IN THE UNITED STATES COURT OF APPEALS FOR THE EIGHTH CIRCUIT Appeal No. 01-1862 UNITED STATES OF AMERICA, Appellee, vs. CHARLES THOMAS SELL, Defendant/Appellant. ON APPEAL FROM THE UNITED STATES DISTRICT COURT FOR THE EASTERN DISTRICT OF MISSOURI EASTERN DIVISION Case No.4:97CR290-DJS Case No. 4:98CR177-DJS The Honorable Judge Donald J. Stohr BRIEF OF AMICUS CURIAE AMERICAN CIVIL LIBERTIES UNION OF EASTERN MISSOURI IN SUPPORT OF APPELLANT’S PETITION FOR REHEARING OR REHEARING EN BANC AMERICAN CIVIL LIBERTIES UNION OF EASTERN MISSOURI Denise Lieberman (Reg. No. 47013) Peter Joy (Reg. No. 50553) 4557 Laclede Avenue St. Louis, Missouri 63108 (314) 361-2111 (314) 361-3135 facsimile denise@aclu-em.org CONTENTS TABLE OF CONTENTS ii TABLE OF AUTHORITIES iii INTEREST OF AMICUS 1 ARGUMENT 1 I. THE PANEL’S OPINION IMPROPERLY FAILED TO APPLY STRICT SCRUTINY REVIEW 2 A. The Panel Failed To Properly Analyze The Government’s Interest Before Determining The Level Of Scrutiny To Be Applied. 4 1. The Panel fails to distinguish a state’s interest in medicating dangerous defendants from its interest in bringing non-dangerous defendants to trial. B. The Panel Fails To Give Proper Weight To Defendants’ Liberty Interests That Give Rise To Strict Scrutiny. 7 8 1. The Panel misapplies Washington v. Harper and Riggins v. Nevada, which apply to dangerous or imprisoned people. 8 2. The Panel fails to acknowledge defendants’ First Amendment liberty interests to be free from involuntary medication. 9 3. The Panel decision fails to consider fully the impact of forced medication on a defendant’s right to a fair trial. 10 C. The Panel Erroneously Relied On Riggins v. Nevada. 12 CONCLUSION 13 CERTIFICATE OF COMPLIANCE 14 CERTIFICATE OF SERVICE 15 ii TABLE OF AUTHORITIES Cases Bee v.Greaves, 744 F.2d 1387(10th Cir. 1984) Cruzan v. MO. Dept. of Health, 497 U.S. 261 (1990) Illinois v. Allen, 397 U.S. 337 (1970) 3,7,9,10 3 5,6 Moore v. East Cleveland, 431 U.S. 494 (1977) Riggins v. Nevada, 504 U.S. 127 (1992) 2 4, 7,8,9,10,12,13 Roe v. Wade, 410 U.S. 113 (1973) 2 Snyder v. Massachusetts, 291 U.S. 97 (1934) 2 U.S. v. Brandon, 158 F.3d 947(6th Cir. 1998) U.S. v. Sanchez-Hurtado, 90 F.Supp.2d 1049 (S.D. Cal. 1999) 4,5,6,7,9,10,13 12 U.S. v. Santonio, 2001 WL 670932 (D. Utah, May 3, 2001) 8 U.S. v. Weston, 255 F.3d 873 (D.C. Cir. 2001) 6 Washington v. Glucksberg, 521 U.S. 702 (1997) Washington v. Harper, 494 U.S. 210 (1990) Woodland v. Angus, 820 F.Supp. 1497 (D. Utah 1993) 3,4,5 3,4,6,7, 9,13 2,7 Other Rule 35(a) Federal Rules of Appellate Procedure iii 1 INTEREST OF AMICUS The American Civil Liberties Union (“ACLU”) is a nonpartisan, nonprofit organization founded in 1920 with 275,000 members nationwide, whose purpose is to defend the Bill of Rights. The ACLU of Eastern Missouri is an affiliate of the ACLU with its principal place of business in St. Louis, Missouri and has 2,500 members. As part of its mission, the ACLU has participated, either as counsel or as amicus, in numerous cases supporting individuals’ First, Fifth, Sixth and Fourteenth Amendment interests, including the rights of individuals to refuse involuntary medication by the government. ARGUMENT Rehearing En Banc is appropriate because this case involves a question of exceptional importance on an issue on which the Panel’s decision conflicts with the decisions of other U.S. Courts of Appeals. FRAP 35(a). The Panel’s holding that an intermediate level of scrutiny is required for the government to administer involuntarily antipsychotic medication for the sole purpose of rendering a non-dangerous pretrial detainee competent to stand trial conflicts with the decisions of other Courts of Appeals that strict scrutiny is required to satisfy a nondangerous pretrial detainee’s due process rights. The Panel’s opinion fails to determine if the government’s interest is compelling before applying its balancing test, and fails to acknowledge the fundamental liberty status that the Supreme Court has granted to nondangerous people to be free from involuntary medication by the government. The extent of an individual’s liberty interest to be free from involuntary medication by the government for the sole purpose of restoring competency to stand trial is one of exceptional importance 1 and is an issue of first impression before this Circuit. The applicable standard is in dispute among the circuits and unresolved by the Supreme Court. Even under its intermediate scrutiny test, the Panel fails to apply the requisite level of proof or consider fundamental liberty interests articulated by the Supreme Court and other circuits necessary for even this lower standard of review. Rehearing by the Court En Banc is therefore necessary to address, as a matter first impression for this Circuit, a question of exceptional importance on which there is conflict among the other circuits. I. THE PANEL’S OPINION IMPROPERLY FAILED TO APPLY STRICT SCRUTINY REVIEW. Involuntary medication of pretrial detainees invokes fundamental First, Fifth, Sixth and Fourteenth Amendment rights. Because this practice infringes upon fundamental freedoms, the Panel incorrectly applied intermediate scrutiny review rather than strict scrutiny. Government action that burdens a fundamental right will survive a substantive due process challenge only if it can survive strict scrutiny, i.e., if it is narrowly tailored to a compelling governmental interest. See Roe v. Wade, 410 U.S. 113, 154 (1973) (applying strict scrutiny to infringement on fundamental right to privacy in the abortion context). Rights are considered fundamental if they are “deeply rooted in this Nation’s history and tradition.” Moore v. East Cleveland, 431 U.S. 494, 503 (1977) (plurality opinion); Snyder v. Massachusetts, 291 U.S. 97, 105 (1934) (“so rooted in the traditions and conscience of our people as to be ranked fundamental”). An individual’s right to refuse medical treatment is clearly among those considered fundamental. “No right is more sacred, or is more carefully guarded, by the common law, than the right of every individual to the possession and control of his own person . . .” Woodland v. 2 Angus, 820 F.Supp. 1497, 1504 (D. Utah 1993), quoting Cruzan v. MO. Dept. of Health, 497 U.S. 261, 269 (1990). In Washington v. Glucksberg, 521 U.S. 702 (1997), Justice Rehnquist wrote in his majority opinion that the interest to decline even life-saving medical treatment is derived from “the common-law rule that forced medication was a battery, and the long legal tradition protecting the decision to refuse unwanted medical treatment,” and that such right “was entirely consistent with this Nation’s history and constitutional traditions.” Id. at 725. The state action at issue in this case substantially infringes upon several constitutionally protected rights. The Due Process Clause of the Fourteenth Amendment protects an individual’s liberty interest in being free from involuntary administration of antipsychotic drugs by the government. See Id.; Washington v. Harper, 494 U.S. 210, 221 (1990) (applying this interest to prisoners). This right implicates the most sacred and fundamental notions of privacy and liberty. The intrusion sought by the government in this case not only constitutes a physical invasion into Dr. Sell’s body, but also constitutes the very altering of his identity and his mind. Bee v.Greaves, 744 F.2d 1387, 1394 (10th Cir. 1984). Indeed, it is undisputed that the government’s sole interest in medicating Dr. Sell is to alter the functioning of the defendant’s mind to allow the state to prosecute him. Thus, Dr. Sell’s First Amendment interest in freedom of expression is clearly implicated. In addition, the Sixth Amendment right of a criminal defendant to a fair trial is at issue. “By administering medication, the State may be creating prejudicial negative demeanor in the defendant – making him look nervous and restless, for example, or so calm or sedated as to appear bored, cold, 3 unfeeling, and unresponsive.” Riggins v. Nevada, 504 U.S. 127, 243 (1992) (Kennedy, J., concurring). Accordingly, an individual’s right to be free from involuntary medication of psychotropic drugs invokes fundamental private interests that only a compelling state interest can override. The Panel failed to examine fully either whether the State had met this burden or the extent of the individual interests involved when setting its test. A. The Panel Failed To Properly Analyze The Government’s Interest Before Determining The Level Of Scrutiny To Be Applied. While the Panel acknowledged that involuntary medication invoked “substantial” rights, it did not apply strict scrutiny, instead applying an intermediate “heightened scrutiny” test. The three-part test articulated by the Panel, Op. at 11, incorporates the balancing of individual rights against the government’s interests. However, the balancing of Dr. Sell’s right against the government’s interests must occur prior to the Court determining the standard of review. U.S. v. Brandon, 158 F.3d 947, 959 (6th Cir. 1998) (“In substantive due process analysis, a balance of rights is struck by deciding the appropriate standard of review in the first place.”) Id., citing Harper, 494 U.S. at 223-24 (1990). A proper analysis of this case requires the Court to begin with the threshold question of whether the challenged state action implicates a fundamental right. Glucksberg, 521 U.S. at 720 – 21. This requires a “careful description” of the asserted fundamental liberty interest. Id. at 721. This inquiry is a necessary prerequisite to determining the applicable standard of review. The Panel’s passing reference to Dr. Sell’s “significant liberty interest,” Op. At 12, fails to assess adequately the fundamental interest at stake. Indeed, there is no discussion at all of the character 4 or legal tradition of the right to refuse medication. Without making this threshold inquiry, it is improper for the Panel to determine the magnitude of the state interest required in its test. If the Court finds that a fundamental right is implicated, it must then assess whether the state has advanced a “compelling interest.” Glucksberg, 521 U.S. at 721. This requires the Court to consider at the outset whether the government’s interests are sufficient to override a fundamental right. Brandon, 158 F.3d at 959. Where fundamental rights are invoked, if the government’s interest is not compelling, the remainder of the balancing test cannot take place. Id. In Brandon, the Sixth Circuit made this initial inquiry and concluded that the defendant’s charges (sending threatening letters through the mail) were insufficiently grave for the government to satisfy the prerequisite showing that it had a compelling interest in bringing the defendant to trial. Id. The Panel’s opinion fails to analyze whether the government’s interest in bringing Dr. Sell to trial is substantial enough to override a fundamental liberty. Indeed, the Panel does not consider the government interest at the outset in determining what standard should apply. Rather, the Panel addresses the government’s interest in the application of its heightened scrutiny test by simply labeling the government interest in prosecuting defendants as “essential,” Op. at 12, citing Illinois v. Allen, 397 U.S. 337 (1970). The dissent aptly notes this omission and engages in requisite analysis, persuasively suggesting that the government had not met its burden of proving a compelling interest before engaging in the balancing test. Op. at 19, 23 (J. Bye, dissenting). 5 The Panel decision relies in part on U.S. v. Weston, 255 F.3d 873, 880 (D.C. Cir. 2001), in not applying strict scrutiny. But, unlike the Panel’s decision, the Weston court did weigh the government interest at length before articulating its standard of review, finding that the grave nature of Weston’s alleged crimes (murder) rendered the government’s interest “essential.” 225 F.3d at 881. The Weston court acknowledged that in spite of the language from Illinois v. Allen, which was cited by the Panel, and many other Supreme Court cases describing the government’s general interest in adjudicating crimes as “essential” and even “compelling,” the government’s interest is not absolute. “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.” Id. Thus, Weston deals with the narrow issue of the government’s interest in adjudicating violent crimes that carry substantial punishments. Id. The Panel seems to acknowledge a requirement of analyzing the government’s interest. The majority opinion states, “Not all charges … are sufficient to justify forcible medication of a defendant; rather the charges must be serious.” Citing Brandon, 158 F.3d at 961. (Op. At 12). The Panel’s analysis of the charges against Dr. Sell consists of a single sentence that conclusively states that the charges are serious. The Panel fails to explain why the charges are serious. By failing to go through this process, the Panel’s majority interpretation results in a test that is out of line with the established analysis for governmental infringements of fundamental liberties. See Harper, 494 U.S. 6 at 223-24. This flaw influenced how the Panel analyzed both the individual liberty interests and the competing government interests in the balance, resulting in an ultimately flawed test. 1. The Panel fails to distinguish a state’s interest in medicating dangerous defendants from its interest in bringing nondangerous defendants to trial. The Panel’s opinion fails to make the important distinction between the government’s interest in controlling dangerous people and its interest in bringing a nondangerous defendant to trial. The Panel’s heightened scrutiny test relied on Harper, supra, and Riggins, supra, both of which involved dangerous people. Riggins expressly provided that the government may involuntarily medicate pretrial detainees where it is “essential for the sake of the [detainee’s] own safety or the safety of others.” 504 U.S. at 135. Harper similarly determined that even with prisoners, who have diminished rights, the government’s interest in forced medication cannot stand unless the individual poses a danger to himself or others. 494 U.S. at 221-22. Unlike the dangerous people in Harper and Riggins, Dr. Sell is a non-dangerous pretrial detainee who the government seeks to drug involuntarily. The Panel’s reliance on Harper and Riggins is misplaced. See Angus, 820 F.Supp. at 1509 ("the reduced standard of review applied by the Court in Harper is not appropriate in resolving th[e] case" where the government seeks to medicate a nondangerous individual in order to render him competent to stand trial). The Sixth Circuit in Brandon similarly found Harper inapplicable because it addressed individuals who had been deemed dangerous. “To forcibly medicate Brandon, therefore, the 7 government must satisfy strict scrutiny review and demonstrate that its proposed approach is narrowly tailored to a compelling interest. “Brandon,158 F.3d at 957, citing Greaves, 744 F.2d at 1395; Angus, 820 F.Supp. at 1509. The court in U.S. v. Santonio, 2001 WL 670932 (D. Utah, May 3, 2001), similarly required strict scrutiny where the sole purpose of involuntary medication was to render a non-dangerous defendant competent for trial. Id at *4. Even Justice Kennedy, who wrote the majority opinion in Harper, later stated in his concurring opinion in Riggins his doubt that it could ever be appropriate to administer forcibly antipsychotic drugs solely to render a non-dangerous pretrial detainee competent to stand trial. Riggins, 504 U.S. at 138, 141 (Kennedy, J., concurring). Because the state’s interest in medicating non-dangerous pretrial detainees is distinct from its interest in medicating dangerous persons, the Panel’s failure to address this distinction resulted in faulty analysis of the level of the state interest involved. Accordingly, rehearing En Banc is merited. B. The Panel Fails To Give Proper Weight To Defendants’ Liberty Interests That Give Rise To Strict Scrutiny. In addition to failing to properly assess the government interest, the Panel failed to give appropriate weight to the individual First, Fifth and Sixth Amendment liberty interests at stake in the involuntary medication of non-dangerous pretrial detainees. 1. The Panel misapplies Washington v. Harper and Riggins v. Nevada, which apply to dangerous or imprisoned people. The Supreme Court has recognized that forced medication implicates a defendant’s Fifth Amendment liberty interest in being free from bodily intrusion: “[t]he 8 forcible injection of medication into a nonconsenting person’s body represents a substantial interference with that person’s liberty,” Harper, 494 U.S. at 221-22; see section I, supra. Dr. Sell’s liberty interest is heightened by the fact that the medications at issue have irreversible side effects. See Harper, 494 U.S. at 1028 (Stevens, J., concurring); Brandon, 158 F.3d at 954. The test used by the Panel’s application of Harper, as set forth in Riggins (Op. at 10), fails to consider the diminished liberty interests of prisoners. Riggins noted that pretrial detainees have at least the same rights as prisoners, 504 U.S. at 135, though it identified situations in which the government may be able to show an “overriding justification” sufficient to warrant involuntary medication to a trial or pretrial setting. Id. The Riggins test focuses on the government’s interest but doesn’t address the higher competing liberty interest enjoyed by non-prisoners. The Sixth Circuit acknowledged this distinction, noting that the individual’s liberty interest in the non-prison setting, particularly where not dangerous, rises to fundamental status in which strict scrutiny is required. Brandon, 158 F.3d at 957. 2. The Panel fails to acknowledge defendants’ First Amendment liberty interests to be free from involuntary medication. The Panel fails to acknowledge the First Amendment interests of nonviolent pretrial detainees in being free from involuntary medication. The Sixth and Tenth Circuits have found that the forced medication of a pretrial detainee affects his ability to produce ideas in violation of his freedom of speech under the First Amendment. Brandon, 158 F.3d at 953; Greaves, 744 F.2d at 1393-4. A defendant facing involuntary medication enjoys “a First Amendment interest in avoiding forced medication, which 9 may interfere with his ability to communicate ideas,” Brandon, 158 F.3d at 953, citing Greaves, 744 F.2d at 1393 (“Antipsychotic drugs have the capacity to severely and even permanently affect an individual's ability to think and communicate.”) The interest in retaining one’s identity and communicative process is substantial enough to invoke strict scrutiny, and thus warrants rehearing of the Panel’s decision. The Panel entirely fails to consider this interest when determining the nature of the scrutiny to be applied, looking only to the due process interest in being free from physical bodily intrusion. Moreover, even under the lower standard articulated by the majority, the Panel fails to weigh this interest in the its balancing test. Accordingly, En Banc review is warranted. 3. The Panel decision fails to fully consider the impact of forced medication on a defendant’s right to a fair trial. Forced medication by the government also implicates a defendant’s right to a fair trial as protected by the Due Process Clause and the Sixth Amendment. In his concurring opinion in Riggins, Justice Kennedy warned that the mind-altering affect of antipsychotic drugs may infringe upon a defendant’s right to effective assistance of counsel by making him unable to assist in his own defense. 504 U.S. at 139 – 41. The Panel’s opinion improperly fails to include an analysis of a defendant’s right to a fair trial as part of its test. Though the Panel concludes that a Sixth Amendment inquiry is not ripe prior to the administration of the medication, the Fourteenth Amendment fair trial analysis acknowledges “that before forcibly medicating an accused, there must be evidence that he will be able to participate in a fair trial.” Op. At 18. In spite of this reference, the Panel’s opinion fails to instruct how this analysis is incorporated into its test and what burden of proof must be met. 10 The government’s burden is higher when seeking to medicate pretrial detainees because it must show that its interest not only outweighs the defendant’s right to be free from unwanted bodily intrusion but also that it outweighs the possibility that his right to a fair trial may be implicated. Thus, in balancing a state’s interest in medicating a nondangerous defendant for the sole purpose of rendering him competent to stand trial, the court must consider not only his right to be free from forced medication, or his right to express his identity, but also his right to receive a fair trail and pursue a defense. The Panel’s opinion does not engage in this necessary analysis. Under the test articulated by the Panel, the Court balances only the state’s interest in bringing a defendant to trial with Dr. Sell’s interest in refusing unwanted medication. The Panel fails to consider at all Dr. Sell’s right to a fair trial. Thus, even under the lesser standard proposed by the Panel, the first prong of its test – that the government’s interest outweighs the defendant’s liberty interest - is in need of reconsideration to include the defendant’s interest in having a fair trial in the balancing test. Certainly a non-dangerous individual’s rights to express his identity and to be free from forced medication alone are sufficient to invoke a liberty interest requiring strict scrutiny review. It follows that when such an individual is being detained for trial, his added rights to due process and a fair trial also invoke a liberty interest warranting strict scrutiny review. Arguably, even when involuntary medication may be justified where a defendant is dangerous, the state’s interests in bringing the defendant to trial cannot override a detainee’s right to a fair trial. Clearly, the state’s interests are even less when the defendant has been deemed not dangerous. 11 Riggins is distinguishable on this issue because it involved a pretrial detainee who had agreed to medication, eventually attained competence, and then during trial tried to assert a right to discontinue the medication. U.S. v. Sanchez-Hurtado notes that Riggins primarily considered the administration of antipsychotic medication during trial, rather than before trial, which Sanchez found distinguishable from a pretrial detainee who has not already agreed to be medicated. 90 F.Supp.2d 1049, 1053 (S.D. Cal. 1999). Because the Panel failed to properly balance the defendant’s right to a fair trial, not just against the government interest, but in determining the extent of the government interest in the first place, its resulting test merits rehearing En Banc. C. The Panel Erroneously Relied On Riggins v. Nevada. In deciding not to adopt strict scrutiny, the Panel relied in part on the erroneous conclusion that the Supreme Court “declined to adopt such a standard in Riggins.” Op. at 10. This reliance is wholly misplaced as the Riggins Court did not rule on the appropriate standard of review at all. Indeed, Riggins expressly declined to articulate a standard of review. Yet, this incorrect reading of Riggins forms the basis for the Panel’s decision not to apply strict scrutiny. Not only does Riggins expressly not support the lesser scrutiny applied by the Panel here, but in fact, has been viewed to support strict scrutiny. The dissent in Riggins concluded that the majority actually had adopted strict scrutiny, despite its statement that it was not articulating any standard, because of the substantial weight it gave to the defendant’s liberty interest compared to the government’s. Riggins, 504 12 U.S. at 156 (Thomas, J. dissenting). Similarly, in Brandon, the Sixth Circuit cites Riggins’ reliance on Harper’s “overriding justification” standard to suggest that the Court may have been articulating strict scrutiny review. Brandon, 158 F.3d at 959. At the very least, Brandon concludes that Riggins intended to require the government to offer reasons sufficient to override whatever level of scrutiny it decides to apply in the future, a reasoning that was not conducted by the Panel in this case (see section A, supra.). “On the one hand, the Court [in Riggins] seems to have alluded to a strict scrutiny approach . . .On the other hand, the Court’s majority opinion makes it clear that it did not set out any standard.” Brandon, 158 F.3d at 957. Ultimately, the Panel cannot find support for its use of heightened and not the required strict scrutiny from Riggins. At the least, the Panel’s reliance on Riggins to justify its heightened scrutiny approach is not dictated by that precedent and is therefore worthy of rehearing En Banc. CONCLUSION Because standard to be applied is critical to the determination of the exceptionally important issue of when government can involuntarily administer antipsychotic medications to incompetent, non-dangerous pretrial detainees solely to bring them to trial and because the matter is one in which the circuits are divided, the issue warrants rehearing by the Court. For the foregoing reasons, the Court should grant rehearing En Banc. DATED: APRIL 4, 2002 13 Respectfully Submitted, AMERICAN CIVIL LIBERTIES UNION OF EASTERN MISSOURI _______________________________________ Denise D. Lieberman, MBE 47013 Peter A. Joy, MBE 50553 4557 Laclede Avenue St. Louis, Missouri 63108 (314) 361-2111 (314) 361-3135 facsimile CERTIFICATE OF COMPLIANCE WITH FED. R. APP. P.32(a)(7)(B) AND 8th CIR. R. 28A(c) The undersigned hereby certifies that this brief contains 3,584 words. The name and version of the word processing software used to prepare the brief is: Microsoft Word 2000. A 3½-inch computer diskette containing the full text of the brief has been provided to the clerk. The diskette has been scanned for viruses and is virus-free. __________________________________ Denise D. Lieberman 14 CERTIFICATE OF SERVICE The undersigned hereby certifies that two copies of Amicus Curiae’s Brief in Support of Appellant’s Petition for Rehearing En Banc and one copy of the diskette containing the full text of same were mailed first-class, postage prepaid, on the 4th day of April 2002, to: Dorothy L. McMurtry, Esq. Howard J. Marcus, Esq. Assistant United States Attorney 111 South 10th St. St. Louis, MO 63101 Lee Lawless Federal Public Defender’s Office 1010 Market Street, Suite 200 St. Louis, MO 63101 Barry Short Lewis & Rice 500 N. Broadway, Suite 2000 St. Louis, MO 63102 Karen Tripp American Association of American Physicians & Surgeons, Inc. 1100 Louisiana Street, Suite 2690 Houston, TX 77002 Grant J. Shostak Moline, Shostak & Mehan LLC 8015 Forsyth St. Louis, MO 63105 Richard Glen Boire Center for Cognitive Liberty & Ethics 231 G. Street, No. 7 Court & Cedar Offices Davis, CA 95616 __________________________________ Denise D. Lieberman 15