United States v. Baker, 84 F.3d 1263, 10th Cir. (1996)

84 F.
3d 1263
UNITED STATES of America, Plaintiff-Appellee,

v.
Leroy Walter BAKER, Defendant-Appellant.
No. 95-1423.
United States Court of Appeals,

Tenth Circuit.
May 21, 1996.
Henry L. Solano, United States Attorney, and William

R. Lucero, Assistant United States Attorney, Denver,
Colorado, on the brief for Plaintiff-Appellee.
Mitchell Baker, Denver, Colorado, on the briefs for

Defendant-Appellant.
Before BRORBY, EBEL and HENRY, Circuit Judges.
BRORBY, Circuit Judge.
1 After examining the briefs and appellate record, this panel

has determined unanimously that oral argument would not
materially assist the determination of this appeal. See
Fed.R.App.P. 34(a); 10th Cir.R. 34.1.9. The cause is
therefore ordered submitted without oral argument.
2 A jury found Leroy Walter Baker guilty of two counts of

being a felon in possession of a firearm in violation of 18
U.S.C. 922(g)(1) and two counts of making a false
statement in acquisition of a firearm in violation of 18
U.S.C. 922(a)(6). We do not address all of the issues Mr.
Baker raises on appeal because we find he was denied
his right to self-representation and therefore we reverse
his conviction and remand for a new trial.
3 A criminal defendant has a constitutional and a statutory

right to self-representation. Faretta v. California, 422 U.S.
806, 834-36, 95 S.Ct. 2525, 2540-42, 45 L.Ed.2d 562
(1975); 28 U.S.C. 1654. The Supreme Court has held
when the right of self-representation is exercised it
"usually increases the likelihood of a trial outcome
unfavorable to the defendant, its denial is not amenable
to 'harmless error' analysis. The right is either respected
or denied; its deprivation cannot be harmless." McKaskle
v. Wiggins, 465 U.S. 168, 177 n. 8, 104 S.Ct. 944, 950 n. 8,
79 L.Ed.2d 122 (1984). The defendant must meet several
requirements in order to invoke this right. First, the
defendant must "clearly and unequivocally" assert his
intention to represent himself. United States v. Reddeck,
22 F.3d 1504, 1510 (10th Cir.1994). Second, this assertion
must be timely. United States v. Nunez, 877 F.2d 1475,
1478 (10th Cir.), cert. denied, 493 U.S. 981, 110 S.Ct. 514,
107 L.Ed.2d 515 (1989). Finally, there must "be a showing
that he 'knowingly and intelligently' relinquishes the
benefits of representation by counsel." United States v.
McKinley, 58 F.3d 1475, 1481 (10th Cir.1995) (quoting
Faretta, 422 U.S. at 835, 95 S.Ct. at 2541). The key
question is whether the defendant is competent to waive
his or her right to counsel, not whether the defendant
possesses legal knowledge or is otherwise competent to
represent him or herself. Id.
4 The government claims Mr. Baker "did not make a clear

and unequivocal request to appear pro se; on the
contrary, his requests for self-representation were
confusing." We disagree. Although at times Mr. Baker may
have expressed his thoughts in a somewhat muddled
manner, his desire to represent himself was consistently
expressed and discussed by himself, his attorneys, the
magistrate judge and the district court judge. Our perusal
of the record indicates that Mr. Baker brought the matter
up nearly every time he appeared before the court. On
April 11, 1995, in his initial appearance before the
magistrate judge, Mr. Baker stated: "I would like to have
a--a--I would like to be pro se with a counsel. In other
words, I do want a counsel, but I do not want him to have
abso'--absolute control, because I am--I do know the law.
You know, I am not ignorant of the law." The magistrate
judge told Mr. Baker "You do have a right to have an
attorney. If you are choosing to represent yourself and
want advisory counsel, we can take that up at an
appropriate time." Mr. Baker responded "Now, on that I
would like to have, you know, like, in other words, a
counsel to advise me." Subsequently, the magistrate
judge appointed attorney Edward Harris to represent Mr.
Baker. On May 30, 1995, in Mr. Baker's first appearance
before the district court, the following exchange
occurred:
5 Mr. Harris: .... We have a preliminary matter which I'd like

to address before any of [the] written motions, if I might.
6 The Court: Go ahead.
7 Mr. Harris: And that is I've discussed with Mr. Baker the
situation concerning advisory counsel vs. counsel vs. pro
se, and he indicates to me that he wishes me to withdraw
and he wishes to represent himself.
8 The Court: His motion is denied. Let's proceed. I've had

too many cases in this court where people have tried to
represent themselves and they just have not had their day
in court. He can certainly confer with you and be a partner
with you in making decisions, but my experience is very
strongly that those who try to represent themselves do
not do a good job and they really don't have their
constitutional rights protected and their day in court. So
that motion will be denied.
Later in that same hearing, Mr. Harris again addressed the
9 court regarding Mr. Baker's wish to represent himself by
noting:
10 Mr. Harris: .... He has some pretty strong ideas as to how

he wants this case tried. My hands are bound for a variety
of reasons as to how I might try the case, and he is a--I
have in dealing with him found Mr. Baker to be intelligent
albeit not trained in the law. But I'm not--I guess what I'm
saying is I'm not sure I can do more for him at this point
than he can do for himself.
11 I think frankly the result is likely to be the same, is likely

to a be a conviction from a jury of 12; and I think given
that, he ought to take a shot at it himself, if he feels
strongly about it, as he has a right to do, to represent
himself pro se. And I know he feels very strongly about it.
12 If nothing else, I would ask simply that your Honor hear

him on that subject limited only to that subject and not
discussing any aspects of the case itself, because I know
he feels extremely strongly that he wants to defend this
case a certain way and by himself.
13 The Court: There are just so many cases both in this court
and before other judges where other defendants have felt
that strongly, and in some cases where they have tried
the case themselves and had advisory counsel and then
later appealed on the grounds that they did not have a fair
trial and the judge should have acted to make sure they
had counsel rather than letting them make a mess of
things pro se.
14 There are so many statutes and so many rules that have

to be known. There is the rules of evidence and the rules
of criminal procedure, and we follow those rules
specifically.
And if one is not trained in the law, it's like, you know,
15 taking out your own appendix: You just don't know, you
just don't understand what's going on.
16 At this point the district court listened to Mr. Baker's

opinions, which soon disintegrated into a discussion
regarding the different branches of the federal
government, before the district court reiterated its denial
of Mr. Harris's motion to withdraw as counsel and
admonished Mr. Baker to "try to work out" his relationship
with Mr. Harris.
17 On June 15, 1995, Mr. Baker appeared in front of the

magistrate judge for a hearing regarding Mr. Harris's
request to withdraw as Mr. Baker's counsel:
18 [Magistrate]: [The district court judge] wanted me to hold

a hearing, wanted me to ascertain what the present
situation was vis-a-vis the defendant's view of, and
counsel's view, about whether or not the attorney-client
relationship should continue. I know it's been denied at
one point in time, but she said that I had complete liberty
to review the thing and to review everything and to
determine where things were at.
19 ....
20 [Mr. Baker]: At that first hearing, I had asked for a--a

advisory counsel. You know, like see, in other words, that
I was educated back east in a school, Notre Dame. I am
not a--I'm of a--I know the law basically and I know how to-
-I'm of--of a stable mind, you know, and that I have
defended cases on--as pro se before. And that's why I was
saying that if because of the lack of me not having access
to my records that if I'm to bear the sins of this case
before you, with all due respect, you know, then I feel
that, you know, the issues--that I should be aware of the
issues in my case.
21 And so, therefore, like I'd asked for that--for an assistant,
as far as--like in Colorado law, as far as how Colorado
applies the law, I may have a defective [sic] in regards to
a how you apply it. But as far as basic law and research, I
do know law and research, and I'd like to go through this
pro se.
22 At the hearing, the magistrate judge questioned Mr. Harris

and Mr. Baker about the status of their relationship, Mr.
Baker's understanding that appointing new counsel would
most likely necessitate his waiving his right to a speedy
trial, and Mr. Mitchell Baker's willingness to serve as
advisory counsel. At the end of the hearing, the
magistrate judge stated that he would immediately
contact Mitchell Baker, an attorney Mr. Baker had
selected from the list of attorney's available for
appointment, to see if he would be willing to undertake
the case as advisory counsel and dismissed Mr. Harris
from the case.
23 Later that day, the prosecuting attorney and Mr. Baker,

appearing pro se, held a hearing before the district court
regarding the morning's hearing before the magistrate
judge. At this hearing the district court established that
Mr. Harris had been excused from the case and that the
magistrate judge was attempting to contact as a
replacement Attorney Baker. At this point, Defendant
Baker again attempted to express his desire to represent
himself, to which the district court responded:
24 But you've not been trained in the law. That's the

problem, and that was what concerned me before and it's
what concerns me now.
25 If you're going to have a day in court, you need an

attorney. And I'd like you to see if you can work with [the
magistrate judge] to see if we can get an attorney for you.
If you absolutely insist that you want to represent
yourself--and I strongly advise you not to--then at least
you should have an advisory attorney.
26 Attorney Baker agreed to serve as counsel for Defendant

Baker. On July 17, 1995, the first day of trial, Attorney
Baker made his first appearance before the district court
and noted:
27 Mr. Baker: Your Honor, there is another matter, and I

apologize for the delay; but I think it needs to be brought
up sooner rather than later.
28 Mr. Baker and I were both under the impression that I was
advisory counsel until this past Wednesday.
29 The Court: And I was not, because I asked the Magistrate

Judge to appoint Counsel.
30 Mr. Baker: I understand that. And what had happened,

your Honor, is I believe the magistrate had spoken with
Mr. Baker and then had a rather lengthy conversation with
me which dealt with the issue of being advisory counsel.
Consequently, I approached this case as advisory counsel
up until I found out from Mr. Hein last week that I was
trial counsel. I've discussed that with Mr. Baker and I
know Mr. Baker wants to indicate to the Court what his
feelings are regarding representing himself.
31 The Court: Do you think we can do that tomorrow, also?

I'd like to try to ask a few more questions of the jury and
let them go.
32 I have indicated through my law clerk--and I'll tell Mr.

Baker now--that I will give him every opportunity to confer
with you, make suggestions to you, give you--you know,
have him come up to the bench; but it's my honest and
sincere experience that he's much better off with counsel
than just trying to do this himself with advisory counsel.
33 The next day, Attorney Baker again discussed the

misunderstanding that had occurred regarding his
appointment as advisory or trial counsel, which concluded
with the following exchange:
34 The Court: It's totally hearsay--I haven't talked to [the

magistrate judge]--but apparently he did tell Mr. Hein that
he did appoint you as counsel because that is what the
Court wanted okay. Is there any problem on that score?
35 [Attorney] Baker: Not for me. I know the problem is for Mr.
Baker, who continues to wish to represent himself, your
Honor. I'll do whatever the Court has ordered me to do,
and I don't have any problem with that whatsoever.
36 The Court: You know, there has been too many times
when I've had a defendant want to represent himself
totally mess up the trial and come in later with motions
that he was not properly represented; and I've seen that
happen in state court, too.
37 [Attorney] Baker: I can assure the Court that I'm not

chomping at the bit to be advisory counsel, but I was
basically trying to do what I was told.
38 The Court: Thank you. Anything you want to say about the
two motions?
39 In light of the above record, the government's position

that Mr. Baker's desire to represent himself was not
"clear and unequivocal" is disingenuous. From his initial
appearance before the court to the first day of his trial,
Mr. Baker consistently stated his desire to represent
himself. While Mr. Baker did request an advisory counsel,
this by no means waived or lessened his right to
represent himself. See United States v. Padilla, 819 F.2d
952, 959 (10th Cir.1987) ("once a defendant has declared
his desire to proceed pro se, appointment of standby
counsel is a preferred, though not mandatory, practice").
Furthermore, there have been no allegations nor evidence
that Mr. Baker was incompetent to knowingly and
intelligently waive his right to counsel.
40 The district court's reasons for disallowing Mr. Baker to

represent himself are contrary to precedent. The district
court focused on Mr. Baker's lack of legal knowledge and
its concern that without an attorney he would not have
his day in court. We have held "that a court determination
that an accused lacks expertise or professional
capabilities cannot justify denying the right of self-
representation." United States v. Bennett, 539 F.2d 45, 51
(10th Cir.), cert. denied, 429 U.S. 925, 97 S.Ct. 327, 50
L.Ed.2d 293 (1976). Any prejudice Mr. Baker may have
suffered by foregoing his right to legal representation was
a risk he knowingly wished to incur. It is also important to
note that the district court's concern of Mr. Baker being
successful in an appeal on the ground of ineffective
assistance of counsel was unfounded as "a defendant
who exercises his right to appear pro se cannot thereafter
complain that the quality of his own defense amounted to
a denial of effective assistance of counsel." Wiggins, 465
U.S. at 177, 104 S.Ct. at 950 (internal quotations omitted).
41 In this case, Mr. Baker clearly and unequivocally

requested the right to represent himself in a timely
manner. It is evident from the record that Mr. Baker
understood his rights and wished to knowingly waive
them. There is no indication that he was incompetent to
do so. We are sympathetic to the difficulties district
courts face in cases involving pro se litigants; however, in
a situation such as this, we are compelled to reverse Mr.
Baker's conviction and remand for a trial free from
constitutional error. See McKinley, 58 F.3d at 1483.
42 REVERSED AND REMANDED.

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84 F.

UNITED STATES of America, Plaintiff-Appellee,

United States Court of Appeals,

May 21, 1996.

Henry L. Solano, United States Attorney, and William

Mitchell Baker, Denver, Colorado, on the briefs for

Before BRORBY, EBEL and HENRY, Circuit Judges.

BRORBY, Circuit Judge.

1 After examining the briefs and appellate record, this panel

2 A jury found Leroy Walter Baker guilty of two counts of

3 A criminal defendant has a constitutional and a statutory

4 The government claims Mr. Baker "did not make a clear

5 Mr. Harris: .... We have a preliminary matter which I'd like

6 The Court: Go ahead.

8 The Court: His motion is denied. Let's proceed. I've had

10 Mr. Harris: .... He has some pretty strong ideas as to how

11 I think frankly the result is likely to be the same, is likely

12 If nothing else, I would ask simply that your Honor hear

14 There are so many statutes and so many rules that have

16 At this point the district court listened to Mr. Baker's

17 On June 15, 1995, Mr. Baker appeared in front of the

18 [Magistrate]: [The district court judge] wanted me to hold

20 [Mr. Baker]: At that first hearing, I had asked for a--a

22 At the hearing, the magistrate judge questioned Mr. Harris

23 Later that day, the prosecuting attorney and Mr. Baker,

24 But you've not been trained in the law. That's the

25 If you're going to have a day in court, you need an

26 Attorney Baker agreed to serve as counsel for Defendant

27 Mr. Baker: Your Honor, there is another matter, and I

29 The Court: And I was not, because I asked the Magistrate

30 Mr. Baker: I understand that. And what had happened,

31 The Court: Do you think we can do that tomorrow, also?

32 I have indicated through my law clerk--and I'll tell Mr.

33 The next day, Attorney Baker again discussed the

34 The Court: It's totally hearsay--I haven't talked to [the

37 [Attorney] Baker: I can assure the Court that I'm not

39 In light of the above record, the government's position

40 The district court's reasons for disallowing Mr. Baker to

41 In this case, Mr. Baker clearly and unequivocally

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