Ernst J. v. Stone

452 F.3d 186, 2006 WL 1689225
CourtCourt of Appeals for the Second Circuit
DecidedJune 21, 2006
DocketDocket No. 05-2754-PR
StatusPublished
Cited by18 cases

This text of 452 F.3d 186 (Ernst J. v. Stone) is published on Counsel Stack Legal Research, covering Court of Appeals for the Second Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Ernst J. v. Stone, 452 F.3d 186, 2006 WL 1689225 (2d Cir. 2006).

Opinion

JOSÉ A. CABRANES, Circuit Judge.

In New York State, once a criminal defendant pleads not responsible by reason of mental disease or defect (“NRRMDD”), the state has several options: it may commit him to a secure psychiatric facility, commit him to a non-secure psychiatric facility, release him subject to an “order of conditions,” or in rare circumstances, discharge him unconditionally. Those defendants who are initially released subject to an order of conditions may, if their condition deteriorates, be “recommitted” involuntarily to a secure psychiatric facility upon a finding — by a preponderance of the evidence — that they have developed a “dangerous mental disorder.”

We consider here whether, in recommitment proceedings for NRRMDD defendants who were initially released subject to an order of conditions, the application of the “preponderance of the evidence” standard, instead of the “clear and convincing evidence” standard normally required for the involuntary commitment of a person to a psychiatric facility, violates either the Due Process Clause or the Equal Protection Clause of the Fourteenth Amendment.

Petitioner-appellant Ernst J. (“petitioner”) argues that because — at a hearing immediately following his NRRMDD plea — he was released subject to an order of conditions rather than committed to a psychiatric facility, he successfully rebutted the presumption of mental illness and danger to the community that arose when he entered his plea. He asserts that he was therefore entitled to the same procedural protections accorded to those persons whom the state seeks to commit to psychiatric facilities without any showing or admission of criminal conduct — including the constitutional requirement that the state demonstrate by clear and convincing evidence that he suffered from a dangerous mental disorder when he was recommitted. Accordingly, petitioner contends that New York Criminal Procedure Law [188]*188(“CPL”) § 330.20(14),1 as interpreted by New York courts, improperly permits NRRMDD defendants such as himself to be recommitted by a mere preponderance-of-the-evidenee standard and thereby violates the Due Process or Equal Protection Clause of the Fourteenth Amendment.

Respondents-appellees assert that because petitioner is an NRRMDD defendant who was discharged into outpatient care subject to an order of conditions, he remains a member of a special class who— at least until the expiration of that order— may legitimately be subjected to recom-mitment proceedings in which the state is required only to satisfy a lesser standard of proof than that required for civil commitment.

Because this case comes to us on review of a petition for habeas corpus, which is governed by the deferential standard of review prescribed by the Antiterrorism and Effective Death Penalty Act (AED-PA), Pub.L. No. 104-132, 110 Stat. 1214, 1219 (1996), codified at 28 U.S.C. § 2254(d)(1), the scope of our inquiry is limited to determining whether the United States District Court for the Eastern District of New York (Raymond J. Dearie, Judge) correctly concluded that the New York Supreme Court, Appellate Division, Second Department (“Appellate Division”) did not act contrary to or unreasonably apply “clearly established Federal law” when it rejected petitioner’s constitutional challenge. See Ernst J. v. Stone, 372 F.Supp.2d 330 (E.D.N.Y.2005). In Francis S. v. Stone, 221 F.3d 100 (2d Cir.2000), a case that raised substantially similar issues, we recognized the same limitations on our review, emphasizing that we were not authorized to consider “[a]s an initial question of federal constitutional law, unconstrained by [28 U.S.C.] 2254(d)(1),” whether CPL § 330.20(14) violates the Fourteenth Amendment. Id. at 113.

Because we cannot say that it was objectively unreasonable for the Appellate Division to conclude, in light of clearly established federal law as enunciated by the Supreme Court of the United States, that NRRMDD defendants are “an exceptional class of individuals who may properly be treated somewhat differently from persons subject to civil commitment” and that “[t]he recommitment provisions of CPL § 330.20(14) have a direct and substantial relationship with the State’s . interest in protecting the public safety, safeguarding the rights of insanity acquittees, and providing treatment for those acquittees who suffer from a mental illness,” see In re Ernst J., 292 A.D.2d 528, 739 N.Y.S.2d 737, 738 (2d Dep’t 2002) (internal quotation marks omitted), we affirm the District Court’s denial of petitioner’s application for a writ of habeas corpus.

BACKGROUND

I. New York’s Statutory Scheme

New York law “distinguish[es] between the procedures to be followed for the involuntary civil commitment of persons suffering from mental illness and the procedures [189]*189that apply to persons charged with a crime and determined, by a plea or a verdict, to be [NRRMDD].” Francis S., 221 F.3d at 101. “Involuntary civil commitment procedures mandate numerous protections, including a requirement that the party proposing confinement must prove by clear and convincing evidence that the person is mentally ill and poses a danger to himself or others.” Id. (citing In re John P., 265 A.D.2d 559, 697 N.Y.S.2d 120, 121 (2d Dep’t 1999)). By contrast, for defendants who have successfully entered a plea of NRRMDD in accordance with CPL § 220.15,2 the New York Supreme Court orders a psychiatric examination “to determine the defendant’s current mental condition, see CPL § 330.20(2)-(5), and then holds a hearing as to the appropriate disposition, see id. § 330.20(6).” Id.

Based on its findings at this hearing, the New York Supreme Court must then place the defendant in one of three categories, or “tracks.” If the defendant is determined, by a preponderance of the evidence, to suffer from a “dangerous mental disorder,” as that term is defined under New York law,3 he must be committed to a secure psychiatric facility. See CPL § 330.20(6) (requiring, upon a showing “to the satisfaction of the court that the defendant has a dangerous mental disorder” that the court “must issue a commitment order”), and (l)(f) (describing commitment to a “secure facility”); People v. Escobar, 61 N.Y.2d 431, 439-40, 474 N.Y.S.2d 453, 462 N.E.2d 1171 (1984) (interpreting the phrase “to the satisfaction of the court” to refer to a burden of proof “by a preponderance of the evidence”). Defendants in this position are colloquially referred to as “track one” defendants.

If the NRRMDD defendant is determined not to be suffering from a “dangerous mental disorder,” but nonetheless to be “mentally ill,” as that term is defined under New York law,4 he is remanded to the custody of the State Commissioner of Mental Health (the “Commissioner”) subject to an “order of conditions”5 author[190]*190ized by the CPL, but his commitment is then governed by the civil commitment provisions of New York Mental Hygiene Law (“MHL”). See CPL § 330.20(7).

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Ernst v. Stone
452 F.3d 186 (Second Circuit, 2006)

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Bluebook (online)
452 F.3d 186, 2006 WL 1689225, Counsel Stack Legal Research, https://law.counselstack.com/opinion/ernst-j-v-stone-ca2-2006.