Opinion of the Court by Chief Justice MINTON.
After approving Ricky Allen's request to represent himself in a jury trial of an indictment charging four felonies and a second-degree persistent felony offense (PFO 2), the trial court appointed standby counsel for Allen despite his objection. At trial, the court curtailed the range of Allen's self-representation by barring him from all bench conferences, allowing only standby counsel to participate because the court determined Allen was a threat both to disrupt the trial and to flee. The trial resulted in a judgment of conviction and twenty-year sentence of confinement as a second-degree persistent felon, from which Allen now appeals as a matter of right.
We reject Allen's argument that the trial court erred by failing to grant a directed verdict on three charges, but we reverse the judgment because we hold that the trial court's restriction of standby counsel at bench conferences in lieu of Allen himself or hybrid counsel left Allen unrepresented at these critical stages of the trial proceeding in violation of his Sixth Amendment rights.
In light of our reversal, we confine our discussion of the other issues Allen raises to those likely to recur in the event of a retrial.
Grace Fellowship Church was burglarized. The church reported that several items were missing, including a Compaq laptop computer, digital camera, bass guitar, and $340 in cash. In the course of the burglary, a number of door locks, cabinet locks, and a desk lock were damaged. The repair and replacement necessitated by the damage cost the church over $5,000.
A few months later, police received a call from Cecil Hall reporting a domestic dispute between Ricky Allen and Cecil's mother, Verda Hall. Cecil met the police at his mother's residence where he turned over to the authorities a USB drive containing files belonging to Grace Fellowship Church and its pastor. Cecil told authorities that he downloaded the files from a computer that Allen asked him to evaluate. Cecil claimed that Allen bragged about breaking into a place in Carnaby Square — the shopping center where the church was located — and that Allen threatened him when Cecil figured out the laptop was stolen from the church. In the course of the investigation, Verda told police that on the night of the burglary, she dropped Allen off at Carnaby Square, which was about a half mile from her home. When she dropped Allen off, he was carrying a black bag. She also claimed that sometime later she saw a guitar in the back of Allen's truck.
A grand jury indicted Allen, charging him with third-degree burglary, first-degree criminal mischief, theft by unlawful taking over $300, receiving stolen property worth $300 or more, and being a PFO 2. Allen represented himself at trial with assistance from standby counsel.
At trial, Cecil testified that Allen presented him with a laptop that appeared to belong to the church based on the downloaded documents. He also claimed that Allen had told him in the past how he would go about breaking into a place. But Cecil denied his prior statements to the police that Allen admitted to burglarizing the church and that Allen threatened to harm him if he reported the crime. Cecil
Verda testified that she did not remember telling police that she dropped Allen off in the church's vicinity or that she saw a guitar in Allen's truck. She claimed that she was taking high doses of prescription drugs when she gave her statement to the police. Verda also testified that the only guitar she ever saw was one located in a building on property she owned with her husband (not Allen).
A detective testified to Cecil's and Verda's prior inconsistent statements. The detective had viewed the files on the USB drive and confirmed that they belonged to the church. Neither the files nor the thumb drive itself were introduced into evidence. There was no surveillance footage identifying Allen, and no usable fingerprints were found at the scene. And none of the stolen property was ever recovered.
At the close of the Commonwealth's case, the trial court granted a directed verdict for lack of sufficient evidence of the crime of receiving stolen property worth $300 or more and instructed the jury on receipt of stolen property worth less than $300. The jury convicted Allen of all counts submitted to it and determined Allen to be a PFO 2. The trial court sentenced him to twenty years' imprisonment.
Allen claims the trial court erroneously denied his motion for a directed verdict on the charges of burglary, criminal mischief, and theft.
A trial court ruling on a directed verdict motion must draw all fair and reasonable inferences in the Commonwealth's favor.
Allen protests that he is entitled to a directed verdict on the charges of third-degree burglary,
It is true that no physical evidence existed to link Allen directly to the scene of the burglary. But this fact alone does not warrant a directed verdict. A "[c]onviction can be premised on circumstantial evidence of such nature that, based on the whole case, it would not be clearly unreasonable for a jury to find guilt beyond a reasonable doubt."
Here, the jury found Allen guilty of possessing the stolen laptop.
It was reasonable for the jury to find also that Allen burglarized the church, thereby causing damage to church property and taking the other missing items. Cecil told police that when he figured out the laptop was stolen, Allen threatened to harm him if he told the police. Cecil also claimed that Allen admitted to breaking into a place in Carnaby Square. Verda told police that on the night of the crime, she dropped Allen off in the shopping center where the church was located. Allen was carrying a black bag with him. Verda also said that she saw a guitar in Allen's truck, and the detective understood this to be a few days after the crime.
Cecil and Verda recanted many of their statements at trial. But it was for the jury to determine whether it believed their testimony or out of court statements to the police. The Commonwealth established that Verda was still in contact with Allen, and the two corresponded while he was in jail. And, in closing, the Commonwealth argued that Cecil changed his testimony after having lunch with his mother on the
Allen was represented in several cases in the trial court by Cotha Hudson, a court-appointed attorney. Before trial in another case, Allen moved, pro se, for a change of counsel, which the trial court denied. During the hearing on Allen's motion, the trial court had to ask Allen not to interrupt other people when they were talking. Following that trial, Allen filed a motion under Kentucky Rules of Criminal Procedure (RCr) 11.42 challenging his conviction because of Hudson's ineffectiveness as trial counsel.
Hudson informed the trial court that Allen's allegations in his RCr 11.42 motion prevented her from further representing him in his other ongoing cases, including the present one. Allen requested to represent himself at the trial of the present case. At the hearing on Allen's request, he interrupted the trial court as it was stating its inclination to hold the RCr 11.42 motion in abeyance. The trial court informed Allen that he was not to interrupt while the judge was speaking.
Despite the trial court's decision to abate Allen's self-representation motion, Hudson was concerned that she should be removed from the case, nevertheless, because Allen would not cooperate with her. A discussion to determine the best way to handle the situation took place among the trial court, Hudson, other Department of Public Advocacy (DPA) attorneys, and the Commonwealth's Attorney. Allen sought to interject and asked if he could speak, interrupting one of the attorneys who was talking. The trial court told Allen no, but he continued to speak. Allen said that he did not want representation by DPA and would represent himself. The trial court had Allen temporarily removed from the courtroom for failing to remain quiet.
The trial court brought Allen back into the courtroom, conducted a Faretta hearing, and took the issue under consideration. The trial court ultimately issued an order granting Allen's motion for self-representation with restrictions. The trial court ruled that Allen knowingly and voluntarily waived his right to representation and appointed Hudson as standby counsel.
Although mindful of Allen's right to represent himself, the trial court could not "ignore Allen's past dealings with th[e] [c]ourt." The trial court noted that Allen was "prone to frequent and uninvited interruptions in the [courtroom]" and was a flight risk. The trial court's determination that Allen was a flight risk was based on the fact that while on trial for a different charge, Allen left the courthouse and was not apprehended for six days.
The trial court believed that Allen would abuse his Sixth Amendment right of self-representation "by using it as another attempt to flee or abuse the judicial process by unnecessary disruption during his trial." So the trial court ordered the following:
On the morning of trial, Allen informed the trial court he was not ready to proceed because he had not received the order granting his motion for self-representation and his discovery materials were lost. The trial court denied Allen's motion for a continuance, and Allen proceeded to represent himself at trial.
Allen conducted voir dire, made objections, cross-examined witnesses, attempted to call witnesses in his own defense,
The Sixth Amendment of the United States Constitution and Section 11 of the Kentucky Constitution afford a criminal defendant the right to counsel, as well as the right of self-representation.
"[A] trial court may appoint standby counsel for a defendant even if the defendant objects to such an appointment."
The trial court's appointment of Hudson as standby counsel over Allen's objection did not per se violate Allen's Faretta rights. But when a trial court appoints standby counsel over a defendant's
We agree with those jurisdictions finding that participation of standby counsel in bench conferences over a defendant's objection typically offends the two limitations outlined in McKaskle.
In Snowden v. State,
In Snowden, no reasons were given for the trial court's decision to exclude the self-represented defendant from bench conferences. The analysis by the Delaware Supreme Court was based purely on the Sixth Amendment right of self-representation and the McKaskle guidelines.
We first review the trial court's findings that Allen was a flight risk and was a risk for disrupting the proceedings for abuse of discretion.
The trial court did not abuse its discretion in finding Allen was a flight risk. Only a few months before, Allen left the courthouse while in custody and on trial for different charges; he was not apprehended for several days. At the time of the trial of the present case, Allen had been tried and convicted of second-degree escape and being a first-degree PFO. He was serving a sentence of twenty years' imprisonment for that conviction. Allen was also awaiting trial on several other indictments. We cannot say the trial court abused its discretion by deeming Allen a flight risk.
Nor did the trial court abuse its discretion in determining that Allen could disrupt court proceedings. The trial court had Allen removed from a pretrial hearing for interrupting others. And the trial court had extensive interactions with Allen on his various cases. So the trial court was in the best position to determine that Allen posed a risk of disrupting the trial.
Despite finding that Allen was a flight risk and could potentially be disruptive,
Instead, the trial court appointed Hudson as standby counsel. When the trial court took Allen's motion to proceed pro se under advisement, the trial judge indicated that he had to decide whether to dismiss Hudson altogether, keep her as lead or co-counsel, or appoint her as whisper or standby counsel. Ultimately, the trial court determined that Allen could represent himself with assistance from Hudson as standby counsel. This determination was completely within the trial court's discretion.
Once making the decision to appoint standby counsel, the trial court was faced with devising a plan to reconcile standby counsel's role with Allen's Faretta right to represent himself. We recognize that a
Nor does a defendant's right to appear pro se "categorically silenc[e] standby counsel."
But once the trial court decided that Hudson would serve purely as standby counsel, the court was not free to exclude Allen from bench conferences. We hold that Allen's Sixth Amendment right to
Allen's exclusion from bench conferences implicates his Sixth Amendment right to be represented by counsel at all critical stages of a criminal proceeding.
Allen acted as his own counsel at trial and was prohibited from attending the bench conferences. Although Hudson was present at the bench conferences, she did not represent Allen because she was standby counsel only. Standby counsel is defined as "[a]n attorney who is appointed to be prepared to represent a pro se criminal defendant if the defendant's self-representation ends. [] The standby counsel may also provide some advice and guidance to the defendant during the self-representation. — Also termed advisory counsel."
Standby counsel is distinguished from hybrid counsel, which is an attorney that acts as co-counsel with the defendant.
We agree with the Sixth Circuit Court of Appeals that "[g]enerally, standby counsel does not satisfy a defendant's Sixth Amendment right to counsel."
"[A]n analysis of a critical stage necessarily involves a retrospective inquiry as to the nature and consequences of each step in the proceedings. Particular attention must be given to how counsel would have benefited the defendant at these moments."
The bench conferences at Allen's trial were critical stages of the criminal proceeding.
We point out the contents of the conference regarding Allen's motion for a continuance as an example. On the morning of trial, it came to light that Allen had not received a copy of the trial court's order granting Allen his right to self-representation. Allen also informed the court that his discovery documents were missing. On these bases, Allen requested a continuance.
We find that a reasonable likelihood exists that Allen was prejudiced by the absence of counsel at this bench conference. It is reasonably likely that counsel, Allen, or an attorney representing him, could have presented articulable and persuasive reasons why a continuance was necessary. Instead, the trial court ruled on the motion without hearing any argument from Allen.
After determining that Allen should not approach the bench for conferences, the trial court should have appointed co-counsel to represent Allen at these critical stages. Allen's actions may have forfeited his right to move freely about the courtroom, but that does not mean he could go unrepresented at the bench conferences.
In Hummel, we held that a defendant can forfeit his right to represent himself. Although Hummel forfeited his right to be his own counsel, he was still represented by an attorney at all critical stages of his criminal proceedings.
The Commonwealth, as well as the dissent, points us to State v. Davenport,
We pause here to distinguish clearly Davenport from the case before us. The dissent "find[s] this case more akin to Davenport" because the "trial court detailed security concerns." Respectfully, we must disagree. Initially, a brief description of the facts and proceedings of Davenport is in order. Davenport involved the arrest of a 33-year-old male, who was over six feet tall and weighed over 300 pounds, and during the arrest lunged for a shoebox found to contain two firearms. Davenport was a "drug kingpin" charged with "twenty-five drug- and weapon-related offenses, the most serious of which was first-degree leading a narcotics trafficking network."
The Commonwealth also argues that although the trial judge labeled Hudson standby counsel, her presence at the bench conferences necessarily entailed representation of Allen in that limited role. So, according to the Commonwealth, Allen was not left unrepresented at any critical stage of the trial. The record here contradicts the Commonwealth's argument.
The record in this case supports the conclusion that Allen was left unrepresented at the bench conferences. The trial court repeatedly made clear that Hudson's role as standby counsel was advisory only. The trial court's order specifically identified Hudson as standby counsel for Allen, stating that she would be available to Allen for assistance before and during the trial but would not interfere with Allen's Faretta rights in order that Allen could present his case in his own way. The trial court informed the jury that Allen had chosen to represent himself and would not have an attorney to represent him. The court explained that while Hudson was an attorney, she was present only to answer
Hudson was placed in an awkward situation by being restricted to an advisory capacity but, at the same time, being present at the bench conferences to Allen's exclusion. At some bench conferences, she made limited statements on Allen's behalf. But many times, she remained silent at the conferences and took on more of a messenger role. For instance, during many examinations of individual jurors at the bench during voir dire, the trial court ruled to excuse jurors and instructed Hudson to inform Allen about what occurred. In another instance, the prosecutor objected to a question posed by Allen in cross-examination. Allen started to reply to the prosecutor's objection, but the trial court interrupted him and called counsel to the bench. Hudson explained the purpose behind Allen's line of questioning, but she did not argue as to why the questioning was relevant. The trial court sustained the prosecutor's objection. Allen had no opportunity to participate at these bench conferences, and it cannot be said that Hudson argued on his behalf.
More alarmingly, on at least two occasions, Hudson argued against Allen's interests. On the morning of trial, Allen asked for a continuance because he had not received a copy of the trial court order granting his motion to represent himself and because he lost his discovery. When Hudson relayed this information to the trial court, she clearly conveyed her exasperation with Allen. She informed the trial court that although Allen did not have the documents with him, she had given him the discovery twice. Hudson was not representing Allen's interests at this bench conference. Rather, her frustration and tone of voice made clear that she did not consider a continuance appropriate or necessary.
Hudson also argued against Allen's interests at a bench conference during trial. Allen was cross-examining a witness and sought to introduce evidence through the witness. Hudson approached the bench to relay Allen's request to introduce the evidence. Hudson told the trial court that she tried to explain to Allen that although he could ask the witness about certain information, the evidence could not be introduced. The trial court affirmed Hudson's assessment and denied Allen's request. At this conference, Hudson successfully argued against Allen's interests. So we are not convinced by the Commonwealth's argument that Hudson was representing Allen at the bench conferences.
We also note that the trial judge took upon himself many of the tasks that would be required of Allen's counsel.
In United States v. McDermott,
Whether this is viewed as a violation of Allen's right of self-representation or right to be represented at a critical stage, the error is not susceptible to harmless error analysis. "It is settled that a complete absence of counsel at a critical stage of a criminal proceeding is a per se Sixth Amendment violation warranting reversal of a conviction, a sentence, or both, as applicable, without analysis for prejudice or harmless error."
The trial court's error in Allen's case was of constitutional magnitude and requires reversal. The trial court was faced with the task of creating a plan that would simultaneously protect Allen's right of self-representation and minimize the risk of flight and disruption. The trial court appropriately decided not to impose the extreme sanction of denying outright Allen's right to represent himself. But, unfortunately, the plan devised by the trial court left a gap in Allen's representation at critical stages of the trial — the bench conferences. So we must reverse the convictions.
The jury found Allen guilty of being a PFO 2. A second-degree persistent felony offender "is a person who is more than twenty-one (21) years of age and who stands convicted of a felony after having been convicted of one (1) previous felony."
Allen argues that evidence concerning this judgment was inadmissible for purposes of finding him a PFO 2 because
The opinion of the Court of Appeals regarding Allen's January 2000 conviction reviewed the trial court's decision not to grant an evidentiary hearing on Allen's RCr 11.42 claim of ineffective assistance of counsel. The Court of Appeals reversed the trial court's order denying Allen's motion and remanded to the trial court for an evidentiary hearing. It is undisputed that the hearing on Allen's RCr 11.42 claim never occurred, and the judgment of conviction was never vacated.
In Melson v. Commonwealth,
Sufficient evidence supported Allen's convictions of burglary, criminal mischief, and theft. Allen's PFO 2 conviction was also valid. But Allen's exclusion from bench conferences at trial violated his Sixth Amendment rights. So we reverse the judgment and remand to the trial court for further proceedings.
All sitting. ABRAMSON, KELLER, NOBLE, and VENTERS, JJ., concur. SCOTT, J., dissents by separate opinion in which CUNNINGHAM, J., joins.
I must respectfully dissent from the majority's opinion because I disagree that the trial court's order, requiring the participation of standby counsel at bench conferences on Appellant's behalf, violated his Sixth Amendment rights by leaving him unrepresented at critical stages of the trial. Given Appellant's disrespectful and disruptive conduct, and past criminal record, the order was thoroughly justified.
The Sixth Amendment guarantees criminal defendants the right to self-representation, Faretta v. California, 422 U.S. 806, 834, 95 S.Ct. 2525, 45 L.Ed.2d 562 (1975), so long as the criminal defendant is "able and willing to abide by rules of procedure and courtroom protocol." McKaskle v. Wiggins, 465 U.S. 168, 173, 104 S.Ct. 944, 79 L.Ed.2d 122 (1984). The right to self-representation is "not a ... license not to comply with relevant rules of procedural and substantive law." Faretta, 422 U.S. at 834, 95 S.Ct. 2525. Moreover, a disruptive defendant may have his right to self-representation terminated if he does not comply with courtroom protocol. Id. at 834 n. 46, 95 S.Ct. 2525. "Even at the trial level, therefore, the government's interest in ensuring the integrity and efficiency of the trial at times outweighs the defendant's interest in acting as' his own lawyer." Martinez v. Court of Appeal of Cal., 528 U.S. 152, 162, 120 S.Ct. 684, 145 L.Ed.2d 597 (2000).
In the present case, the balance of the two competing interests tipped heavily in favor of the Commonwealth. And given Appellant's extensive criminal background and past courtroom behavior, the trial judge did not abuse his discretion in ruling that Appellant would not be allowed to approach the bench during sidebar conferences.
In addition to the present case, Appellant faced six additional indictments. By trial, Appellant had already been sentenced to twenty years' imprisonment for escape in the second degree and first degree PFO. The trial judge also had firsthand knowledge of Appellant's "frequent and uninvited interruptions in the court room," having had to personally order Appellant be removed from a pretrial conference for disruptive behavior. Most importantly, the trial judge knew that Appellant was a "flight risk." He had already escaped once from the sheriff's custody in the same courthouse.
Although it was within the trial judge's discretion to completely deny Appellant's request for self-representation, Hummel v. Commonwealth, 306 S.W.3d 48, 53 (Ky. 2010) (citing Faretta, 422 U.S. at 834-35 n. 46, 95 S.Ct. 2525 (1975)), he instead implemented what he believed to be the least intrusive means of preserving Appellant's right to self-representation. The trial judge required only that Appellant remain at the table during bench conferences and that standby counsel keep Appellant apprised of what transpired during those conferences.
In particular, a violation of defendant's Sixth Amendment right to self-representation may only be found if defendant can show that the participation of standby counsel either 1) deprived him of actual control over the case presented to the jury or 2) destroyed the perception of the jury that defendant was representing himself and in control of the case. See McKaskle, 465 U.S. at 178-79, 104 S.Ct. 944. The majority now holds that standby counsel's participation in bench conferences due to the exclusion of the pro se defendant may jeopardize that defendant's control over the case and the perception of defendant's control by the jury. However, it must be pointed out that the exclusion should be viewed "in the context of the trial as a whole." United States v. Mills, 895 F.2d 897,
Appellant's brief does not contend that his exclusion from bench conferences destroyed his control over his case or the jury's perception that he was handling his own case. Rather, Appellant alleges that the trial court infringed on his "right to self-representation and [his] right to have his counsel present during critical portions of the trial."
To support its position that Appellant's Sixth Amendment rights were violated, the majority cites to three cases finding error in the refusal of trial judges to allow a pro se criminal defendant to participate in bench conferences. See United States v. McDermott, 64 F.3d 1448, 1452 (10th Cir. 1995) (finding error where defendant was excluded from bench conferences because he lacked legal knowledge of procedural and evidentiary rules); Oses v. Massachusetts, 961 F.2d 985, 986 (1st Cir.1992) (holding that it was improper to exclude defendant, who was also bound and gagged, from bench conferences without so much as a hearing); Snowden v. State, 672 A.2d 1017, 1018-22 (Del.1996) (finding error where no reason whatsoever was given for defendant's exclusion from sidebar conferences). While I agree with the majority that the cases they cite involved violations of the Sixth Amendment right to self-representation, these cases, however, are distinguishable from the present case because none of them involve a defendant who posed a flight risk or threat to courtroom security.
I find this case more akin to State v. Davenport, 177 N.J. 288, 827 A.2d 1063 (2003), in which the New Jersey Supreme Court examined each of the three cases above as well as Mills, 895 F.2d 897. The Davenport court upheld security measures the trial court imposed that prevented the pro se defendant from leaving the defense table and required standby counsel to represent him at bench conferences. 827 A.2d at 1072-75. Davenport held that the exclusion of a criminal defendant from bench conferences is proper when there are "legitimate security concerns" that are "detailed clearly on the record." Id. at 1075.
The majority attempts to distinguish Davenport by arguing that the defendant in Davenport was more of a security risk than Appellant. In support of this argument, the majority relies on the Davenport defendant's young age, large physical stature, and numerous drug- and weapon-related charges. Comparing Appellant to the Davenport defendant, the majority states, "Allen was arrested and charged with theft offenses; and the record is factually inconclusive regarding Allen's involvement, past or present, in violent activity or any supposed violent disposition." Yet, police testimony at trial indicated that the theft was discovered when officers were called to Appellant's home to handle a domestic dispute in which Appellant had threatened his girlfriend and her son. Further testimony was offered to show that Appellant had specifically threatened to beat his girlfriend's son's brains out with a crowbar.
The majority further attempts to distinguish Appellant from the Davenport defendant by arguing that "Allen was not in possession of a weapon at the time of arrest." Nonetheless, part of the basis for Appellant's PFO conviction was that he was previously convicted of being a felon in possession of a firearm — a fact which the trial judge was aware of when he determined that Appellant would be excluded from bench conferences. Putting aside value judgments on the relative dangerousness of Appellant, evidence of Appellant's
Because I believe that an exclusion from bench conferences must be looked at in the context of the trial and parties as a whole, I disagree with the majority that Appellant's right to be represented at critical stages of the proceeding was violated. The trial court was in the best position to determine how to balance the defendant's Sixth Amendment rights against the integrity of the proceedings and courtroom security concerns.
As I believe the trial judge did not abuse his discretion in ruling that Appellant would be excluded from bench conferences, I would uphold Appellant's convictions. Thus, I respectfully dissent.
CUNNINGHAM, J., joins.