Opinion ID: 1752541
Heading Depth: 1
Heading Rank: 2

Heading: mental competency issues

Text: Appellant's expert opined that appellant was not competent to stand trial or to act as his own attorney. The court granted the state's request, pursuant to § 552.020.6, RSMo 1986, [4] for an additional mental examination by an expert of its choice. Appellant asserts that forcing him to submit to the state's examination violated his Fifth Amendment right against self-incrimination. Ordering a criminal defendant to submit to a psychiatric examination to determine whether the defendant is mentally competent to stand trial does not involve incrimination. Criminal defendants must be mentally competent to stand trial, Dusky v. United States, 362 U.S. 402, 80 S.Ct. 788, 4 L.Ed.2d 824 (1960), but mental competence does not constitute an element of any of the crimes charged. Section 552.030.5, RSMo Supp.1993, protects the right against self-incrimination by excluding any incriminating statements that a criminal defendant may make during a mental examination. In addition to the fact that competency examinations are nonincriminating, when a criminal defendant asserts incompetence to stand trial, he waives the right to object to a mental examination. See State v. Carter, 641 S.W.2d 54, 57 (Mo. banc 1982) (criminal defendants who plead insanity waive the privilege of self-incrimination as it relates to their competency), cert. denied, 461 U.S. 932, 103 S.Ct. 2096, 77 L.Ed.2d 305 (1983); State v. Swinburne, 324 S.W.2d 746, 750 (Mo. banc 1959) (criminal defendants who put their sanity at issue waive the privilege against self-incrimination to exclude testimony of doctors who have conducted a competency examination). Appellant's claim is without merit. Appellant also asserts that he was not competent to stand trial or to represent himself at trial. A defendant is competent to stand trial if he has sufficient present ability to consult with his lawyer with a reasonable degree of rational understanding and has a rational as well as factual understanding of the proceedings against him. Dusky v. United States, 362 U.S. 402, 402, 80 S.Ct. 788, 788, 4 L.Ed.2d 824 (1960) (per curiam); accord Drope v. Missouri, 420 U.S. 162, 171, 95 S.Ct. 896, 903, 43 L.Ed.2d 103 (1975) (a criminal defendant must have the capacity to understand the nature and object of the proceedings against him, to consult with counsel, and to assist in preparing his defense). Requiring that a criminal defendant be competent has a modest aim: It seeks to ensure that he has the capacity to understand the proceedings and to assist counsel. Godinez v. Moran, ___ U.S. ___, ___, 113 S.Ct. 2680, 2688, 125 L.Ed.2d 321 (1993). The level of competency required to waive the constitutional right to counsel is the same level of competency required to stand trial. Id. ___ U.S. at ___, 113 S.Ct. at 2686. Appellant was a thirty-five-year-old with an associate degree from a junior college. Two judges had substantial opportunity to observe appellant during pretrial proceedings and at trial. Three experts examined him to determine whether he was competent: two experts found appellant competent, one found him incompetent. According to one of the expert's report: Mr. Wise clearly understands the charges pending against him and the seriousness of them. He understands the consequences if found guilty and seems to have a good idea of how he wants to proceed in order to defend himself. Having undergone such procedures in the past, Mr. Wise seems to be quite well versed in the procedures and functions. His ability to recall does not seem to be impaired. His behavior is appropriate. Thus, overall, he is competent to proceed at this time. The court found appellant mentally competent based upon the experts' reports, personal observations of appellant and his numerous pro se pleadings, [5] and appellant's strenuous objection to the competency hearings and insistence that he was sane and fully competent. Appellant represented himself during the guilt phase of trial with two standby counselors present. At the close of the trial, the court commented that appellant had done an excellent job of representing himself. Sufficient evidence exists to support the finding that appellant was competent to stand trial and to waive the right to counsel. Appellant's next point relates to appellant's standby counsel's filing a sealed, ex parte motion requesting that appellant's competency hearing be conducted without the prosecutor present and with the courtroom closed to spectators. The motion contained a detailed outline of appellant's behavior, including trial strategy, which caused standby counsel to believe that appellant was suffering from a mental disease manifested by paranoia. The court held competency hearings, but overruled the motion for ex parte hearings. Appellant asserts confidential communications, including his trial strategy, were disclosed because the court did not sustain the motion for ex parte competency hearings. Appellant contends that courts must hold ex parte competency hearings where standby counsel asserts that a pro se criminal defendant's trial strategy is evidence of mental incompetence. [6] Appellant cites no pertinent authority that holds the state may be denied an opportunity to cross-examine witnesses and to present opposing evidence in a competency hearing. To the contrary, § 552.020.7 provides: If any such opinion is contested, the court shall hold a hearing on the issue. The report or reports may be received in evidence at any hearing on the issue but the party contesting any opinion therein shall have the right to summon and to cross-examine the examiner who rendered such opinion and to offer evidence upon the issue. § 552.020.7 (emphasis added). Courts need not grant ex parte competency hearings where standby counsel asserts that a pro se criminal defendant's trial strategy evidences mental incompetence. Appellant's point is denied. Appellant asserts for the first time on appeal that the trial court erred in not reopening the competency hearings. Standby counsel filed a motion to reopen the competency hearings less than two weeks after the court ruled that appellant was competent. Standby counsel asserted as new evidence of appellant's incompetence the following contentions: (1) appellant objected to the competency hearings and proposed findings in support of ruling that he was competent; (2) appellant had moved to dismiss standby counsel; and (3) appellant had filed a bar complaint against standby counsel. Appellant's first contention fails because appellant had asserted his competence from the outset of the competency proceedings. In addition, any allegations of incompetence derived from the substance of the filing are not new because the trial court received the filing two months prior to its ruling of competence. The second contention fails because standby counsel had made similar allegations in its sealed motion for an ex parte competency hearing. The third contention, although new, does not evidence incompetence. Appellant also asserts that the court should have reopened the competency hearings sua sponte because of alleged deficiencies in trial tactics and trial mistakes. Appellant cites Drope v. Missouri, 420 U.S. 162, 180, 95 S.Ct. 896, 908, 43 L.Ed.2d 103 (1975), for the proposition that a court must conduct an inquiry when events create a sufficient doubt as to a criminal defendant's competence. Appellant's point fails. A pro se criminal defendant's mistakes in trial tactics, regardless of how blatant or fundamental they may seem to a trained attorney, do not necessarily demonstrate mental incompetence. The competence required to proceed effectively pro se is not the same level of mental competence the constitution requires to be criminally tried or to waive the right to counsel. Godinez v. Moran, ___ U.S. ___, ___, 113 S.Ct. 2680, 2687, 125 L.Ed.2d 321 (1993). As stated by the United States Supreme Court in Godinez : [A] defendant's technical legal knowledge is not relevant to the determination whether he is competent to waive the right to counsel ... although the defendant may conduct his own defense ultimately to his own detriment, his choice must be honored. Thus, while [i]t is undeniable that in most criminal prosecutions defendants could better defend with counsel's guidance than by their own unskilled efforts, a criminal defendant's ability to represent himself has no bearing upon his competence to choose self-representation. Id. ___ U.S. at ___, 113 S.Ct. at 2687 (citations omitted). As noted above, the trial judge stated on the record at the end of the trial that appellant had done an excellent job representing himself at trial. The record supports the trial court's view. Review of appellant's alleged mistakes in trial tactics does not demonstrate that appellant lacked understanding of the proceedings against him or that he was unable to assist in his defense.