People v. Baines (decided October 20, 2022)

Factual Background: Mr. Baines asked to proceed pro se while in pretrial proceedings for a case involving multiple charges related to sex trafficking. The court granted his request without inquiry and appointed an attorney as a “legal advisor.” At subsequent appearances, the court told Mr. Baines that self-representation was a bad idea but did not elaborate much beyond these brief warnings. The court also replaced Mr. Baines’ legal advisor two times upon request but never explained the contours of the role. Eventually, after representing himself for 21 months of pretrial motion practice, Mr. Baines asked that his third appointed “legal advisor” be allowed to represent him at his upcoming trial; upon conviction, he was sentenced to an aggregate term of 50 years.

On appeal before the First Department, Mr. Baines argued that he was deprived of the right to counsel at these pretrial proceedings because the court did not conduct the requisite “searching inquiry” to ensure the waiver of his right to counsel was knowing and voluntary. The First Department held that his right was not violated because “the combined effect” of warnings he received and other “indicia” of his ability to represent himself established a knowing waiver.

Issue Before the Court: Whether the various warnings issued to Mr. Baines by the trial court made it so that he effectively waived his right to counsel.

Held: On this record, the trial court did not conduct the requisite inquiry to ensure that Mr. Baines’ waiver of the right to counsel was knowing and voluntary. Rather than informing him of the “dangers and disadvantages of self-representation,” the court instead gave “brief, generalized” warnings that did not satisfy the requirements for a searching inquiry. Moreover, the court erred by failing to explain the differences between “standby counsel” and attorney representation. Thus, the Court of Appeals remanded so that Mr. Baines would have an opportunity to carry out any necessary pretrial motions and hearings while represented by counsel.

CAL Observes: While the Court’s holding is no doubt bolstered by the fact that the trial court conducted no inquiry at all when it first granted Mr. Baines’ pro se request, the opinion also reinforces that a court must safeguard the right to counsel by making sure that any waiver thereof is knowing and voluntary. The court stresses, as it has in the past, that the court need give no particular catechism in doing so, but also makes clear that simple, generalized warnings (such as repeatedly telling a defendant that going pro se is a “bad idea”) are not enough to constitute a “searching inquiry.” Moreover, one should note the importance of the Court’s discussion of the appointment of standby counsel: While it is allowed, a court appointing standby counsel should explain what role standby counsel serves and how that role differs from legal representation.