Opinion ID: 1773034
Heading Depth: 2
Heading Rank: 2

Heading: issues concerning jacobs's competency to stand trial

Text: Jacobs raises a number of issues relating to the trial court's finding that he was competent to stand trial. Jacobs specifically alleges that the trial court erred by: (1) sustaining the Commonwealth's objection to defense expert Dr. Alec Whyte's opinion regarding Jacobs's competence to stand trial; (2) denying Jacobs's motion for funds and thereby preventing Jacobs from having a defense expert participate during Jacobs's competency evaluations at KCPC; (3) improperly assigning the burden of proof as to competency to stand trial; (4) finding Jacobs competent to stand trial and to waive a defense of insanity; (5) failing to reconsider the question of Jacobs's competency during the course of the trial; and (6) denying Jacobs's motion to supplement the official transcript record with videotapes. We find that the trial court's rulings were within its discretion and find no error warranting reversal. Dr. Alec Whyte testified for the defense at Jacobs's pretrial competency hearing. Although the trial court allowed Dr. Whyte to testify generally about the manifestations of delusional disorder and to answer hypothetical questions about how this disorder could affect a criminal defendant during the course of a jury trial, the trial court sustained the Commonwealth's objection to Dr. Whyte's opinion as to Jacobs's competence to stand trial. Dr. Whyte testified that, in preparation for his testimony, he reviewed reports and other materials, many of which dated back almost eight (8) years, from other medical personnel who had evaluated Jacobs for competency, but that he was unable to perform his own psychiatric evaluation because he met with Jacobs for only fifteen (15) minutes before Jacobs refused to answer any further questions. Dr. Whyte explained that he could not make any determination at all about the problems of... organically caused symptoms during that short time frame, but was prepared to offer his opinion on the basis of the materials he had reviewed. The trial court allowed Dr. Whyte to express his opinion by avowal, and Dr. Whyte explained that, although he had no evidence to support a finding of incompetence at the present time, he predicted that Jacobs would decompensate during the course of the trial. We believe the trial court's ruling struck a proper balance with respect to Dr. Whyte's opinion testimony and find no identifiable prejudice from the ruling. Not only did Dr. Whyte testify to his opinion before the trial judge by means of avowal, but he also communicated his opinion via answers to hypothetical questions, and those opinions did not differ substantially from those of the other defense witnesses. In fact, just prior to the competency hearing, during a bench conference regarding reciprocal discovery of Dr. Whyte's opinions, defense counsel downplayed the significance of Dr. Whyte's testimony and characterized it as cumulative to other testimony: The only thing that Dr. Whyte has done is look at records, and that's the same records that the A.G.'s office has or that they gave to us. There are no diagnoses he is going to give that will differ substantially from Dr. Deland, if any. There is nothing he is going to say that is going to come as a surprise to [the prosecution]. There are no facts, there are no new evidence he's picked up. ... Now, there has been no intention, there's been no purpose to mislead anybody. The Court will hear Dr. Whyte testify. There is nothing of any surprise in nature going to come out today.... We simply do not have a report other thanThe only thing I could have told [the prosecution] in a memorandum would have been: Client would not talk to doctor. Or: Client would not talk to doctor, but agreed with Dr. Deland's Organic Delusional Syndrome diagnosis. That's it. I mean, there's nothing here. Given the substantial agreement between Dr. Whyte's and Dr. Deland's findings, as well as the fact that trial court's competency ruling directly referenced Dr. Whyte's avowal testimony, we do not believe the exclusion of Dr. Whyte's opinion affected the pretrial competency determination or otherwise prejudiced Jacobs. We likewise see no prejudice associated with the trial court's denial of defense motions for funds to obtain a mental health expert. Initially, we note that the trial court did approve funds for the defense to obtain such an expert, and Dr. Whyte testified for the defense at the competency hearing as a retained expert. Jacobs's alleged error relates to the timing of the trial court's approval of funds. Although Jacobs asserts that the trial court's rulings initially denying those funds and ordering his evaluation at KCPC violated his statutory right to have a defense expert participate in the examination, [4] the defense does not cite the Court to any assertion of entitlement under KRS 504.080(5) until after the KCPC evaluation. Further, the KCPC evaluator, Dr. Deland, although apparently subpoenaed by the Commonwealth, was called by the defense as an expert witness at the pretrial competency hearing to testify to the diagnosis of a delusional syndrome and to the fact that a defendant's mental status, and therefore competency status, can change over time. Jacobs asserts that he suffered prejudice from the trial court's ruling because the trial court found significant Dr. Deland's opinion that Jacobs was competent to stand trial, but Jacobs articulates no argument for how a contrary ruling on the motion for funds would have provided a basis for him to question that testimony. In fact, Dr. Whyte, whom the defense eventually retained, agreed with Dr. Deland's findings. While no defense-retained mental health expert was present for the two-month period of observation, evaluation, and treatment at KCPC, defense counsel were present for a portion of that time, yet the defense examination of Dr. Deland raised no questions regarding Deland's procedures. After hearing argument from the parties, the trial court ruled that the burden was upon the defense to prove Jacobs's incompetence by a preponderance of the evidence. Jacobs argues that this ruling was in error for a number of policy and constitutional reasons and submits that this is a question of first impression for this Court. In fact, however, we answered this question in Gabbard v. Commonwealth, [5] and none of Jacobs's arguments persuade us that our conclusion was wrong. No provision of the United States Constitution prohibits this Court from requiring the defendant to carry the burden of proving his incompetence, [6] and we find no merit in Jacobs's contention that the Kentucky Constitution requires the Commonwealth to prove the defendant's competence beyond a reasonable doubt. In addition to reviewing the testimony and reports relating to Jacobs's competency at his original trial, the trial court conducted a two-phase pretrial evidentiary hearing on the question of Jacobs's competency. The first phase was an ex parte proceeding in which Jacobs's trial counsel introduced affidavits from Jacobs's past and present attorneys concerning their attorney-client communications with Jacobs. During the second phase, with the Commonwealth present, Jacobs introduced testimony from a handful of law enforcement and corrections personnel who had interacted with Jacobs as well as the expert testimony of both Dr. Deland and Dr. Whyte. The Commonwealth relied upon its cross-examination of the witnesses called by the defense and did not offer any additional witnesses. At conclusion of the hearing, the trial court found Jacobs presently competent to stand trial and to direct his defense: Well, we're all aware that [RCr 8.06] provides that in making these determinations, I'm to look at whether or not Mr. Jacobs has the capacity to appreciate the nature and consequences of the proceedings against him. I don't think there is much dispute about the fact that he has at least a general, if not specific knowledge, of the nature and consequences of all the proceedings. I don't think that issue has been raised by either side. The question comes down basically to whether or not Mr. Jacobs can rationally participate in his defense. The Court is well aware of all previous evaluations conducted upon Mr. Jacobs. They're all part of the record. I'm well aware of all the testimony that's been taken concerning his competency at the first trial of this matter. Quite frankly, there's no doubt in this mind, or this Court's mind, that at the time of the first trial, Mr. Jacobs was probably incompetent to stand trial based upon all the reports that I've reviewed. However, that's not the issue today. The issue is whether or not he's competent to stand trial today.... I take note of the fact Dr. Deland's testimony that although his report is worded that he does agree with the diagnosis of this delusional disorder, he went into some detail to explain what he meant when he said in remission.... [H]e said it does exist but he's able to control those delusions. As to Dr. Whyte, Dr. Whyte testified that he did agree with the diagnosis previously made even going back to I guess the old phraseology of Organic Delusional Syndrome. That he felt that Mr. Jacobs suffered from that condition. I asked the doctor, Dr. Whyte, if it was his opinion that once someone develops that condition whether or not they could ever be competent to stand trial. His response was it depended upon whether or not his delusions were, I believe he used the word broached during the trial, and if they were not broached during the trial that would not make him incompetent to stand trial. During the avowal that we had, which I will refer to, he did testify that if those ... delusions were broached during a trial, that in his opinion that Mr. Jacobs would become incompetent. That's speculative. I don't know what's going to happen at this trial. It may very well develop that way, but that's somethingthat's a matter that we'll need to approach at the trial of this action as it is the finding of this Court that Mr. Jacobs is competent to stand trial, is competent to direct his attorney as to his defense. Jacobs argues that the trial court had no rational basis for this finding. As was the case in Harston v. Commonwealth, [7] Jacobs's conclusions flow from a partisan view of the evidence: [Appellant] makes extensive arguments with regard to the competency issue and the insanity issue. All the arguments assume incompetency and insanity. It would appear elementary to us that where the ruling is based on substantial evidence, there is no error. There is an abundance of evidence in the record to support the ruling that [Appellant] was competent to stand trial.... [8] In this case, the trial court's ruling was unquestionably based on substantial evidence. In fact, none of the testimony from the lay witnesses called during the second phase of the evidentiary hearing supported a finding of incompetence, and neither of the experts testified that Jacobs was presently incompetent to stand trial. Dr. Deland testified that Jacobs's mental status had improved and that after two (2) months of observation, he came to the conclusion that Jacobs's diagnosis hasn't changed, but his insight has. On the basis of Jacobs's ability to distinguish what his remaining symptoms are and what is realistic in terms of the presentation, Dr. Deland testified that it was his opinion that Jacobs was competent to stand trial. Although the Appellant bemoans the lack of evidence supporting the finding that he was competent to direct his defense, Dr. Deland testified to his opinion that Jacobs was competent to do so and explained the basis for that opinion: He had a logical reason for pursuing this defense as we talked about before, the issue with the jury and what he would have to say to mount a mental illness defense. Secondly, he's not presenting anything, any explanations that are not of this world. They're not blatantly delusional or blatantly unrealistic. Thirdly, hethe issue has come up time and time again about whether he can cooperate with his lawyers. I can only say to that that he cooperated with me throughout the two (2) months that he was there. And he said, his words, that if they dropif his lawyers would drop this mentally ill angle on his case, that he said I would have to cooperate with them. Plus, he has ahe has a realistic assessment I would say ofhe knows what he's facing. He knows there's a strong case against him. While Dr. Whyte did express the opinion that Jacobs would inevitably become incompetent during the course of the trial, he offered no opinion as to the issue before the Courtwhether Jacobs was presently competent to stand trial. On appeal, Jacobs argues that Dr. Deland's opinion was predicated on the information available to him at the time of his evaluation and that the information disclosed to the trial court by Jacobs's attorneys rendered that opinion unreliable. Both in the trial court and again on appeal, Jacobs's counsel attempt to spin Dr. Deland's answers to hypothetical questions posed to him by the defense as qualifications upon his opinion. Dr. Deland actually testified that if Jacobs had recently demonstrated the delusional thinking and behavior suggested by hypothetical questions from the defense, he would have to assess the basis for Jacobs's statements in order to determine whether Jacobs's delusional disorder would interfere with his ability to rationally participate in his defense. Dr. Deland testified that his findings also considered his observations of Jacobs's interaction with his attorneys at KCPC: I thought it would be a good idea if his attorneys came in and talked to him directly so I could observe that, and they did. We spent over an hour in my office with Mr. Clawvern Jacobs discussing issues, and I must say that things got pretty tense; but, through it all, Mr. Jacobs maintained his demeanor. The trial court properly weighed the credibility of the witnesses and reached conclusions which were supported by substantial evidence. Thus, we find no error. After the trial court's ruling at the conclusion of the pretrial evidentiary hearing, but before the conclusion of the guilt/innocence phase of Jacobs's trial, Jacobs's counsel asked the trial court four (4) separate times to revisit the competency issue. A similar motion was made prior to final sentencing. Each of the motions alleged that Jacobs had exhibited further delusional behavior of the type described in the affidavits by counsel submitted ex parte to the trial court before the evidentiary hearing. Two of these motions concerned Jacobs's guilt/innocence phase trial testimony, which obviously was conducted in the trial court's presence. The trial court found no reasonable cause to revisit the issue, and denied each of the motions. In Harston , we held that trial courts have the discretion to determine whether reasonable cause exists to revisit competency issues: [RCr 8.06] has the salutatory provision that if at any stage of the proceeding the trial court has a doubt as to competency, there is an obligation to make an inquiry. This rule does not place upon the trial court a duty to hold hearing after hearing in the absence of some appearance of change in the defendant's condition since the ruling on competency. Ordinarily the application of RCr 8.06 would involve some behavior on the part of the defendant which would indicate incompetency to the trial court. Necessarily the trial court has discretion in this respect, and there is no right to a continual succession of competency hearings in the absence of some new factor. There was no abuse of discretion here on the part of the trial court in denying further testimony on the issue already ruled upon. [9] As in Pate v. Commonwealth, [10] [t]he trial judge had an ample opportunity to observe the defendant during the competency hearing and during the trial. [11] We find that the trial court acted within its discretion in denying the motions to revisit Jacobs's competency. Finally, Jacobs argues that the trial court's failure to supplement the official record with the videotapes of the proceedings denied him his right to a full and fair appeal by preventing this Court from fully assessing and determining the issues surrounding Jacobs's competency. We find this allegation of error completely without merit because the record before us allows us to properly evaluate each of Jacobs's allegations of error, and Jacobs has not articulated any coherent argument as to how he was prejudiced by the trial court's ruling. In any event, the record indicates that Jacobs agreed by stipulation that the stenographic record in this case would be the official record on appeal.