Commonwealth v. BoernerCommonwealth v. Boerner
- Reporters:
- , ,
- Before:
- Lipez
Appellant was convicted in a jury trial of criminal conspiracy,
I.
Appellant’s first contention is that the evidence was insufficient to support the verdicts. Extensive testimony from two Commonwealth witnesses established that on the afternoon of September 4, 1976 appellant and a companion entered the Bailey, Banks & Biddle store in Bala Cynwyd,
II.
Appellant also claims he is entitled to discharge because the court below erred in denying his motion to dismiss all charges under Pennsylvania Rule of Criminal Procedure 1100, for failure to commence trial within 180 days of the filing of the complaint. The complaint was filed on September 10, 1976. Trial commenced 279 days later on June 17, 1977. However, Rule 1100(d) provides in pertinent part:
“In determining the period for commencement of trial, there shall be excluded therefrom such period of delay at any stage of the proceeding as results from:
. (1) the unavailability of the defendant. . .. ”
Appellant was still at large when the complaint was filed, and a warrant was issued for his arrest. The Commonwealth is entitled to the unavailability exclusion if it
Appellant contends that he could not properly be convicted of theft by unlawful taking, receiving stolen goods or conspiracy, and that the trial judge erred in charging the jury that the appellant could be convicted of these crimes. Appellant’s argument is that the legislature intended that thefts from retail establishments should be governed solely by the specific provisions on retail theft in
IV.
Appellant claims that his being sentenced for retail theft, theft by unlawful taking and criminal conspiracy violated: (A) the rules of statutory construction; and (B) the doctrine of merger and appellant’s double jeopardy rights.
A.
Appellant’s statutory construction argument is that because the provisions of the retail theft statute are specific, they were intended by the legislature to be the exclusive provisions under which someone committing a theft from a retail establishment could be sentenced. This argument raises, under the rubric of sentencing, precisely the same attack on the validity of the underlying convictions as the claim we previously found waived in part III under
Commonwealth v. Williams, supra,
for failure to raise it in a
B.
Since all of appellant’s sentences were for non-capital crimes, there, arises the problem, unique to Pennsylvania,
7
of whether the state double jeopardy clause,
We agree with appellant, however, that he could not receive concurrent sentences for both theft by unlawful taking and retail theft, since both convictions arose out of the single act of theft of the diamond ring.
13
Once proof of the theft by unlawful taking was complete, so was proof of the retail theft, and vice-versa. It is therefore unquestionable that the two crimes merged for sentencing purposes, and appellant could be sentenced for only one.
14
Commonwealth
The only question remaining is for which crime appellant could be sentenced. We believe it is clear from
Commonwealth v. Nelson, supra,
that when crimes merge for sentencing purposes, the one for which a defendant may be sentenced is the most serious crime, i. e., the one to which the legislature attached the greatest possible maximum penalty.
See also Commonwealth ex rel. Shaddock v. Ashe,
340 Pa. 286, 288-89, 17 A.2d 190, 190-91 (1940);
Commonwealth ex rel. Russo v. Ashe,
293 Pa. 322, 324, 142 A. 317, 318 (1928);
Commonwealth ex rel. Holinko v. Ashe,
290 Pa. 534, 535, 139 A. 197 (1927). In
Nelson,
the defendant’s single act resulted in his conviction of: (1) assault and battery; (2) assault and battery in resisting arrest; and (3) unlawfully resisting an officer in making an arrest. Even though crimes (2) and (3) involved additional elements which would seem to make them worse than crime (1), under the applicable provisions of the 1939 Penal Code, crimes (2) and (3) each had a maximum penalty of one year, while crime (1) had a maximum of two years.
15
The Court therefore held that the defendant could only be sentenced for crime (1), because that was the crime which the legislature had established as the “most serious” by attaching to it the maximum possible
When the issue is analyzed in terms of double jeopardy, Commonwelath v. Walker, 468 Pa. 323, 333-34, 362 A.2d 227, 232 (1976), demonstrates that the same test applies. In Walker, the defendant had been convicted of both rape and statutory rape for a single act of intercourse. The Court held that the federal double jeopardy clause required that the defendant could be sentenced for only one crime. That crime was rape, which the legislative scheme had established as more serious than the statutory rape by setting a greater maximum penalty for the rape. That determination is clearly the province of the legislature. Cf. Whalen v. United States, 445 U.S. 684, 100 S.Ct. 1432, 63 L.Ed.2d 715 (1980); see also Busic v. United States, 446 U.S. 398, 100 S.Ct. 1747, 64 L.Ed.2d 381 (1980). 16
While no case has dealt with this issue under Pennsylvania’s double jeopardy clause, we believe the reasoning of
Nelson,
with respect to merger, and
Walker,
regarding federal double jeopardy, applies equally to Pennsylvania double jeopardy. Both the merger doctrine and the federal and state double jeopardy clauses are aimed at preventing the unfairness of punishing a defendant twice for what is essentially the same offense.
See Ex parte Lange,
85 U.S. (18 Wall.) 163, 21 L.Ed. 872 (1873);
Harman v. Commonwealth,
12 Pa.S. & R. 68 (1824). This purpose of fairness is fully accomplished by allowing the defendant to be sentenced only
In this case, the theft by unlawful taking was a felony of the third degree with a maximum penalty of seven years,
see
Judgments of sentence for theft by unlawful taking and criminal conspiracy affirmed; judgment of sentence for retail theft vacated.
Notes
. The trial judge properly imposed no sentence for receiving stolen goods, since that conviction arose out of the same theft as the conviction for theft by unlawful taking. Commonwealth v. Simmons, 233 Pa.Super. 547, 560, 336 A.2d 624, 632 (1975); see Commonwealth v. Shaffer, 279 Pa.Super. 18, 27, n.2, 420 A.2d 722, 727, n.2 (1980).
. Since appellant properly received no sentence on the conviction for receiving stolen goods, see note 1, supra, it is unnecessary to consider the sufficiency of the evidence for this conviction. Commonwealth v. Nelson, 452 Pa. 275, 279, 305 A.2d 369, 371 (1973).
. The proof of due diligence in this case meets the criteria of both the majority (“only reasonable efforts”) and the dissenters (“more than reasonable effort”-“devoted and painstaking manner”) in Commonwealth v. Hinton, 269 Pa.Super. 43, 409 A.2d 54 (1979).
. During the period that appellant was at large, the Commonwealth filed a petition for extension under Rule of Criminal Procedure 1100(c). This petition, containing only a conclusory allegation of due diligence by the Commonwealth, was granted ex parte by the criminal motions judge in the court below. There is no indication in the record that the Commonwealth ever presented any evidence of due diligence when the petition was granted. Appellant is clearly correct in contending that this extension order was invalid, both because the Commonwealth’s conclusory allegations failed to sustain its burden of proving due diligency by a preponderance of the evidence, Commonwealth v. Ehredt, 485 Pa. 191, 195-96, 401 A.2d 358, 361 (1979), and because extension petitions under Rule 1100(c) may not be granted ex parte. Commonwealth v. Mizic, 274 Pa.Super. 331, 333 n.2, 418 A.2d 432, 433, n.2 (1980); Commonwealth v. Waldon, 259 Pa.Super. 129, 393 A.2d 751 (1978). The invalidity of the extension order, however, does not help appellant’s case. Since there had been no valid extension, when the trial judge on the day of trial conducted the hearing on appellant’s petition to dismiss, the Commonwealth could avoid dismissal only by proving that it was entitled to a Rule 1100(d) exclusion. See Commonwealth v. Mitchell, supra. This the Commonwealth did. The trial judge made a finding, supported by the record, that the Commonwealth had proved that police officers had exercised due diligence in executing the warrant for appellant’s arrest while appellant was still at large. The denial of the petition to dismiss was thus proper, not because the trial judge’s finding retro actively justified the motion judge’s Rule 1100(c) extension order, but because the finding justified a Rule 1100(d) exclusion, which reduced the time in bringing appellant to trial, as calculated under Rule 1100, to less than 180 days. The confusion shared by briefs for both sides on this point evidently stems from the fact that a “due diligence” standard is involved in extensions under section (c), as well as exclusions under section (d) and Commonwealth v. Mitchell, supra.
. Portions of appellant’s arguments indicate that he has confused his “more specific offense” claim, with which we have dealt in parts III and IV-A of the text, with his “merger” claim, discussed in part IV-B. Judge Spaeth has written an excellent explanation of this difficult distinction in Commonwealth v. Brown, 269 Pa.Super. 150, 156, n.4, 409 A.2d 108, 112, n.4 (1979). Cf. Busic v. United States, 446 U.S. 398, 100 S.Ct. 1747, 64 L.Ed.2d 381 (1980).
. When a court takes action beyond the power conferred on it by law (its jurisdiction), its action is a nullity, and objection to it cannot be waived by the defendant. Commonwealth v. Hall, 291 Pa. 341, 354, 140 A. 626, 631 (1928). By holding that a defendant waived a “more specific offense” claim by failure to raise it pre-trial, Commonwealth v. Williams, 252 Pa.Super. 587, 384 A.2d 935 (1978) necessarily held such a claim was a nonjurisdictional issue. See Commonwealth v. Belcher, 258 Pa.Super. 153, 156, 392 A.2d 730, 731 (1978); compare Commonwealth v. Longo, 269 Pa.Super. 502, 410 A.2d 368 (1979) with id., 269 Pa.Super. at 504, 410 A.2d at 370 (concurring opinion of Spaeth, J.)
. See Hall, Kamisar, La Fave, Israel, Modern Criminal Procedure (1969) at 1213; cf. In Memory of Honorable Horace Stern, Remarks of the Honorable Henry J. Friendly, 434 Pa. at civ (1969); see also Ex parte Lange, 85 U.S. (18 Wall.) 163, 21 L.Ed. 872 (1873).
. The non-capital offense involved in
Commonwealth v. Brown,
455 Pa. 274, 314 A.2d 506, 509 (1974) was pre-Crimes Code second-degree murder,
. The non-capital offense involved in
Commonwealth v. Tome,
484 Pa. 261, 398 A.2d 1369 (1979) was second-degree murder under the Crimes Code after the 1974 amendment,
. Commonwealth v. Perry, 270 Pa.Super. 418, 412, 411 A.2d 786, 789 (1979), for example, relied on the plurality opinion in Commonwealth v. Henderson, 482 Pa. 359, 393 A.2d 1146 (1978), as well as the majority opinion in Commonwealth v. Simpson, 310 Pa. 380, 165 A. 498 (1933), in finding that Pennsylvania double jeopardy applied to capital cases only. The Henderson plurality opinion made no reference to the same author’s dissenting opinion the year before in Commonwealth v. Sparrow, 471 Pa. 490, 518, n.2, 370 A.2d 712, 726-27, n.2 (1977), in which he termed the view he adopted the following year in Henderson “the sheerest of folly.” Last year the same author cited both his Henderson plurality opinion and Sparrow dissent for the proposition that “there has been some dispute as to whether our state extends its protection to non-capital crimes.” Commonwealth v. Klobuchir, 486 Pa. 241, 253, 405 A.2d 881, 887 (1979) (opinion in support of affirmance; dictum).
The holding in Commonwealth v. Baker, 413 Pa. 105, 196 A.2d 382 (1964), that the clause applied only to capital offenses, was also based on Commonwealth v. Simpson, supra, which in turn relied on McCreary v. Commonwealth, 29 Pa. 323 (1857). See also Commonwealth ex rel. Papy v. Maroney, 417 Pa. 368, 207 A.2d 814 (1965). McCreary, however, made no reference to Dinkey v. Commonwealth, 17 Pa. 126 (1851), in which the Court found a double jeopardy violation with respect to a non-capital offense, only six years before the contrary holding in McCreary. Commonwealth v. Veley, 63 Pa.Super. 489 (1916) appears to interpret Dinkey as a reference to federal double jeopardy, but it seems more likely that the Dinkey Court meant Pennsylvania double jeopardy, since an application of the fifth amendment of the United States Constitution to a state at that time would clearly have conflicted with the United States Supreme Court’s decision in Barron v. Mayor of Baltimore, 32 U.S. (7 Pet.) 243, 8 L.Ed. 672 (1833), holding that the Bill of Rights did not restrict state action.
. Throughout this case, both in this court and the lower court, appellant has used the term “double jeopardy” without specifically referring to either the federal or Pennsylvania double jeopardy clauses. We do not believe, however, that we should refuse to consider the two double jeopardy clauses for lack of sufficient specificity. Cf. Commonwealth v. Wyant, 254 Pa.Super. 464, 386 A.2d 43 (1978). Our Supreme Court evidently treats a simple claim of “double jeopardy” as sufficient to raise both the federal and state claims. Compare Commonwealth v. Tome, 484 Pa. 261, 271 & 274, 398 A.2d 1369, 1375 & 1376 with id. at 275, 398 A.2d at 1377. Moreover, the Court has also held that it is beyond the power of a court to impose multiple sentences on a defendant for a single act. Commonwealth v. Walker, 468 Pa. 323, 330, n.3, 362 A.2d 227, 230, n.3 (1976). The sentences in this case thus raised a jurisdictional issue, which is simply another name for a question of whether a court has power to act under a given set of circumstances. See Commonwealth v. Hall, supra, note 6. Jurisdictional questions are non-waivable and not only may be raised by the court sua sponte, Commonwealth v. Molyneaux, 277 Pa.Super. 264, 266, 419 A.2d 763, 764 (1980), but must be. Commonwealth v. Dorman, 272 Pa.Super. 149, 151-152, n.1, 414 A.2d 713, 714, n.1 (1979); Polascik v. Baldwin, 245 Pa.Super. 1, 4-5, 369 A.2d 263, 265 (1976); see Dick’s Estate, 273 Pa. 69, 73, 116 A. 549, 550 (1922) (if lower court lacked jurisdiction, parties could not, even by consent, confer jurisdiction on either the lower court or an appellate court in an appeal from the matter in which the lower court lacked jurisdiction); cf. Pozzuolo Estate, 433 Pa. 185, 193, 249 A.2d 540, 545 (if lower court lacks jurisdiction, it cannot be conferred either by act of the parties or by act of an appellate court). Thus we cannot refuse to consider either the federal or state double jeopardy clauses for lack of specificity, since the particular issue involved here (imposition of multiple sentences for a single act) is one which we must consider under each clause even if not raised at all.
We recognize that ordinarily a court should not raise issues sua sponte. See, e. g., Wiegand v. Wiegand, 461 Pa. 482, 337 A.2d 256 (1975), reversing 226 Pa.Super. 278, 310 A.2d 426 (1973), and we do not imply that Commonwealth v. Walker, supra, stands for the proposition that constitutional issues generally, or even all double jeopardy issues or all sentencing issues, are non-waivable. The mere fact that an issue involves a constitutional right does not mean it should be raised sua sponte, Wiegand v. Wiegand, supra; Commonwealth v. Smith, 280 Pa.Super. 222, 225, 421 A.2d 693, 694 (1980). Many double jeopardy claims can be waived. Commonwealth v. White, 476 Pa. 350, 354, 382 A.2d 1205, 1207 (1978); Commonwealth v. Bryant, 461 Pa. 309, 313, 336 A.2d 300, 302 (1975); see Commonwealth v. Gilman, 485 Pa. 145, 151, 401 A.2d 335, 338 (1979) (plurality opinion); Commonwealth v. Lutz, 483 Pa. 518, 397 A.2d 787 (1979); see also Abramson v. Public Utility Commission, 489 Pa. 267, 270, n.5, 414 A.2d 60, 62, n.5 (1980). Many types of sentencing errors are also waivable. E. g., Commonwealth v. Walls, 481 Pa. 1, 391 A.2d 1064 (1978). Under Commonwealth v. Walker, supra, however, appellant’s sentence for both theft and retail theft, when the information charging him with these crimes made out but a single act as the basis for both charges, was an illegal sentence, one which is beyond the power of the court below to impose.
We therefore may and must raise it ourselves, even if it has never been raised either in the lower court or on appeal. Commonwealth v. Usher, 246 Pa.Super. 602, 607, 371 A.2d 995, 998 (1977).
Since we determine, infra, that appellant’s concurrent sentences for both theft and retail theft violated his rights under Pennsylvania merger doctrine, it would not ordinarily be necessary for us to go on to consider whether these sentences also violated the double jeopardy clauses. However, we do not grant appellant all relief which he requests on the merger issue, since he claims that the three to six year sentence for theft by unlawful taking should be vacated, rather than the two-and-a-half to five year sentence for retail theft. Therefore we shall consider the applicability of the double jeopardy clauses in order to determine if they entitle appellant to the greater relief which he seeks. See Commonwealth v. Golden, 277 Pa.Super. 180,-, n.1, 419 A.2d 721, 722, n.1 (1980).
. We read the reference to “double jeopardy” in Commonwealth v. Corcoran, 78 Pa.Super.Ct. 430, 433 (1922) as involving the Pennsylvania double jeopardy clause, since the case occurred forty-seven years before the Supreme Court of the United States for the first time held the federal double jeopardy clause applicable to the states. Benton v. Maryland, 395 U.S. 784, 89 S.Ct. 2056, 23 L.Ed.2d 707 (1969). But cf. Commonwealth v. Veley, supra, note 10. Even if our reading is incorrect, however, there is no indication that our Supreme Court would apply the state double jeopardy clause to change the long-standing rule under the similarly-worded federal provision, as well as the line of Pennsylvania cases under the merger doctrine, up to Commonwealth v. Miller, 469 Pa. 24, 364 A.2d 886 (1976).
. There is no merit to the Commonwealth’s contention that any error was harmless because the sentences were concurrent rather than consecutive. Commonwealth v. Walker, 468 Pa. 323, 331, 362 A.2d 227, 230 (1976); Commonwealth v. Wolfe, 220 Pa.Super. 415, 420-21, 289 A.2d 153, 155-56 (1972).
. Appellant’s brief includes in its discussion of merger what appears to be a separate argument that section 3902 of the Crimes Code provides an additional basis for concluding that only one sentence be imposed on his theft and retail theft convictions.
Cf. Commonwealth v. Shaffer,
279 Pa.Super. 18, 27, n.2, 420 A.2d 722, 727, n.2 (1980). Since we already have determined that the merger doctrine requires that one sentence be vacated, it is only necessary to consider appellant’s section 3902 claim because we conclude,
infra,
that merger only requires vacation of the shorter sentence, and thus have not granted him the higher degree of relief he seeks, viz., vacation of the longer sentence.
See Commonwealth v. Golden, supra,
note 11. We
do not, however, have to determine the extent to which section 3902 applies to sentencing because the section is completely inapplicable to retail theft,
. Under the Crimes Code, we no longer have this anomalous situation.
See
.
Busic v. United States, supra,
note 5, at 446 U.S. 401, 100 S.Ct. at 1750, 64 L.Ed.2d at 388, held as a matter of federal statutory construction that both prosecution and sentencing under a general enhanced sentencing provision,
. The Pennsylvania courts have uniformly applied the same test (i. e., sustaining the sentence for the crime with the highest maximum penalty) in closely analogous situations. One such situation frequently arises under section 3502(d) of the Crimes Code,
“Multiple convictions.-A person may not be convicted both for burglary and for the offense which it was his intent to commit after the burglarious entry for an attempt to commit that offense, unless the additional offense constitutes a felony of the first or second degree.”
A defendant, for example, may not be convicted of both burglary and the theft he intended to commit, since theft under the Crimes Code can rise no higher than a felony of the third degree.
In a situation in which a defendant has been convicted of both burglary and the theft he intended to commit, the same question is presented as in this case, because the statute does not say whether it is the burglary or the intended crime for which the defendant can be punished. But it is self-evident that the legislature could not have intended that a defendant convicted of the first-degree felony of burglary would have his maximum possible punishment of 20 years imprisonment reduced to five years by the fact that he was also convicted for theft, when he could be sentenced up to the full twenty years if he had been convicted of the burglary alone. Therefore when the problem arises in this court, the judgment of sentence for burglary is routinely sustained and the other vacated. Commonwealth v. Harris, supra; Commonwealth v. Price, supra; Commonwealth v. Simmons, 233 Pa.Super. 547, 561, 336 A.2d 624, 632 (1975); compare Commonwealth v. Black, 267 Pa.Super. 598, 602, 407 A.2d 403, 405 (1979) with id. at 603, 407 A.2d at 406 (dissenting opinion of Price, J.); see also Commonwealth v. Wiiks, 250 Pa.Super. 182, 190, 378 A.2d 887, 891 (1977) (burglary and assault).