State v. Torres. ICA s.d.o., filed 05/23/2018, 142 Haw. 355.
State v. Torres. ICA s.d.o., filed 05/23/2018, 142 Haw. 355.
Opinion
OPINION OF THE COURT BY POLLACK, J.
Under our precedents, a defendant in a criminal case relinquishes fundamental constitutional rights only when the rights are knowingly, intelligently, and voluntarily waived. To protect against the wrongful deprivation of these important rights, we require trial courts to conduct on-the-record colloquies prior to accepting such waivers, thereby ensuring that defendants understand the nature and consequences of their decisions and make their choices freely. We now reaffirm that the colloquy must be conducted so as to demonstrate that the waiver is a product of the defendant's free will, undertaken in the absence of duress or other undue influence.
Our precedents also firmly establish that a defendant's right to testify is of equal constitutional stature to the defendant's corresponding right to refrain from testifying. Despite *237 our recognition of this symmetry, our current procedures require that a trial court engage a defendant in an on-the-record colloquy only when the defendant waives the right to testify--and not when the defendant waives the reciprocal right not to testify.
We hold that, because the two constitutional rights are of equal importance, they should be afforded equal levels of protection. Accordingly, trial courts must engage the defendant in an on-the-record colloquy regarding the right to testify and to not testify when either right is waived, effectively making such a colloquy necessary in every trial. Because we apply our holding only prospectively, however, and the circumstances and strength of the evidence in this case render any error on the part of the trial court harmless beyond a reasonable doubt, we affirm the defendant's convictions.
I. FACTS AND PROCEDURAL BACKGROUND
A. Pretrial
On August 27, 2014, a grand jury of the Circuit Court of the First Circuit (circuit court) indicted Rinaldo J. Torres, Jr. on one count of robbery in the first degree in violation of Hawaii Revised Statutes (HRS) § 708-840(1)(b)(i) and/or 708-840(1)(b)(ii) 1 and one count of terroristic threatening in the first degree in violation of HRS § 707-716(1)(e). 2 At his arraignment, Torres entered pleas of not guilty.
Five days before trial was scheduled to begin, Torres submitted a Waiver of Indictment/Trial by Jury form to the court. The form stated "I, the above named defendant, charged with violation of the indicated statute have been advised of my rights," and it contained a box for the waiver of the right to an indictment and a box for the waiver of the right to a jury trial. Torres checked the box that said "I waive my right to trial by jury and consent to a trial by the COURT without a jury" and signed the bottom of the form.
The trial began on March 23, 2015. 3 Before opening statements, the court indicated that defense counsel had communicated Torres's desire to waive his right to a jury trial. The circuit court engaged in the following colloquy with Torres:
THE COURT: Your lawyer has provided the Court with a waiver of trial by jury form. And it appears to have your signature. Is this your signature?
THE DEFENDANT: Yes, sir.
THE COURT: Did you go over this form with your lawyer before you signed it?
THE DEFENDANT: Yes.
THE COURT: And did you read and understand it before you signed it?
THE DEFENDANT: I believe I did. Yeah.
THE COURT: Do you have any questions about this form?
THE DEFENDANT: No.
...
THE COURT: Knowing the[ ] penalties [of robbery in the first degree and terroristic threatening in the first degree], do you still want to go by way of a bench trial? That is, a waiver of your right to a jury trial?
THE DEFENDANT: Yes. I feel that you will be fair in weighing the evidence against me. Yes, Your Honor.
*238 THE COURT: Do you understand that you do have a right to a jury trial in this case?
THE DEFENDANT: Yes, I do. Thank you.
THE COURT: And you understand that in a jury trial, you and your lawyer may participate in selecting twelve citizens who would serve as jurors in this case and decide whether you are guilty or not guilty of these crimes?
THE DEFENDANT: Yes, sir.
THE COURT: And you understand that you and your lawyer, or you through your lawyer, will be able to ask questions of the jurors to determine whether they can be fair and impartial? Do you understand that?
THE DEFENDANT: Yes, sir.
THE COURT: And you understand that your lawyer will be given three peremptory challenges. In other words, you and your lawyer will be permitted to excuse up to three jurors, without giving any reason for it. ... Do you understand that?
THE DEFENDANT: Yes. I understand that.
THE COURT: And you understand that before you can be found guilty of these crimes, all twelve jurors must agree that you are guilty. In other words, their verdict must be unanimous.
THE DEFENDANT: Yes. I understand that.
THE COURT: And you understand that by giving up your right to a jury trial, you will be giving up all these rights?
THE DEFENDANT: Yes, Your Honor.
THE COURT: And you also understand that by giving up your right to a jury trial, I--that is the judge--will decide whether you are guilty or not guilty of these crimes?
THE DEFENDANT: Yes, Your Honor.
...
THE COURT: Do you have any questions about what I have told you?
THE DEFENDANT: No. Still we still go through the same procedures as what my defense is and all that, right?
THE COURT: Yes. We will have a trial. The only difference is between a jury--
THE DEFENDANT: We won't have a jury.
THE COURT: Yes.
THE DEFENDANT: Okay. I understand that.
THE COURT: I will decide.
THE DEFENDANT: Right, Your Honor. Yes. I requested that.
...
THE COURT: Do you want to waive your right to a jury trial?
THE DEFENDANT: Yes, sir.
THE COURT: Okay. The Court finds that Mr. Torres has voluntarily waived his right to a jury trial. Also have done so knowingly and intelligently.
B. Trial
Prior to trial commencing, the court did not advise Torres of his right to testify or of his right not to testify.
1. State's Case
The State first called Satoshi Tokunaga who testified that he was visiting from Japan in the summer of 2014 when the incident with Torres occurred. He explained that on July 18, 2014, while he was sitting on a bench in the Waikiki Shopping Plaza, a stranger approached him with a gun and pointed it at his head. Tokunaga testified that the man hit him, he hit the man back, and the man unsuccessfully attempted to take his bag. During the incident, Tokunaga said, they were hitting each other and eventually the individual's gun fell to the floor and both of them tried to grab it. Tokunaga stated that after the man retrieved the gun, the man walked toward the nearby escalator, security arrived, and the incident ended. 4
Tokunaga testified that after the incident, he spoke with detectives and identified a *239 person in a photo lineup that "show[ed] the face of the suspect" and that looked like the stranger who had approached him. Tokunaga was also shown a series of videos during his testimony that depicted the events as he had described. Tokunaga identified the person in the videos as the person that approached him. Tokunaga then made an in-court identification of Torres as the person that assaulted him.
Elliot Aki, a security guard who responded to the incident at the shopping plaza, testified that when he arrived at the scene he saw one person "breaking away" from a group of people and starting to leave. He explained that he began pursuing this person because "this individual might have been the instigator" of the incident. Aki said that the pursuit continued to the escalator and when he came close, the person "pivoted towards his right and pulled out this black object" that "looked like a firearm" and pointed it at him. Aki explained that he then turned around and ran back up the escalator and warned others in the area that the person on the escalator had a gun. Aki said that he observed the individual continue down the escalator in a rushed manner with "his hands in the air with the weapon." Aki was shown the security camera video of the incident on the escalator, and he described the events again as the video was being played.
2. Defense's Case
Prior to Torres being called as a witness, the court did not engage in a colloquy with Torres regarding his right to testify or his right not to testify.
Torres testified that he was at the shopping plaza on July 18, 2014, and that he approached Tokunaga and offered to sell him marijuana. Torres explained that when he opened the bag of marijuana in front of Tokunaga's face, Tokunaga grabbed him and punched him in the eye. 5 After he fell to the ground and stood back up, an altercation ensued, Torres testified. Torres admitted that he had a pellet gun on the day of the incident but said that it was in his bag and he never held it in the confrontation with Tokunaga. He testified that the pellet gun likely fell out of his bag when he fell to the floor. Torres also stated that the pellet gun's magazine, which was found on the ground at the scene, was never loaded in the pellet gun.
When security arrived, Torres testified that he picked up the pellet gun and his bag, and he walked away from the scene still holding his pellet gun at his side as he approached the escalator. Torres testified that while he was on the escalator, he tried to put the pellet gun in his pocket but it fell to the ground as he turned to look behind him. Torres acknowledged that the person in the video "look[ed] like [him]" and that he had the pellet gun out while going down the escalator, but he denied that he pointed it at anyone. After Torres's testimony, the defense rested.
3. Verdict and Sentencing
The circuit court found Torres guilty of both counts. 6 Torres was sentenced to 20 years imprisonment for the robbery charge and 5 years imprisonment for the terroristic threatening charge; the sentences were imposed concurrently with each other. Torres filed a timely Notice of Appeal.
II. ICA PROCEEDINGS
On appeal, Torres argued that the circuit court erred by failing to advise him of his right not to testify before the trial. Torres contended that this alone was reversible error and that there is no requirement that the defendant show he was prejudiced by the lack of a colloquy. But even if he was required to show prejudice, Torres asserted, he was prejudiced because the court's error and his subsequent testimony eliminated the defense of proof of identity.
Torres also asserted that the circuit court erroneously determined that his waiver of jury trial was voluntary. The colloquy was deficient, Torres maintained, because the court did not ask him whether the decision to waive a jury trial was his own decision or made under the influence or duress of another *240 person. Torres concluded that the failure of the circuit court to ask this specific question meant that the court had no basis for its finding that the waiver was voluntary. 7
In its decision, the Intermediate Court of Appeals (ICA) held that when a trial court fails to provide a pretrial advisement, the defendant must show that the lack of the advisement caused actual prejudice. The ICA reasoned that Torres's testimony was essential to his defense of self-defense, and because he was the only witness that the defense called at trial, Torres would have been required to testify even if he was given a pretrial advisement. Thus, the ICA concluded that Torres was not prejudiced by the lack of a pretrial advisement.
The ICA further held that the circuit court did not err in finding that Torres's waiver of his right to a jury trial was voluntary. The ICA explained that not only did Torres sign a Waiver of Trial by Jury form, but Torres also participated in an "extensive dialogue" with the circuit court in which he stated "I feel that you will be fair in weighing the evidence against me." The ICA concluded that under the totality of the circumstances test, these facts demonstrated that Torres waived his right to a jury trial knowingly and voluntarily. Thereafter, Torres's application for certiorari was accepted by this court.
III. STANDARD OF REVIEW
The validity of a defendant's waiver of constitutional rights in a criminal case is a question of law under the state and federal constitutions.
See
State v. Celestine
,
IV. DISCUSSION
A. Torres Voluntarily Waived the Right to a Jury Trial
It is well established that Hawai'i law recognizes the right to a jury trial as a fundamental right.
8
State v. Ibuos
,
When determining whether the waiver of a jury trial is knowing, intelligent, and voluntary, we have "advised the trial courts to conduct
Duarte-Higareda
's suggested colloquy[.]"
9
State v. Gomez-Lobato
,
Torres argues that the circuit court was required to specifically ask him whether the waiver was his own decision or "based upon duress or the influence of another person or other factors that might cause him to waive his rights against his will." Without conducting this inquiry, Torres asserts, the circuit court had no basis for its finding that the jury waiver was voluntary.
This court has evaluated the voluntariness requirement of a waiver of a jury trial on several occasions. In
Friedman
, the trial court asked the defendant during the colloquy, "Is your decision to waive your right to jury trial something you thought about and decided to do yourself voluntarily[?]" and the defendant answered, "Yes."
In
State v. Baker
, the defendant signed his initials next to each paragraph on a form indicating that he intended to waive a jury trial except the paragraph stating that his waiver was not induced by promises or threats.
This court also evaluated voluntariness in the context of the right to testify in
State v. Eduwensuyi
,
In
State v. Solomon
, this court evaluated voluntariness in the context of a guilty plea.
This court's case law clearly demonstrates that when a defendant waives a fundamental right, there must be an affirmative, on-the-record showing that the waiver of the right is voluntary. It is thus incumbent on the trial court to have a basis to conclude that a waiver is voluntary. Unless voluntariness is gleaned from the defendant's responses, the trial court must inquire into the voluntariness of the waiver.
See
Baker
,
Thus, because the circuit court did not ask a direct question addressing whether Torres's waiver was voluntary, his responses to the court must demonstrate that his waiver was his own decision without influence of duress or coercion. To determine whether the waiver was voluntary, we evaluate "the totality of facts and circumstances" of the record in this case.
Friedman
,
During the colloquy, Torres asked whether, during a non-jury trial, "we still go through the same procedures as what my defense is and all that, right?" After the circuit court explained that the difference between a jury trial and non-jury trial is that the court decides guilt or innocence, Torres said, "Right, Your Honor. Yes. I requested that," indicating that it was Torres's own decision to waive a jury trial. Additionally, when asked if he still wanted to proceed with a bench trial knowing the penalties that he was facing, Torres expressed his sentiment that "I feel that you will be fair in weighing the evidence against me." This also evidences that Torres perceived a bench trial to be beneficial to him and that he made the decision based on this conclusion.
We conclude from the record, based on the totality of the circumstances, that Torres voluntarily waived his right to a jury trial.
See
Friedman
,
B. Lewis / Monteil Pretrial Advisement
1. The Circuit Court Erred by Failing To Give a Pretrial Advisement
Torres also argues that the circuit court's failure to provide a pretrial advisement regarding his right not to testify was error under
State v. Lewis
,
In
Lewis
, this court held that trial courts must inform defendants of the right not to testify in a pretrial advisement.
Here, the circuit court clearly violated the mandate of Lewis : Torres was not given a pretrial advisement regarding his right not to testify nor was he advised that the exercise of this right may not be used by the fact finder to decide the case. This was clear error by the circuit court.
This error may have been remedied if the circuit court had engaged in a colloquy with Torres before he testified and informed him of his right not to testify.
See
Monteil
,
2. The Lack of a Pretrial Advisement Was Harmless Error
When the violation of a constitutional right has been established, "the conviction
*243
must be vacated unless the State can prove that the violation was harmless beyond a reasonable doubt."
10
Tachibana
,
Even had Torres been advised of his right not to testify and chosen to exercise this right, the sum effect would be that Torres's trial testimony would not have been elicited. If Torres's trial testimony is thus not considered, the evidence presented by the State with respect to the charges in this case is nonetheless overwhelming. To convict Torres of robbery, the State was required to prove that Torres was armed with a "dangerous instrument or a simulated firearm" 11 and either used force with the intent to overcome Tokunaga's physical resistance or threatened the use of imminent force with the intent to compel Tokunaga's acquiescence to the taking of his property. HRS §§ 708-840(1)(b)(i), (ii). Tokunaga's testimony described the events of his encounter with Torres in great detail. Tokunaga testified that he was sitting alone on a bench in a shopping mall and had a clear view of Torres approaching. Tokunaga stated that he observed Torres wearing a blue shirt, glasses, and "short pants." When Torres arrived at the bench, Tokunaga testified, he saw Torres's face and then saw Torres point a gun at the right side of his head. Torres hit him in the face and tried to take his bag, Tokunaga stated, at which point he hit Torres back and a physical encounter ensued. Tokunaga further testified that at the conclusion of the encounter, he "saw his face" again as Torres stood up and walked to the nearby escalator.
Tokunaga's testimony was verified by video evidence that shows Torres approach Tokunaga with a pellet gun, punch Tokunaga multiple times in the face while Tokunaga is still sitting on the bench, and continue to punch Tokunaga while Tokunaga was pinned on the ground. Tokunaga unequivocally identified Torres during trial as the person who attacked him. The evidence also demonstrated that the pellet gun was a "simulated firearm"; both Tokunaga and Aki testified that the pellet gun resembled a real firearm, and it plainly appears to be a real firearm in the video. Further, a photograph of the magazine *244 from the pellet gun recovered from the scene was entered into evidence. 12
As to the terroristic threatening charge, the State needed to prove that Torres threatened Aki with a simulated firearm with the intent to terrorize him or in reckless disregard of the risk of terrorizing him. HRS §§ 707-715(1), 707-716(1)(e). 13 Aki testified that during his pursuit of a man leaving the scene of the incident, the man pointed "what looked like a firearm" at him while the man was descending down the escalator. Aki's testimony was substantiated by video evidence. These videos document Torres's movements from three different camera angles from the time that Torres stood up at the end of the encounter with Tokunaga to when he stepped off of the escalator. They show Torres carrying the pellet gun in his right hand to the escalator, turning to face Aki while Torres was on the escalator, and getting off the escalator with the gun in his right hand pointed upwards. And, as explained, the testimony and video demonstrate that the pellet gun was a "simulated firearm."
Because of the strength of the State's evidence adduced from Tokunaga and Aki and the corroborating videos, the circuit court's error in not advising Torres of his right not to testify was harmless beyond a reasonable doubt.
See
Tetu
,
C. Prospectively, a Tachibana Colloquy Must Be Given in All Trials
A defendant in a criminal case "has an absolute right not to testify."
Salinas v. Texas
,
This right is explicitly guaranteed by the United States Constitution under the Fifth and Fourteenth Amendments and by the Hawai'i Constitution under article I, section 10.
14
Monteil
,
*245
Ferguson v. Georgia
,
Under our current procedures, however, the right not to testify does not receive protection equivalent to the corresponding right to testify in one's own defense--a foundational constitutional right of equivalent stature. That is, one fundamental right (the right to testify) is more greatly protected than the equally fundamental parallel right (the right not to testify).
As discussed, we held in
Lewis
that courts must advise a defendant prior to the start of trial of both the right to testify and the right not to testify.
This disparate treatment makes it easier for a defendant in a criminal case to waive the right not to testify than to waive the right to testify because there is no "ultimate colloquy" from the court regarding the right not to testify and its consequences. By contrast, when a defendant waives the right to testify, the defendant must make an on-the-record, affirmative choice by answering questions from the court confirming such a decision. This case demonstrates why the right not to testify deserves protection that is equal to that of the right to testify.
In
Tachibana
, this court recognized that there was a necessary balance between the right to testify and the right not to testify.
This court reiterated the importance of this "even balance" between a defendant's right to testify and the right not to testify in
Monteil
.
15
These repeated statements of the importance of properly balancing the constitutional right to testify with the equally important *246 right not to testify are at odds with our current practice of not requiring a Tachibana colloquy when a defendant waives the right not to testify. The disparity is even more striking when we consider other parallel contexts in which our precedent requires trial courts to conduct an on-the-record colloquy to ensure that a waiver of a constitutional right is knowing, intelligent, and voluntary.
For example, in
State v. Ibuos
, the trial court accepted a jury trial waiver from the defendant's counsel.
Tachibana
, as explained, held that the right to testify is a fundamental right and that a trial court is required to engage in an on-the-record colloquy to ensure that waiver of the right is knowing, intelligent, and voluntary.
Ibuos
,
Murray
,
Phua
, and
Tachibana
all involved the waiver of a fundamental constitutional right, which is also the circumstance in this case. Like other fundamental rights, the waiver of the right not to testify should require a trial court to engage in an on-the-record colloquy with the defendant to ensure that the waiver is knowing, intelligent, and voluntary. This is necessary to protect the "constitutionally explicit and more fragile right,"
Tachibana
,
V. CONCLUSION
Based on the foregoing, the ICA's judgment on appeal is affirmed.
HRS § 708-840(1)(b) (2014) provides the following:
(1) A person commits the offense of robbery in the first degree if, in the course of committing theft or non-consensual taking of a motor vehicle:
....
(b) The person is armed with a dangerous instrument or a simulated firearm and:
(i) The person uses force against the person of anyone present with intent to overcome that person's physical resistance or physical power of resistance; or
(ii) The person threatens the imminent use of force against the person of anyone present with intent to compel acquiescence to the taking of or escaping with the property[.]
HRS § 707-716 (2014) provides in relevant part the following:
(1) A person commits the offense of terroristic threatening in the first degree if the person commits terroristic threatening:
....
(e) With the use of a dangerous instrument or a simulated firearm.
The Honorable Dexter D. Del Rosario presided.
The magazine from a pellet gun was recovered from the scene, and a photograph of it was entered into evidence.
Tokunaga denied that Torres ever offered to sell him marijuana.
The court found Tokunaga's testimony credible and Torres ' s testimony not credible.
Torres also argued on appeal that the circuit court erred in denying the defense's motion for judgment of acquittal and that his trial attorney provided ineffective assistance of counsel. Neither issue is raised before this court, and thus they are not addressed.
Defendants charged with a non-petty crime have a constitutional right "to a speedy and public trial by an impartial jury of the district wherein the crime shall have been committed[.]" Haw. Const. art. I, § 14 ;
see also
State v. Wilson
,
Notwithstanding this advisement, "we have rejected the argument that such a colloquy is required in every case."
Gomez-Lobato
,
The State argues that the ICA was correct in holding that a
Lewis
violation must satisfy the "actual prejudice" standard.
Lewis
stated that, "[b]ecause we view this prior-to-trial advisement as incidental to the 'ultimate colloquy,' any claim of prejudice resulting from the failure of the trial court to give [the pretrial advisement] must meet the same 'actual[ ] prejudice[ ]' standard" espoused in
Tachibana
.
HRS § 708-840(2) defines "simulated firearm" as any object that "(a) Substantially resembles a firearm; (b) Can reasonably be perceived to be a firearm; or (c) Is used or brandished as a firearm."
It is noted that if Torres had not testified, there would not have been any evidence of self-defense, which was the defense asserted by Torres at trial to the robbery charge. At the ICA, Torres contended that he could have presented an identification defense. However, as described, the State presented overwhelming evidence that Torres was the assailant appearing in the video.
HRS § 707-715 (2014) defines "terroristic threatening" as a threat "by word or conduct, to cause bodily injury to another person or ... to commit a felony ... [w]ith the intent to terrorize, or in reckless disregard of the risk of terrorizing, another person[.]"
The United States Constitution states that "[n]o person shall be compelled in any criminal case to be a witness against himself." U.S. Const. amend. V. It further provides that "[n]o state shall ... deprive any person of life, liberty, or property, without due process of law." U.S. Const. amend. XIV, § 1. Similarly, the Hawai'i Constitution states that "[n]o person shall ... be compelled in any criminal case to be a witness against oneself." Haw. Const. art. I, § 10.
In
Monteil
, the defendant testified after the trial court informed him prior to trial that he had the "right to remain silent and the right against self-incrimination" and that if he chose to testify that the State would be able to cross-examine him and the court would consider his testimony in deciding guilt or innocence.
Relying on
People v. Mozee
,
Second, the
Lewis
court stated that a colloquy was not required when a defendant testifies because the defense counsel likely would not allow the defendant to take the stand without explaining to the defendant the right to remain silent and the possible consequences of waiving the right.
Finally,
Lewis
reasoned that a colloquy was not required when a defendant testifies because "any defendant who testifies would expect to be cross-examined."
Accordingly, none of the reasons cited by the Lewis court provide a persuasive basis to justify the disparate treatment that is accorded to the defendant's fundamental right to not testify at trial.
Reference
- Full Case Name
- STATE of Hawai'i, Respondent/Plaintiff-Appellee, v. Rinaldo J. TORRES, Jr., Petitioner/Defendant-Appellant.
- Cited By
- 34 cases
- Status
- Published