In re T.C. (2006-293 & 2006-402)
2007 VT 115
[Filed 12-Oct-2007]
NOTICE: This opinion is subject to motions for reargument under V.R.A.P. 40 as well as formal revision before publication in the Vermont Reports. Readers are requested to notify the Reporter of Decisions, Vermont Supreme Court, 109 State Street, Montpelier, Vermont 05609-0801 of any errors in order that corrections may be made before this opinion goes to press.
2007 VT 115
Nos. 2006-293 & 2006-402
In re T.C. Supreme Court
On Appeal from
Washington Family Court
March Term, 2007
Helen M. Toor, J. (06-293)
Christina Reiss, J. (06-402)
Laura A. Gans, Vermont Legal Aid, Inc., Waterbury, for Appellant (06-293) and Appellee
(06-402).
William H. Sorrell, Attorney General, Montpelier, and David Bond, Assistant Attorney General,
Burlington, for Appellee (06-293) and Appellant (06-402).
PRESENT: Reiber, C.J., Dooley, Johnson, Skoglund and Burgess, JJ.
¶ 1. SKOGLUND, J. These consolidated cases arise from two separate family court proceedings involving T.C. In the first, T.C. appeals from the Washington Family Court’s order granting the State’s request for involuntary administration of medication. That order was stayed pending appeal. In the second, the State appeals the family court’s order denying the State’s application for continued treatment, and releasing T.C. from the Vermont State Hospital (VSH). Because we affirm the family court’s denial of the motion for continued treatment, we do not reach the merits of the involuntary medication order.
¶ 2. T.C. is a forty-five-year-old man. On April 7, 2006, he was involuntarily committed on a ninety-day order of non-hospitalization by the Bennington Family Court after some of T.C.’s family members filed a petition. The court did not issue written findings of fact or conclusions of law, so the basis for the commitment is not in the record. The court revoked the non-hospitalization order on May 5, 2006 and ordered T.C. to be hospitalized at VSH for the duration of the commitment order. At VSH, T.C. refused all psychiatric medications.
¶ 3. On May 30, 2006, the State filed a petition with the Washington Family Court seeking an order for involuntary medication of T.C. The court, Judge Toor presiding, held a bench trial on June 9, 2006. T.C.’s brother, his sister, and his brother's fiancee testified for the State. In addition, the State presented the testimony of a second-year resident in psychiatry who had begun working with T.C. one week before the hearing. Craig Van Tuinen, M.D., a board-certified psychiatrist with over fifteen years of experience who had reviewed T.C.’s records and interviewed T.C. on two occasions, testified on behalf of T.C.
¶ 4. The psychiatry resident testified that T.C. was friendly and cooperative and that he denied that there was anything wrong with him. T.C. believed he was in the hospital because his family was conspiring against him and had put him there. The doctor noted that his initial impression had been that T.C. suffered from a delusional disorder but that currently he was considering a diagnosis of schizophrenia. He testified that T.C. did not acknowledge any mental illness, and thus, did not see the need for medication. In addition, he refused the drugs because he did not want to be “like a zombie.”
¶ 5. The family court found T.C. was mentally ill and that his mental illness had manifested itself several years ago with strange behaviors, including his belief that someone was taking pictures of him, manipulating the images and publishing them. He thought strangers were out to get him, and that there were video cameras in some new furniture. He once confronted a stranger with a camera because he was sure she had taken pictures of him. T.C.’s relationships with members of his family deteriorated during this period as well. He expressed a belief that they were conspiring against him, and he had become physically aggressive with his siblings.
¶ 6. The court found that T.C. had not exhibited delusional thoughts since coming to VSH but did not find this fact significant. Nor did the court find Dr. Van Tuinen’s testimony helpful, noting that “[Dr. Van Tuinen] does not believe that [T.C.] has a mental illness, [but] that issue has already been addressed by the earlier court’s finding that he is a patient in need of treatment.” The family court issued an involuntary medication order, and T.C. appealed.
¶ 7. On July 3, 2006, the Commissioner of Health filed an application for continued treatment, as the original commitment order expired after ninety days. See 18 V.S.A. § 7620. To succeed on an application for continued treatment, the State must show, by clear and convincing evidence, that the patient is in need of further treatment as defined by statute. Id. §§ 7616(b), 7621(b), (c), (e). A “patient in need of treatment” is either:
(A) A person in need of treatment; or
(B) A patient who is receiving adequate treatment, and who, if such treatment is discontinued, presents a substantial probability that in the near future his condition will deteriorate and he will become a person in need of treatment.
Id. § 7101(16). A “person in need of treatment,” in turn, is:
. . . a person who is suffering from mental illness and, as a result of that mental illness, his capacity to exercise self-control, judgment or discretion in the conduct of his affairs and social relations is so lessened that he poses a danger to himself or others;
(A) A danger of harm to others may be shown by establishing that:
(i) he has inflicted or attempted to inflict bodily harm on another; or
(ii) by his threats or actions he has placed others in reasonable fear of physical harm to themselves; or
(iii) by his actions or inactions he has presented a danger to persons in his care.
(B) A danger of harm to himself may be shown by establishing that:
(i) he has threatened or attempted suicide or serious bodily harm; or
(ii) he has behaved in such a manner as to indicate that he is unable, without supervision and the assistance of others, to satisfy his need for nourishment, personal or medical care, shelter, or self-protection and safety, so that it is probable that death, substantial physical bodily injury, serious mental deterioration or serious physical debilitation or disease will ensue unless adequate treatment is afforded.
Id. § 7101(17).
¶ 8. The State’s application for continued treatment was heard on August 11, 2006. The court, Judge Reiss presiding, took testimony from Dr. Gellman, a second-year resident at VSH who had been working with T.C. for less than three weeks, and again from Dr. Van Tuinen, who had, since the hearing on involuntary medication, again met with T.C. for a forty-minute session. No family members testified. Dr. Gellman testified that T.C. was able to discuss his daily routine at the hospital and his life outside the hospital without exhibiting any symptoms of delusional thought process. He testified that T.C.’s illness manifested itself in his refusal to accept his family’s version of events that took place in 1999-2000, and that, when confronted with his family’s version of events, he became angry.
¶ 9. Dr. Van Tuinen testified that T.C. may have suffered from depression and substance abuse in the past but that, during his admission to VSH, he had exhibited a consistent mental status in which no thought disorder had been reported. He found no support for a diagnosis of schizophrenia. He noted that there was “some question about a disorder of perception.” [1] He noted that family members had reported significant delusions, and agreed that T.C. may have suffered from a delusional disorder, but suggested that the reported delusions all occurred in 1999-2000, when T.C. suffered from and was treated for substance abuse. The doctor opined that T.C.’s substance abuse may have contributed to his delusions. Dr. Van Tuinen further opined that T.C.’s version of past events was not implausible. He described a discordant family relationship evidenced by police reports documenting assaults on T.C. by his sister and her boyfriend. He noted that all but one of the reports of T.C.’s allegedly bizarre behavior come from family members and related to past events. Dr. Van Tuinen opined that T.C. did not, as of the hearing, present a danger to himself or to others.
¶ 10. The family court found that the State had not met its burden to prove by clear and convincing evidence that T.C. was a patient in need of further treatment. The court first noted that the State had not successfully demonstrated that T.C. suffered from schizophrenia. Based on Dr. Van Tuinen’s testimony, and the testimony of staff who had observed T.C. while at VSH, the court found that the criteria for schizophrenia were not satisfied in T.C.’s case: there was no evidence of hallucinations; no disorganization in his speech, thought or behavior; he was not noted to have a flat affect; he was engaged in social relations on the unit and was friendly and cooperative. The court further found that the State had failed to prove by clear and convincing evidence that, as a result of a mental illness, T.C. presented a continuing danger of harm to himself or to others. The family court dismissed the State’s application for continued treatment and released T.C. The State appeals.
¶ 11. The State challenges the trial court’s refusal to afford preclusive effect to the findings and conclusions of the prior medication order and the initial commitment order. The State also contends that the trial court erred in construing the relevant statutes so narrowly that it refused to consider T.C.’s dangerous behavior prior to his commitment and mental status during the period of commitment as sufficient to meet its burden of proof under the “patient in need of further treatment” evaluation. 18 V.S.A. § 7101(16). Finally, the State asserts that the trial court’s findings are clearly erroneous in some respects.
¶
12.
This
Court reviews a trial court’s findings of fact in the light most favorable to
the prevailing party, “disregarding the effect of modifying evidence, and we
will not set them aside unless they are clearly erroneous.” In re M.B.,
¶ 13. The State first objects to the trial court’s refusal to take judicial notice of the facts found in the prior commitment and medication orders in this case, and its refusal to give those orders preclusive effect. Additionally, the State argues that it should not be required to reprove, at each subsequent recommitment, that the patient met commitment criteria at the time of the original commitment. The State misunderstands the burden imposed by the court below.
¶ 14. “A judicially noticed fact must be one not subject to reasonable dispute in that it is either (1) generally known within the territorial jurisdiction of the trial court or (2) capable of accurate and ready determination by resort to sources whose accuracy cannot be reasonably questioned.” V.R.E. 201(b). A court may take judicial notice, whether requested or not, but “shall take judicial notice if requested by a party and supplied with the necessary information.” V.R.E. 201(c), (d). The Reporter’s Notes recognize that “[n]either the Rules of Evidence nor the Rules of Civil and Criminal Procedure expressly cover judicial notice of the statutory and decisional law of Vermont,” noting that “such matters are more properly viewed as matters which the judge is bound to know by virtue of his office.” Reporter’s Notes, V.R.E. 201.
¶
15. The court correctly
held that the fact that the Bennington family court ordered hospitalization and
that the Washington family court ordered that T.C. be involuntarily medicated
were proper subjects of judicial notice. The court in this case ruled that it
would not take judicial notice of the facts found in the involuntary medication
order, as that order was on appeal. It further ruled that the content of
testimony given in a previous proceeding, when offered to bring in testimony
that was not before the court in the pending proceeding, was not an appropriate
subject of judicial notice, citing Jakab v. Jakab,
¶
16.
The
existence of a prior order is an appropriate subject of judicial notice. Thus,
it can be judicially noted that, at the time the order of non-hospitalization
was issued, the court found that T.C. suffered from a mental illness, was a person
in need of treatment, and that a treatment program other than hospitalization
was adequate to meet his treatment needs, as required to support such an
order. See 18 V.S.A. §§ 7101(17), 7617, 7618(a). An order of
non-hospitalization may be amended to one of hospitalization when the patient
does not comply with the order, or when the alternative treatment has not been
adequate to meet the patient’s treatment needs. Id. § 7618(b). Based
on a transcript excerpt of the modification hearing, the non-hospitalization
order was apparently amended due to T.C.’s failure to participate in the
counseling service programs ordered. Thus, the court could take judicial
notice that, at the time of the order of hospitalization, T.C. was a person in
need of treatment and was hospitalized. See Slade v. Slade,
¶
17.
The
State argues that the reason given by the court for refusing to take judicial
notice of the findings of fact in the involuntary medication order, that the
order was on appeal, is also error. Even if the rationale was error, an issue
we need not decide here, the court did not err in declining to rely on the
findings contained therein. The issues involved in an involuntary medication
order are not the same as those presented in an involuntary commitment order or
any subsequent order for continued treatment. “Whereas involuntary commitment
ultimately depends on whether a person has mental illness and poses a danger of
harm to himself or others, involuntary medication depends on a person’s ability
to make decisions and appreciate their consequences. The facts underlying a
patient’s involuntary commitment cannot alone support involuntary medication.”
In re L.A.,
¶ 18. Further, the State’s attempt to rely on prior orders to satisfy its evidentiary burden for continued treatment fails. The court properly held that neither the involuntary medication order nor the order of hospitalization were entitled to preclusive effect insofar as the State sought to rely on them to satisfy the essential elements of its application for continued treatment. Both the commitment and involuntary medication proceedings were separate and distinct from the continued treatment proceeding. Each type of proceeding is governed by different statutory procedures and legal standards. See 18 V.S.A. §§ 7612, 7624, 7620. The State distorts the statutory process by asserting that, without according “preclusive effect to [the] earlier findings so as to prevent collateral attack on the issue of whether the patient was properly committed in the first instance” the court commits error. The State fails to recognize its burden at this stage.
¶
19.
The
purpose of an application for continued treatment is to examine whether the
State can meet its burden of proving by clear and convincing evidence that a
patient who is involuntarily hospitalized continues to require
treatment. 18 V.S.A. §§ 7620(a), 7621; cf. In re G.K.,
¶
20.
The
State’s argument on expert testimony fares no better. The State argues that
the court should have disregarded testimony from T.C.’s expert to the extent it
was inconsistent with previous decisions and thus should have been barred by
the doctrine of issue preclusion. Issue preclusion “bars the subsequent
relitigation of an issue that was actually litigated and decided in a prior
case where that issue was necessary to the resolution of the dispute.” Scott
v. City of Newport,
¶ 21. And, while not a model of clarity, the court’s decision did not find that T.C. was not mentally ill. On the contrary, the court conceded that T.C. “may suffer from a mental illness,” but went on to hold that the State had failed to prove that he suffered from schizophrenia specifically. It then went on to find that the State failed to demonstrate by clear and convincing evidence that, “as a result of a mental illness (whether [s]chizophrenia or some other mental illness),” T.C. met the definition of a person in need of treatment as found in 18 V.S.A. § 7101(17). (Internal quotation omitted.)
¶ 22. It was perhaps the court’s reference to § 7101(17), the section that defines “a person in need of treatment,” that caused the State to suggest that the court forced it “to once again show by direct evidence that at the time of his commitment, T.C. espoused bizarre delusions and as a result engaged in threatening and assaultive behavior.” (Emphasis added.) However, the statute defines “a patient in need of further treatment” as either a person in need of treatment or a patient who is receiving treatment but whose condition would probably deteriorate should treatment be discontinued. Id. § 7101(16). While the court’s ruling is a bit disjointed, the court did go on to hold that the State failed to prove T.C. was a danger to himself or to others and thus, “[b]ecause the State has not sustained its burden of establishing by clear and convincing evidence that [T.C.] was a ‘patient in need of further treatment’ at the time of the hearing, its application for continued treatment must be dismissed.” Thus, the trial court appropriately analyzed both alternative definitions of “a patient in need of further treatment” before coming to its conclusion.
¶
23.
The
two prior orders shed light on T.C.’s history; however, they did not decide the
central question in the application for continued treatment: whether, at the
time of the hearing on the application for continued treatment, T.C. was a
patient in need of further treatment. See People v. Munoz, 28 Cal.
Rptr. 3d 295, 301 (Cal. Ct. App. 2005) (holding that the “fact of a prior . . .
commitment does not change the fundamental issues to be litigated in extended
commitment proceedings”). The fact that a person posed a threat of harm to
himself or others at the time of an original commitment hearing does not mean
he continues to pose the same threat months or years later. The central
issue—the patient’s current mental status and need for further treatment—cannot
have been fully litigated in a prior proceeding. Nor, it should be noted, is
it T.C.’s burden to show that his mental status has changed since the last
determination by a court that he was a person in need of treatment. It was the
State’s burden to prove T.C. met the criteria for further treatment. “Any
other result,” the court found, “would . . . obviate the State’s burden ‘of
establishing that there is a continuing need to strip the citizen of one of his
most cherished rights.’ “ In re G.K.,
¶
24.
The
State next argues that the trial court erred in refusing to consider T.C.’s
dangerous behavior prior to commitment. As noted, the State did not present
evidence of T.C.’s earlier behavior, deciding to rely on the findings of fact
made in prior orders concerning T.C.’s behavior. It is true that a patient’s
history of violence may be taken into consideration in reviewing an application
for continued treatment. In re E.T.,
¶
25.
The
State claims that the trial court erred in making certain factual findings. In
particular, the State objects to the trial court’s finding that the State’s
witness had diagnosed T.C. with schizophrenia to the exclusion of other
disorders. It also objects to the finding that T.C.’s only delusion was the
entrenched belief that his family is incorrect about a series of events that
took place some time ago. Finally, it finds error in the court’s reliance on
Dr. Van Tuinen’s testimony to a greater extent than Dr. Gellman’s testimony.
The family court’s findings of fact will stand on review “unless, taking the
evidence in the light most favorable to the prevailing party, and excluding the
effect of modifying evidence, there is no reasonable or credible evidence to
support them.” Creed v. Clogston,
¶
26.
What
the State fails to accept is that the trial court gave little weight to the
testimony of the second-year resident due to his minimal exposure to the
practice of psychiatry: six months of in-patient psychiatry while in medical
school and a one-month rotation in public psychiatry in which he was currently
engaged. The court ultimately concluded that “Dr. Gellman’s expert opinion
does not rise to the level of clear and convincing evidence.” The factfinder
is best situated to weigh evidence, and therefore, is entitled to weigh the
testimony of the two experts, consider their respective expertise and give
whatever weight it believes proper to the testimony of the witnesses
presented. In re N.H.,
¶ 27. Nor was it error for the court to rely on the testimony of Dr. Van Tuinen and his conclusions about family dynamics for purposes of assessing the T.C.’s version of past events. Dr. Van Tuinen’s description of family dynamics in general was certainly within his realm of expertise, and it was the kind of information that the court could use in evaluating the relative weight to give to the expert testimony. The State, however, objects to the court’s statement that “Dr. Van Tuinen further opined that [T.C]’s version of past events is not implausible.” The court did not adopt this conclusion as its own. Rather, it contrasted this conclusion with Dr. Gellman’s opinion that T.C’s version of past events currently qualifies as a delusion. These two statements are exactly the type of conflicting expert testimony that a fact-finder is particularly suited to adjudicate.
¶
28.
This
Court has long recognized that confinement for compulsory psychological
treatment represents a “ ‘massive curtailment of liberty’ “ necessitating a
heightened standard of proof. See In re W.H.,
Docket number 2006-402 is affirmed. Docket number 2006-293 is dismissed as moot.
FOR THE COURT:
_______________________________________
Associate Justice
Notes
[1] “ ‘Mental illness’ ” means a substantial disorder of thought, mood, perception, orientation, or memory, any of which grossly impairs judgment, behavior, capacity to recognize reality, or ability to meet the ordinary demands of life . . . .” 18 V.S.A. § 7101(14).
