Kenneth H. Hart v. Warden, New Hampshire State Prison
Kenneth H. Hart v. Warden, New Hampshire State Prison
Opinion
*575 **712 The petitioner, Kenneth H. Hart, appeals an order of the Superior Court ( Abramson , J.) denying his petition for a writ of habeas corpus alleging that he was incompetent to waive his right to counsel and represent himself at trial and on appeal following his convictions of multiple felonies in February 2000. We affirm.
I. Factual and Procedural Background
The record supports the following facts. In 1998, the petitioner was arrested and charged with two alternative counts of aggravated felonious sexual assault (AFSA), one count of witness tampering, and one count of resisting arrest. Prior to trial, the petitioner was provided with court-appointed counsel, but he dismissed three of these attorneys and moved to represent himself at trial. The State objected and, after a hearing on the motion, the Trial Court ( Barry , J.) ruled that "a 'bona fide and legitimate doubt' exists as to the [petitioner's] current competency to stand trial and particularly his ability to clearly and effectively waive his constitutional right to counsel" and ordered that the petitioner submit to a psychiatric evaluation.
Dr. Albert Drukteinis evaluated the petitioner and testified at a July 1999 competency hearing that he believed that the petitioner had a non-specific personality disorder that "did not rise to the level of a major mental illness"
**713
that would "prevent him from being competent to stand trial." Drukteinis also testified that, in his view, competency to defend one's self
pro
se
required a higher competency threshold than the competency standard needed to stand trial and the petitioner's paranoid personality traits "would interfere with a meaningful or reasonable defense of himself." Drukteinis agreed with the Trial Court's (
Groff
, J.) characterization of his testimony that the petitioner would be incapable of effectively cross-examining witnesses as a result of his inability to focus on important issues in a meaningful way. The doctor nonetheless reaffirmed his opinion that the petitioner was competent to stand trial pursuant to
State v. Champagne
,
The Trial Court ( Groff , J.) subsequently held a motions hearing in August 1999 during which the court found that the petitioner maintained a sincere and unwavering desire to waive counsel and represent himself at trial. The court conducted a lengthy colloquy during which the petitioner acknowledged that he: (1) understood that he had an absolute right to be represented by counsel at the State's expense, if he could not afford to retain an attorney; (2) was aware and understood the maximum prison sentences that could be imposed upon conviction; (3) understood that he would be required to follow the applicable rules of evidence, select a jury, and examine witnesses; (4) would be required to conduct an opening statement and closing argument; and (5) understood that the court would not treat him differently than a licensed attorney and could not assist him with his defense. Following this colloquy, the trial court found that the petitioner was "aware of the serious nature of the charges against him, the potential sentence which may be imposed, the complex factual and legal issues presented by [his] case, and the serious limitations in acting as his own counsel." Finding that the petitioner had knowingly, intelligently, and voluntarily *576 waived his right to counsel, the court granted his motion.
The trial court appointed standby counsel to assist the petitioner during trial. Following jury selection, standby counsel informed the trial court of his "grave concerns" with the petitioner's ability and competency to represent himself after the petitioner refused to follow counsel's advice during jury selection. The petitioner objected and the trial court iterated its previous ruling that the defendant was competent to stand trial and competent to waive his right to counsel, and that he did so knowingly and intelligently. After an eight-day trial, the jury convicted the defendant on all charges. The trial court thereafter sentenced the petitioner to a 10 to 20 year prison sentence on the AFSA conviction, recommended that the **714 petitioner complete the sex offender program, and imposed suspended sentences on the remaining convictions.
Following sentencing, the trial court appointed standby counsel for the petitioner to advise and assist him with the preparation of a notice of appeal. However, the petitioner was unwilling to follow counsel's advice and did not authorize counsel to draft the notice of appeal for him. Despite a series of orders issued by this court extending the deadline for the filing of either a notice of appeal or a motion to appoint counsel, no notice or motion was filed by the petitioner, or on his behalf. In February 2001, we ruled that the petitioner had waived any appeal of his convictions.
Since that ruling, the petitioner has filed numerous pro se pleadings unsuccessfully challenging his convictions in state and federal courts. In January 2017, the petitioner filed a complaint in the Superior Court ( Schulman , J.) that the court construed as a petition for a writ of habeas corpus and appointed counsel to represent him. The petitioner's counsel thereafter filed an amended habeas petition challenging his conviction on the ground that the trial court erred in permitting the petitioner to represent himself at trial and for the purpose of filing a notice of appeal. The petitioner also argued that the trial court record does not reflect that he understood the significance and consequences of his decision to waive his right to counsel or that he knowingly and voluntarily waived this constitutional right. The State objected.
In October 2017, the Superior Court (
Abramson
, J.) (habeas court) denied the petition without a hearing. The court found that "between October 1998 and August 1999, [the] petitioner consistently maintained his desire to proceed
pro
se
" and that prior to trial, the court thoroughly explained the dangers and disadvantages of self-representation to the petitioner. Thus, the court concluded that the petitioner knowingly, intelligently, and voluntarily waived his right to counsel. Relying on our decision in
Champagne
, the court also rejected the petitioner's argument that a heightened standard of competency must be applied to a defendant who seeks to represent himself at trial than the standard of competency necessary to stand trial. The court reasoned that the United States Supreme Court decision in
Indiana v. Edwards
,
Prior to addressing the parties' arguments, we note that this case stands in an unusual procedural posture. At oral argument, petitioner's counsel represented that his client had recently completed the maximum term of his sentences, was released from state prison, and was involuntarily committed to the New Hampshire Hospital. Given these circumstances, we requested that the parties submit their respective positions on whether our jurisdiction is affected by these recent events, or whether we should construe the habeas petition as a petition for a writ of coram nobis.
The petitioner argues that we should reformulate his appeal as a petition for a writ of coram nobis because doing so will not alter our review of his claims, his case presents important questions of law that both parties have fully litigated, and the completion of his sentence does not render his challenge to his conviction moot given the immediate consequences of that conviction. The State counters that the petitioner's habeas corpus claims are not preserved because he failed to raise them in a direct appeal of his convictions or by way of a timely motion for a new trial. The State further maintains that the petitioner's claims are moot because he has completed his sentence, and he is not entitled to coram nobis relief in light of his inability to justify his delay in failing to raise the issue of his competency and seek relief on that basis prior to the filing of his January 2017 petition.
See
State v. Widi
,
We first address the State's preservation argument and its contention that the issues before us are moot. We have previously ruled that claims of ineffective assistance of counsel based upon alleged trial errors are not procedurally barred by the failure to raise those claims on direct appeal and, therefore, are eligible for review by way of a petition for writ of habeas corpus.
See
State v. Pepin
,
We also find that the case is not moot. In
State v. Almodovar
,
We note that if the petitioner were solely challenging his detention and involuntary commitment at the state hospital, a writ of habeas corpus might be available to him to challenge that detention. Yet, we question whether his involuntary commitment meets the "in custody" condition to
*578
obtain habeas corpus relief given that: (1) the record before us sheds little light on whether the previous conviction was a basis for the petitioner's commitment; and (2) the petitioner now seeks a remedy, the vacation of his prior conviction, that may be unrelated to his current confinement.
See
Maleng v. Cook
,
III. Writ of Coram Nobis
We next address whether the writ of coram nobis provides a potential remedy to the petitioner. The writ of coram nobis "is of ancient lineage" with roots extending to sixteenth century English common law.
United States v. George
,
Following the landmark case of
United States v. Morgan
,
*579
Federal appellate courts have yet to develop a uniform approach to determine the precise circumstances under which coram nobis relief is appropriate. The First Circuit Court of Appeals has formulated a tripartite test that requires that a coram nobis petitioner: (1) explain his or her failure to seek earlier relief; (2) show that he or she continues to suffer significant collateral consequences occasioned by the final judgment; and (3) demonstrate that the judgment resulted from an error of the most fundamental character.
We recently recognized that the common law writ of coram nobis is available in New Hampshire as an extraordinary writ when an individual is no longer in the State's custody and sound reasons exist for a petitioner's failure to seek appropriate relief earlier.
Widi
,
In
Santamaria
and
Widi
, however, we denied the writ because, in each case, the defendants had no reasonable excuse for not asserting their claims earlier.
Widi
,
We next consider whether the petitioner's conviction resulted from an error of
*580
the most fundamental character,
see
ibr.US_Case_Law.Schema.Case_Body:v1">id
As in
Widi
, we assume, without deciding that the writ of coram nobis may be used to correct legal, as well as factual, errors.
Widi
,
IV. Analysis of Petitioner's Claims
On appeal, the petitioner first argues that the habeas court erred as a matter of law. He maintains that both the United States Constitution and the New Hampshire Constitution require a higher minimum standard of competency for defendants who wish to represent themselves at trial than the standard of competency to stand trial, and, he asserts, the record of his trial establishes that he did not meet this higher standard. The petitioner also contends that, regardless of whether the law establishes a higher standard of competency for self-representing defendants at trial, the record does not establish that he understood the significance and consequences of his waiver of counsel, and thus, he did not knowingly waive his right to counsel. We disagree.
A. Analysis of Competency Claim under the Federal Constitution
Because the petitioner's claim is based upon the Edwards decision, and thus relies upon an interpretation of the Federal Constitution by the United States Supreme Court, we begin by first addressing his argument that the Federal Constitution mandates a higher minimum standard of competency for defendants who seek to represent themselves at trial than the minimum standard of competency to stand trial with the assistance of counsel. We note that the petitioner does not dispute that he was found competent to stand trial beyond a reasonable doubt. Nor does the petitioner challenge either Drukteinis' conclusions or the trial court's findings as to his competency. Instead, he maintains that, in the wake of the Edwards decision, a higher standard of competency is required, as a matter of federal law, to afford a mentally ill defendant the right to exercise his or her constitutional right to self-representation.
Prior to Edwards , the United States Supreme Court held that a defendant's choice to "conduct his own defense ... must be honored out of 'that respect for the individual which is the lifeblood of the law,' " even though that choice may ultimately be to his own detriment.
*581
Faretta v. California
,
In
Edwards
, however, the Supreme Court acknowledged that exceptional circumstances may arise where a defendant's mental condition falls within a so-called "gray area" between the minimal standard that measures a defendant's ability to stand trial, pursuant to
Dusky v. United States
,
Many courts have interpreted
Edwards
as establishing a permissive rule - it allows, but does not require, state courts to impose counsel on defendants who suffer from a severe mental illness but who are competent to stand trial.
See,
e.g.
,
Panetti v. Stephens
,
Although the Edwards decision reflects a significant shift in the Supreme Court's jurisprudence on a criminal defendant's right to self-representation under Faretta , its holding is limited. The new rule espoused in Edwards merely allows states to insist upon representation by counsel in the "exceptional context" when a criminal defendant is found competent to stand trial and insists on defending himself at trial, but is so severely mentally ill that his self-representation threatens the integrity of the trial process and creates a risk of an improper conviction or sentence.
**721
Edwards
,
*582
Whereas
Edwards
considered whether the trial court improperly imposed counsel upon a severely mentally ill defendant, the petitioner argues that the trial court here improperly allowed him to proceed to trial
pro
se
. Essentially, the petitioner asks us to find that
Edwards
stands, not just for the proposition that a trial court
may
insist upon representation for defendants who are incompetent to self-represent at trial due to a severe mental illness, but that it
must
impose counsel on him, and, having failed to do so, we must reverse the petitioner's conviction and impose counsel on him in a new trial. Even if the petitioner fell within the "gray area" of competency contemplated by
Edwards
, he cites no federal authority, and we cannot find any federal support, for his proposition that a heightened standard of competency
must
be applied such that trial courts are required to force representation upon "gray area" defendants at trial.
See
DeShazer
,
B. Analysis of Competency Claim under the New Hampshire Constitution
We next address the petitioner's argument that the New Hampshire Constitution mandates a higher minimum standard of competency for self-represented defendants. Part I, Article 15 of the New Hampshire Constitution explicitly provides that "[e]very person held to answer in any crime or offense punishable by deprivation of liberty shall have the right to counsel ... [and] this right he is at liberty to waive, but only after the matter has been thoroughly explained by the court." N.H. CONST. pt. I, art. 15. Part I, Article 15's inclusion of the right to waive counsel makes explicit what the Sixth Amendment to the United States Constitution made implicit - that criminal defendants must be permitted to exercise their autonomy
**722
to refuse the assistance of counsel and self-represent at trial.
3
Accordingly, we have previously upheld a defendant's right to waive his right to the assistance of counsel at trial, provided the defendant evinces an understanding of that right and asserts an unequivocal desire to relinquish it.
4
See
State v. Towle
,
Nonetheless, it cannot be questioned that a criminal defendant's mental competency to stand trial is an absolute basic condition of a fair trial.
State v. Haycock
,
Arguably, the circumstances here present a more difficult question than the issue we addressed in
Champagne
. Whether a mentally ill defendant is competent to plead not guilty by reason of insanity, with the
**723
assistance of counsel, differs significantly from determining whether a mentally ill defendant, who is found competent to stand trial, is also competent to represent himself at trial, particularly when his mental condition may impair, among other things, his ability to effectively cross-examine witnesses. The petitioner contends that this concern exposes the infirmity of the
Dusky
competency to stand trial standard, because the
Dusky
standard incorporates a defendant's ability to communicate with counsel, and the assumed presence of counsel does not apply to self-representing defendants. We reject the premise of this reasoning, because, while the
Dusky
standard refers to a defendant's ability to consult with a lawyer, the standard's crucial inquiry focuses on whether the defendant possesses a reasonable degree of rational understanding.
Godinez v. Moran
,
We have similarly reasoned that, in light of a criminal defendant's constitutional right to waive counsel and represent himself pursuant to the Sixth Amendment to the United States Constitution and Part I, Article 15 of the New Hampshire Constitution, a defendant must be afforded the
*584
right to self-representation "whether or not that representation will be to his detriment."
Barham
,
When a mentally ill defendant exercises his or her right to self-represent at trial there will be more occasions for the trial court to observe the condition of the defendant and assess whether the conduct of the defense threatens the fairness, integrity, or validity of the proceedings. Trial courts are obligated to order an evidentiary hearing whenever there
**724
is sufficient doubt concerning a defendant's competence.
See
State v. Zorzy
,
The petitioner urges us nonetheless to adopt a heightened standard of competency for self-representation articulated by courts in other states. Yet, in one jurisdiction cited by the petitioner, a state statute dictated the circumstances under which a criminal defendant may be permitted to proceed to trial
pro
se
.
See
State v. Lane
,
The Connecticut Supreme Court, on the other hand, imposed a heightened standard of competency for a mentally ill defendant to self-represent at trial notwithstanding a constitutional provision that explicitly provides that "the accused shall have a right to be heard by himself and by counsel." CONN. CONST. art. I, § 8 ;
see
State v. Connor
,
We are not persuaded that the reasoning applied by other state courts warrants the adoption in New Hampshire of a heightened standard of competency for mentally ill defendants who are found competent to stand trial and who invoke their constitutional right to waive counsel and self-represent at trial.
6
Indeed, the
Edwards
Court expressly declined to adopt a specific standard in this type of exceptional circumstance and opted, instead, to invite States to do so.
See
Edwards
,
To the extent the petitioner argues the policy concerns relating to the mentally ill require a new, different or heightened standard, we observe that matters of public policy are best suited for the legislature, and we therefore leave the task of addressing the petitioner's concerns to that branch of the government.
See
Petition of Kilton
,
C. Waiver of Right To Counsel
We next address the petitioner's argument that the trial court erred by permitting him to represent himself at trial, because the petitioner did not knowingly or intelligently waive his right to counsel due to his mental illness. Specifically, the petitioner argues that he did not sufficiently understand the consequences and significance of his decision to represent himself at trial and this error requires that he be granted a new trial. The State counters that the trial court complied with the constitutional standards that applied to these circumstances at the time the petitioner stood trial, the trial court thoroughly explained the dangers and disadvantages of self-representation to him, and we should therefore affirm the habeas court's ruling because the petitioner made his decision with his "eyes wide open." We agree with the State.
In a lengthy colloquy, the trial court informed the petitioner that he would be required to follow the rules of evidence and court rules without the assistance of the court. The trial court informed the petitioner that he would need to make opening statements, closing arguments and question witnesses directly and on cross-examination. The trial court also warned the petitioner of the risks associated with self-representation, including his potential inability to view the case objectively and dispassionately, as an attorney, and not as a party to the case, would do. After being warned of these dangers and disadvantages and after informing the court that he understood and appreciated them, the petitioner unequivocally waived his right to counsel.
The petitioner maintains, however, that the record does not establish whether he actually understood what it meant to represent himself because his performance and interaction with standby counsel throughout the trial demonstrates that he erroneously believed that standby counsel would "serve as his 'advocate,' " " 'run his case for him,' " and "had an obligation to provide effective assistance of counsel." However, the petitioner's statements reflect more on his lack of legal experience and a misunderstanding of the specific limits of standby counsel's role at trial as opposed to an essential misunderstanding of the consequences of his self-representation. The trial court found that the petitioner knowingly, intelligently, and voluntarily chose to waive his right to counsel and that he was competent to do so before the **727 trial. The petitioner does not challenge these findings. Nor does the petitioner allege that the trial court erred by failing to order another competency evaluation in light of his conduct and performance at trial.
While the petitioner contends that his performance at trial "substantiated the concerns Dr. Drukteinis articulated" about his ability to defend himself, "[i]t is undeniable that in most criminal prosecutions defendants could better defend with counsel's guidance than by their own unskilled efforts."
Faretta
,
We examine the validity of a defendant's decision to waive counsel at the time made and upon evidence produced during the trial court's colloquy with a
pro
se
defendant to determine whether the defendant clearly and unequivocally expressed his desire to self-represent, understood the consequences, and knowingly and intelligently chose to waive his right to counsel.
See
State v. Russo
,
For the foregoing reasons, we affirm the order of the habeas court.
Affirmed .
LYNN, C.J., and HICKS, BASSETT, and HANTZ MARCONI, JJ., concurred.
As we have previously recognized, federal courts nevertheless grant coram nobis relief sparingly. The First Circuit Court of Appeals has described the writ as the "criminal-law equivalent" of a "Hail Mary pass," because granting such an extraordinary writ is reserved for the rarest of cases.
George
,
As in
Santamaria
, we express no opinion as to whether the writ has a second source of authority in our State Constitution because the parties have not so argued. Accordingly, we address only the common law writ of coram nobis.
See
Santamaria
,
Thus, while some might be suspicious of the constitutional footing of the right to self-representation under the Federal Constitution because this right is not explicitly set forth in the text of the Sixth Amendment,
see
Edwards
,
Indeed, we question the practicality of adopting a heightened standard, given the State Constitution's explicit protection of a criminal defendant's right to waive counsel. Should a trial court be confronted with the issue addressed in
Edwards
, for example, Part I, Article 15 will invariably require the court to attempt to determine which constitutional right requires more protection: the right to counsel or the right to self-represent.
See
Towle
,
The
Moran
Court also reasoned that a finding that a defendant is competent to stand trial is not "all that is necessary before he may be permitted to ... waive his right to counsel ... [because] a trial court must [also] satisfy itself that the waiver of his constitutional rights is knowing and voluntary."
Moran
,
The petitioner also invites us to consider certain cautionary admonitions against the use of a single competency to stand trial standard issued by the Supreme Judicial Court of Massachusetts (SJC) given the shared language and history between the constitutional provisions of New Hampshire and Massachusetts.
See
Comm. v. Means
,
Case-law data current through December 31, 2025. Source: CourtListener bulk data.