State v. Watson
| Citation | 2006 ME 80,900 A.2d 702 |
| Parties | STATE of Maine v. Hank WATSON. and State of Maine v. Jonathan Blumberg. |
| Decision Date | 06 July 2006 |
| Court | Supreme Judicial Court of Maine (US) |
R. Christopher Almy, District Attorney, C. Daniel Wood, Asst. Dist. Attorney (orally), Bangor, Evert N. Fowle, District Attorney, Alan Kelley, Deputy Dist. Atty. (orally), James G. Mitchell, Asst. Dist. Atty., Skowhegan, G. Steven Rowe, Attorney General, William R. Stokes, Asst. Atty. Gen. (orally), Augusta, (as amicus curiae), for State.
Charles E. Gilbert III, Esq. (orally), Gilbert & Greif, P.A., Bangor, Robert H. Conkling, Esq. (orally), Wright & Mills, P.A., Skowhegan, for Maine Ass'n of Criminal Defense Lawyers (amicus curiae).
Gail M. Latouf, Esq., Westbrook, John D. Pelletier, Esq. (orally), Goodspeed & O'Donnell, Augusta, for Defendants.
Panel: SAUFLEY, C.J., and CLIFFORD, DANA, ALEXANDER, CALKINS, LEVY, and SILVER, JJ.
[¶ 1] These criminal appeals call upon us to consider the measures required to assure valid waiver of the right to counsel guaranteed by the Sixth Amendment to the United States Constitution and article I, section 6 of the Maine Constitution when a criminal defendant proceeds to trial without counsel. We consolidated these cases for briefing and argument together with State v. Gach, 2006 ME 82, ___ A.2d ___, but they arise from unrelated prosecutions and different procedural paths. We conclude that Hank Watson's waiver of counsel met constitutional requirements and affirm his conviction, but that Jonathan Blumberg's waiver of counsel did not meet constitutional requirements and thus we vacate his conviction.
[¶ 2] Hank Watson appeals from a judgment of conviction entered in the Superior Court (Penobscot County, Hjelm, J.) after a jury found him guilty of operating under the influence (Class D), 29-A M.R.S.A. § 2411(1) (1996).1 Jonathan Blumberg appeals from a judgment of conviction entered in the Superior Court (Somerset County, Jabar, J.) after a jury found him guilty of terrorizing (Class D), 17-A M.R.S. § 210(1)(A) (2005), and disorderly conduct (Class E), 17-A M.R.S. § 501(2) (2005). Both defendants were unrepresented at the time of their convictions. Each asserts that the trial court erred by explicitly or implicitly finding that he had effectively waived the right to counsel.
[¶ 3] Hank Watson was charged with two civil violations and operating under the influence in June 2003. He was arraigned in the District Court (Bangor, LaVerdiere, J.), at which time he indicated that he had heard and understood the group instruction, and understood the charges as explained by the court. With respect to the OUI charge, Watson stated: "I understand the charge, your honor, and I will be seeking counsel." The court separately asked Watson whether "[y]ou are going to be seeking your own counsel?" Watson responded, "Yes, sir," to which the court responded, "I'll make a note to that effect." The court then advised Watson of his right to a jury trial, and Watson's obligation to file the jury trial request form within twenty-one days if he wished to have a jury trial. Watson responded, and that "I'll be ... contacting my counsel within a week."
[¶ 4] The case was transferred to the Superior Court for a jury trial, and Watson appeared in court without counsel for pre-trial proceedings and jury selection. When asked by the court whether he was still representing himself, Watson responded, The record does not reflect to whom Watson was referring. After a break, the court returned to Watson's case as part of its management of the trial list, and asked Watson, "Did you say that you could have an attorney come in to try the case?" Watson replied, "Well, I was considering the possibility of doing that." The discussion then turned to the availability of certain witnesses, and then, after another break, the court proceeded with jury selection.
[¶ 5] On the day of trial, two days after jury selection, Watson again appeared in court without counsel. The court noted that Watson was "representing his own interests." This was followed by a lengthy discussion between the court, Watson, and the prosecutor, regarding the State's decision that it would not seek to introduce evidence regarding the results of Watson's blood-alcohol test at trial, but would instead proceed solely on the allegation in the complaint that Watson was under the influence. The colloquy also addressed whether evidence of Watson's prior OUI conviction, as alleged in the complaint, would be considered by the jury separate from the evidence associated with the new offense alleged in the complaint. During the discussion, Watson told the court that he had read the OUI statute, and he demonstrated an understanding of the significance of his prior conviction to the pending charge and, more generally, the substance of the pending charge.
[¶ 6] The court next asked Watson if he was familiar with the trial process and if he had been through a trial before. Watson said, "Yes, to some degree." The court continued, "And I take it you've chosen to represent yourself in this case." Watson replied, The court replied, "Well, if that situation arises, you can let me know and I'll be as accommodating as I can, keeping in mind the jury's situation as well." There was no further discussion of stand-by counsel.
[¶ 7] The court then explained the trial process to Watson. This included an explanation of the opportunity to offer opening and closing statements, the presumption of innocence, the calling and examination of witnesses, the presentation of evidence, the making of objections, the defendant's right to testify or not, jury instructions, and the verdict. The court then asked Watson if he had any questions regarding the trial process or any other issues before the trial began, to which Watson replied, "No, sir." The jury found Watson guilty and the court sentenced Watson, who had a prior OUI conviction, to ten days in jail, a $600 fine, and an eighteen-month suspension of his right to operate a motor vehicle.
[¶ 8] Jonathan Blumberg was arrested in April 2003 after he allegedly made a threatening phone call to an attorney and was charged with terrorizing and disorderly conduct. At his initial appearance in District Court (Skowhegan, Stitham, J.), the State indicated that it intended to seek jail time. When asked if he wished the court to determine if he qualified for court-appointed counsel, Blumberg stated:
Blumberg: Um, I just got a copy of the affidavit on Friday for that.
Court: Okay. Are you [going to] be asking the Court for court-appointed counsel?
Blumberg: I may ask for stand-by counsel. At this point your honor, I'm representing myself.
[¶ 9] That day, Blumberg received the assistance of court-appointed counsel for purposes of the initial appearance only. After Blumberg spoke with the attorney, he entered a plea of not guilty. The court again asked him if he intended to ask for court-appointed counsel. Blumberg stated,
[¶ 10] Two days later, Blumberg filed his motion for appointment of counsel and the accompanying affidavit. In the motion, Blumberg wrote that he intended to proceed pro se but was asking for appointment of stand-by counsel and associated expenses. In the affidavit, under "other assets," Blumberg stated that he lived in a house with an assessed value of $62,500. He elaborated that the house was "in the estate of [his] late mother," and that he was the executor. The District Court (Clapp, J.) declined to appoint counsel, finding that Blumberg was not indigent because he "appear[ed] to have access to equity to real estate."
[¶ 11] Thereafter, Blumberg filed several motions, including a demand for a jury trial, and the case was transferred to Superior Court. At a hearing on the State's motion to amend the complaint, the trial court (Somerset County, Jabar, J.), asked Blumberg if he intended to proceed without counsel. Blumberg informed the court that his request for appointment of counsel had been denied because the District Court determined that he had equity in real estate. He requested that the Superior Court review that decision and informed the court that Blumberg further explained that he was one of two heirs. After discussing the status of the estate with Blumberg, the trial court responded:
Court: [Y]ou were turned down, because you have an asset that's worth half of this house, which is at least $30,000. In reviewing it I'm not going to change the decision that was made initially regarding your appointment of counsel.
Blumberg: Okay.
Court: I cannot find you indigent. So are you going to be proceeding pro se? You're not going to retain an attorney; is that correct?
Blumberg: I don't have a choice.
Court: You have a choice. You can retain one if you want to. You're not retaining an attorney? You're going to represent yourself?
Blumberg: Yes.
[¶ 12] There was no additional discussion between the court and Blumberg regarding Blumberg's decision to proceed to trial without an attorney. A second hearing was held two weeks later on a variety of motions filed by Blumberg. At neither motion hearing did the court address with Blumberg the risks of...
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