Lead Opinion
Opinion by
¶ 1 Defendant, Farouk Nagi, appeals the judgment of conviction entered' on a jury verdict finding him guilty of sexual assault on a child by one in a position of trust — pattern of abuse. He contends that the trial' court violated his right to a speedy trial and incorrectly calculated the applicable sentencing range. We disagree and thus affirm.
I. Background
¶ 2 On January 10, 2011, while represented by the public defender (original defense counsel), defendant pleaded not guilty to the charge of sexual assault on his stepdaughter while in a position of trust — pattern of abuse. The court set his trial for June 21, 2011, about twenty days before the expiration of the six-month speedy trial period set'forth in section 18-1-405(1), C.R.S.2013.
¶ 3 In March 2011 defendant filed a pro se motion seeking to obtain a different attorney. While he was completely satisfied with original defense counsel’s performance at the preliminary hearing, he asserted various reasons for the request; primarily, that counsel was not communicating with him. But following a hearing, the trial court found no conflict of interest or other just reason and declined to appoint a new public defender or alternate defense counsel (ADC).
¶ 4 On June 1, 2011, original defense .counsel filed a motion to continue the case, asserting that he needed additional time to investigate out-of-state, witnesses and some witnesses in Yemen, defendant’s native country. Counsel also stated that he did not believe he could effectively represent defendant without conducting the .additional investigation. Defendant vehemently objected to any continuance, asserted his right to a speedy trial,.and indicated that he wished to have ADC appointed to represent Mm.
¶ 5 The trial court conducted an extensive inquiry concerning defendant’s relationsMp with original defense counsel, eventually asking defendant whether, if the court appointed
¶ 6 On June 6, defendant appeared with ADC present, but without original defense counsel. Defendant initially told the court that he did not wish to have ADC appointed, but desired to represent himself. He then abruptly changed his mind and asked to retain original defense counsel “as long as I don’t waive my constitutional right to speedy trial.” The court pointed out that original defense counsel had filed a motion to continue the trial, which would require a speedy trial waiver. Defendant stated that he would not want original defense counsel if that attorney still wanted a continuance; if the attorney would not withdraw the continuance request, he would proceed pro se.
¶ 7 The court then gave defendant an Ar-guello advisement concerning his right to self-representation. See People v. Arguello,
¶ 8 Defendant declined the offer, and stated that he wanted original defense counsel to appear with him on June 21 to see if that attorney would withdraw his request for continuance and could effectively represent him. The court stated that, unless original defense counsel appeared, withdrew the continuance request, and stated that he could provide effective representation, defendant would represent himself at trial, to which defendant agreed. The court set another hearing for June 20.
¶ 9 On that date, the court inquired whether defendant still wanted to represent himself, and when defendant replied affirmatively, the court vacated the trial date and ordered defendant to undergo a competency evaluation. On June 21, the court advised defendant concerning his rights and ordered the evaluation to occur at the Colorado Mental Health Institute in Pueblo (CMHIP).
¶ 10 The CMHIP determined that defendant was competent to proceed. The parties did not contest that evaluation and, at a hearing on August 22, 2011, the trial court found that defendant was competent to proceed to trial. Defendant represented himself at the trial that started on August 30, 2011. The jury convicted him as charged, and the trial court sentenced him to an indeterminate term of twelve years to life.
II. Speedy Trial
¶ 11 Defendant contends that his right to a speedy trial was violated because the competency evaluation was unfounded and, therefore, the period during which his competency was being evaluated should not have been excluded from the six-month speedy trial period. We disagree.
A. Standard of Review and Legal Authority
¶ 12 The application of the speedy trial statute to undisputed facts presents a question of law that we review de novo. See People v. Walker,
¶ 13 A defendant must be brought to trial within six months of entering a not guilty plea. § 18-1-405(1). As relevant here, any period during which a defendant is under examination with respect to his or her competency is excluded from the six-month period. § 18 — 1—405(6)(a).
¶ 14 If a court has “reason to believe” that a criminal defendant is “incompetent to proceed,” the court must suspend the proceedings and determine competency. § 16^8.5-102(2)(a), C.R.S.2013. “ ‘Incompetent to proceed’ ” means that
as a result of a mental disability or developmental disability, the defendant does not have sufficient present ability to consult with the defendant’s lawyer with a reasonable degree of rational understanding in order to assist in the defense, or that, as a result of a mental disability or develop*63 mental disability, the defendant does not have a rational and factual understanding of the criminal proceedings.
§ 16-8.5-101(11), C.R.S.2013.
¶ 15 While section 16-8.5-101, C.R.S. 2013, does not contain a definition of “reason to believe,” and “there is no definitive constitutional standard with respect to the nature and quantum of evidence necessary to require resort to an adequate procedure for determining competency,” Cappelli v. Demlow,
A defendant’s irrational behavior or his or her demeanor at a hearing or trial may be sufficient, of themselves, to require an evaluation. There are no fixed or immutable signs which invariably indicate the need for further inquiry to determine fitness to proceed; the question is often a difficult one in which a wide range of manifestations and subtle nuances are implicated.
Id.
¶ 16 This low threshold is justified in light of the due process interests of the accused that are at stake. One purpose of section 16-8.5-102 is to ensure against a violation of due process that would arise if a defendant who is not mentally competent were required to stand trial or participate in other critical criminal procedures. See Cappelli,
¶ 17 In addition, a criminal defendant may not waive the right to counsel unless he or she does so competently and intelligently. Godinez v. Moran,
¶ 18 We review a trial court’s order for a competency evaluation for an abuse of discretion. Cf. People v. Price,
B. Analysis
¶ 19 Here, on June 20, the day before the scheduled trial, the court vacated the trial and ordered defendant to undergo a competency evaluation. On June 21, during an advisement to defendant about his rights concerning the evaluation, the court stated its reasons for doing so:
The Court has had some hearings on this ease over the last couple of weeks. [Defendant] indicated to the Court, we had diseussion[s] on June 6th, maybe the week before that he wanted to represent himself in this matter. The Court’s .concern, frankly, [defendant], based on the statements that you’ve made to me[,] that you’re not making good decisions; that the fact that you would want to represent yourself in a ease that the consequences to you can be an indeterminate life sentence with no legal training at all raises a concern with the Court that you are not acting competently. I have a duty, sir, to suspend the proceedings and determine whether or not you are, in fact, competent*64 or incompetent if I have reason to believe that you are incompetent.
Again, based on your actions and your decision making, I am concerned that you are not acting competently at this time.
¶ 20 In our view, the record reveals ample grounds to support a “reason to believe” that defendant might have been incompetent to proceed and should have undergone a competency’ determination. Specifically, the following are germane:
• In the hearing on June 1 in which the comí; addressed defense counsel’s motion for a continuance to investigate out-of-state and foreign witnesses, defense counsel stated, “During conversations [with defendant] I have been accused of drinking and partying with [the prosecutor]. I have been accused of trying to . use psychological .tactics to get [defendant] to plead guilty. In essence being in alignment] with the prosecution to , assist them in convicting [defendant].”
. • In the same-hearing, defendant objected to the continuance, insisting on his speedy trial rights. Defendant stated, “I don’t want to waive my right to speedy trial just based on whatever is going on in the head of [defense counsel] and [the prosecutor]. Your honor, I want to have ' my trial on June the 21st. I don’t want a defense. I don’t want him to go interview witness.... I’m just asking [defense counsel]; I’ll be fine. I don’t want any kind of defense plans.... I’ll go through my trial on June the 21st. Whatever happens[,] happens. I accept what God has written for me. Every- . thing- has been written for me since I was bom. So I can go to life sentence, that means I go to life sentence.... You know that I can sense — I can feel there are some instructions from the District Attorney’s Office for [defense counsel] to give them extension. That’s how I feel.... These- are baseless charges. This is statements weren’t written by my daughter. These statements were written by [a detective] and whoever people they were talking to my daughter, I can tell they are not her words. - I don’t know ... why I’m still here. Just if it’s going to, let’s go 'to trial. If you send me to prison, life, whatever God has chose is going to get me out of this. You know, that’s up to God.”
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“Trust me [defense counsel] will never complete his investigation. He will never complete his — I’m sorry to say, it’s fake investigations. Your Honor, I am a Semitic person. .I’m a Semite. I inherited inspiration in my veins. My forefather Abraham, David, Joseph, Mohammed, all of them are Semitic to one father. I always feel and say things.”
• At the June 6 hearing, defendant vacillated between wanting to have original defense counsel represent him (which was contrary to his earlier views and agreement) and wanting to represent himself. He wanted original defense counsel to represent him “as long as I don’t waive my constitutional right to speedy trial.” But the court pointed out how that was inconsistent with his assertion of a right to a speedy trial. Defendant then stated he still wanted to see if original defense counsel could effectively represent him and would withdraw the request for continuance.
¶ 21 These actions and conflicting decisions of defendant are sufficient to justify the court’s entertainment of a “doubt” concerning defendant’s competency, see Scherrer,
¶ 22 Defendant stated he was “mentally and psychologically unsettled” by some of defense counsel’s explanations; he accused defense counsel of using psychological tactics and being in league with the prosecutor to induce him to plead guilty; he did not want any defense at all at his trial and was willing to risk a life sentence if God chose that for him; he believed the charges against him were baseless because the outcry statements were written by a detective, not his stepdaughter (even though she had testified to the assaults at defendant’s preliminary hearing several months earlier); he asserted that defense counsel was pursuing fake investigations and the prosecutor was instructing his counsel to seek a continuance; and he did not appear to comprehend why he would have to choose between representing himself and having life original defense counsel represent him.
¶ 23 Further, the circumstances reveal that defendant may not have had a rational and factual understanding of the proceedings against him because his perception that the prosecution had no case was not grounded in reality. See § 16-8.6-101(11) (defining competency to proceed as requiring a rational understanding of the criminal proceedings); Mondragon,
¶ 24 We are not persuaded by the dissent’s view that the court ordered the competency evaluation solely because defendant exercised his right to represent himself. The court’s comments at the June 21 hearing demonstrate that its order was based on defendant’s statements made during hearings in the weeks before the trial, together with his actions and decisions. Among those actions were his conflicting and inconsistent positions regarding whether he wanted the public defender, ADC, or to proceed pro se; his decision to represent himself in the absence of legal training and while facing the possibility of an indeterminate sentence; and his view that there was no substance to the prosecution’s case.
¶ 25 We acknowledge the court’s statement in the August 24 hearing that “the court’s concern was that he wanted to represent himself in a case which, if convicted, would result in an indeterminate sentence. So the court did not feel that he was making good decisions.” Even so, the court’s statement should not be read in isolation, but in context with its recitations at the June 21 hearing referencing the court’s prior hearings as well as defendant’s previous pronouncements and actions.
¶ 26 For the above reasons, we conclude that the court’s determination was not manifestly arbitrary, unreasonable, or unfair. See Laman,
¶27 Because the court did not abuse its discretion in ordering defendant to undergo a competency evaluation, we also conclude that the period during which defendant was under observation should be excluded from the speedy trial computation. See § 18-1-405(6)(a) (any period during which a defendant is under examination with respect to his or her competency is excluded from the six-month speedy trial period). Excluding that period, defendant’s trial occurred within the speedy trial limit.
III. Sentencing
¶ 28 Defendant also contends that the trial court erred by aggravating the applicable sentencing range in accordance with the crime of violence and extraordinary risk
¶ 29 We conclude that defendant was subject to crime of violence sentencing because the offense of which he was convicted is a per se crime of violence. See § 18 — 3— 405.3(4), C.R.S.2013 (a defendant convicted of a class three felony of sexual assault on a child — pattern of abuse, shall be sentenced in accordance with section 18-1.3-406, C.R.S. 2013); People v. Banks,
¶30 However, the People concede and we agree that the sentencing range should not have been aggravated as an extraordinary risk crime. See People v. Banks,
¶ 31 The judgment is affirmed.
Dissenting Opinion
dissenting.
¶ 32 The majority recognizes that a trial court has broad discretion in deciding whether to refer a defendant for a competency evaluation. I take no issue with this premise. But, I believe this discretion is limited by a defendant’s constitutional right to self-representation.
¶ 33 In my view, the trial court here suspended the proceedings and referred defendant for a competency evaluation based on “the fact that [defendant] would want to represent [himself] in a case that the consequences to [him] can be an indeterminate life sentence with no legal training at all.” This was error for two reasons. First, the court did not apply the applicable legal standard underlying a “reason to believe” a defendant should be referred for a competency evaluation. See §§ 16-8.5-101(11), -102(2)(a), C.R.S.2013. Second, its referral order also infringed on defendant’s constitutional rights. Accordingly, I respectfully dissent.
¶ 34 I begin my analysis by discussing the applicable legal standards.
I. The Legal Standard of Incompetence and Statutory Provisions Governing a Referral for a Competency Evaluation
¶ 35 It is well established that subjecting an accused to trial when he or she is incompetent violates the defendant’s constitutional right to due process. Drope v. Missouri,
¶ 36 The legislature has defined “incompetent to proceed” as follows:
“Incompetent to proceed” means that, as a result of a mental disability or developmental disability, the defendant does not have sufficient present ability to consult with the defendant’s lawyer with a reasonable degree of rational understanding in order to assist in the defense, or that, as a result of a mental disability or developmental disability, the defendant does not have a rational and factual understanding of the criminal proceedings.
§ 16-8.5-101(11); accord Dusky v. United States,
¶ 37 The “reason to believe” threshold that triggers the need for further inquiry into a defendant’s competence to proceed is a discretionary determination. Cappelli v. Demlow,
¶ 38 Although there is no definitive standard regarding the type or amount of evidence necessary to raise a doubt in the mind of a judge regarding a defendant’s competency, see Cappelli,
¶ 39 In my view, the record does not support the court’s referral order. See, e.g., People v. Morino,
II. The Record Proceedings Leading to the Trial Court’s Referral for Competency Evaluation
¶ 40 During the month prior to defendant’s scheduled jury trial, the court held proceedings addressing defendant’s dissatisfaction with defense counsel’s request to continue the trial date beyond the six month speedy tidal period in order to locate additional witnesses. Defendant explained that he was ready to proceed to trial without these witnesses; he distrusted his counsel’s motivations for the continuance and wondered if the request was part of a “back door deal” with the prosecution. He also believed counsel would be unable to locate the witnesses defense counsel sought — especially since some of the witnesses were in the politically unstable country of Yemen. Defendant explained that he would release his attorney from any responsibility for not doing the additional investigation. He apologized for being forthright in referring to counsel’s “defense plans” to investigate these additional witnesses as “fake investigations,” but stated that, as a Semite, he tends to say what he feels. He emphasized that he wanted to preserve his right to speedy trial, as he had been in jail over the past eight months waiting for trial to finally proceed. He believed his attorney had already demonstrated the inconsistencies in the alleged victim’s allegations against him (at the preliminary hearing) and the prosecution would not be able to meet its “beyond a reasonable doubt” burden at trial. But, he knew he risked receiving a life sentence, and
¶ 41 When the court explained that it could grant defense counsel’s request for a continuance over defendant’s assertion of his speedy trial right, defendant weighed his options, which included (1) proceeding with alternate defense counsel, with whom he had no history of distrust (even if that meant resetting the trial beyond the speedy trial date); or (2) representing himself in order to preserve his original trial date. After initially wavering in this decision, defendant ultimately decided to proceed pro se.
¶ 42 The court then conducted an Arguello advisement, and defendant confirmed that he understood the possible penalties if convicted and the various consequences of his decision to represent himself. After conducting the advisement, the court did not indicate it had any concerns regarding defendant’s competency to either waive counsel or to proceed to trial, To the contrary, it indicated it would allow defendant to proceed to trial on the originally scheduled date either (1) with defendant representing himself, if defense counsel was still unwilling to proceed on the original trial date; or (2) with defense counsel, if counsel appeared in court stating that he agreed to do so.
¶ 43 The day before defendant’s scheduled trial, defense counsel did not appear. The court then asked defendant if he still wished to represent himself. Surprisingly, when defendant answered “Yes, sir,” the court abruptly suspended the proceedings, vacated the trial date, and ordered a competency evaluation. The court explained that its order was based on defendant’s desire to represent himself at trial:
The [c]ourt has had some hearings on this case over the last couple of weeks. [Defendant] indicated to the [c]ourt, we had discussion[s] on June 6th, maybe the week before that, he wanted to represent himself in this matter. The [c]ourt’s concern, frankly, [defendant], based on the statements that you’ve made to me that you’re not making good decisions; that the fact that-you would want to represent yourself in a case that the consequences to you can be an indeterminate life sentence with no legal training at all raises a concern with the [c]ourt that you are not acting competently. I have a duty, sir, to suspend the proceedings and determine whether or not you are, in fact, competent or incompetent if I have reason to believe that you are incompetent.
Again, based on your actions and your decision making, I am concerned that you are not acting competently at this time.
¶ 44 Defendant then underwent the evaluation, and was found competent to proceed. The evaluator noted that defendant’s discussion of his case was “considered and reasonable,” and, during their discussions, there was never “any indication of psychosis or other mental illness that influenced [defendant’s] thinking.”
¶ 45 After the parties did not dispute the finding of competence, defense counsel moved to dismiss the case for a violation of defendant’s speedy trial right. In doing so, defense counsel challenged the court’s order requiring defendant to undergo a competency evaluation as lacking a “legal-sound basis.” The court again explained that its reason for the order was defendant’s decision to represent himself:
[T]he [c]ourt felt [a competency evaluation] was appropriate, based on what was being stated to the [c]ourt by [defendant]. The [c]ourt’s concern was that he wanted to represent himself in a case, which, if convicted, would result in an indeterminate sentence. So the [c]ourt did not feel that he was making good decisions and felt it was appropriate to order a competency examination.
Based on these findings and this record, I conclude that the trial court’s order was an abuse of discretion.
III. The Trial Court’s Order for Competency Evaluation was an Abuse of Discretion
¶ 46 Because the trial court did not base its order -on the legal standard for competence, its order suspending the proceedings and directing defendant to undergo a competency evaluation constituted an abuse of dis-
¶ 47 Not only did the order lack record support but, even more significant, the court’s order also infringed on defendant’s constitutional rights. People v. Robles,
¶ 48 Three separate times the court identified only one reason for its referral order: that defendant made bad decisions by waiving his right to counsel and choosing to represent himself at trial, without legal training, when he was facing an indeterminate sentence. This is not a proper basis for a competency referral order.
¶ 49 Understandably, here, the trial court believed that defendant’s decision to represent himself was ill-advised because he faced an indeterminate life sentence if convicted.
¶ 50 But a defendant’s ill-advised legal strategy is ordinarily not justification to question a defendant’s competency. See United States v. Perez,
¶ 51 Several state courts agree with this view. See, e.g., Adkinson,
¶ 52 Not only is á defendant’s, ill-advised legal strategy improper grounds to support, a “reason to believe” a defendant is incompetent to proceed, but, crucially, the decision here is one that is constitutionally guaranteed: criminal defendants have a constitutional right to represent themselves at trial. See Faretta v. California,
¶ 53 Courts must respect that decision, no matter how ill-advised it may be. See Faretta,
¶ 54 “It is well settled that a person should not be penalized for exercising a constitutional privilege.” People v. Pollard,
¶ 55 To be sure, “an incompetent person cannot waive his constitutional rights,” and trial judges “must carefully safeguard such rights should the judge have a reasonable doubt as to a criminal defendant’s competency.” People v. Lopez,
¶ 56 Even so, the invocation of the constitutional right to self-representation, without more, is an improper basis to suspend proceedings and order a competency evaluation. To conclude otherwise would permit a court to impermissibly penalize the exercise of that constitutional right by requiring a defendant to undergo an unwarranted competency evaluation. See Pollard, ¶ 25; see also Cappelli
IV. The Improperly Ordered Competency Evaluation Was Not Harmless
¶ 57 Defendant contends that the trial court’s unwarranted competency order violated his statutory right to a speedy trial requiring that his conviction be vacated. I recognize this is a drastic remedy but, under the unique circumstances of this case, I agree.
A. Standard of Review and Relevant Law
¶ 58 A trial court’s denial of a motion to dismiss for violation of speedy trial rights is reviewed de novo. See People v. Adolf,
¶ 59 Colorado’s speedy trial statute requires dismissal if a defendant is not brought to trial within six months of the entry of a not guilty plea, unless the delay falls into one of the exclusion categories set forth by statute. § 18-1-405(1); see People v. Arledge,
B. Analysis
¶ 60 The speedy trial statute mandates that the period during which a defendant is incompetent or is under observation or examination after the defendant’s incompeteney has been raised “shall be excluded” from the six-month speedy trial calculation. § 18 — 1— 405(6)(a).
¶ 61 Despite the compulsory language of the speedy trial statutes’ time exclusions, the fundamental purpose of the speedy trial statute is “to prevent unnecessary prosecutorial and judicial delays to a pending criminal proceeding.” People v. Yellen,
¶ 62 Here, the court’s improper referral for a competency evaluation circumvented the very purpose for which defendant sought to exercise his constitutional right to represent himself — to prevent further delays and obtain a speedy trial. Thus, application of the statutory exclusion to speedy trial would thwart the purpose of the speedy trial statute and would yield an unjust result. See Yellen,
