U.S. v. Lebron, 95-1096

Citation76 F.3d 29
Decision Date08 January 1996
Docket NumberNo. 95-1096,95-1096
PartiesUNITED STATES, Appellee, v. Jose LEBRON, Defendant-Appellant. . Heard
CourtUnited States Courts of Appeals. United States Court of Appeals (1st Circuit)

Appeal from the United States District Court for the District of New Hampshire, Steven J. McAuliffe, U.S. District Judge.

David A.F. Lewis, by Appointment of the Court, Boston, MA, for appellant.

Jean B. Weld, Assistant United States Attorney, with whom Paul M. Gagnon, United States Attorney, was on brief, for appellee.

Before BOUDIN, Circuit Judge, COFFIN and ROSENN, * Senior Circuit Judges.

ROSENN, Senior Circuit Judge.

This appeal from a guilty plea and sentence requires that we consider the process due a defendant whose behavior may raise questions concerning his mental competency.

I.

A federal grand jury for the District of New Hampshire indicted Jose Lebron on ten counts stemming from his two armed robberies of a pawnshop and a bank in Manchester, New Hampshire. His co-defendants, Paul Hazen and Frank Jones, pled guilty to possession of a firearm by a convicted felon, 18 U.S.C. § 922(g). The court imposed sentence and neither of them appealed. Lebron requested counsel under the Criminal Justice Act, 18 U.S.C. § 3006A. However, he vehemently objected to his court-appointed counsel and filed several motions with the court requesting new counsel. A magistrate judge denied the motion, finding that Lebron had not articulated sufficient reasons. The magistrate informed Lebron that he could either retain his appointed counsel, or proceed pro se.

At a hearing on Lebron's motion for a new court-appointed counsel, the district court found no valid reason to substitute counsel. The court informed Lebron that he could proceed pro se and that his court-appointed counsel would stand by, and take over the case if Lebron did not conform to courtroom rules. Lebron lost his temper, and his behavior prompted the marshals to handcuff him before the hearing ended. The court denied his motion for reconsideration. Lebron then filed a Renewed Motion for Reappointment of Counsel, in which he asserted that there was medication he could take which could "affect his ability to be aware of exactly what is happening around him."

On May 10, 1994, Lebron represented himself during jury selection. Although he initially asked for, and was denied, an interpreter, Lebron was able to communicate with the jury. Several of his objections to jury members were granted. After jury selection, the court held an ex parte session with Lebron and his counsel to enable them to air the disagreements between them without compromising the attorney-client privilege. At this session, the judge informed Lebron that he had done a good job in jury selection, but that he was "not competent to represent himself in the sense he's not aware of fundamental issues that ought to be raised on his behalf." Lebron concedes that the district court meant this statement to refer to Lebron's competence as an attorney, not to Lebron's mental competence. At the same ex parte session, Lebron's counsel informed the court that Lebron used to receive prescriptions for thorazine (an antipsychotic) and trazodone (an antidepressant) from the Veteran's Administration hospital, and that he would like to take these drugs during the trial.

In response, the judge alerted the Government that Lebron had a previous psychiatric history. He believed that this might be relevant to the defendant's ability to intelligently waive his right to counsel. The court then held a hearing later that day to determine the issue of Lebron's competency, and whether Lebron should be permitted to take his requested drugs during trial. The court took testimony from Dr. Nathan Sidley, the prison psychiatrist. Sidley stated that he had briefly reviewed Lebron's Veteran's Administration medical records, which revealed a possible diagnosis of schizophrenia in the 1970s. Sidley had attempted to meet with Lebron, but Lebron terminated their meeting within the first five minutes, upon learning that their discussion would not be confidential. Sidley concluded that, based on these facts, Lebron was not psychotic, and was competent to stand trial. He further concluded that any possible benefits from the drugs Lebron requested were outweighed by the detriments of giving him massive quantities needed without sufficient time for the drugs to build up in his bloodstream.

Lebron then testified that he was using heroin and Valium, and that he had both drugs in his system at the time. Two days later, the district court judge issued an order which continued the trial date, permitted Lebron's counsel to withdraw, and appointed Paul Twomey as new counsel for Lebron.

The next day, the Government and Twomey jointly filed a request for a psychiatric evaluation pursuant to 18 U.S.C. § 4241, which the court granted. The parties agreed that Dr. Albert Druktenis should perform the evaluation. Druktenis met with Lebron and evaluated him pursuant to the court's order to determine both Lebron's sanity at the time of the offense, and his competency to stand trial now. Druktenis concluded that Lebron was not insane at the time of the offense, and that he was competent to stand trial. He noted that Lebron's personality was manipulative, but that he was aware of the charges against him, and had been able to speak intelligently, lucidly and logically at court hearings. Druktenis also addressed the issue of Lebron's current medications, and noted that they "would not cloud his thinking in any substantial way and, in fact, are probably helping him by reducing anxiety and agitation."

After the psychiatrist submitted this report, Lebron withdrew his motion to dismiss based on incompetency, and the parties reached a plea agreement. Under this agreement, Lebron would plead guilty to two counts of use and carrying of a firearm in violation of 18 U.S.C. § 924(c), and the Government would dismiss the remaining eight counts.

The court conducted a change of plea hearing on October 3, 1994. Before the judge entered the courtroom for the hearing, Lebron threw a pitcher of water at the case investigators, narrowly missing one agent. Soon thereafter, the hearing proceeded, with the court stating that it understood there was "no issue at this point with regard to the defendant's competence." Both counsel agreed that Lebron was competent. Defense counsel then added that he had come to that conclusion himself independently after reviewing the psychiatric report. The court then asked Lebron if the Government's proffer of the evidence to the charges was correct. At first Lebron claimed that he could not remember any of the events. On further questioning, he admitted to the conduct. After fully advising Lebron of the rights he would waive by pleading guilty, the court accepted the plea.

The court sentenced Lebron to imprisonment for 240 months on one count and 60 months on the other, to be served consecutively, three years supervised release with a condition of treatment for his chemical dependency, $500 in restitution, and a $100 special assessment. Lebron appeals, raising as his sole issue whether the district court denied him due process by not holding a hearing under 18 U.S.C. § 4241 to determine his competency when he changed his plea. We affirm.

II.

The conviction of a criminal defendant while he is legally incompetent violates due process. Pate v. Robinson, 383 U.S. 375, 378, 86 S.Ct. 836, 838, 15 L.Ed.2d 815 (1965). The test for a defendant's mental competency to plead guilty is the same as that of a defendant's competence to stand trial. United States v. Harlan, 480 F.2d 515, 517 (6th Cir.1973). That test, as set forth by the Supreme Court, is whether the defendant understands the proceedings against him and has sufficient present ability to consult with his lawyer with a reasonable degree of rational understanding. Dusky v. United States, 362 U.S. 402, 80 S.Ct. 788, 4 L.Ed.2d 824 (1960).

To assist courts in making this test, Congress has established certain procedures. Section 4241 of Title 18 of the United States Code provides the relevant reference in matters of a criminal defendant's competency to stand trial. 4241(a) provides in pertinent part ... [T]he defendant or the attorney for the Government may file a motion for a hearing to determine the mental competency of the defendant. The court shall grant the motion, 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...

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    ...that his impairments did not affect his comprehension of legal concepts.” Id. at 243–44.Respondent also relies on United States v. Lebron , 76 F.3d 29 (1st Cir.1996), where the defendant argued that the trial court should have held a competency hearing. The First Circuit disagreed, finding ......
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