STATE of New Mexico, Plaintiff-Appellee, v. Christopher ROTHERHAM, Defendant-Appellant. STATE of New Mexico, Plaintiff-Appellee, v. Richard LOPEZ, Defendant-Appellant. STATE of New Mexico, Plaintiff-Appellee, v. Lucille EPPERSON, Defendant-Appellant. STATE of New Mexico, Plaintiff-Appellant, v. Joe MARTINEZ, a/k/a Primitivo Ortega, Defendant-Appellee. STATE of New Mexico, Plaintiff-Appellee, v. Charles Henry LUCAS, Defendant-Appellant.
Nos. 22059, 22462, 22497, 22608 and 22650.
Supreme Court of New Mexico.
May 31, 1996.
Rehearing Denied Aug. 20, 1996.
923 P.2d 1131
BACA, Justice.
Tom Udall, Attorney General, Gail MacQuesten, Assistant Attorney General, Santa Fe, for Plaintiff-Appellee in Nos. 22,059, 22,497 and 22,608.
Barbara E. Bergman, James W. Ellis, Albuquerque, for Amicus Curiae NMCCD in Nos. 22,059, 22,497 and 22,608.
Jones, Snead, Wertheim, Wentworth & Jaramillo, P.A., Jerry Todd Wertheim, Santa Fe, Ronald S. Honberg, Arlington, VA, for Amici Curiae NAMI & AMINM in No. 22,059 and 22,650.
Nancy Koenigsberg, Protection and Advocacy System, Albuquerque, for Amici Curiae NMPAS, NAPAS & ARC in Nos. 22,059, 22,462 and 22,608.
Adam G. Kurtz, Albuquerque, Lawrence J. Fleming, St. Louis, MO, Richard A. Winterbottom, Albuquerque, for Amici Curiae NACDL & NMCDLA in Nos. 22,059, 22,462, 22,497 and 22,650.
T. Glenn Ellington, Chief Public Defender, Hollis Ann Whitson, Mental Health Unit Coordinator, Laurie A. Knight, Assistant Public Defender, Ralph Odenwald, Second Judicial District Defender, Santa Fe, for Defendant-Appellant in No. 22,462.
Tom Udall, Attorney General, Joel Jacobsen, Assistant Attorney General, Santa Fe, for Plaintiff-Appellee in No. 22,462.
T. Glenn Ellington, Chief Public Defender, Hollis A. Whitson, Mental Health Unit Coordinator, Laurie A. Knight, Assistant Public
T. Glenn Ellington, Chief Public Defender, Hollis Ann Whitson, Mental Health Unit Coordinator, Laurie A. Knight, Assistant Public Defender, John L. Walker, Metropolitan Court Supervisor, Santa Fe, for Plaintiff-Appellee in No. 22,608.
Tom Udall, Attorney General, Jennifer Stone, Assistant Attorney General, Santa Fe, for Plaintiff-Appellee in No. 22,650.
BACA, Justice.
OPINION
At issue on appeal is the constitutionality of New Mexico‘s Mental Illness and Competency Code,
I.
A.
On June 13, 1989, Christopher Rotherham was indicted on charges of first-degree murder, second-degree murder, or manslaughter. The district court found Rotherham to be incompetent to stand trial on the charges and committed him to the Las Vegas Medical Center-Forensic Treatment Unit (“the LVMC-FTU“) for treatment to attain competency to stand trial. The court ordered the hospital to file a report within 30 days assessing, among other items, the specific cause of Rotherham‘s disability and amenability to treatment to competency. The court set a hearing for September 18, 1989, to review Rotherham‘s competency. Over the next three years, the LVMC-FTU staff sent reports indicating that Rotherham was not competent to stand trial. On January 27, 1992, the LVMC-FTU staff indicated that he was not likely to attain competency to stand trial within a year. On April 27, 1992, the State filed a motion to determine Rotherham‘s competency and dangerousness. At the hearing on the motion held on August 3, 1992, the State and counsel for Rotherham agreed that he was incompetent to stand trial. The court heard expert testimony that it was unlikely Rotherham would become competent to stand trial. The expert further testified that if Rotherham were allowed to live independently without treatment and without a staff to administer his medication, he would likely cause great bodily harm to himself or to other people. A hospital staff psychiatrist who treated Rotherham testified that he observed Rotherham exhibit behavior that was “very close to physical violence.”
B.
On December 19, 1989, Richard Lopez was indicted on charges of depraved-mind murder, second-degree murder, manslaughter, felony murder, and arson. On February 8, 1990, the district court found Lopez to be incompetent to stand trial and committed him to the care and custody of the Health and Environment Department for treatment to attain competency to stand trial. The court ordered the Health Department to submit a report to the court within 30 days assessing, among other items, the cause and nature of Lopez‘s disability and his amenability to treatment to attain competency. The court also ordered that a hearing be held May 10, 1990, to review Lopez‘s competency to stand trial. The Health Department designated the LVMC-FTU to provide appropriate evaluation and treatment. On November 5, 1990, the district court determined that Lopez remained incompetent to stand trial and that there was no substantial probability that he would become competent within one year. The court further determined by a preponderance of the evidence that Lopez committed first-degree depraved-mind murder and that he was dangerous. The court reserved a ruling on the sufficiency of the evidence on the remaining counts. The court also ordered that Lopez remain committed at the LVMC-FTU. In March 1991, 1992, and 1993, the hospital provided the district court with written annual updates on Lopez‘s status. In each update, the hospital reported that Lopez was making essentially no progress toward competency to stand trial and was not likely to attain such status in the foreseeable future. On February 22, 1994, Lopez filed a motion for writ of habeas corpus and to dismiss the criminal cause against him, arguing that he had been held in pretrial detainment longer than a reasonable amount of time, that his confinement was not in accord with the least drastic means principle, that his confinement constituted cruel and unusual punishment, and that his substantive due process rights were violated. On October 3, 1994, the district court found that, although Lopez had made substantial progress toward competency to stand trial and there was a substantial probability he would obtain competency in the foreseeable future, he had not yet attained competency. The court also found that he had been confined for a reasonable amount of time, especially considering the seriousness of the charges against him, his disabilities, his history of substance abuse, and his dangerousness. The court also found that he was not entitled to the protection afforded, under the civil commitment statutes. To the extent that the court found the least drastic means standard applied, the court determined that Lopez‘s treatment and confinement satisfied that standard. The court also found that Lopez was not denied equal protection of the law solely because of his pending criminal charges and incompetence, and that the conditions of his confinement did not violate his substantive due process rights to treatment and liberty under the United States or New Mexico constitutions. The court ordered that Lopez remain confined in a secure, locked facility. Lopez appeals from this order.
C.
On August 6, 1991, Lucille Epperson was charged with aggravated battery and first-degree murder. On December 2, the district court found her to be incompetent to stand trial and committed her to the LVMC-FTU for treatment. The court‘s final December 2 order stated that Epperson “presents a serious threat of inflicting great bodily harm on
D.
On September 25, 1990, Joe Martinez was indicted on charges of attempted criminal sexual penetration, attempted kidnapping, and aggravated assault. On March 20, 1991, after having reviewed a competency evaluation, the district court found Martinez to be incompetent to stand trial and committed him to the custody of the Health and Environment Department for treatment to attain competency to stand trial. On April 27, 1992, Martinez filed a motion to compel election pursuant to
E.
On June 1, 1990, Charles Lucas was indicted on charges of armed robbery. On July 24, the district court found Lucas to be incompetent to stand trial and committed him to the forensic unit at the LVMC-FTU. On May 12, 1992, the State motioned the court to set a competency hearing, which was scheduled for August 17, 1992. The record does not indicate whether this hearing was ever held. On February 2, 1994, Lucas filed a motion to dismiss and to release him from custody. He contended inter alia that he had been detained longer than a reasonable period of time, he had been deprived equal protection of laws, his confinement was not in accord with civil commitment or within the
F.
We gave leave to file amicus briefs to the New Mexico Council on Crime and Delinquency (NMCCD); the National Association of Criminal Defense Lawyers (NACDL) and the New Mexico Criminal Defense Lawyers Association (NMCDLA); the New Mexico Protection and Advocacy System (NMPAS), the National Association of Protection and Advocacy Systems (NAPAS), and ARC of New Mexico (ARC); and the National Alliance for the Mentally Ill (NAMI) and the Alliance for the Mentally Ill of New Mexico (AMINM).4
II.
The law has long recognized that it is a violation of due process to prosecute a defendant who is incompetent to stand trial. Bishop v. United States, 350 U.S. 961, 76 S.Ct. 440, 100 L.Ed. 835 (1956); Pate v. Robinson, 383 U.S. 375, 86 S.Ct. 836, 15 L.Ed.2d 815 (1966); State v. Gallegos, 111 N.M. 110, 114, 802 P.2d 15, 19 (Ct.App.), cert. denied, 111 N.M. 77, 801 P.2d 659 (1990). A person is competent to stand trial when he has “sufficient present ability to consult with his lawyer with a reasonable degree of rational understanding—and ... he has a rational as well as factual understanding of the proceedings against him.” Dusky v. United States, 362 U.S. 402, 80 S.Ct. 788, 4 L.Ed.2d 824 (1960); State v. Gardner, 85 N.M. 104, 106, 509 P.2d 871, 873, cert. denied, 414 U.S. 851, 94 S.Ct. 145, 38 L.Ed.2d 100 (1973). An accused must have the capacity to assist in his own defense and to comprehend the reasons for punishment. See Incompetency to Stand Trial, 81 Harv.L.Rev. 454, 457-59 (1967) (discussing suspension of criminal proceedings where the defendant is incompetent). When there is a question as to the defendant‘s mental competence to stand trial, any further proceedings must be suspended until the court determines the issue. Pate, 383 U.S. at 385, 86 S.Ct. at 842; State v. Noble, 90 N.M. 360, 363, 563 P.2d 1153, 1156 (1977). Suspension of the criminal process where the defendant is incompetent is fundamental to assuring the fairness, accuracy, and dignity of the trial. Incompetency to Stand Trial, supra.
Prior to Jackson v. Indiana, 406 U.S. 715, 92 S.Ct. 1845, 32 L.Ed.2d 435 (1972), criminal defendants found to be incompetent to stand trial could be confined until their competence was restored. Defendants whose competence could never be restored were effectively subjected to a lifetime commitment. Grant H. Morris & J. Reid Meloy, Ph.D., Out of Mind? Out of Sight: The Uncivil Commitment of Permanently Incompetent Criminal Defendants, 27 U.C.Davis L.Rev. 1 (1993). In Jackson the United States Supreme Court ruled that indefinite commitment of a person, for reasons based solely on his incompetence to stand trial, violates the Fourteenth Amendment
After Jackson was decided, New Mexico revised its statutes governing the confinement and treatment of persons found to be incompetent to stand trial. Under the NMMIC, when a question as to a defendant‘s competency is raised in a criminal case, the court is required to suspend further proceedings until the issue is resolved,
Within thirty days of defendant‘s admission to a treatment facility, the person supervising the defendant‘s treatment is required to provide to the district court a report that includes an initial assessment, a treatment plan, a report on the defendant‘s amenability to treatment to render him competent, an assessment on the facility‘s capacity to appropriately provide treatment, and an opinion on the probability of the defendant‘s attaining competency within one year.
For criminal commitment, the State must establish by clear and convincing evidence that the defendant committed the criminal act charged.
III.
We first address whether the NMMIC denies Appellants equal protection of the law. Appellants argue that they are treated differently than persons civilly committed under the MHDDC. Specifically, Appellants argue (1) that the commitment criteria under the NMMIC are less stringent and the release criteria are more stringent than the standards under the MHDDC, (2) that they are denied treatment that is consistent with legitimate treatment objectives, and (3) that their confinement is inconsistent with the least drastic means principle. Appellants contend they are treated differently because of their pending criminal charge and their incompetence to stand trial, which they argue are an insufficient basis for unequal treatment. We disagree with Appellants and hold that the NMMIC does not impinge on equal protection guarantees.
A.
“The Equal Protection Clause of the Fourteenth Amendment commands that no State shall ‘deny to any person within its jurisdiction the equal protection of the laws,’ which is essentially a direction that all persons similarly situated should be treated alike.” City of Cleburne v. Cleburne Living Ctr., Inc., 473 U.S. 432, 439, 105 S.Ct. 3249, 3254, 87 L.Ed.2d 313 (1985) (quoting Plyler v. Doe, 457 U.S. 202, 216, 102 S.Ct. 2382, 2394-95, 72 L.Ed.2d 786 (1982)). Generally, state “legislation is presumed to be valid and will be sustained if the classification drawn by the statute is rationally related to a legitimate state interest.” Id. at 440, 105 S.Ct. at 3254. Where, however, the legislative classification involves a “suspect class,” the legislation is subject to strict scrutiny. Appellants contend that, in analyzing the constitutionality of the statute, the Court should apply strict scrutiny because the NMMIC affects a “suspect class.” We disagree that Appellants constitute a suspect class.
“A suspect class has been defined as a discrete group ‘saddled with such disabilities, or subjected to such a history of purposeful unequal treatment, or relegated to such a position of political powerlessness as to command extraordinary protection from the majoritarian political process.‘” Richardson v. Carnegie Library Restaurant, Inc., 107 N.M. 688, 696, 763 P.2d 1153, 1161 (1988) (quoting San Antonio Indep. Sch. Dist. v. Rodriguez, 411 U.S. 1, 28, 93 S.Ct. 1278, 1294, 36 L.Ed.2d 16 (1973)). “Only statutory classifications based on race, national origin, or alienage so far have been treated as suspect.” Richardson, 107 N.M. at 696, 763 P.2d at 1161. The class of persons found to be incompetent to stand trial does not meet the established definition of a suspect class.
We recognize, however, that although a classification may not involve a suspect class, strict scrutiny is applied when the classification creates inequalities bearing on fundamental rights. Laurence H. Tribe, American Constitutional Law § 16-7, at 1454 (2nd ed. 1988). Involuntary commitment of a person for treatment to attain competency to stand trial impinges on that person‘s constitutional guarantee of liberty, a “fundamental right.” Cf. San Antonio Indep. Sch. Dist., 411 U.S. at 33-34, 93 S.Ct. at 1296-97; Richardson, 107 N.M. at 696, 763 P.2d at 1161 (stating that “a fundamental right is that which the Constitution explicitly or implicitly guarantees“). Most provisions in the Bill of Rights are applied to the states because they are determined to be fundamental to the American system of government and inherent in the concept of liberty under the due process clause. In addition, for the purpose of equal protection analysis, these rights are considered to be fundamental. John E. Nowak et al., Constitutional Law § XI, at 816 (2nd ed. 1983). “All persons are born equally free, and have certain natural, inherent and inalienable rights, among which are the rights of enjoying and defending life and liberty....”
B.
Appellants rely on Jackson, 406 U.S. at 730, 92 S.Ct. at 1854, to argue that a person charged with a crime cannot be subject to commitment criteria that are less stringent and release criteria that are more stringent than those applied to persons civilly committed under the MHDDC. Their argument proceeds on two points.
First, Appellants argue that a person must have a mental illness to be committed and incompetence to stand trial is not a mental illness. We find no merit in this argument. It is well established that the government may “detain mentally unstable individuals who present a danger to the public and dangerous defendants who become incompetent to stand trial.” United States v. Salerno, 481 U.S. 739, 748-49, 107 S.Ct. 2095, 2102, 95 L.Ed.2d 697 (1987) (citation omitted). Additionally, due process requires a defendant to be able to understand the charges against him and to assist his attorney in his own defense. Dusky, 362 U.S. at 402, 80 S.Ct. at 788. The State has an interest in rendering a defendant competent to stand trial, and, as long as they remain dangerous, the State has an interest in committing them to protect the defendants and the public. Appellants do not dispute their respective district court‘s findings that they are incompetent to stand trial and dangerous.
Second, Appellants contend that a person civilly committed under the MHDDC may be released if the district attorney fails to proceed with a recommitment hearing. See
At issue in Jackson was an Indiana statute that allowed a defendant to be indefinitely committed solely because he was incompetent to stand trial. Jackson was a developmentally disabled deaf-mute with a mental capacity of a pre-school child who was charged with two separate robberies. He was found to be incompetent to stand trial and, because he had neither sufficient intelligence nor necessary communication skills, the trial court committed him to the Department of Mental Health until he became sane. Jackson, 406 U.S. at 719, 92 S.Ct. at 1848-49. Indiana‘s mental incompetency statute allowed commitment until he became competent to stand trial. For Jackson, this meant permanent commitment because his chances of ever meeting competency standards were minimal at best, if not nonexistent. Id. at 727, 92 S.Ct. at 1852-53. He, therefore, challenged the constitutionality of the statute, arguing that it violated equal protection guarantees by treating him differently than civilly-committed persons.
The United States Supreme Court ruled that the existence of pending criminal charges did not justify distinguishing Jackson from other defendants with similar mental impairments. The Court compared the commitment criteria and the release criteria of the civil commitment statutes with the commitment criteria and release criteria of the statute under which Jackson was committed. Id. at 727-29, 92 S.Ct. at 1852-54. The Court noted that the criteria for commitment under the civil commitment statutes are
to a more lenient commitment standard and to a more stringent standard of release than those generally applicable to all others not charged with offenses, and by thus condemning him in effect to permanent institutionalization without the showing required for commitment or the opportunity for release afforded by
§ 22-1209 or§ 22-1907 ....
Id. at 730, 92 S.Ct. at 1854 (emphasis added). The Court also held that a person charged with a crime could only be held for treatment to attain competency “for a reasonable period of time’ necessary to determine whether there is a substantial chance of his attaining the capacity to stand trial in the foreseeable future.” Id. at 733, 92 S.Ct. at 1855. Such is not the case here.
The NMMIC provides that “[a] hearing on the issue of the competency of an incarcerated defendant charged with a felony shall be held by the district court within a reasonable time, but in no event later than thirty days.”
Additionally, there are various steps at which the State cannot continue to confine an incompetent defendant and must either re-5lease, civilly commit, or prosecute him. That is, a criminal defendant cannot be subject to commitment under
C.
Appellants argue that incompetent defendants are simply detained without an opportunity to receive the same treatment that is afforded to those persons civilly committed under the MHDDC. Specifically, Appellants argue that civil commitment under the MHDDC requires the court to make specific findings that the proposed treatment will benefit the client and that the treating facility must provide treatment consistent with an individualized treatment plan. Appellants argue that no such findings are required to commit a defendant under the NMMIC. We disagree and hold that the NMMIC requires treatment and, when necessary, the treatment shall be the same as that under the MHDDC.
Clearly, the NMMIC is not intended to allow a defendant who is committed to a facility to languish unattended. To the contrary, a defendant is committed specifically to undergo treatment to attain competency.
Additionally, the court-ordered treatment must be tailored to render a particular defendant competent to stand trial. The NMMIC includes several points at which the district court shall monitor the sufficiency of the treatment. For example,
Additionally,
The MHDDC defines “treatment” as “any effort to accomplish a significant change in the mental or emotional condition or behavior.”
Finally, a defendant who has been criminally committed pursuant to
We conclude that when a defendant has been found dangerous under the NMMIC, see
D.
Next, Appellants argue that the NMMIC deprives them of equal protection because their commitment is not in accordance with the “least drastic means principle,” which civil committees are afforded under the MHDDC. Appellants argue, for example, that persons committed under the MHDDC are provided an opportunity to earn liberties or transfers to less restrictive environments while the NMMIC does not afford defendants the same right.
The MHDDC provides that persons receiving mental health services,
the habilitation or treatment and the conditions of habilitation or treatment for the client, separately and in combination:
- are no more harsh, hazardous or intrusive than necessary to achieve acceptable treatment objectives for the client;
- involve no restrictions on physical movement and no requirement for residential care except as reasonably necessary for the administration of treatment or for the protection of the client or others from physical injury; and
- are conducted at the suitable available facility closest to the client‘s place of residence.
IV.
Next, we address whether the statute deprives Appellants of substantive due process. Appellants argue that the statute violates their substantive due process rights with regard to the nature and duration of their incarceration, their treatment, and their confinement, which they argue are not in accordance with the least drastic means principle.
A.
“[S]ubstantive due process prevents the government from engaging in conduct that ‘shocks the conscience’ or interferes with rights ‘implicit in the concept of ordered liberty.‘” Salerno, 481 U.S. at 746, 107 S.Ct. at 2100 (citations omitted). It prevents the state from impinging on a person‘s liberties or rights of fundamental constitutional magnitude unless it proves that the law is necessary to promote a compelling or overriding interest. See Nowak, supra § IV, at 448. As we recognized above, involuntary commitment for treatment to attain competency to stand trial impinges on Appellant‘s right to liberty.
B.
Appellants rely primarily on Jackson v. Indiana to argue that the nature and duration of their confinement allowed by the statute deprives them of their substantive due process rights. Specifically, Appellants argue that they have been held longer than permitted by Jackson because there is no substantial probability they will become competent in the foreseeable future, and that they have been confined beyond a “reasonable period of time.” Appellants also argue that neither their progress towards attaining trial competency nor their dangerousness justifies their continued confinement. We hold that the statute does not deprive Appellants of their substantive due process rights.
In Jackson the Supreme Court stated that “[a]t the least, due process requires that the nature and duration of commitment bear some reasonable relation to the purpose for which the individual is committed.” Jackson, 406 U.S. at 738, 92 S.Ct. at 1858. The Court, therefore, held that “a person charged by a State with a criminal offense who is committed solely on account of his incapacity to proceed to trial cannot be held more than the reasonable period of time necessary to determine whether there is a substantial probability that he will attain that capacity in the foreseeable future,” otherwise, the defendant would have to be civilly committed or released. Id. Further, the Court held that even if the defendant may “probably soon be able to stand trial, his continued commitment must be justified by progress toward that goal.” Id. The Court refrained from setting arbitrary time limits but determined that Jackson‘s three and one-half years of commitment was enough for Indiana to determine whether he could ever stand trial. Id. at 738-39, 92 S.Ct. at 1858-59.
New Mexico‘s statute satisfies Jackson because it requires more than mere incompetence for commitment to treatment. The NMMIC requires that a criminal defendant be committed to treatment only if he is both incompetent to stand trial and dangerous, otherwise the district court must either dismiss the criminal case or advise the district attorney to proceed with civil commitment proceedings.
Additionally, once the defendant is committed and is undergoing treatment, the statute requires the district court to periodically monitor whether he is making any progress toward competency such that he may become competent within the one-year time frame. Within thirty days after the defendant is admitted for treatment, the court must receive an opinion from the treating facility as to the probability of the defendant‘s attaining competency within the one-year time frame.
We also hold that the duration of commitment is not unreasonable. Again, pursuant to Jackson, once the district court determines that there is no substantial probability that a defendant will attain competency, continued commitment can no longer be justified. This determination may be made “at any time,”
Appellants also contend that although New Mexico‘s legislation is patterned after the American Bar Association‘s (ABA) standards, see ABA Criminal Justice Mental Health Standards (1989), it reflects the oppressive components only and omits the features that would save it as constitutional. Although we recognize the practical merit in the ABA standards, constitutional validity does not depend on whether the NMMIC fully reflects such standards. Gallegos, 111 N.M. at 117, 802 P.2d at 22. While the NMMIC does not include all the recommended standards of the ABA, we refuse to usurp the power of the Legislature by imposing those standards.
Appellants rely on Youngberg v. Romeo, 457 U.S. 307, 102 S.Ct. 2452, 73 L.Ed.2d 28 (1982), to argue that the State does not provide them with the training and treatment designed to address their ability to live safely in society. Youngberg involved a retarded man who was involuntarily committed because of his inability to care for himself. During his commitment, he was frequently subjected to violence from other residents and he frequently injured himself as well. As a result, he was constrained to bodily-restraint devices. The Supreme Court held that he was entitled to safe conditions, freedom from restraints, and training to ensure his safety and freedom. Youngberg, 457 U.S. at 324, 102 S.Ct. at 2462-63.
V.
We now address whether the NMMIC deprives Appellants of procedural due process. Appellants and amicus curiae argue that a defendant‘s right to procedural due process is violated because criminal commitment under
A.
Appellants argue that criminal commitment under
In Addington v. Texas, the United States Supreme Court, in discussing the correct standard for civil commitment, stated
[t]he function of a standard of proof, as that concept is embodied in the Due Process Clause and in the realm of factfinding, is to “instruct the factfinder concerning the degree of confidence our society thinks he should have in the correctness of factual conclusions for a particular type of adjudication.”
441 U.S. 418, 423, 99 S.Ct. 1804, 1808, 60 L.Ed.2d 323 (1979) (quoting In re Winship, 397 U.S. 358, 370, 90 S.Ct. 1068, 1075-76, 25 L.Ed.2d 368 (1970) (Harlan, J., concurring)). “The standard serves to allocate the risk of error between the litigants and to indicate the relative importance attached to the ultimate decision.” Id. In determining the proper standard, both the individual‘s interest and the state‘s interest must be assessed, while keeping in mind that the “function of legal process is to minimize the risk of erroneous decisions.” Id. at 425, 99 S.Ct. at 1809 (citing Mathews v. Eldridge, 424 U.S. 319, 335, 96 S.Ct. 893, 903, 47 L.Ed.2d 18 (1976); cf. Board of Educ. of Carlsbad v. Harrell, 118 N.M. 470, 478, 882 P.2d 511, 519 (1994) (applying Mathews in determining procedural due process)).
First, the private interest that will be affected by the official action; second, the risk of an erroneous deprivation of such interest through the procedures used, and the probable value, if any, of additional or substitute procedural safeguards; and finally, the Government‘s interest, including the function involved and the fiscal and administrative burdens that the additional or substitute procedural requisites would entail.
Id. at 335, 96 S.Ct. at 903. This test has been employed in both civil and criminal cases. See, e.g., Zinermon v. Burch, 494 U.S. 113, 127, 110 S.Ct. 975, 984, 108 L.Ed.2d 100 (1990); Ake v. Oklahoma, 470 U.S. 68, 77, 105 S.Ct. 1087, 1093, 84 L.Ed.2d 53 (1985). We apply it here as well.
Although due process dictates that a state cannot criminally prosecute an incompetent defendant, the State has a compelling interest in committing him under
The fact that a criminal defendant is detained for a period of time does not inexorably mean the State has imposed punishment. Salerno, 481 U.S. at 746, 107 S.Ct. at 2102. Rather, because the State seeks to treat an incompetent and to protect the community from danger, detention serves a regulatory rather than a punitive function. See id. at 747, 107 S.Ct. at 2101-02 (stating that pretrial detention serves regulatory and not penal function and does not violate substantive due process). “[P]reventing danger to the community is a legitimate regulatory goal.” Id. An incompetent defendant facing commitment under
There is a real distinction between the purpose of commitment under
“The heavy standard applied in criminal cases manifests our concern that the risk of error to the individual must be minimized even at the risk that some who are guilty might go free.” Id. The full force of that concern is not present here. While a defendant may be erroneously committed under
The standard of clear and convincing evidence strikes a fair balance between the defendant‘s interest in avoiding an erroneous deprivation of liberty and the State‘s interest in treating the defendant, protecting the defendant from himself, and protecting society in general. Further, any risk of an erroneous decision from applying this standard is insufficient to warrant a higher standard.
B.
Appellants and amicus contend that a defendant‘s right to procedural due process is also violated because the NMMIC prohibits the use of the insanity defense when facing criminal commitment in a Section 1.5 hearing. We disagree. Our Court of Appeals, in State v. Werner, 110 N.M. 389, 796 P.2d 610 (Ct.App.), cert. denied, 109 N.M. 704, 789 P.2d 1271 (1990), addressed this issue, upholding
In Werner, appellant relied on the
VI.
The NMMIC provides a series of deadlines at which the district court must hold hearings to determine issues of competency, dangerousness, and criminal conduct. Appellants Rotherham and Lucas argue that virtually every significant deadline has been violated in their respective cases. Appellants compare the time limitations to the “six-month rule,”
In State v. Mendoza we applied a “common sense approach” to hold that the six-month rule did not prevent recommencement of the six-month time period after a defendant is found competent to stand trial. 108 N.M. 446, 448-49, 774 P.2d 440, 442-43 (1989); see also State v. Flores, 99 N.M. 44, 46, 653 P.2d 875, 877 (1982) (stating that six-month rule “is to be read with common sense“). We reasoned that the delay to determine trial competency is necessary to preserve due pro-
Still, an incompetent defendant cannot be committed for more than a “reasonable period of time” than necessary to determine whether he will be rendered competent to stand trial in the foreseeable future. Jackson, 406 U.S. at 733, 92 S.Ct. at 1855-56. Our Legislature adopted a system of hearings, complete with time limitations, to ensure that a defendant‘s commitment is no longer than a “reasonable period of time.” Thus, it would be contrary to the statute‘s objective, and indeed the constitution, to allow these time limitations to be ignored. The inevitable result would be commitment for a period longer than what the Legislature has deemed reasonable. Hence, the State has the responsibility to ensure that a defendant‘s commitment is no longer than “reasonable” and that all statutory procedures are timely effectuated. Cf. County of Los Alamos v. Beckman, 120 N.M. 596, 599, 904 P.2d 45, 48 (Ct.App.1995) (citing State v. Mascarenas, 84 N.M. 153, 155, 500 P.2d 438, 440 (Ct.App.1972) (stating that accused has no duty to bring on own trial).
We do not agree that the remedy for delay is automatic dismissal. This, too, would go beyond legislative intent. Significantly, the Supreme Court in Jackson did not articulate a hard and fast time limitation on commitment to attain competency, requiring only that commitment be for a “reasonable period of time.” We too expect there may be reasonable delays in administration and treatment that would require hearings to be held later than anticipated. When neglect by the State leads to unreasonably lengthy commitment, delay will not be excused. On the other hand, delay caused by a defendant‘s own initiative will not suffice for dismissal. State v. Bishop, 108 N.M. 105, 108, 766 P.2d 1339, 1342 (Ct.App.1988) (stating that “[w]aiver is an intentional abandonment of a known right“).7 We hold that if the district court finds that the statutory process has been delayed such that commitment has been longer than a “reasonable period of time,” it may then proceed under either
VII.
We hold that New Mexico‘s Mental Illness and Competency code is not unconstitutional. We also hold that any alleged deficiency in the treatment rendered to incompetent criminal defendants is not due to alleged unconstitutionality of the NMMIC. Rather, without defining the particular treatment for each defendant, the NMMIC properly requires treatment to be administered by qualified professionals. Thus, any claim that treatment is insufficient would be properly directed to those responsible for its specific design and administration. We, therefore, affirm the statute‘s application to Appellant Lopez. We also remand the cases of Appellants Martinez and Rotherham for further proceedings as required under
IT IS SO ORDERED.
FROST, C.J., and FRANCHINI, J., concur.
MINZNER, J. (specially concurring).
RANSOM, J. (joining in special concurrence).
MINZNER, Justice (specially concurring).
I concur in the majority‘s opinion, but write separately to address additional issues under the Mental Health and Developmental
Because I conclude that the State may continue to confine Lopez, I agree that we should affirm the trial court‘s order denying release. I also would affirm his 1994 order on periodic review. The record indicates that a subsequent, two-year periodic review is pending before the trial court.1
Additional Facts Regarding Lopez‘s Circumstances and Issues Raised by Lopez.
In May 1990, Lopez‘s treating physicians filed with the trial court a treatment plan which contained five objectives of diagnosing and treating Lopez with the goal of rendering him competent to stand trial. In October 1990, the court, following a hearing, found that there was no substantial probability that Lopez would become competent to stand trial by October 12, 1991, a year from the date of the hearing. In November 1990, the court conducted a
Although [Lopez] has made only minimal progress towards competency, in the period 1990 through March of 1993, he has—those are pursuant to those three annual reports that I have seen, plus the testimony at the April 1994 hearing—since then he has made substantial progress. Not nearly as much as I would like to see, but substantial progress towards attaining competency as a result of the May 11, 1990 treatment plan and his care and supervision at Las Vegas Medical Center.
Lopez challenges the trial court‘s finding that he stands a substantial likelihood of attaining competency in the foreseeable future as not supported by the evidence. He also argues that the findings are not sufficient to support his continued confinement and that the trial court made its findings pursuant to the wrong standard.
The record contains two orders entered by the trial court in this case. The first is an order entered on Lopez‘s motion to dismiss and petition for writ of habeas corpus. The second is the court‘s order entered on periodic review. Neither order references the burden of proof the trial court believed to be applicable. Lopez relies on an oral comment by the trial court to the effect that the court found it possible that he would obtain competency within a reasonable time, but only by a preponderance of the evidence. We will not rely on the trial court‘s oral comment to reverse. “Oral statements of a judge in articulating [a] ruling at the close of trial do not constitute a ‘decision’ within the meaning of [SCRA 1986, 1-052(B)(1)(a) (Repl.Pamp.1992)], and error may not be predicated thereon.” Balboa Constr. Co. v. Golden, 97 N.M. 299, 304, 639 P.2d 586, 591 (Ct.App. 1981).
The order entered on Lopez‘s motion to dismiss contains no finding regarding the likelihood of his attaining competency. The order entered on periodic review contains a finding regarding the likelihood of Lopez‘s attaining competency. There is no statutory requirement that the trial court make a finding regarding the likelihood of Lopez‘s attaining competency on periodic review following a
I conclude that the issue of the sufficiency of the finding regarding competency is not properly before us. The arguments on appeal have been constitutional challenges to the validity of the statutory scheme as a whole. The attack on the findings in this case seems intended to provide additional support for Lopez‘s characterization of the statute as authorizing unlawful confinement. No independent basis for reversal has been identified.
Lopez‘s Right to Substantive Due Process.
As the majority opinion notes, the NMMIC initially requires an expedited schedule of hearings regarding competency. See op. at 1138-39; see also 1141. I think that the statutory schedule satisfies Lopez‘s constitutional rights to equal protection and due process, and particularly the holding in Jackson v. Indiana, 406 U.S. 715, 92 S.Ct. 1845, 32 L.Ed.2d 435 (1972), during the period in which the statute requires an expedited schedule. However, during the period after a
While
Existing United States Supreme Court precedents suggest a direction, but they do not compel a particular answer. No state statute seems comparable to New Mexico‘s, and thus precedent from other jurisdictions is of limited help in resolving this case. In the absence of controlling federal precedent or helpful state law opinions, I believe that we must identify the Legislature‘s particular purpose in providing for the period of confinement following a
Lopez specifically challenges the limited kinds of treatment available to him at the LVMC-FTU. Dr. Gatling testified that he is limited in his ability to treat Lopez properly due to his commitment at the LVMC-FTU as opposed to the civil wing of the hospital, where a wider range of treatments is avail-
The majority opinion indicates that treatment available in civil commitments shall not be denied to those held for treatment to regain competency. Op. at 1141-43. Further, the majority opinion indicates that this broader range of treatment is also available to those committed to a “secure, locked facility” pursuant to
Eckerhart v. Hensley, 475 F.Supp. 908 (W.D.Mo.1979), recognized that persons who are mentally ill or who are mentally retarded and are dangerous to either themselves or others have a right to treatment whether they are hospitalized through a criminal or civil process. As a matter of federal due process, the district court in Eckerhart required treatment that afforded the affected individuals a reasonable opportunity to be cured or to improve their mental condition, and that the required treatment be directed to that aspect of behavior which caused the confinement. Id., 475 F.Supp. at 914. Although that right is not sufficiently well-established that I can say federal due process requires us to reach that result in this case, I would require that result under the New Mexico Constitution.
The confinement in this case is in effect pretrial detention in a mental institution. In Bell v. Wolfish, 441 U.S. 520, 537, 99 S.Ct. 1861, 1873, 60 L.Ed.2d 447 (1979), a challenge to the conditions of confinement in a custodial facility, the United States Supreme Court held that pretrial detainees, not yet convicted of the crimes charged, could not be punished. Therefore, in reviewing challenges to the conditions of pretrial confinement, the inquiry should be whether the government‘s interests served by any given restriction outweigh the individual deprivations suffered. Id. at 564, 99 S.Ct. at 1887 (Marshall, Justice, dissenting). The more specific test for determining whether conditions of pretrial detention violate due process is whether conditions amount to punishment. Lynch v. Baxley, 744 F.2d 1452 (11th Cir. 1984).
I would construe confinement pursuant to
Because it would be unconstitutional to try an incompetent defendant, Pate v. Robinson, 383 U.S. 375, 378, 86 S.Ct. 836, 838, 15 L.Ed.2d 815 (1966), a court must have the power to order a competency hearing and to commit the defendant to an appropriate facility for treatment. The treatment should aid the defendant in becoming competent, and the release standards should be interpreted in light of the pending trial. See generally Pernell, 92 N.M. at 499, 590 P.2d at 647. Because Lopez has been additionally found to be dangerous to himself and others, the State has a particular, compelling interest in his detention in a secure, locked facility. United States v. Salerno, 481 U.S. 739, 755, 107 S.Ct. 2095, 2105, 95 L.Ed.2d 697 (1987) (“In our society liberty is the norm, and detention prior to trial or without trial is the carefully limited exception.“); Jones v. United States, 463 U.S. 354, 361, 103 S.Ct. 3043, 3048, 77 L.Ed.2d 694 (1983). When it becomes clear that a defendant may not attain competency within a reasonable period, the district court conducts a hearing under
I conclude that the question of whether the conditions of confinement after a
Various acceptable forms of treatment may rise above the constitutional threshold, but minimal constitutional standards require treatment to counter dangerousness in order to facilitate defendants’ release from a criminal involuntary commitment and into the potential advantages of a civil commitment. See Eckerhart, 475 F.Supp. at 914; In re J.S., 124 Wash.2d 689, 880 P.2d 976 (1994). The state has constitutional obligations to adequately care for and treat involuntarily-committed individuals. I agree with Amici that
RANSOM, J., concurs.
