Lead Opinion
OPINION OF THE COURT
Frank Bartolomucci was brought to trial on November 15, 1973 for the unlawful delivery of methaqualone tablets in violation of the Controlled Substance, Drug, Devise and Cosmetic Act, Act of April 14, 1972, P.L. 233, No. 64, § 13(a) (30), 35 P.S. § 780-113(a) (30) (Supp. 1975-76), as amended, October 26, 1972, P.L. 1048, No. 263, § l.
At 10:10 p. m., the trial judge, the district attorney, defense counsel and the tipstaff for the court attended a conference in chambers during which the following occurrences were noted of record: At 8:45 p. m., the fore
During the same conference, the trial judge sought both the district attorney’s and defense counsel’s position with regard to discharging the jury. Defense counsel stated he and Bartolomucci had anticipated the question and would not agree to the discharge. The trial judge then offered to repeat his instructions to the jury but defense counsel indicated he was not yet concerned with doing so.
At 10:46 p. m., another conference was held in chambers during which the tipstaff informed the trial judge, the district attorney, and defense counsel that the foreman had informed him the jury was hopelessly deadlocked and asked the tipstaff to so inform the court. The trial judge again sought the district attorney's and defense counsel’s position with regard to discharging the jury. The district attorney indicated he thought discharge was appropriate. Defense counsel requested additional instructions, specifically, instructions relating to the responsibilities of jurors to each other and to themselves. The trial judge stated that such instructions had already been given in accordance with the American Bar Association’s recommended Standards Relating to Trial by Jury, § 5.4 and that he had a serious question as to the effect of merely repeating such instructions. The trial judge thereupon recalled the jury to the courtroom at 10:55 p. m. and, without any further questions or inquiry, declared a mistrial and discharged the jury.
The Superior Court ruled the discharge of the jury at the first trial was improper because the trial judge failed to communicate directly with the jury before declaring the mistrial. The Commonwealth urges this was error because Bartolomucci did not advance this particular issue in the Superior Court and that court raised it sua sponte. We find this position to have no basis in fact since Bartolomucci’s brief in the Superior
The Commonwealth also claims Bartolomucci has waived any claim of double jeopardy because under Commonwealth v. Clair,
Commonwealth v. Clair, supra, requires specific objection to rulings and conduct of the trial judge, Commonwealth v. Carr,
As stated by the Supreme Court of the United States in United States v. Dinitz,
“Since Justice Story’s 1824 opinion ... in United States v. Perez,9 Wheat. 579 , 580,6 L.Ed. 165 , this Court has held that the question whether under the Double Jeopardy Clause there can be a new trial after a mistrial has been declared without the defendant’s request or consent depends on whether ‘there is a manifest necessity for the [mistrial], or the ends of public justice would otherwise be defeated.’ ” [Emphasis added.]
Thus the substantive law of double jeopardy requires either a request or consent by a defendant to the mistrial in order to avoid the requirement that the mistrial be manifestly necessary. A mere failure to state the reason for an objection or to make a correct specific objection cannot be viewed as a request for or consent to the mistrial. Commonwealth v. Baker,
Our determination is supported by other considerations. “[T]he Perez doctrine of manifest necessity stands as a command to trial judges not to” declare a mistrial absent manifest necessity. United States v. Jorn,
“ . . . mere silence by [a] defendant or his counsel to the proposed discharge of the jury by the trial Judge will not amount to a waiver of this very important constitutional right of every person . . .
A fortiori, the lack of a correct specific objection should not be viewed as consent or a request, nor should it be considered as the functional equivalent of these, that is, a waiver. Cf. United States v. Dinitz, supra; Commonwealth v. Wideman,
Since we have concluded the lack of objection, or the lack of a correct specific objection instantly, does not constitute a waiver of a claim that the mistrial was not manifestly necessary, it is necessary to consider whether the sua sponte declaration of a mistrial was manifestly necessary. United States v. Perez, supra; Commonwealth ex rel. Walton v. Aytch,
In examining the circumstances to determine if doubt exists, the courts have focused on certain significant factors. United States v. See,
The doubt stems from the trial court’s failure to inquire directly of the jury, either individually or through the foreman, about the possibility of the deadlock being overcome by further deliberations. Such an inquiry would have served to remove any doubt, and thus, would have provided greater certainty as to the existence of a deadlock and the hopelessness of breaking it. If an individual inquiry were made, the trial court would have then had the opinion of each juror as to the existence and hopelessness of the deadlock. United States ex rel. Webb v. Court of Common Pleas,
It is so ordered.
Notes
. The charge resulted from a single sale of fifteen methaqualone pills for the sum of $15.00.
. Bartolomucci asserts that this Court is without jurisdiction because it entered an order denying the petition of the Commonwealth on June 19, 1975 and then, without the Commonwealth petitioning for a reconsideration of that denial order, entered an order on July 23, 1975 vacating the denial order of June 19, 1975 and granting the Commonwealth’s petition. The order of June 19, 1975 was mistakenly entered by this Court due to a breakdown in communications. Under such circumstances, Bartolomucci’s position is without merit. It is fundamental that a court has the inherent power to correct such mistakes. Commonwealth v. Cole,
. Bartolomucci’s brief in the Superior Court states:
“There was certainly no manifest necessity and the realistic justification can certainly not be found in a simple declaration of the Foreman to the tipstaff that they were ‘hopelessly deadlocked’ without the court making a determination of this statement.” [Emphasis added.]
. Bartolomucci’s brief in the Court of Common Pleas makes precisely the same statement quoted in n. 3, supra, and additionally it states:
“Here we think the court discharged the jury without making any inquiry concerning their position . . .” [Emphasis added.]
. We note that preferable practice demands that the trial court first caution the jury that only a yes or no response is desired and then ask each juror if he or she agrees that a hopeless deadlock which could not be resolved by further deliberations exists. In accord, State v. Nelson, supra; Paulson v. Superior Court of El Dorado County, supra. And see, United States ex rel. Webb v. Court of Common Pleas, supra; United States v. See, supra. But in doing so, we express no view on whether a direct inquiry solely of the foreman in the presence of the rest of the jurors would
Dissenting Opinion
(dissenting).
I am unable to agree with the result reached by the majority and am disturbed by its reasoning in two respects. Therefore, I must dissent.
Moreover, I cannot see any reason to make an exception to our waiver doctrine. The reasons which supported our decision to adopt it as articulated in Clair are sound and as we noted there, a defendant’s recourse is an ineffective assistance of counsel claim, “[0]ur standard for effective assistance of counsel is a meaningful test and not simply a fictional standard which does no more than allow appellate courts the opportunity to select those alleged errors they may wish to review.” Commonwealth v. Clair, supra,
Second, I believe the majority’s waiver analysis is faulty. According to the Agreed Statement of Facts submitted to us pursuant to Supreme Court Rule 45, the following transpired at appellant’s first trial:
“THE COURT: Mr. Rodgers, what is your position concerning the question of whether or not they should be discharged?
*352 MR. RODGERS [Defense Counsel]: I would request that they be called in for instructions.
THE COURT: What instructions would you propose that we give them?
MR. RODGERS: Well, I think that they should be given a review of their responsibilities to consider each other’s positions, the right to each of them to retain their won [sic] position if they cannot consciously change it .
THE COURT: Well, what you’re suggesting is that which we have done before in the Charge.” (Emphasis added).
It is therefore clear that when questioned by the court, defense counsel specifically set forth his reasons for not agreeing to the decision to discharge the jury. Under these circumstances it is obviously not a question of waiver since we no longer require the former practice of requesting an exception when the court rules adversely to the party's position. Commonwealth v. Williams,
Thus, the only issue before us is the propriety of the court’s ruling in view of the objection raised by Mr. Rodgers on behalf of appellant. Viewing the ruling in this context, I do not believe that the court erred. First, the Allen charge, which was in effect that which was being requested has been condemned both by this Court, Commonwealth v. Spencer,
I would therefore affirm the judgment of sentence.
. The majority states, “To apply the rule of Clair to this situation is to invite a serious conflict with the substantive law of double jeopardy,” and “ . . . the sua sponte declaration of a mistrial must be manifestly necessary regardless of Commonwealth v. Clair, supra.”
Dissenting Opinion
(dissenting).
In Commonwealth v. Clair,
The majority concludes that the rule of Clair may not be applied because its application would “invite a serious conflict with the substantive law of double jeopardy.” Opinion of the Court ante at 346,
. See Commonwealth v. Clair,
. See, e. g., In re Mortorano,
. Before deciding to discharge the jury, the judge engaged in the following in-chambers colloquy with defense counsel:
“THE COURT: Mr. Rodgers, [defense counsel] what is your position concerning the question of whether or not they should be discharged?
“MR. RODGERS: I would request that they be called in for instructions.
“THE COURT: What instructions would you propose that we give them?
“MR. RODGERS: Well, I think that they should be given a review of their responsibilities to consider each other’s positions, the right to each of them to retain their won [sic] position if they cannot consciously change it .
“THE COURT: Well, What you’re suggesting is that which we have done before in the Charge. . . . I’m of the opin-
ion that nothing concrete or constructive can be accomplished by keeping this jury out any further, nor do I believe that merely repeating to them what we told them initially in the Charge is going to change their position. As we know, the Allen Charge or so-called dynamite charge has been specifically frowned upon, and trial Courts have been specifically instructed in Pennsylvania both by the Third Circuit and by the Supreme Court of Pennsylvania, it can no longer be used even though the United States Supreme Court itself has never had occasion to reverse the Allen Charge; that takes the Allen Charge away from the trial courts, and without the Allen Charge or modification of it, I have serious question as to the effect of merely repeating to the jury what they have already been told, and so we aré going to elect to declare a mistrial and call the jury in arid inform them that there is a mistrial.
“After the second conference in chambers, Trial Judge Acker went into the courtroom and discharged the jury at 10:55 p. m.
“The appellee and his attorney, although in court at the time, did not request that the jury be polled as to its inability to reach a verdict.” See Agreed Statement of parties filed pursuant to Rule 45 of the Rules of the Supreme Court of Pennsylvania at pp. 8a-lla.
It is clear that defense counsel never objected to the discharge Of the jury on the theory that it had not first been polled. Moreover, even if it be assumed that the above-quoted exchange sufficiently states an objection to the judge’s contemplated discharge of the jury without allowing further deliberation on a requested supplemental charge, such an objection would not suffice to preserve the “failure to poll” theory which was not timely asserted when the jury was actually discharged. See Commonwealth v. Mitchell,
. Because, in my view, the claim is not properly before us, I intimate no opinion on the merits of appellant’s contention.
. See cases cited note 2 supra. A recent United States Supreme Court decision suggests that this tension does not pose constitutional problems. See Estelle v. Williams,
. The Majority states in the course of its analysis that “[t]he Supreme Court of the United States, albeit in a more limited context, has stated that waiver concepts have little relevance in the context of double jeopardy. United States v. Dinitz, supra at 609,
Concurrence Opinion
(concurring).
I join in the majority opinion by Mr. Justice Eagen. I should like to add that the issue of double jeopardy is similar to an issue of subject matter jurisdiction. It may be raised at any time, even initially on appeal. Constitutionally, no court has jurisdiction to try or sentence a person twice, in violation of the Federal and Pennsylvania Constitutions. See Commonwealth v. Walker,
