Opinion ID: 1547368
Heading Depth: 3
Heading Rank: 1

Heading: Competency Requirement

Text: We have addressed the competency required of an individual to proceed through various stages of the criminal justice system. According to our Mental Health Act, an individual must be competent to be tried, convicted, or sentenced. 50 P.S. § 7402(a). The Mental Health Act provides that a defendant is incompetent when found to be substantially unable to understand the nature or object of the proceedings against him or to participate and assist in his defense. Id. In Commonwealth v. Jermyn, 539 Pa. 371, 652 A.2d 821, 823 (1995), cert. denied, 515 U.S. 1126, 115 S.Ct. 2285, 132 L.Ed.2d 287 (1995), we recognized that the above-stated competency standard does not apply beyond sentencing. Regarding direct appeal, a defendant must possess some level of competence because he or she may waive his or her right to appeal only through knowing, voluntary, and intelligent waiver. PA. CONST. art. 5, § 9; Commonwealth v. Passaro, 504 Pa. 611, 476 A.2d 346, 348 (1984). We have stated that it is not proper for an appellate court to review a defendant's direct appeal if he or she is not competent enough to communicate with counsel. Commonwealth v. Silo, 469 Pa. 40, 364 A.2d 893, 894-95 (1976). In addition, looking to the decision of the United States Supreme Court in Ford v. Wainwright, 477 U.S. 399, 106 S.Ct. 2595, 91 L.Ed.2d 335 (1986), we have recognized that the Eighth Amendment prohibits the execution of an incompetent individual. Jermyn, 652 A.2d at 822. The Commonwealth may not execute someone who does not comprehend[] the reasons for the death penalty and its implications. Id. at 824. Whether an individual must possess some level of competency in order to pursue a collateral challenge of his or her conviction and death sentence is a matter of first impression in Pennsylvania. [8] Neither the PCRA nor its accompanying rules of procedure discuss the competency of a prisoner to pursue relief under the Act. Beyond holding that a prisoner must be competent to waive the right to seek PCRA relief, Commonwealth v. Bronshtein, 556 Pa. 545, 729 A.2d 1102 (1999), neither we nor the United States Supreme Court have addressed the level of competency required to pursue post conviction relief. Appellant asserts that, in order to proceed through PCRA proceedings, a prisoner must be competent. Additionally, Appellant suggests that this Court adopt, as the competency standard for collateral review, either the standard of competence to be executed or to stand trial. [9] Finally, Appellant asserts that the lower court erred when it refused to suspend PCRA proceedings until Haag regains his competence. She claims that a prisoner's lack of competency and its effect on communication with counsel may, under certain circumstances, justify a suspension of PCRA proceedings even after the appointment of a next friend. Today, we hold that when represented by a next friend and counsel, a prisoner's incompetence is not a bar to effective collateral review in a death penalty case. We arrive at our decision based upon our line of precedent dealing with next friend standing. A next friend is a person who appears in a lawsuit to act for the benefit of an incompetent or minor plaintiff, but who is not a party to the lawsuit and not appointed as a guardian. BLACK'S LAW DICTIONARY 1065 (7th ed.1999); see generally Bertinelli v. Galoni, 331 Pa. 73, 200 A. 58 (1938). The United States Supreme Court first discussed next friend standing at length in Whitmore v. Arkansas, 495 U.S. 149, 110 S.Ct. 1717, 109 L.Ed.2d 135 (1990). Whitmore involved a putative next friend seeking to intervene and appeal the conviction and sentence of a fellow death row inmate in an Arkansas court. The United States Supreme Court reviewed the decision of the Arkansas Supreme Court to deny next friend standing as a matter of state common law. During its analysis, the United States Supreme Court discussed the requirements for next friend standing for purposes of the federal habeas corpus statute and noted two prerequisites: First, a next friend must provide an adequate explanationsuch as inaccessibility, mental incompetence, or other disabilitywhy the real party in interest cannot appear on his own behalf to prosecute the action. Second, the next friend must be truly dedicated to the best interests of the person on whose behalf he seeks to litigate, and it has been further suggested that a next friend must have some significant relationship with the real party in interest. Id. at 163-64 (citations omitted). Through a series of cases, which relied upon the reasoning of Whitmore, we recognized that our law permits a next friend to bring a PCRA action on behalf of a prisoner. See Commonwealth v. White, 557 Pa. 408, 734 A.2d 374 (1999); Bronshtein, 729 A.2d at 1102; Heidnik, 720 A.2d at 1016. In Heidnik, this Court focused upon how a third party may raise the issue of a prisoner's competency to be executed. [10] While the third party in Heidnik, an attorney for the Center for Legal Advocacy and Defense Assistance, had not sought next friend standing before the common pleas court, we looked to the requirements of next friend standing as set forth in Whitmore as the procedural framework for how a third party could bring the matter of competency to be executed before a court. Id. at 1019-21. We also suggested that the standards of Whitmore would apply if a third party sought to initiate PCRA litigation as a next friend on behalf of a prisoner. Id. at 1020. Less than a year later, we again addressed next friend standing; this time within the context of a third party's ability to appeal an Order of a PCRA court dismissing the PCRA petition of a death row inmate. Bronshtein, 729 A.2d at 1102. Antuan Bronshtein (Bronshtein) informed the PCRA court that he wished to waive his right to seek PCRA relief. Following several hearings, the PCRA court entered an Order dismissing his PCRA petition. Bronshtein's mother and sister, as next friends, filed an appeal of the Order. After reviewing the standards for next friend standing in Whitmore, we held that Bronshtein's mother and sister lacked standing as next friends. Id. at 1106-07. We held that because Bronshtein was competent and had knowingly, intelligently, and voluntarily waived his right to pursue PCRA relief, his family members failed to meet the first requirement of next friend standing by showing that Bronshtein could not appear on his own behalf and pursue PCRA relief. Id. Then, in White, we reviewed the challenge of Maxine Davidson White (White) to an Order of the PCRA court denying her standing as a next friend to file a PCRA petition on behalf of her father, Gary Heidnik. Relying upon Bronshtein and Heidnik, we noted that Pennsylvania had adopted the two prerequisites for next friend standing as set forth in Whitmore. White, 734 A.2d at 376. This Court then affirmed the PCRA court's determination that White lacked standing as a next friend because she failed to demonstrate that her father was incompetent to appear on his own behalf and litigate his own cause. Id. at 385. In discussing the judicial inquiry into the degree of competency that satisfies the Whitmore standard, we stated that it is not dependent upon the use of certain magic words to describe the prisoner's competency or lack thereof, but instead requires that the fact-finder make a conscientious effort to determine whether the prisoner is capable of making a rational decision to forego the potential avenues of appeal that are available to him. Id. at 382. Based upon this line of cases, a putative next friend must demonstrate that the prisoner is incompetent, such that the prisoner is incapable of making a rational decision as to whether to pursue PCRA relief. Id.; Bronshtein, 729 A.2d at 1106-07. Also, a putative next friend must prove that he or she is truly dedicated to the prisoner's best interests and shares a significant relationship with the prisoner in order to obtain standing to pursue post conviction relief on behalf of the prisoner. White, 734 A.2d at 376; Bronshtein, 729 A.2d at 1106; Heidnik, 720 A.2d at 1020. It logically follows that a prisoner need not be competent to proceed through PCRA proceedings when a next friend has been appointed to act on his or her behalf because of such incompetence. In the present case, it is indisputable that Haag is incompetent to waive his right to PCRA relief and that Appellant has standing as next friend to pursue such relief for him. Appellant seeks to suspend PCRA proceedings because Haag cannot aid her and PCRA counsel in an investigation of possible avenues for relief. It appears that, in any situation where a next friend initiates PCRA proceedings, the prisoner will be unwilling or unable to assist in identifying issues to raise on collateral review. A prisoner's inability to participate in next friend PCRA proceedings due to incompetence is not a reason to halt such proceedings. Requiring a next friend to pursue relief while a prisoner is incompetent ensures that the prisoner promptly reaps the benefits from meritorious claims, rather than suffering delay in relief. See, e.g., State v. Debra A.E., 188 Wis.2d 111, 523 N.W.2d 727, 735 (1994). Also, if a next friend seeks review while the prisoner is incompetent, issues will be resolved while evidence and memories are still fresh. We recognize that this case involves unusual factual circumstances such that it may be impossible to discover cognizable claims outside of the record, which otherwise would have been available under the PCRA, but were undiscoverable due to Haag's incompetence. Due to the severity of the penalty involved, we do not want such a potential class of claims to escape review; however, we do not believe that an indefinite suspension of PCRA proceedings is the best way to preserve such issues. We instruct Appellant to proceed on her petition, and if Haag regains competency, he may seek review of any such claims through a second PCRA petition. [11] Our decision to decline to indefinitely suspend these proceedings based upon speculation that additional claims may exist, but are, as of now, undiscoverable, aligns with the General Assembly's interest in according finality to PCRA proceedings. Peterkin, 722 A.2d at 643-44; Commonwealth v. Albrecht, 554 Pa. 31, 720 A.2d 693, 700 (1998). There is no provision in the PCRA for a perpetual stay or suspension of proceedings. Also, our decision is in accord with other jurisdictions that have considered the issue of competency to pursue post conviction review. See Debra A.E., 523 N.W.2d at 734; Dugar v. Whitley, 615 So.2d 1334, 1335 (La.1993); Ex parte Mines, 26 S.W.3d 910, 911 (Tex. Crim.App.2000), cert. denied, 532 U.S. 908, 121 S.Ct. 1234, 149 L.Ed.2d 143 (2001); Fisher v. State, 845 P.2d 1272, 1277 (Okla. Crim.App.1992), cert. denied, 509 U.S. 911, 113 S.Ct. 3014, 125 L.Ed.2d 704 (1993). Other state courts have taken a position contrary to ours and have concluded that a prisoner must be competent to pursue post conviction relief. See Carter v. State, 706 So.2d 873, 875 (Fla.1997) (per curiam); People v. Owens, 139 Ill.2d 351, 151 Ill. Dec. 522, 564 N.E.2d 1184, 1188 (1990). While these courts facially advocate a stance different from our present holding, the ultimate outcomes in these cases are the same as the instant case. The courts holding that a prisoner must be competent to pursue post conviction relief also conclude that a third party must promptly seek all legal and record based claims on behalf of the incompetent prisoner, and the prisoner may raise any factually-based claims once he or she has regained competency. See Carter, 706 So.2d at 876 (holding [i]f a post conviction defendant is found incompetent, claims raising purely legal issues that are of record and claims that do not otherwise require the defendant's input must proceed); Owens, 151 Ill.Dec. 522, 564 N.E.2d at 1190 (holding that issues that are of record and not dependent upon personal information from the prisoner could be litigated by competent counsel). We now address whether our holding today infringes upon the constitutional rights of Haag.