Court Opinion

ID: 9635416
Source: CourtListenerOpinion
Date Created: 2023-08-22 13:50:17.829329+00
Date Added: 2024-06-11T10:28:57.787441
License: Public Domain

NIX, Chief Justice,
dissenting.
The majority in its haste to discard our rule confining the inquiry as to the validity of a waiver of trial by jury to the trial record defeats the very purpose they purport to serve. They accept a meritless claim of ineffective assistance of counsel and remand for a time consuming inquiry as to a *451waived issue. Faithful adherence to our existing rules would better serve the objectives the majority purports to advance, rather than an unwise innovation in an area where change is not needed. I am therefore compelled to register my dissent.
The right to trial by jury of one accused of a crime is a basic tenet of American jurisprudence and traditionally respected in this Commonwealth. U.S. Const. amend. 6; Pa. Const. art. 1, §§ 6, 9; Commonwealth v. Reed, 488 Pa. 221, 412 A.2d 477 (1980); Commonwealth v. Greene, 483 Pa. 195, 394 A.2d 978 (1978); Commonwealth v. Hooks, 483 Pa. 40, 394 A.2d 528 (1978); Commonwealth v. Banks, 465 Pa. 387, 350 A.2d 819 (1976); Commonwealth v. Boyd, 461 Pa. 17, 334 A.2d 610 (1975); Commonwealth v. Williams, 454 Pa. 368, 312 A.2d 597 (1973). Flowing from that premise it has been universally concluded that the defendant, not trial counsel, must make the ultimate decision as to whether the right to trial by jury is to be waived in a given case. Commonwealth v. Boyd, supra; Commonwealth v. Stokes, 450 Pa. 167, 299 A.2d 272 (1973); Commonwealth v. Williams, 310 Pa.Super. 501, 456 A.2d 1047 (1983). It is also accepted that a waiver of a basic fundamental right, by a defendant in a criminal trial, must be knowingly and intelligently made. North Carolina v. Butler, 441 U.S. 369, 99 S.Ct. 1755, 60 L.Ed.2d 286 (1979); Brady v. United States, 397 U.S. 742, 90 S.Ct. 1463, 25 L.Ed.2d 747 (1970); Boykin v. Alabama, 395 U.S. 238, 89 S.Ct. 1709, 23 L.Ed.2d 274 (1969); Miranda v. Arizona, 384 U.S. 436, 86 S.Ct. 1602, 16 L.Ed.2d 694 (1966); Escobedo v. Illinois, 378 U.S. 478, 84 S.Ct. 1758, 12 L.Ed.2d 977 (1964); Carnley v. Cochran, 369 U.S. 506, 82 S.Ct. 884, 8 L.Ed.2d 70 (1962); Johnson v. Zerbst, 304 U.S. 458, 58 S.Ct. 1019, 82 L.Ed. 1461 (1938); Commonwealth v. Hines, 496 Pa. 555, 437 A.2d 1180 (1981); Commonwealth v. Cathey, 477 Pa. 446, 384 A.2d 589 (1978); Commonwealth v. Hughes, 477 Pa. 180, 383 A.2d 882 (1978); Commonwealth v. Stokes, supra; Commonwealth v. Cornitcher, 447 Pa. 539, 291 A.2d 521 *452(1972); Commonwealth v. Jones, 447 Pa. 228, 286 A.2d 892 (1971).
From this lemma this Court in Commonwealth v. Williams, supra, identified those factors of which a defendant should be apprised in order to make a knowing and intelligent decision.1 To implement the inquiry where the validity of the waiver was in question we placed upon the trial judge the responsibility of ascertaining from the defendant prior to the acceptance of the proffered waiver whether he or she fully understood the significance of the waiver. Pa.R.Crim.P. 1101; Commonwealth v. Smith, 498 Pa. 661, 450 A.2d 973 (1982); cf. Commonwealth v. Schultz, 505 Pa. 188, 194-195, 477 A.2d 1328, 1331 (1984) (Nix, C.J., concurring); Commonwealth v. Ingram, 455 Pa. 198, 316 A.2d 77 (1974). To facilitate the review of a subsequent challenge to such a waiver we additionally required by rule that the judge’s inquiry as to the knowing and intelligent waiver should be made part of the record.2
The direction that the waiver of trial by jury by the defendant must be a knowing one is constitutionally mandated and this Court must abide by that directive. Commonwealth v. Hooks, supra; Commonwealth v. Williams, supra; Commonwealth v. Stokes, supra. It was within the supervisory power of this Court to elect between a “totality of the circumstances” approach, which previously had been used in this jurisdiction, and an .inquiry confined to the record in determining whether the waiver was knowingly and intelligently offered. In my judgment the decision to *453abandon the “totality of the circumstances” approach served judicial economy and enhanced the fact finding process.3 The recent clamor for a reversion to the former rule is misguided in that it provides no benefit to compensate for the loss it would occasion.
The rationalization offered to justify reverting back to former practice is that Rule 1101 might cause the award of a new trial in some few cases where the Commonwealth could produce evidence not on record to establish the defendant’s knowledge at the time of the entry of the waiver.4 This reason ignores that compliance with the rule completely eliminated the problem. The dictate of Rule 1101 is in no way onerous and the failure of a jurist to fulfill this responsibility is without justification. To abandon this salutary rule because a jurist may on an occasion through oversight fail to fulfill this obligation defies reason.
The urging of the utilization of the “totality of the circumstances” approach in recent years has been in cases where there was a claim of the inadequacy of the colloquy. Commonwealth v. Schultz, supra; Commonwealth v. Anthony, 504 Pa. 551, 475 A.2d 1303 (1984); Commonwealth v. Martinez, 499 Pa. 417, 453 A.2d 940 (1982); Commonwealth v. Gardner, 499 Pa. 263, 452 A.2d 1346 (1982); Commonwealth v. Smith, supra; Commonwealth v. Shaffer, 498 Pa. 342, 446 A.2d 591 (1982). Here the problem is the total absence of a colloquy. Moreover, in many of those *454cases where the inadequacy of the colloquy was charged other portions of the trial record demonstrated the defendant’s knowledge of the alleged missing ingredient. Commonwealth v. Schultz, supra; Commonwealth v. Martinez, supra; Commonwealth v. Smith, supra; Commonwealth v. Shaffer, supra. Thus, although there was not a literal compliance with Rule 1101 since the information was not contained in the colloquy itself, we were nevertheless not required to go beyond the record of that trial to find the alleged missing ingredient. I have no quibble when the information appears in the record although not in the colloquy itself. Commonwealth v. Schultz, supra, 505 Pa. at 194-195, 477 A.2d at 1332 (Nix, C.J., concurring). I do have serious objections in cases such as the one presently before the Court where there is no colloquy and the entire area of inquiry must be satisfied from facts dehors the record.
I understand the fear of some of my colleagues that a strict compliance with an on-the-record colloquy approach may result in a few “technical” reversals. However, if our rules relating to the preservation of issues are properly applied that fear is without basis. This case provides a perfect illustration of that point.
Our rules require a prompt objection or the issue is waived. See, e.g., Commonwealth v. Butts, 495 Pa. 528, 434 A.2d 1216 (1981); Commonwealth v. Preston, 488 Pa. 311, 412 A.2d 524 (1980); Commonwealth v. Ford, 472 Pa. 542, 372 A.2d 821 (1977); Commonwealth v. Gilman, 470 Pa. 179, 368 A.2d 253 (1977); Commonwealth v. Sweeney, 464 Pa. 425, 347 A.2d 286 (1975); Commonwealth v. Tervalon, 463 Pa. 581, 345 A.2d 671 (1975); Commonwealth v. Clair, 458 Pa. 418, 326 A.2d 272 (1974). In this case the omission should have been noted at the time of the entry of the waiver. Once an issue is waived it cannot be considered absent a showing that the preclusion of the issue resulted from counsel’s ineffectiveness. Commonwealth v. Connolly, 478 Pa. 117, 385 A.2d 1342 (1978).
Here the basis offered, and accepted by the majority, for a finding of ineffectiveness was trial counsel’s failure to promptly object to the court’s non-compliance with Rule *4551101. Clearly this did not provide a proper basis for a finding of counsel’s incompetency. The seminal test of the effectiveness of counsel is whether the challenged conduct or omission was designed to serve the best interest of his client. Commonwealth v. D’Ambro, 500 Pa. 303, 456 A.2d 140 (1983); Commonwealth v. Upsher, 497 Pa. 621, 444 A.2d 90 (1982); Commonwealth v. Smallwood, 497 Pa. 476, 442 A.2d 222 (1982); Commonwealth v. Johnson, 496 Pa. 546, 437 A.2d 1175 (1981); Commonwealth v. Jones, 496 Pa. 448, 437 A.2d 958 (1981); Commonwealth v. Butler, 495 Pa. 82, 432 A.2d 590 (1981); Commonwealth v. Roman, 494 Pa. 440, 431 A.2d 936 (1981); Commonwealth v. Miller, 494 Pa. 229, 431 A.2d 233 (1981). It is ludicrous to argue that counsel was ineffective for failing to cure a defect in the record that might subsequently provide a basis for a retrial in the event of an adverse verdict or a disappointing sentence.5 See Commonwealth v. Preston, supra; Commonwealth v. Smith, 464 Pa. 314, 346 A.2d 757 (1975). Thus I would hold that appellee did not demonstrate ineffective assistance of counsel, that the issue of the jury waiver is waived, and that the order of the Superior Court should be reversed and the case remanded to that court to dispose of the remaining questions raised in the appeal thereto.

. In Commonwealth v. Williams we held that the essential ingredients of the right to trial by jury were: that the jury would be selected from members of the community, that the verdict rendered must be unanimous, and that the defendant would be allowed to participate in the selection of the members to serve on that body. Commonwealth v. Williams, 454 Pa. 368, 373, 312 A.2d 597, 600 (1973).

. Rule 1101 of the Pennsylvania Rules of Criminal Procedure provides in pertinent part:
The judge shall ascertain from the defendant whether this is a knowing and intelligent waiver, and such colloquy shall appear on the record.
Pa.R.Crim.P. 1101.

. Comparing the obligation imposed under Rule 1101 against the time consuming inquiry involved in a "totality of the circumstances" approach, there is little question as to the advisability, of the former from the judicial economy standpoint. Moreover, where the colloquy appears on the record and is clearly adequate the viability of the finding of an acceptable waiver is beyond challenge. Where the "totality of the circumstances" is employed the reliability of the ultimate finding is always subject to question.

. Rule 1101 does not expressly provide a sanction for non-compliance. However, our case law has recognized that allowance of an inquiry beyond the record would render the rule meaningless. See Commonwealth v. Smith, 498 Pa. 661, 450 A.2d 973 (1982); cf. Commonwealth v. Schultz, 505 Pa. 188, 194-195, 477 A.2d 1328, 1331 (1984) (Nix, C.J., concurring); Commonwealth v. Ingram, 455 Pa. 198, 316 A.2d 77 (1974).

. I concede that Commonwealth v. Morin, 477 Pa. 80, 383 A.2d 832 (1978), should be overruled. In that decision we erroneously assumed that trial counsel should have raised the question of the inadequacy of the colloquy in the post verdict motion. Id., 477 Pa. at 86, 383 A.2d at 834-35. That assumption ignores that a timely objection should have been noted at the time of the entry of the waiver colloquy.
A valid claim of ineffective trial counsel could have been established if it had been shown that the defendant was in fact unaware of his rights and that counsel did not advise him of those factors pertinent to his election to waiver trial by jury. If such a claim had been raised and proven then a retrial would clearly be justified and constitutionally mandated. Cf. Commonwealth v. Carson, 503 Pa. 369, 372, 469 A.2d 599, 600 (Nix, C.J., concurring).