Erwin Alexander EDWARDS v. COMMONWEALTH of Virginia.
Record No. 1697-06-1.
Court of Appeals of Virginia, Chesapeake.
May 22, 2007.
644 S.E.2d 396
III. CONCLUSION
For the reasons stated above, we reverse King‘s conviction for possession of cocaine with intent to distribute and remand for further proceedings if the Commonwealth be so advised.
Reversed and remanded.
Josephine F. Whalen, Assistant Attorney General (Robert F. McDonnell, Attorney General, on brief), for appellee.
Present: HUMPHREYS and KELSEY, JJ., and BUMGARDNER, Senior Judge.
D. ARTHUR KELSEY, Judge.
A jury convicted Erwin Alexander Edwards of distribution of cocaine, his second or subsequent offense, in violation of
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 railroad” him. When the court expressed skepticism, Edwards retorted: “You ain‘t the judge of me. The jury is. Get it right.” “That motherfucker [speaking of his fourth lawyer],” Edwards snarled, “Man, you‘re fired.” At that, the trial judge ordered Edwards out of the courtroom and granted the fourth attorney‘s request to withdraw. A fifth lawyer was appointed, whom Edwards likewise rejected. The court released this attorney as well and appointed a sixth lawyer to represent Edwards.
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
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, but 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.1
II.
A. THE FARETTA RIGHT OF SELF-REPRESENTATION
The Sixth Amendment guarantees a criminal defendant “the Assistance of Counsel for his defence.”
To be successful, a Faretta request must be (i) timely, (ii) clear and unequivocal, and (iii) “voluntarily, knowingly, and intelligently made.” Thomas v. Commonwealth, 260 Va. 553, 558, 539 S.E.2d 79, 82 (2000) (footnote omitted) (employing criteria outlined in United States v. Frazier-El, 204 F.3d 553, 558 (4th Cir.2000), which “detailed the requirements for a valid assertion of the right of self-representation“); see also United States v. Bush, 404 F.3d 263, 271 (4th Cir.2005). Aware of the subterfuges that sometimes accompany Faretta requests, courts also insist that they not be used as a “tactic to secure delay,” Stockton v. Commonwealth, 241 Va. 192, 203 & n. 3, 402 S.E.2d 196, 202 & n. 3 (1991), or “for disruption, for distortion of the system, or for the manipulation of the trial process,” Frazier-El, 204 F.3d at 560 (citations omitted); see also United States v. Lawrence, 605 F.2d 1321, 1324-25 (4th Cir.1979).
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, 404 F.3d at 271. “A trial court must be permitted to distinguish between a manipulative effort to present particular arguments and a sincere desire to dispense with the benefits of counsel.” Id. (quoting Frazier-El, 204 F.3d at 560). For the same reason, a defendant shifting “back and forth in his position with respect to self-representation” may be found to have “forfeited his right to
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 penitentiary.” Edwards “had no legal training,” the court noted, to help him 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, 528 U.S. at 161 (citing John F. Decker, The Sixth Amendment Right to Shoot Oneself in the Foot: An Assessment of the Guarantee of Self-Representation Twenty Years after Faretta, 6 Seton Hall Const. L.J. 483, 598 (1996)). The trial court‘s instinctual desire to protect Edwards from himself can hardly be criticized as irreflective. It was, nonetheless, legally irrelevant.
Under settled principles, a defendant‘s “technical legal knowledge” is not “relevant” to the Faretta judicial inquiry. Godinez v. Moran, 509 U.S. 389, 400, 113 S.Ct. 2680, 2687, 125 L.Ed.2d 321 (1993) (quoting Faretta, 422 U.S. at 836, 95 S.Ct. at 2541); see also Thomas, 260 Va. at 560, 539 S.E.2d at 83. Though the defendant‘s choice to appear pro se may be
C. RIGHT RESULT FOR THE WRONG REASON
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, 260 Va. 482, 492, 538 S.E.2d 296, 301 (2000); Blackman v. Commonwealth, 45 Va.App. 633, 642, 613 S.E.2d 460, 465 (2005). The Commonwealth advances two reasons why, consistent with the correct legal standard, the Faretta request was properly denied. We find neither persuasive.
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, 269 Va. 451, 502, 619 S.E.2d 16, 45 (2005) (adopting standard employed by United States v. Lawrence, 605 F.2d 1321, 1325 (4th Cir.1979)). “The federal courts which have examined the issue universally agree that an assertion of the right of self-representation, even as late as the morning of trial, is timely as a matter of law if it precedes the seating of the jury.” Thomas, 260 Va. at 559, 539 S.E.2d at 82 (citations omitted). Though
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, 241 Va. at 203 & n. 3, 402 S.E.2d at 202 & n. 3 (citing Fritz v. Spalding, 682 F.2d 782, 784-85 (9th Cir.1982)); see also Bush, 404 F.3d at 272; Frazier-El, 204 F.3d at 560; Lawrence, 605 F.2d at 1324. Here, however, Edwards requested permission on the morning of trial to “proceed without a lawyer today.” The court‘s colloquy with Edwards reminded him there would be no continuance of the trial. Edwards said he understood but still wanted to represent himself. Given these facts, we cannot hold as a matter of law that Edwards‘s Faretta request would have affected the timeliness of the trial.
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, 204 F.3d at 558-59. Even a perfectly clear request can rest upon an equivocation,
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, 204 F.3d at 558-59; see also Bush, 404 F.3d at 271. “In ambiguous situations created by a defendant‘s vacillation or manipulation, we must ascribe a ‘constitutional primacy’ to the right to counsel because this right serves both the individual and collective good, as opposed to only the individual interests served by protecting the right of self-representation.” Frazier-El, 204 F.3d at 559 (citations omitted); see also Bush, 404 F.3d at 271.
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, 541 U.S. 77, 89, 124 S.Ct. 1379, 1388, 158 L.Ed.2d 209 (2004) (quoting Faretta, 422 U.S. at 835, 95 S.Ct. at 2541). This requirement ensures the defendant “actually does understand the significance and consequences of a particular decision and whether the decision is uncoerced.” Godinez, 509 U.S. at 401 n. 12, 113 S.Ct. at 2687 n. 12 (emphasis in original).
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
Given its singular focus on legal competence, the trial court did not resolve the factual disputes inherent in the “clear and unequivocal” and “knowingly, voluntarily, and intelligently” requirements. We certainly cannot do so on appeal. See Orndorff v. Commonwealth, 271 Va. 486, 505, 628 S.E.2d 344, 355 (2006) (finding “standard of appellate review” could not be applied where “circuit court employed an improper legal standard in exercising its discretionary function“). Whether a defendant‘s in-court colloquy with a trial judge “clearly and unequivocally” invokes the right of self-representation involves factual determinations difficult, if not impossible, to make from a silent paper record. Fields v. Murray, 49 F.3d 1024, 1031 (4th Cir.1995) (en banc). As the Fourth Circuit has explained:
The clarity and unequivocality 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.
For the same reason, “the trial judge has the duty to determine whether such a waiver is voluntarily and intelligent-
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. The right of self-representation, after all, “entails a waiver of the right to counsel,” Thomas, 260 Va. at 558, 539 S.E.2d at 82 (quoting Frazier-El, 204 F.3d at 558), a waiver of the sort we do not ordinarily presume. Nor can we simply review the facts de novo, as the Commonwealth seems to suggest, and reject as a matter of law Edwards‘s request for a pro se retrial.
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, 449 U.S. 361, 364, 101 S.Ct. 665, 667-68, 66 L.Ed.2d 564 (1981) (emphasis added); see also Rushen v. Spain, 464 U.S. 114, 118, 104 S.Ct. 453, 455, 78 L.Ed.2d 267 (1983). A tailored remedy is “one that as much as possible restores the defendant to the circumstances that would have existed had there been no constitutional error.” United States v. Carmichael, 216 F.3d 224, 227 (2d Cir.2000). Thus, we must “identify and then neutralize the taint” by calibrating the judicial
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.2
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, 35 Cal.4th 1, 23 Cal.Rptr.3d 482, 104 P.3d 837, 844 (2005) (holding that retrial was required if trial court on remand finds defendant‘s Faretta right was violated).3 If the court concludes, based upon facts previously presented and those offered upon remand, that Edwards‘s request fails the Faretta standard, the court should
III.
We vacate Edwards‘s convictions and remand the case to the trial court for further proceedings consistent with this opinion.
Vacated and remanded.
HUMPHREYS, J., concurring, in part, and dissenting, in part:
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 II(A), II(B), and II(C)(1). However, because I believe that there is ample support in the record to support the trial court‘s implicit finding that Edwards’ decision to represent himself was made knowingly, voluntarily, and intelligently, I respectfully dissent as to sections II(C)(2) and II(D) of the majority opinion, and instead would remand for a new trial at which Edwards can exercise his constitutional right to represent himself.
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.4 The majority holds that in this case, the trial judge focused solely on “legal competence,” and failed to make the requisite factual finding regarding the validity of the waiver. The majority states that “[w]hether a defendant‘s in-court colloquy with a trial judge ‘clearly and unequivocally’ invokes the right of self-representation involves factual determinations [that]
“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, 204 F.3d 553, 558 (4th Cir.2000) (internal citations omitted). In order to be a clear and unequivocal request for counsel, the request must not be stated in uncertain terms or in an uncertain manner. See People v. Mogul, 812 P.2d 705, 709 (Colo.Ct.App. 1991). Here, Edwards asked the trial court, “is it any way I just sign my rights away and withdraw my counsel and represent myself as long as I don‘t disrupt and I understand what‘s going on and mentally I‘m capable and I take the time, then may I represent myself? [sic]” The trial court then stated, “You just indicated to me this morning that you want to proceed without a lawyer today. Is that correct?” Edwards responded, “Yes, sir.”
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, 422 U.S. 806, 95 S.Ct. 2525, 45 L.Ed.2d 562 (1975). It is only after such dialogue that a trial court can determine whether the waiver is knowing and voluntary, the request for self-representation is unequivocal, and the defendant “knows what he is doing and his choice is made with eyes open.” Adams v. United States, 317 U.S. 269, 279, 63 S.Ct. 236, 242, 87 L.Ed. 268 (1942) (citing Johnson v. Zerbst, 304 U.S. 458, 468-69, 58 S.Ct. 1019, 1024, 82 L.Ed. 1461 (1938)).
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 in your position are represented by counsel,” and that that “while you may be legally competent to represent yourself, if you choose to do so, you do so at your own risk.” The following discussion then took place:
[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
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, 95 S.Ct. at 2541 (stating “in order to represent himself, the accused must knowingly and intelligently forgo those relinquished benefits.” Thus, “although a defendant need not himself have the skill and experience of a lawyer in order competently and intelligently to choose self-representation, he 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 and his choice is made with eyes open.” (internal citations omitted)). Considering the trial court‘s explicit finding that he was competent to make such a decision, and considering the information Edwards had available to him when he made the decision, in my view, the record here supports only one reasonable conclusion. That is, that Edwards’ decision was considered, deliberate, and therefore “intelligent.”
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
Notes
(“The competence that is required of a defendant seeking to waive his right to counsel is the competence to waive the right, not the competence to represent himself“); Faretta, 422 U.S. at 836, 95 S.Ct. at 2541 (defendant‘s technical legal knowledge “not relevant to an assessment of his knowing exercise of the right to defend himself“). But we must assume that the court‘s statement . . . refers only to the legitimacy of the request and the arguments advanced, rather than to Frazier-El‘s ability to make a knowing election of self-representation and waiver of counsel. This assumption is confirmed by what the court said next: “Frazier-El understands the nature of the proceedings and is able, if he so desires—he is an intelligent man—to assist in his own defense, if he so desires.” 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 Frazier-El‘s vacillation between his request for substitute counsel and his request for self-representation, in insisting that Frazier-El proceed with appointed counsel.” Id.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, 113 S.Ct. 2680, [2687,] 125 L.Ed.2d 321 [(1993)]
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, 605 F.2d 1321, 1324-25 (4th Cir.1979), for disruption, see Faretta, 422 U.S. at 834 n. 46, 95 S.Ct. at 2541 n. 46, for distortion of the system, see United States v. Singleton, 107 F.3d 1091, 1102 (1997), or for manipulation of the trial process, see Lawrence, 605 F.2d at 1325. Accordingly, we can assume that the trial judge found that the waiver was valid, but denied Edwards the right to self-representation based solely upon Edwards’ lack of legal expertise.
