State v. VanNatta

• Decision Date: 08 September 1993
• Docket Number: Cr. N
• Citation: 506 N.W.2d 63
• Parties: STATE of North Dakota, Plaintiff and Appellee v. Lanny M. VanNATTA, Defendant and Appellant. o. 920309.
• Court: North Dakota Supreme Court

Page 63

506 N.W.2d 63

STATE of North Dakota, Plaintiff and Appellee v. Lanny M. VanNATTA, Defendant and Appellant.

Cr. No. 920309.

Supreme Court of North Dakota.

Sept. 8, 1993.

John E. Greenwood, State's Atty., Jamestown, for plaintiff and appellee.

William A. Mackenzie, Jamestown, for defendant and appellant.

SANDSTROM, Justice.

Lanny M. VanNatta appeals from a murder conviction and from an order denying his motion for a new trial. We affirm.

I

VanNatta was charged with murder, a class AA felony under Section 12.1-16-01(1)(a) and (b), N.D.C.C., for the March 1991 death of Iona Ostlund. VanNatta's court-appointed counsel raised the issue of VanNatta's competency to stand trial and filed a notice of defense based on mental condition under Rule 12.2(a), N.D.R.Crim.P. The trial court ultimately appointed three doctors and a criminal trial lawyer to examine VanNatta and render an opinion about his competency to stand trial. After a hearing, the court found that VanNatta was competent to stand trial. Thereafter, the court denied VanNatta's motion to suppress statements made by him and physical evidence seized from his apartment.

Under Section 12.1-04.1-16, N.D.C.C., VanNatta demanded a bifurcated trial on whether he committed the offense and on whether he was criminally responsible for his conduct. In the first phase of the trial, a jury found that VanNatta committed the offense, and, in the second phase, the jury found that he was criminally responsible. VanNatta moved for a new trial on the ground of newly discovered evidence. The trial court denied VanNatta's motion, and he appeals from the judgment of conviction and from the order denying his motion for a new trial.

II

VanNatta argues the trial court clearly erred in determining that he was competent to stand trial.

It is well established that due process prohibits the criminal prosecution of a defendant who is not competent to stand trial. Medina v. California, 505 U.S. ----, 112 S.Ct. 2572, 120 L.Ed.2d 353 (1992); Drope v. Missouri, 420 U.S. 162, 95 S.Ct. 896, 43 L.Ed.2d 103 (1975); Pate v. Robinson, 383 U.S. 375, 86 S.Ct. 836, 15 L.Ed.2d 815 (1966); State v. Heger, 326 N.W.2d 855 (N.D.1982). See also Godinez v. Moran, --- U.S. ----, 113 S.Ct. 2680, 125 L.Ed.2d 321 (1993).

Section 12.1-04-04, N.D.C.C., outlines our standard for determining competency to stand trial:

"Disposition of mentally unfit defendants. No person who, as a result of mental disease or defect, lacks capacity to understand the proceedings against him or to assist in his own defense shall be tried, convicted, or sentenced for the commission of an offense so long as such incapacity endures."

That statute is identical to Section 4.04 of the American Law Institute, Model Penal Code, and sets forth the generally accepted standard for determining competency to stand trial. ALI-Model Penal Code, Sec. 4.04, Explanatory Note. Under that standard, a defendant is not competent to stand trial if the defendant neither has sufficient present ability to consult with a lawyer with a reasonable degree of rational understanding, nor a rational as well as a factual understanding of the proceedings. Heger at 857; see Drope v. Missouri, supra; Dusky v. United States, 362 U.S. 402, 80 S.Ct. 788, 4 L.Ed.2d 824 (1960).

The prosecution must show by a preponderance of evidence that a defendant is competent to stand trial. Heger at 858. Compare Medina, 505 U.S. at ----, 112 S.Ct. at 2580-81, 120 L.Ed.2d at 367 [California statute requiring defendant to bear burden of proving incompetence to stand trial by a preponderance of evidence does not violate due process]. We review a trial court's determination on the issue of competency to stand trial under the "clearly erroneous" standard. Heger at 858. A finding of fact is clearly erroneous if there is no evidence to support it, or if, although there is some evidence to support it, a reviewing court, on the entire evidence, is left with a definite and firm conviction that a mistake has been made. E.g., Swanston v. Swanston, 502 N.W.2d 506, 508-09 (N.D.1993).

Although not determinative, some courts have considered the level of a defendant's intelligence quotient (I.Q.) as one factor for a trial court to consider in assessing competency to stand trial. Annot., Competency to Stand Trial of Criminal Defendant Diagnosed as "Mentally Retarded", 23 A.L.R. 4th 493 (1983). Another authority has identified the following non-exclusive factors for consideration by a trial court:

"(1) That the defendant has sufficient mental capacity to appreciate his presence in relation to time, place, and things; (2) That his elementary mental processes are such that he understands that he is in a court of law charged with a criminal offense; (3) That he realizes there is a judge on the bench; (4) That he understands that there is a prosecutor present who will try to convict him of a criminal charge; (5) That he has a lawyer who will undertake to defend him against the charge; (6) That he knows that he will be expected to tell his lawyer all he knows or remembers about the events involved in the alleged crime; (7) That he understands that there will be a jury present to pass upon evidence in determining his guilt or innocence; (8) That he has sufficient memory to relate answers to questions posed to him; (9) That he has established rapport with his lawyer; (10) That he can follow the testimony reasonably well; (11) That he has the ability to meet stresses without his rationality or judgment breaking down; (12) That he has at least minimal contact with reality; (13) That he has the minimum intelligence necessary to grasp the events taking place; (14) That he can confer coherently with some appreciation of proceedings; (15) That he can both give and receive advice from his attorneys; (16) That he can divulge facts without paranoid distress; (17) That he can decide upon a plea; (18) That he can testify, if necessary; (19) That he can make simple decisions; and (20) That he has a desire for justice rather than undeserved punishment."

State v. Guatney, 207 Neb. 501, 299 N.W.2d 538, 545 (1980) [Krivosha, Chief Justice, concurring].

In this case, the trial court initially appointed Dr. David Sharbo, a psychiatrist, to examine VanNatta. Dr. Sharbo noted that VanNatta had a "normal" I.Q. with a "well-substantiated and well-documented history of chronic mental illness." Dr. Sharbo recognized that VanNatta had a propensity to tell "tall tales" along grandiose themes, but, if challenged, he would acknowledge that the tale was not true. Dr. Sharbo indicated that, when questioned about Ostlund's death, VanNatta "was able to be evasive and represent his own self-interest by not divulging any information that might be harmful to him or to the defense of his case.... He was inconsistent in reporting different versions of what happened at various times, but he was consistently protective of his own involvement." Dr. Sharbo reported that VanNatta demonstrated a realistic working knowledge of the legal system and the roles of the various individuals involved in a criminal trial and that he was well informed about the charges pending against him and the potential penalties. Dr. Sharbo concluded that VanNatta had the capacity to understand the proceedings against him and that he was presently able to assist in his own defense, but suggested that his attorney use

"a straightforward approach to discussions with him and gentle confrontation when responses are inappropriate or questionable. This capacity will need to be reconsidered on an ongoing basis as the defense proceeds, and is subject to change if his mental condition deteriorates."

The parties then stipulated to the appointment of Dr. Michael Schmidt, a clinical psychologist, to examine VanNatta. Dr. Schmidt reported that VanNatta had a "mid average IQ" and a "good knowledge of the basics of legal proceedings." However, Dr. Schmidt noted that VanNatta had "serious problems ... in reality testing" and "serious impairment in perception and judgment; he fails to understand the world around him and how to get along in it." Dr. Schmidt stated that VanNatta's delusional and grandiose beliefs were consistent with "frontal lobe organic syndrome." Dr. Schmidt concluded that VanNatta "clearly understands the nature of the proceedings against him," but that he could not "participate effectively in his defense" because of his "substantially impaired perception and judgment, in addition to specific delusional beliefs." Dr. Schmidt explained that VanNatta understood the factual meaning of an oath, but, because of his delusions, he could not comply with the oath. Dr. Schmidt warned that if VanNatta testified at trial, he would present "unreal, grandiose beliefs that could result in his being seen in a negative light."

After receiving Dr. Schmidt's report, the trial court ordered an examination at the North Dakota State Hospital to determine whether VanNatta "lacks capacity to understand the proceedings against him or to assist in his own defense" and whether he "is unable to effectively communicate with counsel." Pursuant to that order, Dr. Karl Ulrich, a psychiatrist at the State Hospital, evaluated VanNatta. Dr. Ulrich recognized that VanNatta had frontal lobe damage and diagnosed a "delusional disorder, grandiose type." Dr. Ulrich reported that VanNatta suffered from a disorder "of pseudologia fantastica ... akin to pathologic lying," and that, when confronted with a misstatement of fact, he would generally be able to recant. Dr. Ulrich noted that VanNatta "is aware of the charges against him and is motivated to help himself in the legal process. He appears able to plan legal strategies and to challenge prosecution findings and witnesses." Dr. Ulrich concluded:

"C. Despite his fixed delusional beliefs, Mr. Van Natta has the capacity to understand the proceedings against him and he is able to assist in his own defense as demonstrated by his...