Commonwealth v. Godfrey
Commonwealth v. Godfrey
Concurring Opinion
Concurring Opinion by
While agreeing with the result reached by the majority, I do so under a somewhat different view of Boyhin v. Alabama. I see the issue before us as one of substantive effect, not retroactive application. In my view, under our procedure, we need never overturn a guilty plea simply because there was no on-the-record inquiry at the time the plea was entered, provided that a subsequent record establishes that the plea is otherwise valid. I do not believe that Boyhin in any way compels a contrary result.
Boyhin, as I read it, deals with the following situation: at the. outset, the trial judge accepted a guilty plea with absolutely no on-the-record inquiry of the defendant as to whether the plea was knowingly and voluntarily entered. The Alabama Supreme Court affirmed, with no further record before it, in effect approving this procedure, at least as a matter of state law. The case then moved on to the Supreme Court of the United States, where that Court was faced with a guilty plea, apparently held valid under state law, that had no supporting record as to voluntariness. Under these facts, the Supreme Court of the United States had no choice but to reverse and invalidate the guilty plea.
Contrasted with this is the record which the Supreme Court would receive were they to hear the case now before us. Although there was no on-the-record inquiry of appellant at the time his plea was entered,
Likewise, even were we to hear this case on direct appeal, either in a case where the plea was entered before Boykin, because a prisoner had been adjudged entitled to a direct appeal under Douglas v. California, 372 U.S. 353, 83 S. Ct. 814 (1963), or even in a case where the plea was entered after Boyldn, we would remand for an evidentiary hearing and a determination of whether the plea was knowingly and voluntarily entered. Thus under Pennsylvania procedure, the Supreme Court of the United States would never receive a case in the posture of Boykin where there was an affirmance of a sentence after guilty plea although the plea was supported by absolutely no record.
I hardly mean to imply that the judge accepting the plea should not make an on-the-record inquiry. This Court has made it clear in the past that that is recommended, and now a necessary procedure. See, e.g., Commonwealth v. Cushnie, 433 Pa. 131, 249 A. 2d 290 (1969); Commonwealth ex rel. West v. Rundle, 428 Pa. 102, 237 A. 2d 196 (1968). Now, under our rule in Cushnie, if a hearing as to the validity of the plea is necessary, and there is no on-the-record inquiry by counsel for prosecution or defense, or by the judge who
The fact that we require an on-the-record inquiry when a guilty plea is accepted does not, in my view, also require us to automatically wipe out the plea if no such inquiry is made. Boykin clearly says that we may not, without more, allow the plea to stand. That is what the Alabama Supreme Court did, and it was that action that the Supreme Court of the United States overturned. But where the state system provides a mechanism for fairly establishing a record and determining the validity of the guilty plea, I do not believe that the Supreme Court of the United States meant to — or properly could — mandate a prophylactic rule that the states would be required to follow, to overturn pleas proven valid on a full record. Clearly the Supreme Court thinks that is the best technique for insuring on-the-record inquiries, see McCarthy v. United States, 394 U.S. 459, 89 S. Ct. 1166 (1969). But while F. R. Crim. P. 11, as interpreted by McCarthy may be a desirable method of achieving a procedural compliance with the constitutional requirements of a guilty plea, I do not see how the exact form of relief can be constitutionally imposed on the states. As long as Pennsylvania guarantees and provides a full and fair procedure for determining the validity of guilty pleas, in my view the Supreme Court of the United States cannot properly and does not in Boykin require us to follow a rule that it would opt for as a matter of policy or preferred procedure.
I agree with the statement in Boykin that an on-the-record inquiry by the judge accepting the plea “forestalls the spin-off of collateral proceedings that seek to probe murky memories.” 37 U.S.L. Week at 4476. In support of this proposition, the Court even quoted a Pennsylvania case, Commonwealth ex rel. West v.
In summary, I would hold that as long as Pennsylvania procedure provides a mechanism for the full and fair determination of the validity of a guilty plea, based on a record — developed at the time of the plea or thereafter — sufficient for adequate state and federal review, we are not compelled to automatically overturn guilty pleas under Boykin v. Alabama, merely because the judge accepting the plea failed then to make the requisite on-the-record inquiry.
Opinion of the Court
Opinion by
In April of 1965 appellant was indicted for murder and manslaughter by the York County Grand Jury. When his case came up for hearing, appellant chose to enter a plea of guilty to voluntary manslaughter. The hearing judge accepted the plea without conducting an on-the-record examination of the appellant to determine whether his plea was made intelligently and voluntarily. Appellant has now filed a petition under the Post Conviction Hearing Act in which he alleges that his guilty plea was not entered into voluntarily and intelligently because he was never informed by his counsel or the court of the meaning and consequences of a guilty plea. The court below conducted a hearing after which it held that appellant’s plea was made voluntarily and intelligently and thus denied the petition. Appellant has appealed this decision to our Court.
On June 2 of this year, the United States Supreme Court handed down an opinion in which it held that it is reversible error for a trial judge to accept a guilty
Appellant was, of course, sentenced long before Boykin was decided, so that we must determine whether Boykin must be applied retroactively. In handing down its opinion in Boykin, the Court was silent on this question, so that we must make our own determination based on the standards set forth in prior Supreme Court decisions dealing with the retrospective versus prospective application of decisions in the criminal area.
The general principle guiding all such determinations was formulated by the Supreme Court in Linkletter v. Walker, 381 U.S. 618, 14 L. Ed. 2d 601 (1965), holding that the search and seizure rule of Mapp v. Ohio, 367 U.S. 643, 6 L. Ed. 2d 1081 (1961), was to be applied prospectively only. Speaking for the majority, Mr. Justice Clark stated, “Thus, the accepted rule today is that in appropriate cases the Court may in the interest of justice make the rule prospective. . . . Once the premise is accepted that we are neither required to apply, nor prohibited from applying, a deci
Second, and most important, it is staggering to the imagination to contemplate the chaos which would result if Boykin were applied retrospectively. The overwhelming majority of all convictions result from guilty pleas. In a great many of these cases, inadequate on-the-record examinations were conducted. This would mean that countless cases would have to be retried if Boykin were applied retroactively. We can only underscore the statement of Mr. Justice Stewart in Tehan v. Shott :
We turn now to the merits of appellant’s position. Appellant testified at his post-conviction hearing that he was merely told that if he pleaded guilty he would receive a four-year prison sentence, that he was never informed that by pleading guilty he was admitting his guilt and that he was never told that he had a right to stand trial. Appellant’s lawyer then denied each of these statements and stated that he fully informed the appellant of the consequences of his plea and that he had a right to stand trial if he chose to plead not guilty. The lawyer advised his client to plead guilty to voluntary manslaughter on the strength of the Commonwealth’s case.
The hearing judge chose to believe the lawyer’s version as to what transpired. On the face of this record we cannot fault this decision. Since the issue at the hearing was solely one of credibility, our scope of review is extremely limited. We cannot say that the
Order affirmed.
The date on which we handed down our opinion in Commonwealth ex rel. West v. Rundle, 428 Pa. 102, 237 A. 2d 196 (1968), setting forth the standards for on-the-record examinations of defendants who plead guilty.
382 U.S. 406, 15 U. Ed. 2d 453 (1966) (holding that the Griffin v. California, 380 U.S. 609, 14 L. Ed. 2d 106 (1965) rule prohibiting comment on the accused’s failure to testify is to be applied prospectively only).
See also: Johnson v. New Jersey, supra, at 731; Linkletter v. Walker, supra, at 637, 638.
Our conclusion is reinforced by two recent United States Supreme Court decisions. In McCarthy v. United States, 394 U.S. 459, 22 L. Ed. 2d 418 [37 Law Week 4285] (April 2, 1969), the Court held that a hearing judge’s failure to comply with the guilty plea inquiry procedure outlined in Rule 11 of the Federal Rules of Criminal Procedure necessitated a reversal of the conviction and a new trial rather than an evidentiary hearing on the voluntariness of the plea. In UalUday v. United States, 394 U.S. 831, 23 L. Ed. 2d 16 [37 Law Week 3419] (May 5, 1969), the Court held that McCarthy was to be applied prospectively only for reasons similar to those we have advanced today.
Since appellant was sentenced prior to West, we are not concerned with a shift in the burden of proof. See: Commonwealth v. Gushnie, supra, at 135.
Reference
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- Commonwealth v. Godfrey, Appellant
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