Johnson v. State
Johnson v. State
Opinion
The appellant, David Eugene Johnson, was charged with three counts of unlawful distribution of a controlled substance, violations of §
Before the start of appellant's trial, the parties appeared before the trial judge, who verified that the appellant had fired his appointed *Page 747 counsel that morning. The trial judge engaged in the following conversation with the appellant and his appointed counsel:
"THE COURT: This CC-96-474 in the matter of David Eugene Johnson . . . It's my understanding that Mr. Johnson has fired his attorney; is that right?
"MR. MANSELL [appointed counsel]: Yes, sir.
"THE COURT: All right. This is for trial. You're going to represent yourself.
"MR. JOHNSON: I was going to try to get my parents to get me a paid lawyer.
"THE COURT: No, sir. You can get one, but it's going to be right here in the next five minutes because we're trying the case right now.
"MR. JOHNSON: My lawyer, he hadn't discussed my case over with me or nothing. Yesterday was my first time even to come up here.
"THE COURT: All I know is I'm going to try the case. We're trying the case right now. You need to decide if you want to retain Mr. Mansell or go forward and try the case. I'll give you some time to think about it."
Although the appellant used the time given to him by the trial judge to consider a guilty plea and the trial judge later engaged in a full Boykin colloquy, the following exchange reveals the appellant's uncertainty about the situation:
"MR. MANSELL: How do you plead?
"MR. JOHNSON: Well, I'm going to plead guilty, I reckon.
"THE COURT: Well, either you are or you aren't, Mr. Johnson. If you're not we'll give you a trial.
"MR. JOHNSON: Give me a trial. I'll just take a trial. I'm going to try it.
"THE COURT: Okay. You're going to represent yourself then, fine. Call the jury in. Let's go."
Although Mr. Mansell was present during the jury selection, the record reveals that he was serving merely as advisory counsel at the time. By the time opening statements were given, there is no further indication in the record of any participation by Mr. Mansell. The appellant served as his own counsel throughout the entire trial. The record does not reflect that the trial judge, appointed counsel, or anyone else discussed with the appellant at any time the consequences of representing himself during the trial.
Further clouding the issue whether the appellant consciously waived his right to counsel is the uncertainty of when appointed counsel withdrew. The State has stated on appeal that appellant's appointed counsel represented him through the striking of the jury. The record tends to reflect that Mr. Mansell was operating more as "standby" counsel at this point. However, the record is devoid of any written motion to withdraw, which motion is required under Rule 6.2(c), Ala.R.Crim.P., when a case has been set for trial. Although no argument based solely on Rule 6.2(c), Ala.R.Crim.P., was preserved for appeal, the lack of such a motion is further evidence that appellant was not clear about the role of his appointed counsel going into trial.
In Gideon v. Wainwright,
"That government hires lawyers to prosecute and defendants who have the money hire lawyers to defend are the strongest indications of the wide-spread belief that lawyers in criminal courts are necessities, not luxuries. The right of one charged with crime to counsel may not be deemed fundamental and essential to fair trials in some countries, but it is in ours. From the very beginning, our state and national constitutions and laws have laid great emphasis on procedural and substantive safeguards designed to assure fair trials before impartial tribunals in which every defendant stands equal before the law. This *Page 748 noble ideal cannot be realized if the poor man charged with a crime has to face his accusers without a lawyer to assist him."
The United States Supreme Court has, on the other hand, also held that a defendant has a right to self-representation.Faretta v. California,
In this case, the burden is on the state to show that the appellant's waiver was knowing and intelligent because the record does not clearly show that the defendant waived his right to counsel. The only assertion made by the appellant that could possibly be construed as a clear and unequivocal waiver is when he stated, "Give me a trial. I'll just take a trial. I'm going to try it." However, this statement was in response to the Court's questioning him about whether he desired to plead guilty. The record shows that the appellant's main purpose in making the statement was to indicate to the Court that he desired to have a trial rather than to plead guilty; it is not clear that he intended to make a voluntary choice to forgo the assistance of an attorney. Furthermore, before giving the appellant a choice of whether to proceed with or without counsel, the trial court told the appellant, "You're going to represent yourself." Although the trial court later told the appellant that he could either proceed himself or retain his previously appointed counsel and although it gave him "some time to think about it," the record does not reflect when or even if the appellant ever made such a choice, other than by default.
The State correctly argues that the appellant was not entitled to have the counsel of his choice appointed.Connolly v. State,
One factor that might distinguish this case from the situation anticipated by Rule 6.1(b), Ala.R.Crim.P., is the fact that the appellant did not originally refuse appointed counsel but rather terminated his services the morning of trial. Both the trial court and the State on appeal have citedHarding v. Davis,
In this case the record likewise does not reflect that any effort was made to warn the appellant about the consequences of proceeding without counsel. The State argues that theBoykin colloquy before the appellant chose to proceed to trial rather than plead guilty was sufficient to warn him about such consequences. However, the entire purpose of that exchange was to properly inform the appellant regarding whether to proceed to trial or to plead guilty, not to inform him about whether to proceed to trial with an attorney or to proceed pro se.
Although it is preferable to have one, no specific waiver hearing or colloquy is required. Fitzpatrick v. Wainwright,
Tomlin v. State," '(1) whether the colloquy between the court and the defendant consisted merely of pro forma answers to pro forma questions, United States v. Gillings,
568 F.2d 1307 ,1309 (9th Cir.), cert. denied,436 U.S. 919 ,98 S.Ct. 2267 ,56 L.Ed.2d 760 (1978); (2) whether the defendant understood that he would be required to comply with the rules of procedure at trial, Faretta [v California, 422 U.S.] at 835-36,95 S.Ct. at 2541-42 ; Maynard v. Meachum,545 F.2d 273 ,279 (1st Cir. 1976); (3) whether the defendant had had previous involvement in criminal trials, United States v. Hafen,726 F.2d 21 ,25 (1st Cir.), cert. denied,466 U.S. 962 ,104 S.Ct. 2179 ,80 L.Ed.2d 561 (1984); (4) whether the defendant had knowledge of possible defenses that he might raise, Maynard, supra; (5) whether the defendant was represented by counsel before trial, Hafen, supra; and (6) whether "stand-by counsel" was appointed to assist the defendant with his pro se defense, see Faretta, supra, at 834 n. 46,95 S.Ct. at 2540-41 n. 46; Hance v. Zant,696 F.2d 940 ,950 n. 6 (11th Cir.), cert. denied,463 U.S. 1210 ,103 S.Ct. 3544 ,77 L.Ed.2d 1393 (1983), overruled on other grounds, Brooks v. Kemp,762 F.2d 1383 (11th Cir. 1985).' "
In the present case, the appellant appeared hesitant in choosing to represent himself; the trial court's concern was to move toward trial. The record does not reflect that any measures were taken to ensure that the appellant knew the consequences of proceeding pro se. The Boykin colloquy between the appellant and the trial court is not even material as to the first factor enunciated in Tomlin v. State, supra, because it was not intended to ensure that a defendant's choice of proceeding pro se was knowing and intelligent.
Factors 2 through 4 listed above address the appellant's familiarity and experience with court proceedings. The State has argued that the appellant's experience before the very same trial court gave the trial judge notice that he understood the proceedings and that he could represent himself. However, the record is silent regarding the type of proceeding that the appellant experienced. The trial transcript reflects that the appellant was quite unfamiliar with such essential tactics as cross-examination. Although the appellant had several issues as to which he wished to cross-examine the state's main witness, he first attempted to cross-examine the witness by trying to inject a question in the middle of the direct examination. When his turn finally came to cross-examine, he was unable to formulate a question despite many efforts.
The last two factors concern the extent appellant was assisted by counsel throughout the proceedings. Although counsel was appointed for the appellant before trial, he has stated that his appointed counsel did not even meet with him before the morning of *Page 750 trial and did not review any possible defenses or other issues before trial. The appointed counsel stated that he did have telephone conversations with the appellant before the day of trial. However, whether the appointed counsel served as stand-by counsel in this case is questionable. Although the trial judge asked him to help with the striking of the jury, there is no indication from the record that he was present during any subsequent stage in the trial proceedings.
The circumstances of this case support the conclusion that the appellant did not knowingly and intelligently waive his right to counsel. The fact that the appellant had previously been appointed counsel does not alone satisfy the requirements of Gideon. Harding indicates that, even when an indigent defendant terminates the services of his court-appointed attorney the minute before trial, the trial judge must ensure that the defendant truly desires to represent himself or herself and understands the consequences of such a decision. The right to the assistance of counsel is so fundamental that the trial court must ensure that the defendant who wishes to proceed pro se knows what he or she is doing and is proceeding pro se voluntarily.
Ex parte McKelvey,"Therefore, if the petitioner is not barred from raising an issue regarding improper sentencing for the first time in a post-conviction petition, we can find no reason that he should not be allowed to raise the issue for the first time on appeal, even though it was not raised in the trial court. If the trial court imposed the sentence on [the defendant] without jurisdiction . . ., then [the defendant's] ground for appeal was not procedurally barred by his failure to object at his sentencing hearing."
On March 28, 1997, the appellant was sentenced to five years on each count, with one five-year enhancement on each count, pursuant to §
According to this Court in Sorrells v. State,
In Fletcher v. State,
The allegations concerning the ineffective assistance of counsel that were raised before the trial court and are preserved for review include trial counsel's failure to talk to the appellant before the day of trial, trial counsel's failure to file any pre-trial motions, and "a severe conflict of personality" resulting from trial counsel's negligence. According to the United States Supreme Court in Strickland v.Washington,
"First, the defendant must show that counsel's performance was deficient. This requires showing that counsel made errors so serious that counsel was not functioning as the 'counsel' guaranteed by the
Sixth Amendment. Second, the defendant must show that the deficient performance prejudiced the defense. This requires showing that counsel's errors were so serious as to deprive the defendant of a fair trial, a trial whose result is reliable."
In determining whether assistance of counsel was ineffective, the burden is clearly on the appellant. According toStrickland, a reviewing court should entertain a "strong presumption" that counsel's performance was not deficient.
The judgment is due to be, and is hereby, reversed and the case remanded for a new trial.
REVERSED AND REMANDED.
All judges concur.
Reference
- Full Case Name
- David Eugene Johnson v. State.
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