435 S.W.3d 625
Ky.2013Background
- William Ayers, an experienced Kentucky criminal defense attorney, was indicted in Jefferson County for five counts of failing to file Kentucky tax returns for 2002–2006.
- Ayers represented himself (appeared pro se) for nearly two years and requested a continuance to seek counsel only the day before a previously continued trial; the request was denied.
- No formal Faretta hearing (on waiver of counsel) was conducted at any point during trial court proceedings.
- At trial the jury heard evidence that Ayers misused fiduciary relationships and power of attorney to launder funds and found him guilty on all five counts.
- The Jefferson Circuit Court sentenced Ayers to concurrent three-year terms; the Court of Appeals reversed, and the Kentucky Supreme Court granted discretionary review.
Issues
| Issue | Plaintiff's Argument | Defendant's Argument | Held |
|---|---|---|---|
| Whether failure to conduct a Faretta hearing requires reversal | Commonwealth: No reversible error because Ayers effectively had counsel and was an experienced lawyer | Ayers: Trial court should have conducted a Faretta hearing before allowing him to proceed pro se; absence mandates new trial | Court: No Faretta hearing was required; Ayers, as an experienced criminal trial attorney, was not entitled to Faretta protections and conviction reinstated |
Key Cases Cited
- Faretta v. California, 422 U.S. 806 (1975) (recognizes defendant's constitutional right to proceed pro se when waiver is knowing and intelligent)
- Martinez v. Court of Appeal of California, 528 U.S. 152 (2000) (no constitutional right to proceed without counsel on appeal; critiques practical consequences of Faretta)
- McKaskle v. Wiggins, 465 U.S. 168 (1984) (limits on hybrid representation and role of standby counsel)
- Iowa v. Tovar, 541 U.S. 77 (2004) (permits case-specific, pragmatic approach to Faretta inquiries)
- King v. Commonwealth, 374 S.W.3d 281 (Ky. 2012) (Sixth Amendment and Kentucky Constitution guarantee right to counsel)
- Depp v. Commonwealth, 278 S.W.3d 615 (Ky. 2009) (rejects rigid, formulaic waiver review; endorses common-sense approach)
- Hill v. Commonwealth, 125 S.W.3d 221 (Ky. 2004) (discusses waiver standards for hybrid representation)
- United States v. Leggett, 81 F.3d 220 (D.C. Cir. 1996) (Faretta applies where defendant foregoes benefits of counsel)