Russell v. State

• Decision Date: 31 October 1997
• Docket Number: CR-96-0370
• Citation: 715 So.2d 866
• Parties: Obie RUSSELL, Jr. v. STATE.
• Court: Alabama Court of Criminal Appeals

Page 866

715 So.2d 866

Obie RUSSELL, Jr. v. STATE.

CR-96-0370.

Court of Criminal Appeals of Alabama.

Oct. 31, 1997.

Rehearing Denied Dec. 19, 1997.

Certiorari Denied May 15, 1998

Alabama Supreme Court 1970583.

Mark Allen Treadwell III, Dadeville, for Appellant.

Bill Pryor, atty. gen., and James B. Prude, asst. atty. gen., for appellee.

COBB, Judge.

Obie Russell, Jr., was convicted of assault in the second degree, a violation of § 13A-6-21, Ala.Code 1975, in connection with an attack on Kyra Wycoff on May 15, 1996, in which a knife was used as the weapon. The trial court sentenced Russell to 15 years in the penitentiary.

Russell argues that the trial court erred in denying his motion, filed pursuant to Rule 11.2, Ala. R.Crim. P., seeking a mental evaluation. Russell's defense counsel requested the mental evaluation to determine both whether Russell was capable of appreciating the nature and quality or wrongfulness of his actions at the time of the offense and whether he was competent to stand trial. The motion alleged that Russell exhibited deviant behavior while he was incarcerated. Russell entered an initial plea of not guilty; he later amended his plea to include a plea of not guilty by reason of severe mental disease or defect. Following a hearing in which the defense called one witness, the trial court denied Russell's motion. Russell argues that the trial court abused its discretion in denying his motion. We agree.

If the trial court determines that reasonable grounds exist for a mental examination, the trial court shall appoint a psychiatrist or psychologist to examine the defendant and to report regarding the defendant's mental condition or order that such an examination be conducted by a psychiatrist or psychologist appointed by the commissioner of the Department of Mental Health and Mental Retardation. Rule 11.3(a), Ala. R.Crim. P.

Mental evaluations are also governed by statute.

"Ala.Code 1975, § 15-16-21, provides in pertinent part:

" 'If any person charged with any felony is held in confinement under indictment and the trial court shall have reasonable ground to doubt his sanity, the trial of such person for such offense shall be suspended until the jury shall inquire into the fact of such sanity....'

"This section authorizes the trial court to make a preliminary determination (without the aid of a jury) as to whether there are reasonable grounds to doubt the defendant's competency to stand trial. Ex parte LaFlore, 445 So.2d 932, 934 (Ala.1983); Richardson v. State, 354 So.2d 1193, 1196 (Ala.Cr.App.1978). The trial court is, thus, the 'screening agent' for mental examination requests. Livingston v. State, 419 So.2d 270, 274 (Ala.Cr.App.1982)."

Reese v. State, 549 So.2d 148, 150 (Ala.Cr.App.1989), overruled on other grounds, Huntley v. State, 627 So.2d 1013 (Ala.1992). "It is left to the discretion of the trial court as to whether there is a reasonable or bona fide doubt as to sanity and, thus, whether a further examination is required." Waldrop v. State, 459 So.2d 953, 955 (Ala.Cr.App.1983), aff'd, 459 So.2d 959 (Ala.1984), cert. denied, 471 U.S. 1030, 105 S.Ct. 2050, 85 L.Ed.2d 323 (1985). The standard of review is whether the trial court abused its discretion by not requiring an evaluation of Russell's competency to stand trial. See Baker v. State, 599 So.2d 60, 62 (Ala.Cr.App.1991).

A trial of an accused who is incompetent violates due process. Wagner v. State, 489 So.2d 623, 628 (Ala.Cr.App.1985); Bishop v. United States, 350 U.S. 961, 76 S.Ct. 440, 100 L.Ed. 835 (1956). Rule 11.1, Ala. R.Crim. P., states:

"A defendant is mentally incompetent to stand trial or to be sentenced for an offense if that defendant lacks sufficient present ability to assist in his or her defense by consulting with counsel with a reasonable degree of rational understanding of the facts and the legal proceedings against the defendant."

The trial court makes the ultimate determination of a defendant's competency pursuant to the following standard:

"The test for determining competency to stand trial is whether the defendant 'has sufficient present ability to consult with his lawyer with a reasonable degree of rational understanding--and whether he has a rational as well as factual understanding of the proceedings against him.' Dusky v. United States, 362 U.S. 402, 80 S.Ct. 788, 4 L.Ed.2d 824 (1960); Drope v. Missouri, 420 U.S. 162, 95 S.Ct. 896, 43 L.Ed.2d 103 (1975)."

Anderson v. State, 510 So.2d 578, 579 (Ala.Cr.App.1987). "This determination [of competency to stand trial] should be left to the discretion of the trial court." Baker v. City of Huntsville, 516 So.2d 927, 931 (Ala.Cr.App.1987).

Additionally, an indigent defendant is constitutionally entitled to a psychological expert provided at the State's expense where the defendant demonstrates to the trial court that his or her sanity at the time of the offense could be a significant factor at trial. Ake v. Oklahoma, 470 U.S. 68, 86, 105 S.Ct. 1087, 1097-98, 84 L.Ed.2d 53 (1985). Where an evaluation by a psychologist or psychiatrist is constitutionally required, such an expert may be appointed under Rule 11.3(a), Ala. R.Crim. P.; Isom v. State, 488 So.2d 12, 13 (Ala.Cr.App.1986). Russell sought a mental examination to evaluate both his competency to stand trial and his mental state at the time of the offense.

At the hearing on his motion requesting a mental evaluation, Russell called Dr. Barbara Keown, an employee at the East Alabama Mental Health Center and a counselor at the Nan Kelley Counseling Center. Dr. Keown testified as an expert in the fields of psychology and counseling. Dr. Keown testified that she had reviewed Russell's records from the Nan Kelley Counseling Center. She testified that Russell's records reflected that he had been diagnosed as suffering from chronic paranoid schizophrenia. Dr. Keown also testified that Russell had sought treatment at the counseling center on four occasions during the three months before the attack of Wycoff. The records indicated that, on these visits to the counseling center, Russell sought treatment for auditory and visual hallucinations and behavioral problems. Russell, who had recently been released from prison, also told the staff at the counseling center that he was having difficulty adjusting to life outside of prison. Dr. Keown testified that Russell was given prescriptions for Prolixin Decanoate, an antipsychotic drug. She testified that his medication was discontinued shortly before the attack on Wycoff because Russell had taken an overdose. Dr. Keown testified that she had personally seen Russell on only one occasion before the hearing and that she was unable to form an opinion as to the extent of his mental illness from that encounter. Dr. Keown testified that, in her opinion, further evaluation would be needed in order to make an informed determination of whether Russell was competent to stand trial and whether he appreciated the nature and quality or wrongfulness of his actions when he attacked Wycoff.

The State, in its cross-examination of Dr. Keown, emphasized that Russell had previously been determined to be competent to stand trial in 1988 and again in 1989, despite his mental illness. The State presented no evidence at the hearing to contradict Dr. Keown's testimony.

It is evident from the following portion of the record of the hearing that the trial court misconstrued Russell's burden of proof on the issue of whether he was entitled to a mental evaluation to determine his competency to stand trial:

"THE COURT: Do you have access to all of the records wherever you work and that kind of stuff?

"THE WITNESS [Dr. Keown]: We have records from his contact with our facility.

"THE COURT: Have you reviewed those?

"THE WITNESS: Yes, I have.

"THE COURT: Are you competent to evaluate the results of those contacts?

"THE WITNESS: I have reviewed the records.

"THE COURT: Well, the bottom line is simply this: What I want to know is whether or not you can express an opinion based on reasonable medical certainty, based on your personal knowledge, or review of the records that you have access to and that you looked at, that you would normally rely on if you were dealing with this person--is that right?

"A: Yes.

"Q: --whether or not the defendant lacks sufficient present ability to assist in his or her defense by consulting with counsel with a reasonable degree of rational understanding of the facts and the legal proceedings against the defendant? Are you competent to make that opinion? Express an opinion as to that issue?

"THE WITNESS: I am not sure about that.

"THE COURT: You do not think you can?

"THE WITNESS: I don't--I have not seen enough of him to know whether he is competent to do that. Based on reviewing ... the records, I would guess there may be a problem there.

"THE COURT: I don't want a guess. I want an opinion. You came up here to testify and give your opinion. I am going to listen to your opinion. If you do not have an opinion, you can just say so. I don't want a guess. Do you have an opinion?

"THE WITNESS: The only opinion I can give you is when I brought him into my office to sign releases to talk with Mr. Treadwell [defense counsel], he seemed to have difficulty understanding the purposes of the releases and what kind of information, you know, I would be releasing to his attorney.

"THE COURT: That is not my question. The question is: Can you express an opinion as to the question, which is, does the defendant lack sufficient present ability to assist in his defense by consulting with counsel with a reasonable degree of rational understanding of the facts and legal proceedings against him? Are you prepared to express an opinion on that?

"THE WITNESS: No, I am not.

"THE COURT: All right. Are you prepared to express an opinion as to whether or not the defendant, as a result of severe mental disease or defect, was able to appreciate the nature and quality or wrongfulness of his acts at...