Orem City v. Bergstrom
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IN THE UTAH COURT OF APPEALS
----ooOoo----
Orem City,
Plaintiff and Appellee,
v.
Travis L. Bergstrom,
Defendant and Appellant.
OPINION
(For Official Publication)
Case No. 981690-CA
F I L E D
December 2, 1999
1999 UT App 350
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Fourth District, Orem Department
The Honorable John Backlund
Attorneys:
Brett J. Delporto and Gregory
G. Skordas, Salt Lake City, for Appellant
Robert J. Church, Orem,
for Appellee
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Before Judges Billings, Davis, and Jackson.
JACKSON, Judge:
¶1.
Travis L. Bergstrom appeals
the trial court's denial of his Motion for a New Trial and Motion for Arrest
of Judgment. We reverse and remand for a new trial.
BACKGROUND
¶2.
Bergstrom was charged with
stalking, a class B misdemeanor in violation of Utah Code Ann. § 76-5-106.5
(1999). At his arraignment, Bergstrom asked the trial court what he must
do to secure a public defender. After asking about Bergstrom's age and
employment, the trial court denied Bergstrom's request for court-appointed
counsel.(1)
¶3.
Bergstrom then proceeded
to prepare for trial pro se. He made a timely discovery request to Orem
City (the City), dated April 24, 1998. However, the City did not respond
to Bergstrom's discovery request until after the trial, which was held
on June 8, 1998. Bergstrom represented himself at the bench trial, and
presented two witnesses. He was convicted of stalking and sentenced to
six months in jail, with all but fourteen days suspended.
¶4.
Shortly after the trial,
Bergstrom hired an attorney and moved for a new trial or for an arrest
of the judgment. The trial court denied those motions, and Bergstrom now
appeals.
ISSUES AND STANDARDS OF REVIEW
¶5.
"A district court has broad
discretion in deciding whether to grant or deny a motion for a new trial."
Child v. Gonda, 972 P.2d 425, 428 (Utah 1998). Bergstrom contends
the trial court erred by determining that he was not indigent and denying
him court-appointed counsel, and that this error warrants a new trial.
"[T]he underlying empirical facts regarding [a] claim of indigency are
reviewable for clear error; the conclusion as to whether those facts qualify
the defendant as indigent is reviewable for correctness." State v. Vincent,
883 P.2d 278, 281 (Utah 1994). Because our resolution of this issue is
dispositive of Bergstrom's appeal, we need not address his remaining arguments.
ANALYSIS
¶6.
Bergstrom argues that the
trial court failed to comply with the statutorily mandated procedure for
determining whether a defendant is indigent, and this error requires reversal.
The City counters that Bergstrom had the burden of proving his indigence,
and that he failed to carry that burden.
¶7.
A criminal defendant's right
to counsel is guaranteed by the Sixth Amendment to the United States Constitution.(2)SeeState
v. Bakalov, 979 P.2d 799, 808 (Utah 1999). "If an accused is indigent,
he is entitled to court-appointed counsel." State v. Heaton, 958 P.2d 911, 917 (Utah 1998). "The right to have the assistance of counsel
in a criminal trial is a fundamental constitutional right which must be
jealously protected by the trial court." Id.; accordGideon v.
Wainwright, 372 U.S. 335, 344, 83 S. Ct. 792, 796 (1963) (stating "in
our adversary system of criminal justice, any person haled into court,
who is too poor to hire a lawyer, cannot be assured a fair trial unless
counsel is provided for him"). 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. That which is simple, orderly and necessary
to the lawyer--to the untrained layman--may appear intricate, complex and
mysterious.
Johnson v. Zerbst, 304 U.S. 458, 462-63, 58 S. Ct. 1019, 1022 (1938).
¶8.
"However, the right to appointed
counsel is not absolute. . . . When a defendant is charged with a misdemeanor
crime, counsel is not necessarily guaranteed." Layton City v. Longcrier,
943 P.2d 655, 658 (Utah Ct. App. 1997) (citation omitted), cert. denied,
953 P.2d 449 (Utah 1997), and cert. denied, 523 U.S. 1125, 118 S. Ct. 1811 (1998). Rather, the right to counsel for a defendant charged with
a misdemeanor attaches only if the court determines, pretrial, to impose
jail time. See Scott v. Illinois, 440 U.S. 367, 369, 99 S. Ct. 1158, 1160 (1979); Agersinger v. Hamlin, 407 U.S. 25, 40, 92 S. Ct. 2006, 2014 (1972). In this case, Bergstrom was sentenced to serve
fourteen days of a six-month sentence. Thus, his Sixth Amendment right
to counsel was implicated.(3) "The denial
of the constitutional right to counsel requires reversal." In re W.B.J.,
966 P.2d 295, 296 (Utah Ct. App. 1998). Accordingly, we must determine
whether the trial court properly denied Bergstrom's request for appointed
counsel. If not, we must reverse.
¶9.
The record shows that the
court considered only two facts pertinent to Bergstrom's claim of indigence:
his age and his employment status. This inquiry does not begin to meet
the degree of scrutiny necessary to protect the fundamental right to the
assistance of counsel. "Determining whether a defendant [is indigent] is
a fact-intensive inquiry," requiring a consideration of the defendant's
entire financial situation. State v. Vincent, 883 P.2d 278, 283
(Utah 1994). Our supreme court has stated that courts making an indigency
determination should consider the defendant's "'employment status and earning
capacity; financial aid from family or friends; financial assistance from
state and federal programs; [the defendant's] necessary living expenses
and liabilities; [the defendant's] unencumbered assets, or any disposition
thereof, and borrowing capacity.'" Id. at 283-84 (citation &
footnotes omitted) (alterations in original).
¶10.
After Vincent was
decided, our legislature enacted the Indigent Defense Act, Utah Code Ann.
§§ 77-32-101 to -704 (1999) (the Act). The Act codifies and implements
the procedural protections afforded by the Sixth Amendment. See
Utah Code Ann. § 77-32-301(1) (1999) (requiring "counsel for each
indigent who faces the substantial probability of the deprivation of the
indigent's liberty").
¶11.
The Act further details
the necessary inquiry into a criminal defendant's claim of indigence. When
a defendant has asked for court-appointed counsel,
the [trial] court
shall consider:
(i) the probable
expense and burden of defending the case;
(ii) the ownership of, or
any interest in, any tangible or intangible personal property or real property,
or reasonable expectancy of any such interest;
(iii) the amounts of debts
owned by the defendant or that might reasonably be incurred by the defendant
because of illness or other needs within the defendant's family;
(iv) number, ages, and relationships
of any dependents; and
(v) other relevant factors.
Utah Code Ann. § 77-32-202(3)(b)
(1999) (emphasis added). Section 77-32-202 "squarely places on trial courts
the burden of ensuring that constitutional and [statutory] requirements
are complied with." State v. Gibbons, 740 P.2d 1309, 1312 (Utah
1987) (guilty plea context).
¶12.
In this case, the trial
court considered none of the factors articulated in Vincent or in
Section 77-32-202 of the Act. We therefore hold that the trial court's
inquiry into Bergstrom's claim of indigence was deficient as a matter of
law and violated his Sixth Amendment right to the assistance of counsel.
Accordingly, we reverse and remand for a new trial.
¶13.
Because this issue has not
appeared before our courts, but is likely to in the future, "a statement
of the law concerning [indigency determinations under section 77-32-202]
in all trial courts in this state is appropriate." Gibbons, 740 P.2d at 1312 (providing similar guidance regarding guilty pleas). When
a criminal defendant who faces the threat of actual incarceration asks
for court-appointed counsel, it is the court's duty to advise the defendant
of the financial information it needs to properly evaluate the claim of
indigence.
¶14.
Providing a defendant with
a written form would ensure that the defendant clearly understands what
information the court needs to evaluate a claim of indigence. The affidavits
of indigence currently in use, see, e.g., Utah Code Ann. §
77-32-202(2)(a) (1999) (requiring defendants charged with class A misdemeanor
or felony to file affidavit "contain[ing] the factual information required
in this section and by the court"), or some similar financial statement
form would serve this purpose well.(4) Once
the defendant has been advised what information he or she must provide,
the burden then shifts to the defendant to supply this information. See
Vincent, 883 P.2d at 283.
¶15.
"This procedure may take
additional time, but constitutional rights may not be sacrificed in the
name of judicial economy. The procedure outlined is designed to assist
trial judges in making the constitutionally required determination" whether
a defendant is truly indigent and deserving of court-appointed counsel.
Gibbons, 740 P.2d at 1314. The fundamental right to counsel deserves
all practical safeguards to protect it, and we feel it prudent to err on
the side of caution.
Other Issues Raised on Appeal
¶16.
Because we hold that the
trial court's error was harmful as a matter of law and warrants reversal,
we need not determine whether the other claimed errors were harmful, or
whether we should invoke the doctrine of cumulative error. See State
v. Heaton, 958 P.2d 911, 919 (Utah 1998) (declining to address other
arguments raised on appeal because improper waiver of right to counsel
"is dispositive").
CONCLUSION
¶17.
The trial court erred as
a matter of law when it determined that Bergstrom was not indigent based
solely on his age and employment status. This error affected Bergstrom's
Sixth Amendment right to assistance of counsel. Accordingly, we reverse
and remand for a new trial.
______________________________
Norman H. Jackson, Judge
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¶18.
WE CONCUR:
______________________________
Judith M. Billings, Judge
______________________________
James Z. Davis, Judge
1. The
actual exchange was as follows:
BERGSTROM: How do
I go about receiving [a] public defender? I can't afford an attorney.
THE COURT: How old are you,
Mr. Bergstrom?
BERGSTROM: 30 years old,
sir.
THE COURT: Okay. And do
you have a job?
BERGSTROM: Yes, I do.
THE COURT: And I'm going
to deny your request for appointment of counsel. You're an adult male.
You're 30 years old. You're old enough to make a living for yourself, and
I assume you're old enough to retain an attorney. So if you will see the
clerk, she'll give you a copy of that order.
2. The Sixth
Amendment provides,
In all criminal
prosecutions, the accused shall enjoy the right to a speedy and public
trial, by an impartial jury of the State and district wherein the crime
shall have been committed, which district shall have been previously ascertained
by law, and to be informed of the nature and cause of the accusation; to
be confronted with the witnesses against him; to have compulsory process
for obtaining witnesses in his favor, and to have the Assistance of counsel
for his defence.
U.S. Const. amend. VI.
3. It makes no difference in our analysis that a municipality--rather than the State or federal government--is the prosecuting entity. See City of St. George v. Smith, 828 P.2d 504, 506 (Utah Ct. App. 1992).
4. We note that a defendant such as Bergstrom, who was charged with a class B misdemeanor, need not actually file the affidavit with the court. See Utah Code Ann. § 77-32-202(2)(b) (1999). Nonetheless, establishing a uniform procedure that does not differentiate among defendants will make the trial court's job in this respect easier. Whether the defendant is required to formally file the affidavit or not, providing the affidavit or some similar form is a simple way for the court to gather the information required by our case law and statutes.
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