State v. Anderson

• Decision Date: 22 October 2007
• Docket Number: No. 33827.,33827.
• Parties: STATE of Idaho, Plaintiff-Respondent, v. John Cornell ANDERSON, III, Defendant-Appellant.
• Court: Idaho Supreme Court

170 P.3d 886

144 Idaho 743

STATE of Idaho, Plaintiff-Respondent, v. John Cornell ANDERSON, III, Defendant-Appellant.

No. 33827.

Supreme Court of Idaho, Boise, September 2007 Term.

October 22, 2007.

Rude, Jackson & Daugharty, L.L.P., Coeur d'Alene, for appellant. Dan J. Rude argued.

Honorable Lawrence G. Wasden, Attorney General, Boise, for respondent. Ken Jorgensen argued.

JONES, W., Justice.

This is an appeal following John Anderson's criminal conviction for misdemeanor domestic battery and felony harassment of a witness.

Anderson was arrested for shoving his wife several times in the front yard of his girlfriend's residence. Several days after the incident, Anderson left a voicemail for one of the arresting officers. Officer Neal testified that, in the voicemail, Anderson identified himself, commented on the pending domestic battery charge, and stated that he was going to "get me on the stand and let people know I'm gay." The officer saved a recording of the voicemail and reported Anderson's actions to the prosecutor's office.

The two pending charges of domestic battery and harassing a witness were consolidated for trial. Anderson waived his right to counsel and chose to represent himself before the trial and through a jury trial. He was found guilty of both charges and acquired counsel for the sentencing proceeding. Anderson appealed to the Court of Appeals alleging error on the grounds that he failed to knowingly and intelligently waive his right to counsel and that the jury instructions were defective. The Court of Appeals held that he knowingly and intelligently waived his right to counsel and that the issue of jury instructions would not be addressed because he failed to object at the time of trial. Anderson seeks review by this Court.

When considering a case on review from the Court of Appeals, this Court acts as though it is hearing the matter on direct appeal from the trial court; however, this Court gives serious consideration to the decision of the Court of Appeals. State v. Young, 138 Idaho 370, 372, 64 P.3d 296, 298 (2002). Where an alleged violation of constitutional rights is asserted, an appellate court will defer to a trial court's findings of fact when supported by substantial evidence and freely review the lower court's application of facts found to the constitutional requirements. State v. Peightal, 122 Idaho 5, 7, 830 P.2d 516, 518 (1992); Nez Perce County Prosecuting Attorney v. Reese, 142 Idaho 893, 897, 136 P.3d 364, 368 (Ct.App.2006). The propriety of jury instructions is a question of law over which this Court exercises free review. State v. Sheahan, 139 Idaho 267, 281, 77 P.3d 956, 970 (2003). When reviewing jury instructions, this Court must determine whether the instructions, when taken as a whole, fairly and adequately present the issues and state the law. Id.

Appellant-Anderson argues that he validly waived his right to counsel only at the preliminary hearing, rendering waiver deficient under I.C. § 19-857. Idaho Code § 19-857 states that waiver is valid only if the court finds "of record" that the defendant acted with full awareness of his rights and the consequences of waiver. Appellant also argues that Judge Mitchell failed to advise him of the nature of the charges and possible resulting penalties.

In establishing the right to self-representation, the United States Supreme Court stated that defendants need not "have the skill and experience of a lawyer in order competently and intelligently to choose self-representation." Faretta v. California, 422 U.S. 806, 835, 95 S.Ct. 2525, 2541, 45 L.Ed.2d 562, 581 (1975). To waive counsel, defendant must "knowingly and intelligently forgo" the benefits of counsel and "should be made aware of the dangers and disadvantages of self-representation, so that the record will establish that he knows what he is doing and his choice is made with eyes open." Id. (internal quotations omitted). Idaho also requires that waiver be effected voluntarily. State v. Dalrymple, 144 Idaho 628, 167 P.3d 765 (2007), State v. Lovelace, 140 Idaho 53, 64, 90 P.3d 278, 289 (2003). Additionally, Idaho mandates that the defendant "be aware of the nature of the charges filed against him and the possible penalties flowing from those charges, as well as the dangers and disadvantages of self-representation." State v. Lovelace, 140 Idaho 53, 64, 90 P.3d 278, 289 (2003). The district court must be satisfied that the defendant "understood the inherent risks involved in waiving the right to counsel." Dalrymple.

In assessing the sufficiency of a defendant's waiver of counsel, the defendant's technical legal knowledge is not relevant to whether he knowingly exercised his right to defend himself pro se. Faretta, 422 U.S. 806, 836, 95 S.Ct. 2525, 2541, 45 L.Ed.2d 562, 582. Instead, the court is to consider the "totality of the circumstances" in determining the validity of a defendant's waiver of counsel. State v. Lovelace, 140 Idaho 53, 64, 90 P.3d 278, 289. Specifically, I.C. § 19-857 states that the court "shall consider such factors as the person's age, education, and familiarity with the English language and the complexity of the crime involved."

Idaho Code § 19-857 also states that waiver is possible "if the court concerned, at the time of or after waiver, finds of record that he has acted with full awareness of his rights and of the consequences of a waiver and if the waiver is otherwise according to law." The particular moment of the waiver is not the only consideration rather, the record as a whole is considered. Dalrymple. Finally, once waiver is made before the court, it "carries forward through all further proceedings in that case unless . . . there are circumstances which suggest that the waiver was limited to a particular stage of the proceedings." State v. Lovelace, 140 Idaho 53, 65, 90 P.3d 278, 290.

At Anderson's arraignment proceedings on April 8, 2005, Anderson and Judge Mitchell satisfied the constitutional, case law, and statutory requirements for effective waiver of counsel. Judge Mitchell verified that Anderson's familiarity with English, his age, education, and the complexity of the crime permitted Anderson to waive his right to counsel. In addition, Judge Mitchell provided Anderson ample warnings about the dangers of proceeding pro se.

Judge Mitchell verified the following:

1) Anderson was a high school graduate

2) He has no problem reading, writing, or understanding English

3) He was not under the influence of alcohol or other drugs

4) The maximum penalty for the felony witness harassment was 5 years of confinement in the state penitentiary, with a $50,000 fine

5) The maximum penalty for the misdemeanor domestic battery charge was 6 months of confinement in the county jail, along with a $1000 fine

Further, Judge Mitchell informed Anderson that "in deciding whether or not it's a good idea to plead guilty to any criminal offense it's always a good idea to have the advice of counsel or an attorney." He then explained that attorneys are familiar with the relevant statutes, the rules of procedure, and the rules of evidence. Judge Mitchell informed Anderson that he would be held to the same standard to which a defense attorney would be held regarding knowledge of the rules of procedure, the rules of evidence, all the rules of law, and the relevant statutes. Anderson confirmed that he understood the standard to which he was to be held.

The foregoing cautionary explanation by Judge Mitchell and confirmation of understanding by Anderson yield the conclusion that Anderson effected a valid waiver of counsel. In addition, Lovelace commands that this waiver "carry forward" to all other proceedings, because nothing indicated that the waiver was limited to the April 8 proceedings. Furthermore, at the June 2, 2005 pretrial conference, Judge Mitchell reiterated his concern regarding Anderson's choice to represent himself. Judge Mitchell also stated that he was "happy to have [Anderson] take some time and apply for the public defender if [he thought that he] might qualify for that service." Four days later, Judge Mitchell again reminded Anderson of his right to an attorney, and again offered to postpone the trial and appoint an attorney if Anderson so requested. However, Anderson declined each of Judge Mitchell's offers.

Contrary to Appellant's argument, it is inconsequential whether Judge Mitchell failed to find explicitly that Anderson validly waived counsel. Judge Mitchell implicitly found that counsel was validly waived, as he deliberately extracted from Anderson the necessary information to conclude that the waiver was valid, and then allowed Anderson to proceed pro se. We can infer the judge's finding from his conduct, since it is exceedingly unlikely that the judge would ask the questions relevant to determining whether waiver was valid and then allow the proceedings to continue, unless the judge had in fact found that defendant's waiver was effective. In this case, to require an explicit finding of waiver would be to place form above substance. Regardless, even if Judge Mitchell erred by failing to state explicitly that he found that Anderson had waived his right to counsel, the record clearly establishes that Anderson had effectively waived his right to counsel. Any error therefore was harmless.

Appellant next asserts that the trial court's jury instructions No. 13 and No. 14d were in error. Specifically, Appellant claims that (1) instruction No. 14d improperly defined "willfully," and (2) instruction No. 13 omitted an essential element within I.C. § 18-2604(3), failing to require the State to prove that Anderson intended to prevent a witness from testifying "freely, fully and truthfully." The State argues that the district court did not commit error, and that if it did, Idaho Criminal Rule 30(b) precludes review because Anderson failed to object to it.

In response, Appellant contends that the error was fundamental, therefore...