RAYMOND A. JACKSON, District Judge.
Before the Court is the Motion for Authorization to Administer Involuntary Medication to Defendant Keith Brent Duncan ("Defendant") to restore his competence to stand trial. Having reviewed parties' memoranda and heard oral arguments and testimony on the motion, this matter is now ripe for judicial disposition.
On December 13, 2011, an Eastern District of Virginia Grand Jury filed a Criminal Indictment against Defendant, charging him with Unlawful Possession of a Firearm, in violation of 18 U.S.C. § 922(g)(8).
On June 11, 2012, the Court held a hearing on Defendant's criminal responsibility and competency to stand trial, during which Defendant testified. The Government did not present any additional evidence at the hearing and the Court adopted psychological reports submitted by the Federal Bureau of Prisons' Metropolitan Correctional Center. These reports found that Defendant met the legal criteria for a mental disease, specifically Bipolar 1 Disorder, Severe with Psychotic Features, and that his mental illness impaired his ability to appreciate the wrongfulness of his conduct at the time of the alleged instant offense. A second report determined that Defendant is not competent to stand trial, as he does not possess a rational understanding of the proceedings against him, does not have the capacity to assist his counsel in his defense, and cannot make decisions regarding his legal strategy adequately.
Based on these medical conclusions, on June 11, 2012, the Court found that Defendant is suffering from a mental disease or defect that renders him unable to understand the nature and consequences of the proceedings against him or to properly assist in his defense. As such, the Court committed the Defendant to the custody of the Attorney General of the United States for a psychological or psychiatric evaluation and determination of the probability of future mental competency. On September 17, 2012, the staff at the Federal Medical Center in Butner, North Carolina ("Butner") diagnosed Defendant with Schizoaffective Disorder, Bipolar Type. Further, due to Defendant's Schizoaffective Disorder, Butner's staff determined "that involuntary medication is necessary to restore Mr. Duncan's competency to stand trial." On October 26, 2012, the Government filed its motion to forcibly medicate the Defendant in order to restore his mental competency to stand trial. On December 17, 2012, Butner filed a treatment plan for Defendant and reaffirmed its belief that involuntary medical treatment is necessary.
On February 4, 2013, the Court held a hearing to consider the Government's motion. Prior to the hearing, Defendant, through counsel, informed the Court and the Government that he wished to voluntarily submit to medical treatment so that he could be returned to competency and stand trial. The Court issued an order directing that Defendant be returned to Butner for treatment for not more than four months in accordance with his own wishes. However, the Court warned that
Through a series of cases, the United States Supreme Court ("Supreme Court") has established a framework to determine whether the "forced administration of antipsychotic drugs to render [a criminal defendant] competent to stand trial unconstitutionally deprive him of his `liberty' to reject medical treatment?" Sell v. United States, 539 U.S. 166, 177, 123 S.Ct. 2174, 156 L.Ed.2d 197 (U.S.2003). In Washington v. Harper, 494 U.S. 210, 110 S.Ct. 1028, 108 L.Ed.2d 178 (1990), the Supreme Court "recognized that an individual has a `significant' constitutionally protected `liberty interest' in `avoiding the unwanted administration of antipsychotic drugs.'" Id. at 178, 123 S.Ct. 2174 (quoting Harper, 494 U.S. at 221, 110 S.Ct. 1028).
Id. The Supreme Court has made clear that the circumstances justifying the intrusion of the liberty of an individual person implicit in the act of forcibility medicating a criminal defendant are "rare." Id.
In order to justify forcibly medicating a criminal defendant to achieve competency for trial, a district court must make a series of findings with respect to four factors identified by the Supreme Court in the Sell case ("Sell Factors") as well as consider relevant special circumstances. Further, the Fourth Circuit holds:
United States v. Bush, 585 F.3d 806, 814 (4th Cir.2009) (internal citation omitted). Therefore, the Court must find that the Sell Factors weigh in favor of the Government by clear and convincing evidence. Id.
The Supreme Court holds that in order to forcibly medicate a defendant to restore competency to stand trial, the Government must establish the following, by clear and convincing evidence: (1) that an important governmental interest exists, such as bringing a defendant to trial who is charged with a serious crime; (2) that involuntary medication will significantly further the Government's interest; (3) that involuntary medication is necessary to further the Government's interest; and (4) that the use of any medicines are medically appropriate in light of the defendant's condition. Sell, 539 U.S. at 179, 123 S.Ct. 2174.
A court contemplating forcibly medicating a defendant must "find that important governmental interests are at stake. The Government's interest in bringing to trial an individual accused of a serious crime is important. That is so whether the offense
White, 620 F.3d at 413 (internal citation omitted).
In determining whether a crime is serious, the Supreme Court also direct district courts to consider special circumstances that "may lessen the importance of that interest. The defendant's failure to take drugs voluntarily, for example, may mean lengthy confinement in an institution for the mentally ill — and that would diminish the risks that ordinarily attach to freeing without punishment one who has committed a serious crime." Sell, 539 U.S. at 180, 123 S.Ct. 2174. The Sell Court also cites as a special circumstance the amount of time the Defendant has already spent in custody and the time served he would be credited for if convicted. Id. However, the Court has also made clear that by directing consideration of special circumstances:
Id.
Additionally, the Fourth Circuit has clarified that the two enumerated special
White, 620 F.3d at 412 n. 9. As the Fourth Circuit references above, in Evans, 404 F.3d at 240, it made clear the special circumstances articulated in Sell are not "the only consideration relevant to whether special circumstances undermine the government's interest." Therefore, the Fourth Circuit decided that "the flexibility of the special circumstances determination may identify factors militating in favor of the government's interest in going forward with a prosecution even where there has been prolonged pretrial detention, and the analysis may also identify factors further undermining the government's interest." White, 620 F.3d at 413. With this in mind, the Fourth Circuit has noted that "the district court [having] the option of imposing a period of supervised release as a factor bolstering the government's interest." Id.
A court contemplating forcibly medicating a defendant must also find that the administration of said medication will significantly further the government's interest. As the Supreme Court explains:
Sell, 539 U.S. at 181, 123 S.Ct. 2174.
A court contemplating forcibly medicating a defendant must also find that forcibly medicating a defendant is necessary to further the Government's interest:
Id. The Fourth Circuit is clear that contained in Sell "is specific command that must be met before a district court may answer this inquiry in the affirmative: the court "must consider less intrusive means for administering the drugs, e.g., a court order to the defendant backed by the contempt power."" U.S. v. Chatmon, 718 F.3d 369, 375 (4th Cir.2013).
Finally, a court contemplating forcibly medicating a defendant to restore competency must also find the usage of drugs is medically appropriate:
Sell, 539 U.S. at 181, 123 S.Ct. 2174. With these legal standards in mind, the Court now addresses the Government motion.
The Government asserts that that it has met all of the requirements of Sell and relevant Fourth Circuit precedent and the Court should authorize forcibly medicating the Defendant to restore his competency to stand trial. Citing the ten year maximum sentence associated with the sole count of the indictment against the Defendant, the Government argues that offense charged, Unlawful Possession of a Firearm, in violation of 18 U.S.C. § 922(g)(8), is a serious crime, thus rendering the government's interest in bringing the defendant to trial "important" under the Sell framework. The Government, based on Burner's evaluation reports, argues that involuntarily medicating the Defendant will significantly further the government's important interests to try the Defendant and that no alternatives means will be effective in achieving similar results. The Government also asserts that involuntary medication is necessary to further the its interests given that less intrusive alternatives are unlikely to substantially achieve the same results and no serious side effects would hinder the Defendant's ability to assist in his own defense. Finally, the Government argues that the forcibly use of medication is appropriate in light of the Defendant's condition.
In addition, Defendant argues that even if the maximum sentence associated with the charge against him is the most appropriate decisional metric for seriousness under Sell, a series of special circumstances mitigate the Government's important interest. First, the Defendant argues, using the Federal Bureau of Prisons' Criminal Responsibility Evaluation as support, that he has a strong likelihood of successfully showing that he was criminally insane at the time he allegedly committed the crime charged. The BOP report indicates that "[r]egarding the issue of Criminal Responsibility [sic] at the time of the alleged offense, it is therefore the opinion of this evaluator, with a reasonable degree of psychological certainty, Mr. Duncan's mental illness impaired his ability to appreciate the wrongfulness of his conduct at the time of his actions." See Criminal Responsibility Evaluation, ECF No. 12, 18, May 22, 2012. The Defendant believes his lack of culpable mental state at the time he allegedly committed the crime charged substantially mitigates the Government's important interest in bring him to trial since it won't be able to secure a conviction against him.
Second, the Defendant cites the significant amount of time he has spent incarcerated as mitigating the Government's important governmental interest. Defendant has been in the custody of the United States for approximately one year and three months. Given that Defendant has been in custody for nearly as long as the lower end of the applicable sentencing guideline range, he argues that if convicted, he will likely spend a limited amount of time, if any, in prison. Defendant argues that the Government important interests have been substantially mitigated, weighing against forcibly medicating the Defendant. Third, the Defendant argues that the Government's interest in protecting the public from further harm is mitigated by Defendant's current circumstances. Even if the Court does not grant the Government's motion, Defendant argues that he will likely remain in confinement for a significant period of time for mental health treatment. Defendant also asserts that he will be prohibited from ever obtaining or owning a firearm again due to his commitment to a prison mental hospital under 18 U.S.C. § 922(g)(4).
The Defendant also argues that the Government has not shown that involuntarily medicating him will be substantially likely to render him competent to stand trial or that occurrences of adverse side effects are unlikely (Sell Factor II). The Defendant also argues that the Government has failed to meet its burden to show that forced medicating him is necessary and the least intrusive option available to restore competency (Sell Factor III). Finally, the Defendant asserts that again the Government has failed to meet its burden by showing that the forcible medicating of the Defendant is medically appropriate for him.
As the Supreme Court directs, this Court must find, by clear and convincing evidence, that an important governmental interest exists, such as bringing a defendant to trial that is charged with a serious crime. The fulcrum of this factor is whether the charged crime in the Defendant's case is serious enough to warrant the constitutional intrusion implicated by forcibly medicating a person with antipsychotic drugs. For the reasons set forth below, the Court finds that the Government has failed to meet its burden, by clear and convincing evidence. While the charged offense is by no means trivial or unworthy of prosecution, given the facts and circumstances of this specific case, the charge does not to warrant the forced introduction of serious medications into the body against an adult person's will.
Both the Government and the Defendant acknowledge that under Fourth Circuit dictates that "[w]ithout establishing a hard and fast rule, we have held that a crime is `serious' for involuntary medication purposes where the defendant faced a ten-year maximum sentence for the charges against him." White, 620 F.3d at 410. It is undisputed that the crime charged in this case, Unlawful Possession of a Firearm, in violation of 18 U.S.C. § 922(g)(8), has a maximum sentence of ten years imprisonment. Although the Court has some doubts that the maximum sentence associated with a charge is the proper measure of seriousness for Sell purposes, based on the Fourth Circuit's pronouncement in White, the Defendant has been charged with a serious crime under Sell. Given that the crime is serious under Sell, the Government certainly has a initial important governmental interest at stake in bringing the Defendant to trial.
Although the maximum sentence of the offense charged establishes whether a crime is serious, there are additional considerations to weigh before the Court can conclude the Government satisfied this factor. Specifically, the Supreme Court requires that a district court consider any special circumstances that may mitigate or enhance the government's interests in forcibly medicating a defendant. There are four special circumstances before the Court that weigh on the potency of the Government's important interests: (1) the amount of time the Defendant has already spent in federal custody; (2) the likelihood that the Defendant will face significant time in federal custody absent a formal trial and conviction; (3) the likely success of an insanity defense; and (4) the likelihood that the Defendant will be placed on supervised release if convicted of the charge against him. The Court will address
How long a defendant has already spent in federal custody as compared to how much time the defendant is reasonably likely to spend in prison is a special circumstance that may mitigate, but not totally undermine, see Sell, 539 U.S. at 180, 123 S.Ct. 2174, the Government's important interests. The Fourth Circuit instructs that when considering time already spent incarcerated against the defendant's "likely sentence" for Sell purposes, the "likely sentence" is determined "by actually calculating the defendant's likely sentence vis-a-vis the advisory sentencing guidelines." White, 620 F.3d at 415. Further, the Fourth Circuit notes that the time already spent in federal custody must be "significant" to mitigate the Government's important interests. White, 620 F.3d at 414. "The operative word here is `significant.' To determine if [a criminal defendant] has been in custody "a significant amount of time" as compared to her likely sentence, [the district court] must calculate [the criminal defendant's] time served, her likely sentence, and then ask whether the former is significant in light of the latter." Id. (citation omitted).
Explaining the operation of 18 U.S.C. § 3585(b)(2), the Fourth Circuit also notes that "[a] defendant shall be given credit toward the service of a term of imprisonment for any time she has spent in official detention prior to the date the sentence commences, as long as it was served for the same offense and has not already been credited." Id. Further, the White Court, also allows for consideration of the time it will take the Defendant to be restored to competency while continuing to be in pretrial and presentencing custody as well as how long appeals the Defendant or the Government will take in the event of an adverse ruling. Id. Given the treatment plan the Government's experts outlined, the Court finds that a reasonable approximation of the time it would take to restore Defendant's competence to be six (6) months.
Moreover, the adverse party to the Court's ruling today will likely appeal to the Fourth Circuit for review of the Court's decision. The Court reasonably estimates that it would likely take at least six (6) months for Fourth Circuit to review this order. If the adverse party does not prevail in that appeal, the Fourth Circuit notes that said party would be "entitled to move for en banc rehearing by this court and to file a petition for certiorari to the Supreme Court. These proceedings could persist for many months, however, and even assuming quick and consistent denials, such proceedings would cause [the defendant] to remain detained for at least an additional six months." Id. Taken together, the Court finds that a reasonable approximation of the time it would take the adverse party to this order to exhaust its appeals to be twelve (12) months.
Added together, the Court estimates that the Defendant will be held for an additional eighteen months in order to restore him to competency and to permit the adverse party to this ruling to exhaust its appeals. As such, inclusive of any time the Defendant has already spent in custody, the Court adds an additional 18 months in consideration of the time he will likely spend in custody prior to trial and sentencing. The Defendant has been in actual custody for approximately sixteen months. Including the time anticipated it will take to restore the Defendant to competency and appeals, for Sell purposes, Defendant will be considered held prior to sentencing
White, 620 F.3d at 414-415. The Fourth Circuit in White credited the Defendant in that case with good behavior credits while engaging in Sell Factor analysis and this Court will do the same. Based on Barber and 18 U.S.C. § 3624(b), Defendant would be entitled to approximately 108 days credit for good behavior or 2.3 months. This increases Defendants time served from 28 months to a total of 30.3 months of time (deemed) served.
Under U.S.S.G. 2K2.1(a)(6), Defendant's Base Offense Level is 14. Based on the stipulations of the parties, the record indicates that Defendant has a Criminal History Category of I. Defendant's estimated guidelines range would be 15-21 months. Assuming Defendant received the maximum amount of acceptance of responsibility points, his Base Offense Level would be 11 and his estimated guideline range would be 8-14 months. Given that the burden is upon the Defendant to show that acceptance of responsibility points should be granted to him at sentencing, the Court will assume for Sell purposes that the relevant guideline range for seriousness analysis is 15-21 months.
The Defendant, if convicted, is highly unlikely to be sentenced to more than approximately 15-21 months, and because he will be deemed to have served 30.3 months before ever being able to prosecute the Defendant, the Defendant has "already been confined for a significant amount of time (for which he would receive credit toward any sentence ultimately imposed, see 18 U.S.C. § 3585(b))." Sell, 539 U.S. at 180, 123 S.Ct. 2174. Certainly by the time the Government prosecutes the Defendant, his pretrial detention and likely good time credits would exceed 30.3 months, which would be a significantly longer period of time in presentence detention than his likely sentence of 15 to 21 months. Although the Fourth Circuit has "not yet defined that amount or percentage of time served that we require for a defendant to satisfy the "significant" standard discussed in Sell," White, 620 F.3d at 418, given that Defendant will spend more time in presentence detention than the maximum end of his likely sentencing guidelines range, the Court finds that amount of time to be significant under the Supreme Court and the Fourth Circuit's view of Sell's "significant" standard. Accordingly, the Court finds that the Government's interests have been substantially, if not completely, mitigated by the amount of time the Defendant has already spent in custody and will likely spend in custody prior to trial and sentencing.
Whether the Defendant's unwillingness to take medications to restore competency voluntarily would lead to future confinement is a special circumstance Sell dictates the Court should evaluate in making a serious offense determination. While Sell requires district courts to make a range of approximate and reasonable determinations when undertaking necessary analysis, the Court simply does not know if the Defendant will be subject to further confinement by the United States nor does it wish to speculate in light of a potential proceeding under 18 U.S.C. § 4264. The Court simply notes at this time that it is highly likely that the Government will seek to further detain the Defendant under the authorities available to it if the Court denies its motion. Such further confinement could reduce the harm to the public that the Defendant may pose and provide an alternative vindication of the Government's interests that does not require the forcible medicating of the Defendant. Given the uncertainty of the likelihood of future confinement, but its distinct possibility, the Court finds that this special circumstance mitigates the Government's important interests.
The Defendant argues that although Sell does not specifically identify it as a special circumstance that the Court should consider, the likely success of the Defendant's insanity defense significantly mitigates the Government's interest. The United States Court of Appeals for the Tenth Circuit considered the likelihood of the defendant's insanity defense when resolving whether Sell should be applied and determined that:
United States v. Morrison, 415 F.3d 1180, 1186 (10th Cir.2005). The United States Court of Appeals for the Ninth Circuit ("Ninth Circuit") also considered this issue:
Id. Some of the same concerns implicated in Ruiz-Gaxiola in considering a defendant's insanity defense against the Government's interests are present in the case before the Court. The Government is also right that some of the most recent and tragic mass gun violence crimes have involved the mentally ill. However, no support has been offered to the Court that Sell was implicated in either of the examples the Government cited. The Government's interests in prosecuting the defendants in those cases, particularly in light of the lengthy sentences accompanying criminal offense conduct involving mass murder on an unprecedented scale are, without question, great. The Government cannot, however, argue successfully that its interests in this case are in any way similar to the United States' interests (or the interests of relevant local prosecutors) in the Arizona or Colorado mass shooting cases. Finally, the Court notes one final concern the Fourth Circuit shared in White:
White, 620 F.3d at 418. By not considering the possibility that a jury could find the Defendant not guilty, either because it finds the Government did not meet its burden at trial or because the Defendant was insane at the time, the Defendant might not get any credit for the time he spent in pretrial detention.
In conclusion, the mere fact that a defendant has a potentially successful insanity defense would not totally mitigate the
As the Fourth Circuit has indicated, there are special circumstances which can further bolster the Government's important interests under Sell analysis, rather than weaken them. In Bush, the Fourth Circuit determined that "that the government's interest in prosecuting a mentally incompetent individual was not defeated when the defendant spent sufficient time in pretrial custody to significantly cover any reasonably anticipated prison sentence because `a conviction may subject Bush to a period of supervised release, see 18 U.S.C. § 3583, which would help ensure that she is not released into the public without appropriate monitoring.'" White, 620 F.3d at 418 (quoting Bush, 585 F.3d at 815). The Defendant has been charged with a Class C Felony, authorizing a term of supervised release of not more than three years. See 18 U.S.C. § 3583. However, in White, a later decided case, the Fourth Circuit found that:
Id. It is clear that the crime charged in this case, Unlawful Possession of a Firearm, is of a different nature than those charged in White. However, the offense charged is, at its core, nonviolent, although the circumstances of the Defendant's case indicated the possibility of violent intent in his actions. When comparing the gravity of the charged conduct in Bush and Evans, the Court believes White is more applicable. The Defendant cannot lawfully possess or purchase a firearm after being held in a mental institution, a factor the Fourth Circuit in White considered, see 620 F.3d at 413, 420, and should the Defendant commit another crime in the future, he "may be prosecuted, whether or not she is on supervised release." Id. at 418. Further, the Court hopes, at the Fourth Circuit did, that the Defendant's "family and friends, and the wide array of governmental and private human services agencies, not only the criminal justice agencies of government, can and ought to be counted on to address" his ongoing mental health needs. Id. The Court does not believe that the potential placement of the Defendant on supervised release strengthens the Government's interest in light of the nature of the offense charged and the previously identified special circumstances mitigating the Government's interests.
For the reasons stated above, the Government has not shown by clear and convincing evidence that it has important governmental interests at stake warranting the severe constitutional intrusion requested.
The Defendant is currently being held under 18 U.S.C. § 4241(d). Since the Court has found that Defendant is not competent to stand trial currently and the Court cannot order his forcibly medicating to restore him to competency, additional proceedings will be necessary to determine the next course of action. The Government and the Defendant are
The Clerk is
White, 620 F.3d at 411 n. 7. Given that the Defendant's sentencing guidelines range is 15-21 months and the previously identified special circumstances mitigating any interests the government may have, the Court concludes that under this approach, the Government has also failed to show, by clear and convincing evidence, that it has important interests warranting the forced medicating of the Defendant.