IMO D.C.
Case Date: 08/06/1996
Court: Superior Court of New Jersey
Docket No: SYLLABUS
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(This syllabus is not part of the opinion of the Court. It has been prepared by the Office of the Clerk for
the convenience of the reader. It has been neither reviewed nor approved by the Supreme Court. Please
note that, in the interests of brevity, portions of any opinion may not have been summarized).
IN THE MATTER OF D.C. (A-123-95)
Argued April 29, 1996 -- Decided August 6, 1996
HANDLER, J., writing for a unanimous Court.
This appeal challenges the authority of the Attorney General to initiate and participate in involuntary
civil commitment proceedings.
On July 12, 1980, D.C. kidnapped, tortured and raped a female victim. He pled guilty to aggravated
sexual assault, kidnapping, and possession of a knife. He was sentenced to the Avenel Diagnostic and
Treatment Center (Avenel) for two concurrent twenty-year terms with a ten-year period of parole
ineligibility.
Tests of D.C. at Avenel indicated that he was unable to control his thoughts or behavior and had
inadequate control over his impulses. D.C. reported to his therapist, Dr. Kay Jackson, that he continued to
have violent sexual fantasies and if released would commit the same kind of crime he had committed in the
past. Psychiatrists at Avenel examined D.C. at Dr. Jackson's request. They agreed with Dr. Jackson that
D.C. was potentially dangerous and would commit a sexual offense again. Nonetheless, they concluded that
D.C. was not eligible for involuntary commitment because he was not "openly psychotic."
D.C was released from Avenel in 1992 after serving twelve years. Dr. Jackson contacted local law
enforcement authorities in Wyckoff Township, the Bergen County community where D.C. intended to reside,
to warn them of her opinion that D.C. was dangerous. Dr. Jackson also contacted the Bergen County
Prosecutor.
Shortly after his release, D.C. submitted voluntarily to an evaluation at a local psychiatric screening
service. The psychiatrist that examined D.C. determined that he was not mentally ill. The Wyckoff Police
and the Bergen County Prosecutor's Office also conducted a close surveillance of D.C. He was observed
engaging in various types of peculiar behavior.
The Attorney General (AG) investigated the circumstances of D.C.'s release from Avenel and
concluded that Avenel's staff had applied an incorrect standard in authorizing D.C.'s release. The AG
sought a court ordered psychiatric examination of D.C. to determine whether involuntary commitment
proceedings against him should be initiated. After a hearing on that request, the trial court noted that,
although the statute and court rules did not authorize the application, the AG was acting in her capacity as
parens patriae. The court granted the relief sought by the AG and ordered psychiatric examinations of D.C.
D.C. appealed the February 1993 commitment decision and the July 1993 decision for continued commitment. D.C. filed a second appeal of the March 1994 commitment decision. A divided panel of the
Appellate Division reversed the decision of the trial court that ordered D.C.'s initial temporary involuntary
commitment. The majority determined that the initial confinement based on the AG's request for a
psychiatric examination was not authorized by statute or under the State's inherent parens patriae powers,
and that D.C.'s subsequent commitments did not conform to the procedural requirements of the civil
commitment statute.
The State appeals as of right based on the dissent in the Appellate Division.
HELD: Through the 1994 amendments to the civil commitment statute, the Legislature intended to enact
remedial legislation to effectuate its purpose to confine persons who are found to be dangerous due
to mental illness. It did so by clarifying the standards applicable to all persons suffering from mental
illness; it thereby reaffirmed but did not change existing law. It authorized the Attorney General to
initiate commitment proceedings in the interest of public safety by obtaining a psychiatric
examination, thereby codifying existing common-law powers of the AG. Finally, it clearly intended
that the law apply retroactively to released convicted sexual offenders.
1. In 1994, the Legislature amended the 1987 civil commitment statute. The amendments added language
clarifying the definition of mental illness and explicitly authorized the AG to participate in involuntary
commitment proceedings. The 1994 amendments reflect the legislative intent to codify the AG's parens
patriae powers and explicitly provide for the exercise of those powers. (pp. 7-15)
2. The authority of the State to effect involuntary commitment is derived from the police power and the
parens patriae power. Under the parens patriae theory, the State has the power to protect those persons
within the State who cannot protect themselves because of an innate legal disability, such as mental illness.
Because of the liberty interests at stake, civil commitment procedures must comply with due process and the
State's parens patriae authority must comply with procedural and substantive due process. (pp. 15-19)
3. The Legislature plainly stated that the 1994 amendments were designed to clarify the existing standards as
well as the AG's authority to initiate civil commitment proceedings. The Legislature intended the authority
that it conferred on the AG to be applied retroactively. The amendments were intended not only to validate
the AG's exercise of authority through its retroactive application, but also to recognize the validity of the
actions taken. (pp.19-27)
4. Whether the procedures undertaken to commit D.C. were sufficiently protective of D.C.'s liberty interests
implicates concerns of both substantive and procedural due process. The statutory standard to establish that
a person is "in need of voluntary commitment" under the civil commitment statute as amended satisfies
substantive due process. Because the amendment clarifies the definition of mental illness and does not
change the law, the retroactive application of the 1994 amendments to the definition of mental illness does
not offend substantive due process. Moreover, D.C. was afforded full procedural due process protection
through the proceedings that led to his involuntary commitment. D.C. was afforded notice, the opportunity
to challenge the sufficiency of the application, adequate prehearing examinations, full hearings, representation
of counsel, and the opportunity to present evidence and confront witnesses through cross-examination.
Finally, the commitment proceedings and the retroactive application of the 1994 amendment did not subject
D.C. to a manifest injustice. (pp. 27-31)
5. The findings of all the physicians testifying provide clear and convincing evidence of D.C.'s dangerousness
caused by his mental illness. Thus, the trial court's determinations, initially to compel D.C. to undergo
psychiatric evaluation, and later for continued treatment, were adequately supported by the record.
Judgment of the Appellate Division is REVERSED.
JUSTICES POLLOCK, O'HERN, GARIBALDI, STEIN and COLEMAN join in JUSTICE
HANDLER'S opinion.
SUPREME COURT OF NEW JERSEY
IN THE MATTER OF D.C.
Argued April 29, 1996 -- Decided August 6, 1996
On appeal from the Superior Court, Appellate
Division, whose opinion is reported at 281
N.J. Super. 102 (1995).
Jaynee LaVecchia, Assistant Attorney General,
argued the cause for appellant, State of New
Jersey, (Deborah T. Poritz, Attorney General
of New Jersey, attorney; Ms. LaVecchia,
Joseph L. Yannotti and Benjamin Clarke,
Assistant Attorneys General, of counsel; Mr.
Clarke, Daisy B. Barreto and John K.
Worthington, Deputy Attorneys General, on the
briefs).
Vincent W. Basile argued the cause for
respondent, D.C. (Flood & Basile, attorneys).
The opinion of the Court was delivered by This appeal arises from the involuntary civil commitment of D.C. After pleading guilty to sexual assault, kidnapping, and weapon possession charges, D.C. was convicted and sentenced to the Avenel Diagnostic and Treatment Center. Finding D.C. was not
mentally ill under the statute authorizing involuntary commitment
and not committable, the prison medical staff authorized his
release.
On July 12, 1980, D.C. abducted a young woman, took her to a wooded area, tied her to a tree, and gagged her. He retrieved a "torture kit," which included medical instruments, rope, and a pick ax, and proceeded to torture and rape his victim. D.C. stated that he spared the victim's life when he saw blood coming from her rectum. D.C. turned himself in to authorities and pled guilty to aggravated sexual assault, kidnapping, and possession of a knife. He was sentenced to the Avenel Diagnostic and Treatment Center (ADTC or Avenel) for two concurrent twenty-year terms with a ten-year period of parole ineligibility. At ADTC, D.C. was placed in therapy; tests indicated that he was unable to control his thoughts or behavior and had inadequate control over his impulses. Dr. Kay Jackson, a staff psychologist at Avenel, began treating D.C. in January 1992. D.C. reported to Jackson that he continued to have violent sexual fantasies and if released would commit the same kind of crime he committed in the past. He stated that he considered himself a "failed rapist because his victims are alive" and that he would "attempt to kill the next victim." Jackson found that D.C.'s condition had remained unchanged. In April 1992 and November 1992, she asked psychiatrists at ADTC to examine D.C. for possible involuntary civil commitment. The doctors agreed with Jackson that D.C. was potentially dangerous and would commit a sexual offense again, but concluded he was not
eligible for involuntary commitment because he was not "openly
psychotic."
The Attorney General investigated the circumstances
surrounding D.C.'s release from Avenel. She concluded that
ADTC's staff had applied an incorrect standard in authorizing
D.C.'s release. (She apparently was also denied access to the
psychiatric records of the Bergen County screening service, and
therefore believed that evaluation could not be relied on.) The
Attorney General obtained an order to show cause from the
Superior Court of New Jersey, Law Division, Bergen County,
seeking a psychiatric examination of D.C. to determine whether
involuntary commitment proceedings against him should be
initiated. On January 8, 1993, the court ordered that the
records be sealed and that the proceedings be closed.
conducted the evaluations of D.C. testified. On February 19,
1993, the trial court found that D.C. was in need of involuntary
commitment. D.C. was thereafter transferred to the Forensic
Hospital in Trenton.
Due to the dissent in the Appellate Division, this appeal is
before us as of right. R. 2:2-1(a)(2).
D.C. challenges the authority of the Attorney General to initiate proceedings for his temporary involuntary commitment. That challenge requires an examination of the comprehensive statutory and the regulatory standards that govern involuntary commitments.
In 1987, the Legislature passed a comprehensive civil commitment statute. L. 1987, c. 116 §§ 1-33 (codified at N.J.S.A. 30:4-27.1 to -27.23). Central to the commitment statute is the Legislature's express directive that each county or designated mental health service area develop a screening service or short term care facility to meet the needs for evaluation and treatment of mentally ill persons. N.J.S.A. 30:4-27.1d. The statute carefully prescribed the procedures for involuntary civil commitment. Pursuant to N.J.S.A. 30:4-27.10: a. A short term care or psychiatric facility or a special psychiatric hospital shall initiate court proceedings for involuntary commitment by submitting to the court a clinical certificate completed by a psychiatrist on the patient's treatment team and the screening certificate which authorized admission of the patient to the facility; provided however, that both certificates shall not be signed by the same psychiatrist unless the psychiatrist has made a reasonable but unsuccessful attempt to have
another psychiatrist conduct the evaluation
and execute the certificate.
b. Court proceedings for the involuntary
commitment of any person not referred by a
screening service may be initiated by the
submission to the court of two clinical
certificates, at least one of which is
prepared by a psychiatrist. The person shall
not be involuntarily committed before the
court issues a temporary court order.
The Act provided several relevant statutory definitions.
See N.J.S.A. 30:4-27.2. It defined mental illness to mean:
"Dangerous to others or property" is defined to mean "that by
reason of mental illness there is a substantial likelihood that
the person will inflict serious bodily harm upon another person
or cause serious property damage within the reasonably
foreseeable future. This determination shall take into account a
person's history, recent behavior and any recent act or threat."
N.J.S.A. 30:4-27.2i. The Act also defines "dangerous to self."
N.J.S.A. 30:4-27.2h.
dangerous to themselves, others, or property. N.J.S.A. 30:4-27.1a. The Legislature further explained:
The goal of the legislation was to create a public health system
that provides professional treatment and services in a manner
that "protects individual liberty and provides advocacy and due
process for persons receiving treatment." N.J.S.A. 30:4-27.1c.
also order testing or examination of the patient by an
independent psychiatrist, psychologist or other expert").
In 1994, the Legislature amended the civil commitment
statute. L. 1994, c. 134. The amendments added language to the
definition of mental illness. After the enactment of the
amendment, the definition of mental illness provided:
Mental illness means a current, substantial
disturbance of thought, mood, perception, or
orientation which significantly impairs
judgment, capacity to control behavior or
capacity to recognize reality, but does not
include simple alcohol intoxication,
transitory reaction to drug ingestion,
organic brain syndrome, or developmental
disability unless it results in the severity
of impairment described herein. The term
mental illness is not limited to "psychosis"
or "active psychosis," but shall include all
conditions that result in the severity of
impairment described herein.
[N.J.S.A. 30:4-27.2r (amendatory
provision emphasized).]
The 1994 amendments added section d to N.J.S.A. 30:4-27.10.
The 1994 amendments explicitly authorize the Attorney
General to participate in involuntary commitment proceedings.
(1) The Attorney General, or the county
prosecutor acting at the request of the
Attorney General, may supersede the county
counsel or county adjuster and assume
responsibility for presenting any case for
involuntary commitment or may elect to
participate with the county counsel or county
adjuster in presenting any such case;
[N.J.S.A. 30:4-27.12c(1).]
Furthermore, N.J.S.A. 30:4-27.13a now states that the Attorney
General may provide notice to appropriate parties if presenting
the case for the patient's involuntary civil commitment.
Finally, N.J.S.A. 30:4-27.13b currently provides that not only
could the members of the patient's treatment team testify, but
"any other witness with relevant information offered by the
patient or the persons presenting the case for civil commitment
shall also be permitted to testify." a. A small but dangerous group of sexual offenders and other violent offenders suffer from mental illness which rendered them dangerous to others and for the protection of
the public they are in need of involuntary
civil commitment for treatment.
b. The statutory standards for involuntary
civil commitment define "mental illness" in
terms of its impairment of judgement,
behavior and capacity to recognize reality.
The statutory standard provides for
involuntary commitment when such mental
illness causes the person to be dangerous to
others or property. Recommendations
concerning commitment are too often based in
the presence or absence of psychosis.
c. To ensure the public is not denied the
protection that the Legislature intended to
provide in enacting a law that calls for
involuntary civil commitment of the
dangerous mentally ill, it is necessary to
reaffirm and clarify the statutory standards
for civil commitment and revise the
procedures governing release of offenders and
civil commitment in order to ensure that the
full benefits of the civil commitment law are
realized.
The Appellate Division sharply disagreed over whether the proceedings that were initiated by the Attorney General to determine if D.C. should be involuntarily committed were valid in light of the statutory and regulatory scheme governing involuntary civil commitments. Those points of disagreement crystallize the issues that must be addressed on this appeal. The Appellate Division majority determined that the 1987 civil commitment statute governed the proceedings that resulted in D.C.'s involuntary commitment. 281 N.J. Super. at 116-118. It never considered whether the 1994 amendments could be applied
retroactively. Relying on the pre-amendment provisions, the
court explained that the Legislature, pursuant to N.J.S.A. 30:4-27.1b, "made it clear that involuntary commitment proceedings
must strictly adhere to statutory safeguards." 281 N.J. Super.
at 116.
him to the Bergen County mental health screening facility for
evaluation by a mental health screener. Id. at 119-20. The
court also determined that the trial court did not have the
authority to issue an order requiring D.C. to submit to two
psychiatric examinations by private psychiatrists selected by the
Attorney General. Id. at 120.
Two bases are put forward to validate the actions of the Attorney General. One is that those actions are valid under the parens patriae jurisdiction. The other is that the 1994 amendments apply retroactively and the Attorney General's actions comply with those amendatory provisions. In the context of this
case and in light of the history of the 1994 amendments, these
issues functionally overlap.
equitable authority of the sovereign to protect those persons
within the state who cannot protect themselves because of an
innate legal disability," such as minority, mental illness or
incompetency. In re Grady,
85 N.J. 235, 259 (1981); In re S.L.,
supra, 94 N.J. at 136.
the statutory provisions. Id. at 116-17, citing N.J.S.A. 30:4-27.1(b) ("It is necessary that State law provide clear standards
and procedural safeguards that ensure that only those persons who
are dangerous to themselves, to others or to property, are
involuntarily committed"); N.J.S.A. 30:4-27.3 ("The standards and
procedures apply to all adults involuntarily committed");
N.J.S.A. 30:4-27.11a(c) ("[I]t is necessary to specify and
guarantee by statute those rights to which that patient is
entitled") (emphasis added). It construed these legislative
expressions as a clear directive that only the procedures
delineated by the statute could be used in involuntary
commitments.
the exercise of that power. N.J.S.A. 30:4-27.10d. Because the
State's parens patriae authority is itself given a prominent
place under the current amendments, it directly implicates the
issue of the retroactive application of the amendments. That the
Legislature perceived that the Attorney General acted lawfully in
this matter bears most relevantly on whether the Legislature
intended that the authority codified and conferred by the 1994
amendments be exercised retroactively. We, therefore, turn to
that issue which, though not considered or resolved by the
Appellate Division is most vigorously argued by the Attorney
General before this Court.
'manifest injustice.'" Ibid. In applying this test generally,
there are three circumstances that will justify a retroactive
application of a statute: (1) where the Legislature has declared
such an intent, either explicitly or implicitly; (2) where the
statute is curative; and (3) where the expectations of the
parties warrant retroactive application. Gibbons, supra, at 522-23; see Savarese v. New Jersey Auto. Full Ins. Underwriting
Assoc.,
235 N.J. Super. 298, 308 (1989) (finding an expressed
intent to apply statute retroactively). However, even if a
statute is found to apply retroactively based on those factors,
under the second prong of the basic test, retroactive application
must not "result in `manifest injustice` to a party adversely
affected by such application." Gibbons, supra, 86 N.J. at 523.
This bill would not establish a different
standard for civil commitment of these former
inmates, like all other persons, they would
be subject to involuntary commitment only if
a court found them to be mentally ill and
dangerous to themselves, others or property.
The bill, however, would reaffirm and clarify
the standard for civil commitment applicable
to all persons to ensure that those who apply
the standard do not erroneously focus on the
presence or absence of psychosis in making
recommendations concerning the need for civil
commitment.
[Sponsor Statement, supra, at 13
(emphases added).]
The amendment revised the definition of "mental illness."
N.J.S.A. 30:4-27r. In amending the definition of mental illness,
the statute did not change or eliminate any of the original
language. The amendment merely added the following language:
On its face, it is evident that the Legislature intended only to clarify the definition of mental illness to include conditions other than psychosis. N.J.S.A. 30:4-27.2, Historical and Statutory Notes (discussing background of 1994 legislative amendments). Furthermore, explicit statements surrounding the amendments unequivocally demonstrate the Legislature's concern that psychiatric evaluations not focus on "the presence or absence of psychosis." Sponsor Statement, supra, at 13 (characterizing change as one that "would reaffirm and clarify the standard for civil commitment applicable to all persons").
See generally, New Jersey Assembly Bill 155 --A Bill Allowing The
Civil Commitment Of Violent Sex Offenders After The Completion Of
A Criminal Sentence, 18 Seton Hall Legis. J. 890, 896 (1994)
(hereinafter "Assembly Bill") (discussing proposed amendments to
"correct flaw" in civil commitment statute to protect public).
appropriate." Sponsor Statement, supra, at 13. Other
legislative history confirms that purpose of the amendments and
addresses the scope of the Attorney General's "discretion" to
initiate civil commitment:
Assembly Bill No. 86 of 1994 revises
procedures governing the release and
involuntary commitment of inmates convicted
of certain sexual offenses to ensure the
protection of the public is given due
consideration. The bill codifies the
Attorney General's common law responsibility
to act on behalf of the public in seeking
civil commitments.
The bill authorizes the Attorney General
or the county prosecutors, at their
discretion, to initiate civil commitment of
inmates determined to be mentally ill and
dangerous to the public.
[Fiscal Estimate to Assembly Bill
No. 86, at 1 (September 26, 1994)
(emphasis added) (hereinafter
"Fiscal Estimate.")]
"Courts will apply statutes retroactively when the
Legislature has expressed its intent, either explicitly or
implicitly, that the statute should be applied." Twiss v. State,
Dept. of Treasury,
124 N.J. 461, 467 (1991). The question that
must be addressed is whether the Legislature intended the
authority that it conferred on the Attorney General to be applied
retroactively. We conclude that the Legislature did.
after serving his sentence, see N.J.S.A. 30:4-27.10c, or in
accordance with procedures specified under the statute. N.J.S.A.
30:4-27.10d. It is readily inferable that the Legislature
contemplated the existence of such authority in the Attorney
General to effectuate proceedings for a psychiatric examination,
and that the 1994 enactment essentially ratified and codified
that common law power. Thus, the 1994 amendments were intended
not only to validate the Attorney General's exercise of authority
through its retroactive application, but also to recognize the
validity of the actions taken.
offenders.")See footnote 1 The legislative history demonstrates that the
Legislature pointedly intended the amendments to address cases
such as D.C.'s.See footnote 2 In fact, D.C.'s release in 1992 was the
primary motivating factor behind the Legislature's enactment of
these amendments.See footnote 3
did so by clarifying the standards applicable to all persons
suffering mental illness; it thereby reaffirmed but did not
change existing law. Further, it authorized the Attorney General
to initiate commitment proceedings in the interest of public
safety by obtaining a psychiatric examination; it perceived that
it was codifying existing common law powers of the Attorney
General. Finally, it clearly intended that the law apply to
released convicted sexual offenders, specifically to offenders
like D.C., even though their release antedated the enactment of
the amendments.
Whether the procedures undertaken to commit D.C. were sufficiently protective of D.C.'s liberty interests implicates concerns of both substantive and procedural due process. The United States Supreme Court has held that involuntary commitment must be initiated by a judicial hearing at which the State must
prove by clear and convincing evidence that the individual is
mentally ill and dangerous to self or others. See Foucha v.
Louisiana, supra, 504 U.S. at 80, 112 S. Ct. at 1786, 118 L. Ed.
2d at 448; Addington v. Texas, supra, 441 U.S. at 426-27, 99 S.
Ct. at 1809, 60 L. Ed.
2d at 331-32; Vitek v. Jones,
445 U.S. 480, 492-93,
100 S. Ct. 1254, 1263,
63 L. Ed.2d 552, 564-65
(1980). These standards parallel our own constitutional
requirements. See In re N.N., supra, __ N.J. at 23-24; In re
S.L., supra, 94 N.J. at 138; In re D.M.,
285 N.J. Super. 481
(App. Div. 1995); In re Raymond S., supra,
263 N.J. Super. 428.
The definition of mental illness prior to the 1994 amendments referred to "a current, substantial disturbance of thought, mood, perception, or orientation which significantly impairs judgement, behavior or capacity to recognize reality." N.J.S.A. 30:4-27.2r. The amendment of that definition does not
enlarge or change the intended meaning of the original
definition, but simply adds clarifying language to denote that
the definition of "mental illness" is not limited to or does not
require "psychosis." As earlier determined, mental illness so
clarified and defined does not derogate the importance of an
individual's liberty interest, and does not change the balance of
considerations that must be weighed in the involuntary commitment
determination. Supra at __ (slip op. at 10, 20-22).
Consequently, the retroactive application of the standard of
mental illness does not offend substantive due process.
due process when among other factors patient's counsel was not
afforded opportunity to cross-examine and examining doctor had
not undertaken a recent or careful examination). D.C. was
afforded notice, the opportunity to challenge the sufficiency of
the application, adequate prehearing examinations, full hearings,
representation of counsel and the opportunity to present evidence
and confront witnesses through cross-examination. These
procedural protections apply in civil commitment hearings. In re
S.L., supra, 94 N.J. at 137 (citing Vitek v. Jones, supra, 445
U.S. at 480, 100 S. Ct. at 1254, 63 L. Ed.
2d at 552). D.C.'s
rights were scrupulously protected throughout every stage of the
commitment process, from the initial commitment proceeding,
through the plenary commitment hearing and subsequent commitment
review proceedings. In view of the proceedings in their
entirety, D.C. suffered no violations of constitutional
procedural due process.
injustice," reliance on existing law by the affected party and
the unfairness of changing that law are the important factors in
making the retroactivity decision. Gibbons, supra, 86 N.J. at
523-24.
Finally, we consider whether there was sufficient evidence to order the commitment of D.C. The scope of appellate review of a commitment determination is extremely narrow and should be modified only if the record reveals a clear mistake. State v. Fields, 77 N.J. 282, 311 (1978); In re Commitment of J.L.J., 196 N.J. Super. 34, 49 (App. Div. 1984), certif. denied, 101 N.J. 210 (1985). The appropriate inquiry is to canvass the significant amount of expert testimony in the record and determine whether
the lower courts' findings were clearly erroneous. Fields,
supra, 77 N.J. at 311.
determination of dangerousness may consider "a person's history,
recent behavior, and any recent act or threat." N.J.S.A. 30:4-27.2i.
conduct even if he was potentially dangerous. Dr. Sadoff,
retained by Trenton Psychiatric Hospital to provide an
independent opinion, believed D.C. was not mentally ill because
he did not appear to be psychotic. Dr. Sadoff did not predict
whether he posed a danger to the community. |