People v. Butler
The PEOPLE, Plaintiff and Respondent, v. RAYMOND OSCAR BUTLER, Defendant and Appellant
Attorneys
Counsel, Lynne S. Coffin and Michael J. Hersek, State Public Defenders, under appointments by the Supreme Court, Jay Colangelo, Assistant State Public Defender, Jessica K. McGuire and Caroline Lange, Deputy State Public Defenders, for Defendant and Appellant., Bill Lockyer and Edmund G. Brown, Jr., Attorneys General, Robert R. Anderson and Dane R. Gillette, Chief Assistant Attorneys General, Pamela C. Hamanaka, Assistant Attorney General, Keith H. Borjon and Jason C. Tran, Deputy Attorneys General, for Plaintiff and Respondent.
Full Opinion (html_with_citations)
Opinion
This is the second death penalty appeal brought by defendant Raymond Oscar Butler. In People v. Butler (2009) 46 Cal.4th 847 [95 Cal.Rptr.3d 376, 209 P.3d 596] (Butler I), we affirmed the conviction and sentence of death imposed on defendant for murdering two college students. In this case, he was convicted of first degree murder and sentenced to death for stabbing a fellow jail inmate. (Pen. Code, §§ 187, subd. (a) & 190.2, subd. (a)(2).) Defendant contends he was denied his Sixth Amendment right to represent himself at trial. (Faretta v. California (1975) 422 U.S. 806 [45 L.Ed.2d 562, 95 S.Ct. 2525] (Faretta).) We agree. The trial court erroneously decided that defendant could not adequately represent himself because of jail restrictions resulting from his disciplinary infractions. Faretta and its progeny require reversal of the judgment in its entirety.
The jailhouse murder occurred on March 26, 1995, while defendant was awaiting trial for the Butler I murders. We need not detail the circumstances of the stabbing; they were introduced at the penalty phase in Butler I and are set out in 46 Cal.4th at pages 852-853. Here, we discuss only the facts relevant to defendantâs Faretta claim.
Defendant was represented by counsel in Butler I. In the present case, however, he sought to represent himself early on, before special circumstance allegations were added to the complaint. In December 1995, defendant filed a handwritten Faretta motion asserting his âunconditional constitutional right to represent himself without counsel.â Defense counsel filed a supporting declaration, explaining that he was defendantâs attorney in Butler I and had agreed with the county to represent him in this second prosecution for no additional fee. Because the jail stabbing would be the primary evidence at a penalty phase in Butler /, counsel would be preparing to address the incident. He was willing to serve as advisory or standby counsel, and could take over the defense should defendant not continue in propria persona (hereafter, âpro. per.â).
The prosecutor responded that defendant might be seeking self-representation to gain pro. per. jail privileges, or for purposes of manipulation and delay. However, she added that â[wjhatever the defendantâs reasons for requesting pro per status, an otherwise appropriate request to proceed in propria persona must be granted.â The trial court granted defendantâs motion on December 12, 1995.
On January 2, 1996, the county filed a motion to restrict defendantâs âin custody pro per privileges.â County counsel claimed that defendant was a demonstrated security risk, with a long and escalating record of disciplinary infractions: In April 1994, he was insubordinate and disrespectful toward a deputy who was escorting him to his cell. In May 1994, he was found with a razor blade modified for use as a weapon. In August 1994, he possessed an unauthorized amount of cash. In September 1994, he tried to prevent his cell door from locking, was found with contraband razor blades, was insubordinate to staff, and caused a disturbance. In March 1995, he participated in the stabbing for which he was currently being prosecuted. In December 1995, he was again found with razor blades, along with contraband cigarettes and a lighter.
County counsel explained that inmates in administrative segregation were allowed to use the âPro Per Law Libraryâ in compatible, multiracial groups to âprevent[] one group from establishing a power baseâ in the library. Defendantâs actions showed he was a threat to other inmates and a potential victim
At a hearing on January 3, 1996, defendant objected that he had no books and no opportunity to prepare a response to the countyâs motion. He was also concerned about his telephone access. County counsel told the court that no additional telephone privileges were granted to pro. per. inmates. The court agreed to deny defendant access to the law library, but set a hearing for February 1, 1996, regarding other restrictions on his pro. per. privileges. On that date defendant filed written opposition, arguing that terminating his privileges âwould stop progress and ultimately cause a[n] undue consumption of the courtâs time and effort.â He claimed the violations cited by the sheriff were frivolous and did not justify the restriction of his privileges under Wilson v. Superior Court (1978) 21 Cal.3d 816 [148 Cal.Rptr. 30, 582 P.2d 117]. Defendant said the only major infraction was the homicide, with respect to which he intended to show that his actions, âif any at all were minor.â
At the hearing, defendant complained that he was being treated differently from other pro. per. inmates with similar disciplinary records. He claimed the countyâs concern that he might be a victim of retaliation was speculative, and said he needed access to the library âbecause I do plan on representing myself all the way to the end in this case.â County counsel denied that defendant had been singled out, and contended that taking him to and from the library and allowing him to be with other inmates in the library posed a âmajor security concern.â The court granted the motion to restrict defendantâs privileges and denied his request for expanded telephone access. It noted that he had a legal mnner and advisory counsel.
On July 30, 1996, the prosecutor informed the court that defendant had been sentenced to death in Butler I. The court granted her motion to amend the complaint to include the murder convictions in that case as special circumstances. Defendantâs advisory counsel reported that his client was being denied âall pro per privileges of any kind whatsoever,â and had been told by the deputies in jail that âhe is no longer pro per.â Counsel requested and received a minute order confirming defendantâs pro. per. status.
On October 29, 1996, defendant appeared for a hearing before a new judge, who handled the remaining pretrial proceedings and the trial itself. Defendant complained that he was âreceiving no pro per privileges at all.â At the next hearing, on November 15, the court itself raised the subject of defendantâs self-representation, warning defendant and a codefendant who was also representing himself that âI want to resolve this [Faretta] issue ....
The court took up the matter on December 10, 1996, telling defendant, âThis is nothing personal, Mr. Butler. Understand? You have always treated me with respect. But I have a great concern, based on the fact you already have a sentence of death and this case is predicated, I believe, on the allegation that a person in custody was shanked .... That, in itself, puts the court in concern not only for your safety and retaliation, but concern for other prisoners and deputies. Does that make sense to you?â Defendant said yes, but also affirmed that he wanted to keep representing himself.
The court asked to hear from the prosecutor about other incidents involving defendant. The prosecutor reported the following infractions in addition to those outlined in the countyâs January 1996 motion: In October 1995, defendant was found with razor blades yet again. In February 1996, he âslipped his cuffs and assaulted an inmate in line.â In June 1996, he was found with tar heroin. In October 1996, he and another inmate were discovered âmaking drugs,â and he also had a large container of jail-made alcohol. Most significantly, in October 1996, as he was preparing to come to court, a jail deputy saw him insert something into his rectum, which turned out to be a four-inch-long piece of sharpened metal known in jail vernacular as a âshankâ or âshiv.â The prosecutor had reports on these incidents, but had not yet provided them to the court. Defendant insisted that âmost of [these reports] are not true.â When questioned by the court, he said he knew of no one seeking retaliation against him. He denied being in a gang since he had been in custody, but admitted he had been in one previously.
The prosecutor argued that defendant was particularly dangerous because he had been sentenced to death, and âbasically . . . has nothing to lose.â She summarized the alleged facts of the jail stabbing. Defendant, his two codefendants, and the victim were being taken to the showers. One codefendant emerged from his cell unhandcuffed, and unlocked defendantâs cuffs. He and defendant then took turns stabbing the victim in the chest with a shank. The other codefendant remained handcuffed, but assisted by preventing the victimâs escape. The prosecutor called a deputy to the stand, who verified defendantâs disciplinary reports and said he was a âvery high security risk inmateâ, based on his continuing infractions in jail and the death sentence he had already suffered. He could not be allowed in the law library. The 20 to 25 high-security inmates then representing themselves were assigned to compatible groups for trips to the law library. However, inmates like defendant posed too severe a risk to be placed in any group.
The court then heard defendantâs motion to replace his counsel. (People v. Marsden (1970) 2 Cal.3d 118 [84 Cal.Rptr. 156, 465 P.2d 44].) Defendant claimed that counsel, while serving in his advisory status, had failed to confer with him or otherwise assist in preparing a defense. The court denied the motion and reappointed counsel.
The next hearing was six weeks later, in January 1997. The prosecutor told the court she was concerned that defendant had not been given notice of the new incident reports she introduced at the hearing in December. She asked that he be given the opportunity to revisit the revocation of his pro. per. status and contest that evidence. The court said, âI have no objection. Mr. Butler and I have spoken before on the record here. I have nothing against you at all. You have a competent lawyer. You have been given the death penalty; it is on appeal. To proceed on a death penalty case without counsel to me just doesnât make sense. The court had a full hearing. What she is saying is you probably didnât have proper notice. ... If you want to revisit that and bring some witnesses in, I will do that for you. But I think you have a competent lawyer. It is up to you to make a decision.â
Defendant said he âwould like to be able to bring witnesses in and dispute that.â A hearing was held on April 9, 1997. Acting as his own counsel, defendant called a witness but then hesitated to ask questions that might incriminate himself. The court told him that was always a danger of self-representation, and that questioning witnesses was particularly risky in cases with multiple defendants, like this one. Ultimately, after consulting with his advisory counsel, defendant decided to ask no questions and submitted the
Defendant filed a renewed Faretta motion on September 16, 1997. At a hearing on September 22, he adamantly asserted his right to self-representation, telling the court, âit is my constitutional right and I would like to invoke it. I mean I feel I can put more time and effort into it than [counsel].â The court told him, âHere is the problem: the sheriff has the absolute right to shut down any pro per privileges that you have in jail. Understand? Based on your record of incidents, that is what will happen, I am sure. They will not let you go anywhere, so you will be restricted [to] going from the jail to here. While you are here, even if you are in pro per, we will use the react belt plus we will use probably some other things. You canât walk around the courtroom; you wonât be able to move. I donât know what privileges, if any, you will have at the county jail. Understand?â Defendant replied in the affirmative. When pressed by the court as to how he could be better prepared than his lawyer, he said, âIâve got 24 hours a day, seven days a week, to work on this case.â
Defendant was unswayed by the courtâs repeated warnings about the restrictions on his ability to prepare a defense. He claimed he could work in his cell, and said âwe will have to work something outâ to get him the resources he would need. The court acknowledged that defendant had the right to represent himself, but said, âI also have another obligation to see whether or not you have a fair trial. If you are in pro per and you have no access to the law library, you canât interview anybody, then you go right [from] there to here, how do you think you will be prepared?â Defendant said, âI have never once broke any of the policies as a pro per, so I donât know why I would be . . . under the disadvantage of not going to the law library as the other pro pers.â The court again told defendant that the sheriff was not going to give him the privileges he wanted. The court said, âI am not concerned about the courtroom because we can handle you in the courtroom,â but asked defendant to think about the effect his limited preparation would have on the jurors who would hear the evidence âwithout an adequate lawyer.â Defendant replied, âI understand, your honor, but I still feel that I can represent myself in this trial.â
Defendant then requested âall items of discovery.â The court warned him that it would not grant a continuance, and that he would have to be ready for
On October 20, defendant informed the court that he had not yet received his discovery items. The court asked counsel if he was âready to go,â and counsel said yes. The court asked defendant, âwould you like to have this lawyer back? It is up to you.â Defendant responded, âI donât understand the question.â When the court repeated it, defendant said, âso there is no way that I can get the items I need for trial?â The court replied, âyou canât be ready for trial. When you went pro per, that is part of the situation where you have to be ready to go. What are you missing that you didnât get?â Defendant said he only had the material from the guilt phase of the Butler I trial.
Defense counsel disputed this. He claimed that defendant had all the material relating to the jail stabbing, which was part of the Butler I penalty phase. However, counsel also reported that the jail had told him âthey couldnât give [defendant] all the materials at one time, but that we could rotate stuff through.â Counsel further acknowledged that he still had âmany, many cardboard boxes and thousands and thousands of pages of stuff which Iâm redacting page by page.â Counsel did not describe the nature of the material he had yet to turn over. Without further inquiry, the court revoked defendantâs Faretta right for the second time, with this statement: âIt is not unique to your client. This is the pro per problem. You have a pro per that is in for another case; and the jail is a jail, it is not a law library. They restrict what you can do there. That is why it just doesnât make sense to do that. In any event, I will just put you back on the case. You have had some time to work on at least the guilt phase. You can take a look at that and if we need to ... we will take a short delay to look at the penalty phase. We will not be starting that right away.â
Jury selection began a week later, on October 27, 1997. A jury was empanelled on November 4, and trial started the following day. Defendant
II. DISCUSSION
In Faretta, the United States Supreme Court declared that a defendant âmust be free personally to decide whether in his particular case counsel is to his advantage,â even though âhe may conduct his own defense ultimately to his own detriment . . . .â (Faretta, supra, 422 U.S. at p. 834.) âThe Sixth Amendment. . . implies a right of self-representation.â (Id. at p. 821.) Thus, a state may not âconstitutionally hale a person into its criminal courts and there force a lawyer upon him, even when he insists that he wants to conduct his own defense.â (Id. at p. 807.)
The tension between the right of self-representation and the interest in ensuring a fair trial was a matter of dispute in Faretta itself, and it persists to this day.
âWhen âa motion to proceed pro se is timely interposed, a trial court must permit a defendant to represent himself upon ascertaining that he has voluntarily and intelligently elected to do so, irrespective of how unwise such a choice might appear to be. Furthermore, the defendantâs âtechnical legal knowledgeâ is irrelevant to the courtâs assessment of the defendantâs knowing exercise of the right to defend himself.â (People v. Windham (1977) 19 Cal.3d 121, 128 [137 Cal.Rptr. 8, 560 P.2d 1187] . . . , quoting Faretta, supra, 422 U.S. at p. 836 [95 S.Ct. 2525].) Erroneous denial of a Faretta motion is reversible per se. (McKaskle v. Wiggins (1984) 465 U.S. 168, 177, fn. 8 [79 L.Ed.2d 122, 104 S.Ct. 944].)â (People v. Dent, supra, 30 Cal.4th at
There are limits on the right to act as oneâs own attorney. As the high court recently observed, âFaretta itself and later cases have made clear that the right of self-representation is not absolute.â (Edwards, supra, 554 U.S. at p._[128 S.Ct. at p. 2384].) The Faretta court noted that âthe trial judge may terminate self-representation by a defendant who deliberately engages in serious and obstructionist misconduct.â (Faretta, supra, 422 U.S. at p. 834, fn. 46; see also People v. Carson, supra, 35 Cal.4th at pp. 8-9.) It is settled that the Faretta right may be waived by failure to make a timely request to act as oneâs own counsel (People v. Windham, supra, 19 Cal.3d at pp. 128-129), or by abandonment and acquiescence in representation by counsel (People v. Stanley (2006) 39 Cal.4th 913, 929 [47 Cal.Rptr.3d 420, 140 P.3d 736]; People v. Dunkle (2005) 36 Cal.4th 861, 909-910 [32 Cal.Rptr.3d 23, 116 P.3d 494]). The court may deny a request for self-representation that is equivocal, made in passing anger or frustration, or intended to delay or disrupt the proceedings. (People v. Marshall (1997) 15 Cal.4th 1, 23 [61 Cal.Rptr.2d 84, 931 P.2d 262].) A defendant may be mentally incompetent to waive counsel. (Godinez v. Moran (1993) 509 U.S. 389, 400-401 [125 L.Ed.2d 321, 113 S.Ct. 2680].) And in Edwards, the high court recently decided that âthe Constitution permits States to insist upon representation by counsel for those competent enough to stand trial under Dusky [v. United States (1960) 362 U.S. 402 [4 L.Ed.2d 824, 80 S.Ct. 788]] but who still suffer from severe mental illness to the point where they are not competent to conduct trial proceedings by themselves.â (Edwards, supra, 554 U.S. at p.__[128 S.Ct. at p. 2388].)
None of these circumstances, with the possible exception of obstructive misconduct, was present in this case. Defendant timely, unequivocally, and persistently invoked his Faretta right.
We have since renounced that rule, deciding that it unduly restricted trial courtsâ authority to respond to misconduct occurring outside the courtroom. (People v. Carson, supra, 35 Cal.4th at p. 8.) In Carson, we held that âserious and obstructionist out-of-court misconductâ that threatens to âsubvert âthe core concept of a trialâ [citation] or to compromise the courtâs ability to conduct a fair trial [citation]â may lead to forfeiture of the right to self-representation. (Id. at p. 10.)
Here, defendant committed many disciplinary infractions in jail. Some were minor but a number of them were quite troubling, even aside from the jailhouse stabbing for which he was being prosecuted. He was repeatedly discovered with weapons. On one occasion, he concealed a shank in his rectum just before he was to be taken to the courtroom. The court had ample reason to be reluctant about defendantâs self-representation. We agree with the dissent that defendant was an obvious security risk, and safety precautions were justified both in the jail and the courtroom. However, there was no showing that his pro. per. status increased the risk in any way. Self-represented or not, defendant was going to be housed in the jail, transported to and from court, and in attendance for his trial.
In any event, we need not and do not decide whether defendantâs out-of-court misconduct might have justified the revocation of his Faretta right, because ultimately the court did not rely on that ground. Indeed, it permitted defendant to resume representing himself shortly before trial, telling him that it was ânot concerned about the courtroom because we can handle you in the courtroom,â and that he would be restrained from moving around freely whether or not he was acting as his own counsel.
After less than a month, the court terminated defendantâs self-representation once again. This time, the revocation was based on the limitations imposed on his ability to prepare for trial. The court observed that the situation was not unique, but was âthe pro per problem.â It declared that pro. per. representation âjust doesnât make senseâ when â[tjhey restrict what you can doâ in jail.
The court erred in this instance. In Ferrel, the Attorney General argued that âtermination of a defendantâs pro. per. status would ... be justified when, by defendantâs own misconduct in jail, he loses his pro. per. privileges, thereby making it practically impossible for him to prepare a defense.â (Ferrel, supra, 20 Cal.3d at p. 892.) The Ferrel court disagreed, observing that while limitations on pro. per. privileges âmay be necessary . . . as a result of a defendantâs misconduct in jail,â they âwould not, however, preclude a defendant from making an intelligent and voluntary decision to continue to represent himself provided that he has been warned of the dangers and difficulties that such a choice might entail.â (Ibid.)
Ferrelâs decision on this point remains undisturbed. Restrictions on pro. per. privileges in custody are not unusual. (See Wilson v. Superior Court, supra, 21 Cal.3d at pp. 824-826; 3 Witkin & Epstein, Cal. Criminal Law (3d ed. 2000) Punishment, § 25, pp. 63-64; id., § 55, pp. 94-96.) They have never been deemed a justification for depriving inmates of the right to represent themselves. Later cases are consistent with Ferrelâs holding that the conditions of confinement are not a legal impediment to the exercise of Faretta rights. It is settled that while self-represented inmates may not be deprived of all means of preparing a defense, the Constitution does not require personal access to legal resources. The provision of advisory counsel and reasonably necessary investigative assistance sufficiently protects the Sixth Amendment rights of pro. per. inmates. (People v. Jenkins, supra, 22 Cal.4th at p. 1040; see also People v. Blair, supra, 36 Cal.4th at pp. 732-733; People v. Ringo (2005) 134 Cal.App.4th 870, 876-877 [36 Cal.Rptr.3d 444]; Kane v. Garcia Espitia (2005) 546 U.S. 9, 10 [163 L.Ed.2d 10, 126 S.Ct. 407]; Lewis v. Casey (1996) 518 U.S. 343, 350-351 [135 L.Ed.2d 606, 116 S.Ct. 2174].) Therefore, contrary to the trial courtâs view in this case, inmates still have the right to represent themselves even when their ability to prepare is restricted in custody.
It is established that the effectiveness of a self-represented defendantâs preparation is ordinarily irrelevant.
Defendant claims the court erred by failing to grant him a continuance so that he could complete his preparations for trial. We do not reach this issue. Defendant did not ask for a continuance, though this may have been because the court admonished him that none would be granted. Indeed, the court never considered the grounds for a continuance because of its view that defendant simply could not be prepared under the conditions of his confinement. (See People v. Jenkins, supra, 22 Cal.4th at p. 1039 [grounds for continuance must be found in particular circumstances and reasons presented to trial court].)
DISPOSITION
The judgment is reversed.
George, C. J., Kennard, J., Werdegar, J., and Moreno, J., concurred.
âIf the defendant is acting as his or her own attorney, the court shall endeavor to protect the address and telephone number of a victim or witness by providing for contact only through a private investigator licensed by the Department of Consumer Affairs and appointed by the court or by imposing other reasonable restrictions, absent a showing of good cause as determined by the court.â (Pen. Code, § 1054.2, subd. (b).)
See Faretta, supra, 422 U.S. at pages 839-840 (dis. opn. of Burger, J.); id. at page 849 (dis. opn. of Blackmun, J.); Indiana v. Edwards (2008) 554 U.S. 164 [171 L.Ed.2d 345, 128 S.Ct. 2379, 2389] (dis. opn. of Scalia, J.) (Edwards); Martinez v. Court of Appeal of Cal. (2000) 528 U.S. 152, 161 [145 L.Ed.2d 597, 120 S.Ct. 684]; People v. Blair (2005) 36 Cal.4th 686, 739-740 [31 Cal.Rptr.3d 485, 115 P.3d 1145]; People v. Dent (2003) 30 Cal.4th 213, 222-225 [132 Cal.Rptr.2d 527, 65 P.3d 1286] (conc. opn. of Chin, J.); U.S. v. Farhad (9th Cir. 1999) 190 F.3d 1097, 1105-1109 (conc. opn. of Reinhardt, J.); Decker, The Sixth Amendment Right to Shoot Oneself in the Foot: An Assessment of the Guarantee of Self-Representation Twenty Years After Faretta (1996) 6 Seton Hall Const. L.J. 483; but see Hashimoto, Defending the Right of Self-Representation: An Empirical Look at the Pro Se Felony Defendant (2007) 85 N.C. L.Rev. 423.
The Attorney General contends defendant waived his claim of error by acquiescing in the courtâs revocation of his self-representation in December 1996, and abandoning the effort to defend his Faretta right in April 1997. We disagree. Defendant said he understood the courtâs ruling in December, but he did not accept it. As the Attorney General recognizes, defendant was not required to renew his request after it was conclusively denied. (People v. Dent, supra, 30 Cal.4th at p. 219.) When the prosecutor reopened the issue, conceding defendant had no notice of the disciplinary infractions she presented in December, defendant immediately sought to contest the matter. Although he ultimately decided not to question his witness at the hearing in April, he continued to assert his right of self-representation. The following September, he filed another Faretta motion. No waiver or abandonment can be gleaned from this record.
In Carson, the defendantâs investigator mistakenly gave him discovery material to which he was not entitled, including witness addresses and telephone numbers, and criminal history records. (People v. Carson, supra, 35 Cal.4th at p. 12.) In light of the defendantâs âantecedent attempts to suborn perjury, fabricate an alibi, and possibly intimidate a prosecution witness,â the trial court terminated his Faretta right. (Id. at p. 13.) This court emphasized the necessity of developing an adequate record of the basis for terminating a defendantâs self-representation when out-of-court misconduct is involved. (Id. at p. 11.) Because the record in Carson did not sufficiently reflect the actual impact of the defendantâs misconduct on the trial, or whether sanctions short of termination would have addressed the problem, we ordered a remand to the trial court for a hearing on those questions. (Id. at p. 14.)
A pro. per. defendant may be physically restrained during trial for security purposes. (People v. Jenkins (2000) 22 Cal.4th 900, 1042-1043 [95 Cal.Rptr.2d 377, 997 P.2d 1044];
The record indicates that counsel served in both âadvisoryâ and âstandbyâ capacities. (See People v. Blair, supra, 36 Cal.4th at p. 725; People v. Hamilton (1989) 48 Cal.3d 1142, 1164, fn. 14 [259 Cal.Rptr. 701, 774 P.2d 730].)
Thus far, the only instance in which the United States Supreme Court has recognized that a defendantâs ability to conduct a defense has any bearing on the right of self-representation is the recent decision in Edwards, which is limited to cases of severe mental illness. (Edwards, supra, 554 U.S. at p._[128 S.Ct. at p. 2388].) We asked the parties for briefing on whether Edwards had any relevance to this case. Both sides agreed that it did not.
We note, in any event, that the record does not support the Attorney Generalâs claim that a continuance was unwarranted because defendant was dilatory in his preparation as the trial date approached in October 1997. Defendantâs lack of preparation appears to have resulted largely from factors beyond his control. Defense counsel acknowledged that he had yet to