United States v. Duane Berry
Opinion
*357
When the government seeks to involuntarily medicate a mentally incompetent defendant to restore his competency for trial, the government's prosecutorial interest must be balanced against the defendant's "significant ... liberty interest [under the Constitution] in avoiding the unwanted administration of antipsychotic drugs."
Sell v. United States
,
Defendant Duane Berry is charged with Conveying False Information Regarding Explosives, in violation of
As discussed below, even assuming the five-year statutory maximum sentence for the charged crime makes it a serious offense that could qualify for Berry to be forcibly medicated, there are significant mitigating factors that weigh against finding that the government has a sufficient interest for such mandated treatment. Most importantly, Berry has already been confined for the length of time he likely would face as imprisonment if convicted, and his pretrial confinement would likely be credited against his jail term. In these circumstances we find that the government has not shown that its interest in prosecuting Berry outweighs his due process liberty interest. Accordingly, we REVERSE the decision of the district court and VACATE its order compelling Berry to be involuntarily medicated.
I.
Berry's prosecution arises from a briefcase that the government alleges he placed outside of a Bank of America branch office in Detroit, Michigan, on November 6, 2015. This was no ordinary briefcase. According to the government, it was made to look like a bomb, though it actually contained no explosive device. Instead, all that was inside were various documents, some bearing *358 Berry's name and signature, evidencing a dispute between Berry and the bank.
Berry suffers from mental illness. He apparently believes that he is the trustee of a trust which owns all of Bank of America's assets, and that it is his duty to execute the trust and repossess those assets. According to the government, the briefcase incident was not Berry's first encounter with the bank. The week before the briefcase appeared, a wave of vandalism swept across multiple Bank of America locations throughout Detroit, and the government believes that Berry was responsible, based on a statement given by one of his relatives. For his part, Berry is convinced that, in addition to his status as a trustee of Bank of America's assets, he is a government agent and thus is immune from federal prosecution for any acts the government claims he has committed.
After Berry's arrest and arraignment, the district court ordered his evaluation for competency to stand trial. Berry was first evaluated by Dr. Christine Scronce, a Bureau of Prisons forensic psychologist. She diagnosed Berry with a delusional disorder and opined that without treatment, including medication, he is unlikely to be competent to stand trial. After conducting a hearing on the issue, the district court agreed with Dr. Scronce's findings.
On August 30, 2016, the district court ordered Berry into the custody of the Attorney General for treatment to regain competency. The initial order was for a period of treatment and evaluation to last no longer than four months, although it was later extended to five months. This order did not require Berry to be medicated.
Berry was sent to the Federal Medical Center in Butner, North Carolina. Treatment there was unsuccessful. He would not participate in group therapy and refused staff requests to answer even basic informational questions. Berry met with his principal psychologist, Dr. Kristina Lloyd, only five times, and he cut short each interview after only a few minutes. Berry served a purported lawsuit upon Dr. Lloyd and claimed to have filed professional complaints against her and the other doctors at the facility. Most importantly, Berry refused to take medication.
Given the inefficacy of other methods of treatment, Dr. Lloyd recommended that the district court consider involuntary medication. Although antipsychotic medications are not guaranteed to "cure" Berry or even mitigate his symptoms, approximately 70-80% of patients receive positive benefits from this type of treatment. Furthermore, the doctors who attempted to treat Berry do not believe that he has a realistic hope of regaining competency without some sort of medication regimen. The possible side effects, however, are not insignificant. They potentially include "weight gain, muscle stiffness, restlessness, sedation ... suicide, diabetes, high cholesterol, neuroleptic malignant syndrome, dystonic reaction, Parkinson's syndrome-like symptoms and sudden death." Appellant Br. at 11. Nonetheless, Berry's doctors do not believe that there are any less intrusive alternatives to medication which might effectively treat his mental illness.
The district court conducted two hearings to determine whether involuntary medication would comply with the
Sell
requirements to order such treatment. These requirements are (1) "that
important
governmental interests are at stake,"
Sell
,
*359
and (4) that the administration of medication is medically appropriate,
At the first hearing the court determined that Berry's alleged crime was serious enough to show an important governmental interest in his prosecution. At the second hearing, the court determined that involuntary medication would significantly further the government's interests, that medication was necessary to further those interests, and that the proposed treatment was medically appropriate. Finding all of the Sell requirements satisfied, the court entered an order requiring Berry to undergo medication.
Berry's appeal was untimely. But the government, in light of the important issues presented by this appeal, has waived objection based on untimeliness. We therefore examine the district court order and determine the legality of forcing Berry to be medicated.
See
United States v. Gaytan-Garza
,
II.
The government may not prosecute a mentally incompetent defendant.
Drope v. Missouri
,
A difficult question arises when a criminal defendant is mentally incompetent but refuses to take medication that might render him competent. The Supreme Court confronted the issue in
Sell
, which held that in certain circumstances a court may order a defendant to be medicated against his will.
See generally
Accordingly, if the government wishes to involuntarily medicate, it bears a significant burden: all four
Sell
factors must be established by clear and convincing evidence.
United States v. Green
,
In order for important governmental interests to be at stake, the defendant must be charged with a serious crime, whether against person or property, the prosecution of which is needed to protect society's "basic human need for security."
Sell
,
A. Seriousness of the Charged Crime
To begin, we examine the seriousness of Berry's alleged crime. The central part of this review is consideration of "the maximum penalty authorized by statute,"
United States v. Mikulich
,
Is five years enough for a crime to be sufficiently serious to justify forced medication of a defendant? We have not previously defined what is the shortest or least severe sentence a defendant may face and still be considered to have committed a serious crime for purposes of mandated treatment with antipsychotic drugs. Certainly a penalty of capital punishment is serious: in
United States v. Payne
we affirmed the district court's decision to forcibly medicate a defendant who faced a capital charge.
In only one case,
United States v. Dellinger
, have we upheld a
Sell
order based on a five-year maximum sentence.
Nor have most other circuits resolved whether a potential five-year sentence can make a crime sufficiently serious to justify forced medication of a criminal defendant.
*361
In many circuits the relevant cases have involved a ten-year statutory maximum. For example, in
United States v. Evans
, the Fourth Circuit found that "threatening to murder a federal judge under § 115(a)(1)(B), a felony whose maximum term of imprisonment is 10 years ... is 'serious' under any reasonable standard."
One circuit that did find the requisite seriousness in a crime with a five-year statutory maximum sentence is the Ninth Circuit in
United States v. Onuoha
,
The government makes much of the fact that Onuoha was charged with the same crime as Berry, and that Berry's modus operandi mirrored Onuoha's. The government in
Onuoha
successfully argued that the conduct at issue, which had stoked fears of terrorism in the population at large, reinforced the government's interest in prosecuting Onuoha. Similarly, here, the government argues that Berry "stoked terrorism concerns in a 'highly populated public venue.' " Appellee Br. at 15 (quoting
Onuoha
,
Like this circuit's approach, the Ninth Circuit's analysis of the first Sell prong is a two-part test: the Ninth Circuit considers (1) whether the alleged crime was "sufficiently 'serious' to establish an important governmental interest[,]" and if so, (2) whether there were any mitigating factors that reduce the governmental interest.
*362
Onuoha
,
By contrast, we have not considered any of the factors deemed relevant by the Ninth Circuit in reviewing
Sell
determinations. Our circuit has specifically rejected an approach which considers the Sentencing Guidelines in favor of an approach which relies on statutory maximum sentences.
See
Green
,
We are therefore left to consider whether a five-year maximum sentence is serious enough to support the type of governmental interest that would allow a court to compel medication, and we do so without clear guidance from any applicable decision. In these circumstances, we are hesitant to establish a per se rule either that five years is enough, or not enough. Also, as discussed below, the unique circumstances of Berry's case render it unnecessary to decide this issue here. Even assuming that a crime with a five-year statutory maximum sentence could qualify as a serious crime for Sell purposes, the mitigating factors discussed below lessen the government's interest such that it is insufficient to warrant mandated medication here.
B. Mitigating Circumstances
There are several mitigating circumstances that significantly undercut the governmental interest in prosecuting Berry. Most importantly, the length of Berry's pre-trial confinement counsels against involuntary medication. If we were to affirm the district court's medication order, even if Berry were to be convicted, by the date of his sentencing he would have already served a period in pre-trial custody approximating his expected sentence. Additionally, the non-violent nature of Berry's charged crime, the low risk that he will harm himself or others, and the likelihood that he will be civilly committed all reduce the government's interest in prosecuting Berry.
1. Length of Pre-Trial Confinement
First, we must consider the length of Berry's pre-trial confinement. The Supreme Court in
Sell
specifically noted that a lengthy pre-trial confinement which would be credited against "any sentence ultimately imposed" undercuts the government's interest in prosecution.
Although we use the statutory maximum sentence in determining whether the government has an important interest in prosecuting a defendant, we use the Guidelines sentencing range for our analysis of mitigating circumstances.
Grigsby
,
In the instant case, Berry has been confined awaiting trial since November 9, 2015. This puts his pre-trial confinement in the neighborhood of thirty-six months. The government seeks an order for four months of medication. This would take Berry to at least forty months of pretrial confinement before his trial could even begin. According to Berry, his Guidelines range (if he were to be convicted) would be twenty-seven to thirty-three months. The government, by contrast, believes that Berry's potential Guidelines range is thirty to thirty-seven months. Here, we need not determine which party's prediction of the Guidelines range is more accurate. Even if we rely on the government's estimate, Berry will have already served nearly all of the time of his potential sentence before the trial even begins. Even in a best-case scenario, one in which Berry is quickly restored to competency, and quickly tried and found guilty, by the time he is sentenced he will have served more time than his Guidelines range. Any delays in his treatment or in the trial would only exacerbate this issue. In short, it is highly unlikely that prosecuting Berry would result in any additional sentence actually being imposed on him.
The fact that Berry will likely not receive additional time significantly undercuts the government's interest in prosecuting him. Berry's ultimate sentence would not provide any deterrent effect, and any governmental goal in keeping Berry confined (to prevent recurrences of his alleged behavior) will also be frustrated. However,
Sell
directs us that while lengthy pre-trial confinement moderates the governmental interest, it does not "eliminate ... the importance of the governmental interest in prosecution."
2. Additional Mitigating Factors
Aside from Berry's lengthy pre-trial confinement, we identify three other factors that mitigate the government's interest: 1) the non-violent nature of the charged crime; 2) the fact that Berry does not present a risk of harm to himself or others; and 3) the likelihood that Berry will be civilly committed in lieu of incarceration.
*364 a. Non-Violent Nature of the Charged Crime
First, we consider the fact that Berry's briefcase was, in fact, just a briefcase and not a bomb. In
Mikulich
, we noted that crimes which "relate to violent behavior ... carry a unique governmental interest."
Berry's alleged crime is a violation of
To reiterate, Berry's briefcase, although allegedly made to look like a bomb, was not actually a bomb, and it contained only papers, not any explosive. Although it may be alleged that Berry intended to cause fear, it cannot be said that the crime was violent as alleged in the indictment. Neither death nor serious bodily injury resulted from Berry's alleged actions. In fact, there was no physical injury at all. Hence, Berry was charged under § 1038(a)(1)(A) rather than the harsher provisions, § 1038(a)(1)(B) and (C).
This is not to say that a crime needs to be violent to implicate important governmental interests. For example, in
Green
, we noted that possession of crack cocaine with intent to distribute is "a serious crime warranting a serious punishment."
b. Risk of Harm to Himself and Others
We also consider the risk that Berry will harm himself or others if he is not medicated. There are two separate modes of analysis for involuntary medication:
Sell
analysis, for incompetent defendants (under which we analyze Berry); and
Harper
analysis, for convicted prisoners who pose a risk of harm to themselves or others.
Harper
,
The government acknowledges that Berry does not pose a risk to himself or others. Berry's doctors in the federal medical facility have stated that "there is no convincing evidence Mr. Berry poses a substantial risk of dangerousness in the current conditions of his confinement." Appellee Br. at 16. We cannot be certain that Berry will not become dangerous if and when he is ultimately released, but the uncontested evidence that in his current setting he poses no appreciable risk to himself or others undercuts the governmental interest necessary to medicate him.
c. Likelihood of Civil Commitment
A closely related issue to dangerousness is the likelihood of civil commitment, which is governed by
The government argues that Berry's lack of dangerousness within the confines of the federal medical center make it uncertain whether a court will find that Berry's release "would create a substantial risk of bodily injury to another person or serious damage to property of another." Appellee Br. at 16 (quoting
We cannot state with certainty that Berry will be civilly committed. However, his likelihood for commitment is far beyond mere possibility. Section 4246(d) allows commitment when a prisoner presents "a substantial risk of bodily injury to another person or serious damage to
property of another
...."
III.
Ultimately, Berry's unique circumstances provide enough mitigation such that the government does not have sufficient interest in prosecuting him to warrant forcible, involuntary medication. No factor on its own outweighs the governmental interest, but the combination of all the factors makes involuntary medication inappropriate in this case. Even assuming the five-year maximum sentence of Berry's charged crime could support a significant government interest warranting involuntary medication, the mitigating circumstances lessen this interest below the level to justify mandated treatment.
In light of both the relatively short sentence Berry faces and his mitigating factors, the governmental interest is too weak to justify forcible medication. Because the government failed to establish the first Sell prong by clear and convincing evidence, we need not investigate the district court's factual findings on the remaining Sell factors.
For the foregoing reasons, we REVERSE the decision of the district court and VACATE the order compelling Berry to undergo forced medication.
Although the Ninth Circuit found that the government had satisfied the seriousness prong of
Sell
, it nonetheless reversed the district court on the grounds that the government had not proved that involuntarily medicating Onuoha was medically appropriate.
Onuoha
,
Reference
- Full Case Name
- UNITED STATES of America, Plaintiff-Appellee, v. Duane Letroy BERRY, Defendant-Appellant.
- Cited By
- 7 cases
- Status
- Published