Opinion ID: 1351145
Heading Depth: 3
Heading Rank: 1

Heading: The trial court's rulings on defendant's self-representation and related motions

Text: Defendant makes numerous challenges relating to the trial court's rulings on his various counsel and self-representation motions. In order to analyze these claims we must set out in some detail the procedural history. Defendant was arraigned in Sacramento County, and he thereafter moved for a change of venue. In late March 1981, before that motion was resolved, he filed the first of many motions for a Marsden hearing ( People v. Marsden (1970) 2 Cal.3d 118 [84 Cal. Rptr. 156, 465 P.2d 44]), asserting that his counsel, Deputy Public Defender Donald Manning, had failed to file requested motions or secure the services of an investigator. Pursuant to Marsden, supra, defendant asked the court to discharge Manning and/or to appoint a different attorney. When a hearing was held, however, defendant told the court he was satisfied with Manning, and would withdraw his Marsden motion. Three months later defendant filed another Marsden motion, seeking substitution of Manning for his failure to file, inter alia, a suppression motion. Defendant's concerns were resolved to his satisfaction after discussing the matters with the court. In September 1981, however, defendant again raised the counsel issue, claiming a conflict of interest had arisen between him and Manning because Manning had made promises that he had not fulfilled. At a hearing on these matters defendant requested new counsel. After a subsequent in camera hearing the court denied defendant's motion to relieve Manning. Defendant then wrote to the court, claiming a complete and total breakdown in communication between himself and Manning, filed a declaration of conflict between attorney and client, and formally requested substitution of counsel. At a later hearing, however, defendant elected not to pursue his counsel motions, in favor of waiting for a ruling on a previously filed change of venue motion. Still later  in early 1982  defendant filed another declaration of a conflict with Manning. After a hearing the court denied defendant's request for substitute counsel, stating it had heard no new evidence establishing a true conflict. In March 1982, on Manning's motion and pursuant to Penal Code section 1095, the court appointed Richard G. Fathy as second counsel for defendant. In June of that year defendant filed a Faretta motion ( Faretta v. California (1975) 422 U.S. 806 [45 L.Ed.2d 562, 95 S.Ct. 2525]), seeking to discharge both counsel and proceed in propria persona. Defendant agreed the court could defer ruling on the Faretta motion until after it ruled on his pending motion for change of venue. When the court granted the change of venue, the case was transferred to Contra Costa County, where defendant immediately renewed his Faretta motion. Judge Spellberg, who eventually presided over defendant's trial, conducted the Faretta hearing. After hearing defendant in camera, the court posed the question whether defendant should be examined by a psychiatrist pursuant to Penal Code section 1368 (all further statutory references are to this code unless otherwise stated) to determine if he was competent to stand trial. Defendant, his counsel, and the prosecutor all opposed the court's suggestion, and defendant asserted he would not participate in any such interview. After further discussion the court decided an examination would not be appropriate; it found defendant's responses to be intelligent, alert and bright, and proceeded to consider the Faretta motion. The court questioned defendant thoroughly and advised him of the consequences of representing himself. The court specifically advised defendant that if you are dissatisfied with the counsel you have presently and may wish to substitute counsel, the court would entertain that as an alternative to your representing yourself. Defendant asserted he did not want substitute counsel, he knew his case better than anyone else, and he wanted to represent himself. The court gave defendant a day to reconsider his request, and then brought in Justice Channell, then a superior court judge, to help explain to defendant the pitfalls of proceeding in propria persona. After Justice Channell described his experiences with defendants who represented themselves in major cases, and after the trial court again advised defendant of the dangers of self-representation, defendant stated he had considered the matter carefully and still wanted to represent himself. The court advised defendant that he would not be able to stop the case in the middle of trial by announcing that he had changed his mind and wanted a lawyer. Defendant stated he understood, and the court, concluding defendant appeared competent to represent himself, granted his Faretta motion. The court also appointed a third attorney  Thomas Maddock  as advisory and standby counsel for the guilt phase, and stated that it would appoint Fathy to handle the penalty phase if circumstances warranted. During voir dire defendant refused to communicate with Maddock, and repeatedly objected to the court in chambers about Maddock's presence. After voir dire was completed defendant successfully moved to have Maddock dismissed. After the trial began defendant complained to the court that he was having difficulty making appropriate objections. Approximately two months after jury selection commenced, and about one month into the prosecution's case-in-chief, defendant  after failing to cross-examine Charlene's mother and experiencing difficulty cross-examining Charlene  told the court in chambers, The bottom line is I don't know if I can continue.... I would respectfully request ... that my lawyers be reassigned to my case. He explained that he had not wanted to impeach his former mother-in-law, and that he had emotional problems cross-examining Charlene. The trial court responded, I can't reassign a lawyer at this particular point in the case. If you wish me to get advisory counsel to come in, I will get advisory counsel. But I warned you when we started this case that I was unprepared to allow the case to be stopped in the middle. [¶] I cannot conceive of any lawyers willing to come in at this point. If Mr. Manning and/or Mr. Fathy wish to come into this case at this point and take it up at this point, I will assign them. But I know they are going to be unwilling to do so. But I will certainly contact them. Defendant stated that if Manning or Fathy refused to return he would continue to represent himself, and that he refused to allow Maddock to assist him. The court told defendant that it could attempt to locate other attorneys willing to enter the case if Manning and Fathy declined, and defendant responded he doubted any other lawyer would be willing to do so. The court contacted both Manning and Fathy and asked them to return to the trial after being granted a continuance. Both attorneys declined, saying that because they had not participated in jury selection or heard the prior testimony, they would not return unless the court granted a mistrial. The court explained to defendant that in light of his earlier warnings about defendant's changing his mind in the middle of trial, the court would not grant a mistrial. The trial resumed with defendant continuing to represent himself. At various later times defendant complained in chambers that he was having difficulty cross-examining Charlene. When the prosecution proposed to introduce, as other crimes evidence, testimony about the Vaught/Scheffler killings, defendant again asked the court to appoint Manning and/or Fathy. The court again contacted Manning and Fathy, but again each refused to reenter the case unless a mistrial was granted, and again the court stated it saw no grounds for so doing. Finally, for the third time  during the prosecution's rebuttal  defendant announced, this trial is not how I expected trial to be, and asked the court to order Manning to return to the case. The court reminded defendant that it had spoken numerous times with both Manning and Fathy, and that both refused to reenter the case unless a mistrial was granted, which the court refused to do. The court noted that it had attempted to find other attorneys willing to enter the case without a mistrial being granted, but was unable to locate any such counsel. The court allowed defendant to telephone Manning personally to attempt to convince him to return, but Manning held firm and refused to do so. As noted above, Fathy eventually agreed to return to the case to represent defendant at the penalty phase. a. Waiver of counsel. (1) Defendant asserts he did not make a knowing or intelligent waiver of counsel. ( Faretta, supra, 422 U.S. 806, 835 [45 L.Ed.2d at pp. 581-582].) The record as a whole belies his claim, and demonstrates that the court cautiously and at length informed defendant of the dangers of self-representation, and that defendant freely elected his course despite all advice to the contrary because he felt he could present his case better than anyone else. (See People v. Bloom (1989) 48 Cal.3d 1194, 1225 [259 Cal. Rptr. 669, 774 P.2d 698].) In his reply and supplemental briefs defendant cites numerous examples of his confusion over legal and other matters during the course of the six-month trial. It is hardly surprising that a lay person granted self-representation rights would find various aspects of trial confusing, and might present aspects of his case to his own detriment, but it is also irrelevant to the question whether the waiver of counsel was knowing and intelligent. (See Ferrel v. Superior Court (1978) 20 Cal.3d 888, 891 [144 Cal. Rptr. 610, 576 P.2d 93].) As defendant himself stated to the court during the Faretta hearing, Your honor, my knowledge of the law is not one of the factors that qualifies me for Faretta. ... Whether I stumble through Witherspoon or sail through like a Supreme Court Justice would not be a qualification. In a related argument, defendant, citing cases in which defendants elected to proceed in propria persona in the face of trial courts' erroneous refusals to consider appointment of substitute counsel ( People v. Cruz (1978) 83 Cal. App.3d 308 [147 Cal. Rptr. 740]; People v. Hill (1983) 148 Cal. App.3d 744 [196 Cal. Rptr. 382]), also suggests the court should have interpreted his Faretta motion as a Marsden ( supra, 2 Cal.3d 118) motion for substitution of counsel. He concludes the court erred in failing to determine whether defendant merely sought appointment of different counsel. As explained above, however, the Sacramento Superior Court addressed and resolved defendant's Marsden concerns. Six months later, after the matter was transferred to the Contra Costa Superior Court, Judge Spellberg expressly asked defendant whether he sought replacement counsel, and told defendant the court would be willing to entertain such a request. Defendant plainly responded he did not seek replacement counsel, and that he wanted only to represent himself because he felt he was the best advocate for his cause. We conclude, as we have in other recent cases, that the court did not err in failing to treat the Faretta claim as a Marsden motion for substitution of counsel. (See People v. Crandell (1988) 46 Cal.3d 833, 854-855 [251 Cal. Rptr. 227, 760 P.2d 423] [A request for self-representation does not trigger a duty to conduct a Marsden inquiry ... or to suggest substitution of counsel as an alternative.]; People v. Burton (1989) 48 Cal.3d 843, 855 [258 Cal. Rptr. 184, 771 P.2d 1270].) b. Defendant's competence to waive counsel. (2) Defendant suggests that because the court at first considered requiring defendant to undergo a competency or psychiatric examination under section 1368, it erred in later accepting defendant's waiver of counsel. The record discloses, however, that the court was simply being cautious in suggesting the need for an examination, and it later stated that its initial concerns about defendant were incorrect. Indeed, the court concluded defendant did not appear to be any less competent than anyone else in this courtroom. The record plainly establishes that defendant had the mental capacity to realize the probable risks and consequences of self-representation. c. Failure to order a competency hearing. (3) In a related argument, defendant suggests the court abused its discretion in failing to order a section 1368 competency hearing. First, contrary to defendant's view, People v. Hale (1988) 44 Cal.3d 531 [244 Cal. Rptr. 114, 749 P.2d 769] and People v. Marks (1988) 45 Cal.3d 1335 [248 Cal. Rptr. 874, 756 P.2d 260] are plainly inapposite; in those cases, the trial courts ordered hearings under section 1368, but the hearings were never held. Here, as noted above, the trial court never ordered such a hearing. The record reveals the court's preliminary concerns about defendant's competency to stand trial were resolved to its satisfaction after discussions with defendant and both counsel. Because there was no substantial evidence (such as a sworn statement of a mental health professional that defendant was incapable of understanding the purpose and nature of the proceedings) of defendant's incompetence to stand trial, the decision to order such a hearing was left to the court's discretion. ( People v. Pennington (1967) 66 Cal.2d 508, 518 [58 Cal. Rptr. 374, 426 P.2d 942].) On this record we do not find the court abused its discretion. d. Conduct of standby counsel. As noted above, Attorney Maddock was appointed standby counsel at the start of trial, but was relieved at the conclusion of voir dire. Defendant refused to speak or communicate with Maddock, objected to Maddock's passing a note to him, and at various points complained to the court that he did not want the jury to receive the impression that Maddock was assisting him. To this end the court granted defendant's request that Maddock be instructed to sit far away from him, and that when it became necessary to hold discussions in chambers, Maddock should not enter the judge's chambers with defendant, but rather should use a side door. (4) Despite these precautions defendant insists Maddock's presence was so intrusive he was denied his right to self-representation, citing McKaskle v. Wiggens (1984) 465 U.S. 168 [79 L.Ed.2d 122, 104 S.Ct. 944]. In that case the standby counsel was considerably more visible to the jury than was Maddock, and yet the high court rejected a claim of excessive interference with self-representation rights. For example, counsel in McKaskle, at the trial court's request, questioned one of the defendant's witnesses in order to lay a foundation for introduction of a document, and the defendant then resumed his examination of the witness. The court found irreproachable this and other aspects of standby counsel's involvement in the basic mechanics of jury trial. ( Id., at p. 185 [79 L.Ed.2d at pp. 137-138].) In contrast, Maddock was not even introduced to the jury, defendant never consulted with him in front of the jury, and he was instructed to sit away from defendant. We conclude McKaskle provides no support for defendant's claim of unreasonable interference. e. The court's rulings on defendant's motions to change from self-representation to counsel representation. (5) Defendant asserts the trial court failed to exercise discretion or judgment in the face of his midtrial requests for appointment of counsel, and that reversal is required. In People v. Windham (1977) 19 Cal.3d 121, 128 [137 Cal. Rptr. 8, 560 P.2d 1187], we set out various factors a trial court should consider when faced with a midtrial request to change from counsel representation to self-representation. We expressed no opinion about the inquiry needed in the opposite situation, i.e., when a self-represented defendant seeks appointment of counsel midtrial. (See id. at p. 131, fn. 7.) Subsequent Court of Appeal decisions have addressed that issue. In People v. Elliott (1977) 70 Cal. App.3d 984 [139 Cal. Rptr. 205], the court held: Some of the factors to be considered are similar to the factors involved in the exercise of discretion by the trial court in ruling on a defendant's request to change from counsel-representation to self-representation. Relevant factors should include, among others, the following: (1) defendant's prior history in the substitution of counsel and the desire to change from self-representation to counsel-representation, (2) the reasons set forth for the request, (3) the length and stage of the trial proceedings, (4) disruption or delay which reasonably might be expected to ensue from the granting of such motion, and (5) the likelihood of defendant's effectiveness in defending against the charges if required to continue to act as his own attorney. [¶] As in Windham, a trial judge must establish a record based upon the relevant factors involved and then exercise his discretion and rule on defendant's request for a change from self-representation to counsel-representation. ( Elliott, supra, 70 Cal. App.3d at pp. 993-994; see also People v. Cruz, supra, 83 Cal. App.3d 308, 321.) In People v. Smith (1980) 109 Cal. App.3d 476, 484 [167 Cal. Rptr. 303], the court accepted the Elliott-Cruz factors, but added: While the consideration of these criteria is obviously relevant and helpful to a trial court in resolving the issue, they are not absolutes, and in the final analysis it is the totality of the facts and circumstances which the trial court must consider in exercising its discretion as to whether or not to permit a defendant to again change his mind regarding representation in midtrial. We agree with Smith, and conclude that viewing the totality of the facts and circumstances the trial court here properly exercised its discretion. As noted above, before trial defendant made numerous motions and declarations concerning his conflict with Manning and Fathy. Subsequently, however, he wanted only them to represent him. This history militates against defendant's midtrial request. Defendant stated he changed his mind because he felt he could not adequately cross-examine Charlene and her mother. By that advanced stage of trial, however, he had exhibited considerable knowledge of both trial tactics and trial procedure. In this setting, the court could have legitimately discounted defendant's protestations, and concluded his future effectiveness would not be impaired. The request came late in the guilt phase trial, after a substantial part of the prosecution case had been presented, and after defendant had a chance to perceive that things were not proceeding as smoothly as he had envisioned. Contrary to defendant's claim that the court blindly held to its pretrial warning that defendant would not be allowed to change his mind about self-representation midtrial, the record shows the trial court on three occasions attempted, at defendant's request and on his behalf, to bring former counsel back into the trial. And, contrary to defendant's suggestion, the record does not suggest the trial court confined its search for appropriate counsel to Manning and Fathy and no one else. In fact, the record demonstrates the court attempted, unsuccessfully, to locate other counsel willing to enter the case and accept a continuance. The court's refusal, on these facts, to accede to counsel's demand of a mistrial as the price of their return, does not render the trial court's decision an abuse of discretion. The court was apparently willing to allow a continuance, and hence a delay of the trial, but was not willing to allow a mistrial, which the court felt was unwarranted under the circumstances. Although the court might have simply ordered Manning and Fathy to return to the trial on threat of contempt (see People v. McKenzie (1983) 34 Cal.3d 616 [194 Cal. Rptr. 462, 668 P.2d 769]), we are not prepared to say in these circumstances that the court abused its discretion in failing to do so. In sum, we perceive no abuse of discretion in the trial court's rulings. f. Defendant's presence during discussions with previous counsel. (6) In his supplemental brief defendant asserts the court erred by conducting in-chambers discussions by telephone with Manning and Fathy without his presence and without his express waiver of presence. He asserts, inter alia, [t]he proceeding was exceedingly important, as it determined whether counsel would reenter the case and what their specific reasons were for not reentering the case. As a general rule, the accused is not entitled to be personally present during proceedings which bear no reasonable, substantial relation to his opportunity to defend the charges against him, and `[t]he burden is upon defendant to demonstrate that his absence prejudiced his case or denied him a fair and impartial trial.' ( People v. Hovey (1988) 44 Cal.3d 543, 573-574 [244 Cal. Rptr. 121, 749 P.2d 776].) In Hovey we held the defendant had no right to be present at an in-chambers hearing on his trial counsel's competence. The People suggest defendant waived his presence by acceding to the court's stated plans to telephone former counsel and to solicit other counsel as well, apparently without defendant's presence. We need not decide whether defendant waived his presence, however, because it is clear that in any event defendant cannot show that the telephone discussions between the court and former counsel bore a substantial relation to his opportunity to defend against the charges. Nor can he show that his absence from such discussions would have altered his former counsel's decisions (we note that the court had offered defendant the opportunity to telephone former counsel personally), much less that his absence prejudiced his case or denied him a fair trial.