Arthur W. HUNT, Appellee v. PENNSYLVANIA STATE POLICE OF the COMMONWEALTH of Pennsylvania, Appellant. Arthur W. Hunt, Cross Appellant v. Pennsylvania State Police of the Commonwealth of Pennsylvania, Appellee.
No. 40 MAP 2007, No. 46 MAP 2007
Supreme Court of Pennsylvania.
Argued Dec. 3, 2008. Decided Aug. 17, 2009.
983 A.2d 627
William Dudeck, Esq., Eastburn and Gray, P.C., Doylestown, for Arthur W. Hunt, Appellee (No. 40 MAP 2007).
William Dudeck, Esq., Eastburn and Gray, P.C., Doylestown, for Arthur W. Hunt, Appellant (No. 46 MAP 2007).
Barbara L. Christie, Esq., Joanna Reynolds, Esq., Harrisburg, for State Police of the Commonwealth, Appellee (No. 46 MAP 2007).
CASTILLE, C.J., and SAYLOR, EAKIN, BAER, TODD, McCAFFERY and GREENSPAN, JJ.
OPINION
Justice TODD.
In this direct appeal, we consider, inter alia, whether Appellant/Cross-Appellee Pennsylvania State Police (“State Police“) has standing to challenge, via preliminary objections raised in a mandamus action, the merits of a trial court‘s order requiring the expungement of a criminal record pursuant to the Criminal History Record Information Act (“CHRIA or ‘Act‘“).1 For the reasons that follow, we find the State Police lacks standing, and, thus, affirm in part the order of the Commonwealth Court. As described below, we also remand the matter for further proceedings consistent with this opinion.
The facts underlying this appeal are as follows. On May 22, 2006, Appellee/Cross-Appellant Arthur W. Hunt (“Hunt“) petitioned the Court of Common Pleas of Bucks County to expunge his criminal record.2 Thirty years earlier, in 1976,
The State Police refused to comply with the trial court‘s order. Rather, it requested the Bucks County District Attorney to file a motion to vacate the trial court‘s order nunc pro tunc. According to the State Police, the trial court‘s order was illegal and in violation of Section 9122(b.1) of CHRIA.
By order dated October 19, 2006, however, the Court of Common Pleas of Bucks County rescinded its prior order and again entered an order directing expungement. The trial
On January 30, 2007, as a result of the State Police‘s second refusal to comply with the trial court‘s order to expunge his criminal record, Hunt filed a Petition for Review in the original jurisdiction of the Commonwealth Court, both under CHRIA and in the nature of mandamus, to compel expungement. Specifically, Hunt requested: an order directing the State Police to comply with the trial court‘s expungement order; actual and real damages; reasonable costs of litigation; counsel fees; and exemplary and punitive damages. Petition for Review at 5. In the alternative, Hunt requested a writ in mandamus compelling expungement. Petition for Review at 6. The same day, Hunt filed an Application for Summary Judgment in which he asserted the State Police “has no standing to object to, let alone willfully and repeatedly disobey, an order of expungement of an arrest record.” Application for Summary Relief at 2.
On March 1, 2007, the State Police filed preliminary objections, claiming Hunt‘s Petition for Review failed to state a claim upon which relief could be granted. Specifically, the State Police contended it could not comply with the trial court‘s order, as Section 9122(b.1) precluded expungement and the trial court erroneously concluded this provision was not retroactive to prohibit expungement of offenses prior to its effective date. The State Police also alleged that, when Hunt completed ARD in 1976, there was no automatic entitlement to expungement of one‘s criminal record. According to the State Police, as there was no clear right to expungement, there was no corresponding duty for the State Police to expunge Hunt‘s criminal record.
The Commonwealth Court, by Judge Dan Pellegrini, filed an unpublished single judge order and opinion, concluding the State Police lacked standing to contest the expungement order. Thus, the court overruled the State Police‘s prelimi-
Specifically, Judge Pellegrini reasoned our recent decision in J.H. v. Commonwealth, 563 Pa. 248, 759 A.2d 1269 (2000), was dispositive. Noting J.H. involved a virtually identical factual scenario concerning the State Police‘s refusal to expunge a criminal record, Judge Pellegrini found the law clear that, because the General Assembly did not confer standing on the State Police, and because the State Police was a mere depository of criminal records that it received from reporting agencies, the State Police did not have standing to contest the trial court‘s expungement order. Based upon this binding precedent, Judge Pellegrini ordered the State Police to comply with the trial court‘s October 19, 2006 order.
As Judge Pellegrini found the law to be plain, and the State Police “obdurately refused to comply with the trial court‘s order,” Commonwealth Court Op. at 5, he awarded Hunt $6,069 in counsel fees, noting the State Police did not actively oppose the award to such fees as it was apparently “interested in having a vehicle for the Supreme Court to reconsider J.H.” Id. at 5 n. 4. The court, however, denied Hunt‘s request for an award of punitive damages, concluding the Commonwealth was not subject to such damages.
The State Police appealed the Commonwealth Court‘s decision, raising the issue of whether the Commonwealth Court erred when it concluded the State Police lacked standing to contest the expungement of a criminal record in the context of a mandamus action.7 State Police Brief at 4. The State Police also asks the related question of whether the Commonwealth Court erred when it implicitly held the State Police violated CHRIA when it refused to comply with the order directing the
Initially, we note our Court is reviewing the Commonwealth Court‘s denial of the State Police‘s preliminary objections and the granting of Hunt‘s motion for summary relief in the context of a mandamus action. Appellate review of the denial of preliminary objections is limited to a determination of whether there was an error of law. Mazur v. Trinity Area Sch. Dist., 599 Pa. 232, 239, 961 A.2d 96, 101 (2008). Similarly, the granting of summary judgment is reviewed by an appellate court for errors of law or an abuse of discretion. Atcovitz v. Gulph Mills Tennis Club, Inc., 571 Pa. 580, 585, 812 A.2d 1218, 1221 (2002). As the issues of standing and the award of damages against the Commonwealth are all questions of law, for each issue, our standard of review is de novo, and our scope of review is plenary. In re Hickson, 573 Pa. 127, 134, 821 A.2d 1238, 1242 (2003); accord Feingold v. SEPTA, 512 Pa. 567, 517 A.2d 1270 (1986).
We begin with the threshold issue of whether the State Police has standing to challenge, via preliminary objections in a mandamus action, the merits of an order expunging a criminal record.9 As our analysis involves interpreting
The objective of all interpretation and construction of statutes is to ascertain and effectuate the intention of the legislature.
With these principles in mind, we turn to the arguments of the parties. The State Police contends it has standing to contest the trial court‘s expungement order because this matter arises from a petition in mandamus filed by one seeking enforcement of an expungement order, whereas J.H., relied on by the Commonwealth Court, arose in the context of a motion to compel. Specifically, the State Police offers that, in J.H., the appeal arose from a motion to compel filed before the trial court. Here, the matter arose as a result of a petition for review in mandamus, filed in the original jurisdiction of the Commonwealth Court. Citing Fajohn v. Commonwealth, 547 Pa. 649, 692 A.2d 1067 (1997), the State Police contends mandamus is not available to compel an agency to engage in an illegal act. According to the State Police, the order directing expungement is without legal authority, and, thus,
Additionally, the State Police maintains it has standing because it has been aggrieved by an action or order. According to the State Police, in its role as the keeper of records, it would be prevented from retaining the record of a sexual offender whose victims were minors. The State Police further explains Hunt could commit other offenses against minors, and seek ARD to which, according to the State Police, he would not be entitled. Also, since there would be no record of his previous crimes, the State Police would be harmed by not being able to investigate future crimes committed by Hunt. Furthermore, the State Police contends, because Hunt‘s expungement involves “more serious sexual offenses within the context of duties placed on the state police in its recordkeeping and investigative capacity,” that it is distinguishable from the situation in J.H. in which expungement concerned a summary conviction. State Police Brief at 16. Finally, the State Police asserts standing should be granted because it is aggrieved by the Commonwealth Court‘s order imposing attorney‘s fees.
Hunt retorts the State Police does not have standing to contest the validity of the trial court‘s expungement order. Specifically, Hunt offers our decision in J.H., which stands for the proposition that the State Police does not have standing to contest the validity of an underlying expungement order, is
By way of background, in Pennsylvania, expungement is governed by statute. CHRIA sets forth the process by which a person may expunge his or her criminal history record.
With respect to the State Police‘s standing, as the words employed in a statute are the clearest indication of the legislature‘s intention, we first direct our attention to the language of the CHRIA. The statute itself confers standing on the district attorneys of the various counties for purposes of expungement, but does not confer standing on the State Police:
The court shall give ten days prior notice to the district attorney of the county where the original charge was filed of any applications for expungement under the provisions of subsection (a)(2) [relating to a court order requiring expungement of nonconviction data].
Related thereto, the General Assembly requires notice to be provided to the State Police only after an expungement has been granted.
Specifically, in J.H., the Court of Common Pleas of Montgomery County addressed J.H.‘s application to expunge his criminal record for a summary offense. The Commonwealth was represented by the district attorney‘s office in the proceedings that followed. The trial court granted the application, and all agencies complied with the expungement order except the State Police. J.H. petitioned the trial court for an order to compel expungement. The court issued a rule to show cause to the district attorney and the State Police as to why the petition to compel should not be granted. The district attorney joined in J.H.‘s petition. Thereafter, the trial court entered an order to compel expungement and the State Police appealed to the Superior Court. The Superior Court reversed the order compelling expungement and remanded.
On appeal, our Court reversed and held the State Police was without standing to contest an underlying expungement order. Initially, the Court engaged in an analysis similar to that above, recognizing the notice provision of CHRIA required prior notification only to the district attorney of the county where the original charge was filed. We concluded “as the Act does not require notification of the State Police until after an expungement order has been entered, standing does not derive from the statute.” Id. at 251, 759 A.2d at 1270. Furthermore, as CHRIA defined and described expungement, we rejected “the State Police‘s assertion that compliance with the expungement order would cause it to fail in its statutory mandate to provide complete and accurate records.” Id.12
Importantly for purposes of this appeal, we acknowledged that the procedural underpinnings of the matters in Bucks County and J.H. were distinct. In Bucks County, the appeal arose as a result of the State Police filing a petition for review, to avoid a contempt proceeding on the basis that it believed its duties under CHRIA precluded it from complying with the expungement order, and seeking a declaration that the trial court had no power to issue an order requiring the State Police to expunge certain records and that the order was not enforceable. The court in Bucks County held that the State Police lacked standing to object to an expungement request. Bucks County, 150 Pa.Cmwlth. at 340, 615 A.2d at 947. Conversely, in J.H., the appeal arose from J.H. having to file a petition to compel expungement. Nevertheless, our Court rejected this basis for standing, holding “standing is not conferred via a party‘s relationship to the proceedings.” Id. at 253, 759 at 1271.
We find J.H. to be dispositive of the question of State Police standing, and we reaffirm our holding in J.H. that the State Police has no standing to challenge the merits of an order expunging a criminal record.13 Specifically, as noted above, CHRIA provides standing to the district attorney but does not do so for the State Police. Furthermore, the State Police is simply not aggrieved as its duties under the Act are of a ministerial nature as the central repository. Additionally, the General Assembly, in its wisdom, has provided for the interests of the Commonwealth to be protected by the district attorney and the Attorney General‘s office. We have every confidence that these entities envisioned by the General Assembly to be participants in the expungement proceedings are well-equipped for the task of protecting our citizenry.
Related thereto, the State Police contends that it should not be forced to comply with an order it believes is illegal, and, through mandamus, that it may challenge the legality of the expungement order. According to the State Police, Fajohn stands for the proposition “that governmental entities may refuse to follow court orders when such orders are illegal, regardless of the mechanism by which the issue is raised, especially when the respondent-agency is not the petitioning party.” State Police Reply Brief at 1.
In Fajohn, Dominic Fajohn brought an action in mandamus to compel the Department of Corrections to apply credit for a certain period of time in the imposition of his sentence. The Department of Corrections refused to apply credit on the grounds that it violated
The State Police‘s reliance upon Fajohn is misplaced. First, unlike in this appeal, the issue of a governmental
Finally, the State Police‘s policy arguments—that not only could Hunt commit other offenses against minors, and, since there would be no record of his previous crimes, seek ARD, to which, according to the State Police, he would not be entitled; that the State Police‘s investigatory efforts could be hampered; and that Hunt‘s expungement involves serious sexual
Our conclusion that the State Police lacks standing in matters of expungement is supported by the presumption that our construction of a statute reflects the intent of the legislature when the General Assembly revisits a statutory provision, but does not amend the statute in a manner contrary to our Court‘s view.
Certainly, there are legitimate and necessary exceptions to the principle of stare decisis. But for purposes of stability and predictability that are essential to the rule of law, the forceful inclination of courts should favor adherence to the general rule of abiding by that which has been settled. Moreover, stare decisis has “special force” in matters of statutory, as opposed to constitutional, construction, because in the statutory arena the legislative body is free to correct any errant interpretation of its intentions, whereas, on matters of constitutional dimension, the tripartite design of government calls for the courts to have the final word.
Shambach v. Bickhart, 577 Pa. 384, 405-06, 845 A.2d 793, 807 (2004) (Saylor, J. concurring) (citations omitted). Therefore, the statutory language contained in CHRIA, presumptions found in the Statutory Construction Act, and the bedrock jurisprudential doctrine of stare decisis all counsel toward our reaffirming the continued vitality of our decision in J.H., and holding that the State Police lacks standing to challenge the underlying merits of an expungement order through preliminary objections raised in a mandamus action.
As we find the State Police does not have standing to challenge the legality of Hunt‘s expungement order through preliminary objections, we do not reach the State Police‘s second issue concerning the merits of expungement of criminal records of indecent assault where the victim was under 18 years of age. Therefore, we turn to Hunt‘s cross-appeal concerning the award of damages and the State Police‘s
In his cross-appeal, Hunt raises the issue of whether the Commonwealth erred in failing to award him actual and punitive damages pursuant to CHRIA. Because the Commonwealth Court found the law as set forth in J.H. was clear, and the State Police “obdurately refused to comply with the trial court‘s order,” it awarded Hunt $6,069 in counsel fees. Commonwealth Court Op. at 5. The court denied Hunt‘s request for punitive damages, finding such damages cannot be awarded against the Commonwealth.
Hunt contends that, while the Commonwealth Court properly ordered compliance with the underlying expungement order and awarded counsel fees and litigation costs, it erred in failing to award him actual and real damages of not less than $100.00, as well as punitive damages of not less than $1,000.00 or more than $10,000, as provided in Section 9183(b)(2) of CHRIA. According to Hunt, the clear language of CHRIA, which mandates the imposition of counsel fees, actual damages, and punitive damages if conduct is willful, coupled with the State Police‘s willful disobedience of the trial court‘s order, leads to the conclusion he is entitled to actual and punitive damages.
The State Police submits that, in order to collect actual damages under CHRIA, one must prove a violation of the statute. According to the State Police, the trial court‘s expungement order was illegal. Therefore, Hunt is not entitled to actual damages. Moreover, even if the trial court had the authority to issue its expungement order, the State Police asserts Hunt did not establish that he has been aggrieved by the State Police‘s refusal to expunge his records, as there is no evidence Hunt has been damaged by the continued maintenance of his criminal record. Therefore, the State Police
Section 9183(b)(2) of CHRIA offers the possibility of both actual and real, as well as exemplary and punitive, damages:
A person found by the court to have been aggrieved by a violation of this chapter or the rules or regulations promulgated under this chapter, shall be entitled to actual and real damages of not less than $100 for each violation and to reasonable costs of litigation and attorney‘s fees. Exemplary and punitive damages of not less than $1,000 nor more than $10,000 shall be imposed for any violation of this chapter, or the rules or regulations adopted under this chapter, found to be willful.
The Commonwealth Court recognized Hunt sought reasonable costs of litigation and counsel fees as well as an award of punitive damages. The court, however, only addressed the claim for counsel fees, and denied Hunt‘s request for punitive damages.
As is plain from a reading of the statute, by its terms, CHRIA provides for the possibility of actual and real damages, and reasonable costs of litigation and counsel fees, where a person was found to have been aggrieved by a violation of CHRIA. The statute also contains a provision for the award of exemplary and punitive damages when the violation is found to be willful. CHRIA does not define the term “aggrieved,” nor does it set forth whether the Commonwealth may be liable for punitive damages under the statute.
The Commonwealth Court did not consider the issue of whether Hunt was entitled to “actual and real damages” and did not explain whether Hunt was aggrieved. Moreover, while our case law suggests the Commonwealth may be exempt from the imposition of punitive damages, see City of Philadelphia Office of Housing and Cmty. Dev. v. AFSCME, 583 Pa. 121, 876 A.2d 375 (2005) (citing Feingold, supra), the Commonwealth Court did not develop its reasoning concerning the denial of punitive damages, even in light of the terms of
For the reasons stated above, we affirm in part the order of the Commonwealth Court and remand the matter for further proceedings consistent with this opinion. Jurisdiction relinquished.
Chief Justice CASTILLE, and Justice SAYLOR, BAER and McCAFFERY and Justice GREENSPAN join the opinion.
Justice EAKIN files a dissenting opinion.
Justice EAKIN, dissenting.
I respectfully dissent, as the Commonwealth Court erred in holding the State Police lacked standing to contest Hunt‘s criminal record expungement. “The core concept of standing is that ‘a party who is not negatively affected by the matter [it] seeks to challenge is not aggrieved, and thus, has no right to obtain judicial resolution of its challenge‘“. In re Milton Hershey School, 590 Pa. 35, 911 A.2d 1258, 1261 (2006) (citation omitted). A party is aggrieved if it can demonstrate it has “a substantial, direct, and immediate interest in the outcome of the litigation“. Id., at 1261-62. This Court has held:
A “substantial” interest is an interest in the outcome of the litigation which surpasses the common interest of all citizens in procuring obedience to the law. A “direct” interest requires a showing that the matter complained of caused harm to the party‘s interest. An “immediate” interest involves the nature of the causal connection between the action complained of and the injury to the party challenging it.
The Commonwealth Court relied on Commonwealth v. J.H., 563 Pa. 248, 759 A.2d 1269 (2000), which held the State Police lacked sufficient interest in the case subject matter to possess standing to challenge an expungement order. Id., at 1271-72. The State Police‘s involvement in J.H. stemmed from its response to the trial court‘s rule directing it to show cause why the arrestee‘s conviction records should not be expunged. Id., at 1270.
Here, in contrast to J.H., the State Police asserted standing from the procedural posture of mandamus and summary relief under the Criminal History Record Information Act (CHRIA),
As the State Police is a party to mandamus and summary relief actions, there is a clear causal connection between the action complained of (its refusal to comply with the expungement order) and the injury to the person challenging it (Hunt‘s inability to expunge his criminal record). Surely the State Police, as keeper of the criminal records, has a substantial interest and is thus aggrieved by the order, particularly as it has been ordered to pay attorney‘s fees. It appears anomalous to suggest it cannot be heard on a matter which directs it to perform an act it perceives as contrary to its statutory duties.
This Court has recently held a county clerk of court lacked standing to challenge a court order directing the clerk to seal records of those completing ARD, as that office is a “ministerial” one, without discretion to interpret rules and statutes. In re Administrative Order No. 1-MD-2003, 594 Pa. 346, 936 A.2d 1, 9 (2007). The clerk accordingly lacked authority—and thus, standing—to challenge the order in question. As the concurring opinion of Justice Saylor points out, there is a “tenuous relationship between [the clerk‘s] legal obligations and the statute at issue (CHRIA).” Id., at 11 (Saylor, J., concurring). Here, however, the relationship is not at all tenuous, but rather is called for by the CHRIA itself. The CHRIA requires the State Police to maintain records of pretrial diversionary program participants.1
This Court has previously found the Gaming Control Board was aggrieved and had standing to challenge proposed ordinance amendments since the amendments would have thwarted the Board‘s statutory authority under the Gaming Act,
For the foregoing reasons, I dissent. I would vacate and remand for consideration of the remaining issues in the appeal and cross-appeal.
Notes
Id.(c) Maintenance of certain information required or authorized.—Notwithstanding any other provision of this chapter, the prosecuting attorney and the central repository shall, and the court may, maintain a list of the names and other criminal history record information of persons whose records are required by law or court rule to be expunged where the individual has successfully completed the conditions of any pretrial or post-trial diversion or probation program. Such information shall be used solely for the purpose of determining subsequent eligibility for such programs and for identifying persons in criminal investigations. Criminal history record information may be expunged as provided in subsection (b)(1) and (2). Such information shall be made available to any court or law enforcement agency upon request.
- Did the Commonwealth Court err as a matter of law when it held that the Pennsylvania State Police lacked standing to contest the expungement of a criminal record in the context of a mandamus action filed against the agency?
- Did the Commonwealth Court err as a matter of law when it implicitly held that the Pennsylvania State Police violated the Criminal History Record Information Act, when the agency, pursuant to
18 Pa.C.S. § 9122(b.1) , refused to comply with an order directing the expungement of criminal records of indecent assault, where the victims were under 18 years of age?
- To remove information so that there is no trace or indication that such information existed;
- to eliminate all identifiers which may be used to trace the identity of an individual, allowing remaining data to be used for statistical purposes; or
- maintenance of certain information required or authorized under the provisions of section 9122(c) (relating to expungement), when an individual has successfully completed the conditions of any pretrial or posttrial diversion or probation program.