Court Opinion

ID: 9626268
Source: CourtListenerOpinion
Date Created: 2023-08-22 08:06:49.109866+00
Date Added: 2024-06-11T18:06:24.576819
License: Public Domain

DUBOFSKY, Justice,
concurring in part and dissenting in part:
I agree with the majority that the totality of circumstances in this case demonstrates that the defendant’s waiver of the right to counsel was constitutionally valid; however, I write separately on this issue to express my belief that the district court’s waiver procedure was deficient in many respects. I dissent from the majority opinion because, in my view, the failure to appoint advisory counsel under the circumstances of this case was an abuse of discretion, deprived the defendant of a fair trial, and requires reversal of the judgment below.
I.
The majority’s finding of a valid waiver of counsel rests upon two grounds: the district court’s explanation of procedural rights and possible penalties, and the de*1271fendant’s presence at preliminary hearing. Maj. op. at 1264. I agree that these factors, together with the defendant’s criminal history and his conduct prior to and at trial, compel the conclusion that his waiver of counsel was voluntary, knowing and intelligent. However, I write separately on this issue primarily to emphasize my view that the district court’s colloquy with the defendant concerning waiver of counsel was deficient in many respects, and that our holding on this issue should not be taken as an endorsement of the waiver procedures followed by the district court.
Waiver of a defendant’s right to counsel may not be accepted unless the waiver is determined to be both voluntary and intelligent. Johnson v. Zerbst, 304 U.S. 458, 465, 58 S.Ct. 1019, 1023, 82 L.Ed. 1461 (1938); People v. Moody, 630 P.2d 74, 77 (Colo. 1981). In making this determination, the trial court must consider “the background, experience, and conduct of the accused.” Johnson, 304 U.S. at 464, 58 S.Ct. at 1023. An intelligent waiver of the right to counsel is also dependent upon the defendant’s “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.” Von Moltke v. Gillies, 332 U.S. 708, 724, 68 S.Ct. 316, 323, 92 L.Ed. 309 (1948). In the context of self-representation, the defendant must in addition “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.’ [Citation omitted.]” Faretta v. California, 422 U.S. 806, 835, 95 S.Ct. 2525, 2541, 45 L.Ed.2d 562 (1975).
Because of the strong presumption against waiver of the right to counsel, Von Moltke, 332 U.S. at 723, 68 S.Ct. at 323, the most appropriate method for establishing the constitutional validity of a defendant’s waiver is an on-the-record inquiry by the court into the defendant’s awareness of the “dangers and disadvantages” of proceeding pro se, as well as an explanation of the elements set forth in Von Moltke. United States v. Harris, 683 F.2d 322, 324 (9th Cir.1982); United States v. Bailey, 675 F.2d 1292, 1300 (D.C.Cir.), cert. denied, 459 U.S. 853, 103 S.Ct. 119, 74 L.Ed.2d 104 (1982); People v. Lopez, 71 Cal.App.3d 568, 571-72, 138 Cal.Rptr. 36, 38 (1977); People v. Lucero, 200 Colo. 335, 340 n. 3, 615 P.2d 660, 663 n. 3 (1980); Cohen v. State, 97 Nev. 166, 625 P.2d 1170, 1171 (1981); Geeslin v. State, 600 S.W.2d 309, 313 (Tex.Crim.App.1980). We have held that the waiver of constitutional rights inherent in a guilty plea cannot be considered understanding unless the court has explained to the defendant the critical elements of the crime charged. Watkins v. People, 655 P.2d 834, 837 (Colo.1982). The court owes no less to a defendant waiving his right to counsel.
In addition, it is preferable that the court inquire on the record into other factors affecting the defendant’s understanding of his situation, such as the defendant’s educational background, prior criminal history and other experience. Lopez, 71 Cal. App.3d at 573, 138 Cal.Rptr. at 39; Hsu v. United States, 392 A.2d 972, 984 (D.C.App. 1978); Geeslin, 600 S.W.2d at 313. An on-the-record colloquy not only ensures the validity of the defendant’s waiver, but also provides a complete record on appeal that will forestall frivolous claims of denial of the right to counsel and prevent reversals of otherwise valid convictions. Bailey, 675 F.2d at 1300; Lopez, 71 Cal.App.3d at 571-72, 138 Cal.Rptr. at 38; Hsu, 392 A.2d at 983; cf. Boykin v. Alabama, 395 U.S. 238, 244, 89 S.Ct. 1709, 1712, 23 L.Ed.2d 274 (1969) (on-the-record inquiry before accepting guilty plea ensures adequate record for review).
Measured against these standards, the district court’s inquiry into the defendant’s waiver here was deficient in many respects. The court did not explain the elements of and defenses to the charge, nor did it make the defendant “aware of the dangers and disadvantages of self-representation” by impressing upon him the difficulties he might encounter in adhering to the applica*1272ble rules of evidence and other technical rules of procedure. See Maynard v. Meac-hum, 545 F.2d 273, 279 (1st Cir.1976) (court must ascertain that defendant is aware of duty to adhere to “technical rules governing the conduct of a trial”); Lopez, 71 Cal.App.3d at 572, 138 Cal.Rptr. at 39. In addition, the court failed to ascertain the defendant’s educational background1 and did not inquire into the defendant’s criminal history beyond admitting the defendant’s criminal record into evidence.2
Moreover, I believe that under the circumstances of this case the district court should have re-inquired into the defendant’s decision to proceed pro se during the weeks that followed the defendant’s initial waiver. See People v. Wilks, 21 Cal.3d 460, 578 P.2d 1369, 1374 n. 5, 146 Cal.Rptr. 364, 369 n. 5 (1979) (such re-inquiry necessary in certain cases); Reliford v. People, 195 Colo. 549, 523-24, 579 P.2d 1145, 1148 (1978), cert, denied 439 U.S. 1079, 99 S.Ct. 851, 59 L.Ed.2d 43 (1979) (validity of waiver bolstered by re-inquiry). The defendant’s initial waiver was equivocal. He stated that he wanted to represent himself “because I’m under a lot of pressure right now.... I mean, there’s a lot of conflict going on right now. And, you know, I ain’t going to be pushed into something I don’t want to.” He also told the court that he wanted to “enter my plea and get these procedures going ... you know, have a speedy trial right away.” Because of the strong presumption against a waiver of counsel, the defendant’s expression of waiver must be clear and unequivocal. Brown v. Wainwright, 665 F.2d 607, 610 (5th Cir.1982). Given the equivocality of the waiver here, and the fact that six weeks passed between waiver and trial, the district court was remiss in failing to ascertain that the defendant’s desire to waive counsel was unabated on the eve of trial. This failure became particularly acute as the trial progressed and the defendant’s inability to articulate his thoughts became manifest. (See discussion in Part II, infra.)
The defective waiver procedure followed here makes the validity of the defendant’s waiver of counsel a much closer question than the majority intimates. Nonetheless, I agree with the majority that the defendant’s waiver was valid. While an on-the-record colloquy and re-inquiry into waiver was strongly advisable here, other circumstances attending the case — such as the defendant’s previous courtroom experience, his conduct before the court, and his prior opportunity to consult with an attorney about his case — may demonstrate that the defendant voluntarily relinquished his right to counsel with an understanding of the consequences. Harris, 683 F.2d at 324; Maynard, 545 F.2d at 277-78; United States v. Rosenthal, 470 F.2d 837, 844-45 (2nd Cir.1972); Lucero, 200 Colo, at 340 n. 3, 615 P.2d at 663 n. 3; Hsu, 392 A.2d at 983; Commonwealth v. Hawkins, 17 Mass. App. 1041, 461 N.E.2d 1242, 1243 (1984); but see, Bailey, 675 F.2d at 1300 (on-the-record colloquy mandatory); Cohen, 625 P.2d at 1171 (same); Geeslin, 600 S.W.2d at 313 (same). Here, the circumstances demonstrate that, despite the defendant’s equivocal initial waiver, he voluntarily surrendered his right to counsel. The defendant refused without good cause to accept the services of the attorney assigned to his *1273case,3 while failing to procure substitute counsel within the ample time he was given to do so. The refusal to accept the services of counsel here amounted to an implied voluntary waiver of counsel. People v. Litsey, 192 Colo. 19, 23, 555 P.2d 974, 977 (1976).
The circumstances also demonstrate that the defendant’s desire to waive counsel was predicated on an understanding of the consequences. The defendant had an opportunity to discuss his case with two public defenders over a period of six weeks prior to his waiver. In addition, his extensive prior record, although unclear as to whether his previous convictions arose from trials or guilty pleas, makes it likely that the defendant at some point underwent trial and possessed some awareness of trial procedure. Moreover, as the majority notes, the defendant’s presence at his preliminary hearing indicates probable awareness of the nature of the charges against him. Finally, although the court did not inquire into the defendant’s educational background, the defendant showed no difficulty in understanding and complying with the court’s advice and explanations throughout trial, and thus apparently possessed the capacity to apprehend the import of his previous experience. Under the totality of these circumstances, I would hold the defendant’s waiver valid. I repeat, however, that a thorough colloquy on the record in this case would have relieved this court of the speculative task of assessing the meaning of these circumstances.
Therefore, I join the majority in holding the defendant’s waiver valid with the understanding that such holding does not approve the waiver procedure followed in this case nor recommend such a deficient inquiry for use in the future.
II.
Although the district court properly determined that the defendant’s waiver of the right to counsel was valid, its duty did not end with this determination. The court before which a defendant appears without counsel has a duty “to take all steps necessary to insure the fullest protection” of the constitutional right to a fair trial “at every stage of the proceedings.” See Von Moltke, 332 U.S. at 722, 68 S.Ct. at 322. This protective duty extends both to the right to counsel and to all “essential rights of the accused.” Glasser v. United States, 315 U.S. 60, 71, 62 S.Ct. 457, 465, 86 L.Ed. 680 (1942). Moreover, the state as well as the accused has an interest in the integrity and fairness of the trial process. Mayber-ry v. Pennsylvania, 400 U.S. 455, 468, 91 S.Ct. 499, 506, 27 L.Ed.2d 532 (1971) (Burger, C.J., concurring); Brady v. Maryland, 373 U.S. 83, 87, 83 S.Ct. 1194, 1196, 10 L.Ed.2d 215 (1963). To protect both the state and the defendant, therefore, it is incumbent upon the trial court to raise on its own motion “matters which may significantly promote a just determination of the trial.” ABA Standards for Criminal Justice, Special Functions of the Trial Judge, Std. 6-1.1; see also Pinkey, 548 F.2d at 308.
Where a trial court has accepted a valid waiver of counsel, the court must continue to monitor the proceedings in order to ensure that they do not become so fundamentally unfair as to result in a denial of due process. In Martinez v. People, 172 Colo. 82, 470 P.2d 26 (1970), for example, a defendant charged with assault elected to represent himself. Although the evidence warranted an instruction on voluntary intoxication, the defendant failed to request, and the trial court failed to give, the instruction. We held that the court had a duty to protect the rights of a pro se defendant by giving the instruction sua sponte, and that the failure to protect the defendant from his incompetence was reversible error:
To sum up, a reading of the transcript indicates that the defendant was so inept that he did not and could not conduct a *1274proper defense for himself. Therefore, the absence of defense counsel in this case and the total ineptness of the defendant to conduct a defense for himself actually resulted in a lack of due process.
172 Colo, at 87, 470 P.2d at 29.
Here, too, the defendant was unable to present a meaningful defense. Although he attempted to raise an intoxication defense, he did so only in argument, apparently unaware of the necessity to present evidence of intoxication before he would be entitled to a jury instruction on the issue. Instead, the defendant’s evidence focused irrelevantly on the injuries he sustained while being arrested. The defendant’s failure to present a legally significant defense was complicated by a host of other failures. Throughout the trial, the defendant exhibited difficulty in organizing and expressing his thoughts, and presented his arguments in a rambling and incoherent fashion. His fluency in English was suspect; at the close of the prosecutor’s case-in-chief the defendant asked for an interpreter because “I don’t know how to use right words to express myself to the, to you people.”4
Under these circumstances, it was incumbent upon the district court to protect the defendant’s due process right to a fair trial. One court has observed that
even after the request to proceed pro se has been granted and the defendant has begun his defense, the trial court has a continuing responsibility to watch over the defendant and insure that his incompetence is not allowed to substitute for the obligation of the state to prove its case.
Pickens v. State, 96 Wis.2d 549, 292 N.W.2d 601, 611 (1981). Because direct judicial aid in fashioning a defense is inappropriate, both because the trial court must remain neutral, Pinkey, 548 F.2d at 309, and because the court is under no obligation to treat the pro se defendant any differently than it treats defendants with counsel, Faretta, 422 U.S. at 834-35 n. 46, 95 S.Ct. at 2541 n. 46, the best method of protecting the defendant’s due process rights is the appointment of advisory counsel to aid the defendant during trial and to take over the defense should the defendant choose to reassert his right to counsel. Advisory counsel preserves the proper role of the trial court and permits the defendant to pursue his option of self-representation, while simultaneously ensuring that the defendant has been afforded every opportunity to present the defenses available to him. Many courts, including this one, strongly encourage the appointment of advisory counsel as a means of achieving these goals. United States v. Moore, 706 F.2d 538, 540 (5th Cir.), cert, denied, — U.S. -, 104 S.Ct. 183, 78 L.Ed.2d 163 (1983); United States v. Pilla, 550 F.2d 1085, 1093 (8th Cir.), cert, denied 432 U.S. 907, 97 S.Ct. 2954, 53 L.Ed.2d 1080 (1977); United States v. Spencer, 439 F.2d 1047, 1051 (2d Cir.1971); Cano v. Municipality of Anchorage, 627 P.2d 660 (Ala.App. 1981); Reli-ford, 195 Colo, at 554, 579 P.2d at 1148-49; Hicks v. State, 434 A.2d 377, 380 (Del. 1981); Johnson v. State, 556 P.2d 1285, 1297 (Okl.Crim.App.1976); Commonwealth v. Africa, 466 Pa. 603, 353 A.2d 855, 864 (1976). The role played by advisory counsel is so crucial that he may be appointed and assist the defendant even over the latter’s objection. McKaskle v. Wiggins, — U.S.-, 104 S.Ct. 944, 79 L.Ed.2d 122 (1984); Faretta, 422 U.S. at 834-35 n. 46, 95 S.Ct. at 2541 n. 46. In addition, the presence of advisory counsel has been an important factor in saving the validity of constitutionally questionable waivers of counsel. Goode v. Wainwright, 704 F.2d 593, 599 (11th Cir.1983); Bailey, 675 F.2d at 1302; United States v. McFadden, 630 F.2d 963, 972 (3d Cir.1980), cert, denied 450 U.S. 1043, 101 S.Ct. 1763, 68 L.Ed.2d 241 (1981); Rosenthal, 470 F.2d at 845; Kelly v. State, 663 P.2d 967, 969-70 (Ala.App. 1983); Hsu, 392 A.2d at 983; State v. Harvey, 184 Mont. 423, 603 P.2d 661, 665 (1979); State v. Chavis, 31 Wash.App. 784, 644 P.2d 1202, 1207 (1982).
The appointment of advisory counsel is not a matter of constitutional right, but *1275rather rests within the discretion of the trial court. Locks v. Sumner, 703 F.2d 403, 408 (9th Cir.), cert, denied, — U.S. -, 104 S.Ct. 338, 78 L.Ed.2d 307 (1983); United States v. Gigax, 605 F.2d 507, 517 (10th Cir.1979); Reliford, 195 Colo, at 554, 579 P.2d at 1148. The limits of this discretion were set forth in Reliford:
[T]he appointment of advisory counsel is an intermediate measure designed to ensure a fair trial when the trial court determines that the defendant, because of mental or physical problems, is incapable of representing himself, or when it becomes apparent during trial that the defendant is simply unable to handle the task he has undertaken.
195 Colo, at 554, 579 P.2d at 1148. We found no abuse of discretion in Reliford, where the trial court did not appoint advisory counsel, because the defendant “articulately presented a well-organized case.” Id. In contrast, the present situation falls squarely within that class of cases identified in Reliford as requiring the appointment of advisory counsel. Cf. Pickens, 292 N.W.2d at 611 (where defendant’s incompetence deprives him of opportunity to present defense “that is at least prima fa-cie valid,” court must rescind permission to proceed pro se and assign counsel). Therefore, I would hold that the district court abused its discretion in failing to appoint advisory counsel.
Because this abuse of discretion deprived the defendant of due process, we could affirm this conviction only if we were satisfied “beyond a reasonable doubt that the error did not contribute to the defendant’s conviction.” People v. Campbell, 187 Colo. 354, 358, 531 P.2d 381, 383 (1975). The failure in this case to appoint advisory counsel deprived the defendant of an opportunity to present an intoxication defense •that would negate the mental element of the crime charged; therefore, the error is not harmless beyond a reasonable doubt. See Martinez, 172 Colo, at 86, 470 P.2d at 28. Moreover, the majority’s discussion and resolution of the issues relating to the clothing worn by the defendant during the trial, the use of an alias in the instructions and the trial court’s failure to instruct the jury on lesser included offenses clearly demonstrates that advisory counsel was necessary to protect the record by eliciting necessary facts or making timely and proper objections. I would reverse the judgment on this ground, and, accordingly, I dissent.
I am authorized to say that Justice LOHR and Justice NEIGHBORS join in this concurrence and dissent.

. The majority blames the lack of record information concerning defendant's educational background on the defendant’s refusal to provide such information for a presentence report. Maj. op. at 1266 n. 7. The defendant’s failure to cooperate at that late stage of the proceedings bears no relation to the trial court’s duty to inquire into the defendant’s background prior to accepting a waiver of counsel.

. The obscurity of the information provided by the written criminal record made further inquiry into the defendant’s criminal history desirable. As the majority notes, it is difficult to tell from the record whether certain of the defendant’s previous sentences resulted from conviction or from parole revocation. Maj. op. at 1263 n. 4. In addition, the record does not show whether such convictions were the result of trials or guilty pleas; this distinction is important because previous trial experience indicates the defendant’s acquaintance with rules of procedure while previous guilty pleas do not.

. Absent conflict of interest, an indigent defendant has no right to a particular attorney. People v. Shook, 186 Colo. 339, 527 P.2d 815 (1974).

. The court’s only response was an offer to explain any unfamiliar words.