Thomas v. Carroll, 06-2282.
| Decision Date | 22 September 2009 |
| Docket Number | No. 06-2282.,06-2282. |
| Citation | 581 F.3d 118 |
| Parties | Andre R. THOMAS, Appellant v. Warden Thomas L. CARROLL; Attorney General of the State of Delaware. |
| Court | U.S. Court of Appeals — Third Circuit |
Peter A. Levin, (Argued), Philadelphia, PA, for Appellant.
Loren C. Meyers, Gregory E. Smith, Paul R. Wallace, (Argued), Department of Justice, Wilmington, DE, for Appellee.
Before: SLOVITER, HARDIMAN, Circuit Judges, and POLLAK*, District Judge.
This appeal presents a factual scenario unique in our experience and a legal question for which we have found no precise precedent.
While Appellant Andre R. Thomas was serving a thirty-five year sentence in a Delaware penal institution, he punched a corrections officer and was subsequently indicted under Delaware law for assault. Prior to trial, Thomas voluntarily and knowingly waived his right to counsel and was permitted to proceed pro se. However, after the Delaware trial judge (Superior Court) declined to order the production of all the witnesses and documents that Thomas requested, Thomas refused to participate in the trial. The case proceeded to jury selection and then trial without anyone representing the defense. On several occasions, the trial judge provided Thomas with the opportunity to return to, and participate in, the proceedings, but he declined to do so. Ultimately, he was convicted by a jury, sentenced to eight years additional imprisonment, and on direct appeal, the Delaware Supreme Court affirmed.
According to Thomas, his Sixth Amendment rights were violated because the Superior Court conducted the trial without anyone present for the defense. If we were writing on a blank slate, we might agree with Thomas that a trial under those circumstances is inconsistent with the fair trial requirement of the Sixth Amendment. However, this case comes to us on Thomas' petition for a writ of habeas corpus and our inquiry is limited under the Antiterrorism and Effective Death Penalty Act (AEDPA), 28 U.S.C. § 2254(d). Here, the Delaware courts' conclusion that Thomas' Sixth Amendment rights were not violated was not contrary to, or an unreasonable application of, clearly established federal law as determined by the United States Supreme Court. Therefore, we will affirm the District Court's denial of his petition.
In 2000, Thomas was convicted of reckless endangerment and related offenses in Delaware state court and sentenced to thirty-five years imprisonment. Pursuant to that conviction and sentence, Thomas was held at the Delaware Correctional Center ("DCC") in New Castle County, Delaware. On July 25, 2002, as Thomas and approximately forty other inmates were exiting the DCC's dining hall, Thomas struck a correctional officer, Michael Moran, on the back of his head. When Moran turned around to determine who had struck him, Thomas hit Moran in the side of the head two or three more times with a closed fist.
Thomas was subsequently indicted by a grand jury in Delaware state court with attempted assault in a detention facility with intent to cause serious physical injury in violation of Del.Code Ann. tit. 11, § 1254(b).1 An assistant public defender was appointed to represent Thomas, but after Thomas twice refused his assistance and stated that he wished to represent himself, the public defender entered a motion to withdraw as counsel. The Delaware Superior Court granted that motion to withdraw and appointed new counsel. At that time, the Superior Court also denied Thomas' motion that his new counsel serve only as standby counsel.
On December 9, 2002, the Superior Court held a final pretrial hearing. During that proceeding, Thomas expressed his desire to represent himself. The Superior Court informed Thomas of the risks of self-representation, including that Thomas faced a minimum sentence of eight years imprisonment as a habitual offender if convicted and a maximum of life imprisonment. The Superior Court also reminded Thomas that he proceeded pro se in his previous criminal trial and was convicted and sentenced to thirty-five years imprisonment.
Thomas subsequently made a formal motion to proceed pro se. Although the State opposed Thomas' motion, the Superior Court granted it on December 23, 2002. We note that Thomas does not allege that his waiver of his right to counsel was deficient in any way.
On January 20, 2003, Thomas sent a letter to the Court requesting standby counsel and information regarding the means for subpoenaing witnesses and documents. This letter was docketed as a request for appointment of standby counsel.
On April 8, 2003, the case proceeded to trial. Prior to jury selection, the Superior Court noted that Thomas had requested standby counsel and asked whether he recalled that motion. Thomas stated that he did not recall the motion, and upon further questioning by the Court, he stated that he was prepared to proceed pro se.
Thomas then moved for the production of thirteen inmates and nine correctional personnel as witnesses as well as certain medical and personnel records.2 Thomas had taken no action to secure the attendance of these witnesses or production of these materials prior to the trial date. During a lengthy colloquy, the Court explained that it was not obligated to assist him in obtaining the attendance of witnesses or production of documents. The Court also questioned Thomas regarding the proposed testimony of the thirteen inmates, and Thomas stated that all of the requested inmates were present during the alleged assault and, presumably, would testify that he acted in self-defense. The Court then stated that it would arrange to have two or three inmates brought to the trial to testify on Thomas' behalf, but that it would not order production of all thirteen inmates because their testimony would be cumulative. The Court asked Thomas to select three inmate witnesses who would be produced the next day but Thomas replied that this proposal was unacceptable to him and that App. at 11.
After further discussion, the Court asked Thomas if he still wanted to represent himself. Thomas replied: "Certainly." App. at 12. Shortly thereafter, Thomas asked whether the Court could "tell them don't [sic] bring me back up here." App. at 12. The Court stated that it could do so, and Thomas replied: App. at 12.
This exchange did not end the colloquy between Thomas and the Superior Court, and the Court continued to try to reach an accommodation with Thomas. As to the nine correctional personnel, the Court stated that it would order the attendance of a commissary officer who Thomas alleged was present at the incident. However, because Thomas did not even allege that the other personnel had personal knowledge regarding the assault, the Court refused to order their attendance. The Court also ruled that it would not order certain medical personnel to attend because Thomas offered their testimony only to establish that he was injured during the alleged assault and such injuries could be established from his medical records (which it ordered the State to produce).
At the end of the colloquy, after the Superior Court again repeated its proposed resolution of Thomas' demands regarding production of witnesses and documents, Thomas stated that he was "not going to be a part of that." App. at 19. The Court then asked Thomas whether he would participate in jury selection, and he stated that "I'm not going to participate in having my basic rights taken away from me." App. at 19. The Court concluded ... [B]ased on your comments, I'm taking that you don't want to participate in [jury selection] if I'm not going to do the other [things] that you're asking for. So we'll pick a jury. And when we're done picking the jury—and I apologize to you now, but I'm going to have to bring you up periodically and say, Mr. Thomas ... is it still your decision not to participate. ...
App. at 19. Thomas was then escorted out of the courtroom and taken to a holding cell in the courthouse. Again, we note that Thomas concedes that he knowingly and voluntarily waived his right to be present.
The jury was then selected outside of Thomas' presence. The judge informed the potential jurors of Thomas' decision not to participate, instructed them that they should draw no adverse inferences from that decision, and excused any juror who indicated that they would not be able to follow that instruction. Several jurors accepted the invitation, and left. After jury selection, the Court requested that Thomas be brought back into the courtroom (outside the presence of the jury), but Thomas resisted and the Court declined to use force to secure his presence.
After the prosecution gave its opening statement, the Court (outside the presence of the jury) again requested that Thomas be brought into the courtroom to determine whether he still desired not to participate in his trial. Thomas complied with the request to enter the courtroom, but he continued to refuse to participate. Thomas was again escorted out of the courtroom and the trial was conducted without him or anyone else present for the defense. The jury found Thomas guilty of assault in a detention facility. After the jury was excused, Thomas was brought back into the courtroom and informed of the verdict.
The Superior Court subsequently held a sentencing hearing. Thomas was present for, and participated in, that proceeding and again acted pro se. The Superior Court determined that Thomas qualified as a habitual offender under Delaware law and sentenced Thomas to the mandatory minimum...
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