Commonwealth v. Morris
Commonwealth v. Morris
Concurring Opinion
concurring.
I join the opinion of the court, but wish to emphasize the inherent power of the court to enter a stay in order to effectuate justice. When the legislature is silent, a court can always enter a stay when it is necessary to avoid injustice.
The opinion of the court briefly acknowledges this power, but understandably emphasizes the exception governing this case. When a convict under sentence of death seeks a stay of execution, he is obligated to follow the statutory procedure, set forth at 42 Pa.C.S. § 9545(c), established to control this precise situation. This in no way abrogates the court’s inherent power to grant a stay nor the convict’s right to seek a stay: it merely prescribes the procedure governing exercise of the court’s power and the convict’s rights. Mr. Justice Cap-pas opinion for the court aptly analogizes this situation to the relationship between the PCRA and the right of habeas corpus, whereby a petitioner must seek habeas relief only within the confines of the PCRA or suffer the loss of that right. This being understood, I join the opinion of the court.
As appellant failed to follow the procedure of § 9545(c), I agree that the court lacked the authority to stay the execution.
Opinion of the Court
This is a direct appeal from an order of the trial court granting appellee’s motion for a stay of execution. We granted review of this matter in order to determine whether the trial court had jurisdiction to enter the stay and to set forth the appropriate standard of review this court should employ in reviewing stays of execution. The Commonwealth urges this court to reverse the order of the trial court on the basis that the trial court was without authority to enter the stay of execution outside the parameters set forth in 42 Pa.C.S. § 9545(c). We agree with the Commonwealth and accordingly, vacate the stay of execution.
A brief synopsis of the procedural history of the case is necessary to understand the disposition of this matter.
Following the trial court’s orders, the Commonwealth filed an Emergency Petition for Expedited Appellate Review of Illegal Stay Order with this court. This court noted probable jurisdiction and scheduled oral arguments on the trial court’s order granting the stay of execution. Specifically, we directed that the parties address this court’s jurisdiction to review the trial court’s order, whether 42 Pa.C.S. § 9545(c) establishes the exclusive means by which a stay of execution can be granted in post-conviction matters, and the validity of the stay entered by the trial court in the instant case. The Commonwealth’s primary argument is that section 9545(c) provides the sole means by which a stay can be granted. Appellee responds, inter alia, that section 9545 is unconstitutional, or in the alternative, that section 9545 cannot usurp the court’s inherent power to grant a stay.
In reviewing these issues we must first consider whether we have jurisdiction to review the stay of execution. If we do have jurisdiction, we will next address whether section 9545(c) survives the constitutional challenges to its validity. If section 9545(c) is constitutional, we will consider the Commonwealth’s claim that section 9545(c) establishes the exclusive means by which a stay can be entered in a case on collateral review. We will then enumerate guidelines for both applicants and courts to follow when requesting and reviewing stay applications. And finally, we will speak to the validity of the stay entered in the case herein.
The threshold question in this case is whether this court has jurisdiction to review the trial court’s order granting the stay of execution. The Commonwealth asserts that this court has jurisdiction, since an order staying an execution is a form of injunctive relief and is therefore appealable as of right, even if interlocutory, pursuant to Pa.R.A.P. 311(a)(4). Alternatively, the Commonwealth asserts that this court has jurisdiction to review the stay order as a collateral order pursuant to Pa.R.A.P. 313. Finally, the Commonwealth as
Appellee responds that the order granting the stay of execution is an interlocutory order, and as such, the Commonwealth had no right to appeal the order and this court is without jurisdiction to hear the appeal. Appellee points out that the stay did not grant final relief on the PCRA petition nor did it leave the Commonwealth out of court. Rather, the Commonwealth was not harmed in any way by the entry of the stay order and the regular appeals process should be followed in this case.
The Commonwealth’s argument that the stay order should be treated as either an injunction or mandamus action has some appeal since that is how federal courts and other states have opted to treat stays of execution for jurisdictional purposes. In re Moser, 69 F.3d 690 (3rd Cir. 1995)(court has jurisdiction to consider stay of execution, since the effect of a stay is injunctive in nature; jurisdiction is also appropriate as an exercise of mandamus authority under the All Writs Act, 28 U.S.C. § 1651(a)); see also Franklin v. Francis, 144 F.3d 429, 432 (6th Cir. 1998); Zant v. Dick, 249 Ga. 799, 294 S.E.2d 508 (1982). Likewise, Pennsylvania courts have treated stay orders as preliminary injunctions under limited circumstances. Blackwell v. Commonwealth, State Ethics Commission, 523 Pa. 847, 567 A.2d 630 (1989); Chestnut v. Pediatric Homecare of America, 420 Pa.Super. 598, 617 A.2d 347 (1992). In order to determine whether a stay order should be treated as a preliminary injunction, the court must make a determination
Normally, stay orders, including appellate review of stay orders, are governed by Chapter 17 of the Rules of Appellate Procedure. The first two rules of Chapter 17 set forth the general effect of an appeal and include the right of the trial court “to take such action as may be necessary to preserve the status quo.” Pa.R.A.P. 1701(b)(1). Rule 1702 enumerates the procedures for reviewing a stay ancillary to appeal, including an appeal from a stay following the filing of a notice of appeal. Pa.R.A.P. 1702(a). In most instances, a stay of execution would be appealable pursuant to this rule, since the trial court would be consistent in its ruling, i.e., denying both the petition for collateral relief and the stay. Thus, the party filing the notice of appeal would be the same as the party appealing the stay and this court could review the stay order pursuant to Rule 1702(a) once the notice of appeal was filed. However, cases will arise, similar to the case herein, where a stay order is appealed before a notice of appeal is filed.
Similarly, jurisdiction cannot be conferred by the other rules in Chapter 17. Rule 1702(b) provides for review before the filing of a petition for allowance of appeal or permission to appeal from an interlocutory order based upon the recognition that there may be a time lapse between the lower court’s order granting or denying the stay and the filing of the petition for allowance of appeal or permission to appeal. Comment to Pa.R.A.P. 1702(b). In this case, the appellee has not filed and will not be filing a petition for allowance of appeal or permission to appeal, since his appeal of the underlying matter is directly to this court pursuant to 42 Pa.C.S. § 9546(d) (suspended August 11, 1997, reinstating subsection (d) from the 1988 Act).
Rule 1702(c) creates the right to directly appeal a stay to this court in conjunction with Rule 3815, giving our court the right to review the grant or denial of a stay order. Commonwealth v. Martorano, 535 Pa. 178, 634 A.2d 1063, 1065 (1993); Reading Anthracite Co. v. Rich, 525 Pa. 118, 577 A.2d 881, 883 (1990). However, that review is limited to stay orders ruled upon by intermediate courts. In this case, there was no involvement by any intermediate court, nor would there ever be any involvement by an intermediate court, since the appeal in capital cases is directly to this court. Similarly, Rule 1761 provides a vehicle for this court to enter a stay in a capital matter, but that Rule is limited to cases on direct appeal from the judgment of sentence pursuant to 42 Pa.C.S. § 9711 and does not apply to petitions for collateral review. Rules 1731-35 provide for stays for ancillary relief in civil matters. However, these rules cover only specific civil matters, i.e. payment
This court’s exercise of extraordinary jurisdiction should be used sparingly. See Washington County Commissioners v. Pennsylvania Labor Relations Board, 490 Pa. 526, 417 A.2d 164, 167 (1980). Pursuant to 42 Pa.C.S. § 726, we may “in any matter pending before any court or district justice of this Commonwealth involving an issue of immediate public importance,' assume plenary jurisdiction of such matter at any stage thereof and enter a final order or otherwise cause justice to be done.” We have noted that in a particular case it may be appropriate to assume jurisdiction under section 726 in order to conserve judicial resources, expedite the proceedings and provide guidance to the lower courts on a question that is likely to recur. Commonwealth v. Martorano, 535 Pa. 178, 634 A.2d 1063, 1073, n. 6 (1993). Additionally, “the presence of an issue of immediate public importance is not alone sufficient to justify extraordinary relief.... [W]e will not invoke extraordinary jurisdiction unless the record clearly demonstrates petitioner’s rights.” County of Berks v. Pennsylvania Labor Relations Board, 544 Pa. 541, 678 A.2d 355, 359 (1996) (citation omitted).
This issue is likely to recur, as motions to stay executions are routinely filed as part of a petition for collateral relief in
The legislature has prescribed the procedure for entering a stay in post-conviction proceedings as follows:
(c)Stay of execution.—
(1) No court shall have the authority to issue a stay of execution in any case except as allowed under this subchapter.
(2) Except for first petitions filed under this subchapter by defendants whose sentences have been affirmed on direct appeal by the Supreme Court of Pennsylvania between January 1, 1994, and January 1, 1996, no stay may be issued unless a petition for postconviction relief which meets all the requirements of this subchapter has been filed and is pending and the petitioner makes a strong showing of likelihood of success on the merits.
(8) If a stay of execution is granted, all limitations periods set forth under sections 9574 (relating to answer to petition), 9575 (relating to disposition without evidentiary hearing) and 9576 (relating to evidentiary hearing) shall apply to the litigation of the petition.
42 Pa.C.S.A. § 9545(c). A stay properly entered pursuant to section 9545 may remain in effect through the completion of the proceedings. Pa.R.Crim.P. 1509(A)(2).
Appellee asserts that section 9545 is in direct conflict with Art. V, § 9 of the Pennsylvania Constitution and 42 Pa.C.S. § 9546(d), which provide for an absolute right to appeal. Specifically, appellee asserts that the requirements of section 9545 abrogate the right to appeal pursuant to Pa. Const. Art.
Appellee’s first argument is without merit, since section 9545 does not unreasonably interfere with appellee’s right of appeal. We acknowledge that appellee’s argument may have superficial appeal, since it might appear that appellate review cannot be accomplished, unless a stay of execution is granted. However, appellee’s argument overlooks the fact that constitutional.rights are not absolute and the legislature may place reasonable restrictions on constitutional rights.
Similarly, the United States Supreme Court has recognized that statutes, rules and precedents, which narrow the discretion of the lower courts when reviewing a petition for habeas corpus relief, are reasonable so long as they exist within constitutional constraints and balance the objectives of maintaining the court’s freedom to issue the writ against a state’s interest in finality. Lonchar v. Thomas, 517 U.S. 314, 322-23, 116 S.Ct. 1293, 134 L.Ed.2d 440 (1996). In reviewing the reasonableness of a court’s limited review of a habeas corpus petition and a stay related thereto, the United States Supreme Court set forth guidelines which it believed adequately protected the interest of both parties in a habeas corpus proceeding in Barefoot v. Estelle, 463 U.S. 880, 103 S.Ct. 3383, 77 L.Ed.2d 1090 (1983). The federal standards are helpful in assessing whether the limitations placed upon a court’s review of a petition for post conviction relief and a stay related thereto by section 9545 adequately protect appellee’s right to appeal.
In Barefoot, the district court denied the petition for habeas corpus. On appeal, the Court of Appeals for the Fifth Circuit gave the parties an unlimited opportunity to brief and argue the merits as they saw fit. Id. at 886, 103 S.Ct. 3383. Following which, the court concluded that since the petition had no substantial merit, a stay should be denied. The Court granted certiorari to consider, inter alia, whether the Court of Appeals was obligated to decide the appeal on its merits and in the usual course, stay the execution pending such disposition. Id. at 888, 103 S.Ct. 3383. The Court also set forth the “appropriate standard for granting or denying a stay of execution. ...” Id. at 887,103 S.Ct. 3383.
Initially, the Court explained that a stay of execution is an extraordinary remedy, which should only be granted in extreme cases. Id. The primary avenue for review is the direct appeal, and when that process has ended, “a presump
The Court then assessed the Circuit Court’s actions. The Court established that summary procedures, such as those employed by the intermediate court, could be adopted for ruling on stays, so long as the defendant had adequate notice that his opportunity will be limited. Id. at 889-90, 103 S.Ct. 3383 (citing Garrison v. Patterson, 391 U.S. 464, 88 S.Ct. 1687, 20 L.Ed.2d 744 (1968)). In addition, where an applicant established probable cause for an appeal, he must be afforded an opportunity to address the underlying merits of the appeal. Id. at 889, 103 S.Ct. 3383. Based upon these considerations, the court concluded that the Circuit Court’s practice of denying stays, unless the applicant made a showing of success on the merits, comported with these requirements.
However, the Court implied that the Circuit Court’s procedure was barely sufficient and went on to enumerate general guidelines for all lower courts to follow “for fair and efficient consideration of these appeals,” which would “allow a decision on the merits of an appeal accompanying the denial of a stay.” Id. at 892, 103 S.Ct. 3383. The Court explained that Congress had fashioned the requirement for a petitioner to obtain a certificate of probable cause to facilitate the process of separating the meritorious from the frivolous claims. A meritorious claim exists where the petitioner has made a “substantial showing of the denial of a federal right” and a court should issue a certificate of probable cause in those instances. Id. at 893, 103 S.Ct. 3383. Likewise, where a certificate of probable cause has issued, a stay should be granted pending disposition of the appeal in order to prevent the case from becoming moot. Id. at 893-94, 103 S.Ct. 3383.
Since that time, the Court has explained that Barefoot delineated the general guidelines governing habeas corpus review and stays pursuant thereto. Lonchar, 517 U.S. at 319,
Most recently, the Court once again reviewed the “substantial showing” requirement from Barefoot in Slack v. McDaniel, 529 U.S. 473, 120 S.Ct. 1595, 146 L.Ed.2d 542 (2000). The Court explained that although this requirement was codified at 28 U.S.C. § 2253,
[I]n order to obtain a certifícate of appealability under § 2253 a habeas petitioner must make a strong showing of the denial of a constitutional right, a demonstration that under Barefoot, includes showing that reasonable jurists could debate whether (or, for that matter, agree that) the petition should have been resolved in a different manner or that the issues presented were “adequate to deserve encouragement to proceed further.”
Id. at 1603-04.
Applying these standards to the instant case, the limitations placed upon the court’s review of a post conviction petition by section 9545(c) are entirely reasonable. This is appellee’s second petition for post conviction relief and therefore, the potential that appellee is merely using the process to delay the execution of his sentence is greater. Likewise, the state’s interest in finality is more compelling. Thus, keeping in mind that this is appellee’s second petition for collateral review, we now review the specific requirements of section 9545(c) for the purpose of resolving whether they place reasonable limits on appellee’s right of appeal in second or subsequent petitions for collateral relief.
The first requirement of this section provides that the petition for collateral relief must meet “all the requirements of this subchapter.” 42 Pa.C.S. § 9545(c)(2). This requirement necessarily includes timely filing pursuant to section 9545(b) and is no more than a threshold jurisdictional requirement.
Section 9545 also requires that the petition “has been filed and is pending” before the court. 42 Pa.C.S. § 9545(c)(2). This requirement is reasonable, since it is axiomatic that motions cannot occur in a vacuum — there must be an action pending before the court in order to invoke the jurisdiction of the court.
Lastly, section 9545(c)(2) requires that “the petitioner makes a strong showing of likelihood of success on the merits.” This language closely tracks the language of the federal habeas corpus statute, which was amended following Barefoot and provides that a certificate of appealability should only issue where the applicant has “made a substantial showing of the denial of a constitutional right.” 28 U.S.C. § 2253.
Both the court and the parties in this case had adequate notice that these limitations were placed on the applicant’s right to a stay, since these limitations were codified and published at 42 Pa.C.S. § 9545 and became effective on January 16, 1996. Appellee did not file his petition until December 30, 1996, nearly a year after the changes to this section became effective. More importantly, once the PCRA court denied the PCRA petition, appellee still had the right to appeal and file a stay of execution to this court. Although section 9545 may have the effect of expediting review of an applicant’s appeal, such limitations are reasonable in light of the competing interests between the appellee’s need for review and the state’s interest in finality. See Peterkin, 722 A.2d at 643; see also Lonchar v. Thomas, 517 U.S. 314, 116 S.Ct. 1293, 134 L.Ed.2d 440 (1996); Barefoot v. Estelle, 463 U.S. 880, 103 S.Ct. 3383, 77 L.Ed.2d 1090 (1983). Section 9545(c) weighs these interests and allows a court to enter a stay of execution in the event that the applicant demonstrates a likelihood of success on the merits. Accordingly, this section does not unreasonably interfere with appellee’s right to appeal.
We must next review appellee’s constitutional challenge to this section on the basis of the separation of powers doctrine. The doctrine of separation of powers is based upon the longstanding recognition that the powers of the three branches of government — ¡judicial, legislative and executive—
In 1968, the legislature granted this court exclusive rulemaking authority in Article V, § 10 of the Pennsylvania Constitution. This provision states that:
(c) The Supreme Court shall have the power to prescribe general rules governing practice, procedure and the conduct of all courts, justices of the peace and all officers serving process or enforcing orders, judgments or decrees of any court or justice of the peace, including the power to provide for assignment and reassignment of classes of actions or classes of appeals among the several courts as the needs of justice shall require, and for admission to the bar and to practice law, and the administration of all courts and supervision of all officers of the judicial branch, if such rules are consistent with this Constitution and neither abridge, enlarge nor modify the substantive rights of any litigant, nor affect the right of the General Assembly to determine the jurisdiction of any court or justice of the peace, nor suspend nor alter any statute of limitation or repose. All laws shall be suspended to the extent that they are inconsistent with rules prescribed under these provisions.
Pa. Const. Art. V, § 10(c). This provision outlines the scope of this court’s rulemaking authority by both defining the extent of its power and placing limitations on its power. For example, it grants the judiciary the exclusive power to establish rules of procedure for state courts, In re 42 Pa.C.S. § 1703, 482 Pa. 522, 394 A.2d 444, 448 (1978), yet limits the rulemaking power by requiring that the rules cannot “affect the right of the General Assembly to determine the jurisdiction of any court....” In In re 42 Pa.C.S. § 1703, we explicitly rejected that the legislature may have concurrent power in this arena. Id.; see also Pa. Const. Art. V, § 10.
Section 9545 is entitled “Jurisdiction and Proceedings.” Subsection (a) provides that original jurisdiction for a proceeding under this subsection is in the court of common pleas. 42 Pa.C.S. § 9545(a). Subsection (b) prescribes the time for filing a petition for post-conviction relief and has been interpreted to be a jurisdictional requirement, consistent with the title of this section. 42 Pa.C.S. § 9545(b). In other words, where a petition is untimely, the court is without jurisdiction to entertain the merits of the petition. Fahy, 737 A.2d at 220; Commonwealth v. Banks, 556 Pa. 1, 726 A.2d 374, 376 (1999); Peterkin, 722 A.2d at 641. These first two subsections clearly relate to the jurisdiction of the court and thus, do not fall within the exclusive procedural rulemaking power of this court pursuant to Art. V, § 10.
Unlike the prior two sections, subsection (c), the subsection at issue in this case, demarcates the authority of the court to enter a stay once jurisdiction is properly entertained. We have explained that authority and jurisdiction are not synonymous:
Jurisdiction and power are not interchangeable although judges and lawyers often confuse them.... Jurisdiction relates solely to the competency of the particular court or administrative body to determine controversies of the general class to which the case then presented for its consideration belongs. Power, on the other hand, means the ability of a decisionmaking body to order or effect a certain result.
Delaware River Port Authority v. Pennsylvania Public Utility Commission, 408 Pa. 169, 182 A.2d 682, 686 (1962); see also Riedel v. Human Relations Commission of the City of Reading, 559 Pa. 34, 739 A.2d 121, 124 (1999). The first part of
Rather, § 9545 falls outside the parameter of Art. Y, § 10 for entirely different reasons. Both parties ignore the fact that the threshold determination in reviewing whether a particular statute interferes with our rulemaking authority granted in Art. 5, § 10 must be whether the section is procedural or substantive in nature, given that we have exclusive rulemaking authority only over procedural law. See In re 42 Pa.C.S. § 1703, supra. The limitation placed on the legislature’s power by Art. V, § 10(c) does not affect its ability to address the substantive law in a particular area, it merely limits the legislature’s authority over procedural law. “The rulemaking power of this court is not for the purpose of defining new rights of litigants but rather to provide the procedure by which established rights are to be effectuated.” Commonwealth v. Fowler, 451 Pa. 505, 304 A.2d 124, 127 (1973). As a general rule, substantive law is that part of the law which creates, defines and regulates rights, while procedural laws are those that address methods by which rights are enforced. Morabito’s Auto Sales v. Commonwealth, Department of Transportation, 552 Pa. 291, 715 A.2d 384, 386 (1998); see also Commonwealth v. Fisher, 559 Pa. 558, 741 A.2d 1234 (1999). Although the demarcation between substance and
In reviewing section 9545(c), we acknowledge that the legislature appears to be setting forth the process for enforcing the right to a stay as well as regulating the substantive right to a stay. However, a closer inspection reveals that section 9545 merely defines the appropriate circumstances for securing the substantive right, i.e., the entry of the stay of execution. Although the legislature is not “creating” the right to a stay, it is clearly defining the parameters for the grant of the stay. Section 9545 does not set forth the procedure to enforce the substantive right; rather, it outlines for the defendant under what circumstances he has a right to a stay in collateral proceedings. Thus, this section is substantive, rather than procedural in nature, and it is axiomatic that section 9545(c) does not violate Art. V, § 10, since that provision applies only to this court’s exclusive procedural rulemaking authority.
We next address appellee’s argument that section 9545 cannot provide the sole means for the entry of a stay. Appellee’s argument is based on the inherent right of a court to enter a stay. According to appellee, the court has an inherent power to stay actions in order to prevent irreparable injury to the parties or the public. Scripps-Howard Radio, Inc. v. Federal Communications Comm’n, 316 U.S. 4, 9-10, 62 S.Ct. 875, 86 L.Ed. 1229 (1942).
We acknowledge that the courts of Pennsylvania have certain inherent rights and powers under our constitution, including the right to enter a stay of execution.
For example, in a matter similar to the one addressed herein, the United States Supreme Court explained that judgments regarding the scope of the writ of habeas corpus are normally for Congress to make and courts will make such judgments where Congress has failed to act. Lonchar, 517 U.S. at 322-23, 116 S.Ct. 1293; see also Felker v. Turpin, 518 U.S. 651, 664, 116 S.Ct. 2333, 135 L.Ed.2d 827 (1996). In Lonchar, the Court considered whether a lower court could dismiss a first federal habeas petition for “equitable reasons” beyond those set forth in the relevant statutes, Federal Habeas Corpus Rules and prior precedents. The court first established, through a review of the history of the “Great Writ of Habeas Corpus,” that the trend in habeas corpus actions was toward a more formal system of rules promulgated by Congress, the Rule writers and the courts. 517 U.S. at 322, 116 S.Ct. 1293. This more formalized system of review narrows “the discretion that individual judges can freely exercise.” Id. So long as these rules are within constitutional restraints and balance the interests of the parties, they must be followed, since the result of following such established rules and precedent is to “reduce uncertainty, avoid unfair surprise, minimize disparate treatment of similar cases, and thereby help all litigants, including the State, whose interests in finality such rules often further.” Id. at 323-24, 116 S.Ct. 1293. Ultimately, the court found that a specific Habeas Corpus Rule directly addressed the issue that led to the dismissal and thus, concluded that the Court of Appeals could not ignore this rule in favor of equitable relief. Id. at 327-28, 116 S.Ct. 1293.
This conclusion is reinforced by the fact that the criminal rules provide that a stay can remain in effect until the conclusion of the proceedings, including appellate review to this court, if the stay has been granted pursuant to section 9545(c). Pa.R.Crim.P. 1509(A)(2). In other words, so long as a stay is granted by the trial court pursuant to section 9545(c), there is no need for the applicant to reapply for a stay to this court. Thus, we have embraced this section in our own rules of procedure. However, the rules fail to specify any procedures for reviewing and ruling on the application for a stay of execution. In order to provide guidance to the parties and lower courts for the issuance of stays, we now set forth some general guidelines for applicants and lower courts to follow.
Normally, the request for a stay will be contained in the petition for collateral relief and thus the requirements of section 9545(c) will be discussed in the petition, Pa. R.Crim.P. 1509(A)(1). In those circumstances, the courts can follow the general guidelines discussed below in reviewing the request for a stay. However, where the stay application is filed separately from the petition, see Comment to Pa. R.Crim.P. 1509(A)(1), or where a party is requesting that this court review the lower court’s grant or denial of the stay application, the applicant needs to set forth his argument in favor of the stay in greater detail in the stay application itself.
First, the applicant must set forth a jurisdictional statement. Specifically, the applicant must demonstrate that the petition is timely because it falls within the time requirements of section 9545(b), or where it is untimely, the applicant must allege that it falls within one of the exceptions to the timeliness requirement and that the petition was “filed within 60 days of the date the claim could have been presented.” 42 Pa.C.S. § 9545(b)(1) and (2). A court should only grant the stay application where it appears that the petition is timely or falls within one of the exceptions to the timeliness requirements. Where the stay petition is denied based upon the failure to meet the time requirements, the applicant must then demonstrate on appeal from the denial of the stay that reasonable jurists would find it debatable whether the lower court was correct in its jurisdictional ruling. Slack, supra. Where the lower court determines that the petition is timely, it must next consider whether the petition is pending before the court.
Rule 1509(A)(1) of the Pennsylvania Rules of Criminal Procedure provides, in pertinent part, that a request for a stay should be made in the petition for collateral relief. The Comment to this Rule provides that failure to include a statement to stay the execution in the petition will not be considered a waiver and the applicant may file a separate request for a stay. Thus, in most instances, the applicant will not need to demonstrate that a petition is pending before the court, since that requirement will be met by compliance with the rules. However, in the event that there is not a petition
Lastly, the applicant must set forth a statement demonstrating that he has some likelihood of prevailing on the merits, since it is only where there is some likelihood of prevailing on the merits that a stay must be granted. Barefoot. We do not expect the applicant to duplicate his entire PCRA petition in the event that the stay application is separate from the petition. Rather, the applicant must merely set forth sufficient facts and law for the lower court to make an educated determination of whether the issue presented was “adequate to deserve encouragement to proceed further.” Slack.
It is only where these requirements are set forth in the application that the lower court should review the application. It is within the trial court’s discretion to determine at what time the stay application should be considered. The trial court may find it more efficient to review the stay application at the same time it disposes of the underlying petition since in most cases the issues set forth in both documents will be similar. However, circumstances may arise where the trial court will need to rule on the stay application at the outset of the proceedings, at which time a cursory review of the stay application may be sufficient to stay the execution so that a more in depth review of the underlying petition can occur.
Applying the above principles to the instant case, it is clear that the trial court erred in granting the stay of execution. This was appellee’s second PCRA petition, and thus, appellee had to comply with the time requirements pursuant to section 9545(b). The PCRA court concluded that the petition did not meet the time requirements and dismissed the petition. Paradoxically, the court then granted the stay of execution. Clearly, this action directly contradicted the requirements of section 9545(c), which provide that the petition must be timely filed before a stay can be granted.
The appropriate way to conduct this case was for the PCRA court to deny the stay of execution at the time it denied the petition for post-conviction relief. Thereafter, appellee could have filed an appeal and applied for a stay of execution, which complied with the requirements set forth herein, with this court. At which time, this court would have reviewed the stay application consistent with the standards enmnerated herein. However, this is not the procedure that was followed in this instance. Rather, the Commonwealth filed an appeal only from the trial court order granting the stay. As the only issue that is pending before us is the propriety of the trial court’s action in granting the stay, this is not the appropriate time to review the underlying merits of appellee’s subsequently filed appeal of the denial of post conviction relief. Accordingly, we must vacate the trial court’s order staying the execution since
. A full factual history of the case can be found at Commonwealth v. Morris, 522 Pa. 533, 564 A.2d 1226 (1989).
. An attorney from the former Center for Legal Education, Advocacy & Defense Assistance (CLEADA), who is now with the Federal Court Division of the Defender Association (FCDDA), agreed to represent appellee.
. Appellee also raises numerous arguments regarding the trial court’s disposition of tlie underlying petition, i.e. that the petition was timely and the issues had merit. We point out that this is not the appropriate time 1o address these issues, as the only order that we are reviewing at this time is the trial court’s grant of a stay of execution. These issues are more appropriately addressed at the time we review appellee's appeal from the denial of his PCRA petition, which was subsequently filed with this court.
. We do not directly respond to appellee's arguments, since as discussed infra, we can exercise jurisdiction over the instant matter.
. We similarly reject the Commonwealth's urgings to treat this as a collateral order pursuant to Pa.R.A.P. 313.
. Indeed, circumstances may arise where a party requests review of the stay order before the PCRA court has even reviewed the underlying petition. Under the current rules, there is no mechanism for immediate review of such stay orders.
. The appeal from the order granting the stay of execution was filed on January 4, 2000, but the notice of appeal on the underlying petition was not filed until January 12, 2000. That petition is currently pending before us.
. We propose that the Rules be amended to provide for this court's immediate review of stay orders. Similar to the effect of the interplay between Pa.R.A.P. 1702(c) and 3315, a rule should be drafted to provide a vehicle for this court’s direct review of grants or denials of stay orders in collateral capital cases without the requirement that a notice of appeal be filed to this court before review of the stay order is proper. Accordingly, we refer this matter to the Appellate Rules Committee.
. Art. V, § 9 provides that:
There shall be a right of appeal in all cases to a court of record from a court not of record; and there shall also be a right of appeal from a court of record or from an administrative agency to a court of record or to an appellate court, the selection of such court to be as provided by law; and there shall be such other rights of appeal as may be provided by law.
. Although appellee does not have a constitutional right to collateral review, he does have a constitutional right to appeal from a court of record to an appellate court. Pa. Const. Article V, § 9. Similarly, the legislature has provided a right to appeal in cases on collateral review. 42 Pa.C.S. § 9546(d). Thus, where these rights have been conferred, it would be insincere for us to conclude that the right to appeal can be limited on the basis that there is no constitutional right to collateral review in the first instance. See Commonwealth v. Albrecht, 554 Pa. 31, 720 A.2d 693, 699-700 (1998)(while the Sixth Amendment does not provide a federal right to counsel in post-conviction proceedings, procedural rule in Pennsylvania provides for appointment of counsel in first PCRA proceedings and this right to counsel necessarily includes a concomitant right to effective assistance of counsel).
. We note [hat this is not a first petition for collateral review. Therefore, our holding is limited to a second PCRA petition, and we express no view at present regarding first PCRA petitions.
. Lonchar was filed on April 1, 1996 and the amendments to § 2253 did not become effective until April 24, 1996.
. Although a certificate of appealability is not ihe same as an application for slay, the federal courts follow the same guidelines for reviewing both petitions. Lonchar, 517 U.S. at 319, 116 S.Ct. 1293 ("We have before us a Court of Appeals order that vacates a slay, not an order to dismiss the habeas petition. We believe, however, that this fact makes no difference. That is, the Court of Appeals order vacating the stay is lawful only if dismissal of the petition would have been lawful.’’).
. It appears that the legislature intended that in order for a stay to be granted, the underlying petition must also meet the pleading and proof requirements as set forth in 42 Pa.C.S. § 9543. However, for purposes of review, it is most important that the petition be timely filed since that is a threshold jurisdictional requirement. Moreover, we can envision circumstances in which requiring the court to review the underlying petition to determine whether it complies with section 9543 may interfere with a constitutional right, since time constraints on both the parties and the courts may make it unreasonable to require that the petition be reviewed before the stay can be granted.
. Similarly, federal courts decline to entertain a habeas corpus petition unless certain prerequisites are met. For example, in most instances, federal courts require the applicant to exhaust state remedies before seeking federal habeas relief. 28 U.S.C. § 2254(b)(1); Castille v. Peoples, 489 U.S. 346, 349, 109 S.Ct. 1056, 103 L.Ed.2d 380 (1989); Pitchess v. Davis, 421 U.S. 482, 486, 95 S.Ct. 1748, 44 L.Ed.2d 317 (1975).
. We recognize that the United States Supreme Court has determined that a petition for habeas corpus need not always be filed before the district court can entertain a stay application. McFarland v. Scott, 512 U.S. 849, 114 S.Ct. 2568, 129 L.Ed.2d 666 (1994)(stay could be granted where necessary to give effect to the right to counsel). Accordingly, although this is not the appropriate time to discuss the scope of the “pending” requirement, we merely note that this opinion does not foreclose the possibility that situations may arise where the requirement that a petition is to be filed and pending at the time the stay application is reviewed may interfere with the constitutional right to appeal.
. We recognize that the stay of execution in Sinking Fund involved a money action, rather than a stay of execution in the context of a death warrant. However, we are merely utilizing this case to demonstrate a court's inherent powers.
. Although the general purpose of the rules set forth in the PCRA does not change whether it is a first or successive PCRA petition, we must emphasize that the instant case involves a second PCRA petition. We do not address whether the disposition of this case would be altered if this was appellee’s first PCRA petition; however, we note that the weight of the competing interests in a first PCRA petition are clearly distinct from the weight of the competing interests in a second or successive PCRA petition. Lonchar, supra.
. Although this requirement appears to impose an additional burden on the defendant, it will serve to benefit applicants in instances in
. We have indicated that this opinion does not foreclose the possibility that the "pending” requirement may be defined more broadly. Infra at n. 16.
. We point out that under our opinion today, a stay granted under these circumstances may be directly appealable to this court.
Concurring Opinion
concurring.
I agree with the majority’s ultimate conclusion that the PCRA court lacked jurisdiction to stay the Governor’s execution warrant once it determined that the serial PCRA petition before it was untimely filed. Accordingly, I join in the mandate vacating the stay of execution. The Court’s mandate follows upon a discussion of several difficult questions, howev
First, although I agree that this Court clearly has jurisdiction to review the order below, I do not believe that the only, or even the most appropriate, jurisdictional predicate is extraordinary jurisdiction under 42 Pa.C.S. § 726. A stay of an execution warrant is not like the typical stay order usually governed by Chapter 17 of our Appellate Rules. In the typical non-capital case, the movant seeks to stay an order of the lower court pending an appeal of that order. The stay here, however, is not a stay of the order of the PCRA court denying appellee’s untimely, serial PCRA petition. Instead, the PCRA court stayed an executive order, i.e., the Governor’s warrant of execution. In my view, the order staying that warrant is itself a final, appealable order under Pa.R.A.P. 341(b).
Rule 341(b) defines a final order as, inter alia, “any order that: (1) disposes of all claims and all parties.” A warrant of execution must specify a day of execution occurring no later than sixty days after the warrant is signed. 61 P.S. § 3002. The warrant here scheduled appellee’s execution for January 27, 2000. The stay entered by the PCRA court on December 21, 1999, rendered that particular warrant unenforceable. As the Commonwealth properly and succinctly notes:
A death sentence must be carried out at a particular time under a particular warrant, or it cannot be carried out at all. A stay that persists beyond the time fixed by the warrant invalidates that warrant — finally, totally, and permanently. Insofar as the warrant of execution is concerned, such an order disposes of all claims and of all parties.
The stay order is independently appealable to this Court because it amounts to a grant of injunctive relief. See Pa. R.A.P. 311(a)(4).
My second concern involves the majority’s interpretation of 42 Pa.C.S. § 9545(c)(2), the provision of the PCRA governing stays of execution. This provision was enacted as part of the same November 1995 legislation that produced the Capital Unitary Review Act (CURA), 42 Pa.C.S. §§ 9570-79. This Court’s August 11, 1997, order suspending CURA and provisions in the PCRA which referred to unitary review or to specific CURA provisions — i.e., §§ 9543(a)(4), 9544(b), 9545(c)(3) & (d)(2) & 9546(d) — did not suspend § 9545(c)(2). Although § 9545(c)(2) does not explicitly refer to CURA, I believe it is properly understood only in light of the overall capital review construct that the November 1995 legislation, of which it was a part, would have established.
Had CURA not been suspended, the PCRA’s stay provision would have applied primarily, and eventually exclusively, to capital cases involving serial petitions for collateral relief. First petitions for collateral relief in capital cases subject to CURA would not have proceeded under the PCRA at all, but instead would have been subject to CURA’s simultaneous post-trial motion/collateral attack and unitary review provisions. Moreover, no stay of execution would issue in a first collateral attack in a CURA case both because the Governor could not sign an execution warrant until after completion of the hybrid procedure and appeal, see 42 Pa.C.S. § 9711(i)-(j), and because, under this Court’s rules, the pendency of the hybrid appeal would operate to stay the execution. See Pa.R.A.P. 1761. CURA made clear that it was only “subsequent petitions” in CURA cases that would be governed by the PCRA. See 42 Pa.C.S. § 9578 (no further review of
The PCRA stay provision is more complicated, of course, because the General Assembly had to account for the many pre-CURA capital cases that had already proceeded through direct appeal to this Court. These cases could not proceed under CURA’s hybrid unitary review approach and, thus, would be governed by the PCRA. As to that class of potential capital PCRA petitioners, the legislature specifically excluded a single sub-class from operation of the new stay of execution standard: first-time PCRA petitioners whose death sentences had recently been affirmed, i.e., between January 1, 1994, and January 1, 1996. As to this sub-class, the PCRA requires no particular showing to secure a stay. First-time capital PCRA petitioners whose sentences had been affirmed before January 1, 1994, however, as well as capital defendants filing serial collateral attacks under the PCRA, would have to satisfy the statutory stay standard.
This distinction in treatment of first-time capital PCRA petitioners no doubt reflected a legislative judgment that capital defendants whose direct appeals had only recently been decided had not yet had sufficient opportunity to seek collateral review, while defendants in the older cases had such an opportunity. As to the older cases, there was greater reason to conclude that the failure to seek PCRA review was a deliberate delaying tactic, warranting application of a stricter standard for a stay. In this regard, it is worth noting that capital defendants whose sentences were affirmed before 1994 were not subject to the warrant signing statute, 42 Pa.C.S. § 9711(j), which took effect March 15, 1995; those defendants thus had no external prompting, such as the issuance of a death warrant, to cause them to seek PCRA review.
A separate question, of course, is whether § 9545(c)(2) should retain any force at all given its obvious relationship with the now-suspended CURA. Since the provision explicitly addresses both CURA and non-CURA situations, however, and reflects a rather clear and unimpeded judgment with respect to the substantive standard that should govern the availability of a stay of execution in serial petition cases, such as this one, I see no reason why it should not apply here.
The majority’s discussion of the PCRA stay provision paradoxically does not proceed according to the PCRA’s plain language, nor does it acknowledge the importance of the Process Gas line of cases in explicating the standard. Instead, the majority relies upon the federal habeas corpus statute and federal cases construing that provision. I believe this inappropriate approach introduces confusion into an area where clarity is particularly necessary.
The majority states that the PCRA stay language “closely tracks the language” of 28 U.S.C. § 2253, the federal provision governing state prisoner appeals from the denial of habeas relief. Majority op. at 735. The majority then holds that the federal standard for habeas appealability, a standard explicated in a line of cases beginning with Barefoot v. Estelle, 463 U.S. 880, 103 S.Ct. 3383, 77 L.Ed.2d 1090 (1983), should
The majority also relies on federal habeas cases to resolve appellee’s claim that the stay provision in § 9545(c) burdens his state constitutional right of appeal. The majority notes that constitutional rights are not absolute, but are instead subject to reasonable legislative restriction; therefore, the constitutionality of § 9545(c)(2) depends upon the reasonableness of the limitation it places upon the right of appeal. Majority op. at 732 (citing Commonwealth v. Peterkin, 554 Pa. 547, 722 A.2d 638, 642 (1998)). In explicating that which may be reasonable for state constitutional purposes, again the majority turns to the federal habeas cases. The majority seems to imply that the federal cases, including the cases discussing the availability of stays of execution, have been assessed for constitutional reasonableness. Majority op. at 732 (citing Lonchar v. Thomas, 517 U.S. 314, 322-23, 116 S.Ct. 1293, 134 L.Ed.2d 440 (1996)). For that reason, the majority states, the federal standards should be utilized in assessing the reasonableness of § 9545(c)(2) in the face of the constitutional right of appeal challenge presented here. Majority op. at 732, 734. Construing the PCRA stay standard as the equivalent of the federal Barefoot standard, the majority concludes that the PCRA stay standard is reasonable and, for that reason, passes state constitutional muster.
The majority’s reliance upon the federal habeas cases to explicate the PCRA stay standard and to evaluate whether it
Thus, the federal habeas cases relied upon by the majority involve questions of federal statutory construction, not of constitutionality. Until 1996, the federal habeas appeal statute, 28 U.S.C. § 2253, provided no right of appeal to a habeas petitioner unless a district or circuit court judge issued “a certificate of probable cause” (commonly called a “CPC” in habeas parlance). See Slack v. McDaniel, 529 U.S. 473, 480, 120 S.Ct. 1595, 1602, 146 L.Ed.2d 542 (2000).
When a [CPC] is issued ..., petitioner must then be afforded an opportunity to address the merits, and the court of appeals is obligated to decide the merits of the appeal. Accordingly, a circuit court, where necessary to prevent the case from becoming moot by the petitioner’s execution, should grant a stay of execution pending disposition of an appeal when a condemned prisoner obtains a certificate of probable cause on his initial habeas appeal.
Id. at 893, 103 S.Ct. 3383. Accord Lonchar v. Thomas, 517 U.S. 314, 319-20, 116 S.Ct. 1293, 134 L.Ed.2d 440 (1996).
The majority suggests that the “limited review” and stay procedure available in the federal habeas capital arena has been subjected to evaluation and approval for constitutional “reasonableness,” an evaluation the majority says is measured by whether the limits “exist within constitutional constraints and balance the objectives of maintaining the court’s freedom to issue the writ against a state’s interest in finality.” Majority op. at 732. But the citation following this proposition, Lonchar, 517 U.S. at 322-23, 116 S.Ct. 1293, does not support it. After surveying the history of federal habeas, Lonchar merely noted that habeas review has come to be governed by “complex procedural principles that regularize and thereby narrow the discretion” of individual judges, which are “embodied in statutes, rules, precedents, and practices that control
In short, I do not think that the federal cases cited by the majority stand for the proposition that the habeas statute, including the probable cause standard adopted in the stay cases, has been subject to, and survived, constitutional scrutiny for reasonableness. Instead, the stay standard is dictated by the statute creating the right of appeal in the first place. Thus, the federal habeas cases do not support the proposition that the PCRA’s stay provision, so long as it -is interpreted as being identical to the Barefoot standard, likewise passes constitutional muster. The PCRA stay question this Court faces derives from a state constitutional provision, and its subsequent legislative restriction, having no federal habeas counterpart. The federal habeas cases are simply not relevant to this question.
I also disagree with the majority’s conclusion regarding the non-constitutional question of statutory interpretation — ie., whether the PCRA stay standard is in fact the equivalent of
Since the PCRA stay standard obviously codifies the first part of the Process Gas test, this Court should interpret it in accordance with its plain language and our case law on stays, rather than employing a strained reliance upon federal habeas cases which involve a different statute and different constitutional and jurisprudential concerns. This interpretation is preferable not only because it is dictated by the plain language of the PCRA, but also because importing an arcane and .ever-changing federal habeas jurisprudence will unnecessarily confuse this narrow, quintessential question of state statutory interpretation.
The relevance of the federal habeas experience to our task is, in my mind, more subtle. A major concern addressed by the 1996 amendment of the federal habeas statute, as well as much of the United States Supreme Court’s recent habeas jurisprudence, is that habeas review not unnecessarily impede
Addressing the right of appeal question, I agree with the majority that this stay provision is reasonable and, thus, does not violate appellee’s state constitutional right of appeal.
My next concern involves the majority’s discussion of the court’s inherent power to grant a stay. In my view, it is
Finally, I do not join in the “general guidelines” the majority promulgates regarding issuance of stays. Once the PCRA court below determined that this serial PCRA petition was time-barred, it had no jurisdiction to stay the warrant of execution. That is enough to decide this case.
. This Court’s order of August 11, 1997, which suspended the Capital Unitary Review Act (CURA), 42 Pa.C.S. §§ 9570-79, and provisions of the PCRA which referred to CURA, specifically suspended the 1995 and 1997 amendments to § 9546(d). The previous, 1988 version of the subsection thus governs, and it provides that a final order in a case involving the death penalty shall be directly appealable “only to the Supreme Court pursuant to its rules.”
. Rule 311(a)(4) states that an appeal may be taken as of right, without reference to Rule 341, from “[a]n order granting, continuing, modifying, refusing or dissolving injunctions, or refusing to dissolve or modify injunctions.”
. Although the stay order is appealable under our existing rules, I agree with the majority that the matter should be referred to the Appellate Rules Committee to examine the propriety of fashioning more specific rules to govern review of orders staying warrants of execution.
. In light of the new PCRA time bar, which required the filing of first petitions in the older cases by no later than January of 1997, there may not be any first petition cases where the stay issue will arise.
. Section 9545(c)(2)'s adoption of only the first part, of our stay formulation reflects a legislative appreciation of the unique nature of these cases. Where execution is imminent, a petitioner who can show that he is likely to prevail on appeal necessarily would suffer irreparable injury absent a stay, and neither other interested parties nor the public interest could be adversely affected by permitting a stay in that circumstance.
. The CPC requirement was first imposed by Congress in 1908 out of “concernL ] with the increasing number of frivolous habeas corpus petitions challenging capital sentences which delayed execution pending completion of the appellate process...." Barefoot, supra at 892-93 n. 3, 103 S.Ct. 3383.
. The 1996 Antiterrorism and Effective Death Penally Act (AEDPA) amended § 2253, changing both the nomenclature, i.e., it now requires
. The constitutional constraints referred to were no1 identified in Lonchar, but the reference certainly was not to a non-existent righl of appeal. Presumably, the Court was referring to the Suspension Clause, i.e., Article I, § 9, clause 2 of the United States Constitution, which provides that ‘‘[t]he privilege of the Writ of Habeas Corpus shall not be suspended.” See Felker v. Turpin, 518 U.S. 651, 116 S.Ct. 2333, 135 L.Ed.2d 827 (1996).
. I would note that other legislative limitations on the constitutional right of appellate review in criminal cases have been upheld as reasonable by this Court. See Commonwealth v. McFarlin, 402 Pa.Super. 502, 587 A.2d 732 (1991) (en banc) (42 Pa.C.S. § 9781(b), which provides tha1 discretionary sentencing appeals are reviewable only upon petition by aggrieved party and subsequent discretionary leave of appellate court where it finds substantial question present, held to be reasonable restriction upon right of appeal and thus constitutional), affirmed per curiam, 530 Pa. 167, 607 A.2d 730 (1992); Sayres v. Commonwealth, 88 Pa. 291, 306-08 (1879) (statutory provision requiring tha1 writ of error
. With respect to the second constitutional question raised by appellee, I agree with the majox'ity that the stay provision is substantive, not procedural, and thus does not violate the separation of power doctrine by intruding on this Court's rulemaking authority.
Reference
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- COMMONWEALTH of Pennsylvania, Appellant, v. Kelvin X. MORRIS, Appellee
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