Lead Opinion
A jury convicted Erwin Alexander Edwards of distribution of cocaine, his second or subsequent offense, in violation of Code § 18.2-248 and possession of cocaine in violation of Code § 18.2-250. On the morning of trial, Edwards requested that he be allowed to defend himself pro se. The trial court denied the request, finding Edwards competent to stand trial but incompetent to represent himself. Because the court applied an incorrect legal standard and, consequently, failed to make factual determinations required by the correct standard, we vacate the convictions and remand for further proceedings consistent -with this opinion.
I.
The evidence at trial showed that police videotaped Edwards selling crack cocaine to a confidential informant. Edwards ran when police moved in to arrest him. During his flight, Edwards threw away the money the confidential informant paid him as well as another bag of crack cocaine. Edwards pled not guilty to possession and distribution charges.
The trial court appointed counsel to defend Edwards. Lawyer after lawyer found it nearly impossible to represent Edwards. In succession, his first three lawyers moved to withdraw, claiming conflicts of various sorts. About his fourth lawyer, Edwards exclaimed in open court that the lawyer was “trying to
The day before trial, Edward “fired” his sixth lawyer, prompting counsel to file a motion to withdraw. Edwards’s belligerence, counsel explained, had irretrievably damaged the attorney-client relationship. Edwards erupted with a verbal attack on his counsel, and the court again ordered Edwards removed from the courtroom. The court then denied counsel’s motion to withdraw, saying Edwards had delayed the proceeding long enough. The trial would go forward the next day, the court ruled, with present counsel in attendance.
On the morning of trial, Edwards advised the court that he wanted to fire his counsel and “proceed without a lawyer today.” The court questioned Edwards to ensure he understood the “advantages of continued legal representation” and that, with or without counsel, there would be no continuance of the trial. Edwards answered the court’s questions, professing to appreciate the risks of pro se representation, his obligation to follow the rules, his inability to solicit assistance from the court, and his duty to behave in the courtroom. After an extensive dialogue, the court concluded with the question: “Now, you still want to represent yourself?” “Yes,” Edwards replied. The court then held:
Okay. I’m not going to let you. You’re not competent to represent yourself. Yes, I mean you’re competent as an individual, but you’re not competent to handle a case before a jury that you can potentially get life in the penitentiary. You need legal representation. Based on your responses, I’m not going to do that____[H]e had no legal training to understand motions and all the other things that he needs to be able to do, again, to defend himself in a case where he could potentially get life in the penitentiary. My ruling is that he’s not competent to represent himself. Competent to stand trial, hut not to represent himself.
After Edwards unsuccessfully asked the court to reconsider, the case proceeded to trial with the jury finding him guilty on both charges. Edwards filed a petition for appeal on several grounds. We granted an appeal solely on the question whether the trial court erred in denying his request for self-representation.
II.
A. The Faretta Right of Self-Representation
The Sixth Amendment guarantees a criminal defendant “the Assistance of Counsel for his defence.” U.S. Const, amend. VI. This textual right, it has been held, “implies” the concomitant right to be unassisted by counsel. Faretta v. California,
To be successful, a Faretta request must be (i) timely, (ii) clear and unequivocal, and (in) “voluntarily, knowingly, and intelligently
Consequently, a trial court may “deny a request for self-representation when the request is made for purposes of manipulation because, in such cases, the request will not be clear and unequivocal.” Bush,
B. The Trial Court’s Reason for Rejecting Edwards’s Request
In this case, the trial court did not address any of the traditional concerns governing the assertion of the Faretta right of self-representation. The court instead said, “My ruling is that he’s not competent to represent himself. Competent to stand trial, but not to represent himself.” In context, the court meant Edwards was not legally capable of handling “a case before a jury” in which he could “potentially get life in the pemtentiary.” Edwards “had no legal traimng,” the court noted, to help Mm understand the many “things that he needs to be able to do” to defend himself. “You need legal representation,” the court advised Edwards.
At the outset, we take no issue with either the accuracy or the wisdom of the court’s observations. As experienced trial judges know all too well, “a pro se defense is usually a bad defense, particularly when compared to a defense provided by an experienced criminal defense attorney.” Martinez,
Under settled principles, a defendant’s “techmcal legal knowledge” is not “relevant” to the Faretta judicial inquiry. Godinez v. Moran,
That the trial court used erroneous reasoning does not mean, legally or logically, Edwards’s Faretta request necessarily should have been granted. A trial court can reach the right result, albeit for the -wrong reason. See, e.g., Whitley v. Commonwealth,
1. Timeliness of Edwards’s Pro Se Request
As a matter of law, the Commonwealth asserts, Edwards waited too late to make a Faretta request. We disagree. A pro se request meets the timeliness requirement if made before “meaningful trial proceedings” have commenced. Muhammad v. Commonwealth,
Nor is there any suggestion that Edwards’s request, though otherwise timely, was meant to throw off the timeliness of the trial itself. A court may reject even a timely Faretta request when used as “a tactic to secure delay” of the trial, even if the defendant expressly disclaims any intent to do so. Stockton,
2. Clear & Unequivocal—Voluntarily, Knowingly & Intelligently
Even if timely, the Commonwealth contends, Edwards’s Faretta request should have been denied because it was neither “clear and unequivocal” nor “knowingly, voluntarily, and intelligently” made. We find this argument plausible, but nevertheless one requiring in the first instance an exercise of factfinding discretion by the trial court.
Whether a Faretta request is “clear and unequivocal” involves much more than simply measuring how emphatically it has been asserted. See Frazier-El,
In this respect, the “clear and unequivocal” requirement not only protects a defendant from inadvertent waivers stemming from “occasional musings” about self-representation, it “also prevents a defendant from taking advantage of and manipulating the mutual exclusivity of the rights to counsel and self-representation.” Frazier-El,
The voluntarily-knowingly-intelligently requirement addresses related concerns over the defendant’s ability to understand the choice he is making. Before deciding to proceed pro se, a defendant “should be made aware of the dangers and disadvantages of self-representation, so that the record will establish that he knows what he is doing.” Iowa v. Tovar,
The Commonwealth argues the circumstances surrounding Edwards’s Faretta request prove its equivocating nature and demonstrate he did not understand what he was doing. From this perspective, Edwards did not “truly” want to represent himself. See Faretta,
Given its singular focus on legal competence, the trial court did not resolve the factual disputes inherent in the “clear and equivocal” and “knowingly, voluntarily, and intelligently” requirements. We certainly cannot do so on appeal. See Orndorff v. Commonwealth,
The clarity and unequivoeality of a defendant’s expression is determined not only by the words he speaks, but by his way of speaking them and his manner and demeanor when he is speaking; undeniably, the same words can express different degrees of certainty depending on how they are spoken. A transcript of the state trial court proceedings can reveal neither the way a defendant spoke when he indicated his desire to represent himself nor the manner and demeanor he assumed at the time of this indication.
Id.
For the same reason, “the trial judge has the duty to determine whether such a waiver is voluntarily and intelligently made, ‘and it would be fitting and appropriate for that determination to appear on the record.’ ” Thomas,
D. Appellate Remedy—Scope of Remand
When asked directly what remedy he seeks on appeal, Edwards’s counsel confirmed that the “remedy he is seeking in this appeal is a retrial in his pro se capacity.” “That’s what he is asking for, that’s what he wants,” counsel stated. We cannot order that remedy, however, because the trial court never examined Edwards’s Faretta request under the correct legal standard or made any of the required predicate factual findings.
Instead, we take a more measured approach. “Cases involving Sixth Amendment deprivations are subject to the general rule that remedies should be tailored to the injury suffered from the constitutional violation and should not unnecessarily infringe on competing interests.” United States v. Morrison,
In this case, the actual harm is not simply that the trial court denied Edwards’s Faretta request—but that it denied the request using an incorrect legal standard without making any of the predicate factual findings, one way or the other, required by the correct standard. In such circumstances, the proper appellate response is to vacate the convictions and remand the case to the trial court with instructions to conduct a hearing on the matter.
If the trial court finds Edwards’s request satisfies the Faretta requirements, the court should order a retrial so that Edwards may exercise his constitutional right of self-representation. See, e.g., People v. Carson,
III.
We vacate Edwards’s convictions and remand the case to the trial court for further proceedings consistent with this opinion.
Vacated and remanded.
Notes
. We denied Edwards's petition for appeal seeking review of the trial court's denial of a pretrial suppression motion (Question I of the petition), the denial of a motion to strike made at trial (Question II of the petition), the admission of chain-of-custody evidence challenged by Edwards as insufficient (Question IV of the petition), and a denial of Edwards’s request for admission into evidence of a warrant for his arrest (Question V of the petition).
. This remedy tracks the prevailing approach used in analogous situations. See, e.g., Murray v. United States,
. We do not mean to imply that Edwards cannot withdraw his Faretta motion on remand. He has that right. But that election, however, would moot the need for a retrial. If he were "represented by lawyers at any new trial, he would not have vindicated the right of self-representation upon which he premises his appeal from the denial of that right.” United States v. Johnson,
Dissenting Opinion
Because I agree with the majority that the trial court erred in denying Edwards his constitutional right to self-representation, and because I also agree that the request to act pro se was timely made, I join in the majority’s analysis in sections 11(A), 11(
The Commonwealth asks us to affirm the trial court’s denial of Edwards’ right to self-representation, arguing that Edwards’ waiver was not voluntary, knowing, and intelligent.
“An assertion of the right of self-representation [ ] must be (1) clear and unequivocal, (2) knowing, intelligent and voluntary, [and] (3) timely.” United States v. Frazier-El,
To determine whether the demand for self-representation is a valid, knowing, and voluntary waiver of the right to counsel, the court must engage the defendant in a conversation to explain the consequences of proceeding pro se, and to make the defendant aware of the dangers and disadvantages of self-representation. See Faretta v. California,
Here the record contains a long and specific colloquy between Edwards and the trial court regarding his request to represent himself. The trial court stated that, “before going any further, I want to be sure that you fully understand the consequences of what you are choosing to do.” The trial court then asked Edwards his age and the highest grade in school that he completed. The trial court also acknowledged that it had reviewed Edwards’ psychological evaluation regarding his competency to stand trial. Next the trial court asked Edwards if he was “familiar with this [ ] criminal justice system,” if he knew and understood the charges against him and that he could get life in the penitentiary for his crimes, if he knew or had studied courtroom procedure, and if he knew that there were technical and legal issues which could affect his case. Edwards responded affirmatively to each question.
The trial court continually warned Edwards that “most people who are charged with serious crimes choose to be represented by counsel,” that the court would appoint counsel if he so chose, that “in [his] experience, all [his] years on this bench, even lawyers
[TRIAL COURT]: Do you understand everything I have said to you?
EDWARDS: Yes, I do, sir.
[TRIAL COURT]: Any questions about what I said to you?
EDWARDS: No, sir.
[TRIAL COURT]: Now, you still want to represent yourself?
EDWARDS: Yes.
The trial court persistently warned Edwards of the pitfalls of self-representation, and Edwards acknowledged that he understood the consequences of his choice to waive his right to counsel. Given this extensive colloquy between the trial court and Edwards regarding the disadvantages of exercising his right to self-representation, it cannot be said that his decision to act as his own attorney was anything but “knowing.” There is not a single unequivocal response, nor is there any indication that Edwards is unsure of the consequences of his actions. Moreover, his repeated and unambiguous insistence that he wished to act as his own counsel amply demonstrates both the “unequivocal” and “voluntary” nature of his decision.
Finally, judges and attorneys are intimately familiar with the numerous rules and procedural intricacies that have evolved over time to ensure fairness and decorum in courtroom proceedings. Given our training and experience, it is often difficult—as it apparently was for the trial court here— to conclude that anyone who decides to represent their own interests in a courtroom on a serious criminal offense is making an “intelligent” decision. Nonetheless, in the context of constitutional jurisprudence, an “intelligent” decision means one that is “considered.” See Faretta, 422 U.S. at 835,
Thus, contrary to the majority’s assertion that we have a “silent record” regarding the validity of the waiver, I believe that the record fully supports the implicit factual finding that the trial court accepted Edwards’ waiver as clear, unequivocal, knowing, intelligent, and voluntary. This finding is magnified by what the majority terms as the “trial court’s instinctual desire to protect Edwards from himself,” thus leading it to a “legally irrelevant” and erroneous conclusion. The inescapable conclusion is that the trial court denied Edwards his Sixth Amendment right to self-representation based solely upon the fact that it found Edwards lacking in the professional skills to “handle a case before a jury that you can potentially get life in the penitentiary.” The trial court summarized its laudable, but constitutionally infirm, reasoning by succinctly stating, “You need legal representation.”
. The Commonwealth also argues that Edwards’ request was not timely made. I agree with the majority’s holding and analysis that this argument is without merit.
. The majority contends that by focusing on "competence,” the trial court erred in applying the correct legal standard for a Faretta inquiry. In the case relied upon by the majority, Frazier-El,
If this particular statement by the court was intended as an explanation for its refusal to permit Frazier-El to proceed pro se, as Frazier-El now contends, it was an error of law. See Godinez [v. Moran], 509 U.S. [389,] 399,
Id. at 560-61. In other words, the Fourth Circuit affirmed the trial court’s denial of Frazier-El’s request because "[t]he circumstances surrounding Frazier-El’s purported waiver of his right to counsel and the assertion of his right to proceed without counsel in this case suggest more a manipulation of the system than an unequivocal desire to invoke his right of self-representation." Id. at 560. Thus, taking the record as a whole, the trial court was "justified, when confronted with FrazierEl’s vacillation between his request for substitute counsel and his request for self-representation, in insisting that Frazier-El proceed with appointed counsel.” Id.
Unlike in Frazier-El, there is no finding by the trial court that Edwards' request was an attempt to manipulate the system. Although he had been represented by several lawyers, and was difficult to get along with, the record does not reflect that his request was used as a tactic for delay, see United States v. Lawrence,
. Many other jurisdictions reverse and remand for a new trial to remedy a trial court’s error in denying a defendant his Sixth Amendment right to self-representation. See Akins v. State,
