U.S. v. Purnett

• Decision Date: 30 July 1990
• Docket Number: No. 590,D,590
• Citation: 910 F.2d 51
• Parties: UNITED STATES of America, Appellee, v. Edison PURNETT, a/k/a "Panama", Defendant-Appellant. ocket 88-1213.
• Court: U.S. Court of Appeals — Second Circuit

Page 51

910 F.2d 51

UNITED STATES of America, Appellee, v. Edison PURNETT, a/k/a "Panama", Defendant-Appellant.

No. 590, Docket 88-1213.

United States Court of Appeals Second Circuit.

Argued Dec. 22, 1989.

Decided July 30, 1990.

Helen Coady, The Legal Aid Soc., Federal Defender Services Appeals Unit, New York City, for appellant Edison Purnett.

John Gleason, Asst. U.S. Atty., E.D.N.Y., Brooklyn, N.Y. (Andrew J. Maloney, U.S. Atty., Matthew E. Fishbein and David C. James, Asst. U.S. Attys., E.D.N.Y., Brooklyn, N.Y., of counsel), for appellee, U.S.

Before TIMBERS, CARDAMONE and PRATT, Circuit Judges.

CARDAMONE, Circuit Judge:

On a November day in 1986 five men entered a branch of the Chase Manhattan Bank in Queens, New York and robbed it at gunpoint. Eight months later appellant, Edison Purnett, was arrested and charged with being one of the crew that committed the crime. At several court appearances following his arraignment he exhibited unusual behavior leading the district court to direct psychological testing and evaluation of him. The report found Purnett competent to stand trial. Upon its receipt the district court asked appellant if he wanted a hearing on the report and whether he wanted a lawyer. Concluding from Purnett's responses that he wanted neither, a trial date was set and standby counsel appointed.

On this appeal we must resolve a perplexing problem that district court judges face when, while questioning a defendant's competency to stand trial, the accused asserts the right to conduct his own defense without benefit of counsel. To afford defendant the constitutional right to self-representation at the same time the district court is questioning a defendant's competency, necessarily permits a possibly incompetent defendant to waive an equally substantial constitutional right--the right to the assistance of counsel. These conflicting constitutional concerns may be accommodated if a trial court refuses to accept a waiver of the right to counsel until it is satisfied that the defendant fully understands the consequences of such an election and is competent to make it. Since the district court in the case at hand allowed defendant to discharge his appointed counsel before a hearing to determine his competency to stand trial, we must reverse defendant's conviction.

BACKGROUND

Appellant was convicted after a jury trial in the United States District Court for the Eastern District of New York (Bartels, J.) of one count of conspiracy to commit bank robbery and two substantive counts of bank robbery in violation of 18 U.S.C. Secs. 371, 2113(a) & (d) (1988), and sentenced to ten years imprisonment on the latter counts and a concurrent five-year term on the conspiracy count.

When Purnett first appeared before a magistrate, Brian Maas, Esq., was appointed to represent him. Purnett was thereafter arraigned on August 12, 1987 before the district court. Attorney Maas appeared and asked to be relieved as defendant's On September 15 a status conference was held at which attorney Lashley informed the trial court of a possible plea bargain that he had been negotiating with the government. During the colloquy between defense counsel and Judge Bartels, Purnett interrupted and indicated that he would not cooperate with the government. Following this interruption, attorney Lashley asked the court to relieve him as counsel citing "personal difficulty" with the defendant. Judge Bartels then addressed Purnett and informed him that if he chose not to have Lashley represent him he would have to represent himself. Despite the trial judge's strongly worded cautions against the latter course of action, Purnett responded that he would rather represent himself. In addition, even though Purnett had been communicating since his arrest in English with the court and the prosecutor, he requested that a Spanish interpreter be appointed for all future proceedings so that he and the court could understand one another better. Judge Bartels agreed to assign an interpreter.

counsel, advising the court that Purnett no longer desired his services. After agreeing to relieve attorney Maas and to appoint another lawyer, Judge Bartels stated that this would be the last court-appointed attorney for Purnett. The following day attorney Allan Lashley, Esq., was appointed.

At the conclusion of the status conference, the district court judge raised sua sponte the question of defendant's competency to stand trial, believing that Purnett had acted in an inappropriate manner in his comments to his own counsel and the court. The trial court asked Purnett and appointed counsel whether defendant should undergo a mental examination. Lashley stated that Purnett might need to be studied. The government then moved to have him examined pursuant to 18 U.S.C. Sec. 4241 (1988), and the district judge granted the motion. In a subsequently submitted affidavit the government stated the basis for the motion:

When the defendant appeared on September 15, ... he seemed to be visibly agitated for no apparent reason. Indeed he appeared to "snap" at defense counsel without any provocation. Certainly the Court was able to make its own observations of the defendant's unusual behavior at this appearance.

Purnett was sent to the Federal Correctional Facility in Butner, North Carolina for psychological testing and evaluation. The psychiatric staff at the prison examined him for about two weeks and concluded in a December 23, 1987 report that Purnett was competent to stand trial and to represent himself, though it noted it had found a full-scale I.Q. score of 80, deficits in both long and short term memory, and moderate paranoia. The report also stated that Purnett had been discharged from the U.S. Army for a "nervous condition" after serving only three and one-half months. The Army's records reflect that Purnett was a nervous individual who displayed so violent a temper that he was not allowed to train with a rifle.

The district court thereafter held another status conference on January 14, 1988 where Purnett appeared with attorney Lashley acting as his advisor. Judge Bartels asked Purnett whether he had received the psychiatric report. Purnett replied that he had received "a fabricated report." Lashley stated that he had not received it. The district judge informed Purnett that he had a right to a hearing to contest the report's conclusion that he was competent to stand trial, and asked whether he wished to have such a hearing. Purnett answered in ambiguous terms, stating: "I don't want to respond to nothing. I got nothing to respond," and "They do anything they want to. They are accustomed to doing anything they want to. Why do you have to make all these conflicts?" Judge Bartels again asked Purnett whether he wanted a competency hearing. After Purnett responded, "Let them do whatever they want to do," the district judge concluded that defendant did not want a hearing.

The district judge then inquired whether Purnett wanted a lawyer, to which Purnett said, "Let them do what they want to do." He has been examined by doctors and he was found sane enough to stand trial, but it's up to him. He can have an attorney, if he wishes, but I can't force him to have one if he is insisting upon trying the case himself.

The trial judge interpreted this as a negative response and said

The district court then set February 1 as the date for trial, and also directed a pretrial hearing on that date to entertain a suppression motion attorney Lashley had filed earlier when acting as Purnett's counsel.

At the start of the proceedings on February 1--after describing for Purnett some of the difficulties he would face proceeding pro se --Judge Bartels once more tried to persuade him to accept attorney Lashley as his counsel. After Purnett responded, "I have nothing to say. I don't care," Lashley was appointed as standby counsel. The government then questioned whether Purnett contested his competency to stand trial or wanted a hearing to refute the psychiatric report. The interpreter read the report to Purnett who was then asked if he objected to it. Purnett gave no response. The district court therefore accepted the findings of the report and found Purnett competent to stand trial.

DISCUSSION

On appeal Purnett contends that his waiver of counsel was ineffective because it was made prior to a valid determination of his competency, and that the determination of his competency was invalid because it was made while Purnett was not represented by counsel. We are mindful of the difficult dilemma facing the district court in this case. Yet in light of Supreme Court precedent regarding waiver of the right to counsel and a defendant's right to representation at all stages in the determination of his competency, appellant is entitled to a new trial.

A. Right to Self-Representation

The right to self-representation is drawn from the very essence of the Sixth Amendment with the accused enjoying the right "to be informed of the nature and cause of the accusation; to be confronted with the witnesses against him; to have compulsory process for obtaining witnesses in his favor, and to have the Assistance of Counsel for his defence." U.S. Const. amend. VI. These rights to be enjoyed by an accused logically imply a right to defend oneself because it is the defendant that bears the consequences of a criminal trial. See Faretta v. California, 422 U.S. 806, 818-20, 95 S.Ct. 2525, 2532-34, 45 L.Ed.2d 562 (1975). This right springs from the English common law principle that counsel was not allowed persons charged with felonies, id. at 821-26, 95 S.Ct. at 2534-37, because they were unnecessary. The English Court "took charge of the proceedings, and viewed indictors, prosecutors, jury and prisoner with impartial distrust." T. Plucknett, A Concise History of the Common Law 385 (2d ed. 1936). There was little that required expert advice until indictments became technical documents, and then counsel for...