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H.B. 38

             1     

COMPETENCY TO STAND TRIAL AMENDMENTS

             2     
2012 GENERAL SESSION

             3     
STATE OF UTAH

             4     
Chief Sponsor: Kay L. McIff

             5     
Senate Sponsor: Todd Weiler

             6     
             7      LONG TITLE
             8      Committee Note:
             9          The Judiciary, Law Enforcement, and Criminal Justice Interim Committee
             10      recommended this bill.
             11      General Description:
             12          This bill modifies Title 77, Chapter 15, Inquiry into Sanity of Defendant, regarding the
             13      process for determining a defendant's competency to stand trial.
             14      Highlighted Provisions:
             15          This bill:
             16          .    amends the process for determining a defendant's competency to stand trial to
             17      clarify that the court may not order an examination of the defendant or order a
             18      hearing on the mental condition of the defendant unless the court finds that the
             19      allegations in the petition raise a bona fide doubt as to the defendant's competency
             20      to stand trial;
             21          .    requires the experts conducting the competency exam to consider any exhibition of
             22      false or exaggerated symptoms related to capacity to stand trial;
             23          .    requires that experts who determine the defendant is incompetent to stand trial shall
             24      provide in their report information regarding any instruments, methods, and
             25      observations used to determine if the defendant exhibits false or exaggerated
             26      symptoms; and
             27          .    provides that if there is a conflict between the opinions of the examining experts,


             28      the court is not required to appoint an additional expert unless the court finds the appointment
             29      necessary.
             30      Money Appropriated in this Bill:
             31          None
             32      Other Special Clauses:
             33          None
             34      Utah Code Sections Affected:
             35      AMENDS:
             36          77-15-5, as last amended by Laws of Utah 2008, Chapter 212
             37          77-15-6, as last amended by Laws of Utah 2008, Chapter 212
             38     
             39      Be it enacted by the Legislature of the state of Utah:
             40          Section 1. Section 77-15-5 is amended to read:
             41           77-15-5. Order for hearing -- Stay of other proceedings -- Examinations of
             42      defendant -- Scope of examination and report.
             43          (1) (a) When a petition is filed pursuant to Section 77-15-3 raising the issue of the
             44      defendant's competency to stand trial or when the court raises the issue of the defendant's
             45      competency pursuant to Section 77-15-4 , the court in which proceedings are pending shall stay
             46      all proceedings. If the proceedings are in a court other than the district court in which the
             47      petition is filed, the district court shall notify that court of the filing of the petition.
             48          (b) The district court in which the petition is filed [shall pass upon the sufficiency of]:
             49          (i) shall review the allegations of incompetency[. If a petition is opposed by either
             50      party, the court shall, prior to granting or denying the petition, hold a limited hearing solely for
             51      the purpose of determining the sufficiency of the petition. If the court finds that the allegations
             52      of incompetency raise a bona fide doubt as to the defendant's competency to stand trial, it shall
             53      enter an order for a hearing on the mental condition of the person who is the subject of the
             54      petition.];
             55          (ii) may hold a limited hearing solely for the purpose of determining the sufficiency of
             56      the petition if the court finds the petition is not clearly sufficient on its face;
             57          (iii) shall hold a hearing if the petition is opposed by either party;
             58          (iv) may not order an examination of the defendant or order a hearing on the mental


             59      condition of the defendant unless the court finds that the allegations in the petition raise a bona
             60      fide doubt as to the defendant's competency to stand trial; and
             61          (v) shall order an examination of the defendant and a hearing on the defendant's mental
             62      condition if the court finds that the allegations raise a bona fide doubt as to the defendant's
             63      competency to stand trial.
             64          (2) (a) After the granting of a petition and prior to a full competency hearing, the court
             65      may order the Department of Human Services to examine the person and to report to the court
             66      concerning the defendant's mental condition.
             67          (b) The defendant shall be examined by at least two mental health experts not involved
             68      in the current treatment of the defendant.
             69          (c) If the issue is sufficiently raised in the petition or if it becomes apparent that the
             70      defendant may be incompetent due to mental retardation, at least one expert experienced in
             71      mental retardation assessment shall evaluate the defendant. Upon appointment of the experts,
             72      the petitioner or other party as directed by the court shall provide information and materials to
             73      the examiners relevant to a determination of the defendant's competency and shall provide
             74      copies of the charging document, arrest or incident reports pertaining to the charged offense,
             75      known criminal history information, and known prior mental health evaluations and treatments.
             76          (d) The prosecuting and defense attorneys shall cooperate in providing the relevant
             77      information and materials to the examiners, and the court may make the necessary orders to
             78      provide the information listed in Subsection (2)(c) to the examiners. The court may provide in
             79      its order for a competency examination of a defendant that custodians of mental health records
             80      pertaining to the defendant shall provide those records to the examiners without the need for
             81      consent of the defendant or further order of the court.
             82          (3) During the examination under Subsection (2), unless the court or the executive
             83      director of the department directs otherwise, the defendant shall be retained in the same
             84      custody or status he was in at the time the examination was ordered.
             85          (4) The experts shall in the conduct of their examination and in their report to the court
             86      consider and address, in addition to any other factors determined to be relevant by the experts:
             87          (a) the defendant's present capacity to:
             88          (i) comprehend and appreciate the charges or allegations against [him] the defendant;
             89          (ii) disclose to counsel pertinent facts, events, and states of mind;


             90          (iii) comprehend and appreciate the range and nature of possible penalties, if
             91      applicable, that may be imposed in the proceedings against [him] the defendant;
             92          (iv) engage in reasoned choice of legal strategies and options;
             93          (v) understand the adversary nature of the proceedings against [him] the defendant;
             94          (vi) manifest appropriate courtroom behavior; and
             95          (vii) testify relevantly, if applicable;
             96          (b) the impact of the mental disorder, or mental retardation, if any, on the nature and
             97      quality of the defendant's relationship with counsel;
             98          (c) if psychoactive medication is currently being administered:
             99          (i) whether the medication is necessary to maintain the defendant's competency; and
             100          (ii) the effect of the medication, if any, on the defendant's demeanor and affect and
             101      ability to participate in the proceedings[.]; and
             102          (d) whether the defendant is exhibiting false or exaggerated physical or psychological
             103      symptoms relevant to the defendant's capacity to stand trial.

             104          (5) If the expert's opinion is that the defendant is incompetent to proceed, the expert
             105      shall indicate in the report:
             106          (a) which of the above factors contributes to the defendant's incompetency;
             107          (b) the nature of the defendant's mental disorder or mental retardation and its
             108      relationship to the factors contributing to the defendant's incompetency;
             109          (c) the treatment or treatments appropriate and available; [and]
             110          (d) the defendant's capacity to give informed consent to treatment to restore
             111      competency[.]; and
             112          (e) any diagnostic instruments, methods, and observations used by the expert to
             113      determine whether or not the defendant is exhibiting false or exaggerated physical or
             114      psychological symptoms relevant to the defendant's capacity to stand trial and the expert's
             115      opinion as to the significance of any false or exaggerated symptoms regarding the defendant's
             116      capacity.

             117          (6) The experts examining the defendant shall provide an initial report to the court and
             118      the prosecuting and defense attorneys within 30 days of the receipt of the court's order. The
             119      report shall inform the court of the examiner's opinion concerning the competency of the
             120      defendant to stand trial, or, in the alternative, the examiner may inform the court in writing that


             121      additional time is needed to complete the report. If the examiner informs the court that
             122      additional time is needed, the examiner shall have up to an additional 30 days to provide the
             123      report to the court and counsel. The examiner [must] shall provide the report within 60 days
             124      from the receipt of the court's order unless, for good cause shown, the court authorizes an
             125      additional period of time to complete the examination and provide the report.
             126          (7) Any written report submitted by the experts shall:
             127          (a) identify the specific matters referred for evaluation;
             128          (b) describe the procedures, techniques, and tests used in the examination and the
             129      purpose or purposes for each;
             130          (c) state the expert's clinical observations, findings, and opinions on each issue referred
             131      for examination by the court, and indicate specifically those issues, if any, on which the expert
             132      could not give an opinion; and
             133          (d) identify the sources of information used by the expert and present the basis for the
             134      expert's clinical findings and opinions.
             135          (8) (a) Any statement made by the defendant in the course of any competency
             136      examination, whether the examination is with or without the consent of the defendant, any
             137      testimony by the expert based upon [such] the statement, and any other fruits of the statement
             138      may not be admitted in evidence against the defendant in any criminal proceeding except on an
             139      issue respecting mental condition on which the defendant has introduced evidence. The
             140      evidence may be admitted, however, where relevant to a determination of the defendant's
             141      competency.
             142          (b) Prior to examining the defendant, examiners should specifically advise the
             143      defendant of the limits of confidentiality as provided under Subsection (8)(a).
             144          (9) (a) When the report is received the court shall set a date for a mental hearing
             145      [which]. The hearing shall be held in not less than five and not more than 15 days, unless the
             146      court enlarges the time for good cause.
             147          (b) Any person or organization directed by the department to conduct the examination
             148      may be subpoenaed to testify at the hearing. If the experts are in conflict as to the competency
             149      of the defendant, all experts should be called to testify at the hearing if reasonably available. A
             150      conflict in the opinions of the experts does not require the appointment of an additional expert
             151      unless the court determines the appointment to be necessary.


             152          (c) The court may call any examiner to testify at the hearing who is not called by the
             153      parties. If the court calls an examiner, counsel for the parties may cross-examine the expert.
             154          (10) (a) A person shall be presumed competent unless the court, by a preponderance of
             155      the evidence, finds the person incompetent to proceed. The burden of proof is upon the
             156      proponent of incompetency at the hearing.
             157          (b) An adjudication of incompetency to proceed [shall] does not operate as an
             158      adjudication of incompetency to give informed consent for medical treatment or for any other
             159      purpose, unless specifically set forth in the court order.
             160          (11) (a) If the court finds the defendant incompetent to stand trial, its order shall
             161      contain findings addressing each of the factors in Subsections (4)(a) and (b) [of this section].
             162      The order issued pursuant to Subsection 77-15-6 (1) which the court sends to the facility where
             163      the defendant is committed or to the person who is responsible for assessing [his] the
             164      defendant's progress toward competency shall be provided contemporaneously with the
             165      transportation and commitment order of the defendant, unless exigent circumstances require
             166      earlier commitment in which case the court shall forward the order within five working days of
             167      the order of transportation and commitment of the defendant.
             168          (b) The order finding the defendant incompetent to stand trial shall be accompanied by:
             169          (i) copies of the reports of the experts filed with the court pursuant to the order of
             170      examination if not provided previously;
             171          (ii) copies of any of the psychiatric, psychological, or social work reports submitted to
             172      the court relative to the mental condition of the defendant; and
             173          (iii) any other documents made available to the court by either the defense or the
             174      prosecution, pertaining to the defendant's current or past mental condition.
             175          (12) If the court finds it necessary to order the defendant transported prior to the
             176      completion of findings and compilation of documents required under Subsection (11), the
             177      transportation and commitment order delivering the defendant to the Utah State Hospital, or
             178      other mental health facility as directed by the executive director of the Department of Human
             179      Services or [his] a designee, shall indicate that the defendant's commitment is based upon a
             180      finding of incompetency, and the mental health facility's copy of the order shall be
             181      accompanied by the reports of any experts filed with the court pursuant to the order of
             182      examination. The executive director of the Department of Human Services or [his] a designee


             183      may refuse to accept a defendant as a patient unless [he] the defendant is accompanied by a
             184      transportation and commitment order which is accompanied by the reports.
             185          (13) Upon a finding of incompetency to stand trial by the court, the prosecuting and
             186      defense attorneys shall provide information and materials relevant to the defendant's
             187      competency to the facility where the defendant is committed or to the person responsible for
             188      assessing [his] the defendant's progress towards competency. In addition to any other
             189      materials, the prosecuting attorney shall provide:
             190          (a) copies of the charging document and supporting affidavits or other documents used
             191      in the determination of probable cause;
             192          (b) arrest or incident reports prepared by a law enforcement agency pertaining to the
             193      charged offense; and
             194          (c) information concerning the defendant's known criminal history.
             195          (14) The court may make any reasonable order to insure compliance with this section.
             196          (15) Failure to comply with this section [shall] does not result in the dismissal of
             197      criminal charges.
             198          Section 2. Section 77-15-6 is amended to read:
             199           77-15-6. Commitment on finding of incompetency to stand trial -- Subsequent
             200      hearings -- Notice to prosecuting attorneys.
             201          (1) Except as provided in Subsection (5), if after hearing, the [person] defendant is
             202      found to be incompetent to stand trial, the court shall order the defendant committed to the
             203      custody of the executive director of the Department of Human Services or [his] a designee for
             204      the purpose of treatment intended to restore the defendant to competency. The court may
             205      recommend but not order placement of the defendant. The court may, however, order that the
             206      defendant be placed in a secure setting rather than a nonsecure setting. The director or [his] a
             207      designee shall designate the specific placement of the defendant during the period of evaluation
             208      and treatment to restore competency.
             209          (2) The examiner or examiners designated by the executive director to assess the
             210      defendant's progress toward competency may not be involved in the routine treatment of the
             211      defendant. The examiner or examiners shall provide a full report to the court and prosecuting
             212      and defense attorneys within 90 days of arrival of the defendant at the treating facility. If any
             213      examiner is unable to complete the assessment within 90 days, that examiner shall provide to


             214      the court and counsel a summary progress report which informs the court that additional time is
             215      necessary to complete the assessment, in which case the examiner shall have up to an
             216      additional 90 days to provide the full report. The full report shall assess:
             217          (a) whether the defendant is exhibiting false or exaggerated physical or psychological
             218      symptoms, and shall report:
             219          (i) any diagnostic instruments, methods, and observations used by the examiner to
             220      make the determination; and
             221          (ii) the examiner's opinion as to the effect of any false or exaggerated symptoms on the
             222      defendant's capacity to stand trial;
             223          [(a)] (b) the facility's or program's capacity to provide appropriate treatment for the
             224      defendant;
             225          [(b)] (c) the nature of treatments provided to the defendant;
             226          [(c)] (d) what progress toward competency restoration has been made with respect to
             227      the factors identified by the court in its initial order;
             228          [(d)] (e) the defendant's current level of mental disorder or mental retardation and need
             229      for treatment, if any; and
             230          [(e)] (f) the likelihood of restoration of competency and the amount of time estimated
             231      to achieve it.
             232          (3) The court on its own motion or upon motion by either party or by the executive
             233      director may appoint additional mental health examiners to examine the defendant and advise
             234      the court on [his] the defendant's current mental status and progress toward competency
             235      restoration.
             236          (4) Upon receipt of the full report, the court shall hold a hearing to determine the
             237      defendant's current status. At the hearing, the burden of proving that the defendant is
             238      competent is on the proponent of competency. Following the hearing, the court shall determine
             239      by a preponderance of evidence whether the defendant is:
             240          (a) competent to stand trial;
             241          (b) incompetent to stand trial with a substantial probability that the defendant may
             242      become competent in the foreseeable future; or
             243          (c) incompetent to stand trial without a substantial probability that the defendant may
             244      become competent in the foreseeable future.


             245          (5) (a) If the court enters a finding pursuant to Subsection (4)(a), the court shall
             246      proceed with the trial or [such] other procedures as may be necessary to adjudicate the charges.
             247          (b) If the court enters a finding pursuant to Subsection (4)(b), the court may order that
             248      the defendant remain committed to the custody of the executive director of the Department of
             249      Human Services or [his] a designee for the purpose of treatment intended to restore the
             250      defendant to competency.
             251          (c) If the court enters a finding pursuant to Subsection (4)(c), the court shall order the
             252      defendant released from the custody of the director unless the prosecutor informs the court that
             253      commitment proceedings pursuant to Title 62A, Chapter 5, Services [to] for People with
             254      Disabilities, or Title 62A, Chapter 15, Substance Abuse and Mental Health Act, will be
             255      initiated. These commitment proceedings must be initiated within seven days after the court's
             256      order entering the finding in Subsection (4)(c), unless the court enlarges the time for good
             257      cause shown. The defendant may be ordered to remain in the custody of the director until
             258      commitment proceedings have been concluded. If the defendant is committed, the court which
             259      entered the order pursuant to Subsection (4)(c), shall be notified by the director at least 10 days
             260      prior to any release of the committed person.
             261          (6) If the defendant is recommitted to the department pursuant to Subsection (5)(b), the
             262      court shall hold a hearing one year following the recommitment.
             263          (7) At the hearing held pursuant to Subsection (6), except for defendants charged with
             264      the crimes listed in Subsection (8), a defendant who has not been restored to competency shall
             265      be ordered released or temporarily detained pending civil commitment proceedings under the
             266      same terms as provided in Subsection (5)(c).
             267          (8) If the defendant has been charged with aggravated murder, murder, attempted
             268      murder, manslaughter, or a first degree felony and the court determines that the defendant is
             269      making reasonable progress towards restoration of competency at the time of the hearing held
             270      pursuant to Subsection (6), the court may order the defendant recommitted for a period not to
             271      exceed 18 months for the purpose of treatment to restore the defendant to competency with a
             272      mandatory review hearing at the end of the 18-month period.
             273          (9) Except for defendants charged with aggravated murder or murder, a defendant who
             274      has not been restored to competency at the time of the hearing held pursuant to Subsection (8)
             275      shall be ordered released or temporarily detained pending civil commitment proceedings under


             276      the same terms as provided in Subsection (5)(c).
             277          (10) If the defendant has been charged with aggravated murder or murder and the court
             278      determines that [he] the defendant is making reasonable progress towards restoration of
             279      competency at the time of the mandatory review hearing held pursuant to Subsection (8), the
             280      court may order the defendant recommitted for a period not to exceed 36 months for the
             281      purpose of treatment to restore [him to] competency.
             282          (11) If the defendant is recommitted to the department pursuant to Subsection (10), the
             283      court shall hold a hearing no later than at 18-month intervals following the recommitment for
             284      the purpose of determining the defendant's competency status.
             285          (12) A defendant who has not been restored to competency at the expiration of the
             286      additional 36-month commitment period ordered pursuant to Subsection (10) shall be ordered
             287      released or temporarily detained pending civil commitment proceedings under the same terms
             288      as provided in Subsection (5)(c).
             289          (13) (a) In no event may the maximum period of detention under this section exceed
             290      the maximum period of incarceration which the defendant could receive if [he] the defendant
             291      were convicted of the charged offense.
             292          (b) This Subsection (13) does not preclude pursuing involuntary civil commitment nor
             293      does it place any time limit on civil commitments.
             294          (14) Neither release from a pretrial incompetency commitment under the provisions of
             295      this section nor civil commitment requires dismissal of criminal charges. The court may retain
             296      jurisdiction over the criminal case and may order periodic reviews to assess the defendant's
             297      competency to stand trial.
             298          (15) A defendant who is civilly committed pursuant to Title 62A, Chapter 5, Services
             299      [to] for People with Disabilities, or Title 62A, Chapter 15, Substance Abuse and Mental Health
             300      Act, may still be adjudicated competent to stand trial under this chapter.
             301          (16) (a) The remedy for a violation of the time periods specified in this section, other
             302      than those specified in Subsection (5)(c), (7), (9), (12), or (13), shall be a motion to compel the
             303      hearing, or mandamus, but not release from detention or dismissal of the criminal charges.
             304          (b) The remedy for a violation of the time periods specified in Subsection (5)(c), (7),
             305      (9), (12), or (13) [shall] is not [be] dismissal of the criminal charges.
             306          (17) In cases in which the treatment of the defendant is precluded by court order for a


             307      period of time, that time period may not be considered in computing time limitations under this
             308      section.
             309          (18) At any time that the defendant becomes competent to stand trial, the clinical
             310      director of the hospital or other facility or the executive director of the Department of Human
             311      Services shall certify that fact to the court. The court shall conduct a hearing within 15
             312      working days of the receipt of the clinical director's or executive director's report, unless the
             313      court enlarges the time for good cause.
             314          (19) The court may order a hearing or rehearing at any time on its own motion or upon
             315      recommendations of the clinical director of the hospital or other facility or the executive
             316      director of the Department of Human Services.
             317          (20) Notice of a hearing on competency to stand trial shall be given to the prosecuting
             318      attorney. If the hearing is held in the county where the defendant is confined, notice shall also
             319      be given to the prosecuting attorney for that county.




Legislative Review Note
    as of 11-3-11 7:48 AM


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