State v. Gutierrez

2015 NMCA 082, 8 N.M. Ct. App. 351
New Mexico Court of Appeals·Decided August 4, 2015·No. No. 35,325; Docket No. 32,567·Published·Cited by 1 cases

Opinion

OPINION

VIGIL, Judge.

{1} The district court judge in this case, on her own motion and without notice to Defendant or an opportunity to present evidence or argument on the question, reversed the prior determination of another district court judge that Defendant was not competent to stand trial, that it was unlikely he would attain competence in the future, and that he was dangerous. We reverse and remand for civil commitment proceedings to be commenced.1

BACKGROUND

{2} Defendant was indicted in 2005 on twenty-three charges related to an incident in Las Cruces, wherein he and two other men trapped four adults and two children in a trailer and threatened them with firearms for several hours. Specifically, Defendant was charged with six counts of attempted first-degree murder, NMSA 1978, § 30-2-1(A)(2) (1994) and NMSA 1978, § 30-28-1 (1963); one count of conspiracy to commit first-degree murder, NMSA 1978, § 30-28-2 (1979) and § 30-2-l(A)(2); six counts of kidnapping with afirearm enhancement,NMSA 1978, § 30-4-1 (2003) and NMSA 1978, § 31-18-16 (1993); four counts of aggravated assault with a firearm enhancement, NMSA 1978, § 30-3-2(A) (1963) and § 31-18-16; four counts of aggravated battery, NMSA 1978, § 30-3-5(A) and (C) (1969); and two counts of intentional child abuse,NMSA 1978, § 30-6-l(D) (2009).

{3} After over two years of continuances, including those due to repeated changes in defense counsel, Defendant’s attorney informed the district court that his client was unable to understand previous plea offers. A preliminary evaluation performed by Dr. Janette Castillo found that Defendant had an intelligence quotient (IQ) of sixty-two. As a result, defense counsel requested a hearing to determine whether Defendant was competent to accept a plea or to stand trial.

{4} Defendant then underwent a second evaluation at the State’s request. Judge Douglas Driggers, who was then presiding over the case, held a determination of competency hearing in accordance with

NMSA 1978, § 31-9-1.1 (1993) (1.1 hearing) on September 15, 2008, to determine whether Defendant was competent to stand trial. Judge Driggers concluded that Defendant was incompetent and dangerous, and ordered him committed to the New Mexico Behavioral Health Institute (NMBHI) in Las Vegas for treatment to attain competency, in accordance with NMSA 1978, § 31-9-1.2 (1999).

{5} In February 2009, Judge Driggers held a ninety-day review in accordance with NMSA 1978, § 31-9-1.3 (1999) (1.3 hearing) to assess Defendant’s progress toward attaining competency and to review the reports from the NMBHI. The purpose of the hearing was to determine whether Defendant remained incompetent, whether he continued to be a danger to himself or others, and whether he could be treated to attain competency within nine months of being found incompetent. Id. Dr. Marianne Holman, Defendant’s treatment supervisor at the NMBHI, submitted a forensic report detailing her conclusions that Defendant was incompetent, dangerous, and unlikely to benefit from any further inpatient treatment due to the “severe and chronic” nature of his cognitive impairments. Based on her report and the hearing at which both parties stipulated to all three facts, Judge Driggers found Defendant was still incompetent, dangerous, and that he did not have a substantial probability of becoming competent. Dr. Holman had also provisionally diagnosed Defendant with mental retardation, and Judge Driggers granted Defendant’s motion for a hearing to determine whether Defendant had mental retardation under NMSA 1978, § 31-9-1.6 (1999) (1.6 hearing).

{6} D efendant’ s case was reassigned to Judge Lisa Schultz on April 8, 2009. The State requested an independent evaluation of Defendant for mental retardation, which Judge Schultz granted in May 2009, and the hearing on whether Defendant had mental retardation occurred in November 2009. The expert testimony and argument at the hearing explicitly and exclusively centered on one issue: whether Defendant was a person with “mental retardation” as defined in Section 31-9-1.6(E).

{7} Despite the limited focus of the 1.6 hearing, Judge Schultz on her own motion, and without notice to the parties, took up the issue of competency once again and found that Defendant was competent to stand trial “beyond a reasonable doubt.” Defendant moved for reconsideration, pointing out that the issue of competency had already been determined and stipulated to by the parties and that no competency evidence was presented at the hearing. Furthermore, Defendant emphasized, he had no notice or an opportunity to be heard on Defendant’s competency, in violation of his right to due process. Judge Schultz denied the motion, and the case was placed on the docket for a jury trial, which occurred in May 2012. Defendant was found guilty of all twenty-three counts charged and sentenced to a prison term of 193 years.

{8} In her denial of Defendant’s motion to reconsider, Judge Schultz stated that it would “shock the conscience” if she did not revisit the earlier competency ruling and limited herself to considering only whether Defendant had mental retardation. In her opinion, Defendant was “clearly competent.”

DISCUSSION

{9} Both federal and New Mexico constitutional law have “long recognized that it is a violation of due process to prosecute a defendant who is incompetent to stand trial.” State v. Rotherham, 1996-NMSC-048, ¶ 13, 122 N.M. 246, 923 P.2d 1131. To be considered competent, a defendant must (1) understand the nature and significance of the proceedings, (2) have a factual understanding of the charges, and (3) be able to assist in his own defense. State v. Flores, 2005-NMCA-135, ¶ 16, 138 N.M. 636, 124 P.3d 1175.

{10} Competency determinations such as this one implicate procedural due process rights: the United States Supreme Court has held specifically that a state court violates a defendant’s due process rights when it fails to inquire into competency after the defendant presents enough evidence to entitle him to a hearing on the issue. Pate v. Robinson, 383 U.S. 375, 385 (1966). Such a hearing cannot be dispensed with based on factors like the defendant’s demeanor before the court but is, rather, a procedural right. United States v. Cornejo-Sandoval, 564 F.3d 1225, 1233 (10th Cir. 2009); Pate, 383 U.S. at 385. As such, it requires adequate notice, an adversarial hearing before an independent decision-maker, and a written statement from the fact finder clarifying the evidence relied upon and reasons for the decision. Vitek v. Jones, 445 U.S. 480, 494-95 (1980).

{11} Under New Mexico’s statutory scheme, when a defendant’s competence is at issue, he must be evaluated by a qualified professional, such as a psychologist or psychiatrist, whom the district court recognizes as an expert. Section 31-9-1.1. If, following a hearing and receipt of a written report from the expert evaluator, the district court determines that a defendant- is not competent but is dangerous, the court may commit the defendant to a secure facility for treatment to attain competency. Section 31-9-1.2(B).

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State v. Gutierrez, 2015 NMCA 082, 8 N.M. Ct. App. 351 (N.M. Ct. App. 2015).

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