Opinion
Defendants in criminal cases have a federal constitutional right to represent themselves.
(Faretta
v.
California
(1975)
Because California law—which, of course, is subject to the United States Constitution—has long been that criminal defendants have no right of self-representation, we conclude that California courts may deny self-representation when the United States Constitution permits such denial. We also conclude the trial court acted within its discretion in revoking defendant’s self-representation status.
I. Facts and Procedural History
These facts are taken largely from the Court of Appeal’s opinion.
A jury convicted defendant Andrew D. Johnson of crimes arising out of two separate assaults. The facts of the crimes are irrelevant to the legal issue before us. Essentially, the evidence presented at trial showed that during the early morning hours of June 23, 2007, defendant committed a brutal sexual assault on a Vallejo bartender. Later that same day, he hit the patron of a sandwich shop on the head with a metal chair, rendering him temporarily unconscious.
A single judge, Judge Allan P. Carter, was assigned to the case for all proceedings. Defendant was originally represented by counsel, but on July 5, 2007, he asked to represent himself, and Judge Carter allowed him to do so. He represented himself at various pretrial proceedings through January 2008. *524 On January 30, 2008, Judge Carter expressed a doubt about defendant’s competence to be tried due to his unusual behavior and the nature and tone of letters defendant had written to the court and others. The court appointed an attorney to provide an opinion on defendant’s competency and to represent defendant at any competency hearing. After meeting with defendant, the attorney told the court he believed it was a “close call,” but he shared the court’s concern about defendant’s competency. The court suspended the criminal proceedings and appointed two experts, and later a third, to evaluate defendant’s competency. Defendant refused to meet with any of these experts.
A jury trial on defendant’s competency was held in October 2008. Dr. Kathleen O’Meara testified for the defense. She said there was “a very strong possibility” that defendant had some type of delusional thought disorder coupled with conspiracy paranoia and, “err[ingj in the direction of caution,” concluded that it was “more likely than not” that defendant was not competent. She said she believed defendant understood the nature and purpose of the proceedings against him, at least to some degree, but that his paranoia might impair his ability to cooperate with defense counsel in a rational manner. She based her opinion on her review of transcripts of the pretrial proceedings, defendant’s letters, defendant’s medical chart, and conversations with correctional staff. She said it was “very unusual” to offer an opinion without having interviewed the defendant and that her opinion was “therefore somewhat speculative.” She had reservations about her opinion and said that defendant could be malingering.
Two psychiatrists testified for the prosecution. Dr. Herb McGrew testified that it was not possible to form an opinion on competency without interviewing defendant. He reviewed collateral materials including court transcripts and defendant’s letters and medical chart. He said these materials suggested the possibility of mental illness but no conclusion could be reached without interviewing defendant; one can be “extremely crazy and be competent” so an interview is essential in determining competency. Dr. Murray Eiland also testified that an interview was essential and that he could not form an opinion on competency without one.
The court instructed the jury, “The defendant is mentally competent to stand trial if he can do all of the following: One, understand the nature and purpose of the criminal proceedings again[st] him; [1] Two, assist in a rational manner his attorney in presenting his defense or conduct his own defense in a rational manner; and, HQ Three, understand his own status and condition in the criminal proceedings.”
On October 28, 2008, the jury found defendant competent to stand trial. The court reinstated criminal proceedings and defendant resumed self-representation.
*525
Two days later, the court expressed concern about defendant’s ability to represent himself. It told defendant, “You may be competent to stand trial, but I’m not convinced that you are competent to represent yourself.” It noted that in
Edwards, supra,
The court found that defendant met this description. It catalogued his bizarre, noncompliant, and disruptive behavior in court and in jail. It found that defendant “has disorganized thinking, deficits in sustaining attention and concentration, impaired expressive abilities, anxiety and other common symptoms of severe mental illnesses which can impair his ability to play the significantly expanded role required for self-representation, even if he can play the lesser role of a represented defendant.” Over defendant’s objection, the court revoked his self-representation status and appointed the attorney who had represented him during the competency proceeding to represent him in the criminal proceedings. That attorney represented him from that point on, including at trial and sentencing.
The trial court sentenced defendant to prison, and he appealed. The Court of Appeal affirmed the judgment. It rejected defendant’s argument that the trial court erred in revoking his self-representation status. We granted defendant’s petition for review limited to the question regarding defendant’s self-representation.
II. Discussion
In
Edwards, supra,
A.
Whether California courts may deny self-representation when
Indiana v. Edwards
(2008)
In
Faretta,
supra,
When the Legislature enacted Penal Code section 686.1, it made this finding: “The Legislature finds that persons representing themselves cause unnecessary delays in the trials of charges against them; that trials are extended by such persons representing themselves; and that orderly trial procedures are disrupted. Self-representation places a heavy burden upon the administration of criminal justice without any advantages accruing to those persons who desire to represent themselves.” (Stats. 1971, ch. 1800, § 6, p. 3898; see
People v. Sharp, supra,
Obviously, California law is subject to the United States Constitution, including the Sixth Amendment right to self-representation as established in
Faretta, supra,
“In the wake of
Faretta’’s
strong constitutional statement, California courts tended to view the federal self-representation right as absolute, assuming a valid waiver of counsel.”
(Taylor, supra,
In 2008, however, the high court decided
Edwards, supra,
The
Edwards
court quoted an amicus curiae brief from the American Psychiatric Association stating that “ ‘[disorganized thinking, deficits in sustaining attention and concentration, impaired expressive abilities, anxiety, and other common symptoms of severe mental illnesses can impair the defendant’s ability to play the significantly expanded role required for self-representation even if he can play the lesser role of represented defendant.’ ”
(Edwards, supra,
“The court in Edwards did not hold . . . that due process mandates a higher standard of mental competence for self-representation than for trial with counsel. The Edwards court held only that states may, without running afoul of Faretta, impose a higher standard . . . .” (Taylor, supra, 47 Cal.4th at pp. 877-878.) In Taylor, the trial court had permitted a defendant who was competent to stand trial and waive counsel to represent himself. Because the Edwards rule is permissive, not mandatory, we held that Edwards “does not support a claim of federal constitutional error in a case like the present one, in which defendant’s request to represent himself was granted.” (Taylor, supra, at p. 878.) This case presents the reverse situation: the trial court denied self-representation under Edwards. We must decide whether California courts may accept Edwards’s invitation and deny self-representation to gray-area defendants.
Defendant argues that we should not accept the
Edwards
invitation. Preliminarily, he argues that the courts below violated the rule that “all tribunals exercising inferior jurisdiction are required to follow decisions of courts exercising superior jurisdiction,” and, specifically, “decisions of this
*528
court are binding upon and must be followed by all the state courts of California.”
(Auto Equity Sales, Inc. v. Superior Court
(1962)
Defendant is incorrect. The trial court and Court of Appeal are, indeed, bound by decisions of this court. If this court had held that trial courts should not accept the
Edwards
invitation, the lower courts would have been bound to follow that holding. But this court has never so held. The cases defendant relies on did not consider the question. “ ‘[C]ases are not authority for propositions not considered.’ ”
(In re Marriage of Cornejo
(1996)
Turning to the merits, the Attorney General and amici curiae San Francisco Public Defender, California Attorneys for Criminal Justice, and the Office of the State Public Defender all argue that California courts should have discretion to deny self-representation to gray-area defendants. We agree. Indeed, to refuse to recognize such discretion would be inconsistent with California’s own law. In
People v. Floyd, supra,
*529
It remains to consider the standard for trial courts to employ when deciding whether to deny self-representation under
Edwards, supra,
Two thoughtful law review articles have suggested more specific standards. One suggested this standard: “A criminal defendant is mentally incompetent to represent himself or herself at trial if and only if a mental disorder or disability would prevent the defendant from achieving a basic understanding of the charges, law, and evidence, from formulating simple defense strategies and tactics, or from communicating with the witnesses, the court, the prosecutor, and the jury in a manner calculated to implement those strategies and tactics in at least a rudimentary manner.” (Marks, State Competence Standards for Self-Representation in a Criminal Trial: Opportunity and Danger for State Courts after Indiana v. Edwards (2010) 44 U.S.F. L.Rev. 825, 847, italics omitted (Marks).)
Drawing on “social problem-solving theory,” another article suggests a more technical standard: “[P]roblem-solving theory suggests that, to represent oneself at a criminal trial, one should possess foundational abilities to perceive problematic situations, generate alternative courses of action, maintain mental organization, and communicate decisions to a functionary of the court. Within the context of a prosecution, a defendant should also possess the ability to identify a plausible source of the prosecution, an ability to gather information to evaluate the state’s case, a willingness to attend to the prosecution, and an ability to withstand the stress of trial. Finally, for certain key decisions, such as selecting the defense to pursue at trial, a defendant should be capable of justifying a decision with a plausible reason.” (Johnston, *530 Representational Competence: Defining the Limits of the Right to Self-Representation at Trial (2011) 86 Notre Dame L.Rev. 523, 595.)
All of these suggested standards are plausible. But we are constrained by the circumstance that what is permissible is only what Edwards permits, not what pre-Faretta California law permitted. In other words, because of federal constitutional constraints, in considering the defendant’s mental state as a reason to deny self-representation, a California court may not exercise the discretion permitted under California law but solely that permitted in Edwards.
Edwards described competence to represent oneself at trial as the ability “to carry out the basic tasks needed to present [one’s] own defense without the help of counsel.” (Edwards, supra, 554 U.S. at pp. 175-176.) It also said the states may deny self-representation to those competent to stand trial but who “suffer from severe mental illness to the point where they are not competent to conduct trial proceedings by themselves.” (Id. at p. 178.) Although asked to adopt “a more specific standard,” the high court declined to do so. (Ibid.)
At this point, at least, we also think it best not to adopt a more specific standard. The discussion in
People v. Burnett, supra,
A trial court need not routinely inquire into the mental competence of a defendant seeking self-representation. It needs to do so only if it is considering denying self-representation due to doubts about the defendant’s mental competence. When a court doubts a defendant’s competence to stand trial, it “shall appoint a psychiatrist or licensed psychologist, and any other expert the court may deem appropriate, to examine the defendant.” (Pen. Code, § 1369, subd. (a).) Similarly, when it doubts the defendant’s mental competence for self-representation, it may order a psychological or psychiatric examination to inquire into that question. To minimize the risk of improperly denying self-representation to a competent defendant, “trial courts should be cautious *531 about making an incompetence finding without benefit of an expert evaluation, though the judge’s own observations of the defendant’s in-court behavior will also provide key support for an incompetence finding and should be expressly placed on the record.” (Marks, supra, 44 U.S.F. L.Rev. at p. 849.) 1
Trial courts must apply this standard cautiously. The
Edwards
court specifically declined to overrule
Faretta, supra,
B. Whether the court properly denied self-representation in this case
Defendant argues that the holding of
Edwards, supra,
Defendant also argues the record does not support the court’s ruling. As with other determinations regarding self-representation, we must defer largely to the trial court’s discretion.
(People v. Lawrence
(2009)
We see no abuse of discretion in this case. The trial judge, who had permitted defendant to represent himself for several months, revoked defendant’s self-representation status following a very careful and thorough discussion. He cited and applied the precise standard stated in
Edwards, supra,
We agree with the Court of Appeal’s assessment: “The record here supports the trial court’s conclusion that defendant, although competent to stand trial, was not competent to conduct trial proceedings by himself. A psychologist had testified at the trial-competency hearing that there was ‘a very strong possibility’ that defendant had some type of delusional thought disorder coupled with conspiracy paranoia. Defendant had represented himself for almost seven months of preliminary proceedings during which he filed a number of nonsensical motions and conducted himself in a bizarre and disruptive manner. The trial judge, who had presided over all these matters, was well acquainted with defendant’s limitations and reasonably concluded that defendant lacked the mental capacity to conduct his defense without the assistance of counsel. The court found, upon substantial evidence, that defendant ‘has disorganized thinking, deficits in sustaining attention and concentration, impaired expressive abilities, anxiety and other common symptoms of severe mental illnesses which can impair his ability to play the significantly expanded role required for self-representation, even if he can play the lesser role of a represented defendant.’ The trial judge showed great patience in permitting defendant an opportunity to represent himself but chose to deny further self-representation when it became clear that defendant was accomplishing nothing and might, in the court’s opinion, be deprived of a fair trial if allowed to continue his self-representation.”
In Edwards, the high court attached as an appendix a bizarre document the defendant had prepared as an example suggesting the common sense of the American Psychiatric Association’s observations regarding how symptoms of *533 severe mental illnesses can impair a defendant’s capability for self-representation. (Edwa rds, supra, 554 U.S. at pp. 176, 179.) Similar examples abound in the record of this case. 2
Defendant notes that the jury that had found him competent to stand trial had been instructed that to be competent, he had to be able to “assist in a rational manner his attorney in presenting his defense
or conduct his own defense in a rational
manner.” (Italics added.) He argues that this means the jury had specifically found that he
could
conduct his own defense in a rational manner. As the Court of Appeal found in a portion of its opinion not now under review, the trial court probably erred, although harmlessly, by including the italicized language. That language set too high a standard for competence to stand trial. But the jury’s verdict and the instructions did not deprive the trial court of discretion to find defendant incompetent to represent himself under
Edwards.
Whether to deny self-representation due to mental incompetence is for the court, not a jury, to determine based on all of the information available to the court. (See
Edwards, supra,
Defendant also notes that none of the experts appointed to evaluate him for trial competency had interviewed him personally. He is correct. The reason for this, however, is that defendant refused to meet with the experts. This refusal certainly handicapped the experts and made it more difficult for the jury to determine his competence to stand trial. But a defendant’s refusal to be examined does not eliminate the court’s and, ultimately, the jury’s duty (see Pen. Code, §§ 1368, 1369) to determine his competence to stand trial when a doubt exists. The court and jury must do the best they can under the circumstances. Similarly, the refusal to be examined does not, and cannot, deprive the court of discretion to deny self-representation due to defendant’s mental incompetence. The court had to, and did, do the best it could under the circumstances.
Because the record supports the trial court’s findings regarding defendant’s competence to represent himself, that court’s ruling revoking his self-representation status was within its discretion. The Court of Appeal correctly so concluded.
*534 III. Conclusion
We affirm the judgment of the Court of Appeal.
Cantil-Sakauye, C. J., Kennard, J., Baxter, J., Werdegar, J., Corrigan, J., and Liu, J., concurred.
Appellant’s petition for a rehearing was denied April 11, 2012.
Notes
“To avoid the need for repeated psychiatric examinations, a court ordering a trial-competence examination might choose to include in its order the question of self-representation competence, even if the defendant has not made a Faretta motion.” (Marks, supra, 44 U.S.F. L.Rev. at p. 849.)
As one example, defendant prepared a handwritten document containing a bizarre caption and addressed to the “Executive Office for Claims.” The first paragraph of that document states: “Efficient proffessional Salutations. As to the chief unparallel tainted tailspin exploition, incomplete concord tactical operation submission of facts. In rapid ex-parte pressing arrangment, with a bust of counterfeit ring. Inside of Superior Court department 12, with regard to all applicable factions. At center of false and deceptive copyright infringement hand manipulation practices is at ONE, California Superior Court Judge Allan Patrick Carter. Please note that in endeavoring to case targeted light into a presently dark comer, key & compelling affirmed facts can be further examined online under the cover or disguise of Federal Pace Service. The factually correct in case and key point, keeping all enclosed documents sealed, to applicable loophole composite design. Is complete case number 2:08-CV-00462.”
