Peaks v. State

GREENE, J. Petitioner, Dwayne Antonio Peaks (“Peaks”) was convicted of multiple offenses following a jury trial in the Circuit Court for Baltimore City. Peaks argues that the trial judge did not make an adequate determination of Peaks’s competency to ²⁴⁴ stand trial under Md.Code (1974, 2008 Repl.Vol.), § 3-104 of the Criminal Procedure Article. Section § 3-104 states: (a) In general.—If, before or during a trial, the defendant in a criminal case or a violation of probation proceeding appears to the court to be incompetent to stand trial or the defendant alleges incompetence to stand trial, the court shall determine, on evidence presented on the record, whether the defendant is incompetent to stand trial. (b) Court action if defendant found competent.—If, after receiving evidence, the court finds that the defendant is competent to stand trial, the trial shall begin as soon as practicable or, if already begun, shall continue.

(c) Reconsideration.—At any time before final judgment, the court may reconsider the question of whether the defendant is incompetent to stand trial. Specifically, the Petitioner presents one question for our review: Where a defendant’s competency is explicitly called into question and a competency evaluation is ordered, sua sponte, by a Circuit Court judge, does § 3-104 of the Criminal Procedure Article of Maryland’s Annotated Code require the trial judge to make a proper competency determination prior to the commencement of trial and before a defendant can be permitted to discharge his counsel? In the present case, the Circuit Court judge acted properly under § 3-104 in determining that the defendant, Peaks, was competent to stand trial. Defense counsel first raised the issue of Peaks’s competency following his arraignment, and the court ordered a competency evaluation pursuant to Md. Code (1974, 2008 RepLVol.), § 3-105 of the Criminal Procedure Article, which authorizes a judge to “order the Health Department to examine the defendant to determine whether the defendant is incompetent to stand trial.” 1 Based on the ²⁴⁵ results of the evaluation of Peaks and the evidence on the record, when the case came before Judge Barry G. Williams for trial, he determined that Peaks was competent to stand trial.

In a subsequent proceeding, however, Judge Williams elected to reconsider that determination and ordered another evaluation. Although this second evaluation was never completed, the trial proceeded before another judge of the Circuit Court, Judge Paul E. Alpert, and the issue of competency was not raised again by any party. We shall hold that under the circumstances, even though Peaks’s trial had already commenced, the trial judge did not violate § 3-104 in determining again that Peaks was competent to stand trial. FACTS AND PROCEDURE On October 12, 2004, Peaks was arraigned in the Circuit Court for Baltimore City on charges relating to events occurring between April and May of 2004. 2 Following the arraignment, defense counsel entered a plea of not criminally responsible on Peaks’s behalf and requested an evaluation of his competency to stand trial.

On November 4, the Circuit Court ordered the Department of Health and Mental Hygiene to perform a competency evaluation. On December 15, Peaks was referred to Clifton T. Perkins Hospital Center (“Perkins ²⁴⁶ Hospital”) for evaluation of his competency and criminal responsibility. After multiple examinations and evaluations performed by various psychiatrists, a Pretrial Evaluation was submitted to the Circuit Court on April 26, 2005. The evaluators found that Peaks was “able to understand the nature and object of the charges against him and to assist in his own defense,” and therefore concluded that Peaks was “competent to stand trial.” Defense counsel sought to have Peaks evaluated again, because counsel was not satisfied with the initial evaluation.

The Circuit Court then ordered a postponement of the trial pending an additional evaluation. After multiple postponements for varying reasons, the case came before Judge John M. Glynn for trial on March 13, 2006. Judge Glynn asked why the case was “so old.” Defense counsel responded that the delay was due to “issues regarding [Peaks’s] competence, which [have] been resolved.” The trial was not able to commence on that day due to the absence of a witness for the State. The case was reset for trial before Judge Williams.

On November 16, 2006, the parties addressed the outstanding competency concerns: [DEFENSE COUNSEL]: I’m concerned Judge as far as the competency, where that—that the defendant’s competency will have to be made very clear on the record that he is acting in contempt of the court but that he is competent and those issues will be (inaudible) absentia. THE COURT: I understand. [DEFENSE COUNSEL]: And it has been resolved. THE COURT: That was my understanding looking at the court file, talking to the other judges who have had him. That has been my understanding, litigated extensively. [STATE’S ATTORNEY]: Well it’s never actually gone to a competency hearing.

He’s only been sent to the court medicals and Perkins [Hospital] and had evaluations. THE COURT: And ... [STATE’S ATTORNEY]: He’s never had a ... THE COURT: And that Courts having determined, after reviewing those competency requests, the courts have ²⁴⁷ determined that he is competent to stand trial. So, unless there is a ... [DEFENSE COUNSEL]: And the defense is not making a motion ... and without revealing anything that would jeopardize privilege, there is no reason at this time to question his competency or his criminal responsibility.

THE COURT: There are just some people that just decide to act out. [STATE’S ATTORNEY]: I understand Your Honor. THE COURT: And that seems to be what Mr. Peaks has decided to do. Hopefully, he won’t do that today. But, if so, but I understand the State’s concern. [STATE’S ATTORNEY]: Well Your Honor, ...

I learned that the defense withdrew the competency—contesting the competency issues, back in the summer, I think it was August was the last trial date. THE COURT: We’re not going to go down that path. [STATE’S ATTORNEY]: And I understand that they are not going to renew that issue. THE COURT: And that’s where it is. (Emphasis added.) Subsequently, the court was informed that Peaks could not attend the hearing because he had chest pains and was taken back to jail for observation or treatment.

Judge Williams stated that, “the same thing happened yesterday when Mr. Peaks was here in this courtroom. He seemed to this Court to be in fíne condition, but when he did not get what he wanted, which was the opportunity to discharge counsel, he then claimed that he had some heart problems or chest pains.” The case was scheduled to resume in two weeks. On November 29, Peaks again appeared before Judge Williams to begin trial. Peaks indicated that he wanted to discharge his counsel and hire a private attorney, and the parties discussed possible plea options.

Peaks, however, began to act out once more. He complained that he was being “railroaded” by the government and was concerned that he was not being ade ²⁴⁸ quately represented. He again complained of chest pains, to which Judge Williams responded, it “seems that every time that I don’t do what you want me to do you complain about chest pains” and later, “it has been found that you didn’t have any chest pains [when you complained about chest pains in the past].” When Peaks protested this characterization, Judge Williams stated, “Sir I believe what you are trying to do is disrupt my court proceedings. And if you do that, it is contempt of court.” Peaks then began to curse and act erratically, and the Judge found him in contempt.

After-wards, the Court recessed for the day. Peaks was brought back to court the next day to schedule another trial date. Judge Williams informed Peaks that he had a new attorney from the Public Defender’s Office. The exchange continued: THE COURT: Sir we are in the position right now where I have to determine whether or not we can proceed with trial.

I have made every attempt I can. Yesterday you told me that you have emotional issues. Do you remember telling me that sir? PEAKS: Sure.

THE COURT: I’m concerned about those issues. Your ability to sit in court and assist [your attorney] has been called into question by your own actions. I am not sure that you can do that. And like I told you yesterday and like I told you before it is my desire to try these cases, because like you said you have been sitting in jail for a long period of time.

I am not certain that you are competent to assist your attorney in your defense. And I am not sure about your responsibility. So for those reasons based on actions that you presented to me yesterday. Based on your outbursts yesterday.

Based on reviewing paperwork of the past. I’m determining that I am ordering you to be evaluated for competency and criminal responsibility. That will be done hopefully within the next sixty days sir. ²⁴⁹ PEAKS: I had like four of them done, they say that Pm competent. The dialogue continued between Judge Williams and Peaks, Peaks maintaining his competence and the judge explaining that an evaluation should be done to make sure he was competent to stand trial.

The latest evaluation ordered by Judge Williams, however, was never completed, as explained in multiple letters from doctors at Perkins Hospital to the court, stating that Peaks could not be evaluated because he would not cooperate with them. The trial was set to begin on June 4, 2007 before Judge Alpert. On that date, the issue of competency was not raised by defense counsel or Peaks, and was not initially addressed by the court. After advising Peaks of his rights and engaging in plea discussions, which were eventually terminated, Judge Alpert began the process of voir dire, bringing in prospective jurors and asking them questions regarding any possible bias.

During this process, Peaks requested to discharge his attorney, based on his alleged belief that the attorney was not adequately representing him, informing the judge he would rather represent himself. After performing a Rule 4-215 3 inquiry, Judge Alpert allowed Peaks to discharge his counsel. Peaks proceeded without counsel; he participated in voir dire and excused jurors after Judge Alpert asked the prospective jurors questions indicating their bias. Peaks then began to act out, yelling in court, using profanities and indicating his belief that the system was fixed against him.

Once Peaks became completely unruly, Judge Alpert informed him that he would be removed from the courtroom should his behavior continue. Peaks did ²⁵⁰ not heed the warning and was removed from the courtroom when he refused to comply. The next day, Peaks was brought back to the court, and given the opportunity to participate in his defense. He told the court multiple times that he did not want to participate, and he was escorted out of the courtroom.

After concluding voir dire in the absence of defense counsel or Peaks, the judge informed the State that the case would proceed to trial. The State then said: [STATE’S ATTORNEY]: I have several pre trial issues Your Honor. The first issue is, the State already brought this up before as far as his previous plea which was subsequently withdrawn (inauditable [sic]) conference hearing. It is the understanding of the State that this Court has had plenty opportunity to engaged [sic] Mr. Peaks and find him otherwise to be competent for the purposes of continuing this trial.

THE COURT: He’ll participate in the trial. He participated to some extent in the jury selection which the record will reflect, with the assistance of [his attorneys]. He also discussed the plea, and he decided not to do the plea. I’m satisfied that he is competent to stand trial.

Without any doubt am I satisfied. (Emphasis added.) The State proceeded with its case and Peaks was convicted, by the jury, in absentia. Peaks, represented by counsel from the Office of the Public Defender, appealed his conviction to the Court of Special Appeals, claiming that Judge Alpert did not comply with § 3-104 because the judge did not make a proper determination regarding competency prior to trial. In an unreported opinion, the Court of Special Appeals affirmed the conviction, holding that “[w]e are satisfied that the court determined on the record that [Peaks] was competent to stand trial” and that there was sufficient evidence on the record to support a finding of competency.

Subsequently, we granted Peaks’s Petition for Writ of Certiorari. Peaks v. State, 415 Md. 114 , 999 A.2d 179 (2010). ²⁵¹ DISCUSSION We note at the outset that there is no substantive challenge to Peaks’s competency. The Petitioner does not allege that he was incompetent to stand trial. Rather, Petitioner’s claim is that the trial court committed a procedural error by failing to determine the issue of Peak’s competency prior to the commencement of trial.

With that in mind, we turn to the requirements of Maryland law. A defendant is considered incompetent to stand trial if he or she is not able, “(1) to understand the nature or object of the proceeding; or (2) to assist in one’s defense.” Md.Code (2001, 2008 Repl.Vol.), § 3-101® of the Criminal Procedure Article; see also Thanos v. State, 330 Md. 77, 85 , 622 A.2d 727, 730 (1993) (quoting Dusky v. United States, 362 U.S. 402 , 80 S.Ct. 788 , 4 L.Ed.2d 824 (I960)). Additionally, the substantive prohibition against the criminal prosecution of an incompetent defendant is protected by certain guarantees of procedural due process. Trimble v. State, 321 Md. 248, 254 , 582 A.2d 794, 797 (1990).

A person accused of a crime is presumed to be competent to stand trial. Ware v. State, 360 Md. 650, 703 , 759 A.2d 764, 792 (2000). Once the issue of competency is raised, the General Assembly places the duty to determine the defendant’s competency on the trial court, in order to ensure that the requirements of due process are satisfied. Roberts v. State, 361 Md. 346, 363-64 , 761 A.2d 885, 895 (2000).

The duty of the trial court may be triggered upon motion of the accused or defense counsel, or upon sua sponte action of the court. Roberts, 361 Md. at 364 , 761 A.2d at 895 . As we stated in Roberts, 4 the language of the statute, now codified as § 3-104: ²⁵² [MJandates actions to be undertaken by a trial court, if an accused’s competency is properly called into question. These actions can be broken down into three distinct and simple steps: (1) First, a determination of competency may be made at any time before or during a trial; (2) Second, such a determination must be made if the defendant in a criminal case appears to be incompetent to stand trial or the defendant alleges incompetence to stand trial; and (3) Finally, the court must make its determination on the evidence presented on the record.

Id. This mandate “indicates that the Legislature intended for every accused, whose competency was called into question, to have at least one guaranteed review of his or her competency status.” Roberts, 361 Md. at 366 , 761 A.2d at 896 . Once the issue of competency has been raised, a “determination that an accused is competent to stand trial must be found beyond a reasonable doubt.” Jolley v. State, 282 Md. 353, 365 , 384 A.2d 91, 98 (1978). Additionally, competency to stand trial is a factual determination which will not be reversed unless it is clearly erroneous.

Jolley, 282 Md. at 375 , 384 A.2d at 103 . Additionally, the determination of the court need not be in the form of a formal hearing. See Roberts, 361 Md. at 368 , 761 A.2d at 897 . A judge with no jury present is not “required to use any magic words to designate as a separate hearing the presentation to him of testimony and evidence for his determination of the competency of the accused to stand trial.

It is sufficient if the testimony and evidence are on the record.” Id. Further, once the trial court has determined that the defendant is competent to stand trial, “the court is not required to hold an additional hearing merely because [the defendant] again alleges he is incompetent.” Trimble, 321 Md. at 255 , 582 A.2d at 798 ; see also Roberts, 361 Md. at 364 , 761 A.2d at 895 (“Once an initial determination has been made, a reconsideration of the accused’s competency may be made ²⁵³ and is controlled by the discretionary language of [§ 3-104(c)]”). In Trimble , we held that the defendant was determined to be competent prior to trial pursuant to the procedure outlined in the then applicable competency statute. 5 Trimble, 321 Md. at 255 , 582 A.2d at 797-98 . During the Trimble trial, however, the defendant “behave[d] strangely” and defense counsel alleged on appeal that the trial court erred in failing to conduct a supplemental hearing on the issue of his competency.

Trimble, 321 Md. at 255 , 582 A.2d at 798 . We rejected that argument, noting that “any questions posed directly to [the defendant] at trial were answered appropriately” and holding that the “trial judge could have concluded that the behavior was designed only to disturb the proceedings and was not the result of any real incompetency.” We therefore held that another hearing or determination on competency was not necessary. Trimble, 321 Md. at 256 , 582 A.2d at 798 . Having outlined the procedural requirements of a competency determination, we need to clarify what evidence may be reviewed by a judge in determining competency.

In Jones v. State, 280 Md. 282, 285 , 372 A.2d 1064, 1066 (1977), the trial judge reviewed, in camera, a psychological report that was completed under the jurisdiction of juvenile authorities. After reviewing the report, the trial judge determined that the defendant was competent to stand trial. Id. In deciding the case, we stated that “before the trial may properly commence or continue, given a sufficient allegation of incompetency ... the trial court is first required to make a determination of the defendant’s competency” based on evidence presented on the record.

Jones, 280 Md. at 289 , 372 A.2d at 1068 ; see also § 3-104(b) (“If, after receiving evidence, the court finds that the defendant is competent to stand trial, the trial shall begin as soon as practicable or, if already begun, shall continue”) (emphasis added). We noted that “[fjailure to determine ²⁵⁴ competency ‘upon testimony and evidence presented on the record’ as required by the statute, nullifies not only the determination itself but also the trial and resulting conviction.” Jones, 280 Md. at 289 , 372 A.2d at 1068 . We therefore held that the trial court erred “in resting its determination of competency on matters outside the record in contravention of the statute.” Jones, 280 Md. at 287 , 372 A.2d at 1067 . In Roberts v. State, supra, we also held that the trial court erred in failing to comply with the competency statute.

In Roberts , the defendant was charged with first degree murder and related offenses. Roberts, 361 Md. at 349 , 761 A.2d at 887 . The defendant requested a mental examination to determine her competence to stand trial, but the motion was denied by the trial judge without a hearing. Id.

We stated that the trial court in Roberts had “no basis for finding that the examination was or was not necessary,” emphasizing that there was no evidence on the record regarding Mr. Roberts’s incompetence. Roberts, 361 Md. at 371 , 761 A.2d at 898 . We stated that “[wjhile we do not say that a formal hearing on the merits is required in all circumstances ... an accused must be afforded an opportunity to present evidence upon which a valid determination can be made.” Roberts, 361 Md. at 356 , 761 A.2d at 891 . See also Colbert v. State, 18 Md.App. 632, 642 , 308 A.2d 726, 732 , cert. denied, 269 Md. 756 (1973) (holding that there need not be a separate hearing for the presentation of evidence).

We held, in Roberts , that the trial court erred in denying the motion without a hearing, because Mr. Roberts was not provided the opportunity to present evidence regarding the issue of competency. Roberts, 361 Md. at 369 , 761 A.2d at 897 . In deciding Roberts , we relied on Sangster v. State, 312 Md. 560 , 541 A.2d 637 (1988), in which we discussed the legislative history of the competency statute in great detail, and we reiterated that the legislative intent in passing the statute was to “mandate [the] precise actions to be taken by a trial court when an accused’s competency to stand trial was questioned.” Roberts, 361 Md. at 363 , 761 A.2d at 894 . In Sangster , we discussed what type of evidence satisfies the statute.

The ²⁵⁵ defense in Sangster moved for a determination of competency, and the court ordered an evaluation to be performed at Perkins Hospital. Sangster, 312 Md. at 562-63 , 541 A.2d at 638 . Mr. Sangster was then evaluated by four psychiatrists, who determined that he was competent, and dictated then-findings in a conference note which was sent to the court. Sangster, 312 Md. at 563 , 541 A.2d at 638 .

This note was submitted at a competency hearing, in addition to the testimony of a defense witness, and the court ruled that Mr. Sangster was competent beyond a reasonable doubt. Sangster, 312 Md. at 564 , 541 A.2d at 639 . The issue in Sangster was whether the statute required the live testimony of examining physicians, in addition to the report produced by the physicians, in order for the court to rule on the