Jacobs v. State, 990763.

• Decision Date: 23 February 2001
• Docket Number: No. 990763.,990763.
• Citation: 2001 UT 17,20 P.3d 382
• Parties: Chess JACOBS, Petitioner and Appellant, v. STATE of Utah, Respondent and Appellee.
• Court: Utah Supreme Court

20 P.3d 382

2001 UT 17

Chess JACOBS, Petitioner and Appellant, v. STATE of Utah, Respondent and Appellee.

No. 990763.

Supreme Court of Utah.

February 23, 2001.

Brad C. Smith, Ogden for petitioner.

Mark L. Shurtleff, Att'y Gen., Catherine M. Johnson, Karen Klucznik, Asst. Att'ys Gen., Salt Lake City, for respondent.

DURRANT, Justice:

¶ 1 Chess Jacobs pleaded guilty to one count of rape of a child, a first degree felony, in 1984. Due to the aggravating circumstances of the case, Jacobs was sentenced to a term of fifteen years to life in the Utah State Prison. Ten years later, he filed a petition for extraordinary relief under rule 65B(b) of the Utah rules of Civil Procedure,¹ alleging that he was incompetent to plead guilty in 1984. He contended (1) the trial court erred in not ordering, sua sponte, a competency hearing, and (2) his counsel was ineffective in allowing him to plead guilty without a competency hearing. The post-conviction court denied the petition, and Jacobs appeals. We affirm.

BACKGROUND

¶ 2 Jacobs was charged with two counts of rape of a child, two counts of sexual abuse of a child, one count of sodomy upon a child, one count of aggravated sexual assault, and one count of aggravated burglary on February 28, 1984. The State contended that Jacobs broke into the fourteen year old victim's house and raped, sodomized, and sexually assaulted her at knifepoint over a three hour period. Jacobs pleaded not guilty to each of the charges.

¶ 3 Following the entry of Jacobs's plea, he was sent to the Weber County Jail. While there, he allegedly swallowed at least one razor blade and, in a separate incident, lit his hair on fire, burning the top of his forehead and his scalp. In light of this behavior, prison employees concluded Jacobs "need[ed] some sort of hospital commitment," and so the trial court held a hearing on the issue on March 28, 1984. During the hearing, Jacobs's attorney requested that he "immediately be sent somewhere for observation." Due to the expense involved in hospitalizing a prisoner, the State requested that Jacobs first be examined by alienists. The court agreed. That same day, Jacobs's counsel filed a notice of proposed defense of insanity.

¶ 4 The court appointed Drs. Ruth Brown and Harvey Wheelwright to examine Jacobs and submit written reports on his mental condition. Further, the court requested that the alienists be prepared to testify on the following points:

1. Did the defendant, at the time of the alleged offense, as a result of mental disease or defect, lack substantial capacity to:

a) appreciate the wrongfulness of his conduct; or b) conform his conduct to the requirements of the law[?]

2. Did the defendant, at the time of the alleged offense, as a result of mental disease or defect, lack the mental state required as an element of the offense charged?

3. Is the defendant able to[:]

a) comprehend the nature of the proceeding against him;

b) comprehend the punishment specified for the offense charged;

c) assist his counsel in his defense[?]

¶ 5 Following her interview with Jacobs, Dr. Brown submitted a report to the trial court. She determined that Jacobs was "oriented to time, place and person;" suffered from personality disorders, depression, psychotic episodes, and suicidal behaviors; and should be "hospitalized . . . for safety and liability reason[s]." Nevertheless, she concluded that, at the time of the alleged offense, Jacobs could "appreciate the wrongfulness of his conduct" and "conform his conduct to the requirements of the law." She further concluded that Jacobs did not "lack the mental state required as an element of the offense charged" and was able to "comprehend the nature of the proceeding against him," "comprehend the punishment specified for the offense charged," and "assist his counsel in his defense."

¶ 6 Dr. Wheelwright also examined Jacobs and submitted his report to the trial court. Like Dr. Brown, he found Jacobs was oriented to time, place, and person. Dr. Wheelwright determined that Jacobs suffered from chronic paranoid schizophrenia and, at the time of the offense, had "diminished ability to control his behavior." Yet, the report also concluded that Jacobs understood the charge against him and was capable of assisting counsel in his defense. Further, Dr. Wheelwright stated that Jacobs was aware of the wrongful nature of the alleged offense both at the time the offense occurred and at the time of the examination.

¶ 7 The court also received the report of a third alienist, Steven L. Watson, a clinical social worker at the Weber Mental Health Center. Watson, like the other alienists, found that Jacobs was oriented as to time, place, and person. Watson concluded that Jacobs was "actively psychotic," but noted that Jacobs could be "deliberately manipulating" him. Watson determined that Jacobs should be hospitalized as his condition could worsen. If it did so, Watson reported, Jacobs could "become legally incompetent for trial." (Emphasis added.)

¶ 8 By April 6, 1984, the court had received the alienists' written reports. That day, it held a hearing "concerning the mental state of the defendant, to determine . . . whether [it could] schedule the case for trial." Jacobs's counsel argued that the reports were inconsistent as they concluded that Jacobs was psychotic and yet still competent to stand trial. The court disagreed, however, stating that "it is conceivable somebody can be mentally ill and still be totally aware of his surroundings, where he is, what time it is, what country he is in, and help his counsel with the defense." Accordingly, in Jacobs's case, while the alienists evinced concern over Jacobs's mental health, "all three [concluded he could] assist his counsel in this defense, and he [was] competent to stand trial." Therefore, the court ordered a date be set for trial.

¶ 9 The court did recognize Jacobs's right to examine the alienists based on their reports before trial. However, before trial, and before any competency hearing was held at which Jacobs could examine the alienists, Jacobs pleaded guilty to one count of rape of a child. Following a mitigation/aggravation hearing, Jacobs was sentenced to a term of fifteen years to life.

¶ 10 Over ten years later, Jacobs filed, pro se, a petition for extraordinary relief in which he asserted that, at the time he pleaded guilty, he was not mentally competent to do so. The post-conviction court appointed counsel to represent Jacobs, who then amended the petition for extraordinary relief in a "First Amended Complaint." As amended, Jacobs's petition alleged (1) the trial court erred in failing to hold a competency hearing sua sponte and (2) Jacobs's counsel was ineffective in allowing him to plead guilty prior to examining the alienists in a competency hearing. In support of his petition, Jacobs filed an affidavit from Dr. Roger Pray of the Utah State Board of Pardons, which stated that, in Dr. Pray's opinion, Jacobs was not competent to stand trial in 1984.

¶ 11 The State moved for summary judgment. The post-conviction court granted this motion, in part, dismissing Jacobs's claim that the trial court erred in failing to hold a competency hearing sua sponte. The post-conviction court then convened an evidentiary hearing, at which Dr. Pray testified. Following the hearing, the court dismissed Jacobs's remaining claim of ineffective assistance of counsel. Jacobs appeals.

DISCUSSION

I. JACOBS'S CLAIM OF TRIAL COURT ERROR

¶ 12 "A mentally incompetent defendant can provide no defense, and proceedings against such a defendant do not comport with due process." State v. Young, 780 P.2d 1233, 1236 (Utah 1989) (citing Dusky v. United States, 362 U.S. 402, 402, 80 S.Ct. 788, 4 L.Ed.2d 824 (1960)). "In determining whether a defendant is competent to plead guilty, the trial court must consider `whether the defendant has sufficient present ability to consult with his lawyer with a reasonable degree of rational understanding and has a rational as well as a factual understanding of the proceedings against him.'" State v. Holland, 921 P.2d 430, 433 (Utah 1996) (further quotations omitted) (quoting Godinez v. Moran, 509 U.S. 389, 396, 113 S.Ct. 2680, 125 L.Ed.2d 321 (1993)).² In this case, the trial court determined that Jacobs was competent to stand trial based on the three alienists' reports and not a competency hearing. Jacobs contends that this was error, and, therefore, that the post-conviction court erred in finding that the trial court did not violate his right to due process by failing to hold a competency hearing sua sponte.

¶ 13 A trial court must hold a competency hearing when there is "a `substantial question of possible doubt' as to a defendant's competency at the time of the guilty plea." Id. at 435 (quoting Commonwealth v. Hill, 375 Mass. 50, 375 N.E.2d 1168, 1175 (1978)). The issue thus becomes whether there was a "substantial question of possible doubt" as to Jacobs's competency when he pleaded guilty.

¶ 14 Jacobs first contends that the reports of the three alienists, his history of mental illness, and his behavior while confined in the Weber County Jail raised a "substantial question of possible doubt" as to his competency to plead guilty. In so arguing, he relies on Holland. In that case, Holland pleaded guilty to first degree murder and was sentenced to death. Holland later moved to vacate his guilty plea on the basis of incompetency. The trial court denied his motion, although the findings of the four experts who evaluated Holland were in conflict as to his competency. Holland appealed. In light of the conflict between the experts, this court found there was a "substantial question of possible doubt" as to Holland's competency and reversed the trial court. Id. at 434-35.

¶ 15 The State contends Holland is inapposite, arguing this case is more like State v. Bailey, 712 P.2d 281 (Utah 1985). Bailey had a history of mental illness. After his arrest on burglary, theft,...