Opinion ID: 2639090
Heading Depth: 1
Heading Rank: 2

Heading: Counsel's failure to seek a pretrial competency evaluation

Text: The defendant has a long history of multiple hospitalizations and treatment for psychosis and disorganized/aggressive behavior. He was first treated at age 13 after threatening an individual with a pistol and was diagnosed with borderline schizophrenic reaction. Throughout the following years, he has been hospitalized on over 30 occasions, some of them brief stays, others lasting for months, and one lasting for 7 years. His past diagnoses include schizophrenia, bipolar disorder, schizoaffective disorder, antisocial personality disorder, and borderline intellectual functioning. Public Defender Terry Beall originally represented the defendant after he was arrested and charged on August 25, 1999. Shortly thereafter, the defense filed a notice to rely on an insanity defense and the related defense of diminished capacity and a motion to determine competency. On September 24, 1999, the court ordered the staff at Sedgwick County Mental Health (COMCARE) to determine whether the defendant was competent to stand trial; however, this evaluation was not conducted until November 1, 1999. In the meantime, Beall engaged Dr. William Logan, a psychiatrist, to conduct a competency evaluation of the defendant in the Sedgwick County Jail on October 15, 1999. This evaluation included a 1-hour interview, review of the defendant's prior psychiatric records, the complaint, affidavits, and police reports relevant to this case. In addition to competency, Dr. Logan's report related to the defendant's ability to form the intent required in the offenses charged. Regarding his competency to stand trial, Dr. Logan concluded: Currently, he can work with his attorneys in the preparation of a defense and has an accurate understanding of the charges against him. Caution must be exercised, however, as Mr. Davis' illness is not well controlled on medication, and his paranoia, and psychotic thinking could easily escalate during the course of a trial. Based on his current ongoing symptoms and his history of decompensation under stress, it is unlikely he will be able to maintain his current level of capacity to stand trial through the stress of court proceedings. On November 1, 1999, Dr. Margaret M. Weilert, a clinical psychologist at COMCARE, conducted a 2-hour interview with the defendant at the Sedgwick County Jail. Lauree Lusk, ARNP, advised Dr. Weilert that the defendant had been inconsistent in taking his prescribed medications, which are commonly used in the treatment of psychotic patients. During the assessment of his competency to stand trial, the defendant was able to define competency and correctly name the charges and sources of the allegations against him. However, his first answer was closely followed by tangential accounts of the `animals' in the detention system. When asked about evidence, he became more tangential and incoherent. When asked about possible consequences if he was found incompetent, he replied, `[D]on't compute, don't compensate.' He had extreme difficulty naming plea bargaining options, and his assessment of events leading up to his arrest were presented in a tangential, disorganized manner precluding comprehension. The defendant correctly named and identified his attorney and gave adequate accounts of the roles and responsibilities of major courtroom personnel. However, he evidenced paranoia and distrust of the legal system, and when asked to describe the functions of witnesses, he responded, `Clowns that come to the courtroom and want citizenship and citizen's arrest.' Dr. Weilert concluded that the defendant was incompetent to understand the nature and purpose of the proceedings against him and to assist in making his defense. While the defendant demonstrated some comprehension of the legal proceedings, his unpredictable psychotic thought distortions, along with a pervasive paranoid delusional system, could seriously impede his ability to assist in making his defense. After a November 10, 1999, hearing, the district court found the defendant was incompetent to stand trial and committed the defendant to Larned in an order filed on November 22, 1999. He was not transported to Larned until February 2, 2000. While at Larned, Dr. Jean-Daniel Policard, a psychiatrist, (along with a social worker and psychologist) evaluated the defendant and submitted a forensic evaluation report dated April 24, 2000, which found the defendant competent to stand trial. Dr. Policard noted that the defendant had refused to comply with his medication regimen while in the county jail, but he had since reluctantly complied with his medication regimen, showing gradual but only modest improvement. The defendant had displayed episodes of verbal and physical hostility, threatened to strike staff members, and struck a social worker on the face several times when his request for money and cigarettes was not granted. During the psychiatric evaluation, the defendant admitted to having a mental illness which he described as schizophrenia with auditory hallucinations, and he acknowledged the need for medication. The defendant was diagnosed with schizoaffective disorder, bipolar type, antisocial personality disorder, and borderline intellectual function. The defendant was aware of the nature and seriousness of the charges brought against him, as well as the respective roles of the major participants in the courtroom. He stated the judge [s]entences, makes plans and disposition, the district attorney prosecutes and tries to find me guilty, and the defense attorney defends me. He defined plea bargain as you confess to something and you get less time or parole, and he understood that he should communicate with my lawyer who would speak on his behalf. The evaluating team concluded that the defendant had a fair understanding of the legal proceedings against him and would be able to assist his attorney in presenting a legal defense. The defendant was returned to the Sedgwick County Jail on April 27, 2000. After a May 10, 2000, hearing, District Judge Rebecca L. Pilshaw filed an order on May 18, 2000, finding the defendant competent to stand trial and ordering the proceedings against the defendant to be resumed. On August 29, 2000, the district court appointed Richard Ney's law office to represent the defendant. Douglas Adams took over the case and obtained the records of the case from former counsel which included the defendant's mental health history. Prior to trial in November 2000, the defendant wrote Adams four letters, which were partially incoherent. Adams described the following letter, dated September 15, 2000, as very close to incomprehensible: Now on this day Completivil Larry Davis Lawyer Appointed by the Sedggwick County Court: I makeing a motion For a maisstrial and a number of Post Phometrist and Detainners and Continunesse With Detainnerses that this Cass Distrc county court Falones casse From 29th 1999 29-2,000 HAS not reach the true Court with the proper Attorney Lawyer Criminel Not no Assessntis Deffend. If this is'nt over Ate then what it's sayin in the Gennenreal Entree is tru About judgv Owen thougt up a plan for me a Ohpretion Doc or Releass I would like to be Realses I was told 2 time this was in the Computer Gennarail Entree Come and see me Are if not Im sooner with whate it said in the Genarail Etree. Some of the letters demonstrated confusion about his defense. On October 1, 2000, the defendant wrote: I would like to be acquitil couse of resoion of insanity mentily ill and that I may(?) not rsponsabel for myself.... On October 26, 2000, the defendant wrote: I'm not crazy like the D.A. and you trying to make me. I know this case is bullshit! Any lawer right out of school, could win this case. On November 3, 2000, the defendant wrote: I like for you to use me being acquittle with defamation of capacity and be civiley cometeded like to Ohwsawaterme Stat Hospital leis than 90 days and then back to condioneal releases. Following the defendant's trial and the remand from the Court of Appeals, Adams testified at the Van Cleave hearing that he had no training in psychiatry, psychology, or in conducting mental health or competency evaluations. He admitted that he had reason to doubt the defendant's competency prior to trial based on the reports and the fact that the defendant had been found incompetent at least 6 or 7 months prior to going to court. Adams said that he would have sought another evaluation if he knew that the defendant was not complying with his medication regimen in jail, but he did not check with the jail to make this determination. Adams indicated that the defendant was able to assist in the preparation of his defense and that he was better at certain times than others. The defendant communicated with Adams on several occasions and seemed to understand the roles of the major courtroom personnel. Adams admitted that he had no idea what level of doubt was necessary for him to seek a competency evaluation. Adams described the defendant before trial as somebody that was on the cutting edge, and seemed to him that at any time he could be a person that could go through a competency evaluation. Adams opined that he just maybe missed the signs and, after hearing Dr. Grinage's testimony, the defendant should have probably had another evaluation. The bench trial was held on November 9, 2000, before District Judge Joseph Bribiesca. At trial, the defendant again evidenced some confusion about his defense: Q. [By Prosecutor] Isn't it true what you want us to believe is that you didn't commit this crime because of your mental illness  A. No. No. No. No. No. My mental  Q.  is that right? A. My mental illness has nothing to do with this. Like I say, two  three  two  three wrongs don't make a right. .... Q. [By Prosecutor] So you knew what you were doing that night, correct? A. Well  Q. Yes or no? A. No. No, I don't think I really did. I don't think I really did. Some  sometimes, like I say, I'm schizophrenia. Like I say, I was kind of  Q. So you didn't know what you were doing that night? A. I don't  like I said, I don't know. Like I said, what some of 'em probably say could be right. But, like I say, some ways I was  I was going and coming when the police got there especially. After the Court of Appeals remanded for a Van Cleave hearing, appellate counsel engaged Dr. Bradley Grinage, the director of forensic psychiatry at the University of Kansas School of Medicine in Wichita, to evaluate the defendant's competency at the time of trial. On May 3, 2002, Dr. Grinage conducted a nearly 3 hour clinical interview and mental status examination of the defendant. Dr. Grinage noted that the defendant had been found competent to stand trial after 2 months of medication in a highly structured inpatient psychiatric ward at Larned, but after the defendant was returned to the Sedgwick County Jail in April 2000, he was described as being noncompliant with medications and was experiencing ongoing auditory hallucinations that worsened in August 2000. This was important because virtually every time the defendant had been noncompliant with his medication in the past, he decompensated, became violent and aggressive in his psychotic state, and was not able to care for himself. Dr. Grinage opined that the mood and nature of the letters the defendant sent to Adams before trial reflected a lability of mood consistent with mania, which is associated with schizo-affective disorder. The jail records also noted that the defendant had a very low, normal Valproic level in his blood when he was returned to jail prior to trial. When he had been given medication to increase his Valproic level while at Larned, his mental state had improved. Before allowing Dr. Grinage to express his opinion on the defendant's competency to stand trial, the court noted the doctor's comment that it was unusual to evaluate a defendant's competency for a time period in the past. The court instructed counsel to lay a foundation of whether it was a generally accepted psychiatric method to evaluate a person's competency for a specific time in the past and also questioned the doctor. Dr. Grinage's competency evaluation report concluded: At the time of his trial, it appears that the defendant had sufficient understanding of the nature and purpose of the proceedings against him. However, based on the information obtained in the course of this evaluation, it is the opinion of the examiner that, at the time of the trial, the defendant was suffering from a mental illness or defect such that his capacity to consult with his lawyer with a reasonable degree of rational understanding was significantly compromised. The opinion that the defendant lacked the capacity to make or assist in making his defense is based on a lengthy history of treatment resistant paranoia, documented medical noncompliance associated with increased psychotic symptoms in the jail, trial transcripts depicting the defendant's paranoid thought process and difficulty tracking conversation, and persistent psychotic symptoms noted after the trial. The State did not present an expert to contradict this evidence at the Van Cleave hearing. The defense argued that Adams was ineffective by failing to seek another competency evaluation based largely on the testimony of Dr. Grinage, but the district court rejected this argument, reasoning: Dr. Grinage is of the opinion that Mr. Davis was not competent to stand trial at the time of trial, nor was he able to form the requisite criminal intent at that time of the crime on account of suffering from a mental disease or defect, namely, schizo-affective disorder, bipolar type. The Court finds that based on Dr. Grinage's testimony, he himself stated that he basically agrees with Dr. Logan's examination findings with the exception of the two critical issues before the Court: namely, competency and ability to form criminal intent. In the Court's opinion, a difference of opinion between two experts under the present circumstances is insufficient to meet the defendant's burden under Chamberlain [ v. State, 236 Kan. 650, 694 P.2d 468 (1985)]. In the Court's opinion, Dr. Grinage's opinion is not controlling, nor is it entitled to any more weight than Dr. Logan's or Dr. Policard. The defendant argues on appeal that counsel was ineffective in failing to seek another competency evaluation prior to trial. The Court of Appeals' majority opinion specifically noted the change in the defendant's previous competency evaluations and the letters the defendant wrote to defense counsel prior to trial which indicated his confusion about his mental state. It also pointed to defense counsel's own testimony that although he doubted the defendant's competency and probably should have requested another evaluation prior to trial, he failed to investigate the issue any further by checking with a mental health professional or by inquiring into whether the defendant had been taking his medication. The court concluded that it was clear from the record that defense counsel should have requested another competency evaluation prior to trial. However, the court did not find the required prejudice: We begin by noting that the trial at issue here was to the bench. It is clear that the trial judge was aware of the proper standard for the diminished capacity defense under K.S.A. 22-3220. The same judge that presided over the trial also heard the expert evidence at the Van Cleave hearing. The question is, if Adams had presented evidence that the defendant was not competent to stand trial, is there a reasonable probability the defendant would be found incompetent and if Adams had presented the defense using the correct standard under K.S.A. 22-3220, is there a reasonable probability the defendant would have been found not guilty? Because the trial judge also heard Dr. Grinage's opinion that the defendant was not competent at the time of trial, and did not find ineffective assistance of counsel, we conclude there is little or no probability this judge would have ruled differently had Dr. Grinage's opinion been presented just before or at trial. Judge Lewis dissented from the majority opinion, concluding that the defendant was so prejudiced, he was denied effective assistance of counsel. A criminal defendant is incompetent to stand trial when, because of a mental illness or defect, the defendant is unable to understand the nature and purpose of the proceedings against him or her or where he or she is unable to make or assist in making a defense. State v. Kleypas, 272 Kan. 894, Syl. ¶ 32, 40 P.3d 139 (2001), cert. denied 537 U.S. 834 (2002); K.S.A. 22-3301(1)(a) and (b). K.S.A. 22-3302(1) provides: At any time after the defendant has been charged with a crime and before pronouncement of sentence, the defendant, the defendant's counsel or the prosecuting attorney may request a determination of the defendant's competency to stand trial. If, upon the request of either party or upon the judge's own knowledge and observation, the judge before whom the case is pending finds that there is reason to believe that the defendant is incompetent to stand trial the proceedings shall be suspended and a hearing conducted to determine the competency of the defendant. Although the statute uses permissive rather than mandatory language regarding defense counsel's obligation to seek a competency evaluation, the `failure to observe procedures adequate to protect a defendant's right not to be tried or convicted while incompetent. . . deprives him of his due process right to a fair trial.' Kleypas, 272 Kan. at 990 (quoting Drope v. Missouri, 420 U.S. 162, 172, 43 L. Ed. 2d 103, 95 S. Ct. 896 [1975]). See State v. White, 263 Kan. 283, 314-16, 950 P.2d 1316 (1997). It is clear in this case that Adams should have sought another competency hearing prior to trial. The defendant had an extensive history of mental illness and frequent commitments. Between October 1999 and April 2000, he vacillated between competency and incompetency to stand trial. Upon his first evaluation in October 1999, Dr. Logan opined that it was unlikely that the defendant could remain competent throughout the stress of a trial. Only 2 weeks later, the defendant was found incompetent to stand trial, and he was only found competent after a highly structured stay at Larned 6 months before trial. He was then returned to the Sedgwick County Jail, where he was noncompliant with his medication and reported an increase in hallucinations a few months before trial. The defendant's letters to Adams prior to trial were at times incoherent and demonstrated confusion regarding his defense. Adams testified that if he had known the defendant was not taking his medication, he would have moved for another competency hearing. Counsel made no inquiry at the jail to determine whether the defendant was compliant with medication orders and no inquiry of health care professionals. Adams admitted that he should have sought another competency hearing prior to trial. This admission is not based upon hindsight but is based upon Dr. Logan's report, the records available to counsel at the county jail, his own communications with the defendant around the time of trial, and the four letters the defendant sent to counsel. This evidence, together with a wealth of information concerning the defendant in the medical records counsel possessed, supports the Court of Appeals' conclusion that counsel's performance was deficient in failing to seek another competency hearing. However, the court's ultimate conclusion that the deficiency did not prejudice the defense is not supported by the record. The Court of Appeals reasoned that because the same judge who presided over the trial heard Dr. Grinage's opinion at the Van Cleave hearing that the defendant was not competent to stand trial and did not find ineffective assistance of counsel, little probability existed that the judge would have ruled differently had this opinion been presented just before trial. Our review of the record reveals that when the trial court was presented with uncontroverted evidence regarding the defendant's competency to stand trial, in November 1999 and May 2000, the court followed the opinions of the examining doctors. At the Van Cleave hearing, the same district judge weighed Dr. Grinage's assessment of incompetency to stand trial nearly 2 years after trial and displayed some concern about whether such posttrial evaluations were generally accepted psychiatric methods. The conclusion by the Court of Appeals that there is little or no probability this judge would have ruled differently had Dr. Grinage's opinion been presented just before or at trial amounts to speculation and a conclusion not supported by the evidence. Assuming that Dr. Grinage's testimony was given at the time of the defendant's trial and that the State would have presented no expert testimony refuting Dr. Grinage's opinion as it did in the Van Cleave hearing, it is difficult to conclude that Dr. Grinage's testimony would have had little or no effect on the judge. The judge questioned the value of 2-year-old testimony. When such assumptions are coupled with the available evidence regarding the defendant's competency such as jail records of the defendant's failure to take his medication; evidence of recent hallucinations; the four letters sent to counsel before trial; and the reports of Dr. Logan, Dr. Weilert, and Dr. Policard, all to the effect that with medication the defendant might remain competent, the likelihood that Dr. Grinage's testimony of incompetence at trial would have carried the day is very real. At the very least, there is a reasonable probability that but for counsel's error in not requesting a competency hearing the result would have been different. The defendant's convictions must be reversed and the case remanded for a new trial before a different judge. While this conclusion may render the defendant's argument that he was incompetent at the time of trial moot, we elect to address this further allegation.