Legal Document

509 U.S. 389 113 S.Ct. 2680 125 L.Ed.2d 321 Salvador GODINEZ, Warden, Petitionerv.Richard Allan MORAN. No. 92-725. Argued April 21, 1993. June 24, Syllabus * After respondent Moran pleaded not guilty to three counts of first-degree murder and two psychiatrists concluded that he was competent stand trial, informed the Nevada trial court wished discharge his attorneys change pleas guilty. The found understood "the nature criminal charges against him" "able assist in defense"; "knowingly intelligently" waiving right assistance counsel; were "freely voluntarily" given. He ultimately sentenced death. When subsequently sought state postconviction relief, held an evidentiary hearing before rejecting claim mentally incompetent represent himself, State Supreme Court dismissed appeal. A Federal District denied petition for a writ habeas corpus, but Appeals reversed. It due process required hold evaluate determine Moran's competency it accepted decisions waive counsel plead also did cure error, holding court's ruling premised on wrong legal standard because constitutional rights requires higher level mental functioning than trial. reasoned that, while defendant is if has rational factual understanding proceedings capable assisting counsel, or only capacity choice among available alternatives. Held: pleading same as standing trial: whether "sufficient present ability consult with lawyer reasonable degree understanding" "rational well him," Dusky v. United States, 362 402, 80 788, 4 824 (per curiam ). There no reason either those be decision guilty, though profound, more complicated sum total may have make during course such testify, jury cross-examine witnesses prosecution. Nor does require appreciably other rights. necessary order ensure do so bearing upon competence choose self-representation, Faretta California, 422 806, 836, 95 2525, 2541, 45 562. When, Westbrook Arizona, 384 150, 86 1320, 16 429 ), this vacated lower there had been "hearing inquiry into issue [the petitioner's] counsel," mean suggest formulation high enough cases which seeks counsel. Rather, "competence waive" language simply shorthand "intelligent waiver" requirement Johnson Zerbst, 304 458, 468, 58 1019, 1024, 82 L.Ed. 1461. Thus, stands unremarkable proposition when determination enough; waiver must intelligent voluntary can accepted. While States are free adopt standards elaborate formulation, Due Process Clause impose them. Pp. ____. 972 F.2d 263 (CA9 1992), reversed remanded. THOMAS, J., delivered opinion Court, REHNQUIST, C.J., WHITE, O'CONNOR, SOUTER, JJ., joined, Parts I, II-B, III SCALIA KENNEDY, joined. filed concurring part judgment, SCALIA, BLACKMUN, dissenting opinion, STEVENS, David F. Sarnowski, Carson City, NV, petitioner. Amy L. Wax, Washington, DC, amicus curiae, by special leave Court. Cal J. Potter, III, Las Vegas, respondent. Justice THOMAS 1 This case presents question We not. 2 On August 2, 1984, early hours morning, entered Red Pearl Saloon Nevada, shot bartender patron four times each automatic pistol. then walked behind bar removed cash register. Nine days later, arrived at apartment former wife opened fire her; five seven shots hit their target. Respondent himself abdomen attempted, without success, slit wrists. Of victims respondent's gunshots, survived. 13, summoned police hospital bed confessed killings. 3 murder, ordered examined pair psychiatrists, both whom trial.1 thereafter announced its intention seek death penalty. November 28, half months after psychiatric evaluations, again appeared court. At time request, according respondent, prevent presentation mitigating evidence sentencing. basis reports, 5 "is knew quality acts, from wrong; understands him able defense charges, pronouncement judgment thereafter; knows consequences entering plea charges; intelligently knowingly attorney." App. 21. 6 advised warned "dangers disadvantages" id., 22, inquired awareness rights, asked why chosen himself. pleas, determined response threats promises, aware giving up, pleas. explicitly given, 64.2 7 January 1985, three-judge murders. affirmed sentences murders, sentence ex-wife remanded imposition life possibility parole. State, 103 Nev. 138, 734 P.2d 712 (1987). 8 July 30, 1987, post-conviction relief Following hearing, rejected "mentally himself," concluding record clearly shows declared [him] competent." Pet. Cert. D-8. appeal, 105 1041, 810 335 (1989), we certiorari, 493 874, 110 207, 107 160 (1989). 9 Nevada. petition, Ninth Circuit (1992). "record case" should led "entertai[n] good faith doubt about [respondent's] voluntary, knowing, rights," 265,3 therefore "required . pleas," ibid. Rejecting petitioner's argument error "cured hearing," ibid., followed entitled deference under 28 U.S.C. § 2254(d), competency," F.2d, 266. "Competency Appeals, "requires trial"; "a 'reasoned choice' alternatives him." Ibid. "erroneously applied evaluating instead correct standard," 266-267, further "in light support finding valid 267.4 accordingly instructed corpus within 60 days, "unless allows [respondent] withdraw enter new proceed counsel." Id., 268. 10 Whether divided federal courts appeals5 last resort.6 granted certiorari resolve conflict. 506 ----, 810, 121 683 II 11 tried unless competent. Pate Robinson, 383 375, 378, 838, 15 815 (1966), "competently intelligently," 1025, 1461 (1938); accord, Brady 397 742, 758, 90 1463, 1474, 25 747 (1970). In (1960) S.Ct., 789 (internal quotation marks omitted). Accord, Drope Missouri, 420 162, 171, 896, 903, 43 (1975) ("[A] person whose condition lacks understand object him, preparing subjected trial"). described however, never expressly articulated 12 Relying large our (1966) curiam), adheres view See Sieling Eyman, 478 211, 214-215 1973) (first applying heightened standard). Westbrook, two-paragraph per affirming conviction, trial," "no U.S., 1320. "clear implication" standard" determining right. Sieling, 214.7 think read too much errs different standards.8 13 adopted who "reasoned choice" him. How (much less than) standard—whether proceedings—is readily apparent us. fact, opposed ground difference between merely one "terminology," Brief Opposition 4, devotes little space brief merits Circuit's standard, see, e.g., 17-18, 27, 32; see Tr. Oral Arg. 33 ("Due [a] [it] separate inquiry").9 But even assuming some meaningful distinction proceedings, reject notion measured (or from) standard. 14 begin plea. likely presented choices entail relinquishment relinquished pleads guilty: will ordinarily decide "privilege compulsory self-incrimination," Boykin Alabama, 395 238, 243, 89 1709, 1712, 23 274 (1969), taking witness stand; option available, "right jury," ibid.; and, consultation confront [his] accusers," declining moreover, faces still strategic choices: attorney, called decide, things, (and how) put raise affirmative defenses. sum, all defendants—not guilty—may important once initiated. And undeniably profound one, (The made over shorter period time, distraction burden trial.) being so, conceive demanding defendants If adequate necessarily waives not, since believe suggests represents " 'must greater powers comprehension, would aid attorney.' 26 (quoting Silten & Tullis, Mental Competency Criminal Proceedings, Hastings L.J. 1053, 1068 (1977)). National Association Defense Lawyers Amicus Curiae 10-12. flawed premise; seeking right, himself.10 562 (1975), choosing self-representation 835, clear defendant's "technical knowledge" "not relevant" emphasized although "may conduct own detriment, honored," 834, 2541. "[i]t undeniable most prosecutions could better defend counsel's guidance unskilled efforts," self-representation.11 B permitted addition competent, satisfy itself knowing voluntary. Parke Raley, 517, 523, 391 (1992) (guilty plea); Faretta, supra, 2541 (waiver counsel). sense "heightened" competence.12 17 two-part inquiry13 what mind Westbrook. distinguished trial" [the] using Zerbst. fact quoted very Zerbst immediately noting petitioner 1320 (" 'This protecting duty imposes serious weighty responsibility judge accused' ") 465, 1023). accepted.14 18 Requiring modest aim: scholars find useful classify various kinds degrees competence, these additional requirements. Cf. Medina 505 ---- - 112 2572, 120 353 reversed, consistent opinion. 19 So ordered. 20 joins, judgment. 21 I am full agreement Court's test As reservations take somewhat path reach my conclusion, appropriate observations. 22 compares types goes comparison seems equivalent. doubts proposition. discussing affecting case, confuse content occasions application. aside any absolved committed acts later minimum undergo sentence. What here sufficient proceeding throughout course. imply aspect relevant proceedings. intelligent, certain fundamental another subject judicial inquiry. That questions might implicated given point, inquiries cease discrete. comes us, involves competency. 24 set forth curiam): "[T]he 'test defendant] understanding—and him.' view, "competency narrow fashion. suggested applies Instead, applicable arraignment through return verdict. Although refers "ability lawyer," crucial component possession understanding." words, focus particular functioning, helps identify. occur serve purpose. elects foolish acting law added competence. ante, ____, n. 9. mandate stages rule common law, extraordinary showing inadequacy single us employ standards. Indeed, overturn Nevada's use 'offends principle justice rooted traditions conscience people ranked fundamental.' Patterson New York, 432 197, 202, 97 2319, 2322, 53 281 historical treatment supports roots English law. Writing 18th century, Blackstone effect incompetence proceedings: 27 "[I]f man sound memory commits capital offence, it, becomes mad, ought arraigned it; advice caution ought. if, pleaded, prisoner shall tried; how defence?" W. Blackstone, Commentaries *24; M. Hale, Pleas Crown *34-*35. drew madness purposes going An arising 1865 indicates assess arraignment, pleading, Regina Southey, Fos. Fin. 864, 872, a, 176 Eng.Rep. 825, 828, (N.P.1865) ("Assuming insane cannot all, for, appointed sane, fit tried, evidence, nor unable instruct authority improperly, always do"); 877, Eng.Rep., 831, ("if plead"). 29 number 19th century American referred insanity manner assessed See, Underwood People, 32 Mich. 1, (1875) ("insanity, discovered, steps prisoner, whatever stage proceedings"); Crocker Wis. 553, 556, N.W. 435, 436 (1884) ("At person, committing crime, became insane, insanity, remitted prison until incapacity removed. true where trial"); Reed, 41 La.Ann. 581, 582, So. 132 (1889) ("It elementary plead, convicted, sentenced, insanity"). Bishop, Law Procedure §§ 664, 667 (2d ed. 1872) ("a punished" defense"). 30 Other describe way idea parallel Dusky, matter point arise. For example, Freeman Denio (N.Y.1847), held, "If him; rightly comprehends reference defence manner, is, purpose deemed sane." 24-25. Because posed arraigned, 19, conception throughout. 31 explicit recitation Hunt 248 Ala. 217, So.2d 186 (1946). discussion regarding "The pending accused observation suggestion facts brought attention sanity defendant, settled taken. broad making defense, full, fair impartial trial." So.2d, 191 (citation therefore, attempt apply variety Commonwealth Woelfel, Ky. 48, 88 S.W. 1061, 1062 (1905); Jordan 124 Tenn. 81, 135 327, 328-329 (1911); Seminary, 165 La. 67, 115 370, 371-372 (1927); ex. rel. Townsend Bushong, 146 Ohio St. 271, 272, O.O. 289, 65 N.E.2d 407, 408 (1946) curiam); Moss Hunter, 167 683, 684-685 (CA10 1948). Commentators agreed parallels just formal H. Weihofen, Disorder 428-429, 431 (1954) long indictment crime disordered incapable defense"); B. Weiner, Disability Law, Mentally Disabled 695-696 (3d 1985) traditionally presumed means participate phases process, including pretrial activities deciding participating bargaining, assert counsel"). 34 considers difficulties associated difficult ascertain. instance, decides commenced, undergoing addition, subtle nuances differentiate, evidenced lack case. 35 true, course, observe Trial obligation conducting whenever concerning 180-181, 908, (1975). assessed, change. Respondent's conceded oral argument, contrary position Appeals. ("This standards"); ("We didn't argue Circuit, juncture case"); inquiry"). 36 offend 'principle Medina, 2573. Nothing compels adoption setting out varying disrupt orderly standpoint parties, prove unworkable appellate review. 37 avoid comparisons engaged preclude aspects proceeding. grave make, demonstrates Part albeit concerned met allowed decisions. 38 With observations, concur 39 STEVENS dissenting. 40 Today, majority holds designed measure constitutionally doing, upholds product medication illness. majority's analysis longstanding Therefore, dissent. preliminary matter, circumstances Richard waived attorney bear elaboration. For, exposition events accurate, significant omitted relegated footnotes. 42 killing wounding commit suicide, charged murder. evaluation. stage, issue. focused solely Dr. Jack A. Jurasky control faculties insofar recall give testimony so." 8. Jurasky, express reservations, observing: "Psychologically, perhaps legally speaking, man, expressing feeling considerable remorse guilt, inclined exert effort towards defense." Nevertheless, circumstances, felt depressed "necessarily major consideration." William D. O'Gorman characterized "very depressed," remarking "showed tearing talking episodes up incarceration, particularly ex-wife." 15-16. knowledgeable "can desires." 17. 44 suicide attempt, public defender, explain dramatic action, responded efforts mount defense. His purpose, specifically, behalf sentencing phase "presently influence drug alcohol," replied: "Just they me in, you know, medications." 33. Despite answer, failed type, dosage, "medications" referred. Had done discovered administered simultaneously prescription drugs—phenobarbital, dilantin, inderal, vistaril. testified numbing drugs, stating: "I guess really care anything. wasn't anything far everything going." 92.1 Disregarding mounting disturbed state, posing series routine offenses, gave largely monosyllabic answers. string responses, purported acknowledge import was, charges. One exchange, highlights mechanical character answers questions. killed "deliberately, premeditation malice aforethought," unexpectedly responded: "No. mean, looking kill her, she ended dead." 58. Instead probing further, repeated question, inquiring acted deliberately. Once again, don't know. know pulled trigger plan doing mean?" 59. Ignoring ambiguity reframed elicit "Well, I've previously explained meant deliberation premeditation. Deliberate result careful thought weighing consideration proposed action. Did that?" "Yes." 46 prodding colloquy voluntarily Accordingly, appear hearing. witness, offered behalf. Not surprisingly, 47 axiomatic now prosecution offends Fourteenth Amendment. (1992); Riggins --- 1810, 118 479 (KENNEDY, concurring); (1975); (1966). deny principle, dispute counsel: possesses Drope, 903. (1960). My disagreement turns, then, standard—the assessing 48 "reject[s] from)" Drope. Ante, specifically "consult counsel" "assist establishes aiding critical negotiations. reliability relevance vanishes basic premise—that —ceases exist. longer alone uncounselled. place excessive requiring specific already questioned 49 concludes need ipso facto, isolate term "competent" vacuum, divorced context. play basketball thereby violin. monolithic approach neither translate Bonnie, Competence Defendants: Theoretical Reformulation, Behav.Sci. 291, 299 R. Roesch S. Golding, Stand 10-13 (1980). Consistent commonsense notion, recognized issue, governed distinct rules reflecting quite policies." 176, 906. Jackson Indiana, 406 715, 739, 92 1845, 1858, 435 (1972). To end, evaluations tailored context Rees Peyton, 312, 314, 1505, 1506, 583 (directing "to posture things"). 50 Massey Moore, 348 105, 108, 75 145, 147, 99 (1954), ruled "[o]ne yet benefit counsel."2 reiterated "Although received appears proceed, did, (distinguishing insanity); Riggins, 1818 concurring) functional trial). 51 oneself, hinted contours. evaluation abilities analogous circumstances. forgo conscientiously examination client client's Under directed possessed "capacity appreciate respect continuing abandoning litigation hand suffering disease, disorder, defect substantially affect premises" (emphasis added). 1506. Certainly negotiations certiorari. case—the standard—closely approximates Rees.3 52 plain Massey, overrules sub silentio.4 From established extrapolates self-representation." confer "literate, understanding," showed "he exercising will." skill experience Faretta's confined intelligently." emphasize establish 'knows eyes open.' Ibid., quoting Adams ex McCann, 317 269, 279, 63 236, 242, 87 268 (1942). asserts himself." assertion incorrect. extricate oneself unavailing, entails latter. obvious Even Moran, penalty utterly considered decision, chooses leap window belief fly choice. 54 gives rise Just few attempted essentially volunteered execution: psychiatrists' reports supplied explanation self-destructive behavior: deep depression. another: medications. drugs often possess side effects "compromise medicated receive rendering unwilling 1818-1819 concurring). augments manifold causes concern suggesting waivers assent rendered truly Upon conducted relying counsel.5 55 try, convict, punish helpless contravenes principles fairness impugns integrity system. condone accept, inquiry, "choice" deeply severely ill. syllabus constitutes prepared Reporter Decisions convenience reader. Detroit Lumber Co., 200 321, 337, 282, 287, 499. stated slightest doubt" faculties" psychiatrist believed "knowledgeable him"; desire[d]"; "fully cognizant penalties convicted." During lengthy alcohol, answered follows: prescribed seizures, by-product cocaine use. D-4. features relied attempt; desire sentencing; "monosyllabic" responses questions; 265. placed heavy emphasis Columbia Masthers, U.S.App.D.C. 247, 539 721, 726 (1976), employed every circuit identical Allard Helgemoe, 572 3-6 (CA1), cert. denied, 439 858, 175, 166 (1978); Valentino, 283 634, 635 (CA2 1960) McGough Hewitt, 528 339, 342, (CA3 1975); Shaw Martin, 733 304, 314 (CA4), 469 873, 230, 83 159 (1984); Malinauskas 649, 654 (CA5 1974); Harlan, 480 515, 517 (CA6), 414 1006, 94 364, 242 (1973); Heral Franzen, 633, 638 (CA7 1981); White Hawk Solem, 693 829-830, (CA8 1982), 460 1054, 934 (1983); Wolf 430 443, 444 1970); Simmons, 961 183, 187 (CA11 507 1591, 123 156 (1993). Three circuits, indicated "vaguely higher" Konigsberg Vincent, 526 131, 133 1975), 426 937, 96 2652, 388 (1976); McDowell, 814 245, 250 484 980, 108 478, 98 492 (1987); Blackmon Armontrout, 875 164, (CA8), 939, 326 them coterminous," Campbell, 874 846 (CA1 1989). Only Seventh Clark, 943 775, 782 1991), pending, 92-6439, Fourth expressed "closely linked." McGinnis, 875, 877 (CA4 1967) 390 990, 1187, 1296 (1968). Compare, Sims, Ariz. 210, 215, 575 1236, 1241 (1978) (heightened Pickens Wis.2d 549, 567-568, 292 N.W.2d 601, 610-611 (1980) counsel), People Heral, 62 Ill.2d 329, 334, 342 34, (1976) (identical trial); Reason, N.Y.2d 351, 353-354, 372 N.Y.S.2d 614, 616, 334 572, 574 privilege self-incrimination, one's accusers. (1969). dispose "new rule" Teague Lane, 489 288, 109 1060, 521, Collins Youngblood, 497 37, 41, 2715, 2718, 111 (1990). used phrase describing indication something dissent's reliance misplaced. said answering Prior Gideon Wainwright, 335, 792, 799 (1963), appointment "special circumstances" present, 350-351, 800-801 (Harlan, concurring), conclusion justifying appointed; (after ) has. note prohibition dates back least 171-172, 903-904, Youtsey 940 (CA6 1899) (collecting "common authorities"), "[b]y representation practice crime," 823, 2535, 850, 2548 (BLACKMUN, dissenting) ("self-representation common, required, prosecutions"). "difficult say defending himself" "inadequate N.Y.2d, 354, N.E.2d, 574. capacity; 903 (defendant "lacks him") "knowing voluntary" contrast, actually significance uncoerced. "made dangers disadvantages 'he open' (1942)); 244, 1712 connotes consequence"). suggest, 908; 385, 842, medical records, conjunction Physician's Desk Reference (46 corroborate medications impact records show anti-epileptic cause confusion; beta-blocker anti-arrhythmic light-headedness, depression, hallucinations, disorientation, short-term loss; vistaril, depressant drowsiness, tremors, convulsions. 97-98. distinguish pre-Gideon 10, irrelevant. concedes, different—competency equivalent alone. According majority, "there ['rational choice'] 'rational understanding.' fails recognize choice," lies passive active involvement "Westbrook proposition" accepted." transform voluntariness needlessly complicates area Perhaps incorporated link concepts. implies involuntary remains seen. Miller Fenton, 474 104, 106 445, 405 (1985) (voluntariness mixed independent review).

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