Lead Opinion
OPINION
We granted review in this matter to consider whether a criminal defendant’s waiver of a jury trial can be rendered invalid when he is informed at a jury waiver colloquy of a range of sentences he could face if convicted which is shorter than the sentence he eventually receives. The Superior Court answered this question in the affirmative because the trial court informed the defendant, Randy James Houck (Appellee), of a range of sentences that was less than the sentence he received following his conviction. While we ultimately conclude that the validity of a defendant’s jury waiver can be compromised in certain contexts where a defendant is informed of a range of sentences that is shorter than the sentence later imposed, we also hold that, to be entitled to a remedy, a defendant must establish that he relied on the recitation of his sentence in making his decision to waive a jury trial. Because Appellee failed to demonstrate reliance in
The facts of this case are relatively straightforward. On the night of October 24, 2001, a young woman (Victim) was walking from a bus stop to her parents’ home in McCandless Township when a man grabbed her by the neck and told her, “Don’t scream or I will kill you.” Due to the assailant’s tight grip, Victim was unable to breathe and lapsed into unconsciousness. Tr. Ct. Op. at 3. When Victim awoke later that night, she discovered that her pants and underwear were pulled down. In a state of panic, Victim immediately ran to a nearby house (the neighbors) and banged on the front door to request assistance. An ambulance was then summoned, which transported Victim to a nearby hospital.
While Victim was at the hospital, police were called to investigate the incident. At the crime scene, police discovered various personal items belonging to Victim strewn on the ground, as well as a used condom and a bottle of baby oil lying in the grass nearby. The police collected this evidence and submitted it to a crime lab for genetic testing. According to the record, Appellee was eventually identified as a suspect when a forensic science technician at the crime lab matched the sperm contained in the condom with Appellee’s DNA profile, which was found in the Combined DNA Indexing System (CODIS) database.
Prior to trial, Appellee claims that a proposal was made that he be tried without a jury. Appellee’s Brief at 2; N.T. 2/17/04 at 9. Although the terms of this alleged proposal are not disclosed in the record or in his brief, it is undisputed that Appellee eventually agreed to waive his right to a jury trial and signed a written colloquy to that effect.
The trial court ultimately accepted Appellee’s waiver and the case proceeded to a non-jury trial. During the ensuing proceedings, the Commonwealth presented the testimony of several witnesses, including Victim, the neighbors from whom
Appellee was found guilty of the aforementioned crimes and, shortly thereafter, he was designated a Sexually Violent Predator (SVP) pursuant to Pennsylvania’s Registration of Sexual Offenders Act (Megan’s Law II), 42 Pa.C.S. § 9791 et seq. Prior to sentencing, the Commonwealth filed a notice of intent to pursue the mandatory sentence enhancements provided under the recidivist statute, 42 Pa.C.S. § 9714.
Appellee appealed to the Superior Court,
A three-judge panel of the Superior Court vacated Appellee’s judgment of sentence and remanded for resentencing in an unpublished memorandum decision. Before addressing Appellee’s jury waiver claim, however, the court initially observed that the trial court’s written sentencing order erroneously reflected a 1 to 2 year sentence of imprisonment for attempted rape instead of 30 to 60 months for indecent assault, which was the sentence recited by the judge at sentencing. In light of this discrepancy, the Superior Court instructed the trial court to correct the written order on remand.
The Superior Court then addressed Appellee’s claim that his jury waiver was involuntary. In this regard, the court noted
In Golinsky,
In its opinion, the Superior Court in Golinsky recognized that the voluntariness of a jury waiver can be vitiated if a defendant demonstrates that he relied on a sentencing misrepresentation when he made his decision to waive a jury trial. Golinsky,
With Golinsky in mind, the Superior Court in this case acknowledged that the trial court specifically pointed out that Appellee could be subject to the maximum potential sentences listed in 18 Pa.C.S. §§ 1103-04. The Superior Court also
On February 21, 2007, the Commonwealth filed a petition for allowance of appeal seeking to challenge the Superior Court’s conclusion that Appellee was entitled to resentencing on his jury waiver claim. In response, Appellee filed a cross-petition raising other claims not pertinent to the instant matter.
In its brief, the Commonwealth contends that the Superior Court’s decision improperly expands the information that a trial court must communicate to a defendant at the time of his jury waiver. According to the Commonwealth, there are only three essential “ingredients” that a defendant needs to know to understand the nature of a juiy trial and the
Alternatively, the Commonwealth argues that, even if this Court recognizes the rule set forth in Golinsky that the voluntariness of a jury waiver can be vitiated due to a sentencing misrepresentation, the Superior Court failed to evaluate whether Appellee relied on the potential range of sentences recited by the trial court when he made his decision to waive a jury trial. The Commonwealth claims that the Superior Court simply presumed Appellee’s reliance, which was improper. In addition, the Commonwealth opines that it would be nearly impossible for Appellee to demonstrate credibly that he would have 'waived his right to a jury trial when faced with a sentence of 34/6 to 69 years, but would opt for a jury trial when faced with a slightly longer sentence of 37/6 to 75 years.
In response, Appellee admits that a trial court is not required to inform defendants of the potential sentence they could face if convicted. However, Appellee asserts that, where, as here, the trial court goes beyond the three essential ingredients of a jury trial, see O’Donnell,
Appellee also takes issue with the Commonwealth’s contention that he was required to demonstrate reliance. Without citing to any authority, Appellee argues that there should be a presumption that criminal defendants listen to judges at colloquies and make decisions based on the judge’s statements. In Appellee’s view, to hold otherwise would be a tacit acknowledgement that a court’s admonitions during colloquies are meaningless.
Preliminarily, we note that criminal defendants have a constitutionally guaranteed right to a trial by jury. U.S. Const, amend. VI. In all cases, a defendant may waive a jury trial with approval by a judge of the court in which the case is pending. Pa.R.Crim.P. 620. To be valid, it is well settled that a jury waiver must be knowing and voluntary, and the accused must be aware of the essential ingredients inherent to a jury trial. See Commonwealth v. Mallory,
With these principles in mind, we observe that, in Commonwealth v. Boyd,
In light of Boyd, it is clear that a defendant does not need to know his possible sentence to execute a voluntary jury trial waiver. Nevertheless, the Superior Court has developed a line of cases recognizing that the voluntariness of a jury waiver could be vitiated where reliance on a sentencing misrepresentation is demonstrated. Golinsky,
In Carey,
In light of Golinsky, Byng, and Carey, and after careful consideration of the parties’ respective arguments, we are persuaded that the voluntariness of a jury waiver can be undermined where the defendant is informed of a range of potential sentences at a jury waiver colloquy that is less than the sentence eventually imposed. However, we agree with the Commonwealth that if a defendant seeks to invalidate an otherwise valid jury waiver based on a trial court’s recitation of his or her potential sentence, the defendant should be required to demonstrate that his or her understanding of the length of the potential sentence was a material factor in
Appellee suggests that we should presume reliance on the part of a defendant. However, it is the defendant’s burden, and not the Commonwealth’s, to establish that a jury waiver is invalid. See e.g. O’Donnell,
In the instant matter, the trial court specifically found that Appellee was not entitled to relief on his jury waiver claim because the record did not demonstrate reliance on the recitation of his sentence. Tr. Ct. Op. at 5. Based on our review of
We also reiterate that Appellee signed and executed a written jury waiver colloquy, which Appellee’s counsel admitted did not include the length of Appellee’s potential sentence. N.T. 2/17/04 at 8-9. Arguably, Appellee would not have agreed to waive his jury rights by signing the written colloquy had he genuinely been concerned about his potential sentence. Moreover, in Mallory,
For the reasons outlined above, we conclude that Appellee failed to demonstrate that he relied on the range of sentences recited at the oral jury waiver colloquy when he waived his right to a jury trial. Accordingly, we reverse the order of the Superior Court vacating the judgment of sentence to the extent the order was based on Appellee’s jury waiver claim,
Notes
. As detailed later in this opinion, the Superior Court vacated the judgment of sentence and remanded for resentencing to correct an error in the written sentencing order, which imposed the wrong sentence for the wrong crime. Super. Ct. Op. at 7-8. Our decision today does not affect this ruling.
. Affidavit of Probable Cause, 7/29/02 at 3. The CODIS is a computer software program that operates local, state, and national databases of DNA profiles of convicted offenders. President’s DNA Initiative, available at http://www.dna.gov/uses/solv ing-crimes/cold_cases/howdatabasesaid/codis/ (last viewed April 21, 2008).
. 18 Pa.C.S. § 3121 (rape); 18 Pa.C.S. § 901(a) (attempt); 18 Pa.C.S. § 2702(a)(1) (aggravated assault); 18 Pa.C.S. § 2706 (terroristic threats); and 18 Pa.C.S. § 3126 (indecent assault).
. As discussed later in this opinion, Appellee's counsel admitted that the written jury waiver colloquy did not include the length of Appellee's potential sentence. Arguably, this undermines the credibility of Appellee's argument, discussed below, that he was induced into waiving his jury rights based on a misrepresentation as to sentencing.
. Specifically, the trial court explained to Appellee that he had a right to jury trial, that the jury would be selected randomly from the community, that he would have the opportunity to participate in the jury selection, and that the jury's verdict must be unanimous. N.T. 2/17/04 at 6.
. 18 Pa.C.S. § 1103 states: "Except as provided in 42 Pa.C.S. § 9714 (relating to sentences for second and subsequent offenses), a person who has been convicted of a felony may be sentenced to imprisonment as follows:
(1) In the case of a felony of the first degree, for a term which shall be fixed by the court at not more than 20 years.
(2) In the case of a felony of the second degree, for a term which shall be fixed by the court at not more than ten years.
(3) In the case of a felony of the third degree, for a term which shall be fixed by the court at not more than seven years."
18 Pa.C.S. § 1104 states: "A person who has been convicted of a misdemeanor may be sentenced to imprisonment for a definite term which shall be fixed by the court and shall be not more than:
(1) Five years in the case of a misdemeanor of the first degree.
(2) Two years in the case of a misdemeanor of the second degree.
(3) One year in the case of a misdemeanor of the third degree."
. The trial court stated:
I have a criminal action at 200211794, where the District Attorney by information charges that on or about October 24 of 2001, in the County of Allegheny, you did commit the following criminal acts. Count one, rape. That is a felony one, punishable by 20 years maximum and a $25,000 maximum fine.
You are specifically charged with engaging in sexual intercourse with [the victim], who was unconscious or knew [sic] that [the victim] was unaware of sexual intercourse. At the second count you are charged with criminal attempt. That is a feloney [sic] of the first degree punishable by 20 years and a $25,000 maximum fine. Here you are being charged with attempt to commit the crime of rape.
Also at counts three and four of indecent assault, misdemeanor two. Both are two-year maximum jail sentences and a $5,000 maximum fine. You are charged with having indecent contact with [the victim]. Count five, aggravated assault. This is a felony of the first degree, punishable by 20 years and a $25,000 maximum fine. Specifically again charged with intentionally causing and knowingly and recklessly causing serious bodily injury to [the victim] under circumstances manifesting extreme indifference to the value of human life after grabbing her and choking her into unconsciousness.
Count six, terroristic threats. That is a misdemeanor punishable by five years and $10,000 maximum fine. It is alleged that you threatened to commit murder or homicide in order to terrorize the victim.
N.T., 2/17/04, at 4-5.
. Id. Our review of the written jury waiver included in the original record verifies that there is no mention of Appellee’s potential sentence contained therein.
. N.T. 7/7/04 at 27. The recidivist statute at 42 Pa.C.S. § 9714 provides:
(a) MANDATORY SENTENCE.—
(1) Any person who is convicted in any court of this Commonwealth of a crime of violence shall, if at the time of the commission of the current offense the person had previously been convicted of a crime of violence, be sentenced to a minimum sentence of at least ten years of total confinement....
(2) Where the person had at the time of the commission of the current offense previously been convicted of two or more such crimes of violence arising from separate criminal transactions, the person shall be sentenced to a minimum sentence of at least 25 years of total confinement, notwithstanding any other provision of this title or other statute to the contrary....
(A.l) MANDATORY MAXIMUM. — An offender sentenced to a mandatory minimum sentence under this section shall be sentenced to a maximum sentence equal to twice the mandatory minimum sentence, notwithstanding 18 Pa.C.S. § 1103 (relating to sentence of imprisonment for felony) or any other provision ... to the contrary.
. As discussed infra, die written sentencing order imposed a sentence for attempted rape, while at the sentencing hearing, the judge imposed a 30 to 60 month sentence for Appellant’s indecent assault convictions, with no further penalty for attempted rape.
. For the sake of completeness, we note that Appellee's direct appeal rights were reinstated nunc pro tunc on June 23, 2005. Tr. Ct. Order 6/23/05.
. Although we only granted review to address the validity of Appellee’s jury waiver, there were other claims raised by Appellee on appeal, including a challenge to Appellee’s SVP designation, various sufficiency of the evidence claims, and two merger claims. These challenges were rejected by the Superior Court on appeal.
. While the Superior Court may not have intended any pejorative implication from its application of the term ''misrepresentation” as set forth in Golinsky, we note with absoluteness that none should be inferred. When the trial judge as a matter of discretion and, in fact, courtesy informed Appellee of the maximum sentences for each crime set forth in the bill of information, he neither knew nor should have known of the applicability of the recidivist statute, 42 Pa.C.S. § 9714. Thus, the trial court misstatement leading to this case was understandably inadvertent.
. These claims included a challenge to Appellee's SVP designation, a challenge to the sufficiency of the evidence supporting certain convictions, and claims that some of his convictions and sentences should have merged.
. On a related note, Appellee also claims that imposing a sentence in excess of the range recited at the colloquy would violate the trial court's "promise" not to impose a greater sentence in exchange for Appellee's
. As noted, the Superior Court granted Appellee relief by remanding for resentencing within the range recited at the colloquy. However, because Appellee is claiming that his constitutional right to a jury trial was violated by the recitation of his sentence, he is essentially complaining that he was deprived of a jury trial. Thus, the question arises as to whether the appropriate remedy would be to remand for a jury trial as opposed to resentencing. Because we ultimately conclude that Appellee is not entitled to relief, we leave for another day what the proper remedy would be in these circumstances.
. We also note that the question presented in this case, regarding whether a representation as to sentencing can invalidate an otherwise valid jury waiver, is a question of law. Accordingly, our scope of review is plenary and our standard of review is de novo. Commonwealth v. Cousin,
. As noted earlier in this opinion, the Superior Court also remanded for resentencing based on the fact that the written sentencing order erroneously reflected a 1 to 2 year sentence of imprisonment for attempted rape instead of 30 to 60 months of imprisonment for indecent assault, which was the sentence recited by the court at the sentencing hearing. Our decision today does not disturb this ruling.
Concurrence Opinion
concurring.
I join the Court’s mandate, and I agree with much of the reasoning in the Majority Opinion. As the Majority notes, to be valid, a jury waiver need not say anything about sentencing; sentencing is not relevant to the right being waived in this matter. Therefore, in my judgment, a criminal defendant should not be permitted to extricate himself from an otherwise valid jury trial waiver premised upon a sentencing issue unless he can prove that his jury waiver was part of an explicit agreement for a sentencing concession. Otherwise, the defendant should be bound by his jury waiver. Hopes and after-the-fact inferences should be irrelevant. Thus, the rule I would adopt would be narrower, and less subjective, than the “reliance” rule announced by the Majority. Because no such promise or inducement was made to secure appellee’s jury waiver here, the Majority correctly reverses the Superior Court.
With respect to the reliance rule that the Majority would adopt, I would also emphasize that counsel’s role is not passive. At the early stage of proceedings when a jury waiver colloquy occurs, defense counsel is better informed than the trial judge as to which, if any, statutory sentence enhancements might ultimately apply in his client’s particular case. Counsel should not be encouraged to sit silently by and
