Document: 406 U.S. 715 92 S.Ct. 1845 32 L.Ed.2d 435 Theon JACKSON, Petitioner,v.State of INDIANA. No. 70—5009. Argued Nov. 18, 1971. Decided June 7, 1972. Syllabus The Indiana procedure for pretrial commitment incompetent criminal defendants set forth in Ind.Ann.Stat. § 9—1706a provides that a trial judge with 'reasonable ground' to believe the defendant be stand must appoint two examining physicians and schedule competency hearing, at which may introduce evidence. If court, on basis physicians' report 'other evidence,' finds lacks 'comprehension sufficient understand proceedings make his defense,' is delayed remanded state department mental health an 'appropriate psychiatric institution' until shall become 'sane.' Other statutory provisions apply citizens who are 'feeble-minded, therefore unable properly care themselves.' procedures committing such persons substantially similar those determining defendant's competency, but person committed as 'feeble-minded' released 'at any time' condition warrants it judgment superintendent institution. Indians also has comprehensive scheme 'mentally ill, i.e., 'psychiatric disorder' defined by statute, can showing illness need 'care, treatment, training or detention.' A so when institution discharge him, he cured. Petitioner this case, mentally defective deaf mute, cannot read, write, virtually otherwise communicate, was charged offenses under 9 1706a procedure. doctors' showed petitioner's precluded understanding nature charges against him participating defense their testimony prognosis 'rather dim'; even if petitioner were not would trial; intelligence enable ever develop necessary communication skills. According deaf-school interpreter's testimony, State had no facilities could help learn minimal After finding 'lack(ed) comprehension court ordered time certify sanity court. Petitioner's counsel filed motion new trial, denied. Supreme Court affirmed. Contending tantamount 'life sentence' without having been convicted crime, claims deprived equal protection because, absent have proceed other feeble-minded either entitled greater rights. asserts indefinite section due process subjected cruel unusual punishment. Held: 1. By subjecting more lenient standard stringent release than generally applicable all offenses, thus condemning permanent institutionalization required opportunity afforded ordinary civil procedures, protection. Cf. Baxstrom v. Herold, 383 107, 86 760, 15 620. Pp. 723—731. 2. Indiana's solely account lack capacity violates process. Such held reasonable period determine whether there substantial probability will attain foreseeable future. determined not, institute defendant. Greenwood United States, 350 366, 76 410, 100 L.Ed. 412 distinguished. 739—741. 3. Since issue responsibility alleged (as distinguished from trial) matters remain resolved, premature dismiss petitioner. 253 Ind. 487, 255 N.E.2d 515, reversed remanded. Frank E. Spencer, Indianapolis, Ind., Sheldon A. Breskow, respondent. Mr. Justice BLACKMUN delivered opinion Court. 1 We here concerned constitutionality certain aspects system one accused crime. 2 Petitioner, Jackson, mute level pre-school child. He communicate except through limited sign language. In May 1968, age 27, Criminal Marion County, Indiana, separate robberies women. occurred preceding July. first involved property (a purse its contents) value four dollars. second five dollars money. record sheds light these since, upon receipt notguilty pleas trial. (Supp. 1971),1 now Ind.Code 35—5—3—2 (1971). 3 As statute requires, appointed psychiatrists examine Jackson. hearing subsequently represented counsel. received joint written oral them interpreter whom they attempted concluded Jackson's almost non-existent skill, together deficiency, left participate defense. One doctor testified extremely unlikely read write questioned ability proficiency believed able great extent 'prognosis appears rather dim.' Jackson doubted someone badly off 4 On evidence, found 1706a, Department Mental Health should 'the sane.' 5 then contending evidence 'insane,' status might regard 'sane' sense Counsel argued circumstances amounted Fourteenth Amendment rights protection, constituted punishment Eighth made States Fourteenth. denied motion. appeal affirmed, dissenting, 515 (1970). Rehearing judges dissenting. granted certiorari, 401 973, 91 1203, 28 322 6 For reasons below, we conclude that, before us, constitutionally commit simply incompetency him. Accordingly, reverse. 7 * INDIANA COMMITMENT PROCEDURES 8 Section contains both procedural substantive requirements Indiana. submission case jury 'to insane,'2 hearing. alone, jury. evidence' adduced incompetency. 'has continued confined institution.' further '(w)henever sane' fact order brought sua sponte. There provision periodic review authorities. terms does accord right describe hearing; cross-examined testifying doctors carefully called witnesses behalf petitioner-defendant. central contention State, seeking effect indefinitely, invoke standards 22—1907, 16—15—1—3 (1971), governing persons. That application 'reputable citizen county' accompanying certificate reputable physician 'feeble-minded insane epileptic' (emphasis supplied), circuit person. notice, patient determines individual indeed 'feeble-minded,' enters directs clerk person's admission feebleminded located district said county situated.' time,' provided 'in superintendent, physical justifies it.' 22—1814, 16—15—4—12 statutes do define 'feeble-mindedness' 'insanity' used 22—1907. But establishing special persons, 22—1801, IC 1971, 16—15—4—1, refers duty provide themselves.'3 These evidently afford vehicle custodial 'not insane' qualify ill' State's general involuntary scheme. See §§ 22 1201 22—1256, 16—14—9—1 16—14—9—31, 16—13—2—9 16—13—2—10, 35—5—3—4, 16—14—14—1 16—14—14—19, 16—14—15 5, 16—14—15—1, 16—14—19—1 10 Scant attention paid law courts present case. An it, however, essential full airing raised 22—1201(1) defines ill person' 11 'is afflicted disorder impairs health; and, because disorder, requires care, detention interest welfare others community resides.' 12 22—1201(2) disease, including epilepsy, alcoholism, drug addiction. sections specify feeble-minded. example, citizen's sworn statement required. 22—1212. judge, applicant, consult formulate treatment plan. 22—1213. Notice required, 22—1216, examined physicians, 1215. temporary commitment. illness. 22—1209, 1216, 22—1217. appeal. 22—1210. adjudged assignment appropriate 22—1209. Discharge discretion particular assigned, 22—1223; Official Opinion 54, Opinions Attorney General Dec. 30, 1966. individual, remains within court's custody, revoked Ibid. II EQUAL PROTECTION 13 Because established little likelihood improvement condition, argues life. This contends, pending citizens: (1) decision according different standard, (2) warranted, lenient, (3) assigned affording (4) privileges available 14 620 (1966), prisoner civilly end prison sentence surrogate committed. Rejecting argument Baxtrom's conviction adequate justification difference 'there conceivable distinguishing nearing penal term commitments.' U.S., 111—112, S.Ct., 763; see ex rel. Schuster 410 F.2d 1071 (CA2), cert. denied, 396 847, 90 81, 24 96 (1969). maintained corrections 'dangerously judicial determination 'dangerous propensities' imposition insufficient justify less others, mere filing surely suffice. precise holding Massachusetts Commonwealth Druken, 356 Mass. 503, 507, 254 779, 781 (1969).4 principle extended following insanity acquittal, Bolton Harris, 130 U.S.App.D.C. 1, 395 642 (1968); Cameron Mullen, 128 235, 387 193 (1967); People Lally, 19 N.Y.2d 277 N.Y.S.2d 654, 224 87 lieu sex offender. Humphrey Cady, 405 504, 1048, 31 394 (1972). 16 Respondent argues, fails establish affirmatively never improve, 'until really indeterminate one. It only temporary, possible change condition. Thus, presumably, judged commitments truly indeterminate. relies 'exactitude' psychiatry predict future course illness, Court's what claimed 'a situation hand' (1956). 17 Were factual premise valid one, well support premise. view acquire improved skills developing skills, testified, appeared answer question comprehend defense, after said, 'I doubt I don't so.' psychiatrist still aid deficiency. interpreter, supervising teacher school deaf, serve could, 'after length participating. heard mother testify already undergone rudimentary out-patient communications dumb School Indianapolis over three years noticeable success. nothing points possibility remedied time. 18 Nor Greenwood,5 constitutional validity U.S.C. 4244 4248, lend respondent's position. decision, addressing 'narrow case,' 375, 415, upheld Federal Government's authority District outstanding charges, probably dangerous safety officers, property, interests States. construed federal deal 'comprehensively' 'who trial,' merely problem disorder.' 373, 414. Though Greenwood's prospects slim, us,' where explicit dangerousness, alone 'does defeat power initial commitment.' 415. No decided. Brief, 460, O.T.1955, pp. 2, 7—9. clear findings sole 376, note neither nor practice makes relevant factor. did seek showing, clearly establishes chances meeting best minimal, nonexistent. rebuts contribute improvement. practical effect. 20 turn whether, pendency triggered invocation 9—1706a, statutes. withhold few protections others. appear similar: examination doctors, cross-examine Under each statutes, appellate available. 21 contrast, show released, needed inability say 22—1209 1907. former least 22—1201(1). Whether deficiency meet test unclear; addressed himself this. Furthermore, problematical 'treatment' 'training' since none 'detention.' employed times, long home inadequate. require independent dangerousness ('requires . .'). Insofar supporting introduced. same reasons, feeble-mindedness 22—1907 ground Jackon 'unable (himself).'6 22—1801. 23 More important, eligible 'justifies it,' 'superintendent administrator (when) cured illness.' 22—1223 supplied). longer occasioned commitment, believes interests. concerning past employment strongly suggests time, improve.7 hand, all, better condition.8 release, rationale here. harm just justification, making early release. 25 noted above, sentence. Consequently, hold laws Amendment.9 III DUE PROCESS 26 closely related discussed Part square Amendment's guarantee 27 System. system, posed encountered precisely 'dangerous' indefinitely. decisions uniformly articulated problems compelling interpretation. 4246, dissimilar law. competent disposed law.' 4246. 4247, face criminals whose sentences about expire, permits 'insane incompetent' 'will endanger suitable arrangements custody available,' is, facility. 373—374, 414—415. section, conditions obtains, 'whichever event occur.' 4248. 4247 'dangerous.' 29 Greenwood, met though yet stood ostensibly 4244. provision, became competent. applied specifically approved approach, 374, dangerous, requirement circumstances, constitutional. 30 exception improper straightforward 4246 chance attaining effecting alone. Curry, 1372 (CA4 1969); Walker, 335 F.Supp. 705 (ND Cal.1971); Cook Ciccone, 312 822 (WD Mo.1970); 306 Cal.1969); Maurietta 305 775 Mo.1969). re Harmon, 425 916 (CA1 1970); Klein, 325 283 (CA2 1963); Martin Settle, 192 156 Mo.1961); Royal 176 Mo.1959). cases grounded expressed survive scrutiny interpreted authorize imposed 'rule reasonableness' Without thereunder slight, 4247—4248 B. Some States10 indefinitely recovers competency. commitment11 forms parole.12 New York recently enacted legislation mandating misdemeanors days dismissal felonies two-thirds maximum potential sentence.13 automatic conditioned attainment competence decried policy grounds.14 Recommendations changes commentators study committees included incorporation into equivalent reason,' full-scale administrative personnel progress, ultimately dropping improve.15 source criticism undoubtedly empirical data tend many tried, pursuant are, average, sooner automatically incapacity trial.16 Related statistics doubts commitment—that competency—is empirically given most our institutions.17 However, very directly context. 33 Wolfersdorf Johnston, 317 66 (S.D.N.Y.1970), 86-year-old nearly murder kidnapping habeas corpus. dangerous,' relief. incarceration criminally punishment, 'shocking circumstances' violated Due Process Clause. quoted approvingly language F.Supp., 824, 'substantial injustice keeping unconvicted await plainly evident permit time.' 34 1970 indistinguishable Illinois relief illiterate indicted previously Myers Briggs, 46 Ill. 2d 281, 263 109 determined, '(I)t (petitioner) cooperate trial.' functioning 'nearly normal performance areas communication.' contended restored. disagreed. held: 35 'This defendant, handicapped facing indictment obtain guilty released.' Id., 288, N.E.2d, 113. 36 C. Case. heavily distinguishable. considering duration justified treating accomplished allied relating individual's society's factors considered And sustained dangerousness. A, supra, shows, elements sufficient, necessary, sustain like 37 traditionally exercised broad ill.18 limitations exercise invoking vary drastically among States.19 fashion exercised—for instance, various delinquency laws, sexual psychopath acquitted reason insanity—reflects combinations distinct bases sought vindicated.20 include self, training.21 Considering number affected,22 perhaps remarkable frequently litigated.23 38 address questions rests purport bring play, consider relevant, contain alternative methods power. 'formal (his) function society,'24 restraint, compulsory ostensible purpose At least, bear some relation 39 hold, consequently, offense customary proceeding citizen, defendant.25 soon progress toward goal. differing record, think us attempt prescribe arbitrary limits. note, one-half sufficiently fully 40 conclusions unnecessary reach Eighth-Fourteenth claim. IV DISPOSITION OF THE CHARGES 41 urges fundamental fairness dismissed. thrust amply crimes discuss question. Apparently claim ripe ultimate 42 out complete below directed responsibility, presented incidentally.26 event, remand consideration responsibility. 43 Dismissal usually thought grounds squarely here: particularly, Sixth-Fourteenth speedy trial,27 denial inherent head prove innocence.28 courts. highest rule issue, above-described form. think, holdings Parts III, issues. 44 Both desirability permitting go forward despite incompetency.29 4.06(3) Model Penal Code accused's attorney contest 'susceptible fair prior personal participation defendant.' draft 4.06(4) evidentiary defenses, quash indictment. motions allowing innocence, conviction.30 previous decisions31 preclude minimum, raise defenses insufficiency indictment, Of course, certainly capable committed, warranted. good acquittal asserted. know approve mentioned here, possibilities open remand. 45 Reversed POWELL REHNQUIST took part '9—1706a. Commitment trial—Subsequent actions.—When cause during thereof final trying same, own knowledge suggestion person, believing insane, immediately fix disinterested introduced insanity. find action thereon health, Whenever sane hospital proper enter directing sheriff return instance whenever advised restoration sanity. Upon she placed delay postponement insanity.' several 'sanity.' nowhere defined. context, absence contrary construction courts, intended synonymous Sections 22—1801 interdependent. 49, Sept. 26, 1958. Association Bar, City York, Special Committee Study Procedures Law Relating Incompetents, Second Report, Illness, Defendant (1968) (hereafter N.Y. Report): 'The basic unifying thread runs throughout recommendations rejection notion charge build unnecessary, unprofitable, essentially unfair distinctions ill.' connection III. Perhaps confusion point engendered counsel, far asserting actively hope assured concern unnecessary. suggest inappropriate. seems President's Retardation, Changing Patterns Residential Services Mentally Retarded improve authorities decide 'justified' barred relying differences between them. line reasoning unpersuasive. plain provisions, history dictates results. needs treatment. dependent regaining 'institution persons' statutorily maintains institutions. 'failed mechanisms' procedures. 490, 517. observed administers, consolidated fashion, institutions, 22—5001 22—5036, 16—13—1—1 16—13—1—31, 16—13—2—1, 13—2—7 6—13—2—8, 16—14—18—3 16—14—18—4 institutions institutions' culminate argument, went step further. identical: authority, assigns regardless how true, blush mandate requiring consolidation department, piecemeal, older often formally revised. discretionary transfer patients administers 22—5032(6) 22—301, consolidating decision. Moreover, demonstrates ill. faced Baxstrom, distinctly maximum-security stitution designed inmates administered Therefore, virtue entitled. Similarly, deprive furloughs entitle relate method Thus Muscatatuck committed; Cal.Penal 1370, 1371 (1970); Conn.Gen.Stat.Rev. 54—40(c) (1958); Minn.Stat.Ann. 631.18 (Supp.1972—1973); N.J.Rev.Stat. 2A:163—2 (1971); Ohio Rev.Code Ann. 2945.37 2945.38 (1954); Wis.Stat.Ann. 971.14 Note, Incompetency Stand Trial 81 Harv.L.Rev. 454 (1967). Iowa Code, 783.3 (Supp.1972); Okla.Stat.Ann., Tit. 22, 1167 S.D.Comp.Laws 23—38—6 Mich.Comp. Laws 767.27a(8) Ore.Rev.Stat. 426.300(1) 51.21(6) (Supp.1972). N.Y.Crim.Proc. 730.50 Ill.Rev.Stat., c. 38, 104—3(c) Foote, Comment Pre-Trial Defendants, 108 U.Pa.L.Rev. 832 (1960); Trial, 454—456, 471—472 Report 91—107. Judicial Conference Columbia Circuit, Problems Connected Examination Accused Cases, Before 49—52, 54—58, 133—146 (1965) D.C. Report); 73—124; Note Harv.L.Rev., 471—473. Matthews, Disability 138 140 (American Bar Foundation Morris, Confusion Confinement Syndrome: Analysis Ill Criminals Ex-Criminals Correction Buffalo L.Rev. 651 McGarry & Bendt, vs. Civil Psychotic Offenders: Seven-Year Follow-Up, 125 Am. J. Psychiatry 1387, 1391 (1969); 50—52. 472—473; American Foundation, Disabled 415—418 (rev. ed. 1971) ABF Study); N.Y.Report 72—77, 102—105, 186—190. 34—59. 36—49. shows nine criterion self others; patient's basis; latter six additional States; criteria presumably leaving discretion. Restraint, Right Treatment, 77 Yale L.J. Ill: Theories Procedures, 79 1288, 1289—1297 (1966). 1961, estimated 90% approximately 800,000 hospitals country involuntarily Hearings Constitutional Rights Subcommittee Senate Judiciary, 87th Cong., 1st Sess., pt. 11, (1961). Although later Census Bureau 1969 resident population 50% lower, Health, Education, Welfare estimate annual admissions 380,000 per annum. xv. Powell Texas, 392 514, 88 2145, 1254 Robinson California, 370 660, 82 1417, 758 (1962). 916, 918 1970). feebleminded. 'probably knows way wrong.' agreed, grasp whatsoever abstract concepts 'like simple things yesterday tomorrow.' Ill.2d 287—288, 109, 112—113 66, 68 (S.D.N.Y.1970); 4, (N.D.Cal.1969); n. 838—839; 145—146 (Recommendation 16). cited 27; 119—121 15); 52—53; 4.06(2) (Proposed Draft 1962). Ill.2d, 113; Neely Hogan, 62 Misc.2d 1056, 310 63 115—123 13); 143—144 14, 841—845; 4.06 (alternative subsections 3, 4) 1962); 423. 971.14(6) N.Y.Crim.Proc.Law 730.60(5) Mass.Gen.Laws, 123, Mont.Rev.Code 95—506(c) Md.Ann.Code, Art. 59, 24(a) Reg. Roberts, (1953) W.L.R. 178, All.E.R. 340 (Devlin, J.). Pate Robinson, 836, 815 (1966); Bishop 961, 440, 835

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