State v. NomeyState v. Nomey
Freddie Joe Nomey was charged by separate grand jury indictments with two counts of solicitation for the murder of his sister, in violation of
On September 24, 1990, defendant filed a pro-se motion for post-conviction relief, alleging that the trial court‘s failure to conduct a hearing on the issue of his sanity prior to accepting his guilty pleas violated his due process rights. The trial court denied the request for post-conviction relief. Defendant applied to the court of appeal, which granted the writ and ordered the trial court to conduct an evidentiary hearing to determine defendant‘s capacity to proceed at the time of the entry of the guilty pleas. The hearing was held on March 8, 1991, and both Dr. Seiden and Dr. Ware testified. At the conclusion of the hearing, the trial court held that defendant had the capacity to proceed at the time of the entry of his guilty pleas. Thereafter, the trial court also dismissed defendant‘s “first supplemental motion for post-conviction relief,” finding it to be a successive application.5 Defendant applied to the court of appeal for writs on both issues. On the first issue, the court found “no error by the trial judge in examining the reports of the sanity commission which were made prior to applicant‘s guilty pleas and in determining his prior competency to proceed after he challenged the pleas in an application for post-conviction relief.” In doing so, the court of appeal relied on this court‘s per curiam opinion in State v. Aylor, 416 So.2d 927 (La.1982), and distinguished our decision in State v. Harris, 406 So.2d 128 (La.1981). On the second issue, the court found the trial court did not abuse its discretion in declining to rule on defendant‘s supplemental application, finding the record revealed the factual basis for those claims was readily available to defendant and they plainly could have been raised earlier. Therefore, the court of appeal denied writs. Upon defendant‘s application, we granted certiorari to review the correctness of that decision.6
The issue before us is whether the trial court‘s failure to hold a hearing on the issue of defendant‘s sanity prior to accepting his guilty pleas violated defendant‘s due process rights.
Defendant argues that the trial court‘s actions violated his due process rights, as set forth in
The defendant‘s mental incapacity to proceed may be raised at any time by the defense, the district attorney, or the court. When the question of the defendant‘s mental incapacity to proceed is raised, there shall be no further steps in the criminal prosecution, except the institution of prosecution, until the defendant
is found to have the mental capacity to proceed. [emphasis added].
The issue of the defendant‘s mental capacity to proceed shall be determined by the court in a contradictory hearing. The report of the sanity commission is admissible in evidence at the hearing, and members of the sanity commission may be called as witnesses by the court, the defense, or the district attorney. Regardless of who calls them as witnesses, the members of the commission are subject to cross-examination by the defense, by the district attorney, and by the court. Other evidence pertaining to the defendant‘s mental capacity to proceed may be introduced at the hearing by the defense and by the district attorney. [emphasis added].
The record shows that the court appointed a sanity commission, which examined defendant on May 24, 1988. The next day, the court accepted defendant‘s guilty pleas. There is no evidence that the trial court ever conducted a contradictory hearing on the issue of defendant‘s competency prior to accepting the pleas.7 Therefore, we conclude the trial court‘s acceptance of the pleas without holding a hearing on defendant‘s competency violated
The two leading decisions from this court dealing with the consequences of violations of those articles are State v. Harris, 406 So.2d 128 (La.1981), and State v. Aylor, 416 So.2d 927 (La.1982).
In Harris, the defendant was charged with four counts of armed robbery. He filed a motion for appointment of a sanity commission. A sanity hearing was set, but later was continued without date. Subsequently, Harris was released on bond, only to be arrested several months later on other charges. Harris then entered plea bargain negotiations, in which he agreed to plead guilty to the four counts of armed robbery in exchange for dismissal of other pending charges. Prior to sentencing, Harris renewed his request for a sanity commission. The trial judge denied the request. On appeal to this court, Harris argued the trial court erred in allowing him to enter guilty pleas without first resolving the issue of capacity to proceed and in denying his second motion for appointment of a sanity commission. On original hearing, we found the trial judge clearly committed error in proceeding once the sanity commission was appointed without resolving the issue of sanity and in failing to appoint a sanity commission at the second request. However, we found it unnecessary to set aside the guilty pleas and sentences “as the issue of capacity may be clarified on remand.” 406 So.2d at 130. On rehearing, we reversed our holding that capacity could be determined on remand:
The law is clear in this situation. Article 642 mandates that “no further steps in the criminal prosecution” shall be taken until the defendant is found to have the mental capacity to proceed.
Acceptance of defendant‘s guilty pleas under these circumstances was clearly contrary to the law, and, we determine in this type of situation at least, not correctable retroactively. Defendant‘s guilty pleas therefore must be nullified.
Id. at 134 (footnote omitted).
Approximately one year after Harris, we again addressed this issue in the per curiam opinion in State v. Aylor. Aylor was charged with attempted second degree murder. Prior to arraignment, the trial judge appointed a sanity commission to determine Aylor‘s competency to stand trial. Both the state and defense agreed to submit the question of competency on the reports of the commission doctors and the
In the present case, the court of appeal found the facts were closer to Aylor than Harris. The court reasoned that since the sanity commission had conducted an examination of defendant prior to his entry of the guilty pleas, the trial court could make a retroactive determination of sanity. We agree that the facts of the instant case are in some ways closer to Aylor than Harris. However, for the following reasons, we now consider Aylor‘s holding that a case may be remanded for a retroactive determination of sanity to be erroneous.
It has long been accepted that a person whose mental condition is such that he lacks the capacity to understand the nature and object of the proceedings against him, to consult with counsel and to assist in preparing his defense may not be subject to trial. Drope v. Missouri, 420 U.S. 162, 171, 95 S.Ct. 896, 903, 43 L.Ed.2d 103 (1975). The failure to observe procedures adequate to protect a defendant‘s right not to be tried or convicted while incompetent to stand trial deprives him of his due process right to a fair trial. Id. at 172, 95 S.Ct. at 904; Pate v. Robinson, 383 U.S. 375, 86 S.Ct. 836, 15 L.Ed.2d 815 (1966); State v. Rogers, 419 So.2d 840 (La. 1982). Our statutory scheme for detecting mental incapacity “jealously guards a defendant‘s right to a fair trial.” Rogers, at 843.
The state argues that the true question is whether there is sufficient evidence to show that defendant was not legally capable to proceed at the time of the guilty pleas. Based on the reports of the sanity commission made prior to the guilty pleas, the state contends the evidence shows defendant was competent to proceed. While on first impression this argument has some appeal, we believe it misses the point. As stated by Justice Blackmun, “the Due Process Clause does not simply forbid the State from trying and convicting a person who is incompetent. It also demands adequate anticipatory, protective procedures to minimize the risk that an incompetent person will be convicted.” Medina v. California, ___ U.S. ___, ___, 112 S.Ct. 2572, 2584, 120 L.Ed.2d 353 (1992) (Blackmun, J. dissenting) (emphasis in original). Regardless of whether a retroactive determination of sanity can now be made, the fact remains that defendant was deprived of the protective procedures set forth in our criminal code prior to the entry of his guilty pleas, thus depriving him of his due process rights.8 We believe this was the type
Accordingly, we hold the court of appeal erred in remanding the case for a retroactive sanity hearing. The trial court‘s acceptance of defendant‘s guilty pleas prior to holding a sanity hearing violated defendant‘s due process rights, as set forth in
DECREE
For the reasons assigned, all proceedings taken after the appointment of the sanity commission, including defendant‘s guilty pleas, are vacated. The case is remanded to the district court for further proceedings.
LEMMON, J., dissents and assigns reasons.
LEMMON, Justice, dissenting.
When the defendant‘s mental incapacity to proceed has been raised,
One significant evil sought to be prevented by Article 642 is the trial court‘s acceptance of a guilty plea from an insane defendant. In the present case all of the information concerning the defendant‘s capacity to proceed had been accumulated at the time of the guilty plea. Inasmuch as the evidence prepared prior to the guilty plea established that the defendant did have the mental capacity to proceed, the court did not accept the guilty plea from an insane defendant, and any statutory violation is harmless beyond a reasonable doubt. Under these circumstances the interest in maintaining the integrity of convictions through guilty pleas outweighs the technical effect of the Article 642 violation.
The majority effectively holds that violation of Article 642 constitutes a procedural due process violation and can never be harmless error. Finding that there was a constitutional violation begs the question whether the error resulting in the violation was harmless beyond a reasonable doubt. Many trial errors constitute a constitutional violation, but the question still remains whether the error was prejudicial. Since the error in this case was not prejudicial,