Opinion ID: 1211278
Heading Depth: 2
Heading Rank: 4

Heading: The Role of the Judge

Text: Guilt or innocence of the charge is usually decided by the jury, and most aspects of the trial are shaped to that expectation. However, the determination of competency to stand trial is always and exclusively a question for the court. See Rule 11.5; United States v. Davis, 365 F.2d 251, 254-55 (6th Cir.1966). Further, although the judge may appoint mental health experts to assist him in his determination, he is not bound by their opinions; the determination of both fact and law is his. Note, Incompetency to Stand Trial, 81 HARV. L. REV. 454, 470 (1967). Oliver, Judicial Hearings to Determine Mental Competency to Stand Trial, 39 F.R.D. 537, 545-46 (1965). The judge's duty is to evaluate the data and determine whether the defendant's functional impairment is cumulatively so great that he fails to meet the minimum performance level necessary for the satisfaction of due process and the preservation of the integrity of the criminal adversary system. Note, The Identification of Incompetent Defendants: Separating Those Unfit for Adversary Combat from Those Who Are Fit, 66 KY. L.J. 666, 675 (1978). There are a number of criteria which the judge may consider in making the determination. See id. at 682-91; State v. Guatney, 207 Neb. 501, 511-13, 299 N.W.2d 538, 545 (1980) (Krivosha, C.J., concurring); State v. Lawrence, 368 So.2d 699, 701 (La. 1979). Competency hearings also differ from those cases in which trial by jury is waived and the judge is the finder of fact. On questions of competency to stand trial, not only is the judge a finder of fact, he is also a de facto witness who may take into consideration his own observations of the defendant. State v. Messier, 114 Ariz. at 526, 562 P.2d at 406. The factors identified compel us to conclude that the court should be able to utilize counsel's knowledge whenever the question of competency to stand trial is properly raised. Such a result, however, raises the danger that defense counsel will be put in a position where he may be required to testify about his communications with his client. We turn, then to examine the question of privilege. ATTORNEY-CLIENT PRIVILEGE In general, in Arizona ... opinion ... testimony of lay witnesses [is admissible] where such opinions are supported by personal observations or knowledge of the defendant's past conduct and history. [citations omitted] In Jones on Evidence, the rule in regard to the admissibility of the testimony of nonexpert witnesses is set forth as follows: The opinion of a nonprofessional witness is not admissible, however, unless it is shown to be based upon the witness's own knowledge and observation of the person's appearance; and it is generally held that, before expressing an opinion, the witness must state the facts and circumstances on which his opinion is founded.... 2 Jones on Evidence, § 14.7 at 603. State v. Overton, 114 Ariz. 553, 555, 562 P.2d 726, 728 (1977). Does lay testimony from defense counsel as to defendant's ability to assist in his own defense violate the attorney-client privilege? Defendant claims that testimony from Mr. Addis is an impermissible intrusion into the attorney-client privilege. See A.R.S. § 13-4062(2). The state argues that it has no intention of asking Mr. Addis to reveal any confidential client communication. Instead, it avows, it intends only to ask Mr. Addis to describe defendant's behavior, his ability to respond to stimuli and his ability to respond to questions. Based upon these observations, the state then seeks Addis' opinion of defendant's competency. In response, it is argued that effective cross-examination, a basic right, is denied because of the privilege. While few cases have dealt with this issue, the weight of authority supports the view that an attorney may testify at a competency hearing without violating the attorney-client privilege so long as the testimony does not include the substance of confidential communications. United States v. Kendrick, 331 F.2d 110, 114 (4th Cir.1964) (objectively observable particularizations of the client's demeanor and attitude not within the privilege if made at a time when neither lawyer nor client manifested any reason to suppose they were confidential); see also Darrow v. Gunn, 594 F.2d 767 (9th Cir.1979), cert. denied 444 U.S. 849, 100 S.Ct. 99, 62 L.Ed.2d 64; United States v. David, 511 F.2d 355, 360 (D.C. Cir.1975); Clanton v. United States, 488 F.2d 1069, 1070 (5th Cir.1974), cert. denied 419 U.S. 877, 95 S.Ct. 140, 42 L.Ed.2d 116 (1975); Howell v. United States, 282 F. Supp. 246 (N.D.Ill. 1968), aff'd 442 F.2d 265 (7th Cir.1971); United States v. Tom, 340 F.2d 127 (2nd Cir.1965); Jones v. District Court, 617 P.2d 803, 808 (Colo. 1980). None of these cases provides a satisfactory response to the cross-examination issue raised by defendant's present counsel. Some authority also supports the view that counsel may not testify. If trial counsel in a criminal case could be called by the Government and asked to give an opinion as to the accused's competency and ability to assist in the defense, he could necessarily also be asked for the factual data upon which he premised his opinion. These questions would open to inquiry by the Government the entire relationship between the accused and his counsel. Such revelations would be a violation of the attorney-client privilege and would also invade an accused's right to counsel in the trial of the criminal charge. Gunther v. United States, 230 F.2d 222, 223-224 (D.C. Cir.1956). Any expression as to the client's mental competency necessarily embrace[s] more than facts observable by anyone; it comprehend[s] conclusions drawn in the course of an association that is uniquely regarded in the law. United States v. Kendrick, 331 F.2d at 115 (Sobeloff, J., specially concurring with remand determination only). We regard this as being a basically correct statement. Even though counsel may be asked for no more than an opinion based on observation, see Rule 701, Ariz.R.Evid., 17A A.R.S., it defies reality to pretend that the lawyer has formed opinions on competency without relying upon discussions with the defendant. Counsel may observe defendant's physical behavior, but certainly his contacts with the defendant will ordinarily consist of discussion. Questions posed by counsel, responses made by defendant and information conveyed by defendant necessarily form much of the foundation for defense counsel's opinion of his client's competency. We acknowledge that permitting the witness to relate the ultimate opinion without permitting cross-examination on the basis for the opinion constricts cross-examination very close to its permissible limits. Nonetheless, we will allow the testimony for several reasons. Observation of behavior is not a communication and therefore is not protected by the privilege. See Granger v. Wisner, 134 Ariz. 377, 379-80, 656 P.2d 1238, 1240-41 (1982); McCORMICK, EVIDENCE § 89 at 213 (3d ed. 1984). More importantly, the essential distinctions between a hearing on competency to stand trial and a determination of guilt or innocence mandate the result we reach. Given the different nature of the judicial inquiry  the diminished adversarial nature of the proceeding, the need for the testimony and the different duties and functions of counsel and court  there is an essential difference in what is expected of counsel. We believe that as an officer of the court, counsel has a duty at a Rule 11 hearing to aid the judge in reaching a correct decision on the issue of whether the adversarial proceedings may be commenced or continued. We therefore conclude that, in a competency hearing, the judge may call upon both counsel as officers of the court to provide whatever conclusions and opinions they may have, together with so much of the supporting facts as may be obtained without violating either the attorney-client privilege or the confidentiality provided to attorney's work product. [4] In some cases, this may mean very little information will be available, while in others a great deal may be obtained. Whatever is available should be at the court's disposal. The judge will determine whether it is necessary to seek assistance from counsel. If the testimony is not essential, it is better to dispense with counsel's help simply because the act of testifying may damage the relationship between lawyer and client. We hold, therefore, that the court may call defense counsel as a witness at the retrospective competency hearing to be held under the mandate issued in State v. Bishop, supra . Counsel may be examined to the extent indicated in this opinion. We do not address in this opinion the question of counsel's competency as a witness in the truly adversarial portions of the trial. Relief is denied. GORDON, V.C.J., and HAYS, J., concur. HOLOHAN, C.J., concurs in the result. CAMERON, J., did not participate in the determination of this matter.