Court Opinion

ID: 9491506
Source: CourtListenerOpinion
Date Created: 2023-08-05 14:15:59.062932+00
Date Added: 2024-06-11T17:54:47.014711
License: Public Domain

HOLLOWAY, Circuit Judge,
concurring in part and dissenting in part:
I agree with much of the scholarly analysis in the majority opinion, and I concur in the holding that the appeal is not moot. However, I am unable to fully join the opinion or concur in the result because of my views on one basic issue. I would hold under these circumstances that an accused is entitled to make the fundamental decision on his position on competency, and to counsel to assist him in presenting his position and in resisting a finding of incompetence to stand trial.
I feel that the majority opinion essentially overlooks the defendant’s primary argument by analyzing it only as a contention of ineffective assistance of counsel. As I see it, his iprimmy contention actually is that there was in effect a complete denial of the right to counsel here. Mr. Boigegrain’s appellate counsel argue that at the hearing on defendant’s competency to stand trial,
there was no voice advocating Mr. Boige-grain’s position. Instead, the moment for his defense was displaced with the antagonistic voice of Defense Counsel, who argued for his commitment. Mr. Boigegrain was left alone in the courtroom, without friend or advocate, and without the opportunity to be heard effectively.
Appellant’s Opening Brief at 9 (emphasis added). Appellant’s Reply Brief at 3 states that “the core of Defendant’s argument is that Defendant was deprived of his right to an advocate who would argue for, as opposed to against, his liberty interests.”
I am satisfied that the record clearly supports this description of events by Mr. Boige-grain’s appellate counsel. At the hearing on his competency to stand trial on December 6, 1996, 11 R. at 2-52, the Assistant Federal Public Defender appointed to represent the defendant, Mr. Conner, and Assistant U.S. Attorney Allison presented the bulk of the evidence on defendant’s competency, id. at 10, 30, defendant being permitted to make brief statements. E.g., 34-43, 45-47. In fact, government counsel and the public defender spoke with one voice — they both developed psychiatric evidence showing only that defendant was not competent to stand trial. I agree that the defense counsel had the right and duty to raise the issue by reporting his concerns about defendant’s competence. However, the result here was that both counsel laid the ground for the *1191order that defendant be committed under § 4241(d) for up to four months for psychiatric or psychological examination. The order of commitment entered December 6, 1996, 1 R. doc. 54, the subject of this appeal, states that “the issue of the defendant’s competency to proceed [was] raised initially by counsel for the defendant and subsequently joined by the United States.” Id. at 1. The showing of incompetency of defendant was the only position that both counsel developed in the evidence, and this presentation was vigorously objected to by the defendant. 11 R. at 8-9.
I would hold that at the critical hearing Mr. Boigegrain was entitled to assistance of counsel to function in accord with the constitutional requirement that “counsel acts in the role of an advocate in behalf of his client, as opposed to that of amicus curiae.” Anders v. California, 386 U.S. 738, 744, 87 S.Ct. 1396, 18 L.Ed.2d 493 (1967). Here that critical element was missing — there was no assistance by counsel to defendant to present his opposition to the commitment order.
There can be no serious doubt that the hearing on competency to stand trial is a critical stage of the prosecution at which the accused has the right to assistance of counsel, which is specifically mandated by statute. 18 U.S.C. §§ 4241(c), 4247(d). The latter statute further mandates that the defendant whose competency is the subject of the hearing shall be afforded the opportunity to testify, to present evidence, to subpoena witnesses on his behalf, and to confront and cross-examine witnesses. Id. The issue on which I part company with the majority is the acceptance of defense counsel’s right here to elect conclusively defendant’s position on the commitment order and evidence to be presented at the competency hearing, with the result that defendant had no assistance of counsel to present his position opposing a commitment order.
It is clear that “the accused has the ultimate authority to make certain fundamental decisions regarding the case, as to whether to plead guilty, waive a jury, testify in his or her own behalf, or take an appeal.” See Jones v. Barnes, 463 U.S. 745, 751, 103 S.Ct. 3308, 77 L.Ed.2d 987 (1983). Additionally, “with some limitations, a defendant may elect to act as his or her own advocate,” id. (citing Faretta v. California, 422 U.S. 806, 95 S.Ct. 2525, 45 L.Ed.2d 562 (1975)), although Barnes recognized that there is no constitutional duty resting on counsel assigned to prosecute a criminal appeal to raise every nonfrivolous issue requested by a defendant, id at 754, 103 S.Ct. 3308. Although most other decisions are the responsibility of counsel, after consultation with the client where appropriate and feasible, Standard 4-5.2(b), ABA Standards for Criminal Justice Prosecution Function and Defense Function (3d ed.1993), the Court has never held that the fundamental decisions reserved to the client are limited to those noted above. Indeed, the courts of appeals, including this court, have recognized other critical decisions as reserved for the client.
For example, in Larson v. Tansy, 911 F.2d 392 (10th Cir.1990), we reversed a criminal conviction because the defendant had not personally waived the right to be present during instruction of the jury, closing arguments and the rendering of the verdict, nor had defendant waived his right to be present by remaining silent when defense counsel purportedly waived the right. In Carter v. Sowders, 5 F.3d 975, 980-82 (6th Cir.1993), the court held that counsel could not, without the accused’s consent, waive the right to be present at a videotaped deposition which was to be used at trial. It has also been held that an accused must personally waive trial of the case to a jury of less than twelve. United States v. Guerrero-Peralta, 446 F.2d 876 (9th Cir.1971). Several courts have held that a competent defendant may choose to forgo a defense of insanity. E.g., United States v. Marble, 940 F.2d 1543, 1547 (D.C.Cir.1991); Foster v. Strickland, 707 F.2d 1339, 1343 (11th Cir.1983); Frendak v. United States, 408 A.2d 364, 381 & n. 31 (D.C.Ct.App.1979); see also Dean v. Superintendent, Clinton Correctional Facility, 93 F.3d 58, 61 & n. 1 (2d Cir.1996) (citing cases). The Frendak court reasoned that the philosophy of North Carolina v. Alford, 400 U.S. 25, 91 S.Ct. 160, 27 L.Ed.2d 162 (1970), and Faretta mandated that an accused “be permitted to make fundamental decisions about the course of the proceedings,” 408 A.2d at 376, which were held to include whether to raise the defense of insanity at the time of the offense.
*1192At this point, it is helpful to recall the reasons that led the en banc court to hold that this appeal could proceed in the first instance. In United States v. Boigegrain, 122 F.3d 1345 (10th Cir.1997) (en banc) (Boigegrain I), nine judges of this court joined a per curiam opinion stating that a “defendant must not be left without recourse to appellate review where there is an immediate and significant loss of personal liberty.” 122 F.3d at 1349. I would add that here defendant’s immediate and significant loss of personal liberty was not the only substantial interest at stake for the defendant at the hearing where the determination was made whether a commitment order under § 4241(d) should be entered like that on appeal. There are several reasons, any or all of which may be of importance to an accused in a given case and any or all of which may have been regarded as important by Mr. Boigegrain in this case, for wishing to avoid a finding of incompetence to stand trial:
An involuntary commitment for treatment to restore competence may extend well beyond the maximum sentence imposable for a relatively minor offense. A defendant could view the stigma flowing from a finding of mental illness as more opprobrious than that generated by a criminal conviction. An evaluation may force a defendant to reveal to a court-appointed expert information the defendant would prefer to keep secret.... A defendant might even prefer to be punished through imprisonment than to experience commitment to a mental hospital for treatment, given the marginal conditions in many public mental institutions.
ABA Criminal Justice Mental Health Standards, Standard 7-4.2, commentary at 179-80 (1989).
Given the importance of the interests at stake, one must conclude that the decision on the defendant’s position to oppose or acquiesce in a commitment under § 4241(d) qualifies as one of those fundamental decisions to be made by the client. I am convinced it is not permissible to wrest from the accused the authority to make the fundamental decision about his position at the competency hearing before he has been determined to be incompetent. Fifth and Sixth Amendment protections do not permit this result. Otherwise, the accused is deprived of the right to elect to defend his competence at a hearing with the assistance of counsel.
At the December 6, 1996, hearing in question here, where the judge granted the order of commitment, Mr. Boigegrain had not yet been found incompetent. Counsel, his good intentions notwithstanding, did not have the expertise to determine on his ipse dixit, his client’s competence.1 Certainly counsel was in a position, perhaps uniquely, to observe his client and to communicate with him. In the course of his representation, counsel became concerned about his client’s competency and filed the initial motion for a determination of defendant’s competency. I agree with the majority that in such circumstances counsel must be permitted, and may be duty bound, to raise the issue as he did. But I cannot agree that this step by counsel must control the position to be taken in the proceedings to follow.
Where, as is the case here, defense counsel has doubts of his client’s competence and expresses his doubts to the court, I would hold that the defendant then has the right to decide if he will agree to a commitment order or wishes it to be opposed. If he elects to oppose commitment, as defendant did here, new counsel should be appointed. The majority opinion cites Standard 7-4.2 of the ABA Criminal Justice Mental Health Standards for the holding that defense counsel may move for a competency evaluation over his client’s objection. The commentary to this provision notes, however, that when counsel does raise the issue over his client’s objection, “[tjhis may require, of course, that an attorney seek judicial permission to withdraw as defense counsel because of a conflict of interest.” Id., commentary at 177 (emphasis added). I conclude that the circumstances like those before us are just what the drafters of the ABA Standards must have had in mind in their commentary about the *1193necessity of the attorney seeking leave to withdraw.
Other courts confronted with similar problems in the context of deciding whether to permit a defendant to forgo an insanity defense have resorted to the appointment of amicus counsel when necessary to ensure that arguments both for and against the defendant’s desired course of action are presented. See Marble, 940 F.2d at 1544; Frendak, 408 A.2d at 368-69, 380. The practice in the Ninth Circuit appears to be that any time a substantial conflict develops between counsel and a defendant, the trial court inquires into the matter to ensure that the attorney, can still effectively represent the client. See, e.g., Brown v. Craven, 424 F.2d 1166, 1169-70 (9th Cir.1970). Where proper representation requires, substitute or “conflict counsel” should be appointed to present defendant’s position. United States v. Gonzalez, 113 F.3d 1026, 1028-29 (9th Cir.1997); Mason ex rel. Marson v. Vasquez, 5 F.3d 1220, 1223-24 (9th Cir.1993); United States v. Wadsworth, 830 F.2d 1500, 1510-11 (9th Cir.1987); United States v. Kaczynski, No. CR-S-259, 1998 WL 15049, at *3 (E.D.Cal. January 9, 1998). Based on a parallel rationale, I would hold that because of the important interests at stake in the competency determination, where it is apparent that the defendant desires to resist a finding of incompetency, the district judge should appoint new counsel to assist the defendant in presenting his position.
In sum, I would not affirm the commitment order as the majority opinion does, but vacate it as constitutionally flawed. I would hold that it was a denial of due process to accept as conclusive, on defendant’s position, defense counsel’s decision to raise his client’s incompeteney. When the defendant elected to defend his competence and oppose a commitment order, his attorney should have sought, and should have been permitted, to withdraw. The Court has rejected as impermissible a procedure in which “counsel is not an assistant, but a master.” Faretta, 422 U.S. at 820, 95 S.Ct. 2525. When the defendant elected to defend his competence and oppose the commitment order, defendant was entitled to the assistance of counsel in presenting his position. New counsel, like the substitute or conflict counsel discussed above, should be appointed so that the defendant would have the assistance of counsel to present his position.
Leaving the defendant alone with only an attorney suggesting, contrary to the position defendant elected to take, that he was incompetent denied him due process under the Fifth Amendment and assistance of counsel under the Sixth Amendment. Because defendant was completely without assistance- of counsel at the crucial stage of the competency hearing, I would hold that the error is structural and reversible per se. See Brecht v. Abrahamson, 507 U.S. 619, 629-30, 113 S.Ct. 1710, 123 L.Ed.2d 353 (1993) (deprivation of the right of counsel cited as example of structural error, requiring “automatic reversal”). Accordingly, I respectfully dissent in part and concur in part.

. Thus, I disagree with one proposed approach to this issue which would leave the matter to the informed discretion of defense counsel. Rodney J. Uphoff, The Role of the Criminal Defense Lawyer in Representing the Mentally Impaired Defendant: Zealous Advocate or Officer of the Court?, 1988 Wise. L.Rev. 65.