Opinion ID: 2637056
Heading Depth: 3
Heading Rank: 1

Heading: Defendant's asserted incompetency to stand trial; trial court's failure to hold hearing on competency

Text: Defendant contends his conviction was obtained in violation of his right to due process (U.S. Const., 14th Amend.; Cal. Const., art. I, งง 7, 15) because he was incompetent to stand trial and the trial court nevertheless failed to hold a hearing, pursuant to section 1368, on the question of his competency. Trying him while he was incompetent, he further contends, deprived him of numerous other state and federal constitutional rights, including the rights to a fair trial, trial by jury, confrontation and cross-examination, presentation of a defense, effective assistance of counsel, equal protection, and reliable guilt and penalty phase verdicts as guaranteed by the Fifth, Sixth, Eighth and Fourteenth Amendments to the United States Constitution, and their California counterparts, article I, sections 7, 15 and 17. To restate general principles applicable to this issue: A person cannot be tried or adjudged to punishment while mentally incompetent. (ง 1367, subd. (a).) A defendant is mentally incompetent if, as a result of a mental disorder or developmental disability, he or she is unable to understand the nature of the criminal proceedings or to assist counsel in the conduct of a defense in a rational manner. {Ibid.) When the accused presents substantial evidence of incompetence, due process requires that the trial court conduct a full competency hearing. { People v. Stanley (1995) 10 Cal.4th 764, 804, 42 Cal.Rptr.2d 543, 897 P.2d 481; Pate v. Robinson (1966) 383 U.S. 375, 377, 86 S.Ct. 836, 15 L.Ed.2d 815.) `Evidence is substantial if it raises a reasonable doubt about the defendant's competence to stand trial.' { People v. Danielson (1992) 3 Cal.4th 691, 726, 13 Cal.Rptr.2d 1, 838 P.2d 729, overruled on other grounds in Price v. Superior Court (2001) 25 Cal.4th 1046, 1069, fn. 13, 108 Cal.Rptr.2d 409, 25 P.3d 618.) ( People v. Lawley (2002) 27 Cal.4th 102, 131, 115 Cal.Rptr.2d 614, 38 P.3d 461.) When there exists substantial evidence of the accused's incompetency, a trial court must declare a doubt and hold a hearing pursuant to section 1368 even absent a request by either party. (See People v. Aparicio (1952) 38 Cal.2d 565, 568, 241 P.2d 221; ง 1368, subd.(a).) Claiming that that condition is met here, defendant asserts he was unable to cooperate with and assist his original appointed counsel in his defense and that after becoming his own counsel, he was unable to competently prepare and present his own defense. Prior to trial, defendant fired several investigators, being unableโhe now contendsโ to interact with them in a rational manner. Defendant characterizes his trial as a travesty, punctuated with fits of his incoherent rambling and nonsensical statements, an irrational defense based on self-defense against a nonexistent knife and a delusional belief that the shot he fired into the victim's abdomen did not really hurt him, as well as an untenable suggestion that the paramedics actually killed the victim by negligent treatment. Defendant further asserts that he presented a number of witnesses in his defense who were either not helpful or damaging to the defense. Examination of the record fails to support defendant's claim of incompetency to stand trial. Even supposing defendant is correct that the various examples of his rambling, marginally relevant speeches cited in his briefing may constitute evidence of some form of mental illness, the record simply does not show that he lacked an understanding of the nature of the proceedings or the ability to assist in his defense. To the contrary, defendant (who, it will be recalled, had had extensive prior experience with the criminal justice system) put on evidence, conducted cross-examination and testified on his own behalf. Despite his early difficulties in working with former appointed counsel and investigators, by the time of trial he apparently enjoyed a good working relationship with his investigators. That his witness list expanded as his investigation progressed is hardly proof that his defense was based on delusion. And, although the jury ultimately credited the prosecution's evidence over defendant's version of the shooting, his story contained no bizarre content, as opposed to mere exaggeration or lies. Defendant's case thus is distinguishable from Howard v. State (Miss.1997), 701 So.2d 274, on which he relies. In Howard, the Mississippi Supreme Court reversed a murder conviction and death sentence on the basis, inter alia, that the trial court had erred in failing to declare a doubt as to the defendant's competency and, without ordering proceedings to determine his competency, in permitting him to act as his own attorney at trial. When, after some two years of pretrial delay, Howard insisted his appointed counsel be granted no further continuances, the trial court informed him he would have to cooperate with his attorneys and accept their judgment as to the timing of the trial, or else he could represent himself. Howard elected the latter course. He proceeded immediately to trial without filing any pretrial motions or exercising any challenges during voir dire, even as he objected to the prosecutor's offer to excuse prospective jurors who clearly were biased against Howard. Although the prosecution's case rested almost entirely on forensic bite-mark evidence, Howard made no attempt to challenge or counter that evidence. His questioning of witnesses rarely had any relevance to the issues in the case. (Id. at pp. 278-279.) For example, Howard questioned the firemen who discovered the victim's body on the subject of the fire department's hiring practices. While apparently hoping to elicit information about an imagined conspiracy so complicated that it never took shape even in his own mind, he questioned a witness as to whether it was unusual for an elderly person such as the victim to have a driver's license. (Ibid.) Howard's theory was that Howard's own family members had killed the victim and were framing him; he even suggested one of the jurors might have committed the crime. (Ibid.) During the one-hour sentencing phase, Howard refused to say anything to the jury. The trial judge never ordered a competency hearing, although prior to trial he did enter an order requiring that Howard undergo a mental examination, with which Howard refused to cooperate. On various occasions each of the four attorneys appointed to represent or assist Howard articulated to the court their concern that he was incompetent to stand trial. The Mississippi Supreme Court concluded the trial judge was thus apprised of information that should have raised a doubt about Howard's competency and that the court erred in permitting Howard to represent himself without first determining his competency. (Id. at pp. 280-284.) In the present case, prior to defendant's exercise of his right to self-representation, his appointed counsel never raised any question concerning defendant's competency. Unlike Howard, defendant took an active role in pretrial proceedings and voir dire. Moreover, he questioned witnesses concerning the facts of the case and the character of the victim, although his shaky grasp of the concept of legal relevancy did not well serve his cause. Defendant testified and presented argument on his own behalf, although he did not, as a competent attorney would, attempt to develop a persuasive case in mitigation. These deficiencies in his self-representation suggest not incompetency to stand trial but, rather, the lack of legal training common to most pro se defendants. Defendant's appellate briefing makes much of his oral references, at trial, to unfairness in the proceedings and his accusations of misconduct against the prosecutor; defendant labels this behavior paranoid and insists it demonstrates incompetency to stand trial. The briefing, however, overlooks the context of the cited remarks: When he complained of unfairness, defendant was undergoing cross-examination by the prosecutor and the course of trial evidently was not proceeding entirely to his liking. The record before us lacks substantial evidence demonstrating defendant was incompetent to stand trial. Defendant contends Magistrate Goff, who heard and decided his motion to waive the assistance of counsel and to represent himself pursuant to Faretta, supra, 422 U.S. 806, 95 S.Ct. 2525, 45 L.Ed.2d 562, unequivocally expressed a doubt regarding defendant's competency, yet erroneously failed to suspend proceedings to have him evaluated pursuant to section 1368. Contrary to defendant's claim, we do not read the record as showing the magistrate doubted defendant's competency to stand trial; rather, although the magistrate used the term competency, he seems only to have been expressing his reservations about defendant's intellectual capacity to provide adequate self-representation. The question arose in the following context: As noted (see ante, fn. 3), at the preliminary hearing on the homicide charge, defendant was represented by Attorney Vincent O'Brien. After the prosecution presented its case, Magistrate Goff held defendant to answer and, in his capacity as cross-designated judge in the county's superior and municipal courts, deemed the complaint on file to be an information. Attorney O'Brien waived arraignment on the information, and defendant entered not guilty pleas and denied the enhancement allegations. The magistrate then asked defendant whether he was able to hire a private attorney, to which defendant replied: Oh, I'd like to go pro per, your Honor. And I'd like to make another motion at this time. Defendant stated, I make a motion for representing myself. On inquiry by the court, the prosecutor commented: As foolish as it may be, it is my understanding he has a right to do that. If I had any say in it, I'd oppose it. The court responded: I don't know how you can oppose. You may have some information I don't have. The court inquired into the possibility of appointing Attorney O'Brien as advisory counsel, but O'Brien noted (and defendant confirmed) he wished to represent himself without the benefit of advisory counsel. The court proceeded to advise defendant of his right to the appointment of counsel and the perils of self-representation, and permitted defendant to discuss his legal training. Defendant stated: I was a member of National Lawyers Guild at Folsom Prison. We have a charter there. I specialized in appeals. Helped some men get out. And my exact specialty was motions, over twenty motion[s] to the court. I only had one denied. And lot of times I was harassed by the guards. So I had to use a paper and pencil. Was able to make trips from Folsom Prison to the courts on just a piece of paper and pencil. Quoted as having unusually legible handwriting. I have a two yearsโon average, I'm literate; not a dummy. And my reason for this is I'm not getting, huh, the kind of defense that I need. And I need the freedom to give my side more than yes or no answers. Defendant apologized to the court for earlier having made a slight outburst and sought to elaborate on why he wished to represent himself. The court discouraged him, saying: I would suggest that you say as little as possible. [ถ] You have a very able lawyer over there. [ถ] Mr. Maguire [the prosecutor], obviously you have seen him operate. He's a pro. Knows exactly what he's doing. And it's his job to prosecute you for this. And he will ask for the death penalty. I would suggest, if you really are competent to represent yourself, you wouldn't say anything about the case. Defendant persisted in commenting on the evidence just presented in the preliminary hearing. The court warned: Before you go any further, if you are competent to represent yourself you would know that the matter of your preliminary hearing, probable cause, has been decided. It's submitted. The court told defendant there was no use continuing to discuss the preliminary hearing evidence: So what, now, if you are demonstrating your knowledge of the law, what you are doing right now is telling me you really don't know anything, where you are not competent to represent yourself. That's what you are telling me at this point. (Italics added.) Defendant retorted, It requires very little competency in this particular case. Thus, up to this point in the hearing on defendant's Faretta motion, the context establishes that, in using the term competent, the court clearly was referring to defendant's legal knowledge or ability, rather than to any mental disability or disorder. The court then inquired further into defendant's legal training, understanding of the current charges and criminal history. This exchange concluded in the following manner: The [court]: In 1983, said you were sentenced to sixteen monthsโor sixteen years in state prison for 211. Andโ you had done your sixteen years, Mr. Martinez would still be alive, wouldn't he? [ถ] The Defendant: Mr. Martinez shouldn't attack me with a knife, your Honor. For the third time, it was justifiable. And that's my defense. The court then commented: Mr. O'Brien, I have serious questions about theโthe defendant's mental capacity. Looking at this rap sheet, I don't think there is any question that, well, no question has entered my mind about the insanity defense. I don't think there is aโappears to be one here. However, I think there isโobviously appears to be a pretty severe mental problem because he's certainly unable to function socially. Evidently anticipating an adverse ruling, defendant stated he would appeal the court's decision. After some further discussion of defendant's educational history, the court said: Well, I'm prepared at this point to grant the motion of self-representation for the sole reason I don't think I have any choice. [ถ] Mr. Maguire, do you think I have any choice? The prosecutor answered in the negative and asked that defendant be admonished he would not be allowed to delay the case by seeking an attorney on the eve of trial. The court accordingly advised defendant he was entitled to counsel, but that no judge would delay the trial to allow an attorney to represent him. Defendant interjected: I waive that. [ถ] Every time, I have waived no time. The court replied: I'm not talking about that. I'mโ Defendant interrupted, I [want] to get this over. The court finished: I'm talking about something entirely different. [ถ] Now I have serious reservations about Mr. Koontz' mental capacity to represent himself. And I feel a moral responsibility to point that out on the record. Although, as I say, there's no indication that he has a defense of insanity, that being the legal, medical, term. I'm certain that I would feel more comfortable in making a ruling if I could be assured he'd be examined by a competent analist [sic] to determine whether he's in fact competent. I think the test would be far different for a legal test of insanity. I understand the law doesn't provide for that. So we areโin any event, I have to grant the motion. Do so with reservations I put on the record. Defendant contends the court's serious questions about his mental capacity to represent himself constituted the expression of a doubt as to his competency to stand trial, requiring the institution of proceedings under section 1368. We disagree. Each instance in which the court questioned defendant's competency or mental capacity occurred immediately after some exchange in which the court highlighted deficiencies in defendant's legal abilities that cast doubt on the wisdom of his motion for self-representation. The court observed that nothing suggested defendant had a claim of legal insanity, and the sole reference to defendant's mental problems occurred in relation to a survey of defendant's extensive criminal history and apparent inability to function socially. While we find it unclear how an order for defendant's examination by an analyst might have caused the court to feel more comfortable in granting defendant's Faretta motion, we are unwilling to assumeโ as defendant would have us doโthat, in so ruling, the court used the term competency in a sense different from every other instance in which it had used the same word, and without acknowledging the statutory obligation to suspend proceedings, of which it may be presumed the court was aware. Indeed, in repeatedly inviting the prosecutor to articulate some legal basis for denial of the Faretta motion, the court seems implicitly to have been asking him to put on the record any information he possessed, such as mental health history, that might obviate the need to permit defendant to represent himself. And, as the Attorney General observes, as of the date of the hearing on defendant's Faretta motion, defense counsel had reported no particular conflicts or difficulties in dealing with defendant that might have been the product of a mental illness. Consequently, on this record we find no error in Magistrate Goff's failure to institute competency proceedings under section 1368.