Opinion ID: 867478
Heading Depth: 3
Heading Rank: 4

Heading: The Competency Findings

Text: ¶ 46 Moody claims that the trial court deprived him of due process by failing to adjudicate him incompetent. He argues that the trial judge erred by privately reviewing unidentified portions of the record in determining that Moody was competent, failing to conduct a competency hearing until just before commencement of the trial, applying the wrong standard of competency, and finding him competent despite insufficient evidence to support such a finding. Consequently, Moody urges that his Fifth, Sixth, and Fourteenth Amendment rights were violated and that his convictions must be reversed.
¶ 47 Moody alleges that the trial judge's review of the record on competency constituted an impermissible competency determination. However, the record contains no evidence that defense counsel ever objected to the trial judge's review of the record on competency. Consequently, Moody has waived this claim and we review only for fundamental error. See Bolton, 182 Ariz. at 297, 896 P.2d at 837. ¶ 48 Moreover, Moody appears to misperceive the record. Arizona Rule of Criminal Procedure 11.5(a) and State v. Blier, 113 Ariz. 501, 503, 557 P.2d 1058, 1060 (1976), require that any competency hearing be open to the parties and guarantee the right of the defendant to be present. A competency hearing is required, however, only [i]f the court determines that reasonable grounds for an examination exist. Ariz. R.Crim. P. 11.3(a); accord State v. Steelman, 120 Ariz. 301, 315, 585 P.2d 1213, 1227 (1978); State v. De Vote, 87 Ariz. 179, 182, 349 P.2d 189, 192 (1960); State v. Reid, 87 Ariz. 123, 126, 348 P.2d 731, 733 (1960). In determining whether reasonable grounds exist, a judge may rely, among other factors, on his own observations of the defendant's demeanor and ability to answer questions. See State v. Harding, 137 Ariz. 278, 286, 670 P.2d 383, 391 (1983) (upholding a trial court's determination that a defendant was competent to waive his right to counsel based on psychiatric reports and the trial court's own observations). Further, if a defendant has already been adjudicated competent, the court must be permitted to rely on the record supporting that previous adjudication. State v. Contreras, 112 Ariz. 358, 360-61, 542 P.2d 17, 19-20 (1975) (holding that before granting a second competency hearing, there must be some reasonable ground to justify another hearing on facts not previously presented to the trial court). ¶ 49 We presume that a court is aware of the relevant law and applies it correctly in arriving at its ruling. See State v. Medrano, 185 Ariz. 192, 196, 914 P.2d 225, 229 (1996). With this presumption in mind, Moody's contention that the trial judge's pretrial review of the record on competency was an unlawful private competency hearing must be rejected. Rather, the record reflects that the trial judge's actions were consistent with his obligation under Rule 11.2 to seek reasonable grounds before ordering a subsequent competency evaluation. Each time the judge denied a defense motion for a competency hearing, he indicated that the proffered evidence gave him no reason to question Moody's competency, which had previously been determined. This interpretation is supported by the fact that the trial judge never expressly found Moody competent, as would be required after a full Rule 11.5 competency hearing. See Ariz. R.Crim. P. 11.5(a). When finally presented with evidence that could possibly lead to reasonable grounds to question Moody's competency, the trial judge scheduled a hearing to determine whether such grounds existed. [4] We find no error in the trial judge's conduct, and certainly none that constitutes error of such dimensions that it cannot be said it is possible for [the] defendant to have had a fair trial. State v. Smith, 114 Ariz. 415, 420, 561 P.2d 739, 744 (1977). [5]
¶ 50 Moody claims that the trial judge applied the wrong standard in adjudicating him competent to stand trial. He notes that the standard for competency under Dusky v. United States, 362 U.S. 402, 80 S.Ct. 788, 4 L.Ed.2d 824 (1960), is two-pronged: The court must be satisfied (1) that the defendant has a sufficient present ability to consult with his lawyer with a reasonable degree of rational understanding and (2) that he has a rational as well as factual understanding of the proceedings against him. Moody claims that the trial court applied only the second part of that standard and ignored whether he had the ability to assist counsel when it denied his motion for a Rule 11 hearing. Moody bases his argument on the trial judge's statement that Moody knows who his lawyer is, he knows who the judge is, he certainly knows who Mr. White is, and he knows what he's charged with. ¶ 51 This argument suffers from the same misunderstanding that doomed Moody's previous claim, namely, the failure to distinguish between a determination of whether reasonable grounds exist to justify a competency hearing and findings following an actual competency hearing. The cited statement was made in response to Moody's motion for a Rule 11 hearing. Thus, it was clearly a statement of reasonable grounds, not an adjudication of competency. ¶ 52 Because this statement did not resolve an adjudication of competency, the incomplete rendition of the competency standard does not by itself require reversal. Rather, the critical inquiry is whether the trial court actually applied the correct standard in determining that reasonable grounds did not exist to call for a competency hearing. See, e.g., State v. Borbon, 146 Ariz. 392, 395, 706 P.2d 718, 721 (1985). Reasonable grounds exist if there is sufficient evidence to indicate that the defendant is not able to understand the nature of the proceedings against him and to assist in his defense. State v. Salazar, 128 Ariz. 461, 462, 626 P.2d 1093, 1094 (1981). ¶ 53 We presume that a court is aware of the relevant law and applies it correctly in arriving at its rulings. See Medrano, 185 Ariz. at 196, 914 P.2d at 229. After reviewing a report from Dr. Goldberg stating that Moody was unable to reliably and consistently assist his counsel at this time (emphasis in original), the trial judge confess[ed] to having some concerns at this point about the record on competence. Because Dr. Goldberg's report was focused on Moody's inability to consistently assist counsel, the trial judge's concerns about competency after reading that report show that he was aware of the relevant standard. In light of this record, and the presumption that the trial judge is aware of the proper standard on competency, we cannot agree with Moody's argument that the trial court's lone statement in denying a motion for a Rule 11 hearing constitutes reversible error. See id. (rejecting a defendant's argument that the trial judge based his decision on inappropriate considerations, finding that the remainder of the record showed that the court was aware of and correctly applied the relevant law).
¶ 54 Moody asserts that there was insufficient evidence to support a finding of competency in this case. Specifically, he claims that there was no reasonable evidence that he was capable of assisting counsel. As a result, he argues, the case law requires that his convictions be reversed. See Pate v. Robinson, 383 U.S. 375, 86 S.Ct. 836, 15 L.Ed.2d 815 (1966); Dusky, 362 U.S. at 402-03, 80 S.Ct. 788; State v. Bishop, 162 Ariz. 103, 781 P.2d 581 (1989). ¶ 55 We will upset a trial court's determination of a criminal defendant's competency only for an abuse of discretion. State v. Silvas, 91 Ariz. 386, 391, 372 P.2d 718, 722 (1962) (citing Reid, 87 Ariz. at 123, 348 P.2d at 731). ¶ 56 Arizona Rule of Criminal Procedure 11.1 states that [a] person shall not be tried, convicted, sentenced or punished for a public offense ... while, as a result of a mental illness, defect, or disability, the person is unable to understand the proceedings against him or her or to assist in his or her own defense. Rule 11.1 defines mental illness, defect or disability as a psychiatric or neurological disorder that is evidenced by behavioral or emotional symptoms. However, the mere presence of a mental illness, defect, or disability is not grounds for finding a defendant incompetent to stand trial. Ariz. R.Crim. P. 11.1. Rather, the test for competency is whether that mental illness or defect renders a criminal defendant unable to understand the proceedings against him or her or to assist in his or her own defense. Id. ¶ 57 Immediately before the second trial, the court held a hearing at which Dr. Goldberg testified about Moody's difficulties in assisting counsel. Following that hearing, the trial judge affirmed an earlier ruling that he had no grounds to question Moody's competency to stand trial. Moody asserts that this was error. ¶ 58 There is no evidence before this court, however, that the trial judge abused his discretion in finding Moody competent to stand trial or, conversely, in failing to find Moody incompetent to stand trial. In addition to the avowal of one of Moody's own attorneys that Moody was in fact competent and the judge's own observations, the trial judge also had before him the opinions of Drs. Potts, LaWall, Geffen, Morenz, and Sullivan, all of whom indicated that, despite his personality disorders, Moody was likely malingering or faking mental illness and was capable of assisting defense counsel. Dr. Goldberg was the only expert who testified at the May 7, 2001 hearing, and even he testified only that Moody was unreliable and inconsistent in his abilities to assist defense counsel. Inconsistency in assisting counsel may fall short of inability to do so, the standard set forth in Rule 11.1. Moreover, the trial judge might have found Dr. Goldberg's testimony less credible than that of the other doctors. Consequently, without any further showing, we cannot conclude that the trial judge abused his discretion in failing to find Moody incompetent to stand trial. See Silvas, 91 Ariz. at 391, 372 P.2d at 722 (applying abuse of discretion standard).