United States v. Robert Junior BakerUnited States v. Robert Junior Baker
Robert Junior Baker is appealing from two district court orders. The first order held that Baker did not have the mental competency to participate in the probation revocation proceedings against him, and placed him in the temporary custody of the United States Attorney General for treatment pursuant to
Appellant argues that his initial commitment pursuant to
For the reasons stated below, we hold that: (1) the district court’s initial commitment of Baker was valid only up to a period of four months; and (2) Baker’s continued commitment pursuant to
I.
Appellant herein, Robert Baker, was sentenced to nine-months incarceration on July 14, 1983, after pleading guilty to a charge of possessing an unregistered firearm in violation of
While still on probation, appellant was arrested for driving under the influence of alcohol. Based on this arrest, as well as appellant’s failure to contact and report to his probation officer as instructed, a probation violator’s warrant was issued on August 23, 1985. Baker was taken into custody on September 4, 1985 pursuant to the warrant, and a probation revocation hearing was scheduled for September 20, 1985 before United States District Court Judge Thomas A. Higgins. At the September 20th hearing, Baker asserted through counsel that he wished to waive his right to challenge the probation revocation proceedings; rather, he would prefer to serve the remainder of his sentence so that he would not have to report to a probation officer in the future.
During the course of this hearing the government questioned Baker’s mental competency to understand the nature of the probation revocation proceedings. Following an exchange between the district court and Baker,
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the court determined
On September 30, 1985, a second hearing was conducted. At this hearing the government maintained that Baker was not competent to proceed with the probation revocation hearing and that he should therefore be committed to the custody of the United States Attorney General and be placed in the care of a psychiatric facility pursuant to
In response, • Baker’s counsel asserted that Baker was competent enough to understand the nature of a probation revocation hearing; that is, that he understood that the probation revocation hearing would determine whether he stayed on probation or served his remaining sentence in jail. Although Baker’s counsel acknowledged that Baker’s overall competency was in question, he maintained that his client was sufficiently competent to comprehend the choice he faced and to make that choice. Baker was then questioned by his counsel and the court, and he consistently maintained that he would prefer to serve 60 days in jail than to remain on probation.
The district court thereafter concluded that Baker was “presently suffering from mental disease or defect rendering him incompetent mentally to understand, despite his assertions, the nature and consequences of the proceedings against him,” that he was “a danger to himself and to society and that he [was] in desperate need of ... psychiatric treatment____” The court, relying on
On March 6,1986, the government filed a motion to dismiss the probation violator’s warrant. There is nothing in the record which indicates that the government had filed any motion with the district court prior to this date or that a hearing had been held with respect to Baker’s competency and continued commitment. The motion to dismiss noted that it was unlikely that Baker would attain competency in the foreseeable future so as to enable the probation revocation proceedings to continue. It was also noted that, were the motion granted, Baker would be placed in the custody of the state of Tennessee since there was an outstanding warrant for his arrest based on an alleged parole violation.
A hearing was held on this motion the following day, March 7th. At this hearing, the government pointed out to the court
The district court, before ruling on the motion, asked to hear from Dr. O’Brien, one of Butner’s psychiatrists. In response to the court’s questions, Dr. O’Brien testified that although Baker was not a threat to himself or anyone at Butner, he had threatened harm to his ex-wife and one of her relatives. Based on these threats, O’Brien opined that Baker would pose “a potential danger to someone in the community,” and that he felt “uncomfortable with letting [Baker] out, back out into the community.”
Dr. O’Brien further explained, in response to questions raised by Baker’s counsel, that Baker’s threats toward his ex-wife stemmed from Baker’s belief that someone had been harming and possibly molesting his daughters. O’Brien acknowledged that he did not know whether Baker’s daughters in fact had been molested and that no investigation had been conducted to verify or refute Baker’s assertion; 3 however, were Baker’s belief based in fact rather than delusion, Dr. O’Brien agreed that Baker’s angry response would not have been inappropriate.
Following O’Brien’s testimony, the government withdrew its motion to dismiss. Thereafter, the court ruled from the bench that Baker was to remain in the custody of the Attorney General pursuant to
On March 18, 1986, appellant filed a motion for a thirty-day extension to file a notice of appeal which was granted by the district court. On April 2, 1986, appellant filed two motions with the district court. One motion requested the court to reconsider and set aside its March 10th order and to grant a new hearing. The other requested the court to set aside the March 10th order, to dismiss all the proceedings against Baker and to release him from custody. Before these motions were ruled on, however, Baker filed a notice of appeal from the October 1, 1985 and March 10, 1986 commitment orders. Accordingly, the district court ruled, on April 23, 1986, that it lacked jurisdiction to consider Baker’s April 2, 1986 motions.
II.
A.
Appellant argues that he was sufficiently competent, even if only limitedly so, to waive his right to challenge the probation violation proceedings. Since he was competent to waive this right, he asserts that his initial commitment pursuant to
While there is testimony in the record from which one could conclude that Baker understood the difference between being in jail and being on probation, there is also evidence which suggests that Baker was, as a result of his mental disease or defect, unable to understand the nature of the probation revocation hearing. Judging the credibility and mental capacity of witnesses and resolving conflicts in the evidence are within the unique capacity of the factfinder; and, since we cannot find the district court’s factual findings regarding Baker’s mental competency to be clearly erroneous,
see
B.
However, inasmuch as appellant claims that his confinement since September 1985 has been illegal, we feel compelled to address the length of his commitment pursuant to the authority of
(1) for such a reasonable period of time, not to exceed four months, as is necessary to determine whether there is a substantial probability that in the fore-
seeable future he will attain the capacity to permit the trial to proceed; and (2) for an additional reasonable period of time until—
(A) his mental condition is so improved that trial may proceed, if the court finds that there is a substantial probability that within such additional period of time he will attain the capacity to permit the trial to proceed; or
(B) the pending charges against him are disposed of according to law;
whichever is earlier.
In the instant case, appellant was held from September 30, 1985 until March 1986 before the government filed a motion to dismiss the probation violator’s warrant. This confinement was clearly in excess of four months, and there is nothing in the record to indicate that his period of confinement was properly extended. Therefore, although the court’s initial commitment of appellant on September 30th was valid, we hold that there was no authority to confine appellant beyond the four months authorized by
III.
A.
Appellant raises several challenges to his continued commitment pursuant to the March 10, 1986 order. Specifically, he argues that since the district court failed to follow the procedures outlined in
While courts of appeals generally refuse to consider issues not passed upon by lower courts,
Sigmon Fuel Co. v. TV A,
[t]he matter of what questions may be taken up and resolved for the first time on appeal is one left primarily to the discretion of the courts of appeals, to be exercised on the facts of individual cases____ Certainly there are circumstances in which a federal appellate court is justified in resolving an issue not passed on below, as where the proper resolution is beyond any doubt, ... or where “injustice might otherwise result.”
Singleton v. Wulff
B.
Appellant argues that he never received notification that the March 7, 1986 hearing was going to be a
The civil commitment of an individual into a mental hospital is a significant deprivation of liberty, particularly when that commitment is of indefinite duration; such a deprivation, therefore, must be accompanied by procedural safeguards which adhere to due process requirements.
See Vitek v. Jones,
Congress, in structuring the laws providing for the civil commitment of offenders who have a mental disease or defect, was cognizant of the substantial liberty interest at stake and set forth procedural guidelines
(a) Institution of proceeding. — If the director of a facility in which a person is hospitalized certifies that a person whose sentence is about to expire, or who has been committed to the custody of the Attorney General pursuant to
(b) Psychiatric or psychological examination and report. — Prior to the date of the hearing, the court may order that a psychiatric or psychological examination of the defendant be conducted, and that a psychiatric or psychological report be filed with the court, pursuant to the provisions of section 4247(b) and (c).
(c) Hearing. — The hearing shall be conducted pursuant to the provisions of section 4247(d).
(d) Determination and disposition. — If, after the hearing, the court finds by clear and convincing evidence that the person is presently suffering from a mental disease or defect as a result of which his release would create a substantial risk of bodily injury to another person or serious damage to property of another, the court shall commit the person to the custody of the Attorney General. The Attorney General shall release the person to the appropriate official of the State in which the person is domiciled or was tried if such State will assume responsibility for his custody, care, arid treatment. The Attorney General shall make all reasonable efforts to cause such a State to assume such responsibility. If, notwithstanding such efforts, neither such State will assume such responsibility, the Attorney General shall hospitalize the person for treatment in a suitable facility, until—
(1) such a State will assume such responsibility; or
(2) the person’s mental condition is such that his release, or his conditional release under a prescribed regimen of medical, psychiatric, or psychological care or treatment would not create a substantial risk of bodily injury to another person or serious damage to property of another;
whichever is earlier. The Attorney General shall continue periodically to exert all reasonable efforts to cause such a State to assume such responsibility for the person’s custody, care, and treatment.
Section 4247(d), referred to in
The most significant provision of
The government does not attempt to argue that a
One of the most fundamental requirements of due process is that an individual must receive adequate notice of the charges or claims being asserted against him. We believe that subsection (a) of
Further, without such notification, the hearing procedures outlined in section 4247(d) are without force. Notice is required to provide an individual with a meaningful opportunity to challenge the government’s evidence; an individual who has not been notified of the government’s intention to commit the person indefinitely or of the grounds relied on by the government, simply has not been afforded an opportunity to present his own witnesses and to challenge adequately the government’s evidence.
An example of the unfairness which might arise when proper notification is not given is Baker’s assertion that he was not afforded a meaningful opportunity to rebut the government’s proof regarding his potential for future dangerousness.
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It is essential that an individual be provided a
The certificate not only serves a notification function under the Due Process Clause, but it also acts as a partial guarantee that the
In the instant case, the district court, in essence, sua sponte called a
We hold, therefore, that by failing to adhere to the procedures outlined in
C.
Finally, appellant argues that the district court’s order committing him indefinitely is in contravention of the Tenth Amendment to the Constitution. In essence, appellant asserts that the federal government lacks the power to civilly commit individuals who may be permanently mentally ill and who have already served their time in prison and do not face additional charges.
The Tenth Amendment provides that “[t]he powers not delegated to the United States by the Constitution, nor prohibited by it to the States, are reserved to the States respectively, or to the people.” This amendment has been described as a “truism” in the sense that it does not function as a limitation on Congress’ power to act, but merely reiterates that whatever power was not granted to the federal government cannot be exercised by the federal government.
See United States v.
Had Baker’s commitment pursuant to
IV.
In conclusion, we find that although the appellant’s initial commitment pursuant to
In determining the appropriate relief to be granted, two considerations influence our decision. First, we note that defendant brought a direct appeal from the district court’s commitment orders and did not file a habeas corpus petition. Second, after this case was placed on our appellate docket, the director of Butner filed what purports to be a
Notes
. Hereinafter, all references to statutory provisions will be to Title 18, United States Code, unless otherwise specified.
. The record suggests that on September 20, 1985, appellant was probably suffering from some sort of mental illness. Appellant related to the court that something had come out of the television and had been "[l]ooking for signs, ... looking for wonders, signs on me, tatoos____” Further, the following exchange took place:
The Court: Now, do you want to have a hearing and challenge the Government’s proof?
Mr. Baker: Yes, Your Honor.
The Court: You do?
Mr. Baker: I will not — excuse me, I’ll not accept the mark of the beast which is three sixes. I asked — begged, if Your Honor please, I begged them doctors, they said I was crazy in seeing things coming through the T.V. I begged, — got on my knees and I begged the Lord, what is it. I was looking at the T.V., it was coming through the T.V. to me. I didn’t know where it was coming from.
The Court: Well, I note you don’t have shoes on. Why aren’t you wearing your shoes? Mr. Baker: I asked the good Lord, I’ll walk the way he did if I can save everybody from the hell I’ve been through. I’ll wipe the dust off my feet in protest against—
The Court: Against what?
Mr. Baker: Against Ronald Reagan.
The Court: Why are you protesting against the President?
Mr. Baker: For the simple reason I carried him long enough. I’ll not carry him any more, not in my mind, not in — I just want to be free.
The Court: Now, you want to have a hearing and let the Government present its proof? Mr. Baker: To put the mark of the beast on me? Yes, Your Honor, I would.
. In discussing this matter further with the district court, Dr. O’Brien made the following statements:
The problem I’m having, how do I justify for keeping him there when I can’t even determine whether his situation that he described is valid or not valid, based on reality or not based on reality? To what degree have his daughters actually been molested? Is his anger justified? How do I determine that? And right now I’m just working with him and based on that, and previous behavior, and the things that he has said that have delusional components to them, I’m saying that, you know, that potentially he is dangerous. I have to say that. And what he is saying is that "I’m not going to change my position. I feel my daughters are in jeopardy. I’ll still, you know, if someone is harming them, I’ll still try and protect them.” And so we are at sort of a stalemate. How do I determine what is reality based and what is not?
. Cheama is a case similar to the case before this court; however, unlike the court in Chea-ma, we do not believe the record requires further development before we can reach the merits of the issues presented.
. Although the government states that Dr. O’Brien was Baker’s witness, the record indicates that Dr. O'Brien was cross-examined by Baker’s counsel, and there is nothing in the record to support the government’s claim. Further, even had Dr. O'Brien been Baker’s witness, Baker was not put on notice as to the nature of the testimony to be solicited from O’Brien.
. In addition,
. The decision of the Supreme Court to dismiss the
Gordon v. United States
case is found at