Opinion ID: 2402274
Heading Depth: 2
Heading Rank: 1

Heading: Procedures Regarding Waiver of the Right to Counsel

Text: [¶ 17] The Sixth Amendment guarantees the right to counsel at all critical stages of the criminal process. Iowa v. Tovar, 541 U.S. 77, 87, 124 S.Ct. 1379, 158 L.Ed.2d 209 (2004) (quotation marks omitted). The Supreme Court has described the trial court as the protector of the defendant's right to counsel because [t]he Sixth Amendment . . . embodies a realistic recognition of the obvious truth that the average defendant does not have the professional legal skill to protect himself when brought before a tribunal with power to take his life or liberty . . . . Johnson, 304 U.S. at 462-63, 465, 58 S.ct. 1019. Courts evaluate whether a defendant's waiver of the right to counsel was voluntary, knowing, and intelligent by considering whether the defendant was informed of the right to counsel by the court, as well as the totality of relevant circumstances including the background, experience, and conduct of the accused. State v. Morrison, 567 A.2d 1350, 1352 (Me.1990) (hereinafter  Morrison I ). [¶ 18] At the plea stage, less rigorous [w]arnings of the pitfalls of proceeding without counsel are required than at the trial stage and a less searching or formal colloquy may suffice. Tovar, 541 U.S. at 89, 124 S.Ct. 1379. At the trial stage, more rigorous warnings of the dangers of proceeding without counsel are required because `counsel is required to help even the most gifted layman' follow the procedural and technical requirements of the trial process. Id. (quoting Patterson v. Illinois, 487 U.S. 285, 299 n. 13, 108 S.Ct. 2389, 101 L.Ed.2d 261 (1988)). Before a defendant may proceed to trial without a lawyer, he must be warned specifically of the hazards ahead and the [w]arnings of the pitfalls of proceeding to trial without counsel . . . must be rigorous[ly] conveyed. Id. at 88-89, 124 S.Ct. 1379 (quotation marks omitted). In Faretta v. California , the Supreme Court explained the reason for rigorous warnings: When an accused manages his own defense, he relinquishes, as a purely factual matter, many of the traditional benefits associated with the right to counsel. For this reason, in order to represent himself, the accused must knowingly and intelligently forego those relinquished benefits. Although a defendant need not himself have the skill and experience of a lawyer in order competently and intelligently to choose self-representation, he should be made aware of the dangers and disadvantages of self-representation, so that the record will establish that he knows what he is doing and his choice is made with eyes open. 422 U.S. 806, 835, 95 S.Ct. 2525, 45 L.Ed.2d 562 (1975) (citations and quotation marks omitted); see also Martinez v. Court of Appeal of California, 528 U.S. 152, 162, 120 S.Ct. 684, 145 L.Ed.2d 597 (2000). [¶ 19] A trial court cannot presume that a defendant has waived counsel simply because he or she appears at trial without one. Carnley v. Cochran, 369 U.S. 506, 513-14, 82 S.Ct. 884, 8 L.Ed.2d 70 (1962). Such a presumption would place a defendant in the position of affirmatively safeguarding his or her right to counsel, a presumption that is the opposite of the presumption required by the Supreme Court. Id. at 513-15, 82 S.Ct. 884; see also Johnson, 304 U.S. at 464, 58 S.Ct. 1019. [¶ 20] The importance of the need for the court to affirmatively address the right to counsel with a defendant proceeding to trial without representation is evident in our prior decisions. We have found valid waivers of a criminal defendant's right to counsel at the trial stage where the court fully advised [the defendant] of his right to counsel prior to trial and on the day of trial, State v. Morrison, 1998 ME 220, ¶ 2, 723 A.2d 869, 869 (hereinafter  Morrison II ); where [t]he trial justice thoroughly explained the dangers of proceeding pro se to [the] defendant before he permitted [the] defendant to exercise his right of self-representation, State v. Barrett, 577 A.2d 1167, 1172 (Me.1990); where the court informed the defendant of his constitutional right to have counsel and found that [t]he defendant was knowledgeable of his right to counsel, Morrison I, 567 A.2d at 1352; where the defendant was made aware of the dangers of waiving his right to the assistance of counsel, . . . knew what he was doing, and . . . his choice was made with eyes open, State v. Walls, 501 A.2d 803, 805 (Me.1985) (quotation marks omitted); and where it was clear from the record that [the defendant] was not indigent and that he received more than ample warning of the dangers of proceeding without counsel, State v. Gaudette, 431 A.2d 31, 32 (Me.1981). See also People v. Providence, 2 N.Y.3d 579, 780 N.Y.S.2d 552, 813 N.E.2d 632, 634 (2004) (finding a valid waiver because the trial judge repeatedly and adequately warned [the defendant] of the dangers of self-representation, and gave him several opportunities to express a change of heart). [¶ 21] In contrast, in State v. Tomah the defendant announced that he would represent himself following a brief colloquy in which the judge merely asked whether the defendant intended to represent himself or apply for a court-appointed attorney. 560 A.2d 575, 575-76 (Me.1989). We concluded from this colloquy that it was readily apparent that the defendant had not knowingly and intelligently waived his right to counsel, and vacated the conviction. Id. at 576. [¶ 22] Although the Supreme Court has been unequivocal about the need for warnings, it has not identified specific warnings or information that a trial court must address with a defendant who is about to proceed to trial without an attorney. [2] In Morrison I, we similarly declined to adopt fixed  Miranda -like warnings of the risks of self-representation and the benefits of counsel, but we also did not address the information the court should discuss with the defendant, or the significance of the absence of any judicial warnings whatsoever. 567 A.2d at 1353. [¶ 23] Other jurisdictions have addressed the information that a self-represented defendant should receive as generally including: (1) the right to be represented by a lawyer at trial and the right to be considered for a court-appointed lawyer if the defendant cannot afford to hire a lawyer; (2) that the defendant will be held to the same standards as a lawyer and the trial court will not aid the defendant in his defense; and (3) that it is risky for persons untrained in the law to represent themselves because, unlike lawyers, they are not trained to identify possible defenses, follow the rules of procedure and the rules of evidence, or conduct a trial, including selecting a jury, questioning witnesses, admitting and objecting to evidence, and arguing the case. 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, § 6.5 (Supp.2005) (citing cases); see also Morrison I, 567 A.2d at 1355 (Wathen, J., dissenting). The level of detail of the information provided by the court may be calibrated to the defendant's individual circumstances. See United States v. Pfeifer, 371 F.3d 430, 435 (8th Cir.2004); United States v. Manjarrez, 306 F.3d 1175, 1180 (1st Cir.2002); United States v. Woodard, 291 F.3d 95, 102 (1st Cir. 2002); State v. Bluitt, 850 A.2d 83, 88-89 (R.I.2004). Nevertheless, the record should reflect that the court addressed the preceding elements with the defendant in some fashion. [¶ 24] In sum, we do not adopt a rigid formula for determining whether a defendant was adequately informed of the risks of proceeding to trial without representation, but we adhere to the admonition expressed in Faretta and followed in our decisions that a defendant should be made aware of the dangers and disadvantages of self-representation, so that the record will establish that he knows what he is doing and his choice is made with eyes open. Faretta, 422 U.S. at 835, 95 S.Ct. 2525 (quotation marks omitted). This requirement is compelled by the Sixth Amendment to the United States Constitution as well as article I, section 6 of the Maine Constitution. Cautionary information from the trial court ensures that a defendant proceeding without the benefit of trained representation is, in fact, doing so with knowledge of the risks of foregoing this most fundamental constitutional right. [¶ 25] Although the question of whether a valid waiver occurred must be based on the totality of circumstances, including a defendant's background, experience, and conduct, only in exceptional cases can these factors establish that a defendant who received no warning or information of any kind from the court knew of and understood the risks of conducting a trial without an attorney. In those exceptional cases, the record should demonstrate: that the defendant was aware of the existence of technical rules and that presenting a defense is not just a matter of telling one's story. Accordingly, only rarely will adequate information exist on the record, in the absence of a colloquy, to show the required awareness of the risks of self-representation. City of Bellevue v. Acrey, 103 Wash.2d 203, 691 P.2d 957, 962 (1984) (citations omitted); see also United States v. Campbell, 874 F.2d 838, 846 (1st Cir.1989); State v. Thornton, 800 A.2d 1016, 1027-28 (R.I. 2002); State v. Deroche, 682 So.2d 1251, 1252 (La.1996); State v. Frampton, 737 P.2d 183, 188 (Utah 1987). [¶ 26] Therefore, when a defendant intends to represent her or himself at trial, the court should address the Faretta -related information with the defendant. The court can then determine whether, under the totality of circumstances including the defendant's background, experience, and conduct, the defendant's waiver of the right to counsel is made voluntarily, knowingly, and intelligently. If the court concludes that the defendant has not voluntarily, knowingly, and intelligently waived the right to counsel, the court must afford the defendant a reasonable opportunity to hire counsel or apply for court-appointed counsel. [¶ 27] We hasten to add that courts are not compelled to postpone scheduled trials based solely on a defendant's request, in response to Faretta warnings, that the trial be postponed so that he or she will have an opportunity to hire counsel or apply for court-appointed counsel. A defendant's stubborn failure to hire counsel or apply for court-appointed counsel after having been informed of the right to do so may form the basis for a voluntary, knowing, and intelligent waiver, Morrison II, 1998 ME 220, ¶ 4, 723 A.2d at 870, if the court also finds that the defendant fully understood the right to counsel and the dangers of self-representation apart from the court's Faretta warnings. As with the right to jury trial, the right to counsel may be waived by a defendant's inaction. See State v. Holmes, 2003 ME 42, ¶¶ 7-8, 818 A.2d 1054, 1056-57. [¶ 28] Accordingly, in the case of a stubborn failure to hire counsel or apply for court-appointed counsel, a court may determine that, notwithstanding a defendant's newly-stated desire for representation, he or she voluntarily, knowingly, and intelligently waived the right to counsel and must proceed to trial without representation if all of the following criteria are met. First, the defendant was properly informed of and understood the right to counsel and the opportunity to apply for court-appointed counsel at an initial appearance or other court event, and had a reasonable opportunity to follow up on such information. Second, the defendant unreasonably failed to seek retained counsel or apply for court-appointed counsel in a timely fashion prior to trial. See Morrison II, 1998 ME 220, ¶ 4, 723 A.2d at 870; State v. Winchenbach, 501 A.2d 1282, 1285 (Me.1985); State v. Ayers, 464 A.2d 963, 966-67 (Me.1983). Third, the defendant's background, experience, conduct, and other pertinent information establish that the defendant fully apprehend[ed] the nature of the charges against him, the perils of self-representation, and the requirements that will be placed upon him. United States v. Peppers, 302 F.3d 120, 133 (3rd Cir.2002); see also United States v. Kimball, 291 F.3d 726, 730-31 (11th Cir.2002); Bluitt, 850 A.2d at 88-89; Commonwealth v. Martin, 425 Mass. 718, 683 N.E.2d 280, 282 (1997).