480 N.E.2d 499 | Ohio Ct. App. | 1984
Lead Opinion
In this case, Kyle Pruitt (defendant) appeals his conviction under R.C.
Two weeks after a hearing at which the defendant was found competent, the defendant renewed his motion for new counsel; this time for the appointment of any counsel, not the public defender in particular. The court overruled the motion and presented the defendant with two alternatives: either accept his appointed counsel or represent himself. No explanation of the charges against the defendant, or risks upon conviction, or the relative merits and dangers of the choices was attempted. The defendant opted to try his own case.
His appointed counsel was assigned to sit at the trial table as a representative of the court, but the defendant chose not to accept his offers of assistance. In a trial to the court, the defendant was found guilty and sentenced. Six errors are assigned.
"The trial court erred in denying the defendant a speedy trial pursuant to R.C.
R.C.
"(C) A person against whom a charge of felony is pending:
"* * *
"(2) Shall be brought to trial within two hundred seventy days after his arrest."
Under Section (E) of the statute, each day spent in jail is counted as three. There is no question that from the day of his arrest to the day of trial the defendant was jailed. Thus subject to any exception that may apply, the statute mandated a ninety-day period within which the defendant should have been tried. The record reveals the important dates and the tolling or non-tolling status of intervals between them:
August 18, 1982 Defendant arrested
October 15, 1982 Defendant filed affidavit of prejudice
November 3, 1982 Defendant withdraws affidavit of prejudice1 *52
November 19, 1982 Motion to discharge2
November 29, 1982 Defendant referred for psychiatric examination
January 4, 1983 Second motion to discharge3
January 19, 1983 Motion to discharge denied
January 20, 1983 Defendant found competent to stand trial
Trial continued on court's motion
February 9, 1983 Trial on one hundred seventy-fifth day after arrest
R.C.
The state seeks to offset this by tolling the statute for the twenty-day sua sponte continuance from January 20 to February 9 under the provenance of R.C.
"The period of any continuance granted on the accused's own motion, and the period of any reasonable continuance grantedother than upon the accused's own motion;" (Emphasis added.)
The cases have repeatedly made it clear that the speedy trial statutes are to be strictly enforced. State v. Pachay (1980),
"The record of the trial court must in some manner affirmatively demonstrate that a sua sponte continuance by the court was reasonable in light of its necessity or purpose. Mereentries by the trial court will ordinarily not suffice, exceptwhen the reasonableness of the continuance cannot be seriouslyquestioned. Although this burden is contrary to the presumption of regularity generally accorded to trial proceedings, it appears necessary to carry out the purpose of the speedy-trial statutes."Id. (Emphasis added.)
The entry setting the trial date in this case stated only: *53
"Psychiatric hearing. Defendant found competent to stand trial. Continued for trial to February 9, 1983."
If the record in this case did not reflect some extraordinary features, the quoted entry would be faulted by the "mere entry" teaching in Lee. However, the record does reflect some extraordinary features with respect to defense motions. There were more than thirty motions filed and all of them may or may not have been determined by the trial court. The record does not reflect the dispositions clearly or at all on many of the motions. It is defendant's duty through counsel to establish the clarity of record necessary to exemplify the claimed errors. This was not done because the dispositions or lack of them were insufficiently established. Therefore, it is assumed that the processing of the multiplicity of motions not reaching a resolution on the record reasonably consumed as many or more than four days. With the record in this condition the four days can logically be charged off under either the defendant's action or the "reasonable continuance" provisions of R.C.
Assignment of Error No. I is without merit.
On the other hand, Williams testified that he had never seen anyone who filed as many pro se documents as did the defendant. He also said that there was "no question" that the defendant had difficulty assisting counsel and that he had a distrust of counsel. Williams indicated *54 that before his examination of the defendant he reviewed a history prepared by a psychiatric social worker. After completing the examination and report, he spoke with the defendant's V.A. counselor, Anthony Dunn. Although that conversation was brief, Williams admitted it raised matters which, if explored more deeply, might cause his opinion of the defendant's competency to change. In particular, Williams noted that he did not have the V.A. "assessment" of the defendant. His suggestion was, that had the V.A. records shown a history or pattern of distrust indicating paranoia, his opinion would be different. When the defense moved to order the production of the V.A. records, the motion was impliedly denied.
The trial court had before it the defendant's numerous pro se motions and apparently found many of these quite incomprehensible. Williams, however, considered them nothing more than typical legal "boilerplate" and a logical response to the defendant's belief in his own innocence. Although some were sensible, others clearly suggested the defendant understood himself to be charged with drug use, rather than possession. He requested urinalysis to show he had not taken any drugs, and went so far as to file an affidavit of prejudice against the presiding judge of the court of common pleas in the belief that the judge was responsible for denying the tests.
On this state of the record, the evidence both for and against competency was equivocal at best; neither was very convincing. It is impossible to say on which side the balance lay. Thus, only on the theory that the presumption of competence was not rebutted by a preponderance of the evidence can the finding of the trial court be sustained.6 This condition raises a serious question of first impression in Ohio — the constitutionality of R.C.
"(A) In a criminal action in a court of common pleas or municipal court, the court, prosecutor, or defense may raise theissue of the defendant's competence to stand trial. If the issue is raised before trial, the court shall hold a hearing on the issue as provided in this section. If the issue is raised after trial has begun, the court shall hold a hearing on the issue only for good cause shown.
"A defendant is presumed competent to stand trial, unless it isproved by a preponderance of the evidence in a hearing under thissection that because of his present mental condition he isincapable of understanding the nature and objective of theproceedings against him or of presently assisting in hisdefense." (Emphasis added.)
At the outset, a serious problem of interpretation is evident: on whom does the burden of overcoming the "presumption" of competence by a preponderance of the evidence rest? Or, rather, who bears the burden of persuasion on the issue. The question is important, assuming the V.A. records would have made a difference, because it helps determine who was charged with bringing evidence of the defendant's incompetency before the court. The result reached (i.e., competence) can be supported by a reasonable assessment of the evidence here only if the burden was *55 placed on the defendant. There does not appear to be any Ohio decisional law on this placement.
At first blush the statute seems to indicate the defendant must prove himself incompetent (cf. fn. 3, supra). But this solution leads to immediate difficulties. For it may often be the case, especially where only minor offenses are involved, that an arguably incompetent defendant would rather go to trial and risk only minimal punishment, than risk prolonged institutionalization as an incompetent (see R.C.
On the other hand, to put the burden of proving the defendant's incompetence on the state would almost always lead to a paradoxical situation in which the trial participant with the least interest in meeting the burden is charged with doing so. The issue may be clouded still further by the statutory provision that the question of the defendant's incompetency may be raised by the defendant, the state or the court. Must the court prove the defendant's incompetency by a preponderance of the evidence when neither the defendant nor the state want such a finding? No matter how apportioned, the requirement of proving the defendant's incompetency gives rise to incongruous results.
Putting this problem aside for the moment, the more fundamental question arises — given the statutory burden of proof (preponderance) what must actually be proved? Here the statute is unambiguous and for that very reason inconsistent with the Due Process Clause. For it requires that incompetency must be proved. Many courts agree that this is impermissible.7
The starting points are these:
"[C]onviction of an accused person while he is legally incompetent violates due process, Bishop v. United States,
Since notions of fundamental fairness are concerned, the rules of proof must be tailored to guard both against unconstitutional convictions attendant upon erroneous determinations ofcompetency, and unconstitutional allocations of proof relevant to that issue. See Santosky v. Kramer (1982),
It follows that if due process requires that there is an issue of competency to be proved, the state must bear the burden. This will both insure vigorous presentation of the evidence and prevent the unfairness of calling upon the defendant, whose competency has been genuinely questioned, to disprove the doubt.10 DiGilio, supra, at 988.
Accordingly, R.C.
It is my view that Assignment of Error No. II is well-taken. The majority does not agree, but this does not change the decision to reverse and remand.
"The appellant was denied his right to the assistance of counsel as guaranteed by the
The defendant makes two arguments *57 under this assignment of error: first, the court failed to appoint different counsel for the defendant upon his timely request; and second, the defendant's waiver of his right to counsel, accepted by the court, was not knowing, intelligent and voluntary.
"In order to warrant a substitution of counsel during trial, the defendant must show good cause, such as a conflict of interest, a complete breakdown in communication or an irreconcilable conflict which leads to an apparently unjust verdict. * * * If a court refuses to inquire into a seemingly substantial complaint about counsel when he has no reason to suspect the bona fides of the defendant, or if on discovering justifiable dissatisfaction a court refuses to replace the attorney, the defendant may then properly claim denial of his
From the record it appears there was no communication between the counsel and the accused and a total lack of cooperation and trust of counsel on the defendant's part. In the absence of any indication that the request for other counsel was for purposes of delay or not in good faith, and there is none here, failure to honor the defendant's timely request amounted to a denial of effective assistance of counsel. Cf. Brown v. Craven (C.A. 9, 1970),
Assignment of Error No. III is well-taken.
"The trial court erred in violation of due process as guaranteed by the
For the reasons given in Section IV(B) it is also impossible to determine whether defendant was competent to represent himself. In any event the trial judge did not take the precautions necessary before allowing self-representation even by competent defendants. See Faretta v. California (1975),
Assignment of Error No. IV is well-taken. *58
"The trial court erred in violation of the Due Process Clause of the
The defendant challenges the sufficiency of the evidence on the element of possession. He maintains correctly that mere proof of presence in the vicinity of illicit drugs is not enough to prove that element. Cincinnati v. McCartney (1971),
Of course, the evidence is circumstantial. But it is wholly consistent with the state's theory of guilt and "irreconcilable with any reasonable theory of innocence." See State v. Kulig
(1974),
Assignment of Error No. V is without merit.
"The trial court erred in failing to advise the appellant that he had a right to request conditional probation and in failing to hold a hearing on his eligibility therefore, pursuant to R.C.
R.C.
"If the court has reason to believe that an offender convicted of a felony or misdemeanor is a drug dependent person or is in danger of becoming a drug dependent person, the court may, and when the offender has been convicted, the court shall advise theoffender that he has the right to request conditional probation for purposes of treatment and rehabilitation." (Emphasis added.)
It has been held that it is the mandatory duty of the trial court to advise the defendant of his right to request conditional probation under R.C.
The record is replete with references which ought to have given rise to the reasonable belief that the defendant was or might become drug dependent (letter of Mr. Dunn to Judge Coleman; report of Dr. Williams). That some of this evidence was adduced during the defendant's competency hearing is immaterial. The statute places no limit on the way a reasonable belief may be engendered.
The state's suggestion that error, if any, was harmless is off the mark. The defendant was "potentially eligible for conditional probation." State v. Gibson (1980),
Assignment of Error No. VI is well-taken.
Judgment reversed and cause remanded.
MARKUS and NAHRA, JJ., concur.
"The time within which an accused must be brought to trial, or, in the case of felony, to preliminary hearing and trial, may be extended only by the following:
"* * *
"(B) Any period during which the accused is mentally incompetent to stand trial or during which his mental competence to stand trial is being determined, or any period during which the accused is physically incapable of standing trial;
"* * *
"(E) Any period of delay necessitated by reason of a plea in bar or abatement, motion, proceeding, or action made or instituted by the accused;"
Concurrence Opinion
I agree that defendant was denied the effective assistance of counsel without a valid waiver of that right. I also agree that defendant failed to demonstrate a denial of his speedy trial rights, that the evidence supported the verdict, and that the court should have advised defendant about his right to seek conditional probation. Therefore, I agree with the majority's disposition of Assignments of Error Nos. I, III, IV, V, and VI. However, I disagree with Judge Day's disposition for Assignment of Error No. II.
In my view, R.C.
If defendant had no burden to prove his incompetence, his counsel still had the burden to rebut the state's evidence with V.A. records or otherwise. The state had no burden to search for every conceivable item of evidence which might challenge its own evidence. The state did not possess the allegedly significant V.A. records, so it had no duty to supply them as potentially exculpatory material. Defense counsel should have subpoenaed their custodian, if he considered those records were significant.
Concurrence Opinion
I also concur except as to the disposition of Assignment of Error No. II. In my view, R.C.