Opinion ID: 788340
Heading Depth: 2
Heading Rank: 8

Heading: Failure to order a competency hearing sua sponte

Text: 180 Since Fernandez raises the issue of his competence for the first time on appeal, we review for plain error the district court's failure to order a competency hearing sua sponte. Cf. United States v. Lorenzo, 995 F.2d 1448, 1456 (9th Cir.1993). The substantive standard for determining competence to stand trial is whether [Fernandez] had sufficient present ability to consult with his lawyer with a reasonable degree of rational understanding[,] and a rational as well as factual understanding of the proceedings against him. Torres v. Prunty, 223 F.3d 1103, 1106 (9th Cir.2000) (internal quotation marks and alterations omitted); see also 18 U.S.C. § 4241(a) (requiring court to order competency hearing sua sponte if there is reasonable cause to believe that the defendant may presently be suffering from a mental disease or defect rendering him mentally incompetent to the extent that he is unable to understand the nature and consequences of the proceedings against him or to assist properly in his defense). 181 Fernandez was entitled to a hearing on his competency to stand trial if a reasonable judge would have ... a `bona fide doubt' [about his] competence. Torres, 223 F.3d at 1108. A trial judge has a continuing, affirmative responsibility to ensure that a defendant is not tried while incompetent. See Medina v. California, 505 U.S. 437, 449, 112 S.Ct. 2572, 120 L.Ed.2d 353 (1992); Drope v. Missouri, 420 U.S. 162, 179, 95 S.Ct. 896, 43 L.Ed.2d 103 (1975); Miles v. Stainer, 108 F.3d 1109, 1112 (9th Cir.1997). Failure of the defense attorney to ask for a competency hearing may not be considered dispositive evidence of the defendant's competency. Odle v. Woodford, 238 F.3d 1084, 1088-89 (9th Cir.2001). 182 Although Fernandez is correct that a trial judge should order a competency hearing on its own motion if it has a good faith doubt about the defendant's competence to stand trial, there must be substantial evidence of incompetence. Deere v. Woodford, 339 F.3d 1084, 1086 (9th Cir.2003); Amaya-Ruiz v. Stewart, 121 F.3d 486, 489 (9th Cir.1997). Among the factors our court considers to determine whether there was sufficient evidence of incompetence are the defendant's irrational behavior, his demeanor in court, and any prior medical opinions on his competence. Miles, 108 F.3d at 1112 (emphasizing that [n]one of these factors is determinative. Any one of them may be sufficient to raise a reasonable doubt about competence.); see also Amaya-Ruiz, 121 F.3d at 489 (listing those three factors as suggestive evidence while noting that no particular facts signal incompetence). 183 Fernandez asserts that the trial judge's remarks, where he noted there were times when Fernandez either nodded off or had difficulty staying awake, indicate that the court was aware of facts that should have triggered a competency hearing. The government counters that the only evidence offered in support of Fernandez's claim of incompetence is the court's offhand comment about him made at the sentencing of a co-defendant. Fernandez offers no medical opinions of his mental competence at any time, much less during any period relevant to his trial. Nor is there evidence that he behaved irrationally at any time during the pre-trial, trial, or sentencing phases of the criminal proceedings. On the contrary, to the extent that it is possible to conclude anything about Fernandez's competence in the absence of medical reports, the record suggests that he understood the nature and consequences of the proceedings, communicated with his attorney, and was able to assist in his defense. 184 The only apparent reference during the trial to Fernandez's sleepiness occurred when defense counsel asked for his client to be excused on one day of the trial because he was falling asleep. When asked by the court, counsel explained that [Fernandez is] more than sleepy ... he's sick. And he's got a very bad headache that they gave him medication for this morning. The court informed Fernandez of his right to be present at stages of the criminal proceeding, offered him the option of remaining in court, and told him that he could leave but that he must personally consent to his absence. In a short exchange with the court, Fernandez then asked to be excused for the day because he felt pretty sick, and indicated that he understood that he could request to be brought back to court at any time. 185 Since the only evidence offered by Fernandez is the trial court's comment on his sleepiness, and there was no other evidence during his trial to suggest incompetence, we hold that the district court did not commit plain error by failing to order a competency hearing. See Williams v. Woodford, 306 F.3d 665, 704 (9th Cir.2002) (To the extent that Williams's dazed or inattentive demeanor was before the trial judge, we agree with the Eleventh Circuit that `there is no constitutional prohibition against the trial and conviction of a defendant who fails to pay attention in court— whether out of indifference, fear, confusion, boredom, or sleepiness—unless that defendant cannot understand the nature of the proceedings against him or adequately assist counsel in conducting a defense.') (quoting Watts v. Singletary, 87 F.3d 1282, 1287 (11th Cir.1996)). 186