Opinion ID: 1188889
Heading Depth: 2
Heading Rank: 3

Heading: Defendant's waiver of counsel

Text: Defendant next argues that his waiver of counsel was invalid. He gives three reasons: (1) it was error to allow Defendant to continue to represent himself without ordering a mental competency hearing after the court learned that Defendant would be relying on a temporary insanity defense; (2) it was error to accept the waiver without specifically warning Defendant that self-representation was incompatible with an insanity defense; and (3) it is error to allow any defendant asserting an insanity defense to waive the right to counsel. As a preliminary matter, we note that the applicable standard of review governing the issue of a defendant's waiver of counsel is not settled. This court has previously called the validity of such a waiver a question of fact, implying that a deferential standard applies. State v. Doss, 116 Ariz. 156, 160, 568 P.2d 1054, 1058 (1977). Courts in other jurisdictions have expressly applied deferential standards. See, e.g., Crystal v. State, 616 So.2d 150, 152 (Fla.App. 1993) (abuse of discretion standard); State v. Gallant, 595 A.2d 413, 416 (Me. 1991) (same); State v. Green, 238 Neb. 328, 470 N.W.2d 736, 746 (1991) (clearly erroneous standard). However, at least one court on habeas corpus review has described this as a mixed question of law and fact and applied a de novo standard. See Harding v. Lewis, 834 F.2d 853, 857 (9th Cir.1987) cert. denied, 488 U.S. 871, 109 S.Ct. 182, 102 L.Ed.2d 151 (1988). The parties to this case have not directly argued the standard of review to us, and we do not attempt to settle the question here. However, because Defendant has been sentenced to death we have reviewed the entire record for fundamental error, and our review has convinced us that the answer to Defendant's contentions would be the same under either a de novo or deferential standard.
Defendant first argues that the trial court erred by not ordering a competency hearing after the court learned that Defendant would be asserting a type of insanity defense. [1] The United States Constitution creates a delicate balance between a defendant's right to counsel and the right to proceed in propria persona. The Sixth and Fourteenth Amendments to the United States Constitution protect both of these rights. Faretta v. California, 422 U.S. 806, 95 S.Ct. 2525, 45 L.Ed.2d 562 (1975). The right to waive counsel is therefore limited in several ways. See generally John S. Herbrand, Annotation, Accused's Right to Represent Himself in State Criminal Proceeding  Modern State Cases, 98 A.L.R.3D 13 § 2[a] (1980) (hereinafter Accused's Right to Represent Himself ). One limitation is that a waiver of counsel, to be valid, must be made knowingly, intelligently, and voluntarily. Edwards v. Arizona, 451 U.S. 477, 482, 101 S.Ct. 1880, 1884, 68 L.Ed.2d 378 (1981); Faretta, 422 U.S. at 835, 95 S.Ct. at 2541. A mentally incompetent defendant cannot knowingly or intelligently waive constitutional rights. Pate v. Robinson, 383 U.S. 375, 86 S.Ct. 836, 15 L.Ed.2d 815 (1966); Doss, 116 Ariz. at 160, 568 P.2d at 1058; see also Westbrook v. Arizona, 384 U.S. 150, 86 S.Ct. 1320, 16 L.Ed.2d 429 (1966). Had Defendant been alleged to be insane at the time of trial, the trial court would have been required to hold a hearing on his competence to waive counsel, even if there had already been a finding that he was competent to stand trial. Westbrook, 384 U.S. at 150, 86 S.Ct. at 1320. In the present case, however, no one has ever alleged that Defendant was mentally ill at the time of trial. In fact, Defendant's own expert witness testified at trial that Defendant was not insane at the time of trial. Rather, Defendant claimed that he had suffered from a special form of temporary insanity that was triggered by a specific event. The test for whether a competency hearing is mandated is not whether a defendant was insane at some time in the past, or even whether he was free of all mental illness at the time of the waiver. See State v. Harding, 137 Ariz. 278, 286, 670 P.2d 383, 391 (1983) (mere diagnosis of mental illness does not necessarily preclude valid waiver); State v. Evans, 125 Ariz. 401, 403, 610 P.2d 35, 37 (1980) (same). Rather, it is whether, on the basis of the facts and circumstances known to the trial judge, there was or should have been a good faith doubt about the defendant's ability to understand the nature and consequences of the waiver, or to participate intelligently in the proceedings and to make a reasoned choice among the alternatives presented. Harding, 834 F.2d at 856; see also Cuffle v. Goldsmith, 906 F.2d 385, 392 (9th Cir.1990); State v. Martin, 102 Ariz. 142, 146, 426 P.2d 639, 643 (1967). If the record raises such a doubt, then due process required the court to initiate a hearing on the defendant's competence to waive counsel. This duty continues throughout the trial if any evidence of defendant's incompetence to waive the right to counsel and proceed in propria persona arises. State v. Mott, 162 Ariz. 452, 459-60, 784 P.2d 278, 285-86 (Ct.App. 1990). Thus, the question in the present case is whether the evidence raised some doubt about Defendant's competence to waive counsel at the waiver hearing or at any subsequent stage of the trial. Such a doubt arises when there is `substantial evidence' of incompetence. Harding, 834 F.2d at 856; see also Evans v. Raines, 534 F. Supp. 791, 795 (D.Ariz. 1982). Evidence of incompetence may include, but is not limited to, the existence of a history of irrational behavior, medical opinion, and the defendant's demeanor at trial. Evans, 534 F. Supp. at 795. Our review of the record shows that Defendant's behavior during the hearing and at trial gave no reason to suspect that he was mentally incompetent to understand his rights. On the contrary, Defendant listened to the judge's questions at the waiver hearing and answered them intelligently. Moreover, throughout the pretrial and trial period, Defendant prepared dozens of lucid handwritten motions and conducted himself in a rational manner, demonstrating that he understood the available alternatives and was able to make reasoned choices among them. Doubts about a defendant's competence may be removed by his conduct at trial. State v. Conde, 174 Ariz. 30, 33, 846 P.2d 843, 846 (Ct.App. 1992). In fact, on more than one occasion Defendant asserted his Faretta rights in spite of the judge's remonstrations, and plainly explained the legal basis for his position. Defendant's conduct throughout the trial thus left no doubt that he could and did understand his rights. Moreover, in contrast to other cases in which competency hearings have been required, here Defendant's advisory counsel, who worked with him for months, never questioned his competence. Compare Pate, 383 U.S. at 384, 86 S.Ct. at 841 (court erred by not ordering a hearing to determine competence to stand trial where counsel insisted defendant's present sanity was in issue), and Evans, 534 F. Supp. at 794-98 (error not to order competency hearing on waiver of counsel where counsel and advisory counsel raised issue of competency before, during, and after trial), with United States v. Hafen, 726 F.2d 21, 25 (1st Cir.1984), cert. denied, 466 U.S. 962, 104 S.Ct. 2179, 80 L.Ed.2d 561 (1984) (upholding waiver of counsel without competency hearing in part because defendant's counsel did not question his competence at time of trial). We conclude that the evidence did not raise any significant doubt that Defendant was competent to waive counsel and proceed in propria persona. Moreover, once a court has determined that the defendant made a competent waiver of counsel, it is not within the court's province to force counsel on the defendant. Martin, 102 Ariz. at 145, 426 P.2d at 642. Therefore, the court's acceptance of Defendant's waiver of counsel without ordering a competency hearing did not violate Defendant's right to due process.
Defendant next contends that the judge should have warned him that his planned defense was incompatible with self-representation. Defendant argues that jurors simply will not believe that a person competent enough to conduct a trial could have been so insane only a short time earlier as to avoid criminal responsibility. Thus, Defendant asserts, his waiver was not intelligent because the court did not inform him of this danger, and his waiver was therefore invalid. We disagree. In this case the trial court conducted an inquiry sufficient to ensure that Defendant understood the dangers and disadvantages of self-representation. The judge adequately warned Defendant of the charges against him and the possible penalties. The judge also warned of several specific problems Defendant would likely face, including difficulties in investigating the case and the necessity to follow expected courtroom procedure. In addition, the judge warned, I will tell you, I don't think it's advisable that you represent yourself in light of the serious penalties and charges that face you. Moreover, the court, at Defendant's request, provided Defendant with advisory counsel, who was available to advise Defendant regarding strategic considerations such as whether a jury was more or less likely to believe him if he represented himself. That attorney, who had previously been Defendant's counsel of record, told the court he had strongly advised Defendant not to undertake self-representation because it was simply the wrong choice to make. The judge questioned Defendant to ensure that he had heard those warnings as well. Although a court should warn of the dangers and disadvantages generally inherent in self-representation, Faretta, 422 U.S. at 835, 95 S.Ct. at 2541, it is not reversible error to fail to warn of every possible strategic consideration. Cf. Green, 470 N.W.2d at 744 (formalistic warning is not required). In this case the court's warnings were numerous and broad enough to put Defendant on notice that self-representation was not advisable. Moreover, the court's appointment of advisory counsel ensured that Defendant had access to advice about precisely the kind of concern of which Defendant now complains. Finally, Defendant's basic strategic and pragmatic concern  convincing the jury that he was insane at the time of the crime even though he appeared sane at the time of the trial  exists in every claim of temporary insanity, regardless of whether a defendant has counsel. There was no error.
Finally, Defendant contends that a court should never allow a defendant asserting an insanity defense to represent himself because jurors know that a judge would not allow an insane person to represent himself and therefore would not believe the insanity defense. He argues that allowing Defendant to represent himself violated his due process rights under the United States and Arizona Constitutions. We reject this argument. The Sixth and Fourteenth Amendments to the United States Constitution and Ariz. Const. art. 2, § 24 guarantee criminal defendants the right to represent themselves at trial. Faretta, 422 U.S. at 832, 95 S.Ct. at 2539-40; State v. De Nistor, 143 Ariz. 407, 412, 694 P.2d 237, 242 (1985). This right is not abrogated merely by the assertion of a particular defense. Although it may not be wise to combine an insanity defense with self-representation, Defendant's argument confuses the wisdom of his waiver with its constitutional propriety. It amounts to a complaint that, even if Defendant knew what he was doing, and thus had the right to waive counsel, the court should have stopped him from making an unwise choice. The court does not have this power: the law guarantees a defendant the right to waive counsel if he is mentally competent to do so. Faretta, 422 U.S. at 834, 95 S.Ct. at 2541 (quoting Illinois v. Allen, 397 U.S. 337, 350-51, 90 S.Ct. 1057, 1064, 25 L.Ed.2d 353 (1970)) (although defendant may conduct defense to his own detriment, his choice must be honored out of `that respect for the individual which is the lifeblood of the law.'). We hold, therefore, that the trial court's acceptance of Defendant's waiver of counsel was not error.