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STATE OF NORTH CAROLINA v. DERRICK JOVAN MCRAE
NO. COA03-261
Filed: 6 April 2004
1. Criminal Law-_competency to stand trial--retrospective hearing--trial judge as
presiding judge--failure to show bias
It was not error in a first-degree murder case for the same trial judge to have been the
hearing judge in a retrospective competency hearing, because: (1) there was nothing in the
transcript or record that suggested that the trial judge intervened as a witness in this case over a
disputed fact; (2) defendant failed to show any bias, interest, or prejudice by the trial judge in
conducting the retrospective competency hearing; and (3) no constitutional, statutory, or code of
judicial conduct requires a per se recusal of a trial judge in a retrospective competency hearing.
2. Criminal Law--competency to stand trial--retrospective hearing--findings--
observations of trial judge
The trial judge did not err in an order following a retrospective competency hearing by
making a finding referring to his observations as judge at defendant's original murder trial and
retrial without making findings as to what those observations were where the reference to his
observations did not involve disputed facts but was used only to corroborate the undisputed facts
in the record.
3. Criminal Law--competency to stand trial--retrospective hearing--motion for new
trial
The trial court did not abuse its discretion in a first-degree murder case by concluding
that a meaningful retrospective competency hearing was possible in this case and that defendant
was not entitled to a new trial, because: (1) despite the passing of three years, the trial court had
before it medical records leading up to three days before the 11 May 1998 trial and testimony of
the last examining doctor; (2) the original trial judge conducted the retrospective hearing, and he
was familiar with the parties and issues; (3) there was competent evidence that defendant was
competent throughout his trial beginning 11 May 1998 including that defendant was on an
antipsychotic medication during the trial; (4) contrary to defendant's contention, a doctor's 6 and
8 May 1998 exams of defendant were not cursory when they were based on six previous
evaluations of defendant that had been conducted by both that doctor and another doctor; and (5)
defendant's counsel raised no issue of defendant's competency, thus presenting defendant as
competent.
4. Constitutional Law--competency to stand trial--competency at retrospective hearing
The trial court did not err in a first-degree murder case by finding that defendant was
competent to proceed at a 7 June 2001 retrospective competency hearing and by proceeding with
the hearing without defendant's presence, because competency hearings do not implicate
defendant's confrontation rights and do not have a substantial relation to his opportunity to
defend. Therefore, whether defendant was competent at the retrospective hearing did not
implicate his constitutional or statutory rights.
5. Constitutional Law--competency to stand trial--conjecture of incompetency
The trial court did not violate the Court of Appeals' mandate in a 1 August 2000 opinion
when it found defendant was competent to stand trial on 11 May 1998 but did not make such adetermination as to the entire trial, because when there is no evidence beyond conjecture of a
defendant's incompetency during trial, a finding of defendant's competency at the
commencement of the trial is sufficient for showing he was competent throughout the trial.
6. Criminal Law--order entered out of term and out of session--implied consent
The trial court's 31 August 2002 order in a first-degree murder case is not null and void
even though it was entered out of term and out of session, because defendant impliedly
consented when he raised a new constitutional issue in his closing statement for which he
tendered an extensive United States Supreme Court opinion for the trial court's review.
Judge TIMMONS-GOODSON concurring in the result.
Appeal by defendant from an order entered 17 September 2002 by
Judge Sanford L. Steelman, Jr., in Richmond County Superior Court.
Heard in the Court of Appeals 2 December 2003.
Attorney General Roy Cooper, by Assistant Attorney General
Diana A. Reeves, for the State.
Appellate Defender Staples Hughes, by Assistant Appellate
Defender Anne M. Gomez, for defendant appellant.
McCULLOUGH, Judge.
Defendant, Derrick McRae, was first indicted for murder on 18
March 1996. Prior to his first trial, defendant underwent six
psychiatric evaluations with intervening medications: (1) On 13
December 1996, defendant was diagnosed by Dr. Nicole F. Wolfe (Dr.
Wolfe) as schizophrenic and psychotic, incompetent to stand trial;
(2) on 7 April 1997, defendant was found by Dr. Robert Rollins (Dr.
Rollins) to be competent to stand trial if he remained on his
medication; (3) on 17 September 1997, at a competency hearing, both
Dr. Wolfe and the court found defendant incompetent to stand trial;
(4) on 11 February 1998, Dr. Wolfe again found defendant
incompetent to stand trial; on 15 March 1998, defendant was firstinjected with the antipsychotic drug Haldol; (5) on 6 April 1998,
Dr. Wolfe found defendant capable to stand trial; on 15 April 1998,
defendant was given a second injection of Haldol; and (6) on 27
April 1998, the day defendant's trial began, Dr. Wolfe again found
defendant capable to stand trial. The jury rendered a deadlock
verdict.
After the mistrial, a second trial was held before the same
trial court. Before the defendant's second trial, Dr. Rollins gave
defendant a seventh evaluation on 6 May 1998 where he was found
competent to stand trial. The trial began 11 May 1998, and
defendant was found guilty on 14 May 1998 of first-degree murder.
He was sentenced to life without parole. Defendant appealed his
judgment to this Court. In the 1 August 2000 opinion, we held that
defendant had been denied due process by the trial court in failing
to conduct a competency hearing on the day the trial began as seven
prior and conflicting evaluations raised a bona fide doubt of
competency pursuant to Meeks v. Smith, 512 F. Supp. 335, 338
(W.D.N.C. 1981). We remanded defendant's case to determine whether
it was possible for a retrospective competency hearing to be held
effectively, and if so, to hold such a hearing to determine
defendant's competency at the time of trial.
The original trial court then held a retrospective competency
hearing on 7 June 2001 and 31 August 2001. The retrospective
competency hearing was found to be possible, and defendant was
found to be competent at the time of the 11 May 1998 trial. The
findings of fact and conclusions of law were then entered in anorder dated 17 September 2002. Defendant's prior judgment was
thereby sustained. Defendant appealed.
Defendant raises seven issues on appeal. Issues (I) and (II)
of defendant's brief contend that the same trial judge should not
have been the hearing judge in the retrospective competency hearing
as he was a witness to the 11 May 1998 trial; issue (III) alleges
that the trial judge did not make adequate findings as to his
impressions of defendant during the 11 May 1998 trial; issue (IV)
alleges that it was impossible to hold a retrospective
determination of competency; issue (V) alleges defendant was
incompetent to participate in the retrospective competency hearing
and should have been granted his motion for rehearing; issue (VI)
alleges the trial court did not follow the mandate of our 1 August
2000 opinion regarding a finding of defendant's competency at the
time of trial; and finally, defendant argues in issue (VII) that
the trial court's 31 August 2002 order is null and void because it
was entered out of term and out of session. Pursuant to the legal
analysis on each of these issues set out below, we find there was
no error in the trial court's 7 June 2001 and 31 August 2001
retrospective competency hearing, nor in the subsequent 31 August
2002 written order.
I. Original Trial Judge Conducting the
Retrospective Competency Hearing
[1] Defendant contends that the 11 May 1998 trial judge was
the improper judge to make the retrospective competency
determinations. Defendant argues he was denied his constitutionalright to confront witnesses against him because the trial judge was
not subject to cross-examination as to his observations of
defendant during the second trial, observations which defendant
alleges were the basis of the court's finding of competency. In a
separate issue, consolidated in this opinion, defendant argues that
the trial judge should have disqualified himself under N.C. Gen.
Stat. § 15A-1223(e) (2003). We disagree and conclude that the trial
judge acted without error in presiding over the retrospective
competency hearing.
A. Constitutional Right to Confront Witnesses
Defendant argues that his state and federal constitutional
rights were violated when the trial court took into account its own
recollections from the 11 May 1998 trial for its findings in the
order from the retrospective competency hearing. Specifically,
defendant cites Tyler v. Swenson, 427 F.2d 412, 416 (8th Cir.
1970), a federal habeas corpus case where the trial judge also
presided over a post-conviction evidentiary hearing to determine
whether the petitioner's plea had been made involuntarily.
Defendant cites Tyler, arguing it is error for a trial judge to
weigh[] his own recollection of events in making his findings.
Id.
While we note the importance of the principles set forth in
Tyler and its recitation of applicable law, we conclude that the
facts of this case are distinguishable from that case's narrow and
egregious circumstances. In Tyler, during the post-conviction
hearing, the trial judge became engaged with the petitioner's trialcounsel in a dispute over their respective recollections of the
facts. This escalated to the point that petitioner's attorney was
ultimately held in contempt of court. Also during the hearing,
after testimony by petitioner's mother as to what occurred in her
presence while in the judge's chambers, the trial judge made a
statement that petitioner's mother had in fact never been in the
court's chambers. Ultimately, the trial judge made findings of
disputed facts that the events had not taken place as petitioner
and the other witnesses had testified, but as he recalled.
The Eighth Circuit found that the trial judge had violated the
petitioner's right to confrontation and due process when his
statements during the rehearing were the only testimony offered to
dispute defendant's claim of an involuntary plea. The court in
Tyler stated:
To avoid misunderstanding, we note that
it is not our intention by this decision to
retreat from the federal and state decisions
which accurately point up the recognition that
the trial court, familiar with the prior
proceedings, generally represents the better
and more expeditious forum for post-conviction
proceedings.
We thus make clear, as do the above
cases, that a trial judge is not to be
disqualified simply because he is familiar
with the proceedings and supplements the
record with observations. Nor do a trial
judge's supplemental statements into the
record make him a material witness, unless he
offers disputed and material testimony which
is challenged by the petitioner. In the
instant case it is particularly significant
that the trial judge's recollection was the
only testimony which refuted petitioner's
claim, a claim which challenged the propriety
of the judge's prior conduct.
Tyler, 427 F.2d at 417 (citations omitted) (emphasis added).
The facts of this case do not implicate the holding in Tyler.
Defendant points to nothing in the transcript from the
retrospective competency hearing, neither in the form of questions
nor assertions, as material testimony by the trial judge as to a
disputed fact. The trial judge asked Dr. Rollins only a few
questions relating to the timing and dosage of defendant's
medication around the 11 May 1998 trial. Furthermore, the State
elicited ample undisputed testimony of defendant's competency
before the 11 May 1998 trial in the cross-examination of Dr.
Rollins.
In finding of fact no. 8 in his written 31 August 2002 order,
the trial judge stated, The undersigned Judge was also present at
both trials of the defendant, and observed everything that
transpired in the course of these trials. In this finding, the
trial judge is merely acknowledging the point reiterated in Tyler
that the trial court, familiar with the prior proceedings,
generally represents the better and more expeditious forum for
post-conviction proceedings. Id. There is nothing in the
transcript or record that suggests that the trial judge intervened
as a witness in this case over a disputed fact. While it is
unclear what the trial judge's observations were, even assuming he
observed defendant to be competent at the original two trials, this
is only corroborative of evidence elicited by the State at the
retrospective competency hearing that was undisputed. See UnitedStates v. Smith, 337 F.2d 49, 54 (4th Cir. 1964), cert. denied, 381
U.S. 916, 14 L. Ed. 2d 436 (1965).
B. Judicial Disqualification
Defendant next contends that the trial judge should have
disqualified himself from the retrospective competency hearing
pursuant to N.C. Gen. Stat. § 15A-1223(e), which states in relevant
part: A judge must disqualify himself from presiding over a
criminal trial or proceeding if he is a witness for or against one
of the parties in the case. Defendant argues that, because the
trial judge witnessed the 11 May 1998 trial, and because he was
essentially a witness for the State as to his observations, he was
bound by this statute. We cannot agree and find the State's
argument persuasive on this point.
Our Supreme Court has held that N.C. Gen. Stat. § 15A-1223 and
Canon 3 of the Code of Judicial Conduct control the
disqualification of a judge presiding over a criminal trial.
State v. Scott, 343 N.C. 313, 325, 471 S.E.2d 605, 612 (1996).
Under Canon 3(C)(1)(a) of the North Carolina Code of Judicial
Conduct,
(1) [A] judge should disqualify himself
in a proceeding in which his impartiality may
reasonably be questioned, including but not
limited to instances where:
(a) He has a personal bias or
prejudice concerning a party, or
personal knowledge of disputed
evidentiary facts concerning the
proceedings[.]
Upon our review to determine whether a judge should have
disqualified himself under N.C. Gen. Stat. § 15A-1223(e) and Cannon
3, the burden is placed upon the defendant to show
'objectively that grounds . . . exist . . .
consist[ing] of substantial evidence that
there exists such a personal bias, prejudice
or interest on the part of the judge that he
would be unable to rule impartially.' The
bias, prejudice, or interest which requires a
trial judge to be recused from a trial has
reference to the personal disposition or
mental attitude of the trial judge, either
favorable or unfavorable, toward a party to
the action before him.
Scott, 343 N.C. at 325, 471 S.E.2d at 612.
Defendant has failed to show any bias, interest, or prejudice
by the trial judge in conducting the retrospective competency
hearing. A reading of the transcript reveals nothing but an
impartial hearing, during which any question or point made by the
trial judge was for clarification to benefit himself and both
parties. Defendant's argument is one requiring per se recusal by
the trial judge in a retrospective competency hearing. We conclude
no constitutional, statutory, or code of judicial conduct requires
this; and we hold such a per se rule would be inconsistent with
considerations of efficient judicial administration favoring a
presiding judge's familiarity with relevant matters.
Therefore, we overrule issues (I) and (II) concerning the
propriety of the same trial judge presiding over a subsequent
retrospective competency hearing, as the record and transcript show
no evidence of constitutional, statutory, or code of conduct
violations.
II. Trial Judge Did Not Specify His
Observations During the First Two Trials
[2] In his written order, the trial judge made finding of fact
no. 8, stating: [t]he undersigned Judge was also present at both
of the trials of the defendant, and observed everything that
transpired in the course of these trials. Defendant contends this
finding is insufficient because the trial judge failed to make any
findings as to what his observations were, and thus a reviewing
court cannot determine whether his observations are actually
disputed facts for which the court must provide a basis.
We agree with defendant that finding of fact no. 8 suggests or
implies that the trial judge observed the defendant to be competent
during both trials. However, considering that a trial judge has a
duty, sua sponte, to call a competency hearing when there is a bona
fide question during the course of a trial as to whether defendant
is competent to stand trial, the fact that he did not call such a
hearing already suggests he found defendant competent during the
second trial. See State v. Young, 291 N.C. 562, 568, 231 S.E.2d
577, 581 (1977). Therefore, nothing is added by finding of fact
no. 8 that is not already implied by the fact that we remanded the
case back to the trial level to conduct the competency hearing. The
finding suggests that the only weight that was placed on his
observations was to corroborate the undisputed facts presented at
the hearing. See State v. Chaplin, 122 N.C. App. 659, 663, 471
S.E.2d 653, 656 (1996) (failure to make findings does not preventreview by the appellate court if the information before the trial
court is not in dispute).
At the hearing, upon the cross-examination of Dr. Rollins, the
State elicited the following undisputed testimony:
Q: Did you notice anything about Mr. McRae,
again, just with the observation in May
of 1998, which would determine his
competency to stand trial? Did you
notice any indication from Mr. McRae
where any of the other tests that Mr.
Goodwin talked about, CAT scans, short-
term memory tests, visual recall tests,
information processing, did you find any
indication any of those were necessary
for you to form an opinion based on your
training and experience?
A: No, they were not indicated, in my
opinion.
Furthermore, it is undisputed that defendant received two
injections of Haldol to treat his mental disorder, the second
dosage administered on 15 April 1998. It is also undisputed that
the 11 May 1998 trial was conducted within the approximate window
of the medication's stabilizing effect. Defendant offered no
testimonial evidence that he was not competent to stand trial on 11
May 1998, and only offered testimony at the hearing questioning Dr.
Rollins' methodology. Defendant's only real disputed fact is
whether the Haldol had worn off before the end of the 11 May trial,
a contention supported only by conjecture. Therefore, the trial
judge did not err in making his finding of fact no. 8 referring to
his observations as judge where the reference to his observations
were only used to corroborate the undisputed facts in the record.
III. Retrospective Competency Hearing
and Defendant's Competency
[3] Defendant next argues that it was impossible to hold a
meaningful retrospective competency hearing in this case, and
therefore he should have been granted a new trial. He argues that
the hearing was not possible because there was a three-year hiatus
between the trial at issue and the retrospective hearing, that the
defendant's competency fluctuated for the two years preceding the
trial, and that the last competency evaluation, conducted by Dr.
Rollins, occurred several days before the trial and was cursory.
As to each of these arguments, we disagree.
The defendant's case is the first in North Carolina to utilize
the retrospective competency hearing as an alternative remedy to a
new trial in cases where the trial judge failed to conduct a
necessary competency hearing at the initial trial. This remedy is
disfavored due to the inherent difficulty in making such nunc pro
tunc evaluations. See Drope v. Missouri, 420 U.S. 162, 183, 43 L.
Ed. 2d 103 (1975); Pate v. Robinson, 383 U.S. 375, 15 L. Ed. 2d 815
(1966); Dusky v. United States, 362 U.S. 402, 4 L. Ed. 2d 824
(1960). This Court, when remanding defendant's case to the trial
court to determine whether a meaningful retrospective competency
hearing could be held, stated:
The trial court is in the best position to
determine whether it can make such a
retrospective determination of defendant's
competency. Thus, if the trial court concludes
that a retrospective determination is still
possible, a competency hearing will be held,
and if the conclusion is that the defendantwas competent, no new trial will be required.
State v. McRae, 139 N.C. App. 387, 392, 533 S.E.2d 557, 560-61
(2000) (McRae I); see also United States v. Di Gilio, 538 F.2d 972
(3d Cir. 1976), cert. denied, Lupo v. United States, 429 U.S. 1038,
50 L. Ed. 2d 749 (1977). Once remanded under this remedy,
competency is determined under appropriate standards pursuant to
N.C. Gen. Stat. § 15A-1001(a); see also State v. Davis, 349 N.C. 1,
21-22, 506 S.E.2d 455, 466 (1998), cert. denied, 526 U.S. 1161, 144
L. Ed. 2d 219 (1999). It is defendant's burden of proof to show
that he lacked the capacity to proceed. State v. O'Neal, 116 N.C.
App. 390, 395, 448 S.E.2d 306, 310, disc. review denied, 338 N.C.
522, 452 S.E.2d 821 (1994).
While the retrospective competency hearing is a disfavored
remedy, once an appellate court remands the case on the grounds
that such a hearing be held, the trial court's conclusions as to
whether a meaningful hearing can be held should be reviewed under
an abuse of discretion standard as if making the determination
before trial. See United States v. Mason, 52 F.3d 1286, 1289-90
(1995). As for the ultimate issue of defendant's competency to
stand trial, the court's findings of fact on this issue, if
supported by competent evidence, are then conclusive on appeal.
State v. Willard, 292 N.C. 567, 575, 234 S.E.2d 587, 592 (1977).
We hold the court did not abuse its discretion in making its
determination that a meaningful competency hearing could be held.
Despite the passing of three years, before the court were numerous
medical records leading up to three days before the 11 May 1998trial, and testimony of the last examining doctor, Dr. Rollins.
Additionally, having the original trial judge conduct the
retrospective competency hearing would benefit a meaningful hearing
due to his familiarity with the parties and issues.
Furthermore, we conclude there is competent evidence that
defendant was competent throughout his trial beginning 11 May 1998.
There is a significant and undisputed quantum of evidence that
during the times defendant was on an antipsychotic medication, he
was found competent by Dr. Rollins and Dr. Wolfe: on 7 April 1997
(Dr. Rollins); on 6 April 1998 (Dr. Wolfe); on 27 April 1998 (Dr.
Wolfe); and on 6 & 8 May 1998 (Dr. Rollins). Defendant's competency
did not necessarily fluctuate as defendant argued in his brief.
Dr. Rollins' testimony and the record show defendant's competency
was actually constant so long as he remained on his medication.
While at the end of the Haldol medication's approximate coverage
term (4 weeks), defendant was under the antipsychotic medication
at all times during the second trial. See State v. Buie, 297 N.C.
159, 160-61, 254 S.E.2d 26, 27-28, cert. denied, 444 U.S. 971, 62
L. Ed. 2d 386 (1979)(where our Supreme Court held that the fact
defendant was competent to stand trial only as a result of taking
medication for paranoid schizophrenia did not change the result of
his competency).
Defendant also argues that Dr. Rollins' 6 and 8 May 1998 exams
were cursory, and put on the testimony of Dr. Nathan Strahl in
support of this. However, Dr. Rollins' experience and hisevaluation was based on the six previous evaluations of defendant
that had been conducted by both Dr. Wolfe and him.
Finally, courts often look to whether the defense attorney has
disputed competency before trial as evidence of competency. Because
defense counsel is usually in the best position to determine that
the defendant is able to understand the proceedings and assist in
his defense, it is well established that significant weight is
afforded to a defense counsel's representation that his client is
competent. See United States v. Morgano, 39 F.3d 1358, 1374 (7th
Cir. 1994); United States v. Teague, 956 F.2d 1427, 1432 (7th Cir.
1992). At the 11 May 1998 trial, defendant's counsel raised no
question of his competency, thus presenting defendant as competent.
We hold this to be competent evidence supporting the trial
judge's determination that defendant was competent during the 11
May 1998 trial.
Therefore, the trial judge faithfully carried out the first
order from this Court, and did not abuse its discretion for finding
that a meaningful competency hearing could still be held.
Furthermore, there is evidence of record to support the finding of
competency.
IV. 7 June 2001 Retrospective Competency Hearing
[4] Defendant next contends that the trial court erred in when
it found that defendant was competent to proceed at the 7 June 2001
retrospective competency hearing. Additionally, he argues the
court erred in proceeding with the hearing without the presence of defendant, violating his constitutional and statutory rights. We
disagree.
The applicable statute for determining competency is N.C. Gen.
Stat. § 15A-1001(a)(2003), the purpose of which is to determine
whether defendant is or was capable to stand trial. Our Supreme
Court has held that these hearings [do] not implicate defendant's
confrontation rights and [do] not have a substantial relation to
his opportunity to defend. Davis, 349 N.C. at 18, 506 S.E.2d at
464. Therefore, whether or not defendant was competent at the 7
June 2001 retrospective competency hearing does not implicate his
constitutional or statutory rights.
Pursuant to Davis, we overrule this assignment of error.
V. Competency based on Evidence Preceding the Second Trial
[5] Defendant next argues that the trial judge did not follow
the mandate of this Court when he found defendant was competent to
stand trial on 11 May 1998, but did not make such a determination
as to the entire trial. We disagree.
In our remand order, this Court stated:
[W]e remand this case for a hearing to
determine the defendant's competency at the
time of trial, pursuant G.S. 15A-1002. If the
trial court determines that a retrospective
determination is still possible, the court
should review the evidence which was before it
preceding defendant's second trial, to wit,
any psychiatric evaluations and presentations
by counsel. If the trial court concludes from
this retrospective hearing that defendant was
competent at the time of trial, no new trial
is required.
McRae I, 139 N.C. App. at 394, 533 S.E.2d at 562 (emphasis added).
This was ordered because a trial judge is required to hold a
competency hearing when there is a bona fide doubt as to the
defendant's competency. Meeks, 512 F. Supp. at 338.
The bona fide doubt in this case requiring the trial court to
hold the competency hearing was due to the evidence of the temporal
nature of defendant's competency and his unwillingness to take his
medication. All of this evidence came before defendant's second
trial. The only evidence that defendant may not have been competent
during the second trial was that he was due for another injection
of Haldol on the last day of trial, 14 May 1998. We hold that this
conjecture, without more, does not raise a bona fide doubt that
would require the trial judge to include in his competency hearing
a determination of defendant's competence throughout the entire
trial. Defendant offered no evidence to bolster the conjecture
that his medication had worn off before the end of the second
trial.
We remanded the case to determine competency upon the evidence
where the bona fide doubt actually existed. Thus, we held the trial
court had not reacted properly to the evidence preceding
defendant's second trial. We did not order a finding of
defendant's competency during the trial as no evidence of
incompetence during the second trial was offered. McRae I. When
there is no evidence beyond conjecture of a defendant's
incompetency during trial, we hold that a finding of defendant'scompetency at the commencement of the trial is sufficient for
showing he was competent throughout the trial.
The trial judge correctly followed the mandate of our remand
order, and properly considered the evidence of defendant's
competency at the time of trial. Thus, we overrule all assignments
of error as to this argument.
VI. Order Entered Out of Term and Out of Session
[6] In his last contention, defendant argues that, because the
trial judge's order was entered out of term and out of session on
31 August 2002, a year after the retrospective competency hearing
adjourned, the order is null and void. Under the circumstances of
this case, we disagree.
In
State v. Boone, 310 N.C. 284, 311 S.E.2d 552 (1984), our
Supreme Court stated that
judgments and orders substantially affecting
the rights of parties to a cause pending in
the Superior Court at a term must be made in
the county and at the term when and where the
question is presented, and . . . except by
agreement of the parties or by reason of some
express provision of law, they cannot be
entered otherwise, and assuredly not in
another district and without notice of the
parties interested.
Id. at 287, 311 S.E.2d at 555 (emphasis added) (quoting
State v.
Humphrey, 186 N.C. 533, 535, 120 S.E.2d 85, 87 (1923)). An
agreement of the parties may be one of implied consent reasonably
deduced from the circumstances of the case.
State v. Abney, 318
N.C. 412, 348 S.E.2d 813 (1986). Though not an issue under mandate by the previous opinion of
this Court, the defendant's counsel, in his closing argument of the
retrospective competency hearing, argued that defendant had
unconstitutionally been forcibly injected with Haldol. Defendant
argued:
And the court can look at that, I think,
sua sponte if you care to. And I'm going to
ask the court to address that issue in this
case about whether or not he was forcible
medicated[.]
And then, just before finishing his closing statement, defendant
offered to the court a United States Supreme Court case on the
issue, stating:
Schizophrenia has negative
symptomatology, Your Honor. And that's hard
to identify. Judge, I've got the case for you
in dealing with the injection issue. It's
Riggins versus Nevada. Again, a long case. But
I would certainly ask, Judge, if you would
review this case--
(Document tendered to the Court.)
Mr. Goodwin: -- prior to making any
ruling on these matters.
We hold defendant, raising a new constitutional issue in his
closing statement for which he tendered an extensive United States
Supreme Court opinion, impliedly consented to the trial judge
issuing an order out of term and out of session. Therefore, we
find the trial court's order valid and in effect.
After a close reading of the briefs, the record, and the
transcript, we conclude that the trial judge followed the mandate
of this Court without error. No error.
Judge WYNN concurs.
Judge TIMMONS-GOODSON concurs in the result with separate
opinion.
TIMMONS-GOODSON, Judge, concurring in the result.
I agree with the majority's conclusion that the trial court
did not err in its decision to hold a retrospective competency
hearing or its conclusion that defendant was competent at his 11
May 1998 trial. However, because this case involves the Court's
first opportunity to focus on retrospective competency hearings and
their requirements, I write separately to emphasize the inherent
difficulties associated with retrospective competency hearings and
to distinguish this case from those cases where the decision to
hold a retrospective competency hearing would be in error.
As the majority points out, in our first inquiry into this
matter, we remanded the case to the trial court, whom we concluded
was in the best position to determine whether a meaningful hearing
on the issues of the competency of the defendant at the prior
proceedings [was] still possible.
State v. McRae, 139 N.C. App.
387, 392, 533 S.E.2d 557, 561 (2000). I believe the difficulties
in making such a determination should not be underestimated. Trial
judges in this state try hundreds of different cases involving
hundreds of different criminal defendants each year and thousands
of cases involving thousands of different criminal defendants over
the course of their term. Therefore, recollecting with certainty
the competence of one particular defendant tried several years agois a monumental task, ripe with inherent difficulties that have
been repeatedly noted by the United States Supreme Court and other
courts in this country.
See, e.g., Drope v. Missouri, 420 U.S.
162, 183 (1975);
Pate v. Robinson, 383 U.S. 375, 387 (1966);
Dusky
v. United States, 362 U.S. 402, 403 (1960);
McGregor v. Gibson, 248
F.3d 946, 963 (10th Cir. 2001);
Lafferty v. Cook, 949 F.2d 1546,
1556 (10th Cir. 1991),
cert. denied, 504 U.S. 911 (1992).
In the case
sub judice, the trial court was asked to determine
the competence of a defendant indicted and tried for murder four
years earlier and again tried two years earlier. In September
2002, when the trial court issued its order regarding defendant's
competence at trial, the relevant trial had taken place over four
years earlier. In
Lafferty, the 10th Circuit Court of Appeals held
a retrospective hearing impractical because the inherent
difficulties of the hearing were aggravated by a six-year delay.
949 F.2d at 1556. Similarly, in
United States v. Roca-Alverez, 474
F.2d 1274, 1274 (5th Cir. 1973), the 5th Circuit Court of Appeals
held that a retrospective competency hearing was impractical
because the inherent difficulties of the hearing were aggravated by
a two-year delay.
However, the mere passage of time between the trial and a
retrospective competency hearing has not been determinative where
there has been sufficient evidence made contemporaneous with the
trial regarding the defendant's competency.
See United
States v.
Makris, 535 F.2d 899, 904 (5th Cir. 1976),
cert. denied, 430 U.S.
954 (1976) (two-and-one-half years between trial and retrospectivecompetency hearing);
Bruce v. Estelle, 536 F.2d 1051, 1057 (5th
Cir. 1976),
cert. denied, 429 U.S. 1053 (1977)
(nine years between
trial and retrospective competency hearing)
;
Conner v. Wingo, 429
F.2d 630, 637 (6th Cir. 1970),
cert. denied, 406 U.S. 921 (1972)
(four-and-one-half years between trial and retrospective competency
hearing). In
Bruce, the 10th Circuit Court of Appeals held that
[a] reliable reconstruction of petitioner's mental status [at the
time of trial] depends less on time than on the state of the
record. Especially where medical information substantially
contemporaneous to trial is available, the chances for an accurate
assessment increase.
536 F.2d at 1057 (citing
Holloway v. United
States, 343 F.2d 265 (D.C. Cir. 1964));
See United States v. Mason,
52 F.3d 1286, 1293 (4th Cir. 1995).
In the case
sub judice, I believe there was substantial
evidence made contemporaneous to trial that was available to the
trial court when it made its determination to proceed with the
retrospective competency hearing. As the majority points out, the
trial court had before it numerous records from defendant's
examiners leading up to three days before trial. The trial court
could also consider the testimony of four examining doctors,
including defendant's last examining doctor, Dr. Robert Rollins.
Finally, the trial court judge could properly consider the
recollections of non-experts as well as his own observations,
because even non-experts had the opportunity to interact with
defendant during the relevant period [and] may in some instances
provide a sufficient base upon which a factfinder may rest decisionthat even a belated determination will be accurate.
Makris, 535
F.2d at 905.
While I agree with the decision today, I write separately to
underscore the critical significance the sufficiency of the trial
court record had upon my conclusion that the trial court acted
properly in proceeding with the retrospective competency hearing.
As noted
supra, the time between the trial and the retrospective
competency hearing becomes critical where the record of a
defendant's competency contemporaneous with trial is deficient.
Therefore, where a retrospective competency hearing and
determination is based upon conflicting reports, a cold, sparse
record, and the recollection of those who saw and dealt with
[defendant] . . . years ago, that hearing will be a wholly
inadequate substitute
for a concurrent hearing, and its
determination will be reversed.
Silverstein v. Henderson, 706 F.2d
361, 369 (2nd Cir. 1983),
cert.
denied, 464 U.S. 864 (1983)
(citations omitted). However, because the quality of the record
before the trial court when the competency determination was made
in the case
sub judice was substantial and allowed a detailed
inquiry into defendant's competence on 11 May 1998, I feel that the
retrospective competency hearing was an adequate substitute for the
concurrent hearing provided by N.C. Gen. Stat. § 15A-1002 (2003).
Therefore, I conclude that the trial court did not err in its
decision to hold a retrospective competency hearing or its
conclusion that defendant was competent at his 11 May 1998 trial.
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