RONALD PAK ZERN, APPELLANT,
v.
STATE OF FLORIDA, APPELLEE
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The appellate court reversed a criminal conviction because the trial court failed to make an independent finding of the defendant's competency to stand trial, despite ordering psychological evaluations and holding a hearing. This failure violated the defendant's due process rights.
Yes, the trial court erred by failing to make an independent finding of competency. The court improperly relied on a stipulation and the preponderance of expert opinions without conducting its own analysis, thereby violating the defendant's due process rights.
[1] A trial court must make an independent finding of a defendant's competence or incompetence once reasonable grounds to question competency exist.
[2] Expert reports on a defendant's competency are advisory only and do not relieve the court of its duty to make an independent finding.
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Join FLexlaw to unlock all legal intelligence“At the competency hearing, the court must make its own independent finding of competence or incompetence.”
Establishes the trial court's duty to independently assess competency.
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Join FLexlaw to unlock all legal intelligenceFollowing psychological evaluations that yielded conflicting opinions on the defendant's competency, the trial court held a hearing. At the hearing, t…
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Ronald Pak Zern, Appellant, appeals from his convictions for aggravated assault, aggravated battery on a person sixty-five years of age or older, improper exhibition of a firearm, and tampering with evidence. He argues that the trial court erred in failing to make an independent finding of competence or incompetence after ordering psychological evaluations, and scheduling a competency hearing. We agree and reverse for this reason.. We find no distinct reversible error with regard to Appellant’s second issue concerning the trial court’s failure to order an additional psychological evaluation upon the request of Appellant’s counsel at a subsequent court appearance.
While the charges were pending, a psychologist evaluated Appellant, at the request of his attorney. This psychologist issued a written report recommending that the court consider Appellant incompetent to proceed. On the State’s motion, the court appointed a second psychologist to evaluate Appellant. - When the matter was discussed at a conference, Appellant personally advised the court that he was competent and did not want a second evalúa*964tion, but his. attorney did not join in this representation to the court. The court ordered the second evaluation, and the second psychologist opined that Appellant was competent to proceed.
Appellant appeared in court for a competency hearing after both expert reports were filed. At this hearing, Appellant was unruly and continued to insist on his’competence, while arguing that his "attorney was lying, setting him up, and trying to incriminate him. The State advised the court that it could hold a competency hearing without further ado but that the more typical approach when two psychologists have reached conflicting conclusions is to appoint a third psychologist to “kind of break the tie.” The court appointed a third evaluator. Appellant’s counsel advised that she would “absolutely” ask for a competency hearing after the third evaluation, and the court explained to Appellant that it would determine his competence at a hearing where the experts would be available for cross-examination.
The third psychologist opined that Appellant was competent to proceed. The parties appeared in court for the competency hearing the day after the State filed the third psychologist’s report.' At that time, the court indicated that it had not yet seen the third report. The court was advised at the hearing that the third evaluator found Appellant competent. Appellant was represented by his fourth successive assistant public defender in the case, a different attorney from the one who had appeared at the prior hearing on Appellant’s competency. Appellant’s new counsel notified the court that he had spoken with Appellant and believed him to be competent, and he asked the court “to declare [Appellant] competent based on the reports.” The State responded, “In light of [defense counsel’s] stipulation, Judge, we maintained all along that he’s competent, and the defendant himself has assured the Court that he’s competent throughout this cycle. So we would ask that we be able to move forward with the case at. this .time.” The court declared Appellant competent, and the brief hearing concluded without any comment from Appellant or testimony from the experts, even though they were present and prepared for a hearing.
A criminal defendant has a procedural due process right to the observance of procedures adequate to protect his or her right not to be tried or convicted while incompetent to stand trial. Dougherty v. State, 149 So.3d 672, 676 (Fla.2014) (quoting Drope v. Missouri, 420 U.S. 162, 172, 95 S.Ct. 896, 43 L.Ed.2d 103 (1975)). Florida Rules of Criminal Procedure 3.2Í0 through 3.212 provide the competency procedures required in this state.
According to Rule 3.210(b) and case law, once the court has reasonable grounds to question the defendant’s competency, the court has no choice but to conduct a hearing to resolve the question. Brooks v. State, 180 So.3d 1094, 1096 (Fla. 1st DCA 2015). At the competency hearing, the court must make its own independent finding of competence or incompetence. Dougherty, 149 So.3d at 677. If the parties and the court agree, the court may decide the issue based" on the experts’ reports without receiving any testimony. Id. at 677-78 (citing Fowler v. State, 255 So.2d 513, 515 (Fla.1971)). However, the court must regard the reports as advisory only. Id. (citing McCray v. State, 71 So.3d 848, 862 (Fla.2011)). Further, the court is not permitted to merely accept a stipulation of competence. Id. at 678. In fact, acceptance of a stipulation is improper even when all the experts have opined that the defendant is competent, as other evidence may indicate incompetence. Id.
*965The record in this case establishes that the trial court relied on the stipulation of defense counsel and the preponderance of the experts’ ultimate opinions to make its competency determination, without having read all the evaluations. It does not show an independent finding. Because an independent competency finding is a due-process right that cannot be waived once a reason for a competency hearing has surfaced, the trial court fundamentally erred in failing to make such a finding.1
Generally, the remedy for a trial court’s failure to conduct a proper competency hearing is a new trial, as long, as the defendant is determined on remand to be competent to stand' trial. Dougherty, 149 So.3d at 678-79. However, precedent provides that “a retroactive determination of competency is possible” when “there are a sufficient, number of expert and lay witnesses who have examined or .observed the defendant contemporaneous with trial available to offer pertinent evidence at a retrospective hearing.!’ Id. (citing Fowler, 255 So.2d at 515, and Mason v. State, 489 So.2d 734, 737 (Fla.1986)). Accordingly, we reverse and remand for a retroactive determination of competency. If the court finds that Appellant was competent at the time of trial, it must enter a nunc pro.tunc written order memorializing this finding with no change in the judgment. See Dougherty, 149 So.3d at 678 (noting the requirement of a written order); Moorer v. State, 187 So.3d 315 (Fla. 1st DCA 2016). If the trial court finds that Appellant was incompetent or that a retrospective determination is not possible in this case, it must hold a new trial, as long as Appellant is and remains competent on remand.
REVERSED and REMANDED with instructions.
WETHERELL and KELSEY, JJ., concur.
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Cited By (50 total)
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Sheheane v. State, 228 So. 3d 1178 (Fla. 1st DCA 2017)…al competence arise from due process rights. “A criminal defendant has a procedural due process right to the observance of procedures adequate to protect his or her right not to be tried or convicted while incompetent to stand trial.” Zern v. State, 191 So. 3d 962, 964 (Fla. 1st DCA 2016) (citing Dougherty v. State, 149 So. 3d 672, 676 (Fla. 2014)). These procedures are embodied in Florida Rule of Criminal Procedure 3.210(b), which provides as follows: If, at any material stage of a criminal proceeding, the…
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Moulton v. State, 230 So. 3d 934 (Fla. 2d DCA 2017)…is that the trial court relied solely on the “agreement” of defense counsel and the State that Moulton was competent—a procedure which is not legally sufficient. See Roman v. State, 163 So. 3d 749, 750-51 (Fla. 2d DCA 2015); see also Zern v. State, 191 So. 3d 962, 965 (Fla. 1st DCA 2016); S.B. v. State, 134 So. 3d 528 (Fla. 4th DCA 2014). Because we cannot presume that proper findings were made sub silencio and because the trial court did not comply with the requirements of rule 3.212 in adjudicating Moulton…
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Golloman v. State, 226 So. 3d 332 (Fla. 2d DCA 2017)…trial court ‘may decide the issue of competency on the basis of the written reports alone.’ ” Shakes, 185 So. 3d at 681 (quoting Dough [*335] erty, 149 So. 3d at 677-78). “However, the court must regard the reports as advisory only.” Zern v. State, 191 So. 3d 962, 964 (Fla. 1st DCA 2016). The trial court must make an independent determination of competency and enter a written order containing its findings. Shakes, 186 So. 3d at 681. Relying on a stipulation of counsel to determine competency “improperly abs…
Previewing 3 of 50 citing cases — full citator treatment, depth of discussion, and citing context are member features.
Join FLexlaw to unlock all legal intelligenceAuthorities Cited
- Drope v. Missouri, 420 U.S. 162 (U.S. 1975)
- Dougherty v. State, 149 So. 3d 672 (Fla. 2014)
- Fowler v. State, 255 So. 2d 513 (Fla. 1971)
- McCRAY v. State, 71 So. 3d 848 (Fla. 2011)
- Mason v. State, 489 So. 2d 734 (Fla. 1986)
- Brooks v. State, 180 So. 3d 1094 (Fla. 1st DCA 2015)
- Moorer v. State, 187 So. 3d 315 (Fla. 1st DCA 2016)
- Moore v. State, 894 So. 2d 1000 (Fla. 1st DCA 2005)
- Daniels v. State, 894 So. 2d 1000 (Fla. 1st DCA 2005)