U.S. v. Haywood

Decision Date09 September 1998
Docket NumberNo. 97-1652,97-1652
Citation155 F.3d 674
PartiesUNITED STATES of America v. Jazz HAYWOOD, Jazz Haywood a/k/a Torrie Graham, Appellant.
CourtU.S. Court of Appeals — Third Circuit

Stephen J. Britt (Argued), Assistant U.S. Attorney, Philadelphia, PA, for Appellee.

Mark D. Mungello (Argued), Blackwood, NJ, for Appellant.

Before: STAPLETON, COWEN and RENDELL, Circuit Judges.

OPINION OF THE COURT

STAPLETON, Circuit Judge:

Jazz Haywood was convicted of conspiring to distribute heroin and distributing heroin within 1000 yards of a school. On direct appeal, Haywood seeks a new trial on the grounds that he was denied effective assistance of counsel. Haywood also argues that the government failed its burden of proof concerning the amount of drugs attributable to him and that the court erred by failing to order a hearing sua sponte on his competence to stand trial. We will affirm with respect to the ineffective assistance and sufficiency of the evidence claims but remand based on the court's failure to order a competency hearing.

I.

In 1992, the federal Drug Enforcement Agency initiated an investigation of an alleged heroin distribution ring, the "Nissan Heroin Organization" ("NHO"), and began surveillance of the corner of Birch and Hancock Streets in Philadelphia. On December 17, 1992, a DEA Agent purchased 19 packets of heroin from appellant Haywood at that location. Two years later, a federal grand jury indicted 24 people in a 51-count indictment. The indictment alleged that Haywood was a "shift worker" in a structured heroin distribution organization and charged him with conspiracy to distribute heroin in violation of 21 U.S.C. § 846, distribution of heroin in violation of 21 U.S.C. § 841(a)(1), and distribution of heroin within 1000 feet of an elementary school in violation of 21 U.S.C. § 860.

Haywood was arrested and trial was scheduled for April 1996. On April 1, Haywood exhibited psychiatric problems while awaiting trial at the Federal Correction Center in Fairton, New Jersey. The Fairton staff psychologist examined Haywood and concluded that he had "a psychotic condition that has become worse since October 1995 and is in need of attention in an acute forensic psychiatric setting." App. at 17. Consequently, the United States Marshal's Service moved Haywood to the Philadelphia Detention Center. Haywood's trial counsel, James Garrett, informed the United States Attorney's Office that Haywood was on "suicide watch" at the Detention Center and that, in his opinion, Haywood was unable to participate in his own defense.

In response to these developments, the government asked the district court to order a competency examination for Haywood, and the court complied. On April 15 1996, the examining physician, Dr. Edward B. Guy, diagnosed Haywood as having schizophrenia and determined that he was not then competent to assist in his defense. Dr. Guy reported the following observations:

During my evaluation, Mr. Haywood was very withdrawn, had great difficulty concentrating, and was a poor historian.

He complained that he was hearing accusatory voices who were telling him to harm himself.

He was very distracted during the interview and seemed to be responding to internal stimuli at times.

He does not express any organized delusional system, but he is suspicious and fearful that he is going to be harmed.

Mr. Haywood was not able to give abstract answers to proverbs and he also did poorly on similarity questions.

He was so withdrawn that he could not participate in much of the mental status examination and it was difficult for me to maintain his focus on the questions I was asking. He does understand that he is in prison. He understands that he is charged by federal authorities on a drug charge, but he did not seem to know the details. At the same time, he understands the possible consequences of these charges to him, and he was able to answer questions about the functions of the various participants in a criminal trial situation.

At the same time, his general functioning is compromised by his mental illness and his distractibility. I feel that his attorney will have difficulty in working with him at this time in the preparation of a defense.

App. at 24-25. Dr. Guy also opined, however, that Haywood could "regain his competence with intensive treatment." App. at 25.

Dr. Guy served as Program Director of the Hahnemann University Correctional Mental On May 20, again on the government's motion, the court ordered another competency examination. In a letter dated that day and addressed to the trial judge, Dr. Guy reported that Haywood was still suffering from schizophrenia, that he was being treated daily with substantial doses of antipsychotic medication, and that he purported to lack an understanding of his legal circumstances. Dr. Guy also reported, without further explanation, that Haywood's attorney could expect "considerable frustration in trying to defend this young man." App. at 28. Nevertheless, Dr. Guy's professional opinion at that time was that Haywood "had a clearer understanding of his legal circumstances than he was willing to admit" (App. at 27) and that he was "competent to proceed" (App. at 28). The report concluded with the recommendation that Haywood's then current "treatment continue into the foreseeable future in order that he maintain his present level of functioning." Id.

Health Services Program. On his recommendation, Haywood was transferred to the Program's Inpatient Psychiatric Unit in the Philadelphia Prison System for treatment and observation. The court ordered a continuance of the trial.

The trial commenced nine weeks later without any further inquiry into Haywood's mental state. During trial, the court asked Haywood's counsel whether the defense intended to offer evidence. The following colloquy ensued:

MR. GARRETT: ... My client has told me that he is in no shape to testify.

THE COURT: Very well. So, he's not going to testify?

MR. GARRETT: No, he's not.

THE COURT: Very well. All right.

App. at 30-31; N.T. 7/24/96 at 71-72.

The jury returned a guilty verdict on the conspiracy and "schoolyard" counts on July 25, 1996. Within a week, Haywood's counsel filed a motion for a new trial. In that motion, counsel represented that "Mr. Graham's psychological profile on the days of trial was such that he could not effectively participate in the defense of his case." Appellant's Br. at 8; Def.'s Mot. for Judgment of Acquittal or for a New Trial at p 5. Despite counsel's representations to the court, at no time did he move for a competency hearing; nor did the court ever order such a hearing on its own motion.

In preparing the Presentence Investigation (PSI) Report, the probation officer estimated the total amount of drugs sold during the 25-month conspiracy and allocated the sales to the individual defendants according to a mathematical formula. 1 In Haywood's case, the officer determined that Haywood was a member of the conspiracy for about 5-6 months, and that his shift distributed about 980 grams of heroin during that time period. Accordingly, the PSI Report recommended that Haywood be sentenced to 210-262 months imprisonment. Paragraph 123 of the PSI Report stated that there were no factors warranting a downward departure.

Haywood's counsel moved for a downward departure for significantly reduced mental capacity pursuant to USSG § 5K2.13. 2 In attempting to determine whether Haywood indeed suffered from a significantly reduced mental capacity at the time of the offense, the court considered a psychiatric report made contemporaneously with the date of the offense. On October 30, 1992, Dr. Richard Saul observed that Haywood's social adjustment was within acceptable limits and that The district court found that Haywood had established by a preponderance of the evidence that he suffered from a significantly reduced mental capacity at the time of his offense. However, it also found that Haywood had not shown that such reduced capacity contributed to the commission of the offense. Consequently, the district court reserved a ruling on the motion "pending a hearing and in anticipation of Dr. Guy's, Dr. Saul's or another expert's testimony regarding the likelihood that Schizoid Personality Disorder contributed to defendant's offense." App. at 34.

he was oriented as to time, person, and place. Nonetheless, Dr. Saul diagnosed Haywood as suffering from a "Schizoid Personality Disorder" and described his prognosis as guarded. Suppl. App. at 27-28.

Haywood's counsel did not present the court with expert reports on the reduced capacity departure issue. He did present lay witnesses, Haywood's mother and his aunt, at the sentencing hearing who testified that Haywood had been afflicted with mental and emotional problems for much of his life. In its ensuing order, the district court made the following finding: "Based on Dr. Guy's two reports and my own observations, I conclude the defendant was suffering from a significantly reduced mental capacity at the time of trial." App. at 33. Nonetheless, the court also concluded that there was an insufficient showing of a nexus between Haywood's mental affliction and his offense, and denied the downward departure. The court sentenced Haywood to 210 months of imprisonment.

Haywood appeals his sentence, asserting that his counsel was ineffective because he failed to: (1) argue that Haywood was incompetent to stand trial; (2) present expert testimony that Haywood suffered from a significantly reduced mental capacity that contributed to his commission of the offense; and (3) object to statements in the PSI Report regarding the amount of drugs attributable to Haywood. Relatedly, Haywood argues that the government failed to prove by a preponderance of the evidence the amount of drugs attributable to Haywood. Finally, Haywood assigns as error the trial court's failure to conduct a competency hearing pursuant to 18 U.S.C. § 4241.

I...

To continue reading

Request your trial
53 cases
  • Judge v. Beard, CIVIL ACTION NO. 02-CV-6798
    • United States
    • U.S. District Court — Eastern District of Pennsylvania
    • November 28, 2012
    ...818(1966); Cherys v. United States, 405 Fed. Appx. 589, 592, 2011 U.S. App. LEXIS 553 (3d Cir. Jan. 10, 2011)(quoting U.S. v. Haywood, 155 F.3d 674, 680 (3d Cir. 1998)). Similarly, "a trial court's failure to inquire into competency, sua sponte, where there is reason to doubt a defendant's ......
  • Porter v. Horn
    • United States
    • U.S. District Court — Eastern District of Pennsylvania
    • June 26, 2003
    ...defendant's competency, and the evidence was sufficient to put the trial court on notice of potential problem); United States v. Haywood, 155 F.3d 674, 680 (3d Cir.1998)(finding that federal competency statute, 18 U.S.C. § 4241, "requires a record-based judicial determination of competence ......
  • Pulinario v. Goord
    • United States
    • U.S. District Court — Eastern District of New York
    • October 30, 2003
    ...be given a rational interpretation consistent with achieving its purpose and with justice and common sense"); United States v. Haywood, 155 F.3d 674, 676 (3d Cir.1998) (psychiatrist found defendant incompetent, in part, because defendant could not cooperate and participate in his mental sta......
  • State v. Snyder
    • United States
    • Louisiana Supreme Court
    • April 14, 1999
    ...825 F.2d at 767. If the trial court concludes defendant was competent, no new trial is required to be conducted. United States v. Haywood, 155 F.3d 674 (3rd Cir. 1998). If the trial court finds a meaningful inquiry cannot be had, or if it determines after the hearing that defendant was not ......
  • Request a trial to view additional results

VLEX uses login cookies to provide you with a better browsing experience. If you click on 'Accept' or continue browsing this site we consider that you accept our cookie policy. ACCEPT