Commonwealth v. Kates
Commonwealth v. Kates
Opinion of the Court
Opinion by
The principal issue presented in this consolidated appeal is whether a probation violation hearing may
Commonwealth v. Kates
In October of 1969, the appellant, Daisey Kates, was tried, in a non-jury trial, on charges of wantonly pointing a firearm and aggravated assault and battery. Following an adjudication of guilt, she was placed on three years probation on the charge of aggravated assault and battery, and sentence was suspended on the charge of wantonly pointing a firearm. In June of 1970, Miss Kates was again arrested, this time for homicide, and on July 16, 1970, a revocation of probation hearing was conducted. Primarily on the basis of an incriminating statement attributed to the appellant, the hearing judge found that she had shot and killed Frank Jordan. Her three year probation was revoked and she was sentenced to three years in the State Correctional Institution at Muncy, which was subsequently reduced to twenty-three and one-half months. Appellant did not testify at this hearing.
After imposition of this sentence, post-trial motions on the aggravated assault and battery charge were allowed to be filed nunc pro tunc. Following argument, these motions were denied and an appeal was filed in
Subsequent to the revocation of probation, a motion to suppress the statement made by appellant was granted. No appeal was taken from that ruling and appellant was eventually found not guilty of the slaying of Frank Jordan.
Commonwealth v. McClellan
Cleo McClellan entered a plea of guilty to the charge of burglary and on November 18, 1969, was placed on eight years probation. On December 1, 1969, appellant was arrested and charged with assault with intent to ravish. On April 8, 1970, prior to trial on the new offense, a violation of probation hearing was conducted
Following the revocation of his probation, appellant was tried on the criminal charges, which were the basis for the probation revocation. He was found
An appeal was taken from the sentence imposed at the revocation hearing. The Superior Court affirmed the judgment of sentence. This appeal followed.
Allen v. Eeed
On May 7, 1971, James Allen entered a plea of guilty to charges of liot and conspiracy and was sentenced to concurrent probationary terms of five and two years. On May 23, 1971, police stopped an automobile in which the appellant was a passenger and found in it a single packet of narcotics. Allen was then arrested and charged with possession and use of narcotics. Appellant’s request that the revocation hearing be continued until after the trial that would determine whether appellant was in fact guilty of possession of narcotics was denied.
On July 12, 1971, the day scheduled for the probation violation hearing, counsel for appellant filed a petition for writ of prohibition with this Court and the hearing judge agreed to postpone his violation hearing until after our decision on the writ.
T. Applicable Statutory Authority
As noted, the issue shared by each of these appeals concerns the propriety of holding probation violation hearings where the alleged violation consists of activities which also constitute the basis for criminal charges before the trial for these subsequent offenses has been held. No question has been raised concerning the power of the court in the first instance to impose the order of probation and the parties also agree that the court does have the power to revoke a probation and impose a prison sentence when there has been a viola
The trial judges of this state have been granted the right to suspend the imposition of sentence and place an individual on probation under three statutory provisions. The most recent provision is the Act of August 6,1941, P. L. 861, §25, 61 P.S. §331.25, which provides: “Whenever any person shall be found guilty of any criminal offense by verdict of a jury, plea, or otherwise, except murder in the first degree, in any court of this Commonwealth, the court shall have the power, in its discretion, if it believes the character of the person and the circumstances of the case to be such that he is not likely again to engage in a course of criminal conduct and that the public good does not demand or require the imposition of a sentence to imprisonment, instead of imposing such sentence, to place the person on probation for such definite period as the court shall direct, not exceeding the maximum period of imprisonment allowed by law for the offense for which such sentence might be imposed.” The earlier acts were the Act of June 19, 1911, P. L. 1055, §1, as amended, 19 P.S. §1051, and the Act of May 10, 1909, P. L. 495, §1, 19 P.S. §1081. Since this section of the latter act contains the identical language of the former we will refer only to the later of the two acts.
Unlike the relationship between the Act of 1909 and the Act of 1911, section 1 of the Act of 1911 and section 25 of the Act of 1941 differ in several significant respects. Section 1 restricts the imposition of probation to one who has been convicted of crimes other than murder, administering poison, kidnapping, incest, sodomy, buggery, rape, assault and battery with the intent to ravish, arson, robbery or burglary. Section 25 only excludes one convicted of murder in the first
In construing statutes and defining legislative intention it is axiomatic that the legislature does not intend a result that is absurd, contradictory or unreasonable. Act of May 28, 1937, P. L. 1019, art. IV, §52(1), 46 P.S. §552(1). See Millersville Annexation Case, 447 Pa. 310, 290 A. 2d 102 (1972); Commonwealth v. Public Constructors, Inc., 432 Pa. 589, 248 A. 2d 29 (1968). We believe these sections are not at variance. The Act of 1941 was concerned with the establishment of the Pennsylvania Board of Parole. Section 25 allowed our courts to specially order probations to be under the supervision of the board.
Since the Board was not given authority for either determining a violation or revoking probation for those placed under their supervision under section 25 there was no reason for the Act of 1941 to mention this function and it in fact did not. We disagree with the trial judge who concluded that since the Act of 1941 did not provide for revocation that there was no statutory provision for revocation of a probation imposed under section 25. As has been stated before, in draft
IT. Propriety or Conducting Revocation Hearing Prior to Trial
Although we have found that there is no statutory limitation which restricts a judge of this Common
Secondly, we also reject appellants’ contention that Simmons is controlling because we believe that the language of Simmons is limited by the more recent decision of the Supreme Court in McGautha v. California, 402 U.S. 183, 212-13 (1971) : “While we have no occa
McG-autha makes it clear that the constitution does does not eliminate the making of difficult judgments. We are not prepared to say that an election such as the one suggested in this case sufficiently impairs the policies behind the rights involved to the extent that a constitutional prohibition is raised.
Appellant next contends that since a violation hearing was occasioned by the subsequent arrest, a view to the conservation of judicial time and manpower would rule against the conducting of two “trials”. This argument assumes that the issues in the two proceedings are identical. We do not agree. At the subsequent trial the issue is whether the elements of the offense or offenses charged are present and the burden is upon the Commonwealth to establish all of the requisite elements beyond a reasonable doubt. The focus of a probation violation hearing, even though prompted by a subsequent arrest, is
Nevertheless, appellants argue that in the interest of judicial economy, a violation of probation hearing should not be conducted prior to the trial of the criminal charges which arose out of the same acts. However, we believe that the possibility of duplicating effort is far outweighed by other policies which dictate that the court’s right to adjudicate a parole violation prior to the subsequent trial should not be curtailed. This is true because the basic objective of probation is to provide a means to achieve rehabilitation without resorting to incarceration. When it becomes apparent that the probationary order is not serving this desired end the court’s discretion to impose a more appropriate sanction should not be fettered. Initially, when the court decides to impose a probation order it is only after first balancing the interest of society in protecting against possible future criminal behavior of the individual with the benefit he would receive by remaining free from prison. Certainly, society has the right to expect a prompt hearing when a probationer has allegedly engaged in a course of criminal activity.
With respect to this policy argument we also note that other jurisdictions have recently considered the question of whether to conduct a revocation hearing prior to trial and have upheld the procedure. For example, in the Rhode Island case of Flint v. Howard,
III. Dub Process Requirements
Having concluded that it is permissible to conduct a revocation hearing before trial, we must now determine whether the constitutional rights of the instant appellants were violated. Initially we note that Morrissey v. Brewer, 408 U.S. 471 (1972), set out the-
Neither Morrissey, nor any other decision that has come to our attention, has required that a revocation hearing be conducted with the same procedural and evidentiary rules as would apply to a trial on the criminal charges growing out of the same facts. In this area of rights of probationers and parolees the controlling factor is not whether the traditional rules of evidence or procedure including Fourth and Fifth Amendment exclusionary rules have been strictly ob
Other courts have also been confronted with this issue of whether evidence obtained in violation of a probationer’s Fourth or Fifth Amendment rights should be admissible for purposes of determining whether probation or parole should be revoked. In United States ex rel. Sperling v. Fitzpatrick, 426 F. 2d 1161 (2d Cir. 1970), the Court of Appeals in three separate and carefully considered opinions set down the policy behind holding that ordinary Fourth Amendment exclusionary rules are not applicable to revocation hearings. Judge Hays stated:
“The exclusionary rule is believed to be a necessary restraint on the adversarial zeal of law enforcement officials. ‘As it serves this function, the rule is a needed, but grudgingly taken, medicament; no more should be swallowed than is needed to combat the disease.’ Amsterdam, Search, Seizure, and Section 2255: A Comment, 112 U. Pa. L. Kev. 378, 389 (1964).
“. . . A Parole revocation proceeding is concerned not only with protecting society, but also, and most importantly with rehabilitating and restoring to useful lives those placed in the custody of the Parole Board. To apply the exclusionary rule to parole revocation proceedings would tend to obstruct the parole system in accomplishing its remedial purposes.
“There is no need for double application of the exclusionary rule, using it first as it was used here in
Similarly, in the area of confessions the California Supreme Court has recently considered the admissibility into evidence at a parole violation hearing of a statement obtained without giving the required Miranda warnings. In re Martinez, 1 C. 3d 641, 83 Cal. Rptr. 382, 463 P. 2d 734 (1970). There the court held that when the purposes of the procedural safeguards were balanced against the interests of society, such a confession should be admissible for this limited purpose. Cf. In re Tucker, 5 C. 3d 171, 95 Cal. Rptr. 761, 486 P. 2d 657 (1971).
We must now turn to the difficult problems presented in the instant appeals.
The questioned evidence admitted during the course of appellant Kates’ revocation hearing was a statement given by her which was subsequently ruled inadmissible because it violated the mandates of Miranda v. Arizona, 384 U.S. 436 (1966). As we have stated, this type of constitutional objection does not preclude the evidence from being presented during a probation revocation hearing and does not form the basis of a denial of due process.
Appellant Kates also alleges that she should now be afforded the opportunity of attacking her statement on the grounds of voluntariness. With this contention we cannot agree. At the probation revocation hearing no attempt was made to prove that the statement was coerced in a sense that would destroy its probative value. Further, appellant does not even allege that the claim of a coerced confession was raised at the subsequent suppression hearing. There is nothing in the record before us to contradict the Commonwealth’s position that defense counsel confined himself to attacking the confession solely on the grounds that improper Miranda warnings were given. The mere fact that appellant was sustained on her Miranda claim does not relieve her of the responsibility of raising all other constitutional objections.
Judgment affirmed.
Commonwealth v. McClellan
Appellant McClellan argues that he was not allowed to confront his accuser at the revocation hearing. Specifically, he contends that the alleged victim of his assault should have been produced by the Commonwealth. At the hearing appellant was confronted with the policeman who witnessed his assault on a young girl. For purposes of a probation violation it is not
We also note that even though the evidence may not have been sufficient to establish the intent to ravish, this is not controlling for our purposes. Clearly, the evidence established an assault and battery and this of course would also constitute a violation of probation. There is nothing in the record to suggest, as appellant contends, that the decision to revoke probation was influenced solely by the intent to ravish. In fact, the opinion of the lower court indicates that the severity of the sentence was occasioned by appellant’s prior conviction and his subsequent involvement in criminal conduct less than two weeks after he was placed on probation.
Judgment affirmed.
Allen v. Reed
The petition for writ of prohibition is denied and the case remanded for a probation violation hearing in accordance with this opinion.
This was the second violation of probation hearing. A prior hearing had been held on February 9, 1970, but the hearing judge determined that the appellant had not been afforded Ms constitutional right to confront his accusers.
Most of the provisions of the Act of 1909 are repeated in the Act of 1911 and where they are inconsistent they have been held to have been repealed by the subsequent act. Act of June 19, 1911, P. L. 1055, §4.
See sections 17 and 26 of the Act of 1941 which also pertain to supervision by the board.
Act of June 19, 1911, P. L. 1055, §3, as amended, June 21, 1919, P. L. 569, §1, 19 P.S. §1053.
Act of June 19, 1911, P. L. 1055, §4, 19 P.S. §1055.
The record reveals that the probations for petitioners Kates and Allen were under the Act of 1911. The probation of petitioner McClellan was placed under the supervision of the Pennsylvania Board of Parole pursuant to the Act of 1941.
See, e.g., Binder v. Triangle Publications, Inc., 442 Pa. 319, 275 A. 2d 53 (1971) ; Misitis v. Steel City Piping Co., 441 Pa. 339, 272 A. 2d 883 (1971) ; Shuman v. Bernie’s Drug Concessions, 409 Pa. 539, 187 A. 2d 660 (1963).
Botli the Act of 1941 and the Act of 1911 grant the right of probation where the court has reason to believe that the defendant is not likely to again engage in an offensive course of conduct and that the public good does not demand or require that the defendant should suffer the penalty imposed by law. 61 P.S. §331.25; 19 P.S. §1051.
There are other cases dealing with probation violation hearings where the acts constituting the alleged violation amount to criminal activity, but where for some reason there were either no pending criminal charges or the probationer was placed under arrest but the likelihood of his subsequent trial was not noted in the court’s opinion. See Bullock v. State, 121 Ga. App. 700, 175 S.E. 2d 163 (1970) ; State v. Washington, 5 Ariz. App. 400, 427 P. 2d 381 (1967) ; Ortega v. State, 414 S.W. 2d 465 (Tex. App. 1967).
we should also note that we believe that Morrissey v. Brewer, supra, is applicable to probation revocations as well as parole revocations and thus the Due Process Clause of the Fourteenth Amendment requires that the state afford an individual some opportunity to be heard prior to a revocation order.
Concurring in Part
Concurring and Dissenting Opinion by
I concur in the result reached by the majority in Commonwealth v. McClellan and Allen v. Reed. However, I am compelled to dissent from the majority’s holding in Commonwealth v. Kates that the exclusionary rule has no application in probation revocation and subsequent sentencing proceedings. In my view, the record in Kates must be remanded to the trial court for a new revocation and sentencing hearing, to be conducted without the admission of the illegally obtained confession. Miranda v. Arizona, 384 U.S. 436, 86 S. Ct. 1602 (1966).
It is by now abundantly clear that a statement obtained in violation of Miranda, supra, may not be used “affirmatively” by the prosecution in its case in chief. Harris v. New York, 401 U.S. 222, 224, 91 S. Ct. 643, 645 (1971). Albeit appellant Kates was not, at the time the illegally obtained statement was introduced, on trial for murder, the adverse effect of the revocation and sentencing hearing produced the same result— appellant was remanded to jail to serve a term of imprisonment. “In practice, probation revocation is frequently used as an alternative to prosecution for serious offenses. If the probationer is clearly convictable for the new offense, there is little need both to prosecute him for it and revoke his probation. Often the choice between prosecution and revocation is a fortuitous one.” E. Dawson, Sentencing, The Decision as to Type, Length, and Conditions of Sentence, 153 (1969) (emphasis added). Accordingly, “. . . the fact that an independent prosecution and revocation under an old conviction are often interchangeable for a probationer suggests that abrogation of the exclusionary rule for probation revocation would seriously undermine the rule’s effect as a deterrent.” United States v. Hill, 447 F. 2d 817, 820 (7th Cir. 1971) (Fairchild, J., dissenting).
The necessity for the exclusionary rule, especially on the facts of this case, need not be rationalized solely in terms of its usefulness as a deterrent to unlawful police conduct. “The philosophy that courts must not
Begardless of the purpose attributed to the exclusionary rule, under either theory, it (the rule) should apply with equal vitality to a probation revocation proceeding, such as here, where the ultimate aim of the authorities is to return the probationer to custody. Cf. Commonwealth v. Bruno, 435 Pa. 200, 223, 255 A. 2d 519, 528 (1969) (Bobebts, J., dissenting). The incentive for illegal police conduct in the circumstances of this case is all too clear. While many courts are finding it necessary to extend the use of the exclusionary
1 cannot condone the use of a confession obtained by the police in violation of the law, even for the purpose of determining whether probation should be revoked. As the Supreme Court stated in Wong Sun v. United States, 371 U.S. 471, 485, 83 S. Ct. 407, 416 (1963), constitutionally, illegally obtained evidence “. . . shall not be used at all.” (Quoting from Silverthorne Lumber Co. v. United States, 251 U.S. 385, 392, 40 S. Ct. 182, 183 (1920)). See Michaud, supra.
Not only was it error, in my opinion, for the court to have considered the illegally obtained confession in
“But it is not deterrence alone that warrants the exclusion of evidence illegally obtained—it is ‘the imperative of judicial integrity.’ [Elkins v. United States, 364 U.S. 206, at 222, 80 S. Ct. 1437]. The exclusion of an illegally procured confession and of any testimony obtained in its wake deprives the Government of nothing to which it has any lawful claim and creates no impediment to legitimate methods of investigating and prosecuting crime. On the contrary, the exclusion of evidence causally linked to the Government’s illegal activity no more than restores the situation that would have prevailed if the Government had itself obeyed the law.” Harrison v. United States, 392 U.S. 219, 224 n. 10, 88 S. Ct. 2008, 2011 n. 10 (1968).
See, e.g., One 1958 Plymouth Sedan v. Commonwealth of Pennsylvania, 380 U.S. 693, 85 S. Ct. 1246 (1965) (exclusionary rule applicable to forfeiture proceedings, where the “object, like a criminal proceeding, is to penalize for the commission of an offense against the law.”) ; United States ex rel. Brown v. Rundle, 417 F. 2d 282 (3d Cir. 1969) (exclusionary rule applicable to sentencing proceedings) ; Pizarello v. United States, 408 F. 2d 579 (2d Cir. 1969) (exclusionary rule applies to tax assessment eases) ; Powell v. Zuckert, 366 F. 2d 634 (D.C. Cir. 1966) (exclusionary rule applies to discharge i>roceedings against a government employee) ; Rogers v. United States, 97 F. 2d 691 (1st Cir. 1938) (exclusionary rule applies to actions for the recovery of customs duties).
Dissenting Opinion
Dissenting Opinion by
I dissent. Constitutional protections apply to all persons at all times. There is no exception. The majority, however, holds that an individual who is at liberty in our society with the status of probationer has less constitutional rights than a member of our society who is not a probationer. I can find no basis for two classes of citizens in our scheme of constitutional protections. A person who has been convicted of a crime and placed on probation cannot, because of such status, be deprived of his constitutional rights. Regardless of his status, he is entitled to all of the normal constitutional protections when he is accused of committing a crime.
In view of the silence of the probation statutes concerning the rights of a person on probation who is accused of criminal conduct, we should look not only to
Although the probation statutes are silent, we have very specific guidance in the Pennsylvania law concerning persons on parole, who are not in any significant manner different from persons on probation. The legislature has provided that a person’s parole cannot be revoked for the alleged commission of a crime unless and until the parolee is convicted of the alleged crime or pleads guilty or nollo contendere in a court of record. Act of August 6, 1941, P. L. 861, §21.1, added 1951, August 24, P. L. 1401, §5, as amended, Act of June 28, 1957, P. L. 429, §1, 61 P.S. 331.21a. The parole can only be revoked after the conclusion of the criminal trial for the alleged crime with all the attendant constitutional protections. Thus, a person on parole accused of crime is treated as any other citizen so far as constitutional protections are concerned. The legislature, in the case of persons on parole, has recognized that there is no caste system where constitutional guarantees are concerned.
The majority, in effect, deprives a person on probation of constitutional protections which are not taken away from any person by the Pennsylvania Constitution or the federal Constitution and which have not been taken away by the legislature from persons on parole. The majority’s attempt to take away the normal constitutional protections from persons on probation has no support except “silent statutes.”
In all three of the cases before us, a person is accused of crime and no penalty of any kind can be imposed upon such person until the completion of the criminal trial. A person is presumed innocent of criminal conduct until proven guilty in a criminal trial. The presumption of innocence even applies to a prisoner
The majority relies heavily on Morrisey v. Brewer, 408 U.S. 471, 33 L. Ed. 2d 484, 92 S. Ct. 2593 (1972). That case, however, concerned parole violations other than the commission of a crime. Such violations are commonly known as technical violations. The three cases before us do not involve technical violations.
The unfairness in the holding of the majority is seen in two of the three cases before us. The majority concludes that persons acquitted of a crime can nonetheless suffer a penalty because of the very crime of which they have been acquitted. Such a result is illogical and unconstitutional. In the criminal trial, the defendant is acquitted but in the probation revocation trial, the defendant is guilty. I cannot condone such double jeopardy of the defendant’s liberty.
In the appeal of Daisey Kates, the majority compounds its error by holding that a statement obtained in violation of the appellant’s constitutional rights is admissible in a probation hearing. A statement obtained in violation of a person’s constitutional rights under the Fifth and Sixth Amendments and under Article I, Section 9 of the Pennsylvania Constitution cannot be used for any affirmative purpose by the government. Harris v. New York, 401 U.S. 222, 28 L. Ed. 2d 1, 91 S. Ct. 643 (1971). In this case the unconstitutionally obtained statement was used in a positive way by the government. Even in Harris, which permitted the government to use such a statement as a shield, the court was emphatic that the affirmative use of such a
In the appeal of Oleo McClellan, another unfairness, of the practice condoned by the majority, becomes apparent. The defendant while on probation for an eight-year period, allegedly committed the crime of assault and battery and the crime of assault and battery with intent to rape. After a probation hearing and while the defendant was still presumed innocent, his probation was revoked and a sentence imposed of three to ten years’ imprisonment. Subsequently in the criminal trial, the defendant Avas acquitted of the higher offense of assault with intent to rape, although he was convicted of the lesser crime of assault and battery. Can it be said that the imposition of the prison term of three to ten years was not imposed in part because of a finding of guilt at the probation trial even though the defendant was subsequently acquitted, of the crime of assault and battery with intent to rape? The unfairness is obvious. In the McClellan appeal the order revoking probation should be reversed and the matter remanded for reconsideration in light of the appellant’s acquittal of the more serious charge.
In the appeal of James E. Allen, the writ of prohibition should be granted. The court should be pro
Reference
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- Commonwealth v. Kates, Appellant; Commonwealth v. McClellan, Appellant; Allen, Petitioner, v. Reed
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