Opinion ID: 354030
Heading Depth: 1
Heading Rank: 1

Heading: Phipps continuance because of amnesia

Text: 7 Prior to trial Phipps moved for a dismissal. 1 Phipps claimed that he suffered amnesia and was unable to recall the telephone calls to Swanson or mailing the letters, although he had otherwise normal recall of his activities between January 20 and February 12, 1976. Phipps contended that because of his inability to recall crucial events he was unable to participate in his defense and, thus, should not be required to stand trial. 8 Pursuant to 18 U.S.C. § 4244, Phipps was examined by his own and government psychiatrists. The defense's expert, Dr. Hendry, classified Phipps' inability to remember as hysterical amnesia and diagnosed Phipps as suffering from a dissociated state. Dr. Hendry had administered sodium amytal, a barbiturate, to Phipps. He testified that while under the influence of the drug Phipps was able to recall facts that, were he able to recount them on the stand, would either exculpate him or substantially rebut the government's case. The government psychiatrist did not directly contradict Dr. Hendry, although he testified that one suffering from the more usual sort of amnesia cannot recall anything that occurred during the amnesiac period. The court found Phipps capable of standing trial. 9 The federal standard for judging competency to stand trial prohibits trial if the court finds the accused to be presently insane or otherwise so mentally incompetent as to be unable to understand the proceedings against him or properly to assist in his own defense. . . . Dusky v. U. S., 362 U.S. 402, 80 S.Ct. 788, 4 L.Ed.2d 824 (1960), elaborated upon the § 4244 test and held that the 10 test must be whether (the defendant) has sufficient present ability to consult with his lawyer with a reasonable degree of rational understanding and whether he has a rational as well as factual understanding of the proceedings against him. 11 Several constitutional concerns underlie Dusky and § 4244. At bottom, § 4244 enforces the due process requirement that no person be convicted of a crime while he is incompetent to stand trial. See Pate v. Robinson, 383 U.S. 375, 86 S.Ct. 836, 15 L.Ed.2d 815 (1966). Beyond this elemental concern, Dusky makes clear that § 4244 also is concerned with protecting an accused's Fifth and Sixth Amendment rights to a fair trial and effective assistance of counsel. See Wilson v. U. S., 129 U.S.App.D.C. 107, 391 F.2d 460 (1968). 12 While bearing in mind these constitutional and statutory issues, we decline, as have all other courts to consider the problem, 2 to hold that amnesia per se constitutes incompetency to stand trial. Rather, recognizing that the fundamental fairness of trying an amnesiac defendant may vary depending on the crime and the circumstances surrounding the claimed loss of memory, we hold that the propriety of trying an amnesiac defendant is a question to be determined according to the circumstances of each individual case. 3 13 Although the competency determination cuts to the heart of the trial process, the standard for determining the competency of an amnesiac defendant must remain flexible. Amnesia is a complex condition that may be caused by a variety of factors. See Comment, Amnesia: A Case Study in the Limits of Particular Justice, 71 Yale L.J. 109 (1961). Because nonpathological amnesia may be difficult to ascertain, the district judge is in the best position to make a determination between allowing amnesia to become an unjustified haven for a defendant and, on the other hand, requiring an incompetent person to stand trial. 14 The inquiry may proceed on two levels. At the subjective level, the district court may apply the Dusky standard and look to the defendant's present ability to consult with counsel and to understand the proceedings against him. In evaluating the propriety of requiring the trial to proceed, the court may additionally consider other factors relevant to the defendant's particular situation. These might include the defendant's present ability to take the stand on matters other than the amnesiac event and whether the defendant suffers from some other pathological or psychological condition apart from the amnesia that hinders his present ability to participate in his defense. See U. S. v. Wilson, supra. One important factor is whether a continuance is likely to do any good. Granting a continuance to a defendant whose amnesia has been diagnosed as temporary may materially increase his ability to stand trial. If the amnesiac condition is unlikely to abate, the judge may question whether the defendant will ever be in any better position to stand trial. A presently incompetent defendant may never be able to stand trial and may have to be released. See Jackson v. Indiana, 406 U.S. 715, 92 S.Ct. 1845, 32 L.Ed.2d 435 (1972). On the other hand, a presently competent defendant whose amnesia seems permanent would not benefit from a continuance; moreover, because the continuance would delay the trial the recall of other witnesses would decrease, making it more difficult to give the amnesiac defendant a fair trial. Finally, the judge can evaluate the nature of the amnesia and the strength of the evidence that the condition is real and not feigned. 15 The necessity for a continuance should also be considered from the objective standpoint of whether the defendant can receive a fair trial despite his amnesia. Among the relevant questions bearing on fair trial and effective assistance of counsel which the judge might consider are these: Can the crime and the defendant's whereabouts be reconstructed without his testimony? The strength of the case against the defendant may make his own testimony less critical than in a weaker case. Would access to government files help the defendant prepare a defense? If information held by the prosecution could fill in gaps in the defendant's memory, the possibility of prejudice may be lessened. 16 Analyzing the district court's actions in the light of what we have said, we find no reversible error. We conclude that Phipps was able to consult with counsel and to participate in his defense and that he received a fair trial. 17 Both the psychiatrist for the defense and the psychiatrist for the government agreed that Phipps understood the charges against him and could assist his counsel in preparing and presenting the case. Moreover, because Phipps had good recall of events during the critical period except preparing and mailing the letters, he was able to testify and to present a case in his own behalf. Further, although both psychiatrists agreed that Phipps appeared to have suffered some type of amnesiac episode, it was possible to conclude from their testimony that Phipps could have been feigning memory loss and that, in any case, restoration of the lost memories would not materially aid his defense. The government psychiatrist testified that selective memory loss was uncommon and that if Phipps had been suffering hysterical dissociation, other symptoms, such as an alteration of his behavior, probably also would have been present. The defense was unable to refute this testimony. 18 In support of its motion the defense proffered a tape of the interview between Phipps and Dr. Hendry, his psychiatrist, conducted while Phipps was under the influence of sodium amytal administered by Dr. Hendry. The district judge listened to the tape, and the parties agree that parts of it tended to show that Phipps was able to recall that he had discussed the scheme with Swanson and Adamson as a joke or prank. Because Phipps had no conscious memory of the discussion with Swanson and Adamson or the drug-induced interview with Dr. Hendry, he claims that his amnesia denied him the ability to present the exculpatory defense of lack of intent. See Borum, supra. We reject this contention for several reasons. First, Phipps' attorney was able to cross-examine both Swanson and Adamson and to fully explore their knowledge of or participation in the scheme. Second, the reliability of the prank theory was questionable because both psychiatrists testified that sodium amytal did not guarantee the veracity of statements made under its influence. Finally, the tape of the sodium amytal interview further undercuts the force of the defense's theory because there is some indication that Dr. Hendry suggested to Phipps that the scheme might have been a joke. Thus, because Phipps' defense was not prejudiced substantially, if at all, the district judge did not err in concluding that a continuance would do little either to restore Phipps' memory or to further assist him in preparing a defense.