Legal Document

505 U.S. 437 112 S.Ct. 2572 120 L.Ed.2d 353 Teofilo MEDINA, Jr., Petitioner,v.CALIFORNIA. No. 90-8370. Argued Feb. 25, 1992. Decided June 22, Rehearing Denied Sept. 13, See , 113 S. Ct. 19. Syllabus * Before petitioner Medina's trial for, inter alia, first-degree murder, the California court granted his motion for a competency hearing pursuant to state law that forbids mentally incompetent person be tried or punished, establishes presumption of competence, and placed on burden proving incompetence by preponderance evidence. The jury empaneled found Medina competent stand and, subsequently, he was convicted sentenced death. State Supreme Court affirmed, rejecting claim statute's proof provisions violated right due process. Held: 1. Due Process Clause permits require defendant claiming bear so Pp. 442-453. (a) Contrary argument, Mathews v. Eldridge, 424 319, 96 893, 47 18, test evaluating procedural process claims does not provide appropriate framework assessing validity rules are part criminal It is at all clear essential results in United States Raddatz, 447 667, 100 2406, 65 424, Ake Oklahoma, 470 68, 105 1087, 84 53, only cases which this has invoked resolving claims. Rather, proper analytical approach set forth Patterson New York, 432 197, 97 2319, 53 281, held power regulate procedures carrying out its laws, including burdens producing evidence persuasion, subject proscription under unless " 'it offends some principle justice rooted traditions conscience our people as ranked fundamental.' Id., 201-202, S.Ct., 2322. 442-446. (b) There no historical basis concluding allocating prove violates While rule an should required deep roots country's common-law heritage, settled tradition exists allocation proceeding. Moreover, contemporary practice demonstrates there remains view where lie. 446-448. (c) Nor State's transgress any recognized "fundamental fairness" operation. This Court's decision Leland Oregon, 343 790, 72 1002, L.Ed. 1302—which upheld place defense insanity—does compel conclusion issue constitutional, because significant differences between plea guilty reason insanity. Nonetheless, once met obligation providing access making evaluation, requiring it assume vindicating defendant's constitutional while legally persuading trier fact trial. 448-449. (d) Allocating inconsistent with holding Pate Robinson, 383 375, 384, 86 836, 841, 15 815, whose competence doubt cannot deemed have waived hearing, question whether can made knowing intelligent waiver quite different from presented here. Although psychiatry inexact science reasonable minds may differ wisdom placing these circumstances, adopt one procedure over another produce more favorable accused. In addition, been allocated variety other issues implicating rights mean must Lego Twomey, 404 477, 489, 92 619, 626, 30 618, distinguished. 449-452. 2. For same reasons discussed herein regard proof, violate disturb that, essence, challenged restatement burden. 452-453. 51 Cal.3d 870, 274 Cal.Rptr. 849, 799 P.2d 1282 (1990), affirmed. KENNEDY, J., delivered opinion Court, REHNQUIST, C.J., WHITE, SCALIA, THOMAS, JJ., joined. O'CONNOR, filed concurring judgment, SOUTER, BLACKMUN, dissenting opinion, STEVENS, Michael Pescetta, San Francisco, Cal., petitioner. Holly D. Wilkens, Diego, Justice KENNEDY Court. 1 well established Fourteenth Amendment prohibits prosecution who Drope Missouri, 420 162, 95 896, 43 103 (1975); 815 (1966). case alleges 2 1984, Medina, Jr. stole gun pawn shop Santa Ana, California. weeks followed, up two gas stations, drive-in dairy, market, murdered three employees those establishments, attempted rob fourth employee, shot passersby follow getaway car. Petitioner apprehended less than month after crime spree began charged number offenses, counts murder. trial, petitioner's counsel moved Cal.Pen.Code Ann. § 1368 (West 1982), ground unsure had ability participate proceedings against him. Record 320. 3 Under law, "[a] adjudged punishment such incompetent." 1367 1982). A "if, result mental disorder developmental disability, unable understand nature assist conduct rational manner." Ibid. statute competent, party bears 1369(f) ("It shall presumed proved incompetent"). 4 preliminary jury. Over course six-day addition lay testimony, heard conflicting expert testimony about condition. gives summary: 5 "Dr. Gold, psychiatrist knew Arizona prison system, testified paranoid schizophrenic attorney Dr. Echeandia, clinical psychologist Orange County jail, doubted accuracy schizophrenia diagnosis, could express Sharma, psychiatrist, likewise expressed doubts regarding diagnosis leaned toward finding competence. Pierce, psychologist, believed schizophrenic, impaired memory hallucinations, but nevertheless Sakurai, jail opined although suffered depression, malingering. Sheffield, treated knife wounds incurred give issue." 880, 855, 1282, 1288 (1990). 6 During engaged several verbal physical outbursts. App. 62, 81-82; 671, 699, 916. On occasions, overturned table. 81-82. 7 instructed accordance "the disability." 87. 89. new impanelled 1020, entered pleas Cal.3d, 899, Cal.Rptr., 867, P.2d, 1300. At guilt phase, murder lesser offenses. 878-879, 854, 1287. He withdraw insanity plea, motion. Two days later, however, reinstate plea. reinstatement "tactically unsound," 868, 1300-1301. sanity held, sane time penalty murders were premeditated deliberate, returned verdict imposed death convictions, term remaining 878-880, 854-855, 1287-1288. 8 direct appeal did challenge standard 1369(f), argued him establish establishing proven otherwise. rejected both contentions. Relying upon 1302 (1952), Oregon beyond doubt, observed states ordinarily great latitude decide placement burdens." 884, 858, 1291. view, "does hardship oppression," "one might reasonably expect would better People facts relevant court's inquiry." 885, also argument "irrational" retain sufficient arisen warrant "decline[d] hold matter mere affecting production, disappears merely preliminary, often undefined indefinite, 'doubt' justifies further inquiry into matter." 859, 1291-1292. We certiorari, 502 ----, 336, 116 276 (1991), now affirm. II 9 argues 18 (1976), provides determining California's hearings comports disagree. Mathews, we articulated three-factor requires consider 10 "[f]irst, private interest will affected official action; second, risk erroneous deprivation through used, probable value, if any, additional substitute safeguards; finally, Government's interest, function involved fiscal administrative requirement entail." 335, 903. 11 balancing which, like bar, E.g., Fields, 62 Cal.2d 538, 542, 42 833, 835, 399 369, 371 (competency "must regarded case") (internal quotations omitted), cert. denied, 382 113, (1965). 12 field "have defined category infractions 'fundamental fairness' very narrowly" based recognition "[b]eyond specific guarantees enumerated Bill Rights, limited operation." Dowling States, 493 342, 352, 110 668, 674, 107 708 (1990); accord, Lovasco, 431 783, 2044, 2048, 52 752 (1977). Rights speaks explicit terms many aspects procedure, expansion open-ended rubric invites undue interference considered legislative judgments careful balance Constitution strikes liberty order. As said Spencer Texas, 385 554, 564, 87 648, 653, 17 606 (1967), "it never thought [decisions Clause] rule-making organ promulgation procedure." Accord, Estelle McGuire, 70, 475, 481, (1991); Marshall Lonberger, 459 422, 438, n. 6, 843, 853, 74 646 (1983). 13 itself adequacy purpose terminating Social Security disability benefits, first conceived address arising context law. since characterized "a general testing claim," Parham J.R., 442 584, 599, 99 2493, 2502, 61 101 (1979), applied contexts, e.g., Santosky Kramer, 455 745, 102 1388, 71 599 (1982) (standard termination parental objection); Addington 441 418, 1804, 60 323 (1979) involuntary civil commitment hospital indefinite period), occasions. 14 (1980), cited provision Federal Magistrates Act authorized magistrates make findings recommendations motions suppress (1985), relied when indigent capital showing offense likely factor provided assistance psychiatrist. Without disturbing holdings Raddatz Ake, reached cases. supra, U.S., 677-681, 2413-2415, adverted test, explicitly rely conducting analysis, 700, 2425 (Marshall, dissenting) ("The recites th[e] even attempt apply it"). understood earlier entitled minimum necessary assure fair opportunity present defense" "to meaningfully [the] judicial proceeding." 76, 1092. approach, here, 281 (1977), decided year Mathews. Patterson, York affirmative extreme emotional disturbance. Rather relying reasoned narrower appropriate: 16 "It goes without saying preventing dealing much business Government, Irvine California, 347 128, 134 [74 381, 98 561] (1954) (plurality opinion), lightly construe intrude administration individual States. Among things, normally 'within laws carried out, persuasion,' Speiser Randall, 357 513, 523 [78 1332, 1341, 1460] (1958); 798 [72 1007, 1302] (1952); Snyder Massachusetts, 291 97, [54 330, 332, 78 674] (1934)." Martin Ohio, 480 228, 232, 1098, 1101, 94 267 (1987). suggests, considerable expertise matters grounded centuries tradition, exercise substantial deference area. endorsed thus far intrusive approved Based review treatment proceedings, operation rule, precedents, say "offends fundamental." 202, 2322 omitted). Historical probative fundamental. ibid.; re Winship, 397 358, 361, 90 1068, 1071, 25 368 (1970). heritage. Blackstone acknowledged "who became 'mad' commission arraigned 'because able plead advice caution ought,' "if pleading, tried, 'for how defense?' 171, 903 (quoting W. Blackstone, Commentaries *24); M. Hale, Pleas Crown *34-*35 (1736). 19 By contrast, proceeding determine concedes "[t]he common adopted entirely clear." Brief 36. Early English authorities either subject, Firth's Case (1790), 22 Howell St.Tr. 307, 311, 317-318 (1817); Kinloch's (1746), 395, 411 (1813), ambiguous. King Steel, Leach 452, 168 Eng.Rep. 328 (1787) (stating determined "mute visitation God" (i.e., deaf dumb) malice," arose "presumption ideotism" rebut demonstrating capacity signs tokens"). 20 Nineteenth century decisions do take consistent position proof. Compare R. Turton, Cox C.C. (1854) (burden defendant) Davies, Carrington & Kirwan 328, 175 575 (1853) prosecution); see generally Podola, Crim.App. 220, 235-236, All E.R. 429-430 (1959) (collecting cases). American dating turn divergent views subject. Chisolm, 149 F. 284, 290 (SD Ala.1906) (defendant raising competence); Helm, 69 Ark. 167, 170-171, S.W. 915, 916 (1901) incompetence). 21 Contemporary practice, relevance inquiry, 236, 1103; 211, 2327, Government 50 U.S.C. 4241; Brakel, J. Parry, B. Weiner, Mentally Disabled Law, Table 12.1, pp. 744-754 (3d ed. 1985). Some enacted statutes issue. Conn.Gen.Stat. 54-56d(b) Pa.Stat.Ann., Tit. 50, 7403(a) (Purdon Supp.1991). courts incompetence. Wallace State, 248 Ga. 255, 258-259, 282 S.E.2d 325, 330 (1981), 927, 1291, 471 (1982); Aumann, 265 N.W.2d 316, 319-320 (Iowa 1978); Chapman, 104 N.M. 324, 327-328, 721 392, 395-396 (1986); Barber 757 S.W.2d 359, 362-363 (Tex.Crim.App.1988) (en banc), 489 1091, 109 1559, 861 (1989). Still rests prosecution. Diaz 508 A.2d 861, 863-864 (Del.1986); Commonwealth Crowley, 393 Mass. 393, 400-401, N.E.2d 353, 357-358 (1984); Bertrand, 123 N.H. 719, 727-728, 465 912, (1983); Jones, 406 366, 369-370 (S.D.1987). Discerning process, transgresses 674. Respondent compels because, insanity, relationship elements crime, Rivera Delaware, 429 877, 226, 160 (1976). analogy convincing, 176-177, 906; Jackson Indiana, 715, 739, 1845, 1858, 32 435 (1972). 23 "emphasis [the defendant's] consult comprehend . means responsibility crime." 388-389, 844 (Harlan, dissenting). If incompetent, considerations suspension until time, regains Dusky 362 402, 80 788, 824 (1960) (per curiam ). entry presupposes enter affords 172-173, 904; 386, 842, recognize defense. See, Powell 392 514, 536-537, 88 2145, 2156-2157, 1254 (1968). 24 affect determinations narrow class equipoise; is, just strong incompetent. DiGilio, 538 F.2d 972, 988 (CA3 1976), 1038, 733, 749 Our "not incompetent," "failure observe adequate protect deprives trial." 172, 173, 904. Once perceive relies federal state-court circumstances hearing. 988; McCullum, 66 Ill.2d 306, 312-314, Ill.Dec. 839-840, 310-311 (1977); N.H., A.2d, Because contradictory argue yet knowingly intelligently "waive" trial,' "contradictory possess intelligence adduce incompetency otherwise within grasp." 841). 26 waive held. announced driven concern impossible counsel, Smith, 451 454, 469-471, 1866, 1876-1877, 68 359 psychiatric brought §§ 1369(a), 1370 1982 Supp.1992); 697-698. incompetence, inability can, itself, constitute best-informed David, 167 U.S.App.D.C. 117, 122, 511 355, 360 ex rel. Roth Zelker, 1105, 1108 (CA2), 408 2512, 33 340 believe factors account Pate. 27 science, "bear being forced competency." 8. subtleties nuances render certainties virtually reach most situations," "[p]sychiatric large extent medical 'impressions' drawn subjective analysis filtered experience diagnostician." 430, 1811. not, 208, 2326 ("Due every conceivable step taken, whatever cost, eliminate possibility convicting innocent person"); 105, 54 674 (1934) (A run foul method seem thinking fairer wiser surer promise protection prisoner bar"). Consistent enough behalf asserted demonstrate 28 contends implicate rights. Colorado Connelly, 479 157, 168-169, 515, 522-523, 93 473 (1986) (waiver Miranda rights); Nix Williams, 467 431, 444-445, 5, 2501, 2509, 81 377 (1984) (inevitable discovery obtained unlawful means); Matlock, 415 164, 177-178, 14, 988, 996, 39 242 (1974) (voluntariness consent search); 618 (1972) confession). relies, control they situations government sought introduce inculpatory virtue of, violation furthers objective "deterring lawless police prosecution." No served 29 light determination offend difficult dispose 1369(f). threshold before prevented left discretion defendant. Samuel, 495-496, 174 684, 685-686, 629 485, 486-487 (1981). deprived reserved persons, irrational competent. contention below, primary significance (or People, contest competence) rebutting it" "[b]y terms, affects proof." follows what Clause. 31 Nothing today's longstanding 842; Riggins Nevada, 504 1810, 1817, 118 (1992) (KENNEDY, judgment). rejection "constitutionally adequate" guard results, 904, reflects "[t]raditionally, basic safeguards observed; subtle society's interests accused ha[s] branch." 210, 2327. judgment Affirmed. 34 whom SOUTER joins, judgment. 35 I concur reject intimation equities inappropriate amount Ante, 443-446. obviously concerning distinguished here disavowing rests. Eldridge outlines useful guide 36 weight practice; modern procedures, consider. true regime sentencing guidelines, agreed helpful context. Burns 501 111 2182, 115 (1991) (SOUTER, agree pedigree constitutionality, surely rebuttable. 37 concept "perhaps, least frozen law—the confined history absorptive powerful social standards progressive society. But neither unfolding content 'due process' nor particularized disregard ways reflect national historic policy." Griffin Illinois, 351 12, 20-21, 76 585, 591, 891 (1956) (Frankfurter, Against status quo, read allow given countervailing fairness operation, evaluated ante, 448-453. Any charitable reading put odds cases, institute commanded text Constitution. (due transcript appeal); Brady Maryland, 373 83, 83 1194, 215 (1963) exculpatory evidence); Sheppard Maxwell, 384 333, 1507, 600 (1966) prejudicial publicity courtroom disruptions); Chambers Mississippi, 410 297 (1973) certain Gagnon Scarpelli, 778, 1756, 656 probation revoked); supra examination significantly question). 38 fundamentally unfair, include: superior evidence; capable aiding garnering evaluation proved; help enforce right, innocent, free self-incrimination, After case, constitutionally rest dissent points post, 465, largely psychiatrists. main prosecution, course, feign order avoid incentive cooperate investigations, inconclusive benefit defense, cooperative available friends family information state. therefore complete picture possession. potentially greater overall outweigh danger close marginally Unlike examination, necessarily increase reliability proceedings. then, weigh favor constitutionality toleration variation creates. 40 451-452, distinguishable. show Arizona, 436, 1602, 694 (1966)); 2509 inevitable 996 voluntariness 627, each accords investigatory responsibilities. obtaining confession, ensure confession voluntarily. searching area warrant, owner consents search. parallel gather 41 STEVENS dissenting. One Another not. Several experts Instructed presume know, undecided. conviction tolerates equivocal unclear. dissent. adversary system justice," (1975). persons incapable defending themselves—persons lacking object them, preparing their 903.1 378, 838, 44 foundational effective "Competence rudimentary, depends summon, confront, cross examine witnesses, testify one's own remain silent doing so." words Professor Morris, world's leading criminologists, "are really trial; properly play role person, recall events, effectively behalf, confront hostile project sense innocence." N. Madness Criminal Law (1982). 45 critical prerequisite "state right." (Emphasis added.) Pate, 838. "[T]he failure Drope, words, simply forbid trying demands anticipatory, protective minimize convicted. Frankfurter related context: "If deeply society killing insane man respected, assuring application inherent itself." Solesbee Balkcom, 339 9, 23, 70 457, 464, 604 (1950) (dissenting opinion). Anticipatory "we previously emphasized difficulty retrospectively accused's 387, 843. 183, 909; Dusky, 403, 789. Miller Germain, Retrospective Evaluation Competency Stand Trial, Int'l Psych. (1988). 46 expressly protections "further inquiry" raised competency. 180, 908; 385-386, 842. my whether—as hearing—placing adequately underlying right. company today, answer affirmative. initial matter, asks answers wrong doctrinal question. Following lead parties, mistakenly frames takes derived language functional choice. need imposing "adequate" prohibition persons. 48 chooses path, announcing 'offends 445 2322). Separating (the incompetent) subsidiary incompetency), acknowledges fundamental "our heritage," determines "settled tradition" deserving protection. 446. mistaken, severs integrally examined isolation. Clause, borrow second Harlan's series isolated pricked" level generality. Poe Ullman, 367 497, 543, 1752, 1777, 989 (1961) Had taken historicalcategorical denial offended people. 49 interpret reliance undermine government's individual's germane inquiry. unwilling discount force history, exclusively tradition-based analysis. Morrison 82, 664 (1934), looked "convenience" "hardship oppression" forming 203, 2323, 'The manifold limits lifted prosecutions cast substance these, repel excuse explanation, convenience opportunities knowledge shifting aid accuser subjecting oppression. Cf. Wigmore, Evidence, Vol. 2486, cited.' quoting 88-89, 284 (emphasis added). 524, 1460 (1958) (same). cornerstone forbidding aliens eligible naturalization farm. used occupied farm land, citizenship eligibility rested 84, 282. Asian ancestry naturalization. id., 85-86, 283. "vast majority cases," unfairness distribution burden, plainly observed. 94, 286. But, equipoise—as mixed blood outward appearance readily reveal ancestry—"the promotion point outweighed probability injustice accused." Thus, concluded: "There escape injustice, outweighing times convenience, persuasion respect racial origin People." 96, 287. Morrison, today acknowledge relieve That why looks proceedings" precedents." eventually turns "whether [placing incompetency] 448. Carrying already evaluation. 450. suggests view" Accordingly, concludes: "[I]t 451. am conclusion, ends engaging distinguishable appears forswear.2 55 perplexed recognizing order," 443 added), intimates apparent "expertise" "centuries "criminal process" "substantial judgments." 445-446. convinced governmental stake due. III 56 possibly carry called "adequate," meaning designed integrity (1972), example, seeks use involuntary, voluntary," "entitled reliable clear-cut voluntarily rendered." 627. 167-169, 521-523, 444, search). Equally weighty concerns 57 shift deter enforcement prosecutorial authorities, deterrence irrelevant. 451-453. anything, distinction cuts view. Deterrence misconduct during stage accurate itself. impose trial-related cost government—in form proof—to Alvarez-Machain, 655, 660, 2188, 2192, --- ---- (official forcible kidnaping trial). consideration nontrial-related interests, wonder owes public system. unquestionably "undermine[s] foundation justice—our citizens' confidence it." Georgia McCollum, 2348, 2354, (slip op. 7). 58 "In kinds litigation plain lies decisive outcome." 525, 1342. To sure, (once competency) 81, 1095, Yet inconclusive, bearing still subjected introduces systematic unacceptably high fate. I, therefore, "reasonable proof" defendants. 59 "defense defense." good reasons, confidence. First, custody, direct, unfettered best behavior. half prior Tr. 3, 677-684. months immediately preceding extended periods padded cell observation personnel. 682-684. cell, personnel behavior minutes. 226. Second, primarily determination. experts, lawyers. "Although legal ultimately courts, health professionals exert tremendous influence determinations, rates agreement typically exceeding 90%." Nicholson Johnson, Prediction Trial: Contribution Demographics, Type Offense, Clinical Characteristics, Psycholegal Ability, J.Law 287, 287 (citations 703 1985) infallible, Barefoot Estelle, 463 916, 3383, 3406, 77 1090 (1983) (BLACKMUN, dissenting), lawyers credited "best-informed," gauge Third, assuming "best-informed competency, lawyer's outlet in, effect on, specialists discounted factfinder self-interested biased. Defense discouraged testifying fear abrogating ethical attorney-client privilege. ABA Mental Health Standards 7-4.8(b), Commentary Introduction, p. 209, Commentary, 212-213 way example hand, come little surprise attorneys among dozens six case. 1, 1-5 (Witness List). Like psychological inquiries, evaluations "in sciences hazardous guess however conscientious." 464 1095; 1811, (1979); 176, 906. unavoidable uncertainty expands range conclude equipoise. dismisses grounds '[d]ue person.' 2326). steps convictions. search vain guiding wrongful happens acceptable 63 societal error distributed litigants. 755, 1395, proof). before: "The asked share equally possible injury harm state." 427, 1810. costs prohibitive. 447, difference "only equipoise." 449. few remitting defend himself. Cal.Penal Code 1370(a)(1) Supp.1992) "delivered" facility "which promote speedy restoration competence"). 738, (Due allows "for period probability" return competency). equipoise, speedily IV 64 Just Term reaffirmed prevents taking measures fully aware reversed antipsychotic drugs Rejecting dissent's insistence actual prejudice shown, "clearly possible" medications "ability communication counsel." 1822 1818 judgment) (prosecution "no medication impair alter material willingness react counsel") remarkable "[n]othing process." 453. "fundamental" go forward inconclusive. syllabus constitutes prepared Reporter Decisions reader. Detroit Lumber Co., 200 321, 337, 282, 499. district judge find oriented recollection lawyer degree understanding—and factual understanding him," bracketing omitted); cf. 1818, (noting "functional competence" higher-level "competence trial"). Recently, members declined limit procedure. - joined WHITE (applying stating "administrative" whenever action infringe protected interest"). 444 (citing (1985) appointment trial), (1980) judges de novo live suppress)). clear" "essential in" Raddatz. 444. sure means, full interests. 77-83, 1093-1096; 677-679, 2413-2414. What clear, historically novel hardly constituted "principle[s]

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