SUPERIOR COURT OF NEW JERSEY
APPELLATE DIVISION
A-2596-02T4
STATE OF NEW JERSEY,
Plaintiff-Respondent,
v.
STEVEN MARUT,
Defendant-Appellant.
__________________________________
Argued April 29, 2003 - Decided June 27, 2003
Before Judges Skillman, Cuff and Winkelstein.
On appeal from Superior Court of New Jersey,
Law Division, Mercer County, Indictment No.
00-05-0500.
William Anklowitz, Assistant Deputy Public
Defender, argued the cause for appellant
(Yvonne Smith Segars, Public Defender,
attorney; Mr. Anklowitz, on the brief).
Daniel G. Giaquinto, Mercer County
Prosecutor, attorney for respondent,
submitted a letter stating that the State
takes no position regarding the issue
presented by this appeal.
The opinion of the court was delivered by
SKILLMAN, P.J.A.D.
Defendant appeals, by leave of court, from an order which
appointed Anne C. Singer, Esq. "amicus counsel on behalf of
defendant . . . for purposes of investigating and presenting any
arguments . . . (1) relative to defendant's ability to make a
knowing, intelligent, and voluntary waiver of the insanity
defense, including his comprehension of the consequences of
failing to assert the defense, and (2) in favor of defendant
Marut pursuing an insanity defense" and directed defense counsel
to assist amicus counsel in making arrangements to meet with
defendant. We reverse because the court's direction to amicus
counsel to assess the strength of other defenses available to
defendant exceeds the scope of the inquiry required to determine
competency to waive an insanity defense, an interview of
defendant by amicus counsel could result in a violation of
defendant's privilege against self-incrimination, and such an
interview of defendant also would intrude into the attorney-
client relationship between defense counsel and defendant.
On May 12, 2000, a Mercer County grand jury returned an
indictment charging defendant with murdering his mother. The
grand jury also charged defendant with aggravated arson and
hindering apprehension.
On the date of the alleged offenses, August 10, 1999, East
Windsor police officers were dispatched to the home of
defendant's mother, which was engulfed in flames. After the fire
was extinguished, the mother's charred remains were found in the
basement. The medical examiner concluded that she was killed by
a "blunt force trauma to the head," which had occurred before the
fire. The next day, the police located defendant sleeping in a
dumpster and arrested him. A forensic analysis of the shirt and
pants defendant was wearing showed the presence of the victim's
DNA. After the police administered Miranda warnings, defendant
invoked his right to remain silent. Defendant also has refused
to discuss the crime with the defense and court-appointed
psychiatrists.
A substantial period has elapsed since the indictment during
which psychiatric evaluations of defendant have been conducted to
determine his competency to stand trial and his mental state at
the time of the crime.
On March 28, 2001, Dr. John J. Verdon, Jr., the psychiatrist
retained by the defense, provided a report which concluded that
defendant suffers from "schizophrenia paranoid type" and alcohol,
cocaine and cannabis dependence. Verdon also concluded that
defendant "was competent to either enter a plea or proceed to
trial." Regarding defendant's state of mind at the time of his
mother's alleged murder, Dr. Verdon said:
Because of his psychotic condition, still
present on February 21, 2001, the defendant
could not cooperate fully with this
psychiatrist in this evaluation.
Therefore, I am not able to render a
definitive opinion regarding his mental state
at the time of this crime.
However, I have no doubt that Steven Marut
was floridly psychotic when these events
transpired.
Further, this psychiatrist is unable to
assess the degree of disruption that this
psychosis caused to the defendant's rational
thought process. Marut's capacity for such
rational thinking was impaired but the
precise manner of that disorganization could
not be determined without the defendant
describing his thought patterns to me.
At the time of the crime, the defendant,
Steven Marut, was suffering from the delusion
that he had been assaulted sexually as a
young child; that his mother possessed
knowledge of same, and that she failed to do
anything to right the wrong. Therefore, it
is highly probable that at the time of these
tragic events, Steven Marut knew the nature
and quality of his actions but, because of a
disordered mental state, did not know that
what he was doing was wrong.
Verdon's report also indicated that defendant refused to take
anti-psychotic medications.
On August 16, 2002, Dr. Verdon provided a supplemental
report which reaffirmed his prior conclusions regarding
defendant's mental state at the time of the alleged murder, and
also stated:
[I]t is likely that the defendant was cocaine
intoxicated at the time of these tragic
events; but I do not have the defendant's
confirmation of same since he refused to
discuss these matters with me. Such cocaine
intoxication would compound his florid
Schizophrenic Psychosis, impairing further
the defendant's capacity to know the
wrongfulness of his action.
However, Verdon retracted his previous opinion regarding
defendant's competency to stand trial:
[U]pon further reflection, it is my current
opinion that for the defendant to
persistently refuse to cooperate with the
expert psychiatrist, retained by his attorney
to assist in the crafting of his defense,
indicates that Marut's Competence to Proceed
is compromised.
At the time of my February 21, 2001
examination . . ., I clearly informed
[defendant] that it was necessary for him to
discuss these matters with me so that I could
formulate an opinion regarding his
culpability in these matters. Marut
dismissed my entreaties, indicating that I
had not established a therapeutic
relationship with him; that there was no
foundation for him to trust me in these
personal matters. I advised your client that
I was not his treating psychiatrist, that
time did not permit me to conduct a series of
sessions with him so that he could develop a
trusting rapport with me.
You have advised me that Steven Marut still
refuses to discuss these matters with this
psychiatrist. Therefore, the defendant's
inability to do so leaves me to conclude,
with a reasonable degree of medical
certainty, that Marut's Mental Competence to
Proceed is significantly impaired.
The court-appointed psychiatrist, Dr. Charles F. Martinson,
provided a report dated December 24, 2001, which concluded that
defendant was competent to stand trial:
My efforts to conduct a complete mental
status evaluation of [defendant] and to
develop some impression as to his present
competency were thwarted by the fact that his
responses to my questions were defensive and
guarded and that he refused outright to
discuss a number of topics with me. For
example, he refused to discuss the nature of
the charges against him or the circumstances
giving rise to those charges without presence
of counsel and, while this was certainly
reasonable from a legal perspective, it did
deprive me of clinical information which
might have assisted in my evaluation of
[defendant]. He refused to discuss his
current mental or emotional symptoms and
refused to discuss any history of psychiatric
treatment.
. . . .
Mr. Marut's presentation in the medical
records which I had an opportunity to review
at the Workhouse would suggest that Mr. Marut
suffers from a psychotic disorder. In my
view, he remains guarded and paranoid. . . .
Although the question is a difficult one,
given Mr. Marut's refusal to cooperate, I saw
nothing in his paranoid preoccupation which
would, in itself, interfere with his ability
to work with counsel or render him
incompetent to stand trial on the charges
against him.
Dr. Martinson did not express any opinion regarding defendant's
mental state at the time of the crime.
Defense counsel filed a motion to determine whether
defendant "may waive or pursue an insanity defense." At a
hearing on the motion, defendant told the trial court that he did
not want to pursue an insanity defense. When asked the reason
for this decision, defendant said: "Because I'm not insane."
Defendant also stated that he wanted a trial on the charges
"[b]ecause I forsee myself a free man walking from this."
At the conclusion of this hearing, the trial court stated:
Clearly Mr. Marut appeared very lucid
today and appeared to understand the
information that was presented to him
acknowledging he had heard it before and had
discussed it with his attorneys. There are
some responses, however, that suggest that a
further evaluation of his mental ability to
make this decision needs further development.
Therefore, I'll reserve decision . . .
whether or not Dr. Martinson should be asked
for an opinion regarding the limited issue of
Mr. Marut's ability under his current
diagnosis to make a decision as significant
as this despite Dr. Martinson's opinion in
his December 2001 report, and we will also
ask for more information regarding the . . .
effects of the medication of Mr. Marut has
been on since May of 2000.
At a status conference held on August 27, 2002, the court
announced its tentative decision to appoint an amicus counsel to
assist the court regarding defendant's capacity to waive an
insanity defense:
The concern that I have regarding the
competency of Mr. Marut to waive the insanity
defense is that Dr. Martinson's opinion
regarding that issue as well as Mr. Marut's
competency to stand trial is limited to
information that Mr. Marut was willing to
share with him. His history of psychiatric
treatment, and the facts and circumstances of
the discovery regarding this case were among
the issues that Mr. Marut refused to discuss
with Dr. Martinson, therefore, this Court is
not in the position to conclude, based upon
those deficiencies, that Mr. Marut is capable
of waiving the insanity defense.
Rather than . . . create a conflict
between [defense counsel] and Mr. Marut on
this issue, there obviously being a
difference in opinion and the Court not being
satisfied of the defendant's competency in
reaching that opinion regarding whether or
not it is in his best interest to waive the
insanity defense or not, it is my intention
to appoint an amicus defense counsel for a
limited purpose, that would be to investigate
these issues, specifically the evaluations
done so far, the discovery in the State's
file. It would also be within the authority
of the amicus defense counsel to request that
this Court order any supplementary
evaluations of Mr. Marut, either by Dr.
Martinson or another expert, and finally, to
offer an argument on behalf of Mr. Marut,
which there might exist, in favor of raising
the insanity defense.
. . . .
My reasons for taking this step are the
following. My review of the transcript of
the hearing of March 19th, 2002 and some of
the responses made by Mr. Marut including his
stated reason for not wanting to raise the
insanity defense, which consists of only his
opinion that he foresees himself a free man,
walking from this. There were no other
reasons when he was asked again [what] he
could offer in support of his decision to
waive the insanity defense and I have some
concerns about whether or not that is
realistic. This Court, of course, is not
privy to the State's file and should not be
put in a position of having to decide what
the State's chances of successfully
prosecuting Mr. Marut would be.
. . . .
It's not clear to this Court, based on
the information available to me, if there are
other defenses which are realistically
available to the defendant, nor am I
satisfied that the defendant is capable of
realistically evaluating these defenses,
prior to making his decision regarding waiver
of the insanity defense.
So, it is the Court's theory that the
attorney that would be appointed as an amicus
would realistically evaluate other defenses
and would act in the position of the
defendant, assuming that he had a full level
of competency and make arguments that he
would make on his own behalf, assuming full
competency.
On October 22, 2002, the court entered the previously quoted
order appointing amicus counsel on behalf of defendant.
On January 7, 2003, the court sent a letter responding to
several questions posed by amicus counsel concerning her
responsibilities:
1. In response to your question about the
presence of the prosecutor during your
meeting with Mr. Marut, I advised you that it
would be inappropriate for the prosecutor to
be present. [Defense counsel] should be
present to introduce you to Mr. Marut and
explain your role in the case. However, you
should have the opportunity to have a
confidential conversation with Mr. Marut.
[Defense counsel] may remain while you speak
to Mr. Marut.
2. You inquired about the propriety of
[defense counsel] sharing with you his
assessment of defenses available to Mr. Marut
and his case strategy. I anticipated that
you would reach your own conclusions
regarding the defenses available to Mr. Marut
and the viability of the defenses based upon
your personal review of discovery materials.
On that same day, defense counsel sent a letter to the court
which stated in part:
The Court has imposed an "amicus"
counsel, Anne Singer, Esquire, in this case.
I am unclear what Ms. Singer needs to meet
with Mr. Marut about. Ms. Singer is neither
a psychiatrist nor Mr. Marut's attorney. Mr.
Marut has not been determined to be
incompetent to proceed. As a competent adult
he is not under any sort of guardianship
. . . .
The informality suggested by the court's use
of the word "meeting" . . . gives rise to
other concerns. . . .
The concerns begin with Mr. Marut's
fifth amendment privilege to remain silent
and his sixth amendment right to counsel. He
has precisely avoided discussing the merits
of this case, namely the facts of what
happened on August 10, 1999, with two
psychiatrists, Dr. Verdon and the court
appointed Dr. Martinson, and he asserted his
right to remain silent and for an attorney
while still in custody of the arresting
municipal police department in August 1999.
. . . As I understand the Order, Mr. Marut is
not required to speak with Ms. Singer, but I
am supposed to help arrange a meeting. So,
if Mr. Marut does not want to speak with her
he does not have to. If he does not have to
speak with her, and I am his attorney, then I
should be able to decline such a meeting on
his behalf in protection of his fifth
amendment rights. If the court agrees that
this line of reasoning is correct then I
assert my client's fifth amendment privilege
on his behalf and hereby decline to
facilitate such a meeting.
Mr. Marut is presently at the Mercer
County Correction Center and, upon discussion
with Ms. Singer, I believe she intends to ask
him about the merits of the case. Such
custodial interrogation might yield
statements that could be used against him.
As such, Ms. Singer would need to give him
his Miranda warnings before speaking with him
and, if he then chose to speak, she would
need to obtain an appropriate waiver of his
rights. I am concerned that with my
investigator and me sitting there while this
might be going on, that the relationship and
trust that I have with my client would suffer
permanent erosion. Frankly, I am concerned
that my client will take the perspective that
rather than protecting him from this sort of
situation that I am helping to facilitate a
potential pitfall for him.
. . . .
Further, there may be reasons why Mr.
Marut does not want an insanity defense that
must be kept confidential. Even if Mr. Marut
had an insanity defense, can anyone recall
what percentage of insanity defenses in
murder cases have been successful in Mercer
County in the last decade or two decades?
This exemplifies why imposition of "amicus"
is so unfair. I have no way of explaining
the reasons for this decision without
exposing defense strategy. . . .
If the Court is finding some difficulty
in making a decision as to whether to waive
the insanity defense because the psychiatric
reports are unclear, then a hearing for the
psychiatrists to appear should be scheduled
. . . .
With potential availability of testimony
of one or both psychiatrists and the
availability of a thirty day evaluation,
there is no need for an amicus counsel, nor
is there especially any reason such counsel
needs to meet with my client and open up so
many issues.
On January 9, 2003, the court entered a supplemental order,
which states in pertinent part:
1. The Prosecutor shall not be present
during Amicus Counsel's meeting with Steven
Marut;
2. Defense Counsel should be present to
introduce Amicus Counsel to Steven Marut and
explain Amicus Counsel's role in the case;
3. Amicus Counsel shall have the opportunity
to have a confidential conversation with
Steven Marut;
4. Defense Counsel may be present, but is
not required to be present, during the
conversation between Amicus Counsel and
Steven Marut;
5. Defense Counsel is not required to share
either the assessments of defenses available
to Steven Marut or assessments of defense
strategy;
Defendant then filed a motion for leave to appeal from the
October 22, 2002, order appointing amicus counsel and the January
9, 2003 supplemental order, which we granted.
The Code of Criminal Justice prescribes the standard for an
insanity defense:
A person is not criminally responsible
for conduct if at the time of such conduct he
was laboring under such a defect of reason,
from disease of the mind as not to know the
nature and quality of the act he was doing,
or if he did know it, that he did not know
what he was doing was wrong.
[N.J.S.A. 2C:4-1.]
The Code also prescribes the standards for determining an
accused's competency to stand trial:
a. No person who lacks capacity to
understand the proceedings against him or to
assist in his own defense shall be tried,
convicted or sentenced for the commission of
an offense so long as such incapacity
endures.
b. A person shall be considered mentally
competent to stand trial on criminal charges
if the proofs shall establish:
(1) That the defendant has the mental
capacity to appreciate his presence in
relation to time, place and things; and
(2) That his elementary mental processes are
such that he comprehends:
(a) That he is in a court of justice charged
with a criminal offense;
(b) That there is a judge on the bench;
(c) That there is a prosecutor present who
will try to convict him of a criminal charge;
(d) That he has a lawyer who will undertake
to defend him against that charge;
(e) That he will be expected to tell to the
best of his mental ability the facts
surrounding him at the time and place where
the alleged violation was committed if he
chooses to testify and understands the right
not to testify;
(f) That there is or may be a jury present
to pass upon evidence adduced as to guilt or
innocence of such charge or, that if he
should choose to enter into plea negotiations
or to plead guilty, that he comprehend the
consequences of a guilty plea and that he be
able to knowingly, intelligently, and
voluntarily waive those rights which are
waived upon such entry of a guilty plea; and
(g) That he has the ability to participate
in an adequate presentation of his defense.
[N.J.S.A. 2C:4-4.]
In addition, the Code sets forth procedures for determining
an accused's competency to stand trial. N.J.S.A. 2C:4-5(a)
provides:
Whenever there is reason to doubt the
defendant's fitness to proceed, the court may
on motion by the prosecutor, the defendant or
on its own motion, appoint at least one
qualified psychiatrist to examine and report
upon the mental condition of the defendant.
N.J.S.A. 2C:4-5(c) provides:
If the examination cannot be conducted
by reason of the unwillingness of the
defendant to participate therein, the report
shall so state and shall include, if
possible, an opinion as to whether such
unwillingness of the defense was the result
of mental incompetence.
If the court receives such a report, it
may permit examination without cooperation,
may appoint a different psychiatrist or
licensed psychologist, or may commit the
defendant for observation for a period not
exceeding 30 days except on good cause shown,
or exclude or limit testimony by the defense
psychiatrist or licensed psychologist.
[N.J.S.A. 2C:4-5(c).]
Although we have not been provided with an order determining
that defendant is competent to stand trial, the trial court
apparently made this determination at some point before
appointing amicus counsel.
In State v. Khan,
175 N.J. Super. 72 (App. Div. 1980), this
court considered the standards that govern a court's
determination of a defendant's competency to waive an insanity
defense. We endorsed the conclusion of Frendak v. United States,
408 A.2d 364, 378 (D.C. 1979) "that 'if a defendant has acted
intelligently and voluntarily, a trial court must defer to his or
her decision to waive the insanity defense[,]'" but the court
". . . retain[s] the discretion to raise the insanity defense sua
sponte 'when a defendant does not have the capacity to reject the
defense.'" Id. at 81. Frendak also suggested procedures for
determining a defendant's competency to waive an insanity
defense:
. . . [W]henever the evidence suggests a
substantial question of the defendant's
sanity at the time of the crime, the trial
judge must conduct an inquiry designed to
assure that the defendant has been fully
informed of the alternatives available,
comprehends the consequences of failing to
assert the defense, and freely chooses to
raise or waive the defense . . .
If the judge finds that the defendant is
capable of making a voluntary and intelligent
decision to forego an insanity defense, the
judge must respect the defendant's
decision. . . . If, on the other hand, the
judge is convinced that the defendant can not
or has not made such a voluntary and
intelligent waiver, the judge has the
discretion to raise that defense sua sponte.
[Ibid. (quoting Frendak, supra, 408 A.
2d at
380-81).]
Although we found the procedures set forth in Frendak
"largely persuasive," we expressed some reservations concerning
the scope of the suggested hearing:
[The hearing] should not be converted into a
second competency hearing, which would be the
case if Frendak were followed in its
entirety. Frendak speaks of a defendant's
"capab[ility] of rationally deciding to
reject the defense." Referring to Faretta
and Alford, supra, in which the Supreme Court
permitted defendants to waive constitutional
rights only after the trial judge had assured
himself that the accused was capable of
making a voluntary and intelligent choice,
Frendak emphasizes that the trial judge must
seek the same type of assurance when a
defendant chooses to reject an insanity
defense. 408 A.
2d at 378. But any
determination that defendant did not have the
mental capacity to make that choice would
necessarily conflict with the criterion in
N.J.S.A. 2C:4-4b(2)(f), essential to a
determination of a defendant's fitness to
proceed, that the defendant, as to plea
negotiations or a guilty plea, "be able to
knowingly, intelligently and voluntarily
waive those rights which are waived upon such
entry of a guilty plea." If the same kind of
assurance were to be required in the case of
a defendant's waiving the defense of
insanity, it could not be said logically that
a person found competent to stand trial may
nevertheless, under the same standard, be
incompetent to make a knowing, intelligent
and voluntary choice to forego the defense of
insanity.
. . . It is our view that, once
defendant's competency to stand trial is
established . . . and a further hearing is
held on the matter of his waiving the defense
of insanity, the inquiry into whether the
choice was knowing, intelligent and voluntary
should be in terms of defendant's awareness
of his rights and available alternatives, his
comprehension of the consequences of failing
to assert the defense and the freeness of the
decision to waive the defense, and should
avoid an incursion into the area of mental
capacity which might develop into an
irreconcilable conflict with the finding of
competency to stand trial.
The trial judge's task here will be an
extremely difficult one. There can be no
doubt that there is a fragile dividing line
between defendant's competency to stand trial
and, should he again be found competent in
that regard, his ability to make a knowing,
intelligent and voluntary waiver of the
insanity defense.
[Id. at 82-83.]
In State v. Cecil,
260 N.J. Super. 475 (App. Div. 1992),
certif. denied,
133 N.J. 431 (1993), we reaffirmed the
conclusions reached in Khan regarding a trial court's
determination of a defendant's competency to waive an insanity
defense. Cecil was charged with terroristic threats and other
offenses based on his announcement, during a hearing in the Union
County Court House, that he was carrying a bomb in a briefcase
which he had "just clicked on." Cecil demanded that President
Bush be brought from a local high school, where he was speaking,
to the Court House. Court officers grabbed Cecil and took the
briefcase, which was found not to contain any explosives. Cecil
admitted what he had done but claimed he had been acting under
duress. According to Cecil, two men with guns came to his house,
placed what they said was a bomb in his briefcase and,
threatening to harm his daughters, ordered him to take the
briefcase to the Court House and instruct the judge to bring the
President to the courtroom.
Believing that Cecil's account of the events leading up to
the crime was delusional, defense counsel urged him to interpose
an insanity defense. Cecil, however, rejected defense counsel's
advice and told the court he would "not pursue an insanity
defense [because] I'm not insane."
On appeal from his convictions, Cecil argued that his
"defense at trial was the product of a hallucinatory or
delusional psychotic episode" and that the trial court erred in
"allowing him to forego the defense of insanity." Id. at 477-78.
We considered "[t]he critical question . . . to be whether
defendant's apparent certainty about the reality of his
delusional or hallucinatory experience precluded such a voluntary
waiver of the insanity defense." Id. at 487. Applying the
principles set forth in Khan, we concluded that defendant had
been competent to waive an insanity defense:
He was advised by his attorney in the court's
presence "that the insanity defense would
stand a great chance of success." To this he
responded "I understand exactly what my
attorney has told me," but remained steadfast
in his determination not to assert the
defense. It was further stated before the
court by defendant's attorney that there was
no question but that defendant was competent
to stand trial and that "he has the right to
make a decision as to whether or not he wants
to pursue the insanity defense."
Although, as in Khan, "it appears
doubtful that defendant can ever be convinced
that [the alleged hallucinated event did not
happen] and that his belief to the contrary
is the product of a disordered mind," Khan,
supra, 175 N.J. Super. at 83, he was able to
comprehend counsel's effort to help him
distinguish between subjective and objective
reality and determine the course to be
followed in his defense. In deciding to rely
on his own perceptions, rather than to accept
professional counsel to the effect that those
perceptions were faulty, defendant should
have known that he would be fully accountable
for the risks inherent in whichever choice he
made. We therefore conclude that defendant
was able to make a knowing, intelligent and
voluntary waiver of his right to assert the
defense of insanity. . . .
[Id. at 489-90.]
The Code provisions relating to the insanity defense and
competency to stand trial and our decisions in Khan and Cecil
interpreting those provisions contain no authorization for
appointment of an amicus counsel on behalf of a defendant who
seeks to waive a potential insanity defense. The idea of
appointing amicus counsel appears to have been derived from
Frendak, the District of Columbia Court of Appeals decision
relied upon in Khan. After noting that a court may be able in
some cases to satisfy itself of a defendant's competency to waive
an insanity defense simply by questioning him, the Frendak court
stated:
In other cases, the judge still may have
doubts after such an inquiry and may desire
additional information. In those situations
the judge may order psychiatric examinations
to determine whether the defendant's mental
condition has impaired his or her ability to
decide whether to raise the defense. At this
point, the judge may choose to appoint amicus
counsel to present evidence concerning the
defendant's mental capacity.
[408 A.
2d at 480 (emphasis added).]
However, Khan did not comment on this part of Frendak. Moreover,
Frendak does not indicate that amicus counsel would have
authority to interview the defendant, thereby creating a risk of
defendant incriminating himself and intruding into the attorney-
client relationship.
We conclude that there was no basis for appointing amicus
counsel for the purpose of investigating defendant's capacity to
waive an insanity defense and presenting arguments in favor of
his assertion of this defense.See footnote 11 Initially, we note that although
the order appointing Ms. Singer refers to her as "amicus counsel
on behalf of defendant," the court assigned responsibilities to
her which are likely to create an adversarial relationship with
defendant. Defendant has clearly indicated that he does not want
to pursue an insanity defense. However, amicus counsel's
investigation could result in her reporting to the court that
defendant is not competent to make this decision and that an
insanity defense should be asserted against his wishes.
Therefore, amicus counsel's actual role is not to represent
defendant but rather to assist the court in deciding whether
defendant is competent to waive an insanity defense and, if not,
whether an insanity defense should be asserted on his behalf.
Cf. Briggs v. United States,
597 A.2d 370, 374-75 (D.C. 1991)
("Amicus does not act as defendant's representative, but as a
friend of the court which considers amicus' presentation in
deciding whether to impose an insanity defense on defendant.").
Moreover, the trial court seems to have assumed that the
determination whether defendant is competent to waive an insanity
defense involves consideration of whether such a waiver would be
in his best interests. The order appointing amicus counsel
directs her not only to investigate "defendant's ability to make
a knowing, intelligent, and voluntary waiver of the insanity
defense," but also to present arguments "in favor of defendant
. . . pursuing an insanity defense." Explaining this part of its
order, the trial court's oral opinion expressed concern that
defendant may not have a "realistic" understanding of the
likelihood of a trial resulting in an acquittal and indicated
that amicus counsel should "realistically evaluate other defenses
[available to defendant]." However, as we indicated in Khan,
"[i]f the judge finds that the defendant is capable of making a
voluntary and intelligent decision to forego an insanity defense,
the judge must respect the defendant's decision[,]" regardless of
the wisdom of that decision or the likelihood defendant will be
acquitted. 175 N.J. Super. at 81 (quoting Frendak, supra, 408
A.
2d at 380-81). Thus, even though it may have been obvious to
both defense counsel and the trial court in Cecil, that the
duress defense which Cecil insisted upon presenting to the jury
stood little chance of resulting in an acquittal, we nevertheless
upheld the court's finding that "defendant was able to make a
knowing, intelligent and voluntary waiver of his right to assert
the defense of insanity." 260 N.J. Super. at 490; see also H.
Richard Uviller, Calling the Shots: The Allocation of Choice
Between the Accused & Counsel in the Defense of a Criminal Case,
52 Rutgers L. Rev. 719, 753 (2000) ("[A] mentally competent, and
fully advised defendant . . . must be allowed to decide whether
or not to defend on grounds of insanity, even if contrary to the
sage advice of counsel and inimical to his interests as discerned
by the court.").
Furthermore, a defendant may have reasons other than the
likelihood a trial will result in an acquittal for refusing to
pursue an insanity defense including "fear of lengthy
institutional commitment in the event of an insanity acquittal
[and] avoidance of the stigma of insanity [and] loss of
consequential legal rights." Khan, supra, 175 N.J. Super. at 81;
see also State v. Jones,
664 P.2d 1216, 1220-21 (Wash. 1983);
Anne C. Singer, The Imposition of the Insanity Defense on an
Unwilling Defendant, 41 Ohio St. L. J., 637, 637-39 (1980). In
fact, our Supreme Court has observed in dictum, citing Khan, that
"there is considerable force behind the position that a competent
defendant may reject the defense of insanity for any number of
reasons." State v. Ramseur,
106 N.J. 123, 271 n.62 (1987).
Consequently, the court's direction to amicus counsel to evaluate
the strength of the other defenses that would be available to
defendant if he waives an insanity defense goes beyond the scope
of the inquiry required to determine whether defendant is
competent to make this decision.
In addition, we agree with defendant that the direction that
amicus counsel be afforded "the opportunity to have a
confidential conversation" with defendant could result in a
violation of defendant's privilege against self-incrimination.
Although defendant has thus far steadfastly refused to discuss
the crime with anyone, it is possible he could make incriminating
statements in the course of his conversations with amicus
counsel. The attorney-client privilege would not apply to such
statements, because amicus counsel is not defendant's counsel,
and the privilege provided by N.J.S.A. 2C:4-5(b) and N.J.S.A.
2C:4-10 for statements to a psychiatrist or psychologist
appointed to submit a report concerning a defendant's competency
to stand trial would not apply because amicus counsel is not a
psychiatrist or psychologist. Therefore, there is a risk that
amicus counsel's purported "confidential conversation" with
defendant could result in defendant making an unprivileged
incriminating statements that amicus counsel could be required to
disclose. See State v. Obstein,
52 N.J. 516, 525-27 (1968).
Moreover, defense counsel's previously quoted January 7,
2003 letter to the trial court indicates he has concluded that a
meeting between amicus counsel and defendant would not be in his
client's best interests. Nevertheless, the court's supplemental
order of January 9, 2003, requires defense counsel to facilitate
this meeting by "introduc[ing] Amicus Counsel to [defendant] and
explain[ing] Amicus Counsel's role in the case." Defense counsel
properly expresses concern that compliance with this directive
could lead defendant to question whether defense counsel is
protecting his interests, thereby undermining defense counsel's
relationship with his client. Our courts have repeatedly
cautioned that a trial court should not intrude into a defense
attorney's relationship with the defendant. See, e.g., State v.
Savage,
120 N.J. 594, 629-30 (1990). Therefore, the court's
directive to defense counsel to facilitate a "confidential
conversation" between amicus counsel and defendant constitutes an
unwarranted intrusion into the sanctity of the attorney-client
relationship.
We also note that the few cases that have approved
appointment of amicus counsel in connection with proceedings to
determine a defendant's competency to waive an insanity defense
have assigned a more limited role to that counsel than the trial
court assigned to Ms. Singer. For example, the court in Frendak
suggested the appointment of amicus counsel "to present evidence
concerning the defendant's mental capacity [to waive an insanity
defense]," apparently anticipating that neither the prosecutor
nor defense counsel would perform this role.See footnote 22 However, Frendak
does not suggest that it would be appropriate for an amicus
counsel to interview the defendant, evaluate the strengths of the
State's case or the defenses other than insanity available to
defendant or make any recommendation to the court concerning how
it should rule upon the question of defendant's competency to
waive an insanity defense. Cf. Briggs, supra,
597 A.2d 370
(noting that the court (the same court that had decided Frendak)
was "not convinced that there is a special and compelling need to
expand the function of amicus in cases involving mental
competency beyond the function amicus serves in other areas of
litigation."). Although we assume the trial court will schedule
a hearing concerning defendant's competency to waive an insanity
defense, it has not yet done so. Therefore, we express no
opinion regarding the appropriateness of appointment of an amicus
counsel with the limited role envisioned by Frendak.
Accordingly, the October 8, 2002 and January 9, 2003 orders
providing for appointment of amicus counsel are reversed.
Footnote: 1 1 This opinion deals solely with the procedures relating to a trial court's determination of whether a defendant can make a knowing, intelligent and voluntary waiver of the right to assert an insanity defense. We do not deal with the procedures that would apply if the defendant were found incompetent to waive an insanity defense. Footnote: 2 2 A law review article authored by the amicus counsel appointed in this case suggests a role for amicus counsel that is somewhat broader than that provided in Frendak but more limited than what amicus counsel is required to do under the orders that are the subject of this appeal. See Singer, supra, 41 Ohio St. L.J. at 663-64.