Carr v. State
Carr v. State
Opinion of the Court
On May 31, 2017, the trial court in this case ordered the sheriff to take Ricky Lee Carr into custody solely because Carr had been charged with committing violent crimes and found mentally incompetent to stand trial. The court directed that Carr be transferred to and held by the Georgia Department of Behavioral Health and Developmental Disabilities for evaluation within 90 days as to whether there is a substantial probability that he will attain competency in the foreseeable future. In this appeal, Carr contends that this detention by the State violates his constitutional right to due process.
Carr's due process challenge to the statute that required his detention- OCGA § 17-7-130 (c) -can be divided into two parts. He argues first that the duration of the confinement allowed by the statute-which, he asserts, could be indefinite-is unconstitutional. We agree that indefinite or even unreasonably extended detention under OCGA § 17-7-130 (c) would be unconstitutional, but we do not agree that the statute permits such extended detention. Instead, to avoid that constitutional concern, we construe OCGA § 17-7-130 (c) as limiting the detention it authorizes to the reasonable time needed to fulfill its purpose. And because Carr initiated this appeal shortly after he was ordered to be detained, he has not as of yet shown on the record that the duration of his confinement is unreasonable.
Carr also argues that the mandatory nature of his confinement based on OCGA § 17-7-130 (c) is not reasonably related to the State's legitimate and important purpose of accurately determining whether a defendant can be restored to competency to be tried. Carr says this is so because the statute requires that all defendants found incompetent after being accused of violent crimes, but not those accused of other crimes, be detained for evaluation regardless of the characteristics *906or circumstances of the particular defendant's mental condition. We agree that such automatic detention without an individualized determination of whether the confinement reasonably advances the government's purpose violates a defendant's right to due process, and we therefore hold that this part of OCGA § 17-7-130 (c) cannot be applied constitutionally to Carr or similarly situated defendants who are not already being detained on another, lawful ground.
For these reasons, which are explained in much greater detail below, we reverse the part of the trial court's judgment holding that OCGA § 17-7-130 (c) is constitutional, vacate the part of the judgment ordering Carr to be detained for inpatient evaluation, and remand the case for further proceedings consistent with this opinion.
1. Background
Ricky Lee Carr was arrested on June 16, 2016; he was released on bond the same day. About five months later, on November 9, 2016, a Catoosa County grand jury returned an indictment charging Carr with rape, aggravated sexual battery, two counts of child molestation, and criminal attempt to commit a felony.
In view of Mr. Carr's low intellectual functioning there is a strong probability that he would not be able to be restored to competency. Nevertheless, it is my opinion that there should be an attempt to restore Mr. Carr to competency. If the court adjudicates Mr. Carr as not competent it is recommended that his restoration occur in a community setting rather than in a psychiatric facility. If this occurs, I have a staff person that will coordinate a restoration to competency program for Mr. Carr. Mr. Carr's mother also stated that she would assist in ensuring that Mr. Carr participates in a restoration program.
On April 27, 2017, Carr filed a petition to seek the restoration of his competency in a community (outpatient) setting. The petition also raised constitutional challenges to OCGA § 17-7-130, the Georgia statute governing pleas of mental incompetence to stand trial, claiming that insofar as the statute requires him to be placed in custody for attempted competency restoration, it deprives him of due process and of equal protection of the laws in violation of the United States and Georgia Constitutions. The court then held two hearings on Carr's competency. At the first hearing on April 28, the court admitted Dr. Perri's report and found Carr incompetent to stand trial based on the report. The court then announced, "it appears to me that I have to transfer custody to the department." In response, Carr's counsel reiterated his constitutional challenges to OCGA § 17-7-130.
At the second hearing, on May 31, 2017, the trial court began by explaining that Carr had been found incompetent and was not contesting that finding, so the question to be decided was "what we do with the next stage with Mr. Carr." Carr again raised his constitutional challenges to OCGA § 17-7-130, arguing that because he was out on bond, it *907would be a violation of his due process and equal protection rights to order him into custody merely because he has been found incompetent to stand trial. The State argued that the statute is constitutional and that Carr's constitutional challenges were untimely because he had not raised them at the first opportunity or with sufficient clarity. Later that day, the trial court issued an order finding that Carr is incompetent to stand trial and holding summarily that his constitutional challenges were timely raised and that OCGA § 17-7-130 does not violate constitutional due process or equal protection. The order also directed the sheriff to take custody of Carr and deliver him to the department, which was directed to evaluate and diagnose within 90 days of the order whether there is a substantial probability that Carr can attain mental competency to stand trial in the foreseeable future.
On June 8, 2017, the trial court entered a certificate of immediate review of its order. Carr then filed an application for interlocutory appeal, which this Court granted on August 2.
2. The statute
Under OCGA § 17-7-130 (b) (1),
If an accused files a motion requesting a competency evaluation, the court may order the department to conduct an evaluation by a physician or licensed psychologist to determine the accused's mental competency to stand trial and, if such physician or licensed psychologist determines the accused to be mentally incompetent to stand trial, to make recommendations as to restoring the accused to competency.
The statutory provision in dispute here, OCGA § 17-7-130 (c), then says, in relevant part:
If the court finds the accused is mentally incompetent to stand trial, the court may order a department physician or licensed psychologist to evaluate and diagnose the accused as to whether there is a substantial probability that the accused will attain mental competency to stand trial in the foreseeable future. The court shall retain jurisdiction over the accused and shall transfer the accused to the physical custody of the department. At its discretion, the court may allow the evaluation to be performed on the accused as an outpatient if the accused is charged with a nonviolent offense. Such evaluation shall be performed within 90 days after the department has received actual custody of an accused or, in the case of an outpatient, a court order requiring evaluation of an accused....
OCGA § 17-7-130 (a) (7) defines "[n]onviolent offense" as "any offense other than a violent offense," and OCGA § 17-7-130 (a) (11) (A) defines "[v]iolent offense" to include "(i) A serious violent felony; (ii) A sexual offense; (iii) Criminal attempt to commit a serious violent felony; [and] (iv) Criminal attempt to commit a sexual offense...."
*908If the evaluation shows that the defendant is mentally competent to stand trial, "the department shall immediately report that determination" and return the defendant to the court, with the defendant remaining in the custody of the sheriff, the court's detention facility, or the department's secure facility. OCGA § 17-7-130 (c) (1). See also id. (d) (explaining that if the department "determines at any time" that the defendant is competent, he must be returned to the court, with custody maintained in the same way). If the evaluation shows that the defendant is mentally incompetent to stand trial but there is a substantial probability that the defendant will be restored to competency in the foreseeable future, he can continue to be held in the department's custody for up to nine more months to receive treatment. See id. (c) (3). If the evaluation shows that the defendant is unlikely to regain competency in the foreseeable future, within 45 days the court must consider a nolle prosequi of the pending charges and release the defendant or seek his civil commitment and commit or release him based on the outcome of the civil commitment trial. See id. (c) (2), (e).
It is clear that the trial court in this case did what the statute mandates: because Carr is charged with violent offenses, once the court found him mentally incompetent to stand trial, the court had no statutory discretion to consider Dr. Perri's recommendation of attempted restoration in an outpatient setting or any other evidence regarding Carr's mental condition, but rather was required to transfer Carr to the physical custody of the department to be detained there for up to 90 days while he was evaluated. The question we will address is whether that statutorily mandated confinement at a government institution complies with the constitutional requirement of due process.
3. The Interests of Carr and the State
"In our society liberty is the norm, and detention prior to trial or without trial is the carefully limited exception." United States v. Salerno,
Before he was found incompetent to stand trial and ordered detained for further evaluation under OCGA § 17-7-130 (c), Carr retained this "strong liberty interest," Salerno,
Nevertheless, in some limited circumstances, pretrial detention is permissible as a regulation serving a legitimate and "sufficiently compelling" government interest. Salerno,
The apparent non-punitive purpose of detention based on OCGA § 17-7-130 (c) is to accurately evaluate whether the defendant's competency can be restored so that he can be tried. See
4. Duration of the detention
We start with the duration of the detention, recognizing that this is an issue only if the person can lawfully be detained in the first place.
(a) In 1972, the United States Supreme Court held in Jackson that Indiana's statute mandating pretrial detention of criminal defendants based solely on their mental incompetence to stand trial violated due process because it required that defendants be detained until they regained competency. See
Like many states and the federal government, Georgia addressed Jackson's holding by establishing an express statutory time limit for the evaluation of a defendant's likelihood to attain competency: when a defendant is found incompetent to stand trial and taken into custody on that basis, the court "shall transfer [the defendant] to the physical custody of the department" and the evaluation of the defendant's likelihood to regain competency "shall be performed within 90 days after the department has received actual custody of an accused." OCGA § 17-7-130 (c). See also
Carr does not contend that the 90-day maximum evaluation period in OCGA § 17-7-130 (c) is necessarily excessive to achieve the government's purpose of accurately evaluating a defendant, and we conclude that it is not. Many states have similar time limits. See Morris & Meloy, supra, at 10 ("Of the twenty states that specify the length of the detention period, ninety days is the most frequent period specified, with the shortest period being thirty days and the longest being twelve months." (footnotes omitted) ). Indeed, the *911deadline in Georgia's statute is a month shorter than the four-month maximum allowed by the federal statute, which has been upheld against due process challenges based on Jackson by several federal circuit courts. See, e.g., United States v. Dalasta,
Carr argues, however, that while the express time limit of 90 days for completion of the evaluation may be reasonable, the statutory scheme actually allows a defendant detained due to OCGA § 17-7-130 (c) to be confined much longer than that, because there are no explicit provisions governing how quickly he must be transferred to the department, how quickly after the evaluation is done the department must provide it to the court, how quickly he will be returned to the court, or how quickly the court will act on the evaluation. Carr is correct that the statute says the 90-day clock begins to tick only when a defendant is physically delivered to the department and stops as soon as the evaluation is complete; there are no express time limits on the steps that must happen before and after that evaluation if the defendant remains incompetent.
(b) "[A] statute should not be deemed facially invalid unless it is not readily subject to a narrowing construction," as "every reasonable construction must be resorted to, in order to save a statute from unconstitutionality." Haley v. State,
In doing so, we note that in Jackson, which was decided before the four-month time limit was codified in
In determining what duration of confinement is reasonable in this context, the court should consider not only the total time of detention but also whether the amount of time spent at a particular challenged step is unreasonable. For example, a federal circuit court considered a lawsuit brought on behalf of mentally incompetent defendants in Oregon *912who had been held between one and five months awaiting transfer to the state mental hospital. See Oregon Advocacy Center v. Mink,
Like the Court in Jackson, see
As his case is presented here, Carr cannot prevail on such a challenge. He initiated this appeal only days after being ordered detained for evaluation under OCGA § 17-7-130 (c), so he cannot show from the record that the duration of his actual confinement is unreasonable (assuming he can be properly detained at all). As for the trial court's order, it requires that the department evaluate Carr within 90 days of the date of the order, rather than 90 days of the time he arrives at the department (as OCGA § 17-7-130 (c) allows). Thus, if complied with, the order would prevent any time that might pass between the entry of the order and the sheriff's delivery of Carr to the department from extending the 90-day period that we have said is facially reasonable. The order does not limit the time for completing the next steps after the evaluation, but neither does it specify an unreasonable time for these steps. This is not, however, the end of the due process analysis.
5. Nature of the detention
No matter how short the duration of the detention, if the nature of the confinement is not reasonably related to the government's purpose of accurately evaluating the individual defendant's potential to attain competency, the detention is unconstitutional. See Foucha,
*913(a) We start with the understanding that confinement at a department facility is not required for the accurate evaluation the State seeks to obtain. The statute itself tells us this. OCGA § 17-7-130 (c) provides outpatient evaluation as an option for defendants who have been accused of nonviolent offenses: "At its discretion, the court may allow the evaluation to be performed on the accused as an outpatient if the accused is charged with a nonviolent offense."
For example, the Ninth Circuit, following the lead of the First and Eighth Circuits, has explained that a determination of whether a defendant is likely to regain competence "requires a more 'careful and accurate diagnosis' than the 'brief interviews' and 'review of medical records' that tend to characterize the initial competency proceeding." Strong,
The Eighth Circuit has also suggested that the defendant's commitment "appropriately affords additional time during which the Attorney General may explore medical options." Ferro,
The Dalasta court also said that commitment "provides the Attorney General's medical experts an opportunity to evaluate the defendant's dangerousness."
*915But an evaluation of dangerousness is not a purpose indicated anywhere in the federal or Georgia statute, and indeed Jackson distinguished between a finding of dangerousness and a finding of incompetence to stand trial. See
Finally, to the extent the State asserts that the constant surveillance and close control afforded by detention is important in all cases to ensure an accurate determination of the likelihood of competency restoration, see Coats,
Rather than the particular crime with which a defendant is charged, it is his particular mental condition that affects whether his commitment is reasonably related to the goal of accurately evaluating his likelihood of attaining competence so he can be tried. Only in those cases where detention is in fact reasonably related to this objective does the State's interest justify depriving the defendant of his strong liberty interest. See, e.g., Salerno,
In fact, in some cases the evidence presented at the competency hearing may indicate that confinement will not serve the government's purpose of accurately evaluating the defendant's likelihood to attain competency. For example, the facility in which the defendant would be confined may not have the means to effectively care for or communicate with the defendant. See, e.g., Jackson,
We acknowledge, however, that in many cases the constant observation and increased control afforded by a defendant's detention in a department facility may reasonably promote the government's purpose of accurate evaluation. For example, in cases where the doctor or the court itself suspects that the defendant may be feigning or exaggerating symptoms to avoid trial, or where the defendant's diagnosis is truly uncertain or holds the potential for improvement rather than stasis or deterioration, close and extended observation and control may be beneficial to the department's doctors. But the existence of such cases does not justify automatic detention for all defendants in Georgia's courts who are accused of a violent crime and found incompetent to stand trial.
(b) Because the nature of automatic commitment for all those defendants does not bear a reasonable relation to the State's purpose of accurately determining the restorability of individual defendants' competence to stand trial, that aspect of OCGA § 17-7-130 (c) violates due process when applied to defendants who have been deprived of their liberty based solely on that statutory provision. In such cases, the trial court should proceed as it does in determining how to evaluate mentally incompetent defendants accused of nonviolent offenses. To ensure that the nature of commitment to the department is appropriate for the particular defendant, the court should consider all relevant evidence and make a finding as to whether the evaluation required by OCGA § 17-7-130 (c) should be conducted on an inpatient or outpatient basis. A defendant who is not already lawfully detained should be committed to the department only if the court finds that such confinement is reasonably related to the purpose of accurately evaluating whether that particular defendant can attain competency. A hearing on this issue should be held at the same time or promptly after the court initially determines the defendant's competency to be tried. To the extent the prosecutor or the defendant wishes to present or contest evidence that speaks to the detention determination, that should be permitted. If the court determines that inpatient evaluation is not appropriate for a mentally incompetent defendant charged with a violent offense and not already detained for another, lawful reason, then the portion of OCGA § 17-7-130 (c) requiring commitment of that defendant to the physical custody of the department cannot be applied as a matter of constitutional due process.
6. Conclusion
For these reasons, the part of the trial court's judgment concluding that OCGA § 17-7-130 (c) is constitutional is reversed, and the part of the judgment ordering Carr to be delivered to the custody of the department for evaluation is vacated. As noted above in footnote 3, the trial court's unchallenged finding that Carr is incompetent to stand trial is affirmed. On remand, the trial court should proceed in accordance with this opinion, including exercising discretion in deciding whether Carr should be committed to *917the department's custody for evaluation or should be evaluated on an outpatient basis.
Judgment affirmed in part, reversed in part, and vacated in part, and case remanded with direction.
All the Justices concur.
The arrest warrant, bond order, and indictment are not in the record on appeal because Carr specified that only a limited record be transmitted to this Court. This information comes from representations made by the attorneys for the parties in their filings and at hearings in the trial court.
Apparently an order was entered after this hearing, but that order was rescinded. Neither the rescinded order nor the reason for the rescission is in the record on appeal.
Neither party has challenged the trial court's ruling that Carr is mentally incompetent to stand trial, and that part of the court's judgment will stand affirmed.
As it did in the trial court, the State argues here that Carr did not timely raise his constitutional challenges. We expressed interest in this issue when granting the application, but a review of the more complete record we now have shows that Carr's attorney clearly raised the constitutional challenges in a timely manner.
Because Carr obtained review of the trial court's pretrial detention order by following the procedures for interlocutory appeals, see OCGA § 5-6-34 (b), we need not decide whether he would have been entitled to a direct appeal under the collateral order doctrine. See Warren v. State,
Because Carr asks this Court to strike down a state statute as unconstitutional, we invited the Attorney General's office to file a brief defending OCGA § 17-7-130 (c), which it did.
"Violent offense" is defined in full as:
(A) (i) A serious violent felony [as defined in OCGA § 17-10-6.1 ];
(ii) A sexual offense [as defined in OCGA § 17-10-6.2 ];
(iii) Criminal attempt to commit a serious violent felony;
(iv) Criminal attempt to commit a sexual offense;
(v) Aggravated assault;
(vi) Hijacking a motor vehicle in the first degree or hijacking an aircraft;
(vii) Aggravated battery;
(viii) Aggravated stalking;
(ix) Arson in the first degree or in the second degree;
(x) Stalking;
(xi) Fleeing and attempting to elude a police officer;
(xii) Any offense which involves the use of a deadly weapon or destructive device; and
(B) Those felony offenses deemed by the court to involve an allegation of actual or potential physical harm to another person.
As the record stands, subsections (c) (1)-(3), (d), and (e) of OCGA § 17-7-130 have not yet been applied to Carr, and we express no opinion on their constitutionality.
Carr raises his due process claim under both the United States and Georgia Constitutions, which both guarantee a person's right not to "be deprived of life, liberty, or property" without "due process of law." U.S. Const. amend. XIV ; Ga. Const. of 1983, Art. I, Sec. I, Par. I. We have addressed due process claims raised under either Constitution in the same way. See, e.g., Women's Surgical Center, LLC v. Berry,
Carr also argues that OCGA § 17-7-130 (c) violates the similarly worded equal protection guarantees in both Constitutions, see U.S. Const. amend. XIV ; Ga. Const. of 1983, Art. I, Sec. I, Par. II, because the statute requires his detention without the consideration of individualized circumstances afforded by the commitment procedures for persons committed civilly and persons found not guilty due to insanity and also afforded in proceedings to involuntary medicate defendants to restore competency to stand trial. Because we hold unconstitutional the portion of the statute that mandates Carr's detention without consideration of his individual circumstances as a matter of due process, we need not decide whether the statute also runs afoul of equal protection guarantees.
This opinion addresses only defendants like Carr, who are on pretrial bond and face detention solely due to a finding of mental incompetence to stand trial. The constitutional analysis may well be different for defendants found incompetent who are already detained before trial because, for example, they were denied bond or had their bond revoked, were already serving a criminal sentence, or were committed civilly. Compare Vitek v. Jones,
The Court also held that the Indiana statute violated Jackson's right to equal protection because it "subject[ed] Jackson to a more lenient commitment standard and to a more stringent standard of release than those generally applicable to all others not charged with [or convicted of criminal] offenses." Jackson,
The 90-day time limit for evaluation first appeared in the version of OCGA § 17-7-130 enacted in 1977, five years after Jackson. See Ga. L. 1977, p. 1293. Before then, Georgia law simply provided that defendants found mentally incompetent to be tried were "to be delivered to the superintendent of the Milledgeville State Hospital, there to remain until discharged in the manner prescribed by law." Code 1933, § 27-1502.
If the evaluation shows that the defendant is mentally competent to stand trial, the statute specifies that the department "shall immediately report that determination and the reasons therefor to the court, and the court shall submit such determination" to the attorneys for the defendant and the State. OCGA § 17-7-130 (c) (1) (emphasis added). The department must also return the defendant, normally within 20 days, and the court must hold a bench trial on the defendant's competency to stand trial within 45 days of receiving the evaluation or, if demanded, conduct a jury trial on competency within six months. See
At the time of Mink, the Oregon statute allowed the trial court, after finding a defendant incompetent, to commit him to a state mental hospital or release him on supervision; if the defendant was committed, the statute required the hospital to evaluate him within 60 days of admission and report that evaluation to the court within 90 days of admission. See Mink,
Jackson did not decide the "nature" issue. As mentioned above, Jackson's due process holding was "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."
The option of outpatient evaluation was added to OCGA § 17-7-130 in 2007. See Ga. L. 2007, p. 663. See also Marisol Orihuela, The Unconstitutionality of Mandatory Detention During Competency Restoration, 22 Berkeley J. Crim. L. 1, 21 (2017) (explaining that concerns about state mental institutions and advances in medication for the mentally ill have "revealed that providing mental health care in the community was not just desirable but also possible"). The sentence before the one granting the trial court discretion to order outpatient evaluation says that the court "shall transfer the accused to the physical custody of the department." OCGA § 17-7-130 (c) (emphasis added). Although the word "shall" is "generally construed as a mandatory directive," this Court has explained that it "need not always be construed in that fashion," if the context in which it is used indicates a permissive instruction. Lewis v. State,
We also note that although the federal statute and more than ten states, including Georgia, mandate detention for a certain period to evaluate an incompetent defendant's likelihood to regain competency, see Orihuela, supra, at 22, other states have concluded that such measures are not necessary in every case. Statutes in several states indicate that the evaluation of competency and likelihood of restoration should occur at the same time. See, e.g.,
In this respect, although we will let the trial court decide in the first instance whether Carr's individual circumstances justify confinement for evaluation, we note that in the report on which the trial court relied in finding Carr incompetent to stand trial, the department's doctor concluded that "there is a strong probability that [Carr] would not be able to be restored to competency" and, further, that any attempts to restore competency should happen "in a community setting rather than in a psychiatric facility."
We encourage the General Assembly to amend OCGA § 17-7-130 (c) to incorporate these constitutional requirements, so that those reading that statutory provision in the Georgia Code will not be misled as to its constitutional application.
The record does not show Carr's status after he filed his application for interlocutory appeal more than 11 months ago. We note that although the application did not act as supersedeas of the trial court's order, it appears that Carr's notice of appeal filed last August 11 should have done so. See OCGA § 5-6-34 (b) (explaining that after an application for interlocutory appeal is granted, the applicant may file a notice of appeal as provided in OCGA § 5-6-37, which acts as a supersedeas). See also OCGA § 5-6-45 ("In all criminal cases, the notice of appeal filed as provided in Code Sections 5-6-37... shall serve as supersedeas in all cases ... where the defendant is admitted to bail."); State v. Vansant,
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