Lead Opinion
OPINION
Thе Commonwealth appeals from the Superior Court’s order remanding the matter to the trial court so that Appellee Clayton Leroy Liston may file a post-sentence motion nunc pro tunc. We hold that the Superior Court erred in declaring that a defendant who has been granted the right to file a notice of appeal nunc pro tunc shall also automatically be granted the right to file post-sentence motions nunc pro tunc. We further hold that the Superior Court’s order impermissibly created a new exception to our decision in Commonwealth v. Grant,
Appellee was charged in 2005 by Fayette County authorities with two counts each of possession of a controlled substance
On August 19, 2005, Appellee received an aggregate sentence of eighteen to thirty-six months incarceration. Appellee did not file either post-sentence motions or a notice of appeal.
Appellee filed a direct appeal to the Superior Court. Appellee raised one sufficiency claim and four claims of ineffective assistance of counsel. On January 8, 2008, the en banc Superior Court issued a published opinion. Commonwealth v. Liston,
Instead of resting with a plain application of the rule in Grant, the Superior Court turned its attention to this Court’s decision in Commonwealth v. Bomar,
The Superior Court stated:
Therefore, in line with our decision today, henceforth, if the PCRA court determines that, in fact, appellate counsel was ineffective for failing to file a requested direct appeal and reinstates the petitioner’s direct appeal rights nunc pro tunc, the court shall also reinstate the petitioner’s right to file post-sentence motions or amended post-sentence motions nunc pro tunc. The petitioner can then raise whatever “other” claims of counsel ineffectiveness he/she wants to in post-sentence motions; the trial court can hold an evidentiary hearing, if warranted, perfect the record for review, and reach a final decision on the merits. In this way, the trial court’s decision results in an appealable ruling, and the trial court will not be compelled to issue a merely “advisory” opinion. The record will also be complete so that this court may review the appellant’s ineffectiveness claims on the ensuing direct appeal, consistent with [Commonwealth v. Bomar,573 Pa. 426 ,826 A.2d 831 (2003)]. This practice will preserve valuable judicial time and resources, and save the appellant from having to file another, duplicative PCRA petition raising the identical claims later in the process.
Liston,
The Commonwealth filed a timely Petition for Allowance of Appeal and on October 31, 2008, we granted review of three issues:
a. Did the Superior Court contradict Commonwealth v. Grant in purporting to create its own new exception to that case?
b. Did the Superior Court contradict Commonwealth v. Reaves by holding that any PCRA petitioner entitled to a nunc pro tunc direct appeal is automatically entitled to nunc pro tunc post sentence motions as well, without proving prejudice?
c. Did the Superior Court usurp this Court’s exclusive authority to create procedural rules under Article V, § 10(c) of the state constitution?
The issues in this case present questions of law, thus our standard of review is plenary and our scope of review is de novo. Commonwealth v. King,
The Commonwealth first asserts that, by mandating that permission to file post-sentence motions be conferred automatically whenever a defendant succeeds in having his right to appellate review reinstated, the Superior Court contravened our decision in Grant. The Commonwealth notes that in Grant this Court held the authority to make exceptions to its rule rests specifically in this Court. Grant,
The Commonwealth further complains that the Superi- or Court’s directive also conflicts with Commonwealth v.
Another unintended consequence of the Superior Court’s decision, according to the Commonwealth, arises in the situation where counsel fails to identify existing claims of ineffec
In addition, the Commonwealth challenges the Superior Court’s assertion that its holding will “preserve valuable judicial time and resources.” Liston,
Finally, the Commonwealth refers to the Pennsylvania Constitution, which provides, in relevant part, that this Court “shall have the power to prescribe general rules governing practice, procedure, and the conduct of all courts.” Pa. Const. Art. V, § 10. This power to establish rules of procedure rests exclusively in this Court. See Commonwealth v. Morris,
In response, Appellee asserts that the Superior Court’s decision should be affirmed “because it ... correct[s] a gap in the system and ... permit[s] counsel to pursue a prompt disposition of the claims of the [defendant].” Appellee’s Brief, 9. Appellee argues that under the Superior Court’s decision a defendant will be able to obtain review of any ineffectiveness claims without the unnecessary delay occasioned by the inability to raise those claims on direct appeal because there has been no hearing on them in the lower court.
After a careful review of the Superior Court’s opinion, the applicable law, and the briefs of the parties, we conclude that the Superior Court overstepрed its authority in
Accordingly, we believe the best course of action is to reaffirm our decision in Grant and reiterate that, as a general rule, claims of ineffective assistance of counsel will not be entertained on direct appeal. Moreover, we take this opportunity to disapprove of any decisions of the Superior Court that are to the contrary. For these reasons, we do not believe there is a need to create a “short sentence” exception to the general rule announced in Grant. Indeed, we fear doing so would undermine the very reasons that led to our decision in Grant in the first instance.
O’Berg,
As we did in O’Berg, we conclude that the Superior Court’s decision in this case is сapable of undermining the very purpose and policy underlying Grant. One of the reasons propounded by the Superior Court was to conserve precious judicial resources. Liston,
Having found merit in the first basis upon which the Commonwealth challenges the Superior Court’s decision, we need not address the Commonwealth’s remaining claims. It is the policy of this Court to avoid deciding a matter on constitutional grounds if the issue can be decided on other grounds. Commonwealth v. Long,
Accordingly, we vacate that part of the Superior Court’s order that remanded the matter so that Appellee could file post-sentence motions.
Superior Court’s order vacated in part; judgment of sentence affirmed.
Notes
. 35 P.S. § 780-113(a)(16).
. 35 P.S. § 780-113(a)(30).
. 18 Pa.C.S. § 903.
. The charges were consolidated for purposes of trial.
. Grant revised the rule established in Commonwealth v. Hubbard,
. In O’Berg, this Court reversed the decision of the Superior Court delineating a "short sentence" exception to Grant. O'Berg,
. In Reaves, this Court identified three situations in which a defendant was excused from having to prove prejudice in order to obtain relief on a claim of ineffective assistance of counsel. They were: "(1) when counsel fails to file a requested direct appeal; (2) when counsel neglects to file a requested petition for allowance of appeal with this Court; and (3) when сounsel fails to file a court-ordered Pa.R.A.P. 1925(b) Statement of Matters Complained of on Appeal and that failure results in the waiver of all direct appeal claims.” Reaves,
. In order to obtain relief on a claim alleging ineffective assistance of counsel, a litigant must prove that the claim underlying the claim of ineffectiveness has arguable merit, that counsel acted unreasonably, and that as a result of counsel's error, prejudice resulted. See Commonwealth v. Daniels,
. Our holding should not be construed as prohibiting a PCRA court from reinstating a defendant’s right to file post-sentence motions nunc pro tunc. If a defendant successfully pleads and proves that he was
. Appellee did not challenge the Superior Court's order rejecting his sufficiency claim.
Concurrence Opinion
concurring.
I join the Majority Opinion, with the exception of its characterization of the Superior Court’s error as “attemрting] to promulgate a new rule of criminal procedure” outside of the formal rule-making process. See Majority opinion at 17 & 19,
I write not only to explain my view of the nature of the Superior Court’s error but also to express my belief that the circumstances in this case provide a greater and additional reason for this Court to counsel the lower courts not to take affirmative steps to accommodate unitary review under the so-called Bomar exception to Grant. In my judgment, the mischief we are called upon to remedy is much more a result of the unintended consequences of Bomar than a result of the Superior Court losing sight of its institutional role and seeking to adopt perceived efficiencies which, unfortunately, failed to fully appreciate other, competing values. Contrary to the Superior Court’s conclusion, our intent in Bomar was never to
The Superior Court in this case, sitting en banc, undertook to craft an extension of this Court’s decision in Bomar, a capital direct appeal in which this Court passed upon claims of ineffective assistance of counsel which were fully litigated and decided in the court below solely because the trial court proceedings in Bomar were conducted at a time prior to this Court’s decision in Grant, i.e., when ineffectiveness claims were required to be raised immediately by new counsel, under pain of waiver pursuant to Commonwealth v. Hubbard, 472
In contrast, the Superior Court here took a post-Grant case that was not ripe for hybrid decision, affirmatively required creation of a hybrid record and issuance of a hybrid opinion, and adopted a rule that would require trial courts in future cases to indulge hybrid, unitary review. In so doing, the Superior Court failed to account for this Court’s post-Grant decisional law, failed to recognize the competing values at stake, and failed to appreciate that its stated goal of efficiency
In this case, appellee filed a PCRA petition seeking to have his direct appeal rights reinstated nunc pro tunc as well as raising various claims of trial counsel’s ineffectiveness. The PCRA court held an evidentiary hearing, at which evidence was taken regarding counsel’s failure to file a direct appeal as well as trial counsel’s conduct at trial.
Presented with this situation, the Superior Court raised the question of whether it should address the ineffectiveness claims as “the ineffectiveness claims [were] being raised on collateral review” consistent with Grant. Commonwealth v. Liston,
In this case, the Superior Court correctly concluded that it was facing untraveled territory — not quite Bomar nor Miller, since the PCRA court did not resolve the ineffectiveness claims — but not quite Grant, since the PCRA court held an evidentiary hearing on the claims of ineffectiveness. Thus, it turned to its own precedent for further guidance.
The Superior Court explained that in Commonwealth v. Miranda,
Returning to this case, the Liston en banc panel recognized that Miranda was decided at a time when Hubbard was in force, and further noted that the process for raising ineffectiveness claims had changed when Grant overruled Hubbard. The court, however, believed that the concerns underlying the decision in Miranda “with judicial economy and efficiency remain[ed] valid.” Liston,
I understand that in crafting the remedy, the Superior Court believed it was being faithful to our Botnar decision
Specifically, the Superior Court ignored the concerns that pre-PCRA hybrid review raises and that I most recently outlined in my concurring opinion in Commonwealth v. Rega, supra. Therein, I noted that allowing such claims to be forwarded on direct review leads to avoidable delay, abuse, arbitrariness, and complication. Generally, my concerns were that unitary review builds unnecessary delay into the direct review process, which also increases the potential for abuse, breeds illogical and unfair results by arbitrarily allowing one class of defendants a second round of collateral review, and fosters the requirement that defendants raise “layered” claims of ineffectiveness for purposes of collateral review. Id. at 1032-33.
Significantly, the Superior Court also did not have the benefit of this Court’s recent decision in Commonwealth v. Wright, supra, a case arising under the pre-Grant framework. In Wright, this Court confronted the question of whether the ineffectiveness claims were cognizable on direct appeal and, in my view, correctly concluded that the Bomar exception applied and allowed review of claims of ineffectiveness to be forwarded on direct appeal as the case arose before this Court’s mandatory directive in Grant. A majority
For these reasons, like the Majority, I agree that the Superior Court’s remedy is in error. I also agreе with the Majority’s observation that the mandatory procedure set forth by the Superior Court in this case is neither commanded nor authorized by this Court’s decision in Grant, and indeed, undermines that decision.
I would go farther than the Majority, however, and consistently with Wright, I would explicitly limit Bomar to Hubbard-era cases, and make clear that there is no “Bomar exception” to Grant. The Superior Court’s opinion in this case, which applies Bomar to a new set of facts and, thus, extends its reach, exemplifies an unintended and unauthorized consequence arising from Bomar’s continued application in the post-Grawi setting and fails to take into account this Court’s shift away from Hubbard-era unitary review and the concerns previously discussed. I have also recognized that unitary review may be appropriate under limited circumstances in order to provide the immediate vindication of a clear claim and noted that there is no such current system in place allowing for such a procedure. Rega,
The issue in this case directly implicates the proper effect Bomar can be said to have on direct appeals and the post-verdict motions practice facilitating those appeals. In addition, the effect of authorizing trial courts to “apply” Bomar and permit unitary, hybrid review in these cases is readily apparent and inescapable. There is no reason, consistent with the PCRA, to authorize trial courts to arbitrarily permit an extra round of collateral attack for some but not all defendants; no rational, fair rule of limitation has been offered to warrant placing our imprimatur upon this unauthorized extension of Bomar; and this Court has the exclusive power to
. Post Conviction Relief Act, 42 Pa.C.S. §§ 9541-9546.
. The Fayette County District Attorney's office failed to file a Brief before the en banc panel of the Superior Court. We have previously noted that a decision not to file a brief in a matter involving an important legal question does a disservice to the courts of this Commonwealth. See Commonwealth v. Vandivner,
. In his Concurring Opinion, Mr. Justice Baer characterizes this position as requiring a "forfeiture” of PCRA review and, later, claims that it operates as a "per se” forfeiture. Concurring opinion at 30-33,
. In Hubbard, this Court directed new counsel to raise claims of prior counsel ineffectiveness at the first opportunity after new counsel was appointed, including direct review.
. I note that Chief Justice Cappy, who also wrote separately in Rega, indicated that he shared the concern outlined in my Concurrence.
. Justice Baer notes that "the Bomar decision itself ... set forth no forfeiture [sic] requirement.” Concurring opinion at 31,
. As I explain below, the trial court was obliged to develop a record on the claims of trial counsel ineffectiveness under Superior Court precedent pre-dating Grant. See Commonwealth v. Miranda,
. Indeed, in extending the grant of relief to include the nunc pro tunc filing of post-sentence motions, the Superior Court stated as much when it said, "[t]he record will also be complete so that this court may review the appellant's ineffectiveness claims on the ensuing direct appeal, consistent with Bomar." Liston,
. Justice Baer states that he is "not advocating that each PCRA petitioner be afforded two rounds of collateral review,” but only supports
. Although Wright was a 3-1 decision because three of the Justices hearing oral argument were no longer on the bench at the time the opinion was filed, this Court has been clear that the standard for determining whether an opinion has binding effect is whether a majority of the participating Justices joined in the opinion. Commonwealth v. Mason,
. Justice Baer suggests that the observation in Wright was dicta because that case involved a direct appeal from the imposition of a sentence of death. Concurring opinion at 3. But Bomar itself, and all of the other capital cases applying the so-called Bomar exception, likewise were direct capital appeals.
. In fact, as a further example of the necessity that this Court act promptly, the Superior Court recently invoked Bomar and Liston to create yet another exception to Grant in cases where the defendant is found in contempt of a PFA order, citing the Liston policy of “judicial economy.” See Commonwealth v. Moore,
. In light of the expressions by a majority of the Court in Wright, and a majority of the Court in this case, I would refer this matter to the Criminal Procedural Rules Committee with directions to consider and recommend measures to account for the identified concerns with whether, and under what circumstances, hybrid, unitary review should be permitted on post-verdict motions. I have been authorized to state that Madame Justice Greenspan agrees that the matter should be referred to the Criminal Procedural Rules Committee.
Concurrence Opinion
concurring.
I join the Majority Opinion to the extent it holds that the Superior Court erred in mandating that trial courts grant the filing оf post-sentence motions nunc pro tune in each case in which a defendant’s direct appeal rights are reinstated. As the Majority recognizes, this holding improperly affords an enumerated class of defendants i.e., those who have had their direct appeal rights reinstated, the opportunity to raise claims of trial counsel ineffectiveness on direct appeal in contravention of our decision in Commonwealth v. Grant,
As to my first point, a fair review of the Superior Court’s opinion reveals that the court was not promulgating a new rule of criminal procedure, but rather was evaluating a previous decision of that court, which addressed the issue of a trial
Secondly, I note my respectful disagreement with the view taken in Chief Justice Castille’s Concurring Opinion, wherein he asserts that this Court should no longer recognize a “Bomar exception to the rule of Grant,” permitting defendants to raise collateral claims on direct appeal, unless the defendant expressly forfeits his right to PCRA review via the execution of a knowing and voluntary waiver of collateral review. Concurring Opinion at 21-22,
I acknowledge that in footnote 22 of our recent decision in Commonwealth v. Wright,
Prolix collateral claims should not be reviewed on post-verdict motions unless the defendant waives his right to PCRA review, because the PCRA does not afford the right to two collateral attacks.
Id. at 148 n. 22. This statement, however, amounts to nothing more than dicta because Wright was a direct appeal from the imposition of a sentence of death. Thus, the parties had no reason to raise or brief the issue of what review a PCRA petitioner is entitled under circumstances where a trial court,
As I recognized in my Concurring Opinion in Wright:
I agree with the observation that “post-verdict motions should not become an accepted repository for laundry lists of collateral-appropriate complaints....” Maj. Op. at 320,961 A.2d at 148 , (quoting Commonwealth v. Rega,593 Pa. 659 ,933 A.2d 997 , 1032-33 (Pa.2007) (Castille, J., concurring, joined by Saylor, J. concurring)). Nevertheless, this Court has previously provided an exception to the holding in Commonwealth v. Grant,572 Pa. 48 ,813 A.2d 726 (Pa.2002), delaying claims of counsel ineffectiveness until PCRA review, and allowed review of claims of ineffectiveness on direct appeal that were raised and addressed by the trial court on post-verdict motions, see, Commonwealth v. Bomar,573 Pa. 426 ,826 A.2d 831 (Pa.2003). The Court, however, has never held that such process would result in waiver of subsequent full PCRA review. To the extent that footnote 22 attempts to change our jurisprudence in dicta supported only by cites to two concurring opinions, I respectfully disagree. I believe our established case law permits the review of claims under the Bomar exception without affecting a defendant’s right to seek PCRA relief. Of course, in accordance with well-established judicial principles, claims that have been previously litigated at the time the PCRA is filed are barred. 42 Pa.C.S. § 9543(a)(3).
To be clear, I am not advocating that each PCRA petitioner be afforded two rounds of collateral reviеw. In the vast majority of cases, our decision in Grant clarifies that claims of ineffective assistance of counsel are to be deferred until collateral review proceedings. The Bomar exception is only satisfied where the ineffectiveness claims were presented to the trial court, which, in its sound discretion, chose to address them on direct appeal; the trial court held an evidentiary hearing thereon; and the trial court ultimately ruled on the merits of the ineffectiveness claims in its opinion. Only in a case where all of this occurs, and a petitioner subsequently
Acсordingly, I respectfully caution against ruling upon this issue until it is raised, briefed, and argued by the parties in the appropriate case. See Commonwealth v. Dickson,
