COMMONWEALTH OF PENNSYLVANIA v. JOSHUA WARDLAW
No. 15 WAP 2020
IN THE SUPREME COURT OF PENNSYLVANIA WESTERN DISTRICT
DECIDED: APRIL 29, 2021
[J-87-2020] [MO: Wecht, J.] ARGUED: October 21, 2020
Appeal from the Order of the Superior Court entered December 12, 2019 at No. 1716 WDA 2018, quashing the appeal from Order of the Court of Common Pleas of Allegheny County entered November 5, 2018 at No. CP-02-CR-0013708-2016
DISSENTING OPINION
JUSTICE DONOHUE
My learned colleagues in the Majority present a compelling argument that the term “awarded” usually contemplates a benefit conferred upon request. But that usage is by no means universal as the term is readily understood to encompass something that the recipient neither wanted nor requested. In context of this dispute, where the trial court ordered a mistrial based on the jury‘s acquittal of the attempted
I.
As the Majority explains, neither party has offered a textual analysis of the plain language. For ease of reference, I reproduce the relevant text.
(a) General rule.--An appeal may be taken as of right and without reference to
Pa.R.A.P. 341(c) from:. . . .
(6) New trials.--An order in a civil action or proceeding awarding a new trial, or an order in a criminal proceeding awarding a new trial where the defendant claims that the proper disposition of the matter would be an absolute discharge or where the Commonwealth claims that the trial court committed an error of law.
The Majority observes that
is triggered only upon an “award” [and] the question becomes whether the rule applies only to those orders that fulfill a specific request by a party for a new trial or whether a sua sponte declaration of a mistrial, where there is no specific request by a party, also constitutes an order “awarding” a new trial.
. . . .
Per Black‘s Law Dictionary, the verb “award” means “[t]o grant by formal process or by judicial decree.” Award, BLACK‘S LAW DICTIONARY (11th ed. 2019). Thus, “award” ordinarily is synonymous with the verb “grant,” but only to the extent that these two words logically overlap. “Grant” most often means “[t]o permit or agree to [or] to approve, warrant, or order.” Grant, BLACK‘S LAW DICTIONARY (11th ed. 2019). Typically, “award” is a ditransitive verb; it indicates that the subject acts upon an object and that another object benefits from the action. In
Rule 311(a)(6) , “an order” is the subject; “a new trial” is the direct object; and a party to the action is the implied indirect object that receives the benefit of the action. Accordingly, only those definitions of “grant” that contemplate such a beneficiary relationship also serve to define “award.”
Majority Op. at 7-9 (footnote omitted).
This analysis effectively ignores the Rule‘s prefatory language. We could just as easily say that the sentence at issue is: “An appeal may be taken as of right ... from an order in a criminal proceeding awarding a new trial[.]” Thus, “appeal” is the subject, “taken” is the verb, and the orders appealed from are the direct objects, i.e., the orders that qualify for an appeal as of right.
Accordingly, I do not find it helpful to view this issue in syntactical terms.1 And “award” can clearly function as both verb and noun. For the latter usage, there is an
Furthermore, the everyday meaning of “awarding” is not limited to something conferred only upon request. As a matter of common parlance, a person can be “awarded” something they do not want. For example, the Nobel Prize website states, “Jean-Paul Sartre, awarded the 1964 Nobel Prize in Literature, declined the prize because he had consistently declined all official honours.”2 The organization lists another recipient who declined the prize: “Le Duc Tho, awarded the 1973 Nobel Peace Prize jointly with US Secretary of State Henry Kissinger.” As these examples show, it is readily understood that something can be “awarded” notwithstanding the fact that the recipients did not want it, did not request it, and refuse to accept it. That awards can be conferred (or “awarded“) posthumously further demonstrates the point that someone can be “awarded” something without any input whatsoever from the recipient. Therefore, awards may be given based purely on circumstances as decided by the entity with the power to award. The new trial awarded here falls into that category: it resulted from the trial judge‘s power to do so, based on his own opinion, and without reference to what the participants wanted.3
Thus, I conclude that the language “an order in a criminal proceeding awarding a new trial” when read in conjunction with the prefatory language is ambiguous.5 It is susceptible to the construction employed by the Majority and it is likewise amenable to the construction that the trial court “awarded” a new trial notwithstanding the fact Wardlaw did not want it and tried to refuse it. Snyder Bros., Inc. v. Pa. Pub. Util. Comm‘n, 198 A.3d 1056, 1073 (Pa. 2018) (“If a statutory term, when read in context with the overall statutory framework in which it appears, has at least two reasonable interpretations, then the term is ambiguous.“). I would therefore hold that
II.
Having concluded that the term is ambiguous, other considerations must be taken into account to determine the intent of the Rule. As with statutes enacted by the
- The occasion and necessity for the statute.
- The circumstances under which it was enacted.
- The mischief to be remedied.
- The object to be attained.
- The former law, if any, including other statutes upon the same or similar subjects.
- The consequences of a particular interpretation.
- The contemporaneous legislative history.
- Legislative and administrative interpretations of such statute.
The occasion and necessity for the operative language, as well as the mischief to be remedied, are particularly apt considerations. The two are linked because, absent proceeding to the merits of his appeal, the Commonwealth will be permitted to retry Wardlaw even if it failed to present sufficient evidence during the first trial. As the Majority recognizes, that is what
This policy goal is evident in the history of
I agree with Wardlaw and the Commonwealth that Liddick is instructive. In that case, Liddick was found guilty of murder. Following post-trial motions, the court granted Liddick‘s motion for a new trial but denied his motion seeking arrest of judgment. Cross appeals were taken. We refused the Commonwealth‘s request to quash Liddick‘s appeal from the denial of his motion in arrest of judgment.
The Majority distinguishes the case by noting that Liddick requested a new trial. However, that point would appear to be of limited relevance because Liddick was not appealing the order awarding him a new trial but rather was appealing the court‘s failure to grant his request for total discharge. The Commonwealth separately appealed from the order granting a new trial, which it is permitted to do per
The Commonwealth seeks to have defendant‘s appeal quashed on the basis that, new trial having been granted and hence judgment of sentence not yet having been entered, the order below is interlocutory and non-appealable. ... ‘(t)o require such a defendant to stand trial again, if the already completed trial demonstrates his innocence, is a needless hardship.’ That observation is particularly apt in this situation where the case is already before us because of the Commonwealth‘s cross appeal.
Liddick, 370 A.2d at 731 n.2 (citation omitted).
Our reference to ameliorating the potential “needless hardship” caused by subjecting a defendant to a second trial as being “particularly apt” because the case was already before the Court suggests that Liddick would have otherwise been entitled to an appeal. The Commonwealth‘s separate appeal was simply an additional reason to review Liddick‘s claims beyond the “needless hardship,” which itself constituted a sufficient reason to consider the merits of the appeal.
But even setting that point aside, the Majority does not dispute that the mischief to be remedied is ensuring that a defendant is not forced to go through another trial when he or she contends that discharge is warranted. “Undeniably, Liddick and Chenet support the proposition that
Second, the Majority claims that
However, as the Majority recognizes elsewhere, the United States Supreme Court has held that a double jeopardy claim does not exist where the prosecution fails to present sufficient evidence at the first trial; more precisely, the jury‘s inability to reach a verdict is deemed a “nonevent” because it is impossible to determine why the jury could not reach a verdict. In Richardson v. United States, 468 U.S. 317 (1984), the Court related the procedural history as follows:
The jury trying petitioner acquitted him of one of several counts, but was unable to agree as to the others. The District Court declared a mistrial as to these counts of the indictment and set them down for retrial. Petitioner moved to bar his retrial, claiming that a second trial would violate the Double Jeopardy Clause of the Fifth Amendment because evidence sufficient to convict on the remaining counts had not been presented by the Government at the first trial.
The high Court first held that under the relevant statute,
It follows logically from our holding today that claims of double jeopardy such as petitioner‘s are no longer “colorable” double jeopardy claims which may be appealed before final judgment. A colorable claim, of course, presupposes that there is some possible validity to a claim. Since no set of facts will support the assertion of a claim of double jeopardy like petitioner‘s in the future, there is no possibility that a defendant‘s double jeopardy rights will be violated by a new trial, and there is little need to interpose the delay of appellate review before a second trial can begin.
Id. at 326 n.6 (citations omitted, emphasis added).
Thus, Richardson had a “colorable” double jeopardy claim only because there was not a definitive high Court ruling on the legal question. But post-Richardson, a claim that the prosecution failed to present sufficient evidence is not a colorable claim because the prosecution‘s failure to present sufficient evidence does not violate double jeopardy. As the high Court has stated in another case, a jury‘s failure to reach a verdict is deemed a “nonevent.” See Yeager v. United States, 557 U.S. 110, 120 (2009) (“[F]or double jeopardy purposes, the jury‘s inability to reach a verdict on the insider trading counts was a nonevent[.]“). How, then, can Wardlaw invoke
The answer is that he cannot.9 Thus, in discerning the drafters’ intent in authorizing
[J-87-2020] [MO: Wecht, J.] - 14
