DocketNumber: 40 MAP 2007 and 46 MAP 2007
Judges: Castille, Saylor, Eakin, Baer, Todd, McCaffery, Greenspan
Filed Date: 8/17/2009
Status: Precedential
Modified Date: 10/19/2024
OPINION
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’ ’’).
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.
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 mme pro tunc. According to the State Police, the trial court’s order was illegal and in violation of Section 9122(b.l) of CHRIA. 18 Pa.C.S.A. § 9122(b.l). Section 9122(b.l), the effective date of which was April 22, 1997, provides that a trial court shall not have the authority to order expungement of a defendant’s record where such defendant, like Hunt, was placed on ARD for, inter alia, indecent assault, where the victim was under 18 years of age. Id. The District Attorney agreed to file a motion to vacate nunc pro tunc. Thereafter, on September 19, 2006, the trial court rescinded Hunt’s expungement order.
By order dated October 19, 2006, however, the Court of Common Pleas of Bucks County rescinded its prior order and again entered an order directing expungement.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.l) 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.
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.
The objective of all interpretation and construction of statutes is to ascertain and effectuate the intention of the legislature. 1 Pa.C.S.A. § 1921(a). Our Court has found that the best indication of the General Assembly’s intent is the plain language of the statute. Martin v. Commonwealth, Dep’t of Transportation, Bureau of Driver Licensing, 588 Pa. 429, 438, 905 A.2d 438, 443 (2006). When the words of a statute are clear and unambiguous, there is no need to look beyond the plain meaning of the statute “under the pretext of pursuing its spirit.” 1 Pa.C.S.A. § 1921(b); see Commonwealth v. Conklin, 587 Pa. 140, 152, 897 A.2d 1168, 1175 (2006). Consequently, only when the words of a statute are ambiguous should a court seek to ascertain the intent of the General Assembly through consideration of the various factors found in Section 1921(c). 1 Pa.C.S.A. § 1921(c); Koken v. Reliance Ins. Co., 586 Pa. 269, 288, 893 A.2d 70, 81 (2006).
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 ex-pungement 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. 18 Pa.C.S.A. § 9122. In general terms, expungement is simply the removal of information so that there is no trace or indication that such information existed. 18 Pa.C.SA. § 9102.
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].
18 Pa.C.S.A. § 9122(f) (emphasis added).
Related thereto, the General Assembly requires notice to be provided to the State Police only after an expungement has been granted. 18 Pa.C.S.A. § 9122(d) (“Notice of expungement shall promptly be submitted to the central repository which shall notify all criminal justice agencies which have received the criminal history record information to be expunged.”). Considering Section 9122, read as a whole, it is plain the General Assembly intended that the district attorney of the county where the original charge was filed has standing to challenge an application for expungement.
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.
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 CHKIA 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.
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 Pa.R.Crim.P. 1406(c) (concerning imprisonment for other offenses). The Commonwealth Court sustained the Commonwealth’s preliminary objections and Fa-john appealed. Our Court found mandamus was not available to compel the relief Fajohn sought, but, rather, held the proper avenue for relief was in an application for resentencing with the trial court.
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. 1 Pa.C.S.A. § 1922(4).
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 ex-pungement 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.
18 Pa.C.SA.. § 9183(b)(2).
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.
. 18 Pa.C.S.A. §§ 9101 et seq.
. Specifically, Hunt requested the trial court "to expunge his arrest and other criminal records in light of his having successfully satisfied all
. 18 Pa.C.S.A. § 3126.
. 18 Pa.C.S.A. § 3127.
. 18 Pa.C.S.A. § 6301.
. By way of amended order dated August 3, 2006, the trial court brought its July 6, 2006 order into compliance with the requirements of Pa.R.Crim.P. 722 "Contents of Order for Expungement.”
. We have jurisdiction over this matter pursuant to Section 723(a) of the Judicial Code which provides that the Pennsylvania Supreme Court "shall have exclusive jurisdiction of appeals from final orders of the Commonwealth Court entered in any matter which was originally commenced in the Commonwealth Court except an order entered in a matter which constitutes an appeal to the Commonwealth Court from another court, a magisterial district judge or another government unit." 42 Pa.C.S.A. § 723(a).
. The issues as stated by the State Police in its appeal are:
1. 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?
2. 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.l), refused to comply with an order directing the expungement of criminal records of indecent assault, where the victims were under 18 years of age?
The issue as stated by Hunt in his cross-appeal is:
Whether an individual who has successfully proven a law enforcement agency's willful violation of the Criminal History Records Information Act is entitled to actual and real damages of at least $100.00 as well as exemplary and punitive damages of at least $1,000.00 but not more than $10,000.00.
. While Hunt’s Petition for Review concerning lhe enforcement of the trial court’s expungement order contains two counts — one for a viola
. “Expunge” is defined as:
(1) To remove information so that there is no trace or indication that such information existed;
(2) 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
(3) 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 posLtrial diversion or probation program.
18 Pa.C.S.A. § 9102.
. We also note CHRIA provides the Attorney General with the power to "[m]ake investigations concerning all matters touching the administration and enforcement of this chapter and the rules and regulations promulgated thereunder." 18 Pa.C.S.A. § 9161(3).
. Then-Justice Cappy, joined by then-Justice Castille, concurred, agreeing that the State Police did not have standing to challenge the propriety of an expungement order under CHRIA. The concurring
. The clarity of our holding in J.H. is reflected by the Commonwealth Court cases following our decision on the subject of standing by the State Police. See Pennsylvania State Police v. Izbicki, 785 A.2d 166, 169 (Pa.Cmwlth.2001) ("Essentially, [the State Police] is attempting to attack the validity of Izbicki's expungement. As [the State Police] conceded at oral argument before this Court, the law is clear that [the State Police] lacks standing to challenge the validity of an expungement order.”); Pennsylvania State Police v. Rush, 773 A.2d 1277, 1279-80 (Pa.Cmwlth.2001) ("[The State Police] challenges the validity of the trial court’s partial expungement order and places heavy emphasis on the fact that it was not notified of, nor was it a parLy to, Rush's expungement proceedings before the trial court. At the same time [the State Police] concedes that even if it had been given proper notice, it was without standing to object to Rush’s petition for partial expungement before the trial court.”).
. Similarly, the State Police's arguments that, based upon its role as the central repository, it is aggrieved because it would be prevented from retaining the record of a sexual offender whose victims were minors and that, potentially, Hunt could commit other crimes and impermissibly seek ARD were rejected by this same conclusion in J.H. that the State Police performed ministerial duties and was not aggrieved by an order compelling it to expunge records. Id.
. The rules of statutory construction counsel when "a court of last resort has construed the language used in a statute, the General Assembly in subsequent statutes on the same subject matter intends the same construction to be placed upon such language.” 1 Pa.C.S.A. § 1922(4).
. The State Police’s contention it has standing because it is aggrieved by the Commonwealth Court’s order imposing counsel fees is valid— but only to contest the award of counsel fees against it, and not to relitigate the underlying merits of the trial court’s expungement order.