Opinion ID: 778993
Heading Depth: 4
Heading Rank: 2

Heading: The Responsibility of the Court

Text: 82 It is the tension between the right to have counsel and the right to represent oneself that places upon the trial court the weighty responsibility of conducting a sufficiently penetrating inquiry to satisfy itself that the defendant's waiver of counsel is knowing and understanding as well as voluntary. The Supreme Court's jurisprudence reflects a long tradition of concern for persons haled into a legal system that they cannot understand and in need of assistance to help them navigate. See, e.g., Von Moltke v. Gillies, 332 U.S. 708, 720, 68 S.Ct. 316, 92 L.Ed. 309 (1948). But requiring a trial court to be particularly vigilant when a defendant waives his right to counsel even predates Von Moltke. 83 This protecting duty imposes the serious and weighty responsibility upon the trial judge of determining whether there is an intelligent and competent waiver by the accused. While an accused may waive the right to counsel, whether there is a proper waiver should be clearly determined by the trial court, and it would be fitting and appropriate for that determination to appear upon the record. 84 Johnson v. Zerbst, 304 U.S. 458, 465, 58 S.Ct. 1019, 82 L.Ed. 1461 (1938). Citing to Zerbst, the Von Moltke Court stressed that the discourse with the defendant is not a mere procedural formality but that it requires a judge to 85 investigate as long and as thoroughly as the circumstances of the case before him demand. The fact that an accused may tell him that he is informed of his right to counsel and desires to waive this right does not automatically end the judge's responsibility. To be valid such waiver must be made with an apprehension of the nature of the charges, the statutory offenses included within them, the range of allowable punishments thereunder, possible defenses to the charges and circumstances in mitigation thereof, and all other facts essential to a broad understanding of the whole matter. A judge can make certain that an accused's professed waiver of counsel is understandingly and wisely made only from a penetrating and comprehensive examination of all the circumstances under which such a plea is rendered. 86 This case graphically illustrates that a mere routine inquiry — the asking of several standard questions followed by the signing of a standard written waiver of counsel — may leave a judge entirely unaware of the facts essential to an informed decision that an accused has executed a valid waiver of his right to counsel. Von Moltke, 332 U.S. at 723-24. 9 87 As far back as 1965 — ten years prior to Faretta — we also began to articulate the scope of the court's responsibility when a defendant seeks to proceed pro se, drawing upon Von Moltke. See United States v. Washington, 341 F.2d 277, 285 (3d Cir. 1965). We have refined those requirements to reflect the obligations placed upon the district court through Faretta and its progeny. 88 In skeletal form, the requirements are these. 89 1. The defendant must assert his desire to proceed pro se clearly and unequivocally. See, e.g., Buhl v. Cooksey, 233 F.3d 783, 791 (3d Cir.2000). 10 90 2. The court must inquire thoroughly to satisfy itself that the defendant understands the nature of the charges, the range of possible punishments, potential defenses, technical problems that the defendant may encounter, and any other facts important to a general understanding of the risks involved. Charles, 72 F.3d at 404. 91 3. The court must assure itself that the defendant is competent to stand trial. Id. 11 92 Because a request to dismiss counsel just before (or during) trial may well require a continuance, our court has also developed a good cause test, whereby a court confronted with a time-sensitive request to proceed absent current counsel should ascertain the defendant's reasons for his dissatisfaction with counsel. United States v. Welty, 674 F.2d 185, 187 (3d Cir.1982). Accord, Virgin Islands v. James, 934 F.2d 468, 471 (3d Cir.1991); Buhl, 233 F.3d at 798. If there is good cause, the court is required to grant a continuance and appoint new counsel, unless the defendant expressly wishes to proceed pro se. If the court does not find good cause, the court must inform the defendant that he can either proceed with current counsel, or represent himself. See, e.g., Welty, 674 F.2d at 187. If he indicates a desire to represent himself, the court must then conduct a Faretta inquiry. Id. 93 While the identification of the defendant's reasons for wishing to dismiss his current counsel is more pertinent when substitute counsel is desired, we have noted that his reasons may also inform the knowing, understanding, and voluntary inquiry as well. Buhl, 233 F.3d at 798-99; see also Stubbs, 281 F.3d at 117 (noting with respect to a mid-trial request to proceed pro se that the defendant's motives may still be relevant as they may shed light on whether the defendant's waiver has been made knowingly and intelligently); Jermyn v. Horn, 266 F.3d 257, 290 (3d Cir.2001) (perceiving an assessment by the court of the defendant's intentions in seeking to take over his defense mid-trial as pertinent to a determination of whether his waiver of counsel was knowing); Charles, 72 F.3d at 404 (stating without elaboration that a court must make an inquiry regarding the defendant's reasons for the request as the first step in a Faretta inquiry). We note that every case in which we have iterated the good cause test has involved a request that is on the eve of trial or, as was the case in Stubbs, during trial. 12 94 In sum, a district court cannot make an informed decision as to the knowing and voluntary nature of a defendant's request to proceed pro se without a thorough inquiry, on the record, to assure itself that the defendant fully apprehends the nature of the charges against him, the perils of self-representation, and the requirements that will be placed upon him. This calls for specific forewarning of the risks that foregoing counsel's trained representation entails. Once the court has fulfilled those responsibilities, however, if the defendant still elects to proceed pro se, the court must permit him to do so. 95