Commonwealth, Aplt. v. Moore, J.
COMMONWEALTH of Pennsylvania, Appellant v. James R. MOORE, Appellee
Attorneys
Peter Rosalsky, Esq., Defender Association of Philadelphia, for Defender Association of Philadelphia, Amicus Curiae., Hugh J. Burns, Jr., Esq., Peter Carr, Esq., Philadelphia District Attorney’s Office, for Commonwealth of Pennsylvania., Lee Mandell, Esq., Lee Mandell, P.C., Philadelphia, for James R. Moore.
Full Opinion (html_with_citations)
OPINION
In this appeal by allowance, we consider whether a conviction for possession of an instrument of crime (“PIC”) may be sustained when a defendant has been otherwise acquitted of related offenses involving the use of that instrument of crime, herein, a firearm. For the reasons that follow, we hold that a defendant’s conviction of PIC may indeed stand under such circumstances. Thus, we vacate the Superior Court’s order reversing Appellee James R. Moore’s PIC conviction, and remand to the trial court for reinstatement of Appellee’s judgment of sentence.
On April 13, 2008, at approximately 2:30 a.m., Appellee became involved in an altercation with Gerald Stewart at a neighborhood “speakeasy”
Appellee was arrested in connection with the incident and charged with murder, attempted murder, aggravated assault, simple assault, reckless endangerment, three violations of the Uniform Firearms Act
During the first portion of Appellee’s trial, the Commonwealth presented evidence supporting its theory that Appellee initiated the shooting. Specifically, the Commonwealth’s evidence indicated that, after his initial argument with Stewart, Appellee left the speakeasy, retrieved a handgun from his car, and returned to the establishment, where he began firing and shot Stewart, Dennis, and Mailey. According to the Commonwealth, after Appellee began shooting, Stewart discovered a gun on the floor and returned fire, shooting Appellee in the left thigh and right knee. The Commonwealth claimed that Appellee subsequently left the speakeasy while still possessing his gun, drove away, and, minutes later, was stopped by police, who recovered the gun from the front passenger seat of his car. Appellee, by contrast, testified at trial that he retrieved the gun from inside the speakeasy after the fight began, and that he returned fire in self-defense.
The jury acquitted Appellee of the murder and attempted murder charges, but convicted him of PIC. In the second phase of the trial, after hearing evidence pertaining to Appel
In a unanimous published opinion, the Superior Court affirmed Appellee’s VUFA conviction,
While the Commonwealth argued that Appellee’s PIC conviction should stand based upon Pennsylvania’s well settled acceptance of inconsistent jury verdicts, the Superior Court rejected this contention, finding that principle inapplicable in the instant case pursuant to our decision in Commonwealth v. Magliocco, 584 Pa. 244, 883 A.2d 479 (2005) (finding the evidence insufficient to convict an appellant of ethnic intimidation because he was acquitted of terroristic threats, where the latter was a predicate offense at the time of the appellant’s conviction). Specifically, the Superior Court interpreted Magliocco as standing for the general proposition that, “where the offense in question require[s] that the defendant commit a crime and where the trier of fact specifically acquitted the defendant of the crime that was the necessary element of the offense for which the defendant was convicted,” the general rule permitting inconsistent verdicts is inapplicable. Moore, 49 A.3d at 902.
Preliminarily, the Commonwealth notes that this Court has repeatedly held that an inconsistent verdict does not by itself render evidence insufficient to sustain a particular conviction, and that a jury’s acquittal on a charge “may not be interpreted as a specific finding in relation to the evidence.” Appellant’s Brief at 12 (citing Miller, 35 A.3d at 1213 (holding that appellant’s “acquittal of the predicate offense of robbery does not necessitate the vacatur of his conviction of second-degree murder”); Commonwealth v. Campbell, 539 Pa. 212, 651 A.2d 1096, 1100 (1994) (accepting inconsistent verdicts with respect to co-defendants in a conspiracy case); Commonwealth v. Carter, 444 Pa. 405, 282 A.2d 375, 377 (1971) (upholding appellant’s aggravated assault and battery conviction despite
The Commonwealth further contends that, in declining to apply the general rule allowing inconsistent verdicts, the Superior Court improperly relied upon Maglioeeo and wrongly extended it beyond its unique statutory context. Specifically, the Commonwealth notes that, in Miller, we explicitly limited the Maglioeeo holding to the ethnic intimidation statute— which contains an element requiring the commission of a predicate offense — noting that Maglioeeo is “not generally applicable to other offenses.” Appellant’s Brief at 17 (quoting Miller, 35 A.3d at 1213). The Commonwealth also suggests that the Superior Court mistakenly relied upon Gonzalez in reaching its decision, asserting that, in that case, we held the evidence was insufficient to sustain the appellant’s conviction not because of the jury’s acquittal, but because the evidence itself indisputably established self-defense. However, in the alternative, the Commonwealth argues that, even if we were to find that Gonzalez did, in fact, hold that evidence is insufficient to support a conviction of PIC in circumstances where the jury acquits the appellant of the other offenses for which he is charged, that decision is erroneous and should be overruled.
In response, Appellee maintains that the jury’s acquittal on his murder charges evinces the jury’s acceptance of his self-defense claim. Thus, Appellee argues that, because he was acting in self-defense, the Commonwealth failed to establish the requisite criminal intent to sustain his PIC conviction, and, therefore, the Superior Court properly overturned the conviction. In further support, Appellee cites to this Court’s decision in Commonwealth v. Watson, 494 Pa. 467, 431 A.2d 949
With these arguments in mind, we begin our analysis. Initially, the Superior Court correctly observed that, in our decision in Gonzalez, authored by former Justice Larsen, we refused to uphold the inconsistent verdicts at issue, which concerned a defendant who, similar to Appellee, was acquitted of murder and voluntary manslaughter, but was nevertheless convicted of PIC. Specifically, the defendant in Gonzalez owned a small variety store in Philadelphia and threatened two gang members who attempted to steal a radio from one of his customers, forcing them to leave, and warning that he was “going to kill somebody.” Gonzalez, 527 A.2d at 107. Minutes later, one of the men returned with 15 to 20 gang members, and the defendant shot and killed him from the doorway of his store. Although the victim was unarmed, the defendant asserted that the victim stated “I’m going to shoot your butt” and reached into his jacket for a black, shiny object, which the defendant claimed prompted him to act in self-defense. The jury convicted the defendant of PIC, but acquitted him of murder and voluntary manslaughter.
On appeal, relying principally on our decision in Watson,
Federal and Pennsylvania courts alike have long recognized that jury acquittals may not be interpreted as specific factual findings with regard to the evidence, as an acquittal does not definitively establish that the jury was not convinced of a defendant’s guilt. Rather, it has been the understanding of federal courts as well as the courts of this Commonwealth that an acquittal may merely show lenity on the jury’s behalf, or that “the verdict may have been the result of compromise, or of a mistake on the part of the jury.” United States v. Dunn, 284 U.S. 390, 394, 52 S.Ct. 189, 76 L.Ed. 356 (1932); see also Carter, 282 A.2d at 376. Accordingly, the United States Supreme Court has instructed that courts may not make factual findings regarding jury acquittals and, thus, cannot “upset” verdicts by “speculation or inquiry into such matters.” Dunn, 284 U.S. at 394, 52 S.Ct. 189.
It is because of the inability to ascertain the rationale behind a jury’s decision to acquit a defendant that the United States Supreme Court has proclaimed that “[cjonsistency in the verdict is not necessary,” expressly holding that a defen
We explicitly endorsed Dunn’s holding and rationale in Carter, wherein we upheld an appellant’s aggravated assault and battery conviction despite the fact that the appellant had been acquitted on a separate count of simple assault and battery, a logical inconsistency. 282 A.2d at 377. In so doing, we rejected the notion that an acquittal may be interpreted as a specific finding of innocence, and noted, consistent with Dunn, that “[t]he most that can be said in such cases is that the verdict shows that either in the acquittal or the conviction the jury did not speak their real conclusions, but that does not show that they were not convinced of the defendant’s guilt.” Id. at 377 (internal quotation marks omitted).
In a series of cases following Carter, we continued to embrace the principle that juries may reach inconsistent verdicts, along with its corollary that we may not interpret a jury acquittal as a specific factual finding with regard to the evidence. See Commonwealth v. (John) Reed, 458 Pa. 8, 326 A.2d 356, 358 n. 2 (1974) (logical inconsistency in defendant’s conviction of second-degree murder and aggravated robbery and acquittal of conspiracy did not justify a reversal); Commonwealth v. Strand, 464 Pa. 544, 347 A.2d 675, 676 (1975) (upholding defendant’s second-degree murder conviction for shooting and killing her victim despite the fact that she was acquitted of all VUFA charges associated with her use of that firearm); Commonwealth v. Tallon, 478 Pa. 468, 387 A.2d 77, 82-83 (1978) (opinion in support of affirmance) (upholding defendant’s voluntary manslaughter and robbery convictions
Aside from Gonzalez, three relatively recent decisions from this Court — Magliocco, Commonwealth v. (Richard) Reed, 607 Pa. 629, 9 A.3d 1138 (2010), and Watson — have been interpreted as exceptions to these long-standing principles. However, as we discuss below, properly understood, they involve largely idiosyncratic sufficiency or grading challenges that, critically, do not entail jury inferences and so are not in conflict with the principle permitting inconsistent verdicts or its corollary that factual findings may not be inferred from a jury’s acquittal.
First, in Magliocco, we addressed a challenge to the evidentiary sufficiency of a defendant’s ethnic intimidation conviction. We agreed the conviction could not stand because the defendant was acquitted of terroristic threats, which was a predicate offense to ethnic intimidation at the time of the defendant’s conviction. Specifically, the Crimes Code provided at that time that a defendant is guilty of ethnic intimidation
Next, in (Richard) Reed, we addressed the proper grading of a defendant’s attempted unlawful contact with a minor conviction when that defendant was acquitted of all of the underlying offenses for which he was charged.
Lastly, in Watson, as noted above, the defendant was convicted of voluntary manslaughter and possession of a concealed weapon despite raising a self-defense claim. On appeal before our Court, the defendant challenged the sufficiency of the evidence to sustain her convictions, arguing that the Commonwealth failed to meet its burden of disproving her self-defense claim beyond a reasonable doubt and, thus, that the evidence was insufficient to establish the necessary criminal intent to sustain her convictions. We agreed, concluding the Commonwealth had failed to disprove the self-defense claim, and, thus, essentially finding that the defendant killed her common law husband in self-defense. Id. at 951. Applying that crucial finding to the defendant’s possession of a concealed weapon conviction, we concluded that “criminal intent cannot be inferred from the circumstances surrounding appellant’s possession of the gun which killed her husband because appellant, having acted in self-defense, never used that gun to commit a crime.” Id. at 953. Thus, Watson did not involve a jury acquittal, an inference from a jury acquittal, or an inconsistent verdict challenge. Rather, our holding with regard to the PIC conviction derived from this Court’s determination that the defendant acted in self-defense by virtue of
Accordingly, in light of the above discussion, we reject any notion that Magliocco, (Richard) Reed, and Watson represent exceptions to the long-standing principles that juries may issue inconsistent verdicts and that reviewing courts may not draw factual inferences in relation to the evidence from a jury’s decision to acquit a defendant of a certain offense.
We now return to our decision in Gonzalez. As noted above, the defendant in that case asserted that he shot and killed the victim in self-defense, and he was subsequently acquitted of murder and manslaughter, but convicted of PIC. Without reference to the case law, discussed above, permitting inconsistent verdicts and prohibiting courts from drawing inferences from a jury’s acquittal on a particular offense, the Gonzalez Court nevertheless inferred from the defendant’s acquittals a specific factual finding with regard to the evidence: that the jury believed the defendant’s self-defense claim. On that basis, the Court reversed the defendant’s PIC conviction, concluding the conviction was logically inconsistent with the defendant’s acquittals. The Commonwealth presently argues that Gonzalez patently conflicts with our precedent in this area, and should be overruled.
We must be cautious in accepting the Commonwealth’s invitation to overrule Gonzalez, however, as doing so would depart from the doctrine of stare decisis, which “declares that for the sake of certainty, a conclusion reached in one case should be applied to those which follow, if the facts are substantially the same, even though the parties may be different.” Estate of Fridenberg v. Commonwealth, 613 Pa. 281, 33 A.3d 581, 589 (2011) (citation omitted). We are ever mindful of the important role stare decisis serves in “promoting] the evenhanded, predictable, and consistent development of legal principles, foster[ing] reliance on judicial decisions, and contributing] to the actual and perceived integrity of the judicial process.” Pennsylvania State Ass’n of Cnty. Comm’rs v. Commonwealth, 617 Pa. 231, 52 A.3d 1213, 1230 (2012) (cita
First, as our discussion above demonstrates, Gonzalez departed from the long line of cases from both this Court and the United States Supreme Court which unequivocally permit inconsistent jury verdicts and prohibit drawing inferences from a jury’s verdict of acquittal. In so doing, Gonzalez completely ignored Dunn, Carter, and their progeny, failing to address this precedent or to explain why the Court declined to adhere to it. Moreover, Gonzalez provided minimal analysis in support of this Court’s rejection of the inconsistent verdicts in that case, relying principally upon our holding in Watson. However, the Gonzalez Court failed to appreciate the critical distinction that our holding in Watson arose out of a defendant’s challenge to the sufficiency of the Commonwealth’s evidence to disprove her self-defense claim, rather than from a claimed inconsistent jury verdict based upon an acquittal, and that we expressly concluded in Watson that the defendant acted in self-defense based upon the evidence adduced at trial, rather than by making an inference from a jury’s acquittal. As emphasized above, “[a]n acquittal cannot be interpreted as a specific finding in relation to some of the evidence.” Carter, 282 A.2d at 376 (internal quotation marks omitted). In reversing the defendant’s PIC conviction therein, Gonzalez departed from that longstanding precept. Thus, given the lack of meaningful analysis in Gonzalez, that the Gonzalez Court misconstrued Watson, and, critically, that the decision was at odds with well established case law, we now come to the conclusion that it must be overruled.
Without resort to Gonzalez, the Superior Court’s decision in the instant case cannot be supported, as none of the other cases upon which the court relies permit a reviewing court to reject a jury’s inconsistent verdict. Accordingly, although Appellee’s murder and attempted murder acquittals
The order of the Superior Court is vacated. This case is remanded to the trial court for reinstatement of Appellee’s judgment of sentence.
. This speakeasy has been eloquently described by the Superior Court as "a virtual farrago of vice,” which "provided drugs, alcohol and
. 18 Pa.C.S.A. § 6105.
. Appellee framed this issue as a sufficiency challenge, as several defendants challenging inconsistent jury verdicts have done in past cases. See, e.g., Commonwealth v. Gonzalez, 515 Pa. 98, 527 A.2d 106 (1987); Commonwealth v. Miller, 613 Pa. 584, 35 A.3d 1206 (2012). However, the United States Supreme Court has recognized that a court’s review of the evidentiary sufficiency of a particular conviction is separate from its review of inconsistent verdicts, as sufficiency review entails an assessment of whether the evidence was sufficient for the jury to convict a defendant of a particular offense and is "independent of the jury’s determination that evidence on another count was insufficient.” United States v. Powell, 469 U.S. 57, 67, 105 S.Ct. 471, 83 L.Ed.2d 461 (1984). Thus, the Supreme Court has explicitly cautioned that sufficiency review "should not be confused with the problems caused by inconsistent verdicts.” Id. Accordingly, in line with the high Court, we emphasize that such challenges are more appropriately characterized as challenges to the inconsistency of the jury’s verdict, rather than to the sufficiency of the evidence to sustain a particular conviction.
. Specifically, the Superior Court found the evidence was sufficient to sustain this conviction because Appellee stipulated that his criminal history rendered him a person prohibited from possessing a firearm, and police discovered Appellee in possession of the firearm in his car.
. In so holding, the Superior Court stated that its ruling "flows from the elements of [PIC], which unequivocally require that the weapon or firearm be employed criminally.” Moore, 49 A.3d at 899. However, we note that the PIC statute requires only that an individual intended to employ the weapon or firearm criminally, and does not contain an element requiring the actual criminal employment of the weapon or firearm. 18 Pa.C.S.A. § 907(a) ("A person commits a misdemeanor of the first degree if he possesses any instrument of crime with intent to employ it criminally.”).
. Our review is limited to inconsistent verdicts in cases where a defendant was convicted of PIC, but was acquitted of related offenses involving the use of that instrument of crime. No one challenges the general doctrine that juries are permitted to reach verdicts that are inconsistent.
. Amicus Curiae Defender Association of Philadelphia filed a brief on behalf of Appellee challenging the constitutionality of a PIC conviction in cases where a defendant acted in self-defense on the basis that such a conviction violates a citizen’s right to bear arms in self-defense under Article I Section 21 of the Pennsylvania Constitution. Because neither party raises this issue and because amici are not permitted to raise issues that have not been preserved by the parties, Holt v. LRC, 620 Pa. 373, 67 A.3d 1211, 1225 n. 12 (2013), we will not address this claim.
. As we discuss further below, in Watson, we reviewed the sufficiency of the evidence to sustain the defendant's convictions for voluntary manslaughter and possession of a concealed weapon. We found that the Commonwealth failed to present sufficient evidence to disprove the defendant’s self-defense claim; that she necessarily acted in self-defense; and that, therefore, she lacked the requisite criminal intent to sustain her conviction for carrying a concealed weapon. Watson, 431 A.2d at 953. Importantly, we reached our conclusion that the defendant acted in self-defense based upon the evidence adduced at trial, rather than by making an inference from a jury’s acquittal.
. Justice Baer opines in his Concurring Opinion that the Gonzalez Court's basis for reversal was the "lack of sufficient evidence to sustain the [defendant's] PIC conviction,” not an inference from his homicide acquittal. Concurring Opinion (Baer, J.), at 121, 103 A.3d at 1252; see also id. at 124, 103 A.3d at 1254-55. Respectfully, we disagree. As noted above, the Gonzalez Court twice referenced the jury’s determination. Furthermore, while Justice Baer correctly points out that this Court engaged in a sufficiency review in Gonzalez, our review in that regard was focused on whether the jury could have inferred criminal intent from the defendant's statement during his initial altercation with the victim, in response to the Commonwealth's argument that the jury could have inferred criminal intent from that exchange. Gonzalez, 527 A.2d at 108. Admittedly, Gonzalez's terse, six-paragraph analysis is, as Justice Saylor implies, not a model of clarity. See Concurring Opinion (Saylor, J.), at 120-21, 103 A.3d at 1251 (“[Gonzalez] is subject to multiple, reasonable interpretations”). Nevertheless, in our view, the Gonzalez Court's reliance on an inference from the jury acquittal predominates. Indeed, in his dissenting opinion in Gonzalez, Justice McDermott described the majority opinion as "grounded in a belief that appellant’s [PIC] conviction is invalid because a homicide conviction was not accomplished,” rather than because there was insufficient evidence to render the appellant guilty of PIC. Id. at 109 (McDermott, J., dissenting). Moreover, courts have consistently interpreted Gonzalez in this fashion. See Moore, 49 A.3d at 899 (noting the Gonzalez Court’s observation that the jury's acquittal "reflected an acceptance of [self-defense],” and stating that "since Gonzalez was not guilty of committing a crime with his firearm, he could not, as a matter of law, have intended to employ that item criminally”); In re A.C., 763 A.2d 889, 891 (Pa.Super.2000) (stating "a conviction for PIC cannot stand if the appellant is acquitted on the underlying charge on the basis of self-
. Notably, we explained that a defendant may be found to have "committed” an enumerated predicate offense for purposes of the ethnic intimidation statute without being formally convicted of that offense. Magliocco, 883 A.2d at 492. However, we held that where, as in that case, the defendant was separately charged with and prosecuted for the predicate offense, and the jury specifically acquitted the defendant of that offense, a conviction for ethnic intimidation may not stand. Id. at 492-93.
. Pursuant to 18 Pa.C.S.A. § 6318(b), the offense of unlawful contact with a minor is to be graded the same as the most serious underlying offense for which the defendant attempted contact with a minor, or a first-degree misdemeanor, whichever is greater.