Court Opinion

ID: 9647859
Source: CourtListenerOpinion
Date Created: 2023-08-23 13:53:21.147621+00
Date Added: 2024-06-11T18:11:54.238977
License: Public Domain

BELSON, Senior Judge:
When this case was before us previously, we remanded so that the trial court could conduct a so-called Frendak2 hearing to determine whether James I. Briggs had been competent to waive an insanity defense at his 1983 trial on charges of armed robbery, D.C.Code §§ 22-2901, -3202 (1989), and carrying a pistol without a license, D.C.Code § 22-3204 (1989). Briggs v. United States, 525 A.2d 583, 594-95 (D.C.1987). Upon remand, the trial court determined that Briggs had not been competent to waive an insanity defense at his *372previous trial, but determined further that there was insufficient evidence to raise a fact issue as to whether his alleged crimes were the product of mental illness. Accordingly, the trial judge, in accordance with our opinion, id. at 595, ordered that Briggs’s convictions should stand. Briggs did not appeal that order, either personally or through his counsel, a Public Defender Service attorney. The amicus curiae, appointed by the trial court to illuminate certain aspects of the Frendak issue, however, did file a notice of appeal. Addressing the threshold question whether amicus had the standing to appeal the trial court’s ruling, we decide that amicus lacked standing to do so, and order dismissal of this appeal.
I.
On his original appeal, Briggs contended (1) that the trial court erred in denying his request to be present at bench conferences during voir dire of the jury panel, (2) that the trial court abused its discretion when it denied defense counsel’s request for recross-examination of a government witness, and (3) that the trial court erred in failing to conduct an inquiry to determine whether he voluntarily and intelligently waived an insanity defense as required by Frendak, supra note 2, 408 A.2d 364. Briggs, supra, 525 A.2d at 584.
This court rejected Briggs’s first two contentions, id. at 584, 590-91, but found that the trial court erred in disposing of the productivity issue without making the appropriate Frendak inquiry, i.e., whether Briggs was competent to enter a voluntary and intelligent waiver of an insanity defense. Id. at 591-95. Accordingly, we remanded the case to the trial court with the specific instruction that it conduct a Fren-dak inquiry. We left within the trial court’s discretion the decision whether to order psychiatric evaluations addressing Briggs’s capacity to waive an insanity defense. We instructed that if as the result of the Frendak inquiry the trial court should conclude that Briggs had made a voluntary and intelligent decision at trial to waive an insanity defense, that would end the matter. But if the court should conclude he had not, then the court was to determine whether he presently wished to waive that defense. If not, or if he was incapable of waiver at that time, “the trial court shall order a productivity examination.” Id. at 594-95.
Upon remand, the trial court appointed an attorney with the Public Defender Service to represent Briggs. That counsel submitted a motion for appointment of counsel amicus curiae to present evidence and argue “(1) that the defendant (a) was incompetent to waive an insanity defense at the time of his trial and (b) remains incompetent to do so and (2) that the defendant is not guilty by reason of insanity of the charged offenses.” Defense counsel, apparently concerned because Briggs still wished to claim that he was competent to waive the insanity defense, stated that
[t]he issues presented on remand are difficult ones requiring factual investigation, expert testimony, and argument. Counsel for the defendant cannot now ethically argue his client’s incompetency and productivity. Without an advocate of those conditions, the Court will be deprived of full presentation of the issues remanded by the Court of Appeals.
The trial court granted this motion and appointed counsel amicus curiae for the specific purposes outlined above. Those purposes did not embrace the issue of competence to stand trial.
During the remand proceedings,3 amicus argued that the trial court was to determine, under this court’s remand order, whether Briggs had been competent to stand trial in 1983. The trial court, correctly rejecting such an inquiry as beyond the scope of the remand order, reminded ami-cus that the Court of Appeals “[djidn’t remand it for a determination as to whether the defendant was competent to stand trial. They remanded it to determine whether the defendant was competent to eschew, and whether he did in fact eschew *373[,] an insanity defense, if he had one.” In any event, this issue had been decided prior to trial and it was determined that Briggs was competent to stand trial in accordance with the standards enunciated in Drope v. Missouri, 420 U.S. 162, 95 S.Ct. 896, 43 L.Ed.2d 103 (1975), and Pate v. Robinson, 383 U.S. 375, 86 S.Ct. 836, 15 L.Ed.2d 815 (1966).
Amicus called as expert witnesses a clinical psychologist and a psychiatrist. Both agreed essentially with the ultimate conclusion that Briggs had lacked the requisite mental capacity to waive the insanity defense at the time of his trial in 1983. Defense counsel, to the contrary, argued that Briggs had been competent to waive the defense. Briggs himself testified at the hearing, and denied that he suffered from mental illness. He stated that his rejection of the insanity defense was based upon his religious beliefs. The government argued in opposition, agreeing with amicus that Briggs had been incompetent to waive the insanity defense.
At the conclusion of the hearing on competency, the trial court found that because Briggs was “incapable of accepting the fact that he has an insanity defense himself,” he was “unable to rationally decide whether to give up an insanity defense.” Following further proceedings exploring the issue of productivity, the trial court, with all counsel in agreement, held that no evidence existed of a productivity relationship between any mental illness Briggs may have had and the commission of the crimes for which he was convicted.4 The court, therefore, terminated the proceedings on remand, leaving Briggs’s convictions in place.
Amicus filed a notice of appeal with this court. The only issue he raised in his subsequently filed brief related to Briggs’s competency to stand trial. We then ordered amicus to show cause why this appeal should not be dismissed, citing Givens v. Goldstein, 52 A.2d 725, 726 (D.C.1947) (the role of amicus curiae is to advise or make suggestions to the court rather than to function as a party to the action). On February 1, 1990, we vacated the September order and allowed amicus to file his brief. That action, however, did not lay to rest the issue of the standing of amicus to prosecute an appeal.5 We turn to that issue now.
II.
This court held in Givens over forty years ago that amicus curiae is “not a party to the action, but is merely a friend of the court whose sole function is to advise, or make suggestions to, the court.” Givens, supra, 52 A.2d at 726. The appearance of an attorney as amicus is not an appearance for a party. Brown v. Wright, 137 F.2d 484, 487 (4th Cir.1943). Amicus can neither take over the management of the case nor take an appeal therefrom. Givens, supra, 52 A.2d at 726, citing Klein v. Liss, 43 A.2d 757, 758 (D.C.1945). Rather, amicus must take the case as he finds it and does not, in contemplation of law, appear on behalf of any party. Klein, supra, 43 A.2d at 758; see *374also 4 Am.Jur.2d Amicus Curiae § 3 (1962).
The record establishes the limited role assigned amicus in this case. Acting upon the motion of defense counsel, the trial court appointed amicus for the specific purpose of “presenting evidence and arguing to th[e] Court: (1) that the defendant (a) was incompetent to waive an insanity-defense at the time of his trial and (b) remains incompetent to do so and (2) that the defendant is not guilty by reason of insanity of the charged offenses.” It is clear that the role of amicus was limited to a factual investigation of these two defined issues, and the presentation of relevant evidence and legal authority to the trial court for its consideration. In essence, the function of amicus was to assist the trial judge in making his decision whether to interpose an insanity defense if Briggs chose not to raise it. Thus, we agree with the contention of the government and Briggs that because amicus acted in a purely advisory capacity during the remand proceedings, he was neither a party to the action nor counsel for a party and thus lacked the requisite standing to appeal the outcome of the proceedings.
In reaching this conclusion, we reject the argument of amicus that the role of ami-cus is necessarily broader where a criminal defendant’s mental competency is in question. This appeal, or purported appeal, has required us to apply the general principles governing participation of amicus in legal proceedings to the role of amicus in a Frendak inquiry. In Frendak, the court identified three different types of mental capacities which require three separate inquiries:
(1) whether the defendant is presently competent to stand trial; (2) if so, whether he or she, based on present mental capacity, can intelligently and voluntarily waive the insanity defense and has done so; (3) if not, whether the court sua sponte should impose the insanity defense based on evidence of the defendant’s mental condition at the time of the alleged crime.
Briggs, supra, 525 A.2d at 591 (quoting Anderson v. Sorrell, 481 A.2d 766, 769 (D.C.1984) (summarizing Frendak)); see also Frendak, supra note 2, 408 A.2d a.t 380-81. The second, which has become known as the Frendak inquiry, was involved in this case. It was more fully described as follows:
[Wjhenever the evidence suggests a substantial question of the defendant’s sanity at the time of the crime, the trial judge must conduct an inquiry designed to assure that the defendant has been fully informed of the alternatives available, comprehends the consequences of failing to assert the defense, and freely chooses to raise or waive the defense.
Frendak, supra note 2, 408 A.2d at 380.
Amicus contended during oral argument on this appeal that his role as amicus in a Frendak hearing surpassed that of a “general” amicus, for he represented the “sane alter ego” of defendant Briggs, a representation that defense counsel likely was unable to undertake because of defense counsel’s obligation to follow the instructions of his possibly incompetent client and to advocate zealously in accordance with those instructions. Thus, as we understand ami-cus’ contention, where a defendant denies incompetence, two counsel are necessary in every Frendak hearing, defense counsel representing the possibly incompetent defendant (and following his instructions) and amicus representing the defendant’s “sane alter ego.”6
Although the argument of amicus is not frivolous, it is inconsistent with both the nature of the role of amicus and the specific role assigned amicus by the trial court in this case. An attorney who is appointed as counsel amicus curiae for purposes of a Frendak or other mental competency hearing has the limited purpose of performing, according to the specific mandate of the court, a factual investigation and appropriate factual and legal presentation on the issues specified by the court. Amicus does *375not act as defendant’s representative, but as a friend of the court which considers amicus’ presentation in deciding whether to impose an insanity defense on defendant.
The trial court is, of course, not bound by amicus’ factual or legal submissions, as amicus “has no right to complain if the court refuses to accept his suggestions, for it is not the function of an ami-cus curiae to take upon himself the management of a cause.” 4 Am.Jur.2d Amicus Curiae § 6 (1962); see Klein, supra, 43 A.2d at 758. Therefore, once ami-cus completed the required factual investigation and made the appropriate presentation to the trial court, his role of amicus in the proceedings is terminated.
We are not convinced that there is a special and compelling need to expand the function of amicus in cases involving mental competency beyond the function amicus serves in other areas of litigation. Counsel for Briggs points out that “each party before the court, in addition to the court itself, has the obligation and the opportunity to raise the question of the defendant’s competency to stand trial should the need arise.” The same may be said about competency to waive a defense of insanity. Indeed, counsel for Briggs in the original appeal raised the Frendak issue in this case. In our view, the narrow hiatus that may come into existence should a trial court err in disposing of a competency issue presented by amicus or otherwise and no party sees fit to appeal does not justify transforming the role of amicus to that of party or counsel to a party as to competency issues. The same problem would arise from the trial court’s erroneous handling of an issue presented by amicus in any litigation. It would not be the subject of an appeal unless it is challenged by a party to the action.
There is a second reason that precludes amicus here from pursuing an appeal. Even if we should assume, arguen-do, that an amicus has the standing to take an appeal, the resulting appeal would necessarily be limited to the issues that amicus was appointed to deal with. Here amicus was not appointed to deal with competency to stand trial, the only issue he attempts to raise on appeal.
Finally we observe that, pursuant to statute, this court has jurisdiction of appeals from all final orders and judgments of the Superior Court. D.C.Code § 11-721(a) (1989). Only a party aggrieved by an order or judgment may appeal as of right to this court. D.C.Code § ll-721(b) (1989). For the reasons we have given, amicus is not such a party. Nor are we in a position to exercise supervisory power over the issues amicus would raise, as D.C.Code § 17-306 (1989) provides this court has jurisdiction over matters “lawfully brought before it for review,” and this case does not fall in that category because no party has appealed.
Because we conclude that amicus curiae lacks standing to bring this appeal, it must be dismissed.

So ordered.

. Frendak v. United States, 408 A.2d 364 (D.C.1979).

. Five remand hearings were held over a two year period: June 29, 1987; March 16, 1988; March 17, 1988; May 4, 1988; and June 20, 1989.

. The inquiry into productivity was within the scope of the remand order which provided that if, following a conclusion by the court that appellant had not made a voluntary and intelligent waiver, "appellant cooperates with a productivity examination and the court concludes, after an appropriate review, that there is insufficient evidence to raise a fact issue of productivity, the convictions shall stand.” Briggs, supra, 525 A.2d at 595.

. Although a motions division of this court vacated the order to show cause, this merits division may reexamine the standing issue because, unless the motions division denies a motion to dismiss with prejudice, the merits division may reconsider the motion. Kennedy v. Barry, 516 A.2d 176, 178 n. 3 (D.C.1986); District of Columbia v. Trustees of Amherst College, 499 A.2d 918, 920 (D.C.1985).
Here, the standing issue was raised by this court sua sponte through a show cause order issued shortly after the filing of the notice of appeal. The order was vacated upon a response only from amicus curiae who urged, inter alia, that we “permit this novel and troubling matter [although referring, perhaps, only to the merits] to proceed to full briefing.” The subsequently filed briefs of the Public Defender Service and the government both addressed the standing issue at length, and it was thoroughly explored at oral argument.

. It would be more accurate to argue that ami-cus served as counsel for that side of defendant’s personality that would argue that defendant was incompetent to waive the defense.