Court Opinion

ID: 9839905
Source: CourtListenerOpinion
Date Created: 2023-09-14 16:08:55.493305+00
Date Added: 2024-06-11T09:42:04.325426
License: Public Domain

J-S29006-23

 NON-PRECEDENTIAL DECISION - SEE SUPERIOR COURT O.P. 65.37

  COMMONWEALTH OF PENNSYLVANIA                 IN THE SUPERIOR COURT OF
                                                    PENNSYLVANIA
                       Appellant

                v.

  BETH ANN ELLIS
                                               No. 17 MDA 2023

               Appeal from the Order Entered November 30, 2022
                 In the Court of Common Pleas of York County
                 Criminal Division at CP-67-CR-0000067-2022

BEFORE:      MURRAY, J., KING, J., and COLINS, J.*

MEMORANDUM BY MURRAY, J.:                       FILED SEPTEMBER 14, 2023

       The Commonwealth of Pennsylvania appeals from the order granting the

oral motion of Beth Ann Ellis (Defendant) requesting extraordinary relief.1

Upon review, we reverse the trial court’s order, reinstate Defendant’s

convictions, and remand for further proceedings.

____________________________________________

* Retired Senior Judge assigned to the Superior Court.

1 No written order appears on the docket.    See generally Pa.R.A.P. 301(a)(1)
(“[N]o order of a court shall be appealable until it has been entered upon the
appropriate docket in the trial court.”). However, a docket entry on November
30, 2022, includes the notation “Dismissed.”           Additionally, there are
transcripts in the certified record titled “ORDER 11-30-2022.” The parties do
not challenge the absence of a written order, and the trial court clearly stated
its intentions on the record. See Commonwealth v. Segarra, 228 A.3d 943,
949-50 (Pa. Super. 2020) (concluding trial court’s oral order was valid where
parties did not challenge the lack of a written order, and the trial court was
unequivocal in stating the order on the record during a hearing).
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       Defendant worked as a home health care provider and began providing

services for Janet Gross in approximately February 2019. In September 2021,

Sandra Tome, Gross’s stepdaughter and power of attorney, received

notification from Gross’s bank about an overdrawn account and suspicious

activity. Tome changed the locks at Gross’s house and notified police. An

investigation revealed “many discrepancies and many altered checks[.]” Trial

Court Opinion, 2/10/23, at 4. The amounts on several checks made out to

Defendant had been altered, and some differed from the amounts noted in

Gross’s check register. See id. (indicating changes from $300 to $600, $290

to $600, and $200 to $800, among others).

       Gross passed away in January 2022, during the police investigation.

Thereafter, the Commonwealth charged Defendant with forgery, theft by

unlawful taking, access device fraud, and receiving stolen property.2          The

Commonwealth withdrew the access device fraud charge prior to trial.             In

addition, the Commonwealth amended the criminal information to include a

charge of theft by deception.3

       The case proceeded to trial.            After the Commonwealth presented its

case, and outside the jury’s presence, Defendant’s counsel made an oral

motion for demurrer and directed verdict. N.T., 10/19/22, at 295-96.4 The

____________________________________________

2 See 18 Pa.C.S.A. §§ 4101(a)(1), 3921(a), 4106(a)(1)(ii), 3925(a).

3 18 Pa.C.S.A. § 3922(a)(1).

4 Defense counsel did not specify the basis for the request.

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trial court denied the motion, stating, “I’m going to allow it to go to the jury

at this point. I will deny the motion. The [c]ourt cannot substitute its view

as the fact finder, and I am not going to do that here.” Id. at 296. The jury

returned to the courtroom, and Defendant testified in her defense.

      The jury found Defendant guilty of theft by deception, and not guilty of

forgery, theft by unlawful taking, and receiving stolen property. After the jury

returned the verdict, defense counsel orally moved to set aside the verdict,

stating, “It is just -- there’s no way they can come up with that.”            N.T.,

10/19/22, at 440. The Commonwealth requested the defense file a formal

motion, and the trial court agreed:

      I would file a formal motion. I’m going to -- and I will take it -- I
      will acknowledge that you’ve made an oral motion. I’m going to
      direct that you file a written motion within 10 days, and I am going
      to take it under advisement.

Id. at 441. The trial court also stated that the Commonwealth would have an

opportunity to respond to Defendant’s motion. Id. at 443.

      The parties reconvened on October 28, 2022, to discuss Defendant’s

oral motion. Defense counsel explained that after reviewing the Pennsylvania

Rules of Criminal Procedure, he believed the case must proceed to sentencing

before Defendant could file a motion:

      [Defense Counsel]: That’s correct. I made a motion, and Your
      Honor indicated for me to file it in writing. It was after the verdict
      was returned and the jury was dismissed, and in going back and
      looking at the rules, that is the way that works in the federal court
      but doesn’t work that way in the state court. We have to wait
      until [Defendant has] been sentenced, and then she has ten days
      from that point to file the motion.

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      [Assistant District Attorney]: I think that would be the better
      procedure, as we can request the transcription of the trial so Your
      Honor would have the benefit of the transcripts as well as the
      parties in making their respective arguments.

N.T., 10/28/22, at 3 (some capitalization omitted).     Following an off-the-

record discussion, the trial court scheduled a sentencing hearing:

      With regard to this matter, at the time the court had issued an
      order that [Defense Counsel] needed to follow-up with a written
      copy of a petition to do a judgment of acquittal. We indicated he
      was to file a written motion within ten days. Apparently, the rules
      allow him to file it within ten days of sentencing. That is already
      scheduled for November 30, 2022, at 11:00 a.m. Therefore,
      [Defense Counsel] would have ten days from that date in
      order to follow-up with a written request.                      The
      Commonwealth is on notice so that they will be able to
      timely respond.

Id. at 3-4 (some capitalization modified; emphasis added).

      On November 30, 2022, the parties appeared for the scheduled

sentencing hearing. However, rather than proceeding to sentencing, the trial

court addressed the oral motion. Defense counsel asked whether he should

file a written motion.    The Commonwealth reminded the court of the

agreement that Defendant would file a written motion and provide the

Commonwealth an opportunity to respond.         Nevertheless, the trial court

granted Defendant’s oral motion to overturn the verdict and dismiss the theft

by deception charge. See N.T., 11/30/22, at 9-10. The trial court generally

observed:

      [T]he family apparently made a decision to get in-home care. In-
      home care is very expensive[,] and it is not covered by insurance.
      ... At the time the decision was made, [Gross] was apparently

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     ambulatory, but limited. She was extremely overweight[,] and it
     was difficult to maneuver her from one place to another.

           At that time [Gross’s stepdaughter, Tome,] was involved in
     having the power of attorney and assisting in payment of certain
     expenses.     However, shortly thereafter, she stopped being
     involved in those payments.

N.T., 11/30/22, at 2-3.

     The trial court concluded the jury’s verdicts were inconsistent, and the

evidence did not support the verdict:

           It is notable in this case that there was an inconsistent
     verdict. And we want to differentiate between an inconsistent
     verdict and a verdict that is against the weight of the evidence.

           We will note, specifically, that in this case what is notable
     about the inconsistent verdict is that there was no indication,
     based on the evidence, that the checks were signed by anyone
     other than [Gross]. Even with the bank records and copies of
     checks that were introduced into evidence, they were all signed
     by [Gross].

           Additionally, there was absolutely no evidence that [Gross]
     was incompetent, mentally. Therefore, the [c]ourt can make a
     presumption of competence of [Gross] to sign her own checks.
     And it would be the Commonwealth’s burden to prove she was
     incompetent to sign her own checks or to know what was on them.
     No evidence in that regard could be presented.

     ….

           … In this case, again, the Commonwealth was somewhat
     handicapped by the fact that [Gross] is deceased. We were also
     struck by the fact that not only did [Tome] stop … being involved
     in the finances for a period in excess of two years, but we also
     note that she testified that she wasn’t there when the Defendant
     was there, and that she was there at the house, generally, once
     per week, in the evening after work.

          By the time this case ended[,] the testimony was that
     [Gross] not only was over 400 pounds, but was bedridden. What

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      then strikes the [c]ourt is what became … a vacuum of any
      indication of how [Gross] was being cared for, how her needs were
      being met, including purchase of food, medicine, adult diapers, or
      other supplies. There were no credit card records entered,
      although there was some discussion of a maxed out Discover card.
      We do appreciate that the neighbors stepped up, but for their care
      and [Tome] stepping in once a week, there is a vacuum related to
      how [Gross] was being cared for. Clearly, she was being cared
      for by the Defendant.

            And circumstantial evidence works both ways. In the
      absolute absence of any evidence that [Gross’s] needs, both
      financial and otherwise, were being met in any way other than by
      the care of the neighbors and the care of the Defendant, it would
      be a supreme miscarriage of justice to Monday morning
      quarterback that care.

            The testimony was that this case started when the bank
      contacted [Tome] regarding an overdrawn account. Given the
      amount of care that a bedridden 400 pound woman would require,
      the [c]ourt is not surprised that on her limited income[, Gross’s]
      bank account was overdrawn. What we are surprised about is that
      her bank account lasted as long as it did.

             This [c]ourt does not take this decision lightly. We believe
      in the jury system. We believe that juries get it right 99.9 percent
      of the time. And we don’t try to guess why juries do what they
      do. However, there are patter[n]s that the [c]ourt has observed
      over our years of experience. One is that it is basic human nature
      to want to protect the elderly and children, and one is that when
      faced with multiple charges, sometimes they want to do either,
      well, we will find him not guilty on this, or we will find him guilty
      on this, and both existed in this case.

             Where there is a vacuum of evidence, other than that care
      was provided by this Defendant and expenses were met by this
      Defendant, neither the direct nor circumstantial evidence, which
      was practically non-existent, would be enough to support a verdict
      of guilty.

Id. at 3-7.

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      The court next reviewed the elements of theft by deception, along with

the evidence, or perceived lack thereof, supporting each element. See id. at

7-9. In part, the trial court stated, “In the absence of a victim, [Defendant’s]

testimony was essentially not controverted.”       Id. at 8; see also id. at 9

(“While the jury may have inferred something with regard to this, without the

victim’s   testimony,   which   we   understand     severely   handicapped      the

Commonwealth in this case, we cannot find that there was any evidence

supporting either a deception or reliance by the victim on a deception ….”).

      Further, the trial court concluded:

             In reviewing all of these elements, specifically, the complete
      lack of any reliable circumstantial evidence or any direct evidence
      as to two of the three elements, and what the [c]ourt views as
      Monday morning quarterbacking of the care provided by the
      Defendant, this is almost the definition of why the [c]ourt has the
      ability to do a judicial override. Therefore, in this case, the [c]ourt
      will overturn the verdict. We will dismiss the charges without a
      sentence for the Defendant.

      ….

            This case has bothered me. I have woken up at night
      thinking this case should not have been brought to trial. It really
      should not have been brought to trial. Once [Gross] passed it just
      shouldn’t have been brought to trial.

            Again, I realize that the Commonwealth, you can’t do
      anything about a victim who isn’t here. Okay? And cases are
      often dismissed on that basis when [witnesses] are uncooperative.
      And in this case [Gross] died….

            I was unimpressed -- I know she just walked out, I was
      unimpressed by [Tome], who essentially absented herself for
      caring for this woman for two years and then Monday morning
      quarterback[ed] the care the Defendant was providing. I am
      bothered by that. And it certainly, maybe, could be civil. Probably

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       she can’t meet that burden either, but it certainly is not a criminal
       act.

             I do not want to create -- it is against public policy to create
       a disincentive for caregivers to care for people who are not in a
       nursing home, [who] their family won’t put in a nursing home,
       and [family] who have absented themselves from taking care of
       them, which is I think what happened here.

             And, again, I think that the Commonwealth would have us
       infer what [Gross] would have said, but [Gross] also might have
       exonerated the Defendant. So I am not going to infer one way or
       the other, and [] if I have to infer, the inference goes against the
       Commonwealth and in favor of the Defendant. I do have to infer
       that she was mentally competent and signed her own checks.
       Okay? … I believe in the jury system. I really wanted the jury to
       do the right thing here, but I think it shocks the conscience, what
       happened here, and I am very bothered by it. Okay?

Id. at 9-11 (some paragraph breaks omitted). The trial court then vacated

Defendant’s conviction and dismissed the charges.

       The Commonwealth filed a timely appeal.5 Both the Commonwealth and

the trial court have complied with Pa.R.A.P. 1925.

       The Commonwealth raises the following issues for review:

       I. Did the trial court err in sua sponte overturning the jury’s verdict
       where Defendant had not filed a post-sentence motion requesting
       the verdict be overturned, where the Commonwealth, the court,
       and the Defendant had mutually agreed the Defendant would do
____________________________________________

5  Given the procedural posture, the Commonwealth’s appeal does not
implicate double jeopardy under the Fifth Amendment to the United States
Constitute and Article 1, Section 10 of the Pennsylvania Constitution. See
U.S. v. Wilson, 420 U.S. 332, 352-53 (1975) (explaining “when a judge rules
in favor of the defendant after a verdict of guilty has been entered by the trier
of fact, the Government may appeal from that ruling without running afoul of
the Double Jeopardy Clause[,]” because “[c]orrection of an error of law at that
stage would not grant the prosecutor a new trial or subject the defendant to
the harassment traditionally associated with multiple prosecutions.”).

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       so, and where any errors were not so manifest that immediate
       relief was essential?

       II. Did the trial court err in overturning the jury’s verdict where
       the Commonwealth presented evidence that was sufficient to
       prove each and every element of theft by deception where the
       Commonwealth proved Defendant intentionally obtained money
       belonging to the victim by cashing checks at amounts greater than
       originally written, that Defendant created a false impression of
       value by writing values in the victim’s check receipt book that were
       less than the money cashed, and by altering checks that were
       signed by the victim, and [w]here the [] amount taken was in
       excess of $2,000?

       III. Did the trial court err in vacating the Defendant’s conviction
       based on inconsistent verdicts?

       IV. Did the trial court err in overturning the jury’s verdict on the
       grounds that it was against the weight of the evidence, where the
       trial court effectively acted as a thirteenth juror in conducting its
       own evaluation of the evidence, and ruled based on public policy
       considerations?

Commonwealth Brief at 5-6.6

       Though the Commonwealth identifies four issues, each issue challenges

the trial court’s decision to vacate Defendant’s conviction and dismiss the

charges. The Commonwealth argues the trial court denied it the opportunity

to respond to Defendant’s oral motion challenging the verdict. Id. at 23. The

Commonwealth points to the parties’ agreement that Defendant would file a

written post-sentence motion, after which the Commonwealth could file a

response. Id. at 24-25. Further, the Commonwealth asserts the trial court

improperly granted extraordinary relief despite there being no motion on the

record. Id. at 25-26.
____________________________________________

6 Defendant did not file an appellate brief.

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      The trial court states for the first time in its Rule 1925(a) opinion that it

set aside the jury’s verdict pursuant to Pa.R.Crim.P. 704(B).          Trial Court

Opinion, 2/10/23, at 2-3. Rule 704(B) provides:

      (B) Oral Motion for Extraordinary Relief.

      (1) Under extraordinary circumstances, when the interests
      of justice require, the trial judge may, before sentencing, hear
      an oral motion in arrest of judgment, for a judgment of acquittal,
      or for a new trial.

      (2) The judge shall decide a motion for extraordinary relief before
      imposing sentence, and shall not delay the sentencing proceeding
      in order to decide it.

      (3) A motion for extraordinary relief shall have no effect on the
      preservation or waiver of issues for post-sentence consideration
      or appeal.

Pa.R.Crim.P. 704(B) (emphasis added).

      The comment to Rule 704 clarifies when a motion for extraordinary relief

is appropriate:

      Under paragraph (B), when there has been an error in the
      proceedings that would clearly result in the judge’s granting relief
      post-sentence, the judge should grant a motion for extraordinary
      relief before sentencing occurs. Although trial errors may be
      serious and the issues addressing those errors meritorious, this
      rule is intended to allow the trial judge the opportunity to
      address only those errors so manifest that immediate relief
      is essential. It would be appropriate for counsel to move for
      extraordinary relief, for example, when there has been a change
      in case law, or, in a multiple count case, when the judge would
      probably grant a motion in arrest of judgment on some of the
      counts post-sentence. Although these examples are not all-
      inclusive, they illustrate the basic purpose of the rule: when there
      has been an egregious error in the proceedings, the interests
      of justice are best served by deciding the issue before sentence is
      imposed.      Because the relief provided by this section is

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      extraordinary, boilerplate motions for extraordinary relief should
      be summarily denied.

Pa.R.Crim.P. 704, Comment (emphasis added). “Rule 704(B) is intended to

allow the trial judge the opportunity to address only those errors so manifest

that immediate relief is essential.” Commonwealth v. Grohowski, 980 A.2d

113, 115 (Pa. Super. 2009). Motions for extraordinary relief must not be used

“as a substitute vehicle for raising a matter that should be raised in a post-

sentence motion.”    Commonwealth v. Askew, 907 A.2d 624, 627 (Pa.

Super. 2006) (citation and quotation marks omitted).

      Our review reveals support for the Commonwealth’s assertion that

Defendant did not submit an oral motion for extraordinary relief. Defense

counsel moved for “acquittal,” “demurrer,” and “to set aside the verdict.”

N.T., 10/19/22, at 435, 440. Defense counsel did not cite Rule 704 or refer

to extraordinary circumstances, nor did counsel allege a manifest or egregious

error that required immediate relief. See Pa.R.Crim.P. 704, Comment; see

also Commonwealth v. Bozic, 997 A.2d 1211, 1227 (Pa. Super. 2010). To

the contrary, counsel appeared to challenge the sufficiency of the evidence.

See id. at 440 (“[T]here’s no way they can come up with that.”). At the close

of trial on October 19, 2022, and during the hearing on October 28, 2022, the

parties discussed Defendant filing a formal, written motion.      During the

October 28, 2022, hearing, the parties and trial court expressly agreed that

Defendant would file a motion after sentencing, and the Commonwealth

would have an opportunity to respond. N.T., 10/28/22, at 2-4.

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       Assuming arguendo that a Rule 704(B) oral motion was before the court,

the trial court erred by granting the motion and vacating the conviction. In

its opinion, the trial court stated it set aside the verdict “on the grounds that

there had been an error in the proceedings that would clearly result in the

granting of post-sentence relief.” Trial Court Opinion, 2/10/23, at 3. The trial

court also stated that the verdict “shocks one’s sense of justice,” and the

Commonwealth failed to establish the elements of theft by deception. See id.

These conclusions refer to the weight and sufficiency of the evidence, which

are properly addressed in a post-sentence motion. Cf. Askew, supra. The

trial court also failed to explain why any error in this regard required

immediate relief. See Pa.R.Crim.P. 704, Comment.

       Accordingly, we conclude the trial court erred by addressing Defendant’s

claims under Rule 704(B), vacating Defendant’s conviction, and dismissing the

charges.    Defendant should have presented her claims in a written post-

sentence motion, particularly in light of the parties’ agreement to follow

standard post-sentence procedure.7 We therefore reverse the order, reinstate

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7 Though we do not consider the trial court’s apparent conclusion that the jury

verdict was against the weight and sufficiency of the evidence, we emphasize
that a trial court “cannot alter the verdict based upon a redetermination of
credibility or a re-evaluation of evidence.” Commonwealth v. Johnson, 631
A.2d 639, 643 (Pa. Super. 1993) (citation and quotation marks omitted).

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Defendant’s conviction, and remand for sentencing.8        After sentencing,

Defendant may file a post-sentence motion if she wishes to pursue her claims.

       Order reversed. Conviction reinstated. Case remanded for sentencing.

Jurisdiction relinquished.

Judgment Entered.

Joseph D. Seletyn, Esq.
Prothonotary

Date: 09/14/2023

____________________________________________

8 Based on our disposition, we need not address the Commonwealth’s
arguments that the jury verdict was supported by sufficient evidence; the
verdict was not against the weight of the evidence; and the trial court
improperly relied on the jury’s inconsistent verdicts.

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