Lead Opinion
delivered the opinion of the Court.
The question presented by this case is whether the proceedings under the Illinois Sexually Dangerous Persons Act (Act), Ill. Rev. Stat., ch. 38, ¶105-1.01 et seq. (1985), are “criminal” within the meaning of the Fifth Amendment’s guarantee against compulsory self-incrimination.
Petitioner Terry B. Allen was charged by information in the Circuit Court of Peoria County with committing the crimes of unlawful restraint and deviate sexual assault. Shortly thereafter the State filed a petition to have petitioner declared a sexually dangerous person within the meaning of
Pursuant to the Act, with petitioner and counsel present, the trial court ordered petitioner to submit to two psychiatric examinations; the court explained the procedure as well as petitioner’s rights under the Act, and petitioner indicated that he understood the nature of the proceedings. At the bench trial on the petition, the State presented the testimony of the two examining psychiatrists, over petitioner’s objection that they had elicited information from him in violation of his privilege against self-incrimination. The trial court ruled that petitioner’s statements to the psychiatrists were not themselves admissible, but allowed each psychiatrist to give his opinion based upon his interview with petitioner. Both psychiatrists expressed the view that petitioner was mentally ill and had criminal propensities to commit sexual assaults. Petitioner did not testify or offer other evidence at the trial. Based upon the testimony of the psychiatrists, as well as that of the victim of the sexual assault for which petitioner had been indicted, the trial court found petitioner to be a sexually dangerous person under the Act. Consistent with the requirements of Illinois case law, see People v. Pembrock,
The Appellate Court of Illinois for the Third District reversed, over one dissent. Relying on Estelle v. Smith,
The Supreme Court of Illinois unanimously reversed the Appellate Court and reinstated the trial court’s finding that petitioner was a sexually dangerous person.
The Self-Incrimination Clause of the Fifth Amendment, which applies to the States through the Fourteenth Amendment, Malloy v. Hogan,
The question whether a particular proceeding is criminal for the purposes of the Self-Incrimination Clause is first of all a question of statutory construction. See United States v. Ward,
The Illinois Supreme Court reviewed the Act and its own case law and concluded that these proceedings, while similar to criminal proceedings in that they are accompanied by strict procedural safeguards, are essentially civil in nature.
Petitioner offers several arguments in support of his claim that despite the apparently nonpunitive purposes of the Act, it should be considered criminal as far as the privilege against self-incrimination is concerned. He first notes that the State cannot file a sexually-dangerous-person petition unless it has already brought criminal charges against the person in question. ¶ 105-3. In addition, the State must prove that the person it seeks to commit perpetrated “at least one act of or attempt at sexual assault or sexual molestation.”
The discussion of civil commitment in Addington, supra, in which this Court concluded that the Texas involuntary-commitment scheme is not criminal insofar as the requirement of proof beyond a reasonable doubt is concerned, fully supports our conclusion here:
“[T]he initial inquiry in a civil commitment proceeding is very different from the central issue in either a delinquency proceeding or a criminal prosecution. In the latter cases the basic issue is a straightforward factual question — did the accused commit the act alleged? There may be factual issues to resolve in a commitment proceeding, but the factual aspects represent only the beginning of the inquiry. Whether the individual is mentally ill and dangerous to either himself or others and is in need of confined therapy turns on the meaning of the facts which must be interpreted by expert psychiatrists and psychologists.” Id., at 429 (emphasis in original).
While here the State must prove at least one act of sexual assault, that antecedent conduct is received not to punish past misdeeds, but primarily to show the accused’s mental condition and to predict future behavior.
In his attempt to distinguish this case from other civil commitments, petitioner places great reliance on the fact that proceedings under the Act are accompanied by procedural safeguards usually found in criminal trials. In particular, he observes that the Act provides an accused with the right to counsel, ¶ 105-5, the right to demand a jury trial, ibid., and the right to confront and cross-examine witnesses, People v. Nastasio,
Relying chiefly on In re Gault,
First, Gault’s sweeping statement that “our Constitution guarantees that no person shall be ‘compelled’ to be a witness against himself when he is threatened with deprivation of his liberty,” id., at 50, is plainly not good law. Although the fact that incarceration may result is relevant to the question whether the privilege against self-incrimination applies, Addington demonstrates that involuntary commitment does not itself trigger the entire range of criminal procedural protections. Indeed, petitioner apparently concedes that traditional civil commitment does not require application of the privilege. Only two Terms ago, in Minnesota v. Murphy,
The Court in Gault was obviously persuaded that the State intended to punish its juvenile offenders, observing that in many States juveniles may be placed in “adult penal institutions” for conduct that if committed by an adult would be a crime.
“The state has a legitimate interest under its parens patriae powers in providing care to its citizens who are unable because of emotional disorders to care for themselves; the state also has authority under its police power to protect the community from the dangerous tendencies of some who are mentally ill.” Addington,441 U. S., at 426 .
Illinois’ decision to supplement its parens patriae concerns with measures to protect the welfare and safety of other citizens does not render the Act punitive.
Petitioner has not demonstrated, and the record does not suggest, that “sexually dangerous persons” in Illinois are confined under conditions incompatible with the State’s asserted interest in treatment. Had petitioner shown, for example, that the confinement of such persons imposes on them a regimen which is essentially identical to that imposed upon felons with no need for psychiatric care, this might well be a different case. But the record here tells us little or nothing about the regimen at the psychiatric center, and it certainly
Our conclusion that proceedings under the Act are not “criminal” within the meaning of the Fifth Amendment’s guarantee against compulsory self-incrimination does not completely dispose of this case. Petitioner rather obliquely suggests that even if his commitment proceeding was not criminal, the Fourteenth Amendment’s guarantee of due process nonetheless required application of the privilege. In particular, petitioner contends that the Illinois Supreme Court “grossly miscalculated” in weighing the interests set out in Mathews v. Eldridge,
We think that the parties, and to some extent the Supreme Court of Illinois, have in their reliance on Mathews v. Eldridge misconceived that decision. Mathews dealt with the procedural safeguards required by the Due Process Clause of the Fifth Amendment before a person might be deprived of property, and its focus was on such safeguards as were necessary to guard against the risk of erroneous deprivation. As the Supreme Court of Illinois and the State have both pointed out, it is difficult, if not impossible, to see how requiring the privilege against self-incrimination in these proceedings would in any way advance reliability. Indeed, the State takes the quite plausible view that denying the evaluating
The privilege against self-incrimination enjoined by the Fifth Amendment is not designed to enhance the reliability of the factfinding determination; it stands in the Constitution for entirely independent reasons. Rogers v. Richmond,
For the reasons stated, we conclude that the Illinois proceedings here considered were not “criminal” within the meaning of the Fifth Amendment to the United States Constitution, and that due process does not independently require application of the privilege. Here, as in Addington, “[t]he essense of federalism is that states must be free to develop a variety of solutions to problems and not be forced into a common, uniform mold” of the sort urged by petitioner.
Affirmed.
Notes
The Act defines sexually dangerous persons as follows:
“All persons suffering from a mental disorder, which mental disorder has existed for a period of not less than one year, immediately prior to the filing of the petition hereinafter provided for, coupled with criminal propensities to the commission of sex offenses, and who have demonstrated propensities toward acts of sexual assault or acts of sexual molestation of children, are hereby declared sexually dangerous persons.” ¶ 105-1.01.
The Appellate Court interpreted the Act to require specific proof of more than one act of sexual assault. It therefore concluded that the State had relied on the psychiatrists to make its entire case because the victim had only testified about one act. The Supreme Court of Illinois thereafter interpreted the Act to require proof of only one act, and concluded that the victim’s testimony was sufficient to satisfy the State’s burden in this case.
Under Illinois Department of Corrections regulations, the progress of persons confined at such facilities is reviewed at least every six months by a staff psychiatrist, and a request for a review hearing may be made at any time. 8 Ill. Reg. 14501 (1984).
Even if he fails to meet his burden the committed person may nonetheless be conditionally released:
“If the court finds that the patient appears no longer to be dangerous but that it is impossible to determine with certainty under conditions of institutional care that such person has fully recovered, the court shall enter an order permitting such person to go at large subject to such conditions and such supervision by the Director as in the opinion of the court will adequately protect the public.” ¶ 105-9.
The Act further provides that “[u]pon an order of discharge every outstanding information and indictment, the basis of which was the reason for the present detention, shall be quashed.” Ibid.
Dissenting Opinion
with whom Justice Brennan, Justice Marshall, and Justice Blackmun join, dissenting.
Paragraph 105 of the Illinois Criminal Code authorizes a special procedure for the involuntary commitment of indi-
I
As the Court reaffirms today, the fact that a State attaches a “civil” label to a proceeding is not dispositive. Ante, at 369. Such a label cannot change the character of a criminal proceeding. In re Gault,
The impact of an adverse judgment against an individual deemed to be a “sexually dangerous person” is at least as serious as a guilty verdict in a typical criminal trial. In Humphrey v. Cady,
The distinctive element of Illinois’ “sexually dangerous person” proceeding, however, is its relationship to Illinois’ criminal law. Quite simply, criminal law occupies a central role in the sexually-dangerous-person proceeding. Like the prosecution for a criminal offense, the procedure may only begin “when any person is charged with a criminal offense.”
Indeed, the Act even defines a “sexually dangerous person” with respect to criminal law, or rather, with respect to “criminal propensities”:
“All persons suffering from a mental disorder, which mental disorder has existed for a period of not less than one year, immediately prior to the filing of the petition hereinafter provided for, coupled with criminal propensities to the commission of sex offenses, and who have demonstrated propensities toward acts of sexual assault or acts of sexual molestation of children, are hereby declared sexually dangerous persons.”10
According to the Illinois Supreme Court’s interpretation of this definition, moreover, the prosecutor must prove that the individual charged with being a sexually dangerous person committed a criminal offense: “It is clear . . . that the statute requires more than the proof of mere 'propensity’; it also requires that the State prove that the defendant has ‘demonstrated’ this propensity. This language can only mean that the State must prove at least one act of or attempt at sexual
Thus, the Illinois “sexually dangerous person” proceeding may only be triggered by a criminal incident; may only be initiated by the sovereign State’s prosecuting authorities; may only be established with the burden of proof applicable to the criminal law; may only proceed if a criminal offense is established; and has the consequence of incarceration in the State’s prison system — in this case, Illinois’ maximum-security prison at Menard. It seems quite clear to me, in view of the consequences of conviction and the heavy reliance on the criminal justice system — for its definition of the prohibited conduct, for the discretion of the prosecutor, for the standard of proof, and for the Director of Corrections as custodian — that the proceeding must be considered “criminal” for purposes of the Fifth Amendment.
II
The principal argument advanced by the State — and accepted by the Court, ante, at 369-370 — is that the statute has a benign purpose. The State points out that the statute, in appointing the Director of Corrections as guardian, requires that the Director provide “care and treatment for the person committed to him designed to effect recovery”;
The Illinois Supreme Court has stated unambiguously that “treatment, not punishment, is the aim of the statute.”
A goal of treatment is not sufficient, in and of itself, to render inapplicable the Fifth Amendment, or to prevent a characterization of proceedings as “criminal.” With respect to a conventional criminal statute, if a State declared that its goal was “treatment” and “rehabilitation,” it is obvious that the Fifth Amendment would still apply. The sexually-dangerous-person proceeding similarly may not escape a characterization as “criminal” simply because a goal is “treatment.” If this were not the case, moreover, nothing would prevent a State from creating an entire corpus of “dangerous person” statutes to shadow its criminal code. Indeterminate commitment would derive from proven violations of criminal statutes, combined with findings of mental disorders and “criminal propensities,” and constitutional protections for criminal defendants would be simply inapplicable. The goal would be “treatment”; the result would be evisceration of criminal law and its accompanying protections.
The Illinois Attorney General nevertheless argues that the importance of treatment in the Act has a special significance.
“Experience in the public and private sectors has shown that application of the privilege against self-incrimination does not seriously impair the State’s ability to achieve the valid obj ectives of civil commitment. ” In re Rizer,87 Ill. App. 3d 795 , 799,409 N. E. 2d 383 , 386 (1980).
The Attorney General’s emphasis on the interference with treatment that the right of silence would create thus indeed has a significance, but not the one he suggests. For, not only would a characterization of the proceeding as “criminal” lead to a right to silence under the Fifth Amendment, but a characterization of the proceeding as “civil” would also lead to a right to silence under state law. It is only in the “sexually dangerous person” proceeding that the individual may be compelled to give evidence that will be used to deprive him of his liberty. The fact that this proceeding is unique — neither
Ill
It is, of course, true that “the State has a substantial interest in . . . protecting the public from sexually dangerous persons.”
In the end, this case requires a consideration of the role and value of the Fifth Amendment. The privilege sometimes does serve the interest in making the truth-seeking function of a trial more reliable.
“[T]he Fifth Amendment can serve as a constant reminder of the high standards set by the Founding Fathers, based on their experience with tyranny. It is an ever-present reminder of our belief in the importance of the individual, a symbol of our highest aspirations. As such, it is a clear and eloquent expression of our basic opposition to collectivism, to the unlimited power of the state. It would never be allowed by communists, and thus it may well be regarded as one of the signs which sets us off from communism.” E. Griswold, The Fifth Amendment Today 81 (1955).19
I respectfully dissent.
Ill. Rev. Stat., ch. 38, ¶ 105-1.01 et seq. (1985).
The Fifth Amendment provides that no person “shall be compelled in any criminal case to be a witness against himself.”
See Boyd v. United States,
“It is well settled that realities rather than benign motives or noncriminal labels determine the relevance of constitutional policies. In re Winship, . . . 397 U. S. [358, 365-366 (1970)]. See In re Gault,
“The instant ease illustrates the potential disparity in the magnitude of the loss. Stachulak was originally charged with Indecent Solicitation of a Child in violation of Ill. Ann. Stat., ch. 38, § 11-6 (Smith-Hurd 1969). That offense carried a maximum penalty of a $600 fine and less than one year imprisonment in a penal institution other than a penitentiary. Instead of prosecuting him on that charge, the state brought a proceeding, which culminated in an indeterminate commitment, under the Sexually Dangerous Persons Act. For the last five years, Stachulak has been confined at the Psychiatric Division of the Illinois State Penitentiary at Menard, a maximum-security penal institution.” Id., at 936, n. 4.
Ill. Rev. Stat., ch. 38, ¶ 105-3 (1985).
Ibid.
¶ 105-3.01.
¶ 105-8.
¶ 105-1.01.
The “sexually dangerous person” proceeding shares other characteristics with criminal law as well. The statute requires that the individual “have the right to demand a trial by jury and to be represented by counsel.” ¶ 105-5. Under the Illinois Supreme Court’s construction, moreover, an individual has the right to confront and cross-examine witnesses. People v. Nastasio,
¶ 105-8.
Ibid.
¶ 105-9. See also ¶ 105-8 (“The Director of Corrections as guardian shall keep safely the person so committed until the person has recovered and is released as hereinafter provided”)-
See Ill. Rev. Stat., ch. 9172, ¶ 3-208 (1985) (“Whenever a petition has been executed pursuant to Section 3-507, 3-601, or 3-701, and prior to this examination for the purpose of certification of a person 12 or over, the person conducting this examination shall inform the person being examined in a simple comprehensible manner of the purpose of the examination; that he does not have to talk to the examiner; and that any statements he makes may be disclosed at a court hearing on the issue of whether he is subject to involuntary admission. If the person being examined has not been so informed, the examiner shall not be permitted to testify at any subsequent court hearing concerning the respondent’s admission”).
See O. Holmes, The Common Law 65 (1923 ed.) (“Intent to commit a crime is not itself criminal. There is no law against a man’s intending to commit a murder the day after tomorrow. The law only deals with conduct”); Thompson v. Bowie,
“It has long been recognized that the eliciting and use of confessions or admissions require careful scrutiny. Dean Wigmore states:
“ ‘The ground of distrust of confessions made in certain situations is, in a rough and indefinite way, judicial experience. There has been no careful collection of statistics of untrue confessions, nor has any great number of instances been even loosely reported . . . but enough have been verified to*383 fortify the conclusion, based on ordinary observation of human conduct, that under certain stresses a person, especially one of defective mentality or peculiar temperament, may falsely acknowledge guilt. This possibility arises wherever the innocent person is placed in such a situation that the untrue acknowledgment of guilt is at the time the more promising of two alternatives between which he is obliged to choose; that is, he chooses any risk that may be in falsely acknowledging guilt, in preference to some worse alternative associated with silence.’” In re Gault,387 U. S. 1 , 44-45 (1967) (quoting 3 J. Wigmore, Evidence § 822 (3d ed. 1940)).
One of the psychiatrist’s reports stated, in part:
“The defendant wanted to be found sexually dangerous and did so because he felt that it was a better alternative than a trial trying to be found not guilty. ... I have the definite impression that he is unreliable and that sometimes he is not telling the truth.” App. 36-37.
That doctor reported that the defendant admitted that he had “sexual intercourse” with the victim — a fact that she denied. None of the other incidents described in the doctor’s report (the first of which occurred when the defendant was 10 years old) had any corroboration or involved an identified partner or victim.
Cf. Amnesty International, Political Abuse of Psychiatry in the USSR, reprinted in Abuse of Psychiatry in the Soviet Union, Hearing before the Subcommittee on Human Rights and International Organizations of the House Committee on Foreign Affairs, 98th Cong., 1st Sess., 72-73 (1983)
