J-S14002-15
NON-PRECEDENTIAL DECISION – SEE SUPERIOR COURT I.O.P. 65.37
COMMONWEALTH OF PENNSYLVANIA, : IN THE SUPERIOR COURT OF
: PENNSYLVANIA
Appellee :
:
v. :
:
HECTOR MALDONADO, :
:
Appellant : No. 1576 EDA 2013
Appeal from the PCRA Order May 13, 2013,
Court of Common Pleas, Philadelphia County,
Criminal Division at No. CP-51-CR-0004373-2007
BEFORE: DONOHUE, OLSON and MUSMANNO, JJ.
MEMORANDUM BY DONOHUE, J.: FILED MARCH 10, 2015
Hector Maldonado (“Maldonado”) appeals pro se from the order
entered on May 13, 2013 by the Court of Common Pleas of Philadelphia
County, Criminal Division, denying his petition filed pursuant to the Post
Conviction Relief Act (“PCRA”), 42 Pa.C.S.A. §§ 9541-9546. We affirm.
A prior panel of this Court summarized the relevant facts in this case
as follows:
On July 29, 2006, at approximately 6:00 a.m.,
Maldonado, accompanied by friends, was at the
Aramingo Diner in Philadelphia. Maldonado’s table
began arguing with a group at a nearby table. The
argument went on for approximately 20 minutes and
required the diner manager to intervene. During a
lull in the argument, the victim, Cesar Reyes
[(“Reyes”)], arrived at the diner, and sat in a third
booth with two women and an unidentified man.
Reyes and the unidentified man had words and
Reyes stood up, remaining at the booth. Shortly
thereafter, Maldonado left the diner, returning a few
J-S14002-15
minutes later. Maldonado walked over to Reyes,
circled him, and said something in Spanish. He then
drew a gun, placed it against the back of Reyes skull,
and fired.
Commonwealth v. Maldonado, 2211 EDA 2008 at 1-2 (Pa. Super. May 25,
2010) (unpublished memorandum) (footnote omitted).
Police arrested Maldonado on October 19, 2006. Following a four-day
bench trial, the trial court found Maldonado guilty of murder of the first
degree and possessing instruments of crime.1 The trial court sentenced
Maldonado to life in prison without parole. The PCRA court summarized the
remaining procedural history in this case as follows:
Following the imposition of sentence, [Maldonado]
filed a timely notice of appeal[.] … On May 25, 2010,
the Superior Court issued a memorandum and order
affirming the judgment of sentence. [Id. at 1, 8].
[Maldonado] did not file a petition for allowance of
appeal.
On April 6, 2011, [Maldonado] filed a timely pro se
[PCRA petition]. Counsel was appointed to represent
him and on March 4, 2013, counsel filed a no-merit
letter pursuant to Commonwealth v. Finley, 550
A.2d 213 (Pa. Super. 1988); Commonwealth v.
Turner, 544 A.2d 927 (Pa. 1988), and a Motion to
Withdraw. On April 8, 2013, this [c]ourt, after
carefully reviewing the record, [Maldonado]’s various
filings, and counsel’s no-merit letter, accepted
counsel’s letter and sent [Maldonado] a Pa.R.Crim.P.
907 notice of dismissal. On May 13, 2013, this
[c]ourt issued an order denying [Maldonado] [PCRA]
relief.
1
18 Pa.C.S.A. §§ 907(a), 2502(a).
-2-
J-S14002-15
Following the dismissal of his PCRA petition,
[Maldonado] filed pro se a notice of appeal and a
Pa.R.A.P. 1925(b) statement.
PCRA Court Opinion, 5/6/14, at 1-2.
On appeal, Maldonado raises the following issues for our review and
determination:
I. [W]hether trial counsel was ineffective for failure
to investigate, interview (and) or call witnesses who
would have offered evidence that would have
substantiated [Maldonado]’s diminished capacity
defense?
II. Being that a diminished capacity defense is
extremely limited and required psychiatric testimony
concerning a defendant’s mental disorders that
specifically affected his cognitive functions (of
deliberation and premeditation) necessary to
formulate a specific intent to kill, was trial counsel
ineffective for failing to investigate and obtain such
an expert?
III. Did the lower court err by allowing counsel to
withdraw and forcing [Maldonado] to proceed pro se
in spite of the fact that there are issues of arguable
merit in this case and that the court’s decision to
allow counsel to withdraw constructively denied
[Maldonado] counsel during this PCRA litigation?
Maldonado’s Brief at 7.2
We begin by acknowledging that “[o]ur standard of review regarding a
PCRA court’s order is whether the determination of the PCRA court is
supported by the evidence of record and is free of legal error.”
Commonwealth v. Garcia, 23 A.3d 1059, 1061 (Pa. Super. 2011). “The
2
We reordered these issues for ease of review.
-3-
J-S14002-15
PCRA court’s findings will not be disturbed unless there is no support for the
findings in the certified record.” Id.
The first two issues Maldonado raises on appeal allege that trial
counsel was ineffective for failing to call certain witnesses at trial in support
of his diminished capacity defense. At trial, Maldonado argued that he was
unable to form the specific intent to kill Reyes because he had ingested
alcohol and cocaine several hours prior to the shooting. N.T., 7/8/08, at
116.
“A defense of diminished capacity, whether grounded in mental defect
or voluntary intoxication, is an extremely limited defense available only to
those defendants who admit criminal liability but contest the degree of
culpability based upon an inability to formulate the specific intent to kill.”
Commonwealth v. Hutchinson, 25 A.3d 277, 312 (Pa. 2011). Our
Supreme Court has explained:
A diminished capacity defense “does not exculpate
the defendant from criminal liability entirely, but
negates the element of specific intent.”
[Hutchinson, 25 A.3d at 312]. Thus, if the jury
accepts a diminished capacity defense, a charge of
first-degree murder is mitigated to third-degree
murder. To establish diminished capacity, a
defendant must prove that his cognitive abilities of
deliberation and premeditation were so
compromised, by mental defect or voluntary
intoxication, that he was unable to formulate the
specific intent to kill. The mere fact of intoxication
does not give rise to a diminished capacity defense.
Likewise, evidence that the defendant lacked the
ability to control his actions or acted impulsively is
-4-
J-S14002-15
irrelevant to specific intent to kill, and thus is not
admissible to support a diminished capacity defense.
Id.
Commonwealth v. Sepulveda, 55 A.3d 1108, 1122 (Pa. 2012). “[T]o
prove diminished capacity due to voluntary intoxication, a defendant must
show that he was overwhelmed to the point of losing his faculties and
sensibilities.” Commonwealth v. Padilla, 80 A.3d 1238, 1263 (Pa. 2013),
cert. denied, Padilla v. Pennsylvania, 134 S. Ct. 2725 (2014).
In deciding ineffective assistance of counsel claims, we begin with the
presumption that counsel rendered effective assistance. Commonwealth
v. Bomar, 104 A.3d 1179, 1188 (Pa. 2014). To overcome that
presumption, the petitioner must establish: “(1) the underlying claim has
arguable merit; (2) no reasonable basis existed for counsel’s action or failure
to act; and (3) the petitioner suffered prejudice as a result of counsel’s
error, with prejudice measured by whether there is a reasonable probability
that the result of the proceeding would have been different.” Id. (citation
omitted). If the petitioner fails to prove any of these prongs, the claim is
subject to dismissal. Id.
To satisfy the prejudice prong of this test when
raising a claim of ineffectiveness for the failure to
call a potential witness at trial, our Supreme Court
has instructed that the PCRA petitioner must
establish that: (1) the witness existed; (2) the
witness was available to testify for the defense; (3)
counsel knew, or should have known, of the
existence of the witness; (4) the witness was willing
to testify for the defense; and (5) the absence of the
-5-
J-S14002-15
testimony of the witness was so prejudicial as to
have denied the defendant a fair trial.
Commonwealth v. Wantz, 84 A.3d 324, 331 (Pa. Super. 2014). The
absence of witness testimony is so prejudicial as to have denied the
defendant a fair trial “[w]hen an uncalled witness’s testimony would have
created a reasonable probability of a different outcome [at] trial[.]” Id. at
333.
First, Maldonado argues that trial counsel was ineffective for failing to
call as additional witnesses at trial Lisa Rodriguez (“Rodriguez”), Rosa
Lozada (“Lozada”), Andrew Zepeda (“Zepeda”), and Hector Hernandez
(“Hernandez”) in support of his diminished capacity defense. Maldonado’s
Brief at 16-19. At trial, in support of this defense, Nasha Maldonado (“Ms.
Maldonado”) and Jose Baez (“Baez”) testified on Maldonado’s behalf. Ms.
Maldonado testified that Maldonado was drinking a “40 Corona” and a “cup
of Hennessy” during a thirty to forty-five minute visit to her home
approximately nine hours before the shooting. N.T., 7/9/08, at 5. Baez
testified that he observed Maldonado do “two or three” shots in the
afternoon the day before the shooting and later that evening, snort a line of
cocaine. N.T., 7/8/08, at 118-21. Maldonado contends that each of the four
above-referenced witnesses would have been able to substantiate Ms.
Maldonado’s and Baez’s testimony and lend further support to his diminished
capacity defense. Id. at 16-19.
-6-
J-S14002-15
We conclude that Maldonado’s first ineffective assistance of counsel
claim does not entitle him to any relief. Maldonado argues that Rodriguez
would have testified that he admitted to her that he abused alcohol, cocaine,
ecstasy, and Xanax and that he often times walked around the house
screaming in the middle of the night. Maldonado’s Brief at 17. Maldonado
further asserts that Lozada’s testimony would have corroborated Rodriguez’s
testimony. However, none of this testimony (including the testimony
actually offered at trial) provides any indication as to Maldonado’s state of
mind on the night in question or at the time of the shooting. Accordingly,
trial counsel was not ineffective for failing to call Rodriguez and Lozada as
witnesses because the absence of their testimony was not so prejudicial as
to have denied him a fair trial. See Wantz, 84 A.3d at 331.
Maldonado also claims that Zepeda would have testified that
Maldonado was using cocaine and ecstasy and drinking heavily close in time
to the shooting. Maldonado’s Brief at 18. However, PCRA counsel’s
Turner/Finley letter indicates that after investigating, he was unable to
locate the present whereabouts of Zepeda or otherwise corroborate
Maldonado’s claims regarding Zepeda’s potential testimony. Turner/Finley
Letter, 3/4/13, at 9. Thus, there is no basis on which to conclude that trial
counsel’s failure to call Zepeda as witness met any of the five prongs of the
test explained in Wantz. See Wantz, 84 A.3d at 331; supra, p. 5-6.
-7-
J-S14002-15
Maldonado claims that Hernandez would have testified to Maldonado’s
state of mind after the shooting, as he did during Maldonado’s sentencing.
Maldonado’s Brief at 18-19. Hernandez’s testimony, however, would have
likely harmed Maldonado’s case. Hernandez’s testimony revealed that
Maldonado completely understood what he had done. See N.T., 7/9/08, at
90. Hernandez testified during sentencing that Maldonado was distraught
and crying about having killed Reyes and that Maldonado said that he was
going to regret having killed Reyes for the rest of his life. Id. Thus, trial
counsel was not ineffective for failing to call a witness who would have
potentially harmed his client’s case. See Wantz, 84 A.3d at 331 (“To
demonstrate … prejudice, a petitioner ‘must show how the uncalled
witnesses’ testimony would have been beneficial under the circumstances of
the case.’”). Accordingly, Maldonado’s first ineffective assistance of counsel
claim does not entitle him to any relief.
Second, Maldonado argues that trial counsel was ineffective for failing
to investigate and obtain an expert witness to testify in support of his
diminished capacity defense. Maldonado’s Brief at 12-16. The PCRA court
found that no relief was due on this claim because Maldonado had “failed to
identify an expert who was available and willing to testify at his trial that he
was incapable of forming the specific intent to kill due to the ingestion of
drugs and/or alcohol.” PCRA Court Opinion, 5/6/14, at 6. We disagree with
the PCRA court deciding this issue in this manner, especially in light of the
-8-
J-S14002-15
fact that the PCRA court permitted appointed counsel to withdraw and
appointed counsel’s Turner/Finley letter does not provide any indication
that he unsuccessfully attempted to find an expert to testify in such a
manner. Nevertheless, because we may affirm a lower court on any basis,
Commonwealth v. Lewis, 39 A.3d 341, 345 (Pa. Super. 2012),3 we
conclude that Maldonado is not entitled to any relief for his first
ineffectiveness assistance of counsel claim.
Regarding this claim, Maldonado failed to prove the prejudice prong of
the ineffective assistance of counsel test. Although Maldonado presented
evidence that he had ingested alcohol and cocaine approximately eight to
nine hours prior to shooting Reyes, the uncontroverted evidence in the
certified record reveals that Maldonado was not intoxicated to the point of
losing his faculties and sensibilities at the time of the shooting. See
Padilla, 80 A.3d at 1263.
Eyewitness testimony of the shooting reflects the following.
Maldonado and Reyes were arguing with each other in the diner when
Maldonado said to Reyes, “you don’t want to fuck with me.” N.T., 7/7/08, at
160. Maldonado then proceeded to lift his shirt to show Reyes his gun. Id.
at 159-60, 198-99. After Reyes told Maldonado that Maldonado was not
scaring him, Maldonado shot Reyes in the head at point blank range. Id. at
3
“We can affirm the court’s decision if there is any basis to support it, even
if we rely on different grounds to affirm.” Lewis, 39 A.3d at 345.
-9-
J-S14002-15
199-200. After shooting Reyes, as Maldonado was leaving the diner, he
lifted his shirt and flashed his gun at the cashier who had picked up the
phone in order to dial 911. Id. at 46. After exiting the diner, Maldonado
ran from the scene and proceeded to get into a car and successfully drive
away at a high rate of speed. N.T., 7/8/08, at 78-80. Witness testimony
reveals that during the incident, Maldonado was walking normally and did
not appear drunk or otherwise intoxicated. N.T., 7/7/08, at 56-57. In fact,
prior to the shooting, Maldonado had the wherewithal and deftness to
retrieve a toothpick from a toothpick dispenser. Id. at 56.
Thus, even if trial counsel had produced an expert to testify in support
of Maldonado’s diminished capacity defense, that evidence would have had
to overcome the eyewitness testimony of Maldonado’s behavior during the
shooting, all of which revealed that he was entirely lucid, not intoxicated to
the point of losing his faculties and sensibilities and indeed, quite deliberate
in all of his conduct. Accordingly, we conclude that there was not a
reasonable probability that the result of the proceeding would have been
different had an expert testified in support of Maldonado’s diminished
capacity defense. See Wantz, 84 A.3d at 331, 333. Therefore, trial
counsel’s failure to call an expert witness did not prejudice Maldonado and
this claim does not entitle him to any relief.
Finally, Maldonado argues that the PCRA court erred in allowing PCRA
counsel to withdraw. Maldonado’s Brief at 28-29. Maldonado contends that
- 10 -
J-S14002-15
the PCRA court should not have permitted PCRA counsel to withdraw
because he has raised issues of arguable merit and has therefore denied him
of his Sixth Amendment right to effective assistance of counsel. Id.
Rule 904(C) of the Pennsylvania Rules of Criminal Procedure provides
that “when an unrepresented defendant satisfies the judge that the
defendant is unable to afford or otherwise procure counsel, the judge shall
appoint counsel to represent the defendant on the defendant's first petition
for post-conviction collateral relief.” Pa.R.Crim.P. 904(C). However,
appointed counsel may file a “no-merit” letter and request leave to withdraw
from representation. See Turner, 544 A.2d at 928-29; Finley, 550 A.2d at
214-15. Compliance with Turner/Finley procedure requires the following:
[PCRA] counsel must … submit a “no-merit” letter to
the trial court, or brief on appeal to this Court, [1]
detailing the nature and extent of counsel’s diligent
review of the case, [2] listing the issues which the
petitioner wants to have reviewed, [3] explaining
why and how those issues lack merit, and [4]
requesting permission to withdraw.
Counsel must also send to the petitioner: (1) a copy
of the “no-merit” letter/brief; (2) a copy of counsel’s
petition to withdraw; and (3) a statement advising
petitioner of the right to proceed pro se or by new
counsel.
If counsel fails to satisfy the foregoing technical
prerequisites of Turner/Finley, the court will not
reach the merits of the underlying claims but, rather,
will merely deny counsel’s request to withdraw.
Upon doing so, the court will then take appropriate
steps, such as directing counsel to file a proper
Turner/Finley request or an advocate’s brief.
- 11 -
J-S14002-15
However, where counsel submits a petition and no-
merit letter that do satisfy the technical demands of
Turner/Finley, the [court] must then conduct its
own review of the merits of the case. If the court
agrees with counsel that the claims are without
merit, the court will permit counsel to withdraw and
deny relief.
Commonwealth v. Wrecks, 931 A.2d 717, 721 (Pa. Super. 2007) (internal
citations omitted).
Here, Maldonado argues that the PCRA court abused its discretion
when it permitted PCRA counsel to withdraw “in a case where meritorious
issues are present.” Maldonado’s Brief at 29. Based on our review of the
issues raised on appeal and an independent review of the record, we
disagree with Maldonado’s contention that this case presents any meritorious
issues. Accordingly, we conclude that the PCRA court did not err in
permitting PCRA counsel to withdraw.
Order affirmed.
Judgment Entered.
Joseph D. Seletyn, Esq.
Prothonotary
Date: 3/10/2015
- 12 -