Commonwealth v. DerkCommonwealth v. Derk
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¶ 1 In thеse consolidated appeals, Appellants Misty Derk and Kurt Bingaman each appeal their judgments of sentence entered March 29, and March 3, 2005, respectively, in the Court of Common Pleas of Snyder County. They both contend that the trial court erred in requiring them to submit a deoxyribonucleic acid (DNA) sample to be stored in a DNA data bank and pay a mandatory cost of $250. These provisions were ordered pursuant to
¶ 2 The statutory authority requiring certain defendants to provide a DNA sample is found at
(a) General rule. — A person who is convicted or adjudicated delinquent for a felony sex offense or other specified offense or who is or remains incarcerated for a felony sex offense or other specified offense on or after the effective date of this chapter shall have a DNA sample drawn as follows:
(1)A person who is sentenced or receives a delinquency disposition to a term of confinement for an offense covered by this subsection shall have a DNA sample drawn upon intake to a prison, jail or juvenile detention facility or any other detention facility or institution. If the person is already confined at the time of sentencing or adjudication, the person shall have a DNA sample drawn immediately after the sentencing or adjudication. If a DNA sample is not timely drawn in accordance with this section, the DNA sample may be drawn any time thereafter by the prison, jail, juvenile detention facility, detention facility or institution.
(2) A person who is convicted or adjudicated delinquent for an offense covered by this subsection shall have a DNA sample drawn as a condition for any sentence or adjudication which disposition will not involve an intake into a prison, jail, juvenile detention facility or any other detention facility or institution.
(3) Under no circumstances shall a person who is convicted or adjudicated delinquent for an offense covered by this subsection be released in any manner after such disposition unless and until a DNA samрle has been withdrawn.
(b) Condition of release, probation or parole.—
(1) A person who has been convicted or adjudicated delinquent for a felony sex offense or other specified offense and who serves a term of confinement in connection therewith after June 18, 2002, shall not be released in any manner unless and until a DNA sample has been withdrawn.
(2) This chapter shall apply to incarcerated persons convicted or adjudicated delinquent for a felony sex offense prior to June 19, 2002.
(3) This chapter shall apply to incarcerated persons and persons on probation or parole who were convicted or adjudicated delinquent for other specified offenses prior to the effective date of this paragraph.
(d) Supervision of DNA samples. — All DNA samples taken pursuant to this section shall be taken in accordance with regulations promulgated by the State Police in consultation with the Department of Corrections.
(d.l) Mandatory submission. — The requirements of this chapter are mandatory and apply regardless of whether a court advises a person that a DNA sample must be provided to the State DNA Data Base and the State DNA Data Bank as a result of a сonviction or adjudication of delinquency. A person who has been sentenced to death or life imprisonment without the possibility of parole or to any term of incarceration is not exempt from the requirements of this chapter. Any person subject to this chapter who has not provided a DNA sample for any reason, including because of an oversight or error, shall provide a DNA sample for inclusion in the State DNA Data Base and the State DNA Data Bank after being notified by authorized law enforcement or corrections personnel. If a person provides a DNA sample which is not adequate for any reason, the person shall provide another DNA sample for inclusion in the State DNA Data Base and the State DNA Data Bank after being notified by authorized law enforcement or corrections personnel.
(e) Definition. — As used in this section, the term “released” means any release, parole, furlough, work release, prere-lease or release in any other manner from a prison, jail, juvenile detention facility or any other place of confinement.
¶ 3 “A trial court’s application of a statute is a question of law, and our standard of review is plenary. Moreover, our review is limited to determining whether the trial court committed an error of law.”
Commonwealth v. Wall,
Commonwealth v. Misty Derk 586 MDA 2005
¶ 4 On July 21, 2003, Derk was arrested for retail theft after she was caught stealing a cаrton of cigarettes. Since she had two prior retail theft convictions, the offense was graded a felony of the third degree pursuant to
¶ 5 Derk filed a post-sentence motion challenging the mandate that she submit a DNA sample and pay the assessment fee as violations of the
ex post facto
clauses of the United States and Pennsylvania Constitutions. The motion was denied and a timely appeal was filed. Derk was or
¶ 6 Initially, Derk argues that the trial court erred in requiring her to submit a DNA sample because her retail theft conviction is not a predicate offense as contemplated by the DNA Act. Derk contends that the legislature only sought to receive DNA samples from those person convicted of sex offenses or violent offenses. We disagree.
¶ 7 The general rule states that those who are convicted of a felony sex offense or “other specified offense” shall have a DNA sample drawn.
¶ 8 Derk next contends that she committed her crime before the amended version of the statute came into effect and subjecting her to its strictures constitutes an
ex post facto
violation.
2
The application of an
ex post facto
law is in contradiction of Article 1, § 10 of the United States Constitution and Article 1, § 17 of the Pennsylvania Constitution. “A state law violates the
ex post facto
clause if it was adopted after the complaining party committed the criminal acts and ‘inflicts a greater punishment than the law annexed to the crime, when committed.’ ”
Wall, supra,
citing
Commonwealth v. Fleming,
¶ 9 In determining whether a legislative enactment is unconstitutionally punitive, a two part test is utilized. First, it must be determined whether the legislative intent was to punish. If not, then the purpose and effect of the statute will be evaluated to assess whether it “nevertheless provide^] for sanctions so punitive as to transform what was clearly intended as a civil remedy into a criminal penalty.”
Commonwealth v. Williams,
¶ 10 Turning to the first prong of the test, there is no doubt that the General Assembly did not intend to punish when enacting the DNA Act. When a legislative restriction “is an incident of the State’s power to protect the health and safety of its citizens, it will be considered as evidencing an intent to exercise that regulatory power and not a purpose to add to the punishment.”
Flemming v. Nestor,
¶ 11 As set forth above, the United States Supreme Court has provided a set
¶ 12 The first consideration is whether the contested requirement has historically been regarded as punishment. A historical analysis can serve the purpose of determining whether a statute is punitive since “a State that decides to punish an individual is likely to select a means deemed punitive in our tradition, so that the public will recognize it as such.”
Smith,
¶ 13 Of course, incarceration is the most severe and recognized form of punishment. However, no incarceration results by way of a new criminal conviction from the refusal to submit a sample.
Cf. Johnson v. Quander, supra
(DNA Act is not violative of the
ex post facto
clause even though refusing tо provide a sample results in a misdemeanor offense). We are cognizant of the fact that an incarcerated person “shall not be released in any manner unless and until a DNA sample has been withdrawn” and that the use of reasonable force to obtain the sample is authorized.
¶ 14 Next, we shall determine whether the Act imposes an affirmative disability or restraint upon those who fall within its purview. An affirmative disability or restraint has traditionally been viewed as imprisonment or something akin to it or a “restraint upon the individual directly, rather than through a secondary effect.”
Williams,
¶ 15 Another factor we are to consider is whether the DNA Act nonetheless promotes the traditional aims of punishment — retribution and deterrence. It is evident that there is no retributive aspect to the Act because, as we have already discussed, submitting a DNA sample does not constitute punishment. However, the Act plainly states “DNA data banks are an important tool in criminal investigations, in the exclusion of individuals who are the subject of criminal investigations or prosecutions and in deterring and detecting recidivist acts.”
¶ 16 The Act’s rational connection to a nonpunitive purpose is a “[mjost significant” factor in our determination that the statute’s effects are not punitive.
Smith,
¶ 17 Lastly, we find that the application of the Act is not excessive in relation to its purpose. One who is required to provide a sample is only subjected tо a momentary inconvenience on a single occasion. In return, the Commonwealth is able to create and maintain a data base that will comport with modern capabilities in law enforcement, as well as assist in a variety of humanitarian efforts. It is also noteworthy that the Act applies to a broad class of people and is not targeting a single type of perpetrator in a manner that may suggest excessiveness. The submission of the sample cannot be said to be excessive in relation to the purpose of the Act.
¶ 18 In sum, we find that the General Assembly did not intend the DNA Act to constitute punishment. Moreover, there is no clear proof that the requirement that persons convicted of predicate offenses submit a DNA sample is so punitive in its effect to transform the remedial provision into a criminal penalty. Accordingly, we conclude that the DNA Act is not an unconstitutional violation of the ex post facto clauses of the United States and Pennsylvania Constitutions since it is not punitive in nature or by its application, but instead serves a regulatory purpose designed to enhance public safety. Thus, the trial court did not err in requiring Derk to provide a samplе of her DNA. 6
¶ 19 Dérk’s judgment of sentence is affirmed.
Commonwealth v. Kurt Bingaman 591 MDA 2005
¶ 20 On April 6, 2004, Bingaman and a cohort entered Boscov’s Department Store on two separate occasions, each time stealing a ski jacket. He was apprehended that same day and charged with two counts each of retail theft and criminal conspiracy. On January 6, 2005, Binga-man entered a guilty plea to two counts of retail theft; one count was graded as second degree misdemeanor and the other
¶ 21 Bingaman filed a post-sentence motion, which was denied. He then filed a timely appeal alleging that the trial court erred in ordering him to submit a DNA sample and pay the $250 assessment. In his appeal, he contends that he should not have been subject to the Act because his guilty plea preceded the enactment of
¶ 22 The general rule states that those who are convicted of a felony sex offense or “other specified offense” shall have a DNA sample drawn.
¶ 23 The trial court noted that
¶ 24 In
Smith v. Department of Corrections,
[a] person who has been convicted or adjudicated delinquent for a felony sex offense or other specified offense before the effective date of this section and who is still serving a term of confinement in connection therewith on the effective date of this section shall not be released in any manner prior to the expiration of his maximum term of confinement unless and until a DNA sample has been withdrawn.
(1) A person who has been convicted or adjudicated delinquent for a felony sex offense or other specified offense and who serves a term of confinement in connеction therewith on or after the effective date of this chapter [Chapter 47] shall not be released in any manner unless and until a DNA sample has been withdrawn.
(2) This chapter shall apply to incarcerated persons convicted or adjudicated delinquent for a felony sex offense prior to the effective date of this chapter.
Id. at 654 (emphasis in original). The Court found that
Section 4716(b) of the Judicial Code authorizes the taking of a DNA sample only when a person has been convicted of a specified offense and the person is confined in connection with that offense on or after December 16, 2002, the effective date of the amended statute. Thus, because Smith’s sentence for burglary and robbery expired in 1998, the Department is not authorized to take a DNA sample from Smith. The Department is authorized to take a DNA sample from Smith only if the underlying offense for Smith’s current sentence of eleven to twenty-two years is a specified offense, something we do not know at this time.
Id. (emphasis added). Thus, the Department of Corrections’ preliminary objections to Smith’s petition to enjoin were overruled.
¶ 25 We find the rationale in Smith to be dispositive to the instant case. As in Smith, Bingaman was incarcerated and sentenced for the non-qualifying offenses of retail theft. He was no longer under supervisiоn for his prior felony criminal trespass adjudication, but was only incarcerated because he was unable to post bail for the retail theft charges. The incarceration was not due to a conviction for a felony sex offense or other specified offense; therefore, the Act does not apply to him.
¶ 26 The trial court focused too narrowly on
Notes
. Formerly the Act of June 19, 2002, P.L. 394, No. 57,
. At the time Appellant committed her offense, the prior version of the DNA Act was in place. Under that version, those convicted of or adjudicated delinquent of a felony sex offense or other specified offense were required to submit DNA samples. An other specified offense was not as broadly defined as it is in the current statute, and included those convicted of, or attempting, conspiring, or soliciting to commit the offense of murder, harassment and stalking, kidnapping, luring a child into a motor vehicle, indecent assault, burglaty, or robbery.
. These guideposts are used to assess a variety of constitutional questions. As discussed infra, in the context of evaluating an ex post facto challenge, not all of these would be applicable.
. This decision is consistent with the Commonwealth Court’s holding in
Dial v. Vaughn,
This decision also comports with that of many other jurisdictions, which have rejected challenges to their state's version of the DNA Act on
ex post facto
grounds.
See State v. Raines,
. In Smith, the United States Supreme Court held that the Alaska Sex Offender Registration Act did not violate the ex post facto clause.
. Appellant аlso challenged the $250 mandatory cost imposed upon her. She argues that the imposition of the cost violates the ex post facto clauses of the United States and Pennsylvania constitutions and that she was not subject to the cost because she was not convicted of a predicate offense. Since we have already determined that the DNA Act does not constitute an ex post facto violation, and that Appellant’s third degree felony conviction is a predicate offense under the Act, this argument necessarily fails.
. Apparently, Bingaman remained incarcerated from the time of his arrest because he was unable to post bail.