Lead Opinion
The State of Illinois has forced prisoner Albert J. Sullivan to take mind-altering drugs against his will for the past five years. In this suit under 42 U.S.C. § 1988, he argues that he has a due process right to stop taking medication long enough to show the state that he does not need it. Illinois administers psychotropic drugs to Sullivan under Section 415.70 of the Department of Corrections Rules, using procedures similar to those approved by the Supreme Court in Washington v. Harper,
I
The briefs provide only sketchy details of Sullivan’s history. In 1968 he pled guilty to and began serving a 17-year sentence for armed robbery and rape. People v. Sullivan,
Sullivan was incarcerated at Stateville prison in February 1988, where doctors detected “a deterioration of plaintiffs mental health” (magistrate’s report at A-28) and began giving him Haldol, an anti-psychotic drug.
Sullivan’s complaint initiated an unusual and ultimately time-consuming series of procedural events. After a year of motions and answers (Sullivan gained a lawyer), in June 1989 a magistrate judge considered defendants’ motion for summary judgment and Sullivan’s plea for a temporary restraining order (TRO). The magistrate found that Haldol produced severe side effects on Sullivan but denied his TRO motion because the drug was administered “by mental health professionals on the basis of valid, professional observations and considerations.” A-28 (June 30,1989). The district court agreed that Sullivan was not entitled to a-TRO, but remanded the case for a determination of whether defendants dénied Sullivan due process when they first forced him to take Hal-dol. Sullivan appealed the TRO denial in September 1989, and briefing was delayed pending the outcome of Washington v. Harper,
Harper, decided in February 1990, established that prison inmates in the State of Washington had a liberty interest in refusing drug treatment that was protected under the due process clause of the Fourteenth Amendment.
Over the years doctors have diagnosed Sullivan as suffering from mental illnesses variously characterized as paranoid delusions or schizophrenia. His current diagnosis is for “bipolar affective disorder” (not explained in the briefs), which means that he has severe mood disturbances that swing between mania and depression. Diagnostic and Statistical Manual of Mental Disorders (III-R) at 225, 452-453. Sullivan’s relationship with his current physician is also noteworthy. In April 1989 he explained to the magistrate: “About every three weeks, * * * I ask [Dr. Parwatikar] to take me off of the anti-psychotic drugs and he say, no, I can’t do that because of your past record.” Tr. at 11. Sullivan also noted, “We’ve never had a long conversation. He’s the type of psychiatrist his mind is made up about me. * * * Talking to him is like talking to a brick wall. He feels that I need the medication as long as I live.” Tr. at 22. Dr. Parwatikar, for his part, stated: “The need for Mr. Sullivan being on anti-psychotic medication is quite clear from the past history. During the period of 1972 thru 1982 * * * [he] had 59 assaultive episodes * * *. Thus, it is quite essential that Mr. Sullivan must be on some sort of anti-psychotie medication for the rest of his life.” -Affidavit at 2, R. tab 30. Since 1988, Sullivan’s Haldol doses have been gradually reduced from 100 mg per day to 8 mg per day as of May 7, 1991. Dr. Parwatikar has sworn that “Sullivan is mentally ill and enforced medication is necessary for his treatment” and “necessary to prevent [his] becoming a danger to others.” Affidavit at 1, R. tab 60.
There are two legal issues in this case; each raises separate factual questions. First we must determine whether defendants have qualified immunity for their pr e-Harper treatment of Sullivan. In his 1989 hearing
I request an examination by an independent psychiatrist, who is not on the state payroll, because the way it is now, at the Menard Psychiatric Center, the Warden and the psychiatrist have the final say. If they say I’m paranoid schizophrenic or if they say I’m psychotic or neurotic, I have no one to appeal to * * *. They have absolute power over the patients, over the prisoners there. They have absolute power. * * * That’s a deprivation of due process * * *.
Tr. at 16. Harper made clear that Sullivan was not entitled to a review by a psychiatrist from outside the prison,
Second, we must determine whether Illinois’ post-Harper rules governing involuntary medication of prisoners are unconstitutional as applied to Sullivan. Sullivan claims that he has the right to be drug-free long enough to satisfy his jailers that he can behave without being forced to take anti-psychotic drugs, and he stresses that since he returned to Menard his behavior has been exemplary. He developed this theory of his case pro se in 1989:
Since I’ve been back these past three years * * * I’ve not been in one fight. I’ve not had one incident, argument with anybody. They’re still talking about ’72 to ’82, things I did way back then. * * * I’m a new man now. I’m older and wiser. I’m forty-four years old now, and I’m able to change my behavior and my habit because I’m not a robot.
Tr. at 18. Sullivan concluded, “I want to be taken off of all anti-psychotic drugs and given an opportunity to prove I don’t need it. How can I prove I don’t need it if you never take me off of it?” Tr. at 20. His able attorney, Dean of the Arkansas law school at Little Rock, has not needed to embellish the power of Sullivan’s pro se argument.
To resolve Sullivan’s claims this Court must review Illinois’ pre- and post-Harper procedures and study Harper to determine the contours of a prisoner’s right to refuse psychotropic medication. We review the grant of summary judgment de novo and uphold the district court’s judgment if there are no disputed issues of material fact and the defendants must prevail as a matter of law. Sherman v. Four County Counseling Center,
II
The watershed date in this case is February 1990, when the Supreme Court decided Harper. Before 1990 Illinois provided for medication of prisoners without their consent under a 1986 IDOC Administrative Directive.
Defendants argue that they enjoy qualified immunity from suit for their preHarper actions because they treated Sullivan under a valid administrative rule that did not violate his known rights. “Qualified immunity” shields government officials from liability for discretionary acts that do not violate “clearly established statutory or constitutional rights of which a reasonable person would have known.” Harlow v. Fitzgerald,
The cases Sullivan relies on actually suggest that Illinois’ pre-1990 procedures for involuntary medication of prisoners were constitutional. As of 1990, this Circuit had not delineated any clear “due process” requirements that states had to follow to force
Before 1990 the Supreme Court reviewed the due process rights of mentally ill wards of the state and concluded that a treatment decision made by a qualified physician was “presumptively valid.” Youngberg,
Outside this Circuit, pre-Harper case law on forced drugging of prisoners pointed in conflicting directions, which again defeats Sullivan’s argument that defendants’ 1988-1990 procedures violated clearly established constitutional norms. Bee v. Greaves held that “forcible medication with anti-psychotic drugs is [not] ‘reasonably related’ * * * to the concededly legitimate goals of jail safety and security,”
Two recent decisions by this Court also show that defendants are entitled to qualified immunity for their pre-1990 treatment of Sullivan. Sherman v. Four County Counseling Center,
HI
Perhaps to resolve some of the conflicting mandates in the jurisprudence discussed above, hi 1990 the Supreme Court decided Harper,
Shortly after Harper was decided Illinois adopted new rules for the involuntary medication of prisoners that were substantially similar to Washington’s. 20 Ill.Admin.Code § 415.70. Illinois’ rules require the same threshold showing to medicate an inmate (ie. mental illness and harm to self or others), but its review procedure is somewhat different. Illinois has established a two-person “treatment review committee” composed of a physician other than the treating physician and a prison administrator (Washington used three-person panels with a psychiatrist and a psychologist). Like the review panels in Harper, however, Illinois’ panel hears the prisoner’s appeal, and the prisoner has the right to a staff assistant, to present witnesses, and to 24 hours’ notice. Illinois adds a further level of review by the Agency Medical Director, who must approve the treatment review committee’s decision within five days of the prisoner’s appeal — -but during this time the prisoner receives whatever medication was ordered by the treating physician and approved by the review committee.
As applied to Sullivan in August 1990, the process worked as follows. Dr. Parwatikar found that Sullivan needed to be treated with Haldol and that he would be dangerous to others without the drug. Sullivan then appeared before a committee composed of Dr. David Vidal and Assistant Warden Derry Vinyard, who approved Dr. Parwatikar’s prescription in a one-page written report. Sullivan appealed to Agency Medical Director Ronald Shansky, who prepared a more comprehensive written explanation of why he supported the decision to medicate Sullivan. P. Brief at A. 36-38. He stressed that Sullivan exhibited warning signs of aggressive behavior on.his currently low dose of Haldol, signs that had foreshadowed violent assaults in Sullivan’s earlier (pre-1985) stay at Me-nard, and noted that Sullivan had no understanding of his illness. Significantly, he also noted that it would be medically dangerous for Sullivan to go off Haldol altogether. Dr. Shansky explained that if Sullivan’s regular low-level doses were discontinued, he would require very large doses (with severe attendant side effects) to restore his current stable state of mind. Dr. Shansky concluded that it was in Sullivan’s best interest to continue taking Haldol, and that the drug would prevent him from committing an unpredictable assault.
Sullivan argues that Illinois’ post-Harper procedures on involuntary medication of prisoners are unconstitutional because the state has not allowed him to prove that he can function without danger to himself or others when he is not on Haldol. He correctly observes that Harper made it the state’s burden to justify forced drugging of prisoners and allowed prisoners to present evidence in their own defense. Sullivan stresses that he has not become assaultive, aggressive or disruptive since receiving Haldol after his return to Menard, and thus the only remaining evidence he can offer is his behavior off the drug. “How is the prisoner ever to overcome his past?” he wonders, and this plaintive argument has a common-sense appeal. He asks us to find under Harper and Riggins v. Nevada, — U.S. —, 112
Sullivan faces an uphill battle, however, because Illinois’ post-1990 procedures are quite similar to those approved by Harper. Sullivan must show that Illinois’ current procedures are different in some way that runs afoul of Harper’s analysis of the right to refuse medication. The difference he stresses is a small one: Washington required that prisoners receive 24 hours’ notice of their hearing, during which time they could not be forced to take medication.
Initially, we note that Washington did not grant inmates the right to a drug-free hearing, as Sullivan would have us conclude. Washington’s 24-hour notice period did not allow inmates to become drug-free during their review hearings because (as the dissent in Harper observed) a single dose of anti-psychotic drugs can last up to a full month.
Harper emphasized several aspects of an inmate’s right to refuse drug treatment. First, to administer involuntary treatment the state must find that medication is in the prisoner’s medical interest (independent of institutional concerns).
In the present case, however, all these core protections are present. Dr. Parwatikar has regularly affirmed, as required by the Illinois rules, that forced Haldol administration is in Sullivan’s medical interest. R. tab 60. Agency Medical Director Shansky also noted that taking Sullivan off Haldol altogether would be medically improper because Sullivan would need debilitating doses of the drug to regain his current state of mind. Furthermore, Dr. Shansky’s report on Dr. Parwati-kar’s initial diagnosis was thorough and well-reasoned; it shows that he studied Sullivan’s record and exercised his independent judgment. If the approvals of the review committee or medical director appeared to be a rubber stamp of the treating doctor’s diagnosis, we would have a different case. Finally, Dr. Parwatikar has sworn that “the drugs administered * * * would not cause any difficulties with cognition and communication which would prevent [Sullivan] from participating in a hearing on the issue of whether medicine should be enforced.” R. tab 60. If his medication left Sullivan unable to speak in his own defense or robbed him of the capacity to think cogently, we might question whether Illinois’ hearing could afford him due process under Harper. Here, however, no evidence suggests that the current rather small doses of Haldol administered to Sullivan disrupt his ability to defend himself.
The 24-hour drug-free notice period in Harper is significant not for inmates like Sullivan, who are on medication that does not wear off in a day, but for inmates who are
The final arrow in Sullivan’s quiver is Riggins v. Nevada, a recent ease reviewing a defendant’s right to refuse psychotropic medication while on trial. — U.S. —,
Sullivan claims that the committees created by Illinois to review forced medication of prisoners are analogous to a judicial tribunal. This premise leads him to assert that the state violated Riggins when it forced him to defend himself at his hearing while on drugs. As Harper makes clear, however, treatment review panels employed by Washington and Illinois are medical, not judicial, in character: “A State may conclude with good reason that a judicial hearing will not be as effective * * * as administrative review using medical decisionmakers.”
IV
Illinois has established administrative rules governing the involuntary medication of prisoners that closely parallel those approved by the Supreme Court in Harper, and these rules have not violated Sullivan’s due process rights under the Constitution in the present ease. Because case law before that 1990 decision did not require clear procedures to support a state’s decision to drug prisoners against their will, defendants have qualified immunity for their pre-Harper treatment of Sullivan. Under Illinois’ 1990 regulations, Sullivan remains entitled to regular hearings before a treatment review committee, where he can argue that he does not need mind-altering drugs to behave in a prison environment. How such hearings will further enlighten doctors about Sullivan’s need for medication is a question that the Supreme Court has surrendered to the medical profession. From a lay perspective it seems highly unlikely that Sullivan’s current keepers will ever change their minds about him — which is not to say that the doctors are wrong, but only to observe that future hearings for Sullivan may be a pointless formality.
AFFIRMED.
Notes
. Haldol is used to treat schizophrenia and other psychotic mental disorders. It alters the chemical balance of a patient’s brain, and if effective it helps the patient to "organiz[e] his or her thought processes and regainf ] a rational state of mind.” Harper,
. The policy provided (Exhibit D at R.30):
Medical treatment, including medication, may be.given against an inmate’s will where approved by the Chief Administrative Officer of the Duty Administrative Officer when in the opinion of an Illinois licensed physician immediate treatment is required:
(1)To protect the inmate from a condition threatening to cause death, damage or impairment of bodily functions, or disfigurement, and the inmate is incapable of giving consent.
(2) To prevent the inmate from causing serious harm to himself or others.
(3) Where death of the inmate or serious permanent bodily injury is likely to result in the near future if treatment is not provided.
(4) Where the, inmate's mental health has deteriorated and treatment is necessary to prevent further deterioration and whose deteriorated condition poses a threat to himself or others.
. Sullivan's explanation of this ambition is significant:
[Sullivan]: I got sent from Stateville to Menard simply because I was running for President, and I realize that the law says that anybody convicted of a felony can't run for President. * * * [W]hat I was going to do was challenge that law in the federal courts on the grounds of discrimination that a former prisoner can't run for President. * * * Before I got transferred, [a Stateville psychiatrist] gave me some Hal-dol, a hundred milligrams * * *.
[Magistrate]: I've heard people say they ought to check somebody's head when they want to run for President but * * * I just didn’t know they went that far.
[Sullivan]: See, I read about it in a newspaper. A long time ago, I read there was a guy who was a member of the Socialist Party * * * [who] ran for President on a write-in ticket, you know.
[Magistrate]: Let me stop you here.
Tr. at 10. If Sullivan had been able to continue, he might have reminded the magistrate that in 1920, Eugene Debs received almost a million votes as a Socialist write-in candidate for president — while serving a ten-year sentence for subversive advocacy! Debs v. United States,
Concurrence Opinion
concurring.
I believe that the majority has correctly analyzed a complex problem in light of Harper,
