United States v. Oliver White
United States v. Oliver White
Opinion
*259
With its filing of a certificate in the district court that Oliver White is a "sexually dangerous person," the government commenced this civil proceeding under
On appeal, the government contends that the district court erred in both rulings, and we agree. We therefore reverse the district court's judgment and remand with instructions to conduct a hearing on the § 4248 proceeding initiated against White.
I
White, now 31, is an intellectually disabled Native American man who was born in Crow Agency, Montana. His biological mother could not care for him because she abused alcohol and drugs, and he suffered from fetal alcohol syndrome. With an IQ of 55 or 56 and elementary math and reading skills, he struggled in school and in gaining employment. As one doctor summarized, White's "thought process was clearly impoverished, his mood was confused, [and] his affect was shallow."
In 2009, when White was 21, a federal grand jury in the District of Montana indicted him for the sexual abuse of four female minors under the age of 12. The government, however, dismissed the charges as part of a deferred prosecution agreement in which White agreed to reside with his mother and have no further contact with minors.
In 2012, a federal grand jury in the District of Montana indicted White for a second time, charging him with abusive sexual assaults of female minors under the age of 12. After White was found incompetent to stand trial, the court dismissed the charges and released White to his family.
On July 22, 2016, for a third time, a federal grand jury in the District of Montana indicted White, charging him with aggravated sexual abuse of female minors under the age of 12. Again, after White *260 was found incompetent to stand trial, the court dismissed the charges.
While White was in custody at the Federal Medical Center in Butner, North Carolina, for a mental examination in connection with the 2016 charges, the government filed a certificate in the district court under
After receiving the certificate, the district court directed the Federal Public Defender to represent White and appointed a licensed psychiatrist as a mental health examiner of White. White's counsel then filed motions for the appointment of a guardian ad litem, to dismiss the § 4248 certificate filed against him, and, in the alternative, for a competency hearing, contending that White's mental incompetence would preclude subjecting him to a § 4248 hearing.
The district court granted the motion to appoint a guardian ad litem and, before conducting a § 4248 hearing, ordered a competency hearing "to determine whether White is presently suffering from a mental disease or defect rendering him mentally incompetent to the extent that he is unable to understand the nature and consequences of the proceeding under
After conducting the competency hearing, the court determined that "White [was] currently suffering from a mental disease or defect, ... which render[ed] White unable to understand the nature and consequences of the § 4248 proceeding against him and to assist properly in his defense in the § 4248 proceeding." Given that White contested all three elements of § 4248 - (1) that he had previously "engaged or attempted to engage in sexually violent conduct or child molestation"; (2) that he "suffers from a serious mental illness, abnormality, or disorder"; and (3) that as a result, he "would have serious difficulty in refraining from sexually violent conduct or child molestation if released,"
From the district court's judgment dated December 6, 2018, the government filed this appeal.
II
We address first whether § 4248 or any other related provision in Chapter 313 of Title 18 permits a district court to dismiss a § 4248 proceeding against a person because he is mentally incompetent.
*261
Section 4248 was enacted in 2006 as part of the Adam Walsh Child Protection and Safety Act of 2006, Pub. L. No. 109-248,
Section 4248 provides that after the government files a certificate with a district court that a person "is a sexually dangerous person," the court "shall order a hearing" to determine whether the person is indeed a sexually dangerous person.
Section 4248 makes no provision for the release of a person subject to a government certificate because the person is "mentally incompetent." Indeed, § 4241(d) indicates otherwise. Under that section, which addresses hearings for mental incompetency in the context of criminal proceedings, if the person is found mentally incompetent "to the extent that he is unable to understand the nature and consequences of the proceeding[s] ... against him or to assist properly in his defense," the court must commit him to the Attorney General for hospitalization.
Of course, to read into these provisions a defense that a mentally incompetent person who is sexually dangerous cannot be committed to the custody of the Attorney General under § 4248 would defeat the core purpose of the statute - to protect the public from sexually dangerous persons. Under such a reading, a mentally incompetent person, who had raped women on three separate occasions, but never stood trial for the rapes because he was mentally incompetent, could not be removed from society under § 4248, thus leaving the public with the very risk that
*262
§ 4248 was designed to eliminate.
See
Comstock
,
In this case, the district court, after receiving the government's § 4248 certificate, determined to conduct an initial hearing to determine whether White was mentally competent. The government objected to such a hearing because the need to determine mental incompetency related legally only to criminal proceedings and a finding under § 4241 that one was mentally incompetent would not address any requirement for commitment under § 4248. The court overruled the objection and conducted a competency hearing, after which it concluded that White was indeed mentally incompetent. The court thereupon dismissed the § 4248 proceeding without a § 4248 hearing because, as it explained, White was unable to understand the nature and consequences of the proceeding and to assist properly in his defense. But in conducting a mental competency hearing and not a § 4248 hearing, the court failed to recognize that Chapter 313 authorizes a § 4248 hearing for persons found mentally incompetent under § 4241.
While all hearings under Chapter 313 are governed by § 4247(d) -
see, e.g.
,
We therefore hold that Chapter 313 of Title 18, and § 4248 in particular, did not authorize the district court to dismiss the § 4248 proceeding against White on the ground that he was found to be mentally incompetent.
III
The district court separately worried whether the § 4248 proceeding
*263
against White would violate the Due Process Clause in that White "face[d] the prospect of indefinite commitment" based on "both his past conduct and present mental condition even though he lacks the capacity to understand the [ § 4248 proceeding] or to participate rationally in his defense." In particular, the court focused on White's ability to defend against proof
of his prior conduct
under the statute's requirement that the government show that he had "engaged or attempted to engage in sexually violent conduct or child molestation."
The central focus of the first element under the Adam Walsh Act looks back in time and requires the United States to prove by clear and convincing evidence at least one instance of actual or attempted sexually violent conduct or child molestation. In nearly every Adam Walsh Act case, the respondent does not contest the first element, and the United States simply presents a judgment of conviction from a criminal case where the respondent was convicted of actual or attempted sexually violent conduct or child molestation. In this case, however, White has never been convicted of any crime, much less actual or attempted sexually violent conduct or child molestation. Thus, ... in this section 4248 proceeding, the United States will have to present witnesses and evidence concerning the first element. The United States also will present arguments to the court seeking to persuade the court that the United States has proven that White has engaged in at least one instance of actual or attempted sexually violent conduct or child molestation. Likewise, ... White will have the opportunity to challenge the government's evidence and witnesses concerning the first element, present his own evidence and witnesses, and present arguments to the court seeking to persuade the court that the government has failed to prove that White has engaged in at least one instance of actual or attempted sexually violent conduct or child molestation.
(Footnote omitted). The court thus reasoned that an incompetent person contesting the prior-conduct element "effectively loses [his] statutory rights because he lacks the ability to rationally understand the proceeding against him or communicate with his counsel about the factual allegations at the heart of the first element's factual inquiry," concluding therefore that such a § 4248 proceeding "would not comport with procedural due process" and citing
Mathews v. Eldridge
,
White, of course, agrees with the district court, contending that committing him as an incompetent person who contests the prior conduct element violates his right to procedural due process. Applying the
Mathews
test, he describes his liberty interest as profound. He describes the risk of erroneous deprivation as "enormous" because, "in support of a meaningful adversarial process, the statute provides that a respondent is entitled to counsel, and that he will have the 'opportunity to testify, to present evidence, to subpoena witnesses on his behalf, and to confront and cross-examine witnesses who appear at the hearing.' But Mr. White cannot do any of those things." (Quoting
Thus, we are presented with the novel question of whether § 4248 violates the Due Process Clause insofar as it requires White, a mentally incompetent person, to defend against allegations of past bad sexual acts while he does not understand the proceedings and cannot assist in his defense.
It is, of course, well established that the Constitution does not permit a mentally incompetent person to be subject to a criminal trial,
see
Indiana v. Edwards
,
In
Addington v. Texas
,
The parties agree that the relevant analysis should be governed by
Mathews
.
See
Addington
,
When we consider the first of
Mathews
' three factors, there is no dispute that White's liberty interest is extraordinarily weighty. A civil commitment "for any purpose constitutes a significant deprivation of liberty."
Addington
,
In a similar vein, when we consider the third
Mathews
factor, we agree with the district court that the government has an "important and substantial interest in delivering mental health care to sexually dangerous persons who are in federal custody and [in] protecting the public from such individuals."
See
Addington
,
*265
But the dispute between the government and White in this case focuses on the second
Mathews
factor - whether, when a person is mentally incompetent, the process afforded in § 4248 allows too great a risk of an "erroneous deprivation of [the private] interest through the procedures used."
To be sure, White as a mentally incompetent person, cannot be subject to criminal liability. But the procedures provided in this case are, we conclude, constitutionally sufficient to commit him in a civil proceeding. In a § 4248 proceeding, the government must, as White has repeatedly noted, prove that he previously engaged in sexually violent conduct or child molestation. And because that proof implicates historical facts, White's mental incompetency does indeed present him with a challenge in responding to the government's case because he is unable to assist in his defense. Nonetheless, we conclude that the risk of an erroneous deprivation of White's liberty interest is substantially and adequately mitigated by the broad array of procedures required for a § 4248 commitment, particularly as they apply to incompetent persons.
First
, the statute requires that White have counsel, and in this case, he was not only appointed counsel, he was also provided a guardian ad litem to look after his interests and assist his counsel.
See
Second , the court must conduct a hearing, and White's counsel must be able to subpoena witnesses, present evidence, and cross-examine the government's witnesses at that hearing. See id . § 4248(a), (c); id . § 4247(d).
Third , the government must prove the necessary elements, including White's prior conduct, by clear and convincing evidence, a burden of proof greater than the preponderance-of-the-evidence standard that is routine in civil proceedings. See id . § 4248(d).
And fourth , the risk that an erroneous factual finding of prior sexual violence or child molestation will result in civil commitment is substantially mitigated by the personal observations and opinions of professionals that are required to prove that White is "sexually dangerous to others" in that he "suffers from a serious mental illness, abnormality, or disorder as a result of which he would have serious difficulty in refraining from sexually violent conduct or child molestation if released" - showings that the government is required to make. Id . § 4247(a)(5), (6).
In addition, any order of commitment under § 4248 is subject to correction by multiple mechanisms afforded by the statute. The government must file an annual report concerning White's mental condition with recommendations as to the need for continued commitment.
See
Under these procedures, it is difficult to conceive of circumstances where a person
*266
such as White would be wrongfully committed, although we recognize there is always some degree of risk inherent in any type of adversary proceeding, including a § 4248 proceeding. As we explained on remand in
Comstock
, the Supreme Court approved the constitutionality of the commitment scheme before it in
Addington
because "layers of professional review and the concern of family and friends provided continuous opportunities for an erroneous commitment to be corrected."
At bottom, while White's liberty interest is surely one of the most important to protect under the Constitution, the government's police power is also important when exercised to protect the public from persons found to be unable to control their sexual dangerousness. The balance struck by § 4248 in serving these interests is, we conclude, constitutionally sufficient under the Due Process Clause and Mathews .
Accordingly, we reverse the judgment of the district court and remand with instructions that the court promptly conduct a § 4248 hearing to determine whether White is sexually dangerous and therefore must be committed to the custody of the Attorney General.
REVERSED AND REMANDED WITH INSTRUCTIONS
Reference
- Full Case Name
- UNITED STATES of America, Petitioner - Appellant, v. Oliver Lee WHITE, Respondent - Appellee.
- Cited By
- 3 cases
- Status
- Published