Opinion ID: 475859
Heading Depth: 2
Heading Rank: 2

Heading: The Faretta Standard

Text: 93
94 Having concluded that the district court erroneously failed to defer to the state court finding that Fitzpatrick understood the meaning of the term indigency, we next address whether or not Fitzpatrick has asserted his right of self-representation, and whether or not he understood the risks of self-representation in such manner that the Faretta standard is met. 95 In Faretta v. California, 422 U.S. 806, 95 S.Ct. 2525, 45 L.Ed.2d 562 (1975), the United States Supreme Court held that an accused has a Sixth Amendment right to conduct his own defense. Although both the right to counsel and the right to self-representation arise out of the Sixth Amendment, these rights are not precise opposites. United States v. Tompkins, 623 F.2d 824, 827 (2d Cir.1980). While a defendant's exercise of the right to self-representation necessarily involves the waiver of the right to be represented by a trained attorney, Hance v. Zant, 696 F.2d 940, 949 (11th Cir.1983), trial courts must apply additional safeguards before allowing a defendant to proceed pro se. 96 Before a court permits a defendant to represent himself at the trial, the defendant must clearly and unequivocally assert the right of self-representation. Raulerson v. Wainwright, 732 F.2d 803, 808 (11th Cir.), cert. denied, 469 U.S. 966, 105 S.Ct. 366, 83 L.Ed.2d 302 (1984). See Faretta, 422 U.S. at 835, 95 S.Ct. at 2541. The record clearly indicates that Fitzpatrick made such an assertion. On May 28, 1982, Fitzpatrick not only stated that he did not want a public defender, Trial Record at 39, but he signed a written waiver expressly waiving his right to be represented by counsel. Record on Appeal at 41. Fitzpatrick's statements on July 12, immediately prior to trial, further show that Fitzpatrick clearly and unequivocally asserted his right to represent himself at trial. The prosecutor and trial judge took great pains to have Fitzpatrick clarify whether he affirmatively wanted to proceed without the assistance of counsel. 97 At that pretrial hearing, the following exchange between Fitzpatrick and the prosecutor occurred: 98 Q Mr. Fitzpatrick, so the record can be crystal clear, are you now saying that you need counsel? 99 A No, I am not saying I need counsel. 100 Q So, you fully understand your rights to have an attorney, and knowing that you waive that? 101 A Yes, at ten eighteen, July 12th, I waive that right. 102 Trial Record at 52. See also Trial Record at 50-55, 84-86. We conclude that Fitzpatrick did clearly and unequivocally assert the right to self-representation. 103
104 Faretta and its progeny suggest that, in addition to the presence of a clear and unequivocal assertion of the right of self-representation, other safeguards are required. Because a defendant who exercises the right to conduct his own defense relinquishes many of the important benefits associated with the right to an attorney, a trial judge should normally conduct a waiver hearing to insure that the defendant understands the disadvantages of self-representation, including, inter alia, the defendant's understanding of the risks and complexities of his particular case. See Faretta, 422 U.S. at 835, 95 S.Ct. at 2541; Raulerson v. Wainwright, 732 F.2d 803, 808 (11th Cir.1984); Hance v. Zant, 696 F.2d 940, 949 (11th Cir.), cert. denied, 463 U.S. 1210, 103 S.Ct. 3544, 77 L.Ed.2d 1393 (1983), overruled on other grounds, Brooks v. Kemp, 762 F.2d 1383 (11th Cir.1985); United States v. Chaney, 662 F.2d 1148, 1152 (5th Cir.1981) (Unit B). 3 In the instant case, there were several hearings. Fitzpatrick was questioned with respect to his desire to proceed pro se at a calendar call on May 28, 1982 (at which time he signed a written waiver of his right to counsel), and, on July 12, 1982, the day of the trial. Trial Record at 37-94. However, the thrust of these examinations was whether Fitzpatrick wanted an appointed attorney, rather than the disadvantages of Fitzpatrick's self-representation. 4 The recorded colloquies between the judge, the prosecutor and Fitzpatrick in this case did not expressly address Fitzpatrick's understanding of the risks of self-representation. However, the case law indicates that, while a waiver hearing expressly addressing the disadvantages of a pro se defense is much to be preferred, it is not absolutely necessary. The ultimate test is not the trial court's express advice, but rather the defendant's understanding. See United States v. Hafen, 726 F.2d 21, 26 (1st Cir.), cert. denied, 466 U.S. 962, 104 S.Ct. 2179, 80 L.Ed.2d 561 (1984); United States v. Kimmel, 672 F.2d 720, 721-22 (9th Cir.1982). But see United States v. Welty, 674 F.2d 185, 188 (3d Cir.1982). If the trial record demonstrates that Fitzpatrick's decision to represent himself was made with an understanding of the risks of self-representation, the knowing, intelligent, and voluntary waiver standard of the Sixth Amendment will be satisfied. So long as the record establishes that Fitzpatrick  '[knew] what he [was] doing and his choice [was] made with eyes open,'  the trial judge's decision to allow Fitzpatrick to represent himself will be upheld. See Faretta, 422 U.S. at 835, 95 S.Ct. at 2541 (quoting Adams v. United States ex rel. McCann, 317 U.S. 269, 279, 63 S.Ct. 236, 241-42, 87 L.Ed. 268 (1942)). 105 Although the Supreme Court has not precisely defined the extent of the Faretta inquiry, lower courts have examined a variety of factors in analyzing this issue. As previously stated, a valid waiver must be made knowingly and intelligently. This question depends on the particular facts and circumstances of each case, including the background, experience, and conduct of the accused. Johnson v. Zerbst, 304 U.S. 458, 464-65, 58 S.Ct. 1019, 1023, 82 L.Ed. 1461 (1938). Background factors that have been considered include the defendant's age and educational background. Mixon v. United States, 608 F.2d 588, 590 (5th Cir.1979), vacated on other grounds, 616 F.2d 253 (5th Cir.1980). 5 See Faretta, 422 U.S. at 835, 95 S.Ct. at 2541. In Fitzpatrick's case, these factors militate in favor of finding a valid waiver. Fitzpatrick was not a minor nor uneducated. Fitzpatrick's own testimony established that he attended high school, took college courses and taught Latin, English, and humanities in high school. Although the record does not reflect his precise age, Fitzpatrick stated that he was a lieutenant in the Marine Corps in the Korean War. Trial Record at 55. Fitzpatrick also stated that he was in good physical health, he was not using any medication that might impair his judgment, he was not suffering from any physical or mental affliction or disease that might impair his judgment, and he had never been declared mentally incompetent by a court of law. Trial Record at 54-55. Especially relevant to Fitzpatrick's understanding of the risks of self-representation with respect to the securities charges is the fact that he is an experienced stockbroker. Trial Record at 185. 106 Another factor courts consider in determining whether the risks of a pro se defense are understood is whether a defendant is represented by counsel before trial. United States v. Hafen, 726 F.2d 21, 25 (1st Cir.), cert. denied, 466 U.S. 962, 104 S.Ct. 2179, 80 L.Ed.2d 561 (1984). Although it would not be fair to characterize Fitzpatrick's relationship with the attorneys he attempted to hire as representation, it is apparent from the record that Fitzpatrick had significant contact with those attorneys. Through this contact, he must have recognized that his case was more complex than he originally thought. For example, on January 6, 1982, Leon St. John, appearing on behalf of Fitzpatrick, stated that he would discuss the complexity of the case with Fitzpatrick in negotiating his fee. Supp.Record, vol. 2 at 2-3. On April 19, 1982, Marc Goldstein stated that he and Fitzpatrick were negotiating a fee which, because of the nature of the case, [required] a fairly large sum of money as a retainer. Trial Record at 32. Fitzpatrick's contact with St. John, Goldstein and other attorneys inevitably gave Fitzpatrick some indication of the difficulty of self-representation in his particular case. 107 Other factors courts consider in determining whether a defendant's decision to represent himself is knowing and intelligent also tip the scales in favor of finding a valid waiver in this case. One of these factors is Fitzpatrick's knowledge of the nature of the charges and the possible penalty he was subject to if convicted. Maynard v. Meacham, 545 F.2d 273, 279 (1st Cir.1976). During the July 12 hearing prior to the beginning of trial, the trial judge and prosecutor, in Fitzpatrick's presence, discussed the gravity of the charges, specifically that all crimes charged against Fitzpatrick were third-degree felonies. Trial Record at 86. Further, the transcript of that hearing clearly shows that Fitzpatrick understood the nature of the charges against him prior to trial. See Trial Record at 65-95. 6 108 Another factor to be considered in this case is whether Fitzpatrick understood that he would be required to comply with the rules of procedure at trial. Maynard v. Meacham, 545 F.2d at 279; see Faretta, 422 U.S. at 808 n. 2, 835-36, 95 S.Ct. at 2527 n. 2, 2541-42. Fitzpatrick's experience representing himself at the pre-trial motion to suppress hearing made him sufficiently aware that he was required to comply with court rules. At the July 12 hearing immediately preceding Fitzpatrick's trial on that same day, the trial judge heard Fitzpatrick's motion to suppress certain evidence. Trial Record at 47-94. Our review of the transcript of this hearing reveals that Fitzpatrick understood about compliance with normal court procedure, and that he generally knew how to handle himself in court. Trial Record at 55-83. Moreover, Fitzpatrick's own comments indicate that he felt that the procedural aspects of his case were manageable. See Trial Record at 52 ([A]s far as there have been no complexities ... involved in this motion ... I have not felt that I needed [counsel].); see also Trial Record at 85. 109 Other factors considered by courts in determining the validity of a Faretta waiver include whether the waiver was a result of coercion or mistreatment of the defendant, Blassingame v. Estelle, 604 F.2d 893 (5th Cir.1979), whether the exchange between the defendant and the court consisted merely of pro forma answers to pro forma questions, United States v. Gillings, 568 F.2d 1307, 1309 (9th Cir.), cert. denied, 436 U.S. 919, 98 S.Ct. 2267, 56 L.Ed.2d 760 (1978); United States v. Curcio, 680 F.2d 881, 889 (2d Cir.1982), and whether the defendant had knowledge of possible defenses he might raise, Maynard v. Meachum, 545 F.2d 273 (1st Cir.1976); United States v. Welty, 674 F.2d 185, 189 (3d Cir.1982). There is no evidence in this case that Fitzpatrick's decision to proceed pro se was the result of coercion or mistreatment. Neither were the colloquies between Fitzpatrick and the prosecutor of the type criticized in Gillings and Curcio. On the contrary, while some of the questions posed to Fitzpatrick were yes or no, for the most part Fitzpatrick's responses were in narrative form. 110 Further, it is clear that Fitzpatrick had knowledge of some legal challenges he might raise in defense of the charges against him. On the day of trial, Fitzpatrick moved and argued forcefully for the suppression of evidence that the prosecution planned to present. In defense of the fraud charges, Fitzpatrick indicated prior to trial that he planned to trace the funds he had allegedly misappropriated so that the jury would be satisfied that he had done nothing wrong. Although we realize that Fitzpatrick's technical legal knowledge did not approach that of a skilled attorney, his legal acumen need not rise to that level to satisfy Faretta. Rather, Fitzpatrick need only to have appreciated the risks of self-representation and his knowledge of possible defenses tends to show that he understood at least some of the complexities of his case. 111 Another factor that is important in this case is whether the defendant was attempting to delay or manipulate the proceedings. United States v. Tompkins, 623 F.2d 824, 828 (2d Cir.1980); see United States v. Fowler, 605 F.2d 181, 183 (5th Cir.1979). Evidence of manipulation or intentional delay implies a greater understanding of the proceedings and an understanding of the risks and complexities of a criminal trial. As can be readily seen from our recitation of the facts, Fitzpatrick manipulated the proceedings, the trial court and his numerous attorneys in an attempt to delay as long as possible having to answer the charges against him. See supra pp. 1059-1063. 112 Two other factors courts have considered weigh in favor of finding that Fitzpatrick's understanding of the disadvantages of self-representation was inadequate. Fitzpatrick had had no previous involvement in criminal trials, see Hafen, 726 F.2d at 25, nor was stand-by counsel appointed to assist him with his pro se defense, see Faretta, 422 U.S. at 834 n. 46, 95 S.Ct. at 2541 n. 46; Hance v. Zant, 696 F.2d 940, 950 n. 6 (11th Cir.), cert. denied, 463 U.S. 1210, 103 S.Ct. 3544, 77 L.Ed.2d 1393 (1983), overruled on other grounds, Brooks v. Kemp, 762 F.2d 1383 (11th Cir.1985); Hafen, 726 F.2d at 25. Despite these two factors favorable to Fitzpatrick, we nonetheless conclude that, in light of the other factors previously discussed, Fitzpatrick sufficiently understood the disadvantages of conducting a pro se defense to satisfy the Faretta standard. 7 113 Although we recognize that only rarely will the Faretta standards be satisfied absent a hearing at which the defendant is expressly advised of the risks and disadvantages of self-representation, we conclude that this is such a case. Fitzpatrick's background and sophistication in the securities area combined with his contact with numerous attorneys prior to trial convince us that Fitzpatrick specifically understood, as he said in his opening statement at trial, that securities fraud is a high[ly] technical area. This understanding, in addition to his knowledge of at least some available defenses, his obvious attempts to manipulate the proceedings, and the other factors discussed above persuade us that he sufficiently understood the risks of a pro se defense such that the Faretta requirements are met.