convenience.”).
Thus, although forcing medical examiners to testify regarding the findings of
an autopsy report may be costly, that does not exempt autopsy reports from
the Confrontation Clause.
15
As we shall discuss infra, we reject the conclusions reached in this line of
authority. In addition, James is distinguishable from the case sub judice.
In James, the Second Circuit noted that the medical examiner did not
originally believe a homicide occurred when conducting the autopsy.
(Footnote Continued Next Page)
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We respectfully disagree with the rationale endorsed by these courts
and advanced by the Commonwealth. Five members of the Supreme Court
of the United States concluded that a similar rationale by Justice Alito in
Williams was flawed. As Justice Kagan explained, the primary purpose test
asks whether a statement “was made for the primary purpose of establishing
past events potentially relevant to later criminal prosecution.” Williams,
132 S.Ct. at 2273 (Kagan, J. dissenting) (emphasis added); see also id. at
2262 (Thomas, J. concurring). As the Supreme Court of Ohio recognized,
the primary purpose of an autopsy is to establish a fact, i.e., the cause of
death. This fact is certainly potentially relevant to later criminal
prosecutions. It is immaterial that the autopsy was not created for the sole
purpose of being used in court.
We also decline to follow the reasoning adopted by several courts that
have held that autopsy reports are not sufficiently solemn to meet the test
set forth by Justice Thomas in Williams. See Hutchison, 2016 WL 531266at *15; Medina, 306 P.3d at 64; Dungo, 286 P.3d at 449-450. In his
concurring opinion in Williams, Justice Thomas concluded that the DNA
report at issue did not violate the Confrontation Clause because it “lacked
_______________________
(Footnote Continued)
James, 712 F.3d at 99. This indicates that the Second Circuit may reach a
different conclusion if presented with a case where the autopsy was done
because the medical examiner suspected homicide. In the case at bar, it is
evident that the autopsy was performed because the medical examiner
believed that a homicide was committed.
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the requisite ‘formality and solemnity’ to be considered ‘testimonial’ for
purposes of the Confrontation Clause.” Williams, 132 S.Ct. at 2255,
quoting Bryant, 131 S.Ct. at 1167 (Thomas, J. concurring). We find this
rationale unpersuasive for two reasons. First, in Yohe our Supreme Court
did not employ Justice Thomas’ solemnity test. Instead, our Supreme Court
focused on the primary purpose of the evidence, an approach closer to that
of Justice Kagan than that of Justice Thomas. See Yohe, 79 A.3d 537-538.
Second, as noted above, under Pennsylvania law the medical examiner is
required to certify the findings of the autopsy report. See 16 P.S. § 1244.
This is sufficiently solemn to be considered testimonial even under Justice
Thomas’ test.
Thus, we hold that an autopsy report that is prepared because of a
sudden, violent, or suspicious death or a death that is the result of other
than natural causes, is testimonial. Such an autopsy report is prepared to
prove a fact, i.e., the victim’s cause and manner of death, that an objective
observer would reasonably believe could later be used in a criminal
prosecution. As such autopsy reports are testimonial and the author of the
autopsy report is required to testify at trial in order to satisfy the
Confrontation Clause.16 In this case, Dr. Osbourne did not testify and
16
Our holding today is consistent with our Supreme Court’s pre-Crawford
jurisprudence. In Commonwealth v. McCloud, 322 A.2d 653 (Pa. 1974),
abrogated on other grounds, Commonwealth v. McGrogan, 568 A.2d 924(Pa. 1990), our Supreme Court held “that in a homicide prosecution,
(Footnote Continued Next Page)
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Appellant did not have a chance to cross-examine him prior to trial.
Accordingly, Appellant’s Confrontation Clause rights were violated by the
admission of the autopsy report in this case.
Having determined that the autopsy report was testimonial, we turn to
the Commonwealth’s contention that Dr. Chu’s testimony was independently
admissible. Approximately one week prior to trial, Dr. Chu, who testified as
an expert with no challenge to his qualifications, reviewed Dr. Osborne’s
autopsy report as well as photographs taken during the autopsy. N.T.,
11/5/14, at 123, 131-132. Based upon this review of the autopsy report
and autopsy photographs, the Commonwealth asked Dr. Chu about the
cause and manner of Morton’s death. The Commonwealth contends that this
testimony was admissible as Dr. Chu proffered his own independent
conclusions regarding the cause and manner of Morton’s death. Appellant,
on the other hand, contends that Dr. Chu merely served as a surrogate for
Dr. Osbourne and, therefore, his testimony violated Appellant’s
Confrontation Clause rights.
The reason that Dr. Chu’s expert testimony was critical to the
Commonwealth’s case is because this Court has held that, although non-
expert testimony “may be sufficient to establish cause of death by a
_______________________
(Footnote Continued)
evidentiary use, as a business records exception to the hearsay rule, of an
autopsy report in proving legal causation is impermissible unless the accused
is afforded the opportunity to confront and cross-examine the medical
examiner who performed the autopsy.” McCloud, 322 A.2d at 656-657.
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preponderance of the evidence, it does not satisfy the more stringent
standard of criminal trials.” Commonwealth v. Baker, 445 A.2d 544, 548
n.2 (Pa. Super. 1982). Thus, in order to prove all the elements of third-
degree murder, inter alia, that Morton’s death was caused by gunshot
wounds, expert testimony was required.17 As Dr. Chu was the only expert
called regarding cause of death, we must examine whether he provided
sufficient admissible evidence to prove Morton died as a result of gunshot
wounds.18
In order to understand the background of this issue, it is necessary to
review Justice Sotomayor’s concurring opinion in Bullcoming v. New
Mexico, 131 S.Ct. 2705 (2011).19 In Bullcoming, the defendant was
charged with aggravated driving while under the influence of alcohol. At
17
The expert testimony need not be offered by a medical doctor. For
example, this Court has found sufficient a lay coroner’s expert testimony
regarding the cause of death. Commonwealth v. Smith, 808 A.2d 215,
230 (Pa. Super. 2002).
18
On the other hand, “a conclusion upon the question whether a death from
external cause or violence was accidental, suicidal, or homicidal, may
ordinarily be determined by a jury without the assistance of expert
witnesses.” Smith, 808 A.2d at 229 (internal quotation marks and citation
omitted). Thus, no expert testimony was necessary to prove the manner of
Morton’s death.
19
The Commonwealth states that “Bullcoming is a plurality decision[.]”
Commonwealth’s Brief at 11 n.3. It appears that the Commonwealth meant
to state that Williams was a plurality opinion. Nonetheless, Justice
Ginsburg’s opinion in Bullcoming was joined by four other justices except
as to part IV and footnote 6. See Bullcoming, 131 S.Ct. at 2709. As such,
it was a majority decision as to all but those portions of Justice Ginsburg’s
opinion.
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trial, the prosecution entered into evidence a forensic laboratory report
stating the defendant’s blood alcohol concentration was sufficient for
aggravated driving while intoxicated. Id. at 2709. “[T]he prosecution did
not call as a witness the analyst who signed the certification. Instead, the
State called another analyst who was familiar with the laboratory’s testing
procedures, but had neither participated in nor observed the test on
Bullcoming’s blood sample.” Id.The Supreme Court of the United States held that the prosecution
violated Bullcoming’s Confrontation Clause rights. The Court held that
“surrogate testimony . . . could not convey what [the analyst] knew or
observed about the events his certification concerned, i.e., the particular test
and testing process he employed. Nor could such surrogate testimony
expose any lapses or lies on the certifying analyst’s part.” Id. Furthermore,
the Court explained that the Confrontation “Clause does not tolerate
dispensing with confrontation simply because the court believes that
questioning one witness about another’s testimonial statements provides a
fair enough opportunity for cross-examination.” Id. at 2716.
In her concurrence, Justice Sotomayor stated Bullcoming was
not a case in which an expert witness was asked for his
independent opinion about underlying testimonial reports that
were not themselves admitted into evidence. As the [majority]
note[d], the State [did] not assert that [the surrogate] offered
an independent, expert opinion about Bullcoming’s blood alcohol
concentration. Rather, the State explain[ed that] aside from
reading a report that was introduced as an exhibit, [the
surrogate] offered no opinion about [Bullcoming’s] blood alcohol
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content. Here the State offered the BAC report, including [the
analyst’s] testimonial statements, into evidence. We would face
a different question if asked to determine the constitutionality of
allowing an expert witness to discuss others’ testimonial
statements if the testimonial statements were not themselves
admitted as evidence.
Bullcoming, 131 S.Ct at 2722 (Sotomayor, J. concurring) (internal
alterations, ellipsis, quotation marks, and citations omitted).
The Supreme Court of the United States granted certiorari in Williams
to decide the expert testimony issue left unresolved in Bullcoming. See
Williams, 132 S.Ct. at 2233 (Alito, J. announcing the judgment of the
Court). Unfortunately, the Supreme Court of the United States did not issue
a binding rule on this issue in Williams. Medina, 306 P.3d at 63; see also
Yohe, 79 A.3d at 536. Thus, we proceed to consider Dr. Chu’s testimony by
analyzing the various opinions in Williams and settled Pennsylvania law.
From the various opinions in Williams, we glean that the
Confrontation Clause is not violated when an expert expresses his or her
independent conclusions based upon his or her review of inadmissible
evidence. Williams, 132 S.Ct. at 2233 (Alito, J. announcing the judgment
of the Court). However, the underlying inadmissible evidence does not
become admissible based upon the expert’s independent conclusions and his
or her reliance on such inadmissible evidence. See id. at 2256-2257(Thomas, J. concurring); id. at 2268-2269 (Kagan, J. dissenting). Thus, we
turn to Pennsylvania law regarding what evidence an expert can rely upon in
order to offer his or her own independent conclusions.
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Under Pennsylvania Rule of Evidence 703:
An expert may base an opinion on facts or data in the case that
the expert has been made aware of or personally observed. If
experts in the particular field would reasonably rely on those
kinds of facts or data in forming an opinion on the subject, they
need not be admissible for the opinion to be admitted.
Pa.R.Evid. 703.
Courts in Pennsylvania have long held that such independent
conclusions based upon inadmissible evidence are admissible. E.g., In re
D.Y., 34 A.3d 177, 182-183 (Pa. Super. 2011), appeal denied, 47 A.3d 848(Pa. 2012); Boucher v. Pa. Hosp., 831 A.2d 623, 628 (Pa. Super. 2003),
appeal denied, 847 A.2d 1276 (Pa. 2004); Primavera v. Celotex Corp.,
608 A.2d 515, 519-520 (Pa. Super. 1992), appeal denied, 622 A.2d 1374(Pa. 1993); Maravich v. Aetna Life & Casualty Co., 504 A.2d 896, 900–
901 (Pa. Super. 1986); Commonwealth v. Thomas, 282 A.2d 693, 698
(Pa. Super. 1971).
Our Supreme Court addressed a similar situation to the case at bar in
Commonwealth v. Daniels, 390 A.2d 172 (Pa. 1978). In Daniels, the
Commonwealth called as an expert witness a forensic pathologist, who had
not originally investigated the victim’s death. The forensic pathologist
consulted the following sources prior to testifying:
interviews with former residents of the school (all of whom
testified for the Commonwealth concerning [the victim’s]
symptoms); certain hospital records . . . ; the death certificate
. . . ; a letter from and a conversation with a person who had
performed a dissection of a body believed to be that of the
[victim]; the testimony the [forensic pathologist] heard during
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the trial; and certain police reports concerning [the victim’s]
death. [The forensic pathologist] was asked whether, as a result
of this investigation, he had come to an opinion regarding the
cause and manner of [the victim’s] death. He answered in the
affirmative and, over objection, was permitted to testify to that
opinion.
Daniels, 390 A.2d at 175 (footnote omitted).
Our Supreme Court held that such testimony was admissible. As our
Supreme Court stated, “where the information is that of an attending nurse
or physician having personal observation and an interest in learning and
describing accurately, there seems to be every reason for admitting
testimony based in part on this.” Id. at 177 (internal quotation marks and
citation omitted). In other words, our Supreme Court held that a medical
expert may express his opinion on the cause of death based upon the report
of a non-testifying physician who examined the body. See also
Commonwealth. v. Ali, 10 A.3d 282, 306 (Pa. 2010) (“[A] medical expert
who did not perform the autopsy may testify as to cause of death as long as
the testifying expert is qualified and sufficiently informed[.]”);
Commonwealth v. Smith, 391 A.2d 1009, 1012-1013 (Pa. 1978)
(permitting pathologist to testify regarding cause of death based upon
findings of an autopsy performed by a non-physician).
Based upon this precedent, we hold that Dr. Chu’s independent
conclusions regarding the cause and manner of Morton’s death were
admissible. During trial, Dr. Chu testified that it was his own independent
conclusion that the cause of death was multiple gunshot wounds and that
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the manner of death was homicide. N.T., 11/5/14, at 130. He emphasized
that these conclusions were his own and not a mere parroting of Dr.
Osbourne’s conclusions as set forth in the autopsy report. See id. Thus,
the Commonwealth provided sufficient admissible evidence at trial to prove
that Morton’s cause of death was multiple gunshot wounds.
Finally, having determined that Appellant’s Confrontation Clause rights
were violated,20 we turn to whether this error was harmless. See
Commonwealth v. Rosser, 2016 WL 769485, *9 (Pa. Super. Feb. 26,
20
We see two ways in which the Commonwealth violated Appellant’s Sixth
Amendment rights; first, admission of the autopsy report without testimony
from its author, Dr. Osborne; and second, admission of Dr. Osbourne’s
opinions found in the report. The Commonwealth avers that “Dr. Osbourne’s
conclusions were never offered against [Appellant.]” Commonwealth’s Brief
at 13. Instead, the Commonwealth argues that only Dr. Chu’s independent
conclusions were offered against Appellant. Our review of the trial
testimony, however, belies this assertion. At the conclusion of Dr. Chu’s
testimony, he testified that Dr. Osborne concluded that the cause of death
was multiple gunshot wounds and that the manner of death was homicide.
Specifically, the Commonwealth asked Dr. Chu, “Is your opinion in this case,
are you merely repeating Dr. Osbourne’s opinion from the report or through
your medical experience and training, do you also hold this opinion?” N.T.,
11/5/14, at 130 (emphasis added). Dr. Chu responded, “I also hold this
opinion.” Id. (emphasis added).
This type of basis evidence is the type that five justices in Williams rejected
as violating the Confrontation Clause. It is similar in nature to the surrogate
testimony that the Court rejected in Bullcoming. Dr. Chu was, in at least
portions of his testimony, acting as a surrogate for Dr. Osbourne and
outlining the conclusions Dr. Osbourne drew as a result of the autopsy
conducted in this case. As such, we conclude that while the trial court
correctly admitted the portions of Dr. Chu’s testimony in which he gave his
own independent conclusions regarding the cause and manner of Morton’s
death, the admission of Dr. Chu’s testimony which relayed Dr. Osbourne’s
opinions regarding the cause and manner of Morton’s death violated the
Confrontation Clause.
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2016) (after determining there was a Confrontation Clause violation the
second step is to determine if that violation was harmless); see also
Melendez-Diaz, 557 U.S. at 329 n.14 (expressing no view as to whether \
Confrontation Clause violation was harmless). “Before a federal
constitutional error can be held harmless [on direct appeal], th[is C]ourt
must be able to declare a belief that it was harmless beyond a reasonable
doubt.” Davis v. Ayala, 135 S.Ct. 2187, 2197 (2015) (internal alteration
and citation omitted).
This is not a case where the cause of the victim’s death was seriously
at issue. For example, this is not a cyanide poisoning case in which the
testimony of the medical examiner that performed the autopsy was critical
to the Commonwealth’s case. Cf. Commonwealth v. Ferrante, CP-02-CR-
0013724-2013 (C.C.P. Allegheny). Instead, this is a case where a healthy
individual in his twenties was shot several times in the chest. Although this
Court’s precedent requires that an expert opinion be offered to prove the
cause of death, extensive expert testimony was not necessary under the
specific facts of this case. Instead, Dr. Chu’s opinion was sufficient to prove
Morton’s cause of death beyond a reasonable doubt. Accordingly, we
conclude that the admission of the autopsy report and the portions of Dr.
Chu’s testimony referencing Dr. Osbourne’s opinions was harmless error.
In sum, we conclude that Appellant preserved his lone issue for
appeal. We hold that an autopsy report is testimonial when the death was
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sudden, violent, or suspicious in nature, or was the result of other than
natural causes. Because Morton’s death was sudden, violent, and the result
of other than natural causes, the autopsy report in this case was testimonial
and the trial court erred by admitting the autopsy report and Dr. Chu’s
reference to the opinions expressed by Dr. Osbourne in the autopsy report.
Nonetheless, Dr. Chu’s independent expert testimony regarding the cause of
Morton’s death was admissible and sufficient to prove his cause of death
beyond a reasonable doubt. Thus, the Confrontation Clause violation was
harmless error. Accordingly, we affirm the judgment of sentence.
Judgment of sentence affirmed.
President Judge Emeritus Bender joins this Opinion.
Judge Platt concurs in the result.
Judgment Entered.
Joseph D. Seletyn, Esq.
Prothonotary
Date: 5/10/2016
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