People v. SilburnPeople v. Silburn
Lead Opinion
We are called upon to decide two issues in this appeal. Defendant contends that he was denied his right of self-representation
I.
In August of 2011, the police lawfully stopped defendant while he was driving a stolen car with a license that had been suspended and revoked. Defendant was searched and a loaded .45 caliber handgun was found in his jacket pocket. After the police seized the gun, defendant spontaneously declared that it was a good thing the officer had his gun drawn as quickly as he did because defendant would have shot him. Later at the precinct, defendant waived his Miranda rights and admitted to stealing the car at gunpoint. Toward the end of the 15-minute interview, defendant became agitated. He was later taken by police to a hospital for a psychiatric evaluation. Defendant was thereafter indicted for criminal possession of a weapon in the second degree, aggravated unlicensed operation of a motor vehicle in the third degree, and related counts. In August 2012, two psychiatrists examined defendant pursuant to CPL article 730, and a competency hearing was held. At the hearing, defense counsel questioned one of the examining psychiatrists about defendant's history of mental illness, and discussed the symptoms of schizophrenia that defendant exhibited. Defendant was found competent to stand trial.
A year later in 2013, and two weeks before trial, defendant requested to "proceed as pro se." The trial court inquired if defendant wanted to represent himself, to which defendant replied that he did "[n]ot just [want to] represent myself, but having limitation with my counsel." The court plainly informed defendant that "[y]ou either have a lawyer, or you don't have a lawyer.... You choose to represent yourself, you sit there by yourself. You want to have a lawyer, you have a lawyer." The court then asked, "All right?" The record does not reflect defendant's response, if any, and defense counsel continued to represent defendant at trial.
Defendant raised the issue again after voir dire, when defense counsel informed the court that defendant had wanted to question the prospective jurors and sought to question the
During trial, despite having never served a
The jury convicted defendant of criminal possession of a weapon in the second degree, aggravated unlicensed operation of a motor vehicle in the third degree, and a related offense. The Appellate Division affirmed, determining that defendant's request to proceed pro se was equivocal since defendant asked only to proceed pro se with standby counsel (
A Judge of this Court granted defendant leave to appeal (
II.
Defendant argues that the trial court violated his constitutional right to self-representation when it denied his requests
Under the New York and Federal Constitutions, a defendant has the right to proceed without counsel and to represent him or herself at trial, and the State may not force counsel upon a defendant (see
"A defendant in a criminal case may invoke the right to defend pro se provided: (1) the request is unequivocal and timely asserted, (2) there has been a knowing and intelligent waiver of the right to counsel, and (3) the defendant has not engaged in conduct which would prevent the fair and orderly exposition of the issues" (, 17, 36 N.Y.2d 10 , 364 N.Y.S.2d 837 [1974] ). 324 N.E.2d 322
If a defendant asserts a timely and unequivocal request to proceed pro se, then the trial court must "conduct a 'searching inquiry' to ensure that the defendant's waiver [of the right to counsel] is knowing, intelligent, and voluntary" ( Matter of Kathleen K. [Steven K.],
In clarifying what "unequivocally" means, we have explained that the pro se request must be "clearly and unconditionally presented to the trial court," so that "convicted defendants may not pervert the system by subsequently claiming a denial of their pro se right" ( McIntyre,
In People v. Mirenda,
Indeed, at the outset of the second request, defense counsel informed the court that defendant wanted to question prospective jurors and witnesses in addition to the questioning done by counsel. The court again explained to defendant that the court did not allow "standby counsel," and that defendant had either the right to represent himself without counsel or the right to have an attorney. Defendant responded that the Sixth Amendment gave him the right to the aid and assistance of counsel. Defendant's invocation of the Sixth Amendment during the colloquy and his evident desire to have counsel
III.
In interpreting a statute, "our primary consideration is to discern аnd give effect to the Legislature's intention" ( Matter of Albany Law School v New York State Off. of Mental Retardation & Dev. Disabilities,
The precursor to
Indeed, as evidenced by the statute's bill jacket, the purpose of the 1982 amendments was to "provide for a simplified and expanded exchange of [evidentiary] information between the prosecution and defense" before trial (Governor's Mem approving L 1982, ch 558, 1982 Legis Ann at 186). This process would "markedly increase[ ]" the "efficiency and fairness of criminal
evidentiary discovery practices" with the goal of reducing "judicial delay" (id. ). As we explained,
"The Legislature enactedCPL 250.10 to promote procedural fairness and orderliness. The statute is designed to create a format by which psychiatric evidence may be prepared and presented manageably and efficiently, eliminating the element of surprise. With that in mind the Legislature has formulated a procedure that depends upon proper notification, adversarial examination, and preclusion when appropriate" ( Almonor,, 93 N.Y.2d at 577-578, 693 N.Y.S.2d 861 ). 715 N.E.2d 1054
That is, the very purpose behind the statute was to eliminate surprise and promote fairness at trial by allowing the People, upon defendant's timely notice, the opportunity pretrial to obtain otherwise privileged psychiatric evidence to rebut defendant's affirmative use of the evidence at trial. Therefore, allowing a defendant to use unnoticed psychiatric evidence without good cause shown would be contrary to the "legislative intent ... to ensure the prosecution sufficient opportunity to obtain the psychiatric and other evidence necessary to refute the proffered defense of mental infirmity" ( People v . Berk ,
The legislature also intended to avoid the delay that would result from the surprise presentation of such evidence at trial, which, in fairness, would necessitate an adjournment so that the People could have the defendant examined by their own mental health expert and obtain the relevant medical records (see
Moreover, our prior case law demonstrates that we have repeatedly construed the statute broadly in order to carry out
People v. Kohl,
As concluded by the courts below, the applicability of
B.
Defendant next argues that the record belies the trial court's finding that preclusion of the evidence was warranted on the ground that the surprise evidence prejudiced the Peoplе. In support, he claims the record shows that the People were aware early on that defendant had a mental illness. However, there are two critical flaws in this argument. First, knowing that defendant had a mental illness did not put the prosecutor on notice that defendant intended to introduce evidence at trial that his diagnosis rendered him incapable of giving a voluntary statement to the police. To be sure, defendant never even raised this voluntariness argument at his Huntley hearing. Second, defendant's contention ignores the law that his own medical records are privileged until he waives the privilege (see Matter of Lee,
Finally, defendant contends that the court's refusal to excuse the lack of nоtice was an abuse of discretion since under the statute, the court may accept late notice "[i]n the interest of justice and for good cause shown" (
The trial court, after examining the psychiatrist outside the presence of the jury, precluded the evidence-a police form containing a mere diagnosis-as speculative on the issue of voluntariness and because the People had no opportunity to examine defendant or obtain rebuttal evidence. That the psychiatrist testified that he had no recollection of the examination of defendant is also part of this equation. So too is the fact that there is no indication in the record that a diagnosis of bipolar disorder renders a defendant incapable of knowingly and voluntarily waiving his Miranda rights. Thus, the court reasonably decided to preclude the evidence at trial. Defendant's claim that the trial court abused its discretion in doing so is meritless.
Accordingly, the order of the Appellate Division should be affirmed.
Notes
In the context of a defendant's constitutional right to counsel, we stated that a defendant asking the police "should I speak to a lawyer" did not amount to an unequivocal request for an attorney, such that his right to counsel did not attach and the statement he made to the police was not in violation of the Federal and State Constitutions (see People v. Hicks,
The fast food analogy offered in Judge Wilson's dissent, joined by Judge Rivera, is both inapt and inappropriate. Whatever its intended effect, the use of such a rhetorical device trivializes the constitutional rights of defendant implicated on this appeal. In any event, the purpоrted analogy presented by the dissent is completely defeated by the factual record.
In interpreting the federal right to self-representation under Faretta, the Second Circuit has pointedly explained,
"[t]he purpose of requiring that a criminal defendant make an 'unequivocal' request to waive counsel is twofold. First, unless the request is unambiguous and unequivocal, a convicted defendant could have a colorable Sixth Amendment appeal regardless of how the trial judge rules: if his request is denied, he will assert the denial of his right to self-representation; if it is granted, he will assert the denial of his right to counsel. Second, the requirement of an unambiguous and unequivocal request inhibits any 'deliberate plot to manipulate the court by alternatively requesting, then waiving counsel' " (Williams v. Bartlett,, 100-101 [2d Cir.1994] [internal citations omitted] ). 44 F.3d 95
The cases relied on by the Wilson dissent (People v. Crampe,
The Wilson dissent's alternative conclusion-the trial court abused its discretion in denying defendant's request for hybrid representation-is one that is not urged by defendant on this appeal nor was it raised below (see Wilson dissenting op. at 166-167,
Contrary to the musings of the dissent, cases where confessions constitute the primary evidence of guilt are not rare and since 1881, the legislature has included statutory safeguards requiring corroboration of a defendant's confession (see Wilson dissenting op. at 169-170 n. 2,
In the context of an ineffective assistance of counsel claim, we treated a defendant's challenge to the voluntariness of his confession as a "defense" (see People v. Oliveras,
The purpose behind the notice requirement in former Code of Criminal Procedure § 336 was to ensure that the People were not unfairly surprised at trial. According to the Legislative Memoranda accompanying the former provision,
"At present, there is no provision in the Code requiring notice that the defendant intends to present evidence of mental disease or defect. In fact, he may offer such evidence under a plea of not guilty without the specification of insanity and, if the defense is sustained, the jury may acquit. This, obviously, may place the People at an unfair disadvantage in that, surprised by the sudden interposition of this collateral defense, they may have insufficient opportunity to obtain the psychiatric and other evidence necessary to refute it and to establish, as they must, the defendant's sanity beyond a reasonable doubt. The bill would rectify this situation" (Mem of Temp Commn on Rev of the Penal Law and Crim Code following L 1963, ch 595, reprinted in 1963 McKinney's Session Laws of N.Y. at 1986; see also People v. Berk,, 263-264, 88 N.Y.2d 257 , 644 N.Y.S.2d 658 [1996] ). 667 N.E.2d 308
Despite the dissent's recognition that "a court cannot amend a statute by inserting words that are not there, nor will a court read into a statute a provision which the Legislature did not see fit to enact" (Matter of Chemical Specialties Mfrs. Assn. v. Jorling,
The dissent's discussion as to
Even if the psychiatric evidence at issue here had been erroneously excluded, its preclusion would have been harmless beyond a reasonable doubt as there was overwhelming evidence of guilt and no significant probability that preclusion impacted the verdict (see People v. Crimmins,
Dissenting Opinion
"The right of an accused in a criminal trial to due process is, in essence, the right to a fair opportunity to defend against the State's accusations" ( Chambers v. Mississippi,
I.
"[T]he right to self-represеntation embodies one of the most cherished ideals of our culture; the right of an individual to determine his own destiny" ( People v. McIntyre,
Therefore, when a defendant makes a timely and unequivocal request to proceed pro se, we require trial courts to ascertain whether there has been a knowing and intelligent waiver of the right to counsel and whether the defendant's conduct would prevent a fair and orderly trial ( McIntyre,
The facts are as presented in the majority opinion. Two weeks before trial, Mr. Silburn requested to proceed pro se.
''THE DEFENDANT: Your Honor, excuse me, your Honor.
''THE COURT: Yes?
''THE DEFENDANT: I would like to know if I could proceed as pro se.
''MR. CHAIKEN [DEFENSE COUNSEL]: Pro se.
''THE COURT: In other words, you want to represent yourself?
''THE DEFENDANT: Not just that represent mysеlf, but having limitation with mycounsel-
''THE COURT: No, I don't do that. You either have a lawyer, or you don't have a lawyer. I don't have legal advisors. You choose to represent yourself, you sit there by yourself. You want to have a lawyer, you have a lawyer.
''All Right?
''August 7 for conference.
''August 13 for trial.''
As that transcript makes clear, Mr. Silburn began by stating his unequivocal request to proceed pro se. He followed it with what any reader of McIntyre, "the foundation stone of our self-representation jurisprudence", and its progeny would have considered a second unequivocal expression of that desire ( People v. Crampe,
Nothing in Mr. Silburn's two statements-his only statements before the court summarily concluded the hearing-supports the majority's conclusion that his request to proceed pro se was conditioned on, rather than merely eventually combined with, his request for standby counsel. Consider the following illustration:
CUSTOMER: Sir, excuse me, sir.
CASHIER: Yes?
CUSTOMER: I would like to order a Big Burger.
CASHIER: In other words, you want two all-beef patties, special sauce, lettuce, cheese, pickles, onions on a sesame seed bun?
CUSTOMER: Not just that, but I would also like fries with it-
CASHIER: No, we don't do that. You either have a Big Burger, or you have fries. We don't serve combinations. You choose a Big Burger, you sit there without fries. You want fries, you have fries only.
All Right?
Next customer.
Would the cashier be justified in assuming the customer no longer desired a Big Burger and delivering an order of fries only? Should the customer go hungry for using a correlative conjunction?
There are two important differences that make Mr. Silburn's situation grave, when compared to a fast-food fiasco. First, the court is tasked with determining which of two fundamental constitutional rights Mr. Silburn wishes to choose, if he must forgo one. That determination demands far more concern and precision than a simple lunch order.
Moreover, even assuming Mr. Silburn could be understood to have conditioned his request for self-representation on his request for the appointment of standby counsel, trial courts presented with those two requests should, if they deny the second, be required to ask defendants whether they prefer to reassert or recant the first. Mr. Silburn did not, as the majority would have it, "remain equivocal despite having been informed of the scope of his right" (majority op. at 153,
The injustice of the majority's approach is compounded by the fact that defendants reasonably expect their requests for standby counsel to be granted. It is unfair to punish a defendant for requesting what all assume-on the basis of our prior case law, their prior trials, the attestations of fellow inmates, the American Bar Association's (ABA) recommendations, or a colorable reading of the Sixth Amendment (see McIntyre,
The majority does not engage with Mr. Silburn's first request to proceed pro se. Instead, it rests its analysis on his second request, made two weeks after the first (majority op. at 151,
In any event, Supreme Court also erred in refusing to contemplate even the possibility of assigning standby counsel.
Whether to permit standby counsel is "a subject for the discretion of the Trial Judge" ( Mirenda at 266,
That antithesis-not the abuse of discretion, but its absence-
Although we have determined that defendants choosing to proceed pro se have no constitutional right to standby counsel, that conclusion does not mean the decision should be left to the personal preferences of each trial judge, without consideration of the defendant's abilities, the nature, length and complexity of the case, or other factors bearing on the value of standby counsel. Pro se defendants may have no constitutional right to standby counsel, but that proposition does not mean that the availability of standby counsel should turn on the vicissitudes of which judge they happen to draw, whose discretionary decision will be unreviewable. Uniformity could be provided by statute or court rule.
II.
As I explain below, the majority has misinterpreted
A.
The majority interprets
"(a) Evidence of mental disease or defect to be offered by the dеfendant in connection with the affirmative defense of lack of criminal responsibility by reason of mental disease or defect.
"(b) Evidence of mental disease or defect to be offered by the defendant in connection with the affirmative defense of extreme emotional disturbance as defined in paragraph (a) of subdivision one of section 125.25 of the penal law and paragraph (a) of subdivision two of section 125.27 of the penal law.
"(c) Evidence of mental disease or defect to be offered by the defendant in connection with any other defense not specified in the preceding paragraphs." (CPL 250.10 [1] ).
The question is whether to read
The majority and I agree that in approaching that question "our primary consideration is to discern and give effect to the Legislature's intention" and that "[e]vidence of legislative intent is 'first sought in the words the Legislature has used' " (majority op. at 155,
Here, the plain language of
It is unsurprising, then, that prior decisions of this Court have understood
that "serves to negate a specific intent necessary to establish guilt" (
The extension of the statute from insanity to other psychiatric defenses followed a similar rationale. In 1981, we applied the logic of Code of Criminal Procedure § 336, by then operating under its present designation in the CPL, to a defendant's effort to introduce psychiatric evidence showing he suffered a memory impairment and thus lacked the intent to provide false testimony that was an essential element of the People's perjury charge ( People v. Segal,
The statutory context of
"This result does not offend the important policy considerations underlying the notice requirement" ( Gonzalez,
Here, the very fact that the error is harmless reinforces the difference between a "defense"-at which the statute is directed-and the weight or admissibility of evidence at trial, at which the statute is not directed. That is, even if the jury cоmpletely credited the psychiatric testimony, treated Mr. Silburn's Miranda waiver as ineffective, and utterly disregarded his subsequent inculpatory statements, no reasonable jury could have acquitted him. The psychiatric evidence, therefore, was unrelated to any "other defense", and is not subject to
B.
Trial courts have the discretion to permit belated notice of an intent to proffer psychiatric evidence at any time "in the interest of justice and for good cause shown" (
The majority's complaint that my illustration trivializes Mr. Silburn's constitutional rights underscores their error: a cashier would not treat a customer's request for a burger and fries this way; should a court treat Mr. Silburn's request for his constitutional rights with less or greater regard (majority op. at 152 n. 2,
The flaws in the majority's definition can be illustrated by the following hypothetical: Imagine the police witnessed a defendant assault a fellow bar patron. That defendant tells her friends not to worry-she has a great defense-she intends to argue a video of the events in question should be suppressed as the fruit of an illegal search. Those friends would rightly object that that is no defense at all, and that the defendant should instead establish, e.g., an alibi, her infancy, or that she acted in self-defense.
The majority hypothesizes that in some cases a defendant's confession is the sole or overwhelming evidence of guilt (majority op. at 154,
Last year's Report of the Advisory Committee on Criminal Law and Procedure to the Chief Administrative Judge of the Courts of the Stаte of New York (Jan. 2017) is similarly suggestive. Its discussion of
The difference is plainly rooted in type rather than timing. The legislature's intent in passing
Dissenting Opinion
Defendant Spence Silburn claims he was deprived of his constitutional right to self-representation when the trial judge treated his unequivocal request to proceed pro se as if it were conditioned on receiving the assistance of standby counsel. This particular trial judge had a uniform rule against "legal advisors," and informed the defendant that, in his courtroom, "[y]ou either have a lawyer, or you don't have a lawyer." The judge assumed that, given this binary choice, the defendant retracted his request to represent himself.
The judge's policy of denying all requests for standby counsel, regardless of the seriousness of the case or the defendant's sentencing exposure, appears based on this Court's decision in People v. Mirenda, in which a majority of this Court held that "[a] defendant has no constitutional right ... to the assistance of a lawyer while conducting a pro se defense" (
Nevertheless, defendant does not challenge whether the trial judge's unwavering rule against standby counsel is permissible under Mirenda, nor does he directly attack Mirenda 's holding. Instead, he claims that he made an unequivocal request to proceed pro se, not conditioned on his additional request for legal assistance. Given defendant's challenge as limited on appeal
Order affirmed.
Judges Stein, Fahey, Garcia and Feinman concur. Judge Wilson dissents in an opinion, in which Judge Rivera concurs in a separate dissenting opinion.
Defense counsel represented at oral argument that few New York courts bar standby counsel based on a categorical rule and the vast majority provide for their appointment.