State v. Connor
State v. Connor
Opinion
This case returns to us following a remand by our Supreme Court. On remand, our Supreme Court has directed us to consider whether the trial court improperly determined that the defendant, Jeffrey T. Connor, was competent to represent himself at his criminal trial.
State
v.
Connor
,
The complicated and lengthy procedural history of this case previously was set forth by our Supreme Court in Connor II . "The defendant was charged with a number of crimes 2 in connection with the abduction of his former wife .... The extensive pretrial proceedings reflected repeated attempts by the trial court to ascertain the defendant's competency both to stand trial and to discharge his court-appointed counsel and represent himself. 3 ... The defendant's competency had been called into doubt due to the fact that he had suffered a debilitating stroke and exhibited signs of mental illness.... The efficacy of these proceedings was complicated by the defendant's refusal to cooperate with the medical professionals tasked with evaluating him and his intermittent unresponsiveness in court .... In reliance on the opinion of several medical professionals, the trial court, McMahon, J. , concluded that the defendant's refusal to cooperate was volitional ... and the trial court, Miano, J. , thereafter concluded that the defendant was malingering, and found him competent to stand trial....
"The defendant's case proceeded to trial before Judge Espinosa,
4
who concluded that the defendant's unresponsiveness during jury selection reflected his continued malingering ... [and] that the defendant was competent to represent himself.... Judge Espinosa therefore permitted the defendant to represent himself, but appointed his defense counsel as standby counsel .... A jury [found] the defendant [guilty] on all but one of the charges against him." (Citations omitted; footnotes added; internal quotation marks omitted.)
Connor II
, supra,
The defendant directly appealed from the judgment of conviction to our Supreme Court, claiming that Judge Espinosa improperly determined that he was competent to represent himself. See
State
v
. Connor
,
While the defendant's direct appeal to our Supreme Court was pending, however, the United States Supreme Court clarified in
Indiana
v.
Edwards
,
In light of
Edwards
, our Supreme Court exercised its supervisory authority in
Connor I
to announce the following rule: "[W]hen a trial court is presented with a mentally ill or mentally incapacitated defendant who, having been found competent to stand trial, elects to represent himself, the trial court also must ascertain whether the defendant is, in fact, competent to conduct the trial proceedings without the assistance of counsel." Id., at 527-28,
The remand proceedings began before Judge Espinosa in early 2010. Shortly thereafter, and before the proceedings concluded, Judge Espinosa was elevated to the Appellate Court. As a result, Judge Schuman assumed control of the proceedings. On May 25, 2012, Judge Schuman held an evidentiary hearing, and, on June 6, 2012, he issued a written memorandum of decision wherein he determined that the defendant had been competent to represent himself at his criminal trial.
The defendant appealed from Judge Schuman's competency determination, claiming that Judge Schuman abused his discretion in concluding that the defendant had been competent to represent himself during his criminal trial. See
State
v.
Connor
,
The state then filed a petition for certification to appeal this court's decision. After granting certification to appeal, our Supreme Court concluded that this court erred in reversing the judgment rendered by Judge Schuman and in ordering a new trial because this court had raised, sua sponte, a ground not argued by the parties, namely, the procedural inadequacy of the remand hearing.
Connor II
, supra,
We first set forth our standard of review. Our Supreme Court has not indicated what standard of
review applies to a determination that a defendant is competent to represent himself where such a determination is made after the defendant already has been found competent to stand trial. The parties argue that in these circumstances we should review the trial court's determination that the defendant had been competent to represent himself during his criminal trial for an abuse of discretion. We agree with the parties and, therefore, review the trial court's competency determination for an abuse of discretion. Cf.
Connor I
, supra,
"In determining whether there has been an abuse of discretion, every reasonable presumption should be given in favor of the correctness of the court's ruling .... Reversal is required only where an abuse of discretion is manifest or where injustice appears to have been done." (Internal quotation marks omitted.)
State
v.
Williams
,
State
v.
Kendall
,
We next review the instructions and guidance that our Supreme Court had provided in
Connor I
. Our Supreme Court explained: "[T]he issue to be decided on remand is not whether the defendant lacked the technical legal skill or knowledge to conduct the trial proceedings effectively without counsel. Indeed it appears quite clear that he did lack such skill or knowledge."
Connor I
, supra,
In determining whether the defendant was able to carry out the aforementioned basic defense tasks, our Supreme Court further explained that the trial court on remand "should consider any and all relevant information," including (1) "the extent to which the defendant's competence to represent himself may have been affected
by mental illness, by the stroke that he had suffered, and by any memory problems";
Connor I
,
In February, 2010, Judge Espinosa, as directed by our Supreme Court in its remand order in Connor I , began the proceedings to determine whether the defendant had been competent to represent himself during his criminal trial. Judge Espinosa presided over two hearings. At the first hearing, the defendant "exhibit[ed] the same behavior" that he had exhibited at trial by sitting silently in his wheelchair and being unresponsive. At the second hearing, the defendant informed Judge Espinosa that he would not participate in the remand proceedings, and he was uncooperative in assisting Judge Espinosa in determining whether she should appoint counsel for him. Before Judge Espinosa conducted further proceedings, however, she was elevated to the Appellate Court.
Following Judge Espinosa's elevation to the Appellate Court, Judge Schuman assumed responsibility for the proceedings to determine whether the defendant had been competent to represent himself during his criminal trial. At a February, 2012 hearing before Judge Schuman, the defendant again was unresponsive, and Judge Schuman appointed counsel for the defendant. Finally, on May 25, 2012, Judge Schuman conducted an evidentiary hearing on the merits of the defendant's claim. At that hearing, Judge Schuman was presented with "three categories" of evidence: (1) the trial transcripts, (2) "medical evidence," and (3) an affidavit executed by Judge Espinosa dated January 13, 2012.
On the basis of those three categories of evidence, Judge Schuman concluded that the defendant was competent to represent himself during his criminal trial.
First, with respect to the trial transcripts, Judge Schuman concluded that they revealed "the manner in which the defendant conducted the trial proceedings";
Connor I
, supra,
Judge Schuman also carefully highlighted instances during the criminal trial in which the defendant's tactics were improper or ineffective. For example, during jury selection, the defendant purported to quote the Bible and asked philosophical questions that were confusing and irrelevant. Moreover, during the state's case, the defendant inadvertently incriminated himself during his cross-examination of the state's witnesses and attempted to admit his criminal record and a police report that implicated him as the perpetrator of the crime.
Judge Schuman also found that the defendant experienced difficulty in presenting the defense's theory, asking the sole defense witness proper questions, and making an appropriate closing argument that did not refer to irrelevant and improper 5 matters. Additionally, Judge Schuman observed that the defendant generally struggled throughout the trial with comprehending legal concepts such as admissibility, prejudice, exhibits, hearsay, and circumstantial evidence.
Regarding the second category of evidence, the medical records offered by the defendant, Judge Schuman concluded that they were not probative of the defendant's ability to represent himself at his criminal trial. The medical records consisted principally of seven volumes of Department of Correction health charts relating to periods of incarceration that the defendant had served between the years of 1991 and 2010. 6 Although the charts themselves appear largely indecipherable to the layperson, 7 Judge Schuman concluded that "both before and after the criminal trial, healthcare professionals diagnosed the defendant with having various psychiatric or psychological diseases or disorders." (Emphasis added.) In its final analysis, however, the court afforded no weight to the medical records.
Last, Judge Schuman reviewed Judge Espinosa's affidavit, 8 wherein she attested to the following: (1) "The defendant appeared to be engaged in every aspect of the trial proceedings"; (2) "The defendant demonstrated an understanding of the evidence presented by the state and what was occurring during each distinct phase of the trial"; (3) "At times, the defendant made statements concerning irrelevant matters ... [that] were a calculated attempt on the part of the defendant to elicit sympathy and, thus, persuade the court or the jury to find in his favor"; (4) "[T]he defendant demonstrated the ability to communicate appropriately and coherently with the court"; (5) "[The defendant] demonstrated the ability to address the jury in an appropriate and coherent manner"; (6) "At no point during the proceedings did the defendant exhibit the effects of a mental incapacity or impairment such that I questioned whether he possessed the mental ability to conduct the trial proceedings without the assistance of counsel"; (7) "[T]he defendant carried out the basic tasks needed to present his own defense in a manner similar to other self-represented defendants who appeared before me"; and (8) "Although the defendant did not conduct the trial proceedings with the technical skill or knowledge of an attorney, he demonstrated that he was sufficiently capable of carrying out the basic tasks needed to present his own defense without the assistance of counsel."
Judge Schuman afforded "considerable deference" to Judge Espinosa's affidavit. Indeed, Judge Schuman determined that the defendant had been competent to represent himself during his criminal trial "based largely on Judge Espinosa's firsthand assessment of the defendant's performance" during that time. Judge Schuman reasoned that "the transcript is no substitute for the opportunity, which only Judge Espinosa had, to observe whether the defendant had a reasonable understanding of how the trial process worked, to assess whether his occasional unorthodoxy represented fumbling ineptitude or wilful strategy, and to measure just how well the defendant interacted with the jury."
Accordingly, in determining whether the defendant had possessed the "ability to carry out the basic tasks
needed to present his own defense without the help of counsel"; (internal quotation marks omitted)
Connor I
, supra,
First, it was reasonable for Judge Schuman to conclude that the trial transcripts revealed that the defendant was able to carry out basic defense tasks. Indeed, our review of the trial transcripts discloses that the defendant was able to (1) ask venirepersons questions that potentially could have revealed whether they held a bias toward the defendant and the crimes with which he was charged, 9 (2) elicit, during cross-examination, an inconsistency between the complainant's testimony and her statement to police regarding the location where she claimed she was abducted, (3) elicit from an eyewitness during cross-examination the fact that the witness told law enforcement that he was unsure of the perpetrator's race, (4) elicit an inconsistency between the physical description of the perpetrator that an eyewitness provided to law enforcement and the defendant's actual physical appearance, (5) present and argue a motion for judgment of acquittal, and (6) challenge the state's case during his closing argument by highlighting the lack of physical evidence and the inconsistencies in the testimony of the state's witnesses.
Second, it was also reasonable for Judge Schuman to have concluded that the defendant's medical records were not helpful in determining whether the defendant could have represented himself at his criminal trial. Judge Schuman noted that none of the medical personnel who made the records was present during the 2006 criminal trial, and defense counsel acknowledged at the remand hearing that no medical records that were made at the time of the criminal trial.
Moreover, even assuming that the records may have suggested that the defendant was suffering from a mental incapacity at the time of his criminal trial, the trial transcripts revealed that he "may have been feigning mental problems."
Connor I
, supra,
Ultimately, and perhaps most significantly, evidence that the defendant was suffering from a mental incapacity at the time of his criminal trial, without more, is insufficient to prove that the defendant was not competent to represent himself. See
Connor I
, supra,
Third, in light of the fact that our Supreme Court in
Connor I
contemplated expressly that Judge Espinosa would conduct the remand proceedings;
Connor I
, supra,
"[T]he trial judge is in a particularly advantageous position to observe a defendant's conduct during a trial and has a unique opportunity to assess a defendant's competency. A trial court's opinion, therefore, of the competency of a defendant is highly significant." (Internal quotation marks omitted.) Id., at 523-24,
In the present case, Judge Schuman reasonably relied on the observations and findings of Judge Espinosa, who, as the presiding judge at the defendant's criminal trial, had the unique opportunity to assess the defendant's competency. Her affidavit certainly indicates that the defendant was sufficiently capable of carrying out the basic tasks needed to present his own defense without the assistance of counsel. In particular, Judge Schuman credited Judge Espinosa's observations "that the defendant appeared to be engaged in and knowledgeable about every aspect of the trial, that the defendant demonstrated the ability to address the jury in an appropriate and coherent manner, and that the defendant's occasional reference to irrelevant matters appeared to be a calculated attempt to elicit sympathy."
In the end, it is not lost upon us that Judge Schuman was "troubled" by the defendant's lack of effectiveness
11
at certain points during the trial. Our Supreme Court stressed in
Connor I
, however, that "the issue to be decided on remand is
not
whether the defendant lacked the technical legal skill or knowledge to conduct the [criminal] trial proceedings effectively without counsel." (Emphasis added.)
Connor I
, supra,
In light of the foregoing, the trial court reasonably determined, on the basis of the evidence presented to it during the remand proceedings, that the defendant had been able to carry out the basic tasks needed to present his own defense without the help of counsel during his criminal trial. Accordingly, we conclude that the trial court did not abuse its discretion in determining that the defendant had been competent to represent himself at his criminal trial.
The judgment is affirmed.
In this opinion the other judges concurred.
Throughout this opinion, we will refer to the defendant's direct appeal to our Supreme Court,
State
v.
Connor
,
"The charges included kidnapping in the first degree, robbery in the third degree, robbery involving an occupied motor vehicle, larceny in the third degree, and stalking in the first degree."
Connor II
, supra,
As discussed in more detail subsequently in this opinion, at the time of the defendant's criminal trial, our law dictated that "any criminal defendant who ha[d] been found competent to stand trial, ipso facto, [wa]s competent to waive the right to counsel as a matter of federal constitutional law."
State
v.
Day
,
For clarity, we refer to Justice Espinosa as Judge Espinosa in this opinion because, as the Supreme Court noted, this appeal involves matters that occurred before Justice Espinosa's appointment to the Supreme Court.
Connor II
, supra,
For instance, Judge Schuman noted that the transcript revealed that Judge Espinosa had "stopped [the defendant] from attempting to display his legs to the jury and cracking his arm for the jur[ors] [in] what [Judge Espinosa] believe[d] [was] an attempt to incur sympathy from them." Additionally, the defendant mentioned repeatedly that he had suffered a stroke.
The defendant also offered the findings from a 2009 competency exam that he underwent in connection with criminal charges that are unrelated to this appeal. Considering that the 2009 exam occurred nearly three years after the trial that is the subject of this appeal, Judge Schuman reasonably could have afforded little weight to the findings therein. The findings of that exam, nevertheless, indicated that the defendant was competent to stand trial in 2009, notwithstanding his refusal to cooperate.
At the remand hearing, the defendant did not call any medical experts to opine on his health and how it may have affected his ability to represent himself in 2006. Defense counsel also informed the court at the remand hearing that he was unsuccessful in retaining a mental health expert who could review the trial transcripts and offer an opinion as to the defendant's ability to represent himself.
"The defendant never sought to have Judge Espinosa testify, nor did he argue that her affidavit was lacking in any way."
Connor II
, supra,
The defendant posed the following questions to some venirepersons: (1) "[S]o you went through a divorce ... [was] it a good divorce or a bad one?"; (2) "Violence in families. Like domestic disputes ... There's none in your family?"; and (3) "If [someone] broke ... the law one time that doesn't necessarily mean he broke it a second time?"
Defense counsel acknowledged at the remand hearing that the case was "remanded specifically to Judge Espinosa for a finding." The defendant, however, never objected to Judge Schuman conducting the hearing. Again, his precise claim on appeal is solely that based on the three categories of evidence presented at the remand hearing, Judge Schuman could not reasonably have concluded that he was competent to represent himself.
Notwithstanding this concern, Judge Schuman did note that the defendant was effective in obtaining an acquittal on one of the charges, that it was "not clear what a competent attorney would have done differently" with respect to the other charges that "were [not] readily defensible," and that "the defendant's attempts to inject irrelevant matters into trial may have been calculated to gain sympathy."
Reference
- Full Case Name
- STATE of Connecticut v. Jeffrey T. CONNOR
- Cited By
- 3 cases
- Status
- Published