Opinion ID: 1992362
Heading Depth: 2
Heading Rank: 2

Heading: alleged waiver or forfeiture of restitution

Text: Though the sentences imposed did not include orders directing appellees to make restitution in accordance with the mandate of 62 Pa.S.A. § 481(c), the trial court did not purport to construe 62 Pa.S.A. § 481(c) as discretionary in declining to order full restitution. Rather, the trial court conceded its general duty to impose restitution, but deemed restitution to have been waived or forfeited by the claims agent's failure to appear at sentencing. This we find to have been ultra vires.
Illegality of sentence going to the jurisdiction or authority of the court cannot be waived. See Commonwealth v. Wallace, 368 Pa.Super. 255, 533 A.2d 1051 (1987); Commonwealth v. Hartz, supra . A sentence which fails to impose a statutorily mandated penalty is illegal and beyond the authority of the court to impose. Commonwealth v. Lee, supra . The discussion in Part I of this opinion establishes that the trial court is under a legal obligation to impose an order of restitution with respect to any moneys fraudulently obtained. Hence, a sentence which failed to order such restitution was illegal, and such illegality could not be waived by the Commonwealth. Other mandatory sentence provisions have been construed to vest discretion in the prosecutor as to whether or not to invoke the statute based upon the existence of a provision which requires notice by the prosecutor of the Commonwealth's intent to seek application of the statute. See Commonwealth v. Pittman, 515 Pa. 272, 528 A.2d 138 (1987); see also Commonwealth v. Harton, 518 Pa. 69, 540 A.2d 932 (1988). Section 481(c) contains no such notice provision. Rather, its mandatory restitution provision must by its unqualified terms be deemed to be automatically applicable; there is no indication of any intent to vest discretion in the prosecutor to elect to waive its application. Hence, we do not find restitution to have been waived or waivable in the instant case.
The trial court's finding that the claims agent's failure to appear constituted a forfeiture of the right to restitution is not justifiable as a sanction for the claims agent's alleged non-compliance with the court's directive to appear. This is so because contempt was not established, and because the Commonwealth's right to restitution may not properly be forfeited as a sanction for contempt. The trial court had reasonable grounds to conclude that the claims agent had information relevant to the disposition of sentencing issues. Consequently, the trial court acted within its authority in directing that the claims agent appear at sentencing. Cf. Commonwealth v. Maguigan, 511 Pa. 112, 121, 511 A.2d 1327, 1332 (1986); In Matter of Shigon, 462 Pa. 1, 329 A.2d 235 (1974); see also 42 Pa.C. S.A. §§ 5904(d), 5905. Furthermore, it is well-settled that a trial court may enforce its subpoenas by appropriate action including issuance of bench warrant and/or imposition of sanctions for contempt. Commonwealth v. Maguigan, supra, 511 A.2d at 1332 (collecting cases); Commonwealth v. Marcone, 487 Pa. 572, 410 A.2d 759 (1980); 42 Pa.C.S.A. §§ 5904(d), 5905. However, the current record does not establish that the claims agent was in contempt of the trial court's directive to appear. Though the trial court had authority to formally subpoena the claims agent, it instead opted to informally request the claims agent's presence through a directive to the prosecutor which was to be communicated to the claims agent by the prosecutor. While it appears from the record that the claims agent was informed by the prosecutor's office that his appearance was requested, the time, form, and content of that notice do not appear in the record. Likewise, while it appears that the prosecutor was not aware of any legitimate reason for the claims agent's failure to appear, no effort was made to contact the claims agent, and no opportunity was given to the claims agent to explain his failure to appear prior to the trial court's declaration of a forfeiture of restitution as a sanction for that failure to appear. The trial court's frustration at the Department of Welfare's apparent pattern of failing to ensure the appearance of claims agents at such hearings is understandable. Nonetheless, the procedural protections of the formal subpoena process and formal contempt proceedings are prerequisites to the legitimate exercise of the court's inherent contempt powers to sanction a witness' failure to appear. Cf. Matter of Ring, 492 Pa. 407, 424 A.2d 1255 (1981) (mere non-compliance does not establish contempt); Neshaminy Water Res. v. Del-Aware Unlimited, 332 Pa.Super. 461, 472, 481 A.2d 879, 884-85 (1984) (due process requires that person alleged to be in contempt of court order be given notice and an opportunity to defend before imposition of sanctions); see also 42 Pa.C.S.A. § 4132(2) (summary contempt limited to, inter alia, disobedience or neglect of  lawful process of the court). Assuming, arguendo, that contempt had been established, forfeiture of the Commonwealth's right to restitution was not an authorized sanction for contempt by a Commonwealth agent or employee. To the contrary, 42 Pa.C.S.A. § 4133 provides: § 4133. Commitment or fine for contempt Except as otherwise provided by statute, the punishment of commitment for contempt provided in section 4132 (relating to attachment and summary punishment for contempts) shall extend only to contempts committed in open court. All other contempts shall be punished by fine only. (as amended 1982). (Emphasis added). As forfeiture of restitution mandated by 62 Pa.C.A. § 481(c) is nowhere authorized by statute as a sanction for contempt, the imposition of such a sanction was ultra vires. Moreover, we note that our Supreme Court has explained in a similar context: While a trial court must have authority to regulate attendance upon its schedule and concommitant authority to sanction a breach, the sanction must be visited upon the offender and not upon the interests of public justice. The failure of a party to observe the orders of a court may result in a loss to a party in a civil action, because there the loss falls upon private interests and those who invoke the power of a court must be obedient to its orders or lose its powers to serve their purposes. Criminal cases involve issues of public justice; issues that transcend the immediate parties. In criminal cases, sanctions may be imposed upon individuals, including counsel for either side; sanctions that vindicate the authority of the court to maintain its schedule and enforce its orders Commonwealth v. Carson, 510 Pa. 568, 571-72, 510 A.2d 1233, 1234 (1986). (Emphasis added). The reasoning of our Supreme Court in Carson and the mandate of the above statute require that any financial sanction, if appropriate for the claims agent's failure to appear, be visited upon the claims agent directly in his individual capacity and not upon the taxpayers of this Commonwealth via forfeiture of their collective right to restitution of the moneys fraudulently obtained by appellees. There is no reason why the claims agent's contempt, if any, should be made to inure to the benefit of the appellees. Cf. Commonwealth v. Carson, supra, 510 A.2d at 1235 (Papadakos, J., concurring). No Commonwealth employee is cloaked with an agency which would authorize wilful misconduct such as contempt of court; consequently, we see no reason why the sanctions for contempt by a Commonwealth employee should be imposed upon the Commonwealth, rather than directly upon the employee. Cf. 42 Pa.C.S.A. §§ 8542(a)(2), 8550 (a local agency may not be held liable for the wilful misconduct of its employee, and an employee of a local agency enjoys no official immunity from liability for injuries arising from wilful misconduct). Our findings, that contempt was not established and that forfeiture of restitution would not have been an authorized sanction had contempt been established, are not intended to minimize or excuse the claims agent's failure to appear as requested. The question of how restitution of funds illegally obtained through welfare fraud are to be recouped is an important and complicated consideration for a sentencing judge in sentencing defendants convicted of welfare fraud. This is especially true when the convict is poor. Ordinarily, the testimony of the claims agent or another appropriate Department of Public Welfare (DPW) agent will be necessary for the proper resolution of any unsettled or disputed restitution issues at sentencing. While a trial court should not have to subpoena DPW agents in such cases, it was nonetheless error in this case for the trial court to proceed with sentencing in the absence of a DPW agent or an adequate alternate source for the pertinent information needed. When, as here, a necessary party or witness in a criminal proceeding is absent, the proper course is to hold proceedings in abeyance and secure the presence of the necessary party or witness by the lawful process of a subpoena and a bench warrant (if deemed appropriate). Such a subpoena could, of course, permit substitution of a properly prepared DPW agent for the claims agent assigned to the case in order to accomodate scheduling conflicts and other legitimate administrative concerns. However, a sentencing court should not proceed without the necessary information simply because a party or witness fails to appear at the hour appointed for a hearing.