Heller v. Doe Ex Rel. Doe

125 L. Ed. 2d 257, 113 S. Ct. 2637, 7 Fla. L. Weekly Fed. S 513, 509 U.S. 312, 93 Cal. Daily Op. Serv. 4681, 1993 U.S. LEXIS 4397, 61 U.S.L.W. 4728, 93 Daily Journal DAR 7987
Supreme Court of the United States·Decided June 24, 1993·No. 92-351·Published·Cited by 2,180 cases

Opinions

Justice Kennedy

delivered the opinion of the Court.

In the Commonwealth of Kentucky, involuntary civil commitments of those alleged to be mentally retarded and of those alleged to be mentally ill are governed by separate statutory procedures. Two differences between these commitment proceedings are at issue in this case. First, at [315]*315a final commitment hearing, the applicable burden of proof for involuntary commitment based on mental retardation is clear and convincing evidence, Ky. Rev. Stat. Ann. §202B. 160(2) (Michie 1991), while the standard for involuntary commitment based on mental illness is beyond a reasonable doubt, § 202A.076(2). Second, in commitment proceedings for mental retardation, unlike for mental illness, “[g]uardians and immediate family members” of the subject of the proceedings “may participate ... as if a party to the proceedings,” with all attendant rights, including the right to present evidence and to appeal. § 202B. 160(3). Respondents are a class of mentally retarded persons committed involuntarily to Kentucky institutions. They argue that these distinctions are irrational and violate the Equal Protection Clause of the Fourteenth Amendment. They claim also that granting close family members and guardians the status of parties violates the Due Process Clause. We reject these contentions and hold the Kentucky statutes constitutional.

I

This case has a long and complicated history. It began in 1982 when respondents filed suit against petitioner, the Kentucky Secretary of the Cabinet for Human Resources, claiming that Kentucky’s failure to provide certain procedural protections before institutionalizing people on the basis of mental retardation violated the Constitution. Kentucky has amended its civil commitment statutes several times since 1982, with each new statute being attacked in court by respondents. As the previous incarnations of this lawsuit have little effect on the issues currently before this Court, we limit our discussion to the current round of the litigation. See Doe v. Cowherd, 770 F. Supp. 354, 355-356 (WD Ky. 1991) (recounting the procedural history).

At issue here are elements of Kentucky’s statutory procedures, enacted in 1990, for the involuntary commitment of the mentally retarded. In many respects the procedures [316]*316governing commitment of the mentally retarded and the mentally ill are parallel. The statutes recognize a large class of persons who can petition for an individual’s involuntary commitment, whether on grounds of mental retardation or mental illness. Ky. Rev. Stat. Ann. §202B.100(3) (Michie 1991) (mental retardation); §202A.051 (mental illness). Upon filing of the petition, the trial court must appoint counsel to represent the individual in question, unless he retains private counsel. § 202B.210 (mental retardation); § 202A.121 (mental illness). The trial court also must examine the person who filed the petition and, if there is probable cause to believe that the individual who is the subject of the petition should be involuntarily committed, the court must order his examination by two qualified professionals. §§202B.100(5), (6)(c) (mental retardation); §§ 202A.051(5), (6)(c) (mental illness). The subject of the proceeding has the right to retain a professional of his own choosing, who may “witness and participate in any examination” of him. §202B.140 (mental retardation); §202A.066 (mental illness). In cases of commitment for mental retardation, a professional retained by the subject’s “parent or guardian” also must be permitted to witness and participate in any examination. §202B.140.

If both qualified professionals certify that the individual meets the criteria for involuntary commitment, the trial court must conduct a preliminary hearing. § 202B.130 (mental retardation); §202A.061 (mental illness). At the hearing, the court must receive as evidence the reports of these two professionals and any other professional retained under the statute. §202B.160(1) (mental retardation); §202A.076(1) (mental illness). The individual whose commitment is sought may testify and may call and cross-examine witnesses. §202B.160(1) (mental retardation); §202A.076(1) (mental illness). In cases of mental retardation, at both the preliminary hearing and, if there is one, the final hearing, [317]*317Kentucky law provides particular rights to guardians and immediate family members:

“Guardians and immediate family members of the respondent shall be allowed to attend all hearings, conferences or similar proceedings; may be represented by private counsel, if desired; may participate in the hearings or conferences as if a party to the proceedings; may cross-examine witnesses if desired; and shall have standing to appeal any adverse decision.” § 202B. 160(3)

See also § 202B.230. If the trial court determines that there is probable cause to believe that the subject should be involuntarily committed, it proceeds to a final hearing. §202B.100(8) (mental retardation); §202A.051(9) (mental illness).

At the final hearing, the State, through the county attorney for the county in which the person subject to the proceeding lives, prosecutes the petition, § 202B.019 (mental retardation); § 202A.016 (mental illness); Tr. of Oral Arg. 33-35, and counsel for the person defends against institutionalization, id., at 31,34, 54. At this hearing, “[t]he manner of proceeding and the rules of evidence shall be the same as those in any criminal proceeding.” §202B. 160(2) (mental retardation); §202A.076(2) (mental illness). As in the preliminary hearing, the subject of the proceedings may testify and call and cross-examine witnesses. §202B. 160(2) (mental retardation); §202A.076(2) (mental illness). In proceedings for commitment based on mental retardation, the standard of proof is clear and convincing evidence, § 202B. 160(2); for mental illness, the standard is proof beyond a reasonable doubt, § 202A.076(2). For commitment of the mentally retarded, four propositions must be proved by clear and convincing evidence: “(1) The person is a mentally retarded person; (2) The person presents a danger or a threat of danger to self, family, or others; (3) The least restrictive alternative mode of treatment presently available requires placement in [a [318]*318residential treatment center]; and (4) Treatment that can reasonably benefit the person is available in [a residential treatment center].” §202B.040. The criteria for commitment of the mentally ill are in substance identical, requiring proof beyond a reasonable doubt that an individual “is a mentally ill person: (1) Who presents a danger or threat of danger to self, family or others as a result of the mental illness; (2) Who can reasonably benefit from treatment; and (3) For whom hospitalization is the least restrictive alternative mode of treatment presently available.” §202A.026. Appeals from involuntary commitment proceedings are taken in the same manner as other appeals from the trial court. §202B.230 (mental retardation); §202A.141 (mental illness).

After enactment of the 1990 modifications, respondents moved for summary judgment in their pending lawsuit against petitioner.

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Heller v. Doe Ex Rel. Doe, 125 L. Ed. 2d 257, 113 S. Ct. 2637, 7 Fla. L. Weekly Fed. S 513, 509 U.S. 312, 93 Cal. Daily Op. Serv. 4681, 1993 U.S. LEXIS 4397, 61 U.S.L.W. 4728, 93 Daily Journal DAR 7987 (U.S. 1993).

125 L. Ed. 2d 257 (Heller v. Doe Ex Rel. Doe) — published by Counsel Stack Legal Research, free access to 12M+ legal documents.

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