ATTORNEYS FOR APPELLANT ATTORNEYS FOR APPELLEE
Susan K. Carpenter Karen Freeman-Wilson
Public Defender of Indiana Attorney General of Indiana
Gregory L. Lewis Adam M. Dulik
Deputy Public Defender Deputy Attorney General
Indianapolis, Indiana Indianapolis, Indiana
APPEAL FROM THE NOBLE SUPERIOR COURT
The Honorable Michael J. Kramer, Judge
Cause No. 57E01-9901-CM-007
________________________________________________
June 21, 2001
Following a bench trial at which the defendant was not represented by counsel,
he was convicted of battery on a police officer
See footnote and resisting arrest.See footnote
He appealed his convictions claiming a violation of his right to assistance of
counsel as guaranteed by the Sixth and Fourteenth Amendments to the United States
Constitution and Article 1 Section 13 of the Indiana Constitution. The Court
of Appeals reversed.
Poynter v. State, 733 N.E.2d 500 (Ind. Ct. App.
2000). We granted the State's petition for transfer which alleged that this
decision is inconsistent with other decisions of this Court and the Court of
Appeals.
The defendant claims that when he was tried "without the benefit of counsel,
the record must reflect that the right to counsel was knowingly, intelligently, and
voluntarily waived and that [he] was fully advised regarding the dangers and disadvantages
of self-representation." Br. of Defendant-Appellant at 5. The defendant states that
he did not assert his right to self-representation nor does the record reflect
that he explicitly waived his constitutional right to be represented by counsel.
The defendant maintains that the court had a duty to advise him of
the advantages of representation by counsel and the dangers of self-representation. The
lack of advisement, the defendant argues, negates any finding of a voluntary, knowing,
and intelligent waiver of his right to the assistance of counsel. Because
he was tried without counsel and because he did not validly waive his
right to counsel, the defendant asks for a new trial.
The State concedes that "[w]hen a criminal defendant waives his right to counsel
and proceeds pro se, the record must reflect that the defendant's waiver was
knowing, intelligent, and voluntary." Br. of the Appellee at 3. However,
the State maintains that the defendant made such a waiver through his conduct
of repeatedly telling the court that he would hire an attorney, that he
had saved money to hire an attorney, but then appearing on the day
of trial without an attorney. The State contends that the trial court
had no duty to advise the defendant of the disadvantages of appearing without
counsel, because defendants who tell the court they are hiring counsel do not
need such warnings. Similarly, the State concludes that on the day of
trial, any warning would have been superfluous because at that point it was
too late to obtain counsel. Finally, the State asserts that the trial
court "admonished the defendant that he would have to be prepared to proceed
pro se if not represented by . . . his trial date."
Br. of the Appellee at 6.
At the defendant's initial hearing on January 5, 1999, the defendant entered a
plea of not guilty and his surety bond was posted. He was
given and signed a standard advisement of rights form that included the "right
to be represented by and to consult with a lawyer" and "the right
to have the court appoint an attorney to represent you at no cost
if found to be indigent." Record at 19. After informing the
defendant of the charges against him and the possible penalties should he be
found guilty, the judge asked the defendant if he had read and understood
the rights on the form and whether he was going to be hiring
an attorney to represent him. The defendant answered "Yes, Sir" to each
of these questions. Record at 50. The court scheduled a pretrial
conference for February 22, 1999, and advised the defendant "you're required to be
back here at that time with your attorney." Record at 50-51.
On that date, however, the conference was continued to April 19, 1999, by
agreement of the parties "so that defendant can obtain an attorney." Record
at 4, 20. At the April pretrial conference, the defendant appeared without
an attorney. The hearing consisted of the following colloquy:
The Court: This is in 9901-CM-007 and also 9709-CM-851. State of Indiana versus
Barry S. Poynter. Mr. Poynter, what's your address?
Mr. Poynter: I live with friends right now. I really ain't
got a place of my own.
The Court: Where's your Do you have a place where you
get mail?
Mr. Poynter: It ah, . . . . It's apartments.
The Court: In Kendallville or?
Mr. Poynter: In Kendallville, yeah (affirmative).
The Court: Is there an apartment number?
Mr. Poynter: I think it's just . . . .
The Court: That's where you're also staying with friends right now?
Mr. Poynter: Yes, Sir.
The Court: Are you going to be hiring an attorney to represent
you in these cases?
Mr. Poynter: Well I was, but I've been working like seven (7)
days a week, last week twelve (12) hours a day, and I've been
really tired, and I ain't been getting up on time and walking down
there and talk to them. I got some money saved up though
for a lawyer, but I ain't got, went down there and talked to
one.
The Court: Well, I will set these cases for bench trial and
fact-finding hearing on June 21st at 10:45. If you decide that you
want to get up to go down and hire an attorney
Mr. Poynter: I got to sometime.
The Court: (continuing) You can do that. Otherwise you need
to be here June 21st at 10:45, prepared for a trial in these
cases. And a trial on the probation violation.
Mr. Poynter: Okay.
The Court: So with or without an attorney you need to be
prepared for a trial on this date.
Mr. Poynter: I'll be here.
The Court: Okay.
Mr. Poynter: Thank you, Sir, for your time.
The Court: You're welcome.
Record at 5253.
On the date set for his bench trial, June 21, 1999, the defendant
appeared in person, and the trial proceeded on the two class A misdemeanor
charges. Neither the trial judge nor the parties commented regarding the absence
of an attorney for the defendant. The State waived opening statement and
presented the testimony of two Kendallville police officers. The defendant asked only
one question of one of the witnesses. The defendant's case consisted of
his own seven sentence narrative testimony. He presented no other witnesses.
Following the State's closing argument, the defendant responded with the following closing argument:
"All I got to say is that what they say is not
true. I'm just one person just like the rest of you."
Record at 71. The trial court found the defendant guilty and, after
a brief sentencing hearing,
See footnote imposed consecutive sentences of 180 days each upon the
convictions for battery of a police officer and resisting arrest.
The rights embodied in the Sixth AmendmentSee footnote protect the fundamental right to a
fair trial.
Strickland v. Washington, 466 U.S. 668, 684, 104 S.Ct. 2052,
2063, 80 L.Ed.2d 674, 691 (1984). "Of all the rights that an
accused person has, the right to be represented by counsel is by far
the most pervasive for it affects his ability to assert any other rights
he may have." United States v. Cronic, 466 U.S. 648, 654, 104
S.Ct. 2039, 2044, 80 L.Ed.2d 657, 664 (1984). In recognition that the
"average defendant does not have the professional legal skills to protect himself" at
trial, it is required that a defendant's choice to appear without professional counsel
be made intelligently. Johnson v. Zerbst, 304 U.S. 458, 462-64, 58 S.
Ct. 1019, 1022-23, 82 L.Ed. 1461, 1465-66 (1938).
When a defendant asserts the right to self-representation, the court should tell the
defendant of the "dangers and disadvantages of self-representation." Faretta v. California, 422
U.S. 806, 835, 95 S.Ct. 2525, 2541, 45 L.Ed.2d 562, 581-82 (1975).
There are no prescribed "talking points" the court is required to include in
its advisement to the defendant; it need only come to a considered determination
that the defendant is making a voluntary, knowing, and intelligent waiver. Leonard
v. State, 579 N.E.2d 1294, 1296 (Ind. 1991). This determination must be
made with the awareness that the law indulges every reasonable presumption against a
waiver of this fundamental right. Zerbst, 304 U.S. at 464, 58 S.Ct.
at 1023, 82 L.Ed. 1466.
Several courts have held, however, that a verbal waiver of the right to
counsel may not be necessary "so long as the . . . court
has given a defendant sufficient opportunity to retain the assistance of
counsel,
defendant's actions which have the effect of depriving himself of . . .
counsel will establish a knowing and intentional choice." United States v. Hoskins,
243 F.3d 407, 410 (7th Cir. 2001)(finding defendant's conduct to be sufficient to
imply waiver, and that trial court's inquiry was sufficient and provided explicit warning
of consequences of continued conduct); see also United States v. Irorere, 228 F.3d
816, 828 (7th Cir. 2000)(holding that defendant waived right to counsel by his
conduct where court appointed four separate lawyers all of whom either requested to
withdraw or were fired by the defendant); United States v. Kneeland, 148 F.3d
6, 11 (1st Cir. 1998)(finding valid waiver when defendant discharged third appointed counsel
after explicit warning that fourth counsel would not be appointed); United States v.
Bauer, 956 F.2d 693, 695 (7th Cir. 1992)(finding valid waiver when defendant failed
to retain counsel after court determined that defendant had financial ability to do
so); United States v. Weninger, 624 F.2d 163, 167 (10th Cir. 1980)(inferring waiver
from defendant's stubborn refusal to retain counsel despite repeated urging by judge).
In each of these waiver-by-conduct cases, however, the courts recognized that, just like
an express verbal waiver, an implied waiver is not valid absent a finding
under the totality of the circumstances that the waiver is knowing and intelligent;
and this finding invariably included evidence of an admonition to the defendant on
the dangers and disadvantages of self-representation. See Hoskins, 243 F.3d at 411;
Irorere, 228 F.3d at 828; Kneeland, 148 F.3d at 11; Bauer, 956 F.2d
at 695; Weninger, 624 F.2d at 167.
This Court addressed the issue of a defendant's conduct as waiving the right
to counsel in Houston v. State, 553 N.E.2d 117 (Ind. 1990), and Fitzgerald
v. State, 254 Ind. 39, 257 N.E.2d 305 (Ind. 1970). Although reaching
an opposite result, Houston did not expressly overrule or even discuss Fitzgerald.
Our holdings in these two cases have been variously interpreted by the Court
of Appeals in Geiger v. State, 688 N.E.2d 1298, 1302 (Ind. Ct. App.
1997)(finding no valid waiver); Brickert v. State, 673 N.E.2d 493, 496 (Ind. Ct.
App. 1996)(finding valid waiver), trans. denied; Frederick v. State, 658 N.E.2d 941, 944
(Ind. Ct. App. 1995)(finding valid waiver); Hagy v. State, 639 N.E.2d 693, 695
(Ind. Ct. App. 1994)(finding no valid waiver); and Seniours v. State, 634 N.E.2d
803 (Ind. Ct. App. 1994)(finding no valid waiver).
The facts in Fitzgerald and Houston do not easily support their differing outcomes.
In both cases we found that the defendant's conduct appeared to constitute
determined effort to manipulate and obstruct the trial process. See Fitzgerald, 254
Ind. at 47, 257 N.E.2d at 311; Houston, 553 N.E.2d at 118.
The Fitzgerald court held that even though the trial judge had "made every
effort to treat appellant justly and to insure that he was aware of
his rights and obligations with regard to his upcoming trial," it was error
for the court to try the defendant without an attorney without a clear
waiver. Fitzgerald, 254 Ind. at 47-48, 257 N.E.2d at 311. The
Houston court determined that the trial court "clearly presented to appellant his choices
of proceeding with or without counsel and appellant chose the latter," and thus
his waiver was knowing and intelligent. Houston, 553 N.E.2d at 118.
In neither case was an admonition given. The outcomes of these cases
leave us with inconsistent precedent, and we take this opportunity to clarify.
The United States Supreme Court stated that whether there has been an intelligent
waiver of the right to counsel depends on the "particular facts and circumstances
surrounding that case, including the background, experience, and conduct of the accused."
Zerbst, 304 U.S. at 464, 58 S.Ct. at 1023, 82 L.Ed. at 1466.
The Court went on to find that it is the responsibility of
the trial judge to determine whether there is an intelligent and competent waiver
and that it would be "fitting and appropriate for that determination to appear
on the record." Id. at 465, 58 S.Ct. at 1023, 82 L.Ed.
at 1467. The Court elaborated on the determination of valid waiver stating
that if a defendant chooses to forego the assistance of counsel and to
represent himself, "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." Faretta, 422 U.S.
at 835, 95 S.Ct. at 2541, 45 L.Ed.2d at 581-82 (internal quotes omitted).
While the circumstances of Zerbst and Faretta were different, the result was
the samethe loss of the "traditional benefits associated with the right to counsel."
Faretta, 422 U.S. at 835, 95 S.Ct. at 2541, 45 L.Ed.2d 581.
When these traditional benefits are lostby whatever reasonthe loss is not constitutionally
acceptable absent a knowing and intelligent waiver. While the Supreme Court has not elaborated
with more specific considerations when determining a knowing and intelligent waiver, the federal
Circuit Courts of Appeals have.
See footnote The Seventh Circuit Court of Appeals considers
four factors: "(1) the extent of the court's inquiry into the defendant's
decision, (2) other evidence in the record that establishes whether the defendant understood
the dangers and disadvantages of self-representation, (3) the background and experience of the
defendant, and (4) the context of the defendant's decision to proceed
pro se."
See footnote
Hoskins, 243 F.3d at 410. When applying these factors the court
notes
The district court is in the best position to assess whether a defendant
has knowingly and intelligently waived counsel, and we will most likely uphold the
trial judge's decision to honor or deny the defendant's request to represent himself
where the judge has made the proper inquiries and conveyed the proper information,
and reaches a reasoned conclusion about the defendant's understanding of his rights and
voluntariness of his decision.
Id. (internal quotes omitted). The appellate court will review the record to
evaluate the inquiry and court's reasoning in reaching its conclusion. Id.
We find this approach helpful in analyzing waiver of the Sixth Amendment right
to counsel under the facts and circumstances of waiver by conduct cases.
Considering these factors within the circumstances of the present case we find that
the trial court, while it did determine that the defendant was advised of
his trial rights
See footnote
and did tell the defendant of the procedural outcome if
he failed to secure counsel, did not at any time advise the defendant
on the dangers and disadvantages of self-representation. This lack of any advisement
weighs heavily against finding a knowing and intelligent waiver. We can find
nothing in the record that either directly or inferentially supports the notion that
the defendant may have independently understood the dangers and disadvantages of self-representation.
The defendant had prior misdemeanors, but it is not known whether these prior
offenses resulted in trials or pleas or what sentences were received. The
defendant's background and experiencetwenty-five years old, ninth grade education, employedtilts us neither towards
finding or not finding waiver. Finally, while there is evidence that the
defendant chose to work and sleep rather than take the time to hire
an attorney, his conduct did not result in gross delays or clearly appear
to intend manipulation of the process. The facts and circumstances of this
particular case do not warrant finding a knowing and intelligent waiver.
Trial courts need not necessarily appoint counsel for every defendant who fails to
implement an intention to employ counsel, nor need they unreasonably indulge a defendant
who repeatedly fails to cooperate with appointed counsel, but the importance of the
right to counsel cautions that trial courts should at a minimum reasonably inform
such defendants of the dangers and disadvantages of proceeding without counsel. The
appellate court is to consider whether the defendant voluntarily, either verbally or by
conduct, chose self-representation, and whether in so choosing the defendant made a knowing
and intelligent waiver of the Sixth Amendment right to counsel.
In the present case, the record does not provide us with the trial
court's conclusions regarding the voluntariness of defendant's decision or understanding. The facts
and circumstances presented do not establish that the defendant voluntarily, knowingly, and intelligently
waived his right to counsel. The judgment is reversed and this cause
is remanded for new trial.
SHEPARD, C.J., and SULLIVAN, BOEHM, and RUCKER, JJ., concur.