Spielberg v. State

• Decision Date: 18 January 1989
• Citation: 558 A.2d 291
• Parties: David A. SPIELBERG, Defendant Below, Appellant, v. STATE of Delaware, Plaintiff Below, Appellee. . Submitted:
• Court: Supreme Court of Delaware

Page 291

558 A.2d 291

David A. SPIELBERG, Defendant Below, Appellant, v. STATE of Delaware, Plaintiff Below, Appellee.

Supreme Court of Delaware.

Submitted: Jan. 18, 1989.

Decided: March 16, 1989.

Kenneth E. Fink, Ferry & Fink, Wilmington, for appellant.

Gary A. Myers, Deputy Atty. Gen., Dept. of Justice, Wilmington, for appellee.

Before HORSEY, WALSH and HOLLAND, JJ.

WALSH, Justice.

In the exercise of its constitutional authority, ¹ this Court has accepted for determination three questions of law, certified by the Superior Court, involving the construction of recently-enacted criminal statutes dealing with sexual offenses. The certification followed the conviction, after a jury trial, of David A. Spielberg for attempted unlawful sexual intercourse in the first degree, unlawful sexual penetration in the second degree, burglary in the first degree, and assault in the third degree. The certified questions relate only to the sexual offense convictions.

The three questions of law certified by the Superior Court are:

(a) Are the statutes governing sexual offenses, 11 Del.C. Sections 761-775, particularly 11 Del.C. Sections 771 and 775, void because the General Assembly has neither classified those offenses in the bodies of the statutes as a misdemeanor or felony, nor specified in the bodies thereof the penalty or penalties for committing the acts which constitute the offenses?

(b) Notwithstanding 1 Del.C. Section 306, did the General Assembly in fact classify the aforesaid sexual offenses, particularly 11 Del.C. Sections 771 and 775, and specify the penalty or penalties therefor, by including as a part of the enrolled bill enacted into law the headings or catchlines which purport to classify said offenses and prescribe the penalty or penalties therefor? See 65 Del. Laws c. 494 and House Substitute No. 1 for House Bill No. 326, 133rd General Assembly. See also Del. Const. art. II, § 10; Opinion of the Justices, Del.Supr., 232 A.2d 103, 104 (1967); Opinion of the Justices, Del.Supr., 233 A.2d 59, 61 (1967); Wilmington Savings Fund Society v. Green, Del.Supr., 288 A.2d 273, 274-76 (1972).

(c) If the Court concludes that the General Assembly failed to classify the aforesaid sexual offenses, particularly 11 Del.C. Sections 771 and 775, are said offenses nonetheless misdemeanors under 11 Del.C. Section 233(c)?

In certifying the questions the Superior Court noted that "... the validity of this and numerous other prosecutions for sexual offenses under 11 Del.C. Sections 761-775 may be in doubt...." Indeed, a companion case, decided this date, Morgan v Young, Del.Supr., 558 A.2d 296 (1988), poses the same issues of interpretation. We find that the amended statutes, under which Spielberg was convicted, are valid and we answer the certified questions accordingly.

I

The issue presented by the certified questions results from the passage, by the General Assembly, of legislation amending certain criminal code provisions entitled "AN ACT TO AMEND TITLE 11 OF THE DELAWARE CODE RELATING TO CERTAIN SEXUAL OFFENSES." See 65 Del. Laws c. 494. This statute, which became effective July 9, 1986, sought to create thirteen crimes which had not heretofore existed in the language there expressed. In only two of the thirteen component offenses does the penalty to be imposed appear in both the heading as well as the body of the enrolled bill. ² In all other instances the penalty designation appears only in the section heading of the enrolled bill. Thus, with respect to the two offenses of which Spielberg was convicted, the penalty was designated only in the section heading of the enrolled bill. A violation of section 775 is classified as a Class A Felony in that section's heading: Unlawful Sexual Intercourse in the First Degree: Class A Felony, and a violation of section 771, is classified as a Class C felony and the penalty is provided in the enrolled bill in its heading: Unlawful Penetration in the Second Degree: Class C Felony.

In essence, Spielberg argues that the failure of the General Assembly to include a penalty provision in the body of sections 771 and 775, and other offenses similarly cast, renders them fatally defective since under Delaware law all crimes must be created by statute and are required to be classified as felonies, misdemeanors or violations. See 11 Del.C. §§ 202, 4201-03. This argument proceeds on the premise that the headings or catchlines of an enrolled bill are not part of the law. The State, while conceding that the statutes under review were inartfully drafted, counters that the statutory headings may be considered in an effort to discover the legislative intent. We find that Spielberg's premise is faulty and therefore disagree with his conclusion that the statutes under which he was convicted are fatally defective.

II

In the construction of a statute, this Court has established as its standard the search for legislative intent. Richardson v. Wile, Del.Supr., 535 A.2d 1346, 1348 (1988). Where the intent of the legislature is clearly reflected by unambiguous language in the statute, the language itself controls. See Evans v. State, Del.Supr., 516 A.2d 477, 478 (1986). If uncertainty exists, however, rules of statutory construction are applied. To that end, the statute must be viewed as a whole, and literal or perceived interpretations which yield mischievous or absurd results are to be avoided. Daniels v. State, Del.Supr., 538 A.2d 1104, 1110 (1988); Burpulis v. Director of Revenue, Del.Supr., 498 A.2d 1082, 1087 (1985).

Where the interpretative task involves a criminal statute, which is a part of the Delaware Criminal Code, this Court is enjoined by section 203 of the Code from adopting a strict construction to the detriment of the fair import of the statute. 11 Del.C. § 203. Section 203 provides:

§ 203. Principles of construction.

The general rule that a penal statute is to be strictly construed does not apply to this Criminal Code, but the provisions herein must be construed according to the fair import of their terms to promote justice and effect the purposes of the law, as stated in § 201 of this title.

Id.

One of the general purposes which must be considered in construing a criminal statute is "[t]o give fair warning of the nature of the conduct proscribed and of the sentences authorized upon conviction...." 11 Del.C. § 201(2). Spielberg's construction of sections 771 and 775, if correct, requires this Court to find that the sections fail this basic purpose.

Spielberg's argument, that the subject crimes lack penalties, is constructed on a literal application of the general statutory construction guidelines set forth in Title 1, Chapter 3, of the Code which broadly govern interpretations of component statutes of the Delaware Code. See 1 Del.C. §§ 301-08. The rules of construction and definitions imparted by Chapter 3, on which Spielberg relies, control "... unless such construction would be inconsistent with the manifest intent of the General Assembly, or repugnant to the Code or the context of the same statute." 1 Del.C. § 301.

The rule of construction which Spielberg contends is controlling on the issue of the permissibility of recourse to catchlines, to determine legislative intent, is section 306. 1 Del.C. § 306. Section 306 provides:

§ 306. Analyses of titles, parts, chapters, subchapters and sections; section headings; notes.

The various analyses set out in this Code, constituting enumerations or lists of the titles, parts, chapters, subchapters and sections of this Code, and the descriptive headings or catchlines immediately preceding or within the texts of the individual sections of this Code, except the section numbers included in the headings or catchlines immediately preceding the texts of such sections, do not constitute part of the law. All derivation and other notes set out in this Code are given for the purpose of convenient reference, and do not constitute part of the law.

Id.

Spielberg views section 306 as more than an aid in the construction of the substantive portions of the Delaware Code. He claims that its language prohibits subsequent General Assemblies from enacting statutes in a manner inconsistent with the rule set forth in section 306. While we question the constitutional assumption upon which this argument is allegedly based, it is unnecessary to address it. We view section 306 as having only historical significance. In our view, section 306 merely provides an indication of the methodology used by the 1953 Code revisors in the compilation of the revised Code. Cf. Monacelli v. Grimes, Del.Supr., 99 A.2d 255, 260 (1953). (discussing preparation and adoption of the 1953 revised Code). The interpretive standards set forth in Chapter 3, Title 1 of the 1953 Code were carried forward, without change, into the 1974 revision of the Delaware Code.

We also recognize that 1 Del.C. § 109(e) suggests that future General Assemblies may enact substantive legislative amendments without heading or catchline amendments. ³ In our view these guidelines, to the extent they have a prospective reach, are directory only and, as section 301 makes clear, not intended to foreclose questions of "... manifest intent of the General Assembly...." 1 Del.C. § 301.

In support of his argument that section 306 precludes consideration of the catchline of an enrolled bill, Spielberg relies upon Matthews v. Bryerton, Del.Supr., 193 A.2d 83, 87 (1963). In Matthews, this Court held that a headnote or catchline which is inconsistent with the body of the statute "... is not part of the law ..." and cited section 306 as authority. Id. In this case, the catchline of the enrolled bill is consistent with the text of the statute because it contains the only manifestation of legislative intent to attach a penalty for engaging in the proscribed conduct. In Matthews, it was determined that if recourse to the catchline were permitted, conflicting manifestations of legislative intent emerged. Id. ...