U.S. v. Collins, 90-2485

• Decision Date: 26 November 1991
• Docket Number: No. 90-2485,90-2485
• Citation: 949 F.2d 921
• Parties: UNITED STATES of America, Plaintiff-Appellee, v. Byron DuBois COLLINS, Defendant-Appellant.
• Court: U.S. Court of Appeals — Seventh Circuit

Page 921

949 F.2d 921

UNITED STATES of America, Plaintiff-Appellee, v. Byron DuBois COLLINS, Defendant-Appellant.

No. 90-2485.

United States Court of Appeals Seventh Circuit.

Argued Sept. 20, 1991.

Decided Nov. 26, 1991.

Barry R. Elden, Jerome N. Krulewitch (argued), Asst. U.S. Attys., Criminal Receiving, Appellate Div., Chicago, Ill., for plaintiff-appellee.

Thomas H. Piper (argued) White Hall, Ill., for defendant-appellant.

Before BAUER, Chief Judge, RIPPLE, Circuit Judge, and FAIRCHILD, Senior Circuit Judge.

BAUER, Chief Judge.

The single issue presented by this appeal is whether the district court erred in failing to hold a competency hearing pursuant to 18 U.S.C. § 4241(a) (1988) before accepting Defendant Collins's plea of guilty to bank robbery. Because we determine the district court did not have reasonable cause to believe the defendant was incompetent, it was not required to hold a hearing. We, therefore, affirm.

I.

On February 13, 1989, federal agents arrested Byron DuBois Collins, pursuant to a duly executed warrant, for the robbery of the Illiana Federal Credit Union in Calumet City, Illinois, on January 31, 1989. Collins made his initial appearance before Magistrate Joan B. Gottschall the following day. At that appearance, the government moved to detain Collins as a flight risk, and to have him examined to determine his mental competency to stand trial. Defendant did not object to either motion; as a consequence, the magistrate granted both.

Between February 23, 1989, and March 8, 1989, Marjorie J. Muzyczka, Ph.D., conducted a psychological evaluation of Collins. She concluded he was competent to stand trial. On defendant's motion, the magistrate ordered a second psychiatric examination, which was conducted by Mark Amdur, M.D., on March 27 and 28, 1989. Again, on defendant's motion, the magistrate ordered a third psychiatric examination, this one conducted by Orest E. Wasyliw, Ph.D., on April 5 and May 3, 1989. Drs. Amdur and Wasyliw both concluded defendant suffered from schizophrenia and was not competent to stand trial.

At a hearing before the magistrate on May 26, 1989, the Assistant U.S. Attorney stated that the Amdur/Wasyliw reports provided sufficient grounds for a finding that the defendant was not competent, and should be remanded to the custody of the Attorney General for further observation under 18 U.S.C. § 4241(d) (1988). In response to the magistrate's question, defense counsel indicated it was his position that Collins was not competent to stand trial. In view of the prosecutor's and defense attorney's statements, and two psychiatric reports concluding that Collins was not competent, Magistrate Gottschall determined that a competency hearing was unnecessary. She found, by a preponderance of the evidence, that Collins was not competent to stand trial, and remanded him to the custody of the Attorney General.

Collins was admitted to the Mental Health Division of the Federal Correctional Institution at Butner, North Carolina, on July 24, 1989, where he remained until October 9, 1989. During his stay at Butner, Collins was examined by Kevin H. McBride, Ph.D., a clinical psychologist, Walter L. Cassidy, M.D., a psychiatrist, evaluated by the Forensic Team, and observed daily by various other members of the Mental Health and Correctional staff. In their forensic evaluation, dated September 30, 1989, Drs. McBride and Cassidy stated they found Collins currently competent to stand trial. As a result, on October 13, 1989, Butner Warden J.T. Hadden executed a Certificate of Restoration of Competency to Stand Trial.

The Special May 1987 Grand Jury indicted Collins on October 17, 1989. The indictment contained two counts: one for violation of 18 U.S.C. §§ 2113(a) and (d) (1988), charging that he robbed the Illiana Federal Credit Union on January 31, 1989, and in doing so, assaulted and jeopardized the life of a bank teller by use of a dangerous weapon, and a second count for violation of 18 U.S.C. § 924(c) (1988), charging that he used and carried a firearm in the course of the robbery. Collins was arraigned before Judge William T. Hart on October 20 1989. ¹ Because Collins stood mute, Judge Hart entered a plea of not guilty on his behalf. His attorney moved for another psychiatric examination, and for a competency hearing. Judge Hart directed defense counsel to file a written motion requesting further examination, and set a competency hearing for November 20, 1989.

On November 6, 1989, Collins withdrew his motion for a competency hearing. Consequently, Judge Hart entered a minute order canceling the hearing. On November 15, Collins filed a motion for psychiatric evaluation to determine the appropriateness of raising the defense of insanity at the time of the robbery, which Judge Hart granted. Collins filed a second motion on November 22, 1989, seeking an examination relating to an insanity defense. Judge Hart entered an order granting that motion also, but for some reason not made clear in the record, Collins was not evaluated pursuant to that order. Defense counsel sought, and obtained, another order that defendant be examined on December 14, 1989. But because Collins was on codeine for a hand injury on that date, which would interfere with his psychiatric evaluation, he was not examined. Ultimately, the second examination regarding the appropriateness of an insanity defense commenced on February 1, and concluded sometime in early March, 1990. At a status hearing on March 15, 1990, defense counsel notified the court and the prosecution of his intention to file notice of insanity defense. The government then moved for a psychiatric examination of Collins, at Butner, to determine whether he was sane at the time of the robbery. Judge Hart granted this motion.

Fifteen days later, on March 30, 1990, at a change of plea hearing, the defense filed a waiver of insanity defense and an executed plea agreement pleading guilty to count one of the indictment. Collins's competency to plead guilty was among the issues Judge Hart considered at that hearing. He asked Collins if he understood that the doctors who examined him found him to be competent. Collins responded that he did understand. He asked the prosecutor whether, in her opinion, defendant was competent, to which she responded yes. Judge Hart then asked for the basis of her opinion, which she offered. Finally, he asked defense counsel if, in his opinion, Collins was competent. Counsel similarly responded yes, and in response to the judge's question, offered the basis of his opinion. Based on all of the statements at the change of plea hearing, and his own observations, Judge Hart found Collins competent to plead guilty. He accepted the plea, referred the matter to the probation department for a pre-sentence investigation, and set sentencing for June 15, 1990.

At the sentencing hearing, after reviewing the presentence report and hearing from both the government and the defense, Judge Hart sentenced Collins to 180 months incarceration, followed by 60 months of supervised release. The prosecutor then moved to dismiss count two of the indictment, which motion Judge Hart granted. This appeal followed.

II.

Collins argues that, pursuant to 18 U.S.C. § 4241(a) (1988), he was entitled to a hearing to determine his competency before the trial court accepted his waiver of insanity defense and guilty plea. Failure to hold a competency hearing, he continues, was a violation of his right to due process under the law. He asks this court to vacate his conviction and sentence, and to remand to the district court for further proceedings. We decline.

Unquestionably, due process requires a defendant to be competent to stand trial. Pate v. Robinson, 383 U.S. 375, 385, 86 S.Ct. 836, 842, 15 L.Ed.2d 815 (1966). Also unquestionably, "the need for competency extends beyond trial to the sentencing phase of a proceeding." United States v. Garrett, 903 F.2d 1105, 1115 (7th Cir.), cert. denied, --- U.S. ----, 111 S.Ct. 272, 112 L.Ed.2d 227 (1990). As we have noted several times before,

[w]hen a court had made findings about the competency of a defendant, we will overturn those findings only upon a showing that they are clearly erroneous.... But when there has been no psychiatric examination or judicial determination, our review is comprehensive.

Id. at 1116, quoting United States v. Johns, 728 F.2d 953, 956 (7th Cir.1984) (citation omitted).

The facts in this case do not fit nicely into either category. The clearly erroneous standard applies when the district court has made findings after a hearing. That did not occur here. What did occur was that the defendant underwent multiple psychiatric examinations, with varying results. But because there were psychiatric examinations, it would seem that the second standard also is inapplicable. It is, however, precisely because of Collins's apparent on-again, off-again mental competence, and that he was never adjudicated competent at the conclusion of a hearing, that we will apply the second standard. We will also keep in mind that, although "our review is comprehensive, the district court retains a good deal of latitude in how it evaluates the need for a formal competency hearing." Garrett, 903 F.2d at 1116.

Our starting point is the command of the statute itself, which provides in relevant part:

The court shall grant the [defense or prosecution] motion [for a competency hearing], or shall order such a hearing on its own motion, if there is reasonable cause to believe that the defendant may presently be suffering from a mental disease or defect rendering him mentally incompetent to the extent that he is unable to understand the nature and consequences of the proceedings against him or to assist properly in his defense.

18 U.S.C. § 4241(a) (emphasis added). Clearly, only if Judge Hart had reasonable cause to believe that Collins was not mentally competent to understand that he was being prosecuted for bank...