Commonwealth v. Rizzo

726 A.2d 378, 556 Pa. 10, 1999 Pa. LEXIS 847
CourtSupreme Court of Pennsylvania
DecidedMarch 25, 1999
StatusPublished
Cited by14 cases

This text of 726 A.2d 378 (Commonwealth v. Rizzo) is published on Counsel Stack Legal Research, covering Supreme Court of Pennsylvania primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Commonwealth v. Rizzo, 726 A.2d 378, 556 Pa. 10, 1999 Pa. LEXIS 847 (Pa. 1999).

Opinions

OPINION OF THE COURT

FLAHERTY, Chief Justice.

The sole issue in this case is whether a witness in a criminal case who has been granted immunity and refuses to testify is “unavailable” within the meaning of Pa.R.Crim.P. 9015.

The appellants in this case, Mark Reighard and James Hyland, are witnesses in a criminal action against one Dominic Rizzo, who is accused of illegal drug trafficking and conspiracy. In 1992, both Reighard and Hyland testified before a grand jury concerning their illicit dealings with Rizzo. Hyland testified without immunity and Reighard testified pursuant to an order of use immunity.

Following the grand jury appearances of Hyland and Reighard, the prosecution became aware that both witnesses might refuse to testify at the Rizzo trial. The Commonwealth, therefore, requested and the trial court granted orders of use immunity for both witnesses in January of 1995. The Rizzo case was listed for trial on May 30,1995. On May 22, 1995, the Commonwealth, at a pre-trial hearing in the Rizzo case, moved to schedule a hearing in order to determine whether Hyland and Reighard would refuse to testify at trial. At the May 22 hearing, the Commonwealth indicated that Hyland had stated to police that he would not testify against Rizzo, and that police conversations with Reighard’s counsel suggested that Reighard would also refuse to testify. The trial court granted the Commonwealth’s motion for a pre-trial hearing on the matter of whether the witnesses intended to testify at trial, and on May 26, 1995 a hearing was conducted pursuant to Pa.R.Crim.P. 9015, which provides, in pertinent part:

Rule 9015. PRESERVATION OF TESTIMONY AFTER INSTITUTION OF CRIMINAL PROCEEDINGS.
1. By Court Order.
(a) At any time after the institution of a criminal proceeding, upon motion of any party, and after notice and hearing, the court may order the taking and preserving of the [13]*13testimony of any witness who may be unavailable for trial or for any other proceeding, or when due to exceptional circumstances, it is in the interests of justice that the witness’ testimony be preserved.
(b) The court shall state on the record the grounds on which the order is based.
(c) The court’s order shall specify the time and place for the taking of the testimony, the manner in which the testimony shall be recorded and preserved, and the procedures for custody of the recorded testimony.
(d) The testimony shall be taken in the presence of the court, the attorney for the Commonwealth, the defendant(s), and defense counsel, unless otherwise ordered.
(e) The preserved testimony shall not be filed of record until it is offered into evidence at trial or other judicial proceeding.

At the hearing, both witnesses refused to testify. Reighard’s counsel stated that Reighard had received threats and was in fear for his life. Hyland stated that he was refusing to testify pursuant to an assertion of his rights under the Fifth Amendment and under Article 1, Section 9 of the Pennsylvania Constitution and because the grant of immunity was invalid. The court continued the matter until May 30, 1995 to give the witnesses an opportunity to reconsider their refusals to testify. On May 30, both Reighard and Hyland continued to refuse to answer and the court found each in civil contempt. Both were committed to the Somerset County Jail until such time as they agreed to appear before the court and testify fully in the criminal matter.1 The court also granted the Commonwealth’s motion for continuance of the Rizzo case and dismissed the Rizzo jury. Since the jury had not been sworn, jeopardy had not attached.

The trial court found that in the circumstances of this case, a hearing was required to protect the judicial process and the administration of justice and to insure a fair trial. [14]*14The Commonwealth and the trial court believed that if pre- . trial testimony of these witnesses were not taken, there would be a disruption of the trial process, for once the jury were sworn, jeopardy would attach and the prosecution, which depended upon the testimony of these witnesses, would be frustrated. The court found that Rule 9015 was an appropriate vehicle to convene the hearing since the. circumstances were exceptional.2

On July 21, 1995 the trial court issued an opinion and both appellants took timely appeals to the Superior Court. The Superior Court, with one judge dissenting, held that Rule 9015 was properly invoked in the exceptional circumstances of this case, that the witnesses were unavailable within the meaning of the rule, and that the May 26,1995 hearing was proper as a de facto hearing regarding the validity of the grant of immunity and also pursuant to Rule 9015 .3 Judge Johnson, dissenting, held that before a hearing under Rule 9015 can take place, there must be a determination that a witness is unavailable or that exceptional circumstances exist, and here the court failed to make this preliminary determination. Further, he concluded that the witnesses were not unavailable as that term is intended in Rule 9015, and that the court’s belief that the witnesses would refuse to testify does not constitute unavailability under the rule because in this situation there is no testimony to be preserved. Judge Johnson further asserted that there are no exceptional circumstances in this case and that both Reighard and Hyland were available for trial.

We granted allocatur. The sole issue before us is whether Pa.R.Crim.P. 9015 authorizes the hearing and the subsequent contempt citations which were made in this case.

[15]*15The Commonwealth in the hearing of May 26, 1995 plainly stated its reasons for demanding the pre-trial proceeding:

The two witnesses that—the two witnesses at issue here have testimony that’s crucial to the Commonwealth’s prosecution of Mr. Rizzo. Without the testimony of these witnesses, the prosecution of Mr. Rizzo probably cannot proceed. And if we do not take steps now to, first of all, find out whether either of the witnesses intend to refuse to answer questions despite the fact that they’ve been immunized by order of this court, and then going to the second step, preserving their testimony irregardless of their answer to that first question—Rule 9015 talks about “may be unavailable,” and the Commonwealth would submit that at this point it’s quite clear that the “may be unavailable” standard has been met here.
Hj H« H* Hí Jk *
The down side to not following the procedure allowed this court by 9015 is the following: if we proceed to trial, we have a jury that’s been picked but not yet been sworn. Jeopardy has not attached with respect to Mr. Rizzo. Accordingly, if the case were to fold in some fashion at this point, charges could be reinstituted, and no successful double-jeopardy claim could be made.
On the other hand, after the jury has been sworn and jeopardy attaches, depending on the circumstances that caused the case to dissolve, there may in fact then be a legitimate double-jeopardy argument that can be raised by counsel for Mr. Rizzo.

N.T. May 26, 1995, 23-25.

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Commonwealth v. Rizzo
726 A.2d 378 (Supreme Court of Pennsylvania, 1999)

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Bluebook (online)
726 A.2d 378, 556 Pa. 10, 1999 Pa. LEXIS 847, Counsel Stack Legal Research, https://law.counselstack.com/opinion/commonwealth-v-rizzo-pa-1999.