Opinion ID: 2083044
Heading Depth: 1
Heading Rank: 4

Heading: Did the General Assembly Intend to Include Strict Liability Elements in the Homicide By Vehicle and Homicide By Vehicle/DUI Statutes?

Text: As noted, since the present question involves Vehicle Code provisions enacted after promulgation of the Crimes Code, and such provisions lack express culpability requirements attaching to their elements, it is necessary to examine the intent of the General Assembly to determine whether strict liability was intended. A. Homicide by Vehicle Prior to this Court's decision in Field, a divided en banc panel of the Superior Court undertook just such an examination in a comprehensive fashion in the context of Section 3732. See Commonwealth v. Barone, 276 Pa.Super. 282, 419 A.2d 457 (1980)(plurality). [21] The lead opinion, authored by then-President Judge Cercone, endorsed the proposition, advocated by the majority herein, that the General Assembly did not intend to impose absolute liability for homicide by vehicle, but rather, incorporated a culpability requirement of criminal negligence. See Barone, 276 Pa.Super. at 297, 419 A.2d at 465 (Cercone, P.J.). President Judge Cercone opened his discussion by noting the strong common law tradition against strict penal responsibility, and the embodiment of such tradition within the Model Penal Code, and, correspondingly, the culpability provisions of the Pennsylvania Crimes Code. See id. at 290-91, 419 A.2d at 462. Regarding the directive of Section 305(a)(2) to the effect that the Crimes Code's culpability requirements do not apply to offenses defined by other statutes insofar as a legislative purpose to impose absolute liability for such offenses or with respect to any material element thereof plainly appears,  18 Pa.C.S. § 305(a)(2)(emphasis added); see supra note 13, President Judge Cercone found no such intent apparent in Section 3732's proscription. In the first instance, he deemed significant the use of the word homicide in the title to the enactment, given the traditional association between the concept of criminal homicide and fault. See Barone, 276 Pa.Super. at 291-93, 419 A.2d at 462-63. [22] While acknowledging the placement of the word unintentionally within the statute, see 75 Pa.C.S. § 3732, supra note 8, a focus of the dissenting opinion, see infra, President Judge Cercone concluded that, taken in context, the word denoted solely that the conduct causing the death was not undertaken with purpose or design. See Barone, 276 Pa.Super. at 292, 419 A.2d at 463 (Cercone, P.J.). Addressing the positions taken by concurring and dissenting judges to the effect that strict liability was intended by the Legislature, President Judge Cercone reasoned that such position lacked grounding in reasoned social policy, and, therefore, its effectuation was not likely within the scope of the intended purpose underlying the statute. [23] Further, in light of the General Assembly's failure to specify a culpability element for the offense, President Judge Cercone invoked specific principles of statutory construction, examining the circumstances surrounding the enactment, the harm sought to be regulated and prevented, the object sought to be obtained, the consequences of particular constructions, and the germane legislative history. See id. at 293, 419 A.2d at 463. Pertaining to the circumstances surrounding the enactment, President Judge Cercone recognized its derivation from the Uniform Vehicle Code in connection with an effort to reform Pennsylvania's comprehensive scheme of traffic regulation. See id. at 294-95, 419 A.2d at 464 (reasoning that, [i]n retrospect, ... the subject legislation was not an isolated amendment to the Motor Vehicle Code motivated solely by the carnage on our roadways and the `inadequacy' of our involuntary manslaughter statute[;] [r]ather, the vehicular homicide proviso was but one aspect of a massive overhauling of all Pennsylvania rules of the road). Addressing the concurring and dissenting positions that the General Assembly chose to enact a distinct offense governing vehicular homicides to reduce fatalities on Pennsylvania roadways, President Judge Cercone reasoned that: these weighty concerns are not jeopardized by reading the subject statute as not dispensing with the requirement that the harm causing violation must nevertheless be culpable. More directly, to credit the legislature with an intent to deter life endangering conduct on our roadways is to acknowledge that in order for punishment to be efficacious and just under this provision, it must be predicated upon the accused's awareness of the factors which made his conduct criminal. Thus, conviction, punishment, and sentence may well provide inadvertent violators with an additional incentive to take more care in both evaluating the risks they consciously create and those which they unreasonably fail to perceive. In either case, however, the assumption which underlies the punishment is that the actor ignored the operative factors in creating a risk of harm to others. Confronted with imprisonment, the violator may indeed think twice prior to speeding through a densely populated neighborhood. On the other hand, to suggest as the [d]issent does that our legislature intentionally chose to disregard the social utility of the driver's conduct is to impute to the legislature a harshness and shortsightedness which we cannot. While there is always some risk associated with driving an auto, we do not think that the legislature in its collective wisdom intended to abrogate the possibility of a finding that the risk taken was reasonable under the particular circumstances. Barone, 276 Pa.Super. at 295-96, 419 A.2d at 464-65 (Cercone, P.J.). [24] President Judge Cercone ultimately acknowledged that the General Assembly's purpose in effectuating the statute likely related to perceived inadequacies in the involuntary manslaughter statute relative to vehicular homicides. He concluded, however, that the General Assembly intended to fill such void by criminalizing only such violations as entailed a gross deviation from the required standard of care, or, in other words, criminal negligence as defined by the culpability provisions of the Crimes Code, 18 Pa.C.S. § 302(b)(4). See Barone, 276 Pa.Super. at 297, 419 A.2d at 465-66. [25] Contrary to the view expressed in the lead opinion, Judge Spaeth, in concurrence, concluded that the General Assembly's intent was to impose absolute liability pursuant to Section 3732 of the Vehicle Code. See Barone, 276 Pa.Super. at 301, 419 A.2d at 467-68 (Spaeth, J., concurring). [26] From federal and state cases, Judge Spaeth discerned a practice, in resolving the intertwined questions of whether the imposition of strict criminal liability was intended by the legislature and the consistency of such imposition with constitutional due process, of examining: the policy and intent of the legislature; the origins of the offense; the reasonableness of the standards imposed; and the punishment and stigma attached to a conviction. See id. at 306-07, 419 A.2d at 470. [27] In implementing such test, Judge Spaeth first noted that the mere omission of any mention of intent should not be construed as dispensing with it, see id. at 311, 419 A.2d at 473, and proceeded to focus upon the general policy of the Legislature toward strict liability crimes; the common law origins and history of the specific crime at issue; and the relevant legislative history. See id. In evaluating these considerations, Judge Spaeth discerned an even balance between factors for and against the conclusion that the legislature intended to apply strict criminal liability in the implementation of the Section 3732 offense. See id. In addition to the general principle that penal statutes are to be strictly construed, he acknowledged several other factors militating against the conclusion that the legislature intended to impose strict criminal liability, including: the legislative policy against strict criminal liability; [28] the history of the term homicide as described in the lead opinion, see supra note 22 and accompanying text; as well as the discussions of legislators connected with the General Assembly's decision not to create the crime of careless driving, see id. at 316-18, 419 A.2d at 475-76. [29] In favor of the strict liability construction, Judge Spaeth elaborated upon the derivation of the statute from the Uniform Vehicle Code in terms of the development of the uniform law provision, tracking its modification from 1956 through 1962 from one proscribing reckless disregard, to negligent homicide, to violation of any state law or municipal ordinance. See Barone, 276 Pa.Super. at 319, 419 A.2d at 477 (Spaeth, J., concurring). According to Judge Spaeth, such changes made it clear that the drafters of the Uniform Vehicle Code intended to change the character of the crime, and to make it into a strict liability crime, requiring proof of no more than a mere violation of any traffic ordinance that resulted in the death of another. Id. (citing Commentary, HOMICIDE BY VEHICLE 1 (1978)). Contrasting Pennsylvania's efforts with the experience of other states that have preserved express elements of culpability within their vehicular homicide statutes (or the equivalent), Judge Spaeth indicated: We must assume, I believe, that when the Pennsylvania legislature enacted section 3732, it was aware of the history of that section in Ohio and the other states that added or retained some requirement that the defendant act negligently or recklessly. Yet, although it very easily could have done so, the legislature did not add any requirement of negligence or recklessness to the section, nor did it enact the 1956 version of section 11-903(a) of the Uniform Vehicle Code. Thereby the legislature indicated its intent to adopt the 1962 revision, requiring proof of no more than a traffic violation causing death. Barone, 276 Pa.Super. at 319-20, 419 A.2d at 477 (Spaeth, J., concurring). Finally, Judge Spaeth observed that, if the General Assembly had intended to limit criminal violations under Section 3732 to reckless or negligent actors, it need not have enacted the section at all, since those defendants already were subject to prosecution for involuntary manslaughter. See id. at 320-21, 419 A.2d at 477-78 (citing 18 Pa.C.S. § 2504). In this regard, he indicated: a consideration of the crime of involuntary manslaughter provides what seems to me a probably correct explanation of why the legislature intended to create strict criminal liability under section 3732. The cases demonstrate that the Commonwealth has had difficulty in obtaining convictions for involuntary manslaughter, for proof of a traffic violation may not be proof of recklessness or gross negligence. It seems probable that in enacting section 3732, the legislature intended to overcome this difficulty by broadening the scope of liability to include those persons who merely violated traffic ordinances. The North Carolina court in State v. Freeman [, 31 N.C.App. 93, 228 S.E.2d 516 (1976),] attributed just such an intent to the North Carolina legislature. Barone, 276 Pa.Super. at 320-21, 419 A.2d at 478 (Spaeth, J., concurring)(footnotes and citations omitted). [30] Judge Spaeth concluded his substantive analysis by returning to the plainly appears language of Section 305(a)(2), see supra note 13 and accompanying text, concluding that, in view of the history of the statute and in contemplation of the General Assembly's probable purpose of broadening liability beyond that contained in the involuntary manslaughter provision of the Crimes Code, for me, it appears plainly enough. Barone, 276 Pa.Super. at 322, 419 A.2d at 478 (Spaeth, J., concurring). He acknowledged that he regarded his decision in this regard as exceedingly close. Id. [31] Judge Wieand dissented, opening with the observation that the statutory language does not require culpability further than that associated with the underlying violation, Barone, 276 Pa.Super. at 335, 419 A.2d at 486 (Wieand, J., dissenting)(the legislature determined to make criminal responsibility dependent upon violation of a traffic law and not necessarily on culpable or criminal negligence), and emphasizing the legislative authority to define a crime so that proof of criminal intent is not necessary, particularly in an area of unique legislative concern, such as highway safety. See id. at 335-36, 419 A.2d at 485-86. Judge Wieand observed that comparable statutes adopted in other jurisdictions similarly have been construed to eliminate a requirement of culpable conduct; further, he cited Superior Court precedent to the effect that the Legislature intended to reduce the degree of culpability necessary to support a conviction of homicide by vehicle. See id. at 337, 419 A.2d at 486 (citing Commonwealth v. Trainor, 252 Pa.Super. 332, 337 n. 4, 381 A.2d 944, 947 n. 4 (1977)). Referencing the derivation of the statute from the Uniform Vehicle Code, Judge Wieand indicated that [u]nder this section, the gravamen of the offense was intended to be the violation of a traffic law which resulted in death. Id. at 338, 419 A.2d at 487. Judge Wieand agreed with Judge Spaeth's view that the history of the provision in other states merely confirms that the legislature in Pennsylvania deliberately chose to premise criminal responsibility solely upon a traffic violation, id.; however, contrary to his colleague's view, Judge Wieand concluded that the statute comported with constitutional precepts. See id. at 338-40, 419 A.2d at 487-88. It seems, at least to me, that each of the positions expressed in Barone represents a defensible view displaying due and reasoned consideration of the pertinent legislative intent. [32] Ultimately, I would endorse the essential position of Judges Spaeth and Wieand to the effect that the General Assembly in fact intended to create a strict liability offense, placing particular emphasis upon the derivation of the statute from the Uniform Vehicle Code as it had evolved from one grounded in reckless conduct to one containing no culpability requirement; the juxtaposition of the offense to the existing crime of involuntary manslaughter; the experience of other states which have added an express culpability requirement, see Barone, 276 Pa.Super. at 319-20, 419 A.2d at 477 (Spaeth, J., concurring); and the decisions of other jurisdictions finding that similarly worded provisions embody an attempt to impose absolute liability based upon the strong legislative purpose of encouraging safe driving. See, e.g., Freeman, 228 S.E.2d at 519. [33] While certainly such statutes providing for serious penalties represent a marked departure from the MPC paradigm, it is quite clear that since the introduction of the MPC into state crimes legislation, the penal law and its underlying policies have changed with the proliferation of offenses, more severe grading, and sentencing enhancements. See generally Markus Dirk Dubber, Penal Panopticon: The Idea of a Modern Model Penal Code, 4 BUFF.CRIM. L.REV. 53, 53-54 (2000)(arguing that [s]ince its publication in 1962, the conceptual foundation of the Model Code has collapsed in form and in substance). Notably, by replacing the MPC conception of violations (to which no term of imprisonment may attach) with summary offenses (permitting imprisonment of up to 90 days), see 18 Pa.C.S. § 106(c), even upon enactment of the Crimes Code in 1972, the Pennsylvania General Assembly conveyed a substantially broader view of strict or absolute liability than the drafters of the MPC envisioned. See supra § IIA. [34] Staples, 511 U.S. at 616, 114 S.Ct. at 1802 ([h]istorically, the penalty imposed under a statute has been a significant consideration in determining whether the statute should be construed as dispensing with mens rea ). Finally, as Justice Newman emphasizes, last year the General Assembly inserted a specific culpability requirement into the homicide by vehicle statute. It could be argued that such constitutes a manifestation of its prior intent. This change, however, occurred in connection with an enhancement in the grading of the offense from a first-degree misdemeanor to a third-degree felony. It could also be argued, therefore, that the Legislature believed that the culpability requirement was necessary to the imposition of a greater penalty. The legislative history, however, would suggest that neither of the above may be the case. For example, prior to the Senate vote on the legislation, the Honorable Robert J. Mellow, a co-sponsor, advocated its passage with emphasis upon the enhanced penalties provided and the salutary effect of such enhancement in terms of encouraging safe driving. [35] The pertinent bill analysis suggests that the insertion of a culpability requirement was predicated upon an interpretation of what the courts had determined was required rather than a reflection of the General Assembly's own prior intentions. [36] B. Stare Decisis I have suggested above that this Court's decisions in Field and Heck contain inadequate reasoning and fail to address the central consideration of whether the General Assembly intended to impose strict liability in Section 3732 via principles of statutory construction and conventional absolute liability analysis. I acknowledge, however, that such decisions constitute precedent, and that there are sound reasons to adhere to such authorities even if not perfectly reasoned. See generally Payne v. Tennessee, 501 U.S. 808, 827, 111 S.Ct. 2597, 2609, 115 L.Ed.2d 720 (1991)(emphasizing the role of precedent in furthering the evenhanded, predictable, and consistent development of legal principles,... reliance on judicial decisions, and... the actual and perceived integrity of the judicial process). There are also instances, however, which call for reconsideration of prior decisions. For example, as this Court has stated: [t]he doctrine of stare decisis was never intended to be used as a principle to perpetuate erroneous principles of law. While we fully ascribe to Lord Coke's evaluation of the importance of certainty in the law, this end obviously cannot outweigh the necessity of maintaining the purity of the law. The court's function is to interpret legislative enactments and not to promulgate them. Where, as here, by our decisions ... the Court distorted the clear intention of the legislative enactment and by that erroneous interpretation permitted the policy of that legislation to be effectively frustrated, we now have no alternative but to rectify our earlier pronouncements and may not blindly adhere to the past rulings out of a deference to antiquity. Mayhugh v. Coon, 460 Pa. 128, 135, 331 A.2d 452, 456 (1975); see also Ayala v. Philadelphia Bd. of Pub. Ed., 453 Pa. 584, 606, 305 A.2d 877, 888 (1973)(the doctrine of stare decisis is not a vehicle for perpetuating error, but rather a legal concept which responds to the demands of justice and, thus, permits the orderly growth processes of the law to flourish). See generally Cordoba-Hincapie, 825 F.Supp. at 501 (warning of the dangers in patchwork criminal codes and decisions that lack internal consistency and leave basic questions unanswered). Given the above, the expressions by jurists engendered by Field and Heck, [37] the Court's continuing reliance upon these decisions to assess culpability requirements of other statutes, the desirability of an analysis employing principles of statutory construction and related precepts developed in the strict liability context, and the constitutional implications of the presence or absence of mens rea requirements, I believe that this Court would be well served in providing a fuller assessment of culpability in the homicide by vehicle and homicide by vehicle/DUI context. In summary, I would hold that the offense of homicide by vehicle was intended by the General Assembly to embody absolute liability, although, in light of this conclusion, I would reserve decision concerning the constitutionality of the statute for an appropriate case. C. Homicide by Vehicle/DUI Since I have concluded that homicide by vehicle was intended by the General Assembly to operate as a strict liability offense, it follows that homicide by vehicle/DUI should be construed likewise. Recently, in his dissenting opinion in Commonwealth v. Collins, 564 Pa. 144, 764 A.2d 1056 (2001), Mr. Justice Nigro summarized the derivation of Section 3735 from Section 3732 and described the relationship between the provisions as follows: Although, mechanically, the General Assembly reposited the homicide by vehicle/DUI provisions in a separate section of the Vehicle Code, the essential import of this act was to increase the grading of homicide by vehicle/DUI ... and provide a mandatory minimum sentence of three years imprisonment. Further, the act amended Section 3732 (homicide by vehicle) by adding the words except Section 3731(DUI). Thus, the Legislature clearly indicated that while the commission of any traffic violation that resulted in the loss of human life was a serious offense, driving under the influence implicated a greater social evil and therefore warranted a concomitantly greater and more certain penalty. Collins, 564 Pa. at 153, 764 A.2d at 1061. [38] The statutes operated identically, with the only material difference being the nature of the predicate offense, and, in the case of Section 3735, the predicate offense itself would generally implicate a greater degree of blameworthiness. [39] Accordingly, I agree with the majority's conclusion that the culpability assessment should be the same; my difference is merely in the nature of the assessment in the first instance. [40]