Opinion ID: 1496299
Heading Depth: 1
Heading Rank: 2

Heading: control of defense

Text: Jacobs states that he had a right to present his defense on the merits and his right was denied by his counsel's presentation of an insanity defense over his objections. The Sixth Amendment to the United States Constitution includes a statement of the rights necessary to a full defense: In all criminal prosecutions, the accused shall enjoy the right . . . 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 (sic). Thus, this right is claimed to have been violated when counsel presented the defense of insanity over his objection, thereby undermining his defense of innocence. There was an incompatibility of the two defenses. No effort was made by trial counsel to present appellant's defense on the merits, although Jacobs' protestations of innocence were mentioned, at trial, by some witnesses. Faretta v. California, 422 U.S. 806, 95 S.Ct. 2525, 45 L.E.2d 562 (1975), provides not only that a defense shall be made for the accused, but it grants to the accused the right to make his defense, for it is he who suffers the consequences. The trial judge was initially on notice that Jacobs strenuously objected to a presentation of an insanity defense as Jacobs had communicated this position to the judge by letter. Counsel later argued the inconsistent positions to the court, and it was ruled, with the court addressing the attorneys, I think it's a decision to be made by you as counsel. The court also stated, I think we should proceed to jury selection. Your defense is entirely up to you. The court advised that any further questions would be taken up as they arose. Of the defenses to be presented, trial counsel chose the insanity defense. In the case of Dean v. Commonwealth, Ky., 777 S.W.2d 900 (1989), being an opinion published following the Jacobs trial, it was clearly stated that counsel must respect the defendant's authority to make critical decisions concerning his defense. Code of Professional Responsibility, EC 7-7, adopted by SCR 3.130. Dean, supra , reiterates that defense counsel generally controls strategic and tactical defense, after consultation with the client, but the decision to assert the defense of insanity may seriously compromise the defendant's chosen alternative defense, as well as threaten his liberty and reputational interests and other legal rights. Dean citing Frendak v. United States, 408 A.2d 364, 375-78 (D.C.App.1979). The Sixth Amendment constitutionalizes the right in an adversary criminal trial to make a defense as we know it. It is not stated in the amendment in so many words the right to make one's own defense personally, but it is implied by the structure of the amendment. It is a foregone conclusion that it is the accused who will suffer the consequences if the defense fails. See Faretta v. California, supra . Jacobs maintained his innocence, argued his right to present a defense on the merits, and protested the imposition of an insanity defense. Jacobs' counsel and the trial court were most aware of his position on this issue. Defense counsel felt compelled to ignore such position and to present what he considered the better defense, the insanity defense. Jacobs' Sixth Amendment right to present his defense of innocence was undermined by counsel's presentation of an insanity defense. Neither counsel nor the court has the power to contravene a defendant's voluntary and intelligent decision to forego an insanity defense. Dean v. Commonwealth, supra . Were we not reversing this judgment on the venue issue, the facts in the present case which are even more glaring than in Dean would require that the judgment be vacated and remanded. The Dean counsel complied in part with appellant's wishes by attempting to refute the Commonwealth's proof in his questioning of both prosecution and defense witnesses, and in his closing argument. There was documentation in the Dean case concerning the party's below-average intelligence and possible mental disorder. In Dean , this Court held that the conflict between the appellant's choice of a defense and that of defense counsel, was more apparent than real and did not require reversal, but that on retrial certain measures should be taken to guarantee a defendant's right to his defense. Moreover, when, after counsel has fully informed the defendant of the relevant considerations bearing upon the decision to forego an insanity defense and the defendant insists on an ill-advised course of action, counsel should bring the conflict to the attention of the trial court by seeking a determination of whether the accused is capable of voluntarily and intelligently waiving the defense. For, even if a defendant is found competent to stand trial, he may not be capable of making an intelligent decision about his defense. Dean, supra . This opinion constitutes no exercise of a newly discovered constitutional right and has but a singular intention to limit procedural confusion and limit this procedure as addressed to this factual dilemma. Upon retrial of this case, should the trial court feel that Jacobs is not mentally sufficient to waive the insanity defense, the court must determine whether Jacobs, notwithstanding competency to stand trial, is capable of voluntarily and intelligently waiving such defense. The inquiry and findings of the trial court shall be on the record, should later review be necessary. If the defendant is determined incapable of waiving the insanity defense, counsel must proceed as the evidence and his professional judgment permit. If the defendant is found capable of waiving the defense, both counsel and the trial court must proceed according to the defendant's wishes. Dean, supra . Therefore, we hold that upon retrial, should there be a conflict between Jacobs and defense counsel concerning asserting the defense of insanity, and should there be a question as to Jacobs' mental capacity, although found competent to stand trial, the trial court shall hold a hearing as to Jacobs' ability to voluntarily and intelligently understand and waive such defense, and such hearing shall be on the record, and upon the finding of the trial court as to Jacobs' ability to waive such defense, defense counsel shall be bound. Said otherwise, on this particular issue, it is the trial court who shall determine if the defendant is the master of his own defense and pilot of the ship.