Commonwealth v. Malone
Commonwealth v. Malone
Opinion of the Court
The instant case raises a question of first impression in Pennsylvania: whether an accused is entitled to a hearing to determine whether he has a right to expungement of his arrest record after the charges are dismissed at the preliminary hearing.
On June 16, 1975, appellant was arrested in Harrisburg, and charged with solicitation to commit involuntary deviate sexual intercourse.
Thereafter, appellant filed a petition in the Dauphin County Court of Common Pleas in which he requested that the police record be expunged and that the court order the Harrisburg Chief of Police to request a return of appellant’s record from the F.B.I. See 19 P.S. § 1402
“. . . [T]here is not only a lack of statutory authority in Pennsylvania to grant such relief but the legislative intent appears to be to the contrary . . . . ” This appeal followed.
Whether the court properly denied appellant relief turns on the resolution of two questions: first, did the court have the authority to order the police to expunge the record; and, second, if the authority exists, under what circumstances is it properly exercised.
Initially, the Commonwealth argues that Pennsylvania courts lack the authority to order expungement. By statute,
The lower court relied on the reasoning of an opinion in a similar case in the Dauphin County Court of Common Pleas. In Durham v. Straub, No. 338, Misc. Docket 1973, the court held that because The Controlled Substance, Drug, Device and Cosmetic Act
There is no Pennsylvania appellate court decision directly on point. Appellant does cite three Pennsylvania cases which refer to the problem. Without citing a statutory or constitutional basis for such a proceeding, the Supreme Court stated that one aggrieved by an unjust arrest for contempt could present a motion to expunge his arrest record: “ [Appellant] contends that the case is not moot because he has been unjustly arrested, as a result of which he now has a criminal record. However, a simple proceeding to remedy this exists in what is now the Criminal Division of the Common Pleas Court. [Appellant] can there present his motion to expunge the arrest from his record. This Court is not the proper body to which such a motion should be presented.” Commonwealth ex rel. Magaziner v. Magaziner, 434 Pa. 1, 9, 253 A.2d 263, 268 (1969). We distinguished Magaziner in Commonwealth v. Zimmerman, 215 Pa.Super. 534, 258 A.2d 695 (1969), because Zimmerman was attempting to have the record of a valid criminal conviction expunged. In dictum, however, we implied that an accused who is acquitted has a right to have his record expunged: “We are compelled to agree with the Commonwealth. This is not a case involving a defendant acquitted of a crime whose conduct since that acquittal furnishes no basis for keeping the arrest record alive. Unlike the circumstances in Commonwealth ex rel. Magaziner v. Magaziner, [supra], the petitioner in this case has been convicted of the crime and the only way that the record of conviction can be erased is by a Governor’s exercise of his power to grant clemency . . . .” 215 Pa.Super. at 536, 258 A.2d at 696. Finally, again without discussing
It seems clear, therefore, that our appellate courts recognize the right of an accused to seek expungement of an arrest record. Cf. Sullivan v. Murphy, 156 U.S.App.D.C. 28, 478 F.2d 938 (1973). Although our research does not indicate a stated legal basis for that right in our appellate decisions, we believe that such a right is an adjunct to due process.
Once it is concluded that a court may order expungement, it must be decided under what circumstances that authority is properly exercised.
The Commonwealth argues that society’s interest in maintaining arrest records outweighs the limited intrusion on the individual’s rights. We recognize the legitimate interest of society in retention of arrest records. However, recognition of that right in competition with
. The Crimes Code, Act of December 6, 1972, P.L. 1482, No. 334, § 1; 18 Pa.C.S. §§ 902, 3123(5).
. Act of April 27, 1927, P.L. 414, § 4; as amended, June 29, 1937, P.L. 2433, § 2; April 28, 1943, P.L. 119, § 2.
. Act of April 27, 1927, supra, n. 2.
. Act of April 14, 1972, P.L. 233, No. 64, § 1 et seq., as amended; 35 P.S. § 780-101 et seq.
. Section 1405(c) provides that “[t]he district attorneys of the several counties shall keep and arrange files of the fingerprints, taken under the provisions of this act, of persons convicted of crime and shall destroy the fingerprints of all persons acquitted.” Apparently, the statute contemplates two sets of records, those maintained by the police and those kept by the district attorney. Thus, § 1405 has no bearing on the instant case.
. Appellant argues that his right to expungement is within the ambit of his constitutional right of privacy. We find the analysis suggested by appellant more unwieldly and amorphous than traditional due process analysis. Cf. Utz v. Cullinane, 172 U.S.App.D.C. 67, 520 F.2d 467 (1975), in which the Court held that expungement was inherent in judicial authority to grant appropriate relief.
. Thus, it appears that the court below looked to the wrong Latin maxim; this case is controlled by the maxim “ubi jus, ibi remedium”, rather than “expressio unius est exclusio alteráis”. For an excellent discussion of the concept of “ubi jus, ibi remedium” see McMahon and Rodos, Judicial Implication of Private Causes of Action: Reappraisal and Retrenchment, 80 Dick.L.Rev. 167 (1976).
The conclusion that an accused is entitled to petition the court for expungement is buttressed by the current trend reflected in Philadelphia rules relating to A.R.D. See General Court Regulation 73-14, as amended March 18, 1974, Rule 440; Gen.Ct.Reg. 74-2, Rule 442. It would certainly be anomalous to allow the record of a person in A.R.D., whose case may already have gone to the grand jury, see Pa.R.Crim.P. 176, to have his record expunged while an accused is denied that right if the Commonwealth cannot even prove a prima facie case at the preliminary hearing.
. Of course, the Commonwealth would be free to argue that less drastic remedies than expungement are available to protect appellant’s interest while preserving the state’s interest in retaining the record. See, e. g., United States v. Rosen, 343 F.Supp. 804 (S.D.N.Y. 1972), suggesting that an injunction against dissemination might be sufficient to protect the petitioner’s interest. See also, Gregory v. Litton Systems, Inc., 316 F.Supp. 401 (C.D.Cal. 1970), modified on other grounds & aff’d as modified 472 F.2d 631 (9th Cir. 1972), which raises serious questions concerning the dissemination of information that contains no evidence of guilt under Title VII of the Civil Rights Act of 1964.
At the same time, the Commonwealth will carry a heavy burden in the instant case. Charges against appellant were dismissed at the preliminary hearing; that is, the Commonwealth’s evidence was (apparently, for it does not appear in the record) so insubstantial that it did not make out a prima facie case. Appellant has not even had the limited protection of a finding of probable cause by a grand jury; nor has the Commonwealth produced sufficient credible evidence to reach a jury.
. On the record as it exists, we cannot express a view on the propriety of expungement. No hearing was held and it does not appear in the record why charges were dismissed at the preliminary hearing. For example, if it appeared that the charges were dismissed for reasons unrelated to guilt or innocence, the Commonwealth may have substantial interest in retaining its records. On the other hand, if, for example, the testimony of the complainant was so insubstantial so that the Commonwealth could not even make out a prima facie case, its interest would seem relatively insignificant by comparison to the appellant’s interest.
Dissenting Opinion
dissenting):
The appellant, Thomas Malone, appeals from the denial of his petition for expungement of his arrest record, fol
The appellant seeks to have our Court order the lower court to grant him a hearing on his expungement request. As his brief relates, he hopes to show, at such hearing, that denial of the petition will cause serious harm to and stigmatize petitioner. Moreover, he contends that the denial of expungement will operate to cause a violation of his rights to privacy, allegedly in violation of the First and Fourteenth Amendments to the United States Constitution and Article One of the Pennsylvania Constitution. After a thorough review of all of the arguments raised and consideration of the cases, statutes and constitutional provisions cited, I must respectfully dissent from the holding of the majority of our Court that the lower court committed error in denying expungement in the instant case. My conclusion is based upon my interpretation of clear legislative intent with respect to the subject of criminal records and a conclusion that there has been no infringement of any constitutionally granted right in the circumstances of the instant case.
In the analysis of this issue, it is useful to examine the legal basis for the record-keeping functions performed by various law enforcement authorities.
In addition to the provisions of the Act of April 27, 1927, briefly outlined above, other sections are particularly germane to the issue of expungement. For instance, Section 6 (19 P.S. § 1406) provides, in pertinent part:
“Any person who removes, destroys, or mutilates any of the records of the Pennsylvania State Police, or of any district attorney, shall be guilty of a misdemeanor, and such person shall, upon conviction there*74 of, be punished by a fine not exceeding one hundred dollars, or by imprisonment in the county jail for a period of not exceeding one year, or by both, in the discretion of the court.”
This proviso for criminal sanctions upon the elimination of identification records evidences an unqualified additional legislative intent that such records be preserved and not expunged. Another section of the Act is even more indicative of the legislature’s consideration of ex-pungement. Section 5(c) of the Act (19 P.S. § 1405(c) ) provides, in part:
“(c) The district attorneys of the several counties shall keep and arrange files of the fingerprints, taken under the provisions of this act, of persons convicted of crime and shall destroy the fingerprints of all persons acquitted.”
Significantly the legislation does not extend its mandate for destruction of records of those acquitted of criminal charges to any authority other than the district attorney nor to any record other than fingerprints in the possession of the said district attorney. It is highly significant that the legislature made provisions in the same Act which not only permit, but command the collection and retention of identification records of those accused of crime, and which direct the destruction of only one type of such records by one record-keeping agency upon acquittal, and makes further provision that the destruction of all other such records would be clearly prohibited, even to the point of criminal sanctions against one who would ignore such prohibition.
Although the Act of April 27, 1927 gives a clear and unmistakable signal of legislative intent on the subject of expungement, review and interpretation is facilitated by other legislative action. Quite recently, the Child Protective Services Law became effective in our Commonwealth. Act of November 26, 1975, P.L. 438, No. 124, § 1 et seq., 11 P.S. § 2201 et seq. This statute, which pro
My colleagues on the majority feel that the appellant is entitled to a hearing before the lower court to enable him to present his arguments in support of his right to expungement. The lower court held that it has no authority to order expungement, and I am compelled, by my interpretation of legislative intent to agree. Not only has the legislature dealt with the subject of ex-pungement of criminal identification records in our Commonwealth, but it has fashioned very careful guidelines and declared clearly limited circumstances wherein ex-pungement is to be permitted. Moreover, no convincing reason has been advanced to indicate that such guidelines violate the constitutional right of any person.
I am mindful that expungement requests have been granted by our trial courts on many occasions in the
. In certain limited circumstances, as will be discussed infra in this opinion, there has been legislation establishing the right of expungement in certain limited contexts.
. Specifically, the appellant, in his petition, sought the Court’s Order to direct the Chief of Police in Harrisburg and the Commissioner of the Pennsylvania State Police to expunge all finger
Reference
- Full Case Name
- COMMONWEALTH of Pennsylvania v. Thomas MALONE, Appellant
- Cited By
- 92 cases
- Status
- Published