COMMONWEALTH OF PENNSYLVANIA v. JAMES PAUL FINNECY
No. 2 WAP 2020
IN THE SUPREME COURT OF PENNSYLVANIA WESTERN DISTRICT
APRIL 29, 2021
[J-114-2020]
JUSTICE MUNDY
BAER, C.J., SAYLOR, TODD, DONOHUE, DOUGHERTY, WECHT, MUNDY, JJ. SUBMITTED: November 17,
OPINION
I. Introduction
In this appeal by allowance, we consider whether a single past conviction for a violent crime demonstrates a “history of present or past violent behavior” for purposes of the Recidivism Risk Reduction Act (“RRRI Act“),
II. Facts and Procedural History
In January 2010, Appellant James Paul Finnecy was sentenced to a maximum term of two years’ imprisonment for unauthorized use of a motor vehicle and theft by unlawful taking, as well as two consecutive terms of eighteen months’ probation for escape, resisting arrest,1 identity theft, and ten counts of forgery.2 In October 2011, Appellant was released from custody and placed on probation. He committed multiple probation violations over the next several months and also failed to complete a court supervised drug treatment program. The trial court ultimately revoked Appellant‘s probation. On March 7, 2014, Appellant was sentenced to twelve to twenty-four months’ imprisonment, to be followed by five years’ probation.3
In April 2014, Appellant was again released from custody and paroled to a court supervised substance abuse treatment facility. Shortly thereafter, Appellant absconded from parole and committed numerous additional violations of his supervision. As a result, the Commonwealth filed a petition to revoke Appellant‘s probation and parole, which was granted. In August 2014, Appellant appeared before the trial court for a revocation hearing, at which he admitted to committing numerous material violations of probation and parole such as changing his residence, failing to report, violating curfew, using crack cocaine, associating with drug users or dealers, and consuming alcohol. As a result, the trial court found Appellant in violation of his probation and parole. On October 7, 2014, Appellant was sentenced to an aggregate term of twelve and one-half to twenty-five years’ imprisonment.4 Relevant
On March 9, 2017, Appellant filed a timely pro se petition pursuant to the Post Conviction Relief Act (PCRA),
After a hearing, the PCRA court dismissed Appellant‘s petition. It followed its decision with an opinion outlining its bases for dismissal. The court first relied on the Superior Court‘s opinion from Appellant‘s direct appeal in which the court concluded that a conviction for resisting arrest qualified as “violent behavior” under
Appellant appealed to the Superior Court, which affirmed in a divided, unpublished memorandum. Commonwealth v. Finnecy, 998 WDA 2018, 2019 WL 1752803 (Pa. Super. April 17, 2019). The Superior Court first recognized that “a defendant‘s challenge relative to the failure to apply a RRRI minimum [is] a non-waivable illegal sentencing claim.” Id. at *4 (quoting Commonwealth v. Tobin, 89 A.3d 663, 669 (Pa. Super. 2014) (citation omitted)). As for the merits of Appellant‘s claim, the court agreed with the PCRA court‘s conclusion that Appellant‘s previous resisting arrest conviction rendered him ineligible for a RRRI Act sentence because it demonstrated a history of present or past violent behavior. Id. at *5 (citing Commonwealth v. Finnecy, 135 A.3d at 1037). The court then reasoned, with little explanation, that the record demonstrated Appellant did not qualify as the type of first-time offender identified in Cullen-Doyle as potentially eligible for a reduced sentence under the RRRI Act. Id. Thus, the court affirmed the PCRA court‘s dismissal of Appellant‘s petition. Id.
Senior Judge Eugene B. Strassburger authored a dissenting opinion disagreeing with the court‘s conclusion that a single conviction for a non-enumerated crime of violence constitutes a “history of present or past violent behavior” as contemplated by
I am persuaded by the reasoning in Cullen-Doyle that the language of the RRRI statute is ambiguous; that the word history refers to “an established record of or pattern of past or present violent behavior;” that the “Legislature sought to offer greater reform opportunities for first-time offenders than for repeat offenders;” that construing the statute broadly would disqualify too many individuals based upon a mere “single instance of violence;” that all crimes of violence should not be per se disqualifying; and that the rule of lenity means the statute should be construed in favor of those seeking admission to the program. [Cullen-Doyle, 164 A.3d at 1241-44].
Id. Accordingly, Judge Strassburger would have found Appellant‘s sentence illegal and reversed the decision of the PCRA court. Id.
We granted Appellant‘s petition for allowance of appeal to address the following:
Does a single, past conviction for a violent crime constitute a “history of present or past violent behavior” for purposes of the Recidivism Risk Reduction Incentive Act (“RRRI Act“),
61 Pa.C.S. §§ 4501-4512 ?
Commonwealth v. Finnecy, 224 A.3d 1260 (Pa. 2020) (per curiam). We also directed the parties to address the threshold question of whether a court‘s failure to apply a sentence under the RRRI Act implicates sentencing illegality. Id.
III. Parties’ Arguments
As to the issue of whether a court‘s failure to impose a sentence under the RRRI Act implicates sentencing illegality, both parties’ arguments leave much to desire. Appellant‘s argument is extremely brief and undeveloped. Indeed, the entirety of his argument reads as follows:
In addressing the issue of an illegal sentence, the appellant relies on Commonwealth v. Berry, 877 A.2d 479 ([Pa. Super.] 2005). Although the circumstances differ, like Berry, the appellant contends that an illegal sentence [sic] and is subject to be corrected. Therefore, it is the appellant‘s contention that this matter be remanded to the trial court to correct his sentence and render him RRRI eligible.
Appellant‘s Brief at 17-18.
As for the Commonwealth, it acknowledges that whether a court‘s failure to apply a reduced sentence under the RRRI Act implicates sentencing illegality is unclear, but nonetheless concedes that it does.7 Commonwealth‘s Brief at 10. The Commonwealth generally notes that the PCRA provides an avenue for an offender to seek relief from an illegal sentence. Id. (citing Commonwealth v. DiMatteo, 177 A.3d 182, 192 (Pa. 2018)). It then references both Commonwealth v. McIntyre, 232 A.3d 609 (Pa. 2020), and Commonwealth v. Eisenberg, 98 A.3d 1268 (Pa. 2014), though it is unclear for what purpose. Id. at 12-13. With respect to the former, the Commonwealth avers that based on McIntyre “a claim which implicates the legality of sentence should include [those] involving a trial court‘s lack of constitutional or statutory authority to impose a sentence.” Id. at 12 (citing McIntyre, 232 A.3d at 615). This language, however, appears in the parties’ arguments section of that opinion, rather than our analysis. As for Eisenberg, the Commonwealth seems to reference this case in an effort to demonstrate the complexity
of determining whether a claim implicates sentencing illegality. Id. at 12-13 (quoting Eisenberg, 98 A.3d 1276). Finally, the Commonwealth recognizes that the Superior Court‘s decision in Tobin specifically
Both parties’ arguments with respect to the issue of Appellant‘s eligibility for a sentence under the RRRI Act are similarly lacking. Appellant ultimately asserts that the lower courts incorrectly found him ineligible for a sentence under the RRRI Act.8 Appellant‘s Brief at 13. He first claims the Superior Court wrongly concluded that Cullen-Doyle does not entitle him to relief, but fails to discuss this case in any meaningful way. Id. He maintains that Cullen-Doyle has been applied in other cases in a manner benefitting similarly situated offenders. Id. at 13-14. To this end, Appellant merely cites to several unpublished Superior Court decisions which may not be relied on for their persuasive value.9 Id. The only other case relied on by Appellant in this portion of his argument is Commonwealth v. Sebolka, 205 A.3d 329 (Pa. Super. 2019). Id. at 15. Aside
from noting that the Appellant in Sebolka successfully appealed the trial court‘s determination that she was not eligible for a RRRI sentence, Appellant does not explain this case in any detail. Id.
The Commonwealth contends that Appellant was correctly deemed ineligible for a sentence under the RRRI Act. Commonwealth‘s Brief at 2. It begins by noting this case requires us to engage in statutory interpretation of the phrase “history of present or past violent behavior” referenced in
Appellant also filed a reply brief in which he raises two additional cases in support of his position that the court should have imposed a sentence pursuant to the RRRI Act. Appellant‘s Reply Brief at 2-4. In both of these cases, Commonwealth v. Bradley, 237 A.3d 1131 (Pa. Super. 2020),10 and Commonwealth v. Selby, 1299 WDA 2018; 2019 WL 2184840 (Pa. Super. May 21, 2019) (unpublished memorandum), the Superior Court held that, based on Cullen-Doyle, the trial court erred in finding that a single past conviction for a non-enumerated crime demonstrating violent behavior rendered an offender ineligible for a sentence under the RRRI Act. Id. Appellant also responds to the examples chosen by the Commonwealth to demonstrate that a single prior crime of violence should disqualify an offender from receiving a sentence under the RRRI Act. Id. at 4. He explains the statute clearly indicates that persons who commit these enumerated crimes – rape of a child, first-degree murder, and incest – are automatically precluded from receiving a sentence under the RRRI Act. Id. Here, however, the statute is ambiguous as to whether a single past crime such as resisting arrest disqualifies an offender from receiving a reduced sentence under the RRRI Act. Id. at 2. Accordingly, the statute must be read in Appellant‘s favor. Id.
b. Analysis
Although both parties’ arguments are rather poor, we understand the crux of the issues being raised and will address them in turn. This case comes before us on collateral
review, therefore our review “is limited to examining whether the PCRA court‘s findings of fact are supported by the record, and whether its conclusions of law are free from legal error.” Commonwealth v. Mason, 130 A.3d 601, 617 (Pa. 2015) (quoting Commonwealth v. Hanible, 30 A.3d 426, 438 (Pa. 2011)). We apply a de novo standard of review to the PCRA court‘s legal conclusions. Id. (quoting Commonwealth v. Roney, 79 A.3d 595, 603 (Pa. 2013)).
Before addressing Appellant‘s eligibility for a sentence under the RRRI Act, we must determine whether such a claim implicates sentencing illegality. To begin, the PCRA includes a general requirement that an alleged error not be “previously litigated or waived.”
This subchapter provides for an action by which persons convicted of crimes they did not commit and persons serving illegal sentences may obtain collateral relief. The action established in this subchapter shall be the sole means of obtaining collateral relief and encompasses all other common law and statutory remedies for the same purpose that exists when this subchapter takes effect, including habeas corpus and coram nobis.
Although the traditional view of claims concerning sentencing illegality were limited to those exceeding the statutory maximum or those imposed by a court lacking jurisdiction, our courts have recognized a broader view of sentencing illegality. See Commonwealth v. Foster, 17 A.3d 332, 344-45 (Pa. 2011) (plurality) (citing In re M.W., 725 A.2d 729, 731 (Pa. 1999) (holding that a challenge to the sentencing court‘s statutory authority to impose a particular sentence implicates the legality of the sentence)); Commonwealth v. Barnes, 151 A.3d 121, 127 (Pa. 2016) (adopting the lead opinion in Foster).
With this in mind, we turn to the language of the Sentencing Code concerning the imposition of RRRI Act sentences:
The court shall determine if the defendant is eligible for a recidivism risk reduction incentive minimum sentence under
61 Pa.C.S. Ch. 45 (relating to recidivism risk reduction incentive). If the defendant is eligible, the court shall impose a recidivism risk reduction incentive minimum sentence in addition to a minimum sentence and maximum sentence except, if the defendant was previously sentenced to two or more recidivism risk reduction incentive minimum sentences, the court shall have the discretion to impose a sentence with no recidivism risk reduction incentive minimum.
Additionally, this legality of sentence issue is not waivable where the question concerns the lower courts’ facial interpretation of the statute as opposed to the factual predicates triggering application of the provision. In this case there is no dispute over Appellant‘s criminal history, only over the proper meaning of the statute applied by the lower courts. See Foster, 17 A.3d at 344-45; Barnes, 151 A.3d at 127. Accordingly, Appellant‘s contention that the court failed to impose a RRRI Act sentence where his criminal history did not render him ineligible implicates sentencing illegality. That the PCRA does not expressly delineate this type of illegal sentencing claim does not preclude relief, considering sentencing illegality claims are always subject to review under the PCRA when raised in a timely petition. DiMatteo, 177 A.3d at 192 (citing Commonwealth v. Fahy, 737 A.2d 214, 223 (Pa. 2019) (additional citation omitted)).11
Having found that a trial court‘s failure to sentence an eligible offender pursuant to the RRRI Act implicates sentencing illegality, we may now address the issue of whether the court erred by failing to impose such a sentence in this case. Preliminarily, Appellant and the Commonwealth agree that resisting arrest qualifies as a crime demonstrating violent behavior for the purposes of
Issues involving statutory interpretation like the one in this case implicate questions of law, for which our standard of review is de novo and our scope of review is plenary. Commonwealth v. Chester, 101 A.3d 56, 60 (Pa. 2014) (citing School Dist. Of Philadelphia v. Dep‘t of Educ., 92 A.3d 746, 751 (Pa. 2014)). The object of all interpretation and construction of statutes is to ascertain and effectuate the intention of the legislature.
Section 4503 sets forth the requirements to qualify for a RRRI Act sentence:
“Eligible person.” A defendant or inmate convicted of a criminal offense who will be committed to the custody of the department and who meets all of the following eligibility requirements:
(1) Does not demonstrate a history of present or past violent behavior.
(2) Has not been subject to a sentence the calculation of which includes an enhancement for the use of a deadly weapon as defined under law or the sentencing guidelines promulgated by the Pennsylvania Commission on Sentencing or the attorney for the Commonwealth has not demonstrated that the defendant has been found guilty of or was convicted of an offense involving a deadly weapon or offense under
18 Pa.C.S. Ch. 61 (relating to firearms and other dangerous articles) or the equivalent offense under the laws of the United States or one of its territories or possessions, another state, the District of Columbia, the Commonwealth of Puerto Rico or a foreign nation or criminal attempt, criminal solicitation or criminal conspiracy to commit any of these offenses.
(3) Has not been found guilty of or previously convicted of or adjudicated delinquent for or criminal attempt, criminal solicitation or criminal conspiracy to commit murder, a crime of violence as defined in 42 Pa.C.S. § 9714(g) (relating to sentences for second and subsequent offenses) or a personal injury crime as defined under section 103 of the act of November 24, 1998 (P.L. 882, No. 111), known as the Crime Victims Act, except for an offense under18 Pa.C.S. § 2701 (relating to simple assault) when the offense is a misdemeanor of the third degree, or an equivalent offense under the laws of the United States or one of its territories or possessions, another state, the District of Columbia, the Commonwealth of Puerto Rico or a foreign nation.(4) Has not been found guilty or previously convicted or adjudicated delinquent for violating any of the following provisions or an equivalent offense under the laws of the United States or one of its territories or possessions, another state, the District of Columbia, the Commonwealth of Puerto Rico or a foreign nation or criminal attempt, criminal solicitation or criminal conspiracy to commit any of these offenses:
18 Pa.C.S. § 4302(a) (relating to incest).
18 Pa.C.S. § 5901 (relating to open lewdness).
18 Pa.C.S. Ch. 76 Subch. C (relating to Internet child pornography).Received a criminal sentence pursuant to
42 Pa.C.S. § 9712.1 (relating to sentences for certain drug offenses committed with firearms).Any offense listed under
42 Pa.C.S. Ch. 97 Subch. H (relating to registration of sexual offenders) or I (relating to continued registration of sexual offenders).Drug trafficking as defined in section 4103 (relating to definitions).
(5) Is not awaiting trial or sentencing for additional criminal charges, if a conviction or sentence on the additional charges would cause the defendant to become ineligible under this definition.
(6) [Deleted].
Although the statute does not define “history of present or past violent behavior,” this Court had the occasion to interpret this phrase in Cullen-Doyle. In that case, Cullen-Doyle pled guilty to several counts of conspiracy to commit burglary and one count of burglary. Cullen-Doyle, 164 A.3d at 1241. At sentencing, the trial court denied his request for a reduced sentence under the RRRI Act. Id. We granted review to address whether a single present conviction for burglary, a crime both parties agreed demonstrated violent behavior, qualified as a “history of present or past violent behavior” for the purposes of
Because of this ambiguity, we turned to alternative means to discern the legislature‘s intent. Id. We then concluded that the Act‘s purpose and rationale, as well as the relevant legislative history, did not preclude Cullen-Doyle from receiving a sentence under the RRRI Act. Id. We first acknowledged the purpose of the RRRI
As for the phrase “history of present or past violent behavior,” we found that the use of the word history in
We also highlighted the fact that had the legislature intended to preclude offenders with a single present conviction for a crime of violence from eligibility it could have expressly provided for this. Indeed,
While the present circumstances are slightly different than those in Cullen-Doyle in that Appellant‘s ineligibility for a sentence under the RRRI Act was based on a single prior conviction for a crime demonstrating violent behavior as opposed to a single present conviction for a crime demonstrating violent behavior, we nonetheless find its reasoning determinative. Appellant‘s criminal history, which reflects several previous convictions, only one of which demonstrates violent behavior, does not render him ineligible for a sentence under the RRRI Act.
We note that the Commonwealth‘s assertion that a history can be established through a single crime demonstrating violent behavior is inconsistent with our rationale in Cullen-Doyle, which clearly found that a history is rather an established record or pattern of violent behavior. Moreover, the examples provided by the Commonwealth to demonstrate that an interpretation of history requiring more than one prior conviction for a crime demonstrating violent behavior would produce absurd results are unpersuasive. As Appellant recognizes, the crimes used in the Commonwealth‘s examples are all enumerated offenses that automatically preclude an offender from being eligible to receive a sentence under the RRRI Act. Finally, we do not find Appellant‘s comparison to
V. Conclusion
In conclusion, we hold that a trial court‘s failure to sentence an eligible offender pursuant to the RRRI Act implicates sentencing illegality. We also find that a single prior conviction for a non-enumerated crime demonstrating violent behavior does not qualify as a history of past violent behavior under the
Chief Justice Baer and Justices Saylor and Donohue join the opinion.
Justice Saylor files a concurring opinion.
Justice Wecht files a dissenting opinion in which Justices Todd and Dougherty join.
