FI L ED

U.S. COURT OF APPEAL S

EL EVENTH CI RCUI T

J UL Y 20, 2011

J OHN L EY

CL ERK [ P U B L I S H ]

I N T H E U N I T E D S T A T E S C O U R T O F A P P E A L S

F O R T H E E L E V E N T H C I R C U I T

_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _

N o

. 0 9

- 1 2 5 1 5

_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _

D

. C

. D o c k e t N o

. 0 7

- 0 0 2 8 6

- C R

- W T M

- 4

U N I T E D S T A T E S O F A M E R I C A

,

P l a i n t i f f

- A p p e l l e e

,

v e r s u s

H U N G T H I E N L Y

,

D e f e n d a n t

- A p p e l l a n t

.

_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _

A p p e a l f r o m t h e U n i t e d S t a t e s D i s t r i c t C o u r t

f o r t h e S o u t h e r n D i s t r i c t o f G e o r g i a

_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _

( J u l y 2 0

, 2 0 1 1 )

B e f o r e T J O F L A T

, W I L S O N a n d S E Y M O U R

, C i r c u i t J u d g e s

. *

T J O F L A T

, C i r c u i t J u d g e :

Honora ble Stephanie K. Sey

mour, United States Circuit J udg e for the Tenth Circuit, *

sitti ng by desig nation.I n t h i s c a s e

, w e m u s t c o n f r o n t a d i s t r i c t c o u r t ’ s d u t i e s t o a p r o s e c r i m i n a l

d e f e n d a n t

. A f

t e r t h e d e f

e n d a n t

, H u n g T h i e n L y

, a t t e m p t e d t o q u e s t i o n w i t n e s s e s i n

p r e s e n t i n g h i s d e f

e n s e a t t r i a l

, t h e d i s t r i c t c o u r t i n q u i r e d w h e t h e r L y w i s h e d t o t a k e

t h e s t a n d a n d t e s t i f

y o n h i s b e h a l f

. D u r i n g t h e e n s u i n g c o l l o q u y

, L y e x p o s e d a

m i s u n d e r s t a n d i n g o f h i s r i g h t t o t e s t i f y

. H e b e l i e v e d t h a t h e c o u l d t e s t i f y o n d i r e c t

e x a m i n a t i o n o n l y i f h e w a s b e i n g q u e s t i o n e d b y a n a t t o r n e y ; h e w a s c l e a r l y

i g n o r a n t o f h i s a b i l i t y t o p r o v i d e n a r r a t i v e t e s t i m o n y

. T h r o u g h o u t t h i s c o u r t

i n i t i a t e d c o l l o q u y

, t h e d i s t r i c t c o u r t d i d n o t c o r r e c t L y ’ s m i s u n d e r s t a n d i n g

. R a t h e r

,

i t m e r e l y i n f

o r m e d h i m t h a t h e h a d a n “ a b s o l u t e r i g h t t o t e s t i f y

. ” L y c h o s e n o t t o

t a k e t h e s t a n d a n d t h e j u r y f o u n d h i m g u i l t y a s c h a r g e d

.

L y a r g u e s o n a p p e a l t h a t t h e d i s t r i c t c o u r t e f f e c t i v e l y d e n i e d h i m h i s r i g h t t o

t e s t i f y

. W e a g r e e

. I n t h e s e c i r c u m s t a n c e s

, p a r t i c u l a r l y w h e r e t h e d i s t r i c t c o u r t

i n i t i a t e s a c o l l o q u y w i t h t h e d e f e n d a n t r e g a r d i n g h i s r i g h t t o t e s t i f y

, t h e d i s t r i c t

c o u r t i s d u t y

- b o u n d t o c o r r e c t a p r o s e d e f e n d a n t ’ s o b v i o u s m i s u n d e r s t a n d i n g o f

h i s r i g h t t o t e s t i f

y

. B e c a u s e t h i s e r r o r w a s n o t h a r m l e s s

, L y ’ s c o n v i c t i o n s c a n n o t

s t a n d

.

I

.

L y i s a m e d i c a l d o c t o r l i c e n s e d i n t h e S t a t e o f G e o r g i a t o p r a c t i c e m e d i c i n e

a n d d i s p e n s e c o n t r o l l e d s u b s t a n c e s t o p a t i e n t s

. I n S e p t e m b e r 2 0 0 7

, a S o u t h e r n

2D i s t r i c t o f G e o r g i a g r a n d j u r y i n d i c t e d L y o n 1 2 9 c o u n t s o f u n l a w f u l l y d i s p e n s i n g

c e r t a i n c o n t r o l l e d s u b s t a n c e s b y m e a n s o f w r i t t e n p r e s c r i p t i o n s m a d e “ o u t s i d e t h e

u s u a l c o u r s e o f p r o f

e s s i o n a l p r a c t i c e a n d w i t h o u t l e g i t i m a t e m e d i c a l p u r p o s e

, ” i n

v i o l a t i o n o f 2 1 U

. S

. C

. § 8 4 1 ( a ) ( 1 ) a n d 2 1 C

. F

. R

. § 1 3 0 6

. 0 4

. T h e c o n d u c t a l l e g e d 1 2

i n t h e i n d i c t m e n t s p a n n e d f r o m A p r i l 2 0 0 4 t o S e p t e m b e r 2 0 0 5 a n d i n v o l v e d

21 U.S.C. § 841(a)(1) rea ds, in pertinent par t: “(a) Unlawf

ul acts. Except as authorized 1

by this subchapter, it shall be unlaw ful for a ny person knowing ly

or intentionally

—(1) to

manufa cture , distribute, or dispense, or posse ss with intent to m anufa cture , distribute, or

dispense, a c ontrolled substance . . . .”

21 C.F.R. § 1306.04 rea ds: 2

Purpose of issue of pr escr iption.

(a) A pre scription for a

controlled substanc e to be e ffe ctive must be issued for a

leg itimate medical purpose by an individual prac titioner acting in the usual course

of his profe ssional prac tice. The responsibility for the pr oper pr escr ibing a nd

dispensing of

controlled substanc es is upon the pre scribing prac titioner, but a

corr esponding responsibility rests with the phar

macist who fills the presc ription.

An orde r purpor

ting to be a

presc ription issued not in t he usual c ourse of

profe ssional treatment or in leg itimate and authorized re sear ch is not a

presc ription within t he mea ning a nd intent of section 309 of the [C ontrolled

Substances] Act (21 U.S.C. [§] 829) and the person knowing ly filling such a

purported pr escr iption, as well as the per son issuing it, shall be subject to the

penalties provide d for violations of the pr ovisions of law rela ting to contr olled

substances.

(b) A pr escr iption may

not be issued in order

for a n individual practitioner to

obtain controlled substanc es for supply ing the individual practitioner f or the

purpose of

g ener al dispensing to patients.

(c) A pre scription may

not be issued for “ detoxi fica tion treatment” or

“maintena

nce tr eatment,” unless the pre scription is for a Sche dule I I I , I V, or V

narc otic drug approve d by the Food a

nd Drug Administration specifica lly for use

in maintenance or detoxification treatment a nd the pra ctitioner is in compliance

with require ments in § 1301.28 of this chapter.

3c o n t r o l l e d s u b s t a n c e s f a l l i n g u n d e r s c h e d u l e s I I

, I I I

, a n d I V o f 2 1 U

. S

. C

. § 8 1 2

. 3

A t h i s i n i t i a l a p p e a r a n c e b e f o r e t h e m a g i s t r a t e j u d g e o n O c t o b e r 3

, 2 0 0 7

, L y

c l a i m e d t h a t h e w a s i n d i g e n t a n d m a d e a n o r a l r e q u e s t f o r a p p o i n t e d c o u n s e l u n d e r

1 8 U

. S

. C

. § 3 0 0 6 A

. T h e G o v e r n m e n t o p p o s e d t h e m o t i o n

, a r g u i n g t h a t L y h a d

p l a c e d a l l h i s a s s e t s i n h i s w i f e ’ s n a m e a n d t h a t L y ’ s p r o f e s s e d i n d i g e n c e w a s

s p u r i o u s

. F o l l o w i n g a n i n v e s t i g a t i o n b y t h e d i s t r i c t c o u r t ’ s P r o b a t i o n O f f i c e

, t h e

m a g i s t r a t e j u d g e e n t e r e d a n o r d e r o n O c t o b e r 2 2

, 2 0 0 7

, d e n y i n g L y ’ s r e q u e s t f o r

a p p o i n t e d c o u n s e l b e c a u s e L y h a d “ s y s t e m a t i c a l l y t r a n s f e r r e d h i s a s s e t s t o h i s w i f e

. . . [ t o ] o b t a i n a p p o i n t e d c o u n s e l a t p u b l i c e x p e n s e

. ”

L y a p p e a r e d b e f

o r e t h e m a g i s t r a t e j u d g e f o r a r r a i g n m e n t o n N o v e m b e r 6

,

2 0 0 7

. A t t h a t a p p e a r a n c e

, L y o b j e c t e d t o t h e m a g i s t r a t e j u d g e ’ s O c t o b e r 2 2 o r d e r

d e n y i n g h i s r e q u e s t f

o r a p p o i n t e d c o u n s e l

. L y e x p l a i n e d t h a t

, i f t h e d i s t r i c t c o u r t

a f f i r m e d t h e o r d e r

, h e c o u l d n o t a f f o r d a n a t t o r n e y a n d t h e r e f o r e w o u l d d e f

e n d t h e

c h a r g e s p r o s e

, n o t w i t h s t a n d i n g t h a t h e l a c k e d l e g a l t r a i n i n g o r t h a t h i s c r i m i n a l

t r i a l w o u l d b e t h e f

i r s t t i m e h e w i t n e s s e d a t r i a l

. T h e m a g i s t r a t e j u d g e p o s t p o n e d

t h e a r r a i g n m e n t u n t i l a f t e r t h e d i s t r i c t c o u r t r u l e d o n L y ’ s m o t i o n f o r a p p o i n t m e n t

o f c o u n s e l

. T h e m a g i s t r a t e j u d g e t h e n e n g a g e d i n a c o l l o q u y w i t h L y t o i n f o r m

The indictment also soug ht, under 21 U.S.C. § 853, forf eiture of any proce eds of the 3

alleg ed violations and any rea l and per sonal proper

ty used to commit or fac ilitate the violations.

The indictment spec ified $185,080 in U.S. curr ency as for feitable proper

ty

.

4h i m o f t h e d a n g e r s i n h e r e n t i n r e p r e s e n t i n g h i m s e l f a t t r i a l

. A m o n g t h e s e

w a r n i n g s

, t h e m a g i s t r a t e j u d g e t o l d L y t h a t a l a w y e r ’ s a d v i c e w o u l d b e n e f i t L y ’ s

d e c i s i o n “ w h e t h e r [ h e ] s h o u l d t a k e t h e s t a n d a n d t e s t i f y ” a t t r i a l ; a n d t h a t t h e t r i a l

j u d g e c o u l d n o t “ s e r v e a s [ L y ’ s ] l a w y e r ” a n d “ c o u l d n o t c o m e t o [ h i s ] a i d ” “ i f i t

s a w t h a t [ h e w a s ] m a k i n g w h a t t h e [ j u d g e ] b e l i e v e d t o b e c r i t i c a l e r r o r s

. ”

O n N o v e m b e r 1 6

, 2 0 0 7

, t h e d i s t r i c t c o u r t a f f i r m e d t h e m a g i s t r a t e j u d g e ’ s

o r d e r r e g a r d i n g L y ’ s a b i l i t y t o a f f o r d a n a t t o r n e y

, a n d r e m a n d e d t h e c a s e t o t h e

m a g i s t r a t e j u d g e f

o r a r r a i g n m e n t a n d t o p e r m i t t h e m a g i s t r a t e j u d g e t o r e

- i n f o r m

L y o f t h e d a n g e r s o f p r o c e e d i n g p r o s e

. T h e a r r a i g n m e n t t o o k p l a c e o n D e c e m b e r

4

, 2 0 0 7

. L y r e f

u s e d t o e n t e r a p l e a

, e i t h e r o r a l l y o r i n w r i t i n g

, s o t h e m a g i s t r a t e

j u d g e d i r e c t e d t h e c l e r k t o e n t e r a p l e a o f n o t g u i l t y t o a l l c h a r g e s

. B e f o r e d o i n g

s o

, t h e m a g i s t r a t e j u d g e a g a i n w a r n e d L y o f t h e d a n g e r s o f r e p r e s e n t i n g h i m s e l f i n

c o u r t

, a n d t h a t t h e t r i a l j u d g e w o u l d n o t “ t e l l [ h i m ] h o w t o t r y t h e c a s e

, o r e v e n

a d v i s e [ h i m ] a s t o h o w [ h e ] s h o u l d d o s o

. ”

L y ’ s c a s e p r o c e e d e d t o t r i a l

. T h e G o v e r n m e n t ’ s c a s e i n c h i e f a g a i n s t L y

c o n s i s t e d o f

, a m o n g o t h e r t h i n g s : ( 1 ) e x p e r t t e s t i m o n y a b o u t t h e r e g u l a t i o n o f

c o n t r o l l e d s u b s t a n c e s ; ( 2 ) e x p e r t t e s t i m o n y r e g a r d i n g s t a n d a r d p r e s c r i p t i o n

p r a c t i c e s a n d h o w L y ’ s a c t i o n s d e v i a t e d f r o m t h o s e s t a n d a r d p r a c t i c e s ;

( 3 ) t e s t i m o n y f

r o m e l e v e n o f L y ’ s p a t i e n t s e x p l a i n i n g L y ’ s p r e s c r i p t i o n p r a c t i c e s ;

5( 4 ) t e s t i m o n y f r o m f o u r r e t a i l p h a r m a c i s t s w h o b e c a m e s u s p i c i o u s o f L y ’ s

p r a c t i c e s a n d t h e r e f

o r e s t o p p e d f

i l l i n g p r e s c r i p t i o n s w r i t t e n b y L y ; ( 5 ) e v i d e n c e

t h a t p h a r m a c e u t i c a l c o m p a n i e s s o l d l a r g e q u a n t i t i e s o f c o n t r o l l e d s u b s t a n c e s t o L y

a n d t h a t o n e c o m p a n y s t o p p e d s e l l i n g t o L y b e c a u s e o f t h e s e p u r c h a s e s ; a n d ( 6 ) t h e

r e s u l t s o f a l a w f

u l s e a r c h o f L y ’ s h o u s e a n d o f f i c e

.

A f t e r t h e G o v e r n m e n t r e s t e d

, L y c h o s e t o p u t o n a d e f e n s e

. H e c a l l e d s o m e

o f h i s p a t i e n t s t o s h o w t h a t h i s n o r m a l p r e s c r i p t i o n p r a c t i c e s w e r e b e n i g n

. T h e

d i s t r i c t c o u r t b a r r e d t h e i r t e s t i m o n y

, h o w e v e r

, a s i m p r o p e r e v i d e n c e o f p r i o r g o o d

a c t s u n d e r F e d e r a l R u l e o f E v i d e n c e 4 0 4 ( b )

. T h e c o u r t e x p l a i n e d t o L y t h a t s u c h

e v i d e n c e w a s i n a p p r o p r i a t e

, b u t t h a t L y c o u l d t e s t i f y a s t o “ w h a t k i n d o f p r a c t i c e

[ h e ] h [ a d ] a n d h o w [ h e ] h a n d l e [ d h i s ] p a t i e n t s ” a n d c o u l d c a l l w i t n e s s e s t o t e s t i f y

a b o u t t h e G o v e r n m e n t ’ s w i t n e s s e s ’ r e p u t a t i o n f o r t r u t h f u l n e s s

. L y t h e n c a l l e d t w o

w i t n e s s e s i n t h e h o p e o f i m p e a c h i n g t h e c r e d i b i l i t y o f t h e p a t i e n t s w h o h a d t e s t i f i e d

a g a i n s t h i m

. T h e t w o w i t n e s s e s

, h o w e v e r

, d i d n o t k n o w t h e r e p u t a t i o n s o f t h o s e

p a t i e n t s

. A f

t e r t h i s u n s u c c e s s f

u l a t t e m p t a t d i r e c t e x a m i n a t i o n

, L y i n f o r m e d t h e

d i s t r i c t c o u r t t h a t h e h a d n o o t h e r w i t n e s s e s t o c a l l

.

T h e c o u r t t h e n c a l l e d a s i d e

- b a r c o n f e r e n c e a n d a s k e d L y i f h e i n t e n d e d t o

t e s t i f y

. T h e t r a n s c r i p t o f t h i s c o l l o q u y r e v e a l s t h a t L y w a s u n a w a r e t h a t h e c o u l d

t e s t i f y i n n a r r a t i v e f

o r m

— t h a t h e d i d n o t n e e d a t h i r d p a r t y

, i

. e

. , a n a t t o r n e y

, t o a s k

6h i m q u e s t i o n s

— a n d t h a t t h e d i s t r i c t c o u r t d i d n o t h i n g t o c o r r e c t L y ’ s

m i s u n d e r s t a n d i n g

. T h e c o l l o q u y r e a d s :

T H E C O U R T : A l l r i g h t

, D r

. L y

, I ’ v e h e a r d y o u s a y t h a t y o u h a v e n o

m o r e w i t n e s s e s

. D o y o u i n t e n d t o t e s t i f y i n t h i s c a s e ?

D R

. L Y : N o

, Y o u r H o n o r

.

T H E C O U R T : N o w

, d o y o u u n d e r s t a n d t h a t y o u h a v e a n a b s o l u t e

r i g h t t o t e s t i f

y i n y o u r o w n b e h a l f

?

D R

. L Y : Y e a h

, I k n o w

, b u t w i t h o u t c o u n s e l

, Y o u r H o n o r

, I c a n ’ t

t e s t i f y

.

T H E C O U R T : S o i t i s y o u r p e r s o n a l d e c i s i o n n o t t o t e s t i f y i n t h i s

c a s e ?

D R

. L Y : B e c a u s e I d o n ’ t h a v e c o u n s e l w h o c a n a s k m e q u e s t i o n s

.

T H E C O U R T : I s i t y o u r p e r s o n a l d e c i s i o n n o t t o t e s t i f y i n t h i s c a s e ?

D R

. L Y : W h a t d o y o u m e a n

, Y o u r H o n o r ?

T H E C O U R T : W e l l

, I ’ v e t o l d y o u y o u h a v e a r i g h t t o t e s t i f y

. I s i t

y o u r p e r s o n a l d e c i s i o n n o t t o t e s t i f y i n t h i s c a s e ?

D R

. L Y : N o

. I d e c i d e n o t t o t e s t i f y b e c a u s e I d o n ’ t h a v e c o u n s e l t o

a s k m e q u e s t i o n s

. I c a n n o t j u s t b e c r o s s

- e x a m i n e d w i t h o u t m y

c o u n s e l t o a s k

— m y o w n c o u n s e l t o a s k m e q u e s t i o n s

.

T H E C O U R T : S o y o u c h o o s e n o t t o t e s t i f y

, t h e n ?

D R

. L Y : I f I d o n ’ t h a v e m y o w n c o u n s e l

–

T H E C O U R T :

– W e l l

, y o u k n o w y o u d o n ’ t h a v e c o u n s e l

, D r

. L y

.

T h a t ’ s n o t t h e q u e s t i o n

. Y o u ’ v e n o t h a d c o u n s e l s i n c e t h i s t r i a l

s t a r t e d

. N o w

, t h i s i s y o u r o p p o r t u n i t y t o t e s t i f y o r n o t t e s t i f

y

, a n d I

7w a n t y o u t o t e l l m e o n t h e r e c o r d w h e t h e r y o u i n t e n d t o t e s t i f y o r n o t

t e s t i f y

.

D R

. L Y : T h a t d e c i s i o n I c a n ’ t m a k e

— I c a n ’ t m a k e i t i n t h e s p l i t o f a

s e c o n d

, Y o u r H o n o r

. C o u l d y o u g i v e m e

. . .

T H E C O U R T : W e l l

, I ’ m a s s u m i n g

, t h e n

, a n d I ’ m t a k i n g t h a t a s a

d e c i s i o n b y y o u n o t t o t e s t i f y i n y o u r o w n b e h a l f i n t h i s c a s e

.

D R

. L Y : I w o u l d n ’ t a g r e e w i t h t h a t

.

T H E C O U R T : W e l l

, w e ’ v e g o t a j u r y s i t t i n g i n t h e b o x

, a n d i t i s y o u r

t i m e t o t e s t i f

y

. A n d s o y o u ’ r e g o i n g t o h a v e t o m a k e t h a t d e c i s i o n

,

a n d y o u ’ v e h a d m o n t h s l e a d i n g u p t o t h i s t r i a l t o m a k e t h a t d e c i s i o n

.

N o w

, I ’ m n o t g o i n g t o k e e p e v e r y b o d y w a i t i n g

. I ’ m n o t g o i n g t o k e e p

t h e j u r y w a i t i n g

, s o y o u m a k e a d e c i s i o n r i g h t n o w w h e t h e r y o u ’ r e

g o i n g t o t e s t i f

y o r n o t t e s t i f

y

.

D R

. L Y : I ’ m n o t g o i n g t o t e s t i f y

.

L y d i d n o t t e s t i f

y

, a n d t h e d e f

e n s e r e s t e d

. T h e j u r y c o n v i c t e d L y o n a l l 1 2 9 c o u n t s

.

T h e d i s t r i c t c o u r t s e n t e n c e d L y t o c o n c u r r e n t t e r m s o f i m p r i s o n m e n t t o t a l i n g

n i n e t y

- s e v e n m o n t h s a n d f i n e d h i m $ 2 0 0

, 0 0 0

.

L y a p p e a l e d h i s c o n v i c t i o n a n d a r g u e s t h a t t h e d i s t r i c t c o u r t d e n i e d h i m h i s

r i g h t t o t e s t i f

y b y f a i l i n g t o c o r r e c t h i s m i s u n d e r s t a n d i n g r e g a r d i n g t h e a v a i l a b i l i t y

o f n a r r a t i v e t e s t i m o n y

. W e h a v e j u r i s d i c t i o n

, 2 8 U

. S

. C

. § 1 2 9 1

, a n d w e r e v i e w h i s 4

L y also raise d three other issues on appe al: two perta in to the district court’s conc lusion 4

that he wa s ineligible f

or appointed c ounsel and the third c halleng es the Gove rnment’s a lleg edly

inflammatory

statements during closing arg uments. Be cause L y ’s rig ht-to-testify claim re quires

us to vaca te his convictions, we do not addr ess his other points.

8c l a i m d e n o v o

, U n i t e d S t a t e s v

. V a n D e W a l k e r

, 1 4 1 F

. 3 d 1 4 5 1

, 1 4 5 2 ( 1 1 t h C i r

. 5

1 9 9 8 )

.

I I

.

W e b e g i n w i t h t w o c r i t i c a l o b s e r v a t i o n s t h a t w i l l d r i v e o u r s u b s e q u e n t

a n a l y s i s

. F i r s t

, L y ’ s s t a t e m e n t s c l e a r l y i n d i c a t e t h a t h e d i d n o t u n d e r s t a n d t h e

n a t u r e o f h i s r i g h t t o t e s t i f y

, a n d t h a t t h e d i s t r i c t c o u r t

— h a v i n g h e a r d L y ’ s

r e s p o n s e s

— m u s t h a v e k n o w n t h i s

. S e c o n d

, t h e d i s t r i c t c o u r t d i d n o t h i n g t o c o r r e c t

L y ’ s m i s u n d e r s t a n d i n g a n d i t s s i l e n c e l i k e l y r e i n f o r c e d L y ’ s m i s t a k e n v i e w

.

T h e c o l l o q u y e x c e r p t e d i n p a r t I

, s u p r a

, s h o w s t h a t L y m i s u n d e r s t o o d t h e

n a t u r e o f h i s r i g h t t o t e s t i f y

— h e d i d n o t k n o w t h a t h e c o u l d t e s t i f y i n n a r r a t i v e

f o r m

. W h e n t h e c o u r t a s k e d L y i f h e h a d d e c i d e d n o t t o t e s t i f y

, L y r e s p o n d e d

,

“ B e c a u s e I d o n ’ t h a v e c o u n s e l w h o c a n a s k m e q u e s t i o n s

. ” T h i s b e l i e f l e d h i m t o

c o n c l u d e t h a t

, w e r e h e t o t a k e t h e s t a n d

, h i s o n l y t e s t i m o n y w o u l d c o m e f r o m t h e

The Gove rnment conte nds that plain-er ror r eview must apply

beca use L y never 5

objected to the district c ourt’s alleg ed denia l of his rig ht to testify . I n the context of L y ’s claim,

this arg ument is absurd. L y ’s ar g ument on appea l is that his confusion reg arding his right to

testify was so appa

rent during the cour

t-initiated colloquy

that the district court wa s obliga ted to

corr ect his misunderstanding . By definition, L y

could not have obje cted to the district cour t’s

actions, for

his claim lies in his i g noranc e of the law. F urthermor e, L y ’s statements broug ht his

ignor ance to the district court’s a ttention such that the court wa s on notice of its obliga tions.

Under these c ircumstance s, the policies behind the plain- err or rule’ s contempora neous-objec tion

require ment are not impli cate d. See Puckett v. United States, ___ U.S. ____, 129 S. Ct. 1423,

1428, 173 L . Ed. 2d 266 (2009) ( explaining that the conte mporane ous-objection rule is nece ssary

to “g ive[] the district court the oppor tunity to consider a

nd resolve” issues in the first instance,

and to “pr event[] a lit iga

nt from ‘sandba g g ing’ the cour t” by rema ining silent).

9G o v e r n m e n t ’ s c r o s s

- e x a m i n a t i o n

. L y m a d e t h i s c l e a r w h e n h e t o l d t h e c o u r t

, “ I

d e c i d e n o t t o t e s t i f

y b e c a u s e I d o n ’ t h a v e c o u n s e l t o a s k m e q u e s t i o n s

. I c a n n o t

j u s t b e c r o s s

- e x a m i n e d w i t h o u t m y c o u n s e l t o a s k

— m y o w n c o u n s e l t o a s k m e

q u e s t i o n s

. ”

L y ’ s u n d e r s t a n d i n g w a s

, o f c o u r s e

, i n c o r r e c t

. A p r o s e c r i m i n a l d e f e n d a n t

m a y t e s t i f

y i n n a r r a t i v e f

o r m ; h e d o e s n o t r e q u i r e a n a t t o r n e y ’ s a s s i s t a n c e

. S e e

,

e

. g

. , U n i t e d S t a t e s v

. M o o d y

, 9 7 7 F

. 2 d 1 4 2 5

, 1 4 3 0 ( 1 1 t h C i r

. 1 9 9 2 )

. B u t t h i s

e r r o n e o u s u n d e r s t a n d i n g w a s e n t i r e l y r e a s o n a b l e f r o m L y ’ s p e r s p e c t i v e

. W i t h n o

l e g a l t r a i n i n g a n d n o c o u r t r o o m e x p e r i e n c e

, L y c e r t a i n l y c o u l d h a v e b e l i e v e d t h a t

d i r e c t t e s t i m o n y r e q u i r e s a q u e s t i o n

- a n d

- a n s w e r d i a l o g u e b e t w e e n a n a t t o r n e y a n d

a w i t n e s s

. W i t h o u t t h e a b i l i t y t o e l i c i t d i r e c t t e s t i m o n y

, L y w o u l d i n d e e d b e

f o o l i s h t o s u b m i t t o c r o s s

- e x a m i n a t i o n

.

N o t w i t h s t a n d i n g t h e o b v i o u s n e s s o f L y ’ s c o n f u s i o n

, t h e d i s t r i c t c o u r t d i d

n o t h i n g t o r e c t i f

y i t

. E a c h t i m e L y i n t i m a t e d t h a t h e c o u l d n o t t e s t i f y a b s e n t

“ c o u n s e l t o a s k [ h i m ] q u e s t i o n s

, ” t h e d i s t r i c t c o u r t r e s p o n d e d c r y p t i c a l l y

. F o r

e x a m p l e

, w h e n L y s t a t e d

, “ w i t h o u t c o u n s e l

. . . I c a n ’ t t e s t i f y

, ” t h e d i s t r i c t c o u r t

s i m p l y r e s p o n d e d

, “ S o i t i s y o u r p e r s o n a l d e c i s i o n n o t t o t e s t i f y i n t h i s c a s e ? ”

S u c h r e s p o n s e s n o t o n l y i g n o r e d L y ’ s c o n f u s i o n

, i t l i k e l y r e i n f

o r c e d L y ’ s m i s t a k e n

b e l i e f

. W i t h t h e s e t w o o b s e r v a t i o n s i n p l a c e

, w e p r o c e e d t o o u r l e g a l a n a l y s i s

.

10I I I

.

A c r i m i n a l d e f

e n d a n t h a s a f

u n d a m e n t a l r i g h t t o t e s t i f y i n h i s d e f

e n s e

. R o c k

v

. A r k a n s a s

, 4 8 3 U

. S

. 4 4

, 5 2

, 1 0 7 S

. C t

. 2 7 0 4

, 2 7 0 9

, 9 7 L

. E d

. 2 d 3 7 ( 1 9 8 7 )

. 6

A l t h o u g h o f

t e n f r a m e d a s a r i g h t t o t e s t i f y

, i t i s m o r e p r o p e r l y f

r a m e d a s a r i g h t t o

c h o o s e w h e t h e r t o t e s t i f y

. U n i t e d S t a t e s v

. T e a g u e

, 9 5 3 F

. 2 d 1 5 2 5

, 1 5 3 2 ( 1 1 t h C i r

.

1 9 9 2 ) ( e n b a n c )

. T h e “ c h o i c e ” c o n c e p t r e f l e c t s t h e c o m p e t i n g c o n s i d e r a t i o n s t h a t

m a k e u p t h i s r i g h t ; w h i l e t h e F i f t h A m e n d m e n t g i v e s t h e a c c u s e d t h e r i g h t t o

r e m a i n s i l e n t

, c o u r t s h a v e r e c o g n i z e d t h a t t h e a c c u s e d a l s o h a s t h e a b s o l u t e r i g h t t o

b r e a k h i s s i l e n c e a n d t o t e s t i f y

. R o c k

, 4 8 3 U

. S

. a t 5 2

, 1 0 7 S

. C t

. a t 2 7 0 9

. T h i s

r i g h t t o c h o o s e i s p e r s o n a l a s w e l l a s f u n d a m e n t a l

, a n d t h e d e f e n d a n t m u s t m a k e

t h i s d e c i s i o n h i m s e l f

. T e a g u e

, 9 5 3 F

. 2 d a t 1 5 3 2

.

L i k e o t h e r f

u n d a m e n t a l t r i a l r i g h t s

, t h e r i g h t t o t e s t i f y i s t r u l y p r o t e c t e d o n l y

w h e n t h e d e f

e n d a n t m a k e s h i s d e c i s i o n k n o w i n g l y a n d i n t e l l i g e n t l y

. U n i t e d S t a t e s

v

. L e g g e t t

, 1 6 2 F

. 3 d 2 3 7

, 2 4 6 ( 3 d C i r

. 1 9 9 8 ) ( “ I f a d e f e n d a n t d o e s w a i v e t h i s r i g h t

[ t o t e s t i f y ]

, t h e w a i v e r m u s t b e k n o w i n g

, v o l u n t a r y a n d i n t e l l i g e n t

. ” ) ; s e e a l s o

T e a g u e

, 9 5 3 F

. 2 d a t 1 5 3 3 ( “ [ A d v i c e o f c o u n s e l ] i s c r u c i a l b e c a u s e t h e r e c a n b e n o

The Supreme Court gr ounded this rig ht in severa l provisions of the Constit ution: 6

(1) the D ue Proce ss Clause; (2) the Six th Amendment’s Compulsory Process Clause; (3) the

Six th Amendment’s rig ht to self-re prese ntation; and (4) a s the “c orollary to the Fifth

Amendment’s g uara

ntee a g ainst compelled testimony .” Rock v. Ar kansas, 483 U.S. 44, 51–53,

107 S. Ct . 2704, 2708–10, 97 L . Ed. 2d 37 (1987).

11e f

f e c t i v e w a i v e r o f a f

u n d a m e n t a l c o n s t i t u t i o n a l r i g h t u n l e s s t h e r e i s a n ‘ i n t e n t i o n a l

r e l i n q u i s h m e n t o r a b a n d o n m e n t o f a k n o w n r i g h t o r p r i v i l e g e

. ’ ” ( e m p h a s i s i n

o r i g i n a l ) ( q u o t i n g J o h n s o n v

. Z e r b s t

, 3 0 4 U

. S

. 4 5 8

, 4 6 4

, 5 8 S

. C t

. 1 0 1 9

, 1 0 2 3

, 8 2

L

. E d

. 1 4 6 1 ( 1 9 3 8 ) ) )

. I n c a s e s w h e r e a d e f e n d a n t i s r e p r e s e n t e d b y c o u n s e l

,

c o u n s e l i s r e s p o n s i b l e f

o r p r o v i d i n g t h e a d v i c e n e e d e d t o r e n d e r t h e d e f e n d a n t ’ s

d e c i s i o n o f w h e t h e r t o t e s t i f y k n o w i n g a n d i n t e l l i g e n t

. T e a g u e

, 9 5 3 F

. 2 d a t 1 5 3 3

.

A l t h o u g h i t i s t h e d e f

e n d a n t

— a n d n o t c o u n s e l

— w h o u l t i m a t e l y r e t a i n s t h e r i g h t t o

m a k e t h i s c h o i c e

, t h e d i s t r i c t c o u r t d o e s n o t n o r m a l l y e n g a g e i n a c o l l o q u y w i t h t h e

d e f e n d a n t t o e n s u r e t h a t t h e d e c i s i o n w a s m a d e k n o w i n g l y a n d i n t e l l i g e n t l y

.

U n i t e d S t a t e s v

. V a n D e W a l k e r

, 1 4 1 F

. 3 d 1 4 5 1

, 1 4 5 2 ( 1 1 t h C i r

. 1 9 9 8 )

. I n d e e d

,

s u c h a c o l l o q u y w o u l d i m p r o p e r l y d i s t u r b t h e a t t o r n e y

- c l i e n t r e l a t i o n s h i p

, i d

. ;

T e a g u e

, 9 5 3 F

. 2 d a t 1 5 3 3 n

. 8

, a n d w o u l d s u g g e s t t h a t t h e d i s t r i c t c o u r t b e l i e v e d t h e

d e f e n d a n t ’ s c h o i c e i m p r o v i d e n t

, U n i t e d S t a t e s v

. J o e l s o n

, 7 F

. 3 d 1 7 4

, 1 7 8 ( 9 t h C i r

.

1 9 9 3 ) ; T e a g u e

, 9 5 3 F

. 2 d a t 1 5 3 3 n

. 8

. R a t h e r

, a d e f e n d a n t r e p r e s e n t e d a t t r i a l m a y

v i n d i c a t e h i s r i g h t t o m a k e a k n o w i n g a n d i n t e l l i g e n t d e c i s i o n w h e t h e r t o t e s t i f y

t h r o u g h a c l a i m o f i n e f

f e c t i v e a s s i s t a n c e o f c o u n s e l

. T e a g u e

, 9 5 3 F

. 2 d a t 1 5 3 4

.

H e r e

, h o w e v e r

, L y w a s n o t a s s i s t e d b y c o u n s e l

. H e d e c i d e d t o d e f e n d

h i m s e l f

, w h i c h w a s h i s r i g h t

. F a r e t t a v

. C a l i f o r n i a

, 4 2 2 U

. S

. 8 0 6

, 8 1 8

– 2 1

, 9 5 S

. C t

.

2 5 2 5

, 2 5 3 2

– 3 4

, 4 5 L

. E d

. 2 d 5 6 2 ( 1 9 7 5 )

. B y e x e r c i s i n g t h a t r i g h t

, L y f o r w e n t t h e

12b e n e f

i t o f a n a t t o r n e y w h o w o u l d h a v e p r o v i d e d h i m i n f o r m a t i o n n e c e s s a r y t o

m a k e a k n o w i n g a n d i n t e l l i g e n t d e c i s i o n a s t o w h e t h e r h e s h o u l d t e s t i f y

. S e e

T e a g u e

, 9 5 3 F

. 2 d a t 1 5 3 3 ( “ D e f e n s e c o u n s e l b e a r s t h e p r i m a r y r e s p o n s i b i l i t y f o r

a d v i s i n g t h e d e f

e n d a n t o f h i s r i g h t t o t e s t i f y o r n o t t o t e s t i f

y

. . . . ” )

.

L y t h u s f a c e s a c o n u n d r u m : a r i g h t p o s s i b l y w i t h o u t a r e m e d y

. T h e

C o n s t i t u t i o n r e q u i r e s t h a t L y b e a b l e t o d e c i d e w h e t h e r t o t e s t i f y “ k n o w i n g l y a n d

i n t e l l i g e n t l y

, ” b u t L y d e c i d e d t o r e p r e s e n t h i m s e l f

, t h e r e b y f

o r g o i n g a r e m e d y

u n d e r t h e i n e f

f e c t i v e

- a s s i s t a n c e

- o f

- c o u n s e l p a r a d i g m

. F a r e t t a

, 4 2 2 U

. S

. a t 8 3 4

n

. 4 6

, 9 5 S

. C t

. a t 2 5 4 1 n

. 4 6

. L y ’ s r e m e d y

— i f o n e e x i s t s

— i s a q u e s t i o n o f f i r s t

i m p r e s s i o n f

o r t h i s c o u r t

. T h e G o v e r n m e n t a n d L y p r o p o s e e q u a l l y u n a c c e p t a b l e

o p t i o n s

, a n d o u r p r e f

e r r e d s o l u t i o n l i e s b e t w e e n t h e i r e x t r e m e p r e f e r e n c e s

.

A

.

L y ’ s p r e f e r r e d s o l u t i o n w o u l d r e q u i r e a d i s t r i c t c o u r t t o o b t a i n a k n o w i n g

a n d i n t e l l i g e n t w a i v e r o f a d e f e n d a n t ’ s r i g h t t o t e s t i f

y

. T h i s a r g u m e n t

a c k n o w l e d g e s t h a t t h e r i g h t t o t e s t i f y i s f u n d a m e n t a l

. O t h e r f

u n d a m e n t a l r i g h t s

,

s u c h a s t h e r i g h t t o c o u n s e l a n d t h e r i g h t t o a j u r y t r i a l

, r e q u i r e c o u r t s t o o b t a i n

k n o w i n g

, o n

- t h e

- r e c o r d w a i v e r s o f t h e r i g h t

— i

. e

. , w h e n a d e f e n d a n t d e c i d e s t o

d e f e n d h i m s e l f p r o s e o r p l e a d g u i l t y

, r e s p e c t i v e l y

. S e e J o e l s o n

, 7 F

. 3 d a t 1 7 8

( c o l l e c t i n g c a s e s )

. C o m b i n i n g t h e s e t w o o b s e r v a t i o n s

, L y c o n t e n d s t h a t a d i s t r i c t

13c o u r t m u s t o b t a i n a s i m i l a r o n

- t h e

- r e c o r d w a i v e r f r o m a p r o s e d e f

e n d a n t t o e n s u r e

t h a t h e h a s m a d e t h e d e c i s i o n w h e t h e r t o t e s t i f y “ k n o w i n g l y a n d i n t e l l i g e n t l y

. ”

W e c a n n o t a c c e p t L y ’ s s o l u t i o n

. T h e r i g h t t o t e s t i f y i s n o t a m e n a b l e t o t h i s

s o r t o f c o l l o q u y o r t o t h e “ w a i v e r ” p a r a d i g m L y p r o p o s e s

. F i r s t

, u n l i k e t h e r i g h t t o

c o u n s e l a n d t h e r i g h t t o a j u r y t r i a l

, t h e r e i s n o c o n s t i t u t i o n a l d e f a u l t p r o t e c t i n g t h e

r i g h t t o t e s t i f

y

. I n t h e r i g h t

- t o

- c o u n s e l a n d g u i l t y

- p l e a c o n t e x t s

, t h e d i s t r i c t c o u r t

m u s t s a t i s f

y i t s e l f t h a t t h e d e f

e n d a n t h a s w a i v e d h i s r i g h t k n o w i n g l y a n d

i n t e l l i g e n t l y

, B o y k i n v

. A l a b a m a

, 3 9 5 U

. S

. 2 3 8

, 2 4 2

– 4 3

, 8 9 S

. C t

. 1 7 0 9

, 1 7 1 2

, 2 3

L

. E d

. 2 d 2 7 4 ( 1 9 6 9 ) ( r e g a r d i n g g u i l t y p l e a s ) ; C a r n l e y v

. C o c h r a n

, 3 6 9 U

. S

. 5 0 6

,

5 1 5

– 1 6

, 8 2 S

. C t

. 8 8 4

, 8 9 0

, 8 L

. E d

. 2 d 7 0 ( 1 9 6 2 ) ( r e g a r d i n g w a v i n g t h e a s s i s t a n c e

o f c o u n s e l )

, a n d i f t h e c o u r t i s n o t s o s a t i s f i e d

, i t f o r c e s u p o n t h e d e f

e n d a n t t h e

c o n s t i t u t i o n a l d e f

a u l t

. I n t h e c a s e o f t h e r i g h t t o c o u n s e l

, t h e d e f a u l t i s a n

a p p o i n t e d a t t o r n e y

, a n d i n t h e c a s e o f a j u r y t r i a l

, t h e d e f a u l t i s a p l e a o f n o t g u i l t y

,

f o l l o w e d b y a j u r y t r i a l

. S e e U n i t e d S t a t e s v

. G o m e z

- G o m e z

, 8 2 2 F

. 2 d 1 0 0 8

,

1 0 1 0

– 1 1 ( 1 1 t h C i r

. 1 9 8 7 ) ( a f f i r m i n g t h e d i s t r i c t c o u r t ’ s d e c i s i o n t o r e j e c t t h e

d e f e n d a n t s ’ g u i l t y p l e a b e c a u s e t h e d e f e n d a n t s m a i n t a i n e d t h e i r i n n o c e n c e

, t h e r e b y

s h a k i n g t h e p l e a ’ s f

a c t u a l b a s i s a n d t h e a s s u r a n c e t h a t t h e p l e a w a s “ v o l u n t a r y a n d

i n t e l l i g e n t ” ) ; B r o w n v

. W a i n w r i g h t

, 6 6 5 F

. 2 d 6 0 7

, 6 1 0 ( F o r m e r 5 t h C i r

. 1 9 8 2 ) ( “ I n

t h e a b s e n c e o f a c l e a r a n d k n o w i n g e l e c t i o n

, a c o u r t s h o u l d n o t q u i c k l y i n f e r t h a t a

14d e f

e n d a n t u n s k i l l e d i n t h e l a w h a s w a i v e d c o u n s e l a n d h a s o p t e d t o c o n d u c t h i s

o w n d e f e n s e

. ” )

. A s e x p l a i n e d

, h o w e v e r

, t h e r i g h t t o t e s t i f y i s a r i g h t t o c h o o s e 7

b e t w e e n t h e c o m p e t i n g r i g h t s o f t e s t i f y i n g a n d r e m a i n i n g s i l e n t

. I n t h i s

c i r c u m s t a n c e

, t h e r e i s n o “ d e f a u l t ” r i g h t ; t h e d i s t r i c t c o u r t c o u l d n o t o r d e r t h e

d e f e n d a n t t o t e s t i f

y i f

, a f t e r a c o l l o q u y

, i t w a s n o t s a t i s f i e d t h a t t h e d e f

e n d a n t

“ w a i v e d ” h i s r i g h t k n o w i n g l y a n d i n t e l l i g e n t l y

. T h e r i g h t i s a c h o i c e

, a n d f o r c i n g a

d e c i s i o n u p o n t h e d e f

e n d a n t d e p r i v e s h i m o f t h e r i g h t t o m a k e t h a t c h o i c e

.

S e c o n d

, a m a n d a t o r y c o l l o q u y c o u l d s u g g e s t t o t h e d e f e n d a n t t h a t t h e d i s t r i c t

c o u r t b e l i e v e d t h a t t h e d e f e n d a n t ’ s c h o i c e o f w h e t h e r o r n o t t o t e s t i f y w a s f o o l i s h

.

V a n D e W a l k e r

, 1 4 1 F

. 3 d a t 1 4 5 2 ; J o e l s o n

, 7 F

. 3 d a t 1 7 8

. T h i s p r o c e d u r e “ c o u l d

i n a p p r o p r i a t e l y i n f

l u e n c e t h e d e f

e n d a n t t o w a i v e h i s c o n s t i t u t i o n a l r i g h t n o t t o

t e s t i f y

, t h u s t h r e a t e n i n g t h e e x e r c i s e o f t h i s o t h e r

, c o n v e r s e

, c o n s t i t u t i o n a l l y

e x p l i c i t

, a n d m o r e f

r a g i l e r i g h t

. ” S i c i l i a n o v

. V o s e

, 8 3 4 F

. 2 d 2 9

, 3 0 ( 1 s t C i r

. 1 9 8 7 )

( c i t a t i o n s o m i t t e d )

. E x p e r i e n c e d e m o n s t r a t e s t h a t d i s t r i c t c o u r t s s o m e t i m e s p r o v i d e

i n a p p r o p r i a t e c o m m e n t a r y w h e n t h e y i n j e c t t h e m s e l v e s i n t o a d e f e n d a n t ’ s c h o i c e

o f w h e t h e r t o t e s t i f

y

. S e e

, e

. g

. , L e g g e t t

, 1 6 2 F

. 3 d a t 2 4 8 ; J o e l s o n

, 7 F

. 3 d a t

The Eleve nth Circuit adopted as binding prec edent de cisions by non-unit panels of the 7

For mer F ifth Circuit handed down a fter O ctober 1, 1981. Stein v. Rey

nolds Securities, I nc., 667

F.2d 33, 34 ( 11th Cir. 1982) (“Ha d the dec ision[ , which wa s handed dow n on October 15, 1981,]

been ma de by

a non-unit pane l of the F ormer F ifth, the full en banc court of the For mer F ifth, or

Unit B pa nel of the F ormer F ifth Circuit, we would re g ard the decision as binding prec edent

. . . .”).

151 7 6

– 7 8 ; U n i t e d S t a t e s v

. G o o d w i n

, 7 7 0 F

. 2 d 6 3 1

, 6 3 5

– 3 8 ( 7 t h C i r

. 1 9 8 5 )

. A s w e

s t a t e a b o v e

, t h e d e f

e n d a n t ’ s r i g h t t o t e s t i f

y i s p e r s o n a l t o h i m

. H e m a y u s e t h a t

p e r s o n a l r i g h t t o c h o o s e t o t e s t i f y

, o r n o t t o t e s t i f

y ; m a n y i n p u t s c o m e i n t o t h i s

d e c i s i o n

, a n d i n s e r t i n g t h e d i s t r i c t c o u r t ’ s i m p l i e d p r e f e r e n c e w o u l d i n t r u d e i n t o

t h i s p r o t e c t e d c h o i c e

.

F i n a l l y

, i t i s u n c l e a r h o w s u c h a c o l l o q u y w o u l d p r o c e e d

. A n i n f o r m e d

d e c i s i o n t o t e s t i f

y r e q u i r e s m a n y c o n s i d e r a t i o n s

, i n c l u d i n g t h e d e f e n d a n t ’ s

c r e d i b i l i t y ; h o w w e l l t h e d e f e n d a n t w o u l d w i t h s t a n d c r o s s

- e x a m i n a t i o n ; a n d w h a t

t y p e s o f d a m a g i n g e v i d e n c e w o u l d b e a d m i s s i b l e a s i m p e a c h m e n t

. S e e L i e g a k o s

v

. C o o k e

, 1 0 6 F

. 3 d 1 3 8 1

, 1 3 8 6 ( 7 t h C i r

. 1 9 9 7 ) ( “ A j u d g e c o u l d p r o b e w h e t h e r t h e

a c c u s e d i s m a k i n g a n i n t e l l i g e n t c h o i c e o n l y b y e x p l o r i n g a l l o f t h e o p t i o n s o p e n t o

t h e d e f e n s e

— w h a t e v i d e n c e i s a v a i l a b l e

, w h a t w i t n e s s e s [ a r e ] r e l i a b l e

, w h a t c o u l d

b e b r o u g h t o u t o n c r o s s

- e x a m i n a t i o n i f t h e d e f e n d a n t t e s t i f

i e s

, a n d s o o n

. ” )

. T h e s e

c o n s i d e r a t i o n s a r e f

a c t

- i n t e n s i v e a n d w o u l d v a r y w i t h e a c h c a s e

. C o n s e q u e n t l y

, i t

w o u l d b e u n l i k e l y t h a t a n y s t o c k c o l l o q u y c o u l d r e n d e r a p r o s e d e f e n d a n t ’ s

d e c i s i o n t r u l y k n o w i n g a n d i n t e l l i g e n t

.

B

.

T h e G o v e r n m e n t c o n t e n d s t h a t a d i s t r i c t c o u r t h a s n o r e s p o n s i b i l i t y t o

c o r r e c t a p r o s e d e f

e n d a n t ’ s m i s u n d e r s t a n d i n g

. T o m a k e t h i s a r g u m e n t

, t h e

16G o v e r n m e n t b e g i n s w i t h t h e e s t a b l i s h e d p r e m i s e t h a t a c r i m i n a l d e f e n d a n t p l a c e s

h i m s e l f a t a g r e a t d i s a d v a n t a g e w h e n h e p r o c e e d s p r o s e

. F a r e t t a

, 4 2 2 U

. S

. a t

8 3 3

– 3 5

, 9 5 S

. C t

. a t 2 5 4 0

– 4 1

. “ E v e n t h e i n t e l l i g e n t a n d e d u c a t e d l a y m a n h a s s m a l l

a n d s o m e t i m e s n o s k i l l i n t h e s c i e n c e o f l a w

. . . . W i t h o u t [ t r i a l c o u n s e l ]

, t h o u g h h e

b e n o t g u i l t y

, h e f

a c e s t h e d a n g e r o f c o n v i c t i o n b e c a u s e h e d o e s n o t k n o w h o w t o

e s t a b l i s h h i s i n n o c e n c e

. ” P o w e l l v

. A l a b a m a

, 2 8 7 U

. S

. 4 5

, 6 9

, 5 3 S

. C t

. 5 5

, 6 4

, 7 7

L

. E d

. 1 5 8 ( 1 9 3 2 )

. A n d i g n o r a n c e i s n o h i d d e n v i r t u e ; a p r o s e d e f e n d a n t m u s t

f o l l o w t h e r u l e s o f p r o c e d u r e a n d e v i d e n c e

, F a r e t t a

, 4 2 2 U

. S

. a t 8 3 4 n

. 4 6

, 9 5 S

. C t

.

a t 2 5 4 1 n

. 4 6

, a n d t h e d i s t r i c t c o u r t h a s n o d u t y t o a c t a s h i s l a w y e r

, P l i l e r v

. F o r d

,

5 4 2 U

. S

. 2 2 5

, 2 3 1

, 1 2 4 S

. C t

. 2 4 4 1

, 2 4 4 5

– 4 6

, 1 5 9 L

. E d

. 2 d 3 3 8 ( 2 0 0 4 ) ( h o l d i n g

t h a t d i s t r i c t c o u r t s a r e n o t r e q u i r e d t o p r o v i d e p r o s e l i t i g a n t s s p e c i a l w a r n i n g s

r e g a r d i n g t h e t r e a t m e n t o f “ m i x e d p e t i t i o n s ” u n d e r t h e h a b e a s s t a t u t e )

. T h e

G o v e r n m e n t a l s o p o i n t s t o o u r p r e c e d e n t h o l d i n g t h a t d i s t r i c t c o u r t s n e e d n o t s u a

s p o n t e e n g a g e i n a c o l l o q u y w i t h a r e p r e s e n t e d d e f e n d a n t r e g a r d i n g h i s r i g h t t o

t e s t i f y

. V a n D e W a l k e r

, 1 4 1 F

. 3 d a t 1 4 5 2 ; T e a g u e

, 9 5 3 F

. 2 d a t 1 5 3 2

– 3 3

. B a s e d

o n t h e s e e s t a b l i s h e d p r i n c i p l e s

, t h e G o v e r n m e n t c o n t e n d s t h a t t h e d i s t r i c t c o u r t

h e r e h a d n o d u t y t o c o r r e c t L y ’ s o b v i o u s m i s u n d e r s t a n d i n g a n d t h a t L y m u s t b e a r

t h e b u r d e n o f h i s d e c i s i o n t o f o r g o c o u n s e l

.

N o n e o f o u r p r e c e d e n t s r e q u i r e t h i s o u t c o m e

. T e a g u e a n d V a n D e W a l k e r

17w e r e p r e m i s e d o n t h e p r e s e n c e o f a n a t t o r n e y

- c l i e n t r e l a t i o n s h i p ; w e h e l d t h a t a

d e f e n d a n t ’ s d e c i s i o n w h e t h e r t o t e s t i f y w a s b e s t m a d e a f

t e r d i s c u s s i n g t h e m a t t e r

w i t h h i s a t t o r n e y

. V a n D e W a l k e r

, 1 4 1 F

. 3 d a t 1 4 5 2 ; T e a g u e

, 9 5 3 F

. 2 d a t 1 5 3 3

. I n

t h a t c o n t e x t

, a d i s t r i c t c o u r t ’ s c o l l o q u y w i t h t h e d e f e n d a n t r e g a r d i n g t h a t d e c i s i o n

w o u l d b e i n a p p r o p r i a t e b e c a u s e i t w o u l d i n t r u d e o n t h a t l e g a l l y

- s a c r e d a t t o r n e y

c l i e n t r e l a t i o n s h i p

. V a n D e W a l k e r

, 1 4 1 F

. 3 d a t 1 4 5 2 ; T e a g u e

, 9 5 3 F

. 2 d a t 1 5 3 3

n

. 8

. S i n c e L y h a d n o a t t o r n e y

, t h e t h r u s t o f T e a g u e a n d V a n D e W a l k e r a r e n o t

p r e s e n t i n t h i s c a s e

.

M o r e o v e r

, t h e G o v e r n m e n t ’ s a r g u m e n t i g n o r e s t h e f u n d a m e n t a l n a t u r e o f a

d e f e n d a n t ’ s r i g h t t o t e s t i f

y

. T h e S u p r e m e C o u r t i n s t r u c t s c o u r t s t o “ i n d u l g e e v e r y

r e a s o n a b l e p r e s u m p t i o n a g a i n s t w a i v e r o f f u n d a m e n t a l c o n s t i t u t i o n a l r i g h t s

. ”

J o h n s o n

, 3 0 4 U

. S

. a t 4 6 4

, 5 8 S

. C t

. a t 1 0 2 3

. A c c o r d i n g l y

, a d i s t r i c t c o u r t m u s t

e n g a g e i n a s e a r c h i n g i n q u i r y t o d e t e r m i n e w h e t h e r a d e f e n d a n t h a s k n o w i n g l y a n d

i n t e l l i g e n t l y w a i v e d o t h e r f u n d a m e n t a l r i g h t s

, s u c h a s t h e r i g h t t o c o u n s e l

, C a r n l e y

,

3 6 9 U

. S

. a t 5 1 5

– 1 6

, 8 2 S

. C t

. a t 8 9 0

, a n d t h e r i g h t t o a j u r y t r i a l

, B o y k i n

, 3 9 5 U

. S

.

a t 2 4 2

– 4 3

, 8 9 S

. C t

. a t 1 7 1 2

.

F i n a l l y

, t h e G o v e r n m e n t ’ s p o s i t i o n i g n o r e s t h e e x t r a p r o t e c t i o n s n o r m a l l y

a f f o r d e d t o p r o s e l i t i g a n t s

. “ [ I ] m p l i c i t i n t h e r i g h t t o s e l f

- r e p r e s e n t a t i o n i s a n

o b l i g a t i o n o n t h e p a r t o f t h e c o u r t t o m a k e r e a s o n a b l e a l l o w a n c e s t o p r o t e c t p r o s e

18l i t i g a n t s f

r o m i n a d v e r t e n t f

o r f e i t u r e o f i m p o r t a n t r i g h t s b e c a u s e o f t h e i r l a c k o f

l e g a l t r a i n i n g

. ” J o h n s o n v

. S c h m i d t

, 8 3 F

. 3 d 3 7

, 3 9 ( 2 d C i r

. 1 9 9 6 ) ( c i t a t i o n a n d

i n t e r n a l q u o t a t i o n m a r k s o m i t t e d )

. F o r i n s t a n c e

, w e r e a d p r o s e b r i e f s l i b e r a l l y t o

e n s u r e t h a t s u c h l i t i g a n t s d o n o t

, t h r o u g h t h e i r i g n o r a n c e o f l e g a l t e r m i n o l o g y

,

w a i v e c l a i m s

. U n i t e d S t a t e s v

. W e b b

, 5 6 5 F

. 3 d 7 8 9

, 7 9 2 ( 1 1 t h C i r

. 2 0 0 9 ) ( p e r

c u r i a m ) ( r e g a r d i n g a p r o s e d e f e n d a n t ’ s m o t i o n f

o r s e n t e n c e r e d u c t i o n )

. A n d

, i n

J o h n s o n

, t h e S e c o n d C i r c u i t w e n t o n e s t e p f u r t h e r a n d r e q u i r e d t h e d i s t r i c t c o u r t t o

e x p l a i n t o t h e p r o s e p l a i n t i f f t h e r i s k s o f u s i n g a u n i q u e p r o c e d u r a l r u l e i n a c i v i l

c a s e

. 8 3 F

. 3 d a t 3 9

. E v e n t h e d i s t r i c t c o u r t h e r e p r o v i d e d L y w i t h l i m i t e d

a s s i s t a n c e ; i t i n f

o r m e d L y t h a t h e c o u l d c a l l w i t n e s s e s t o i m p e a c h t h e c r e d i b i l i t y o f

t h e G o v e r n m e n t ’ s w i t n e s s e s

.

T h e s e p r i n c i p l e s s h o w t h a t a d i s t r i c t c o u r t c a n

— a n d s o m e t i m e s m u s t

— a i d

a n i g n o r a n t p r o s e d e f

e n d a n t

. A s d i s c u s s e d i n p a r t I I I

. A

, s u p r a

, w e d o n o t b e l i e v e

t h a t d i s t r i c t c o u r t s m u s t e n g a g e i n a c o l l o q u y w i t h e v e r y p r o s e d e f e n d a n t r e g a r d i n g

h i s d e c i s i o n w h e t h e r t o t e s t i f y

. B u t f o r u s t o p e r m i t t o t a l i n a c t i o n

— p a r t i c u l a r l y

w h e r e t h e d i s t r i c t c o u r t b e g i n s t h e c o l l o q u y a n d r e i n f o r c e s t h e d e f

e n d a n t ’ s

m i s u n d e r s t a n d i n g

— w o u l d i g n o r e t h e j u d i c i a r y ’ s d u t y t o s a f e g u a r d c o n s t i t u t i o n a l

r i g h t s

. C f

. V o n M o l t k e v

. G i l l i e s

, 3 3 2 U

. S

. 7 0 8

, 7 2 2

, 6 8 S

. C t

. 3 1 6

, 3 2 2

, 9 2 L

. E d

.

3 0 9 ( 1 9 4 8 ) ( “ I t i s t h e s o l e m n d u t y o f a f e d e r a l j u d g e b e f

o r e w h o m a d e f

e n d a n t

19a p p e a r s w i t h o u t c o u n s e l t o m a k e a t h o r o u g h i n q u i r y a n d t o t a k e a l l s t e p s n e c e s s a r y

t o i n s u r e t h e f

u l l e s t p r o t e c t i o n o f t h i s c o n s t i t u t i o n a l r i g h t a t e v e r y s t a g e o f t h e

p r o c e e d i n g s

. ” )

. A d o p t i n g t h e G o v e r n m e n t ’ s p o s i t i o n w o u l d c o n s t i t u t e “ h o l l o w

c o m p l i a n c e w i t h t h e m a n d a t e o f t h e C o n s t i t u t i o n ” a n d s u g g e s t t o o t h e r c r i m i n a l

d e f e n d a n t s t h a t t h e r i g h t t o t e s t i f y i s n o t f u n d a m e n t a l

, b u t r a t h e r “ j u s t a n o t h e r

l e g a l i s t i c f

o r m a l i t y

. ” S e e i d

. a t 7 2 3

, 6 8 S

. C t

. a t 3 2 3

.

C

.

W e t h e r e f

o r e c o n c l u d e t h a t t h e d i s t r i c t c o u r t w a s r e q u i r e d t o c o r r e c t L y ’ s

m i s u n d e r s t a n d i n g o f h i s r i g h t t o t e s t i f y

. B y n o t i n f

o r m i n g L y t h a t h e c o u l d t e s t i f y

i n n a r r a t i v e f

o r m

, t h e d i s t r i c t c o u r t d e n i e d h i s r i g h t t o c h o o s e w h e t h e r t o t e s t i f y

“ k n o w i n g l y a n d i n t e l l i g e n t l y

. ” T h i s c a s e f a l l s w i t h i n o n e o f t h e “ e x c e p t i o n a l

,

n a r r o w l y d e f

i n e d c i r c u m s t a n c e s ” t h a t t r i g g e r a d i s t r i c t c o u r t ’ s d u t y t o d i s c u s s w i t h

a c r i m i n a l d e f

e n d a n t h i s d e c i s i o n o f w h e t h e r t o t e s t i f y

. V a n D e W a l k e r

, 1 4 1 F

. 3 d

a t 1 4 5 2 n

. 2 ( c i t a t i o n s a n d i n t e r n a l q u o t a t i o n m a r k s o m i t t e d ) ; s e e a l s o U n i t e d S t a t e s

v

. P e n n y c o o k e

, 6 5 F

. 3 d 9

, 1 2 ( 3 d C i r

. 1 9 9 5 )

. A s w e e x p l a i n

, t h e d i s t r i c t c o u r t ’ s

k n o w l e d g e o f L y ’ s c o n f u s i o n i s t h e d r i v i n g f

o r c e b e h i n d o u r d e c i s i o n

.

T h e c o u r t s o f a p p e a l s h a v e a l l u d e d t o s u c h “ e x c e p t i o n a l c i r c u m s t a n c e s ”

w h e r e t h e t r i a l c o u r t k n o w s t h a t t h e d e f e n d a n t h a s n o t e x e r c i s e d h i s r i g h t t o d e c i d e

w h e t h e r t o t e s t i f

y “ k n o w i n g l y a n d i n t e l l i g e n t l y

. ” S e e

, e

. g

. , V a n D e W a l k e r

, 1 4 1

20F

. 3 d a t 1 4 5 2 n

. 2 ; U n i t e d S t a t e s v

. O r t i z

, 8 2 F

. 3 d 1 0 6 6

, 1 0 7 1 ( D

. C

. C i r

. 1 9 9 6 ) ;

P e n n y c o o k e

, 6 5 F

. 3 d a t 1 2

. T h e s e i n s t a n c e s i n c l u d e w h e r e t h e d e f e n d a n t t e l l s t h e

t r i a l c o u r t t h a t d e f

e n s e c o u n s e l i g n o r e d h i s e x p r e s s e d d e s i r e t o t e s t i f y

, O r t e g a v

.

O ’ L e a r y

, 8 4 3 F

. 2 d 2 5 8

, 2 6 0

– 6 2 ( 7 t h C i r

. 1 9 8 8 )

, a n d w h e n t h e “ d e f e n d a n t h a s t a k e n

a p o s i t i o n t h a t t h r e a t e n s t o j e o p a r d i z e t h e d e f e n s e c a s e a n d t h e r e a p p e a r s t o b e n o

r a t i o n a l e x p l a n a t i o n f

o r t h e d e c i s i o n

, ” O r t i z

, 8 2 F

. 3 d a t 1 0 7 1 ( c i t i n g G o o d w i n

, 7 7 0

F

. 2 d 6 3 6 )

. B u t w h e r e t h e d e f e n d a n t r e m a i n s s i l e n t

, t h e c o u r t s o f a p p e a l s h a v e b e e n

r e l u c t a n t t o r e q u i r e c o u r t s t o e n g a g e i n a c o l l o q u y

, f o r t h e r e a s o n s d e s c r i b e d i n p a r t

I I I

. A

, s u p r a

. S e e

, e

. g

. , L e g g e t t

, 1 6 2 F

. 3 d a t 2 4 0

, 2 4 7 ( f i n d i n g t h a t t h e d i s t r i c t c o u r t

h a d n o d u t y t o i n q u i r e b e c a u s e i t “ h a d n o w a y o f k n o w i n g ” t h a t d e f e n s e c o u n s e l

h a d i g n o r e d t h e d e f

e n d a n t ’ s r e q u e s t t o t e s t i f y ) ; O r t i z

, 8 2 F

. 3 d a t 1 0 7 2 ( “ N o t h i n g i n

t h e t r i a l r e c o r d g a v e t h e d i s t r i c t c o u r t a n y r e a s o n t o d o u b t O r i t z ’ c o u n s e l ’ s

r e p r e s e n t a t i o n ” t h a t t h e d e f e n d a n t m a d e a n i n f

o r m e d d e c i s i o n n o t t o t e s t i f y

. )

.

T h i s d i c h o t o m y s u g g e s t s t h a t

, a b s e n t e v i d e n c e t o t h e c o n t r a r y

, d i s t r i c t c o u r t s

s h o u l d p r e s u m e t h a t t h e d e f e n d a n t

, e v e n a p r o s e d e f e n d a n t

, h a s m a d e a k n o w i n g

a n d i n t e l l i g e n t d e c i s i o n a b o u t w h e t h e r t o t e s t i f y

. S e e O r t i z

, 8 2 F

. 3 d a t 1 0 7 2

( s t a t i n g t h a t t h e d e f

e n d a n t ’ s s i l e n c e c r e a t e s a r e b u t t a b l e p r e s u m p t i o n t h a t h e

e x e r c i s e d h i s r i g h t k n o w i n g l y a n d i n t e l l i g e n t l y ) ; J o r d a n v

. H a r g e t t

, 3 4 F

. 3 d 3 1 0

,

3 1 5 ( 5 t h C i r

. 1 9 9 4 ) ( h o l d i n g s i m i l a r l y o n h a b e a s r e v i e w )

. T h i s p r e s u m p t i o n

21p r o p e r l y b a l a n c e s c o m p e t i n g i n t e r e s t s

. D i s t r i c t c o u r t s w i l l n o t u n n e c e s s a r i l y i n j e c t

t h e m s e l v e s i n t o a d e f

e n d a n t ’ s d e c i s i o n m a k i n g ; n e i t h e r w i l l t h e y i g n o r e a

d e f e n d a n t ’ s o b v i o u s u n k n o w i n g o r u n i n t e l l i g e n t c h o i c e w h e t h e r t o t e s t i f y

.

T h e w a y s i n w h i c h a d i s t r i c t c o u r t c o u l d “ k n o w ” t h a t a d e f e n d a n t i s n o t

i n t e l l i g e n t l y o r k n o w i n g l y e x e r c i s i n g h i s r i g h t t o t e s t i f y n e e d n o t b e s e t o u t h e r e

.

I n L y ’ s c a s e

, t h e d i s t r i c t c o u r t c l e a r l y k n e w t h a t L y d i d n o t u n d e r s t a n d t h a t h e

c o u l d t e s t i f

y i n n a r r a t i v e f

o r m

, a n d t h a t t h i s m i s u n d e r s t a n d i n g d r o v e h i s d e c i s i o n

n o t t o t e s t i f

y

. T h e c o u r t k n e w t h i s b e c a u s e i t i n i t i a t e d t h e c o l l o q u y d u r i n g w h i c h

L y ’ s m i s u n d e r s t a n d i n g b e c a m e a p p a r e n t

. A n d b y n o t c o r r e c t i n g L y ’ s

m i s u n d e r s t a n d i n g

, t h e c o u r t r e i n f o r c e d L y ’ s m i s t a k e n v i e w

. S e e J a c i n t o v

. I N S

,

2 0 8 F

. 3 d 7 2 5

, 7 2 8 ( 9 t h C i r

. 2 0 0 0 ) ( f i n d i n g t h a t t h e i m m i g r a t i o n j u d g e ’ s c o n f u s i n g

i n s t r u c t i o n s v i o l a t e d d u e p r o c e s s b e c a u s e t h e y s u g g e s t e d t h a t t h e a s y l u m

- s e e k e r

h a d t o c h o o s e b e t w e e n h e r r i g h t t o c o u n s e l a n d h e r r i g h t t o t e s t i f y )

.

D

.

L y a n d t h e G o v e r n m e n t a l s o d i s a g r e e a b o u t w h e t h e r h a r m l e s s e r r o r a p p l i e s

t o t h i s c a s e

. W h e n w e d e t e r m i n e t h a t a d e f e n d a n t ’ s c o n s t i t u t i o n a l r i g h t s w e r e

v i o l a t e d

, t h e c o n v i c t i o n w i l l n e v e r t h e l e s s s t a n d i f “ i t a p p e a r s b e y o n d a r e a s o n a b l e

d o u b t t h a t t h e e r r o r c o m p l a i n e d o f d i d n o t c o n t r i b u t e t o t h e v e r d i c t o b t a i n e d

. ”

U n i t e d S t a t e s v

. G a r i

, 5 7 2 F

. 3 d 1 3 5 2

, 1 3 6 2 ( 1 1 t h C i r

. 2 0 0 9 ) ( c i t a t i o n s a n d i n t e r n a l

22q u o t a t i o n m a r k s o m i t t e d )

. C e r t a i n e r r o r s

, h o w e v e r

, a r e “ s t r u c t u r a l ” a n d “ d e f y

a n a l y s i s b y h a r m l e s s

- e r r o r s t a n d a r d s b e c a u s e t h e y a f f e c [ t ] t h e f

r a m e w o r k w i t h i n

w h i c h t h e t r i a l p r o c e e d s

, a n d a r e n o t s i m p l y a n e r r o r i n t h e t r i a l p r o c e s s i t s e l f

. ”

U n i t e d S t a t e s v

. G o n z a l e z

- L o p e z

, 5 4 8 U

. S

. 1 4 0

, 1 4 8

– 4 9

, 1 2 6 S

. C t

. 2 5 5 7

, 2 5 6 4

,

1 6 5 L

. E d

. 2 d 4 0 9 ( 2 0 0 6 ) ( c i t i n g A r i z o n a v

. F u l m i n a n t e

, 4 9 9 U

. S

. 2 7 9

, 3 0 9

– 1 0

,

1 1 1 S

. C t

. 1 2 4 6

, 1 2 6 5

, 1 1 3 L

. E d

. 2 d 3 0 2 ( 1 9 9 1 ) ) ; s e e a l s o U n i t e d S t a t e s v

.

C a m p b e l l

, 2 2 3 F

. 3 d 1 2 8 6

, 1 2 9 4 ( 1 1 t h C i r

. 2 0 0 0 ) ( p e r c u r i a m ) ( c o l l e c t i n g c a s e s )

.

A s s u m i n g t h a t h a r m l e s s

- e r r o r a n a l y s i s a p p l i e s

, w e c a n n o t f i n d t h e d i s t r i c t 8

c o u r t ’ s e r r o r h a r m l e s s

. A t t r i a l

, t h e G o v e r n m e n t p r e s e n t e d a n i m p r e s s i v e d i s p l a y o f

e v i d e n t i a r y f

i r e p o w e r : e x p e r t w i t n e s s e s

, l o c a l p h a r m a c i s t s

, a n d L y ’ s f o r m e r

A ca se fr om the old Fifth Circuit, to which we are bound, Bonne r v. City of Prichar d, 8

661 F.2d 1206, 1207 ( 11th Cir. 1981) (en ba nc), sug g ests that harmless-e rror analy sis applies to

the rig ht to testify . Wright v. Estelle, 549 F .2d 971 (5th Cir. 1977), adhe red to e n banc, 572 F .2d

1071, 1072 (1978). I n Wright, the pa nel opinion rejec ted a ha

beas pe titioner’s claim that his

counsel re fused to let him testify , holding that a ny err or wa s harmless. I d. at 974. The f ull

court of f ourtee n judge s decide d to rehe ar the case en banc and ag ain re jected the petitioner’s

claim. Wright v. Estelle, 572 F .2d 1071, 1072 (5th Cir. 1978) (e n banc) . I n a sec tion tit led “B Y

THE COURT,” the opinion reads, “ the Court en banc adher es to the pane l opinion as published,”

sug g esting that the har

mless-err or applica tion remained la w. I d. But only

six judge s appea

red to

ag ree with the harmless e rror rationale . Five judg es, conc urring , “disag ree [d] with the

majority ’s re asoning ” but did not state whethe r they believed the rig ht to testify was subjec t to

harmless-e rror

analy sis. I d. at 1072–73 (Thor nberr y , J ., specia lly

concur ring ). And a

dissent,

speaking for thre e judg es, would have found that har mless-err or ana ly sis does not apply to

denials of the r ight to testify . I d. at 1080–82 (Godbold, J., dis senting ).

We cannot find a

case from our c ircuit confir ming the va lidity

of Wright’ s harmless-e rror

analy sis, and we note tha t a subsequent c ase va cating a def endant’ s conviction based on a denial

of the rig ht to testify

did not eng ag e in har

mless-err or ana ly sis. United States v. Scott, 909 F.2d

488 (11th Cir. 1990). B ut see United States v. Te ag ue, 908 F .2d 752, 760–61 (11th Cir. 1990),

vacated en ba

nc, 953 F .2d 1525, 1526, 1534 (1992) ( apply ing ha rmless-er ror a naly sis, but

vacated in favor

of ana ly zing the def

endant’ s claim under a

n ineffe ctive-a ssistance-of -counse l

framework) . This issue will be resolved in anothe r ca se.

23p a t i e n t s

. A g a i n s t t h a t e v i d e n c e

, h o w e v e r

, L y p r e s e n t e d n o t h i n g

. T h i s a b s e n c e

d e p r i v e d t h e j u r y o f a n a l t e r n a t e n a r r a t i v e

. W e r e L y t o t e s t i f y

, h e c o u l d h a v e

e x p l a i n e d h i s d i a g n o s t i c p r o c e d u r e s a n d h i s u n d e r s t a n d i n g o f p a i n

- m a n a g e m e n t

t e c h n i q u e s

. I n t h i s c o n t e x t

, w e c a n n o t c o n c l u d e b e y o n d a r e a s o n a b l e d o u b t t h a t t h e

d i s t r i c t c o u r t ’ s d e n i a l o f L y ’ s r i g h t t o t e s t i f y d i d n o t c o n t r i b u t e t o L y ’ s c o n v i c t i o n

.

I V

.

W e s t r e s s t h a t o u r h o l d i n g i s l i m i t e d t o i n s t a n c e s i n w h i c h t h e d i s t r i c t c o u r t

b e g i n s a c o l l o q u y r e g a r d i n g t h e d e f e n d a n t ’ s r i g h t t o t e s t i f

y

. T h i s a r e a o f t h e l a w i s

n o t w e l l l a i d

, a n d w e s h o u l d p r o c e e d w i t h c a u t i o n

. A d i s t r i c t c o u r t r u n s t h e r i s k o f

d e n y i n g a d e f

e n d a n t ’ s r i g h t t o t e s t i f

y b y e n g a g i n g i n t o o s e a r c h i n g o f a n i n q u i r y ;

i t s q u e s t i o n s m i g h t d a m p e n t h e d e f e n d a n t ’ s p r o t e c t e d c h o i c e

. S e e p a r t I I I

. A

, s u p r a

.

B u t w e t h i n k t h a t r e q u i r i n g a d i s t r i c t c o u r t t o c o r r e c t a p r o s e d e f e n d a n t ’ s b a s i c

m i s u n d e r s t a n d i n g r e g a r d i n g h i s f u n d a m e n t a l r i g h t t o t e s t i f y i s n o t a h e a v y b u r d e n

w h e n t h e c o u r t h a s a l r e a d y v e n t u r e d i n t o t h e f r a y a n d b e g u n i t s c o l l o q u y w i t h t h e

d e f e n d a n t

. B e c a u s e t h e d i s t r i c t c o u r t f a i l e d i n t h i s r e s p e c t

, L y ’ s c o n v i c t i o n s a r e

V A C A T E D a n d t h e c a s e i s R E M A N D E D t o t h e d i s t r i c t c o u r t

. 9

L y arg ued on appe al that the district cour t erre d when it consider ed his wife’ s assets in 9

deciding whether

he wa s elig ible for a

ppointed counsel. Spec ifically , he ar g ued that Ge org ia law

prohibits him from acce ssing those f unds, a point that he did not raise be low. We express no

view on the va lidity

of this arg ument, and assume tha t the district court will consider this point

should the Governme nt proce ed to re -try L y

.

24S O O R D E R E D

.

25