Commonwealth v. Karaffa
Commonwealth v. Karaffa
Opinion of the Court
OPINION OF THE COURT
In this case, Appellant William Karaffa appeals from the order of the Superior Court affirming Appellant’s judgment of sentence entered in the Court of Common Pleas of Butler County. For the reasons outlined below, we reverse and remand for a new trial.
On December 23, 1992, Karaffa was charged with a number of offenses, including two counts of rape, two counts of conspiracy to commit rape, indecent assault, making false reports, indecent exposure, involuntary deviate sexual intercourse and
On appeal, Karaffa raised multiple issues, including the allegation that the trial court had erred by submitting written instructions to the jury while it deliberated and that trial counsel was ineffective for failing to object to this submission. Although the Superior Court found that it was error for the trial court to give the jury written instructions, it nonetheless concluded that such error was harmless. The Superior Court rejected Karaffa’s remaining claims and affirmed his judgment of sentence. We granted allocatur to determine whether the Superior Court erred in finding the submission of written instructions to the jury to be harmless error and whether trial counsel was ineffective for failing to object to the trial court’s actions.
In Oleynik, this Court found that the submission of written instructions to the jury during deliberations was unfairly prejudicial and granted a new trial on that basis. Prior to Oleynik, this Court had consistently articulated a strong preference for issuing oral, rather than written, instructions to the jury. In 1976, this Court first addressed the issue of submitting written instructions to the jury in Commonwealth v. Baker, 466 Pa. 382, 353 A.2d 406 (1976) (plurality opinion). In Baker, the trial court had relied on Pa.R.Crim.P. 1114 in determining that sending written questions with possible verdicts to the jury would be beneficial to its deliberations and therefore proper.
In Oleynik, this Court specifically held that the possible prejudice to a defendant from providing written instructions to a jury universally outweighs any benefit such instructions might provide. Oleynik, 524 Pa. at 46, 568 A.2d at 1241. This holding stemmed from the recognition “that a jury would [likely] assess undue weight to the points of law in written instructions and possibly misinterpret or misapply the law” and that this “undue emphasis on portions of the charge has the potential of undermining the integrity of the deliberative process.” Id. at 46-47, 568 A.2d at 1241. Accordingly, the Oleynik Court concluded that the submission of written jury instructions at Oleynik’s trial constituted reversible error. Id.
While the Superior Court in the instant case agreed that the trial court’s use of written jury instructions constituted error, the court nonetheless departed from Oleynik and found such error to be harmless. In reaching this conclusion, however,
In light of Oleynik’s discussion on the potential adverse influence of written instructions on a jury’s deliberative process, the very process that leads to its verdict, it would be logically unsound to conclude beyond a reasonable doubt that there was not a reasonable possibility that the instructions received by the jury contributed to its verdict. See Commonwealth v. Story, 476 Pa. 391, 383 A.2d 155 (1978) (holding that error can only be deemed harmless if appellate court is convinced beyond a reasonable doubt that error was harmless and error cannot be deemed harmless whenever there is a reasonable possibility that error might have contributed to the verdict). Indeed, the Superior Court, contrary to its conclusion in the instant case, has previously held that a trial court’s submission of written instructions to the jury was reversible error. Commonwealth v. Byrd, 409 Pa.Super. 611, 616, 598 A.2d 1011, 1014 (1991). In Commonwealth v. Byrd, the Superior Court specifically relied on Oleynik’s holding regarding the blanket prejudicial effect of written instructions in reaching its conclusion that reversible, and not harmless, error had occurred from the trial court’s use of this device. Id. at 616, 598 A.2d at 1014.
Finally, the Superior Court found that trial counsel was not ineffective for failing to object to the use of written instructions because Karaffa had failed to demonstrate how the trial counsel’s inaction prejudiced him.
. The relevant statutory provisions of the offenses charged are as follows: rape (18 Pa.C.S. § 3121(1) & (2)), criminal conspiracy to commit rape (18 Pa.C.S. § 903), indecent assault (18 Pa.C.S. § 3126), making false reports (18 Pa.C.S. § 4906), indecent exposure (18 Pa.C.S. § 3127), involuntary deviate sexual intercourse (18 Pa.C.S. § 3123) and unlawful restraint (18 Pa.C.S. § 2902). Karaffa was also charged with terroristic threats (18 Pa.C.S. § 2706) and simple assault (18 Pa.C.S. § 2701).
. In light of our resolution of this initial matter, we need not address Karaffa’s remaining claims that the Superior Court erred in finding that trial counsel was not ineffective for failing to 1) request cautionary instructions explaining the limited purpose for which the evidence of Karaffa’s prior bad acts was admissible and 2) object to the prosecu
. Pa.R.Crim.P. 1114 permits exhibits to be sent out with the jury at the discretion of the trial court, but specifically forbids giving the jury a transcript of any trial testimony, a copy of any confession by the defendant, or a copy of the information or indictment. However, as this Court noted in Oleynik, any reliance on Pa.R.Crim.P. 1114 is misplaced in this context given that this rule is concerned with which trial exhibits, and not instructions, the jury is permitted to take with it during deliberations. See Oleynik, 524 Pa. at 45, n. 2, 568 A.2d at 1240, n. 2.
. Specifically, this Court expressed its belief that the inherent dangers of utilizing written instructions outweigh the possible benefit to be derived therefrom and explained that "the obvious danger in such a practice is that the jurors may tend to overemphasize the importance of
. In Byrd, the trial court had utilized written instructions not only in its basic charge to the jury but also in response to an inquiry from the jury concerning the meaning of the term "consciously.” In evaluating Byrd’s allegation that the trial court had erred in employing this practice, the Superior Court stated that "in as much as the submission of written instructions to the jury is not consistent with our Supreme Court’s mandate in Commonwealth v. Oleynik, we are constrained to reverse the judgment of sentence and remand for a new trial.” Byrd, 409 Pa.Super. at 613, 598 A.2d at 1012.
. Again, this finding by the Superior Court contradicts its finding in Commonwealth v. Byrd, where the Court reversed the trial court on the basis that it had utilized written instructions, specifically stating that "the fact that the claim has merit and that the defendant has been prejudiced has already been decided by our Supreme Court in Oleynik." Byrd, 409 Pa.Super. 611, 616, 598 A.2d 1011, 1014 (1991).
Dissenting Opinion
dissenting.
I respectfully dissent to the majority’s conclusion that it was reversible error for the trial court to submit written instructions to the jury in this case. I believe that Commonwealth v. Oleynik, 524 Pa. 41, 568 A.2d 1238 (1990) was wrongly decided, and that trial courts should have discretion to submit standard written instructions to juries in appropriate circumstances.
The holding of Oleynik and the majority’s position in the instant matter increase the risk, particularly in long and complicated trials, that the jury will be unable to properly apply the law to the facts of the case because it is unable to understand or remember the legal principles enunciated in the oral charge. Jury instructions have become so complex and laden with legalese that they are virtually incomprehensible at times to the average juror. Unless it requests repetition by the court, the jury hears the often obscurely worded instructions once. The jury receives no further legal guidance during its arduous journey towards reaching a verdict. I believe that permitting trial judges to submit written jury instructions could improve jury comprehension and the reliability of verdicts.
Written instructions are highly appropriate to assist jurors who do not understand or accurately recall the trial judge’s instructions after the initial oral presentation by the judge. The majority’s position fails to recognize that jurors do not have perfect memories. There is an invariable risk that jurors will not remember or comprehend the quantity of complex information necessary to make informed and well-reasoned verdicts without the use of some form of written aid. “One of the greatest fictions known to the law is that a jury of
At common law, the submission of written materials to the jury was prohibited because of the concern that literate jurors would have unfair influence over nonliterate jurors, thereby prejudicing the verdict. See Robert G. Nieland, Pattern Jury Instructions: A Critical Look at a Modem Movement to Improve the Jury System, 29-30 (1979). Literacy is no longer a primary concern, and modern trials have made exclusive reliance on oral presentation impractical. Further, differences in education and social status always affect the relative roles of jurors, and better-educated jurors are likely to be influential even if the instructions are given orally. It is possible that a juror with a stronger vocabulary would glean more from the oral instruction and become the legal expert of the jury, dominating the deliberation. By contrast, if the jury is provided written instructions in addition to oral instructions, a juror who did not capture a crucial legal concept during the oral presentation can reread the instruction. With oral instructions, a confused juror must either rely on the memory of a fellow juror or persuade the entire jury to approach the court for re-instruction. In Oleynik, this Court adhered to the common law tradition in the face of overwhelming evidence that the concerns that gave rise to that tradition are now obsolete and that a modern set of concerns militate heavily against it.
In Oleynik, this Court suggested that written instructions were likely to mislead the jurors because they would tend to read only part of the instructions, and would attempt to construe the writing on their own rather than returning to the court for further instruction if they had questions. The
The United States Supreme Court has approved the practice of submitting a written jury charge. Haupt v. United States, 330 U.S. 631, 643, 67 S.Ct. 874, 879-80, 91 L.Ed. 1145 (1947) (allowing the jury to have a typewritten copy of the court’s charge does not warrant the inference of unfairness or irregularity in the trial). The federal courts and approximately thirty states favor the submission of a written charge. Propriety and Prejudicial Effect of Sending Written Instructions With Retiring Jury In Criminal Cases, 91 A.L.R.3d 382
Further, I agree with the Superior Court’s conclusion in this matter that the submission of written instructions to the jury constituted harmless error. The trial court gave the jury written instructions on the definition of reasonable doubt and unlawful restraint. Appellant was acquitted of unlawful restraint. Therefore, there was no prejudice as to the unlawful restraint instruction. Additionally, appellant was acquitted of five other charges. In order to convict appellant of six charges and acquit him of five in the consistent manner in which it did,
For the aforementioned reasons, I dissent.
. See Laurence J. Severance & Elizabeth F. Loftus, Improving the Ability of Jurors to Comprehend and Apply Criminal Jury Instructions, 17 Law & Soc’y Rev. 153, 154, 172 (1982) (in a study of the effectiveness of pattern jury instructions, nearly one quarter of 405 mock juries requested written clarification of the instructions); Robert F. Forston, Sense and Non-Sense: Jury Trial Communication, 1975 B.Y.U. L.Rev. 601, 613-15 (1975) (in a study involving 114 experienced jurors, instructions lasting 20 minutes and involving no complex issues were read to participants. The jurors were tested immediately after having heard the instructions for comprehension. Nearly one-half of the jurors defined preponderance of the evidence as looking at the exhibits in the jury room,’ or as slow and careful pondering of the evidence.’ The mean score for criminal instructions was 53% correct answers. Eighty-six percent of the criminal juries were unable to respond accurately to what was proof of guilt); William W. Schwarzer, Communicating With Juries: Problems and Remedies, 69 Calif. L.Rev. 731, 740-44 (1981) (noting that during a verbal presentation of a series of concepts and items of information, a listener normally will lack the time needed to complete processing, interpreting, and storing the material. Jurors simply cannot remember, let alone master, instructions after having heard them only once).
. See Untied States v. Watson, 669 F.2d 1374, 1386-87 (11th Cir. 1982) (stating that the use of written instructions aids jurors’ comprehension and expedites proceedings); see e.g. Iowa v. Jackson, 397 N.W.2d 512, 513 (Iowa 1986); Ill.Ann.Stat. ch. 735, para. 5/2-1107 (1997); Ga.Code. Ann. 9-10-5 (Michie Supp. 1997); People v. Sheldon, 48 Cal.3d 935, 258 Cal.Rptr. 242, 246, 771 P.2d 1330, 1334 (1989), cert. denied 513 U.S. 1022, 115 S.Ct. 591, 130 L.Ed.2d 504 (1994); Baker v. Florida, 247 So.2d 495, 496 (Fla.Dist.Ct.App. 1971).
. Appellant was found guilty beyond a reasonable doubt of rape by forcible compulsion, rape by threat of forcible compulsion, indecent assault, making false reports, indecent exposure, and one count of conspiracy to rape by forcible compulsion. He was acquitted of terroristic threats, simple assault, unlawful restraint, involuntary deviate sexual intercourse, and one count of conspiracy to commit rape by forcible compulsion.
Reference
- Full Case Name
- COMMONWEALTH of Pennsylvania, Appellee, v. William Joseph KARAFFA, Appellant
- Cited By
- 29 cases
- Status
- Published