Lead Opinion
Opinion for the Court filed by Circuit Judge RANDOLPH.
Concurring opinion filed by Circuit Judge RANDOLPH, with whom Circuit Judge SENTELLE joins.
Concurring opinion filed by Circuit Judge ROGERS.
Under the Fifth Amendment’s Due Process Clause there is a “significant liberty interest in avoiding the unwanted administration of antipsychotic drugs.” Washington v. Harper,
I.
On July 24, 1998, an assailant armed with a .38 caliber revolver forced his way past security checkpoints at the United States Capitol. He shot and killed Jacob Chestnut and John Gibson, both officers of the United States Capitol Police. He shot and seriously wounded Douglas McMillan, also an officer of the United States Capitol Police. Russell Eugene Weston, himself seriously wounded by gunfire, was arrested at the scene. The federal government indicted Weston on two counts of murdering a federal law enforcement officer, one count of attempting to murder a federal law enforcement officer, and three counts of using a firearm in a crime of violence.
The government wants to try Weston for these crimes but is presently unable to do so because the district court found him incompetent to stand trial. See United States v. Weston,
Weston is currently incarcerated “for treatment” at the Federal Correctional Institute in Butner, North Carolina. He is not being treated. Rather, he was placed in solitary confinement under constant observation when he arrived at FCI Butner and remains there today. The Bureau of Prisons apparently placed him in seclusion to “mitigate [his] dangerousness.” Weston,
There is treatment available for Weston’s illness and its symptoms in the form of antipsychotic medication. The parties agree that such medication is likely the only treatment that can mitigate his schizophrenia and attendant delusions, and thus restore his competence to stand trial. See Brief for Appellant at 5; Brief for Appellee at 12-13. Weston is not currently receiving any such medication because, at a time when he was considered medically competent to make a determination, he refused them. The district court prohibited the Bureau of Prisons from forcibly medicating Weston without a court order.
After two administrative hearings and two district court hearings, the government obtained an order authorizing it to administer. antipsychotic medication against Weston’s will. See United States v. Weston,
A panel of this court reversed and remanded the case to the district court, holding that the district court’s dangerousness finding was not supported by the record. See United States v. Weston,
On remand, the district court again held that the Bureau of Prisons could forcibly medicate Weston. It concluded that anti-psychotic medication was medically appro
In this appeal, Weston claims that administering antipsychotic drugs against his will violates his Fifth Amendment due process liberty interest “in avoiding unwanted bodily intrusion” and implicates his right to a fair trial. See Brief for Appellant at 37-38. In earlier stages of this case, Weston asserted a First Amendment right to freedom from compulsory medication and challenged the Bureau of Prisons’ administrative procedures under the Fifth Amendment’s Due Process Clause.
II.
The due process liberty interest in avoiding unwanted antipsychotic medication may be “significant,” but it is not absolute. See Kansas v. Hendricks,
Whether a proposed course of action is “medically appropriate” obviously depends on the judgment of medical professionals. See Harper,
The district court measured the medical appropriateness of antipsychotic medication by examining the capacity of anti-psychotic drugs to alleviate Weston’s schizophrenia (the medical benefits) against their capacity to produce harm
Weston claims that the ethical obligations a doctor owes a patient preclude forcible medication in these circumstances. As he sees it, “the question whether the administration of antipsychotic medication is medically appropriate is different from the question whether treatment is therapeutically appropriate.” Brief for Appellant at 18. Thus, “[t]he context in which the forced medication issue arises and the state purpose are relevant considerations for the physician to decide whether it is ethical to force-medicate.” Id. If the state’s purpose is to make one competent for trial, Weston argues, then a doctor must consider alternatives such as civil commitment. See id. These ethical norms purportedly derive from the Hippocratic Oath and the 1982 United Nations Principles of Medical Ethics Relevant to the Role of Health Personnel, Particularly Physicians, in the Protection of Prisoners and Detainees against Torture, and Other Cruel, Inhuman or Degrading Treatment or Punishment. See Brief for Appellant at 19.
No source of legal authority — -neither Bureau of Prisons regulations, nor the statute governing treatment of incompetent pretrial detainees, nor the Constitu
A. Mitigating Dangerousness
A pretrial detainee’s liberty interest in avoiding unwanted antipsychotic medication gives way when the medication is essential to mitigate the detainee’s dangerousness: “Nevada certainly would have satisfied due process if the prosecution had demonstrated, and the District Court had found, that treatment with antipsychotic medication was medically appropriate and, considering less intrusive alternatives, essential for the sake of [the pretrial detainee’s] own safety or the safety of others.” Riggins,
On appeal of the district court’s first decision, a panel of this court found the record insufficient to support application of the Riggins standard. Much of the evidence focused on the government’s competency-for-trial justification — which the district court did not adopt — and the limited evidence supporting the dangerousness justification “indicates that in his current circumstances Weston poses no significant danger to himself or to others.” Weston,
On remand, the district court received additional evidence showing that Weston’s condition had deteriorated. In view of this evidence, the court once again found that Weston posed such a danger that medicating him was warranted. We think the previous panel’s decision likely precluded that finding. That panel held that Weston’s situation in confinement — total seclusion and constant observation' — obviated any significant danger he might pose to himself or others. There appears no basis to believe that Weston’s worsening condition renders him more dangerous
B. Restoring Competence to Stand Trial
In Riggins, the Court prescribed the conditions sufficient for a dangerousness justification, but explicitly declined to “prescribe ... substantive standards” for determining when other government interests override a pretrial detainee’s liberty interest in refusing antipsychotic medication. See Riggins,
“The substantive issue involves a definition of the protected constitutional interest, as well as identification of the conditions under which competing state interests might outweigh it.” Harper,
The Supreme Court denied that it had adopted a strict scrutiny standard in Rig-gins. See Riggins,
We think the appropriate standard is the one the Court set forth in the penultimate paragraph where it noted the lack of a “finding that might support a conclusion that administration of antipsychotic medication was necessary to accomplish an essential state policy....” Id. at 138,
1. The Essential State Policy in Adjudicating Criminality
Preventing and punishing criminality are essential governmental policies. The Supreme Court has recognized that preventing crime is a compelling governmental interest. See Schall v. Martin,
The Court in Riggins recognized the strength of the government’s policy in adjudicating criminality when it stated that the government “might” be able to involuntarily medicate a defendant if “it could not obtain an adjudication of [his] guilt or innocence by using less intrusive means,”
We need not decide under what circumstances trying and punishing offenders is not “essential.” The government’s interest in finding, convicting, and punishing criminals reaches its zenith when the crime is the murder of federal police officers in a place crowded with bystanders where a branch of government conducts its business. The Court made the point in Salerno-. “While the Government’s general interest in preventing crime is compelling, even this interest is heightened when the Government musters convincing proof that the arrestee, already indicted or held to answer for a serious crime, presents a demonstrable danger to the community. Under these narrow circumstances, society’s interest in crime prevention is at its greatest.”
Weston concedes that in “the ordinary case, the strength of the' government’s interest in trying a defendant accused of first degree murder is undisputed,” but argues that when “the government seeks to forcibly medicate a defendant in order to try him, however, the case is no longer ordinary, because presumptions against forced medication have deep roots in the law.” Brief for Appellant at 43. This argument is a reprise of the medical ethics point we considered and rejected in determining whether antipsychotic medication is medically appropriate. It has no more purchase here. The “presumption” against forced medication goes to the importance of Weston’s constitutional right to refuse antipsychotic drugs (which we agree is substantial), not to the nature of the government’s countervailing interest.
We also do not believe that the “governmental interest in medicating a defendant
2. Involuntary Medication is Necessary and there are no Less Intrusive Means
The sole constitutional mechanism for the government to accomplish its essential policy is to take Weston to trial. See U.S. Const, amend. V (no deprivation of life, liberty, or property without due process). Antipsychotic medication is necessary because, as the district court found, “antipsy-chotic medication is the only therapeutic intervention available that could possibly improve Weston’s symptom picture, lessen his delusions, and make him competent to stand trial.” Weston,
Although Weston does not propose any alternative means, he claims that the fit between involuntary medication and the government’s interest is not sufficiently tight in two respects. First, he argues that the medication will not restore his competence to stand trial because he is not likely to respond to it. Second, he contends that the medication’s mind-altering properties and likely side effects will prejudice his right to a fair trial such that the government could not lawfully try him even if his competence were restored. Either way, the argument goes, there is an insufficient probability that forcible medication will satisfy the government’s interest.
We will treat what Weston styles the “narrow tailoring” requirement of strict scrutiny as an attack on the “necessity” of antipsychotic medication. In determining whether a governmental interest overrides a constitutional right, courts examine not only the nature of the right and the strength of the countervailing interest, but also the fit between the interest and the means chosen to accomplish it. This inquiry entails a predictive judgment about the probable efficacy of the means to satisfy the interest. In the terms of this case, antipsychotic medication may not be “necessary” if its use will not permit the government to try Weston.
That antipsychotic medication must be necessary to restore Weston’s competence to stand trial does not mean there must be a 100% probability that it will produce this result. As the Court has recognized, “necessity” may mean “absolute physical necessity or inevitability” or “that which is only convenient, useful, appropriate, suitable, proper, or conducive to the end
The government has established a sufficient likelihood that antipsychotic medication will restore Weston’s competence while preserving his right to a fair trial. See Brandon,
The small possibility that antipsychotic medication will not make Weston competent for trial is certainly tolerable considering that antipsychotic medication is the sole means for the government to satisfy its essential policy in adjudicating the murder of federal officers. See Burson,
Weston points out that there is also a possibility that antipsychotic medication could prejudice his right to a fair trial by, for instance, altering his courtroom demeanor, interfering with his recollection and ability to testify, and obstructing his right to present an insanity defense. We agree with the district court that “[t]here is no reason to conclude, at this time, that involuntary medication would preclude Weston from receiving a fair trial.” Weston,
The general right to a fair trial includes several specific rights such as the right to be tried only while competent, that is, while able to understand the proceedings, consult with counsel, and assist in the defense. See Drope v. Missouri,
There is a possibility that the medication could affect Weston’s behavior and demeanor on the witness stand such that the jury might regard his “synthetically sane” testimony as inconsistent with a claim of insanity. As Justice Kennedy put it in Riggins, “[i]f the defendant takes the stand ... his demeanor can have a great bearing on his credibility and persuasiveness, and on the degree to which he evokes sympathy.” Riggins,
The district court also correctly held that a defendant does not have an absolute right to replicate on the witness stand his mental state at the time of the crime. See Weston,
Weston will not have to rely solely on his own testimony to show his state of mind on July 24, 1998. Involuntary medication therefore stands little chance of impairing his right to present an insanity defense. There is extensive documentation and testimony concerning Weston’s delusional system, his history of mental illness, and his “behavior, appearance, speech, actions, and extraordinary or bizarre acts ... over a significant period.” Weston,
A third trial right that could be implicated by antipsychotic medication is Weston’s right to be present at trial in a state that does not prejudice the factfinder against him. See Estelle v. Williams,
Here again the record indicates that medication will likely enhance rather than impair Weston’s right to a fair trial. Dr. Johnson stated that medication “will alter [Weston’s demeanor] to the extent that it will be more a return to his baseline non-psychotic state. I would anticipate he would have less blunting or flattening of his affect. He would be able to respond more appropriately from an emotional standpoint with his facial expression than he is now.” 7/24/00 p.m. Tr. at 8; see also 7/25/00 a.m. Tr. at 22-24 (Dr. Johnson agreeing with the proposition that, with medication, Weston’s “expressions potentially could be more appropriate to the context of what’s occurring in the courtroom”; also, her testimony that “[i]t is the patient who is over-medicated or whose side effects are not managed who would demonstrate an increased lack of responsiveness”).
The possibility of side effects from anti-psychotic medication is undeniable, but the ability of Weston’s treating physicians and the district court to respond to them substantially reduces the risk they pose to trial fairness. The district court found that Weston’s doctors can manage side effects in a number of ways: “the Court credits the testimony of the government experts and Dr. Daniel, the independent expert, that the side effects of medication are manageable through adjustments in the timing and amount of the doses, and through supplementary medications.” Weston,
The district court also has measures at its disposal: “If Weston is medicated and his competency is restored, the Court is willing to take whatever reasonable measures are necessary to ensure that his rights are protected. This may include informing the jurors that Weston is being administered mind-altering medication, that his behavior in their presence is conditioned on drugs being administered to him at the request of the government, and allowing experts and others to testify regarding Weston’s unmedicated condition, the effects of the medication on Weston, and the necessity of medication to render Weston competent to stand trial.” Weston,
There is a very high probability that involuntary medication will serve the government’s essential interest in rendering Weston “competent to stand trial in a proceeding that is fair to both parties.” Brandon,
III. Guardian ad Litem
Weston also appeals the district court’s refusal to appoint a guardian ad litem. The district court concluded that it lacked authority to appoint a guardian and expressed uncertainty about what function a guardian would perform if appointed. See 7/24/00 a.m. Tr. at 2-3.
We need not decide whether the court had discretion to appoint a guardian and, if so, whether it abused that discretion in declining to exercise it. The issue is not relevant to the outcome of this case. If the guardian consented on Weston’s behalf, the government presumably may medicate him. See Reply Brief for Appellant at 24-25 (stating that a guardian “would effectively stand in Weston’s shoes” and that “Weston’s counsel also explained at a hearing that a guardian could take the position that the guardian should do as the guardian saw fit with Weston — which would include allowing medication”); see also 7/27/00 a.m. Tr. at 108-09. If the guardian withheld consent, we are in the same position as without a guardian: the government’s interest in restoring Weston’s competence to stand trial outweighs his liberty interest. If the guardian issue is otherwise relevant, Weston has failed to show it.
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Because antipsychotic medication is medically appropriate and is necessary to accomplish an essential state policy, the district court’s order permitting the government to forcibly medicate Weston is
Affirmed.
Notes
. Weston refers in footnote 9 of his brief to the First Amendment, the Fourth Amendment, and "privacy interests” not attributed to any particular part of the Constitution. He has supplied no supporting arguments and we therefore will disregard his references. See, e.g., Washington Legal Clinic for the Homeless v. Barry,
. See, e.g., 8/20/99 a.m. Tr. al 59 (Dr. Johnson testifying that the standard of care for treating schizophrenia is antipsychotic medication); 4 Joint Appendix 103 (Report of Dr. Daniel stating that "[a]ntipsychotic medication is essential to the treatment of psychotic disorders such as schizophrenia. Psychotherapy without antipsychotic medication is not considered to be an effective treatment for schizophrenia.”); 7/25/00 p.m. Tr. at 11 (Dr. Deprato's testimony that ”[t]he diagnosis of paranoid schizophrenia is appropriately treated with antipsychotic medication”); 7/26/00 a.m. Tr. at 64 (Dr. Zonona’s testimony: Question: "To your knowledge is there any hospital in this country that would not attempt to treat this patient with antipsychotic medication to address the illness as you understand it based on the materials that you’ve had an opportunity to sit in and review?” Answer: "Well, I think that is the standard treatment of choice these days rand] if you don't offer and try to use medication in a situation like this, it is negligent.”).
. There are two types of antipsychotic medication — the "typicals” and the “atypicals.” The government proposed to use typicals, which are an older generation of antipsychot-ics. The district court found:
Typical antipsychotics can produce the following side effects: (1) dystonic or acute dystonic reactions, which involve a stiffening of muscles; (2) acuesthesia, which is restlessness or an inability to sit still; (3) Parkinsonian side effects, which can slow an individual; (4) tardive dyskinesia, which causes repetitive, involuntary tic-like movements of the face, eyelids, and mouth; (5) neuroleptic malignant syndrome ("NMS”), which causes temperature control problems and stiffness; and (6) perioral tremor, referred to as rabbit syndrome because of the mouth movements associated with it.
. Defense counsel also claims that Weston’s decision while he was medically competent not to take antipsychotic medication makes such medication medically inappropriate. See Brief for Appellant at 45. We shall assume arguendo that Weston’s previous decision reflects his current informed judgment (which of course is unknowable). Nonetheless, withholding of consent does not make a treatment medically inappropriate. In Harper, for instance, the inmate reportedly said he "would rather die than take medication,”
. The district court held the government to a clear-and-convincing-evidence burden of proof. See
. See 7/24/00 p.m. Tr. at 8 (Dr. Johnson's testimony that "I would really expect him, from a mental status standpoint, to be functioning in a much enhanced manner over his
. Antipsychotic drugs have progressed since Justice Kennedy discussed their side effects in Riggins. There is a new generation of medications having better side effect profiles. See Weston,
. Although the bulk of Weston's fair trial argument relates to the narrow tailoring aspect of his Fifth Amendment substantive due process argument, he makes a fleeting reference to an independent right to a fair trial in arguing for strict scrutiny: "Weston's Fifth and Sixth Amendment rights to a fair trial are also at stake because the forced administration of antipsychotic medication may 'have a prejudicial effect on [Weston’s] physical appearance at trial’ and have an adverse effect on his 'ability to participate in his own defense.’ ” Brief for Appellant at 37. To the extent this cursory reference suffices to raise this claim, this is not the occasion to evaluate it. Whether antipsychotic medication will impair Weston's right to a fair trial is best determined when the actual effects of the medication are known, that is, after he is medicated. (This is in contrast to the narrow tailoring component of Weston's bodily integrity claim, which requires a predictive judgment now.) As Judge Tatel stated in the previous panel opinion, "the difficulty inherent in predicting how a particular drug will affect a particular individual may well lead the district court to conclude that it cannot make this determination about Weston without first medicating him. In that event, I see
Concurrence Opinion
with whom Circuit Judge SENTELLE joins, concurring:
I write separately because I believe United States v. Weston,
Concluding that Weston was not sufficiently dangerous to warrant forcibly medicating him, the panel wrote that “in his current circumstances Weston poses no significant danger to himself or to others.” Weston,
This standard puts the government in an unnecessary quandary. If Weston were no longer confined to a room and under constant surveillance, he would be dangerous and, presumably, could be medicated. However, because the government cannot medicate him while he is carefully confined — and therefore, not dangerous — it cannot release him into the general pretrial detention population without incurring substantial risks. The result: the
The statutes — 18 U.S.C. §§ 4241^247— provide a far different standard for dangerousness than the prior panel’s decision, and represent not only the good judgment of Congress and the President, but also the Judicial Conference of the United States which “after long study by a conspicuously able committee, followed by consultation with federal district and circuit judges,” proposed the legislation. Greenwood v. United States,
Our concurring colleague proposes a different reading of the prior panel’s decision. Because of the problems just discussed, I hope her view eventually prevails even though the language of that opinion, quoted above, does not seem to support her.
Concurrence Opinion
concurring:
I write separately on two points: the findings necessary for forcible administration of medication in a pretrial context, and the determination of dangerousness to support such governmental intrusion.
First, following the instruction in Rig-gins v. Nevada,
The district court on remand made these three determinations. See United States v. Weston,
Keeping these determinations separate is important because the Supreme Court has acknowledged that a defendant’s liberty interests may outweigh the State’s interest. Although indicating that even “a substantial probability of trial prejudice” can be justified if “administration of anti-psychotic medication [is] necessary to accomplish an essential state policy,” Rig-
Second, the court eschews review of the district court’s determination on remand that forced medication was justified because of Weston’s dangerousness to himself or others. The court views our decision in United States v. Weston,
The court in Weston II did not “put[] the government in an unnecessary quandary.” Concurring opinion at 887. The court’s language must be read in context. In stating that “[i]f the government advances the medical/safety justification on remand, it will need to present additional evidence showing that either Weston’s condition or his confinement situation has changed since the hearing so as to render him dangerous,” Weston II,
The record on remand indicates that the parties and the district court understood what “additional evidence” of dangerousness was required by Weston II; none has suggested that the government confronted a “quandary.” See Br. for Appellee at 28, 38, 41-42; see also Opinion at 879. Expert medical testimony was offered on Weston’s dangerousness in and out of seclusion, distinguishing between Weston’s state of mind and his ability to act on his delusions. See, e.g., Test, of Dr. Daniel, 4
