Luther K. Barnett, Jr. v. Steve Hargett

174 F.3d 1128, 1999 Colo. J. C.A.R. 2601, 1999 U.S. App. LEXIS 7308, 1999 CJ C.A.R. 2601
Court of Appeals for the Tenth Circuit·Decided April 16, 1999·No. 98-6244·Published·Cited by 272 cases

Opinions

PAUL KELLY, Jr., Circuit Judge.

Respondent appeals from the district court’s grant of a conditional writ of habe-as corpus, 28 U.S.C. § 2254. The district court determined that Petitioner had raised a procedural and substantive competency claim in his federal petition, that appellate counsel was ineffective for not pursuing such claims when Petitioner’s direct appeal had been remanded to the state district court, and that the record before the state district court was insufficient to support its finding that a competency hearing had occurred and a finding of competency had been entered. Without a sufficient record to determine whether a competency hearing had been held and what standard had been applied, the district court granted a conditional writ, allowing the State ninety days to conduct a feasibility determination hearing and, if a retrospective competency determination were feasible, another ninety days to conduct such a hearing or set the case for a new trial. The failure to make the requisite determination would result in the Petitioner’s release from custody.

On appeal, Respondent contends that the district court erred in (1) granting relief on an issue not raised by the Petitioner in his federal petition, and (2) failing to afford the state district court’s determinations about a competency hearing a presumption of correctness, see 28 U.S.C. § 2254(e)(1). Our jurisdiction arises under 28 U.S.C. § 1291. The district court did not hold an evidentiary hearing, so our review of its factual findings and legal conclusions is de novo. See Miller v. Champion, 161 F.3d 1249, 1254 (10th Cir.1998). We affirm.

Background

We discuss the facts briefly as they relate to the State’s appeal. In a two-stage jury trial, Petitioner was convicted of assault and battery with intent to kill after former conviction of two or more felonies and sentenced upon the jury’s recommendation to one hundred years imprisonment. See ApltApp. at 98. The jury trial and sentencing were not continuous; apparently, Petitioner achieved competency for his trial in March 1989, was determined to be incompetent thereafter, see id. at 93-96, and was not sentenced until August 1989 when he regained competency. An appeal was taken and the judgment and sentence were affirmed. See id. at 99.

The treatment records from the state hospital indicate a discharge diagnosis pri- or to trial of organic delusional syndrome and seizure disorder. See id. at 96. The competency restoration effort for the trial confirmed the presence of bone defects relating to a head injury. Id. The psychiatric evaluation shortly after trial indicates that Petitioner was over-sedated, delusional and not oriented-he could not walk without assistance and was incapable of self care. See id. at 93-95.

[1132]*1132The federal petition contains a claim that Petitioner’s appellate counsel was ineffective for failing to file a petition for rehearing in his direct appeal, and that this ineffective assistance rendered the appellate proceeding unreliable. See id. at 8. Petitioner’s theory mirrors that unsuccessfully asserted in state post-conviction proceedings. Petitioner maintains that he had proper grounds for a rehearing petition based upon the lack of a record order memorializing his competency hearing, and that a new trial is necessary because a post-examination competency hearing is not feasible. See id. at 28-32, 67-83. He also contended that he was denied the right to counsel because his appellate indigent defender had resigned during the pendency of his appeal and no counsel was available to represent him during the appellate process and file a petition for rehearing. See id. at 29 (citing Evitts v. Lucey, 469 U.S. 387, 105 S.Ct. 830, 83 L.Ed.2d 821 (1985)) & 67. Both the state district court and the Oklahoma Court of Criminal Appeals rejected the ineffective assistance claim on the merits. See id. at 35-42.

This is not a case where counsel failed to pursue a competency determination. See Williamson v. Ward, 110 F.3d 1508, 1519 (10th Cir.1997). Whether a competency hearing had been held before trial was squarely at issue in Petitioner’s direct appeal. See Aplt.App. at 108-09. There, appellate counsel argued that Petitioner should receive a new trial because, although the record reflected that an application for a post-examination' competency hearing was filed and a hearing was set, nothing in the record indicated that it was actually held. See id. The Oklahoma Court of Criminal Appeals noted that (1) the record indicated that Petitioner was determined to be incompetent, but capable of achieving competency, and (2) the State had filed an application for a hearing based upon a letter from a forensic psychologist advising the state district court that Petitioner had achieved competency. See id. at 89. It further noted that trial court granted the request for a hearing and set the hearing. See id. Finding the record insufficient to determine whether the hearing actually was held, however, the Oklahoma Court of Criminal Appeals made a limited remand of the ease to the state district court to enter findings and conclusions, including whether Petitioner “was afforded an opportunity to present evidence concerning his competency and argue as to inferences therefrom.” Id. at 90.

By that time, it appears that the lawyer handling Petitioner’s appeal, a deputy appellate indigent defender, was no longer with the Oklahoma Indigent Defense System. Petitioner contends that he learned of this based upon a March 19, 1997 letter to another inmate informing him that the deputy appellate indigent defender had resigned. See ApltApp. 206, 213. Nothing in the record before us indicates that Petitioner was represented during the remand proceedings; indeed, it appears that Petitioner did not know of the findings and conclusions entered by the trial court on remand until three years later. See id. at 247.

In those remand proceedings, the state district court found that in fact a competency hearing had been held on the date set and that the trial judge had determined that Petitioner was competent and ordered the trial resumed. See id. at 237. The state district court further found that Petitioner “was present with counsel and was afforded an opportunity to present evidence concerning his competency and argue as to inferences therefrom.” Id. The original trial judge had no personal recollection of the event and only an unsigned minute order was located in another file in the district attorney’s office. The state district court relied upon several sources for its findings. A report from a forensic psychologist determining Petitioner was competent was submitted two weeks prior to the scheduled hearing, see id. at 235, although that report is not part of the appendix on appeal. ■ An affidavit of the prosecutor indicated that the hearing was held and that defense counsel in con[1133]

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Luther K. Barnett, Jr. v. Steve Hargett, 174 F.3d 1128, 1999 Colo. J. C.A.R. 2601, 1999 U.S. App. LEXIS 7308, 1999 CJ C.A.R. 2601 (10th Cir. 1999).

174 F.3d 1128 (Luther K. Barnett, Jr. v. Steve Hargett) — published by Counsel Stack Legal Research, free access to 12M+ legal documents.

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