Commonwealth v. Moran, ApltCommonwealth v. Moran, Aplt
Lead Opinion
This appeal by Fred Charles Moran challenges the sufficiency of the evidence in support of his conviction for bribery in official and political matters,
In 2003, appellant was an elected member of the Board of Commissioners of Haverford Township, Delaware County. The board decided to sell a 209-acre parcel of land on which the former Haverford State Mental Hospital was located. Appellant and Commissioner George Twardy comprised the “liaison committee” authorized to negotiate with potential buyers on behalf of the township. The firm of Goldenberg-Pohlig (GP) entered a preliminary sales agreement with the board, pursuant to which GP would pay $30.65 million for 61 acres of the parcel, on which it would develop residential properties and build six ball fields; GP paid a refundable $5 million deposit to the township.
In 2004, appellant and Twardy were removed from the liaison committee. One of their replacements, Commissioner Andrew Lewis, believed the agreement with GP was unworkable; he learned GP intended to develop an additional 15 acres beyond what it paid for, and the ball fields could not be constructed due to steep topography. The board formally rescinded the prior preliminary sales agreement and authorized the continuation of negotiations with GP.
In November, 2005, the parties reached a new agreement; GP would pay $17 million for 38 acres, on which it would develop “age-restricted” condominiums and carriage houses, along with single-family homes. The parties subsequently verbally altered its terms, such that GP would donate an additional $500,000 to the township for construction of a nature center or walking trails on the parcel; in exchange, the condominiums and carriage houses were more loosely designated as “age-targeted” and GP was no longer obligated to construct single-family homes. The board formally approved these new terms and authorized preparation of a written final sales agreement.
On December 19, 2005, the board held a special public meeting to address a looming revenue shortfall for the upcoming year. During the meeting, as Lewis recalled in his trial testimony, appellant proposed accelerating the collection of
The next day, Lewis and appellant had a phone conversation ■with Michael Lawry, a principal with GP. Lewis informed Lawry the board was addressing a budgetary shortfall and told him appellant had a proposal. Appellant then said to Lawry, “[C]all it extortion, call it what you will. We need $500,000, and we’ll accelerate the zoning. We’ll get you the zoning approvals you need and accelerate the process.” Id., at 112. Lewis recalled Lawry asked whether the $500,000 was included in the $17.5 million, and appellant indicated it would be added to the purchase price. See N.T. Trial, 11/20/07, at 93. Lawry responded he was not in a position to answer but would discuss the matter with others at GP and get back in touch with appellant and Lewis. A few minutes later, Lewis called Lawry back and told him, “I want no part of that conversation. Haverford Township is not in the business of selling zoning.” N.T. Trial, 11/19/07, at 113. Lewis testified he called appellant the next day and essentially told him the same thing. Id.
No one from GP took any formal action in response to appellant’s offer, and the parcel’s sale price remained unchanged. The parties did not finalize a contract of sale until April, 2007, which the board formally approved in May, 2007.
In April, 2007, appellant was charged with three counts of bribery, one for each of the three subsections of
(a) Offenses defined. — A person is guilty of bribery, a felony of the third degree, if he offers, confers or agrees to confer upon another, or solicits, accepts or agrees to accept from another:
(1) any pecuniary benefit as consideration for the decision, opinion, recommendation, vote or other exercise of discretion as a public servant, party official or voter by the recipient;
(2) any benefit as consideration for the decision, vote, recommendation or other exercise of official discretion by the recipient in a judicial, administrative or legislative proceeding; or
(3) any benefit as consideration for a violation of a known legal duty as public servant or party official.
At trial, appellant requested the trial court instruct the jury it could convict him only upon proof of the mens rea prescribed in
Following the denial of his post-sentence motions, appellant appealed to the Superior Court, arguing the evidence was insufficient to establish he acted with the intent to gain an unlawful benefit because he would not have received any direct or personal benefit from the $500,000 he solicited from GP and Lawry. Appellant further claimed the trial court abused its discretion in denying his requested jury charge regarding culpability as defined in
The Superior Court rejected appellant’s sufficiency claim and found no abuse of discretion in the trial court’s refusal to instruct the jury in conformity with
Plainly put, no person in public service may solicit a benefit as a quid pro quo for his exercise of the official discretion he holds. Although that prohibition extends, as [appellant] concedes, to those who would enrich themselves, it extends no less to those who, under color of government authority, extract a benefit payable to others.
Moran, at 280 (internal citations omitted). Accordingly, the court concluded appellant’s attempt to secure half a million dollars to enrich the township in exchange for his exercise of official discretion in expediting the zoning approval for GP fell within the ambit of conduct proscribed by
Turning to the issue of culpability, the court noted the level of intent was arguably implicit in the statute; the use of the phrase “solicits, accepts or agrees to accept,” which are inherently volitional terms, indicated culpability “depends upon evidence of a conscious mind, actively engaged in retaining the prohibited benefit.” Id., at 281. The court acknowledged, however, it previously held the bribery statute does not specify the required level of culpability, and therefore,
Based on the language appellant used in the conversation and the circumstances surrounding it, the court further concluded the trial court’s refusal to instruct the jury regarding the applicability of
Judge Kelly dissented from the conclusion that refusal to instruct on
We granted allocatur to address the following issues raised by appellant:
(1) Did the trial judge abuse his discretion in refusing to grant [appellant’s request that the jury be instructed that [appellant] cannot be convicted of bribery unless the Commonwealth proves that [appellant] acted with criminal intent? Could such an error be harmless in a case where the sole issue was whether [appellant] acted with criminal intent?
(2) Was the evidence sufficient to prove beyond a reasonable doubt that [appellant] was guilty of bribery under18 Pa.C.S. § 4701 in the respect that there was inadequate proof that [appellant] acted with criminal intent?
Commonwealth v. Moran,
I. SUFFICIENCY OF EVIDENCE
We will first address the sufficiency of the evidence with respect to the requisite intent under
Appellant posits the Superior Court’s decision will create tremendous uncertainty among governmental officials, as well as entities and individuals with legitimate business interests before governmental bodies, since it allows any discretionary act by officials in exchange for action by an entity or individual, such as having a land
The Commonwealth responds that, under the plain meaning of
The Commonwealth additionally maintains appellant’s position would create an affirmative “public servant” defense to the crime of bribery, exempting public officials if the value they want in return for their action benefits a political entity or the public. The Commonwealth argues such a defense would contravene the purpose of the statute, which it perceives as the prohibition of “ ‘selling political endorsement or special influence.’ ” Id., at 27 (emphasis omitted) (quoting
Finally, the Commonwealth rejects the notion that appellant should be excused simply because he subjectively believed he was acting only to promote the township’s best interests. The Commonwealth contends
In his reply brief, appellant disputes the Commonwealth’s assertion that a conviction for bribery is proper where the benefits sought are for the public and not an individual. Appellant notes the legislature exempted from § 4501’s definition of benefit “ ‘advantages [sic] promised generally to a group or class of voters as a consequence of public measures which a candidate engages to support or oppose.’ ” Appellant’s Reply Brief, at 10 (quoting
Appellant’s sufficiency challenge is comprised of two basic claims: (1) he lacked the criminal intent required by § 4701 to be convicted of bribery since he did not act
Disposition of appellant’s claims requires us to interpret
Turning to appellant’s claim that the Commonwealth was required to prove he acted with a corrupt motive, we find no such requirement in § 4701’s language. As previously noted, see n. 6, supra, § 4701 almost entirely mirrors MPC § 240.1; thus, we consider the official comments to § 240.1, which had existed for nearly a decade at the time the legislature drafted § 4701. See
The early version of § 240.1 originally defined bribery as the purposeful attempt to “influence corruptly” a public official. MPC § 208.10(l)(a) (Tentative Draft No. 8 1958). However, the comments to the final version of § 240.1 indicate the term “corruptly” was not included in the final version because the drafters believed this would obscure the section’s scope of coverage — for example, by incorrectly suggesting one who justifies his conduct by claiming he only sought to counter opposing offers or to influence an official into making the right decision would not be guilty of bribery. See MPC § 240.1 cmt. at 196 (Proposed Official Draft 1962). Thus, because our General Assembly chose to adopt the MPC’s formulation of bribery, which specifically deleted the limiting term “corruptly,” we may presume the legislature endorsed the MPC’s dispensation with the requirement of corrupt motive as an element of bribery. Since the legislature has chosen not to include such requirement, we will not rewrite § 4701 to supply it. See Commonwealth v. Mazzetti,
Regarding appellant’s contention that he did not solicit a pecuniary or other benefit within the meaning of
Here, the question is whether the township is an “entity in whose welfare [appellant] is interested[.]”
In examining § 4701’s background, we find its official comment to be of particular significance. The comment establishes the General Assembly deliberately expanded the scope of the definition of benefit beyond conduct proscribed by § 4701’s predecessor statute,
There could be no clearer indication of legislative intent: the conduct
We emphasize our holding applies only to situations where a public servant seeks or receives a benefit on behalf of a governmental entity from a third party in exchange for the promise to exercise special influence in the governmental process. We do not read
Public servants may negotiate for a higher sales price for an asset owned by the governmental entity, or negotiate restrictions or conditions on the use of public property being sold. They may seek, during the ordinary course of the zoning process, to reserve or acquire property for uses they deem beneficial to the public they represent.
Applying these concepts to the instant matter, we conclude it was reasonable for the jury to find appellant’s conduct in soliciting the extra $500,000 from GP was not merely a continuation of the negotiation process or a savvy attempt to drive a hard bargain. Rather, this was a specific promise of preferential treatment to GP in the zoning process, in exchange for half a million dollars in excess of the purchase price. Clearly, the jury was warranted in finding this was an offer to sell a specific zoning process and outcome in exchange for a payment of money to the governmental body,
II. TRIAL COURT’S REFUSAL TO CHARGE JURY ON CRIMINAL INTENT
A. Applicability of
We turn to appellant’s claim the trial court should have charged the jury that
The Commonwealth argues
To determine the propriety of the trial court’s jury instruction, we must address the threshold issue of whether a mens rea is required by
Although
Regarding the level of mens rea required to sustain a conviction under
The purpose of this section is to clearly define the various mental states upon which criminal liability is to be based. Under existing law the words “wilfully” or “maliciously” are used in many cases.However, these words have no settled meaning. In some instances there is no expressed requirement concerning the existence of mens rea. These defects in existing law are remedied by this section which sets forth and defines the culpability requirements and eliminates the obscurity of the terms “malice” and “wilful.”
Thus,
Because
B. Harmless error
Having determined the trial court erred in its refusal to instruct the jury regarding the applicable mens rea, we must address whether such error was harmless. See Commonwealth v. Bullock,
Here, the trial court’s jury charge tracked the language of
Thus, the jury was advised appellant had to have acted intentionally to be convicted. Although the jury twice asked for the trial court to repeat its instruction, the reasons therefore are but speculation. There was nothing in the instructions given that could have led the jury to convict appellant of bribery on the basis of strict liability; all of the scenarios described as sufficient by the trial court required appellant to have acted with conscious objective toward each element of the statute, which elements we reiterate do not include a personal motive. See n. 2, supra. Therefore, under these circumstances where the jury was not given the misimpression that
Order affirmed; jurisdiction relinquished.
Notes
. Specifically,
. The trial court charged the jury:
Ladies and gentlemen, you’ve been told here, and told again, that the Defendant, Fred Moran, has been charged with Bribery. In order to find him guilty of this offense[,] you must find the elements have been proven beyond a reasonable doubt. First, that the Defendant solicited from Michael Lawry the sum of $500,000 as additional payment for the purchase of township real estate, and also that the money was solicited as consideration for the decision, opinion or recommendation, vote or exercise of discretion in land or zoning approvals of the Defendant as a public servant. That [sic] is a Haverford Township commissioner. Or, also, the Defendant solicit[ed] from Michael Lawry the sum of $500,000 as additional payment for the purchase of township real estate, and also that the money was solicited as consideration for the decision, vote, recommendation, exercise of official discretion in land development and/or zoning approvals of the Defendant, the administration [sic] or a legislative proceeding. Or also the Defendant solicited from Michael Lawry the sum of $500,000 as additional payment for the purchase of real estate, and that the money was solicited as consideration for a violation by the Defendant of the known legal duty as a public servant. Specifically, a Haverford Township commissioner. Under Pennsylvania law, a Haverford Township commissioner has a duty to faithfully discharge the duties of this office, and to refrain from receiving, directly or indirectly, any money or other value [sic] thing in the performance or nonperformance of any act or duty. The term benefits means a gain, or advantage or anything regarded by the Defendant as gain or advantage. The benefit did [not] have to be a direct benefit to the Defendant. The term benefit includes a benefit to any other person, political party or entity in whose welfare the Defendant was interested. The term public servant includes any Haverford Township commissioner. Public proceedings and votes on resolutions and ordinances concerning land development and zoning are conducted by the Haverford Township Board of Commissioners, and are there for [sic] administrative and legislative proceedings. If[,] after considering all of the evidence^] you are satisfied that the elements of Bribery have been proven beyond a reasonable doubt, then you should find the Defendant guilty of Bribery. Otherwise, you must find the Defendant not guilty of this charge.
N.T. Trial, 11/20/07, at 236-39.
.
.
. On appeal to this Court, the Superior Court’s decision was affirmed by an evenly divided Court. Commonwealth v. Parmar,
. See
. Although in this portion of its brief, the Commonwealth seemingly endorses the Superior Court’s view, expressed in Parmar, that § 4701 incorporates the default culpability requirement of § 302(c), this position is at odds with its argument, infra, which rejects the incorporation of § 302(c)'s default culpability requirements into § 4701.
. The Pennsylvania Intergovernmental Risk Management Association and the Pennsylvania State Association of Boroughs (amici) have filed an amicus brief on behalf of appellant, challenging the Superior Court's statement that " 'no person in public service may solicit a benefit as a quid pro quo for his exercise of the official discretion he holds.’ ” Amicus Brief, at 13 (quoting Moran, at 280). Amici contend this is an overly broad interpretation of § 4701, and echo appellant’s claim this violates the principle of strict construction of criminal statutes. Amici further contend that, if the Superior Court’s decision is left to stand, it “would improperly criminalize legitimate negotiation, deliberation and decision-making by local governmental officials.” Id. They argue the term "interested” as used in § 4501’s definition of benefit — "any other person or entity in whose welfare [the beneficiary] is interested”— should be construed to mean a benefit provided to third parties or businesses in which a public official or a member of the official’s family has an interest. They contend this interpretation is consonant with the definition of "conflict of interest” contained in the State Ethics Act, see
Amici also discuss general due process principles, noting a criminal statute that is not sufficiently definite in its terms and does not give persons of ordinary intelligence fair warning may be void for vagueness; amici seemingly suggest the Superior Court's interpretation of the bribery statute may implicate these concerns. Appellant alludes to this concern as well. See Appellant's Reply Brief, at 13. However, since appellant failed to raise any constitutional challenge to § 4701 below, we will not address such constitutional questions. See
. Appellant’s argument that he lacked corrupt motive loses much of its force when one considers his comment during the conversation— ”[C]alI it extortion, call it what you will.” N.T. Trial, 11/19/07, at 112. A public official's offer to trade special treatment for money may be considered inherently corrupt, and appellant’s words bespeak clear awareness of the extortionate nature of his solicitation. These words also evoke the unspoken other side of the coin — the undeniable implication that if the party solicited does not pay, there will be no zoning approval, much less an accelerated process.
. See, e.g., MPC § 240.1 revised cmt. at 24, 26 (1980) (explaining "benefit” is defined comprehensively in order to "reach every kind of offer to influence official or political action by extraneous incentives [such as] an offer to admit the child of a judge to a particular school, college, or private club in exchange for favorable action on a case[,]” and further explaining an offer of money to a wife or relative of a public official is punished "on the same terms as ... an offer directly to that official”).
. The former bribery statute prohibited the payment, delivery, or alienation of any “money, goods or other thing” to a class of enumerated government officials: "any member of the General Assembly, or any officer or employe of this Commonwealth, or of any political subdivision thereof, or any judge, juror, justice, referee or arbitrator^]” Id.
. We reject amici's contention that the description of "benefit” found in the State Ethics Act's definition of "conflict of interest” is controlling. See
. Section 4701(b) provides, "It is no defense to prosecution under this section that a person whom the actor sought to influence was not qualified to act in the desired way whether because he had not yet assumed office, had left office, or lacked jurisdiction, or for any other reason.”
. Furthermore, the explanatory note to § 2.02(3) of the MPC, on which § 302(c) is based, see id. (“This section is derived from Section 2.02 of the Model Penal Code.”), provides when the General Assembly intends intent, knowledge, or recklessness to suffice for the establishment of culpability for a particular offense, "the draftsmen need make no provision for culpability; it will be supplied by this subsection.” MPC § 2.02 explanatory note (2001). Accordingly, the legislature’s refraining from providing an express culpability requirement in § 4701 indicates its intent that § 302(c)'s default mens rea apply.
. It is true that only a plurality of this Court in Parmar concluded § 302(c) provides the mens rea for § 4701. Three Justices would have affirmed the Superior Court (Justice Newman, then-Chief Justice Flaherty, and then-Justice Castille). The three Justices in (continued ...) support of reversal (Justices Zappala, Cappy, and Nigro) expressed no opinion regarding the applicability of § 302(c), as the main question in Parmar was whether the Commonwealth could prosecute a public official under § 4701, a general statute, instead of under the specific provisions of the State Adverse Interest Act and State Ethics Act. Therefore, while Parmar is not controlling, it is instructive. As this Court was evenly divided in Parmar, the Superior Court’s decision was affirmed, holding § 302(c) supplied the culpability level for § 4701; therefore, at the time of appellant's trial, § 302(c) was the applicable mens rea, and the jury should have been so instructed.
Concurrence Opinion
concurring.
I join Part I of the Majority Opinion because I agree the evidence was sufficient as a matter of law to establish beyond a reasonable doubt that Appellant’s conduct of soliciting from the representative of the developer — Michael Lawry — a $500,000 increase in the purchase price of the parcel owned by Haverford Township in exchange for Appellant’s promise to expedite the zoning approval process and to get Lawry the zoning approvals that he needed, constituted an unlawful solicitation of a pecuniary benefit for an entity in whose welfare Appellant was interested — the Township — within the meaning of
Regarding Part II.A of the Majority Opinion, I also agree with the majority that Section 4701 is not a strict liability statute, as there is no evidence the legislature intended it to operate in such a fashion; however, I cannot join the majority’s conclusion that the default culpability requirements of
Our holding in Ludwig, considered in conjunction with the official comment to
In relevant part, under Section 4701, a public servant is guilty of bribery if he “offers, confers or agrees to confer upon another, or solicits, accepts or agrees to accept from another” a benefit “as consideration for” his official decision, the exercise of his official discretion, or a violation of a duty.
Significantly, the official comments to Section 240.1 of the Model Penal Code (“MPC”), upon which Section 4701 is based, support the proposition that Section 4701 was intended to criminalize only intentional acts.
Because, in my view, Section 4701 requires intentional conduct, I consider it error for the trial court not to have expressly instructed the jury that Section 4701 includes a mens rea of intentional conduct, and, also, in failing to define for the jury what constitutes intentional conduct. Whenever the language of a criminal statute requires a defendant to have committed an intentional or voluntary act in order to be convicted, it is error not to provide the jury with an explanation of what constitutes criminal intent. See, e.g., Commonwealth v. Mason,
Nevertheless, I join Part II.B of the Majority Opinion because I agree the Commonwealth has demonstrated, beyond a reasonable doubt, that the trial court’s error did not alter the outcome of Appellant’s trial, inasmuch as the record, which includes Appellant’s own characterization of the actions he was taking as extortion, contains overwhelming evidence that Appellant’s statements to Lawry in December 2005 were undertaken with criminal intent, i.e., that he made them knowingly, and for the specific purpose of extracting an additional $500,000 from the developer in exchange for his seeing to it that the Township’s zoning process was expedited.
. "Confer” at the time of the legislature’s enactment of Section 4701 in 1972 meant: “to grant or bestow.” Webster’s Third New Int’l Dictionary 475 (1971). "Agree” meant: “to indicate willingness” or "consent.” Id. at 43. "Solicit” meant: “to move to action” or "to strongly urge.” Id. at 2169. "Accept” meant: "to receive with consent” (something given or offered). Id. at 10. "In consideration of” meant "as payment or recompense for.” Id. at 484.
. As the majority notes, Section 4701 almost entirely mirrors MPC § 240.1; thus, the official comments authored by the drafters of the MPC may be considered in interpreting Section 4701, since they had been in existence for nearly a decade at the time our General Assembly enacted Section 4701. See
Concurrence Opinion
concurring and dissenting.
I agree with the Majority’s holding that the evidence was sufficient under the bribery provision of the Crimes Code,
We have explained that “there is a long-standing tradition, which is reflected in the plain language of
As we have explained, “when reviewing the adequacy of a jury instruction, we must consider the charge in its entirety to determine if it is fair and complete. The trial court has broad discretion in phrasing the charge and the instruction will not be
The trial court’s instruction in this case mirrored the language of
. “Bribery in official and political matters” is defined in relevant part as follows:
(a) Offenses defined. — A person is guilty of bribery, a felony of the third degree, if he offers, confers or agrees to confer upon another, or solicits, accepts or agrees to accept from another:
(1) any pecuniary benefit as consideration for the decision, opinion, recommendation, vote or other exercise of discretion as a public servant, party official or voter by the recipient;
(2) any benefit as consideration for the decision, vote, recommendation or other exercise of official discretion by the recipient in a judicial, administrative or legislative proceeding; or
(3) any benefit as consideration for a violation of a known legal duty as public servant or party official.
. This default culpability provision provides, in relevant part:
(c) Culpability required unless otherwise provided. — When the culpability sufficient to establish a material element of an offense is not prescribed by law, such element is established if a person acts intentionally, knowingly or recklessly with respect thereto.
.
A person acts recklessly with respect to a material element of an offense when he consciously disregards a substantial and unjustifiable risk that the material element exists or will result from his conduct. The risk must be of such a nature and degree that, considering the nature and intent of the actor's conduct and the circumstances known to him, its disregard involves a gross deviation from the standard of conduct that a reasonable person would observe in the actor's situation.