COURT OF APPEALS OF VIRGINIA
Present: Chief Judge Fitzpatrick, Judges Benton, Willis, Elder,
Bray, Annunziata, Bumgardner, Frank, Humphreys,
Clements and Agee
Argued at Richmond, Virginia
ANTWOIN RENARD McNAIR
OPINION BY
v. Record No. 1106-00-1 JUDGE ROBERT J. HUMPHREYS
MARCH 19, 2002
COMMONWEALTH OF VIRGINIA
UPON A REHEARING EN BANC
FROM THE CIRCUIT COURT OF THE CITY OF CHESAPEAKE
Frederick H. Creekmore, Judge
Randolph D. Stowe for appellant.
Donald E. Jeffrey, III, Assistant Attorney
General (Randolph A. Beales, Attorney
General, on brief), for appellee.
Antwoin Renard McNair contends the trial court violated his
rights under the Sixth Amendment by requiring him to proceed to
trial without counsel. A panel of this Court, with one judge
dissenting, held that appellant waived his right to counsel.
See McNair v. Commonwealth, 35 Va. App. 587, 546 S.E.2d 756
(2001). We stayed the mandate of that decision and granted
rehearing en banc. For the reasons that follow, we reverse the
convictions and remand for a new trial.
I. Background
A grand jury indicted appellant on felony charges of
malicious wounding and abduction of his wife. A warrant charged
appellant with the misdemeanor of brandishing a firearm. On
October 29, 1999, prior to the commencement of trial,
appellant's court-appointed attorney informed the trial judge
that appellant wanted a continuance. After appellant explained
his reasons for the request, the trial judge denied the
continuance. During the arraignment, appellant's attorney
informed the judge that appellant wanted a jury trial. The
judge granted that request and set the trial to commence
December 6, 1999.
Several weeks prior to the December trial, appellant's
court-appointed attorney filed a motion to withdraw, alleging
"an irretrievable breakdown in communication." The trial judge
granted the motion and appointed another attorney to represent
appellant. She was appellant's fifth attorney during the course
of the proceedings. The trial judge admonished: "I will
appoint your last lawyer, Mr. McNair. Do you understand that
this is your last lawyer[?]"
The judge set a new trial date for January 25, 2000. After
conferring with appellant, his new attorney filed motions to
compel discovery, for a subpoena duces tecum, and to suppress
evidence. The trial was again continued and ultimately held on
March 6, 2000. When the trial court called appellant's case on
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that date and asked if the parties were ready to proceed,
appellant's court-appointed attorney said she was ready for
trial. She indicated, however, that appellant wanted to address
the court "prior to starting the trial." Appellant then spoke
extensively about the absence of information he believed was
necessary to be produced for his defense "so that [he] could get
a fair trial," and about his objection to the prosecutor using
his thirteen-year-old daughter as a witness.
Reiterating these issues during the ensuing re-arraignment,
appellant indicated that "information for [his] defense is not
here" and that he had not had sufficient time to discuss his
defenses with his attorney. Appellant's attorney disagreed and
said that she had advised appellant, that he did not want to
accept her advice, and that she had "jumped through all of the
hoops" appellant imposed upon her. She stated: "At this point,
I have to protect myself, . . . I'm going to make a motion to
withdraw as counsel." The prosecutor immediately asked "if
[appellant] could proceed pro se and leave [appellant's
attorney] as advice counsel."
When the judge asked for appellant's response to these
matters, appellant again indicated he needed other information
to prove his wife was "capable of lying under oath." The trial
judge then ascertained from appellant's appointed attorney that
she had discussed the case with appellant, that she had advised
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him of the elements of the offense the prosecutor had to prove,
and that she had consulted with appellant on numerous occasions.
The judge granted appellant's attorney's motion to withdraw, but
asked her "to standby because he has some questions that he
[will] need to ask your advice on and we'll go ahead and proceed
pro se based on the evidence that I have before me." The trial
court stated to McNair:
[s]he's your fifth attorney, and we have to
get the matter heard, and we can't keep
going through different attorneys, and it
sounds like to me that she's made a
reasonable effort to provide you with a
defense. If you have rejected that, then we
have to get the case pro se.
Proceeding with the arraignment, the judge asked the
following:
[JUDGE]: The Court has heard what you said.
That matter is on the record. At this
point, I'm not going to deny [your daughter]
an opportunity to testify if the
Commonwealth presents her as a witness.
Have you entered your plea of not guilty
freely and voluntarily?
[APPELLANT]: Yes.
[JUDGE]: And are you ready for trial today?
[APPELLANT]: Without an attorney?
[JUDGE]: Yes, sir.
[APPELLANT]: No, I'm not.
[JUDGE]: Have you determined whether or not
you wish to have a trial by jury or a trial
by a judge?
[APPELLANT]: Trial by judge.
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[JUDGE]: And you waive your right to a
trial by jury?
[APPELLANT]: Yes.
[JUDGE]: Does the Commonwealth waive?
[PROSECUTOR]: The Commonwealth waives trial
by jury.
[JUDGE]: Do you understand the questions
that I've asked you?
[APPELLANT]: Yes, I do.
[JUDGE]: All right, sir. We'll go ahead,
and I'll hear the case, and we'll go ahead
and proceed.
During the trial, appellant represented himself while his
former court-appointed attorney sat in the back of the
courtroom. At the conclusion of the evidence, the trial judge
convicted appellant of malicious wounding in violation of Code
§ 18.2-51, abduction in violation of Code § 18.2-47, and
brandishing a firearm in violation of Code § 18.2-282. Although
appellant continued to represent himself at the sentencing
hearing, the trial judge appointed counsel to represent
appellant for purposes of this appeal.
II. Analysis
"In all criminal prosecutions, the accused shall enjoy the
right . . . to have the Assistance of Counsel for his
defen[s]e." U.S. Const. amend. VI. As an essential means of
securing due process, this right to the assistance of counsel
"is a fundamental right of criminal defendants; it assures the
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fairness, and thus the legitimacy, of our adversary process."
Kimmelman v. Morrison, 477 U.S. 365, 374 (1986). Accordingly,
the Sixth Amendment guarantees a defendant a fair opportunity to
secure counsel of his own choice to represent him at trial on
criminal charges, Powell v. Alabama, 287 U.S. 45, 53 (1932), or
if a defendant is indigent, representation is made available to
him by the court. See Gideon v. Wainwright, 372 U.S. 335 (1963);
see also Code § 19.2-157. 1 The Sixth Amendment right to counsel
also "implicitly embodies a 'correlative right to dispense with a
lawyer's help.'" Faretta v. California, 422 U.S. 806, 814 (1975)
(quoting Adams v. United States ex rel. McCann, 317 U.S. 269, 279
(1942)). To be valid, any such waiver must be the voluntary act
of the defendant and must constitute a knowing and intelligent
abandonment of a known constitutional right or privilege.
Edwards v. Arizona, 451 U.S. 477, 482 (1981).
Here, the record indisputably established that appellant
began the trial with a court-appointed attorney and that he did
1
Code § 19.2-157 provides as follows:
Except as may otherwise be provided in
§§ 16.1-266 through 16.1-268, whenever a
person charged with a criminal offense the
penalty for which may be death or
confinement in the state correctional
facility or jail, including charges for
revocation of suspension of imposition or
execution of sentence or probation, appears
before any court without being represented
by counsel, the court shall inform him of
his right to counsel. The accused shall be
allowed a reasonable opportunity to employ
counsel or, if appropriate, the statement of
indigence provided for in § 19.2-159 may be
executed.
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not ask the judge to discharge his attorney. Further, he
clearly did not ask to be allowed to represent himself. Indeed,
when the judge asked if he was ready for trial, appellant's
responses, "Without an attorney?" and then, "No, I'm not," were
clear assertions that he wanted an attorney to represent him.
He was therefore constitutionally entitled to the assistance of
an attorney at his trial. See United States v. Phifer, 511 F.2d
960 (4th Cir. 1975).
Alternatively, the Commonwealth implies that although
appellant may not have expressed a choice to proceed pro se, in
effect, he constructively waived his right to counsel. We
disagree. Indeed, we reject the suggestion that a waiver of the
right to counsel can be less than knowing and the product of an
intelligent decision. Nevertheless, we are mindful that the
Sixth Amendment right to counsel, while fundamental, is not a
right without limitation. Specifically, it is not a right
subject to endless abuse by a defendant. Instead, the right is
qualified in its exercise and merely affords a defendant an
absolute right to a "fair opportunity" to representation by
counsel. Sampley v. Attorney General of North Carolina, 786 F.2d
610, 613 (4th Cir. 1986). This limitation derives from the
important and valid state interest in proceeding with
prosecutions in an orderly and expeditious manner, taking into
account the practical difficulties of "'assembling the witnesses,
lawyers, and jurors at the same place at the same time,'" as well
as the concerns and interests of the victims, witnesses and
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general public, and the appropriate use of judicial resources.
Id. (quoting Morris v. Slappy, 461 U.S. 1, 11 (1983)); see also
Morris, 461 U.S. at 14-15; Green v. Commonwealth, 211 Va. 727,
728, 180 S.E.2d 531, 532 (1971).
Thus, although a valid waiver of a defendant's fundamental
right to counsel must be voluntary and constitute a knowing,
intelligent abandonment of the right, Edwards, 451 U.S. at 482,
it
"does not grant [a] defendant license to
play a cat and mouse game with the court, or
by ruse or stratagem fraudulently seek to
have the trial judge placed in a position
where, in moving along the business of the
court, the judge appears to be arbitrarily
depriving the defendant of counsel."
United States v. Hughes, 191 F.3d 1317, 1323 (10th Cir. 1999)
(quoting United States v. Allen, 895 F.2d 1577, 1578 (10th Cir.
1990)).
Accordingly, the question of whether a fair opportunity to
secure representation has been accorded to a defendant becomes a
case specific inquiry. For example, the Fourth Circuit has found
that, once provided with a fair opportunity to secure counsel,
the conduct of a defendant can constitute a "constructive
discharge" of counsel. See United States v. Attar, 38 F.3d 727,
735 (4th Cir. 1994) ("[A] court might properly find that the
belated creation by a defendant of an inextricable ethical
predicament for his counsel constitutes . . . a constructive
discharge of counsel."). Further, it is clear that certain
dilatory conduct on the part of a defendant may also be properly
viewed as an effective de facto waiver of Sixth Amendment
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protections. See Sampley, 786 F.2d at 613 ("[A] defendant has no
constitutional right to dictate the time, if ever, at which he is
willing to be tried by simply showing up without counsel, or with
allegedly unsatisfactory counsel, whenever his case is called for
trial, or by objecting that counsel then retained or assigned is
not presently 'counsel of his choice.'" (citing Ungar v.
Sarafite, 376 U.S. 575 (1964); Morris, 461 U.S. at 103)); see
also Lemke v. Commonwealth, 218 Va. 870, 874-75, 241 S.E.2d 789,
791-92 (1978); Watkins v. Commonwealth, 174 Va. 518, 523, 6
S.E.2d 670, 672 (1940); Bolden v. Commonwealth, 11 Va. App. 187,
190-91, 397 S.E.2d 534, 536-37 (1990).
It logically follows that such conduct may operate as a
constructive discharge of counsel whether retained or appointed,
or a de facto waiver of the right to be represented by such
counsel. In either case, a trial court is not bound by
constitutional mandate to appoint another attorney, or provide
the defendant with an additional opportunity to secure counsel.
Instead, courts are accorded wide discretion in deciding whether
to grant continuances to enable a defendant to secure new
counsel. See Sampley, 786 F.2d at 613 ("[t]he constitutional
right is probably best stated as a limit on trial court
discretion: that discretion only exceeds its constitutional
bounds when it is exercised to deny a continuance on the basis of
an 'unreasoning and arbitrary "insistence upon expeditiousness in
the face of a justifiable request for delay"'" (quoting Ungar,
376 U.S. at 589)).
Nevertheless, contrary to the argument of the Commonwealth,
the record here does not demonstrate that appellant's conduct
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constituted a constructive discharge of counsel or a de facto
waiver of counsel. Instead, the record reflects only relief of
counsel by the trial court following an unsupported request to
withdraw. We hold that in order to establish a constructive
discharge or a de facto waiver of counsel by conduct, the record
should demonstrate adequate procedural safeguards. Specifically,
the record should reflect adherence to the statutory guidelines
set forth in Code § 19.2-157 et seq., governing the right to
counsel.
In this case, the trial court did not set forth the reasons
for its determination that McNair waived his right to counsel.
While a failure to explicitly address the basis for its
conclusion that defendant constructively discharged counsel, or
de facto waived the right to counsel, would not per se constitute
reversible error, the better practice would be to produce a
record which reflects that (1) the defendant placed his counsel
in a position that precluded effective representation and thereby
constructively discharged his counsel or (2) through his
obstructionist behavior, dilatory conduct, or bad faith, the
defendant de facto waived counsel. Such a finding should be
prefaced by the trial court's admonition to the defendant
concerning his right to counsel, the perils of pro se
representation, as well as an appropriate explanation of the
charges and punishment at issue. Additionally, the trial court's
finding should include a specific recitation of how the
defendant's conduct shows an unequivocal intent to relinquish or
abandon his right to counsel, either as a constructive discharge
of counsel or a de facto waiver of counsel. See United States v.
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Gallop, 838 F.2d 105, 109 (4th Cir. 1988); see also People v.
Arguello, 772 P.2d 87, 92-93 (Colo. 1989). 2
As constitutional jurisprudence requires courts to indulge
every reasonable presumption against waiver of counsel, Brewer v.
Williams, 430 U.S. 387, 404 (1977), we do not find this record
sufficient to support the theory that appellant's conduct
constituted a constructive discharge of counsel or a de facto
waiver of representation by counsel. Indeed, the record here
demonstrates no more than that the defendant was "difficult" and
did not believe his attorney was providing him with an adequate
3
defense. Moreover, we do not find that the statements of the
trial court constitute a sufficient factual finding that the
defendant's difficulty with his various attorneys amounted to a
pattern of conduct calculated to prevent his trial from ever
occurring. Neither do we find the record sufficient to establish
appellant's voluntary, knowing and intelligent waiver of his
right to counsel, or a course of conduct evidencing the
constructive discharge of counsel or the de facto waiver of the
right to counsel.
2
We do not suggest, however, that a trial court's failure
to address every procedural guideline listed here would
necessarily have an effect on the efficacy of a defendant's
constructive discharge or de facto waiver in a given case.
However, compliance with these safeguards may be sufficient to
establish a prima facie case of constructive discharge, or a de
facto waiver of counsel. See Bolden, 11 Va. App. at 193, 397
S.E.2d at 537-38.
3
There is no evidence that anyone but the prosecutor wanted
the appellant to represent himself, nor was the trial court
obligated to remove appellant's fifth court-appointed counsel
simply because she was having difficulty with her client and
wanted to "protect" herself.
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This record contains no explanation why the trial judge did
not deny appellant's attorney's motion to withdraw on the day of
trial and order her to continue with her representation of
appellant. Despite her disagreement with appellant about the
evidence he wanted to present, appellant's attorney indicated
she was prepared for trial. Although her interest in
"protect[ing] [her]self" had been served by her motion on the
record, appellant's right to the assistance of an attorney was a
separate matter.
Accordingly, on this record, we find that there was no de
facto waiver of appellant's right to a fair opportunity to be
represented by counsel, nor does the record support a finding
that the defendant's articulated dissatisfaction with the conduct
of his defense constituted a constructive discharge of his
attorney.
Finally, although the Commonwealth notes that appellant
"correctly asserts that he was required to proceed 'pro se,'"
the Commonwealth argues that appellant's counsel, nevertheless,
remained in the courtroom and, therefore, appellant had "standby
counsel." However, the record proves otherwise.
The trial judge, without qualification, granted appellant's
attorney's motion to withdraw. Even if she remained in the back
of the courtroom, she was not authorized or directed to assist
appellant. Her mere presence in the courtroom provided no
benefit to appellant. "Because the right to counsel is so
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fundamental to a fair trial, the Constitution cannot tolerate
trials in which counsel, though present in name, is unable to
assist the defendant to obtain a fair decision on the merits."
Evitts v. Lucy, 469 U.S. 387, 395 (1985). "The guarantee of
counsel 'cannot be satisfied by mere formal appointment.'" Id.
(citation omitted). Therefore, regardless of the presence of
appellant's former attorney in the courtroom, the record
establishes that the trial judge unconditionally granted her
motion to withdraw and required appellant to proceed pro se
without the assistance of his attorney.
"When a State obtains a criminal conviction through . . . a
trial [in which a defendant is denied the assistance of an
attorney], it is the State that unconstitutionally deprives the
defendant of his liberty." Cuyler v. Sullivan, 446 U.S. 335,
343 (1980). Although the Commonwealth has a valid interest in
an orderly and expeditious prosecution, in this case, we hold
that the trial judge exhibited "an unreasoning and arbitrary
'insistence upon expeditiousness . . .' [and, therefore,]
violate[d] [appellant's] right to the assistance of counsel."
Morris, 461 U.S. at 11-12 (citation omitted).
Reversed and remanded.
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Benton, J., with whom Elder, J., joins, concurring.
I concur in the judgment reversing the convictions and
remanding for a new trial. Although I agree that McNair did not
constructively discharge his attorney, I do not join in the
majority opinion because I do not believe that a defendant may
"de facto" or constructively waive his Sixth Amendment right to
counsel. Those concepts were not argued by either party, and
they detract from the usual Sixth Amendment analysis. For the
reasons I previously stated in McNair v. Commonwealth, 35 Va.
App. 587, 596-604, 546 S.E.2d 756, 760-64 (2001) (Benton, J.,
dissenting), I would reverse the convictions and remand for a new
trial.
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Tuesday 31st
July, 2001.
Antwoin Renard McNair, Appellant,
against Record No. 1106-00-1
Circuit Court Nos. CR99-3136 through CR99-3138
Commonwealth of Virginia, Appellee.
Upon a Petition for Rehearing En Banc
Before Chief Judge Fitzpatrick, Judges Benton, Willis, Elder,
Bray, Annunziata, Bumgardner, Frank, Humphreys, Clements and
Agee
On June 21, 2001 came Antwoin Renard McNair, by
court-appointed counsel, and filed a petition praying that the
Court set aside the judgment rendered herein on June 5, 2001,
and grant a rehearing en banc thereof.
On consideration whereof, the petition for rehearing
en banc is granted, the mandate entered herein on June 5, 2001
is stayed pending the decision of the Court en banc, and the
appeal is reinstated on the docket of this Court.
The parties shall file briefs in compliance with Rule
5A:35. The appellant shall attach as an addendum to the opening
brief upon rehearing en banc a copy of the opinion previously
rendered by the Court in this matter. It is further ordered that
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the appellant shall file with the clerk of this Court twelve
additional copies of the appendix previously filed in this case.
A Copy,
Teste:
Cynthia L. McCoy, Clerk
By:
Deputy Clerk
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COURT OF APPEALS OF VIRGINIA
Present: Judges Benton, Bray and Frank
Argued at Chesapeake, Virginia
ANTWOIN RENARD McNAIR
OPINION BY
v. Record No. 1106-00-1 JUDGE ROBERT P. FRANK
JUNE 5, 2001
COMMONWEALTH OF VIRGINIA
FROM THE CIRCUIT COURT OF THE CITY OF CHESAPEAKE
Frederick H. Creekmore, Judge
Randolph D. Stowe for appellant.
(Mark L. Earley, Attorney General; Donald E.
Jeffrey, III, Assistant Attorney General, on
brief), for appellee.
Antwoin Renard McNair (appellant) was convicted in a bench
trial of malicious wounding in violation of Code § 18.2-51,
abduction in violation of Code § 18.2-47.1, and brandishing a
firearm in violation of Code § 18.2-282. On appeal, he contends
the trial court violated his right to counsel by requiring him
to proceed to trial without counsel. Finding no error, we
affirm the convictions.
I. BACKGROUND
On October 29, 1999, appellant's case was called for trial.
Appellant, through his court-appointed counsel, Lesa J. Henderson,
moved for a continuance, citing insufficient time to prepare for
trial. Appellant also personally explained to the court his need
for a continuance, representing that his attorney had not met with
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him an adequate number of times to prepare his defense. Appellant
indicated he needed documents from the Norfolk school system and
the Internal Revenue Service to impeach the victim's credibility.
The Commonwealth objected to a continuance, advising the
trial court that it took six preliminary hearing dates, with three
other lawyers, to conclude the preliminary hearing in the case.
Appellant's motion for a continuance was denied, and
appellant was arraigned. During the trial court's colloquy,
appellant said he did not have enough time to discuss his case
with counsel. He said he had additional witnesses whose names he
did not know and that he was not ready for trial. The trial court
stated, "The Court, however, having looked at the history in this
case and your previous involvement with other lawyers, I'm not
sure you will ever be ready for this case."
Appellant then requested a jury trial. The trial court
admonished appellant that he would be tried by a jury even if he
later waived his right to a jury trial. The trial court stated,
"I'm not going to allow you to use the request for a jury trial as
a means of stalling." The trial court then continued the case to
December 6, 1999. The trial court advised appellant to cooperate
with his attorney and stated that it would not grant further
continuances.
On November 23, 1999, a hearing was conducted on Ms.
Henderson's motion to withdraw as appellant's counsel. After
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representing that she had met with appellant at least four times,
Ms. Henderson stated:
I feel that the communications are
irretrievable, and he does not take my
advice, and I feel I should withdraw . . . .
The problem is he feels that he knows best,
and he will not listen to me. I cannot -- I
cannot even talk to him at this point. It is
totally shut down . . . . [T]here is a
barrier that we have reached.
The trial court granted Ms. Henderson's motion to withdraw
and appointed Sharon Mason to represent appellant. The cases were
continued to January 25, 2000 with a jury.
A suppression hearing was set for January 14, 2000. After
the trial court began to hear the evidence, the court and counsel
agreed to continue the motion and reserve appellant's right to
move for suppression during the course of the trial, if the need
arose.
The trial began on March 3, 2000. Prior to arraignment,
appellant claimed that necessary evidence had not been produced.
The purported evidence included documents which he alleged would
have established that appellant's wife, the alleged victim, had
made false statements on previous occasions in matters not related
to the charges against appellant. Appellant also expressed his
desire to offer proof as to the "manipulation" of his daughter,
who was a witness for the prosecution. Appellant contended that
this evidence, and other information, would prove that his wife
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was a liar. He wanted to use this evidence to show "what type of
person we are dealing with."
The Commonwealth objected to the use of individual acts of
dishonesty to impeach the victim. Appellant's counsel indicated
the school records appellant requested had been subpoenaed and
were in the court's file. Counsel further represented that
appellant's sister was bringing alleged forged tax returns to
court. These documents were the same documents appellant referred
to in his motion to continue on October 29, 1999.
The trial court indicated it would reserve ruling on the
admissibility of the victim's "bad conduct" until the evidence was
offered by appellant.
Appellant was arraigned and pled not guilty. During the
trial court's colloquy, appellant said he had not had enough time
to discuss all possible defenses with his attorney. Appellant
again spoke of the school records and the tax forms.
At that time, Ms. Mason moved to withdraw as counsel. She
explained:
I have done everything from A to Z to
work with Mr. McNair. Quite frankly, I have
advised him up and down and all around. He
doesn't hear the advice. He doesn't want to
hear the advice. I have jumped through all
of the hoops that I don't think should be
jumped through at this point based on the
information that he's telling the court. I'm
walking into it. At this point, I have to
protect myself. At this point, I'm going to
make a motion to withdraw as counsel.
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Again, appellant spoke of his need for the same documents.
The trial court replied, "It's been objected to. It's a written
document. I can't accept it if it's objected to, but you tell me
what you want to tell me in response to my question." Again,
appellant stated, "I'm trying to show you by showing you the
information that I have here that she's capable of lying under
oath . . . ."
The trial court reiterated that if appellant had evidence
that his daughter's testimony was being "manipulated," the court
would hear the evidence and then rule on its admissibility.
At that point, the trial court allowed Ms. Mason to withdraw
as appellant's counsel, stating:
I'm going to do this, Ms. Mason, I'm
going to grant your motion to be released as
counsel. I would ask you to standby because
he has some questions that he would need to
seek your advice on, and we'll go ahead and
proceed pro se based on the evidence that I
have before me. She's your fifth attorney,
and we have to get the matter heard, and we
can't keep going through different
attorneys, and it sounds like to me that
she's made a reasonable effort to provide
you with a defense. If you have rejected
that, then we have to get the case pro se.
After Ms. Mason was allowed to withdraw, the following
exchange took place.
THE COURT: And are you ready for trial
today?
THE DEFENDANT: Without an attorney?
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THE COURT: Yes, sir.
THE DEFENDANT: No, I'm not.
The trial court then proceeded to try appellant without
counsel. The record does not indicate whether Ms. Mason had a
further role in the case. In fact, according to appellant's
trial representation, not contradicted by the prosecution or the
court, Ms. Mason's "standby" role was limited to sitting in the
back of the courtroom, "without advising [appellant] of
anything."
The facts of the actual offenses are not relevant to our
analysis and will not be included in this opinion. Appellant
was convicted of the offenses charged.
II. ANALYSIS
"The right to have the assistance of
counsel is a 'fundamental' right, although
such right is not explicitly set out in the
Constitution of Virginia." Commonwealth v.
Edwards, 235 Va. 499, 505, 370 S.E.2d 296,
298-99 (1988); see also Browning v.
Commonwealth, 19 Va. App. 295, 298, 452
S.E.2d 360, 362 (1994) (finding that the
Sixth Amendment right to counsel is a
fundamental right guaranteed to an accused
by the Bill of Rights of the Virginia
Constitution).
Webb v. Commonwealth, 32 Va. App. 337, 348, 528 S.E.2d 138, 143
(2000).
"'The right to counsel which is guaranteed by the Sixth
Amendment to the Federal Constitution and made applicable to the
States through the Fourteenth Amendment includes the right to
- 22 -
effective assistance of counsel.'" Curo v. Becker, 254 Va. 486,
491, 493 S.E.2d 368, 370 (1997) (quoting Virginia Dep't. of
Corrections v. Clark, 227 Va. 525, 533, 318 S.E.2d 399, 403
(1984)). "However, this right is a qualified right which is
limited by a 'countervailing state interest . . . in proceeding
with prosecutions on an orderly and expeditious basis.'" Bolden
v. Commonwealth, 11 Va. App. 187, 190, 397 S.E.2d 534, 536
(1990) (quoting Paris v. Commonwealth, 9 Va. App. 454, 460, 389
S.E.2d 718, 721-22 (1990)).
In discussing the denial of an
accused's sixth amendment right to counsel,
the Supreme Court has held that "[t]he
burden is on the Commonwealth to prove
waiver of the right to counsel by clear,
precise and unequivocal evidence." Van Sant
v. Commonwealth, 224 Va. 269, 273, 295
S.E.2d 883, 885 (1982) (citing Lemke v.
Commonwealth, 218 Va. 870, 873, 241 S.E.2d
789, 791 (1978)). The Supreme Court of the
United States said in Johnson v. Zerbst, 304
U.S. 458 (1938): "It has been pointed out
that 'courts indulge every reasonable
presumption against waiver' of fundamental
constitutional rights and that we 'do not
presume acquiescence in the loss of
fundamental rights.'" Id. at 464-65
(quoting Ohio Bell Telephone Co. v. Public
Utilities Commission, 301 U.S. 292, 307
(1937)). "Presuming waiver from a silent
record is impermissible. The record must
show that an accused was offered counsel but
intelligently and understandingly rejected
the offer. Anything less is not waiver."
Carnley v. Cochran, 369 U.S. 506, 516
(1962).
Sargent v. Commonwealth, 5 Va. App. 143, 149, 360 S.E.2d 895,
898-99 (1987).
- 23 -
In Bolden, 11 Va. App. 187, 397 S.E.2d 534, the trial court
gave Bolden in excess of one month to retain counsel. During
that time, he was granted two continuances so he could obtain
counsel. Id. at 189-90, 397 S.E.2d at 535-36. The trial court
offered to provide court-appointed counsel, and Bolden refused.
Id. at 190, 397 S.E.2d at 536. The trial court told Bolden that
if he appeared on the trial date without counsel, he would be
tried without counsel. Id. at 189, 397 S.E.2d at 536. Bolden
appeared on the date of trial without counsel and requested
another continuance. Id. at 190, 397 S.E.2d at 536. The trial
court denied the motion, and Bolden was tried without counsel.
Id. We held, "[T]he trial court reasonably concluded that
Bolden's failure to have counsel on [the trial date] was the
result of dilatory conduct on his part and not due to any lack
of opportunity to obtain counsel." Id. at 191, 397 S.E.2d at
537.
We wrote:
Because a defendant's assertion of his
right to counsel may conflict with the
government's right to an orderly and
expeditious prosecution, trial courts are
often faced with the dilemma of choosing
between these competing interests. Under
certain circumstances, the trial court is
entitled to conclude that the defendant has
actually waived his right to counsel and
thus can require that the defendant stand
trial without the assistance of counsel.
However, in these situations, the burden is
on the Commonwealth to prove "by clear,
precise and unequivocal evidence" that the
defendant did actually waive his right to
- 24 -
counsel. Lemke v. Commonwealth, 218 Va.
870, 873, 241 S.E.2d 789, 791 (1978). "'The
record must show that an accused was offered
counsel but intelligently and
understandingly rejected the offer.'"
Sargent v. Commonwealth, 5 Va. App. 143,
149, 360 S.E.2d 895, 899 (1987) (quoting
Carnley v. Cochran, 369 U.S. 506, 516
(1962)).
Id. at 190-91, 397 S.E.2d at 536.
In Lemke, 218 Va. 870, 241 S.E.2d 789, the Supreme Court of
Virginia held that the trial court erred in requiring Lemke to
proceed to trial without counsel. Lemke had appealed her
district court conviction to the circuit court. Id. at 871, 241
S.E.2d at 790. She signed an appeal form indicating that she
was obligated to hire an attorney promptly and that her
"'failure to employ an attorney until just before the trial is
not grounds for a continuance.'" Id. at 871, 241 S.E.2d at 790.
Lemke attempted to hire counsel several days prior to her trial
in the circuit court but was unsuccessful. Id. The trial court
denied her motion for a continuance and tried her without
counsel. Id. The record did not indicate whether the trial
court had determined that Lemke was ineligible for
court-appointed counsel. Id. at 873, 241 S.E.2d at 791. The
Supreme Court wrote, "[H]er actions in twice approaching the
attorney of her choice were not actions characteristic of a
person who did not wish to be represented at trial." Id. at
874, 241 S.E.2d at 791.
- 25 -
In finding the trial court committed error, the Supreme
Court held:
Trial courts are fully justified in
taking stern measures to eliminate the
frustrations of unnecessary or intentional
delays caused by defendants in criminal
appeals from the General District Courts.
Such defendants must not be permitted to
trifle with the courts or impede the
administration of justice . . . .
Nor does the evidence establish that
Lemke acted in bad faith in appearing for
trial without an attorney and moving for a
continuance. Although the representations
made to the court by the attorney whom she
sought to employ were not entirely
consistent with Lemke's own statements, they
showed that she had made an effort during
the week before trial to obtain the services
of counsel. It thus appears that she wished
to be represented by an attorney.
Id. at 874, 241 S.E.2d at 791-92.
In Sampley v. Attorney Gen. of North Carolina, 786 F.2d 610
(4th Cir. 1986), the Fourth Circuit Court of Appeals wrote:
Obviously a defendant has no
constitutional right to dictate the time, if
ever, at which he is willing to be tried by
simply showing up without counsel, or with
allegedly unsatisfactory counsel, whenever
his case is called for trial, see Ungar v.
Sarafite, 376 U.S. 575, 84 S. Ct. 841, 11
L.Ed.2d 921 (1964), or by objecting that
counsel then retained or assigned is not
presently "counsel of his choice," see
Morris v. Slappy, 461 U.S. 1, 103 S. Ct.
1610, 75 L.Ed.2d 610 (1983) . . . .
When a defendant does request a
continuance on the basis, as here, that he
does not have counsel to represent him, the
court requested to grant the continuance
must therefore make a judgment whether this
- 26 -
results from the lack of a fair opportunity
to secure counsel or rather from the
defendant's unjustifiable failure to avail
himself of an opportunity fairly given. In
making this judgment, the court is
necessarily entitled to take into account
the countervailing state interest in
proceeding on schedule.
Id. at 613.
We reject appellant's contention that he was deprived of
his Sixth Amendment right to counsel. At the time of the trial
on March 6, 2000, appellant's case had been pending for eleven
months. The preliminary hearing was set for six different dates
before it was held on September 16, 1999. Appellant had four
attorneys through the preliminary hearing, one retained and
three appointed. The trial date of March 6, 2000 was the third
trial date set in the circuit court. Each of the two attorneys
who withdrew as counsel in the circuit court complained of
appellant's lack of cooperation and failure to heed their
advice. The trial court, upon allowing Lesa Henderson to
withdraw, said, "I'm not sure you will ever be ready for this
case." Upon allowing Sharon Mason to withdraw, the trial court
found that counsel made a "reasonable effort" to provide
appellant with a defense and stated, "If you have rejected that,
we have to get the case pro se."
Appellant's failure to cooperate with multiple attorneys
and his dilatory conduct are clear from the record. Because of
appellant's tactics, the trial court properly concluded that
- 27 -
appellant waived his right to counsel. Appellant was offered
and received counsel on at least five occasions and chose not to
cooperate or communicate with them. As stated in Bolden, the
trial court recognized the "government's right to an orderly and
expeditious prosecution." It was evident that appellant simply
did not want to be tried and failed to cooperate with counsel as
a tactic to avoid trial. The record indicates appellant's
circuit court counsel diligently attempted to represent him but
his uncooperative behavior prevented their efforts. The record
further indicates the trial court made every reasonable effort
to honor appellant's right to counsel.
We conclude that the Commonwealth proved by clear, precise
and unequivocal evidence that appellant waived his right to
counsel. Therefore, for these reasons, we affirm the judgment
of the trial court.
Affirmed.
- 28 -
Benton, J., dissenting.
"In all criminal prosecutions, the accused shall enjoy the
right . . . to have the Assistance of Counsel for his
defen[s]e." U.S. Const. amend. VI. More than a half century
ago, the Supreme Court held that "[t]he Sixth Amendment stands
as a constant admonition that if the constitutional safeguards
it provides be lost, justice will not 'still be done.'" Johnson
v. Zerbst, 304 U.S. 458, 462 (1938). Later, in the seminal case
applying the Sixth Amendment, the Court held that the right to
the assistance of counsel "'is one of the safeguards of the
Sixth Amendment deemed necessary to insure fundamental human
rights of life and liberty.'" Gideon v. Wainwright, 372 U.S.
335, 343 (1963) (citation omitted).
Gideon rested on the "obvious truth" that
lawyers are "necessities, not luxuries" in
our adversarial system of criminal justice.
"The very premise of our adversary system of
criminal justice is that partisan advocacy
on both sides of a case will best promote
the ultimate objective that the guilty be
convicted and the innocent go free." The
defendant's liberty depends on his ability
to present his case in the face of "the
intricacies of the law and the advocacy of
the public prosecutor;" a criminal trial is
thus not conducted in accord with due
process of law unless the defendant has
counsel to represent him.
Evitts v. Lucey, 469 U.S. 387, 394 (1985) (citations omitted).
As an essential means of securing due process, the right to the
assistance of counsel "is a fundamental right of criminal
- 29 -
defendants; it assures the fairness, and thus the legitimacy, of
our adversary process." Kimmelman v. Morrison, 477 U.S. 365,
374 (1986). Apparently, for reasons of expediency, the trial
judge overlooked these principles in McNair's trial.
When the judge began McNair's trial and asked if the
parties were ready to proceed, McNair's court-appointed attorney
indicated she was ready for trial. Before the arraignment,
however, she said McNair wanted to address the judge "prior to
starting the trial." McNair made extensive comments to the
judge about the absence of information he believed was necessary
to be produced for his defense "so that [he] could get a fair
trial" and about his objection to the prosecutor using his
thirteen-year-old daughter as a witness. Reiterating these
issues during the ensuing arraignment, McNair indicated that
"information for [his] defense is not here" and that he had not
had sufficient time to discuss his defenses with his attorney.
Disagreeing, McNair's attorney informed the judge that she had
sought to give advice to McNair, that he did not want to accept
her advice, and that she had "jumped through all of the hoops"
McNair imposed on her. She then said: "At this point, I have
to protect myself, . . . I'm going to make a motion to withdraw
as counsel." The prosecutor immediately "ask[ed] if the Court
would [. . .] if [McNair] could proceed pro se and leave
[McNair's attorney] as advice counsel."
- 30 -
When the judge asked for McNair's "response" to these
matters, McNair again indicated he needed other information to
prove his wife was "capable of lying under oath." The trial
judge then ascertained from McNair's appointed attorney that she
had discussed the case with McNair, that she had advised him of
the elements of the offense the prosecutor had to prove, and
that she had consulted with McNair on numerous occasions. The
judge granted McNair's attorney's motion to withdraw without
qualification. Proceeding with the arraignment, the judge asked
the following:
[JUDGE]: The Court has heard what you said.
That matter is on the record. At this
point, I'm not going to deny [your daughter]
an opportunity to testify if the
Commonwealth presents her as a witness.
Have you entered your plea of not guilty
freely and voluntarily?
[McNAIR]: Yes.
[JUDGE]: And are you ready for trial today?
[McNAIR]: Without an attorney?
[JUDGE]: Yes, sir.
[McNAIR]: No, I'm not.
[JUDGE]: Have you determined whether or not
you wish to have a trial by jury or a trial
by a judge?
[McNAIR]: Trial by judge.
[JUDGE]: And you waive your right to a
trial by jury?
[McNAIR]: Yes.
- 31 -
[JUDGE]: Does the Commonwealth waive?
[PROSECUTOR]: The Commonwealth waives trial
by jury.
[JUDGE]: Do you understand the questions
that I've asked you?
[McNAIR]: Yes, I do.
[JUDGE]: All right, sir. We'll go ahead,
and I'll hear the case, and we'll go ahead
and proceed.
This record does not establish that McNair declined to be
represented by an attorney. At no time did he even intimate
that he wanted to proceed without an attorney. Indeed, when the
judge asked if he was ready for trial, McNair's responses,
"Without an attorney?" and then "No, I'm not," are clear
acknowledgments that he wanted an attorney to represent him.
Furthermore, as the Supreme Court held in Carnley v. Cochran,
369 U.S. 506, 513 (1962), "it is settled that where the
assistance of counsel is a constitutional requisite, the right
to be furnished counsel does not depend on a request." The
record indisputably established that McNair began the trial with
a court-appointed attorney and did not ask to be allowed to
represent himself. He was therefore constitutionally entitled
to the assistance of an attorney at his trial.
The trial judge eviscerated McNair's Sixth Amendment right
to counsel by releasing his attorney merely because McNair's
attorney stated on the record "to protect [her]self" that McNair
was a difficult client to represent and moved to "withdraw as
- 32 -
counsel." The right to the assistance of an attorney is not a
mere formalism that can be discarded merely because a defendant
proves difficult. Moreover, the trial judge compounded his
error by granting the prosecutor's request to require McNair "to
proceed pro se." In so doing, the trial judge completely
disregarded the Supreme Court's long standing ruling that the
Sixth Amendment "embodies a realistic recognition of the obvious
truth that the average defendant does not have the professional
legal skill to protect himself when brought before a tribunal
with power to take his life or liberty, wherein the prosecution
is presented by experienced and learned counsel." Johnson, 304
U.S. at 462-63. When the trial judge required McNair to defend
himself without the assistance of his attorney, the trial judge
gave no deference to these principles. Even if McNair disagreed
with his attorney concerning the evidence to be proved, he, like
every "person charged with a felony in a state court has an
unconditional and absolute constitutional right to a lawyer."
Boyd v. Dutton, 405 U.S. 1, 2 (1972) (citing Gideon).
I disagree with the majority opinion's holding that McNair
waived his right to the assistance of an attorney. Although an
accused may waive that right, the burden is on the Commonwealth
to prove a waiver. Brewer v. Williams, 430 U.S. 387, 404
(1977). To meet that burden, the record must establish that
such a waiver was voluntarily, knowingly, and intelligently
made. Faretta v. California, 422 U.S. 806, 835 (1975). In our
- 33 -
review of that issue, "the question of waiver [is to be
determined] as a matter of federal constitutional law." Brewer,
430 U.S. at 404. Under that standard, we are required to apply
the following rules:
[It is] incumbent upon the State to prove
"an intentional relinquishment or
abandonment of a known right or privilege."
. . . [T]he right to counsel does not depend
upon a request by the defendant, and . . .
courts [must] indulge in every reasonable
presumption against waiver. This strict
standard applies equally to an alleged
waiver of the right to counsel whether at
trial or at a critical stage of pretrial
proceedings.
Id. (citations omitted). Moreover, when the Commonwealth relies
upon such a waiver, it "must prove [the] essentials [of the
waiver] by 'clear, precise and unequivocal evidence . . . [,
which] must not leave the matter to mere inference or conjecture
but must be certain in every particular.'" Church v.
Commonwealth, 230 Va. 208, 215, 335 S.E.2d 823, 827-28 (1985)
(citation omitted).
McNair's "actions . . . were not actions characteristic of
a person who did not wish to be represented at trial." Lemke v.
Commonwealth, 218 Va. 870, 874, 241 S.E.2d 789, 791 (1978).
Although the majority opinion relies upon Bolden v.
Commonwealth, 11 Va. App. 187, 397 S.E.2d 534 (1990), and
Sampley v. Attorney Gen. of North Carolina, 786 F.2d 610 (4th
Cir. 1986), McNair, unlike those defendants, did not "appear
- 34 -
. . . [at trial] without counsel . . . [as a] result of dilatory
conduct on his part," Bolden, 11 Va. App. at 191, 397 S.E.2d at
537, and did not tell the trial judge "that he would represent
himself." Sampley, 786 F.2d at 612. Thus, as in Lemke, this is
not a case of "failure by one who is financially able to do so
to employ counsel within a reasonable time," 218 Va. at 873, 241
S.E.2d at 791, but, rather, is a case of one who "wished to be
represented by an attorney." Id. at 874, 241 S.E.2d at 792.
The record clearly proved McNair came to trial with an attorney
and expected to be represented by her at trial.
"A valid waiver of sixth amendment counsel must be the
voluntary act of the defendant free of coercion, physical or
psychological, subtle or overt, [which means] the defendant must
realize that his or her actions are a waiver of a constitutional
privilege." United States v. Clements, 713 F.2d 1030, 1035 (4th
Cir. 1983) (citation omitted). The trial judge did not discuss
with McNair the right to an attorney, made no inquiry of McNair,
gave no warnings, and made no findings on the record.
[The trial judge's actions were]
insufficient to ensure that [McNair]
understood that he was undertaking a complex
and sophisticated role, the performance of
which normally requires a high level of
professional training and competence. [The
judge] failed to warn [McNair] that if he
rejected professional assistance, he would
be responsible for the adequacy of his
defense and would suffer the consequences of
any inadequacy.
- 35 -
Kinard v. Commonwealth, 16 Va. App. 524, 527, 431 S.E.2d 84, 86
(1993).
By ignoring McNair's express statement that he did not want
to proceed without an attorney, the trial judge effectively
denied McNair's right to an attorney to the same extent as if he
had ruled explicitly that McNair was not entitled to be
represented by an attorney. Even in circumstances where "an
accused is informed of his right of counsel and expresses a
desire to waive such right [,that] is not by itself considered
to be an effective waiver [because it] is fundamental that the
record show that an accused was offered counsel and that he
intelligently and understandingly rejected the offer." Miller
v. Maryland, 577 F.2d 1158, 1161 (4th Cir. 1978).
This record contains no explanation why the trial judge did
not deny McNair's attorney's motion to withdraw and order her to
continue with the trial. Despite her disagreement with McNair
about the evidence he wanted proved, she indicated she was
prepared for trial. Although her interest had been served by
her motion on the record "to protect [her]self," McNair's right
to the assistance of an attorney was a separate matter. "A
finding of waiver of counsel cannot be made on the basis of a
simple inquiry into past events: 'the question of waiver [is]
not a question of historical facts, but one which . . . requires
"application of constitutional principles to the facts as
found."'" Clements, 713 F.2d at 1035 (citations omitted).
- 36 -
It has been pointed out that "courts indulge
every reasonable presumption against waiver"
of fundamental constitutional rights and
that we "do not presume acquiescence in the
loss of fundamental rights."
* * * * * * *
The constitutional right of an accused to
be represented by counsel invokes, of
itself, the protection of a trial court, in
which the accused -- whose life or liberty
is at stake -- is without counsel. This
protecting duty imposes the serious and
weighty responsibility upon the trial judge
of determining whether there is an
intelligent and competent waiver by the
accused.
Johnson, 304 U.S. at 464-65 (footnotes omitted). Waiver of
McNair's Sixth Amendment right to assistance of an attorney may
be found only if the evidence shows "that [he] was offered
counsel but intelligently and understandingly rejected the
offer." Carnley, 369 U.S. at 516. As the Supreme Court noted:
"Anything less is not waiver." Id.
Although the Commonwealth notes that McNair "correctly
asserts that he was required to proceed 'pro se,'" the
Commonwealth still argues that McNair's counsel remained in the
courtroom and, therefore, McNair had "standby counsel." The
simple, straightforward answer to this argument is that the
record proves otherwise. The trial judge, without
qualification, granted McNair's attorney's motion to withdraw.
Even if she remained in the back of the courtroom, she was not
authorized to assist McNair. It also bears repeating that "'the
- 37 -
constraint laid by the [Sixth] Amendment upon the . . . courts
expresses a rule . . . fundamental and essential to a fair
trial, and . . . to due process of law.'" Gideon, 372 U.S. at
340 (citation omitted). Her mere presence in the courtroom
provided no benefit to McNair. "Because the right to counsel is
so fundamental to a fair trial, the Constitution cannot tolerate
trials in which counsel, though present in name, is unable to
assist the defendant to obtain a fair decision on the merits."
Evitts, 469 U.S. at 395. The Supreme Court could not have been
clearer when it said "the guarantee of counsel 'cannot be
satisfied by mere formal appointment.'" Id. Regardless of the
presence of McNair's former attorney in the courtroom, the trial
judge unconditionally granted her motion to withdraw and
required McNair to proceed pro se.
The right to be heard would be, in many
cases, of little avail if it did not
comprehend the right to be heard by counsel.
Even the intelligent and educated layman has
small and sometimes no skill in the science
of law. If charged with crime, he is
incapable, generally, of determining for
himself whether the indictment is good or
bad. He is unfamiliar with the rules of
evidence. Left without the aid of counsel
he may be put on trial without a proper
charge, and convicted upon incompetent
evidence, or evidence irrelevant to the
issue or otherwise inadmissible. He lacks
both the skill and knowledge adequately to
prepare his defense, even though he have a
perfect one. He requires the guiding hand
of counsel at every step in the proceedings
against him. Without it, though he be not
guilty, he faces the danger of conviction
- 38 -
because he does not know how to establish
his innocence.
Powell v. Alabama, 287 U.S. 45, 68-69 (1932).
"When a State obtains a criminal conviction through . . . a
trial [in which a defendant is denied the assistance of an
attorney], it is the State that unconstitutionally deprives the
defendant of his liberty." Cuyler v. Sullivan, 446 U.S. 335,
343 (1980). Although the Commonwealth has an interest in an
orderly and expeditious prosecution, in this case, I would hold
that the trial judge exhibited "an unreasoning and arbitrary
'insistence upon expeditiousness . . .' [and, therefore,]
violate[d] the right to the assistance of counsel." Morris v.
Slappy, 461 U.S. 1, 11-12 (1983) (citation omitted). This
record establishes a clear violation by the Commonwealth of
McNair's Sixth Amendment right to the assistance of an attorney
at the trial where he was convicted. Therefore, I would reverse
the convictions and remand for a new trial.
I dissent.
- 39 -