Anthony DUMAS, Appellant,
v.
The STATE of Florida, Appellee.
District Court of Appeal of Florida, Third District.
*248 Bennett H. Brummer, Public Defender and Howard K. Blumberg, Asst. Public Defender, for appellant.
Jim Smith, Atty. Gen. and Steven R. Jacob, and Jack Ludin, Asst. Attys. Gen., for appellee.
Before SCHWARTZ, C.J., and HENDRY, BARKDULL, HUBBART, NESBITT, BASKIN, DANIEL S. PEARSON, FERGUSON and JORGENSON, JJ.
FERGUSON, Judge.
The question presented for review is whether record evidence showing an information stamped "waived trial by jury with consent of state", above which is the signature of the defendant, is sufficient, on a direct appeal from a judgment of conviction, to support a finding of an effective waiver of that constitutional right. We hold that it may be sufficient, and is in this case.
The following exchange appears in the record on the date the case was called for trial:
PROSECUTOR: This [case of Anthony Dumas] was set for a bench trial at eight o'clock. We did not try the case.
I believe we are in the process of plea negotiations at this time, and we may pass it.
Marilynn [defense counsel], is that correct?
DEFENSE COUNSEL: That is correct.
THE COURT: All right.
(Thereupon, other matters were heard, after which the following proceedings were had:)
THE COURT: Anthony Dumas.
DEFENSE COUNSEL: We are ready for trial.
The entire record on the waiver question consists of that colloquy and the signed written waiver on the information. On these facts, the present case is virtually *249 indistinguishable from Viggiani v. State,
In Viggiani v. State, we held that a defendant did not effectively waive his right to trial by jury where the minimal requirements for a valid and effective waiver were not met, i.e., that the defendant's signature be executed in open court and incorporated either in the transcript of the proceedings or otherwise made part of the record. We recede from Viggiani.[1]
Where a record shows a waiver, although there is no further evidence that the waiver was executed in open court,[2] there is a presumption that in the regular course of the proceedings the defendant, through his attorney, learned of, and waived his constitutional right to jury trial. The presumption which springs from defendant's signature on the formal charging document[3] denoting waiver of jury trial, is, more precisely, that the defendant was advised by his attorney of his right to trial by jury, the consequences of relinquishing that right, and any advantages to be expected therefrom,[4] all of which makes for the knowing and intelligent waiver required by *250 Patton v. United States,
The effect of the presumption is merely procedural, shifting the burden to the accused to produce evidence that the record showing of waiver, and all that it connotes, is untrue. The most important consideration given for the creation of a presumption of law is probability, i.e., that "proof of fact B renders the inference of the existence of fact A so probable that it is sensible and time-saving to assume the truth of fact A until the adversary disproves it."[6]
Defendant contends here that trial by jury is a fundamental constitutional right, guaranteed an accused, which is forfeited only by a waiver which is voluntary and intelligent, citing Johnson v. Zerbst,
That Boykin v. Alabama concerned a plea of guilty instead of a waiver of trial by jury is a crucial distinction. An analogy of Boykin to a waiver of jury trial was rejected by the Ninth Circuit in United States v. Reyes-Meza de Polanco,
A comparison of Florida Rules of Criminal Procedure 3.260 (waiver of jury trial) with 3.170(j) (responsibility of court on plea of guilty) evidences the Florida Supreme Court's intent, consistent with Boykin v. Alabama, to establish more stringent requirements for a valid guilty plea than for a valid waiver of jury trial. Rule 3.170(j) requires that before a plea of guilty may be accepted, the judge shall determine, in open court and on the record, "that the circumstances surrounding the plea reflect a full understanding of the significance of the plea and its voluntariness, and that there is a factual basis for the plea of guilty." In contrast, Rule 3.260 requires only a valid written waiver of jury trial by the defendant, with the state's consent. It has never been a requirement in this state by statute, rule, or case law that the court inform the defendant of his right to a jury trial, or that the court interrogate the defendant as to the voluntariness of his waiver, or that there be a record examination of the defendant on his understanding of the waiver. See Sessums v. State,
In Henderson v. Morgan,
[I]t may be appropriate to presume that in most cases defense counsel routinely explain the nature of the offense in sufficient detail to give the accused notice of what he is being asked to admit.426 U.S. at 647 ,96 S.Ct. at 2258 .
In the more recent case of Marshall v. Lonberger, ___ U.S. ___,
Under Henderson, respondent must be presumed to have been informed, either by his lawyers or at one of the pre-sentencing proceedings, of the charges on which he was indicted. Given this knowledge *252 of the indictment and the fact that the indictment contained no other attempt charges, respondent could only have understood the judge's reference to "attempt on [victim], with a knife" as a reference to the indictment's charge of attempt to kill. ___ U.S. at ___,103 S.Ct. at 852-53 ,74 L.Ed.2d at 661 .
As noted by the minority in a dissent written by Justice Stevens, who also wrote for the Henderson court:
[T]his Court fails to explain its leap from notice of the charges to notice of which charges were included in the guilty plea. ___ U.S. at ___,103 S.Ct. at 857 ,74 L.Ed.2d at 666 .
Thus, Marshall v. Lonberger may be interpreted as a departure from Henderson v. Morgan, and perhaps from Boykin v. Alabama[7] as well.
The guilty plea cases have been examined here only to illustrate that appellant's argument from them by way of analogy is faulty. The Florida rules of procedure impose upon the court the duty to make a judicial inquiry for voluntariness at the time a guilty plea is offered, while these same rules clearly permit voluntariness to be presumed from the fact of a written waiver of jury trial which appears in the record. The waiver of a jury trial is a procedural matter which is governed by rules adopted by the supreme court. State v. Garcia,
Our determination on this direct appeal does not preclude defendant from seeking review of the waiver of jury trial by means of a motion for post-trial relief pursuant to Florida Rule of Criminal Procedure 3.850, whereby he may allege for the first time, as fundamental error,[8] that the waiver was not voluntarily and intelligently made. See United States v. Hunt,
While ABA Standards for Criminal Justice, Waiver of Trial by Jury 15-1.2(b) (2d Ed. 1980), cited by the dissent, unquestionably states the better practice, and courts are accordingly encouraged to make an inquiry of the defendant appear on the record, we think it unnecessary to adopt a prophylactic rule that the absence of a record inquiry as to waiver of jury trial, without more, requires reversing a conviction and ordering a new trial. This case particularly demonstrates why such a rule is impractical. Appellant did not attack the waiver in the trial court, there is nothing in the record which suggests that the waiver *253 was not voluntary or intelligent[9] and, more importantly, appellant has not even asserted by this appeal that the waiver was involuntary or unintelligent.
Affirmed.
SCHWARTZ, Chief Judge (dissenting).
Everyone agrees that a defendant's waiver of his fundamental right to trial by jury may be validly effected only when it is voluntarily and understandingly made with full knowledge of just what he is giving up. The dispute in this case does not therefore concern a substantive, but rather a vital and far-reaching procedural issue: whether a showing that a valid waiver has occurred should appear in the record of the cause itself as presented on direct appeal, or whether the defendant must negatively show in post-conviction proceedings that a non-jury trial was not properly agreed to. Judge Ferguson's scholarly and comprehensive opinion establishes that an affirmative demonstration of a proper waiver is not required either by the United States Constitution, at least as presently interpreted by a sharply-divided Supreme Court in Justice Rehnquist's opinion in Marshall v. Lonberger, ___ U.S. ___,
I
Treating the grander consideration first, it is a fundamental, undoubted proposition of law that every presumption is indulged against the existence of a waiver of a significant constitutional right. Johnson v. Zerbst,
It seems to me that the only real, if totally unspoken, ground upon which this yawning difference may be rationally explained is that the right to a jury trial is not significant enough to justify the contrary, favored treatment and that it occupies a lower rung on the ladder of constitutional values than other more important ones such as, for example, the right to counsel, as to which a record like this is indisputably insufficient. Carnley v. Cochran,
Where the record is silent, as it is in this case, of anything from which it can be *254 inferred defendant expressly and understandingly waived his right to trial by jury, we believe such deficiency is not merely error, as conceded by the state in this case, and can not be regarded as merely harmless error having no substantial effect either on the defendant's rights or the propriety of his conviction.
* * * * * *
The right to trial by jury like the right to be represented by counsel are of such vital importance that the absence of prejudice can not be assumed where the record fails to disclose their proper waiver. [e.s.]
Several federal constitutional rights are involved in a waiver that takes place when a plea of guilty is entered in a state criminal trial. First, is the privilege against compulsory self-incrimination guaranteed by the Fifth Amendment and applicable to the States by reason of the Fourteenth. Malloy v. Hogan,378 U.S. 1 ,84 S.Ct. 1489 ,12 L.Ed.2d 653 . Second, is the right to trial by jury. Duncan v. Louisiana,391 U.S. 145 ,88 S.Ct. 1444 ,20 L.Ed.2d 491 . Third, is the right to confront one's accusers. Pointer v. Texas,380 U.S. 400 ,85 S.Ct. 1065 ,13 L.Ed.2d 923 . We cannot presume a waiver of these three important federal rights from a silent record.
II
Turning to the more practical reason for my dissenting view, the effect of the majority's conclusion is to relegate to post-trial proceedings, conducted long-subsequent to the actual events, the determination of whether, in fact, before the waiver was signed
the defendant was advised by his attorney of his right to trial by jury, the consequences of relinquishing that right, and any advantages to be expected therefrom, all of which makes for the knowing and intelligent waiver required by Patton v. United States,281 U.S. 276 ,50 S.Ct. 253 ,74 L.Ed. 854 (1930).
Opinion of the court, p. 249 (footnotes omitted). Thus the court has encouraged, indeed necessitated, just what was so aptly characterized in Boykin as the "spin-off of collateral proceedings that seek to probe murky memories,"
Based on many of these considerations, a number of courts have indeed imposed such a colloquy requirement on direct appeal, either in the absence of a controlling rule, e.g., Rice v. People,
The court should not accept a waiver unless the defendant, after being advised by the court of his or her right to trial by jury, personally waives the right to trial by jury, either in writing or in open court for the record.
III
In my opinion, therefore, the very minimal requirements of Viggiani should be considerably expanded, and certainly not eliminated as the majority holds. Under no circumstances can I agree to taking the remarkably retrogressive step, one which is totally unprecedented in our state, of approving a jury waiver on the strength of a name scrawled on a piece of paper alone. I would grant Dumas a new trial.
BASKIN, J., concurs.
NOTES
Notes
[1] We ordered a rehearing en banc on the court's own motion pursuant to Florida Rule of Appellate Procedure 9.331(c) in order to maintain uniformity in the court's decisions. A potential for conflicting decisions is apparent from Viggiani v. State,
[2] In 1972, a revision of Florida Rule of Criminal Procedure 3.260 abolished the requirement for court approval of a jury trial waiver. Nevertheless, cases decided after 1972 have continued to apply that standard by requiring as a substitute for court approval either the execution of the written waiver in open court or an oral acknowledgement of the waiver in open court by the defendant or his attorney. Washington v. State, Viggiani v. State, Groomes v. State,
[3] The authenticity of defendant's signature above the stamped waiver is not challenged.
[4] The presumption of law that a waiver of jury trial was made with knowledge and understanding cannot arise where a defendant makes the waiver without the benefit of counsel. Such was the situation in Enrique v. State,
[5] The presumption discussed in Washington v. State,
[6] McCormick, Handbook of the Law of Evidence § 343 (2d ed. 1972).
[7] Justice Harlan, in a strong dissent in Boykin v. Alabama, joined by Justice Black, was of the view that a conviction is constitutionally valid despite the omission of any judicial inquiry of record at the time of the plea, subject only to a collateral proceeding to determine whether the plea was actually voluntary. Where voluntariness, an essential element of a valid guilty plea, does not affirmatively appear from the record, the dissent would, of necessity, indulge in a presumption of fact in order to affirm the conviction a position consistent with the Marshall v. Lonberger holding.
[8] Because the right of an accused to trial by jury is fundamental, Floyd v. State,
[9] Cf. Berry v. State,
