Commonwealth v. HolmesCommonwealth v. Holmes
Case Information
: PENNSYLVANIA v. : : NORMA JEAN HOLMES, : No. 305 MDA 2014
: Appellant :
Appeal from the Order Entered January 21, 2014, in the Court of Common Pleas of Fulton County Criminal Division at No. CP-29-CR-0000103-2012 BEFORE: FORD ELLIOTT, P.J.E., BENDER, P.J.E., BOWES, SHOGAN,
LAZARUS, MUNDY, OLSON, OTT, AND STABILE, JJ. OPINION IN SUPPORT OF REVERSAL BY FORD ELLIOTT, P.J.E.:
FILED JANUARY 04, 2017
We agree that the trial court erred to the extent it ordered restitution as a condition of appellant’s probation under Section 9754(c)(8) of the Sentencing Code. As explained in the Opinion in Support of Affirmance, restitution cannot be imposed as both a condition of probation and as part of a defendant’s sentence under Section 1106(a) of the Crimes Code. Furthermore, the trial court did not determine appellant’s ability to pay as required under Section 9754(c)(8). However, we are constrained to disagree that the victim’s parents were entitled to mandatory restitution under Section 1106(a) for their son’s funeral expenses.
Initially, we note that
[i]n the context of criminal proceedings, an order of restitution is not simply an award of damages, but, rather, a sentence. An appeal from an order of restitution based upon a claim that a restitution order is unsupported by the record challenges the legality, rather than the discretionary aspects, of sentencing. The determination as to whether the trial court imposed an illegal sentence is a question of law; our standard of review in cases dealing with questions of law is plenary.
Commonwealth v. Stradley , 50 A.3d 769, 771-72 (Pa.Super. 2012) (citations and quotation marks omitted); see also id. (stating that because “[the appellant’s] claim on appeal challenges the legality of his sentence, its review is not abrogated by the entry of his guilty plea.”).
Commonwealth v. Kinnan
,
Restitution is a creature of statute and, without
express legislative direction, a court is powerless to
direct a defendant to make restitution as part of his
sentence.
Commonwealth v. Harner
,
(stating that “[t]he primary purpose of restitution is rehabilitation of the offender by impressing upon him that his criminal conduct caused the victim’s personal injury and that it is his responsibility to repair the injury as far as possible.”).
Id.
“The court is required to specify the amount of restitution at sentencing,
but may modify its order at any time provided that it states its reasons for
any modification on the record.”
Commonwealth v. Solomon
, 25 A.3d
380, 389-390 (Pa.Super. 2011),
appeal denied
,
In the context of a criminal case, restitution may be
imposed either as a direct sentence,
Harner
,
Such sentences are encouraged and give the trial court the flexibility to determine all the direct and indirect damages caused by a defendant and then permit the court to order restitution so that the defendant will understand the egregiousness of his conduct, be deterred from repeating this conduct, and be encouraged to live in a responsible way.
Harner
, 533 Pa. at 22, 617 A.2d at 707;
see also
Commonwealth v. Walton
,
In re M.W.
,
The Crimes Code,
(a) General rule. --Upon conviction for any crime wherein property has been stolen, converted or otherwise unlawfully obtained, or its value substantially decreased as a direct result of the crime, or wherein the victim suffered personal injury directly resulting from the crime , the offender shall be sentenced to make restitution in addition to the punishment prescribed therefor.
(b) Condition of probation or parole. --Whenever restitution has been ordered pursuant to subsection (a) and the offender has been placed on probation or parole, his compliance with such order may be made a condition of such probation or parole.
(c) Mandatory restitution. --
(1) The court shall order full restitution: (i) Regardless of the current financial resources of the defendant, so as to provide the victim with the fullest compensation for the loss. The court shall not reduce a restitution award by any amount that the victim has received from the Crime Victim’s Compensation Board or other governmental agency but shall order the defendant to pay any restitution ordered for loss previously compensated by the board to the Crime Victim’s Compensation Fund or other designated account when the claim involves a government agency in addition to or in place of the board. The court shall not reduce a restitution award by any amount that the victim has received from an insurance company but shall order the defendant to pay any restitution ordered for loss previously compensated by an insurance company to the insurance company.
(ii) If restitution to more than one person is set at the same time, the court shall set priorities of payment. However, when establishing priorities, the court shall order payment in the following order: (A) The victim.
(B) The Crime Victim’s Compensation Board.
(C) Any other government agency which has provided reimbursement to the victim as a result of the defendant’s criminal conduct.
(D) Any insurance company which has provided reimbursement to the victim as a result of the defendant’s criminal conduct.
(2) At the time of sentencing the court shall specify the amount and method of restitution. In determining the amount and method of restitution, the court: (i) Shall consider the extent of injury suffered by the victim , the victim’s request for restitution as presented to the district attorney in accordance with paragraph (4) and such other matters as it deems appropriate.
(ii) May order restitution in a lump sum, by monthly installments or according to such other schedule as it deems just.
(iii) Shall not order incarceration of a defendant for failure to pay restitution if the failure results from the offender’s inability to pay.
(iv) Shall consider any other preexisting orders imposed on the defendant, including, but not limited to, orders imposed under this title or any other title.
(h) Definitions. --As used in this section, the following words and phrases shall have the meanings given to them in this subsection:
“Crime.” Any offense punishable under this title or by a magisterial district judge.
“Injury to property.” Loss of real or personal property, including negotiable instruments, or decrease in its value, directly resulting from the crime.
“Offender.” Any person who has been found guilty of any crime.
“Personal injury.” Actual bodily harm, including pregnancy, directly resulting from the crime.
“Property.” Any real or personal property, including currency and negotiable instruments, of the victim.
“Restitution.” The return of the property of the victim or payments in cash or the equivalent thereof pursuant to an order of the court.
“Victim.” As defined in section 479.1 of the act of April 9, 1929 (P.L. 177, No. 175), known as The Administrative Code of 1929.[Footnote 1] The term includes the Crime Victim’s Compensation Fund if compensation has been paid by the Crime Victim’s Compensation Fund to the victim and any insurance company that has compensated the victim for loss under an insurance contract.
[Footnote 1]
What is abundantly clear from a literal reading of
The issue created by this case and the reason for this court’s
en banc
review is whether, under the
Section 479.1 of the Administrative Code of 1929,
“Victim.” The term means the following:
(1) A direct victim.
(2) A parent or legal guardian of a child who is a direct victim, except when the parent or legal guardian of the child is the alleged offender. (3) A minor child who is a material witness to any of the following crimes and offenses under 18 Pa.C.S. (relating to crimes and offenses) committed or attempted against a member of the child’s family: Chapter 25 (relating to criminal homicide).
Section 2702 (relating to aggravated assault).
Section 3121 (relating to rape). (4) A family member of a homicide victim, including stepbrothers or stepsisters, stepchildren, stepparents or a fiance, one of whom is to be identified to receive communication as provided for in this act, except where the family member is the alleged offender.
“Direct victim.” An individual against whom a crime has been committed or attempted and who as a direct result of the criminal act or attempt suffers physical or mental injury, death or the loss of earnings under this act. The term shall not include the alleged offender.
Clearly, under the CVA, a parent may be compensated as a “family member” or as the parent/legal guardian of a minor child in a representative capacity. The intent of the CVA is to compensate family members for their loss relative to their relationship to the direct victim. [1]
Admittedly, some confusion has occurred because
This court agreed that the trial court erred in ordering the appellant to
pay restitution to State Farm for the wrongful death action, because the
definition of “victim” under
As our decision is driven by the definition of a victim,
we are compelled to discuss the application of The
Administrative Code,
supra
as both
As we have previously indicated, the references to
The Administrative Code were accompanied by
footnotes, which refer the reader to
Opperman
, 780 A.2d at 718-719. This court concluded that the victim’s
parents were not “victims” entitled to restitution under
While reality dictates that the victim’s parents were,
in fact, victimized when their son was killed by
Appellant’s criminal act, they are not victims as
provided for by our legislature in the Crimes and
Sentencing Codes. Furthermore, while the Crimes
Code does allow for an insurance company to be
considered a victim, this is only so when it provides
reimbursement to the victim as a result of the
perpetrator’s
conduct.
Id. at 719-720.
[I]n the case sub judice , the insurance company paid damages pursuant to insurance contracts held by the victim’s mother for damages she and her husband sustained as a result of the victim’s death.
The contract was not with the victim himself. Nor
are the parents’ damages awarded through the
estate, but they are their own damages as a result of
their son’s death. Thus, we agree with Appellant’s
assertion that the monies State Farm attempts to
collect from him were actually tendered to third
parties not contemplated by the definition of victim
in
Id.
at 720 (emphasis in original) (footnote omitted).
Compare
Commonwealth v. Solomon
, 25 A.3d 380, 390-391 (Pa.Super. 2011),
appeal denied
,
Following
Opperman
’s lead, in
Commonwealth v. Langston
, 904
A.2d 917 (Pa.Super. 2006), this court determined that the CVA and
This court in
Langston
concluded that while Michael Clark was a
“claimant” entitled to loss of support under
Similarly, here, although Michael Clark has been
undoubtedly “victimized” by appellant in the tragic
loss of his parents, he is not a victim for restitution
purposes as provided by statute. The mandatory
payment of restitution pursuant to
Langston
,
Langston
’s discussion of who is a “victim” under the CVA and
Nevertheless, both the dissent below and the
Commonwealth advert to the Crime Victims Act,
noting that the definition of victim in that statute is
much broader than the definition of victim in
This is true so far as it goes, but the statute
obviously is of tangential relevance at best. The
Crime Victims Act provides a scheme for protecting
victims’ rights and establishing remedies, such as
compensation from various
funds. However,
compensation under the Act is made on the basis of
claims filed by individual victims of crimes and
determined by the Office of Victims’ Services,
[Footnote 5] We are not persuaded by
the Commonwealth’s suggestion that the
Crime Victims Act specifically authorizes
the
As we have already determined, the plain meaning of
Hall
, 80 A.3d at 1214 (emphasis added). Whether considered as
dicta
or
an integral part of its rationale, the Pennsylvania Supreme Court clearly
recognized with approval
Langston
’s analysis that the CVA and
As this court observed in
Opperman
, the legislature had the
opportunity to include the definition of “victim” as contained in the CVA, if it
so chose, when it amended
We reaffirm our holdings in
Opperman
and
Langston
that mandatory
restitution under
This interpretation is completely consistent with the statutory
framework of both
Since we determine that the victim’s parents were not themselves
“victims” for purposes of
We also observe that appellant was sentenced to two years’ probation
on November 6, 2012. Appellant’s probationary term should have expired
on or about November 6, 2014. When appellant’s probationary period
expired, the trial court lost the authority to impose conditions of probation,
including restitution.
Commonwealth v. Karth
, 994 A.2d 606, 610
(Pa.Super. 2010) (“Once the term of probation expires, so, too, must any
conditions attached thereto.”). As there is no indication that appellant is still
serving her sentence, remand would be pointless.
Cf. Commonwealth v.
Popow
, 844 A.2d 13, 20 (Pa.Super. 2004) (vacating the judgment of
sentence and remanding for resentencing where the trial court improperly
ordered restitution as part of the appellant’s sentence under
For these reasons, we would reverse the order of January 21, 2014, denying appellant’s motion for reconsideration, and vacate that part of appellant’s sentence ordering restitution in the amount of $12,794.50 to the victim’s parents, Joseph and Laura Nave.
Bender, P.J.E., Lazarus and Ott, JJ. join this Opinion in Support of Reversal.
Mundy, J. did not participate in the consideration or decision of this case.
Judgment Entered.
Joseph D. Seletyn, Esq.
Prothonotary
Date: 1/4/2017
Notes
[1] Unfortunately, as explained by Ms. Kerlin from the Office of Victims’ Services, Bryan’s parents would not be entitled to compensation because of his criminal conduct in driving a vehicle while intoxicated. If Bryan had been a passenger, rather than the driver, his parents would be entitled to compensation for funeral expenses under the CVA.
[2] Similarly, the Sentencing Code,