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Pernell FORD
Robbery
Next day
ALABAMA (impending execution)
If death-row inmate Pernell Ford is put to death
as scheduled at 12:01 a.m. Friday for the 1983 stabbing deaths of a
Jacksonville woman and daughter, Wayne Griffith plans to be there
watching.
The victims were his mother and sister, and he said the
execution is a fitting and overdue end for Ford, whose former
defense attorney contends he is too mentally ill to be executed. But
Griffith doesn't buy it. He describes Ford as "crazy like a fox."
Witnessing the execution is something Griffith,
60, says he has to do to carry out a personal vow, made when he
accidentally saw crime-scene photographs of his mother's and
sister's bodies during Ford's 1984 trial. He can still recall the
bloody images vividly. "I made a promise to myself right there, that
I'm going to be there, I'm going to see him suffer," Griffith said.
"You have to forgive me -- I want to see him suffer a little. I made
myself a promise that if I was on this earth I would see it."
Ford, now 33, gave up appealing his conviction
and death sentence last year and dismissed his attorney, LaJuana
Davis. The U.S. District Court in Birmingham found him competent to
make the decision, but Miss Davis contends schizophrenia and severe
depression have led Ford to quit fighting prematurely.
The federal
court gave her permission to appeal its competency ruling to the
11th U.S. Circuit Court of Appeals in Atlanta, despite Ford having
fired her. The motion was filed Tuesday, but the 11th Circuit had
not ruled on it as of late Wednesday, spokeswoman Joyce Pope said.
Miss Davis cannot make any other appeals on
Ford's behalf without his permission. She went to Holman Prison near
Atmore Wednesday to meet with her former client and was not
immediately available for comment. Ford's family can ask Gov. Don
Siegelman for clemency, but that is rarely granted.
Griffith, a golf pro in Gadsden, was present at
Ford's 1984 trial and has followed the appeals process closely. He
said he has no doubt that the convicted killer knew what he was
doing when he entered the home of his disabled mother, 74-year-old
Willie "Bill" Griffith, and sister, Linda Gail Griffith, 42, to rob
them.
Prosecutors said Ford beat and stabbed Gail Griffith when she
surprised him after he entered an unlocked side door, then stabbed
her mother to stop her screaming. He was arrested the next day in
Illinois, driving Gail Griffith's car and wearing blood-spattered
clothes. "It was a very vicious attack on them, my mother being an
invalid," Griffith said. "He could have walked out the door but he
chose not to walk out the door."
Griffith's mother, a widow, was retired from the
Jacksonville city school system, where she was an elementary school
dietician for many years. Gail Griffith had worked as one of several
secretaries to German rocket scientist Wernher Von Braun, who led
the Saturn team at Redstone Arsenal, for years, her brother said.
But when their father died and their arthritic mother underwent knee
replacement surgery, Gail moved back to Jacksonville to take care of
her and took a job at the Social Security Administration in Anniston,
Griffith said. Both women were amateur athletes who delighted in
following Jacksonville State University and local high school
football and basketball, he said.
PernellFord, Petitioner-appellant, v.
Michael W. Haley, Commissioner, Alabama Department of
Corrections,
respondent-appellee
IN THE UNITED STATES COURT OF
APPEALS FOR THE ELEVENTH CIRCUIT
Nov. 8, 1999
Appeal from the United States
District Court for the Northern District of Alabama
D. C. Docket No. 95-B-3020-S
Before ANDERSON, Chief Judge,
DUBINA and HULL, Circuit Judges.
HULL, Circuit Judge:
Petitioner
PernellFord ("Ford")
is an Alabama death row inmate who has filed
recurrent requests to dismiss his 2254
habeas petition, discharge his counsel, and
be executed. Ford
permitted his counsel, Ms. LaJuana Davis
("Davis"), to file and litigate his habeas
petition for two years. However, in 1997,
Ford began his
quest to dismiss his petition and be
executed. On March 31, 1999, the district
court found Ford
was mentally competent to forego further
collateral review and granted
Ford's pro se
requests to dismiss his habeas petition and
Davis as his counsel. Thereafter, Davis, as
Ford's former
counsel, appealed the district court's order.
In Ford v. Haley,
179 F.3d 1342 (11th Cir. 1999), we granted a
stay of Ford's
execution set for July 9, 1999, and held
that Davis appeared to retain standing to
the limited extent necessary to appeal the
mental competency rulings in the district
court's order.1
We expedited briefing and oral argument in
this appeal.
Accordingly, the main issue we must address
now is whether the district court erred in
finding Ford
competent to forgo further collateral review
of his conviction and death sentence. We
begin our analysis by reviewing the factual
history of the state and federal court
proceedings wherein Ford
repeatedly has been examined by doctors and
found competent. We next outline why we
conclude that the district court's
competency findings are supported by
substantial evidence and that the district
court did not clearly err in those
competency findings. Lastly, because the
merits of the competency issue have now been
considered on appeal, we explain why Davis
lacks standing to pursue this habeas
petition further.
I. STATE
TRIAL
In 1984,
PernellFord was sentenced
to death in Alabama state court for
murdering Willie C. Griffith and her
daughter Linda Gail Griffith during the
course of burglarizing their home.
Ford admits that he
killed the two women, who died of multiple
stab wounds to the head, neck, and trunk.
Additionally, the trial evidence that
Ford committed
these capital crimes was overwhelming. This
evidence is detailed in the opinions of the
Alabama appellate courts affirming
Ford's conviction
and sentence. See Ford
v. State, 515 So. 2d 34 (Ala. Crim. App.
1986), aff'd, Ex parte
Ford, 515 So. 2d 48 (Ala. 1987).
During the
guilt phase of his trial,
Ford waived counsel and conducted his
own defense. Prior to permitting
Ford to proceed pro
se, the trial court conducted an extensive
colloquy with Ford
in which the court explained the rights that
Ford would be
relinquishing by representing himself at
trial. See Ford v.
State, 515 So. 2d at 37-39.2
Three mental health professionals testified
regarding Ford's
competence to waive counsel. Dr. Robert G.
Summerlin, a psychologist hired at the
request of the defense team, testified that
Ford had an I.Q. of
80 and was competent to stand trial. Dr.
Summerlin stated that Ford
had the capacity to understand everything
the trial judge explained to him, but was
concerned that Ford
may have made up his mind to proceed pro se
and may not have been listening to the judge.
Dr. Summerlin gave his opinion that
Ford had a
personality disorder with some indication of
an "emerging psychosis." Although Dr.
Summerlin was seriously concerned about
Ford's mental
ability to waive his right to counsel, Dr.
Summerlin acknowledged that his doubts could
be affected by the possibility of
Ford's "malingering"
or "faking bad."
Dr.
Wallace W. Wilkerson, a psychiatrist whom
the trial court selected, testified that in
his opinion Ford
was "far more intelligent" than an I.Q. of
80 would indicate, and estimated
Ford's I.Q. to be
closer to 110. Dr. Wilkerson found no
evidence of "emerging psychosis" and stated
that Ford was a
sociopath, one who believes the law does not
apply to him. He told the court that
Ford "knows the
system" and is "perfectly capable of knowing
what to do to beat the system or confuse the
system." In Dr. Wilkerson's opinion,
Ford had a
preplanned idea as to what he was going to
do-disrupt the proceedings of this Court,
feigning mental illness. Dr. Wilkerson
concluded that Ford
was competent to stand trial and competent
to waive his right to an attorney. The third
expert, Dr. Harry A. McClaren, chief
psychologist at the Taylor Hardin Secure
Medical Facility, also testified that
Ford had an anti-social
personality disorder, was competent to stand
trial, and was competent to make the choice
to dismiss his legal counsel.
The state
trial court found that
Ford was competent to stand trial and
waive his counsel, but required
Ford's three
appointed attorneys to stand by in the
courtroom throughout the trial and to be
available to consult with
Ford or take over should
Ford change his
mind about proceeding pro se. Standby
counsel did not sit at
Ford's table but remained in the
courtroom. The trial court did not on its
own require counsel to sit at
Ford's table.
However, the trial court repeatedly reminded
Ford that standby
counsel was available to him. During the
trial, Ford
actually consulted with standby counsel a
number of times. During the guilt phase of
the trial, Ford,
proceeding pro se, made no opening, pressed
no objections or motions, nor did he present
a defense. He tendered no requests to charge
and did not object to the trial court's
charge. Ford did
make a closing argument during the guilt
phase.
During the
penalty phase of the trial, however,
Ford allowed his
standby attorneys to represent him. His
counsel introduced various medical and
psychological records of
Ford and made a closing argument
during the penalty phase. The jury
recommended the death sentence. At the final
sentencing before the trial judge,
Ford proceeded pro
se with standby counsel in the courtroom.
Thereafter, the trial court sentenced
Ford to death.
II.
STATE DIRECT APPEAL
On direct
appeal, counsel represented
Ford and argued,
inter alia, ineffective assistance of
counsel at trial because: (1) there should
be no right to waive counsel in a criminal
case; (2) Ford was
incompetent to waive his right to an
attorney; and (3) his standby counsel did
not sit at the defense table with him.3
The Alabama appellate courts upheld the
trial court's finding that
Ford was competent to waive his trial
counsel and conduct his own defense. Ex
parte Ford, 515 So.
2d 48 (Ala. 1987), aff'g,
Ford v. State, 515 So. 2d 34 (Ala.
Crim. App. 1986). The Alabama Supreme Court
and the Alabama Court of Criminal Appeals
affirmed the convictions and death sentence.
Ex parte Ford, 515
So. 2d 48 (Ala. 1987), aff'g,
Ford v. State, 515
So. 2d 34 (Ala. Crim. App. 1986). The United
States Supreme Court denied
Ford's petition for
a writ of certiorari. Ford
v. Alabama, 484 U.S. 1079 (1988).
The
Alabama Court of Criminal Appeals ("Appeals
Court") concluded that "[t]he record in this
case leaves no doubt that the defendant was
free of a mental disorder which would so
impair his will as to render his waiver
decision involuntary." 515 So. 2d at 42.
Specifically, the Appeals Court noted that
all three experts unequivocally stated that
Ford was competent
to stand trial. Two experts were equally
positive in their diagnoses that
Ford was free of
mental disease and competent to waive
counsel. Even Dr. Summerlin, the one expert
expressing some doubt about
Ford's waiving
counsel, was unwilling to characterize
Ford's condition as
anything more than indicative of "emerging
psychosis" and acknowledged that his
findings could have been colored by
Ford's "faking bad."
Given the
tentativeness of Dr. Summerlin's conclusions,
as well as Dr. Wilkerson's testimony that
Ford knew how to "beat"
or "confuse" the system, the Appeals Court
held that the trial court was warranted in
concluding that Ford
did not suffer from any mental disease which
impaired his waiver of counsel. The Appeals
Court also upheld the trial court's finding
that Ford was
intelligent enough to understand the
consequences of his decision, especially in
light of other testimony that
Ford's I.Q. might
be as high as 110. Id. In sum, the Appeals
Court concluded that the psychological
evidence, combined with the trial court's
thorough colloquy with
Ford as well as his responses, fully
supported the trial court's finding that
Ford was competent
to waive counsel. Id. at 43. The Appeals
Court also held that Ford
had no constitutional right to have standby
counsel sit at the defense table with him,
and affirmed Ford's
conviction and death sentence. Id.4
The
Alabama Supreme Court affirmed the Appeals
Court's decision. Like the Appeals Court,
the Alabama Supreme Court relied on the
United States Supreme Court's ruling in
Faretta v. California, 422 U.S. 806 (1975),
which recognized that a criminal defendant
could waive counsel so long as the accused
did so "knowingly and intelligently." 422
U.S. at 835 (citing Johnson v. Zerbst, 304
U.S. 458, 464-65 (1938)). Further, the
Alabama Supreme Court noted that Faretta
requires that, although the defendant need
not have the skill and experience of a
lawyer in order to choose self-representation,
"he should be made aware of the dangers and
disadvantages of self-representation, so
that the record will establish that 'he
knows what he is doing and his choice is
made with eyes open.'" 515 So. 2d at 50 (quoting
Faretta, 422 U.S. at 835 (quoting Adams v.
United States ex rel. McCann, 317 U.S. 269,
279 (1942))).
The
Alabama Supreme Court observed that the
trial court discussed Ford's
rights and discussed each phase of the trial
in detail. The trial court explained the
advantages of having an attorney and how
having an attorney could make a difference
in the outcome of trial. The trial court
explicitly recommended to
Ford that he not proceed by
representing himself and that
Ford's representing
himself would be foolhardy in the trial
court's opinion. The Alabama Supreme Court
concluded "that the trial court carefully
and completely explained the possible
ramifications of representing oneself in a
criminal proceeding in order that
Ford be able to
make a knowing, intelligent decision." Ex
parte Ford, 515 So.
2d at 50.
Next, the
Alabama Supreme Court examined whether
Ford was competent
to make the decision to waive counsel. The
Court summarized how two of the three mental
health experts testified that
Ford was competent
to decide to discharge his attorneys, while
the third expert had questions about that
competency but would not commit one way or
the other. Id. at 50-51. Based on the expert
testimony, the Alabama Supreme Court
affirmed the trial court and the Appeals
Court's decisions, and held that they "did
not err in ruling that
Ford was competent to make the
decision to waive his right to counsel." Id.
at 51. The Alabama Supreme Court concluded
that it was not error for appointed counsel
to stand by within the courtroom but not sit
at Ford's table.
III.
STATE HABEAS PETITION
On
September 23, 1988, Ford's
counsel filed his state "Petition for Relief
from Conviction or Sentence."
Ford's state habeas
petition asserted fourteen errors, including
issues related to Ford's
mental competency to waive trial counsel.5
In ruling on Ford's
petition, the state habeas court noted that
Ford, "on-again,
off-again," filed in that court requests or
motions to forego further appeals. However,
the court declined to grant
Ford's requests and
proceeded to address the merits of
Ford's habeas
petition.
On March
1, 1991, the state habeas court found that
Ford was competent
to stand trial and to waive counsel at trial.
The habeas court observed that the trial
court specifically found that there was no
indication that Ford
was incompetent at any point in the
proceedings. State v. Ford,
Case CC 84-08 (Ala. Cir. Ct. Mar. 1, 1991),
aff'd, 630 So. 2d 111 (Ala. Crim. App.
1991), aff'd, 630 So. 2d 113 (Ala. 1993),
cert. denied, 511 U.S. 1078 (1994). Prior to
the state habeas hearing,
Ford sought the appointment of a
specifically named expert psychologist to
assist him. The state habeas court declined
to appoint the individual named in
Ford's request but
appointed Dr. Robert Summerlin, the
psychologist who assisted
Ford at trial and was already
familiar with his mental condition. The
state habeas court held that in post-conviction
proceedings Ford
was not entitled to the appointment of an
expert of his own choosing.
The state
habeas court reviewed the Appeals Court's
findings which were made on direct review.
Specifically, the state habeas court
examined the Appeals Court's treatment of
the extensive colloquy the trial judge held
with Ford, see
Ford v. State, 515
So. 2d at 37-39, along with its treatment of
the testimony of the three experts, see id.
at 39-40. The state habeas court found that
the Appeals Court's discussion was an
accurate rendition of the trial record, and
that nothing was presented at
Ford's habeas
hearing to call any of the findings into
question. The state habeas court denied
Ford's petition,
finding him competent, as follows:
Two mental
health professionals, Wallace Wilkerson,
M.D., a psychiatrist who examined Mr.
Ford both in 1984
and 1989, and Wilbern Rivenbark, Ph.D.,
testified that, in their opinions, Mr.
Ford was competent
to waive counsel at trial. At most, Mr.
Ford was found to
suffer from an anti-social personality
disorder. In their opinion, and the Court
finds, Mr. Ford
knew what he was doing in waiving counsel
and was not, and presently is not, insane,
incompetent, or suffering from any thought
or mood disorder.
Although
ruling on the merits of
Ford's competency claim, the state
habeas court further noted that
Ford's competency
to discharge counsel and proceed pro se was
decided unfavorably on direct appeal and
that Rule 20.2(a)(4),A.R.Cr.P. (currently
Rule 32.2(a)(4)), precludes relief on a
decided issue raised on appeal. Similarly,
regarding the trial court's asking trial
counsel about Ford's
capacity to waive counsel, the state habeas
court found that this claim could have been
raised on direct appeal and was now
procedurally barred but that the claim was
without merit even if considered.
Ford's attorney
first advised the trial court of
Ford's desire to
proceed pro se and only then did the trial
court ask Ford's
counsel to state an opinion as to his
client's competency to waive counsel. In the
state habeas court's opinion, this did not
create any conflict and in any event was
known, available for review on direct
appeal, and now barred.
Finally,
the state habeas court held that there was
no law supporting the proposition that self-representation
in a capital case is per se improper or
unjust. The court noted it would be error to
deny a defendant's request to proceed pro se
where he was found competent to make such a
decision. In any event, the court found that
this claim could have been raised on appeal,
was not, and is barred.
Ford's counsel appealed the state
habeas court's decision, and the Alabama
Appeals Court affirmed.
Ford v. State, 630 So. 2d 111 (Ala.
Crim. App. 1991). In particular, the Appeals
Court declined to expand Ake v. Oklahoma,
470 U.S. 68 (1985), to entitle a criminal
defendant to the assistance of a
psychologist of his own choosing during a
post-conviction proceeding.
Ford v. State, 630
So. 2d at 111.
On October
29, 1993, the Alabama Supreme Court affirmed
the state habeas court's denial of
Ford's petition and
held that certain grounds in his petition
were "precluded by Rule 32.2(a)(4), A.R.Cr.P.
(grounds that '[were] raised or addressed on
appeal') and Rule 32.2(a)(5) (grounds that 'could
have been but [were] not raised on
appeal')." Ex parte Ford,
630 So. 2d 113, 114 (Ala. 1993) (as modified
on denial of rehearing), cert. denied, 511
U.S. 1078 (1994). The Alabama Supreme Court
also held that Ford's
argument that "he is entitled to a new trial
because, he says, his right to waive counsel
became void when . . . his lack of
competence to waive counsel became apparent
by his bizarre behavior at trial" was
precluded by Rule 32.2(a)(5). Id. at 115.
Finally, the Alabama Supreme Court held that
the Appeals Court properly affirmed the
state habeas court's denial of
Ford's request for
the assistance of a mental health expert of
his own choosing. Id.
IV.
FEDERAL HABEAS PETITION
On
November 21, 1995, Ford's
counsel filed his 2254 habeas petition in
the United States District Court for the
Northern District of Alabama. This was
Ford's first
federal habeas petition. In May 1997,
Ford pro se filed a
form requesting that the district court
dismiss his appeal, and that an execution
date be set. Ford's
attorney responded that he was not mentally
competent to dismiss his 2254 petition or
his counsel. Before acting on
Ford's pro se
request, the magistrate judge held two
evidentiary hearings.
A.
Evidentiary Hearings
At the
first hearing on September 5, 1997, the
magistrate judge had Ford
appear in order to inquire if he truly
wanted to dismiss his attorney and to
observe his mental condition. At the hearing,
Ford made it clear
that he knew that termination of his legal
proceedings would mean his death by
electrocution, and stated that was his
desire. The magistrate judge found that "there
was nothing about petitioner's demeanor or
behavior which indicated mental incompetence,
and . . . the state court had twice found
him competent."
Nevertheless, the magistrate judge ordered
that Ford's prison
medical records be submitted because
Ford's counsel
contended they contained evidence that
Ford suffered from
mental illness requiring anti-psychotic
medication. Those prison records indicated
that Ford had
suffered from psychosis, paranoia, and
depression during his incarceration and that
medication improved Ford's
mental condition, but that he sometimes
refused to take it. In light of this
information, the magistrate judge appointed
a psychiatric expert to examine
Ford's current
competency. The parties submitted the names
of three experts. Over respondent's
objections, the magistrate judge selected
Dr. Robert Rollins, an expert submitted by
Ford's counsel. Dr.
Rollins is the Chief Forensic Psychiatrist
at Dorothea Dix Hospital in Raleigh, North
Carolina, and has performed 200 mental
competency evaluations a year in criminal
cases since 1972.6
After
evaluating Ford on
March 14, 1998, Dr. Rollins submitted a
written report dated April 24, 1998, finding
that Ford is
competent to dismiss his counsel and his
2254 petition, as follows:
My
diagnoses are depressive disorder NOS (not
otherwise specified); personality disorder
with dependent traits; polysubstance abuse
by history, antisocial behavior by history,
attention deficit hyperactivity disorder by
history, learning disorder by history, and
relational problem (conflicts with family).
At the
time of my interview Mr.
Ford did not manifest symptoms of
schizophrenia or major depression. I do not
think anti-psychotic medication is indicated.
. . .
Mr.
Ford does have a
mental disorder (depression and personality
disorder), but this disorder does not
prevent Mr. Ford
from understanding his legal position and
the options available to him or making a
rational choice among his options. He has
sufficient present ability to consult with
his lawyer with a reasonable degree of
rational understanding and has a rational as
well as factual understandings of the
proceedings against him.
After Dr.
Rollins's report was filed,
Ford's counsel,
Davis, filed a motion requesting that
Ford be examined by
Dr. Jonathan Pincus, another psychiatrist.
According to the magistrate judge, "[t]he
stated purpose of that examination was to
obtain information which would likely
shorten Ms. Davis' examination of Dr.
Rollins at the evidentiary hearing." The
magistrate judge granted the motion.
At the
next evidentiary hearing on June 10, 1998,
Dr. Rollins testified regarding why he found
Ford competent.
While observing that Ford
"is alienated, fed up, tired out, generally
is pessimistic," Dr. Rollins also found that
"in interpersonal interaction he can be
engaging, chatting, funny, cordial. He is
not always depressed." Dr. Rollins described
problems during Ford's
developmental period and how
Ford has attempted
suicide several times. He attributed
Ford's behavior to
his living on death row, but stated that
Ford was "making a
reasonable adjustment to that situation."
Although
Ford has depression
and a personality disorder, Dr. Rollins
found no evidence of neurological impairment
and testified that Ford
is not mentally retarded. Rather he opined
that Ford "is of
normal intellectual ability but because of
the lack of educational, cultural
experiences on the formal testing, he tests
in the borderline intellectual function
range." Dr. Rollins further found: that
Ford's orientation
is "intact," that he is "able to proceed
logically from one topic to another and his
thinking is organized," that he "is able to
perceive and understand," and that his
memory is "good." According to Dr. Rollins,
Ford's judgment "is
impaired in the sense that he has lifelong
difficulty in adapting to the world around
him and he has made some bad decisions. But
he is able to focus on this present task at
hand and come to an opinion. And in [Dr.
Rollins's] view, that opinion is not
influenced by mental disorder. He is able to
make that judgment."
Dr.
Rollins also testified that
Ford's religious
beliefs are not delusional. After execution,
Ford thinks that he
is going to sit at God's left hand and be an
important person. Dr. Rollins took this to
mean that Ford "believes
in the afterlife that he is going to have a
cherished position in heaven, that he is
going to be respected, and that he is going
to be comfortable and happy there." Dr.
Rollins found that "what Mr.
Ford thinks will
happen following his death is his own
interpretation of the Bible and his own
religious beliefs." Ford's
counsel explored with Dr. Rollins the
possibility that Ford's
religious beliefs are actually grandiose
delusions. In Dr. Rollins's clinical
determination, Ford's
religious beliefs are not a symptom of a
mental disorder. Instead, Dr. Rollins
explained that Ford
"doesn't have the educational or
philosophical background perhaps to take
more than a fairly direct interpretation of
the Bible. I mean, he is not a Biblical
scholar by any means, but he is a person
under stress who is turning to religion for
support and particularly because he doesn't
have other kinds of support available to him."
Dr.
Rollins concluded that
Ford's depression and personality
disorder do not affect
Ford's competence to dismiss his
federal habeas petition. He offered several
rational reasons to support
Ford's decision,
including Ford's
feeling that if he would be represented by
counsel at a new trial, the result would
turn out the same.7
The
magistrate judge then questioned
Ford.
Ford understood the
consequences of dismissing the habeas
petition, as well as his options. Thereafter,
Ford's counsel
elicited testimony from
Ford about his ability to "translate"
to places outside prison.
Ford stated that he had many wives,
concubines, and children whom he had visited
in various parts of the world, that he had
been to church with one of his prison guards,
and that he had once "visited Heaven."
Ford also testified
that he has millions of dollars in a Swiss
bank account and that after death he will
sit at the left hand of God and be a member
of the Holy Trinity.
After
hearing Ford's
testimony about "translation," Dr. Rollins
declined comment, but requested to reexamine
Ford. Dr. Rollins
also talked to a psychiatrist and a
psychologist who had treated
Ford during his
incarceration and reviewed mental health
records from Ford's
incarceration.8
After reexamining Ford
on June 16, 1998, Dr. Rollins filed an "Addendum
Psychiatric Evaluation" dated June 29, 1998
("Addendum report"). In that Addendum report,
Dr. Rollins found that
Ford's "translation" beliefs
represent "fantasy or wish fulfillment" and
do not impair Ford's
ability to make decisions, stating:
Translating may represent malingering,
fantasy, or impaired reality testing. Mr.
Ford explains that
he did not mention translating in the first
interview, as he was concerned that I would
consider him mentally ill. I exclude
malingering because I cannot identify a goal
to be accomplished in this situation by
simulation of mental disorder and Mr.
Ford concealed
information about translation rather than
putting it forward, as is the case in
malingering.
If
translation represents impaired reality
testing (i.e. - psychoses), it is an
isolated delusional disorder and does not
impair Mr. Ford's
daily functioning. Mr.
Ford was unable or unwilling to
provide specific detail about translation
activities.
It is my
assessment that the translation represents
fantasy or wish fulfillment.
In any
event, Mr. Ford's
ability to make decisions is not impaired by
translation. Mr. Ford
is able to communicate and interact with
others. He makes decisions about his daily
activities and interactions. He decides who
to ask for money and how to spend his money.
He would be considered competent to consent
to surgery, make a will, or enter in
financial transactions.
In this
Addendum report, Dr. Rollins concluded again
that Ford is
competent to withdraw his habeas petition,
to abandon further proceedings regarding his
capital murder conviction and sentence, and
to waive his right to the assistance of
counsel. Dr. Rollins did note that "Ford
stated that he would continue his appeals if
he had an income of $50 per month or if
there was a possibility that a judge would
grant a new trial which would lead to a
sentence with a specific release date (as
opposed to life without parole)." Dr.
Rollins interpreted these statements as
showing only that Ford
was ambivalent about his decision to
withdraw his habeas petition.
Following
the submission of the Addendum report,
Ford's counsel
filed papers entitled "Offers of Proof,"
criticizing Dr. Rollins's opinions. To her "Offers
of Proof," Ford's
counsel attached the results of a mental
evaluation of Ford
on July 13, 1998, by Dr. Jonathan H. Pincus,
a neurologist and professor at Georgetown
University Medical School. Dr. Pincus
concludes that Ford
is not mentally competent to dismiss his
counsel and his habeas petition. Dr. Pincus
found that the results of his neurological
examination of Ford
and his psychiatric history indicated brain
damage in the right hemisphere of his brain,
possibly caused by his premature birth. The
magistrate judge considered the "Offers of
Proof" as a motion for leave to present
additional evidence. Respondent filed
written objections to any consideration of
Dr. Pincus's report.
Thereafter,
the magistrate judge spoke again with
Ford via telephone,
because Dr. Rollins interpreted
Ford's statements
about having fifty dollars a month in prison
to show ambivalence about dismissing his
habeas petition. Speaking with the
magistrate judge with his counsel also on
the telephone line, Ford
stated unequivocally that he wanted to
dismiss his attorney and his habeas petition.
B.
Magistrate Judge's Report and Recommendation
On August
26, 1998, the magistrate judge filed a
report recommending that
Ford be found mentally competent to
dismiss his 2254 habeas petition and his
counsel. The report noted that between May
4, 1997 and August 18, 1998,
Ford had sent
fourteen letters repeatedly expressing his
desire to have his habeas petition dismissed.
The
magistrate judge's report summarized
Ford's mental and
emotional history from childhood to the
present, reviewing in detail the expert
testimony regarding Ford's
being found competent in the state trial and
habeas courts. In his report, the magistrate
judge sustained the respondent's objections
to the consideration of Dr. Pincus's report,
finding "Dr. Rollins was one of the
psychiatrists nominated by
Ford's counsel and that the proffer
of Dr. Pincus's report was untimely."
Although the June 16, 1998 hearing was to
conclude the evidence, it was not until
after Dr. Rollins submitted his Addendum
report that Ford's
counsel mentioned that she intended to
submit a report from Dr. Pincus. The
magistrate judge found that
Ford's counsel knew
well before the June 16 hearing of
Ford's "translating"
and that the respondent had not been given
the opportunity to confront the report,
cross-examine Dr. Pincus, or to submit its
own expert.
Alternatively, the magistrate judge found
that even if Dr. Pincus's report was
considered, Dr. Rollins's testimony is more
persuasive than Dr. Pincus's. The magistrate
judge agreed with Dr. Rollins that
Ford's belief in "translating"
did not affect his ability to decide that he
wants to end the lengthy legal proceedings
in his capital murder conviction and death
sentence. The magistrate judge further found
that Ford's reasons
for dismissing his habeas petition are not
irrational or the product of mental disease.
For example, Ford
does not believe a retrial would result in
any difference. Ford
states that he is tired of his life on death
row and tired of fighting for, at best, life
imprisonment without possibility of parole.
Ford thinks
something better awaits him and that he is "supposed
to be punished for [his] crime." The
magistrate judge concluded that "Ford's
capacity to appreciate his legal position,
the options available to him, and the
consequences of his actions is not affected
by any mental disease." Accordingly, the
magistrate judge's report recommended that
Ford be found
mentally competent to dismiss his habeas
petition and his counsel.
C. District Court's
Order
On March
31, 1999, the district court independently
found that Ford was
competent to dismiss his 2254 habeas
petition and his counsel. The district court
also overruled the objections to the
magistrate judge's report and recommendation
filed by Ford's
counsel.9
In
evaluating Ford's
competency, the district court applied the
three-prong test in Lonchar v. Zant, 978
F.2d 637, 641-42 (11th Cir. 1992), which
requires a court to determine: "(1) whether
the petitioner suffers from a mental disease,
disorder or defect, (2) whether a mental
disease, disorder or defect prevents the
petitioner from understanding his legal
position and the options available to him;
and (3) whether a mental disease, disorder
or defect prevents the petitioner from
making a rational choice among his options."
The district court held that under Lonchar
Ford need not
understand the particulars of each legal
issue framed in the petition or the
likelihood of prevailing on any or all of
them, as his counsel argues. Instead, the
district court noted that in Lonchar, the
Eleventh Circuit found Lonchar competent
under the second and third prongs (1)
because Lonchar knew what he had been
charged with, the penalty that had been
handed down, and the ultimate outcome if the
penalty is imposed on him, and (2) because
Lonchar exhibited a basic understanding of
the habeas proceedings, persisted in his
opposition to further review of his
convictions, and stated that he understood
that without further proceedings he would be
executed. The district court found that
Ford, similar to
defendant Lonchar, understood the "bottom
line" of his legal situation-that he must
continue to engage in the review process or
be executed-and that he was able to make a
rational choice among these options. The
district court concluded that
Ford need not
understand the particular of each legal
claim listed in his habeas petition, or the
likelihood of his prevailing on any or all
of these claims.
The
district court also acknowledged that
Ford has "significant
behavioral and emotional problems" and that
he has led a very troubled life. However,
even if Ford meets
the first prong of Lonchar, the district
court found that Ford
fails Lonchar's second prong because he
plainly understands that, in his legal
situation, he must choose either to continue
his legal challenges or be executed. The
court found that Ford
also fails Lonchar's third prong because he
has rational reasons for choosing this
latter option: he is weary of languishing in
prison, he is justly pessimistic that he
will ever get out of prison, and he believes
that he will be happier in the afterlife.
Although Ford's
counsel argues that insane delusions are
driving him effectively to commit suicide,
the district court agreed with the
magistrate judge that Ford's
overall testimony proves otherwise and that
Dr. Rollins's testimony supports the finding
that Ford is
competent to dismiss his habeas petition.
The
district court also found that
Ford is competent
to waive his counsel and proceed pro se. The
district court determined that
Ford is competent
to dismiss his counsel if he has "sufficient
present ability to consult with his lawyer
with a reasonable degree of rational
understanding" and a "rational as well as
factual understanding of the proceedings
against him." (District Court Order, Mar.
31, 1999, at 17, quoting Dusky v. United
States, 362 U.S. 402, 402 (1960) (per curiam),
and citing Godinez v. Moran, 509 U.S. 389,
400-02 (1993)). The district court then
found that Ford
clearly understands his legal situation, the
significance of the proceedings against him,
and the choices available to him.
Ford knows what he
was convicted of and how he came to be in
his current legal situation.
Further,
the district court determined that
Ford understands
the ramifications of dismissing his habeas
petition and is able to consult with his
lawyer rationally. The court observed that
Ford rationally
explained why he allowed his counsel to file
a habeas petition on his behalf and why he
changed his mind and decided to dismiss it.
Ford also was able
to recount the rationale his counsel offered
to him for proceeding with the habeas
petition, rather than dismissing it. Finally,
the district court concluded that "[Ford's]
testimony as whole [sic] shows that he can
communicate with other persons rationally
and that he is capable of rationally
consulting with an attorney," and that Dr.
Rollins's reports further support the
finding that Ford
is competent to dismiss his attorney.10
After
reviewing the entire record, the district
court reached an independent conclusion that
Ford is competent
to dismiss his 2254 petition and his counsel.
The district court announced that it
"deplores the petitioner's decision to
dismiss his habeas petition," but recognized
that Ford had the
right to make the decision, as the evidence
indicates he is competent to do so. On March
31, 1999, the district court granted
Ford's request to
proceed pro se and granted
Ford's motion to dismiss his 2254
habeas petition. The district court
dismissed Ford's
petition with prejudice.
D.
Appeal and Stay of Execution
On April
14, 1999, Davis, signing as
Ford's attorney,
filed in Ford's
name a Motion to Alter and Amend the
Judgment, a Notice of Appeal of the district
court's March 31, 1999 order, and a Motion
for Stay of Execution. On July 1, 1999, the
district court denied the Motion to Alter
and Amend and the Motion for Stay of
Execution.
On July 6,
1999, Davis, again signing as
Ford's attorney,
filed a Notice of Appeal of the district
court's July 1, 1999 order. On July 6, 1999,
Davis also filed a Motion for Certificate of
Probable Cause to Authorize Appeal, which
the district court granted. On July 7, 1999,
this Court held that Davis, as
Ford's prior
counsel, appears to have standing on behalf
of Ford to appeal
the limited issue of Ford's
competence to discharge his counsel and
dismiss his habeas petition filed by that
counsel. Ford v.
Haley, 179 F.3d 1342, 1345-46 (11th Cir.
1999).
Further,
in accordance with Eleventh Circuit Rule
22-3, we granted a stay of execution to
prevent the issue of Ford's
competency from being mooted by his
execution prior to our review. Id. at 1346.
We advanced the briefing schedule and, on
August 18, 1999, held oral argument.
V.
STANDARD OF REVIEW
Whether
Ford is competent
to dismiss his 2254 habeas petition in order
to be executed in a capital case is a
factual question. Lonchar v. Zant, 978 F.2d
637, 640 (11th Cir. 1992) ("Whether Larry
Lonchar is competent to forgo collateral
review of his conviction is a factual
question.") (citing Rumbaugh v. Procunier,
753 F.2d 395, 398-99 (5th Cir.), cert.
denied, 473 U.S. 919 (1985)); see United
States v. Hogan, 986 F.2d 1364, 1371 (11th
Cir. 1993) (holding that the district
court's determination of defendant's
competency to stand trial is reviewed under
clearly erroneous standard). This Court,
therefore, must "accept the district court's
findings unless we find them to be clearly
erroneous." Lonchar, 978 F.2d at 640; see
also Fed. R. Civ. P. 52(a). "Finding[s] of
fact [are] clearly erroneous only when we
are left with a definite and firm conviction
that a mistake has been committed." United
States v. Roy, 869 F.2d 1427, 1429 (11th
Cir. 1989). To the extent
Ford's counsel contends that the
district court mis interpreted Lonchar's
three legal requirements, we review those
legal questions de novo.
VI.
DISCUSSION
A. Competency Test
In Rees v.
Peyton, 384 U.S. 312 (1966), the United
States Supreme Court established the test
for determining competency to waive post
conviction review in a capital case. The
test is whether a defendant has the "capacity
to appreciate his position and make a
rational choice with respect to continuing
or abandoning further litigation or on the
other hand whether he is suffering from a
mental disease, disorder, or defect which
may substantially affect his capacity in the
premises." Rees, 384 U.S. at 314. This
Circuit explained in Lonchar v. Zant, 978
F.2d 637, 641 (11th Cir. 1993), that
applying the Rees test "involves a
determination of (1) whether that person
suffers from a mental disease, disorder, or
defect; (2) whether a mental disease,
disorder, or defect prevents that person
from understanding his legal position and
the options available to him; and (3)
whether a mental disease, disorder, or
defect prevents that person from making a
rational choice among his options." Lonchar,
978 F.2d at 641-42 (citing Rumbaugh v.
Procunier, 753 F.2d 395, 398 (5th Cir.),
cert. denied, 473 U.S. 919 (1985)).
The
district court applied the Rees test in the
precise manner instructed in Lonchar. At the
outset, the district court found that
Ford suffered from
depression and a personality disorder, both
of which are mental disorders. Thus, the
district court correctly assumed that the
first prong of Lonchar was met. However, the
district court then found that neither of
Lonchar's other two prongs was met and that
Ford was competent
to dismiss his habeas petition and his
counsel. We hold that the district court's
findings are not clearly erroneous for the
reasons outlined below.
B.
Lonchar's Second Prong
Under
Lonchar's second prong, this Court requires
that the defendant's mental disorders must
impair his ability to understand his legal
position and the options available to him
before a finding of incompetency can be
made. Lonchar, 978 F.2d at 641-42. Here, the
district court expressly found that
Ford clearly
understood that the state of Alabama would
move the Alabama Supreme Court to set an
execution date as soon as the habeas
petition was dismissed and understood that
he would not be able to file any further
pleadings in federal district court. The
district court determined that
Ford's mental
disorders did not prevent him from
understanding his legal position and the
options available to him. This finding is
supported by substantial evidence in this
record.
For
example, Dr. Rollins's two reports support
the district court's determination. In his
initial report, Dr. Rollins expressly found
that "Mr. Ford does
have a mental disorder (depression and
personality disorder), but this disorder
does not prevent Mr. Ford
from understanding his legal position and
the options available to him." Dr. Rollins
further testified at the June 10 evidentiary
hearing that Ford
understood that he was on death row and that
dismissal of his habeas petition would
result in his execution.11
After
reexamining Ford on
June 16, 1998, Dr. Rollins also filed an
Addendum report in which Dr. Rollins again
concluded that Ford
understood his legal position and options
available. Dr. Rollins reported, "Mr.
Ford . . . is able
to make daily decisions. He understands that
if he withdraws his appeal, '[he] will be
killed' . . . Mr. Ford
thinks that, at best, a new trial would lead
to life without parole." Dr. Rollins's
reports demonstrate that
Ford is capable of understanding his
legal position-he is on death row-and the
options available to him-he can choose to be
executed or fight the sentence and spend his
life in prison.
Perhaps
the most persuasive evidence that
Ford understands
his legal position comes from
Ford's own
testimony at the two evidentiary hearings
and his fourteen letters to the magistrate
judge. At both hearings,
Ford testified that he understood the
state would move for an execution date as
soon as his habeas petition was dismissed
and that he would not be allowed to file any
further proceedings. Ford's
fourteen letters in the record before the
district court all express a consistent
desire to have proceedings ended and for his
execution to proceed. Additionally,
Ford was able to
explain why he allowed his legal counsel to
file a habeas petition on his behalf and why
he changed his mind and decided to dismiss
it.
Ford's counsel
argues that the district court erred in its
analysis of Lonchar's second requirement by
limiting its inquiry to the general issue of
whether Ford
recognized he was on death row and
understood that dismissal of his habeas
petition would result in his execution.
Ford's counsel
contends that Lonchar's second prong
requires an examination of whether the
defendant understood the particulars of each
legal issue framed in his habeas petition.
Ford's counsel
points to Dr. Rollins's examination of
Ford as evidence
that he is unaware of the legal
particularities which he would waive by
dismissing his habeas petition. Regarding
the specific legal issues contained within
the habeas petition, Dr. Rollins responded,
"Well he doesn't know and I don't know
either."
This
argument by Ford's
counsel is premised on a misunderstanding of
the required showing under Lonchar's second
prong. Under Lonchar, a petitioner need not
understand each of the legal issues framed
in his habeas petition. In Lonchar, this
Court found that the petitioner satisfied
the second prong because "[the] individual
knows what he has been charged with. He
recognizes the penalty that has been handed
down and what the ultimate outcome of that
penalty will be if it, in fact, is imposed
upon him." 978 F.2d at 642. This Court held
that the defendant satisfied this
requirement where "[he] exhibited a basic
understanding of the habeas proceedings,
persisted in his opposition to further
review of his convictions, and stated he
understood that without further proceedings,
he would be executed." Id.
In this
case, Ford
recognizes that the crime he was convicted
of is murder; the penalty that has been
handed down is execution; and the ultimate
outcome of the penalty will be death. As
outlined in Dr. Rollins's report,
Ford understands
that if he withdraws his appeal, he will be
executed. The report also discusses
Ford's
understanding of the habeas procedure and
his assessment that, "at best, a new trial
would lead to life without parole."
Ford admits that he
killed the two victims and the trial
evidence that Ford
committed these capital crimes was
overwhelming. See Ex parte
Ford, 515 So. 2d 48 (Ala. 1987),
aff'g, Ford v.
State, 515 So. 2d 34 (Ala. Crim. App. 1986).
Thus, Ford fully
understands that, at best, his habeas
petition will lead to a new trial and a new
trial, at best, will lead to life without
parole. Dr. Rollins's reports and testimony,
Ford's testimony,
and Ford's
extensive correspondence all demonstrate
that Ford exhibits
a basic and clear understanding of the
habeas proceedings, that
Ford has persisted in his opposition
to further review of his conviction and
death sentence, and that
Ford understands without further
collateral review he will be executed.
In sum,
the district court correctly concluded that
under Lonchar, Ford
need not understand the particulars of each
legal issue framed into the petition or the
likelihood of prevailing on any or all of
them. The district court's finding that
Ford understands
his legal position and the options available
to him is supported by substantial evidence
in this record and is not clearly erroneous.
Thus, the district court did not err in
finding that Ford
does not meet Lonchar's second requirement
for incompetency.
C.
Lonchar's Third Prong
Likewise,
we conclude that the district court did not
err in finding that Ford
also did not meet Lonchar's third
requirement. Again, Ford's
own testimony and Dr. Rollins's reports and
testimony support the district court's
findings that Ford
has the ability to make a rational choice
among his options and has done so.
Specifically, there is substantial evidence
in the record that Ford
desires to dismiss his petition because he
is weary ofanguishing in prison, he believes
a new trial will only result at best in a
conviction and life in prison, he is justly
pessimistic that he will ever get out of
prison, and he believes he will be happier
"in his afterlife in Heaven."
Ford's testimony
demonstrates how he recognizes his options
and how he has rational reasons for choosing
the option of execution. At the June 10,
1998 hearing, Ford
stated that "he was tired of being on death
row" and was ready to "be with his Creator
if I can get that." The magistrate judge
inquired about Ford's
belief that he would be convicted again even
if he got a new trial as follows:
THE COURT:
I made a note here that you told Dr. Rollins
that even if you got a new trial you didn't
think it would do any good. Could you tell
me what you meant by that?
THE
PETITIONER: Well, I don't think if I got a
new trial that there would still be the
possibility of me going free.
THE COURT:
You think you would be convicted again and
you would be right back where you are now?
THE
PETITIONER: Yeah, that's what I believe.
THE COURT:
And you don't want to go through with that?
THE
PETITIONER: No I don't wanting [sic] to go
through that.
Ford also testified
that "this situation has become real
tiresome to me and everything. And I realize
I am supposed to be punished for my crime.
It feels like I've been punished long enough."
During the hearing, Ford
explicitly testified that "[w]aiting is a
punishment, you know. It's better--it wasn't
too bad five years ago, you know. It was--everything
was moving on right. But it don't stand
still, and time and waiting is a punishment
for me right now. So that's what it's [his
desire to waive his habeas petition] based
on, you know." Ford
further testified, "time is punishment. I
don't want to subject myself to it any
longer just sitting and waiting on how
things going to play out with the legal
system."
In a
subsequent August 13, 1998 phone conference
with Dr. Rollins and Ford's
counsel, the magistrate judge questioned
Ford, "Now after
Dr. Rollins talked to you again, he told me
that it is still his opinion that you are
mentally competent to dismiss your case and
your lawyer if that's what you want to do."
The judge continued, "I received a letter
from you on July the 22nd . . . [that]
states that you want to drop your case and
it states some of the reasons why."
Ford responded
affirmatively and once again expressed the
reason for his decision-a desire to end the
waiting process of death row appeals and a
desire to quicken his transition to the
afterlife.
In recent
letters written on May 9, 1999, June 17,
1999, and August 9, 1999,
Ford again, clearly and lucidly,
expressed his desire to terminate his habeas
petition and be executed. For example, his
letter written on June 17, 1999 to his
counsel states, "I will like to die so
heaven will be my Home [sic] it have been a
long wait I don't want to stay alive . . .
P.S. I don't have any fear about death so
please dont [sic] file anything. I can't
handle this situation and death is a way
out." His letter written on August 9, 1999
to respondent's counsel, also states: "I
don't need a new trail [sic]. I just want my
death carry out . . . this letter is for all
the judges to read . . . I don't need a
lawyer and to have my sentence of death
carry out is my aim." In addition to
Ford's testimony
and letters, Dr. Rollins testified and
issued two reports expressly finding that
Ford was able to
make a rational choice among his legal
options.
On appeal,
Ford's counsel
argues primarily (a) that Dr. Rollins did
not adequately consider
Ford's specific religious belief that
at death he will join the "Holy Trinity" or
his bizarre translation statements, such as
how through translation he travels and has
many wives and Swiss bank accounts, (b) that
Dr. Rollins's evaluations are thus
inadequate and unreliable, and (c) that
therefore Dr. Rollins's opinions, and the
district court's findings relying thereon,
are fatally flawed. These arguments lack
merit because the record shows that both Dr.
Rollins and the district court fully
considered these subjects, that Dr.
Rollins's mental evaluations of
Ford were adequate
and reliable, and that the district court
did not err in crediting Dr. Rollins's
testimony and reports in determining
Ford's competency
under Lonchar's third prong.
Regarding
Ford's religious
beliefs, Dr. Rollins specifically testified
that, in his professional opinion, he viewed
Ford's beliefs
about being part of the "Holy Trinity" to
represent Ford's
view that "in the afterlife that he is going
to have a cherished position in heaven, that
he is going to be respected, and that he is
going to be comfortable and happy there."
Dr. Rollins testified that
Ford's religious beliefs were not
delusional, but instead, what "Ford
thinks will happen following his death . . .
[based on] his own interpretation of the
Bible and his religious beliefs." According
to Dr. Rollins, "when people are in
difficult situations, they often have wishes
that things would be different. . . . [W]ish
fulfillment, per se, is fairly normal
behavior." Dr. Rollins continued, "It is my
view that [Ford's
religious views represent] Mr.
Ford's assessment
of what will happen to him in the afterlife."
According to Dr. Rollins,
Ford's religious views also must be
examined in light of the fact that:
[Ford]
doesn't have the educational or
philosophical background . . . to take more
than a fairly direct interpretation of the
Bible. . . . [H]e is a person under stress
who is turning to religion for support and
particularly because he doesn't have other
kinds of support to him. . . . [C]linicians
have to be very careful in characterizing
religious beliefs as delusional . . . an
assessment of that, again has to be made in
terms of the context of the whole
presentation.
We agree
with the district court that "Dr. Rollins's
consideration of the petitioner's beliefs
about an afterlife does not appear to be
unreasonable or perfunctory, and it does not
render Dr. Rollins's findings unreliable or
unacceptable."
Similarly,
the record shows that Dr. Rollins also
considered fully all of
Ford's "translation" related
statements. Ford
stated to Dr. Rollins that he had not told
him previously about his translation powers,
wives, travels, and bank accounts because
Ford was concerned
that Dr. Rollins would find him mentally ill.
However, at the June 10 hearing, Davis, as
counsel, asked Ford
to explain his translation powers. According
to Ford, "translation"
is the power he possesses to leave his body
and travel around the world. Through
translation, Ford
believes he has been able to live in the
third world, have 400,000 wives, and invest
in businesses overseas, thus making millions
which he then placed in Swiss bank accounts.
Upon hearing Ford's
translation statements at the hearing, Dr.
Rollins requested to examine
Ford again.
After the
hearing, Dr. Rollins reexamined
Ford and talked
with a psychiatrist and psychologist who had
treated Ford during
his incarceration. Those medical experts
advised Dr. Rollins that
Ford had never talked about
translation with them.12
During the reexamination,
Ford reiterated his belief in his
translation powers. Dr. Rollins then filed
an Addendum report in which he outlined
Ford's translation
statements and found that
Ford's translation beliefs did not
impair Ford's
ability to choose rationally among his legal
options in this case. According to Dr.
Rollins, "Mr. Ford's
ability to make decisions is not impaired .
. . Mr. Ford is
able to communicate and interact with others.
He makes decisions about his daily
activities and interactions. He decides who
to ask for money and how to spend his money.
He would be considered competent to consent
to surgery, make a will, or enter in
financial transactions."
Dr.
Rollins further found that
Ford's statements about his
translation ability and experiences also
represent "fantasy or wish fulfillment" on
Ford's part.
Alternatively, Dr. Rollins determined that
even if Ford's "translation
represents impaired reality testing (i.e.,
psychoses), it is an isolated delusional
disorder and does not impair Mr.
Ford's daily
functioning." Dr. Rollins expressly found
that Ford's "ability
to make decisions is not impaired by
translation."
Ford's attorney
complains that Dr. Rollins did not assign
the proper significance to
Ford's statements about the "Holy
Trinity" and having, through translation,
wives, travels, and bank accounts. However,
the district court correctly found that Dr.
Rollins's testimony and reports that he did
consider these factors, but that they simply
did not lead him to conclude that
Ford was
incompetent. The district court also
properly found that although
Ford's counsel may
disagree with the emphasis Dr. Rollins
placed on certain information, the court was
satisfied, after an independent review of
Dr. Rollins's reports and testimony, that
Dr. Rollins considered all record
information relevant to his competency
opinion, that his assessment of
Ford was not "unreasonable
or unacceptable," and that his mental
evaluation of Ford
was adequate and reliable.13
Because
there was significant evidence of other
rational reasons behind
Ford's decision to dismiss his habeas
petition, this Court also finds that
Ford's statements
regarding translation and the "Holy Trinity"
do not demonstrate, per se, that he is
incompetent as Ford's
counsel, in effect, contends, but were
correctly considered and weighed with all of
the other evidence by both Dr. Rollins and
the district court. The arguments of
Ford's counsel
relate at best to the weight to be given to
Dr. Rollins's competency opinions but do not
show that his mental evaluations were
inadequate or that his opinions are
unreliable.
It is also
significant that Dr. Rollins was not hired
by the prosecutor, but was the court's
neutral psychiatric witness selected from a
list of names provided by
Ford's counsel. More importantly, Dr.
Rollins has extensive experience in
competency evaluations, having conducted
approximately 200 mental evaluations in
criminal cases each year since 1972. The
record also reveals that Dr. Rollins has
found defendants mentally incompetent in
approximately twenty-five percent of his
evaluations. Furthermore,
Ford has been evaluated several times
in state court and found competent each
time. Dr. Rollins's findings concerning
Ford's mental
health are similar to the findings of the
previous evaluations. Given this and the
totality of the evidence reviewed in detail
above, we find no merit to the claims that
Dr. Rollins's evaluations of
Ford are inadequate
or that his opinions are unreliable.
Ford's counsel also
asserts that Dr. Rollins allowed racial
stereotypes to infect his evaluation of
Ford and improperly
attributed certain of Ford's
religious beliefs to his cultural background
as an African-American rather than
appropriately to mental illness. The
district court accurately details Dr.
Rollins's explanation about how he attempts
to discern whether a stated religious belief
is part of a cultural background or a mental
disorder. The district court correctly
observed that Dr. Rollins's comments arose
only in an attempt to explain how different
cultural backgrounds might affect
evaluations of mental health and how those
differences can be obstacles in performing
an effective evaluation. The district court
noted that Dr. Rollins indicated that
certain of Ford's
religious beliefs were held not only by
African-Americans but also by Caucasians,
particularly in the southeastern area of the
United States. The district court found that
Dr. Rollins explained why in the course of
forming his opinion he had not assigned as
much significance to Ford's
religious beliefs as Ford's
counsel thought proper. The district court
found that, in the context of Dr. Rollins's
complete testimony at the June 10, 1998
hearing and of his written reports,
Ford's counsel had
not shown that Dr. Rollins's opinion on
Ford's competency
to be "in any way unreliable or unacceptable."
All of these findings of the district court
are supported by the record and are not
clearly erroneous.
Along the
same lines, Ford's
counsel argues that the district court, like
Dr. Rollins, did not adequately consider
Ford's core beliefs
about his translation experiences and
becoming part of the "Holy Trinity" in the
afterlife. Counsel asserts that the district
court incorrectly stopped its competency
inquiry when it found that
Ford articulated certain logical
reasons for his desire to waive his appeals.
We disagree. As outlined above, the record
shows that the district court considered all
of the evidence and all of
Ford's beliefs in concluding that
Ford's decision was
motivated by rational reasons. The court
also acknowledged Ford's
mental disorders but found they did not
drive Ford to make
his decision to waive further appeals.14
Lastly,
Ford's counsel
complains that Dr. Rollins gave "short
shrift" to the full picture of
Ford's mental
health by failing to review all available
mental health records and to interview
persons other than Ford.
We again disagree. Dr. Rollins reviewed some
twenty-five pounds of records regarding
Ford's mental
health. Those records included, for example,
records from Ford's
childhood, records from his youth, records
from Taylor Hardin Secure Medical Facility,
the trial transcript in this case, records
from the hearing on Ford's
motion to proceed pro se and his competence
to stand trial, and prison records. The
district court correctly noted that Dr.
Rollins acknowledged that not every
significant thing was included in his
written reports but that he included what
ultimately was most significant amongst the
records he reviewed. Dr. Rollins testified
that his reports included the more
significant material, but that he considered
a great deal more of Ford's
history than was included in his reports. We
agree with the district court that Dr.
Rollins's testimony reflects his familiarity
with information regarding
Ford's background and mental health
history. While Ford's
counsel correctly points out that Dr.
Rollins's first examination failed to
uncover Ford's
beliefs about translation, the evidence
shows that Ford
purposely had not told Dr. Rollins about his
translation. Additionally, Dr. Rollins
remedied this by examining
Ford a second time and specifically
reassessing Ford's
competency in light of
Ford's beliefs about his translation
powers and having wives, travels, and bank
accounts. After the June 10 hearing, Dr.
Rollins also spoke to a prison guard and two
mental health professionals who worked with
Ford during his
incarceration and reviewed
Ford's mental health records during
his incarceration.
In sum,
the district court's findings under
Lonchar's third prong-that
Ford has the ability to make rational
choices among his options and has done
so-are supported by substantial, reliable
evidence. Thus, the district court's
determination that Ford
does not meet Lonchar's third requirement is
not clearly erroneous.
D. Dr.
Pincus
Ford's counsel also
challenges the district court's decision to
reject the findings of Dr. Jonathan Pincus,
who reported that Ford
was incompetent. The district court
considered Dr. Pincus's report but observed
that Dr. Pincus assumes that
Ford's motion to
dismiss his petition is per se irrational.
The district court found that this
assumption detracts from the weight and
credibility of Dr. Pincus's findings and
raises doubts whether he would ever find a
death row inmate competent to dismiss a
habeas petition. The district court also
noted that the Supreme Court essentially
rejected Dr. Pincus's view when it held a
death row inmate may waive his habeas
petition and be executed in Gilmore v.Utah,
429 U.S. 1012 (1976) (holding that death row
petitioner may competently waive further
review of his conviction and sentence). In
light of the district court's discussion
concerning Dr. Pincus's report and the
evidence that Ford
has rational reasons for dismissing his
petition, this Court finds that the district
court was not clearly erroneous in rejecting
the findings of Dr. Pincus that
Ford's decision is
irrational and that he is incompetent.
E.
Davis's Standing
As
outlined earlier, Ford
permitted Davis as his attorney to file and
litigate his 2254 habeas petition from 1995
until 1997. Thus, as noted in our earlier
opinion in this case, Davis has standing to
the limited extent necessary to appeal the
district court's findings that
Ford is mentally
competent. Ford v.
Haley, 179 F.3d 1342, 1345-46 (11th Cir.
1999).
Having
ruled on the merits of this competency issue,
we now examine whether Davis has standing to
pursue any other issues in
Ford's habeas petition. Davis has the
burden to establish her standing to proceed
on behalf of Ford
and thereby to invoke the jurisdiction of
the federal courts. See Whitmore v.
Arkansas, 495 U.S. 149 (1990); Lonchar, 978
F.2d at 640. Article III of the United
States Constitution limits the jurisdiction
of federal courts to actual cases and
controversies. U.S. Const. art. III, 2; see
Whitmore, 495 U.S. at 154-55. In habeas
corpus cases, courts have long permitted a
next friend to proceed on behalf of a
prisoner who is unable to seek relief
himself. As this Court explained in Lonchar,
"Congress expressly codified this next
friend standing in 1948 by allowing for
application for a writ of habeas corpus 'by
the person for whose relief it is intended
or by someone acting in his behalf.' 28
U.S.C. 2242 (1988)."
978 F.3d at 641.
However, the Supreme Court has indicated
that next friend status is not automatic,
but instead the would-be next friend must
first prove that the real party in interest
cannot pursue his own cause due to some
disability, such as mental incompetence, and
must show some relationship or other
evidence that demonstrates the next friend
is truly dedicated to the interests of the
real party in interest. Whitmore, 495 U.S.
at 163-64. Although Whitmore involved next
friend standing to pursue a direct appeal,
this Court held in Lonchar that the logic of
Whitmore applies where a would-be next
friend seeks a writ of habeas corpus on
behalf of another. Lonchar, 978 F.2d at 637,
640.
Throughout
her representation of Ford
for several years, Davis has shown that she
is sufficiently dedicated to the best
interests of Ford.
In certain circumstances, attorneys, such as
Davis, who have a long history of
representing a client with mental disorders
may appear as "next friend" to challenge
competency rulings with as much
justification as a relative of a defendant.
See Lenhard v. Wolff, 443 U.S. 1306, 1310
(1979) (observing that "it strikes me that
from a purely technical standpoint a public
defender may appear as 'next friend' with as
much justification as the mother of [the
defendant]"). However, because
Ford is mentally
competent, Davis has not shown that
Ford, the real
party in interest, cannot pursue his own
cause. Indeed, the evidence shows just the
opposite. Ford can
pursue it, but has chosen not to. Therefore,
once the competency issue is resolved, there
is no longer any case or controversy between
Ford and the
respondent. Since Davis has not shown next
friend status, she lacks standing to pursue
any other issues in this habeas petition.
Therefore, we lack jurisdiction over any
other issues raised in this habeas petition.
VII.
CONCLUSION
For the
foregoing reasons, we conclude that the
district court did not clearly err in its
findings that Ford
is competent to dismiss his 2254 habeas
petition and Davis as his counsel. Since
Ford has dismissed
his 2254 habeas petition, we vacate our stay
of Ford's execution
entered on July 7, 1999. Because there is no
longer any controversy between
Ford and respondent
and because Davis lacks standing to pursue
any other issues in this habeas petition, we
dismiss this appeal for lack of jurisdiction
under Article III of the United States
Constitution.
As we explained in our
earlier opinion,"[t]he standing issue here
is arguably akin to a court's having limited
jurisdiction to determine its own
jurisdiction." Ford
v. Haley, 179 F.3d 1342, 1345 n.3 (11th Cir.
1999). As we also noted earlier, if the "district
court's finding that Ford
is mentally competent is not clearly
erroneous, then the district court correctly
honored Ford's
wishes to dismiss his attorney and his 2254
habeas petition. See Whitmore v. Arkansas,
495 U.S. 149 (1990); Gilmore v. Utah, 429
U.S. 1012 (1976); Lonchar v. Zant, 978 F.2d
637 (11th Cir. 1992). Accordingly, Davis, no
longer Ford's
attorney, would lack standing to pursue
Ford's case further.
However, if the district court's finding is
clearly erroneous and Ford
is mentally incompetent, then the dismissals
of Davis and the petition were in error, and
Davis may be entitled, as
Ford's attorney, to pursue
Ford's 2254 habeas
petition." Id. at 1345. "Otherwise, a
district court would be able to find a
defendant mentally competent in a capital
case to dismiss his counsel and dismiss with
prejudice his 2254 habeas petition in
federal court and there never would be any
appeal or review of that contested mental
competency ruling." Id.
At each step of the
explanation, Ford
acknowledged that he understood what he was
being told; Ford
stated that he had no questions. See
Ford v. State, 515
So. 2d at 39. When the trial court inquired
why Ford wished to
represent himself, Ford
stated: "Well, I feel like I'm competent
enough to - to represent myself. You know, I
have been to Bryce's and I was found not
insane, so I feel like I'm able to do it. .
. . I'm the one facing trial; I should be
able to represent myself." Id.
The Alabama Court of
Criminal Appeals rejected
Ford's first ground of appeal as
having no legal support.
Ford v. State, 515 So. 2d at 40. The
Appeals Court also rejected the second
ground, holding that the trial record
demonstrated that Ford
"was thoroughly apprised of the dangers,
disadvantages, and consequences of
proceeding without counsel." Id. at 40-41.
The Appeals Court held that
Ford's failure to
make objections or motions or to otherwise
present a defense at trial was irrelevant to
the question of Ford's
mental capacity to waive trial counsel. Id.
at 41. Moreover, the Appeals Court held that
Ford had the mental
capacity to comprehend the implications of
waiving his counsel. Id. at 42. Applying a
more stringent standard than competency to
stand trial, the Appeals Court looked to
whether Ford was
"free of mental disorder which would so
impair his free will that his decision to
waive counsel would not be voluntary," id. (quoting
Peter R. Silten & Richard Tullis, Mental
Competency in Criminal Proceedings, 28
Hastings L.J. 1053, 1067 (1977)). The
Appeals Court also cited the "intentional
relinquishment or abandonment of a known
right or privilege" standard from Johnson v.
Zerbst, 304 U.S. 458, 464 (1938), and a
California court's interpretation that the
standard "is satisfied if the trial court
finds that the defendant is free of mental
disorder and is aware of the consequences of
his insistence upon representing himself."
Ford v. State, 515
So. 2d at 42 (citing Curry v. Superior Court,
141 Cal. Rptr. 884, 888-89 (1977)).
Judge Tyson dissented
from the Appeals Court's holdings regarding
Ford's competency
and standby counsel. Judge Tyson believed
that Ford was "presented
with a 'Hobson's Choice' to either represent
himself alone or choose to be represented by
counsel seated in the front of the courtroom,"
and that the passive role played by the
three attorneys deprived
Ford of a fair trial.
Ford v. State, 515
So. 2d at 48 (Tyson, J., dissenting).
According to Judge Tyson,
Ford's right to self-representation
could have been honored in accord with
society's interest in the right to counsel
during a capital case through the
requirement that appointed "standby counsel"
actually sit with the defendant at counsel
table throughout the case. This arrangement,
in Judge Tyson's judgment, would best
preserve thedefendant's freedom of choice
while at the same time making "a fair trial
. . . a more realistic and likely
possibility." Id.
Ford's
state habeas petition alleged, inter alia,
these errors relating to
Ford's mental competency: (1) "[d]enial
of effective assistance" (both while
represented by counsel and while pro se);
(2) "[t]he Defendant's conduct demonstrates
that he did not have the requisite mental
capacity to waive his right to counsel;" (3)
"[t]he Court inappropriately questioned the
Defendant [sic] court appointed attorney
about his capacity, creating an unfair
conflict of interest between the Defendant
and his attorney;" (4) "[t]he Defendant
demonstrated an inability to competently
handle any aspect of his own defense;" (5)
"[t]he Court failed to request additional
psychiatric evaluation on this Defendant
conduct [sic] became more bizarre;" (6) "The
trial was potentially unfair and lacked due
process because the defendants [sic] mental
capacity was never placed before the jury as
a defense of insanity or diminished capacity;"
(7) "[t]hat it is unconstitutional to
sentence to death someone who was 18 years
old at the time of the above reasons [sic]
who represented himself and none of the
grounds for a new trial have been waived
because the Defendant had neither the mental
capacity, training or knowledge to properly
protect the record;" (8) "[b]ecause [of]
Defendant's mental incompetence the jury was
not permitted to consider the possible
insanity or diminished capacity of the
Defendant as a defense and the defense could
not be properly placed before the jury;" (9)
"[b]ecause of the Defendant's own
representation the jury could not consider
the Defendant's mental condition in regard
to the claim of aggravating circumstances or
in relationship to mitigating circumstances."
In appointing Dr. Rollins,
the magistrate judge directed him to make
findings that would assist the court in
determining whether Ford:
"has capacity to appreciate his position and
make a rational choice with respect to
continuing or abandoning further litigation
or on the other hand whether he is suffering
from a mental disease, disorder, or defect
which may substantially affect his capacity
in the premises." Rees v. Peyton, 384 U.S.
312, 314, 86 S. Ct. 1505, 16 L. Ed. 2d 583
(1966). Specifically, Dr. Rollins's findings
should assist the court in determining (1)
whether the petitioner suffers from a mental
disease, disorder or defect, (2) whether a
mental disease, disorder or defect prevents
the petitioner from understanding his legal
position and the options available to him;
and (3) whether a mental disease, disorder
or defect prevents the petitioner from
making a rational choice among his options.
Lonchar v. Zant, 978 F.2d 637, 641-42 (11th
Cir. 1992) (citation omitted). . . . Dr.
Rollins's findings should assist the court
in determining whether the petitioner has
both a "sufficient present ability to
consult with his lawyer with a reasonable
degree of rational understanding" and a "rational
as well as factual understanding of the
proceedings against him." Dusky v. United
States, 362 U.S. 402, 80 S. Ct. 788, 4 L.
Ed. 2d 824, 825 (per curiam). See Godinez v.
Moran, 509 U.S. 389, 400-402, 113 S. Ct.
2680, 125 L. Ed. 2d 321 (1993) (citations
omitted).
Ford
is Dr. Rollins's seventh competency
evaluation in a death case. In five previous
cases Dr. Rollins opined that the persons
were competent to be executed. In another he
opined that the person was not competent to
be executed. In the remaining case he
concluded that the person was competent to
be executed but not competent to waive his
rights; Dr. Rollins recommended treatment
and reevaluation. Additionally, in twenty-five
percent of Dr. Rollins's evaluations in
general criminal cases, he has found the
defendant incompetent.
Dr. Rollins spoke with
Dr. Williams, a psychiatrist who knew
Ford for several
years. Dr. Williams reported to Dr. Rollins
that since June 17, 1998,
Ford had been "friendly, coherent,
lucid, faintly hypomanic, no distress." Dr.
Rollins also talked with Mr. Crum, a
psychologist who knew Ford
for several years, who considered
Ford to be making
"a good adjustment." Ford
never discussed "translating" with either
Dr. Williams or Mr. Crum. Dr. Rollins also
spoke with the prison guard whom
Ford mentioned.
In the objections,
Ford's counsel
complained that the magistrate judge did not
conduct an adversarial proceeding, refused
to grant certain discovery requests, and
precluded response to Dr. Rollins's report,
such as testimony by Dr. Pincus. The
district court correctly observed that Dr.
Rollins was a psychiatrist nominated by
Ford's counsel as a
neutral expert and that the magistrate judge
never forbid the parties from submitting
their own experts. When
Ford's counsel untimely submitted Dr.
Pincus's report, the magistrate judge
nevertheless considered that report. The
district court properly found that the
magistrate judge's conducting three hearings
on the matter, during each of which
Ford's counsel had
the opportunity to state her position and
present extensive evidence, was sufficient.
The district court accurately pointed out
that "[i]t appears that [the magistrate
judge] took great pains to ensure that Ms.
Davis [Ford's
counsel] had ample opportunity to state her
position and support it, and to ensure that
relevant evidence would be presented and
considered. If anything, the process
employed by [the magistrate judge] afforded
Ms. Davis an advantage over the respondents,
as her nominee was chosen as the court's
expert and as the court considered the
findings of Ms. Davis's own expert as well,
whereas the respondent did not offer any
expert testimony."
The district court also
properly found that the reason for many of
the discovery requests was to provide
background information to Dr. Rollins about
Ford, but Dr.
Rollins examined the motion and stated that
he did not need any of the requested
information to evaluate
Ford's competence. Furthermore, Dr.
Pincus did not report that he lacked
information critical to forming an opinion
about Ford's
competence. Thus, the district court
concluded that the denial of Davis's
discovery requests was not as significant as
Davis argued. The district court accurately
noted that Ford's
counsel never presented Dr. Pincus for
questioning at any hearing, and never
requested a continuance to do so. In any
event, the magistrate judge actually
considered Dr. Pincus's report.
On appeal,
Ford's counsel
primarily challenges the district court's
application of Lonchar's requirements and
the findings that Ford
is competent to dismiss his 2254 habeas
petition and forgo further collateral review
of his conviction and death sentence. Thus,
our opinion focuses on those competency
issues. However, to the extent
Ford's counsel
argues that the district court also erred in
finding that Ford
is competent to dismiss his attorney and
proceed pro se, we find that argument also
lacks merit. Substantial evidence supports
the district court's findings that
Ford is competent
to dismiss his attorney and proceed pro se,
including Ford's
own testimony and Dr. Rollins's reports and
testimony.
In response to the
question, "Does Mr. Ford
understand, in your opinion, that if his
habeas petition is dismissed that the state
will move for execution, quickly?", Dr.
Rollins testified, "Yes, he desires that."
Ford's
counsel also challenged Dr. Rollins's
conclusion that Ford's
belief at trial that God would reveal
himself and resurrect his murder victims was
"a wish fulfillment under stress that
represents impaired reality testing."
Ford's counsel
argued that such beliefs could only be the
result of mental illness. The district court
disagreed, noting that Dr. Rollins stressed
that his explanation was only one possible
explanation among many, but that he had not
thoroughly assessed the issue, because he
was charged with evaluating
Ford's current
competence in 1998, as opposed to
Ford's competence
at the time of trial in 1984. The district
court found that this objection by
Ford's counsel does
not reveal Dr. Rollins's findings to be
unreliable or unacceptable in any regard.
Ford's
counsel claims that the district court erred
by discussing mainly Ford's
translation beliefs in its order and by not
acknowledging in its order other
manifestations of Ford's
mental disorders, such as his statements
about having 400,000 wives and millions in
Swiss bank accounts. The mere fact that the
district court's order only discussed
certain specific statements by
Ford does not
provide evidence that the court did not
consider all relevant record evidence in
reaching its conclusion. In addition, the
court refers specifically to Dr. Rollins's
Addendum report in which these very
statements by Ford
are discussed and diagnosed. The district
court's order also addresses the general
argument that Ford's
desire to dismiss his appeal is based upon
insane religious delusions which are, in
effect, driving him to commit suicide. The
district court expressly rejects this
contention by Ford's
counsel, finding that "petitioner's
testimony proves otherwise."