State v. Curtis
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State v. Curtis
Opinion of the Court
The question presented in this case is whether the State or the defendant bears the burden of proving in a criminal case that the defendant is competent. The district court determined that appellant Edwin Thomas Curtis was mentally competent to proceed to trial. Following a stipulated-facts trial, the court convicted Curtis of fourth-degree criminal sexual conduct. On appeal, Curtis challenged the district court's competency determination, arguing that the court failed to place the burden of proof on the State as required by State v. Ganpat ,
FACTS
The State charged Curtis with criminal sexual conduct in the fourth degree under
Dr. Craig Stevens conducted the evaluation. Dr. Stevens had examined Curtis before and was aware that Curtis had been committed for mental health treatment in 2008, 2012, and 2013. Dr. Stevens acknowledged that Curtis suffered from a significant mental illness. But because Dr. Stevens believed that Curtis was malingering, Dr. Stevens concluded that it was not possible to determine Curtis's capacity to stand trial. Dr. Stevens opined that, because Curtis had not demonstrated his incompetence, Curtis was competent.
After receiving Dr. Stevens's report, the district court held a hearing. Dr. Stevens summarized his Rule 20.01 finding at the hearing: "Basically, I-I was unable-because of [Curtis's] poor performance, and which appeared to be purposeful, I really had no information about his competency, and I believe the assumption is unless a person exhibits incompetency, that the Court would view him as competent."
Following the hearing, the district court determined that Curtis was competent to stand trial. The court incorporated into its findings of fact Dr. Stevens's opinion that "the Court should find the Defendant to be competent as there is no evidence, based on his examination, the Defendant is incompetent." The court also referenced Dr. Stevens's conclusion that Curtis was exaggerating his symptoms. The district court's order did not cite any specific evidence that indicated Curtis had the capacity to participate in his defense, consult with counsel, or understand the proceedings. Nevertheless, citing the standard set forth by Minn. R. Crim. P. 20.01, subd. 5(f),
After the district court's competency determination, defense counsel arranged for an additional Rule 20.01 evaluation of Curtis by Dr. Gerald Henkel-Johnson. In a report dated November 11, 2015, Dr. *345Henkel-Johnson concluded that Curtis "presents with quite a mixed symptom picture." In the category of skills to assist defense, Curtis's scores on one test Dr. Henkel-Johnson administered fell below the average score for developmentally disabled defendants deemed incompetent. And on another test Dr. Henkel-Johnson administered, Curtis's scores fell in the category of clinically significant impairment in the areas of understanding, reasoning, and appreciation. Although Dr. Henkel-Johnson opined that Curtis's "deficits in concentration and communication skills to assist his attorney or otherwise adequately participate in his defense are concerning[,]" he concluded that Curtis was competent. Dr. Henkel-Johnson recommended that Curtis's counsel ask him closed-ended, rather than open-ended, questions.
Dr. Henkel-Johnson spoke with Curtis's counsel after issuing his report, and their discussion prompted Dr. Henkel-Johnson to issue an addendum to his report clarifying his opinion. In the addendum, Dr. Henkel-Johnson acknowledged that his opinion that the defense attorney should communicate with Curtis by providing him with " 'several alternatives that are listed for him, rather than asking him to generate a statement in response to an open-ended question' ... may result in compromising Mr. Curtis'[s] ability to assist in his defense, especially his ability to testify in a relevant matter." And Dr. Henkel-Johnson opined that if that were the case, "then [Curtis] indeed is not competent to stand trial."
Based on Dr. Henkel-Johnson's report and addendum, Curtis requested that the district court reconsider Curtis's competency to stand trial. The court denied Curtis's request and determined that Curtis was competent to stand trial. The court's order again incorporated the opinion of Dr. Stevens, including the doctor's conclusion that "the Court should find the Defendant to be competent as there is no evidence, based on his examination, the Defendant is incompetent." The court cited Minn. R. Crim. P. 20.01, subd. 5(f) and found "[t]hat the greater weight of the evidence indicates the Defendant is competent."
In June 2016, Dr. Henkel-Johnson testified regarding Curtis's competency to stand trial in an unrelated case and provided the opinion that Curtis was incompetent. On the basis of that testimony, counsel for Curtis asked the district court in this case to vacate its previous Rule 20.01 competency determination and issue a new order deeming Curtis incompetent to stand trial. In a July 2016 order, the district court found Curtis competent to proceed to trial and denied the motion to vacate its previous competency determination.
Following the district court's July 2016 order, Curtis waived his right to a jury trial and submitted his case to the court on stipulated facts. The court found Curtis guilty, stayed imposition of the sentence, and placed him on supervised probation. Curtis appealed, arguing the district court erroneously shifted the burden of proving incompetence to the defendant, in violation of both Minn. R. Crim. P. 20.01 and State v. Ganpat . See
*346ANALYSIS
On appeal to our court, Curtis argues that the court of appeals erred in failing to adhere to State v. Ganpat ,
I.
Curtis first contends that the court of appeals erred when it refused to follow our decision in Ganpat ,
The court of appeals did not follow Ganpat because it concluded that language in Rule 20.01 or in other decisions from our court did not assign the burden of proof to the State. Id . at 218-19. The court of appeals is bound by supreme court precedent, as it has repeatedly acknowledged. See , e.g. , State v. Final Exit Network, Inc. ,
II.
In Ganpat , the State contended that Ganpat was competent to stand trial, and we held that "[t]he [S]tate must show the defendant's competence by a fair preponderance of the evidence."
*347Medina v. California ,
The State nevertheless argues that the burden of proof to demonstrate a defendant's competency "is not on either of the parties." And the State suggests that placing the burden of proof on the State is not consistent with State v. Mills ,
In Ganpat , we said that the standard of proof in a competency hearing is a "fair preponderance of the evidence."
The State also suggests that Ganpat' s allocation of the burden of proof is not *348consistent with Minn. R. Crim. P. 20.01. We disagree.
In support of our statement that the burden of proving competency was on the State, Ganpat cited Minn. R. Crim. P. 20.01, subd. 3(6) (2009).
Where a defendant's competency is disputed, the rule provides that, in the absence of proof of the defendant's competence by a preponderance of the evidence, a court must find the defendant incompetent. Minn. R. Crim. P. 20.01, subd. 5. This directive, in effect, creates a presumption of incompetence. And by creating a presumption of incompetence, the rule necessarily requires that the State-the party claiming Curtis is competent to stand trial-must actually prove the defendant's competence to stand trial. In the absence of such proof by a preponderance of the evidence, a defendant must be found incompetent under the plain language of subdivision 5.
Based on our analysis, we reject the State's arguments that Ganpat is not controlling here. Because the court of appeals erred when it did not follow Ganpat and place the burden of proof on the State, we reverse.
III.
Having reversed the decision of the court of appeals, we next consider whether to remand to the court of appeals or to the district court. See State v. Rochefort ,
*349Like the court of appeals, the district court applied the incorrect burden of proof. Indeed, the district court in this case did the opposite of what rule 20.01 requires. Because the record did not establish that Curtis was incompetent, the district court ruled that he was competent. The rule requires the opposite: if competency is disputed, and proof of competency is absent, the court must find that the defendant is not competent. See Minn. R. Crim. P. 20.01, subd. 5.
When district courts have applied the wrong burden of proof in the past, we have remanded to the district court for further consideration because appellate courts are not usually empowered to make or modify findings of fact. Lumpkin v. N. Cent. Airlines , Inc. ,
CONCLUSION
For the foregoing reasons, we reverse the decision of the court of appeals and remand to the district court for proceedings consistent with this opinion.
Reversed and remanded.
Minnesota Rule of Criminal Procedure 20.01 addresses a defendant's competence to waive counsel, plead, be tried, or be sentenced and sets forth the circumstances under which a court must order an evaluation and the requirements for such competency examinations. Minnesota Rule of Criminal Procedure 20.02 addresses the defenses of mental illness or deficiency. Minnesota Rule of Criminal Procedure 20.04 provides that a court may order a civil commitment examination under Minn. Stat. ch. 253B (2018), simultaneously with examinations under Minn. R. Crim. P. 20.01 -.02. Only the rule 20.01 portion of the evaluation-regarding Curtis's then-current capacity to stand trial-is at issue in this case.
Minnesota Rule of Criminal Procedure 20.01 was amended in 2018. See Order Promulgating Amendments to the Minnesota Rules of Criminal Procedure, Nos. ADM10-8046, ADM10-8049, at 4 (Minn. filed June 28, 2018). What was subdivision 5(f) in Rule 20.01 when the district court made its competency determinations is now subdivision 5(c) in that rule. See
A recent survey regarding how states allocate the burden of proof in competency determinations is consistent with the Supreme Court's observation in Medina . See Steven R. Marino, Comment, Are You Sufficiently Competent to Prove Your Incompetence? An Analysis of the Paradox in the Federal Courts , 6 Seton Hall Cir. Rev. 165, 180-82 (2009) ("At best, a survey of the states illustrates a lack of uniformity.").
In Ganpat and in this case, the State is the party advocating that the defendant is competent. Accordingly, it is not necessary for us to decide whether the allocation of the burden of proof would be different if the State were the party challenging the defendant's competence.
The court of appeals also suggested that Ganpat was inconsistent with Bonga ,
We also cited Minn. R. Crim. P. 20.01, subd. 3(6) (2009) (amended Oct. 27, 2009), which used the phrase "greater weight of the evidence." Ganpat ,
The version of the rule that the district court applied in making Curtis's competency determination, Minn. R. Crim. P. 20.01, subd. 5(f) (now subd. 5(c) ), reads: "Burden of Proof and Decision. If the court finds by the greater weight of the evidence that the defendant is competent, it must enter an order finding the defendant competent. Otherwise, the court must enter an order finding the defendant incompetent." Because the final sentence remains functionally the same, the analysis in Ganpat is still sound.
See also Howard v. Marchildon ,
Reference
- Full Case Name
- STATE of Minnesota v. Edwin Thomas CURTIS
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