Opinion ID: 1463387
Heading Depth: 2
Heading Rank: 2

Heading: Issues Deemed Waived

Text: The remaining issues were deemed waived by the lower court. Section 1180-4 provides: (b) For the purposes of this act, an issue is waived if: (1) The petitioner knowingly and understandingly failed to raise it and it could have been raised before the trial, at the trial, on appeal, in a habeas corpus proceeding actually conducted, or in a prior proceeding actually initiated under this act; and (2) The petitioner is unable to prove the existence of extraordinary circumstances to justify his failure to raise the issue. (c) There is a rebuttable presumption that a failure to appeal a ruling or to raise an issue is a knowing and understanding failure. Certainly the remaining issues of Mr. Alexander's sixth petition have long been waived by his failure to raise them in the preceding five petitions. However, appellant seeks to circumvent the effect of such waiver by bemoaning the effectiveness of counsel at his first, fourth and fifth PCHA proceedings and equating such alleged ineffectiveness with extraordinary circumstances within the meaning of section 1180-4(b)(2). Before we determine whether appellant has alleged such extraordinary circumstances, it is necessary to explore the role that ineffective assistance of counsel allegations have played in prior similar determinations. It is true that certain cases of this Court have spoken in rather broad terms which suggested that an ineffective assistance assertion alone constitutes such extraordinary circumstances. Commonwealth v. Watlington, 491 Pa. 241, 245, 420 A.2d 431, 433 (1980) ( Since appellant has alleged the ineffectiveness of all prior counsel for failing to raise the issues contained in the instant petition, the PCHA court's ruling that said issues had been waived was erroneous.); Commonwealth v. Wideman, 453 Pa. 119, 306 A.2d 894 (1973); Commonwealth v. Waddy, 463 Pa. 426, 345 A.2d 179 (1975); see Commonwealth v. Valesquez, 244 Pa.Super. 327, 368 A.2d 745 (1976). However, it cannot be disputed that, as the PCHA requires a petitioner to set forth all available grounds for relief in one petition, § 1180-5(b), and as the PCHA creates a rebuttable presumption that failure to appeal a ruling or preserve an issue is a knowing and understanding waiver, § 1180-4(c), it would defeat the intent of the General Assembly to elevate a mere assertion of ineffectiveness to the status of extraordinary circumstances permitting review of the substantive issues which were not raised in the first PCHA petition. Surely much more was envisioned by the drafters. To the extent the courts, this one included, have permitted the utterance of the magic words ineffective assistance of counsel to establish an automatic right to bring multiple PCHA proceedings, the system needs revision to prevent abuse by prisoners, a waste of the precious and limited resources available for the criminal process, and public disrespect for the judgments of criminal courts. Friendly, Is Innocence Irrelevant? Collateral Attack on Criminal Judgments, 38 U.Chi.L.Rev. 142, 172 (1970). Or as Justice Flaherty accurately phrased it, [t]he purpose of the [PCHA] was to facilitate, in certain circumstances, additional review of convictions, not to fill the leisure hours of prisoners by permitting them to file endless post-conviction petitions. Commonwealth v. Watlington, supra, 491 Pa. at 251, 420 A.2d at 436. To hold that  any claim, no matter how insignificant, is cognizable on collateral review as long as that claim is cloaked with an allegation of ineffectiveness of counsel, id., 491 Pa. at 250, 420 A.2d at 436, would further the proliferation of needless and wasteful multiple post-conviction proceedings. Justice Flaherty used this illustration: a criminal defendant is not entitled to a perfect trial and it seems likely that if the accused were to be represented by fifty lawyers, some aspect of the performance of each could be decried as `ineffective.' Id., 491 Pa. at 252, 420 A.2d at 437. This example might be hyperbole in terms of the numbers of attorneys, yet the principle it illustrates is sound and is highlighted in the instant petition as the appellant asserts the ineffectiveness of the various counsel at his first, fourth and fifth PCHA proceedings. While we are in complete accord with Justices Flaherty and Kauffman in spirit and share their dissatisfaction with such a potentially limitless post-conviction proceeding system, nevertheless we cannot subscribe to their alternative. In Watlington, the dissent stated [a]ccordingly, I would limit collateral review to claims (1) constituting a denial of due process or fundamental fairness that (2) significantly implicate the truth determining process. Id., 491 Pa. at 251, 420 A.2d at 436. This approach probably more closely approximates the intent of the legislature than does the open-ended ineffective assistance equals extraordinary circumstances approach, but it suffers from one of its drawbacks  inflexibility. It was inflexibility that caused this author to refrain from joining Justice Flaherty's dissenting opinion in Watlington. The underlying issues in Watlington involved the trial court's instructions to the jury. Counsel had failed to object to the instructions at trial or to raise the alleged errors on post-verdict motions. On appeal, new counsel asserted the substantive issues regarding the jury instructions but failed to assert trial counsel's ineffectiveness for failure to preserve the issues and, accordingly, this court had held those issues waived. In his first PCHA petition, a third attorney alleged that trial counsel was ineffective, but failed to allege direct appeal counsel's ineffectiveness (in failing to allege trial counsel's ineffectiveness) and so, the PCHA court held that issue had been waived. Finally, the appellant perceived the pattern and, in a pro se second PCHA petition, he alleged layered ineffectiveness; that is, ineffectiveness of each successive counsel. The PCHA court dismissed without a hearing and appellant filed a pro se appeal to this Court. The majority and concurring opinions recognized that the failure of three successive attorneys to properly raise an issue was extraordinary. Justices Flaherty and Kauffman would have affirmed the denial because, in their opinions, the underlying unpreserved claim did not constitute a due process denial that significantly implicated the truth-determining process at trial. However, if the ineffectiveness standard is to have any substance at all, it was necessary in Watlington to provide that appellant with at least one meaningful opportunity to have the underlying issues reviewed, at least in the context of an ineffectiveness claim. [3] Applying the due process-significant implication of truth determining process test in that situation would have resulted in a Catch-22 situation for the appellant that would have deprived him of ever being heard on an issue that potentially could warrant a new trial. It would indeed be a miscarriage of justice to hold that, because of the actions of these [three ineffective] counsel, appellant has now waived all issues, and I agree with the majority's disposition of the case. Id., 491 Pa. at 246, 420 A.2d at 434 (Larsen, J., concurring, joined by Chief Justice Michael J. Eagen). It is unnecessary and undesirable to replace ineffective assistance equals extraordinary circumstances with any formula that would not allow the PCHA court to remain flexible in the exercise of sound discretion. As the phrase implies, circumstances might arise which will be truly extraordinary and will defy neat categorization. Therefore, the PCHA court should be free to consider all the myriad facts and circumstances surrounding the petition as to the decision to hold a hearing on a second (or a later successive) petition as well as the decision as to whether extraordinary circumstances exist excusing failure to preserve an issue. Justice Flaherty's two-fold test sets forth important factors for the PCHA court's consideration, but they should not be exclusive. Other relevant factors would include: (1) The length of time between the occurrence of the asserted error and the filing of the petition, and the explanation for any delay. This factor would often be closely allied with the opportunity, or lack of opportunity, to raise a particular error at an earlier proceeding. See 19 P.S. § 1180-5(b); Commonwealth v. Triplett, 476 Pa. 83, 381 A.2d 877 (1977); Witt v. State, 387 So.2d 922 (Fla. 1980), cert. denied sub nom., Witt v. Florida, 449 U.S. 1067, 101 S.Ct. 796, 66 L.Ed.2d 612 (1981). Thus, a lengthy, unexplained delay in raising an issue will buttress the presumption of knowing and understanding waiver; conversely, the immediate attempt to gain review of alleged error at the earliest possible time would have the opposite effect. (2) Whether the collateral attack follows judgment of sentence imposed upon a plea of guilty. The only permissible challenges to a guilty plea, whether on direct appeal or in a collateral proceeding, are the jurisdiction of the court, the validity of the plea and the lawfulness of the sentence, Commonwealth v. Alexander, 435 Pa. 33, 255 A.2d 119 (1969) (this was the same Mr. Alexander) and Commonwealth v. Stokes, 426 Pa. 265, 232 A.2d 193 (1967), although these claims might be inclusive of other grounds as where a petitioner alleges that an unlawfully obtained confession primarily motivated the guilty plea. Commonwealth v. Marsh, 460 Pa. 253, 333 A.2d 181 (1975) and Commonwealth v. Rosenberger, 218 Pa.Super. 95, 96 n.1, 279 A.2d 308, 309 n.1 (1971). Therefore, only claims of ineffectiveness which relate to issues which are cognizable in the PCHA proceeding would qualify for extraordinary circumstances. (3) Abuse of remedy. Where a petitioner, abuses the post-conviction remedy by multiple petitions designed solely for harassment, vexation, etc., the PCHA court should strongly consider denial of the petition without a hearing. Smith v. Yeager, 393 U.S. 122, 89 S.Ct. 277, 21 L.Ed.2d 246 (1968); Commonwealth ex rel. Bordner v. Russell, 422 Pa. 365, 221 A.2d 177 (1966); Mottram v. State, 263 A.2d 715 (Me. 1970) (no constitutional guarantee demands, and no consideration of justice permits, deliberate successive attacks on a conviction); Greer v. State, 262 Ind. 622, 321 N.E.2d 842 (1975) (There is no right to perpetual litigation on the part of the defendant in a criminal case.) See Murch v. Mottram, 409 U.S. 41, 93 S.Ct. 71, 34 L.Ed.2d 194 (1972), reh. denied, 409 U.S. 1119, 93 S.Ct. 894, 34 L.Ed.2d 704 (1972). The PCHA court should consider the number of prior petitions and the factual nature and legal character of the issue previously advanced. In this regard, it is entirely proper for the PCHA court to view a present petition in light of prior frivolous petitions. Accordingly, if a petitioner wiles away his leisure time at the jailhouse law library (a commendable endeavor in and of itself) drafting ludicrous (patently frivolous) petitions, that is his prerogative. But where a petitioner wastes scarce judicial resources by filing frivolous petitions, he does so at the risk of downgrading the worth of future petitions. The prisoner who frivolously cries error should not be surprised that the PCHA court is skeptical about future petitions. (4) Prejudice. As successive PCHA petitions are the exceptions, concrete allegations of actual prejudice should be expressed in those petitions. Abstract assertions will not suffice. Parton v. Wyrick, 614 F.2d 154 (8th Cir. 1980); Turnbough v. State, 574 S.W.2d 400 (Mo. 1978). Rather, petitioner must be able to demonstrate a specific factual predicate for prejudice caused by alleged errors, including ineffectiveness of counsel. Commonwealth v. Pettus, 492 Pa. 558, 424 A.2d 1332 (1980) and 19 P.S. § 1180-9. (5) To what extent does a second (or later successive) petition simply allege a new or different legal theory for supporting an issue already decided against petitioner. Commonwealth v. Wilson, 452 Pa. 376, 305 A.2d 9 (1973) (merely because appellant advances a new or different theory as a basis for his previously adjudicated claim does not alter the fact that the issue had been decided against petitioner  issue therefore finally litigated under 19 P.S. § 1180-4(a)); Commonwealth v. Slavik, 449 Pa. 424, 297 A.2d 920 (1972) (same); see Sanders v. United States, 373 U.S. 1, 83 S.Ct. 1068, 10 L.Ed.2d 148 (1963). Thus a petitioner who has already litigated the voluntariness of a confession generally cannot later relitigate the issue on a more limited legal grounds such as a violation of the Davenport six-hour arraignment rule. The list is not all-encompassing, nor should it be. It is intended only to serve as guidance to the PCHA court faced with multiple petitions. That court must evaluate the relative weights to be given these various considerations, some, none or all of which might be present at a given PCHA proceeding; other considerations not mentioned may be present which would sway the court's determination on whether to grant a hearing on a second (or later successive) petition. Predictability and certainty are valuable judicial commodities, but they cannot be exaggerated at the expense of justice. Inflexible rules which effectively preclude a prisoner from having his day in court are as undesirable as open-ended rules which permit ceaseless successive petitions. Accordingly, the PCHA court must consider all factors and all legal and factual circumstances in its determination whether or not to grant a hearing on a second (or later successive) PCHA petition. The court must also consider the paramount procedural feature of the PCHA  that there be only one petition  and its determination must give proper deference to the presumption against multiplicity of post-conviction proceedings. That determination will be upheld on review absent abuse of discretion. In the instant matter, Mr. Alexander's assertion that the PCHA court abused its discretion in dismissing the petition without a hearing is a flight of fancy. As we have seen, some of the issues had been finally litigated. As to those remaining issues deemed waived, Mr. Alexander's numerous prior petitions (5), the nature of some of the issues previously advanced (e.g. the patently frivolous religious establishment issue in the first petition), the fact that the judgments of sentence were imposed following a plea of guilty, the inordinate and unexplained amount of time which passed between the entry of that plea and the filing of the various petitions (the first twelve years later; the last 24 years later), and the nebulous claim of ineffectiveness, [4] all combine to lead unerringly to the conclusion that the present petition should, indeed, have been dismissed without a hearing. For the foregoing reasons, the order of the Court of Common Pleas of Philadelphia County dismissing appellant's petition for post-conviction relief is affirmed. NIX, J., filed a concurring opinion. FLAHERTY, J., filed a concurring opinion in which KAUFFMAN, J., joined.