Lead Opinion
In the Circuit Court for Howard County, Kevin Walker, Petitioner, was convicted of possession of a forged document. He now argues that he is entitled to a new trial on the ground that the Circuit Court erroneously failed to conduct a jury
I.
Petitioner was arrested by Howard County police officers about 3:00 p.m. on July 24, 2005. Later that day he was served with a District Court STATEMENT OF CHARGES that formally charged him with two violations of the Maryland Controlled Dangerous Substances Act and eight violations of § 8-601 of the Criminal Law Article. A defendant charged with any of these offenses has a right to be tried in the District Court, as well as a right to be tried in the circuit court. The District Court set Petitioner’s bail at $5,000, and scheduled Petitioner’s trial for October 14, 2005. On September 29, 2005, the District Court received a DEMAND FOR JURY TRIAL filed on Petitioner’s behalf by his trial counsel. Petitioner’s circuit court trial was originally scheduled for November 29, 2005, but was rescheduled to January 24, 2006 at the request of Petitioner’s trial counsel.
Petitioner’s trial counsel filed several pretrial motions, including what he described as “more properly characterized as a motion to dismiss, based on an unlawful arrest.” That motion was heard and denied on January 10, 2006. On January 24, 2006, the following transpired in open court:
[THE PROSECUTOR]: Your Honor, we are proceeding by way of a not guilty agreed statement of facts as to Count 7 which is possession of a forged document. Your Honor, the State and the Defense will be recommending a flat time served disposition of this matter.
[COUNSEL FOR WALKER]: Your Honor ... that’s our understanding of the agreement.
[COUNSEL FOR WALKER]: And, Your Honor, just so it is clear to Mr. Walker, by proceeding on a not guilty*372 statement of facts as him and I have discussed, he is essentially preserving his automatic right to appeal.
[THE COURT]: Right.
[COUNSEL FOR WALKER]: Certain motions that have been made previously in this case.
[THE COURT]: Right, I saw the record, there was a—
[COUNSEL FOR WALKER]: A Motion to Dismiss that was denied.
[THE COURT]: Yeah, right. But that fully — preserved it for appellate purposes.
[COUNSEL FOR WALKER]: Thank you.
[THE COURT]: Right. Do you want to qualify Mr. Walker on the—
[COUNSEL FOR WALKER]: Yes, Your Honor.
[THE COURT]: — on the not guilty agreed statement of facts.
[COUNSEL FOR WALKER]: Mr. Walker, as the State has just informed the Court, it is your desire today to proceed on a not guilty statement of facts. Is that correct?
[WALKER]: Yes.
[COUNSEL FOR WALKER]: Okay. And you understand that when proceeding on a not guilty statement of facts you are proceeding as if you in fact went to trial and you were convicted of the crime charged? In this case, that crime is possession of a forged or privileged document. Do you understand?
[WALKER]: Privileged document, okay.
[COUNSEL FOR WALKER]: And do you understand that the difference between proceeding on a guilty plea and a not guilty statement of facts is that in this situation you are, as I informed the Court, and your understanding is that you are preserving your automatic right to appeal. Do you understand that?
[WALKER]: Correct.
[COUNSEL FOR WALKER]: Okay. Can you please state your full name for the record?
*373 [WALKER]: Kevin Dwight Walker.
[COUNSEL FOR WALKER]: Okay. How old are you?
[WALKER]: Forty-nine.
[COUNSEL FOR WALKER]: Okay. How far did you go in school?
[WALKER]: Fifteen years.
[COUNSEL FOR WALKER]: Okay. Do you read and [write] the English language?
[WALKER]: Yes.
[COUNSEL FOR WALKER]: Okay, and do you understand everything that is happening here today?
[WALKER]: Yes.
[COUNSEL FOR WALKER]: Okay. Have you taken any drugs, medicine or pills—
[WALKER]: No.
[COUNSEL FOR WALKER]: — within the last 24 hours?
[WALKER]: No.
[COUNSEL FOR WALKER]: Mr. Walker will you let me finish my questions first? Are you presently under the influence of drugs or alcohol?
[WALKER]: No.
[COUNSEL FOR WALKER]: Okay. Have you received a written copy of the charges in this case?
[WALKER]: And that would be this what I got—
[COUNSEL FOR WALKER]: Okay, we refer to it as the charging documents, statement of charges in this case—
[WALKER]: Yes.
[COUNSEL FOR WALKER]: — as this case originated in District Court.
[WALKER]: Yes.
[COUNSEL FOR WALKER]: Have you had an adequate opportunity to discuss the charges with me as your attorney?
[WALKER]: Yes.
*374 [COUNSEL FOR WALKER]: Okay. Do you fully understand the charges against you?
[WALKER]: Yes.
[COUNSEL FOR WALKER]: Do you understand that you are charged with possession, among other things, possession of a privileged or forged document?
[WALKER]: Yes.
[COUNSEL FOR WALKER]: Okay. Have you had an adequate opportunity to discuss essentially the plea agreement that we have just detailed to [the judge] here today with me? Have you had an adequate opportunity?
[WALKER]: Yes.
[COUNSEL FOR WALKER]: Okay. Has anyone made any promises to you other than what has been now placed on the .record to get you to enter or proceed in this manner?
[WALKER]: No.
[COUNSEL FOR WALKER]: Okay. Do you understand that the maximum penalty for this offense is three years?
[WALKER]: Yes.
[COUNSEL FOR WALKER]: Okay. Now, do you understand that when you proceed in this way you are giving up or waiving your right to trial? Do you understand that?
[WALKER]: No, I didn’t—
[COUNSEL FOR WALKER]: Do you understand that there will be no trial in this situation?
[WALKER]: Okay, yes.
[COUNSEL FOR WALKER]: Okay. And do you understand that in proceeding in this way you are essentially proceeding and then and in the end it will act as a conviction on the one count of possession of a privileged document? Do you understand that?
[WALKER]: Yes.
[COUNSEL FOR WALKER]: Okay. Your Honor.
[THE COURT]: All right, and, Mr. Walker, you understand also that you are waiving any right to have a jury trial of*375 this matter, as well as a court trial? Do you understand that?
[WALKER]: I do now. I didn’t at first. I didn’t know it was a waiver. I knew it was an appealable right, you know—
[THE COURT]: Yes, you have the—
[WALKER]: — saving the appeal. So—
[THE COURT]: — you [have] the right to appeal, but as you know because you and I have been down this road—
[WALKER]: — oh, yes, yes.
[THE COURT]: -you and I have been down this road before and I think we have had at least one jury trial, maybe two. One time you got a hung jury and the other time, I think — well, I don’t know, I can’t recall everything. But you fully understand about jury trials and—
[WALKER]: Yes.
[THE COURT]: — all that.
[WALKER]: Yeah, I—
[THE COURT]: By proceeding as you are doing here today, you are waiving your right to have a jury trial.
[WALKER]: All right.
The Circuit Court then determined that it was “satisfied the Defendant has made a knowing, intelligent and voluntary decision” to waive his right to a trial and to proceed on a not guilty statement of facts.
Petitioner noted an appeal to the Court of Special Appeals, but did not present any argument on whatever issue he intended to preserve for appellate review by proceeding on a not guilty agreed statement of facts. Petitioner argued only that the circuit court erred in failing to conduct an examination, on the record, as to whether Petitioner’s waiver of a jury trial was made knowingly and voluntarily, in compliance with the requirements of Maryland Rule 4-246(b). In an unreported opinion, the Court of Special Appeals concluded that “the trial’s court’s personal knowledge of Walker’s prior jury trial experience, combined with Walker’s affirmation that he fully
In his petition for writ of certiorari, Petitioner presents the following question:
Where absolutely no information about the nature of a jury trial was given to Petitioner on the record, did the Court of Special Appeals err in ruling that the waiver was nevertheless valid because of the trial judge’s assertion of his personal knowledge of Petitioner’s prior experience with the criminal justice system, Petitioner’s affirmative response to the trial judge’s assertion, “you fully understand about jury trials and all that,” and defense counsel’s reference to off-the-record discussions with Petitioner?
We granted Petitioner’s petition for writ of certiorari to determine whether the waiver was made knowingly under Maryland Rule 4-246(b). Walker v. State,
II.
Petitioner argues that his waiver of a jury trial was not made knowingly because the trial judge provided no information on the record in open court about the nature of a jury trial. According to Petitioner, the plain language of Rule 4-246(b) requires an examination regarding waiver of a jury trial on the record in open court, and precludes any presumption that a defendant who is represented by counsel was informed of his constitutional rights. He also argues that the Circuit Court’s reliance on off-the-record matters including his alleged trial experience and pre-hearing discussions with his counsel were in error and that it is not sufficient that he simply responded affirmatively to the trial judge’s assertion that he “fully understand^] about jury trials and [all that].”
On January 24, 2005, Maryland Rule 4-246(b) provided:
A defendant may waive the right to a trial by jury at any time before the commencement of trial. The court may not accept the waiver until it determines, after an examination of the defendant on the record in open court conducted by the court, the State’s Attorney, the attorney for the defendant, or any combination thereof, that the waiver is made knowingly and voluntarily.
Maryland Rule 4-246(a)-(b) was amended on December 4, 2007, to take effect on January 1, 2008.
(a) Generally. In the circuit court, a defendant having a right to trial by jury shall be tried by a jury unless the right is waived pursuant to section (b) of this Rule. The State does not have the right to elect a trial by jury.
(b) Procedure for acceptance of waiver. A defendant may waive the right to a trial by jury at any time before the commencement of trial. The court may not accept the waiver until, after an examination of the defendant on the*378 record in open court conducted by the court, the State’s Attorney, the attorney for the defendant, or any combination thereof, the court determines and announces on the record that the waiver is made knowingly an d voluntarily.
The “knowingly” requirement of the Rule was based on a 1982 revision to Rule 735, the precursor of Rule A-246, which had previously required that a defendant have “full knowledge of his right to a jury trial.”
In State v. Bell,
“Knowledge,” in this context means “acquaintance” with the principles of a jury and “knowingly” means acting consciously or intentionally in waiving the right to a jury. Because respondent’s knowledge no longer need be “full,” it need not be “complete” or “entire.” The rule no longer requires a specific in-court litany of advice with respect to the “unanimity” requirement for the trial court to accept and permit the waiver, by a defendant, of his right to a jury trial.
Id. at 730,
In State v. Hall,
Our cases hold that whether there has been an intelligent waiver of the jury trial right depends upon the facts and circumstances of each case. Stewart, supra,319 Md. at 90 ,570 A.2d at 1234 ; Martinez, supra,309 Md. at 134 , 522 A.2d [at 955]; Dortch v. State,290 Md. 229 , [235,]428 A.2d 1220 [, 1223] (1981). In determining whether the defendant has knowingly and voluntarily waived his right to a jury trial under Rule 4-246(b), “the questioner need not recite any fixed incantation.” Martinez, supra, 390[309] Md. at 134, 522 A.2d [at 955]. The court must, however, satisfy itself that the waiver is not a product of duress or coercion and further that the defendant has some knowledge of the jury trial right before being allowed to waive it. Id. at 134, 522 A.2d [at 955]. [Emphasis added.]
Id. at 182-83,
In Abeokuto,
Petitioner argues that the case at bar is controlled by Tibbs v. State,
[DEFENSE COUNSEL]: And do you understand what a jury trial is?
DEFENDANT: Yes, I do.
[DEFENSE COUNSEL]: And you indicated to me when I spoke with you at the detention center the other evening that you desired to have the case tried before this Court alone, is that correct?
DEFENDANT: Yes, I do.
[DEFENSE COUNSEL]: And you do specifically waive your right to have the matter tried before a jury?
DEFENDANT: Yes, I do.
[DEFENSE COUNSEL]: Has anyone forced you or threatened you to have you give up your right to a jury trial?
DEFENDANT: No, they haven’t.
[DEFENSE COUNSEL]: Have you given up your right to a jury trial freely and voluntarily?
*382 DEFENDANT: Yes, I have.
* * *
[DEFENSE COUNSEL]: Your Honor, I would proffer to the Court that a waiver of a jury trial is freely and voluntarily tendered.
* * *
THE COURT: All right.
[DEFENSE COUNSEL]: And we’re ready to proceed, Your Honor.
THE COURT: Okay. And Mr. Tibbs enters a plea of not guilty to the four counts, is that right?
[DEFENSE COUNSEL]: That’s correct.
THE COURT: Waives his right to a jury trial?
[DEFENSE COUNSEL]: Yes, Your Honor.
Id. at 30,
In the case at bar, the record shows that Petitioner obviously had “some knowledge” of his right to a jury trial, because he (1) made a considered decision to pray a jury trial rather than stand trial in the District Court,
Unlike cases in which the defendant chooses between a court trial and a jury trial in order to challenge the probative value of the State’s evidence, the case at bar is one in which Petitioner was challenging the admissibility of the State’s evidence rather than the sufficiency or the probative value of that evidence.
Petitioner does not argue that his waiver was the product of duress or coercion. For reasons stated in State v. Bell, supra, and State v. Hall, supra, the circuit court was not
JUDGMENT OF THE COURT OF SPECIAL APPEALS AFFIRMED; PETITIONER TO PAY THE COSTS.
BELL, C.J., BATTAGLIA and GREENE, JJ., Dissent.
Notes
. The Rule change was in response to Powell v. State,
. Maryland Rule 735(d) stated:
If the defendant elects to be tried by the court, the trial of the case on its merits before the court may not proceed until the court determines, after inquiry of the defendant on the record, that the defendant has made his election for a court trial with full knowledge of his right to a jury trial and that he has knowingly and voluntarily waived the right. If the court determines otherwise, it shall give the defendant another election pursuant to this Rule.
(emphasis added).
. In Countess v. State,
. We stated that courts should “present such information to defendants in smaller intellectual ‘bytes’ and inquire discretely after each ‘byte’ or logical grouping of ‘bytes’ whether a defendant understands them” in order to ensure understanding of what could be "a rather daunting explication to a layman.” Abeokuto v. State,
. It is clear that Petitioner's demand for jury trial, which was filed pursuant to Maryland Rule 4-301(b)(l)(A), was not made subsequent to the denial of a request for postponement. By complying with Rule 4-301(b)(1)(A), Petitioner obtained the right to "circuit court discovery” governed by Maryland Rule 4-263, as well as the right to "on the
. By proceeding in the circuit court on a statement of facts, Petitioner did preserve the issue of whether he was entitled to suppression of the forged document seized from his person on July 24, 2005. While Petitioner's case was pending in the District Court, he filed a pro se Motion for Dismissal, complete with a certificate of service, in which he claimed that he was entitled to a dismissal on the grounds of (in the words of his motion):
I. Lack of Probable Cause [for his arrest]
II. Harassment
III. Unlawfully Detained
IV. Violation of civil rights
V. Violation of Federal Constitution The right to Privacy
During Petitioner's January 10, 2006 Motions Hearing, his counsel argued that all charges against Petitioner should be dismissed on the ground that the incriminating evidence seized from Petitioner’s person on July 24, 2005 was seized in violation of Petitioner’s Fourth Amendment rights.
. All of the cases in which this Court concluded that noncompliance with Maryland Rule 4-246(b) entitled the defendant to a new trial are
In Abeokuto v. State,
. While lawyers and judges occasionally state that a "not guilty agreed statement of facts” is distinguishable from an "actual” trial, this Court has made it clear that "[a] defendant's agreement to proceed on an agreed statement of facts is essentially a trial by stipulation, at which generally no live witnesses are called.” Atkinson v. State,
Dissenting Opinion
which BELL, C.J. and GREENE, J., join.
I respectfully dissent.
In the present case, Petitioner, Kevin Walker, was charged with possession of a forged document. He was convicted in a bench trial after proceeding on a not guilty agreed statement of facts. Walker noted an appeal to the Court of Special Appeals, arguing that the Circuit Court erred in failing to conduct an examination, on the record, as to whether his waiver of a jury trial was made knowingly and voluntarily, in compliance with the requirements of Maryland Rule 4-246(b),
(a) Generally. In the circuit court a defendant having a right to trial by jury shall be tried by a jury unless the right is waived pursuant to section (b) of this Rule. If the waiver is accepted by the court, the State may no t elect a trial by jury.
(b) Procedure for acceptance of waiver. A defendant may waive the right to a trial by jury at any time before, the commencement of trial. The court may not accept the waiver until it determines, after an examination of the defendant on the record in open court conducted by the court, the State’s Attorney, the attorney for the defendant, or any combination thereof, that the waiver is made knowingly and voluntarily.
(emphasis added).
Presently at issue is whether a record colloquy between Walker, his counsel and' the court satisfied the procedure for knowingly waiving a jury trial under Rule 4-246(b). The majority clearly agrees that an agreed statement of facts is a trial, see Slip Op. at 17 n. 8, and because a trial is involved, the judge must comply with the dictates of Rule 4-246(b). Accordingly, Walker was entitled to engage in the appropriate colloquy. The only colloquy Walker engaged in concerning whether his waiver was made knowingly, was the following:
[COUNSEL FOR WALKER]: Okay. Now, do you understand that when you proceed in this way you are giving up or waiving your right to trial? Do you understand that?
[WALKER]: No, I didn’t—
[COUNSEL FOR WALKER]: Do you understand that there will be no trial in this situation?
[WALKER]: Okay, yes.
[COUNSEL FOR WALKER]: Okay. And do you understand that in proceeding in this way you are essentially proceeding and then and in the end it will act as a conviction*387 on the one count of possession of a privileged document? Do you understand that?
[WALKER]: Yes.
[COUNSEL FOR WALKER]: Okay. Your Honor.
[THE COURT]: All right, and, Mr. Walker, you understand also that you are waiving any right to have a jury trial of this matter, as well as a court trial? Do you understand that?
[WALKER]: I do now. I didn’t at first. I didn’t know it was a waiver. I knew it was an appealable right, you know—
[THE COURT]: Yes, you have the—
[WALKER]: — saving the appeal. So—
[THE COURT]: — you [have] the right to appeal, but as you know because you and I have been down this road—
[WALKER]: — oh, yes, yes.
[THE COURT]: — you and I have been down this road before and I think we have had at least one jury trial, maybe two. One time you got a hung jury and the other time, I think — well, I don’t know, I can’t recall everything. But you fully understand about jury trials and—
[WALKER]: Yes.
[THE COURT]: — all that.
[WALKER]: Yeah, I—
[THE COURT]: By proceeding as you are doing here today, you are waiving your right to have a jury trial.
[WALKER]: All right. (Emphasis added).
Asking Walker if he understood that he is waiving his right to trial and affirming that he “understands about jury trials and [all that]” was not the appropriate colloquy because the language is devoid of any information concerning the nature of a jury trial; unlike the defendants in cases where we have found a knowing waiver, Walker was not informed of any of the characteristics of a jury trial. See Kang v. State,
Walker’s colloquy instead parallels the colloquy provided in Tibbs v. State,
[COUNSEL FOR WALKER]: Okay. Now, do you understand that when you proceed in this way you are giving up or waiving your right to trial? Do you understand that?
[WALKER]: No, I didn’t—
The judge proceeded to ask Walker if he understood that he was waiving his right to trial to which he responded, “I do now. I didn’t at first. I didn’t know it was a waiver. I knew it was an appealable right, you know____” Subsequently, the judge stated that Walker “understands about jury trials and [all that],” to which Walker then responded affirmatively. This encounter is similar to the “naked inquiry” to which Tibbs affirmatively responded but that we nonetheless found “woefully deficient.” See id. at 31-32,
In the absence of meaningful litany, the majority distinguishes this case from Tibbs, by stating that the trial judge’s personal knowledge of Walker’s experience with the criminal justice system established that Walker had the requisite knowledge of jury trials before waiving the right:
*389 [THE COURT]: — you [have] the right to appeal, but as you know because you and I have been down this road—
[WALKER]: — oh, yes, yes.
[THE COURT]: — you and I have been down this road before and I think we have had at least one jury trial, maybe two. One time you got a hung jury and the other time, I think — well, I don’t know, I can’t recall everything. But you fully understand about jury trials and—
[WALKER]: Yes.
[THE COURT]: — all that.
In Tibbs, however, we discounted the fact that Tibbs was “no novice to the legal system because he was on parole at the time of his arrest for the instant offenses,” and stated,
notwithstanding that Tibbs may have had some prior unspecified experience with the criminal justice system, the trial judge could not fairly be satisfied on this record that Tibbs had the requisite knowledge of the nature of the jury trial right, that his waiver of the right was knowing and voluntary, and that the requirements of the rule were thus met. We conclude, therefore, that constitutional due process requirements were transgressed in this case.
The majority, nevertheless, distinguishes Tibbs by arguing that, although the trial court in that case was faced with prior unspecified experience with the criminal justice system, the trial court here had personal knowledge of Walker’s past experience with jury trials. The trial judge’s knowledge, while personal, was unspecified: “I think we have had at least one jury trial, maybe two. One time you got a hung jury and the other time, I think — well, I don!t know, I can’t recall everything.” To accept the majority’s reasoning would require concluding that such unspecified knowledge can be imputed to the defendant to support a knowing waiver of a jury trial. Nothing on the record confirms Walker did have jury trial experience and, if so, when such trials occurred. The record is absent of any discussion specifically establishing the extent, if any, of. Walker’s jury trial experience. We therefore, should not assume that the judge’s assertion of Walker’s unspecified experience with the criminal justice sys
The majority also incorrectly assumes that representation by counsel and counsel’s decisions to 1) elect a jury trial; 2) negotiate an agreement regarding sentence; and 3) proceed on an agreed statement of facts impute knowledge to the defendant. It cannot, however, be assumed that the significance of such decisions are adequately communicated to a defendant by counsel or that, if explained, the defendant in fact understands the significance of such decisions; in fact, the record reflects Walker did not understand. Hence, Rule 4-246(b) explicitly requires that a waiver examination be “on the record in open court.” We have recently noted that the presence of counsel “will not mitigate an inaccurate or incomplete court instruction” when considering whether the waiver of a jury sentencing right was knowing and voluntary. Abeokuto,
Walker was not informed on the record of the nature of a jury trial and the combination of his affirmative response to the judge’s “naked inquiry” as to whether he “fully understood] about jury trials and [all that],” the judge’s assertion of past trial experience with Walker, and any information that counsel could have, but may not have, provided him, when considered under the totality of the circumstances, fail to amount to a knowing waiver. The precedent set by the majority’s opinion undermines the requirements of Maryland Rule 4-246(b).
I respectfully dissent.
Chief Judge BELL and Judge GREENE authorize me to state that they join in this dissenting opinion.
. Other jurisdictions have looked to a defendant’s specific experience with the criminal justice system to determine whether it is sufficient to support a knowing waiver. See Hill v. Beyer,
