Opinion ID: 340060
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Heading: competence of the defendant to stand trial14

Text: 13
14 For the first time the defendant, through his counsel, orally argued to this court that the trial judge denied him the fair trial mandated by the due process clause of the Fifth Amendment because he prejudged the issue of defendant's competency to stand trial through excessive reliance on the testimony of Dr. Eardley. 15 After a careful review of the record, we have concluded that the evidence fully justified the conclusion of the trial judge that the defendant was mentally competent to understand the proceedings against him and to assist his counsel in his defense, had he so desired, during (a) the selection of the jury, (b) his trial in October-November 1974, and (c) at the time of his sentencing in December 1974. See United States v. Tesfa, supra, at 1261-70 of 404 F.Supp. 15 B. The impartiality of Judge Ditter and Dr. Eardley 16 In United States v. Pogany, supra, Judge Hunter pointed out at page 77: 17 Congress through Section 4244 has assured an accused that if his mental capacity to cope with the complexities of trial is in doubt, there will be a judicial determination of that issue. If made in good faith and not patently frivolous a Section 4244 motion requesting a psychiatric examination must be granted. (Citing cases.) Section 4244 provides that where the psychiatric report indicates a present state of mental incompetence, a hearing must be conducted for judicial determination of that issue. In applying § 4244, an accused is considered to have the mental capacity to stand trial if he '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.' Dusky v. United States, 362 U.S. 402, 80 S.Ct. 788, 4 L.Ed.2d 824 (1960). (Footnote omitted.) 18 See also Drope v. Missouri, 420 U.S. 162, 171-73, 95 S.Ct. 896, 43 L.Ed.2d 103 (1975). The determination of a defendant's competency to stand trial must be that of the trial judge. A finding of whether a defendant is competent or not within the meaning of 18 U.S.C. § 4244 is a finding of fact by the trial court which may not be set aside on review unless it is clearly erroneous. See Krasnov v. Dinan, 465 F.2d 1298, 1299-1300 (3d Cir. 1972); United States v. Gray, 421 F.2d 316, 317 (5th Cir. 1970). 19 To aid the court in its determination, the inherent power of a trial judge to appoint an expert of his own choosing is clear. See F.R.Evid. § 706 and Advisory Committee Note, and authorities cited therein; see also 1 Pt. 2 Moore's Federal Practice, Pt. 3.40 (2d ed. 1975); 8 Moore's Federal Practice Criminal Rules P 28.01 (2d ed. 1975); 9 J. Wigmore, Evidence § 2484, p. 270 (3d ed. 1940). In Pogany, supra at 78, Judge Hunter pointed out that the impartial expert is the court's witness, rather than a prosecution or defense witness. 20 In this case, with its repetitive competency hearings, numerous psychiatric examinations and tests, many medical experts, and supplementary expert opinions, the court's appointed expert, of necessity, had to possess a long familiarity with the defendant and his mental history. Under these circumstances, we reject defense counsel's contention on December 10 that the trial judge should have appointed a master to evaluate all of the expert testimony in this case and, in effect, adjudicate the competency issue. We find no abuse of discretion in the district court's selection and retention of Dr. Eardley as an expert. Any bias or predisposition of Dr. Eardley to adhere improperly to his early conclusion that the defendant was competent could have been demonstrated by the defense on cross-examination, as ample opportunity existed to do so. The trial judge's finding that the defendant was incompetent in May 1973 demonstrates that his mind remained open to find for the defendant when the evidence raised a sufficient doubt about the defendant's ability to stand trial. Clearly, the trial judge was entitled to reject the conclusions proffered by the defense's experts and rely on the testimony of Dr. Eardley and his own perceptions. The district court opinion outlines compelling reasons for its competency determinations. That court's appointment of Dr. Eardley and its consequent findings satisfy the Dusky and Pogany standards in every respect. 21 C. The ex parte communications with Dr. Eardley and the law clerks 22 We have concluded that under the circumstances of the present case it was not reversible error for the trial judge to conduct an ex parte telephone conversation with Dr. Eardley on October 23, 16 or to instruct his law clerks to monitor the defendant's behavior when out of the presence of the persons listed above at page 8. First, the call occurred with seven days of a psychiatric examination and a full due process hearing wherein the defendant was adjudged competent to stand trial. We note that in that hearing defense counsel stated he was able to communicate effectively with the defendant. Second, at the completion of empanelling the jury, on October 29 another competency hearing was held in which the defense was afforded a full opportunity to cross-examine Dr. Eardley concerning the telephone call and his direct testimony, as well as to present its own countervailing evidence. In view of the opportunity given Dr. Eardley by the court to review, and thus familiarize himself with, the record outlining the defendant's in-court behavior and the doctor's availability to defense counsel for cross-examination on October 29, there was no violation of due process of law in the procedure used. See 5 Wigmore, Evidence § 1385a, pp. 87-88 (Chadbourn rev. 1974). The contacts of Dr. Eardley with the trial judge on October 23 and October 29 were not clandestine but were put on the record by the court; and full opportunity existed for cross-examination. Under these circumstances, we have concluded that there was no deprivation of due process of law. Finally, we think that the trial judge's actions in recording the defendant's actions and in instructing his law clerks to do so comports with these standards outlined in United States v. Liddy, 166 U.S.App.D.C. 95, 509 F.2d 428, 438 (1974):The precepts of fair trial and judicial objectivity do not require a judge to be inert. The trial judge is properly governed by the interest of justice and truth, and is not compelled to act as if he were merely presiding at a sporting match. He is not a 'mere moderator.' As Justice Frankfurter put it, '(f)ederal judges are not referees at prize-fights but functionaries of justice.' Johnson v. United States, 333 U.S. 46, 54, 68 S.Ct. 391, 395, 92 L.Ed. 468 (1948) (dissenting in part). A federal trial judge has inherent authority not only to comment on the evidence adduced by counsel, but also in appropriate instances to call or recall and question witnesses. He may do this when he believes the additional testimony will be helpful to the jurors in ascertaining the truth and discharging their fact-finding function, what is required, however, are reins of restraint, that he not comport himself in such a way as to 'tilt' or oversteer the jury or control their deliberations. 23 Applying these general principles to this particular case, we conclude that, although certain problems are presented by the action of the trial judge in reading to the jury from the testimony first taken from Sloan outside the jury's presence, his overall course was neither an abuse of his judicial function nor a denial of fair trial. 24 (Footnotes omitted.) 25 Both Judge Ditter and his clerks placed their observations on the record and, once again, the defense was afforded a full opportunity to cross-examine them or to offer additional evidence of his own that would explain the wide variations in the defendant's behavior. 26