Commonwealth v. Warfield
Commonwealth v. Warfield
Opinion of the Court
Opinion by
Barbara Warfield was indicted in Allegheny County for murder and voluntary manslaughter. Defendant’s counsel filed a pretrial motion to suppress her written statement given to police following her arrest, wherein she had admitted robbing and killing the victim. A hearing was held on September 11, 1964, before the Honorable Ralph H. Smith, who denied defendant’s motion to suppress her written confession.
Defendant was then arraigned, entered a plea of not guilty, and on November 16, 1964, came on for trial before the Honorable Edwin M. Clark, and a jury.
Following the ruling to suppress the confession by the trial judge, the trial began, and the district attorney, in his opening statement to the jury, stated that defendant had made a confession to the police, admitting her guilt. It is undisputed by all concerned that this statement by the district attorney was made for the specific purpose of causing a mistrial so that a ruling might be obtained from the Supreme Court of Pennsylvania upon the correctness of the trial judge’s suppression of the confession. The defendant, immediately after the district attorney’s remarks concerning the confession, moved for a mistrial which the court granted. The Commonwealth appealed to this Court at No. 77 March Term, 1965, and, on June 30, 1965, we, speaking through Mr. Justice Eagen, quashed the appeal. Com. v. Warfield, 418 Pa. 301, 211 A. 2d 452 (1965).
The record was remanded for trial and the instant motion was then filed raising the questions of former jeopardy and estoppel. A hearing was held before a court en bane to determine what transpired among the trial court, counsel, and defendant, before the mistrial took place. The hearing consisted solely of the statements of counsel for both sides, with no material disputes as to what had previously transpired.
Article I, §10, of the Pennsylvania Constitution, reads as follows: “No person shall, for the same offense, be twice put in jeopardy of life or limb.” In Com. v. Simpson, 310 Pa. 380, 386, 87, 88, 165 A. 498 (1933), when faced with substantially the same question, we stated that: “Moreover, the language of the constitutional provision is clear and unambiguous. ‘No person shall for the same offense be twice put in jeopardy of life or limb,’ can only mean that no one shall be tried a second time for an offense the punishment of which may result in the taking of his life or injury to his limbs. Plainly, the language itself compels this conclusion; abnormality in its use is required before any other can be reached....
“Some of our cases give color to the thought that the court, in much earlier decades, had reached the conclusion only that he could not again be tried for first degree murder, and that there was no reason for
“It is true the Supreme Court of the United States has declared that by the use of the phrase ‘life or limb’ in the Constitution of the United States, protection against double jeopardy is extended to all criminal offenses. It was so held in Ex Parte Lange, 18 Wallace 163. We have not followed this extreme view, but have permitted the retrial of offenses after juries have been discharged, although such an outcome could not be brought about under the federal interpretation. This ruling is not binding upon us, because the provision in the United States Constitution is a limitation upon the powers of the federal government and is not a limitation upon the states: Brantley v. Georgia, 217 U.S. 284. The view which we are now taking, it may be admitted, was not that entertained by the court in Com. v. Fitz
Further, in Com. v. Simpson, supra, at page 384, we stated: “Where a defendant has been put upon trial on an indictment charging murder, the jury sworn, and before verdict, without the defendant’s acquiescence, or any absolute necessity so to do, the jury has been discharged, may the defendant, pleading former jeopardy, be tried again on the same indictment? That he may not be for first degree murder is conceded and beyond question, as he would then again be in jeopardy of life.”
Accordingly, we must agree with the court en banc that Barbara Warfield, defendant, could not be tried for any crime higher than murder in the second degree and reject defendant’s contention that she could not be tried for either murder in the second degree or voluntary manslaughter. A careful review of the record, the hearing before the court en banc and its opinion, leads us to conclude that jeopardy did attach because the mistrial was deliberately caused by the Commonwealth and was not (even though the idea might have been suggested by defendant’s attorney) caused by the voluntary act of the defendant. As Mr. Justice Eagen for this court stated, in Com. v. Warfield, supra: “Certainly, no one could reasonably assert that after an adverse ruling, (even if the Commonwealth is the affected party), that a mistrial could be deliberate
Barbara Warfield’s counsel also raised before the court en banc the contention that the Commonwealth is estopped from trying her for more than murder in the second degree, basing his contention on the theory that the reliance given to the opinion of the assistant district attorney, even if that opinion were erroneous, was in fact relied upon, and thus became the theory of the case. The court en banc said: “We can never know for certain whether defendant was prejudiced by her reliance upon the advice of counsel, in which the assistant district attorney tacitly joined. But the matter is too important to speculate upon, and it is enough to say that she may well have been acquitted or found guilty of a lesser offense had the case been tried to a verdict without her confession. . . . ‘As a general rule, when a party takes a certain position in judicial proceedings and maintains that position, he is estopped subsequently to change his position, adopting a position contrary to the first or inconsistent therewith, providing that such party gained an advantage in adopting the first position, or that the change of position would work prejudice to the adverse party.’ 14 P.L.E. Sec. 41, Estoppel.”
Inasmuch as we have concluded that double jeopardy precludes a trial for murder in the first degree, we need not, nor do we, decide the estoppel question.
In this Commonwealth, from time immemorial, a capital case has meant only that case in which, as a result of a permissible verdict, the death penalty might be imposed, and it has been a rule, uniformly adhered to in this Commonwealth, that when a defendant has been called to answer an indictment in which his being found guilty of a crime punishable by death might result, the jury cannot and should not be discharged without consent of defendant, except by reason of over
Finally, we note that the defendant’s appeal is from an interlocutory order, which order is not appealable, unless expressly made so by statute. “It is likewise well established that as a general rule the defendant in a criminal case may appeal only from the judgment of sentence: . . .” Com. v. Pollick, 420 Pa. 61, 215 A. 2d 904 (1966) ; Com. v. Wright, 383 Pa. 532, 119 A. 2d 492 (1956). While, as we pointed out in Com. v. Pollick, supra, “This rule is not inflexible and will yield in exceptional cases of great public interest to safeguard basic human rights”, we are here, as there, not concerned with such “exceptional” circumstances.
In the appeal of the Commonwealth at No. 133 March Term, 1966, the order of the court below is affirmed.
In the appeal of Barbara Warfield at No. 135, March Term, 1966, the appeal is quashed.
Concurring in Part
Concurring ano Dissenting Opinion by
Implicit in the Court’s approach to the problems presented by the instant case are the following conclusions: 1) the double jeopardy clause of the Fifth Amendment to the Constitution of the United States has not been “selectively incorporated”
Accordingly, I am compelled to dissent from the majority’s approach as well as its holding that the defendant can be retried for second degree murder because the Commonwealth’s double jeopardy provision is' not applicable unless life is literally at stake. How-, ever, for reasons stated hereinafter I am in accord with the actual result reached in this case.
An understanding of the circumstances surrounding the initial abortive trial is essential to thé proper disposition of the issues presented by this appeal. Bar-' bara Warfield was indicted in Allegheny County on charges of murder and voluntary manslaughter. Her. counsel’s motion to suppress her alleged confession was overruled by Judge Smith after a pre-trial hearing. The case proceeded to trial where, after the jury had been empaneled, defense counsel renewed the objection to the confession’s admissibility. Judge Clark, who was presiding at trial, entertained this motion, the Commonwealth interposing no objection to the holding' of a second hearing.
Thereafter Mr. Fagan, the assistant district attorney in charge of the Commonwealth’s case, as well
Following the mistrial, the Commonwealth appealed Judge Clark's suppression ruling. This Court quashed the appeal. Commonwealth v. Warfield, 418 Pa. 301, 211 A. 2d 452 (1965). When the Commonwealth sought to retry the defendant on the original indictments, she interposed pleas of former jeopardy. A hearing was held before a court en banc where testimony surrounding the circumstances leading to the abortive trial was received. The court sustained the defendant’s plea with respect to the first degree indictment but held she could be tried for murder in the second degree and manslaughter. Both sides appealed their respective adverse rulings.
Last year in Commonwealth ex rel. Montgomery v. Myers, 422 Pa. 180, 220 A. 2d 859 (1966), we considered at some length the effect of a mistrial upon the defendant’s later plea of double jeopardy. Although Montgomery did not, nor could any opinion reasonably attempt to, anticipate “ ‘hypothetical situations in which the discretion of the trial judge [in declaring a mistrial] may be abused and so call for the safeguard of the . . . [prohibition of double jeopardy]’”
“Yet, at the same time, the fact that the defendant has moved for a mistrial or otherwise consented to the termination of the proceeding is a factor to be considered in determining whether the circumstances call for the application of double jeopardy. In such a case, the accused, by moving for the withdrawal of a juror, has made the decision to bypass the panel then constituted and to forego the possibility that the jury might acquit, notwithstanding the misconduct which has marred the trial. Cf. United States v. Tateo, 377 U.S. 463, 468, 473-74, 84 S. Ct. 1587, 1590, 1593 (1964) (Goldbekg, J., dissenting). Certainly, we deal with a wholly different situation when the defendant desires to continue with the jury as originally impanelled and objects to the termination of the trial. A mistrial, declared in the face of the accused’s insistence on his ‘valued right’ to proceed with the panel as there and then constituted would interject considerations not here present.”
The Commonwealth’s Appeal
In concluding that the Commonwealth may not subject the defendant to a first degree murder prosecu
When the trial resumed after the conference in chambers, Mr. Fagan, in accordance with the plan agreed upon, mentioned the defendant’s confession in his opening remarks. Defense counsel immediately requested the withdrawal of a juror; Judge Clark acceded to the request. If this were the entire record before us, perhaps the Commonwealth would be able to retry the defendant for first degree murder. Cf. Commonwealth ex rel. Montgomery v. Myers, 422 Pa. 180, 220 A. 2d 859 (1966). However, because of what transpired in chambers, the Commonwealth is not only estopped from asserting that defense counsel’s action was voluntary,
The Defendant’s Appeal
During the discussions in chambers defense counsel had to weigh, on the one hand, the defendant’s valued right to have the impaneled jury determine her fate at a trial in which the confession would not be admitted, and on the other hand, the possibility of immunizing her from a possible first degree murder conviction. At the hearing held below defense counsel testified that as a result of a deliberate strategic decision, he chose the latter.
Because of the unique facts of this case, I concur in the Court’s result.
Selective incorporation is the name given to the practice of absorbing specified, but not necessarily all, provisions of the Bill of Rights into the due process clause of the Fourteenth Amend
See Commonwealth ex rel. Montgomery v. Myers, 422 Pa. 180, 183 n.4, 220 A. 2d 859, 861 n.4 (1966) for a discussion of recent eases which have undermined the long standing assumption that the double jeopardy provision of the Fifth Amendment is not a restriction upon the states. See also, United States ex rel. Hetenyi v. Wilkins, 348 F. 2d 844 (2d Cir. 1965), cert. denied, 383 U.S. 913, 86 S. Ct. 896 (1966). In Cichos v. Indiana, 385 U.S. 76, 87 S. Ct. 271 (1966), four members of the Supreme Court of the United States (Wareen, C. J., Black, Douglas, Fortas, JJ.) expressed their view that the Fifth Amendment’s double jeopardy clause is relevant to state criminal prosecutions and strongly implied that federal precedents were controlling. While Mr. Justice Brennan joined the majority opinion, which dismissed the writ of certiorari as improvidently granted, and did not express his views, he has been the Court’s leading advocate of “selective incorporation.” See, e.g., Malloy v. Hogan, 378 U.S. 1, 84 S. Ct. 1489 (1964) ; Brennan, supra note 1; Henkin, supra note 1 at 77.
In the past year, the Fifth Amendment has been held to have been incorporated in People v. Bower, 3 Mich. App. 585, 143 N.W. 2d 142 (1966) ; State v. Farmer, 48 N.J. 145, 224 A. 2d 481, 493-94 (1966) ; People v. Ressler, 17 N.Y. 2d 174, 216 N.E. 2d 582, 269 N.Y.S. 2d 414 (1966) ; cf. State v. Barger, 242 Md. 616, 220 A. 2d 304 (1966). But see Cox v. State, 197 Kan. 395, 416 P. 2d 741 (1966). However, if possible, I would prefer not to anticipate the Supreme Court on this question. See Commonwealth ex rel. Montgomery v. Myers, supra at 184, 220 A. 2d at 862; United States ex rel. Hetenyi v. Wilkins, supra at 854.
As former Judge Marshall, in an opinion written shortly before he became Solicitor-General, has made unequivocally clear,
And although the late Justice Frankfurter was in the forefront of those Justices who felt that the Supreme Court of the United States should exercise the utmost restraint in reviewing state criminal procedure, he was nonetheless of the view that: “A State falls short of its obligation when it callously subjects an individual to successive retrials on a charge on which he has been acquitted or prevents a trial from proceeding to a termination in favor of the accused merely in order to allow a prosecutor who has been incompetent or casual or even ineffective to see if he cannot do better a second time.” Brock v. North Carolina, 344 U.S. 424, 429, 73 S. Ct. 349, 351 (1953) (concurring opinion) ; see also Bartkus v. Illinois, 359 U.S. 121, 79 S. Ct. 676 (1959) (Frankfurter, J.) (by implication) ; Hoag v. New Jersey, 356 U.S. 464, 78 S. Ct. 829 (1958) (Harlan, J.) (same).
It would be fruitless for me to attempt to improve upon Judge Marshall’s treatment of the “core concept of double jeopardy” embodied in the Fourteenth Amendment, United States ex rel. Hetenyi v. Wilkins, supra. However, even a casual reading of that opinion (to say nothing of the relevant Supreme Court cases he examines) compels the conclusion that the limitations placed upon state reprosecutions, however broad or narrow they may be, can
To the extent that Commonwealth v. Simpson, 310 Pa. 380, 165 Atl. 498 (1933), and cases following it, have failed to take account of the constitutional developments discussed in note 3, supra, they must by reason of the Supremacy Clause, Art VI, Constitution of the United States, be considered no longer controlling. Moreover, I think it worth noting that Simpson, itself a 4-3 decision, is at least in one sense not in accord with the colonial understanding of double jeopardy. See Sigler, A History of Double Jeopardy, 7 Am. J. Legal Hist. 283, 300 (1963) ; see generally id. at 294-309. But see McCreary v. Commonwealth, 29 Pa. 323 (1857). For example, consider the views of Chief Justice McKean in Respublica v. Shaffer, 1 Dallas 255, 256 (Pa. 1788), when he refused the grand jury permission to question the defendant’s witnesses because, inter alia: “for, by the law it is declared that no man shall be twice put in jeopardy for the same offence: and, yet, it is certain that the inquiry, now proposed by the grand jury, would necessarily introduce the oppression of a double trial. Nor is it merely upon maxims of law, but, I think, likewise, upon principles of humanity, that this innovation should be opposed.”
On the other hand, it is probable that at the time of its adoption, Pennsylvania’s (as well as the Fifth Amendment’s) double jeopardy provision was thought to be applicable only after a prior acquittal or conviction. Notes, Double Jeopardy: The Reprosecution Problem, 77 Harv. L. Rev. 1272, 1273 (1964). This restriction, however, was soon abandoned, see id. at 1273-74, and today it would undoubtedly be inconsistent with the Fourteenth Amendment. See Brock v. North Carolina, 344 U.S. 424, 73 S. Ct. 349 (1953) (by implication) ; cf. Downum v. United States, 372 U.S. 734, 83 S. Ct. 1033 (1963) ; Green v. United States. 355 U.S. 184, 188 78 S. Ct. 221, 224 (1957). Compare Commonwealth ex rel. Montgomery v. Myers, 422 Pa. 180, 220 A. 2d 859 (1966) ; Commonwealth v. Warfield, 418 Pa. 301, 303, 211 A. 2d 452, 453 (1965).
These events occurred in November 1964, which was before the adoption of Pa. R. Crim. P. 324 which sets forth the procedure for determining the admissibility of a challenged confession. Ap-. parently, the Commonwealth did not object to Judge Clark’s entertaining the motion to suppress because: (1) it was confident the confession would be ruled admissible, and (2) under the prevailing practice in Allegheny County the trial judge was required to rule on a confession’s admissibility.
The hearing was conducted informally and none of the attorneys were actually sworn.
The Commonwealth believed, and Judge Clark was inclined to agree, that under Commonwealth v. Bosurgi, 411 Pa. 56, 190 A. 2d 304 (1963), they had a right to appeal the adverse confession ruling. In the prior appeal of the instant case, 418 Pa. 301, 303, 211 A. 2d 452, 453 (1965), we held Bostwgi inapplicable because that was an appeal from a pretrial ruling. It is not known why the Commonwealth sought to use a murder case to test this proposition, since they claimed to have a first degree case, even without the confession and there was a strong likelihood that they would not be able to reprosecute the defendant for first degree murder, even if on appeal it was concluded they were right about the confession.
The district attorney’s staff attempted to convince Judge Olaeic that his view of Escobedo was incorrect. Mr. Fagan even suggested that the court not suppress the confession and let the defendant, if she was convicted, appeal. Defense counsel naturally objected to this procedure.
Commonwealth ex rel. Montgomery v. Myers, 422 Pa. 180, 190, 220 A. 2d 859, 865 (1966), quoting Gori v. United States, 367 U.S. 364, 369, 81 S. Ct. 1523, 1526-27 (1961) (Fbankeueter, J.).
“Where a defendant has been put upon trial on an indictment charging murder, the jury sworn, and before verdict, without the defendant’s acquiescence, or any absolute necessity so to do, the jury has been discharged, may the defendant, pleading former jeopardy, be tried again on the same indictment? That he may not be for first degree murder is conceded and beyond question, as he would then again be in jeopardy of life.” Commonwealth v. Simpson, 310 Pa. 380, 384, 165 Atl. 498, 499 (1933).
gee notes 7 and 8 supra,
See Record, 31a.
See Record, 33a, 44a. Mr. Fagan admitted to having overheard counsel inform the defendant that if a mistrial was called she could not be retried for first degree murder. While I have previously expressed my abhorrence for tacit admissions, see Commonwealth ex rel. Shadd v. Myers, 423 Pa. 82, 91, 223 A. 2d 296, 301 (1966) (dissenting opinion), one cannot help noting the irony involved in this situation.
Compare our discussion of waiver in Commonwealth ex rel. Montgomery v. Myers, 422 Pa. 180, 189, 220 A. 2d 859, 864 (1966) (quoted supra). The instant case, however, is atypical for the accused actually sought a benefit from the mistrial.
422 Pa. at 190, 220 A. 2d at 865.
while the Court purports to quash the defendant’s appeal, on page 560 it categorically rejects her contentions on the merits. If the Court were to quash the appeal without reaching the merits, the defendant would be forced to stand trial, which is of course precisely what she is seeking to avoid. Moreover, her appeal raises a question of law about which the record is complete.
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