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Before a Sex Offender Can Be Allowed to Represent Himself in a Mental Hygiene Law Section 10 Proceeding (to Determine Whether the Offender Should Be Civilly Confined), the Court Must Conduct the Same “Searching Inquiry” Required in Criminal and Certain Family Court Proceedings to Determine Whether the Offender Understands the Risks of Going Forward Without Counsel

In a full-fledged opinion by Justice Leventhal the Second Department determined that the state had proven the offender was a dangerous sex offender requiring civil confinement.  In so finding, the Second Department went through in detail the proof required to justify civil commitment of a sex offender.  That aspect of the opinion is not addressed here.  The offender represented himself in the civil commitment proceeding.  The Second Department determined that, just as in a criminal trial, before allowing an offender to proceed pro se, the court is required to engage in a “searching inquiry” to make sure the offender understands the consequences of representing himself.  Because no searching inquiry was done here, the Second Department determined the offender’s waiver of his right to counsel was ineffective:

…[A] respondent in a SOMTA (Sex Offender Management and Training Act [Mental Hygiene Law Section 10]) proceeding arguably faces an even more severe threat to his or her liberty than that faced by a criminal defendant. When successfully litigated by the State, such a proceeding can result in civil confinement, after a respondent is released from prison, which is involuntary and indefinite (see Mental Hygiene Law § 10.09), and can last the remainder of a respondent’s life. Therefore, we hold that a respondent in a SOMTA proceeding can effectively waive his or her statutory right to counsel only after the court conducts a searching inquiry to ensure that the waiver is unequivocal, voluntary, and intelligent. Applying these principles here, we find that the Supreme Court failed to secure an effective waiver of the appellant’s right to counsel.* * *

…[T]he appellant could not make an intelligent and voluntary choice to waive the assistance of counsel without being apprised, in any manner, of the dangers and disadvantages of self-representation … . Indeed, the fact that the appellant was alleged to be suffering from a mental abnormality requiring confinement to a mental institution made it all the more imperative that the Supreme Court adequately warn him of the risks inherent in proceeding pro se, and impress upon him the disadvantages of going to trial without the assistance of counsel. Notwithstanding the concerns voiced by the Assistant Attorney General, the Supreme Court erroneously insisted that it had fulfilled its obligations by merely placing on the record that the appellant did not want an attorney, that he understood he would represent himself, and that he could read and write.  Matter of State of New York v Raul L, 2014 NY Slip Op 04019, 2nd Dept 6-4-14

 

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New Trial Required Because State’s Experts Testified Based On Hearsay Not Demonstrated to Have Been Reliable

The Second Department determined a new civil commitment trial was required because the experts based their testimony in part upon hearsay which had not been demonstrated to be reliable:

As recently held by the Court of Appeals in Matter of State of New York v Floyd Y. (22 NY3d 95, 109), “[d];ue process requires any hearsay basis evidence to meet minimum requirements of reliability and relevance before it can be admitted at an article 10 proceeding. In article 10 trials, hearsay basis evidence is admissible if it satisfies two criteria. First, the proponent must demonstrate through evidence that the hearsay is reliable. Second, the court must determine that the probative value in helping the jury evaluate the [expert’s]; opinion substantially outweighs [its]; prejudicial effect’ (cf. Fed Rules Evid rule 703). These reliability and substantial relevance requirements provide a necessary counterweight to the deference juries may accord hearsay evidence simply because an expert has propounded it.”… .

Here, both of the State’s experts testified to the appellant’s convictions, as well as unproven acts, which formed the basis of their opinion that the appellant suffered from a mental abnormality. The experts provided considerable hearsay testimony concerning these unproven acts, relying, inter alia, upon hearsay evidence within probation reports and other documents, and not personal knowledge. The State failed to demonstrate through other evidence that the aforementioned hearsay testimony was reliable … . As the State failed to establish that the hearsay was reliable, the Court need not determine whether the probative value of such hearsay outweighed its prejudicial effect… . Matter of State of New York v Walter R, 2014 NY Slip Op 04020, 2nd Dept 6=4=14

 

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Insanity Acquittee Not Entitled to Blanket Sealing of Record of a Recommitment Proceeding But Is Entitled to Sealing of His Clinical Record

The Third Department determined respondent, who is subject to Criminal Procedure Law 330.20 based on his acquittal of criminal charges by reason of mental disease or defect, was not entitled to a blanket sealing of the record of a recommitment proceeding pursuant to Mental Hygiene Law 9.31 (F), but was entitled to the sealing of his clinical record pursuant to Mental Hygiene Law 33.13:

Here, respondent was subject to CPL 330.20 based upon his acquittal of criminal charges by reason of mental disease or defect. A lack of responsibility for criminal conduct by reason of mental disease or defect is an affirmative defense that a defendant must raise and prove by a preponderance of the evidence (see Penal Law §§ 25.00 [2]; 40.15). By avoiding criminal penalties and becoming subject to CPL 330.20, “this places insanity acquittees in a significantly different posture than involuntarily committed civil patients” …, and “rational differences between procedures for commitment and release applicable to defendants found not responsible and persons involuntarily committed under the Mental Hygiene Law are justifiable” … . In light of this distinction, we agree with Supreme Court that the blanket sealing of the record that is specifically applicable to the involuntarily admission of civil patients under Mental Hygiene Law § 9.31 (f) is not applicable to respondent … .

We reach a different conclusion, however, regarding defendant’s clinical record. Pursuant to Mental Hygiene Law § 33.13, a clinical record for each patient or client shall be kept containing “information on all matters relating to the admission, legal status, care, and treatment of the patient or client and shall include all pertinent documents relating to the patient or client” (Mental Hygiene Law § 33.13 [a]) and “such information about patients or clients . . . shall not be a public record,” subject to certain exceptions (Mental Hygiene Law § 33.13 [c]). Although Supreme Court ruled that respondent’s clinical treatment records, related hospital records and unrelated medical records must be sealed, it is unclear if other information intended to be included in his clinical record under Mental Hygiene Law § 33.13 (a) would be made public. In our view, respondent is entitled to the full protection of Mental Hygiene Law § 33.13, and all information contained in his clinical record, as defined in Mental Hygiene Law § 33.13 (a), shall not be made public, subject to the statutory exceptions (see Mental Hygiene Law § 33.13 [c]). Matter of John Z. (John Z.), 2015 NY Slip Op 04361, 3rd Dept 5-21-15

 

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In Extraordinary Circumstances, Testimony by Two-Way Video Conference Can Be Used In Mental Hygiene Law Article 10 Proceedings

The Court of Appeals, in a full-fledged opinion by Judge Pigott, determined that the judge in a Mental Hygiene Law article 10 proceeding has the discretion, in extraordinary circumstances, to allow testimony by electronic appearance (live two-way video conference). Here, however, the respondent objected to the procedure and the State did not demonstrate the requisite extraordinary circumstances.  The error  was deemed harmless however:

…[W]e hold that permitting the two-way, live video testimony … was within the discretion of the court. As we have previously explained, “[l]ive televised testimony is certainly not the equivalent of in-person testimony, and the decision to excuse a witness's presence in the courtroom should be weighed carefully. Televised testimony requires a case-specific finding of necessity; it is an exceptional procedure to be used only in exceptional circumstances” … . … [Here} [p]ermitting [the witness] to deliver her testimony via video conference over respondent's objection without requiring a proper showing of exceptional circumstances was error. Matter of State of New York v Robert F., 2015 NY Slip Op 04162, CtApp 5-14-15

 

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Sealed Records Relating to Vacated Convictions Were Sufficiently Reliable to Allow Expert Testimony to Be Based Upon Them In a Mental Hygiene Law Article 10 Trial (to Determine Whether a Sex Offender Should Be Committed to a Mental Health Facility)/However, a Presentence Report Mentioning Uncharged Offenses Was Not Reliable Enough to Be Used as a Basis for Expert Opinion

The Court of Appeals, in a full-fledged opinion by Judge Abdus-Salaam, over a dissent, determined that most of the hearsay relied upon by experts in a Mental Hygiene Law article 10 trial (to determine whether a sex offender should be committed to a mental health facility) was reliable enough to be admissible. The records deemed admissible related to sex offense convictions which were vacated.  The records deemed inadmissible related to allegations which were never prosecuted and which were not supported by any reliable documents (mentioned only in a presentence report).  The error in admitting the unreliable hearsay was deemed harmless:

The records Supreme Court unsealed here — indictments, presentence reports, police reports, and victim's statements, among other documents in the possession of official entities are the types of records the Legislature contemplated the State would have access to in an article 10 proceeding (see Mental Hygiene Law § 10.08 [c]). Respondent pleaded guilty in satisfaction of the 1968 indictments charging him with committing a string of rapes and robberies. Although his conviction was later vacated on mental incompetency grounds, the facts remains that respondent was charged and indicted for those crimes; that is, he was alleged to have committed them. Mental Hygiene Law § 10.08 (c), by authorizing disclosure of records relating to the “alleged commission of a sex offense,” necessarily contemplates the release of records, such as these, which document sex offenses that did not result in valid adjudications of guilt. The 1968 records also qualify for disclosure under the statute's catch-all provision because they contain “information relevant to a determination” of whether respondent requires civil management under article 10 (Mental Hygiene Law § 10.08 [c]).

Respondent further argues that CPL 160.60 should have barred disclosure of the sealed records. That statute provides, in pertinent part, that once a criminal action or proceeding has terminated in favor of the accused, “the arrest and prosecution shall be deemed a nullity,” and the information about that arrest or prosecution may not be disclosed “[e]xcept where specifically required or permitted by statute or upon specific authorization of a superior court” (CPL 160.60 [emphasis added]). Respondent essentially claims that, because the 1968 charges were terminated in his favor and “deemed a nullity,” he can no longer be “alleged” to have committed the underlying crimes and the records therefore do not qualify for disclosure under Mental Hygiene Law § 10.08 (c).

We disagree. CPL 160.60 states by its plain terms that its provisions may be superseded by another statute, such as Mental Hygiene Law § 10.08 (c), that permits disclosure of the sealed information. Although an arrest or prosecution terminated in a defendant's favor must generally be “deemed a nullity” under CPL 160.60, we decline to interpret that statute as barring the disclosure of records that, for the purposes of article 10, relate to a respondent's alleged commission of a sex offense. Matter of State of New York v John S, 2014 NY Slip Op 03292, Ct App 5-8-14

Similar issues and result in another opinion by Judge Abdus-Salaam.  Presentence report mentioning an uncharged offense was not reliable enough to be used as a basis for expert opinion. Error deemed harmless. Matter of State of New York v Charada T, 2014 NY Slip Op 03293, CtApp 5-8-14

 

Court Properly Accepted Defendant’s Consent to the Determination He Is a Sex Offender Requiring Strict and Intensive Supervision and Treatment (SIST)—The Relevant Statute Does Not Mandate a Hearing

The Second Department determined the court properly accepted defendant’s consent to the determination he is a sex offender requiring strict and intensive supervision and treatment (SIST). On appeal defendant argued that the statute required a hearing and the court should not have accepted his consent. The statute, Mental Hygiene Law 10.07 [f], states only that “[t]he parties may offer additional evidence, and the court shall hear argument … “. That language did not mandate a hearing:

Mental Hygiene Law article 10, the main component of the Sex Offender Management and Treatment Act, “establishes the standards and procedures governing the civil management of sex offenders” … . Mental Hygiene Law article 10 provides that where, as here, it is determined that a person is a detained sex offender who suffers from a mental abnormality, “the court shall consider whether the [person] is a dangerous sex offender requiring confinement or a sex offender requiring [SIST]” (Mental Hygiene Law § 10.07[f]). The statute further provides that, at this phase of the proceeding, “[t]he parties may offer additional evidence, [*2]and the court shall hear argument, as to that issue” (Mental Hygiene Law § 10.07[f] [emphasis added]). Contrary to the appellant’s contention, the statute does not mandate a dispositional hearing. Thus, it was not improper for the Supreme Court to accept the appellant’s decision to not offer additional evidence and to accept his consent to a determination that he is a sex offender requiring SIST … . Matter of State of New York v Wayne J., 2015 NY Slip Op 03545, 2nd Dept 4-29-15

 

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Frye Hearing Should Have Been Held to Determine Admissibility of an Actuarial Recidivism Risk Assessment Tool as Proof of a Mental Abnormality

The Second Department determined defendant was entitled to a new trial because the trial court refused defendant’s request for a Frye hearing.  The People introduced the Hare PCL-R Instrument (an actuarial recidivism risk assessment tool), which measures psychopathy, during the mental abnormality phase of the trial. The use of the PCL-R to prove a mental abnormality was deemed “novel” by the Second Department.  Therefore, a Frye hearing should have been held to determine its admissibility for the “novel” purpose:

…[T]he Supreme Court erred in denying that branch of the appellant’s pretrial motion which was to conduct a hearing pursuant to Frye v United States (293 F 1013) concerning the admissibility of the Hare PCL-R Instrument (hereinafter the PCL-R), which measures psychopathy, during the mental abnormality phase of the trial … . While the use of actuarial risk assessment instruments is scientifically accepted as a means to measure the risk of recidivism, the use of such instruments to determine the existence of a mental abnormality is novel, and the State’s bare statement to the contrary was insufficient to satisfy the “general acceptance” test of admissibility … . For these same reasons, the court erred in concluding that the probative value of the PCL-R outweighed any prejudicial effect of the terms “psychopath” or “psychopathy.” Significantly, the State’s expert … testified that the PCL-R is not a “direct assessment of mental abnormality” and was “not designed” to measure “[h]ow much more difficult [it is] for somebody who has a high psychopathy score to control their behavior [as compared to] somebody who has a low score” and that “would be [a] misuse of the test.” Under the particular circumstances of this case, it cannot be said that this error was harmless, since there is a reasonable possibility that the jury could have reached another verdict had it not heard such testimony … . Matter of State of New York v Ian I., 2015 NY Slip Op 02771, 2nd Dept 4-1-15

 

Involuntary Retention Appropriate—Respondent Suffered from Developmental Disability Which Originated Before the Age of 22

The Third Department reversed Supreme Court, finding the petitioner demonstrated respondent suffered from developmental disabilities justifying involuntary retention in a mental health facility:

Pursuant to Mental Hygiene Law article 15, when a facility seeks to retain an individual against his or her will, such retention may occur when the person has an alleged developmental disability that, as is relevant here, can be attributed to mental retardation that originated before he or she turned 22 years of age, has existed on a continuous basis and has severely limited his or her ability to function in society (see Mental Hygiene Law §§ 1.03 [22]; 15.01, 15.27 [a]). Further, the individual will be subject to involuntary care and treatment if it is “essential to his [or her] welfare, and . . . his [or her] judgment is so impaired that he [or she] is unable to understand the need for such care and treatment” (Mental Hygiene Law § 15.01; see Matter of Robert OO., 57 AD3d 1304, 1305 [2008]…). Our authority to review factual findings made in retention cases of this nature is as broad as that of the trial court … and “we may make our own findings of fact if ‘no fair interpretation of the evidence . . . can support the [court’s] determination'” … . Matter of William T., 2015 NY Slip Op 01857, 3rd Dept 3-5-15

 

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Rules of Evidence Properly Relaxed to Allow Hearsay In Proceeding to Modify Guardian’s Power to Control the Social Environment of the Incapacitated Person

In affirming the denial of a petition to modify the court-appointed guardian’s power to control the social environment of Mary WW, the incapacitated person (to compel the guardian to allow petitioner to visit Mary WW), the Third Department agreed with Supreme Court that hearsay was admissible in the proceeding:

…. [P]etitioner contends that, in denying her motion, Supreme Court improperly relied upon the hearsay statements of witnesses who had contact with Mary WW. We disagree. Although the rules of evidence are generally applicable to proceedings brought under Mental Hygiene Law article 81, Mental Hygiene Law § 81.12 (b) provides that the court may waive such rules “for good cause shown.” Here, we note that Mary WW. initially consented to the guardianship, it was recommended by the court evaluator and none of Mary WW.’s children, except for petitioner, objected. Moreover, it is undisputed that Mary WW. now suffers from severe dementia and was unable to attend the modification hearing, which occurred nearly four years after the guardianship was established. In view of this, it was necessary for other witnesses to testify concerning her interactions with petitioner. Significantly, petitioner was not prejudiced, as she was present at the hearing and denied the allegations. Under these circumstances, we find that Supreme Court had good cause for relaxing the rules of evidence and considering the hearsay statements of witnesses who had contact with Mary WW. Matter of Mary WW…, 2015 NY Slip Op 01704, 3rd Dept 2-26-15

 

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Under the Criteria Recently Announced by the Court of Appeals, the Proof Was Not Sufficient to Justify Placing the Respondent Under Strict and Intensive Supervision in the Community

The First Department, in a full-fledged opinion by Justice Renwick, applied the criteria recently announced by the Court of Appeals and determined the state had not presented sufficient proof to justify placing the respondent, a sex offender who had served 33 years in prison, under strict and intensive supervision (SIST) in the community.  The opinion is very detailed and defies summary.  Some of the main points follow:

The State of New York brought this Mental Hygiene Law (MHL) article 10 proceeding seeking civil commitment of respondent as a dangerous sex offender. This proceeding, however, preceded the recent pronouncement by the Court of Appeals in Matter of State of New York v Donald DD. (24 NY3d 174 [2014]). In Donald DD., the Court of Appeals limited the evidence that can be used to civilly commit a convicted sex offender, and clarified that a sex offender cannot be subject to civil commitment solely because the individual is diagnosed as suffering from an abnormality that predisposes him to commit sexual offenses. In so doing, the Court of Appeals clarifies the line between civil commitment and penal commitment. In this case, we heed this clarification by dismissing this MHL article 10 proceeding on the ground that the State has failed to establish by clear and convincing evidence that respondent has or will have serious difficulty controlling his behavior. * * *

…[T]he jury found that respondent suffers from a mental abnormality qualifying him for civil management under MHL article 10. Following a dispositional hearing where the State experts and respondent testified, Supreme Court found that respondent is not a dangerous sex offender in need of confinement, and ordered instead that he submit to strict and intensive supervision and treatment (SIST) in the community. * * *

…[T]he statute requires that all offenders subject to civil management, including SIST, must be found to have a mental abnormality as a threshold qualification. MHL § 10.03(i) defines a mental abnormality as “a congenital or acquired condition, disease or disorder that affects the emotional, cognitive, or volitional capacity of a person in a manner that predisposes him or her to the commission of conduct constituting a sex offense and that results in that person having serious difficulty in controlling such conduct.”

Article 10 authorizes civil confinement only of those sex offenders whose “mental abnormality” involves such a strong disposition to commit sexual misconduct and an inability to control behavior that the person is dangerous to society (MHL §§ 10.03[e], 10.07[f]). MHL article 10, as written, is also designed to provide courts with a mechanism for deciding whether the mental condition of a sex offender suffering from a mental abnormality is so extreme that the more restrictive alternative of confinement is warranted or whether, on the other hand, the least restrictive option, namely SIST, is permitted (see MHL § 10.07[f]).

…[I]n Donald DD. …, the Court of Appeals clarified that the State must prove, separate from a finding of mental abnormality required for civil commitment, that the defendant has serious difficulty controlling his behavior. Specifically, the State must demonstrate that as a result of the “serious mental illness, abnormality or disorder,” a person also would have serious difficulty controlling his behavior if released (24 NY3d at 187, 189).  Matter of State of New York v Frank P, 2015 NY Slip Op 01551, 1st Dept 2-19-15

 

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